[Federal Register Volume 64, Number 141 (Friday, July 23, 1999)]
[Rules and Regulations]
[Pages 40106-40135]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-18313]



[[Page 40105]]

_______________________________________________________________________

Part IV





Department of Commerce





_______________________________________________________________________



Bureau of Export Administration



_______________________________________________________________________



15 CFR Parts 740, 743 and 774



Revisions to the Export Administration Regulations; Commerce Control 
List: Revision to Categories 1, 2, 3, 4, 5, 6, 7, and 9 Based on 
Wassenaar Arrangement Review; Final Rule

  Federal Register / Vol. 64, No. 141 / Friday, July 23, 1999 / Rules 
and Regulations  

[[Page 40106]]



DEPARTMENT OF COMMERCE

Bureau of Export Administration

15 CFR Parts 740, 743 and 774

[Docket No. 990625176-9176-01]
RIN 0694-AB86


Revisions to the Export Administration Regulations; Commerce 
Control List: Revision to Categories 1, 2, 3, 4, 5, 6, 7, and 9 Based 
on Wassenaar Arrangement Review

AGENCY: Bureau of Export Administration, Commerce.

ACTION: Final rule.

-----------------------------------------------------------------------

SUMMARY: The Bureau of Export Administration (BXA) maintains the 
Commerce Control List (CCL), which identifies those items subject to 
Department of Commerce export controls. This final rule revises certain 
entries controlled for national security reasons in Categories 1, 2, 3, 
4, 5, 6, 7, and 9 to conform with changes in the Wassenaar 
Arrangement's List of Dual-Use Goods and Technologies maintained and 
agreed to by governments participating in the Wassenaar Arrangement on 
Export Controls for Conventional Arms and Dual-Use Goods and 
Technologies (Wassenaar Arrangement). The Wassenaar Arrangement 
controls strategic items with the objective of improving regional and 
international security and stability.

DATES: This rule is effective July 23, 1999.

FOR FURTHER INFORMATION CONTACT: For questions of technical nature, the 
following persons in the Office of Strategic Trade are available:

Category 1: Robert Teer--(202) 482-4749
Category 2: Tanya Mottley--(202) 482-1837
Category 3: Hector Rivera--(202) 482-5534
Category 4: Tanya Mottley--(202) 482-1837
Category 5 (Telecommunications): Tony Koo--(202) 482-3206
Category 6: Chris Costanzo--(202) 482-0718
Category 7: Herb Wahler--(202) 482-5250
Category 9: Gene Christiansen--(202) 482-2984

SUPPLEMENTARY INFORMATION:

Background

    In July 1996, the United States and thirty-two other countries gave 
final approval to the establishment of a new multilateral export 
control arrangement, called the Wassenaar Arrangement on Export 
Controls for Conventional Arms and Dual-Use Goods and Technologies 
(Wassenaar Arrangement). The Wassenaar Arrangement contributes to 
regional and international security and stability by promoting 
transparency and greater responsibility in transfers of conventional 
arms and dual-use goods and technologies, thus preventing destabilizing 
accumulations of such items. Participating states have committed to 
exchange information on exports of dual-use goods and technologies to 
non-participating states for the purposes of enhancing transparency and 
assisting in developing common understandings of the risks associated 
with the transfers of these items.
    On January 15, 1998, the Bureau of Export Administration (BXA) 
published an interim rule (63 FR 2452) fulfilling U.S. commitments to 
the Wassenaar Arrangement by implementing the Wassenaar Arrangement 
list of dual-use items and imposing reporting requirements for exports 
of certain items controlled under the Wassenaar Arrangement.
    This final rule revises a number of national security controlled 
entries on the Commerce Control List (CCL) to conform with recent 
changes in the Wassenaar List of Dual-Use Goods and Technologies. 
Specifically, this rule makes the following amendments:

Category 1--Materials, Chemicals, Microorganisms, and Toxins

    1C004--Amended by modifying controls on the elastic limit from 
1,250 MPa to 880 MPa (1C004.b).
    1C006--Amended by removing national security controls on 
hydrocarbon oils (1C006.a.1).

Category 2--Material Processing

    2B001--Amended by modifying the note to 2B001.c to clarify that 
certain tool or cutter grinding machines are not controlled for 
national security reasons (decontrol note 2B001.c). In addition, the 
related controls section has been amended by adding a reference to 
refer to 1B101.d for cutting equipment designed or modified for 
removing prepregs and preforms controlled by 9A110 (2B001, related 
controls).
    2B004--Amended by (1) revising the entry heading by removing 
national security controls on dies, molds and controls specially 
designed for certain hot isostatic presses (2B004, heading); and (2) 
revising the related controls section to by adding two new references, 
as follows: (a) for specially designed dies, molds and tooling refer to 
1B001, 9B009, and ML18 of the Munitions List; and (b) in addition, see 
1B101.d, 2B104, and 2B204 for controls on dies, molds and tooling 
(2B004, related controls).
    2B005--Amended by correcting an editorial error (2B005.c).
    2D001--Amended by modifying the entry heading to read ``software'', 
other than that controlled by 2D002, specially designed or modified for 
the ``development'', ``production'' or ``use'' of equipment controlled 
by 2A001 or 2B001 to 2B009 (2D001, heading). In addition, the related 
controls section is amended by clarifying that 2D001 controls software 
not covered by 2D101, that are specially designed or modified for the 
controllers of flow forming machines described in 2B109 (2D001, related 
controls).
    2E003--Amended by (1) revising the related controls section by 
adding a reference to refer to 2E001, 2E002 and 2E101 for 
``development'', ``production'' and ``use'' technology for equipment 
that are designed or modified for densification of carbon-carbon 
composites, structural composite rocket nozzles and reentry vehicle 
nose tips (2E003, related controls); and (2) revising the Deposition 
Techniques Table by (1) adding new ``resultant coatings'' technologies 
for diamond, boron nitride, and beryllium; and (2) updating the 
``sensor window materials'' note by including diamond, gallium 
phosphide, sapphire, zirconium fluoride and hafnium fluoride and by 
removing potassium iodide, potassium fluoride, thallium bromide and 
thallium chlorobromide.

Category 3--Electronics

    3A001--Amended by increasing the gate count from 300 to 3,000 for 
digital integrated circuits (3A001.a.11).
    3A002--Amended by: (1) liberalizing controls for digital video 
magnetic tape recorders from 180 to 360 Mbits/s (3A002.a.2); (2) 
modifying the note to 3A002.a.2 by clarifying that 3A001.a.2 does not 
control digital video magnetic tape recorders specially designed for 
television recording using a signal format, which may include a 
compressed signal format, standardized or recommended by the ITU, the 
IEC, the SMPTE, the EBU or the IEEE for civil television applications 
(decontrol note to 3A002.a.2); and (3) modifying the note to 3A002.c.2 
by clarifying that 3A002 does not control those ``dynamic signal 
analyzers'' using only constant percentage bandwidth filters (also 
known as octave or fractional octave filters) (clarification note to 
3A002.c.2).
    3B001--Amended by: (1) adding controls for molecular beam epitaxial 
growth equipment using solid sources

[[Page 40107]]

(3B001.a.3); (2) liberalizing controls for ion implantaters and adding 
a new term ``beam energy'' (3B001.b.1 and b.2); and (3) clarifying 
lithography equipment controls to include direct step on wafer 
equipment or step and scan (scanner) equipment, relaxing controls on 
the light source wavelength of lithography equipment from 400 nm to 350 
nm and relaxing controls on minimum resolvable feature size on 
lithography equipment from 0.7 to 0.5 microns or less (3B001.f).
    3C002--Amended by relaxing wavelength controls for positive resists 
for semiconductor lithography from 370 nm to 350 nm (3C002.a).
    3E001--Amended by revising the note to 3E001 to indicate that 3E001 
does not control integrated circuits using technology of 0.7 microns or 
more (decontrol note to 3E001).
    3E002--Amended by adding new controls for substrates of silicon-on 
insulator (SOI) for integrated circuits in which the insulator is 
silicon dioxide (3E002.e) and substrates of silicon carbide for 
electronic components (3E002.f). In addition the related controls 
section is amended by adding a reference to refer to 3E001 for silicon-
on-insulation technology for the ``development'' or ``production'' 
related to radiation hardening of integrated circuits (3E002, related 
controls).

Category 4--Computers

    4A003--Amended by removing controls for 4A003.f (Equipment 
containing ``terminal interface equipment'' exceeding the limits in 
5A001.b.3). This revision is consistent with consequential changes to 
5A001 (i.e., the removal of equipment containing ``network access 
controllers'' or ``communication channel controllers''. In addition, to 
avoid possible confusion, the note to 4A003.g has been amended to 
clarify that ``network access controllers'' or ``communication channel 
controllers'' are not controlled by this entry (decontrol note to 
4A003.g).
    Table to Category 4--Amended by revising Note 5 to clarify that 
aggregation for CTP values do not apply to ``electronic assemblies'' 
described in 4A003.c (technical note 5 on CTP)

Category 5--Telecommunications, Part I

    Several sections of Part I, Telecommunications have been removed 
creating a significant number of changes to the controls on 
telecommunication equipment. The majority of changes are identified in 
the following entries.
    Note 1 to Category 5--Part 1--Telecommunications: Amended by 
removing the phrase ``materials'' (Note 1), as 5C001 was deleted from 
national security controls.
    5A001--Amended by:
    (1) removing controls on telecommunications equipment or systems 
containing any of the following:
    --Employing digital techniques (5A001.b.1);
    --Containing ``network access controllers'' or ``communication 
channel controllers'' (5A001.b.3);
    --employing a laser (5A001.b.4);
    --being radio equipment operating at input or output frequencies 
exceeding 31 GHz (5A001.b.5);
    --being radio equipment employing Quadrature Amplitude Modulation 
(QAM) techniques or other digital modulation techniques and having a 
spectral efficiency exceeding 3 bit/sec/Hz (5A001.b.6);
    (2) removing controls on ``stored program controlled'' switching 
equipment containing any of the following (5A001.c):
    --common channel signalling (5A001.c.1);
    --dynamic adaptive routing (5A001.c.2);
    --being packet switches, circuit switches and routers (5A001.c.3);
    --optical switches (5A001.c.4);
    --employing ``Asynchronous Transfer Mode'' (ATM) techniques 
(5A001.c.5);
    (3) modifying controls for optical fiber communication cables 
(5A001.d); removing controls on optical fiber cables and liberalizing 
controls on optical fibers from 50 m to 500 m (5A001.d.1); and removing 
controls for single mode operation (5A001.d.1.a); and
    (4) adding a Nota Bene to 5A001.d.2 clarifying that you should 
review 8A002.a.3 for underwater umbilical cables and connectors 
therefor.
    5B001--Amended by: (1) revising the entry heading to read ``test, 
inspection and production equipment, see list of items controlled''; 
(2) redesignating the former entry heading as 5B001.a and by removing 
the term ``materials''; (3) adding a note to 5B001.a specifying that 
5B001.a does not control optical fiber characterization equipment not 
using semiconductor ``lasers'', formerly described in the Related 
Controls section. The format changes to the entry heading and to 
5B001.a are consistent with the format revisions agreed to by the 
Wassenaar Arrangement. In addition, 5B001 is amended by creating a new 
5B001.b. This new paragraph b adds national security controls for 
equipment and specially designed components or accessories therefor, 
specially designed for the ``development'' of certain telecommunication 
transmission or ``stored program controlled'' switching equipment.
    5C001--Amended by removing national security controls for preforms 
of glass or of any other material optimized for the manufacturer of 
optical fibers controlled by 5A001.d.
    5D001--Amended by: (1) removing controls for software for the use 
of digital cellular radio equipment or systems (5D001.c.1) and (2) 
creating a new 5D001.d. This new paragraph d adds national security 
controls for ``software'' specially designed or modified for the 
``development'' of certain telecommunication transmission or ``stored 
program controlled'' switching equipment (5D001.d).
    5E001--Amended by: (1) removing national security controls on 
certain technology for the ``development'' or ``use'' of laser 
communication techniques (5E001.b.4, 5E001.b.6, 5E001.b.8, and 
5E001.b.9) and (2) creating a new 5E001.c. This new paragraph c adds 
national security controls for ``technology'' according to the General 
Technology Note for the ``development'' or ``production'' of certain 
telecommunication transmission or ``stored program controlled'' 
equipment functions or features (5E001.c).

Category 6--Sensors and Lasers

    6A003--Amended by: (1) modifying the term intensifiers to read 
intensifier tubes (6A003.b.3); and (2) adding a note to 6A003.b.4 
clarifying that 6A003.b.4 does not control imaging cameras 
incorporating linear ``focal plane arrays'' with twelve elements or 
fewer, not employing time-delay-and-integration within the element, 
designed for (a) industrial or civilian intrusion alarm, traffic or 
industrial movement control or counting systems; (b) industrial 
equipment used for inspection or monitoring of heat flows in buildings, 
equipment or industrial processes; (c) industrial equipment used for 
inspection, sorting or analysis of the properties of materials; (d) 
equipment specially designed for laboratory use; or (e) medical 
equipment (decontrol note to 6A003.b.4).
    6A005--Amended by: (1) adding a note for excimer lasers, specially 
designed for lithography equipment (related controls); and (2) adding a 
new control for individual single-transverse mode semiconductor lasers 
(6A005.b.1).
    6C002--Amended by relaxing controls on zinc cadmium telluride 
(6C005.b).

[[Page 40108]]

Category 7--Navigation and Avionics

    Notes to Category 7A--Amended by revising the ``Note to Category 
7A'' as ``Nota Bene (N.B.) 2'' and by revising the existing Nota Bene 
as ``N.B. 1'' (notes to Category 7 A).

Category 9--Propulsion Systems, Space Vehicles and Related Equipment

    Parenthetical note to Category 9A--Amended by redesignating the 
parenthetical phrase as a Nota Bene (N.B.).
    Items placed under control will be subject to both national 
security (NS) and antiterrorism (AT) controls. (see ECCN 3E002.e and 
f.) These actions are taken in consultation with the Departments of 
State and Defense and pursuant to agreements reached in the Wassenaar 
Arrangement.
    All items removed from national security (NS) controls as a result 
of the Wassenaar List of Dual-Use Goods and Technologies will continue 
to be controlled for antiterrorism (AT) reasons.
    BXA is continuing a comprehensive review of the Commerce Control 
List (CCL) to account for items controlled by the Nuclear Suppliers 
Group (NSG), the Missile Technology Control Regime (MTCR), and the 
Australia Group (AG) and to correct errors unavoidably reprinted in 
this version of the CCL. The review will be based in large part upon 
the comments received and upon ongoing efforts to harmonize the CCL 
with the EU's control list.
    Although the Export Administration Act (EAA) expired on August 20, 
1994, the President invoked the International Emergency Economic Powers 
Act and continued in effect, to the extent permitted by law, the 
provisions of the EAA and the EAR in Executive Order 12924 of August 
19, 1994, as extended by the President's notices of August 15, 1995 (60 
FR 42767), August 14, 1996 (61 FR 42527), August 13, 1997 (62 FR 
43629), and August 13, 1998 (63 FR 44121).

Saving Clause

    Shipments of items removed from eligibility for export or reexport 
under a particular License Exception authorization or the designator 
NLR, as a result of this regulatory action, may continue to be exported 
or reexported under that License Exception authorization or designator 
until August 23, 1999. In addition, this rule revises the numbering and 
structure of certain entries on the Commerce Control List. For items 
under such entries and for October 21, 1999, BXA will accept license 
applications for items described either by the entries in effect 
immediately before July 23, 1999 or the entries described in this rule.

Rulemaking Requirements

    1. This interim rule has been determined to be not significant for 
purposes of E.O. 12866.
    2. Notwithstanding any other provision of law, no person is 
required to respond to, nor shall any person be subject to a penalty 
for failure to comply with a collection of information, subject to the 
requirements of the Paperwork Reduction Act (PRA), unless that 
collection of information displays a currently valid OMB Control 
Number. This rule involves collections of information subject to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) These 
collections has been approved by the Office of Management and Budget 
under control numbers 0694-0073, 0694-0086, and 0694-0088.
    3. This rule does not contain policies with Federalism implications 
sufficient to warrant preparation of a Federalism assessment under 
Executive Order 12612.
    4. The provisions of the Administrative Procedure Act (5 U.S.C. 
553) requiring notice of proposed rulemaking, the opportunity for 
public participation, and a delay in effective date, are inapplicable 
because this regulation involves a military and foreign affairs 
function of the United States (Sec. 5 U.S.C. 553(a)(1)). Further, no 
other law requires that a notice of proposed rulemaking and an 
opportunity for public comment be given for this interim rule. Because 
a notice of proposed rulemaking and an opportunity for public comment 
are not required to be given for this rule under 5 U.S.C. or by any 
other law, the analytical requirements of the Regulatory Flexibility 
Act (5 U.S.C. 601 et seq. ) are not applicable.

List of Subjects

15 CFR Part 740

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

15 CFR Part 743

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

15 CFR Part 774

    Exports, Foreign Trade.
    Accordingly, parts 740, 743 and 774 of the Export Administration 
Regulations (15 CFR parts 730 through 799) are amended as follows:
    1. The authority citation for part 740 is revised to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; 
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; E.O. 13026, 61 
FR 58767, 3 CFR, 1996 Comp., p. 228 and of Notice of August 13, 1998 
(63 FR 44121, 3 CFR, 1998 Comp., p. 294.

    2. The authority citation for part 743 is revised to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; 
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; Notice of August 
13, 1998, 63 FR 44121, 3 CFR, 1998 Comp., p. 294.

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

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; 
10 U.S.C. 720; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C. 
287c; 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s), 
185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. 
app. 466c; 50 U.S.C. app. 5; E.O. 12924, 59 FR 43437, 3 CFR, 1994 
Comp., p. 917; Notice of August 15, 1995, 60 FR 42767, 3 CFR, 1995 
Comp., p. 501; Notice of August 14, 1996, 61 FR 42527, 3 CFR, 1996 
Comp., p. 298; Notice of August 13, 1997, 62 FR 43629, 3 CFR, 1997 
Comp. p., 306; Notice of August 13, 1998, 63 FR 44121, 3 CFR, 1998 
Comp., p. 294.

PART 740--[AMENDED]

    4. Section 740.11 is amended:
    a. By revising paragraph (a)(2);
    b. By revising Supplement No. 1, as follows:


Sec. 740.11  Governments, international organizations, and 
international inspections under the Chemical Weapons Convention (GOV).

* * * * *
    (a) * * *
    (2) The following items controlled for national security (NS) 
reasons under Export Control Classification Numbers (ECCNs) identified 
on the Commerce Control List may not be exported or reexported under 
this License Exception to destinations other than Austria, Belgium, 
Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy, 
Luxembourg, the Netherlands, Portugal, Spain, Sweden, and the United 
Kingdom: 1C001, 1C012, 5A001.b.4, 6A001.a.2.a.1, 6A001.a.2.a.2, 
6A001.a.2.a.7, 6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c, 
6A008.l.3., 6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
    (i) ``Composite'' structures or laminates controlled by 1A002.a., 
having an organic ``matrix'' and made from materials listed under 
1C010.c. or 1C010.d.; and
    (ii) ``Digital'' computers controlled by 4A003.b. and having a CTP 
exceeding 10,000 MTOPS; and

[[Page 40109]]

    (iii) ``Electronic assemblies'' controlled by 4A003.c. and capable 
of enhancing performance by aggregation of ``computing elements'' so 
that the CTP of the aggregation exceeds 10,000 MTOPS; and
    (iv) Processing equipment controlled by 6A001.a.2.c. and specially 
designed for real time application with towed acoustic hydrophone 
arrays; and
    (v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and 
having processing equipment specially designed for real time 
application with bottom or bay cable systems; and
    (vi) ``Software'', as follows:
    (A) Controlled by 4D001, specially designed for the ``development'' 
or ``production'' for items controlled by 4A003.b or .c, as defined by 
paragraphs (a)(2)(ii) and (iii) of this section; and
    (B) Controlled by 5D001.a, specially designed for items controlled 
by 5A001.b.4; and
    (C) Controlled by 6D001 for items controlled by 6A008.l.3 or 6B008; 
and
    (D) Controlled by 6D003.a; and
    (E) Controlled by 7D003.a or 7D003.b; and
    (F) Controlled by 8D001, specially designed for the ``development'' 
or ``production'' of equipment controlled by 8A001.b, 8A001.d, or 
8A002.o.3.b; and
    (G) Controlled by 9D001, specially designed for the ``development'' 
of equipment or ``technology'' controlled by 9A011, 9E003.a.1, or by 
9E003.a.3, for items controlled by 1A002.a, as described in paragraph 
(a)(2)(i) of this section; and
    (H) Controlled by 9D002 for ``software'' specially designed for the 
``production'' of equipment controlled by 9A011; and
    (I) Controlled by 9D004.a or .c.
* * * * *

Supplement No. 1 to Sec. 740.11--Additional Restrictions On Use of 
License Exception GOV.

    (a) Items for official use within national territory by agencies 
of the U.S. Government. License Exception GOV is available for all 
items consigned to and for the official use of any agency of a 
cooperating government within the territory of any cooperating 
government, except:
    (1) Items identified on the Commerce Control List as controlled 
for national security (NS) reasons under Export Control 
Classification Numbers (ECCNs) as follows for export or reexport to 
destinations other than Austria, Belgium, Canada, Denmark, Finland, 
France, Germany, Greece, Ireland, Italy, Luxembourg, the 
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001, 
1C012, 5A001.b.4, 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7, 
6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c, 6A008.l.3., 
6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
    (i) ``Composite'' structures or laminates controlled by 
1A002.a., having an organic ``matrix'' and made from materials 
listed under 1C010.c. or 1C010.d.; and
    (ii) ``Digital'' computers controlled by 4A003.b. and having a 
CTP exceeding 10,000 MTOPS; and
    (iii) ``Electronic assemblies'' controlled by 4A003.c. and 
capable of enhancing performance by aggregation of ``computing 
elements'' so that the CTP of the aggregation exceeds 10,000 MTOPS; 
and
    (iv) Processing equipment controlled by 6A001.a.2.c. and 
specially designed for real time application with towed acoustic 
hydrophone arrays; and
    (v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and 
having processing equipment specially designed for real time 
application with bottom or bay cable systems; and
    (vi) ``Software'', as follows:
    (A) Controlled by 4D001, specially designed for the 
``development'' or ``production'' for items controlled by 4A003.b or 
.c, as defined by paragraphs (a)(1)(ii) and (iii) of this 
Supplement; and
    (B) Controlled by 5D001.a, specially designed for items 
controlled by 5A001.b.4; and
    (C) Controlled by 6D001 for items controlled by 6A008.l.3 or 
6B008; and
    (D) Controlled by 6D003.a; and
    (E) Controlled by 7D003.a or 7D003.b; and
    (F) Controlled by 8D001, specially designed for the 
``development'' or ``production'' of equipment controlled by 
8A001.b, 8A001.d, or 8A002.o.3.b; and
    (G) Controlled by 9D001, specially designed for the 
``development'' of equipment or ``technology'' controlled by 9A011, 
9E003.a.1, or by 9E003.a.3, for items controlled by 1A002.a, as 
described in paragraph (a)(1)(i) of this Supplement; and
    (H) Controlled by 9D002 for ``software'' specially designed for 
the ``production'' of equipment controlled by 9A011; and
    (I) Controlled by 9D004.a or .c.; and
    (vii) ``Technology'', as follows:
    (A) Controlled by 5E001.a for items controlled by 5A001.b.4 or 
5D001.a; and
    (B) Controlled by 1E001 for items controlled by 1A002.a, 1C001, 
or 1C102 as described by paragraph (a)(1)(i) of this Supplement; and
    (C) Controlled by 6E001 for the ``development'' of equipment or 
``software'' in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7, 
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2, a.3, 6A002.a.1.c, 6A008.l.3, or 
6B008, as described in paragraph (a)(1) of this Supplement; and
    (D) Controlled by 6E002 for the ``production'' of equipment 
controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7, 
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or 
6B008, as described in paragraph (a)(1) of this Supplement; and
    (E) Controlled by 8E001 for items controlled by 8A001.b, 
8A002.o.3.b, or 8A001.d; and
    (F) Controlled by 9E001 for items controlled by 9A011, 9D001, or 
9D002; and
    (G) Controlled by 9E002 for items controlled by 9A011; and
    (H) Controlled by 9E003.a.1; and
    (I) Controlled by 9E003.a.3 for items controlled by 1A002.a as 
described in paragraph (a)(1) of this Supplement;
    (2) Items identified on the Commerce Control List as controlled 
for missile technology (MT), chemical and biological warfare (CB), 
or nuclear nonproliferation (NP) reasons;
    (3) Regional stability items controlled under Export Control 
Classification Numbers (ECCNs) 6A002, 6A003, 6E001, 6E002, 7D001, 
7E001, 7E002, and 7E101 as described in Sec. 742.6(a)(1) of the EAR; 
or
    (4) Encryption items controlled for EI reasons as described in 
the Commerce Control List.
    (b) Diplomatic and consular missions of a cooperating 
government. License Exception GOV is available for all items 
consigned to and for the official use of a diplomatic or consular 
mission of a cooperating government located in any country in 
Country Group B (see Supplement No. 1 to part 740), except:
    (1) Items identified on the Commerce Control List as controlled 
for national security (NS) reasons under Export Control 
Classification Numbers (ECCNs) as follows for export or reexport to 
destinations other than Austria, Belgium, Canada, Denmark, Finland, 
France, Germany, Greece, Ireland, Italy, Luxembourg, the 
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001, 
1C012, 5A001.b.4, 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7, 
6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c, 6A008.l.3., 
6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
    (i) ``Composite'' structures or laminates controlled by 
1A002.a., having an organic ``matrix'' and made from materials 
listed under 1C010.c. or 1C010.d.; and
    (ii) ``Digital'' computers controlled by 4A003.b. and having a 
CTP exceeding 10,000 MTOPS; and
    (iii) ``Electronic assemblies'' controlled by 4A003.c. and 
capable of enhancing performance by aggregation of ``computing 
elements'' so that the CTP of the aggregation exceeds 10,000 MTOPS; 
and
    (iv) Processing equipment controlled by 6A001.a.2.c. and 
specially designed for real time application with towed acoustic 
hydrophone arrays; and
    (v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and 
having processing equipment specially designed for real time 
application with bottom or bay cable systems; and
    (vi) ``Software'', as follows:
    (A) Controlled by 4D001, specially designed for the 
``development'' or ``production'' for items controlled by 4A003.b or 
.c, as defined by paragraphs (b)(1)(ii) or (iii) of this Supplement; 
and
    (B) Controlled by 5D001.a, specially designed for items 
controlled by 5A001.b.4; and
    (C) Controlled by 6D001 for items controlled by 6A008.l.3 or 
6B008; and
    (D) Controlled by 6D003.a; and
    (E) Controlled by 7D003.a or 7D003.b; and
    (F) Controlled by 8D001, specially designed for the 
``development'' or ``production'' of equipment controlled by 
8A001.b, 8A001.d, or 8A002.o.3.b; and

[[Page 40110]]

    (G) Controlled by 9D001, specially designed for the 
``development'' of equipment or ``technology'' controlled by 9A011, 
9E003.a.1, or by 9E003.a.3, for items controlled by 1A002.a, as 
described in paragraph (b)(1)(i) of this Supplement; and
    (H) Controlled by 9D002 for ``software'' specially designed for 
the ``production'' of equipment controlled by 9A011; and
    (I) Controlled by 9D004.a or .c; and
    (vii) ``Technology'', as follows:
    (A) Controlled by 5E001.a for items controlled by 5A001.b.4 or 
5D001.a; and
    (B) Controlled by 1E001 for items controlled by 1A002.a, 1C001, 
or 1C102 as described by paragraph (b)(1) of this Supplement; and
    (C) Controlled by 6E001 for the ``development'' of equipment or 
``software'' in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7, 
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or 
6B008, as described in paragraph (b)(1) of this Supplement; and
    (D) Controlled by 6E002 for the ``production'' of equipment 
controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7, 
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or 
6B008, as described in paragraph (b)(1) of this Supplement; and
    (E) Controlled by 8E001 for items controlled by 8A001.b, 
8A002.o.3.b, or 8A001.d; and
    (F) Controlled by 9E001 for items controlled by 9A011, 9D001, or 
9D002; and
    (G) Controlled by 9E002 for items controlled by 9A011; and
    (H) Controlled by 9E003.a.1; and
    (I) Controlled by 9E003.a.3 for items controlled by 1A002.a as 
described in paragraph (b)(1)(i) of this Supplement;
    (2) Items identified on the Commerce Control List as controlled 
for missile technology (MT), chemical and biological warfare (CB), 
or nuclear nonproliferation (NP) reasons;
    (3) Regional stability items controlled under Export Control 
Classification Numbers (ECCNs) 6A002, 6A003, 6E001, 6E002, 7D001, 
7E001, 7E002, and 7E101 as described in Sec. 742.6(a)(1) of the EAR; 
or
    (4) Encryption items controlled for EI reasons as described in 
the Commerce Control List.

PART 743--[AMENDED]

    5. Section 743.1 is amended by revising (c)(1) to read as follows:


Sec. 743.1  Wassenaar Arrangement.

* * * * * *
    (c) Items for which reports are required. (1) You must submit 
reports to BXA under the provisions of this section only for exports of 
items controlled under the following ECCNs:
    (i) Category 1: 1A002, 1C007.c and .d, 1C010.c and .d, 1D002, 
1E001, 1E002.e, and 1E002.f.;
    (ii) Category 2: 2B001.a or .b (certain items only; see Note to 
this paragraph) 2B001.d and .f, 2B003, 2D001, 2E001, and 2E002;

    Note to paragraph (c)(1)(ii): The following are not controlled 
for NP reasons: turning machines controlled by 2B001.a with a 
capacity equal to or less than 35 mm diameter; bar machines 
(Swissturn), limited to machining only bar feed through, if maximum 
bar diameter is equal to or less than 42 mm and there is no 
capability of mounting chucks (machines may have drilling and/or 
milling capabilities for machining parts with diameters less than 42 
mm); or milling machines controlled by 2B001.b with x-axis travel 
greater than two meters and overall ``positioning accuracy'' on the 
x-axis more (worse) than 0.030 mm. Therefore, exports of such items 
under License Exception GOV are subject to reporting requirements.

    (iii) Category 3: 3A002.g.2, 3B001.a.2, 3D001, and 3E001;
    (iv) Category 4: 4A001.a.2 and .b, 4A003.b and .c (see paragraph 
(c)(2) of this section), 4D001, 4D003.c, and 4E001;
    (v) Category 5: 5A001.b.3, 5B001 (items specially designed for 
5A001.b.3), 5D001.a and .b, and 5E001.a;
    (vi) Category 6: 6A001.a.1.b, .a.2.c, .a.2.d, and .a.2.e; 6A002.b, 
6A004.c and d, 6A006.g and h, 6A008.d, .h, and .k; 6D001, 6D003.a, 
6E001, and 6E002;
    (vii) Category 8: 8A001.c; 8A002.b, .h, .j, .o.3.a, and .p; 8D001, 
8D002, 8E001, and 8E002.a; and
    (viii) Category 9: 9B001.b, 9D001, 9D002, 9D004.a and .c, 9E001, 
9E002, 9E003.a.1, 9E003.a.2, .a.3, .a.4, .a.5, .a.8, and .a.9.
* * * * *

PART 774--[AMENDED]

    6. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 1--Materials, Chemicals, Microorganisms, and Toxins, Export 
Control Classification Numbers (ECCNs) are amended:
    a. By revising the List of Items Controlled section for ECCNs 1C004 
and 1C006; and
    b. By adding a new ECCN 1C996, to read as follows:

1C004  Uranium titanium alloys or tungsten alloys with a ``matrix'' 
based on iron, nickel or copper, having all of the characteristics 
(see List of Items Controlled).

* * * * *

List of Items Controlled

Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items:
    a. A density exceeding 17.5 g/cm3;
    b. An elastic limit exceeding 880 MPa;
    c. An ultimate tensile strength exceeding 1,270 MPa; and
    d. An elongation exceeding 8%.

1C006  Fluids and lubricating materials, as follows (see List of 
Items Controlled).

* * * * *

List of Items Controlled

Unit: Barrels (55 U.S. gallons/ 209 liters)
Related Controls: N/A
Related Definitions: N/A
Items:
    a. Hydraulic fluids containing, as their principal ingredients, any 
of the following compounds or materials:
    a.1. Synthetic or silahydrocarbon oils, having all of the 
following:

    Note: For the purpose of 1C006.a.1, silahydrocarbon oils contain 
exclusively silicon, hydrogen and carbon.

    a.1.a. A flash point exceeding 477 K (204 deg. C);
    a.1.b. A pour point at 239 K (-34 deg. C) or less;
    a.1.c. A viscosity index of 75 or more; and
    a.1.d. A thermal stability at 616 K (343 deg. C); or
    a.2. Chlorofluorocarbons, having all of the following:

    Note: For the purpose of 1C006.a.2, chlorofluorocarbons contain 
exclusively carbon, fluorine and chlorine.

    a.2.a. No flash point;
    a.2.b. An autogenous ignition temperature exceeding 977 K (704 deg. 
C);
    a.2.c. A pour point at 219 K (-54 deg. C) or less;
    a.2.d. A viscosity index of 80 or more; and
    a.2.e. A boiling point at 473 K (200 deg. C) or higher;
    b. Lubricating materials containing, as their principal 
ingredients, any of the following compounds or materials:
    b.1. Phenylene or alkylphenylene ethers or thio-ethers, or their 
mixtures, containing more than two ether or thio-ether functions or 
mixtures thereof; or
    b.2. Fluorinated silicone fluids with a kinematic viscosity of less 
than 5,000 mm2/s (5,000 centistokes) measured at 298 K 
(25 deg. C);
    c. Damping or flotation fluids with a purity exceeding 99.8%, 
containing less than 25 particles of 200 m or larger in size 
per 100 ml and made from at least 85% of any of the following compounds 
or materials:
    c.1. Dibromotetrafluoroethane;
    c.2. Polychlorotrifluoroethylene (oily and waxy modifications 
only); or
    c.3. Polybromotrifluoroethylene;
    d. Fluorocarbon electronic cooling fluids, having all of the 
following characteristics:
    d.1. Containing 85% by weight or more of any of the following, or 
mixtures thereof:

[[Page 40111]]

    d.1.a. Monomeric forms of perfluoropolyalkylether-triazines or 
perfluoroaliphatic-ethers;
    d.1.b. Perfluoroalkylamines;
    d.1.c. Perfluorocycloalkanes; or
    d.1.d. Perfluoroalkanes;
    d.2. Density at 298 K (25 deg. C) of 1.5 
g/ml or more;
    d.3. In a liquid state at 273 K (0 deg. C); and
    d.4. Containing 60% or more by weight of fluorine.

    Technical Note: For the purpose of 1C006:

    a. Flash point is determined using the Cleveland Open Cup Method 
described in ASTM D-92 or national equivalents;
    b. Pour point is determined using the method described in ASTM D-97 
or national equivalents;
    c. Viscosity index is determined using the method describe in ASTM 
D-2270 or national equivalents;
    d. Thermal stability is determined by the following test procedure 
or national equivalents:
    Twenty ml of the fluid under test is placed in a 46 ml type 317 
stainless steel chamber containing one each of 12.5 mm (nominal) 
diameter balls of M-10 tool steel, 52100 steel and naval bronze (60% 
Cu, 39% Zn, 0.75% Sn);
    The chamber is purged with nitrogen, sealed at atmospheric pressure 
and the temperature raised to and maintained at 644  6 K 
(371  6 deg. C) for six hours;
    The specimen will be considered thermally stable if, on completion 
of the above procedure, all of the following conditions are met:
    1. The loss in weight of each ball is less than 10 mg/mm \2\ of 
ball surface;
    2. The change in original viscosity as determined at 311 K (38 deg. 
C) is less than 25%; and
    3. The total acid or base number is less than 0.40;
    e. Autogenous ignition temperature is determined using the method 
described in ASTM E-659 or national equivalents.

1C996  Hydraulic fluids containing synthetic hydrocarbon oils, 
having all the following characteristics (see List of Items 
Controlled).

License Requirements

Reason for Control: AT

 
               Control(s)                         Country Chart
 
AT applies to entire entry.............  AT Column 1
 

License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Barrels (55 U.S. gallons/209 liters)
Related Controls: N/A
Related Definitions: N/A
Items:
    a. A flash point exceeding 477 K (204 deg. C);
    b. A pour point at 239 K (-34 deg. C) or less;
    c. A viscosity index of 75 or more; and
    d. A thermal stability at 616 K (343 deg. C).
    7. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 2--Materials Processing, Export Control Classification Numbers 
(ECCNs) are amended:
    a. By revising ECCN 2B001;
    b. By revising the entry heading and the List of Items Controlled 
section for ECCN 2B004;
    c. By revising the List of Items Controlled section for ECCN 2B005;
    d. By revising the entry heading and the List of Items Controlled 
for ECCN 2D001; and
    e. By revising the List of Items Controlled section for ECCN 2E003, 
to read as follows:

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

License Requirements

Reason for Control: NS, NP, AT

 
               Control(s)                         Country Chart
 
NS applies to entire entry.............  NS Column 2
NP applies to 2B001.a,b,c, and d,        NP Column 1
 EXCEPT:(1) turning machines under
 2B001.a with a capacity equal to or
 less than 35 mm diameter; (2) bar
 machines (Swissturn), limited to
 machining only bar feed through, if
 maximum bar diameter is equal to or
 less than 42 mm and there is no
 capability of mounting chucks.
 (Machines may have drilling and/or
 milling capabilities for machining
 parts with diameters less than 42 mm);
 or (3) milling machines under 2B001.b.
 with x-axis travel greater than two
 meters and overall ``positioning
 accuracy'' on the x-axis more (worse)
 than 0.030 mm.
AT applies to entire entry.............  AT Column 1
 

    License Requirement Notes: See Sec. 743.1 of the EAR for reporting 
requirements for exports under License Exceptions.

License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: (1) See also 2B290 and 2B991; (2) See also 1B101.d 
for cutting equipment designed or modified for removing prepregs and 
preforms controlled by 9A110.
Related Definitions: N/A
Items:
    a. Machine tools for turning, having all of the following 
characteristics:
    a.1. Positioning accuracy with ``all compensations available'' of 
less (better) than 6 m along any linear axis; and
    a.2. Two or more axes which can be coordinated simultaneously for 
``contouring control'';

    Note: 2B001.a does not control turning machines specially 
designed for the production of contact lenses.

     b. Machine tools for milling, having any of the following 
characteristics:
    b.1.a. Positioning accuracy with ``all compensations available'' of 
less (better) than 6 m along any linear axis; and
    b.1.b. Three linear axes plus one rotary axis which can be 
coordinated simultaneously for ``contouring control'';
    b.2. Five or more axes which can be coordinated simultaneously for 
``contouring control''; or
    b.3. A positioning accuracy for jig boring machines, with ``all 
compensations available'', of less (better) than 4 m along any 
linear axis;
    c. Machine tools for grinding, having any of the following 
characteristics:
    c.1.a. Positioning accuracy with ``all compensations available'' of 
less (better) than 4 m along any linear axis; and
    c.1.b. Three or more axes which can be coordinated simultaneously 
for ``contouring control''; or
    c.2. Five or more axes which can be coordinated simultaneously for 
``contouring control'';

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

    1. Cylindrical external, internal, and external-internal grinding 
machines having all the following characteristics:
    a. Limited to cylindrical grinding; and
    b. Limited to a maximum workpiece capacity of 150 mm outside 
diameter or length.
    2. Machines designed specifically as jig grinders having any of 
following characteristics:

[[Page 40112]]

    a. The c-axis is used to maintain the grinding wheel normal to the 
work surface; or
    b. The a-axis is configured to grind barrel cams.
    3. Tool or cutter grinding machines limited to the production of 
tools or cutters.
    4. Crank shaft or cam shaft grinding machines.
    5. Surface grinders.
    d. Electrical discharge machines (EDM) of the non-wire type which 
have two or more rotary axes which can be coordinated simultaneously 
for ``contouring control'';
    e. Machine tools for removing metals, ceramics or ``composites'':
    e.1. By means of:
    e.1.a. Water or other liquid jets, including those employing 
abrasive additives;
    e.1.b. Electron beam; or
    e.1.c. ``Laser'' beam; and
    e.2. Having two or more rotary axes which:
    e.2.a. Can be coordinated simultaneously for ``contouring 
control''; and
    e.2.b. Have a positioning accuracy of less (better) than 
0.003 deg.;
    f. Deep-hole-drilling machines and turning machines modified for 
deep-hole-drilling, having a maximum depth-of-bore capability exceeding 
5,000 mm and specially designed components therefor.

2B004  Hot ``isostatic presses'', having all of the following 
characteristics described in the List of Items Controlled, and 
specially designed components, and accessories therefor.

* * * * *

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: (1) See also 2B104 and 2B204. (2) For specially 
designed dies, molds and tooling, see 1B003, 9B009 and ML18 (22 CFR 
part 121). (3) In addition, see 1B101.d, 2B104 and 2B204 for controls 
on dies, molds and tooling.
Related Definitions: N/A
Items:
    a. A controlled thermal environment within the closed cavity and 
possessing a chamber cavity with an inside diameter of 406 mm or more; 
and
    b. Any of the following:
    b.1. A maximum working pressure exceeding 207 MPa;
    b.2. A controlled thermal environment exceeding 1,773 K (1,500 deg. 
C); or
    b.3. A facility for hydrocarbon impregnation and removal of 
resultant gaseous degradation products.

    Technical Note: The inside chamber dimension is that of the 
chamber in which both the working temperature and the working 
pressure are achieved and does not include fixtures. That dimension 
will be the smaller of either the inside diameter of the pressure 
chamber or the inside diameter of the insulated furnace chamber, 
depending on which of the two chambers is located inside the other.

2B005  Equipment specially designed for the deposition, processing 
and in-process control of inorganic overlays, coatings and surface 
modifications for non-electronic substrates, by processes shown in 
the Table and associated Notes following 2E003.f, and specially 
designed automated handling, positioning, manipulation and control 
components therefor.

* * * * *

List of Items Controlled

Unit: $ value
    Related Controls: (1) This entry does not control chemical vapor 
deposition, cathodic arc, sputter deposition, ion plating or ion 
implantation equipment specially designed for cutting or machining 
tools. (2) Vapor deposition equipment for the production of filamentary 
materials are controlled by 1B001 or 1B101. (3) Chemical Vapor 
Deposition furnaces designed or modified for densification of carbon-
carbon composites are controlled by 2B104.
Related Definitions: N/A
Items:
    a. ``Stored program controlled'' chemical vapor deposition (CVD) 
production equipment having all of the following:
    a.1. Process modified for one of the following:
    a.1.a. Pulsating CVD;
    a.1.b. Controlled nucleation thermal deposition (CNTD); or
    a.1.c. Plasma enhanced or plasma assisted CVD; and
    a.2. Any of the following:
    a.2.a. Incorporating high vacuum (equal to or less than 0.01 Pa) 
rotating seals; or
    a.2.b. Incorporating in situ coating thickness control;
    b. ``Stored program controlled'' ion implantation production 
equipment having beam currents of 5 mA or more;
    c. ``Stored program controlled'' electron beam physical vapor (EB-
PVD) production equipment incorporating power systems rated for over 80 
kW, having any of the following:
    c.1. A liquid pool level ``laser'' control system which regulates 
precisely the ingots feed rate; or
    c.2. A computer controlled rate monitor operating on the principle 
of photo-luminescence of the ionized atoms in the evaporant stream to 
control the deposition rate of a coating containing two or more 
elements;
    d. ``Stored program controlled'' plasma spraying production 
equipment having any of the following characteristics:
    d.1. Operating at reduced pressure controlled atmosphere (equal or 
less than 10 kPa measured above and within 300 mm of the gun nozzle 
exit) in a vacuum chamber capable of evacuation down to 0.01 Pa prior 
to the spraying process; or
    d.2. Incorporating in situ coating thickness control;
    e. ``Stored program controlled'' sputter deposition production 
equipment capable of current densities of 0.1 mA/mm \2\ or higher at a 
deposition rate 15 m/h or more;
    f. ``Stored program controlled'' cathodic arc deposition equipment 
incorporating a grid of electromagnets for steering control of the arc 
spot on the cathode;
    g. ``Stored program controlled'' ion plating production equipment 
allowing for the in situ measurement of any of the following:
    g.1. Coating thickness on the substrate and rate control; or
    g.2. Optical characteristics.

2D001  ``Software'', other than that controlled by 2D002, specially 
designed or modified for the ``development'', ``production'' or 
``use'' of equipment controlled by 2A001 or 2B001 to 2B009.

* * * * *

List of Items Controlled

Unit: N/A
Related Controls: This entry controls software, not covered by 2D101, 
that are specially designed or modified for the controllers of flow 
forming machines specified by 2B109.
Related Definitions: N/A
Items:
    The list of items controlled is contained in the ECCN heading.

2E003  Other ``technology'', as follows (see List of Items 
Controlled).

* * * * *

List of Items Controlled

Unit: N/A
Related Controls: See 2E001, 2E002, and 2E101 for ``development'' and 
``use'' technology for equipment that are designed or modified for 
densification of carbon-carbon composites, structural composite rocket 
nozzles and reentry vehicle nose tips.
Related Definitions: N/A
Items:

[[Page 40113]]

    a. ``Technology'' for the ``development'' of interactive graphics 
as an integrated part in ``numerical control'' units for preparation or 
modification of part programs;
    b. ``Technology'' for metal-working manufacturing processes, as 
follows:
    b.1. ``Technology'' for the design of tools, dies or fixtures 
specially designed for any of the following processes:
    b.1.a. ``Superplastic forming'';
    b.1.b. ``Diffusion bonding''; or
    b.1.c. ``Direct-acting hydraulic pressing'';
    b.2. Technical data consisting of process methods or parameters as 
listed below used to control:
    b.2.a. ``Superplastic forming'' of aluminum alloys, titanium alloys 
or ``superalloys'':
    b.2.a.1. Surface preparation;
    b.2.a.2. Strain rate;
    b.2.a.3. Temperature;
    b.2.a.4. Pressure;
    b.2.b. ``Diffusion bonding'' of ``superalloys'' or titanium alloys:
    b.2.b.1. Surface preparation;
    b.2.b.2. Temperature;
    b.2.b.3. Pressure;
    b.2.c. ``Direct-acting hydraulic pressing'' of aluminum alloys or 
titanium alloys:
    b.2.c.1. Pressure;
    b.2.c.2. Cycle time;
    b.2.d. ``Hot isostatic densification'' of titanium alloys, aluminum 
alloys or ``superalloys'':
    b.2.d.1. Temperature;
    b.2.d.2. Pressure;
    b.2.d.3. Cycle time;
    c. ``Technology'' for the ``development'' or ``production'' of 
hydraulic stretch-forming machines and dies therefor, for the 
manufacture of airframe structures;
    d. ``Technology'' for the ``development'' of generators of machine 
tool instructions (e.g., part programs) from design data residing 
inside ``numerical control'' units;
    e. ``Technology for the development'' of integration ``software'' 
for incorporation of expert systems for advanced decision support of 
shop floor operations into ``numerical control'' units;
    f. ``Technology'' for the application of inorganic overlay coatings 
or inorganic surface modification coatings (specified in column 3 of 
the following table) to non-electronic substrates (specified in column 
2 of the following table), by processes specified in column 1 of the 
following table and defined in the Technical Note.
    N.B. This table should be read to control the technology of a 
particular `Coating Process' only when the `Resultant Coating' in 
column 3 is in a paragraph directly across from the relevant 
`Substrate' under column 2. For example, Chemical Vapor Deposition 
(CVD) coating process technical data are controlled for the application 
of `silicides' to `Carbon-carbon, Ceramic and Metal ``matrix'' 
``composites'' substrates, but are not controlled for the application 
of `silicides' to `Cemented tungsten carbide (16), Silicon carbide 
(18)' substrates. In the second case, the `Resultant Coating' is not 
listed in the paragraph under column 3 directly across from the 
paragraph under column 2 listing `Cemented tungsten carbide (16), 
Silicon carbide (18)'.
    8. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 2--Material Processing is amended by revising the Materials 
Processing Table in Category 2E to read as follows:

     Category 2E.--Materials Processing Table; Deposition Techniques
------------------------------------------------------------------------
 1. Coating process (1) \1\       2. Substrate      3. Resultant coating
------------------------------------------------------------------------
A. Chemical Vapor Deposition  ``Superalloys''.....  Aluminides for
 (CVD)                                               internal passages
                              Ceramics (19) and     Silicides Carbides
                               Low-expansion        Dielectric layers
                               glasses (14).         (15) Diamond
                                                     Diamond-like carbon
                                                     (17)
                              Carbon-carbon,        Silicides
                               Ceramic, and Metal   Carbides
                               ``matrix''           Refractory metals,
                               ``composites''.      Mixtures thereof (4)
                                                    Dielectric layers
                                                     (15)
                                                    Aluminides
                                                    Alloyed aluminides
                                                     (2)
                                                    Boron nitride
                              Cemented tungsten     Carbides
                               carbide (16),        Tungsten Mixtures
                               Silicon Carbide       thereof (4)
                               (18).                Dielectric layers
                                                     (15)
                              Molybdenum and        Dielectric Players
                               Molybdenum alloys.    (15)
                              Beryllium and         Dielectric layers
                               Beryllium alloys.     (15)
                                                    Diamond
                                                    Diamond-like carbon
                                                     (17)
                              Sensor window         Dielectric layers
                               materials (9).        (15)
                                                    Diamond
                                                    Diamond-like carbon
                                                     (17)
B. Thermal Evaportation
 Physical Vapor
    1. Physical Vapor         ``Superalloys''.....  Alloyed silicides
     Deposition (PVD):                              Alloyed aluminides
     Deposition (TE-PVD)                             (2)
     Electron-Beam (EB-PVD).                        McrAlX (5)
                                                    Modified zirconia
                                                     (12) Silicides
                                                    Aluminides
                                                    Mixtures thereof (4)
                              Ceramics (19) and     Dielectric layers
                               Low-expansion         (15)
                               glasses (14).
                              Corrosion resistant   MCrAIX (5)
                               steel (7).           Modified zirconia
                                                     (12)
                                                    Mixtures thereof (4)

[[Page 40114]]

 
                              Carbon-carbon,        Silicides
                               Ceramic and Metal    Carbides
                               ``matrix''           Refractory metals
                               ``composites''.      Mixtures thereof (4)
                                                    Dielectric layers
                                                     (15)
                                                    Boron nitride
                              Cemented tungsten     Carbides
                               carbide (16),        Tungsten
                               Silicon carbide      Mixtures thereof (4)
                               (18).                Dielectric layers
                                                     (15)
                              Molybdenum and        Dielectric layers
                               Molybdenum alloys.    (15)
                              Beryllium and         Dielectric layers
                               Beryllium alloys.     (15)
                                                    Borides
                                                    Beryllium
                              Sensor window         Dielectric layers
                               materials (9).        (15)
                              Titanium alloys (13)  Borides
                                                    Nitrides
    2. Ion assisted           Ceramics (19) and     Dielectric layers
     resistive heating.        Low-expansion         (15)
     Physical Vapor            glasses (14).        Diamond-like carbon
     Deposition (PVD) (Ion                           (17)
     Plating).
                              Carbon-carbon,        Dielectric layers
                               Ceramic and Metal     (15)
                               ``matrix''
                               ``composites''.
                              Cemented tungsten     Dielectric layers
                               carbide (16),         (15)
                               Silicon carbide.
                              Molybdenum and        Dielectric layers
                               Molybdenum alloys.    (15)
                              Beryllium and         Dielectric layers
                               Beryllium alloys.     (15)
                              Sensor window         Dielectric layers
                               materials (9).        (15)
                                                    Diamond-like carbon
                                                     (17)
  3. Physical Vapor           Ceramics (19) and     Silicides
   Deposition (PVD):           Low-expansion        Dielectric layers
   ``Laser'' Vaporization.     glasses (14).         (15)
                                                    Diamond-like carbon
                                                     (17)
                              Carbon-carbon,        Dielectric layers
                               Ceramic and Metal     (15)
                               ``matrix''
                               ``composites''.
                              Cemented tungsten     Dielectric layers
                               carbide (16),         (15)
                               Silicon carbide.
                              Molybdenum and        Dielectric layers
                               Molybdenum alloys.    (15)
                              Beryllium and         Dielectric layers
                               Beryllium alloys.     (15)
                              Sensor window         Dielectric layers
                               materials (9).        (15)
                                                    Diamond-like carbon
  4. Physical Vapor           ``Superalloys''.....  Alloyed silicides
   Deposition (PVD):                                Alloyed Aluminides
   Cathodic Arc Discharge.                           (2)
                                                    MCrAlX (5)
                              Polymers (11) and     Borides
                               Organic ``matrix''   Carbides
                               ``composites''.      Nitrides
                                                    Diamond-like carbon
                                                     (17)
C. Pack cementation (see A    Carbon-carbon,        Silicides
 above for out-of-pack         Ceramic and Metal    Carbides
 cementation) (10).            ``matrix''           Mixtures thereof (4)
                               ``composites''.
                              Titanium alloys (13)  Silicides
                                                    Aluminides
                                                    Alloyed aluminides
                                                     (2)
                              Refractory metals     Silicides
                               and alloys (8).      Oxides
D. Plasma spraying..........  ``Superalloys''.....  MCrAlX (5)
                                                    Modified zirconia
                                                     (12)
                                                    Mixtures thereof (4)
                                                    Abradable Nickel-
                                                     Graphite
                                                    Abradable materials
                                                     containing Ni-Cr-Al
                                                    Abradable
                                                    Al-Si-Polyester
                                                    Alloyed aluminides
                                                     (2)
                              Aluminum alloys (6).  MCrAIX (5)
                                                    Modified zirconia
                                                     (12)
                                                    Silicides
                                                    Mixtures thereof (4)
                              Refractory metals     Aluminides
                               and alloys (8),      Silicides
                               Carbides, Corrosion  MCrAIX (5)
                               resistant steel (7). Modified zirconia
                                                     (12)
                                                    Mixtures thereof (4)

[[Page 40115]]

 
                              Titanium alloys (13)  Carbides
                                                    Aluminides
                                                    Silicides
                                                    Alloyed aluminides
                                                     (2)
                              Abradable, Nickel-    Abradable materials
                               Graphite.             containing Ni-Cr-Al
                                                    Abradable Al-Si-
                                                     Polyester
E. Slurry Deposition........  Refractory metals     Fused silicides
                               and alloys (8).      Fused aluminides
                                                     except for
                                                     resistance heating
                                                     elements
                              Carbon-carbon,        Silicides
                               Ceramic and Metal    Carbides
                               ``matrix''           Mixtures thereof (4)
                               ``composites''.
F. Sputter Deposition.......  ``Superalloys''.....  Alloyed silicides
                                                    Alloyed aluminides
                                                     (2)
                                                    Noble metal modified
                                                     aluminides (3)
                                                    McrAlX (5)
                                                    Modified zirconia
                                                     (12)
                                                    Platinum Mixtures
                                                     thereof (4)
                              Ceramics and Low-     Silicides
                               expansion glasses    Platinum
                               (14).                Mixtures thereof (4)
                                                    Dielectric layers
                                                     (15)
                                                    Diamond-like carbon
                                                     (17)
                              Titanium alloys (13)  Borides
                                                    Nitrides
                                                    Oxides
                                                    Silicides
                                                    Aluminides
                                                    Alloyed aluminides
                                                     (2)
                                                    Carbides
                              Carbon-carbon,        Silicides
                               Ceramic and Metal    Carbides
                               ``matrix''           Refractory metals
                               ``Composites''.      Mixtures thereof (4)
                                                    Dielectric layers
                                                     (15)
                                                    Boron nitride
                              Cemented tungsten     Carbides
                               carbide (16),        Tungsten
                               Silicon carbide      Mixtures thereof (4)
                               (18).                Dielectric layers
                                                     (15)
                                                    Boron nitride
                              Molybdenum and        Dielectric layers
                               Molybdenum alloys.    (15)
                              Beryllium and         Borides
                               Beryllium alloys.    Dielectric layers
                                                     (15)
                                                    Beryllium
                              Sensor window         Dielectric layers
                               materials (9).        (15)
                                                    Diamond-like carbon
                                                     (17)
                              Refractory metals     Aluminides
                               and alloys (8).      Silicides
                                                    Oxides
                                                    Carbides
G. Ion Implantation.........  High temperature      Additions of
                               bearing steels.       Chromium, Tantalum,
                                                     or Niobium
                                                     (Columbium)
                              Titanium alloys (13)  Borides
                                                    Nitrides
                              Beryllium and         Borides
                               Beryllium alloys.
                              Cemented tungsten     Carbides
                               carbide (16).        Nitrides
------------------------------------------------------------------------
1 The numbers in parenthesis refer to the Notes following this Table.

Notes to Table on Deposition Techniques

    1. The term `coating process' includes coating repair and 
refurbishing as well as original coating.
    2. The term `alloyed aluminide coating' includes single or 
multiple-step coatings in which an element or elements are deposited 
prior to or during application of the aluminide coating, even if 
these elements are deposited by another coating process. It does 
not, however, include the multiple use of single-step pack 
cementation processes to achieve alloyed aluminides.
    3. The term `noble metal modified aluminide' coating includes 
multiple-step coatings in which the noble metal or noble metals are 
laid down by some other coating process prior to application of the 
aluminide coating.
    4. The term `mixtures thereof' includes infiltrated material, 
graded compositions, co-deposits and multilayer deposits and are 
obtained by one or more of the coating processes specified in the 
Table.
    5. MCrAlX refers to a coating alloy where M equals cobalt, iron, 
nickel or combinations thereof and X equals hafnium, yttrium, 
silicon, tantalum in any amount or other intentional additions over 
0.01 weight

[[Page 40116]]

percent in various proportions and combinations, except:
    a. CoCrAlY coatings which contain less than 22 weight percent of 
chromium, less than 7 weight percent of aluminum and less than 2 
weight percent of yttrium;
    b. CoCrAlY coatings which contain 22 to 24 weight percent of 
chromium, 10 to 12 weight percent of aluminum and 0.5 to 0.7 weight 
percent of yttrium; or
    c. NiCrAlY coatings which contain 21 to 23 weight percent of 
chromium, 10 to 12 weight percent of aluminum and 0.9 to 1.1 weight 
percent of yttrium.
    6. The term `aluminum alloys' refers to alloys having an 
ultimate tensile strength of 190 MPa or more measured at 293 K 
(20 deg. C).
    7. The term `corrosion resistant steel' refers to AISI (American 
Iron and Steel Institute) 300 series or equivalent national standard 
steels.
    8. `Refractory metals and alloys' include the following metals 
and their alloys: niobium (columbium), molybdenum, tungsten and 
tantalum.
    9. `Sensor window materials', as follows: alumina, silicon, 
germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond, 
gallium phosphide, sapphire and the following metal halides: sensor 
window materials of more than 40 mm diameter for zirconium fluoride 
and hafnium fluoride.
    10. ``Technology'' for single-step pack cementation of solid 
airfoils is not controlled by this Category.
    11. `Polymers', as follows: polyimide, polyester, polysulfide, 
polycarbonates and polyurethanes.
    12. `Modified zirconia' refers to additions of other metal 
oxides, (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) 
to zirconia in order to stabilize certain crystallographic phases 
and phase compositions. Thermal barrier coatings made of zirconia, 
modified with calcia or magnesia by mixing or fusion, are not 
controlled.
    13. `Titanium alloys' refers only to aerospace alloys having an 
ultimate tensile strength of 900 MPa or more measured at 293 K 
(20 deg. C).
    14. `Low-expansion glasses' refers to glasses which have a 
coefficient of thermal expansion of 1 x 10-7 
K-1 or less measured at 293 K (20 deg. C).
    15. `Dielectric layers' are coatings constructed of multi-layers 
of insulator materials in which the interference properties of a 
design composed of materials of various refractive indices are used 
to reflect, transmit or absorb various wavelength bands. Dielectric 
layers refers to more than four dielectric layers or dielectric/
metal ``composite'' layers.
    16. `Cemented tungsten carbide' does not include cutting and 
forming tool materials consisting of tungsten carbide/(cobalt, 
nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-
chromium and chromium carbide/nickel.
    17. ``Technology'' specially designed to deposit diamond-like 
carbon on any of the following is not controlled: magnetic disk 
drives and heads, polycarbonate eyeglasses, equipment for the 
manufacture of disposals, bakery equipment, valves for faucets, 
acoustic diaphragms for speakers, engine parts for automobiles, 
cutting tools, punching-pressing dies, high quality lenses designed 
for cameras or telescopes, office automation equipment, microphones 
or medical devices.
    18. `Silicon carbide' does not include cutting and forming tool 
materials.
    19. Ceramic substrates, as used in this entry, does not include 
ceramic materials containing 5% by weight, or greater, clay or 
cement content, either as separate constituents or in combination.

    Technical Note to Table on Deposition Techniques: Processes 
specified in Column 1 of the Table are defined as follows:

    a. Chemical Vapor Deposition (CVD) is an overlay coating or 
surface modification coating process wherein a metal, alloy, 
``composite'', dielectric or ceramic is deposited upon a heated 
substrate. Gaseous reactants are decomposed or combined in the 
vicinity of a substrate resulting in the deposition of the desired 
elemental, alloy or compound material on the substrate. Energy for 
this decomposition or chemical reaction process may be provided by 
the heat of the substrate, a glow discharge plasma, or ``laser'' 
irradiation.

    Note 1: CVD includes the following processes: directed gas flow 
out-of-pack deposition, pulsating CVD, controlled nucleation thermal 
decomposition (CNTD), plasma enhanced or plasma assisted CVD 
processes.

    Note 2: Pack denotes a substrate immersed in a powder mixture.

    Note 3: The gaseous reactants used in the out-of-pack process 
are produced using the same basic reactions and parameters as the 
pack cementation process, except that the substrate to be coated is 
not in contact with the powder mixture.

    b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an 
overlay coating process conducted in a vacuum with a pressure less 
than 0.1 Pa wherein a source of thermal energy is used to vaporize 
the coating material. This process results in the condensation, or 
deposition, of the evaporated species onto appropriately positioned 
substrates. The addition of gases to the vacuum chamber during the 
coating process to synthesize compound coatings is an ordinary 
modification of the process. The use of ion or electron beams, or 
plasma, to activate or assist the coating's deposition is also a 
common modification in this technique. The use of monitors to 
provide in-process measurement of optical characteristics and 
thickness of coatings can be a feature of these processes. Specific 
TE-PVD processes are as follows:
    1. Electron Beam PVD uses an electron beam to heat and evaporate 
the material which forms the coating;
    2. Ion Assisted Resistive Heating PVD employs electrically 
resistive heating sources in combination with impinging ion beam(s) 
to produce a controlled and uniform flux of evaporated coating 
species;
    3. ``Laser'' Vaporization uses either pulsed or continuous wave 
``laser'' beams to vaporize the material which forms the coating;
    4. Cathodic Arc Deposition employs a consumable cathode of the 
material which forms the coating and has an arc discharge 
established on the surface by a momentary contact of a ground 
trigger. Controlled motion of arcing erodes the cathode surface 
creating a highly ionized plasma. The anode can be either a cone 
attached to the periphery of the cathode, through an insulator, or 
the chamber. Substrate biasing is used for non line-of-sight 
deposition.

    Note: This definition does not include random cathodic arc 
deposition with non-biased substrates.

    5. Ion Plating is a special modification of a general TE-PVD 
process in which a plasma or an ion source is used to ionize the 
species to be deposited, and a negative bias is applied to the 
substrate in order to facilitate the extraction of the species from 
the plasma. The introduction of reactive species, evaporation of 
solids within the process chamber, and the use of monitors to 
provide in-process measurement of optical characteristics and 
thicknesses of coatings are ordinary modifications of the process.
    c. Pack Cementation is a surface modification coating or overlay 
coating process wherein a substrate is immersed in a powder mixture 
(a pack), that consists of:
    1. The metallic powders that are to be deposited (usually 
aluminum, chromium, silicon or combinations thereof);
    2. An activator (normally a halide salt); and
    3. An inert powder, most frequently alumina.

    Note: The substrate and powder mixture is contained within a 
retort which is heated to between 1,030 K (757  deg.C) to 1,375 K 
(1,102  deg.C) for sufficient time to deposit the coating.

    d. Plasma Spraying is an overlay coating process wherein a gun 
(spray torch) which produces and controls a plasma accepts powder or 
wire coating materials, melts them and propels them towards a 
substrate, whereon an integrally bonded coating is formed. Plasma 
spraying constitutes either low pressure plasma spraying or high 
velocity plasma spraying.

    Note 1: Low pressure means less than ambient atmospheric 
pressure.

    Note 2: High velocity refers to nozzle-exit gas velocity 
exceeding 750 m/s calculated at 293 K (20  deg.C) at 0.1 MPa.

    e. Slurry Deposition is a surface modification coating or 
overlay coating process wherein a metallic or ceramic powder with an 
organic binder is suspended in a liquid and is applied to a 
substrate by either spraying, dipping or painting, subsequent air or 
oven drying, and heat treatment to obtain the desired coating.
    f. Sputter Deposition is an overlay coating process based on a 
momentum transfer phenomenon, wherein positive ions are accelerated 
by an electric field towards the surface of a target (coating 
material). The kinetic energy of the impacting ions is sufficient to 
cause target surface atoms to be released and deposited on an 
appropriately positioned substrate.

    Note 1: The Table refers only to triode, magnetron or reactive 
sputter deposition which is used to increase adhesion of the coating 
and rate of deposition and to radio

[[Page 40117]]

frequency (RF) augmented sputter deposition used to permit 
vaporization of non-metallic coating materials.

    Note 2: Low-energy ion beams (less than 5 keV) can be used to 
activate the deposition.

    g. Ion Implantation is a surface modification coating process in 
which the element to be alloyed is ionized, accelerated through a 
potential gradient and implanted into the surface region of the 
substrate. This includes processes in which ion implantation is 
performed simultaneously with electron beam physical vapor 
deposition or sputter deposition.

Accompanying Technical Information to Table on Deposition Techniques:

    1. ``Technology'' for pretreatments of the substrates listed in 
the Table, as follows:
    a. Chemical stripping and cleaning bath cycle parameters, as 
follows:
    1. Bath composition;
    a. For the removal of old or defective coatings corrosion 
product or foreign deposits;
    b. For preparation of virgin substrates;
    2. Time in bath;
    3. Temperature of bath;
    4. Number and sequences of wash cycles;
    b. Visual and macroscopic criteria for acceptance of the cleaned 
part;
    c. Heat treatment cycle parameters, as follows:
    1. Atmosphere parameters, as follows:
    a. Composition of the atmosphere;
    b. Pressure of the atmosphere;
    2. Temperature for heat treatment;
    3. Time of heat treatment;
    d. Substrate surface preparation parameters, as follows:
    1. Grit blasting parameters, as follows:
    a. Grit composition;
    b. Grit size and shape;
    c. Grit velocity;
    2. Time and sequence of cleaning cycle after grit blast;
    3. Surface finish parameters;
    4. Application of binders to promote adhesion;
    e. Masking technique parameters, as follows:
    1. Material of mask;
    2. Location of mask;
    2. ``Technology'' for in situ quality assurance techniques for 
evaluation of the coating processes listed in the Table, as follows:
    a. Atmosphere parameters, as follows:
    1. Composition of the atmosphere;
    2. Pressure of the atmosphere;
    b. Time parameters;
    c. Temperature parameters;
    d. Thickness parameters;
    e. Index of refraction parameters;
    f. Control of composition;
    3. ``Technology'' for post deposition treatments of the coated 
substrates listed in the Table, as follows:
    a. Shot peening parameters, as follows:
    1. Shot composition;
    2. Shot size;
    3. Shot velocity;
    b. Post shot peening cleaning parameters;
    c. Heat treatment cycle parameters, as follows:
    1. Atmosphere parameters, as follows:
    a. Composition of the atmosphere;
    b. Pressure of the atmosphere;
    2. Time-temperature cycles;
    d. Post heat treatment visual and macroscopic criteria for 
acceptance of the coated substrates;
    4. ``Technology'' for quality assurance techniques for the 
evaluation of the coated substrates listed in the Table, as follows:
    a. Statistical sampling criteria;
    b. Microscopic criteria for:
    1. Magnification;
    2. Coating thickness, uniformity;
    3. Coating integrity;
    4. Coating composition;
    5. Coating and substrates bonding;
    6. Microstructural uniformity.
    c. Criteria for optical properties assessment (measured as a 
function of wavelength):
    1. Reflectance;
    2. Transmission;
    3. Absorption;
    4. Scatter;
    5. ``Technology'' and parameters related to specific coating and 
surface modification processes listed in the Table, as follows:
    a. For Chemical Vapor Deposition (CVD):
    1. Coating source composition and formulation;
    2. Carrier gas composition;
    3. Substrate temperature;
    4. Time-temperature-pressure cycles;
    5. Gas control and part manipulation;
    b. For Thermal Evaporation-Physical Vapor Deposition (PVD):
    1. Ingot or coating material source composition;
    2. Substrate temperature;
    3. Reactive gas composition;
    4. Ingot feed rate or material vaporization rate;
    5. Time-temperature-pressure cycles;
    6. Beam and part manipulation;
    7. ``Laser'' parameters, as follows:
    a. Wave length;
    b. Power density;
    c. Pulse length;
    d. Repetition ratio;
    e. Source;
    c. For Pack Cementation:
    1. Pack composition and formulation;
    2. Carrier gas composition;
    3. Time-temperature-pressure cycles;
    d. For Plasma Spraying:
    1. Powder composition, preparation and size distributions;
    2. Feed gas composition and parameters;
    3. Substrate temperature;
    4. Gun power parameters;
    5. Spray distance;
    6. Spray angle;
    7. Cover gas composition, pressure and flow rates;
    8. Gun control and part manipulation;
    e. For Sputter Deposition:
    1. Target composition and fabrication;
    2. Geometrical positioning of part and target;
    3. Reactive gas composition;
    4. Electrical bias;
    5. Time-temperature-pressure cycles;
    6. Triode power;
    7. Part manipulation;
    f. For Ion Implantation:
    1. Beam control and part manipulation;
    2. Ion source design details;
    3. Control techniques for ion beam and deposition rate 
parameters;
    4. Time-temperature-pressure cycles.
    g. For Ion Plating:
    1. Beam control and part manipulation;
    2. Ion source design details;
    3. Control techniques for ion beam and deposition rate 
parameters;
    4. Time-temperature-pressure cycles;
    5. Coating material feed rate and vaporization rate;
    6. Substrate temperature;
    7. Substrate bias parameters.

    9. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3--Electronics, Export Control Classification Numbers (ECCNs), 
are amended:
    a. By revising the List of Items Controlled section for ECCNs 
3A001, 3A002, 3A991, 3B001, 3B991, 3C002 and 3E001;
    b. By adding a new ECCN 3C992;
    c. By revising the License Exceptions section and the List of Items 
Controlled section for 3E002, to read as follows:

3A001  Electronic components, as follows (see List of Items 
Controlled).

* * * * *

List of Items Controlled

Unit: Number
Related Controls: See also 3A101, 3A201, and 3A991
Related Definitions: For the purposes of integrated circuits in 
3A001.a.1, 5 x 10\3\ Gy(Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy (Si)/s 
= 5 x 10\8\ Rads (Si)/s.
Items:
    a. General purpose integrated circuits, as follows:

    Note 1: The control status of wafers (finished or unfinished), 
in which the function has been determined, is to be evaluated 
against the parameters of 3A001.a.

    Note 2: Integrated circuits include the following types:
    ``Monolithic integrated circuits'';
    ``Hybrid integrated circuits'';
    ``Multichip integrated circuits'';
    ``Film type integrated circuits'', including silicon-on-sapphire 
integrated circuits;
    ``Optical integrated circuits''.

    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; or
    a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher;
    a.2. Integrated circuits described in 3A001.a.3 to 3A001.a.10 or 
3A001.a.12, electrical erasable programmable read-only memories 
(EEPROMs), flash memories and static random-access memories (SRAMs), 
having any of the following:
    a.2.a. Rated for operation at an ambient temperature above 398 K 
(125 deg. C);

[[Page 40118]]

    a.2.b. Rated for operation at an ambient temperature below 218 K 
(-55 deg. C); or
    a.2.c. Rated for operation over the entire ambient temperature 
range from 218 K (-55 deg. C) to 398 K (125 deg. C);

    Note: 3A001.a.2 does not apply to integrated circuits for civil 
automobiles or railway train applications.

     a.3. ``Microprocessor microcircuits'', ``micro-computer 
microcircuits'' and microcontroller microcircuits, having any of the 
following characteristics:

    Note: 3A001.a.3 includes digital signal processors, digital 
array processors and digital coprocessors.

    a.3.a. A ``composite theoretical performance'' (``CTP'') of 260 
million theoretical operations per second (Mtops) or more and an 
arithmetic logic unit with an access width of 32 bit or more;
    a.3.b. Manufactured from a compound semiconductor and operating at 
a clock frequency exceeding 40 MHz; or
    a.3.c. More than one data or instruction bus or serial 
communication port for external interconnection in a parallel processor 
with a transfer rate exceeding 2.5 Mbyte/s;
    a.4. Storage integrated circuits manufactured from a compound 
semiconductor;
    a.5. Analog-to-digital and digital-to-analog converter integrated 
circuits, as follows:
    a.5.a. Analog-to-digital converters having any of the following:
    a.5.a.1. A resolution of 8 bit or more, but less than 12 bit, with 
a total conversion time to maximum resolution of less than 10 ns;
    a.5.a.2. A resolution of 12 bit with a total conversion time to 
maximum resolution of less than 200 ns; or
    a.5.a.3. A resolution of more than 12 bit with a total conversion 
time to maximum resolution of less than 2 s;
    a.5.b. Digital-to-analog converters with a resolution of 12 bit or 
more, and a ``settling time'' of less than 10 ns;
    a.6. Electro-optical and ``optical integrated circuits'' designed 
for ``signal processing'' having all of the following:
    a.6.a. One or more than one internal ``laser'' diode;
    a.6.b. One or more than one internal light detecting element; and
    a.6.c. Optical waveguides;
    a.7. Field programmable gate arrays having any of the following:
    a.7.a. An equivalent usable gate count of more than 30,000 (2 input 
gates); or
    a.7.b. A typical ``basic gate propagation delay time'' of less than 
0.4 ns;
    a.8. Field programmable logic arrays having any of the following:
    a.8.a. An equivalent usable gate count of more than 30,000 (2 input 
gates); or
    a.8.b. A toggle frequency exceeding 133 MHz;
    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 208 terminals;
    a.10.b. A typical ``basic gate propagation delay time'' of less 
than 0.35 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 any of the 
following:
    a.12.a. A rated execution time for a 1,024 point complex FFT of 
less than 1 ms;
    a.12.b. A rated execution time for an N-point complex FFT of other 
than 1,024 points of less than N log2 N /10,240 ms, where N 
is the number of points; or
    a.12.c. A butterfly throughput of more than 5.12 MHz;
    b. Microwave or millimeter wave components, as follows:
    b.1. Electronic vacuum tubes and cathodes, as follows:

    Note: 3A001.b.1 does not control tubes designed or rated to 
operate in the ITU allocated bands at frequencies not exceeding 31 
GHz.

    b.1.a. Traveling wave tubes, pulsed or continuous wave, as follows:
    b.1.a.1. Operating at frequencies higher than 31 GHz;
    b.1.a.2. Having a cathode heater element with a turn on time to 
rated RF power of less than 3 seconds;
    b.1.a.3. Coupled cavity tubes, or derivatives thereof, with an 
``instantaneous bandwidth'' of more than 7% or a peak power exceeding 
2.5 kW;
    b.1.a.4. Helix tubes, or derivatives thereof, with any of the 
following characteristics:
    b.1.a.4.a. An ``instantaneous bandwidth'' of more than one octave, 
and average power (expressed in kW) times frequency (expressed in GHz) 
of more than 0.5;
    b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less, 
and average power (expressed in kW) times frequency (expressed in GHz) 
of more than 1; or
    b.1.a.4.c. Being ``space qualified'';
    b.1.b. Crossed-field amplifier tubes with a gain of more than 17 
dB;
    b.1.c. Impregnated cathodes designed for electronic tubes, with any 
of the following:
    b.1.c.1. A turn on time to rated emission of less than 3 seconds; 
or
    b.1.c.2. Producing a continuous emission current density at rated 
operating conditions exceeding 5 A/cm\2\;
    b.2. Microwave integrated circuits or modules having all of the 
following:
    b.2.a. Containing ``monolithic integrated circuits''; and
    b.2.b. Operating at frequencies above 3 GHz;

    Note: 3A001.b.2 does not control circuits or modules for equipment 
designed or rated to operate in the ITU allocated bands at frequencies 
not exceeding 31 GHz.

    b.3. Microwave transistors rated for operation at frequencies 
exceeding 31 GHz;
    b.4. Microwave solid state amplifiers, having any of the following:
    b.4.a. Operating frequencies exceeding 10.5 GHz and an 
``instantaneous bandwidth'' of more than half an octave; or
    b.4.b. Operating frequencies exceeding 31 GHz;
    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 s 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. Microwave ``assemblies'' capable of operating at frequencies 
exceeding 31 GHz;
    b.7. Mixers and converters designed to extend the frequency range 
of equipment described in 3A002.c, 3A002.e or 3A002.f beyond the limits 
stated therein;
    b.8. Microwave power amplifiers containing tubes controlled by 
3A001.b and having all of the following:
    b.8.a. Operating frequencies above 3 GHz;
    b.8.b. An average output power density exceeding 80 W/kg; and
    b.8.c. A volume of less than 400 cm\3\;

    Note: 3A001.b.8 does not control equipment designed or rated for 
operation in an ITU allocated band.

    c. Acoustic wave devices, as follows, and specially designed 
components therefor:

[[Page 40119]]

    c.1. Surface acoustic wave and surface skimming (shallow bulk) 
acoustic wave devices (i.e., ``signal processing'' devices employing 
elastic waves in materials), having any of the following:
    c.1.a. A carrier frequency exceeding 2.5 GHz;
    c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 2.5 
GHz, and having any of the following:
    c.1.b.1. A frequency side-lobe rejection exceeding 55 dB;
    c.1.b.2. A product of the maximum delay time and the bandwidth 
(time in 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 s; or
    c.1.c. A carrier frequency of 1 GHz or less, having any of the 
following:
    c.1.c.1. A product of the maximum delay time and the bandwidth 
(time in s and bandwidth in MHz) of more than 100;
    c.1.c.2. A dispersive delay of more than 10 s; or
    c.1.c.3. A frequency side-lobe rejection exceeding 55 dB and a 
bandwidth greater than 50 MHz;
    c.2. Bulk (volume) acoustic wave devices (i.e., ``signal 
processing'' devices employing elastic waves) that permit the direct 
processing of signals at frequencies exceeding 1 GHz;
    c.3. Acoustic-optic ``signal processing'' devices employing 
interaction between acoustic waves (bulk wave or surface wave) and 
light waves that permit the direct processing of signals or images, 
including spectral analysis, correlation or convolution;
    d. Electronic devices and circuits containing components, 
manufactured from ``superconductive'' materials specially designed for 
operation at temperatures below the ``critical temperature'' of at 
least one of the ``superconductive'' constituents, with any of the 
following:
    d.1. Electromagnetic amplification:
    d.1.a. At frequencies equal to or less than 31 GHz with a noise 
figure of less than 0.5 dB; or
    d.1.b. At frequencies exceeding 31 GHz;
    d.2. 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 
10-14J; or
    d.3. Frequency selection at all frequencies using resonant circuits 
with Q-values exceeding 10,000;
    e. High energy devices, as follows:
    e.1. Batteries and photovoltaic arrays, as follows:

    Note: 3A001.e.1 does not control batteries with volumes equal to 
or less than 27 cm \3\ (e.g., standard C-cells or R14 batteries).

    e.1.a. Primary cells and batteries having an energy density 
exceeding 480 Wh/kg and rated for operation in the temperature range 
from below 243 K (-30 deg. C) to above 343 K (70 deg. C);
    e.1.b. Rechargeable cells and batteries having an energy density 
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge 
current equal to C/5 hours (C being the nominal capacity in ampere 
hours) when operating in the temperature range from below 253 K 
(-20 deg. C) to above 333 K (60 deg. C);

    Technical Note: Energy density is obtained by multiplying the 
average power in watts (average voltage in volts times average 
current in amperes) by the duration of the discharge in hours to 75% 
of the open circuit voltage divided by the total mass of the cell 
(or battery) in kg.

    e.1.c. ``Space qualified'' and radiation hardened photovoltaic 
arrays with a specific power exceeding 160 W/m2 at an 
operating temperature of 301 K (28 deg. C) under a tungsten 
illumination of 1 kW/m2 at 2,800 K (2,527 deg. C);
    e.2. High energy storage capacitors, as follows:
    N.B.: See also 3A201.a.
    e.2.a. Capacitors with a repetition rate of less than 10 Hz (single 
shot capacitors) having all of the following:
    e.2.a.1. A voltage rating equal to or more than 5 kV;
    e.2.a.2. An energy density equal to or more than 250 J/kg; and
    e.2.a.3. A total energy equal to or more than 25 kJ;
    e.2.b. Capacitors with a repetition rate of 10 Hz or more 
(repetition rated capacitors) having all of the following:
    e.2.b.1. A voltage rating equal to or more than 5 kV;
    e.2.b.2. An energy density equal to or more than 50 J/kg;
    e.2.b.3. A total energy equal to or more than 100 J; and
    e.2.b.4. A charge/discharge cycle life equal to or more than 
10,000;
    e.3. ``Superconductive'' electromagnets and solenoids specially 
designed to be fully charged or discharged in less than one second, 
having all of the following:
    N.B.: See also 3A201.b.
    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;

    Note: 3A001.e.3 does not control ``superconductive'' 
electromagnets or solenoids specially designed for Magnetic 
Resonance Imaging (MRI) medical equipment.

    f. Rotary input type shaft absolute position encoders having any of 
the following:
    f.1. A resolution of better than 1 part in 265,000 (18 bit 
resolution) of full scale; or
    f.2. An accuracy better than 2.5 seconds of arc.

3A002  General purpose electronic equipment, as follows (see List 
of Items Controlled).

* * * * *

List of Items Controlled

Unit: Number
Related Controls: See also 3A202 and 3A992
Related Definitions: N/A
Items:
    a. Recording equipment, as follows, and specially designed test 
tape therefor:
    a.1. Analog instrumentation magnetic tape recorders, including 
those permitting the recording of digital signals (e.g., using a high 
density digital recording (HDDR) module), having any of the following:
    a.1.a. A bandwidth exceeding 4 MHz per electronic channel or track;
    a.1.b. A bandwidth exceeding 2 MHz per electronic channel or track 
and having more than 42 tracks; or
    a.1.c. A time displacement (base) error, measured in accordance 
with applicable IRIG or EIA documents, of less than 0.1 
s;

    Note: Analog magnetic tape recorders specially designed for 
civilian video purposes are not considered to be instrumentation 
tape recorders.

    a.2. Digital video magnetic tape recorders having a maximum digital 
interface transfer rate exceeding 360 Mbit/s;

    Note: 3A002.a.2 does not control digital video magnetic tape 
recorders specially designed for television recording using a signal 
format, which may include a compressed signal format, standardized 
or recommended by the ITU, the IEC, the SMPTE, the EBU or the IEEE 
for civil television applications.

    a.3. Digital instrumentation magnetic tape data recorders employing 
helical scan techniques or fixed head techniques, having any of the 
following:
    a.3.a. A maximum digital interface transfer rate exceeding 175 
Mbit/s; or
    a.3.b. Being ``space qualified'';

    Note: 3A002.a.3 does not control analog magnetic tape recorders 
equipped with

[[Page 40120]]

HDDR conversion electronics and configured to record only digital 
data.

    a.4. Equipment, having a maximum digital interface transfer rate 
exceeding 175 Mbit/s, designed to convert digital video magnetic tape 
recorders for use as digital instrumentation data recorders;
    a.5. Waveform digitizers and transient recorders having all of the 
following:
    N.B.: See also 3A202.
    a.5.a. Digitizing rates equal to or more than 200 million samples 
per second and a resolution of 10 bits or more; and
    a.5.b. A continuous throughput of 2 Gbit/s or more;

    Technical Note: For those instruments with a parallel bus 
architecture, the continuous throughput rate is the highest word 
rate multiplied by the number of bits in a word. Continuous 
throughput is the fastest data rate the instrument can output to 
mass storage without the loss of any information while sustaining 
the sampling rate and analog-to-digital conversion.

    b. ``Frequency synthesizer'', ``assemblies'' having a ``frequency 
switching time'' from one selected frequency to another of less than 1 
ms;
    c. ``Signal analyzers'', as follows:
    c.1. ``Signal analyzers'' capable of analyzing frequencies 
exceeding 31 GHz;
    c.2. ``Dynamic signal analyzers'' having a ``real-time bandwidth'' 
exceeding 25.6 kHz;

    Note: 3A002.c.2 does not control those ``dynamic signal 
analyzers'' using only constant percentage bandwidth filters (also 
known as octave or fractional octave filters).

    Technical Note: Constant percentage bandwidth filters are also 
known as octave or fractional octave filters.

    d. Frequency synthesized signal generators producing output 
frequencies, the accuracy and short term and long term stability of 
which are controlled, derived from or disciplined by the internal 
master frequency, and having any of the following:
    d.1. A maximum synthesized frequency exceeding 31 GHz;
    d.2. A ``frequency switching time'' from one selected frequency to 
another of less than 1 ms; or
    d.3. A single sideband (SSB) phase noise better than -(126 + 20 
log10F-20 log10f) in dBc/Hz, where F is the off-
set from the operating frequency in Hz and f is the operating frequency 
in MHz;

    Note: 3A002.d does not control equipment in which the output 
frequency is either produced by the addition or subtraction of two 
or more crystal oscillator frequencies, or by an addition or 
subtraction followed by a multiplication of the result.

    e. Network analyzers with a maximum operating frequency exceeding 
40 GHz;
    f. Microwave test receivers having all of the following:
    f.1. A maximum operating frequency exceeding 40 GHz; and
    f.2. Being capable of measuring amplitude and phase simultaneously;
    g. Atomic frequency standards having any of the following:
    g.1. Long-term stability (aging) less (better) than 1  x  
10-11/month; or
    g.2. Being ``space qualified''.

    Note: 3A002.g.1 does not control non-``space qualified'' 
rubidium standards.

3A991  Electronic devices and components not controlled by 3A001.

* * * * *

List of Items Controlled

Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
    a. ``Microprocessor microcircuits'', ``microcomputer 
microcircuits'', and microcontroller microcircuits having a clock 
frequency exceeding 25 MHz;
    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. Field programmable logic arrays having either of the following:
    c.1. An equivalent gate count of more than 5000 (2 input gates); or
    c.2. A toggle frequency exceeding 100 MHz;
    d. 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:
    d.1. More than 144 terminals; or
    d.2. A typical ``basic propagation delay time'' of less than 0.4 
ns.
    e. Travelling wave tubes, pulsed or continuous wave, as follows:
    e.1. Coupled cavity tubes, or derivatives thereof;
    e.2. Helix tubes, or derivatives thereof, with any of the 
following:
    e.2.a.1. An ``instantaneous bandwidth'' of half an octave or more; 
and
    e.2.a.2. The product of the rated average output power (expressed 
in kW) and the maximum operating frequency (expressed in GHz) of more 
than 0.2;
    e.2.b.1 An ``instantaneous bandwidth'' of less than half an octave; 
and
    e.2.b.2. The product of the rated average output power (expressed 
in kW) and the maximum operating frequency (expressed in GHz) of more 
than 0.4;
    f. Flexible waveguides designed for use at frequencies exceeding 40 
GHz;
    g. 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:
    g.1. A carrier frequency exceeding 1 GHz; or
    g.2. A carrier frequency of 1 GHz or less; and
    g.2.a. A frequency side-lobe rejection exceeding 55 dB;
    g.2.b. A product of the maximum delay time and bandwidth (time in 
microseconds and bandwidth in MHz) of more than 100; or
    g.2.c. A dispersive delay of more than 10 microseconds.
    h. Batteries, as follows:

    Note: 3A991.h does not control batteries with volumes equal to 
or less than 26 cm3 (e.g., standard C-cells or UM-2 
batteries).

    h.1. Primary cells and batteries having an energy density exceeding 
350 Wh/kg and rated for operation in the temperature range from below 
243 K (-30 deg. C) to above 343 K (70 deg. C);
    h.2. Rechargeable cells and batteries having an energy density 
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge 
current equal to C/5 hours (C being the nominal capacity in ampere 
hours) when operating in the temperature range from below 253 K 
(-20 deg. C) to above 333 K (60 deg. C);

    Technical Note: Energy density is obtained by multiplying the 
average power in watts (average voltage in volts times average 
current in amperes) by the duration of the discharge in hours to 75 
percent of the open circuit voltage divided by the total mass of the 
cell (or battery) in kg.

    i. ``Superconductive'' electromagnets or solenoids specially 
designed to be fully charged or discharged in less than one minute, 
having all of the following:

    Note: 3A991.i does not control ``superconductive'' 
electromagnets or solenoids designed for Magnetic Resonance Imaging 
(MRI) medical equipment.

    i.1. Maximum energy delivered during the discharge divided by the

[[Page 40121]]

duration of the discharge of more than 500 kJ per minute;
    i.2. Inner diameter of the current carrying windings of more than 
250 mm; and
    i.3. Rated for a magnetic induction of more than 8T or ``overall 
current density'' in the winding of more than 300 A/mm.\2\
    j. 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:
    j.1. Resonant operating frequencies exceeding 1 MHz;
    j.2. A stored energy density of 1 MJ/M\3\ or more; and
    j.3. A discharge time of less than 1 ms;
    k. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal 
construction and rate for a peak current of 500 A or more;
    l. Digital integrated circuits based on any compound semiconductor 
having an equivalent gate count of more than 300 (2 input gates).

3B001  Equipment for the manufacturing of semiconductor devices or 
materials and specially designed components and accessories 
therefor.

* * * * *

List of Items Controlled

Unit: Number
Related Controls: See also 3B991
Related Definitions: N/A
Items:
    a. ``Stored program controlled'' equipment designed for epitaxial 
growth, as follows:
    a.1. Equipment capable of producing a layer thickness uniform to 
less than  2.5% across a distance of 75 mm or more;
    a.2. Metal organic chemical vapor deposition (MOCVD) reactors 
specially designed for compound semiconductor crystal growth by the 
chemical reaction between materials controlled by 3C003 or 3C004;
    a.3. Molecular beam epitaxial growth equipment using gas or solid 
sources;
    b. ``Stored program controlled'' equipment designed for ion 
implantation, having any of the following:
    b.1. A beam energy (accelerating voltage) exceeding 1MeV;
    b.2. Being specially designed and optimized to operate at a beam 
energy (accelerating voltage of less than 2 keV;
    b.3. Direct write capability; or
    b.4. Being capable of high energy oxygen implant into a heated 
semiconductor material ``substrate'';
    c. ``Stored program controlled'' anisotropic plasma dry etching 
equipment, as follows:
    c.1. Equipment with cassette-to-cassette operation and load-locks, 
and having any of the following:
    c.1.a. Magnetic confinement; or
    c.1.b. Electron cyclotron resonance (ECR);
    c.2. Equipment specially designed for equipment controlled by 
3B001.e and having any of the following:
    c.2.a. Magnetic confinement; or
    c.2.b. ECR;
    d. ``Stored program controlled'' plasma enhanced CVD equipment, as 
follows:
    d.1. Equipment with cassette-to-cassette operation and load-locks, 
and having any of the following:
    d.1.a. Magnetic confinement; or
    d.1.b. ECR;
    d.2. Equipment specially designed for equipment controlled by 
3B001.e and having any of the following:
    d.2.a. Magnetic confinement; or
    d.2.b. ECR;
    e. ``Stored program controlled'' automatic loading multi-chamber 
central wafer handling systems, having all of the following:
    e.1. Interfaces for wafer input and output, to which more than two 
pieces of semiconductor processing equipment are to be connected; and
    e.2. Designed to form an integrated system in a vacuum environment 
for sequential multiple wafer processing;

    Note: 3B001.e does not control automatic robotic wafer handling 
systems not designed to operate in a vacuum environment.

    f. ``Stored program controlled'' lithography equipment, as follows:
    f.1. Align and expose step and repeat (direct step on wafer) or 
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods, having any of the following:
    f.1.a. A light source wavelength shorter than 350 nm; or
    f.1.b. Capable of producing a pattern with a minimum resolvable 
feature size of 0.5 m or less;

    Note: The minimum resolvable feature size is calculated by the 
following formula:

[GRAPHIC] [TIFF OMITTED] TR23JY99.006

Where the K factor = 0.7.
MRF = minimum resolvable feature size.
    f.2. Equipment specially designed for mask making or semiconductor 
device processing using deflected focussed electron beam, ion beam or 
``laser'' beam, having any of the following:
    f.2.a. A spot size smaller than 0.2 m;
    f.2.b. Being capable of producing a pattern with a feature size of 
less than 1 m; or
    f.2.c. An overlay accuracy of better than  0.20 
m (3 sigma);
    g. Masks and reticles designed for integrated circuits controlled 
by 3A001;
    h. Multi-layer masks with a phase shift layer.

3B991  Equipment not controlled by 3B001 for the manufacture of 
electronic components and materials, and specially designed 
components and accessories therefor.

* * * * *

List of Items Controlled

Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
    a. Equipment specially designed for the manufacture of electron 
tubes, optical elements and specially designed components therefor 
controlled by 3A001 or 3A991;
    b. Equipment specially designed for the manufacture of 
semiconductor devices, integrated circuits and ``assemblies'', as 
follows, and systems incorporating or having the characteristics of 
such equipment:

    Note: 3B991.b also controls equipment used or modified for use 
in the manufacture of other devices, such as imaging devices,

[[Page 40122]]

electro-optical devices, acoustic-wave devices.

    b.1. Equipment for the processing of materials for the manufacture 
of devices and components as specified in the heading of 3B991.b, as 
follows:

    Note: 3B991 does not control quartz furnace tubes, furnace 
liners, paddles, boats (except specially designed caged boats), 
bubblers, cassettes or crucibles specially designed for the 
processing equipment controlled by 3B991.b.1.

    b.1.a. Equipment for producing polycrystalline silicon and 
materials controlled by 3C001;
    b.1.b. Equipment specially designed for purifying or processing 
III/V and II/VI semiconductor materials controlled by 3C001, 3C002, 
3C003, or 3C004, except crystal pullers, for which see 3B991.b.1.c 
below;
    b.1.c. Crystal pullers and furnaces, as follows:

    Note: 3B991.b.1.c does not control diffusion and oxidation 
furnaces.

    b.1.c.1. Annealing or recrystallizing equipment other than constant 
temperature furnaces employing high rates of energy transfer capable of 
processing wafers at a rate exceeding 0.005 m \2\ per minute;
    b.1.c.2. ``Stored program controlled'' crystal pullers having any 
of the following characteristics:
    b.1.c.2.a. Rechargeable without replacing the crucible container;
    b.1.c.2.b. Capable of operation at pressures above 2.5 x 10 \5\ Pa; 
or
    b.1.c.2.c. Capable of pulling crystals of a diameter exceeding 100 
mm;
    b.1.d. ``Stored program controlled'' equipment for epitaxial growth 
having any of the following characteristics:
    b.1.d.1. Capable of producing a layer thickness uniformity across 
the wafer of equal to or better than 3.5%;
    b.1.d.2. Rotation of individual wafers during processing; or
    b.1.e. Molecular beam epitaxial growth equipment;
    b.1.f. Magnetically enhanced ``sputtering'' equipment with 
specially designed integral load locks capable of transferring wafers 
in an isolated vacuum environment;
    b.1.g. Equipment specially designed for ion implantation, ion-
enhanced or photo-enhanced diffusion, having any of the following 
characteristics:
    b.1.g.1. Patterning capability;
    b.1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
    b.1.g.3 Optimized to operate at a beam energy (accelerating 
voltage) of less than 10 keV; or
    b.1.g.4. Capable of high energy oxygen implant into a heated 
``substrate'';
    b.1.h. ``Stored program controlled'' equipment for the selective 
removal (etching) by means of anisotropic dry methods (e.g., plasma), 
as follows:
    b.1.h.1. Batch types having either of the following:
    b.1.h.1.a. End-point detection, other than optical emission 
spectroscopy types; or
    b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or 
less;
    b.1.h.2. Single wafer types having any of the following:
    b.1.h.2.a. End-point detection, other than optical emission 
spectroscopy types;
    b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or 
less; or
    b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;

    Notes: 1. ``Batch types'' refers to machines not specially 
designed for production processing of single wafers. Such machines 
can process two or more wafers simultaneously with common process 
parameters, e.g., RF power, temperature, etch gas species, flow 
rates.

    2. ``Single wafer types'' refers to machines specially designed for 
production processing of single wafers. These machines may use 
automatic wafer handling techniques to load a single wafer into the 
equipment for processing. The definition includes equipment that can 
load and process several wafers but where the etching parameters, e.g., 
RF power or end point, can be independently determined for each 
individual wafer.
    b.1.i. ``Chemical vapor deposition'' (CVD) equipment, e.g., plasma-
enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor device 
manufacturing, having either of the following capabilities, for 
deposition of oxides, nitrides, metals or polysilicon:
    b.1.i.1. ``Chemical vapor deposition'' equipment operating below 10 
\5\ Pa; or
    b.1.i.2. PECVD equipment operating either below 60 Pa (450 
millitorr) or having automatic cassette-to-cassette and load lock wafer 
handling;

    Note: 3B991.b.1.i does not control low pressure ``chemical vapor 
deposition'' (LPCVD) systems or reactive ``sputtering'' equipment.

    b.1.j. Electron beam systems specially designed or modified for 
mask making or semiconductor device processing having any of the 
following characteristics:
    b.1.j.1. Electrostatic beam deflection;
    b.1.j.2. Shaped, non-Gaussian beam profile;
    b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
    b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit; or
    b.1.j.5. Target-to-beam position feedback control precision of 1 
micrometer or finer;

    Note: 3B991.b.1.j does not control electron beam deposition 
systems or general purpose scanning electron microscopes.

    b.1.k. Surface finishing equipment for the processing of 
semiconductor wafers as follows:
    b.1.k.1. Specially designed equipment for backside processing of 
wafers thinner than 100 micrometer and the subsequent separation 
thereof; or
    b.1.k.2. Specially designed equipment for achieving a surface 
roughness of the active surface of a processed wafer with a two-sigma 
value of 2 micrometer or less, total indicator reading (TIR);

    Note: 3B991.b.1.k does not control single-side lapping and 
polishing equipment for wafer surface finishing.

    b.1.l. Interconnection equipment which includes common single or 
multiple vacuum chambers specially designed to permit the integration 
of any equipment controlled by 3B991 into a complete system;
    b.1.m. ``Stored program controlled'' equipment using ``lasers'' for 
the repair or trimming of ``monolithic integrated circuits'' with 
either of the following characteristics:
    b.1.m.1. Positioning accuracy less than  1 micrometer; 
or
    b.1.m.2. Spot size (kerf width) less than 3 micrometer.
    b.2. Masks, mask ``substrates'', mask-making equipment and image 
transfer equipment for the manufacture of devices and components as 
specified in the heading of 3B991, as follows:

    Note: The term ``masks'' refers to those used in electron beam 
lithography, X-ray lithography, and ultraviolet lithography, as well 
as the usual ultraviolet and visible photo-lithography.

    b.2.a. Finished masks, reticles and designs therefor, except:
    b.2.a.1. Finished masks or reticles for the production of 
unembargoed integrated circuits; or
    b.2.a.2. Masks or reticles, having both of the following 
characteristics:
    b.2.a.2.a. Their design is based on geometries of 2.5 micrometer or 
more; and
    b.2.a.2.b. The design does not include special features to alter 
the intended use by means of production equipment or ``software'';
    b.2.b. Mask ``substrates'' as follows:
    b.2.b.1. Hard surface (e.g., chromium,silicon, molybdenum) coated 
``substrates'' (e.g., glass, quartz, sapphire) for the preparation of 
masks having dimensions exceeding 125 mm  x  125 mm; or

[[Page 40123]]

    b.2.b.2. ``Substrates'' specially designed for X-ray masks;
    b.2.c. Equipment, other than general purpose computers, specially 
designed for computer aided design (CAD) of semiconductor devices or 
integrated circuits;
    b.2.d. Equipment or machines, as follows, for mask or reticle 
fabrication:
    b.2.d.1. Photo-optical step and repeat cameras capable of producing 
arrays larger than 100 mm  x  100 mm, or capable of producing a single 
exposure larger than 6 mm  x  6 mm in the image (i.e., focal) plane, or 
capable of producing line widths of less than 2.5 micrometer in the 
photoresist on the ``substrate'';
    b.2.d.2. Mask or reticle fabrication equipment using ion or 
``laser'' beam lithography capable of producing line widths of less 
than 2.5 micrometer; or
    b.2.d.3. Equipment or holders for altering masks or reticles or 
adding pellicles to remove defects;

    Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication 
equipment using photo-optical methods which was either commercially 
available before the 1st January, 1980, or has a performance no 
better than such equipment.

    b.2.e. ``Stored program controlled'' equipment for the inspection 
of masks, reticles or pellicles with:
    b.2.e.1. A resolution of 0.25 micrometer or finer; and 
    b.2.e.2. A precision of 0.75 micrometer or finer over a distance in 
one or two coordinates of 63.5 mm or more;

    Note: 3B991.b.2.e does not control general purpose scanning 
electron microscopes except when specially designed and instrumented 
for automatic pattern inspection.

    b.2.f. Align and expose equipment for wafer production using photo-
optical or X-ray methods, including both projection image transfer 
equipment and step and repeat (direct step on wafer) or step and scan 
(scanner) equipment, capable of performing any of the following 
functions:

    Note: 3B991.b.2.f does not control photo-optical contact and 
proximity mask align and expose equipment or contact image transfer 
equipment.

    b.2.f.1. Production of a pattern size of less than 2.5 micrometer;
    b.2.f.2. Alignment with a precision finer than  0.25 
micrometer (3 sigma);
    b.2.f.3. Machine-to-machine overlay no better than  0.3 
micrometer;
    b.2.f.4. A light source wavelength shorter than 400 nm; or 
    b.2.f.5. Capable of producing a pattern with a minimum resolvable 
feature size of 0.7 microns or less.
    b.2.g. Electron beam, ion beam or X-ray equipment for projection 
image transfer capable of producing patterns less than 2.5 micrometer;

    Note: For focussed, deflected-beam systems (direct write 
systems), see 3B991.b.1.j or b.10.

    b.2.h. Equipment using ``lasers'' for direct write on wafers 
capable of producing patterns less than 2.5 micrometer.
    b.3. Equipment for the assembly of integrated circuits, as follows:
    b.3.a. ``Stored program controlled'' die bonders having all of the 
following characteristics:
    b.3.a.1. Specially designed for ``hybrid integrated circuits'';
    b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm; and
    b.3.a.3. Placement accuracy in the X-Y plane of finer than 
 10 micrometer;
    b.3.b. ``Stored program controlled'' equipment for producing 
multiple bonds in a single operation (e.g., beam lead bonders, chip 
carrier bonders, tape bonders);
    b.3.c. Semi-automatic or automatic hot cap sealers, in which the 
cap is heated locally to a higher temperature than the body of the 
package, specially designed for ceramic microcircuit packages 
controlled by 3A001 and that have a throughput equal to or more than 
one package per minute.

    Note: 3B991.b.3 does not control general purpose resistance type 
spot welders.

    b.4. Filters for clean rooms capable of providing an air 
environment of 10 or less particles of 0.3 micrometer or smaller per 
0.02832 m\3\ and filter materials therefor;

3C002  Resist material and ``substrates'' coated with controlled 
resists.

* * * * *

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: Silylation techniques are defined as processes 
incorporating oxidation of the resist surface to enhance performance 
for both wet and dry developing.
Items:
    a. Positive resists designed for semiconductor lithography 
specially adjusted (optimized) for use at wavelengths below 350 nm;
    b. All resists designed for use with electron beams or ion beams, 
with a sensitivity of 0.01 coulomb/mm \2\ or better;
    c. All resists designed for use with X-rays, with a sensitivity of 
2.5 mJ/mm \2\ or better;
    d. All resists optimized for surface imaging technologies, 
including silylated resists.

3C992  Positive resists designed for semiconductor lithography 
specially adjusted (optimized) for use at wavelengths between 370 
and 350 nm.

License Requirements

Reason for Control: AT

 
               Control(s)                         Country Chart
 
AT applies to entire entry.............  AT Column 1
 

License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
    The list of items controlled is contained in the ECCN heading.

3E001  ``Technology'' according to the General Technology Note for 
the ``development'' or ``production'' of equipment or materials 
controlled by 3A (except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B 
(except 3B991 and 3B992) or 3C.

* * * * *

List of Items Controlled

Unit: N/A
Related Controls: (1.) See also 3E101 and 3E201.(2.) 3E001 does not 
control ``technology'' for the ``development'' or ``production'' of: 
(a) Microwave transistors operating at frequencies below 31 GHz; (b) 
Integrated circuits controlled by 3A001.a.3 to a.12, having all of the 
following: 1. Using ``technology'' of 0.7 micrometer or more, AND 2. 
Not incorporating multi-layer structures. (3.) The term multi-layer 
structures in this entry does not include devices incorporating a 
maximum of two metal layers and two polysilicon layers.
Related Definition: N/A
Items: 
    The list of items controlled is contained in the ECCN heading.

3E002 Other ``technology'' for the ``development'' or 
``production'' of items described in the List of Items Controlled.

* * * * *

License Exceptions

CIV: N/A
TSR: Yes, except .e and .f

[[Page 40124]]

List of Items Controlled

Unit: N/A
Related Controls: See 3E001 for silicon-on-insulation (SOI) technology 
for the ``development'' or ``production'' related to radiation 
hardening of integrated circuits
Related Definitions: N/A
Items: 
    a. Vacuum microelectronic devices;
    b. Hetero-structure semiconductor devices such as high electron 
mobility transistors (HEMT), hetero-bipolar transistors (HBT), quantum 
well and super lattice devices;
    c. ``Superconductive'' electronic devices;
    d. Substrates of films of diamond for electronic components;
    e. Substrates of silicon-on-insulator (SOI) for integrated circuits 
in which the insulator is silicon dioxide;
    f. Substrates of silicon carbide for electronic components.
    10. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 4--computers is amended by revising Export Control 
Classification Number (ECCN) 4A003, to read as follows:

4A003  ``Digital computers'', ``electronic assemblies'', and 
related equipment therefor, and specially designed components 
therefor.

License Requirements

Reason for Control: NS, MT, CC, AT, NP, XP

 
               Control(s)                         Country Chart
 
NS applies to 4A003.b and .c...........  NS Column 1
NS applies to 4A003.a, .d, .e, and .g..  NS Column 2
MT applies to digital computers used as  MT Column 1
 ancillary equipment for test
 facilities and equipment that are
 controlled by 9B005 or 9B006.
CC applies to digital computers for      CC Column 1
 computerized finger-print equipment.
AT applies to entire entry (refer to     AT Column 1
 4A994 for controls on digital
 computers with a CTP  6 but
  to 2,000 Mtops).
 

    NP applies to digital computers with a CTP greater than 2,000 
Mtops, unless a License Exception is available. See Sec. 742.3(b) of 
the EAR for information on applicable licensing review policies.
    XP applies to digital computers with a CTP greater than 2,000 
Mtops, unless a License Exception is available. XP controls vary 
according to destination and end-user and end-use. See Sec. 742.12 of 
the EAR for additional information.

    Note: For all destinations, except Cuba, Iran, Iraq, Libya, 
North Korea, Sudan, and Syria, no license is required (NLR) for 
computers with a CTP of 2,000 Mtops, and for assemblies described in 
4A003.c that are not capable of exceeding a CTP of 2,000 Mtops in 
aggregation. Computers controlled in this entry for MT reasons are 
not eligible for NLR.

    License Requirement Notes: See Sec. 743.1 of the EAR for reporting 
requirements for exports under License Exceptions.

License Exceptions

LVS: $5000; N/A for MT and ``digital'' computers controlled by 4A003.b 
and having a CTP exceeding 10,000 MTOPS; or ``electronic assemblies'' 
controlled by 4A003.c and capable of enhancing performance by 
aggregation of ``computing elements'' so that the CTP of the 
aggregation exceeds 10,000 MTOPS.
GBS: Yes, for 4A003.d, .e, and .g and specially designed components 
therefor, exported separately or as part of a system.
CTP: Yes, for computers controlled by 4A003.a, .b and .c, to the 
exclusion of other technical parameters, with the exception of 
parameters specified as controlled for Missile Technology (MT) concerns 
and 4A003.e (equipment performing analog-to-digital or digital-to-
analog conversions exceeding the limits of 3A001.a.5.a). See Sec. 740.7 
of the EAR.
CIV: Yes, for 4A003.d (having a 3-D vector rate less than 10 M vectors/
sec), .e, and .g.

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A994
Related Definitions: N/A
Items:

    Note 1: 4A003 includes the following:

    a. Vector processors;
    b. Array processors;
    c. Digital signal processors;
    d. Logic processors;
    e. Equipment designed for ``image enhancement'';
    f. Equipment designed for ``signal processing''.

    Note 2: The control status of the ``digital computers'' and 
related equipment described in 4A003 is determined by the control 
status of other equipment or systems provided:

    a. The ``digital computers'' or related equipment are essential 
for the operation of the other equipment or systems;
    b. The ``digital computers'' or related equipment are not a 
``principal element'' of the other equipment or systems; and
    N.B. 1: The control status of ``signal processing'' or ``image 
enhancement'' equipment specially designed for other equipment with 
functions limited to those required for the other equipment is 
determined by the control status of the other equipment even if it 
exceeds the ``principal element'' criterion.
    N.B. 2: For the control status of ``digital computers'' or related 
equipment for telecommunications equipment, see Category 5, Part 1 
(Telecommunications).
    c. The ``technology'' for the ``digital computers'' and related 
equipment is determined by 4E.
    a. Designed or modified for ``fault tolerance'';

    Note: For the purposes of 4A003.a., ``digital computers'' and 
related equipment are not considered to be designed or modified for 
``fault tolerance'' if they utilize any of the following:

    1. Error detection or correction algorithms in ``main storage'';
    2. The interconnection of two ``digital computers'' so that, if 
the active central processing unit fails, an idling but mirroring 
central processing unit can continue the system's functioning;
    3. The interconnection of two central processing units by data 
channels or by use of shared storage to permit one central 
processing unit to perform other work until the second central 
processing unit fails, at which time the first central processing 
unit takes over in order to continue the system's functioning; or
    4. The synchronization of two central processing units by 
``software'' so that one central processing unit recognizes when the 
other central processing unit fails and recovers tasks from the 
failing unit.
    b. ``Digital computers'' having a ``composite theoretical 
performance'' (``CTP'') exceeding 2,000 million theoretical operations 
per second (Mtops);
    c. ``Electronic assemblies'' specially designed or modified to be 
capable of enhancing performance by aggregation of ``computing 
elements'' (``CEs'') so that the ``CTP'' of the aggregation exceeds the 
limit in 4A003.b;

    Note 1: 4A003.c applies only to ``electronic assemblies'' and 
programmable interconnections not exceeding the limit in 4A003.b 
when shipped as unintegrated ``electronic assemblies''. It does not 
apply to ``electronic assemblies'' inherently limited by nature of 
their design for use as related equipment controlled by 4A003.d, or 
4A003.e.

    Note 2: 4A003.c does not control ``electronic assemblies'' 
specially designed for a product or family of products whose maximum 
configuration does not exceed the limit of 4A003.b.

    d. Graphics accelerators and graphics coprocessors exceeding a 
``three dimensional Vector Rate'' of 3,000,000;
    e. Equipment performing analog-to-digital conversions exceeding the 
limits in 3A001.a.5;
    f. Reserved.
    g. Equipment specially designed to provide external interconnection 
of

[[Page 40125]]

``digital computers'' or associated equipment that allows 
communications at data rates exceeding 80 Mbyte/s.

    Note: 4A003.g does not control internal interconnection 
equipment (e.g., backplanes, buses) passive interconnection 
equipment, ``network access controllers'' or ``communication channel 
controllers''.

    11. In Supplement No. 1 to part 774, the Commerce Control List, 
Category 4--Computers is amended by revising the table following the 
EAR99 entry to read as follows:

Information on How to Calculate ``Composite Theoretical Performance 
(``CTP'')

    Technical Note: ``COMPOSITE THEORETICAL PERFORMANCE'' (``CTP'')
Abbreviations used in this Technical Note

``CE''                              ``computing element'' (typically an
                                     arithmetic logical unit)
FP                                  floating point
XP                                  fixed point
t                                   execution time
XOR                                 exclusive OR
CPU                                 central processing unit
TP                                  theoretical performance (of a single
                                     ``CE'')
``CTP''                             ``composite theoretical
                                     performance'' (multiple ``CEs'')
R                                   effective calculating rate
WL                                  word length
L                                   word length adjustment
*                                   multiply
 

    Execution time t is expressed in microseconds, TP and ``CTP'' 
are expressed in millions of theoretical operations per second 
(Mtops) and WL is expressed in bits.

Outline of ``CTP'' calculation method

    ``CTP'' is a measure of computational performance given in 
Mtops. In calculating the ``CTP'' of an aggregation of ``CEs'' the 
following three steps are required:
    1. Calculate the effective calculating rate R for each ``CE'';
    2. Apply the word length adjustment (L) to the effective 
calculating rate (R), resulting in a Theoretical Performance (TP) 
for each ``CE'';
    3. If there is more than one ``CE'', combine the TPs, resulting 
in a ``CTP'' for the aggregation.
    Details for these steps are given in the following sections.

    Note 1: For aggregations of multiple ``CEs'' that have both 
shared and unshared memory subsystems, the calculation of ``CTP'' is 
completed hierarchically, in two steps: first, aggregate the groups 
of ``CEs'' sharing memory; second, calculate the ``CTP'' of the 
groups using the calculation method for multiple ``CEs'' not sharing 
memory.

    Note 2: ``CEs'' that are limited to input/output and peripheral 
functions (e.g., disk drive, communication and video display 
controllers) are not aggregated into the ``CTP'' calculation.

    The following table shows the method of calculating the 
Effective Calculating Rate R for each ``CE'':
    Step 1: The effective calculating rate R

BILLING CODE 3510-33-P

[[Page 40126]]

[GRAPHIC] [TIFF OMITTED] TR23JY99.000



[[Page 40127]]

[GRAPHIC] [TIFF OMITTED] TR23JY99.001



BILLING CODE 3510-33-C
    Note W: For a pipelined ``CE'' capable of executing up to one 
arithmetic or logic operation every clock cycle after the pipeline 
is full, a pipelined rate can be established. The effective 
calculating rate (R) for such a ``CE'' is the faster of the 
pipelined rate or non-pipelined execution rate.

    Note X: For a ``CE'' that performs multiple operations of a 
specific type in a single cycle (e.g., two additions per cycle or 
two identical logic operations per cycle), the execution time t is 
given by:

[GRAPHIC] [TIFF OMITTED] TR23JY99.002

    ``CEs'' that perform different types of arithmetic or logic 
operations in a single machine cycle are to be treated as multiple 
separate ``CEs'' performing simultaneously (e.g., a ``CE'' 
performing an addition and a multiplication in one cycle is to be 
treated as two ``CEs'', the first performing an addition in one 
cycle and the second performing a multiplication in one cycle). If a 
single ``CE'' has both scalar function and vector function, use the 
shorter execution time value.

    Note Y: For the ``CE'' that does not implement FP add or FP 
multiply, but that performs FP divide:
[GRAPHIC] [TIFF OMITTED] TR23JY99.003

    If the ``CE'' implements FP reciprocal but not FP add, FP 
multiply or FP divide, then
[GRAPHIC] [TIFF OMITTED] TR23JY99.004

    If none of the specified instructions is implemented, the 
effective FP rate is 0.

    Note Z: In simple logic operations, a single instruction 
performs a single logic manipulation of no more than two operands of 
given lengths. In complex logic operations, a single instruction 
performs multiple logic manipulations to produce one or more results 
from two or more operands.

[[Page 40128]]

    Rates should be calculated for all supported operand lengths 
considering both pipelined operations (if supported), and non-
pipelined operations using the fastest executing instruction for 
each operand length based on:
    1. Pipelined or register-to-register operations. Exclude 
extraordinarily short execution times generated for operations on a 
predetermined operand or operands (for example, multiplication by 0 
or 1). If no register-to-register operations are implemented, 
continue with (2).
    2. The faster of register-to-memory or memory-to-register 
operations; if these also do not exist, then continue with (3).
    3. Memory-to-memory.
    In each case above, use the shortest execution time certified by 
the manufacturer.
    Step 2: TP for each supported operand length WL
    Adjust the effective rate R (or R') by the word length 
adjustment L as follows:
TP = R * L, where L = (1/3 + WL/96)

    Note: The word length WL used in these calculations is the 
operand length in bits. (If an operation uses operands of different 
lengths, select the largest word length.) The combination of a 
mantissa ALU and an exponent ALU of a floating point processor or 
unit is considered to be one ``CE'' with a Word Length (WL) equal to 
the number of bits in the data representation (typically 32 or 64) 
for purposes of the ``CTP'' calculation.

    This adjustment is not applied to specialized logic processors 
that do not use XOR instructions. In this case TP = R.
    Select the maximum resulting value of TP for:
    Each XP-only ``CE'' (Rxp);
    Each FP-only ``CE'' (Rfp);
    Each combined FP and XP ``CE'' (R);
    Each simple logic processor not implementing any of the 
specified arithmetic operations; and
    Each special logic processor not using any of the specified 
arithmetic or logic operations.
    Step 3: ``CTP'' for aggregations of ``CEs'', including CPUs.
    For a CPU with a single ``CE'', ``CTP'' = TP (for ``CEs'' 
performing both fixed and floating point operations TP = max 
(TPfp, TPxp))
    ``CTP'' for aggregations of multiple ``CEs'' operating 
simultaneously is calculated as follows:

    Note 1: For aggregations that do not allow all of the ``CEs'' to 
run simultaneously, the possible combination of ``CEs'' that 
provides the largest ``CTP'' should be used. The TP of each 
contributing ``CE'' is to be calculated at its maximum value 
theoretically possible before the ``CTP'' of the combination is 
derived.

    N.B.: To determine the possible combinations of simultaneously 
operating ``CEs'', generate an instruction sequence that initiates 
operations in multiple ``CEs'', beginning with the slowest ``CE'' 
(the one needing the largest number of cycles to complete its 
operation) and ending with the fastest ``CE''. At each cycle of the 
sequence, the combination of ``CEs'' that are in operation during 
that cycle is a possible combination. The instruction sequence must 
take into account all hardware and/or architectural constraints on 
overlapping operations.

    Note 2: A single integrated circuit chip or board assembly may 
contain multiple ``CEs''.

    Note 3: Simultaneous operations are assumed to exist when the 
computer manufacturer claims concurrent, parallel or simultaneous 
operation or execution in a manual or brochure for the computer.

    Note 4: ``CTP'' values are not to be aggregated for ``CE'' 
combinations (inter)connected by ``Local Area Networks'', Wide Area 
Networks, I/O shared connections/devices, I/O controllers and any 
communication interconnection implemented by ``software''.

    Note 5: ``CTP'' values must be aggregated for multiple ``CEs'' 
specially designed to enhance performance by aggregation, operating 
simultaneously and sharing memory,-or multiple memory/''CE''-
combinations operating simultaneously utilizing specially designed 
hardware.

    This aggregation does not apply to ``electronic assemblies'' 
described by 4A003.c.

``CTP''=TP1+C2*TP2+...+Cn
*TPn,

Where the TPs are ordered by value, with TP1 being the 
highest, TP2 being the second highest, ..., and 
TPn being the lowest. Ci is a coefficient 
determined by the strength of the interconnection between ``CEs'', 
as follows:
    For multiple ``CEs'' operating simultaneously and sharing 
memory:

    C2=C3=C4=...=Cn=0.75

    Note 1: When the ``CTP'' calculated by the above method does not 
exceed 194 Mtops, the following formula may be used to calculate 
Ci:
[GRAPHIC] [TIFF OMITTED] TR23JY99.005

Where m=the number of ``CEs'' or groups of ``CEs'' sharing access.
    provided:
    1. The TP1 of each ``CE'' or group of ``CEs'' does 
not exceed 30 Mtops;
    2. The ``CEs'' or groups of ``CEs'' share access to main memory 
(excluding cache memory) over a single channel; and
    3. Only one ``CE'' or group of ``CEs'' can have use of the 
channel at any given time.
    N.B.: This does not apply to items controlled under Category 3.

    Note 2: ``CEs'' share memory if they access a common segment of 
solid state memory. This memory may include cache memory, main 
memory or other internal memory. Peripheral memory devices such as 
disk drives, tape drives or RAM disks are not included.

    For Multiple ``CEs'' or groups of ``CEs'' not sharing memory, 
interconnected by one or more data channels:
Ci=0.75*ki (i=2,..., 32) (see Note below)
    =0.60*ki (i=33,..., 64)
    =0.45*ki (i=65,..., 256)
    =0.30 * ki (i >256)
    The value of Ci is based on the number of ``CE''s, 
not the number of nodes.

Where ki=min (Si/Kr, 1), and
Kr=normalizing factor of 20 MByte/s.
Si = sum of the maximum data rates (in units of MByte/s) 
for all data channels connected to the ith ``CE'' or 
group of ``CEs'' sharing memory.

    When calculating a Ci for a group of ``CEs'', the 
number of the first ``CE'' in a group determines the proper limit 
for Ci. For example, in an aggregation of groups 
consisting of 3 ``CEs'' each, the 22nd group will contain 
``CE''64, ``CE''65 and ``CE''66. 
The proper limit for Ci for this group is 0.60.
    Aggregation (of ``CEs'' or groups of ``CEs'') should be from the 
fastest-to-slowest; i.e.: TP1TP2 
.... TPn, and
    in the case of TPi=TPi+1, from the largest 
to smallest; i.e.: CiCi+1

    Note: The ki factor is not to be applied to ``CEs'' 2 
to 12 if the TPi of the ``CE'' or group of ``CEs'' is 
more than 50 Mtops; i.e., Ci for ``CEs'' 2 to 12 is 0.75.

    12. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications is amended by revising the telecommunications notes 
that immediately follow the Category 5--I ``telecommunications'' 
heading, to read as follows:

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

I. Telecommunications

    Notes: 1. The control status of components, ``lasers'', test and 
``production'' equipmentand ``software'' therefor which are 
specially designed for telecommunications

[[Page 40129]]

equipment or systems is determined in Category 5, Part I.

    2. ``Digital computers'', related equipment or ``software'', when 
essential for the operation and support of telecommunications equipment 
described in this Category, are regarded as specially designed 
components, provided they are the standard models customarily supplied 
by the manufacturer. This includes operation, administration, 
maintenance, engineering or billing computer systems.
    13. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Telecommunications and ``Information Security'', is amended 
as follows:
    a. By revising ECCN 5A001;
    b. By revising ECCN 5A991;
    c. By revising ECCN 5B001;
    d. By removing ECCN 5C001;
    e. By adding a new ECCN 5C991; and
    f. By revising the License Exceptions section and the List of Items 
Controlled for ECCNs 5D001 and 5E001, to read as follows:

5A001 Telecommunications systems, equipment, and components.

License Requirements

Reason for Control: NS, AT

 
               Control(s)                          Country Chart
 
NS applies to 5A001.a..................  NS Column 1
NS applies to 5A001.b, .c, or .d.......  NS Column 2
AT applies to entire entry.............  AT Column 1
 

    License Requirement Notes: See Sec. 743.1 of the EAR for 
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: N/A for 5A001.a and b.4
$5000 for 5A001b.2, b.3, b.5, and .d $3000 for 5A001.c
GBS: Yes, except 5A001.a and b.4
CIV: Yes, except 5A001.a, b.3 and b.4

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 5A101 and 5A991
Related Definitions: N/A
Items:
    a. Any type of telecommunications equipment having any of the 
following characteristics, functions or features:
    a.1. Specially designed to withstand transitory electronic effects 
or electromagnetic pulse effects, both arising from a nuclear 
explosion;
    a.2. Specially hardened to withstand gamma, neutron or ion 
radiation; or
    a.3. Specially designed to operate outside the temperature range 
from 218 K (-55 deg.C) to 397 K (124 deg.C).

    Note: 5A001.a.3 applies only to electronic equipment.

    Note: 5A001.a.2 and 5A001.a.3 do not apply to equipment on board 
satellites.

    b. Telecommunication transmission equipment and systems, and 
specially designed components and accessories therefor, having any of 
the following characteristics, functions or features:
    b.1 Being underwater communications systems having any of the 
following characteristics:
    b.1.a. An acoustic carrier frequency outside the range from 20 kHz 
to 60 kHz;
    b.1.b. Using an electromagnetic carrier frequency below 30 kHz; or
    b.1.c. Using electronic beam steering techniques;
    b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz 
band and having any of the following characteristics:
    b.2.a. Incorporating adaptive techniques providing more than 15 dB 
suppression of an interfering signal; or
    b.2.b. Having all of the following:
    b.2.b.1. Automatically predicting and selecting frequencies and 
``total digital transfer rates'' per channel to optimize the 
transmission; and
    b.2.b.2. Incorporating a linear power amplifier configuration 
having a capability to support multiple signals simultaneously at an 
output power of 1 kW or more in the 1.5 MHz to 30 MHz frequency range 
or 250 W or more in the 30 MHz to 87.5 MHz frequency range, over an 
``instantaneous bandwidth'' of one octave or more and with an output 
harmonic and distortion content of better than -80 dB;
    b.3. Being radio equipment employing ``spread spectrum'' or 
``frequency agility'' (frequency hopping) techniques having any of the 
following characteristics:
    b.3.a. User programmable spreading codes; or b.3.b. A total 
transmitted bandwidth which is 100 or more times the bandwidth of any 
one information channel and in excess of 50 kHz;
    Note: 5A001. b.3.b does not control cellular radio equipment 
operating in civil bands.

    Note: 5A001.b.3 does not control equipment operating at an 
output power of 1.0 Watt or less.

    b.4. Being digitally controlled radio receivers having all of the 
following:
    b.4.a. More than 1,000 channels;
    b.4.b. A ``frequency switching time'' of less than 1 ms;
    b.4.c. Automatic searching or scanning of a part of the 
electromagnetic spectrum;
    and
    b.4.d. Identification of the received signals or the type of 
transmitter; or
    Note: 5A001.b.4 does not control cellular radio equipment 
operating in civil bands.

    b.5. Employing functions of digital ``signal processing'' to 
provide voice coding at rates of less than 2,400 bit/s.
    c. Optical fiber communication cables, optical fibers and 
accessories, as follows:
    c.1. Optical fibers of more than 500 m in length specified by the 
manufacturer as being capable of withstanding a proof test tensile 
stress of 2 x 109 N/m2 or more;

    Technical Note: Proof Test: on-line or off-line production 
screen testing that dynamically applies a prescribed tensile stress 
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s 
while passing between capstans approximately 150 mm in diameter. The 
ambient temperature is a nominal 293 K (20 deg. C) and relative 
humidity 40%.

    N.B.: Equivalent national standards may be used for executing the 
proof test.
    c.2. Optical fiber cables and accessories designed for underwater 
use.

    Note: 5A001.c.2 does not control standard civil 
telecommunication cables and accessories.

    N.B. 1: For underwater umbilical cables, and connectors thereof, 
see 8A002.a.3.
    N.B. 2: For fiber-optic hull penetrators or connectors, see 
8A002.c.
    d. ``Electronically steerable phased array antennae'' operating 
above 31 GHz.

    Note: 5A001.d does not control ``electronically steerable phased 
array antennae'' for landing systems with instruments meeting ICAO 
standards covering microwave landing systems (MLS).

5A991  Telecommunication Equipment, Not Controlled by 5A001.

License Requirements

Reason for Control: AT

 
               Control(s)                         Country Chart
 
AT applies to entire entry.............  AT Column 1
 

License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
    a. Any type of telecommunications equipment, not controlled by 
5A001.a, specially designed to operate outside the temperature range 
from 219 K (-54 deg. C) to 397 K (124 deg. C).
    b. Telecommunication transmission equipment and systems, and 
specially

[[Page 40130]]

designed components and accessories therefor, having any of the 
following characteristics, functions or features:

    Note: Telecommunication transmission equipment:

    a. Categorized as follows, or combinations thereof:
    1. Radio equipment (e.g., transmitters, receivers and 
transceivers);
    2. Line terminating equipment;
    3. Intermediate amplifier equipment;
    4. Repeater equipment;
    5. Regenerator equipment;
    6. Translation encoders (transcoders);
    7. Multiplex equipment (statistical mutiplex included);
    8. Modulators/demodulators (modems);
    9. Transmultiplex equipment (see CCITT Rec. G701);
    10. ``Stored program controlled'' digital crossconnection 
equipment;
    11. ``Gateways'' and bridges;
    12. ``Media access units''; and
    b. Designed for use in single or multi-channel communication via 
any of the following:
    1. Wire (line);
    2. Coaxial cable;
    3. Optical fiber cable;
    4. Electromagnetic radiation; or
    5. Underwater acoustic wave propagation.
    b.1. Employing digital techniques, including digital processing of 
analog signals, and designed to operate at a ``digital transfer rate'' 
at the highest multiplex level exceeding 45 Mbit/s or a ``total digital 
transfer rate'' exceeding 90 Mbit/s;

    Note: 5A991.b.1 does not control equipment specially designed to 
be integrated and operated in any satellite system for civil use.

    b.2. Modems using the ``bandwidth of one voice channel'' with a 
``data signalling rate'' exceeding 9,600 bits per second;
    b.3. Being ``stored program controlled'' digital cross connect 
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per port.
    b.4. Being equipment containing any of the following:
    b.4.a. ``Network access controllers'' and their related common 
medium having a ``digital transfer rate'' exceeding 33 Mbit/s; or
    b.4.b. ``Communication channel controllers'' with a digital output 
having a ``data signalling rate'' exceeding 64,000 bit/s per channel;

    Note: If any uncontrolled equipment contains a ``network access 
controller'', it cannot have any type of telecommunications 
interface, except those described in, but not controlled by 
5A991.b.4.

    b.5. Employing a ``laser'' and having any of the following 
characteristics:
    b.5.a. A transmission wavelength exceeding 1,000 nm; or
    b.5.b. Employing analog techniques and having a bandwidth exceeding 
45 MHz;

    Note: 5A991.b.5.b does not control commercial TV systems.

    b.5.c. Employing coherent optical transmission or coherent optical 
detection techniques (also called optical heterodyne or homodyne 
techniques);
    b.5.d. Employing wavelength division multiplexing techniques; or
    b.5.e. Performing ``optical amplification'';
    b.6. Radio equipment operating at input or output frequencies 
exceeding:
    b.6.1. 31 GHz for satellite-earth station applications; or

    b.6.2. 26.5 GHz for other applications;

    Note: 5A991.b.6 does not control equipment for civil use when 
conforming with an International Telecommunications Union (ITU) 
allocated band between 26.5 GHz and 31 GHz.

    b.7. Being radio equipment employing any of the following:
    b.7.a. Quadrature-amplitude-modulation (QAM) techniques above level 
4 if the ``total digital transfer rate'' exceeds 8.5 Mbit/s;
    b.7.b. QAM techniques above level 16 if the ``total digital 
transfer rate'' is equal to or less than 8.5 Mbit/s; or
    b.7.c. Other digital modulation techniques and having a ``spectral 
efficiency'' exceeding 3 bit/sec/Hz;

    Notes: 1. 5A001.b.7 does not control equipment specially 
designed to be integrated and operated in any satellite system for 
civil use.

    2. 5A001.b.7 does not control radio relay equipment for 
operation in an ITU allocated band:
    a. Having any of the following:
    a.1. Not exceeding 960 MHz; or
    a.2. With a ``total digital transfer rate'' not exceeding 8.5 
Mbit/s;
    and
    b. Having a ``spectral efficiency'' not exceeding 4 bit/sec/Hz.
    b.8. Providing functions of digital ``signal processing'' as 
follows:
    b.8.a. Voice coding at rates less than 2,400 bit/s;
    b.8.b. Employing circuitry that incorporates ``user-accessible 
programmability'' of digital ``signal processing'' circuits exceeding 
the limits of 4A003.b.
    c. ``Stored program controlled'' switching equipment and related 
signalling systems, having any of the following characteristics, 
functions or features, and specially designed components and 
accessories therefor:

    Note: Statistical multiplexers with digital input and digital 
output which provide switching are treated as ``stored program 
controlled'' switches.

    c.1. ``Data (message) switching'' equipment or systems designed for 
``packet-mode operation'' and assemblies and components therefor, 
n.e.s.
    c.2. Containing ``Integrated Services Digital Network'' (ISDN) 
functions and having any of the following:
    c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a 
``digital transfer rate'' at the highest multiplex level exceeding 
192,000 bit/s, including the associated signalling channel (e.g., 
2B+D); or
    c.2.b. The capability that a signalling message received by a 
switch on a given channel that is related to a communication on another 
channel may be passed through to another switch.

    Note: 5A991.c. does not preclude the evaluation and appropriate 
actions taken by the receiving switch or unrelated user message 
traffic on a D channel of ISDN.

    c.3. Routing or switching of ``datagram'' packets;
    c.4. Routing or switching of ``fast select'' packets;

    Note: The restrictions in 5A991.c.3 and c.4 do not apply to 
networks restricted to using only ``network access controllers'' or 
to ``network access controllers'' themselves.

    c.5. Multi-level priority and pre-emption for circuit switching;

    Note: 5A991.c.5 does not control single-level call preemption.

    c.6. Designed for automatic hand-off of cellular radio calls to 
other cellular switches or automatic connection to a centralized 
subscriber data base common to more than one switch;
    c.7. Containing ``stored program controlled'' digital crossconnect 
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per port.
    c.8. ``Common channel signalling'' operating in either non-
associated or quasi-associated mode of operation;
    c.9. ``Dynamic adaptive routing'';

    Note: 5A991.c.10 does not control packet switches or routers 
with ports or lines not exceeding the limits in 5A001.c.10.

    c.10. Being packet switches, circuit switches and routers with 
ports or lines exceeding any of the following:
    c.10.a. A ``data signalling rate'' of 64,000 bit/s per channel for 
a ``communications channel controller''; or

    Note: 5A991.c.10.a does not control multiplex composite links 
composed only of communication channels not individually controlled 
by 5A991.b.1.

    c.10.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network 
access controller'' and related common media;

[[Page 40131]]

    c.10.c. ``Optical switching'';
    c.10.d. Employing ``Asynchronous Transfer Mode'' (``ATM'') 
techniques.
    d. Optical fibers and optical fiber cables of more than 50 m in 
length designed for single mode operation;
    e. Centralized network control having all of the following 
characteristics:
    e.1. Receives data from the nodes; and
    e.2. Process these data in order to provide control of traffic not 
requiring operator decisions, and thereby performing ``dynamic adaptive 
routing'';

    Note: 5A991.e does not preclude control of traffic as a function 
of predictable statistical traffic conditions.

    f. Phased array antennae, operating above 10.5 GHz, containing 
active elements and distributed components, and designed to permit 
electronic control of beam shaping and pointing, except for landing 
systems with instruments meeting International Civil Aviation 
Organization (ICAO) standards (microwave landing systems (MLS)).
    g. Mobile communications equipment, n.e.s., and assemblies and 
components therefor; or
    h. Radio relay communications equipment designed for use at 
frequencies equal to or exceeding 19.7 GHz and assemblies and 
components therefor, n.e.s.
B. Test, Inspection and Production Equipment

5B001  Telecommunication test, inspection and production equipment, 
as follows (See List of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
               Control(s)                         Country Chart
 
NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1
 

License Requirement Notes: See Sec. 743.1 of the EAR for reporting 
requirements for exports under License Exceptions.

License Exceptions

LVS: $5000
GBS: Yes
CIV: Yes

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 5B991.
Related Definition: N/A
Items:
    a. Equipment and specially designed components or accessories 
therefor, specially designed for the ``development'', ``production'' or 
``use'' of equipment, functions or features controlled by 5A001, 5D001 
or 5E001.

    Note: 5B001.a does not control optical fiber characterization 
equipment not using semiconductor ``lasers''.

    b. Equipment and specially designed components or accessories 
therefor, specially designed for the ``development'' of any of the 
following telecommunication transmission or ``stored program 
controlled'' switching equipment:
    b.1. Equipment employing digital techniques, including 
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a 
``total digital transfer rate'' exceeding 1.5 Gbit/s;
    b.2. Equipment employing a ``laser'' and having any of the 
following:
    b.2.a. A transmission wavelength exceeding 1750 nm;
    b.2.b. Performing ``optical amplification'';
    b.2.c. Employing coherent transmission or coherent optical 
detection techniques (also called optical heterodyne or homodyne 
techniques); or
    b.2.d. Employing analogue techniques and having a bandwidth 
exceeding 2.5 GHz;

    Note: 5B001.b.2.d does not include equipment specially designed 
for the ``development'' of commercial TV systems.

    b.3. Equipment employing ``optical switching'';
    b.4. Radio equipment having any of the following:
    b.4.a. Quadrature-amplitude-modulation (QAM) techniques above level 
128; or
    b.4.b. Operating at input or output frequencies exceeding 31 GHz; 
or

    Note: 5B001.b.4.b does not include equipment specially designed 
for the ``development'' of equipment designed or modified for 
operation in any ITU allocated band.

    b.5. Equipment employing ``common channel signalling'' operating in 
either the non-associated mode of operation.

5C991  Preforms of glass or of any other material optimized for the 
manufacture of optical fibers controlled by 5A991.

License Requirements

Reason for Control: AT

 
               Control(s)                         Country Chart
 
AT applies to entire entry.............  AT Column 1
 

License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: 
    The list of items controlled is contained in the ECCN heading.
D. Software

5D001  ``Software'', as described in the List of Items Controlled.

* * * * *

License Exceptions

CIV: Yes, except for ``software'' controlled by 5D001.a and specially 
designed for the ``development'' or ``production'' of items controlled 
by 5A001.b.4 TSR: Yes, except for exports and reexports to destinations 
outside of Austria, Belgium, Canada, Denmark, Finland, France, Germany, 
Greece, Ireland, Italy, Japan, Luxembourg, the Netherlands, Portugal, 
Spain, Sweden, or the United Kingdom of ``software'' controlled by 
5D001.a and specially designed for items controlled by 5A001.b.4.

List of Items Controlled

Unit: $ value
Related Controls: See also 5D991
Related Definitions: N/A
Items:
    a. ``Software'' specially designed or modified for the 
``development'', ``production'' or ``use'' of equipment, functions or 
features controlled by 5A001 or 5B001.
    b. ``Software'' specially designed or modified to support 
``technology'' controlled by 5E001.
    c. Specific ``software'' as follows:
    c.1. ``Software'' specially designed or modified to provide 
characteristics, functions or features of equipment controlled by 5A001 
or 5B001;
    c.2. ``Software'' which provides the capability of recovering 
``source code'' of telecommunications ``software'' controlled by 5D001;
    c.3. ``Software'', other than in machine-executable form, specially 
designed for ``dynamic adaptive routing''.
    d. ``Software'' specially designed or modified for the 
``development'' of any of the following telecommunication transmission 
or ``stored program controlled'' switching equipment:
    d.1. Equipment employing digital techniques, including 
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a 
``total digital transfer rate'' exceeding 1.5 Gbit/s;
    d.2. Equipment employing a ``laser'' and having any of the 
following:
    d.2.a. A transmission wavelength exceeding 1750 nm;

[[Page 40132]]

    d.2.b. Employing analogue techniques and having a bandwidth 
exceeding 2.5 GHz;

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

    d.3. Equipment employing ``optical switching''; or
    d.4. Radio equipment having any of the following:
    d.4.a. Quadrature-amplitude-modulation (QAM) techniques above level 
128; or
    d.4.b. Operating at input or output frequencies exceeding 31 GHz; 
or

    Note: 5D001.d.4.b does not include ``software'' specially 
designed or modified for the ``development'' of equipment designed 
or modified for operation in any ITU allocated band.

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

* * * * *

License Exceptions

CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of 
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece, 
Ireland, Italy, Japan, Luxembourg, the Netherlands, Portugal, Spain, 
Sweden, or the United Kingdom of ``technology'' controlled by 5E001.a 
for the ``development'' or ``production'' of the following:
(1) Items controlled by 5A001.b.4; or
(2) ``Software'' controlled by 5D001.a that is specially designed for 
the ``development'' or ``production'' of items controlled by 5A001.b.4.

List of Items Controlled

Unit: $ value
Related Controls: See also 5E101 and 5E991
Related Definitions: N/A
Items:
    a. ``Technology'' according to the General Technology Note for the 
``development'', ``production'' or ``use'' (excluding operation) of 
equipment, functions or features or ``software'' controlled by 5A001, 
5B001or 5D001.
    b. Specific ``technologies'', as follows:
    b.1. ``Required'' ``technology'' for the ``development'' or 
``production'' of telecommunications equipment specially designed to be 
used on board satellites;
    b.2. ``Technology'' for the ``development'' or ``use'' of ``laser'' 
communication techniques with the capability of automatically acquiring 
and tracking signals and maintaining communications through 
exoatmosphere or sub-surface (water) media;
    b.3. ``Technology'' for the ``development'' of digital cellular 
radio systems;
    b.4. ``Technology'' for the ``development'' of ``spread spectrum'' 
or ``frequency agility'' (frequency hopping) techniques.
    c. ``Technology'' according the General Technology Note for the 
``development'' of any of the following telecommunication transmission 
or ``stored program controlled'' switching equipment, functions or 
features:
    c.1. Equipment employing digital techniques, including 
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a 
``total digital transfer rate'' exceeding 1.5 Gbit/s;
    c.2. Equipment employing a ``laser'' and having any of the 
following:
    c.2.a. A transmission wavelength exceeding 1750 nm;
    c.2.b. Performing ``optical amplification'' using praseodymium-
doped fluoride fiber amplifiers (PDFFA);
    c.2.c. Employing coherent optical transmission or coherent optical 
detection techniques (also called optical heterodyne or homodyne 
techniques);
    c.2.d. Employing wavelength division multiplexing techniques 
exceeding 8 optical carriers in a single optical window; or
    c.2.e. Employing analogue techniques and having a bandwidth 
exceeding 2.5 GHz;

    Note: 5E001.c.2.e does not include ``technology'' for the 
``development'' or ``production'' of commercial TV systems.

    c.3. Equipment employing ``optical switching''; or
    c.4. Radio equipment having any of the following:
    c.4.a. Quadrature-amplitude-modulation (QAM) techniques above level 
128; or

    c.4.b. Operating at input or output frequencies exceeding 31 GHz; 
or

    Note: 5E001.c.4.b does not include ``technology'' for the 
``development'' or ``production'' of equipment designed or modified 
for operation in any ITU allocated band.

    c. 5. Equipment employing ``common channel signalling'' operating 
in either non-associated or quasi-associated mode of operation.
    14. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 6--Sensors and Lasers, the following Export Control 
Classification Numbers (ECCNs) are amended:
    a. By revising the List of Items Controlled section for ECCNs 
6A003, 6A005 and 6C002; and
    b. By revising the entry heading for ECCN 6C992, to read as 
follows:

6A003  Cameras

* * * * *

List of Items Controlled

    Unit: Number
    Related Controls: See also 6A203. See 8A002.d and .e for cameras 
specially designed or modified for underwater use.
    Related Definitions: N/A.
    Items:
    a. Instrumentation cameras, as follows:
    a.1. High-speed cinema recording cameras using any film format from 
8 mm to 16 mm inclusive, in which the film is continuously advanced 
throughout the recording period, and that are capable of recording at 
framing rates exceeding 13,150 frames/s;

    Note: 6A003.a.1 does not control cinema recording cameras 
designed for civil purposes.

    a.2. Mechanical high speed cameras, in which the film does not 
move, capable of recording at rates exceeding 1,000,000 frames/s for 
the full framing height of 35 mm film, or at proportionately higher 
rates for lesser frame heights, or at proportionately lower rates for 
greater frame heights;
    a.3. Mechanical or electronic streak cameras having writing speeds 
exceeding 10 mm/s;
    a.4. Electronic framing cameras having a speed exceeding 1,000,000 
frames/s;
    a.5. Electronic cameras, having all of the following:
    a.5.a. An electronic shutter speed (gating capability) of less than 
1 s per full frame; and
    a.5.b. A read out time allowing a framing rate of more than 125 
full frames per second.
    b. Imaging cameras, as follows:

    Note: 6A003.b does not control television or video cameras 
specially designed for television broadcasting.

    b.1. Video cameras incorporating solid state sensors, having any of 
the following:
    b.1.a. More than 4 x 10\6\ ``active pixels'' per solid state array 
for monochrome (black and white) cameras;
    b.1.b. More than 4 x 10\6\ ``active pixels'' per solid state array 
for color cameras incorporating three solid state arrays; or
    b.1.c. More than 12 x 10\6\ ``active pixels'' for solid state array 
color cameras incorporating one solid state array;
    b.2. Scanning cameras and scanning camera systems, having all of 
the following:
    b.2.a. Linear detector arrays with more than 8,192 elements per 
array; and

[[Page 40133]]

    b.2.b. Mechanical scanning in one direction;
    b.3. Imaging cameras incorporating image intensifier tubes having 
the characteristics listed in 6A002.a.2.a;
    b.4. Imaging cameras incorporating ``focal plane arrays'' having 
the characteristics listed in 6A002.a.3.

    Note: 6A003.b.4 does not control imaging cameras incorporating 
linear ``focal plane arrays'' with twelve elements or fewer, not 
employing time-delay-and integration with the element, designed for 
any of the following:
    a. Industrial or civilian intrusion alarm, traffic or industrial 
movement control or counting systems;
    b. Industrial equipment used for inspection or monitoring of 
heat flows in buildings, equipment or industrial processes;
    c. Industrial equipment used for inspection, sorting or analysis 
of the properties of materials;
    d. Equipment specially designed for laboratory use; or
    e. Medical equipment.

6A005  ``Lasers'', components and optical equipment, as follows 
(see List of Items Controlled).

* * * * *

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: (1.) See also 6A205, 6A995, 0B001.g.5 and 0B001.b.6. 
(2.) For excimer ``lasers'' specially designed for lithography 
equipment, see 3B001. (3.) Shared aperture optical elements, capable of 
operating in ``super-high power laser'' applications are subject to the 
export licensing authority of the U.S. Department of State, Office of 
Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: (1.) Pulsed ``lasers'' include those that run in a 
continuous wave (CW) mode with pulses superimposed. (2.) Pulse-excited 
``lasers'' include those that run in a continuously excited mode with 
pulse excitation superimposed. (3.) The control status of Raman 
``lasers'' is determined by the parameters of the pumping source 
``lasers''. The pumping source ``lasers'' can be any of the ``lasers'' 
described as follows:
Items:
    a. Gas ``lasers'', as follows:
    a.1. Excimer ``lasers'', having any of the following:
    a.1.a. An output wavelength not exceeding 150 nm and having any of 
the following:
    a.1.a.1. An output energy exceeding 50 mJ per pulse; or
    a.1.a.2. An average or CW output power exceeding 1 W;
    a.1.b. An output wavelength exceeding 150 nm but not exceeding 190 
nm and having any of the following:
    a.1.b.1. An output energy exceeding 1.5 J per pulse; or 
    a.1.b.2. An average or CW output power exceeding 120 W;
    a.1.c. An output wavelength exceeding 190 nm but not exceeding 360 
nm and having any of the following:
    a.1.c.1. An output energy exceeding 10 J per pulse; or
    a.1.c.2. An average or CW output power exceeding 500 W; or
    a.1.d. An output wavelength exceeding 360 nm and having any of the 
following:
    a.1.d.1. An output energy exceeding 1.5 J per pulse; or
    a.1.d.2. An average or CW output power exceeding 30 W;
    a.2. Metal vapor ``lasers'', as follows:
    a.2.a. Copper (Cu) ``lasers'' having an average or CW output power 
exceeding 20 W;
    a.2.b. Gold (Au) ``lasers'' having an average or CW output power 
exceeding 5 W;
    a.2.c. Sodium (Na) ``lasers'' having an output power exceeding 5 W;
    a.2.d. Barium (Ba) ``lasers'' having an average or CW output power 
exceeding 2 W;
    a.3. Carbon monoxide (CO) ``lasers'' having any of the following:
    a.3.a. An output energy exceeding 2 J per pulse and a pulsed ``peak 
power'' exceeding 5 Kw; or
    a.3.b. An average or CW output power exceeding 5 Kw;
    a.4. Carbon dioxide (CO2) ``lasers'' having any of the 
following:
    a.4.a. A CW output power exceeding 15 Kw;
    a.4.b. A pulsed output having a ``pulse duration'' exceeding 10 
s and having any of the following:
    a.4.b.1. An average output power exceeding 10 Kw; or
    a.4.b.2. A pulsed ``peak power'' exceeding 100 Kw; or
    a.4.c. A pulsed output having a ``pulse duration'' equal to or less 
than 10 s; and having any of the following:
    a.4.c.1. A pulse energy exceeding 5 J per pulse; or
    a.4.c.2. An average output power exceeding 2.5 Kw;
    a.5. ``Chemical lasers'', as follows:
    a.5.a. Hydrogen Fluoride (HF) ``lasers'';
    a.5.b. Deuterium Fluoride (DF) ``lasers'';
    a.5.c. ``Transfer lasers'', as follows:
    a.5.c.1. Oxygen Iodine (O2--I) ``lasers'';
    a.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO2) 
``lasers'';
    a.6. Krypton ion or argon ion ``lasers'' having any of the 
following:
    a.6.a. An output energy exceeding 1.5 J per pulse and a pulsed 
``peak power'' exceeding 50 W; or
    a.6.b. An average or CW output power exceeding 50 W;
    a.7. Other gas ``lasers'', having any of the following:

    Note: 6A005.a.7 does not control nitrogen ``lasers''.

    a.7.a. An output wavelength not exceeding 150 nm and having any of 
the following:
    a.7.a.1. An output energy exceeding 50 mJ per pulse and a pulsed 
``peak power'' exceeding 1 W; or
    a.7.a.2. An average or CW output power exceeding 1 W;
    a.7.b. An output wavelength exceeding 150 nm but not exceeding 800 
nm and having any of the following:
    a.7.b.1. An output energy exceeding 1.5 J per pulse and a pulsed 
``peak power'' exceeding 30 W; or
    a.7.b.2. An average or CW output power exceeding 30 W;
    a.7.c. An output wavelength exceeding 800 nm but not exceeding 
1,400 nm and having any of the following:
    a.7.c.1. An output energy exceeding 0.25 J per pulse and a pulsed 
``peak power'' exceeding 10 W; or
    a.7.c.2. An average or CW output power exceeding 10 W; or
    a.7.d. An output wavelength exceeding 1,400 nm and an average or CW 
output power exceeding 1 W.
    b. Semiconductor ``lasers'', having a wavelength of less than 950 
nm or more than 2000 nm, as follows:
    b.1. Individual single-transverse mode semiconductor ``lasers'' 
having an average or CW output power exceeding 100 mW;
    b.2. Individual, multiple-transverse mode semiconductor ``lasers'' 
and arrays of individual semiconductor ``lasers'', having any of the 
following:
    b.2.a. An output energy exceeding 500 J per pulse and a 
pulsed ``peak power'' exceeding 10 W; or
    b.2.b. An average or CW output power exceeding 10 W.

    Technical Note: Semiconductor ``lasers'' are commonly called 
``laser'' diodes.

    Note 1: 6A005.b includes semiconductor ``lasers'' having optical 
output connectors (e.g. fiber optic pigtails).

    Note 2: The control status of semiconductor ``lasers'' specially 
designed for other equipment is determined by the control status of 
the other equipment.

    c. Solid state ``lasers'', as follows:
    c.1. ``Tunable'' ``lasers'' having any of the following:

    Note: 6A005.c.1 includes titanium--sapphire (Ti: 
Al2O3), thulium--YAG (Tm: YAG), thulium--YSGG 
(Tm: YSGG),

[[Page 40134]]

alexandrite (Cr: BeAl2O4) and color center 
``lasers''.

    c.1.a. An output wavelength less than 600 nm and having any of the 
following:
    c.1.a.1. An output energy exceeding 50 mJ per pulse and a pulsed 
``peak power'' exceeding 1 W; or
    c.1.a.2. An average or CW output power exceeding 1 W;
    c.1.b. An output wavelength of 600 nm or more but not exceeding 
1,400 nm and having any of the following:
    c.1.b.1. An output energy exceeding 1 J per pulse and a pulsed 
``peak power'' exceeding 20 W; or
    c.1.b.2. An average or CW output power exceeding 20 W; or
    c.1.c. An output wavelength exceeding 1,400 nm and having any of 
the following:
    c.1.c.1. An output energy exceeding 50 mJ per pulse and a pulsed 
``peak power'' exceeding 1 W; or
    c.1.c.2. An average or CW output power exceeding 1 W;
    c.2. Non-``tunable'' ``lasers'', as follows:

    Note: 6A005.c.2 includes atomic transition solid state 
``lasers''.

    c.2.a. Neodymium glass ``lasers'', as follows:
    c.2.a.1. ``Q-switched lasers'' having any of the following:
    c.2.a.1.a. An output energy exceeding 20 J but not exceeding 50 J 
per pulse and an average output power exceeding 10 W; or
    c.2.a.1.b. An output energy exceeding 50 J per pulse;
    c.2.a.2. Non-``Q-switched lasers'' having any of the following:
    c.2.a.2.a. An output energy exceeding 50 J but not exceeding 100 J 
per pulse and an average output power exceeding 20 W; or
    c.2.a.2.b. An output energy exceeding 100 J per pulse;
    c.2.b. Neodymium-doped (other than glass) ``lasers'', having an 
output wavelength exceeding 1,000 nm but not exceeding 1,100 nm, as 
follows:
    N.B.: For neodymium-doped (other than glass) ``lasers'' having an 
output wavelength not exceeding 1,000 nm or exceeding 1,100 nm, see 
6A005.c.2.c.
    c.2.b.1. Pulse-excited, mode-locked, ``Q-switched lasers'' having a 
``pulse duration'' of less than 1 ns and having any of the following:
    c.2.b.1.a. A ``peak power'' exceeding 5 GW;
    c.2.b.1.b. An average output power exceeding 10 W; or
    c.2.b.1.
    c. A pulsed energy exceeding 0.1 J;
    c.2.b.2. Pulse-excited, ``Q-switched lasers'' having a pulse 
duration equal to or more than 1 ns, and having any of the following:
    c.2.b.2.a. A single-transverse mode output having:
    c.2.b.2.a.1. A ``peak power'' exceeding 100 MW;
    c.2.b.2.a.2. An average output power exceeding 20 W; or
    c.2.b.2.a.3. A pulsed energy exceeding 2 J; or
    c.2.b.2.b. A multiple-transverse mode output having:
    c.2.b.2.b.1. A ``peak power'' exceeding 400 MW;
    c.2.b.2.b.2. An average output power exceeding 2 kW; or
    c.2.b.2.b.3. A pulsed energy exceeding 2 J;
    c.2.b.3. Pulse-excited, non-``Q-switched lasers'', having:
    c.2.b.3.a. A single-transverse mode output having:
    c.2.b.3.a.1. A ``peak power'' exceeding 500 kW; or
    c.2.b.3.a.2. An average output power exceeding 150 W; or
    c.2.b.3.b. A multiple-transverse mode output having:
    c.2.b.3.b.1. A ``peak power'' exceeding 1 MW; or
    c.2.b.3.b.2. An average power exceeding 2 kW;
    c.2.b.4. Continuously excited ``lasers'' having:
    c.2.b.4.a. A single-transverse mode output having:
    c.2.b.4.a.1. A ``peak power'' exceeding 500 kW; or
    c.2.b.4.a.2. An average or CW output power exceeding 150 W; or
    c.2.b.4.b. A multiple-transverse mode output having:
    c.2.b.4.b.1. A ``peak power'' exceeding 1 MW; or
    c.2.b.4.b.2. An average or CW output power exceeding 2 kW;
    c.2.c. Other non-''tunable'' ``lasers'', having any of the 
following:
    c.2.c.1. A wavelength less than 150 nm and having any of the 
following:
    c.2.c.1.a. An output energy exceeding 50 mJ per pulse and a pulsed 
``peak power'' exceeding 1 W; or
    c.2.c.1.b. An average or CW output power exceeding 1 W;
    c.2.c.2. A wavelength of 150 nm or more but not exceeding 800 nm 
and having any of the following:
    c.2.c.2.a. An output energy exceeding 1.5 J per pulse and a pulsed 
``peak power'' exceeding 30 W; or
    c.2.c.2.b. An average or CW output power exceeding 30 W;
    c.2.c.3. A wavelength exceeding 800 nm but not exceeding 1,400 nm, 
as follows:
    c.2.c.3.a. ``Q-switched lasers'' having:
    c.2.c.3.a.1. An output energy exceeding 0.5 J per pulse and a 
pulsed ``peak power'' exceeding 50 W; or
    c.2.c.3.a.2. An average output power exceeding:
    c.2.c.3.a.2.a. 10 W for single-mode ``lasers'';
    c.2.c.3.a.2.b. 30 W for multimode ``lasers'';
    c.2.c.3.b. Non-''Q-switched lasers'' having:
    c.2.c.3.b.1. An output energy exceeding 2 J per pulse and a pulsed 
``peak power'' exceeding 50 W; or
    c.2.c.3.b.2. An average or CW output power exceeding 50 W; or
    c.2.c.4. A wavelength exceeding 1,400 nm and having any of the 
following:
    c.2.c.4.a. An output energy exceeding 100 mJ per pulse and a pulsed 
``peak power'' exceeding 1 W; or
    c.2.c.4.b. An average or CW output power exceeding 1 W;
    d. Dye and other liquid ``lasers'', having any of the following:
    d.1. A wavelength less than 150 nm and:
    d.1.a. An output energy exceeding 50 mJ per pulse and a pulsed 
``peak power'' exceeding 1 W; or
    d.1.b. An average or CW output power exceeding 1 W;
    d.2. A wavelength of 150 nm or more but not exceeding 800 nm and 
having any of the following:
    d.2.a. An output energy exceeding 1.5 J per pulse and a pulsed 
``peak power'' exceeding 20 W;
    d.2.b. An average or CW output power exceeding 20 W; or
    d.2.c. A pulsed single longitudinal mode oscillator having an 
average output power exceeding 1 W and a repetition rate exceeding 1 
Khz if the ``pulse duration'' is less than 100 ns;
    d.3. A wavelength exceeding 800 nm but not exceeding 1,400 nm and 
having any of the following:
    d.3.a. An output energy exceeding 0.5 J per pulse and a pulsed 
``peak power'' exceeding 10 W; or
    d.3.b. An average or CW output power exceeding 10 W; or
    d.4. A wavelength exceeding 1,400 nm and having any of the 
following: d.4.a. An output energy exceeding 100 mJ per pulse and a 
pulsed ``peak power'' exceeding 1 W; or
    d.4.b. An average or CW output power exceeding 1 W;
    e. Components, as follows:
    e.1. Mirrors cooled either by active cooling or by heat pipe 
cooling;

    Technical Note: Active cooling is a cooling technique for 
optical components using flowing fluids within the subsurface 
(nominally less than 1 mm below the optical surface) of the optical 
component to remove heat from the optic.

    e.2. Optical mirrors or transmissive or partially transmissive 
optical or electro-optical components specially designed for use with 
controlled ``lasers'';
    f. Optical equipment, as follows:

[[Page 40135]]

    (For shared aperture optical elements, capable of operating in 
``Super-High Power Laser'' (``SHPL'') applications, see the U.S. 
Munitions List.)
    f.1. Dynamic wavefront (phase) measuring equipment capable of 
mapping at least 50 positions on a beam wavefront having any of the 
following:
    f.1.a. Frame rates equal to or more than 100 Hz and phase 
discrimination of at least 5% of the beam's wavelength; or
    f.1.b. Frame rates equal to or more than 1,000 Hz and phase 
discrimination of at least 20% of the beam's wavelength;
    f.2. ``Laser'' diagnostic equipment capable of measuring ``SHPL'' 
system angular beam steering errors of equal to or less than 10 
rad;
    f.3. Optical equipment and components specially designed for a 
phased-array ``SHPL'' system for coherent beam combination to an 
accuracy of lambda/10 at the designed wavelength, or 0.1 m, 
whichever is the smaller;
    f.4. Projection telescopes specially designed for use with ``SHPL'' 
systems.

6C002 Optical sensor materials, as follows (see List of Items 
Controlled).

* * * * *

List of Items Controlled

Unit: Number
Related Controls: See also 6C992
Related Definitions: N/A
Items:
    a. Elemental tellurium (Te) of purity levels of 99.9995% or more;
    b. Single crystals of cadmium zinc telluride (CdZnTe), with zinc 
content less than 6% by weight, or cadmium telluride (CdTe), or mercury 
cadmium telluride (HgCdTe) of any purity level, including epitaxial 
wafers thereof.

6C992 Optical sensing fibers not controlled by 6A002.d.3 which are 
modified structurally to have a ``beat length'' of less than 500 mm 
(high birefringence) or optical sensor materials not described in 
6C002.b and having a zinc content of equal to or more than 6% by 
weight.

* * * * *
    15. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 7--Navigation and Avionics is amended by revising the notes 
that immediately follow the Category 7A (Systems, Equipment and 
Components) heading, to read as follows:

Category 7--Navigation and Avionics

A. SYSTEMS, EQUIPMENT AND COMPONENTS
    N.B. 1: For automatic pilots for underwater vehicles, see Category 
8. For radar, see Category 6.
    N.B. 2: For inertial navigation equipment for ships or submersibles 
see item 9.e on the Wassenaar Munitions List.
    16. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 9--Propulsion Systems, Space Vehicles and Related Equipment is 
amended by revising the parenthetical phrase that immediately follows 
the Category 9A (Systems, Equipment and Components) heading, to read as 
follows:

Category 9--Propulsion Systems, Space Vehicles and Related 
Equipment

A. SYSTEMS, EQUIPMENT AND COMPONENTS
    N.B.: For propulsion systems designed or rated against neutron or 
transient ionizing, see the U.S. Munitions List, 22 CFR part 121.

    Dated: July 13, 1999.
R. Roger Majak,
Assistant Secretary for Export Administration.
[FR Doc. 99-18313 Filed 7-22-99; 8:45 am]
BILLING CODE 3510-33-P