Federal Register / Vol. 65, No. 103 / Friday, May 26, 2000 / Rules and Regulations 34073

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.

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 DualUse 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 crossreference 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 antiterrorism reasons.

ECCN 6A003 is amended by adding a

dash to the phrase ‘‘time-delay-and

integration’’ to read ‘‘time-delay-andintegration’’. 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 (AntiTerrorism 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

34074 Federal Register / Vol. 65, No. 103 / Friday, May 26, 2000 / Rules and Regulations

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-andintegration’’ 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

Federal Register / Vol. 65, No. 103 / Friday, May 26, 2000 / Rules and Regulations 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]

§ 742.8 [Amended]

6. § 742.8 is amended by revising

‘‘5A991.f’’ in paragraph (a)(2), to read

‘‘5A991.g’’.

§ 742.10 [Amended]

7. § 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]

§ 743.1 [Amended]

9. § 743.1(c)(1)(v) is amended two

places by revising ‘‘5A001.b.8’’, to read

‘‘5A001.b.3’’.

PART 746—[AMENDED]

§ 746.7 [Amended]

10. § 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 2.5×105 Pa; or b.1.c.2.c. Capable of

pulling crystals of a diameter exceeding 100

mm;

b.1.d. ‘‘Stored program controlled’’

equipment for epitaxial growth having any of

the following characteristics:

b.1.d.1. Capable of producing a layer

thickness uniformity across the wafer of

equal to or better than ±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 photoenhanced 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 105 Pa; or

b.1.i.2. PECVD equipment operating either

below 60 Pa (450 millitorr) or having

automatic cassette-to-cassette and load lock

wafer handling;

Note: 3B991.b.1.i does not control low

pressure ‘‘chemical vapor deposition’’

(LPCVD) systems or reactive ‘‘sputtering’’

equipment.

b.1.j. Electron beam systems specially

designed or modified for mask making or

semiconductor device processing having any

of the following characteristics:

b.1.j.1. Electrostatic beam deflection;

b.1.j.2. Shaped, non-Gaussian beam profile;

b.1.j.3. Digital-to-analog conversion rate

exceeding 3 MHz;

34076 Federal Register / Vol. 65, No. 103 / Friday, May 26, 2000 / Rules and Regulations

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 twosigma value of 2 micrometer or less, total

indicator reading (TIR);

Note: 3B991.b.1.k does not control singleside lapping and polishing equipment for

wafer surface finishing.

b.1.l. Interconnection equipment which

includes common single or multiple vacuum

chambers specially designed to permit the

integration of any equipment controlled by

3B991 into a complete system;

b.1.m. ‘‘Stored program controlled’’

equipment using ‘‘lasers’’ for the repair or

trimming of ‘‘monolithic integrated circuits’’

with either of the following characteristics:

b.1.m.1. Positioning accuracy less than ± 1

micrometer; or

b.1.m.2. Spot size (kerf width) less than 3

micrometer.

b.2. Masks, mask ‘‘substrates’’, maskmaking 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 Xray 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 photooptical contact and proximity mask align and

expose equipment or contact image transfer

equipment.

b.2.f.1. Production of a pattern size of less

than 2.5 micrometer;

b.2.f.2. Alignment with a precision finer

than ±0.25 micrometer (3 sigma);

b.2.f.3. Machine-to-machine overlay no

better than +0.3 micrometer; or

b.2.f.4. A light source wavelength shorter

than 400 nm;

b.2.g. Electron beam, ion beam or X-ray

equipment for projection image transfer

capable of producing patterns less than 2.5

micrometer;

Note: For 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 m3 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 °C) to

397 K (124 °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);

Federal Register / Vol. 65, No. 103 / Friday, May 26, 2000 / Rules and Regulations 34077

10. ‘‘Stored program controlled’’ digital

crossconnection equipment;

11. ‘‘Gateways’’ and bridges;

12. ‘‘Media access units’’; and

b. Designed for use in single or multichannel 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 singlelevel 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 quasiassociated 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’’.

34078 Federal Register / Vol. 65, No. 103 / Friday, May 26, 2000 / Rules and Regulations

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 machineexecutable 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 nonassociated 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,

Federal Register / Vol. 65, No. 103 / Friday, May 26, 2000 / Rules and Regulations 34079

1We originally adopted the Filer Manual on April

1, 1993, with an effective date of April 26, 1993.

Release No. 33–6986 (Apr. 1, 1993) (58 FR 18638).

We implemented the most recent update to the Filer

Manual on January 24, 2000. See Release No. 33–

7789 (January 20, 2000) (65 FR 3123).

2This is the Filer Assistance software we provide

filers filing on the EDGAR system.

3See Rule 301 Regulation S–T (17 CFR 232.301).

4See Release Nos. 33–6977 (Feb. 23, 1993) (58 FR

14628), IC–19284 (Feb. 23, 1993) (58 FR 14848), and

35–25746 (Feb. 23, 1993) (58 FR 14999), and 33–

6980 (Feb. 23, 1993) (58 FR 15009) in which we

comprehensively discuss the rules we adopted to

govern mandated electronic filing. See also Release

No. 33–7122 (Dec. 19, 1994) (59 FR 67752), in

which we made the EDGAR rules final and

applicable to all domestic registrants; Release No.

33–7427 (July 1, 1997) (62 FR 36450), in which we

Continued

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/μs;

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 μs 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 × 106 ‘‘active pixels’’ per

solid state array for monochrome (black and

white) cameras;

b.1.b. More than 4 × 106 ‘‘active pixels’’ per

solid state array for color cameras

incorporating three solid state arrays; or

b.1.c. More than 12 × 106 ‘‘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

SECURITIES AND EXCHANGE

COMMISSION

17 CFR Part 232

[Release Nos. 33–7858; 34–42789; 35–

27177; 39–2385; IC–24455]

RIN 3235–AG96

Adoption of Updated EDGAR Filer

Manual

AGENCY: Securities and Exchange

Commission.

ACTION: Final rule.

SUMMARY: The Commission is adopting

revisions to the EDGAR Filer Manual

and is providing for their incorporation

by reference into the Code of Federal

Regulations. In conjunction with the

transition to the new capabilities made

available in EDGAR Release 7.0, we will

be redesignating the components of the

Filer Manual into three parts: Volume I

discusses the old (Legacy) EDGAR filing

system; Volume II discusses modernized

EDGAR and all its new features; and the

N–SAR Supplement discusses the filing

of N–SAR documents. Today, we are

adopting new provisions to the Filer

Manual that describe the modernized

EDGAR system implemented in EDGAR

Release 7.0. These new provisions are

designated as Volume II of the EDGAR

Manual.

EFFECTIVE DATE: May 30, 2000. The

revisions to the EDGAR Filer Manual

(Release 7.0), contained in Volume II—

Modernized EDGARLink, will be

effective on May 30, 2000. The

incorporation by reference of the

EDGAR Filer Manual is approved by the

Director of the Federal Register as of

May 30, 2000.

FOR FURTHER INFORMATION CONTACT: In

the Office of Information Technology,

Richard Heroux at (202) 942–8800; for

questions concerning investment

company filings, Ruth Armfield

Sanders, Senior Special Counsel, or

Shaswat K. Das, Attorney, Division of

Investment Management, at (202) 942–

0978; and for questions concerning

Corporation Finance company filings,

Herbert Scholl, Office Chief, EDGAR

and Information Analysis, Division of

Corporation Finance, at (202) 942–2930.

SUPPLEMENTARY INFORMATION: Today we

are adopting a new Volume II of the

EDGAR Filer Manual (‘‘Filer Manual’’),

which describes the technical

formatting requirements for the

preparation and submission of

electronic filings through the Electronic

Data Gathering, Analysis, and Retrieval

(EDGAR) system.1 Volume II describes

the requirements for filing using the

new EDGARLink.2

Previously, the EDGAR Manual was

composed of two parts. With the

addition of Volume II, the EDGAR

Manual will consist of three parts

because we will be maintaining two

separate software applications for the

preparation and transmission of filings

until at least November 1, 2000. We are

doing this to provide filers abundant

time to transition to the new

modernized system.

Volume II of the Manual contains all

the new technical specifications for

filers to submit filings using the new

modernized EDGAR system available in

Release 7.0. The specifications include

features that will be available for the

first time to filers using the new

EDGARLink software, such as expanded

hyperlinks, graphics, and filing over the

Internet.

We also plan shortly to adopt revised

versions of the remaining parts of the

Manual. These revisions will reflect the

limited changes effected by EDGAR

Release 7.0 to the Legacy EDGAR

systems and Form N–SAR filing. Until

we do, the provisions of EDGAR Manual

Release 6.75 and N–SAR Supplement

for Release 6.1 will continue to apply to

filers using the Legacy EDGAR system

and to filers filing Form N–SAR.

Filers must comply with the

applicable provisions of the Filer

Manual in order to assure the timely

acceptance and processing of filings

made in electronic format.3 Filers

should consult the Filer Manual in

conjunction with our rules governing

mandated electronic filing when

preparing documents for electronic

submission.4