[Federal Register Volume 82, Number 6 (Tuesday, January 10, 2017)]
[Rules and Regulations]
[Pages 2875-2883]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-31755]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 742, 750, and 774
[Docket No. 150325297-6180-02]
RIN 0694-AG59
Revisions to the Export Administration Regulations (EAR): Control
of Spacecraft Systems and Related Items the President Determines No
Longer Warrant Control Under the United States Munitions List (USML)
AGENCY: Bureau of Industry and Security, Department of Commerce.
ACTION: Final rule.
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SUMMARY: This final rule addresses issues raised in, and public
comments on, the interim final rule that was published on May 13, 2014,
as well as additional clarifications and corrections. The May 13 rule
added controls to the Export Administration Regulations (EAR) for
spacecraft and related items that the President has determined no
longer warrant control under United States Munitions List (USML)
Category XV--spacecraft and related items.
This is the third final rule BIS has published related to the May
13 rule and completes the regulatory action for the interim final rule.
These changes were also informed by comments received in response to
the May 13 rule that included a request for comments, as well as
interagency discussions on how best to address the comments. The
changes made in this final rule are grouped into four types of changes:
Changes to address the movement of additional spacecraft and related
items from the USML to the Commerce Control List (CCL), as a result of
changes in aperture size for spacecraft that warrant ITAR control, in
response to public comments and further U.S. Government review; changes
to address the movement of the James Webb Space Telescope (JWST) from
the USML to the CCL; other corrections and clarifications to the
spacecraft interim final rule; and addition of .y items to Export
Control Classification Number 9A515.
This final rule is being published in conjunction with the
publication of a Department of State, Directorate of Defense Trade
Controls (DDTC) final rule, which makes changes, including corrections
and clarifications, to the provisions adopted in the State Department's
own May 13, 2014 rule. The State May 13 rule revised USML Category XV
(22 CFR 121.1) to control those articles the President has determined
warrant control on the USML. Both May 13 rules and the subsequent
related rules are part of the President's Export Control Reform
Initiative. This rule is also part of Commerce's retrospective
regulatory review plan under Executive Order (EO) 13563 (see the
SUPPLEMENTARY INFORMATION section of this rule for information on the
availability of the plan).
DATES: This rule is effective on January 15, 2017.
FOR FURTHER INFORMATION CONTACT: For questions about the ECCNs included
in this rule, contact Dennis Krepp, Office of National Security and
Technology Transfer Controls, Bureau of Industry and Security, U.S.
Department of Commerce, Telephone: 202-482-1309, email:
[email protected]. For general questions about the regulatory
changes pertaining to satellites, spacecraft, and related items,
contact the Regulatory Policy Division, Office of Exporter Services,
Bureau of Industry and Security, at 202-482-2440 or email:
[email protected].
SUPPLEMENTARY INFORMATION:
Background
This final rule addresses issues raised in, and public comments on,
the interim final rule, Revisions to the Export Administration
Regulations (EAR): Control of Spacecraft Systems and Related Items the
President Determines No Longer Warrant Control Under the United States
Munitions List (USML), that was published on May 13, 2014 (79 FR 27417)
(May 13 rule), and makes corrections and clarifications. The May 13
rule added controls to the Export Administration Regulations (EAR) for
spacecraft and related items that the President has determined no
longer warrant control under United States Munitions List (USML)
Category XV--spacecraft and related items. The vast majority of the
changes included in the May 13 rule have been implemented as published
in the interim final rule and are not republished in this final rule. A
full description of those changes can be found in the Background
section and the regulatory text of the May 13 rule. BIS also published
corrections and clarifications to the May 13 rule in a final rule
published on November 12, 2014 (79 FR 67055) and in a final rule
published on July 13, 2015 (80 FR 39950).
This final rule is being published in conjunction with the
publication of a Department of State, Directorate of Defense Trade
Controls (DDTC) final rule, which makes changes, including corrections
and clarifications, to the provisions adopted in the May 13 State
[[Page 2876]]
rule (79 FR 27180). The State May 13 rule revised USML Category XV (22
CFR 121.1) to control those articles the President has determined
warrant control on the USML. Both May 13 rules and the subsequent
related rules are part of the President's Export Control Reform
Initiative.
The changes included in this Commerce final rule complete the
regulatory action begun by the May 13 rule and are also informed by
comments received in response to that rule. The changes made in this
Commerce final rule are grouped into four types of changes: (1) Changes
to address the movement of additional spacecraft and related items from
the USML to the CCL, as a result of changes in aperture size for
spacecraft that warrant ITAR control, in response to public comments
and further U.S. Government review; (2) changes to address the movement
of the James Webb Space Telescope (JWST) from the USML to the CCL; (3)
other corrections and clarifications to the spacecraft interim final
rule; and (4) addition of .y items to Export Control Classification
Number (ECCN) 9A515. Note that certain ECCNs may be referenced in more
than one of the (1) through (4) sections, but for ease of reference the
description of those changes to those ECCNs, such as ECCN 9E515, are
grouped with the related changes under sections (1) through (4), as
applicable.
(1) Changes To Address the Movement of Additional Spacecraft and
Related Items From the USML to the CCL, as a Result of Changes in
Aperture Size for Spacecraft That Warrant ITAR Control, in Response to
Public Comments and Further U.S. Government Review
This final rule makes several changes to the EAR to address the
movement of additional spacecraft and related items from the USML to
the CCL, as a result of the Department of State's responding to
comments on its interim final rule, which specifically asked for
additional public comments on this issue. The Department of State in
its May 13 interim final rule noted:
Commenting parties recommended the aperture threshold for civil
and commercial remote sensing satellites in paragraph (a)(7)(i) be
increased from 0.35 meters to a threshold more appropriate for
current world capabilities and market conditions. The Department [of
State] did not accept this recommendation at this time. However, it,
along with other agencies, understands that the technology and civil
and commercial applications in this area are evolving. Thus, the
Department has committed to reviewing during the six months after
the publication of this rule whether further amendments to the USML
controls on civil and commercial remote sensing satellites are
warranted, and seeks additional public comment on this matter.
For a discussion of the changes made to the ITAR in response to the
related public comments, see the corresponding Department of State rule
published today.
The changes described below are the EAR changes needed to address
the movement of these additional spacecraft (under ECCNs 9A515.a.1 to
.a.4 and 9A004.u) and related items (under 9A515.g) from the USML to
the CCL. Adopting a more permissive aperture size (meaning more
spacecraft items would no longer warrant ITAR control) was strongly
advocated by commenters in response to the Commerce interim final rule.
The public believed additional changes were needed to appropriately
control spacecraft and related items that warranted ITAR control, with
respect to aperture size, while moving those that did not warrant ITAR
control to the CCL, consistent with the stated objectives in the May 13
final rules. State and the other agencies reviewing the comments agreed
that some additional spacecraft and related items did not warrant ITAR
control. This Commerce rule makes conforming changes to the EAR to
ensure that appropriate controls are in place for such additional
spacecraft and related items that did not warrant ITAR control, based
on the review of the public comments and additional U.S. Government
review. BIS anticipates an increase of approximately 10 to 20 license
applications per year as a result of these changes to the EAR.
Because of the more sensitive nature of these additional spacecraft
and related items that are being moved to the CCL, additional changes
are needed to the EAR to effectively control these items. In certain
cases, this means imposing more restrictive requirements compared to
other 9x515 items. These additional requirements are described below,
including a description of the parameters for the items moved to the
CCL.
In Sec. 740.20, paragraph (g) (License Exception STA eligibility
requests for 9x515 and ``600 series'' end items), this final rule
revises paragraph (g)(1) as a conforming change to the changes made to
ECCN 9A515.a, described below. To maintain the same scope of paragraph
(g)(1), this final rule removes the text that referred to ECCN 9A515.a
and adds in its place text referencing ``spacecraft'' in 9A515.a.1,
.a.2, .a.3, or .a.4, or items in 9A515.g. The spacecraft in ECCN
9A515.a.5 are eligible for License Exception STA without a Sec.
740.20(g) request. As a conforming change, this final rule adds ECCN
9E515.b, .d, .e, or .f as eligible for Sec. 740.20(g) License
Exception STA eligibility requests. Because the scope of revised
paragraph (g) includes items other than end items, this final rule also
revises the heading of paragraph (g) to remove the term ``end items''
and add in its place the term ``items.'' However, the items eligible to
be submitted under the Sec. 740.20(g) process are still limited to
those specific ECCNs and ``items'' paragraphs identified in paragraph
(g).
The spacecraft transferred to the CCL in this final rule are
subject to special regional stability license requirements. Therefore,
in Sec. 742.6 (Regional stability), this final rule makes revisions to
five paragraphs. The final rule revises paragraph (a)(1), adds a new
paragraph (a)(8), revises paragraph (b)(1)(i), and adds paragraphs
(b)(5) and (b)(6). These changes are described below.
In Sec. 742.6, paragraph (a)(1) (RS Column 1 license requirements
in general), this final rule adds a reference to new paragraph (a)(8).
New paragraph (a)(8) (Special RS Column 1 license requirement
applicable to certain spacecraft and related items) is an RS Column 1
license requirement, which is specific to certain spacecraft and
related items. This paragraph specifies that a license is required for
all destinations, including Canada, for spacecraft and related items
classified under ECCN 9A515.a.1, .a.2., .a.3., .a.4., .g, and ECCN
9E515.f. Although the license requirement for these specified ECCN
9x515 items is more restrictive than for those 9x515 items on the CCL
prior to publication of this rule, the license review policy is the
same as those for other 9x515 items. As a conforming change, this final
rule revises the fourth sentence of paragraph (b)(1)(i) to add a
reference to paragraph (a)(8), because that sentence references the
ECCN 9x515 license requirements, which now include those special RS
license requirements in paragraph (a)(8).
This final rule adds two new paragraphs, paragraph (b)(5)
(Spacecraft for launch) and paragraph (b)(6) (Remote sensing
spacecraft) to specify the requirements that apply for license
applications involving spacecraft and remote sensing spacecraft.
Consistent with the requirements in paragraph (y) in Supplement No. 2
to part 748 Unique Application and Submission Requirements, this final
rule adds paragraphs (b)(5)(i) and (b)(5)(ii) to specify when
applications to export or reexport a ``spacecraft'' controlled under
ECCN 9A515.a for launch in or by a country will or may require a
technology transfer control plan (TCP) approved by the Department of
Defense
[[Page 2877]]
(DoD), an encryption technology control plan approved by the National
Security Agency (NSA), and DoD monitoring of all launch activities.
Paragraph (b)(5)(i) specifies that this is a requirement for all such
applications for countries that are not a member of the North Atlantic
Treaty Organization (NATO) or a major non-NATO ally of the United
States. This final rule adds a similar requirement under paragraph
(b)(5)(ii), but with the key distinction that it may be required for
countries that are a member of NATO or a major non-NATO ally of the
United States.
Also in Sec. 742.6, this final rule adds a new paragraph (b)(6)
(Remote sensing spacecraft) to make applicants aware that any
application for ``spacecraft'' described in ECCN 9A515.a.1,.a.2, a.3,
or .a.4, for sensitive remote sensing components described in 9A515.g,
or for ``technology'' described in ECCN 9E515.f, may require a
government-to-government agreement at the discretion of the U.S.
Government. A government-to-government agreement may be required for
any destination at the sole discretion of the U.S. Government.
In Sec. 750.4 (Procedures for processing license applications), as
conforming changes to the changes described above to Sec. 742.6, this
final rule makes the following two changes: adds a new paragraph
(b)(8), and adds a new paragraph (d)(2)(iv). These changes are
described in the next two paragraphs.
In Sec. 750.4, consistent with the requirements in paragraph (y)
in Supplement No. 2 to part 748 Unique Application and Submission
Requirements, this final rule adds a new paragraph (b)(8) (Satellites
for launch) to include a requirement for license applications involving
a satellite for launch. Applicants must obtain approval by the DoD of a
technology transfer control plan and the approval of the NSA of an
encryption technology control plan. In addition, the applicant will
also be required to make arrangements with the DoD for monitoring of
all launch activities. These existing DoD and NSA requirements in
regards to satellites for launch are in addition to the EAR licensing
requirements, but any license authorized under the EAR for satellites
for launch must also be done in accordance with those DoD and NSA
requirements to be authorized under an EAR license. Therefore, this
final rule adds this requirement to Sec. 750.4(b)(8), which will
eliminate the need to add this requirement as a license condition for
any license for satellites for launch. These DoD and NSA TCP approval
requirements existed under the ITAR and are added to the EAR to
preserve the status quo. Therefore, although this paragraph adds three
new requirements to the EAR for license applications for spacecraft for
launch, the requirements are the same as when these spacecraft were
formerly under the ITAR, so there will be no increased burden on
exporters, reexporters or transferors.
In Sec. 750.4, this final rule adds a new paragraph (d)(2)(iv)
(Remote Sensing Interagency Working Group (RSIWG)) to make applicants
aware that the RSIWG, chaired by the State Department, will review
license applications involving remote sensing spacecraft. These will be
any items described in ECCN 9A515.a.1, .a.2, .a.3, or .a.4, sensitive
remote sensing components described in 9A515.g, or ``technology''
described in 9E515.f.
ECCN 9A515. This final rule adds a new License Requirement Note,
revises the Special Conditions for STA section, revises ``items''
paragraph (a), and adds paragraph (g) in the List of ``items''
controlled section of ECCN 9E515. These changes are described in the
next five paragraphs.
Addition of License Requirement Note to 9A515. As a conforming
change to the addition of Sec. 742.6(a)(8), described above, this
final rule adds a License Requirement Note to the end of the License
Requirements section of ECCN 9A515 to specify that the Commerce Country
Chart is not used for determining license requirements for commodities
classified as 9A515.a.1, .a.2., .a.3., .a.4, and .g. The new License
Requirement also includes a cross reference to Sec. 742.6(a)(8) and
alerts exporters and reexporters that these commodities are subject to
a worldwide license requirement.
In ECCN 9A515, Special Conditions for STA section, this final rule
revises paragraph (1). This final rule adds references to the new
``items'' paragraphs of ECCN 9A515.a (9A515.a.1, .a.2, .a.3 and .a.4)
and 9A515.g, which would not be eligible for License Exception STA,
unless determined by BIS to be eligible for License Exception STA in
accordance with Sec. 740.20(g) (License Exception STA eligibility
requests for certain 9x515 and ``600 series'' end items). Because these
items are commodities that are more sensitive, additional U.S.
Government review of the specific commodity is warranted prior to
allowing exporters, reexporters or transferors to use License Exception
STA. The imposition of this requirement is consistent with the use of
the paragraph (g) process for other sensitive items in the 9x515 ECCNs
and the ``600 series'' that have been moved to the CCL. Also in the
Special Conditions for STA section, this final rule redesignates
paragraph (2) as paragraph (3) and adds a new paragraph (2). This final
rule adds new paragraph (2) in the Special Conditions for STA section
to exclude the use of License Exception if the ``spacecraft''
controlled in ECCN 9A515.a.1, .a.2, .a.3, or .a.4 contains a separable
or removable propulsion system enumerated in USML Category IV(d)(2) or
USML Category XV(e)(12) and designated MT. This exclusion is being
added because the MTCR Category I components identified in this
paragraph are separable or removable and therefore for consistency with
the intent to exclude MT items from License Exception STA eligibility,
this final rule adds this as an additional restriction on the use of
License Exception STA.
In ECCN 9A515.a, this final rule revises ``items'' paragraph (a) to
add control parameters for the additional spacecraft being moved from
the USML to the CCL. Spacecraft moved from the USML to the CCL and
classified under ECCN 9A515.a prior to publication of this rule are
being moved to new ``items'' paragraph (a)(5). This final rule adds
``items'' paragraphs (a)(1), (a)(2), (a)(3) and (a)(4) to ECCN 9A515 to
control the additional spacecraft items being moved to the CCL. The
identification of these more sensitive spacecraft items in their own
``items'' level paragraph in ECCN 9A515 (9A515.a.1, .a.2, .a.3., .a.4)
will allow for the imposition of more restrictive controls that are
needed, while not impacting other spacecraft and related items that do
not warrant the more restrictive controls (e.g., 9A515.a.5). These more
restrictively controlled items consist of the following:
``spacecraft,'' including satellites, and space vehicles, whether
designated developmental, experimental, research or scientific, not
enumerated in USML Category XV or described in ECCN 9A004 that have
electro-optical remote sensing capabilities and having a clear aperture
greater than 0.35 meters, but less than or equal to 0.50 meters (under
ECCN 9A515.a.1). It includes those having remote sensing capabilities
beyond NIR (under ECCN 9A515.a.2), those having radar remote sensing
capabilities (e.g., AESA, SAR, or ISAR) having a center frequency equal
to or greater than 1.0 GHz, but less than 10.0 GHz and having a
bandwidth equal to or greater than 100 MHz, but less than 300 MHz
(under 9A515.a.3). These more sensitive items being moved from the USML
to the CCL also include those providing space-based logistics,
assembly, or servicing of another ``spacecraft'' (under ECCN
9A515.a.4).
[[Page 2878]]
In ECCN 9A515.g, this final rule also adds ``items'' paragraph (g)
to 9A515, as related to the changes described above to 9A515.a.
Paragraph (g) is added to control remote sensing components that are
``specially designed'' for ``spacecraft'' described in ECCN 9A515.a.1
though 9A515.a.4, which were described above. Similar to the reason for
identifying the items in ECCN 9A515.a.1 through .a.4., specifying that
these remote sensing components are the ``items'' paragraphs (g)(1)
through (g)(3) will allow the imposition of more restrictive controls
on these components, without needing to impose the same level of
restrictions on 9A515.x items, which is the paragraph under which these
components would have been controlled if this new 9A515.g paragraph
were not being added. Paragraph (g) controls remote sensing components
for space-qualified optics with the largest lateral clear aperture
dimension equal to or less than 0.35 meters; or with the largest clear
aperture dimension greater than 0.35 meters but less than or equal to
0.50 meters (under ECCN 9A515.g.1). In addition, paragraph (g) controls
optical bench assemblies ``specially designed'' for the spacecraft
added to ECCN 9A515.a.1 through .a.4 (under ECCN 9A515.g.2), and
primary, secondary, or hosted payloads that perform a function of
spacecraft added to 9A515.a.1. through .a.4. (under 9A515.g.3).
ECCN 9E515. This final rule adds a new License Requirement Note,
revises the Special Conditions for STA section and ``items'' paragraph
(a), and adds ``items'' paragraph (f) in the List of ``items''
controlled section of ECCN 9E515. These changes are described in the
next five paragraphs:
Addition of License Requirement Note to 9E515. As a conforming
change to the addition of Sec. 742.6(a)(8), described above, this
final rule adds a License Requirement Note to the end of the License
Requirements section of ECCN 9E515 to specify that the Commerce Country
Chart is not used for determining license requirements for
``technology'' classified 9E515.f. The new License Requirement also
includes a cross reference to Sec. 742.6(a)(8) and alerts exporters
and reexporters that this ``technology'' is subject to a worldwide
license requirement.
In ECCN 9E515, Special Conditions for STA section, this final rule
revises paragraph (1) to add a reference to 9E515.f. This final rule
specifies that such technology is not eligible for STA, unless the
specific technology has been approved under the Sec. 740.20(g) process
by the U.S. Government. This change is made to conform to the addition
described below of ``technology'' under ECCN 9E515.f for the additional
spacecraft and related components added to 9A515.a and .g described
above. In addition, this final rule also specifies that the
``technology'' controlled under ECCN 9E515.b, .d and .e are not
eligible for License Exception STA, unless the specific ``technology''
has been approved under the Sec. 740.20(g) process by the U.S.
Government. Prior to publication of this final rule, ECCN 9E515.b, .d
and .e ``technology'' was excluded from License Exception STA in all
cases, which based on public comments and interagency discussions was a
more restrictive policy than was needed to protect U.S. national
security and foreign policy interests for this ``technology''
classified under ECCN 9E515. Therefore, this final rule makes the other
``technology'' (9E515.b, .d and .e) also eligible for the requests
under Sec. 740.20(g), as described above in the changes this final
rule makes to paragraph (g) of License Exception STA.
In ECCN 9E515.a, this final rule revises ``items'' paragraph (a) to
exclude the ``technology'' for the new commodities added to 9A515.a
(.a.1 through .a.4) and .g. ``Required'' ``technology'' for these new
commodities added to ECCN 9A515.a and .g will be controlled under ECCN
9E515, but in order to impose more restrictive controls on those
``technologies'' without impacting other 9E515 ``technology,'' this
final rule adds this ``technology'' being moved to the CCL to a new
``items'' paragraph (f) to 9E515, as described below.
In ECCN 9E515.f, this final rule adds a new ``items'' paragraph (f)
in the List of Items Controlled section to control ``technology''
``required'' for the ``development,'' ``production,'' installation,
repair, overhaul, or refurbishing of commodities that this final rule
adds to ECCN 9A515 under ``items'' paragraphs .a.1 through .a.4, or .g.
As described above, this final rule is identifying these
``technologies'' in their own ``items'' paragraph in order to allow
more restrictive controls to be placed on these items without impacting
other ECCN 9E515 ``technology.''
(2) Changes To Address the Movement of the James Webb Space Telescope
(JWST) From the USML to the CCL
ECCN 9A004. This final rule revises ECCN 9A004 to add a specific
telescope, which was ``subject to the ITAR'' prior to the effective
date of this final rule. A determination was made based on the public
comments received by the Department of State and the space interagency
working group (a group of U.S. Government agencies involved in the
export control system and that deal with space related issues) that
this specific telescope was within the scope of spacecraft and related
items that did not warrant being subject to the ITAR. Therefore,
consistent with the stated purpose of the May 13 rule, as well as
section 38(f) of the Arms Export Control Act (AECA), the Department of
State has moved this telescope, the James Webb Space Telescope (JWST),
which is being developed, launched, and operated under the supervision
of the U.S. National Aeronautics and Space Administration (NASA), to
the CCL. The ``parts,'' ``components,'' ``accessories,'' and
``attachments'' that are ``specially designed'' for use in or with the
JWST are also being moved from the ITAR and will be subject to the EAR,
as of the effective date of the State and Commerce final rules.
To control the JWST and the ``specially designed'' ``parts,''
``components,'' ``accessories,'' and ``attachments'' for the JWST, this
final rule adds two new ``items'' paragraph to ECCN 9A004. First, this
final rule adds a new ``items'' paragraph (u) to 9A004 to control the
JWST (the specific telescope) that is being moved to the CCL from the
USML. Second, this final rule adds a new ``items'' paragraph (v) to
control the ``specially designed'' ``parts,'' ``components,''
``accessories,'' or ``attachments'' for use in or with the JWST. The
commodities this final rule adds to ECCN 9A004.v include the primary
and secondary payloads of the JWST.
This final rule also specifies in the control parameters in the new
paragraph (v)(1) to (v)(4) that the ``parts,'' ``components,''
``accessories,'' and ``attachments'' specified in paragraph (v) do not
include items that are ``subject to the ITAR,'' microelectronic
circuits, items in ECCNs 7A004 and 7A104, or in any ECCN containing
``space qualified'' as a control criterion (See ECCN 9A515.x.4). As a
conforming change, this final rule revises the phrase ``ECCN 9A004.x''
in paragraph (y) to add a reference to the ``parts,'' ``components,''
``accessories,'' and ``attachments'' in paragraph (v) that this final
rule adds. This final rule revises the phrase, so it now specifies
``ECCN 9A004.v or .x,'' which is being done to account for the fact
that paragraphs (v) and (x) will contain certain ``specially designed''
``parts,'' ``components,'' ``accessories,'' and ``attachments'' for
items enumerated in ECCN 9A004 and that the new items being added to
paragraph (v) and (x) could be reclassified under 9A004.y, if
subsequently the specific item is
[[Page 2879]]
identified in an interagency-cleared commodity classification (CCATS)
pursuant to Sec. 748.3(e) as warranting control in 9A004.y. BIS
anticipates an increase of approximately 20 license applications per
year as a result of these changes to the EAR.
In addition to the change to ECCN 9A004, this final rule makes
changes to three 9x515 ECCNs to reflect that the JWST and the
``specially designed'' ``parts,'' ``components,'' ``accessories,'' and
``attachments'' for the JWST are being added to 9A004. This final rule
makes these conforming changes to ECCNs 9A515, 9B515 and 9E515. These
are not substantive changes. These changes are described in the next
three paragraphs.
ECCN 9A515. This final rule revises the third sentence of the
Related Controls paragraph in the List of Items Controlled section of
ECCN 9A515 to add a reference to the JWST. This final rule also revises
the Note to ECCN 9A515.a to specify items in ECCN 9A004 are not within
the scope of 9A515.a. A reference to ECCN 9A004 needs to be added
because the description of this Note to ECCN 9A515.a would otherwise
include the JWST. This final rule revises ``items'' paragraph (b) in
ECCN 9A515, to add a reference to ECCN 9A004.u for the JWST. This
conforming change is needed to specify that ground control systems and
training simulators ``specially designed'' for telemetry, tracking and
control of the JWST are also within the scope of ECCN 9A515.b. For
similar reasons, this final rule revises ``items'' paragraph (e) to add
a reference to ECCN 9A004.u. This conforming change is made to specify
that the microelectronic circuits and discrete electronic components
described in ECCN 9A515.e include those ``specially designed'' for the
JWST. This final rule also makes some changes to the .y paragraph in
ECCN 9A515, which are discussed further below.
ECCN 9B515. This final rule revises ``items'' paragraph (a) in the
List of Items Controlled section to add a reference to ECCN 9A004.u.
This conforming change is needed to specify that the test, inspection,
and production ``equipment'' ``specially designed'' for the
``production'' or ``development'' of the JWST are also classified under
ECCN 9B515.a. For similar reasons, this final rule revises the Note to
ECCN 9B515.a to add a reference to ECCN 9A004.u. This conforming change
is intended to specify that ECCN 9B515.a includes equipment, cells, and
stands ``specially designed'' for the analysis or isolation of faults
in the JWST, in addition to the other commodities enumerated in the
Note to ECCN 9A515.a.
ECCN 9E515. This final rule also revises the third sentence in the
``Related Controls'' paragraph in the List of Items Controlled section
in ECCN 9E515 to add a reference to the JWST. This sentence will alert
persons classifying technology for the JWST to see ECCNs 9E001 and
9E002.
(3) Other Corrections and Clarifications to Interim Spacecraft Final
Rule
ECCN 9A515. This final rule adds two sentences at the end of the
introductory text in the ``items'' paragraph in the List of Items
Controlled section of ECCN 9A515, consistent with the notes to USML
Category XV. The introductory paragraph clarifies when ``spacecraft''
and other items described in ECCN 9A515 remain subject to the EAR even
if exported, reexported, or transferred (in-country) with defense
articles ``subject to the ITAR'' integrated into and included therein
as integral parts of the item. This introductory paragraph includes
some application examples and some qualifiers for when the ITAR
jurisdiction would reapply to such defense articles. This final rule
adds two new sentences to clarify two additional instances where the
jurisdiction of the ITAR would be applicable in such scenarios. The
first new sentence is being added to clarify that the removal of a
defense article subject to the ITAR from the spacecraft is a retransfer
under the ITAR--meaning the removal of a defense article would require
an ITAR authorization. The ITAR authorization requirement would apply
regardless of which CCL authorization the spacecraft is exported under
the EAR. The second sentence clarifies that transfer of technical data
regarding the defense article subject to the ITAR integrated into the
spacecraft would require an ITAR authorization.
ECCN 9B515. This final rule revises the License Requirements
section of ECCN 9B515 to add a missile technology (MT) control. The MT
control is being added to impose a license requirement on equipment in
ECCN 9B515.a that is for the ``development'' or ``production'' of
commodities in USML Category XV(e)(12) and XV(e)(19) that are MT
controlled. This change is made to conform to the Missile Technology
Control Regime (MTCR) Annex and the corresponding MT controls in USML
Category XV (MTCR Annex, Category I: Item 2.B.2.). BIS anticipates an
increase of approximately 10 license applications per year as a result
of this change to the EAR, along with the conforming MT change made to
ECCN 9E515 described in the next paragraph.
ECCN 9E515. This final rule, as a conforming change to the change
to ECCN 9B515, revises the MT Control paragraph in the License
Requirements section on ECCN 9E515. This final rule revises the MT
Control paragraph in ECCN 9E515 to add technology for items in 9B515.a
that are controlled for MT reasons. This change is made to conform to
the MTCR Annex and the corresponding MT controls in USML Category XV
(MTCR Annex, Category I: Item 2.E.1.).
(4) Addition of .y Items to ECCN 9A515
This final rule adds five .y paragraphs (ECCN 9A515.y.2, .y.3.,
.y.4, .y.5, and .y.6) as additional commodities specified under
paragraph (y) in this ECCN. As noted in the introductory text of
paragraph (y), the U.S. Government through the Sec. 748.3(e) process
will identify the items that warrant being classified under 9x515.y,
such as the commodities being specified under ECCN 9A515.y.2 to .y.6 in
this final rule. Specifically, the following space grade or for
spacecraft applications commodities: thermistors (ECCN 9A515.y.2); RF
microwave bandpass ceramic filters (dielectric resonator bandpass
filters) (9A515.y.3); space grade or for spacecraft applications hall
effect sensors (9A515.y.4); subminiature (SMA and SMP) plugs and
connectors, TNC plugs and cable and connector assemblies with SMA plugs
and connectors (9A515.y.5); and flight cable assemblies (9A515.y.6)
have been identified in interagency-cleared commodity classifications
(CCATS) pursuant to Sec. 748.3(e) as warranting control in 9A515.y.2
to .y.6. The additions described above for ECCN 9A515.y.2 to y.6 are
the second set of approved populations of .y controls being added to
9A515. As stated in the May 13 rule, as well as the July 13 rule (which
added ECCN 9A515.y.1), BIS (along with State and Defense) will continue
to populate the 9A515.y with additional entries as additional
classification determinations are made in response to requests from the
public under Sec. 748.3(e).
As required by Executive Order (EO) 13563, BIS intends to review
this rule's impact on the licensing burden on exporters. Commerce's
full plan is available at: http://open.commerce.gov/news/2011/08/23/plan-retrospective-analysis-existing-rules. Data are routinely
collected on an ongoing basis, including through the comments to be
submitted and as a result of new information and results from AES data.
These results and data have been, and
[[Page 2880]]
will continue to form, the basis for ongoing reviews of the rule and
assessments of various aspects of the rule. As part of its plan for
retrospective analysis under EO 13563, BIS intends to conduct periodic
reviews of this rule and to modify, or repeal, aspects of this rule, as
appropriate, and after public notice and comment. Some of the changes
described above are limited to corrections or clarifications of what
was included in the May 13 rule. BIS estimates that the substantive
changes described above will result in an increase of 30-40 license
applications per year, which is within the previous estimate made for
the number of license applications that BIS anticipated receiving as a
result of the movement of these spacecraft and related items to the CCL
under the May 13 rule.
Export Administration Act
Although the Export Administration Act expired on August 20, 2001,
the President, through Executive Order 13222 of August 17, 2001, 3 CFR,
2001 Comp., p. 783 (2002), as amended by Executive Order 13637 of March
8, 2013, 78 FR 16129 (March 13, 2013) and as extended by the Notice of
August 4, 2016, 81 FR 52587 (August 8, 2016), has continued the Export
Administration Regulations in effect under the International Emergency
Economic Powers Act. BIS continues to carry out the provisions of the
Export Administration Act, as appropriate and to the extent permitted
by law, pursuant to Executive Order 13222 as amended by Executive Order
13637.
Rulemaking Requirements
1. Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distribute impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility. This final rule has been designated a ``significant
regulatory action,'' although not economically significant, under
section 3(f) of Executive Order 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor is subject to a penalty for failure to
comply with, a collection of information, subject to the requirements
of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA),
unless that collection of information displays a currently valid OMB
control number. This regulation involves collections previously
approved by OMB under control number 0694-0088, Simplified Network
Application Processing System, which includes, among other things,
license applications and carries a burden estimate of 43.8 minutes for
a manual or electronic submission. Total burden hours associated with
the PRA and OMB control number 0694-0088 are expected to increase
slightly as a result of this rule. The expected increase in total
burden hours is expected to be minimal and to not exceed the existing
estimates for burden hours associated with the PRA and OMB control
number 0694-0088. You may send comments regarding the collection of
information associated with this rule, including suggestions for
reducing the burden, to Jasmeet K. Seehra, Office of Management and
Budget (OMB), by email to [email protected], or by fax to
(202) 395-7285.
3. This rule does not contain policies with Federalism implications
as that term is defined under E.O. 13132.
4. The Department finds that there is good cause under 5 U.S.C.
553(b)(B) to waive the provisions of the Administrative Procedure Act
(APA) requiring prior notice and the opportunity for public comment
because they are either unnecessary or contrary to the public interest.
The following revisions are non-substantive or are limited to ensure
consistency with the intent of the May 13, 2014 interim final rule, and
thus prior notice and the opportunity for public comment is
unnecessary. ECCNs 9A004, 9A515, 9B515, and 9E515 are revised to make
clarifications to the EAR to ensure consistency with the intent of the
May 13, 2014 interim final rule for purposes of what spacecraft and
related items warranted ITAR control and what spacecraft items were
intended to be moved to the EAR, as well as for consistency with the
MTCR Annex for certain changes made to ECCNs 9B515 and 9E515. This
includes the changes made to Sec. Sec. 740.20(g), 742.6(a)(1), (a)(8),
(b)(1)(i), (b)(5) and (b)(6), and 750.4(b)(4), (b)(8) and (d)(2)(iv) to
ensure appropriate controls are in place under the EAR for the
additional spacecraft and related items that are moved to the CCL in
this final rule in response to public comments and additional U.S.
Government review of those comments. Finally, as contemplated in the
May 13 rule, BIS has added five entries to the .y paragraph of ECCN
9A515, which were added as a result of the Sec. 748.3(e) process. For
purposes of the APA, there is good cause, and it is in the public
interest to incorporate this change so the public can benefit from
understanding the classification of the items. These revisions are
important to implement as soon as possible so the public will be aware
of the correct text and meaning of current EAR provisions.
BIS finds good cause to waive the 30-day delay in effectiveness
under 5 U.S.C. 553(d)(3). As mentioned previously, the revisions made
by this rule are non-substantive or are limited to ensure consistency
with the intent of the May 13, 2014 interim final rule and are
important to implement as soon as possible so the public will be aware
of the correct text and meaning of current EAR provisions.
Because a notice of proposed rulemaking and an opportunity for
public comment are not required to be given for these amendments by 5
U.S.C. 553, or by any other law, the analytical requirements of the
Regulatory Flexibility Act, 5 U.S.C. 601 et seq., are not applicable.
List of Subjects
15 CFR Parts 740 and 750
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 742
Exports, Terrorism.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
Accordingly, the Export Administration Regulations (15 CFR parts
730-774) are amended as follows:
PART 740--[AMENDED]
0
1. The authority citation for 15 CFR part 740 continues to read as
follows:
Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; 22
U.S.C. 7201 et seq.; 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 4, 2016, 81 FR 52587 (August 8, 2016).
0
2. Section 740.20 is amended by revising the heading of paragraph (g)
and paragraph (g)(1) to read as follows:
Sec. 740.20 License exception strategic trade authorization (STA).
* * * * *
(g) License Exception STA eligibility requests for 9x515 and ``600
series'' items--(1) Applicability. Any person may request License
Exception STA eligibility for end items described in ECCN 0A606.a, ECCN
8A609.a, ECCN 8A620.a or .b, ``spacecraft'' in ECCN
[[Page 2881]]
9A515.a.1, .a.2, .a.3, .a.4, or .g, that provide space-based logistics,
assembly or servicing of any spacecraft (e.g., refueling), ECCN
9A610.a, or ECCN 9E515.b, .d, .e, or .f.
* * * * *
PART 742--[AMENDED]
0
3. The authority citation for 15 CFR part 742 continues to read as
follows:
Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; 22
U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 et seq.; 22
U.S.C. 7210; Sec. 1503, Pub. L. 108-11, 117 Stat. 559; E.O. 12058,
43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3
CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp.,
p. 950; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Presidential
Determination 2003-23, 68 FR 26459, 3 CFR, 2004 Comp., p. 320;
Notice of November 12, 2015, 80 FR 70667 (November 13, 2015); Notice
of August 4, 2016, 81 FR 52587 (August 8, 2016).
0
4. Section 742.6 is amended:
0
a. By revising paragraph (a)(1);
0
b. By adding paragraph (a)(8);
0
c. By revising the fourth sentence of paragraph (b)(1)(i); and
0
d. By adding paragraphs (b)(5) and (6), to read as follows:
Sec. 742.6 Regional stability.
(a) * * *
(1) RS Column 1 license requirements in general. A license is
required for exports and reexports to all destinations, except Canada,
for all items in ECCNs on the CCL that include RS Column 1 in the
Country Chart column of the ``License Requirements'' section.
Transactions described in paragraphs (a)(2), (a)(3), or (a)(8) of this
section are subject to the RS Column 1 license requirements set forth
in those paragraphs rather than the license requirements set forth in
this paragraph (a)(1).
* * * * *
(8) Special RS Column 1 license requirement applicable to certain
spacecraft and related items. A license is required for all
destinations, including Canada, for spacecraft and related items
classified under ECCN 9A515.a.1, .a.2., .a.3., .a.4., .g, and ECCN
9E515.f.
(b) * * *
(1) * * *
(i) *** Applications for export or reexport of items classified
under any 9x515 or ``600 series'' ECCN requiring a license in
accordance with paragraph (a)(1) or (a)(8) of this section will also be
reviewed consistent with United States arms embargo policies in Sec.
126.1 of the ITAR (22 CFR 126.1) if destined to a country set forth in
Country Group D:5 in Supplement No. 1 to part 740 of the EAR. * * *
* * * * *
(5) Spacecraft for launch. (i) Applications to export or reexport a
``spacecraft'' controlled under ECCN 9A515.a for launch in or by a
country that is not a member of the North Atlantic Treaty Organization
(NATO) or a major non-NATO ally of the United States (as defined in 22
CFR 120.31 and 120.32), will require a technology transfer control plan
approved by the Department of Defense, an encryption technology control
plan approved by the National Security Agency, and Department of
Defense monitoring of all launch activities.
(ii) Applications to export or reexport a ``spacecraft'' controlled
under ECCN 9A515.a for launch in or by a country that is a member of
the North Atlantic Treaty Organization (NATO) or a major non-NATO ally
of the United States (as defined in 22 CFR 120.31 and 120.32), may
require a technology transfer control plan approved by the Department
of Defense, an encryption technology control plan approved by the
National Security Agency, or Department of Defense monitoring of launch
activities.
(6) Remote sensing spacecraft. Applications to export or reexport a
``spacecraft'' described in ECCN 9A515.a.1,.a.2, a.3, or .a.4,
sensitive remote sensing components described in 9A515.g, or
``technology'' described in ECCN 9E515.f may require a government-to-
government agreement at the discretion of the U.S. Government.
* * * * *
PART 750--[AMENDED]
0
5. The authority citation for 15 CFR part 750 continues to read as
follows:
Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; Sec.
1503, Pub. L. 108-11, 117 Stat. 559; E.O. 13026, 61 FR 58767, 3 CFR,
1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783; E.O. 13637, 78 FR 16129, 3 CFR, 2013 Comp., p. 223;
Presidential Determination 2003-23, 68 FR 26459, 3 CFR, 2004 Comp.,
p. 320; Notice of August 4, 2016, 81 FR 52587 (August 8, 2016).
0
6. Section 750.4 is amended:
0
a. By adding paragraph (b)(8); and
0
b. By adding paragraph (d)(2)(iv) to read as follows:
Sec. 750.4 Procedures for processing license applications.
* * * * *
(b) * * *
(8) Satellites for launch. Applicant must obtain approval by the
Department of Defense of a technology transfer control plan and the
National Security Agency of an encryption technology transfer control
plan and must make arrangements with the Department of Defense for
monitoring of all launch activities.
* * * * *
(d) * * *
(2) * * *
(iv) Remote Sensing Interagency Working Group (RSIWG). The RSIWG,
chaired by the State Department, reviews license applications involving
remote sensing spacecraft described in ECCN 9A515.a.1, .a.2, .a.3, or
.a.4, sensitive remote sensing components described in 9A515.g, or
``technology'' described in ECCN 9E515.f.
* * * * *
PART 774--[AMENDED]
0
7. The authority citation for 15 CFR part 774 continues to read as
follows:
Authority: 50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; 10
U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et
seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15 U.S.C. 1824a; 50 U.S.C.
4305; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; 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 4, 2016, 81 FR 52587 (August 8,
2016).
0
8. In Supplement No. 1 to Part 774, Category 9--Aerospace and
Propulsion, ECCN 9A004 is amended:
0
a. By revising the License Requirements table;
0
b. By adding ``items'' paragraph u. and v. to the List of Items
Controlled section; and
0
c. By revising ``items'' paragraph y. in the List of Items Controlled
section to read as follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
9A004 Space launch vehicles and ``spacecraft,'' ``spacecraft
buses,'' ``spacecraft payloads,'' ``spacecraft'' on-board systems or
equipment, and terrestrial equipment, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS and AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to 9A004.u, .v, .w and .x...... NS Column 1
AT applies to 9A004.u, .v, .w, .x and .y.. AT Column 1
* * * * *
[[Page 2882]]
List of Items Controlled
* * * * *
u. The James Webb Space Telescope (JWST) being developed,
launched, and operated under the supervision of the U.S. National
Aeronautics and Space Administration (NASA).
v. ``Parts,'' ``components,'' ``accessories'' and
``attachments'' that are ``specially designed'' for the James Webb
Space Telescope and that are not:
v.1. Enumerated or controlled in the USML;
v.2. Microelectronic circuits;
v.3. Described in ECCNs 7A004 or 7A104; or
v.4. Described in an ECCN containing ``space-qualified'' as a
control criterion (See ECCN 9A515.x.4).
* * * * *
y. Items that would otherwise be within the scope of ECCN
9A004.v or .x but that have been identified in an interagency-
cleared commodity classification (CCATS) pursuant to Sec. 748.3(e)
as warranting control in 9A004.y.
0
9. In Supplement No. 1 to Part 774, Category 9--Aerospace and
Propulsion, ECCN 9A515 is amended:
0
a. By adding a License Requirement Note at the end of the License
Requirements section;
0
b. By revising the Special Conditions for STA section;
0
c. By revising the Related Controls paragraph in the List of Items
Controlled section;
0
d. By revising the introductory text to the ``items'' paragraph in the
List of items Controlled section;
0
e. By revising ``items'' paragraphs a. and b. in the List of Items
Controlled section;
0
f. By revising the introductory text of paragraphs d. and e. in the
List of Items Controlled section;
0
g. By adding ``items'' paragraph g. in the list of Items Controlled
section; and
0
h. By adding ``items'' paragraphs y.2., y.3., y.4., y.5. and y.6. to
read as follows:
9A515 ``Spacecraft'' and related commodities, as follows (see List
of Items Controlled).
License Requirements
* * * * *
License Requirement Note: The Commerce Country Chart is not used
for determining license requirements for commodities classified in
ECCN 9A515.a.1, .a.2., .a.3., .a.4, and .g. See Sec. 742.6(a)(8),
which specifies that such commodities are subject to a worldwide
license requirement.
* * * * *
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec.
740.20(c)(1) of the EAR) may not be used for ``spacecraft'' in ECCN
9A515.a.1, .a.2, .a.3, or .a.4, or items in 9A515.g, unless
determined by BIS to be eligible for License Exception STA in
accordance with Sec. 740.20(g) (License Exception STA eligibility
requests for certain 9x515 and ``600 series'' items). (2) License
Exception STA may not be used if the ``spacecraft'' controlled in
ECCN 9A515.a.1, .a.2, .a.3, or .a.4 contains a separable or
removable propulsion system enumerated in USML Category IV(d)(2) or
USML Category XV(e)(12) and designated MT. (3) Paragraph (c)(2) of
License Exception STA (Sec. 740.20(c)(2) of the EAR) may not be
used for any item in 9A515.
List of Items Controlled
Related Controls: Spacecraft, launch vehicles and related articles
that are enumerated in the USML, and technical data (including
``software'') directly related thereto, and all services (including
training) directly related to the integration of any satellite or
spacecraft to a launch vehicle, including both planning and onsite
support, or furnishing any assistance (including training) in the
launch failure analysis or investigation for items in ECCN 9A515.a,
are ``subject to the ITAR.'' All other ``spacecraft,'' as enumerated
below and defined in Sec. 772.1, are subject to the controls of
this ECCN. See also ECCNs 3A001, 3A002, 3A991, 3A992, 6A002, 6A004,
6A008, and 6A998 for specific ``space-qualified'' items, 7A004 and
7A104 for star trackers, and 9A004 for the International Space
Station (ISS), James Webb Space Telescope (JWST), and ``specially
designed'' ``parts'' and ``components'' therefor. See USML Category
XI(c) for controls on microwave monolithic integrated circuits
(MMICs) that are ``specially designed'' for defense articles. See
ECCN 9A610.g for pressure suits used for high altitude aircraft.
* * * * *
Items: ``Spacecraft'' and other items described in ECCN 9A515 remain
subject to the EAR even if exported, reexported, or transferred (in-
country) with defense articles ``subject to the ITAR'' integrated
into and included therein as integral parts of the item. In all
other cases, such defense articles are subject to the ITAR. For
example, a 9A515.a ``spacecraft'' remains ``subject to the EAR''
even when it is exported, reexported, or transferred (in-country)
with a ``hosted payload'' described in USML Category XV(e)(17)
incorporated therein. In all other cases, a ``hosted payload''
performing a function described in USML Category XV(a) always
remains a USML item. The removal of the defense article subject to
the ITAR from the spacecraft is a retransfer under the ITAR and
would require an ITAR authorization, regardless of the CCL
authorization the spacecraft is exported under. Additionally,
transfer of technical data regarding the defense article subject to
the ITAR integrated into the spacecraft would require an ITAR
authorization.
* * * * *
a. ``Spacecraft,'' including satellites, and space vehicles,
whether designated developmental, experimental, research or
scientific, not enumerated in USML Category XV or described in ECCN
9A004, that:
a.1. Have electro-optical remote sensing capabilities and having
a clear aperture greater than 0.35 meters, but less than or equal to
0.50 meters;
a.2. Have remote sensing capabilities beyond NIR (i.e., SWIR,
MWIR, or LWIR);
a.3. Have radar remote sensing capabilities (e.g., AESA, SAR, or
ISAR) having a center frequency equal to or greater than 1.0 GHz,
but less than 10.0 GHz and having a bandwidth equal to or greater
than 100 MHz, but less than 300 MHz;
a.4. Provide space-based logistics, assembly, or servicing of
another ``spacecraft''; or
a.5. Are not described in ECCN 9A515.a.1, .a.2, .a.3 or .a.4.
Note: ECCN 9A515.a includes commercial communications
satellites, remote sensing satellites, planetary rovers, planetary
and interplanetary probes, and in-space habitats, not identified in
ECCN 9A004 or USML Category XV(a).
b. Ground control systems and training simulators ``specially
designed'' for telemetry, tracking, and control of the
``spacecraft'' controlled in paragraphs 9A004.u or 9A515.a.
* * * * *
d. Microelectronic circuits (e.g., integrated circuits,
microcircuits, or MOSFETs) and discrete electronic components rated,
certified, or otherwise specified or described as meeting or
exceeding all the following characteristics and that are ``specially
designed'' for defense articles, ``600 series'' items, or items
controlled by ECCNs 9A004.v or 9A515:
* * * * *
e. Microelectronic circuits (e.g., integrated circuits,
microcircuits, or MOSFETs) and discrete electronic components that
are rated, certified, or otherwise specified or described as meeting
or exceeding the characteristics in either paragraph e.1 or e.2, AND
``specially designed'' for defense articles controlled by USML
Category XV or items controlled by ECCNs 9A004.u or 9A515:
* * * * *
g. Remote sensing components ``specially designed'' for
``spacecraft'' described in ECCNs 9A515.a.1 through 9A515.a.4 as
follows:
g.1. Space-qualified optics (i.e., lens, mirror, membrane having
active properties (e.g., adaptive, deformable)) with the largest
lateral clear aperture dimension equal to or less than 0.35 meters;
or with the largest clear aperture dimension greater than 0.35
meters but less than or equal to 0.50 meters;
g.2. Optical bench assemblies ``specially designed'' for ECCN
9A515.a.1, 9A515.a.2, 9A515.a.3, or 9A515.a.4 ``spacecraft;'' or
g.3. Primary, secondary, or hosted payloads that perform a
function of ECCN 9A515.a.1, 9A515.a.2, 9A515.a.3, or 9A515.a.4
``spacecraft.''
* * * * *
y. * * *
y.2. Space grade or for spacecraft applications thermistors;
y.3. Space grade or for spacecraft applications RF microwave
bandpass ceramic filters (Dielectric Resonator Bandpass Filters);
[[Page 2883]]
y.4. Space grade or for spacecraft applications hall effect
sensors;
y.5. Space grade or for spacecraft applications subminiature
(SMA and SMP) plugs and connectors, TNC plugs and cable and
connector assemblies with SMA plugs and connectors; and
y.6. Space grade or for spacecraft applications flight cable
assemblies.
0
10. In Supplement No. 1 to Part 774, Category 9--Aerospace and
Propulsion, ECCN 9B515 is amended:
0
a. By revising the License Requirements section; and
0
b. By revising ``items'' paragraph a. in the List of Items Controlled
section to read as follows:
9B515 Test, inspection, and production ``equipment'' ``specially
designed'' for ``spacecraft'' and related commodities, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, RS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to equipment in 9B515.a for the MT Column 1
``development'' or ``production'' of
commodities in USML Category XV(e)(12)
and XV(e)(19) that are MT controlled.
RS applies to entire entry................ RS Column 1
AT applies to entire entry................ AT Column 1
* * * * *
Items:
a. Test, inspection, and production ``equipment'' ``specially
designed'' for the ``production'' or ``development'' of commodities
enumerated in ECCNs 9A004.u, 9A515.a, or USML Category XV(a) or
XV(e).
Note:
ECCN 9B515.a includes equipment, cells, and stands ``specially
designed'' for the analysis or isolation of faults in commodities
enumerated in ECCNs 9A004.u or 9A515.a, or USML Category XV(a) or
XV(e).
* * * * *
0
11. In Supplement No. 1 to Part 774, Category 9--Aerospace and
Propulsion, ECCN 9E515 is amended:
0
a. By revising the License Requirements table;
0
b. By adding a License Requirement Note at the end of the License
Requirements section;
0
c. By revising paragraph (1) in the Special Conditions for STA section;
0
d. By revising the Related Controls paragraph in the List of Items
Controlled section;
0
e. By revising ``items'' paragraph a. in the List of Items Controlled
section; and
0
f. By adding ``items'' paragraph f. in the list of Items Controlled
section to read as follows:
9E515 ``Technology'' ``required'' for the ``development,''
``production,'' operation, installation, repair, overhaul, or
refurbishing of ``spacecraft'' and related commodities, as follows
(see List of Items Controlled).
License Requirements
* * * * *
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry except 9E515.y. NS Column 1
MT applies to technology for items in MT Column 1
9A515.d, 9A515.e.2 and 9B515.a controlled
for MT reasons.
RS applies to entire entry except 9E515.y. RS Column 1
AT applies to entire entry................ AT Column 1
License Requirement Note:
The Commerce Country Chart is not used for determining license
requirements for ``technology'' classified ECCN 9E515.f. See Sec.
742.6(a)(8), which specifies that such ``technology'' is subject to
a worldwide license requirement.
* * * * *
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec.
740.20(c)(1) of the EAR) may not be used for ECCN 9E515.b, .d, .e,
or .f unless determined by BIS to be eligible for License Exception
STA in accordance with Sec. 740.20(g) (License Exception STA
eligibility requests for certain 9x515 and ``600 series'' items). *
* *
List of Items Controlled
Related Controls: Technical data directly related to articles
enumerated in USML Category XV are subject to the control of USML
paragraph XV(f). See also ECCNs 3E001, 3E003, 6E001, and 6E002 for
specific ``space-qualified'' items. See ECCNs 9E001 and 9E002 for
technology for the International Space Station, the James Webb Space
Telescope (JWST) and ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' therefor. See USML category
XV(f) for controls on technical data and defense services related to
launch vehicle integration.
* * * * *
Items:
a. ``Technology'' ``required'' for the ``development,''
``production,'' installation, repair (including on-orbit anomaly
resolution and analysis beyond established procedures), overhaul, or
refurbishing of commodities controlled by ECCN 9A515 (except
9A515.a.1, .a.2, .a.3, .a.4, .b, .d, .e, or .g), ECCN 9B515, or
``software'' controlled by ECCN 9D515.a.
* * * * *
f. ``Technology'' ``required'' for the ``development,''
``production,'' installation, repair (including on-orbit anomaly
resolution and analysis beyond established procedures), overhaul, or
refurbishing of commodities controlled by ECCN 9A515.a.1, .a.2,
.a.3, .a.4, or .g.
* * * * *
Dated: December 27, 2016.
Kevin J. Wolf,
Assistant Secretary of Commerce for Export Administration.
[FR Doc. 2016-31755 Filed 1-9-17; 8:45 am]
BILLING CODE P