[Federal Register Volume 68, Number 43 (Wednesday, March 5, 2003)]
[Rules and Regulations]
[Pages 10586-10608]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-4788]



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Part II





Department of Commerce





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Bureau of Industry and Security



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15 CFR Parts 740, 743, 772, and 774



Implementation of the 2002 Wassenaar Arrangement List of Dual-Use 
Items: Revisions to Categories 2, 3, 4, 5, 6, 7, 8, and 9 of the 
Commerce Control List, General Software Note, and Reporting 
Requirements; Final Rule

  Federal Register / Vol. 68, No. 43 / Wednesday, March 5, 2003 / Rules 
and Regulations  

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 740, 743, 772, and 774

[Docket No. 030127020-3020-01]
RIN 0694-AC65


Implementation of the 2002 Wassenaar Arrangement List of Dual-Use 
Items: Revisions to Categories 2, 3, 4, 5, 6, 7, 8, and 9 of the 
Commerce Control List, General Software Note, and Reporting 
Requirements

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: The Bureau of Industry and Security (BIS) 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 2, 3, 4, 
5 Part I (telecommunications), 5 Part II (information security), 6, 7, 
8, 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 February 2002 meeting (and finalized in 
May 2002) and to make necessary revisions to reporting requirements, 
definitions, and the General Technology and Software Notes. The changes 
that affected microprocessors were published in a separate rule on 
January 14, 2003 (68 FR 1796).

EFFECTIVE DATE: This rule is effective: March 5, 2003.

FOR FURTHER INFORMATION CONTACT: Patricia Muldonian, Office of 
Strategic Trade and Foreign Policy Controls, Bureau of Industry and 
Security, U.S. Department of Commerce at (202) 482-5400.

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 rule makes the following amendments to the list of items 
ineligible for export or reexport under License Exception GOV, to 
conform with revisions to the Wassenaar Arrangement's Annex 2 of the 
List of Dual-Use Goods and Technologies:
    [sbull] For exports and reexports of commodities and software to 
the International Atomic Energy Agency (IAEA) and the European Atomic 
Energy Community (EURATOM), reexports by IAEA and EURATOM for official 
international safeguard use:
    (1) The following items are removed from the list of ineligible 
commodities and software: 1C012 (because commodities classified as 
1C012 are under Department of State jurisdiction and must comply with 
the International Traffic in Arms Regulations (ITAR)), 9A011 (because 
commodities classified as 9A011 are under Department of State 
jurisdiction and must comply with the ITAR), 9D002 (because the 
ineligible software is under State Department jurisdiction as it 
pertains to production software for 9A011, which is under Department of 
State jurisdiction and must comply with ITAR), and 9D004 (because this 
software has been removed from Annex 2 of the Wassenaar Arrangement 
List of Dual-Use Goods and Technologies List);
    (2) The following items are revised within the list of ineligible 
commodities and software:
    (a) Narrowed the scope of 4D001 to only include software specially 
designed for the development or production of digital computers 
controlled by 4A003.b and having a CTP exceeding 190,000 MTOPS;
    (b) Added Note that applies to paragraph 740.11(a)(2)(iii) that 
reads as follows: ``Nationals of countries in Country Group E:1 may not 
physically or computationally access computers that have been enhanced 
by ``electronic assemblies'', which have been exported or reexported 
under License Exception GOV and have been used to enhance such 
computers by aggregation of ``computing elements'' so that the CTP of 
the aggregation exceeds the CTP parameter set forth in ECCN 4A003.b. of 
the Commerce Control List in Supplement No. 1 to part 774 of the EAR, 
without prior authorization from the Bureau of Industry and Security.''
    (c) Revised references to 5A001.b.4 to read 5A001.b.5, because the 
paragraph was redesignated in 5A001;
    (d) Clarified the scope of 5D001.a; and
    (e) Clarified the scope of 9D001 to harmonize with those items 
removed from the list of ineligible items.
    (3) Added processing equipment, specially designed for real time 
application bottom or bay cable systems controlled by 6A001.a.2.f to 
the list of ineligible commodities.
    [sbull] For exports or reexports of items for official use within 
national territory by agencies of cooperating governments, and exports 
and reexports of items for diplomatic and consular missions of a 
cooperating government located in any country in Country Group B:
    (1) The following items are removed from the list of ineligible 
commodities and software: 1C012 (because commodities classified as 
1C012 are under Department of State jurisdiction and must comply with 
the International Traffic in Arms Regulations (ITAR)), 9A011 (because 
commodities classified as 9A011 are under Department of State 
jurisdiction and must comply with the ITAR), 9D002 (because the 
ineligible software is under State Department jurisdiction as it 
pertains to production software for 9A011, which is under Department of 
State jurisdiction and must comply with ITAR), and 9D004 (because this 
software has been removed from Annex 2 of the Wassenaar Arrangement 
List of Dual-Use Goods and Technologies List);
    (2) The following items are revised within the list of ineligible 
commodities and software:
    (a) Narrowed the scope of 4D001 to only include software specially 
designed for the development or production of digital computers 
controlled by 4A003.b and having a CTP exceeding 190,000 MTOPS;
    (b) Revised references to 5A001.b.4 to read 5A001.b.5, because the 
paragraph was redesignated in 5A001;
    (c) Clarified the scope of 5D001.a;
    (d) Clarified the scope of 9D001 to harmonize with those items 
removed from the list of ineligible items;
    (e) Narrowed the scope of 1E001 by removing 1C012; and

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    (f) Narrowed the scope of 9E001 by removing 9A011 and 9D002.
    (3) Added processing equipment, specially designed for real time 
application bottom or bay cable systems controlled by 6A001.a.2.f to 
the list of ineligible commodities.
    (4) Added 4E001, specially designed for the ``development'' or 
``production'' of ``digital computers'' controlled by 4A003.b and 
having a CTP exceeding 190,000 MTOPS to the list of ineligible 
technology; and
    (5) Removed 9E002 from the list of ineligible technology.
    [sbull] This rule clarifies the scope of Wassenaar reporting 
requirements that apply to License Exception GOV, and makes the 
following amendments to the Wassenaar Reporting Requirements in section 
743.1 of the EAR to conform with changes made to the Wassenaar 
Arrangement's Annex 1 of the List of Dual-Use Goods and Technologies.
    (1) This rule removes Wassenaar reporting requirements from part 
743 for the following: 2B001.a, .b., .d, and .f; 4A001.b; and 4A003.b 
and .c.
    (2) This rule revises the scope of Wassenaar reporting requirements 
under part 743 for the following: 1D002, 1E001, 2D001, 2E001, 2E002, 
3D001, 3E001, 4D001, 4E001, 5B001, 5D001.a, 5D001.b, 5E001.a, 
6A001.a.1.b, 6A006.g, 6D001, 6E001, 6E002, 8A002.b, 8A002.o.3, 8D001, 
8E001, 9D001, and 9D002.
    (3) This rule adds Wassenaar reporting requirements under part 743 
for 9E003.a.1.
    [sbull] This rule amends section 772.1 by:
    (1) Adding new entries for: ``Circulation-controlled, anti-torque 
or circulation-controlled direction control systems'' and ``Time-
modulated ultra-wideband'';
    (2) Removing the entries ``Assembly'', ``Beat length'', 
``Circulation'', ``Global interrupt latency time'', ``Fluoride 
fibers'', ``Gateway'', ``ISDN'', ``Integrated Services Digital 
Network'', ``Network access controller'', ``Optical fiber preforms'', 
and ``Sputtering'', and adding them to the Related Definitions sections 
of the appropriate ECCNs within the CCL;
    (3) Revising the phrase ``Only those'' to read ``those'' in the 
entry ``civil aircraft'';
    (4) Revising the phrase ``arithmetic logic'' to read ``arithmetic 
or logic'' in the entry ``computing element'';
    (5) Revising the entry for ``electronically steerable phased array 
antenna'' to harmonize with the definition in the Wassenaar Arrangement 
List;
    (6) Revising the phrase ``End-effectors'' include grippers,'' to 
read ``Grippers,'' in the entry for ``end-effectors'';
    (7) Revising the phrase ``(f2-- f\1\)'' to read 
``(f2--f1) in the entry ``noise level'';
    (8) Revising the entry heading ``Systems tracks'' to read ``System 
tracks''; and
    (9) Revising the phrase ``product ``X'' that does not operate'' to 
read ``product ``X'' that operates'', and the word ``extending'' to 
read ``exceeding'' in the entry ``Required''.
    This rule revises a number of national security controlled entries 
on the Commerce Control List (CCL) to conform with February 2002 
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 2--Materials Processing

    [sbull] ECCN 2A001 is amended by revising:
    (a) Paragraph 2A001.a in the List of Items Controlled section to:
    (1) Add ``all'' before ``tolerances'';
    (2) Add ``both'' before ``rings''; and
    (3) Replace ``balls or rollers'' with ``and rolling elements (ISO 
5593)''; and
    (b) Paragraph 2A001.b in the List of Items Controlled section to 
add ``all'' before ``tolerances''.
    [sbull] ECCN 2B001 is amended by:
    (a) Removing the License Requirements Notes referring to the 
Wassenaar reporting requirement in the License Requirements section; 
and
    (b) Revising the Notes for 2B001.c by removing notes 3 and 4, and 
renumbering subsequent paragraphs.
    [sbull] ECCN 2B003 is amended by revising the word ``controllers'' 
to read ``controls'' in the heading.
    [sbull] ECCN 2B006 is amended by:
    (a) Revising paragraph 2B006.b.1 in the List of Items Controlled 
section to add ``displacement'' after ``linear'';
    (b) Adding a Technical Note after paragraph 2B006.b.1 that defines 
``linear displacement''; and
    (c) Revising paragraph 2B006.b.2 in the List of Items Controlled 
section to add ``displacement'' after ``angular''.

Category 3--Electronics

    [sbull] ECCN 3A001 is amended by:
    (a) Revising the parameter for paragraph 3A001.a.7.b (basic gate 
propagation delay time) from 0.40 ns to .1 ns; and
    (b) Adding a Note 2 after 3A001.b.1 that explains that 3A001.b.1 
does not control non-``space-qualified'' tubes which meet all of the 
characteristics in the new note.
    [sbull] ECCN 3A002 is amended by:
    (a) Adding a clarification note in the Related Definitions 
paragraph of the List of Items Controlled section; and
    (b) Adding the words ``radio frequency'' before ``signal 
analyzers'' in paragraph 3A002.c.
    [sbull] ECCN 3B001 (this change is from the Wassenaar 2000 
agreements) is amended by:
    (a) Revising the heading to add the phrase ``as follows (see List 
of Items Controlled)'';
    (b) Modifying 3B001.c controls over etch equipment in order to 
control such equipment based on its capabilities rather than its 
characteristics. Specifically, for 3B001.c.1 and c.2, paragraph a. and 
b. have been redrafted.
    (c) Modifying 3B001.d controls for CVD equipment in order to 
control such equipment based on its capabilities rather than its 
characteristics.
    [sbull] ECCN 3B991 is amended by moving the definition for 
``sputtering'' from section 772.1 of the EAR to the Related Definitions 
section of this entry, and exchanging the double quotes around the term 
to single quotes in the list of items controlled.
    [sbull] ECCN 3C004 is amended by revising and moving the related 
control note to the list of items controlled section of this entry to 
harmonize with the Wassenaar Dual-Use List.
    [sbull] ECCNs 3E001 and 3E002 are amended by revising the parameter 
in the Technical Note from ``two metal layers'' to ``three metal 
layers'' and from ``two polysilicon layers'' to ``three polysilicon 
layers''. In addition, the heading to 3E002 is revised to harmonize 
with Wassenaar.
    [sbull] ECCN 3E003 is amended by adding a new paragraph 3E003.g to 
control electronic vacuum tubes operating at frequencies of 31 GHz or 
higher; and adding a sentence in the Related Controls paragraph of the 
List of Items Controlled section to read: Technology for the 
``development'' or ``production'' of ``space qualified'' electronic 
vacuum tubes operating at frequencies of 31 GHz or higher, described in 
3E003.g, is under the export license authority of the Department of 
State, Office of Defense Trade Controls (22 CFR part 121)

Category 4--Computers

    [sbull] ECCN 4A003 is amended by removing paragraph 4A003.d, 
graphics accelerators and graphics coprocessors; and removing the 
License Requirements Note that referred to a Wassenaar reporting 
requirement.
    [sbull] ECCN 4D003 is amended by removing paragraph 4D003.d, 
operating

[[Page 10588]]

systems specially designed for ``real time processing'' equipment; and 
removing the License Requirements Note that referred to a Wassenaar 
reporting requirement.
    [sbull] ECCN 4D993 is amended by revising the heading and paragraph 
4D993.c to harmonize with the revisions made to 4D003, including 
revising the ``global interrupt latency time'' from ``less than 30'' to 
``less than 20 microseconds'' to maintain AT controls on this software. 
In addition, the definition for ``global interrupt latency time'' has 
been moved from section 772.1 of the EAR to the Related Definition 
section of this ECCN.

Category 5--Part I--Telecommunications

    [sbull] ECCN 5A001 is amended by adding a new paragraph 5A001.b.4, 
to add ``radio equipment employing ``time-modulated ultra-wideband'' 
techniques, having user programmable channelizing or scrambling codes'' 
to the list of items controlled under 5A001; and redesignate paragraphs 
5A001.b.4 through 5A001.b.5 as paragraphs 5A001.b.5 through 5A001.b.6.
    [sbull] ECCN 5A991 is amended by moving the definitions for 
``integrated services digital network'' (ISDN) and ``gateway'' from 
section 772.1 of the EAR to the Related Definitions section of this 
entry, and exchanging double quotes for single quotes around these 
terms in this entry.
    [sbull] ECCN 5B001 is amended by removing the words ``not using 
semiconductor `lasers' '' from the note for 5B001.a.
    [sbull] ECCN 5E001 is amended by harmonizing the TSR License 
Exception paragraph to harmonize with revisions made to 5A001.b; and 
revising the control language in 5E001.b.3 for the ``technology'' for 
the ``development'' of digital cellular radio systems.
    [sbull] ECCN 5E991 is amended by adding definitions for 
`Synchronous digital hierarchy' (`SDH') and `Synchronous optical 
network' (`SONET') to the Related Definitions paragraph of the List of 
Items Controlled section; and changing the double quotes to single 
quotes around these terms in 5E991.a.2.

Category 5--Part II--Information Security

    [sbull] ECCN 5A002 is amended by:
    (1) Revising the Heading to add ``as follows (see List of Items 
Controlled)'';
    (2) Revising the Related Controls paragraph in the List of Items 
Controlled section to add the phrase ``contents stored on'' to 
(d)(2)(a);
    (3) Adding a new paragraph 5A002.a.6, to control ``Systems, 
equipment, application specific ``electronic assemblies'', modules and 
integrated circuits for ``information security,'' and other specially 
designed components that are designed or modified to use cryptographic 
techniques to generate channelizing or scrambling codes for ``time-
modulated ultra-wideband'' systems; and by redesignating paragraphs 
5A002.a.6 and 5A002.a.7 as 5A002.a.7 and 5A002.a.8;
    [sbull] ECCN 5B002 is amended by removing the License Requirement 
Note referencing a Wassenaar reporting requirement.
    [sbull] ECCN 5E002 is amended by removing the License Requirement 
Note referencing a Wassenaar reporting requirement.

Category 6--Sensors

    [sbull] ECCN 6A001 is amended by:
    (1) Fixing the abbreviations for the various units of measurement 
in 6A001a.1.b, a.1.c., a.2.a.3, and the technical note after a.2.a.5; 
and
    (2) Removing the ``or'' at the end of 6A001.a.1.d.
    [sbull] ECCN 6A005 is amended by:
    (1) Revising the text ``having all'' to read ``having any'' in 
6A005.b.1;
    (2) Revising the text in 6A005.b.1.a that reads ``A wavelength of 
less than'' to read ``A wavelength equal to or less than'';
    (3) Revising the text in 6A005.b.1.a that describes the parameter 
for wavelength: from ``950 nm'' to ``1500 nm''; and
    (4) Revising the text in 6A005.b.1.a ``or more than 2000 nm; and'' 
to read ``and having an average or CW output power exceeding 1.5 W; 
or''.
    (5) Revising the text in 6A005.b.1.b ``An average or CW output 
power exceeding 100 mW'' to read ``A wavelength greater than 1510 nm, 
and having an average or CW output power exceeding 500 mW''
    [sbull] ECCN 6A008 is amended by revising the phrase ``any of the 
characteristics'' to read ``any of the following characteristics'' in 
the heading.
    [sbull] ECCN 6C992 has been revised by moving the definition for 
``beat length'' from section 772.1 of the EAR to the Related Definition 
section of this ECCN and exchanging the double quotes for single quotes 
around this term as it appears in this entry.
    [sbull] ECCN 6C994 has been revised by moving the definition for 
``fluoride fibers'' and ``optical fiber preforms'' from section 772.1 
of the EAR to the Related Definitions section of this ECCN, and 
exchanging the double quotes for single quotes around these terms as 
they appear in this entry.
    [sbull] ECCN 6D003 is amended by:
    (1) Harmonizing the text of 6D003.a.3 with that of the Wassenaar 
Arrangement; and
    (2) Adding paragraph 6D003.a.4, ``source code'' for the ``real time 
processing'' of acoustic data for passive reception using bottom or bay 
cable systems.

Category 7--Navigation and Avionics

    [sbull] ECCN 7A003 is amended by:
    (1) Adding the abbreviation (INS) after Inertial Navigation Systems 
in the heading and removing the detailed description of INS from the 
heading;
    (2) Adding the definition for ``Data-Based Referenced Navigation'' 
(``DBRN'') to the Related Definitions section;
    (3) Reformatting paragraphs 7A003.a and 7A003.b.;
    (4) Adding Technical Notes 1 and 2 after Note 2.
    [sbull] ECCN 7D002 is amended by harmonizing the heading text with 
that of the Wassenaar Arrangement.
    [sbull] ECCN 7D003 is amended by:
    (1) Adding the definition for ``Data-Based Referenced Navigation'' 
(``DBRN'') to the Related Definitions section;
    (2) Removing the text ``navigation data'' from the end of paragraph 
7D003.b;
    (3) Adding the word ``data'' after the word ``velocity'' in 
paragraph 7D003.b.1; and
    (4) Revising paragraph 7D003.b.3 from reading ``Terrain data from 
data bases'' to read ``Data from ``Data-Based Referenced Navigation'' 
(``DBRN'')''.

Category 8--Marine

    [sbull] ECCN 8A002 is amended by:
    (1) Revising the Related Controls paragraph of the List of Items 
Controlled section to include ``8A002 does not control closed and semi-
closed circuit (rebreathing) apparatus that is controlled under 
8A018.a. See also 8A992 for self-contained underwater breathing 
apparatus that is not controlled by 8A002 or released for control by 
the 8A002.q Note.''
    (2) Adding paragraph 8A002.q and the 8A002.q Note to harmonize with 
the Wassenaar Arrangement List.
    [sbull] ECCN 8A018 is amended by:
    (1) Revising the Related Controls paragraph of the List of Items 
Controlled section to include a reference to 8A002 and 8A992.
    (2) Revising the phrase in paragraph 8A018.a ``Closed and semi-
closed circuit (rebreathing) apparatus for diving and underwater 
swimming'' to read ``Closed and semi-closed circuit (rebreathing) 
apparatus specially designed for military use'', to harmonize with the 
Wassenaar Arrangement.

[[Page 10589]]

    [sbull] ECCN 8A992 is amended by revising the Related Controls 
paragraph of the List of Items Controlled section to include a 
reference to 8A002 and 8A018.

Category 9--Propulsion Systems

    [sbull] Adding a new entry: ECCN 9A012 ``Unmanned aerial vehicles * 
* * ''.
    [sbull] ECCN 9A120 is deleted and incorporating it into ECCN 9A012.
    [sbull] ECCNs 9D001 and 9D002 are amended by:
    (1) Revising the phrase ``Software required for'' to read 
``Software specially designed or modified for'' in the heading to 
harmonize with Wassenaar Arrangement text; and
    (2) Revising the License Requirement section of to harmonize with 
the incorporation of 9A120 into 9A012.
    [sbull] ECCN 9D003 is amended by Revising the phrase ``Software 
required for'' to read ``Software specially designed or modified for'' 
in the heading to harmonize with Wassenaar Arrangement text.
    [sbull] ECCN 9D102 is amended by revising the heading to harmonize 
with the incorporation of 9A120 into 9A012.
    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.
    In addition, this rule makes revisions to the Supplement No. 2 to 
part 774, General Technology and Software Notes to harmonize with the 
Wassenaar's Arrangements General Technology and Software Notes.
    Although the Export Administration Act expired on August 20, 2001, 
Executive Order 13222 of August 17, 2001 (66 FR 44025, August 22, 
2001), as extended by the Notice of August 14, 2002 (67 FR 53721, 
August 16, 2002), continues the 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 April 4, 2003. In addition, this rule 
revises the numbering and structure of certain entries on the Commerce 
Control List. For items under such entries and for June 3, 2003, BIS 
will accept license applications for items described either by the 
entries in effect immediately before March 5, 2003, 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, 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 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, PO Box 273, Washington, DC 20044.

List of Subjects

15 CFR Parts 740 and 743

    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 740, 743, 772, and 774 of the Export 
Administration Regulations (15 CFR parts 730-799) are amended as 
follows:

PART 740--[AMENDED]

    1. The authority citation for part 740 continues 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. Section 740.11 is amended by revising paragraph (a)(2), to read 
as follows:


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

* * * * *
    (a) * * *
    (2) The following items controlled for national security (NS) 
reasons under Export Control Classification Numbers (ECCNs) identified 
on the Commerce Control List may not be exported or reexported under 
this License Exception to destinations other than Austria, Belgium, 
Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy, 
Luxembourg, the Netherlands, Portugal, Spain, Sweden, and the United 
Kingdom: 1C001, 5A001.b.5, 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, 8A001.b., 
8A001.d., 8A002.o.3.b., ; and
    (i) ``Composite'' structures or laminates controlled by 1A002.a, 
having an organic ``matrix'' and made from materials listed under 
1C010.c or 1C010.d; and
    (ii) ``Digital'' computers controlled by 4A003.b and having a CTP 
exceeding 190,000 MTOPS; and
    (iii) ``Electronic assemblies'' controlled by 4A003.c and capable 
of enhancing performance by aggregation of ``computing elements'' so 
that the CTP of the aggregation exceeds 190,000 MTOPS; and

    Note
    to paragraph 740.11(a)(2)(iii): Nationals of countries in 
Country Group E:1 may not physically or computationally access 
computers that have been enhanced by ``electronic assemblies'', 
which have been exported or reexported under License Exception GOV 
and have been used to enhance such computers by aggregation of 
``computing elements'' so that the CTP of the

[[Page 10590]]

aggregation exceeds the CTP parameter set forth in ECCN 4A003.b. of 
the Commerce Control List in Supplement No. 1 to part 774 of the 
EAR, without prior authorization from the Bureau of Industry and 
Security.


    (iv) Processing equipment controlled by 6A001.a.2.c and specially 
designed for real time application with towed acoustic hydrophone 
arrays; and
    (v) Processing equipment, specially designed for real time 
application bottom or bay cable systems controlled; by 6A001.a.2.f; and
    (vi) ``Software'', as follows:
    (A) Controlled by 4D001, specially designed for the ``development'' 
or ``production'' of ``digital computers'' controlled by 4A003.b and 
having a CTP exceeding 190,000 MTOPS; and
    (B) Controlled by 5D001.a, specially designed for the 
``development'' or ``production'' of equipment, functions or features 
controlled by 5A001.b.5; and
    (C) Controlled by 6D001 for items controlled by 6A008.l.3 or 6B008; 
and
    (D) Controlled by 6D003.a; and
    (E) Controlled by 7D003.a or 7D003.b; and
    (F) Controlled by 8D001, specially designed for the ``development'' 
or ``production'' of equipment controlled by 8A001.b, 8A001.d, or 
8A002.o.3.b; and
    (G) Controlled by 9D001, specially designed for the ``development'' 
of ``technology'' controlled by 9E003.a.1 or 9E003.a.3.a.
* * * * *
    3. Supplement Number 1 to Sec.  740.11 is revised to read as 
follows:

Supplement No. 1 to Sec.  740.11--Additional Restrictions on Use of 
License Exception Gov

    (a) Items for official use within national territory by agencies 
of a Cooperating Government. License Exception GOV is available for 
all items consigned to and for the official use of any agency of a 
cooperating government within the territory of any cooperating 
government, except:
    (1) Items identified on the Commerce Control List as controlled 
for national security (NS) reasons under Export Control 
Classification Numbers (ECCNs) as follows for export or reexport to 
destinations other than Austria, Belgium, Canada, Denmark, Finland, 
France, Germany, Greece, Ireland, Italy, Luxembourg, the 
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001, 
5A001.b.5, 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, 8A001.b., 8A001.d., 
8A002.o.3.b., ; and
    (i) ``Composite'' structures or laminates controlled by 1A002.a, 
having an organic ``matrix'' and made from materials listed under 
1C010.c or 1C010.d; and
    (ii) [Reserved]
    (iii) [Reserved]
    (iv) Processing equipment controlled by 6A001.a.2.c and 
specially designed for real time application with towed acoustic 
hydrophone arrays; and
    (v) Processing equipment, specially designed for real time 
application bottom or bay cable systems controlled by 6A001.a.2.f;
and
    (vi) ``Software'', as follows:
    (A) Controlled by 4D001, specially designed for the 
``development'' or ``production'' of ``digital computers'' 
controlled by 4A003.b and having a CTP exceeding 190,000 MTOPS; and
    (B) Controlled by 5D001.a, specially designed for the 
``development'' or ``production'' of equipment, functions or 
features controlled by 5A001.b.5; and
    (C) Controlled by 6D001 for items controlled by 6A008.l.3 or 
6B008; and
    (D) Controlled by 6D003.a; and
    (E) Controlled by 7D003.a or 7D003.b; and
    (F) Controlled by 8D001, specially designed for the 
``development'' or ``production'' of equipment controlled by 
8A001.b, 8A001.d, or 8A002.o.3.b; and
    (G) Controlled by 9D001, specially designed for the 
``development'' of ``technology'' controlled by 9E003.a.1 or 
9E003.a.3.a.
    (vii) ``Technology'', as follows:
    (A) Controlled by 1E001 for items controlled by 1A002.a as 
described by paragraph (a)(1)(i) of this Supplement, or 1C001; and
    (B) Controlled by 4E001, specially designed for the 
``development'' or ``production'' of ``digital computers'' 
controlled by 4A003.b and having a CTP exceeding 190,000 MTOPS; and
    (C) Controlled by 5E001.a for the ``development'' or 
``production'' of digitally controlled radio receivers controlled by 
5A001.b.5; or 5D001.a for ``software'' specially designed for the 
``development'' or ``production'' of digitally controlled radio 
receivers controlled by 5A001.b.5; and
    (D) Controlled by 6E001 for the ``development'' of equipment or 
``software'' in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.5, 
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 
6A008.l.3, or 6B008, as described in paragraph (a)(1) of this 
Supplement; and
    (E) Controlled by 6E002 for the ``production'' of equipment 
controlled by 6A001.a.2.a.1, 6A001.a.25.a.2, 6A001.a.2.a.5, 
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 
6A008.l.3, or 6B008, as described in paragraph (a)(1) of this 
Supplement; and
    (F) Controlled by 8E001 for items controlled by 8A001.b, 
8A002.o.3.b, or 8A001.d; and
    (G) Controlled by 9E001 for items controlled by 9D001; and
    (H) [Reserved]
    (I) Controlled by 9E003.a.1; and
    (J) Controlled by 9E003.a.3.a;
    (2) Items identified on the Commerce Control List as controlled 
for missile technology (MT), chemical and biological warfare (CB), 
or nuclear nonproliferation (NP) reasons;
    (3) Regional stability items controlled under Export Control 
Classification Numbers (ECCNs) 6A002, 6A003, 6E001, 6E002, 7D001, 
7E001, 7E002, and 7E101 as described in Sec.  742.6(a)(1) of the 
EAR; or
    (4) Encryption items controlled for EI reasons as described in 
the Commerce Control List.
    (b) Diplomatic and consular missions of a cooperating 
government. License Exception GOV is available for all items 
consigned to and for the official use of a diplomatic or consular 
mission of a cooperating government located in any country in 
Country Group B (see Supplement No. 1 to part 740), except:
    (1) Items identified on the Commerce Control List as controlled 
for national security (NS) reasons under Export Control 
Classification Numbers (ECCNs) as follows for export or reexport to 
destinations other than Austria, Belgium, Canada, Denmark, Finland, 
France, Germany, Greece, Ireland, Italy, Luxembourg, the 
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001, 
5A001.b.5, 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, 8A001.b., 8A001.d., 
8A002.o.3.b., ; and
    (i) ``Composite'' structures or laminates controlled by 1A002.a, 
having an organic ``matrix'' and made from materials listed under 
1C010.c or 1C010.d; and
    (ii) [Reserved]
    (iii) [Reserved]
    (iv) Processing equipment controlled by 6A001.a.2.c and 
specially designed for real time application with towed acoustic 
hydrophone arrays; and
    (v) Processing equipment, specially designed for real time 
application bottom or bay cable systems controlled by 6A001.a.2.f; 
and
    (vi) ``Software'', as follows:
    (A) Controlled by 4D001, specially designed for the 
``development'' or ``production'' of ``digital computers'' 
controlled by 4A003.b and having a CTP exceeding 190,000 MTOPS; and
    (B) Controlled by 5D001.a, specially designed for the 
``development'' or ``production'' of equipment, functions or 
features controlled by 5A001.b.5; and
    (C) Controlled by 6D001 for items controlled by 6A008.l.3 or 
6B008; and
    (D) Controlled by 6D003.a; and
    (E) Controlled by 7D003.a or 7D003.b; and
    (F) Controlled by 8D001, specially designed for the 
``development'' or ``production'' of equipment controlled by 
8A001.b, 8A001.d, or 8A002.o.3.b; and
    (G) Controlled by 9D001, specially designed for the 
``development'' of ``technology'' controlled by 9E003.a.1 or 
9E003.a.3.a.
    (vii) ``Technology'', as follows:
    (A) Controlled by 1E001 for items controlled by 1A002.a as 
described by paragraph (a)(1)(i) of this Supplement, or 1C001; and
    (B) Controlled by 4E001, specially designed for the 
``development'' or ``production'' of ``digital computers'' 
controlled by 4A003.b and having a CTP exceeding 190,000 MTOPS; and
    (C) Controlled by 5E001.a for the ``development'' or 
``production'' of digitally controlled radio receivers controlled by 
5A001.b.5; or 5D001.a for ``software'' specially designed for the 
``development'' or ``production'' of digitally controlled radio 
receivers controlled by 5A001.b.5; and

[[Page 10591]]

    (D) Controlled by 6E001 for the ``development'' of equipment or 
``software'' in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.5, 
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 
6A008.l.3, or 6B008, as described in paragraph (a)(1) of this 
Supplement; and
    (E) Controlled by 6E002 for the ``production'' of equipment 
controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.5, 
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 
6A008.l.3, or 6B008, as described in paragraph (a)(1) of this 
Supplement; and
    (F) Controlled by 8E001 for items controlled by 8A001.b, 
8A002.o.3.b, or 8A001.d; and
    (G) Controlled by 9E001 for items controlled by 9D001; and
    (H) [Reserved]
    (I) Controlled by 9E003.a.1; and
    (J) Controlled by 9E003.a.3.a;
    (2) Items identified on the Commerce Control List as controlled 
for missile technology (MT), chemical and biological warfare (CB), 
or nuclear nonproliferation (NP) reasons;
    (3) Regional stability items controlled under Export Control 
Classification Numbers (ECCNs) 6A002, 6A003, 6E001, 6E002, 7D001, 
7E001, 7E002, and 7E101 as described in Sec.  742.6(a)(1) of the 
EAR; or
    (4) Encryption items controlled for EI reasons as described in 
the Commerce Control List.

PART 743--[AMENDED]

    4. The authority citation for part 743 continues to read as 
follows:

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


    5. Section 743.1 is amended by revising paragraphs (b)(1) and (c), 
and removing and reserving paragraph (e)(2), to read as follows:


Sec.  743.1  Wassenaar Arrangement.

* * * * *
    (b) * * *
    (1) Exports authorized under License Exceptions GBS, CIV, TSR, LVS, 
CTP, and the cooperating government portions (Sec. Sec.  
740.11(b)(2)(iii) and 740.11(b)(2)(iv) of the EAR) of 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
* * * * *
    (c) Items for which reports are required. (1) You must submit 
reports to BIS under the provisions of this section only for exports of 
items controlled under the following ECCNs:
    (i) Category 1: 1A002; 1C007.c and .d; 1C010.c and .d; 1D002 for 
``development'' of 1A002, 1C007.c and .d, and 1C010.c and .d; 1E001 for 
``development'' and ``production'' of 1A002, 1C007.c and .d, and 
1C010.c and .d ; 1E002.e and .f;
    (ii) Category 2: 2B003, 2D001 (certain items only; see Note to this 
paragraph), 2E001 (certain items only; see Note to this paragraph), and 
2E002 (certain items only; see Note to this paragraph);

    Note
     to Paragraph (c)(1)(ii): Reports for 2D001, are for 
``software'', other than that controlled by 2D002, specially 
designed for the ``development'' or ``production'' of the equipment 
in 2B003 or 2B001.a or .b (changing 6[mu]m to 5.1[mu]m in 2B001.a.1 
and 2B001.b.1.a) of the Commerce Control List (CCL). Reports for 
2E001, are for ``technology'' according to the General Technology 
Note for ``development'' of the equipment in 2B003 or 2B001.a or .b 
(changing 6[mu]m to 5.17mu;m in 2B001.a.1 and 2B001.b.1.a), or 
``software'' in 2D001 of the CCL for the ``development'' or 
``production'' of the equipment in 2B003. Reports for 2E002, are for 
``technology'' according to the General Technology Note for 
``production'' of the equipment in 2B003 or 2B001.a or .b (changing 
6[mu]m to 5.1[mu]m in 2B001.a.1 and 2B001.b.1.a) of the CCL.


    (iii) Category 3: 3A002.g.2, 3B001.a.2, 3D001 for ``development'' 
or ``production'' of 3A002.g.2 or 3B001.a.2, and 3E001 for 
``development'' or ``production'' of 3A002.g.2 or 3B001.a.2;
    (iv) Category 4: 4A001.a.2; 4D001 (see paragraph (c)(2) of this 
section); and 4E001 (see paragraph (c)(2) of this section);
    (v) Category 5: 5A001.b.3; 5B001.a (items specially designed for 
5A001.b.3); 5D001.a (specially designed for the ``development'' or 
``production'' of equipment, function, or features in 5A001.b.3) and 
5D001.b (specially designed or modified to support ``technology'' under 
5E001.a); and 5E001.a (for the ``development'' or ``production'' of 
equipment, function, features, or ``software'' in 5A001.b.3, 5B001.a, 
5D001.a and .b);
    (vi) Category 6: 6A001.a.1.b (changing 10 kHz to 5 kHz in a.1.b.1 
and a.1.b.2), .a.2.c, .a.2.d, and .a.2.e; 6A002.b; 6A004.c and d; 
6A006.g (excluding compensators which provide only absolute values of 
the earth's magnetic field as output (i.e., the frequency bandwidth of 
the output extends from DC to at least 0.8 Hz) and h; 6A008.d, .h, and 
.k; 6D001 (for 6A004.c); 6D003.a; 6E001 (for equipment and software 
listed in this paragraph); and 6E002 (for equipment and software listed 
in this paragraph);
    (vii) Category 8: 8A001.c; 8A002.b (for 8A001.c), .h, .j, .o.3, and 
.p; 8D001 (for commodities listed in this paragraph); 8D002; 8E001 (for 
commodities listed in this paragraph); and 8E002.a; and
    (viii) Category 9: 9B001.b; 9D001 (for 9B001.b and 9E003 (as 
described in this paragraph)); 9D002 (for 9B001.b); 9D004.a and .c; 
9E001; 9E002; 9E003.a.1., .a.2, .a.3, .a.4, .a.5, .a.8, and .a.9.
    (2) Reports for ``software'' controlled by 4D001 and ``technology'' 
controlled by 4E001 are required if specially designed for the 
``development'' or ``production'' of computers controlled under 
4A001.a.2, or for the ``development'' or ``production'' of ``digital 
computers'' having a CTP exceeding 75,000 MTOPS. For the calculation of 
CTP, see the Technical Note for Category 4 in the Commerce Control List 
(Supplement No. 2 to part 774 of the EAR).
* * * * *

PART 772--[AMENDED]

    6. The authority citation for part 772 continues to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; 
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 
14, 2002, 67 FR 53721, August 16, 2002.


    7. Section 772.1 is amended by:
    (a) Adding new entries: ``Circulation-controlled, anti-torque or 
circulation-controlled direction control systems' and ``Time-modulated 
ultra-wideband'' in alphabetical order, to read as follows;
    (b) Removing the entries ``Assembly'', ``Beat length'', 
``Circulation'', ``Global interrupt latency time'', ``Fluoride 
fibers'', ``Gateway'', ``ISDN'', ``Integrated Services Digital 
Network'', ``Network access controller'', ``Optical fiber preforms'', 
and ``Sputtering';
    (c) Revising the phrase ``Only those'' to read ``those'' in the 
entry ``civil aircraft';
    (d) Revising the phrase ``arithmetic logic'' to read ``arithmetic 
or logic'' in the entry ``computing element';
    (e) Revising the entry ``electronically steerable phased array 
antenna'', to read as follows;
    (f) Revising the phrase ``End-effectors'' include grippers,'' to 
read ``Grippers,'' in the entry for ``end-effectors';
    (g) Revising the phrase ``(f2-f 1)'' to read 
``(f2-f1) in the entry ``noise level'';
    (h) Revising the phrase ``product ``X'' that does not operate'' to 
read ``product ``X'' that operates'', and the word ``extending'' to 
read ``exceeding'' in the entry ``Required''; and
    (i) Revising the entry heading ``Systems tracks'' to read ``System 
tracks''.


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

* * * * *
    ``Circulation-controlled, anti-torque or circulation-controlled 
direction control

[[Page 10592]]

systems'' (Cat 7)--Control systems using air blown over aerodynamic 
surfaces to increase or control the forces generated by the surfaces.
* * * * *
    ``Electronically steerable phased array antenna''. (Cat 6)--An 
antenna that forms a beam by means of phase coupling (i.e., the beam 
direction is controlled by the complex excitation coefficients of the 
radiating elements) and the direction of that beam can be varied (both 
in transmission and reception) in azimuth or in elevation, or both, by 
application of an electrical signal.
* * * * *
    ``Time-modulated ultra-wideband''. (Cat 5 part 1 and Cat 5 part 2) 
The technique in which very short precisely time-controlled RF pulses 
are modulated in accordance with communications data by shifting pulse 
positions (usually called Pulse Position Modulation, PPM) channelized 
or scrambled in accordance with pseudo-random noise codes by PPM, then 
transmitted and received in the direct pulse form without using any 
carrier frequencies, consequently having extremely low power density 
over ultra-wide frequency bands. It is also known as Impulse Radio.
* * * * *

PART 774--[AMENDED]

    8. 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; 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.


    9. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 2--Materials Processing, the following Export Control 
Classification Numbers (ECCNs) are amended:
    (a) Revise the Heading of product group A at the beginning of 
Category 2 from ``Equipment, Assemblies and Components'' to read 
``Systems, Equipment and Components';
    (b) Revising the Items paragraph in the List of Items Controlled 
section of ECCNs 2A001 and 2B006;
    (c) Revising the Heading, removing the License Requirement Notes 
paragraph at the end of the License requirements section, and revising 
the Items paragraph of the List of Items Controlled section of ECCN 
2B001; and
    (d) Revising the Heading of 2B003, 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: * * *
    Related Controls: * * *
    Related Definitions: * * *
    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 all 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 both ringsand 
rolling elements (ISO 5593) made from monel or beryllium;

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

    b. Other ball bearings and solid roller bearings having all 
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 (177oC) and above) position 
sensors.


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

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: * * *
    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 faceted 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 [mu]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 [mu]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 [mu]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 [mu]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. 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;

[[Page 10593]]

    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.


2B003  ``Numerically controlled'' or manual machine tools, and 
specially designed components, controls and accessories therefor, 
specially designed for the shaving, finishing, grinding or honing of 
hardened (Rc = 40 or more) spur, helical and double-helical 
gears with a pitch diameter exceeding 1,250 mm and a face width of 15% 
of pitch diameter or larger finished to a quality of AGMA 14 or better 
(equivalent to ISO 1328 class 3).

* * * * *


2B006  Dimensional inspection or measuring systems and equipment, as 
follows (see List of Items Controlled).

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: * * *
    ECCN Controls: * * *
    Items:
    a. Computer controlled, ``numerically controlled'' or ``stored 
program controlled'' dimensional inspection machines, having a three 
dimensional length (volumetric) ``measurement uncertainty'' equal to 
or less (better) than (1.7 + L/1,000) [mu]m (L is the measured 
length in mm) tested according to ISO 10360-2;
    b. Linear and angular displacement measuring instruments, as 
follows:
    b.1. Linear displacement measuring instruments having any of the 
following:

    Technical Note: For the purpose of 2B006.b.1 ``linear 
displacement'' means the change of distance between the measuring 
probe and the measured object.


    b.1.a. Non-contact type measuring systems with a ``resolution'' 
equal to or less (better) than 0.2 [mu]m within a measuring range up 
to 0.2 mm;
    b.1.b. Linear voltage differential transformer systems having 
all of the following characteristics:
    b.1.b.1. ``Linearity'' equal to or less (better) than 0.1% 
within a measuring range up to 5 mm; and
    b.1.b.2. Drift equal to or less (better) than 0.1% per day at a 
standard ambient test room temperature +/- 1 K; or
    b.1.c. Measuring systems having all of the following:
    b.1.c.1. Containing a ``laser''; and
    b.1.c.2. Maintaining, for at least 12 hours, over a temperature 
range of +/-1 K around a standard temperature and at a standard 
pressure, all of the following:
    b.1.c.2.a. A ``resolution'' over their full scale of 0.1 [mu]m 
or less (better); and
    b.1.c.2.b. A ``measurement uncertainty'' equal to or less 
(better) than (0.2 + L/2,000) [mu]m (L is the measured length in 
mm);

    Note: 2B006.b.1 does not control measuring interferometer 
systems, without closed or open loop feedback, containing a 
``laser'' to measure slide movement errors of machine-tools, 
dimensional inspection machines or similar equipment.

    b.2. Angular displacement measuring instruments having an 
``angular position deviation'' equal to or less (better) than 
0.00025 [deg];

    Note: 2B006.b.2 does not control optical instruments, such as 
autocollimators, using collimated light to detect angular 
displacement of a mirror.

    c. Equipment for measuring surface irregularities, by measuring 
optical scatter as a function of angle, with a sensitivity of 0.5 nm 
or less (better).


    10. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3--Electronics, the following Export Control Classification 
Numbers (ECCNs) are amended by:
    (a) Revising the Items paragraph in the List of Items Controlled 
section of ECCN 3A001;
    (b) Revising the Related Definitions and the Items paragraphs in 
the List of Items Controlled section of ECCN 3A002;
    (c) Revising the heading, and the Items paragraph in the List of 
Items Controlled section of ECCN 3B001;
    (d) Revising the Related Definitions and the Items paragraphs in 
the List of Items Controlled section of 3B991;
    (e) Revising the Related Controls and the Items paragraphs in the 
List of Items Controlled section of 3C004;
    (f) Revising the Items paragraph in the List of Items Controlled 
section of 3E001;
    (g) Revising the heading and the Items paragraph in the List of 
Items Controlled section of 3E002; and
    (h) Revising the TSR paragraph in the License Exceptions section 
and revising the Related Controls and the Items paragraphs in the List 
of Items Controlled section of 3E003, to read as follows:


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

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: * * *
    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); or
    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. [Reserved]
    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 [mu]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;


[[Page 10594]]


    Technical Note: 1. A resolution of n bit corresponds to a 
quantization of 2 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 0.1 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 [mu]s.

    b. Microwave or millimeter wave components, as follows:
    b.1. Electronic vacuum tubes and cathodes, as follows:

    Note 1: 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.


    Note 2: 3A001.b.1 does not control non-``space-qualified'' tubes 
which meet all the following characteristics:
    (a) An average output power equal to or less than 50 W; and
    (b) Designed or rated for operation in any frequency band which 
meets all of the following characteristics:
    (1) Exceeds 31 GHz but does not exceed 43.5 GHz; and
    (2) 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;
    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/cm \2\;
    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 [mu]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 [mu]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 [mu]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 [mu]s and bandwidth in MHz) of more than 100;
    c.1.c.2. A dispersive delay of more than 10 [mu]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:

[[Page 10595]]

    e.1. Batteries and photovoltaic arrays, as follows:

    Note: 3A001.e.1 does not control batteries with volumes equal to 
or less than 27 cm3 (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 (copyright) 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 
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: * * *
    Related Controls: * * *
    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 [mu]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. Radio frequency ``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.

3B001  Equipment for the manufacturing of semiconductor devices or 
materials, as follows (see List of Items Controlled), and specially 
designed components and accessories therefor.

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: * * *
    Items:
    a. ``Stored program controlled'' equipment designed for 
epitaxial growth, as follows:
    a.1. Equipment capable of producing a layer thickness uniform to 
less than +/- 2.5% across a distance of 75 mm or more;
    a.2. Metal organic chemical vapor deposition (MOCVD) reactors 
specially designed for compound semiconductor crystal growth by the 
chemical reaction between materials controlled by 3C003 or 3C004;

[[Page 10596]]

    a.3. Molecular beam epitaxial growth equipment using gas or 
solid sources;
    b. ``Stored program controlled'' equipment designed for ion 
implantation, having any of the following:
    b.1. A beam energy (accelerating voltage) exceeding 1MeV;
    b.2. Being specially designed and optimized to operate at a beam 
energy (accelerating voltage of less than 2 keV;
    b.3. Direct write capability; or
    b.4. Being capable of high energy oxygen implant into a heated 
semiconductor material ``substrate'';
    c. ``Stored program controlled'' anisotropic plasma dry etching 
equipment, as follows:
    c.1. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
    c.1.a. Designed or optimized to produce critical dimensions of 
0.3[mu]m or less with +/-5% 3 sigma precision; or
    c.1.b. Designed for generating less than 0.04 particles/
cm2 with a measurable particle size greater than 0.1 
[mu]m in diameter;
    c.2. Equipment specially designed for equipment controlled by 
3B001.e. and having any of the following:
    c.2.a. Designed or optimized to produce critical dimensions of 
0.3 [mu]m or less with +/-5% 3 sigma precision; or
    c.2.b. Designed for generating less than 0.04 particles/
cm2 with a measurable particle size greater than 0.1 
[mu]m in diameter;
    d. ``Stored program controlled'' plasma enhanced CVD equipment, 
as follows:
    d.1. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
    d.1.a. Designed or optimized to produce critical dimensions of 
0.3[mu]m or less with +/-5% 3 sigma precision; or
    d.1.b. Designed for generating less than 0.04 particles/
cm2 with a measurable particle size greater than 0.1 
[mu]m in diameter;
    d.2. Equipment specially designed for equipment controlled by 
3B001.e. and having any of the following:
    d.2.a. Designed or optimized to produce critical dimensions of 
0.3[mu]m or less with +/-5% 3 sigma precision; or
    d.2.b. Designed for generating less than 0.04 particles/
cm2 with a measurable particle size greater than 0.1 
[mu]m in diameter;
    e. ``Stored program controlled'' automatic loading multi-chamber 
central wafer handling systems, having all of the following:
    e.1. Interfaces for wafer input and output, to which more than 
two pieces of semiconductor processing equipment are to be 
connected; and
    e.2. Designed to form an integrated system in a vacuum 
environment for sequential multiple wafer processing;

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

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

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

[GRAPHIC] [TIFF OMITTED] TR05MR03.045

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


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

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: `Sputtering' is an overlay coating process 
wherein positively charged ions are accelerated by an electric field 
towards the surface of a target (coating material). The kinetic 
energy of the impacting ions is sufficient to cause target surface 
atoms to be released and deposited on the substrate. (Note: Triode, 
magnetron or radio frequency sputtering to increase adhesion of 
coating and rate of deposition are ordinary modifications of the 
process.)
    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;
    b.1.b. Equipment specially designed for purifying or processing 
III/V and II/VI semiconductor materials controlled by 3C001, 3C002, 
3C003, or 3C004, except crystal pullers, for which see 3B991.b.1.c 
below;
    b.1.c. Crystal pullers and furnaces, as follows:

    Note: 3B991.b.1.c does not control diffusion and oxidation 
furnaces.
    b.1.c.1. Annealing or recrystallizing equipment other than 
constant temperature furnaces employing high rates of energy 
transfer capable of processing wafers at a rate exceeding 0.005 m\2\ 
per minute;

    b.1.c.2. ``Stored program controlled'' crystal pullers having 
any of the following characteristics:
    b.1.c.2.a. Rechargeable without replacing the crucible 
container;
    b.1.c.2.b. Capable of operation at pressures above 2.5x10\5\ Pa; 
or
    b.1.c.2.c. Capable of pulling crystals of a diameter exceeding 
100 mm;
    b.1.d. ``Stored program controlled'' equipment for epitaxial 
growth having any of the following characteristics:
    b.1.d.1. Capable of producing a layer thickness uniformity 
across the wafer of equal to or better than +3.5%; 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:

[[Page 10597]]

    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; 9

    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 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 focused, deflected-beam systems (direct write 
systems), see 3B991.b.1.j or b.10.

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

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

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

[[Page 10598]]

3C004  Hydrides of phosphorus, arsenic or antimony, having a purity 
better than 99.999%, even diluted in inert gases or hydrogen.

* * * * *

List of Items Controlled

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

    Note: This entry does not control hydrides containing 20% molar 
or more of inert gases or hydrogen.

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: * * *
    Related Controls: * * *
    Related Definition: * * *
    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 three metal layers 
and three 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.

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: ** *
    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 three metal layers 
and three polysilicon layers.

3E003  Other ``technology'' for the ``development'' or ``production'' 
of items described in the List of Items Controlled.

* * * * *

License Exceptions

    CIV: * * *
    TSR: Yes, except .f and .g

List of Items Controlled

    Unit: * * *
    Related Controls: (1) Technology for the ``development'' or 
``production'' of ``space qualified'' electronic vacuum tubes 
operating at frequencies of 31 GHz or higher, described in 3E003.g, 
is under the export license authority of the Department of State, 
Office of Defense Trade Controls (22 CFR part 121); (2) See 3E001 
for silicon-on-insulation (SOI) technology for the ``development'' 
or ``production'' related to radiation hardening of integrated 
circuits.
    Related Definitions: * * *
    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;
    g. Electronic vacuum tubes operating at frequencies of 31 GHz or 
higher.

    11. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 4--Computers, the following Export Control Classification 
Numbers (ECCNs) are amended by:
    (a) Revising the License Requirements section, and the GBS 
paragraph in the License Exception section, and the Items paragraph in 
the List of Items Controlled section of ECCN 4A003;
    (b) Amending the License Requirements section by removing the 
License Requirement Notes paragraph from the end of this section, and 
revising the Items paragraph in the List of Items Controlled section of 
ECCN 4D003; and
    (c) Revising the Related Definitions paragraph and the Items 
paragraph in the List of Items Controlled section of ECCN 4D993.


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

License Requirements

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

------------------------------------------------------------------------
               Control(s)                         Country Chart
------------------------------------------------------------------------
NS applies to 4A003.b and .c...........  NS Column 1
NS applies to 4A003.a, .e, and .g......  NS Column 2
MT applies to digital computers used as  MT Column 1
 ancillary equipment for test
 facilities and equipment that are
 controlled by 9B005 or 9B006..
CC applies to ``digital computers'' for  CC Column 1
 computerized finger-print equipment.
AT applies to entire entry (refer to     AT Column 1
 4A994 for controls on ``digital
 computers'' with a CTP =6
 but <= to 28,000 MTOPS).
------------------------------------------------------------------------

    NP applies, unless a License Exception is available. See Sec.  
742.3(b) of the EAR for information on applicable licensing review 
policies.
    XP applies to ``digital computers'' with a CTP greater than 
28,000 MTOPS, unless a License Exception is available. XP controls 
vary according to destination and end-user and end-use; however, XP 
does not apply to Canada. See Sec.  742.12 of the EAR for additional 
information.

    Note: For all destinations, except Cuba, Iran, Iraq, Libya, 
North Korea, Sudan, Syria, no license is required (NLR) for 
computers with a CTP not greater than 28,000 MTOPS and for 
``electronic assemblies'' described in 4A003.c that are not capable 
of exceeding a CTP greater than 28,000 MTOPS in aggregation. 
Computers controlled in this entry for MT reasons are not eligible 
for NLR.

License Exceptions

    LVS: * * *
    GBS: Yes, for 4A003.e, and .g and specially designed components 
therefor, exported separately or as part of a system.
    CTP: * * *
    CIV: * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: * * *
    Items:

    Note 1: 4A003 includes the following:
    a. Vector processors;
    b. Array processors;
    c. Digital signal processors;
    d. Logic processors;
    e. Equipment designed for ``image enhancement'';
    f. Equipment designed for ``signal processing''.


    Note 2: The control status of the ``digital computers'' and 
related equipment described

[[Page 10599]]

in 4A003 is determined by the control status of other equipment or 
systems provided:
    a. The ``digital computers'' or related equipment are essential 
for the operation of the other equipment or systems;
    b. The ``digital computers'' or related equipment are not a 
``principal element'' of the other equipment or systems; and
    N.B. 1: The control status of ``signal processing'' or ``image 
enhancement'' equipment specially designed for other equipment with 
functions limited to those required for the other equipment is 
determined by the control status of the other equipment even if it 
exceeds the ``principal element'' criterion.
    N.B. 2: For the control status of ``digital computers'' or 
related equipment for telecommunications equipment, see Category 5, 
Part 1 (Telecommunications).
    c. The ``technology'' for the ``digital computers'' and related 
equipment is determined by 4E.
    a. Designed or modified for ``fault tolerance'';


    Note: For the purposes of 4A003.a., ``digital computers'' and 
related equipment are not considered to be designed or modified for 
``fault tolerance'' if they utilize any of the following:
    1. Error detection or correction algorithms in ``main storage'';
    2. The interconnection of two ``digital computers'' so that, if 
the active central processing unit fails, an idling but mirroring 
central processing unit can continue the system's functioning;
    3. The interconnection of two central processing units by data 
channels or by use of shared storage to permit one central 
processing unit to perform other work until the second central 
processing unit fails, at which time the first central processing 
unit takes over in order to continue the system's functioning; or
    4. The synchronization of two central processing units by 
``software'' so that one central processing unit recognizes when the 
other central processing unit fails and recovers tasks from the 
failing unit.
    b. ``Digital computers'' having a ``composite theoretical 
performance'' (``CTP'') exceeding 28,000 million theoretical 
operations per second (MTOPS);
    c. ``Electronic assemblies'' specially designed or modified to 
be capable of enhancing performance by aggregation of ``computing 
elements'' (``CEs'') so that the ``CTP'' of the aggregation exceeds 
the limit in 4A003.b.;


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


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

    d. [Reserved]
    e. Equipment performing analog-to-digital conversions exceeding 
the limits in 3A001.a.5;
    f. [Reserved]
    g. Equipment specially designed to provide external 
interconnection of ``digital computers'' or associated equipment 
that allows communications at data rates exceeding 1.25 Gbyte/s.

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

4D003 Specific ``software'', as follows (see List of Items Controlled).

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: * * *
    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'').


4D993  ``Program'' proof and validation ``software'', ``software'' 
allowing the automatic generation of ``source codes'', and operating 
system ``software'' specially designed for real time processing 
equipment.

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: ``Global interrupt latency time'' is the 
time taken by the computer system to recognize an interrupt due to 
the event, service the interrupt and perform a context switch to an 
alternate memory-resident task waiting on the interrupt.
    Items:
    a. ``Program'' proof and validation ``software'' using 
mathematical and analytical techniques and designed or modified for 
``programs'' having more than 500,000 ``source code'' instructions;
    b. ``Software'' allowing the automatic generation of ``source 
codes'' from data acquired on line from external sensors described 
in the Commerce Control List;
    c. Operating system ``software'' specially designed for ``real 
time processing'' equipment that guarantees a ``global interrupt 
latency time'' of less than 20 microseconds.

    12. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications, Export Control Classification Numbers (ECCNs) are 
amended by:
    (a) Revising the License Exceptions section, and the Unit and Items 
paragraphs in the List of Items Controlled section of ECCN 5A001;
    (b) Revising the Related Definitions paragraph in the List of Items 
Controlled section of ECCN 5A991;
    (c) Revising the Items paragraph in the List of Items Controlled 
section of ECCN 5B001;
    (d) Revising the TSR paragraph in the License Exception section and 
the Items paragraph in the List of Items Controlled section of ECCN 
5E001; and
    (e) Revising the Related Definitions paragraph and the Items 
paragraph in the List of Items Controlled section of ECCN 5E991, to 
read as follows:


5A001  Telecommunications systems, equipment, and components.

* * * * *

License Exceptions

    LVS: N/A for 5A001.a and b.5 $5000 for 5A001b.1, b.2, b.3, b.6, 
and .d $3000 for 5A001.c
    GBS: Yes, except 5A001.a and b.5
    CIV: Yes, except 5A001.a, b.3 and b.5

List of Items Controlled

    Unit: Equipment in number; cable and fiber in meters/feet, 
components and accessories in $ value
    Related Controls: * * *
    Related Definitions: * * *
    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

[[Page 10600]]

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 radio equipment employing ``time-modulated ultra-
wideband'' techniques, having user programmable channelizing or 
scrambling codes;
    b.5. Being digitally controlled radio receivers having all of 
the following:
    b.5.a. More than 1,000 channels;
    b.5.b. A ``frequency switching time'' of less than 1 ms;
    b.5.c. Automatic searching or scanning of a part of the 
electromagnetic spectrum; and
    b.5.d. Identification of the received signals or the type of 
transmitter; or

    Note: 5A001.b.5 does not control radio equipment specially 
designed for use with civil cellular radio-communications systems.

    b.6. 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: * * *
    Related Definitions: (1) `Bandwidth of one voice channel' is 
data communication equipment designed to operate in one voice 
channel of 3,100 Hz, as defined in CCITT Recommendation G.151. (2) 
`Communications channel controller' is the physical interface that 
controls the flow of synchronous or asynchronous digital 
information. It is an assembly that can be integrated into computer 
or telecommunications equipment to provide communications access. 
(3) `Datagram' is a self-contained, independent entity of data 
carrying sufficient information to be routed from the source to the 
destination data terminal equipment without reliance on earlier 
exchanges between this source and destination data terminal 
equipment and the transporting network. (4) `Fast select' is a 
facility applicable to virtual calls that allows data terminal 
equipment to expand the possibility to transmit data in call set-up 
and clearing `packets' beyond the basic capabilities of a virtual 
call. (5) `Gateway' is the function, realized by any combination of 
equipment and ``software'', to carry out the conversion of 
conventions for representing, processing or communicating 
information used on one system into the corresponding, but different 
conventions used in another system. (6) `Integrated Services Digital 
Network' (ISDN) is a unified end-to-end digital network, in which 
data originating from all types of communication (e.g., voice, text, 
data, still and moving pictures) are transmitted from one port 
(terminal) in the exchange (switch) over one access line to and from 
the subscriber.(7) `Packet' is a group of binary digits including 
data and call control signals that is switched as a composite whole. 
The data, call control signals, and possible error control 
information are arranged in a specified format.
    Items: * * *


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

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definition: * * *
    Items:
    a. Equipment and specially designed components or accessories 
therefor, specially designed for the ``development'', ``production'' 
or ``use'' of equipment, functions or features controlled by 5A001, 
5D001 or 5E001.

    Note: 5B001.a. does not control optical fiber characterization 
equipment.

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

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

    b.3. Equipment employing ``optical switching'';
    b.4. Radio equipment employing quadrature-amplitude-modulation 
(QAM) techniques above level 128;
    b.5. Equipment employing ``common channel signaling'' operating 
in either non-associated mode of operation or quasi-associated mode 
of operation.


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

* * * * *

License Exceptions

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

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: * * *
    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;

[[Page 10601]]

    b.3. ``Technology'' for the ``development'' of digital cellular 
radio base station receiving equipment whose reception capabilities 
that allow multi-band, multi-channel, multi-mode, multi-coding 
algorithm or multi-protocol operation can be modified by changes in 
``software''
    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'';
    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 signaling'' operating 
in either non-associated or quasi-associated mode of operation.


5E991  ``Technology'' for the ``development'', ``production'' or 
``use'' of equipment controlled by 5A991 or 5B991, or ``software'' 
controlled by 5D991, and other ``technologies'' as follows (see List of 
Items Controlled).

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: (1) ``Synchronous digital hierarchy'' (SDH) 
is a digital hierarchy providing a means to manage, multiplex, and 
access various forms of digital traffic using a synchronous 
transmission format on different types of media. The format is based 
on the Synchronous Transport Module (STM) that is defined by CCITT 
Recommendation G.703, G.707, G.708, G.709 and others yet to be 
published. The first level rate of `SDH' is 155.52 Mbits/s. (2) 
`Synchronous optical network' (SONET) is a network providing a means 
to manage, multiplex and access various forms of digital traffic 
using a synchronous transmission format on fiber optics. The format 
is the North America version of `SDH' and also uses the Synchronous 
Transport Module (STM). However, it uses the Synchronous Transport 
Signal (STS) as the basic transport module with a first level rate 
of 51.81 Mbits/s. The SONET standards are being integrated into 
those of `SDH'.
    Items:
    a. Specific ``technologies'' as follows:
    a.1. ``Technology'' for the processing and application of 
coatings to optical fiber specially designed to make it suitable for 
underwater use;
    a.2. ``Technology'' for the ``development'' of equipment 
employing `Synchronous Digital Hierarchy' (`SDH') or `Synchronous 
Optical Network' (`SONET') techniques.
    13. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Telecommunications and ``Information Security'', Part II--
``Information Security'' is amended by:
    (a) Revising the Heading and the Related Controls paragraph and the 
Items paragraph in the List of Items Controlled section of ECCN 5A002, 
to read as set forth below; and
    (b) Amending the License Requirements section of ECCNs 5B002 and 
5E002 by removing the License Requirements Notes paragraph at the end 
of this section.


5A002  Systems, equipment, application specific ``electronic 
assemblies'', modules and integrated circuits for ``information 
security'', as follows (see List of Items Controlled), and other 
specially designed components therefor.

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: See also 5A992. This entry does not control:
    (a) ``Personalized smart cards'' where the cryptographic 
capability is restricted for use in equipment or systems excluded 
from control paragraphs (b) through (f) of this note. Note that if a 
``personalized smart card'' has multiple functions, the control 
status of each function is assessed individually;
    (b) Receiving equipment for radio broadcast, pay television or 
similar restricted audience broadcast of the consumer type, without 
digital encryption except that exclusively used for sending the 
billing or program-related information back to the broadcast 
providers;
    (c) Portable or mobile radiotelephones for civil use (e.g., for 
use with commercial civil cellular radio communications systems) 
that are not capable of end-to-end encryption;
    (d) Equipment where the cryptographic capability is not user-
accessible and which is specially designed and limited to allow any 
of the following:
    (1) Execution of copy-protected ``software'';
    (2) access to any of the following:
    (a) Copy-protected contents stored on read-only media; or
    (b) Information stored in encrypted form on media (e.g., in 
connection with the protection of intellectual property rights) 
where the media is offered for sale in identical sets to the public; 
or
    (3) one-time encryption of copyright protected audio/video data;
    (e) Cryptographic equipment specially designed and limited for 
banking use or money transactions;
    (f) Cordless telephone equipment not capable of end-to-end 
encryption where the maximum effective range of unboosted cordless 
operation (e.g., a single, unrelayed hop between terminal and home 
basestation) is less than 400 meters according to the manufacturer's 
specifications. These items are controlled under ECCN 5A992.
    Related Definitions: * * *
    Items:

    Technical Note: Parity bits are not included in the key length.

    a. Systems, equipment, application specific ``electronic 
assemblies'', modules and integrated circuits for ``information 
security'', and other specially designed components therefor:
    a.1. Designed or modified to use ``cryptography'' employing 
digital techniques performing any cryptographic function other than 
authentication or digital signature having any of the following:

    Technical Notes: 1. Authentication and digital signature 
functions include their associated key management function.
    2. Authentication includes all aspects of access control where 
there is no encryption of files or text except as directly related 
to the protection of passwords, Personal Identification Numbers 
(PINs) or similar data to prevent unauthorized access.
    3. ``Cryptography'' does not include ``fixed'' data compression 
or coding techniques.


    Note: 5A002.a.1 includes equipment designed or modified to use 
``cryptography'' employing analog principles when implemented with 
digital techniques.

    a.1.a. A ``symmetric algorithm'' employing a key length in 
excess of 56-bits; or
    a.1.b. An ``asymmetric algorithm'' where the security of the 
algorithm is based on any of the following:
    a.1.b.1. Factorization of integers in excess of 512 bits (e.g., 
RSA);
    a.1.b.2. Computation of discrete logarithms in a multiplicative 
group of a finite field of size greater than 512 bits (e.g., Diffie-
Hellman over Z/pZ); or
    a.1.b.3. Discrete logarithms in a group other than mentioned in 
5A002.a.1.b.2 in excess of 112 bits (e.g., Diffie-Hellman over an 
elliptic curve);
    a.2. Designed or modified to perform cryptanalytic functions;
    a.3. [Reserved]
    a.4. Specially designed or modified to reduce the compromising 
emanations of

[[Page 10602]]

information-bearing signals beyond what is necessary for health, 
safety or electromagnetic interference standards;
    a.5. Designed or modified to use cryptographic techniques to 
generate the spreading code for ``spread spectrum'' systems, 
including the hopping code for ``frequency hopping'' systems;
    a.6. Designed or modified to use cryptographic techniques to 
generate channelizing or scrambling codes for ``time-modulated 
ultra-wideband'' systems;
    a.7. Designed or modified to provide certified or certifiable 
``multilevel security'' or user isolation at a level exceeding Class 
B2 of the Trusted Computer System Evaluation Criteria (TCSEC) or 
equivalent;
    a.8. Communications cable systems designed or modified using 
mechanical, electrical or electronic means to detect surreptitious 
intrusion.


    14. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 6--Sensors is amended by:
    (a) Revising the Items paragraph in the List of Items Controlled 
section of ECCN 6A001;
    (b) Revising the Unit and Items paragraphs in the List of items 
Controlled section of ECCN 6A005;
    (c) Revising the Heading of ECCN 6A008;
    (d) Revising the Heading and the Related Definitions paragraph in 
the List of Items Controlled section of ECCN 6C992;
    (e) Revising the Related Definitions paragraph and the Items 
paragraph in the List of Items Controlled section of ECCN 6C994;
    (f) Revising the Items paragraph in the List of Items Controlled 
section of ECCN 6D003, to read as follows:

6A001 Acoustics.

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: * * *
    Items:
    a. Marine acoustic systems, equipment and specially designed 
components therefor, as follows:
    a.1. Active (transmitting or transmitting-and-receiving) 
systems, equipment and specially designed components therefor, as 
follows:

    Note: 6A001.a.1 does not control:

    a. Depth sounders operating vertically below the apparatus, not 
including a scanning function exceeding +/- 20[deg], and limited to 
measuring the depth of water, the distance of submerged or buried 
objects or fish finding;
    b. Acoustic beacons, as follows:
    1. Acoustic emergency beacons;
    2. Pingers specially designed for relocating or returning to an 
underwater position.
    a.1.a. Wide-swath bathymetric survey systems designed for sea 
bed topographic mapping, having all of the following:
    a.1.a.1. Being designed to take measurements at an angle 
exceeding 20[deg] from the vertical;
    a.1.a.2. Being designed to measure depths exceeding 600 m below 
the water surface; and
    a.1.a.3. Being designed to provide any of the following:
    a.1.a.3.a. Incorporation of multiple beams any of which is less 
than 1.9[deg]; or
    a.1.a.3.b. Data accuracies of better than 0.3% of water depth 
across the swath averaged over the individual measurements within 
the swath;
    a.1.b. Object detection or location systems having any of the 
following:
    a.1.b.1. A transmitting frequency below 10 kHz;
    a.1.b.2. Sound pressure level exceeding 224 dB (reference 1 
[mu]Pa at 1 m) for equipment with an operating frequency in the band 
from 10 kHz to 24 kHz inclusive;
    a.1.b.3. Sound pressure level exceeding 235 dB (reference 1 
[mu]Pa at 1 m) for equipment with an operating frequency in the band 
between 24 kHz and 30 kHz;
    a.1.b.4. Forming beams of less than 1[deg] on any axis and 
having an operating frequency of less than 100 kHz;
    a.1.b.5. Designed to operate with an unambiguous display range 
exceeding 5,120 m; or
    a.1.b.6. Designed to withstand pressure during normal operation 
at depths exceeding 1,000 m and having transducers with any of the 
following:
    a.1.b.6.a. Dynamic compensation for pressure; or
    a.1.b.6.b. Incorporating other than lead zirconate titanate as 
the transduction element;
    a.1.c. Acoustic projectors, including transducers, incorporating 
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or 
hydraulic elements operating individually or in a designed 
combination, having any of the following:

    Notes: 1. The control status of acoustic projectors, including 
transducers, specially designed for other equipment is determined by 
the control status of the other equipment.

    2. 6A001.a.1.c does not control electronic sources that direct 
the sound vertically only, or mechanical (e.g., air gun or vapor-
shock gun) or chemical (e.g., explosive) sources.
    a.1.c.1. An instantaneous radiated acoustic power density 
exceeding 0.01 mW/mm2/Hz for devices operating at 
frequencies below 10 kHz;
    a.1.c.2. A continuously radiated acoustic power density 
exceeding 0.001 Mw/mm2/Hz for devices operating at 
frequencies below 10 kHz; or

    Technical Note: Acoustic power density is obtained by dividing 
the output acoustic power by the product of the area of the 
radiating surface and the frequency of operation.

    a.1.c.3. Side-lobe suppression exceeding 22 dB;
    a.1.d. Acoustic systems, equipment and specially designed 
components for determining the position of surface vessels or 
underwater vehicles designed to operate at a range exceeding 1,000 m 
with a positioning accuracy of less than 10 m rms (root mean square) 
when measured at a range of 1,000 m;

    Note: 6A001.a.1.d includes:

    a. Equipment using coherent ``signal processing'' between two or 
more beacons and the hydrophone unit carried by the surface vessel 
or underwater vehicle;
    b. Equipment capable of automatically correcting speed-of-sound 
propagation errors for calculation of a point.
    a.2. Passive (receiving, whether or not related in normal 
application to separate active equipment) systems, equipment and 
specially designed components therefor, as follows:
    a.2.a. Hydrophones having any of the following characteristics:

    Note: The control status of hydrophones specially designed for 
other equipment is determined by the control status of the other 
equipment.

    a.2.a.1. Incorporating continuous flexible sensors or assemblies 
of discrete sensor elements with either a diameter or length less 
than 20 mm and with a separation between elements of less than 20 
mm;
    a.2.a.2. Having any of the following sensing elements:
    a.2.a.2.a. Optical fibers;
    a.2.a.2.b. Piezoelectric polymers; or
    a.2.a.2.c. Flexible piezoelectric ceramic materials;
    a.2.a.3. A hydrophone sensitivity better than -180dB at any 
depth with no acceleration compensation;
    a.2.a.4. When designed to operate at depths exceeding 35 m with 
acceleration compensation; or
    a.2.a.5. Designed for operation at depths exceeding 1,000 m;

    Technical Note: Hydrophone sensitivity is defined as twenty 
times the logarithm to the base 10 of the ratio of rms output 
voltage to a 1 V rms reference, when the hydrophone sensor, without 
a pre-amplifier, is placed in a plane wave acoustic field with an 
rms pressure of 1 [mu]Pa. For example, a hydrophone of -160 dB 
(reference 1 V per [mu]Pa) would yield an output voltage of 
10-8 V in such a field, while one of -180 dB sensitivity 
would yield only 10-9 V output. Thus, -160 dB is better 
than -180 dB.

    a.2.b. Towed acoustic hydrophone arrays having any of the 
following:
    a.2.b.1. Hydrophone group spacing of less than 12.5 m;
    a.2.b.2. Designed or ``able to be modified'' to operate at 
depths exceeding 35m;

    Technical Note: ``Able to be modified'' in 6A001.a.2.b.2 means 
having provisions to allow a change of the wiring or 
interconnections to alter hydrophone group spacing or operating 
depth limits. These provisions are: spare wiring exceeding 10% of 
the number of wires, hydrophone group spacing adjustment blocks or 
internal depth limiting devices that are adjustable or that control 
more than one hydrophone group.

    a.2.b.3. Heading sensors controlled by 6A001.
    a.2.d; a.2.b.4. Longitudinally reinforced array hoses;
    a.2.b.5. An assembled array of less than 40 mm in diameter;

[[Page 10603]]

    a.2.b.6. Multiplexed hydrophone group signals designed to 
operate at depths exceeding 35 m or having an adjustable or 
removable depth sensing device in order to operate at depths 
exceeding 35 m; or
    a.2.b.7. Hydrophone characteristics controlled by 6A001.a.2.a;
    a.2.c. Processing equipment, specially designed for towed 
acoustic hydrophone arrays, having ``user accessible 
programmability'' and time or frequency domain processing and 
correlation, including spectral analysis, digital filtering and 
beamforming using Fast Fourier or other transforms or processes;
    a.2.d. Heading sensors having all of the following:
    a.2.d.1. An accuracy of better than +/- 0.5[deg]; and
    a.2.d.2. Designed to operate at depths exceeding 35 m or having 
an adjustable or removable depth sensing device in order to operate 
at depths exceeding 35 m;
    a.2.e. Bottom or bay cable systems having any of the following:
    a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a; or
    a.2.e.2. Incorporating multiplexed hydrophone group signal 
modules having all of the following characteristics:
    a.2.e.2.a. Designed to operate at depths exceeding 35 m or 
having an adjustable or removal depth sensing device in order to 
operate at depths exceeding 35 m; and
    a.2.e.2.b. Capable of being operationally interchanged with 
towed acoustic hydrophone array modules;
    a.2.f. Processing equipment, specially designed for bottom or 
bay cable systems, having ``user accessible programmability'' and 
time or frequency domain processing and correlation, including 
spectral analysis, digital filtering and beamforming using Fast 
Fourier or other transforms or processes;
    b. Correlation-velocity sonar log equipment designed to measure 
the horizontal speed of the equipment carrier relative to the sea 
bed at distances between the carrier and the sea bed exceeding 500 
m.


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

* * * * *

List of Items Controlled

    Unit: Equipment in number; components and accessories in $ value
    Related Controls: * * *
    Related Definitions: * * *
    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 
[mu]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 [mu]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 any of the following:
    b.1.a. A wavelength equal to or less than 1510 nm, and having an 
average or CW output power exceeding 1.5 W; or
    b.1.b. A wavelength greater than 1510 nm, and having an average 
or CW output power exceeding 500 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

[[Page 10604]]

    c.1.b.2. An average or CW output power exceeding 20 W; or
    c.1.c. An output wavelength exceeding 1,400 nm and having any of 
the following:
    c.1.c.1. An output energy exceeding 50 mJ per pulse and a pulsed 
``peak power'' exceeding 1 W; or
    c.1.c.2. An average or CW output power exceeding 1 W;
    c.2. Non-''tunable'' ``lasers'', as follows:

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

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

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

    e.2. Optical mirrors or transmissive or partially transmissive 
optical or electro-optical components specially designed for use 
with controlled ``lasers'';
    f. Optical equipment, as follows:
    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 [mu]rad;
    f.3. Optical equipment and components specially designed for a 
phased-array ``SHPL'' system for coherent beam combination to an 
accuracy of lambda/10 at the designed wavelength, or 0.1 [mu]m, 
whichever is the smaller;
    f.4. Projection telescopes specially designed for use with 
``SHPL'' systems.


6A008  Radar systems, equipment and assemblies having any of the 
following characteristics (see List of Items Controlled), and specially 
designed components therefor.

* * * * *


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: * * *
    Related Controls: * * *

[[Page 10605]]

    Related Definitions: (1) `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. (2) `Beat length' is the distance over which two 
orthogonally polarized signals, initially in phase, must pass in 
order to achieve a 2 Pi radian(s) phase difference.
    Items: * * *


6C994  Optical materials.

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: (1) `Fluoride fibers' are fibers 
manufactured from bulk fluoride compounds. (2) `Optical fiber 
preforms' are bars, ingots, or rods of glass, plastic or other 
materials that have been specially processed for use in fabricating 
optical fibers. The characteristics of the preform determine the 
basic parameters of the resultant drawn optical fibers.
    Items:
    a. Low optical absorption materials, as follows:
    a.1. Bulk fluoride compounds containing ingredients with a 
purity of 99.999% or better; or

    Note: 6C994.a.1 controls fluorides of zirconium or aluminum and 
variants.
    a.2. Bulk fluoride glass made from compounds controlled by 
6C004.e.1;
    b. `Optical fiber preforms' made from bulk fluoride compounds 
containing ingredients with a purity of 99.999% or better, specially 
designed for the manufacture of `fluoride fibers' controlled by 
6A994.b.

6D003  Other ``software'', as follows (see List of Items Controlled).

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: * * *
    Items:
    a. Acoustics ``software'', as follows:
    a.1. ``Software'' specially designed for acoustic beam forming 
for the ``real time processing'' of acoustic data for passive 
reception using towed hydrophone arrays;
    a.2. ``Source code'' for the ``real time processing'' of 
acoustic data for passive reception using towed hydrophone arrays;
    a.3. ``Software'' specially designed for acoustic beam forming 
for the ``real time processing'' of acoustic data for passive 
reception using bottom or bay cable systems;
    a.4. ``Source code'' for the ``real time processing'' of 
acoustic data for passive reception using bottom or bay cable 
systems;
    b. Optical sensors. None.
    c. Cameras. None.
    d. Optics. None.
    e. Lasers. None
    f. Magnetometers.
    f.1. ``Software'' specially designed for magnetic compensation 
systems for magnetic sensors designed to operate on mobile 
platforms;
    f.2. ``Software'' specially designed for magnetic anomaly 
detection on mobile platforms;
    g. Gravimeters. ``Software'' specially designed to correct 
motional influences of gravity meters or gravity gradiometers;
    h. Radar ``software'', as follows:
    h.1. Air Traffic Control ``software'' application ``programs'' 
hosted on general purpose computers located at Air Traffic Control 
centers and capable of any of the following:
    h.1.a. Processing and displaying more than 150 simultaneous 
``system tracks''; or
    h.1.b. Accepting radar target data from more than four primary 
radars;
    h.2. ``Software'' for the design or ``production'' of radomes 
which:
    h.2.a. Are specially designed to protect the ``electronically 
steerable phased array antennae'' controlled by 6A008.e.; and
    h.2.b. Result in an antenna pattern having an ``average side 
lobe level'' more than 40 dB below the peak of the main beam level.

    Technical Note: ``Average side lobe level'' in 6D003.h.2.b is 
measured over the entire array excluding the angular extent of the 
main beam and the first two side lobes on either side of the main 
beam.


    15. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 7--Navigation and Avionics, the following Export Control 
Classification Numbers (ECCNs) are amended by:
    (a) Revising the Heading and the Related Controls paragraph, the 
Related Definitions paragraph, and the Items paragraph in the List of 
Items Controlled section of ECCN 7A003;
    (b) Revising the Heading of ECCN 7D002; and
    (c) Revising the Related Definitions paragraph and the Items 
paragraph in the List of Items Controlled section of ECCN 7D003, to 
read as follows:

7A003  Inertial Navigation Systems (INS) and specially designed 
components therefor.

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: See also 7A103 and 7A994. Inertial Navigation 
Systems (INS) and inertial equipment, and specially designed 
components therefor specifically designed, modified or configured 
for military use are subject to the export licensing authority of 
the U.S. Department of State, Office of Defense Trade Controls. (See 
22 CFR part 121.)
    Related Definitions: ``Data-Based Referenced Navigation'' 
(``DBRN'') systems are systems which use various sources of 
previously measured geo-mapping data integrated to provide accurate 
navigation information under dynamic conditions. Data sources 
include bathymetric maps, stellar maps, gravity maps, magnetic maps 
or 3-D digital terrain maps.
    Items:
    a. Inertial navigation systems (gimballed or strapdown) and 
inertial equipment designed for ``aircraft'', land vehicle or 
``spacecraft'' for attitude, guidance or control, having any of the 
following characteristics, and specially designed components 
therefor:
    a.1. Navigation error (free inertial) subsequent to normal 
alignment of 0.8 nautical mile per hour (nm/hr) Circular Error 
Probable (CEP) or less (better); or
    a.2. Specified to function at linear acceleration levels 
exceeding 10 g.
    b. Hybrid Inertial Navigation Systems embedded with Global 
Navigation Satellite System(s) (GNSS) or with ``Data-Based 
Referenced Navigation'' (``DBRN'') System(s) for attitude, guidance 
or control, subsequent to normal alignment, having an INS navigation 
position accuracy, after loss of GNSS or ``DBRN'' for a period of up 
to 4 minutes, of less (better) than 10 meters Circular Error 
Probable (CEP).

    Note 1: The parameters of 7A003.a and 7A003.b are applicable 
with any of the following environmental conditions:

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

    Note 2: 7A003 does not control inertial navigation systems that 
are certified for use on ``civil aircraft'' by civil authorities of 
a country in Country Group A:1.


    Technical Notes: 1. 7A003.b refers to systems in which an INS 
and other independent navigation aids are built into a single unit 
(embedded) in order to achieve improved performance.
    2. ``Circular Error Probable'' (``CEP'')--In a circular normal 
distribution, the radius of the circle containing 50 percent of the 
individual measurements being made, or the radius of the circle 
within which there is a 50 percent probability of being located.

7D002  Source code'' for the ``use'' of any inertial navigation 
equipment including inertial equipment not controlled by 7A003 or 
7A004, or Attitude and Heading Reference Systems (AHRS) (except 
gimballed AHRS).

* * * * *


7D003  Other ``software'', as follows (see List of Items Controlled).

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: * * *
    Related Definitions: `Data-Based Referenced Navigation' (`DBRN') 
systems are systems which use various sources of previously measured 
geo-mapping data integrated to provide accurate navigation 
information under dynamic conditions. Data sources include 
bathymetric maps, stellar

[[Page 10606]]

maps, gravity maps, magnetic maps or 3-D digital terrain maps.
    Items:
    a. ``Software'' specially designed or modified to improve the 
operational performance or reduce the navigational error of systems 
to the levels controlled by 7A003 or 7A004;
    b. ``Source code'' for hybrid integrated systems that improves 
the operational performance or reduces the navigational error of 
systems to the level controlled by 7A003 by continuously combining 
inertial data with any of the following:
    b.1. Doppler radar velocity data;
    b.2. Global navigation satellite systems (i.e., GPS or GLONASS) 
reference data; or
    b.3. Data from `Data-Based Referenced Navigation' (`DBRN') 
systems;
    c. ``Source code'' for integrated avionics or mission systems 
that combine sensor data and employ ``expert systems'';
    d. ``Source code'' for the ``development'' of any of the 
following:
    d.1. Digital flight management systems for ``total control of 
flight'';
    d.2. Integrated propulsion and flight control systems;
    d.3. Fly-by-wire or fly-by-light control systems;
    d.4. Fault-tolerant or self-reconfiguring ``active flight 
control systems'';
    d.5. Airborne automatic direction finding equipment;
    d.6. Air data systems based on surface static data; or
    d.7. Raster-type head-up displays or three dimensional displays;
    e. Computer-aided-design (CAD) ``software'' specially designed 
for the ``development'' of ``active flight control systems'', 
helicopter multi-axis fly-by-wire or fly-by-light controllers or 
helicopter ``circulation controlled anti-torque or circulation-
controlled direction control systems'' whose ``technology'' is 
controlled by 7E004.b, 7E004.c.1 or 7E004.c.2.


    16. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 8--Marine, is amended by:
    (a) Revising the Related Controls paragraph and the Items paragraph 
in the List of Items Controlled section of ECCNs 8A002 and 8A018; and
    (b) Revising the Heading and the Related Controls paragraph of the 
List of Items Controlled section of ECCN 8A992, to read as follows:

8A002  Systems and equipment, as follows (see List of Items 
Controlled).

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: See also 8A992 and for underwater 
communications systems, see Category 5, Part I--Telecommunications). 
8A002 does not control closed and semi-closed circuit (rebreathing) 
apparatus that is controlled under 8A018.a. See also 8A992 for self-
contained underwater breathing apparatus that is not controlled by 
8A002 or released for control by the 8A002.q Note.
    Related Definitions: * * *
    Items:
    a. Systems and equipment, specially designed or modified for 
submersible vehicles, designed to operate at depths exceeding 1,000 
m, as follows:
    a.1. Pressure housings or pressure hulls with a maximum inside 
chamber diameter exceeding 1.5 m;
    a.2. Direct current propulsion motors or thrusters;
    a.3. Umbilical cables, and connectors therefor, using optical 
fiber and having synthetic strength members;
    b. Systems specially designed or modified for the automated 
control of the motion of submersible vehicles controlled by 8A001 
using navigation data and having closed loop servo-controls:
    b.1. Enabling a vehicle to move within 10 m of a predetermined 
point in the water column;
    b.2. Maintaining the position of the vehicle within 10 m of a 
predetermined point in the water column; or
    b.3. Maintaining the position of the vehicle within 10 m while 
following a cable on or under the seabed;
    c. Fiber optic hull penetrators or connectors;
    d. Underwater vision systems, as follows:
    d.1. Television systems and television cameras, as follows:
    d.1.a. Television systems (comprising camera, monitoring and 
signal transmission equipment) having a limiting resolution when 
measured in air of more than 800 lines and specially designed or 
modified for remote operation with a submersible vehicle;
    d.1.b. Underwater television cameras having a limiting 
resolution when measured in air of more than 1,100 lines;
    d.1.c. Low light level television cameras specially designed or 
modified for underwater use containing all of the following:
    d.1.c.1. Image intensifier tubes controlled by 6A002.a.2.a; and
    d.1.c.2. More than 150,000 ``active pixels'' per solid state 
area array;

    Technical Note: Limiting resolution in television is a measure 
of horizontal resolution usually expressed in terms of the maximum 
number of lines per picture height discriminated on a test chart, 
using IEEE Standard 208/1960 or any equivalent standard.

    d.2. Systems, specially designed or modified for remote 
operation with an underwater vehicle, employing techniques to 
minimize the effects of back scatter, including range-gated 
illuminators or ``laser'' systems;
    e. Photographic still cameras specially designed or modified for 
underwater use below 150 m having a film format of 35 mm or larger, 
and having any of the following:
    e.1. Annotation of the film with data provided by a source 
external to the camera;
    e.2. Automatic back focal distance correction; or
    e.3. Automatic compensation control specially designed to permit 
an underwater camera housing to be usable at depths exceeding 1,000 
m;
    f. Electronic imaging systems, specially designed or modified 
for underwater use, capable of storing digitally more than 50 
exposed images;
    g. Light systems, as follows, specially designed or modified for 
underwater use:
    g.1. Stroboscopic light systems capable of a light output energy 
of more than 300 J per flash and a flash rate of more than 5 flashes 
per second;
    g.2. Argon arc light systems specially designed for use below 
1,000 m;
    h. ``Robots'' specially designed for underwater use, controlled 
by using a dedicated ``stored program controlled'' computer, having 
any of the following:
    h.1. Systems that control the ``robot'' using information from 
sensors which measure force or torque applied to an external object, 
distance to an external object, or tactile sense between the 
``robot'' and an external object; or
    h.2. The ability to exert a force of 250 N or more or a torque 
of 250 Nm or more and using titanium based alloys or ``fibrous or 
filamentary'' ``composite'' materials in their structural members;
    i. Remotely controlled articulated manipulators specially 
designed or modified for use with submersible vehicles, having any 
of the following:
    i.1. Systems which control the manipulator using the information 
from sensors which measure the torque or force applied to an 
external object, or tactile sense between the manipulator and an 
external object; or
    i.2. Controlled by proportional master-slave techniques or by 
using a dedicated ``stored program controlled'' computer, and having 
5 degrees of freedom of movement or more;

    Note:  Only functions having proportional control using 
positional feedback or by using a dedicated ``stored program 
controlled'' computer are counted when determining the number of 
degrees of freedom of movement

    .j. Air independent power systems, specially designed for 
underwater use, as follows:
    j.1. Brayton or Rankine cycle engine air independent power 
systems having any of the following:
    j.1.a. Chemical scrubber or absorber systems specially designed 
to remove carbon dioxide, carbon monoxide and particulates from 
recirculated engine exhaust;
    j.1.b. Systems specially designed to use a monoatomic gas;
    j.1.c. Devices or enclosures specially designed for underwater 
noise reduction in frequencies below 10 kHz, or special mounting 
devices for shock mitigation; or
    j.1.d. Systems specially designed:
    j.1.d.1. To pressurize the products of reaction or for fuel 
reformation;
    j.1.d.2. To store the products of the reaction; and
    j.1.d.3. To discharge the products of the reaction against a 
pressure of 100 kPa or more;
    j.2. Diesel cycle engine air independent systems, having all of 
the following:
    j.2.a. Chemical scrubber or absorber systems specially designed 
to remove carbon dioxide, carbon monoxide and particulates from 
recirculated engine exhaust;
    j.2.b. Systems specially designed to use a monoatomic gas;

[[Page 10607]]

    j.2.c. Devices or enclosures specially designed for underwater 
noise reduction in frequencies below 10 kHz or special mounting 
devices for shock mitigation; and
    j.2.d. Specially designed exhaust systems that do not exhaust 
continuously the products of combustion;
    j.3. Fuel cell air independent power systems with an output 
exceeding 2 kW having any of the following:
    j.3.a. Devices or enclosures specially designed for underwater 
noise reduction in frequencies below 10 kHz or special mounting 
devices for shock mitigation; or
    j.3.b. Systems specially designed:
    j.3.b.1. To pressurize the products of reaction or for fuel 
reformation;
    j.3.b.2. To store the products of the reaction; and
    j.3.b.3. To discharge the products of the reaction against a 
pressure of 100 kPa or more;
    j.4. Stirling cycle engine air independent power systems, having 
all of the following:
    j.4.a. Devices or enclosures specially designed for underwater 
noise reduction in frequencies below 10 kHz or special mounting 
devices for shock mitigation; and
    j.4.b. Specially designed exhaust systems which discharge the 
products of combustion against a pressure of 100 kPa or more;
    k. Skirts, seals and fingers, having any of the following:
    k.1. Designed for cushion pressures of 3,830 Pa or more, 
operating in a significant wave height of 1.25 m (Sea State 3) or 
more and specially designed for surface effect vehicles (fully 
skirted variety) controlled by 8A001.f; or
    k.2. Designed for cushion pressures of 6,224 Pa or more, 
operating in a significant wave height of 3.25 m (Sea State 5) or 
more and specially designed for surface effect vehicles (rigid 
sidewalls) controlled by 8A001.g;
    l. Lift fans rated at more than 400 kW specially designed for 
surface effect vehicles controlled by 8A001.f or 8A001.g;
    m. Fully submerged subcavitating or supercavitating hydrofoils 
specially designed for vessels controlled by 8A001.h;
    n. Active systems specially designed or modified to control 
automatically the sea-induced motion of vehicles or vessels 
controlled by 8A001.f, 8A001.g, 8A001.h or 8A001.i;
    o. Propellers, power transmission systems, power generation 
systems and noise reduction systems, as follows:
    o.1. Water-screw propeller or power transmission systems, as 
follows, specially designed for surface effect vehicles (fully 
skirted or rigid sidewall variety), hydrofoils or small waterplane 
area vessels controlled by 8A001.f, 8A001.g, .8A001.h or 8A001.i:
    o.1.a. Supercavitating, super-ventilated, partially-submerged or 
surface piercing propellers rated at more than 7.5 MW;
    o.1.b. Contrarotating propeller systems rated at more than 15 
MW;
    o.1.c. Systems employing pre-swirl or post-swirl techniques for 
smoothing the flow into a propeller;
    o.1.d. Light-weight, high capacity (K factor exceeding 300) 
reduction gearing;
    o.1.e. Power transmission shaft systems, incorporating 
``composite'' material components, capable of transmitting more than 
1 MW;
    o.2. Water-screw propeller, power generation systems or 
transmission systems designed for use on vessels, as follows:
    o.2.a. Controllable-pitch propellers and hub assemblies rated at 
more than 30 MW;
    o.2.b. Internally liquid-cooled electric propulsion engines with 
a power output exceeding 2.5 MW;
    o.2.c. ``Superconductive'' propulsion engines, or permanent 
magnet electric propulsion engines, with a power output exceeding 
0.1 MW;
    o.2.d. Power transmission shaft systems, incorporating 
``composite'' material components, capable of transmitting more than 
2 MW;
    o.2.e. Ventilated or base-ventilated propeller systems rated at 
more than 2.5 MW;
    o.3. Noise reduction systems designed for use on vessels of 
1,000 tons displacement or more, as follows:
    o.3.a. Systems that attenuate underwater noise at frequencies 
below 500 Hz and consist of compound acoustic mounts for the 
acoustic isolation of diesel engines, diesel generator sets, gas 
turbines, gas turbine generator sets, propulsion motors or 
propulsion reduction gears, specially designed for sound or 
vibration isolation, having an intermediate mass exceeding 30% of 
the equipment to be mounted;
    o.3.b. Active noise reduction or cancellation systems, or 
magnetic bearings, specially designed for power transmission 
systems, and incorporating electronic control systems capable of 
actively reducing equipment vibration by the generation of anti-
noise or anti-vibration signals directly to the source;
    p. Pumpjet propulsion systems having a power output exceeding 
2.5 MW using divergent nozzle and flow conditioning vane techniques 
to improve propulsive efficiency or reduce propulsion-generated 
underwater-radiated noise.
    q. Self-contained, closed or semi-closed circuit (rebreathing) 
diving and underwater swimming apparatus.

    Note: 8A002.q does not control an individual apparatus for 
personal use when accompanying its user.

8A018  Items on the International Munitions List.

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: See also 8A002 and 8A992.
    Related Definitions: * * *
    Items:
    a. Closed and semi-closed circuit (rebreathing) apparatus 
specially designed for military use, and specially designed 
components for use in the conversion of open-circuit apparatus to 
military use;
    b. Naval equipment, as follows:
    b.1. Diesel engines of 1,500 hp and over with rotary speed of 
700 rpm or over specially designed for submarines;
    b.2. Electric motors specially designed for submarines, i.e., 
over 1,000 hp, quick reversing type, liquid cooled, and totally 
enclosed;
    b.3. Nonmagnetic diesel engines, 50 hp and over, specially 
designed for military purposes. (An engine shall be presumed to be 
specially designed for military purposes if it has nonmagnetic parts 
other than crankcase, block, head, pistons, covers, end plates, 
valve facings, gaskets, and fuel, lubrication and other supply 
lines, or its nonmagnetic content exceeds 75 percent of total 
weight.);
    b.4. Marine boilers designed to have any of the following 
characteristics:
    b.4.a. Heat release rate (at maximum rating) equal to or in 
excess of 190,000 BTU per hour per cubic foot of furnace volume; or
    b.4.b. Ratio of steam generated in pounds per hour (at maximum 
rating) to the dry weight of the boiler in pounds equal to or in 
excess of 0.83;
    b.5. Submarine and torpedo nets; and
    b.6. Components, parts, accessories, and attachments for the 
above.


8A992  Underwater systems or equipment, not controlled by 8A002 or 
8A018, and specially designed parts therefor.

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: See also 8A002 and 8A018
    Related Definitions: * * *
    Items: * * *



    17. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 9--Propulsion Systems, Space Vehicles and Related Equipment, 
is amended by:
    (a) Adding Export Control Classification number (ECCN) 9A012 
following ECCN 9A011;
    (b) Deleting ECCN 9A120;
    (c) Revising the Heading and License Requirement section of ECCNs 
9D001 and 9D002;
    (d) Revising the Heading and the Related Controls paragraph of the 
List of Items Controlled section of ECCN 9D003; and
    (e) Revising the Heading of ECCN 9D102, to read as follows:


9A012  Non-military unmanned aerial vehicles, having any of the 
following characteristics (see List of Items Controlled).

License Requirements

    Reason for Control: NS, MT, AT

------------------------------------------------------------------------
               Control(s)                         Country Chart
------------------------------------------------------------------------
NS applies to entire entry.............  NS Column 1
MT applies to non-military unmanned air  MT Column 1
 vehicle systems (UAVs) and remotely
 piloted vehicles (RPVs) that are
 capable of a maximum range of at least
 300 kilometers (km), regardless of
 payload.

[[Page 10608]]

 
AT applies to entire entry.............  AT Column 1
------------------------------------------------------------------------


License Exceptions

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

List of Items Controlled

    Unit: Equipment in number; parts and accessories in $ value
    Related Controls: See the U.S. Munitions List Category VIII (22 
CFR part 121).
    Related Definitions: N/A
    Items:
     a. An autonomous flight control and navigation capability 
(e.g., an autopilot with an Inertial Navigation System); or
    b. Capability of controlled-flight out of the direct vision 
range involving a human operator (e.g., televisual remote control).

    Note: 9A012 does not control model aircraft.

9D001  ``Software'' specially designed or modified for the 
``development'' of equipment or ``technology'' controlled by 9A (except 
9A018, 9A990 or 9A991), 9B (except 9B990 or 9B991) or 9E003.

License Requirements

    Reason for Control: NS, MT, AT

------------------------------------------------------------------------
               Control(s)                         Country Chart
------------------------------------------------------------------------
NS applies to ``software'' for items     NS Column 1
 controlled by 9A001 to 9A003, 9A012,
 9B001 to 9B009, 9E003.
MT applies to ``software'' for           MT Column 1
 equipment controlled by 9A001, 9A012,
 9A101, 9A106, 9B001, 9B002, 9B003,
 9B004, 9B005, 9B007, 9B116 for MT
 reasons.
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.
* * * * *


9D002  ``Software'' specially designed or modified for the 
``production'' of equipment controlled by 9A (except 9A018, 9A990 or 
9A991) or 9B (except 9B990 or 9B991).

License Requirements

    Reason for Control: NS, MT, AT


------------------------------------------------------------------------
               Control(s)                         Country Chart
------------------------------------------------------------------------
NS applies to ``software'' for           NS Column 1
 equipment controlled by 9A001 to
 9A003, 9A012, 9B001 to 9B009, or 9E003.
MT applies to ``software'' for           MT Column 1
 equipment controlled by 9A001, 9A012,
 9A101, 9A106, 9B001, 9B002, 9B003,
 9B004, 9B005, 9B007 9B116 for MT
 reasons.
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.
* * * * *


9D003   ``Software'' specially designed or modified for the ``use'' of 
full authority digital electronic engine controls (FADEC) for 
propulsion systems controlled by 9A (except 9A018, 9A990 or 9A991) or 
equipment controlled by 9B (except 9B990 or 9B991), as follows (see 
List of Items Controlled).

* * * * *

List of Items Controlled

    Unit: * * *
    Related Controls: (1) See also 9D103. (2) ``Software'' 
``required'' for the ``use'' of equipment or ``technology'' subject 
to the export licensing authority of the U.S. Department of State, 
Office of Defense Trade Controls is also subject to the same 
licensing jurisdiction. (See 22 CFR part 121.)
    Related Definitions: * * *
    Items: * * *


9D102  ``Software'' specially designed for the ``use'' of items 
controlled by 9A012 (for MT controlled items only), 9A101, 9A106, and 
9A110.

* * * * *

    18. Supplement No. 2 to part 774 (General Technology and Software 
Notes) is revised to read as follows:

    1. General Technology Note. The export of ``technology'' that is 
``required'' for the ``development'', ``production'', or ``use'' of 
items on the Commerce Control List is controlled according to the 
provisions in each Category.
    ``Technology'' ``required'' for the ``development'', 
``production'', or ``use'' of a controlled product remains 
controlled even when applicable to a product controlled at a lower 
level.
    License Exception TSU is available for ``technology'' that is 
the minimum necessary for the installation, operation, maintenance 
(checking), and repair of those products that are eligible for 
License Exceptions or that are exported under a license.
    N.B.: This does not allow release under a License Exception of 
the repair ``technology'' controlled by 1E002.e, 1E002.f, 8E002.a, 
or 8E002.b.
    N.B.: The `minimum necessary' excludes ``development'' or 
``production'' technology and permits ``use'' technology only to the 
extent ``required'' to ensure safe and efficient use of the product. 
Individual ECCNs may further restrict export of ``minimum 
necessary'' information.
    2. General Software Note. License Exception TSU (``mass market'' 
software) is available to all destinations, except Cuba, Iran, Iraq, 
Libya, North Korea, Sudan, and Syria, for release of software that 
is generally available to the public by being:
    a. Sold from stock at retail selling points, without 
restriction, by means of:
    1. Over the counter transactions;
    2. Mail order transactions;
    3. Electronic transactions; or
    4. Telephone call transactions; and
    b. Designed for installation by the user without further 
substantial support by the supplier.

    Note: The General Software Note does not apply to ``software'' 
controlled by Category 5--part 2 (``Information Security''). For 
``software'' controlled by Category 5, part 2, see Supplement No. 1 
to part 774, Category 5, part 2, Note 3--Cryptography Note.


    Dated: February 25, 2003.
James J. Jochum,
Assistant Secretary for Export Administration.
[FR Doc. 03-4788 Filed 3-4-03; 8:45 am]
BILLING CODE 3510-33-P