[Federal Register Volume 67, Number 184 (Monday, September 23, 2002)]
[Rules and Regulations]
[Pages 59722-59733]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-23713]
[[Page 59721]]
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Part III
Department of Commerce
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Bureau of Industry and Security
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15 CFR Parts 740, 742, and 774
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Department of State
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22 CFR Part 121
Licensing Jurisdiction for ``Space Qualified'' Items and
Telecommunications Items for Use on Board Satellites; Final Rule
Amendments of the United States Munitions List; Final Rules
Federal Register / Vol. 67, No. 184 / Monday, September 23, 2002 /
Rules and Regulations
[[Page 59722]]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 742, and 774
[Docket No. 020726182-2182-01]
RIN 0694-AC49
Licensing Jurisdiction for ``Space Qualified'' Items and
Telecommunications Items for Use on Board Satellites
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
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SUMMARY: This final rule amends the Export Administration Regulations
(EAR) to clarify what ``space qualified'' items are controlled on the
Commerce Control List (CCL) and are therefore subject to the EAR. This
rule also removes the License Exception eligibility and amends the CCL
for certain ``space qualified'' items. In addition, this rule adds
``regional stability'' as the reason for control for certain items. The
Department of State is publishing in the Federal Register a separate
rule that will clarify what ``space qualified'' items are on the U.S.
Munitions List, and therefore subject to the International Traffic in
Arms Regulations.
DATES: This rule is effective: September 23, 2002.
FOR FURTHER INFORMATION CONTACT: Gene Christiansen in the Office of
Strategic Trade and Foreign Policy Controls, Bureau of Industry and
Security, U.S. Department of Commerce at (202) 482-1837.
SUPPLEMENTARY INFORMATION:
Background
Section 1513(a) of the National Defense Authorization Act for FY
1999 (NDAA FY99) mandated the transfer of satellites and ``related
items'' from the Department of Commerce, Commerce Control List (CCL) to
the Department of State, United States Munitions List (USML). The
transfer of ``related items'' has engendered confusion concerning
licensing authority for certain ``space qualified'' items--i.e., items
designed, manufactured and tested to meet the special electrical,
mechanical or environmental requirements for use in the launch and
deployment of satellites or high-altitude flight systems operating at
altitudes of 100 kilometers or higher.
This rule clarifies the licensing jurisdiction of certain ``space
qualified'' items. This rule is consistent with the existing licensing
jurisdiction for items specifically designed or modified for items with
military applications. Such items are under the licensing jurisdiction
of the Department of State. Items on the USML are exclusively
controlled for export or reexport by the Department of State and are
not within the scope of the Export Administration Regulations.
This rule is the result of extensive review of the affected ``space
qualified'' items by the Departments of Commerce, Defense, and State.
It provides for the transfer of ``space qualified'' atomic frequency
standards (formerly controlled by Export Control Classification Number
(ECCN) 3A002.g.2), solid state detectors (formerly ECCN 6A002.a.1),
imaging sensors (formerly ECCN 6A002.b.2.b.1), cryocoolers (formerly
ECCN 6A002.d.1), optical systems parts (formerly ECCN 6A004.c) and
optical control equipment (formerly ECCN 6A004.d.1) from the CCL to the
USML. This rule also provides criteria governing the split jurisdiction
between the Departments of Commerce and State over ``space qualified''
traveling wave tubes (ECCN 3A001.b.1.a.4.c), photovoltaic arrays (ECCN
3A001.e.1.c), telecommunications equipment for use on board satellites
(ECCN 5A001.a.2 and a.3), and the technology to develop and produce
telecommunications equipment for use on board satellites (ECCN
5E001.b.1). Finally, this rule confirms Department of Commerce
jurisdiction of ``space qualified'' tape recorders (ECCN 3A002.a.3.b),
data recorders (ECCN 3A992.b.3), laser radar (ECCN 6A008.j.1), and
focal plane arrays and the technology to make focal plane arrays (ECCN
6A002.e).
Please note, that software for ``space qualified'' cryocoolers
remains on the U.S. Munitions List (22 CFR 121.1) under Category XV,
Space Systems and Associated Equipment.
Pursuant to consultations with the Department of State, this rule
adds regional stability controls (RS Column 1) for ``space qualified''
``laser'' radar or Light Detection and Ranging (LIDAR) equipment,
including ``space qualified'' LIDAR equipment specially designed for
surveying or for meteorological observation (ECCN 6A998.b, software
therefor 6D991, technology therefor 6E991), ``space qualified''
``laser'' radar or Light Detection and Ranging (LIDAR) (6A008.j.1,
software therefor 6D001 and 6D002, technology therefor 6E001), and
focal plane arrays (ECCN 6A002.e, software therefor 6D991, technology
therefor 6E001 and 6E002). The expansion of RS controls for this
equipment is described in a report to the Congress, dated August 19,
2002.
This rule supercedes any commodity classification decisions and
advisory opinions issued by the Department of Commerce prior to the
effective date of this rule concerning items which this rule either (i)
transfers to State Department jurisdiction or (ii) retains under
Commerce Department jurisdiction but removes from eligibility for
export or reexport under License Exception authorization or without a
license. Items licensed by the Department of Commerce as of September
23, 2002, including those already exported, remain subject to the EAR
and the licenses remain in effect in accordance with their terms.
Specifically, this rule makes revisions to the following ECCNs:
In Category 3, Electronics:
[sbull] 3A001 is amended by:
(1) Revising the Related Controls paragraph to specify that the
following items are now subject to the export licensing authority of
the Department of State, Office of Defense Trade Controls (22 CFR part
121):
(A) ``Space qualified'' helix tubes (traveling wave tubes), or
derivatives thereof operating at frequencies higher than 31 GHz and
defined in 3A001.b.1.a.4.c;
(B) ``Space qualified'' microwave solid state amplifiers operating
at frequencies higher than 31 GHz defined in 3A001.b.4.b;
(C) ``Space qualified'' microwave ``assemblies'' capable of
operating at frequencies exceeding 31 GHz and defined in 3A001.b.6;
(D) ``Space qualified'' microwave power amplifiers operating at
frequencies higher than 31 GHz and defined in 3A001.b.8.; and
(E) ``Space qualified'' and radiation hardened photovoltaic arrays
as defined in 3A001.e.1.c (i.e., not having silicon cells or not having
single, dual or triple junction solar cells that have gallium arsenide
as one of the junctions), spacecraft/satellite solar concentrators and
batteries.
(2) Adding a definition for photovoltaic arrays to the Related
Definitions section.
[sbull] 3A002 is amended by revising the Related Controls paragraph
to note that ``space qualified'' atomic frequency standards defined in
3A002.g.2 are now subject to the export licensing authority of the
Department of State, Office of Defense Trade Controls (22 CFR part
121).
[sbull] 3D001 is amended by revising:
(1) The Related Controls paragraph to note that ``software''
specially designed for the ``development'' or ``production'' of the
following equipment is under the export licensing authority of the
[[Page 59723]]
Department of State, Office of Defense Trade Controls (22 CFR part
121): (1.) When operating at frequencies higher than 31 GHz and ``space
qualified'': helix tubes (traveling wave tubes (TWT)) defined in
3A001.b.1.a.4.c; microwave solid state amplifiers defined in
3A001.b.4.b; microwave ``assemblies'' defined in 3A001.b.6; and
traveling wave tube amplifiers (TWTA) defined in 3A001.b.8; (2.)
``Space qualified'' and radiation hardened photovoltaic arrays defined
in 3A001.e.1.c (i.e., not having silicon cells or single, dual or
triple junction solar cells that have gallium arsenide as one of the
junctions), spacecraft/satellite solar concentrators and batteries; and
(3.) ``Space qualified'' atomic frequency standards defined in
3A002.g.2.
(2) Revising TSR eligibility under the License Exception section of
3D001, to note the removal of ``software'' specially designed for the
``development'' or ``production'' of Traveling Wave Tube Amplifiers
described in 3A001.b.8 having operating frequencies exceeding 18 GHz
from License Exception TSR eligibility.
(3) The Related Definitions section to add a definition for
photovoltaic arrays.
[sbull] 3E001 is amended by:
(1) Revising the Related Controls paragraph to note that
``Technology'' according to the General Technology Note for the
``development'' or ``production'' of the following equipment is under
the export licensing authority of the Department of State, Office of
Defense Trade Controls (22 CFR part 121): (1.) When operating at
frequencies higher than 31 GHz and ``space qualified'': helix tubes
(traveling wave tubes (TWT)) defined in 3A001.b.1.a.4.c; microwave
solid state amplifiers defined in 3A001.b.4.b; microwave ``assemblies''
defined in 3A001.b.6; and traveling wave tube amplifiers (TWTA) defined
in 3A001.b.8; (2.) ``Space qualified'' and radiation hardened
photovoltaic arrays defined in 3A001.e.1.c (i.e., not having silicon
cells or single, dual or triple junction solar cells that have gallium
arsenide as one of the junctions), spacecraft/satellite solar
concentrators and batteries; and (3.) ``Space qualified'' atomic
frequency standards defined in 3A002.g.2.
(2) Revising TSR eligibility under the License Exception section of
3D001, to note the removal of ``technology'' specially designed for the
``development'' or ``production'' of Traveling Wave Tube Amplifiers
described in 3A001.b.8 having operating frequencies exceeding 18 GHz
from License Exception TSR eligibility.
(3) Revising the Related Definitions section to add a definition
for photovoltaic arrays.
In Category 5, Telecommunications and ``Information Security'',
Part I (Telecommunications):
[sbull] 5A001 is amended by revising the Related Controls paragraph
to note that telecommunications equipment defined in 5A001.a.1 through
5A001.a.3 for use on board satellites is now subject to the export
licensing authority of the Department of State, Office of Defense Trade
Controls (22 CFR part 121).
[sbull] 5A991 is amended by:
(1) Adding a Related Control note that states telecommunication
equipment defined in 5A991 for use on board satellites is subject to
the export licensing authority of the Department of State, Office of
Defense Trade Controls (22 CFR part 121).
(2) Adding references to related controls in 5E101 and 5E991.
(3) Removing from the List of Items controlled the note under
paragraph 5A991.b.1 that reads, ``5A991.b.1 does not control equipment
specially designed to be integrated and operated in any satellite
system for civil use.''
[sbull] 5E001 is amended by revising:
(1) The Related Controls paragraph to note that ``technology''
defined in 5E001.b.1, 5E001.b.2, 5E001.b.4, and 5E001.c for use on
board satellites is subject to the export licensing authority of the
Department of State, Office of Defense Trade Controls (22 CFR part
121). Technology defined in 5E001.b.1 for non-satellite uses remains
subject to the export licensing authority of the Department of
Commerce, Bureau of Industry and Security.
In Category 6, Sensors and Lasers:
[sbull] 6A002 is amended by:
(1) Moving the notes contained in the Related Definitions paragraph
to the Related Controls paragraph;
(2) Revising the Related Controls paragraph to note that:
(a) The following commodities are now subject to the export
licensing authority of U.S. Department of State, Office of Defense
Trade Controls (22 CFR part 121): ``space qualified'' solid-state
detectors defined in 6A002.a.1, ``space qualified'' imaging sensors
(e.g., ``monospectral imaging sensors'' and ``multispectral imaging
sensors'') defined in 6A002.b.2.b.1, and ``space qualified''
cryocoolers defined in 6A002.d.1, unless, on or after September 23,
2002, the Department of State issues a commodity jurisdiction
determination assigning the export licensing authority to the
Department of Commerce, Bureau of Industry and Security;
(b) ``Space qualified'' ``focal plane arrays'' defined in 6A002.e
remain subject to the export licensing authority of the Department of
Commerce, Bureau of Industry and Security, but are removed from License
Exception eligibility; and
(c) Exporters may apply for a commodity jurisdiction request with
the Department of State, Office of Defense Trade Controls for ``space
qualified'' solid-state detectors defined in 6A002.a.1 and ``imaging
sensors'' (e.g., ``monospectral imaging sensors'' and multispectral
imaging sensors'') defined in 6A002.b.2.b.1 that may have predominantly
civil applications.
(3) Adding RS Column 1 controls for 6A002.e, ``space qualified''
``focal plane arrays.''
[sbull] 6A004 is amended by revising the Related Controls paragraph
to note that ``space qualified'' components for optical systems defined
in 6A004.c and optical control equipment defined in 6A004.d.1 are
subject to the export licensing authority of the Department of State,
Office of Defense Trade Controls (22 CFR part 121).
[sbull] 6A008 is amended by:
(1.) Revising the License Exception section to note that equipment
defined in 6A008.j.1 (``space qualified'' ``laser'' radar or Light
Detection and Ranging (LIDAR) equipment) is no longer eligible for
License Exception LVS;
(2.) Revising the License Requirement section to add RS Column 1
controls to 6A008.j.1 (``space qualified'' ``laser'' radar or Light
Detection and Ranging (LIDAR));
(3.) Revising the ``Related Controls'' paragraph to note
specifically that LIDAR equipment specially designed for surveying or
for meteorological observation is controlled under ECCN 6A998.b
[sbull] 6A998 is amended by:
(1) Revising the heading;
(2) Moving the airborne radar equipment from the heading to
6A998.a; and (3) Adding the ``space qualified'' ``laser'' radar or
Light Detection and Ranging (LIDAR) equipment specially designed for
surveying or for meteorological observation, released from control
under the note in 6A008.j, to 6A998.b; and controlling them under
regional stability controls (RS column 1) and antiterrorism (AT Column
1).
[sbull] 6D001 is amended by:
(1) Revising the License Requirements to add regional stability as
a reason for control to software for equipment controlled by 6A008.j.1.
(2) Revising the License Exception section to note that
``software'' for the ``development'' or ``production'' of equipment
defined in 6A008.j.1 is not eligible for License Exception TSR; and
[[Page 59724]]
(3) Revising the Related Controls paragraph in the List of Items
Controlled section to note that ``software'' specially designed for the
``development'' or ``production'' of the following commodities is
subject to the export licensing authority of the Department of State,
Office of Defense Trade Controls (22 CFR part 121): ``space qualified''
components for optical systems defined in 6A004.c and ``space
qualified'' optical control equipment defined in 6A004.d.1.
[sbull] 6D002 is amended by:
(1) Revising the License Requirements section to add regional
stability as a reason for control to software for equipment controlled
by 6A008.j.1.
(2) Revising the License Exception section to note that
``software'' for the ``use'' of equipment defined in 6A008.j.1 is not
eligible for License Exception TSR; and
(3) Revising the Related Controls paragraph in the List of Items
Controlled section to note that ``software'' specially designed for the
``use'' of ``space qualified'' ``imaging sensors'' (e.g.,
``monospectral imaging sensors'' and ``multispectral imaging sensors'')
defined in 6A002.b.2.b.1 are now subject to the export licensing
authority of the Department of State, Office of Defense Trade Controls
(22 CFR part 121), unless, on or after September 23, 2002, the
Department of State issues a commodity jurisdiction determination
assigning the export licensing authority to the Department of Commerce,
Bureau of Industry and Security.
[sbull] 6D104 is amended by revising the Related Controls paragraph
in the List of Items Controlled section to note that ``software''
specially designed for the ``use'' of ``space qualified'' solid-state
(optical) detectors defined in 6A002.a.1 is subject to the export
licensing authority of the Department of State, Office of Defense Trade
Controls (22 CFR part 121), unless, on or after September 23, 2002, the
Department of State issues a commodity jurisdiction determination
assigning the export licensing authority to the Department of Commerce,
Bureau of Industry and Security.
[sbull] 6D991 is amended by:
(1) Revising the header to include 6A002.e; and
(2) Adding regional stability controls (RS column 1) to
``software'' for equipment controlled by 6A002.e and 6A998.b.
[sbull] 6E001 is amended by:
(1) Revising the Reason for Control section to add regional
stability as a reason for control for technology for items controlled
by 6A002.e, 6A003.b.4, or 6A008.j.1.
(2) Revising the License Exception section to note that
``technology'' for the ``development'' of commodities defined in
6A002.e or 6A008.j.1; and ``software'' for commodities defined in
6A002.e or 6A008.j.1 and controlled in 6D001, 6D002, or 6D104 are no
longer eligible for License Exception TSR; and
(3) Revising the Related Controls paragraph in the List of Items
Controlled section to note that ``Technology'' according to the General
Technology Note for the ``development'' of the following commodities is
subject to the export licensing authority of the Department of State,
Office of Defense Trade Controls (22 CFR part 121): ``Space qualified''
(1) Components for optical systems defined in 6A004.c and optical
control equipment defined in 6A004.d.1.;
(2) Solid-state detectors defined in 6A002.a.1, ``imaging sensors''
(e.g., ``monospectral imaging sensors'' and ``multispectral imaging
sensors'') defined in 6A002.b.2.b.1, and cryocoolers defined in
6A002.d.1 unless on or after September 23, 2002, the Department of
State issues a commodity jurisdiction determination assigning the
export licensing authority to the Department of Commerce, Bureau of
Industry and Security.
[sbull] 6E002 is amended by:
(1) Revising the Reason for Control section to add regional
stability as a reason for control for technology for items controlled
by 6A002.e, 6A003.b.4, or 6A008.j.1.
(2) Revising the License Exception section to note that
``technology'' for the ``production'' of commodities defined in 6A002.e
or 6A008.j.1 is no longer eligible for License Exception TSR.
(3) Revising the Related Controls paragraph in the List of Items
Controlled section to note that ``Technology'' according to the General
Technology Note for the ``production'' of the following commodities is
subject to the export licensing authority of the Department of State,
Office of Defense Trade Controls (22 CFR part 121): (1) Components for
optical systems defined in 6A004.c and optical control equipment
defined in 6A004.d.1.; (2) Solid-state detectors defined in 6A002.a.1,
sbull I11``imaging sensors'' (e.g., ``monospectral imaging sensors''
and ``multispectral imaging sensors'') defined in 6A002.b.2.b.1, and
cryocoolers defined in 6A002.d.1 unless on or after September 23, 2002,
the Department of State issues a commodity jurisdiction determination
assigning the export licensing authority to the Department of Commerce,
Bureau of Industry and Security.
[sbull] 6E991 is amended by adding regional stability controls (RS
column 1) for ``technology'' for equipment controlled by 6A998.b.
In addition to the revisions made to the CCL, this rule adds a
restriction that applies to all License Exceptions in section 740.2.
Specifically, this rule adds paragraph (a)(6) to this section, which
removes the following items from License Exception eligibility:
Commodities defined in 3A001.b.8 (Traveling Wave Tube Amplifiers
(TWTAs) exceeding 18 GHz), 6A002.e, 6A008.j.1, or 6A998.b; ``software''
for commodities defined in 3A001.b.8 (Traveling Wave Tube Amplifiers
(TWTAs) exceeding 18 GHz), 6A002.e, 6A008.j.1, or 6A998.b and
controlled under ECCNs 3D001 (Traveling Wave Tube Amplifiers (TWTAs)
exceeding 18 GHz), 6D001, 6D002, 6D104, 6D991; and ``technology'' for
commodities defined in ECCNs 3A001.b.8 (Traveling Wave Tube Amplifiers
(TWTAs) exceeding 18 GHz), 6A002.e, 6A008.j.1, or 6A998.b and
controlled under ECCNs 3E001, 6E001, 6E002, 6E101, 6E102, 6E991.
Although the Export Administration Act expired on August 20, 2001,
the President, through Executive Order 13222 of August 17, 2001 (66 FR
44025 (August 22, 2001)), has continued the Export Administration
Regulations in effect under the International Emergency Economic Powers
Act.
Savings Clause
Shipments of items which this rule either (i) transfers to State
Department jurisdiction or (ii) retains under Commerce Department
jurisdiction but removes from eligibility for export or reexport under
License Exception authorization or without a license (``NLR''--no
license required) that were on dock for loading, on lighter, laden
aboard an exporting carrier or en route aboard a carrier to a port of
export on September 23, 2002, pursuant to actual orders for export to
that destination, may proceed to that destination under the previous
License Exception or NLR authorization provision so long as they have
been exported from the United States before October 21, 2002. Any such
items not actually exported before midnight October 21, 2002 require a
license in accordance with this regulation.
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
[[Page 59725]]
with a collection of information, subject to the requirements of the
Paperwork Reduction Act, unless that collection of information displays
a currently valid Office of Management and Budget Control Number. This
rule involves a collection of information subject to the Paperwork
Reduction Act of 1980 (44 U.S.C. 3501 et seq.). This collection has
been approved by the Office of Management and Budget under control
number 0694-0088, ``Multi-Purpose Application,'' which carries a burden
hour estimate of 45 minutes for a manual submission and 40 minutes for
an electronic submission.
3. This rule does not contain policies with Federalism implications
as that term is defined under E.O. 13132.
4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (5 U.S.C. 553(a)(1)). Further, no other
law requires that a notice of proposed rulemaking and an opportunity
for public comment be given for this interim rule. Because a notice of
proposed rulemaking and an opportunity for public comment are not
required to be given for this rule under the Administrative Procedure
Act or by any other law, the analytical requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are not applicable. Therefore,
this regulation is issued in final form. Although there is no formal
comment period, public comments on this regulation are welcome on a
continuing basis. Comments should be submitted to Sharron Cook, Office
of Exporter Services, Bureau of Industry and Security, Department of
Commerce, P.O. Box 273, Washington, DC 20044.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Parts 742 and 774
Exports, Foreign trade.
Accordingly, parts 740, 742, and 774 of the Export Administration
Regulations (15 CFR parts 730-799) are amended as follows:
1. The authority citation for 15 CFR part 740 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
Sec. 901-911, Pub. L. 106-387; E.O. 13026, 61 FR 58767, 3 CFR, 1996
Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783;
Notice of August 14, 2002, 67 FR 53721, August 16, 2002.
2. The authority citation for 15 CFR part 742 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
18 U.S.C. 2510 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a;
Sec. 901-911, Pub. L. 106-387; Sec. 221, Pub. L. 107-56; E.O. 12058,
43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3
CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp.,
p. 950; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of November 9,
2001, 66 FR 56965, 3 CFR, 2001 Comp., p. 917; Notice of August 14,
2002, 67 FR 53721, August 16, 2002.
3. The authority citation for 15 CFR part 774 is revised 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; Sec. 901-911, Pub. L. 106-387; Sec.
221, Pub. L. 107-56; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of
August 14, 2002, 67 FR 53721, August 16, 2002.
PART 740--[AMENDED]
4. Section 740.2 is amended by adding paragraph (a)(7) to read as
follows:
Sec. 740.2 Restrictions on all License Exceptions.
* * * * *
(a) * * *
(7) ``Space qualified'' items. Commodities defined in ECCNs
3A001.b.8 (Traveling Wave Tube Amplifiers (TWTAs) exceeding 18 GHz),
6A002.e, 6A008.j.1, or 6A998.b; ``software'' for commodities defined in
ECCNs 3A001.b.8 (Traveling Wave Tube Amplifiers (TWTAs) exceeding 18
GHz), 6A002.e, 6A008.j.1, or 6A998.b and controlled under ECCNs 3D001
(Traveling Wave Tube Amplifiers (TWTAs) exceeding 18 GHz), 6D001,
6D002, 6D104, 6D991; and ``technology'' for commodities defined in
ECCNs 3A001.b.8 (Traveling Wave Tube Amplifiers (TWTAs) exceeding 18
GHz), 6A002.e, 6A008.j.1, or 6A998.b and controlled under ECCNs 3E001,
6E001, 6E002, 6E101, 6E102, 6E991.
* * * * *
PART 742--[AMENDED]
5. Section 742.6 is amended by revising paragraph (a)(1), to read
as follows:
Sec. 742.6 Regional stability.
(a) * * *
(1) As indicated in the CCL and in RS Column 1 of the Country Chart
(see Supplement No. 1 to part 738 of the EAR), a license is required to
all destinations, except Canada, for items described on the CCL under
ECCNs 6A002.a.1, a.2, a.3, .c, or .e; 6A003.b.3 and b.4; 6A008.j.1;
6A998.b; 6D001 (only ``software'' for the ``development'' or
``production'' of items in 6A002.a.1, a.2, a.3, .c; 6A003.b.3 and .b.4;
or 6A008.j.1); 6D002 (only ``software'' for the ``use'' of items in
6A002.a.1, a.2, a.3, .c; 6A003.b.3 and .b.4; or 6A008.j.1); 6D991 (only
``software'' for the ``development,'' ``production,'' or ``use'' of
equipment controlled by 6A002.e or 6A998.b); 6E001 (only ``technology''
for ``development'' of items in 6A002.a.1, a.2, a.3, and .c or .e,
6A003.b.3 and b.4, or 6A008.j.1); 6E002 (only ``technology'' for
``production'' of items in 6A002.a.1, a.2, a.3, .c, or .e, 6A003.b.3 or
b.4, or 6A008.j.1); 6E991 (only ``technology'' for the ``development,''
ldquo;production,'' or ``use'' of equipment controlled by 6A998.b);
7D001 (only ``software'' for ``development'' or ``production'' of items
in 7A001, 7A002, or 7A003); 7E001 (only ``technology'' for the
``development'' of inertial navigation systems, inertial equipment, and
specially designed components therefor for civil aircraft); 7E002 (only
``technology'' for the ``production'' of inertial navigation systems,
inertial equipment, and specially designed components therefor for
civil aircraft); 7E101 (only ``technology'' for the ``use'' of inertial
navigation systems, inertial equipment, and specially designed
components for civil aircraft).
* * * * *
PART 774--[AMENDED]
6. Supplement No. 1 to part 774, Category 3 (Electronics), is
amended by:
a. Revising the Related Controls and Related Definitions paragraph
in the List of Items Controlled section of ECCNs 3A001 and 3A002; and
b. Revising the License Exceptions and List of Items Controlled
sections of ECCNs 3D001 and 3E001, to read as follows:
3A001 Electronic Components, as Follows (see List of Items Controlled).
* * * * *
License Exceptions
LVS: N/A for MT or NP
Yes for:
$1500: 3A001.c
$3000: 3A001.b.1, b.2, b.3, .d, .e
[[Page 59726]]
and .f
$5000: 3A001.a, and .b.4 to b.7
GBS: Yes for 3A001.a.1.b, a.2 to a.12, b.2, and b.8 (except for TWTAs
exceeding 18 GHz)
CIV: Yes for 3A001.a.3.a (for processors with a CTP less than or equal
to 12,000 MTOPS), a.3.b, a.3.c, a.4, a.7, and a.11.
List of Items Controlled
Unit: * * *
Related Controls: (1.) The following commodities are under the
export licensing authority of the Department of State, Office of
Defense
Trade Controls (22 CFR part 121) when ``space qualified'' and
operating at frequencies higher than 31 GHz: helix tubes (traveling
wave tubes (TWT)) defined in 3A001.b.1.a.4.c; microwave solid state
amplifiers defined in 3A001.b.4.b; microwave ``assemblies'' defined in
3A001.b.6; traveling wave tube amplifiers (TWTA) defined in 3A001.b.8;
and derivatives thereof; 2.) ``Space qualified'' and radiation hardened
photovoltaic arrays, as defined in 3A001.e.1.c, having silicon cells or
having single, dual or triple junction solar cells that have gallium
arsenide as one of the junctions, are subject to the export licensing
authority of the Department of Commerce. All other ``space qualified''
and radiation hardened photovoltaic arrays defined in 3A001.e.1.c and
spacecraft/satellite concentrators and batteries are under the export
licensing authority of the Department of State, Office of Defense Trade
Controls (22 CFR part 121). See also 3A101, 3A201, and 3A991
Related Definitions: For the purposes of integrated circuits in
3A001.a.1, 5 x 103 Gy(Si) = 5 x 105 Rads (Si); 5
x 106 Gy (Si)/s = 5 x 108 Rads (Si)/s. For
purposes of photovoltaic arrays in 3A001.e.1.c, an array predominately
consists of: a substrate; solar cells having silicon cells or having
single, dual, and or triple junction solar cells that have gallium
arsenide as one of the junctions; coverglass; ultra-violet coating(s);
and bonding agent(s). Spacecraft/satellite: solar concentrators, power
conditioners and or controllers, bearing and power transfer assembly,
and or deployment hardware/systems are controlled under the export
licensing authority of the Department of State, Office of Defense Trade
Controls (22 CFR part 121).
Items:
* * * * *
3A002 General purpose electronic equipment, as follows (see List of
Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: ``Space qualified'' atomic frequency standards
defined in 3A002.g.2 are subject to the export licensing authority of
the Department of State, Office of Defense Trade Controls (22 CFR part
121). See also 3A292 and 3A992.
Related Definitions: N/A
Items:
* * * * *
3D001 ``Software'' Specially Designed for the ``Development'' or
``Production'' of Equipment Controlled by 3A001.b to 3A002.g or 3B
(Except 3B991 and 3B992).
* * * * *
License Exceptions
CIV: N/A
TSR: Yes, except for ``software'' specially designed for the
``development'' or ``production'' of Traveling Wave Tube Amplifiers
described in 3A001.b.8 having operating frequencies exceeding 18 GHz.
List of Items Controlled
Unit: $ value.
Related Controls: ``Software'' specially designed for the
``development'' or ``production'' of the following equipment is under
the export licensing authority of the Department of State, Office of
Defense Trade Controls (22 CFR part 121): (a) When operating at
frequencies higher than 31 GHz and ``space qualified'': Helix tubes
(traveling wave tubes (TWT)) defined in 3A001.b.1.a.4.c; microwave
solid state amplifiers defined in 3A001.b.4.b; microwave ``assemblies''
defined in 3A001.b.6; and traveling wave tube amplifiers (TWTA) defined
in 3A001.b.8; (b) ``Space qualified'' and radiation hardened
photovoltaic arrays defined in 3A001.e.1.c (i.e., not having silicon
cells or single, dual or triple junction solar cells that have gallium
arsenide as one of the junctions), spacecraft/satellite solar
concentrators and batteries; and (c) ``Space qualified'' atomic
frequency standards defined in 3A002.g.2. See also 3D101
Related Definitions: For purposes of photovoltaic arrays in
3A001.e.1.c, an array predominately consists of: a substrate; solar
cells having silicon cells or having single, dual, and or triple
junction solar cells that have gallium arsenide as one of the
junctions; coverglass; ultra-violet coating(s); and bonding agent(s).
Spacecraft/satellite: solar concentrators, power conditioners and or
controllers, bearing and power transfer assembly, and or deployment
hardware/systems are controlled under the export licensing authority of
the Department of State, Office of Defense Trade Controls (22 CFR part
121).
Items:
The list of items controlled is contained in the ECCN heading.
* * * * *
3E001 ``Technology'' According to the General Technology Note for the
Development'' or ``Production'' of Equipment or Materials Controlled by
3A (Except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B (Except 3B991 or
3B992) or 3C.
* * * * *
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT, and ``technology'' specially designed
for the ``development'' or ``production'' of Traveling Wave Tube
Amplifiers described in 3A001.b.8 having operating frequencies
exceeding 18 GHz.
List of Items Controlled
Unit: N/A
Related Controls: (1.) See also 3E101 and 3E201. (2.) 3E001 does
not control ``technology'' for the ``development'' or ``production''
of: (a) Microwave transistors operating at frequencies below 31 GHz;
(b) Integrated circuits controlled by 3A001.a.3 to a.12, having all of
the following: 1. Using ``technology'' of 0.7 micrometer or more, AND
2. Not incorporating multi-layer structures. (3.) The term multi-layer
structures in this entry does not include devices incorporating a
maximum of two metal layers and two polysilicon layers. (4.)
``Technology'' according to the General Technology Note for the
``development'' or ``production'' of the following commodities is under
the export licensing authority of the Department of State, Office of
Defense Trade Controls (22 CFR part 121): (a) When operating at
frequencies higher than 31 GHz and ``space qualified'': helix tubes
(traveling wave tubes (TWT)) defined in 3A001.b.1.a.4.c; microwave
solid state amplifiers defined in 3A001.b.4.b; microwave ``assemblies''
defined in 3A001.b.6; or traveling wave tube amplifiers (TWTA) defined
in 3A001.b.8; (b) ``Space qualified'' and radiation hardened
photovoltaic arrays defined in 3A001.e.1.c (i.e., not having silicon
cells or single, dual or triple junction solar cells that have gallium
arsenide as one of the junctions), and spacecraft/satellite solar
concentrators and batteries; and (b) ``Space qualified'' atomic
frequency standards defined in 3A002.g.2.
[[Page 59727]]
Related Definition: For purposes of photovoltaic arrays in
3A001.e.1.c, an array predominately consists of: a substrate; solar
cells having silicon cells or having single, dual, and or triple
junction solar cells that have gallium arsenide as one of the
junctions; coverglass; ultra-violet coating(s); and bonding agent(s).
Spacecraft/satellite: solar concentrators, power conditioners and or
controllers, bearing and power transfer assembly, and or deployment
hardware/systems are controlled under the export licensing authority of
the Department of State, Office of Defense Trade Controls (22 CFR part
121).
Items:
The list of items controlled is contained in the ECCN heading.
* * * * *
7. In Supplement No. 1 to part 774, Category 5 (Telecommunications
and ``Information Security'', Part I--Telecommunications), ECCNs 5A001,
5A991, and 5E001, List of Items Controlled sections are revised to read
as follows:
5A001 Telecommunications Systems, Equipment, and Components.
* * * * *
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: Telecommunications equipment defined in 5A001.a.1
through 5A001.a.3 for use on board satellites is subject to the export
licensing authority of the Department of State, Office of Defense Trade
Controls (22 CFR part 121). See also 5A101 and 5A991.
Related Definitions: N/A
Items:
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. Specially designed to withstand transitory electronic effects
or electromagnetic pulse effects, both arising from a nuclear
explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation; or
a.3. Specially designed to operate outside the temperature range
from 218 K (-55[deg] C) to 397 K (124[deg] C).
Note: 5A001.a.3 applies only to electronic equipment.
Note: 5A001.a.2 and 5A001.a.3 do not apply to equipment on board
satellites.
b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any of
the following characteristics, functions or features:
b.1 Being underwater communications systems having any of the
following characteristics:
b.1.a. An acoustic carrier frequency outside the range from 20 KHz
to 60 KHz;
b.1.b. Using an electromagnetic carrier frequency below 30 KHz; or
b.1.c. Using electronic beam steering techniques;
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having any of the following characteristics:
b.2.a. Incorporating adaptive techniques providing more than 15 dB
suppression of an interfering signal; or
b.2.b. Having all of the following:
b.2.b.1. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.2.b.2. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the 1.5 MHz to 30 MHz frequency range
or 250 W or more in the 30 MHz to 87.5 MHz frequency range, over an
``instantaneous bandwidth'' of one octave or more and with an output
harmonic and distortion content of better than -80 dB;
b.3. Being radio equipment employing ``spread spectrum''
techniques, including ``frequency hopping'' techniques, having any of
the following characteristics:
b.3.a. User programmable spreading codes; or
b.3.b. A total transmitted bandwidth which is 100 or more times the
bandwidth of any one information channel and in excess of 50 KHz;
Note: 5A001.b.3.b does not control radio equipment specially
designed for use with civil cellular radio-communications systems.
Note: 5A001.b.3 does not control equipment operating at an
output power of 1.0 Watt or less.
b.4. Being digitally controlled radio receivers having all of the
following:
b.4.a. More than 1,000 channels;
b.4.b. A ``frequency switching time'' of less than 1 ms;
b.4.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
b.4.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.4 does not control radio equipment specially
designed for use with civil cellular radio-communications systems.
b.5. Employing functions of digital ``signal processing'' to
provide voice coding at rates of less than 2,400 bit/s.
c. Optical fiber communication cables, optical fibers and
accessories, as follows:
c.1. Optical fibers of more than 500 m in length specified by the
manufacturer as being capable of withstanding a proof test tensile
stress of 2 x 10\9\ N/m\2\ or more;
Technical Note: Proof Test: on-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20[deg] C) and relative
humidity 40%. Equivalent national standards may be used for
executing the proof test.
c.2. Optical fiber cables and accessories designed for underwater
use.
Note: 5A001.c.2 does not control standard civil
telecommunication cables and accessories.
N.B. 1: For underwater umbilical cables, and connectors thereof,
see 8A002.a.3.
N.B. 2: For fiber-optic hull penetrators or connectors, see
8A002.c.
d. ``Electronically steerable phased array antennae'' operating
above 31 GHz.
Note: 5A001.d does not control ``electronically steerable phased
array antennae'' for landing systems with instruments meeting ICAO
standards covering microwave landing systems (MLS).
* * * * *
5A991 Telecommunication Equipment, Not Controlled by 5A001.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: Telecommunication equipment defined in 5A991 for
use on board satellites is subject to the export licensing authority of
the Department of State, Office of Defense Trade Controls (22 CFR part
121). See also 5E101 and 5E991.
Related Definitions: * * *
Items:
a. Any type of telecommunications equipment, not controlled by
5A001.a, specially designed to operate outside the temperature range
from 219 K (-54 [deg]C) to 397 K (124 [deg]C).
b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any of
the following characteristics, functions or features:
Note: Telecommunication transmission equipment:
a. Categorized as follows, or combinations thereof:
[[Page 59728]]
1. Radio equipment (e.g., transmitters, receivers and
transceivers);
2. Line terminating equipment;
3. Intermediate amplifier equipment;
4. Repeater equipment;
5. Regenerator equipment;
6. Translation encoders (transcoders);
7. Multiplex equipment (statistical mutiplex included);
8. Modulators/demodulators (modems);
9. Transmultiplex equipment (see CCITT Rec. G701);
10. ``Stored program controlled'' digital crossconnection
equipment;
11. ``Gateways'' and bridges;
12. ``Media access units''; and
b. Designed for use in single or multi-channel communication via
any of the following:
1. Wire (line);
2. Coaxial cable;
3. Optical fiber cable;
4. Electromagnetic radiation; or
5. Underwater acoustic wave propagation.
b.1. Employing digital techniques, including digital processing of
analog signals, and designed to operate at a ``digital transfer rate''
at the highest multiplex level exceeding 45 Mbit/s or a ``total digital
transfer rate'' exceeding 90 Mbit/s;
b.2. Modems using the ``bandwidth of one voice channel'' with a
``data signaling rate'' exceeding 9,600 bits per second;
b.3. Being ``stored program controlled'' digital cross connect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per port.
b.4. Being equipment containing any of the following:
b.4.a. ``Network access controllers'' and their related common
medium having a ``digital transfer rate'' exceeding 33 Mbit/s; or
b.4.b. ``Communication channel controllers'' with a digital output
having a ``data signaling rate'' exceeding 64,000 bit/s per channel;
Note: If any uncontrolled equipment contains a ``network access
controller'', it cannot have any type of telecommunications
interface, except those described in, but not controlled by
5A991.b.4.
b.5. Employing a ``laser'' and having any of the following
characteristics:
b.5.a. A transmission wavelength exceeding 1,000 nm; or
b.5.b. Employing analog techniques and having a bandwidth exceeding
45 MHz;
Note: 5A991.b.5.b does not control commercial TV systems.
b.5.c. Employing coherent optical transmission or coherent optical
detection techniques (also called optical heterodyne or homodyne
techniques);
b.5.d. Employing wavelength division multiplexing techniques; or
b.5.e. Performing ``optical amplification'';
b.6. Radio equipment operating at input or output frequencies
exceeding:
b.6.1. 31 GHz for satellite-earth station applications; or
b.6.2. 26.5 GHz for other applications;
Note: 5A991.b.6. does not control equipment for civil use when
conforming with an International Telecommunications Union (ITU)
allocated band between 26.5 GHz and 31 GHz.
b.7. Being radio equipment employing any of the following:
b.7.a. Quadrature-amplitude-modulation (QAM) techniques above level
4 if the ``total digital transfer rate'' exceeds 8.5 Mbit/s;
b.7.b. QAM techniques above level 16 if the ``total digital
transfer rate'' is equal to or less than 8.5 Mbit/s; or
b.7.c. Other digital modulation techniques and having a ``spectral
efficiency'' exceeding 3 bit/sec/Hz;
Notes: 1. 5A991.b.7 does not control equipment specially
designed to be integrated and operated in any satellite system for
civil use.
2. 5A991.b.7 does not control radio relay equipment for operation
in an ITU allocated band:
a. Having any of the following:
a.1. Not exceeding 960 MHz; or
a.2. With a ``total digital transfer rate'' not exceeding 8.5 Mbit/
s; and
b. Having a ``spectral efficiency'' not exceeding 4 bit/sec/Hz.
b.8. Providing functions of digital ``signal processing'' as
follows:
b.8.a. Voice coding at rates less than 2,400 bit/s;
b.8.b. Employing circuitry that incorporates ``user-accessible
programmability'' of digital ``signal processing'' circuits exceeding
the limits of 4A003.b.
c. ``Stored program controlled'' switching equipment and related
signaling systems, having any of the following characteristics,
functions or features, and specially designed components and
accessories therefor:
Note: Statistical multiplexers with digital input and digital
output which provide switching are treated as ``stored program
controlled'' switches.
c.1. ``Data (message) switching'' equipment or systems designed for
``packet-mode operation'' and assemblies and components therefor,
n.e.s.
c.2. Containing ``Integrated Services Digital Network'' (ISDN)
functions and having any of the following:
c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a
``digital transfer rate'' at the highest multiplex level exceeding
192,000 bit/s, including the associated signaling channel (e.g., 2B+D);
or
c.2.b. The capability that a signaling message received by a switch
on a given channel that is related to a communication on another
channel may be passed through to another switch.
Note: 5A991.c does not preclude the evaluation and appropriate
actions taken by the receiving switch or unrelated user message
traffic on a D channel of ISDN.
c.3. Routing or switching of ``datagram'' packets;
c.4. Routing or switching of ``fast select'' packets;
Note: The restrictions in 5A991.c.3 and c.4 do not apply to
networks restricted to using only ``network access controllers'' or
to ``network access controllers'' themselves.
c.5. Multi-level priority and pre-emption for circuit switching;
Note: 5A991.c.5 does not control single-level call preemption.
c.6. Designed for automatic hand-off of cellular radio calls to
other cellular switches or automatic connection to a centralized
subscriber data base common to more than one switch;
c.7. Containing ``stored program controlled'' digital crossconnect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per port.
c.8. ``Common channel signaling'' operating in either non-
associated or quasi-associated mode of operation;
c.9. ``Dynamic adaptive routing'';
c.10. Being packet switches, circuit switches and routers with
ports or lines exceeding any of the following:
c.10.a. A ``data signaling rate'' of 64,000 bit/s per channel for a
``communications channel controller''; or
Note: 5A991.c.10.a does not control multiplex composite links
composed only of communication channels not individually controlled
by 5A991.b.1.
c.10.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network
access controller'' and related common media;
Note: 5A991.c.10 does not control packet switches or routers
with ports or lines not exceeding the limits in 5A991.c.10.
c.11. ``Optical switching'';
c.12. Employing ``Asynchronous Transfer Mode (``ATM'') techniques.
d. Optical fibers and optical fiber cables of more than 50 m in
length designed for single mode operation;
e. Centralized network control having all of the following
characteristics:
e.1. Receives data from the nodes; and
e.2. Process these data in order to provide control of traffic not
requiring operator decisions, and thereby performing ``dynamic adaptive
routing'';
Note: 5A991.e does not preclude control of traffic as a function
of predictable statistical traffic conditions.
[[Page 59729]]
f. Phased array antennae, operating above 10.5 GHz, containing
active elements and distributed components, and designed to permit
electronic control of beam shaping and pointing, except for landing
systems with instruments meeting International Civil Aviation
Organization (ICAO) standards (microwave landing systems (MLS)).
g. Mobile communications equipment, n.e.s., and assemblies and
components therefor; or
h. Radio relay communications equipment designed for use at
frequencies equal to or exceeding 19.7 GHz and assemblies and
components therefor, n.e.s.
5E001 ``Technology'', (see List of Items Controlled).
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: Technology defined in 5E001.b.1, 5E001.b.2,
5E001.b.4, or 5E001.c for use on board satellites is subject to the
export licensing authority of the Department of State, Office of
Defense Trade Controls (22 CFR part 121). 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 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''; or
c.4. Radio equipment having any of the following:
c.4.a. Quadrature-amplitude-modulation (QAM) techniques above level
128; or
c.4.b. Operating at input or output frequencies exceeding 31GHz; 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 signaling'' operating in
either non-associated or quasi-associated mode of operation.
* * * * *
8. Supplement No. 1 to part 774, Category 6 (Sensors and Lasers),
is amended by:
a. Revising the License Requirements section, and the Related
Controls and Related Definitions paragraphs in the List of Items
Controlled section of ECCN 6A002;
b. Revising ECCNs 6A008, 6A998, 6D001, 6D002, 6D991, 6E001, 6E002,
and 6E991; and
c. Revising the Related Controls paragraph in the List of Items
Controlled section of ECCNs 6A004 and 6D104, to read as follows:
6A002 Optical sensors.
License Requirements
Reason for Control: NS, MT, CC, RS, AT, UN.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
MT applies to optical detectors in MT Column 1.
6A002.a.1, a.3, and .e that are
specially designed or rated as
electromagnetic (including ``lasers'')
and ionized particle radiation
resistant.
RS applies to 6A002.a.1, a.2, a.3, .c, RS Column 1.
and .e.
CC applies to police-model infrared CC Column 1.
viewers in 6A002.c.
AT applies to entire entry............. AT Column 1.
UN applies to 6A002.a.1, a.2 a.3 and c. Rwanda; Federal Republic of
Yugoslavia (Serbia and
Montenegro).
UN applies to 6A002.................... Federal Republic of Yugoslavia
(Serbia and Montenegro).
------------------------------------------------------------------------
License Requirement Notes: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions.
List of Items Controlled
Unit: * * *
Related Controls: The following commodities are subject to the
export licensing authority of U.S. Department of State, Office of
Defense Trade Controls (22 CFR part 121): 1.) ``Image intensifiers''
defined in 6A002.a.2 and ``focal plane arrays'' defined in 6A002.a.3
specially designed, modified, or configured for military use and not
part of civil equipment; 2.) ``Space qualified'' solid-state detectors
defined in 6A002.a.1, ``space qualified'' imaging sensors (e.g.,
``monospectral imaging sensors'' and ``multispectral imaging sensors'')
defined in 6A002.b.2.b.1, and ``space qualified'' cryocoolers defined
in 6A002.d.1, unless, on or after September 23, 2002, the Department of
State issues a commodity jurisdiction determination assigning the
export licensing authority to the Department of Commerce, Bureau of
Industry and Security. See also 6A102, 6A202, and 6A992
Note: Exporters may apply for a commodity jurisdiction request
with the Department of State, Office of Defense Trade Controls for
``space qualified'' solid-state detectors defined in 6A002.a.1 and
imaging sensors (e.g., ``monospectral imaging sensors'' and
``multispectral imaging sensors'') defined in 6A002.b.2.b.1 that may
have predominant civil application(s).
Related Definitions: N/A
Items:
* * * * *
[[Page 59730]]
6A004 Optics.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: ``Space qualified'' components for optical
systems defined in 6A004.c and optical control equipment defined in
6A004.d.1 are subject to the export licensing authority of the
Department of State, Office of Defense Trade Controls (22 CFR part
121). See also 6A994
Related Definitions: * * *
Items: * * *
* * * * *
6A008 Radar Systems, Equipment and Assemblies Having Any of the
Characteristics (See List of Items Controlled), and Specially Designed
Components Therefor.
License Requirements
Reason for Control: NS, MT, RS, AT.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
MT applies to items that are designed MT Column 1.
for airborne applications and that are
usable in systems controlled for MT
reasons.
RS applies to 6A008.j.1................ RS Column 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.
License Exceptions
LVS: $5000; N/A for MT and for 6A008.j.1 and 6A008.1.3
GBS: Yes, for 6A008.b, .c, and l.1 only.
CIV: Yes, for 6A008.b, .c, and l.1 only.
List of Items Controlled
Unit: $ value.
Related Controls: This entry does not control: Secondary
surveillance radar (SSR); Car radar designed for collision prevention;
Displays or monitors used for Air Traffic Control (ATC) having no more
than 12 resolvable elements per mm; Meteorological (weather) radar. See
also 6A108 and 6A998. ECCN 6A998 controls, inter alia, the LIDAR
equipment excluded by the note to paragraph j of this ECCN (6A008).
Related Definitions: N/A.
Items:
a. Operating at frequencies from 40 GHz to 230 GHz and having an
average output power exceeding 100 mW;
b. Having a tunable bandwidth exceeding +/-6.25% of the center
operating frequency;
Technical Note: The center operating frequency equals one half
of the sum of the highest plus the lowest specified operating
frequencies.
c. Capable of operating simultaneously on more than two carrier
frequencies;
d. Capable of operating in synthetic aperture (SAR), inverse
synthetic aperture (ISAR) radar mode, or sidelooking airborne (SLAR)
radar mode;
e. Incorporating ``electronically steerable phased array
antennae'';
f. Capable of heightfinding non-cooperative targets;
Note: 6A008.f does not control precision approach radar (PAR)
equipment conforming to ICAO standards.
g. Specially designed for airborne (balloon or airframe mounted)
operation and having Doppler ``signal processing'' for the detection of
moving targets;
h. Employing processing of radar signals using any of the
following:
h.1. ``Radar spread spectrum'' techniques; or
h.2. ``Radar frequency agility'' techniques;
i. Providing ground-based operation with a maximum ``instrumented
range'' exceeding 185 km;
Note: 6A008.i does not control:
a. Fishing ground surveillance radar;
b. Ground radar equipment specially designed for en route air
traffic control, provided that all the following conditions are met:
1. It has a maximum ``instrumented range'' of 500 km or less;
2. It is configured so that radar target data can be transmitted
only one way from the radar site to one or more civil ATC centers;
3. It contains no provisions for remote control of the radar
scan rate from the en route ATC center; and
4. It is to be permanently installed;
c. Weather balloon tracking radars.
j. Being ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment, having any of the following:
j.1. ``Space-qualified''; or
j.2. Employing coherent heterodyne or homodyne detection techniques
and having an angular resolution of less (better) than 20 [mu]r
(microradians);
Note: 6A008.j does not control LIDAR equipment specially
designed for surveying or for meteorological observation.
k. Having ``signal processing'' sub-systems using ``pulse
compression'', with any of the following:
k.1. A ``pulse compression'' ratio exceeding 150; or
k.2. A pulse width of less than 200 ns; or
1. Having data processing sub-systems with any of the following:
1.1. ``Automatic target tracking'' providing, at any antenna
rotation, the predicted target position beyond the time of the next
antenna beam passage;
Note: 6A008.1.1 does not control conflict alert capability in
ATC systems, or marine or harbor radar.
1.2. Calculation of target velocity from primary radar having non-
periodic (variable) scanning rates;
1.3. Processing for automatic pattern recognition (feature
extraction) and comparison with target characteristic data bases
(waveforms or imagery) to identify or classify targets; or
1.4. Superposition and correlation, or fusion, of target data from
two or more ``geographically dispersed'' and ``interconnected radar
sensors'' to enhance and discriminate targets.
Note: 6A008.1.4 does not control systems, equipment and
assemblies designed for marine traffic control.
* * * * *
6A998 Radar Systems, Equipment and Assemblies, n.e.s., (See List of
Items Controlled), and Specially Designed Components Therefor.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
RS applies to paragraph .b............. RS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: N/A.
Related Definitions: N/A.
Items:
a. Airborne radar equipment, n.e.s., and specially designed
components therefor.
b. ``Space-qualified'' ``laser'' radar or Light Detection and
Ranging (LIDAR) equipment specially designed for surveying or for
meteorological observation.
* * * * *
6D001 ``Software'' Specially Designed for the ``Development'' or
``Production'' of Equipment Controlled by 6A004, 6A005, 6A008, or
6B008.
License Requirements
Reason for Control: NS, MT, NP, RS, AT.
[[Page 59731]]
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``software'' for NS Column 1.
equipment controlled by 6A004, 6A005,
6A008 or 6B008.
MT applies to ``software'' for MT Column 1.
equipment controlled by 6A008 or 6B008
for MT reasons.
NP applies to ``software'' for NP Column 1.
equipment controlled by 6A005 for NP
reasons.
RS applies to ``software'' for RS Column 1.
equipment controlled by 6A008.j.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.
License Exceptions
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ``Software'' specially designed for the ``development'' or
``production'' of ``space qualified'' ``laser'' radar or Light
Detection and Ranging (LIDAR) equipment defined in 6A008.j.1; or
(3) Exports or reexports to destinations outside of Austria,
Belgium, Canada, Denmark, Finland, France, Germany, Greece, Ireland,
Italy, Japan, Luxembourg, the Netherlands, Portugal, Spain, Sweden, or
the United Kingdom of ``software'' specially designed for the
``development'' or ``production'' of equipment controlled by 6A008.1.3
or 6B008.
List of Items Controlled
Unit: $ value.
Related Controls: ``Software'' specially designed for the
``development'' or ``production'' of ``space qualified'' components for
optical systems defined in 6A004.c and ``space qualified'' optical
control equipment defined in 6A004.d.1 is subject to the export
licensing authority of the Department of State, Office of Defense Trade
Controls (22 CFR part 121). See also 6D991, and ECCNs 6E001
(``development'') and 6E102 (``use'') for ``technology'' for items
controlled under this entry.
Related Definitions: N/A.
Items:
The list of items controlled is contained in the ECCN heading.
* * * * *
6D002 ``Software'' specially designed for the ``use'' of equipment
controlled by 6A002.b, 6A008, or 6B008.
License Requirements
Reason for Control: NS, MT, RS, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
MT applies to ``software'' for MT Column 1.
equipment controlled by 6A008 or 6B008
for MT reasons.
RS applies to ``software'' for RS Column 1.
equipment controlled by 6A008.j.1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes, except N/A for the following
(1) Items controlled for MT reasons; or
(2) ``Software'' specially designed for the ``use'' of ``space
qualified'' ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment defined in 6A008.j.1.
List of Items Controlled
Unit: $ value.
Related Controls: ``Software'' specially designed for the ``use''
of ``space qualified'' imaging sensors (e.g., ``monospectral imaging
sensors'' and``multispectral imaging sensors'') defined in
6A002.b.2.b.1 is subject to the export licensing authority of the
Department of State, Office of Defense Trade Controls (22 CFR part
121), unless, on or after September 23, 2002, the Department of State
issues a commodity jurisdiction determination assigning the export
licensing authority to the Department of Commerce, Bureau of Industry
and Security. ``Software'' specially designed for the ``use'' of
``space qualified'' LIDAR equipment specially designed for surveying or
for meteorological observation, released from control under the note in
6A008.j, is controlled in 6D991. See also 6D102, 6D991, and 6D992
Related Definitions: N/A.
Items:
The list of items controlled is contained in the ECCN heading.
* * * * *
6D104 ``Software'' Specially Designed for the ``use'' of Equipment
Controlled by 6A002, 6A003, 6A007, 6A102, and 6B108, for MT Reasons.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: ``Software'' specially designed for the ``use''
of ``space qualified'' solid-state (optical) detectors defined in
6A002.a.1 is subject to the export licensing authority of the
Department of State, Office of Defense Trade Controls (22 CFR part
121), unless, on or after September 23, 2002, the Department of State
issues a commodity jurisdiction determination assigning the export
licensing authority to the Department of Commerce, Bureau of Industry
and Security.
Related Definitions: * * *
Items: * * *
* * * * *
6D991 ``Software'' Specially Designed for the ``Development'',
``Production'', or ``Use'' of Equipment Controlled by 6A002.e, 6A991,
6A996, 6A997, or 6A998.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
RS applies to ``software'' for RS Column 1.
equipment controlled by 6A002.e or
6A998.b.
AT applies to entire entry, except AT Column 1.
``software'' for equipment controlled
by 6A991.
AT applies to ``software'' for AT Column 2.
equipment controlled by 6A991.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value.
Related Controls: N/A.
Related Definitions: N/A.
Items:
The list of items controlled is contained in the ECCN heading.
6E001 ``Technology'' According to the General Technology Note for the
``Development'' of Equipment, Materials or ``Software'' Controlled by
6A (Except 6A018, 6A991, 6A992, 6A994, 6A995, 6A996, 6A997, or 6A998),
6B (Except 6B995), 6C (Except 6C992 or 6C994), or 6D (Except 6D991,
6D992, or 6D993).
License Requirements
Reason for Control: NS, MT, NP, RS, CC, AT, UN
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1.
controlled by 6A001 to 6A008, 6B004 to
6B008, 6C002 to 6C005, or 6D001 to
6D003.
[[Page 59732]]
MT applies to ``technology'' for items MT Column 1.
controlled by 6A002, 6A007, 6A008,
6A102, 6A107, 6A108, 6B008, 6B108,
6D001, 6D002, 6D102 or 6D103 for MT
reasons.
NP applies to ``technology'' for items NP Column 1.
controlled by 6A003, 6A005, 6A202,
6A203, 6A205, 6A225, 6A226 or 6D001
for NP reasons.
RS applies to ``technology'' for RS Column 1.
equipment controlled by 6A002.a.1,
.a.2, .a.3, .c, or .e, 6A003.b.3 or
.b.4, or 6A008.j.1.
CC applies to ``technology'' for CC Column 1.
equipment controlled by 6A002 for CC
reasons.
AT applies to entire entry............. AT Column 1.
UN applies to ``technology'' for Rwanda; Federal Republic of
equipment controlled by 6A002 or 6A003 Yugoslavia (Serbia and
for UN reasons. Montenegro).
------------------------------------------------------------------------
License Requirement Notes: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ``Technology'' for commodities controlled by 6A002.e, 6A004.e,
or 6A008.j.1;
(3) ``Technology'' for ``software'' specially designed for ``space
qualified'' ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment defined in 6A008.j.1 and controlled by 6D001 or 6D002; or
(4) Exports or reexports to destinations outside of Austria,
Belgium, Canada, Denmark, Finland, France, Germany, Greece, Ireland,
Italy, Japan, Luxembourg, the Netherlands, Portugal, Spain, Sweden, or
the United Kingdom of ``technology'' for the ``development'' of the
following: (a) Items controlled by 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.5, 6A001.a.2.b, 6A001.a.2.e., 6A002.a.1.c, 6A008.l.3,
6B008, 6D003.a; (b) Equipment controlled by 6A001.a.2.c or 6A001.a.2.f
when specially designed for real time applications; or (c) ``Software''
controlled by 6D001 and specially designed for the ``development'' or
``production'' of equipment controlled by 6A008.l.3 or 6B008.
List of Items Controlled
Unit: N/A
Related Controls: ``Technology'' according to the General
Technology Note for the ``development'' of the following commodities is
subject to the export licensing authority of the Department of State,
Office of Defense Trade Controls (22 CFR part 121): ``Space qualified''
(1.) Components for optical systems defined in 6A004.c and optical
control equipment defined in 6A004.d.1.; (2.) Solid-state detectors
defined in 6A002.a.1, ``imaging sensors'' (e.g., ``monospectral imaging
sensors'' and ``multispectral imaging sensors'') defined in
6A002.b.2.b.1, and cryocoolers defined in 6A002.d.1 unless on or after
September 23, 2002, the Department of State issues a commodity
jurisdiction determination assigning the export licensing authority to
the Department of Commerce, Bureau of Industry and Security. See also
6E101, 6E201, and 6E991.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
6E002 ``Technology'' According to the General Technology Note for the
``Production'' of Equipment or Materials Controlled by 6A (Except
6A018, 6A991, 6A992, 6A994, 6A995, 6A996, 6A997 or 6A998), 6B (Except
6B995) or 6C (Except 6C992 or 6C994).
License Requirements
Reason for Control: NS, MT, NP, RS, AT, CC, UN
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``technology'' for NS Column 1.
equipment controlled by 6A001 to
6A008, 6B004 to 6B008, or 6C002 to
6C005.
MT applies to ``technology'' for MT Column 1.
equipment controlled by 6A002, 6A007,
6A008, 6A102, 6A107, 6A108, 6B008, or
6B108 for MT reasons.
NP applies to ``technology'' for NP Column 1.
equipment controlled by 6A003, 6A005,
6A202, 6A203, 6A205, 6A225 or 6A226
for NP reasons.
RS applies to ``technology'' for RS Column 1.
equipment controlled by 6A002.a.1,
.a.2, .a.3, .c or .e, 6A003.b.3 or
.b.4, or 6A008.j.1.
CC applies to ``technology'' for CC Column 1.
equipment controlled by 6A002 for CC
reasons.
AT applies to entire entry............. AT Column 1.
UN applies to ``technology'' for Rwanda; Federal Republic of
equipment controlled by 6A002 or 6A003 Yugoslavia (Serbia and
for UN reasons. Montenegro)
------------------------------------------------------------------------
License Requirement Notes: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ``Technology'' for commodities controlled by 6A002.e, 6A004.e,
6A008.j.1; or
(3) Exports or reexports to destinations outside of Austria,
Belgium, Canada, Denmark, Finland, France, Germany, Greece, Ireland,
Italy, Japan, Luxembourg, the Netherlands, Portugal, Spain, Sweden, or
the United Kingdom of ``technology'' for the ``development'' of the
following: (a) Items controlled by 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.5, 6A001.a.2.b, and 6A001.a.2.c; and (b) Equipment
controlled by 6A001.a.2.e and 6A001.a.2.f when specially designed for
real time applications; or (c) ``Software'' controlled by 6D001 and
specially designed for the ``development'' or ``production'' of
equipment controlled by 6A002.a.1.c, 6A008.l.3 or 6B008.
List of Items Controlled
Unit: N/A
Related Controls: ``Technology'' according to the General
Technology Note for the ``production'' of the following commodities is
subject to the export licensing authority of the Department of State,
Office of Defense Trade Controls (22 CFR part 121) when intended for
use on a satellite: ``Space qualified'' (1.) Components for optical
systems defined in 6A004.c and optical control equipment defined in
6A004.d.1.; (2.) Solid-state detectors defined in 6A002.a.1, ``imaging
sensors'' (e.g., ``monospectral imaging sensors'' and ``multispectral
imaging sensors'') defined in 6A002.b.2.b.1, and cryocoolers defined in
6A002.d.1 unless on or after September 23, 2002, the Department of
State issues a commodity jurisdiction determination assigning the
export licensing authority to the Department of Commerce, Bureau of
Industry and Security. See also 6E992.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
* * * * *
[[Page 59733]]
6E991 ``Technology'' for the ``Development'', ``Production'' or ``Use''
Equipment Controlled by 6A991, 6A996, 6A997, or 6A998.
License Requirements
Reason for Control: RS, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
RS applies to ``technology'' for RS Column 1.
equipment controlled by 6A998.b.
AT applies to entire entry except AT Column 1.
``technology'' for equipment
controlled by 6A991.
AT applies to ``technology'' for AT Column 2.
equipment controlled by 6A991.
------------------------------------------------------------------------
License Exceptions
CIV: N/A.
TSR: N/A.
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.
Dated: September 12, 2002.
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 02-23713 Filed 9-20-02; 8:45 am]
BILLING CODE 3510-33-P