[Federal Register Volume 65, Number 103 (Friday, May 26, 2000)]
[Rules and Regulations]
[Pages 34073-34079]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-13252]



[[Page 34073]]

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DEPARTMENT OF COMMERCE

Bureau of Export Administration

15 CFR Parts 742, 743, 746, 772 and 774

[Docket No. 990625176-0029-02]
RIN 0694-AB86


Revisions and Clarifications to the Export Administration 
Regulations; Commerce Control List

AGENCY: Bureau of Export Administration, Commerce.

ACTION: Final rule.

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SUMMARY: On July 23, 1999, the Bureau of Export Administration (BXA) 
published a final rule (64 FR 40106) that revised the Commerce Control 
List (CCL) based on Wassenaar Arrangement review. The final rule 
revised certain entries controlled for national security reasons in 
Categories 1,2,3,4,5,6,7, and 9 to conform with changes in the 
Wassenaar Arrangement's List of Dual-Use Goods and Technologies. This 
final rule amends the CCL by making certain revisions and 
clarifications and, in some cases, inserts material inadvertently 
omitted from the July 23 final rule. This rule also makes corresponding 
changes to parts 742, 743, 746 and 772 of the Export Administration 
Regulations.

DATES: Effective Date: This rule is effective May 26, 2000.

FOR FURTHER INFORMATION CONTACT: Kirsten Mortimer, Regulatory Policy 
Division, Office of Exporter Services, Bureau of Export Administration, 
Telephone: (202) 482-2440.

SUPPLEMENTARY INFORMATION: In July 1996, the United States and thirty-
two other countries gave final approval to the establishment of a new 
multilateral export control arrangement, called the Wassenaar 
Arrangement on Export Controls for Conventional Arms and Dual-Use Goods 
and Technologies (Wassenaar Arrangement). The Wassenaar Arrangement 
contributes to regional and international security and stability by 
promoting transparency and greater responsibility in transfers of 
conventional arms and dual-use goods and technologies, thus preventing 
destabilizing accumulations of such items.
    On January 15, 1998, the Bureau of Export Administration (BXA) 
published an interim rule (63 FR 2452) fulfilling U.S. commitments to 
the Wassenaar Arrangement by implementing the Wassenaar Arrangement of 
Dual-Use Goods and Technologies which is a list of dual-use items 
identified by Export Control Classification Numbers (ECCNs) as being 
controlled for national security (NS) reasons in the Commerce Control 
List (CCL). On July 23, 1999, BXA published a final rule (64 FR 40106) 
that revised a number of these national security controlled entries on 
the CCL to conform with recent changes in the Wassenaar List of Dual-
Use Goods and Technologies. This rule corrects a number of inadvertent 
errors to the EAR that appeared in the July 23 rule.
    The changes are summarized as follows:
    In part 742, changes are made to sections 742.8, 742.10, 746.7, and 
Supplement 2 to part 742 to cross-reference certain paragraph 
references relating to ECCN 5A991 to reflect the renumbering of these 
paragraph references in the July rule.
    In part 743, changes are made to section 743.1 to cross-reference 
certain paragraph references relating to ECCN 5A001 to reflect the 
renumbering of these paragraph references in the July rule.
    In part 772, where definition in the EAR are described, the 
definition for ``positioning accuracy'' is changed to clarify that the 
1988 version of the ISO standard applies to this definition. This 
clarification is also made to the Notes to the Category 2B (Materials 
Processing--Test, Inspection, and Production Equipment) of the CCL.
    ECCN 3B991 is amended by removing a paragraph which was incorrectly 
referenced twice.
    ECCN 5A001 is amended by adding License Exception LVS eligibility 
to underwater communications systems.
    ECCN 5A991 is amended by fixing incorrect paragraph references made 
in the July rule.
    ECCN 5B001 is amended by revising the phrase ``employing coherent 
transmission'' to read ``employing coherent optical transmission''. The 
word ``optical'' was mistakenly left out of the July rule.
    ECCN 5D001 is amended by putting the word ``or'' in the correct 
place within the List of Items controlled section. This mistake was 
inadvertently made in the July rule.
    ECCN 5E001 is amended by putting the word ``production'' in the 
correct paragraph. This mistake was inadvertently made in the July 
rule.
    ECCN 5E991 is amended by adding descriptions for certain 
technologies that were removed from national security controls in the 
July rule. These technologies were removed from ECCN 5E001 in the July 
rule, and should have been moved into ECCN 5D991, as they continue to 
be controlled for anti-terrorism reasons.
    ECCN 6A003 is amended by adding a dash to the phrase ``time-delay-
and integration'' to read ``time-delay-and-integration''. This corrects 
a typographical error in the July rule.

Background

    Specifically this rule makes the following revisions to parts 742, 
743, 746, 772 and 774 of the Export Administration Regulations:
    (1) In paragraphs 742.8(a)(2), 742.10(a)(2) (Anti-Terrorism 
Controls), and 746.7(a)(2)(ii) (Embargoes), the phrase ``ECCN 5A991.f'' 
is corrected to read ``ECCN 5A991.g''. This corresponds to the changes 
agreed to and implemented by the Wassenaar Arrangement.
    (2) In Supplement 2 to part 742 (Anti-Terrorism Controls; Iran, 
Syria and Sudan Contract Sanctity Dates and Related Topics), in 
paragraph (c)(29), the phrase `` ECCN 5A001.c'' is removed and the 
phrase ``ECCN 5A991.c.1'' is revised to read ``ECCN 5A991.c''. This 
corresponds to the changes agreed to and implemented by the Wassenaar 
Arrangement.
    (3) In paragraph 743.1(c)(1)(v) (Special Reporting), the phrase 
``5A001.b.8'' is corrected to read ``5A001.b.3''. This corresponds to 
the changes agreed to and implemented by the Wassenaar Arrangement.
    (4) In part 772 (Definitions of Terms), the definition for 
``positioning accuracy'' is amended by adding the parenthetical 
reference ``(1988)'' immediately following ``ISO 230/2''. This 
clarifies that the 1988 version of the ISO standard applies.
    (5) In Category 2B (Materials Processing--Test, Inspection, and 
Production Equipment) of the CCL, the Notes for Category 2B section is 
amended by revising note 5 to add the parenthetical reference 
``(1988)'' immediately following ``ISO 230/2''. This clarifies that the 
1988 version of the ISO standard applies.
    (6) Export Control Classification Number (ECCN) 3B991 is amended by 
removing paragraph b.2.f.5. These items are already covered in 
paragraph b.2.f.1 of ECCN 3B991.
    (7) ECCN 5A001 is amended by adding License Exception LVS 
eligibility to paragraph b.1. This corrects the inadvertent removal of 
LVS eligibility for underwater communications systems.
    (8) ECCN 5A991 is amended by revising the paragraph references for 
paragraphs c.10.c and c.10.d to read c.11 and c.12, respectively. ECCN 
5A991 is also amended by revising the phrase ``5A001'' to read 
``5A991'' in Notes 1

[[Page 34074]]

and 2 to paragraph b.7 and in the Note to paragraph c.9.
    (9) ECCN 5B001 is amended by revising the phrase ``employing 
coherent transmission'' to read ``employing coherent optical 
transmission'' in paragraph b.2.c. This corrects an inadvertent 
omission and is consistent with the changes agreed to and implemented 
by the Wassenaar Arrangement.
    (10) ECCN 5D001 is amended by adding the word ``or'' at the end of 
paragraph d.2.a and removing the word ``or'' at the end of paragraph 
d.4.b. This corrects an inadvertent omission and error and is 
consistent with the changes agreed to and implemented by the Wassenaar 
Arrangement.
    (11) ECCN 5E001 is amended by adding the word ``production'' in 
paragraph c and removing the word ``production'' in the notes to 
paragraph c.2.e and c.4.b. This corrects an inadvertent omission and 
errors and is consistent with the changes agreed to and implemented by 
the Wassenaar Arrangement.
    (12) ECCN 5E991 is amended by revising the entry heading by adding 
``and other `technologies' as follows'' and by revising the List of 
Items Controlled section to include paragraphs a.1 and a.2 for 
`technology' for the processing and application of coatings to optical 
fiber specially designed to make it suitable for underwater use and 
``technology'' for the ``development'' of equipment employing 
``Synchronous Digital Hierarchy'' (``SDH'') or ``Synchronous Optical 
Network'' (``SONET'') techniques. These technologies were removed from 
ECCN 5E001 in the July 23 rule as they are no longer controlled for 
national security reasons, consistent with the changes agreed to and 
implemented by the Wassenaar Arrangement. However, anti-terrorism 
controls for these technologies should have been retained under ECCN 
5E991. This rule corrects this inadvertent omission.
    (13) ECCN 6A003 is amended by revising the phrase ``time-delay-and 
integration'' to read ``time-delay-and-integration'' in the note to 
paragraph b.4. This corrects a typographical error and is consistent 
with the changes agreed to and implemented by the Wassenaar 
Arrangement.
    Although the Export Administration Act (EAA) expired on August 20, 
1994, the President invoked the International Emergency Economic Powers 
Act and continued in effect, the Export Administration Regulations and, 
to the extent permitted by law, the provisions of the EAA in Executive 
Order 12924 of August 19, 1994, as extended by the President's notices 
of August 15, 1995 (60 FR 42767), August 14, 1996 (61 FR 42527), August 
13, 1997 (62 FR 43629), August 13, 1998 (63 FR 44121), and August 13, 
1999 (64 FR 44101).

Rulemaking Requirements

    1. This final rule has been determined to be not significant for 
purposes of E.O. 12866.
    2. Notwithstanding any other provision of law, no person is 
required to, nor shall any person be subject to a penalty for failure 
to comply with a collection of information, subject to the Paperwork 
Reduction Act (PRA), unless that collection of information displays a 
currently valid OMB Control Number. This rule involves collection of 
information approved by the Office of Management and Budget under 
control numbers 0694-0106 and 0694-0088. This clarifies that the July 
23, 1999 rule (64 FR 40106) referenced an incorrect collection of 
information number, 0694-0086, and instead should have referenced 
collection number 0694-0106.
    3. This rule does not contain policies with Federalism implications 
sufficient to warrant preparation of a Federalism assessment under 
Executive Order 13132.
    4. The provisions of the Administrative Procedure Act (5 U.S.C. 
553) requiring notice of proposed rulemaking, the opportunity for 
public participation, and a delay in effective date, are inapplicable 
because this regulation involves a military and foreign affairs 
function of the United States (5 U.S.C. 553(a)(1)). Further, no other 
law requires that a notice of proposed rulemaking and an opportunity 
for public comment be given for this 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, this rule 
is issued in final form. However, comments from the public are always 
welcome. Comments should be submitted to Kirsten Mortimer, Regulatory 
Policy Division, Office of Exporter Services, Bureau of Export 
Administration, Department of Commerce, P.O. Box 273, Washington, DC 
20044.

List of Subjects

15 CFR Parts 742 and 772

    Exports, Foreign trade.

15 CFR Part 743

    Administrative practice and procedure, Exports, Foreign trade, 
Reporting and recordkeeping requirements.

15 CFR Part 746

    Embargoes, Exports, Foreign Trade, Reporting and recordkeeping 
requirements.

15 CFR Part 774

    Exports, Foreign trade, Reporting and recordkeeping requirements.

    Accordingly, parts 742, 743, 746, 772 and 774 of the Export 
Administration Regulations (15 CFR parts 730-799) are amended as 
follows:

    1. The authority citation for 15 CFR Part 742 is revised to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; 
18 U.S.C. 2510 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 
E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 
FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12924, 59 FR 43437, 3 CFR, 
1994 Comp., p. 917; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 
950; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; Notice of 
November 12, 1998, 63 FR 63589, 3 CFR, 1998 Comp., p. 305; Notice of 
August 10, 1999, 64 FR 44101, 3 CFR, 1999 Comp., p. 302.


    2. The authority citation for 15 CFR part 743 is revised to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq; 50 U.S.C. 1701 et seq; 
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; Notice of August 
10, 1999, 64 FR 44101, 3 CFR, 1999 Comp., p. 302.


    3. The authority citation for 15 CFR part 746 is revised to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; 
22 U.S.C. 287c; 22 U.S.C. 6004; E.O. 12854, 58 FR 36587, 3 CFR 1993 
Comp., p. 614; E.O. 12918, 59 FR 28205, 3 CFR, 1994 Comp., p. 899; 
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p.917; E.O. 13088, 63 FR 
32109, 3 CFR, 1998 Comp., p. 191; E.O. 13121 of April 30, 1999, 64 
FR 24021 (May 5, 1999); Notice of August 10, 1999, 64 FR 44101, 3 
CFR, 1999 Comp., p. 302.


    4. The authority citation for part 772 is revised to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; 
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; E.O. 13026, 61 
FR 58767, 3 CFR, 1996 Comp., p. 228; Notice of August 10, 1999, 64 
FR 44101, 3 CFR, 1999 Comp., p. 302.


    5. The authority citation for part 774 is revised to read as 
follows:

    Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; 
10 U.S.C. 7420; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C. 
287c, 22 U.S.C. 3201 et seq., 22 U.S.C. 6004; 30 U.S.C. 185(s), 
185(u); 42 U.S.C. 2139a; 42

[[Page 34075]]

U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. 466c; 50 U.S.C. app. 5; 
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; E.O. 13026, 61 
FR 58767, 3 CFR, 1996 Comp., p. 228; Notice of August 10, 1999, 64 
FR 44101, 3 CFR, 1999 Comp., p. 302.

PART 742--[AMENDED]


Sec. 742.8  [Amended]

    6. Sec. 742.8 is amended by revising ``5A991.f'' in paragraph 
(a)(2), to read ``5A991.g''.


Sec. 742.10  [Amended]

    7. Sec. 742.10 is amended by revising ``5A991.f'' in paragraph 
(a)(2), to read ``5A991.g''.

Supplement to 742 [Amended]

    8. Supplement No. 2 to part 742 is amended by revising the phrase 
``ECCNs 5A001.c and 5A991.c.1'' in the introductory text of paragraph 
(c)(29) to read ``ECCN 5A991.c''.

PART 743--[AMENDED]


Sec. 743.1  [Amended]

    9. Sec. 743.1(c)(1)(v) is amended two places by revising 
``5A001.b.8'', to read ``5A001.b.3''.

PART 746--[AMENDED]


Sec. 746.7  [Amended]

    10. Sec. 746.7 is amended by revising, ``5A991.f'' in paragraph 
(a)(2)(ii), to read ``5A991.g''.

PART 772--[AMENDED]

    11. Part 772 is amended by revising the phrase ``with ISO/DIS 230/
2'' to read ``with ISO/DIS 230/2 (1988)'' in the definition for 
``positioning accuracy''.

PART 774--[AMENDED]

Supplement No. 1 to Part 774--The Commere Control List

    12. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 2--Materials Processing, at the beginning of Category 2B 
(Test, Inspection and Production Equipment), note 5 in ``Notes for 
Category 2B'' is amended by revising the phrase ``in accordance with 
ISO 230/2'' to read ``in accordance with ISO 230/2 (1988)''.

    13. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3--Electronics, ECCN 3B991 is amended by revising the List of 
Items Controlled section, as follows:

3B991  Equipment not controlled by 3B001 for the manufacture of 
electronic components and materials, and specially designed 
components and accessories therefor.

* * * * *

List of Items Controlled

    Unit: Equipment in number.
    Related Controls: N/A.
    Related Definitions: N/A.
    Items:
    a. Equipment specially designed for the manufacture of electron 
tubes, optical elements and specially designed components therefor 
controlled by 3A001 or 3A991;
    b. Equipment specially designed for the manufacture of 
semiconductor devices, integrated circuits and ``assemblies'', as 
follows, and systems incorporating or having the characteristics of 
such equipment:

    Note: 3B991.b also controls equipment used or modified for use 
in the manufacture of other devices, such as imaging devices, 
electro-optical devices, acoustic-wave devices.

    b.1. Equipment for the processing of materials for the 
manufacture of devices and components as specified in the heading of 
3B991.b, as follows:

    Note: 3B991 does not control quartz furnace tubes, furnace 
liners, paddles, boats (except specially designed caged boats), 
bubblers, cassettes or crucibles specially designed for the 
processing equipment controlled by 3B991.b.1.

    b.1.a. Equipment for producing polycrystalline silicon and 
materials controlled by 3C001;
    b.1.b. Equipment specially designed for purifying or processing 
III/V and II/VI semiconductor materials controlled by 3C001, 3C002, 
3C003, or 3C004, except crystal pullers, for which see 3B991.b.1.c 
below;
    b.1.c. Crystal pullers and furnaces, as follows:

    Note: 3B991.b.1.c does not control diffusion and oxidation 
furnaces.

    b.1.c.1. Annealing or recrystallizing equipment other than 
constant temperature furnaces employing high rates of energy 
transfer capable of processing wafers at a rate exceeding 0.005 m 
\2\ per minute;
    b.1.c.2. ``Stored program controlled'' crystal pullers having 
any of the following characteristics:
    b.1.c.2.a. Rechargeable without replacing the crucible 
container;
    b.1.c.2.b. Capable of operation at pressures above 2.5 x 10\5\ 
Pa; or b.1.c.2.c. Capable of pulling crystals of a diameter 
exceeding 100 mm;
    b.1.d. ``Stored program controlled'' equipment for epitaxial 
growth having any of the following characteristics:
    b.1.d.1. Capable of producing a layer thickness uniformity 
across the wafer of equal to or better than <plus-minus>3.5%;
    b.1.d.2. Rotation of individual wafers during processing; or
    b.1.e. Molecular beam epitaxial growth equipment;
    b.1.f. Magnetically enhanced ``sputtering'' equipment with 
specially designed integral load locks capable of transferring 
wafers in an isolated vacuum environment;
    b.1.g. Equipment specially designed for ion implantation, ion-
enhanced or photo-enhanced diffusion, having any of the following 
characteristics:
    b.1.g.1. Patterning capability;
    b.1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
    b.1.g.3 Optimized to operate at a beam energy (accelerating 
voltage) of less than 10 keV; or
    b.1.g.4. Capable of high energy oxygen implant into a heated 
``substrate'';
    b.1.h. ``Stored program controlled'' equipment for the selective 
removal (etching) by means of anisotropic dry methods (e.g., 
plasma), as follows:
    b.1.h.1. Batch types having either of the following:
    b.1.h.1.a. End-point detection, other than optical emission 
spectroscopy types; or
    b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or 
less;
    b.1.h.2. Single wafer types having any of the following:
    b.1.h.2.a. End-point detection, other than optical emission 
spectroscopy types;
    b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or 
less; or
    b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;

    Notes:
    1. ``Batch types'' refers to machines not specially desired for 
production processing of single wafers. Such machines can process 
two or more wafers simultaneously with common process parameters, 
e.g., RF power, temperature, etch gas species, flow rates.

    2. ``Single wafer types'' refers to machines specially designed 
for production processing of single wafers. These machines may use 
automatic wafer handling techniques to load a single wafer into the 
equipment for processing. The definition includes equipment that can 
load and process several wafers but where the etching parameters, 
e.g., RF power or end point, can be independently determined for 
each individual wafer.

    b.1.i. ``Chemical vapor deposition'' (CVD) equipment, e.g., 
plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor 
device manufacturing, having either of the following capabilities, 
for deposition of oxides, nitrides, metals or polysilicon:
    b.1.i.1. ``Chemical vapor deposition'' equipment operating below 
10<SUP>5</SUP> Pa; or
    b.1.i.2. PECVD equipment operating either below 60 Pa (450 
millitorr) or having automatic cassette-to-cassette and load lock 
wafer handling;


    Note:
    3B991.b.1.i does not control low pressure ``chemical vapor 
deposition'' (LPCVD) systems or reactive ``sputtering'' equipment.

    b.1.j. Electron beam systems specially designed or modified for 
mask making or semiconductor device processing having any of the 
following characteristics:
    b.1.j.1. Electrostatic beam deflection;
    b.1.j.2. Shaped, non-Gaussian beam profile;
    b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;

[[Page 34076]]

    b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit; 
or
    b.1.j.5. Target-to-beam position feedback control precision of 1 
micrometer or finer;

    Note:
    3B991.b.1.j does not control electron beam deposition systems or 
general purpose scanning electron microscopes.

    b.1.k. Surface finishing equipment for the processing of 
semiconductor wafers as follows:
    b.1.k.1. Specially designed equipment for backside processing of 
wafers thinner than 100 micrometer and the subsequent separation 
thereof; or
    b.1.k.2. Specially designed equipment for achieving a surface 
roughness of the active surface of a processed wafer with a two-
sigma value of 2 micrometer or less, total indicator reading (TIR);

    Note:
    3B991.b.1.k does not control single-side lapping and polishing 
equipment for wafer surface finishing.

    b.1.l. Interconnection equipment which includes common single or 
multiple vacuum chambers specially designed to permit the 
integration of any equipment controlled by 3B991 into a complete 
system;
    b.1.m. ``Stored program controlled'' equipment using ``lasers'' 
for the repair or trimming of ``monolithic integrated circuits'' 
with either of the following characteristics:
    b.1.m.1. Positioning accuracy less than <plus-minus> 1 
micrometer; or
    b.1.m.2. Spot size (kerf width) less than 3 micrometer.
    b.2. Masks, mask ``substrates'', mask-making equipment and image 
transfer equipment for the manufacture of devices and components as 
specified in the heading of 3B991, as follows:

    Note: The term ``masks'' refers to those used in electron beam 
lithography, X-ray lithography, and ultraviolet lithography, as well 
as the usual ultraviolet and visible photo-lithography.

    b.2.a. Finished masks, reticles and designs therefor, except:
    b.2.a.1. Finished masks or reticles for the production of 
unembargoed integrated circuits; or
    b.2.a.2. Masks or reticles, having both of the following 
characteristics:
    b.2.a.2.a. Their design is based on geometries of 2.5 micrometer 
or more; and
    b.2.a.2.b. The design does not include special features to alter 
the intended use by means of production equipment or ``software'';
    b.2.b. Mask ``substrates'' as follows:
    b.2.b.1. Hard surface (e.g., chromium, silicon, molybdenum) 
coated ``substrates'' (e.g., glass, quartz, sapphire) for the 
preparation of masks having dimensions exceeding 125 mm x 125 mm; or
    b.2.b.2. ``Substrates'' specially designed for X-ray masks;
    b.2.c. Equipment, other than general purpose computers, 
specially designed for computer aided design (CAD) of semiconductor 
devices or integrated circuits;
    b.2.d. Equipment or machines, as follows, for mask or reticle 
fabrication:
    b.2.d.1. Photo-optical step and repeat cameras capable of 
producing arrays larger than 100 mm x 100 mm, or capable of 
producing a single exposure larger than 6 mm x 6 mm in the image 
(i.e., focal) plane, or capable of producing line widths of less 
than 2.5 micrometer in the photoresist on the ``substrate'';
    b.2.d.2. Mask or reticle fabrication equipment using ion or 
``laser'' beam lithography capable of producing line widths of less 
than 2.5 micrometer; or
    b.2.d.3. Equipment or holders for altering masks or reticles or 
adding pellicles to remove defects;

    Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication 
equipment using photo-optical methods which was either commercially 
available before the 1st January, 1980, or has a performance no 
better than such equipment.

    b.2.e. ``Stored program controlled'' equipment for the 
inspection of masks, reticles or pellicles with:
    b.2.e.1. A resolution of 0.25 micrometer or finer; and
    b.2.e.2. A precision of 0.75 micrometer or finer over a distance 
in one or two coordinates of 63.5 mm or more;

    Note: 3B991.b.2.e does not control general purpose scanning 
electron microscopes except when specially designed and instrumented 
for automatic pattern inspection.

    b.2.f. Align and expose equipment for wafer production using 
photo-optical or X-ray methods, including both projection image 
transfer equipment and step and repeat (direct step on wafer) or 
step and scan (scanner) equipment, capable of performing any of the 
following functions:

    Note: 3B991.b.2.f does not control photo-optical contact and 
proximity mask align and expose equipment or contact image transfer 
equipment.

    b.2.f.1. Production of a pattern size of less than 2.5 
micrometer;
    b.2.f.2. Alignment with a precision finer than <plus-minus>0.25 
micrometer (3 sigma);
    b.2.f.3. Machine-to-machine overlay no better than +0.3 
micrometer; or
    b.2.f.4. A light source wavelength shorter than 400 nm;
    b.2.g. Electron beam, ion beam or X-ray equipment for projection 
image transfer capable of producing patterns less than 2.5 
micrometer;

    Note: For focussed, deflected-beam systems (direct write 
systems), see 3B991.b.1.j or b.10.

    b.2.h. Equipment using ``lasers'' for direct write on wafers 
capable of producing patterns less than 2.5 micrometer.
    b.3. Equipment for the assembly of integrated circuits, as 
follows:
    b.3.a. ``Stored program controlled'' die bonders having all of 
the following characteristics:
    b.3.a.1. Specially designed for ``hybrid integrated circuits'';
    b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm; 
and
    b.3.a.3. Placement accuracy in the X-Y plane of finer than +10 
micrometer;
    b.3.b. ``Stored program controlled'' equipment for producing 
multiple bonds in a single operation (e.g., beam lead bonders, chip 
carrier bonders, tape bonders);
    b.3.c. Semi-automatic or automatic hot cap sealers, in which the 
cap is heated locally to a higher temperature than the body of the 
package, specially designed for ceramic microcircuit packages 
controlled by 3A001 and that have a throughput equal to or more than 
one package per minute.

    Note: 3B991.b.3 does not control general purpose resistance type 
spot welders.

    b.4. Filters for clean rooms capable of providing an air 
environment of 10 or less particles of 0.3 micrometer or smaller per 
0.02832 m<INF>3</INF> and filter materials therefor.


    14. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Telecommunication and Information Security, Part I--
Telecommunications is amended:
    a. By revising the License Exceptions section for ECCN 5A001; and
    b. By revising the List of Items Controlled section for ECCNs 
5A991, 5B001, 5D001, and 5E001; and
    c. By revising the entry heading and List of Items Controlled 
section for ECCN 5E991, as follows:

5A001  Telecommunications systems, equipment, and components.

* * * * *

License Exceptions

LVS: N/A for 5A001.a and b.4
    $5000 for 5A001.b.1, b.2, b.3, b.5, and .d
    $3000 for 5A001.c
GBS: Yes, except 5A001.a and b.4
CIV: Yes, except 5A001.a, b.3 and b.4
* * * * *

5A991  Telecommunication equipment, not controlled by 5A001.

* * * * *

List of Items Controlled

    Unit: $ value.
    Related Controls: N/A.
    Related Definitions: N/A.
    Items:
    a. Any type of telecommunications equipment, not controlled by 
5A001.a, specially designed to operate outside the temperature range 
from 219 K ( -54  deg.C) to 397 K (124  deg.C).
    b. Telecommunication transmission equipment and systems, and 
specially designed components and accessories therefor, having any 
of the following characteristics, functions or features:

    Note: Telecommunication transmission equipment:

    a. Categorized as follows, or combinations thereof:
    1. Radio equipment (e.g., transmitters, receivers and 
transceivers);
    2. Line terminating equipment;
    3. Intermediate amplifier equipment;
    4. Repeater equipment;
    5. Regenerator equipment;
    6. Translation encoders (transcoders);
    7. Multiplex equipment (statistical mutiplex included);
    8. Modulators/demodulators (modems);
    9. Transmultiplex equipment (see CCITT Rec. G701);

[[Page 34077]]

    10. ``Stored program controlled'' digital crossconnection 
equipment;
    11. ``Gateways'' and bridges;
    12. ``Media access units''; and
    b. Designed for use in single or multi-channel communication via 
any of the following:
    1. Wire (line);
    2. Coaxial cable;
    3. Optical fiber cable;
    4. Electromagnetic radiation; or
    5. Underwater acoustic wave propagation.
    b.1. Employing digital techniques, including digital processing 
of analog signals, and designed to operate at a ``digital transfer 
rate'' at the highest multiplex level exceeding 45 Mbit/s or a 
``total digital transfer rate'' exceeding 90 Mbit/s;

    Note: 5A991.b.1 does not control equipment specially designed to 
be integrated and operated in any satellite system for civil use.

    b.2. Modems using the ``bandwidth of one voice channel'' with a 
``data signalling rate'' exceeding 9,600 bits per second;
    b.3. Being ``stored program controlled'' digital cross connect 
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per 
port.
    b.4. Being equipment containing any of the following:
    b.4.a. ``Network access controllers'' and their related common 
medium having a ``digital transfer rate'' exceeding 33 Mbit/s; or
    b.4.b. ``Communication channel controllers'' with a digital 
output having a ``data signalling rate'' exceeding 64,000 bit/s per 
channel;

    Note: If any uncontrolled equipment contains a ``network access 
controller'', it cannot have any type of telecommunications 
interface, except those described in, but not controlled by 
5A991.b.4.

    b.5. Employing a ``laser'' and having any of the following 
characteristics:
    b.5.a. A transmission wavelength exceeding 1,000 nm; or
    b.5.b. Employing analog techniques and having a bandwidth 
exceeding 45 MHz;

    Note: 5A991.b.5.b does not control commercial TV systems.

    b.5.c. Employing coherent optical transmission or coherent 
optical detection techniques (also called optical heterodyne or 
homodyne techniques);
    b.5.d. Employing wavelength division multiplexing techniques; or
    b.5.e. Performing ``optical amplification'';
    b.6. Radio equipment operating at input or output frequencies 
exceeding:
    b.6.1. 31 GHz for satellite-earth station applications; or
    b.6.2. 26.5 GHz for other applications;

    Note: 5A991.b.6 does not control equipment for civil use when 
conforming with an International Telecommunications Union (ITU) 
allocated band between 26.5 GHz and 31 GHz.

    b.7. Being radio equipment employing any of the following:
    b.7.a. Quadrature-amplitude-modulation (QAM) techniques above 
level 4 if the ``total digital transfer rate'' exceeds 8.5 Mbit/s;
    b.7.b. QAM techniques above level 16 if the ``total digital 
transfer rate'' is equal to or less than 8.5 Mbit/s; or
    b.7.c. Other digital modulation techniques and having a 
``spectral efficiency'' exceeding 3 bit/sec/Hz;

    Notes:  1. 5A991.b.7 does not control equipment specially 
designed to be integrated and operated in any satellite system for 
civil use.
    2. 5A991.b.7 does not control radio relay equipment for 
operation in an ITU allocated band:
    a. Having any of the following:
    a.1. Not exceeding 960 MHz; or
    a.2. With a ``total digital transfer rate'' not exceeding 8.5 
Mbit/s; and

    b. Having a ``spectral efficiency'' not exceeding 4 bit/sec/Hz.
    b.8. Providing functions of digital ``signal processing'' as 
follows:
    b.8.a. Voice coding at rates less than 2,400 bit/s;
    b.8.b. Employing circuitry that incorporates ``user-accessible 
programmability'' of digital ``signal processing'' circuits 
exceeding the limits of 4A003.b.
    c. ``Stored program controlled'' switching equipment and related 
signalling systems, having any of the following characteristics, 
functions or features, and specially designed components and 
accessories therefor:

    Note: Statistical multiplexers with digital input and digital 
output which provide switching are treated as ``stored program 
controlled'' switches.

    c.1. ``Data (message) switching'' equipment or systems designed 
for ``packet-mode operation'' and assemblies and components 
therefor, n.e.s.
    c.2. Containing ``Integrated Services Digital Network'' (ISDN) 
functions and having any of the following:
    c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a 
``digital transfer rate'' at the highest multiplex level exceeding 
192,000 bit/s, including the associated signalling channel (e.g., 
2B+D); or
    c.2.b. The capability that a signalling message received by a 
switch on a given channel that is related to a communication on 
another channel may be passed through to another switch.

    Note: 5A991.c does not preclude the evaluation and appropriate 
actions taken by the receiving switch or unrelated user message 
traffic on a D channel of ISDN.

    c.3. Routing or switching of ``datagram'' packets;
    c.4. Routing or switching of ``fast select'' packets;

    Note: The restrictions in 5A991.c.3 and c.4 do not apply to 
networks restricted to using only ``network access controllers'' or 
to ``network access controllers'' themselves.

    c.5. Multi-level priority and pre-emption for circuit switching;

    Note: 5A991.c.5 does not control single-level call preemption.

    c.6. Designed for automatic hand-off of cellular radio calls to 
other cellular switches or automatic connection to a centralized 
subscriber data base common to more than one switch;
    c.7. Containing ``stored program controlled'' digital 
crossconnect equipment with ``digital transfer rate'' exceeding 8.5 
Mbit/s per port.
    c.8. ``Common channel signalling'' operating in either non-
associated or quasi-associated mode of operation;
    c.9. ``Dynamic adaptive routing'';

    Note: 5A991.c.10 does not control packet switches or routers 
with ports or lines not exceeding the limits in 5A991.c.10.

    c.10. Being packet switches, circuit switches and routers with 
ports or lines exceeding any of the following:
    c.10.a. A ``data signalling rate'' of 64,000 bit/s per channel 
for a ``communications channel controller''; or

    Note: 5A991.c.10.a does not control multiplex composite links 
composed only of communication channels not individually controlled 
by 5A991.b.1.

    c.10.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network 
access controller'' and related common media;
    c.11. ``Optical switching'';
    c.12. Employing ``Asynchronous Transfer Mode (``ATM'') 
techniques.
    d. Optical fibers and optical fiber cables of more than 50 m in 
length designed for single mode operation;
    e. Centralized network control having all of the following 
characteristics:
    e.1. Receives data from the nodes; and
    e.2. Process these data in order to provide control of traffic 
not requiring operator decisions, and thereby performing ``dynamic 
adaptive routing'';

    Note: 5A991.e does not preclude control of traffic as a function 
of predictable statistical traffic conditions.

    f. Phased array antennae, operating above 10.5 GHz, containing 
active elements and distributed components, and designed to permit 
electronic control of beam shaping and pointing, except for landing 
systems with instruments meeting International Civil Aviation 
Organization (ICAO) standards (microwave landing systems (MLS)).
    g. Mobile communications equipment, n.e.s., and assemblies and 
components therefor; or
    h. Radio relay communications equipment designed for use at 
frequencies equal to or exceeding 19.7 GHz and assemblies and 
components therefor, n.e.s.

5B001--Telecommunication test, inspection and production equipment, as 
follows (See List of Items Controlled).

* * * * *

List of Items Controlled

    Unit: Equipment in number; parts and accessories in $ value.
    Related Controls: See also 5B991.
    Related Definition: N/A.
    Items:
    a. Equipment and specially designed components or accessories 
therefor, specially designed for the ``development'', ``production'' 
or ``use'' of equipment, functions or features controlled by 5A001, 
5D001 or 5E001.

    Note: 5B001.a. does not control optical fiber characterization 
equipment not using semiconductor ``lasers''.


[[Page 34078]]


    b. Equipment and specially designed components or accessories 
therefor, specially designed for the ``development'' of any of the 
following telecommunication transmission or ``stored program 
controlled'' switching equipment:
    b.1. Equipment employing digital techniques, including 
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a 
``total digital transfer rate'' exceeding 1.5 Gbit/s;
    b.2. Equipment employing a ``laser'' and having any of the 
following:
    b.2.a. A transmission wavelength exceeding 1750 nm;
    b.2.b. Performing ``optical amplification'';
    b.2.c. Employing coherent optical transmission or coherent 
optical detection techniques (also called optical heterodyne or 
homodyne techniques); or
    b.2.d. Employing analogue techniques and having a bandwidth 
exceeding 2.5 GHz;

    Note: 5B001.b.2.d. does not include equipment specially designed 
for the ``development'' of commercial TV systems.

    b.3. Equipment employing ``optical switching'';
    b.4. Radio equipment having any of the following:
    b.4.a. Quadrature-amplitude-modulation (QAM) techniques above 
level 128; or
    b.4.b. Operating at input or output frequencies exceeding 31 
GHz; or

    Note: 5B001.b.4.b. does not include equipment specially designed 
for the ``development'' of equipment designed or modified for 
operation in any ITU allocated band.

    b.5. Equipment employing ``common channel signalling'' operating 
in either the non-associated mode of operation.

5D001  ``Software'', as described in the List of Items Controlled.

* * * * *

List of Items Controlled

    Unit: $ value.
    Related Controls: See also 5D991.
    Related Definitions: N/A.
    Items:
    a. ``Software'' specially designed or modified for the 
``development'', ``production'' or ``use'' of equipment, functions 
or features controlled by 5A001 or 5B001.
    b. ``Software'' specially designed or modified to support 
``technology'' controlled by 5E001.
    c. Specific ``software'' as follows:
    c.1. ``Software'' specially designed or modified to provide 
characteristics, functions or features of equipment controlled by 
5A001 or 5B001;
    c.2. ``Software'' which provides the capability of recovering 
``source code'' of telecommunications ``software'' controlled by 
5D001;
    c.3. ``Software'', other than in machine-executable form, 
specially designed for ``dynamic adaptive routing''.
    d. ``Software'' specially designed or modified for the 
``development'' of any of the following telecommunication 
transmission or ``stored program controlled'' switching equipment:
    d.1. Equipment employing digital techniques, including 
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a 
``total digital transfer rate'' exceeding 1.5 Gbit/s;
    d.2. Equipment employing a ``laser'' and having any of the 
following:
    d.2.a. A transmission wavelength exceeding 1750 nm; or
    d.2.b. Employing analogue techniques and having a bandwidth 
exceeding 2.5 GHz;

    Note: 5D001.d.2.b does not include ``software'' specially 
designed or modified for the ``development'' of commercial TV 
systems.

    d.3. Equipment employing ``optical switching''; or
    d.4. Radio equipment having any of the following:
    d.4.a. Quadrature-amplitude-modulation (QAM) techniques above 
level 128; or
    d.4.b. Operating at input or output frequencies exceeding 31 
GHz.

    Note: 5D001.d.4.b does not include ``software'' specially 
designed or modified for the ``development'' of equipment designed 
or modified for operation in any ITU allocated band.

5E001  ``Technology'', (see List of Items Controlled).

* * * * *

List of Items Controlled

    Unit: $ value.
    Related Controls: See also 5E101 and 5E991.
    Related Definitions: N/A.
    Items:
    a. ``Technology'' according to the General Technology Note for 
the ``development'', ``production'' or ``use'' (excluding operation) 
of equipment, functions or features or ``software'' controlled by 
5A001, 5B001 or 5D001.
    b. Specific ``technologies'', as follows:
    b.1. ``Required'' ``technology'' for the ``development'' or 
``production'' of telecommunications equipment specially designed to 
be used on board satellites;
    b.2. ``Technology'' for the ``development'' or ``use'' of 
``laser'' communication techniques with the capability of 
automatically acquiring and tracking signals and maintaining 
communications through exoatmosphere or sub-surface (water) media;
    b.3. ``Technology'' for the ``development'' of digital cellular 
radio systems;
    b.4. ``Technology'' for the ``development'' of ``spread 
spectrum'' or ``frequency agility'' (frequency hopping) techniques.
    c. ``Technology'' according to the General Technology Note for 
the ``development'' or ``production'' of any of the following 
telecommunication transmission or ``stored program controlled'' 
switching equipment, functions or features:
    c.1. Equipment employing digital techniques, including 
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a 
``total digital transfer rate'' exceeding 1.5 Gbit/s;
    c.2. Equipment employing a ``laser'' and having any of the 
following:
    c.2.a. A transmission wavelength exceeding 1750 nm;
    c.2.b. Performing ``optical amplification'' using praseodymium-
doped fluoride fiber amplifiers (PDFFA);
    c.2.c. Employing coherent optical transmission or coherent 
optical detection techniques (also called optical heterodyne or 
homodyne techniques);
    c.2.d. Employing wavelength division multiplexing techniques 
exceeding 8 optical carriers in a single optical window; or
    c.2.e. Employing analogue techniques and having a bandwidth 
exceeding 2.5 GHz;

    Note: 5E001.c.2.e does not include ``technology'' for the 
``development'' of commercial TV systems.

    c.3. Equipment employing ``optical switching''; or
    c.4. Radio equipment having any of the following:
    c.4.a. Quadrature-amplitude-modulation (QAM) techniques above 
level 128; or
    c.4.b. Operating at input or output frequencies exceeding 31 
Ghz; or

    Note: 5E001.c.4.b does not include ``technology'' for the 
``development'' of equipment designed or modified for operation in 
any ITU allocated band.

    c.5. Equipment employing ``common channel signalling'' operating 
in either non-associated or quasi-associated mode of operation.

5E991  ``Technology'' for the ``Development'', ``Production'' or 
``Use'' of Equipment Controlled by 5A991 or 5B991, or ``Software'' 
Controlled by 5D991, and Other ``Technologies'' as Follows (see List of 
Items Controlled)

* * * * *

List of Items Controlled

    Unit: $ value.
    Related Controls: N/A.
    Related Definitions: N/A.
    Items:
    a. Specific ``technologies'' as follows:
    a.1. ``Technology'' for the processing and application of 
coatings to optical fiber specially designed to make it suitable for 
underwater use;
    a.2. ``Technology'' for the ``development'' of equipment 
employing ``Synchronous Digital Hierarchy'' (``SDH'') or 
``Synchronous Optical Network''(``SONET'') techniques.


    15. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 6--Sensors and Lasers, ECCN 6A003 is amended by revising the 
List of Items Controlled section, as follows:

6A003  Cameras

* * * * *

List of Items Controlled

    Unit: Number.
    Related Controls: See also 6A203. See 8A002.d and .e for cameras 
specially designed or modified for underwater use.
    Related Definitions: N/A.
    Items:
    a. Instrumentation cameras, as follows:
    a.1. High-speed cinema recording cameras using any film format 
from 8 mm to 16 mm inclusive, in which the film is continuously 
advanced throughout the recording period,

[[Page 34079]]

and that are capable of recording at framing rates exceeding 13,150 
frames/s;

    Note: 6A003.a.1 does not control cinema recording cameras 
designed for civil purposes.

    a.2. Mechanical high speed cameras, in which the film does not 
move, capable of recording at rates exceeding 1,000,000 frames/s for 
the full framing height of 35 mm film, or at proportionately higher 
rates for lesser frame heights, or at proportionately lower rates 
for greater frame heights;
    a.3. Mechanical or electronic streak cameras having writing 
speeds exceeding 10 mm/<greek-m>s;
    a.4. Electronic framing cameras having a speed exceeding 
1,000,000 frames/s;
    a.5. Electronic cameras, having all of the following:
    a.5.a. An electronic shutter speed (gating capability) of less 
than 1 <greek-m>s per full frame; and
    a.5.b. A read out time allowing a framing rate of more than 125 
full frames per second.
    b. Imaging cameras, as follows:

    Note: 6A003.b does not control television or video cameras 
specially designed for television broadcasting.

    b.1. Video cameras incorporating solid state sensors, having any 
of the following:
    b.1.a. More than 4  x  10<SUP>6</SUP> ``active pixels'' per 
solid state array for monochrome (black and white) cameras;
    b.1.b. More than 4  x  10<SUP>6</SUP> ``active pixels'' per 
solid state array for color cameras incorporating three solid state 
arrays; or
    b.1.c. More than 12  x  10<SUP>6</SUP> ``active pixels'' for 
solid state array color cameras incorporating one solid state array;
    b.2. Scanning cameras and scanning camera systems, having all of 
the following:
    b.2.a. Linear detector arrays with more than 8,192 elements per 
array; and
    b.2.b. Mechanical scanning in one direction;
    b.3. Imaging cameras incorporating image intensifier tubes 
having the characteristics listed in 6A002.a.2.a;
    b.4. Imaging cameras incorporating ``focal plane arrays'' having 
the characteristics listed in 6A002.a.3.

    Note: 6A003.b.4 does not control imaging cameras incorporating 
linear ``focal plane arrays'' with twelve elements or fewer, not 
employing time-delay-and-integration with the element, designed for 
any of the following:

    a. Industrial or civilian intrusion alarm, traffic or industrial 
movement control or counting systems;
    b. Industrial equipment used for inspection or monitoring of 
heat flows in buildings, equipment or industrial processes;
    c. Industrial equipment used for inspection, sorting or analysis 
of the properties of materials;
    d. Equipment specially designed for laboratory use; or
    e. Medical equipment.


    Dated: May 18, 2000.
R. Roger Majak,
Assistant Secretary for Export Administration.
[FR Doc. 00-13252 Filed 5-25-00; 8:45 am]
BILLING CODE 3510-33-P