[Federal Register Volume 83, Number 206 (Wednesday, October 24, 2018)]
[Rules and Regulations]
[Pages 53742-53793]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-22163]
[[Page 53741]]
Vol. 83
Wednesday,
No. 206
October 24, 2018
Part II
Department of Commerce
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Bureau of Industry and Security
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15 CFR Parts 740, 742, 744, et al.
Wassenaar Arrangement 2017 Plenary Agreements Implementation; Final
Rule
Federal Register / Vol. 83 , No. 206 / Wednesday, October 24, 2018 /
Rules and Regulations
[[Page 53742]]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 742, 744, 772, and 774
[Docket No. 170831854-7854-01]
RIN 0694-AH44
Wassenaar Arrangement 2017 Plenary Agreements Implementation
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
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SUMMARY: The Bureau of Industry and Security (BIS) maintains, as part
of its Export Administration Regulations (EAR), the Commerce Control
List (CCL), which identifies certain items subject to Department of
Commerce jurisdiction. This final rule revises the CCL, as well as
corresponding parts of the EAR, to implement changes made to the
Wassenaar Arrangement List of Dual-Use Goods and Technologies (WA List)
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, or WA) at the December 2017 WA
Plenary meeting. The Wassenaar Arrangement advocates implementation of
effective export controls on strategic items with the objective of
improving regional and international security and stability. This rule
harmonizes the CCL with the agreements reached at the 2017 Plenary
meeting by revising Export Control Classification Numbers (ECCNs)
controlled for national security reasons in each category of the CCL.
This rule also makes other associated changes to the EAR and makes a
correction.
DATES: This rule is effective October 24, 2018.
FOR FURTHER INFORMATION CONTACT: For general questions, contact Sharron
Cook, Office of Exporter Services, Bureau of Industry and Security,
U.S. Department of Commerce at 202-482-2440 or by email:
[email protected].
For technical questions contact:
Categories 0, 1 & 2: Joseph Giunta at 202-482-3127.
Category 3: Brian Baker at 202-482-5534.
Categories 4 & 5: Aaron Amundson or Anita Zinzuvadia 202-482-0707.
Category 6 (optics): Chris Costanzo at 202-482-5299.
Category 6 (lasers and radar): Michael Rithmire 202-482-6105.
Category 6 (sensors and cameras): John Varesi 202-482-1114.
Categories 7 & 9: Michael Rithmire 202-482-6105 or Michael Tu 202-
482-6462.
Category 9x515 (Satellites): Michael Tu 202-482-6462.
Category ``600 Series'' (Munitions Items): Christopher Williams at
202-482-6023 or Heather Moore at 202-482-4786.
SUPPLEMENTARY INFORMATION:
Background
The Wassenaar Arrangement (Wassenaar or WA) (http://www.wassenaar.org/) on Export Controls for Conventional Arms and Dual-
Use Goods and Technologies is a group of 42 like-minded states
committed to promoting responsibility and transparency in the global
arms trade, and preventing destabilizing accumulations of arms. As a
Participating State, the United States has committed to controlling for
export all items on the WA control lists. The lists were first
established in 1996 and have been revised annually thereafter.
Proposals for changes to the WA control lists that achieve consensus
are approved by Participating States at annual plenary meetings.
Participating States are charged with implementing the agreed list
changes as soon as possible after approval. The United States'
implementation of WA list changes ensures U.S. companies have a level
playing field with their competitors in other WA Participating States.
The changes in this rule, which reflect the changes to the WA
control lists that were approved at the December 2017 WA Plenary
meeting, update the corresponding items listed in the EAR, and reflect
the most recent changes in technologies and conditions. Unless
explicitly discussed below, the revisions made by this rule will not
impact the number of license applications submitted to BIS.
Revisions to the Commerce Control List Related to WA 2017 Plenary
Agreements
Revises (50) ECCNs: 0A617, 0A919, 1A002, 1C001, 1C002, 1C007,
1C010, 1C608, 2A001, 2B001, 2B006, 2B007, 2B008, 2E003, 3A001, 3A002,
3B001, 3B002, 3C002, 3C005, 3C006, 3C992, 3E001, 4A003, 4A004, 4D001,
4E001, 5A001, 5A002, 5D002, 5E002, 6A002, 6A003, 6A004, 6A005, 6A008,
6A203, 6D003, 6D991, 6E001, 6E002, 6E201, 7A006, 7E004, 9A002, 9A004,
9D001, 9D002, 9D004, and 9E003.
License Exception eligibility additions: 3A001.i (GBS).
ECCN Removals: 6A990 and 6E990.
ECCN Correction: 3A991.
ECCN change to maintain NP controls: 2B206.
Category 0--Nuclear Materials, Facilities, and Equipment [and
Miscellaneous Items]
0A617 Miscellaneous ``Equipment'', Materials, and Related Commodities
ECCN 0A617, paragraph y.3, containers for shipping or packing
defense articles or items controlled by ``600 series'' ECCNs, is
amended by narrowing the scope to International Organization for
Standardization (ISO) intermodal containers or demountable vehicle
bodies (i.e., swap bodies), but also expands the scope beyond
``specially designed'' by adding ``or modified''. As the term
`modified' is in single quotes, BIS is also adding the technical note
that defines `modified,' which was already existing text in Wassenaar
Arrangement Military List of 2017 (WAML 17).
0A919 ``Military Commodities'' Located and Produced Outside the United
States
ECCN 0A919 is revised to remove reference to 6A990, because this
rule removes 6A990 from the CCL and Read Out Integrated Circuits
(ROICs) are now controlled under 6A002.f.
Category 1--Special Materials and Related Equipment, Chemicals,
``Microorganisms'', and ``Toxins''
1A002 ``Composite'' Structures or Laminates
The heading of ECCN 1A002 is amended by replacing ``having any of
the following'' with ``as follows''. An ``as follows'' phrase is
usually followed by items, but in this case it is followed by
parameters. The phrase ``consisting of'' is replaced by ``made from''
in both sub-paragraph .a and .b. Also, more descriptive text is added
for clarity and the scope of the control is not changed. The
superfluous word ``purely'' is removed from Note 2, which does not
change the effect of the Note.
1C001 Materials ``Specially Designed'' for Use as Absorbing of
Electromagnetic Radiation, or Intrinsically Conductive Polymers
The heading of ECCN 1C001 is amended by replacing ``absorbers''
with ``absorbing'' and replacing ``waves'' with ``radiation''.
Subparagraph .b is amended by moving the phrase ``not transparent to
visible light'' to the beginning and adding more descriptive text
``near-infrared radiation having a wavelength'' to clarify the scope of
the control. Also the parameters are changed from ``1.5 x 10\14\ Hz''
to ``810
[[Page 53743]]
nm'' and ``3.7 x 10\14\ Hz'' to ``2,000 nm (frequencies exceeding 150
THz but less than 370 THz)''. The frequency band is changed to the
equivalent wavelength band to make the parameter easier to understand
and not to change the scope of control. Therefore, these revisions will
not affect the number of license applications submitted to BIS.
1C002 Metal Alloys, Metal Alloy Powder and Alloyed Materials
Item paragraphs c.2 and d.3 are amended by replacing the double
quotes with single quotes around the terms in c.2.a through c.2.h and
d.3.a through d.3.c. Double quotes indicate the term is used multiple
times in the Commerce Control List (CCL) or separated by a large amount
of space within a single ECCN and the definition for the term is found
in part 772. Single quotes indicate the term is used only in a single
ECCN and the definition for the term is found within the ECCN where the
term is used. These and many other terms in this rule were found to
only be used in a single ECCN and should not be defined in part 772,
but in the ECCN. The definitions for the terms, in c.2.a through c.2.h
and d.3.a through d.3.c, are moved from part 772 to a new Technical
Note after Items paragraph d.3.c. These amendments do not change the
number of license applications submitted to BIS.
1C007 Ceramic Powders, Ceramic ``Matrix'' ``Composite'' Materials and
``Precursor Materials''
In the Nota Bene (N.B.) to Item paragraphs c.2, .d and .f, the
phrase ``listed under'' is replaced by ``specified by'' to be
consistent with the terms used to reference new locations for
controlled items. This does not change the number of license
applications submitted to BIS.
1C010 ``Fibrous or Filamentary Materials''
Item paragraphs d.2 and .e, and Note 1 below Item paragraph e.2.c
are amended by replacing the double quotes with single quotes around
defined terms, because the terms are only used in this ECCN. The
definition for `commingled' is moved from part 772 to the Technical
Note below Items paragraph d.2. The definition for `carbon fiber
preforms' is moved from part 772 to the Technical Note at the end of
the List of Items Controlled. These amendments do not change the number
of license applications submitted to BIS.
1C608 ``Energetic Materials'' and Related Commodities
WA agreed to add a Note specifying that WAML 8.c.1 does not apply
to aircraft fuels--JP-4, JP-5 and JP-8. This rule adds this Note below
1C608.n ``Any explosives, `propellants,' oxidizers, ``pyrotechnics'',
fuels, binders, or additives . . .'' as well as bringing forth another
Note from WAML 8.c.1 that specifies that aircraft fuels specified by
WAML 8.c.1 are finished products, not their constituents.
Category 2--Materials Processing
2A001 Anti-Friction Bearings and Bearing Systems
Note 2 at the beginning of the Items paragraph is amended by adding
``(or national equivalents)'', in order to help efficiently classify
bearings using national standards that are equivalent to ISO 3290 as
grade 5.
2B001 Machine Tools
An editorial change is made to Note 2 to 2B001.a by replacing
``and/or'' with ``or''. Items paragraph c.1.b is revised from
specifying ``three or more axes'' to ``three or four axes'' to remove
the overlap between c.2 ``five or more axes'' and c.1.b for machine
tools for grinding. This will not affect license submissions to BIS.
2B006 Dimensional Inspection or Measuring Systems, Equipment, Position
Feedback Units and ``Electronic Assemblies''
The Heading is revised to add ``position feedback units'' and
``electronic assemblies'' to more accurately describe the scope of
controls in Items paragraph .b. Angular displacement measuring systems
formerly in 2B006.b.2 are moved to 2B006.c. Linear Variable
Differential Transformer (LVDT) systems formerly in 2B006.b.1.b are
moved to 2B206.d and no longer have a national security control. The
License Requirements section is amended by revising the Nuclear
Proliferation (NP) controls from ``2B006.a and .b'' to ``2B006.a, .b.1,
b.3, and .c (angular displacement measuring instruments)'' to account
for moving the LVDT systems to 2B206 and moving the angular
displacement measuring instruments from 2B006.b.2 to .c. Item
paragraphs 2B008.a (linear position feedback units) and .b.2 (rotary
position feedback units) are moved to 2B006.b.2 and .c, respectively,
so that all the measuring systems for machine tools are in one place.
Equipment for measuring surface roughness is moved from Items paragraph
2B006.c to .d.
2B007 ``Robots''
Item paragraph .a ``[Robots] capable in real-time of full three-
dimensional image processing or full three-dimensional ``scene
analysis'' to generate or modify ``programs'' or to generate or modify
numerical program data'' is removed and reserved because of
insufficient connection to military capabilities. Robots of national
security concern are controlled under 2B007.b, .c and .d. This change
will have a minimal effect on license application submissions to BIS.
2B008 ``Compound Rotary Tables'' and ``Tilting Spindles'', ``Specially
Designed'' for Machine Tools
The Heading is amended by replacing ``assemblies or units'' with
`compound rotary tables' and ``tilting spindles'', as well as removing
``or dimensional inspection or measuring systems and equipment'' to
align with revisions made to the List of Items Controlled in this ECCN.
Item paragraphs .a (linear position feedback units) and .b (rotary
position feedback units) are removed and reserved, because this rule
moves these items to 2B006.b.2 and .c, respectively. Item paragraph .c
is amended by replacing and cascading the parameter paragraphs, as well
as moving the definition for `compound rotary table' from part 772 to a
Technical Note under this Item paragraph. ``Tilting spindles'' are
moved from Item paragraph .c to new Item paragraph .d to separate it
from the compound rotary table control. The parameters have been
revised in both paragraphs .c and .d to remove ambiguity, which will
not affect license application submissions.
2B206 Dimensional Inspection Machines, Instruments or Systems, Other
Than Those Described in 2B006
2B206 is amended by adding Linear Variable Differential Transformer
(LVDT) systems to Item paragraph .d, because this item is removed from
2B006.b.1.b. While LVDT systems are no longer controlled for national
security reasons, they are still on the Nuclear Supplier's Group (NSG)
list under 1.B.3.b.2 and remain controlled for nuclear nonproliferation
reasons on the CCL.
2E003 Other ``Technology''
Item paragraph .a (``technology'' for the ``development'' of
interactive graphics as an integrated part in ``numerical control''
units for preparation or modification of part programs) is removed and
reserved because of the advancement of technology. Therefore, Item
paragraph .a is removed from License Exception TSR.
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The double quotes are replaced with single quotes around the term
`direct-acting hydraulic pressing' in Item paragraphs b.1.c and b.1.d
and `hot isostatic densification' in Item paragraph b.2.d.
Additionally, the definition for these terms is moved from part 772 to
the Technical Notes below Item paragraph b.2.d.3, because these terms
are only used in this ECCN. Item paragraph .d (``technology'' for the
``development'' of generators of machine tool instructions . . . from
design data residing inside ``numerical control'' units) is removed and
reserved because of the advancement of technology. When items are
removed because of technological advancement, it does not affect the
annual number of license application submissions to BIS.
Category 3--Electronics
Product Group A. ``End Items'', ``Equipment'', ``Accessories'',
``Attachments'', ``Parts'', ``Components'', and ``Systems''
Note 1 at the beginning of Category 3 is amended by making an
editorial correction by moving an ``or'' and adding ``to'' in order to
correctly specify which ECCN 3A001 subparagraphs are excluded from the
scope statement for Category 3.
Note 2 at the beginning of Category 3 is amended by making an
editorial correction by moving an ``or'', adding ``to'', adding a comma
and replacing ``that'' with ``which''. These revisions are made to
correctly specify which ECCN 3A001 subparagraphs are included in the
scope statement for Category 3.
The Nota Bene after Note 2 is amended to make an editorial
correction by moving an ``and'' and adding ``to'' in order to correctly
specify the scope of this N.B.
3A001 Electronic Items
Item paragraph a.2 is amended by replacing ``Electrical Erasable
Programmable Read-Only Memories (EEPROMS), flash memories, and MRAMs''
with `non-volatile memories' and adding a Technical Note to define
`non-volatile memories,' to provide a more generic term for these types
of memory integrated circuits.
Item paragraph a.5.a ``ADCs'' and the Technical Note below a.5.a
are amended by replacing the term ``output rate'' with the ``sample
rate'' as measured points at the input, except for oversampling
(defined as output sample rate), and the Technical Note identifies
common ways manufacturers specify `sample rate.' The definition for
``sample rate'' is added to part 772 ``Definition of Terms. . . .''
Also the superfluous term ``Mega Samples Per Second'', is removed from
several subparagraphs in a.5.a, but leaves its acronym ``MSPS''. The
Technical Notes below Items paragraph a.5.a are amended by adding an
explanation for the resolution of the ADC, removing the explanation for
output rate, replacing single quotes with double quotes around the term
``interleaved ADCs'' and ``multiple channel ADCs'', and removing
Technical Notes 6 through 9. The definitions for the terms
``interleaved ADCs'' and ``multiple channel ADCs'' are added to part
772 ``Definition of terms. . . .''. These revisions will not change the
number of submissions of license applications.
Item paragraph a.5.b.2.a, ``settling time'' parameter, is amended
by adding ``arrive at or within'' to clarify the potentially ambiguous
parameter with common usage and understanding of DAC specifications, so
that it will not be misinterpreted to mean the time to deviate by the
specific amount from the original level.
The inclusion Note to 3A001.a.7 is amended by removing ``Simple
Programmable Logic Devices (SPLDs)'' because of technological
advancements, which will not affect the number of license application
submissions.
Item paragraph a.14 is amended by replacing ``Integrated circuits
that perform all of the following:'' with ``Integrated circuits that
perform or are programmed to perform all of the following:''. The term
``input sample rate'' is replaced with ``sample rate'' that is defined
in part 772. The superfluous ``Giga Samples Per Second'' is removed,
but the acronym GSPS remains, as ``Mega Samples Per Second'' is removed
and MSPS remains. Technical Notes are added below Items paragraph
a.14.b.2 to provide more explanation of the parameters in Item
paragraph .a, especially, resolution of ADC and the ``sample rate'' for
integrated circuits with interleaving or non-interleaving ``multiple
channel ADCs''. These changes will have little effect on the number of
licenses submitted to BIS.
Nota Bene 3 is added after Item paragraph b.4.f to reference
3A001.b.7 for converters and harmonic mixers, designed to extend the
operating or frequency range of signal analyzers, signal generators,
network analyzers or microwave test receivers.
In Item paragraph b.11 double quotes are replaced with single
quotes around the term `frequency synthesizer' and the definition is
moved from part 772 to a Technical Note below Item paragraph b.11.g,
because the term is only used in this ECCN.
The Technical Notes after Item paragraph b.12.d are amended by
correcting the reference ``3A001.b.4.12.c'' to read ``3A001.b.12.c'' in
Technical Note 5.
The parameters for `primary cells' in Item paragraph e.1.a are
amended by cascading the parameters and adding a `continuous power
density' parameter and the definition for it in Technical Note 5 below
Item paragraph e.1.b, because military uses for these items have
requirements in both energy and power density. This revision should
lower the annual number of license applications submitted to BIS by 5.
Intensity, amplitude, or phase electro-optic modulators, designed
for analog signals, including electro-optic modulators having optical
input and output connectors are added to new paragraph 3A001.i to
address photonic components for analog Radio Frequency (RF) over fiber
antenna remoting, and analog RF distribution of signals. One of the
parameters for these items is `half-wave voltage' (`V[pi]'), which is
defined in a Technical Note below the new paragraph. These items will
be eligible for License Exception GBS; therefore, the GBS paragraph is
revised to add Item paragraph .i. This new entry is estimated to add 10
new license application submissions to BIS annually.
3A991 Electronic Devices, and ``Components'' Not Controlled by 3A001
On September 20, 2016, BIS published a WA rule (81 FR 64682) that
increased the energy density in 3A001.e.1.b from 300 to 350 Wh/kg, but
did not make the corresponding change to ECCN 3A991.j.2, which left a
gap in control. This rule corrects 3A991.j.2 by increasing the energy
density from 300 to 350 Wh/kg or less in order to close a gap of
control between 3A001.e.1.b and 3A991.j.2 for secondary cells.
3A002 General Purpose ``Electronic Assemblies'', Modules and Equipment
The frequency parameter is raised from ``exceeding 10 MHz'' to
``exceeding 40 MHz'' for signal analyzers having a 3 dB resolution
bandwidth (RBW) in Item paragraph c.1, which is estimated to reduce
annual license application submissions to BIS by 5.
Double quotes are replaced with single quotes for the term `real-
time bandwidth' in Item paragraph c.4.a and for `frequency mask
trigger' in Item paragraph c.4.b.2, because these terms are only used
in this ECCN. The definitions for these terms are moved from part 772
to the Technical Notes after Item paragraph c.4.b.2.
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The scientific unit ``billion samples per second'' is replaced with
``Giga Samples Per Second (GSPS)'' in Item paragraph h.1.a. The
scientific unit ``billion samples per second'' is replaced with the
acronym GSPS in Item paragraphs h.1.b and h.1.c. The scientific unit
``million samples per second'' is replaced with ``Mega Samples Per
Second (MSPS)'' in Item paragraph h.1.d. The scientific unit ``million
samples per second'' is replaced with the acronym ``MSPS'' in Item
paragraph h.1.e. These revisions are made for simplification purposes.
The Technical Note below Item paragraph h.2.c is replaced by the
same Technical Notes that are added below 3A001.a.5.a, explaining
resolution and ``sample rate'' for interleaved and non-interleaved
multiple-channel ``electronic assemblies'', modules, or equipment.
3B001 Equipment for the Manufacturing of Semiconductor Devices or
Materials
Mask ``substrate blanks'' with multilayer reflector structure
consisting of molybdenum and silicon being ``specially designed'' for
`Extreme Ultraviolet (EUV)' lithography and being compliant with SEMI
Standard P37 are added to new paragraph 3B001.j, because mask
``substrate blanks'' and the subsequent substrate blank with multilayer
reflector structure are critical materials for EUV lithography. This
addition is estimated to increase annual license application
submissions to BIS by 7. EUV lithography opens up integrated circuit
fabrication at the most advanced state-of-the-art technology node. The
definition for `Extreme Ultraviolet (EUV)' is added to a Technical Note
below Item paragraph j.2.
3B002 Test Equipment ``Specially Designed'' for Testing Finished or
Unfinished Semiconductor Devices
Item paragraph .a is revised from ``For testing S-parameters of
transistor device at frequencies exceeding 31.8 GHz'' to read ``For
testing S-parameters of items specified by 3A001.b.3'' to remove
potential overlapping controls for network analyzers (which measure S-
parameters) described in 3A002.e, to harmonize the control text of
equipment for testing S-parameters of transistors specified in
paragraphs 3A001.b.3.a and 3A001.b.3.b (i.e., transistors that are
below 31.8 GHz), and to remove ambiguity regarding the meaning of the
phrase ``transistor devices'' by substituting the unambiguous reference
to transistors specified by 3A001.b.3.
3C002 Resist Materials
The wavelength for positive resists in Item paragraph a.1 is
revised from ``wavelengths less than 245 nm . . . .'' to ``wavelengths
less than 193 nm . . . .'' in order to match the material control with
the lithography equipment parameters in 3B001.f.1.a, which is estimated
to reduce by 3 the annual number of license application submissions to
BIS.
3C005 High Resistivity Materials
The Heading of ECCN 3C005 is revised to move the items that were in
the Heading to Items paragraph .a. Polycrystalline ``substrates'' or
polycrystalline ceramic ``substrates'' are added to Item paragraph .b,
because there are both military and commercial applications for
microwave transistors fabricated on the engineered substrates. These
newly added substrates will be controlled for NS:2 and AT:1 and have
License Exception LVS ($3,000), GBS and CIV eligibility. It is
anticipated that this new control will result in an increase of 15 new
license application submissions to BIS annually.
3C006 Materials, Not Specified by 3C001, Consisting of a ``Substrate''
Specified in 3C005 With at Least One Epitaxial Layer of Silicon
Carbide, Gallium Nitride, Aluminum Nitride or Aluminum Gallium Nitride
The Heading is amended by adding ``Materials, not specified by
3C001, consisting of a'' at the beginning of the Heading in order to
clarify the scope of the control. The former language of 3C001, 3C005
and 3C006 has common elements that have led to some confusion around
the control of silicon carbide wafers.
3C992 Positive Resists Designed for Semiconductor Lithography
The Heading of 3C992 is amended by replacing the wavelength range
from ``370 and 245 nm'' to ``370 and 193 nm.'' This is to harmonize
this ECCN with the amendment to ECCN 3C002.a.1.
3E001 ``Technology''
License Exception CIV eligibility paragraph is corrected by
removing the eligibility for 3B001.c, because that paragraph was
removed and reserved on September 20, 2016 (81 FR 64658).
Note 2 is amended by harmonizing the scope of the paragraph to be
``technology'' for integrated circuits controlled by 3A001.a.3 to a.14.
Note 3 is added to exclude from 3E001 `Process Design Kits'
(`PDKs') unless they include libraries implementing functions or
technologies for items specified by 3A001. A Technical Note is added
below Note 3 to define `Process Design Kit' (`PDK'). PDKs do not
provide knowledge about production tools. This will not result in a
change to license application submissions, because no license
submissions have been submitted to BIS for PDK under 3E001.
Category 4--Computers
In Note 2 at the top of Category 4, the double quotes are replaced
with single quotes around the term `main storage' because the term is
only used in these Category 4 Notes. The definition is moved from part
772 to a Technical Note at the end of the Category 4 Notes section.
4A003 ``Digital Computers'', ``Electronic Assemblies'', and Related
Equipment Therefor
The Adjusted Peak Performance (APP) is raised from ``exceeding 16
WT'' to ``exceeding 29 WT'' in Item paragraph .b and in accordance with
this revision the APP is raised to 29 in the AT control text in the
License Requirements table and in two places in the Note to the table.
This change will not immediately affect the annual number of license
application submissions to BIS because this is keeping up with
technological advancement. However, absent additional increases next
year, BIS estimates that this level would result in an increase of 600
license applications per year.
4A004 Computers
The double quotes are replaced with single quotes around the terms
`systolic array computers,' `neural computers' and `optical computers,'
because these terms are only used in this ECCN. The definitions for
these terms are moved from part 772 to Technical Notes at the end of
the Items paragraph of 4A004.
4D001 ``Software'' & 4E001 ``Technology''
The Adjusted Peak Performance (APP) is raised from 16 Weighted
TeraFLOPs (WT) to 29 WT in License Exceptions TSR and STA in accordance
with the new APP level in 4A003.b. The APP control level is raised from
``exceeding 8 WT'' to ``exceeding 15 WT'' in Item paragraph b.1. These
revisions continue to address the need to track incremental (e.g.,
``Moore's Law'') improvements in microprocessor technology. This change
will not affect the annual number of license application submissions to
BIS because this is keeping up with technological advancement.
[[Page 53746]]
Technical Note on ``Adjusted Peak Performance'' (``APP'')
In the Outline of ``APP'' calculation method, the Note to paragraph
1, an ``and/or'' is replaced with ``or,'' which does not change the
meaning at all.
Category 5--Part 1--``Telecommunications''
5A001 Telecommunications Systems, Equipment, ``Components'' and
``Accessories''
In the NS Column 1 paragraph of the License Requirements table, the
order of the referenced Item paragraphs is corrected.
For telecommunications equipment specially designed to withstand
transitory electronic effects or electromagnetic pulse effects, the
temperature range parameters is changed from ``to operate outside the
temperature range from 218K (-55 [deg]C) to 397 K (124 [deg]C)'' to
``below 218K (-55[deg]C)'' in Item paragraph a.3 or ``above 397 K (124
[deg]C)'' in new Item paragraph a.4, which does not change the scope of
control, but seeks to make the text easier to understand. The Note to
5A001.a.3 is modified to add 5A001.a.4, so that it reads ``5A001.a.3
and 5A001.a.4 apply only to electronic equipment''.
Double quotes are replaced by single quotes around the term
`electronically steerable phased array antennae' in Item paragraph .d.
The word `antennas' is replaced with `antennae' in this paragraph and
in Note 1 to this paragraph. The quotes are revised because the term is
only used in this ECCN. The definition for the term is moved from part
772 to a Technical Note above Item paragraph .e. Because of technology
advances, phased array antennae are increasingly being developed for
civil telecommunications applications, including cellular, WLAN,
802.15, and wireless HDMI. Exclusion Note 2 is added in order to remove
from control phased array antennae specially designed for those
purposes.
Category 5--Part 2--``Information Security''
5A002 ``Information Security'' Systems, Equipment and ``Components''
5A002 is amended to clarify controls on products with dormant
encryption. These changes do not affect the scope of items controlled.
Items paragraph .a is amended by replacing the phrase ``where that
cryptographic capability is usable without ``cryptographic activation''
or has been activated'' with the phrase ``where that cryptographic
capability is usable, has been activated, or can be activated by means
of ``cryptographic activation'' not employing a secure mechanism''. The
revision clarified that an item is controlled if (1) the `cryptography
for data confidentially' is usable from the beginning regardless of
``cryptographic activation'' (i.e., not dormant), (2) the cryptographic
capability was previously dormant but is now usable (whether by
``cryptographic activation'' or by other means; or (3) the
``cryptographic activation'' mechanism is not secure (i.e., the
cryptographic capability is not securely kept dormant).
Items paragraph .b is amended by replacing ``to enable'' an item
with ``for converting'' an item and replacing ``to achieve or exceed
the controlled performance levels for functionality specified by
5A002.a that would not otherwise be enabled'' with ``not specified by
Category 5 --Part 2 into an item specified by 5A002.a or 5D002.c.1, and
not released by the Cryptography Note (Note 3 in Category 5--Part 2),
or for enabling, by means of ``cryptographic activation'', additional
functionality specified by 5A002.a of an item already specified by
Category 5--Part 2''. This clarifies that a ``cryptographic
activation'' mechanism is controlled by 5A002.b in two situations: (1)
It converts an item classified outside of Category 5--Part 2 into a
5A002.a item (e.g., by activating `cryptography for data
confidentiality' capability in an item that was previously limited to
performing ``authentication,'' or by activating encryption capability
which disqualifies a product from the Cryptography Note exclusion (Note
3 in Category 5--Part 2)); or (2) it enables additional functionality
specified in 5A002.a in an item that was already classified in Category
5--Part 2 (e.g., making additional encryption algorithms usable by the
item, or that would change the item from being eligible or described
under Sec. 740.17(b)(1) into an item described under Sec.
740.17(b)(2) or (3)).
5D002 ``Software'' and 5E002 ``Technology''
Item paragraph .b of ECCNs 5D002 and 5E002 is amended by replacing
``enable'' with ``for converting'' and replacing ``to meet the criteria
for functionality specified by 5A002.a, that would not otherwise be
met'' with ``not specified by Category 5--Part 2 into an item specified
by 5A002.a or 5D002.c.1, and not released by the Cryptography Note
(Note 3 in Category 5--Part 2), or for enabling, by means of
``cryptographic activation'', additional functionality specified by
5A002.a of an item already specified by Category 5--Part 2''. These
revisions are made to create mirroring entries consistent with the
changes being made to 5A002.b.
Category 6--Sensors and Lasers
6A002 Optical Sensors and Equipment, and ``Components''
Item paragraph .f is added to establish a control for Read-Out
Integrated Circuits (ROICs) to ensure that certain ROICs not controlled
on the Munitions List, but that provide night vision capability, are
controlled. In order to maintain consistent paragraph placement with
the WA List this rule adds and reserves Items paragraph .e, so that
ROICs can be added to Item paragraph .f. For consistency, Items
paragraph .f is added to the Regional Stability controls (RS Column 1)
in the License Requirements section, because 6A990, where ROICs were
formerly controlled, was controlled for RS Column 1.
6A003 Cameras, Systems or Equipment, and ``Components'' Therefor
Item paragraphs a.1 (high-speed cinema recording cameras) and a.2
(mechanical high speed cameras) are removed and reserved because of the
advancement of technology. Item paragraph a.3.a (mechanical streak
cameras) is also removed because of the advancement of technology. As a
result of this change, electronic streak cameras are moved from Item
paragraph a.3.b to a.3. BIS anticipates that there will be a negligible
impact on the annual number of license applications submitted to BIS as
a result of these removals and revisions.
6A004 Optical Equipment and ``Components''
The double quotes are replaced with single quotes around the term
`deformable mirrors' in Item paragraph a.1 because the term is only
used in this ECCN. The definition for `deformable mirrors' is moved
from part 772 to the Technical Note below Item paragraph a.1.b.2. At
the end of Item paragraph e.3 the period is changed to a semicolon,
because a new Item paragraph is added. Dynamic wavefront measuring
equipment is added to Item paragraph .f, with parameters in
subparagraphs and a Technical Note at the end to define ``frame rate''.
The purpose of wavefront sensing is to measure the level of the
wavefront aberration as it is transferred through an optical system,
regardless if the source of that aberration is the optical system
itself or something external to that system. Wavefront sensors are
principally used as one of the main components of adaptive optics
[[Page 53747]]
systems where they serve to close the control loop and feed the
information about the required correction to deformable mirrors and
beam steering mirrors in real-time, which are also controlled in this
ECCN.
6A005 ``Lasers'', ``Components'' and Optical Equipment
An editorial amendment is made to Note 1, below Item paragraph
a.6.b.2, by replacing ``and/or'' with ``or'', which does not change the
scope of the Note. The double quotes are replaced with single quotes
around the term `transfer lasers' in Item paragraph d.5.c. The
definition for `transfer lasers' is moved from part 772 to the
Technical Note below Item paragraph d.5.c.2, because this term is only
found in this ECCN.
Item paragraph f.1 (dynamic wavefront (phase) measuring equipment)
is removed and reserved, because this item is moved to ECCN 6A004.f,
because of its close association to the mirrors controlled in 6A004. A
Nota Bene is added to point to the new Item paragraph where this item
is controlled.
Item paragraph f.2 (``Laser'' diagnostic equipment) is amended by
replacing ``capable of measuring'' with ``specially designed for
dynamic measurement of'' and replacing ``equal to or less than'' with
``and having an angular ``accuracy'' of'' to refine the scope of the
entry. The phrase ``(microradians) or less (better)'' is added after
``10 [mu]rad'' to clarify the unit. BIS does not anticipate and change
to the annual number of license application submissions as a result of
these changes.
Item paragraph f.3 (Optical equipment and components) is amended by
moving the phrase ``coherent beam combination'' for better readability.
The ``accuracy'' parameter is cascaded down to Item paragraph f.3.b and
a new ``accuracy'' parameter is added to f.3.a, so that the equipment
is controlled if it meets either of the ``accuracy'' parameters.
6A008 Radar Systems, Equipment and Assemblies
Item paragraph a.1 is amended by removing the double quotes around
the term ``average output power'' in order to be consistent with the WA
List.
Item paragraph .e is amended by replacing ``steerable array
antennas'' with ``scanned array antennae'' as well as adding a
Technical Note to make people aware that electronically scanned array
antennae are also known as electronically steerable array antennae.
This revision uses more current, and standard, language to describe E-
scan radar.
Double quotes are replaced by single quotes around the term
`automatic target tracking' in Item paragraph l.1 and the definition is
moved from part 772 to a Technical Note under the Note to 6A008.l.1,
because this term only appears in this ECCN.
Double quotes are replaced by single quotes around `geographically
dispersed' in Item paragraph l.4 and the definition is moved from part
772 to the Technical Note below Item paragraph l.4, because this term
only appears in this ECCN.
6A203 High-Speed Cameras, Imaging Devices and ``Components'' Therefor
The Related Controls paragraph is revised to remove a reference to
ECCN 6A003.a.2, which is removed and reserved by this rule.
6A990 Read-Out Integrated Circuits and 6E990 Technology for ROICs
ECCNs 6A990 and 6E990 are removed because this rule adds ROICs to
ECCN 6A002.f.
6D003 Other ``Software''
ECCN 6D003 is amended by removing the unnecessary word ``and'' in
Item paragraph h.2 and replacing ``steerable phased array antennae''
with ``scanned array antennae'' in Item paragraph h.2.a in order to use
a more standard term. Item paragraph h.2.a is also amended by replacing
``controlled'' with ``specified'' in order to be more precise, because
an item may or may not be controlled depending on the reasons for
control and destination of the export.
6D991, 6E001 and 6E002
Each of these ECCNs are amended to remove references to 6A990 or
6E990, because this rule adds ROICs to ECCN 6A002.f. For consistency,
the License Requirements sections of 6E001 and 6E002 are amended to add
a reference to 6A002.f to the Regional Stability Column 1 controls,
because this technology was controlled for Regional Stability Column 1
under ECCN 6E990, where it was formerly controlled.
6E201 ``Technology'' According to the General Technology Note for the
``USE'' of Equipment
The Heading of ECCN 6E201 is revised to remove reference to
6A003.a.2, which is removed and reserved by this rule.
Category 7--Navigation and Avionics
7A006 Airborne Altimeters
Double quotes are replaced by single quotes around the term `power
management' and the definition for the term is moved from part 772 to a
Technical Note below Item paragraph .a because the term is only used in
this ECCN.
7E004 Other ``Technology''
Double quotes are replaced by single quotes around the term
`primary flight control' in Item paragraph a.5 and the definition for
the term is moved from part 772 to a Technical Note below Item
paragraph .a.5 because the term is only used in this ECCN.
Double quotes are replaced by single quotes around the term `flight
control optical sensor array' in Item paragraph a.6 and the definition
for the term is moved from part 772 to a Technical Note below Item
paragraph a.6 because the term is only used in the ECCN.
Double quotes are replaced by single quotes around the term `flight
path optimization' in paragraph 1. of the Note to 7E004.b.5 and the
definition is moved from part 772 to a Technical Note below the Note to
7E004.b.5 because the term is only used in this ECCN.
Double quotes are replaced by single quotes around the term
`variable geometry airfoils' in Item paragraph c.3 and the definition
for the term is moved from part 772 to a Technical Note below Item
paragraph c.3 because the term only appears in this ECCN.
Category 9--Aerospace and Propulsion
9A002 ``Marine Gas Turbine Engines''
The Heading is amended by revising and moving the parameter ``with
an ISO standard continuous power rating of 24,245 kW or more and a
specific fuel consumption not exceeding 0.219 kg/kWh in the power range
from 35 to 100%'' to the Items paragraph and adding ``designed to use
liquid fuel and having all of the following (see List of Items
Controlled),'' to the Heading. The definition for `marine gas turbine
engines' is moved from the Related Definition paragraph of the ECCN to
a Note below Item paragraph .b in order to be more consistent with the
WA list. Two parameters are added for this ECCN: Maximum continuous
power and `corrected specific fuel consumption'. The definition for
`corrected specific fuel consumption' is added to a Technical Note
below the Note that is below Item paragraph .b. This change removes the
ambiguity in this ECCN by removing the reference to power range. These
revisions therefore do not change the scope of the existing control
text, but rather clarify it by making it clear that the specific fuel
consumption of concern applies at the ``turndown performance'' of 35%.
[[Page 53748]]
9A004 Space Launch Vehicles and ``Spacecraft'', ``Spacecraft Buses'',
``Spacecraft Payloads'', ``Spacecraft'' On-board Systems or Equipment,
and Terrestrial Equipment
The scope of Item paragraph f.1 (Telemetry and telecommand
equipment) is clarified by adding ``specially designed'' and two
specific end uses in order to eliminate data processing equipment for
mission data, such as GPS, science data, communication and
broadcasting, since this data is not meant to be controlled under
9A004.f.1. The scope of Item paragraph f.2 (Simulators) is narrowed by
adding ``specially designed for `verification of operational
procedures' of ``spacecraft''. A Technical Note is added below Item
paragraph f.2 to define `verification of operational procedures.' These
clarifications will not result in a change to the number of annual
license application submissions to BIS.
9D001 and 9D002 ``Software''
The Heading of 9D001 and 9D002 are amended by adding ``not
specified in 9D003 or 9D004'' to clarify the scope of these entries and
eliminate any possible overlap of control.
9D004 Other ``Software''
Item paragraph .b (``Software'' for testing aero gas turbine
engines, assemblies, ``parts'' or ``components'') is amended by
removing the parameter and cascading subparagraphs with specific
features or functions, such as ``specially designed'' for testing aero
gas turbine engines . . . , to clarify and focus (narrow) the scope of
control. A Note is added above Item paragraph .c to exclude software
for operation of the test facility or operator safety, or production,
repair or maintenance acceptance-testing . . .'' It is estimated that
these changes will not affect the annual number of license application
submissions to BIS.
9E003 Other ``Technology''
In Technical Note 2 below Item paragraph a.2.d and in the Technical
Note below Item paragraph a.5, the single quotes are replaced with
double quotes around the term ``steady state mode'' because this term
is also used in another ECCN 9A002.a. The definition for ``steady state
mode'' is moved from the Technical Note 2 below a.5 to part 772
``Definitions and Terms''.
Technical Note 4 below the Note to 9E003.c is amended by removing
``techniques'' and moving ``methods'' from the end of the Technical
Note 4 to the top of Technical Note 4. Also revising the phrase
``include ``laser'', water jet . . .'' to read `` ``include ``laser''
beam machining, water jet machining . . .'' to be consistent with the
other types of machining specified in Technical Note 4.
Part 772--Definitions of Terms as Used in the Export Administration
Regulations (EAR)
This rule removes 37 definitions from Sec. 772.1 and adds them to
the ECCNs where they are used. According to the WA drafting guidelines,
if a term is only used in a single ECCN, then the definition must be
located in a Technical Note close to where that term is used. However,
if the term is separated by many subparagraphs, then the definition may
be located in the Definitions section of the WA List. The following 37
definitions are removed from part 772, because they are only used
within a single ECCN: Automatic target tracking, carbon fiber preforms,
commingled, comminution, compound rotary table, deformable mirrors,
direct acting hydraulic pressing, effective gram, electronically
steerable phased array antenna, flight control optical sensor array,
flight path optimization, frequency mask trigger, frequency
synthesizer, gas atomization, geographically dispersed, hot isostatic
densification, linearity, main storage, mechanical alloying, melt
extraction, melt spinning, neural computers, optical computer, plasma
atomization, power management, previously separated, primary flight
control, real-time bandwidth, resolution, rotary atomization, settling
time, splat quenching, systolic array computer, transfer laser, vacuum
atomization and variable geometry airfoils. The following definitions
are revised for reasons stated either in the Federal Register
instruction or under an ECCN where the term is used: Compensation
systems, cryptographic activation, and user-accessible programmability.
Two terms used in ECCNs 3A001 and 3A002 related to Analog-to-Digital
Converters (ADC) are added to Sec. 772.1. The term ``sample rate'',
which is used in both ECCN 3A001 and 3A002, is added to Sec. 772.1.
The definition ``steady state mode'' is moved from Technical Note 2 to
9E003.a.5 to Sec. 772.1 because it is now also used in a new parameter
for `marine gas turbine engines' in ECCN 9A002, as well as in Technical
Notes in 9E003.a.2.d and 9E003.a.5. The Category 5--Part 2 definition
``cryptographic activation'' is amended by adding the word
``specifically'' before ``activates or enables'', and taking the word
``secure'' out of the definition, to fit with the changes being made in
the control list entries that refer to this definition (ECCNs 5A002.b,
5D002.b and 5E002.b).
Supplement No. 6 to Part 774--Sensitive List
Paragraph (1)(i), ECCN 1A002, is amended by narrowing the scope
from all of ECCN 1A002 to only subparagraph a.1 `` ``Composite''
structures or laminates made from an organic ``matrix'' and ``fibrous
or filamentary materials'' specified by 1C010.c or 1C010.d'', because
the rest of the items in ECCN 1A002 do not warrant control on the
Sensitive List as they are not key technologies. This revision will
minimally affect the annual number of Wassenaar reports to BIS.
Paragraph (2)(i)--ECCN 2D001, (ii)--ECCN 2E001, and (iii)--ECCN
2E002 are simplified and restructured for easier understanding and
compliance. The revisions also focus the Sensitive List entries for
software and technology for machine tools having a unidirectional
repeatability at 0.9 microns. For machine tools having no variations
specified at 0.9 microns, there is no change to the thresholds.
Supplement No. 7 to Part 774--Very Sensitive List
Paragraph (1)(i), ECCN 1A002, is amended by narrowing the scope
from subparagraph .a to subparagraph a.1 (``Composite'' structures or
laminates made from an organic ``matrix'' and ``fibrous or filamentary
materials'' specified by 1C010.c or 1C0010.d), because the rest of the
items in ECCN 1A002.a do not warrant control on the Sensitive List as
they are not key technologies. It is estimated that this will minimally
affect the annual number of Wassenaar reports to BIS.
Paragraphs (3)(iv), ECCN 6A001.a.2.c, and (3)(vi), ECCN
6A002.a.2.f, are amended by replacing the phase ``user accessible
programmability'' with ``user-accessible programmability'' to add a
hyphen for correctness.
Section 740.16 Additional Permissive Reexports (APR)
License Exception APR is amended to remove a reference to ECCN
6A990 in paragraphs (a)(2) and (b)(2)(v), because ECCN 6A990 is removed
from the CCL by this rule. ROICs are now specified in 6A002.f.
Section 740.17 Encryption Commodities, Software and Technology (ENC)
License Exception ENC is corrected to replace a reference to
5D002.d with a reference to 5D002.b in the Note to paragraph (b)(2) and
in paragraph (b)(3)(iv).
[[Page 53749]]
Section 740.20 License Exception Strategic Trade Authorization (STA)
License Exception STA is amended to remove reference to ECCNs 6A990
and 6E990 from paragraph (b)(2)(x), because these ECCNs are removed
from the CCL. ROICs are now specified in 6A002.f and ROIC technology is
specified in ECCNs 6E001 and 6E002.
Section 742.6 Regional Stability
Paragraph (b)(1)(ii) is amended by removing reference to ECCN
6E990, because this ECCN is removed by this rule. ROIC technology is
now controlled under ECCNs 6E001 and 6E002.
Section 744.9 Restrictions on Exports, Reexports, and Transfers (In-
Country) of Certain Cameras, Systems, or Related Components
Section 744.9 is amended by removing reference to ECCN 6A990 from
paragraphs (a) and (b), because this ECCN is removed from the CCL.
ROICs are now controlled under ECCN 6A002.f.
Export Control Reform Act of 2018
On August 13, 2018, the President signed into law the John S.
McCain National Defense Authorization Act for Fiscal Year 2019, which
included the Export Control Reform Act of 2018 (ECRA) (Title XVII,
Subtitle B of Pub. L. 115-232) that provides the legal basis for BIS's
principal authorities and serves as the authority under which BIS
issues this rule. As set forth in Section 1768 of ECRA, all
delegations, rules, regulations, orders, determinations, licenses, or
other forms of administrative action that have been made, issued,
conducted, or allowed to become effective under the Export
Administration Act of 1979 (50 U.S.C. 4601 et seq.) (as in effect prior
to August 13, 2018 and as continued in effect pursuant to the
International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.)
and 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 8,
2018, 83 FR 39871 (August 13, 2018)), or the Export Administration
Regulations, and are in effect as of August 13, 2018, shall continue in
effect according to their terms until modified, superseded, set aside,
or revoked under the authority of ECRA.
Saving Clause
Shipments of items removed from license exception eligibility or
eligibility for export, reexport or transfer (in-country) without a
license as a result of this regulatory action that were on dock for
loading, on lighter, laden aboard an exporting carrier, or en route
aboard a carrier to a port of export, on October 24, 2018, pursuant to
actual orders for exports, reexports and transfers (in-country) to a
foreign destination, may proceed to that destination under the previous
license exception eligibility or without a license so long as they have
been exported, reexported or transferred (in-country) before December
24, 2018. Any such items not actually exported, reexported or
transferred (in-country) before midnight, on December 24, 2018, require
a license in accordance with this final rule.
Executive Order Requirements
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, distributive 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 rule has been designated a ``significant regulatory action''
under Executive Order 12866. The Wassenaar Arrangement (WA) has been
established in order to contribute 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. The aim is
also to prevent the acquisition of these items by terrorists. There are
presently 42 Participating States, including the United States, that
seek through their national policies to ensure that transfers of these
items do not contribute to the development or enhancement of military
capabilities that undermine these goals, and to ensure that these items
are not diverted to support such military capabilities that undermine
these goals. Implementation of the WA agreements in a timely manner
enhances the national security of the United States and global
international trade.
This rule does not contain policies with Federalism implications as
that term is defined under Executive Order 13132.
This rule is not subject to the requirements of E.O. 13771 (82 FR
9339, February 3, 2017) because it is issued with respect to a national
security function of the United States.
Paperwork Reduction Act Requirements
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 of 1995 (44 U.S.C. 3501 et seq.) (PRA),
unless that collection of information displays a currently valid Office
of Management and Budget (OMB) Control Number.
This rule involves the following OMB approved collections of
information subject to the PRA: 0694-0088, ``Multi-Purpose
Application'', and carries a burden hour estimate of 29.6 minutes for a
manual or electronic submission; 0694-0106, ``Reporting and
Recordkeeping Requirements under the Wassenaar Arrangement'', which
carries a burden hour estimate of 21 minutes for a manual or electronic
submission; 0694-0137 ``License Exceptions and Exclusions'', which
carries a burden hour estimate average of 1.5 hours per submission
(Note: submissions for License Exceptions are rarely required); 0694-
0096 ``Five Year Records Retention Period'', which carries a burden
hour estimate of less than 1 minute; and 0607-0152 ``Automated Export
System (AES) Program, which carries a burden hour estimate of 3 minutes
per electronic submission. Specific license application submission
estimates are discussed further in the preamble of this rule where the
revision is explained. BIS estimates that revisions that are editorial,
moving the location of control text on the Commerce Control List, or
clarifications will result in no change in license application
submissions.
Any comments regarding these collections of information, including
suggestions for reducing the burden, may be sent to OMB Desk Officer,
New Executive Office Building, Washington, DC 20503; and to Jasmeet K.
Seehra, Office of Management and Budget (OMB), by email to
[email protected], or by fax to (202) 395-7285.
Administrative Procedure Act and Regulatory Flexibility Act
Requirements
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 action involves a military and foreign affairs function of the
United States (5 U.S.C. 553(a)(1)). Immediate implementation of
[[Page 53750]]
these amendments fulfills the United States' international commitments
to the WA. The WA is committed to contributing to regional and
international security and stability by promoting responsibility and
transparency in the global arms trade, and preventing destabilizing
accumulations of arms. As a Participating State, the United States is
charged with implementing the agreed list changes as soon as possible
after approval. Because the United States is a significant exporter of
the list items discussed in this rule, implementation of this provision
is necessary for the WA to achieve its purpose, and will enhance the
national security of the United States and global international trade.
Although the APA requirements in section 553 are not applicable to
this action under the provisions of paragraph (a)(1), this action also
falls within two other exceptions in the section. The subsection (b)
requirement that agencies publish a notice of proposed rulemaking that
includes information on the public proceedings does not apply when an
agency for good cause finds that the notice and public procedures are
impracticable, unnecessary, or contrary to the public interest, and the
agency incorporates the finding (and reasons therefor) in the rule that
is issued (5 U.S.C. 553(b)(B)). In addition, the section 553(d)
requirement that publication of a rule shall be made not less than 30
days before its effective date can be waived if an agency finds there
is good cause to do so.
The section 553 requirements for notice and public procedures and
for a delay in the date of effectiveness do not apply to this rule, as
there is good cause to waive such practices. Delay in implementation
would disrupt the movement of these potential national-security
controlled items globally, creating disharmony between export control
measures implemented by the 42 WA Participating States. Export controls
work best when all countries implement the same export controls in a
timely manner. Delaying this rulemaking would prevent the United States
from fulfilling its commitment to the WA in a timely manner, would
injure the credibility of the United States in this and other
multilateral regimes, and may impair the international community's
ability to effectively control the export of national security
controlled items. Therefore, this regulation is issued in final form,
and is effective October 24, 2018.
Further, no other law requires that a notice of proposed rulemaking
and an opportunity for public comment be given for this final rule.
Because a notice of proposed rulemaking and an opportunity for public
comment are not required to be given for this rule under 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. Accordingly, no regulatory flexibility analysis is
required and none has been prepared.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 742
Exports, Terrorism.
15 CFR Part 744
Exports, Reporting and recordkeeping requirements, Terrorism.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
Accordingly, parts 740, 742, 744, 772, and 774 of the Export
Administration Regulations (15 CFR parts 730 through 774) are amended
as follows:
PART 740--[AMENDED]
0
1. The authority citation for part 740 is revised to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 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 8, 2018, 83 FR
39871 (August 13, 2018).
0
2. Section 740.16 is amended by revising paragraphs (a)(2) and
(b)(2)(v) to read as follows:
Sec. 740.16 Additional permissive reexports (APR).
* * * * *
(a) * * *
(2) The commodities being reexported are not controlled for NP, CB,
MT, SI or CC reasons or described in ECCN 0A919, 3A001.b.2 or b.3
(except those that are being reexported for use in civil
telecommunications applications), 6A002, or 6A003; and
* * * * *
(b) * * *
(2) * * *
(v) Commodities described in ECCN 6A002.
* * * * *
Sec. 740.17 [Amended]
0
3. Section 740.17 is amended by removing the reference to ``5D002.d''
and adding in its place ``5D002.b'' in the Note to paragraph (b)(2) and
in paragraph (b)(3)(iv).
0
4. Section 740.20 is amended by revising paragraph (b)(2)(x) to read as
follows:
Sec. 740.20 License Exception Strategic Trade Authorization (STA).
* * * * *
(b) * * *
(2) * * *
(x) License Exception STA may not be used for items controlled by
ECCN 6A002; 6D002 (software ``specially designed'' for the ``use'' of
commodities controlled under 6A002.b); 6D003.c; 6D991 (software
``specially designed'' for the ``development,'' ``production,'' or
``use'' of commodities controlled under 6A002 or 6A003); 6E001
(``technology'' for the ``development'' of commodities controlled under
ECCN 6A002 or 6A003); or 6E002 ``technology'' (for the ``production''
of commodities controlled under ECCN 6A002 or 6A003).
* * * * *
PART 742--[AMENDED]
0
5. The authority citation for part 742 is revised to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 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 6, 2017, 82 FR 51971
(November 8, 2017); Notice of August 8, 2018, 83 FR 39871 (August
13, 2018).
0
6. Section 742.6 is amended by revising paragraph (b)(1)(ii) to read as
follows:
Sec. 742.6 Regional stability.
* * * * *
(b) * * *
(1) * * *
(ii) Applications for exports and reexports to a country listed in
Country Group D:5 (in supplement no. 1 to part 740 of the EAR) of
technology controlled under 6E001 for the development of focal plane
arrays, read-out integrated circuits (ROICs) or image intensifier tubes
described in 6A002 or technology controlled under 6E002 for the
production of focal plane arrays, read-out integrated circuits (ROICs)
or
[[Page 53751]]
image intensifier tubes described in 6A002 will be reviewed with a
presumption of denial.
* * * * *
PART 744--[AMENDED]
0
7. The authority citation for part 744 is revised to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 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; 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. 12947, 60 FR 5079, 3 CFR, 1995 Comp., p. 356; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13099, 63 FR 45167, 3
CFR, 1998 Comp., p. 208; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 786; Notice
of September 18, 2017, 82 FR 43825 (September 19, 2017); Notice of
November 6, 2017, 82 FR 51971 (November 8, 2017); Notice of January
17, 2018, 83 FR 2731 (January 18, 2018); Notice of August 8, 2018,
83 FR 39871 (August 13, 2018).
Sec. 744.9 [Amended]
0
8. Section 744.9 is amended by removing the reference ``6A990,'' from
paragraphs (a)(1) introductory text and (b).
PART 772--[AMENDED]
0
9. The authority citation for part 772 is revised to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C.
4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, 3
CFR, 2001 Comp., p. 783; Notice of August 8, 2018, 83 FR 39871
(August 13, 2018).
0
10. Section 772.1 is amended by:
0
a. Removing definitions for ``Automatic target tracking'', ``Carbon
fiber preforms'', ``Commingled'', and ``Comminution'';
0
b. Revising the definition for ``Compensation systems'';
0
c. Removing the definition for ``Compound rotary table'';
0
d. Revising the definition for ``Cryptographic activation'';
0
e. Removing the definitions for ``Deformable mirrors'', ``Direct-
acting hydraulic pressing'', ``Effective Gram'', ``Electronically
steerable phased array antenna'', ``Flight control optical sensor
array'', ``Flight path optimization'', ``Frequency mask trigger'',
``Frequency synthesizer'', ``Gas Atomization'', ``Geographically
dispersed'', and ``Hot isostatic densification'';
0
f. Adding the definition for ``Interleaved Analog-to-Digital Converter
(ADC)'' in alphabetical order;
0
g. Removing the definitions for ``Linearity'', ``Main storage'',
``Mechanical alloying'', ``Melt Extraction'', and ``Melt Spinning'';
0
h. Adding the definition for ``Multiple channel Analog-to-Digital
Converter (ADC)'' in alphabetical order;
0
i. Removing the definitions for ``Neural computer'', ``Optical
computer'', ``Plasma atomization'', ``Power management'', ``Previously
separated'', ``Primary flight control'', ``Real-time bandwidth'',
``Resolution'', and ``Rotary Atomization'';
0
j. Adding the definition for ``Sample rate'' in alphabetical order;
0
k. Removing the definitions for ``Settling time'' and ``Splat
Quenching'';
0
l. Adding the definition for ``Steady state mode'' in alphabetical
order;
0
m. Removing the definitions for ``Systolic array computer'' and
``Transfer laser'';
0
n. In the definition for ``User-accessible programmability'', removing
``Cat 4, 5, and 6'' and adding in its place ``Cat 6''; and
0
o. Removing the definitions for ``Vacuum Atomization'' and ``Variable
geometry airfoils''.
The revisions and additions read as follows:
Sec. 772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).
* * * * *
Compensation systems. (Cat 6) Consist of the primary scalar sensor,
one or more reference sensors (e.g., vector ``magnetometers'') together
with software that permit reduction of rigid body rotation noise of the
platform.
* * * * *
Cryptographic activation. (Cat 5P2) Any technique that specifically
activates or enables cryptographic capability of an item, by means of a
mechanism implemented by the manufacturer of the item, where this
mechanism is uniquely bound to any of the following:
(1) A single instance of the item; or
(2) One customer, for multiple instances of the item.
Technical note 1 to definition of ``Cryptographic activation'':
``Cryptographic activation'' techniques and mechanisms may be
implemented as hardware, ``software'' or ``technology''.
Technical note 2 to definition of ``Cryptographic activation'':
Mechanisms for ``cryptographic activation'' can, for example, be
serial number-based license keys or authentication instruments such
as digitally signed certificates.
* * * * *
Interleaved Analog-to-Digital Converter (ADC). (Cat 3) Devices that
have multiple ADC units that sample the same analog input at different
times such that when the outputs are aggregated, the analog input has
been effectively sampled and converted at a higher sampling rate.
* * * * *
Multiple channel Analog-to-Digital Converter (ADC). (Cat 3) Devices
that integrate more than one ADC, designed so that each ADC has a
separate analog input.
* * * * *
Sample rate. (Cat 3) For an Analog-to-Digital Converter (ADC) the
maximum number of samples that are measured at the analog input over a
period of one second, except for oversampling ADCs. For oversampling
ADCs the ``sample rate'' is taken to be its output word rate. ``Sample
rate'' may also be referred to as sampling rate, usually specified in
Mega Samples Per Second (MSPS) or Giga Samples Per Second (GSPS), or
conversion rate, usually specified in Hertz (Hz).
* * * * *
Steady state mode. (Cat 9) The term ``steady state mode'' defines
engine operation conditions, where the engine parameters, such as
thrust/power, rpm and others, have no appreciable fluctuations, when
the ambient air temperature and pressure at the engine inlet are
constant.
* * * * *
PART 774--[AMENDED]
0
11. The authority citation for part 774 is revised to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 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 8, 2018, 83 FR 39871 (August 13, 2018).
0
12. In supplement no. 1 to part 774, Category 0, ECCN 0A617 is revised
to read as follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
0A617 Miscellaneous ``Equipment'', Materials, and Related
Commodities (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry, except 0A617.y NS Column 1.
[[Page 53752]]
RS applies to entire entry, except 0A617.y RS Column 1.
AT applies to entire entry................ AT Column 1.
UN applies to entire entry, except 0A617.y See Sec. 764.1(b) of the
EAR for UN controls.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2)
of the EAR) may not be used for any item in 0A617.
List of Items Controlled
Related Controls: (1) Defense articles, such as materials made from
classified information, that are controlled by USML Category XIII,
and technical data (including software) directly related thereto,
are subject to the ITAR. (2) See ECCN 0A919 for foreign-made
``military commodities'' that incorporate more than a de minimis
amount of U.S.-origin ``600 series'' controlled content. (3) For
controls on self-contained diving and underwater swimming apparatus
and related commodities, see ECCN 8A620.f. (4) For controls on
robots, robot controllers, and robot end-effectors, see USML
Category VII and ECCNs 0A606 and 2B007. (5) ``Libraries'', i.e.,
parametric technical databases, ``specially designed'' for military
use with equipment controlled by the USML or a ``600 series'' ECCN
are controlled by the technical data and technology controls
pertaining to such items. (6) For controls on nuclear power
generating equipment or propulsion equipment, including ``nuclear
reactors'', ``specially designed'' for military use, and ``parts''
and ``components'' ``specially designed'' therefor, see USML
Categories VI, XIII, XV, and XX. (7) Simulators ``specially
designed'' for military ``nuclear reactors'' are controlled by USML
Category IX(b). (8) See USML Categories X, XI and XII for ``laser''
protection equipment (e.g., eye and sensor protection) ``specially
designed'' for military use. (9) ``Fuel cells'' ``specially
designed'' for a defense article on the USML or a commodity
controlled by a ``600 series'' ECCN are controlled according to the
corresponding ``600 series'' ECCN for such end items. (10) See USML
Category XV for controls on fuel cells ``specially designed'' for
satellite or spacecraft.
Related Definitions: N/A
Items:
a. [Reserved]
b. Concealment and deception equipment ``specially designed''
for military application, including special paints, decoys, smoke or
obscuration equipment and simulators, and ``parts'', ``components'',
``accessories'', and ``attachments'' ``specially designed''
therefor, not controlled by USML Category XIII.
c. Ferries, bridges (other than those described in ECCN 0A606 or
USML Category VII), and pontoons, ``specially designed'' for
military use.
d. Test models ``specially designed'' for the ``development'' of
defense articles controlled by USML Categories IV, VI, VII and VIII.
e. [Reserved]
f. ``Metal embrittlement agents''.
g. through x. [Reserved]
y. Other commodities as follows, and ``parts'', ``components'',
``accessories'', and ``attachments'' ``specially designed''
therefore:
y.1. Construction equipment ``specially designed'' for military
use, including such equipment ``specially designed'' for transport
in aircraft controlled by USML VIII(a) or ECCN 9A610.a.
y.2. ``Parts'', ``components'', ``accessories'', and
``attachments'' ``specially designed'' for commodities in paragraph
.y.1 of this entry, including crew protection kits used as
protective cabs.
y.3. ISO intermodal containers or demountable vehicle bodies
(i.e., swap bodies), n.e.s., ``specially designed'' or `modified'
for shipping or packing defense articles or items controlled by a
``600 series'' ECCN.
Technical Note: For the purpose of 0A617.y.3, `modified' means
any structural, electrical, mechanical, or other change that
provides a non-military item with military capabilities equivalent
to an item which is ``specially designed'' for military use.
y.4. Field generators ``specially designed'' for military use.
y.5. Power controlled searchlights and control units therefor,
``specially designed'' for military use, and ``equipment'' mounting
such units.
0
13. In supplement no. 1 to part 774, Category 0, ECCN 0A919 is revised
to read as follows:
0A919 ``Military commodities'' located and produced outside the
United States as follows (see list of items controlled).
License Requirements
Reasons for Control: RS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
RS applies to entire entry................ RS Column 1, See Sec.
742.6(a)(3) of the EAR for
license requirements.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) ``Military commodities'' are subject to the
export licensing jurisdiction of the Department of State if they
incorporate items that are subject to the International Traffic in
Arms Regulations (ITAR) (22 CFR parts 120 through 130). (2)
``Military commodities'' described in this paragraph are subject to
the export licensing jurisdiction of the Department of State if such
commodities are described on the U.S. Munitions List (22 CFR part
121) and are in the United States. (3) The furnishing of assistance
(including training) to foreign persons, whether in the United
States or abroad, in the design, development, engineering,
manufacture, production, assembly, testing, repair, maintenance,
modification, operation, demilitarization, destruction, processing,
or use of defense articles that are subject to the ITAR; or the
furnishing to foreign persons of any technical data controlled under
22 CFR 121.1 whether in the United States or abroad are under the
licensing jurisdiction of the Department of State. (4) Brokering
activities (as defined in 22 CFR part 129) of ``military
commodities'' that are subject to the ITAR are under the licensing
jurisdiction of the Department of State.
Related Definitions: ``Military commodity'' or ``military
commodities'' means an article, material or supply that is described
on the U.S. Munitions List (22 CFR part 121) or on the Munitions
List that is published by the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies
(i.e., the Wassenaar Arrangement Munitions List (WAML)), but does
not include software, technology, any item listed in any ECCN for
which the last three numerals are 018, or any item in the ``600
series.''
Items:
a. ``Military commodities'' produced and located outside the
United States that are not subject to the International Traffic in
Arms Regulations (22 CFR parts 120 through 130) and having any of
the following characteristics:
a.1. Incorporate more than a de minimis amount of U.S.-origin
controlled content classified under ECCNs 6A002, 6A003, or 6A993.a
(having a maximum frame rate equal to or less than 9 Hz and thus
meeting the criterion of Note 3.a to 6A003.b.4);
a.2. Incorporate more than a de minimis amount of U.S.-origin
``600 series'' controlled content (see Sec. 734.4 of the EAR); or
a.3. Are direct products of U.S.-origin ``600 series''
technology or software (see Sec. 736.2(b)(3) of the EAR).
b. [Reserved]
0
14. In supplement no. 1 to part 774, Category 1, ECCN 1A002 is revised
to read as follows:
1A002 ``Composite'' structures or laminates, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2.
[[Page 53753]]
NP applies to 1A002.b.1 in the form of NP Column 1.
tubes with an inside diameter between 75
mm and 400 mm.
AT applies to entire entry................ AT Column 1.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500; N/A for NP; N/A for ``composite'' structures or
laminates controlled by 1A002.a, having an organic ``matrix'' and
made from materials controlled by 1C010.c or 1C010.d.
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this
entry to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCNs 1A202, 1C010, 1C210,
9A010, and 9A110. (3) ``Composite'' structures ``specially
designed'' for missile applications (including ``specially
designed'' subsystems, ``parts'', and ``components'') are controlled
by ECCN 9A110. (4) ``Composite'' structures or laminates ``specially
designed'' or prepared for use in separating uranium isotopes are
subject to the export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110).
Related Definitions: N/A
Items:
a. Made from any of the following:
a.1. An organic ``matrix'' and ``fibrous or filamentary
materials'' specified by 1C010.c or 1C010.d; or
a.2. Prepregs or preforms specified by 1C010.e;
b. Made from a metal or carbon ``matrix'', and any of the
following:
b.1. Carbon ``fibrous or filamentary materials'' having all of
the following:
b.1.a. A ``specific modulus'' exceeding 10.15 x 10\6\ m; and
b.1.b. A ``specific tensile strength'' exceeding 17.7 x 10\4\ m;
or
b.2. Materials controlled by 1C010.c.
Note 1: 1A002 does not control ``composite'' structures or
laminates made from epoxy resin impregnated carbon ``fibrous or
filamentary materials'', for the repair of ``civil aircraft''
structures or laminates, having all of the following:
a. An area not exceeding 1 m \2\;
b. A length not exceeding 2.5 m; and
c. A width exceeding 15 mm.
Note 2: 1A002 does not control semi-finished items, ``specially
designed'' for civilian applications as follows:
a. Sporting goods;
b. Automotive industry;
c. Machine tool industry;
d. Medical applications.
Note 3: 1A002.b.1 does not apply to semi-finished items
containing a maximum of two dimensions of interwoven filaments and
``specially designed'' for applications as follows:
a. Metal heat-treatment furnaces for tempering metals;
b. Silicon boule production equipment.
Note 4: 1A002 does not apply to finished items ``specially
designed'' for a specific application.
0
15. In supplement no. 1 to part 774, Category 1, ECCN 1C001 is revised
to read as follows:
1C001 Materials ``specially designed'' for absorbing electromagnetic
radiation, or intrinsically conductive polymers, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1.
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this
entry to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 1C101
Related Definitions: N/A
Items:
a. Materials for absorbing frequencies exceeding 2 x 10\8\ Hz
but less than 3 x 10\12\ Hz.
Note 1: 1C001.a does not control:
a. Hair type absorbers, constructed of natural or synthetic
fibers, with non-magnetic loading to provide absorption;
b. Absorbers having no magnetic loss and whose incident surface
is non-planar in shape, including pyramids, cones, wedges and
convoluted surfaces;
c. Planar absorbers, having all of the following:
1. Made from any of the following:
a. Plastic foam materials (flexible or non-flexible) with
carbon-loading, or organic materials, including binders, providing
more than 5% echo compared with metal over a bandwidth exceeding
15% of the center frequency of the incident energy, and
not capable of withstanding temperatures exceeding 450 K (177
[deg]C); or
b. Ceramic materials providing more than 20% echo compared with
metal over a bandwidth exceeding 15% of the center
frequency of the incident energy, and not capable of withstanding
temperatures exceeding 800 K (527 [deg]C);
Technical Note: Absorption test samples for 1C001.a. Note 1.c.1
should be a square at least 5 wavelengths of the center frequency on
a side and positioned in the far field of the radiating element.
2. Tensile strength less than 7 x 10\6\ N/m\2\; and
3. Compressive strength less than 14 x 10\6\ N/m\2\;
d. Planar absorbers made of sintered ferrite, having all of the
following:
1. A specific gravity exceeding 4.4; and
2. A maximum operating temperature of 548 K (275 [deg]C).
Note 2: Nothing in Note 1 releases magnetic materials to provide
absorption when contained in paint.
b. Materials not transparent to visible light and specially
designed for absorbing near-infrared radiation having a wavelength
exceeding 810 nm but less than 2,000 nm (frequencies exceeding 150
THz but less than 370 THz);
Note: 1C001.b does not apply to materials, ``specially
designed'' or formulated for any of the following applications:
a. ``Laser'' marking of polymers; or
b. ``Laser'' welding of polymers.
c. Intrinsically conductive polymeric materials with a `bulk
electrical conductivity' exceeding 10,000 S/m (Siemens per meter) or
a `sheet (surface) resistivity' of less than 100 ohms/square, based
on any of the following polymers:
c.1. Polyaniline;
c.2. Polypyrrole;
c.3. Polythiophene;
c.4. Poly phenylene-vinylene; or
c.5. Poly thienylene-vinylene.
Note: 1C001.c does not apply to materials in a liquid form.
Technical Note: `Bulk electrical conductivity' and `sheet
(surface) resistivity' should be determined using ASTM D-257 or
national equivalents.
0
16. In supplement no. 1 to part 774, Category 1, ECCN 1C002 is revised
to read as follows:
1C002 Metal alloys, metal alloy powder and alloyed materials, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
[[Page 53754]]
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2.
NP applies to 1C002.b.3................... NP Column 1.
or b.4 if they exceed the parameters
stated in 1C202.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000; N/A for NP
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCN 1C202. (3) Aluminum
alloys and titanium alloys in physical forms and finished products
``specially designed'' or prepared for use in separating uranium
isotopes are subject to the export licensing authority of the
Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definition: N/A
Items:
Note: 1C002 does not control metal alloys, metal alloy powder
and alloyed materials, specially formulated for coating purposes.
Technical Note 1: The metal alloys in 1C002 are those
containing a higher percentage by weight of the stated metal than of
any other element.
Technical Note 2: `Stress-rupture life' should be measured in
accordance with ASTM standard E-139 or national equivalents.
Technical Note 3: `Low cycle fatigue life' should be measured
in accordance with ASTM Standard E-606 `Recommended Practice for
Constant-Amplitude Low-Cycle Fatigue Testing' or national
equivalents. Testing should be axial with an average stress ratio
equal to 1 and a stress-concentration factor (Kt) equal
to 1. The average stress is defined as maximum stress minus minimum
stress divided by maximum stress.
a. Aluminides, as follows:
a.1. Nickel aluminides containing a minimum of 15% by weight
aluminum, a maximum of 38% by weight aluminum and at least one
additional alloying element;
a.2. Titanium aluminides containing 10% by weight or more
aluminum and at least one additional alloying element;
b. Metal alloys, as follows, made from the powder or particulate
material controlled by 1C002.c:
b.1. Nickel alloys having any of the following:
b.1.a. A `stress-rupture life' of 10,000 hours or longer at 923
K (650 [deg]C) at a stress of 676 MPa; or
b.1.b. A `low cycle fatigue life' of 10,000 cycles or more at
823 K (550 [deg]C) at a maximum stress of 1,095 MPa;
b.2. Niobium alloys having any of the following:
b.2.a. A `stress-rupture life' of 10,000 hours or longer at
1,073 K (800 [deg]C) at a stress of 400 MPa; or
b.2.b. A `low cycle fatigue life' of 10,000 cycles or more at
973 K (700 [deg]C) at a maximum stress of 700 MPa;
b.3. Titanium alloys having any of the following:
b.3.a. A `stress-rupture life' of 10,000 hours or longer at 723
K (450 [deg]C) at a stress of 200 MPa; or
b.3.b. A `low cycle fatigue life' of 10,000 cycles or more at
723 K (450 [deg]C) at a maximum stress of 400 MPa;
b.4 Aluminum alloys having any of the following:
b.4.a. A tensile strength of 240 MPa or more at 473 K (200
[deg]C); or
b.4.b. A tensile strength of 415 MPa or more at 298 K (25
[deg]C);
b.5. Magnesium alloys having all the following:
b.5.a. A tensile strength of 345 MPa or more; and
b.5.b. A corrosion rate of less than 1 mm/year in 3% sodium
chloride aqueous solution measured in accordance with ASTM standard
G-31 or national equivalents;
c. Metal alloy powder or particulate material, having all of the
following:
c.1. Made from any of the following composition systems:
Technical Note: X in the following equals one or more alloying
elements.
c.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine
engine ``parts'' or ``components'', i.e., with less than 3 non-
metallic particles (introduced during the manufacturing process)
larger than 100 [mu]m in 10 \9\ alloy particles;
c.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si,
Nb-Ti-X or Nb-X-Ti);
c.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
c.1.d. Aluminum alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn,
Al-Fe-X or Al-X-Fe); or
c.1.e. Magnesium alloys (Mg-Al-X or Mg-X-Al);
c.2. Made in a controlled environment by any of the following
processes:
c.2.a. `Vacuum atomization';
c.2.b. `Gas atomization';
c.2.c. `Rotary atomization';
c.2.d. `Splat quenching';
c.2.e. `Melt spinning' and `comminution';
c.2.f. `Melt extraction' and `comminution';
c.2.g. `Mechanical alloying'; or
c.2.h. `Plasma atomization'; and
c.3. Capable of forming materials controlled by 1C002.a or
1C002.b;
d. Alloyed materials, having all the following:
d.1. Made from any of the composition systems specified by
1C002.c.1;
d.2. In the form of uncomminuted flakes, ribbons or thin rods;
and
d.3. Produced in a controlled environment by any of the
following:
d.3.a. `Splat quenching';
d.3.b. `Melt spinning'; or
d.3.c. `Melt extraction'.
Technical Notes: 1. `Vacuum atomisation' is a process to reduce
a molten stream of metal to droplets of a diameter of 500 [mu]m or
less by the rapid evolution of a dissolved gas upon exposure to a
vacuum.
2. `Gas atomisation' is a process to reduce a molten stream of
metal alloy to droplets of 500 [mu]m diameter or less by a high
pressure gas stream.
3. `Rotary atomisation' is a process to reduce a stream or pool
of molten metal to droplets to a diameter of 500 [mu]m or less by
centrifugal force.
4. `Splat quenching' is a process to `solidify rapidly' a molten
metal stream impinging upon a chilled block, forming a flake-like
product.
5. `Melt spinning' is a process to `solidify rapidly' a molten
metal stream impinging upon a rotating chilled block, forming a
flake, ribbon or rod-like product.
6. `Comminution' is a process to reduce a material to particles
by crushing or grinding.
7. `Melt extraction' is a process to `solidify rapidly' and
extract a ribbon-like alloy product by the insertion of a short
segment of a rotating chilled block into a bath of a molten metal
alloy.
8. `Mechanical alloying' is an alloying process resulting from
the bonding, fracturing and rebonding of elemental and master alloy
powders by mechanical impact. Non-metallic particles may be
incorporated in the alloy by addition of the appropriate powders.
9. `Plasma atomisation' is a process to reduce a molten stream
or solid metal to droplets of 500 [mu]m diameter or less, using
plasma torches in an inert gas environment.
10. `Solidify rapidly' is a process involving the solidification
of molten material at cooling rates exceeding 1000 K/sec.
0
17. In supplement no. 1 to part 774, Category 1, ECCN 1C007 is revised
to read as follows:
1C007 Ceramic powders, ceramic ``matrix'' ``composite'' materials
and `precursor materials,' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to items in 1C007.c when the MT Column 1
dielectric constant is less than 6 at any
frequency from 100 MHz to 100 GHz for use
in ``missile'' radomes.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
[[Page 53755]]
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000, except N/A for MT and for 1C007.e
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
1C007.c entry to any of the destinations listed in Country Group A:6
(See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 1C107
Related Definitions: N/A
Items:
a. Ceramic powders of titanium diboride (TiB2) (CAS
12045-63-5) having total metallic impurities, excluding intentional
additions, of less than 5,000 ppm, an average particle size equal to
or less than 5 [micro]m and no more than 10% of the particles larger
than 10 [micro]m;
b. [Reserved]
c. Ceramic ``matrix'' ``composite'' materials as follows:
c.1. Ceramic-ceramic ``composite'' materials with a glass or
oxide-``matrix'' and reinforced with any of the following:
c.1.a. Continuous fibers made from any of the following
materials:
c.1.a.1. Al2O3 (CAS 1344-28-1); or
c.1.a.2. Si-C-N; or
Note: 1C007.c.1.a does not apply to ``composites'' containing
fibers with a tensile strength of less than 700 MPa at 1,273 K
(1,000 [deg]C) or tensile creep resistance of more than 1% creep
strain at 100 MPa load and 1,273 K (1,000 [deg]C) for 100 hours.
c.1.b. Fibers being all of the following:
c.1.b.1. Made from any of the following materials:
c.1.b.1.a. Si-N;
c.1.b.1.b. Si-C;
c.1.b.1.c. Si-Al-O-N; or
c.1.b.1.d. Si-O-N; and
c.1.b.2. Having a ``specific tensile strength'' exceeding 12.7 x
10 \3\ m;
c.2. Ceramic ``matrix'' ``composite'' materials with a
``matrix'' formed of carbides or nitrides of silicon, zirconium or
boron;
N.B.: For items previously specified by 1C007.c see
1C007.c.1.b.
d. [Reserved]
N.B.: For items previously specified by 1C007.d see 1C007.c.2.
e. `Precursor materials' ``specially designed'' for the
``production'' of materials controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes;
e.2. Polysilazanes;
e.3. Polycarbosilazanes;
Technical Note: For the purposes of 1C007, `precursor
materials' are special purpose polymeric or metallo-organic
materials used for the ``production'' of silicon carbide, silicon
nitride, or ceramics with silicon, carbon and nitrogen.
f. [Reserved]
N.B.: For items previously specified by 1C007.f see
1C007.c.1.a.
0
18. In supplement no. 1 to part 774, Category 1, ECCN 1C010 is revised
to read as follows:
1C010 ``Fibrous or filamentary materials'' as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to 1C010.a (aramid ``fibrous or NP Column 1
filamentary materials'', b (carbon
``fibrous and filamentary materials''),
and e.1 for ``fibrous and filamentary
materials'' that meet or exceed the
control criteria of ECCN 1C210.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500, N/A for NP
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
1C010.c to any of the destinations listed in Country Group A:6 (See
Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCNs 1C210 and 1C990. (3)
See also 9C110 for material not controlled by 1C010.e, as defined by
notes 1 or 2.
Related Definitions: (1) ``Specific modulus'': Young's modulus in
pascals, equivalent to N/m\2\ divided by specific weight in N/m\3\,
measured at a temperature of (296 + 2) K ((23 + 2) [deg]C) and a
relative humidity of (50 + 5)%. (2) ``Specific tensile strength'':
ultimate tensile strength in pascals, equivalent to N/m \2\ divided
by specific weight in N/m\3\, measured at a temperature of (296 + 2)
K ((23 + 2) [deg]C) and a relative humidity of (50 + 5)%.
Items:
Technical Notes: 1. For the purpose of calculating ``specific
tensile strength'', ``specific modulus'' or specific weight of
``fibrous or filamentary materials'' in 1C010.a, 1C010.b or 1C010.c,
the tensile strength and modulus should be determined by using
Method A described in ISO 10618 (2004) or national equivalents.
2. Assessing the ``specific tensile strength'', ``specific
modulus'' or specific weight of non-unidirectional ``fibrous or
filamentary materials'' (e.g., fabrics, random mats or braids) in
1C010 is to be based on the mechanical properties of the constituent
unidirectional monofilaments (e.g., monofilaments, yarns, rovings or
tows) prior to processing into the non-unidirectional ``fibrous or
filamentary materials''.
a. Organic ``fibrous or filamentary materials'', having all of
the following:
a.1. ``Specific modulus'' exceeding 12.7 x 10\6\ m; and
a.2. ``Specific tensile strength'' exceeding 23.5 x 10\4\ m;
Note: 1C010.a does not control polyethylene.
b. Carbon ``fibrous or filamentary materials'', having all of
the following:
b.1. ``Specific modulus'' exceeding 14.65 x 10 \6\ m; and
b.2. ``Specific tensile strength'' exceeding 26.82 x 10 \4\ m;
Note: 1C010.b does not control:
a. ``Fibrous or filamentary materials'', for the repair of
``civil aircraft'' structures or laminates, having all of the
following:
1. An area not exceeding 1 m\2\;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm.
b. Mechanically chopped, milled or cut carbon ``fibrous or
filamentary materials'' 25.0 mm or less in length.
c. Inorganic ``fibrous or filamentary materials'', having all of
the following:
c.1. ``Specific modulus'' exceeding 2.54 x 10\6\ m; and
c.2. Melting, softening, decomposition or sublimation point
exceeding 1,922 K (1,649 [deg]C) in an inert environment;
Note: 1C010.c does not control:
a. Discontinuous, multiphase, polycrystalline alumina fibers in
chopped fiber or random mat form, containing 3% by weight or more
silica, with a ``specific modulus'' of less than 10 x 10\6\ m;
b. Molybdenum and molybdenum alloy fibers;
c. Boron fibers;
d. Discontinuous ceramic fibers with a melting, softening,
decomposition or sublimation point lower than 2,043 K (1,770 [deg]C)
in an inert environment.
d. ``Fibrous or filamentary materials'', having any of the
following:
d.1. Composed of any of the following:
d.1.a. Polyetherimides controlled by 1C008.a; or
d.1.b. Materials controlled by 1C008.b to 1C008.f; or
d.2. Composed of materials controlled by 1C010.d.1.a or
1C010.d.1.b and `commingled' with other fibers controlled by
1C010.a, 1C010.b or 1C010.c.
Technical Note: `Commingled' is filament to filament blending of
thermoplastic fibers and reinforcement fibers in order to produce a
fiber reinforcement ``matrix'' mix in total fiber form.
e. Fully or partially resin impregnated or pitch impregnated
``fibrous or filamentary
[[Page 53756]]
materials'' (prepregs), metal or carbon coated ``fibrous or
filamentary materials'' (preforms) or `carbon fiber preforms',
having all of the following:
e.1. Having any of the following:
e.1.a. Inorganic ``fibrous or filamentary materials'' controlled
by 1C010.c; or
e.1.b. Organic or carbon ``fibrous or filamentary materials'',
having all of the following:
e.1.b.1. ``Specific modulus'' exceeding 10.15 x 10\6\ m; and
e.1.b.2 ``Specific tensile strength'' exceeding 17.7 x 10\4\ m;
and
e.2. Having any of the following:
e.2.a. Resin or pitch, controlled by 1C008 or 1C009.b;
e.2.b. `Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' equal to or exceeding 453 K (180 [deg]C) and
having a phenolic resin; or
e.2.c. `Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' equal to or exceeding 505 K (232 [deg]C) and
having a resin or pitch, not specified by 1C008 or 1C009.b, and not
being a phenolic resin;
Note 1: Metal or carbon coated ``fibrous or filamentary
materials'' (preforms) or `carbon fiber preforms', not impregnated
with resin or pitch, are specified by ``fibrous or filamentary
materials'' in 1C010.a, 1C010.b or 1C010.c.
Note 2: 1C010.e does not apply to:
a. Epoxy resin ``matrix'' impregnated carbon ``fibrous or
filamentary materials'' (prepregs) for the repair of ``civil
aircraft'' structures or laminates, having all of the following:
1. An area not exceeding 1 m\2\;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm;
b. Fully or partially resin-impregnated or pitch-impregnated
mechanically chopped, milled or cut carbon ``fibrous or filamentary
materials'' 25.0 mm or less in length when using a resin or pitch
other than those specified by 1C008 or 1C009.b.
Technical Notes:
1. `Carbon fiber preforms' are an ordered arrangement of
uncoated or coated fibers intended to constitute a framework of a
part before the ``matrix'' is introduced to form a ``composite''.
2. The `Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' for materials controlled by 1C010.e is
determined using the method described in ASTM D 7028-07, or
equivalent national standard, on a dry test specimen. In the case of
thermoset materials, degree of cure of a dry test specimen shall be
a minimum of 90% as defined by ASTM E 2160 04 or equivalent national
standard.
0
19. In supplement no. 1 to part 774, Category 1, ECCN 1C608 revised to
read as follows:
1C608 ``Energetic materials'' and related commodities (see List of
Items Controlled).
License Requirements
Reason for Control: NS, RS, MT, AT, UN
Country chart (see Supp.
Control(s) no. 1 to part 738)
NS applies to entire entry................ NS Column 1
RS applies to entire entry................ RS Column 1
MT applies to 1C608.m..................... MT Column 1
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) of the
EAR for UN controls
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2)
of the EAR) may not be used for any item in 1C608.
List of Items Controlled
Related Controls: (1) The EAR does not control devices or charges
containing materials controlled by USML subparagraphs V(c)(6), V(h),
or V(i). The USML controls devices containing such materials. (2)
The USML in Categories III, IV, or V controls devices and charges in
this entry if they contain materials controlled by Category V (other
than slurries) and such materials can be easily extracted without
destroying the device or charge. (3) See also explosives and other
items enumerated in ECCNs 1A006, 1A007, 1A008, 1C011, 1C111, 1C239,
and 1C992. (4) See ECCN 0A919 for foreign-made ``military
commodities'' that incorporate more than a de minimis amount of US-
origin ``600 series'' controlled content.
Related Definitions: (1) For purposes of this entry, the term
`controlled materials' means controlled energetic materials
enumerated in ECCNs 1C011, 1C111, 1C239, 1C608, or USML Category V.
(2) For the purposes of this entry, the term `propellants' means
substances or mixtures that react chemically to produce large
volumes of hot gases at controlled rates to perform mechanical work.
Items:
a. `Single base', `double base', and `triple base' `propellants'
having nitrocellulose with nitrogen content greater than 12.6% in
the form of either:
a.1. `Sheetstock' or `carpet rolls'; or
a.2. Grains with diameter greater than 0.10 inches.
Note: This entry does not control `propellant' grains used in
shotgun shells, small arms cartridges, or rifle cartridges.
Technical Notes:
1. `Sheetstock' is `propellant' that has been manufactured in
the form of a sheet suitable for further processing.
2. A `carpet roll' is `propellant' that has been manufactured as
a sheet, often cut to a desired width, and subsequently rolled up
(like a carpet).
3. `Single base' is `propellant' which consists mostly of
nitrocellulose.
4.`Double base' `propellant' consist mostly of nitrocellulose
and nitroglycerine.
5. `Triple base' consists mostly of nitrocellulose,
nitroglycerine, and nitroguanidine. Such `propellants' contain other
materials, such as resins or stabilizers, that could include carbon,
salts, burn rate modifiers, nitrodiphenylamine, wax, polyethylene
glycol (PEG), polyglycol adipate (PGA).
b. Shock tubes containing greater than 0.064 kg per meter (300
grains per foot), but not more than 0.1 kg per meter (470 grains per
foot) of `controlled materials.'
c. Cartridge power devices containing greater than 0.70 kg, but
not more than 1.0 kg of `controlled materials.'
d. Detonators (electric or nonelectric) and ``specially
designed'' assemblies therefor containing greater than 0.01 kg, but
not more than 0.1 kg of `controlled materials'.
e. Igniters not controlled by USML Categories III or IV that
contain greater than 0.01 kg, but not more than 0.1 kg of
`controlled materials'.
f. Oil well cartridges containing greater than 0.015 kg, but not
more than 0.1 kg of `controlled materials'.
g. Commercial cast or pressed boosters containing greater than
1.0 kg, but not more than 5.0 kg of `controlled materials'.
h. Commercial prefabricated slurries and emulsions containing
greater than 10 kg and less than or equal to thirty-five percent by
weight of USML `controlled materials'.
i. [Reserved]
j. ``Pyrotechnic'' devices ``specially designed'' for commercial
purposes (e.g., theatrical stages, motion picture special effects,
and fireworks displays), and containing greater than 3.0 kg, but not
more than 5.0 kg of `controlled materials'.
k. Other commercial explosive devices or charges ``specially
designed'' for commercial applications, not controlled by 1C608.c
through .g above, containing greater than 1.0 kg, but not more than
5.0 kg of `controlled materials'.
l. Propyleneimine (2 methylaziridine) (C.A.S. #75-55-8).
m. Any oxidizer or `mixture' thereof that is a compound composed
of fluorine and any of the following: other halogens, oxygen, or
nitrogen.
Note 1 to 1C608.m: Nitrogen trifluoride (NF3) (CAS 7783-54-2) in
a gaseous state is controlled under ECCN 1C992 and not under ECCN
1C608.m.
Note 2 to 1C608.m: Chlorine trifluoride (ClF3) (CAS 7790-91-2)
is controlled under ECCN 1C111.a.3.f and not under ECCN 1C608.m.
Note 3 to 1C608.m: Oxygen difluoride (OF2) is controlled under
USML Category V.d.10 (see 22 CFR 121.1) and not under ECCN 1C608.m.
Note to 1C608.l and m: If a chemical in ECCN 1C608.l or .m is
incorporated into a commercial charge or device described in ECCN
1C608.c through .k or in ECCN 1C992, the classification of the
commercial charge or device applies to the item.
[[Page 53757]]
Technical Note to 1C608.m: `Mixture' refers to a composition of
two or more substances with at least one substance being enumerated
in 1C011, 1C111, 1C239, 1C608, USML Category V, or elsewhere on the
USML.
n. Any explosives, `propellants', oxidizers, ``pyrotechnics'',
fuels, binders, or additives that are ``specially designed'' for
military application and not enumerated or otherwise described in
USML Category V or elsewhere on the USML.
Note 1: 1C608.n does not apply to the following ``aircraft''
fuels: JP-4, JP-5, and JP-8.
Note 2: ``Aircraft'' fuels specified by 1C608.n, Note 1 are
finished products, not their constituents.
0
20. In supplement no. 1 to part 774, Category 2, ECCN 2A001 is revised
to read as follows:
2A001 Anti-friction bearings and bearing systems, as follows, (see
List of Items Controlled) and ``components'' therefor.
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp.
Control(s) no. 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to radial ball bearings having MT Column 1
all tolerances specified in accordance
with ISO 492 Tolerance Class 2 (or ANSI/
ABMA Std 20 Tolerance Class ABEC-9, or
other national equivalents) or better and
having all the following characteristics:
an inner ring bore diameter between 12
and 50 mm; an outer ring outside diameter
between 25 and 100 mm; and a width
between 10 and 20 mm..
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000, N/A for MT
GBS: Yes, for 2A001.a, N/A for MT
CIV: Yes, for 2A001.a, N/A for MT
List of Items Controlled
Related Controls: (1) See also 2A991. (2) Quiet running bearings are
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: Annular Bearing Engineers Committee (ABEC).
Items:
Note 1: 2A001.a includes ball bearing and roller elements
``specially designed'' for the items specified therein.
Note 2: 2A001 does not control balls with tolerances specified
by the manufacturer in accordance with ISO 3290 as grade 5 (or
national equivalents) 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 national equivalents), or better, and having
both `rings' and `rolling elements', made from monel or beryllium;
Note: 2A001.a does not control tapered roller bearings.
Technical Notes:
1. `Ring'--annular part of a radial rolling bearing
incorporating one or more raceways (ISO 5593:1997).
2. `Rolling element'--ball or roller which rolls between
raceways (ISO 5593:1997).
b. [Reserved]
c. Active magnetic bearing systems using any of the following:
c.1. Materials with flux densities of 2.0 T or greater and yield
strengths greater than 414 MPa;
c.2. All-electromagnetic 3D homopolar bias designs for
actuators; or
c.3. High temperature (450 K (177 [deg]C) and above) position
sensors.
0
21. In supplement no. 1 to part 774, Category 2, ECCN 2B001 is revised
to read as follows:
2B001 Machine tools and any combination thereof, for removing (or
cutting) metals, ceramics or ``composites'', which, according to the
manufacturer's technical specifications, can be equipped with
electronic devices for ``numerical control''; as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to 2B001.a, .b, .c, and .d, NP Column 1
EXCEPT: (1) Turning machines under
2B001.a with a capacity no greater than
35 mm diameter; (2) bar machines
(Swissturn), limited to machining only
bar feed through, if maximum bar diameter
is equal to or less than 42 mm and there
is no capability of mounting chucks.
(Machines may have drilling and/or
milling capabilities for machining
``parts'' or ``components'' with
diameters less than 42 mm); or (3)
milling machines under 2B001.b with x-
axis travel greater than two meters and
overall positioning accuracy according to
ISO 230/2 (2006) on the x-axis more
(worse) than 22.5 [mu]m.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2B002 for optical finishing machines.
(2) See ECCNs 2D001 and 2D002 for software for items controlled
under this entry. (3) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (4) Also see ECCNs 2B201 and 2B991.
Related Definitions: N/A
Items:
Note 1: 2B001 does not control special purpose machine tools
limited to the manufacture of gears. For such machines, see 2B003.
Note 2: 2B001 does not control special purpose machine tools
limited to the manufacture of any of the following:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
d. Engraved or faceted jewelry parts; or
e. Dental prostheses.
Note 3: A machine tool having at least two of the three turning,
milling or grinding capabilities (e.g., a turning machine with
[[Page 53758]]
milling capability), must be evaluated against each applicable entry
2B001.a, .b or .c.
a. Machine tools for turning having two or more axes which can
be coordinated simultaneously for ``contouring control'' having any
of the following:
a.1. ``Unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [mu]m along one or more linear axis with a
travel length less than 1.0 m; or
a.2. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [mu]m along one or more linear axis with a
travel length equal to or greater than 1.0 m;
Note 1: 2B001.a does not control turning machines ``specially
designed'' for producing contact lenses, having all of the
following:
a. Machine controller limited to using ophthalmic based
``software'' for part programming data input; and
b. No vacuum chucking.
Note 2: 2B001.a does not apply to bar machines (Swissturn),
limited to machining only bar feed thru, if maximum bar diameter is
equal to or less than 42 mm and there is no capability of mounting
chucks. Machines may have drilling or milling capabilities for
machining parts with diameters less than 42 mm.
b. Machine tools for milling having any of the following:
b.1. Three linear axes plus one rotary axis which can be
coordinated simultaneously for ``contouring control'' having any of
the following:
b.1.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [mu]m along one or more linear axis with a
travel length less than 1.0 m; or
b.1.b. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [mu]m along one or more linear axis with a
travel length equal to or greater than 1.0 m;
b.2. Five or more axes which can be coordinated simultaneously
for ``contouring control'' having any of the following:
b.2.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [mu]m along one or more linear axis with a
travel length less than 1.0 m;
b.2.b. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.4 [mu]m along one or more linear axis with a
travel length equal to or greater than 1 m and less than 4 m; or
b.2.c. ``Unidirectional positioning repeatability'' equal to or
less (better) than 6.0 [mu]m along one or more linear axis with a
travel length equal to or greater than 4 m;
b.3. A ``unidirectional positioning repeatability'' for jig
boring machines, equal to or less (better) than 1.1 [mu]m along one
or more linear axis; or
b.4. Fly cutting machines having all of the following:
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:
c.1. Having all of the following:
c.1.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [mu]m along one or more linear axis; and
c.1.b. Three or four axes which can be coordinated
simultaneously for ``contouring control''; or
c.2. Five or more axes which can be coordinated simultaneously
for ``contouring control'' having any of the following:
c.2.a. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.1 [mu]m along one or more linear axis with a
travel length less than 1 m;
c.2.b. ``Unidirectional positioning repeatability'' equal to or
less (better) than 1.4 [mu]m along one or more linear axis with a
travel length equal to or greater than 1 m and less than 4 m; or
c.2.c. ``Unidirectional positioning repeatability'' equal to or
less (better) than 6.0 [mu]m along one or more linear axis with a
travel length equal to or greater than 4 m.
Notes: 2B001.c does not control grinding machines as follows:
a. Cylindrical external, internal, and external-internal
grinding machines, having all of the following:
a.1. Limited to cylindrical grinding; and
a.2. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length.
b. Machines designed specifically as jig grinders that do not
have a z-axis or a w-axis, with a ``unidirectional positioning
repeatability'' less (better) than 1.1 [micro]m.
c. 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:
e.1. Removing material by means of any of the following:
e.1.a. Water or other liquid jets, including those employing
abrasive additives;
e.1.b. Electron beam; or
e.1.c. ``Laser'' beam; and
e.2. At least two rotary axes having all of the following:
e.2.a. Can be coordinated simultaneously for ``contouring
control''; and
e.2.b. 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 m.
0
22. In supplement no. 1 to part 774, Category 2, ECCN 2B006 is revised
to read as follows:
2B006 Dimensional inspection or measuring systems, equipment,
position feedback units and ``electronic assemblies'', as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to those items in 2B006.a, NP Column 1
.b.1, b.3, and .c (angular displacement
measuring instruments) that meet or
exceed the technical parameters in 2B206.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2D001 and 2D002 for ``software'' for
items controlled under this entry. (2) See ECCNs 2E001
(``development''), 2E002 (``production''), and 2E201 (``use'') for
technology for items controlled under this entry. (3) Also see ECCNs
2B206 and 2B996.
Related Definitions: N/A
Items:
a. Computer controlled or ``numerically controlled'' Coordinate
Measuring Machines (CMM), having a three dimensional length
(volumetric) maximum permissible error of length measurement
(E0,MPE) at any point within the operating range of the
machine (i.e., within the length of axes) equal to or less (better)
than (1.7 + L/1,000) [mu]m (L is the measured length in mm)
according to ISO 10360-2 (2009);
Technical Note: The E0,MPE of the most accurate
configuration of the CMM specified by the manufacturer (e.g., best
of the following: Probe, stylus length, motion parameters,
environment) and with ``all compensations available'' shall be
compared to the 1.7 + L/1,000 [mu]m threshold.
b. Linear displacement measuring instruments or systems, linear
position feedback units, and ``electronic assemblies'', as follows:
Note: Interferometer and optical-encoder measuring systems
containing a ``laser'' are only specified by 2B006.b.3.
b.1. `Non-contact type measuring systems' with a `resolution'
equal to or less (better) than 0.2 [micro]m within a measuring range
up to 0.2 mm;
Technical Note: For the purposes of 2B006.b.1, `non-contact type
measuring systems' are designed to measure the distance between the
probe and measured object along a single vector, where the probe or
measured object is in motion.
b.2. Linear position feedback units ``specially designed'' for
machine tools and having an overall ``accuracy'' less (better) than
(800 + (600 x L/1,000)) nm (L equals effective length in mm);
[[Page 53759]]
b.3. Measuring systems having all of the following:
b.3.a. Containing a ``laser'';
b.3.b. A `resolution' over their full scale of 0.200 nm or less
(better); and
b.3.c. Capable of achieving a ``measurement uncertainty'' equal
to or less (better) than (1.6 + L/2,000) nm (L is the measured
length in mm) at any point within a measuring range, when
compensated for the refractive index of air and measured over a
period of 30 seconds at a temperature of 20 0.01[deg]C;
or
Technical Note: For the purposes of 2B006.b, `resolution' is the
least increment of a measuring device; on digital instruments, the
least significant bit.
b.4. ``Electronic assemblies'' ``specially designed'' to provide
feedback capability in systems controlled by 2B006.b.3;
c. Rotary position feedback units ``specially designed'' for
machine tools or angular displacement measuring instruments, having
an angular position ``accuracy'' equal to or less (better) than 0.9
second of arc;
Note: 2B006.c does not control optical instruments, such as
autocollimators, using collimated light (e.g., ``laser'' light) to
detect angular displacement of a mirror.
d. Equipment for measuring surface roughness (including surface
defects), by measuring optical scatter with a sensitivity of 0.5 nm
or less (better).
Note: 2B006 includes machine tools, other than those specified
by 2B001, that can be used as measuring machines, if they meet or
exceed the criteria specified for the measuring machine function.
0
23. In supplement no. 1 to part 774, Category 2, ECCN 2B007 is revised
to read as follows:
2B007 ``Robots'' having any of the following characteristics
described in the List of Items Controlled and ``specially designed''
controllers and ``end-effectors'' therefor.
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to equipment that meets or NP Column 1
exceeds the criteria in ECCNs 2B207.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000, except 2B007.b and .c
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls:
(1) See ECCN 2D001 for ``software'' for items controlled under this
entry. (2) See ECCNs 2E001 (``development''), 2E002
(``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B207, 2B225 and
2B997.
Related Definitions: N/A
Items:
a. [Reserved]
b. ``Specially designed'' to comply with national safety
standards applicable to potentially explosive munitions
environments;
Note: 2B007.b does not apply to ``robots'' ``specially
designed'' for paint-spraying booths.
c. ``Specially designed'' or rated as radiation-hardened to
withstand a total radiation dose greater than 5 x 10\3\ Gy (silicon)
without operational degradation; or
Technical Note: The term Gy (silicon) refers to the energy in
Joules per kilogram absorbed by an unshielded silicon sample when
exposed to ionizing radiation.
d. ``Specially designed'' to operate at altitudes exceeding
30,000 m.
0
24. In supplement no. 1 to part 774, Category 2, ECCN 2B008 is revised
to read as follows:
2B008 `Compound rotary tables' and ``tilting spindles'', ``specially
designed'' for machine tools, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: See also 2B998
Related Definition: N/A
Items:
a. [Reserved]
b. [Reserved]
c. `Compound rotary tables' having all of the following:
c.1. Designed for machine tools for turning, milling or
grinding; and
c.2. Two rotary axes designed to be coordinated simultaneously
for ``contouring control''.
Technical Note: A `compound rotary table' is a table allowing
the workpiece to rotate and tilt about two non-parallel axes.
d. ``Tilting spindles'' having all of the following:
d.1. Designed for machine tools for turning, milling or
grinding; and
d.2. Designed to be coordinated simultaneously for ``contouring
control''.
0
25. In supplement no. 1 to part 774, Category 2, ECCN 2B206 is revised
to read as follows:
2B206 Dimensional inspection machines, instruments or systems, other
than those described in 2B006, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2D002 and 2D201 for ``software'' for
items controlled under this entry. (2) See ECCNs 2E001
(``development''), 2E002 (``production''), and 2E201 (``use'') for
technology for items controlled under this entry. (3) Also see ECCNs
2B006 and 2B996.
Related Definitions: N/A
Items:
Control Notes to ECCN 2B206: (1) Machine tools that can be used
as measuring machines are controlled by ECCN 2B206 if they meet or
exceed the control parameters specified in this entry for the
measuring machine function. (2) The machines described in ECCN 2B206
are controlled by this entry if they exceed the specified control
threshold anywhere in their operating range.
Technical Note to ECCN 2B206: All parameters of measurement
values in this entry represent plus/minus, i.e., not total band.
a. Computer controlled or numerically controlled coordinate
measuring machines (CMM) with either of the following
characteristics:
a.1. Having only two axes with a maximum permissible error of
length measurement along any axis (one dimension), identified as any
combination of E0x MPE, E0y MPE or
E0z MPE, equal to or less (better) than (1.25 + L/1,000)
[micro]m (where L is the measured length in mm) at any point within
the operating range of the machine (i.e., within the length of the
axis), according to ISO 10360-2 (2009); or
a.2. Having three or more axes with a three dimensional
(volumetric) maximum permissible error of length measurement,
identified as E0, MPE, equal to or less
(better) than (1.7 + L/800) [micro]m (where L is the measured length
in mm) at any point within the operating range of the machine (i.e.,
within the length of the axis), according to ISO 10360-2 (2009).
Technical Note to 2B206.a.2: The E0, MPE
of the most accurate configuration of the
[[Page 53760]]
CMM specified according to ISO 10360-2 (2009) by the manufacturer
(e.g., best of the following: Probe, stylus length, motion
parameters, environment) and with all compensations available shall
be compared to the 1.7 + L/800 [micro]m threshold.
b. Systems for simultaneous linear-angular inspection of
hemishells, having both of the following characteristics:
b.1. ``Measurement uncertainty'' along any linear axis equal to
or less (better) than 3.5 [micro]m per 5 mm; and
b.2. ``Angular position deviation'' equal to or less than
0.02[deg].
c. Linear displacement measuring systems having both of the
following characteristics:
c.1. Containing a ``laser;'' and
c.2. Capable of maintaining, for at least 12 hours over a
temperature range of 1 K around a standard temperature
and a standard pressure, both:
c.2.a. A ``resolution'' over their full scale of 0.1 [micro]m or
better; and
c.2.b. A ``measurement uncertainty'' equal to or better (less)
than (0.2 + L/2,000) [micro]m (L is the measured length in
millimeters).
Control Note to 2B206.c: 2B206.c 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.
Technical Note to 2B206.c: In 2B206.c, ``linear displacement''
means the change of distance between the measuring probe and the
measured object.
d. Linear Variable Differential Transformer (LVDT) systems
having all of the following:
d.1. Having any of the following:
d.1.a. ``Linearity'' equal to or less (better) than 0.1%
measured from 0 to the full operating range, for LVDTs with a full
operating range up to and including 5 mm; or
d.1.b. ``Linearity'' equal to or less (better) than 0.1%
measured from 0 to 5 mm for LVDTs with a `full operating range'
greater than 5 mm; and
d.2. Drift equal to or less (better) than 0.1% per day at a
standard ambient test room temperature 1 K.
0
26. In supplement no. 1 to part 774, Category 2, ECCN 2E003 is revised
to read as follows:
2E003 Other ``technology'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1.
AT applies to entire entry................ AT Column 1.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except 2E003.b, .e and .f
List of Items Controlled
Related Controls: See 2E001, 2E002, and 2E101 for ``development''
and ``use'' technology for equipment that are designed or modified
for densification of carbon-carbon composites, structural composite
rocket nozzles and reentry vehicle nose tips.
Related Definitions: N/A
Items:
a. [Reserved]
b. ``Technology'' for metal-working manufacturing processes, as
follows:
b.1. ``Technology'' for the design of tools, dies or fixtures
``specially designed'' for any of the following processes:
b.1.a. ``Superplastic forming'';
b.1.b. ``Diffusion bonding''; or
b.1.c. `Direct-acting hydraulic pressing';
b.2. Technical data consisting of process methods or parameters
as listed below used to control:
b.2.a. ``Superplastic forming'' of aluminum alloys, titanium
alloys or ``superalloys:''
b.2.a.1. Surface preparation;
b.2.a.2. Strain rate;
b.2.a.3. Temperature;
b.2.a.4. Pressure;
b.2.b. ``Diffusion bonding'' of ``superalloys'' or titanium
alloys:
b.2.b.1. Surface preparation;
b.2.b.2. Temperature;
b.2.b.3. Pressure;
b.2.c. `Direct-acting hydraulic pressing' of aluminum alloys or
titanium alloys:
b.2.c.1. Pressure;
b.2.c.2. Cycle time;
b.2.d. `Hot isostatic densification' of titanium alloys,
aluminum alloys or ``superalloys'':
b.2.d.1. Temperature;
b.2.d.2. Pressure;
b.2.d.3. Cycle time;
Technical Notes:
1. `Direct-acting hydraulic pressing' is a deformation process
which uses a fluid-filled flexible bladder in direct contact with
the workpiece.
2. `Hot isostatic densification' is a process of pressurizing a
casting at temperatures exceeding 375 K (102 [deg]C) in a closed
cavity through various media (gas, liquid, solid particles, etc.) to
create equal force in all directions to reduce or eliminate internal
voids in the casting.
c. ``Technology'' for the ``development'' or ``production'' of
hydraulic stretch-forming machines and dies therefor, for the
manufacture of airframe structures;
d. [Reserved]
e. ``Technology'' for the ``development'' of integration
``software'' for incorporation of expert systems for advanced
decision support of shop floor operations into ``numerical control''
units;
f. ``Technology'' for the application of inorganic overlay
coatings or inorganic surface modification coatings (specified in
column 3 of the following table) to non-electronic substrates
(specified in column 2 of the following table), by processes
specified in column 1 of the following table and defined in the
Technical Note.
N.B.: This table should be read to control the technology of a
particular `Coating Process' only when the resultant coating in
column 3 is in a paragraph directly across from the relevant
`Substrate' under column 2. For example, Chemical Vapor Deposition
(CVD) `coating process' control the ``technology'' for a particular
application of `silicides' to `Carbon-carbon, Ceramic and Metal
``matrix'' ``composites'' substrates, but are not controlled for the
application of `silicides' to `Cemented tungsten carbide (16),
Silicon carbide (18)' substrates. In the second case, the resultant
coating is not listed in the paragraph under column 3 directly
across from the paragraph under column 2 listing `Cemented tungsten
carbide (16), Silicon carbide (18).'
0
27. In supplement no. 1 to part 774, Category 3, Product Group A is
amended by revising Notes 1 and 2 and N.B. before ECCN 3A001 to read as
follows:
Category 3--Electronics
A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'',
``Parts'', ``Components'', and ``Systems''
Note 1: The control status of equipment and ``components''
described in 3A001 or 3A002, other than those described in 3A001.a.3
to 3A001.a.10, or 3A001.a.12 to 3A001.a.14, which are ``specially
designed'' for or which have the same functional characteristics as
other equipment is determined by the control status of the other
equipment.
Note 2: The control status of integrated circuits described in
3A001.a.3 to 3A001.a.9, or 3A001.a.12 to 3A001.a.14, which are
unalterably programmed or designed for a specific function for other
equipment is determined by the control status of the other
equipment.
N.B.: When the manufacturer or applicant cannot determine the
control status of the other equipment, the control status of the
integrated circuits is determined in 3A001.a.3 to 3A001.a.9, and
3A001.a.12 to 3A001.a.14.
0
28. In supplement no. 1 to part 774, Category 3, ECCN 3A001 is revised
to read as follows:
3A001 Electronic items as follows (see List of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT
[[Page 53761]]
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``Monolithic Microwave NS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications.
NS applies to entire entry................ NS Column 2
RS applies ``Monolithic Microwave RS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications.
MT applies to 3A001.a.1.a when usable in MT Column 1
``missiles''; and to 3A001.a.5.a when
``designed or modified'' for military
use, hermetically sealed and rated for
operation in the temperature range from
below -54[deg]C to above +125[deg]C.
NP applies to pulse discharge capacitors NP Column 1
in 3A001.e.2 and superconducting
solenoidal electromagnets in 3A001.e.3
that meet or exceed the technical
parameters in 3A201.a and 3A201.b,
respectively.
AT applies to entire entry................ AT Column 1
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for MT or NP; N/A for ``Monolithic Microwave Integrated
Circuit'' (``MMIC'') amplifiers in 3A001.b.2 and discrete microwave
transistors in 3A001.b.3, except those that are being exported or
reexported for use in civil telecommunications applications
Yes for:
$1,500: 3A001.c
$3,000: 3A001.b.1, b.2 (exported or reexported for use in civil
telecommunications applications), b.3 (exported or reexported for
use in civil telecommunications applications), b.9, .d, .e, .f, and
.g.
$5,000: 3A001.a (except a.1.a and a.5.a when controlled for MT), b.4
to b.7, and b.12.
GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled
for MT), b.2 (exported or reexported for use in civil
telecommunications applications), b.8 (except for vacuum electronic
device amplifiers exceeding 18 GHz), b.9, b.10, .g, .h, and .i.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A001.b.2 or b.3, except those that are being exported or reexported
for use in civil telecommunications applications, to any of the
destinations listed in Country Group A:5 or A:6 (See Supplement No.1
to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See Category XV of the USML for certain
``space-qualified'' electronics and Category XI of the USML for
certain ASICs, `transmit/receive modules,' or `transmit modules'
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See
also 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number
of passive or active elements are considered as indivisibly
associated on or within a continuous structure to perform the
function of a circuit. For the purposes of integrated circuits in
3A001.a.1, 5 x 10\3\ Gy (Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy
(Si)/s = 5 x 10\8\ Rads (Si)/s.
Items:
a. General purpose integrated circuits, as follows:
Note 1: The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
Note 2: Integrated circuits include the following types:
--``Monolithic integrated circuits''
-- ``Hybrid integrated circuits'';
-- ``Multichip integrated circuits'';
-- ``Film type integrated circuits'', including silicon-on-sapphire
integrated circuits;
-- ``Optical integrated circuits'';
-- ``Three dimensional integrated circuits'';
-- ``Monolithic Microwave Integrated Circuits'' (``MMICs'').
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;
a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV
equivalent) of 5 x 10\13\ n/cm\2\ or higher on silicon, or its
equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator
Semiconductors (MIS).
a.2. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, integrated circuits that contain analog-to-
digital converters and store or process the digitized data, digital-
to-analog converters, electro-optical or ``optical integrated
circuits'' designed for ``signal processing'', field programmable
logic devices, 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, Static Random-Access Memories (SRAMs),
or `non-volatile memories,' having any of the following:
Technical Note: `Non-volatile memories' are memories with data
retention over a period of time after a power shutdown.
a.2.a. Rated for operation at an ambient temperature above 398 K
(+125 [deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 [deg]C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 [deg]C) to 398 K (125 [deg]C);
Note: 3A001.a.2 does not apply to integrated circuits for civil
automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'' and microcontroller microcircuits, manufactured from
a compound semiconductor and operating at a clock frequency
exceeding 40 MHz;
Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.4. [Reserved]
a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog
Converter (DAC) integrated circuits, as follows:
a.5.a. ADCs having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.5.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' rate greater than 600 Mega Samples Per Second
(MSPS);
a.5.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' rate greater than 400 MSPS;
a.5.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' rate greater than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with a ``sample rate''
rate greater than 65 MSPS;
N.B.: For integrated circuits that contain analog-to-digital
converters and store or process the digitized data see 3A001.a.14.
[[Page 53762]]
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output that represents the measured analog input. Effective
Number of Bits (ENOB) is not used to determine the resolution of the
ADC.
3. For ``multiple channel ADCs'', the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For ``interleaved ADCs'' or for ``multiple channel ADCs''
that are specified to have an interleaved mode of operation, the
``sample rates'' are aggregated and the ``sample rate'' is the
maximum combined total rate of all of the interleaved channels.
a.5.b. Digital-to-Analog Converters (DAC) having any of the
following:
a.5.b.1. A resolution of 10 bit or more with an `adjusted update
rate' of greater than 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more with an `adjusted update
rate' of greater than 1,250 MSPS and having any of the following:
a.5.b.2.a. A settling time less than 9 ns to arrive at or within
0.024% of full scale from a full scale step; or
a.5.b.2.b. A `Spurious Free Dynamic Range' (SFDR) greater than
68 dBc (carrier) when synthesizing a full scale analog signal of 100
MHz or the highest full scale analog signal frequency specified
below 100 MHz.
Technical Notes:
1. `Spurious Free Dynamic Range' (SFDR) is defined as the ratio
of the RMS value of the carrier frequency (maximum signal component)
at the input of the DAC to the RMS value of the next largest noise
or harmonic distortion component at its output.
2. SFDR is determined directly from the specification table or
from the characterization plots of SFDR versus frequency.
3. A signal is defined to be full scale when its amplitude is
greater than -3 dBfs (full scale).
4. `Adjusted update rate' for DACs is:
a. For conventional (non-interpolating) DACs, the `adjusted
update rate' is the rate at which the digital signal is converted to
an analog signal and the output analog values are changed by the
DAC. For DACs where the interpolation mode may be bypassed
(interpolation factor of one), the DAC should be considered as a
conventional (non-interpolating) DAC.
b. For interpolating DACs (oversampling DACs), the `adjusted
update rate' is defined as the DAC update rate divided by the
smallest interpolating factor. For interpolating DACs, the `adjusted
update rate' may be referred to by different terms including:
Input data rate.
input word rate.
input sample rate.
maximum total input bus rate.
maximum DAC clock rate for DAC clock input.
a.6. Electro-optical and ``optical integrated circuits'',
designed for ``signal processing'' and 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. A maximum number of single-ended digital input/outputs of
greater than 700; or
a.7.b. An `aggregate one-way peak serial transceiver data rate'
of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
--Complex Programmable Logic Devices (CPLDs)
--Field Programmable Gate Arrays (FPGAs)
--Field Programmable Logic Arrays (FPLAs)
--Field Programmable Interconnects (FPICs)
N.B.: For integrated circuits having field programmable logic
devices that are combined with an analog-to-digital converter, see
3A001.a.14.
Technical Notes:
1. Maximum number of digital input/outputs in 3A001.a.7.a is
also referred to as maximum user input/outputs or maximum available
input/outputs, whether the integrated circuit is packaged or bare
die.
2. `Aggregate one-way peak serial transceiver data rate' is the
product of the peak serial one-way transceiver data rate times the
number of transceivers on the FPGA.
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 1,500 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.02 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 [micro]s.
a.13. Direct Digital Synthesizer (DDS) integrated circuits
having any of the following:
a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of
3.5 GHz or more and a DAC resolution of 10 bit or more, but less
than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC
resolution of 12 bit or more;
Technical Note: The DAC clock frequency may be specified as the
master clock frequency or the input clock frequency.
a.14. Integrated circuits that perform or are programmable to
perform all of the following:
a.14.a. Analog-to-digital conversions meeting any of the
following:
a.14.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.14.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' greater than 400 Mega Samples Per Second
(MSPS); or
a.14.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 180 MSPS; and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter integrated circuits see
3A001.a.5.a.
N.B. 2: For field programmable logic devices see 3A001.a.7.
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output of the ADC that represents the measured analog input.
Effective Number of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For integrated circuits with non-interleaving ``multiple
channel ADCs'', the ``sample rate'' is not aggregated and the
``sample rate'' is the maximum rate of any single channel.
4. For integrated circuits with ``interleaved ADCs'' or with
``multiple channel ADCs'' that are specified to have an interleaved
mode of operation, the ``sample rates'' are aggregated and the
``sample rate'' is the maximum combined total rate of all of the
interleaved channels.
b. Microwave or millimeter wave items, as follows:
Technical Note:
1. For purposes of 3A001.b, the parameter peak saturated power
output may also be referred to on product data sheets as output
power, saturated power output, maximum power output, peak power
output, or peak envelope power output.
2. For purposes of 3A001.b.1, `vacuum electronic devices' are
electronic devices based on the interaction of an electron beam with
an electromagnetic wave propagating in a vacuum circuit or
interacting with radio-frequency vacuum cavity resonators. `Vacuum
electronic devices' include klystrons, traveling-wave tubes, and
their derivatives.
b.1. `Vacuum electronic devices' and cathodes, as follows:
Note 1: 3A001.b.1 does not control `vacuum electronic devices'
designed or rated for operation in any frequency band and having all
of the following:
[[Page 53763]]
a. Does not exceed 31.8 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''
`vacuum electronic devices' having all the following:
a. An average output power equal to or less than 50 W; and
b. Designed or rated for operation in any frequency band and
having all of the following:
1. Exceeds 31.8 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 `vacuum electronic devices,' pulsed or
continuous wave, as follows:
b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Devices having a cathode heater with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity devices, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
b.1.a.4. Devices based on helix, folded waveguide, or serpentine
waveguide circuits, or derivatives thereof, having any of the
following:
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;
b.1.a.4.c. Being ``space-qualified''; or
b.1.a.4.d. Having a gridded electron gun;
b.1.a.5. Devices with a ``fractional bandwidth'' greater than or
equal to 10%, with any of the following:
b.1.a.5.a. An annular electron beam;
b.1.a.5.b. A non-axisymmetric electron beam; or
b.1.a.5.c. Multiple electron beams;
b.1.b. Crossed-field amplifier `vacuum electronic devices' with
a gain of more than 17 dB;
b.1.c. Thermionic cathodes, designed for `vacuum electronic
devices,' producing an emission current density at rated operating
conditions exceeding 5 A/cm\2\ or a pulsed (non-continuous) current
density at rated operating conditions exceeding 10 A/cm\2\;
b.1.d. `Vacuum electronic devices' with the capability to
operate in a `dual mode.'
Technical Note: `Dual mode' means the `vacuum electronic
device' beam current can be intentionally changed between
continuous-wave and pulsed mode operation by use of a grid and
produces a peak pulse output power greater than the continuous-wave
output power.
b.2. ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers that are any of the following:
N.B.: For ``MMIC'' amplifiers that have an integrated phase
shifter see 3A001.b.12.
b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.2.a.1. A peak saturated power output greater than 75 W (48.75
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.2.a.2. A peak saturated power output greater than 55 W (47.4
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.2.a.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.2.a.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 16 GHz with a ``fractional bandwidth'' greater than
10%, and having any of the following:
b.2.b.1. A peak saturated power output greater than 10 W (40
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
or
b.2.b.2. A peak saturated power output greater than 5 W (37 dBm)
at any frequency exceeding 8.5 GHz up to and including 16 GHz;
b.2.c. Rated for operation with a peak saturated power output
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to
and including 31.8 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.d. Rated for operation with a peak saturated power output
greater than 0.1n W (-70 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.2.e. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.f. Rated for operation with a peak saturated power output
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz
up to and including 75 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.g. Rated for operation with a peak saturated power output
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to
and including 90 GHz, and with a ``fractional bandwidth'' of greater
than 5%; or
b.2.h. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
Note 1: [Reserved]
Note 2: The control status of the ``MMIC'' whose rated
operating frequency includes frequencies listed in more than one
frequency range, as defined by 3A001.b.2.a through 3A001.b.2.h, is
determined by the lowest peak saturated power output control
threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for
product group A. Systems, Equipment, and Components mean that
3A001.b.2 does not control ``MMICs'' if they are ``specially
designed'' for other applications, e.g., telecommunications, radar,
automobiles.
b.3. Discrete microwave transistors that are any of the
following:
b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz and having any of the following:
b.3.a.1. A peak saturated power output greater than 400 W (56
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.3.a.2. A peak saturated power output greater than 205 W (53.12
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.3.a.3. A peak saturated power output greater than 115 W (50.61
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.3.a.4. A peak saturated power output greater than 60 W (47.78
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz and having any of the following:
b.3.b.1. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.3.b.2. A peak saturated power output greater than 15 W (41.76
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.3.b.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.3.b.4. A peak saturated power output greater than 7 W (38.45
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.3.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.3.d. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz; or
b.3.e. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz;
Note 1: The control status of a transistor, whose rated
operating frequency includes frequencies listed in more than one
frequency range, as defined by 3A001.b.3.a through 3A001.b.3.e, is
determined by the lowest peak saturated power output control
threshold.
Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers,
or dice mounted in packages. Some discrete transistors may also be
referred to as power amplifiers, but the status of these discrete
transistors is determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of
the following:
b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.4.a.1. A peak saturated power output greater than 500 W (57
dBm) at any
[[Page 53764]]
frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.4.a.2. A peak saturated power output greater than 270 W (54.3
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.4.a.3. A peak saturated power output greater than 200 W (53
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.4.a.4. A peak saturated power output greater than 90 W (49.54
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz with a ``fractional bandwidth'' greater
than 10%, and having any of the following:
b.4.b.1. A peak saturated power output greater than 70 W (48.54
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.4.b.2. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.4.b.3. A peak saturated power output greater than 30 W (44.77
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.4.b.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.4.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.4.d. Rated for operation with a peak saturated power output
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and
having any of the following:
b.4.e.1. A peak saturated power output greater than 0.2 W (23
dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz,
and with a ``fractional bandwidth'' of greater than 10%;
b.4.e.2. A peak saturated power output greater than 20 mW (13
dBm) at any frequency exceeding 75 GHz up to and including 90 GHz,
and with a ``fractional bandwidth'' of greater than 5%; or
b.4.e.3. A peak saturated power output greater than 0.1 nW (-70
dBm) at any frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.:
1. For ``MMIC'' amplifiers see 3A001.b.2.
2. For `transmit/receive modules' and `transmit modules' see
3A001.b.12.
3. For converters and harmonic mixers, designed to extend the
operating or frequency range of signal analyzers, signal generators,
network analyzers or microwave test receivers, see 3A001.b.7.
Note 1: [Reserved]
Note 2: The control status of an item whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined
by the lowest peak saturated power output control threshold.
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 and 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. [Reserved]
b.7. Converters and harmonic mixers, that are any of the
following:
b.7.a. Designed to extend the frequency range of ``signal
analyzers'' beyond 90 GHz;
b.7.b. Designed to extend the operating range of signal
generators as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than 100 mW (20 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c. Designed to extend the operating range of network
analyzers as follows:
b.7.c.1. Beyond 110 GHz;
b.7.c.2. To an output power greater than 31.62 mW (15 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere
within the frequency range exceeding 90 GHz but not exceeding 110
GHz; or
b.7.d. Designed to extend the frequency range of microwave test
receivers beyond 110 GHz;
b.8. Microwave power amplifiers containing `vacuum electronic
devices' controlled by 3A001.b.1 and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass ratio exceeding 80 W/kg;
and
b.8.c. A volume of less than 400 cm\3\;
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.
b.9. Microwave Power Modules (MPM) consisting of, at least, a
traveling-wave `vacuum electronic device,' a ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') and an integrated electronic power
conditioner and having all of the following:
b.9.a. A `turn-on time' from off to fully operational in less
than 10 seconds;
b.9.b. A volume less than the maximum rated power in Watts
multiplied by 10 cm\3\/W; and
b.9.c. An ``instantaneous bandwidth'' greater than 1 octave
(fmax. > 2fmin,) and having any of the
following:
b.9.c.1. For frequencies equal to or less than 18 GHz, an RF
output power greater than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes: 1. To calculate the volume in 3A001.b.9.b., the
following example is provided: For a maximum rated power of 20 W,
the volume would be: 20 W x 10 cm\3\/W = 200 cm\3\.
2. The `turn-on time' in 3A001.b.9.a. refers to the time from
fully-off to fully operational, i.e., it includes the warm-up time
of the MPM.
b.10. Oscillators or oscillator assemblies, specified to operate
with a single sideband (SSB) phase noise, in dBc/Hz, less (better)
than -(126 + 20log10F-20log10f) anywhere within the range of 10 Hz
<= F <= 10 kHz;
Technical Note: In 3A001.b.10, F is the offset from the
operating frequency in Hz and f is the operating frequency in MHz.
b.11. `Frequency synthesizer' ``electronic assemblies'' having a
``frequency switching time'' as specified by any of the following:
b.11.a. Less than 143 ps;
b.11.b. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but
not exceeding 31.8 GHz;
b.11.c. [Reserved]
b.11.d. Less than 500 [mu]s for any frequency change exceeding
550 MHz within the synthesized frequency range exceeding 31.8 GHz
but not exceeding 37 GHz; or
b.11.e. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the synthesized frequency range exceeding 37 GHz but
not exceeding 90 GHz; or
b.11.f. [Reserved]
b.11.g. Less than 1 ms within the synthesized frequency range
exceeding 90 GHz;
Technical Note: A `frequency synthesizer' is any kind of
frequency source, regardless of the actual technique used, providing
a multiplicity of simultaneous or alternative output frequencies,
from one or more outputs, controlled by, derived from or disciplined
by a lesser number of standard (or master) frequencies.
N.B.: For general purpose ``signal analyzers'', signal
generators, network analyzers and microwave test receivers, see
3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.
b.12. `Transmit/receive modules,' `transmit/receive MMICs,'
`transmit modules,' and `transmit MMICs,' rated for operation at
frequencies above 2.7 GHz and having all of the following:
b.12.a. A peak saturated power output (in watts),
Psat, greater than 505.62 divided by the maximum
operating frequency (in GHz) squared [Psat > 505.62 W *
GHz\2\/fGHz\2\] for any channel;
b.12.b. A ``fractional bandwidth'' of 5% or greater for any
channel;
b.12.c. Any planar side with length d (in cm) equal to or less
than 15 divided by the lowest operating frequency in GHz [d <= 15cm
* GHz * N/fGHz] where N is the number of transmit or
transmit/receive channels; and
b.12.d. An electronically variable phase shifter per channel.
Technical Notes: 1. A `transmit/receive module' is a
multifunction ``electronic assembly'' that provides bi-directional
amplitude and phase control for transmission and reception of
signals.
2. A `transmit module' is an ``electronic assembly'' that
provides amplitude and phase control for transmission of signals.
3. A `transmit/receive MMIC' is a multifunction ``MMIC'' that
provides bi-directional amplitude and phase control for transmission
and reception of signals.
[[Page 53765]]
4. A `transmit MMIC' is a ``MMIC'' that provides amplitude and
phase control for transmission of signals.
5. 2.7 GHz should be used as the lowest operating frequency
(fGHz) in the formula in 3A001.b.12.c for transmit/
receive or transmit modules that have a rated operation range
extending downward to 2.7 GHz and below [d <= 15cm * GHz * N/2.7
GHz].
6. 3A001.b.12 applies to `transmit/receive modules' or `transmit
modules' with or without a heat sink. The value of d in 3A001.b.12.c
does not include any portion of the `transmit/receive module' or
`transmit module' that functions as a heat sink.
7. `Transmit/receive modules' or `transmit modules,' `transmit/
receive MMICs' or `transmit MMICs' may or may not have N integrated
radiating antenna elements where N is the number of transmit or
transmit/receive channels.
c. Acoustic wave devices as follows and ``specially designed''
``components'' therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices, having any of the following:
c.1.a. A carrier frequency exceeding 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6
GHz and having any of the following:
c.1.b.1. A `frequency side-lobe rejection' exceeding 65 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 and 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 65 dB and a
bandwidth greater than 100 MHz;
Technical Note: `Frequency side-lobe rejection' is the maximum
rejection value specified in data sheet.
c.2. Bulk (volume) acoustic wave devices that permit the direct
processing of signals at frequencies exceeding 6 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;
Note: 3A001.c does not control acoustic wave devices that are
limited to a single band pass, low pass, high pass or notch
filtering, or resonating function.
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 and having any of the following:
d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices as follows:
e.1. `Cells' as follows:
e.1.a. `Primary cells' having any of the following at 20 [deg]C:
e.1.a.1. `Energy density' exceeding 550 Wh/kg and a `continuous
power density' exceeding 50 W/kg; or
e.1.a.2. `Energy density' exceeding 50 Wh/kg and a `continuous
power density' exceeding 350 W/kg;
e.1.b. `Secondary cells' having an `energy density' exceeding
350 Wh/kg at 293 K (20 [deg]C);
Technical Notes: 1. For the purpose of 3A001.e.1, `energy
density' (Wh/kg) is calculated from the nominal voltage multiplied
by the nominal capacity in ampere-hours (Ah) divided by the mass in
kilograms. If the nominal capacity is not stated, energy density is
calculated from the nominal voltage squared then multiplied by the
discharge duration in hours divided by the discharge load in Ohms
and the mass in kilograms.
2. For the purpose of 3A001.e.1, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
an electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purpose of 3A001.e.1.a, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purpose of 3A001.e.1.b, a `secondary cell' is a
`cell' that is designed to be charged by an external electrical
source.
5. For the purpose of 3A001.e.1.a, `continuous power density'
(W/kg) is calculated from the nominal voltage multiplied by the
specified maximum continuous discharge current in ampere (A) divided
by the mass in kilograms. `Continuous power density' is also
referred to as specific power.
Note: 3A001.e does not control batteries, including single-cell
batteries.
e.2. High energy storage capacitors as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) and 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) and 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 and 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\;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space-qualified'',
having a minimum average efficiency exceeding 20% at an operating
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination
with an irradiance of 1,367 Watts per square meter (W/m\2\);
Technical Note: `AM0,' or `Air Mass Zero,' refers to the
spectral irradiance of sun light in the earth's outer atmosphere
when the distance between the earth and sun is one astronomical unit
(AU).
f. Rotary input type absolute position encoders having an
``accuracy'' equal to or less (better) than 1.0 second
of arc and ``specially designed'' encoder rings, discs or scales
therefor;
g. Solid-state pulsed power switching thyristor devices and
`thyristor modules,' using either electrically, optically, or
electron radiation controlled switch methods and having any of the
following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[micro]s and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[micro]s and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000
V; and
g.2.b. A peak (surge) current equal to or greater than 3,000 A;
Note: 3A001.g. includes:
--Silicon Controlled Rectifiers (SCRs)
--Electrical Triggering Thyristors (ETTs)
--Light Triggering Thyristors (LTTs)
--Integrated Gate Commutated Thyristors (IGCTs)
--Gate Turn-off Thyristors (GTOs)
--MOS Controlled Thyristors (MCTs)
--Solidtrons
Note 2: 3A001.g. does not control thyristor devices and
`thyristor modules' incorporated into equipment designed for civil
railway or ``civil aircraft'' applications.
Technical Note: For the purposes of 3A001.g, a `thyristor
module' contains one or more thyristor devices.
h. Solid-state power semiconductor switches, diodes, or
`modules,' having all of the following:
h.1. Rated for a maximum operating junction temperature greater
than 488 K (215 [deg]C);
h.2. Repetitive peak off-state voltage (blocking voltage)
exceeding 300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of 3A001.h, `modules' contain
one or more
[[Page 53766]]
solid-state power semiconductor switches or diodes.
Note 1: Repetitive peak off-state voltage in 3A001.h includes
drain to source voltage, collector to emitter voltage, repetitive
peak reverse voltage and peak repetitive off-state blocking voltage.
Note: 3A001.h includes:
--Junction Field Effect Transistors (JFETs)
--Vertical Junction Field Effect Transistors (VJFETs)
--Metal Oxide Semiconductor Field Effect Transistors (MOSFETs)
--Double Diffused Metal Oxide Semiconductor Field Effect Transistor
(DMOSFET)
--Insulated Gate Bipolar Transistor (IGBT)
--High Electron Mobility Transistors (HEMTs)
--Bipolar Junction Transistors (BJTs)
--Thyristors and Silicon Controlled Rectifiers (SCRs)
--Gate Turn-Off Thyristors (GTOs)
--Emitter Turn-Off Thyristors (ETOs)
--PiN Diodes
--Schottky Diodes
Note 3: 3A001.h does not apply to switches, diodes, or
`modules,' incorporated into equipment designed for civil
automobile, civil railway, or ``civil aircraft'' applications.
i. Intensity, amplitude, or phase electro-optic modulators,
designed for analog signals and having any of the following:
i.1. A maximum operating frequency of more than 10 GHz but less
than 20 GHz, an optical insertion loss equal to or less than 3 dB
and having any of the following:
i.1.a. A `half-wave voltage' (`V[pi]') less than 2.7 V when
measured at a frequency of 1 GHz or below; or
i.1.b. A `V[pi]' of less than 4 V when measured at a frequency
of more than 1 GHz; or
i.2. A maximum operating frequency equal to or greater than 20
GHz, an optical insertion loss equal to or less than 3 dB and having
any of the following:
i.2.a. A `V[pi]' less than 3.3 V when measured at a frequency of
1 GHz or below; or
i.2.b. A `V[pi]' less than 5 V when measured at a frequency of
more than 1 GHz.
Note: 3A001.i includes electro-optic modulators having optical
input and output connectors (e.g., fiber-optic pigtails).
Technical Note: For the purposes of 3A001.i, a `half-wave
voltage' (`V[pi]') is the applied voltage necessary to make a phase
change of 180 degrees in the wavelength of light propagating through
the optical modulator.
0
29. In supplement no. 1 to part 774, Category 3, ECCN 3A002 is revised
to read as follows:
3A002 General purpose ``electronic assemblies'', modules and
equipment, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to 3A002.h when the parameters MT Column 1
in 3A101.a.2.b are met or exceeded.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000: 3A002.a, .e, .f, and .g
$5,000: 3A002.c to .d, and .h (unless controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for MT)
CIV: Yes, for 3A002.h (unless controlled for MT)
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A002.g.1 to any of the destinations listed in Country Group A:6
(See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See Category XV(e)(9) of the USML for certain
``space-qualified'' atomic frequency standards ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3A101, 3A992 and
9A515.x.
Related Definitions: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.
Items:
a. Recording equipment and oscilloscopes, as follows:
a.1. to a.5. [Reserved]
N.B.: For waveform digitizers and transient recorders, see
3A002.h.
a.6. Digital data recorders having all of the following:
a.6.a. A sustained `continuous throughput' of more than 6.4
Gbit/s to disk or solid-state drive memory; and
a.6.b. A processor that performs analysis of radio frequency
signal data while it is being recorded;
Technical Notes:
1. For recorders with a parallel bus architecture, the
`continuous throughput' rate is the highest word rate multiplied by
the number of bits in a word.
2. `Continuous throughput' is the fastest data rate the
instrument can record to disk or solid-state drive memory without
the loss of any information while sustaining the input digital data
rate or digitizer conversion rate.
a.7. Real-time oscilloscopes having a vertical root-mean-square
(rms) noise voltage of less than 2% of full-scale at the vertical
scale setting that provides the lowest noise value for any input 3
dB bandwidth of 60 GHz or greater per channel;
Note: 3A002.a.7 does not apply to equivalent-time sampling
oscilloscopes.
b. [Reserved]
c. ``Signal analyzers'' as follows:
c.1. ``Signal analyzers'' having a 3 dB resolution bandwidth
(RBW) exceeding 40 MHz anywhere within the frequency range exceeding
31.8 GHz but not exceeding 37 GHz;
c.2. ``Signal analyzers'' having Displayed Average Noise Level
(DANL) less (better) than -150 dBm/Hz anywhere within the frequency
range exceeding 43.5 GHz but not exceeding 90 GHz;
c.3. ``Signal analyzers'' having a frequency exceeding 90 GHz;
c.4. ``Signal analyzers'' having all of the following:
c.4.a. `Real-time bandwidth' exceeding 170 MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery, with less than a 3 dB
reduction from full amplitude due to gaps or windowing effects, of
signals having a duration of 15 [micro]s or less; or
c.4.b.2. A `frequency mask trigger' function, with 100%
probability of trigger (capture) for signals having a duration of 15
[micro]s or less;
Technical Notes:
1. `Real-time bandwidth' is the widest frequency range for which
the analyzer can continuously transform time-domain data entirely
into frequency-domain results, using a Fourier or other discrete
time transform that processes every incoming time point, without a
reduction of measured amplitude of more than 3 dB below the actual
signal amplitude caused by gaps or windowing effects, while
outputting or displaying the transformed data.
2. Probability of discovery in 3A002.c.4.b.1 is also referred to
as probability of intercept or probability of capture.
3. For the purposes of 3A002.c.4.b.1, the duration for 100%
probability of discovery is equivalent to the minimum signal
duration necessary for the specified level measurement uncertainty.
4. A `frequency mask trigger' is a mechanism where the trigger
function is able to select a frequency range to be triggered on as a
subset of the acquisition bandwidth while ignoring other signals
that may also be present within the same acquisition bandwidth. A
`frequency mask trigger' may contain more than one independent set
of limits.
Note: 3A002.c.4 does not apply to those ``signal analyzers''
using only constant percentage bandwidth filters (also known as
octave or fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the following:
d.1. Specified to generate pulse-modulated signals having all of
the following, anywhere within the frequency range exceeding 31.8
GHz but not exceeding 37 GHz:
d.1.a. `Pulse duration' of less than 25 ns; and
d.1.b. On/off ratio equal to or exceeding 65 dB;
d.2. An output power exceeding 100 mW (20 dBm) anywhere within
the frequency
[[Page 53767]]
range exceeding 43.5 GHz but not exceeding 90 GHz;
d.3. A ``frequency switching time'' as specified by any of the
following:
d.3.a. [Reserved]
d.3.b. Less than 100 [micro]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 [micro]s for any frequency change exceeding
550 MHz within the frequency range exceeding 31.8 GHz but not
exceeding 37 GHz; or
d.3.e. Less than 100 [micro]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 37 GHz but not
exceeding 90 GHz;
d.3.f. [Reserved]
d.4. Single sideband (SSB) phase noise, in dBc/Hz, specified as
being any of the following:
d.4.a. Less (better) than -(126 + 20log10 F -
20log10f) for anywhere within the range of 10 Hz <= F <=
10 kHz anywhere within the frequency range exceeding 3.2 GHz but not
exceeding 90 GHz; or
d.4.b. Less (better) than -(206 - 20log10f) for
anywhere within the range of 10 kHz < F <= 100 kHz anywhere within
the frequency range exceeding 3.2 GHz but not exceeding 90 GHz; or
Technical Note: In 3A002.d.4, F is the offset from the operating
frequency in Hz and f is the operating frequency in MHz.
d.5. A maximum frequency exceeding 90 GHz;
Note 1: For the purpose of 3A002.d, signal generators include
arbitrary waveform and function generators.
Note 2: 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.
Technical Notes:
1. The maximum frequency of an arbitrary waveform or function
generator is calculated by dividing the sample rate, in samples/
second, by a factor of 2.5.
2. For the purposes of 3A002.d.1.a, `pulse duration' is defined
as the time interval from the point on the leading edge that is 50%
of the pulse amplitude to the point on the trailing edge that is 50%
of the pulse amplitude.
e. Network analyzers having any of the following:
e.1. An output power exceeding 31.62 mW (15 dBm) anywhere within
the operating frequency range exceeding 43.5 GHz but not exceeding
90 GHz;
e.2. An output power exceeding 1 mW (0 dBm) anywhere within the
operating frequency range exceeding 90 GHz but not exceeding 110
GHz;
e.3. `Nonlinear vector measurement functionality' at frequencies
exceeding 50 GHz but not exceeding 110 GHz; or
Technical Note: `Nonlinear vector measurement functionality' is
an instrument's ability to analyze the test results of devices
driven into the large-signal domain or the non-linear distortion
range.
e.4. A maximum operating frequency exceeding 110 GHz;
f. Microwave test receivers having all of the following:
f.1. Maximum operating frequency exceeding 110 GHz; and
f.2. Being capable of measuring amplitude and phase
simultaneously;
g. Atomic frequency standards being any of the following:
g.1. ``Space-qualified'';
g.2. Non-rubidium and having a long-term stability less (better)
than 1 x 10-11/month; or
g.3. Non-``space-qualified'' and having all of the following:
g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than 1 x
10-11/month; and
g.3.c. Total power consumption of less than 1 Watt.
h. ``Electronic assemblies'', modules or equipment, specified to
perform all of the following:
h.1. Analog-to-digital conversions meeting any of the following:
h.1.a. A resolution of 8 bit or more, but less than 10 bit, with
an input sample rate greater than 1.3 Giga Samples Per Second
(GSPS);
h.1.b. A resolution of 10 bit or more, but less than 12 bit,
with an input sample rate greater than 1.0 GSPS;
h.1.c. A resolution of 12 bit or more, but less than 14 bit,
with an input sample rate greater than 1.0 GSPS;
h.1.d. A resolution of 14 bit or more but less than 16 bit, with
an input sample rate greater than 400 Mega Samples Per Second
(MSPS); or
h.1.e. A resolution of 16 bit or more with an input sample rate
greater than 180 MSPS; and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes, ``signal
analyzers'', signal generators, network analyzers and microwave test
receivers, are specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d,
3A002.e and 3A002.f, respectively.
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits in of the
digital output of the ADC that represents the measured analog input
word. Effective Number of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For non-interleaved multiple-channel ``electronic
assemblies'', modules, or equipment, the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For interleaved channels on multiple-channel ``electronic
assemblies'', modules, or equipment, the ``sample rates'' are
aggregated and the ``sample rate'' is the maximum combined total
rate of all the interleaved channels.
Note: 3A002.h includes ADC cards, waveform digitizers, data
acquisition cards, signal acquisition boards and transient
recorders.
0
30. In supplement no. 1 to part 774, Category 3, ECCN 3A991 is revised
to read as follows:
3A991 Electronic devices, and ``components'' not controlled by
3A001.
License Requirements
Reason for Control: AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
AT applies to entire entry................ AT Column 1
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having any of the
following:
a.1. A performance speed of 5 GFLOPS or more and an arithmetic
logic unit with an access width of 32 bit or more;
a.2. A clock frequency rate exceeding 25 MHz; or
a.3. 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 of 2.5 Mbyte/s.
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable read-only memories
(EEPROMs) with a storage capacity;
b.1.a. Exceeding 16 Mbits per package for flash memory types; or
b.1.b. Exceeding either of the following limits for all other
EEPROM types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package and a maximum access
time of less than 80 ns;
b.2. Static random access memories (SRAMs) with a storage
capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and a maximum access time
of less than 25 ns;
c. Analog-to-digital converters having any of the following:
c.1. A resolution of 8 bit or more, but less than 12 bit, with
an output rate greater than 200 million words per second;
c.2. A resolution of 12 bit with an output rate greater than 105
million words per second;
[[Page 53768]]
c.3. A resolution of more than 12 bit but equal to or less than
14 bit with an output rate greater than 10 million words per second;
or
c.4. A resolution of more than 14 bit with an output rate
greater than 2.5 million words per second.
d. Field programmable logic devices having a maximum number of
single-ended digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors having a rated
execution time for a 1,024 point complex FFT of less than 1 ms.
f. Custom integrated circuits for which either the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
f.1. More than 144 terminals; or
f.2. A typical ``basic propagation delay time'' of less than 0.4
ns.
g. Traveling-wave `vacuum electronic devices', pulsed or
continuous wave, as follows:
g.1. Coupled cavity devices, or derivatives thereof;
g.2. Helix devices based on helix, folded waveguide, or
serpentine waveguide circuits, or derivatives thereof, with any of
the following:
g.2.a. An ``instantaneous bandwidth'' of half an octave or more;
and
g.2.b. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.2;
g.2.c. An ``instantaneous bandwidth'' of less than half an
octave; and
g.2.d. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.4;
h. Flexible waveguides designed for use at frequencies exceeding
40 GHz;
i. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having either of the following:
i.1. A carrier frequency exceeding 1 GHz; or
i.2. A carrier frequency of 1 GHz or less; and
i.2.a. A frequency side-lobe rejection exceeding 55 Db;
i.2.b. A product of the maximum delay time and bandwidth (time
in microseconds and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10 microseconds.
j. Cells as follows:
j.1. Primary cells having an energy density of 550 Wh/kg or less
at 293 K (20 [deg]C);
j.2. Secondary cells having an energy density of 350 Wh/kg or
less at 293 K (20 [deg]C).
Note: 3A991.j. does not control batteries, including single cell
batteries.
Technical Notes:
1. For the purpose of 3A991.j energy density (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal
capacity in ampere-hours divided by the mass in kilograms. If the
nominal capacity is not stated, energy density is calculated from
the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
2. For the purpose of 3A991.j, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
and electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purpose of 3A991.j.1, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purpose of 3A991.j.2., a `secondary cell' is a `cell'
that is designed to be charged by an external electrical source.
k. ``Superconductive'' electromagnets or solenoids ``specially
designed'' to be fully charged or discharged in less than one
minute, having all of the following:
Note: 3A991.k does not control ``superconductive''
electromagnets or solenoids designed for Magnetic Resonance Imaging
(MRI) medical equipment.
k.1. Maximum energy delivered during the discharge divided by
the duration of the discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying windings of more
than 250 mm; and
k.3. Rated for a magnetic induction of more than 8T or ``overall
current density'' in the winding of more than 300 A/mm\2\.
l. Circuits or systems for electromagnetic energy storage,
containing ``components'' manufactured from ``superconductive''
materials ``specially designed'' for operation at temperatures below
the ``critical temperature'' of at least one of their
``superconductive'' constituents, having all of the following:
l.1. Resonant operating frequencies exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/M\3\ or more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal
construction and rate for a peak current of 500 A or more;
n. Digital integrated circuits based on any compound
semiconductor having an equivalent gate count of more than 300 (2
input gates).
o. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space qualified'' and
not controlled by 3A001.e.4.
0
31. In supplement no. 1 to part 774, Category 3, ECCN 3B001 is revised
to read as follows:
3B001 Equipment for the manufacturing of semiconductor devices or
materials, as follows (see List of Items Controlled) and ``specially
designed'' ``components'' and ``accessories'' therefor.
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment
using gas sources), .e (automatic loading multi-chamber central
wafer handling systems only if connected to equipment controlled by
3B001. a.3, or .f), and .f (lithography equipment).
CIV: Yes for equipment controlled by 3B001.a.1 and a.2.
List of Items Controlled
Related Controls: See also 3B991
Related Definitions: N/A
Items:
a. Equipment designed for epitaxial growth as follows:
a.1. Equipment designed or modified to produce a layer of any
material other than silicon with a thickness uniform to less than
2.5% across a distance of 75 mm or more;
Note: 3B001.a.1 includes atomic layer epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors
designed for compound semiconductor epitaxial growth of material
having two or more of the following elements: aluminum, gallium,
indium, arsenic, phosphorus, antimony, or nitrogen;
a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
b. Equipment designed for ion implantation and having any of the
following:
b.1. [Reserved]
b.2. Being designed and optimized to operate at a beam energy of
20 keV or more and a beam current of 10 mA or more for hydrogen,
deuterium, or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and a beam current of 45 mA
or more for high energy oxygen implant into a heated semiconductor
material ``substrate''; or
b.5. Being designed and optimized to operate at beam energy of
20keV or more and a beam current of 10mA or more for silicon implant
into a semiconductor material ``substrate'' heated to 600 [deg]C or
greater;
c. [Reserved]
d. [Reserved]
e. 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 functionally different `semiconductor process tools' controlled
by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed 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 ``specially designed'' for parallel wafer processing.
Technical Notes: 1. For the purpose of 3B001.e, `semiconductor
process tools' refers to modular tools that provide physical
processes for semiconductor production that are functionally
different, such as deposition, implant or thermal processing.
2. For the purpose of 3B001.e, `sequential multiple wafer
processing' means the
[[Page 53769]]
capability to process each wafer in different `semiconductor process
tools,' such as by transferring each wafer from one tool to a second
tool and on to a third tool with the automatic loading multi-chamber
central wafer handling systems.
f. 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 and having any of the following:
f.1.a. A light source wavelength shorter than 193 nm; or
f.1.b. Capable of producing a pattern with a ``Minimum
Resolvable Feature size'' (MRF) of 45 nm or less;
Technical Note: The `Minimum Resolvable Feature size' (MRF) is
calculated by the following formula:
[GRAPHIC] [TIFF OMITTED] TR24OC18.000
where the K factor = 0.35
f.2 Imprint lithography equipment capable of production features
of 45 nm or less;
Note: 3B001.f.2 includes:
--Micro contact printing tools
--Hot embossing tools
--Nano-imprint lithography tools
--Step and flash imprint lithography (S-FIL) tools
f.3. Equipment ``specially designed'' for mask making having all
of the following:
f.3.a. A deflected focused electron beam, ion beam or ``laser''
beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than
65 nm and an image placement less than 17 nm (mean + 3 sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less than 23 nm (mean +
3 sigma) on the mask;
f.4. Equipment designed for device processing using direct
writing methods, having all of the following:
f.4.a. A deflected focused electron beam; and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
g. Masks and reticles, designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer not specified by
3B001.g and having any of the following:
h.1. Made on a mask ``substrate blank'' from glass specified as
having less than 7 nm/cm birefringence; or
h.2. Designed to be used by lithography equipment having a light
source wavelength less than 245 nm;
Note: 3B001.h. does not control multi-layer masks with a phase
shift layer designed for the fabrication of memory devices not
controlled by 3A001.
i. Imprint lithography templates designed for integrated
circuits by 3A001;
j. Mask ``substrate blanks'' with multilayer reflector structure
consisting of molybdenum and silicon, and having all of the
following:
j.1. ``Specially designed'' for `Extreme Ultraviolet (EUV)'
lithography; and
j.2. Compliant with SEMI Standard P37.
Technical Note: `Extreme Ultraviolet (EUV)' refers to
electromagnetic spectrum wavelengths greater than 5 nm and less than
124 nm.
0
32. In supplement no. 1 to part 774, Category 3, ECCN 3B002 is revised
to read as follows:
3B002 Test equipment ``specially designed'' for testing finished or
unfinished semiconductor devices as follows (see List of Items
Controlled) and ``specially designed'' ``components'' and
``accessories'' therefor.
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500
GBS: Yes
CIV: N/A
List of Items Controlled
Related Controls: See also 3A999.a and 3B992
Related Definitions: N/A
Items:
a. For testing S-parameters of items specified by 3A001.b.3;
b. [Reserved]
c. For testing microwave integrated circuits controlled by
3A001.b.2.
0
33. In supplement no. 1 to part 774, Category 3, ECCN 3C002 is revised
to read as follows:
3C002 Resist materials as follows (see List of Items Controlled) and
``substrates'' coated with the following resists.
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes for 3C002.a provided that they are not also controlled by
3C002.b through .e.
CIV: Yes for 3C002.a provided that they are not also controlled by
3C002.b through .e.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Resists designed for semiconductor lithography as follows:
a.1. Positive resists adjusted (optimized) for use at
wavelengths less than 193 nm but equal to or greater than 15 nm;
a.2. Resists adjusted (optimized) for use at wavelengths less
than 15 nm but greater than 1 nm;
b. All resists designed for use with electron beams or ion
beams, with a sensitivity of 0.01 [mu]coulomb/mm\2\ or better;
c. [Reserved]
d. All resists optimized for surface imaging technologies;
e. All resists designed or optimized for use with imprint
lithography equipment specified by 3B001.f.2 that use either a
thermal or photo-curable process.
0
34. In supplement no. 1 to part 774, Category 3, ECCN 3C005 is revised
to read as follows:
3C005 High resistivity materials as follows (See List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes
CIV: Yes
List of Items Controlled
Related Controls: See ECCN 3E001 for related development and
production technology, and ECCN 3B991.b.1.b for related production
equipment.
Related Definition: N/A
Items:
a. Silicon carbide (SiC), gallium nitride (GaN), aluminum
nitride (AlN) or aluminum gallium nitride (AlGaN) semiconductor
``substrates'', or ingots, boules, or other preforms of those
materials, having resistivities greater than 10,000 ohm-cm at 20
[deg]C;
b. Polycrystalline ``substrates'' or polycrystalline ceramic
``substrates'', having resistivities greater than 10,000 ohm-cm at
20 [deg]C and having at least one non-epitaxial single-crystal layer
of silicon (Si), silicon carbide (SiC), gallium nitride (GaN),
aluminum nitride (AlN), or aluminum gallium nitride (AlGaN) on the
surface of the ``substrate''.
[[Page 53770]]
0
35. In supplement no. 1 to part 774, Category 3, ECCN 3C006 is revised
to read as follows:
3C006 Materials, not specified by 3C001, consisting of a
``substrate'' specified by 3C005 with at least one epitaxial layer
of silicon carbide, gallium nitride, aluminum nitride or aluminum
gallium nitride.
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes
CIV: Yes
List of Items Controlled
Related Controls: See ECCN 3D001 for related ``development'' or
``production'' ``software'', ECCN 3E001 for related ``development''
and ``production'' ``technology'', and ECCN 3B991.b.1.b for related
``production'' equipment.
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
36. In supplement no. 1 to part 774, Category 3, ECCN 3C992 is revised
to read as follows:
3C992 Positive resists designed for semiconductor lithography
specially adjusted (optimized) for use at wavelengths between 370
and 193 nm.
License Requirements
Reason for Control: AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
37. In supplement no. 1 to part 774, Category 3, ECCN 3E001 is revised
to read as follows:
3E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of equipment or materials
controlled by 3A (except 3A980, 3A981, 3A991, 3A992, or 3A999), 3B
(except 3B991 or 3B992) or 3C (except 3C992).
License Requirements
Reason for Control: NS, MT, NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to ``technology'' for items NS Column 1
controlled by 3A001, 3A002, 3A003, 3B001,
3B002, or 3C001 to 3C006.
MT applies to ``technology'' for equipment MT Column 1
controlled by 3A001 or 3A101 for MT
reasons.
NP applies to ``technology'' for equipment NP Column 1
controlled by 3A001, 3A201, or 3A225 to
3A234 for NP reasons.
AT applies to entire entry................ AT Column 1
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, Special Comprehensive Licenses, and
Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A.
TSR: Yes, except N/A for MT, and ``technology'' for the
``development'' or ``production'' of: (a) Vacuum electronic device
amplifiers described in 3A001.b.8, having operating frequencies
exceeding 19 GHz; (b) solar cells, coverglass-interconnect-cells or
covered-interconnect-cells (CIC) ``assemblies'', solar arrays and/or
solar panels described in 3A001.e.4; (c) ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') amplifiers in 3A001.b.2; and (d)
discrete microwave transistors in 3A001.b.3.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment specified by ECCNs
3A002.g.1 or 3B001.a.2 to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR). License
Exception STA may not be used to ship or transmit ``technology''
according to the General Technology Note for the ``development'' or
``production'' of components specified by ECCN 3A001.b.2 or b.3 to
any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) ``Technology'' according to the General
Technology Note for the ``development'' or ``production'' of certain
``space-qualified'' atomic frequency standards described in Category
XV(e)(9), MMICs described in Category XV(e)(14), and oscillators
described in Category XV(e)(15) of the USML are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3E101, 3E201 and
9E515. (2) ``Technology'' for ``development'' or ``production'' of
``Microwave Monolithic Integrated Circuits'' (``MMIC'') amplifiers
in 3A001.b.2 is controlled in this ECCN 3E001; 5E001.d refers only
to that additional ``technology'' ``required'' for
telecommunications.
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
Note 1: 3E001 does not control ``technology'' for equipment or
``components'' controlled by 3A003.
Note 2: 3E001 does not control ``technology'' for integrated
circuits controlled by 3A001.a.3 to a.14, having all of the
following:
(a) Using ``technology'' at or above 0.130 [mu]m; and
(b) Incorporating multi-layer structures with three or fewer
metal layers.
Note 3: 3E001 does not apply to `Process Design Kits' (`PDKs')
unless they include libraries implementing functions or technologies
for items specified by 3A001.
Technical Note: A `Process Design Kit' (`PDK') is a software
tool provided by a semiconductor manufacturer to ensure that the
required design practices and rules are taken into account in order
to successfully produce a specific integrated circuit design in a
specific semiconductor process, in accordance with technological and
manufacturing constraints (each semiconductor manufacturing process
has its particular `PDK').
0
38. In supplement no. 1 to part 774, the notes at the beginning of
Category 4 are revised to read as follows:
Category 4--Computers
Note 1: Computers, related equipment and ``software'' performing
telecommunications or ``local area network'' functions must also be
evaluated against the performance characteristics of Category 5,
Part 1 (Telecommunications).
Note 2: Control units that directly interconnect the buses or
channels of central processing units, `main storage' or disk
controllers are not regarded as
[[Page 53771]]
telecommunications equipment described in Category 5, Part 1
(Telecommunications).
N.B.: For the control status of ``software'' ``specially
designed'' for packet switching, see ECCN 5D001.
(Telecommunications).
Technical Note: `Main storage' is the primary storage for data
or instructions for rapid access by a central processing unit. It
consists of the internal storage of a ``digital computer'' and any
hierarchical extension thereto, such as cache storage or non-
sequentially accessed extended storage.
0
39. In supplement no. 1 to part 774, Category 4, ECCN 4A003 is revised
to read as follows:
4A003 ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, as follows (see List of Items Controlled) and
``specially designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, CC, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to 4A003.b and .c.............. NS Column 1
NS applies to 4A003.e and .g.............. NS Column 2
CC applies to ``digital computers'' for CC Column 1
computerized finger-print equipment.
AT applies to entire entry (refer to 4A994 AT Column 1
for controls on ``digital computers''
with a APP > 0.0128 but <= 29 WT).
Note: For all destinations, except those countries in Country
Group E:1 or E:2 of Supplement No. 1 to part 740 of the EAR, no
license is required (NLR) for computers with an ``Adjusted Peak
Performance'' (``APP'') not exceeding 29 Weighted TeraFLOPS (WT) and
for ``electronic assemblies'' described in 4A003.c that are not
capable of exceeding an ``Adjusted Peak Performance'' (``APP'')
exceeding 29 Weighted TeraFLOPS (WT) in aggregation, except certain
transfers as set forth in Sec. 746.3 of the EAR (Iraq).
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000; N/A for 4A003.b and .c.
GBS: Yes, for 4A003.g and ``specially designed'' ``parts'' and
``components'' therefor, exported separately or as part of a system.
APP: Yes, for computers controlled by 4A003.b, and ``electronic
assemblies'' controlled by 4A003.c, to the exclusion of other
technical parameters. See Sec. 740.7 of the EAR.
CIV: Yes, for 4A003.g.
List of Items Controlled
Related Controls: See also 4A994 and 4A980
Related Definitions: N/A
Items:
Note 1: 4A003 includes the following:
--`Vector processors' (as defined in Note 7 of the ``Technical Note
on ``Adjusted Peak Performance'' (``APP'')'');
--Array processors;
-- Digital signal processors;
-- Logic processors;
-- Equipment designed for ``image enhancement''.
Note 2: The control status of the ``digital computers'' and
related equipment described 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. [Reserved]
b. ``Digital computers'' having an ``Adjusted Peak Performance''
(``APP'') exceeding 29 Weighted TeraFLOPS (WT);
c. ``Electronic assemblies'' ``specially designed'' or modified
to be capable of enhancing performance by aggregation of processors
so that the ``APP'' 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''.
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. to f. [Reserved]
N.B.: For ``electronic assemblies'', modules or equipment,
performing analog-to-digital conversions, see 3A002.h.
g. Equipment ``specially designed'' for aggregating the
performance of ``digital computers'' by providing external
interconnections which allow communications at unidirectonal data
rates exceeding 2.0 Gbyte/s per link.
Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) passive interconnection
equipment, ``network access controllers'' or ``communication channel
controllers''.
0
40. In supplement no. 1 to part 774, Category 4, ECCN 4A004 is revised
to read as follows:
4A004 Computers as follows (see List of Items Controlled) and
``specially designed'' related equipment, ``electronic assemblies''
and ``components'' therefor.
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000
GBS: N/A
CIV:N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. `Systolic array computers';
b. `Neural computers';
c. `Optical computers'.
Technical Notes:
1. `Systolic array computers' are computers where the flow and
modification of the data is dynamically controllable at the logic
gate level by the user.
2. `Neural computers' are computational devices designed or
modified to mimic the behaviour of a neuron or a collection of
neurons, i.e., computational devices which are distinguished by
their hardware capability to modulate the weights and numbers of the
interconnections of a multiplicity of computational components based
on previous data.
3. `Optical computers' are computers designed or modified to use
light to represent data and whose computational logic elements are
based on directly coupled optical devices.
0
41. In supplement no. 1 to part 774, Category 4, ECCN 4D001 is revised
to read as follows:
4D001 ``Software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, CC, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
CC applies to ``software'' for CC Column 1
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
[[Page 53772]]
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except for ``software'' for the ``development'' or
``production'' of commodities with an ``Adjusted Peak Performance''
(``APP'') exceeding 29 WT.
APP: Yes to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria)
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' for the ``development'' or
``production'' of equipment specified by ECCN 4A001.a.2 or for the
``development'' or ``production'' of ``digital computers'' having an
`Adjusted Peak Performance' (`APP') exceeding 29 Weighted TeraFLOPS
(WT) to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Software'' ``specially designed'' or modified for the
``development'' or ``production'' of equipment or ``software''
controlled by 4A001, 4A003, 4A004, or 4D (except 4D980, 4D993 or
4D994).
b. ``Software'', other than that controlled by 4D001.a,
``specially designed'' or modified for the ``development'' or
``production'' of equipment as follows:
b.1. ``Digital computers'' having an ``Adjusted Peak
Performance'' (``APP'') exceeding 15 Weighted TeraFLOPS (WT);
b.2. ``Electronic assemblies'' ``specially designed'' or
modified for enhancing performance by aggregation of processors so
that the ``APP'' of the aggregation exceeds the limit in 4D001.b.1.
0
42. In supplement no. 1 to part 774, Category 4, ECCN 4E001 is revised
to read as follows:
4E001 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, CC, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to ``technology'' for items MT Column 1
controlled by 4A001.a and 4A101 for MT
reasons.
CC applies to ``software'' for CC Column 1
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except for ``technology'' for the ``development'' or
``production'' of commodities with an ``Adjusted Peak Performance''
(``APP'') exceeding 29 WT.
APP: Yes to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria).
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of any of the following equipment
or ``software'': a. Equipment specified by ECCN 4A001.a.2; b.
``Digital computers'' having an `Adjusted Peak Performance' (`APP')
exceeding 29 Weighted TeraFLOPS (WT); or c. ``software'' specified
in the License Exception STA paragraph found in the License
Exception section of ECCN 4D001 to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Technology'' according to the General Technology Note, for
the ``development'', ``production'', or ``use'' of equipment or
``software'' controlled by 4A (except 4A980 or 4A994) or 4D (except
4D980, 4D993, 4D994).
b. ``Technology'' according to the General Technology Note,
other than that controlled by 4E001.a, for the ``development'' or
``production'' of equipment as follows:
b.1. ``Digital computers'' having an ``Adjusted Peak
Performance'' (``APP'') exceeding 15 Weighted TeraFLOPS (WT);
b.2. ``Electronic assemblies'' ``specially designed'' or
modified for enhancing performance by aggregation of processors so
that the ``APP'' of the aggregation exceeds the limit in 4E001.b.1.
0
43. In supplement no. 1 to part 774, Category 4, the Technical Note on
``Adjusted Peak Performance'' (``APP'') is revised to read as follows:
Technical Note on ``Adjusted Peak Performance'' (``APP'')
``APP'' is an adjusted peak rate at which ``digital computers''
perform 64-bit or larger floating point additions and
multiplications.
Abbreviations used in this Technical Note
n number of processors in the ``digital computer''
I processor number (i . . . . n)
ti processor cycle time (ti = 1/
Fi)
Fi processor frequency
Ri peak floating point calculating rate
Wi architecture adjustment factor
``APP'' is expressed in Weighted TeraFLOPS (WT), in units of
10\12\ adjusted floating point operations per second.
Outline of ``APP'' calculation method
1. For each processor i, determine the peak number of 64-bit or
larger floating-point operations, FPOi, performed per
cycle for each processor in the ``digital computer''.
Note: In determining FPO, include only 64-bit or larger floating
point additions or multiplications. All floating point operations
must be expressed in operations per processor cycle; operations
requiring multiple cycles may be expressed in fractional results per
cycle. For processors not capable of performing calculations on
floating-point operands of 64-bits or more the effective calculating
rate R is zero.
2. Calculate the floating point rate R for each processor
Ri = FPOi/ti.
3. Calculate ``APP'' as
``APP'' = W1 x R1 + W2 x
R2 + . . . + Wn x Rn.
4. For `vector processors'', Wi = 0.9. For non-
`vector processors', Wi = 0.3.
Note 1: For processors that perform compound operations in a
cycle, such as an addition and multiplication, each operation is
counted.
Note 2: For a pipelined processor the effective calculating rate
R is the faster of the pipelined rate, once the pipeline is full, or
the non-pipelined rate.
Note 3: The calculating rate R of each contributing processor
is to be calculated at its maximum value theoretically possible
before the ``APP'' of the combination is derived. Simultaneous
operations are assumed to exist when the computer manufacturer
claims concurrent, parallel, or simultaneous operation or execution
in a manual or brochure for the computer.
Note 4: Do not include processors that are limited to input/
output and peripheral functions (e.g., disk drive, communication and
video display) when calculating ``APP''.
Note 5: ``APP'' values are not to be calculated for processor
combinations(inter)connected by ``Local Area Networks'', Wide Area
Networks, I/O shared connections/devices, I/O controllers and any
communication interconnection implemented by ``software''.
Note 6: ``APP'' values must be calculated for processor
combinations containing processors ``specially designed'' to enhance
performance by aggregation, operating simultaneously and sharing
memory.
Technical Notes
1. Aggregate all processors and accelerators operating
simultaneously and located on the same die.
2. Processor combinations share memory when any processor is
capable of accessing any memory location in the system through the
hardware transmission of cache lines or memory words, without the
involvement of any software mechanism, which may be achieved using
``electronic assemblies'' specified in 4A003.c.
Note 7: A `vector processor' is defined as a processor with
built-in instructions that perform multiple calculations on
floating-point vectors (one-dimensional arrays of 64-
[[Page 53773]]
bit or larger numbers) simultaneously, having at least 2 vector
functional units and at least 8 vector registers of at least 64
elements each.
0
44. In supplement no. 1 to part 774, Category 5, part 1, ECCN 5A001 is
revised to read as follows:
5A001 Telecommunications systems, equipment, ``components'' and
``accessories'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
Country chart (see Supp. No.
Control(s) 1 to part 738).
NS applies to 5A001.a, .b.5, .e, f.3 and NS Column 1
.h.
NS applies to 5A001.b (except .b.5), .c, NS Column 2
.d, .f (except f.3), and .g.
SL applies to 5A001.f.1................... A license is required for
all destinations, as
specified in Sec. 742.13
of the EAR. Accordingly, a
column specific to this
control does not appear on
the Commerce Country Chart
(Supplement No. 1 to part
738 of the EAR).
Note to SL paragraph: This
licensing requirement does
not supersede, nor does it
implement, construe or
limit the scope of any
criminal statute,
including, but not limited
to the Omnibus Safe Streets
Act of 1968, as amended.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for 5A001.a, b.5, .e, f.3 and .h; $5,000 for 5A001.b.1,
.b.2, .b.3, .b.6, .d, f.2, f.4, and .g; $3,000 for 5A001.c.
GBS: Yes, except 5A001.a, b.5, e, and h.
CIV: Yes, except 5A001.a, b.3, b.5, e, and h.
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
5A001.b.3, .b.5 or .h to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See USML Category XI for controls on
direction-finding ``equipment'' including types of ``equipment'' in
ECCN 5A001.e and any other military or intelligence electronic
``equipment'' that is ``subject to the ITAR''. (2) See USML Category
XI(a)(4)(iii) for controls on electronic attack and jamming
``equipment'' defined in 5A001.f and .h that are subject to the
ITAR. (3) See also ECCNs 5A101, 5A980, and 5A991.
Related Definitions: N/A
Items:
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. ``Specially designed'' to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation;
a.3. ``Specially designed'' to operate below 218 K (-55 [deg]C);
or
a.4. ``Specially designed'' to operate above 397 K (124 [deg]C);
Note: 5A001.a.3 and 5A001.a.4 apply only to electronic
equipment.
b. Telecommunication systems and equipment, and ``specially
designed'' ``components'' and ``accessories'' therefor, having any
of the following characteristics, functions or features:
b.1. Being underwater untethered communications systems having
any of the following:
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; or
b.1.d. Using ``lasers'' or light-emitting diodes (LEDs), with an
output wavelength greater than 400 nm and less than 700 nm, in a
``local area network'';
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having all of the following:
b.2.a. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.2.b. 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 frequency range of 1.5 MHz or
more but less than 30 MHz, or 250 W or more in the frequency range
of 30 MHz or more but not exceeding 87.5 MHz, 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, not
controlled in 5A001.b.4 and having any of the following:
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 any of the following:
a. Civil cellular radio-communications systems; or
b. Fixed or mobile satellite Earth stations for commercial civil
telecommunications.
Note: 5A001.b.3 does not control equipment operating at an
output power of 1 W or less.
b.4. Being radio equipment employing ultra-wideband modulation
techniques, having user programmable channelizing codes, scrambling
codes, or network identification codes and having any of the
following:
b.4.a. A bandwidth exceeding 500 MHz; or
b.4.b. A ``fractional bandwidth'' of 20% or more;
b.5. Being digitally controlled radio receivers having all of
the following:
b.5.a. More than 1,000 channels;
b.5.b. A `channel 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.
Technical Note: `Channel switching time': The time (i.e., delay)
to change from one receiving frequency to another, to arrive at or
within 0.05% of the final specified receiving frequency.
Items having a specified frequency range of less than 0.05% around their center frequency are defined to be
incapable of channel frequency switching.
b.6. Employing functions of digital ``signal processing'' to
provide `voice coding' output at rates of less than 700 bit/s.
Technical Notes:
1. For variable rate `voice coding', 5A001.b.6 applies to the
`voice coding' output of continuous speech.
2. For the purpose of 5A001.b.6, `voice coding' is defined as
the technique to take samples of human voice and then convert these
samples of human voice into a digital signal taking into account
specific characteristics of human speech.
c. Optical fibers of more than 500 m in length and specified by
the manufacturer as being capable of withstanding a `proof test'
tensile stress of 2 x 10\9\ N/m\2\ or more;
N.B.: For underwater umbilical cables, see 8A002.a.3.
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.
d. `Electronically steerable phased array antennae' as follows:
d.1. Rated for operation above 31.8 GHz, but not exceeding 57
GHz, and having an Effective Radiated Power (ERP) equal to or
[[Page 53774]]
greater than +20 dBm (22.15 dBm Effective Isotropic Radiated Power
(EIRP));
d.2. Rated for operation above 57 GHz, but not exceeding 66 GHz,
and having an ERP equal to or greater than +24 dBm (26.15 dBm EIRP);
d.3. Rated for operation above 66 GHz, but not exceeding 90 GHz,
and having an ERP equal to or greater than +20 dBm (22.15 dBm EIRP);
d.4. Rated for operation above 90 GHz;
Note 1: 5A001.d does not control `electronically steerable
phased array antennae' for landing systems with instruments meeting
ICAO standards covering Microwave Landing Systems (MLS).
Note 2: 5A001.d does not apply to antennae specially designed
for any of the following:
a. Civil cellular or WLAN radio-communications systems;
b. IEEE 802.15 or wireless HDMI; or
c. Fixed or mobile satellite earth stations for commercial civil
telecommunications.
Technical Note: For the purposes of 5A001.d `electronically
steerable phased array antenna' is an antenna which 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.
e. Radio direction finding equipment operating at frequencies
above 30 MHz and having all of the following, and ``specially
designed'' ``components'' therefor:
e.1. ``Instantaneous bandwidth'' of 10 MHz or more; and
e.2. Capable of finding a Line Of Bearing (LOB) to non-
cooperating radio transmitters with a signal duration of less than 1
ms;
f. Mobile telecommunications interception or jamming equipment,
and monitoring equipment therefor, as follows, and ``specially
designed'' ``components'' therefor:
f.1. Interception equipment designed for the extraction of voice
or data, transmitted over the air interface;
f.2. Interception equipment not specified in 5A001.f.1, designed
for the extraction of client device or subscriber identifiers (e.g.,
IMSI, TIMSI or IMEI), signaling, or other metadata transmitted over
the air interface;
f.3. Jamming equipment ``specially designed'' or modified to
intentionally and selectively interfere with, deny, inhibit, degrade
or seduce mobile telecommunication services and performing any of
the following:
f.3.a. Simulate the functions of Radio Access Network (RAN)
equipment;
f.3.b. Detect and exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM); or
f.3.c. Exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM);
f.4. Radio Frequency (RF) monitoring equipment designed or
modified to identify the operation of items specified in 5A001.f.1,
5A001.f.2 or 5A001.f.3.
Note: 5A001.f.1 and 5A001.f.2 do not apply to any of the
following:
a. Equipment ``specially designed'' for the interception of
analog Private Mobile Radio (PMR), IEEE 802.11 WLAN;
b. Equipment designed for mobile telecommunications network
operators; or
c. Equipment designed for the ``development'' or ``production''
of mobile telecommunications equipment or systems.
N.B. 1: See also the International Traffic in Arms Regulations
(ITAR) (22 CFR parts 120 through 130). For items specified by
5A001.f.1 (including as previously specified by 5A001.i), see
also5A980 and the U.S. Munitions List (22 CFR part 121).
N.B. 2: For radio receivers see 5A001.b.5.
g. Passive Coherent Location (PCL) systems or equipment,
``specially designed'' for detecting and tracking moving objects by
measuring reflections of ambient radio frequency emissions, supplied
by non-radar transmitters.
Technical Note: Non-radar transmitters may include commercial
radio, television or cellular telecommunications base stations.
Note: 5A001.g. does not control:
a. Radio-astronomical equipment; or
b. Systems or equipment, that require any radio transmission
from the target.
h. Counter Improvised Explosive Device (IED) equipment and
related equipment, as follows:
h.1. Radio Frequency (RF) transmitting equipment, not specified
by 5A001.f, designed or modified for prematurely activating or
preventing the initiation of Improvised Explosive Devices (IEDs);
h.2. Equipment using techniques designed to enable radio
communications in the same frequency channels on which co-located
equipment specified by 5A001.h.1 is transmitting.
N.B.: See also Category XI of the International Traffic in Arms
Regulations (ITAR) (22 CFR parts 120 through 130).
i. [Reserved]
N.B.: See 5A001.f.1 for items previously specified by 5A001.i.
0
45. In supplement no. 1 to part 774, Category 5, part 2, ECCN 5A002 is
revised to read as follows:
5A002 ``Information security'' systems, equipment and
``components'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
EI applies to entire entry................ Refer to Sec. 742.15 of
the EAR
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: Yes: $500 for ``components''. N/A for systems and equipment.
GBS: N/A
CIV: N/A
ENC: Yes for certain EI controlled commodities, see Sec. 740.17 of
the EAR for eligibility.
List of Items Controlled
Related Controls: (1) ECCN 5A002.a controls ``components'' providing
the means or functions necessary for ``information security''. All
such ``components'' are presumptively ``specially designed'' and
controlled by 5A002.a. (2) See USML Categories XI (including XI(b))
and XIII(b) (including XIII(b)(2)) for controls on systems,
equipment, and components described in 5A002.d or .e that are
subject to the ITAR. (3) For Global Navigation Satellite Systems
(GNSS) receiving equipment containing or employing decryption see
7A005, and for related decryption ``software'' and ``technology''
see 7D005 and 7E001. (4) Noting that items may be controlled
elsewhere on the CCL, examples of items not controlled by ECCN
5A002.a.4 include the following: (a) An automobile where the only
`cryptography for data confidentiality' `in excess of 56 bits of
symmetric key length, or equivalent' is performed by a Category 5--
Part 2 Note 3 eligible mobile telephone that is built into the car.
In this case, secure phone communications support a non-primary
function of the automobile but the mobile telephone (equipment), as
a standalone item, is not controlled by ECCN 5A002 because it is
excluded by the Cryptography Note (Note 3) (See ECCN 5A992.c). (b)
An exercise bike with an embedded Category 5--Part 2 Note 3 eligible
web browser, where the only controlled cryptography is performed by
the web browser. In this case, secure web browsing supports a non-
primary function of the exercise bike but the web browser
(``software''), as a standalone item, is not controlled by ECCN
5D002 because it is excluded by the Cryptography Note (Note 3) (See
ECCN 5D992.c). (5) After classification or self-classification in
accordance with Sec. 740.17(b) of the EAR, mass market encryption
commodities that meet eligibility requirements are released from
``EI'' and ``NS'' controls. These commodities are designated
5A992.c.
Related Definitions: N/A
Items:
a. Designed or modified to use `cryptography for data
confidentiality' `having in excess of 56 bits of symmetric key
length, or equivalent,' where that cryptographic capability is
usable, has been activated, or can be activated by means of
``cryptographic activation'' not employing a secure mechanism, as
follows:
a.1. Items having ``information security'' as a primary
function;
[[Page 53775]]
a.2. Digital communication or networking systems, equipment or
components, not specified in paragraph 5A002.a.1;
a.3. Computers, other items having information storage or
processing as a primary function, and components therefor, not
specified in paragraphs 5A002.a.1 or .a.2;
N.B.: For operating systems see also 5D002.a.1 and .c.1.
a.4. Items, not specified in paragraphs 5A002.a.1 to a.3, where
the `cryptography for data confidentiality' `having in excess of 56
bits of symmetric key length, or equivalent' meets all of the
following:
a.4.a. It supports a non-primary function of the item; and
a.4.b. It is performed by incorporated equipment or ``software''
that would, as a standalone item, be specified by ECCNs 5A002,
5A003, 5A004, 5B002 or 5D002.
N.B. to paragraph a.4: See Related Control Paragraph (4) of this
ECCN 5A002 for examples of items not controlled by 5A002.a.4.
Technical Notes:
1. For the purposes of 5A002.a, `cryptography for data
confidentiality' means ``cryptography'' that employs digital
techniques and performs any cryptographic function other than any of
the following:
1.a. ``Authentication'';
1.b. Digital signature;
1.c. Data integrity;
1.d. Non-repudiation;
1.e. Digital rights management, including the execution of copy-
protected ``software'';
1.f. Encryption or decryption in support of entertainment, mass
commercial broadcasts or medical records management; or
1.g. Key management in support of any function described in
paragraphs 1.a to 1.f of this Technical Note paragraph 1.
2. For the purposes of 5A002.a, `in excess of 56 bits of
symmetric key length, or equivalent' means any of the following:
2.a. A ``symmetric algorithm'' employing a key length in excess
of 56 bits, not including parity bits; or
2.b. An ``asymmetric algorithm'' where the security of the
algorithm is based on any of the following:
2.b.1. Factorization of integers in excess of 512 bits (e.g.,
RSA);
2.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
2.b.3. Discrete logarithms in a group other than mentioned in
paragraph 2.b.2 of this Technical Note in excess of 112 bits (e.g.,
Diffie-Hellman over an elliptic curve).
Note 1: Details of items must be accessible and provided upon
request, in order to establish any of the following:
a. Whether the item meets the criteria of 5A002.a.1 to a.4; or
b. Whether the cryptographic capability for data confidentiality
specified by 5A002.a is usable without ``cryptographic activation''.
Note 2: 5A002.a does not control any of the following items, or
specially designed ``information security'' components therefor:
a. Smart cards and smart card `readers/writers' as follows:
a.1. A smart card or an electronically readable personal
document (e.g., token coin, e-passport) that meets any of the
following:
a.1.a. The cryptographic capability meets all of the following:
a.1.a.1. It is restricted for use in any of the following:
a.1.a.1.a. Equipment or systems, not described by 5A002.a.1 to
a.4;
a.1.a.1.b. Equipment or systems, not using `cryptography for
data confidentiality' having `in excess of 56 bits of symmetric key
length, or equivalent'; or
a.1.a.1.c. Equipment or systems, excluded from 5A002.a by
entries b. to f. of this Note; and
a.1.a.2. It cannot be reprogrammed for any other use; or
a.1.b. Having all of the following:
a.1.b.1. It is specially designed and limited to allow
protection of `personal data' stored within;
a.1.b.2. Has been, or can only be, personalized for public or
commercial transactions or individual identification; and
a.1.b.3. Where the cryptographic capability is not user-
accessible;
Technical Note to paragraph a.1.b of Note 2: `Personal data'
includes any data specific to a particular person or entity, such as
the amount of money stored and data necessary for
``authentication''.
a.2. `Readers/writers' specially designed or modified, and
limited, for items specified by paragraph a.1 of this Note;
Technical Note to paragraph a.2 of Note 2: `Readers/writers'
include equipment that communicates with smart cards or
electronically readable documents through a network.
b. Cryptographic equipment specially designed and limited for
banking use or `money transactions';
Technical Note to paragraph b. of Note 2: `Money transactions'
in 5A002 Note 2 paragraph b. includes the collection and settlement
of fares or credit functions.
c. Portable or mobile radiotelephones for civil use (e.g., for
use with commercial civil cellular radio communication systems) that
are not capable of transmitting encrypted data directly to another
radiotelephone or equipment (other than Radio Access Network (RAN)
equipment), nor of passing encrypted data through RAN equipment
(e.g., Radio Network Controller (RNC) or Base Station Controller
(BSC));
d. Cordless telephone equipment not capable of end-to-end
encryption where the maximum effective range of unboosted cordless
operation (i.e., a single, unrelayed hop between terminal and home
base station) is less than 400 meters according to the
manufacturer's specifications;
e. Portable or mobile radiotelephones and similar client
wireless devices for civil use, that implement only published or
commercial cryptographic standards (except for anti-piracy
functions, which may be non-published) and also meet the provisions
of paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in
Category 5--Part 2), that have been customized for a specific civil
industry application with features that do not affect the
cryptographic functionality of these original non-customized
devices;
f. Items, where the ``information security'' functionality is
limited to wireless ``personal area network'' functionality, meeting
all of the following:
f.1. Implement only published or commercial cryptographic
standards; and
f.2. The cryptographic capability is limited to a nominal
operating range not exceeding 30 meters according to the
manufacturer's specifications, or not exceeding 100 meters according
to the manufacturer's specifications for equipment that cannot
interconnect with more than seven devices;
g. Mobile telecommunications Radio Access Network (RAN)
equipment designed for civil use, which also meet the provisions of
paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in Category
5--Part 2), having an RF output power limited to 0.1W (20 dBm) or
less, and supporting 16 or fewer concurrent users;
h. Routers, switches or relays, where the ``information
security'' functionality is limited to the tasks of ``Operations,
Administration or Maintenance'' (``OAM'') implementing only
published or commercial cryptographic standards; or
i. General purpose computing equipment or servers, where the
``information security'' functionality meets all of the following:
i.1. Uses only published or commercial cryptographic standards;
and
i.2. Is any of the following:
i.2.a. Integral to a CPU that meets the provisions of Note 3 in
Category 5--Part 2;
i.2.b. Integral to an operating system that is not specified by
5D002; or
i.2.c. Limited to ``OAM'' of the equipment.
b. Designed or modified for converting, by means of
``cryptographic activation'', an item not specified by Category 5--
Part 2 into an item specified by 5A002.a or 5D002.c.1, and not
released by the Cryptography Note (Note 3 in Category 5--Part 2), or
for enabling, by means of ``cryptographic activation'', additional
functionality specified by 5A002.a of an item already specified by
Category 5--Part 2;
c. Designed or modified to use or perform ``quantum
cryptography'';
Technical Note: ``Quantum cryptography'' is also known as
Quantum Key Distribution (QKD).
d. Designed or modified to use cryptographic techniques to
generate channelizing codes, scrambling codes or network
identification codes, for systems using ultra-wideband modulation
techniques and having any of the following:
d.1. A bandwidth exceeding 500 MHz; or
d.2. A ``fractional bandwidth'' of 20% or more;
e. Designed or modified to use cryptographic techniques to
generate the spreading code for ``spread spectrum'' systems, not
specified by 5A002.d, including the hopping code for ``frequency
hopping'' systems.
0
46. In supplement no. 1 to part 774, Category 5, part 2, ECCN 5D002 is
revised to read as follows:
5D002 ``Software'' as follows (see List of Items Controlled).
[[Page 53776]]
License Requirements
Reason for Control: NS, AT, EI
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
EI applies to ``software'' in 5D002.a.1, Refer to Sec. 742.15 of
a.3, .b, c.1 and c.3, for commodities or the EAR
``software'' controlled for EI reasons in Note: Encryption software is
ECCNs 5A002, 5A004 or 5D002. controlled because of its
functional capacity, and
not because of any
informational value of such
software; such software is
not accorded the same
treatment under the EAR as
other ``software'; and for
export licensing purposes,
encryption software is
treated under the EAR in
the same manner as a
commodity included in ECCN
5A002
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled software, see Sec. 740.17 of the
EAR for eligibility.
List of Items Controlled
Related Controls: After classification or self-classification in
accordance with Sec. 740.17(b) of the EAR, mass market encryption
software that meet eligibility requirements are released from ``EI''
and ``NS'' controls. This software is designated as 5D992.c.
Related Definitions: 5D002.a controls ``software'' designed or
modified to use ``cryptography'' employing digital or analog
techniques to ensure ``information security''.
Items:
a. ``Software'' ``specially designed'' or modified for the
``development'', ``production'' or ``use'' of any of the following:
a.1. Equipment specified by 5A002 or ``software'' specified by
5D002.c.1;
a.2. Equipment specified by 5A003 or ``software'' specified by
5D002.c.2; or
a.3. Equipment specified by 5A004 or ``software'' specified by
5D002.c.3;
b. ``Software'' designed or modified for converting, by means of
``cryptographic activation'', an item not specified by Category 5--
Part 2 into an item specified by 5A002.a or 5D002.c.1, and not
released by the Cryptography Note (Note 3 in Category 5--Part 2), or
for enabling, by means of ``cryptographic activation'', additional
functionality specified by 5A002.a of an item already specified by
Category 5--Part 2;
c. ``Software'' having the characteristics of, or performing or
simulating the functions of, any of the following:
c.1.Equipment specified by 5A002.a, .c, .d or .e;
Note: 5D002.c.1 does not apply to ``software'' limited to the
tasks of ``OAM'' implementing only published or commercial
cryptographic standards.
c.2. Equipment specified by 5A003; or
c.3. Equipment specified by 5A004.
d. [Reserved]
N.B.: See 5D002.b for items formerly specified in 5D002.d.
0
47. In supplement no. 1 to part 774, Category 5, part 2, ECCN 5E002 is
revised to read as follows:
5E002 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
EI applies to ``technology'' in 5E002.a Refer to Sec. 742.15 of
for commodities or ``software'' the EAR
controlled for EI reasons in ECCNs 5A002,
5A004 or 5D002, and to ``technology'' in
5E002.b.
License Requirements Notes: (1) See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
(2) When a person performs or provides technical assistance that
incorporates, or otherwise draws upon, ``technology'' that was
either obtained in the United States or is of US-origin, then a
release of the ``technology'' takes place. Such technical
assistance, when rendered with the intent to aid in the
``development'' or ``production'' of encryption commodities or
software that would be controlled for ``EI'' reasons under ECCN
5A002, 5A004 or 5D002, may require authorization under the EAR even
if the underlying encryption algorithm to be implemented is from the
public domain or is not of U.S.-origin.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled technology, see Sec. 740.17 of
the EAR for eligibility.
List of Items Controlled
Related Controls: See also 5E992. This entry does not control
``technology'' ``required'' for the ``use'' of equipment excluded
from control under the Related Controls paragraph or the Technical
Notes in ECCN 5A002 or ``technology'' related to equipment excluded
from control under ECCN 5A002.
Related Definitions: N/A
Items:
a. ``Technology'' according to the General Technology Note for
the ``development'', ``production'' or ``use'' of equipment
controlled by 5A002, 5A003, 5A004 or 5B002, or of ``software''
controlled by 5D002.a or 5D002.c.
b. ``Technology'' for converting, by means of ``cryptographic
activation'', an item not specified by Category 5--Part 2 into an
item specified by 5A002.a or 5D002.c.1, and not released by the
Cryptography Note (Note 3 in Category 5--Part 2), or for enabling,
by means of ``cryptographic activation'', additional functionality
specified by 5A002.a of an item already specified by Category 5--
Part 2.
Note: 5E002 includes ``information security'' technical data
resulting from procedures carried out to evaluate or determine the
implementation of functions, features or techniques specified in
Category 5 Part 2.
0
48. In supplement no. 1 to part 774, Category 6, ECCN 6A002 is revised
to read as follows:
6A002 Optical sensors and equipment, and ``components'' therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, CC, RS, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738).
NS applies to entire entry................ NS Column 2
[[Page 53777]]
MT applies to optical detectors in MT Column 1
6A002.a.1, or a.3 that are ``specially
designed'' or modified to protect
``missiles'' against nuclear effects
(e.g., Electromagnetic Pulse (EMP), X-
rays, combined blast and thermal
effects), and usable for ``missiles''.
RS applies to 6A002.a.1, a.2, a.3 (except RS Column 1
a.3.d.2.a and a.3.e for lead selenide
based focal plane arrays (FPAs)), .c, and
.f.
CC applies to police-model infrared CC Column 1
viewers in 6A002.c.
AT applies to entire entry................ AT Column 1
UN applies to 6A002.a.1, a.2, a.3 and .c.. See Sec. 746.1(b) of the
EAR for UN controls.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500 for 6A002.f.
$3,000; except N/A for MT and for 6A002.a.1, a.2, a.3, .c, and .f.
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(e) for infrared focal
plane arrays, image intensifier tubes, and related parts and
components, subject to the ITAR. (2) See USML Category XV(e) for
space-qualified focal plane arrays subject to the ITAR. (3) See also
ECCNs 6A102, 6A202, and 6A992. (4) See ECCN 0A919 for foreign-made
military commodities that incorporate commodities described in
6A002. (5) Section 744.9 of the EAR imposes a license requirement on
commodities described in ECCN 6A002 if being exported, reexported,
or transferred (in-country) for use by a military end-user or for
incorporation into an item controlled by ECCN 0A919. (6) See USML
Categories XII(e) and XV(e)(3) for read-out integrated circuits
``subject to the ITAR.''
Related Definitions: N/A
Items:
a. Optical detectors as follows:
a.1. ``Space-qualified'' solid-state detectors as follows:
Note: For the purpose of 6A002.a.1, solid-state detectors
include ``focal plane arrays''.
a.1.a. ``Space-qualified'' solid-state detectors having all of
the following:
a.1.a.1. A peak response in the wavelength range exceeding 10 nm
but not exceeding 300 nm; and
a.1.a.2. A response of less than 0.1% relative to the peak
response at a wavelength exceeding 400 nm;
a.1.b. ``Space-qualified'' solid-state detectors having all of
the following:
a.1.b.1. A peak response in the wavelength range exceeding 900
nm but not exceeding 1,200 nm; and
a.1.b.2. A response ``time constant'' of 95 ns or less;
a.1.c. ``Space-qualified'' solid-state detectors having a peak
response in the wavelength range exceeding 1,200 nm but not
exceeding 30,000 nm;
a.1.d. ``Space-qualified'' ``focal plane arrays'' having more
than 2,048 elements per array and having a peak response in the
wavelength range exceeding 300 nm but not exceeding 900 nm;
a.2. Image intensifier tubes and ``specially designed''
``components'' therefor, as follows:
Note: 6A002.a.2 does not control non-imaging photomultiplier
tubes having an electron sensing device in the vacuum space limited
solely to any of the following:
a. A single metal anode; or
b. Metal anodes with a center to center spacing greater than 500
[mu]m.
Technical Note: `Charge multiplication' is a form of electronic
image amplification and is defined as the generation of charge
carriers as a result of an impact ionization gain process. `Charge
multiplication' sensors may take the form of an image intensifier
tube, solid state detector or ``focal plane array''.
a.2.a. Image intensifier tubes having all of the following:
a.2.a.1. A peak response in the wavelength range exceeding 400
nm but not exceeding 1,050 nm;
a.2.a.2. Electron image amplification using any of the
following:
a.2.a.2.a. A microchannel plate with a hole pitch (center-to-
center spacing) of 12 [mu]m or less; or
a.2.a.2.b. An electron sensing device with a non-binned pixel
pitch of 500 [mu]m or less, ``specially designed'' or modified to
achieve `charge multiplication' other than by a microchannel plate;
and
a.2.a.3. Any of the following photocathodes:
a.2.a.3.a. Multialkali photocathodes (e.g., S-20 and S-25)
having a luminous sensitivity exceeding 350 [mu]A/lm;
a.2.a.3.b. GaAs or GaInAs photocathodes; or
a.2.a.3.c. Other ``III-V compound'' semiconductor photocathodes
having a maximum ``radiant sensitivity'' exceeding 10 mA/W;
a.2.b. Image intensifier tubes having all of the following:
a.2.b.1. A peak response in the wavelength range exceeding 1,050
nm but not exceeding 1,800 nm;
a.2.b.2. Electron image amplification using any of the
following:
a.2.b.2.a. A microchannel plate with a hole pitch (center-to-
center spacing) of 12 [mu]m or less; or
a.2.b.2.b. An electron sensing device with a non-binned pixel
pitch of 500 [mu]m or less, ``specially designed'' or modified to
achieve `charge multiplication' other than by a microchannel plate;
and
a.2.b.3. ``III/V compound'' semiconductor (e.g., GaAs or GaInAs)
photocathodes and transferred electron photocathodes, having a
maximum ``radiant sensitivity'' exceeding 15 mA/W;
a.2.c. ``Specially designed'' ``components'' as follows:
a.2.c.1. Microchannel plates having a hole pitch (center-to-
center spacing) of 12 [mu]m or less;
a.2.c.2. An electron sensing device with a non-binned pixel
pitch of 500 [mu]m or less, ``specially designed'' or modified to
achieve `charge multiplication' other than by a microchannel plate;
a.2.c.3. ``III-V compound'' semiconductor (e.g., GaAs or GaInAs)
photocathodes and transferred electron photocathodes;
Note: 6A002.a.2.c.3 does not control compound semiconductor
photocathodes designed to achieve a maximum ``radiant sensitivity''
of any of the following:
a. 10 mA/W or less at the peak response in the wavelength range
exceeding 400 nm but not exceeding 1,050 nm; or
b. 15 mA/W or less at the peak response in the wavelength range
exceeding 1,050 nm but not exceeding 1,800 nm.
a.3. Non-``space-qualified'' ``focal plane arrays'' as follows:
N.B.: `Microbolometer' non-``space-qualified'' ``focal plane
arrays'' are only specified by 6A002.a.3.f.
Technical Note: Linear or two-dimensional multi-element
detector arrays are referred to as ``focal plane arrays'';
Note 1: 6A002.a.3 includes photoconductive arrays and
photovoltaic arrays.
Note 2: 6A002.a.3 does not control:
a. Multi-element (not to exceed 16 elements) encapsulated
photoconductive cells using either lead sulphide or lead selenide;
b. Pyroelectric detectors using any of the following:
b.1. Triglycine sulphate and variants;
b.2. Lead-lanthanum-zirconium titanate and variants;
b.3. Lithium tantalate;
b.4. Polyvinylidene fluoride and variants; or
b.5. Strontium barium niobate and variants.
c. ``Focal plane arrays'' ``specially designed'' or modified to
achieve `charge multiplication' and limited by design to have a
maximum ``radiant sensitivity'' of 10 mA/W or less for wavelengths
exceeding 760 nm, having all of the following:
c.1. Incorporating a response limiting mechanism designed not to
be removed or modified; and
c.2. Any of the following:
c.2.a. The response limiting mechanism is integral to or
combined with the detector element; or
c.2.b. The ``focal plane array'' is only operable with the
response limiting mechanism in place.
[[Page 53778]]
d. Thermopile arrays having less than 5,130 elements;
Technical Note: A response limiting mechanism integral to the
detector element is designed not to be removed or modified without
rendering the detector inoperable.
a.3.a. Non-``space-qualified'' ``focal plane arrays'' having all
of the following:
a.3.a.1. Individual elements with a peak response within the
wavelength range exceeding 900 nm but not exceeding 1,050 nm; and
a.3.a.2. Any of the following:
a.3.a.2.a. A response ``time constant'' of less than 0.5 ns; or
a.3.a.2.b. ``Specially designed'' or modified to achieve `charge
multiplication' and having a maximum ``radiant sensitivity''
exceeding 10 mA/W;
a.3.b. Non-``space-qualified'' ``focal plane arrays'' having all
of the following:
a.3.b.1. Individual elements with a peak response in the
wavelength range exceeding 1,050 nm but not exceeding 1,200 nm; and
a.3.b.2. Any of the following:
a.3.b.2.a. A response ``time constant'' of 95 ns or less; or
a.3.b.2.b. ``Specially designed'' or modified to achieve `charge
multiplication' and having a maximum ``radiant sensitivity''
exceeding 10 mA/W;
a.3.c. Non-``space-qualified'' non-linear (2-dimensional)
``focal plane arrays'' having individual elements with a peak
response in the wavelength range exceeding 1,200 nm but not
exceeding 30,000 nm;
N.B.: Silicon and other material based `microbolometer' non-
``space-qualified'' ``focal plane arrays'' are only specified by
6A002.a.3.f.
a.3.d. Non-``space-qualified'' linear (1-dimensional) ``focal
plane arrays'' having all of the following:
a.3.d.1. Individual elements with a peak response in the
wavelength range exceeding 1,200 nm but not exceeding 3,000 nm; and
a.3.d.2. Any of the following:
a.3.d.2.a. A ratio of `scan direction' dimension of the detector
element to the `cross-scan direction' dimension of the detector
element of less than 3.8; or
a.3.d.2.b. Signal processing in the detector elements;
Note: 6A002.a.3.d does not control ``focal plane arrays'' (not
to exceed 32 elements) having detector elements limited solely to
germanium material.
Technical Note: For the purposes of 6A002.a.3.d, `cross-scan
direction' is defined as the axis parallel to the linear array of
detector elements and the `scan direction' is defined as the axis
perpendicular to the linear array of detector elements.
a.3.e. Non-``space-qualified'' linear (1-dimensional) ``focal
plane arrays'' having individual elements with a peak response in
the wavelength range exceeding 3,000 nm but not exceeding 30,000 nm;
a.3.f. Non-``space-qualified'' non-linear (2-dimensional)
infrared ``focal plane arrays'' based on `microbolometer' material
having individual elements with an unfiltered response in the
wavelength range equal to or exceeding 8,000 nm but not exceeding
14,000 nm;
Technical Note: For the purposes of 6A002.a.3.f,
`microbolometer' is defined as a thermal imaging detector that, as a
result of a temperature change in the detector caused by the
absorption of infrared radiation, is used to generate any usable
signal.
a.3.g. Non-``space-qualified'' ``focal plane arrays'' having all
of the following:
a.3.g.1. Individual detector elements with a peak response in
the wavelength range exceeding 400 nm but not exceeding 900 nm;
a.3.g.2. ``Specially designed'' or modified to achieve `charge
multiplication' and having a maximum ``radiant sensitivity''
exceeding 10 mA/W for wavelengths exceeding 760 nm; and
a.3.g.3. Greater than 32 elements;
b. ``Monospectral imaging sensors'' and ``multispectral imaging
sensors'', designed for remote sensing applications and having any
of the following:
b.1. An Instantaneous-Field-Of-View (IFOV) of less than 200
[mu]rad (microradians); or
b.2. Specified for operation in the wavelength range exceeding
400 nm but not exceeding 30,000 nm and having all the following:
b.2.a. Providing output imaging data in digital format; and
b.2.b. Having any of the following characteristics:
b.2.b.1. ``Space-qualified''; or
b.2.b.2. Designed for airborne operation, using other than
silicon detectors, and having an IFOV of less than 2.5 mrad
(milliradians);
Note: 6A002.b.1 does not control ``monospectral imaging
sensors'' with a peak response in the wavelength range exceeding 300
nm but not exceeding 900 nm and only incorporating any of the
following non-``space-qualified'' detectors or non-``space-
qualified'' ``focal plane arrays'':
a. Charge Coupled Devices (CCD) not designed or modified to
achieve `charge multiplication'; or
b. Complementary Metal Oxide Semiconductor (CMOS) devices not
designed or modified to achieve `charge multiplication'.
c. `Direct view' imaging equipment incorporating any of the
following:
c.1. Image intensifier tubes having the characteristics listed
in 6A002.a.2.a or 6A002.a.2.b;
c.2. ``Focal plane arrays'' having the characteristics listed in
6A002.a.3; or
c.3. Solid state detectors specified by 6A002.a.1;
Technical Note: `Direct view' refers to imaging equipment that
presents a visual image to a human observer without converting the
image into an electronic signal for television display, and that
cannot record or store the image photographically, electronically or
by any other means.
Note: 6A002.c does not control equipment as follows, when
incorporating other than GaAs or GaInAs photocathodes:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Medical equipment;
c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
d. Flame detectors for industrial furnaces;
e. Equipment ``specially designed'' for laboratory use.
d. Special support ``components'' for optical sensors, as
follows:
d.1. ``Space-qualified'' cryocoolers;
d.2. Non-``space-qualified'' cryocoolers having a cooling source
temperature below 218K (-55[deg] C), as follows:
d.2.a. Closed cycle type with a specified Mean-Time-To-Failure
(MTTF) or Mean-Time-Between-Failures (MTBF), exceeding 2,500 hours;
d.2.b. Joule-Thomson (JT) self-regulating minicoolers having
bore (outside) diameters of less than 8 mm;
d.3. Optical sensing fibers specially fabricated either
compositionally or structurally, or modified by coating, to be
acoustically, thermally, inertially, electromagnetically or nuclear
radiation sensitive.
Note: 6A002.d.3 does not apply to encapsulated optical sensing
fibers ``specially designed'' for bore hole sensing applications.
e. [Reserved]
f. `Read-Out Integrated Circuits' (`ROIC') ``specially
designed'' for ``focal plane arrays'' specified by 6A002.a.3.
Note: 6A002.f does not apply to read-out integrated circuits
``specially designed'' for civil automotive applications.
Technical Note: A `Read-Out Integrated Circuit' (`ROIC') is an
integrated circuit designed to underlie or be bonded to a ``focal
plane array'' (``FPA'') and used to read-out (i.e., extract and
register) signals produced by the detector elements. At a minimum
the `ROIC' reads the charge from the detector elements by extracting
the charge and applying a multiplexing function in a manner that
retains the relative spatial position and orientation information of
the detector elements for processing inside or outside the `ROIC'.
0
49. In supplement no. 1 to part 774, Category 6, ECCN 6A003 is revised
to read as follows:
6A003 Cameras, systems or equipment, and ``components'' therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, RS, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to cameras controlled by NP Column 1
6A003.a.3 or a.4 and to plug-ins in
6A003.a.6 for cameras controlled by
6A003.a.3 or a.4.
[[Page 53779]]
RS applies to 6A003.b.3, 6A003.b.4.a, RS Column 1
6A003.b.4.c and to items controlled in
6A003.b.4.b that have a frame rate
greater than 60 Hz or that incorporate a
focal plane array with more than 111,000
elements, or to items in 6A003.b.4.b when
being exported or reexported to be
embedded in a civil product. (But see
Sec. 742.6(a)(2)(iii) and (v) of the
EAR for certain exemptions).
RS applies to items controlled in RS Column 2
6A003.b.4.b that have a frame rate of 60
Hz or less and that incorporate a focal
plane array with not more than 111,000
elements if not being exported or
reexported to be embedded in a civil
product.
AT applies to entire entry................ AT Column 1
UN applies to 6A003.b.3 and b.4........... See Sec. 746.1(b) of the
EAR for UN controls
License Requirement Note: Commodities that are not subject to
the ITAR but are of the type described in USML Category XII(c) are
controlled as cameras in ECCN 6A003 when they incorporate a camera
controlled in this ECCN.
Reporting Requirements
See Sec. 743.3 of the EAR for thermal camera reporting for exports
that are not authorized by an individually validated license of
thermal imaging cameras controlled by ECCN 6A003.b.4.b to
destinations in Country Group A:1 (see Supplement No. 1 to part 740
of the EAR), must be reported to BIS.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500, except N/A for 6A003.a.3 through a.6, b.1, b.3 and b.4
GBS: N/A
CIV: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
6A003.b.3 or b.4 to any of the destinations listed in Country Group
A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 6A203. (3) See ECCN
0A919 for foreign made military commodities that incorporate cameras
described in 6A003. (4) Section 744.9 of the EAR imposes a license
requirement on cameras described in 6A003 if being exported,
reexported, or transferred (in-country) for use by a military end-
user or for incorporation into a commodity controlled by ECCN 0A919.
(5) See USML Category XII(c) and (e) for cameras subject to the
ITAR.
Related Definitions: N/A
Items:
a. Instrumentation cameras and ``specially designed''
``components'' therefor, as follows:
Note: Instrumentation cameras, controlled by 6A003.a.3 to
6A003.a.5, with modular structures should be evaluated by their
maximum capability, using plug-ins available according to the camera
manufacturer's specifications.
a.1. [Reserved]
a.2. [Reserved]
a.3. Electronic streak cameras having temporal resolution better
than 50 ns;
a.4. Electronic framing cameras having a speed exceeding
1,000,000 frames/s;
a.5. Electronic cameras having all of the following:
a.5.a. An electronic shutter speed (gating capability) of less
than 1[mu]s per full frame; and
a.5.b. A read out time allowing a framing rate of more than 125
full frames per second;
a.6. Plug-ins having all of the following characteristics:
a.6.a. ``Specially designed'' for instrumentation cameras which
have modular structures and that are controlled by 6A003.a; and
a.6.b. Enabling these cameras to meet the characteristics
specified by 6A003.a.3, 6A003.a.4 or 6A003.a.5, according to the
manufacturer's specifications;
b. Imaging cameras as follows:
Note: 6A003.b does not control television or video cameras
``specially designed'' for television broadcasting.
b.1. Video cameras incorporating solid state sensors, having a
peak response in the wavelength range exceeding 10 nm, but not
exceeding 30,000 nm and having all of the following:
b.1.a. Having any of the following:
b.1.a.1. More than 4 x 10\6\ ``active pixels'' per solid state
array for monochrome (black and white) cameras;
b.1.a.2. More than 4 x 10\6\ ``active pixels'' per solid state
array for color cameras incorporating three solid state arrays; or
b.1.a.3. More than 12 x 10\6\ ``active pixels'' for solid state
array color cameras incorporating one solid state array; and
b.1.b. Having any of the following:
b.1.b.1. Optical mirrors controlled by 6A004.a.;
b.1.b.2. Optical control equipment controlled by 6A004.d.; or
b.1.b.3. The capability for annotating internally generated
`camera tracking data;'
Technical Notes:
1. For the purposes of this entry, digital video cameras should
be evaluated by the maximum number of ``active pixels'' used for
capturing moving images.
2. For the purpose of this entry, `camera tracking data' is the
information necessary to define camera line of sight orientation
with respect to the earth. This includes: (1) The horizontal angle
the camera line of sight makes with respect to the earth's magnetic
field direction and; (2) the vertical angle between the camera line
of sight and the earth's horizon.
b.2. Scanning cameras and scanning camera systems, having all of
the following:
b.2.a. A peak response in the wavelength range exceeding 10 nm,
but not exceeding 30,000 nm;
b.2.b. Linear detector arrays with more than 8,192 elements per
array; and
b.2.c. Mechanical scanning in one direction;
Note: 6A003.b.2 does not apply to scanning cameras and scanning
camera systems, ``specially designed'' for any of the following:
a. Industrial or civilian photocopiers;
b. Image scanners ``specially designed'' for civil, stationary,
close proximity scanning applications (e.g., reproduction of images
or print contained in documents, artwork or photographs); or
c. Medical equipment.
b.3. Imaging cameras incorporating image intensifier tubes
having the characteristics listed in 6A002.a.2.a or 6A002.a.2.b;
b.4. Imaging cameras incorporating ``focal plane arrays'' having
any of the following:
b.4.a. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.a to 6A002.a.3.e;
b.4.b. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.f; or
b.4.c. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.g;
Note 1: Imaging cameras described in 6A003.b.4 include ``focal
plane arrays'' combined with sufficient ``signal processing''
electronics, beyond the read out integrated circuit, to enable as a
minimum the output of an analog or digital signal once power is
supplied.
Note 2: 6A003.b.4.a does not control imaging cameras
incorporating linear ``focal plane arrays'' with 12 elements or
fewer, not employing time-delay-and-integration within the element
and designed for any of the following:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Industrial equipment used for inspection or monitoring of
heat flows in buildings, equipment or industrial processes;
c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
d. Equipment ``specially designed'' for laboratory use; or
e. Medical equipment.
Note 3: 6A003.b.4.b does not control imaging cameras having any
of the following:
a. A maximum frame rate equal to or less than 9 Hz;
b. Having all of the following:
[[Page 53780]]
1. Having a minimum horizontal or vertical `Instantaneous-Field
-of-View (IFOV)' of at least 10 mrad (milliradians);
2. Incorporating a fixed focal-length lens that is not designed
to be removed;
3. Not incorporating a `direct view' display; and
Technical Note: `Direct view' refers to an imaging camera
operating in the infrared spectrum that presents a visual image to a
human observer using a near-to-eye micro display incorporating any
light-security mechanism.
4. Having any of the following:
a. No facility to obtain a viewable image of the detected field-
of-view; or
b. The camera is designed for a single kind of application and
designed not to be user modified; or
Technical Note:
`Instantaneous Field of View (IFOV)' specified in Note 3.b is
the lesser figure of the `Horizontal FOV' or the `Vertical FOV.'
`Horizontal IFOV' = horizontal Field of View (FOV)/number of
horizontal detector elements
`Vertical IFOV' = vertical Field of View (FOV)/number of
vertical detector elements.
c. The camera is ``specially designed'' for installation into a
civilian passenger land vehicle and having all of the following:
1. The placement and configuration of the camera within the
vehicle are solely to assist the driver in the safe operation of the
vehicle;
2. Is operable only when installed in any of the following:
a. The civilian passenger land vehicle for which it was intended
and the vehicle weighs less than 4,500 kg (gross vehicle weight); or
b. A ``specially designed'', authorized maintenance test
facility; and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the vehicle for which it was
intended.
Note: When necessary, details of the items will be provided,
upon request, to the Bureau of Industry and Security in order to
ascertain compliance with the conditions described in Note 3.b.4 and
Note 3.c in this Note to 6A003.b.4.b.
Note 4: 6A003.b.4.c does not apply to `imaging cameras' having
any of the following characteristics:
a. Having all of the following:
1. Where the camera is ``specially designed'' for installation
as an integrated component into indoor and wall-plug-operated
systems or equipment, limited by design for a single kind of
application, as follows:
a. Industrial process monitoring, quality control, or analysis
of the properties of materials;
b. Laboratory equipment ``specially designed'' for scientific
research;
c. Medical equipment;
d. Financial fraud detection equipment; and
2. Is only operable when installed in any of the following:
a. The system(s) or equipment for which it was intended; or
b. A ``specially designed'', authorized maintenance facility;
and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the system(s) or equipment for
which it was intended;
b. Where the camera is ``specially designed'' for installation
into a civilian passenger land vehicle or passenger and vehicle
ferries and having all of the following:
1. The placement and configuration of the camera within the
vehicle or ferry are solely to assist the driver or operator in the
safe operation of the vehicle or ferry;
2. Is only operable when installed in any of the following:
a. The civilian passenger land vehicle for which it was intended
and the vehicle weighs less than 4,500 kg (gross vehicle weight);
b. The passenger and vehicle ferry for which it was intended and
having a length overall (LOA) 65 m or greater; or
c. A ``specially designed'', authorized maintenance test
facility; and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the vehicle for which it was
intended;
c. Limited by design to have a maximum ``radiant sensitivity''
of 10 mA/W or less for wavelengths exceeding 760 nm, having all of
the following:
1. Incorporating a response limiting mechanism designed not to
be removed or modified; and
2. Incorporates an active mechanism that forces the camera not
to function when the response limiting mechanism is removed; and
3. Not ``specially designed'' or modified for underwater use; or
d. Having all of the following:
1. Not incorporating a `direct view' or electronic image
display;
2. Has no facility to output a viewable image of the detected
field of view;
3. The ``focal plane array'' is only operable when installed in
the camera for which it was intended; and
4. The ``focal plane array'' incorporates an active mechanism
that forces it to be permanently inoperable when removed from the
camera for which it was intended.
Note: When necessary, details of the item will be provided, upon
request, to the Bureau of Industry and Security in order to
ascertain compliance with the conditions described in Note 4 above.
b.5. Imaging cameras incorporating solid-state detectors
specified by 6A002.a.1.
0
50. In supplement no. 1 to part 774, Category 6, ECCN 6A004 is revised
to read as follows:
6A004 Optical equipment and ``components'', as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000
GBS: Yes for 6A004.a.1, a.2, a.4, .b, d.2, and .f.
CIV: Yes for 6A004.a.1, a.2, a.4, .b, d.2, and .f.
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA may not be used to
ship any commodity in 6A004.c or .d to any of the destinations
listed in Country Group A:6 (See Supplement No.1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: (1) For optical mirrors or `aspheric optical
elements' ``specially designed'' for lithography ``equipment'', see
ECCN 3B001. (2) See USML Category XII(e) for gimbals ``subject to
the ITAR''. (3) See also 6A994.
Related Definitions: An `aspheric optical element' is any element
used in an optical system whose imaging surface or surfaces are
designed to depart from the shape of an ideal sphere.
Items:
a. Optical mirrors (reflectors) as follows:
Technical Note: For the purpose of 6A004.a, Laser Induced Damage
Threshold (LIDT) is measured according to ISO 21254-1:2011.
a.1. `Deformable mirrors' having an active optical aperture
greater than 10 mm and having any of the following, and specially
designed components therefor:
a.1.a. Having all the following:
a.1.a.1. A mechanical resonant frequency of 750 Hz or more; and
a.1.a.2. More than 200 actuators; or
a.1.b. A Laser Induced Damage Threshold (LIDT) being any of the
following:
a.1.b.1. Greater than 1 kW/cm\2\ using a ``CW laser''; or
a.1.b.2. Greater than 2 J/cm\2\ using 20 ns ``laser'' pulses at
20 Hz repetition rate;
Technical Note: `Deformable mirrors' are mirrors having any of
the following:
a. A single continuous optical reflecting surface which is
dynamically deformed by the application of individual torques or
forces to compensate for distortions in the optical waveform
incident upon the mirror; or
b. Multiple optical reflecting elements that can be individually
and dynamically repositioned by the application of torques or forces
to compensate for distortions in the optical waveform incident upon
the mirror.
[[Page 53781]]
`Deformable mirrors' are also known as adaptive optic mirrors.
a.2. Lightweight monolithic mirrors having an average
``equivalent density'' of less than 30 kg/m\2\ and a total mass
exceeding 10 kg;
a.3. Lightweight ``composite'' or foam mirror structures having
an average ``equivalent density'' of less than 30 kg/m\2\ and a
total mass exceeding 2 kg;
Note: 6A004.a.2 and 6A004.a.3 do not apply to mirrors
``specially designed'' to direct solar radiation for terrestrial
heliostat installations.
a.4. Mirrors specially designed for beam steering mirror stages
specified in 6A004.d.2.a with a flatness of [lambda]/10 or better
([lambda] is equal to 633 nm) and having any of the following:
a.4.a. Diameter or major axis length greater than or equal to
100 mm; or
a.4.b. Having all of the following:
a.4.b.1. Diameter or major axis length greater than 50 mm but
less than 100 mm; and
a.4.b.2. A Laser Induced Damage Threshold (LIDT) being any of
the following:
a.4.b.2.a. Greater than 10 kW/cm2 using a ``CW laser''; or
a.4.b.2.b. Greater than 20 J/cm2 using 20 ns ``laser'' pulses at
20 Hz repetition rate;
N.B. For optical mirrors specially designed for lithography
equipment, see 3B001.
b. Optical ``components'' made from zinc selenide (ZnSe) or zinc
sulphide (ZnS) with transmission in the wavelength range exceeding
3,000 nm but not exceeding 25,000 nm and having any of the
following:
b.1. Exceeding 100 cm\3\ in volume; or
b.2. Exceeding 80 mm in diameter or length of major axis and 20
mm in thickness (depth);
c. ``Space-qualified'' ``components'' for optical systems, as
follows:
c.1. ``Components'' lightweighted to less than 20% ``equivalent
density'' compared with a solid blank of the same aperture and
thickness;
c.2. Raw substrates, processed substrates having surface
coatings (single-layer or multi-layer, metallic or dielectric,
conducting, semiconducting or insulating) or having protective
films;
c.3. Segments or assemblies of mirrors designed to be assembled
in space into an optical system with a collecting aperture
equivalent to or larger than a single optic 1 m in diameter;
c.4. ``Components'' manufactured from ``composite'' materials
having a coefficient of linear thermal expansion equal to or less
than 5 x 10-6 in any coordinate direction;
d. Optical control equipment as follows:
d.1. Equipment ``specially designed'' to maintain the surface
figure or orientation of the ``space-qualified'' ``components''
controlled by 6A004.c.1 or 6A004.c.3;
d.2. Steering, tracking, stabilisation and resonator alignment
equipment as follows:
d.2.a. Beam steering mirror stages designed to carry mirrors
having diameter or major axis length greater than 50 mm and having
all of the following, and specially designed electronic control
equipment therefor:
d.2.a.1. A maximum angular travel of 26 mrad or
more;
d.2.a.2. A mechanical resonant frequency of 500 Hz or more; and
d.2.a.3. An angular ``accuracy'' of 10 [mu]rad (microradians) or
less (better);
d.2.b. Resonator alignment equipment having bandwidths equal to
or more than 100 Hz and an ``accuracy'' of 10 [mu]rad or less
(better);
d.3. Gimbals having all of the following:
d.3.a. A maximum slew exceeding 5[deg];
d.3.b. A bandwidth of 100 Hz or more;
d.3.c. Angular pointing errors of 200 [mu]rad (microradians) or
less; and
d.3.d. Having any of the following:
d.3.d.1. Exceeding 0.15 m but not exceeding 1 m in diameter or
major axis length and capable of angular accelerations exceeding 2
rad (radians)/s\2\; or
d.3.d.2. Exceeding 1 m in diameter or major axis length and
capable of angular accelerations exceeding 0.5 rad (radians)/s\2\;
d.4. [Reserved]
e. `Aspheric optical elements' having all of the following:
e.1. Largest dimension of the optical-aperture greater than 400
mm;
e.2. Surface roughness less than 1 nm (rms) for sampling lengths
equal to or greater than 1 mm; and
e.3. Coefficient of linear thermal expansion's absolute
magnitude less than 3 x 10-6/K at 25 [deg]C;
Technical Note:
1. [See Related Definitions section of this ECCN]
2. Manufacturers are not required to measure the surface
roughness listed in 6A004.e.2 unless the optical element was
designed or manufactured with the intent to meet, or exceed, the
control parameter.
Note: 6A004.e does not control `aspheric optical elements'
having any of the following:
a. Largest optical-aperture dimension less than 1 m and focal
length to aperture ratio equal to or greater than 4.5:1;
b. Largest optical-aperture dimension equal to or greater than 1
m and focal length to aperture ratio equal to or greater than 7:1;
c. Designed as Fresnel, flyeye, stripe, prism or diffractive
optical elements;
d. Fabricated from borosilicate glass having a coefficient of
linear thermal expansion greater than 2.5 x 10-6/K at 25
[deg]C; or
e. An x-ray optical element having inner mirror capabilities
(e.g., tube-type mirrors).
f. Dynamic wavefront measuring equipment having all of the
following:
f.1. `Frame rates' equal to or more than 1 kHz; and
f.2. A wavefront accuracy equal to or less (better) than
[lambda]/20 at the designed wavelength.
Technical Note: For the purposes of 6A004.f, `frame rate' is a
frequency at which all ``active pixels'' in the ``focal plane
array'' are integrated for recording images projected by the
wavefront sensor optics.
0
51. In supplement no. 1 to part 774, Category 6, ECCN 6A005 is revised
to read as follows:
6A005 ``Lasers'', ``components'' and optical equipment, as follows
(see List of Items Controlled), excluding items that are subject to
the export licensing authority of the Nuclear Regulatory Commission
(see 10 CFR part 110).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to lasers controlled by NP Column 1
6A005.a.2, a.3, a.4, b.2.b, b.3, b.4,
b.6.c, c.1.b, c.2.b, d.2, d.3.c, or d.4.c
that meet or exceed the technical
parameters described in 6A205.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for NP items; $3,000 for all other items
GBS: Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an
average or CW output power not exceeding 2kW, and operate in a
pulse-excited, non-``Q-switched'' multiple-transverse mode, or in a
continuously excited, multiple-transverse mode; Dye and Liquid
Lasers controlled by 6A005.c.1, c.2 and c.3, except for 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; CO ``lasers'' controlled by
6A005.d.2 having a CW maximum rated single or multimode output power
not exceeding 10 kW; CO2 or CO/CO2 ``lasers''
controlled by 6A005.d.3 having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J
per pulse and a maximum rated average single or multimode output
power not exceeding 5 kW; CO2 ``lasers'' controlled by
6A005.d.3 that operate in CW multiple-transverse mode, and having a
CW output power not exceeding 15kW.
CIV: Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an
average or CW output power not exceeding 2kW, and operate in a
pulse-excited, non-``Q-switched'' multiple-transverse mode, or in a
continuously excited, multiple-transverse mode; Dye and Liquid
Lasers controlled by 6A005.c.1, c.2 and c.3, except for 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; CO ``lasers'' controlled by
6A005.d.2 having a CW maximum rated single or multimode output power
not exceeding 10 kW; CO2 or CO/CO2 ``lasers''
controlled by 6A005.d.3 having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not
[[Page 53782]]
exceeding 2 J per pulse and a maximum rated average single or
multimode output power not exceeding 5 kW; CO2 ``lasers''
controlled by 6A005.d.3 that operate in CW multiple-transverse mode,
and having a CW output power not exceeding 15kW.
List of Items Controlled
Related Controls: (1) See ECCN 6D001 for ``software'' for items
controlled under this entry. (2) See ECCNs 6E001 (``development''),
6E002 (``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 6A205 and 6A995. (4)
See ECCN 3B001 for excimer ``lasers'' ``specially designed'' for
lithography equipment. (5) ``Lasers'' ``specially designed'' or
prepared for use in isotope separation are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110). (6) See USML Category XII(b) and (e) for laser systems or
lasers subject to the ITAR. (7) See USML Category XVIII for certain
laser-based directed energy weapon systems, equipment, and
components subject to the ITAR.
Related Definitions: (1) `Wall-plug efficiency' is defined as the
ratio of ``laser'' output power (or ``average output power'') to
total electrical input power required to operate the ``laser'',
including the power supply/conditioning and thermal conditioning/
heat exchanger, see 6A005.a.6.b.1 and 6A005.b.6; (2) `Non-repetitive
pulsed' refers to ``lasers'' that produce either a single output
pulse or that have a time interval between pulses exceeding one
minute, see Note 2 of 6A005 and 6A005.d.6.
Items:
Note:
1. Pulsed ``lasers'' include those that run in a continuous wave
(CW) mode with pulses superimposed.
2. Excimer, semiconductor, chemical, CO, CO2, and
`non-repetitive pulsed' Nd:glass ``lasers'' are only specified by
6A005.d.
Technical Note: `Non-repetitive pulsed' refers to ``lasers''
that produce either a single output pulse or that have a time
interval between pulses exceeding one minute.
3. 6A005 includes fiber ``lasers''.
4. The control status of ``lasers'' incorporating frequency
conversion (i.e., wavelength change) by means other than one
``laser'' pumping another ``laser'' is determined by applying the
control parameters for both the output of the source ``laser'' and
the frequency-converted optical output.
5. 6A005 does not control ``lasers'' as follows:
a. Ruby with output energy below 20 J;
b. Nitrogen;
c. Krypton.
a. Non-``tunable'' continuous wave ``(CW) lasers'' having any of
the following:
a.1. Output wavelength less than 150 nm and output power
exceeding 1W;
a.2. Output wavelength of 150 nm or more but not exceeding 510
nm and output power exceeding 30 W;
Note: 6A005.a.2 does not control Argon ``lasers'' having an
output power equal to or less than 50 W.
a.3. Output wavelength exceeding 510 nm but not exceeding 540 nm
and any of the following:
a.3.a. Single transverse mode output and output power exceeding
50 W; or
a.3.b. Multiple transverse mode output and output power
exceeding 150 W;
a.4. Output wavelength exceeding 540 nm but not exceeding 800 nm
and output power exceeding 30 W;
a.5. Output wavelength exceeding 800 nm but not exceeding 975 nm
and any of the following:
a.5.a. Single transverse mode output and output power exceeding
50 W; or
a.5.b. Multiple transverse mode output and output power
exceeding 80 W;
a.6. Output wavelength exceeding 975 nm but not exceeding 1,150
nm and any of the following;
a.6.a. Single transverse mode output and output power exceeding
500 W; or
a.6.b. Multiple transverse mode output and any of the following:
a.6.b.1. `Wall-plug efficiency' exceeding 18% and output power
exceeding 500 W; or
a.6.b.2. Output power exceeding 2 kW;
Note 1: 6A005.a.6.b does not control multiple transverse mode,
industrial ``lasers'' with output power exceeding 2kW and not
exceeding 6 kW with a total mass greater than 1,200 kg. For the
purpose of this note, total mass includes all ``components''
required to operate the ``laser'', e.g., ``laser'', power supply,
heat exchanger, but excludes external optics for beam conditioning
or delivery.
Note 2: 6A005.a.6.b does not apply to multiple transverse mode,
industrial ``lasers'' having any of the following:
a. Output power exceeding 500 W but not exceeding 1 kW and
having all of the following:
1. Beam Parameter Product (BPP) exceeding 0.7 mmmrad;
and
2. `Brightness' not exceeding 1024 W/(mmmrad)\2\;
b. Output power exceeding 1 kW but not exceeding 1.6 kW and
having a BPP exceeding 1.25 mmmrad;
c. Output power exceeding 1.6 kW but not exceeding 2.5 kW and
having a BPP exceeding 1.7 mmmrad;
d. Output power exceeding 2.5 kW but not exceeding 3.3 kW and
having a BPP exceeding 2.5 mmmrad;
e. Output power exceeding 3.3 kW but not exceeding 4 kW and
having a BPP exceeding 3.5 mmmrad;
f. Output power exceeding 4 kW but not exceeding 5 kW and
having a BPP exceeding 5 mmmrad;
g. Output power exceeding 5 kW but not exceeding 6 kW and
having a BPP exceeding 7.2 mmmrad;
h. Output power exceeding 6 kW but not exceeding 8 kW and
having a BPP exceeding 12 mmmrad; or
i. Output power exceeding 8 kW but not exceeding 10 kW and
having a BPP exceeding 24 mmmrad;
Technical Note: For the purpose of 6A005.a.6.b, Note 2 (a)(2),
`brightness' is defined as the output power of the ``laser'' divided
by the squared Beam Parameter Product (BPP), i.e., (output power)/
BPP\2\.
a.7. Output wavelength exceeding 1,150 nm but not exceeding
1,555 nm and any of the following:
a.7.a. Single transverse mode and output power exceeding 50 W;
or
a.7.b. Multiple transverse mode and output power exceeding 80 W;
a.8. Output wavelength exceeding 1,555 nm but not exceeding
1,850 nm and output power exceeding 1 W;
a.9. Output wavelength exceeding 1,850 nm but not exceeding
2,100 nm, and any of the following:
a.9.a. Single transverse mode and output power exceeding 1 W; or
a.9. b. Multiple transverse mode output and output power
exceeding 120 W; or
a.10. Output wavelength exceeding 2,100 nm and output power
exceeding 1 W;
b. Non-``tunable'' ``pulsed lasers'' having any of the
following:
b.1. Output wavelength less than 150 nm and any of the
following:
b.1.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.1.b. ``Average output power'' exceeding 1 W;
b.2. Output wavelength of 150 nm or more but not exceeding 510
nm and any of the following:
b.2.a. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 30 W; or
b.2.b. ``Average output power'' exceeding 30 W;
Note: 6A005.b.2.b does not control Argon ``lasers'' having an
``average output power'' equal to or less than 50 W.
b.3. Output wavelength exceeding 510 nm, but not exceeding 540
nm and any of the following:
b.3.a. Single transverse mode output and any of the following:
b.3.a.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 50 W; or
b.3.a.2. ``Average output power'' exceeding 50 W; or
b.3.b. Multiple transverse mode output and any of the following:
b.3.b.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 150 W; or
b.3.b.2. ``Average output power'' exceeding 150 W;
b.4. Output wavelength exceeding 540 nm but not exceeding 800 nm
and any of the following:
b.4.a. ``Pulse duration'' less than 1 ps and any of the
following:
b.4.a.1. Output energy exceeding 0.005 J per pulse and ``peak
power'' exceeding 5 GW; or
b.4.a.2. ``Average output power'' exceeding 20 W; or
b.4.b. ``Pulse duration'' equal to or exceeding 1 ps and any of
the following:
b.4.b.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 30 W; or
b.4.b.2. ``Average output power'' exceeding 30 W;
b.5. Output wavelength exceeding 800 nm but not exceeding 975 nm
and any of the following:
b.5.a. ``Pulse duration'' less than 1ps and any of the
following:
b.5.a.1. Output energy exceeding 0.005 J per pulse and ``peak
power'' exceeding 5 GW; or
[[Page 53783]]
b.5.a.2. Single transverse mode output and ``average output
power'' exceeding 20 W;
b.5.b. ``Pulse duration'' equal to or exceeding 1 ps and not
exceeding 1 [mu]s and any of the following:
b.5.b.1. Output energy exceeding 0.5 J per pulse and ``peak
power'' exceeding 50 W;
b.5.b.2. Single transverse mode output and ``average output
power'' exceeding 20 W; or
b.5.b.3. Multiple transverse mode output and ``average output
power'' exceeding 50 W; or
b.5.c. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.5.c.1. Output energy exceeding 2 J per pulse and ``peak
power'' exceeding 50 W;
b.5.c.2. Single transverse mode output and ``average output
power'' exceeding 50 W; or
b.5.c.3. Multiple transverse mode output and ``average output
power'' exceeding 80 W.
b.6. Output wavelength exceeding 975 nm but not exceeding 1,150
nm and any of the following:
b.6.a. ``Pulse duration'' of less than 1 ps, and any of the
following:
b.6.a.1. Output ``peak power'' exceeding 2 GW per pulse;
b.6.a.2. ``Average output power'' exceeding 30 W; or
b.6.a.3. Output energy exceeding 0.002 J per pulse;
b.6.b. ``Pulse duration'' equal to or exceeding 1 ps and less
than 1 ns, and any of the following:
b.6.b.1. Output ``peak power'' exceeding 5 GW per pulse;
b.6.b.2. ``Average output power'' exceeding 50 W; or
b.6.b.3. Output energy exceeding 0.1 J per pulse;
b.6.c. ``Pulse duration'' equal to or exceeding 1 ns but not
exceeding 1 [mu]s and any of the following:
b.6.c.1. Single transverse mode output and any of the following:
b.6.c.1.a. ``Peak power'' exceeding 100 MW;
b.6.c.1.b. ``Average output power'' exceeding 20 W limited by
design to a maximum pulse repetition frequency less than or equal to
1 kHz;
b.6.c.1.c. `Wall-plug efficiency' exceeding 12%, ``average
output power'' exceeding 100 W and capable of operating at a pulse
repetition frequency greater than 1 kHz;
b.6.c.1.d. ``Average output power'' exceeding 150 W and capable
of operating at a pulse repetition frequency greater than 1 kHz; or
b.6.c.1.e. Output energy exceeding 2 J per pulse; or
b.6.c.2. Multiple transverse mode output and any of the
following:
b.6.c.2.a. ``Peak power'' exceeding 400 MW;
b.6.c.2.b. `Wall-plug efficiency' exceeding 18% and ``average
output power'' exceeding 500 W;
b.6.c.2.c. ``Average output power'' exceeding 2 kW; or
b.6.c.2.d. Output energy exceeding 4 J per pulse; or
b.6.d. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.6.d.1. Single transverse mode output and any of the following:
b.6.d.1.a. ``Peak power'' exceeding 500 kW;
b.6.d.1.b. `Wall-plug efficiency' exceeding 12% and ``average
output power'' exceeding 100 W; or
b.6.d.1.c. ``Average output power'' exceeding 150 W; or
b.6.d.2. Multiple transverse mode output and any of the
following:
b.6.d.2.a. ``Peak power'' exceeding 1 MW;
b.6.d.2.b. `Wall-plug efficiency' exceeding 18% and ``average
output power'' exceeding 500 W; or
b.6.d.2.c. ``Average output power'' exceeding 2 kW;
b.7. Output wavelength exceeding 1,150 nm but not exceeding
1,555 nm and any of the following:
b.7.a. ``Pulse duration'' not exceeding 1 [mu]s and any of the
following:
b.7.a.1. Output energy exceeding 0.5 J per pulse and ``peak
power'' exceeding 50 W;
b.7.a.2. Single transverse mode output and ``average output
power'' exceeding 20 W; or
b.7.a.3. Multiple transverse mode output and ``average output
power'' exceeding 50 W; or
b.7.b. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.7.b.1. Output energy exceeding 2 J per pulse and ``peak
power'' exceeding 50 W;
b.7.b.2. Single transverse mode output and ``average output
power'' exceeding 50 W; or
b.7.b.3. Multiple transverse mode output and ``average output
power'' exceeding 80 W;
b.8. Output wavelength exceeding 1,555 nm but not exceeding
1,850 nm, and any of the following:
b.8.a. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.8.b. ``Average output power'' exceeding 1 W;
b.9. Output wavelength exceeding 1,850 nm but not exceeding
2,100 nm, and any of the following:
b.9.a. Single transverse mode and any of the following:
b.9.a.1. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.9.a.2. ``Average output power'' exceeding 1 W;
b.9.b. Multiple transverse mode and any of the following:
b.9.b.1. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 10 kW; or
b.9.b.2. ``Average output power'' exceeding 120 W; or
b.10. Output wavelength exceeding 2,100 nm and any of the
following:
b.10.a. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.10.b. ``Average output power'' exceeding 1 W;
c. ``Tunable'' lasers having any of the following:
c.1. Output wavelength less than 600 nm and any of the
following:
c.1.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
c.1.b. Average or CW output power exceeding 1W;
Note: 6A005.c.1 does not apply to dye ``lasers'' or other liquid
``lasers'', having a multimode output and a wavelength of 150 nm or
more but not exceeding 600 nm and all of the following:
1. Output energy less than 1.5 J per pulse or a ``peak power''
less than 20 W; and
2. Average or CW output power less than 20 W.
c.2. Output wavelength of 600 nm or more but not exceeding 1,400
nm, and any of the following:
c.2.a. Output energy exceeding 1 J per pulse and ``peak power''
exceeding 20 W; or
c.2.b. Average or CW output power exceeding 20 W; or
c.3. Output wavelength exceeding 1,400 nm and any of the
following:
c.3.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
c.3.b. Average or CW output power exceeding 1 W;
d. Other ``lasers'', not controlled by 6A005.a, 6A005.b, or
6A005.c as follows:
d.1. Semiconductor ``lasers'' as follows:
Note:
1. 6A005.d.1 includes semiconductor ``lasers'' having optical
output connectors (e.g., fiber optic pigtails).
2. The control status of semiconductor ``lasers'' ``specially
designed'' for other equipment is determined by the control status
of the other equipment.
d.1.a. Individual single transverse mode semiconductor
``lasers'' having any of the following:
d.1.a.1. Wavelength equal to or less than 1,510 nm and average
or CW output power, exceeding 1.5 W; or
d.1.a.2. Wavelength greater than 1,510 nm and average or CW
output power, exceeding 500 mW;
d.1.b. Individual, multiple-transverse mode semiconductor
``lasers'' having any of the following:
d.1.b.1. Wavelength of less than 1,400 nm and average or CW
output power, exceeding 15 W;
d.1.b.2. Wavelength equal to or greater than 1,400 nm and less
than 1,900 nm and average or CW output power, exceeding 2.5 W; or
d.1.b.3. Wavelength equal to or greater than 1,900 nm and
average or CW output power, exceeding 1 W;
d.1.c. Individual semiconductor ``laser'' `bars' having any of
the following:
d.1.c.1. Wavelength of less than 1,400 nm and average or CW
output power, exceeding 100 W;
d.1.c.2. Wavelength equal to or greater than 1,400 nm and less
than 1,900 nm and average or CW output power, exceeding 25 W; or
d.1.c.3. Wavelength equal to or greater than 1,900 nm and
average or CW output power, exceeding 10 W;
d.1.d. Semiconductor ``laser'' `stacked arrays' (two dimensional
arrays) having any of the following:
d.1.d.1. Wavelength less than 1,400 nm and having any of the
following:
d.1.d.1.a. Average or CW total output power less than 3 kW and
having average or CW output `power density' greater than 500 W/
cm\2\;
d.1.d.1.b. Average or CW total output power equal to or
exceeding 3 kW but less than or equal to 5 kW, and having average or
CW output `power density' greater than 350W/cm\2\;
d.1.d.1.c. Average or CW total output power exceeding 5 kW;
[[Page 53784]]
d.1.d.1.d. Peak pulsed `power density' exceeding 2,500 W/cm\2\;
or
Note: 6A005.d.1.d.1.d does not apply to epitaxially-fabricated
monolithic devices.
d.1.d.1.e. Spatially coherent average or CW total output power,
greater than 150 W;
d.1.d.2. Wavelength greater than or equal to 1,400 nm but less
than 1,900 nm, and having any of the following:
d.1.d.2.a. Average or CW total output power less than 250 W and
average or CW output `power density' greater than 150 W/cm\2\;
d.1.d.2.b. Average or CW total output power equal to or
exceeding 250 W but less than or equal to 500 W, and having average
or CW output `power density' greater than 50W/cm\2\;
d.1.d.2.c. Average or CW total output power exceeding 500 W;
d.1.d.2.d. Peak pulsed `power density' exceeding 500 W/cm\2\; or
Note: 6A005.d.1.d.2.d does not apply to epitaxially-fabricated
monolithic devices.
d.1.d.2.e. Spatially coherent average or CW total output power,
exceeding 15 W;
d.1.d.3. Wavelength greater than or equal to 1,900 nm and having
any of the following:
d.1.d.3.a. Average or CW output `power density' greater than 50
W/cm\2\;
d.1.d.3.b. Average or CW output power greater than 10 W; or
d.1.d.3.c. Spatially coherent average or CW total output power,
exceeding 1.5 W; or
d.1.d.4. At least one ``laser'' `bar' specified by 6A005.d.1.c;
Technical Note: For the purposes of 6A005.d.1.d, `power density'
means the total ``laser'' output power divided by the emitter
surface area of the `stacked array.'
d.1.e. Semiconductor ``laser'' `stacked arrays,' other than
those specified by 6.A005.d.1.d., having all of the following:
d.1.e.1. ``Specially designed'' or modified to be combined with
other `stacked arrays' to form a larger `stacked array;' and
d.1.e.2. Integrated connections, common for both electronics and
cooling;
Note 1: `Stacked arrays,' formed by combining semiconductor
``laser'' `stacked arrays' specified by 6A005.d.1.e, that are not
designed to be further combined or modified are specified by
6A005.d.1.d.
Note 2: `Stacked arrays,' formed by combining semiconductor
``laser'' `stacked arrays' specified by 6A005.d.1.e, that are
designed to be further combined or modified are specified by
6A005.d.1.e.
Note 3: 6A005.d.1.e does not apply to modular assemblies of
single `bars' designed to be fabricated into end to end stacked
linear arrays.
Technical Notes:
1. Semiconductor ``lasers'' are commonly called ``laser''
diodes.
2. A `bar' (also called a semiconductor ``laser'' `bar,' a
``laser'' diode `bar' or diode `bar') consists of multiple
semiconductor ``lasers'' in a one dimensional array.
3. A `stacked array' consists of multiple `bars' forming a two
dimensional array of semiconductor ``lasers''.
d.2. Carbon monoxide (CO) ``lasers'' having any of the
following:
d.2.a. Output energy exceeding 2 J per pulse and ``peak power''
exceeding 5 kW; or
d.2.b. Average or CW output power, exceeding 5 kW;
d.3. Carbon dioxide (CO2) ``lasers'' having any of
the following:
d.3.a. CW output power exceeding 15 kW;
d.3.b. Pulsed output with ``pulse duration'' exceeding 10 [mu]s
and any of the following:
d.3.b.1. ``Average output power'' exceeding 10 kW; or
d.3.b.2. ``Peak power'' exceeding 100 kW; or
d.3.c. Pulsed output with a ``pulse duration'' equal to or less
than 10 [mu]s and any of the following:
d.3.c.1. Pulse energy exceeding 5 J per pulse; or
d.3.c.2. ``Average output power'' exceeding 2.5 kW;
d.4. Excimer ``lasers'' having any of the following:
d.4.a. Output wavelength not exceeding 150 nm and any of the
following:
d.4.a.1. Output energy exceeding 50 mJ per pulse; or
d.4.a.2. ``Average output power'' exceeding 1 W;
d.4.b. Output wavelength exceeding 150 nm but not exceeding 190
nm and any of the following:
d.4.b.1. Output energy exceeding 1.5 J per pulse; or
d.4.b.2. ``Average output power'' exceeding 120 W;
d.4.c. Output wavelength exceeding 190 nm but not exceeding 360
nm and any of the following:
d.4.c.1. Output energy exceeding 10 J per pulse; or
d.4.c.2. ``Average output power'' exceeding 500 W; or
d.4.d. Output wavelength exceeding 360 nm and any of the
following:
d.4.d.1. Output energy exceeding 1.5 J per pulse; or
d.4.d.2. ``Average output power'' exceeding 30 W;
Note: For excimer ``lasers'' ``specially designed'' for
lithography equipment, see 3B001.
d.5. ``Chemical lasers'' as follows:
d.5.a. Hydrogen Fluoride (HF) ``lasers'';
d.5.b. Deuterium Fluoride (DF) ``lasers'';
d.5.c. `Transfer lasers' as follows:
d.5.c.1. Oxygen Iodine (O2-I) ``lasers'';
d.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO2)
``lasers'';
Technical Note: `Transfer lasers' are ``lasers'' in which the
lasing species are excited through the transfer of energy by
collision of a non-lasing atom or molecule with a lasing atom or
molecule species.
d.6. `Non-repetitive pulsed' Neodymium (Nd) glass ``lasers''
having any of the following:
d.6.a. A ``pulse duration'' not exceeding 1 [mu]s and output
energy exceeding 50 J per pulse; or
d.6.b. A ``pulse duration'' exceeding 1 [mu]s and output energy
exceeding 100 J per pulse;
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'', other than fused tapered
fiber combiners and Multi-Layer Dielectric gratings (MLDs),
``specially designed'' for use with controlled ``lasers'';
Note to 6A005.e.2: Fiber combiners and MLDs are specified by
6A005.e.3.
e.3. Fiber ``laser'' ``components'' as follows:
e.3.a. Multimode to multimode fused tapered fiber combiners
having all of the following:
e.3.a.1. An insertion loss better (less) than or equal to 0.3 dB
maintained at a rated total average or CW output power (excluding
output power transmitted through the single mode core if present)
exceeding 1,000 W; and
e.3.a.2. Number of input fibers equal to or greater than 3;
e.3.b. Single mode to multimode fused tapered fiber combiners
having all of the following:
e.3.b.1. An insertion loss better (less) than 0.5 dB maintained
at a rated total average or CW output power exceeding 4,600 W;
e.3.b.2. Number of input fibers equal to or greater than 3; and
e.3.b.3. Having any of the following:
e.3.b.3.a. A Beam Parameter Product (BPP) measured at the output
not exceeding 1.5 mm mrad for a number of input fibers less than or
equal to 5; or
e.3.b.3.b. A BPP measured at the output not exceeding 2.5 mm
mrad for a number of input fibers greater than 5;
e.3.c. MLDs having all of the following:
e.3.c.1. Designed for spectral or coherent beam combination of 5
or more fiber ``lasers''; and
e.3.c.2. CW ``Laser'' Induced Damage Threshold (LIDT) greater
than or equal to 10 kW/cm\2\;
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. [Reserved]
N.B.: For items previously specified by 6A005.f.1, see 6A004.f.
f.2. ``Laser'' diagnostic equipment ``specially designed'' for
dynamic measurement of ``SHPL'' system angular beam steering errors
and having an angular ``accuracy'' of 10 [mu]rad (microradians) or
less (better);
f.3. Optical equipment and ``components'', ``specially
designed'' for coherent beam combination in a phased-array ``SHPL''
system and having any of the following:
f.3.a. An ``accuracy'' of 0.1 [micro]m or less, for wavelengths
greater than 1 [micro]m; or
f.3.b. An ``accuracy'' of [lambda]/10 or less (better) at the
designed wavelength, for wavelengths equal to or less than 1
[micro]m;
f.4. Projection telescopes ``specially designed'' for use with
``SHPL'' systems;
g. `Laser acoustic detection equipment' having all of the
following:
g.1. CW ``laser'' output power greater than or equal to 20 mW;
[[Page 53785]]
g.2. ``Laser'' frequency stability equal to or better (less)
than 10 MHz;
g.3. ``Laser'' wavelengths equal to or exceeding 1,000 nm but
not exceeding 2,000 nm;
g.4. Optical system resolution better (less) than 1 nm; and
g.5. Optical Signal to Noise ratio equal or exceeding to 10\3\.
Technical Note: `Laser acoustic detection equipment' is
sometimes referred to as a ``Laser'' Microphone or Particle Flow
Detection Microphone.
0
52. In supplement no. 1 to part 774, Category 6, ECCN 6A008 is revised
to read as follows:
6A008 Radar systems, equipment and assemblies, having any of the
following (see List of Items Controlled), and ``specially designed''
``components'' therefor.
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 2
MT applies to items that are designed for MT Column 1
airborne applications and that are usable
in systems controlled for MT reasons.
RS applies to 6A008.j.1................... RS Column 1
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of all
License Exceptions)
LVS: $5,000; N/A for MT and for 6A008.j.1.
GBS: Yes, for 6A008.b, .c, and l.1 only
CIV: Yes, for 6A008.b, .c, and l.1 only
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
6A008.d, 6A008.h or 6A008.k to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See also ECCNs 6A108 and 6A998. ECCN 6A998
controls, inter alia, the Light Detection and Ranging (LIDAR)
equipment excluded by the note to paragraph j. of this ECCN (6A008).
(2) See USML Category XII(b) for certain LIDAR, Laser Detection and
Ranging (LADAR), or range-gated systems subject to the ITAR.
Related Definitions: N/A
Items:
Note: 6A008 does not control:
--Secondary surveillance radar (SSR);
--Civil Automotive Radar;
--Displays or monitors used for air traffic control (ATC);
--Meteorological (weather) radar;
--Precision Approach Radar (PAR) equipment conforming to ICAO
standards and employing electronically steerable linear (1-
dimensional) arrays or mechanically positioned passive antennas.
a. Operating at frequencies from 40 GHz to 230 GHz and having
any of the following:
a.1. An average output power exceeding 100 mW; or
a.2. Locating ``accuracy'' of 1 m or less (better) in range and
0.2 degree or less (better) in azimuth;
b. A tunable bandwidth exceeding 6.25% of the
`center operating frequency;'
Technical Note: The `center operating frequency' equals one
half of the sum of the highest plus the lowest specified operating
frequencies.
c. Capable of operating simultaneously on more than two carrier
frequencies;
d. Capable of operating in synthetic aperture (SAR), inverse
synthetic aperture (ISAR) radar mode, or sidelooking airborne (SLAR)
radar mode;
e. Incorporating electronically scanned array antennae;
Technical Note: Electronically scanned array antennae are also
known as electronically steerable array antennae.
f. Capable of heightfinding non-cooperative targets;
g. ``Specially designed'' for airborne (balloon or airframe
mounted) operation and having Doppler ``signal processing'' for the
detection of moving targets;
h. Employing processing of radar signals and using any of the
following:
h.1. ``Radar spread spectrum'' techniques; or
h.2. ``Radar frequency agility'' techniques;
i. Providing ground-based operation with a maximum
``instrumented range'' exceeding 185 km;
Note: 6A008.i does not control:
a. Fishing ground surveillance radar;
b. Ground radar equipment ``specially designed'' for en route
air traffic control, and having all of the following:
1. A maximum ``instrumented range'' of 500 km or less;
2. Configured so that radar target data can be transmitted only
one way from the radar site to one or more civil ATC centers;
3. Contains no provisions for remote control of the radar scan
rate from the en route ATC center; and
4. Permanently installed;
c. Weather balloon tracking radars.
j. Being ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment and having any of the following:
j.1. ``Space-qualified'';
j.2. Employing coherent heterodyne or homodyne detection
techniques and having an angular resolution of less (better) than 20
[mu]rad (microradians); or
j.3. Designed for carrying out airborne bathymetric littoral
surveys to International Hydrographic Organization (IHO) Order 1a
Standard (5th Edition February 2008) for Hydrographic Surveys or
better, and using one or more ``lasers'' with a wavelength exceeding
400 nm but not exceeding 600 nm;
Note 1: LIDAR equipment ``specially designed'' for surveying is
only specified by 6A008.j.3.
Note 2: 6A008.j does not apply to LIDAR equipment ``specially
designed'' for meteorological observation.
Note 3: Parameters in the IHO Order 1a Standard 5th Edition
February 2008 are summarized as follows:
Horizontal Accuracy (95% Confidence Level) = 5 m + 5% of depth.
Depth Accuracy for Reduced Depths (95% confidence level) =
[radic](a\2\ + (b * d)\2\) where:
a = 0.5 m = constant depth error, i.e. the sum of all constant
depth errors
b = 0.013 = factor of depth dependant error
b * d = depth dependant error, i.e. the sum of all depth
dependant errors
d = depth
Feature Detection = Cubic features >2 m in depths up to 40 m;
10% of depth beyond 40 m.
k. Having ``signal processing'' sub-systems using ``pulse
compression'' and having any of the following:
k.1. A ``pulse compression'' ratio exceeding 150; or
k.2. A compressed pulse width of less than 200 ns; or
Note: 6A008.k.2 does not apply to two dimensional `marine radar'
or `vessel traffic service' radar, having all of the following:
a. ``Pulse compression'' ratio not exceeding 150;
b. Compressed pulse width of greater than 30 ns;
c. Single and rotating mechanically scanned antenna;
d. Peak output power not exceeding 250 W; and
e. Not capable of ``frequency hopping''.
l. Having data processing sub-systems and having any of the
following:
l.1. `Automatic target tracking' providing, at any antenna
rotation, the predicted target position beyond the time of the next
antenna beam passage; or
Note: 6A008.l.1 does not control conflict alert capability in
ATC systems, or `marine radar.'
Technical Note: `Automatic target tracking' is a processing
technique that automatically determines and provides as output an
extrapolated value of the most probable position of the target in
real time.
l.2. [Reserved]
l.3. [Reserved]
l.4. Configured to provide superposition and correlation, or
fusion, of target data within six seconds from two or more
`geographically dispersed' radar sensors to improve the aggregate
performance beyond that of any single sensor specified by 6A008.f,
or 6A008.i.
Technical Note: Sensors are considered `geographically
dispersed' when each location is distant from any other more than
1,500 m in any direction. Mobile sensors are
[[Page 53786]]
always considered `geographically dispersed'.
N.B.: See also the U.S. Munitions List (22 CFR part 121).
Note: 6A008.l does not apply to systems, equipment and
assemblies designed for `vessel traffic services.'
Technical Notes:
1. For the purposes of 6A008, `marine radar' is a radar that is
used to navigate safely at sea, inland waterways or near-shore
environments.
2. For the purposes of 6A008, `vessel traffic service' is a
vessel traffic monitoring and control service similar to air traffic
control for ``aircraft''.
0
53. In supplement no. 1 to part 774, Category 6, ECCN 6A203 is revised
to read as follows:
6A203 High-speed cameras, imaging devices and ``components''
therefor, other than those controlled by 6A003 (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 6A003.a.3, and a.4.
Related Definitions: N/A
Items:
a. Streak cameras and ``specially designed'' components
therefor, as follows:
a.1. Streak cameras with writing speeds greater than 0.5 mm/
[micro]s;
a.2. Electronic streak cameras capable of 50 ns or less time
resolution;
a.3. Streak tubes for cameras described in 6A203.a.2;
a.4. Plug-ins, ``specially designed'' for use with streak
cameras having modular structures, that enable the performance
characteristics described in 6A203.a.1 or .a.2;
a.5. Synchronizing electronics units, and rotor assemblies
consisting of turbines, mirrors and bearings, that are ``specially
designed'' for cameras described in 6A203.a.1.
b. Framing cameras and ``specially designed'' components
therefor, as follows:
b.1. Framing cameras with recording rates greater than 225,000
frames per second;
b.2. Framing cameras capable of 50 ns or less frame exposure
time;
b.3. Framing tubes, and solid-state imaging devices, that have a
fast image gating (shutter) time of 50 ns or less and are
``specially designed'' for cameras described in 6A203.b.1 or .b.2;
b.4. Plug-ins, ``specially designed'' for use with framing
cameras having modular structures, that enable the performance
characteristics described in 6A203.b.1 or .b.2;
b.5. Synchronizing electronic units, and rotor assemblies
consisting of turbines, mirrors and bearings, that are ``specially
designed'' for cameras described in 6A203.b.1 or .b.2.
c. Solid-state or electron tube cameras and ``specially
designed'' components therefor, as follows:
c.1. Solid-state cameras, or electron tube cameras, with a fast
image gating (shutter) time of 50 ns or less;
c.2. Solid-state imaging devices, and image intensifiers tubes,
that have a fast image gating (shutter) time of 50 ns or less and
are ``specially designed'' for cameras described in 6A203.c.1;
c.3. Electro-optical shuttering devices (Kerr or Pockels cells)
with a fast image gating (shutter) time of 50 ns or less;
c.4. Plug-ins, ``specially designed'' for use with cameras
having modular structures, that enable the performance
characteristics described in 6A203.c.1.
Technical Note: High speed single frame cameras can be used
alone to produce a single image of a dynamic event, or several such
cameras can be combined in a sequentially-triggered system to
produce multiple images of an event.
d. Radiation-hardened TV cameras, or lenses therefor,
``specially designed'' or rated as radiation hardened to withstand a
total radiation dose greater than 5 x 10\4\ Gy (silicon) without
operational degradation.
Technical Note: The term Gy (silicon) refers to the energy in
Joules per kilogram absorbed by an unshielded silicon sample when
exposed to ionizing radiation.
0
54. In supplement no. 1 to part 774, Category 6, ECCN 6A990 is removed.
0
55. In supplement no. 1 to part 774, Category 6, ECCN 6D003 is revised
to read as follows:
6D003 Other ``software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
RS applies to paragraph c................. RS Column 1
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: Yes for 6D003.h.1
TSR: Yes, except for 6D003.c and exports or reexports to
destinations outside of those countries listed in Country Group A:5
(See Supplement No. 1 to part 740 of the EAR) of ``software'' for
items controlled by 6D003.a.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
software in 6D003.a to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also ECCNs 6D103, 6D991, and 6D993.
Related Definitions: N/A
Items:
Acoustics
a. ``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;
a.5. ``Software'' or ``source code'', ``specially designed'' for
all of the following:
a.5.a. ``Real-time processing'' of acoustic data from sonar
systems controlled by 6A001.a.1.e; and
a.5.b. Automatically detecting, classifying and determining the
location of divers or swimmers;
N.B.: For diver detection ``software'' or ``source code'',
``specially designed'' or modified for military use, see the U.S.
Munitions List of the International Traffic in Arms Regulations
(ITAR) (22 CFR part 121).
b. Optical sensors. None.
Cameras
c. ``Software'' designed or modified for cameras incorporating
``focal plane arrays'' specified by 6A002.a.3.f and designed or
modified to remove a frame rate restriction and allow the camera to
exceed the frame rate specified in 6A003.b.4 Note 3.a;
Optics
d. ``Software'' specially designed to maintain the alignment and
phasing of segmented mirror systems consisting of mirror segments
having a diameter or major axis length equal to or larger than 1 m;
e. Lasers. None.
Magnetic and Electric Field Sensors
f. ``Software'' as follows:
f.1. ``Software'' ``specially designed'' for magnetic and
electric field ``compensation systems'' for magnetic sensors
designed to operate on mobile platforms;
[[Page 53787]]
f.2. ``Software'' ``specially designed'' for magnetic and
electric field anomaly detection on mobile platforms;
f.3. ``Software'' ``specially designed'' for ``real-time
processing'' of electromagnetic data using underwater
electromagnetic receivers specified by 6A006.e;
f.4. ``Source code'' for ``real-time processing'' of
electromagnetic data using underwater electromagnetic receivers
specified by 6A006.e;
Gravimeters
g. ``Software'' ``specially designed'' to correct motional
influences of gravity meters or gravity gradiometers;
Radar
h. ``Software'' as follows:
h.1. Air Traffic Control (ATC) ``software'' application
``programs'' designed to be hosted on general purpose computers
located at Air Traffic Control centers and capable of accepting
radar target data from more than four primary radars;
h.2. ``Software'' for the design or ``production'' of radomes
having all of the following:
h.2.a. ``Specially designed'' to protect the ``electronically
scanned array antennae'' specified by 6A008.e; and
h.2.b. Resulting 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.
0
56. In supplement no. 1 to part 774, Category 6, ECCN 6D991 is revised
to read as follows:
6D991 ``Software,'' n.e.s., ``specially designed'' for the
``development'', ``production'', or ``use'' of commodities
controlled by 6A002, 6A003, 6A991, 6A996, 6A997, or 6A998.
License Requirements
Reason for Control: RS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
RS applies to ``software'' for commodities RS Column 1
controlled by 6A002, 6A003, or 6A998.b.
RS applies to ``software'' for commodities RS Column 2
controlled by 6A998.c.
AT applies to entire entry, except AT Column 1
``software'' for commodities controlled
by 6A991.
AT applies to ``software'' for commodities AT Column 2
controlled by 6A991.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: (1) See ECCN 6D002 for ``software'' ``specially
designed'' for the ``use'' of commodities controlled under ECCN
6A002.b. (2) See ECCN 6D003.c for ``software'' ``specially
designed'' for cameras incorporating ``focal plane arrays''
specified by 6A002.a.3.f and ``specially designed'' to remove a
frame rate restriction and allow the camera to exceed the frame rate
specified in 6A003.b.4 Note 3.a.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
57. In supplement no. 1 to part 774, Category 6, ECCN 6E001 is revised
to read as follows:
6E001 ``Technology'' according to the General Technology Note for
the ``development'' of equipment, materials or ``software''
controlled by 6A (except 6A991, 6A992, 6A994, 6A995, 6A996, 6A997,
6A998, or 6A999.c), 6B (except 6B995), 6C (except 6C992 or 6C994),
or 6D (except 6D991, 6D992, or 6D993).
License Requirements
Reason for Control: NS, MT, NP, RS, CC, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``technology'' for items NS Column 1
controlled by 6A001 to 6A008, 6B004 to
6B008, 6C002 to 6C005, or 6D001 to 6D003.
MT applies to ``technology'' for items MT Column 1
controlled by 6A002, 6A007, 6A008, 6A102,
6A107, 6A108, 6B008, 6B108, 6D001, 6D002,
6D102 or 6D103 for MT reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 6A003, 6A005, 6A202, 6A203,
6A205, 6A225, 6A226, 6D001, or 6D201 for
NP reasons.
RS applies to ``technology'' for items RS Column 1
controlled by 6A002.a.1, .a.2, .a.3, .c,
or .f, 6A003.b.3 or .b.4, or 6A008.j.1.
CC applies to ``technology'' for equipment CC Column 1
controlled by 6A002 for CC reasons.
AT applies to entire entry................ AT Column 1
UN applies to ``technology'' for equipment See Sec. 746.1(b) of the
controlled by 6A002 or 6A003 for UN EAR for UN controls
reasons.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except for the following: (1) Items controlled for MT
reasons; (2) ``Technology'' for commodities controlled by 6A002,
6A004.e or 6A008.j.1; (3) ``Technology'' for 6A003 cameras, unless
for ``technology'' for the integration of 6A003 cameras into camera
systems ``specially designed'' for civil automotive applications;
(4) ``Technology'' for ``software'' ``specially designed'' for
``space qualified'' ``laser'' radar or Light Detection and Ranging
(LIDAR) equipment defined in 6A008.j.1 and controlled by 6D001 or
6D002; or (5) Exports or reexports to destinations outside of those
countries listed in Country Group A:5 (See Supplement No. 1 to part
740 of the EAR) of ``technology'' for the ``development'' of the
following: (a) Items controlled by 6A001.a.1.b, 6A001.a.1.e,
6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5,
6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.d, 6A001.a.2.e, 6A004.c,
6A004.d, 6A006.a.2, 6A006.c.1, 6A006.d, 6A006.e, 6A008.d, 6A008.h,
6A008.k, 6B008, or 6D003.a; (b) Equipment controlled by 6A001.a.2.c
or 6A001.a.2.f when ``specially designed'' for real time
applications; or (c) ``Software'' controlled by 6D001 and
``specially designed'' for the ``development'' or ``production'' of
equipment controlled by 6B008, or 6D003.a.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in this entry to any of the destinations listed in
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Technical data directly related to satellites
and all other items described in USML Category XV are subject to the
ITAR under USML Category XV(f). (2) Technical data directly related
to laser systems, infrared imaging systems, and all other items
described in USML Category XII are subject to the ITAR under USML
Category XII(f). (3) Technical data
[[Page 53788]]
directly related to read-out integrated circuits described in USML
Categories XII(e) or XV(e)(3) is subject to the ITAR under USML
Categories XII(f) or XV(f), respectively. (4) See also 6E101, 6E201,
and 6E991.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
58. In supplement no. 1 to part 774, Category 6, ECCN 6E002 is revised
to read as follows:
6E002 ``Technology'' according to the General Technology Note for
the ``production'' of equipment or materials controlled by 6A
(except 6A991, 6A992, 6A994, 6A995, 6A996, 6A997, 6A998 or 6A999.c),
6B (except 6B995) or 6C (except 6C992 or 6C994).
License Requirements
Reason for Control: NS, MT, NP, RS, CC, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``technology'' for equipment NS Column 1
controlled by 6A001 to 6A008, 6B004 to
6B008, or 6C002 to 6C005.
MT applies to ``technology'' for equipment MT Column 1
controlled by 6A002, 6A007, 6A008, 6A102,
6A107, 6A108, 6B008, or 6B108 for MT
reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 6A003, 6A005, 6A202, 6A203,
6A205, 6A225 or 6A226 for NP reasons.
RS applies to ``technology'' for items RS Column 1
controlled by 6A002.a.1, .a.2, .a.3, .c,
or .f, 6A003.b.3 or .b.4, or 6A008.j.1.
CC applies to ``technology'' for equipment CC Column 1
controlled by 6A002 for CC reasons.
AT applies to entire entry................ AT Column 1
UN applies to ``technology'' for equipment See Sec. 746.1(b) of the
controlled by 6A002 or 6A003 for UN EAR for UN controls
reasons.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ``Technology'' for commodities controlled by 6A002, 6A004.e, or
6A008.j.1;
(3) ``Technology'' for 6A003 cameras, unless for ``technology'' for
the integration of 6A003 cameras into camera systems ``specially
designed'' for civil automotive applications; or
(4) Exports or reexports to destinations outside of those countries
listed in Country Group A:5 (See Supplement No. 1 to part 740 of the
EAR) of ``technology'' for the ``production'' of the following: (a)
Items controlled by 6A001.a.1.b, 6A001.a.1.e, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6,
6A001.a.2.b, 6A004.c, 6A004.d, 6A006.a.2, 6A006.c.1, 6A006.d,
6A006.e, 6A008.d, 6A008.h, 6A008.k, or 6B008; and (b) Items
controlled by 6A001.a.2.c or 6A001.a.2.f when ``specially designed''
for real time applications.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``production'' of equipment specified in the STA exclusion
paragraphs found in the License Exception sections of by ECCNs
6A001, 6A002, 6A003, 6A004, 6A006, 6A008, or 6B008 to any of the
destinations listed in Country Group A:6 (See Supplement No. 1 to
part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Technical data directly related to satellites
and all other items described in USML Category XV are subject to the
ITAR under USML Category XV(f). (2) Technical data directly related
to laser systems, infrared imaging systems, and all other items
described in USML Category XII are subject to the ITAR under USML
Category XII(f). (3) Technical data directly related to read-out
integrated circuits described in USML Categories XII(e) or XV(e)(3)
is subject to the ITAR under USML Categories XII(f) or XV(f),
respectively. (4) See also 6E992.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
59. In supplement no. 1 to part 774, Category 6, ECCN 6E201 is revised
to read as follows:
6E201 ``Technology'' according to the General Technology Note for
the ``use'' of equipment controlled by 6A003.a.3, 6A003.a.4;
6A005.a.2, 6A005.b.2.b, 6A005.b.3, 6A005.b.4.b.2, 6A005.b.6.c,
6A005.c.1.b, 6A005.c.2.b, 6A005.d.2, 6A005.d.3.c, or 6A005.d.4.c
(that meet or exceed the parameters of 6A205); 6A202, 6A203, 6A205,
6A225 or 6A226.
License Requirements
Reason for Control: NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NP applies to entire entry................ NP Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
ECCN Controls: This entry only controls ``technology'' for
``lasers'' in 6A005 that are controlled for NP reasons.
Items:
The list of items controlled is contained in the ECCN heading.
0
60. In supplement no. 1 to part 774, Category 6, ECCN 6E990 is removed.
0
61. In supplement no. 1 to part 774, Category 7, ECCN 7A006 is revised
to read as follows:
7A006 Airborne altimeters operating at frequencies other than 4.2 to
4.4 GHz inclusive and having any of the following (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to commodities in this entry MT Column 1
that meet or exceed the parameters of
7A106.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: See also 7A106, 7A994 and Category 6 for controls
on radar.
Related Definitions: N/A
Items:
a. `Power management'; or
Technical Note: `Power management' is changing the transmitted
power of the altimeter signal so that received power at the
``aircraft'' altitude is always at the minimum necessary to
determine the altitude.
b. Using phase shift key modulation.
0
62. In supplement no. 1 to part 774, Category 7, ECCN 7E004 is revised
to read as follows:
[[Page 53789]]
7E004 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to ``technology ''for equipment MT Column 1
or systems controlled for MT reasons.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
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 7E004, except for
7E004.a.7. (2) Paragraph (c)(2) of License Exception STA (Sec.
740.20(c)(2) of the EAR) may not be used for 7E004, except for
7E004.a.7.
List of Items Controlled
Related Controls: (1) See also 7E001, 7E002, 7E101, and 7E994. (2)
In addition to the Related Controls in 7E001, 7E002, and 7E101 that
include MT controls, also see the MT controls in 7E104 for design
``technology'' for the integration of the flight control, guidance,
and propulsion data into a flight management system, designed or
modified for rockets or missiles capable of achieving a ``range''
equal to or greater than 300 km, for optimization of rocket system
trajectory; and also see 9E101 for design ``technology'' for
integration of air vehicle fuselage, propulsion system and lifting
control surfaces, designed or modified for unmanned aerial vehicles
capable of achieving a ``range'' equal to or greater than 300 km, to
optimize aerodynamic performance throughout the flight regime of an
unmanned aerial vehicle.
Related Definitions: ``Primary flight control'' means an
``aircraft'' stability or maneuvering control using force/moment
generators, i.e., aerodynamic control surfaces or propulsive thrust
vectoring.
Items:
a. ``Technology'' for the ``development'' or ``production'' of
any of the following:
a.1. [Reserved]
a.2. Air data systems based on surface static data only, i.e.,
which dispense with conventional air data probes;
a.3. Three dimensional displays for ``aircraft'';
a.4. [Reserved]
a.5. Electric actuators (i.e., electromechanical,
electrohydrostatic and integrated actuator package) ``specially
designed'' for `primary flight control';
Technical Note: `Primary flight control' is ``aircraft''
stability or manoeuvring control using force/moment generators, i.e.
aerodynamic control surfaces or propulsive thrust vectoring.
a.6. `Flight control optical sensor array' ``specially
designed'' for implementing ``active flight control systems''; or
Technical Note: A `flight control optical sensor array' is a
network of distributed optical sensors, using ``laser'' beams, to
provide real-time flight control data for on-board processing.
a.7. ``DBRN'' systems designed to navigate underwater, using
sonar or gravity databases, that provide a positioning ``accuracy''
equal to or less (better) than 0.4 nautical miles;
b. ``Development'' ``technology'', as follows, for ``active
flight control systems'' (including ``fly-by-wire systems'' or
``fly-by-light systems''):
b.1. Photonic-based ``technology'' for sensing ``aircraft'' or
flight control component state, transferring flight control data, or
commanding actuator movement, ``required'' for ``fly-by-light
systems'' ``active flight control systems'';
b.2. [Reserved]
b.3. Real-time algorithms to analyze component sensor
information to predict and preemptively mitigate impending
degradation and failures of components within an ``active flight
control system'';
Note: 7E004.b.3 does not include algorithms for purpose of off-
line maintenance.
b.4. Real-time algorithms to identify component failures and
reconfigure force and moment controls to mitigate ``active flight
control system'' degradations and failures;
Note: 7E004.b.4 does not include algorithms for the elimination
of fault effects through comparison of redundant data sources, or
off-line pre-planned responses to anticipated failures.
b.5. Integration of digital flight control, navigation and
propulsion control data, into a digital flight management system for
``total control of flight'';
Note: 7E004.b.5 does not apply to:
1. ``Technology'' for integration of digital flight control,
navigation and propulsion control data, into a digital flight
management system for `flight path optimization';
2. ``Technology'' for ``aircraft'' flight instrument systems
integrated solely for VOR, DME, ILS or MLS navigation or approaches.
Technical Note: `Flight path optimization' is a procedure that
minimizes deviations from a four-dimensional (space and time)
desired trajectory based on maximizing performance or effectiveness
for mission tasks.
b.6. [Reserved]
b.7. ``Technology'' ``required'' for deriving the functional
requirements for ``fly-by-wire systems'' having all of the
following:
b.7.a. `Inner-loop' airframe stability controls requiring loop
closure rates of 40 Hz or greater; and
Technical Note: `Inner-loop' refers to functions of ``active
flight control systems'' that automate airframe stability controls.
b.7.b. Having any of the following:
b.7.b.1. Corrects an aerodynamically unstable airframe, measured
at any point in the design flight envelope, that would lose
recoverable control if not corrected within 0.5 seconds;
b.7.b.2. Couples controls in two or more axes while compensating
for `abnormal changes in aircraft state;';
Technical Note: `Abnormal changes in aircraft state' include
in-flight structural damage, loss of engine thrust, disabled control
surface, or destabilizing shifts in cargo load.
b.7.b.3. Performs the functions specified in 7E004.b.5; or
Note: 7E004.b.7.b.3 does not apply to autopilots.
b.7.b.4. Enables ``aircraft'' to have stable controlled flight,
other than during take-off or landing, at greater than 18 degrees
angle of attack, 15 degrees side slip, 15 degrees/second pitch or
yaw rate, or 90 degrees/second roll rate;
b.8. ``Technology'' ``required'' for deriving the functional
requirements of ``fly-by-wire systems'' to achieve all of the
following:
b.8.a. No loss of control of the ``aircraft'' in the event of a
consecutive sequence of any two individual faults within the ``fly-
by-wire system''; and
b.8.b. Probability of loss of control of the ``aircraft'' being
less (better) than 1x10\-9\ failures per flight hour;
Note: 7E004.b does not apply to ``technology'' associated with
common computer elements and utilities (e.g., input signal
acquisition, output signal transmission, computer program and data
loading, built-in test, task scheduling mechanisms) not providing a
specific flight control system function.
c. ``Technology'' for the ``development'' of helicopter systems,
as follows:
c.1. Multi-axis fly-by-wire or fly-by-light controllers, which
combine the functions of at least two of the following into one
controlling element:
c.1.a. Collective controls;
c.1.b. Cyclic controls;
c.1.c. Yaw controls;
c.2. ``Circulation-controlled anti-torque or circulation-
controlled direction control systems'';
c.3. Rotor blades incorporating `variable geometry airfoils',
for use in systems using individual blade control.
Technical Note: `Variable geometry airfoils' use trailing edge
flaps or tabs, or leading edge slats or pivoted nose droop, the
position of which can be controlled in flight.
0
63. In supplement no. 1 to part 774, Category 9, ECCN 9A002 is revised
to read as follows:
9A002 `Marine gas turbine engines' designed to use liquid fuel and
having all of the following (see List of Items Controlled), and
``specially designed'' assemblies and ``components'' therefor.
License Requirements
Reason for Control: NS, AT
[[Page 53790]]
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5,000
GBS: N/A
CIV: N/A
List of Items Controlled:
Related Controls: N/A
Related Definition: N/A
Items:
a. Maximum continuous power when operating in ``steady state
mode'' at standard reference conditions specified by ISO 3977-2:1997
(or national equivalent) of 24,245 kW or more; and
b. `Corrected specific fuel consumption' not exceeding 0.219 kg/
kWh at 35% of the maximum continuous power when using liquid fuel.
Note: The term `marine gas turbine engines' includes those
industrial, or aero-derivative, gas turbine engines adapted for a
ship's electric power generation or propulsion.
Technical Note: For the purposes of 9A002, `corrected specific
fuel consumption' is the specific fuel consumption of the engine
corrected to a marine distillate liquid fuel having a net specific
energy (i.e., net heating value) of 42 MJ/kg (ISO 3977-2:1997).
0
64. In supplement no. 1 to part 774, Category 9, ECCN 9A004 is revised
to read as follows:
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
License Requirements Note: 9A004.b through .f are controlled
under ECCN 9A515.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Related Controls: (1) See also 9A104, 9A515, and 9B515. (2) See
ECCNs 9E001 (``development'') and 9E002 (``production'') for
technology for items controlled by this entry. (3) See USML
Categories IV for the space launch vehicles and XV for other
spacecraft that are ``subject to the ITAR'' (see 22 CFR parts 120
through 130).
Related Definition: N/A
Items:
a. Space launch vehicles;
b. ``Spacecraft'';
c. ``Spacecraft buses'';
d. ``Spacecraft payloads'' incorporating items specified by
3A001.b.1.a.4, 3A002.g, 5A001.a.1, 5A001.b.3, 5A002.c, 5A002.e,
6A002.a.1, 6A002.a.2, 6A002.b, 6A002.d, 6A003.b, 6A004.c, 6A004.e,
6A008.d, 6A008.e, 6A008.k, 6A008.l or 9A010.c;
e. On-board systems or equipment, specially designed for
``spacecraft'' and having any of the following functions:
e.1. `Command and telemetry data handling;';
Note: For the purpose of 9A004.e.1, `command and telemetry data
handling' includes bus data management, storage, and processing.
e.2. `Payload data handling;' or
Note: For the purpose of 9A004.e.2, `payload data handling'
includes payload data management, storage, and processing.
e.3. `Attitude and orbit control;';
Note: For the purpose of 9A004.e.3, `attitude and orbit
control' includes sensing and actuation to determine and control the
position and orientation of a ``spacecraft''.
N.B.: Equipment specially designed for military use is ``subject
to the ITAR''. See 22 CFR parts 120 through 130.
f. Terrestrial equipment specially designed for ``spacecraft'',
as follows:
f.1. Telemetry and telecommand equipment ``specially designed''
for any of the following data processing functions:
f.1.a. Telemetry data processing of frame synchronization and
error corrections, for monitoring of operational status (also known
as health and safe status) of the ``spacecraft bus''; or
f.1.b. Command data processing for formatting command data being
sent to the ``spacecraft'' to control the ``spacecraft bus'';
f.2. Simulators ``specially designed'' for `verification of
operational procedures' of ``spacecraft''.
Technical Note: For the purposes of 9A004.f.2, `verification of
operational procedures' is any of the following:
1. Command sequence confirmation;
2. Operational training;
3. Operational rehearsals; or
4. Operational analysis.
g. through t. [Reserved]
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).
w. The International Space Station being developed, launched,
and operated under the supervision of the U.S. National Aeronautics
and Space Administration.
x. ``Parts'', ``components'', ``accessories'' and
``attachments'' that are ``specially designed'' for the
International Space Station.
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)
of the EAR as warranting control in 9A004.y.
0
65. In supplement no. 1 to part 774, Category 9, ECCN 9D001 is revised
to read as follows:
9D001 ``Software'', not specified in 9D003 or 9D004, ``specially
designed'' or modified for the ``development'' of equipment or
``technology'' controlled by ECCN 9A001 to 9A004, 9A012, 9A101
(except for items in 9A101.b that are ``subject to the ITAR'', see
22 CFR part 121), 9A106.d. or .e, 9A110, or 9A120, 9B (except for
ECCNs 9B604, 9B610, 9B619, 9B990, and 9B991), or ECCN 9E003.
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to ``software'' for equipment NS Column 1
controlled by 9A001 to 9A004, 9A012,
9B001 to 9B010, and technology controlled
by 9E003.
MT applies to ``software'' for equipment MT Column 1
controlled by 9B116 for MT reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' or modified for the
``development'' of equipment or ``technology'', specified by ECCNs
9B001.b. or 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 9E003.h to
any of the destinations listed in
[[Page 53791]]
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: ``Software'' that is ``required'' for the
``development'' of items specified in ECCNs 9A005 to 9A011, 9A101.b
(except for items that are subject to the EAR), 9A103 to 9A105,
9A106.a, .b, and .c, 9A107 to 9A109, 9A110 (for items that are
``specially designed'' for use in missile systems and subsystems),
and 9A111 to 9A119 is ``subject to the ITAR''.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
66. In supplement no. 1 to part 774, Category 9, ECCN 9D002 is revised
to read as follows:
9D002 ``Software'', not specified in 9D003 or 9D004, ``specially
designed'' or modified for the ``production'' of equipment
controlled by ECCN 9A001 to 9A004, 9A012, 9A101 (except for items in
9A101.b that are ``subject to the ITAR'', see 22 CFR part 121),
9A106.d or .e, 9A110, or 9A120, 9B (except for ECCNs 9B604, 9B610,
9B619, 9B990, and 9B991).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to ``software'' for equipment NS Column 1
controlled by 9A001 to 9A004, 9A012,
9B001 to 9B010.
MT applies to ``software'' for equipment MT Column 1
controlled by 9B116 for MT reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' or modified for the
``production'' of equipment specified by 9B001.b to any of the
destinations listed in Country Group A:6 (See Supplement No.1 to
part 740 of the EAR).
List of Items Controlled
Related Controls: ``Software'' that is ``required'' for the
``production'' of items specified in ECCNs 9A005 to 9A011, 9A101.b
(except for items that are subject to the EAR), 9A103 to 9A105,
9A106.a, .b, and .c, 9A107 to 9A109, 9A110 (for items that are
``specially designed'' for use in missile systems and subsystems),
and 9A111 to 9A119 is ``subject to the ITAR''.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
67. In supplement no. 1 to part 774, Category 9, ECCN 9D004 is revised
to read as follows:
9D004 Other ``software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
software in 9D004.a and 9D004.c to any of the destinations listed in
Country Group A:6 (See Supplement No.1 to part 740 of the EAR)
List of Items Controlled
Related Controls: See also 9D104.
Related Definitions: N/A
Items:
a. 2D or 3D viscous ``software'', validated with wind tunnel or
flight test data required for detailed engine flow modelling;
b. ``Software'' for testing aero gas turbine engines,
assemblies, ``parts'' or ``components'', having all of the
following:
b.1. ``Specially designed'' for testing any of the following:
b.1.a. Aero gas turbine engines, assemblies or components,
incorporating ``technology'' specified by 9E003.a, 9E003.h or
9E003.i; or
b.1.b. Multi-stage compressors providing either bypass or core
flow, specially designed for aero gas turbine engines incorporating
``technology'' specified by 9E003.a or 9E003.h; and
b.2. ``Specially designed'' for all of the following:
a. Acquisition and processing of data, in real time; and
b. Feedback control of the test article or test conditions
(e.g., temperature, pressure, flow rate) while the test is in
progress;
Note: 9D004.b does not specify software for operation of the
test facility or operator safety (e.g., overspeed shutdown, fire
detection and suppression), or production, repair or maintenance
acceptance-testing limited to determining if the item has been
properly assembled or repaired.
c. ``Software'' ``specially designed'' to control directional
solidification or single crystal material growth in equipment
specified by 9B001.a or 9B001.c;
d. [Reserved]
e. ``Software'' ``specially designed'' or modified for the
operation of items specified by 9A012;
f. ``Software'' ``specially designed'' to design the internal
cooling passages of aero gas turbine engine blades, vanes and ``tip
shrouds'';
g. ``Software'' having all of the following:
g.1. ``Specially designed'' to predict aero thermal,
aeromechanical and combustion conditions in aero gas turbine
engines; and
g.2. Theoretical modeling predictions of the aero thermal,
aeromechanical and combustion conditions, which have been validated
with actual turbine engine (experimental or production) performance
data.
0
68. In supplement no. 1 to part 774, Category 9, ECCN 9E003 is revised
to read as follows:
9E003 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, SI, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 1
SI applies to 9E003.a.1 through a.8, .h, See Sec. 742.14 of the EAR
.i, and .k. for additional information.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for exports
under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 9E003.h to
any of the destinations listed in Country Group A:6 (See Supplement
No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Hot section ``technology'' specifically
designed, modified, or equipped for military uses or purposes, or
developed principally with U.S. Department of Defense funding, is
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2)
``Technology'' is subject to the EAR when actually applied to a
commercial ``aircraft'' engine program. Exporters may seek to
establish commercial application either on a case-by-case basis
through submission of documentation demonstrating application
[[Page 53792]]
to a commercial program in requesting an export license from the
Department Commerce in respect to a specific export, or in the case
of use for broad categories of ``aircraft'', engines, ``parts'' or
``components'', a commodity jurisdiction determination from the
Department of State.
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following gas turbine engine ``parts'',
``components'' or systems:
a.1. Gas turbine blades, vanes or ``tip shrouds'', made from
directionally solidified (DS) or single crystal (SC) alloys and
having (in the 001 Miller Index Direction) a stress-rupture life
exceeding 400 hours at 1,273 K (1,000 [deg]C) at a stress of 200
MPa, based on the average property values;
Technical Note: For the purposes of 9E003.a.1, stress-rupture
life testing is typically conducted on a test specimen.
a.2. Combustors having any of the following:
a.2.a. `Thermally decoupled liners' designed to operate at
`combustor exit temperature' exceeding 1,883K (1,610 [deg]C);
a.2.b. Non-metallic liners;
a.2.c. Non-metallic shells; or
a.2.d. Liners designed to operate at `combustor exit
temperature' exceeding 1,883K (1,610 [deg]C) and having holes that
meet the parameters specified by 9E003.c;
Note: The ``required'' ``technology'' for holes in 9E003.a.2 is
limited to the derivation of the geometry and location of the holes.
Technical Notes:
1. `Thermally decoupled liners' are liners that feature at least
a support structure designed to carry mechanical loads and a
combustion facing structure designed to protect the support
structure from the heat of combustion. The combustion facing
structure and support structure have independent thermal
displacement (mechanical displacement due to thermal load) with
respect to one another, i.e. they are thermally decoupled.
2. `Combustor exit temperature' is the bulk average gas path
total (stagnation) temperature between the combustor exit plane and
the leading edge of the turbine inlet guide vane (i.e., measured at
engine station T40 as defined in SAE ARP 755A) when the engine is
running in a ``steady state mode'' of operation at the certificated
maximum continuous operating temperature.
N.B.: See 9E003.c for ``technology'' ``required'' for
manufacturing cooling holes.
a.3. ``Parts'' or ``components'', that are any of the following:
a.3.a. Manufactured from organic ``composite'' materials
designed to operate above 588 K (315 [deg]C);
a.3.b. Manufactured from any of the following:
a.3.b.1. Metal ``matrix'' ``composites'' reinforced by any of
the following:
a.3.b.1.a. Materials controlled by 1C007;
a.3.b.1.b. ``Fibrous or filamentary materials'' specified by
1C010; or
a.3.b.1.c. Aluminides specified by 1C002.a; or
a.3.b.2. Ceramic ``matrix'' ``composites'' specified by 1C007;
or
a.3.c. Stators, vanes, blades, tip seals (shrouds), rotating
blings, rotating blisks or `splitter ducts,' that are all of the
following:
a.3.c.1. Not specified in 9E003.a.3.a;
a.3.c.2. Designed for compressors or fans; and
a.3.c.3. Manufactured from material controlled by 1C010.e with
resins controlled by 1C008;
Technical Note: A `splitter duct' performs the initial
separation of the air-mass flow between the bypass and core sections
of the engine.
a.4. Uncooled turbine blades, vanes or ``tip shrouds'' designed
to operate at a `gas path temperature' of 1,373 K (1,100 [deg]C) or
more;
a.5. Cooled turbine blades, vanes or ``tip-shrouds'', other than
those described in 9E003.a.1, designed to operate at a `gas path
temperature' of 1,693 K (1,420 [deg]C) or more;
Technical Note: `Gas path temperature' is the bulk average gas
path total (stagnation) temperature at the leading edge plane of the
turbine component when the engine is running in a ``steady state
mode'' of operation at the certificated or specified maximum
continuous operating temperature.
a.6. Airfoil-to-disk blade combinations using solid state
joining;
a.7. Gas turbine engine ``parts'' or ``components'' using
``diffusion bonding'' ``technology'' controlled by 2E003.b;
a.8. `Damage tolerant' gas turbine engine rotor ``parts'' or
``components'' using powder metallurgy materials controlled by
1C002.b; or
Technical Note: `Damage tolerant' ``parts'' and ``components''
are designed using methodology and substantiation to predict and
limit crack growth.
a.9. [Reserved]
N.B.: For ``FADEC systems'', see 9E003.h.
a.10. [Reserved]
N.B.: For adjustable flow path geometry, see 9E003.i.
a.11. Hollow fan blades;
b. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following:
b.1. Wind tunnel aero-models equipped with non-intrusive sensors
capable of transmitting data from the sensors to the data
acquisition system; or
b.2. ``Composite'' propeller blades or propfans, capable of
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
c. ``Technology'' ``required'' for manufacturing cooling holes,
in gas turbine engine ``parts'' or ``components'' incorporating any
of the ``technologies'' specified by 9E003.a.1, 9E003.a.2 or
9E003.a.5, and having any of the following:
c.1. Having all of the following:
c.1.a. Minimum `cross-sectional area' less than 0.45 mm\2\;
c.1.b. `Hole shape ratio' greater than 4.52; and
c.1.c. `Incidence angle' equal to or less than 25[deg]; or
c.2. Having all of the following:
c.2.a. Minimum `cross-sectional area' less than 0.12 mm\2\;
c.2.b. `Hole shape ratio' greater than 5.65; and
c.2.c. `Incidence angle' more than 25[deg];
Note: 9E003.c does not apply to ``technology'' for
manufacturing constant radius cylindrical holes that are straight
through and enter and exit on the external surfaces of the
component.
Technical Notes:
1. For the purposes of 9E003.c, the `cross-sectional area' is
the area of the hole in the plane perpendicular to the hole axis.
2. For the purposes of 9E003.c, `hole shape ratio' is the
nominal length of the axis of the hole divided by the square root of
its minimum `cross-sectional area.'
3. For the purposes of 9E003.c, `incidence angle' is the acute
angle measured between the plane tangential to the airfoil surface
and the hole axis at the point where the hole axis enters the
airfoil surface.
4. Methods for manufacturing holes in 9E003.c include ``laser''
beam machining, water jet machining, Electro-Chemical Machining
(ECM) or Electrical Discharge Machining (EDM).
d. ``Technology'' ``required'' for the ``development'' or
``production'' of helicopter power transfer systems or tilt rotor or
tilt wing ``aircraft'' power transfer systems;
e. ``Technology'' for the ``development'' or ``production'' of
reciprocating diesel engine ground vehicle propulsion systems having
all of the following:
e.1. `Box volume' of 1.2 m\3\ or less;
e.2. An overall power output of more than 750 kW based on 80/
1269/EEC, ISO 2534 or national equivalents; and
e.3. Power density of more than 700 kW/m\3\ of `box volume';
Technical Note: `Box volume' is the product of three
perpendicular dimensions measured in the following way:
Length: The length of the crankshaft from front flange to
flywheel face;
Width: The widest of any of the following:
a. The outside dimension from valve cover to valve cover;
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of any of the following:
a. The dimension of the crankshaft center-line to the top plane
of the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ``Technology'' ``required'' for the ``production'' of
``specially designed'' ``parts'' or ``components'' for high output
diesel engines, as follows:
f.1. ``Technology'' ``required'' for the ``production'' of
engine systems having all of the following ``parts'' and
``components'' employing ceramics materials controlled by 1C007:
f.1.a Cylinder liners;
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other ``part'' or ``component'' (including
exhaust ports, turbochargers, valve guides, valve assemblies or
insulated fuel injectors);
f.2. ``Technology'' ``required'' for the ``production'' of
turbocharger systems with single-stage compressors and having all of
the following:
[[Page 53793]]
f.2.a. Operating at pressure ratios of 4:1 or higher;
f.2.b. Mass flow in the range from 30 to 130 kg per minute; and
f.2.c. Variable flow area capability within the compressor or
turbine sections;
f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a ``specially designed'' multifuel (e.g.,
diesel or jet fuel) capability covering a viscosity range from
diesel fuel (2.5 cSt at 310.8 K (37.8[deg]C)) down to gasoline fuel
(0.5 cSt at 310.8 K (37.8[deg]C)) and having all of the following:
f.3.a. Injection amount in excess of 230 mm\3\ per injection per
cylinder; and
f.3.b. Electronic control features ``specially designed'' for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
g. ``Technology'' ``required'' for the development'' or
``production'' of `high output diesel engines' for solid, gas phase
or liquid film (or combinations thereof) cylinder wall lubrication
and permitting operation to temperatures exceeding 723 K (450
[deg]C), measured on the cylinder wall at the top limit of travel of
the top ring of the piston;
Technical Note: `High output diesel engines' are diesel engines
with a specified brake mean effective pressure of 1.8 MPa or more at
a speed of 2,300 rpm, provided the rated speed is 2,300 rpm or more.
h. ``Technology'' for gas turbine engine ``FADEC systems'' as
follows:
h.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' necessary for the
``FADEC system'' to regulate engine thrust or shaft power (e.g.,
feedback sensor time constants and accuracies, fuel valve slew
rate);
h.2. ``Development'' or ``production'' ``technology'' for
control and diagnostic ``parts'' or ``components'' unique to the
``FADEC system'' and used to regulate engine thrust or shaft power;
h.3. ``Development'' ``technology'' for the control law
algorithms, including ``source code'', unique to the ``FADEC
system'' and used to regulate engine thrust or shaft power;
Note: 9E003.h does not apply to technical data related to
engine-``aircraft'' integration required by civil aviation
authorities of one or more Wassenaar Arrangement Participating
States (See Supplement No. 1 to part 743 of the EAR) to be published
for general airline use (e.g., installation manuals, operating
instructions, instructions for continued airworthiness) or interface
functions (e.g., input/output processing, airframe thrust or shaft
power demand).
i. ``Technology'' for adjustable flow path systems designed to
maintain engine stability for gas generator turbines, fan or power
turbines, or propelling nozzles, as follows:
i.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' that maintain
engine stability;
i.2. ``Development'' or ``production'' ``technology'' for
``parts'' or ``components'' unique to the adjustable flow path
system and that maintain engine stability;
i.3. ``Development'' ``technology'' for the control law
algorithms, including ``source code'', unique to the adjustable flow
path system and that maintain engine stability;
Note: 9E003.i does not apply to ``technology'' for any of the
following:
a. Inlet guide vanes;
b. Variable pitch fans or prop-fans;
c. Variable compressor vanes;
d. Compressor bleed valves; or
e. Adjustable flow path geometry for reverse thrust.
j. ``Technology'' ``required'' for the ``development'' of wing-
folding systems designed for fixed-wing ``aircraft'' powered by gas
turbine engines.
N.B.: For ``technology'' ``required'' for the ``development'' of
wing-folding systems designed for fixed-wing ``aircraft'' specified
in USML Category VIII (a), see USML Category VIII (i).
k. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.8, a.10, and .h and used in the ``development'', ``production'',
or overhaul of hot section ``parts'' or ``components'' of civil
derivatives of military engines controlled on the U.S. Munitions
List.
0
69. In supplement no. 6 to part 774, paragraphs (1) and (2) are revised
to read as follows:
Supplement No. 6 to Part 774--Sensitive List
* * * * *
(1) Category 1
(i) 1A002.a.1.
(ii) 1C001.
(iii) 1C007.c.
(iv) 1C010.c and .d.
(v) 1C012.
(vi) 1D002--``Software'' for the ``development'' of organic
``matrix'', metal ``matrix'', or carbon ``matrix'' laminates or
composites controlled under 1A002, 1C007.c, 1C010.c or 1C010.d.
(vii) 1E001--``Technology'' according to the General Technology
Note for the ``development'' or ``production'' of equipment and
materials controlled under 1A002, 1C001, 1C007.c, 1C010.c, 1C010.d,
or 1C012.
(viii) 1E002.e and .f.
(2) Category 2
(i) 2D001--``Software'', other than that controlled by 2D002,
``specially designed'' for the ``development'' or ``production'' of
equipment as follows:
(A) Specified by 2B001.a, 2B001.b.1, or 2B001.b.2, and having a
``unidirectional positioning repeatability'' equal to or less
(better) than 0.9 [micro]m along one or more linear axis;
(B) Specified by 2B001.b.3, 2B001.d, 2B001.f or 2B003.
(ii) 2E001--``Technology'' according to the General Technology
Note for the ``development'' of equipment or ``software'', as
follows:
(A) Equipment specified by 2B001.a, 2B001.b.1 or 2B001.b.2, and
having a ``unidirectional positioning repeatability'' equal to or
less (better) than 0.9 [micro]m along one or more linear axis;
(B) Equipment specified by 2B001.b.3, 2B001.d, 2B001.f or 2B003.
(C) ``Software'' specified by 2D001 of this Supplement;
(iii) 2E002--``Technology'' according to the General Technology
Note for the ``production'' of equipment as follows:
(A) Specified by 2B001.a, 2B001.b.1, or 2B001.b.2, and having a
``unidirectional positioning repeatability'' equal to or less
(better) than 0.9 [micro]m along one or more linear axis;
(B) Specified by 2B001.b.3, 2B001.d, 2B001.f or 2B003.
* * * * *
0
70. Supplement no. 7 to part 774 is amended by:
0
a. Revising paragraph (1)(i); and
0
b. Removing the phrase ``user accessible programmability'' and adding
in its place ``user-accessible programmability'' in paragraphs (3)(iv)
and (vi).
The revision reads as follows:
Supplement No. 7 to Part 774--Very Sensitive List
* * * * *
(1) * * *
(i) 1A002.a.1.
* * * * *
Dated: October 4, 2018.
Richard E. Ashooh,
Assistant Secretary for Export Administration.
[FR Doc. 2018-22163 Filed 10-23-18; 8:45 am]
BILLING CODE 3510-33-P