7 September 2006
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[Federal Register: September 7, 2006 (Volume 71, Number 173)]
[Rules and Regulations]
[Page 52955-52979]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07se06-13]
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Part IV
Department of Commerce
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Bureau of Industry and Security
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15 CFR Parts 740, 743, 772 and 774
December 2005 Wassenaar Arrangement Plenary Agreement Implementation;
Final Rule
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 743, 772 and 774
[Docket No. 060807211-6211-01]
RIN 0694-AD 73
December 2005 Wassenaar Arrangement Plenary Agreement
Implementation: Categories 1, 2, 3, 5 Part I (Telecommunications), 5
Part II (Information Security), 6, 8, and 9 of the Commerce Control
List; Wassenaar Reporting Requirements; Definitions; and Certain New or
Expanded Export Controls
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
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SUMMARY: The Bureau of Industry and Security (BIS) maintains the
Commerce Control List (CCL), which identifies items subject to
Department of Commerce export controls. This final rule revises the
Export Administration Regulations (EAR) to implement changes made to
the Wassenaar Arrangement's List of Dual-Use Goods and Technologies
(Wassenaar List), and Statements of Understanding 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.) The Wassenaar Arrangement advocates
implementation of effective export controls on strategic items with the
objective of improving regional and international security and
stability. To accommodate the changes to the Wassenaar List, this rule
revises the EAR by amending certain entries that are controlled for
national security reasons in Categories 1, 2, 3, 5 Part I
(Telecommunications), 5 Part II (Information Security), 6, 8, and 9,
and by amending the EAR Definitions.
The purpose of this final rule is to make the necessary changes to
the CCL, definitions of terms used in the EAR, and Wassenaar reporting
requirements to implement Wassenaar List revisions that were agreed
upon in the December 2005 Wassenaar Arrangement Plenary Meeting. In
addition, this rule adds Croatia, Estonia, Latvia, Lithuania, South
Africa, and Malta to the list of Wassenaar participating states in the
EAR, which brings the total number of participating states to 40.
This rule also adds or expands unilateral U.S. controls and
national security controls on certain items to make them consistent
with the amendments made to implement the Wassenaar Arrangement's
decisions.
DATES: Effective Date: This rule is effective September 7, 2006.
FOR FURTHER INFORMATION CONTACT: For questions of a general nature
contact Sharron Cook, Office of Exporter Services, Bureau of Industry
and Security, U.S. Department of Commerce at (202) 482-2440 or E-Mail:
scook@bis.doc.gov.
For questions of a technical nature contact:
Category 1: Bob Teer 202-482-4749.
Category 2: George Loh 202-482-3570.
Category 3: Brian Baker 202-482-5534.
Category 5 Part 1: Joe Young 202-482-4197.
Category 5 Part 2: Joe Young 202-482-4197.
Category 6: Chris Costanzo 202-482-0718.
Categories 7 and 8: Dan Squire 202-482-3710.
Categories 8 and 9: Gene Christensen 202-482-2984.
Comments regarding the collections of information associated with
this rule, including suggestions for reducing the burden, should be
sent to OMB Desk Officer, New Executive Office Building, Washington, DC
20503--Attention: David Rostker; and to the Office of Administration,
Bureau of Industry and Security, Department of Commerce, 14th and
Pennsylvania Avenue, NW., Room 6883, Washington, DC 20230.
SUPPLEMENTARY INFORMATION:
Background
In July 1996, the United States and thirty-three other countries
gave final approval to the establishment of a new multilateral export
control arrangement, called the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies
(Wassenaar Arrangement or WA). The Wassenaar Arrangement contributes to
regional and international security and stability by promoting
transparency and greater responsibility in transfers of conventional
arms and dual-use goods and technologies, thus preventing destabilizing
accumulations of such items. Participating states have committed to
exchange information on exports of dual-use goods and technologies to
non-participating states for the purposes of enhancing transparency and
assisting in developing common understandings of the risks associated
with the transfers of these items.
Addition of Croatia, Estonia, Latvia, Lithuania, Malta, and South
Africa
In April-June 2005, consultations resulted in decisions to admit
Croatia, Estonia, Latvia, Lithuania and Malta to the Wassenaar
Arrangement as new Participating States, and in December 2005 at the
Plenary meeting, South Africa was added as a new Participating State.
To reflect this change, this rule adds Croatia, Estonia, Latvia,
Lithuania, Malta, and South Africa to the list of Wassenaar Arrangement
Participating States in Supplement No. 1 to Part 743 of the EAR.
Expansion or New Export Controls
New or expanded anti-terrorism (AT) controls imposed by this rule.
This rule imposes a unilateral U.S. license requirement to export and
reexport commodities (and related software and technology) controlled
under ECCNs 1E998, 2B006.b.1.d, 2D001, 2E001, 2E002, 2E201, 5A001.f,
5A002.a.9, 5D001, 5D002 , 5E001, 5E002, 6A006.b, 6D003.f, 6E003.f,
9A012.b, 9B010, 9E001, 9E003.a.11 for AT reasons to Cuba, Iran, North
Korea, Sudan and Syria, in addition to the national security controls
imposed to implement the Wassenaar Arrangement's decisions, because
under Section 6(j) of the Export Administration Act of 1979 a license
is required for items that could make a significant contribution to the
military potential of such country or could enhance the ability of such
country to support acts of international terrorism. There is a general
policy of denial for applications to terrorism supporting countries, as
set forth in Part 742 of the EAR. In addition, certain of these
countries are also subject to embargoes, as set forth in Part 746 of
the EAR and Supplement No. 1 to Part 736 of the EAR for Syria. A
license is also required for the export and reexport of these items to
specially designated terrorists and foreign terrorist organizations, as
set forth in Part 744 of the EAR; license applications to these parties
are reviewed under a general policy of denial.
New or expanded significant items (SI) controls imposed by this
rule. Through the adoption of revisions by WA, this rule imposes
foreign policy controls pursuant to section 6 of the Export
Administration Act of 1979, as amended to export and reexport
technology required for the development, production or overhaul of
commercial aircraft engines controlled under ECCN 9E003.a.11 for SI
reasons to all countries, except Canada, in addition to the national
security controls imposed to implement the Wassenaar
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Arrangement's decisions. Applications to export and reexport this
technology will be reviewed on a case-by-case basis to determine
whether the export or reexport is consistent with U.S. national
security and foreign policy interests. For designated terrorism-
supporting countries or embargoed countries, the applicable licensing
policies are found in Parts 742 and 746 of the EAR, and Supplement No.
1 to Part 736 of the EAR for Syria.
New or expanded NS Column 2 controls imposed by this rule. This
rule imposes a license requirement under section 742.4(a) of the EAR
for exports and reexports of commodities (and related software and
technology) described in ECCNs 2B006.b.1.d, 5A001.f, 6A006.b, to
destinations that are not Country Group A:1 destinations, or that are
not cooperating countries (see Supplement No. 1 to Part 740 of the
EAR). These destinations have an ``X'' indicated in NS column 2 on the
Commerce Country Chart of Supplement No. 1 to Part 738 of the EAR. The
purpose of the controls is to ensure that these items do not make a
contribution to the military potential of such destination countries
that would prove detrimental to the national security of the United
States. For designated terrorism-supporting countries or embargoed
countries, the applicable licensing policies are found in Parts 742 and
746 of the EAR, and Supplement No. 1 to Part 736 of the EAR for Syria.
New or expanded NS Column 1 controls imposed by this rule. This
rule imposes a license requirement under section 742.4(a) of the EAR
for exports and reexports to all destinations, except Canada, of
commodities (and related software and technology) described in ECCNs
2D001, 2E001, 2E002, 5A002.a.9, 5D002, 5E002, 6D003.f, 6E003.f,
9A012.b, 9B010, 9D001 and 9D002 (only software for the development and
production of equipment classified under ECCN 9B010), 9E001 (only
technology for the development of equipment under ECCNs 9A012 and
9B010), and 9E003.a.11. These destinations have an ``X'' indicated in
NS column 1 on the Commerce Country Chart of Supplement No. 1 to Part
738. The purpose of the controls is to ensure that these items do not
make a contribution to the military potential of any other country or
combination of countries that would prove detrimental to the national
security of the United States. For designated terrorism-supporting
countries or embargoed countries, the applicable licensing policies are
found in Parts 742 and 746 of the EAR, and Supplement No. 1 to Part 736
of the EAR for Syria.
The licensing policy for national security controlled items
exported or reexported to any country except a country in Country Group
D:1 (see Supplement No. 1 to Part 740 of the EAR) is to approve license
applications unless there is a significant risk that the items will be
diverted to a country in Country Group D:1. The general policy for
exports and reexport of items to Country Group D:1 is to approve
license applications when BIS determines, on a case-by-case basis, that
the items are for civilian use or would otherwise not make a
significant contribution to the military potential of the country of
destination that would prove detrimental to the national security of
the United States.
Revisions to the Commerce Control List
This rule revises a number of entries on the Commerce Control List
(CCL) to implement the December 2005 agreed revisions to the Wassenaar
List of Dual-Use Goods and Technologies. This rule also revises
language to provide a complete or more accurate description of
controls. A description of the specific amendments to the CCL pursuant
to the December 2005 Wassenaar Agreement is provided below. The ECCNS
affected, as described below, are 1C008, 1C998, 1E001, 1E998, 2B002,
2B006, 2E201, 3A001, 3B001, 3B991, 3E001, 5A001, 5A002, 5A991, 5D001,
5D991, 6A006, 6D003, 6E003, 8A002, 9A001, 9A012, 9B010 (New), 9D001,
9D002, 9D004, 9E001, 9E002, and 9E003.
Category 1--Materials, Chemicals, ``Microorganisms,'' and Toxins
ECCN 1C008 is amended by removing and reserving 1C008.c.1, because
foreign availability has been proven, and continued national security
control cannot be justified any longer.
ECCN 1C998 is added to continue antiterrorism (AT) controls on
polyether ether ketone (PEEK), which was removed from 1C008.c.1.
Therefore, the materials no longer controlled under ECCN 1C008 continue
to be controlled for AT reasons under ECCN 1C998 for exports and
reexports to designated terrorism-supporting countries, as set forth in
Parts 742 and 746 of the EAR, and as indicated in AT Column 1 of the
Commerce Country Chart in Supplement No. 1 to Part 738 of the EAR.
ECCN 1E001 is amended by revising the heading to exclude control of
development and production technology for ECCNs 1B999, 1C995, 1C996,
1C997, 1C998, and 1C999, because none of these technologies are
controlled on the Wassenaar List of Dual-Use Goods and Technologies.
Note: This rule adds technology for commodities controlled by
ECCNs 1B999, 1C995, 1C996, 1C997, and 1C999 to ECCN 1E998, which is
controlled for antiterrorism reasons (AT:1).
ECCN 1E998 is added to maintain AT controls on technology for the
development or production of materials that were controlled under
1C008.c.1 and are now controlled by ECCN 1C998. In addition, references
to ECCNs 1B999, 1C995, 1C996, 1C997, and 1C999 have been moved from
ECCN 1E001 to ECCN 1E998 to maintain AT controls on technology for the
development or production of processing equipment and materials
described in these ECCNs.
Category 2--Materials Processing
ECCN 2B002 is amended by adding to the heading ``(see List of Items
Controlled),'' and adding parameters for control of numerically
controlled machine tools using a Magnetorheological finishing (MRF)
process.
Note: MRF tools are mostly used for optical components;
therefore optical parameters were selected to describe the
capability of the machines. One set of such parameters are form and
finish; form referring to the shape of the optic and finish to the
surface roughness. A form value describes how close the actual shape
of the optic is to the design and finish value describes how smooth
the surface is. MRF tools, such as interferometers and profilers are
typically used to measure form, while profilometers and
scatterometers are used to measure finish.
ECCN 2B006 is amended by:
a. Revising the NP paragraph in the License Requirements section,
to except 2B006.b.1.d from NP controls because electronic assemblies do
not appear under the Nuclear Suppliers Group Annex item 1.B.3;
b. Adding paragraph 2B006.b.1.d to control electronic assemblies
specially designed to provide feedback capability in systems controlled
by 2B006.b.1.c; and
c. Revising the Note to 2B006.b.1.
Note: The combination of control and decontrol lead to the
possibility of an ineffective control. These revisions together will
enhance the effectiveness of control by explicitly controlling
certain specially designed components. Equipment under 2B006 is
controlled for national security reasons (NS:2), nuclear
nonproliferation reasons (NP:1), and antiterrorism reasons (AT:1);
Related software for the development, production, or use of 2B006
commodities is controlled for national security reasons (NS:1) and
antiterrorism reasons (AT:1) under ECCN 2D001; related technology
for the development or production of 2B006
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commodities is controlled for national security reasons (NS:1) and
antiterrorism reasons (AT:1) under ECCNs 2E001 and 2E002
respectively; related technology for the use of 2B006 commodities is
controlled for nuclear proliferation reasons (NP:1) and
antiterrorism reasons (AT:1) under ECCN 2E201.
ECCN 2E201 is amended by:
a. Revising the heading to remove ECCN 2B008, because no
international export control regime has controlled ``use'' technology
for this ECCN;
b. Adding to the end of the heading the phrase ``for NP reasons''
to assure that ECCN 2E201 only controls use technology for NP
controlled portions of the ECCNs listed in the heading; and
c. Revising the NP paragraph in the License Requirements section to
remove the reference to 2B008.
Category 3--Electronics
ECCN 3A001 is amended by:
a. Revising the CIV paragraph in the License Exception section by
replacing reference to 3A001.a.3.b with 3A001.a.3, because this rule
moves 3A001.a.3.b to 3A001.a.3; and removing the reference to
3A001.a.3.c, because this rule deletes this paragraph.
b. Removing 3A001.a.3.c (interconnects), because they cannot be
effectively controlled, as they are now integrated into mass market
products.
c. Incorporating 3A001.a.3.b into 3A001.a.3 to revise the format of
3A001.a.3.
d. Revising the Note 2 to 3A001.b.2 to avoid incorrect
interpretation that it is only relevant if the device spans more than
one entire range.
e. Adding the word ``Discrete'' before 3A001.b.3, which reads
``Microwave transistors having any of the following:'' to add
clarification.
f. Revising the Note to 3A001.b.3 (Microwave transistors) to add
clarification and avoid misinterpretation.
g. Revising the operation frequency for microwave sold state
amplifiers and microwave assemblies/modules containing microwave
amplifiers from ``3 GHz'' to ``3.2 GHz'' in 3A001.b.4.f. This change
was made for consistency with the parameter in 3A001.b.2.a (MMIC
amplifiers), 3A001.b.3.a (transistors) and 3A001.b.4.a (solid state
amplifiers).
h. Revising Note 2 to 3A001.b.4 to avoid incorrect interpretation
that it is only relevant if the device spans more than one entire
range.
i. Adding a Technical Note to 3A001.b.4.f.3 to eliminate ambiguity
in the case of amplifiers having performance both above and below the
frequency threshold.
ECCN 3A991 is amended by:
a. Revising 3A991.c, because the rule entitled, ``December 2004
Wassenaar Arrangement Plenary Agreement Implementation: Categories 1,
2, 3, 4, 5 Part I (telecommunications), 6, 7, 8, and 9 of the Commerce
Control List; Wassenaar Reporting Requirements; Definitions; and
Certain New or Expanded Export Controls'' that was published in the
Federal Register on July 15, 2005 (70 FR 41094) modified the 3A001.a.5
entry for analog-to-digital converters by revising the total conversion
time in ns to output rate in million words per second, however, the
3A991.c entry was not appropriately adjusted to conform with this
revision. Therefore, this rule revises the output rate to millions of
words per second in 3A991.c.
b. Removing 3A991.j.2 (rechargeable cells and batteries) because it
was erroneously created, and is a duplicate entry to 3A001.e.1.b.
Because of this removal, paragraph 3A991.j.1 will become 3A991.j to
conform with the structure format of the CCL.
ECCN 3B001 is amended by:
a. Removing 3B001.a.1.a, because certain EPI tools are not a
critical technology in the semiconductor manufacturing process and are
not a key enabler in the production of semiconductors.
b. Revising the formula for minimum resolvable feature size in the
technical note following 3B001.f.1.b by replacing the ``Fm'' with
``nm'' to conform with the corresponding entry in the Wassenaar
Arrangement's List of Dual-Use Goods and Technologies.
Note: For equipment no longer controlled under ECCN 3B001.a.1.a,
related software controlled under 3D001 and 3D002, and related
technology controlled under 3E001, there remains a license
requirement under ECCNs 3B991.b.1.d.1, 3D991, and 3E991,
respectively, for exports and reexports to designated terrorism-
supporting countries, as set forth in Parts 742 and 746 of the EAR
and as indicated in AT Column 1 of the Commerce Country Chart.
ECCN 3B991 is amended by:
a. Revising the ``unit'' paragraph in the List of Items Controlled
section to provide instructions to input dollar value in the unit block
on a license application for components and accessories;
b. Redesignating paragraphs 3B991.b.1.d.1 and 3B991.b.1.d.2 as
3B991.b.1.d.2 and 3B991.b.1.d.3 respectively;
c. Adding a new paragraph 3B991.b.1.d.1 to maintain AT controls for
stored program controlled equipment for epitaxial growth capable of
producing a silicon layer with a thickness uniform to less than 2.5%
across a distance of 200 mm or more (previously controlled under ECCN
3B001.a.1.a).
ECCN 3E001 is amended by:
a. Removing the text in the CIV paragraph of the License Exception
section and replacing it with ``N/A'', as it is no longer necessary
because of the agreed upon deletions in 3A001 by the Wassenaar
Arrangement; and
b. Revising the heading to add exceptions from this technology
control over commodities in ECCN 3C992, because this technology is not
controlled on the Wassenaar List of Dual-Use Goods and Technologies.
Note: This rule adds ECCN 3C992 to the heading of ECCN 3E991 to
maintain antiterrorism (AT:1) controls on the technology for the
development , production or use of commodities described in ECCN
3C992.
Note: The equipment no longer controlled under ECCNs 3A001.a.3.c
and 3B001.a.1.a, related software under ECCNs 3D001 and 3D002, and
related technology under ECCNs 3E001 continues to be controlled for
antiterrorism reasons under ECCNs 3A991.a.3, 3B991.b.1.d.1, 3D991,
and 3E991 respectively, for exports and reexports to designated
terrorism-supporting countries, as set forth in Parts 742 and 746 of
the EAR and as indicated in AT Column 1 of the Commerce Country
Chart. Also note, that technology for the development and production
of microprocessor microcircuits, micro computer microcircuits and
microcontroller microcircuits having a composite theoretical
performance (CTP) of 530 MTOPS or more and an arithmetic logic unit
with an access width of 32 bits or more continue to be controlled
for national security reasons under ECCN 3E002.
ECCN 3E991 is amended by revising the heading to add technology
controls for development, production, or use of specific processing
equipment described in 3A991, and materials controlled by 3C992
(positive resists designed for semiconductor lithography * * *),
because this technology warrants anti-terrorism (AT) controls.
Category 5--Part I--Telecommunications
ECCN 5A001 is amended by:
a. Adding the phrase ``, as follows (see List of Items
Controlled)'' to the heading.
b. Revising the License Requirements section to reflect that there
is a license requirement for jamming equipment described in newly added
paragraph 5A001.f to countries that have an ``X'' in NS Column 2 of the
Commerce Country Chart in Supplement No.1 of Part 738.
Note: 5A001.f is eligible for License Exceptions LVS, GBS, and
CIV, if the criteria
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in Part 740 of the EAR for the license exception authorizing the
export or reexport has been met and none of the license exception
restrictions of Sec. 740.2 apply to the transaction.
Note: Related software for the development, production, or use
of this equipment is controlled for national security reasons (NS:1)
and antiterrorism reasons (AT:1) under ECCN 5D001, and related
technology for the development, production, or use of this equipment
is controlled for national security reasons (NS:1) and antiterrorism
reasons (AT:1) under ECCN 5E001.
c. Adding ``or antennae'' to the Unit paragraph of the List of
Items Controlled section.
d. Revising the second note following 5A001.a.3 to add the phrase
``designed or modified for use'' to conform with the corresponding
entry in the Wassenaar Arrangement's List of Dual-Use Goods and
Technologies.
e. Adding the phrase ``not controlled in 5A001.b.4'' to 5A001.b.3
to avoid overlapping controls with the new parameters in 5A001.b.4.
f. Revising 5A001.b.4 (radio equipment employing ultra-wideband
modulation techniques) so that it would be independent of the
modulation technique employed in ultra-wideband (UWB) (i.e., not
limited to ``time modulation'' (TM)). Today, in addition to TM-UWB,
Direct Sequence-Spread Spectrum (DS-SS) and Multi-Band Orthogonal
Frequency Division Multiplex (MB-OFDM) have appeared as different
modulation techniques for UWB. Because of the emergence of DS-SS and
MB-OFDM, the previously standing text of 5A001.b.4 and 5A002.a.6, were
limited to TM-UWB, which created a loophole.
g. Adding a Technical Note 2 for 5A001.b.6, because the bandwidth
of audio-coding (20-22,000 Hz) overlaps the bandwidth of voice-coding
(300-3,400 Hz), and the scope of control in the context of 5A001.b.6 is
only adopted to ``voice coding.'' It is necessary to clearly indicate
that ``voice coding'' controlled in 5A001.b.6 is a voice-coding
technique that uses voice-coding algorithms that are based on peculiar
human voice characteristics.
h. Adding a descriptor ``Radio'' to make it ``Radio direction
finding equipment'' in 5A001.e; changing the ``Instantaneous
bandwidth'' from ``1 MHz or more'' to ``10 MHz or more'' in 5A001.e.1;
and replacing the parallel processing parameter with the capability to
find a line of bearing (LOB) to non-cooperating radio transmitters with
a signal duration of less than 1 ms in 5A001.e.3.
Note: In 2004, the Wassenaar Expert's Group determined that ECCN
7A007 was not navigation or avionics equipment and belonged instead
in Category 5 Part 1; it was determined that the equipment
controlled by that ECCN should be placed in a revised paragraph
5A001.e. In the course of the discussion, it was also found that the
level of the ECCN 7A007 control was set so high as to not control
systems of potential concern. In addition, the ECCN 7A007 control
text is technology-specific.
Previously, the text in 5A001.e was found to only control one
specific, highly-advanced system. The revised text of ECCN 5A001.e
is written in an effort to set forth provisions that control systems
of concern and support a level playing field in the global
marketplace. Advanced DF systems, which can direction-find against
short-duration signals and frequency-hopping radios are of
particular concern because they can be used by military forces of
countries of concern to locate and target advanced tactical
communications equipment.
Because the system accuracy of a direction finder is directly
related to the antenna geometry of the direction finder, and thus
does not imply a high degree of know-how, this revision is based on
the control parameter ``Instantaneous bandwidth'', which is the
decisive factor for direction finding against frequency-hopping
radios and signals of the short duration type.
i. Adding paragraph 5A001.f to control sophisticated cellular phone
jamming equipment. Equipment of this type is capable of selectively
jamming cellular phone communications, which can pose a national
security threat.
ECCN 5A991 is amended by:
a. Adding the definition of `Asynchronous transfer mode' (`ATM') to
the related definitions paragraph of the List of Items Controlled
section; and
b. Replacing the double quotes with single quotes around the term
`Asynchronous transfer mode' (`ATM') in paragraph 5A991.c.12, to
signify that the definition is found in the related definitions section
of 5A991 and no longer in Part 772 of the EAR.
ECCN 5D001 is amended by:
a. Moving 5D001.c.1 into 5D001.c;
b. Deleting the reserved paragraph 5D001.c.2; and
c. Removing 5D001.c.3, because consensus was reached to delete
5D001c3 controlling the source code specially designed for dynamic
adaptive routing. This technology has become widely available due to
the recent expansion of packet telecommunication networks, such as the
internet.
Note: The software removed from ECCN 5D001.c.3, and related
technology under ECCN 5E001 continue to be controlled for
antiterrorism (AT:1) reasons under ECCNs 5D991 and 5E991
respectively, for exports and reexports to designated terrorism-
supporting countries, as set forth in Parts 742 and 746 of the EAR
and as indicated in AT Column 1 of the Commerce Country Chart.
ECCN 5D991 is amended by revising the heading and the ``items''
paragraph in the List of Items Controlled section to add reference to
the software removed from 5D001.c.3 (``Software'', other than in
machine-executable form, specially designed for ``dynamic adaptive
routing'').
Category 5--Part 2--Information Security
ECCN 5A002 is amended by:
a. Adding a sentence to the ``Related Controls'' paragraph of the
List of Items Controlled section to note that 5A002 does not control
commodities eligible for the Cryptography Note (Category 5 Part 2 Note
3).
b. Adding the phrase ``not controlled in 5A002.a.6.'' to 5A002.a.5
to avoid overlapping controls with the new parameters in 5A002.a.6.
c. Adding new control parameters to 5A002.a.6, including adding
networked identification code to the type of codes that could be
generated using cryptographic techniques. Also adding control
characteristics for systems using ultra-wideband modulation techniques,
i.e., A bandwidth exceeding 500 MHz; or a ``fractional bandwidth'' of
20% or more.
Note: Following WA agreement reached on revised text for
5A001.b.3 and 5A001.b.4 in Category 5 Part 1, to control new ultra
wideband techniques that had appeared on the market, agreement was
reached by WA on consequential changes in 5A002.a.5 & 5A002.a.6.in
Category 5 Part 2.
d. Adding paragraph 5A002.a.9 to add controls for quantum
cryptography because it represents advancement in cryptography that can
improve information security in two important ways: (1) It may be used
in conjunction with digital cryptography to securely distribute shared
keys for a digital symmetric algorithm and (2) it may make for a fast
and highly secure ``one-time-pad'' cipher. A Technical Note that
describes quantum cryptography is also added to this paragraph.
Note: This equipment under ECCN 5A002.a.9 is controlled for
encryption items (EI) reasons, national security reasons (NS:1) and
antiterrorism reasons (AT:1). Related software for the development,
production, and use of this equipment is controlled for encryption
items (EI) reasons, national security reasons (NS:1), and
antiterrorism reasons (AT:1) under ECCN 5D002; related technology
for the development, production, and use of this equipment is
controlled for encryption items (EI) reasons, national security
reasons (NS:1), and antiterrorism reasons (AT:1) under ECCN 5E002.
e. Adding a new paragraph c.4 to the Note at the top of the items
paragraph in the List of Items Controlled section of
[[Page 52960]]
5A002 to clarify that model-based simulation software that is specially
designed and limited to protect libraries, design attributes, or
associated data for the design of semiconductor devices or integrated
circuits, is not controlled under the corresponding software entry ECCN
5D002. The Note describes software for which the underlying encryption
functionality is for specific purposes such as protection of
intellectual property, and the underlying encryption functionality
(including the protected libraries, design attributes or associated
data) is not directly accessible to the end-user.
f. Moving an existing nota bene (``NB'') so that it immediately
follows the text of Note d to ECCN 5A002, to conform with the
corresponding entry in the Wassenaar Arrangement's List of Dual-Use
Goods and Technologies.
Category 6--Sensors
ECCN 6A006 is amended by:
a. Revising the heading to add newly controlled ``underwater
electric field sensors;''
b. Revising ``6A006.c'' to read ``6A006.d'' in the LVS paragraph in
the License Exceptions section, because magnetic compensation systems,
as well as compensation systems for underwater electric field sensors
are now controlled under 6A006.d;
c. Revising the ``Related Controls'' paragraph in the List of Items
Controlled section to add an exemption from control for instruments
controlled by 6A006 that are used for ``fishery applications,'' such as
research on fish reproduction.
d. Redesignating 6A006.b (magnetic gradiometers) as 6A006.c;
e. Adding a new paragraph 6A006.b to control Underwater Electric
Field Sensors, because they now have civil applications, such as
underwater exploration, salvage, and biological and medical sciences,
and no longer are strictly used in military applications, such as
detection of submarines and underwater mines.
ECCN 6D003 is amended by:
a. Revising 6D003.f from reading ``Magnetometers.'' to read
``Magnetic and Electric Field Sensors'' in conformance with new
paragraph 6A006.b.
b. Revising 6D003.f.1 and 6D003.f.2 by adding ``and electric
field'' in conformance with new paragraph 6A006.b.
ECCN 6E003 is amended by revising the title of 6E003.f from
``Magnetometers'' to read ``Magnetic and Electric Field Sensors.''
Note: Equipment under 6A006 is controlled for national security
reasons (NS:2) and antiterrorism reasons (AT:1); Related software
for magnetic and electric field sensors is controlled for national
security reasons (NS:1) and antiterrorism reasons (AT:1) under ECCN
6D003; and related technology for magnetic and electric field
sensors is controlled for national security reasons (NS:1) and
antiterrorism reasons (AT:1) under ECCN 6E003.
Category 8--Marine
ECCN 8A002 is amended by adding a decontrol note in 8A002.f for
digital cameras specially designed for consumer purposes, other than
those employing electronic image multiplication techniques. This note
was added because of the foreign availability of digital cameras.
Category 9--Propulsion Systems, Space Vehicles and Related Equipment
ECCN 9A001 is amended by:
a. Revising the ``unit'' paragraph in the List of Items Controlled
section to read ``number'' instead of ``Equipment in number; parts and
accessories in $ value.''
b. Revising paragraph 2 in the Note to 9A001.a, because it was
discovered that the International Civil Aviation Organization (ICAO)
issues a document equivalent to a civil Type Certificate that the
participating members of Wassenaar found acceptable for export control
purposes. Reference to that document has been added to paragraph 2.a
within the Note to 9A001.a. The approval of the design of certain types
of aircraft, engines and propellers is signified by the issue of a Type
Certificate. In general there will be a Type Certificate Data Sheet
(TCDS) associated with each Type Certificate issued. The TCDS records
the basis of certification, the designation of each approved variant
and general information concerning the design.
ECCN 9A012 is amended by:
a. Revising the heading to add double quotes around the term
``unmanned aerial vehicles'' to indicate that this is a term now
defined in Part 772. Also, adding the abbreviation ``UAV'' to the
heading.
b. Revising the heading to add associated systems, equipment, and
components, because Wassenaar has agreed to expand this ECCN entry. It
was determined that it would be prudent for the control of conventional
arms to place export controls on the associated systems, equipment, and
components used for remote controlling or guidance of the UAV or to
convert a manned aircraft to an UAV.
c. Revising the Related Controls paragraph of the List of Items
Controlled section to add a reference to section 744.3 ``Restrictions
on Certain Rocket Systems (including ballistic missile systems and
space launch vehicles and sounding rockets) and Unmanned Air Vehicles
(including cruise missile systems, target drones and reconnaissance
drones) End-Uses.''
d. Redesignating paragraphs 9A012.a and 9A012.b as 9A012.a.1 and
9A012.a.2.
e. Adding a new paragraph 9A012.b for associated systems, equipment
and components.
Note: Related software for the development and production of
equipment controlled under ECCN 9A012 is controlled for national
security reasons (NS:1) and antiterrorism reasons (AT:1) under ECCN
9D001 and 9D002 respectively; software specially designed or
modified for the ``use'' of full authority digital electronic engine
controls (FADEC) for propulsion systems controlled by 9A012 is
controlled for antiterrorism reasons (AT:1) under ECCN 9D003; and
related technology for the development of this equipment is
controlled for national security reasons (NS:1) and antiterrorism
reasons (AT:1) under ECCN 9E001.
ECCN 9B010 is added to control ``equipment specially designed for
the production of ``UAVs'' and associated systems, equipment and
components controlled by 9A012.''
The Participating States of the Wassenaar Arrangement agreed to
control equipment, software and technology for the conversion of
aircraft for UAV operation, because of attempts by countries of concern
to acquire such conversion capability for conventional arms and
terrorism purposes.
Note: Equipment under 9B010 is controlled for national security
reasons (NS:1) and antiterrorism reasons (AT:1); Related software
for the development and production of this equipment is controlled
for national security reasons (NS:1) and antiterrorism reasons
(AT:1) under ECCN 9D001 and 9D002 respectively; software specially
designed or modified for the ``use'' of full authority digital
electronic engine controls (FADEC) for propulsion systems controlled
by 9B010 is controlled for antiterrorism reasons (AT:1) under ECCN
9D003; and related technology for the development and production of
this equipment is controlled for national security reasons (NS:1)
and antiterrorism reasons (AT:1) under ECCN 9E001 and 9E002
respectively.
ECCNs 9D001 and 9D002 have been amended by revising the License
Requirement section in each to add ECCN 9B010 to the NS paragraph.
ECCN 9D004 is amended by adding a new paragraph 9D004.e to control
``software'' specially designed or modified for the ``use'' of ``UAVs''
and associated systems, equipment and components controlled by 9A012.
ECCN 9E001 has been amended by:
[[Page 52961]]
a. Revising the heading to include 9A012; and
b. Adding 9A012 and 9B010 to the NS paragraph in the License
Requirement section.
ECCN 9E002 is amended by removing the License Requirement Note that
refers to Wassenaar reporting requirements in section 743.1 of the EAR,
because this ECCN is not eligible for License Exceptions GBS, CIV, TSR,
LVS, CTP, or GOV and therefore does not require Wassenaar reporting.
ECCN 9E003 is amended by revising 9E003.a.11 to remove the
qualifiers, (i.e., ``wide chord'' and ``without part-span support''),
so that ``technology'' ``required'' for the ``development'' or
``production'' of all types of hollow fan blades for gas turbine
engines are controlled for NS:1, SI, and AT:1 reasons. The advantage of
using this type of blade is weight saving, stress reduction and an
element of foreign object damage protection.
Section 740.11 and Supplement No. 1 to Section 740.11--License
Exception GOV
This rule amends section 740.11 (a)(2)(vi)(G) to add 9A011 as it
relates to ECCN 9D001 software, and to add a new paragraph
(a)(2)(vi)(H) to cover software controlled by ECCN 9D002, specially
designed or modified for the ``production'' of equipment controlled by
ECCN 9A011. These items may not be exported or reexported for official
international safeguard use by the International Atomic Energy Agency
(IAEA) and the European Atomic Energy Community (EURATOM) under License
Exception GOV to destinations other than Austria, Belgium, Canada,
Denmark, Finland, France, Germany, Greece, Ireland, Italy, Luxembourg,
the Netherlands, Portugal, Spain, Sweden, and the United Kingdom.
Supplement No. 1 to section 740.11 is amended to:
a. Add 6D001 (specially designed for the ``production'' or
``development'' of equipment in 6A008.1.3 or 6B008) and 6D003.a to
paragraphs (a)(1)(vii)(D) and (b)(1)(vii)(D), which relate to 6E001
technology;
b. Add ECCN 9A011 to (a)(1)(vi)(G) that relates to 9D001 software;
c. Add a new paragraph (a)(1)(vi)(H) to cover software controlled
by ECCN 9D002, specially designed or modified for the ``production'' of
equipment controlled by ECCN 9A011;
d. Add to paragraph (a)(1)(vii)(G) 9A011, 9D001 and 9D002 as they
relate to the development and production of 9A011, and as they relate
to ECCN 9E001; and
e. Add a new paragraph (a)(1)(vii)(H) to cover technology
controlled by ECCN 9E002 for the production of equipment in 9A011.
Therefore, 6E001 technology for the development of software in
ECCNs 6D001 (specially designed for the ``production'' or
``development'' of equipment in 6A008.1.3 or 6B008) and 6D003; 9D001
for the development of equipment controlled by 9A011; 9D002 specially
designed or modified for the production of equipment controlled by
9A011, 9D001 or 9D002 for the development or production of 9A011; and
9E002 for the production of equipment in 9A011, which are listed on the
Wassenaar Arrangement's Very Sensitive List, are no longer eligible for
License Exception GOV when consigned to and for the official use of any
agency of a cooperating government within the territory of any
cooperating government, or when consigned to and for the official use
of a diplomatic or consular mission of a cooperating government located
in any country in Country Group B of Supplement No. 1 to Part 740 of
the EAR.
Section 740.17 ``License Exception ENC''
This rule amends the introductory paragraph and paragraphs (a),
(b)(1), and (b)(2) to state that newly controlled quantum cryptography
items described in 5A002.a.9 of the Commerce Control List (CCL) in
Supplement No. 1 to Part 774 of the EAR are eligible for License
Exception ENC. Paragraph (a) of Section 740.17 of the EAR authorizes
certain exports, reexports, and technical assistance to countries
listed in Supplement No. 3 to Part 740 of the EAR under License
Exception ENC. The countries in Supplement No. 3 to Part 740 represent
the European Union's ``license-free zone'' and include: Austria,
Australia, Belgium, Cyprus, Czech Republic, Denmark, Estonia, Finland,
France, Germany, Greece, Hungary, Ireland, Italy, Japan, Latvia,
Lithuania, Luxembourg, Malta, Netherlands, New Zealand, Norway, Poland,
Portugal, Slovakia, Slovenia, Spain, Sweden, Switzerland, and the
United Kingdom. Paragraph (b) of Section 740.17 of the EAR authorizes
exports and reexports destined to U.S. subsidiaries under License
Exception ENC and, for other end-users, exports and reexports to
countries not listed in Supplement No. 3 to Part 740 of the EAR. (This
rule renames this Paragraph (b) to make clear the scope of this
paragraph.) Paragraph (b)(1) of Section 740.17 of the EAR authorizes
exports and reexports of encryption items for U.S. subsidiaries.
Paragraph (b)(2) of Section 740.17 of the EAR authorizes exports and
reexports of encryption commodities and software to non-government end-
users in countries not listed in Supplement No. 3 to Part 740 of the
EAR under License Exception ENC. Quantum cryptography items are not
eligible for export or reexport to ``government end-users'' under
License Exception ENC outside the countries listed in Supplement No. 3
to Part 740 of the EAR, because of the provisions of Sec.
740.17(b)(3)(i)(B) and Sec. 740.17(b)(2)(iii)(E) of the EAR. To
receive written authorization from the Bureau of Industry and Security
(BIS) to export your encryption items under License Exception ENC, you
must submit an encryption review request to BIS and the ENC Encryption
Request Coordinator. For guidance on applying for authorization under
License Exception ENC go to BIS's Web page http://www.bis.doc.gov/encryption/enc.htm
.
Section 743.1 ``Wassenaar Arrangement''
Sec. 743.1 is amended by:
Deleting ECCN 2B003 from the Note to paragraph (c)(1)(ii)
to conform to the Wassenaar Sensitive List. This relates to Wassenaar
reporting requirements for ECCNS 2D001, 2E001, and 2E002.
Removing 5A001.b.5 from paragraph (c)(1)(v), because BIS
does not need to require reporting for commodities that are not
eligible for License Exceptions GBS, CIV, TSR, LVS, CTP, or GOV. BIS
can get the necessary information to fulfill U.S. obligations for
reporting to the Wassenaar Arrangement from license application data.
Adding 5A001.b.5 under the 5B001.a in paragraph (c)(1)(v),
because 5B001.a is specially designed for 5A001.b.5, is eligible for
license exception and is on the Wassenaar Arrangement's Sensitive List.
Adding 5D001.a entry in paragraph (c)(1)(v), because
software for the development or production of equipment, components, or
accessories classified under 5B001.a is on the Wassenaar Arrangement's
Sensitive List and is eligible for License Exceptions CIV and TSR. This
addition is necessary in order for the United States to fulfill its
reporting obligations to the Wassenaar Arrangement.
Adding 6A002.a.1.a, 6A002.a.1.b, 6A002.a.2.a (changing 350
uA/Im to 700 uA/Im in 6A002.a.2.a.3.a), 6A002.a.3, 6A002.c, 6A002.e;
6A003.b.3, 6A003.b.4, and 6A006.a to paragraph (c)(1)(vi), because
these commodities are on the Wassenaar Arrangement's Sensitive List and
are eligible for license exception under the EAR. This addition is
necessary in order for the United
[[Page 52962]]
States to fulfill its reporting obligations to the Wassenaar
Arrangement.
Revising 6A006.g to 6A006.d in paragraph (c)(1)(vi),
because this paragraph has moved under ECCN 6A006.
Removing 6D003.a from paragraph (c)(1)(vi), because that
ECCN is not eligible for License Exceptions LVS, GBS, CIV, APP, TSR, or
GOV.
Removing 6A006.h from paragraph (c)(1)(vi), because this
paragraph has been removed from 6A006 by agreement of the Wassenaar
Arrangement.
Adding a note to paragraph (c)(1)(vi) to clarify the
reporting requirement for 6A002.a.3.
Redesignating paragraphs (c)(1)(vii) and (c)(1)(viii) as
paragraphs (c)(1)(viii) and (c)(1)(ix), in order to add a new paragraph
(c)(1)(vii) to cover Category 7: 7D002; 7D003.c, d.1 to d.4, and d.7;
7E001; and 7E002, because these commodities are on the Wassenaar
Arrangement's Sensitive List and are eligible for license exception
under the EAR. This addition is necessary in order for the United
States to fulfill its reporting obligations to the Wassenaar
Arrangement.
Adding 9D001 (for 9B001.b and 9E003 as described in this
paragraph), 9D002 (for 9B001.b), 9D004.a, 9D004.c, 9E001 for technology
controlled for NS reasons, 9E002, 9E003.a.2, a.3.b, a.3.c, a.4, a.5,
a.8, and a.9 to newly designated paragraph (c)(1)(ix), because these
commodities are on the Wassenaar Arrangement's Sensitive List and are
eligible for license exception under the EAR. This addition is
necessary in order for the United States to fulfill its reporting
obligations to the Wassenaar Arrangement.
This rule revises the title to Supplement No. 1 to Part 743 of the
EAR from ``Wassenaar Arrangement Member Countries'' to ``Wassenaar
Arrangement Participating States,'' because this is the term used by
the Wassenaar Arrangement to address its members.
In addition, this rule adds Croatia, Estonia, Latvia, Lithuania,
Malta, and South Africa to the list of Wassenaar Arrangement
Participating States in Supplement No. 1 to Part 743 of the EAR,
because they were recently admitted to the Wassenaar Arrangement.
Definitions in Part 772
This rule removes the definition for ``Asynchronous transfer mode''
(``ATM'') from section 772.1 of the EAR, and moves it to the related
definitions paragraph in the List of Items Controlled section of ECCN
5A991, because the term is only referred to in 5A991.c.12.
This rule adds a reference to Category 2 in the definition for
``Electronic assembly,'' because of the addition of controls on
electronic assemblies in 2B006.b.1.
This rule removes the definition for ``time-modulated ultra-
wideband,'' because the Wassenaar Arrangement agreed to remove it from
5A001.b.4 and 5A002.a.6, and instead use the undefined term ``ultra-
wideband modulation techniques.''
This rule adds the definition for ``unmanned aerial vehicle''
(``UAV'') to section 772.1, which is used in ECCNs 9A012 and newly
added ECCN 9B010. In addition, UAVs are addressed in section 744.3 of
the EAR.
Although the Export Administration Act expired on August 20, 2001,
the President, through Executive Order 13222 of August 17, 2001, 3 CFR,
2001 Comp., p. 783 (2002), as extended by the Notice of August 3, 2006,
71 FR 44551 (August 7, 2006), has continued the Export Administration
Regulations in effect under the International Emergency Economic Powers
Act.
Saving Clause
Shipments of items removed from license exception eligibility or
eligibility for export 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
September 7, 2006, pursuant to actual orders for export 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 from the United States before October 10, 2006. Any such items
not actually exported before midnight, on October 10, 2006, require a
license in accordance with this regulation.
Rulemaking Requirements
1. This final rule has been determined to be not significant for
purposes of E.O. 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply 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 two collections of information subject to the PRA. One of the
collections has been approved by OMB under control number 0694-0088,
``Multi-Purpose Application,'' and carries a burden hour estimate of 58
minutes for a manual or electronic submission. The other of the
collections has been approved by OMB under control number 0694-0106,
``Reporting and Recordkeeping Requirements under the Wassenaar
Arrangement,'' and carries a burden hour estimate of 21 minutes for a
manual or electronic submission. Send comments regarding these burden
estimates or any other aspect of these collections of information,
including suggestions for reducing the burden, to OMB Desk Officer, New
Executive Office Building, Washington, DC 20503; and to the Office of
Administration , Bureau of Industry and Security, Department of
Commerce, 14th and Pennsylvania Avenue, NW., Room 6883, Washington, DC
20230.
3. This rule does not contain policies with Federalism implications
as that term is defined under E.O. 13132.
4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (5 U.S.C. 553(a)(1)). Further, no other
law requires that a notice of proposed rulemaking and an opportunity
for public comment be given for this 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. Therefore,
this regulation is issued in final form. Although there is no formal
comment period, public comments on this regulation are welcome on a
continuing basis. Comments should be submitted to Sharron Cook, Office
of Exporter Services, Bureau of Industry and Security, Department of
Commerce, P.O. Box 273, Washington, DC 20044.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 743
Administrative practice and procedure, Reporting and recordkeeping
requirements.
15 CFR Part 772
Exports.
[[Page 52963]]
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
0
Accordingly, Parts 740, 743, 772 and 774 of the Export Administration
Regulations (15 CFR Parts 730-799) are amended as follows:
PART 740--[AMENDED]
0
1. The authority citation for Part 740 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
Sec. 901-911, Pub. L. 106-387; E.O. 13026, 61 FR 58767, 3 CFR, 1996
Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783;
Notice of August 3, 2006, 71 FR 44551 (August 7, 2006).
0
2. Section 740.11 is amended by revising (a)(2)(vi)(G) and adding a
paragraph (a)(2)(vi)(H) to read as follows:
Sec. 740.11 Governments, International Organizations, and
International Inspections Under the Chemical Weapons Convention (GOV).
* * * * *
(a) * * *
(2) * * *
(vi) * * *
(G) Controlled by 9D001, specially designed or modified for the
``development'' of equipment or ``technology'' controlled by 9A011,
9E003.a.1, or 9E003.a.3.a; and
(H) Controlled by 9D002, specially designed or modified for the
``production'' of equipment controlled by 9A011.
* * * * *
0
3. Supplement No. 1 to 740.11 is amended by:
0
a. Revising paragraphs (a)(1)(vi)(F) and (a)(1)(vi)(G), as set forth
below;
0
b. Adding paragraphs (a)(1)(vi)(H) and (b)(1)(vi)(H), as set forth
below; and
0
c. Revising paragraphs (a)(1)(vii)(D), (a)(1)(vii)(G), (a)(1)(vii)(H),
(b)(1)(vi)(F), (b)(1)(vi)(G), (b)(1)(vii)(D), and (b)(1)(vii)(H) to
read as follows:
Supplement No. 1 to Section 740.11--Additional Restrictions on Use of
License Exception GOV
(a) * * *
(1) * * *
(vi) * * *
(F) Controlled by 8D001, specially designed for the
``development'' or ``production'' of equipment controlled by
8A001.b, 8A001.d, or 8A002.o.3.b;
(G) Controlled by 9D001, specially designed or modified for the
``development'' of equipment or ``technology'' controlled by 9A011,
9E003.a.1, or 9E003.a.3.a; and
(H) Controlled by 9D002,specially designed or modified for the
``production'' of equipment controlled by 9A011;
(vii) * * *
(D) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.1.b.1, 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.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 6A008.1.3,
6B008, 6D001 (specially designed for the ``production'' or
``development'' of equipment in 6A008.1.3 or 6B008), or 6D003.a as
described in paragraph (a)(1) of this Supplement; and
* * * * *
(G) Controlled by 9E001 for the ``development'' of equipment or
``software'' in 9A011, 9D001 for the ``development'' of 9A011, or
9D002 for the ``production'' of 9A011; and
(H) Controlled by 9E002 for the ``production'' of equipment in
9A011; and
* * * * *
(b) * * *
(1) * * *
(vi) * * *
(F) Controlled by 8D001, specially designed for the
``development'' or ``production'' of equipment controlled by
8A001.b, 8A001.d, or 8A002.o.3.b;
(G) Controlled by 9D001, specially designed or modified for the
``development'' of equipment or ``technology'' controlled by 9A011,
9E003.a.1, or 9E003.a.3.a; and
(H) Controlled by 9D002, specially designed or modified for the
``production'' of equipment controlled by 9A011;
(vii) * * *
(D) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.1.b.1, 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.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 6A008.1.3,
6B008, 6D001 (specially designed for the ``production'' or
``development'' of equipment in 6A008.1.3 or 6B008), or 6D003.a as
described in paragraph (a)(1) of this Supplement; and
* * * * *
(H) Controlled by 9E002 for the production of 9A011; and
* * * * *
0
4. Section 740.17 is amended by:
0
a. Revising the phrase ``by ECCNs 5A002.a.1, .a.2, .a.5, and .a.6,
5B002, and 5D002'' to read ``by ECCNs 5A002.a.1, .a.2, .a.5, .a.6, and
.a.9, 5B002, and 5D002'' in the introductory paragraph;
0
b. Revising the heading of paragraph (b) to read as set forth below;
and
0
c. Revising the phrase ``ECCNs 5A002.a.1, .a.2, .a.5, or .a.6,'' to
read ``ECCNs 5A002.a.1, .a.2, .a.5, .a.6, or .a.9,'' in paragraphs (a)
introductory text, (b)(1) introductory text, and (b)(2) introductory
text.
Sec. 740.17 Encryption Commodities and Software (ENC).
* * * * *
(b) Exports and reexports for U.S. subsidiaries and to countries
not listed in Supplement No. 3 to this part.
* * * * *
PART 743--[AMENDED]
0
5. The authority citation for Part 743 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; Pub. L. 106-508; 50
U.S.C. 1701 et seq.; Notice of August 3, 2006, 71 FR 44551 (August
7, 2006).
0
6. Section 743.1 is amended by:
0
a. Revising the note to paragraph (c)(1)(ii), as set forth below;
0
b. Revising paragraphs (c)(1)(v), and (c)(1)(vi), as set forth below;
0
c. Redesignating paragraphs (c)(1)(vii) and (viii) as (viii) and (ix);
0
d. Adding a new paragraph (c)(1)(vii) as set forth below; and
0
e. Revising newly designated paragraphs (c)(1)(viii) and (c)(1)(ix) to
read as follows:
Sec. 743.1 Wassenaar Arrangement.
* * * * *
(c) * * *
(1) * * *
(ii) * * *
Note to paragraph (c)(1)(ii): Reports for 2D001, are for
``software'', other than that controlled by 2D002, specially
designed for the ``development'' or ``production'' of the equipment
in 2B001.a or .b (changing 6[mu]m to 5.1[mu]m in 2B001.a.1 and
2B001.b.1.a; and adding ``a positioning accuracy with ``all
compensations available'' equal to or less (better) than 5.1[mu]m
along any linear axis'' to the existing text for 2B001.b.2) of the
Commerce Control List (CCL).
Reports for 2E001, are for ``technology'' according to the
General Technology Note for ``development'' of ``software'' as
described in this paragraph for 2D001, or for the equipment in
2B001.a or .b (changing 6[mu]m to 5.1[mu]m in 2B001.a.1 and
2B001.b.1.a; and adding ``a positioning accuracy with ``all
compensations available'' equal to or less (better) than 5.1[mu]m
along any linear axis'' to the existing text for 2B001.b.2) of the
CCL.
Reports for 2E002, are for ``technology'' according to the
General Technology Note for ``production'' of the equipment in
2B001.a or .b (changing 6[mu]m to 5.1[mu]m in 2B001.a.1 and
2B001.b.1.a; and adding ``a positioning accuracy with ``all
compensations available'' equal to or less (better) than 5.1[mu]m
along any linear axis'' to the existing text for 2B001.b.2) of the
CCL.
* * * * *
(v) Category 5: 5A001.b.3; 5B001.a (items specially designed for
5A001.b.3 and b.5); 5D001.a (specially designed for the ``development''
or ``production'' of equipment, function, or features in 5A001.b.3 or
5B001.a as described in this paragraph) and 5D001.b (specially designed
or modified to support ``technology'' under 5E001.a as described in
this paragraph); and 5E001.a (for the ``development'' or ``production''
of equipment, function, features, or ``software'' in 5A001.b.3,
[[Page 52964]]
5B001.a, 5D001.a or 5D001.b as described in this paragraph);
(vi) Category 6: 6A001.a.1.b (changing 10 kHz to 5 kHz and adding
the text ``or a sound pressure level exceeding 224 dB (reference 1
[mu]Pa at 1 m) for equipment with an operating frequency in the band
from 5 kHz to 10 kHz inclusive'' to the existing text in 6A001.a.1.b.1)
, and .a.2.d; 6A002.a.1.a, 6A002.a.1.b, 6A002.a.2.a (changing 350 uA/Im
to 700 uA/Im in 6A002.a.2.a.3.a), 6A002.a.3, 6A002.b, 6A002.c, 6A002.e;
6A003.b.3, 6A003.b.4; 6A004.c and .d; 6A006.a, 6A006.d (excluding
compensators which provide only absolute values of the earth's magnetic
field as output (i.e., the frequency bandwidth of the output extends
from DC to at least 0.8 Hz); 6A008.d, .h, and .k; 6D001 (for 6A004.c
and .d and 6A008.d, .h, and .k); 6E001 (for equipment and software
listed in this paragraph); and 6E002 (for equipment listed in this
paragraph);
Note to paragraph (c)(1)(vi): The reporting requirement for
6A002.a.3 excludes the following ``focal plane arrays'':
a. Platinum Silicide having less than 10,000 elements;
b. Iridium Silicide;
c. Indium Antimonide or Lead Selenide having less than 256
elements;
d. Indium Arsenide;
e. Lead Sulphide;
f. Indium Gallium Arsenide;
g. Mercury Cadmium Telluride, as follows:
1. `Scanning Arrays' having any of the following:
a. 30 elements or less; or
b. Incorporating time delay-and-integration within the element and
having 2 elements or less;
2. `Staring Arrays' less than 256 elements;
Technical Notes:
`Scanning Arrays' are defined as ``focal plane arrays'' designed
for use with a scanning optical system that images a scene in a
sequential manner to produce an image.
`Staring Arrays' are defined as ``focal plane arrays'' designed
for use with a non-scanning optical system that images a scene.
h. Gallium Arsenide or Gallium Aluminum Arsenide quantum well
having less than 256 elements;
(vii) Category 7: 7D002; 7D003.c, d.1 to d.4, and d.7; 7E001; and
7E002;
(viii) Category 8: 8A001.c; 8A002.b (for 8A001.b, .c, .d), .h, .j,
.o.3, and .p; 8D001 (for commodities listed in this paragraph); 8D002;
8E001 (for commodities listed in this paragraph); and 8E002.a; and
(ix) Category 9: 9B001.b, 9D001 (for 9B001.b and 9E003 as described
in this paragraph), 9D002 (for 9B001.b), 9D004.a, 9D004.c, 9E001 for
technology controlled for NS reasons, 9E002, 9E003.a.2, a.3.b, a.3.c,
a.4, a.5, a.8, and a.9.
* * * * *
0
7. Supplement No. 1 to Part 743 is amended by:
0
a. Revising the heading of the Supplement to read as set forth below;
and
0
b. Adding Croatia, Estonia, Latvia, Lithuania, Malta, and South Africa
in alphabetical order.
Supplement No. 1 to Part 743--Wassenaar Arrangement Participating
States
* * * * *
PART 772--[AMENDED]
0
8. The authority citation for Part 772 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August
3, 2006, 71 FR 44551 (August 7, 2006).
0
9. Section 772.1 is amended as follows:
0
a. By removing the definition ``Asynchronous transfer mode'' (``ATM'')
and the separate entry for the acronym ``ATM.''
0
b. By revising the phrase ``(Cat 3, 4, and 5)'' to read ``(Cat 2, 3, 4,
and 5) in the definition ``Electronic assembly.''
0
c. By removing the definition ``time-modulated ultra-wideband.''
0
d. By adding the definition ``unmanned aerial vehicles'' (``UAVs'') in
alphabetic order after the definition for ``United States airline,'' to
read as follows:
Sec. 772.1 Definitions of Terms as Used in the Export Administration
Regulations (EAR).
* * * * *
Unmanned aerial vehicle (``UAV''). (Cat 9) Any ``aircraft'' capable
of initiating flight and sustaining controlled flight and navigation
without any human presence on board. In addition, according to section
744.3 of the EAR, unmanned air vehicles, which are the same as
``unmanned aerial vehicles,'' include, but are not limited to, cruise
missile systems, target drones and reconnaissance drones.
* * * * *
PART 774--[AMENDED]
0
10. The authority citation for Part 774 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C.
287c, 22 U.S.C. 3201 et seq., 22 U.S.C. 6004; 30 U.S.C. 185(s),
185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C.
app. 466c; 50 U.S.C. app. 5; Sec. 901-911, Pub. L. 106-387; Sec.
221, Pub. L. 107-56; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of
August 3, 2006, 71 FR 44551 (August 7, 2006).
Supplement No. 1 to Part 774 [Amended]
0
11. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1--Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Number (ECCN) 1C008 is amended by revising the
``items'' paragraph in the List of Items Controlled section, to read as
follows:
1C008 Non-fluorinated polymeric substances, as follows (see List
of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Non-fluorinated polymeric substances, as follows:
a.1. Bismaleimides;
a.2. Aromatic polyamide-imides;
a.3. Aromatic polyimides;
a.4. Aromatic polyetherimides having a glass transition
temperature (Tg) exceeding 513K (240 [deg]C).
Note: 1C008.a does not control non-fusible compression molding
powders or molded forms.
b. Thermoplastic liquid crystal copolymers having a heat
distortion temperature exceeding 523 K (250 [deg]C) measured
according to ISO 75-3 (2004), or national equivalents, with a load
of 1.82 N/mm\2\ and composed of:
b.1. Any of the following:
b.1.a. Phenylene, biphenylene or naphthalene; or
b.1.b. Methyl, tertiary-butyl or phenyl substituted phenylene,
biphenylene or naphthalene; and
b.2. Any of the following acids:
b.2.a. Terephthalic acid;
b.2.b. 6-hydroxy-2 naphthoic acid; or
b.2.c. 4-hydroxybenzoic acid;
c. Polyarylene ether ketones, as follows:
c.1. [RESERVED]
c.2. Polyether ketone ketone (PEKK);
c.3. Polyether ketone (PEK);
c.4. Polyether ketone ether ketone ketone (PEKEKK)
d. Polyarylene ketones;
e. Polyarylene sulphides, where the arylene group is
biphenylene, triphenylene or combinations thereof;
f. Polybiphenylenethersulphone having a glass transition
temperature (Tg) exceeding 513 K (240 [deg]C).
Technical Note: The glass transition temperature (Tg) for 1C008
materials is determined using the method described in ISO 11357-2
(1999) or national equivalents.
[[Page 52965]]
0
12. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1--Materials, Chemicals, Microorganisms, and Toxins, is
amended by adding Export Control Classification Number (ECCN) 1C998
after ECCN 1C997 and before ECCN 1C999, to read as follows:
1C998 Non-fluorinated polymeric substances, not controlled by
1C008, as follows (see List of Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items:
a. Polyether ether ketone (PEEK);
b. [RESERVED].
0
13. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1--Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Number (ECCN) 1E001 is amended by revising the
heading, to read as follows:
1E001 ``Technology'' according to the General Technology Note
for the ``development'' or ``production'' of items controlled by
1A001.b, 1A001.c, 1A002, 1A003, 1A004, 1A005, 1A101, 1B (except
1B999), or 1C (except 1C355, 1C980 to 1C984, 1C988, 1C990, 1C991,
1C992, 1C995 to 1C999).
* * * * *
0
14. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1--Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Number (ECCN) 1E998 is added after 1E994, to
read as follows:
1E998 ``Technology'' for the ``development'' or ``production''
of processing equipment controlled by 1B999, and materials
controlled by 1C995, 1C996, 1C997, 1C998, and 1C999.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
15. Supplement No. 1 to Part 774 (the Commerce Control List), Category
2--Materials Processing, Export Control Classification Number (ECCN)
2B002 is amended by revising the heading and the ``items'' paragraph in
the List of Items Controlled section to read as follows:
2B002 Numerically controlled machine tools using a
magnetorheological finishing (MRF) process equipped to produce non-
spherical surfaces and having any of the following characteristics
(See List of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Finishing the form to less (better) than 1.0 [mu]m; or
b. Finishing to a roughness less (better) than 100 nm rms.
0
16. Supplement No. 1 to Part 774 (the Commerce Control List), Category
2--Materials Processing, Export Control Classification Number (ECCN)
2B006 is amended by revising the heading, the License Requirement
section, and the ``unit'' and the ``items'' paragraphs in the List of
Items Controlled section to read as follows:
2B006 Dimensional inspection or measuring systems, equipment,
and ``electronic assemblies'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 2.
NP applies to 2B006.a and .b, except NP Column 1.
2B006.b.1.d.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
* * * * *
List of Items Controlled
Unit: Equipment in number, electronic assemblies in $ value
Related Controls: * * *
Related Definitions: * * *
Items:
a. Computer controlled or ``numerically controlled'' co-ordinate
measuring machines (CMM), having a three dimensional length
(volumetric) maximum permissible error of indication (MPEE) 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) tested according to ISO 10360-2
(2001);
b. Linear and angular displacement measuring instruments, as
follows:
b.1. Linear displacement measuring instruments having any of the
following:
Technical Note: For the purpose of 2B006.b.1 ``linear
displacement'' means the change of distance between the measuring
probe and the measured object.
b.1.a. Non-contact type measuring systems with a ``resolution''
equal to or less (better) than 0.2 [mu]m within a measuring range up
to 0.2 mm;
b.1.b. Linear voltage differential transformer systems having
all of the following characteristics:
b.1.b.1. ``Linearity'' equal to or less (better) than 0.1%
within a measuring range up to 5 mm; and
b.1.b.2. Drift equal to or less (better) than 0.1% per day at a
standard ambient test room temperature 1 K; or
b.1.c. Measuring systems having all of the following:
b.1.c.1. Containing a ``laser''; and
b.1.c.2. Maintaining, for at least 12 hours, over a temperature
range of 1 K around a standard temperature and at a
standard pressure, all of the following:
b.1.c.2.a. A ``resolution'' over their full scale of 0.1 [mu]m
or less (better); and
b.1.c.2.b. A ``measurement uncertainty'' equal to or less
(better) than (0.2 + L/2,000) [mu]m (L is the measured length in
mm);
b.1.d. ``Electronic assemblies'' specially designed to provide
feedback capability in systems controlled by 2B006.b.1.c.
Note: 2B006.b.1 does not control measuring interferometer
systems, with an automatic control system that is designed to use no
feedback techniques, containing a ``laser'' to measure slide
movement errors of machine-tools, dimensional inspection machines or
similar equipment.
b.2. Angular displacement measuring instruments having an
``angular position deviation'' equal to or less (better) than
0.00025 [deg];
Note: 2B006.b.2 does not control optical instruments, such as
autocollimators, using collimated light (e.g., laser light) to
detect angular displacement of a mirror.
c. Equipment for measuring surface irregularities, by measuring
optical scatter as a function of angle, with a sensitivity of 0.5 nm
or less (better).
0
17. Supplement No. 1 to Part 774 (the Commerce Control List), Category
2--Materials Processing, Export Control Classification Number (ECCN)
2E201 is amended by revising the heading and the License Requirement
section to read as follows:
2E201 ``Technology'' according to the General Technology Note
for the ``use'' of equipment or ``software'' controlled by 2A225,
2A226, 2B001, 2B006, 2B007.b, 2B007.c, 2B201, 2B204, 2B206, 2B207,
2B209, 2B225 to 2B232, 2D002, 2D201 or 2D202 for NP reasons.
License Requirements
Reason for Control: NP, CB, AT
[[Page 52966]]
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NP applies to entire entry.............. NP Column 1.
CB applies to ``technology'' for valves CB Column 2.
controlled by 2A226 that meet or exceed
the technical parameters in 2B350.g.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
* * * * *
0
18. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3A001 is amended revising the ``CIV'' paragraph in the License
Exceptions section, and the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
3A001 Electronic components, as follows (see List of Items
Controlled).
* * * * *
License Exceptions
LVS: * * *
GBS: * * *
CIV: Yes for 3A001.a.3, a.4, a.7, and a.11.
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. General purpose integrated circuits, as follows:
Note 1: The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
Note 2: Integrated circuits include the following types:
``Monolithic integrated circuits'';
``Hybrid integrated circuits'';
``Multichip integrated circuits'';
``Film type integrated circuits'', including silicon-on-sapphire
integrated circuits;
``Optical integrated circuits''.
a.1. Integrated circuits, designed or rated as radiation
hardened to withstand any of the following:
a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher;
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/cm2 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, digital-to-analog converters, electro-optical or
``optical integrated circuits'' designed for ``signal processing'',
field programmable logic devices, neural network integrated
circuits, custom integrated circuits for which either the function
is unknown or the control status of the equipment in which the
integrated circuit will be used in unknown, Fast Fourier Transform
(FFT) processors, electrical erasable programmable read-only
memories (EEPROMs), flash memories or static random-access memories
(SRAMs), having any of the following:
a.2.a. Rated for operation at an ambient temperature above 398 K
(125 [deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 [deg]C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 [deg]C) to 398 K (125 [deg]C);
Note: 3A001.a.2 does not apply to integrated circuits for civil
automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``micro-computer
microcircuits'' and microcontroller microcircuits, 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. Storage integrated circuits manufactured from a compound
semiconductor;
a.5. Analog-to-digital and digital-to-analog converter
integrated circuits, as follows:
a.5.a. Analog-to-digital converters having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 10 bit, an
output rate greater than 500 million words per second;
a.5.a.2 A resolution of 10 bit or more, but less than 12 bit,
with an output rate greater than 200 million words per second;
a.5.a.3. A resolution of 12 bit with an output rate greater than
50 million words per second;
a.5.a.4. A resolution of more than 12 bit but equal to or less
than 14 bit with an output rate greater than 5 million words per
second; or
a.5.a.5. A resolution of more than 14 bit with an output rate
greater than 1 million words per second.
a.5.b. Digital-to-analog converters with a resolution of 12 bit
or more, and a ``settling time'' of less than 10 ns;
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2n
levels.
2. The number of bits in the output word is equal to the
resolution of the analogue-to-digital converter.
3. The output rate is the maximum output rate of the converter,
regardless of architecture or oversampling. Vendors may also refer
to the output rate as sampling rate, conversion rate or throughput
rate. It is often specified in megahertz (MHz) or mega samples per
second (MSPS).
4. For the purpose of measuring output rate, one output word per
second is equivalent to one Hertz or one sample per second.
a.6. Electro-optical and ``optical integrated circuits''
designed for ``signal processing'' having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. Field programmable logic devices having any of the
following:
a.7.a. An equivalent usable gate count of more than 30,000 (2
input gates);
a.7.b. A typical ``basic gate propagation delay time'' of less
than 0.1 ns; or
a.7.c. A toggle frequency exceeding 133 MHz;
Note: 3A001.a.7 includes: Simple Programmable Logic Devices
(SPLDs), Complex Programmable Logic Devices (CPLDs), Field
Programmable Gate Arrays (FPGAs), Field Programmable Logic Arrays
(FPLAs), and Field Programmable Interconnects (FPICs).
N.B.: Field programmable logic devices are also known as field
programmable gate or field programmable logic arrays.
a.8. [RESERVED]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 1,000 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.1 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N log2 N)/
20,480 ms, where N is the number of points;
Technical Note: When N is equal to 1,024 points, the formula in
3A001.a.12 gives an execution time of 500 [mu]s.
b. Microwave or millimeter wave components, as follows:
b.1. Electronic vacuum tubes and cathodes, as follows:
Note 1: 3A001.b.1 does not control tubes designed or rated for
operation in any frequency band which meets all of the following
characteristics:
(a) Does not exceed 31.8 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'' tubes
which meet all the following characteristics:
(a) An average output power equal to or less than 50 W; and
(b) Designed or rated for operation in any frequency band which
meets all of the following characteristics:
(1) Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
[[Page 52967]]
(2) Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
b.1.a. Traveling wave tubes, pulsed or continuous wave, as
follows:
b.1.a.1. Operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Having a cathode heater element with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity tubes, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
b.1.a.4. Helix tubes, or derivatives thereof, with any of the
following characteristics:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1; or
b.1.a.4.c. Being ``space qualified'';
b.1.b. Crossed-field amplifier tubes with a gain of more than 17
dB;
b.1.c. Impregnated cathodes designed for electronic tubes
producing a continuous emission current density at rated operating
conditions exceeding 5 A/cm2;
b.2. Microwave monolithic integrated circuits (MMIC) power
amplifiers having any of the following:
b.2.a. Rated for operation at frequencies exceeding 3.2 GHz up
to and including 6 GHz and with an average output power greater than
4W (36 dBm) with a ``fractional bandwidth'' greater than 15%;
b.2.b. Rated for operation at frequencies exceeding 6 GHz up to
and including 16 GHz and with an average output power greater than
1W (30 dBm) with a ``fractional bandwidth'' greater than 10%;
b.2.c. Rated for operation at frequencies exceeding 16 GHz up to
and including 31.8 GHz and with an average output power greater than
0.8W (29 dBm) with a ``fractional bandwidth'' greater than 10%;
b.2.d. Rated for operation at frequencies exceeding 31.8 GHz up
to and including 37.5 GHz;
b.2.e. Rated for operation at frequencies exceeding 37.5 GHz up
to and including 43.5 GHz and with an average output power greater
than 0.25W (24 dBm) with a ``fractional bandwidth'' greater than
10%; or
b.2.f. Rated for operation at frequencies exceeding 43.5 GHz.
Note 1: 3A001.b.2 does not control broadcast satellite equipment
designed or rated to operate in the frequency range of 40.5 to 42.5
GHz.
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.f, is determined
by the lowest average output power control threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for 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 having any of the following:
b.3.a. Rated for operation at frequencies exceeding 3.2 GHz up
to and including 6 GHz and having an average output power greater
than 60W (47.8 dBm);
b.3.b. Rated for operation at frequencies exceeding 6 GHz up to
and including 31.8 GHz and having an average output power greater
than 20W (43 dBm);
b.3.c. Rated for operation at frequencies exceeding 31.8 GHz up
to and including 37.5 GHz and having an average output power greater
than 0.5W (27 dBm);
b.3.d. Rated for operation at frequencies exceeding 37.5 GHz up
to and including 43.5 GHz and having an average output power greater
than 1W (30 dBm); or
b.3.e. Rated for operation at frequencies exceeding 43.5 GHz.
Note: 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 average output power control threshold.
b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave amplifiers having any of the following:
b.4.a. Rated for operation at frequencies exceeding 3.2 GHz up
to and including 6 GHz and with an average output power greater than
60W (47.8 dBm) with a ``fractional bandwidth'' greater than 15%;
b.4.b. Rated for operation at frequencies exceeding 6 GHz up to
and including 31.8 GHz and with an average output power greater than
15W (42 dBm) with a ``fractional bandwidth'' greater than 10%;
b.4.c. Rated for operation at frequencies exceeding 31.8 GHz up
to and including 37.5 GHz;
b.4.d. Rated for operation at frequencies exceeding 37.5 GHz up
to and including 43.5 GHz and with an average output power greater
than 1W (30 dBm) with a ``fractional bandwidth'' greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz; or
b.4.f. Rated for operation at frequencies above 3.2 GHz and all
of the following:
b.4.f.1. An average output power (in watts), P, greater than 150
divided by the maximum operating frequency (in GHz) squared [P > 150
W*GHz 2 fGHz 2];
b.4.f.2. A fractional bandwidth of 5% or greater; and
b.4.f.3. Any two sides perpendicular to one another with length
d (in cm) equal to or less than 15 divided by the lowest operating
frequency in GHz [d <=15 cm*GHz / fGHz ].
Technical Note: 3.2 GHz should be used as the lowest operating
frequency (fGHz ) in the formula in 3A001.b.4.f.3., for
amplifiers that have a rated operation range extending downward to
3.2 GHz and below [d <=15cm*GHz/3.2 fGHz ].
N.B.: MMIC power amplifiers should be evaluated against the
criteria in 3A001.b.2.
Note 1: 3A001.b.4. does not control broadcast satellite
equipment designed or rated to operate in the frequency range of
40.5 to 42.5 GHz.
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 average output power 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 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. Mixers and converters designed to extend the frequency
range of equipment described in 3A002.c, 3A002.e or 3A002.f beyond
the limits stated therein;
b.8. Microwave power amplifiers containing tubes controlled by
3A001.b and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power density exceeding 80 W/kg; and
b.8.c. A volume of less than 400 cm3;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU''
for radio-communications services, but not for radio-determination.
c. Acoustic wave devices, as follows, and specially designed
components therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having any of the following:
c.1.a. A carrier frequency exceeding 2.5 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding
2.5 GHz, and having any of the following:
c.1.b.1. A frequency side-lobe rejection exceeding 55 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth
(time in [mu]s and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 [mu]s; or
c.1.c. A carrier frequency of 1 GHz or less, having any of the
following:
c.1.c.1. A product of the maximum delay time and the bandwidth
(time in [mu]s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 [mu]s; or
c.1.c.3. A frequency side-lobe rejection exceeding 55 dB and a
bandwidth greater than 50 MHz;
c.2. Bulk (volume) acoustic wave devices (i.e., ``signal
processing'' devices employing elastic waves) that permit the direct
processing of signals at frequencies exceeding 1 GHz;
c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;
[[Page 52968]]
d. Electronic devices and circuits containing components,
manufactured from ``superconductive'' materials specially designed
for operation at temperatures below the ``critical temperature'' of
at least one of the ``superconductive'' constituents, with any of
the following:
d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices, as follows:
e.1. Batteries and photovoltaic arrays, as follows:
Note: 3A001.e.1 does not control batteries with volumes equal to
or less than 27 cm3 (e.g., standard C-cells or R14
batteries).
e.1.a. Primary cells and batteries having an energy density
exceeding 480 Wh/kg and rated for operation in the temperature range
from below 243 K (-30 [deg]C) to above 343 K (70 [deg]C);
e.1.b. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (C being the nominal capacity in ampere
hours) when operating in the temperature range from below 253 K (-20
[deg]C) to above 333 K (60 [deg]C);
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75%
of the open circuit voltage divided by the total mass of the cell
(or battery) in kg.
e.1.c. ``Space qualified'' and radiation hardened photovoltaic
arrays with a specific power exceeding 160 W/m2 at an
operating temperature of 301 K (28 [deg]C) under a tungsten
illumination of 1 kW/m2 at 2,800 K (2,527 [deg]C);
e.2. High energy storage capacitors, as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids specially
designed to be fully charged or discharged in less than one second,
having all of the following:
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids specially designed for Magnetic
Resonance Imaging (MRI) medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/
mm2;
f. Rotary input type shaft absolute position encoders having any
of the following:
f.1. A resolution of better than 1 part in 265,000 (18 bit
resolution) of full scale; or
f.2. An accuracy better than 2.5 seconds of arc.
0
19. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3A991 is amended revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
3A991 Electronic devices and components not controlled by 3A001.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having any of the
following:
a.1. A ``composite theoretical performance'' (``CTP'') of 6,500
million theoretical operations per second (MTOPS) or more and an
arithmetic logic unit with an access width of 32 bit or more;
a.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 100 million words per second;
c.2. A resolution of 12 bit with an output rate greater than 5
million words per second;
c.3. A resolution of more than 12 bit but equal to or less than
14 bit with an output rate greater than 500 thousand words per
second; or
c.4. A resolution of more than 14 bit with an output rate
greater than 500 thousand words per second.
d. Field programmable logic devices having either of the
following:
d.1. An equivalent gate count of more than 5000 (2 input gates);
or
d.2. A toggle frequency exceeding 100 MHz;
e. Fast Fourier Transform (FFT) processors having a rated
execution time for a 1,024 point complex FFT of less than 1 ms.
f. Custom integrated circuits for which either the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
f.1. More than 144 terminals; or
f.2. A typical ``basic propagation delay time'' of less than 0.4
ns.
g. Traveling wave tubes, pulsed or continuous wave, as follows:
g.1. Coupled cavity tubes, or derivatives thereof;
g.2. Helix tubes, or derivatives thereof, with any of the
following:
g.2.a. An ``instantaneous bandwidth'' of half an octave or more;
and
g.2.b. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.2;
g.2.c. An ``instantaneous bandwidth'' of less than half an
octave; and
g.2.d. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.4;
h. Flexible waveguides designed for use at frequencies exceeding
40 GHz;
i. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having either of the following:
i.1. A carrier frequency exceeding 1 GHz; or
i.2. A carrier frequency of 1 GHz or less; and
i.2.a. A frequency side-lobe rejection exceeding 55 Db;
i.2.b. A product of the maximum delay time and bandwidth (time
in microseconds and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10 microseconds.
j. Primary cells and batteries having an energy density
exceeding 350 Wh/kg and rated for operation in the temperature range
from below 243 K (-30 [deg]C) to above 343 K (70 [deg]C);
Note: 3A991 .j does not control batteries with volumes equal to
or less than 27 cm3 (e.g., standard C-cells or UM-2
batteries).
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75
percent of the open circuit voltage divided by the total mass of the
cell (or battery) in kg.
k. ``Superconductive'' electromagnets or solenoids specially
designed to be fully charged or discharged in less than one minute,
having all of the following:
[[Page 52969]]
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/mm2.
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/M3 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).
0
20. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3B001 is amended revising the ``items'' paragraph in the List of Items
Controlled section, 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.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Equipment designed for epitaxial growth, as follows:
a.1. Equipment capable of producing 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;
a.2. Metal organic chemical vapor deposition (MOCVD) reactors
specially designed for compound semiconductor crystal growth by the
chemical reaction between materials controlled by 3C003 or 3C004;
a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
b. Equipment designed for ion implantation, having any of the
following:
b.1. A beam energy (accelerating voltage) exceeding 1 MeV;
b.2. Being specially designed and optimized to operate at a beam
energy (accelerating voltage of less than 2 keV);
b.3. Direct write capability; or
b.4. 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'';
c. Anisotropic plasma dry etching equipment, as follows:
c.1. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
c.1.a. Designed or optimized to produce critical dimensions of
180 nm or less with 5% 3 sigma precision; or
c.1.b. Designed for generating less than 0.04 particles/
cm2 with a measurable particle size greater than 0.1[mu]m
in diameter;
c.2. Equipment specially designed for equipment controlled by
3B001.e. and having any of the following:
c.2.a. Designed or optimized to produce critical dimensions of
180 nm or less with 5% 3 sigma precision; or
c.2.b. Designed for generating less than 0.04 particles/
cm2 with a measurable particle size greater than 0.1
[mu]m in diameter;
d. Plasma enhanced CVD equipment, as follows:
d.1. Equipment with cassette-to-cassette operation and load-
locks, and designed according to the manufacturer's specifications
or optimized for use in the production of semiconductor devices with
critical dimensions of 180 nm or less;
d.2. Equipment specially designed for equipment controlled by
3B001.e. and designed according to the manufacturer's specifications
or optimized for use in the production of semiconductor devices with
critical dimensions of 180 nm or less;
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 pieces of semiconductor processing equipment are to be
connected; and
e.2. Designed to form an integrated system in a vacuum
environment for sequential multiple wafer processing;
Note: 3B001.e. does not control automatic robotic wafer
handling systems not designed to operate in a vacuum environment.
f. Lithography equipment, as follows:
f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods, having any of the following:
f.1.a. A light source wavelength shorter than 245 nm; or
f.1.b. Capable of producing a pattern with a minimum resolvable
feature size of 180 nm or less;
Technical Note: The minimum resolvable feature size is
calculated by the following formula:
[GRAPHIC] [TIFF OMITTED] TR07SE06.001
Where the K factor = 0.45
MRF = minimum resolvable feature size.
f.2. Equipment specially designed for mask making or
semiconductor device processing using deflected focused electron
beam, ion beam or ``laser'' beam, having any of the following:
f.2.a. A spot size smaller than 0.2 [mu]m;
f.2.b. Being capable of producing a pattern with a feature size
of less than 1 [mu]m; or
f.2.c. An overlay accuracy of better than 0.20 [mu]m
(3 sigma);
g. Masks and reticles designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer.
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.
0
21. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3B991 is amended revising the ``units'' and ``items'' paragraphs in the
List of Items Controlled section, to read as follows:
3B991 Equipment not controlled by 3B001 for the manufacture of
electronic components and materials, and specially designed
components and accessories therefor.
* * * * *
List of Items Controlled
Unit: Equipment in number, and components and accessories in $
value
Related Controls: * * *
Related Definitions: * * *
Items:
a. Equipment specially designed for the manufacture of electron
tubes, optical elements and specially designed components therefor
controlled by 3A001 or 3A991;
b. Equipment specially designed for the manufacture of
semiconductor devices, integrated circuits and ``electronic
assemblies'', as follows, and systems incorporating or having the
characteristics of such equipment:
Note: 3B991.b also controls equipment used or modified for use
in the manufacture of other devices, such as imaging devices,
electro-optical devices, acoustic-wave devices.
b.1. Equipment for the processing of materials for the
manufacture of devices and components as specified in the heading of
3B991.b, as follows:
[[Page 52970]]
Note: 3B991 does not control quartz furnace tubes, furnace
liners, paddles, boats (except specially designed caged boats),
bubblers, cassettes or crucibles specially designed for the
processing equipment controlled by 3B991.b.1.
b.1.a. Equipment for producing polycrystalline silicon and
materials controlled by 3C001;
b.1.b. Equipment specially designed for purifying or processing
III/V and II/VI semiconductor materials controlled by 3C001, 3C002,
3C003, or 3C004, except crystal pullers, for which see 3B991.b.1.c
below;
b.1.c. Crystal pullers and furnaces, as follows:
Note: 3B991.b.1.c does not control diffusion and oxidation
furnaces.
b.1.c.1. Annealing or recrystallizing equipment other than
constant temperature furnaces employing high rates of energy
transfer capable of processing wafers at a rate exceeding 0.005
m2 per minute;
b.1.c.2. ``Stored program controlled'' crystal pullers having
any of the following characteristics:
b.1.c.2.a. Rechargeable without replacing the crucible
container;
b.1.c.2.b. Capable of operation at pressures above 2.5 x
105 Pa; or
b.1.c.2.c. Capable of pulling crystals of a diameter exceeding
100 mm;
b.1.d. ``Stored program controlled'' equipment for epitaxial
growth having any of the following characteristics:
b.1.d.1. Capable of producing a silicon layer with a thickness
uniform to less than 2.5% across a distance of 200 mm or
more;
b.1.d.2. Capable of producing a layer of any material other than
silicon with a thickness uniformity across the wafer of equal to or
better than 3.5%; or
b.1.d.3. Rotation of individual wafers during processing;
b.1.e. Molecular beam epitaxial growth equipment;
b.1.f. Magnetically enhanced `sputtering' equipment with
specially designed integral load locks capable of transferring
wafers in an isolated vacuum environment;
b.1.g. Equipment specially designed for ion implantation, ion-
enhanced or photo-enhanced diffusion, having any of the following
characteristics:
b.1.g.1. Patterning capability;
b.1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
b.1.g.3 Optimized to operate at a beam energy (accelerating
voltage) of less than 10 keV; or
b.1.g.4. Capable of high energy oxygen implant into a heated
``substrate'';
b.1.h. ``Stored program controlled'' equipment for the selective
removal (etching) by means of anisotropic dry methods (e.g.,
plasma), as follows:
b.1.h.1. Batch types having either of the following:
b.1.h.1.a. End-point detection, other than optical emission
spectroscopy types; or
b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or
less;
b.1.h.2. Single wafer types having any of the following:
b.1.h.2.a. End-point detection, other than optical emission
spectroscopy types;
b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or
less; or
b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;
Notes: 1. ``Batch types'' refers to machines not specially
designed for production processing of single wafers. Such machines
can process two or more wafers simultaneously with common process
parameters, e.g., RF power, temperature, etch gas species, flow
rates.
2. ``Single wafer types'' refers to machines specially designed
for production processing of single wafers. These machines may use
automatic wafer handling techniques to load a single wafer into the
equipment for processing. The definition includes equipment that can
load and process several wafers but where the etching parameters,
e.g., RF power or end point, can be independently determined for
each individual wafer.
b.1.i. ``Chemical vapor deposition'' (CVD) equipment, e.g.,
plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor
device manufacturing, having either of the following capabilities,
for deposition of oxides, nitrides, metals or polysilicon:
b.1.i.1. ``Chemical vapor deposition'' equipment operating below
105 Pa; or
b.1.i.2. PECVD equipment operating either below 60 Pa (450
millitorr) or having automatic cassette-to-cassette and load lock
wafer handling;
Note: 3B991.b.1.i does not control low pressure ``chemical vapor
deposition'' (LPCVD) systems or reactive ``sputtering'' equipment.
b.1.j. Electron beam systems specially designed or modified for
mask making or semiconductor device processing having any of the
following characteristics:
b.1.j.1. Electrostatic beam deflection;
b.1.j.2. Shaped, non-Gaussian beam profile;
b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit;
or
b.1.j.5. Target-to-beam position feedback control precision of 1
micrometer or finer;
Note: 3B991.b.1.j does not control electron beam deposition
systems or general purpose scanning electron microscopes.
b.1.k. Surface finishing equipment for the processing of
semiconductor wafers as follows:
b.1.k.1. Specially designed equipment for backside processing of
wafers thinner than 100 micrometer and the subsequent separation
thereof; or
b.1.k.2. Specially designed equipment for achieving a surface
roughness of the active surface of a processed wafer with a two-
sigma value of 2 micrometer or less, total indicator reading (TIR);
Note: 3B991.b.1.k does not control single-side lapping and
polishing equipment for wafer surface finishing.
b.1.l. Interconnection equipment which includes common single or
multiple vacuum chambers specially designed to permit the
integration of any equipment controlled by 3B991 into a complete
system;
b.1.m. ``Stored program controlled'' equipment using ``lasers''
for the repair or trimming of ``monolithic integrated circuits''
with either of the following characteristics:
b.1.m.1. Positioning accuracy less than 1
micrometer; or
b.1.m.2. Spot size (kerf width) less than 3 micrometer.
b.2. Masks, mask ``substrates'', mask-making equipment and image
transfer equipment for the manufacture of devices and components as
specified in the heading of 3B991, as follows:
Note: The term ``masks'' refers to those used in electron beam
lithography, X-ray lithography, and ultraviolet lithography, as well
as the usual ultraviolet and visible photo-lithography.
b.2.a. Finished masks, reticles and designs therefor, except:
b.2.a.1. Finished masks or reticles for the production of
unembargoed integrated circuits; or
b.2.a.2. Masks or reticles, having both of the following
characteristics:
b.2.a.2.a. Their design is based on geometries of 2.5 micrometer
or more; and
b.2.a.2.b. The design does not include special features to alter
the intended use by means of production equipment or ``software'';
b.2.b. Mask ``substrates'' as follows:
b.2.b.1. Hard surface (e.g., chromium, silicon, molybdenum)
coated ``substrates'' (e.g., glass, quartz, sapphire) for the
preparation of masks having dimensions exceeding 125 mm x 125 mm; or
b.2.b.2. ``Substrates'' specially designed for X-ray masks;
b.2.c. Equipment, other than general purpose computers,
specially designed for computer aided design (CAD) of semiconductor
devices or integrated circuits;
b.2.d. Equipment or machines, as follows, for mask or reticle
fabrication:
b.2.d.1. Photo-optical step and repeat cameras capable of
producing arrays larger than 100 mm x 100 mm, or capable of
producing a single exposure larger than 6 mm x 6 mm in the image
(i.e., focal) plane, or capable of producing line widths of less
than 2.5 micrometer in the photoresist on the ``substrate';
b.2.d.2. Mask or reticle fabrication equipment using ion or
``laser'' beam lithography capable of producing line widths of less
than 2.5 micrometer; or
b.2.d.3. Equipment or holders for altering masks or reticles or
adding pellicles to remove defects;
Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication
equipment using photo-optical methods which was either commercially
available before the 1st January, 1980, or has a performance no
better than such equipment.
b.2.e. ``Stored program controlled'' equipment for the
inspection of masks, reticles or pellicles with:
b.2.e.1. A resolution of 0.25 micrometer or finer; and
b.2.e.2. A precision of 0.75 micrometer or finer over a distance
in one or two coordinates of 63.5 mm or more;
Note: 3B991.b.2.e does not control general purpose scanning
electron microscopes
[[Page 52971]]
except when specially designed and instrumented for automatic
pattern inspection.
b.2.f. Align and expose equipment for wafer production using
photo-optical or X-ray methods, e.g., lithography equipment,
including both projection image transfer equipment and step and
repeat (direct step on wafer) or step and scan (scanner) equipment,
capable of performing any of the following functions:
Note: 3B991.b.2.f does not control photo-optical contact and
proximity mask align and expose equipment or contact image transfer
equipment.
b.2.f.1. Production of a pattern size of less than 2.5
micrometer;
b.2.f.2. Alignment with a precision finer than 0.25
micrometer (3 sigma);
b.2.f.3. Machine-to-machine overlay no better than 0.3 micrometer; or
b.2.f.4. A light source wavelength shorter than 400 nm;
b.2.g. Electron beam, ion beam or X-ray equipment for projection
image transfer capable of producing patterns less than 2.5
micrometer;
Note: For focused, deflected-beam systems (direct write
systems), see 3B991.b.1.j or b.10.
b.2.h. Equipment using ``lasers'' for direct write on wafers
capable of producing patterns less than 2.5 micrometer.
b.3. Equipment for the assembly of integrated circuits, as
follows:
b.3.a. ``Stored program controlled'' die bonders having all of
the following characteristics:
b.3.a.1. Specially designed for ``hybrid integrated circuits';
b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm;
and
b.3.a.3. Placement accuracy in the X-Y plane of finer than
10 micrometer;
b.3.b. ``Stored program controlled'' equipment for producing
multiple bonds in a single operation (e.g., beam lead bonders, chip
carrier bonders, tape bonders);
b.3.c. Semi-automatic or automatic hot cap sealers, in which the
cap is heated locally to a higher temperature than the body of the
package, specially designed for ceramic microcircuit packages
controlled by 3A001 and that have a throughput equal to or more than
one package per minute.
Note: 3B991.b.3 does not control general purpose resistance type
spot welders.
b.4. Filters for clean rooms capable of providing an air
environment of 10 or less particles of 0.3 micrometer or smaller per
0.02832 m3 and filter materials therefor.
0
22. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3E001 is amended revising the heading and CIV paragraph in the License
Exceptions section, 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 3A292, 3A980, 3A981, 3A991 or 3A992), 3B
(except 3B991 or 3B992) or 3C (except 3C992).
* * * * *
License Exceptions
CIV: N/A
TSR: * * *
* * * * *
0
23. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3E991 is amended revising the heading, to read as follows:
3E991 ``Technology'' for the ``development'', ``production'', or
``use'' of electronic devices or components controlled by 3A991,
general purpose electronic equipment controlled by 3A992, or
manufacturing and test equipment controlled by 3B991 or 3B992, or
materials controlled by 3C992.
* * * * *
0
24. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications, Export Control Classification Number (ECCN) 5A001
is amended by revising the Heading, the License Requirements section
and the ``items'' paragraph in the List of Items Controlled section, to
read as follows:
5A001 Telecommunications systems, equipment, and components, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to 5A001.a, and .e........... NS Column 1.
NS applies to 5A001.b, .c, .d, and .f... NS Column 2.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
* * * * *
List of Items Controlled
Unit: Equipment or antennae in number; cable and fiber in
meters/feet, components and accessories in $ value
Related Controls: * * *
Related Definitions: * * *
Items:
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. Specially designed to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation; or
a.3. Specially designed to operate outside the temperature range
from 218 K (-55 [deg]C) to 397 K (124 [deg]C).
Note: 5A001.a.3 applies only to electronic equipment.
Note: 5A001.a.2 and 5A001.a.3 do not apply to equipment designed
or modified for use on board satellites.
b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any
of the following characteristics, functions or features:
b.1 Being underwater communications systems having any of the
following characteristics:
b.1.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
b.1.b. Using an electromagnetic carrier frequency below 30 kHz;
or
b.1.c. Using electronic beam steering techniques;
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having any of the following characteristics:
b.2.a. Incorporating adaptive techniques providing more than 15
dB suppression of an interfering signal; or
b.2.b. Having all of the following:
b.2.b.1. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.2.b.2. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the 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., having any of the following
characteristics:
b.3.a. User programmable spreading codes; or
b.3.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;
Note: 5A001.b.3.b does not control radio equipment specially
designed for use with civil cellular radio-communications systems.
Note: 5A001.b.3 does not control equipment operating at an
output power of 1.0 Watt or less.
b.4. Being radio equipment employing ultra-wideband modulation
techniques, having user programmable channelizing codes, scrambling
codes, or network identification codes, having any of the following
characteristics:
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 ``frequency switching time'' of less than 1 ms;
b.5.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
[[Page 52972]]
b.5.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.5 does not control radio equipment specially
designed for use with civil cellular radio-communications systems.
b.6. Employing functions of digital ``signal processing'' to
provide voice coding output at rates of less than 2,400 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 and then convert these samples into a digital
signal taking into account specific characteristics of human speech.
c. Optical fiber communication cables, optical fibers and
accessories, as follows:
c.1. Optical fibers of more than 500 m in length specified by
the manufacturer as being capable of withstanding a proof test
tensile stress of 2 x 109 N/m2 or more;
Technical Note: Proof Test: on-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20 [deg]C) and relative
humidity 40%. Equivalent national standards may be used for
executing the proof test.
c.2. Optical fiber cables and accessories designed for
underwater use.
Note: 5A001.c.2 does not control standard civil
telecommunication cables and accessories.
N.B. 1: For underwater umbilical cables, and connectors thereof,
see 8A002.a.3.
N.B. 2: For fiber-optic hull penetrators or connectors, see
8A002.c.
d. ``Electronically steerable phased array antennae'' operating
above 31.8 GHz.
Note: 5A001.d does not control ``electronically steerable phased
array antennae'' for landing systems with instruments meeting ICAO
standards covering microwave landing systems (MLS).
e. Radio direction finding equipment operating at frequencies
above 30 MHz and having all of the following characteristics, 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. Jamming equipment specially designed or modified to
intentionally and selectively interfere with, deny, inhibit, degrade
or seduce cellular mobile telecommunication services, having any of
the following characteristics, and specially designed components
therefore:
f.1. Simulating the functions of Radio Access Network (RAN)
equipment; or
f.2. Detecting and exploiting specific characteristics of the
mobile telecommunications protocol employed (e.g., GSM).
N.B.: For GNSS jamming equipment see the Munitions List.
0
25. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications, Export Control Classification Number (ECCN) 5A991
is amended by revising the ``related definitions'' and the ``items''
paragraphs in the List of Items Controlled section, to read as follows:
5A991 Telecommunication equipment, not controlled by 5A001.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: (1) ``Asynchronous transfer mode''
(``ATM'') is a transfer mode in which the information is organized
into cells; it is asynchronous in the sense that the recurrence of
cells depends on the required or instantaneous bit rate. (2)
``Bandwidth of one voice channel'' is data communication equipment
designed to operate in one voice channel of 3,100 Hz, as defined in
CCITT Recommendation G.151. (3) ``Communications channel
controller'' is the physical interface that controls the flow of
synchronous or asynchronous digital information. It is an assembly
that can be integrated into computer or telecommunications equipment
to provide communications access. (4) ``Datagram'' is a self-
contained, independent entity of data carrying sufficient
information to be routed from the source to the destination data
terminal equipment without reliance on earlier exchanges between
this source and destination data terminal equipment and the
transporting network. (5) ``Fast select'' is a facility applicable
to virtual calls that allows data terminal equipment to expand the
possibility to transmit data in call set-up and clearing ``packets''
beyond the basic capabilities of a virtual call. (6) ``Gateway'' is
the function, realized by any combination of equipment and
``software'', to carry out the conversion of conventions for
representing, processing or communicating information used on one
system into the corresponding, but different conventions used in
another system. (7) ``Integrated Services Digital Network'' (ISDN)
is a unified end-to-end digital network, in which data originating
from all types of communication (e.g., voice, text, data, still and
moving pictures) are transmitted from one port (terminal) in the
exchange (switch) over one access line to and from the subscriber.
(8) ``Packet'' is a group of binary digits including data and call
control signals that is switched as a composite whole. The data,
call control signals, and possible error control information are
arranged in a specified format.
Items:
a. Any type of telecommunications equipment, not controlled by
5A001.a, specially designed to operate outside the temperature range
from 219 K (-54 [deg]C) to 397 K (124 [deg]C).
b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any
of the following characteristics, functions or features:
Note: Telecommunication transmission equipment:
a. Categorized as follows, or combinations thereof:
1. Radio equipment (e.g., transmitters, receivers and
transceivers);
2. Line terminating equipment;
3. Intermediate amplifier equipment;
4. Repeater equipment;
5. Regenerator equipment;
6. Translation encoders (transcoders);
7. Multiplex equipment (statistical mutiplex included);
8. Modulators/demodulators (modems);
9. Transmultiplex equipment (see CCITT Rec. G701);
10. ``Stored program controlled'' digital crossconnection
equipment;
11. ``Gateways'' and bridges;
12. ``Media access units''; and
b. Designed for use in single or multi-channel communication via
any of the following:
1. Wire (line);
2. Coaxial cable;
3. Optical fiber cable;
4. Electromagnetic radiation; or
5. Underwater acoustic wave propagation.
b.1. Employing digital techniques, including digital processing
of analog signals, and designed to operate at a ``digital transfer
rate'' at the highest multiplex level exceeding 45 Mbit/s or a
``total digital transfer rate'' exceeding 90 Mbit/s;
Note: 5A991.b.1 does not control equipment specially designed to
be integrated and operated in any satellite system for civil use.
b.2. Modems using the ``bandwidth of one voice channel'' with a
``data signaling rate'' exceeding 9,600 bits per second;
b.3. Being ``stored program controlled'' digital cross connect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per
port.
b.4. Being equipment containing any of the following:
b.4.a. ``Network access controllers'' and their related common
medium having a ``digital transfer rate'' exceeding 33 Mbit/s; or
b.4.b. ``Communication channel controllers'' with a digital
output having a ``data signaling rate'' exceeding 64,000 bit/s per
channel;
Note: If any uncontrolled equipment contains a ``network access
controller'', it cannot have any type of telecommunications
interface, except those described in, but not controlled by
5A991.b.4.
b.5. Employing a ``laser'' and having any of the following
characteristics:
b.5.a. A transmission wavelength exceeding 1,000 nm; or
b.5.b. Employing analog techniques and having a bandwidth
exceeding 45 MHz;
Note: 5A991.b.5.b does not control commercial TV systems.
b.5.c. Employing coherent optical transmission or coherent
optical detection
[[Page 52973]]
techniques (also called optical heterodyne or homodyne techniques);
b.5.d. Employing wavelength division multiplexing techniques; or
b.5.e. Performing ``optical amplification'';
b.6. Radio equipment operating at input or output frequencies
exceeding:
b.6.a. 31 GHz for satellite-earth station applications; or
b.6.b. 26.5 GHz for other applications;
Note: 5A991.b.6. does not control equipment for civil use when
conforming with an International Telecommunications Union (ITU)
allocated band between 26.5 GHz and 31 GHz.
b.7. Being radio equipment employing any of the following:
b.7.a. Quadrature-amplitude-modulation (QAM) techniques above
level 4 if the ``total digital transfer rate'' exceeds 8.5 Mbit/s;
b.7.b. QAM techniques above level 16 if the ``total digital
transfer rate'' is equal to or less than 8.5 Mbit/s; or
b.7.c. Other digital modulation techniques and having a
``spectral efficiency'' exceeding 3 bit/s/Hz;
Notes: 1. 5A991.b.7 does not control equipment specially
designed to be integrated and operated in any satellite system for
civil use.
2. 5A991.b.7 does not control radio relay equipment for
operation in an ITU allocated band:
a. Having any of the following:
a.1. Not exceeding 960 MHz; or
a.2. With a ``total digital transfer rate'' not exceeding 8.5
Mbit/s; and
b. Having a ``spectral efficiency'' not exceeding 4 bit/s/Hz.
b.8. Providing functions of digital ``signal processing'' as
follows:
b.8.a. Voice coding at rates less than 2,400 bit/s;
b.8.b. Employing circuitry that incorporates ``user-accessible
programmability'' of digital ``signal processing'' circuits
exceeding the limits of 4A003.b.
c. ``Stored program controlled'' switching equipment and related
signaling systems, having any of the following characteristics,
functions or features, and specially designed components and
accessories therefor:
Note: Statistical multiplexers with digital input and digital
output which provide switching are treated as ``stored program
controlled'' switches.
c.1. ``Data (message) switching'' equipment or systems designed
for ``packet-mode operation'' and assemblies and components
therefor, n.e.s.
c.2. Containing ``Integrated Services Digital Network'' (ISDN)
functions and having any of the following:
c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a
``digital transfer rate'' at the highest multiplex level exceeding
192,000 bit/s, including the associated signaling channel (e.g.,
2B+D); or
c.2.b. The capability that a signaling message received by a
switch on a given channel that is related to a communication on
another channel may be passed through to another switch.
Note: 5A991.c does not preclude the evaluation and appropriate
actions taken by the receiving switch or unrelated user message
traffic on a D channel of ISDN.
c.3. Routing or switching of ``datagram'' packets;
c.4. Routing or switching of ``fast select'' packets;
Note: The restrictions in 5A991.c.3 and c.4 do not apply to
networks restricted to using only ``network access controllers'' or
to ``network access controllers'' themselves.
c.5. Multi-level priority and pre-emption for circuit switching;
Note: 5A991.c.5 does not control single-level call preemption.
c.6. Designed for automatic hand-off of cellular radio calls to
other cellular switches or automatic connection to a centralized
subscriber data base common to more than one switch;
c.7. Containing ``stored program controlled'' digital cross
connect equipment with ``digital transfer rate'' exceeding 8.5 Mbit/
s per port.
c.8. ``Common channel signaling'' operating in either non-
associated or quasi-associated mode of operation;
c.9. ``Dynamic adaptive routing'';
Note: 5A991.c.10 does not control packet switches or routers
with ports or lines not exceeding the limits in 5A991.c.10.
c.10. Being packet switches, circuit switches and routers with
ports or lines exceeding any of the following:
c.10.a. A ``data signaling rate'' of 64,000 bit/s per channel
for a ``communications channel controller''; or
Note: 5A991.c.10.a does not control multiplex composite links
composed only of communication channels not individually controlled
by 5A991.b.1.
c.10.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network
access controller'' and related common media;
c.11. ``Optical switching'';
c.12. Employing ``Asynchronous Transfer Mode'' (``ATM'')
techniques.
d. Optical fibers and optical fiber cables of more than 50 m in
length designed for single mode operation;
e. Centralized network control having all of the following
characteristics:
e.1. Receives data from the nodes; and
e.2. Process these data in order to provide control of traffic
not requiring operator decisions, and thereby performing ``dynamic
adaptive routing'';
Note: 5A991.e does not preclude control of traffic as a function
of predictable statistical traffic conditions.
f. Phased array antennae, operating above 10.5 GHz, containing
active elements and distributed components, and designed to permit
electronic control of beam shaping and pointing, except for landing
systems with instruments meeting International Civil Aviation
Organization (ICAO) standards (microwave landing systems (MLS)).
g. Mobile communications equipment, n.e.s., and assemblies and
components therefor; or
h. Radio relay communications equipment designed for use at
frequencies equal to or exceeding 19.7 GHz and assemblies and
components therefor, n.e.s.
0
26. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications, Export Control Classification Number (ECCN) 5D001
is amended by revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
5D001 ``Software'', as described in the List of Items
Controlled.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment, functions
or features controlled by 5A001 or 5B001.
b. ``Software'' specially designed or modified to support
``technology'' controlled by 5E001.
c. Specific ``software'' specially designed or modified to
provide characteristics, functions or features of equipment
controlled by 5A001 or 5B001.
d. ``Software'' specially designed or modified for the
``development'' of any of the following telecommunication
transmission or switching equipment:
d.1. Equipment employing digital techniques, including designed
to operate at a ``total digital transfer rate'' exceeding 15 Gbit/s;
Technical Note: For switching equipment the ``total digital
transfer rate'' is measured at the highest speed port or line.
d.2. Equipment employing a ``laser'' and having any of the
following:
d.2.a. A transmission wavelength exceeding 1750 nm; or
d.2.b. Employing analog techniques and having a bandwidth
exceeding 2.5 GHz;
Note: 5D001.d.2.b. does not control ``software'' specially
designed or modified for the ``development'' of commercial TV
systems.
d.3. Equipment employing ``optical switching''; or
d.4. Radio equipment employing quadrature-amplitude-modulation
(QAM) techniques above level 256.
0
27. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications, Export Control Classification Number (ECCN) 5D991
is amended by revising the heading and ``items'' paragraph in the List
of Items Controlled section, to read as follows:
5D991 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled
by 5A991 and 5B991, and
[[Page 52974]]
dynamic adaptive routing software as described in the List of Items
Controlled.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Software'', other than in machine-executable form,
specially designed for ``dynamic adaptive routing''.
b. [RESERVED]
0
28. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part 2--
Information Security, Export Control Classification Number (ECCN) 5A002
is amended by revising the ``related controls'' and the ``items''
paragraphs in the List of Items Controlled section, to read as follows:
5A002 Systems, equipment, application specific ``electronic
assemblies'', modules and integrated circuits for ``information
security'', as follows (see List of Items Controlled), and other
specially designed components therefor.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: 5A002 does not control the items listed in
paragraphs (a) through (f) in the Note in the items paragraph of
this entry. These items are instead controlled under ECCN 5A992.
5A002 does not control commodities eligible for the Cryptography
Note (Category 5 Part 2 Note 3).
Related Definitions: * * *
Items:
Note: 5A002 does not control the following. However, these items
are instead controlled under 5A992:
(a) ``Personalized smart cards'':
(1) Where the cryptographic capability is restricted for use in
equipment or systems excluded from control paragraphs (b) through
(f) of this Note; or
(2) For general public-use applications where the cryptographic
capability is not user-accessible and it is specially designed and
limited to allow protection of personal data stored within.
N.B.: If a ``personalized smart card'' has multiple functions,
the control status of each function is assessed individually.
(b) Receiving equipment for radio broadcast, pay television or
similar restricted audience broadcast of the consumer type, without
digital encryption except that exclusively used for sending the
billing or program-related information back to the broadcast
providers.
(c) Equipment where the cryptographic capability is not user-
accessible and which is specially designed and limited to allow any
of the following:
(1) Execution of copy-protected ``software'';
(2) Access to any of the following:
(a) Copy-protected contents stored on read-only media; or
(b) Information stored in encrypted form on media (e.g., in
connection with the protection of intellectual property rights)
where the media is offered for sale in identical sets to the public;
(3) Copying control of copyright protected audio/video data; or
(4) Encryption and/or decryption for protection of libraries,
design attributes, or associated data for the design of
semiconductor devices or integrated circuits;
(d) Cryptographic equipment specially designed and limited for
banking use or money transactions;
N.B.: The term ``money transactions'' includes the collection
and settlement of fares or credit functions.
(e) Portable or mobile radiotelephones for civil use (e.g., for
use with commercial civil cellular radio communications systems)
that are not capable of end-to-end encryption.
(f) Cordless telephone equipment not capable of end-to-end
encryption where the maximum effective range of unboosted cordless
operation (e.g., a single, unrelayed hop between terminal and home
basestation) is less than 400 meters according to the manufacturer's
specifications.
Technical Note: Parity bits are not included in the key length.
a. Systems, equipment, application specific ``electronic
assemblies'', modules and integrated circuits for ``information
security'', as follows, and other specially designed components
therefor:
N.B.: For the control of global navigation satellite systems
receiving equipment containing or employing decryption (e.g., GPS or
GLONASS) see 7A005.
a.1. Designed or modified to use ``cryptography'' employing
digital techniques performing any cryptographic function other than
authentication or digital signature having any of the following:
Technical Notes:
1. Authentication and digital signature functions include their
associated key management function.
2. Authentication includes all aspects of access control where
there is no encryption of files or text except as directly related
to the protection of passwords, Personal Identification Numbers
(PINs) or similar data to prevent unauthorized access.
3. ``Cryptography'' does not include ``fixed'' data compression
or coding techniques.
Note: 5A002.a.1 includes equipment designed or modified to use
``cryptography'' employing analog principles when implemented with
digital techniques.
a.1.a. A ``symmetric algorithm'' employing a key length in
excess of 56-bits; or
a.1.b. An ``asymmetric algorithm'' where the security of the
algorithm is based on any of the following:
a.1.b.1. Factorization of integers in excess of 512 bits (e.g.,
RSA);
a.1.b.2. Computation of discrete logarithms in a multiplicative
group of a finite field of size greater than 512 bits (e.g., Diffie-
Hellman over Z/pZ); or
a.1.b.3. Discrete logarithms in a group other than mentioned in
5A002.a.1.b.2 in excess of 112 bits (e.g., Diffie-Hellman over an
elliptic curve);
a.2. Designed or modified to perform cryptanalytic functions;
a.3. [RESERVED]
a.4. Specially designed or modified to reduce the compromising
emanations of information-bearing signals beyond what is necessary
for health, safety or electromagnetic interference standards;
a.5. Designed or modified to use cryptographic techniques to
generate the spreading code for ``spread spectrum'' systems, not
controlled in 5A002.a.6., including the hopping code for ``frequency
hopping'' systems;
a.6. Designed or modified to use cryptographic techniques to
generate channelizing codes, scrambling codes or network
identification codes, for systems using ultra-wideband modulation
techniques, having any of the following characteristics:
a.6.a. A bandwidth exceeding 500 MHz; or
a.6.b. A ``fractional bandwidth'' of 20% or more;
a.7. [RESERVED]
a.8. Communications cable systems designed or modified using
mechanical, electrical or electronic means to detect surreptitious
intrusion;
a.9. Designed or modified to use ``quantum cryptography.''
Technical Notes:
1. `Quantum cryptography' A family of techniques for the
establishment of a shared key for ``cryptography'' by measuring the
quantum-mechanical properties of a physical system (including those
physical properties explicitly governed by quantum optics, quantum
field theory, or quantum electrodynamics).
2. ``Quantum cryptography'' is also known as quantum key
distribution (QKD).
0
29. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6A006
is amended by revising the heading, the ``LVS'' paragraph in the
License Exceptions section, and the ``related controls'' and ``items''
paragraphs in the List of Items Controlled section, to read as follows:
6A006 ``Magnetometers'', ``magnetic gradiometers'', ``intrinsic
magnetic gradiometers'', underwater electric field sensors, and
compensation systems, and specially designed components therefor, as
follows (see List of Items Controlled).
* * * * *
License Exceptions
LVS: $1500, N/A for 6A006.a.1; ``Magnetometers'' and subsystems
defined in 6A006.a.2 using optically pumped or nuclear precession
(proton/Overhauser) having a ``noise level'' (sensitivity) lower
(better) than 2 pT rms per square root Hz; and 6A006.d.
GBS: * * *
CIV: * * *
List of Items Controlled
Unit:* * *
Related Controls: See also 6A996. This entry does not control
instruments specially designed for fishery applications or
[[Page 52975]]
biomagnetic measurements for medical diagnostics.
Related Definitions:* * *
Items:
a. ``Magnetometers'' and subsystems, as follows:
a.1. Using ``superconductive'' (SQUID) ``technology'' and having
any of the following characteristics:
a.1.a. SQUID systems designed for stationary operation, without
specially designed subsystems designed to reduce in-motion noise,
and having a ``noise level'' (sensitivity) equal to or lower
(better) than 50 fT (rms) per square root Hz at a frequency of 1 Hz;
or
a.1.b. SQUID systems having an in-motion-magnetometer ``noise
level'' (sensitivity) lower (better) than 20 pT (rms) per square
root Hz at a frequency of 1 Hz and specially designed to reduce in-
motion noise;
a.2. Using optically pumped or nuclear precession (proton/
Overhauser) ``technology'' having a ``noise level'' (sensitivity)
lower (better) than 20 pT (rms) per square root Hz;
a.3. Using fluxgate ``technology'' having a ``noise level''
(sensitivity) equal to or lower (better) than 10 pT (rms) per square
root Hz at a frequency of 1 Hz;
a.4. Induction coil ``magnetometers'' having a ``noise level''
(sensitivity) lower (better) than any of the following:
a.4.a. 0.05 nT rms/square root Hz at frequencies of less than 1
Hz;
a.4.b. 1 x 10-3 nT rms/square root Hz at frequencies
of 1 Hz or more but not exceeding 10 Hz; or
a.4.c. 1 x 10-4 nT rms/square root Hz at frequencies
exceeding 10 Hz;
a.5. Fiber optic ``magnetometers'' having a ``noise level''
(sensitivity) lower (better) than 1 nT rms per square root Hz;
b. Underwater electric field sensors having a ``noise level''
(sensitivity) lower (better) than 8 nanovolt per meter per square
root Hz when measured at 1 Hz.
c. ``Magnetic gradiometers'' as follows:
c.1. ``Magnetic gradiometers'' using multiple ``magnetometers''
controlled by 6A006.a;
c.2. Fiber optic ``intrinsic magnetic gradiometers'' having a
magnetic gradient field ``noise level'' (sensitivity) lower (better)
than 0.3 nT/m rms per square root Hz;
c.3. ``Intrinsic magnetic gradiometers'', using ``technology''
other than fiber-optic ``technology'', having a magnetic gradient
field ``noise level'' (sensitivity) lower (better) than 0.015 nT/m
rms per square root Hz; and
d. Compensation systems for magnetic and Underwater Electric
Field Sensors resulting in a performance equal to or better than the
control parameters of 6A006.a, 6A006.b, and 6A006.c.
0
30. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6D003
is amended by revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
6D003 Other ``software'', as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Acoustics ``software'', as follows:
a.1. ``Software'' specially designed for acoustic beam forming
for the ``real time processing'' of acoustic data for passive
reception using towed hydrophone arrays;
a.2. ``Source code'' for the ``real time processing'' of
acoustic data for passive reception using towed hydrophone arrays;
a.3. ``Software'' specially designed for acoustic beam forming
for the ``real time processing'' of acoustic data for passive
reception using bottom or bay cable systems;
a.4. ``Source code'' for the ``real time processing'' of
acoustic data for passive reception using bottom or bay cable
systems.
b. Optical sensors. None.
c. Cameras. None.
d. Optics. None.
e. Lasers. None
f. Magnetic and Electric Field Sensors ``software'', as follows:
f.1. ``Software'' specially designed for magnetic and electric
field compensation systems for magnetic sensors designed to operate
on mobile platforms;
f.2. ``Software'' specially designed for magnetic and electric
field anomaly detection on mobile platforms;
g. Gravimeters. ``Software'' specially designed to correct
motional influences of gravity meters or gravity gradiometers;
h. Radar ``software'', as follows:
h.1. Air Traffic Control ``software'' application ``programs''
hosted on general purpose computers located at Air Traffic Control
centers and capable of any of the following:
h.1.a. Processing and displaying more than 150 simultaneous
``system tracks''; or
h.1.b. Accepting radar target data from more than four primary
radars;
h.2. ``Software'' for the design or ``production'' of radomes
which:
h.2.a. Are specially designed to protect the ``electronically
steerable phased array antennae'' controlled by 6A008.e.; and
h.2.b. Result in an antenna pattern having an ``average side
lobe level'' more than 40 dB below the peak of the main beam level.
Technical Note: ``Average side lobe level'' in 6D003.h.2.b is
measured over the entire array excluding the angular extent of the
main beam and the first two side lobes on either side of the main
beam.
0
31. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6E003
is amended by revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
6E003 Other ``technology'', as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Acoustics. None.
b. Optical sensors. None.
c. Cameras. None.
d. Optics, ``technology'', as follows:
d.1. Optical surface coating and treatment ``technology''
``required'' to achieve uniformity of 99.5% or better for optical
coatings 500 mm or more in diameter or major axis length and with a
total loss (absorption and scatter) of less than 5 x
10-3;
N.B.: See also 2E003.f.
d.2. Optical fabrication ``technology'' using single point
diamond turning techniques to produce surface finish accuracies of
better than 10 nm rms on non-planar surfaces exceeding 0.5
m2;
e. Lasers. ``Technology'' ``required'' for the ``development'',
``production'' or ``use'' of specially designed diagnostic
instruments or targets in test facilities for ``SHPL'' testing or
testing or evaluation of materials irradiated by ``SHPL'' beams;
f. Magnetic and Electric Field Sensors. None.
g. Gravimeters. None.
h. Radar. None.
0
32. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 8--Marine, Export Control Classification Number (ECCN) 8A002
is amended by revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
8A002 Systems and equipment, as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit:* * *
Related Controls:* * *
Related Definitions: * * *
Items:
a. Systems and equipment, specially designed or modified for
submersible vehicles, designed to operate at depths exceeding 1,000
m, as follows:
a.1. Pressure housings or pressure hulls with a maximum inside
chamber diameter exceeding 1.5 m;
a.2. Direct current propulsion motors or thrusters;
a.3. Umbilical cables, and connectors therefor, using optical
fiber and having synthetic strength members;
b. Systems specially designed or modified for the automated
control of the motion of submersible vehicles controlled by 8A001
using navigation data and having closed loop servo-controls:
b.1. Enabling a vehicle to move within 10 m of a predetermined
point in the water column;
b.2. Maintaining the position of the vehicle within 10 m of a
predetermined point in the water column; or
b.3. Maintaining the position of the vehicle within 10 m while
following a cable on or under the seabed;
c. Fiber optic hull penetrators or connectors;
d. Underwater vision systems, as follows:
d.1. Television systems and television cameras, as follows:
[[Page 52976]]
d.1.a. Television systems (comprising camera, monitoring and
signal transmission equipment) having a limiting resolution when
measured in air of more than 800 lines and specially designed or
modified for remote operation with a submersible vehicle;
d.1.b. Underwater television cameras having a limiting
resolution when measured in air of more than 1,100 lines;
d.1.c. Low light level television cameras specially designed or
modified for underwater use containing all of the following:
d.1.c.1. Image intensifier tubes controlled by 6A002.a.2.a; and
d.1.c.2. More than 150,000 ``active pixels'' per solid state
area array;
Technical Note: Limiting resolution in television is a measure
of horizontal resolution usually expressed in terms of the maximum
number of lines per picture height discriminated on a test chart,
using IEEE Standard 208/1960 or any equivalent standard.
d.2. Systems, specially designed or modified for remote
operation with an underwater vehicle, employing techniques to
minimize the effects of back scatter, including range-gated
illuminators or ``laser'' systems;
e. Photographic still cameras specially designed or modified for
underwater use below 150 m having a film format of 35 mm or larger,
and having any of the following:
e.1. Annotation of the film with data provided by a source
external to the camera;
e.2. Automatic back focal distance correction; or
e.3. Automatic compensation control specially designed to permit
an underwater camera housing to be usable at depths exceeding 1,000
m;
f. Electronic imaging systems, specially designed or modified
for underwater use, capable of storing digitally more than 50
exposed images;
Note: 8A002.f does not control digital cameras specially
designed for consumer purposes, other than those employing
electronic image multiplication techniques.
g. Light systems, as follows, specially designed or modified for
underwater use:
g.1. Stroboscopic light systems capable of a light output energy
of more than 300 J per flash and a flash rate of more than 5 flashes
per second;
g.2. Argon arc light systems specially designed for use below
1,000 m;
h. ``Robots'' specially designed for underwater use, controlled
by using a dedicated computer, having any of the following:
h.1. Systems that control the ``robot'' using information from
sensors which measure force or torque applied to an external object,
distance to an external object, or tactile sense between the
``robot'' and an external object; or
h.2. The ability to exert a force of 250 N or more or a torque
of 250 Nm or more and using titanium based alloys or ``fibrous or
filamentary'' ``composite'' materials in their structural members;
i. Remotely controlled articulated manipulators specially
designed or modified for use with submersible vehicles, having any
of the following:
i.1. Systems which control the manipulator using the information
from sensors which measure the torque or force applied to an
external object, or tactile sense between the manipulator and an
external object; or
i.2. Controlled by proportional master-slave techniques or by
using a dedicated computer, and having 5 degrees of freedom of
movement or more;
Note: Only functions having proportional control using
positional feedback or by using a dedicated computer are counted
when determining the number of degrees of freedom of movement.
j. Air independent power systems, specially designed for
underwater use, as follows:
j.1. Brayton or Rankine cycle engine air independent power
systems having any of the following:
j.1.a. Chemical scrubber or absorber systems specially designed
to remove carbon dioxide, carbon monoxide and particulates from
recirculated engine exhaust;
j.1.b. Systems specially designed to use a monoatomic gas;
j.1.c. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz, or special mounting
devices for shock mitigation; or
j.1.d. Systems specially designed:
j.1.d.1. To pressurize the products of reaction or for fuel
reformation;
j.1.d.2. To store the products of the reaction; and
j.1.d.3. To discharge the products of the reaction against a
pressure of 100 kPa or more;
j.2. Diesel cycle engine air independent systems, having all of
the following:
j.2.a. Chemical scrubber or absorber systems specially designed
to remove carbon dioxide, carbon monoxide and particulates from
recirculated engine exhaust;
j.2.b. Systems specially designed to use a monoatomic gas;
j.2.c. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; and
j.2.d. Specially designed exhaust systems that do not exhaust
continuously the products of combustion;
j.3. Fuel cell air independent power systems with an output
exceeding 2 kW having any of the following:
j.3.a. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; or
j.3.b. Systems specially designed:
j.3.b.1. To pressurize the products of reaction or for fuel
reformation;
j.3.b.2. To store the products of the reaction; and
j.3.b.3. To discharge the products of the reaction against a
pressure of 100 kPa or more;
j.4. Stirling cycle engine air independent power systems, having
all of the following:
j.4.a. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; and
j.4.b. Specially designed exhaust systems which discharge the
products of combustion against a pressure of 100 kPa or more;
k. Skirts, seals and fingers, having any of the following:
k.1. Designed for cushion pressures of 3,830 Pa or more,
operating in a significant wave height of 1.25 m (Sea State 3) or
more and specially designed for surface effect vehicles (fully
skirted variety) controlled by 8A001.f; or
k.2. Designed for cushion pressures of 6,224 Pa or more,
operating in a significant wave height of 3.25 m (Sea State 5) or
more and specially designed for surface effect vehicles (rigid
sidewalls) controlled by 8A001.g;
l. Lift fans rated at more than 400 kW specially designed for
surface effect vehicles controlled by 8A001.f or 8A001.g;
m. Fully submerged subcavitating or supercavitating hydrofoils
specially designed for vessels controlled by 8A001.h;
n. Active systems specially designed or modified to control
automatically the sea-induced motion of vehicles or vessels
controlled by 8A001.f, 8A001.g, 8A001.h or 8A001.i;
o. Propellers, power transmission systems, power generation
systems and noise reduction systems, as follows:
o.1. Water-screw propeller or power transmission systems, as
follows, specially designed for surface effect vehicles (fully
skirted or rigid sidewall variety), hydrofoils or small waterplane
area vessels controlled by 8A001.f, 8A001.g, .8A001.h or 8A001.i:
o.1.a. Supercavitating, super-ventilated, partially-submerged or
surface piercing propellers rated at more than 7.5 MW;
o.1.b. Contrarotating propeller systems rated at more than 15
MW;
o.1.c. Systems employing pre-swirl or post-swirl techniques for
smoothing the flow into a propeller;
o.1.d. Light-weight, high capacity (K factor exceeding 300)
reduction gearing;
o.1.e. Power transmission shaft systems, incorporating
``composite'' material components, capable of transmitting more than
1 MW;
o.2. Water-screw propeller, power generation systems or
transmission systems designed for use on vessels, as follows:
o.2.a. Controllable-pitch propellers and hub assemblies rated at
more than 30 MW;
o.2.b. Internally liquid-cooled electric propulsion engines with
a power output exceeding 2.5 MW;
o.2.c. ``Superconductive'' propulsion engines, or permanent
magnet electric propulsion engines, with a power output exceeding
0.1 MW;
o.2.d. Power transmission shaft systems, incorporating
``composite'' material components, capable of transmitting more than
2 MW;
o.2.e. Ventilated or base-ventilated propeller systems rated at
more than 2.5 MW;
o.3. Noise reduction systems designed for use on vessels of
1,000 tons displacement or more, as follows:
o.3.a. Systems that attenuate underwater noise at frequencies
below 500 Hz and consist of compound acoustic mounts for the
acoustic isolation of diesel engines, diesel
[[Page 52977]]
generator sets, gas turbines, gas turbine generator sets, propulsion
motors or propulsion reduction gears, specially designed for sound
or vibration isolation, having an intermediate mass exceeding 30% of
the equipment to be mounted;
o.3.b. Active noise reduction or cancellation systems, or
magnetic bearings, specially designed for power transmission
systems, and incorporating electronic control systems capable of
actively reducing equipment vibration by the generation of anti-
noise or anti-vibration signals directly to the source;
p. Pumpjet propulsion systems having a power output exceeding
2.5 MW using divergent nozzle and flow conditioning vane techniques
to improve propulsive efficiency or reduce propulsion-generated
underwater-radiated noise.
q. Self-contained, closed or semi-closed circuit (rebreathing)
diving and underwater swimming apparatus.
Note: 8A002.q does not control an individual apparatus for
personal use when accompanying its user.
0
33. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9--Propulsion Systems, Space Vehicles and Related Equipment,
Export Control Classification Number (ECCN) 9A001 is amended by
revising the ``unit'' and ``items'' paragraphs in the List of Items
Controlled section, to read as follows:
9A001 Aero gas turbine engines incorporating any of the
``technologies'' controlled by 9E003.a, as follows (see List of
Items Controlled).
* * * * *
List of Items Controlled
Unit: Number
Related Controls:* * *
Related Definitions: * * *
Items:
a. Incorporating any of the technologies controlled by 9E003.a.;
or
Note: 9A001.a. does not control aero gas turbine engines which
meet all of the following:
1. Certified by the civil aviation authority in a country listed
in Supplement No. 1 to Part 743; and
2. Intended to power non-military manned aircraft for which one
of the following has been issued by a Participating State listed in
Supplement No. 1 to Part 743 for the aircraft with this specific
engine type.
a. A civil Type Certificate; or
b. An equivalent document recognized by the International Civil
Aviation Organization (ICAO).
b. Designed to power an aircraft designed to cruise at Mach 1 or
higher for more than 30 minutes.
0
34. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9--Propulsion Systems, Space Vehicles and Related Equipment,
Export Control Classification Number (ECCN) 9A012 is amended by
revising the ``heading;'' and the ``related controls'' and the
``items'' paragraphs in the List of Items Controlled section, to read
as follows:
9A012 Non-military ``unmanned aerial vehicles,'' (``UAVs''),
associated systems, equipment and components as follows. (see List
of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: See the U.S. Munitions List Category VIII (22
CFR Part 121). Also see section 744.3 of the EAR.
Related Definitions: * * *
Items:
a. ``UAVs'' having any of the following:
a.1. An autonomous flight control and navigation capability
(e.g., an autopilot with an Inertial Navigation System); or
a.2. Capability of controlled flight out of the direct visual
range involving a human operator (e.g., televisual remote control).
b. Associated systems, equipment and components as follows:
b.1. Equipment specially designed for remotely controlling the
``UAVs'' controlled by 9A012.a.;
b.2. Guidance or control systems, other than those controlled in
Category 7, specially designed for integration into ``UAVs''
controlled by 9A012.a.;
b.3. Equipment and components specially designed to convert a
manned ``aircraft'' to a ``UAV'' controlled by 9A012.a.
Note: 9A012 does not control model aircraft.
0
35. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9--Propulsion Systems, Space Vehicles and Related Equipment,
Export Control Classification Number (ECCN) 9B010 is added following
ECCN 9B009, to read as follows:
9B010 Equipment specially designed for the production of
``UAVs'' and associated systems, equipment and components controlled
by 9A012.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 1.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
36. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9--Propulsion Systems, Space Vehicles and Related Equipment,
Export Control Classification Number (ECCN) 9D001 is amended by
revising the License Requirement section, to read as follows:
9D001 ``Software'' specially designed or modified for the
``development'' of equipment or ``technology'' controlled by 9A
(except 9A018, 9A990 or 9A991), 9B (except 9B990 or 9B991) or 9E003.
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``software'' for items NS Column 1.
controlled by 9A001 to 9A003, 9A012,
9B001 to 9B010, 9E003.
MT applies to ``software'' for equipment MT Column 1.
controlled by 9A106.a and .b, or 9B116
for MT reasons.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
* * * * *
0
37. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9--Propulsion Systems, Space Vehicles and Related Equipment,
Export Control Classification Number (ECCN) 9D002 is amended by
revising the License Requirement section, to read as follows:
9D002 ``Software'' specially designed or modified for the
``production'' of equipment controlled by 9A (except 9A018, 9A990,
or 9A991) or 9B (except 9B990 or 9B991).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``software'' for equipment NS Column 1.
controlled by 9A001 to 9A003, 9A012,
9B001 to 9B010, or 9E003.
MT applies to ``software'' for equipment MT Column 1.
controlled by 9B116 for MT reasons.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
* * * * *
0
38. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9--Propulsion Systems, Space Vehicles and Related Equipment,
Export Control Classification Number (ECCN) 9D004 is amended by
revising the ``items'' paragraph in the List of Items Controlled
section, to read as follows:
[[Page 52978]]
9D004 Other ``software'', as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
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
or components, specially designed to collect, reduce and analyze
data in real time, and capable of feedback control, including the
dynamic adjustment of test articles or test conditions, as the test
is in progress;
c. ``Software'' specially designed to control directional
solidification or single crystal casting;
d. ``Software'' in ``source code'', ``object code'' or machine
code required for the ``use'' of active compensating systems for
rotor blade tip clearance control.
Note: 9D004.d does not control ``software'' embedded in
uncontrolled equipment or required for maintenance activities
associated with the calibration or repair or updates to the active
compensating clearance control system.
e. ``Software'' specially designed or modified for the ``use''
of ``UAVs'' and associated systems, equipment and components
controlled by 9A012.
0
39. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9--Propulsion Systems, Space Vehicles and Related Equipment,
Export Control Classification Number (ECCN) 9E001 is amended by
revising the Heading and the License Requirement section, to read as
follows:
9E001 ``Technology'' according to the General Technology Note
for the ``development'' of equipment or ``software'' controlled by
9A001.c, 9A004 to 9A012, 9B (except 9B990 or 9B991), or 9D (except
9D990 or 9D991).
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1.
controlled by 9A001.c, 9A012, 9B001 to
9B010, 9D001 to 9D004 for NS reasons.
MT applies to ``technology'' for items MT Column 1.
controlled by 9B001, 9B002, 9B003,
9B004, 9B005, 9B007, 9B105, 9B106,
9B116, 9B117, 9D001, 9D002, 9D003, and
9D004 for MT reasons.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
* * * * *
0
40. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9--Propulsion Systems, Space Vehicles and Related Equipment,
Export Control Classification Number (ECCN) 9E003 is amended by
revising the items paragraph of the List of Items Controlled section,
to read as follows:
9E003 Other ``technology'', as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Technology'' ``required'' for the ``development'',
``production'' of any of the following gas turbine engine components
or systems:
a.1. Gas turbine blades, vanes or tip shrouds made from
directionally solidified (DS) or single crystal (SC) alloys having
(in the 001 Miller Index Direction) a stress-rupture life exceeding
400 hours at 1,273 K (1,000 [deg]C) at a stress of 200 MPa, based on
the average property values;
a.2. Multiple domed combustors operating at average burner
outlet temperatures exceeding 1,813 K (1,540 [deg]C) or combustors
incorporating thermally decoupled combustion liners, non-metallic
liners or non-metallic shells;
a.3. Components manufactured from any of the following:
a.3.a. Organic ``composite'' materials designed to operate above
588 K (315 [deg]C);
a.3.b. Metal ``matrix'' ``composite'', ceramic ``matrix'',
intermetallic or intermetallic reinforced materials controlled by
1C007; or
a.3.c. ``Composite'' material controlled by 1C010 and
manufactured with resins controlled by 1C008.
a.4. Uncooled turbine blades, vanes, tip-shrouds or other
components designed to operate at gas path temperatures of 1,323 K
(1,050 [deg]C) or more;
a.5. Cooled turbine blades, vanes or tip-shrouds, other than
those described in 9E003.a.1, exposed to gas path temperatures of
1,643 K (1,370 [deg]C) or more;
a.6. Airfoil-to-disk blade combinations using solid state
joining;
a.7. Gas turbine engine components using ``diffusion bonding''
``technology'' controlled by 2E003.b;
a.8. Damage tolerant gas turbine engine rotating components
using powder metallurgy materials controlled by 1C002.b;
a.9. Full authority digital electronic engine control (FADEC)
for gas turbine and combined cycle engines and their related
diagnostic components, sensors and specially designed components;
a.10. Adjustable flow path geometry and associated control
systems for:
a.10.a. Gas generator turbines;
a.10.b. Fan or power turbines;
a.10.c. Propelling nozzles; or
Note 1: Adjustable flow path geometry and associated control
systems in 9E003.a.10 do not include inlet guide vanes, variable
pitch fans, variable stators or bleed valves for compressors.
Note 2: 9E003.a.10 does not control ``development'' or
``production'' ``technology'' for adjustable flow path geometry for
reverse thrust.
a.11. 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 the ``development'' or
``production'' of gas turbine engine components using ``laser'',
water jet, ECM or EDM hole drilling processes to produce holes
having any of the following sets of characteristics:
c.1. All of the following:
c.1.a. Depths more than four times their diameter;
c.1.b. Diameters less than 0.76 mm; and
c.1.c. Incidence angles equal to or less than 25 [deg]; or
c.2. All of the following:
c.2.a. Depths more than five times their diameter;
c.2.b. Diameters less than 0.4 mm; and
c.2.c. Incidence angles of more than 25 [deg];
Technical Note: For the purposes of 9E003.c, incidence angle is
measured from a plane tangential to the airfoil surface at the point
where the hole axis enters the airfoil surface.
d. ``Technology'' ``required'' for the ``development'' or
``production'' of helicopter power transfer systems or tilt rotor or
tilt wing ``aircraft'' power transfer systems;
e. ``Technology'' for the ``development'' or ``production'' of
reciprocating diesel engine ground vehicle propulsion systems having
all of the following:
e.1. A box volume of 1.2 m3 or less;
e.2. An overall power output of more than 750 kW based on 80/
1269/EEC, ISO 2534 or national equivalents; and
e.3. A power density of more than 700 kW/m3 of box
volume;
Technical Note: Box volume: the product of three perpendicular
dimensions measured in the following way:
Length: The length of the crankshaft from front flange to
flywheel face;
Width: The widest of the following:
a. The outside dimension from valve cover to valve cover;
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing.
Height: The largest of the following:
a. The dimension of the crankshaft center-line to the top plane
of the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
[[Page 52979]]
f. ``Technology'' ``required'' for the ``production'' of
specially designed components, as follows, for high output diesel
engines:
f.1. ``Technology'' ``required'' for the ``production'' of
engine systems having all of the following components employing
ceramics materials controlled by 1C007:
f.1.a Cylinder liners;
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other components (including exhaust ports,
turbochargers, valve guides, valve assemblies or insulated fuel
injectors);
f.2. ``Technology'' ``required'' for the ``production'' of
turbocharger systems, with single-stage compressors having all of
the following:
f.2.a. Operating at pressure ratios of 4:1 or higher;
f.2.b. A mass flow in the range from 30 to 130 kg per minute;
and
f.2.c. Variable flow area capability within the compressor or
turbine sections;
f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a specially designed multifuel (e.g., diesel
or jet fuel) capability covering a viscosity range from diesel fuel
(2.5 cSt at 310.8 K (37.8 [deg]C)) down to gasoline fuel (0.5 cSt at
310.8 K (37.8 [deg]C)), having both of the following:
f.3.a. Injection amount in excess of 230 mm3 per
injection per cylinder; and
f.3.b. Specially designed electronic control features for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
g. ``Technology'' ``required'' for the development'' or
``production'' of high output diesel engines for solid, gas phase or
liquid film (or combinations thereof) cylinder wall lubrication,
permitting operation to temperatures exceeding 723 K (450 [deg]C),
measured on the cylinder wall at the top limit of travel of the top
ring of the piston.
h. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.10 and currently used in the ``development'', ``production'', or
overhaul of hot section parts and components of civil derivatives of
military engines controlled on the U.S. Munitions List.
Dated: August 28, 2006.
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 06-7385 Filed 9-6-06 8:45 am]
BILLING CODE 3510-33-P