52956 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 740, 743, 772 and 774 

[Docket No. 060807211–6211–01] 

RIN 0694–AD 73 

December 2005 Wassenaar 

Arrangement Plenary Agreement 

Implementation: Categories 1, 2, 3, 5 

Part I (Telecommunications), 5 Part II 

(Information Security), 6, 8, and 9 of 

the Commerce Control List; 

Wassenaar Reporting Requirements; 

Definitions; and Certain New or 

Expanded Export Controls 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Final rule. 

SUMMARY: The Bureau of Industry and 

Security (BIS) maintains the Commerce 

Control List (CCL), which identifies 

items subject to Department of 

Commerce export controls. This final 

rule revises the Export Administration 

Regulations (EAR) to implement 

changes made to the Wassenaar 

Arrangement’s List of Dual-Use Goods 

and Technologies (Wassenaar List), and 

Statements of Understanding 

maintained and agreed to by 

governments participating in the 

Wassenaar Arrangement on Export 

Controls for Conventional Arms and 

Dual-Use Goods and Technologies 

(Wassenaar Arrangement, or WA.) The 

Wassenaar Arrangement advocates 

implementation of effective export 

controls on strategic items with the 

objective of improving regional and 

international security and stability. To 

accommodate the changes to the 

Wassenaar List, this rule revises the 

EAR by amending certain entries that 

are controlled for national security 

reasons in Categories 1, 2, 3, 5 Part I 

(Telecommunications), 5 Part II 

(Information Security), 6, 8, and 9, and 

by amending the EAR Definitions. 

The purpose of this final rule is to 

make the necessary changes to the CCL, 

definitions of terms used in the EAR, 

and Wassenaar reporting requirements 

to implement Wassenaar List revisions 

that were agreed upon in the December 

2005 Wassenaar Arrangement Plenary 

Meeting. In addition, this rule adds 

Croatia, Estonia, Latvia, Lithuania, 

South Africa, and Malta to the list of 

Wassenaar participating states in the 

EAR, which brings the total number of 

participating states to 40. 

This rule also adds or expands 

unilateral U.S. controls and national 

security controls on certain items to 

make them consistent with the 

amendments made to implement the 

Wassenaar Arrangement’s decisions. 

DATES: Effective Date: This rule is 

effective September 7, 2006. 

FOR FURTHER INFORMATION CONTACT: For 

questions of a general nature contact 

Sharron Cook, Office of Exporter 

Services, Bureau of Industry and 

Security, U.S. Department of Commerce 

at (202) 482–2440 or E-Mail: 

scook@bis.doc.gov. 

For questions of a technical nature 

contact: 

Category 1: Bob Teer 202–482–4749. 

Category 2: George Loh 202–482– 

3570. 

Category 3: Brian Baker 202–482– 

5534. 

Category 5 Part 1: Joe Young 202– 

482–4197. 

Category 5 Part 2: Joe Young 202– 

482–4197. 

Category 6: Chris Costanzo 202–482– 

0718. 

Categories 7 and 8: Dan Squire 202– 

482–3710. 

Categories 8 and 9: Gene Christensen 

202–482–2984. 

Comments regarding the collections of 

information associated with this rule, 

including suggestions for reducing the 

burden, should be sent to OMB Desk 

Officer, New Executive Office Building, 

Washington, DC 20503—Attention: 

David Rostker; and to the Office of 

Administration, Bureau of Industry and 

Security, Department of Commerce, 

14th and Pennsylvania Avenue, NW., 

Room 6883, Washington, DC 20230. 

SUPPLEMENTARY INFORMATION: 

Background 

In July 1996, the United States and 

thirty-three other countries gave final 

approval to the establishment of a new 

multilateral export control arrangement, 

called the Wassenaar Arrangement on 

Export Controls for Conventional Arms 

and Dual-Use Goods and Technologies 

(Wassenaar Arrangement or WA). The 

Wassenaar Arrangement contributes to 

regional and international security and 

stability by promoting transparency and 

greater responsibility in transfers of 

conventional arms and dual-use goods 

and technologies, thus preventing 

destabilizing accumulations of such 

items. Participating states have 

committed to exchange information on 

exports of dual-use goods and 

technologies to non-participating states 

for the purposes of enhancing 

transparency and assisting in 

developing common understandings of 

the risks associated with the transfers of 

these items. 

Addition of Croatia, Estonia, Latvia, 

Lithuania, Malta, and South Africa 

In April–June 2005, consultations 

resulted in decisions to admit Croatia, 

Estonia, Latvia, Lithuania and Malta to 

the Wassenaar Arrangement as new 

Participating States, and in December 

2005 at the Plenary meeting, South 

Africa was added as a new Participating 

State. To reflect this change, this rule 

adds Croatia, Estonia, Latvia, Lithuania, 

Malta, and South Africa to the list of 

Wassenaar Arrangement Participating 

States in Supplement No. 1 to Part 743 

of the EAR. 

Expansion or New Export Controls 

New or expanded anti-terrorism (AT) 

controls imposed by this rule. This rule 

imposes a unilateral U.S. license 

requirement to export and reexport 

commodities (and related software and 

technology) controlled under ECCNs 

1E998, 2B006.b.1.d, 2D001, 2E001, 

2E002, 2E201, 5A001.f, 5A002.a.9, 

5D001, 5D002 , 5E001, 5E002, 6A006.b, 

6D003.f, 6E003.f, 9A012.b, 9B010, 

9E001, 9E003.a.11 for AT reasons to 

Cuba, Iran, North Korea, Sudan and 

Syria, in addition to the national 

security controls imposed to implement 

the Wassenaar Arrangement’s decisions, 

because under Section 6(j) of the Export 

Administration Act of 1979 a license is 

required for items that could make a 

significant contribution to the military 

potential of such country or could 

enhance the ability of such country to 

support acts of international terrorism. 

There is a general policy of denial for 

applications to terrorism supporting 

countries, as set forth in Part 742 of the 

EAR. In addition, certain of these 

countries are also subject to embargoes, 

as set forth in Part 746 of the EAR and 

Supplement No. 1 to Part 736 of the 

EAR for Syria. A license is also required 

for the export and reexport of these 

items to specially designated terrorists 

and foreign terrorist organizations, as set 

forth in Part 744 of the EAR; license 

applications to these parties are 

reviewed under a general policy of 

denial. 

New or expanded significant items 

(SI) controls imposed by this rule. 

Through the adoption of revisions by 

WA, this rule imposes foreign policy 

controls pursuant to section 6 of the 

Export Administration Act of 1979, as 

amended to export and reexport 

technology required for the 

development, production or overhaul of 

commercial aircraft engines controlled 

under ECCN 9E003.a.11 for SI reasons to 

all countries, except Canada, in addition 

to the national security controls 

imposed to implement the Wassenaar 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52957 

Arrangement’s decisions. Applications 

to export and reexport this technology 

will be reviewed on a case-by-case basis 

to determine whether the export or 

reexport is consistent with U.S. national 

security and foreign policy interests. For 

designated terrorism-supporting 

countries or embargoed countries, the 

applicable licensing policies are found 

in Parts 742 and 746 of the EAR, and 

Supplement No. 1 to Part 736 of the 

EAR for Syria. 

New or expanded NS Column 2 

controls imposed by this rule. This rule 

imposes a license requirement under 

section 742.4(a) of the EAR for exports 

and reexports of commodities (and 

related software and technology) 

described in ECCNs 2B006.b.1.d, 

5A001.f, 6A006.b, to destinations that 

are not Country Group A:1 destinations, 

or that are not cooperating countries 

(see Supplement No. 1 to Part 740 of the 

EAR). These destinations have an ‘‘X’’

indicated in NS column 2 on the 

Commerce Country Chart of 

Supplement No. 1 to Part 738 of the 

EAR. The purpose of the controls is to 

ensure that these items do not make a 

contribution to the military potential of 

such destination countries that would 

prove detrimental to the national 

security of the United States. For 

designated terrorism-supporting 

countries or embargoed countries, the 

applicable licensing policies are found 

in Parts 742 and 746 of the EAR, and 

Supplement No. 1 to Part 736 of the 

EAR for Syria. 

New or expanded NS Column 1 

controls imposed by this rule. This rule 

imposes a license requirement under 

section 742.4(a) of the EAR for exports 

and reexports to all destinations, except 

Canada, of commodities (and related 

software and technology) described in 

ECCNs 2D001, 2E001, 2E002, 5A002.a.9, 

5D002, 5E002, 6D003.f, 6E003.f, 

9A012.b, 9B010, 9D001 and 9D002 (only 

software for the development and 

production of equipment classified 

under ECCN 9B010), 9E001 (only 

technology for the development of 

equipment under ECCNs 9A012 and 

9B010), and 9E003.a.11. These 

destinations have an ‘‘X’’ indicated in 

NS column 1 on the Commerce Country 

Chart of Supplement No. 1 to Part 738. 

The purpose of the controls is to ensure 

that these items do not make a 

contribution to the military potential of 

any other country or combination of 

countries that would prove detrimental 

to the national security of the United 

States. For designated terrorismsupporting countries or embargoed 

countries, the applicable licensing 

policies are found in Parts 742 and 746 

of the EAR, and Supplement No. 1 to 

Part 736 of the EAR for Syria. 

The licensing policy for national 

security controlled items exported or 

reexported to any country except a 

country in Country Group D:1 (see 

Supplement No. 1 to Part 740 of the 

EAR) is to approve license applications 

unless there is a significant risk that the 

items will be diverted to a country in 

Country Group D:1. The general policy 

for exports and reexport of items to 

Country Group D:1 is to approve license 

applications when BIS determines, on a 

case-by-case basis, that the items are for 

civilian use or would otherwise not 

make a significant contribution to the 

military potential of the country of 

destination that would prove 

detrimental to the national security of 

the United States. 

Revisions to the Commerce Control List 

This rule revises a number of entries 

on the Commerce Control List (CCL) to 

implement the December 2005 agreed 

revisions to the Wassenaar List of DualUse Goods and Technologies. This rule 

also revises language to provide a 

complete or more accurate description 

of controls. A description of the specific 

amendments to the CCL pursuant to the 

December 2005 Wassenaar Agreement is 

provided below. The ECCNS affected, as 

described below, are 1C008, 1C998, 

1E001, 1E998, 2B002, 2B006, 2E201, 

3A001, 3B001, 3B991, 3E001, 5A001, 

5A002, 5A991, 5D001, 5D991, 6A006, 

6D003, 6E003, 8A002, 9A001, 9A012, 

9B010 (New), 9D001, 9D002, 9D004, 

9E001, 9E002, and 9E003. 

Category 1—Materials, Chemicals, 

‘‘Microorganisms,’’ and Toxins 

ECCN 1C008 is amended by removing 

and reserving 1C008.c.1, because foreign 

availability has been proven, and 

continued national security control 

cannot be justified any longer. 

ECCN 1C998 is added to continue 

antiterrorism (AT) controls on polyether 

ether ketone (PEEK), which was 

removed from 1C008.c.1. Therefore, the 

materials no longer controlled under 

ECCN 1C008 continue to be controlled 

for AT reasons under ECCN 1C998 for 

exports and reexports to designated 

terrorism-supporting countries, as set 

forth in Parts 742 and 746 of the EAR, 

and as indicated in AT Column 1 of the 

Commerce Country Chart in 

Supplement No. 1 to Part 738 of the 

EAR. 

ECCN 1E001 is amended by revising 

the heading to exclude control of 

development and production 

technology for ECCNs 1B999, 1C995, 

1C996, 1C997, 1C998, and 1C999, 

because none of these technologies are 

controlled on the Wassenaar List of 

Dual-Use Goods and Technologies. 

Note: This rule adds technology for 

commodities controlled by ECCNs 1B999, 

1C995, 1C996, 1C997, and 1C999 to ECCN 

1E998, which is controlled for antiterrorism 

reasons (AT:1). 

ECCN 1E998 is added to maintain AT 

controls on technology for the 

development or production of materials 

that were controlled under 1C008.c.1 

and are now controlled by ECCN 1C998. 

In addition, references to ECCNs 1B999, 

1C995, 1C996, 1C997, and 1C999 have 

been moved from ECCN 1E001 to ECCN 

1E998 to maintain AT controls on 

technology for the development or 

production of processing equipment and 

materials described in these ECCNs. 

Category 2—Materials Processing 

ECCN 2B002 is amended by adding to 

the heading ‘‘(see List of Items 

Controlled),’’ and adding parameters for 

control of numerically controlled 

machine tools using a 

Magnetorheological finishing (MRF) 

process. 

Note: MRF tools are mostly used for optical 

components; therefore optical parameters 

were selected to describe the capability of the 

machines. One set of such parameters are 

form and finish; form referring to the shape 

of the optic and finish to the surface 

roughness. A form value describes how close 

the actual shape of the optic is to the design 

and finish value describes how smooth the 

surface is. MRF tools, such as interferometers 

and profilers are typically used to measure 

form, while profilometers and scatterometers 

are used to measure finish. 

ECCN 2B006 is amended by: 

a. Revising the NP paragraph in the 

License Requirements section, to except 

2B006.b.1.d from NP controls because 

electronic assemblies do not appear 

under the Nuclear Suppliers Group 

Annex item 1.B.3; 

b. Adding paragraph 2B006.b.1.d to 

control electronic assemblies specially 

designed to provide feedback capability 

in systems controlled by 2B006.b.1.c; 

and 

c. Revising the Note to 2B006.b.1. 

Note: The combination of control and 

decontrol lead to the possibility of an 

ineffective control. These revisions together 

will enhance the effectiveness of control by 

explicitly controlling certain specially 

designed components. Equipment under 

2B006 is controlled for national security 

reasons (NS:2), nuclear nonproliferation 

reasons (NP:1), and antiterrorism reasons 

(AT:1); Related software for the development, 

production, or use of 2B006 commodities is 

controlled for national security reasons 

(NS:1) and antiterrorism reasons (AT:1) 

under ECCN 2D001; related technology for 

the development or production of 2B006 


jlentini on PROD1PC65 with RULES2
52958 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

commodities is controlled for national 

security reasons (NS:1) and antiterrorism 

reasons (AT:1) under ECCNs 2E001 and 

2E002 respectively; related technology for the 

use of 2B006 commodities is controlled for 

nuclear proliferation reasons (NP:1) and 

antiterrorism reasons (AT:1) under ECCN 

2E201. 

ECCN 2E201 is amended by: 

a. Revising the heading to remove 

ECCN 2B008, because no international 

export control regime has controlled 

‘‘use’’ technology for this ECCN; 

b. Adding to the end of the heading 

the phrase ‘‘for NP reasons’’ to assure 

that ECCN 2E201 only controls use 

technology for NP controlled portions of 

the ECCNs listed in the heading; and 

c. Revising the NP paragraph in the 

License Requirements section to remove 

the reference to 2B008. 

Category 3—Electronics 

ECCN 3A001 is amended by: 

a. Revising the CIV paragraph in the 

License Exception section by replacing 

reference to 3A001.a.3.b with 3A001.a.3, 

because this rule moves 3A001.a.3.b to 

3A001.a.3; and removing the reference 

to 3A001.a.3.c, because this rule deletes 

this paragraph. 

b. Removing 3A001.a.3.c 

(interconnects), because they cannot be 

effectively controlled, as they are now 

integrated into mass market products. 

c. Incorporating 3A001.a.3.b into 

3A001.a.3 to revise the format of 

3A001.a.3. 

d. Revising the Note 2 to 3A001.b.2 to 

avoid incorrect interpretation that it is 

only relevant if the device spans more 

than one entire range. 

e. Adding the word ‘‘Discrete’’ before 

3A001.b.3, which reads ‘‘Microwave 

transistors having any of the following:’’

to add clarification. 

f. Revising the Note to 3A001.b.3 

(Microwave transistors) to add 

clarification and avoid 

misinterpretation. 

g. Revising the operation frequency 

for microwave sold state amplifiers and 

microwave assemblies/modules 

containing microwave amplifiers from 

‘‘3 GHz’’ to ‘‘3.2 GHz’’ in 3A001.b.4.f. 

This change was made for consistency 

with the parameter in 3A001.b.2.a 

(MMIC amplifiers), 3A001.b.3.a 

(transistors) and 3A001.b.4.a (solid state 

amplifiers). 

h. Revising Note 2 to 3A001.b.4 to 

avoid incorrect interpretation that it is 

only relevant if the device spans more 

than one entire range. 

i. Adding a Technical Note to 

3A001.b.4.f.3 to eliminate ambiguity in 

the case of amplifiers having 

performance both above and below the 

frequency threshold. 

ECCN 3A991 is amended by: 

a. Revising 3A991.c, because the rule 

entitled, ‘‘December 2004 Wassenaar 

Arrangement Plenary Agreement 

Implementation: Categories 1, 2, 3, 4, 5 

Part I (telecommunications), 6, 7, 8, and 

9 of the Commerce Control List; 

Wassenaar Reporting Requirements; 

Definitions; and Certain New or 

Expanded Export Controls’’ that was 

published in the Federal Register on 

July 15, 2005 (70 FR 41094) modified 

the 3A001.a.5 entry for analog-to-digital 

converters by revising the total 

conversion time in ns to output rate in 

million words per second, however, the 

3A991.c entry was not appropriately 

adjusted to conform with this revision. 

Therefore, this rule revises the output 

rate to millions of words per second in 

3A991.c. 

b. Removing 3A991.j.2 (rechargeable 

cells and batteries) because it was 

erroneously created, and is a duplicate 

entry to 3A001.e.1.b. Because of this 

removal, paragraph 3A991.j.1 will 

become 3A991.j to conform with the 

structure format of the CCL. 

ECCN 3B001 is amended by: 

a. Removing 3B001.a.1.a, because 

certain EPI tools are not a critical 

technology in the semiconductor 

manufacturing process and are not a key 

enabler in the production of 

semiconductors. 

b. Revising the formula for minimum 

resolvable feature size in the technical 

note following 3B001.f.1.b by replacing 

the ‘‘Fm’’ with ‘‘nm’’ to conform with 

the corresponding entry in the 

Wassenaar Arrangement’s List of DualUse Goods and Technologies. 

Note: For equipment no longer controlled 

under ECCN 3B001.a.1.a, related software 

controlled under 3D001 and 3D002, and 

related technology controlled under 3E001, 

there remains a license requirement under 

ECCNs 3B991.b.1.d.1, 3D991, and 3E991, 

respectively, for exports and reexports to 

designated terrorism-supporting countries, as 

set forth in Parts 742 and 746 of the EAR and 

as indicated in AT Column 1 of the 

Commerce Country Chart. 

ECCN 3B991 is amended by: 

a. Revising the ‘‘unit’’ paragraph in 

the List of Items Controlled section to 

provide instructions to input dollar 

value in the unit block on a license 

application for components and 

accessories; 

b. Redesignating paragraphs 

3B991.b.1.d.1 and 3B991.b.1.d.2 as 

3B991.b.1.d.2 and 3B991.b.1.d.3 

respectively; 

c. Adding a new paragraph 

3B991.b.1.d.1 to maintain AT controls 

for stored program controlled 

equipment for epitaxial growth capable 

of producing a silicon layer with a 

thickness uniform to less than 2.5% 

across a distance of 200 mm or more 

(previously controlled under ECCN 

3B001.a.1.a). 

ECCN 3E001 is amended by: 

a. Removing the text in the CIV 

paragraph of the License Exception 

section and replacing it with ‘‘N/A’’, as 

it is no longer necessary because of the 

agreed upon deletions in 3A001 by the 

Wassenaar Arrangement; and 

b. Revising the heading to add 

exceptions from this technology control 

over commodities in ECCN 3C992, 

because this technology is not 

controlled on the Wassenaar List of 

Dual-Use Goods and Technologies. 

Note: This rule adds ECCN 3C992 to the 

heading of ECCN 3E991 to maintain 

antiterrorism (AT:1) controls on the 

technology for the development , production 

or use of commodities described in ECCN 

3C992. 

Note: The equipment no longer controlled 

under ECCNs 3A001.a.3.c and 3B001.a.1.a, 

related software under ECCNs 3D001 and 

3D002, and related technology under ECCNs 

3E001 continues to be controlled for 

antiterrorism reasons under ECCNs 

3A991.a.3, 3B991.b.1.d.1, 3D991, and 3E991 

respectively, for exports and reexports to 

designated terrorism-supporting countries, as 

set forth in Parts 742 and 746 of the EAR and 

as indicated in AT Column 1 of the 

Commerce Country Chart. Also note, that 

technology for the development and 

production of microprocessor microcircuits, 

micro computer microcircuits and 

microcontroller microcircuits having a 

composite theoretical performance (CTP) of 

530 MTOPS or more and an arithmetic logic 

unit with an access width of 32 bits or more 

continue to be controlled for national 

security reasons under ECCN 3E002. 

ECCN 3E991 is amended by revising 

the heading to add technology controls 

for development, production, or use of 

specific processing equipment described 

in 3A991, and materials controlled by 

3C992 (positive resists designed for 

semiconductor lithography * * *), 

because this technology warrants antiterrorism (AT) controls. 

Category 5—Part I—

Telecommunications 

ECCN 5A001 is amended by: 

a. Adding the phrase ‘‘, as follows (see 

List of Items Controlled)’’ to the 

heading. 

b. Revising the License Requirements 

section to reflect that there is a license 

requirement for jamming equipment 

described in newly added paragraph 

5A001.f to countries that have an ‘‘X’’ in 

NS Column 2 of the Commerce Country 

Chart in Supplement No.1 of Part 738. 

Note: 5A001.f is eligible for License 

Exceptions LVS, GBS, and CIV, if the criteria 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52959 

in Part 740 of the EAR for the license 

exception authorizing the export or reexport 

has been met and none of the license 

exception restrictions of § 740.2 apply to the 

transaction. 

Note: Related software for the 

development, production, or use of this 

equipment is controlled for national security 

reasons (NS:1) and antiterrorism reasons 

(AT:1) under ECCN 5D001, and related 

technology for the development, production, 

or use of this equipment is controlled for 

national security reasons (NS:1) and 

antiterrorism reasons (AT:1) under ECCN 

5E001. 

c. Adding ‘‘or antennae’’ to the Unit 

paragraph of the List of Items Controlled 

section. 

d. Revising the second note following 

5A001.a.3 to add the phrase ‘‘designed 

or modified for use’’ to conform with 

the corresponding entry in the 

Wassenaar Arrangement’s List of DualUse Goods and Technologies. 

e. Adding the phrase ‘‘not controlled 

in 5A001.b.4’’ to 5A001.b.3 to avoid 

overlapping controls with the new 

parameters in 5A001.b.4. 

f. Revising 5A001.b.4 (radio 

equipment employing ultra-wideband 

modulation techniques) so that it would 

be independent of the modulation 

technique employed in ultra-wideband 

(UWB) (i.e., not limited to ‘‘time 

modulation’’ (TM)). Today, in addition 

to TM–UWB, Direct Sequence-Spread 

Spectrum (DS–SS) and Multi-Band 

Orthogonal Frequency Division 

Multiplex (MB–OFDM) have appeared 

as different modulation techniques for 

UWB. Because of the emergence of DS–

SS and MB–OFDM, the previously 

standing text of 5A001.b.4 and 

5A002.a.6, were limited to TM–UWB, 

which created a loophole. 

g. Adding a Technical Note 2 for 

5A001.b.6, because the bandwidth of 

audio-coding (20–22,000 Hz) overlaps 

the bandwidth of voice-coding (300–

3,400 Hz), and the scope of control in 

the context of 5A001.b.6 is only adopted 

to ‘‘voice coding.’’ It is necessary to 

clearly indicate that ‘‘voice coding’’

controlled in 5A001.b.6 is a voicecoding technique that uses voice-coding 

algorithms that are based on peculiar 

human voice characteristics. 

h. Adding a descriptor ‘‘Radio’’ to 

make it ‘‘Radio direction finding 

equipment’’ in 5A001.e; changing the 

‘‘Instantaneous bandwidth’’ from ‘‘1 

MHz or more’’ to ‘‘10 MHz or more’’ in 

5A001.e.1; and replacing the parallel 

processing parameter with the 

capability to find a line of bearing (LOB) 

to non-cooperating radio transmitters 

with a signal duration of less than 1 ms 

in 5A001.e.3. 

Note: In 2004, the Wassenaar Expert’s 

Group determined that ECCN 7A007 was not 

navigation or avionics equipment and 

belonged instead in Category 5 Part 1; it was 

determined that the equipment controlled by 

that ECCN should be placed in a revised 

paragraph 5A001.e. In the course of the 

discussion, it was also found that the level 

of the ECCN 7A007 control was set so high 

as to not control systems of potential 

concern. In addition, the ECCN 7A007 

control text is technology-specific. 

Previously, the text in 5A001.e was found 

to only control one specific, highly-advanced 

system. The revised text of ECCN 5A001.e is 

written in an effort to set forth provisions 

that control systems of concern and support 

a level playing field in the global 

marketplace. Advanced DF systems, which 

can direction-find against short-duration 

signals and frequency-hopping radios are of 

particular concern because they can be used 

by military forces of countries of concern to 

locate and target advanced tactical 

communications equipment. 

Because the system accuracy of a direction 

finder is directly related to the antenna 

geometry of the direction finder, and thus 

does not imply a high degree of know-how, 

this revision is based on the control 

parameter ‘‘Instantaneous bandwidth’’, 

which is the decisive factor for direction 

finding against frequency-hopping radios and 

signals of the short duration type. 

i. Adding paragraph 5A001.f to 

control sophisticated cellular phone 

jamming equipment. Equipment of this 

type is capable of selectively jamming 

cellular phone communications, which 

can pose a national security threat. 

ECCN 5A991 is amended by: 

a. Adding the definition of 

‘Asynchronous transfer mode’ (‘ATM’) 

to the related definitions paragraph of 

the List of Items Controlled section; and 

b. Replacing the double quotes with 

single quotes around the term 

‘Asynchronous transfer mode’ (‘ATM’) 

in paragraph 5A991.c.12, to signify that 

the definition is found in the related 

definitions section of 5A991 and no 

longer in Part 772 of the EAR. 

ECCN 5D001 is amended by: 

a. Moving 5D001.c.1 into 5D001.c; 

b. Deleting the reserved paragraph 

5D001.c.2; and 

c. Removing 5D001.c.3, because 

consensus was reached to delete 

5D001c3 controlling the source code 

specially designed for dynamic adaptive 

routing. This technology has become 

widely available due to the recent 

expansion of packet telecommunication 

networks, such as the internet. 

Note: The software removed from ECCN 

5D001.c.3, and related technology under 

ECCN 5E001 continue to be controlled for 

antiterrorism (AT:1) reasons under ECCNs 

5D991 and 5E991 respectively, for exports 

and reexports to designated terrorismsupporting countries, as set forth in Parts 742 

and 746 of the EAR and as indicated in AT 

Column 1 of the Commerce Country Chart. 

ECCN 5D991 is amended by revising 

the heading and the ‘‘items’’ paragraph 

in the List of Items Controlled section to 

add reference to the software removed 

from 5D001.c.3 (‘‘Software’’, other than 

in machine-executable form, specially 

designed for ‘‘dynamic adaptive 

routing’’). 

Category 5—Part 2—Information 

Security 

ECCN 5A002 is amended by: 

a. Adding a sentence to the ‘‘Related 

Controls’’ paragraph of the List of Items 

Controlled section to note that 5A002 

does not control commodities eligible 

for the Cryptography Note (Category 5 

Part 2 Note 3). 

b. Adding the phrase ‘‘not controlled 

in 5A002.a.6.’’ to 5A002.a.5 to avoid 

overlapping controls with the new 

parameters in 5A002.a.6. 

c. Adding new control parameters to 

5A002.a.6, including adding networked 

identification code to the type of codes 

that could be generated using 

cryptographic techniques. Also adding 

control characteristics for systems using 

ultra-wideband modulation techniques, 

i.e., A bandwidth exceeding 500 MHz; 

or a ‘‘fractional bandwidth’’ of 20% or 

more. 

Note: Following WA agreement reached on 

revised text for 5A001.b.3 and 5A001.b.4 in 

Category 5 Part 1, to control new ultra 

wideband techniques that had appeared on 

the market, agreement was reached by WA on 

consequential changes in 5A002.a.5 & 

5A002.a.6.in Category 5 Part 2. 

d. Adding paragraph 5A002.a.9 to add 

controls for quantum cryptography 

because it represents advancement in 

cryptography that can improve 

information security in two important 

ways: (1) It may be used in conjunction 

with digital cryptography to securely 

distribute shared keys for a digital 

symmetric algorithm and (2) it may 

make for a fast and highly secure ‘‘onetime-pad’’ cipher. A Technical Note that 

describes quantum cryptography is also 

added to this paragraph. 

Note: This equipment under ECCN 

5A002.a.9 is controlled for encryption items 

(EI) reasons, national security reasons (NS:1) 

and antiterrorism reasons (AT:1). Related 

software for the development, production, 

and use of this equipment is controlled for 

encryption items (EI) reasons, national 

security reasons (NS:1), and antiterrorism 

reasons (AT:1) under ECCN 5D002; related 

technology for the development, production, 

and use of this equipment is controlled for 

encryption items (EI) reasons, national 

security reasons (NS:1), and antiterrorism 

reasons (AT:1) under ECCN 5E002. 

e. Adding a new paragraph c.4 to the 

Note at the top of the items paragraph 

in the List of Items Controlled section of 


jlentini on PROD1PC65 with RULES2
52960 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

5A002 to clarify that model-based 

simulation software that is specially 

designed and limited to protect 

libraries, design attributes, or associated 

data for the design of semiconductor 

devices or integrated circuits, is not 

controlled under the corresponding 

software entry ECCN 5D002. The Note 

describes software for which the 

underlying encryption functionality is 

for specific purposes such as protection 

of intellectual property, and the 

underlying encryption functionality 

(including the protected libraries, 

design attributes or associated data) is 

not directly accessible to the end-user. 

f. Moving an existing nota bene 

(‘‘NB’’) so that it immediately follows 

the text of Note d to ECCN 5A002, to 

conform with the corresponding entry 

in the Wassenaar Arrangement’s List of 

Dual-Use Goods and Technologies. 

Category 6—Sensors 

ECCN 6A006 is amended by: 

a. Revising the heading to add newly 

controlled ‘‘underwater electric field 

sensors;’’

b. Revising ‘‘6A006.c’’ to read 

‘‘6A006.d’’ in the LVS paragraph in the 

License Exceptions section, because 

magnetic compensation systems, as well 

as compensation systems for underwater 

electric field sensors are now controlled 

under 6A006.d; 

c. Revising the ‘‘Related Controls’’

paragraph in the List of Items Controlled 

section to add an exemption from 

control for instruments controlled by 

6A006 that are used for ‘‘fishery 

applications,’’ such as research on fish 

reproduction. 

d. Redesignating 6A006.b (magnetic 

gradiometers) as 6A006.c; 

e. Adding a new paragraph 6A006.b to 

control Underwater Electric Field 

Sensors, because they now have civil 

applications, such as underwater 

exploration, salvage, and biological and 

medical sciences, and no longer are 

strictly used in military applications, 

such as detection of submarines and 

underwater mines. 

ECCN 6D003 is amended by: 

a. Revising 6D003.f from reading 

‘‘Magnetometers.’’ to read ‘‘Magnetic 

and Electric Field Sensors’’ in 

conformance with new paragraph 

6A006.b. 

b. Revising 6D003.f.1 and 6D003.f.2 

by adding ‘‘and electric field’’ in 

conformance with new paragraph 

6A006.b. 

ECCN 6E003 is amended by revising 

the title of 6E003.f from 

‘‘Magnetometers’’ to read ‘‘Magnetic and 

Electric Field Sensors.’’

Note: Equipment under 6A006 is 

controlled for national security reasons 

(NS:2) and antiterrorism reasons (AT:1); 

Related software for magnetic and electric 

field sensors is controlled for national 

security reasons (NS:1) and antiterrorism 

reasons (AT:1) under ECCN 6D003; and 

related technology for magnetic and electric 

field sensors is controlled for national 

security reasons (NS:1) and antiterrorism 

reasons (AT:1) under ECCN 6E003. 

Category 8—Marine 

ECCN 8A002 is amended by adding a 

decontrol note in 8A002.f for digital 

cameras specially designed for 

consumer purposes, other than those 

employing electronic image 

multiplication techniques. This note 

was added because of the foreign 

availability of digital cameras. 

Category 9—Propulsion Systems, Space 

Vehicles and Related Equipment 

ECCN 9A001 is amended by: 

a. Revising the ‘‘unit’’ paragraph in 

the List of Items Controlled section to 

read ‘‘number’’ instead of ‘‘Equipment 

in number; parts and accessories in $ 

value.’’

b. Revising paragraph 2 in the Note to 

9A001.a, because it was discovered that 

the International Civil Aviation 

Organization (ICAO) issues a document 

equivalent to a civil Type Certificate 

that the participating members of 

Wassenaar found acceptable for export 

control purposes. Reference to that 

document has been added to paragraph 

2.a within the Note to 9A001.a. The 

approval of the design of certain types 

of aircraft, engines and propellers is 

signified by the issue of a Type 

Certificate. In general there will be a 

Type Certificate Data Sheet (TCDS) 

associated with each Type Certificate 

issued. The TCDS records the basis of 

certification, the designation of each 

approved variant and general 

information concerning the design. 

ECCN 9A012 is amended by: 

a. Revising the heading to add double 

quotes around the term ‘‘unmanned 

aerial vehicles’’ to indicate that this is 

a term now defined in Part 772. Also, 

adding the abbreviation ‘‘UAV’’ to the 

heading. 

b. Revising the heading to add 

associated systems, equipment, and 

components, because Wassenaar has 

agreed to expand this ECCN entry. It 

was determined that it would be 

prudent for the control of conventional 

arms to place export controls on the 

associated systems, equipment, and 

components used for remote controlling 

or guidance of the UAV or to convert a 

manned aircraft to an UAV. 

c. Revising the Related Controls 

paragraph of the List of Items Controlled 

section to add a reference to section 

744.3 ‘‘Restrictions on Certain Rocket 

Systems (including ballistic missile 

systems and space launch vehicles and 

sounding rockets) and Unmanned Air 

Vehicles (including cruise missile 

systems, target drones and 

reconnaissance drones) End-Uses.’’

d. Redesignating paragraphs 9A012.a 

and 9A012.b as 9A012.a.1 and 

9A012.a.2. 

e. Adding a new paragraph 9A012.b 

for associated systems, equipment and 

components. 

Note: Related software for the development 

and production of equipment controlled 

under ECCN 9A012 is controlled for national 

security reasons (NS:1) and antiterrorism 

reasons (AT:1) under ECCN 9D001 and 

9D002 respectively; software specially 

designed or modified for the ‘‘use’’ of full 

authority digital electronic engine controls 

(FADEC) for propulsion systems controlled 

by 9A012 is controlled for antiterrorism 

reasons (AT:1) under ECCN 9D003; and 

related technology for the development of 

this equipment is controlled for national 

security reasons (NS:1) and antiterrorism 

reasons (AT:1) under ECCN 9E001. 

ECCN 9B010 is added to control 

‘‘equipment specially designed for the 

production of ‘‘UAVs’’ and associated 

systems, equipment and components 

controlled by 9A012.’’

The Participating States of the 

Wassenaar Arrangement agreed to 

control equipment, software and 

technology for the conversion of aircraft 

for UAV operation, because of attempts 

by countries of concern to acquire such 

conversion capability for conventional 

arms and terrorism purposes. 

Note: Equipment under 9B010 is controlled 

for national security reasons (NS:1) and 

antiterrorism reasons (AT:1); Related 

software for the development and production 

of this equipment is controlled for national 

security reasons (NS:1) and antiterrorism 

reasons (AT:1) under ECCN 9D001 and 

9D002 respectively; software specially 

designed or modified for the ‘‘use’’ of full 

authority digital electronic engine controls 

(FADEC) for propulsion systems controlled 

by 9B010 is controlled for antiterrorism 

reasons (AT:1) under ECCN 9D003; and 

related technology for the development and 

production of this equipment is controlled 

for national security reasons (NS:1) and 

antiterrorism reasons (AT:1) under ECCN 

9E001 and 9E002 respectively. 

ECCNs 9D001 and 9D002 have been 

amended by revising the License 

Requirement section in each to add 

ECCN 9B010 to the NS paragraph. 

ECCN 9D004 is amended by adding a 

new paragraph 9D004.e to control 

‘‘software’’ specially designed or 

modified for the ‘‘use’’ of ‘‘UAVs’’ and 

associated systems, equipment and 

components controlled by 9A012. 

ECCN 9E001 has been amended by: 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52961 

a. Revising the heading to include 

9A012; and 

b. Adding 9A012 and 9B010 to the NS 

paragraph in the License Requirement 

section. 

ECCN 9E002 is amended by removing 

the License Requirement Note that 

refers to Wassenaar reporting 

requirements in section 743.1 of the 

EAR, because this ECCN is not eligible 

for License Exceptions GBS, CIV, TSR, 

LVS, CTP, or GOV and therefore does 

not require Wassenaar reporting. 

ECCN 9E003 is amended by revising 

9E003.a.11 to remove the qualifiers, 

(i.e., ‘‘wide chord’’ and ‘‘without partspan support’’), so that ‘‘technology’’

‘‘required’’ for the ‘‘development’’ or 

‘‘production’’ of all types of hollow fan 

blades for gas turbine engines are 

controlled for NS:1, SI, and AT:1 

reasons. The advantage of using this 

type of blade is weight saving, stress 

reduction and an element of foreign 

object damage protection. 

Section 740.11 and Supplement No. 1 to 

Section 740.11—License Exception GOV 

This rule amends section 740.11 

(a)(2)(vi)(G) to add 9A011 as it relates to 

ECCN 9D001 software, and to add a new 

paragraph (a)(2)(vi)(H) to cover software 

controlled by ECCN 9D002, specially 

designed or modified for the 

‘‘production’’ of equipment controlled 

by ECCN 9A011. These items may not 

be exported or reexported for official 

international safeguard use by the 

International Atomic Energy Agency 

(IAEA) and the European Atomic Energy 

Community (EURATOM) under License 

Exception GOV to destinations other 

than Austria, Belgium, Canada, 

Denmark, Finland, France, Germany, 

Greece, Ireland, Italy, Luxembourg, the 

Netherlands, Portugal, Spain, Sweden, 

and the United Kingdom. 

Supplement No. 1 to section 740.11 is 

amended to: 

a. Add 6D001 (specially designed for 

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

equipment in 6A008.1.3 or 6B008) and 

6D003.a to paragraphs (a)(1)(vii)(D) and 

(b)(1)(vii)(D), which relate to 6E001 

technology; 

b. Add ECCN 9A011 to (a)(1)(vi)(G) 

that relates to 9D001 software; 

c. Add a new paragraph (a)(1)(vi)(H) 

to cover software controlled by ECCN 

9D002, specially designed or modified 

for the ‘‘production’’ of equipment 

controlled by ECCN 9A011; 

d. Add to paragraph (a)(1)(vii)(G) 

9A011, 9D001 and 9D002 as they relate 

to the development and production of 

9A011, and as they relate to ECCN 

9E001; and 

e. Add a new paragraph (a)(1)(vii)(H) 

to cover technology controlled by ECCN 

9E002 for the production of equipment 

in 9A011. 

Therefore, 6E001 technology for the 

development of software in ECCNs 

6D001 (specially designed for the 

‘‘production’’ or ‘‘development’’ of 

equipment in 6A008.1.3 or 6B008) and 

6D003; 9D001 for the development of 

equipment controlled by 9A011; 9D002 

specially designed or modified for the 

production of equipment controlled by 

9A011, 9D001 or 9D002 for the 

development or production of 9A011; 

and 9E002 for the production of 

equipment in 9A011, which are listed 

on the Wassenaar Arrangement’s Very 

Sensitive List, are no longer eligible for 

License Exception GOV when consigned 

to and for the official use of any agency 

of a cooperating government within the 

territory of any cooperating government, 

or when consigned to and for the official 

use of a diplomatic or consular mission 

of a cooperating government located in 

any country in Country Group B of 

Supplement No. 1 to Part 740 of the 

EAR. 

Section 740.17 ‘‘License Exception 

ENC’’

This rule amends the introductory 

paragraph and paragraphs (a), (b)(1), and 

(b)(2) to state that newly controlled 

quantum cryptography items described 

in 5A002.a.9 of the Commerce Control 

List (CCL) in Supplement No. 1 to Part 

774 of the EAR are eligible for License 

Exception ENC. Paragraph (a) of Section 

740.17 of the EAR authorizes certain 

exports, reexports, and technical 

assistance to countries listed in 

Supplement No. 3 to Part 740 of the 

EAR under License Exception ENC. The 

countries in Supplement No. 3 to Part 

740 represent the European Union’s 

‘‘license-free zone’’ and include: 

Austria, Australia, Belgium, Cyprus, 

Czech Republic, Denmark, Estonia, 

Finland, France, Germany, Greece, 

Hungary, Ireland, Italy, Japan, Latvia, 

Lithuania, Luxembourg, Malta, 

Netherlands, New Zealand, Norway, 

Poland, Portugal, Slovakia, Slovenia, 

Spain, Sweden, Switzerland, and the 

United Kingdom. Paragraph (b) of 

Section 740.17 of the EAR authorizes 

exports and reexports destined to U.S. 

subsidiaries under License Exception 

ENC and, for other end-users, exports 

and reexports to countries not listed in 

Supplement No. 3 to Part 740 of the 

EAR. (This rule renames this Paragraph 

(b) to make clear the scope of this 

paragraph.) Paragraph (b)(1) of Section 

740.17 of the EAR authorizes exports 

and reexports of encryption items for 

U.S. subsidiaries. Paragraph (b)(2) of 

Section 740.17 of the EAR authorizes 

exports and reexports of encryption 

commodities and software to nongovernment end-users in countries not 

listed in Supplement No. 3 to Part 740 

of the EAR under License Exception 

ENC. Quantum cryptography items are 

not eligible for export or reexport to 

‘‘government end-users’’ under License 

Exception ENC outside the countries 

listed in Supplement No. 3 to Part 740 

of the EAR, because of the provisions of 

§ 740.17(b)(3)(i)(B) and 

§ 740.17(b)(2)(iii)(E) of the EAR. To 

receive written authorization from the 

Bureau of Industry and Security (BIS) to 

export your encryption items under 

License Exception ENC, you must 

submit an encryption review request to 

BIS and the ENC Encryption Request 

Coordinator. For guidance on applying 

for authorization under License 

Exception ENC go to BIS’s Web page 

http://www.bis.doc.gov/encryption/ 

enc.htm. 

Section 743.1 ‘‘Wassenaar 

Arrangement’’

§ 743.1 is amended by: 

• Deleting ECCN 2B003 from the Note 

to paragraph (c)(1)(ii) to conform to the 

Wassenaar Sensitive List. This relates to 

Wassenaar reporting requirements for 

ECCNS 2D001, 2E001, and 2E002. 

• Removing 5A001.b.5 from 

paragraph (c)(1)(v), because BIS does 

not need to require reporting for 

commodities that are not eligible for 

License Exceptions GBS, CIV, TSR, LVS, 

CTP, or GOV. BIS can get the necessary 

information to fulfill U.S. obligations for 

reporting to the Wassenaar Arrangement 

from license application data. 

• Adding 5A001.b.5 under the 

5B001.a in paragraph (c)(1)(v), because 

5B001.a is specially designed for 

5A001.b.5, is eligible for license 

exception and is on the Wassenaar 

Arrangement’s Sensitive List. 

• Adding 5D001.a entry in paragraph 

(c)(1)(v), because software for the 

development or production of 

equipment, components, or accessories 

classified under 5B001.a is on the 

Wassenaar Arrangement’s Sensitive List 

and is eligible for License Exceptions 

CIV and TSR. This addition is necessary 

in order for the United States to fulfill 

its reporting obligations to the 

Wassenaar Arrangement. 

• Adding 6A002.a.1.a, 6A002.a.1.b, 

6A002.a.2.a (changing 350 uA/Im to 700 

uA/Im in 6A002.a.2.a.3.a), 6A002.a.3, 

6A002.c, 6A002.e; 6A003.b.3, 

6A003.b.4, and 6A006.a to paragraph 

(c)(1)(vi), because these commodities are 

on the Wassenaar Arrangement’s 

Sensitive List and are eligible for license 

exception under the EAR. This addition 

is necessary in order for the United 


jlentini on PROD1PC65 with RULES2
52962 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

States to fulfill its reporting obligations 

to the Wassenaar Arrangement. 

• Revising 6A006.g to 6A006.d in 

paragraph (c)(1)(vi), because this 

paragraph has moved under ECCN 

6A006. 

• Removing 6D003.a from paragraph 

(c)(1)(vi), because that ECCN is not 

eligible for License Exceptions LVS, 

GBS, CIV, APP, TSR, or GOV. 

• Removing 6A006.h from paragraph 

(c)(1)(vi), because this paragraph has 

been removed from 6A006 by agreement 

of the Wassenaar Arrangement. 

• Adding a note to paragraph 

(c)(1)(vi) to clarify the reporting 

requirement for 6A002.a.3. 

• Redesignating paragraphs (c)(1)(vii) 

and (c)(1)(viii) as paragraphs (c)(1)(viii) 

and (c)(1)(ix), in order to add a new 

paragraph (c)(1)(vii) to cover Category 7: 

7D002; 7D003.c, d.1 to d.4, and d.7; 

7E001; and 7E002, because these 

commodities are on the Wassenaar 

Arrangement’s Sensitive List and are 

eligible for license exception under the 

EAR. This addition is necessary in order 

for the United States to fulfill its 

reporting obligations to the Wassenaar 

Arrangement. 

• Adding 9D001 (for 9B001.b and 

9E003 as described in this paragraph), 

9D002 (for 9B001.b), 9D004.a, 9D004.c, 

9E001 for technology controlled for NS 

reasons, 9E002, 9E003.a.2, a.3.b, a.3.c, 

a.4, a.5, a.8, and a.9 to newly designated 

paragraph (c)(1)(ix), because these 

commodities are on the Wassenaar 

Arrangement’s Sensitive List and are 

eligible for license exception under the 

EAR. This addition is necessary in order 

for the United States to fulfill its 

reporting obligations to the Wassenaar 

Arrangement. 

This rule revises the title to 

Supplement No. 1 to Part 743 of the 

EAR from ‘‘Wassenaar Arrangement 

Member Countries’’ to ‘‘Wassenaar 

Arrangement Participating States,’’

because this is the term used by the 

Wassenaar Arrangement to address its 

members. 

In addition, this rule adds Croatia, 

Estonia, Latvia, Lithuania, Malta, and 

South Africa to the list of Wassenaar 

Arrangement Participating States in 

Supplement No. 1 to Part 743 of the 

EAR, because they were recently 

admitted to the Wassenaar 

Arrangement. 

Definitions in Part 772 

This rule removes the definition for 

‘‘Asynchronous transfer mode’’

(‘‘ATM’’) from section 772.1 of the EAR, 

and moves it to the related definitions 

paragraph in the List of Items Controlled 

section of ECCN 5A991, because the 

term is only referred to in 5A991.c.12. 

This rule adds a reference to Category 

2 in the definition for ‘‘Electronic 

assembly,’’ because of the addition of 

controls on electronic assemblies in 

2B006.b.1. 

This rule removes the definition for 

‘‘time-modulated ultra-wideband,’’

because the Wassenaar Arrangement 

agreed to remove it from 5A001.b.4 and 

5A002.a.6, and instead use the 

undefined term ‘‘ultra-wideband 

modulation techniques.’’

This rule adds the definition for 

‘‘unmanned aerial vehicle’’ (‘‘UAV’’) to 

section 772.1, which is used in ECCNs 

9A012 and newly added ECCN 9B010. 

In addition, UAVs are addressed in 

section 744.3 of the EAR. 

Although the Export Administration 

Act expired on August 20, 2001, the 

President, through Executive Order 

13222 of August 17, 2001, 3 CFR, 2001 

Comp., p. 783 (2002), as extended by the 

Notice of August 3, 2006, 71 FR 44551 

(August 7, 2006), has continued the 

Export Administration Regulations in 

effect under the International 

Emergency Economic Powers Act. 

Saving Clause 

Shipments of items removed from 

license exception eligibility or eligibility 

for export without a license as a result 

of this regulatory action that were on 

dock for loading, on lighter, laden 

aboard an exporting carrier, or en route 

aboard a carrier to a port of export, on 

September 7, 2006, pursuant to actual 

orders for export to a foreign 

destination, may proceed to that 

destination under the previous license 

exception eligibility or without a license 

so long as they have been exported from 

the United States before October 10, 

2006. Any such items not actually 

exported before midnight, on October 

10, 2006, require a license in accordance 

with this regulation. 

Rulemaking Requirements 

1. This final rule has been determined 

to be not significant for purposes of E.O. 

12866. 

2. Notwithstanding any other 

provision of law, no person is required 

to respond to, nor shall any person be 

subject to a penalty for failure to comply 

with a collection of information, subject 

to the requirements of the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501 

et seq.) (PRA), unless that collection of 

information displays a currently valid 

Office of Management and Budget 

(OMB) Control Number. This rule 

involves two collections of information 

subject to the PRA. One of the 

collections has been approved by OMB 

under control number 0694–0088, 

‘‘Multi-Purpose Application,’’ and 

carries a burden hour estimate of 58 

minutes for a manual or electronic 

submission. The other of the collections 

has been approved by OMB under 

control number 0694–0106, ‘‘Reporting 

and Recordkeeping Requirements under 

the Wassenaar Arrangement,’’ and 

carries a burden hour estimate of 21 

minutes for a manual or electronic 

submission. Send comments regarding 

these burden estimates or any other 

aspect of these collections of 

information, including suggestions for 

reducing the burden, to OMB Desk 

Officer, New Executive Office Building, 

Washington, DC 20503; and to the 

Office of Administration , Bureau of 

Industry and Security, Department of 

Commerce, 14th and Pennsylvania 

Avenue, NW., Room 6883, Washington, 

DC 20230. 

3. This rule does not contain policies 

with Federalism implications as that 

term is defined under E.O. 13132. 

4. The provisions of the 

Administrative Procedure Act (5 U.S.C. 

553) requiring notice of proposed 

rulemaking, the opportunity for public 

participation, and a delay in effective 

date, are inapplicable because this 

regulation involves a military and 

foreign affairs function of the United 

States (5 U.S.C. 553(a)(1)). Further, no 

other law requires that a notice of 

proposed rulemaking and an 

opportunity for public comment be 

given for this final rule. Because a 

notice of proposed rulemaking and an 

opportunity for public comment are not 

required to be given for this rule under 

the Administrative Procedure Act or by 

any other law, the analytical 

requirements of the Regulatory 

Flexibility Act (5 U.S.C. 601 et seq.) are 

not applicable. Therefore, this 

regulation is issued in final form. 

Although there is no formal comment 

period, public comments on this 

regulation are welcome on a continuing 

basis. Comments should be submitted to 

Sharron Cook, Office of Exporter 

Services, Bureau of Industry and 

Security, Department of Commerce, P.O. 

Box 273, Washington, DC 20044. 

List of Subjects 

15 CFR Part 740 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping requirements. 

15 CFR Part 743 

Administrative practice and 

procedure, Reporting and recordkeeping 

requirements. 

15 CFR Part 772 

Exports. 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52963 

15 CFR Part 774 

Exports, Reporting and recordkeeping 

requirements. 

■ Accordingly, Parts 740, 743, 772 and 

774 of the Export Administration 

Regulations (15 CFR Parts 730–799) are 

amended as follows: 

PART 740—[AMENDED] 

■ 1. The authority citation for Part 740 

continues to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; 50 

U.S.C. 1701 et seq.; Sec. 901–911, Pub. L. 

106–387; E.O. 13026, 61 FR 58767, 3 CFR, 

1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 

3 CFR, 2001 Comp., p. 783; Notice of August 

3, 2006, 71 FR 44551 (August 7, 2006). 

■ 2. Section 740.11 is amended by 

revising (a)(2)(vi)(G) and adding a 

paragraph (a)(2)(vi)(H) to read as 

follows: 

§ 740.11 Governments, International 

Organizations, and International 

Inspections Under the Chemical Weapons 

Convention (GOV). 

* * * * * 

(a) * * * 

(2) * * * 

(vi) * * * 

(G) Controlled by 9D001, specially 

designed or modified for the 

‘‘development’’ of equipment or 

‘‘technology’’ controlled by 9A011, 

9E003.a.1, or 9E003.a.3.a; and 

(H) Controlled by 9D002, specially 

designed or modified for the 

‘‘production’’ of equipment controlled 

by 9A011. 

* * * * * 

■ 3. Supplement No. 1 to 740.11 is 

amended by: 

■ a. Revising paragraphs (a)(1)(vi)(F) 

and (a)(1)(vi)(G), as set forth below; 

■ b. Adding paragraphs (a)(1)(vi)(H) and 

(b)(1)(vi)(H), as set forth below; and 

■ c. Revising paragraphs (a)(1)(vii)(D), 

(a)(1)(vii)(G), (a)(1)(vii)(H), (b)(1)(vi)(F), 

(b)(1)(vi)(G), (b)(1)(vii)(D), and 

(b)(1)(vii)(H) to read as follows: 

Supplement No. 1 to Section 740.11— 

Additional Restrictions on Use of 

License Exception GOV 

(a) * * * 

(1) * * * 

(vi) * * * 

(F) Controlled by 8D001, specially 

designed for the ‘‘development’’ or 

‘‘production’’ of equipment controlled by 

8A001.b, 8A001.d, or 8A002.o.3.b; 

(G) Controlled by 9D001, specially 

designed or modified for the ‘‘development’’

of equipment or ‘‘technology’’ controlled by 

9A011, 9E003.a.1, or 9E003.a.3.a; and 

(H) Controlled by 9D002,specially designed 

or modified for the ‘‘production’’ of 

equipment controlled by 9A011; 

(vii) * * * 

(D) Controlled by 6E001 for the 

‘‘development’’ of equipment or ‘‘software’’

in 6A001.a.1.b.1, 6A001.a.2.a.1, 

6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5, 

6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.c, 

6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 

6A008.1.3, 6B008, 6D001 (specially designed 

for the ‘‘production’’ or ‘‘development’’ of 

equipment in 6A008.1.3 or 6B008), or 

6D003.a as described in paragraph (a)(1) of 

this Supplement; and 

* * * * * 

(G) Controlled by 9E001 for the 

‘‘development’’ of equipment or ‘‘software’’

in 9A011, 9D001 for the ‘‘development’’ of 

9A011, or 9D002 for the ‘‘production’’ of 

9A011; and 

(H) Controlled by 9E002 for the 

‘‘production’’ of equipment in 9A011; and 

* * * * * 

(b) * * * 

(1) * * * 

(vi) * * * 

(F) Controlled by 8D001, specially 

designed for the ‘‘development’’ or 

‘‘production’’ of equipment controlled by 

8A001.b, 8A001.d, or 8A002.o.3.b; 

(G) Controlled by 9D001, specially 

designed or modified for the ‘‘development’’

of equipment or ‘‘technology’’ controlled by 

9A011, 9E003.a.1, or 9E003.a.3.a; and 

(H) Controlled by 9D002, specially 

designed or modified for the ‘‘production’’ of 

equipment controlled by 9A011; 

(vii) * * * 

(D) Controlled by 6E001 for the 

‘‘development’’ of equipment or ‘‘software’’

in 6A001.a.1.b.1, 6A001.a.2.a.1, 

6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5, 

6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.c, 

6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 

6A008.1.3, 6B008, 6D001 (specially designed 

for the ‘‘production’’ or ‘‘development’’ of 

equipment in 6A008.1.3 or 6B008), or 

6D003.a as described in paragraph (a)(1) of 

this Supplement; and 

* * * * * 

(H) Controlled by 9E002 for the production 

of 9A011; and 

* * * * * 

■ 4. Section 740.17 is amended by: 

■ a. Revising the phrase ‘‘by ECCNs 

5A002.a.1, .a.2, .a.5, and .a.6, 5B002, 

and 5D002’’ to read ‘‘by ECCNs 

5A002.a.1, .a.2, .a.5, .a.6, and .a.9, 

5B002, and 5D002’’ in the introductory 

paragraph; 

■ b. Revising the heading of paragraph 

(b) to read as set forth below; and 

■ c. Revising the phrase ‘‘ECCNs 

5A002.a.1, .a.2, .a.5, or .a.6,’’ to read 

‘‘ECCNs 5A002.a.1, .a.2, .a.5, .a.6, or 

.a.9,’’ in paragraphs (a) introductory 

text, (b)(1) introductory text, and (b)(2) 

introductory text. 

§ 740.17 Encryption Commodities and 

Software (ENC). 

* * * * * 

(b) Exports and reexports for U.S. 

subsidiaries and to countries not listed 

in Supplement No. 3 to this part. 

* * * * * 

PART 743—[AMENDED] 

■ 5. The authority citation for Part 743 

is revised to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; Pub. 

L. 106–508; 50 U.S.C. 1701 et seq.; Notice of 

August 3, 2006, 71 FR 44551 (August 7, 

2006). 

■ 6. Section 743.1 is amended by: 

■ a. Revising the note to paragraph 

(c)(1)(ii), as set forth below; 

■ b. Revising paragraphs (c)(1)(v), and 

(c)(1)(vi), as set forth below; 

■ c. Redesignating paragraphs (c)(1)(vii) 

and (viii) as (viii) and (ix); 

■ d. Adding a new paragraph (c)(1)(vii) 

as set forth below; and 

■ e. Revising newly designated 

paragraphs (c)(1)(viii) and (c)(1)(ix) to 

read as follows: 

§ 743.1 Wassenaar Arrangement. 

* * * * * 

(c) * * * 

(1) * * * 

(ii) * * * 

Note to paragraph (c)(1)(ii): Reports for 

2D001, are for ‘‘software’’, other than that 

controlled by 2D002, specially designed for 

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

equipment in 2B001.a or .b (changing 6μm to 

5.1μm in 2B001.a.1 and 2B001.b.1.a; and 

adding ‘‘a positioning accuracy with ‘‘all 

compensations available’’ equal to or less 

(better) than 5.1μm along any linear axis’’ to 

the existing text for 2B001.b.2) of the 

Commerce Control List (CCL). 

Reports for 2E001, are for ‘‘technology’’

according to the General Technology Note for 

‘‘development’’ of ‘‘software’’ as described in 

this paragraph for 2D001, or for the 

equipment in 2B001.a or .b (changing 6μm to 

5.1μm in 2B001.a.1 and 2B001.b.1.a; and 

adding ‘‘a positioning accuracy with ‘‘all 

compensations available’’ equal to or less 

(better) than 5.1μm along any linear axis’’ to 

the existing text for 2B001.b.2) of the CCL. 

Reports for 2E002, are for ‘‘technology’’

according to the General Technology Note for 

‘‘production’’ of the equipment in 2B001.a or 

.b (changing 6μm to 5.1μm in 2B001.a.1 and 

2B001.b.1.a; and adding ‘‘a positioning 

accuracy with ‘‘all compensations available’’

equal to or less (better) than 5.1μm along any 

linear axis’’ to the existing text for 2B001.b.2) 

of the CCL. 

* * * * * 

(v) Category 5: 5A001.b.3; 5B001.a 

(items specially designed for 5A001.b.3 

and b.5); 5D001.a (specially designed for 

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

equipment, function, or features in 

5A001.b.3 or 5B001.a as described in 

this paragraph) and 5D001.b (specially 

designed or modified to support 

‘‘technology’’ under 5E001.a as 

described in this paragraph); and 

5E001.a (for the ‘‘development’’ or 

‘‘production’’ of equipment, function, 

features, or ‘‘software’’ in 5A001.b.3, 


jlentini on PROD1PC65 with RULES2
52964 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

5B001.a, 5D001.a or 5D001.b as 

described in this paragraph); 

(vi) Category 6: 6A001.a.1.b (changing 

10 kHz to 5 kHz and adding the text ‘‘or 

a sound pressure level exceeding 224 dB 

(reference 1 μPa at 1 m) for equipment 

with an operating frequency in the band 

from 5 kHz to 10 kHz inclusive’’ to the 

existing text in 6A001.a.1.b.1) , and 

.a.2.d; 6A002.a.1.a, 6A002.a.1.b, 

6A002.a.2.a (changing 350 uA/Im to 700 

uA/Im in 6A002.a.2.a.3.a), 6A002.a.3, 

6A002.b, 6A002.c, 6A002.e; 6A003.b.3, 

6A003.b.4; 6A004.c and .d; 6A006.a, 

6A006.d (excluding compensators 

which provide only absolute values of 

the earth’s magnetic field as output (i.e., 

the frequency bandwidth of the output 

extends from DC to at least 0.8 Hz); 

6A008.d, .h, and .k; 6D001 (for 6A004.c 

and .d and 6A008.d, .h, and .k); 6E001 

(for equipment and software listed in 

this paragraph); and 6E002 (for 

equipment listed in this paragraph); 

Note to paragraph (c)(1)(vi): The reporting 

requirement for 6A002.a.3 excludes the 

following ‘‘focal plane arrays’’: 

a. Platinum Silicide having less than 

10,000 elements; 

b. Iridium Silicide; 

c. Indium Antimonide or Lead 

Selenide having less than 256 elements; 

d. Indium Arsenide; 

e. Lead Sulphide; 

f. Indium Gallium Arsenide; 

g. Mercury Cadmium Telluride, as 

follows: 

1. ‘Scanning Arrays’ having any of the 

following: 

a. 30 elements or less; or 

b. Incorporating time delay-andintegration within the element and 

having 2 elements or less; 

2. ‘Staring Arrays’ less than 256 

elements; 

Technical Notes: 

‘Scanning Arrays’ are defined as 

‘‘focal plane arrays’’ designed for use 

with a scanning optical system that 

images a scene in a sequential manner 

to produce an image. 

‘Staring Arrays’ are defined as ‘‘focal 

plane arrays’’ designed for use with a 

non-scanning optical system that images 

a scene. 

h. Gallium Arsenide or Gallium 

Aluminum Arsenide quantum well 

having less than 256 elements; 

(vii) Category 7: 7D002; 7D003.c, d.1 

to d.4, and d.7; 7E001; and 7E002; 

(viii) Category 8: 8A001.c; 8A002.b 

(for 8A001.b, .c, .d), .h, .j, .o.3, and .p; 

8D001 (for commodities listed in this 

paragraph); 8D002; 8E001 (for 

commodities listed in this paragraph); 

and 8E002.a; and 

(ix) Category 9: 9B001.b, 9D001 (for 

9B001.b and 9E003 as described in this 

paragraph), 9D002 (for 9B001.b), 

9D004.a, 9D004.c, 9E001 for technology 

controlled for NS reasons, 9E002, 

9E003.a.2, a.3.b, a.3.c, a.4, a.5, a.8, and 

a.9. 

* * * * * 

■ 7. Supplement No. 1 to Part 743 is 

amended by: 

■ a. Revising the heading of the 

Supplement to read as set forth below; 

and 

■ b. Adding Croatia, Estonia, Latvia, 

Lithuania, Malta, and South Africa in 

alphabetical order. 

Supplement No. 1 to Part 743—

Wassenaar Arrangement Participating 

States 

* * * * * 

PART 772—[AMENDED] 

■ 8. The authority citation for Part 772 

continues to read as follows: 

Authority: 50 U.S.C. app. 2401 et seq.; 50 

U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, 

3 CFR, 2001 Comp., p. 783; Notice of August 

3, 2006, 71 FR 44551 (August 7, 2006). 

■ 9. Section 772.1 is amended as 

follows: 

■ a. By removing the definition 

‘‘Asynchronous transfer mode’’

(‘‘ATM’’) and the separate entry for the 

acronym ‘‘ATM.’’

■ b. By revising the phrase ‘‘(Cat 3, 4, 

and 5)’’ to read ‘‘(Cat 2, 3, 4, and 5) in 

the definition ‘‘Electronic assembly.’’

■ c. By removing the definition ‘‘timemodulated ultra-wideband.’’

■ d. By adding the definition 

‘‘unmanned aerial vehicles’’ (‘‘UAVs’’) 

in alphabetic order after the definition 

for ‘‘United States airline,’’ to read as 

follows: 

§ 772.1 Definitions of Terms as Used in the 

Export Administration Regulations (EAR). 

* * * * * 

Unmanned aerial vehicle (‘‘UAV’’). 

(Cat 9) Any ‘‘aircraft’’ capable of 

initiating flight and sustaining 

controlled flight and navigation without 

any human presence on board. In 

addition, according to section 744.3 of 

the EAR, unmanned air vehicles, which 

are the same as ‘‘unmanned aerial 

vehicles,’’ include, but are not limited 

to, cruise missile systems, target drones 

and reconnaissance drones. 

* * * * * 

PART 774—[AMENDED] 

■ 10. The authority citation for Part 774 

continues 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 

U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. 

466c; 50 U.S.C. app. 5; Sec. 901–911, Pub. L. 

106–387; Sec. 221, Pub. L. 107–56; E.O. 

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

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

Comp., p. 783; Notice of August 3, 2006, 71 

FR 44551 (August 7, 2006). 

Supplement No. 1 to Part 774 

[Amended] 

■ 11. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

1—Materials, Chemicals, 

Microorganisms, and Toxins, Export 

Control Classification Number (ECCN) 

1C008 is amended by revising the 

‘‘items’’ paragraph in the List of Items 

Controlled section, to read as follows: 

1C008 Non-fluorinated polymeric 

substances, as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. Non-fluorinated polymeric substances, 

as follows: 

a.1. Bismaleimides; 

a.2. Aromatic polyamide-imides; 

a.3. Aromatic polyimides; 

a.4. Aromatic polyetherimides having a 

glass transition temperature (Tg) exceeding 

513K (240 °C). 

Note: 1C008.a does not control non-fusible 

compression molding powders or molded 

forms. 

b. Thermoplastic liquid crystal copolymers 

having a heat distortion temperature 

exceeding 523 K (250 °C) measured according 

to ISO 75–3 (2004), or national equivalents, 

with a load of 1.82 N/mm2 and composed of: 

b.1. Any of the following: 

b.1.a. Phenylene, biphenylene or 

naphthalene; or 

b.1.b. Methyl, tertiary-butyl or phenyl 

substituted phenylene, biphenylene or 

naphthalene; and 

b.2. Any of the following acids: 

b.2.a. Terephthalic acid; 

b.2.b. 6-hydroxy-2 naphthoic acid; or 

b.2.c. 4-hydroxybenzoic acid; 

c. Polyarylene ether ketones, as follows: 

c.1. [RESERVED] 

c.2. Polyether ketone ketone (PEKK); 

c.3. Polyether ketone (PEK); 

c.4. Polyether ketone ether ketone ketone 

(PEKEKK) 

d. Polyarylene ketones; 

e. Polyarylene sulphides, where the 

arylene group is biphenylene, triphenylene 

or combinations thereof; 

f. Polybiphenylenethersulphone having a 

glass transition temperature (Tg) exceeding 

513 K (240 °C). 

Technical Note: The glass transition 

temperature (Tg) for 1C008 materials is 

determined using the method described in 

ISO 11357–2 (1999) or national equivalents. 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52965 

■ 12. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

1—Materials, Chemicals, 

Microorganisms, and Toxins, is 

amended by adding Export Control 

Classification Number (ECCN) 1C998 

after ECCN 1C997 and before ECCN 

1C999, to read as follows: 

1C998 Non-fluorinated polymeric 

substances, not controlled by 1C008, as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: AT 

Control(s) Country chart 

AT applies to entire entry .... AT Column 1. 

License Exceptions 

LVS: N/A 

GBS: N/A 

CIV: N/A 

List of Items Controlled 

Unit: Kilograms 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. Polyether ether ketone (PEEK); 

b. [RESERVED]. 

■ 13. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

1—Materials, Chemicals, 

Microorganisms, and Toxins, Export 

Control Classification Number (ECCN) 

1E001 is amended by revising the 

heading, to read as follows: 

1E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ or ‘‘production’’ of items 

controlled by 1A001.b, 1A001.c, 1A002, 

1A003, 1A004, 1A005, 1A101, 1B (except 

1B999), or 1C (except 1C355, 1C980 to 

1C984, 1C988, 1C990, 1C991, 1C992, 1C995 

to 1C999). 

* * * * * 

■ 14. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

1—Materials, Chemicals, 

Microorganisms, and Toxins, Export 

Control Classification Number (ECCN) 

1E998 is added after 1E994, to read as 

follows: 

1E998 ‘‘Technology’’ for the 

‘‘development’’ or ‘‘production’’ of 

processing equipment controlled by 1B999, 

and materials controlled by 1C995, 1C996, 

1C997, 1C998, and 1C999. 

License Requirements 

Reason for Control: AT 

Control(s) Country chart 

AT applies to entire entry .... AT Column 1. 

License Exceptions 

CIV: N/A 

TSR: N/A 

List of Items Controlled 

Unit: N/A 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

The list of items controlled is contained in 

the ECCN heading. 

■ 15. Supplement No. 1 to Part 774 (the 

Commerce Control List), Category 2—

Materials Processing, Export Control 

Classification Number (ECCN) 2B002 is 

amended by revising the heading and 

the ‘‘items’’ paragraph in the List of 

Items Controlled section to read as 

follows: 

2B002 Numerically controlled machine 

tools using a magnetorheological finishing 

(MRF) process equipped to produce nonspherical surfaces and having any of the 

following characteristics (See List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. Finishing the form to less (better) than 

1.0 μm; or 

b. Finishing to a roughness less (better) 

than 100 nm rms. 

■ 16. Supplement No. 1 to Part 774 (the 

Commerce Control List), Category 2—

Materials Processing, Export Control 

Classification Number (ECCN) 2B006 is 

amended by revising the heading, the 

License Requirement section, and the 

‘‘unit’’ and the ‘‘items’’ paragraphs in 

the List of Items Controlled section to 

read as follows: 

2B006 Dimensional inspection or 

measuring systems, equipment, and 

‘‘electronic assemblies’’, as follows (see List 

of Items Controlled). 

License Requirements 

Reason for Control: NS, NP, AT 

Control(s) Country chart 

NS applies to entire entry ... NS Column 2. 

NP applies to 2B006.a and 

.b, except 2B006.b.1.d.

NP Column 1. 

AT applies to entire entry .... AT Column 1. 

* * * * * 

List of Items Controlled 

Unit: Equipment in number, electronic 

assemblies in $ value 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. Computer controlled or ‘‘numerically 

controlled’’ co-ordinate measuring machines 

(CMM), having a three dimensional length 

(volumetric) maximum permissible error of 

indication (MPEE) at any point within the 

operating range of the machine (i.e., within 

the length of axes) equal to or less (better) 

than (1.7 + L/1,000) μm (L is the measured 

length in mm) tested according to ISO 

10360–2 (2001); 

b. Linear and angular displacement 

measuring instruments, as follows: 

b.1. Linear displacement measuring 

instruments having any of the following: 

Technical Note: For the purpose of 

2B006.b.1 ‘‘linear displacement’’ means the 

change of distance between the measuring 

probe and the measured object. 

b.1.a. Non-contact type measuring systems 

with a ‘‘resolution’’ equal to or less (better) 

than 0.2 μm within a measuring range up to 

0.2 mm; 

b.1.b. Linear voltage differential 

transformer systems having all of the 

following characteristics: 

b.1.b.1. ‘‘Linearity’’ equal to or less (better) 

than 0.1% within a measuring range up to 5 

mm; and 

b.1.b.2. Drift equal to or less (better) than 

0.1% per day at a standard ambient test room 

temperature ±1 K; or 

b.1.c. Measuring systems having all of the 

following: 

b.1.c.1. Containing a ‘‘laser’’; and 

b.1.c.2. Maintaining, for at least 12 hours, 

over a temperature range of ±1 K around a 

standard temperature and at a standard 

pressure, all of the following: 

b.1.c.2.a. A ‘‘resolution’’ over their full 

scale of 0.1 μm or less (better); and 

b.1.c.2.b. A ‘‘measurement uncertainty’’

equal to or less (better) than (0.2 + L/2,000) 

μm (L is the measured length in mm); 

b.1.d. ‘‘Electronic assemblies’’ specially 

designed to provide feedback capability in 

systems controlled by 2B006.b.1.c. 

Note: 2B006.b.1 does not control 

measuring interferometer systems, with an 

automatic control system that is designed to 

use no feedback techniques, containing a 

‘‘laser’’ to measure slide movement errors of 

machine-tools, dimensional inspection 

machines or similar equipment. 

b.2. Angular displacement measuring 

instruments having an ‘‘angular position 

deviation’’ equal to or less (better) than 

0.00025 °; 

Note: 2B006.b.2 does not control optical 

instruments, such as autocollimators, using 

collimated light (e.g., laser light) to detect 

angular displacement of a mirror. 

c. Equipment for measuring surface 

irregularities, by measuring optical scatter as 

a function of angle, with a sensitivity of 0.5 

nm or less (better). 

■ 17. Supplement No. 1 to Part 774 (the 

Commerce Control List), Category 2—

Materials Processing, Export Control 

Classification Number (ECCN) 2E201 is 

amended by revising the heading and 

the License Requirement section to read 

as follows: 

2E201 ‘‘Technology’’ according to the 

General Technology Note for the ‘‘use’’ of 

equipment or ‘‘software’’ controlled by 

2A225, 2A226, 2B001, 2B006, 2B007.b, 

2B007.c, 2B201, 2B204, 2B206, 2B207, 

2B209, 2B225 to 2B232, 2D002, 2D201 or 

2D202 for NP reasons. 

License Requirements 

Reason for Control: NP, CB, AT 


jlentini on PROD1PC65 with RULES2
52966 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

Control(s) Country chart 

NP applies to entire entry ... NP Column 1. 

CB applies to ‘‘technology’’ 

for valves controlled by 

2A226 that meet or exceed the technical parameters in 2B350.g.

CB Column 2. 

AT applies to entire entry .... AT Column 1. 

* * * * * 

■ 18. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

3—Electronics, Export Control 

Classification Number (ECCN) 3A001 is 

amended revising the ‘‘CIV’’ paragraph 

in the License Exceptions section, and 

the ‘‘items’’ paragraph in the List of 

Items Controlled section, to read as 

follows: 

3A001 Electronic components, as follows 

(see List of Items Controlled). 

* * * * * 

License Exceptions 

LVS: * * * 

GBS: * * * 

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

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. General purpose integrated circuits, as 

follows: 

Note 1: The control status of wafers 

(finished or unfinished), in which the 

function has been determined, is to be 

evaluated against the parameters of 3A001.a. 

Note 2: Integrated circuits include the 

following types: 

‘‘Monolithic integrated circuits’’; 

‘‘Hybrid integrated circuits’’; 

‘‘Multichip integrated circuits’’; 

‘‘Film type integrated circuits’’, including 

silicon-on-sapphire integrated circuits; 

‘‘Optical integrated circuits’’. 

a.1. Integrated circuits, designed or rated as 

radiation hardened to withstand any of the 

following: 

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

higher; 

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

s, or higher; or 

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

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

cm2 or higher on silicon, or its equivalent for 

other materials; 

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

Insulator Semiconductors (MIS). 

a.2. ‘‘Microprocessor microcircuits’’, 

‘‘microcomputer microcircuits’’, 

microcontroller microcircuits, storage 

integrated circuits manufactured from a 

compound semiconductor, analog-to-digital 

converters, digital-to-analog converters, 

electro-optical or ‘‘optical integrated circuits’’

designed for ‘‘signal processing’’, field 

programmable logic devices, neural network 

integrated circuits, custom integrated circuits 

for which either the function is unknown or 

the control status of the equipment in which 

the integrated circuit will be used in 

unknown, Fast Fourier Transform (FFT) 

processors, electrical erasable programmable 

read-only memories (EEPROMs), flash 

memories or static random-access memories 

(SRAMs), having any of the following: 

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

temperature above 398 K (125 °C); 

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

temperature below 218 K (¥55 °C); or 

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

ambient temperature range from 218 K 

(¥55 °C) to 398 K (125 °C); 

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

integrated circuits for civil automobile or 

railway train applications. 

a.3. ‘‘Microprocessor microcircuits’’, 

‘‘micro-computer microcircuits’’ and 

microcontroller microcircuits, manufactured 

from a compound semiconductor and 

operating at a clock frequency exceeding 40 

MHz; 

Note: 3A001.a.3 includes digital signal 

processors, digital array processors and 

digital coprocessors. 

a.4. Storage integrated circuits 

manufactured from a compound 

semiconductor; 

a.5. Analog-to-digital and digital-to-analog 

converter integrated circuits, as follows: 

a.5.a. Analog-to-digital converters having 

any of the following: 

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

less than 10 bit, an output rate greater than 

500 million words per second; 

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

less than 12 bit, with an output rate greater 

than 200 million words per second; 

a.5.a.3. A resolution of 12 bit with an 

output rate greater than 50 million words per 

second; 

a.5.a.4. A resolution of more than 12 bit but 

equal to or less than 14 bit with an output 

rate greater than 5 million words per second; 

or 

a.5.a.5. A resolution of more than 14 bit 

with an output rate greater than 1 million 

words per second. 

a.5.b. Digital-to-analog converters with a 

resolution of 12 bit or more, and a ‘‘settling 

time’’ of less than 10 ns; 

Technical Notes: 

1. A resolution of n bit corresponds to a 

quantization of 2n levels. 

2. The number of bits in the output word 

is equal to the resolution of the analogue-todigital converter. 

3. The output rate is the maximum output 

rate of the converter, regardless of 

architecture or oversampling. Vendors may 

also refer to the output rate as sampling rate, 

conversion rate or throughput rate. It is often 

specified in megahertz (MHz) or mega 

samples per second (MSPS). 

4. For the purpose of measuring output 

rate, one output word per second is 

equivalent to one Hertz or one sample per 

second. 

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

circuits’’ designed for ‘‘signal processing’’

having all of the following: 

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

‘‘laser’’ diode; 

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

detecting element; and 

a.6.c. Optical waveguides; 

a.7. Field programmable logic devices 

having any of the following: 

a.7.a. An equivalent usable gate count of 

more than 30,000 (2 input gates); 

a.7.b. A typical ‘‘basic gate propagation 

delay time’’ of less than 0.1 ns; or 

a.7.c. A toggle frequency exceeding 133 

MHz; 

Note: 3A001.a.7 includes: Simple 

Programmable Logic Devices (SPLDs), 

Complex Programmable Logic Devices 

(CPLDs), Field Programmable Gate Arrays 

(FPGAs), Field Programmable Logic Arrays 

(FPLAs), and Field Programmable 

Interconnects (FPICs). 

N.B.: Field programmable logic devices are 

also known as field programmable gate or 

field programmable logic arrays. 

a.8. [RESERVED] 

a.9. Neural network integrated circuits; 

a.10. Custom integrated circuits for which 

the function is unknown, or the control 

status of the equipment in which the 

integrated circuits will be used is unknown 

to the manufacturer, having any of the 

following: 

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

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

delay time’’ of less than 0.1 ns; or 

a.10.c. An operating frequency exceeding 3 

GHz; 

a.11. Digital integrated circuits, other than 

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

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

semiconductor and having any of the 

following: 

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

than 3,000 (2 input gates); or 

a.11.b. A toggle frequency exceeding 1.2 

GHz; 

a.12. Fast Fourier Transform (FFT) 

processors having a rated execution time for 

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

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

points; 

Technical Note: When N is equal to 1,024 

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

execution time of 500 μs. 

b. Microwave or millimeter wave 

components, as follows: 

b.1. Electronic vacuum tubes and cathodes, 

as follows: 

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

designed or rated for operation in any 

frequency band which meets all of the 

following characteristics: 

(a) Does not exceed 31.8 GHz; and 

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

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

‘‘space-qualified’’ tubes which meet all the 

following characteristics: 

(a) An average output power equal to or 

less than 50 W; and 

(b) Designed or rated for operation in any 

frequency band which meets all of the 

following characteristics: 

(1) Exceeds 31.8 GHz but does not exceed 

43.5 GHz; and 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52967 

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

b.1.a. Traveling wave tubes, pulsed or 

continuous wave, as follows: 

b.1.a.1. Operating at frequencies exceeding 

31.8 GHz; 

b.1.a.2. Having a cathode heater element 

with a turn on time to rated RF power of less 

than 3 seconds; 

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

derivatives thereof, with a ‘‘fractional 

bandwidth’’ of more than 7% or a peak 

power exceeding 2.5 kW; 

b.1.a.4. Helix tubes, or derivatives thereof, 

with any of the following characteristics: 

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

more than one octave, and average power 

(expressed in kW) times frequency 

(expressed in GHz) of more than 0.5; 

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

one octave or less, and average power 

(expressed in kW) times frequency 

(expressed in GHz) of more than 1; or 

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

b.1.b. Crossed-field amplifier tubes with a 

gain of more than 17 dB; 

b.1.c. Impregnated cathodes designed for 

electronic tubes producing a continuous 

emission current density at rated operating 

conditions exceeding 5 A/cm2; 

b.2. Microwave monolithic integrated 

circuits (MMIC) power amplifiers having any 

of the following: 

b.2.a. Rated for operation at frequencies 

exceeding 3.2 GHz up to and including 6 

GHz and with an average output power 

greater than 4W (36 dBm) with a ‘‘fractional 

bandwidth’’ greater than 15%; 

b.2.b. Rated for operation at frequencies 

exceeding 6 GHz up to and including 16 GHz 

and with an average output power greater 

than 1W (30 dBm) with a ‘‘fractional 

bandwidth’’ greater than 10%; 

b.2.c. Rated for operation at frequencies 

exceeding 16 GHz up to and including 31.8 

GHz and with an average output power 

greater than 0.8W (29 dBm) with a ‘‘fractional 

bandwidth’’ greater than 10%; 

b.2.d. Rated for operation at frequencies 

exceeding 31.8 GHz up to and including 37.5 

GHz; 

b.2.e. Rated for operation at frequencies 

exceeding 37.5 GHz up to and including 43.5 

GHz and with an average output power 

greater than 0.25W (24 dBm) with a 

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

b.2.f. Rated for operation at frequencies 

exceeding 43.5 GHz. 

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

broadcast satellite equipment designed or 

rated to operate in the frequency range of 

40.5 to 42.5 GHz. 

Note 2: The control status of the MMIC 

whose rated operating frequency includes 

frequencies listed in more than one 

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

through 3A001.b.2.f, is determined by the 

lowest average output power control 

threshold. 

Note 3: Notes 1 and 2 following the 

Category 3 heading for A. Systems, 

Equipment, and Components mean that 

3A001.b.2. does not control MMICs if they 

are specially designed for other applications, 

e.g., telecommunications, radar, automobiles. 

b.3. Discrete microwave transistors having 

any of the following: 

b.3.a. Rated for operation at frequencies 

exceeding 3.2 GHz up to and including 6 

GHz and having an average output power 

greater than 60W (47.8 dBm); 

b.3.b. Rated for operation at frequencies 

exceeding 6 GHz up to and including 31.8 

GHz and having an average output power 

greater than 20W (43 dBm); 

b.3.c. Rated for operation at frequencies 

exceeding 31.8 GHz up to and including 37.5 

GHz and having an average output power 

greater than 0.5W (27 dBm); 

b.3.d. Rated for operation at frequencies 

exceeding 37.5 GHz up to and including 43.5 

GHz and having an average output power 

greater than 1W (30 dBm); or 

b.3.e. Rated for operation at frequencies 

exceeding 43.5 GHz. 

Note: The control status of a transistor 

whose rated operating frequency includes 

frequencies listed in more than one 

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

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

lowest average output power control 

threshold. 

b.4. Microwave solid state amplifiers and 

microwave assemblies/modules containing 

microwave amplifiers having any of the 

following: 

b.4.a. Rated for operation at frequencies 

exceeding 3.2 GHz up to and including 6 

GHz and with an average output power 

greater than 60W (47.8 dBm) with a 

‘‘fractional bandwidth’’ greater than 15%; 

b.4.b. Rated for operation at frequencies 

exceeding 6 GHz up to and including 31.8 

GHz and with an average output power 

greater than 15W (42 dBm) with a ‘‘fractional 

bandwidth’’ greater than 10%; 

b.4.c. Rated for operation at frequencies 

exceeding 31.8 GHz up to and including 37.5 

GHz; 

b.4.d. Rated for operation at frequencies 

exceeding 37.5 GHz up to and including 43.5 

GHz and with an average output power 

greater than 1W (30 dBm) with a ‘‘fractional 

bandwidth’’ greater than 10%; 

b.4.e. Rated for operation at frequencies 

exceeding 43.5 GHz; or 

b.4.f. Rated for operation at frequencies 

above 3.2 GHz and all of the following: 

b.4.f.1. An average output power (in watts), 

P, greater than 150 divided by the maximum 

operating frequency (in GHz) squared [P > 

150 W*GHz 2 fGHz2]; 

b.4.f.2. A fractional bandwidth of 5% or 

greater; and 

b.4.f.3. Any two sides perpendicular to one 

another with length d (in cm) equal to or less 

than 15 divided by the lowest operating 

frequency in GHz [d ≤15 cm*GHz / fGHz]. 

Technical Note: 3.2 GHz should be used as 

the lowest operating frequency (fGHz ) in the 

formula in 3A001.b.4.f.3., for amplifiers that 

have a rated operation range extending 

downward to 3.2 GHz and below [d 

≤15cm*GHz/3.2 fGHz]. 

N.B.: MMIC power amplifiers should be 

evaluated against the criteria in 3A001.b.2. 

Note 1: 3A001.b.4. does not control 

broadcast satellite equipment designed or 

rated to operate in the frequency range of 

40.5 to 42.5 GHz. 

Note 2: The control status of an item whose 

rated operating frequency includes 

frequencies listed in more than one 

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

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

lowest average output power control 

threshold. 

b.5. Electronically or magnetically tunable 

band-pass or band-stop filters having more 

than 5 tunable resonators capable of tuning 

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

less than 10 μs having any of the following: 

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

0.5% of center frequency; or 

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

0.5% of center frequency; 

b.6. [RESERVED] 

b.7. Mixers and converters designed to 

extend the frequency range of equipment 

described in 3A002.c, 3A002.e or 3A002.f 

beyond the limits stated therein; 

b.8. Microwave power amplifiers 

containing tubes controlled by 3A001.b and 

having all of the following: 

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

b.8.b. An average output power density 

exceeding 80 W/kg; and 

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

Note: 3A001.b.8 does not control 

equipment designed or rated for operation in 

any frequency band which is ‘‘allocated by 

the ITU’’ for radio-communications services, 

but not for radio-determination. 

c. Acoustic wave devices, as follows, and 

specially designed components therefor: 

c.1. Surface acoustic wave and surface 

skimming (shallow bulk) acoustic wave 

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

employing elastic waves in materials), having 

any of the following: 

c.1.a. A carrier frequency exceeding 2.5 

GHz; 

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

but not exceeding 2.5 GHz, and having any 

of the following: 

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

exceeding 55 dB; 

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

time and the bandwidth (time in μs and 

bandwidth in MHz) of more than 100; 

c.1.b.3. A bandwidth greater than 250 

MHz; or 

c.1.b.4. A dispersive delay of more than 10 

μs; or 

c.1.c. A carrier frequency of 1 GHz or less, 

having any of the following: 

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

time and the bandwidth (time in μs and 

bandwidth in MHz) of more than 100; 

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

μs; or 

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

exceeding 55 dB and a bandwidth greater 

than 50 MHz; 

c.2. Bulk (volume) acoustic wave devices 

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

elastic waves) that permit the direct 

processing of signals at frequencies 

exceeding 1 GHz; 

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

devices employing interaction between 

acoustic waves (bulk wave or surface wave) 

and light waves that permit the direct 

processing of signals or images, including 

spectral analysis, correlation or convolution; 


jlentini on PROD1PC65 with RULES2
52968 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

d. Electronic devices and circuits 

containing components, manufactured from 

‘‘superconductive’’ materials specially 

designed for operation at temperatures below 

the ‘‘critical temperature’’ of at least one of 

the ‘‘superconductive’’ constituents, with any 

of the following: 

d.1. Current switching for digital circuits 

using ‘‘superconductive’’ gates with a 

product of delay time per gate (in seconds) 

and power dissipation per gate (in watts) of 

less than 10¥14 J; or 

d.2. Frequency selection at all frequencies 

using resonant circuits with Q-values 

exceeding 10,000; 

e. High energy devices, as follows: 

e.1. Batteries and photovoltaic arrays, as 

follows: 

Note: 3A001.e.1 does not control batteries 

with volumes equal to or less than 27 cm3

(e.g., standard C-cells or R14 batteries). 

e.1.a. Primary cells and batteries having an 

energy density exceeding 480 Wh/kg and 

rated for operation in the temperature range 

from below 243 K (¥30 °C) to above 343 K 

(70 °C); 

e.1.b. Rechargeable cells and batteries 

having an energy density exceeding 150 Wh/ 

kg after 75 charge/discharge cycles at a 

discharge current equal to C/5 hours (C being 

the nominal capacity in ampere hours) when 

operating in the temperature range from 

below 253 K (¥20 °C) to above 333 K (60 °C); 

Technical Note: Energy density is obtained 

by multiplying the average power in watts 

(average voltage in volts times average 

current in amperes) by the duration of the 

discharge in hours to 75% of the open circuit 

voltage divided by the total mass of the cell 

(or battery) in kg. 

e.1.c. ‘‘Space qualified’’ and radiation 

hardened photovoltaic arrays with a specific 

power exceeding 160 W/m2 at an operating 

temperature of 301 K (28 °C) under a 

tungsten illumination of 1 kW/m2 at 2,800 K 

(2,527 °C); 

e.2. High energy storage capacitors, as 

follows: 

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

less than 10 Hz (single shot capacitors) 

having all of the following: 

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

than 5 kV; 

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

than 250 J/kg; and 

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

than 25 kJ; 

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

10 Hz or more (repetition rated capacitors) 

having all of the following: 

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

than 5 kV; 

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

than 50 J/kg; 

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

than 100 J; and 

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

to or more than 10,000; 

e.3. ‘‘Superconductive’’ electromagnets and 

solenoids specially designed to be fully 

charged or discharged in less than one 

second, having all of the following: 

Note: 3A001.e.3 does not control 

‘‘superconductive’’ electromagnets or 

solenoids specially designed for Magnetic 

Resonance Imaging (MRI) medical 

equipment. 

e.3.a. Energy delivered during the 

discharge exceeding 10 kJ in the first second; 

e.3.b. Inner diameter of the current 

carrying windings of more than 250 mm; and 

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

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

in the winding of more than 300 A/mm2; 

f. Rotary input type shaft absolute position 

encoders having any of the following: 

f.1. A resolution of better than 1 part in 

265,000 (18 bit resolution) of full scale; or 

f.2. An accuracy better than ±2.5 seconds 

of arc. 

■ 19. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

3—Electronics, Export Control 

Classification Number (ECCN) 3A991 is 

amended revising the ‘‘items’’ paragraph 

in the List of Items Controlled section, 

to read as follows: 

3A991 Electronic devices and 

components not controlled by 3A001. 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. ‘‘Microprocessor microcircuits’’, 

‘‘microcomputer microcircuits’’, and 

microcontroller microcircuits having any of 

the following: 

a.1. A ‘‘composite theoretical performance’’

(‘‘CTP’’) of 6,500 million theoretical 

operations per second (MTOPS) or more and 

an arithmetic logic unit with an access width 

of 32 bit or more; 

a.2. A clock frequency rate exceeding 25 

MHz; or 

a.3. More than one data or instruction bus 

or serial communication port that provides a 

direct external interconnection between 

parallel ‘‘microprocessor microcircuits’’ with 

a transfer rate of 2.5 Mbyte/s. 

b. Storage integrated circuits, as follows: 

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

capacity; 

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

flash memory types; or 

b.1.b. Exceeding either of the following 

limits for all other EEPROM types: 

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

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

and a maximum access time of less than 80 

ns; 

b.2. Static random access memories 

(SRAMs) with a storage capacity: 

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

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

a maximum access time of less than 25 ns; 

c. Analog-to-digital converters having any 

of the following: 

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

than 12 bit, with an output rate greater than 

100 million words per second; 

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

rate greater than 5 million words per second; 

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

equal to or less than 14 bit with an output 

rate greater than 500 thousand words per 

second; or 

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

an output rate greater than 500 thousand 

words per second. 

d. Field programmable logic devices 

having either of the following: 

d.1. An equivalent gate count of more than 

5000 (2 input gates); or 

d.2. A toggle frequency exceeding 100 

MHz; 

e. Fast Fourier Transform (FFT) processors 

having a rated execution time for a 1,024 

point complex FFT of less than 1 ms. 

f. Custom integrated circuits for which 

either the function is unknown, or the 

control status of the equipment in which the 

integrated circuits will be used is unknown 

to the manufacturer, having any of the 

following: 

f.1. More than 144 terminals; or 

f.2. A typical ‘‘basic propagation delay 

time’’ of less than 0.4 ns. 

g. Traveling wave tubes, pulsed or 

continuous wave, as follows: 

g.1. Coupled cavity tubes, or derivatives 

thereof; 

g.2. Helix tubes, or derivatives thereof, 

with any of the following: 

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

half an octave or more; and 

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

output power (expressed in kW) and the 

maximum operating frequency (expressed in 

GHz) of more than 0.2; 

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

less than half an octave; and 

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

output power (expressed in kW) and the 

maximum operating frequency (expressed in 

GHz) of more than 0.4; 

h. Flexible waveguides designed for use at 

frequencies exceeding 40 GHz; 

i. Surface acoustic wave and surface 

skimming (shallow bulk) acoustic wave 

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

employing elastic waves in materials), having 

either of the following: 

i.1. A carrier frequency exceeding 1 GHz; 

or 

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

and 

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

exceeding 55 Db; 

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

time and bandwidth (time in microseconds 

and bandwidth in MHz) of more than 100; or 

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

microseconds. 

j. Primary cells and batteries having an 

energy density exceeding 350 Wh/kg and 

rated for operation in the temperature range 

from below 243 K (¥30 °C) to above 343 K 

(70 °C); 

Note: 3A991 .j does not control batteries 

with volumes equal to or less than 27 cm3

(e.g., standard C-cells or UM–2 batteries). 

Technical Note: Energy density is obtained 

by multiplying the average power in watts 

(average voltage in volts times average 

current in amperes) by the duration of the 

discharge in hours to 75 percent of the open 

circuit voltage divided by the total mass of 

the cell (or battery) in kg. 

k. ‘‘Superconductive’’ electromagnets or 

solenoids specially designed to be fully 

charged or discharged in less than one 

minute, having all of the following: 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52969 

Note: 3A991.k does not control 

‘‘superconductive’’ electromagnets or 

solenoids designed for Magnetic Resonance 

Imaging (MRI) medical equipment. 

k.1. Maximum energy delivered during the 

discharge divided by the duration of the 

discharge of more than 500 kJ per minute; 

k.2. Inner diameter of the current carrying 

windings of more than 250 mm; and 

k.3. Rated for a magnetic induction of more 

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

winding of more than 300 A/mm2. 

l. Circuits or systems for electromagnetic 

energy storage, containing components 

manufactured from ‘‘superconductive’’

materials specially designed for operation at 

temperatures below the ‘‘critical 

temperature’’ of at least one of their 

‘‘superconductive’’ constituents, having all of 

the following: 

l.1. Resonant operating frequencies 

exceeding 1 MHz; 

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

more; and 

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

m. Hydrogen/hydrogen-isotope thyratrons 

of ceramic-metal construction and rate for a 

peak current of 500 A or more; 

n. Digital integrated circuits based on any 

compound semiconductor having an 

equivalent gate count of more than 300 (2 

input gates). 

■ 20. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

3—Electronics, Export Control 

Classification Number (ECCN) 3B001 is 

amended revising the ‘‘items’’ paragraph 

in the List of Items Controlled section, 

to read as follows: 

3B001 Equipment for the manufacturing 

of semiconductor devices or materials, as 

follows (see List of Items Controlled), and 

specially designed components and 

accessories therefor. 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. Equipment designed for epitaxial 

growth, as follows: 

a.1. Equipment capable of producing a 

layer of any material other than silicon with 

a thickness uniform to less than ±2.5% across 

a distance of 75 mm or more; 

a.2. Metal organic chemical vapor 

deposition (MOCVD) reactors specially 

designed for compound semiconductor 

crystal growth by the chemical reaction 

between materials controlled by 3C003 or 

3C004; 

a.3. Molecular beam epitaxial growth 

equipment using gas or solid sources; 

b. Equipment designed for ion 

implantation, having any of the following: 

b.1. A beam energy (accelerating voltage) 

exceeding 1 MeV; 

b.2. Being specially designed and 

optimized to operate at a beam energy 

(accelerating voltage of less than 2 keV); 

b.3. Direct write capability; or 

b.4. A beam energy of 65 keV or more and 

a beam current of 45 mA or more for high 

energy oxygen implant into a heated 

semiconductor material ‘‘substrate’’; 

c. Anisotropic plasma dry etching 

equipment, as follows: 

c.1. Equipment with cassette-to-cassette 

operation and load-locks, and having any of 

the following: 

c.1.a. Designed or optimized to produce 

critical dimensions of 180 nm or less with 

±5% 3 sigma precision; or 

c.1.b. Designed for generating less than 

0.04 particles/cm2 with a measurable particle 

size greater than 0.1μm in diameter; 

c.2. Equipment specially designed for 

equipment controlled by 3B001.e. and having 

any of the following: 

c.2.a. Designed or optimized to produce 

critical dimensions of 180 nm or less with 

±5% 3 sigma precision; or 

c.2.b. Designed for generating less than 

0.04 particles/cm2 with a measurable particle 

size greater than 0.1 μm in diameter; 

d. Plasma enhanced CVD equipment, as 

follows: 

d.1. Equipment with cassette-to-cassette 

operation and load-locks, and designed 

according to the manufacturer’s 

specifications or optimized for use in the 

production of semiconductor devices with 

critical dimensions of 180 nm or less; 

d.2. Equipment specially designed for 

equipment controlled by 3B001.e. and 

designed according to the manufacturer’s 

specifications or optimized for use in the 

production of semiconductor devices with 

critical dimensions of 180 nm or less; 

e. Automatic loading multi-chamber 

central wafer handling systems, having all of 

the following: 

e.1. Interfaces for wafer input and output, 

to which more than two pieces of 

semiconductor processing equipment are to 

be connected; and 

e.2. Designed to form an integrated system 

in a vacuum environment for sequential 

multiple wafer processing; 

Note: 3B001.e. does not control automatic 

robotic wafer handling systems not designed 

to operate in a vacuum environment. 

f. Lithography equipment, as follows: 

f.1. Align and expose step and repeat 

(direct step on wafer) or step and scan 

(scanner) equipment for wafer processing 

using photo-optical or X-ray methods, having 

any of the following: 

f.1.a. A light source wavelength shorter 

than 245 nm; or 

f.1.b. Capable of producing a pattern with 

a minimum resolvable feature size of 180 nm 

or less; 

Technical Note: The minimum resolvable 

feature size is calculated by the following 

formula: 

Where the K factor = 0.45 

MRF = minimum resolvable feature size. 

f.2. Equipment specially designed for mask 

making or semiconductor device processing 

using deflected focused electron beam, ion 

beam or ‘‘laser’’ beam, having any of the 

following: 

f.2.a. A spot size smaller than 0.2 μm; 

f.2.b. Being capable of producing a pattern 

with a feature size of less than 1 μm; or 

f.2.c. An overlay accuracy of better than 

±0.20 μm (3 sigma); 

g. Masks and reticles designed for 

integrated circuits controlled by 3A001; 

h. Multi-layer masks with a phase shift 

layer. 

Note: 3B001.h. does not control multi-layer 

masks with a phase shift layer designed for 

the fabrication of memory devices not 

controlled by 3A001. 

■ 21. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

3—Electronics, Export Control 

Classification Number (ECCN) 3B991 is 

amended revising the ‘‘units’’ and 

‘‘items’’ paragraphs in the List of Items 

Controlled section, to read 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, and 

components and accessories in $ value 

Related Controls: * * * 

Related Definitions: * * * 

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 ‘‘electronic 

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: 


jlentini on PROD1PC65 with RULES2ER07SE06.001</GPH>
52970 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

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 m2 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 silicon 

layer with a thickness uniform to less than 

±2.5% across a distance of 200 mm or more; 

b.1.d.2. Capable of producing a layer of any 

material other than silicon with a thickness 

uniformity across the wafer of equal to or 

better than ±3.5%; or 

b.1.d.3. Rotation of individual wafers 

during processing; 

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 designed 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; 

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 × 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 × 100 mm, or capable of 

producing a single exposure larger than 6 

mm × 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 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52971 

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, e.g., lithography equipment, 

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 focused, 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 × 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. 

■ 22. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

3—Electronics, Export Control 

Classification Number (ECCN) 3E001 is 

amended revising the heading and CIV 

paragraph in the License Exceptions 

section, to read as follows: 

3E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ or ‘‘production’’ of 

equipment or materials controlled by 3A 

(except 3A292, 3A980, 3A981, 3A991 or 

3A992), 3B (except 3B991 or 3B992) or 3C 

(except 3C992). 

* * * * * 

License Exceptions 

CIV: N/A 

TSR: * * * 

* * * * * 

■ 23. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

3—Electronics, Export Control 

Classification Number (ECCN) 3E991 is 

amended revising the heading, to read 

as follows: 

3E991 ‘‘Technology’’ for the 

‘‘development’’, ‘‘production’’, or ‘‘use’’ of 

electronic devices or components controlled 

by 3A991, general purpose electronic 

equipment controlled by 3A992, or 

manufacturing and test equipment 

controlled by 3B991 or 3B992, or materials 

controlled by 3C992. 

* * * * * 

■ 24. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

5—Telecommunications and 

‘‘Information Security’’, Part I—

Telecommunications, Export Control 

Classification Number (ECCN) 5A001 is 

amended by revising the Heading, the 

License Requirements section and the 

‘‘items’’ paragraph in the List of Items 

Controlled section, to read as follows: 

5A001 Telecommunications systems, 

equipment, and components, as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) Country chart 

NS applies to 5A001.a, and 

.e.

NS Column 1. 

NS applies to 5A001.b, .c, 

.d, and .f.

NS Column 2. 

AT applies to entire entry .... AT Column 1. 

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. 

* * * * * 

List of Items Controlled 

Unit: Equipment or antennae in number; 

cable and fiber in meters/feet, components 

and accessories in $ value 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. Any type of telecommunications 

equipment having any of the following 

characteristics, functions or features: 

a.1. Specially designed to withstand 

transitory electronic effects or 

electromagnetic pulse effects, both arising 

from a nuclear explosion; 

a.2. Specially hardened to withstand 

gamma, neutron or ion radiation; or 

a.3. Specially designed to operate outside 

the temperature range from 218 K (¥55 °C) 

to 397 K (124 °C). 

Note: 5A001.a.3 applies only to electronic 

equipment. 

Note: 5A001.a.2 and 5A001.a.3 do not 

apply to equipment designed or modified for 

use on board satellites. 

b. Telecommunication transmission 

equipment and systems, and specially 

designed components and accessories 

therefor, having any of the following 

characteristics, functions or features: 

b.1 Being underwater communications 

systems having any of the following 

characteristics: 

b.1.a. An acoustic carrier frequency outside 

the range from 20 kHz to 60 kHz; 

b.1.b. Using an electromagnetic carrier 

frequency below 30 kHz; or 

b.1.c. Using electronic beam steering 

techniques; 

b.2. Being radio equipment operating in the 

1.5 MHz to 87.5 MHz band and having any 

of the following characteristics: 

b.2.a. Incorporating adaptive techniques 

providing more than 15 dB suppression of an 

interfering signal; or 

b.2.b. Having all of the following: 

b.2.b.1. Automatically predicting and 

selecting frequencies and ‘‘total digital 

transfer rates’’ per channel to optimize the 

transmission; and 

b.2.b.2. Incorporating a linear power 

amplifier configuration having a capability to 

support multiple signals simultaneously at 

an output power of 1 kW or more in the 

frequency range of 1.5 MHz or more but less 

than 30 MHz, or 250 W or more in the 

frequency range of 30 MHz or more but not 

exceeding 87.5 MHz, over an ‘‘instantaneous 

bandwidth’’ of one octave or more and with 

an output harmonic and distortion content of 

better than ¥80 dB; 

b.3. Being radio equipment employing 

‘‘spread spectrum’’ techniques, including 

‘‘frequency hopping’’ techniques, not 

controlled in 5A001.b.4., having any of the 

following characteristics: 

b.3.a. User programmable spreading codes; 

or 

b.3.b. A total transmitted bandwidth which 

is 100 or more times the bandwidth of any 

one information channel and in excess of 50 

kHz; 

Note: 5A001.b.3.b does not control radio 

equipment specially designed for use with 

civil cellular radio-communications systems. 

Note: 5A001.b.3 does not control 

equipment operating at an output power of 

1.0 Watt or less. 

b.4. Being radio equipment employing 

ultra-wideband modulation techniques, 

having user programmable channelizing 

codes, scrambling codes, or network 

identification codes, having any of the 

following characteristics: 

b.4.a.A bandwidth exceeding 500 MHz; or 

b.4.b.A ‘‘fractional bandwidth’’ of 20% or 

more; 

b.5. Being digitally controlled radio 

receivers having all of the following: 

b.5.a. More than 1,000 channels; 

b.5.b. A ‘‘frequency switching time’’ of less 

than 1 ms; 

b.5.c. Automatic searching or scanning of 

a part of the electromagnetic spectrum; and 


jlentini on PROD1PC65 with RULES2
52972 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

b.5.d. Identification of the received signals 

or the type of transmitter; or 

Note: 5A001.b.5 does not control radio 

equipment specially designed for use with 

civil cellular radio-communications systems. 

b.6. Employing functions of digital ‘‘signal 

processing’’ to provide voice coding output at 

rates of less than 2,400 bit/s. 

Technical Notes: 1. For variable rate voice 

coding, 5A001.b.6 applies to the voice coding 

output of continuous speech. 

2. For the purpose of 5A001.b.6, ‘‘voice 

coding’’ is defined as the technique to take 

samples of human voice and then convert 

these samples of human voice and then 

convert these samples into a digital signal 

taking into account specific characteristics of 

human speech. 

c. Optical fiber communication cables, 

optical fibers and accessories, as follows: 

c.1. Optical fibers of more than 500 m in 

length specified by the manufacturer as being 

capable of withstanding a proof test tensile 

stress of 2 × 109 N/m2 or more; 

Technical Note: Proof Test: on-line or offline production screen testing that 

dynamically applies a prescribed tensile 

stress over a 0.5 to 3 m length of fiber at a 

running rate of 2 to 5 m/s while passing 

between capstans approximately 150 mm in 

diameter. The ambient temperature is a 

nominal 293 K (20 °C) and relative humidity 

40%. Equivalent national standards may be 

used for executing the proof test. 

c.2. Optical fiber cables and accessories 

designed for underwater use. 

Note: 5A001.c.2 does not control standard 

civil telecommunication cables and 

accessories. 

N.B. 1: For underwater umbilical cables, 

and connectors thereof, see 8A002.a.3. 

N.B. 2: For fiber-optic hull penetrators or 

connectors, see 8A002.c. 

d. ‘‘Electronically steerable phased array 

antennae’’ operating above 31.8 GHz. 

Note: 5A001.d does not control 

‘‘electronically steerable phased array 

antennae’’ for landing systems with 

instruments meeting ICAO standards 

covering microwave landing systems (MLS). 

e. Radio direction finding equipment 

operating at frequencies above 30 MHz and 

having all of the following characteristics, 

and specially designed components therefor: 

e.1. ‘‘Instantaneous bandwidth’’ of 10 MHz 

or more; and 

e.2. Capable of finding a line of bearing 

(LOB) to non-cooperating radio transmitters 

with a signal duration of less than 1 ms. 

f. Jamming equipment specially designed 

or modified to intentionally and selectively 

interfere with, deny, inhibit, degrade or 

seduce cellular mobile telecommunication 

services, having any of the following 

characteristics, and specially designed 

components therefore: 

f.1. Simulating the functions of Radio 

Access Network (RAN) equipment; or 

f.2. Detecting and exploiting specific 

characteristics of the mobile 

telecommunications protocol employed (e.g., 

GSM). 

N.B.: For GNSS jamming equipment see 

the Munitions List. 

■ 25. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

5—Telecommunications and 

‘‘Information Security’’, Part I—

Telecommunications, Export Control 

Classification Number (ECCN) 5A991 is 

amended by revising the ‘‘related 

definitions’’ and the ‘‘items’’ paragraphs 

in the List of Items Controlled section, 

to read as follows: 

5A991 Telecommunication equipment, 

not controlled by 5A001. 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: (1) ‘‘Asynchronous 

transfer mode’’ (‘‘ATM’’) is a transfer mode 

in which the information is organized into 

cells; it is asynchronous in the sense that the 

recurrence of cells depends on the required 

or instantaneous bit rate. (2) ‘‘Bandwidth of 

one voice channel’’ is data communication 

equipment designed to operate in one voice 

channel of 3,100 Hz, as defined in CCITT 

Recommendation G.151. (3) 

‘‘Communications channel controller’’ is the 

physical interface that controls the flow of 

synchronous or asynchronous digital 

information. It is an assembly that can be 

integrated into computer or 

telecommunications equipment to provide 

communications access. (4) ‘‘Datagram’’ is a 

self-contained, independent entity of data 

carrying sufficient information to be routed 

from the source to the destination data 

terminal equipment without reliance on 

earlier exchanges between this source and 

destination data terminal equipment and the 

transporting network. (5) ‘‘Fast select’’ is a 

facility applicable to virtual calls that allows 

data terminal equipment to expand the 

possibility to transmit data in call set-up and 

clearing ‘‘packets’’ beyond the basic 

capabilities of a virtual call. (6) ‘‘Gateway’’ is 

the function, realized by any combination of 

equipment and ‘‘software’’, to carry out the 

conversion of conventions for representing, 

processing or communicating information 

used on one system into the corresponding, 

but different conventions used in another 

system. (7) ‘‘Integrated Services Digital 

Network’’ (ISDN) is a unified end-to-end 

digital network, in which data originating 

from all types of communication (e.g., voice, 

text, data, still and moving pictures) are 

transmitted from one port (terminal) in the 

exchange (switch) over one access line to and 

from the subscriber. (8) ‘‘Packet’’ is a group 

of binary digits including data and call 

control signals that is switched as a 

composite whole. The data, call control 

signals, and possible error control 

information are arranged in a specified 

format. 

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); 

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 signaling 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 signaling 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 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52973 

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.a. 31 GHz for satellite-earth station 

applications; or 

b.6.b. 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/s/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/s/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 signaling 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 signaling 

channel (e.g., 2B+D); or 

c.2.b. The capability that a signaling 

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 cross connect equipment 

with ‘‘digital transfer rate’’ exceeding 8.5 

Mbit/s per port. 

c.8. ‘‘Common channel signaling’’

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 signaling 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. 

■ 26. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

5—Telecommunications and 

‘‘Information Security’’, Part I—

Telecommunications, Export Control 

Classification Number (ECCN) 5D001 is 

amended by revising the ‘‘items’’

paragraph in the List of Items Controlled 

section, to read as follows: 

5D001 ‘‘Software’’, as described in the 

List of Items Controlled. 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

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’’ specially designed 

or modified to provide characteristics, 

functions or features of equipment controlled 

by 5A001 or 5B001. 

d. ‘‘Software’’ specially designed or 

modified for the ‘‘development’’ of any of the 

following telecommunication transmission or 

switching equipment: 

d.1. Equipment employing digital 

techniques, including designed to operate at 

a ‘‘total digital transfer rate’’ exceeding 15 

Gbit/s; 

Technical Note: For switching equipment 

the ‘‘total digital transfer rate’’ is measured at 

the highest speed port or line. 

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 analog techniques and 

having a bandwidth exceeding 2.5 GHz; 

Note: 5D001.d.2.b. does not control 

‘‘software’’ specially designed or modified for 

the ‘‘development’’ of commercial TV 

systems. 

d.3. Equipment employing ‘‘optical 

switching’’; or 

d.4. Radio equipment employing 

quadrature-amplitude-modulation (QAM) 

techniques above level 256. 

■ 27. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

5—Telecommunications and 

‘‘Information Security’’, Part I—

Telecommunications, Export Control 

Classification Number (ECCN) 5D991 is 

amended by revising the heading and 

‘‘items’’ paragraph in the List of Items 

Controlled section, to read as follows: 

5D991 ‘‘Software’’ specially designed or 

modified for the ‘‘development’’, 

‘‘production’’ or ‘‘use’’ of equipment 

controlled by 5A991 and 5B991, and 


jlentini on PROD1PC65 with RULES2
52974 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

dynamic adaptive routing software as 

described in the List of Items Controlled. 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. ‘‘Software’’, other than in machineexecutable form, specially designed for 

‘‘dynamic adaptive routing’’. 

b. [RESERVED] 

■ 28. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

5—Telecommunications and 

‘‘Information Security’’, Part 2—

Information Security, Export Control 

Classification Number (ECCN) 5A002 is 

amended by revising the ‘‘related 

controls’’ and the ‘‘items’’ paragraphs in 

the List of Items Controlled section, to 

read as follows: 

5A002 Systems, equipment, application 

specific ‘‘electronic assemblies’’, modules 

and integrated circuits for ‘‘information 

security’’, as follows (see List of Items 

Controlled), and other specially designed 

components therefor. 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: 5A002 does not control 

the items listed in paragraphs (a) through (f) 

in the Note in the items paragraph of this 

entry. These items are instead controlled 

under ECCN 5A992. 5A002 does not control 

commodities eligible for the Cryptography 

Note (Category 5 Part 2 Note 3). 

Related Definitions: * * * 

Items: 

Note: 5A002 does not control the 

following. However, these items are instead 

controlled under 5A992: 

(a) ‘‘Personalized smart cards’’: 

(1) Where the cryptographic capability is 

restricted for use in equipment or systems 

excluded from control paragraphs (b) through 

(f) of this Note; or 

(2) For general public-use applications 

where the cryptographic capability is not 

user-accessible and it is specially designed 

and limited to allow protection of personal 

data stored within. 

N.B.: If a ‘‘personalized smart card’’ has 

multiple functions, the control status of each 

function is assessed individually. 

(b) Receiving equipment for radio 

broadcast, pay television or similar restricted 

audience broadcast of the consumer type, 

without digital encryption except that 

exclusively used for sending the billing or 

program-related information back to the 

broadcast providers. 

(c) Equipment where the cryptographic 

capability is not user-accessible and which is 

specially designed and limited to allow any 

of the following: 

(1) Execution of copy-protected ‘‘software’’; 

(2) Access to any of the following: 

(a) Copy-protected contents stored on readonly media; or 

(b) Information stored in encrypted form 

on media (e.g., in connection with the 

protection of intellectual property rights) 

where the media is offered for sale in 

identical sets to the public; 

(3) Copying control of copyright protected 

audio/video data; or 

(4) Encryption and/or decryption for 

protection of libraries, design attributes, or 

associated data for the design of 

semiconductor devices or integrated circuits; 

(d) Cryptographic equipment specially 

designed and limited for banking use or 

money transactions; 

N.B.: The term ‘‘money transactions’’

includes the collection and settlement of 

fares or credit functions. 

(e) Portable or mobile radiotelephones for 

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

cellular radio communications systems) that 

are not capable of end-to-end encryption. 

(f) Cordless telephone equipment not 

capable of end-to-end encryption where the 

maximum effective range of unboosted 

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

hop between terminal and home basestation) 

is less than 400 meters according to the 

manufacturer’s specifications. 

Technical Note: Parity bits are not 

included in the key length. 

a. Systems, equipment, application specific 

‘‘electronic assemblies’’, modules and 

integrated circuits for ‘‘information security’’, 

as follows, and other specially designed 

components therefor: 

N.B.: For the control of global navigation 

satellite systems receiving equipment 

containing or employing decryption (e.g., 

GPS or GLONASS) see 7A005. 

a.1. Designed or modified to use 

‘‘cryptography’’ employing digital techniques 

performing any cryptographic function other 

than authentication or digital signature 

having any of the following: 

Technical Notes: 

1. Authentication and digital signature 

functions include their associated key 

management function. 

2. Authentication includes all aspects of 

access control where there is no encryption 

of files or text except as directly related to 

the protection of passwords, Personal 

Identification Numbers (PINs) or similar data 

to prevent unauthorized access. 

3. ‘‘Cryptography’’ does not include 

‘‘fixed’’ data compression or coding 

techniques. 

Note: 5A002.a.1 includes equipment 

designed or modified to use ‘‘cryptography’’

employing analog principles when 

implemented with digital techniques. 

a.1.a. A ‘‘symmetric algorithm’’ employing 

a key length in excess of 56-bits; or 

a.1.b. An ‘‘asymmetric algorithm’’ where 

the security of the algorithm is based on any 

of the following: 

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

of 512 bits (e.g., RSA); 

a.1.b.2. Computation of discrete logarithms 

in a multiplicative group of a finite field of 

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

over Z/pZ); or 

a.1.b.3. Discrete logarithms in a group 

other than mentioned in 5A002.a.1.b.2 in 

excess of 112 bits (e.g., Diffie-Hellman over 

an elliptic curve); 

a.2. Designed or modified to perform 

cryptanalytic functions; 

a.3. [RESERVED] 

a.4. Specially designed or modified to 

reduce the compromising emanations of 

information-bearing signals beyond what is 

necessary for health, safety or 

electromagnetic interference standards; 

a.5. Designed or modified to use 

cryptographic techniques to generate the 

spreading code for ‘‘spread spectrum’’

systems, not controlled in 5A002.a.6., 

including the hopping code for ‘‘frequency 

hopping’’ systems; 

a.6. Designed or modified to use 

cryptographic techniques to generate 

channelizing codes, scrambling codes or 

network identification codes, for systems 

using ultra-wideband modulation techniques, 

having any of the following characteristics: 

a.6.a. A bandwidth exceeding 500 MHz; or 

a.6.b. A ‘‘fractional bandwidth’’ of 20% or 

more; 

a.7. [RESERVED] 

a.8. Communications cable systems 

designed or modified using mechanical, 

electrical or electronic means to detect 

surreptitious intrusion; 

a.9. Designed or modified to use ‘‘quantum 

cryptography.’’

Technical Notes: 

1. ‘Quantum cryptography’ A family of 

techniques for the establishment of a shared 

key for ‘‘cryptography’’ by measuring the 

quantum-mechanical properties of a physical 

system (including those physical properties 

explicitly governed by quantum optics, 

quantum field theory, or quantum 

electrodynamics). 

2. ‘‘Quantum cryptography’’ is also known 

as quantum key distribution (QKD). 

■ 29. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

6—Sensors, Export Control 

Classification Number (ECCN) 6A006 is 

amended by revising the heading, the 

‘‘LVS’’ paragraph in the License 

Exceptions section, and the ‘‘related 

controls’’ and ‘‘items’’ paragraphs in the 

List of Items Controlled section, to read 

as follows: 

6A006 ‘‘Magnetometers’’, ‘‘magnetic 

gradiometers’’, ‘‘intrinsic magnetic 

gradiometers’’, underwater electric field 

sensors, and compensation systems, and 

specially designed components therefor, as 

follows (see List of Items Controlled). 

* * * * * 

License Exceptions 

LVS: $1500, N/A for 6A006.a.1; 

‘‘Magnetometers’’ and subsystems defined in 

6A006.a.2 using optically pumped or nuclear 

precession (proton/Overhauser) having a 

‘‘noise level’’ (sensitivity) lower (better) than 

2 pT rms per square root Hz; and 6A006.d. 

GBS: * * * 

CIV: * * * 

List of Items Controlled 

Unit:* * * 

Related Controls: See also 6A996. This 

entry does not control instruments specially 

designed for fishery applications or 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52975 

biomagnetic measurements for medical 

diagnostics. 

Related Definitions:* * * 

Items: 

a. ‘‘Magnetometers’’ and subsystems, as 

follows: 

a.1. Using ‘‘superconductive’’ (SQUID) 

‘‘technology’’ and having any of the 

following characteristics: 

a.1.a. SQUID systems designed for 

stationary operation, without specially 

designed subsystems designed to reduce inmotion noise, and having a ‘‘noise level’’

(sensitivity) equal to or lower (better) than 50 

fT (rms) per square root Hz at a frequency of 

1 Hz; or 

a.1.b. SQUID systems having an in-motionmagnetometer ‘‘noise level’’ (sensitivity) 

lower (better) than 20 pT (rms) per square 

root Hz at a frequency of 1 Hz and specially 

designed to reduce in-motion noise; 

a.2. Using optically pumped or nuclear 

precession (proton/Overhauser) ‘‘technology’’

having a ‘‘noise level’’ (sensitivity) lower 

(better) than 20 pT (rms) per square root Hz; 

a.3. Using fluxgate ‘‘technology’’ having a 

‘‘noise level’’ (sensitivity) equal to or lower 

(better) than 10 pT (rms) per square root Hz 

at a frequency of 1 Hz; 

a.4. Induction coil ‘‘magnetometers’’

having a ‘‘noise level’’ (sensitivity) lower 

(better) than any of the following: 

a.4.a. 0.05 nT rms/square root Hz at 

frequencies of less than 1 Hz; 

a.4.b. 1 × 10¥3 nT rms/square root Hz at 

frequencies of 1 Hz or more but not 

exceeding 10 Hz; or 

a.4.c. 1 × 10¥4 nT rms/square root Hz at 

frequencies exceeding 10 Hz; 

a.5. Fiber optic ‘‘magnetometers’’ having a 

‘‘noise level’’ (sensitivity) lower (better) than 

1 nT rms per square root Hz; 

b. Underwater electric field sensors having 

a ‘‘noise level’’ (sensitivity) lower (better) 

than 8 nanovolt per meter per square root Hz 

when measured at 1 Hz. 

c. ‘‘Magnetic gradiometers’’ as follows: 

c.1. ‘‘Magnetic gradiometers’’ using 

multiple ‘‘magnetometers’’ controlled by 

6A006.a; 

c.2. Fiber optic ‘‘intrinsic magnetic 

gradiometers’’ having a magnetic gradient 

field ‘‘noise level’’ (sensitivity) lower (better) 

than 0.3 nT/m rms per square root Hz; 

c.3. ‘‘Intrinsic magnetic gradiometers’’, 

using ‘‘technology’’ other than fiber-optic 

‘‘technology’’, having a magnetic gradient 

field ‘‘noise level’’ (sensitivity) lower (better) 

than 0.015 nT/m rms per square root Hz; and 

d. Compensation systems for magnetic and 

Underwater Electric Field Sensors resulting 

in a performance equal to or better than the 

control parameters of 6A006.a, 6A006.b, and 

6A006.c. 

■ 30. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

6—Sensors, Export Control 

Classification Number (ECCN) 6D003 is 

amended by revising the ‘‘items’’

paragraph in the List of Items Controlled 

section, to read as follows: 

6D003 Other ‘‘software’’, as follows (see 

List of Items Controlled). 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. Acoustics ‘‘software’’, as follows: 

a.1. ‘‘Software’’ specially designed for 

acoustic beam forming for the ‘‘real time 

processing’’ of acoustic data for passive 

reception using towed hydrophone arrays; 

a.2. ‘‘Source code’’ for the ‘‘real time 

processing’’ of acoustic data for passive 

reception using towed hydrophone arrays; 

a.3. ‘‘Software’’ specially designed for 

acoustic beam forming for the ‘‘real time 

processing’’ of acoustic data for passive 

reception using bottom or bay cable systems; 

a.4. ‘‘Source code’’ for the ‘‘real time 

processing’’ of acoustic data for passive 

reception using bottom or bay cable systems. 

b. Optical sensors. None. 

c. Cameras. None. 

d. Optics. None. 

e. Lasers. None 

f. Magnetic and Electric Field Sensors 

‘‘software’’, as follows: 

f.1. ‘‘Software’’ specially designed for 

magnetic and electric field compensation 

systems for magnetic sensors designed to 

operate on mobile platforms; 

f.2. ‘‘Software’’ specially designed for 

magnetic and electric field anomaly detection 

on mobile platforms; 

g. Gravimeters. ‘‘Software’’ specially 

designed to correct motional influences of 

gravity meters or gravity gradiometers; 

h. Radar ‘‘software’’, as follows: 

h.1. Air Traffic Control ‘‘software’’

application ‘‘programs’’ hosted on general 

purpose computers located at Air Traffic 

Control centers and capable of any of the 

following: 

h.1.a. Processing and displaying more than 

150 simultaneous ‘‘system tracks’’; or 

h.1.b. Accepting radar target data from 

more than four primary radars; 

h.2. ‘‘Software’’ for the design or 

‘‘production’’ of radomes which: 

h.2.a. Are specially designed to protect the 

‘‘electronically steerable phased array 

antennae’’ controlled by 6A008.e.; and 

h.2.b. Result in an antenna pattern having 

an ‘‘average side lobe level’’ more than 40 dB 

below the peak of the main beam level. 

Technical Note: ‘‘Average side lobe level’’

in 6D003.h.2.b is measured over the entire 

array excluding the angular extent of the 

main beam and the first two side lobes on 

either side of the main beam. 

■ 31. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

6—Sensors, Export Control 

Classification Number (ECCN) 6E003 is 

amended by revising the ‘‘items’’

paragraph in the List of Items Controlled 

section, to read as follows: 

6E003 Other ‘‘technology’’, as follows 

(see List of Items Controlled). 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. Acoustics. None. 

b. Optical sensors. None. 

c. Cameras. None. 

d. Optics, ‘‘technology’’, as follows: 

d.1. Optical surface coating and treatment 

‘‘technology’’ ‘‘required’’ to achieve 

uniformity of 99.5% or better for optical 

coatings 500 mm or more in diameter or 

major axis length and with a total loss 

(absorption and scatter) of less than 5 × 10¥3; 

N.B.: See also 2E003.f. 

d.2. Optical fabrication ‘‘technology’’ using 

single point diamond turning techniques to 

produce surface finish accuracies of better 

than 10 nm rms on non-planar surfaces 

exceeding 0.5 m2; 

e. Lasers. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’, ‘‘production’’ or ‘‘use’’ of 

specially designed diagnostic instruments or 

targets in test facilities for ‘‘SHPL’’ testing or 

testing or evaluation of materials irradiated 

by ‘‘SHPL’’ beams; 

f. Magnetic and Electric Field Sensors. 

None. 

g. Gravimeters. None. 

h. Radar. None. 

■ 32. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

8—Marine, Export Control Classification 

Number (ECCN) 8A002 is amended by 

revising the ‘‘items’’ paragraph in the 

List of Items Controlled section, to read 

as follows: 

8A002 Systems and equipment, as 

follows (see List of Items Controlled). 

* * * * * 

List of Items Controlled 

Unit:* * * 

Related Controls:* * * 

Related Definitions: * * * 

Items: 

a. Systems and equipment, specially 

designed or modified for submersible 

vehicles, designed to operate at depths 

exceeding 1,000 m, as follows: 

a.1. Pressure housings or pressure hulls 

with a maximum inside chamber diameter 

exceeding 1.5 m; 

a.2. Direct current propulsion motors or 

thrusters; 

a.3. Umbilical cables, and connectors 

therefor, using optical fiber and having 

synthetic strength members; 

b. Systems specially designed or modified 

for the automated control of the motion of 

submersible vehicles controlled by 8A001 

using navigation data and having closed loop 

servo-controls: 

b.1. Enabling a vehicle to move within 10 

m of a predetermined point in the water 

column; 

b.2. Maintaining the position of the vehicle 

within 10 m of a predetermined point in the 

water column; or 

b.3. Maintaining the position of the vehicle 

within 10 m while following a cable on or 

under the seabed; 

c. Fiber optic hull penetrators or 

connectors; 

d. Underwater vision systems, as follows: 

d.1. Television systems and television 

cameras, as follows: 


jlentini on PROD1PC65 with RULES2
52976 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

d.1.a. Television systems (comprising 

camera, monitoring and signal transmission 

equipment) having a limiting resolution 

when measured in air of more than 800 lines 

and specially designed or modified for 

remote operation with a submersible vehicle; 

d.1.b. Underwater television cameras 

having a limiting resolution when measured 

in air of more than 1,100 lines; 

d.1.c. Low light level television cameras 

specially designed or modified for 

underwater use containing all of the 

following: 

d.1.c.1. Image intensifier tubes controlled 

by 6A002.a.2.a; and 

d.1.c.2. More than 150,000 ‘‘active pixels’’

per solid state area array; 

Technical Note: Limiting resolution in 

television is a measure of horizontal 

resolution usually expressed in terms of the 

maximum number of lines per picture height 

discriminated on a test chart, using IEEE 

Standard 208/1960 or any equivalent 

standard. 

d.2. Systems, specially designed or 

modified for remote operation with an 

underwater vehicle, employing techniques to 

minimize the effects of back scatter, 

including range-gated illuminators or ‘‘laser’’

systems; 

e. Photographic still cameras specially 

designed or modified for underwater use 

below 150 m having a film format of 35 mm 

or larger, and having any of the following: 

e.1. Annotation of the film with data 

provided by a source external to the camera; 

e.2. Automatic back focal distance 

correction; or 

e.3. Automatic compensation control 

specially designed to permit an underwater 

camera housing to be usable at depths 

exceeding 1,000 m; 

f. Electronic imaging systems, specially 

designed or modified for underwater use, 

capable of storing digitally more than 50 

exposed images; 

Note: 8A002.f does not control digital 

cameras specially designed for consumer 

purposes, other than those employing 

electronic image multiplication techniques. 

g. Light systems, as follows, specially 

designed or modified for underwater use: 

g.1. Stroboscopic light systems capable of 

a light output energy of more than 300 J per 

flash and a flash rate of more than 5 flashes 

per second; 

g.2. Argon arc light systems specially 

designed for use below 1,000 m; 

h. ‘‘Robots’’ specially designed for 

underwater use, controlled by using a 

dedicated computer, having any of the 

following: 

h.1. Systems that control the ‘‘robot’’ using 

information from sensors which measure 

force or torque applied to an external object, 

distance to an external object, or tactile sense 

between the ‘‘robot’’ and an external object; 

or 

h.2. The ability to exert a force of 250 N 

or more or a torque of 250 Nm or more and 

using titanium based alloys or ‘‘fibrous or 

filamentary’’ ‘‘composite’’ materials in their 

structural members; 

i. Remotely controlled articulated 

manipulators specially designed or modified 

for use with submersible vehicles, having any 

of the following: 

i.1. Systems which control the manipulator 

using the information from sensors which 

measure the torque or force applied to an 

external object, or tactile sense between the 

manipulator and an external object; or 

i.2. Controlled by proportional masterslave techniques or by using a dedicated 

computer, and having 5 degrees of freedom 

of movement or more; 

Note: Only functions having proportional 

control using positional feedback or by using 

a dedicated computer are counted when 

determining the number of degrees of 

freedom of movement. 

j. Air independent power systems, 

specially designed for underwater use, as 

follows: 

j.1. Brayton or Rankine cycle engine air 

independent power systems having any of 

the following: 

j.1.a. Chemical scrubber or absorber 

systems specially designed to remove carbon 

dioxide, carbon monoxide and particulates 

from recirculated engine exhaust; 

j.1.b. Systems specially designed to use a 

monoatomic gas; 

j.1.c. Devices or enclosures specially 

designed for underwater noise reduction in 

frequencies below 10 kHz, or special 

mounting devices for shock mitigation; or 

j.1.d. Systems specially designed: 

j.1.d.1. To pressurize the products of 

reaction or for fuel reformation; 

j.1.d.2. To store the products of the 

reaction; and 

j.1.d.3. To discharge the products of the 

reaction against a pressure of 100 kPa or 

more; 

j.2. Diesel cycle engine air independent 

systems, having all of the following: 

j.2.a. Chemical scrubber or absorber 

systems specially designed to remove carbon 

dioxide, carbon monoxide and particulates 

from recirculated engine exhaust; 

j.2.b. Systems specially designed to use a 

monoatomic gas; 

j.2.c. Devices or enclosures specially 

designed for underwater noise reduction in 

frequencies below 10 kHz or special 

mounting devices for shock mitigation; and 

j.2.d. Specially designed exhaust systems 

that do not exhaust continuously the 

products of combustion; 

j.3. Fuel cell air independent power 

systems with an output exceeding 2 kW 

having any of the following: 

j.3.a. Devices or enclosures specially 

designed for underwater noise reduction in 

frequencies below 10 kHz or special 

mounting devices for shock mitigation; or 

j.3.b. Systems specially designed: 

j.3.b.1. To pressurize the products of 

reaction or for fuel reformation; 

j.3.b.2. To store the products of the 

reaction; and 

j.3.b.3. To discharge the products of the 

reaction against a pressure of 100 kPa or 

more; 

j.4. Stirling cycle engine air independent 

power systems, having all of the following: 

j.4.a. Devices or enclosures specially 

designed for underwater noise reduction in 

frequencies below 10 kHz or special 

mounting devices for shock mitigation; and 

j.4.b. Specially designed exhaust systems 

which discharge the products of combustion 

against a pressure of 100 kPa or more; 

k. Skirts, seals and fingers, having any of 

the following: 

k.1. Designed for cushion pressures of 

3,830 Pa or more, operating in a significant 

wave height of 1.25 m (Sea State 3) or more 

and specially designed for surface effect 

vehicles (fully skirted variety) controlled by 

8A001.f; or 

k.2. Designed for cushion pressures of 

6,224 Pa or more, operating in a significant 

wave height of 3.25 m (Sea State 5) or more 

and specially designed for surface effect 

vehicles (rigid sidewalls) controlled by 

8A001.g; 

l. Lift fans rated at more than 400 kW 

specially designed for surface effect vehicles 

controlled by 8A001.f or 8A001.g; 

m. Fully submerged subcavitating or 

supercavitating hydrofoils specially designed 

for vessels controlled by 8A001.h; 

n. Active systems specially designed or 

modified to control automatically the seainduced motion of vehicles or vessels 

controlled by 8A001.f, 8A001.g, 8A001.h or 

8A001.i; 

o. Propellers, power transmission systems, 

power generation systems and noise 

reduction systems, as follows: 

o.1. Water-screw propeller or power 

transmission systems, as follows, specially 

designed for surface effect vehicles (fully 

skirted or rigid sidewall variety), hydrofoils 

or small waterplane area vessels controlled 

by 8A001.f, 8A001.g, .8A001.h or 8A001.i: 

o.1.a. Supercavitating, super-ventilated, 

partially-submerged or surface piercing 

propellers rated at more than 7.5 MW; 

o.1.b. Contrarotating propeller systems 

rated at more than 15 MW; 

o.1.c. Systems employing pre-swirl or postswirl techniques for smoothing the flow into 

a propeller; 

o.1.d. Light-weight, high capacity (K factor 

exceeding 300) reduction gearing; 

o.1.e. Power transmission shaft systems, 

incorporating ‘‘composite’’ material 

components, capable of transmitting more 

than 1 MW; 

o.2. Water-screw propeller, power 

generation systems or transmission systems 

designed for use on vessels, as follows: 

o.2.a. Controllable-pitch propellers and 

hub assemblies rated at more than 30 MW; 

o.2.b. Internally liquid-cooled electric 

propulsion engines with a power output 

exceeding 2.5 MW; 

o.2.c. ‘‘Superconductive’’ propulsion 

engines, or permanent magnet electric 

propulsion engines, with a power output 

exceeding 0.1 MW; 

o.2.d. Power transmission shaft systems, 

incorporating ‘‘composite’’ material 

components, capable of transmitting more 

than 2 MW; 

o.2.e. Ventilated or base-ventilated 

propeller systems rated at more than 2.5 MW; 

o.3. Noise reduction systems designed for 

use on vessels of 1,000 tons displacement or 

more, as follows: 

o.3.a. Systems that attenuate underwater 

noise at frequencies below 500 Hz and 

consist of compound acoustic mounts for the 

acoustic isolation of diesel engines, diesel 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52977 

generator sets, gas turbines, gas turbine 

generator sets, propulsion motors or 

propulsion reduction gears, specially 

designed for sound or vibration isolation, 

having an intermediate mass exceeding 30% 

of the equipment to be mounted; 

o.3.b. Active noise reduction or 

cancellation systems, or magnetic bearings, 

specially designed for power transmission 

systems, and incorporating electronic control 

systems capable of actively reducing 

equipment vibration by the generation of 

anti-noise or anti-vibration signals directly to 

the source; 

p. Pumpjet propulsion systems having a 

power output exceeding 2.5 MW using 

divergent nozzle and flow conditioning vane 

techniques to improve propulsive efficiency 

or reduce propulsion-generated underwaterradiated noise. 

q. Self-contained, closed or semi-closed 

circuit (rebreathing) diving and underwater 

swimming apparatus. 

Note: 8A002.q does not control an 

individual apparatus for personal use when 

accompanying its user. 

■ 33. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

9—Propulsion Systems, Space Vehicles 

and Related Equipment, Export Control 

Classification Number (ECCN) 9A001 is 

amended by revising the ‘‘unit’’ and 

‘‘items’’ paragraphs in the List of Items 

Controlled section, to read as follows: 

9A001 Aero gas turbine engines 

incorporating any of the ‘‘technologies’’

controlled by 9E003.a, as follows (see List of 

Items Controlled). 

* * * * * 

List of Items Controlled 

Unit: Number 

Related Controls:* * * 

Related Definitions: * * * 

Items: 

a. Incorporating any of the technologies 

controlled by 9E003.a.; or 

Note: 9A001.a. does not control aero gas 

turbine engines which meet all of the 

following: 

1. Certified by the civil aviation authority 

in a country listed in Supplement No. 1 to 

Part 743; and 

2. Intended to power non-military manned 

aircraft for which one of the following has 

been issued by a Participating State listed in 

Supplement No. 1 to Part 743 for the aircraft 

with this specific engine type. 

a. A civil Type Certificate; or 

b. An equivalent document recognized by 

the International Civil Aviation Organization 

(ICAO). 

b. Designed to power an aircraft designed 

to cruise at Mach 1 or higher for more than 

30 minutes. 

■ 34. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

9—Propulsion Systems, Space Vehicles 

and Related Equipment, Export Control 

Classification Number (ECCN) 9A012 is 

amended by revising the ‘‘heading;’’ and 

the ‘‘related controls’’ and the ‘‘items’’

paragraphs in the List of Items 

Controlled section, to read as follows: 

9A012 Non-military ‘‘unmanned aerial 

vehicles,’’ (‘‘UAVs’’), associated systems, 

equipment and components as follows. (see 

List of Items Controlled). 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: See the U.S. Munitions 

List Category VIII (22 CFR Part 121). Also see 

section 744.3 of the EAR. 

Related Definitions: * * * 

Items: 

a. ‘‘UAVs’’ having any of the following: 

a.1. An autonomous flight control and 

navigation capability (e.g., an autopilot with 

an Inertial Navigation System); or 

a.2. Capability of controlled flight out of 

the direct visual range involving a human 

operator (e.g., televisual remote control). 

b. Associated systems, equipment and 

components as follows: 

b.1. Equipment specially designed for 

remotely controlling the ‘‘UAVs’’ controlled 

by 9A012.a.; 

b.2. Guidance or control systems, other 

than those controlled in Category 7, specially 

designed for integration into ‘‘UAVs’’

controlled by 9A012.a.; 

b.3. Equipment and components specially 

designed to convert a manned ‘‘aircraft’’ to a 

‘‘UAV’’ controlled by 9A012.a. 

Note: 9A012 does not control model 

aircraft. 

■ 35. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

9—Propulsion Systems, Space Vehicles 

and Related Equipment, Export Control 

Classification Number (ECCN) 9B010 is 

added following ECCN 9B009, to read as 

follows: 

9B010 Equipment specially designed for 

the production of ‘‘UAVs’’ and associated 

systems, equipment and components 

controlled by 9A012. 

License Requirements 

Reason for Control: NS, AT 

Control(s) Country chart 

NS applies to entire entry ... NS Column 1. 

AT applies to entire entry .... AT Column 1. 

License Exceptions 

LVS: N/A 

GBS: N/A 

CIV: N/A 

List of Items Controlled 

Unit: Equipment in number; parts and 

accessories in $ value 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

The list of items controlled is contained in 

the ECCN heading. 

■ 36. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

9—Propulsion Systems, Space Vehicles 

and Related Equipment, Export Control 

Classification Number (ECCN) 9D001 is 

amended by revising the License 

Requirement section, to read as follows: 

9D001 ‘‘Software’’ specially designed or 

modified for the ‘‘development’’ of 

equipment or ‘‘technology’’ controlled by 9A 

(except 9A018, 9A990 or 9A991), 9B (except 

9B990 or 9B991) or 9E003. 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) Country chart 

NS applies to ‘‘software’’ for 

items controlled by 9A001 

to 9A003, 9A012, 9B001 

to 9B010, 9E003.

NS Column 1. 

MT applies to ‘‘software’’ for 

equipment controlled by 

9A106.a and .b, or 9B116 

for MT reasons.

MT Column 1. 

AT applies to entire entry .... AT Column 1. 

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. 

* * * * * 

■ 37. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

9—Propulsion Systems, Space Vehicles 

and Related Equipment, Export Control 

Classification Number (ECCN) 9D002 is 

amended by revising the License 

Requirement section, to read as follows: 

9D002 ‘‘Software’’ specially designed or 

modified for the ‘‘production’’ of equipment 

controlled by 9A (except 9A018, 9A990, or 

9A991) or 9B (except 9B990 or 9B991). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) Country chart 

NS applies to ‘‘software’’ for 

equipment controlled by 

9A001 to 9A003, 9A012, 

9B001 to 9B010, or 

9E003.

NS Column 1. 

MT applies to ‘‘software’’ for 

equipment controlled by 

9B116 for MT reasons.

MT Column 1. 

AT applies to entire entry .... AT Column 1. 

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. 

* * * * * 

■ 38. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

9—Propulsion Systems, Space Vehicles 

and Related Equipment, Export Control 

Classification Number (ECCN) 9D004 is 

amended by revising the ‘‘items’’

paragraph in the List of Items Controlled 

section, to read as follows: 


jlentini on PROD1PC65 with RULES2
52978 Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 

9D004 Other ‘‘software’’, as follows (see 

List of Items Controlled). 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

a. 2D or 3D viscous ‘‘software’’ validated 

with wind tunnel or flight test data required 

for detailed engine flow modelling; 

b. ‘‘Software’’ for testing aero gas turbine 

engines, assemblies or components, specially 

designed to collect, reduce and analyze data 

in real time, and capable of feedback control, 

including the dynamic adjustment of test 

articles or test conditions, as the test is in 

progress; 

c. ‘‘Software’’ specially designed to control 

directional solidification or single crystal 

casting; 

d. ‘‘Software’’ in ‘‘source code’’, ‘‘object 

code’’ or machine code required for the ‘‘use’’

of active compensating systems for rotor 

blade tip clearance control. 

Note: 9D004.d does not control ‘‘software’’

embedded in uncontrolled equipment or 

required for maintenance activities 

associated with the calibration or repair or 

updates to the active compensating clearance 

control system. 

e. ‘‘Software’’ specially designed or 

modified for the ‘‘use’’ of ‘‘UAVs’’ and 

associated systems, equipment and 

components controlled by 9A012. 

■ 39. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

9—Propulsion Systems, Space Vehicles 

and Related Equipment, Export Control 

Classification Number (ECCN) 9E001 is 

amended by revising the Heading and 

the License Requirement section, to read 

as follows: 

9E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ of equipment or ‘‘software’’

controlled by 9A001.c, 9A004 to 9A012, 9B 

(except 9B990 or 9B991), or 9D (except 

9D990 or 9D991). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) Country chart 

NS applies to ‘‘technology’’

for items controlled by 

9A001.c, 9A012, 9B001 to 

9B010, 9D001 to 9D004 

for NS reasons.

NS Column 1. 

MT applies to ‘‘technology’’

for items controlled by 

9B001, 9B002, 9B003, 

9B004, 9B005, 9B007, 

9B105, 9B106, 9B116, 

9B117, 9D001, 9D002, 

9D003, and 9D004 for MT 

reasons.

MT Column 1. 

AT applies to entire entry .... AT Column 1. 

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. 

* * * * * 

■ 40. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

9—Propulsion Systems, Space Vehicles 

and Related Equipment, Export Control 

Classification Number (ECCN) 9E003 is 

amended by revising the items 

paragraph of the List of Items Controlled 

section, to read as follows: 

9E003 Other ‘‘technology’’, as follows 

(see List of Items Controlled). 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: * * * 

Items: 

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

‘‘development’’, ‘‘production’’ of any of the 

following gas turbine engine components or 

systems: 

a.1. Gas turbine blades, vanes or tip 

shrouds made from directionally solidified 

(DS) or single crystal (SC) alloys having (in 

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

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

the average property values; 

a.2. Multiple domed combustors operating 

at average burner outlet temperatures 

exceeding 1,813 K (1,540 °C) or combustors 

incorporating thermally decoupled 

combustion liners, non-metallic liners or 

non-metallic shells; 

a.3. Components manufactured from any of 

the following: 

a.3.a. Organic ‘‘composite’’ materials 

designed to operate above 588 K (315 °C); 

a.3.b. Metal ‘‘matrix’’ ‘‘composite’’, ceramic 

‘‘matrix’’, intermetallic or intermetallic 

reinforced materials controlled by 1C007; or 

a.3.c. ‘‘Composite’’ material controlled by 

1C010 and manufactured with resins 

controlled by 1C008. 

a.4. Uncooled turbine blades, vanes, tipshrouds or other components designed to 

operate at gas path temperatures of 1,323 K 

(1,050 °C) or more; 

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

9E003.a.1, exposed to gas path temperatures 

of 1,643 K (1,370 °C) or more; 

a.6. Airfoil-to-disk blade combinations 

using solid state joining; 

a.7. Gas turbine engine components using 

‘‘diffusion bonding’’ ‘‘technology’’ controlled 

by 2E003.b; 

a.8. Damage tolerant gas turbine engine 

rotating components using powder 

metallurgy materials controlled by 1C002.b; 

a.9. Full authority digital electronic engine 

control (FADEC) for gas turbine and 

combined cycle engines and their related 

diagnostic components, sensors and specially 

designed components; 

a.10. Adjustable flow path geometry and 

associated control systems for: 

a.10.a. Gas generator turbines; 

a.10.b. Fan or power turbines; 

a.10.c. Propelling nozzles; or 

Note 1: Adjustable flow path geometry and 

associated control systems in 9E003.a.10 do 

not include inlet guide vanes, variable pitch 

fans, variable stators or bleed valves for 

compressors. 

Note 2: 9E003.a.10 does not control 

‘‘development’’ or ‘‘production’’

‘‘technology’’ for adjustable flow path 

geometry for reverse thrust. 

a.11. Hollow fan blades; 

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

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

following: 

b.1. Wind tunnel aero-models equipped 

with non-intrusive sensors capable of 

transmitting data from the sensors to the data 

acquisition system; or 

b.2. ‘‘Composite’’ propeller blades or 

propfans capable of absorbing more than 

2,000 kW at flight speeds exceeding Mach 

0.55; 

c. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of gas 

turbine engine components using ‘‘laser’’, 

water jet, ECM or EDM hole drilling 

processes to produce holes having any of the 

following sets of characteristics: 

c.1. All of the following: 

c.1.a. Depths more than four times their 

diameter; 

c.1.b. Diameters less than 0.76 mm; and 

c.1.c. Incidence angles equal to or less than 

25 °; or 

c.2. All of the following: 

c.2.a. Depths more than five times their 

diameter; 

c.2.b. Diameters less than 0.4 mm; and 

c.2.c. Incidence angles of more than 25 °; 

Technical Note: For the purposes of 

9E003.c, incidence angle is measured from a 

plane tangential to the airfoil surface at the 

point where the hole axis enters the airfoil 

surface. 

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

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

power transfer systems or tilt rotor or tilt 

wing ‘‘aircraft’’ power transfer systems; 

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

‘‘production’’ of reciprocating diesel engine 

ground vehicle propulsion systems having all 

of the following: 

e.1. A box volume of 1.2 m3 or less; 

e.2. An overall power output of more than 

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

national equivalents; and 

e.3. A power density of more than 700 kW/ 

m3 of box volume; 

Technical Note: Box volume: the product 

of three perpendicular dimensions measured 

in the following way: 

Length: The length of the crankshaft from 

front flange to flywheel face; 

Width: The widest of the following: 

a. The outside dimension from valve cover 

to valve cover; 

b. The dimensions of the outside edges of 

the cylinder heads; or 

c. The diameter of the flywheel housing. 

Height: The largest of the following: 

a. The dimension of the crankshaft centerline to the top plane of the valve cover (or 

cylinder head) plus twice the stroke; or 

b. The diameter of the flywheel housing. 


jlentini on PROD1PC65 with RULES2
Federal Register / Vol. 71, No. 173 / Thursday, September 7, 2006 / Rules and Regulations 52979 

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

‘‘production’’ of specially designed 

components, as follows, for high output 

diesel engines: 

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

‘‘production’’ of engine systems having all of 

the following components employing 

ceramics materials controlled by 1C007: 

f.1.a Cylinder liners; 

f.1.b. Pistons; 

f.1.c. Cylinder heads; and 

f.1.d. One or more other components 

(including exhaust ports, turbochargers, 

valve guides, valve assemblies or insulated 

fuel injectors); 

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

‘‘production’’ of turbocharger systems, with 

single-stage compressors having all of the 

following: 

f.2.a. Operating at pressure ratios of 4:1 or 

higher; 

f.2.b. A mass flow in the range from 30 to 

130 kg per minute; and 

f.2.c. Variable flow area capability within 

the compressor or turbine sections; 

f.3. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of fuel injection systems with 

a specially designed multifuel (e.g., diesel or 

jet fuel) capability covering a viscosity range 

from diesel fuel (2.5 cSt at 310.8 K (37.8 °C)) 

down to gasoline fuel (0.5 cSt at 310.8 K 

(37.8 °C)), having both of the following: 

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

mm3 per injection per cylinder; and 

f.3.b. Specially designed electronic control 

features for switching governor 

characteristics automatically depending on 

fuel property to provide the same torque 

characteristics by using the appropriate 

sensors; 

g. ‘‘Technology’’ ‘‘required’’ for the 

development’’ or ‘‘production’’ of high 

output diesel engines for solid, gas phase or 

liquid film (or combinations thereof) cylinder 

wall lubrication, permitting operation to 

temperatures exceeding 723 K (450 °C), 

measured on the cylinder wall at the top 

limit of travel of the top ring of the piston. 

h. ‘‘Technology’’ not otherwise controlled 

in 9E003.a.1 through a.10 and currently used 

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

overhaul of hot section parts and components 

of civil derivatives of military engines 

controlled on the U.S. Munitions List. 

Dated: August 28, 2006. 

Matthew S. Borman, 

Deputy Assistant Secretary for Export 

Administration. 

[FR Doc. 06–7385 Filed 9–6–06 8:45 am] 

BILLING CODE 3510–33–P 


jlentini on PROD1PC65 with RULES2