[Federal Register Volume 73, Number 199 (Tuesday, October 14, 2008)]
[Rules and Regulations]
[Pages 60910-60934]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-23278]
[[Page 60909]]
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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, 772, and 744
Wassenaar Arrangement Plenary Agreements Implementation: December 2007
Categories 1, 2, 3, 5 Parts I and II, 6, 7, and 9 of the Commerce
Control List, Definitions; December 2006 Solar Cells; Final Rule
Federal Register / Vol. 73 , No. 199 / Tuesday, October 14, 2008 /
Rules and Regulations
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 772 and 774
[Docket No. 080215206-81243-01]
RIN 0694-AE29
Wassenaar Arrangement Plenary Agreements Implementation: December
2007 Categories 1, 2, 3, 5 Parts I and II, 6, 7, and 9 of the Commerce
Control List, Definitions; December 2006 Solar Cells
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) 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 harmonize with 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, 7, and 9; adding new entries to the Commerce Control List
(CCL), and amending EAR Definitions, as well as adding definitions.
The purpose of this final rule is to revise the CCL and definitions
of terms used in the EAR to implement Wassenaar List revisions that
were agreed upon in the December 2007 Wassenaar Arrangement Plenary
Meeting and the Wassenaar List provisions regarding solar cells agreed
upon in the December 2006 plenary meeting.
This rule also adds or expands unilateral U.S. export controls and
national security export 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 October 14, 2008.
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:
[email protected].
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: Michael Pender (202) 482-2458.
Category 6: Chris Costanzo (202) 482-0718 (optics) and Mark Jaso (202)
482-0987 (lasers).
Category 7: Daniel Squire (202) 482-3710.
Category 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: Jasmeet Seehra, or by e-mail to [email protected]
or by fax to (202) 395-7285; 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.
Expanded or New Export Controls
This rule imposes new or expanded NS Column 1 controls. This rule
imposes a license requirement pursuant to section 742.4(a) of the EAR
for exports and reexports to all destinations, except Canada, of
certain commodities (and related software and technology) described in
Export Control Classification Number 9A012.b.4 (certain air breathing
reciprocating or rotary internal combustion type engines). This rule
also imposes such a license requirement for certain software and
technology controlled under ECCN 3D001 and 3E001 related to the
development or production of certain solar cells, cell-interconnect-
coverglass (CIC) assemblies, solar panels, and solar arrays. 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.
This rule imposes new or expands NS Column 2 controls. 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 1A006 (Equipment, specially designed or
modified for the disposal of improvised explosive devices, and
specially designed components and accessories therefor), 1A007
(Equipment and devices, specially designed to initiate charges and
devices containing energetic materials, by electrical means),
3A001.e.4, solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays which are ``space qualified,'' having an
average efficiency exceeding 20% at an operating temperature of 301 K
(28 [deg]C) under simulated ``air mass zero'' illumination with an
irradiance of 1,367 watts per square meter, and 3C002.e (all resists
designed or optimized for use with imprint lithography equipment
specified by 3B001.f.2. that use either a thermal or photo-curable
process) to destinations other than Country Group A:1, cooperating
countries (see Supplement No. 1 to Part 740 of the EAR), Bulgaria,
Czech Republic, Estonia, Hungary, Iceland, Latvia, Lithuania, Poland,
Romania, Slovakia and Slovenia. This NS column 2 license requirement
applies to destinations that have an ``X'' indicated in NS column 2
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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 countries in Country
Group D:1 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 reexports 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.
This rule imposes new or expands anti terrorism (AT) controls. This
rule imposes a unilateral U.S. license requirement to export and
reexport commodities (and related software and technology) controlled
under ECCNs 1A006 (Equipment, specially designed or modified for the
disposal of improvised explosive devices, and specially designed
components and accessories therefor), 1A007 (Equipment and devices,
specially designed to initiate charges and devices containing energetic
materials, by electrical means), 3A001.e.4 solar cells, cell-
interconnect-coverglass (CIC) assemblies, solar panels, and solar
arrays as described above, 3A991.o solar cells, cell-interconnect-
coverglass (CIC) assemblies, solar panels, and solar arrays which are
``space qualified'' and not controlled by 3A001.e.4, 3C002.e (all
resists designed or optimized for use with imprint lithography
equipment specified by 3B001.f.2. that use either a thermal or photo-
curable process), and 9A012.b.4 (certain air breathing reciprocating or
rotary internal combustion type engines) 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.
These unilateral export controls are necessary 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 that could enhance the ability of such
country to support acts of international terrorism. There is a general
policy of denial for applications to export or reexport 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.
Task Force on Editorial Issues (TFEI)
The Wassenaar Arrangement Task Force on Editorial Issues (TFEI)
made revisions, editorial in nature, to clarify or correct control text
or remove extraneous text. The TFEI revisions (over 2,000) were agreed
upon by the WA in December 2007. This rule implements only those TFEI
revisions that coincide with the revisions to ECCNs affected by the
2007 WA agreements. Other TFEI revisions will be implemented in a
separate rule.
Revisions to the Commerce Control List
This rule revises a number of entries on the Commerce Control List
(CCL) to implement the December 2007 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
in certain ECCNs. A description of the specific amendments to the CCL
pursuant to the December 2007 Wassenaar Agreement is provided below.
Newly added ECCNs, as described below, are as follows: 1A006 and 1A007.
The amended ECCNs, as described below, are 1A004, 1E001, 1E201, 2B001,
2B002, 2B006, 2B007, 2B008, 3A001, 3A002, 3A229, 3B001, 3C002, 3C005,
3C006, 3D001, 3E001, 5A001, 5A002, 6A001, 6A005, 6A995, 7A002, 7A003,
7A008, 9A012, and 9E003.
Category 1 Materials, Chemicals, ``Microorganisms,'' and Toxins
ECCN 1A004 (Protective and detection equipment and components) is
amended by:
a. Revising the Related Definitions paragraph of the List of Items
Controlled section to move the definition for ``adapted for use in
war'' from a Note in ECCN 1A004 to the Related Definitions paragraph,
and adding a new definition for ``riot controls agents'' to clarify the
meaning of these terms as they are used in the control parameters of
this entry;
b. Revising paragraphs 1A004.a (gas masks, filter canisters and
decontamination equipment), 1A004.b (protective suits, gloves and
shoes), and 1A004.c (Nuclear, biological and chemical (NBC) detection
systems), to specifically list the agents and materials this equipment
is designed or modified to defend against that would cause this
equipment to be classified under this entry; and
c. Replacing the last Note of ECCN 1A004 with Technical Notes 1 and
2 to provide additional information about what ECCN 1A004 includes and
does not include, as well as providing a technical definition of the
term `simulant'.
ECCN 1A006 is added to the CCL to control ``Equipment, specially
designed or modified for the disposal of improvised explosive devices,
and specially designed components and accessories therefor.''
Rationale: This ECCN is added to prevent potential terrorists from
discovering how to defeat the devices and ensure they are used only by
properly vetted end-users.
ECCN 1A007 is added to the CCL to control ``Equipment and devices,
specially designed to initiate charges and devices containing energetic
materials, by electrical means''
Rationale: This ECCN is added to prevent potential terrorists from
obtaining such devices and ensure they are used by properly vetted end-
users.
ECCN 1E001 (development or production technology) is amended by:
a. Adding two new ECCNs 1A006 and 1A007 to the heading to control
the ``development'' and ``production'' technology for those
commodities; and
b. Revising the NS and NP controls to harmonize with the newly
added ECCNs.
ECCN 1E201 (use technology) is amended by:
a. Adding 1A007 to the heading to control the ``use'' technology
for NP reasons because 3A232.a was moved to 1A007.a and 1A007.b
overlaps with 3A229; and
b. Revising the NP controls to clarify that NP applies only to
those portions of the ECCNs that are controlled for NP reasons.
Category 2 Materials Processing
Technical Notes for 2B001 to 2B009 are amended by removing Notes 5
and 6, and adding new Notes 5 and 6 to
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harmonize with the Wassenaar Arrangement's Technical Notes.
ECCN 2B001 (Machine tools) is amended by:
a. Revising the Heading to add ``as follows'' to harmonize with the
Wassenaar Arrangement's List;
b. Redesignating Related Controls, Notes 1 through 3, as Related
Controls Notes 2 through 4, and adding a new Note 1 to reference ECCN
2B002 for optical finishing machines;
c. Removing the word ``parts'' and adding an ``or'' after paragraph
c in Note 2 at the beginning of the items paragraph of the List of
Items Controlled section as part of the TFEI revisions, because the
word ``parts'' is superfluous;
d. Removing a comma and the word ``characteristics'' from 2B001.a
as part of the TFEI revisions, to correct the punctuation and remove a
superfluous word;
e. Replacing the words ``the production of'' with ``producing'',
removing the word ``characteristics'', and changing the outline format
of the paragraphs from numeric to alphabetic, and in the Note to
2B001.a as part of the TFEI revisions to improve clarity and
readability of this entry;
f. Removing a comma and the word ``characteristics'' from 2B001.b,
2B001.b.4, and 2B001.c, as part of the TFEI revisions to correct
punctuation and remove a superfluous word;
g. Replacing the numeric outline with an alphabetic outline, adding
a comma and the word ``of'' and removing the word ``characteristics''
in paragraph (a) in the Notes to 2B001.c as part of the TFEI revisions
to improve clarity and readability;
h. Adding a comma and removing the word ``characteristics'' to
2B001.e as part of the TFEI revisions to correct punctuation and remove
superfluous word;
i. Replacing the word ``which'' with ``and all of the following''
in 2B001.e.2 as part of the TFEI revisions to clarify the entry;
j. Removing the word ``have'' and capitalizing the word ``A'' in
2B001.e.2.b as part of the TFEI revisions to clarify the entry; and
k. Replacing the parameter ``5,000 mm'' with ``5 m'' in 2B001.f as
part of the TFEI revisions to harmonize with Wassenaar style.
ECCN 2B002 (Numerically controlled machine tools using a
magnetorheological finishing (MRF) process) is amended by:
a. Removing a comma and adding the phrase ``for selective material
removal'' to the heading to better distinguish finishing tools that
only remove material from selected locations as opposed to polishing
tools that are used to improve the finish of an entire surface;
b. Adding a definition for the two new terms ``inflatable membrane
tool finishing'' and ``Fluid jet finishing'' to the Related Definitions
paragraph of the List of Items Controlled section for reasons explained
in the Rationale below;
c. Revising the number of axes from ``three'' to ``four'' in
2B002.c section for reasons explained in the Rationale below;
d. Adding single quotes around the terms listed in 2B002.d.1
`Magnetorheological finishing (MRF)' and d.2 `Electrorheological
finishing (ERF)', because these terms are defined within this ECCN; and
e. Replacing the period with a semi-colon in 2B002.d.3; and adding
two new finishing processes: `Inflatable membrane tool finishing' and
`Fluid jet finishing' in 2B002.d.4 and 2B002.d.5 respectively, for
reasons explained in the Rationale below.
Rationale: A common element of finishing machines is that the
finishing tool is relatively small compared to the workpiece and makes
contact over a small area within the aperture of the workpiece
(typically an optical component) at any one point in time, as opposed
to traditional finishing/polishing tools that make contact over a large
area of the workpiece surface. For this reason, the terms `sub-aperture
finishing' and `small tool' are sometimes used to describe these
machines. Some examples of tools using sub-aperture/small tool
processes are Magnetorheological Finishing (MRF), Eletrorheological
Finishing (ERF), the Loh AII and Zeeko inflatable membrane, and fluid
jet finishing machines. These machines use multiple axes (3-7) to
manipulate the finishing tool and Computer Numerical Control (CNC)
software to coordinate the axes.
Many of the applications of such machines are for flat or spherical
components and the software could be restricted to this capability
allowing export of less capable machines. These machines use
proprietary software capable of producing aspheres or freeform
surfaces. However, this software does not have to be part of the
machine controller, but can be a standalone item that creates a CNC
program for the finishing machine.
The free transfer of finishing machines to countries of concern
would give those countries an improved ability to produce military
critical optical components. An optical finishing machine can produce
equal or better quality aspheric optics than controlled diamond turning
machines or high precision grinders, and can also produce freeform
optics such as wavefront plates and conformal windows. The numerical
control provides the ability to produce aspheric and non-spherical
optics in minutes to hours as opposed to days of highly skilled labor
for manual production. It is for this reason that inflatable membrane
tool finishing and fluid jet finishing processes are being added to the
CCL.
ECCN 2B006 (Dimensional inspection or measuring systems and
equipment) is amended by:
a. Adding a Note under the Nuclear non-Proliferation (NP) controls
in the License Requirements section, stating ``NP applies to measuring
systems in 2B006.b.1.c that maintain, 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: A ``resolution'' over
their full scale of 0.1 [mu]m or less (better); and a ``measurement
uncertainty'' equal to or less (better) than (0.2 + L/2,000) [mu]m (L
is the measured length in mm).''
Rationale: The Nuclear Suppliers Group has not adopted the
revisions pertaining to measuring systems in 2B006.b.1.c that the
Wassenaar Arrangement has adopted. Therefore, these measuring systems
are controlled for nuclear non-proliferation reasons when they meet the
criteria that were in place prior to the publication of this rule,
which are outlined in the newly added NP note.
b. Adding single quotes around the term `Linear displacement' in
2B006.b.1 and replacing the double quotes with single quotes around the
same term as it appears in the technical note to 2B006.1, as part of
the TFEI revisions, because the term is defined in this ECCN;
c. Removing the word ``characteristics'' from 2B006.b.1.b as part
of the TFEI revisions to remove a superfluous word;
d. Removing the word ``or'' from 2B006.b.1.b.2 as part of the TFEI
revisions for clarity;
e. Revising the temperature parameter in 2B006.b.1.c.2, as
explained in the Rationale below;
f. Revising the `measurement uncertainty' parameter in
2B006.b.1.c.2.b, as explained in the Rationale below;
g. Replacing the period with a semi-colon in 2B006.b.1.d as part of
the TFEI revisions to correct the punctuation; and
h. Adding a Note following paragraph 2B006.c that states, ``Machine
tools, which can be used as measuring
[[Page 60913]]
machines, are controlled if they meet or exceed the criteria specified
for the machine tool function or the measuring machine function.'' to
conform to the Wassenaar List.
Rationale: Studies into laser interferometers concluded that the
value of the measurement uncertainty in 2B006.b.1.c.2.b includes taking
into account the refractive index of air in order to achieve a
measurement uncertainty of 0.2 + L/2,000 [mu]m. Lasers used in these
systems are now extremely stable and contribute very little to the
overall measurement uncertainty, whereas the compensation for
environmental conditions contribute approximately 4/5 towards the
systems measurement uncertainty. Therefore it is important to
acknowledge that the system measurement uncertainty includes
compensation for the refractive index of air.
The reference to standard pressure in 2B006.b.1.c.2 has been
removed as this would be difficult to achieve when testing longer
ranges, and compensating for the refractive index of air negates this
requirement. However, reference to temperature remains as it has an
effect on the systems optics as well as the refractive index of air and
contributes to the 0.2[mu]m component of the measurement uncertainty.
The term `capable of achieving' in 2B006.b.1.c.2.b has been
introduced to avoid laser interferometer systems being exported with
poor environmental sensors in the compensation units, resulting in
measurement uncertainty values outside the control parameters, which
could then be replaced with compensator units with good environment
sensors, making the system's measurement uncertainty as good as or
better than those of the control parameters after export.
ECCN 2B007 (Robots) is amended by:
a. Replacing the double quotes with single quotes around the term
`scene analysis' in 2B007.a and the Technical Note that follows, as
part of the TFEI revisions, because this term is a definition defined
within ECCN 2B007, instead of a global definition in part 772 of the
EAR;
b. Adding the word ``potentially'' to 2B007.b and adding a Note
after 2B007 that excludes robots specially designed for paint-spraying
booths from control in this entry. The reason for this change is
explained in the rationale below; and
c. Changing the NP controls from ``2B007.b and 2B007.c and to
specially designed controllers and `end effectors' therefore'' to
``equipment that meets or exceeds the criteria in ECCNs 2B207.''
Rationale: Robots which can be used for a military purpose and
should be controlled are those with the capability of handling high
explosives in potentially explosive atmospheres. To make the meaning of
`explosive munitions environments' clear, the term ``potentially'' is
added before `explosive munitions environments'. In addition, a new
Note to decontrol robots specially designed for paint-spraying booths
is added. A spraying robot alone is not considered to be a military
concern, and today spraying robots are widely used in automobile
manufacturing.
ECCN 2B008 (Assemblies or units, specially designed for machine
tools, or dimensional inspection or measuring systems and equipment) is
amended by:
a. Revising the reference in the Nota Bene (N.B.) following 2B008.a
for laser systems from ``Note to 2B006.b.1'' to ``2B006.b.1.c and d.''
to conform with linear laser systems in 2B006; and
b. Revising the reference in the Nota Bene (N.B.) following 2B008.b
for laser systems from ``Note to 2B006.b.1'' to ``2B006.b.2'' to
conform with rotary systems in 2B006.
Category 3 Electronics
ECCN 3A001 (Electronic components) is amended by:
a. Adding the phrase ``and specially designed components therefor''
to the heading to match the heading with the scope of the entry as part
of the TFEI revisions;
b. Revising the GBS paragraph of the License Exceptions section to
fix a typographical error, i.e., ``TWAS'' to ``TWTAs'';
c. Revising the Note 2 in the Related Controls paragraph of the
List of Items Controlled section to harmonize it with the revisions to
the Items paragraph of this ECCN;
d. Removing the second and third sentences in the ``Related
Definitions'' paragraph of the List of Items Controlled section to
harmonize it with the revisions to the Items paragraph of this ECCN;
e. Removing paragraph 3A001.e.1.c (space qualified and radiation
hardened photovoltaic arrays) in the ``items'' paragraph of the List of
Items Controlled section to move controls to a more appropriate
location in e.4, because batteries and photovoltaic devices reflect
different technologies;
f. Adding a new paragraph 3A001.e.4 and related technical note to
the ``items'' paragraph in the List of Items Controlled section to
explicitly list solar cells, cell-interconnect-coverglass (CIC)
assemblies, solar panels, and solar arrays in order to remove any
ambiguity in the control of these technologies.
g. Removing ``neural network integrated circuits'' from 3A001.a.2,
which removes the overlapping control between 3A001.a.2 and 3A001.a.9;
h. Replacing the period with a semi-colon in 3A001.a.5.a.5 to
correct the punctuation as part of the TFEI revisions;
i. Adding a comma and an ``and'' to 3A001.a.6 as part of the TFEI
revisions to clarify the meaning of the sentence;
j. Adding single quotes around the term `field programmable logic
devices' as part of the TFEI revisions to indicate that the definition
for this term is located in this entry;
k. Revising the type of note from N.B. to Technical Note after the
Note to 3A001.a.7 to correct the type of note and to add single quotes
around the term `field programmable logic devices' as part of the TFEI
revisions to indicate that the definition for this term is located in
this entry;
l. Replacing the words ``which meets'' with ``and having'' and
removing the word ``characteristics'' from Note 1 to 3A001.b.1 and from
paragraph b of Note 2 to 3A001.b.1 as part of the TFEI revisions to
clarify the entry;
m. Replacing the words ``which meets'' with ``having'' and removing
the word ``characteristics'' from Note 2 to 3A001.b.1 as part of the
TFEI revisions to clarify the entry;
n. Adding the word ``Tubes'' to 3A001.b.1.a.1 and 3A001.b.1.a.2 as
part of the TFEI revisions to better describe the commodities;
o. Replacing the word ``with'' with ``having'' and removing the
word ``characteristics'' in 3A001.b.1.a.4 as part of the TFEI revisions
to clarify the entry;
p. Adding initial capitalization and double quotes around the term
``Monolithic Integrated Circuit'' as part of the TFEI revisions because
it is an acronym and a defined term in part 772;
q. Adding the words ``solid state'' and a comma after amplifiers in
3A001.b.4 to clarify the text, as described in the Rationale below;
Rationale for g. through q. above: In 2003 it was agreed by the
Wassenaar Arrangement to update the control text for microwave solid
state amplifiers and include text for assemblies containing these
amplifiers. The existing control text, as written, goes beyond the
original intent to control microwave assemblies/modules containing
solid state amplifiers and can be interpreted to control traveling wave
tube amplifiers, which are to be controlled as described in 3A001.b.8.
The addition of the words solid state to describe the type of
amplifiers contained in the microwave assembly will eliminate this
interpretation.
[[Page 60914]]
r. Adding double quotes around the term ``fractional bandwidth'' in
3A001.b.4.f.2 as part of the TFEI revisions, because this is a global
definition found in part 772;
s. Replacing the period with a semi-colon in 3A001.b.4.f.3 as part
of the TFEI revisions to correct the punctuation;
t. Adding an ``and'' in 3A001.b.5 as part of the TFEI revisions to
add clarity to the sentence;
u. Removing the words ``Mixers and'' and adding the words ``and
harmonic mixers,'' and adding a reference to ``3A002.d'' in 3A001.b.7,
as explained in the Rationale below;
Rationale: As a consequence of the deletion of subparagraph
3A001.b.6 in December 2003, there is ambiguity regarding the
distinction between ``mixers'' ``converters'' in 3A001.b.7. Prior to
December 2003, generic mixers as standalone components were controlled
in then-3A001.b.6 (microwave assemblies 31.8 GHz). As part
of the deletion of 3A001.b.6, there was a deliberate decision to
release controls on mixers that are standalone components. Thus,
retention of the word ``mixers'' in 3A001.b.7 is confusing, and best
modified with the term ``harmonic mixers,'' because such mixers are
typically used to extend the frequency range of systems described in
3A002.c, 3A002.d, 3A002.e, and 3A002.f.
v. Revising the reference in 3A001.b.8 from reading ``3A001.b'' to
read ``3A001.b.1'' to correct the reference;
w. Adding double quotes around ``monolithic integrated circuit'',
removing a comma, adding an ``and'', and removing the word
``characteristics'' in 3A001.b.9 as part of the TFEI revisions to
clarify the entry and make it clear that ``monolithic integrated
circuit'' is a global definition in part 772 of the EAR;
x. Adding single quotes around the term `turn-on time' in
3A001.b.9.a and Technical Note 2 following paragraph 3A001.b.9.c.2 as
part of the TFEI revision, because this term is defined in this entry;
y. Adding the word ``having'' in 3A001.b.9.c and 3A001.g.2 as part
of the TFEI revisions to clarify the entry;
z. Removing the word ``having'' from 3A001.b.9.c.2 as part of the
TFEI revisions to clarify the entry;
aa. Removing the word ``control'' from Technical Note 1 following
paragraph 3A001.b.9.c.2 as part of the TFEI revisions, because the word
is superfluous;
bb. Replacing a semi-colon with a comma in Technical Note 2
following paragraph 3A001.b.9.c.2 to fix the punctuation as part of the
TFEI revisions;
cc. Removing commas before and after ``as follows'' in 3A001.c. to
fix punctuation as part of TFEI revisions;
dd. Revising the frequency from ``2.5 GHz'' to ``6 GHz'' in
3A001.c.1.a and 3A001.c.1.b, as explained in the rationale below;
ee. Removing the comma in 3A001.c.1.b as part of the TFEI
revisions;
ff. Removing a comma and adding an ``and'' in 3A001.c.1.c and
3A001.e.3 as part of the TFEI revisions to clarify the entry;
gg. Revising the bandwidth from ``50 MHz'' to ``100 MHz'' in
3A001.c.1.c.3, as explained in the Rationale below;
hh. Revising the frequency from ``1 GHz'' to ``2.5 GHz'' in
3A001.c.2, as explained in the Rationale below;
Rationale: Use of acoustic wave devices in civilian application is
indeed becoming predominant between 1 and 6 GHz. However, they usually
do not require high rejection and/or high bandwidth. Therefore, this
rule has changed the frequency upper limit in paragraphs 3A001.c.1.a
and 3A001.c.1.b to 6 GHz without changing bandwidth or rejection. Below
1 GHz, there is an increasing civilian need for bandwidth of 100 MHz,
but once again, these civilian applications do not usually require high
rejection. Bulk acoustic wave devices above 2.5 GHz are considered
military significant (e.g., S-band and X-band radar). Therefore this
rule has limited the frequency extension to 2.5 GHz, allowing the
exclusion of most of the items used only in civilian applications (2.4
GHz and below) from control in this entry.
ii. Adding a comma after ``materials'' and replacing ``with'' with
``and having'' in 3A001.d as part of the TFEI revisions to clarify the
entry;
jj. Removing the comma in 3A001.e as part of the TFEI revisions to
correct the punctuation of the entry;
kk. Adding single quotes around the term `Cells' and removing the
comma in 3A001.e.1 as part of the TFEI revisions to indicate that
`cells' are defined in the entry and to clarify the entry;
ll. Adding single quotes around the terms `primary cells' and
`energy density' in 3A001.e.1.a, 3A001.e.1.b and Technical Note 1 as
part of the TFEI revisions, because these terms are defined in the
entry;
mm. Adding the abbreviation of ``Ah'' for the term ``ampere-hours''
in Technical Note 1 after paragraph 3A001.e.1.b as part of the TFEI
revisions to clarify the entry;
nn. Replacing ``and'' with ``an'' in front of ``electrolyte'' in
Technical Note 2 after paragraph 3A001.e.1.b to correct grammar as part
of the TFEI revisions;
oo. Removing a comma from 3A001.e.2 as part of the TFEI revisions
to correct the punctuation in the entry;
pp. Adding an ``and'' to 3A001.e.2.a and 3A001.e.2.b as part of the
TFEI revisions to clarify the entry;
qq. Adding a comma after ``solenoids'' and replacing a comma with
``and'' in 3A001.e.3 as part of the TEFI revisions; and, replacing a
period with a semi-colon at the end of 3A001.f.2 as part of the TEFI
revisions;
rr. Adding single quotes around the term `thyristor modules' and a
comma after this term in 3A001.g as part of the TFEI revisions to
indicate that these modules are defined in the entry, and replacing a
comma with an ``and'' as part of the TFEI revisions to clarify the
entry;
ss. Correcting the numbering of the paragraphs in 3A001.g;
tt. Adding ``having'' in 3A001.g.2 as part of the TFEI revisions to
clarify the entry; and
uu. Adding single quotes around the term `thyristor modules' in
Note 2 to 3A001.g as part of the TFEI revisions to indicate that these
modules are defined in the entry, and to clarify the entry.
ECCN 3A002 (General purpose electronic equipment) is amended by:
a. Revising the heading to implement the TFEI to clarify the scope
of the entry;
b. Revising a reference to ``3A002.g.2'' to read ``3A002.g.1'' in
the Related Controls paragraph of the List of Items Controlled section
to correct this paragraph reference;
c. Removing a comma and adding an ``and'' to 3A002.a.3, 3A002.a.4,
and 3A002.a.6, as well as removing commas from 3A002.a, as part of the
TFEI revisions to clarify the entry;
d. Adding single quotes around the term `continuous throughput' in
3A002.a.5.b and 3A002.a.b.6 as part of the TFEI revisions, because it
is a defined term within the Technical Note that follows this
paragraph;
e. Revising ``Technical Note'' to read ``Technical Notes'' and
separating the technical note that follows 3A002.a.5.b into two
separate Technical Notes and adding single quotes around `continuous
throughput' as part of the TFEI revisions, for the purpose of clarity;
f. Adding double quotes around ``signal analyzers'' in the Note
that follows 3A002.b, as part of the TFEI revisions, because this is a
global term that is defined in part 772 of the EAR;
g. Adding a hyphen between the words ``radio'' and ``frequency''
and
[[Page 60915]]
removing a comma in 3A002.c, as part of the TFEI revisions to add
clarity;
h. Adding single quotes around the term `pulse duration' in
3A002.d.1 to indicate this is defined within this ECCN, as part of the
TFEI revisions;
i. Removing ``the term'' from Note 1 after 3A002.d.4 as part of the
TFEI revisions to remove superfluous words;
j. Revising 3A002.g (atomic frequency standards) to make
adjustments based on technical advancements in this area, as explained
in the Rationale below;
Rationale: Precision timing sources enable precision navigation and
precision sensor array synchronization. Miniaturized precision timing
sources are a potential enabling technology for small unmanned
vehicles. Miniaturization has also transformed the applications for
which rubidium standards can be used. Advances in technology have now
made possible very small atomic clocks--which happen also to be based
on energy state transitions of rubidium. Unfortunately, the control
text in Category 3 did not anticipate the new technology and
specifically exempted all so-called ``rubidium clocks'' that are not
space-qualified from control, thus decontrolling atomic clocks and
technology of concern. This revision to 3A002.g is intended to avoid
capturing rubidium clocks, which are based on the older lamp-pumped
technology, because those clocks require more power to operate. This
revision is also intended to control emerging technology (so-called
coherent population trapping (CPT) technique or laser-pumped gas cell
technique) that has far more significant military applications.
ECCN 3A229 (Firing Sets) is amended by revising the Related
Controls paragraph to add a reference to 1E001 for ``development'' and
``production'' technology and 1E201 for ``use'' technology.
ECCN 3A232 (Detonators and multipoint initiation systems) is
amended by:
a. Redesignating Related Controls notes 1 and 2 to 2 and 3, and
adding a new note 1 that reads ``See 1A007 for electrically driven
explosive detonators.''; and
b. Removing and reserving 3A232.a and all but the last sentence of
the technical note, because electrically driven explosive detonators
are now controlled in ECCN 1A007.
ECCN 3B001 (Equipment for manufacturing of semiconductor devices or
materials, and specially designed components and accessories therefore)
is amended by:
a. Removing a comma from the heading as part of the TFEI revisions
to correct punctuation;
b. Adding initial capitalization to the term `Metal Organic
Chemical Vapor Deposition' in 3B001.a.2 as part of the TFEI revisions
to correct format and to indicate the meaning of the acronym MOCVD;
c. Removing a comma and adding an `and' to 3B001.b and 3B001.f.1 as
part of the TFEI revisions to correct grammar;
d. Adding `Chemical Vapor Deposition' in front of the acronym (CVD)
in 3B001.d as part of the TFEI revisions to add clarity;
e. Removing the comma after ``equipment'' in 3B001.f. as part of
the TFEI revisions to add clarity;
f. Removing a comma and adding an ``and'' in 3B001.f.1. as part of
the TFEI revisions to add clarity;
g. Adding single quotes around `minimum resolvable feature size' in
3B001.f.1.b and in the Technical Note that follows, to indicate that
this term is defined in the Technical Note that follows that paragraph;
h. Revising 3B001.f.3 (equipment specially designed for mask making
or semiconductor device processing) to clarify the scope of the
control;
i. Adding a comma to 3B001.g as part of the TFEI revisions, to
correct the punctuation; and
j. Replacing the period with a semi-colon at the end of 3B001.h as
part of the TFEI revisions to correct the punctuation.
ECCN 3C002 (Resist materials) is amended by:
a. Revising the heading as part of the TFEI revisions, to clarify
the scope of the entry; and
b. Revising the reference to ``3C002.b through .d'' to read
``3C002.b through .e'' in the eligibility paragraphs for License
Exceptions GBS and CIV to reflect the new paragraph 3C002.e; and
c. Adding a new paragraph 3C002.e to control ``all resists designed
or optimized for use with imprint lithography equipment specified by
3B001.f.2 that use either a thermal or photo-curable process''.
Rationale: With the tools used for imprint lithography now being
controlled as a result of the 2006 Wassenaar Arrangement agreements,
for completeness, the resists materials used with these controlled
tools are being controlled through this new paragraph 3C002.e. Resists
for imprint lithography equipment is now controlled in the same manner
as controls on optical lithography equipment. Resists are indispensable
materials for the exposure process in semiconductor manufacturing.
These semiconductors are used in many military items.
ECCN 3C005 (Silicon carbide (SiC) wafers) is amended by revising
the heading to add controls resulting from technical advancements and
to make technical clarifications, as explained in the Rationale below.
Rationale: Gallium nitride (GaN) transistors have demonstrated
performance at power densities well beyond microwave transistors based
on gallium arsenide (GaAs). Power levels achieved from GaN transistors
have also exceeded by a factor of four to five those obtained from
comparable GaAs transistors at frequencies up to 40 GHz.
GaN substrates may also be used to produce high brightness Light-
Emitting Diodes (LEDs) and semiconductor blue laser diodes. The
resistivity parameter (10,000 ohm-cm) of this ECCN was chosen to
control GaN substrates and wafers used to produce microwave devices
with significant military potential, while excluding GaN substrates and
wafers for LED or diode production from control. Substrates for LED or
diode production are generally lower in resistivity. Some substrates
for commercial microwave products may be controlled under this
revision.
Aluminum nitride (AlN) substrates have also shown great promise as
a substrate for the deposition of GaN epitaxial layers. They posses
high thermal conductivity, low thermal expansion mismatch, as well as
relatively low lattice mismatch with GaN, and have great potential for
use in military high power microwave applications.
It is also important to control the ingots and boules of SiC, GaN
and AlN that have the resistivity of the wafers sliced from the ingots
and boules. Otherwise, there would be a loop-hole in the controls. For
this reason, ingots, boules and other preforms of those materials have
been added to the Heading of this entry.
This revision to ECCN 3C005 also makes a technical clarification,
which is also applied to the new ECCN 3C006, noting that the
resistivity parameter is a substrate resistivity measurement made at
room temperature (20 [deg]C).
ECCN 3C006 is added to control ``Substrates'' specified in 3C005
with at least one epitaxial layer of silicon carbide, gallium nitride,
aluminum nitride or aluminum gallium nitride.
Rationale: A single layer of epitaxy that is of the same material
as the substrate should be controlled, as this type of epitaxy (``homo-
epitaxy'') can be used to make RF devices. Presently, the CCL only
controls epitaxy material, which is different than the substrate
[[Page 60916]]
material (``hetero-epitaxy''). The creation of ECCN 3C006 closes this
loop-hole by controlling these substrates.
ECCN 3D001 (Development and production software) is amended by
changing Related Controls Notes 1 and 2 to conform to the new 3A001
Related Controls for solar cells, cell-interconnect-coverglass (CIC)
assemblies, solar panels, and solar arrays in order to remove any
ambiguity in the control of these technologies.
ECCN 3E001 (Development and production technology) is amended by:
a. Revising the Heading to add ECCN 3A999 to the list of excluded
ECCNs controlled by this entry, because this Wassenaar created ECCN did
not intend to control ECCN 3A999 items;
b. Revising the national security control text in the License
Requirement section to add ECCN 3C006 in order to control the
``development'' and ``production'' technology for this newly controlled
commodity;
c. Removing ``The term'' from the Technical Note in the Items
paragraph of the List of Items Controlled section of 3E001, as part of
the TFEI revisions, because these words are superfluous; and
d. Revising Related Controls Note 2 to conform to the new 3A001
Related Controls for solar cells, cell-interconnect-coverglass (CIC)
assemblies, solar panels, and solar arrays in order to remove any
ambiguity in the control of these technologies.
Category 5 Part I Telecommunications
ECCN 5A001 (Telecommunications systems, equipment, and components)
is amended by:
a. Adding the words ``and accessories'' to the heading as part of
the TFEI revisions, to more correctly state the scope of this entry;
b. Replacing a period with a semi-colon in 5A001.a.3 as part of the
TFEI revisions, to correct the punctuation;
c. Revising 5A001.b.1 (underwater communications systems) by adding
``untethered'' and by adding a new paragraph 5A001.b.1.d to control
systems using lasers or light-emitting diodes (LEDs) because of
technical advancements for this type of equipment;
Rationale: The existing control text in this entry was written
years ago and was written with regard to underwater communications
technologies which were known at the time. New technologies have
emerged that are not specified by the current controls but which have
capabilities similar to, or even exceeding, those currently specified.
The addition of paragraph 5A001.b.1.d is necessary to close the
loophole for underwater untethered optical communications using laser
or LED.
d. Removing the word ``characteristics'' from 5A001.b.1, 5A001.b.2,
5A001.b.3, and 5A001.e as a part of the TFEI revisions because it is
superfluous;
e. Replacing a comma with the word ``and'' in 5A001.b.3 and
5A001.b.4 as part of the TFEI revisions to correct the grammar;
f. Replacing ``1.0 Watt'' with ``1 W'' in the Note to 5A001.b.3 as
a part of the TFEI revisions, because this is the standard way of
stating such a parameter;
g. Adding single quotes around the term `voice coding' in 5A001.b.6
and the Technical Note that follows as a part of the TFEI revisions
because this term is defined within the entry;
h. Adding single quotes around the term `proof test' in 5A001.c.1
and the Technical Note that follows as part of the TFEI revisions
because this term is defined within the entry;
i. Adding a comma and replacing the period with a semi-colon in
5A001.c.2 as part of the TFEI revisions to correct the punctuation;
j. Replacing a period with a semi-colon in 5A001.d. as part of the
TFEI revisions to correct punctuation;
k. Adding initial capitalization to ``Microwave Landing Systems''
because it is followed by the acronym (MLS) in the Note to 5A001.d and
replacing a period with a semi-colon as part of the TFEI revisions;
l. Adding initial capitalization to ``Line Of Bearing'' because it
is followed by the acronym (LOB) in 5A001.e.2, and replacing the period
with a semi-colon to correct the punctuation as part of the TFEI
revisions;
m. Removing the word ``cellular'' from 5A001.f to account for
technical advancements of this equipment;
Rationale: Manufacturers are being asked to design jamming
equipment for satellite telephony systems that are being used in
warfare. The systems are not specially designed for military use. This
equipment is not currently controlled by 5A001.f. These systems are
being used by insurgents to command and control activity in conflict
areas. Therefore, this revision to paragraph 5A001.f is made to expand
the scope of control to include jammers for any mobile
telecommunications device in order to prevent the users of the
equipment from obtaining this type of jamming device, or related
technology used to defeat it.
n. Replacing a comma with an ``and'' in 5A001.f as part of the TFEI
revisions to correct the grammar;
o. Replacing a period with a semi-colon in 5A001.f.2. as part of
the TFEI changes to correct punctuation;
p. Adding the acronym (PCL) after Passive Coherent Location in
5A001.g as part of the TFEI revisions as this is a commonly used
acronym; and
q. Adding ``or'' in the note to 5A001.g as part of the TFEI
revisions to correct the format.
Category 5 Part 2 ``Information Security''
ECCN 5A002 (``Information security'' systems, equipment and
components) is amended by:
a. Revising the Heading, as part of the TFEI revisions to clarify
the scope of the entry;
b. Adding the words ``any of'' in the heading of the Note to 5A002
as part of the TFEI revisions to clarify the heading;
c. Adding ``having any of the following'' after the word ``cards''
in paragraph (a)(1) of the Note to 5A002 as part of the TFEI revisions
to clarify the text;
d. Replacing the reference to paragraph f with a reference to
paragraph g in paragraph (a)(1) of the Note to 5A002 to harmonize this
paragraph with the addition of a new paragraph g in the Note to 5A002;
e. Adding single quotation marks around the term `money
transactions' in paragraph d of the Note to 5A002;
f. Replacing ``N.B.'' with ``Technical Note'' after paragraph
5A002.d and replacing the double quotation marks with single quotation
marks around the term `money transactions' in this Technical Note as
part of the TFEI changes to add clarity to the text;
g. Replacing the phrase ``that are not capable of end-to-end
encryption'' with ``that are not capable of transmitting encrypted data
directly to another radiotelephone or equipment (other than Radio
Access Network (RAN) equipment), nor of passing encrypted data through
RAN equipment (e.g., Radio Network Controller (RNC) or Base Station
Controller (BSC))'' in paragraph e of the Note to 5A002 at the
beginning of the items paragraph in the List of Items Controlled
section;
Rationale: This change in paragraph e of the Note to 5A002
clarifies that portable handheld devices (such as 3G cellular phones)
providing secure Web browser, e-mail and other encryption capability
across networks such as the Internet are controlled by the Wassenaar
Arrangement, unless they are otherwise decontrolled as `mass market'
products
[[Page 60917]]
according to the provisions of the Cryptography Note (Note 3 of
Category 5--Part 2). The technical language of this revised Note e
clarifies that encrypted phone-to-server' (e.g., Internet) connections
are treated the same as encrypted `phone-to-phone' connections.
Meanwhile, portable handheld devices (such as 2G cellular phones) where
encryption is limited to airlink encryption to base stations (RAN
equipment) remain eligible for the provisions of Category 5--Part 2
(ECCN 5A002) Note e.
h. Adding a new paragraph g to the Note to 5A002 to exclude from
ECCN 5A002 certain portable or mobile radiotelephones and similar
client wireless devices for civil use, as well as adding an ``or'' to
the end of the preceding paragraph f;
Rationale: Paragraph g was added to 5A002 to make clear that mass
market mobile devices that are adapted for a particular civil industry
application, with features that do not involve any changes to the
cryptographic functionality of the original device, are not intended to
be controlled under ECCN 5A002. Examples of such customized products
are CDMA/GSM/GPRS/Wi-Fi (IEEE 802.11)/Bluetooth devices for the
transportation (including automotive parts and equipment) and service
industries, Personal Digital Assistants (PDAs) and Pocket PCs for
health care professionals, and wireless water/gas/electric utility
meter readers. These customized products are not intended for retail
sale to the general public, and therefore were not clearly excluded
from control under previous Category 5 Part 2 text. However, the
technical details of the original (non-customized) mass market
platforms are not affected by such adaptations for a particular civil
application operating over publicly accessible commercial networks.
i. Adding initial capitalization to ``Global Navigation Satellite
Systems'', adding the acronym (GNSS), and replacing the abbreviation
``e.g.'' with ``i.e.'' in the Nota Bene (NB) after 5A002.a, as part of
the TFEI revisions to clarify the entry;
j. Adding an ``and'' in 5A002.a.1 as part of the TFEI revisions to
clarify the entry;
k. Adding an ``and'' and removing ``characteristics'' from
5A002.a.6 as part of the TFEI revisions to clarify the entry; and
l. Adding initial capitalization to ``Quantum Key Distribution'' in
Technical Note 2 after 5A002.a.9, as part of the TFEI revisions to
clarify the term in the entry.
Category 6 Sensors
ECCN 6A001 (Acoustics) is amended by:
a. Revising the Heading as part of the TFEI revisions to clarify
the scope of the entry;
b. Removing a comma and adding an ``and'' in 6A001.a.1.a, as part
of the TFEI revisions for clarity;
c. Removing the word ``Being'' in 6A001.a.1.a.1, 6A001.a.1.a.2, and
6A001.a.1.a.3, as part of the TFEI revisions for clarity;
d. Removing a comma and adding an ``and'' in 6A001.a.1.c, as part
of the TFEI revisions for clarity;
e. Adding single quotes around the term `acoustic power density' in
6A001.a.1.c.2 and the Technical Note that follows 6A001.a.1.c.2 to
indicate that the term is defined within the entry, as well as
correcting unit of measurement ``Mw'' to read ``mW'', as part of the
TFEI revisions;
f. Adding a comma in 6A001.a.1.d, as part of the TFEI revisions;
g. Deleting the word ``characteristics'' from 6A001.a.2.a. as part
of the TFEI revisions;
h. Removing the ``or'' at the end of 6A001.a.2.a.3.a, as part of
the TFEI revisions;
i. Adding single quotes around the terms `Piezoelectric polymer
films', `flexible piezoelectric composites', `hydrophone sensitivity'
in 6A001.a.2.a.3.b, 6A001.a.2.a.3.c, and 6A001.a.2.a.4, respectively,
to indicate these terms are defined within the entry, as part of the
TFEI revisions;
j. Removing the word ``When'' in 6A001.a.2.a.5, as part of the TFEI
revisions for clarity;
k. Adding single quotes around the term `hydrophone sensitivity' in
Technical Note 3 that follows 6A001.a.2.a.6 to indicate that the term
is defined in the entry, as part of the TFEI revisions;
l. Replacing double quotation marks around the phrase ``able to be
modified'' with single quotations marks in the Technical Note after
6A001.a.2.b.2 as part of the TFEI revisions;
m. Replacing the double quotes with single quotes around the term
``able to be modified'' in the technical note after a.2.b.2, because
the term is locally defined in the ECCN;
n. Adding a comma after the word ``systems'' in 6A001.a.2.e as part
of the TFEI changes to add clarity to the text;
o. Removing and reserving paragraph 6A001.a.2.b.6 as explained in
the Rationale below;
Rationale: Paragraph 6A001.a.2.b.6 is removed because the depth
control of the streamer itself, combined with the control on
hydrophones that already exist in 6A001.a.2.b.2 are robust enough to
cover the multiplexer module depth limit.
p. Revising ``Correlation-velocity sonar log equipment'' to read
``Correlation-velocity and Doppler-velocity sonar log equipment'',
adding ``as follows'' to 6A001.b, and moving the parameter ``at
distances between the carrier and the sea bed exceeding 500 m'' from
6A001.b to a new paragraph 6A001.b.1.a as explained in the Rationale
below;
q. Adding two new paragraphs: 6A001.b.1 for correlation-velocity
sonar log equipment, and 6A001.b.2 for doppler-velocity sonar
equipment, as well as adding 2 new exclusion notes as explained in the
Rationale below.
Rationale: The revision to 6A001.b and the addition of 6A001.b.1
and 6A001.b.2 were necessary because velocity sonar logs can be either
correlation-velocity sonar logs (CVSL) or Doppler-velocity sonar logs
(DVSL). They are being used increasingly in both commercial and
military underwater applications. Although the specific techniques used
by the CVSL and DVSL are different, they both determine the horizontal
speed of surface vessels, underwater vehicles or swimmers in both fore
and aft and athwartship (at right angles).
ECCN 6A005 (Lasers) is amended by:
a. Revising the citation ``6A005.b.2, b.3, or b.4'' to read
``6A005.a.4, b.2, b.3, b.4'' in paragraph g of the License Requirements
Note to correct an oversight; and
b. Revising the text in the GBS and CIV paragraphs of the License
Exception section to match the license exception eligibility in place
prior to the November 5, 2007 Federal Register publication of the 2006
Wassenaar implementation regulation (72 FR 62524) and to correct an
error.
Rationale: Dye and liquid lasers controlled by 6A005.c.3, except
for a pulsed single longitudinal mode oscillator having an average
output power exceeding 1W and a repetition 1 kHz if the pulse duration
is less than 100 ns, were eligible for License Exception GBS and CIV
prior to the 11/05/07 publication. When ECCN 6A005 was completely
revised in the November 5, 2007 Federal Register publication these
lasers were inadvertently removed from being eligible for License
Exceptions GBS and CIV. This rule corrects that error.
ECCN 6A995 is amended by correcting the reference ``6A995.e.1.b''
to read ``6A995.e.2.b'' in the Note following 6A995.e.2.b.
[[Page 60918]]
Category 7 Navigation and Avionics
ECCN 7A002 (Gyros or angular rate sensors) is amended by replacing
the term ``drift rate'' with ``bias'' in 7A002.a and 7A002.c.1 in the
Items paragraph of the List of Items Controlled section, as explained
below.
Rationale: The ``bias'' component of ``drift rate'' is the error
term that is usually listed on the manufacturer's specification sheets.
Although ``drift rate'', ``stability'', and ``bias'' ``stability'' are
sometimes used interchangeably, ``bias'' ``stability'' is more often
used on the gyro data sheet.
ECCN 7A003 (Inertial Systems and specially designed components
therefor) is amended by:
a. Adding the word ``navigation'' to the listed purposes: attitude,
guidance or control in 7A003.a and 7A003.b for clarification;
b. Adding double quotation marks around ``Circular Error Probable''
and ``CEP'' in 7A003.a.1 and 7A003.b as part of the TFEI changes to
clarify the text;
c. Removing the Technical Note 2 at the end of 7A003, and adding
the definition for ``Circular Error Probable (``CEP'')'' to the
definition section 772.1 of the EAR, because this term is used in both
7A003 and 7A008;
d. Revising certain terms used in 7A003.c and 7A003.c.1 to more
commonly used terms, because removed terms are not usually specified on
data sheets;
e. Changing the ``e'' in ``equipment'' and the ``h'' in heading
from upper case to lower case and deleting the word ``characteristics''
in 7A003.c. as part of the TFEI revisions to clarify the text;
f. Changing ``RMS'' and ``Heading'' from upper case to lower case
in 7A003.c.1. as part of the TFEI revisions to clarify the text;
g. Replacing the period with a semi-colon in 7A003.a.2, b., and
c.2, as part of the TFEI revisions to correct the punctuation;
h. Deleting the comma after ``msec'' in 7A003.c.2. as part of the
TFEI changes to clarify the text;
i. Revising the outline format from numeric to alphabetic and
adding the words ``all of'' in Note 1.a, as part of the TFEI revisions
for clarity;
j. Replacing ``half'', ``one and a half'' and ``three'' with
numeric notation in Note 1.a. as part of the TFEI revision for clarity;
k. Capitalizing ``Power Spectral Density'' to signify the acronym
``PSD'' in Note 1.a.1. as part of the TFEI revision to clarify the
text;
l. Replacing ``A roll and yaw rate'' with ``An angular rate
capability about one or more axes'' in Note 1.b in Note 1 to include
pitch, as well as roll and yaw, and to clarify that angular rate
capability is the parameter of concern; and
m. Replacing references to ``1'' and ``2'' with ``a'' and ``b'' in
new sub-entry ``c'' of Note 1 to conform with the changed outline
format as part of the TFEI revisions.
ECCN 7A008 (Underwater sonar navigation systems) is amended:
a. Deleting the comma and adding ``and'' after ``source'' in the
heading as part of the TFEI changes to clarify the text;
b. Adding double quotes around the term ``Circular Error Probable
(``CEP'') in the heading, because this rule adds this term to section
772.1 of the EAR;
c. Revising ``Correlation-velocity sonar log equipment'' to read
``Correlation-velocity and Doppler-velocity sonar log equipment'' in
the Nota Bene to correspond with the revision in 6A001.b.1.a.
Category 9 Propulsion Systems, Space Vehicles and Related Equipment
ECCN 9A012 (Non-military ``unmanned aerial vehicles,'' (``UAVs''),
associated systems, equipment and components) is amended by:
a. Adding a comma to the Heading as part of the TFEI revisions to
correct the punctuation;
b. Replacing a period with a semi-colon in 9A012.a.2 and 9A012.b.3,
as part of the TFEI revisions to correct the punctuation;
c. Adding a comma after ``components'' in 9A012.b. as part of the
TFEI revisions to correct the punctuation; and
d. Adding a new paragraph 9A012.b.4 for ``Air breathing
reciprocating or rotary internal combustion type engines * * *'' as
explained in the Rationale below.
Rationale: Paragraph 9A012.b.4 is added because commercial and
military UAVs are increasingly used in a wider range of application
types and in steadily increasing numbers. As a result, UAV engine
designs have also broadened to include reciprocating systems. Modern
reciprocating engine technology including use of turbochargers can
enable UAVs to reach altitudes exceeding 60,000 feet.
ECCN 9E003 (Other ``technology'') is amended by:
a. Removing a comma in the Heading, as part of the TFEI revisions
to correct the punctuation;
b. Adding a comma and an ``and'' in 9E003.a.1, as part of the TFEI
revisions for clarity;
c. Replacing a period with a semi-colon in 9E003.a.3.c, as part of
the TFEI revisions to correct the punctuation;
d. Adding ``total (stagnation)'' and ``at sea-level static take-off
(ISA) in a `steady state mode' of engine operation'' to 9E003.a.4 and
9E003.a.5 for clarification, as well as adding a Technical Note to
define the term `steady state mode' within the ECCN;
e. Adding a comma in 9E003.b.2 as part of the TFEI revisions to
correct the punctuation;
f. Adding the term ``Electo-Chemical Machining'' and parentheticals
around the acronym ``ECM'', and adding the term ``Electrical Discharge
Machines'' and parentheticals around the acronym ``EDM'' in 9E003.c, as
part of the TFEI revisions to clarify the entry and the related term;
g. Deleting the term ``sets of characteristics'' and adding single
quotes around the term `Incidence angles' in 9E003.c.1.c and
9E003.c.2.c, as part of the TFEI revisions, because it is defined
within the entry's Technical Note that follows 9E003.c.2.c;
h. Removing the article ``A'' and adding single quotes around the
term `Box volume' in 9E003.e.1 and 9E003.e.3, as part of the TFEI
revisions for clarity and to indicate the term is defined within the
entry;
i. Adding single quotes around the term `Box volume', and replacing
a colon with the word ``is'' in the Technical Note that follows
9E003.e.3, as part of the TFEI revisions for clarity and to indicate
that `Box volume' is defined within the entry;
j. Adding the words ``any of'' to the width and height statements
in the Technical Note that follows 9E003.e.3, as part of the TFEI
revisions for clarity;
k. Adding a comma and the words ``as follows'' in 9E003.f, as part
of the TFEI revisions for clarity;
l. Adding the word ``and'' in 9E003.f.2, as part of the TFEI
revisions for clarity;
m. Deleting a comma and removing the article ``A'' in 9E003.f.2.b,
as part of the TFEI revisions for clarity;
n. Replacing a comma with an ``and'' and replacing the word
``both'' with ``all'' in 9E003.f.3, as part of the TFEI revisions for
clarity;
o. Moving the words ``Specially designed'' from in front of the
phrase ``electronic control features'' to behind this phrase in
9E003.f.3.b, as part of the TFEI revisions to clarify the scope of the
control;
p. Adding single quotes around the term `high output diesel
engines', replacing a comma with an ``and'', and replacing a period
with a semi-colon in 9E003.g, as part of the TFEI revisions to indicate
the term is defined in the entry and to correct the punctuation; and
[[Page 60919]]
q. Adding a Technical Note after 9E003.g that defines `high output
diesel engines' within the entry to conform to the Wassenaar Dual-Use
List.
Part 740 ``License Exceptions''
Supplement No. 1 to Section 740.11 ``License Exception GOV'' is
amended by making minor editorial revisions, such as removing text and
inserting ``consisting of'' and ``controlled by'' as clarifying text
under paragraph (a)(1)(i), that conform to the Wassenaar Arrangement
edits on the Very Sensitive List.
Definitions in Part 772
Section 772.1 is amended by:
a. Revising the definition of the term ``Bias'' (accelerometer), as
set forth below;
b. Adding in alphabetical order the term ``Bias'' (gyro), as set
forth below;
Rationale: The ``bias'' component of ``drift rate'' is the error
term that is usually listed on the manufacturer's specification sheets.
Although ``drift rate'' ``stability'' and ``bias'' ``stability'' are
sometimes used interchangeably, ``bias'' ``stability'' is more often
used on the gyro data sheet. ``Bias'' ``stability'' is a more
appropriate control parameter for gyros.
c. Adding in alphabetical order the term ``Circular Error
Probable'' (``CEP''), because this term is found in both 7A003 and
7A008, as set forth below;
d. Adding after ``compound rotary table'' the new term ``III/V
compounds'', as set forth below; and
e. Removing the term ``Drift rate'' (gyro), because this term is
replaced by the new ``bias'' (gyro) definition, see rationale above.
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 July 23, 2008,
73 FR 43603 (July 25, 2008), 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 or reexport without a license as a result of
this regulatory action that were on dock for loading, on lighter, laden
aboard an exporting or reexporting carrier, or en route aboard a
carrier to a port of export or reexport, on October 14, 2008, pursuant
to actual orders for export or reexport 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 or reexported before December 15, 2008. Any such
items not actually exported or reexported before midnight, on December
15, 2008, require a license in accordance with this regulation.
Rulemaking Requirements
1. This final rule has been determined to be not significant for
purposes of Executive Order 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 Jasmeet Seehra, OMB
Desk Officer, by e-mail at [email protected] or by fax to (202) 395-
7285; and to the Office of Administration, Bureau of Industry and
Security, Department of Commerce, 14th and Pennsylvania Avenue, NW.,
Room 6622, Washington, DC 20230.
3. This rule does not contain policies with Federalism implications
as that term is defined under Executive Order 13132.
4. This rule is exempt for the provisions of the Administrative
Procedure Act (5 U.S.C. 553) requiring notice of proposed rulemaking
and opportunity for public comment pursuant to 5 U.S.C. 553(a)(1)
because this regulation involves a military and foreign affairs
function of the United States. No other law requires that a notice of
proposed rulemaking and an opportunity for public comment be given for
this final rule. Accordingly, the analytical requirements of the
Regulatory Flexibility Act (5 U.S.C. 601 et seq.) are not applicable,
so no regulatory flexibility analysis is required and none has been
prepared. 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 the
Regulatory Policy Division, Bureau of Industry and Security, Department
of Commerce, 14th & Pennsylvania Ave., NW., Room 2705, Washington, DC
20230.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
0
Accordingly, Parts 740, 772 and 774 of the Export Administration
Regulations (15 CFR Parts 730-774) are amended as follows:
PART 740--[AMENDED]
0
1. The authority citations for Part 740 continue to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp.,
p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice
of July 23, 2008, 73 FR 43603 (July 25, 2008).
0
2. Supplement No. 1 to Sec. 740.11 is amended by revising paragraph
(a)(1)(i) to read as follows:
Sec. 740.11 Governments, international organization, and
international inspections under the chemical weapons convention (GOV).
* * * * *
Supplement No. 1 to Sec. 740.11--Additional Restrictions on use of
License Exception GOV
(a) * * *
(1) * * *
(i) ``Composite'' structures or laminates controlled by 1A002.a,
consisting of an organic ``matrix'' and materials controlled by 1C010.c
or 1C010.d; and
* * * * *
PART 772--[AMENDED]
0
3. The authority citations for Part 772 continue 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 July
23, 2008, 73 FR 43603 (July 25, 2008).
[[Page 60920]]
0
4. Section 772.1 is amended by:
0
a. Revising the definition of the term ``Bias (accelerometer) '', as
set forth below;
0
b. Adding in alphabetical order the term ``Bias (gyro)'', as set forth
below;
0
c. Adding in alphabetical order the term ``Circular Error Probable''
(``CEP''), as set forth below;
0
d. Adding after ``compound rotary table'' the new term ``III/V
compounds'', as set forth below; and
0
e. Removing the term ``Drift rate (gyro)''.
Sec. 772.1 Definitions of Terms as Used in the Export Administration
Regulations (EAR).
* * * * *
``Bias''. (accelerometer) (Cat 7) The average over a specified time
of accelerometer output measured at specified operating conditions that
has no correlation with input acceleration or rotation. ``Bias'' is
expressed in [m/s\2\, g]. (IEEE Std 528-2001) (Micro g equals 1 x
10-\6\ g).
``Bias''. (gyro) (Cat 7) The average over a specified time of gyro
output measured at specified operating conditions that has no
correlation with input rotation or acceleration. ``Bias'' is typically
expressed in degrees per hour (deg/hr). (IEEE Std 528-2001).
* * * * *
``Circular Error Probable'' (``CEP''). (Cat 7) In a circular normal
distribution, the radius of the circle containing 50 percent of the
individual measurements being made, or the radius of the circle within
which there is a 50 percent probability of being located.
* * * * *
``III/V compounds''. (Cat 3 and 6) Polycrystalline or binary or
complex monocrystalline products consisting of elements of groups IIIA
and VA of Mendeleyev's periodic classification table (e.g., gallium
arsenide, gallium-aluminum arsenide, indium phosphide).
* * * * *
PART 774--[AMENDED]
0
5. The authority citations for Part 774 continue 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); 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;
22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3
CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp.,
p. 783; Notice of July 23, 2008, 73 FR 43603 (July 25, 2008).
Supplement No. 1 to Part 774--[Amended]
0
6. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Number (ECCN) 1A004 is amended by revising the
Related Definitions and Items paragraphs in the List of Items
Controlled section, to read as follows:
1A004 Protective and detection equipment and components not specially
designed for military use as follows (see List of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: (1) ``adapted for use in war'' means: Any
modification or selection (such as altering purity, shelf life,
virulence, dissemination characteristics, or resistance to UV
radiation) designed to increase the effectiveness in producing
casualties in humans or animals, degrading equipment or damaging
crops or the environment. (2) ``Riot control agents'' are substances
which, under the expected conditions of use for riot control
purposes, produce rapidly in humans sensory irritation or disabling
physical effects which disappear within a short time following
termination of exposure. (Tear gases are a subset of ``riot control
agents''.)
Items:
a. Gas masks, filter canisters and decontamination equipment
therefor, designed or modified for defense against any of the
following, and specially designed components therefor:
1. Biological agents ``adapted for use in war'';
2. Radioactive materials ``adapted for use in war'';
3. Chemical warfare (CW) agents; or
4. ``Riot control agents'', as follows:
a. Bromobenzeneacetonitrile, (Bromobenzyl cyanide) (CA) (CAS
5798-79-8);
b. [(2-chlorophenyl) methylene] propanedinitrile, (o-
Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);
c. 2-Chloro-1-phenylethanone, Phenylacyl chloride (-
chloroacetophenone) (CN) (CAS 532-27-4);
d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);
e. 10-Chloro-5,10-dihydrophenarsazine, (Phenarsazine chloride),
(Adamsite), (DM) (CAS 578-94-9);
f. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
b. Protective suits, gloves and shoes, specially designed or
modified for defense against any of the following:
1. Biological agents ``adapted for use in war'';
2. Radioactive materials ``adapted for use in war''; or
3. Chemical warfare (CW) agents;
c. Nuclear, biological and chemical (NBC) detection systems,
specially designed or modified for detection or identification of
any of the following, and specially designed components therefor:
1. Biological agents ``adapted for use in war'';
2. Radioactive materials ``adapted for use in war''; or
3. Chemical warfare (CW) agents.
Note: 1A004 does not control:
a. Personal radiation monitoring dosimeters;
b. Equipment limited by design or function to protect against
hazards specific to civil industries, such as mining, quarrying,
agriculture, pharmaceuticals, medical, veterinary, environmental,
waste management, or to the food industry.
Technical Notes
1. ECCN 1A004 includes equipment and components that have been
identified, successfully tested to national standards or otherwise
proven effective, for the detection of or defense against
radioactive materials ``adapted for use in war'', biological agents
``adapted for use in war'', chemical warfare agents, ``simulants''
or ``riot control agents'', even if such equipment or components are
used in civil industries such as mining, quarrying, agriculture,
pharmaceuticals, medical, veterinary, environmental, waste
management, or the food industry.
2. ``Simulant'': A substance or material that is used in place
of toxic agent (chemical or biological) in training, research,
testing or evaluation.
0
7. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Number (ECCN) 1A006 is added after 1A005, to
read as follows:
1A006 Equipment, specially designed or modified for the disposal of
improvised explosive devices, as follows (see List of Items
Controlled), and specially designed components and accessories
therefor.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry............... NS Column 2.
AT applies to entire entry............... AT Column 1.
------------------------------------------------------------------------
License Requirement Note: 1A006 does not apply to equipment when
accompanying its operator.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Equipment specially designed for military use
for the disposal of improvised explosive devices is subject to the
export licensing jurisdiction of the Department of State,
Directorate of Defense Trade Controls (see 22 CFR part 121, Category
IV).
Related Definitions: `Disruptors'--Devices specially designed
for the purpose of
[[Page 60921]]
preventing the operation of an explosive device by projecting a
liquid, solid or frangible projectile.
Items:
a. Remotely operated vehicles;
b. `Disruptors'.
0
8. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Number (ECCN) 1A007 is added after 1A006, to
read as follows:
1A007 Equipment and devices, specially designed to initiate charges and
devices containing energetic materials, by electrical means, 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 1A007.b, as well as 1A007.a NP Column 1.
when the detonator firing set meets or
exceeds the parameters of 3A229.
AT applies to entire entry............... AT Column 1.
------------------------------------------------------------------------
License Requirement Note: 1A007 does not apply to equipment when
accompanying its operator.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: High explosives and related equipment
specially designed for military use is subject to the export
licensing jurisdiction of the Department of State, Directorate of
Defense Trade Controls (see 22 CFR part 121). This entry does not
control detonators using only primary explosives, such as lead
azide. See also 3A229. See 1E001 for ``development'' and
``production'' technology controls, and 1E201 for ``use'' technology
controls.
Related Definitions: N/A
Items:
a. Explosive detonator firing sets designed to drive explosive
detonators specified by 1A007.b;
b. Electrically driven explosive detonators as follows:
b.1. Exploding bridge (EB);
b.2. Exploding bridge wire (EBW);
b.3. Slapper;
b.4. Exploding foil initiators (EFI).
Technical Notes
1. The word initiator or igniter is sometimes used in place of
the word detonator.
2. For the purpose of 1A007.b the detonators of concern all
utilize a small electrical conductor (bridge, bridge wire, or foil)
that explosively vaporizes when a fast, high-current electrical
pulse is passed through it. In nonslapper types, the exploding
conductor starts a chemical detonation in a contacting high
explosive material such as PETN (pentaerythritoltetranitrate). In
slapper detonators, the explosive vaporization of the electrical
conductor drives a flyer or slapper across a gap, and the impact of
the slapper on an explosive starts a chemical detonation. The
slapper in some designs is driven by magnetic force. The term
exploding foil detonator may refer to either an EB or a slapper-type
detonator. Also, the word initiator is sometimes used in place of
the word detonator.
0
9. 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 and the NS Column 1 and the NP paragraph of the License
Requirements section, 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, 1A006, 1A007, 1A101, 1B (except
1B999), or 1C (except 1C355, 1C980 to 1C984, 1C988, 1C990, 1C991,
1C992, 1C995 to 1C999).
License Requirements
* * * * *
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1.
controlled by 1A001.b and .c, 1A002,
1A003, 1A005, 1A006, 1A007, 1B001 to
1B003, 1B018, 1C001 to 1C011, or 1C018.
* * * * *
NP applies to ``technology'' for items NP Column 1.
controlled by 1A002, 1A007, 1B001,
1B101, 1B201, 1B225 to 1B233, 1C002,
1C010, 1C116, 1C202, 1C210, 1C216, 1C225
to 1C240 for NP reasons.
------------------------------------------------------------------------
* * * * *
0
10. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Number (ECCN) 1E201 is amended by revising the
Heading and the NP paragraph of the License Requirements section, to
read as follows:
1E201 ``Technology'' according to the General Technology Note for the
``use'' of items controlled by 1A002, 1A007, 1A202, 1A225 to 1A227,
1B201, 1B225 to 1B232, 1B233.b, 1C002.a.2.c or .d, 1C010.a, 1C010.b,
1C010.e.1, 1C202, 1C210, 1C216, 1C225 to 1C240 or 1D201.
License Requirements
* * * * *
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry, for items NP Column 1.
controlled for NP reasons.
------------------------------------------------------------------------
* * * * *
0
11. Supplement No. 1 to Part 774 (the Commerce Control List), Category
2 Materials Processing, Group B Test, Inspection and Production
Equipment, technical notes for 2B001 to 2B009 are amended by revising
Notes 5 and 6 to read as follows:
B. Test, Inspection and Production Equipment
Technical Notes for 2B001 to 2B009:
* * * * *
5. The positioning accuracy of ``numerically controlled''
machine tools is to be determined and presented in accordance with
ISO 230/2 (1988).
6. `Stated positioning accuracy' levels derived from
measurements made according to ISO 230/2 (1988) may be used for each
specific machine model as an alternative to individual machine
tests. `Stated positioning accuracy' means the accuracy value
provided to BIS as representative of the accuracy of a specific
machine model.
Determination of `Stated Positioning Accuracy'
a. Select five machines of a model to be evaluated;
b. Measure the linear axis accuracies according to ISO 230/2
(1988);
c. Determine the A-values for each axis of each machine. The
method of calculating the A-value is described in the ISO standard;
d. Determine the mean value of the A-value of each axis. This
mean value A becomes the stated value of each axis for the model (Ax
Ay * * *);
e. Since the Category 2 list refers to each linear axis there
will be as many stated values as there are linear axes;
f. If any axis of a machine model not controlled by 2B001.a. to
2B001.c. has a stated accuracy A of 6 microns for grinding machines
and 8 microns for milling and turning machines or better, the
builder should be required to reaffirm the accuracy level once every
eighteen months.
* * * * *
0
12. Supplement No. 1 to Part 774 (the Commerce Control List), Category
2 Materials Processing, Export Control Classification Number (ECCN)
2B001 is amended by revising the Heading, and the Related Controls and
Items
[[Page 60922]]
paragraph in the List of Items Controlled section to read as follows:
2B001 Machine tools and any combination thereof, for removing (or
cutting) metals, ceramics or ``composites'', which, according to the
manufacturer's technical specifications, can be equipped with
electronic devices for ``numerical control''; and specially designed
components as follows (see List of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: (1) See ECCN 2B002 for optical finishing
machines. (2) See ECCNs 2D001 and 2D002 for software for items
controlled under this entry. (3) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E201 (``use'') for technology for items
controlled under this entry. (4) Also see ECCNs 2B201, 2B290, and
2B991.
Related Definitions: * * *
Items:
Note 1:
2B001 does not control special purpose machine tools limited to
the manufacture of gears. For such machines, see 2B003.
Note 2:
2B001 does not control special purpose machine tools limited to
the manufacture of any of the following:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms; or
d. Engraved or faceted jewellery parts.
Note 3:
A machine tool having at least two of the three turning, milling
or grinding capabilities (e.g., a turning machine with milling
capability), must be evaluated against each applicable entry
2B001.a., b. or c.
a. Machine tools for turning having all of the following:
a.1. Positioning accuracy with ``all compensations available''
of less (better) than 6 [mu]m along any linear axis; and
a.2. Two or more axes which can be coordinated simultaneously
for ``contouring control'';
Note:
2B001.a does not control turning machines specially designed for
producing contact lenses, having all of the following:
a. Machine controller limited to using ophthalmic based software
for part programming data input; and
b. No vacuum chucking.
b. Machine tools for milling having any of the following:
b.1. Having all of the following:
b.1.a. Positioning accuracy with ``all compensations available''
of less (better) than 6 [mu]m along any linear axis; and
b.1.b. Three linear axes plus one rotary axis which can be
coordinated simultaneously for ``contouring control'';
b.2. Five or more axes which can be coordinated simultaneously
for ``contouring control'';
b.3. A positioning accuracy for jig boring machines, with ``all
compensations available'', of less (better) than 4 [mu]m along any
linear axis; or
b.4. Fly cutting machines having all of the following:
b.4.a. Spindle ``run-out'' and ``camming'' less (better) than
0.0004 mm TIR; and
b.4.b. Angular deviation of slide movement (yaw, pitch and roll)
less (better) than 2 seconds of arc, TIR, over 300 mm of travel.
c. Machine tools for grinding having any of the following:
c.1. Having all of the following:
c.1.a. Positioning accuracy with ``all compensations available''
of less (better) than 4 [mu]m along any linear axis; and
c.1.b. Three or more axes which can be coordinated
simultaneously for ``contouring control''; or
c.2. Five or more axes which can be coordinated simultaneously
for ``contouring control'';
Notes:
2B001.c does not control grinding machines, as follows:
a. Cylindrical external, internal, and external-internal
grinding machines, having all of the following:
1. Limited to cylindrical grinding; and
2. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length.
b. Machines designed specifically as jig grinders that do not
have a z-axis or a w-axis, with a positioning accuracy with ``all
compensations available'' less (better) than 4 [mu]m.
c. Surface grinders.
d. Electrical discharge machines (EDM) of the non-wire type
which have two or more rotary axes which can be coordinated
simultaneously for ``contouring control'';
e. Machine tools for removing metals, ceramics or
``composites'', having all of the following:
e.1. Removing material by means of any of the following:
e.1.a. Water or other liquid jets, including those employing
abrasive additives;
e.1.b. Electron beam; or
e.1.c. ``Laser'' beam; and
e.2. Having two or more rotary axes and all of the following:
e.2.a. Can be coordinated simultaneously for ``contouring
control''; and
e.2.b. A positioning accuracy of less (better) than 0.003[deg];
f. Deep-hole-drilling machines and turning machines modified for
deep-hole-drilling, having a maximum depth-of-bore capability
exceeding 5 m and specially designed components therefor.
0
13. 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 Related Definitions
and Items paragraphs in the List of Items Controlled section to read as
follows:
2B002 Numerically controlled optical finishing machine tools equipped
for selective material removal to produce non-spherical optical
surfaces having all of the following characteristics (See List of Items
Controlled).
* * * * *
List of Items Controlled
* * * * *
Related Definitions: For the purposes of 2B002, `MRF' is a
material removal process using an abrasive magnetic fluid whose
viscosity is controlled by a magnetic field. `ERF' is a removal
process using an abrasive fluid whose viscosity is controlled by an
electric field. `Energetic particle beam finishing' uses Reactive
Atom Plasmas (RAP) or ion-beams to selectively remove material.
`Inflatable membrane tool finishing' is a process that uses a
pressurized membrane that deforms to contact the workpiece over a
small area.`Fluid jet finishing' makes use of a fluid stream for
material removal.
Items:
a. Finishing the form to less (better) than 1.0 [mu]m;
b. Finishing to a roughness less (better) than 100 nm rms;
c. Four or more axes which can be coordinated simultaneously for
``contouring control''; and
d. Using any of the following processes:
d.1. `Magnetorheological finishing (MRF)';
d.2. `Electrorheological finishing (ERF)';
d.3. `Energetic particle beam finishing';
d.4. `Inflatable membrane tool finishing'; or
d.5. `Fluid jet finishing'.
0
14. 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 NP paragraph in the License
Requirements section and the Items paragraph of 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
* * * * *
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
* * * * *
NP applies to 2B006.a and .b, except NP Column 1.
2B006.b.1.d.
------------------------------------------------------------------------
Note: NP applies to measuring systems in 2B006.b.1.c that
maintain, 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: a ``resolution'' over their full scale of 0.1
[mu]m or less (better); and a ``measurement uncertainty'' equal to
or less (better) than (0.2 + L/2,000) [mu]m (L is the measured
length in mm).
* * * * *
List of Items Controlled
* * * * *
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)
[[Page 60923]]
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:
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;
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, at a temperature of
20 1 [deg]C, 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. Capable of achieving a ``measurement uncertainty'',
when compensated for the refractive index of air, equal to or less
(better) than (0.2 + L/2,000) [mu]m (L is the measured length in
mm); or
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).
Note:
Machine tools, which can be used as measuring machines, are
controlled if they meet or exceed the criteria specified for the
machine tool function or the measuring machine function.
0
15. Supplement No. 1 to Part 774 (the Commerce Control List), Category
2 Materials Processing, Export Control Classification Number (ECCN)
2B007 is amended by revising the NP paragraph in the License
Requirements section and the Items paragraph of the List of Items
Controlled section to read as follows:
2B007 ``Robots'' having any of the following characteristics described
in the List of Items Controlled and specially designed controllers and
``end-effectors'' therefor.
License Requirements
* * * * *
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to equipment that meets or NP Column 1.
exceeds the criteria in ECCNs 2B207.
* * * * *
------------------------------------------------------------------------
* * * * *
List of Items Controlled
* * * * *
Items:
a. Capable in real time of full three-dimensional image
processing or full three-dimensional `scene analysis' to generate or
modify ``programs'' or to generate or modify numerical program data;
Technical Note:
The `scene analysis' limitation does not include approximation
of the third dimension by viewing at a given angle, or limited grey
scale interpretation for the perception of depth or texture for the
approved tasks (2\1/2\ D).
b. Specially designed to comply with national safety standards
applicable to potentially explosive munitions environments;
Note: 2B007.b does not apply to ``robots'' specially designed
for paint-spraying booths.
c. Specially designed or rated as radiation-hardened to
withstand a total radiation dose greater than 5 x 10\3\ Gy (silicon)
without operational degradation; or
Technical Note:
The term Gy (silicon) refers to the energy in Joules per
kilogram absorbed by an unshielded silicon sample when exposed to
ionizing radiation.
d. Specially designed to operate at altitudes exceeding 30,000m.
0
16. Supplement No. 1 to Part 774 (the Commerce Control List), Category
2 Materials Processing, Export Control Classification Number (ECCN)
2B008 is amended by revising the Items paragraph in the List of Items
Controlled section to read as follows:
2B008 Assemblies or units, specially designed for machine tools, or
dimensional inspection or measuring systems and equipment, as follows
(see List of Items Controlled).
* * * * *
List of Items Controlled
* * * * *
Items:
a. Linear position feedback units (e.g., inductive type devices,
graduated scales, infrared systems or ``laser'' systems) having an
overall ``accuracy'' less (better) than (800 + (600 x L x
10-3)) nm (L equals the effective length in mm);
N.B.: For ``laser'' systems see also 2B006.b.1.c and d.
b. Rotary position feedback units (e.g., inductive type devices,
graduated scales, infrared systems or ``laser'' systems) having an
``accuracy'' less (better) than 0.00025[deg];
N.B.: For ``laser'' systems see also 2B006.b.2.
c. ``Compound rotary tables'' and ``tilting spindles'', capable
of upgrading, according to the manufacturer's specifications,
machine tools to or above the levels controlled by 2B001 to 2B009.
0
17. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3A001 is amended by:
0
a. Revising the Heading;
0
b. Revising the GBS paragraph of the License Exceptions section;
0
c. Revising the Related Controls paragraph of the List of Items
Controlled section;
0
d. Removing the second sentence of the ``Related Definitions''
paragraph of the List of Items Controlled section; and
0
e. Revising the Items paragraph in the List of Items Controlled
section, to read as follows:
3A001 Electronic components and specially designed components therefor,
as follows (see List of Items Controlled).
* * * * *
License Exceptions
LVS: * * *
GBS: Yes for 3A001.a.1.b, a.2 to a.12 (except .a.5.a when
controlled for MT), b.2, b.8 (except for TWTAs exceeding 18 GHz),
b.9., and .g.
CIV: * * *
List of Items Controlled
* * * * *
Unit: Number.* * *
Related Controls: (1) The following commodities are under the
export licensing authority of the Department of State, Directorate
of Defense Trade Controls (22 CFR part 121) when ``space qualified''
and operating at frequencies higher than 31.8 GHz: helix tubes
(traveling wave tubes (TWT)) defined in 3A001.b.1.a.4.c; microwave
solid state amplifiers defined in 3A001.b.4.b traveling wave tube
amplifiers (TWTA) defined in 3A001.b.8; and derivatives thereof; (2)
The following commodities are also under the export licensing
authority of the Department of State, Directorate of Defense Trade
Controls (22 CFR part 121): (a) ``Space qualified'' solar cells,
coverglass-interconnect-cells or covered-interconnect-cells (CIC)
assemblies, solar arrays and/or solar panels, with a minimum average
efficiency of 31% or greater measured at an operating temperature of
301 K (28 [deg]C) under simulated `AM0' illumination with an
irradiance of 1,367 Watts per square meter (W/m\2\), and associated
solar concentrators, power conditioners and/or controllers, bearing
and power transfer assemblies, and deployment
[[Page 60924]]
hardware/systems; (b) Radiation-hardened microelectronic circuits
controlled by Category XV (d) of the United States Munitions List
(USML); and (c) All specifically designed or modified systems or
subsystems, components, parts, accessories, attachments, and
associated equipment controlled by Category XV (e) of the USML. See
also 3A101, 3A201, and 3A991.
* * * * *
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/cm\2\ or higher on silicon, or its
equivalent for other materials;
Note:
3A001.a.1.c does not apply to Metal Insulator Semiconductors
(MIS).
a.2. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, digital-to-analog converters, electro-optical or
``optical integrated circuits'' designed for ``signal processing'',
field programmable logic devices, custom integrated circuits for
which either the function is unknown or the control status of the
equipment in which the integrated circuit will be used is 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'', ``microcomputer
microcircuits'' and microcontroller microcircuits, manufactured from
a compound semiconductor and operating at a clock frequency
exceeding 40 MHz;
Note:
3A001.a.3 includes digital signal processors, digital array
processors and digital coprocessors.
a.4. 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,
with 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
105 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 10 million words per
second; or
a.5.a.5. A resolution of more than 14 bit with an output rate
greater than 2.5 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 analog-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'' and having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. `Field programmable logic devices' having any of the
following:
a.7.a. 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).
Technical Note:
`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 and having all of the following:
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 having
all the following:
(a) An average output power equal to or less than 50 W; and
(b) Designed or rated for operation in any frequency band and
having all of the following:
(1) Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
(2) Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
b.1.a. Traveling wave tubes, pulsed or continuous wave, as
follows:
b.1.a.1. Tubes operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Tubes 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, having any of the
following:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1; or
[[Page 60925]]
b.1.a.4.c. Being ``space qualified'';
b.1.b. Crossed-field amplifier tubes with a gain of more than 17
dB;
b.1.c. Impregnated cathodes designed for electronic tubes
producing a continuous emission current density at rated operating
conditions exceeding 5 A/cm\2\;
b.2. Microwave ``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 solid state 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 3A001.b.4.f.3., for amplifiers that have a rated
operation range extending downward to 3.2 GHz and below [d <= 15
cm*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 and having any of the
following:
b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
b.6. [Reserved]
b.7. Converters and harmonic mixers, designed to extend the
frequency range of equipment described in 3A002.c, 3A002.d, 3A002.e
or 3A002.f beyond the limits stated therein;
b.8. Microwave power amplifiers containing tubes controlled by
3A001.b.1 and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power density exceeding 80 W/kg; and
b.8.c. A volume of less than 400 cm\3\;
Note:
3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU''
for radio-communications services, but not for radio-determination.
b.9. Microwave power modules (MPM), consisting of, at least, a
traveling wave tube, a microwave ``monolithic integrated circuit''
and an integrated electronic power conditioner and having all of the
following:
b.9.a. A `turn-on time' from off to fully operational in less
than 10 seconds;
b.9.b. A volume less than the maximum rated power in Watts
multiplied by 10 cm3/W; and
b.9.c. An ``instantaneous bandwidth'' greater than 1 octave
(fmax. > 2fmin,) and having any of the
following:
b.9.c.1. For frequencies equal to or less than 18 GHz, an RF
output power greater than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes:
1. To calculate the volume in 3A001.b.9.b., the following
example is provided: for a maximum rated power of 20 W, the volume
would be: 20 W x 10 cm\3\/W = 200 cm\3\.
2. The `turn-on time' in 3A001.b.9.a. refers to the time from
fully-off to fully operational, i.e., it includes the warm-up time
of the MPM.
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 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6
GHz and having any of the following:
c.1.b.1. A frequency side-lobe rejection exceeding 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 and having any of
the following:
c.1.c.1. A product of the maximum delay time and the bandwidth
(time in [mu]s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 [mu]s; or
c.1.c.3. A frequency side-lobe rejection exceeding 55 dB and a
bandwidth greater than 100 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 2.5 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 60926]]
d. Electronic devices and circuits containing components,
manufactured from ``superconductive'' materials, specially designed
for operation at temperatures below the ``critical temperature'' of
at least one of the ``superconductive'' constituents and having any
of the following:
d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices as follows:
e.1. `Cells' and photovoltaic arrays as follows:
e.1.a. `Primary cells' having an `energy density' exceeding 550
Wh/kg at 293 K (20 [deg]C);
e.1.b. Secondary cells having an `energy density' exceeding 250
Wh/kg at 293 K (20 [deg]C);
Technical Notes:
1. For the purpose of 3A001.e.1., `energy density' (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal
capacity in ampere-hours (Ah) divided by the mass in kilograms. If
the nominal capacity is not stated, energy density is calculated
from the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
2. For the purpose of 3A001.e.1., a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
an electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purpose of 3A001.e.1.a., a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purpose of 3A001.e.1.b., a `secondary cell' is a
`cell' that is designed to be charged by an external electrical
source.
Note:
3A001.e. does not control batteries, including single-cell
batteries.
e.2. High energy storage capacitors as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) and having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) and having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids, specially
designed to be fully charged or discharged in less than one second
and having all of the following:
Note:
3A001.e.3 does not control ``superconductive'' electromagnets or
solenoids specially designed for Magnetic Resonance Imaging (MRI)
medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/
mm2;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space qualified,''
having a minimum average efficiency exceeding 20% at an operating
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination
with an irradiance of 1,367 Watts per square meter (W/
m2).
Technical Note:
`AM0', or `Air Mass Zero', refers to the spectral irradiance of
sun light in the earth's outer atmosphere when the distance between
the earth and sun is one astronomical unit (AU).
f. Rotary input type 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;
g. Solid-state pulsed power switching thyristor devices and
`thyristor modules', using either electrically, optically, or
electron radiation controlled switch methods and having any of the
following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[mu]s and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[mu]s and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000
V; and
g.2.b. A peak (surge) current equal to or greater than 3,000 A.
Note 1:
3A001.g. includes:
--Silicon Controlled Rectifiers (SCRs)
--Electrical Triggering Thyristors (ETTs)
--Light Triggering Thyristors (LTTs)
--Integrated Gate Commutated Thyristors (IGCTs)
--Gate Turn-off Thyristors (GTOs)
--MOS Controlled Thyristors (MCTs)
--Solidtrons
Note 2:
3A001.g. does not control thyristor devices and `thyristor
modules' incorporated into equipment designed for civil railway or
``civil aircraft'' applications.
0
18. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3A002 is amended by revising the Heading, and the Related Controls and
Items paragraphs in the List of Items Controlled section, to read as
follows:
3A002 General purpose electronic equipment and accessories therefor, as
follows (see List of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: ``Space qualified'' atomic frequency standards
defined in 3A002.g.1 are subject to the export licensing authority
of the Department of State, Directorate of Defense Trade Controls
(22 CFR part 121.1, Category XV). See also 3A292 and 3A992.
Related Definitions: * * *
Items:
a. Recording equipment as follows and specially designed test
tape therefor:
a.1. Analog instrumentation magnetic tape recorders, including
those permitting the recording of digital signals (e.g., using a
high density digital recording (HDDR) module), having any of the
following:
a.1.a. A bandwidth exceeding 4 MHz per electronic channel or
track;
a.1.b. A bandwidth exceeding 2 MHz per electronic channel or
track and having more than 42 tracks; or
a.1.c. A time displacement (base) error, measured in accordance
with applicable IRIG or EIA documents, of less than 0.1
[mu]s;
Note:
Analog magnetic tape recorders specially designed for civilian
video purposes are not considered to be instrumentation tape
recorders.
a. 2. Digital video magnetic tape recorders having a maximum
digital interface transfer rate exceeding 360 Mbit/s;
Note:
3A002.a.2 does not control digital video magnetic tape recorders
specially designed for television recording using a signal format,
which may include a compressed signal format, standardized or
recommended by the ITU, the IEC, the SMPTE, the EBU , the ETSI, or
the IEEE for civil television applications.
a.3. Digital instrumentation magnetic tape data recorders
employing helical scan techniques or fixed head techniques and
having any of the following:
a.3.a. A maximum digital interface transfer rate exceeding 175
Mbit/s; or
a.3.b. Being ``space qualified'';
Note:
3A002.a.3 does not control analog magnetic tape recorders
equipped with HDDR conversion electronics and configured to record
only digital data.
a.4. Equipment having a maximum digital interface transfer rate
exceeding 175 Mbit/s and designed to convert digital video magnetic
tape recorders for use as digital instrumentation data recorders;
a.5. Waveform digitizers and transient recorders, having all of
the following:
N.B.: See also 3A292.
a.5.a. Digitizing rates equal to or more than 200 million
samples per second and a resolution of 10 bits or more; and
a.5.b. A `continuous throughput' of 2 Gbit/s or more;
Technical Notes:
1. For those instruments with a parallel bus architecture, the
`continuous throughput' rate is the highest word rate multiplied by
the number of bits in a word.
2. `Continuous throughput' is the fastest data rate the
instrument can output to mass storage without the loss of any
information while sustaining the sampling rate and analog-to-digital
conversion.
[[Page 60927]]
a.6. Digital instrumentation data recorders, using magnetic disk
storage technique and having all of the following:
a.6.a. Digitizing rate equal to or more than 100 million samples
per second and a resolution of 8 bits or more; and
a.6.b. A `continuous throughput' of 1 Gbit/s or more;
b. ``Frequency synthesizer'' ``electronic assemblies'' having a
``frequency switching time'' from one selected frequency to another
of less than 1 ms;
Note:
The control status of ``signal analyzers'', signal generators,
network analyzers, and microwave test receivers as stand-alone
instruments is determined by 3A002.c., 3A002.d., 3A002.e., and
3A002.f., respectively.
c. Radio-frequency ``signal analyzers'' as follows:
c.1. ``Signal analyzers'' capable of analyzing any frequencies
exceeding 31.8 GHz but not exceeding 37.5 GHz and having a 3 dB
resolution bandwidth (RBW) exceeding 10 MHz;
c.2. ``Signal analyzers'' capable of analyzing frequencies
exceeding 43.5 GHz;
c.3. ``Dynamic signal analyzers'' having a ``real-time
bandwidth'' exceeding 500 kHz;
Note:
3A002.c.3 does not control those ``dynamic signal analyzers''
using only constant percentage bandwidth filters (also known as
octave or fractional octave filters).
d. Frequency synthesized signal generators producing output
frequencies, the accuracy and short term and long term stability of
which are controlled, derived from or disciplined by the internal
master reference oscillator, and having any of the following:
d.1. A maximum synthesized frequency exceeding 31.8 GHz, but not
exceeding 43.5 GHz and rated to generate a `pulse duration' of less
than 100 ns;
d.2. A maximum synthesized frequency exceeding 43.5 GHz;
d.3. A ``frequency switching time'' from one selected frequency
to another as specified by any of the following:
d.3.a. Less than 10 ns;
d.3.b. Less than 100 [mu]s for any frequency change exceeding
1.6 GHz within the synthesized frequency range exceeding 3.2 GHz but
not exceeding 10.6 GHz;
d.3.c. Less than 250 [mu]s for any frequency change exceeding
550 MHz within the synthesized frequency range exceeding 10.6 GHz
but not exceeding 31.8 GHz;
d.3.d. Less than 500 [mu]s for any frequency change exceeding
550 MHz within the synthesized frequency range exceeding 31.8 GHz
but not exceeding 43.5 GHz; or
d.3.e. Less than 1 ms within the synthesized frequency range
exceeding 43.5 GHz; or
d.4. A single sideband (SSB) phase noise better than - (126 + 20
log 10F)- 20 log 10f) in dBc/Hz, where F is
the off-set from the operating frequency in Hz and f is the
operating frequency in MHz;
Note 1:
For the purpose of 3A002.d., frequency synthesized signal
generators includes arbitrary waveform and function generators.
Note 2:
3A002.d. does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.
Technical Notes:
1. Arbitrary waveform and function generators are normally
specified by sample rate (e.g., GSample/s), which is converted to
the RF domain by the Nyquist factor of two. Thus, a 1 GSample/s
arbitrary waveform has a direct output capability of 500 MHz. Or,
when oversampling is used, the maximum direct output capability is
proportionately lower.
2. For the purposes of 3A002.d.1., `pulse duration' is defined
as the time interval between the leading edge of the pulse achieving
90% of the peak and the trailing edge of the pulse achieving 10% of
the peak.
Note:
3A002.d does not control equipment in which the output frequency
is either produced by the addition or subtraction of two or more
crystal oscillator frequencies, or by an addition or subtraction
followed by a multiplication of the result.
e. Network analyzers with a maximum operating frequency
exceeding 43.5 GHz;
f. Microwave test receivers having all of the following:
f.1. A maximum operating frequency exceeding 43.5 GHz; and
f.2. Being capable of measuring amplitude and phase
simultaneously;
g. Atomic frequency standards being any of the following:
g.1. ``Space qualified'';
g.2. Non-rubidium and having a long-term stability less (better)
than 1 x 10-11/month; or
g.3. Non-''space qualified'' and having all of the following:
g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than 1 x
10-\11\/month; and
g.3.c. Total power consumption of less than 1 Watt.
0
19. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3A229 is amended by revising the Related Controls paragraph, to read as
follows:
3A229 Firing sets and equivalent high-current pulse generators (for
detonators controlled by 3A232), as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
* * * * *
Related Controls: (1) See ECCNs 3E001 and 1E001(''development''
and ``production'') and 3E201 and 1E201 (``use'') for technology for
items controlled under this entry. (2) High explosives and related
equipment for military use are subject to the export licensing
authority of the U.S. Department of State, Directorate of Defense
Trade Controls (see 22 CFR part 121).
* * * * *
0
20. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3A232 is amended by revising the Related Controls and Items paragraphs
in the List of Items Controlled section, to read as follows:
3A232 Detonators and multipoint initiation systems, as follows (see
List of Items Controlled).
* * * * *
List of Items Controlled
* * * * *
Related Controls: (1) See 1A007 for electrically driven
explosive detonators. (2) See ECCNs 3E001 (``development'' and
``production'') and 3E201 (``use'') for technology for items
controlled under this entry. (3) High explosives and related
equipment for military use are subject to the export licensing
authority of the U.S. Department of State, Directorate of Defense
Trade Controls (see 22 CFR part 121).
* * * * *
Items:
a. [Reserved]
b. Arrangements using single or multiple detonators designed to
nearly simultaneously initiate an explosive surface over an area
greater than 5,000 mm\2\ from a single firing signal with an
initiation timing spread over the surface of less than 2.5 [mu]s.
Technical Note:
The word initiator is sometimes used in place of the word
detonator.
0
21. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3A991 amended by adding a new paragraph (o) to 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
* * * * *
Items:
* * * * *
o. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space qualified'' and
not controlled by 3A001.e.4.
0
22. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3B001 is amended by revising the Heading and 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.
* * * * *
[[Page 60928]]
List of Items Controlled
* * * * *
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 and having any of the
following:
b.1. A beam energy (accelerating voltage) exceeding 1MeV;
b.2. Being specially designed and optimized to operate at a beam
energy (accelerating voltage) of less than 2 keV;
b.3. Direct write capability; or
b.4. 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/cm\2\
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/cm\2\
with a measurable particle size greater than 0.1 [mu]m in diameter;
d. Plasma enhanced Chemical Vapor Deposition (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 and 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] TR14OC08.055
Where the K factor = 0.45
MRF = `minimum resolvable feature size'.
f.2 Imprint lithography equipment capable of production features
of 180 nm or less;
Note: 3B001.f.2 includes:
--Micro contact printing tools
--Hot embossing tools
--Nano-imprint lithography tools
--Step and flash imprint lithography (S-FIL) tools.
f.3. Equipment specially designed for mask making or
semiconductor device processing using direct writing methods and
having all of the following:
f.3.a. Using deflected focused electron beam, ion beam or
``laser'' beam; and
f.3.b. Having any of the following:
f.3.b.1. A spot size smaller than 0.2 [mu]m;
f.3.b.2. Being capable of producing a pattern with a feature
size of less than 1 [mu]m; or
f.3.b.3. 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.
i. Imprint lithography templates designed for integrated
circuits by 3A001.
0
23. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3C002 is amended by:
0
a. Revising the Heading;
0
b. Revising the GBS and CIV paragraphs in the License Exception
section; and
0
c. Replacing the semicolon with a period at the end of paragraph d; and
0
d. Adding paragraph e to the Items paragraph in the List of Items
Controlled section, to read as follows:
3C002 Resist materials as follows (see List of Items Controlled) and
``substrates'' coated with the following resists.
* * * * *
License Exceptions
* * * * *
GBS: Yes for positive resists not optimized for photolithography
at a wavelength of less than 365 nm, provided that they are not
controlled by 3C002.b through .e.
CIV: Yes for positive resists not optimized for photolithography
at a wavelength of less than 365 nm, provided that they are not
controlled by 3C002.b through .e.
List of Items Controlled
* * * * *
Items:
* * * * *
e. All resists designed or optimized for use with imprint
lithography equipment specified by 3B001.f.2. that use either a
thermal or photo-curable process.
0
24. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3C005 is amended by revising the Heading, to read as follows:
3C005 Silicon carbide (SiC), gallium nitride (GaN), aluminum nitride
(AlN) or aluminum gallium nitride (AlGaN) ``substrates'', or ingots,
boules, or other preforms of those materials, having resistivities
greater than 10,000 ohm-cm at 20 [deg]C.
* * * * *
0
25. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3C006 is added after ECCN 3C005, to read as follows:
3C006 ``Substrates'' specified in 3C005 with at least one epitaxial
layer of silicon carbide, gallium nitride, aluminum nitride or aluminum
gallium nitride.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............... NS Column 2.
AT applies to entire entry............... AT Column 1.
------------------------------------------------------------------------
[[Page 60929]]
License Exceptions
LVS: $3000
GBS: Yes
CIV: Yes
List of Items Controlled
Unit: $ value
Related Controls: See ECCN 3D001 for related ``development'' or
``production'' ``software'', ECCN 3E001 for related ``development''
and ``production'' ``technology'', and ECCN 3B991.b.1.b for related
``production'' equipment.
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
26. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3D001 is amended by:
(a) Revising the Related Controls paragraph of the List of Items
Controlled section; and
(b) Removing the text of the Related Definitions paragraph of the
List of Items Controlled section and replacing it with ``N/A'' to read
as follows:
3D001 ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 3A001.b to 3A002.g or 3B
(except 3B991 and 3B992).
List of Items Controlled
Unit: * * *
Related Controls: ``Software'' specially designed for the
``development'' or ``production'' of the following equipment is
under the export licensing authority of the Department of State,
Directorate of Defense Trade Controls (22 CFR part 121): (1.) When
operating at frequencies higher than 31.8 GHz and ``space
qualified'': Helix tubes (traveling wave tubes (TWT)) defined in
3A001.b.1.a.4.c; microwave solid state amplifiers defined in
3A001.b.4.b; and traveling wave tube amplifiers (TWTA) defined in
3A001.b.8; (2.) ``Space qualified'' solar cells, coverglass-
interconnect-cells or covered-interconnect-cells (CIC) assemblies,
solar arrays, and/or solar panels, with a minimum average efficiency
of 31% or greater at an operating temperature of 301 [deg]K (28
[deg]C) under simulated `AM0' illumination with an irradiance of
1,367 Watts per square meter (W/m\2\), and associated solar
concentrators, power conditioners, and/or controllers, bearing and
power transfer assemblies, and deployment hardware/systems. (3.)
``Space qualified'' atomic frequency standards defined in 3A002.g.2.
See also 3D101.
Related Definitions: N/A
Items: * * *
0
27. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 3 Electronics, Export Control Classification Number (ECCN)
3E001 is amended by:
0
a. Revising the Heading;
0
b. Revising the NS column 1 paragraph of the License Requirements
section;
0
c. Revising the Related Controls paragraph of the List of Items
Controlled section;
0
d. Revising the License Exceptions section;
0
e. Removing the text of the Related Definitions paragraph of the List
of Items and replacing it with ``N/A''; and
0
f. Revising the technical note in the Items paragraph of the List of
Items Controlled 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 3A992, or 3A999), 3B (except
3B991 or 3B992) or 3C (except 3C992).
License Requirements
* * * * *
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1.
controlled by 3A001, 3A002, 3B001,3B002,
or 3C001 to 3C006.
------------------------------------------------------------------------
* * * * *
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT, and ``technology'' specially
designed for the ``development'' or ``production'' of: (a) Traveling
Wave Tube Amplifiers described in 3A001.b.8, having operating
frequencies exceeding 19 Ghz; and (b) solar cells, coverglass-
interconnect-cells or covered-interconnect-cells (CIC) assemblies,
solar arrays and/or solar panels, which are ``space qualified,''
having a minimum average efficiency exceeding 20% but less than 31%
described in 3A001.e.4.
* * * * *
List of Items Controlled
* * * * *
Related Controls: (1) See also 3E101 and 3E201.
(2)''Technology'' according to the General Technology Note for the
``development'' or ``production'' of the following commodities is
under the export licensing authority of the Department of State,
Directorate of Defense Trade Controls (22 CFR part 121): (a) When
operating at frequencies higher than 31.8 GHz and ``space
qualified'': helix tubes (traveling wave tubes (TWT)) defined in
3A001.b.1.a.4.c; microwave solid state amplifiers defined in
3A001.b.4.b; or traveling wave tube amplifiers (TWTA) defined in
3A001.b.8; (b) ``Space qualified'' solar cells, coverglass-
interconnect-cells or covered-interconnect-cells (CIC) assemblies,
solar arrays, and/or solar panels, with a minimum average efficiency
of 31% or greater at an operating temperature of 301 [deg]K (28
[deg]C) under simulated `AM0' illumination with an irradiance of
1,367 Watts per square meter (W/m\2\), and associated solar
concentrators, power conditioners, and/or controllers, bearing and
power transfer assemblies, and deployment hardware/systems. and (c)
``Space qualified'' atomic frequency standards defined in 3A002.g.2.
Related Definition: N/A
Items:
* * * * *
Technical Note:
Multi-layer structures in Note 2 of 3E001 do not include devices
incorporating a maximum of three metal layers and three polysilicon
layers.
28. 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 and the Items paragraph of the List
of Items Controlled section to read as follows:
5A001 Telecommunications systems, equipment, components and
accessories, as follows (see List of Items Controlled).
* * * * *
List of Items Controlled
* * * * *
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 systems and equipment, and specially
designed components and accessories therefor, having any of the
following characteristics, functions or features:
b.1 Being underwater untethered communications systems having
any of the following:
b.1.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
b.1.b. Using an electromagnetic carrier frequency below 30 kHz;
or
b.1.c. Using electronic beam steering techniques; or
b.1.d. Using ``lasers'' or light-emitting diodes (LEDs) with an
output wavelength greater than 400 nm and less than 700 nm, in a
``local area network'';
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having all of the following:
b.2.a.. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
[[Page 60930]]
b.2.b. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the frequency range of 1.5 MHz or
more but less than 30 MHz, or 250 W or more in the frequency range
of 30 MHz or more but not exceeding 87.5 MHz, over an
``instantaneous bandwidth'' of one octave or more and with an output
harmonic and distortion content of better than -80 dB;
b.3. Being radio equipment employing ``spread spectrum''
techniques, including ``frequency hopping'' techniques, not
controlled in 5A001.b.4 and having any of the following:
b.3.a. User programmable spreading codes; or
b.3.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;
Note:
5A001.b.3.b does not control radio equipment specially designed
for use with civil cellular radio-communications systems.
Note:
5A001.b.3 does not control equipment operating at an output
power of 1 W or less.
b.4. Being radio equipment employing ultra-wideband modulation
techniques, having user programmable channelizing codes, scrambling
codes, or network identification codes and having any of the
following:
b.4.a. A bandwidth exceeding 500 MHz; or
b.4.b. A ``fractional bandwidth'' of 20% or more;
b.5. Being digitally controlled radio receivers having all of
the following:
b.5.a. More than 1,000 channels;
b.5.b. A ``frequency switching time'' of less than 1 ms;
b.5.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
b.5.d. Identification of the received signals or the type of
transmitter; or
Note:
5A001.b.5 does not control radio equipment specially designed
for use with civil cellular radio-communications systems.
b.6. Employing functions of digital ``signal processing'' to
provide `voice coding' 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 10\9\ N/m\2\ or more;
Technical Note:
`Proof Test': on-line or off-line production screen testing that
dynamically applies a prescribed tensile stress over a 0.5 to 3 m
length of fiber at a running rate of 2 to 5 m/s while passing
between capstans approximately 150 mm in diameter. The ambient
temperature is a nominal 293 K (20 [deg]C) and relative humidity
40%. Equivalent national standards may be used for executing the
proof test.
c.2. Optical fiber cables and accessories, designed for
underwater use;
Note:
5A001.c.2 does not control standard civil telecommunication
cables and accessories.
N.B. 1: For underwater umbilical cables, and connectors thereof,
see 8A002.a.3.
N.B. 2: For fiber-optic hull penetrators or connectors, see
8A002.c.
d. ``Electronically steerable phased array antennae'' operating
above 31.8 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, 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 mobile telecommunication services and having any of the
following characteristics, and specially designed components
therefor:
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.
g. Passive Coherent Location (PCL) systems or equipment,
specially designed for detecting and tracking moving objects by
measuring reflections of ambient radio frequency emissions, supplied
by non-radar transmitters.
Technical Note:
Non-radar transmitters may include commercial radio, television
or cellular telecommunications base stations.
Note:
5A001.g. does not control:
a. Radio-astronomical equipment; or
b. Systems or equipment, that require any radio transmission
from the target.
0
29. 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 Heading and the Items paragraph of the List
of Items Controlled section, to read as follows:
5A002 ``Information security'' systems, equipment and components
therefor, as follows (see List of Items Controlled).
* * * * *
List of Items Controlled
* * * * *
Items:
Note:
5A002 does not control any of the following. However, these
items are instead controlled under 5A992:
(a) ``Personalized smart cards'' having any of the following:
(1) Where the cryptographic capability is restricted for use in
equipment or systems excluded from control paragraphs (b) through
(g) 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';
Technical Note: 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 communication systems) that
are not capable of transmitting encrypted data directly to another
radiotelephone or equipment (other than Radio Access Network (RAN)
equipment), nor of passing encrypted data through RAN equipment
(e.g., Radio Network Controller (RNC) or Base Station Controller
(BSC));
(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
base station) is less than 400 meters according to the
manufacturer's specifications; or
(g) Portable or mobile radiotelephones and similar client
wireless devices for civil use, that implement only published or
commercial cryptographic standards (except for anti-piracy
functions, which may be non-published) and also meet the provisions
of paragraphs b. to d. of the Cryptography Note
[[Page 60931]]
(Note 3 in Category 5--Part 2), that have been customized for a
specific civil industry application with features that do not affect
the cryptographic functionality of these original non-customized
devices.
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
(GNSS) receiving equipment containing or employing decryption (i.e.,
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 and 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 and having any of the following:
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
30. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 6 Sensors, Export Control Classification Number (ECCN) 6A001
is amended by revising the Heading and the Items paragraph of the List
of Items Controlled section, to read as follows:
6A001 Acoustic systems, equipment and components, as follows (see List
of Items Controlled).
* * * * *
List of Items Controlled
* * * * *
Items:
a. Marine acoustic systems, equipment and specially designed
components therefor, as follows:
a.1. Active (transmitting or transmitting-and-receiving)
systems, equipment and specially designed components therefor, as
follows:
Note: 6A001.a.1 does not control:
a. Depth sounders operating vertically below the apparatus, not
including a scanning function exceeding 20[deg], and limited to measuring the depth of
water, the distance of submerged or buried objects or fish finding;
b. Acoustic beacons, as follows:
1. Acoustic emergency beacons;
2. Pingers specially designed for relocating or returning to an
underwater position.
a.1.a. Wide-swath bathymetric survey systems designed for sea
bed topographic mapping and having all of the following:
a.1.a.1. Designed to take measurements at an angle exceeding
20[deg] from the vertical;
a.1.a.2. Designed to measure depths exceeding 600 m below the
water surface; and
a.1.a.3. Designed to provide any of the following:
a.1.a.3.a. Incorporation of multiple beams any of which is less
than 1.9[deg]; or
a.1.a.3.b. Data accuracies of better than 0.3% of water depth
across the swath averaged over the individual measurements within
the swath;
a.1.b. Object detection or location systems, having any of the
following:
a.1.b.1. A transmitting frequency below 10 kHz;
a.1.b.2. Sound pressure level exceeding 224dB (reference 1[mu]Pa
at 1 m) for equipment with an operating frequency in the band from
10 kHz to 24 kHz inclusive;
a.1.b.3. Sound pressure level exceeding 235 dB (reference 1
[mu]Pa at 1 m) for equipment with an operating frequency in the band
between 24 kHz and 30 kHz;
a.1.b.4. Forming beams of less than 1[deg] on any axis and
having an operating frequency of less than 100 kHz;
a.1.b.5. Designed to operate with an unambiguous display range
exceeding 5,120 m; or
a.1.b.6. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m and having transducers with any of the
following:
a.1.b.6.a. Dynamic compensation for pressure; or
a.1.b.6.b. Incorporating other than lead zirconate titanate as
the transduction element;
a.1.c. Acoustic projectors, including transducers, incorporating
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or
hydraulic elements operating individually or in a designed
combination and having any of the following:
Notes: 1. The control status of acoustic projectors, including
transducers, specially designed for other equipment is determined by
the control status of the other equipment.
2. 6A001.a.1.c does not control electronic sources that direct
the sound vertically only, or mechanical (e.g., air gun or vapor-
shock gun) or chemical (e.g., explosive) sources.
a.1.c.1. An instantaneous radiated `acoustic power density'
exceeding 0.01 mW/mm\2\/Hz for devices operating at frequencies
below 10 kHz;
a.1.c.2. A continuously radiated `acoustic power density'
exceeding 0.001 mW/mm\2\/Hz for devices operating at frequencies
below 10 kHz; or
Technical Note: `Acoustic power density' is obtained by dividing
the output acoustic power by the product of the area of the
radiating surface and the frequency of operation.
a.1.c.3. Side-lobe suppression exceeding 22 dB;
a.1.d. Acoustic systems, equipment and specially designed
components for determining the position of surface vessels or
underwater vehicles, designed to operate at a range exceeding 1,000
m with a positioning accuracy of less than 10 m rms (root mean
square) when measured at a range of 1,000 m;
Note: 6A001.a.1.d includes:
a. Equipment using coherent ``signal processing'' between two or
more beacons and the hydrophone unit carried by the surface vessel
or underwater vehicle;
b. Equipment capable of automatically correcting speed-of-sound
propagation errors for calculation of a point.
a.2. Passive (receiving, whether or not related in normal
application to separate active equipment) systems, equipment and
specially designed components therefor, as follows:
a.2.a. Hydrophones having any of the following:
Note: The control status of hydrophones specially designed for
other equipment is determined by the control status of the other
equipment.
[[Page 60932]]
a.2.a.1. Incorporating continuous flexible sensing elements;
a.2.a.2. Incorporating flexible assemblies of discrete sensing
elements with either a diameter or length less than 20 mm and with a
separation between elements of less than 20 mm;
a.2.a.3. Having any of the following sensing elements:
a.2.a.3.a. Optical fibers;
a.2.a.3.b. `Piezoelectric polymer films' other than
polyvinylidene-fluoride (PVDF) and its co-polymers {P(VDF-TrFE) and
P(VDF-TFE){time} ; or
a.2.a.3.c. `Flexible piezoelectric composites';
a.2.a.4. A `hydrophone sensitivity' better than -180dB at any
depth with no acceleration compensation;
a.2.a.5. Designed to operate at depths exceeding 35 m with
acceleration compensation; or
a.2.a.6. Designed for operation at depths exceeding 1,000 m;
Technical Notes: 1. `Piezoelectric polymer film' sensing
elements consist of polarized polymer film that is stretched over
and attached to a supporting frame or spool (mandrel).
2. `Flexible piezoelectric composite' sensing elements consist
of piezoelectric ceramic particles or fibers combined with an
electrically insulating, acoustically transparent rubber, polymer or
epoxy compound, where the compound is an integral part of the
sensing elements.
3. `Hydrophone sensitivity' is defined as twenty times the
logarithm to the base 10 of the ratio of rms output voltage to a 1 V
rms reference, when the hydrophone sensor, without a pre-amplifier,
is placed in a plane wave acoustic field with an rms pressure of 1
[mu]Pa. For example, a hydrophone of -160 dB (reference 1 V per
[mu]Pa) would yield an output voltage of 10-\8\ V in such
a field, while one of -180 dB sensitivity would yield only
10-\9\ V output. Thus, -160 dB is better than -180 dB.
a.2.b. Towed acoustic hydrophone arrays having any of the
following:
a.2.b.1. Hydrophone group spacing of less than 12.5 m or `able
to be modified' to have hydrophone group spacing of less than 12.5
m;
a.2.b.2. Designed or `able to be modified' to operate at depths
exceeding 35m;
Technical Note: `Able to be modified' in 6A001.a.2.b means
having provisions to allow a change of the wiring or
interconnections to alter hydrophone group spacing or operating
depth limits. These provisions are: spare wiring exceeding 10% of
the number of wires, hydrophone group spacing adjustment blocks or
internal depth limiting devices that are adjustable or that control
more than one hydrophone group.
a.2.b.3. Heading sensors controlled by 6A001.a.2.d;
a.2.b.4. Longitudinally reinforced array hoses;
a.2.b.5. An assembled array of less than 40 mm in diameter;
a.2.b.6. [Reserved]; or
a.2.b.7. Hydrophone characteristics controlled by 6A001.a.2.a;
a.2.c. Processing equipment, specially designed for towed
acoustic hydrophone arrays, having ``user accessible
programmability'' and time or frequency domain processing and
correlation, including spectral analysis, digital filtering and
beamforming using Fast Fourier or other transforms or processes;
a.2.d. Heading sensors having all of the following:
a.2.d.1. An accuracy of better than 0.5[deg]; and
a.2.d.2. Designed to operate at depths exceeding 35 m or having
an adjustable or removable depth sensing device in order to operate
at depths exceeding 35 m;
a.2.e. Bottom or bay cable systems, having any of the following:
a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a; or
a.2.e.2. Incorporating multiplexed hydrophone group signal
modules having all of the following characteristics:
a.2.e.2.a. Designed to operate at depths exceeding 35 m or
having an adjustable or removable depth sensing device in order to
operate at depths exceeding 35 m; and
a.2.e.2.b. Capable of being operationally interchanged with
towed acoustic hydrophone array modules;
a.2.f. Processing equipment, specially designed for bottom or
bay cable systems, having ``user accessible programmability'' and
time or frequency domain processing and correlation, including
spectral analysis, digital filtering and beamforming using Fast
Fourier or other transforms or processes;
b. Correlation-velocity and Doppler-velocity sonar log equipment
designed to measure the horizontal speed of the equipment carrier
relative to the sea bed, as follows:
b.1. Correlation-velocity sonar log equipment having any of the
following characteristics:
b.1.a. Designed to operate at distances between the carrier and
the sea bed exceeding 500 m; or
b.1.b. Having speed accuracy better than 1% of speed;
b.2. Doppler-velocity sonar log equipment having speed accuracy
better than 1% of speed.
Note 1:
6A001.b. does not apply to depth sounders limited to any of the
following:
a. Measuring the depth of water;
b. Measuring the distance of submerged or buried objects; or
c. Fish finding.
Note 2:
6A001.b. does not apply to equipment specially designed for
installation on surface vessels.
0
31. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 6 Sensors, Export Control Classification Number (ECCN) 6A005
is amended by:
0
a. Revising the citation ``6A005.b.2, b.3, or b.4'' to read
``6A005.a.4, b.2, b.3, b.4'' in paragraph g of the License Requirements
Note;
0
b. Revising the phrase ``Dye and Liquid Lasers controlled by 6A005.c.1
and c.2,'' to read ``Dye and Liquid Lasers controlled by 6A005.c.1, c.2
and c.3,'' in the GBS and CIV paragraphs of the License Exception
section; and
0
32. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 6 Sensors, Export Control Classification Number (ECCN) 6A995,
the Note following paragraph e.2.b is amended by revising the citation
``6A995.e.1.b'' to read ``6A995.e.2.b''.
0
33. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 7 Navigation and Avionics, Export Control Classification
Number (ECCN) 7A002 is amended by removing the term ``drift rate'' and
adding in its place ``bias'' in 7A002.a and 7A002.c.1 in the Items
paragraph of the List of Items Controlled section.
0
34. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 7 Navigation and Avionics, Export Control Classification
Number (ECCN) 7A003 is amended by revising the Items paragraph of the
List of Items Controlled section, to read as follows:
7A003 Inertial Systems and specially designed components therefor.
* * * * *
List of Items Controlled
* * * * *
Items:
a. Inertial Navigation Systems (INS) (gimballed or strapdown)
and inertial equipment designed for ``aircraft'', land vehicles,
vessels (surface or underwater) or ``spacecraft'' for navigation,
attitude, guidance or control, having any of the following
characteristics, and specially designed components therefor:
a.1. Navigation error (free inertial) subsequent to normal
alignment of 0.8 nautical mile per hour (nm/hr) ``Circular Error
Probable'' (``CEP'') or less (better); or
a.2. Specified to function at linear acceleration levels
exceeding 10 g;
b. Hybrid Inertial Navigation Systems embedded with Global
Navigation Satellite System(s) (GNSS) or with ``Data-Based
Referenced Navigation'' (``DBRN'') System(s) for navigation,
attitude, guidance or control, subsequent to normal alignment,
having an INS navigation position accuracy, after loss of GNSS or
``DBRN'' for a period of up to 4 minutes, of less (better) than 10
meters ``Circular Error Probable'' (``CEP'');
c. Inertial Measurement equipment for heading or True North
determination having any of the following, and specially designed
components therefor:
c.1. Designed to have heading or True North determination
accuracy equal to, or less (better) than 0.07 deg sec (Lat)
equivalent to 6 arc minutes RMS at 45 degrees latitude; or
c.2. Designed to have a non-operating shock level of 900 g or
greater at a duration of 1-msec or greater;
d. Inertial measurement equipment including Inertial Measurement
Units (IMU) and Inertial Reference Systems (IRS), incorporating
accelerometers or gyros controlled by 7A001 or 7A002, and specially
designed components therefor.
[[Page 60933]]
Note 1:
The parameters of 7A003.a and 7A003.b are applicable with any of
the following environmental conditions:
a. Input random vibration with an overall magnitude of 7.7 g rms
in the 0.5 hour and a total test duration of 1.5 hour per axis in
each of the 3 perpendicular axes, when the random vibration meets
all of the following:
1. A constant Power Spectral Density (PSD) value of 0.04 g\2\/Hz
over a frequency interval of 15 to 1,000 Hz; and
2. The PSD attenuates with frequency from 0.04 g\2\/Hz to 0.01
g\2\/Hz over a frequency interval from 1,000 to 2,000 Hz;
b. An angular rate capability about one or more axes of equal to
or more than +2.62 rad/s (150 deg/s); or
c. According to national standards equivalent to a. or b. of
this note.
Note 2:
7A003 does not control inertial navigation systems that are
certified for use on ``civil aircraft'' by civil authorities of a
Wassenaar Arrangement Participating State, see Supplement No. 1 to
Part 743 for a list of these countries.
Note 3:
7A003.c.1 does not control theodolite systems incorporating
inertial equipment specially designed for civil surveying purposes.
Technical Note:
7A003.b refers to systems in which an INS and other independent
navigation aids are built into a single unit (embedded) in order to
achieve improved performance.
0
35. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 7 Navigation and Avionics, Export Control Classification
Number (ECCN) 7A008 is amended by revising the Heading and Related
Controls paragraph in the List of Items Controlled section, to read as
follows:
7A008 Underwater sonar navigation systems, using Doppler velocity or
correlation velocity logs integrated with a heading source and having a
positioning accuracy of equal to or less (better) than 3% of distance
traveled ``Circular Error Probable'' (``CEP''), and specially designed
components therefore.
* * * * *
List of Items Controlled
* * * * *
Related Controls: 7A008 does not control systems specially
designed for installation on surface vessels or systems requiring
acoustic beacons or buoys to provide positioning data. See 6A001.a
for acoustic systems, and 6A001.b for correlation-velocity and
Doppler-velocity sonar log equipment. See 8A002 for other marine
systems.
* * * * *
0
36. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9 Aerospace and Propulsion, Export Control Classification
Number 9A012 is amended by revising the Heading and the Items paragraph
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
* * * * *
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;
b.4. Air breathing reciprocating or rotary internal combustion
type engines, specially designed or modified to propel ``UAVs'' at
altitudes above 50,000 feet (15,240 meters).
Note: 9A012 does not control model aircraft.
0
37. In Supplement No. 1 to Part 774 (the Commerce Control List),
Category 9 Aerospace and Propulsion, Export Control Classification
Number 9E003 is amended by revising the Heading and the Items paragraph
in the List of Items Controlled section, to read as follows:
9E003 Other ``technology'' as follows (see List of Items Controlled).
* * * * *
List of Items Controlled
* * * * *
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 and
having (in the 001 Miller Index Direction) a stress-rupture life
exceeding 400 hours at 1,273 K (1,000 [deg]C) at a stress of 200
MPa, based on the average property values;
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 total (stagnation)
temperatures of 1,323 K (1,050 [deg]C) or more at sea-level static
take-off (ISA) in a `steady state mode' of engine operation;
a.5. Cooled turbine blades, vanes or tip-shrouds, other than
those described in 9E003.a.1, exposed to gas path total (stagnation)
temperatures of 1,643 K (1,370 [deg]C) or more at sea-level static
take-off (ISA) in a `steady state mode' of engine operation;
Technical Note: The term `steady state mode' defines engine
operation conditions, where the engine parameters, such as thrust/
power, rpm and others, have no appreciable fluctuations, when the
ambient air temperature and pressure at the engine inlet are
constant.
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, Electro-Chemical Machining (ECM) or Electrical Discharge
Machines (EDM) hole drilling processes to produce holes having any
of the following:
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:
[[Page 60934]]
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. `Box volume' of 1.2 m\3\ or less;
e.2. An overall power output of more than 750 kW based on 80/
1269/EEC, ISO 2534 or national equivalents; and
e.3. Power density of more than 700 kW/m\3\ of `box volume';
Technical Note:
`Box volume' is the product of three perpendicular dimensions
measured in the following way:
Length: The length of the crankshaft from front flange to
flywheel face;
Width: The widest of any of the following:
a. The outside dimension from valve cover to valve cover;
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of any of the following:
a. The dimension of the crankshaft center-line to the top plane
of the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ``Technology'' ``required'' for the ``production'' of
specially designed components, for high output diesel engines, as
follows:
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 and having all of
the following:
f.2.a. Operating at pressure ratios of 4:1 or higher;
f.2.b. Mass flow in the range from 30 to 130 kg per minute; and
f.2.c. Variable flow area capability within the compressor or
turbine sections;
f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a specially designed multifuel (e.g., diesel
or jet fuel) capability covering a viscosity range from diesel fuel
(2.5 cSt at 310.8 K (37.8 [deg]C)) down to gasoline fuel (0.5 cSt at
310.8 K (37.8 [deg]C)) and having all of the following:
f.3.a. Injection amount in excess of 230 mm\3\ per injection per
cylinder; and
f.3.b. Electronic control features specially designed for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
g. ``Technology'' ``required'' for the development'' or
``production'' of `high output diesel engines' for solid, gas phase
or liquid film (or combinations thereof) cylinder wall lubrication
and permitting operation to temperatures exceeding 723 K (450
[deg]C), measured on the cylinder wall at the top limit of travel of
the top ring of the piston;
Technical Note:
`High output diesel engines' are diesel engines with a specified
brake mean effective pressure of 1.8 MPa or more at a speed of 2,300
r.p.m., provided the rated speed is 2,300 r.p.m. or more.
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: September 26, 2008.
Christopher R. Wall,
Assistant Secretary for Export Administration.
[FR Doc. E8-23278 Filed 10-10-08; 8:45 am]
BILLING CODE 3510-33-P