[Federal Register Volume 66, Number 136 (Monday, July 16, 2001)]
[Rules and Regulations]
[Pages 36909-36913]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-17549]


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DEPARTMENT OF COMMERCE

Bureau of Export Administration

15 CFR Parts 772 and 774

[Docket No. 010423100-1100-01]
RIN 0694-AC03


Harmonization of Definitions of Terms

AGENCY: Bureau of Export Administration, Commerce.

ACTION: Final rule.

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SUMMARY: This regulation harmonizes the list of definitions of terms 
found in the Export Administration Regulations (EAR) with the terms 
found in the Wassenaar Arrangement list of dual-use items and terms 
found in the European Union List, as of 1999. Additional changes 
regarding definitions will be incorporated into other regulations of 
the EAR as necessary.

DATES: This rule is effective July 16, 2001.

ADDRESSES: Comments should be submitted in writing to: U.S. Department 
of Commerce, Bureau of Export Administration, Office of Exporter 
Services, 14th and Pennsylvania Ave., NW., Room 2705, Washington, DC 
20230, Attention: Sharron Cook.

FOR FURTHER INFORMATION CONTACT: Sharron Cook, Regulatory Policy 
Division, Office of Exporter Services, Bureau of Export Administration, 
Telephone: (202) 482-2440.

SUPPLEMENTARY INFORMATION:

Background

    This rule adds definitions to part 772 of the EAR and in some cases 
revises or removes definitions to harmonize with definitions found in 
the list of terms that accompanied the Wassenaar Arrangement list of 
dual-use items and the European Union List. In addition, revisions are 
made to the Related Definitions paragraph in the List of Items 
Controlled Section of certain Export Control Classification Numbers 
(ECCNs) to harmonize with the revisions being made to part 772. Also, 
language is added to the introduction to part 772 to clarify that terms 
that only appear in a single ECCN will be defined in the Related 
Definitions paragraph in

[[Page 36910]]

the List of Items Controlled Section of that ECCN, instead of in part 
772.

Rule Making Requirements

    1. This final rule has been determined to be not significant for 
purposes of Executive Order 12866.
    2. Notwithstanding any other provision of law, no person is 
required to respond to nor be subject to a penalty for failure to 
comply with a collection of information, subject to the requirements of 
the Paperwork Reduction Act, unless that collection of information 
displays a current valid OMB Control Number. This rule involves a 
collection of information subject to the Paperwork Reduction Act of 
1980 (44 U.S.C. 3501 et seq.). This collection has been approved by the 
Office of Management and Budget under control number 0694-0088. There 
are neither additions nor subtractions to this collection due to this 
rule.
    3. This rule does not contain policies with Federalism impacts as 
that term is defined in Executive Order 13132.
    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 (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 the Administrative Procedure 
Act or by any other law, the analytical requirements of the Regulatory 
Flexibility Act (5 U.S.C. 601 et seq.) are not applicable. Therefore, 
this regulation is issued in final form. Although there is no formal 
comment period, public comments on this regulation are welcome on a 
continuing basis. Comments should be submitted to Sharron Cook, Office 
of Exporter Services, Bureau of Export Administration, Department of 
Commerce, P.O. Box 273, Washington, DC 20044.

List of Subjects in 15 CFR Parts 772 and 774

    Exports, Foreign trade.

    Accordingly, parts 772 and 774 of the Export Administration 
Regulations (15 CFR parts 730-774) are amended, as follows:
    1. The authority citation for 15 CFR part 772 continues to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; Pub. L. 106-508; 50 
U.S.C. 1701 et seq.; E.O. 13206, 66 FR 18397, April 9, 2001.

    2. The authority citation for 15 CFR part 774 continues to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; Pub. L. 106-508; 50 
U.S.C. 1701 et seq.; 10 U.S.C. 7420; 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. 13026, 61 
FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13206, 66 FR 18397, April 
9, 2001.

PART 772--[AMENDED]

    3. Section 772.1 is amended by revising the introductory text to 
Sec. 772.1 and:
    a. Revising the phrase ``A maximum'' to read ``A minimum'' in the 
definition for ``active pixel'';
    b. Revising the phrase ``Cat 7 and 9'' to read ``Cat 1, 7, and 9'' 
in the definition for ``Aircraft'';
    c. Revising the phrase ``(ATM)'' to read ``(``ATM'')'' and removing 
the parenthetical phrase ``(CCITT Recommendation L.113)'' in the 
definition for ``Asynchronous transfer mode'';
    d. Revising the phrase ``Cat 7 and 9'' to read ``Cat 1, 7, and 9'' 
in the definition for ``Civil aircraft'';
    e. Revising the phrase ``Cat 1, 6, 8, and 9'' to read ``Cat 1, 2, 
6, 8 and 9'' in the definition for ``Composite'';
    f. Revising the phrase ``Cat 4'' to read ``Cat 3 and 4'' in the 
definition for ``Composite theoretical performance'';
    g. Amending the phrase ``numerically controlled'' by adding 
quotation marks around it in the definition for ``Contouring control'';
    h. Revising the phrase ``variables:'' to read ``variables, perform 
all of the following:'' in the definition for ``Digital computer'';
    i. Adding the parenthetical phrase ``(See also ``total digital 
transfer rate'')'' to the end of the definition for ``Digital transfer 
rate'';
    j. Revising the phrase ``Cat 6'' to read ``Cat 5 and 6'' in the 
definition for ``Electronically steerable phased array antenna'';
    k. Revising the phrase ``Cat 4'' to read ``Cat 4 and 7'' in the 
definition for ``Expert systems'';
    l. Revising the phrase ``Cat 3'' to read ``Cat 3 and 5'' in the 
definition for ``Instantaneous bandwidth'';
    m. Revising the phrase ``(Ref.: VDI/VDE 2617)'' to read ``(Ref.: 
ISO 10360-2 or VDI/VDE 2617)'' in the definition for ``Measurement 
uncertainty'';
    n. Revising the phrase ``Cat. 1 and 7'' to read ``All Categories'' 
in the definition for ``Production'';
    o. Revising the phrase ``Cat 2 and 4'' to read ``Cat 2, 4, 6, and 
7'' in the definition for ``Real time processing'';
    q. Revising the phrase ``As applied'' to read ``(General Technology 
Note)(Cat 4, 5, 6, and 9)--As applied'' in the definition for 
``Required'';
    r. Revising the phrase ``Cat 3, 4 and 5'' to read ``Cat 3, 4, 5, 
and 6'' in the definition for ``Signal processing'';
    s. Revising the phrase ``Cat 4'' to read ``Cat 4, 5, 6, 7, and 9'' 
in the definition for ``Source Code'';
    t. Revising the phrase ``Cat 4'' to read ``Cat 9'' in the 
definition for ``Object Code'';
    u. Revising the phrase ``Cat 2, 4, and 5'' to read ``Cat 2, 4, 5, 
and 6'' in the definition for ``Program'';
    v. Revising the phrase ``General Technology Note'' to read ``All 
categories and General Technology Note'' in the definition for ``Use'';
    w. Revising the definition title ``Superalloys'' to read 
``Superalloy''.
    x. Revising the definitions for ``Asymmetric algorithm'', ``Basic 
gate propagation delay time'', ``Data signalling rate'', ``Personalized 
smart card''; and ``Program''.
    y. Removing the definitions for ``Bandwidth of one voice channel'', 
``Communications channel controller'', ``Computer using facility'', 
``Cryptanalysis'', ``Datagram'', ``Family'', ``Fast select'', ``Generic 
software'', ``Most immediate storage'', ``PABX'', ``Private Automatic 
Branch Exchange'', ``Production facility'', ``Simple educational 
devices'', ``Swept frequency network analyzers'', ``Switch fabric'', 
``Telecommunication transmission equipment'', ``Two dimensional Vector 
Rate'', ``SDH'', ``SONET'', ``Synchronous digital hierarchy'', 
``Synchronous optical network''; and
    z. Adding the following definitions in alphabetical order, to read 
as follows:


Sec. 772.1  Definitions of Terms as Used in the Export Administration 
Regulations (EAR).

    The following are definitions of terms as used in the Export 
Administration Regulations (EAR). In this part, references to the EAR 
are references to 15 CFR chapter VII, subchapter C. Those terms in 
quotation marks refer to terms used on the Commerce Control List (CCL) 
(Supplement No. 1 to part 774 of the EAR). Parenthetical references 
following the terms in quotation marks (i.e., (Cat 5)) refer to the CCL 
category in which that term is found. If a term is used in only one 
Export Control Classification Number (ECCN) on the CCL, then that term 
will not appear in this part, but will be defined in the Related 
Definitions paragraph in the List

[[Page 36911]]

of Items Controlled Section of that ECCN.
* * * * *
    ``All compensations available.'' (Cat 2) means after all feasible 
measures available to the manufacturer to minimize all systematic 
positioning errors for the particular machine-tool model are 
considered.
* * * * *
    ``Asymmetric algorithm.'' (Cat 5) means a cryptographic algorithm 
using different, mathematically-related keys for encryption and 
decryption.
    Technical Note: A common use of ``asymmetric algorithms'' is key 
management.
* * * * *
    ``Basic gate propagation delay time.'' (Cat 3) The propagation 
delay time value corresponding to the basic gate used in a ``monolithic 
integrated circuit.'' For a `family' of ``monolithic integrated 
circuits'', this may be specified either as the propagation delay time 
per typical gate within the given `family' or as the typical 
propagation delay time per gate within the given `family'.
    Technical Notes: 1. ``Basic gate propagation delay time'' is not to 
be confused with the input/output delay time of a complex ``monolithic 
integrated circuit.''
    2. `Family' consists of all integrated circuits to which all of the 
following are applied as their manufacturing methodology and 
specifications except their respective functions:
    a. The common hardware and software architecture;
    b. The common design and process technology; and
    c. The common basic characteristics.
* * * * *
    ``Carbon fiber preforms.'' (Cat 1) means an ordered arrangement of 
uncoated or coated fibers intended to constitute a framework of a part 
before the ``matrix'' is introduced to form a ``composite.''
* * * * *
    ``Data signalling rate.'' (Cat 5) means the rate, as defined in ITU 
Recommendation 53-36, taking into account that, for non-binary 
modulation, baud and bit per second are not equal. Bits for coding, 
checking and synchronization functions are to be included.


    Note: When determining the ``data signalling rate'', servicing 
and administrative channels shall be excluded.


    Technical Note: It is the maximum one-way rate, i.e., the maximum 
rate in either transmission or reception.
* * * * *
    ``Deformable mirrors.'' (Cat 6) (also known as adaptive optic 
mirrors) means mirrors having:
    a. A single continuous optical reflecting surface which is 
dynamically deformed by the application of individual torques or forces 
to compensate for distortions in the optical waveform incident upon the 
mirror; or
    b. Multiple optical reflecting elements that can be individually 
and dynamically repositioned by the application of torques or forces to 
compensate for distortions in the optical waveform incident upon the 
mirror.
* * * * *
    ``Depleted uranium.'' (Cat 0) means uranium depleted in the isotope 
235 below that occurring in nature.
* * * * *
    ``Effective Gram.'' (of ``special fissile material'') (Cat 0 and 1) 
means:
    a. For plutonium isotopes and uranium-233, the isotope weight in 
grams;
    b. For uranium enriched 1 percent or greater in the isotope 
uranium-235, the element weight in grams multiplied by the square of 
its enrichment expressed as a decimal weight fraction;
    c. For uranium enriched below 1 percent in the isotope uranium-235, 
the element weight in grams multiplied by 0.0001.
* * * * *
    ``Electronic assembly.'' (Cat 3, 4, and 5) means a number of 
electronic components (i.e., `circuit elements', `discrete components', 
integrated circuits, etc.) connected together to perform (a) specific 
function(s), replaceable as an entity and normally capable of being 
disassembled.
    Technical Notes: 1. `Circuit element': a single active or passive 
functional part of an electronic circuit, such as one diode, one 
transistor, one resistor, one capacitor, etc.
    2. `Discrete component': a separately packaged `circuit element' 
with its own external connections.
* * * * *
    ``FADEC.'' See ``full authority digital engine control.''
* * * * *
    ``Flight control optical sensor array.'' (Cat 7) is a network of 
distributed optical sensors, using ``laser'' beams, to provide real-
time flight control data for on-board processing.
    ``Flight path optimization.'' (Cat 7) is a procedure that minimizes 
deviations from a four-dimensional (space and time) desired trajectory 
based on maximizing performance or effectiveness for mission tasks.
* * * * *
    ``Full Authority Digital Engine Control.'' (``FADEC'') (Cat 7 and 
9) means an electronic control system for gas turbine or combined cycle 
engines utilizing a digital computer to control the variables required 
to regulate engine thrust or shaft power output throughout the engine 
operating range from the beginning of fuel metering to fuel shutoff.
* * * * *
    ``Microcomputer microcircuit.'' (Cat 3) means a ``monolithic 
integrated circuit'' or ``multichip integrated circuit'' containing an 
arithmetic logic unit (ALU) capable of executing a series of general 
purpose instructions from an internal storage, on data contained in the 
internal storage.
    Technical Note: The ``microprocessor microcircuit'' normally does 
not contain integral user-accessible storage, although storage present 
on-the-chip may be used in performing its logic function.


    Note: This definition includes chip sets which are designed to 
operate together to provide the function of a ``microprocessor 
microcircuit.''


* * * * *
    ``Microorganisms.'' (Cat 1 and 2) means bacteria, viruses, 
mycoplasms, rickettsiae, chlamydiae or fungi, whether natural, enhanced 
or modified, either in the form of isolated live cultures or as 
material including living material which has been deliberately 
inoculated or contaminated with such cultures.
* * * * *
    ``Monospectral imaging sensors.'' (Cat 6) are capable of 
acquisition of imaging data from one discrete spectral band.
* * * * *
    ``Natural uranium.'' (Cat 0) means uranium containing the mixtures 
of isotopes occurring in nature.
* * * * *
    ``Nuclear reactor.'' (Cat 0 and 2) includes the items within or 
attached directly to the reactor vessel, the equipment which controls 
the level of power in the core, and the components which normally 
contain, come into direct contact with or control the primary coolant 
of the reactor core.
* * * * *
    ``Personalized smart card.'' (Cat 5) A smart card containing a 
microcircuit which has been programmed for a specific application and 
cannot be reprogrammed for any other application by the user.
* * * * *
    ``Previously separated.'' (Cat 1) The application of any process 
intended to

[[Page 36912]]

increase the concentration of the controlled isotope.
    ``Primary flight control.'' (Cat 7) ``Aircraft'' stability or 
maneuvering control using force/moment generators, i.e., aerodynamic 
control surfaces or propulsive thrust vectoring.
* * * * *
    ``Program.'' (Cat 2, 4, 5, and 6)--A sequence of instructions to 
carry out a process in, or convertible into, a form executable by an 
electronic computer.
* * * * *
    ``SHPL.'' (Cat 6) is equivalent to ``Super High Power Laser'', see 
definition for ``super high power laser.''
* * * * *
    ``Special fissile material.'' (Cat 0) means plutonium-239, uranium-
233, ``uranium enriched in the isotopes 235 or 233'', and any material 
containing the foregoing.

    Note: As defined by 10 CFR 110.2 of the Nuclear Regulatory 
Commission Regulations, ``Special fissile material'' means: 
plutonium, uranium-233 or uranium enriched above 0.711 percent by 
weight in the isotope uranium-235.

* * * * *
    ``Total control of flight.'' (Cat 7) means an automated control of 
``aircraft'' state variables and flight path to meet mission objectives 
responding to real time changes in data regarding objectives, hazards 
or other ``aircraft.''
* * * * *
    ``Toxins.'' (Cat 1 and 2) means toxins in the form of deliberately 
isolated preparations or mixtures, no matter how produced, other than 
toxins present as contaminants of other materials such as pathological 
specimens, crops, foodstuffs or seed stocks of ``microorganisms.''
* * * * *

PART 774--[AMENDED]

    4. In Supplement No. 1 to part 774, the Commerce Control List, 
Category 0 (Nuclear Materials, Facilities, and Equipment [and 
Miscellaneous Items]), Export Control Classification Number (ECCN) 
0B001 is amended by revising the Related Definitions paragraph in the 
List of Items Controlled Section, to read as follows:

0B001 Plant for the Separation of Isotopes of ``NaturalUranium'' 
and ``Depleted Uranium'', ``Special Fissile Materials'' and ``Other 
Fissile Materials'', and Specially Designed or Prepared Equipment 
and Components Therefor, as Follows (see List of Items Controlled)

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: ``Materials resistant to corrosion by 
UF6'' may be copper, stainless steel, aluminum, aluminum 
oxide, aluminum alloys, nickel or alloy containing 60 weight percent or 
more nickel and UF6-resistant fluorinated hydrocarbon 
polymers, as appropriate for the type of separation process.
    Items:
* * * * *

    5. In Supplement No. 1 to part 774, the Commerce Control List, 
Category 1 (Materials, Chemicals, ``Microorganisms,'' and Toxins), 
Export Control Classification Number (ECCN) 1C012 is amended by 
revising the List of Items Controlled section, to read as follows:

1C012 Materials, as Follows (see List of Items Controlled)

* * * * *

List of Items Controlled

    Unit: N/A.
    Related Controls: N/A.
    Related Definitions: These materials are typically used for nuclear 
heat sources.
    Items:
    a. Plutonium in any form with a plutonium isotopic assay of 
plutonium-238 of more than 50% by weight;


    Note: 1C012.a does not control:


    1. Shipments with a plutonium content of 1 g or less;
    2. Shipments of 3 ``effective grams'' or less when contained in 
a sensing component in instruments.

    b. Previously separated neptunium-237 in any form.


    Note: 1C012.b does not control shipments with a neptunium-237 
content of 1 g or less.



    6. In Supplement No. 1 to part 774, the Commerce Control List, 
Category 4 (Computers), Export Control Classification Number (ECCN) 
4A994 is amended by revising the Related Definitions paragraph in the 
List of Items Controlled section, to read as follows:

4A994 Computers, ``Electronic Assemblies'', and Related Equipment 
not Controlled by 4A001, 4A002, or 4A003, and Specially Designed 
Components Therefor

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: ``Two dimensional vector rate'' is the number 
vectors generated per second that have 10 pixel poly line vectors, clip 
tested, randomly oriented, with either integer or floating point X-Y 
coordinate values (whichever produces the maximum rate) (see paragraph 
(g) of this ECCN).
    Items:
* * * * *

    7. In Supplement No. 1 to part 774, the Commerce Control List, 
Category 5 (Telecommunications and ``Information Security'', Part I. 
Telecommunications), Export Control Classification Number (ECCN) 5A991 
is amended by revising the Related Definitions paragraph in the List of 
Items Controlled section, to read as follows:

5A991 Telecommunication Equipment, not Controlled by 5A001

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: ``Bandwidth of one voice channel'' is data 
communication equipment designed to operate in one voice channel of 
3,100 Hz, as defined in CCITT Recommendation G.151. ``Communications 
channel controller'' is the physical interface that controls the flow 
of synchronous or asynchronous digital information. It is an assembly 
that can be integrated into computer or telecommunications equipment to 
provide communications access. ``Datagram'' is a self-contained, 
independent entity of data carrying sufficient information to be routed 
from the source to the destination data terminal equipment without 
reliance on earlier exchanges between this source and destination data 
terminal equipment and the transporting network. ``Fast select'' is a 
facility applicable to virtual calls that allows data terminal 
equipment to expand the possibility to transmit data in call set-up and 
clearing ``packets'' beyond the basic capabilities of a virtual call, 
where a ``packet'' is a group of binary digits including data and call 
control signals that is switched as a composite whole. The data, call 
control signals, and possible error control information are arranged in 
a specified format.
    Items:
* * * * *

    8. In Supplement No. 1 to part 774, the Commerce Control List, 
Category 7 (Navigation and Avionics), Export Control Classification 
Number (ECCN) 7A003 is amended by revising the List of Items Controlled 
section, to read as follows:

[[Page 36913]]

7A003 Inertial Navigation Systems (Gimballed or Strapdown) and 
Inertial Equipment Designed for ``Aircraft'', Land Vehicle or 
``Spacecraft'' for Attitude, Guidance or Control, Having any of the 
Following Characteristics (see List of Items Controlled), and 
Specially Designed Components Therefor

* * * * *

List of Items Controlled

    Unit: $ value.
    Related Controls: See also 7A103 and 7A994. Inertial navigation 
systems and inertial equipment, and specially designed components 
therefor specifically designed, modified or configured for military use 
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: N/A.
    Items:
    a. Navigation error (free inertial) subsequent to normal alignment 
of 0.8 nautical mile per hour (50% Circular Error Probable (CEP)) or 
less (better); or
    b. Specified to function at linear acceleration levels exceeding 10 
g.


    Note: The parameters of 7A003.a are applicable with any of the 
following environmental conditions:


    1. Input random vibration with an overall magnitude of 7.7 g rms in 
the first half hour and a total test duration of one and one half hour 
per axis in each of the three perpendicular axes, when the random 
vibration meets the following:
    a. A constant power spectral density (PSD) value of 0.04 
g2/Hz over a frequency interval of 15 to 1,000 Hz; and
    b. The PSD attenuates with frequency from 0.04 g2/Hz to 
0.01 g2/Hz over a frequency interval from 1,000 to 2,000 Hz; 
or
    2. A roll and yaw rate of equal to or more than +2.62 radian/s (150 
deg/s); or
    3. According to national standards equivalent to 1. or 2. of this 
note.


    Note: 7A003 does not control inertial navigation systems that 
are certified for use on ``civil aircraft'' by civil authorities of 
a country in Country Group A:1.



    9. In Supplement No. 1 to part 774, the Commerce Control List, 
Category 7 (Navigation and Avionics), Export Control Classification 
Number (ECCN) 7E004 is amended by revising the Related Controls 
paragraph in the List of Items Controlled section, to read as follows:

7E004 Other ``Technology'', as Follows (see List of Items 
Controlled)

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: ``Primary flight control'' means an 
``aircraft'' stability or maneuvering control using force/moment 
generators, i.e., aerodynamic control surfaces or propulsive thrust 
vectoring.
    Items:
* * * * *

    Dated: July 5, 2001.
James J. Jochum,
Assistant Secretary for Export Administration.
[FR Doc. 01-17549 Filed 7-13-01; 8:45 am]
BILLING CODE 3510-33-P