78684 Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Part 774 

[Docket No. 201118–0305] 

RIN 0694–AH77 

Wassenaar Arrangement 2018 Plenary 

Decisions Implementation; and Other 

Revisions Related to National Security 

Controls; Correction 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Correcting amendments. 

SUMMARY: In this rule, the Bureau of 

Industry and Security (BIS) amends the 

Export Administration Regulations 

(EAR) by making corrections to address 

errors that were inadvertently 

introduced with the September 11, 

2020, Federal Register publication of 

‘‘Wassenaar Arrangement 2018 Plenary 

Decisions Implementation; and Other 

Revisions Related to National Security 

Controls (Final Rule)’’. 

DATES: This rule is effective December 4, 

2020. 

FOR FURTHER INFORMATION CONTACT: 

Logan Norton, Regulatory Policy 

Division, Logan.Norton@bis.doc.gov, 

(202) 812–1762. 

SUPPLEMENTARY INFORMATION: 

Background 

On September 11, 2020, BIS 

published ‘‘Wassenaar Arrangement 

2018 Plenary Decisions Implementation; 

and Other Revisions Related to National 

Security Controls (Final Rule)’’ (85 FR 

56294) in the Federal Register. This 

publication unintentionally introduced 

errors in Export Control Classification 

Numbers (ECCNs) 3A001, 3A002, 

3A991, 5A002, 7A005, and 9E003, 

entries located on the Commerce 

Control List, Supplement No. 1 to part 

774 of the EAR. This final rule revises 

part 774 of the EAR to correct these 

errors and thereby conform the entries 

to other recent regulatory changes. 

These revisions do not change BIS 

policy, including policy regarding any 

applicable licensing requirements. The 

specific revisions set forth in this final 

rule are detailed below. 

3A001 Electronic Items 

ECCN 3A001 is corrected as follows: 

Adding double quotes around the 

remaining listed terms that do not have 

double quotes in the Note following the 

introductory text of Items paragraph .a. 

This stylistic convention is consistent 

with the Wassenaar Arrangement List of 

Dual-Use Goods and Technologies and 

the EAR. 

Item paragraph a.2 is corrected by 

replacing ‘‘Electrical Erasable 

Programmable Read Only Memories 

(EEPROMS), flash memories, and 

MRAMs’’ with ‘non-volatile memories’ 

and by adding a Technical Note to 

define ‘non-volatile memories.’ 

Item paragraph a.2.c is corrected by 

adding a plus sign before 125 °C. 

The term ‘‘Mega Samples Per Second’’ 

is removed from subparagraphs a.5.a.3, 

a.5.a.4, and a.5.a.5 in Item paragraph 

a.5.a, leaving its acronym ‘‘MSPS’’ in all 

three places. Item paragraph a.5.a and 

the Technical Note below a.5.a are 

corrected by replacing the term ‘‘output 

rate’’ with the term ‘‘sample rate’’. The 

Technical Notes below Item paragraph 

a.5.a are corrected by adding an 

explanation for the resolution of the 

Analogue-to-Digital Convert (ADC), by 

removing the explanation for output 

rate, by replacing single quotes with 

double quotes around the terms 

‘‘interleaved ADCs’’ and ‘‘multiple 

channel ADCs’’, and by removing 

Technical Notes 5 through 9. 

Item paragraph a.5.b.2.a (settling time 

parameter) is corrected by adding 

‘‘arrive at or within’’ before the 

reference to 0.024%. 

The inclusion Note to 3A001.a.7 is 

corrected by removing the term ‘‘Simple 

Programmable Logic Devices (SPLDs)’’. 

Item paragraph a.14 is corrected by 

replacing ‘‘Integrated circuits that 

perform all of the following:’’ with 

‘‘Integrated circuits that perform or are 

programmable to perform all of the 

following:’’. Item paragraph a.14 is 

corrected by replacing the term ‘‘input 

sample rate’’ with the term ‘‘sample 

rate’’, which is defined in part 772. Item 

paragraph a.14 is also corrected by 

removing ‘‘Giga Samples Per Second’’ 

from subparagraphs a.14.a.2 and 

a.14.a.3, leaving the acronym ‘‘GSPS’’ in 

both places. Item paragraph a.14 is also 

corrected by removing ‘‘Mega Samples 

Per Second’’ from subparagraph 

a.14.a.5, leaving the acronym ‘‘MSPS’’. 

Four Technical Notes that further 

explain the parameters in Item 

paragraph a. are added below Item 

paragraph a.14.b.2. 

Nota Bene 3 is added after Item 

paragraph b.4.f to reference 3A001.b.7 

for converters and harmonic mixers. 

In Item paragraph b.11, double quotes 

are replaced with single quotes around 

the term ‘frequency synthesizer’, the 

‘‘or’’ is removed from the end of b.11.d, 

and a Technical Note below Item 

paragraph b.11.g is added defining 

‘frequency synthesizer’. 

Technical Note 5 after Item paragraph 

b.12.d is corrected by replacing the 

reference ‘‘3A001.b.4.12.c’’ with 

‘‘3A001.b.12.c’’. 

The parameters for ‘primary cells’ in 

Item paragraph e.1.a are corrected by 

cascading the parameters and by adding 

a ‘continuous power density’ parameter 

and the definition for it in Technical 

Note 5 below Item paragraph e.1.b. In 

Item paragraph e.1.b, ‘‘293 K’’ and 

extraneous parentheticals around 20 °C 

are removed. 

Item paragraph 3A001.f, which 

pertains to rotary input type absolute 

position encoders, is corrected by 

removing a single plus/minus sign in 

front of ‘‘1.0 second of arc’’. 

Paragraph 3A001.i, which pertains to 

intensity, amplitude, or phase electrooptic modulators, designed for analog 

signals (including electro-optic 

modulators having optical input and 

output connectors), is added. These 

items are eligible for License Exception 

Shipments to Country Group B 

countries (GBS); therefore, the GBS 

paragraph under ‘‘List Based License 

Exceptions’’ is accordingly corrected to 

reference Item paragraph .i. One 

parameter specified in Item paragraph .i, 

‘half-wave voltage’ (‘Vp’), is defined in 

a Technical Note added below the 

paragraph. 

3A002 General Purpose ‘‘Electronic 

Assemblies,’’ Modules and Equipment 

In Item paragraph c.1., the frequency 

parameter is corrected by replacing 

‘‘exceeding 10 MHz’’ with ‘‘exceeding 

40 MHz’’ for signal analyzers having a 

3 dB resolution bandwidth (RBW). 

Double quotes are replaced with 

single quotes for the term ‘real-time 

bandwidth’ in Item paragraph c.4.a and 

for the term ‘frequency mask trigger’ in 

Item paragraph c.4.b.2. The definitions 

for these terms are added to the 

Technical Notes after Item paragraph 

c.4.b.2. Two additional Technical Notes 

are added, for a total of four Technical 

Notes. 

Double quotes are added to the term 

‘‘sample rate’’ in Item paragraph h.1. 

The words ‘‘an input’’ are replaced with 

the word ‘‘a’’ in Item paragraph h.1. 

The scientific unit ‘‘billion samples 

per second’’ is replaced with ‘‘Giga 

Samples Per Second (GSPS)’’ in Item 

paragraph h.1.a. 

The scientific unit ‘‘billion samples 

per second’’ is replaced with the 

acronym ‘‘GSPS’’ in Item paragraphs 

h.1.b and h.1.c. 

The scientific unit ‘‘million samples 

per second’’ is replaced with ‘‘Mega 

Samples Per Second (MSPS)’’ in Item 

paragraph h.1.d. 

The scientific unit ‘‘million samples 

per second’’ is replaced with the 

Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 78685 

acronym ‘‘MSPS’’ in Item paragraph 

h.1.e. 

The Technical Note below Item 

paragraph h.2.c is replaced by four 

Technical Notes that explain resolution 

and ‘‘sample rate’’ for interleaved and 

non-interleaved multiple-channel 

‘‘electronic assemblies’’, modules, or 

equipment. 

3A991 Electronic Devices, and 

‘‘Components’’ 

Item paragraph j.2 is corrected by 

increasing the energy density from 300 

to 350 Wh/kg or less. 

5A002 ‘‘Information Security’’ 

Systems, Equipment, and 

‘‘Components’’ 

Paragraph (4)(a) of Related Controls is 

corrected by replacing the phrase ‘in 

excess of 56 bits of symmetric key 

length, or equivalent’ with ‘described 

security algorithm’. 

Item paragraph .a is corrected by 

replacing ‘‘usable without 

‘‘cryptographic activation’’ or has been 

activated’’ with ‘‘useable, has been 

activated, or can be activated by means 

of ‘‘cryptographic activation’’ not 

employing a secure mechanism’’. 

Item paragraph a.4 is corrected by 

removing ‘‘in excess of’’. 

Paragraph 2.a of the Technical Notes 

that follow Item paragraph a.4 is 

corrected by removing the word ‘‘or’’ at 

the end of the paragraph. 

Paragraph 2.b of the Technical Notes 

that follow Item paragraph a.4 is 

corrected by replacing ‘‘.’’ with ‘‘; or’’ at 

the end. 

7A005 ‘‘Satellite Navigation System’’ 

Receiving Equipment 

The reference to License Exception 

Civil End Users, which was removed 

from the EAR by 85 FR 23470 (April 28, 

2020), is deleted from the License 

Exception section of ECCN 7A005. 

9E003 ‘‘Specially Designed’’ 

Assemblies or ‘‘Components’’ for Aero 

Gas Turbine Engines 

ECCN 9E003 is corrected as follows: 

In Technical Note 2 below Item 

paragraph a.2 and in the Technical Note 

below Item paragraph a.5, the single 

quotes are replaced with double quotes 

around the term ‘‘steady state mode’’. In 

Technical Note 2 below a.5, the 

definition for ‘‘steady state mode’’, is 

removed. 

Technical Note 4 below the Note to 

9E003.c is corrected by replacing 

‘‘laser’’ with ‘‘ ‘‘laser’’ beam machining’’, 

replacing ‘‘water jet’’ with ‘‘water jet 

machining’’, and by replacing 

‘‘Electrical Discharge Machining (EDM) 

methods’’ with ‘‘Electrical Discharge 

Machining (EDM)’’. 

Export Control Reform Act of 2018 

On August 13, 2018, the President 

signed into law the John S. McCain 

National Defense Authorization Act for 

Fiscal Year 2019, which included the 

Export Control Reform Act of 2018 

(ECRA), 50 U.S.C. Sections 4801–4852. 

ECRA provides the legal basis for BIS’s 

principal authorities and serves as the 

authority under which BIS issues this 

rule. 

Rulemaking Requirements 

1. Executive Orders 13563 and 12866 

direct agencies to assess all costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, and distributed impacts, and 

taking into account equity issues). 

Executive Order 13563 emphasizes the 

importance of quantifying both costs 

and benefits, of reducing costs, of 

harmonizing rules, and of promoting 

flexibility. This final rule has been 

designated as a regulatory action that is 

not significant under section 3(f) of 

Executive Order 12866. This rule is not 

an Executive Order 13771 regulatory 

action because this rule is not 

significant under Executive Order 

12866. 

2. Notwithstanding any other 

provision of law, no person may be 

required to respond to or 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 regulation 

involves a collection currently approved 

by OMB under control number 0694– 

0088, Simplified Network Application 

Processing System. This collection 

includes, among other things, license 

applications, and carries a burden 

estimate of 42.5 minutes for a manual or 

electronic submission for a total burden 

estimate of 31,878 hours. BIS does not 

expect the burden hours associated with 

this collection to change as a result of 

these correcting amendments. 

3. This rule does not contain policies 

with federalism implications as that 

term is defined under Executive Order 

13132. 

Administrative Procedure Act and 

Regulatory Flexibility Act 

Requirements 

Pursuant to Section 4821 of ECRA, 

this action is exempt from the 

Administrative Procedure Act (5 U.S.C. 

553) requirements for notice of 

proposed rulemaking, opportunity for 

public participation and delay in 

effective date. Furthermore, no other 

law requires that a notice of proposed 

rulemaking and an opportunity for 

public comment be given for this final 

rule. Because a notice of proposed 

rulemaking and an opportunity for 

public comment are not required to be 

given for this rule under the 

Administrative Procedure Act or by any 

other law, the analytical requirements of 

the Regulatory Flexibility Act (5 U.S.C. 

601 et seq.) are not applicable. 

Accordingly, no regulatory flexibility 

analysis is required, and none has been 

prepared. 

List of Subjects in 15 CFR Part 774 

Exports, Reporting and recordkeeping 

requirements, Terrorism. 

Accordingly, part 774 of the Export 

Administration Regulations (15 CFR 

parts 730 through 774) is corrected by 

making the following correcting 

amendments: 

PART 774—[AMENDED] 

■ 1. The authority citation for 15 CFR 

part 774 continues to read as follows: 

Authority: 50 U.S.C. 4801–4852; 50 U.S.C. 

4601 et seq.; 50 U.S.C. 1701 et seq.; 10 U.S.C. 

8720; 10 U.S.C. 8730(e); 22 U.S.C. 287c, 22 

U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. 

2139a; 15 U.S.C. 1824; 50 U.S.C. 4305; 22 

U.S.C. 7201 et seq.; 22 U.S.C. 7210; E.O. 

13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 

228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 

Comp., p. 783. 

■ 2. In Supplement No. 1 to part 774: 

■ a. Revise ECCNs 3A001, 3A002, and 

3A991 under Category 3, section A; 

■ b. Revise ECCN 5A002 under Category 

5, Part 2, section A.I.; 

■ c. Revise ECCN 7A005 under Category 

7, section A; and 

■ d. Revise ECCN 9E003 under Category 

9, section E. 

The revisions read as follows: 

Supplement No. 1 to Part 774—The 

Commerce Control List 

* * * * * 

Category 3—Electronics 

A. ‘‘End Items’’, ‘‘Equipment’’, 

‘‘Accessories’’, ‘‘Attachments’’, ‘‘Parts’’, 

‘‘Components’’ and ‘‘Systems’’ 

* * * * * 

3A001 Electronic items as follows (see List 

of Items Controlled). 

Reason for Control: NS, RS, MT, NP, AT 

78686 Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 

Control(s) 

Country chart 

(See Supp. No. 1 to 

part 738) 

NS applies to ‘‘Monolithic Microwave 

Integrated Circuit’’ 

(‘‘MMIC’’) amplifiers 

in 3A001.b.2 and 

discrete microwave 

transistors in 

3A001.b.3, except 

those 3A001.b.2 

and b.3 items 

being exported or 

reexported for use 

in civil telecommunications 

applications.

NS Column 1 

NS applies to entire 

entry.

NS Column 2 

RS applies ‘‘Monolithic Microwave Integrated Circuit’’ 

(‘‘MMIC’’) amplifiers 

in 3A001.b.2 and 

discrete microwave 

transistors in 

3A001.b.3, except 

those 3A001.b.2 

and b.3 items 

being exported or 

reexported for use 

in civil telecommunications 

applications.

RS Column 1 

MT applies to 

3A001.a.1.a when 

usable in ‘‘missiles’’; and to 

3A001.a.5.a when 

‘‘designed or modified’’ for military 

use, hermetically 

sealed and rated 

for operation in the 

temperature range 

from below –54 °C 

to above +125 °C.

MT Column 1 

NP applies to pulse 

discharge capacitors in 3A001.e.2 

and superconducting solenoidal 

electromagnets in 

3A001.e.3 that 

meet or exceed the 

technical parameters in 3A201.a 

and 3A201.b, respectively.

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements: See § 743.1 of 

the EAR for reporting requirements for 

exports under 3A001.b.2 or b.3 under License 

Exceptions, and Validated End-User 

authorizations. 

License Requirements Note: See 

§ 744.17 of the EAR for additional license 

requirements for microprocessors having a 

processing speed of 5 GFLOPS or more and 

an arithmetic logic unit with an access width 

of 32 bit or more, including those 

incorporating ‘‘information security’’ 

functionality, and associated ‘‘software’’ and 

‘‘technology’’ for the ‘‘production’’ or 

‘‘development’’ of such microprocessors. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A for MT or NP; N/A for ‘‘Monolithic 

Microwave Integrated Circuit’’ (‘‘MMIC’’) 

amplifiers in 3A001.b.2 and discrete 

microwave transistors in 3A001.b.3, except 

those that are being exported or reexported 

for use in civil telecommunications 

applications. 

Yes for: 

$1500: 3A001.c 

$3000: 3A001.b.1, b.2 (exported or 

reexported for use in civil 

telecommunications applications), b.3 

(exported or reexported for use in civil 

telecommunications applications), b.9, .d, 

.e, .f, and .g. 

$5000: 3A001.a (except a.1.a and a.5.a when 

controlled for MT), .b.4 to b.7, and b.12. 

GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except 

.a.5.a when controlled for MT), b.2 

(exported or reexported for use in civil 

telecommunications applications), b.8 

(except for ‘‘vacuum electronic devices’’ 

exceeding 18 GHz), b.9., b.10, .g, and .h, 

and .i. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any item in 3A001.b.2 or b.3, 

except those that are being exported or 

reexported for use in civil 

telecommunications applications, to any of 

the destinations listed in Country Group 

A:5 or A:6 (See Supplement No.1 to part 

740 of the EAR). 

List of Items Controlled 

Related Controls: (1) See Category XV of the 

USML for certain ‘‘space-qualified’’ 

electronics and Category XI of the USML 

for certain ASICs, ‘transmit/receive 

modules,’ or ‘transmit modules’ ‘‘subject to 

the ITAR’’ (see 22 CFR parts 120 through 

130). (2) See also 3A101, 3A201, 3A611, 

3A991, and 9A515. 

Related Definitions: ‘Microcircuit’ means a 

device in which a number of passive or 

active elements are considered as 

indivisibly associated on or within a 

continuous structure to perform the 

function of a circuit. For the purposes of 

integrated circuits in 3A001.a.1, 5 × 103 Gy 

(Si) = 5 × 105 Rads (Si); 5 × 106 Gy (Si)/ 

s = 5 × 108 Rads (Si)/s. 

Items: 

a. General purpose integrated circuits, as 

follows: 

Note 1: Integrated circuits include the 

following types: 

— ‘‘Monolithic integrated circuits’’; 

— ‘‘Hybrid integrated circuits’’; 

— ‘‘Multichip integrated circuits’’; 

— ‘‘Film type integrated circuits, including 

silicon-on-sapphire integrated circuits’’; 

— ‘‘Optical integrated circuits’’; 

— ‘‘Three dimensional integrated circuits’’; 

— ‘‘Monolithic Microwave Integrated 

Circuits’’ (‘‘MMICs’’). 

a.1. Integrated circuits designed or rated as 

radiation hardened to withstand any of the 

following: 

a.1.a. A total dose of 5 × 103 Gy (Si), or 

higher; 

a.1.b. A dose rate upset of 5 × 106 Gy (Si)/ 

s, or higher; or 

a.1.c. A fluence (integrated flux) of 

neutrons (1 MeV equivalent) of 5 × 1013 n/ 

cm2 or higher on silicon, or its equivalent for 

other materials; 

Note: 3A001.a.1.c does not apply to Metal 

Insulator Semiconductors (MIS). 

a.2. ‘‘Microprocessor microcircuits,’’ 

‘‘microcomputer microcircuits,’’ 

microcontroller microcircuits, storage 

integrated circuits manufactured from a 

compound semiconductor, analog-to-digital 

converters, integrated circuits that contain 

analog-to-digital converters and store or 

process the digitized data, digital-to-analog 

converters, electro-optical or ‘‘optical 

integrated circuits’’ designed for ‘‘signal 

processing’’, field programmable logic 

devices, custom integrated circuits for which 

either the function is unknown or the control 

status of the equipment in which the 

integrated circuit will be used in unknown, 

Fast Fourier Transform (FFT) processors, 

Static Random-Access Memories (SRAMs), or 

‘non-volatile memories,’ having any of the 

following: 

Technical Note: ‘Non-volatile memories’ 

are memories with data retention over a 

period of time after a power shutdown. 

a.2.a. Rated for operation at an ambient 

temperature above 398 K (+125 °C); 

a.2.b. Rated for operation at an ambient 

temperature below 218 K (¥55 °C); or 

a.2.c. Rated for operation over the entire 

ambient temperature range from 218 K (¥55 

°C) to 398 K (+125 °C); 

Note: 3A001.a.2 does not apply to 

integrated circuits designed for civil 

automobile or railway train applications. 

a.3. ‘‘Microprocessor microcircuits’’, 

‘‘microcomputer microcircuits’’ and 

microcontroller microcircuits, manufactured 

from a compound semiconductor and 

operating at a clock frequency exceeding 40 

MHz; 

Note: 3A001.a.3 includes digital signal 

processors, digital array processors and 

digital coprocessors. 

a.4. [Reserved] 

a.5. Analog-to-Digital Converter (ADC) and 

Digital-to-Analog Converter (DAC) integrated 

circuits, as follows: 

a.5.a. ADCs having any of the following: 

a.5.a.1. A resolution of 8 bit or more, but 

less than 10 bit, with a ‘‘sample rate’’ greater 

than 1.3 Giga Samples Per Second (GSPS); 

a.5.a.2. A resolution of 10 bit or more, but 

less than 12 bit, with a ‘‘sample rate’’ greater 

than 600 Mega Samples Per Second (MSPS); 

a.5.a.3. A resolution of 12 bit or more, but 

less than 14 bit, with a ‘‘sample rate’’ greater 

than 400 MSPS; 

a.5.a.4. A resolution of 14 bit or more, but 

less than 16 bit, with a ‘‘sample rate’’ greater 

than 250 MSPS; or 

a.5.a.5. A resolution of 16 bit or more with 

a ‘‘sample rate’’ greater than 65 MSPS; 

N.B.: For integrated circuits that contain 

analog-to-digital converters and store or 

process the digitized data see 3A001.a.14. 

Technical Notes: 

1. A resolution of n bit corresponds to a 

quantization of 2n levels. 

Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 78687 

2. The resolution of the ADC is the number 

of bits of the digital output that represents 

the measured analog input. Effective Number 

of Bits (ENOB) is not used to determine the 

resolution of the ADC. 

3. For ‘‘multiple channel ADCs’’, the 

‘‘sample rate’’ is not aggregated and the 

‘‘sample rate’’ is the maximum rate of any 

single channel. 

4. For ‘‘interleaved ADCs’’ or for ‘‘multiple 

channel ADCs’’ that are specified to have an 

interleaved mode of operation, the ‘‘sample 

rates’’ are aggregated and the ‘‘sample rate’’ 

is the maximum combined total rate of all of 

the interleaved channels. 

a.5.b. Digital-to-Analog Converters (DAC) 

having any of the following: 

a.5.b.1. A resolution of 10-bit or more but 

less than 12-bit,with an ‘adjusted update rate’ 

of exceeding 3,500 MSPS; or 

a.5.b.2. A resolution of 12-bit or more and 

having any of the following: 

a.5.b.2.a. An ‘adjusted update rate’ 

exceeding 1,250 MSPS but not exceeding 

3,500 MSPS, and having any of the following: 

a.5.b.2.a.1. A settling time less than 9 ns to 

arrive at or within 0.024% of full scale from 

a full scale step; or 

a.5.b.2.a.2. A ‘Spurious Free Dynamic 

Range’ (SFDR) greater than 68 dBc (carrier) 

when synthesizing a full scale analog signal 

of 100 MHz or the highest full scale analog 

signal frequency specified below 100 MHz; or 

a.5.b.2.b. An ‘adjusted update rate’ 

exceeding 3,500 MSPS; 

Technical Notes: 

‘1. ‘Spurious Free Dynamic Range’ (SFDR) 

is defined as the ratio of the RMS value of 

the carrier frequency (maximum signal 

component) at the input of the DAC to the 

RMS value of the next largest noise or 

harmonic distortion component at its output. 

2. SFDR is determined directly from the 

specification table or from the 

characterization plots of SFDR versus 

frequency. 

3. A signal is defined to be full scale when 

its amplitude is greater than –3 dBfs (full 

scale). 

4. ‘Adjusted update rate’ for DACs is: 

a. For conventional (non-interpolating) 

DACs, the ‘adjusted update rate’ is the rate 

at which the digital signal is converted to an 

analog signal and the output analog values 

are changed by the DAC. For DACs where the 

interpolation mode may be bypassed 

(interpolation factor of one), the DAC should 

be considered as a conventional (noninterpolating) DAC. 

b. For interpolating DACs (oversampling 

DACs), the ‘adjusted update rate’ is defined 

as the DAC update rate divided by the 

smallest interpolating factor. For 

interpolating DACs, the ‘adjusted update 

rate’ may be referred to by different terms 

including: 

• input data rate 

• input word rate 

• input sample rate 

• maximum total input bus rate 

• maximum DAC clock rate for DAC clock 

input. 

a.6. Electro-optical and ‘‘optical integrated 

circuits’’, designed for ‘‘signal processing’’ 

and having all of the following: 

a.6.a. One or more than one internal 

‘‘laser’’ diode; 

a.6.b. One or more than one internal light 

detecting element; and 

a.6.c. Optical waveguides; 

a.7. ‘Field programmable logic devices’ 

having any of the following: 

a.7.a. A maximum number of single-ended 

digital input/outputs of greater than 700; or 

a.7.b. An ‘aggregate one-way peak serial 

transceiver data rate’ of 500 Gb/s or greater; 

Note: 3A001.a.7 includes: 

— Complex Programmable Logic Devices 

(CPLDs); 

— Field Programmable Gate Arrays (FPGAs); 

— Field Programmable Logic Arrays 

(FPLAs); 

— Field Programmable Interconnects 

(FPICs). 

N.B.: For integrated circuits having field 

programmable logic devices that are 

combined with an analog-to-digital converter, 

see 3A001.a.14. 

Technical Notes: 

1. Maximum number of digital input/ 

outputs in 3A001.a.7.a is also referred to as 

maximum user input/outputs or maximum 

available input/outputs, whether the 

integrated circuit is packaged or bare die. 

2. ‘Aggregate one-way peak serial 

transceiver data rate’ is the product of the 

peak serial one-way transceiver data rate 

times the number of transceivers on the 

FPGA. 

a.8. [Reserved] 

a.9. Neural network integrated circuits; 

a.10. Custom integrated circuits for which 

the function is unknown, or the control 

status of the equipment in which the 

integrated circuits will be used is unknown 

to the manufacturer, having any of the 

following: 

a.10.a. More than 1,500 terminals; 

a.10.b. A typical ‘‘basic gate propagation 

delay time’’ of less than 0.02 ns; or 

a.10.c. An operating frequency exceeding 3 

GHz; 

a.11. Digital integrated circuits, other than 

those described in 3A001.a.3 to 3A001.a.10 

and 3A001.a.12, based upon any compound 

semiconductor and having any of the 

following: 

a.11.a. An equivalent gate count of more 

than 3,000 (2 input gates); or 

a.11.b. A toggle frequency exceeding 1.2 

GHz; 

a.12. Fast Fourier Transform (FFT) 

processors having a rated execution time for 

an N-point complex FFT of less than (N log2

N)/20,480 ms, where N is the number of 

points; 

Technical Note: When N is equal to 1,024 

points, the formula in 3A001.a.12 gives an 

execution time of 500 ms. 

a.13. Direct Digital Synthesizer (DDS) 

integrated circuits having any of the 

following: 

a.13.a. A Digital-to-Analog Converter 

(DAC) clock frequency of 3.5 GHz or more 

and a DAC resolution of 10 bit or more, but 

less than 12 bit; or 

a.13.b. A DAC clock frequency of 1.25 GHz 

or more and a DAC resolution of 12 bit or 

more; 

Technical Note: The DAC clock 

frequency may be specified as the master 

clock frequency or the input clock frequency. 

a.14. Integrated circuits that perform or are 

programmable to perform all of the following: 

a.14.a. Analog-to-digital conversions 

meeting any of the following: 

a.14.a.1. A resolution of 8 bit or more, but 

less than 10 bit, with a ‘‘sample rate’’ greater 

than 1.3 Giga Samples Per Second (GSPS); 

a.14.a.2. A resolution of 10 bit or more, but 

less than 12 bit, with a ‘‘sample rate’’ greater 

than 1.0 GSPS; 

a.14.a.3. A resolution of 12 bit or more, but 

less than 14 bit, with a ‘‘sample rate’’ greater 

than 1.0 GSPS; 

A.14.a.4. A resolution of 14 bit or more, but 

less than 16 bit, with a ‘‘sample rate’’ greater 

than 400 Mega Samples Per Second (MSPS); 

or 

a.14.a.5. A resolution of 16 bit or more 

with a ‘‘sample rate’’ greater than 180 MSPS; 

and 

a.14.b. Any of the following: 

a.14.b.1. Storage of digitized data; or 

a.14.b.2. Processing of digitized data; 

N.B. 1: For analog-to-digital converter 

integrated circuits see 3A001.a.5.a. 

N.B. 2: For field programmable logic 

devices see 3A001.a.7. 

Technical Notes: 

1. A resolution of n bit corresponds to a 

quantization of 2n levels. 

2. The resolution of the ADC is the number 

of bits of the digital output of the ADC that 

represents the measured analog input. 

Effective Number of Bits (ENOB) is not used 

to determine the resolution of the ADC. 

3. For integrated circuits with noninterleaving ‘‘multiple channel ADCs’’, the 

‘‘sample rate’’ is not aggregated and the 

‘‘sample rate’’ is the maximum rate of any 

single channel. 

4. For integrated circuits with ‘‘interleaved 

ADCs’’ or with ‘‘multiple channel ADCs’’ that 

are specified to have an interleaved mode of 

operation, the ‘‘sample rates’’ are aggregated 

and the ‘‘sample rate’’ is the maximum 

combined total rate of all of the interleaved 

channels. 

b. Microwave or millimeter wave items, as 

follows: 

Technical Note: For purposes of 3A001.b, 

the parameter peak saturated power output 

may also be referred to on product data 

sheets as output power, saturated power 

output, maximum power output, peak power 

output, or peak envelope power output. 

b.1. ‘‘Vacuum electronic devices’’ and 

cathodes, as follows: 

Note 1: 3A001.b.1 does not control 

‘‘vacuum electronic devices’’ designed or 

rated for operation in any frequency band 

and having all of the following: 

a. Does not exceed 31.8 GHz; and 

b. Is ‘‘allocated by the ITU’’ for radiocommunications services, but not for radiodetermination. 

Note 2: 3A001.b.1 does not control non- 

‘‘space-qualified’’ ‘‘vacuum electronic 

devices’’ having all the following: 

a. An average output power equal to or less 

than 50 W; and 

b. Designed or rated for operation in any 

frequency band and having all of the 

following: 

1. Exceeds 31.8 GHz but does not exceed 

43.5 GHz; and 

2. Is ‘‘allocated by the ITU’’ for radiocommunications services, but not for radiodetermination. 

78688 Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 

b.1.a. Traveling-wave ‘‘vacuum electronic 

devices,’’ pulsed or continuous wave, as 

follows: 

b.1.a.1. Devices operating at frequencies 

exceeding 31.8 GHz; 

b.1.a.2. Devices having a cathode heater 

with a turn on time to rated RF power of less 

than 3 seconds; 

b.1.a.3. Coupled cavity devices, or 

derivatives thereof, with a ‘‘fractional 

bandwidth’’ of more than 7% or a peak 

power exceeding 2.5 kW; 

b.1.a.4. Devices based on helix, folded 

waveguide, or serpentine waveguide circuits, 

or derivatives thereof, having any of the 

following: 

b.1.a.4.a. An ‘‘instantaneous bandwidth’’ of 

more than one octave, and average power 

(expressed in kW) times frequency 

(expressed in GHz) of more than 0.5; 

b.1.a.4.b. An ‘‘instantaneous bandwidth’’ of 

one octave or less, and average power 

(expressed in kW) times frequency 

(expressed in GHz) of more than 1; 

b.1.a.4.c. Being ‘‘space-qualified’’; or 

b.1.a.4.d. Having a gridded electron gun; 

b.1.a.5. Devices with a ‘‘fractional 

bandwidth’’ greater than or equal to 10%, 

with any of the following: 

b.1.a.5.a. An annular electron beam; 

b.1.a.5.b. A non-axisymmetric electron 

beam; or 

b.1.a.5.c. Multiple electron beams; 

b.1.b. Crossed-field amplifier ‘‘vacuum 

electronic devices’’ with a gain of more than 

17 dB; 

b.1.c. Thermionic cathodes, designed for 

‘‘vacuum electronic devices,’’ producing an 

emission current density at rated operating 

conditions exceeding 5 A/cm2 or a pulsed 

(non-continuous) current density at rated 

operating conditions exceeding 10 A/cm2; 

b.1.d. ‘‘Vacuum electronic devices’’ with 

the capability to operate in a ‘dual mode.’ 

Technical Note: ‘Dual mode’ means the 

‘‘vacuum electronic device’’ beam current 

can be intentionally changed between 

continuous-wave and pulsed mode operation 

by use of a grid and produces a peak pulse 

output power greater than the continuouswave output power. 

b.2. ‘‘Monolithic Microwave Integrated 

Circuit’’ (‘‘MMIC’’) amplifiers that are any of 

the following: 

N.B.: For ‘‘MMIC’’ amplifiers that have an 

integrated phase shifter see 3A001.b.12. 

b.2.a. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 6.8 

GHz with a ‘‘fractional bandwidth’’ greater 

than 15%, and having any of the following: 

b.2.a.1. A peak saturated power output 

greater than 75 W (48.75 dBm) at any 

frequency exceeding 2.7 GHz up to and 

including 2.9 GHz; 

b.2.a.2. A peak saturated power output 

greater than 55 W (47.4 dBm) at any 

frequency exceeding 2.9 GHz up to and 

including 3.2 GHz; 

b.2.a.3. A peak saturated power output 

greater than 40 W (46 dBm) at any frequency 

exceeding 3.2 GHz up to and including 3.7 

GHz; or 

b.2.a.4. A peak saturated power output 

greater than 20 W (43 dBm) at any frequency 

exceeding 3.7 GHz up to and including 6.8 

GHz; 

b.2.b. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 16 

GHz with a ‘‘fractional bandwidth’’ greater 

than 10%, and having any of the following: 

b.2.b.1. A peak saturated power output 

greater than 10 W (40 dBm) at any frequency 

exceeding 6.8 GHz up to and including 8.5 

GHz; or 

b.2.b.2. A peak saturated power output 

greater than 5 W (37 dBm) at any frequency 

exceeding 8.5 GHz up to and including 16 

GHz; 

b.2.c. Rated for operation with a peak 

saturated power output greater than 3 W 

(34.77 dBm) at any frequency exceeding 16 

GHz up to and including 31.8 GHz, and with 

a ‘‘fractional bandwidth’’ of greater than 

10%; 

b.2.d. Rated for operation with a peak 

saturated power output greater than 0.1 nW 

(-70 dBm) at any frequency exceeding 31.8 

GHz up to and including 37 GHz; 

b.2.e. Rated for operation with a peak 

saturated power output greater than 1 W (30 

dBm) at any frequency exceeding 37 GHz up 

to and including 43.5 GHz, and with a 

‘‘fractional bandwidth’’ of greater than 10%; 

b.2.f. Rated for operation with a peak 

saturated power output greater than 31.62 

mW (15 dBm) at any frequency exceeding 

43.5 GHz up to and including 75 GHz, and 

with a ‘‘fractional bandwidth’’ of greater than 

10%; 

b.2.g. Rated for operation with a peak 

saturated power output greater than 10 mW 

(10 dBm) at any frequency exceeding 75 GHz 

up to and including 90 GHz, and with a 

‘‘fractional bandwidth’’ of greater than 5%; or 

b.2.h. Rated for operation with a peak 

saturated power output greater than 0.1 nW 

(-70 dBm) at any frequency exceeding 90 

GHz; 

Note 1: [Reserved] 

Note 2: The control status of the ‘‘MMIC’’ 

whose rated operating frequency includes 

frequencies listed in more than one frequency 

range, as defined by 3A001.b.2.a through 

3A001.b.2.h, is determined by the lowest 

peak saturated power output control 

threshold. 

Note 3: Notes 1 and 2 following the 

Category 3 heading for product group A. 

Systems, Equipment, and Components mean 

that 3A001.b.2 does not control ‘‘MMICs’’ if 

they are ‘‘specially designed’’ for other 

applications, e.g., telecommunications, 

radar, automobiles. 

b.3. Discrete microwave transistors that are 

any of the following: 

b.3.a. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 6.8 

GHz and having any of the following: 

b.3.a.1. A peak saturated power output 

greater than 400 W (56 dBm) at any 

frequency exceeding 2.7 GHz up to and 

including 2.9 GHz; 

b.3.a.2. A peak saturated power output 

greater than 205 W (53.12 dBm) at any 

frequency exceeding 2.9 GHz up to and 

including 3.2 GHz; 

b.3.a.3. A peak saturated power output 

greater than 115 W (50.61 dBm) at any 

frequency exceeding 3.2 GHz up to and 

including 3.7 GHz; or 

b.3.a.4. A peak saturated power output 

greater than 60 W (47.78 dBm) at any 

frequency exceeding 3.7 GHz up to and 

including 6.8 GHz; 

b.3.b. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 31.8 

GHz and having any of the following: 

b.3.b.1. A peak saturated power output 

greater than 50 W (47 dBm) at any frequency 

exceeding 6.8 GHz up to and including 8.5 

GHz; 

b.3.b.2. A peak saturated power output 

greater than 15 W (41.76 dBm) at any 

frequency exceeding 8.5 GHz up to and 

including 12 GHz; 

b.3.b.3. A peak saturated power output 

greater than 40 W (46 dBm) at any frequency 

exceeding 12 GHz up to and including 16 

GHz; or 

b.3.b.4. A peak saturated power output 

greater than 7 W (38.45 dBm) at any 

frequency exceeding 16 GHz up to and 

including 31.8 GHz; 

b.3.c. Rated for operation with a peak 

saturated power output greater than 0.5 W 

(27 dBm) at any frequency exceeding 31.8 

GHz up to and including 37 GHz; 

b.3.d. Rated for operation with a peak 

saturated power output greater than 1 W (30 

dBm) at any frequency exceeding 37 GHz up 

to and including 43.5 GHz; 

b.3.e. Rated for operation with a peak 

saturated power output greater than 0.1 nW 

(-70 dBm) at any frequency exceeding 43.5 

GHz; or 

b.3.f. Other than those specified by 

3A001.b.3.a to 3A001.b.3.e and rated for 

operation with a peak saturated power output 

greater than 5 W (37.0 dBm) at all frequencies 

exceeding 8.5 GHz up to and including 31.8 

GHz; 

Note 1: The control status of a transistor 

in 3A001.b.3.a through 3A001.b.3.e, whose 

rated operating frequency includes 

frequencies listed in more than one frequency 

range, as defined by 3A001.b.3.a through 

3A001.b.3.e, is determined by the lowest 

peak saturated power output control 

threshold. 

Note 2: 3A001.b.3 includes bare dice, dice 

mounted on carriers, or dice mounted in 

packages. Some discrete transistors may also 

be referred to as power amplifiers, but the 

status of these discrete transistors is 

determined by 3A001.b.3. 

b.4. Microwave solid state amplifiers and 

microwave assemblies/modules containing 

microwave solid state amplifiers, that are any 

of the following: 

b.4.a. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 6.8 

GHz with a ‘‘fractional bandwidth’’ greater 

than 15%, and having any of the following: 

b.4.a.1. A peak saturated power output 

greater than 500 W (57 dBm) at any 

frequency exceeding 2.7 GHz up to and 

including 2.9 GHz; 

b.4.a.2. A peak saturated power output 

greater than 270 W (54.3 dBm) at any 

frequency exceeding 2.9 GHz up to and 

including 3.2 GHz; 

b.4.a.3. A peak saturated power output 

greater than 200 W (53 dBm) at any 

frequency exceeding 3.2 GHz up to and 

including 3.7 GHz; or 

b.4.a.4. A peak saturated power output 

greater than 90 W (49.54 dBm) at any 

frequency exceeding 3.7 GHz up to and 

including 6.8 GHz; 

Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 78689 

b.4.b. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 31.8 

GHz with a ‘‘fractional bandwidth’’ greater 

than 10%, and having any of the following: 

b.4.b.1. A peak saturated power output 

greater than 70 W (48.54 dBm) at any 

frequency exceeding 6.8 GHz up to and 

including 8.5 GHz; 

b.4.b.2. A peak saturated power output 

greater than 50 W (47 dBm) at any frequency 

exceeding 8.5 GHz up to and including 12 

GHz; 

b.4.b.3. A peak saturated power output 

greater than 30 W (44.77 dBm) at any 

frequency exceeding 12 GHz up to and 

including 16 GHz; or 

b.4.b.4. A peak saturated power output 

greater than 20 W (43 dBm) at any frequency 

exceeding 16 GHz up to and including 31.8 

GHz; 

b.4.c. Rated for operation with a peak 

saturated power output greater than 0.5 W 

(27 dBm) at any frequency exceeding 31.8 

GHz up to and including 37 GHz; 

b.4.d. Rated for operation with a peak 

saturated power output greater than 2 W (33 

dBm) at any frequency exceeding 37 GHz up 

to and including 43.5 GHz, and with a 

‘‘fractional bandwidth’’ of greater than 10%; 

b.4.e. Rated for operation at frequencies 

exceeding 43.5 GHz and having any of the 

following: 

b.4.e.1. A peak saturated power output 

greater than 0.2 W (23 dBm) at any frequency 

exceeding 43.5 GHz up to and including 75 

GHz, and with a ‘‘fractional bandwidth’’ of 

greater than 10%; 

b.4.e.2. A peak saturated power output 

greater than 20 mW (13 dBm) at any 

frequency exceeding 75 GHz up to and 

including 90 GHz, and with a ‘‘fractional 

bandwidth’’ of greater than 5%; or 

b.4.e.3. A peak saturated power output 

greater than 0.1 nW (-70 dBm) at any 

frequency exceeding 90 GHz; or 

b.4.f. [Reserved] 

N.B.: 

1. For ‘‘MMIC’’ amplifiers see 3A001.b.2. 

2. For ‘transmit/receive modules’ and 

‘transmit modules’ see 3A001.b.12. 

3. For converters and harmonic mixers, 

designed to extend the operating or 

frequency range of signal analyzers, signal 

generators, network analyzers or microwave 

test receivers, see 3A001.b.7. 

Note 1: [Reserved] 

Note 2: The control status of an item 

whose rated operating frequency includes 

frequencies listed in more than one frequency 

range, as defined by 3A001.b.4.a through 

3A001.b.4.e, is determined by the lowest 

peak saturated power output control 

threshold. 

b.5. Electronically or magnetically tunable 

band-pass or band-stop filters, having more 

than 5 tunable resonators capable of tuning 

across a 1.5:1 frequency band (fmax/fmin) in 

less than 10 ms and having any of the 

following: 

b.5.a. A band-pass bandwidth of more than 

0.5% of center frequency; or 

b.5.b. A band-stop bandwidth of less than 

0.5% of center frequency; 

b.6. [Reserved] 

b.7. Converters and harmonic mixers, that 

are any of the following: 

b.7.a. Designed to extend the frequency 

range of ‘‘signal analyzers’’ beyond 90 GHz; 

b.7.b. Designed to extend the operating 

range of signal generators as follows: 

b.7.b.1. Beyond 90 GHz; 

b.7.b.2. To an output power greater than 

100 mW (20 dBm) anywhere within the 

frequency range exceeding 43.5 GHz but not 

exceeding 90 GHz; 

b.7.c. Designed to extend the operating 

range of network analyzers as follows: 

b.7.c.1. Beyond 110 GHz; 

b.7.c.2. To an output power greater than 

31.62 mW (15 dBm) anywhere within the 

frequency range exceeding 43.5 GHz but not 

exceeding 90 GHz; 

b.7.c.3. To an output power greater than 1 

mW (0 dBm) anywhere within the frequency 

range exceeding 90 GHz but not exceeding 

110 GHz; or 

b.7.d. Designed to extend the frequency 

range of microwave test receivers beyond 110 

GHz; 

b.8. Microwave power amplifiers 

containing ‘‘vacuum electronic devices’’ 

controlled by 3A001.b.1 and having all of the 

following: 

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

b.8.b. An average output power to mass 

ratio exceeding 80 W/kg; and 

b.8.c. A volume of less than 400 cm3; 

Note: 3A001.b.8 does not control 

equipment designed or rated for operation in 

any frequency band which is ‘‘allocated by 

the ITU’’ for radio-communications services, 

but not for radio-determination. 

b.9. Microwave Power Modules (MPM) 

consisting of, at least, a traveling-wave 

‘‘vacuum electronic device,’’ a ‘‘Monolithic 

Microwave Integrated Circuit’’ (‘‘MMIC’’) and 

an integrated electronic power conditioner 

and having all of the following: 

b.9.a. A ‘turn-on time’ from off to fully 

operational in less than 10 seconds; 

b.9.b. A volume less than the maximum 

rated power in Watts multiplied by 10 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 × 10 cm3/W = 200 cm3. 

2. The ‘turn-on time’ in 3A001.b.9.a refers 

to the time from fully-off to fully operational, 

i.e., it includes the warm-up time of the 

MPM. 

b.10. Oscillators or oscillator assemblies, 

specified to operate with a single sideband 

(SSB) phase noise, in dBc/Hz, less (better) 

than -(126 + 20log10F¥20log10f) anywhere 

within the range of 10 Hz ≤ F ≤ 10 kHz; 

Technical Note: In 3A001.b.10, F is the 

offset from the operating frequency in Hz and 

f is the operating frequency in MHz. 

b.11. ‘Frequency synthesizer’ ‘‘electronic 

assemblies’’ having a ‘‘frequency switching 

time’’ as specified by any of the following: 

b.11.a. Less than 143 ps; 

b.11.b. Less than 100 ms for any frequency 

change exceeding 2.2 GHz within the 

synthesized frequency range exceeding 4.8 

GHz but not exceeding 31.8 GHz; 

b.11.c. [Reserved] 

b.11.d. Less than 500 ms for any frequency 

change exceeding 550 MHz within the 

synthesized frequency range exceeding 31.8 

GHz but not exceeding 37 GHz; 

b.11.e. Less than 100 ms for any frequency 

change exceeding 2.2 GHz within the 

synthesized frequency range exceeding 37 

GHz but not exceeding 90 GHz; or 

b.11.f. [Reserved] 

b.11.g. Less than 1 ms within the 

synthesized frequency range exceeding 90 

GHz; 

Technical Note: A ‘frequency synthesizer’ 

is any kind of frequency source, regardless of 

the actual technique used, providing a 

multiplicity of simultaneous or alternative 

output frequencies, from one or more 

outputs, controlled by, derived from or 

disciplined by a lesser number of standard 

(or master) frequencies. 

N.B.: For general purpose ‘‘signal 

analyzers’’, signal generators, network 

analyzers and microwave test receivers, see 

3A002.c, 3A002.d, 3A002.e and 3A002.f, 

respectively. 

b.12. ‘Transmit/receive modules,’ 

‘transmit/receive MMICs,’ ‘transmit 

modules,’ and ‘transmit MMICs,’ rated for 

operation at frequencies above 2.7 GHz and 

having all of the following: 

b.12.a. A peak saturated power output (in 

watts), Psat, greater than 505.62 divided by 

the maximum operating frequency (in GHz) 

squared [Psat>505.62 W*GHz2/fGHz2] for any 

channel; 

b.12.b. A ‘‘fractional bandwidth’’ of 5% or 

greater for any channel; 

b.12.c. Any planar side with length d (in 

cm) equal to or less than 15 divided by the 

lowest operating frequency in GHz [d ≤ 

15cm*GHz*N/fGHz] where N is the number of 

transmit or transmit/receive channels; and 

b.12.d. An electronically variable phase 

shifter per channel. 

Technical Notes: 

1. A ‘transmit/receive module’ is a 

multifunction ‘‘electronic assembly’’ that 

provides bi-directional amplitude and phase 

control for transmission and reception of 

signals. 

2. A ‘transmit module’ is an ‘‘electronic 

assembly’’ that provides amplitude and 

phase control for transmission of signals. 

3. A ‘transmit/receive MMIC’ is a 

multifunction ‘‘MMIC’’ that provides bidirectional amplitude and phase control for 

transmission and reception of signals. 

4. A ‘transmit MMIC’ is a ‘‘MMIC’’ that 

provides amplitude and phase control for 

transmission of signals. 

5. 2.7 GHz should be used as the lowest 

operating frequency (fGHz) in the formula in 

3A001.b.12.c for transmit/receive or transmit 

modules that have a rated operation range 

extending downward to 2.7 GHz and below 

[d≤15cm*GHz*N/2.7 GHz]. 

6. 3A001.b.12 applies to ‘transmit/receive 

modules’ or ‘transmit modules’ with or 

without a heat sink. The value of d in 

3A001.b.12.c does not include any portion of 

the ‘transmit/receive module’ or ‘transmit 

module’ that functions as a heat sink. 

7. ‘Transmit/receive modules’ or ‘transmit 

modules,’ ‘transmit/receive MMICs’ or 

78690 Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 

‘transmit MMICs’ may or may not have N 

integrated radiating antenna elements where 

N is the number of transmit or transmit/ 

receive channels. 

c. Acoustic wave devices as follows and 

‘‘specially designed’’ ‘‘components’’ therefor: 

c.1. Surface acoustic wave and surface 

skimming (shallow bulk) acoustic wave 

devices, having any of the following: 

c.1.a. A carrier frequency exceeding 6 GHz; 

c.1.b. A carrier frequency exceeding 1 GHz, 

but not exceeding 6 GHz and having any of 

the following: 

c.1.b.1. A ‘frequency side-lobe rejection’ 

exceeding 65 dB; 

c.1.b.2. A product of the maximum delay 

time and the bandwidth (time in ms 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 

ms; 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 ms and 

bandwidth in MHz) of more than 100; 

c.1.c.2. A dispersive delay of more than 10 

ms; or 

c.1.c.3. A ‘frequency side-lobe rejection’ 

exceeding 65 dB and a bandwidth greater 

than 100 MHz; 

Technical Note: ‘Frequency side-lobe 

rejection’ is the maximum rejection value 

specified in data sheet. 

c.2. Bulk (volume) acoustic wave devices 

that permit the direct processing of signals at 

frequencies exceeding 6 GHz; 

c.3. Acoustic-optic ‘‘signal processing’’ 

devices employing interaction between 

acoustic waves (bulk wave or surface wave) 

and light waves that permit the direct 

processing of signals or images, including 

spectral analysis, correlation or convolution; 

Note: 3A001.c does not control acoustic 

wave devices that are limited to a single band 

pass, low pass, high pass or notch filtering, 

or resonating function. 

d. Electronic devices and circuits 

containing ‘‘components,’’ manufactured 

from ‘‘superconductive’’ materials, ‘‘specially 

designed’’ for operation at temperatures 

below the ‘‘critical temperature’’ of at least 

one of the ‘‘superconductive’’ constituents 

and having any of the following: 

d.1. Current switching for digital circuits 

using ‘‘superconductive’’ gates with a 

product of delay time per gate (in seconds) 

and power dissipation per gate (in watts) of 

less than 10¥14 J; or 

d.2. Frequency selection at all frequencies 

using resonant circuits with Q-values 

exceeding 10,000; 

e. High energy devices as follows: 

e.1. ‘Cells’ as follows: 

e.1.a ‘Primary cells’ having any of the 

following at 20 °C: 

e.1.a.1. ‘Energy density’ exceeding 550 Wh/ 

kg and a ‘continuous power density’ 

exceeding 50 W/kg; or 

e.1.a.2. ‘Energy density’ exceeding 50 Wh/ 

kg and a ‘continuous power density’ 

exceeding 350 W/kg; 

e.1.b. ‘Secondary cells’ having an ‘energy 

density’ exceeding 350 Wh/kg at 20 °C; 

Technical Notes: 

1. For the purpose of 3A001.e.1, ‘energy 

density’ (Wh/kg) is calculated from the 

nominal voltage multiplied by the nominal 

capacity in ampere-hours (Ah) divided by the 

mass in kilograms. If the nominal capacity is 

not stated, energy density is calculated from 

the nominal voltage squared then multiplied 

by the discharge duration in hours divided by 

the discharge load in Ohms and the mass in 

kilograms. 

2. For the purpose of 3A001.e.1, a ‘cell’ is 

defined as an electrochemical device, which 

has positive and negative electrodes, an 

electrolyte, and is a source of electrical 

energy. It is the basic building block of a 

battery. 

3. For the purpose of 3A001.e.1.a, a 

‘primary cell’ is a ‘cell’ that is not designed 

to be charged by any other source. 

4. For the purpose of 3A001.e.1.b, a 

‘secondary cell’ is a ‘cell’ that is designed to 

be charged by an external electrical source. 

5. For the purpose of 3A001.e.1.a, 

‘continuous power density’ (W/kg) is 

calculated from the nominal voltage 

multiplied by the specified maximum 

continuous discharge current in ampere (A) 

divided by the mass in kilograms. 

‘Continuous power density’ is also referred to 

as specific power. 

Note: 3A001.e does not control batteries, 

including single-cell batteries. 

e.2. High energy storage capacitors as 

follows: 

e.2.a. Capacitors with a repetition rate of 

less than 10 Hz (single shot capacitors) and 

having all of the following: 

e.2.a.1. A voltage rating equal to or more 

than 5 kV; 

e.2.a.2. An energy density equal to or more 

than 250 J/kg; and 

e.2.a.3. A total energy equal to or more 

than 25 kJ; 

e.2.b. Capacitors with a repetition rate of 

10 Hz or more (repetition rated capacitors) 

and having all of the following: 

e.2.b.1. A voltage rating equal to or more 

than 5 kV; 

e.2.b.2. An energy density equal to or more 

than 50 J/kg; 

e.2.b.3. A total energy equal to or more 

than 100 J; and 

e.2.b.4. A charge/discharge cycle life equal 

to or more than 10,000; 

e.3. ‘‘Superconductive’’ electromagnets and 

solenoids, ‘‘specially designed’’ to be fully 

charged or discharged in less than one 

second and having all of the following: 

Note: 3A001.e.3 does not control 

‘‘superconductive’’ electromagnets or 

solenoids ‘‘specially designed’’ for Magnetic 

Resonance Imaging (MRI) medical 

equipment. 

e.3.a. Energy delivered during the 

discharge exceeding 10 kJ in the first second; 

e.3.b. Inner diameter of the current 

carrying windings of more than 250 mm; and 

e.3.c. Rated for a magnetic induction of 

more than 8 T or ‘‘overall current density’’ 

in the winding of more than 300 A/mm2; 

e.4. Solar cells, cell-interconnectcoverglass (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 °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 absolute position 

encoders having an ‘‘accuracy’’ equal to or 

less (better) than 1.0 second of arc and 

‘‘specially designed’’ encoder rings, discs or 

scales therefor; 

g. Solid-state pulsed power switching 

thyristor devices and ‘thyristor modules’, 

using either electrically, optically, or electron 

radiation controlled switch methods and 

having any of the following: 

g.1. A maximum turn-on current rate of 

rise (di/dt) greater than 30,000 A/ms and offstate voltage greater than 1,100 V; or 

g.2. A maximum turn-on current rate of 

rise (di/dt) greater than 2,000 A/ms 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. 

Technical Note: For the purposes of 

3A001.g, a ‘thyristor module’ contains one or 

more thyristor devices. 

h. Solid-state power semiconductor 

switches, diodes, or ‘modules’, having all of 

the following: 

h.1. Rated for a maximum operating 

junction temperature greater than 488 K (215 

°C); 

h.2. Repetitive peak off-state voltage 

(blocking voltage) exceeding 300 V; and 

h.3. Continuous current greater than 1 A. 

Technical Note: For the purposes of 

3A001.h, ‘modules’ contain one or more 

solid-state power semiconductor switches or 

diodes. 

Note 1: Repetitive peak off-state voltage in 

3A001.h includes drain to source voltage, 

collector to emitter voltage, repetitive peak 

reverse voltage and peak repetitive off-state 

blocking voltage. 

Note 2: 3A001.h includes: 

—Junction Field Effect Transistors (JFETs) 

—Vertical Junction Field Effect Transistors 

(VJFETs) 

—Metal Oxide Semiconductor Field Effect 

Transistors (MOSFETs) 

—Double Diffused Metal Oxide 

Semiconductor Field Effect Transistor 

(DMOSFET) 

—Insulated Gate Bipolar Transistor (IGBT) 

—High Electron Mobility Transistors 

(HEMTs) 

—Bipolar Junction Transistors (BJTs) 

—Thyristors and Silicon Controlled Rectifiers 

(SCRs) 

Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 78691 

—Gate Turn-Off Thyristors (GTOs) 

—Emitter Turn-Off Thyristors (ETOs) 

—PiN Diodes 

—Schottky Diodes 

Note 3: 3A001.h does not apply to 

switches, diodes, or ‘modules’, incorporated 

into equipment designed for civil automobile, 

civil railway, or ‘‘civil aircraft’’ applications. 

i. Intensity, amplitude, or phase electrooptic modulators, designed for analog signals 

and having any of the following: 

i.1. A maximum operating frequency of 

more than 10 GHz but less than 20 GHz, an 

optical insertion loss equal to or less than 3 

dB and having any of the following: 

i.1.a. A ‘half-wave voltage’ (‘Vp’) less than 

2.7 V when measured at a frequency of 1 GHz 

or below; or 

i.1.b. A ‘Vp’ of less than 4 V when 

measured at a frequency of more than 1 GHz; 

or 

i.2. A maximum operating frequency equal 

to or greater than 20 GHz, an optical insertion 

loss equal to or less than 3 dB and having 

any of the following: 

i.2.a. A ‘Vp’ less than 3.3 V when measured 

at a frequency of 1 GHz or below; or 

i.2.b. A ‘Vp’ less than 5 V when measured 

at a frequency of more than 1 GHz. 

Note: 3A001.i includes electro-optic 

modulators having optical input and output 

connectors (e.g., fiber-optic pigtails). 

Technical Note: For the purposes of 

3A001.i, a ‘half-wave voltage’ (‘Vp’) is the 

applied voltage necessary to make a phase 

change of 180 degrees in the wavelength of 

light propagating through the optical 

modulator. 

3A002 General purpose ‘‘electronic 

assemblies,’’ modules and equipment, as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart (see 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to 

3A002.h when the 

parameters in 

3A101.a.2.b are 

met or exceeded.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions, and 

Validated End-User authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $3000: 3A002.a, .e, .f, and .g 

$5000: 3A002.c to .d, and .h (unless 

controlled for MT); 

GBS: Yes, for 3A002.h (unless controlled for 

MT) 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any item in 3A002.g.1 to any 

of the destinations listed in Country Group 

A:6 (See Supplement No.1 to part 740 of 

the EAR). 

List of Items Controlled 

Related Controls: See Category XV(e)(9) of 

the USML for certain ‘‘space-qualified’’ 

atomic frequency standards ‘‘subject to the 

ITAR’’ (see 22 CFR parts 120 through 130). 

See also 3A101, 3A992 and 9A515.x. 

Related Definitions: Constant percentage 

bandwidth filters are also known as octave 

or fractional octave filters. 

Items: 

a. Recording equipment and oscilloscopes, 

as follows: 

a.1. to a.5. [Reserved] 

N.B.: For waveform digitizers and transient 

recorders, see 3A002.h. 

a.6. Digital data recorders having all of the 

following: 

a.6.a. A sustained ‘continuous throughput’ 

of more than 6.4 Gbit/s to disk or solid-state 

drive memory; and 

a.6.b. ‘‘Signal processing’’ of the radio 

frequency signal data while it is being 

recorded; 

Technical Notes: 

1. For recorders with a parallel bus 

architecture, the ‘continuous throughput’ 

rate is the highest word rate multiplied by the 

number of bits in a word. 

2. ‘Continuous throughput’ is the fastest 

data rate the instrument can record to disk 

or solid-state drive memory without the loss 

of any information while sustaining the input 

digital data rate or digitizer conversion rate. 

a.7. Real-time oscilloscopes having a 

vertical root-mean-square (rms) noise voltage 

of less than 2% of full-scale at the vertical 

scale setting that provides the lowest noise 

value for any input 3dB bandwidth of 60 GHz 

or greater per channel; 

Note: 3A002.a.7 does not apply to 

equivalent-time sampling oscilloscopes. 

b. [Reserved] 

c. ‘‘Signal analyzers’’ as follows: 

c.1. ‘‘Signal analyzers’’ having a 3 dB 

resolution bandwidth (RBW) exceeding 40 

MHz anywhere within the frequency range 

exceeding 31.8 GHz but not exceeding 37 

GHz; 

c.2. ‘‘Signal analyzers’’ having Displayed 

Average Noise Level (DANL) less (better) 

than ¥150 dBm/Hz anywhere within the 

frequency range exceeding 43.5 GHz but not 

exceeding 90 GHz; 

c.3. ‘‘Signal analyzers’’ having a frequency 

exceeding 90 GHz; 

c.4. ‘‘Signal analyzers’’ having all of the 

following: 

c.4.a. ‘Real-time bandwidth’ exceeding 170 

MHz; and 

c.4.b. Having any of the following: 

c.4.b.1. 100% probability of discovery, 

with less than a 3 dB reduction from full 

amplitude due to gaps or windowing effects, 

of signals having a duration of 15 ms or less; 

or 

c.4.b.2. A ‘frequency mask trigger’ 

function, with 100% probability of trigger 

(capture) for signals having a duration of 15 

ms or less; 

Technical Notes: 

1. ‘Real-time bandwidth’ is the widest 

frequency range for which the analyzer can 

continuously transform time-domain data 

entirely into frequency-domain results, using 

a Fourier or other discrete time transform 

that processes every incoming time point, 

without a reduction of measured amplitude 

of more than 3 dB below the actual signal 

amplitude caused by gaps or windowing 

effects, while outputting or displaying the 

transformed data. 

2. Probability of discovery in 3A002.c.4.b.1 

is also referred to as probability of intercept 

or probability of capture. 

3. For the purposes of 3A002.c.4.b.1, the 

duration for 100% probability of discovery is 

equivalent to the minimum signal duration 

necessary for the specified level 

measurement uncertainty. 

4. A ‘frequency mask trigger’ is a 

mechanism where the trigger function is able 

to select a frequency range to be triggered on 

as a subset of the acquisition bandwidth 

while ignoring other signals that may also be 

present within the same acquisition 

bandwidth. A ‘frequency mask trigger’ may 

contain more than one independent set of 

limits. 

Note: 3A002.c.4 does not apply to those 

‘‘signal analyzers’’ using only constant 

percentage bandwidth filters (also known as 

octave or fractional octave filters). 

c.5. [Reserved] 

d. Signal generators having any of the 

following: 

d.1. Specified to generate pulse-modulated 

signals having all of the following, anywhere 

within the frequency range exceeding 31.8 

GHz but not exceeding 37 GHz: 

d.1.a. ‘Pulse duration’ of less than 25 ns; 

and 

d.1.b. On/off ratio equal to or exceeding 65 

dB; 

d.2. An output power exceeding 100 mW 

(20 dBm) anywhere within the frequency 

range exceeding 43.5 GHz but not exceeding 

90 GHz; 

d.3. A ‘‘frequency switching time’’ as 

specified by any of the following: 

d.3.a. [Reserved] 

d.3.b. Less than 100 ms for any frequency 

change exceeding 2.2 GHz within the 

frequency range exceeding 4.8 GHz but not 

exceeding 31.8 GHz; 

d.3.c. [Reserved] 

d.3.d. Less than 500 ms for any frequency 

change exceeding 550 MHz within the 

frequency range exceeding 31.8 GHz but not 

exceeding 37 GHz; or 

d.3.e. Less than 100 ms for any frequency 

change exceeding 2.2 GHz within the 

frequency range exceeding 37 GHz but not 

exceeding 90 GHz; 

d.3.f. [Reserved] 

d.4. Single sideband (SSB) phase noise, in 

dBc/Hz, specified as being any of the 

following: 

d.4.a. Less (better) than ¥(126 + 20 log10

F¥20log10f) for anywhere within the range of 

10 Hz ≤ F ≤ 10 kHz anywhere within the 

frequency range exceeding 3.2 GHz but not 

exceeding 90 GHz; or 

d.4.b. Less (better) than ¥(206¥20log10f) 

for anywhere within the range of 10 kHz < 

F ≤ 100 kHz anywhere within the frequency 

range exceeding 3.2 GHz but not exceeding 

90 GHz; 

Technical Note: In 3A002.d.4, F is the 

offset from the operating frequency in Hz and 

f is the operating frequency in MHz. 

d.5. An ‘RF modulation bandwidth’ of 

digital baseband signals as specified by any 

of the following: 

78692 Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 

d.5.a. Exceeding 2.2 GHz within the 

frequency range exceeding 4.8 GHz but not 

exceeding 31.8 GHz; 

d.5.b. Exceeding 550 MHz within the 

frequency range exceeding 31.8 GHz but not 

exceeding 37 GHz; or 

d.5.c. Exceeding 2.2 GHz within the 

frequency range exceeding 37 GHz but not 

exceeding 90 GHz; or 

Technical Note: ‘RF modulation 

bandwidth’ is the Radio Frequency (RF) 

bandwidth occupied by a digitally encoded 

baseband signal modulated onto an RF 

signal. It is also referred to as information 

bandwidth or vector modulation bandwidth. 

I/Q digital modulation is the technical 

method for producing a vector-modulated RF 

output signal, and that output signal is 

typically specified as having an ‘RF 

modulation bandwidth’. 

d.6. A maximum frequency exceeding 90 

GHz; 

Note 1: For the purpose of 3A002.d, signal 

generators include arbitrary waveform and 

function generators. 

Note 2: 3A002.d does not control 

equipment in which the output frequency is 

either produced by the addition or 

subtraction of two or more crystal oscillator 

frequencies, or by an addition or subtraction 

followed by a multiplication of the result. 

Technical Notes: 

1. The maximum frequency of an arbitrary 

waveform or function generator is calculated 

by dividing the sample rate, in samples/ 

second, by a factor of 2.5. 

2. For the purposes of 3A002.d.1.a, ‘pulse 

duration’ is defined as the time interval from 

the point on the leading edge that is 50% of 

the pulse amplitude to the point on the 

trailing edge that is 50% of the pulse 

amplitude. 

e. Network analyzers having any of the 

following: 

e.1. An output power exceeding 31.62 mW 

(15 dBm) anywhere within the operating 

frequency range exceeding 43.5 GHz but not 

exceeding 90 GHz; 

e.2. An output power exceeding 1 mW (0 

dBm) anywhere within the operating 

frequency range exceeding 90 GHz but not 

exceeding 110 GHz; 

e.3. ‘Nonlinear vector measurement 

functionality’ at frequencies exceeding 50 

GHz but not exceeding 110 GHz; or 

Technical Note: ‘Nonlinear vector 

measurement functionality’ is an 

instrument’s ability to analyze the test results 

of devices driven into the large-signal domain 

or the non-linear distortion range. 

e.4. A maximum operating frequency 

exceeding 110 GHz; 

f. Microwave test receivers having all of the 

following: 

f.1. Maximum operating frequency 

exceeding 110 GHz; and 

f.2. Being capable of measuring amplitude 

and phase simultaneously; 

g. Atomic frequency standards being any of 

the following: 

g.1. ‘‘Space-qualified’’; 

g.2. Non-rubidium and having a long-term 

stability less (better) than 1 × 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 × 10¥11/month; and 

g.3.c. Total power consumption of less 

than 1 Watt. 

h. ‘‘Electronic assemblies,’’ modules or 

equipment, specified to perform all of the 

following: 

h.1. Analog-to-digital conversions meeting 

any of the following: 

h.1.a. A resolution of 8 bit or more, but less 

than 10 bit, with a ‘‘sample rate’’ greater than 

1.3 Giga Samples Per Second (GSPS); 

h.1.b. A resolution of 10 bit or more, but 

less than 12 bit, with a ‘‘sample rate’’ greater 

than 1.0 GSPS; 

h.1.c. A resolution of 12 bit or more, but 

less than 14 bit, with a ‘‘sample rate’’ greater 

than 1.0 GSPS; 

h.1.d. A resolution of 14 bit or more but 

less than 16 bit, with a ‘‘sample rate’’ greater 

than 400 Mega Samples Per Second (MSPS); 

or 

h.1.e. A resolution of 16 bit or more with 

a ‘‘sample rate’’ greater than 180 MSPS; and 

h.2. Any of the following: 

h.2.a. Output of digitized data; 

h.2.b. Storage of digitized data; or 

h.2.c. Processing of digitized data; 

N.B.: Digital data recorders, oscilloscopes, 

‘‘signal analyzers,’’ signal generators, 

network analyzers and microwave test 

receivers, are specified by 3A002.a.6, 

3A002.a.7, 3A002.c, 3A002.d, 3A002.e and 

3A002.f, respectively. 

Technical Notes: 

1. A resolution of n bit corresponds to a 

quantization of 2n levels. 

2. The resolution of the ADC is the number 

of bits in of the digital output of the ADC that 

represents the measured analog input word. 

Effective Number of Bits (ENOB) is not used 

to determine the resolution of the ADC. 

3. For non-interleaved multiple-channel 

‘‘electronic assemblies’’, modules, or 

equipment, the ‘‘sample rate’’ is not 

aggregated and the ‘‘sample rate’’ is the 

maximum rate of any single channel. 

4. For interleaved channels on multiplechannel ‘‘electronic assemblies’’, modules, or 

equipment, the ‘‘sample rates’’ are 

aggregated and the ‘‘sample rate’’ is the 

maximum combined total rate of all the 

interleaved channels. 

Note: 3A002.h includes ADC cards, 

waveform digitizers, data acquisition cards, 

signal acquisition boards and transient 

recorders. 

* * * * * 

3A991 Electronic devices, and 

‘‘components’’ not controlled by 3A001. 

License Requirements 

Reason for Control: AT 

Control(s) 

Country chart (see 

Supp. No. 1 to part 

738) 

AT applies to entire 

entry.

AT Column 1 

License Requirements Note: See 

§ 744.17 of the EAR for additional license 

requirements for microprocessors having a 

processing speed of 5 GFLOPS or more and 

an arithmetic logic unit with an access width 

of 32 bit or more, including those 

incorporating ‘‘information security’’ 

functionality, and associated ‘‘software’’ and 

‘‘technology’’ for the ‘‘production’’ or 

‘‘development’’ of such microprocessors. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. ‘‘Microprocessor microcircuits’’, 

‘‘microcomputer microcircuits’’, and 

microcontroller microcircuits having any of 

the following: 

a.1. A performance speed of 5 GFLOPS or 

more and an arithmetic logic unit with an 

access width of 32 bit or more; 

a.2. A clock frequency rate exceeding 25 

MHz; or 

a.3. More than one data or instruction bus 

or serial communication port that provides a 

direct external interconnection between 

parallel ‘‘microprocessor microcircuits’’ with 

a transfer rate of 2.5 Mbyte/s; 

b. Storage integrated circuits, as follows: 

b.1. Electrical erasable programmable readonly memories (EEPROMs) with a storage 

capacity; 

b.1.a. Exceeding 16 Mbits per package for 

flash memory types; or 

b.1.b. Exceeding either of the following 

limits for all other EEPROM types: 

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

b.1.b.2. Exceeding 256 kbit per package 

and a maximum access time of less than 80 

ns; 

b.2. Static random access memories 

(SRAMs) with a storage capacity: 

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

b.2.b. Exceeding 256 kbit per package and 

a maximum access time of less than 25 ns; 

c. Analog-to-digital converters having any 

of the following: 

c.1. A resolution of 8 bit or more, but less 

than 12 bit, with an output rate greater than 

200 million words per second; 

c.2. A resolution of 12 bit with an output 

rate greater than 105 million words per 

second; 

c.3. A resolution of more than 12 bit but 

equal to or less than 14 bit with an output 

rate greater than 10 million words per 

second; or 

c.4. A resolution of more than 14 bit with 

an output rate greater than 2.5 million words 

per second; 

d. Field programmable logic devices 

having a maximum number of single-ended 

digital input/outputs between 200 and 700; 

e. Fast Fourier Transform (FFT) processors 

having a rated execution time for a 1,024 

point complex FFT of less than 1 ms; 

f. Custom integrated circuits for which 

either the function is unknown, or the 

control status of the equipment in which the 

integrated circuits will be used is unknown 

to the manufacturer, having any of the 

following: 

f.1. More than 144 terminals; or 

f.2. A typical ‘‘basic propagation delay 

time’’ of less than 0.4 ns; 

Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 78693 

g. Traveling-wave ‘‘vacuum electronic 

devices,’’ pulsed or continuous wave, as 

follows: 

g.1. Coupled cavity devices, or derivatives 

thereof; 

g.2. Helix devices based on helix, folded 

waveguide, or serpentine waveguide circuits, 

or derivatives thereof, with any of the 

following: 

g.2.a. An ‘‘instantaneous bandwidth’’ of 

half an octave or more; and 

g.2.b. The product of the rated average 

output power (expressed in kW) and the 

maximum operating frequency (expressed in 

GHz) of more than 0.2; 

g.2.c. An ‘‘instantaneous bandwidth’’ of 

less than half an octave; and 

g.2.d. The product of the rated average 

output power (expressed in kW) and the 

maximum operating frequency (expressed in 

GHz) of more than 0.4; 

h. Flexible waveguides designed for use at 

frequencies exceeding 40 GHz; 

i. Surface acoustic wave and surface 

skimming (shallow bulk) acoustic wave 

devices (i.e., ‘‘signal processing’’ devices 

employing elastic waves in materials), having 

either of the following: 

i.1. A carrier frequency exceeding 1 GHz; 

or 

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

and 

i.2.a. A frequency side-lobe rejection 

exceeding 55 Db; 

i.2.b. A product of the maximum delay 

time and bandwidth (time in microseconds 

and bandwidth in MHz) of more than 100; or 

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

microseconds; 

j. Cells as follows: 

j.1. Primary cells having an energy density 

of 550 Wh/kg or less at 293 K (20 °C); 

j.2. Secondary cells having an energy 

density of 350 Wh/kg or less at 293 K (20 °C); 

Note: 3A991.j does not control batteries, 

including single cell batteries. 

Technical Notes: 

1. For the purpose of 3A991.j energy 

density (Wh/kg) is calculated from the 

nominal voltage multiplied by the nominal 

capacity in ampere-hours divided by the 

mass in kilograms. If the nominal capacity is 

not stated, energy density is calculated from 

the nominal voltage squared then multiplied 

by the discharge duration in hours divided by 

the discharge load in Ohms and the mass in 

kilograms. 

2. For the purpose of 3A991.j, a ‘cell’ is 

defined as an electrochemical device, which 

has positive and negative electrodes, and 

electrolyte, and is a source of electrical 

energy. It is the basic building block of a 

battery. 

3. For the purpose of 3A991.j.1, a ‘primary 

cell’ is a ‘cell’ that is not designed to be 

charged by any other source. 

4. For the purpose of 3A991.j.2, a 

‘secondary cell’ is a ‘cell’ that is designed to 

be charged by an external electrical source. 

k. ‘‘Superconductive’’ electromagnets or 

solenoids ‘‘specially designed’’ to be fully 

charged or discharged in less than one 

minute, having all of the following: 

Note: 3A991.k does not control 

‘‘superconductive’’ electromagnets or 

solenoids designed for Magnetic Resonance 

Imaging (MRI) medical equipment. 

k.1. Maximum energy delivered during the 

discharge divided by the duration of the 

discharge of more than 500 kJ per minute; 

k.2. Inner diameter of the current carrying 

windings of more than 250 mm; and 

k.3. Rated for a magnetic induction of more 

than 8T or ‘‘overall current density’’ in the 

winding of more than 300 A/mm2; 

l. Circuits or systems for electromagnetic 

energy storage, containing ‘‘components’’ 

manufactured from ‘‘superconductive’’ 

materials ‘‘specially designed’’ for operation 

at temperatures below the ‘‘critical 

temperature’’ of at least one of their 

‘‘superconductive’’ constituents, having all of 

the following: 

l.1. Resonant operating frequencies 

exceeding 1 MHz; 

l.2. A stored energy density of 1 MJ/M3 or 

more; and 

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

m. Hydrogen/hydrogen-isotope thyratrons 

of ceramic-metal construction and rate for a 

peak current of 500 A or more; 

n. Digital integrated circuits based on any 

compound semiconductor having an 

equivalent gate count of more than 300 (2 

input gates); 

o. Solar cells, cell-interconnect-coverglass 

(CIC) assemblies, solar panels, and solar 

arrays, which are ‘‘space qualified’’ and not 

controlled by 3A001.e.4. 

* * * * * 

Category 5—Telecommunications and 

‘‘Information Security’’ 

* * * * * 

Part 2—‘‘Information Security’’ 

* * * * * 

A. ‘‘End Items’’, ‘‘Equipment’’, 

‘‘Accessories’’, ‘‘Attachments’’, ‘‘Parts’’, 

‘‘Components’’ and ‘‘Systems’’ 

I. Cryptographic ‘‘Information Security’’ 

5A002 ‘‘Information security’’ systems, 

equipment and ‘‘components,’’ as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT, EI 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

EI applies to entire 

entry.

Refer to § 742.15 of 

the EAR 

License Requirements Note: See 

§ 744.17 of the EAR for additional license 

requirements for microprocessors having a 

processing speed of 5 GFLOPS or more and 

an arithmetic logic unit with an access width 

of 32 bit or more, including those 

incorporating ‘‘information security’’ 

functionality, and associated ‘‘software’’ and 

‘‘technology’’ for the ‘‘production’’ or 

‘‘development’’ of such microprocessors. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: Yes: $500 for ‘‘components’’. 

N/A for systems and equipment. 

GBS: N/A 

ENC: Yes for certain EI controlled 

commodities, see § 740.17 of the EAR for 

eligibility. 

List of Items Controlled 

Related Controls: (1) ECCN 5A002.a controls 

‘‘component’’ providing the means or 

functions necessary for ‘‘information 

security.’’ All such ‘‘components’’ are 

presumptively ‘‘specially designed’’ and 

controlled by 5A002.a. (2) See USML 

Categories XI (including XI(b)) and XIII(b) 

(including XIII(b)(2)) for controls on 

systems, equipment, and components 

described in 5A002.d or .e that are subject 

to the ITAR. (3) For ‘‘satellite navigation 

system’’ receiving equipment containing or 

employing decryption see 7A005, and for 

related decryption ‘‘software’’ and 

‘‘technology’’ see 7D005 and 7E001. (4) 

Noting that items may be controlled 

elsewhere on the CCL, examples of items 

not controlled by ECCN 5A002.a.4 include 

the following: (a) An automobile where the 

only ‘cryptography for data confidentiality’ 

having a ‘described security algorithm’ is 

performed by a Category 5—Part 2 Note 3 

eligible mobile telephone that is built into 

the car. In this case, secure phone 

communications support a non-primary 

function of the automobile but the mobile 

telephone (equipment), as a standalone 

item, is not controlled by ECCN 5A002 

because it is excluded by the Cryptography 

Note (Note 3) (See ECCN 5A992.c). (b) An 

exercise bike with an embedded Category 

5—Part 2 Note 3 eligible web browser, 

where the only controlled cryptography is 

performed by the web browser. In this case, 

secure web browsing supports a nonprimary function of the exercise bike but 

the web browser (‘‘software’’), as a 

standalone item, is not controlled by ECCN 

5D002 because it is excluded by the 

Cryptography Note (Note 3) (See ECCN 

5D992.c). (5) After classification or selfclassification in accordance with 

§ 740.17(b) of the EAR, mass market 

encryption commodities that meet 

eligibility requirements are released from 

‘‘EI’’ and ‘‘NS’’ controls. These 

commodities are designated 5A992.c. 

Related Definitions: N/A 

Items: 

a. Designed or modified to use 

‘cryptography for data confidentiality’ having 

a ‘described security algorithm’, where that 

cryptographic capability is useable, has been 

activated, or can be activated by means of 

‘‘cryptographic activation’’ not employing a 

secure mechanism, as follows: 

a.1. Items having ‘‘information security’’ as 

a primary function; 

a.2. Digital communication or networking 

systems, equipment or components, not 

specified in paragraph 5A002.a.1; 

a.3. Computers, other items having 

information storage or processing as a 

primary function, and components therefor, 

not specified in paragraphs 5A002.a.1 or .a.2; 

N.B.: For operating systems see also 

5D002.a.1 and .c.1. 

a.4. Items, not specified in paragraphs 

5A002.a.1 to a.3, where the ‘cryptography for 

78694 Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 

data confidentiality’ having a ‘described 

security algorithm’ meets all of the following: 

a.4.a. It supports a non-primary function of 

the item; and 

a.4.b. It is performed by incorporated 

equipment or ‘‘software’’ that would, as a 

standalone item, be specified by ECCNs 

5A002, 5A003, 5A004, 5B002 or 5D002. 

N.B. to paragraph a.4: See Related 

Control Paragraph (4) of this ECCN 5A002 for 

examples of items not controlled by 

5A002.a.4. 

Technical Notes: 

1. For the purposes of 5A002.a, 

‘cryptography for data confidentiality’ means 

‘‘cryptography’’ that employs digital 

techniques and performs any cryptographic 

function other than any of the following: 

1.a. ‘‘Authentication;’’ 

1.b. Digital signature; 

1.c. Data integrity; 

1.d. Non-repudiation; 

1.e. Digital rights management, including 

the execution of copy-protected ‘‘software;’’ 

1.f. Encryption or decryption in support of 

entertainment, mass commercial broadcasts 

or medical records management; or 

1.g. Key management in support of any 

function described in paragraphs 1.a to 1.f of 

this Technical Note paragraph 1. 

2. For the purposes of 5A002.a, ‘described 

security algorithm’ means any of the 

following: 

2.a. A ‘‘symmetric algorithm’’ employing a 

key length in excess of 56 bits, not including 

parity bits; 

2.b. An ‘‘asymmetric algorithm’’ where the 

security of the algorithm is based on any of 

the following: 

2.b.1. Factorization of integers in excess of 

512 bits (e.g., RSA); 

2.b.2. Computation of discrete logarithms 

in a multiplicative group of a finite field of 

size greater than 512 bits (e.g., Diffie-Hellman 

over Z/pZ); or 

2.b.3. Discrete logarithms in a group other 

than mentioned in paragraph 2.b.2 of this 

Technical Note in excess of 112 bits (e.g., 

Diffie-Hellman over an elliptic curve); or 

2.c. An ‘‘asymmetric algorithm’’ where the 

security of the algorithm is based on any of 

the following: 

2.c.1. Shortest vector or closest vector 

problems associated with lattices (e.g., 

NewHope, Frodo, NTRUEncrypt, Kyber, 

Titanium); 

2.c.2. Finding isogenies between 

Supersingular elliptic curves (e.g., 

Supersingular Isogeny Key Encapsulation); or 

2.c.3. Decoding random codes (e.g., 

McEliece, Niederreiter). 

Technical Note: An algorithm described 

by Technical Note 2.c. may be referred to as 

being post-quantum, quantum-safe or 

quantum-resistant. 

Note 1: Details of items must be accessible 

and provided upon request, in order to 

establish any of the following: 

a. Whether the item meets the criteria of 

5A002.a.1 to a.4; or 

b. Whether the cryptographic capability for 

data confidentiality specified by 5A002.a is 

usable without ‘‘cryptographic activation.’’ 

Note 2: 5A002.a does not control any of 

the following items, or specially designed 

‘‘information security’’ components therefor: 

a. Smart cards and smart card ‘readers/ 

writers’ as follows: 

a.1. A smart card or an electronically 

readable personal document (e.g., token coin, 

e-passport) that meets any of the following: 

a.1.a. The cryptographic capability meets 

all of the following: 

a.1.a.1. It is restricted for use in any of the 

following: 

a.1.a.1.a. Equipment or systems, not 

described by 5A002.a.1 to a.4; 

a.1.a.1.b. Equipment or systems, not using 

‘cryptography for data confidentiality’ having 

a ‘described security algorithm’; or 

a.1.a.1.c. Equipment or systems, excluded 

from 5A002.a by entries b. to f. of this Note; 

and 

a.1.a.2. It cannot be reprogrammed for any 

other use; or 

a.1.b. Having all of the following: 

a.1.b.1. It is specially designed and limited 

to allow protection of ‘personal data’ stored 

within; 

a.1.b.2. Has been, or can only be, 

personalized for public or commercial 

transactions or individual identification; and 

a.1.b.3. Where the cryptographic capability 

is not user-accessible; 

Technical Note to paragraph a.1.b of 

Note 2: ‘Personal data’ includes any data 

specific to a particular person or entity, such 

as the amount of money stored and data 

necessary for ‘‘authentication.’’ 

a.2. ‘Readers/writers’ specially designed or 

modified, and limited, for items specified by 

paragraph a.1 of this Note; 

Technical Note to paragraph a.2 of 

Note 2: ‘Readers/writers’ include equipment 

that communicates with smart cards or 

electronically readable documents through a 

network. 

b. Cryptographic equipment specially 

designed and limited for banking use or 

‘money transactions’; 

Technical Note to paragraph b. of Note 

2: ‘Money transactions’ in 5A002 Note 2 

paragraph b. includes the collection and 

settlement of fares or credit functions. 

c. Portable or mobile radiotelephones for 

civil use (e.g., for use with commercial civil 

cellular radio communication systems) that 

are not capable of transmitting encrypted 

data directly to another radiotelephone or 

equipment (other than Radio Access Network 

(RAN) equipment), nor of passing encrypted 

data through RAN equipment (e.g., Radio 

Network Controller (RNC) or Base Station 

Controller (BSC)); 

d. Cordless telephone equipment not 

capable of end-to-end encryption where the 

maximum effective range of unboosted 

cordless operation (i.e., a single, unrelayed 

hop between terminal and home base station) 

is less than 400 meters according to the 

manufacturer’s specifications; 

e. Portable or mobile radiotelephones and 

similar client wireless devices for civil use, 

that implement only published or 

commercial cryptographic standards (except 

for anti-piracy functions, which may be nonpublished) and also meet the provisions of 

paragraphs a.2 to a.4 of the Cryptography 

Note (Note 3 in Category 5—Part 2), that have 

been customized for a specific civil industry 

application with features that do not affect 

the cryptographic functionality of these 

original non-customized devices; 

f. Items, where the ‘‘information security’’ 

functionality is limited to wireless ‘‘personal 

area network’’ functionality, meeting all of 

the following: 

f.1. Implement only published or 

commercial cryptographic standards; and 

f.2. The cryptographic capability is limited 

to a nominal operating range not exceeding 

30 meters according to the manufacturer’s 

specifications, or not exceeding 100 meters 

according to the manufacturer’s 

specifications for equipment that cannot 

interconnect with more than seven devices; 

g. Mobile telecommunications Radio 

Access Network (RAN) equipment designed 

for civil use, which also meet the provisions 

of paragraphs a.2 to a.4 of the Cryptography 

Note (Note 3 in Category 5—Part 2), having 

an RF output power limited to 0.1W (20 dBm) 

or less, and supporting 16 or fewer 

concurrent users; 

h. Routers, switches or relays, where the 

‘‘information security’’ functionality is 

limited to the tasks of ‘‘Operations, 

Administration or Maintenance’’ (‘‘OAM’’) 

implementing only published or commercial 

cryptographic standards; 

i. General purpose computing equipment 

or servers, where the ‘‘information security’’ 

functionality meets all of the following: 

i.1. Uses only published or commercial 

cryptographic standards; and 

i.2. Is any of the following: 

i.2.a. Integral to a CPU that meets the 

provisions of Note 3 in Category 5—Part 2; 

i.2.b. Integral to an operating system that 

is not specified by 5D002; or 

i.2.c. Limited to ‘‘OAM’’ of the equipment; 

or 

j. Items specially designed for a ‘connected 

civil industry application’, meeting all of the 

following: 

j.1. Being any of the following: 

j.1.a. A network-capable endpoint device 

meeting any of the following: 

j.1.a.1. The ‘‘information security’’ 

functionality is limited to securing ’nonarbitrary data’ or the tasks of ‘‘Operations, 

Administration or Maintenance’’ (‘‘OAM’’); 

or 

j.1.a.2. The device is limited to a specific 

‘connected civil industry application’; or 

j.1.b. Networking equipment meeting all of 

the following: 

j.1.b.1. Being specially designed to 

communicate with the devices specified by 

paragraph j.1.a above; and 

j.1.b.2. The ‘‘information security’’ 

functionality is limited to supporting the 

‘connected civil industry application’ of 

devices specified by paragraph j.1.a above, or 

the tasks of ‘‘OAM’’ of this networking 

equipment or of other items specified by 

paragraph j. of this Note; and 

j.2. Where the ‘‘information security’’ 

functionality implements only published or 

commercial cryptographic standards, and the 

cryptographic functionality cannot easily be 

changed by the user. 

Technical Notes: 

1. ‘Connected civil industry application’ 

means a network-connected consumer or 

civil industry application other than 

‘‘information security’’, digital 

communication, general purpose networking 

or computing. 

Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 78695 

2. ‘Non-arbitrary data’ means sensor or 

metering data directly related to the stability, 

performance or physical measurement of a 

system (e.g., temperature, pressure, flow rate, 

mass, volume, voltage, physical location, 

etc.), that cannot be changed by the user of 

the device. 

b. Being a ‘cryptographic activation token’; 

Technical Note: A ‘cryptographic 

activation token’ is an item designed or 

modified for any of the following: 

1. Converting, by means of ‘‘cryptographic 

activation’’, an item not specified by Category 

5—Part 2 into an item specified by 5A002.a 

or 5D002.c.1, and not released by the 

Cryptography Note (Note 3 in Category 5— 

Part 2); or 

2. Enabling, by means of ‘‘cryptographic 

activation’’, additional functionality 

specified by 5A002.a of an item already 

specified by Category 5—Part 2; 

c. Designed or modified to use or perform 

‘‘quantum cryptography;’’ 

Technical Note: ‘‘Quantum 

cryptography’’ is also known as Quantum 

Key Distribution (QKD). 

d. Designed or modified to use 

cryptographic techniques to generate 

channelizing codes, scrambling codes or 

network identification codes, for systems 

using ultra-wideband modulation techniques 

and having any of the following: 

d.1. A bandwidth exceeding 500 MHz; or 

d.2. A ‘‘fractional bandwidth’’ of 20% or 

more; 

e. Designed or modified to use 

cryptographic techniques to generate the 

spreading code for ‘‘spread spectrum’’ 

systems, not specified by 5A002.d, including 

the hopping code for ‘‘frequency hopping’’ 

systems. 

* * * * * 

Category 7—Navigation and Avionics 

A. ‘‘End Items’’, ‘‘Equipment’’, 

‘‘Accessories’’, ‘‘Attachments’’, ‘‘Parts’’, 

‘‘Components’’ and ‘‘Systems’’ 

* * * * * 

7A005 ‘‘Satellite navigation system’’ 

receiving equipment having any of the 

following and ‘‘specially designed’’ 

‘‘components’’ therefor. 

License Requirements 

Reason for Control: NS, MT and AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to 

7A005.b.

NS Column 1 

MT applies to commodities in 

7A005.b that meet 

or exceed the parameters of 7A105.

MT Column 1 

AT applies to 

7A005.b.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See also ECCNs 7A105, 

7A611 and 7A994. Commercially available 

‘‘satellite navigation system’’ receivers do 

not typically employ decryption or 

adaptive antennae and are classified as 

7A994. (2) See USML Category XII(d) for 

‘‘satellite navigation system’’ receiving 

equipment subject to the ITAR and USML 

Category XI(c)(10) for antennae that are 

subject to the ITAR. (3) Items that 

otherwise would be covered by ECCN 

7A005.a are ‘‘subject to the ITAR’’ (see 22 

CFR parts 120 through 130). 

Related Definitions: N/A 

Items: 

a. Employing a decryption algorithm 

‘‘specially designed’’ or modified for 

government use to access the ranging code 

for position and time; or 

b. Employing ‘adaptive antenna systems’. 

Note: 7A005.b does not apply to ‘‘satellite 

navigation system’’ receiving equipment that 

only uses ‘‘components’’ designed to filter, 

switch, or combine signals from multiple 

omni-directional antennas that do not 

implement adaptive antenna techniques. 

Technical Note: For the purposes of 

7A005.b ‘adaptive antenna systems’ 

dynamically generate one or more spatial 

nulls in an antenna array pattern by signal 

processing in the time domain or frequency 

domain. 

* * * * * 

Category 9—Aerospace and Propulsion 

* * * * * 

E. ‘‘Technology’’ 

* * * * * 

9E003 Other ‘‘technology’’ as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, SI, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

SI applies to 

9E003.a.1 through 

a.8, .h, .i, and .k.

See § 742.14 of the 

EAR for additional 

information 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any technology in 

9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 

9E003.h to any of the destinations listed in 

Country Group A:6 (See Supplement No.1 

to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) Hot section 

‘‘technology’’ specifically designed, 

modified, or equipped for military uses or 

purposes, or developed principally with 

U.S. Department of Defense funding, is 

‘‘subject to the ITAR’’ (see 22 CFR parts 

120 through 130). (2) ‘‘Technology’’ is 

subject to the EAR when actually applied 

to a commercial ‘‘aircraft’’ engine program. 

Exporters may seek to establish 

commercial application either on a caseby-case basis through submission of 

documentation demonstrating application 

to a commercial program in requesting an 

export license from the Department 

Commerce in respect to a specific export, 

or in the case of use for broad categories 

of ‘‘aircraft,’’ engines, ‘‘parts’’ or 

‘‘components,’’ a commodity jurisdiction 

determination from the Department of 

State. 

Related Definitions: N/A 

Items: 

a. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of any of the 

following gas turbine engine ‘‘parts,’’ 

‘‘components’’ or systems: 

a.1. Gas turbine blades, vanes or ‘‘tip 

shrouds’’, made from Directionally Solidified 

(DS) or Single Crystal (SC) alloys and having 

(in the 001 Miller Index Direction) a stressrupture life exceeding 400 hours at 1,273 K 

(1,000 °C) at a stress of 200 MPa, based on 

the average property values; 

Technical Note: For the purposes of 

9E003.a.1, stress-rupture life testing is 

typically conducted on a test specimen. 

a.2. Combustors having any of the 

following: 

a.2.a. ‘Thermally decoupled liners’ 

designed to operate at ‘combustor exit 

temperature’ exceeding 1,883 K (1,610 °C); 

a.2.b. Non-metallic liners; 

a.2.c. Non-metallic shells; or 

a.2.d. Liners designed to operate at 

‘combustor exit temperature’ exceeding 1,883 

K (1,610 °C) and having holes that meet the 

parameters specified by 9E003.c; 

Note: The ‘‘required’’ ‘‘technology’’ for 

holes in 9E003.a.2 is limited to the derivation 

of the geometry and location of the holes. 

Technical Notes: 

1. ‘Thermally decoupled liners’ are liners 

that feature at least a support structure 

designed to carry mechanical loads and a 

combustion facing structure designed to 

protect the support structure from the heat of 

combustion. The combustion facing structure 

and support structure have independent 

thermal displacement (mechanical 

displacement due to thermal load) with 

respect to one another, i.e., they are 

thermally decoupled. 

2. ‘Combustor exit temperature’ is the bulk 

average gas path total (stagnation) 

temperature between the combustor exit 

plane and the leading edge of the turbine 

inlet guide vane (i.e., measured at engine 

station T40 as defined in SAE ARP 755A) 

when the engine is running in a ‘‘steady state 

mode’’ of operation at the certificated 

maximum continuous operating temperature. 

N.B.: See 9E003.c for ‘‘technology’’ 

‘‘required’’ for manufacturing cooling holes. 

78696 Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 

a.3. ‘‘Parts’’ or ‘‘components,’’ that are any 

of the following: 

a.3.a. Manufactured from organic 

‘‘composite’’ materials designed to operate 

above 588 K (315 °C); 

a.3.b. Manufactured from any of the 

following: 

a.3.b.1. Metal ‘‘matrix’’ ‘‘composites’’ 

reinforced by any of the following: 

a.3.b.1.a. Materials controlled by 1C007; 

a.3.b.1.b. ‘‘Fibrous or filamentary 

materials’’ specified by 1C010; or 

a.3.b.1.c. Aluminides specified by 1C002.a; 

or 

a.3.b.2. Ceramic ‘‘matrix’’ ‘‘composites’’ 

specified by 1C007; or 

a.3.c. Stators, vanes, blades, tip seals 

(shrouds), rotating blings, rotating blisks or 

‘splitter ducts’, that are all of the following: 

a.3.c.1. Not specified in 9E003.a.3.a; 

a.3.c.2. Designed for compressors or fans; 

and 

a.3.c.3. Manufactured from material 

controlled by 1C010.e with resins controlled 

by 1C008; 

Technical Note: A ‘splitter duct’ performs 

the initial separation of the air-mass flow 

between the bypass and core sections of the 

engine. 

a.4. Uncooled turbine blades, vanes or ‘‘tip 

shrouds’’ designed to operate at a ‘gas path 

temperature’ of 1,373 K (1,100 °C) or more; 

a.5. Cooled turbine blades, vanes or ‘‘tipshrouds’’, other than those described in 

9E003.a.1, designed to operate at a ‘gas path 

temperature’ of 1,693 K (1,420 °C) or more; 

Technical Note: ‘Gas path temperature’ is 

the bulk average gas path total (stagnation) 

temperature at the leading edge plane of the 

turbine component when the engine is 

running in a ‘‘steady state mode’’ of 

operation at the certificated or specified 

maximum continuous operating temperature. 

a.6. Airfoil-to-disk blade combinations 

using solid state joining; 

a.7. [Reserved] 

a.8. ‘Damage tolerant’ gas turbine engine 

rotor ‘‘parts’’ or ‘‘components’’ using powder 

metallurgy materials controlled by 1C002.b; 

or 

Technical Note: ‘Damage tolerant’ 

‘‘parts’’ and ‘‘components’’ are designed 

using methodology and substantiation to 

predict and limit crack growth. 

a.9. [Reserved] 

N.B.: For ‘‘FADEC systems’’, see 9E003.h. 

a.10. [Reserved] 

N.B.: For adjustable flow path geometry, 

see 9E003.i. 

a.11. Hollow fan blades; 

b. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of any of the 

following: 

b.1. Wind tunnel aero-models equipped 

with non-intrusive sensors capable of 

transmitting data from the sensors to the data 

acquisition system; or 

b.2. ‘‘Composite’’ propeller blades or propfans, capable of absorbing more than 2,000 

kW at flight speeds exceeding Mach 0.55; 

c. ‘‘Technology’’ ‘‘required’’ for 

manufacturing cooling holes, in gas turbine 

engine ‘‘parts’’ or ‘‘components’’ 

incorporating any of the ‘‘technologies’’ 

specified by 9E003.a.1, 9E003.a.2 or 

9E003.a.5, and having any of the following: 

c.1. Having all of the following: 

c.1.a. Minimum ‘cross-sectional area’ less 

than 0.45 mm2; 

c.1.b. ‘Hole shape ratio’ greater than 4.52; 

and 

c.1.c. ‘Incidence angle’ equal to or less than 

25°; or 

c.2. Having all of the following: 

c.2.a. Minimum ‘cross-sectional area’ less 

than 0.12 mm2; 

c.2.b. ‘Hole shape ratio’ greater than 5.65; 

and 

c.2.c. ‘Incidence angle’ more than 25°; 

Note: 9E003.c does not apply to 

‘‘technology’’ for manufacturing constant 

radius cylindrical holes that are straight 

through and enter and exit on the external 

surfaces of the component. 

Technical Notes: 

1. For the purposes of 9E003.c, the ‘crosssectional area’ is the area of the hole in the 

plane perpendicular to the hole axis. 

2. For the purposes of 9E003.c, ‘hole shape 

ratio’ is the nominal length of the axis of the 

hole divided by the square root of its 

minimum ‘cross-sectional area’. 

3. For the purposes of 9E003.c, ‘incidence 

angle’ is the acute angle measured between 

the plane tangential to the airfoil surface and 

the hole axis at the point where the hole axis 

enters the airfoil surface. 

4. Techniques for manufacturing holes in 

9E003.c include ‘‘laser’’ beam machining, 

water jet machining, Electro-Chemical 

Machining (ECM) or Electrical Discharge 

Machining (EDM). 

d. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of helicopter 

power transfer systems or tilt rotor or tilt 

wing ‘‘aircraft’’ power transfer systems; 

e. ‘‘Technology’’ for the ‘‘development’’ or 

‘‘production’’ of reciprocating diesel engine 

ground vehicle propulsion systems having all 

of the following: 

e.1. ‘Box volume’ of 1.2 m3 or less; 

e.2. An overall power output of more than 

750 kW based on 80/1269/EEC, ISO 2534 or 

national equivalents; and 

e.3. Power density of more than 700 kW/ 

m3 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 centerline to the top plane of the valve cover (or 

cylinder head) plus twice the stroke; or 

b. The diameter of the flywheel housing. 

f. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of ‘‘specially designed’’ ‘‘parts’’ 

or ‘‘components’’ for high output diesel 

engines, as follows: 

f.1. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of engine systems having all of 

the following ‘‘parts’’ and ‘‘components’’ 

employing ceramics materials controlled by 

1C007: 

f.1.a Cylinder liners; 

f.1.b. Pistons; 

f.1.c. Cylinder heads; and 

f.1.d. One or more other ‘‘part’’ or 

‘‘component’’ (including exhaust ports, 

turbochargers, valve guides, valve assemblies 

or insulated fuel injectors); 

f.2. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of turbocharger systems with 

single-stage compressors and having all of 

the following: 

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 °C)) down to gasoline fuel (0.5 cSt at 

310.8 K (37.8 °C)) and having all of the 

following: 

f.3.a. Injection amount in excess of 230 

mm3 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 °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’’ for gas turbine engine 

‘‘FADEC systems’’ as follows: 

h.1. ‘‘Development’’ ‘‘technology’’ for 

deriving the functional requirements for the 

‘‘parts’’ or ‘‘components’’ necessary for the 

‘‘FADEC system’’ to regulate engine thrust or 

shaft power (e.g., feedback sensor time 

constants and accuracies, fuel valve slew 

rate); 

h.2. ‘‘Development’’ or ‘‘production’’ 

‘‘technology’’ for control and diagnostic 

‘‘parts’’ or ‘‘components’’ unique to the 

‘‘FADEC system’’ and used to regulate engine 

thrust or shaft power; 

h.3. ‘‘Development’’ ‘‘technology’’ for the 

control law algorithms, including ‘‘source 

code’’, unique to the ‘‘FADEC system’’ and 

used to regulate engine thrust or shaft power; 

Note: 9E003.h does not apply to technical 

data related to engine-‘‘aircraft’’ integration 

required by civil aviation authorities of one 

or more Wassenaar Arrangement 

Participating States (See Supplement No. 1 to 

part 743 of the EAR) to be published for 

general airline use (e.g., installation manuals, 

operating instructions, instructions for 

continued airworthiness) or interface 

functions (e.g., input/output processing, 

airframe thrust or shaft power demand). 

i. ‘‘Technology’’ for adjustable flow path 

systems designed to maintain engine stability 

Federal Register / Vol. 85, No. 234 / Friday, December 4, 2020 / Rules and Regulations 78697 

for gas generator turbines, fan or power 

turbines, or propelling nozzles, as follows: 

i.1. ‘‘Development’’ ‘‘technology’’ for 

deriving the functional requirements for the 

‘‘parts’’ or ‘‘components’’ that maintain 

engine stability; 

i.2. ‘‘Development’’ or ‘‘production’’ 

‘‘technology’’ for ‘‘parts’’ or ‘‘components’’ 

unique to the adjustable flow path system 

and that maintain engine stability; 

i.3. ‘‘Development’’ ‘‘technology’’ for the 

control law algorithms, including ‘‘source 

code’’, unique to the adjustable flow path 

system and that maintain engine stability; 

Note: 9E003.i does not apply to 

‘‘technology’’ for any of the following: 

a. Inlet guide vanes; 

b. Variable pitch fans or prop-fans; 

c. Variable compressor vanes; 

d. Compressor bleed valves; or 

e. Adjustable flow path geometry for 

reverse thrust. 

j. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ of wing-folding systems 

designed for fixed-wing ‘‘aircraft’’ powered 

by gas turbine engines. 

N.B.: For ‘‘technology’’ ‘‘required’’ for the 

‘‘development’’ of wing-folding systems 

designed for fixed-wing ‘‘aircraft’’ specified 

in USML Category VIII (a), see USML 

Category VIII (i). 

k. ‘‘Technology’’ not otherwise controlled 

in 9E003.a.1 through a.8, a.10, and .h and 

used in the ‘‘development’’, ‘‘production’’, or 

overhaul of hot section ‘‘parts’’ or 

‘‘components’’ of civil derivatives of military 

engines controlled on the U.S. Munitions 

List. 

* * * * * 

Matthew S. Borman, 

Deputy Assistant Secretary for Export 

Administration. 

[FR Doc. 2020–26638 Filed 12–3–20; 8:45 am] 

BILLING CODE 3510–33–P