Billing Code: 3510-33-P

DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 744 and 774

\[Docket No. 021216312-2312-01\]

RIN 0694-AC66

Revision of Export Controls for General Purpose Microprocessors

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final Rule

SUMMARY: The Bureau of Industry and Security (BIS) is amending the
Export Administration Regulations (EAR) to implement revisions to
national security controls for microprocessors that were agreed upon in
the February 2002 meeting of the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies
(Wassenaar Arrangement). This final rule removes license requirements
for exports and reexports of general purpose microprocessors to most
destinations to conform with changes in the List of Dual-Use Goods and
Technologies maintained and agreed to by governments participating in
the Wassenaar Arrangement. This rule retains license requirements for
exports and reexports to designated terrorist-supporting countries. In
addition, this rule establishes a new license requirement for the export
or reexport of general purpose microprocessors if, at the time of the
export or reexport, the exporter or reexporter knows, has reason to
know, or is informed by BIS that the item will be or is intended to be
used for a 'military end-use' in a country that is of concern for
national security reasons or by a 'military end-user' in such a country.
This license requirement does not apply to items for the official use by
personnel and agencies of the U.S. Government or agencies of a
cooperating government in a country of concern for national security
reasons. The license review standard for applications to export or
reexport general purpose microprocessors subject to this license
requirement is a presumption of denial. No license exceptions are
available for this license requirement.

EFFECTIVE DATES: This rule is effective: ([DATE OF
PUBLICATION]{.underline}).

FOR FURTHER INFORMATION CONTACT: Sharron Cook, Office of Exporter
Services, Bureau of Industry and Security, Telephone: (202) 482-2440.

SUPPLEMENTARY INFORMATION

Background

This rule implements changes in the List of Dual-Use Goods and
Technologies maintained and agreed to by governments participating in
the Wassenaar Arrangement on Export Controls for Conventional Arms and
Dual-Use Goods and Technologies (Wassenaar Arrangement) in February
2002. General purpose microprocessors, which are produced in very large
volumes and sold through a variety of channels, are used in numerous
civilian applications worldwide, such as personal computers, cellular
telephones, personal digital assistants, and wireless base stations.
General purpose microprocessors may also be used in a wide variety of
military applications and weapons systems. The continuous, rapid
increase in microprocessor capabilities has necessitated frequent
adjustment to export control parameters to avoid expending limited
export control resources on mass market items.

While some general purpose microprocessors will remain under the
classification of Export Control Classification Number (ECCN) 3A001 on
the Commerce Control List (CCL) (Supplement No. 1 to part 774 of the
EAR), this rule moves most general purpose microprocessors to ECCN
3A991. Specifically, 3A001.a.3.a is removed and reserved and 3A991.a.1
is created to control the export and reexport of "microprocessor
microcircuits", "microcomputer microcircuits", and microcontroller
microcircuits having a "composite theoretical performance" ("CTP") of
6,500 million theoretical operations per second (MTOPS) or more and an
arithmetic logic unit with an access width of 32 bit or more to
countries in "AT column 1\" of the Commerce Country Chart (see
Supplement No. 1 of part 738 of the EAR) for anti-terrorism (AT)
reasons. Currently, North Korea, Sudan and Syria are listed in "AT
column 1." However, the Commerce Country Chart directs you to Part 746
of the EAR to determine license requirements for other state sponsors of
terrorism, i.e., Cuba, Iran, Iraq, and Libya.

This rule also creates a new section 744.17, "Restrictions on certain
exports and reexports of general purpose microprocessors for 'military
end-uses' and to 'military end-users'." In addition to the license
requirements for AT reasons specified in ECCN 3A991.a.1 on the CCL and
sections 742.9, 742.10 and 742.18 of the EAR, no one may export or
reexport an item classified under ECCN 3A991.a.1 without a license if,
at the time of the export or reexport, the exporter or reexporter knows,
has reason to know, or is informed by BIS, that the item will be or is
intended to be used for a 'military end-use,' as defined in paragraph
(d) of this section, in Country Group D:1 (see Supplement No. 1 to part
740 of the EAR); or by a 'military end-user,' as defined in paragraph
(e) of this section, in Country Group D:1. The definitions of the term
"know" and "knowledge" set forth in section 772.1 of the EAR apply to
this license requirement. This rule also defines, for purposes of the
newly created §774.17, the terms 'military end-use' and 'military
end-user.' In addition, this rule adds a new Supplement No. 1 to part
744 to give examples of military items in which this type of
microprocessor could be used. This license requirement does not apply to
items for the official use by personnel and agencies of the U.S.
Government or agencies of a cooperating government in a Country Group
D:1 country. See §740.11(b)(3) of the EAR for definitions of "agency of
the U.S. Government" and "agency of a cooperating government." The
license review standard for applications to export or reexport general
purpose microprocessors under section 744.17 is a presumption of denial.
No license exceptions are available for this license requirement.

Although the Export Administration Act expired on August 20, 2001, the
President, through Executive Order 13222 of August 17, 2001 (66 Fed.
Reg. 44025, 3 CFR, 2001 Comp., p. 783)), as extended by the Notice of
August 14, 2002 (67 Fed. Reg. 53721, August 16, 2002), has continued the
Export Administration Regulations in effect under the International
Emergency Economic Powers Act.

**Rulemaking Requirements**

1\. This final rule has been determined to be not significant for
purposes of E.O. 12866.

2\. Notwithstanding any other provision of law, no person is required to
respond to, nor shall any person be subject to a penalty for failure to
comply with a collection of information, subject to the requirements of
the Paperwork Reduction Act, unless that collection of information
displays a currently valid Office of Management and Budget Control
Number. This rule involves a collection of information subject to the
Paperwork Reduction Act of 1980 (44 U.S.C. 3501 [et seq.]{.underline}).
This collection has been approved by the Office of Management and Budget
under control number 0694-0088, "Multi-Purpose Application," which
carries a burden hour estimate of 45 minutes for a manual submission and
40 minutes for an electronic submission.

3\. This rule does not contain policies with Federalism implications as
that term is defined under E.O. 13132.

4\. The provisions of the Administrative Procedure Act (5 U.S.C. 553)
requiring notice of proposed rulemaking, the opportunity for public
participation, and a delay in effective date, are inapplicable because
this regulation involves a military and foreign affairs function of the
United

States (5 U.S.C. 553(a)(1)). Further, no other law requires that a
notice of proposed rulemaking and an opportunity for public comment be
given for this interim rule. Because a notice of proposed rulemaking and
an opportunity for public comment are not required to be given for this
rule under the Administrative Procedure Act or by any other law, the
analytical requirements

of the Regulatory Flexibility Act (5 U.S.C. 601 [et]{.underline}
[seq]{.underline}.) are not applicable. Therefore, this regulation is
issued in final form. Although there is no formal comment period, public
comments on this regulation are welcome on a continuing basis. Comments
should be submitted to Sharron Cook, Office of Exporter Services, Bureau
of Industry and Security, Department of Commerce, P.O. Box 273,
Washington, D.C. 20044.

List of Subjects

15 CFR Part 744

Exports, Foreign trade, Reporting and recordkeeping requirements.

15 CFR Part 774

Exports, Foreign trade.

Accordingly, parts 744 and 774 of the Export Administration Regulations
(15 CFR parts 730-799) are amended as follows:

**PART 744 - \[AMENDED\]**

1.  The authority citation for 15 CFR part 744 is revised to read as
    follows:

[Authority]{.underline}: 50 U.S.C. app. 2401 [et seq]{.underline}.; 50
U.S.C. 1701 [et seq]{.underline}.; 22 U.S.C. 3201 [et seq]{.underline}.;
42 U.S.C. 2139a; Sec. 901-911, Publ. L. 106-387; Sec. 221, Publ. L.
107-56; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851,
58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR,
1994 Comp., p. 950; E.O. 12947, 60 FR 5079, 3 CFR, 1995 Comp., p. 356;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13099, 63 FR
45167, 3 CFR, 1998 Comp., p.208; E.O. 13222, 66 FR 44025, 3 CFR, 2001
Comp., p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 786;
Notice of November 9, 2001, 66 FR 56965, 3 CFR, 2001 Comp., p. 917;
Notice of August 14, 2002, 67 FR 53721, August 16, 2002.

2.  Part 744 is amended by adding a new section 744.17, and adding a new
    Supplement No. 1, to read as follows:

§744.17 Restrictions on certain exports and reexports of general purpose
microprocessors for 'military end-uses' and to 'military end-users.'

\(a\) [General prohibition]{.underline}. In addition to the license
requirements for anti-terrorism reasons set forth in part 742 of the
EAR, you may not export or reexport commodities described in ECCN
3A991.a.1 on the CCL ("microprocessor microcircuits", "microcomputer
microcircuits", and microcontroller microcircuits having a "composite
theoretical performance" ("CTP") of 6,500 million theoretical operations
per second (MTOPS) or more and an arithmetic logic unit with an access
width of 32 bit or more), without a license if, at the time of the
export or reexport, you know, have reason to know, or are informed by
BIS that the item will be or is intended to be used for a 'military
end-use,' as defined in paragraph (d) of this section, in Country Group
D:1 (see Supplement No. 1 to part 740 of the EAR); or by a 'military
end-user,' as defined in paragraph (e) of this section, in Country Group
D:1. This license requirement does not apply to exports or reexports of
items for the official use by personnel and agencies of the U.S.
Government or agencies of a cooperating government. See §740.11(b)(3) of
the EAR for definitions of "agency of the U.S. Government" and "agency
of a cooperating government".

\(b\) [Additional prohibition on exporters or reexporters informed by
BIS]{.underline}. BIS may inform an exporter or reexporter, either
individually by specific notice or through amendment to the EAR, that a
license is required for export or reexport of items described in ECCN
3A991.a.1 to specified end-users, because BIS has determined that there
is an unacceptable risk of diversion to the uses or users described in
paragraph (a) of this section. Specific notice is to be given only by,
or at the direction of, the Deputy Assistant Secretary for Export
Administration. When such notice is provided orally, it will be followed
by a written notice within two working days signed by the Deputy
Assistant Secretary for Export Administration. The absence of any such
notification does not excuse the exporter or reexporter from compliance
with the license requirements of paragraph (a) of this section.

\(c\) [License review standards]{.underline}. There is a presumption of
denial for applications to export or reexport items subject to this
section.

\(d\) [Military end-use]{.underline}. In this section, the phrase
'military end-use' means incorporation into: a military item described
on the U.S. Munitions List (USML) (22 CFR part 121, International
Traffic in Arms Regulations) or the International Munitions List (IML)
(as set out on the Wassenaar Arrangement website at
http:\\\\www.wassenaar.org); commodities listed under ECCN's ending in
"A018\" on the Commerce Control List (CCL) in Supplement No. 1 to part
774 of the EAR; or any item that is designed for the "use",
"development", "production", or deployment of military items described
on the USML, the IML, or commodities listed under ECCN's ending in
"A018\" on the CCL. Supplement No. 1 of this part lists examples of
'military end-use.'

\(e\) [Military end-user]{.underline}. In this section, the term
'military end-user' means the national armed services (army, navy,
marine, air force, or coast guard), as well as the national guard and
national police, government intelligence or reconnaissance
organizations, or any person or entity whose actions or functions are
intended to support 'military end-uses' as defined in paragraph (d) of
this section.

\(f\) [Exceptions]{.underline}. No License Exceptions apply to the
prohibitions described in paragraphs (a) and (b) of this section.

SUPPLEMENT NO. 1 TO PART 744 - MILITARY END-USE EXAMPLES FOR §744.17.

\(a\) [Examples of military end-uses (as described in §744.17 (d) of
this part) of general-purpose microprocessors classified as ECCN
3A991.a.1 includes employing such microprocessors in the "use",
"development", "production", or deployment of :]{.underline}

1\) Cruise missiles;

2\) Electronic suites of military aircraft and helicopters;

3\) Radar for searching, targeting, or tracking systems;

4\) Command/control/communications or navigation systems;

> 5\) Unmanned aerial vehicles capable of performing military
> reconnaissance, surveillance, or combat support;

6\) Rocket or missile systems;

7\) Electronic or information warfare systems; or

8\) Intelligence, reconnaissance, or surveillance systems suitable for
supporting military operations.

\(b\) \[Reserved\]

**PART 774 - \[AMENDED\]**

3.  The authority citation for 15 CFR part 774 continues to read as
    follows:

[Authority]{.underline}: 50 U.S.C. app. 2401 [et seq]{.underline}.; 50
U.S.C. 1701 [et seq]{.underline}.; 10 U.S.C. 7420; 10 U.S.C. 7430(e); 18
U.S.C. 2510 et seq.; 22 U.S.C. 287c, 22 U.S.C. 3201 et seq., 22 U.S.C.
6004; 30 U.S.C. 185(s), 185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43
U.S.C. 1354; 46 U.S.C. app. 466c; 50 U.S.C. app. 5; Sec. 901-911, Publ.
L. 106-387; Sec. 221, Publ. L. 107-56; E.O. 13026, 61 FR 58767, 3 CFR,
1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783;
notice of August 14, 2002, 67 FR 53721, August 16, 2002.

4.  In Supplement No. 1 to part 774 (the Commerce Control List),
    Category 3 - Electronics, Export Control Classification Number
    (ECCN) 3A001 is amended by revising the License Exception section,
    and the Items paragraph of the List of Items Controlled section, to
    read as follows:

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

**\* \* \* \* \***

**License Exceptions**

LVS: N/A for MT or NP

Yes for:

\$1500: 3A001.c

\$3000: 3A001.b.1, b.2, b.3, .d, .e and .f

\$5000: 3A001.a, and .b.4 to b.7

GBS: Yes for 3A001.a.1.b, a.2 to a.12, b.2, and b.8 (except for TWTAs
exceeding 18 GHz).

> CIV: Yes for 3A001.a.3.b, a.3.c, a.4, a.7, and a.11.

**List of Items Controlled**

*Unit*: \* \* \*

> *Related Controls*: \* \* \*
>
> *Related Definitions*: \* \* \*

*Items*:

a\. General purpose integrated circuits, as follows:

***Note 1:** The control status of wafers (finished or unfinished), in
which the function has been determined, is to be evaluated against the
parameters of 3A001.a.*

***Note 2:** Integrated circuits include the following types:*

*"Monolithic integrated circuits";*

*"Hybrid integrated circuits";*

*"Multichip integrated circuits";*

> *"Film type integrated circuits", including silicon-on-sapphire
> integrated circuits;*

*"Optical integrated circuits".*

a.1. Integrated circuits, designed or rated as radiation hardened to
withstand any of the following:

a.1.a. A total dose of 5 x 10^3^ Gy (Si), or higher; *or*

a.1.b. A dose rate upset of 5 x 10^6^ Gy (Si)/s, or higher;

a.2. "Microprocessor microcircuits", "microcomputer microcircuits",
microcontroller microcircuits, storage integrated circuits manufactured
from a compound semiconductor, analog-to-digital converters,
digital-to-analog converters, electro-optical or "optical integrated
circuits" designed for "signal processing", field programmable logic
devices, neural network integrated circuits, custom integrated circuits
for which either the function is unknown or the control status of the
equipment in which the integrated circuit will be used in unknown, Fast
Fourier Transform (FFT) processors, electrical erasable programmable
read-only memories (EEPROMs), flash memories or static random-access
memories (SRAMs), having any of the following:

a.2.a. Rated for operation at an ambient temperature above 398 K (125C);

a.2.b. Rated for operation at an ambient temperature below 218 K (-55C);
*or*

a.2.c. Rated for operation over the entire ambient temperature range
from 218 K (-55C) to 398 K (125 C);

***Note:** 3A001.a.2 does not apply to integrated circuits for civil
automobile or railway train applications.*

a.3. "Microprocessor microcircuits", "micro-computer microcircuits" and
microcontroller microcircuits, having any of the following
characteristics:

***Note:** 3A001.a.3 includes digital signal processors, digital array
processors and digital coprocessors.*

a.3.a. \[Reserved\]

a.3.b. Manufactured from a compound semiconductor and operating at a
clock frequency exceeding 40 MHz; *or*

a.3.c. More than one data or instruction bus or serial communication
port that provides a direct external interconnection between parallel
"microprocessor microcircuits" with a transfer rate exceeding 150
Mbyte/s;

a.4. Storage integrated circuits manufactured from a compound
semiconductor;

a.5. Analog-to-digital and digital-to-analog converter integrated
circuits, as follows:

a.5.a. Analog-to-digital converters having any of the following:

a.5.a.1. A resolution of 8 bit or more, but less than 12 bit, with a
total conversion time of less than 5 ns;

a.5.a.2. A resolution of 12 bit with a total conversion time of less
than 200 ns; *or*

a.5.a.3. A resolution of more than 12 bit with a total conversion time
of less than 2 s;

a.5.b. Digital-to-analog converters with a resolution of 12 bit or more,
and a "settling time" of less than 10 ns;

***Technical Note:***

*1. A resolution of n bit corresponds to a quantization of 2^n^ levels.*

*2. Total conversion time is the inverse of the sample rate.*

a.6. Electro-optical and "optical integrated circuits" designed for
"signal processing" having all of the following:

a.6.a. One or more than one internal "laser" diode;

a.6.b. One or more than one internal light detecting element; *and*

a.6.c. Optical waveguides;

a.7. Field programmable logic devices having any of the following:

a.7.a. An equivalent usable gate count of more than 30,000 (2 input
gates);

a.7.b. A typical "basic gate propagation delay time" of less than 0.1
ns; *or*

a.7.c. A toggle frequency exceeding 133 MHz;

***Note:** 3A001.a.7 includes: Simple Programmable Logic Devices
(SPLDs), Complex Programmable Logic Devices (CPLDs), Field Programmable
Gate Arrays (FPGAs), Field Programmable Logic Arrays (FPLAs), and Field
Programmable Interconnects (FPICs).*

***N.B.:** Field programmable logic devices are also known as field
programmable gate or field programmable logic arrays.*

a.8. \[Reserved\]

a.9. Neural network integrated circuits;

a.10. Custom integrated circuits for which the function is unknown, or
the control status of the equipment in which the integrated circuits
will be used is unknown to the manufacturer, having any of the
following:

a.10.a. More than 1,000 terminals;

a.10.b. A typical "basic gate propagation delay time" of less than 0.1
ns; *or*

a.10.c. An operating frequency exceeding 3 GHz;

a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:

a.11.a. An equivalent gate count of more than 3,000 (2 input gates);
*or*

a.11.b. A toggle frequency exceeding 1.2 GHz;

a.12. Fast Fourier Transform (FFT) processors having a rated execution
time for an N-point complex FFT of less than (N log~2~ 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 s.*

b\. Microwave or millimeter wave components, as follows:

b.1. Electronic vacuum tubes and cathodes, as follows:

***Note 1:** 3A001.b.1 does not control tubes designed or rated for
operation in any frequency band which meets all of the following
characteristics:*

*a.) Does not exceed 31 GHz; and*

*b.) Is "allocated by the ITU" for radio-communications services, but
not for radio-determination.*

***Note 2**: 3A001.b.1 does not control non-"space-qualified" tubes
which meet all the following characteristics:*

*a.) An average output power equal to or less than 50 W;
[and]{.underline}*

*b.) Designed or rated for operation in any frequency band which meets
all of the following characteristics:*

*1.) Exceeds 31 GHz but does not exceed 43.5 GHz; [and]{.underline}*

*2.) Is "allocated by the ITU" for radio-communications services, but
not for radio-determination.*

b.1.a. Traveling wave tubes, pulsed or continuous wave, as follows:

b.1.a.1. Operating at frequencies exceeding 31 GHz;

b.1.a.2. Having a cathode heater element with a turn on time to rated RF
power of less than 3 seconds;

b.1.a.3. Coupled cavity tubes, or derivatives thereof, with a
"fractional bandwidth" of more than 7% or a peak power exceeding 2.5 kW;

b.1.a.4. Helix tubes, or derivatives thereof, with any of the following
characteristics:

b.1.a.4.a. An "instantaneous bandwidth" of more than one octave, and
average power (expressed in kW) times frequency (expressed in GHz) of
more than 0.5;

b.1.a.4.b. An "instantaneous bandwidth" of one octave or less, and
average power (expressed in kW) times frequency (expressed in GHz) of
more than 1; *or*

b.1.a.4.c. Being "space qualified";

b.1.b. Crossed-field amplifier tubes with a gain of more than 17 dB;

b.1.c. Impregnated cathodes designed for electronic tubes producing a
continuous emission current density at rated operating conditions
exceeding 5 A/cm^2^;

b.2. Microwave integrated circuits or modules having all of the
following:

b.2.a. Containing "monolithic integrated circuits" having one or more
active circuit elements; *and*

b.2.b. Operating at frequencies above 3 GHz;

***Note 1:** 3A001.b.2 does not control circuits or modules for
equipment designed or rated to operate in any frequency band which meets
all of the following characteristics:*

*a.) Does not exceed 31 GHz; and*

*b.) Is "allocated by the ITU" for radio-communications services, but
not for radio-determination.*

***Note 2:** 3A001.b.2 does not control broadcast satellite equipment
designed or rated to operate in the frequency range of 40.5 to 42.5
GHz.*

b.3. Microwave transistors rated for operation at frequencies exceeding
31 GHz;

b.4. Microwave solid state amplifiers, having any of the following:

b.4.a. Operating frequencies exceeding 10.5 GHz and an "instantaneous
bandwidth" of more than half an octave; *or*

b.4.b. Operating frequencies exceeding 31 GHz;

b.5. Electronically or magnetically tunable band-pass or band-stop
filters having more than 5 tunable resonators capable of tuning across a
1.5:1 frequency band (f~max~/f~min~) in less than 10 s having any of the
following:

b.5.a. A band-pass bandwidth of more than 0.5% of center frequency; *or*

b.5.b. A band-stop bandwidth of less than 0.5% of center frequency;

b.6. Microwave "assemblies" capable of operating at frequencies
exceeding 31 GHz;

b.7. Mixers and converters designed to extend the frequency range of
equipment described in 3A002.c, 3A002.e or 3A002.f beyond the limits
stated therein;

b.8. Microwave power amplifiers containing tubes controlled by 3A001.b
and having all of the following:

b.8.a. Operating frequencies above 3 GHz;

b.8.b. An average output power density exceeding 80 W/kg; *and*

b.8.c. A volume of less than 400 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.*

c\. Acoustic wave devices, as follows, and specially designed components
therefor:

c.1. Surface acoustic wave and surface skimming (shallow bulk) acoustic
wave devices (i.e., "signal processing" devices employing elastic waves
in materials), having any of the following:

c.1.a. A carrier frequency exceeding 2.5 GHz;

c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 2.5 GHz,
and having any of the following:

c.1.b.1. A frequency side-lobe rejection exceeding 55 dB;

c.1.b.2. A product of the maximum delay time and the bandwidth (time in
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 s; *or*

c.1.c. A carrier frequency of 1 GHz or less, having any of the
following:

c.1.c.1. A product of the maximum delay time and the bandwidth (time in
s and bandwidth in MHz) of more than 100;

c.1.c.2. A dispersive delay of more than 10 s; *or*

c.1.c.3. A frequency side-lobe rejection exceeding 55 dB and a bandwidth
greater than 50 MHz;

c.2. Bulk (volume) acoustic wave devices (i.e., "signal processing"
devices employing elastic waves) that permit the direct processing of
signals at frequencies exceeding 1 GHz;

c.3. Acoustic-optic "signal processing" devices employing interaction
between acoustic waves (bulk wave or surface wave) and light waves that
permit the direct processing of signals or images, including spectral
analysis, correlation or convolution;

d\. Electronic devices and circuits containing components, manufactured
from "superconductive" materials specially designed for operation at
temperatures below the "critical temperature" of at least one of the
"superconductive" constituents, with any of the following:

d.1. Current switching for digital circuits using "superconductive"
gates with a product of delay time per gate (in seconds) and power
dissipation per gate (in watts) of less than 10^-14^ J; *or*

d.2. Frequency selection at all frequencies using resonant circuits with
Q-values exceeding 10,000;

e\. High energy devices, as follows:

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

***Note:** 3A001.e.1 does not control batteries with volumes equal to or
less than 27 cm^3^ (e.g., standard C-cells or R14 batteries).*

e.1.a. Primary cells and batteries having an energy density exceeding
480 Wh/kg and rated for operation in the temperature range from below
243 K (-30C) to above 343 K (70C);

e.1.b. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours © being the nominal capacity in ampere hours)
when operating in the temperature range from below 253 K (-20C) to above
333 K (60C);

***Technical Note:** Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average current
in amperes) by the duration of the discharge in hours to 75% of the open
circuit voltage divided by the total mass of the cell (or battery) in
kg.*

e.1.c. "Space qualified" and radiation hardened photovoltaic arrays with
a specific power exceeding 160 W/m^2^ at an operating temperature of 301
K (28C) under a tungsten illumination of 1 kW/m^2^ at 2,800 K (2,527C);

e.2. High energy storage capacitors, as follows:

e.2.a. Capacitors with a repetition rate of less than 10 Hz (single shot
capacitors) having all of the following:

e.2.a.1. A voltage rating equal to or more than 5 kV;

e.2.a.2. An energy density equal to or more than 250 J/kg; *and*

e.2.a.3. A total energy equal to or more than 25 kJ;

e.2.b. Capacitors with a repetition rate of 10 Hz or more (repetition
rated capacitors) having all of the following:

e.2.b.1. A voltage rating equal to or more than 5 kV;

e.2.b.2. An energy density equal to or more than 50 J/kg;

e.2.b.3. A total energy equal to or more than 100 J; *and*

e.2.b.4. A charge/discharge cycle life equal to or more than 10,000;

e.3. "Superconductive" electromagnets and solenoids specially designed
to be fully charged or discharged in less than one second, having all of
the following:

***Note:** 3A001.e.3 does not control "superconductive" electromagnets
or solenoids specially designed for Magnetic Resonance Imaging (MRI)
medical equipment.*

e.3.a. Energy delivered during the discharge exceeding 10 kJ in the
first second;

e.3.b. Inner diameter of the current carrying windings of more than 250
mm; *and*

e.3.c. Rated for a magnetic induction of more than 8 T or "overall
current density" in the winding of more than 300 A/mm^2^;

f\. Rotary input type shaft absolute position encoders having any of the
following:

f.1. A resolution of better than 1 part in 265,000 (18 bit resolution)
of full scale; *or*

f.2. An accuracy better than 2.5 seconds of arc.

5.  In Supplement No. 1 to part 774 (the Commerce Control List),
    Category 3 - Electronics, Export Control Classification Number
    (ECCN) 3A991 is amended by revising the License Requirement section,
    and the Items paragraph of the List of Items Controlled section, to
    read as follows:

**3A991 Electronic devices and components not controlled by 3A001.**

**License Requirements**

*Reason for Control*: AT

*Control(s)* *Country Chart*

AT applies to entire entry AT Column 1

**License Requirements Notes:**

1\. Microprocessors with a CTP below 550 MTOPS listed in subparagraphs
(a)(2) or (a)(3) of this entry may be shipped NLR (No License Required)
when destined to North Korea, provided restrictions set forth in other
sections of the EAR (e.g., end-use restrictions), do not apply.

2\. See 744.17 of the EAR for additional license requirements for
commodities classified as 3A991.a.1.

**\* \* \* \* \***

**List of Items Controlled**

*Unit*: \* \* \*

*Related Controls*: \* \* \*

*Related Definitions*: \* \* \*

*Items*:

a\. "Microprocessor microcircuits", "microcomputer microcircuits", and
microcontroller microcircuits having any of the following:

a.1. A "composite theoretical performance" ("CTP") of 6,500 million
theoretical operations per second (MTOPS) or more and an arithmetic
logic unit with an access width of 32 bit or more;

a.2. A clock frequency rate exceeding 25 MHz; *or*

a.3. More than one data or instruction bus or serial communication port
that provides a direct external interconnection between parallel
"microprocessor microcircuits" with a transfer rate of 2.5 Mbyte/s.

b\. Storage integrated circuits, as follows:

b.1. Electrical erasable programmable read-only memories (EEPROMs) with
a storage capacity;

b.1.a. Exceeding 16 Mbits per package for flash memory types; *or*

b.1.b. Exceeding either of the following limits for all other EEPROM
types:

b.1.b.1. Exceeding 1 Mbit per package; *or*

b.1.b.2. Exceeding 256 kbit per package and a maximum access time of
less than 80 ns;

b.2. Static random access memories (SRAMs) with a storage capacity:

b.2.a. Exceeding 1 Mbit per package; *or*

b.2.b. Exceeding 256 kbit per package and a maximum access time of less
than 25 ns;

c\. Analog-to-digital converters having a resolution of 8 bit or more,
but less than 12 bit, with a total conversion time of less than 10 ns;

d\. Field programmable logic devices having either of the following:

d.1. An equivalent gate count of more than 5000 (2 input gates); *or*

d.2. A toggle frequency exceeding 100 MHz;

e\. Fast Fourier Transform (FFT) processors having a rated execution
time for a 1,024 point complex FFT of less than 1 ms.

f\. Custom integrated circuits for which either the function is unknown,
or the control status of the equipment in which the integrated circuits
will be used is unknown to the manufacturer, having any of the
following:

f.1. More than 144 terminals; *or*

f.2. A typical "basic propagation delay time" of less than 0.4 ns.

g\. Traveling wave tubes, pulsed or continuous wave, as follows:

g.1. Coupled cavity tubes, or derivatives thereof;

g.2. Helix tubes, or derivatives thereof, with any of the following:

g.2.a. An "instantaneous bandwidth" of half an octave or more; *and*

g.2.b. The product of the rated average output power (expressed in kW)
and the maximum operating frequency (expressed in GHz) of more than 0.2;

g.2.c. An "instantaneous bandwidth" of less than half an octave; *and*

g.2.d. The product of the rated average output power (expressed in kW)
and the maximum operating frequency (expressed in GHz) of more than 0.4;

h\. Flexible waveguides designed for use at frequencies exceeding 40
GHz;

i\. Surface acoustic wave and surface skimming (shallow bulk) acoustic
wave devices (i.e., "signal processing" devices employing elastic waves
in materials), having either of the following:

i.1. A carrier frequency exceeding 1 GHz; *or*

i.2. A carrier frequency of 1 GHz or less; *and*

i.2.a. A frequency side-lobe rejection exceeding 55 Db;

i.2.b. A product of the maximum delay time and bandwidth (time in
microseconds and bandwidth in MHz) of more than 100; *or*

i.2.c. A dispersive delay of more than 10 microseconds.

j\. Batteries, as follows:

***Note:** 3A991 .j does not control batteries with volumes equal to or
less than 26 cm^3^ (e.g., standard C-cells or UM-2 batteries).*

j.1. Primary cells and batteries having an energy density exceeding 350
Wh/kg and rated for operation in the temperature range from below 243 K
(-30C) to above 343 K (70C);

j.2. Rechargeable cells and batteries having an energy density exceeding
150 Wh/kg after 75 charge/discharge cycles at a discharge current equal
to C/5 hours © being the nominal capacity in ampere hours) when
operating in the temperature range from below 253 K (-20C) to above 333
K (60C);

***Technical Note:** Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average current
in amperes) by the duration of the discharge in hours to 75 percent of
the open circuit voltage divided by the total mass of the cell (or
battery) in kg.*

k\. "Superconductive" electromagnets or solenoids specially designed to
be fully charged or discharged in less than one minute, having all of
the following:

***Note:** 3A991.k does not control "superconductive" electromagnets or
solenoids designed for Magnetic Resonance Imaging (MRI) medical
equipment.*

k.1. Maximum energy delivered during the discharge divided by the
duration of the discharge of more than 500 kJ per minute;

k.2. Inner diameter of the current carrying windings of more than 250
mm; *and*

k.3. Rated for a magnetic induction of more than 8T or "overall current
density" in the winding of more than 300 A/mm^2^.

l\. Circuits or systems for electromagnetic energy storage, containing
components manufactured from "superconductive" materials specially
designed for operation at temperatures below the "critical temperature"
of at least one of their "superconductive" constituents, having all of
the following:

l.1. Resonant operating frequencies exceeding 1 MHz;

l.2. A stored energy density of 1 MJ/M^3^ or more; *and*

l.3. A discharge time of less than 1 ms;

m\. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal construction
and rate for a peak current of 500 A or more;

n\. Digital integrated circuits based on any compound semiconductor
having an equivalent gate count of more than 300 (2 input gates).

\* \* \* \* \*

DATED:

James J. Jochum

Assistant Secretary

for Export Administration