[Federal Register Volume 67, Number 2 (Thursday, January 3, 2002)]
[Rules and Regulations]
[Pages 458-478]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-10]



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Part III





Department of Commerce





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Bureau of Export Administration



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15 CFR Parts 743, 752, et al.



Implementation of the Wassenaar Arrangement List of Dual-Use Items: 
Revisions to Categories 1, 2, 3, 4, 5, 6, 7 and 9 of the Commerce 
Control List and Revisions to Reporting Requirements; Final Rule

  Federal Register / Vol. 67, No. 2 / Thursday, January 3, 2002 / Rules 
and Regulations  

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DEPARTMENT OF COMMERCE

Bureau of Export Administration

15 CFR Parts 743, 752, 772 and 774

[Docket No. 011026261-1261-01]
RIN 0694-AC44


Implementation of the Wassenaar Arrangement List of Dual-Use 
Items: Revisions to Categories 1, 2, 3, 4, 5, 6, 7 and 9 of the 
Commerce Control List and Revisions to Reporting Requirements

AGENCY: Bureau of Export Administration, Commerce

ACTION: Final rule.

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SUMMARY: The Bureau of Export Administration (BXA) maintains the 
Commerce Control List (CCL), which identifies 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 Part I (telecommunications), 6, 7 and 9 to conform with changes in 
the 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.
    The purpose of this final rule is to make the necessary changes to 
the Commerce Control List to implement revisions to the Wassenaar List 
that were agreed upon in the December 1, 2000 meeting and to make 
necessary revisions to reporting requirements. The majority of the 
changes that affected Category 4 items will be published in a separate 
rule.

DATES: This rule is effective January 3, 2002.

FOR FURTHER INFORMATION CONTACT: Tanya Hodge Mottley in the Office of 
Strategic Trade and Foreign Policy Controls, Bureau of Export 
Administration, U.S. Department of Commerce at (202) 482-1837.

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.
    This final rule revises a number of national security controlled 
entries on the Commerce Control List (CCL) to conform with December 1, 
2000 revisions to the Wassenaar List of Dual-Use Goods and 
Technologies. This rule also revises language to provide a complete or 
more accurate description of controls. A detailed description of the 
revisions to the CCL is provided below.
    Specifically, this rule makes the following amendments to the 
Commerce Control List:

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

    1A002--amended by:
    (1) Moving the exception contained in the NS control language for 
finished or semifinished items specially designed for civilian 
applications to two separate notes under paragraphs a. and b. of this 
entry. This revision clarifies that this entry does not control 
finished or semifinished items specially designed for purely civilian 
applications, as follows: sporting goods, automotive industry, machine 
tool industry, and medical applications; and
    (2) Correcting a typographical error in note 2 of the Related 
Controls paragraph of this entry.
    1B002--amended by:
    (1) Clarifying that the equipment described by this entry is used 
for producing the highest performance ductile metal alloys in the entry 
heading; and
    (2) Replacing the reference to controlled materials with a 
reference to the critical processes listed in 1C002.c.2. in the entry 
heading.
    1C002--amended by:
    (1) Reformatting the entry to specify the types of materials 
controlled (material in solid forms and powders/particulates suitable 
for making them). Specifically, each subparagraph has been revised to 
identify the main classes of controlled material, as follows:
    (i) 1C002.a for aluminides;
    (ii) 1C002.b for alloys made by powder metallurgy techniques;
    (iii) 1C002.c for alloy powders suitable for re-melting to make 
controlled alloys; and
    (iv) 1C002.d for material that has been refined to the correct 
composition for controlled alloys, which needs only to be mechanically 
reduced to powder in order to be suitable for re-melting to make 
controlled alloys; and
    (2) Moving the Technical Notes that were after a.2.e to the 
beginning of the List of Items Controlled for this entry.
    1C007--amended by:
    (1) Clarifying that ceramic-ceramic ``composite'' materials are 
controlled when made from the listed ``materials'' instead of 
``systems'' in paragraph (c);
    (2) Clarifies that all the parameters in paragraph (c) must be met 
for the item to be subject to control; and
    (3) Reformatting paragraph (c) to be consistent with the Wassenaar 
Information System.

Category 2--Material Processing

    2A001--amended by revising the tolerance standards for ball 
bearings and solid roller bearings described in 2A001.a and 2A002.b. 
These tolerance standards are revised to add greater precision. 
Specifically, in 2A001.a, the following standards ``ABEC 7, ABEC 7P, 
ABEC 7T or ISO Standard Class 4, or national equivalents, or better'' 
are revised to read ``ISO Tolerance Class 4 (or ANSI/ABMA Std 20 
Tolerance Class ABEC-7 or RBEC-7, or other national equivalents), or 
better''. In 2A001.b, the following standards ``ABEC 9, ABEC 9P or ISO 
Standard Class 2, or national equivalents'' are revised to read ``ISO 
492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9 or 
RBEC-9, or other national equivalents), or better''.
    Technical Notes to Category 2 B--amended by:
    (1) Redesignating technical notes 2 through 5 as technical notes 3 
though 6; and
    (2) Adding a new technical note 2 to clarify the meaning of the 
term ``contouring control''.
    2B001--amended by:
    (1) Adding two notes to decontrol special purpose machine tools 
that produce certain type parts. Specifically, Note 1 specifies that 
2B001 does not control special purpose machine tools limited to the 
manufacture of gears. Note 2 specifies that 2B001 does not control 
special purpose machine tools limited to the manufacture of crank 
shafts or cam shafts, tools or cutters, extruder worms, or engraving or 
facetted jewelry parts;
    (2) Adding a new national security control for fly cutting machine 
tools, as described by 2B001.b.4. This new

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control introduces new parameters for the control of fly cutting 
machines, such as a spindle run-out and angular deviation of slide 
movement (2B001.b.4); and
    (3) Adding clarifying text to paragraph (e), machine tools for 
removing metals, ceramics or ``composites'', to be consistent with the 
Wassenaar Information System.
    2B008--amended by:
    (1) Removing the reference to the term ``inserts'' in the entry 
heading. The term ``inserts'' has been removed because no inserts are 
contained in the List of Items Controlled;
    (2) Replacing the phrase ``for equipment controlled by 2B006 or 
2B007'' with the phrase ``dimensional inspection or measuring systems 
and equipment'' in the entry heading. The phrase referencing equipment 
controlled by 2B007 has been removed because the items listed in 2B008 
are not key elements of robots controlled by 2B007; and
    (3) Replacing the reference to 2B006 with the phrase ``dimensional 
inspection or measuring systems and equipment'' in the entry heading, 
in order to reduce the number of unnecessary cross-references to other 
entries.
    2D002--amended by removing controls for ``real-time processing'' of 
data to modify tool path, feed rate and spindle data, during machining 
operation, by deleting 2D002.b. No such software currently is 
available. The parameters set forth in 2D002.a have been included in 
the entry heading and the List of Items Controlled has been removed.
    2E003--Materials Processing Table for Deposition Techniques--
Notes--amended by revising Note 17 to the Table by removing the 
exclusion from control for technology specially designed to deposit 
diamond like carbon on polycarbonate eyeglasses, bakery equipment and 
high quality lenses designed for cameras or telescopes.

Category 3--Electronics

    3A001--amended by revising the following subparagraphs:
    3A001.a.3.c--amended by clarifying that the control for this 
subparagraph applies only to the capability of processors directly 
interconnected with each other and by relaxing controls on the external 
interconnect transfer rate from 2.5 Mbytes/s to 150 Mbyte/s.
    3A001.a.5.a.1--amended by relaxing controls for analog-to-digital 
converters by lowering the conversion time from 10 ns to 5 ns.
    3A001.a.10--amended by:
    (1) Relaxing controls for custom integrated circuits by increasing 
the control threshold on the number of terminals from 208 to 1,000 
(3A001.a.10.a); and
    (2) Decreasing the control threshold for basic gate propagation 
delay time from 0.35 ns to 0.1 ns (3A001.a.10.b).
    3A001.a.12--amended by:
    (1) Modifying the subparagraph to reflect advancements in Fast 
Fourier Transform (FFT) processors. The formula for determining the 
control parameters for FFT processors has been modified. This 
modification relaxes controls over the execution time from 1 
millisecond to 500 microseconds for a 1024 point complex FFT; and
    (2) Deleting the control parameter for butterfly throughput, 
because it is a software algorithm and does not describe performance 
levels of currently produced FFT processors.
    3A001.b.1, b.2 and b.8--amended by revising the decontrol notes in 
these subparagraphs to clarify that bands within the frequency range 
between 0 to 31 GHz are not subject to national security controls.
    3A001.b.1.a.1--amended by revising the phrase ``higher than 31 
GHz'' to read ``exceeding 31 GHz''.
    3A001.b.1.a.3--amended by replacing the term ``instantaneous 
bandwidth'' with ``fractional bandwidth''. The term ``fractional 
bandwidth'' more accurately reflects the appropriate control for this 
entry.
    3A001.b.2--amended by:
    (1) Adding the phrase ``having one or more active elements'' to 
further define the control of microwave integrated circuits and modules 
(3A001.b.2.a); and
    (2) Adding a new decontrol note for certain satellite broadcast 
equipment.
    3A002.b--amended by revising the phrase ``assemblies'' to read 
``electronic assemblies'', to be consistent with the Wassenaar 
Arrangement.
    3A002.c.2--amended by:
    (1) Modifying controls for dynamic signal analyzers by increasing 
the control parameter for real-time bandwidth from 25.6 kHz to 500 kHz; 
and
    (2) Moving the text of the technical note under paragraph c. 
(Constant percentage bandwidth filters are also known as octave or 
fractional octave filters) to the ``Related Definitions'' paragraph for 
the entry.
    3A991--amended by:
    (1) Adding a new parameter in paragraph (a) related to external 
interconnection for ``Microprocessor microcircuits'', ``microcomputer 
microcircuits'', and microcontroller microcircuits;
    (2) Adding a new paragraph (c) to include analog-to-digital 
converters having a resolution of 8 bit or more, but less than 12 bit, 
with a total conversion time of less than 10 ns;
    (3) Adding a new paragraph (e) to include Fast Fourier Transform 
(FFT) processors having a rated execution time for a 1,024 point 
complex FFT of less than 1 ms; and
    (4) Redesignating paragraph (c) as paragraph (d), and paragraphs 
(d) through (l) as paragraphs (f) through (n).
    3B002--amended by:
    (1) Adding to the heading the phrase ``as follows (see List of 
Items Controlled)'';
    (2) Modifying the note to 3B002.b to clarify that equipment to test 
memories are not controlled by 3B002.b; and
    (3) Revising the phrase ``assemblies'' to read ``electronic 
assemblies'' to be consistent with the Wassenaar Arrangement.
    3B991--amended by revising the phrase ``assemblies'' to read 
``electronic assemblies'' in paragraph 3B991.b.
    3B992--amended by revising the phrase ``assemblies'' to read 
``electronic assemblies'' in paragraphs 3B992.b, 3B992.b.4.b, and in 
Note 1 to 3B992.b.4.b.
    3C001--amended by:
    (1) Adding silicon carbide to the list of controlled hetero-
epitaxtial materials. Like silicon and germanium, silicon carbide is a 
Group IV material capable of producing strategic items (3C001.c); and
    (2) Adding a note to clarify that equipment or material whose 
functionality has been unalterably disabled are not controlled by 
3C001.
    3D003--amended by modifying the control language to clarify the 
intent of computer-aided-design (CAD) software controls in order to 
remove any ambiguities in interpretation whether CAD software supplied 
without design rule libraries are subject to control under 3D003. 
Exports of CAD software with or without design rule libraries are both 
subject to national security controls.
    3E001--amended by moving the Notes in the Related Controls 
paragraph to the List of Items Controlled to be consistent with the 
Wassenaar List.
    3E002 and 3E003--amended by:
    (1) Redesignating 3E002.a through 3E002.f as new ECCN 3E003;
    (2) In the new ECCN 3E003, expanding eligibility under License 
Exception TSR to include silicon-on-insulator (SOI) technology as 
described in the new 3E003.e;
    (3) Adding a Note to describe what 3E002 does not control to the 
List of Items Controlled in 3E002; and
    (4) Redesignating 3E002.g as new ECCN 3E002.

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Category 4--Computers

    4D003--amended by removing national security controls for expert 
system software as described by 4D003.b.

Category 5--Telecommunications, Part I

    5D001--amended by removing national security controls for software 
which provides the capability of recovering ``source code'' of 
telecommunications ``software'' controlled by 5D001 (5D001.c).
    5E001--amended by adding a decontrol note to 5E001.c.4.b specifying 
that this entry does not control ``technology'' for the ``development'' 
or ``production'' of equipment designed or modified for operation in 
any frequency band which is ``allocated by the ITU'' for radio-
communications services, but not for radio-determination.

Category 6--Sensors and Lasers

    6A003--amended by:
    (1) Revising the controls on instrumentation cameras specified in 
6A003.a to include specially designed components therefor and by 
revising the note to 6A003.a to replace the term ``electronic 
assemblies'' with ``plug-ins''. This change is necessary to make the 
controls for instrumental cameras more complete, as plug-in modules are 
specially designed components of controlled cameras. Complementing this 
revision to 6A003.a, a new subparagraph 6A003.a.6 has been added to 
describe the control parameters for ``plug-ins''. In addition, License 
Exception LVS has been modified to exclude the new control for 
6A003.a.6 ``plug-ins'' from eligibility; and
    (2) Adding a new technical note to 6A003.b.1 to clarify that 
digital video cameras should be evaluated by the maximum number of 
``active pixels'' used for capturing moving images.
    6A005--amended by:
    (1) Removing the phrase ``or CW'' from the control parameter for 
excimer lasers and metal vapor lasers, as described in 6A005.a.1 and 
6A005.a.2. The deletion of the term ``CW'' from these subparagraphs 
more accurately describes the technical nature of control, as both 
excimer and metal vapor lasers are not physically capable of working 
the CW mode;
    (2) Revising the control text for semiconductor lasers described by 
6A005.b. Previously in 6A005.b.2, individual multiple-transverse mode 
semiconductor lasers and individual arrays of individual semiconductor 
lasers were controlled using the same threshold. However, since the 
output power of an array of semiconductor laser is greater than that of 
an individual semiconductor lasers it should be subject to a different 
control threshold. Therefore, a new subparagraph 6A005.b.3 has been 
added describing the control threshold for individual arrays of 
individual semiconductor lasers.
    6A995--amended by correcting an abbreviation for a parameter for 
semiconductor lasers in b.1.a by revising ``MW'' to read ``mW'.
    6C002--amended by revising 6C002.b to adopt the term ``percent by 
mole fraction'' rather than the term ``percent by weight'' for the 
control of zinc in cadmium zinc telluride (CdZnTe) substrates. The 
previous control language in 6C002.b incorrectly referred to the zinc 
percentage by weight. The formula for CdZnTe is an atomic formula which 
specifies the number of atoms of each constituent. Therefore, 
specifying the zinc percentage in terms of mole fraction percentage 
correctly relates the concentration of zinc to the concentration of 
cadmium in CdZnTe. In addition, a technical note is added to paragraph 
6C002.b to define ``mole fraction''. Also, in 6C002.b text is added to 
clarify that Single crystals includes epitaxial wafers.
    6C992--amended by revising the heading to adopt the term ``percent 
by mole fraction'' rather than the term ``percent by weight'' and 
adding the definition of ``mole fraction'' to the Related Definitions 
paragraph, to conform with changes to ECCN 6C002.

Category 7--Avionics

    7A001--amended by:
    (1) Revising the entry heading to limit control of this entry to 
certain linear accelerometers, rather than a broad category of 
accelerometers; and
    (2) Adding a reference specifying that angular or rotational 
accelerometers are controlled under 7A002 in the Related Controls 
section.
    7A002--amended by:
    (1) Revising the entry heading to control certain angular or 
rotational accelerometers. Previously, accelerometers were controlled 
under 7A001; and
    (2) Adding a reference specifying that linear accelerometers are 
controlled under 7A001 to the Related Controls section.

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

    9B001--amended by:
    (1) Revising the entry heading to remove the phrase ``or 
measuring''. In 1999, the subparagraph that specifically referenced 
measuring equipment was deleted; and
    (2) Removing the corresponding reference in the entry heading.
    9E003--amended by:
    (1) Removing the control for ``overhaul'' technology for gas 
turbine engine components or systems described in 9E003.a; and
    (2) Revising the phrase ``of the following commercial aircraft 
engines, components or systems'' to read ``of any of the following gas 
turbine engine components or systems'' to more accurately describe the 
controls of paragraph a.
    Reformatting and conforming revisions to the structure of the 
entries on the CCL This final rule makes a number of reformatting 
revisions to the CCL in order to conform certain entries and 
subparagraphs to the new Wassenaar Automated Information System (WAIS). 
These conforming revisions do not affect or change the scope of 
control, but merely provide standard consistency in structure within 
the CCL. Specific revisions on the CCL include: ECCNs 2B001.b.1, 
2B001.c.1, 2B001.e, 2B001.e.1, 9E003.d and 9E003.e.
    Items placed under control by this rule will be subject to both 
national security (NS) and antiterrorism (AT) controls. 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 changes to the Wassenaar List of Dual-Use Goods and Technologies 
will continue to be controlled for antiterrorism (AT) reasons.
    This final rule also revises the reporting and recordkeeping 
provisions of the Wassenaar Arrangement in Sec. 743.1 by requiring 
reports for exports of sensitive list items made under the Special 
Comprehensive License Procedure. Conforming revisions are also made to 
the recordkeeping provisions in Sec. 752.12. Extending Wassenaar 
Arrangement reporting requirements to the Special Comprehensive 
Licensing Procedure is necessary in order for the U.S. to fulfill its 
obligations in complying with the objectives of the regime.
    This final rule also amends part 772 by adding two new definitions 
to Sec. 772.1, they are ``Allocated by the ITU'' and ``Fractional 
bandwidth.'' These definitions are added pursuant to agreements reached 
in the Wassenaar Arrangement.
    Although the Export Administration Act expired on August 20, 2001, 
the

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President, through Executive Order 13222 of August 17, 2001 (66 Fed. 
Reg. 44025 (August 22, 2001)), has continued the Export Administration 
Regulations in effect under the International Emergency Economic Powers 
Act.

Saving Clause

    Shipments of items removed from eligibility for export or reexport 
without a license, 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 February 4, 2002. In addition, this 
rule revises the numbering and structure of certain entries on the 
Commerce Control List. For items under such entries and for April 3, 
2002, BXA will accept license applications for items described either 
by the entries in effect immediately before January 3, 2002 or the 
entries described in this rule.

Rulemaking Requirements

    1. This final 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 0694-0106, ``Reporting and Recordkeeping 
Requirements under the Wassenaar Arrangement,'' which carries a burden 
hour estimate of 5 minutes to record the information for each export 
and 1 minute to submit the report twice a year to BXA; and 0694-0088, 
``Multi-Purpose Application,'' which carries a burden hour estimate of 
40 minutes to prepare and submit electronically and 45 minutes to 
submit manually on form BXA-748P. Send comments regarding these burden 
estimates or any other aspect of these collections of information, 
including suggestions for reducing the burden, to OMB Desk Officer, New 
Executive Office Building, Washington, DC 20503; and to the Regulatory 
Policy Division, Bureau of Export Administration, Department of 
Commerce, P.O. Box 273, Washington, DC 20044
    3. This rule does not contain policies with Federalism implications 
as this 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 (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 final 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 Parts 743 and 752

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

15 CFR Part 772

    Exports, Foreign trade.

15 CFR Part 774

    Exports, Foreign Trade, Reporting and recordkeeping requirements.

    Accordingly, parts 743, 752, 772 and 774 of the Export 
Administration Regulations (15 CFR parts 730 through 799) are amended 
as follows:
    1. The authority citation for part 743 is revised 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 parts 752 and 772 are revised to read 
as follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; 
E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp. p. 219; E.O. 13222, 66 FR 
44025, August 22, 2001.

    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. 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. 13222, 66 FR 44025, August 22, 2001.

PART 743--[AMENDED]

    4. Section 743.1 is amended by adding a note immediately following 
paragraph (a) and by revising paragraph (b) to read as follows:


Sec. 743.1  Wassenaar Arrangement.

    (a) * * *

    Note to paragraph (a) of this section: For purposes of part 743, 
the term ``you'' has the same meaning as the term ``exporter'', as 
defined in part 772 of the EAR.

    (b) Requirements. You must submit two (2) copies of each report 
required under the provisions of this section and maintain accurate 
supporting records (see Sec. 762.2(b) of the EAR) for all exports of 
items specified in paragraph (c) of this section for the following:
    (1) Exports authorized under License Exceptions GBS, CIV, TSR, LVS, 
CTP and GOV (see part 740 of the EAR). Note that exports of technology 
and source code under License Exception TSR to foreign nationals 
located in the U.S. should not be reported; and
    (2) Exports authorized under the Special Comprehensive License 
procedure (see part 752 of the EAR).
* * * * *

PART 752--[AMENDED]

    5. Section 752.12 is amended by redesignating paragraph (b) as 
paragraph (c) and by adding a new paragraph (b) to read as follows:


Sec. 752.12  Recordkeeping requirements.

* * * * *
    (b) SCL holder. The SCL holder is responsible for complying with 
the special reporting requirements for exports of certain commodities, 
software and technology under the Wassenaar Arrangement as described in 
Sec. 743.1 of the EAR.
* * * * *

PART 772--[AMENDED]

    6. Part 772 is amended by adding a new definition ``Allocated by 
the ITU'' and a new definition ``Fractional bandwidth'' in alphabetical 
order to Sec. 772.1, to read as follows:


Sec. 772.1  Definitions of terms as used in the Export Administration 
Regulations (EAR).

* * * * *
    ``Allocated by the ITU''. (Cat 3 and Cat 5 part 1)--The allocation 
of frequency bands according to the ITU Radio Regulations (Edition 
1998) for primary, permitted and secondary services.
    N.B. Additional and alternative allocations are not included.
* * * * *
    ``Fractional bandwidth''. (Cat 3)--The ``instantaneous bandwidth'' 
divided by

[[Page 462]]

the center frequency, expressed as a percentage.
* * * * *

PART 774--[AMENDED]

    7. 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 License Requirements section and the List of 
Items Controlled section for ECCNs 1A002 and 1C002;
    b. By revising the entry heading for ECCN 1B002; and
    c. By revising the List of Items Controlled section for ECCN 1C007, 
to read as follows:

1A002  ``Composite'' Structures or Laminates, Having Any of the 
Following (See List of Items Controlled)

License Requirements

    Reason for Control: NS, NP, AT.

------------------------------------------------------------------------
               Control(s)                          Country chart
------------------------------------------------------------------------
NS applies to entire entry..............  NS Column 2.
NP applies to 1A002.b.1 in the form of    NP Column 1.
 tubes with an inside diameter between
 75 mm and 400 mm.
1 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.
* * * * *

List of Items Controlled

    Unit: Kilograms.
    Related Controls: (1) See also 1A202, 9A010, and 9A110. (2) 
Composite structures that are specially designed for missile 
application (including specially designed subsystems and components) 
are controlled by 9A110.
    Related Definitions: N/A.
    Items: 
    a. An organic ``matrix'' and made from materials controlled by 
1C010.c, 1C010.d or 1C010.e; or

    Note: 1A002.a does not control finished or semifinished items 
specially designed for purely civilian applications as follows:

    a. Sporting goods;
    b. Automotive industry;
    c. Machine tool industry; and
    d. Medical applications.
    b. A metal or carbon ``matrix'' and made from:
    b.1. Carbon ``fibrous or filamentary materials'' with:
    b.1.a. A ``specific modulus'' exceeding 10.15 x 10\6\ m; and
    b.1.b. A ``specific tensile strength'' exceeding 17.7 x 10\4\ m; or
    b.2. Materials controlled by 1C010.c.

    Note: 1A002.b does not control finished or semifinished items 
specially designed for purely civilian applications as follows:

    a. Sporting goods;
    b. Automotive industry;
    c. Machine tool industry; and
    d. Medical applications.

    Technical Notes: (1) Specific modulus: Young's modulus in 
pascals, equivalent to 
N/m\2\ divided by specific weight in N/m\3\, measured at a 
temperature of (2962) K ((232)  deg.C) and a 
relative humidity of (505)%. (2) Specific tensile 
strength: ultimate tensile strength in pascals, equivalent to N/m\2\ 
divided by specific weight in N/m\3\, measured at a temperature of 
(2962) K ((232)  deg.C) and a relative humidity of 
(505)%.


    Note: 1A002 does not control composite structures or laminates 
made from epoxy resin impregnated carbon ``fibrous or filamentary 
materials'' for the repair of aircraft structures of laminates, 
provided that the size does not exceed one square meter (1 m\2\).

1B002  Equipment for Producing Metal Alloys, Metal Alloy Powder or 
Alloyed Materials, Specially Designed to Avoid Contamination and 
Specially Designed for Use in One of the Processes Specified in 
1C002.c.2

* * * * *

1C002  Metal Alloys, Metal Alloy Powder and Alloyed Materials, As 
Follows (See List of Items Controlled)

License Requirements

    Reason for Control: NS, NP, AT.

------------------------------------------------------------------------
               Control(s)                          Country chart
------------------------------------------------------------------------
NS applies to entire entry..............  NS Column 2.
NP applies to 1C002.b.3 or b.4 if they    NP Column 1.
 exceed the parameters stated in 1C202.
AT applies to entire entry..............  AT Column 1.
------------------------------------------------------------------------

* * * * *

List of Items Controlled

    Unit: Kilograms.
    Related Controls: See also 1C202.
    Related Definition: N/A.
    Items: 

    Note: 1C002 does not control metal alloys, metal alloy powder or 
alloyed materials for coating substrates.


    Technical Note 1: The metal alloys in 1C002 are those containing 
a higher percentage by weight of the stated metal than of any other 
element.


    Technical Note 2: Stress-rupture life should be measured in 
accordance with ASTM standard E-139 or national equivalents.


    Technical Note 3: Low cycle fatigue life should be measured in 
accordance with ASTM Standard E-606 ``Recommended Practice for 
Constant-Amplitude Low-Cycle Fatigue Testing'' or national 
equivalents. Testing should be axial with an average stress ratio 
equal to 1 and a stress-concentration factor (Kt) equal 
to 1. The average stress is defined as maximum stress minus minimum 
stress divided by maximum stress.

    a. Aluminides, as follows:
    a.1. Nickel aluminides containing a minimum of 15 weight percent 
aluminum, a maximum of 38 weight percent aluminum and at least one 
additional alloying element;
    a.2. Titanium aluminides containing 10 weight percent or more 
aluminum and at least one additional alloying element;
    b. Metal alloys, as follows, made from material controlled by 
1C002.c:
    b.1. Nickel alloys with:
    b.1.a. A stress-rupture life of 10,000 hours or longer at 923 K 
(650  deg.C) at a stress of 676 MPa; or
    b.1.b. A low cycle fatigue life of 10,000 cycles or more at 823 K 
(550  deg.C) at a maximum stress of 1,095 MPa;
    b.2. Niobium alloys with:
    b.2.a. A stress-rupture life of 10,000 hours or longer at 1,073 K 
(800  deg.C) at a stress of 400 MPa; or
    b.2.b. A low cycle fatigue life of 10,000 cycles or more at 973 K 
(700  deg.C) at a maximum stress of 700 MPa;
    b.3. Titanium alloys with:
    b.3.a. A stress-rupture life of 10,000 hours or longer at 723 K 
(450  deg.C) at a stress of 200 MPa; or
    b.3.b. A low cycle fatigue life of 10,000 cycles or more at 723 K 
(450  deg.C) at a maximum stress of 400 MPa;
    b.4 Aluminum alloys with a tensile strength of:
    b.4.a. 240 MPa or more at 473 K (200  deg.C); or
    b.4.b. 415 MPa or more at 298 K (25  deg.C);
    b.5. Magnesium alloys with:
    b.5.a. A tensile strength of 345 MPa or more; and
    b.5.b. A corrosion rate of less than 1 mm/year in 3% sodium 
chloride aqueous solution measured in accordance with ASTM standard G-
31 or national equivalents;
    c. Metal alloy powder or particulate material, having all of the 
following characteristics:
    c.1. Made from any of the following composition systems:

    Technical Note: X in the following equals one or more alloying 
elements.

    c.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine 
engine parts or components, i.e. with less than 3 non-metallic 
particles (introduced during the manufacturing process) larger than 100 
 in 10\9\ alloy particles;
    c.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si, Nb-
Ti-X or Nb-X-Ti);

[[Page 463]]

    c.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
    c.1.d. Aluminum alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn, Al-
Fe-X or Al-X-Fe); or
    c.1.e. Magnesium alloys (Mg-Al-X or Mg-X-Al); and
    c.2. Made in a controlled environment by any of the following 
processes:
    c.2.a. ``Vacuum atomization'';
    c.2.b. ``Gas atomization'';
    c.2.c. ``Rotary atomization'';
    c.2.d. ``Splat quenching'';
    c.2.e. ``Melt spinning'' and ``comminution'';
    c.2.f. ``Melt extraction'' and ``comminution''; or
    c.2.g. ``Mechanical alloying'';
    d. Alloyed materials, having all the following characteristics:
    d.1. Made from any of the composition systems specified in 
1C002.c.1;
    d.2. In the form of uncomminuted flakes, ribbons or thin rods; and 
    d.3. Produced in a controlled environment by any of the following:
    d.3.a. ``Splat quenching'';
    d.3.b. ``Melt spinning''; or
    d.3.c. ``Melt extraction''.
* * * * *

1C007  Ceramic Base Materials, Non-''Composite'' Ceramic Materials, 
Ceramic-''Matrix'' ``Composite'' Materials and Precursor Materials, 
As Follows (See List of Items Controlled)

* * * * *

List of Items Controlled

    Unit: Kilograms.
    Related Controls: See also 1C107.
    Related Definitions: N/A.
    Items: 
    a. Base materials of single or complex borides of titanium having 
total metallic impurities, excluding intentional additions, of less 
than 5,000 ppm, an average particle size equal to or less than 5 
m and no more than 10% of the particles larger than 10 
m;
    b. Non-``composite'' ceramic materials in crude or semi-fabricated 
form, composed of borides of titanium with a density of 98% or more of 
the theoretical density;

    Note: 1C007.b does not control abrasives.

    c. Ceramic-ceramic ``composite'' materials with a glass or oxide-
``matrix'' and reinforced with fibers having all the following:
    c.1 Made from any of the following materials:
    c.1.a. Si-N;
    c.1.b. Si-C;
    c.1.c. Si-Al-O-N; or
    c.1.d. Si-O-N; and
    c.2. Having a ``specific tensile strength'' exceeding 12.7 x 10\3\ 
m;
    d. Ceramic-ceramic ``composite'' materials, with or without a 
continuous metallic phase, incorporating particles, whiskers or fibers, 
where carbides or nitrides of silicon, zirconium or boron form the 
``matrix'';
    e. Precursor materials (i.e., special purpose polymeric or metallo-
organic materials) for producing any phase or phases of the materials 
controlled by 1C007.c, as follows:
    e.1. Polydiorganosilanes (for producing silicon carbide);
    e.2. Polysilazanes (for producing silicon nitride);
    e.3. Polycarbosilazanes (for producing ceramics with silicon, 
carbon and nitrogen components);
    f. Ceramic-ceramic ``composite'' materials with an oxide or glass 
``matrix'' reinforced with continuous fibers from any of the following 
systems:
    f.1. Al2O3; or
    f.2. Si-C-N.

    Note: 1C007.f does not control ``composites'' containing fibers 
from these systems with a fiber tensile strength of less than 700 
MPa at 1,273 K (1,000  deg.C) or fiber tensile creep resistance of 
more than 1% creep strain at 100 MPa load and 1,273 K (1,000  deg.C) 
for 100 hours.

* * * * *

    8. 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 the List of Items Controlled section for ECCNs 2A001 
and 2B001;
    b. By adding the entry heading and Notes for Category 2B--Test, 
Inspection and Production Equipment immediately following ECCN 2A999;
    c. By revising the entry heading for ECCN 2B008;
    d. By revising the entry heading, the License Requirements section 
and the List of Items Controlled section for ECCN 2D002; and
    e. By revising Note 17 of the Notes to ``Category 2E--Materials 
Processing Table; Deposition Techniques'', that follows ECCN 2E003, to 
read as follows:

2A001  Anti-Friction Bearings and Bearing Systems, As Follows, (See 
List of Items Controlled) and Components Therefor

* * * * *

List of Items Controlled

    Unit: $ value.
    Related Controls: (1) See also 2A991. (2) Quiet running bearings 
are subject to the export licensing authority of the Department of 
State, Office of Defense Trade Controls. (See 22 CFR part 121.)
    Related Definitions: Annular Bearing Engineers Committee (ABEC).
    Items: 

    Note: 2A001 does not control balls with tolerance specified by 
the manufacturer in accordance with ISO 3290 as grade 5 or worse.

    a. Ball bearings and solid roller bearings having tolerances 
specified by the manufacturer in accordance with ISO 492 Tolerance 
Class 4 (or ANSI/ABMA Std 20 Tolerance Class ABEC-7 or RBEC-7, or other 
national equivalents), or better, and having rings, balls or rollers 
made from monel or beryllium;

    Note: 2A001.a does not control tapered roller bearings.

    b. Other ball bearings and solid roller bearings having tolerances 
specified by the manufacturer in accordance with ISO 492 Tolerance 
Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9 or RBEC-9, or other 
national equivalents), or better;

    Note: 2A001.b does not control tapered roller bearings.

    c. Active magnetic bearing systems using any of the following:
    c.1. Materials with flux densities of 2.0 T or greater and yield 
strengths greater than 414 MPa;
    c.2. All-electromagnetic 3D homopolar bias designs for actuators; 
or
    c.3. High temperature (450 K (177 deg.C) and above) position 
sensors.

B. Test, Inspection and Production Equipment

    Technical Notes for 2B001 to 2B009:
    1. Secondary parallel contouring axes, (e.g., the w-axis on 
horizontal boring mills or a secondary rotary axis the center line of 
which is parallel to the primary rotary axis) are not counted in the 
total number of contouring axes. Rotary axes need not rotate over 360o. 
A rotary axis can be driven by a linear device (e.g., a screw or a 
rack-and-pinion).
    2. The number of axes which can be co-ordinated simultaneously for 
``contouring control'' is the number of axes which affect relative 
movement between any one workpiece and a tool, cutting head or grinding 
wheel which is cutting or removing material from the workpiece. This 
does not include any additional axes which affect other relative 
movement within the machine. Such axes include:
    2.a. Wheel-dressing systems in grinding machines;
    2.b. Parallel rotary axes designed for mounting of separate 
workpieces;
    2.c. Co-linear rotary axes designed for manipulating the same 
workpiece by holding it in a chuck from different ends.
    3. Axis nomenclature shall be in accordance with International 
Standard

[[Page 464]]

ISO 841, ``Numerical Control Machines--Axis and Motion Nomenclature''.
    4. A''tilting spindle'' is counted as a rotary axis.
    5. Guaranteed ``positioning accuracy'' levels instead of individual 
test protocols may be used for each machine tool model using the agreed 
ISO test procedure.
    6. The positioning accuracy of ``numerically controlled'' machine 
tools is to be determined and presented in accordance with ISO 230/2 
(1988).

2B001  Machine Tools 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''

* * * * *

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: 

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


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

    a. Crank shafts or cam shafts;
    b. Tools or cutters;
    c. Extruder worms;
    d. Engraved or facetted jewellery parts.
    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. Having all of the following:
    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'';
    b.3. A positioning accuracy for jig boring machines, with ``all 
compensations available'', of less (better) than 4 m along any 
linear axis; or
    b.4. Fly cutting machines, having all of the following 
characteristics: b.4.a. Spindle ``run-out'' and ``camming'' less 
(better) than 0.0004 mm TIR; and 
    b.4.b. Angular deviation of slide movement (yaw, pitch and roll) 
less (better) than 2 seconds of arc, TIR, over 300 mm of travel.
    c. Machine tools for grinding, having any of the following 
characteristics:
    c.1. Having all of the following:
    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:
    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'' 
having all of the following characteristics:
    e.1. Removing material by means of any of the following:
    e.1.a. Water or other liquid jets, including those employing 
abrasive additives;
    e.1.b. Electron beam; or
    e.1.c. ``Laser'' beam; and
    e.2. 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.

2B008  Assemblies or Units, Specially Designed for Machine Tools, 
or Dimensional Inspection or Measuring Systems and Equipment, as 
Follows (See List of Items Controlled)

* * * * *

2D002  ``Software'' for Electronic Devices, Even When Residing in 
an Electronic Device or System, Enabling Such Devices or Systems to 
Function as a ``Numerical Control'' Unit, Capable of Coordinating 
Simultaneously More Than 4 Axes for ``Contouring Control''

License Requirements

    Reason for Control: NS, NP, AT.

 
------------------------------------------------------------------------
               Control(s)                          Country chart
------------------------------------------------------------------------
NS applies to entire entry..............  NS Column 1.
NP applies to entire entry..............  NP Column 1.
AT applies to entire entry..............  AT Column 1.
------------------------------------------------------------------------

* * * * *

List of Items Controlled

    Unit: $ value.
    Related Controls: See also 2D202.
    Related Definitions: N/A.
    Items:

    Note: 2D002 does not control ``software'' specially designed or 
modified for the operation of machine tools not controlled by 
Category 2.

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

Category 2E--Materials Processing Table; Deposition Techniques

* * * * *
Notes to Table on Deposition Techniques
* * * * *
    17. ``Technology'' specially designed to deposit diamond-like 
carbon on any of the following is not controlled: magnetic disk drives 
and heads, equipment for the manufacture of disposables valves for 
faucets, acoustic diaphragms for speakers, engine parts for 
automobiles, cutting tools, punching-pressing dies, office automation 
equipment, microphones or medical devices.
* * * * *

[[Page 465]]


    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, 3B991, 3B992, 3C001, and 3E001;
    b. By revising the entry heading and the List of Items Controlled 
section for ECCNs 3B002 and 3D003;
    c. By revising the entire entry for ECCN 3E002; and
    d. By adding a new entry for ECCN 3E003, 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. ``Microprocessor microcircuits'', ``microcomputer 
microcircuits'', microcontroller microcircuits, storage integrated 
circuits manufactured from a compound semiconductor, analog-to-digital 
converters, digital-to-analog converters, electro-optical or ``optical 
integrated circuits'' designed for ``signal processing'', field 
programmable logic devices, neural network integrated circuits, custom 
integrated circuits for which either the function is unknown or the 
control status of the equipment in which the integrated circuit will be 
used in unknown, Fast Fourier Transform (FFT) processors, electrical 
erasable programmable read-only memories (EEPROMs), flash memories or 
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);
    a.2.b. Rated for operation at an ambient temperature below 218 K 
(-55  deg.C); or
    a.2.c. Rated for operation over the entire ambient temperature 
range from 218 K (-55  deg.C) to 398 K (125  deg.C);

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

    a.3. ``Microprocessor microcircuits'', ``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 6,500 
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 that provides a direct external interconnection 
between parallel ``microprocessor microcircuits'' with a transfer rate 
exceeding 150 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 of less than 5 ns;
    a.5.a.2. A resolution of 12 bit with a total conversion time of 
less than 200 ns; or
    a.5.a.3. A resolution of more than 12 bit with a total conversion 
time 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;

    Technical Note:
    1. A resolution of n bit corresponds to a quantization of 2\n\ 
levels.
    2. Total conversion time is the inverse of the sample rate.

    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 logic devices having any of the following:
    a.7.a. An equivalent usable gate count of more than 30,000 (2 input 
gates);
    a.7.b. A typical ``basic gate propagation delay time'' of less than 
0.4 ns; or
    a.7.c. A toggle frequency exceeding 133 MHz;

    Note: 3A001.a.7 includes: Simple Programmable Logic Devices 
(SPLDs), Complex Programmable Logic Devices (CPLDs), Field 
Programmable Gate Arrays (FPGAs), Field Programmable Logic Arrays 
(FPLAs), and Field Programmable Interconnects (FPICs).

    N.B.: Field programmable logic devices are also known as field 
programmable gate or field programmable logic arrays.
    a.8. Reserved.
    a.9. Neural network integrated circuits;
    a.10. Custom integrated circuits for which the function is unknown, 
or the control status of the equipment in which the integrated circuits 
will be used is unknown to the manufacturer, having any of the 
following:
    a.10.a. More than 1,000 terminals;
    a.10.b. A typical ``basic gate propagation delay time'' of less 
than 0.1 ns; or
    a.10.c. An operating frequency exceeding 3 GHz;
    a.11. Digital integrated circuits, other than those described in 
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound 
semiconductor and having any of the following:
    a.11.a. An equivalent gate count of more than 3,000 (2 input 
gates); or
    a.11.b. A toggle frequency exceeding 1.2 GHz;
    a.12. Fast Fourier Transform (FFT) processors having a rated 
execution time for an N-point complex FFT of less than (N 
log2 N)/20,480 ms, where N is the number of points;

    Technical Note: When N is equal to 1,024 points, the formula in 
3A001.a.12 gives an execution time of 500 s.

    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 for 
operation in any frequency band which meets all of the following 
characteristics:

    (a) Does not exceed 31 GHz; and
    (b) Is ``allocated by the ITU'' for radio-communications services, 
but not for radio-determination.
    b.1.a. Traveling wave tubes, pulsed or continuous wave, as follows:
    b.1.a.1. Operating at frequencies exceeding 31 GHz;

[[Page 466]]

    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 a 
``fractional 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 producing 
a continuous emission current density at rated operating conditions 
exceeding 5 A/cm2;
    b.2. Microwave integrated circuits or modules having all of the 
following:
    b.2.a. Containing ``monolithic integrated circuits'' having one or 
more active circuit elements; and
    b.2.b. Operating at frequencies above 3 GHz;

    Note 1: 3A001.b.2 does not control circuits or modules for 
equipment designed or rated to operate in any frequency band which 
meets all of the following characteristics: (a.) Does not exceed 31 
GHz; and (b.) Is ``allocated by the ITU'' for radio-communications 
services, but not for radio-determination.


    Note 2: 3A001.b.2 does not control broadcast satellite equipment 
designed or rated to operate in the frequency range of 40.5 to 42.5 
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 cm3;

    Note: 3A001.b.8 does not control equipment designed or rated for 
operation in any frequency band which is ``allocated by the ITU'' 
for radio-communications services, but not for radio-determination.

    c. Acoustic wave devices, as follows, and specially designed 
components therefor:
    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 bandwith 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. Current switching for digital circuits using 
``superconductive'' gates with a product of delay time per gate (in 
seconds) and power dissipation per gate (in watts) of less than 
10-14 J; or
    d.2. Frequency selection at all frequencies using resonant circuits 
with Q-values exceeding 10,000;
    e. High energy devices, as follows:
    e.1. 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/m\2\ at an operating 
temperature of 301 K (28  deg.C) under a tungsten illumination of 1 kW/
m\2\ at 2,800 K (2,527  deg.C);
    e.2. High energy storage capacitors, as follows:
    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

[[Page 467]]

designed to be fully charged or discharged in less than one second, 
having all of the following:

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

    e.3.a. Energy delivered during the discharge exceeding 10 kJ in the 
first second;
    e.3.b. Inner diameter of the current carrying windings of more than 
250 mm; and
    e.3.c. Rated for a magnetic induction of more than 8 T or ``overall 
current density'' in the winding of more than 300 A/mm\2\;
    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 3A292 and 3A992.
    Related Definitions: Constant percentage bandwidth filters are also 
known as octave or fractional octave filters.
    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 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 3A292.
    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'', ``electronic 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 500 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).

    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 any of the 
following:
    a.1. A clock frequency rate exceeding 25 MHz; or
    a.2. More than one date or instruction bus or serial communication 
port that provides a direct external interconnection between parallel 
``microprocessor microcircuits'' with a transfer rate of 2.5 Mbyte/s.
    b. Storage integrated circuits, as follows:
    b.1. Electrical erasable programmable read-only memories (EEPROMs) 
with a storage capacity;
    b.1.a. Exceeding 16 Mbits per package for flash memory types; or
    b.1.b. Exceeding either of the following limits for all other 
EEPROM types:
    b.1.b.1. Exceeding 1 Mbit per package; or
    b.1.b.2. Exceeding 256 kbit per package and a maximum access time 
of less than 80 ns;
    b.2. Static random access memories (SRAMs) with a storage capacity:
    b.2.a. Exceeding 1 Mbit per package; or
    b.2.b. Exceeding 256 kbit per package and a maximum access time of 
less than 25 ns;
    c. Analog-to-digital converters having a resolution of 8 bit or 
more, but less

[[Page 468]]

than 12 bit, with a total conversion time of less than 10 ns;
    d. Field programmable logic devices having either of the following:
    d.1. An equivalent gate count of more than 5000 (2 input gates); or
    d.2. A toggle frequency exceeding 100 MHz;
    e. Fast Fourier Transform (FFT) processors having a rated execution 
time for a 1,024 point complex FFT of less than 1 ms.
    f. Custom integrated circuits for which either the function is 
unknown, or the control status of the equipment in which the integrated 
circuits will be used is unknown to the manufacturer, having any of the 
following:
    f.1. More than 144 terminals; or
    f.2. A typical ``basic propagation delay time'' of less than 0.4 
ns.
    g. Travelling wave tubes, pulsed or continuous wave, as follows:
    g.1. Coupled cavity tubes, or derivatives thereof;
    g.2. Helix tubes, or derivatives thereof, with any of the 
following:
    g.2.a. An ``instantaneous bandwidth'' of half an octave or more; 
and
    g.2.b. The product of the rated average output power (expressed in 
kW) and the maximum operating frequency (expressed in GHz) of more than 
0.2;
    g.2.c. An ``instantaneous bandwidth'' of less than half an octave; 
and
    g.2.d. The product of the rated average output power (expressed in 
kW) and the maximum operating frequency (expressed in GHz) of more than 
0.4;
    h. Flexible waveguides designed for use at frequencies exceeding 40 
GHz;
    i. Surface acoustic wave and surface skimming (shallow bulk) 
acoustic wave devices (i.e., ``signal processing'' devices employing 
elastic waves in materials), having either of the following:
    i.1. A carrier frequency exceeding 1 GHz; or
    i.2. A carrier frequency of 1 GHz or less; and
    i.2.a. A frequency side-lobe rejection exceeding 55 Db;
    i.2.b. A product of the maximum delay time and bandwidth (time in 
microseconds and bandwidth in MHz) of more than 100; or
    i.2.c. A dispersive delay of more than 10 microseconds.
    j. Batteries, as follows:

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

    j.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);
    j.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.

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

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

    k.1. Maximum energy delivered during the discharge divided by the 
duration of the discharge of more than 500 kJ per minute;
    k.2. Inner diameter of the current carrying windings of more than 
250 mm; and
    k.3. Rated for a magnetic induction of more than 8T or ``overall 
current density'' in the winding of more than 300 A/mm\2\.
    l. Circuits or systems for electromagnetic energy storage, 
containing components manufactured from ``superconductive'' materials 
specially designed for operation at temperatures below the ``critical 
temperature'' of at least one of their ``superconductive'' 
constituents, having all of the following:
    l.1. Resonant operating frequencies exceeding 1 MHz;
    l.2. A stored energy density of 1 MJ/M\3\ or more; and
    l.3. A discharge time of less than 1 ms;
    m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal 
construction and rate for a peak current of 500 A or more;
    n. Digital integrated circuits based on any compound semiconductor 
having an equivalent gate count of more than 300 (2 input gates).

3B002  ``Stored Program Controlled'' Test Equipment, Specially 
Designed for Testing Finished or Unfinished Semiconductor Devices, 
As Follows (See List of Items Controlled), and Specially Designed 
Components and Accessories Therefor

* * * * *

List of Items Controlled

    Unit: Number.
    Related Controls: See also 3B992.
    Related Definitions: N/A.
    Items:
    a. For testing S-parameters of transistor devices at frequencies 
exceeding 31 GHz;
    b. For testing integrated circuits capable of performing functional 
(truth table) testing at a pattern rate of more than 333 MHz;

    Note: 3B002.b does not control test equipment specially designed 
for testing:

    1. ``Electronic assemblies'' or a class of ``electronic 
assemblies'' for home or entertainment applications;
    2. Uncontrolled electronic components, ``electronic assemblies'' or 
integrated circuits;
    3. Memories.

    Technical Note:  For purposes of 3B002.b, pattern rate is 
defined as the maximum frequency of digital operation of a tester. 
It is therefore equivalent to the highest data rate that a tester 
can provide in non-multiplexed mode. It is also referred to as test 
speed, maximum digital frequency or maximum digital speed.

    c. For testing microwave integrated circuits controlled by 
3A001.b.2.
* * * * *

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 ``electronic 
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, 
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;

[[Page 469]]

    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 m2 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  
105 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%; or
    b.1.d.2. Rotation of individual wafers during processing;
    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 
105 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
    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

[[Page 470]]

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; or
    b.2.f.4. A light source wavelength shorter than 400 nm;
    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 m3 and filter materials therefor.

3B992  Equipment Not Controlled by 3B002 for the Inspection or 
Testing 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 inspection or testing of 
electron tubes, optical elements and specially designed components 
therefor controlled by 3A001 or 3A991;
    b. Equipment specially designed for the inspection or testing of 
semiconductor devices, integrated circuits and ``electronic 
assemblies'', as follows, and systems incorporating or having the 
characteristics of such equipment:

    Note: 3B992.b also controls equipment used or modified for use 
in the inspection or testing of other devices, such as imaging 
devices, electro-optical devices, acoustic-wave devices.

    b.1. ``Stored program controlled'' inspection equipment for the 
automatic detection of defects, errors or contaminants of 0.6 
micrometer or less in or on processed wafers, ``substrates'', other 
than printed circuit boards or chips, using optical image acquisition 
techniques for pattern comparison;

    Note: 3B992.b.1 does not control general purpose scanning 
electron microscopes, except when specially designed and 
instrumented for automatic pattern inspection.

    b.2. Specially designed ``stored program controlled'' measuring and 
analysis equipment, as follows:
    b.2.a. Specially designed for the measurement of oxygen or carbon 
content in semiconductor materials;
    b.2.b. Equipment for line width measurement with a resolution of 1 
micrometer or finer;
    b.2.c. Specially designed flatness measurement instruments capable 
of measuring deviations from flatness of 10 micrometer or less with a 
resolution of 1 micrometer or finer.
    b.3. ``Stored program controlled'' wafer probing equipment having 
any of the following characteristics:
    b.3.a. Positioning accuracy finer than 3.5 micrometer;
    b.3.b. Capable of testing devices having more than 68 terminals; or
    b.3.c. Capable of testing at a frequency exceeding 1 GHz;
    b.4. Test equipment as follows:
    b.4.a. ``Stored program controlled'' equipment specially designed 
for testing discrete semiconductor devices and unencapsulated dice, 
capable of testing at frequencies exceeding 18 GHz;

    Technical Note: Discrete semiconductor devices include 
photocells and solar cells.

    b.4.b. ``Stored program controlled'' equipment specially designed 
for testing integrated circuits and ``electronic assemblies'' thereof, 
capable of functional testing:
    b.4.b.1. At a pattern rate exceeding 20 MHz; or
    b.4.b.2. At a pattern rate exceeding 10 MHz but not exceeding 20 
MHz and capable of testing packages of more than 68 terminals;

    Note: 3B992.b.4.b does not control equipment specially designed 
for testing integrated circuits not controlled by 3A001 or 3A991.


    Notes: 1. 3B992.b.4.b does not control test equipment specially 
designed for testing ``assemblies'' or a class of ``electronic 
assemblies'' for home and entertainment applications.
    2. 3B992.b.4.b does not control test equipment specially 
designed for testing electronic components, ``assemblies'' and 
integrated circuits not controlled by 3A001 or 3A991 provided such 
test equipment does not incorporate computing facilities with ``user 
accessible programmability''.

    b.4.c. Equipment specially designed for determining the performance 
of focal-plane arrays at wavelengths of more than 1,200 nm, using 
``stored program controlled'' measurements or computer aided evaluation 
and having any of the following characteristics:
    b.4.c.1. Using scanning light spot diameters of less than 0.12 mm;
    b.4.c.2. Designed for measuring photosensitive performance 
parameters and for evaluating frequency response, modulation transfer 
function, uniformity of responsivity or noise; or
    b.4.c.3. Designed for evaluating arrays capable of creating images 
with more than 32 x 32 line elements;
    b.5. Electron beam test systems designed for operation at 3 keV or 
below, or ``laser'' beam systems, for non-

[[Page 471]]

contactive probing of powered-up semiconductor devices having any of 
the following:
    b.5.a. Stroboscopic capability with either beam blanking or 
detector strobing;
    b.5.b. An electron spectrometer for voltage measurements with a 
resolution of less than 0.5 V; or
    b.5.c. Electrical tests fixtures for performance analysis of 
integrated circuits;

    Note: 3B992.b.5 does not control scanning electron microscopes, 
except when specially designed and instrumented for non-contactive 
probing of a powered-up semiconductor device.

    b.6. ``Stored program controlled'' multifunctional focused ion beam 
systems specially designed for manufacturing, repairing, physical 
layout analysis and testing of masks or semiconductor devices and 
having either of the following characteristics:
    b.6.a. Target-to-beam position feedback control precision of 1 
micrometer or finer; or
    b.6.b. Digital-to-analog conversion accuracy exceeding 12 bit;
    b.7. Particle measuring systems employing ``lasers'' designed for 
measuring particle size and concentration in air having both of the 
following characteristics:
    b.7.a. Capable of measuring particle sizes of 0.2 micrometer or 
less at a flow rate of 0.02832 m3 per minute or more; and
    b.7.b. Capable of characterizing Class 10 clean air or better.

3C001  Hetero-Epitaxial Materials Consisting of a ``Substrate'' 
Having Stacked Epitaxially Grown Multiple Layers of Any of the 
Following (See List of Items Controlled)

* * * * *

List of Items Controlled

    Unit: $ value.
    Related Controls: This entry does not control equipment or material 
whose functionality has been unalterably disabled are not controlled.
    Related Definitions: III/V compounds are polycrystalline or binary 
or complex monocrystalline products consisting of elements of groups 
IIIA and VA of Mendeleyev's periodic classification table (e.g., 
gallium arsenide, gallium-aluminium arsenide, indium phosphide).
    Items:
    a. Silicon;
    b. Germanium;
    c. Silicon Carbide; or
    d. III/V compounds of gallium or indium.

3D003  Computer-Aided-Design (CAD) ``Software'', Having all of the 
Following (See List of Items Controlled)

* * * * *

List of Items Controlled

    Unit: $ value.
    Related Controls: 3D003 does not control ``software'' specially 
designed for schematic entry, logic simulation, placing and routing, 
layout verification or pattern generation tape.
    Related Definitions: (1.) Libraries, design attributes or 
associated data for the design of semiconductor devices or integrated 
circuits are considered as ``technology''. (2.) A lithographic 
processing simulator is a ``software'' package used in the design phase 
to define the sequence of lithographic, etching and deposition steps 
for translating masking patterns into specific topographical patterns 
in conductors, dielectrics or semiconductor material.
    Items:
    a. Designed for the ``development'' of semiconductor devices or 
integrated circuits; and
    b. Designed to perform or use any of the following:
    b.1. Design rules or circuit verification rules;
    b.2. Simulation of the physically laid out circuits; or
    b.3. Lithographic processing simulators for design.

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: See also 3E101 and 3E201.
    Related Definition: N/A.
    Items:
    The list of items controlled is contained in the ECCN heading.

    Note: 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:
    (b.1) Using ``technology'' of 0.7 micrometer or more; and
    (b.2) Not incorporating multi-layer structures.


    Technical Note: The term multi-layer structures in Note b.2 does 
not include devices incorporating a maximum of two metal layers and 
two polysilicon layers.

3E002  ``Technology'' According to the General Technology Note 
Other Than That Controlled in 3E001 for the ``Development'' or 
``Production'' of ``Microprocessor Microcircuits'', ``Micro-
Computer Microcircuits'' and Microcontroller Microcircuits Having a 
``Composite Theoretical Performance'' (``CTP'') of 530 Million 
Theoretical Operations Per Second (MTOPS) or More and an Arithmetic 
Logic Unit With an Access Width of 32 Bits or More

License Requirements

    Reason for Control: NS, AT.

------------------------------------------------------------------------
               Control(s)                          Country chart
------------------------------------------------------------------------
NS applies to entire entry..............  NS Column 1.
AT applies to entire entry..............  AT Column 1.
------------------------------------------------------------------------

License Exceptions

    CIV: N/A.
    TSR: Yes.

List of Items Controlled

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

    Note: 3E002 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:
    (b.1) Using ``technology'' of 0.7 micrometer or more; and
    (b.2) Not incorporating multi-layer structures.


    Technical Note: The term multi-layer structures in Note b.2 does 
not include devices incorporating a maximum of two metal layers and 
two polysilicon layers.

3E003  Other ``Technology'' for the ``Development'' or 
``Production'' of Items Described in the List of Items Controlled

License Requirements

    Reason for Control: NS, AT.

------------------------------------------------------------------------
               Control(s)                          Country chart
------------------------------------------------------------------------
NS applies to entire entry..............  NS Column 1.
AT applies to entire entry..............  AT Column 1.
------------------------------------------------------------------------

License Exceptions

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

List of Items Controlled

    Unit: N/A.
    Related Controls: See 3E001 for silicon-on-insulation (SOI) 
technology for the ``development'' or ``production''

[[Page 472]]

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, Export Control Classification Number (ECCN) 
4D003 is amended by revising the List of Items Controlled Section, to 
read as follows:

4D003  Specific ``Software'', As Follows (See List of Items 
Controlled)

* * * * *

List of Items Controlled

    Unit: $ value.
    Related Controls: N/A.
    Related Definitions: N/A.
    Items:
    a. Operating system ``software'', ``software'' development tools 
and compilers specially designed for ``multi-data-stream processing'' 
equipment, in ``source code'';
    b. [Reserved]
    c. ``Software'' having characteristics or performing functions 
exceeding the limits in Category 5, Part 2 (``Information Security'');
    d. Operating systems specially designed for ``real time 
processing'' equipment that guarantees a ``global interrupt latency 
time'' of less than 20 s.

    11. 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 List of Items Controlled 
section for Export Control Classification Numbers (ECCNs) 5D001 and 
5E001, to read as follows:

5D001  ``Software'', As Described in the List of Items Controlled

* * * * *

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. [Reserved];
    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; or
    d.2.b. Employing analog techniques and having a bandwidth exceeding 
2.5 GHz;

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

    d.3. Equipment employing ``optical switching''; or
    d.4. Radio equipment employing quadrature-amplitude-modulation 
(QAM) techniques above level 128;

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

* * * * *

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, 
5B001 or 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'' 
techniques, including ``frequency hopping'' techniques.
    c. ``Technology'' according to the General Technology Note for the 
``development'' or ``production'' 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 analog techniques and having a bandwidth exceeding 
2.5 GHz;

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

    c.3. Equipment employing ``optical switching'';
    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 control ``technology'' for the 
``development'' or ``production'' of equipment designed or modified 
for operation in any frequency band which is ``allocated by the 
ITU'' for radio-communications services, but not for radio-
determination.

    c.5. Equipment employing ``common channel signalling'' operating in 
either non-associated or quasi-associated mode of operation.

    12. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category

[[Page 473]]

6--Sensors, the following Export Control Classification Numbers (ECCNs) 
are amended:
    a. By revising the License Exception and List of Items Controlled 
sections for ECCNs 6A003 and 6A005;
    b. By revising the List of Items Controlled section for ECCNs 6A995 
and 6C002; and
    c. By revising the Heading and the List of Items Controlled section 
for ECCN 6C992, to read as follows:

6A003  Cameras

* * * * *

License Exceptions

    LVS: $1500, except N/A for 6A003.a.2 through a.6, b.1, b.3 and b.4.
    GBS: Yes for 6A003.a.1.
    CIV: Yes for 6A003.a.1.

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 and specially designed components 
therefor, as follows:

    Note: Instrumentation cameras, controlled by 6A003.a.3 to 
6A003.a.5, with modular structures should be evaluated by their 
maximum capability, using plug-ins available according to the camera 
manufacturer's specifications.

    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.
    a.6. Plug-ins, having all of the following characteristics:
    a.6.a. Specially designed for instrumentation cameras which have 
modular structures and that are controlled by 6A003.a; and
    a.6.b. Enabling these cameras to meet the characteristics specified 
in 6A003.a.3, 6A003.a.4 or 6A003.a.5, according to the manufacturer's 
specifications.
    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 106 ``active pixels'' per solid state array 
for monochrome (black and white) cameras;
    b.1.b. More than 4 x 106 ``active pixels'' per solid state array 
for color cameras incorporating three solid state arrays; or
    b.1.c. More than 12 x 106 ``active pixels'' for solid state array 
color cameras incorporating one solid state array;

    Technical Note: For the purposes of this entry, digital video 
cameras should be evaluated by the maximum number of ``active 
pixels'' used for capturing moving images.

    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
    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 within 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)

* * * * *

License Exceptions

    LVS: N/A for NP items. $3000 for all other items.
    GBS: Yes, for 6A005.d (except d.2.c), CO2 or CO/
CO2 ``lasers'' having an output wavelength in the range from 
9,000 to 11,000 nm and having a pulsed output not exceeding 2 J per 
pulse and a maximum rated average single or multimode output power not 
exceeding 5 kW; CO ``lasers'' having a CW maximum rated single or 
multimode output power not exceeding 10 kW; CO2 ``lasers'' 
controlled by 6A005.a.4 that operate in CW multiple-transverse mode; 
and having a CW output power not exceeding 15 kW; Neodymium-doped 
(other than glass), pulse-excited, ``Q-switched lasers'' controlled by 
6A005.c.2.b.2.b having a pulse duration equal to or more than 1 ns; and 
a multiple-transverse mode output with a ``peak power'' not exceeding 
400 MW; Neodymium-doped (other than glass) ``lasers'' controlled by 
6A005.c.2.b.3.b or 6A005.c.2.b.4.b that have an output wavelength 
exceeding 1,000 nm, but not exceeding 1,100 nm; and an average or CW 
output power not exceeding 2 kW; and operate in a pulse-excited, non-
``Q-switched'' multiple-transverse mode; or in a continuously excited, 
multiple-transverse mode; and 6A005.f.1.
    CIV: Yes, for 6A005.d (except d.2.c), CO2 or CO/
CO2 ``lasers'' having an output wavelength in the range from 
9,000 to 11,000 nm and having a pulsed output not exceeding 2 J per 
pulse and a maximum rated average single or multimode output power not 
exceeding 5 kW; CO ``lasers'' having a CW maximum rated single or 
multimode output power not exceeding 10 kW; CO2 ``lasers'' 
controlled by 6A005.a.4 that operate in CW multiple-transverse mode; 
and having a CW output power not exceeding 15 kW; Neodymium-doped 
(other than glass), pulse-excited, ``Q-switched lasers'' controlled by 
6A005.c.2.b.2.b having a pulse duration equal to or more than 1 ns; and 
a multiple-transverse mode output with a ``peak power'' not exceeding 
400 MW; Neodymium-doped (other than glass) ``lasers'' controlled by 
6A005.c.2.b.3.b or 6A005.c.2.b.4.b that have an output wavelength 
exceeding 1,000 nm, but not exceeding 1,100 nm; and an average or CW 
output power not exceeding 2 kW; and operate in a pulse-excited, non-
``Q-switched'' multiple-transverse mode; or in a continuously excited, 
multiple-transverse mode; and 6A005.f.1.

[[Page 474]]

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.) 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 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 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 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 output power exceeding 30 W;
    N.B. For excimer ``lasers'' specially designed for lithography 
equipment, see 3B001.
    a.2. Metal vapor ``lasers'', as follows:
    a.2.a. Copper (Cu) ``lasers'' having an average output power 
exceeding 20 W;
    a.2.b. Gold (Au) ``lasers'' having an average 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 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'', as follows:
    b.1. Individual single-transverse mode semiconductor ``lasers'' 
having all of the following:
    b.1.a. A wavelength of less than 950 nm or more than 2000 nm; and
    b.1.b. An average or CW output power exceeding 100 mW;
    b.2. Individual, multiple-transverse mode semiconductor ``lasers'', 
having all of the following:
    b.2.a. A wavelength of less than 950 nm or more than 2000 nm; and
    b.2.b. An average or CW output power exceeding 10 W.
    b.3. Individual arrays of individual semiconductor ``lasers'', 
having any of the following:
    b.3.a. A wavelength of less than 950 nm and an average or CW output 
power exceeding 60 W; or
    b.3.b. A wavelength equal to or greater than 2000 nm and 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), 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;

[[Page 475]]

    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:
    N.B. For shared aperture optical elements, capable of operating in 
``Super-High Power Laser'' (``SHPL'') applications, see the U.S. 
Munitions List (22 CFR part 121).
    f.1. Dynamic wavefront (phase) measuring equipment capable of 
mapping at least 50 positions on a beam wavefront having any 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

[[Page 476]]

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.

6A995  ``Lasers'', Not Controlled by 6A005 or 6A205

* * * * *

List of Items Controlled

    Unit: Equipment in number; parts and accessories in $ value.
    Related Controls: N/A.
    Related Definitions: N/A.
    Items:
    a. Carbon dioxide (CO2) ``lasers'' having any of the 
following:
    a.1. A CW output power exceeding 10 kW;
    a.2. A pulsed output with a ``pulse duration'' exceeding 10 
microseconds; and
    a.2.a. An average output power exceeding 10 kW; or
    a.2.b. A pulsed ``peak power'' exceeding 100 kW; or
    a.3. A pulsed output with a ``pulse duration'' equal to or less 
than 10 microseconds; and
    a.3.a. A pulse energy exceeding 5 J per pulse and ``peak power'' 
exceeding 2.5 kW; or
    a.3.b. An average output power exceeding 2.5 kW;
    b. Semiconductor lasers, as follows:
    b.1. Individual, single-transverse mode semiconductor ``lasers'' 
having:
    b.1.a. An average output power exceeding 100 mW; or
    b.1.b. A wavelength exceeding 1,050 nm;
    b.2. Individual, multiple-transverse mode semiconductor ``lasers'', 
or arrays of individual semiconductor ``lasers'', having a wavelength 
exceeding 1,050 nm;
    c. Solid state, non-``tunable'' ``lasers'', as follows:
    c.1. Ruby ``lasers'' having an output energy exceeding 20 J per 
pulse;
    c.2. Neodymium-doped (other than glass) ``lasers'', as follows, 
with an output wavelength exceeding 1,000 nm but not exceeding 1,100 
nm:
    c.2.a. Pulse-excited, ``Q-switched lasers'', with a pulse duration 
equal to or more than 1 ns, and a multiple-transverse mode output with 
any of the following:
    c.2.a.1. A ``peak power'' exceeding 200 MW; or
    c.2.a.2. An average output power exceeding 50 W;
    c.2.b. Pulse-excited, non-``Q-switched lasers'', having a multiple-
transverse mode output with an average power exceeding 500 W; or
    c.2.c. Continuously excited ``lasers'' having a multiple-transverse 
mode output with an average or CW output power exceeding 500 W;
    d. Free electron ``lasers''.

C. Materials

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 (including epitaxial wafers) of any of the 
following:
    b.1. Cadmium zinc telluride (CdZnTe), with zinc content less than 
6% by mole fraction;
    b.2. Cadmium telluride (CdTe) of any purity level; or
    b.3. Mercury cadmium telluride (HgCdTe) of any purity level.

    Technical Note: Mole fraction is defined as the ratio of moles 
of ZnTe to the sum of the moles of CdTe and ZnTe present in the 
crystal.

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 
Mole Fraction

* * * * *

List of Items Controlled

    Unit: Equipment in number; parts and accessories in $ value.
    Related Controls: N/A.
    Related Definitions: Mole fraction is defined as the ratio of moles 
of ZnTe to the sum of the moles of CdTe and ZnTe present in the 
crystal.
    Items:
    The list of items controlled is contained in the ECCN heading.

    13. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 7--Navigation and Avionics, is amended by revising the entry 
heading and the List of Items Controlled section for ECCNs 7A001 and 
7A002, to read as follows:

7A001  Linear Accelerometers Designed for Use in Inertial 
Navigation or Guidance Systems and 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 7A101 and 7A994. For angular or 
rotational accelerometers, see 7A002. MT controls do not apply to 
accelerometers that are specially designed and developed as Measurement 
While Drilling (MWD) sensors for use in downhole well service 
applications.
    Related Definitions: N/A.
    Items:
    a. A ``bias'' ``stability'' of less (better) than 130 micro g with 
respect to a fixed calibration value over a period of one year;
    b. A ``scale factor'' ``stability'' of less (better) than 130 ppm 
with respect to a fixed calibration value over a period of one year; or
    c. Specified to function at linear acceleration levels exceeding 
100 g.

7A002  Gyros, and Angular or Rotational Accelerometers, 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 7A102 and 7A994. For linear 
accelerometers, see 7A001.
    Related Definitions: N/A.
    Items:
    a. A ``drift rate'' ``stability'', when measured in a 1 g 
environment over a period of three months and with respect to a fixed 
calibration value, of:
    a.1. Less (better) than 0.1 deg. per hour when specified to 
function at linear acceleration levels below 10 g; or
    a.2. Less (better) than 0.5 deg. per hour when specified to 
function at linear acceleration levels from 10 g to 100 g inclusive; or
    b. Specified to function at linear acceleration levels exceeding 
100 g.

    14. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 9--Propulsion Systems, Space Vehicles and Related Equipment, 
the following Export Control Classification numbers (ECCNs) are 
amended:
    a. By revising the entry heading for ECCN 9B001; and
    b. By revising the License Requirement section and the List of 
Items Controlled section for ECCN 9E003, to read as follows:

9B001  Specially Designed Equipment, Tooling and Fixtures, As 
Follows (See List of Items Controlled), for Manufacturing Gas 
Turbine Blades, Vanes or Tip Shroud Castings

* * * * *

[[Page 477]]

9E003  Other ``Technology'', As Follows (See List of Items 
Controlled)

License Requirements

    Reason for Control: NS, SI, AT.

------------------------------------------------------------------------
               Control(s)                          Country chart
------------------------------------------------------------------------
NS applies to entire entry..............  NS Column 1.
SI applies to 9E003.a.1 through a.11,     ..............................
 and h. See Sec.  742.14 of the EAR for
 additional information..
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.
* * * * *

List of Items Controlled

    Unit: N/A.
    Related Controls: (1.) Hot section ``technology'' specifically 
designed, modified, or equipped for military uses or purposes, or 
developed principally with U.S. Department of Defense funding, is 
subject to the licensing authority of the U.S. Department of State. 
(2.) ``Technology'' is subject to the EAR when actually applied to a 
commercial aircraft engine program. Exporters may seek to establish 
commercial application either on a case-by-case basis through 
submission of documentation demonstrating application to a commercial 
program in requesting an export license from the Department Commerce in 
respect to a specific export, or in the case of use for broad 
categories of aircraft, engines, or components, a commodity 
jurisdiction determination from the Department of State.
    Related Definitions: N/A.
    Items:
    a. ``Technology'' ``required'' for the ``development'', 
``production''of any of the following gas turbine engine components or 
systems:
    a.1. Gas turbine blades, vanes or tip shrouds made from 
directionally solidified (DS) or single crystal (SC) alloys having (in 
the 001 Miller Index Direction) a stress-rupture life exceeding 400 
hours at 1,273 K (1,000  deg.C) at a stress of 200 MPa, based on the 
average property values;
    a.2. Multiple domed combustors operating at average burner outlet 
temperatures exceeding 1,813 K (1,540  deg. C) or combustors 
incorporating thermally decoupled combustion liners, non-metallic 
liners or non-metallic shells;
    a.3. Components manufactured from any of the following:
    a.3.a. Organic ``composite'' materials designed to operate above 
588 K (315  deg.C);
    a.3.b. Metal ``matrix'' ``composite'', ceramic ``matrix'', 
intermetallic or intermetallic reinforced materials controlled by 
1C007; or
    a.3.c. ``Composite'' material controlled by 1C010 and manufactured 
with resins controlled by 1C008.
    a.4. Uncooled turbine blades, vanes, tip-shrouds or other 
components designed to operate at gas path temperatures of 1,323 K 
(1,050  deg.C) or more;
    a.5. Cooled turbine blades, vanes or tip-shrouds, other than those 
described in 9E003.a.1, exposed to gas path temperatures of 1,643 K 
(1,370  deg.C) or more;
    a.6. Airfoil-to-disk blade combinations using solid state joining;
    a.7. Gas turbine engine components using ``diffusion bonding'' 
``technology'' controlled by 2E003.b;
    a.8. Damage tolerant gas turbine engine rotating components using 
powder metallurgy materials controlled by 1C002.b;
    a.9. Full authority digital electronic engine control (FADEC) for 
gas turbine and combined cycle engines and their related diagnostic 
components, sensors and specially designed components;
    a.10. Adjustable flow path geometry and associated control systems 
for:
    a.10.a. Gas generator turbines;
    a.10.b. Fan or power turbines;
    a.10.c. Propelling nozzles; or

    Note 1:  Adjustable flow path geometry and associated control 
systems in 9E003.a.10 do not include inlet guide vanes, variable 
pitch fans, variable stators or bleed valves for compressors.


    Note 2: 9E003.a.10 does not control ``development'' or 
``production'' ``technology'' for adjustable flow path geometry for 
reverse thrust.

    a.11. Wide chord hollow fan blades without part-span support;
    b. ``Technology'' ``required'' for the ``development'' or 
``production'' of any of the following:
    b.1. Wind tunnel aero-models equipped with non-intrusive sensors 
capable of transmitting data from the sensors to the data acquisition 
system; or
    b.2. ``Composite'' propeller blades or propfans capable of 
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
    c. ``Technology'' ``required'' for the ``development'' or 
``production'' of gas turbine engine components using ``laser'', water 
jet, ECM or EDM hole drilling processes to produce holes having any of 
the following sets of characteristics:
    c.1. All of the following:
    c.1.a. Depths more than four times their diameter;
    c.1.b. Diameters less than 0.76 mm; and
    c.1.c. Incidence angles equal to or less than 25 deg.; or
    c.2. All of the following:
    c.2.a. Depths more than five times their diameter;
    c.2.b. Diameters less than 0.4 mm; and
    c.2.c. Incidence angles of more than 25 deg.;

    Technical Note: For the purposes of 9E003.c, incidence angle is 
measured from a plane tangential to the airfoil surface at the point 
where the hole axis enters the airfoil surface.

    d. ``Technology'' ``required'' for the ``development'' or 
``production'' of helicopter power transfer systems or tilt rotor or 
tilt wing ``aircraft'' power transfer systems;
    e. ``Technology'' for the ``development'' or ``production'' of 
reciprocating diesel engine ground vehicle propulsion systems having 
all of the following:
    e.1. A box volume of 1.2 m3 or less;
    e.2. An overall power output of more than 750 kW based on 80/1269/
EEC, ISO 2534 or national equivalents; and
    e.3. A power density of more than 700 kW/m\3\ of box volume;

    Technical Note: Box volume: the product of three perpendicular 
dimensions measured in the following way:

    Length: The length of the crankshaft from front flange to flywheel 
face;
    Width: The widest of the following:
    a. The outside dimension from valve cover to valve cover;
    b. The dimensions of the outside edges of the cylinder heads; or
    c. The diameter of the flywheel housing;
    Height: The largest of the following:
    a. The dimension of the crankshaft center-line to the top plane of 
the valve cover (or cylinder head) plus twice the stroke; or
    b. The diameter of the flywheel housing.
    f. ``Technology'' ``required'' for the ``production'' of specially 
designed components, as follows, for high output diesel engines:
    f.1. ``Technology'' ``required'' for the ``production'' of engine 
systems having all of the following components employing ceramics 
materials controlled by 1C007:
    f.1.a Cylinder liners;
    f.1.b. Pistons;
    f.1.c. Cylinder heads; and
    f.1.d. One or more other components (including exhaust ports, 
turbochargers, valve guides, valve assemblies or insulated fuel 
injectors);

[[Page 478]]

    f.2. ``Technology'' ``required'' for the ``production'' of 
turbocharger systems, with single-stage compressors having all of the 
following:
    f.2.a. Operating at pressure ratios of 4:1 or higher;
    f.2.b. A mass flow in the range from 30 to 130 kg per minute; and
    f.2.c. Variable flow area capability within the compressor or 
turbine sections;
    f.3. ``Technology'' ``required'' for the ``production'' of fuel 
injection systems with a specially designed multifuel (e.g., diesel or 
jet fuel) capability covering a viscosity range from diesel fuel (2.5 
cSt at 310.8 K (37.8  deg.C)) down to gasoline fuel (0.5 cSt at 310.8 K 
(37.8  deg.C)), having both of the following:
    f.3.a. Injection amount in excess of 230 mm3 per 
injection per cylinder; and
    f.3.b. Specially designed electronic control features for switching 
governor characteristics automatically depending on fuel property to 
provide the same torque characteristics by using the appropriate 
sensors;
    g. ``Technology'' ``required'' for the development'' or 
``production'' of high output diesel engines for solid, gas phase or 
liquid film (or combinations thereof) cylinder wall lubrication, 
permitting operation to temperatures exceeding 723 K (450  deg.C), 
measured on the cylinder wall at the top limit of travel of the top 
ring of the piston.
    h. ``Technology'' not otherwise controlled in 9E003.a.1 through 
a.10 and currently used in the ``development'', ``production'', or 
overhaul of hot section parts and components of civil derivatives of 
military engines controlled on the U.S. Munitions List.

    Dated: December 17, 2001.
James J. Jochum,
Assistant Secretary for Export Administration.
[FR Doc. 02-10 Filed 1-2-02; 8:45 am]
BILLING CODE 3510-33-P