71932 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 734, 740, 742, 772, and 

774 

[Docket No. 230929–0236] 

RIN 0694–AI95 

Implementation of 2022 Wassenaar 

Arrangement Decisions and Request 

for Comments on License Exception 

Eligibility for Certain Supersonic Aero 

Gas Turbine Engine Component 

Technology 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Interim final rule, with request 

for comment. 

SUMMARY: The Bureau of Industry and 

Security (BIS) maintains, as part of its 

Export Administration Regulations 

(EAR), the Commerce Control List 

(CCL), which identifies certain items 

subject to Department of Commerce 

jurisdiction. During the December 2022 

Wassenaar Arrangement on Export 

Controls for Conventional Arms and 

Dual-Use Goods and Technologies (WA) 

Plenary meeting, Participating States of 

the WA (Participating States) made 

certain decisions affecting the WA dualuse and munitions control lists, which 

BIS is now implementing via 

amendments to the CCL. BIS seeks 

comments on restricting STA eligibility 

for countries in EAR Country Group A:5 

of certain technology for the 

development of supersonic aero gas 

turbine engine components controlled 

under ECCN 9E003.k, formerly 

controlled under ECCN 9E001 as part of 

its ongoing assessment of current export 

control licensing policy. 

DATES: This rule is effective October 18, 

2023. Comments specific to ECCN 

9E003.k must be received by BIS no 

later than December 4, 2023. 

ADDRESSES: Comments on this rule may 

be submitted to the Federal rulemaking 

portal (www.regulations.gov). The 

regulations.gov ID for this rule is: BIS– 

2023–0025. Please refer to RIN 0694– 

AI95 in all comments. 

All filers using the portal should use 

the name of the person or entity 

submitting the comments as the name of 

their files, in accordance with the 

instructions below. Anyone submitting 

business confidential information 

should clearly identify the business 

confidential portion at the time of 

submission, file a statement justifying 

nondisclosure and referring to the 

specific legal authority claimed, and 

provide a non-confidential version of 

the submission. 

For comments submitted 

electronically containing business 

confidential information, the file name 

of the business confidential version 

should begin with the characters ‘‘BC.’’ 

Any page containing business 

confidential information must be clearly 

marked ‘‘BUSINESS CONFIDENTIAL’’ 

on the top of that page. The 

corresponding non-confidential version 

of those comments must be clearly 

marked ‘‘PUBLIC.’’ The file name of the 

non-confidential version should begin 

with the character ‘‘P.’’ Any 

submissions with file names that do not 

begin with either a ‘‘BC’’ or a ‘‘P’’ will 

be assumed to be public and will be 

made publicly available through https:// 

www.regulations.gov. Commenters 

submitting business confidential 

information are encouraged to scan a 

hard copy of the non-confidential 

version to create an image of the file, 

rather than submitting a digital copy 

with redactions applied, to avoid 

inadvertent redaction errors which 

could enable the public to read business 

confidential information. 

FOR FURTHER INFORMATION CONTACT: For 

general questions, contact Sharron 

Cook, Office of Exporter Services, 

Bureau of Industry and Security, U.S. 

Department of Commerce at 202–482– 

2440 or by email: Sharron.Cook@

bis.doc.gov. 

For Technical Questions Contact 

Categories 0, 1 & 2: Sean Ghannadian at 

202–482–3429 or Sean.Ghannadian@

bis.doc.gov 

Category 3: Carlos Monroy at 202–482– 

3246 or Carlos.Monroy@bis.doc.gov 

Categories 4 & 5: Aaron Amundson or 

Aaron.Amundson@bis.doc.gov 

Categories 6: John Varesi at 202–482– 

1114 or John.Varesi@bis.doc.gov 

Categories 7: David Rosenberg at 202– 

482–5987, John Varesi at 202–482– 

1114 or David.Rosenberg@bis.doc.gov 

or John.Varesi@bis.doc.gov 

Category 9: David Rosenberg at 202– 

482–5987, Jason Chauvin at 202–482– 

6462 or David.Rosenberg@bis.doc.gov 

or Jason.Chauvin@bis.doc.gov 

‘‘600 Series’’ (munitions items): Jeffrey 

Leitz at 202–482–7417 or 

Jeffrey.Leitz@bis.doc.gov 

SUPPLEMENTARY INFORMATION: 

Background 

The WA (http://www.wassenaar.org/) 

is a group of 42 like-minded states 

committed to promoting responsibility 

and transparency in the global arms 

trade and preventing destabilizing 

accumulations of conventional 

weapons. As a Participating State of the 

WA (Participating State), the United 

States has committed to controlling for 

export all items on the WA’s List of 

Dual-Use Goods and Technologies (WA 

Dual-Use List) and on the WA 

Munitions List (together, WA control 

lists). The WA control lists were first 

established in 1996 and have been 

revised annually thereafter. 

Participating States implement changes 

to the WA control lists as soon as 

possible after the WA Plenary. By doing 

so in a timely manner, the United States 

demonstrates its decisive support for the 

goals of the WA, namely, that transfers 

do not contribute to the development or 

enhancement of military capabilities or 

are not diverted to support such 

capabilities. Timely implementation 

also ensures that U.S. companies have a 

level playing field with their 

competitors in other Participating 

States. 

Revisions to the Commerce Control List 

Related to WA 2022 Plenary Meeting 

Decisions 

Revisions (14) ECCNs: 1B001, 

4D001,4E001, 6A005, 6B007, 7A003, 

7E004, 8A001, 8A002, 9A001, 9A003, 

9E001, 9E002, and 9E003. 

Editorial Revision to Technical Notes 

in (55) ECCNS: This rule adds the 

phrase ‘For the purposes of’ in various 

Technical Notes in singular and plural 

form in ECCNs 1A004, 1A006, 1A007, 

1A008, 1B001, 1C001, 1C002, 1C005, 

1C008, 1C010, 1C011, 2A001, 2B004, 

2B006, 2B008, 2B009, 2E003, 3A001, 

3A002, 3B001, 3D003, 3D006, 3E001, 

3E002, 4A004, 4D001, 4E001, 5A001, 

5A002, 5A004, 6A001, 6A002, 6A003, 

6A004, 6A005, 6A006, 6A007, 6A008, 

6B007, 6C002, 6C005, 6D003, 

6E003,7A004, 7A005, 7A006, 7B001, 

7D002, 7E004, 8A002, 8C001, 8E002, 

9A004, 9B005, and 9E003. The intention 

of this revision is to ensure consistency 

among ECCNs. 

1C010 ‘‘Fibrous or Filamentary 

Materials’’ 

This rule makes an editorial revision 

by adding a reference to 1C010.e.1.b to 

technical note 1 because both 

paragraphs e.1.b.1 and e.1.b.2 use terms 

referenced in this technical note. 

4D001 ‘‘Software’’ and 4E001 

‘‘Technology’’ 

In paragraphs 4D001.b.1 and 

4E001.b.1, this rule changes the 

parameters of Weighted TeraFLOPS 

(WT) from 15 to 24. This change is made 

because processors with built-in 

hardware memory-coherent 

interconnects allow groupings of up to 

8 processors without any additional 


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Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71933 

technical know-how, and it is widely 

believed that a single processor will 

reach Adjusted Peak Performance (APP) 

levels of up to 2 WT in the next year, 

and up to 2.5 WT by the 2025 

timeframe. Thus, companies will soon 

be able to build computers that exceed 

the current APP levels without any 

additional technology. The 

corresponding technology and software 

levels in License Exception APP 

(Section 740.7 of the EAR) were 

adjusted in a final rule that 

implemented certain changes agreed to 

at the December 2021 WA Plenary. See 

88 FR 12108 (February 24, 2023). Thus, 

BIS is not making any additional 

adjustments to those thresholds at this 

time. 

6A005 ‘‘Lasers’’, ‘‘Components’’ and 

Optical Equipment 

This rule raises the ‘‘average output 

power’’ parameter from ‘‘50 W’’ to ‘‘80 

W’’ in 6A005.b.3.a.2. For the industrial 

applications that use green lasers, the 

power level is a key factor in 

manufacturing productivity. These 

applications require certain pulse 

energies for the resultant processes. To 

enhance manufacturing productivity, 

the repetition frequency for a given 

pulse energy must be increased, thereby 

requiring an increase in the average 

output power. Today, the average 

output power requirements for 

industrial green lasers exceed the WA 

threshold of 50 W, and are expected to 

continue an upward trend to more than 

80 W. Companies outside of 

Participating States compete in the 

industrial green laser market, for 

example, several Chinese companies 

manufacture green lasers with average 

output power in the 50–80 W range. 

To accommodate increased demand 

for single-mode semiconductor laser 

diodes, a decision was made during the 

WA 2022 Plenary to increase the 

technical parameters for semiconductor 

lasers. Specifically, adjusting the 

wavelength from 1,510 nm to 1,570 nm 

in 6A005.d.1.a.1 and d.1.a.2 groups 

these lasers with other semiconductor 

lasers with lower sensitivity 

applications. As a result, the necessary 

output power accommodation for 

automotive Light Detection and Ranging 

(LIDAR) applications is achieved with a 

modest output power increase from 1.5 

W to 2.0 W in 6A005.d.1.a.1. 

Semiconductor lasers that fall within 

these parameters, while very useful for 

automotive LIDAR, have limited utility 

in military applications. 

6A007 Gravity Meters (Gravimeters) 

and Gravity Gradiometers 

A technical note to define ‘time-tosteady-state registration’ is added after 

paragraph 6A007.b.2, to harmonize this 

entry with the entry on the WA DualUse List. 

6B007 Equipment To Produce, Align 

and Calibrate Land-Based Gravity 

Meters 

This rule adds the word ‘‘less’’ to the 

heading of ECCN 6B007 to clarify that 

an ‘‘accuracy’’ better than 0.1 mGal is 

less than 0.1 mGal. 

7A003 ‘Inertial Measurement 

Equipment or Systems’ 

This rule moves the definition of 

‘inertial measurement equipment or 

systems’ from Note 1 to a technical note, 

so that this entry is consistent with 

other CCL entries in which definitions 

are set forth in technical notes. 

8A001 Submersible Vehicles and 

Surface Vessels 

In paragraph 8A001.c.1.c, this rule 

adds the term ‘wireless’ before the term 

‘optical data’ to clarify that the reference 

is to communications through water and 

to distinguish Remotely Operated 

Vehicles (ROVs) having this capability 

from those designed to only use a fiber 

optic data link. 

8A002 Marine Systems, Equipment, 

‘‘Parts’’ and ‘‘Components’’ 

In paragraphs 8A002.o.2.b and 

8A002.o.2.c, this rule replaces the term 

‘engines’ with ‘motors’ before the term 

‘propulsion.’ While the terms ‘‘engines’’ 

and ‘‘motors’’ are largely 

interchangeable, it was determined that 

‘‘motor’’ is more commonly used in the 

context of 8A002 items. In paragraph 

8A002.o.4, this rule adds a new control 

for permanent magnet propulsion 

systems (PM propulsion systems) to 

adequately cover propulsion systems 

using permanent magnet motors, 

including Rim Driven Propulsion 

systems (RDPs). 

9A001 Aero Gas Turbine Engines, and 

Technology Therefor in 9E001 and 

9E002 

This rule revises 9A001, 9A003, 

9E001, 9E002, and 9E003 to permit the 

same civil certification release from 

9A001 to 9A991 for supersonic aero gas 

turbine engines that is available for 

subsonic aero gas turbine engines. 

The rule conforms with the decisions 

made at WA with regard to 9A001, 

specifically to combine 9A001.a and 

9A001.b to allow for the same exclusion 

when the engine is certified by type 

with a civil certified supersonic aircraft. 

This rule revises the reference to 

9A001.a in Notes 1 and 2 to read as 

9A001, as 9A001.a is now the only 

subparagraph in 9A001. Note 1 now 

excludes from 9A001 aero gas turbine 

engines that power an ‘‘aircraft’’ to 

Mach 1 or higher for more than 30 

minutes if the engines have been 

certified by an appropriate civil aviation 

authority, and are intended to power an 

‘‘aircraft’’ for which a type certificate (or 

equivalent document) has been issued, 

as these engines are now controlled 

under ECCN 9A991 for AT reasons. As 

a conforming revision, the reference to 

9A001.b is removed from the headings 

of ECCNs 9E001 and 9E002, as well as 

from the license requirements tables of 

these ECCNs. In addition, consistent 

with the removal of 9A001.b from the 

CCL, as described above, this rule also 

removes paragraphs (E) and (F) from 

§ 740.20(b)(2)(viii), which had identified 

technology associated with 9A001.b that 

was ineligible for export, reexport, and 

transfer (in-country) under License 

Exception STA. Former paragraph (G) is 

redesignated as paragraph (E). 

9A003 ‘‘Specially Designed’’ 

Assemblies or ‘‘Components,’’ 

Incorporating Any of the 

‘‘Technologies’’ Controlled by 9E003.a, 

9E003.h, 9E003.i, or 9E003.k, for Any of 

the Following Aero Gas Turbine 

Engines 

This rule adds paragraph 9E003.k to 

the heading of ECCN 9A003, which 

expands the scope of control of 

assemblies and components under this 

ECCN. 

9E003 Other ‘‘Technology’’ as 

Specified 

This rule makes a simple editorial 

change to remove the first comma in 

9E003.c after ‘‘cooling holes’’ that 

otherwise might bring confusion to the 

control text. This rule also redesignates 

9E003.k as 9E003.l and adds a new 

paragraph 9E003.k to control specific 

technologies, formerly controlled by 

9E001, that are peculiarly responsible 

for the development of an aero gas 

turbine engine that can enable an 

aircraft to cruise at supersonic speeds 

(Mach 1 or greater) for more than 30 

minutes. This technology addition to 

9E003 addresses the ‘‘development’’ of 

systems and components that enable the 

engine and aircraft to operate a 

supersonic speed. Because 9E003.k 

references engine capability (which 

does not change with certification) this 

important ‘‘development’’ technology 

will remain controlled even after the 

engine enters civil operation. The 

license requirement table is amended to 

reflect the redesignation of 9E003.k to 


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71934 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

9E003.l to the SI control paragraph. 

Related revisions as a result of this 

redesignation are made to §§ 734.4(a)(4), 

740.20(b)(2)(viii), 742.14(a), and the 

introductory text of 742.14(b). 

The new 9E003.k technology for 

supersonic engines controls 

development technology only. The 

associated production technology has 

shifted from ECCN 9E002 to ECCN 

9E991 and is designated as ‘‘No License 

Required’’ (NLR) to all destinations or 

countries listed in Country Group A:5 

and A:6 (see supplement no. 1 to part 

740 of the EAR). 

The STA restrictions under 9E003 are 

revised by adding an ‘‘or’’ after 9E003.h 

and adding Country Group A:5 to 

harmonize with 740.20(b)(2) for 9E003. 

In addition, this rule adds a new STA 

restriction paragraph for 9E003.k for 

Country Group A:6 in order to maintain 

the STA restriction previously on ECCN 

9E001 for ECCN paragraph 9A001.b. As 

required by the Export Control Reform 

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

continually evaluates the control status 

of a range of technologies, including 

those related to supersonic engines, to 

effectively protect U.S. national security 

and foreign policy interests. In light of 

the amendments to 9E001 and 9E003 

implementing the WA revisions, which 

identify technologies required for the 

development of specific components or 

systems specially designed for 

supersonic engines, BIS is seeking 

comment on whether to retain License 

Exception STA eligibility for 

destinations specified in Country Group 

A:5 of supplement no. 1 to part 740 of 

the EAR for the technology specified in 

9E003.k. We invite the public to 

comment on this issue before the 

comment period closes. Information 

about how to comment is provided in 

the ADDRESS section of this rule. 

Part 772—Definitions of Terms 

This rule revises the definition for 

‘‘intrusion software’’ by adding double 

quotes around the term ‘‘program’’ in 

paragraph (2) to indicate it is a defined 

term in § 772.1. 

This rule notes the two occurrences of 

the term ‘‘program’’ that did not have 

double quotation marks indicating it is 

a defined term in § 772.1 and corrects 

this omission in technical note 1 below 

paragraph .g in ECCN 1B001 and in 

paragraph (2) in the definition of 

‘‘intrusion software’’ in § 772.1. This 

rule also amends the term ‘‘program’’ in 

§ 772.1 to add category 1 and 7 and 

remove category 2 from the categories 

where the term is used. 

Supplement No. 6 to Part 774 Sensitive 

List 

Paragraph 4 of supplement no. 6 to 

part 774 Sensitive List (SL) is amended 

by removing paragraphs (ii) 4D001 and 

(iii) 4E001. This change is being made 

as a consequence of the raising of the 

APP thresholds in 4D001 and 4E001. 

This rule implements the WA 2022 

Plenary determination that high 

performance computer technology and 

software do not merit the same level of 

sensitivity as other items on the SL. 

Savings Clause 

Shipments of items removed from 

license exception eligibility or eligibility 

for export, reexport or transfer (incountry) 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 October 

18, 2023, pursuant to actual orders for 

exports, reexports and transfers (incountry) 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, reexported or transferred 

(in-country) before December 18, 2023. 

Any such items not actually exported, 

reexported or transferred (in-country) 

before midnight, on December 18, 2023, 

require a license in accordance with this 

interim final rule. 

Export Control Reform Act of 2018 

On August 13, 2018, the President 

signed into law the John S. McCain 

National Defense Authorization Act for 

Fiscal Year 2019, which included the 

Export Control Reform Act (ECRA), 50 

U.S.C. 4801–4852. ECRA, as amended, 

provides the legal basis for BIS’s 

principal authorities and serves as the 

authority under which BIS issues this 

rule. 

Rulemaking Requirements 

1. Executive Orders 12866, 13563, and 

14094 direct agencies to assess all costs 

and benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects and distributive impacts and 

equity). Executive Order 13563 

emphasizes the importance of 

quantifying both costs and benefits and 

of reducing costs, harmonizing rules, 

and promoting flexibility. 

This interim final rule has been 

designated a ‘‘significant regulatory 

action’’ under section 3(f) of Executive 

Order 12866, as amended by Executive 

Order 14094. This rule does not contain 

policies with Federalism implications as 

that term is defined under Executive 

Order 13132. 

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. Although this 

rule makes important changes to the 

EAR for items controlled for national 

security reasons, BIS believes that the 

overall increases in burdens and costs 

associated with the following 

information collections due to this rule 

will be minimal. 

• 0694–0088, ‘‘Simplified Network 

Application Processing System,’’ which 

carries a burden- hour estimate of 29.6 

minutes for a manual or electronic 

submission; 

• 0694–0137 ‘‘License Exceptions and 

Exclusions,’’ which carries a burdenhour estimate average of 1.5 hours per 

submission (Note: submissions for 

License Exceptions are rarely required); 

• 0694–0096 ‘‘Five Year Records 

Retention Period,’’ which carries a 

burden-hour estimate of less than 1 

minute; and 

• 0607–0152 ‘‘Automated Export 

System (AES) Program,’’ which carries a 

burden-hour estimate of 3 minutes per 

electronic submission. 

Additional information regarding 

these collections of information— 

including all background materials—can 

be found at https://www.reginfo.gov/ 

public/do/PRAMain and using the 

search function to enter either the title 

of the collection or the OMB Control 

Number. 

3. Pursuant to Section 1762 of ECRA 

(50 U.S.C. 4821), this action is exempt 

from the Administrative Procedure Act 

(APA) (5 U.S.C. 553) requirements for 

notice of proposed rulemaking, 

opportunity for public participation and 

delay in effective date. 

List of Subjects 

15 CFR Part 734 

Administrative practice and 

procedure, Exports, Inventions and 

patents, Research, Science and 

technology. 

15 CFR Part 740 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping. 

15 CFR Part 742 

Exports, Terrorism. 


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Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71935 

15 CFR Part 772 

Exports. 

15 CFR Part 774 

Exports, Reporting and recordkeeping 

requirements, Terrorism. 

Accordingly, parts 734, 740, 742, 772 

and 774 of the Export Administration 

Regulations (15 CFR parts 730–774) are 

amended as follows: 

PART 734—SCOPE OF THE EXPORT 

ADMINISTRATION REGULATIONS 

■ 1. The authority citation for part 734 

continues to read as follows: 

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

4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 

12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 

950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 

Comp., p. 219; E.O. 13026, 61 FR 58767, 3 

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

44025, 3 CFR, 2001 Comp., p. 783; E.O. 

13637, 78 FR 16129, 3 CFR, 2014 Comp., p. 

223; Notice of November 8, 2022, 87 FR 

68015 (November 10, 2022). 

■ 2. Section 734.4 is amended to revise 

paragraph (a)(4) to read as follows: 

§ 734.4 De Minimis U.S. content. 

(a) * * * 

(4) There is no de minimis level for 

U.S.-origin technology controlled by 

ECCN 9E003.a.1 through a.6, a.8, .h, .i, 

and .l, when redrawn, used, consulted, 

or otherwise commingled abroad. 

* * * * * 

PART 740—LICENSE EXCEPTIONS 

■ 3. The authority citation for part 740 

continues to read as follows: 

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

4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. 

7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 

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

3 CFR, 2001 Comp., p. 783. 

■ 4. Section 740.20 is amended by 

revising paragraph (b)(2)(viii) to read as 

follows: 

§ 740.20 License Exception Strategic 

Trade Authorization (STA). 

* * * * * 

(b) * * * 

(2) * * * 

(viii) Commerce Control List Category 

9 limitations on use of License 

Exception STA. 

(A) License Exception STA may not 

be used for 9B001 when destined to a 

country in Country Group A:6. 

(B) License Exception STA may not be 

used for 9D001 or 9D002 ‘‘software’’ 

that is ‘‘specially designed’’ or modified 

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

of: 

(1) Components of engines controlled 

by ECCN 9A001 if such components 

incorporate any of the ‘‘technologies’’ 

controlled by 9E003.a.1, 9E003.a.2, 

9E003.a.3, 9E003.a.4, 9E003.a.5, 

9E003.c, 9E003.h, or 9E003.i (other than 

technology for fan or power turbines); or 

(2) Equipment controlled by 9B001. 

(C) License Exception STA may not be 

used for 9D001 ‘‘software’’ that is 

‘‘specially designed’’ or modified for the 

‘‘development’’ of ‘‘technology’’ 

controlled by 9E003.a.1, 9E003.a.2, 

9E003.a.3, 9E003.a.4, 9E003.a.5, 

9E003.c, 9E003.h, or 9E003.i (other than 

technology for fan or power turbines). 

(D) License Exception STA may not 

be used for 9D004.f or 9D004.g 

‘‘software’’. 

(E) License Exception STA may not be 

used for ‘‘technology’’ in 9E003.a.1, 

9E003.a.2, 9E003.a.3, 9E003.a.4, 

9E003.a.5, 9E003.c, 9E003.h, or 9E003.i 

(other than technology for fan or power 

turbines). 

* * * * * 

PART 742—CONTROL POLICY—CCL 

BASED CONTROLS 

■ 5. The authority citation for part 742 

continues to read as follows: 

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

4601 et seq.; 50 U.S.C. 1701 et seq.; 22 U.S.C. 

3201 et seq.; 42 U.S.C. 2139a; 22 U.S.C. 7201 

et seq.; 22 U.S.C. 7210; Sec. 1503, Pub. L. 

108–11, 117 Stat. 559; E.O. 12058, 43 FR 

20947, 3 CFR, 1978 Comp., p. 179; E.O. 

12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 

608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 

Comp., p. 950; E.O. 13026, 61 FR 58767, 3 

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

44025, 3 CFR, 2001 Comp., p. 783; 

Presidential Determination 2003–23, 68 FR 

26459, 3 CFR, 2004 Comp., p. 320; Notice of 

November 8, 2022, 87 FR 68015 (November 

10, 2022). 

■ 6. Section 742.14 is amended by 

revising paragraphs (a) and (b) 

introductory text to read as follows: 

§ 742.14 Significant items: hot section 

technology for the development, production 

or overhaul of commercial aircraft engines, 

components, and systems. 

(a) License requirement. Licenses are 

required for all destinations, except 

Canada, for ECCNs having an ‘‘SI’’ 

under the ‘‘Reason for Control’’ 

paragraph. These items include hot 

section technology for the development, 

production or overhaul of commercial 

aircraft engines controlled under ECCN 

9E003.a.1 through a.6, a.8, .h, .i, and .l, 

and related controls. 

(b) Licensing policy. Pursuant to 

section 6 of the Export Administration 

Act of 1979, as amended, foreign policy 

controls apply to technology required 

for the development, production or 

overhaul of commercial aircraft engines 

controlled by ECCN 9E003a.1 through 

a.6, a.8, .h, .i, and .l, and related 

controls. These controls supplement the 

national security controls that apply to 

these items. Applications for export and 

reexport to all destinations 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. 

The following factors are among those 

that will be considered to determine 

what action will be taken on license 

applications: 

* * * * * 

PART 772—DEFINITIONS OF TERMS 

■ 7. The authority citation for part 772 

continues to read as follows: 

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

4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 

13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 

783. 

■ 8. Section 772.1 is amended by 

revising the definitions for ‘‘Intrusion 

software’’ and ‘‘Program’’ to read as 

follows: 

§ 772.1 Definitions of terms as used in the 

Export Administration Regulations (EAR). 

* * * * * 

Intrusion software. (5P2) ‘‘Software’’ 

specially designed or modified to avoid 

detection by ‘monitoring tools’, or to 

defeat ‘protective countermeasures’, of a 

computer or network-capable device, 

and performing any of the following: 

(1) The extraction of data or 

information, from a computer or 

network-capable device, or the 

modification of system or user data; or 

(2) The modification of the standard 

execution path of a ‘‘program’’ or 

process in order to allow the execution 

of externally provided instructions. 

Note 1 to ‘‘Intrusion Software’’ 

Definition: ‘‘Intrusion software’’ does 

not include any of the following: 

Hypervisors, debuggers or Software 

Reverse Engineering (SRE) tools; Digital 

Rights Management (DRM) ‘‘software’’; 

or ‘‘Software’’ designed to be installed 

by manufacturers, administrators or 

users, for the purposes of asset tracking 

or recovery. 

Note 2 to ‘‘Intrusion Software’’ 

Definition: Network-capable devices 

include mobile devices and smart 

meters. 

Technical note 1 to ‘‘Intrusion 

Software’’ Definition: ‘Monitoring 

tools’: ‘‘software’’ or hardware devices, 

that monitor system behaviors or 

processes running on a device. This 

includes antivirus (AV) products, end 

point security products, Personal 

Security Products (PSP), Intrusion 

Detection Systems (IDS), Intrusion 

Prevention Systems (IPS) or firewalls. 


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Technical note 2 to ‘‘Intrusion 

Software’’ Definition: ‘Protective 

countermeasures’: techniques designed 

to ensure the safe execution of code, 

such as Data Execution Prevention 

(DEP), Address Space Layout 

Randomization (ASLR) or sandboxing. 

* * * * * 

Program. (Cat 1, 4, 6, and 7)—A 

sequence of instructions to carry out a 

process in, or convertible into, a form 

executable by an electronic computer. 

PART 774—THE COMMERCE 

CONTROL LIST 

■ 9. The authority citation for part 774 

continues to read as follows: 

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

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

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

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

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

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

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

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

Comp., p. 783. 

■ 10. In supplement no. 1 to part 774, 

ECCNs 1A004, 1A006, 1A007, 1A008, 

1B001, 1C001, 1C002, 1C003, 1C005, 

1C008, 1C010, 1C011, 2A001, 2B004, 

2B006, 2B008, 2B009, 2E003, 3A001, 

3A002, 3B001, 3D003, 3D006, 3E001, 

3E002, 4A004, 4D001, 4E001, 5A001, 

5A002, 5A004, 6A001, 6A002, 6A003, 

6A004, 6A005, 6A006, 6A007, 6A008, 

6B007, 6C002, 6C005, 6D003, 6E003, 

7A003, 7A004, 7A005, 7A006, 7B001, 

7D002, 7E004, 8A001, 8A002, 8C001, 

8E002, 9A001, 9A003, 9A004, 9A005, 

9B005, 9E001, 9E002, and 9E003 are 

revised to read as follows: 

Supplement No. 1 to Part 774—The 

Commerce Control List 

* * * * * 

1A004 Protective and detection equipment 

and ‘‘components’’, not ‘‘specially 

designed’’ for military use, as follows 

(see List of Items Controlled). 

License Requirements 

Reason for Control: NS, CB, RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

CB applies to chemical detection systems and dedicated 

detectors therefor, 

in 1A004.c, that 

also have the technical characteristic.

CB Column 2 

RS apply to 1A004.d RS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: Yes for 1A004.a, .b, and .c.2. 

List of Items Controlled 

Related Controls: (1) See ECCNs 1A995, 

2B351, and 2B352. (2) See ECCN 1D003 for 

‘‘software’’ ‘‘specially designed’’ or 

modified to enable equipment to perform 

the functions of equipment controlled 

under section 1A004.c (Nuclear, biological, 

and chemical (NBC) detection systems). (3) 

See ECCN 1E002.g for control libraries 

(parametric technical databases) ‘‘specially 

designed’’ or modified to enable equipment 

to perform the functions of equipment 

controlled under 1A004.c (Nuclear, 

biological, and chemical (NBC) detection 

systems). (4) Chemical and biological 

protective and detection equipment 

specifically designed, developed, modified, 

configured, or adapted for military 

applications is ‘‘subject to the ITAR’’ (see 

22 CFR parts 120 through 130, including 

USML Category XIV(f)), as is commercial 

equipment that incorporates ‘‘parts’’ or 

‘‘components’’ controlled under that 

category except for domestic preparedness 

devices for individual protection that 

integrate ‘‘components’’ and ‘‘parts’’ 

identified in USML Category XIV(f)(4) 

when such ‘‘parts’’ or ‘‘components’’ are: 

Integral to the device; inseparable from the 

device; and incapable of replacement 

without compromising the effectiveness of 

the device, in which case the equipment is 

subject to the export licensing jurisdiction 

of the Department of Commerce under 

ECCN 1A004. (5) This entry does not 

control radionuclides incorporated in 

equipment listed in this entry—such 

materials are subject to the licensing 

jurisdiction of the Nuclear Regulatory 

Commission (See 10 CFR part 110). 

Related Definitions: (1) ‘Biological agents’ 

means: pathogens or toxins, selected or 

modified (such as altering purity, shelf life, 

virulence, dissemination characteristics, or 

resistance to UV radiation) to produce 

casualties in humans or animals, degrade 

equipment or damage crops or the 

environment. (2) ‘Riot control agents’ are 

substances which, under the expected 

conditions of use for riot control purposes, 

produce rapidly in humans sensory 

irritation or disabling physical effects 

which disappear within a short time 

following termination of exposure. (Tear 

gases are a subset of ‘riot control agents.’) 

Items: 

a. Full face masks, filter canisters and 

decontamination equipment therefor, 

designed or modified for defense against any 

of the following, and ‘‘specially designed’’ 

‘‘components’’ therefor: 

Note: 1A004.a includes Powered Air 

Purifying Respirators (PAPR) that are 

designed or modified for defense against 

agents or materials, listed in 1A004.a. 

Technical Notes: For the purposes of 

1A004.a: 

1. Full face masks are also known as gas 

masks. 

2. Filter canisters include filter cartridges. 

a.1. ‘Biological agents’; 

a.2. ‘Radioactive materials’; 

a.3. Chemical warfare (CW) agents; or 

a.4. ‘Riot control agents’, as follows: 

a.4.a. a-Bromobenzeneacetonitrile, 

(Bromobenzyl cyanide) (CA) (CAS 5798–79– 

8); 

a.4.b. [(2-chlorophenyl) methylene] 

propanedinitrile, (oChlorobenzylidenemalononitrile) (CS) (CAS 

2698–41–1); 

a.4.c. 2-Chloro-1-phenylethanone, 

Phenylacyl chloride (w-chloroacetophenone) 

(CN) (CAS 532–27–4); 

a.4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) 

(CAS 257–07–8); 

a.4.e. 10-Chloro-5, 10- 

dihydrophenarsazine, (Phenarsazine 

chloride), (Adamsite), (DM) (CAS 578–94–9); 

a.4.f. N-Nonanoylmorpholine, (MPA) (CAS 

5299–64–9); 

b. Protective suits, gloves and shoes, 

‘‘specially designed’’ or modified for defense 

against any of the following: 

b.1. ‘Biological agents’; 

b.2. ‘Radioactive materials’; or 

b.3. Chemical warfare (CW) agents; 

c. Detection systems, ‘‘specially designed’’ 

or modified for detection or identification of 

any of the following, and ‘‘specially 

designed’’ ‘‘components’’ therefor: 

c.1. ‘Biological agents’; 

c.2. ‘Radioactive materials’; or 

c.3. Chemical warfare (CW) agents; 

d. Electronic equipment designed for 

automatically detecting or identifying the 

presence of ‘‘explosives’’ (as listed in the 

annex at the end of Category 1) residues and 

utilizing ‘trace detection’ techniques (e.g., 

surface acoustic wave, ion mobility 

spectrometry, differential mobility 

spectrometry, mass spectrometry). 

Technical Note: For the purposes of 

1A004.d, ‘trace detection’ is defined as the 

capability to detect less than 1 ppm vapor, 

or 1 mg solid or liquid. 

Note 1: 1A004.d does not apply to 

equipment ‘‘specially designed’’ for 

laboratory use. 

Note 2: 1A004.d does not apply to noncontact walk-through security portals. 

Note: 1A004 does not control: 

a. Personal radiation monitoring 

dosimeters; 

b. Occupational health or safety equipment 

limited by design or function to protect 

against hazards specific to residential safety 

or civil industries, including: 

1. Mining; 

2. Quarrying; 

3. Agriculture; 

4. Pharmaceutical; 

5. Medical; 

6. Veterinary; 

7. Environmental; 

8. Waste management; 

9. Food industry. 

Technical Notes: 

1. 1A004 includes equipment, 

‘‘components’’ that have been ‘identified,’ 

successfully tested to national standards or 

otherwise proven effective, for the detection 

of or defense against ‘radioactive materials’ 

‘biological agents,’ chemical warfare agents, 

‘simulants’ or ‘‘riot control agents,’’ even if 

such equipment or ‘‘components’’ are used in 

civil industries such as mining, quarrying, 


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agriculture, pharmaceuticals, medical, 

veterinary, environmental, waste 

management, or the food industry. 

2. ‘Simulant’: A substance or material that 

is used in place of toxic agent (chemical or 

biological) in training, research, testing or 

evaluation. 

3. For the purposes of 1A004, ‘radioactive 

materials’ are those selected or modified to 

increase their effectiveness in producing 

casualties in humans or animals, degrading 

equipment or damaging crops or the 

environment. 

* * * * * 

1A006 Equipment, ‘‘specially designed’’ or 

modified for the disposal of Improvised 

Explosive Devices (IEDs), as follows (see 

List of Items Controlled), and ‘‘specially 

designed’’ ‘‘components’’ and 

‘‘accessories’’ therefor. 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

License Requirement Note: 1A006 does 

not apply to equipment when accompanying 

its operator. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: Equipment ‘‘specially 

designed’’ for military use for the disposal 

of IEDs is ‘‘subject to the ITAR’’ (see 22 

CFR parts 120 through 130, including 

USML Category IV). 

Related Definitions: N/A 

Items: 

a. Remotely operated vehicles; 

b. ‘Disruptors’. 

Technical Note: For the purposes of 

1A006.b ‘disruptors’ are devices ‘‘specially 

designed’’ for the purpose of preventing the 

operation of an explosive device by 

projecting a liquid, solid or frangible 

projectile. 

Note: 1A006 does not apply to equipment 

when accompanying its operator. 

1A007 Equipment and devices, ‘‘specially 

designed’’ to initiate charges and 

devices containing ‘‘energetic 

materials,’’ by electrical means, as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, NP, AT 

Control(s) 

Country chart 

(see supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

Control(s) 

Country chart 

(see supp. No. 1 to 

part 738) 

NP applies to 

1A007.b, as well as 

1A007.a when the 

detonator firing set 

meets or exceeds 

the parameters of 

3A229.

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: High explosives and related 

equipment ‘‘specially designed’’ for 

military use are ‘‘subject to the ITAR’’ (see 

22 CFR parts 120 through 130). This entry 

does not control detonators using only 

primary explosives, such as lead azide. See 

also ECCNs 0A604, 3A229, and 3A232. See 

1E001 for ‘‘development’’ and 

‘‘production’’ technology controls, and 

1E201 for ‘‘use’’ technology controls. 

Related Definitions: N/A 

Items: 

a. Explosive detonator firing sets designed 

to drive explosive detonators specified by 

1A007.b; 

b. Electrically driven explosive detonators 

as follows: 

b.1. Exploding bridge (EB); 

b.2. Exploding bridge wire (EBW); 

b.3. Slapper; 

b.4. Exploding foil initiators (EFI). 

Technical Notes: 

1. The word initiator or igniter is 

sometimes used in place of the word 

detonator. 

2. For the purposes of 1A007.b, the 

detonators of concern all utilize a small 

electrical conductor (bridge, bridge wire, or 

foil) that explosively vaporizes when a fast, 

high-current electrical pulse is passed 

through it. In non slapper types, the 

exploding conductor starts a chemical 

detonation in a contacting high explosive 

material such as PETN 

(pentaerythritoltetranitrate). In slapper 

detonators, the explosive vaporization of the 

electrical conductor drives a flyer or slapper 

across a gap, and the impact of the slapper 

on an explosive starts a chemical detonation. 

The slapper in some designs is driven by 

magnetic force. The term exploding foil 

detonator may refer to either an EB or a 

slapper-type detonator. 

1A008 Charges, devices and 

‘‘components’’, as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, UN, AT 

Control(s) 

Country chart 

(see supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

Control(s) 

Country chart 

(see supp. No. 1 to 

part 738) 

AT applies to entire 

entry.

AT Column 1 

UN applies to entire 

entry.

See § 746.1(b) for UN 

controls. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $3,000 for .a through .c; $6,000 for .d. 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) All of the following are 

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

120 through 130): 

a. High explosives and related equipment 

‘‘specially designed’’ for military use; 

b. Explosive devices or charges in this 

entry that utilize USML controlled energetic 

materials (See 22 CFR 121.1 Category V), if 

they have been specifically designed, 

developed, configured, adapted, or modified 

for a military application; 

c. Shaped charges that have all of the 

following a uniform shaped conical liner 

with an included angle of 90 degrees or less, 

more than 2.0 kg of controlled materials, and 

a diameter exceeding 4.5 inches; 

d. Detonating cord containing greater than 

0.1 kg per meter (470 grains per foot) of 

controlled materials; 

e. Cutters and severing tools containing 

greater than 10 kg of controlled materials; 

f. With the exception of cutters and 

severing tools, devices or charges controlled 

by this entry where the USML controlled 

materials can be easily extracted without 

destroying the device or charge; and 

g. Individual USML controlled energetic 

materials in this entry, even when 

compounded with other materials, when not 

incorporated into explosive devices or 

charges controlled by this entry or 1C992. 

(2) See also ECCNs 1C011, 1C018, 1C111, 

1C239, and 1C608 for additional controlled 

energetic materials. See ECCN 1E001 for 

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

‘‘technology’’ for the commodities 

controlled by ECCN 1A008, but not for 

explosives or commodities that are 

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

120 through 130). 

Related Definitions: N/A 

Items: 

a. ‘Shaped charges’ having all of the 

following: 

a.1. Net Explosive Quantity (NEQ) greater 

than 90 g; and 

a.2. Outer casing diameter equal to or 

greater than 75 mm; 

b. Linear shaped cutting charges having all 

of the following, and ‘‘specially designed’’ 

‘‘components’’ therefor: 

b.1. An explosive load greater than 40 g/ 

m; and 

b.2. A width of 10 mm or more; 

c. Detonating cord with explosive core load 

greater than 64 g/m; 

d. Cutters, not specified by 1A008.b, and 

severing tools, having a NEQ greater than 3.5 

kg. 

Technical Note: For the purposes of 

1A008.a, ‘shaped charges’ are explosive 


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charges shaped to focus the effects of the 

explosive blast. 

Note: The only charges and devices 

specified in 1A008 are those containing 

‘‘explosives’’ (see list of explosives in the 

Annex at the end of Category 1) and mixtures 

thereof. 

* * * * * 

1B001 Equipment for the production or 

inspection of ‘‘composite’’ structures or 

laminates controlled by 1A002 or 

‘‘fibrous or filamentary materials’’ 

controlled by 1C010, as follows (see List 

of Items Controlled), and ‘‘specially 

designed’’ ‘‘components’’ and 

‘‘accessories’’ therefor. 

License Requirements 

Reason for Control: NS, MT, NP, AT 

Control(s) 

Country chart 

(see supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to entire 

entry, except 

1B001.d.4, e and f. 

Note: MT applies 

to equipment in 

1B001.d that meet 

or exceed the parameters of 1B101.

MT Column 1 

NP applies to filament winding machines described in 

1B001.a that are 

capable of winding 

cylindrical rotors 

having a diameter 

between 75 mm (3 

in) and 400 mm 

(16 in) and lengths 

of 600 mm (24 in) 

or greater; AND coordinating and programming controls 

and precision 

mandrels for these 

filament winding 

machines.

NP Column 1. 

AT applies to entire 

entry.

AT Column 1. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A for MT and for 1B001.a; $5000 for 

all other items 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See ECCN 1D001 for 

software for items controlled by this entry 

and see ECCNs 1E001 (‘‘development’’ and 

‘‘production’’) and 1E101 (‘‘use’’) for 

technology for items controlled by this 

entry. (2) Also see ECCNs 1B101 and 

1B201. 

Related Definitions: N/A 

Items: 

a. Filament winding machines, of which 

the motions for positioning, wrapping and 

winding fibers are coordinated and 

programmed in three or more ‘primary servo 

positioning’ axes, ‘‘specially designed’’ for 

the manufacture of ‘‘composite’’ structures or 

laminates, from ‘‘fibrous or filamentary 

materials’’; 

b. ‘Tape laying machines’, of which the 

motions for positioning and laying tape are 

coordinated and programmed in five or more 

‘primary servo positioning’ axes, ‘‘specially 

designed’’ for the manufacture of 

‘‘composite’’ airframe or missile structures; 

Technical Note: For the purposes of 

1B001.b, ‘tape-laying machines’ have the 

ability to lay one or more ‘filament bands’ 

limited to widths greater than 25.4 mm and 

less than or equal to 304.8 mm, and to cut 

and restart individual ‘filament band’ 

courses during the laying process. 

c. Multidirectional, multidimensional 

weaving machines or interlacing machines, 

including adapters and modification kits, 

‘‘specially designed’’ or modified for 

weaving, interlacing or braiding fibers for 

‘‘composite’’ structures; 

Technical Note: For the purposes of 

1B001.c the technique of interlacing includes 

knitting. 

d. Equipment ‘‘specially designed’’ or 

adapted for the production of reinforcement 

fibers, as follows: 

d.1. Equipment for converting polymeric 

fibers (such as polyacrylonitrile, rayon, pitch 

or polycarbosilane) into carbon fibers or 

silicon carbide fibers, including special 

equipment to strain the fiber during heating; 

d.2. Equipment for the chemical vapor 

deposition of elements or compounds, on 

heated filamentary substrates, to manufacture 

silicon carbide fibers; 

d.3. Equipment for the wet-spinning of 

refractory ceramics (such as aluminum 

oxide); 

d.4. Equipment for converting aluminum 

containing precursor fibers into alumina 

fibers by heat treatment; 

e. Equipment for producing prepregs 

controlled by 1C010.e by the hot melt 

method; 

f. Non-destructive inspection equipment 

‘‘specially designed’’ for ‘‘composite’’ 

materials, as follows: 

f.1. X-ray tomography systems for three 

dimensional defect inspection; 

f.2. Numerically controlled ultrasonic 

testing machines of which the motions for 

positioning transmitters or receivers are 

simultaneously coordinated and programmed 

in four or more axes to follow the three 

dimensional contours of the ‘‘part’’ or 

‘‘component’’ under inspection; 

g. Tow-placement machines, of which the 

motions for positioning and laying tows are 

coordinated and programmed in two or more 

‘primary servo positioning’ axes, ‘‘specially 

designed’’ for the manufacture of 

‘‘composite’’ airframe or missile structures. 

Technical Note to 1B001.g: For the 

purposes of 1B001.g, ‘tow-placement 

machines’ have the ability to place one or 

more ‘filament bands’ having widths less 

than or equal to 25.4 mm, and to cut and 

restart individual ‘filament band’ courses 

during the placement process. 

Technical Notes for 1B001: 

1. For the purposes of 1B001, ‘primary 

servo positioning’ axes control, under 

computer ‘‘program’’ direction, the position 

of the end effector (i.e., head) in space 

relative to the work piece at the correct 

orientation and direction to achieve the 

desired process. 

2. For the purposes of 1B001, a ‘filament 

band’ is a single continuous width of fully or 

partially resin-impregnated tape, tow or fiber. 

Fully or partially resin-impregnated ‘filament 

bands’ include those coated with dry powder 

that tacks upon heating. 

* * * * * 

1C001 Materials ‘‘specially designed’’ for 

absorbing electromagnetic radiation, or 

intrinsically conductive polymers, as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to items 

that meet or exceed the parameters of ECCN 

1C101.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any item in this entry to any 

of the destinations listed in Country Group 

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

the EAR). 

List of Items Controlled 

Related Controls: See also 1C101. 

Related Definitions: N/A 

Items: 

a. Materials for absorbing frequencies 

exceeding 2 × 108 Hz but less than 3 × 1012

Hz. 

Note 1: 1C001.a does not control: 

a. Hair type absorbers, constructed of 

natural or synthetic fibers, with non-magnetic 

loading to provide absorption; 

b. Absorbers having no magnetic loss and 

whose incident surface is non-planar in 

shape, including pyramids, cones, wedges 

and convoluted surfaces; 

c. Planar absorbers, having all of the 

following: 

1. Made from any of the following: 

a. Plastic foam materials (flexible or nonflexible) with carbon-loading, or organic 

materials, including binders, providing more 

than 5% echo compared with metal over a 

bandwidth exceeding ±15% of the center 

frequency of the incident energy, and not 

capable of withstanding temperatures 

exceeding 450 K (177 °C); or 


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b. Ceramic materials providing more than 

20% echo compared with metal over a 

bandwidth exceeding ±15% of the center 

frequency of the incident energy, and not 

capable of withstanding temperatures 

exceeding 800 K (527 °C); 

Technical Note: For the purposes of 

1C001.a Note 1.c.1, absorption test samples 

should be a square at least 5 wavelengths of 

the center frequency on a side and positioned 

in the far field of the radiating element. 

2. Tensile strength less than 7 × 106 N/m2; 

and 

3. Compressive strength less than 14 × 106

N/m2; 

d. Planar absorbers made of sintered 

ferrite, having all of the following: 

1. A specific gravity exceeding 4.4; and 

2. A maximum operating temperature of 

548 K (275 °C) or less; 

e. Planar absorbers having no magnetic 

loss and fabricated from ‘open-cell foams’ 

plastic material with a density of 0.15 grams/ 

cm3 or less. 

Technical Note: For the purposes of 

1C001.a Note e., ‘open-cell foams’ are 

flexible and porous materials, having an 

inner structure open to the atmosphere. 

‘Open-cell foams’ are also known as 

reticulated foams. 

Note 2: Nothing in Note 1 releases 

magnetic materials to provide absorption 

when contained in paint. 

b. Materials not transparent to visible light 

and ‘‘specially designed’’ for absorbing nearinfrared radiation having a wavelength 

exceeding 810 nm but less than 2,000 nm 

(frequencies exceeding 150 THz but less than 

370 THz); 

Note: 1C001.b does not apply to materials, 

‘‘specially designed’’ or formulated for any of 

the following applications: 

a. ‘‘Laser’’ marking of polymers; or 

b. ‘‘Laser’’ welding of polymers. 

c. Intrinsically conductive polymeric 

materials with a ‘bulk electrical conductivity’ 

exceeding 10,000 S/m (Siemens per meter) or 

a ‘sheet (surface) resistivity’ of less than 100 

ohms/square, based on any of the following 

polymers: 

c.1. Polyaniline; 

c.2. Polypyrrole; 

c.3. Polythiophene; 

c.4. Poly phenylene-vinylene; or 

c.5. Poly thienylene-vinylene. 

Note: 1C001.c does not apply to materials 

in a liquid form. 

Technical Note: For the purposes of 

1C001.c, ‘bulk electrical conductivity’ and 

‘sheet (surface) resistivity’ should be 

determined using ASTM D–257 or national 

equivalents. 

1C002 Metal alloys, metal alloy powder 

and alloyed materials, as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, NP, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NP applies to 

1C002.b.3 or b.4 if 

they exceed the 

parameters stated 

in 1C202.

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $3000; N/A for NP 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See ECCNs 1E001 

(‘‘development’’ and ‘‘production’’) and 

1E201 (‘‘use’’) for technology for items 

controlled by this entry. (2) Also see ECCN 

1C202. (3) Aluminum alloys and titanium 

alloys in physical forms and finished 

products ‘‘especially designed’’ or 

prepared for use in separating uranium 

isotopes are subject to the export licensing 

authority of the Nuclear Regulatory 

Commission (see 10 CFR part 110). 

Related Definition: N/A 

Items: 

Note: 1C002 does not control metal alloys, 

metal alloy powder and alloyed materials, 

specially formulated for coating purposes. 

Technical Note: For the purposes of 

1C002, metal alloys are those containing a 

higher percentage by weight of the stated 

metal than of any other element. 

a. Aluminides, as follows: 

a.1. Nickel aluminides containing a 

minimum of 15% by weight aluminum, a 

maximum of 38% by weight aluminum and 

at least one additional alloying element; 

a.2. Titanium aluminides containing 10% 

by weight or more aluminum and at least one 

additional alloying element; 

b. Metal alloys, as follows, made from the 

powder or particulate material controlled by 

1C002.c: 

b.1. Nickel alloys having any of the 

following: 

b.1.a. A ‘stress-rupture life’ of 10,000 hours 

or longer at 923 K (650 °C) at a stress of 676 

MPa; or 

b.1.b. A ‘low cycle fatigue life’ of 10,000 

cycles or more at 823 K (550 °C) at a 

maximum stress of 1,095 MPa; 

b.2. Niobium alloys having any of the 

following: 

b.2.a. A ‘stress-rupture life’ of 10,000 hours 

or longer at 1,073 K (800 °C) at a stress of 400 

MPa; or 

b.2.b. A ‘low cycle fatigue life’ of 10,000 

cycles or more at 973 K (700 °C) at a 

maximum stress of 700 MPa; 

b.3. Titanium alloys having any of the 

following: 

b.3.a. A ‘stress-rupture life’ of 10,000 hours 

or longer at 723 K (450 °C) at a stress of 200 

MPa; or 

b.3.b. A ‘low cycle fatigue life’ of 10,000 

cycles or more at 723 K (450 °C) at a 

maximum stress of 400 MPa; 

b.4 Aluminum alloys having any of the 

following: 

b.4.a. A tensile strength of 240 MPa or 

more at 473 K (200 °C); or 

b.4.b. A tensile strength of 415 MPa or 

more at 298 K (25 °C); 

b.5. Magnesium alloys having all the 

following: 

b.5.a. A tensile strength of 345 MPa or 

more; and 

b.5.b. A corrosion rate of less than 1 mm/ 

year in 3% sodium chloride aqueous solution 

measured in accordance with ASTM 

standard G–31 or national equivalents; 

Technical Notes: For the purposes of 

1C002.b: 

1. ‘Stress-rupture life’ should be measured 

in accordance with ASTM standard E–139 or 

national equivalents. 

2. ‘Low cycle fatigue life’ should be 

measured in accordance with ASTM 

Standard E–606 ‘Recommended Practice for 

Constant-Amplitude Low-Cycle Fatigue 

Testing’ or national equivalents. Testing 

should be axial with an average stress ratio 

equal to 1 and a stress-concentration factor 

(Kt) equal to 1. The average stress ratio is 

defined as maximum stress minus minimum 

stress divided by maximum stress. 

c. Metal alloy powder or particulate 

material, having all of the following: 

c.1. Made from any of the following 

composition systems: 

Technical Note: For the purposes of 

1C002.c.1, X equals one or more alloying 

elements. 

c.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al) 

qualified for turbine engine ‘‘parts’’ or 

‘‘components,’’ i.e., with less than 3 nonmetallic particles (introduced during the 

manufacturing process) larger than 100 mm in 

109 alloy particles; 

c.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al, 

Nb-Si-X or Nb-X-Si, Nb-Ti-X or Nb-X-Ti); 

c.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al); 

c.1.d. Aluminum alloys (Al-Mg-X or Al-XMg, Al-Zn-X or Al-X-Zn, Al-Fe-X or Al-X-Fe); 

or 

c.1.e. Magnesium alloys (Mg-Al-X or Mg-XAl); 

c.2. Made in a controlled environment by 

any of the following processes: 

c.2.a. ‘Vacuum atomization’; 

c.2.b. ‘Gas atomization’; 

c.2.c. ‘Rotary atomization’; 

c.2.d. ‘Splat quenching’; 

c.2.e. ‘Melt spinning’ and ‘comminution’; 

c.2.f. ‘Melt extraction’ and ‘comminution’; 

c.2.g. ‘Mechanical alloying’; or 

c.2.h. ‘Plasma atomization’; and 

c.3. Capable of forming materials 

controlled by 1C002.a or 1C002.b; 

d. Alloyed materials, having all the 

following: 

d.1. Made from any of the composition 

systems specified by 1C002.c.1; 

d.2. In the form of uncomminuted flakes, 

ribbons or thin rods; and 

d.3. Produced in a controlled environment 

by any of the following: 

d.3.a. ‘Splat quenching’; 

d.3.b. ‘Melt spinning’; or 

d.3.c. ‘Melt extraction’. 

Technical Notes: For the purposes of 

1C002: 

1. ‘Vacuum atomization’ is a process to 

reduce a molten stream of metal to droplets 

of a diameter of 500 mm or less by the rapid 

evolution of a dissolved gas upon exposure 

to a vacuum. 


ddrumheller on DSK120RN23PROD with RULES2
71940 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

2. ‘Gas atomization’ is a process to reduce 

a molten stream of metal alloy to droplets of 

500 mm diameter or less by a high pressure 

gas stream. 

3. ‘Rotary atomization’ is a process to 

reduce a stream or pool of molten metal to 

droplets of a diameter of 500 mm or less by 

centrifugal force. 

4. ‘Splat quenching’ is a process to ‘solidify 

rapidly’ a molten metal stream impinging 

upon a chilled block, forming a flake-like 

product. 

5. ‘Melt spinning’ is a process to ‘solidify 

rapidly’ a molten metal stream impinging 

upon a rotating chilled block, forming a 

flake, ribbon or rod-like product. 

6. ‘Comminution’ is a process to reduce a 

material to particles by crushing or grinding. 

7. ‘Melt extraction’ is a process to ‘solidify 

rapidly’ and extract a ribbon-like alloy 

product by the insertion of a short segment 

of a rotating chilled block into a bath of a 

molten metal alloy. 

8. ‘Mechanical alloying’ is an alloying 

process resulting from the bonding, 

fracturing and rebonding of elemental and 

master alloy powders by mechanical impact. 

Non-metallic particles may be incorporated 

in the alloy by addition of the appropriate 

powders. 

9. ‘Plasma atomization’ is a process to 

reduce a molten stream or solid metal to 

droplets of 500 mm diameter or less, using 

plasma torches in an inert gas environment. 

10. For the purposes of 1C002 Technical 

Notes, ‘solidify rapidly’ is a process involving 

the solidification of molten material at 

cooling rates exceeding 1000 K/sec. 

1C003 Magnetic metals, of all types and of 

whatever form, having any of the 

following (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $3000 

GBS: N/A 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. Initial relative permeability of 120,000 or 

more and a thickness of 0.05 mm or less; 

Technical Note: For the purposes of 

1C003.a, measurement of initial relative 

permeability must be performed on fully 

annealed materials. 

b. Magnetostrictive alloys having any of the 

following: 

b.1. A saturation magnetostriction of more 

than 5 × 104¥4; or 

b.2. A magnetomechanical coupling factor 

(k) of more than 0.8; or 

c. Amorphous or ‘nanocrystalline’ alloy 

strips, having all of the following: 

c.1. A composition having a minimum of 

75% by weight of iron, cobalt or nickel; 

c.2. A saturation magnetic induction (Bs) of 

1.6 T or more; and 

c.3. Any of the following: 

c.3.a. A strip thickness of 0.02 mm or less; 

or 

c.3.b. An electrical resistivity of 2 × 10¥4

ohm cm or more. 

Technical Note: For the purposes of 

1C003.c, ‘nanocrystalline’ materials are those 

materials having a crystal grain size of 50 nm 

or less, as determined by X-ray diffraction. 

* * * * * 

1C005 ‘‘Superconductive’’ ‘‘composite’’ 

conductors in lengths exceeding 100 m 

or with a mass exceeding 100 g, as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $1500 

GBS: N/A 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. ‘‘Superconductive’’ ‘‘composite’’ 

conductors containing one or more niobiumtitanium ‘filaments’, having all of the 

following: 

a.1. Embedded in a ‘‘matrix’’ other than a 

copper or copper-based mixed ‘‘matrix’’; and 

a.2. Having a cross-section area less than 

0.28 × 10¥4 mm2 (6 mm in diameter for 

circular ‘filaments’); 

b. ‘‘Superconductive’’ ‘‘composite’’ 

conductors consisting of one or more 

‘‘superconductive’’ ‘filaments’ other than 

niobium-titanium, having all of the 

following: 

b.1. A ‘‘critical temperature’’ at zero 

magnetic induction exceeding 9.85 K 

(¥263.31 °C); and 

b.2. Remaining in the ‘‘superconductive’’ 

state at a temperature of 4.2 K (¥268.96 °C) 

when exposed to a magnetic field oriented in 

any direction perpendicular to the 

longitudinal axis of conductor and 

corresponding to a magnetic induction of 12 

T with critical current density exceeding 

1750 A/mm2 on overall cross-section of the 

conductor. 

c. ‘‘Superconductive’’ ‘‘composite’’ 

conductors consisting of one or more 

‘‘superconductive’’ ‘filaments’ which remain 

‘‘superconductive’’ above 115 K (¥158.16 

°C). 

Technical Note: For the purposes of 

1C005, ‘filaments’ may be in wire, cylinder, 

film, tape or ribbon form. 

* * * * * 

1C008 Non-fluorinated polymeric 

substances as follows (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart (see 

supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $200 

GBS: N/A 

List of Items Controlled 

Related Controls: See also 1A003. 

Related Definitions: N/A 

Items: 

a. Imides as follows: 

a.1. Bismaleimides; 

a.2. Aromatic polyamide-imides (PAI) 

having a ‘glass transition temperature (Tg)’ 

exceeding 563 K (290 °C); 

a.3. Aromatic polyimides having a ‘glass 

transition temperature (Tg)’ exceeding 505 K 

(232 °C); 

a.4. Aromatic polyetherimides having a 

‘glass transition temperature (Tg)’ exceeding 

563 K (290 °C); 

Note: 1C008.a controls the substances in 

liquid or solid ‘‘fusible’’ form, including 

resin, powder, pellet, film, sheet, tape, or 

ribbon. 

N.B.: For non-‘‘fusible’’ aromatic 

polyimides in film, sheet, tape, or ribbon 

form, see ECCN 1A003. 

b. [Reserved] 

c. [Reserved] 

d. Polyarylene ketones; 

e. Polyarylene sulfides, where the arylene 

group is biphenylene, triphenylene or 

combinations thereof; 

f. Polybiphenylenethersulphone having a 

‘glass transition temperature (Tg)’ exceeding 

563 K (290 °C). 

Technical Notes: 

1. For the purposes of 1C008.a.2 

thermoplastic materials, 1C008.a.4 materials, 

and 1C008.f materials, the ‘glass transition 

temperature (Tg)’ is determined using the 

method described in ISO 11357–2 (1999) or 

national equivalents. 

2. For the purposes of 1C008.a.2 

thermosetting materials and 1C008.a.3 

materials, the ‘glass transition temperature 

(Tg)’ is determined using the 3-point bend 

method described in ASTM D 7028–07 or 

equivalent national standard. The test is to 

be performed using a dry test specimen 

which has attained a minimum of 90% 

degree of cure as specified by ASTM E 2160– 

04 or equivalent national standard, and was 

cured using the combination of standardand post-cure processes that yield the highest 

Tg. 

* * * * * 

1C010 ‘‘Fibrous or filamentary materials’’ 

as follows (see List of Items Controlled). 


ddrumheller on DSK120RN23PROD with RULES2
Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71941 

License Requirements 

Reason for Control: NS, NP, AT 

Control(s) 

Country chart (see 

supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

NP applies to 

1C010.a (aramid 

‘‘fibrous or filamentary materials’’, b 

(carbon ‘‘fibrous 

and filamentary 

materials’’), and e.1 

for ‘‘fibrous and 

filamentary materials’’ that meet or 

exceed the control 

criteria of ECCN 

1C210.

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $1500, N/A for NP 

GBS: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any item in 1C010.c to any of 

the destinations listed in Country Group 

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

the EAR). 

List of Items Controlled 

Related Controls: (1) See ECCNs 1E001 

(‘‘development’’ and ‘‘production’’) and 

1E201 (‘‘use’’) for technology for items 

controlled by this entry. (2) Also see 

ECCNs 1C210 and 1C990. (3) See also 

9C110 for material not controlled by 

1C010.e, as defined by notes 1 or 2. 

Related Definitions: (1) ‘‘Specific modulus’’: 

Young’s modulus in pascals, equivalent to 

N/m2 divided by specific weight in N/m3, 

measured at a temperature of (296+2) K 

((23+2) °C) and a relative humidity of 

(50+5) %. (2) ‘‘Specific tensile strength’’: 

ultimate tensile strength in pascals, 

equivalent to N/m2 divided by specific 

weight in N/m3, measured at a temperature 

of (296+2) K ((23+2) °C) and a relative 

humidity of (50+5) %. 

Items: 

Technical Notes: 

1. For the purposes of calculating ‘‘specific 

tensile strength’’, ‘‘specific modulus’’ or 

specific weight of ‘‘fibrous or filamentary 

materials’’ in 1C010.a, 1C010.b, 1C010.c, or 

1C010.e.1.b the tensile strength and modulus 

should be determined by using Method A 

described in ISO 10618 (2004) or national 

equivalents. 

2. For the purposes of assessing the 

‘‘specific tensile strength’’, ‘‘specific 

modulus’’ or specific weight of nonunidirectional ‘‘fibrous or filamentary 

materials’’ (e.g., fabrics, random mats or 

braids) in 1C010, this is to be based on the 

mechanical properties of the constituent 

unidirectional monofilaments (e.g., 

monofilaments, yarns, rovings or tows) prior 

to processing into the non-unidirectional 

‘‘fibrous or filamentary materials’’. 

a. Organic ‘‘fibrous or filamentary 

materials’’, having all of the following: 

a.1. ‘‘Specific modulus’’ exceeding 12.7 × 

106 m; and 

a.2. ‘‘Specific tensile strength’’ exceeding 

23.5 × 104 m; 

Note: 1C010.a does not control 

polyethylene. 

b. Carbon ‘‘fibrous or filamentary 

materials’’, having all of the following: 

b.1. ‘‘Specific modulus’’ exceeding 14.65 × 

106 m; and 

b.2. ‘‘Specific tensile strength’’ exceeding 

26.82 × 104 m; 

Note: 1C010.b does not control: 

a. ‘‘Fibrous or filamentary materials’’, for 

the repair of ‘‘civil aircraft’’ structures or 

laminates, having all of the following: 

1. An area not exceeding 1 m2; 

2. A length not exceeding 2.5 m; and 

3. A width exceeding 15 mm. 

b. Mechanically chopped, milled or cut 

carbon ‘‘fibrous or filamentary materials’’ 

25.0 mm or less in length. 

c. Inorganic ‘‘fibrous or filamentary 

materials’’, having all of the following: 

c.1. Having any of the following: 

c.1.a. Composed of 50% or more by weight 

silicon dioxide (SiO2) and having a ‘‘specific 

modulus’’ exceeding 2.54 × 106 m; or 

c.1.b. Not specified in 1C010.c.1.a and 

having a ‘‘specific modulus’’ exceeding 5.6 × 

106 m; and 

c.2. Melting, softening, decomposition or 

sublimation point exceeding 1,922 K (1,649 

°C) in an inert environment; 

Note: 1C010.c does not control: 

a. Discontinuous, multiphase, 

polycrystalline alumina fibers in chopped 

fiber or random mat form, containing 3% by 

weight or more silica, with a ‘‘specific 

modulus’’ of less than 10 × 106 m; 

b. Molybdenum and molybdenum alloy 

fibers; 

c. Boron fibers; 

d. Discontinuous ceramic fibers with a 

melting, softening, decomposition or 

sublimation point lower than 2,043 K (1,770 

°C) in an inert environment. 

d. ‘‘Fibrous or filamentary materials’’, 

having any of the following: 

d.1. Composed of any of the following: 

d.1.a. Polyetherimides controlled by 

1C008.a; or 

d.1.b. Materials controlled by 1C008.b to 

1C008.f; or 

d.2. Composed of materials controlled by 

1C010.d.1.a or 1C010.d.1.b and ‘commingled’ 

with other fibers controlled by 1C010.a, 

1C010.b or 1C010.c; 

Technical Note: For the purposes of 

1C010.d.2, ‘commingled’ is filament to 

filament blending of thermoplastic fibers and 

reinforcement fibers in order to produce a 

fiber reinforcement ‘‘matrix’’ mix in total 

fiber form. 

e. Fully or partially resin impregnated or 

pitch impregnated ‘‘fibrous or filamentary 

materials’’ (prepregs), metal or carbon coated 

‘‘fibrous or filamentary materials’’ (preforms) 

or ‘carbon fiber preforms’, having all of the 

following: 

e.1. Having any of the following: 

e.1.a. Inorganic ‘‘fibrous or filamentary 

materials’’ controlled by 1C010.c; or 

e.1.b. Organic or carbon ‘‘fibrous or 

filamentary materials’’, having all of the 

following: 

e.1.b.1. ‘‘Specific modulus’’ exceeding 

10.15 × 106 m; and 

e.1.b.2 ‘‘Specific tensile strength’’ 

exceeding 17.7 × 104m; and 

e.2. Having any of the following: 

e.2.a. Resin or pitch, controlled by 1C008 

or 1C009.b; 

e.2.b. ‘Dynamic Mechanical Analysis glass 

transition temperature (DMA Tg)’ equal to or 

exceeding 453 K (180°C) and having a 

phenolic resin; or 

e.2.c. ‘Dynamic Mechanical Analysis glass 

transition temperature (DMA Tg)’ equal to or 

exceeding 505 K (232°C) and having a resin 

or pitch, not specified by 1C008 or 1C009.b, 

and not being a phenolic resin; 

Note 1: Metal or carbon coated ‘‘fibrous or 

filamentary materials’’ (preforms) or ‘carbon 

fiber preforms’, not impregnated with resin or 

pitch, are specified by ‘‘fibrous or filamentary 

materials’’ in 1C010.a, 1C010.b or 1C010.c. 

Note 2: 1C010.e does not apply to: 

a. Epoxy resin ‘‘matrix’’ impregnated 

carbon ‘‘fibrous or filamentary materials’’ 

(prepregs) for the repair of ‘‘civil aircraft’’ 

structures or laminates, having all of the 

following: 

1. An area not exceeding 1 m2

2. A length not exceeding 2.5 m; and 

3. A width exceeding 15 mm; 

b. Fully or partially resin-impregnated or 

pitch-impregnated mechanically chopped, 

milled or cut carbon ‘‘fibrous or filamentary 

materials’’ 25.0 mm or less in length when 

using a resin or pitch other than those 

specified by 1C008 or 1C009.b. 

Technical Notes: 

1. For the purposes of 1C010.e and Note 1, 

‘carbon fiber preforms’ are an ordered 

arrangement of uncoated or coated fibers 

intended to constitute a framework of a part 

before the ‘‘matrix’’ is introduced to form a 

‘‘composite’’. 

2. For the purposes of 1C010.e.2, ‘Dynamic 

Mechanical Analysis glass transition 

temperature (DMA Tg)’ is determined using 

the method described in ASTM D 7028 –07, 

or equivalent national standard, on a dry test 

specimen. In the case of thermoset materials, 

degree of cure of a dry test specimen shall 

be a minimum of 90% as defined by ASTM 

E 2160 04 or equivalent national standard. 

1C011 Metals and compounds, as follows 

(see List of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart (see 

supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to 

1C011.a and .b for 

items that meet or 

exceed the parameters in 1C111..

MT Column 1 


ddrumheller on DSK120RN23PROD with RULES2
71942 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

Control(s) 

Country chart (see 

supp. No. 1 to part 

738) 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See also ECCNs 1C111 

and 1C608. (2) All of the following are 

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

120 through 130): (a) Materials controlled 

by 1C011.a, and metal fuels in particle 

form, whether spherical, atomized, 

spheroidal, flaked or ground, manufactured 

from material consisting of 99 percent or 

more of items controlled by 1C011.b; and 

(b) Metal powders mixed with other 

substances to form a mixture formulated 

for military purposes. 

Related Definitions: N/A 

Items: 

a. Metals in particle sizes of less than 60 

mm whether spherical, atomized, spheroidal, 

flaked or ground, manufactured from 

material consisting of 99% or more of 

zirconium, magnesium and alloys thereof; 

Technical Note: For the purposes of 

1C011.a, the natural content of hafnium in 

the zirconium (typically 2% to 7%) is 

counted with the zirconium. 

Note: The metals or alloys specified by 

1C011.a also refer to metals or alloys 

encapsulated in aluminum, magnesium, 

zirconium or beryllium. 

b. Boron or boron alloys, with a particle 

size of 60 mm or less, as follows: 

b.1. Boron with a purity of 85% by weight 

or more; 

b.2. Boron alloys with a boron content of 

85% by weight or more; 

Note: The metals or alloys specified by 

1C011.b also refer to metals or alloys 

encapsulated in aluminum, magnesium, 

zirconium or beryllium. 

c. Guanidine nitrate (CAS 506–93–4); 

d. Nitroguanidine (NQ) (CAS 556–88–7). 

* * * * * 

2A001 Anti-friction bearings, bearing 

systems and ‘‘components,’’ as follows, 

(see List of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart (see 

supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

Control(s) 

Country chart (see 

supp. No. 1 to part 

738) 

MT applies to radial 

ball bearings having all tolerances 

specified in accordance with ISO 492 

Tolerance Class 2 

(or ANSI/ABMA Std 

20 Tolerance Class 

ABEC–9, or other 

national equivalents) or better and 

having all the following characteristics: an inner ring 

bore diameter between 12 and 50 

mm; an outer ring 

outside diameter 

between 25 and 

100 mm; and a 

width between 10 

and 20 mm..

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $3000, N/A for MT 

GBS: Yes, for 2A001.a, 

N/A for MT 

List of Items Controlled 

Related Controls: (1) See also 2A991. (2) 

Quiet running bearings are ‘‘subject to the 

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

Related Definitions: Annular Bearing 

Engineers Committee (ABEC). 

Items: 

Note: 2A001.a includes ball bearing and 

roller elements ‘‘specially designed’’ for the 

items specified therein. 

a. Ball bearings and solid roller bearings, 

having all tolerances specified by the 

manufacturer in accordance with ISO 492 

Tolerance Class 2 or Class 4 (or national 

equivalents), or better, and having both 

‘rings’ and ‘rolling elements’, made from 

monel or beryllium; 

Note: 2A001.a does not control tapered 

roller bearings. 

Technical Notes: For the purposes of 

2A001.a: 

1. ‘Ring’—is an annular part of a radial 

rolling bearing incorporating one or more 

raceways (ISO 5593:1997). 

2. ‘Rolling element’—is a ball or roller 

which rolls between raceways (ISO 

5593:1997). 

b. [Reserved] 

c. Active magnetic bearing systems using 

any of the following, and ‘‘specially 

designed’’ components therefor: 

c.1. Materials with flux densities of 2.0 T 

or greater and yield strengths greater than 

414 MPa; 

c.2. All-electromagnetic 3D homopolar bias 

designs for actuators; or 

c.3. High temperature (450 K (177 °C) and 

above) position sensors. 

* * * * * 

B. ‘‘Test,’’ ‘‘Inspection’’ and ‘‘Production 

Equipment’’ 

Technical Notes for 2B001 to 2B009, 

2B201, and 2B991 to 2B999: 

1. For the purposes of 2B, secondary 

parallel contouring axes, (e.g., the w-axis on 

horizontal boring mills or a secondary rotary 

axis the center line of which is parallel to the 

primary rotary axis) are not counted in the 

total number of contouring axes. Rotary axes 

need not rotate over 360 °. A rotary axis can 

be driven by a linear device (e.g., a screw or 

a rack-and-pinion). 

2. For the purposes of 2B, the number of 

axes which can be coordinated 

simultaneously for ‘‘contouring control’’ is 

the number of axes along or around which, 

during processing of the workpiece, 

simultaneous and interrelated motions are 

performed between the workpiece and a tool. 

This does not include any additional axes 

along or around which other relative motions 

within the machine are performed, such as: 

2.a. Wheel-dressing systems in grinding 

machines; 

2.b. Parallel rotary axes designed for 

mounting of separate workpieces; 

2.c. Co-linear rotary axes designed for 

manipulating the same workpiece by holding 

it in a chuck from different ends. 

3. For the purposes of 2B, axis 

nomenclature shall be in accordance with 

International Standard ISO 841:2001, 

Industrial automation systems and 

integration—Numerical control of 

machines—Coordinate system and motion 

nomenclature. 

4. For the purposes of this Category, a 

‘‘tilting spindle’’ is counted as a rotary axis. 

5. For the purposes of 2B, ‘stated 

‘‘unidirectional positioning repeatability’’’ 

may be used for each specific machine model 

as an alternative to individual machine tests, 

and is determined as follows: 

5.a. Select five machines of a model to be 

evaluated; 

5.b. Measure the linear axis repeatability 

(R↑,R↓) according to ISO 230–2:2014 and 

evaluate ‘‘unidirectional positioning 

repeatability’’ for each axis of each of the five 

machines; 

5.c. Determine the arithmetic mean value 

of the ‘‘unidirectional positioning 

repeatability’’-values for each axis of all five 

machines together. These arithmetic mean 

values ‘‘unidirectional positioning 

repeatability’’ (UPR) become the stated value 

of each axis for the model. . .)(UPRx, UPRy, 

. . .); 

5.d. Since the Category 2 list refers to each 

linear axis there will be as many ‘stated 

‘‘unidirectional positioning repeatability’’’ 

values as there are linear axes; 

5.e. If any axis of a machine model not 

controlled by 2B001.a. to 2B001.c. has a 

‘stated ‘‘unidirectional positioning 

repeatability’’’ equal to or less than the 

specified ‘‘unidirectional positioning 

repeatability’’ of each machine tool model 

plus 0.7 mm, the builder should be required 

to reaffirm the accuracy level once every 

eighteen months. 

6. For the purposes of 2B, measurement 

uncertainty for the ‘‘unidirectional 

positioning repeatability’’ of machine tools, 

as defined in the International Standard ISO 

230–2:2014, shall not be considered. 


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Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71943 

7. For the purposes of 2B, the measurement 

of axes shall be made according to test 

procedures in 5.3.2. of ISO 230–2:2014. Tests 

for axes longer than 2 meters shall be made 

over 2 m segments. Axes longer than 4 m 

require multiple tests (e.g., two tests for axes 

longer than 4 m and up to 8 m, three tests 

for axes longer than 8 m and up to 12 m), 

each over 2 m segments and distributed in 

equal intervals over the axis length. Test 

segments are equally spaced along the full 

axis length, with any excess length equally 

divided at the beginning, in between, and at 

the end of the test segments. The smallest 

‘‘unidirectional positioning repeatability’’- 

value of all test segments is to be reported. 

* * * * * 

2B004 Hot ‘‘isostatic presses’’ having all of 

the characteristics described in the List 

of Items Controlled, and ‘‘specially 

designed’’ ‘‘components’’ and 

‘‘accessories’’ therefor. 

License Requirements 

Reason for Control: NS, MT NP, AT 

Control(s) 

Country chart (see 

supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to entire 

entry.

MT Column 1 

NP applies to entire 

entry, except 

2B004.b.3 and 

presses with maximum working pressures below 69 

MPa.

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See ECCN 2D001 for 

software for items controlled under this 

entry. (2) See ECCNs 2E001 

(‘‘development’’), 2E002 (‘‘production’’), 

and 2E101 (‘‘use’’) for technology for items 

controlled under this entry. (3) For 

‘‘specially designed’’ dies, molds and 

tooling, see ECCNs 0B501, 0B602, 0B606, 

1B003, 9B004, and 9B009. (4) For 

additional controls on dies, molds and 

tooling, see ECCNs 1B101.d, 2B104 and 

2B204. (5) Also see ECCNs 2B117 and 

2B999.a. 

Related Definitions: N/A 

Items: 

a. A controlled thermal environment 

within the closed cavity and possessing a 

chamber cavity with an inside diameter of 

406 mm or more; and 

b. Having any of the following: 

b.1. A maximum working pressure 

exceeding 207 MPa; 

b.2. A controlled thermal environment 

exceeding 1,773 K (1,500 °C); or 

b.3. A facility for hydrocarbon 

impregnation and removal of resultant 

gaseous degradation products. 

Technical Note: For the purposes of 

2B004, the inside chamber dimension is that 

of the chamber in which both the working 

temperature and the working pressure are 

achieved and does not include fixtures. That 

dimension will be the smaller of either the 

inside diameter of the pressure chamber or 

the inside diameter of the insulated furnace 

chamber, depending on which of the two 

chambers is located inside the other. 

* * * * * 

2B006 Dimensional inspection or 

measuring systems, equipment, position 

feedback units and ‘‘electronic 

assemblies’’, as follows (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, NP, AT 

Control(s) 

Country chart (see 

supp. no. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

NP applies to those 

items in 2B006.a, 

b.1, b.3, and .c 

(angular displacement measuring instruments) that 

meet or exceed the 

technical parameters in 2B206..

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See ECCNs 2D001 and 

2D002 for ‘‘software’’ for items controlled 

under this entry. (2) See ECCNs 2E001 

(‘‘development’’), 2E002 (‘‘production’’), 

and 2E201 (‘‘use’’) for technology for items 

controlled under this entry. (3) Also see 

ECCNs 2B206 and 2B996. 

Related Definitions: N/A 

Items: 

a. Computer controlled or ‘‘numerically 

controlled’’ Coordinate Measuring Machines 

(CMM), having a three dimensional length 

(volumetric) maximum permissible error of 

length measurement (E0,MPE) 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) mm (L is the 

measured length in mm) according to ISO 

10360–2 (2009); 

Technical Note: For the purposes of 

2B006.a, E0,MPE of the most accurate 

configuration of the CMM specified by the 

manufacturer (e.g.,best of the following: 

Probe, stylus length, motion parameters, 

environment) and with ‘‘all compensations 

available’’ shall be compared to the 1.7 + L/ 

1,000 mm threshold. 

b. Linear displacement measuring 

instruments or systems, linear position 

feedback units, and ‘‘electronic assemblies’’, 

as follows: 

Note: Interferometer and optical-encoder 

measuring systems containing a ‘‘laser’’ are 

only specified by 2B006.b.3. 

b.1. ‘Non-contact type measuring systems’ 

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

than 0.2 mm within 0 to 0.2 mm of the 

’measuring range’; 

Technical Notes: For the purposes of 

2B006.b.1: 

1. ‘Non-contact type measuring systems’ 

are designed to measure the distance 

between the probe and measured object along 

a single vector, where the probe or measured 

object is in motion. 

2. ‘Measuring range’ means the distance 

between the minimum and maximum 

working distance. 

b.2. Linear position feedback units 

‘‘specially designed’’ for machine tools and 

having an overall ‘‘accuracy’’ less (better) 

than (800 + (600 × L/1,000)) nm (L equals 

effective length in mm); 

b.3. Measuring systems having all of the 

following: 

b.3.a. Containing a ‘‘laser’’; 

b.3.b. A ‘resolution’ over their full scale of 

0.200 nm or less (better); and 

b.3.c. Capable of achieving a 

‘‘measurement uncertainty’’ equal to or less 

(better) than (1.6 + L/2,000) nm (L is the 

measured length in mm) at any point within 

a measuring range, when compensated for 

the refractive index of air and measured over 

a period of 30 seconds at a temperature of 

20±0.01°C; 

Technical Note: For the purposes of 

2B006.b, ‘resolution’ is the least increment of 

a measuring device; on digital instruments, 

the least significant bit. 

b.4. ‘‘Electronic assemblies’’ ‘‘specially 

designed’’ to provide feedback capability in 

systems controlled by 2B006.b.3; 

c. Rotary position feedback units ‘‘specially 

designed’’ for machine tools or angular 

displacement measuring instruments, having 

an angular position ‘‘accuracy’’ equal to or 

less (better) than 0.9 second of arc; 

Note: 2B006.c does not control optical 

instruments, such as autocollimators, using 

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

angular displacement of a mirror. 

d. Equipment for measuring surface 

roughness (including surface defects), by 

measuring optical scatter with a sensitivity of 

0.5 nm or less (better). 

Note: 2B006 includes machine tools, other 

than those specified by 2B001, that can be 

used as measuring machines, if they meet or 

exceed the criteria specified for the 

measuring machine function. 

* * * * * 

2B008 ‘Compound rotary tables’ and 

‘‘tilting spindles’’, ‘‘specially designed’’ 

for machine tools, as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart (see 

supp. no. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 


ddrumheller on DSK120RN23PROD with RULES2
71944 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

1The numbers in parenthesis refer to the Notes 

following this Table. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: See also 2B998. 

Related Definition: N/A 

Items: 

a. [Reserved] 

b. [Reserved] 

c. ‘Compound rotary tables’ having all of 

the following: 

c.1. Designed for machine tools for turning, 

milling or grinding; and 

c.2. Two rotary axes designed to be 

coordinated simultaneously for ‘‘contouring 

control’’. 

Technical Note: For the purposes of 

2B008.c, a ‘compound rotary table’ is a table 

allowing the workpiece to rotate and tilt 

about two non-parallel axes. 

d. ‘‘Tilting spindles’’ having all of the 

following: 

d.1. Designed for machine tools for turning, 

milling or grinding; and 

d.2. Designed to be coordinated 

simultaneously for ‘‘contouring control’’. 

* * * * * 

2B009 Spin-forming machines and flowforming machines, which, according to 

the manufacturer’s technical 

specifications, can be equipped with 

‘‘numerical control’’ units or a computer 

control and having all of the following 

characteristics (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, MT, NP, AT 

Control(s) 

Country chart (see 

supp. no. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to: spinforming.

machines combining 

the functions of 

spin-forming and 

flow-forming; and 

flow-forming machines that meet or 

exceed the parameters of 2B009.a 

and 2B109.

MT Column 1 

Control(s) 

Country chart (see 

supp. no. 1 to part 

738) 

NP applies to flowforming machines, 

and spin-forming 

machines capable 

of flow-forming 

functions, that meet 

or exceed the parameters of 2B209.

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See ECCN 2D001 for 

‘‘software’’ for items controlled under this 

entry. (2) See ECCNs 2E001 

(‘‘development’’), 2E002 (‘‘production’’), 

and 2E101 (‘‘use’’) for technology for items 

controlled under this entry. (3) Also see 

ECCNs 2B109 and 2B209 for additional 

flow-forming machines for MT and NP 

reasons. 

Related Definitions: N/A 

Items: 

a. Three or more axes which can be 

coordinated simultaneously for ‘‘contouring 

control’’; and 

b. A roller force more than 60 kN. 

Technical Note: For the purposes of 

2B009, machines combining the function of 

spin-forming and flow-forming are regarded 

as flow-forming machines. 

* * * * * 

2E003 Other ‘‘technology’’, as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart (see 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except 2E003.b, .e and .f 

List of Items Controlled 

Related Controls: See 2E001, 2E002, and 

2E101 for ‘‘development’’ and ‘‘use’’ 

technology for equipment that are designed 

or modified for densification of carboncarbon composites, structural composite 

rocket nozzles and reentry vehicle nose 

tips. 

Related Definitions: N/A 

Items: 

a. [Reserved] 

b. ‘‘Technology’’ for metal-working 

manufacturing processes, as follows: 

b.1. ‘‘Technology’’ for the design of tools, 

dies or fixtures ‘‘specially designed’’ for any 

of the following processes: 

b.1.a. ‘‘Superplastic forming’’; 

b.1.b. ‘‘Diffusion bonding’’; or 

b.1.c. ‘Direct-acting hydraulic pressing’; 

b.2. [Reserved] 

N.B.: For ‘‘technology’’ for metal-working 

manufacturing processes for gas turbine 

engines and components, see 9E003 and 

USML Category XIX 

Technical Note: For the purposes of 

2E003.b.1.c, ‘direct-acting hydraulic pressing’ 

is a deformation process which uses a fluidfilled flexible bladder in direct contact with 

the workpiece. 

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

‘‘production’’ of hydraulic stretch-forming 

machines and dies therefor, for the 

manufacture of airframe structures; 

d. [Reserved] 

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

integration ‘‘software’’ for incorporation of 

expert systems for advanced decision support 

of shop floor operations into ‘‘numerical 

control’’ units; 

f. ‘‘Technology’’ for the application of 

inorganic overlay coatings or inorganic 

surface modification coatings (specified in 

column 3 of the following table) to nonelectronic substrates (specified in column 2 

of the following table), by processes specified 

in column 1 of the following table and 

defined in the Technical Note. 

N.B. This table should be read to control 

the technology of a particular ‘Coating 

Process’ only when the resultant coating in 

column 3 is in a paragraph directly across 

from the relevant ‘Substrate’ under column 2. 

For example, Chemical Vapor Deposition 

(CVD) ‘coating process’ control the 

‘‘technology’’ for a particular application of 

‘silicides’ to ‘Carbon-carbon, Ceramic and 

Metal ‘‘matrix’’ ‘‘composites’’ substrates, but 

are not controlled for the application of 

‘silicides’ to ‘Cemented tungsten carbide (16), 

Silicon carbide (18)’ substrates. In the second 

case, the resultant coating is not listed in the 

paragraph under column 3 directly across 

from the paragraph under column 2 listing 

‘Cemented tungsten carbide (16), Silicon 

carbide (18)’. 

Category 2E—Materials Processing Table; 

Deposition Techniques 

1. Coating process (1) 1 2. Substrate 3. Resultant coating 

A. Chemical Vapor Deposition (CVD) ............... ‘‘Superalloys’’ .................................................... Aluminides for internal passages 

Ceramics (19) and Low-expansion glasses(14) Silicides 

Carbides 

Dielectric layers (15) 

Diamond 

Diamond-like carbon (17) 


ddrumheller on DSK120RN23PROD with RULES2
Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71945 

1. Coating process (1) 1 2. Substrate 3. Resultant coating 

Carbon-carbon, Ceramic, and Metal ‘‘matrix’’ 

‘‘composites‘‘.

Silicides 

Carbides 

Refractory metals 

Mixtures thereof (4) 

Dielectric layers (15) 

Aluminides 

Alloyed aluminides (2) 

Boron nitride 

Cemented tungsten ..........................................

carbide (16), 

Silicon carbide (18) 

Carbides 

Tungsten 

Mixtures thereof (4) 

Dielectric layers (15) 

Molybdenum and Molybdenum alloys .............. Dielectric layers (15) 

Beryllium and Beryllium alloys ......................... Dielectric layers (15) 

Diamond 

Diamond-like carbon (17) 

Sensor window materials (9) ............................ Dielectric layers (15) 

Diamond 

Diamond-like carbon (17) 

B. Thermal-Evaporation Physical Vapor: 

1. Physical Vapor Deposition (PVD): Deposition (TE–PVD) Electron-Beam (EB– 

PVD).

‘‘Superalloys’’ .................................................... Alloyed silicides 

Alloyed aluminides (2) 

MCrAlX (5) 

Modified zirconia (12) 

Silicides 

Aluminides 

Mixtures thereof (4) 

Ceramics (19) and Low-expansion glasses 

(14).

Dielectric layers (15) 

Corrosion resistant steel (7) ............................. MCrAlX (5) 

Modified zirconia (12) 

Mixtures thereof (4) 

Carbon-carbon, Ceramic and Metal ‘‘matrix’’ 

‘‘composites’’.

Silicides 

Carbides 

Refractory metals 

Mixtures thereof (4) 

Dielectric layers (15) 

Boron nitride 

Cemented tungsten carbide (16), Silicon carbide (18).Carbides 

Tungsten 

Mixtures thereof (4) 

Dielectric layers (15) 

Molybdenum and Molybdenum alloys .............. Dielectric layers (15) 

Beryllium and Beryllium alloys ......................... Dielectric layers (15) 

Borides 

Beryllium 

Sensor window materials (9) ............................ Dielectric layers (15) 

Titanium alloys (13) .......................................... Borides 

Nitrides 

2. Ion assisted resistive heating Physical 

Vapor Deposition (PVD)(Ion Plating).

Ceramics (19) and Low-expansion glasses 

(14).

Dielectric layers (15) 

Diamond-like carbon (17) 

Carbon-carbon, Ceramic and Metal ‘‘matrix’’ 

‘‘composites’’.

Dielectric layers (15) 

Cemented tungsten carbide (16) .....................

Silicon carbide 

Dielectric layers (15) 

Molybdenum and Molybdenum alloys .............. Dielectric layers (15) 

Beryllium and Beryllium alloys ......................... Dielectric layers (15) 

Sensor window materials (9) ............................ Dielectric Layers (15) 

Diamond-like carbon (17) 

3. Physical Vapor Deposition (PVD): 

‘‘Laser’’ Vaporization.

Ceramics (19) and Low-expansion glasses 

(14).

Silicides 

Dielectric layers (15) 

Diamond-like carbon (17) 

Carbon-carbon, Ceramic and Metal ‘‘matrix’’ 

‘‘composites’’.

Dielectric layers (15) 

Cemented tungsten carbide (16), Silicon carbide.Dielectric Layers (15) 

Molybdenum and Molybdenum alloys .............. Dielectric layers (15) 

Beryllium and Beryllium alloys ......................... Dielectric layers (15) 

Sensor window materials (9) ............................ Dielectric layers (15) 

Diamond-like carbon 

4. Physical Vapor Deposition (PVD): Cathodic Arc Discharge.‘‘Superalloys’’ .................................................... Alloyed silicides 

Alloyed Aluminides (2) 

MCrA1X (5) 


ddrumheller on DSK120RN23PROD with RULES2
71946 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

1. Coating process (1) 1 2. Substrate 3. Resultant coating 

Polymers (11) and Organic ‘‘matrix’’ ‘‘composites’’.Borides 

Carbides 

Nitrides 

Diamond-like carbon (17) 

C. Pack cementation (see A above for out-ofpack cementation) (10).Carbon-carbon, Ceramic and Metal ‘‘matrix’’ 

‘‘composites’’.

Silicides 

Carbides 

Mixtures thereof (4) 

Titanium alloys (13) .......................................... Silicides 

Aluminides 

Alloyed aluminides (2) 

Refractory metals and alloys (8) ...................... Silicides 

Oxides 

D. Plasma spraying ........................................... ‘‘Superalloys’’ .................................................... MCrAlX (5) 

Modified zirconia (12) 

Mixtures thereof (4) 

Abradable Nickel-Graphite 

Abradable materials containing 

Ni-Cr-Al Abradable 

Al-Si-Polyester Alloyed aluminides (2) 

Aluminum alloys (6) .......................................... MCrAlX (5) 

Modified zirconia (12) 

Silicides 

Mixtures thereof (4) 

Refractory metals and alloys (8), Carbides, 

Corrosion resistant steel (7).

Aluminides 

Silicides 

MCrAlX (5) 

Modified zirconia (12) 

Mixtures thereof (4) 

D. Plasma spraying (continued) ........................ Titanium alloys (13) .......................................... Carbides 

Aluminides 

Silicides 

Alloyed aluminides (2) 

Abradable Nickel Graphite ............................... Abradable materials containing 

Ni-Cr-Al 

Abradable Al-Si-Polyester 

E. Slurry Deposition ........................................... Refractory metals and alloys (8) ...................... Fused silicides 

Fused aluminides except for resistance heating elements 

Carbon-carbon, Ceramic and Metal ‘‘matrix’’ 

‘‘composites’’.

Silicides 

Carbides 

Mixtures thereof (4) 

F. Sputter Deposition ......................................... ‘‘Superalloys’’ .................................................... Alloyed silicides 

Alloyed aluminides (2) 

Noble metal modified aluminides (3) 

MCrAlX (5) 

Modified zirconia (12) 

Platinum 

Mixtures thereof (4) 

Ceramics and Low-expansion glasses (14) ..... Silicides 

Platinum 

Mixtures thereof (4) 

Dielectric layers (15) 

Diamond-like carbon (17) 

Titanium alloys (13) .......................................... Borides 

Nitrides 

Oxides 

Silicides 

Aluminides 

Alloyed aluminides (2) 

Carbides 

F. Sputter Deposition (continued) ..................... Carbon-carbon, Ceramic and Metal ‘‘matrix’’ 

‘‘Composites’’.

Silicides 

Carbides 

Refractory metals 

Mixtures thereof (4) 

Dielectric layers (15) 

Boron nitride 

Cemented tungsten carbide (16), Silicon carbide (18).Carbides 

Tungsten 

Mixtures thereof (4) 

Dielectric layers (15) 

Boron nitride 

Molybdenum and Molybdenum alloys .............. Dielectric layers (15) 


ddrumheller on DSK120RN23PROD with RULES2
Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71947 

1. Coating process (1) 1 2. Substrate 3. Resultant coating 

Beryllium and Beryllium alloys ......................... Borides 

Dielectric layers (15) 

Beryllium 

Sensor window materials (9) ............................ Dielectric layers (15) 

Diamond-like carbon (17) 

Refractory metals and alloys (8) ...................... Aluminides 

Silicides 

Oxides 

Carbides 

G. Ion Implantation ............................................ High temperature bearing steels ...................... Additions of Chromium,Tantalum, or Niobium 

(Columbium) 

Titanium alloys (13) .......................................... Borides 

Nitrides 

Beryllium and Beryllium alloys ......................... Borides 

Cemented tungsten carbide (16) ..................... Carbides 

Nitrides 

Notes to Table on Deposition 

Techniques: 

1. The term ‘‘coating process’’ includes 

coating repair and refurbishing as well as 

original coating. 

2. The term ‘‘alloyed aluminide coating’’ 

includes single or multiple-step coatings in 

which an element or elements are deposited 

prior to or during application of the 

aluminide coating, even if these elements are 

deposited by another coating process. It does 

not, however, include the multiple use of 

single-step pack cementation processes to 

achieve alloyed aluminides. 

3. The term ‘‘noble metal modified 

aluminide’’ coating includes multiple-step 

coatings in which the noble metal or noble 

metals are laid down by some other coating 

process prior to application of the aluminide 

coating. 

4. The term ‘‘mixtures thereof’’ includes 

infiltrated material, graded compositions, codeposits and multilayer deposits and are 

obtained by one or more of the coating 

processes specified in the Table. 

5. MCrAlX refers to a coating alloy where 

M equals cobalt, iron, nickel or combinations 

thereof and X equals hafnium, yttrium, 

silicon, tantalum in any amount or other 

intentional additions over 0.01% by weight in 

various proportions and combinations, 

except: 

a. CoCrAlY coatings which contain less 

than 22% by weight of chromium, less than 

7% by weight of aluminum and less than 2% 

by weight of yttrium; 

b. CoCrAlY coatings which contain 22 to 

24% by weight of chromium, 10 to 12% by 

weight of aluminum and 0.5 to 0.7% by 

weight of yttrium; or 

c. NiCrAlY coatings which contain 21 to 

23% by weight of chromium, 10 to 12% by 

weight of aluminum and 0.9 to 1.1% by 

weight of yttrium. 

6. The term ‘‘aluminum alloys’’ refers to 

alloys having an ultimate tensile strength of 

190 MPa or more measured at 293 K (20 °C). 

7. The term ‘‘corrosion resistant steel’’ 

refers to AISI (American Iron and Steel 

Institute) 300 series or equivalent national 

standard steels. 

8. ‘‘Refractory metals and alloys’’ include 

the following metals and their alloys: 

niobium (columbium), molybdenum, 

tungsten and tantalum. 

9. ‘‘Sensor window materials’’, as follows: 

alumina, silicon, germanium, zinc sulphide, 

zinc selenide, gallium arsenide, diamond, 

gallium phosphide, sapphire and the 

following metal halides: sensor window 

materials of more than 40 mm diameter for 

zirconium fluoride and hafnium fluoride. 

10. Category 2 does not include 

‘‘technology’’ for single-step pack 

cementation of solid airfoils. 

11. ‘‘Polymers’’, as follows: polyimide, 

polyester, polysulfide, polycarbonates and 

polyurethanes. 

12. ‘‘Modified zirconia’’ refers to additions 

of other metal oxides, (e.g., calcia, magnesia, 

yttria, hafnia, rare earth oxides) to zirconia 

in order to stabilize certain crystallographic 

phases and phase compositions. Thermal 

barrier coatings made of zirconia, modified 

with calcia or magnesia by mixing or fusion, 

are not controlled. 

13. ‘‘Titanium alloys’’ refers only to 

aerospace alloys having an ultimate tensile 

strength of 900 MPa or more measured at 293 

K (20 °C). 

14. ‘‘Low-expansion glasses’’ refers to 

glasses which have a coefficient of thermal 

expansion of 1 x 10¥7 K¥1 or less measured 

at 293 K (20 °C). 

15. ‘‘Dielectric layers’’ are coatings 

constructed of multi-layers of insulator 

materials in which the interference properties 

of a design composed of materials of various 

refractive indices are used to reflect, transmit 

or absorb various wavelength bands. 

Dielectric layers refers to more than four 

dielectric layers or dielectric/metal 

‘‘composite’’ layers. 

16. ‘‘Cemented tungsten carbide’’ does not 

include cutting and forming tool materials 

consisting of tungsten carbide/(cobalt, 

nickel), titanium carbide/(cobalt, nickel), 

chromium carbide/nickel-chromium and 

chromium carbide/nickel. 

17. ‘‘Technology’’ for depositing diamondlike carbon on any of the following is not 

controlled: magnetic disk drives and heads, 

equipment for the manufacture of 

disposables, valves for faucets, acoustic 

diaphragms for speakers, engine parts for 

automobiles, cutting tools, punching-pressing 

dies, office automation equipment, 

microphones, medical devices or molds, for 

casting or molding of plastics, manufactured 

from alloys containing less than 5% 

beryllium. 

18. ‘‘Silicon carbide’’ does not include 

cutting and forming tool materials. 

19. Ceramic substrates, as used in this 

entry, does not include ceramic materials 

containing 5% by weight, or greater, clay or 

cement content, either as separate 

constituents or in combination. 

Technical Note to Table on Deposition 

Techniques: Processes specified in Column 

1 of the Table are defined as follows: 

a. Chemical Vapor Deposition (CVD) is an 

overlay coating or surface modification 

coating process wherein a metal, alloy, 

‘‘composite’’, dielectric or ceramic is 

deposited upon a heated substrate. Gaseous 

reactants are decomposed or combined in the 

vicinity of a substrate resulting in the 

deposition of the desired elemental, alloy or 

compound material on the substrate. Energy 

for this decomposition or chemical reaction 

process may be provided by the heat of the 

substrate, a glow discharge plasma, or 

‘‘laser’’ irradiation. 

Note 1: CVD includes the following 

processes: directed gas flow out-of-pack 

deposition, pulsating CVD, controlled 

nucleation thermal decomposition (CNTD), 

plasma enhanced or plasma assisted CVD 

processes. 

Note 2: Pack denotes a substrate immersed 

in a powder mixture. 

Note 3: The gaseous reactants used in the 

out-of-pack process are produced using the 

same basic reactions and parameters as the 

pack cementation process, except that the 

substrate to be coated is not in contact with 

the powder mixture. 

b. Thermal Evaporation-Physical Vapor 

Deposition (TE–PVD) is an overlay coating 

process conducted in a vacuum with a 

pressure less than 0.1 Pa wherein a source of 

thermal energy is used to vaporize the 

coating material. This process results in the 

condensation, or deposition, of the 

evaporated species onto appropriately 

positioned substrates. The addition of gases 

to the vacuum chamber during the coating 

process to synthesize compound coatings is 

an ordinary modification of the process. The 

use of ion or electron beams, or plasma, to 

activate or assist the coating’s deposition is 

also a common modification in this 

technique. The use of monitors to provide inprocess measurement of optical 

characteristics and thickness of coatings can 


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71948 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

be a feature of these processes. Specific TE– 

PVD processes are as follows: 

1. Electron Beam PVD uses an electron 

beam to heat and evaporate the material 

which forms the coating; 

2. Ion Assisted Resistive Heating PVD 

employs electrically resistive heating sources 

in combination with impinging ion beam(s) 

to produce a controlled and uniform flux of 

evaporated coating species; 

3. ‘‘Laser’’ Vaporization uses either pulsed 

or continuous wave ‘‘laser’’ beams to 

vaporize the material which forms the 

coating; 

4. Cathodic Arc Deposition employs a 

consumable cathode of the material which 

forms the coating and has an arc discharge 

established on the surface by a momentary 

contact of a ground trigger. Controlled 

motion of arcing erodes the cathode surface 

creating a highly ionized plasma. The anode 

can be either a cone attached to the 

periphery of the cathode, through an 

insulator, or the chamber. Substrate biasing 

is used for non line-of-sight deposition; 

Note: This definition does not include 

random cathodic arc deposition with nonbiased substrates. 

5. Ion Plating is a special modification of 

a general TE–PVD process in which a plasma 

or an ion source is used to ionize the species 

to be deposited, and a negative bias is 

applied to the substrate in order to facilitate 

the extraction of the species from the plasma. 

The introduction of reactive species, 

evaporation of solids within the process 

chamber, and the use of monitors to provide 

in-process measurement of optical 

characteristics and thicknesses of coatings 

are ordinary modifications of the process. 

c. Pack Cementation is a surface 

modification coating or overlay coating 

process wherein a substrate is immersed in 

a powder mixture (a pack), that consists of: 

1. The metallic powders that are to be 

deposited (usually aluminum, chromium, 

silicon or combinations thereof); 

2. An activator (normally a halide salt); 

and 

3. An inert powder, most frequently 

alumina. 

Note: The substrate and powder mixture is 

contained within a retort which is heated to 

between 1,030 K (757 °C) to 1,375 K (1,102 °C) 

for sufficient time to deposit the coating. 

d. Plasma Spraying is an overlay coating 

process wherein a gun (spray torch) which 

produces and controls a plasma accepts 

powder or wire coating materials, melts them 

and propels them towards a substrate, 

whereon an integrally bonded coating is 

formed. Plasma spraying constitutes either 

low pressure plasma spraying or high 

velocity plasma spraying. 

Note 1: Low pressure means less than 

ambient atmospheric pressure. 

Note 2: High velocity refers to nozzle-exit 

gas velocity exceeding 750 m/s calculated at 

293 K (20 °C) at 0.1 MPa. 

e. Slurry Deposition is a surface 

modification coating or overlay coating 

process wherein a metallic or ceramic 

powder with an organic binder is suspended 

in a liquid and is applied to a substrate by 

either spraying, dipping or painting, 

subsequent air or oven drying, and heat 

treatment to obtain the desired coating. 

f. Sputter Deposition is an overlay coating 

process based on a momentum transfer 

phenomenon, wherein positive ions are 

accelerated by an electric field towards the 

surface of a target (coating material). The 

kinetic energy of the impacting ions is 

sufficient to cause target surface atoms to be 

released and deposited on an appropriately 

positioned substrate. 

Note 1: The Table refers only to triode, 

magnetron or reactive sputter deposition 

which is used to increase adhesion of the 

coating and rate of deposition and to radio 

frequency (RF) augmented sputter deposition 

used to permit vaporization of non-metallic 

coating materials. 

Note 2: Low-energy ion beams (less than 5 

keV) can be used to activate the deposition. 

g. Ion Implantation is a surface 

modification coating process in which the 

element to be alloyed is ionized, accelerated 

through a potential gradient and implanted 

into the surface region of the substrate. This 

includes processes in which ion implantation 

is performed simultaneously with electron 

beam physical vapor deposition or sputter 

deposition. 

Accompanying Technical Information 

to Table on Deposition Techniques: 

1. Technical information for pretreatments 

of the substrates listed in the Table, as 

follows: 

a. Chemical stripping and cleaning bath 

cycle parameters, as follows: 

1. Bath composition; 

a. For the removal of old or defective 

coatings corrosion product or foreign 

deposits; 

b. For preparation of virgin substrates; 

2. Time in bath; 

3. Temperature of bath; 

4. Number and sequences of wash cycles; 

b. Visual and macroscopic criteria for 

acceptance of the cleaned part; 

c. Heat treatment cycle parameters, as 

follows: 

1. Atmosphere parameters, as follows: 

a. Composition of the atmosphere; 

b. Pressure of the atmosphere; 

2. Temperature for heat treatment; 

3. Time of heat treatment; 

d. Substrate surface preparation 

parameters, as follows: 

1. Grit blasting parameters, as follows: 

a. Grit composition; 

b. Grit size and shape; 

c. Grit velocity; 

2. Time and sequence of cleaning cycle 

after grit blast; 

3. Surface finish parameters; 

4. Application of binders to promote 

adhesion; 

e. Masking technique parameters, as 

follows: 

1. Material of mask; 

2. Location of mask; 

2. Technical information for in situ quality 

assurance techniques for evaluation of the 

coating processes listed in the Table, as 

follows: 

a. Atmosphere parameters, as follows: 

1. Composition of the atmosphere; 

2. Pressure of the atmosphere; 

b. Time parameters; 

c. Temperature parameters; 

d. Thickness parameters; 

e. Index of refraction parameters; 

f. Control of composition; 

3. Technical information for post 

deposition treatments of the coated 

substrates listed in the Table, as follows: 

a. Shot peening parameters, as follows: 

1. Shot composition; 

2. Shot size; 

3. Shot velocity; 

b. Post shot peening cleaning parameters; 

c. Heat treatment cycle parameters, as 

follows: 

1. Atmosphere parameters, as follows: 

a. Composition of the atmosphere; 

b. Pressure of the atmosphere; 

2. Time-temperature cycles; 

d. Post heat treatment visual and 

macroscopic criteria for acceptance of the 

coated substrates; 

4. Technical information for quality 

assurance techniques for the evaluation of 

the coated substrates listed in the Table, as 

follows: 

a. Statistical sampling criteria; 

b. Microscopic criteria for: 

1. Magnification; 

2. Coating thickness, uniformity; 

3. Coating integrity; 

4. Coating composition; 

5. Coating and substrates bonding; 

6. Microstructural uniformity. 

c. Criteria for optical properties assessment 

(measured as a function of wavelength): 

1. Reflectance; 

2. Transmission; 

3. Absorption; 

4. Scatter; 

5. Technical information and parameters 

related to specific coating and surface 

modification processes listed in the Table, as 

follows: 

a. For Chemical Vapor Deposition (CVD): 

1. Coating source composition and 

formulation; 

2. Carrier gas composition; 

3. Substrate temperature; 

4. Time-temperature-pressure cycles; 

5. Gas control and part manipulation; 

b. For Thermal Evaporation-Physical 

Vapor Deposition (PVD): 

1. Ingot or coating material source 

composition; 

2. Substrate temperature; 

3. Reactive gas composition; 

4. Ingot feed rate or material vaporization 

rate; 

5. Time-temperature-pressure cycles; 

6. Beam and part manipulation; 

7. ‘‘Laser’’ parameters, as follows: 

a. Wave length; 

b. Power density; 

c. Pulse length; 

d. Repetition ratio; 

e. Source; 

c. For Pack Cementation: 

1. Pack composition and formulation; 

2. Carrier gas composition; 

3. Time-temperature-pressure cycles; 

d. For Plasma Spraying: 

1. Powder composition, preparation and 

size distributions; 

2. Feed gas composition and parameters; 

3. Substrate temperature; 

4. Gun power parameters; 

5. Spray distance; 

6. Spray angle; 


ddrumheller on DSK120RN23PROD with RULES2
Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71949 

7. Cover gas composition, pressure and 

flow rates; 

8. Gun control and part manipulation; 

e. For Sputter Deposition: 

1. Target composition and fabrication; 

2. Geometrical positioning of part and 

target; 

3. Reactive gas composition; 

4. Electrical bias; 

5. Time-temperature-pressure cycles; 

6. Triode power; 

7. Part manipulation; 

f. For Ion Implantation: 

1. Beam control and part manipulation; 

2. Ion source design details; 

3. Control techniques for ion beam and 

deposition rate parameters; 

4. Time-temperature-pressure cycles. 

g. For Ion Plating: 

1. Beam control and part manipulation; 

2. Ion source design details; 

3. Control techniques for ion beam and 

deposition rate parameters; 

4. Time-temperature-pressure cycles; 

5. Coating material feed rate and 

vaporization rate; 

6. Substrate temperature; 

7. Substrate bias parameters. 

* * * * * 

3A001 Electronic items as follows (see List 

of Items Controlled). 

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

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to ‘‘Monolithic Microwave 

Integrated Circuit’’ 

(‘‘MMIC’’) amplifiers 

in 3A001.b.2 and 

discrete microwave 

transistors in 

3A001.b.3, except 

those 3A001.b.2 

and b.3 items 

being exported or 

reexported for use 

in civil telecommunications 

applications.

NS Column 1 

NS applies to entire 

entry.

NS Column 2 

RS applies ‘‘Monolithic Microwave Integrated Circuit’’ 

(‘‘MMIC’’) amplifiers 

in 3A001.b.2 and 

discrete microwave 

transistors in 

3A001.b.3, except 

those 3A001.b.2 

and b.3 items 

being exported or 

reexported for use 

in civil telecommunications 

applications.

RS Column 1 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

MT applies to 

3A001.a.1.a when 

usable in ‘‘missiles’’; and to 

3A001.a.5.a when 

‘‘designed or modified’’ for military 

use, hermetically 

sealed and rated 

for operation in the 

temperature range 

from below ¥54 °C 

to above +125 °C.

MT Column 1 

NP applies to pulse 

discharge capacitors in 3A001.e.2 

and superconducting solenoidal 

electromagnets in 

3A001.e.3 that 

meet or exceed the 

technical parameters in 3A201.a 

and 3A201.b, respectively.

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements: See § 743.1 of the 

EAR for reporting requirements for exports 

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

Exceptions, and Validated End-User 

authorizations. 

License Requirements Note: See 

§ 744.17 of the EAR for additional license 

requirements for microprocessors having a 

processing speed of 5 GFLOPS or more and 

an arithmetic logic unit with an access width 

of 32 bit or more, including those 

incorporating ‘‘information security’’ 

functionality, and associated ‘‘software’’ and 

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

‘‘development’’ of such microprocessors. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

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

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

amplifiers in 3A001.b.2 and discrete 

microwave transistors in 3A001.b.3, except 

those that are being exported or reexported 

for use in civil telecommunications 

applications. 

Yes for: 

$1500: 3A001.c 

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

reexported for use in civil 

telecommunications applications), b.3 

(exported or reexported for use in civil 

telecommunications applications), b.9, .d, 

.e, .f, and .g. 

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

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

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

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

(exported or reexported for use in civil 

telecommunications applications), b.8 

(except for ‘‘vacuum electronic devices’’ 

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

and .i. 

Special Conditions for STA 

STA: License Exception STA may not be 

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

except those that are being exported or 

reexported for use in civil 

telecommunications applications, to any of 

the destinations listed in Country Group 

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

740 of the EAR). 

List of Items Controlled 

Related Controls: (1) See Category XV of the 

USML for certain ‘‘space-qualified’’ 

electronics and Category XI of the USML 

for certain ASICs, ‘transmit/receive 

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

the ITAR’’ (see 22 CFR parts 120 through 

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

3A991, and 9A515. 

Related Definitions: ‘Microcircuit’ means a 

device in which a number of passive or 

active elements are considered as 

indivisibly associated on or within a 

continuous structure to perform the 

function of a circuit. For the purposes of 

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

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

s = 5 × 108 Rads (Si)/s. 

Items: 

a. General purpose integrated circuits, as 

follows: 

Note 1: Integrated circuits include the 

following types: 

—‘‘Monolithic integrated circuits’’; 

—‘‘Hybrid integrated circuits’’; 

—‘‘Multichip integrated circuits’’; 

—Film type integrated circuits, including 

silicon-on-sapphire integrated circuits’’; 

—‘‘Optical integrated circuits’’; 

—‘‘Three dimensional integrated circuits’’; 

—‘‘Monolithic Microwave Integrated 

Circuits’’ (‘‘MMICs’’). 

a.1. Integrated circuits designed or rated as 

radiation hardened to withstand any of the 

following: 

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

higher; 

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

s, or higher; or 

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

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

cm2 or higher on silicon, or its equivalent for 

other materials; 

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

Insulator Semiconductors (MIS). 

a.2. ‘‘Microprocessor microcircuits,’’ 

‘‘microcomputer microcircuits,’’ 

microcontroller microcircuits, storage 

integrated circuits manufactured from a 

compound semiconductor, analog-to-digital 

converters, integrated circuits that contain 

analog-to-digital converters and store or 

process the digitized data, digital-to-analog 

converters, electro-optical or ‘‘optical 

integrated circuits’’ designed for ‘‘signal 

processing’’, field programmable logic 

devices, custom integrated circuits for which 

either the function is unknown or the control 

status of the equipment in which the 

integrated circuit will be used in unknown, 

Fast Fourier Transform (FFT) processors, 

Static Random-Access Memories (SRAMs), or 

‘non-volatile memories,’ having any of the 

following: 

Technical Note: For the purposes of 

3A001.a.2, ‘non-volatile memories’ are 


ddrumheller on DSK120RN23PROD with RULES2
71950 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

memories with data retention over a period 

of time after a power shutdown. 

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

temperature above 398 K (+125 °C); 

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

temperature below 218 K (¥55 °C); or 

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

ambient temperature range from 218 K 

(¥55 °C) to 398 K (+125 °C); 

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

integrated circuits designed for civil 

automobile or railway train applications. 

a.3. ‘‘Microprocessor microcircuits’’, 

‘‘microcomputer microcircuits’’ and 

microcontroller microcircuits, manufactured 

from a compound semiconductor and 

operating at a clock frequency exceeding 40 

MHz; 

Note: 3A001.a.3 includes digital signal 

processors, digital array processors and 

digital coprocessors. 

a.4. [Reserved] 

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

Digital-to-Analog Converter (DAC) integrated 

circuits, as follows: 

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

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

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

than 1.3 Giga Samples Per Second (GSPS); 

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

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

than 600 Mega Samples Per Second (MSPS); 

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

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

than 400 MSPS; 

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

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

than 250 MSPS; or 

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

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

N.B.: For integrated circuits that contain 

analog-to-digital converters and store or 

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

Technical Notes: For the purposes of 

3A001.a.5.a: 

1. A resolution of n bit corresponds to a 

quantization of 2n levels. 

2. The resolution of the ADC is the number 

of bits of the digital output that represents 

the measured analog input. Effective Number 

of Bits (ENOB) is not used to determine the 

resolution of the ADC. 

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

‘‘sample rate’’ is not aggregated and the 

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

single channel. 

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

channel ADCs’’ that are specified to have an 

interleaved mode of operation, the ‘‘sample 

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

is the maximum combined total rate of all of 

the interleaved channels. 

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

having any of the following: 

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

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

of exceeding 3,500 MSPS; or 

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

having any of the following: 

a.5.b.2.a. An ‘adjusted update rate’ 

exceeding 1,250 MSPS but not exceeding 

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

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

arrive at or within 0.024% of full scale from 

a full scale step; or 

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

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

when synthesizing a full scale analog signal 

of 100 MHz or the highest full scale analog 

signal frequency specified below 100 MHz; or 

a.5.b.2.b. An ‘adjusted update rate’ 

exceeding 3,500 MSPS; 

Technical Notes: For the purposes of 

3A001.a.5.b: 

1. ‘Spurious Free Dynamic Range’ (SFDR) 

is defined as the ratio of the RMS value of 

the carrier frequency (maximum signal 

component) at the input of the DAC to the 

RMS value of the next largest noise or 

harmonic distortion component at its output. 

2. SFDR is determined directly from the 

specification table or from the 

characterization plots of SFDR versus 

frequency. 

3. A signal is defined to be full scale when 

its amplitude is greater than ¥3 dBfs (full 

scale). 

4. ‘Adjusted update rate’ for DACs is: 

a. For conventional (non-interpolating) 

DACs, the ‘adjusted update rate’ is the rate 

at which the digital signal is converted to an 

analog signal and the output analog values 

are changed by the DAC. For DACs where the 

interpolation mode may be bypassed 

(interpolation factor of one), the DAC should 

be considered as a conventional (noninterpolating) DAC. 

b. For interpolating DACs (oversampling 

DACs), the ‘adjusted update rate’ is defined 

as the DAC update rate divided by the 

smallest interpolating factor. For 

interpolating DACs, the ‘adjusted update 

rate’ may be referred to by different terms 

including: 

• input data rate 

• input word rate 

• input sample rate 

• maximum total input bus rate 

• maximum DAC clock rate for DAC clock 

input. 

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

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

and having all of the following: 

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

‘‘laser’’ diode; 

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

detecting element; and 

a.6.c. Optical waveguides; 

a.7. ‘Field programmable logic devices’ 

having any of the following: 

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

digital input/outputs of greater than 700; or 

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

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

Note: 3A001.a.7 includes: 

—Complex Programmable Logic Devices 

(CPLDs); 

—Field Programmable Gate Arrays (FPGAs); 

—Field Programmable Logic Arrays (FPLAs); 

—Field Programmable Interconnects (FPICs). 

N.B.: For integrated circuits having field 

programmable logic devices that are 

combined with an analog-to-digital converter, 

see 3A001.a.14. 

Technical Notes: For the purposes of 

3A001.a.7: 

1. Maximum number of digital input/ 

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

maximum user input/outputs or maximum 

available input/outputs, whether the 

integrated circuit is packaged or bare die. 

2. ‘Aggregate one-way peak serial 

transceiver data rate’ is the product of the 

peak serial one-way transceiver data rate 

times the number of transceivers on the 

FPGA. 

a.8. [Reserved] 

a.9. Neural network integrated circuits; 

a.10. Custom integrated circuits for which 

the function is unknown, or the control 

status of the equipment in which the 

integrated circuits will be used is unknown 

to the manufacturer, having any of the 

following: 

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

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

delay time’’ of less than 0.02 ns; or 

a.10.c. An operating frequency exceeding 3 

GHz; 

a.11. Digital integrated circuits, other than 

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

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

semiconductor and having any of the 

following: 

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

than 3,000 (2 input gates); or 

a.11.b. A toggle frequency exceeding 1.2 

GHz; 

a.12. Fast Fourier Transform (FFT) 

processors having a rated execution time for 

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

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

points; 

Technical Note: For the purposes of 

3A001.a.12, when N is equal to 1,024 points, 

the formula in 3A001.a.12 gives an execution 

time of 500 ms. 

a.13. Direct Digital Synthesizer (DDS) 

integrated circuits having any of the 

following: 

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

(DAC) clock frequency of 3.5 GHz or more 

and a DAC resolution of 10 bit or more, but 

less than 12 bit; or 

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

or more and a DAC resolution of 12 bit or 

more; 

Technical Note: For the purposes of 

3A001.a.13, the DAC clock frequency may be 

specified as the master clock frequency or the 

input clock frequency. 

a.14. Integrated circuits that perform or are 

programmable to perform all of the following: 

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

meeting any of the following: 

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

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

than 1.3 Giga Samples Per Second (GSPS); 

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

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

than 1.0 GSPS; 

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

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

than 1.0 GSPS; 

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

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

than 400 Mega Samples Per Second (MSPS); 

or 

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

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

and 

a.14.b. Any of the following: 

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

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

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

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

N.B. 2: For field programmable logic 

devices see 3A001.a.7. 

Technical Notes: For the purposes of 

3A001.a.14: 


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1. A resolution of n bit corresponds to a 

quantization of 2n levels. 

2. The resolution of the ADC is the number 

of bits of the digital output of the ADC that 

represents the measured analog input. 

Effective Number of Bits (ENOB) is not used 

to determine the resolution of the ADC. 

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

‘‘sample rate’’ is not aggregated and the 

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

single channel. 

4. For integrated circuits with ‘‘interleaved 

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

are specified to have an interleaved mode of 

operation, the ‘‘sample rates’’ are aggregated 

and the ‘‘sample rate’’ is the maximum 

combined total rate of all of the interleaved 

channels. 

b. Microwave or millimeter wave items, as 

follows: 

Technical Note: For the purposes of 

3A001.b, the parameter peak saturated 

power output may also be referred to on 

product data sheets as output power, 

saturated power output, maximum power 

output, peak power output, or peak envelope 

power output. 

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

cathodes, as follows: 

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

‘‘vacuum electronic devices’’ designed or 

rated for operation in any frequency band 

and having all of the following: 

a. Does not exceed 31.8 GHz; and 

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

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

‘‘space-qualified’’ ‘‘vacuum electronic 

devices’’ having all the following: 

a. An average output power equal to or less 

than 50 W; and 

b. Designed or rated for operation in any 

frequency band and having all of the 

following: 

1. Exceeds 31.8 GHz but does not exceed 

43.5 GHz; and 

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

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

devices,’’ pulsed or continuous wave, as 

follows: 

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

exceeding 31.8 GHz; 

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

with a turn on time to rated RF power of less 

than 3 seconds; 

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

derivatives thereof, with a ‘‘fractional 

bandwidth’’ of more than 7% or a peak 

power exceeding 2.5 kW; 

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

waveguide, or serpentine waveguide circuits, 

or derivatives thereof, having any of the 

following: 

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

more than one octave, and average power 

(expressed in kW) times frequency 

(expressed in GHz) of more than 0.5; 

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

one octave or less, and average power 

(expressed in kW) times frequency 

(expressed in GHz) of more than 1; 

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

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

b.1.a.5. Devices with a ‘‘fractional 

bandwidth’’ greater than or equal to 10%, 

with any of the following: 

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

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

beam; or 

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

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

electronic devices’’ with a gain of more than 

17 dB; 

b.1.c. Thermionic cathodes, designed for 

‘‘vacuum electronic devices,’’ producing an 

emission current density at rated operating 

conditions exceeding 5 A/cm2 or a pulsed 

(non-continuous) current density at rated 

operating conditions exceeding 10 A/cm2; 

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

the capability to operate in a ‘dual mode.’ 

Technical Note: For the purposes of 

3A001.b.1.d, ‘dual mode’ means the 

‘‘vacuum electronic device’’ beam current 

can be intentionally changed between 

continuous-wave and pulsed mode operation 

by use of a grid and produces a peak pulse 

output power greater than the continuouswave output power. 

b.2. ‘‘Monolithic Microwave Integrated 

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

the following: 

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

integrated phase shifter see 3A001.b.12. 

b.2.a. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 6.8 

GHz with a ‘‘fractional bandwidth’’ greater 

than 15%, and having any of the following: 

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

greater than 75 W (48.75 dBm) at any 

frequency exceeding 2.7 GHz up to and 

including 2.9 GHz; 

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

greater than 55 W (47.4 dBm) at any 

frequency exceeding 2.9 GHz up to and 

including 3.2 GHz; 

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

greater than 40 W (46 dBm) at any frequency 

exceeding 3.2 GHz up to and including 3.7 

GHz; or 

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

greater than 20 W (43 dBm) at any frequency 

exceeding 3.7 GHz up to and including 6.8 

GHz; 

b.2.b. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 16 

GHz with a ‘‘fractional bandwidth’’ greater 

than 10%, and having any of the following: 

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

greater than 10 W (40 dBm) at any frequency 

exceeding 6.8 GHz up to and including 8.5 

GHz; or 

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

greater than 5 W (37 dBm) at any frequency 

exceeding 8.5 GHz up to and including 16 

GHz; 

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

saturated power output greater than 3 W 

(34.77 dBm) at any frequency exceeding 16 

GHz up to and including 31.8 GHz, and with 

a ‘‘fractional bandwidth’’ of greater than 

10%; 

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

saturated power output greater than 0.1 nW 

(¥70 dBm) at any frequency exceeding 31.8 

GHz up to and including 37 GHz; 

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

saturated power output greater than 1 W (30 

dBm) at any frequency exceeding 37 GHz up 

to and including 43.5 GHz, and with a 

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

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

saturated power output greater than 31.62 

mW (15 dBm) at any frequency exceeding 

43.5 GHz up to and including 75 GHz, and 

with a ‘‘fractional bandwidth’’ of greater than 

10%; 

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

saturated power output greater than 10 mW 

(10 dBm) at any frequency exceeding 75 GHz 

up to and including 90 GHz, and with a 

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

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

saturated power output greater than 0.1 nW 

(¥70 dBm) at any frequency exceeding 90 

GHz; 

Note 1: [Reserved] 

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

whose rated operating frequency includes 

frequencies listed in more than one frequency 

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

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

peak saturated power output control 

threshold. 

Note 3: Notes 1 and 2 following the 

Category 3 heading for product group A. 

Systems, Equipment, and Components mean 

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

they are ‘‘specially designed’’ for other 

applications, e.g., telecommunications, 

radar, automobiles. 

b.3. Discrete microwave transistors that are 

any of the following: 

b.3.a. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 6.8 

GHz and having any of the following: 

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

greater than 400 W (56 dBm) at any 

frequency exceeding 2.7 GHz up to and 

including 2.9 GHz; 

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

greater than 205 W (53.12 dBm) at any 

frequency exceeding 2.9 GHz up to and 

including 3.2 GHz; 

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

greater than 115 W (50.61 dBm) at any 

frequency exceeding 3.2 GHz up to and 

including 3.7 GHz; or 

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

greater than 60 W (47.78 dBm) at any 

frequency exceeding 3.7 GHz up to and 

including 6.8 GHz; 

b.3.b. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 31.8 

GHz and having any of the following: 

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

greater than 50 W (47 dBm) at any frequency 

exceeding 6.8 GHz up to and including 8.5 

GHz; 

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

greater than 15 W (41.76 dBm) at any 

frequency exceeding 8.5 GHz up to and 

including 12 GHz; 

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

greater than 40 W (46 dBm) at any frequency 

exceeding 12 GHz up to and including 16 

GHz; or 

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

greater than 7 W (38.45 dBm) at any 

frequency exceeding 16 GHz up to and 

including 31.8 GHz; 

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

saturated power output greater than 0.5 W 

(27 dBm) at any frequency exceeding 31.8 

GHz up to and including 37 GHz; 


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

saturated power output greater than 1 W (30 

dBm) at any frequency exceeding 37 GHz up 

to and including 43.5 GHz; 

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

saturated power output greater than 0.1 nW 

(¥70 dBm) at any frequency exceeding 43.5 

GHz; or 

b.3.f. Other than those specified by 

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

operation with a peak saturated power output 

greater than 5 W (37.0 dBm) at all frequencies 

exceeding 8.5 GHz up to and including 31.8 

GHz; 

Note 1: The control status of a transistor 

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

rated operating frequency includes 

frequencies listed in more than one frequency 

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

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

peak saturated power output control 

threshold. 

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

mounted on carriers, or dice mounted in 

packages. Some discrete transistors may also 

be referred to as power amplifiers, but the 

status of these discrete transistors is 

determined by 3A001.b.3. 

b.4. Microwave solid state amplifiers and 

microwave assemblies/modules containing 

microwave solid state amplifiers, that are any 

of the following: 

b.4.a. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 6.8 

GHz with a ‘‘fractional bandwidth’’ greater 

than 15%, and having any of the following: 

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

greater than 500 W (57 dBm) at any 

frequency exceeding 2.7 GHz up to and 

including 2.9 GHz; 

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

greater than 270 W (54.3 dBm) at any 

frequency exceeding 2.9 GHz up to and 

including 3.2 GHz; 

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

greater than 200 W (53 dBm) at any 

frequency exceeding 3.2 GHz up to and 

including 3.7 GHz; or 

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

greater than 90 W (49.54 dBm) at any 

frequency exceeding 3.7 GHz up to and 

including 6.8 GHz; 

b.4.b. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 31.8 

GHz with a ‘‘fractional bandwidth’’ greater 

than 10%, and having any of the following: 

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

greater than 70 W (48.45 dBm) at any 

frequency exceeding 6.8 GHz up to and 

including 8.5 GHz; 

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

greater than 50 W (47 dBm) at any frequency 

exceeding 8.5 GHz up to and including 12 

GHz; 

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

greater than 30 W (44.77 dBm) at any 

frequency exceeding 12 GHz up to and 

including 16 GHz; or 

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

greater than 20 W (43 dBm) at any frequency 

exceeding 16 GHz up to and including 31.8 

GHz; 

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

saturated power output greater than 0.5 W 

(27 dBm) at any frequency exceeding 31.8 

GHz up to and including 37 GHz; 

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

saturated power output greater than 2 W (33 

dBm) at any frequency exceeding 37 GHz up 

to and including 43.5 GHz, and with a 

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

b.4.e. Rated for operation at frequencies 

exceeding 43.5 GHz and having any of the 

following: 

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

greater than 0.2 W (23 dBm) at any frequency 

exceeding 43.5 GHz up to and including 75 

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

greater than 10%; 

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

greater than 20 mW (13 dBm) at any 

frequency exceeding 75 GHz up to and 

including 90 GHz, and with a ‘‘fractional 

bandwidth’’ of greater than 5%; or 

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

greater than 0.1 nW (¥70 dBm) at any 

frequency exceeding 90 GHz; or 

b.4.f. [Reserved] 

N.B.: 

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

2. For ‘transmit/receive modules’ and 

‘transmit modules’ see 3A001.b.12. 

3. For converters and harmonic mixers, 

designed to extend the operating or 

frequency range of signal analyzers, signal 

generators, network analyzers or microwave 

test receivers, see 3A001.b.7. 

Note 1: [Reserved] 

Note 2: The control status of an item 

whose rated operating frequency includes 

frequencies listed in more than one frequency 

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

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

peak saturated power output control 

threshold. 

b.5. Electronically or magnetically tunable 

band-pass or band-stop filters, having more 

than 5 tunable resonators capable of tuning 

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

less than 10 ms and having any of the 

following: 

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

0.5% of center frequency; or 

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

0.5% of center frequency; 

b.6. [Reserved] 

b.7. Converters and harmonic mixers, that 

are any of the following: 

b.7.a. Designed to extend the frequency 

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

b.7.b. Designed to extend the operating 

range of signal generators as follows: 

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

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

100 mW (20 dBm) anywhere within the 

frequency range exceeding 43.5 GHz but not 

exceeding 90 GHz; 

b.7.c. Designed to extend the operating 

range of network analyzers as follows: 

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

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

31.62 mW (15 dBm) anywhere within the 

frequency range exceeding 43.5 GHz but not 

exceeding 90 GHz; 

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

mW (0 dBm) anywhere within the frequency 

range exceeding 90 GHz but not exceeding 

110 GHz; or 

b.7.d. Designed to extend the frequency 

range of microwave test receivers beyond 110 

GHz; 

b.8. Microwave power amplifiers 

containing ‘‘vacuum electronic devices’’ 

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

following: 

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

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

ratio exceeding 80 W/kg; and 

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

Note: 3A001.b.8 does not control 

equipment designed or rated for operation in 

any frequency band which is ‘‘allocated by 

the ITU’’ for radio-communications services, 

but not for radio-determination. 

b.9. Microwave Power Modules (MPM) 

consisting of, at least, a traveling-wave 

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

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

an integrated electronic power conditioner 

and having all of the following: 

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

operational in less than 10 seconds; 

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

rated power in Watts multiplied by 10 cm3/ 

W; and 

b.9.c. An ‘‘instantaneous bandwidth’’ 

greater than 1 octave (fmax > 2fmin) and having 

any of the following: 

b.9.c.1. For frequencies equal to or less 

than 18 GHz, an RF output power greater 

than 100 W; or 

b.9.c.2. A frequency greater than 18 GHz; 

Technical Notes: For the purposes of 

3A001.b.9: 

1. To calculate the volume in 3A001.b.9.b, 

the following example is provided: for a 

maximum rated power of 20 W, the volume 

would be: 20 W X 10 cm3/W = 200 cm3. 

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

to the time from fully-off to fully operational, 

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

MPM. 

b.10. Oscillators or oscillator assemblies, 

specified to operate with a single sideband 

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

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

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

Technical Note: For the purposes of 

3A001.b.10, F is the offset from the operating 

frequency in Hz and f is the operating 

frequency in MHz. 

b.11. ‘Frequency synthesizer’ ‘‘electronic 

assemblies’’ having a ‘‘frequency switching 

time’’ as specified by any of the following: 

b.11.a. Less than 143 ps; 

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

change exceeding 2.2 GHz within the 

synthesized frequency range exceeding 4.8 

GHz but not exceeding 31.8 GHz; 

b.11.c. [Reserved] 

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

change exceeding 550 MHz within the 

synthesized frequency range exceeding 31.8 

GHz but not exceeding 37 GHz; 

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

change exceeding 2.2 GHz within the 

synthesized frequency range exceeding 37 

GHz but not exceeding 75 GHz; 

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

change exceeding 5.0 GHz within the 

synthesized frequency range exceeding 75 

GHz but not exceeding 90 GHz; or 

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

synthesized frequency range exceeding 90 

GHz; 

Technical Note: For the purposes of 

3A001.b.11, a ‘frequency synthesizer’ is any 

kind of frequency source, regardless of the 

actual technique used, providing a 


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multiplicity of simultaneous or alternative 

output frequencies, from one or more 

outputs, controlled by, derived from or 

disciplined by a lesser number of standard 

(or master) frequencies. 

N.B.: For general purpose ‘‘signal 

analyzers’’, signal generators, network 

analyzers and microwave test receivers, see 

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

respectively. 

b.12. ‘Transmit/receive modules,’ 

‘transmit/receive MMICs,’ ‘transmit 

modules,’ and ‘transmit MMICs,’ rated for 

operation at frequencies above 2.7 GHz and 

having all of the following: 

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

watts), Psat, greater than 505.62 divided by 

the maximum operating frequency (in GHz) 

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

channel; 

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

greater for any channel; 

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

cm) equal to or less than 15 divided by the 

lowest operating frequency in GHz [d ≤ 

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

transmit or transmit/receive channels; and 

b.12.d. An electronically variable phase 

shifter per channel. 

Technical Notes: For the purposes of 

3A001.b.12: 

1. A ‘transmit/receive module’ is a 

multifunction ‘‘electronic assembly’’ that 

provides bi-directional amplitude and phase 

control for transmission and reception of 

signals. 

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

assembly’’ that provides amplitude and 

phase control for transmission of signals. 

3. A ‘transmit/receive MMIC’ is a 

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

transmission and reception of signals. 

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

provides amplitude and phase control for 

transmission of signals. 

5. 2.7 GHz should be used as the lowest 

operating frequency (fGHz) in the formula in 

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

modules that have a rated operation range 

extending downward to 2.7 GHz and below 

[d≤15cm*GHz*N/2.7 GHz]. 

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

modules’ or ‘transmit modules’ with or 

without a heat sink. The value of d in 

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

the ‘transmit/receive module’ or ‘transmit 

module’ that functions as a heat sink. 

7. ‘Transmit/receive modules’ or ‘transmit 

modules,’ ‘transmit/receive MMICs’ or 

‘transmit MMICs’ may or may not have N 

integrated radiating antenna elements where 

N is the number of transmit or transmit/ 

receive channels. 

c. Acoustic wave devices as follows and 

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

c.1. Surface acoustic wave and surface 

skimming (shallow bulk) acoustic wave 

devices, having any of the following: 

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

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

but not exceeding 6 GHz and having any of 

the following: 

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

exceeding 65 dB; 

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

time and the bandwidth (time in ms and 

bandwidth in MHz) of more than 100; 

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

MHz; or 

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

ms; or 

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

and having any of the following: 

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

time and the bandwidth (time in ms and 

bandwidth in MHz) of more than 100; 

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

ms; or 

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

exceeding 65 dB and a bandwidth greater 

than 100 MHz; 

Technical Note: For the purposes of 

3A001.c.1, ‘frequency side-lobe rejection’ is 

the maximum rejection value specified in 

data sheet. 

c.2. Bulk (volume) acoustic wave devices 

that permit the direct processing of signals at 

frequencies exceeding 6 GHz; 

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

devices employing interaction between 

acoustic waves (bulk wave or surface wave) 

and light waves that permit the direct 

processing of signals or images, including 

spectral analysis, correlation or convolution; 

Note: 3A001.c does not control acoustic 

wave devices that are limited to a single band 

pass, low pass, high pass or notch filtering, 

or resonating function. 

d. Electronic devices and circuits 

containing ‘‘components,’’ manufactured 

from ‘‘superconductive’’ materials, ‘‘specially 

designed’’ for operation at temperatures 

below the ‘‘critical temperature’’ of at least 

one of the ‘‘superconductive’’ constituents 

and having any of the following: 

d.1. Current switching for digital circuits 

using ‘‘superconductive’’ gates with a 

product of delay time per gate (in seconds) 

and power dissipation per gate (in watts) of 

less than 10¥14 J; or 

d.2. Frequency selection at all frequencies 

using resonant circuits with Q-values 

exceeding 10,000; 

e. High energy devices as follows: 

e.1. ‘Cells’ as follows: 

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

following at 20°C: 

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

kg and a ‘continuous power density’ 

exceeding 50 W/kg; or 

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

kg and a ‘continuous power density’ 

exceeding 350 W/kg; 

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

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

Technical Notes: 

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

density’ (Wh/kg) is calculated from the 

nominal voltage multiplied by the nominal 

capacity in ampere-hours (Ah) divided by the 

mass in kilograms. If the nominal capacity is 

not stated, energy density is calculated from 

the nominal voltage squared then multiplied 

by the discharge duration in hours divided by 

the discharge load in Ohms and the mass in 

kilograms. 

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

defined as an electrochemical device, which 

has positive and negative electrodes, an 

electrolyte, and is a source of electrical 

energy. It is the basic building block of a 

battery. 

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

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

to be charged by any other source. 

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

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

be charged by an external electrical source. 

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

‘continuous power density’ (W/kg) is 

calculated from the nominal voltage 

multiplied by the specified maximum 

continuous discharge current in amperes (A) 

divided by the mass in kilograms. 

‘Continuous power density’ is also referred to 

as specific power. 

Note: 3A001.e does not control batteries, 

including single-cell batteries. 

e.2. High energy storage capacitors as 

follows: 

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

less than 10 Hz (single shot capacitors) and 

having all of the following: 

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

than 5 kV; 

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

than 250 J/kg; and 

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

than 25 kJ; 

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

10 Hz or more (repetition rated capacitors) 

and having all of the following: 

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

than 5 kV; 

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

than 50 J/kg; 

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

than 100 J; and 

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

to or more than 10,000; 

e.3. ‘‘Superconductive’’ electromagnets and 

solenoids, ‘‘specially designed’’ to be fully 

charged or discharged in less than one 

second and having all of the following: 

Note: 3A001.e.3 does not control 

‘‘superconductive’’ electromagnets or 

solenoids ‘‘specially designed’’ for Magnetic 

Resonance Imaging (MRI) medical 

equipment. 

e.3.a. Energy delivered during the 

discharge exceeding 10 kJ in the first second; 

e.3.b. Inner diameter of the current 

carrying windings of more than 250 mm; and 

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

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

in the winding of more than 300 A/mm2; 

e.4. Solar cells, cell-interconnectcoverglass (CIC) assemblies, solar panels, and 

solar arrays, which are ‘‘space-qualified,’’ 

having a minimum average efficiency 

exceeding 20% at an operating temperature 

of 301 K (28 °C) under simulated ‘AM0’ 

illumination with an irradiance of 1,367 

Watts per square meter (W/m2); 

Technical Note: For the purposes of 

3A001.e.4, ‘AM0’, or ‘Air Mass Zero’, refers 

to the spectral irradiance of sun light in the 

earth’s outer atmosphere when the distance 

between the earth and sun is one 

astronomical unit (AU). 

f. Rotary input type absolute position 

encoders having an ‘‘accuracy’’ equal to or 

less (better) than 1.0 second of arc and 

‘‘specially designed’’ encoder rings, discs or 

scales therefor; 

g. Solid-state pulsed power switching 

thyristor devices and ‘thyristor modules’, 


ddrumheller on DSK120RN23PROD with RULES2
71954 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

using either electrically, optically, or electron 

radiation controlled switch methods and 

having any of the following: 

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

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

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

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

having all of the following: 

g.2.a. An off-state peak voltage equal to or 

greater than 3,000 V; and 

g.2.b. A peak (surge) current equal to or 

greater than 3,000 A; 

Note 1: 3A001.g. includes: 

—Silicon Controlled Rectifiers (SCRs) 

—Electrical Triggering Thyristors (ETTs) 

—Light Triggering Thyristors (LTTs) 

—Integrated Gate Commutated Thyristors 

(IGCTs) 

—Gate Turn-off Thyristors (GTOs) 

—MOS Controlled Thyristors (MCTs) 

—Solidtrons 

Note 2: 3A001.g does not control thyristor 

devices and ‘thyristor modules’ incorporated 

into equipment designed for civil railway or 

‘‘civil aircraft’’ applications. 

Technical Note: For the purposes of 

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

more thyristor devices. 

h. Solid-state power semiconductor 

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

the following: 

h.1. Rated for a maximum operating 

junction temperature greater than 488 K 

(215°C); 

h.2. Repetitive peak off-state voltage 

(blocking voltage) exceeding 300 V; and 

h.3. Continuous current greater than 1 A. 

Technical Note: For the purposes of 

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

solid-state power semiconductor switches or 

diodes. 

Note 1: Repetitive peak off-state voltage in 

3A001.h includes drain to source voltage, 

collector to emitter voltage, repetitive peak 

reverse voltage and peak repetitive off-state 

blocking voltage. 

Note 2: 3A001.h includes: 

—Junction Field Effect Transistors (JFETs) 

—Vertical Junction Field Effect Transistors 

(VJFETs) 

—Metal Oxide Semiconductor Field Effect 

Transistors (MOSFETs) 

—Double Diffused Metal Oxide 

Semiconductor Field Effect Transistor 

(DMOSFET) 

—Insulated Gate Bipolar Transistor (IGBT) 

—High Electron Mobility Transistors 

(HEMTs) 

—Bipolar Junction Transistors (BJTs) 

—Thyristors and Silicon Controlled 

Rectifiers (SCRs) 

—Gate Turn-Off Thyristors (GTOs) 

—Emitter Turn-Off Thyristors (ETOs) 

—PiN Diodes 

—Schottky Diodes 

Note 3: 3A001.h does not apply to 

switches, diodes, or ‘modules’, incorporated 

into equipment designed for civil automobile, 

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

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

and having any of the following: 

i.1. A maximum operating frequency of 

more than 10 GHz but less than 20 GHz, an 

optical insertion loss equal to or less than 3 

dB and having any of the following: 

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

2.7 V when measured at a frequency of 1 GHz 

or below; or 

i.1.b. A ‘Vp’ of less than 4 V when 

measured at a frequency of more than 1 GHz; 

or 

i.2. A maximum operating frequency equal 

to or greater than 20 GHz, an optical insertion 

loss equal to or less than 3 dB and having 

any of the following: 

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

at a frequency of 1 GHz or below; or 

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

at a frequency of more than 1 GHz. 

Note: 3A001.i includes electro-optic 

modulators having optical input and output 

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

Technical Note: For the purposes of 

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

applied voltage necessary to make a phase 

change of 180 degrees in the wavelength of 

light propagating through the optical 

modulator. 

* * * * * 

3A002 General purpose ‘‘electronic 

assemblies,’’ modules and equipment, as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart (see 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to 

3A002.h when the 

parameters in 

3A101.a.2.b are 

met or exceeded.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions, and 

Validated End-User authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

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

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

controlled for MT); 

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

MT) 

Special Conditions for STA 

STA: License Exception STA may not be 

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

of the destinations listed in Country Group 

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

the EAR). 

List of Items Controlled 

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

the USML for certain ‘‘space-qualified’’ 

atomic frequency standards ‘‘subject to the 

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

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

Related Definitions: Constant percentage 

bandwidth filters are also known as octave 

or fractional octave filters. 

Items: 

a. Recording equipment and oscilloscopes, 

as follows: 

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

N.B.: For waveform digitizers and transient 

recorders, see 3A002.h. 

a.6. Digital data recorders having all of the 

following: 

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

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

drive memory; and 

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

frequency signal data while it is being 

recorded; 

Technical Notes: For the purposes of 

3A002.a.6: 

1. For recorders with a parallel bus 

architecture, the ‘continuous throughput’ 

rate is the highest word rate multiplied by the 

number of bits in a word. 

2. ‘Continuous throughput’ is the fastest 

data rate the instrument can record to disk 

or solid-state drive memory without the loss 

of any information while sustaining the input 

digital data rate or digitizer conversion rate. 

a.7. Real-time oscilloscopes having a 

vertical root-mean-square (rms) noise voltage 

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

scale setting that provides the lowest noise 

value for any input 3dB bandwidth of 60 GHz 

or greater per channel; 

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

equivalent-time sampling oscilloscopes. 

b. [Reserved] 

c. ‘‘Signal analyzers’’ as follows: 

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

resolution bandwidth (RBW) exceeding 40 

MHz anywhere within the frequency range 

exceeding 31.8 GHz but not exceeding 37 

GHz; 

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

Average Noise Level (DANL) less (better) 

than ¥150 dBm/Hz anywhere within the 

frequency range exceeding 43.5 GHz but not 

exceeding 90 GHz; 

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

exceeding 90 GHz; 

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

following: 

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

MHz; and 

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

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

with less than a 3 dB reduction from full 

amplitude due to gaps or windowing effects, 

of signals having a duration of 15 ms or less; 

or 

c.4.b.2. A ‘frequency mask trigger’ 

function, with 100% probability of trigger 

(capture) for signals having a duration of 15 

ms or less; 

Technical Notes: 

1. For the purposes of 3A002.c.4.a, ‘realtime bandwidth’ is the widest frequency 

range for which the analyzer can 

continuously transform time-domain data 

entirely into frequency-domain results, using 

a Fourier or other discrete time transform 

that processes every incoming time point, 

without a reduction of measured amplitude 

of more than 3 dB below the actual signal 

amplitude caused by gaps or windowing 

effects, while outputting or displaying the 

transformed data. 

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

probability of discovery is also referred to as 

probability of intercept or probability of 

capture. 


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

duration for 100% probability of discovery is 

equivalent to the minimum signal duration 

necessary for the specified level 

measurement uncertainty. 

4. For the purposes of 3A002.c.4.b.2, a 

‘frequency mask trigger’ is a mechanism 

where the trigger function is able to select a 

frequency range to be triggered on as a subset 

of the acquisition bandwidth while ignoring 

other signals that may also be present within 

the same acquisition bandwidth. A 

‘frequency mask trigger’ may contain more 

than one independent set of limits. 

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

‘‘signal analyzers’’ using only constant 

percentage bandwidth filters (also known as 

octave or fractional octave filters). 

c.5. [Reserved] 

d. Signal generators having any of the 

following: 

d.1. Specified to generate pulse-modulated 

signals having all of the following, anywhere 

within the frequency range exceeding 31.8 

GHz but not exceeding 37 GHz: 

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

and 

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

dB; 

d.2. An output power exceeding 100 mW 

(20 dBm) anywhere within the frequency 

range exceeding 43.5 GHz but not exceeding 

90 GHz; 

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

specified by any of the following: 

d.3.a. [Reserved] 

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

change exceeding 2.2 GHz within the 

frequency range exceeding 4.8 GHz but not 

exceeding 31.8 GHz; 

d.3.c. [Reserved] 

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

change exceeding 550 MHz within the 

frequency range exceeding 31.8 GHz but not 

exceeding 37 GHz; 

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

change exceeding 2.2 GHz within the 

frequency range exceeding 37 GHz but not 

exceeding 75 GHz; or 

d.3.f. [Reserved] 

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

change exceeding 5.0 GHz within the 

frequency range exceeding 75 GHz but not 

exceeding 90 GHz. 

d.4. A single sideband (SSB) phase noise, 

in dBc/Hz, specified as being any of the 

following: 

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

F¥20log10f) for anywhere within the range of 

10 Hz ≤ F ≤ 10 kHz anywhere within the 

frequency range exceeding 3.2 GHz but not 

exceeding 90 GHz; or 

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

for anywhere within the range of 10 kHz < 

F ≤ 100 kHz anywhere within the frequency 

range exceeding 3.2 GHz but not exceeding 

90 GHz; 

Technical Note: For the purposes of 

3A002.d.4, F is the offset from the operating 

frequency in Hz and f is the operating 

frequency in MHz. 

d.5. An ‘RF modulation bandwidth’ of 

digital baseband signals as specified by any 

of the following: 

d.5.a. Exceeding 2.2 GHz within the 

frequency range exceeding 4.8 GHz but not 

exceeding 31.8 GHz; 

d.5.b. Exceeding 550 MHz within the 

frequency range exceeding 31.8 GHz but not 

exceeding 37 GHz; 

d.5.c. Exceeding 2.2 GHz within the 

frequency range exceeding 37 GHz but not 

exceeding 75 GHz; 

d.5.d. Exceeding 5.0 GHz within the 

frequency range exceeding 75 GHz but not 

exceeding 90 GHz; or 

Technical Note: For the purposes of 

3A002.d.5, ‘RF modulation bandwidth’ is the 

Radio Frequency (RF) bandwidth occupied 

by a digitally encoded baseband signal 

modulated onto an RF signal. It is also 

referred to as information bandwidth or 

vector modulation bandwidth. I/Q digital 

modulation is the technical method for 

producing a vector-modulated RF output 

signal, and that output signal is typically 

specified as having an ‘RF modulation 

bandwidth’. 

d.6. A maximum frequency exceeding 90 

GHz; 

Note 1: For the purposes of 3A002.d, 

signal generators include arbitrary waveform 

and function generators. 

Note 2: 3A002.d does not control 

equipment in which the output frequency is 

either produced by the addition or 

subtraction of two or more crystal oscillator 

frequencies, or by an addition or subtraction 

followed by a multiplication of the result. 

Technical Notes: 

1. For the purposes of 3A002.d, the 

maximum frequency of an arbitrary 

waveform or function generator is calculated 

by dividing the sample rate, in samples/ 

second, by a factor of 2.5. 

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

duration’ is defined as the time interval from 

the point on the leading edge that is 50% of 

the pulse amplitude to the point on the 

trailing edge that is 50% of the pulse 

amplitude. 

e. Network analyzers having any of the 

following: 

e.1. An output power exceeding 31.62 mW 

(15 dBm) anywhere within the operating 

frequency range exceeding 43.5 GHz but not 

exceeding 90 GHz; 

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

dBm) anywhere within the operating 

frequency range exceeding 90 GHz but not 

exceeding 110 GHz; 

e.3. ‘Nonlinear vector measurement 

functionality’ at frequencies exceeding 50 

GHz but not exceeding 110 GHz; or 

Technical Note: For the purposes of 

3A002.e.3, ‘nonlinear vector measurement 

functionality’ is an instrument’s ability to 

analyze the test results of devices driven into 

the large-signal domain or the non-linear 

distortion range. 

e.4. A maximum operating frequency 

exceeding 110 GHz; 

f. Microwave test receivers having all of the 

following: 

f.1. Maximum operating frequency 

exceeding 110 GHz; and 

f.2. Being capable of measuring amplitude 

and phase simultaneously; 

g. Atomic frequency standards being any of 

the following: 

g.1. ‘‘Space-qualified’’; 

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

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

or 

g.3. Non-‘‘space-qualified’’ and having all 

of the following: 

g.3.a. Being a rubidium standard; 

g.3.b. Long-term stability less (better) than 

1 × 10¥11/month; and 

g.3.c. Total power consumption of less 

than 1 Watt. 

h. ‘‘Electronic assemblies,’’ modules or 

equipment, specified to perform all of the 

following: 

h.1. Analog-to-digital conversions meeting 

any of the following: 

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

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

1.3 Giga Samples Per Second (GSPS); 

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

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

than 1.0 GSPS; 

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

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

than 1.0 GSPS; 

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

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

than 400 Mega Samples Per Second (MSPS); 

or 

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

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

h.2. Any of the following: 

h.2.a. Output of digitized data; 

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

h.2.c. Processing of digitized data; 

N.B.: Digital data recorders, oscilloscopes, 

‘‘signal analyzers,’’ signal generators, 

network analyzers and microwave test 

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

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

3A002.f, respectively. 

Technical Notes: For the purposes of 

3A002.h: 

1. A resolution of n bit corresponds to a 

quantization of 2n levels. 

2. The resolution of the ADC is the number 

of bits of the digital output of the ADC that 

represents the measured analog input word. 

Effective Number of Bits (ENOB) is not used 

to determine the resolution of the ADC. 

3. For non-interleaved multiple-channel 

‘‘electronic assemblies’’, modules, or 

equipment, the ‘‘sample rate’’ is not 

aggregated and the ‘‘sample rate’’ is the 

maximum rate of any single channel. 

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

equipment, the ‘‘sample rates’’ are 

aggregated and the ‘‘sample rate’’ is the 

maximum combined total rate of all the 

interleaved channels. 

Note: 3A002.h includes ADC cards, 

waveform digitizers, data acquisition cards, 

signal acquisition boards and transient 

recorders. 

* * * * * 

3B001 Equipment for the manufacturing of 

semiconductor devices or materials, as 

follows (see List of Items Controlled) 

and ‘‘specially designed’’ ‘‘components’’ 

and ‘‘accessories’’ therefor. 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 


ddrumheller on DSK120RN23PROD with RULES2
71956 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $500 

GBS: Yes, except a.3 (molecular beam 

epitaxial growth equipment using gas 

sources), .e (automatic loading multichamber central wafer handling systems 

only if connected to equipment controlled 

by 3B001. a.3, or .f), and .f (lithography 

equipment). 

List of Items Controlled 

Related Controls: See also 3B991. 

Related Definitions: N/A 

Items: 

a. Equipment designed for epitaxial growth 

as follows: 

a.1. Equipment designed or modified to 

produce 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; 

Note: 3B001.a.1 includes atomic layer 

epitaxy (ALE) equipment. 

a.2. Metal Organic Chemical Vapor 

Deposition (MOCVD) reactors designed for 

compound semiconductor epitaxial growth of 

material having two or more of the following 

elements: aluminum, gallium, indium, 

arsenic, phosphorus, antimony, or nitrogen; 

a.3. Molecular beam epitaxial growth 

equipment using gas or solid sources; 

b. Equipment designed for ion 

implantation and having any of the 

following: 

b.1. [Reserved] 

b.2. Being designed and optimized to 

operate at a beam energy of 20 keV or more 

and a beam current of 10 mA or more for 

hydrogen, deuterium, or helium implant; 

b.3. Direct write capability; 

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’’; or 

b.5. Being designed and optimized to 

operate at beam energy of 20 keV or more and 

a beam current of 10mA or more for silicon 

implant into a semiconductor material 

‘‘substrate’’ heated to 600 °C or greater; 

c. [Reserved] 

d. [Reserved] 

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 functionally 

different ‘semiconductor process tools’ 

controlled by 3B001.a.1, 3B001.a.2, 3B001.a.3 

or 3B001.b are designed 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 ‘‘specially 

designed’’ for parallel wafer processing. 

Technical Notes: 

1. For the purposes of 3B001.e.1, 

‘semiconductor process tools’ refers to 

modular tools that provide physical 

processes for semiconductor production that 

are functionally different, such as deposition, 

implant or thermal processing. 

2. For the purposes of 3B001.e.2, 

‘sequential multiple wafer processing’ means 

the capability to process each wafer in 

different ‘semiconductor process tools’, such 

as by transferring each wafer from one tool 

to a second tool and on to a third tool with 

the automatic loading multi-chamber central 

wafer handling systems. 

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 and 

having any of the following: 

f.1.a. A light source wavelength shorter 

than 193 nm; or 

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

a ‘‘Minimum Resolvable Feature size’’ (MRF) 

of 45 nm or less; 

Technical Note: For the purposes of 

3B001.f.1.b, the ‘Minimum Resolvable 

Feature size’ (MRF) is calculated by the 

following formula: 

MRF = (an exposure light source wavelength 

in nm) × (K factor)/numerical aperture 

where the K factor = 0.35 

f.2 Imprint lithography equipment capable 

of production features of 45 nm or less; 

Note: 3B001.f.2 includes: 

—Micro contact printing tools 

—Hot embossing tools 

—Nano-imprint lithography tools 

—Step and flash imprint lithography (S–FIL) 

tools 

f.3. Equipment ‘‘specially designed’’ for 

mask making having all of the following: 

f.3.a. A deflected focused electron beam, 

ion beam or ‘‘laser’’ beam; and 

f.3.b. Having any of the following: 

f.3.b.1. A Full-Width Half-Maximum 

(FWHM) spot size smaller than 65 nm and an 

image placement less than 17 nm (mean + 3 

sigma); or 

f.3.b.2. [Reserved] 

f.3.b.3. A second-layer overlay error of less 

than 23 nm (mean + 3 sigma) on the mask; 

f.4. Equipment designed for device 

processing using direct writing methods, 

having all of the following: 

f.4.a. A deflected focused electron beam; 

and 

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

f.4.b.1. A minimum beam size equal to or 

smaller than 15 nm; or 

f.4.b.2. An overlay error less than 27 nm 

(mean + 3 sigma); 

g. Masks and reticles, designed for 

integrated circuits controlled by 3A001; 

h. Multi-layer masks with a phase shift 

layer not specified by 3B001.g and designed 

to be used by lithography equipment having 

a light source wavelength less than 245 nm; 

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. 

N.B.: For masks and reticles, ‘‘specially 

designed’’ for optical sensors, see 6B002. 

i. Imprint lithography templates designed 

for integrated circuits by 3A001; 

j. Mask ‘‘substrate blanks’’ with multilayer 

reflector structure consisting of molybdenum 

and silicon, and having all of the following: 

j.1. ‘‘Specially designed’’ for ‘Extreme 

Ultraviolet (EUV)’ lithography; and 

j.2. Compliant with SEMI Standard P37. 

Technical Note: For the purposes of 

3B001.j, ‘Extreme Ultraviolet (EUV)’ refers to 

electromagnetic spectrum wavelengths 

greater than 5 nm and less than 124 nm. 

* * * * * 

3D003 ‘Computational lithography’ 

‘‘software’’ ‘‘specially designed’’for the 

‘‘development’’ of patterns on EUVlithography masks or reticles. 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart (see 

supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: For the purposes of 

3D003, ‘computational lithography’ is the 

use of computer modelling to predict, 

correct, optimize and verify imaging 

performance of the lithography process 

over a range of patterns, processes, and 

system conditions. 

Items: 

The list of items controlled is contained in 

the ECCN heading. 

* * * * * 

3D006 ‘Electronic Computer-Aided Design’ 

(‘ECAD’) ‘‘software’’ ‘‘specially 

designed’’ for the ‘‘development’’ of 

integrated circuits having any ‘‘GateAll-Around Field-Effect Transistor’’ 

(‘‘GAAFET’’) structure, and having any 

of the following (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart (see 

supp. no. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for Description of All License Exceptions) 

TSR: N/A 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. ‘‘Specially designed’’ for implementing 

‘Register Transfer Level’ (‘RTL’) to 

‘Geometrical Database Standard II’ (‘GDSII’) 

or equivalent standard; or 

b. ‘‘Specially designed’’ for optimization of 

power or timing rules. 


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Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71957 

Technical Notes: For the purposes of 

3D006: 

1. ‘Electronic Computer-Aided Design’ 

(‘ECAD’) is a category of ‘‘software’’ tools 

used for designing, analyzing, optimizing, 

and validating the performance of an 

integrated circuit or printed circuit board. 

2. ‘Register Transfer Level’ (‘RTL’) is a 

design abstraction which models a 

synchronous digital circuit in terms of the 

flow of digital signals between hardware 

registers and the logical operations 

performed on those signals. 

3. ‘Geometrical Database Standard II’ 

(‘GDSII’) is a database file format for data 

exchange of integrated circuit or integrated 

circuit layout artwork. 

* * * * * 

3E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ or ‘‘production’’ of 

commodities controlled by 3A (except 

3A980, 3A981, 3A991, 3A992, or 

3A999), 3B (except 3B991 or 3B992) or 

3C (except 3C992). 

License Requirements 

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

Control(s) 

Country chart (see 

supp. no. 1 to part 

738) 

NS applies to ‘‘technology’’ for commodities controlled 

by 3A001, 3A002, 

3A003, 3B001, 

3B002, or 3C001 to 

3C006.

NS Column 1 

MT applies to ‘‘technology’’ for commodities controlled 

by 3A001 or 3A101 

for MT reasons.

MT Column 1 

NP applies to ‘‘technology’’ for commodities controlled 

by 3A001, 3A201, 

or 3A225 to 3A234 

for NP reasons.

NP Column 1 

RS applies to ‘‘technology’’ for commodities controlled 

by 3A090 or 3B090.

China and Macau 

(See § 742.6(a)(6)) 

RS applies to ‘‘technology’’ for commodities controlled 

in 3A090, when exported from China 

or Macau.

Worldwide (See 

§ 742.6(a)(6)) 

AT applies to entire 

entry.

AT Column 1 

License Requirements Note: See § 744.17 of 

the EAR for additional license 

requirements for microprocessors having a 

processing speed of 5 GFLOPS or more and 

an arithmetic logic unit with an access 

width of 32 bit or more, including those 

incorporating ‘‘information security’’ 

functionality, and associated ‘‘software’’ 

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

‘‘development’’ of such microprocessors. 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, Special Comprehensive Licenses, 

and Validated End-User authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except N/A for MT, and 

‘‘technology’’ for the ‘‘development’’ or 

‘‘production’’ of: (a) vacuum electronic 

device amplifiers described in 3A001.b.8, 

having operating frequencies exceeding 19 

GHz; (b) solar cells, coverglassinterconnect-cells or covered-interconnectcells (CIC) ‘‘assemblies’’, solar arrays and/ 

or solar panels described in 3A001.e.4; (c) 

‘‘Monolithic Microwave Integrated Circuit’’ 

(‘‘MMIC’’) amplifiers in 3A001.b.2; and (d) 

discrete microwave transistors in 

3A001.b.3. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘technology’’ 

according to the General Technology Note 

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

equipment specified by ECCNs 3A002.g.1 

or 3B001.a.2 to any of the destinations 

listed in Country Group A:6 (See 

Supplement No.1 to part 740 of the EAR). 

License Exception STA may not be used to 

ship or transmit ‘‘technology’’ according to 

the General Technology Note for the 

‘‘development’’ or ‘‘production’’ of 

components specified by ECCN 3A001.b.2 

or b.3 to any of the destinations listed in 

Country Group A:5 or A:6 (See Supplement 

No.1 to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) ‘‘Technology’’ according 

to the General Technology Note for the 

‘‘development’’ or ‘‘production’’ of certain 

‘‘space-qualified’’ atomic frequency 

standards described in Category XV(e)(9), 

MMICs described in Category XV(e)(14), 

and oscillators described in Category 

XV(e)(15) of the USML are ‘‘subject to the 

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

See also 3E101, 3E201 and 9E515. (2) 

‘‘Technology’’ for ‘‘development’’ or 

‘‘production’’ of ‘‘Microwave Monolithic 

Integrated Circuits’’ (‘‘MMIC’’) amplifiers 

in 3A001.b.2 is controlled in this ECCN 

3E001; 5E001.d refers only to that 

additional ‘‘technology’’ ‘‘required’’ for 

telecommunications. 

Related Definition: N/A 

Items: 

The list of items controlled is contained in 

the ECCN heading. 

Note 1: 3E001 does not control 

‘‘technology’’ for equipment or 

‘‘components’’ controlled by 3A003. 

Note 2: 3E001 does not control 

‘‘technology’’ for integrated circuits 

controlled by 3A001.a.3 to a.14, having all of 

the following: 

(a) Using ‘‘technology’’ at or above 0.130 

μm; and 

(b) Incorporating multi-layer structures 

with three or fewer metal layers. 

Note 3: 3E001 does not apply to ‘Process 

Design Kits’ (‘PDKs’) unless they include 

libraries implementing functions or 

technologies for items specified by 3A001 or 

3A090. 

Technical Note: For the purposes of 

3E001 Note 3, a ‘Process Design Kit’ (‘PDK’) 

is a software tool provided by a 

semiconductor manufacturer to ensure that 

the required design practices and rules are 

taken into account in order to successfully 

produce a specific integrated circuit design 

in a specific semiconductor process, in 

accordance with technological and 

manufacturing constraints (each 

semiconductor manufacturing process has its 

particular ‘PDK’). 

3E002 ‘‘Technology’’ according to the 

General Technology Note other than 

that controlled in 3E001 for the 

‘‘development’’ or ‘‘production’’ of a 

‘‘microprocessor microcircuit’’, ‘‘microcomputer microcircuit’’ and 

microcontroller microcircuit core, 

having an arithmetic logic unit with an 

access width of 32 bits or more and any 

of the following features or 

characteristics (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country Chart (See 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

LICENSE REQUIREMENTS NOTE: See 

§ 744.17 of the EAR for additional license 

requirements for microprocessors having a 

processing speed of 5 GFLOPS or more and 

an arithmetic logic unit with an access width 

of 32 bit or more, including those 

incorporating ‘‘information security’’ 

functionality, and associated ‘‘software’’ and 

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

‘‘development’’ of such microprocessors. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. A ‘vector processor unit’ designed to 

perform more than two calculations on 

‘floating-point’ vectors (one-dimensional 

arrays of 32-bit or larger numbers) 

simultaneously; 

Technical Note: For the purposes of 

3E002.a, a ‘vector processor unit’ is a 

processor element with built-in instructions 

that perform multiple calculations on 

‘floating-point’ vectors (one-dimensional 

arrays of 32-bit or larger numbers) 

simultaneously, having at least one vector 

arithmetic logic unit and vector registers of 

at least 32 elements each. 

b. Designed to perform more than four 64- 

bit or larger ‘floating-point’ operation results 

per cycle; or 

c. Designed to perform more than eight 16- 

bit ‘fixed-point’ multiply-accumulate results 


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per cycle (e.g., digital manipulation of analog 

information that has been previously 

converted into digital form, also known as 

digital ‘‘signal processing’’). 

Note 1: 3E002 does not control 

‘‘technology’’ for multimedia extensions. 

Note 2: 3E002 does not control 

‘‘technology’’ for microprocessor cores, 

having all of the following: 

a. Using ‘‘technology’’ at or above 0.130 

μm; and 

b. Incorporating multi-layer structures with 

five or fewer metal layers. 

Note 3: 3E002 includes ‘‘technology’’ for 

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

signal processors and digital array 

processors. 

Technical Notes: 

1. For the purposes of 3E002.a and 

3E002.b, ‘floating-point’ is defined by IEEE– 

754. 

2. For the purposes of 3E002.c, ‘fixedpoint’ refers to a fixed-width real number 

with both an integer component and a 

fractional component, and which does not 

include integer-only formats. 

* * * * * 

Category 4—Computers 

* * * * * 

Technical Note: For the purposes of Note 

2, ‘main storage’ is the primary storage for 

data or instructions for rapid access by a 

central processing unit. It consists of the 

internal storage of a ‘‘digital computer’’ and 

any hierarchical extension thereto, such as 

cache storage or non-sequentially accessed 

extended storage. 

* * * * * 

4A004 Computers as follows (see List of 

Items Controlled) and ‘‘specially 

designed’’ related equipment, 

‘‘electronic assemblies’’ and 

‘‘components’’therefor. 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country Chart (See 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $5000 

GBS: N/A 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. ‘Systolic array computers’; 

b. ‘Neural computers’; 

c. ‘Optical computers’. 

Technical Notes: 

1. For the purposes of 4A004.a, ‘systolic 

array computers’ are computers where the 

flow and modification of the data is 

dynamically controllable at the logic gate 

level by the user. 

2. For the purposes of 4A004.b, ‘neural 

computers’ are computational devices 

designed or modified to mimic the behaviour 

of a neuron or a collection of neurons, i.e., 

computational devices which are 

distinguished by their hardware capability to 

modulate the weights and numbers of the 

interconnections of a multiplicity of 

computational components based on 

previous data. 

3. For the purposes of 4A004.c, ‘optical 

computers’ are computers designed or 

modified to use light to represent data and 

whose computational logic elements are 

based on directly coupled optical devices. 

* * * * * 

4D001 ‘‘Software’’ as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, CC, AT 

Control(s) 

Country Chart (See 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 1 

CC applies to ‘‘software’’ for computerized finger-print 

equipment controlled by 4A003 for 

CC reasons.

CC Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except for ‘‘software’’ for the 

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

following: 

(1) Commodities with an ‘‘Adjusted Peak 

Performance’’ (‘‘APP’’) exceeding 70 WT; 

or 

(2) Commodities controlled by 4A005 or 

’’software’’ controlled by 4D004. 

APP: Yes to specific countries (see § 740.7 of 

the EAR for eligibility criteria) 

ACE: Yes for 4D001.a (for the 

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

equipment or ‘‘software’’ specified in 

ECCN 4A005 or 4D004), except to Country 

Group E:1 or E:2. See § 740.22 of the EAR 

for eligibility criteria. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘software’’ 

‘‘specially designed’’ or modified for the 

‘‘development’’ or ‘‘production’’ of 

equipment specified by ECCN 4A001.a.2 or 

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

‘‘digital computers’’ having an ‘Adjusted 

Peak Performance’ (‘APP’) exceeding 70 

Weighted TeraFLOPS (WT) to any of the 

destinations listed in Country Group A:6 

(See Supplement No. 1 to part 740 of the 

EAR); and may not be used to ship or 

transmit ’’software’’ specified in 4D001.a 

’’specially designed’’ for the 

’’development’’ or ’’production’’ of 

equipment specified by ECCN 4A005 to 

any of the destinations listed in Country 

Group A:5 or A:6. 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. ‘‘Software’’ ‘‘specially designed’’ or 

modified for the ‘‘development’’ or 

‘‘production’’, of equipment or ‘‘software’’ 

controlled by 4A001, 4A003, 4A004, 4A005 

or 4D (except 4D090, 4D980, 4D993 or 

4D994). 

b. ‘‘Software’’, other than that controlled by 

4D001.a, ‘‘specially designed’’ or modified 

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

equipment as follows: 

b.1. ‘‘Digital computers’’ having an 

‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

exceeding 24 Weighted TeraFLOPS (WT); 

b.2. ‘‘Electronic assemblies’’ ‘‘specially 

designed’’ or modified for enhancing 

performance by aggregation of processors so 

that the ‘‘APP’’ of the aggregation exceeds the 

limit in 4D001.b.1. 

* * * * * 

4E001 ‘‘Technology’’ as follows (see List of 

Items Controlled). 

License Requirements 

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

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry, except 

4A090 or ‘‘software’’ specified by 

4D090.

NS Column 1 

MT applies to ‘‘technology’’ for items 

controlled by 

4A001.a and 

4A101 for MT reasons.

MT Column 1 

RS applies to ‘‘technology’’ for commodities controlled 

by 4A090 or ‘‘software’’ specified by 

4D090.

China and Macau 

(See § 742.6(a)(6)) 

CC applies to ‘‘software’’ for computerized finger-print 

equipment controlled by 4A003 for 

CC reasons.

CC Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except for the following: 

(1) ‘‘Technology’’ for the ‘‘development’’ or 

‘‘production’’ of commodities with an 

‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

exceeding 70 WT or for the ’’development’’ 

or ’’production’’ of commodities controlled 


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Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71959 

by 4A005 or ’’software’’ controlled by 

4D004; or 

(2) ‘‘Technology’’ for the ’’development’’ of 

’’intrusion software’’. 

APP: Yes to specific countries (see § 740.7 of 

the EAR for eligibility criteria). 

ACE: Yes for 4E001.a (for the ‘‘development’’, 

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

‘‘software’’ specified in ECCN 4A005 or 

4D004) and for 4E001.c, except to Country 

Group E:1 or E:2. See § 740.22 of the EAR 

for eligibility criteria. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit ‘‘technology’’ 

according to the General Technology Note 

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

any of the following equipment or 

‘‘software’’: a. Equipment specified by 

ECCN 4A001.a.2; b. ‘‘Digital computers’’ 

having an ‘Adjusted Peak Performance’ 

(‘APP’) exceeding 70 Weighted TeraFLOPS 

(WT); or c. ‘‘software’’ specified in the 

License Exception STA paragraph found in 

the License Exception section of ECCN 

4D001 to any of the destinations listed in 

Country Group A:6 (See Supplement No. 1 

to part 740 of the EAR); and may not be 

used to ship or transmit ’’technology’’ 

specified in 4E001.a (for the 

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

equipment or ’’software’’ specified in 

ECCN 4A005 or 4D004) and 4E001.c to any 

of the destinations listed in Country Group 

A:5 or A:6. 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. ‘‘Technology’’ according to the General 

Technology Note, for the ‘‘development’’, 

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

‘‘software’’ controlled by 4A (except 4A980 

or 4A994) or 4D (except 4D980, 4D993, 

4D994). 

b. ‘‘Technology’’ according to the General 

Technology Note, other than that controlled 

by 4E001.a, for the ‘‘development’’ or 

‘‘production’’ of equipment as follows: 

b.1. ‘‘Digital computers’’ having an 

‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

exceeding 24 Weighted TeraFLOPS (WT); 

b.2. ‘‘Electronic assemblies’’ ‘‘specially 

designed’’ or modified for enhancing 

performance by aggregation of processors so 

that the ‘‘APP’’ of the aggregation exceeds the 

limit in 4E001.b.1. 

c. ‘‘Technology’’ for the ‘‘development’’ of 

‘‘intrusion software.’’ 

Note 1: 4E001.a and 4E001.c do not apply 

to ‘‘vulnerability disclosure’’ or ‘‘cyber 

incident response’’. 

Note 2: Note 1 does not diminish national 

authorities’ rights to ascertain compliance 

with 4E001.a and 4E001.c. 

* * * * * 

5A001 Telecommunications systems, 

equipment, ‘‘components’’ and 

‘‘accessories,’’ as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, SL, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to 

5A001.a, b.5, .e, 

.f.3 and .h.

NS Column 1 

NS applies to 

5A001.b (except 

.b.5), .c, .d, .f (except f.3), .g, and .j.

NS Column 2 

SL applies to 

5A001.f.1.

A license is required 

for all destinations, 

as specified in 

§ 742.13 of the 

EAR. Accordingly, a 

column specific to 

this control does 

not appear on the 

Commerce Country 

Chart (Supplement 

No. 1 to Part 738 of 

the EAR). Note to 

SL paragraph: This 

licensing requirement does not supersede, nor does it 

implement, construe or limit the 

scope of any criminal statute, including, but not limited 

to the Omnibus 

Safe Streets Act of 

1968, as amended 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A for 5A001.a, b.5, .e, f.3 and .h; 

$5000 for 5A001.b.1, .b.2, .b.3, .b.6, .d, f.2, 

f.4, and .g; 

$3000 for 5A001.c. 

GBS: Yes, except 5A001.a, b.5, e, and h. 

ACE: Yes for 5A001.j, except to Country 

Group E:1 or E:2. See § 740.22 of the EAR 

for eligibility criteria 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any commodity in 5A001.j to 

any of the destinations listed in Country 

Group A:5 or A:6 (See Supplement No. 1 

to part 740 of the EAR), or any commodity 

in 5A001.b.3, .b.5 or .h to any of the 

destinations listed in Country Group A:6 

(See Supplement No. 1 to part 740 of the 

EAR). 

List of Items Controlled 

Related Controls: (1) See USML Category XI 

for controls on direction-finding 

‘‘equipment’’ including types of 

‘‘equipment’’ in ECCN 5A001.e and any 

other military or intelligence electronic 

‘‘equipment’’ that is ‘‘subject to the ITAR.’’ 

(2) See USML Category XI(a)(4)(iii) for 

controls on electronic attack and jamming 

‘‘equipment’’ defined in 5A001.f and .h 

that are subject to the ITAR. (3) See also 

ECCNs 5A101, 5A980, and 5A991. 

Related Definitions: N/A 

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; 

a.3. ‘‘Specially designed’’ to operate below 

218 K (¥55 °C); or 

a.4. ‘‘Specially designed’’ to operate above 

397 K (124 °C); 

Note: 5A001.a.3 and 5A001.a.4 apply only 

to electronic equipment. 

b. Telecommunication systems and 

equipment, and ‘‘specially designed’’ 

‘‘components’’ and ‘‘accessories’’ therefor, 

having any of the following characteristics, 

functions or features: 

b.1 Being underwater untethered 

communications systems having any of the 

following: 

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; or 

b.1.d. Using ‘‘lasers’’ or light-emitting 

diodes (LEDs), with an output wavelength 

greater than 400 nm and less than 700 nm, 

in a ‘‘local area network’’; 

b.2. Being radio equipment operating in the 

1.5 MHz to 87.5 MHz band and having all of 

the following: 

b.2.a. Automatically predicting and 

selecting frequencies and ‘‘total digital 

transfer rates’’ per channel to optimize the 

transmission; and 

b.2.b. 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 and having any of 

the following: 

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 

any of the following: 

a. Civil cellular radio-communications 

systems; or 

b. Fixed or mobile satellite Earth stations 

for commercial civil telecommunications. 

Note: 5A001.b.3 does not control 

equipment operating at an output power of 

1 W or less. 


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b.4. Being radio equipment employing 

ultra-wideband modulation techniques, 

having user programmable channelizing 

codes, scrambling codes, or network 

identification codes and having any of the 

following: 

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 ‘channel switching time ’ of less 

than 1 ms; 

b.5.c. Automatic searching or scanning of 

a part of the electromagnetic spectrum; and 

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. 

Technical Note: For the purposes of 

5A001.b.5.b, ‘channel switching time’ means 

the time (i.e., delay) to change from one 

receiving frequency to another, to arrive at or 

within ±0.05% of the final specified receiving 

frequency. Items having a specified frequency 

range of less than ±0.05% around their center 

frequency are defined to be incapable of 

channel frequency switching. 

b.6. Employing functions of digital ‘‘signal 

processing’’ to provide ’voice coding’ output 

at rates of less than 700 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 purposes 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 into a digital 

signal taking into account specific 

characteristics of human speech. 

c. Optical fibers of more than 500 m in 

length and specified by the manufacturer as 

being capable of withstanding a ‘proof test’ 

tensile stress of 2 × 109 N/m2 or more; 

N.B.: For underwater umbilical cables, see 

8A002.a.3. 

Technical Note: For the purposes of 

5A001.c, ‘proof test’ is the on-line or off-line 

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. 

d. ‘‘Electronically steerable phased array 

antennae’’ as follows: 

d.1. Rated for operation above 31.8 GHz, 

but not exceeding 57 GHz, and having an 

Effective Radiated Power (ERP) equal to or 

greater than +20 dBm (22.15 dBm Effective 

Isotropic Radiated Power (EIRP)); 

d.2. Rated for operation above 57 GHz, but 

not exceeding 66 GHz, and having an ERP 

equal to or greater than +24 dBm (26.15 dBm 

EIRP); 

d.3. Rated for operation above 66 GHz, but 

not exceeding 90 GHz, and having an ERP 

equal to or greater than +20 dBm (22.15 dBm 

EIRP); 

d.4. Rated for operation above 90 GHz; 

Note 1: 5A001.d does not control 

‘electronically steerable phased array 

antennae’ for landing systems with 

instruments meeting ICAO standards 

covering Microwave Landing Systems (MLS). 

Note 2: 5A001.d does not apply to 

antennae ‘‘specially designed’’ for any of the 

following: 

a. Civil cellular or WLAN radiocommunications systems; 

b. IEEE 802.15 or wireless HDMI; or 

c. Fixed or mobile satellite earth stations 

for commercial civil telecommunications. 

Technical Note: For the purposes of 

5A001.d, ‘electronically steerable phased 

array antenna’ is an antenna which forms a 

beam by means of phase coupling, (i.e., the 

beam direction is controlled by the complex 

excitation coefficients of the radiating 

elements) and the direction of that beam can 

be varied (both in transmission and 

reception) in azimuth or in elevation, or both, 

by application of an electrical signal. 

e. Radio direction finding equipment 

operating at frequencies above 30 MHz and 

having all of the following, 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. Mobile telecommunications interception 

or jamming equipment, and monitoring 

equipment therefor, as follows, and 

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

f.1. Interception equipment designed for 

the extraction of voice or data, transmitted 

over the air interface; 

f.2. Interception equipment not specified in 

5A001.f.1, designed for the extraction of 

client device or subscriber identifiers (e.g., 

IMSI, TIMSI or IMEI), signaling, or other 

metadata transmitted over the air interface; 

f.3. Jamming equipment ‘‘specially 

designed’’ or modified to intentionally and 

selectively interfere with, deny, inhibit, 

degrade or seduce mobile telecommunication 

services and performing any of the following: 

f.3.a. Simulate the functions of Radio 

Access Network (RAN) equipment; 

f.3.b. Detect and exploit specific 

characteristics of the mobile 

telecommunications protocol employed (e.g., 

GSM); or 

f.3.c. Exploit specific characteristics of the 

mobile telecommunications protocol 

employed (e.g., GSM); 

f.4. Radio Frequency (RF) monitoring 

equipment designed or modified to identify 

the operation of items specified in 5A001.f.1, 

5A001.f.2 or 5A001.f.3. 

Note: 5A001.f.1 and 5A001.f.2 do not 

apply to any of the following: 

a. Equipment ‘‘specially designed’’ for the 

interception of analog Private Mobile Radio 

(PMR), IEEE 802.11 WLAN; 

b. Equipment designed for mobile 

telecommunications network operators; or 

c. Equipment designed for the 

‘‘development’’ or ‘‘production’’ of mobile 

telecommunications equipment or systems. 

N.B. 1: See also the International Traffic 

in Arms Regulations (ITAR) (22 CFR parts 

120–130). For items specified by 5A001.f.1 

(including as previously specified by 

5A001.i), see also 5A980 and the U.S. 

Munitions List (22 CFR part 121). 

N.B. 2: For radio receivers see 5A001.b.5. 

g. Passive Coherent Location (PCL) systems 

or equipment, ‘‘specially designed’’ for 

detecting and tracking moving objects by 

measuring reflections of ambient radio 

frequency emissions, supplied by non-radar 

transmitters. 

Technical Note: For the purposes of 

5A001.g, non-radar transmitters may include 

commercial radio, television or cellular 

telecommunications base stations. 

Note: 5A001.g. does not control: 

a. Radio-astronomical equipment; or 

b. Systems or equipment, that require any 

radio transmission from the target. 

h. Counter Improvised Explosive Device 

(IED) equipment and related equipment, as 

follows: 

h.1. Radio Frequency (RF) transmitting 

equipment, not specified by 5A001.f, 

designed or modified for prematurely 

activating or preventing the initiation of 

Improvised Explosive Devices (IEDs); 

h.2. Equipment using techniques designed 

to enable radio communications in the same 

frequency channels on which co-located 

equipment specified by 5A001.h.1 is 

transmitting. 

N.B.: See also Category XI of the 

International Traffic in Arms Regulations 

(ITAR) (22 CFR parts 120–130). 

i. [Reserved] 

N.B.: See 5A001.f.1 for items previously 

specified by 5A001.i. 

j. IP network communications surveillance 

systems or equipment, and ‘‘specially 

designed’’ components therefor, having all of 

the following: 

j.1. Performing all of the following on a 

carrier class IP network (e.g., national grade 

IP backbone): 

j.1.a. Analysis at the application layer (e.g., 

Layer 7 of Open Systems Interconnection 

(OSI) model (ISO/IEC 7498–1)); 

j.1.b. Extraction of selected metadata and 

application content (e.g., voice, video, 

messages, attachments); and 

j.1.c. Indexing of extracted data; and 

j.2. Being ‘‘specially designed’’ to carry out 

all of the following: 

j.2.a. Execution of searches on the basis of 

‘‘hard selectors’’; and 

j.2.b. Mapping of the relational network of 

an individual or of a group of people. 

Note: 5A001.j does not apply to ‘‘systems’’ 

or ‘‘equipment’’, ‘‘specially designed’’ for any 

of the following: 

a. Marketing purpose; 

b. Network Quality of Service (QoS); or 

c. Quality of Experience (QoE). 

N.B.: See also the International Traffic in 

Arms Regulations (ITAR) (22 CFR parts 120– 

130). Defense articles described in USML 

Category XI(b) are ‘‘subject to the ITAR.’’ 

* * * * * 

Category 5—Telecommunications and 

‘‘Information Security’’ 

Part 2—‘‘Information Security’’ 

* * * * * 

Technical Note: For the purposes of the 

Cryptography Note, ‘executable software’ 

means ‘‘software’’ in executable form, from 


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an existing hardware component excluded 

from 5A002, by the Cryptography Note. 

* * * * * 

5A002 ‘‘Information security’’ systems, 

equipment and ‘‘components,’’ as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT, EI 

Control(s) 

Country Chart (See 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

EI applies to entire 

entry.

Refer to § 742.15 of 

the EAR. 

License Requirements Note: See 

§ 744.17 of the EAR for additional license 

requirements for microprocessors having a 

processing speed of 5 GFLOPS or more and 

an arithmetic logic unit with an access width 

of 32 bit or more, including those 

incorporating ‘‘information security’’ 

functionality, and associated ‘‘software’’ and 

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

‘‘development’’ of such microprocessors. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: Yes: $500 for ‘‘components’’. 

N/A for systems and equipment. 

GBS: N/A 

ENC: Yes for certain EI controlled 

commodities, see § 740.17 of the EAR for 

eligibility. 

List of Items Controlled 

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

‘‘components’’ providing the means or 

functions necessary for ‘‘information 

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

presumptively ‘‘specially designed’’ and 

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

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

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

systems, equipment, and components 

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

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

system’’ receiving equipment containing or 

employing decryption see 7A005, and for 

related decryption ‘‘software’’ and 

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

Noting that items may be controlled 

elsewhere on the CCL, examples of items 

not controlled by ECCN 5A002.a.4 include 

the following: (a) An automobile where the 

only ‘cryptography for data confidentiality’ 

having a ‘described security algorithm’ is 

performed by a Category 5—Part 2 Note 3 

eligible mobile telephone that is built into 

the car. In this case, secure phone 

communications support a non-primary 

function of the automobile but the mobile 

telephone (equipment), as a standalone 

item, is not controlled by ECCN 5A002 

because it is excluded by the Cryptography 

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

exercise bike with an embedded Category 

5—Part 2 Note 3 eligible web browser, 

where the only controlled cryptography is 

performed by the web browser. In this case, 

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

the web browser (‘‘software’’), as a 

standalone item, is not controlled by ECCN 

5D002 because it is excluded by the 

Cryptography Note (Note 3) (See ECCN 

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

§ 740.17(b) of the EAR, mass market 

encryption commodities that meet 

eligibility requirements are released from 

‘‘EI’’ and ‘‘NS’’ controls. These 

commodities are designated 5A992.c. 

Related Definitions: N/A 

Items: 

a. Designed or modified to use 

‘cryptography for data confidentiality’ having 

a ‘described security algorithm’, where that 

cryptographic capability is usable, has been 

activated, or can be activated by any means 

other than secure ‘‘cryptographic activation’’, 

as follows: 

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

a primary function; 

a.2. Digital communication or networking 

systems, equipment or components, not 

specified in paragraph 5A002.a.1; 

a.3. Computers, other items having 

information storage or processing as a 

primary function, and components therefor, 

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

N.B.: For operating systems see also 

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

a.4. Items, not specified in paragraphs 

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

data confidentiality’ having a ‘described 

security algorithm’ meets all of the following: 

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

the item; and 

a.4.b. It is performed by incorporated 

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

standalone item, be specified by ECCNs 

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

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

Control Paragraph (4) of this ECCN 5A002 for 

examples of items not controlled by 

5A002.a.4. 

Technical Notes: 

1. For the purposes of 5A002.a, 

‘cryptography for data confidentiality’ means 

‘‘cryptography’’ that employs digital 

techniques and performs any cryptographic 

function other than any of the following: 

1.a. ‘‘Authentication;’’ 

1.b. Digital signature; 

1.c. Data integrity; 

1.d. Non-repudiation; 

1.e. Digital rights management, including 

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

1.f. Encryption or decryption in support of 

entertainment, mass commercial broadcasts 

or medical records management; or 

1.g. Key management in support of any 

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

this Technical Note paragraph 1. 

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

security algorithm’ means any of the 

following: 

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

key length in excess of 56 bits, not including 

parity bits; 

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

security of the algorithm is based on any of 

the following: 

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

512 bits (e.g., RSA); 

2.b.2. Computation of discrete logarithms 

in a multiplicative group of a finite field of 

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

over Z/pZ); or 

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

than mentioned in paragraph 2.b.2 of this 

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

Diffie-Hellman over an elliptic curve); or 

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

security of the algorithm is based on any of 

the following: 

2.c.1. Shortest vector or closest vector 

problems associated with lattices (e.g., 

NewHope, Frodo, NTRUEncrypt, Kyber, 

Titanium); 

2.c.2. Finding isogenies between 

Supersingular elliptic curves (e.g., 

Supersingular Isogeny Key Encapsulation); or 

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

McEliece, Niederreiter). 

Technical Note: An algorithm described 

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

being post-quantum, quantum-safe or 

quantum-resistant. 

Note 1: Details of items must be accessible 

and provided upon request, in order to 

establish any of the following: 

a. Whether the item meets the criteria of 

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

b. Whether the cryptographic capability for 

data confidentiality specified by 5A002.a is 

usable without ‘‘cryptographic activation.’’ 

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

the following items, or specially designed 

‘‘information security’’ components therefor: 

a. Smart cards and smart card ‘readers/ 

writers’ as follows: 

a.1. A smart card or an electronically 

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

e-passport) that meets any of the following: 

a.1.a. The cryptographic capability meets 

all of the following: 

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

following: 

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

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

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

‘cryptography for data confidentiality’ having 

a ‘described security algorithm’; or 

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

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

and 

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

other use; or 

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

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

to allow protection of ‘personal data’ stored 

within; 

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

personalized for public or commercial 

transactions or individual identification; and 

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

is not user-accessible; 

Technical Note to paragraph a.1.b.1 of 

Note 2: For the purposes of 5A002.a Note 

2.a.1.b.1, ‘personal data’ includes any data 

specific to a particular person or entity, such 

as the amount of money stored and data 

necessary for ‘‘authentication.’’ 

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

modified, and limited, for items specified by 

paragraph a.1 of this Note; 

Technical Note to paragraph a.2 of 

Note 2: For the purposes of 5A002.a Note 

2.a.2, ‘readers/writers’ include equipment 

that communicates with smart cards or 

electronically readable documents through a 

network. 


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b. Cryptographic equipment specially 

designed and limited for banking use or 

‘money transactions’; 

Technical Note to paragraph b of Note 

2: For the purposes of 5A002.a Note 2.b, 

‘money transactions’ in 5A002 Note 2 

paragraph b. includes the collection and 

settlement of fares or credit functions. 

c. Portable or mobile radiotelephones for 

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

cellular radio communication systems) that 

are not capable of transmitting encrypted 

data directly to another radiotelephone or 

equipment (other than Radio Access Network 

(RAN) equipment), nor of passing encrypted 

data through RAN equipment (e.g., Radio 

Network Controller (RNC) or Base Station 

Controller (BSC)); 

d. Cordless telephone equipment not 

capable of end-to-end encryption where the 

maximum effective range of unboosted 

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

hop between terminal and home base station) 

is less than 400 meters according to the 

manufacturer’s specifications; 

e. Portable or mobile radiotelephones and 

similar client wireless devices for civil use, 

that implement only published or 

commercial cryptographic standards (except 

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

paragraphs a.2 to a.4 of the Cryptography 

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

been customized for a specific civil industry 

application with features that do not affect 

the cryptographic functionality of these 

original non-customized devices; 

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

functionality is limited to wireless ‘‘personal 

area network’’ functionality implementing 

only published or commercial cryptographic 

standards; 

g. Mobile telecommunications Radio 

Access Network (RAN) equipment designed 

for civil use, which also meet the provisions 

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

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

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

or less, and supporting 16 or fewer 

concurrent users; 

h. Routers, switches, gateways or relays, 

where the ‘‘information security’’ 

functionality is limited to the tasks of 

‘‘Operations, Administration or 

Maintenance’’ (‘‘OAM’’) implementing only 

published or commercial cryptographic 

standards; 

i. General purpose computing equipment 

or servers, where the ‘‘information security’’ 

functionality meets all of the following: 

i.1. Uses only published or commercial 

cryptographic standards; and 

i.2. Is any of the following: 

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

provisions of Note 3 in Category 5—Part 2; 

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

is not specified by 5D002; or 

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

or 

j. Items specially designed for a ‘connected 

civil industry application’, meeting all of the 

following: 

j.1. Being any of the following: 

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

meeting any of the following: 

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

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

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

or 

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

‘connected civil industry application’; or 

j.1.b. Networking equipment meeting all of 

the following: 

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

communicate with the devices specified by 

paragraph j.1.a. above; and 

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

functionality is limited to supporting the 

‘connected civil industry application’ of 

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

or the tasks of ‘‘OAM’’ of this networking 

equipment or of other items specified by 

paragraph j. of this Note; and 

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

functionality implements only published or 

commercial cryptographic standards, and the 

cryptographic functionality cannot easily be 

changed by the user. 

Technical Notes: 

1. For the purposes of 5A002.a Note 2.j, 

‘connected civil industry application’ means 

a network-connected consumer or civil 

industry application other than ‘‘information 

security’’, digital communication, general 

purpose networking or computing. 

2. For the purposes of 5A002.a Note 

2.j.1.a.1, ‘non-arbitrary data’ means sensor or 

metering data directly related to the stability, 

performance or physical measurement of a 

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

mass, volume, voltage, physical location, 

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

the device. 

b. Being a ‘cryptographic activation token’; 

Technical Note: For the purposes of 

5A002.b, a ‘cryptographic activation token’ is 

an item designed or modified for any of the 

following: 

1. Converting, by means of ‘‘cryptographic 

activation’’, an item not specified by Category 

5–Part 2 into an item specified by 5A002.a or 

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

Cryptography Note (Note 3 in Category 5– 

Part 2); or 

2. Enabling by means of ‘‘cryptographic 

activation’’, additional functionality 

specified by 5A002.a of an item already 

specified by Category 5–Part 2; 

c. Designed or modified to use or perform 

‘‘quantum cryptography’’; 

Technical Note: For the purposes of 

5A002.c, ‘‘quantum cryptography’’ is also 

known as Quantum Key Distribution (QKD). 

d. Designed or modified to use 

cryptographic techniques to generate 

channelizing codes, scrambling codes or 

network identification codes, for systems 

using ultra-wideband modulation techniques 

and having any of the following: 

d.1. A bandwidth exceeding 500 MHz; or 

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

more; 

e. Designed or modified to use 

cryptographic techniques to generate the 

spreading code for ‘‘spread spectrum’’ 

systems, not specified by 5A002.d, including 

the hopping code for ‘‘frequency hopping’’ 

systems. 

* * * * * 

5A004 ‘‘Systems,’’ ‘‘equipment’’ and 

‘‘components’’ for defeating, weakening 

or bypassing ‘‘information security,’’ as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT, EI 

Control(s) 

Country chart (see 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

EI applies to entire 

entry.

Refer to§ 742.15 of 

the EAR 

License Requirements Note: See 

§ 744.17 of the EAR for additional license 

requirements for microprocessors having a 

processing speed of 5 GFLOPS or more and 

an arithmetic logic unit with an access width 

of 32 bit or more, including those 

incorporating ‘‘information security’’ 

functionality, and associated ‘‘software’’ and 

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

‘‘development’’ of such microprocessors. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: Yes: $500 for ‘‘components.’’ 

N/A for systems and equipment. 

GBS: N/A 

ENC: Yes for certain EI controlled 

commodities. See § 740.17 of the EAR for 

eligibility. 

List of Items Controlled 

Related Controls: ECCN 5A004.a controls 

‘‘components’’ providing the means or 

functions necessary for ‘‘information 

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

presumptively ‘‘specially designed’’ and 

controlled by 5A004.a. 

Related Definitions: N/A 

Items: 

a. Designed or modified to perform 

‘cryptanalytic functions.’ 

Note: 5A004.a includes systems or 

equipment, designed or modified to perform 

‘cryptanalytic functions’ by means of reverse 

engineering. 

Technical Note: For the purposes of 

5A004.a, ‘cryptanalytic functions’ are 

functions designed to defeat cryptographic 

mechanisms in order to derive confidential 

variables or sensitive data, including clear 

text passwords or cryptographic keys. 

b. Items, not specified by ECCNs 4A005 or 

5A004.a, designed to perform all of the 

following: 

b.1. ‘Extract raw data’ from a computing or 

communications device; and 

b.2. Circumvent ‘‘authentication’’ or 

authorization controls of the device, in order 

to perform the function described in 

5A004.b.1. 

Technical Note: For the purposes of 

5A004.b.1, ‘extract raw data’ from a 

computing or communications device means 

to retrieve binary data from a storage 

medium, e.g., RAM, flash or hard disk, of the 

device without interpretation by the device’s 

operating system or filesystem. 

Note 1: 5A004.b does not apply to systems 

or equipment specially designed for the 

‘‘development’’ or ‘‘production’’ of a 

computing or communications device. 

Note 2: 5A004.b does not include: 

a. Debuggers, hypervisors; 


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b. Items limited to logical data extraction; 

c. Data extraction items using chip-off or 

JTAG; or 

d. Items specially designed and limited to 

jail-breaking or rooting. 

* * * * * 

6A001 Acoustic systems, equipment and 

‘‘components,’’ as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country Chart (See 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $3000; N/A for 6A001.a.1.b.1 object 

detection and location systems having a 

transmitting frequency below 5 kHz or a 

sound pressure level exceeding 210 dB 

(reference 1 mPa at 1 m) for equipment with 

an operating frequency in the band from 2 

kHz to 30 kHz inclusive; 6A001.a.1.e, 

6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3, 

a.2.a.5, a.2.a.6, 6A001.a.2.b; processing 

equipment controlled by 6A001.a.2.c, and 

‘‘specially designed’’ for real-time 

application with towed acoustic 

hydrophone arrays; a.2.e.1, a.2.e.2; and 

bottom or bay cable systems controlled by 

6A001.a.2.f and having processing 

equipment ‘‘specially designed’’ for realtime application with bottom or bay cable 

systems. 

GBS: Yes for 6A001.a.1.b.4. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship commodities in 6A001.a.1.b, 

6A001.a.1.e or 6A001.a.2 (except .a.2.a.4) 

to any of the destinations listed in Country 

Group A:6 (See Supplement No.1 to part 

740 of the EAR). 

List of Items Controlled 

Related Controls: See also 6A991. 

Related Definitions: N/A 

Items: 

a. Marine acoustic systems, equipment and 

‘‘specially designed’’ ‘‘components’’ therefor, 

as follows: 

a.1. Active (transmitting or transmittingand-receiving) systems, equipment and 

‘‘specially designed’’ ‘‘components’’ therefor, 

as follows: 

Note: 6A001.a.1 does not control 

equipment as follows: 

a. Depth sounders operating vertically 

below the apparatus, not including a 

scanning function exceeding ± 20°, and 

limited to measuring the depth of water, the 

distance of submerged or buried objects or 

fish finding; 

b. Acoustic beacons, as follows: 

1. Acoustic emergency beacons; 

2. Pingers ‘‘specially designed’’ for 

relocating or returning to an underwater 

position. 

a.1.a. Acoustic seabed survey equipment as 

follows: 

a.1.a.1. Surface vessel survey equipment 

designed for sea bed topographic mapping 

and having all of the following: 

a.1.a.1.a. Designed to take measurements at 

an angle exceeding 20° from the vertical; 

a.1.a.1.b. Designed to measure seabed 

topography at seabed depths exceeding 600 

m; 

a.1.a.1.c.‘Sounding resolution’ less than 2; 

and 

a.1.a.1.d. ’Enhancement’ of the depth 

‘‘accuracy’’ through compensation for all the 

following: 

a.1.a.1.d.1. Motion of the acoustic sensor; 

a.1.a.1.d.2. In-water propagation from 

sensor to the seabed and back; and 

a.1.a.1.d.3. Sound speed at the sensor; 

Technical Notes: 

1. For the purposes of 6A001.a.1.a.1.c, 

‘sounding resolution’ is the swath width 

(degrees) divided by the maximum number of 

soundings per swath. 

2. For the purposes of 6A001.a.1.a, 

‘enhancement’ includes the ability to 

compensate by external means. 

a.1.a.2. Underwater survey equipment 

designed for seabed topographic mapping 

and having any of the following: 

Technical Note: For the purposes of 

6A001.a.1.a.2, the acoustic sensor pressure 

rating determines the depth rating. 

a.1.a.2.a. Having all of the following: 

a.1.a.2.a.1. Designed or modified to operate 

at depths exceeding 300 m; and 

a.1.a.2.a.2. ‘Sounding rate’ greater than 

3,800 m/s; or 

Technical Note: For the purposes of 

6A001.a.1.a.2.a.2, ‘sounding rate’ is the 

product of the maximum speed (m/s) at 

which the sensor can operate and the 

maximum number of soundings per swath 

assuming 100% coverage. For systems that 

produce soundings in two directions (3D 

sonars), the maximum of the ‘sounding rate’ 

in either direction should be used. 

a.1.a.2.b. Survey equipment, not specified 

by 6A001.a.1.a.2.a, having all of the 

following: 

a.1.a.2.b.1. Designed or modified to operate 

at depths exceeding 100 m; 

a.1.a.2.b.2. Designed to take measurements 

at an angle exceeding 20° from the vertical; 

a.1.a.2.b.3. Having any of the following: 

a.1.a.2.b.3.a. Operating frequency below 

350 kHz; or 

a.1.a.2.b.3.b. Designed to measure seabed 

topography at a range exceeding 200 m from 

the acoustic sensor; and 

a.1.a.2.b.4. ‘Enhancement’ of the depth 

‘‘accuracy’’ through compensation of all of 

the following: 

a.1.a.2.b.4.a. Motion of the acoustic sensor; 

a.1.a.2.b.4.b. In-water propagation from 

sensor to the seabed and back; and 

a.1.a.2.b.4.c. Sound speed at the sensor. 

a.1.a.3. Side Scan Sonar (SSS) or Synthetic 

Aperture Sonar (SAS), designed for seabed 

imaging and having all of the following, and 

‘‘specially designed’’ transmitting and 

receiving acoustic arrays therefor: 

a.1.a.3.a. Designed or modified to operate 

at depths exceeding 500 m; and 

a.1.a.3.b. An ’area coverage rate’ of greater 

than 570 m2/s while operating at the 

maximum range that it can operate with an 

‘along track resolution’ of less than 15 cm; 

and 

a.1.a.3.c. An ‘across track resolution’ of less 

than 15 cm; 

Technical Notes: 

For the purposes of 6A001.a.1.a.3: 

1. ‘Area coverage rate’ (m2/s) is twice the 

product of the sonar range (m) and the 

maximum speed (m/s) at which the sensor 

can operate at that range. 

2. ‘Along track resolution’ (cm), for SSS 

only, is the product of azimuth (horizontal) 

beamwidth (degrees) and sonar range (m) 

and 0.873. 

3. ‘Across track resolution’ (cm) is 75 

divided by the signal bandwidth (kHz). 

a.1.b Systems or transmitting and receiving 

arrays, designed for object detection or 

location, having any of the following: 

a.1.b.1. A transmitting frequency below 10 

kHz; 

a.1.b.2. Sound pressure level exceeding 

224dB (reference 1 mPa at 1 m) for equipment 

with an operating frequency in the band from 

10 kHz to 24 kHz inclusive; 

a.1.b.3. Sound pressure level exceeding 

235 dB (reference 1 mPa at 1 m) for 

equipment with an operating frequency in 

the band between 24 kHz and 30 kHz; 

a.1.b.4. Forming beams of less than 1° on 

any axis and having an operating frequency 

of less than 100 kHz; 

a.1.b.5. Designed to operate with an 

unambiguous display range exceeding 5,120 

m; or 

a.1.b.6. Designed to withstand pressure 

during normal operation at depths exceeding 

1,000 m and having transducers with any of 

the following: 

a.1.b.6.a. Dynamic compensation for 

pressure; or 

a.1.b.6.b. Incorporating other than lead 

zirconate titanate as the transduction 

element; 

a.1.c. Acoustic projectors, including 

transducers, incorporating piezoelectric, 

magnetostrictive, electrostrictive, 

electrodynamic or hydraulic elements 

operating individually or in a designed 

combination and having any of the following: 

Notes: 

1. The control status of acoustic projectors, 

including transducers, ‘‘specially designed’’ 

for other equipment is determined by the 

control status of the other equipment. 

2. 6A001.a.1.c does not control electronic 

sources that direct the sound vertically only, 

or mechanical (e.g., air gun or vapor-shock 

gun) or chemical (e.g., explosive) sources. 

3. Piezoelectric elements specified in 

6A001.a.1.c include those made from leadmagnesium-niobate/lead-titanate 

(Pb(Mg1/3Nb2/3)O3-PbTiO3, or PMN–PT) single 

crystals grown from solid solution or leadindium-niobate/lead-magnesium niobate/ 

lead-titanate (Pb(In1/2Nb1/2)O3– 

Pb(Mg1/3Nb2/3)O3–PbTiO3, or PIN–PMN–PT) 

single crystals grown from solid solution. 

a.1.c.1. Operating at frequencies below 10 

kHz and having any of the following: 

a.1.c.1.a. Not designed for continuous 

operation at 100% duty cycle and having a 


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radiated ‘free-field Source Level (SLRMS)’ 

exceeding (10log(f) + 169.77)dB (reference 1 

mPa at 1 m) where f is the frequency in Hertz 

of maximum Transmitting Voltage Response 

(TVR) below 10 kHz; or 

a.1.c.1.b. Designed for continuous 

operation at 100% duty cycle and having a 

continuously radiated ‘free-field Source 

Level (SLRMS)’ at 100% duty cycle 

exceeding (10log(f) + 159.77)dB (reference 1 

mPa at 1 m) where f is the frequency in Hertz 

of maximum Transmitting Voltage Response 

(TVR) below 10 kHz; or 

Technical Note: For the purposes of 

6A001.a.1.c.1, the ‘free-field Source Level 

(SLRMS)’ is defined along the maximum 

response axis and in the far field of the 

acoustic projector. It can be obtained from 

the Transmitting Voltage Response using the 

following equation: SLRMS = (TVR + 20log 

VRMS) dB (ref 1mPa at 1 m), where SLRMS is 

the source level, TVR is the Transmitting 

Voltage Response and VRMS is the Driving 

Voltage of the Projector. 

a.1.c.2. [Reserved] 

N.B. See 6A001.a.1.c.1 for items previously 

specified in 6A001.a.1.c.2. 

a.1.c.3. Side-lobe suppression exceeding 22 

dB; 

a.1.d. Acoustic systems and equipment, 

designed to determine the position of surface 

vessels or underwater vehicles and having all 

of the following, and ‘‘specially designed’’ 

‘‘components’’ therefor: 

a.1.d.1. Detection range exceeding 1,000 m; 

and 

a.1.d.2. Determined position error of less 

than 10 m rms (root mean square) when 

measured at a range of 1,000 m; 

Note: 6A001.a.1.d includes: 

a. Equipment using coherent ‘‘signal 

processing’’ between two or more beacons 

and the hydrophone unit carried by the 

surface vessel or underwater vehicle; 

b. Equipment capable of automatically 

correcting speed-of-sound propagation errors 

for calculation of a point. 

a.1.e. Active individual sonars, ‘‘specially 

designed’’ or modified to detect, locate and 

automatically classify swimmers or divers, 

having all of the following, and ‘‘specially 

designed’’ transmitting and receiving 

acoustic arrays therefor: 

a.1.e.1. Detection range exceeding 530 m; 

a.1.e.2. Determined position error of less 

than 15 m rms (root mean square) when 

measured at a range of 530 m; and 

a.1.e.3. Transmitted pulse signal 

bandwidth exceeding 3 kHz; 

N.B.: For diver detection systems 

‘‘specially designed’’ or modified for military 

use, see the U.S. Munitions List in the 

International Traffic in Arms Regulations 

(ITAR) (22 CFR part 121). 

Note: For 6A001.a.1.e, where multiple 

detection ranges are specified for various 

environments, the greatest detection range is 

used. 

a.2. Passive systems, equipment and 

‘‘specially designed’’ ‘‘components’’ therefor, 

as follows: 

Note: 6A001.a.2 also applies to receiving 

equipment, whether or not related in normal 

application to separate active equipment, 

and ‘‘specially designed’’ components 

therefor. 

a.2.a. Hydrophones having any of the 

following: 

Note: The control status of hydrophones 

‘‘specially designed’’ for other equipment is 

determined by the control status of the other 

equipment. 

Technical Notes: 

For the purposes of 6A001.a.2.a: 

1. Hydrophones consist of one or more 

sensing elements producing a single acoustic 

output channel. Those that contain multiple 

elements can be referred to as a hydrophone 

group. 

2. Underwater acoustic transducers 

designed to operate as passive receivers are 

hydrophones. 

a.2.a.1. Incorporating continuous flexible 

sensing elements; 

a.2.a.2. Incorporating flexible assemblies of 

discrete sensing elements with either a 

diameter or length less than 20 mm and with 

a separation between elements of less than 20 

mm; 

a.2.a.3. Having any of the following sensing 

elements: 

a.2.a.3.a. Optical fibers; 

a.2.a.3.b. ‘Piezoelectric polymer films’ 

other than polyvinylidene-fluoride (PVDF) 

and its co-polymers {P(VDF-TrFE) and 

P(VDF–TFE)}; 

a.2.a.3.c. ‘Flexible piezoelectric 

composites’; 

a.2.a.3.d. Lead-magnesium- niobate/leadtitanate (i.e., Pb(Mg1/3Nb2/3)O3-PbTiO3, or 

PMN–PT) piezoelectric single crystals grown 

from solid solution; or 

a.2.a.3.e. Lead-indium-niobate/leadmagnesium niobate/lead-titanate (i.e., 

Pb(In1/2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3–PbTiO3, or 

PIN–PMN–PT) piezoelectric single crystals 

grown from solid solution; 

a.2.a.4. A ‘hydrophone sensitivity’ better 

than ¥180dB at any depth with no 

acceleration compensation; 

a.2.a.5. Designed to operate at depths 

exceeding 35 m with acceleration 

compensation; or 

a.2.a.6. Designed for operation at depths 

exceeding 1,000 m and having a ‘hydrophone 

sensitivity’ better than ¥230 dB below 4 

kHz; 

Technical Notes: 

1. For the purposes of 6A001.a.2.a.3.b, 

‘piezoelectric polymer film’ sensing elements 

consist of polarized polymer film that is 

stretched over and attached to a supporting 

frame or spool (mandrel). 

2. For the purposes of 6A001.a.2.a.3.c, 

‘flexible piezoelectric composite’ sensing 

elements consist of piezoelectric ceramic 

particles or fibers combined with an 

electrically insulating, acoustically 

transparent rubber, polymer or epoxy 

compound, where the compound is an 

integral part of the sensing elements. 

3. For the purposes of 6A001.a.2.a, 

‘hydrophone sensitivity’ is defined as twenty 

times the logarithm to the base 10 of the ratio 

of rms output voltage to a 1 V rms reference, 

when the hydrophone sensor, without a preamplifier, is placed in a plane wave acoustic 

field with an rms pressure of 1 mPa. For 

example, a hydrophone of ¥160 dB 

(reference 1 V per mPa) would yield an output 

voltage of 10¥8 V in such a field, while one 

of ¥180 dB sensitivity would yield only 10¥9

V output. Thus, ¥160 dB is better than ¥180 

dB. 

a.2.b. Towed acoustic hydrophone arrays 

having any of the following: 

Technical Note: For the purposes of 

6A001.a.2.b, hydrophones arrays consist of a 

number of hydrophones providing multiple 

acoustic output channels. 

a.2.b.1. Hydrophone group spacing of less 

than 12.5 m or ‘able to be modified’ to have 

hydrophone group spacing of less than 12.5 

m; 

a.2.b.2. Designed or ‘able to be modified’ to 

operate at depths exceeding 35m; 

Technical Note: For the purposes of 

6A001.a.2.b.2, ‘able to be modified’ in 

6A001.a.2.b means having provisions to 

allow a change of the wiring or 

interconnections to alter hydrophone group 

spacing or operating depth limits. These 

provisions are: spare wiring exceeding 10% 

of the number of wires, hydrophone group 

spacing adjustment blocks or internal depth 

limiting devices that are adjustable or that 

control more than one hydrophone group. 

a.2.b.3. Heading sensors controlled by 

6A001.a.2.d; 

a.2.b.4. Longitudinally reinforced array 

hoses; 

a.2.b.5. An assembled array of less than 40 

mm in diameter; 

a.2.b.6. [Reserved]; 

a.2.b.7. Hydrophone characteristics 

controlled by 6A001.a.2.a; or 

a.2.b.8. Accelerometer-based hydroacoustic sensors specified by 6A001.a.2.g; 

a.2.c. Processing equipment, ‘‘specially 

designed’’ for towed acoustic hydrophone 

arrays, having ‘‘user-accessible 

programmability’’ and time or frequency 

domain processing and correlation, including 

spectral analysis, digital filtering and 

beamforming using Fast Fourier or other 

transforms or processes; 

a.2.d. Heading sensors having all of the 

following: 

a.2.d.1. An ‘‘accuracy’’ of better than ± 0.5°; 

and 

a.2.d.2. Designed to operate at depths 

exceeding 35 m or having an adjustable or 

removable depth sensing device in order to 

operate at depths exceeding 35 m; 

N.B.: For inertial heading systems, see 

7A003.c. 

a.2.e. Bottom or bay-cable hydrophone 

arrays having any of the following: 

a.2.e.1. Incorporating hydrophones 

controlled by 6A001.a.2.a; 

a.2.e.2. Incorporating multiplexed 

hydrophone group signal modules having all 

of the following characteristics: 

a.2.e.2.a. Designed to operate at depths 

exceeding 35 m or having an adjustable or 

removal depth sensing device in order to 

operate at depths exceeding 35 m; and 

a.2.e.2.b. Capable of being operationally 

interchanged with towed acoustic 

hydrophone array modules; or 

a.2.e.3. Incorporating accelerometer-based 

hydro-acoustic sensors specified by 

6A001.a.2.g; 

a.2.f. Processing equipment, ‘‘specially 

designed’’ for bottom or bay cable systems, 

having ‘‘user-accessible programmability’’ 

and time or frequency domain processing 

and correlation, including spectral analysis, 


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digital filtering and beamforming using Fast 

Fourier or other transforms or processes; 

a.2.g. Accelerometer-based hydro-acoustic 

sensors having all of the following: 

a.2.g.1. Composed of three accelerometers 

arranged along three distinct axes; 

a.2.g.2. Having an overall ‘acceleration 

sensitivity’ better than 48 dB (reference 1,000 

mV rms per 1g); 

a.2.g.3. Designed to operate at depths 

greater than 35 meters; and 

a.2.g.4. Operating frequency below 20 kHz; 

Note: 6A001.a.2.g does not apply to 

particle velocity sensors or geophones. 

Technical Notes: 

1. For the purposes of 6A001.a.2.g, 

accelerometer-based hydro-acoustic sensors 

are also known as vector sensors. 

2. For the purposes of 6A001.a.2.g.2, 

‘acceleration sensitivity’ is defined as twenty 

times the logarithm to the base 10 of the ratio 

of rms output voltage to a 1 V rms reference, 

when the hydro-acoustic sensor, without a 

preamplifier, is placed in a plane wave 

acoustic field with an rms acceleration of 1 

g (i.e., 9.81 m/s2). 

b. Correlation-velocity and Dopplervelocity sonar log equipment designed to 

measure the horizontal speed of the 

equipment carrier relative to the sea bed, as 

follows: 

b.1. Correlation-velocity sonar log 

equipment having any of the following 

characteristics: 

b.1.a. Designed to operate at distances 

between the carrier and the sea bed 

exceeding 500 m; or 

b.1.b. Having speed ‘‘accuracy’’ better than 

1% of speed; 

b.2. Doppler-velocity sonar log equipment 

having speed ‘‘accuracy’’ better than 1% of 

speed; 

Note 1: 6A001.b does not apply to depth 

sounders limited to any of the following: 

a. Measuring the depth of water; 

b. Measuring the distance of submerged or 

buried objects; or 

c. Fish finding. 

Note 2: 6A001.b does not apply to 

equipment ‘‘specially designed’’ for 

installation on surface vessels. 

c. [Reserved] 

N.B.: For diver deterrent acoustic systems, 

see 8A002.r. 

6A002 Optical sensors and equipment, and 

‘‘components’’ therefor, as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, CC, RS, AT, UN 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

MT applies to optical 

detectors in 

6A002.a.1, or a.3 

that are ‘‘specially 

designed’’ or modified to protect 

‘‘missiles’’ against 

nuclear effects 

(e.g., Electromagnetic Pulse 

(EMP), X-rays, 

combined blast and 

thermal effects), 

and usable for 

‘‘missiles’’.

MT Column 1 

RS applies to 

6A002.a.1, a.2, a.3 

(except a.3.d.2.a 

and a.3.e for lead 

selenide based 

focal plane arrays 

(FPAs)), .c, and .f..

RS Column 1 

CC applies to policemodel infrared 

viewers in 6A002.c.

CC Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to 

6A002.a.1, a.2, a.3 

and .c.

See § 746.1(b) for UN 

controls 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $500 for 6A002.f. 

$3000; except N/A for MT and for 6A002.a.1, 

a.2, a.3, .c, and .f. 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See USML Category 

XII(e) for infrared focal plane arrays, image 

intensifier tubes, and related parts and 

components, subject to the ITAR. (2) See 

USML Category XV(e) for space-qualified 

focal plane arrays subject to the ITAR. (3) 

See also ECCNs 6A102, 6A202, and 6A992. 

(4) See ECCN 0A919 for foreign-made 

military commodities that incorporate 

commodities described in 6A002. (5) 

Section 744.9 imposes a license 

requirement on commodities described in 

ECCN 6A002 if being exported, reexported, 

or transferred (in-country) for use by a 

military end-user or for incorporation into 

an item controlled by ECCN 0A919. (6) See 

USML Categories XII(e) and XV(e)(3) for 

read-out integrated circuits ‘‘subject to the 

ITAR.’’ (7) See 6B002 for masks and 

reticles, ‘‘specially designed’’ for optical 

sensors specified by 6A002.a.1.b or 

6A002.a.1.d. 

Related Definitions: N/A 

Items: 

a. Optical detectors as follows: 

a.1. ‘‘Space-qualified’’ solid-state detectors 

as follows: 

Note: For the purposes of 6A002.a.1, solidstate detectors include ‘‘focal plane arrays’’. 

a.1.a. ‘‘Space-qualified’’ solid-state 

detectors having all of the following: 

a.1.a.1. A peak response in the wavelength 

range exceeding 10 nm but not exceeding 300 

nm; and 

a.1.a.2. A response of less than 0.1% 

relative to the peak response at a wavelength 

exceeding 400 nm; 

a.1.b. ‘‘Space-qualified’’ solid-state 

detectors having all of the following: 

a.1.b.1. A peak response in the wavelength 

range exceeding 900 nm but not exceeding 

1,200 nm; and 

a.1.b.2. A response ‘‘time constant’’ of 95 

ns or less; 

a.1.c. ‘‘Space-qualified’’ solid-state 

detectors having a peak response in the 

wavelength range exceeding 1,200 nm but 

not exceeding 30,000 nm; 

a.1.d. ‘‘Space-qualified’’ ‘‘focal plane 

arrays’’ having more than 2,048 elements per 

array and having a peak response in the 

wavelength range exceeding 300 nm but not 

exceeding 900 nm; 

a.2. Image intensifier tubes and ‘‘specially 

designed’’ ‘‘components’’ therefor, as follows: 

Note: 6A002.a.2 does not control nonimaging photomultiplier tubes having an 

electron sensing device in the vacuum space 

limited solely to any of the following: 

a. A single metal anode; or 

b. Metal anodes with a center to center 

spacing greater than 500 mm. 

Technical Note: For the purposes of 

6A002.a.2, ‘charge multiplication’ is a form 

of electronic image amplification and is 

defined as the generation of charge carriers 

as a result of an impact ionization gain 

process. ‘Charge multiplication’ sensors may 

take the form of an image intensifier tube, 

solid state detector or ‘‘focal plane array’’. 

a.2.a. Image intensifier tubes having all of 

the following: 

a.2.a.1. A peak response in the wavelength 

range exceeding 400 nm but not exceeding 

1,050 nm; 

a.2.a.2. Electron image amplification using 

any of the following: 

a.2.a.2.a. A microchannel plate with a hole 

pitch (center-to-center spacing) of 12 mm or 

less; or 

a.2.a.2.b. An electron sensing device with 

a non-binned pixel pitch of 500 mm or less, 

‘‘specially designed’’ or modified to achieve 

‘charge multiplication’ other than by a 

microchannel plate; and 

a.2.a.3. Any of the following 

photocathodes: 

a.2.a.3.a. Multialkali photocathodes (e.g., 

S–20 and S–5) having a luminous sensitivity 

exceeding 350 mA/lm; 

a.2.a.3.b. GaAs or GaInAs photocathodes; 

or 

a.2.a.3.c. Other ‘‘III–V compound’’ 

semiconductor photocathodes having a 

maximum ‘‘radiant sensitivity’’ exceeding 10 

mA/W; 

a.2.b. Image intensifier tubes having all of 

the following: 

a.2.b.1. A peak response in the wavelength 

range exceeding 1,050 nm but not exceeding 

1,800 nm; 

a.2.b.2. Electron image amplification using 

any of the following: 


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a.2.b.2.a. A microchannel plate with a hole 

pitch (center-to-center spacing) of 12 mm or 

less; or 

a.2.b.2.b. An electron sensing device with 

a non-binned pixel pitch of 500 mm or less, 

‘‘specially designed’’ or modified to achieve 

‘charge multiplication’ other than by a 

microchannel plate; and 

a.2.b.3. ‘‘III/V compound’’ semiconductor 

(e.g., GaAs or GaInAs) photocathodes and 

transferred electron photocathodes, having a 

maximum ‘‘radiant sensitivity’’ exceeding 15 

mA/W; 

a.2.c. ‘‘Specially designed’’ ‘‘components’’ 

as follows: 

a.2.c.1. Microchannel plates having a hole 

pitch (center-to-center spacing) of 12 mm or 

less; 

a.2.c.2. An electron sensing device with a 

non-binned pixel pitch of 500 mm or less, 

‘‘specially designed’’ or modified to achieve 

‘charge multiplication’ other than by a 

microchannel plate; 

a.2.c.3. ‘‘III–V compound’’ semiconductor 

(e.g., GaAs or GaInAs) photocathodes and 

transferred electron photocathodes; 

Note: 6A002.a.2.c.3 does not control 

compound semiconductor photocathodes 

designed to achieve a maximum ‘‘radiant 

sensitivity’’ of any of the following: 

a. 10 mA/W or less at the peak response 

in the wavelength range exceeding 400 nm 

but not exceeding 1,050 nm; or 

b. 15 mA/W or less at the peak response 

in the wavelength range exceeding 1,050 nm 

but not exceeding 1,800 nm. 

a.3. Non-‘‘space-qualified’’ ‘‘focal plane 

arrays’’ as follows: 

N.B.: ‘Microbolometer’ non-‘‘spacequalified’’ ‘‘focal plane arrays’’ are only 

specified by 6A002.a.3.f. 

Technical Note: For the purposes of 

6A002.a.3, linear or two-dimensional multielement detector arrays are referred to as 

‘‘focal plane arrays’’; 

Note 1: 6A002.a.3 includes 

photoconductive arrays and photovoltaic 

arrays. 

Note 2: 6A002.a.3 does not control: 

a. Multi-element (not to exceed 16 

elements) encapsulated photoconductive 

cells using either lead sulphide or lead 

selenide; 

b. Pyroelectric detectors using any of the 

following: 

b.1. Triglycine sulphate and variants; 

b.2. Lead-lanthanum-zirconium titanate 

and variants; 

b.3. Lithium tantalate; 

b.4. Polyvinylidene fluoride and variants; 

or 

b.5. Strontium barium niobate and 

variants. 

c. ‘‘Focal plane arrays’’ ‘‘specially 

designed’’ or modified to achieve ‘charge 

multiplication’ and limited by design to have 

a maximum ‘‘radiant sensitivity’’ of 10 mA/ 

W or less for wavelengths exceeding 760 nm, 

having all of the following: 

c.1. Incorporating a response limiting 

mechanism designed not to be removed or 

modified; and 

c.2. Any of the following: 

c.2.a. The response limiting mechanism is 

integral to or combined with the detector 

element; or 

c.2.b. The ‘‘focal plane array’’ is only 

operable with the response limiting 

mechanism in place. 

d. Thermopile arrays having less than 

5,130 elements; 

Technical Note: For the purposes of 

6A002.a.3 Note 2.c.2.a, a response limiting 

mechanism integral to the detector element 

is designed not to be removed or modified 

without rendering the detector inoperable. 

a.3.a. Non-‘‘space-qualified’’ ‘‘focal plane 

arrays’’ having all of the following: 

a.3.a.1. Individual elements with a peak 

response within the wavelength range 

exceeding 900 nm but not exceeding 1,050 

nm; and 

a.3.a.2. Any of the following: 

a.3.a.2.a. A response ‘‘time constant’’ of 

less than 0.5 ns; or 

a.3.a.2.b. ‘‘Specially designed’’ or modified 

to achieve ‘charge multiplication’ and having 

a maximum ‘‘radiant sensitivity’’ exceeding 

10 mA/W; 

a.3.b. Non-‘‘space-qualified’’ ‘‘focal plane 

arrays’’ having all of the following: 

a.3.b.1. Individual elements with a peak 

response in the wavelength range exceeding 

1,050 nm but not exceeding 1,200 nm; and 

a.3.b.2. Any of the following: 

a.3.b.2.a. A response ‘‘time constant’’ of 95 

ns or less; or 

a.3.b.2.b. ‘‘Specially designed’’ or modified 

to achieve ‘charge multiplication’ and having 

a maximum ‘‘radiant sensitivity’’ exceeding 

10 mA/W; 

a.3.c. Non-‘‘space-qualified’’ non-linear (2- 

dimensional) ‘‘focal plane arrays’’ having 

individual elements with a peak response in 

the wavelength range exceeding 1,200 nm but 

not exceeding 30,000 nm; 

N.B.: Silicon and other material based 

‘microbolometer’ non-‘‘space-qualified’’ 

‘‘focal plane arrays’’ are only specified by 

6A002.a.3.f. 

a.3.d. Non-‘‘space-qualified’’ linear (1- 

dimensional) ‘‘focal plane arrays’’ having all 

of the following: 

a.3.d.1. Individual elements with a peak 

response in the wavelength range exceeding 

1,200 nm but not exceeding 3,000 nm; and 

a.3.d.2. Any of the following: 

a.3.d.2.a. A ratio of ‘scan direction’ 

dimension of the detector element to the 

‘cross-scan direction’ dimension of the 

detector element of less than 3.8; or 

a.3.d.2.b. Signal processing in the detector 

elements; 

Note: 6A002.a.3.d does not control ‘‘focal 

plane arrays’’ (not to exceed 32 elements) 

having detector elements limited solely to 

germanium material. 

Technical Note: For the purposes of 

6A002.a.3.d, ‘cross-scan direction’ is defined 

as the axis parallel to the linear array of 

detector elements and the ‘scan direction’ is 

defined as the axis perpendicular to the 

linear array of detector elements. 

a.3.e. Non-‘‘space-qualified’’ linear (1- 

dimensional) ‘‘focal plane arrays’’ having 

individual elements with a peak response in 

the wavelength range exceeding 3,000 nm but 

not exceeding 30,000 nm; 

a.3.f. Non-‘‘space-qualified’’ non-linear (2- 

dimensional) infrared ‘‘focal plane arrays’’ 

based on ‘microbolometer’ material having 

individual elements with an unfiltered 

response in the wavelength range equal to or 

exceeding 8,000 nm but not exceeding 14,000 

nm; 

Technical Note: For the purposes of 

6A002.a.3.f, ‘microbolometer’ is defined as a 

thermal imaging detector that, as a result of 

a temperature change in the detector caused 

by the absorption of infrared radiation, is 

used to generate any usable signal. 

a.3.g. Non-‘‘space-qualified’’ ‘‘focal plane 

arrays’’ having all of the following: 

a.3.g.1. Individual detector elements with a 

peak response in the wavelength range 

exceeding 400 nm but not exceeding 900 nm; 

a.3.g.2. ‘‘Specially designed’’ or modified 

to achieve ‘charge multiplication’ and having 

a maximum ‘‘radiant sensitivity’’ exceeding 

10 mA/W for wavelengths exceeding 760 nm; 

and 

a.3.g.3. Greater than 32 elements; 

b. ‘‘Monospectral imaging sensors’’ and 

‘‘multispectral imaging sensors’’, designed 

for remote sensing applications and having 

any of the following: 

b.1. An Instantaneous-Field-Of-View 

(IFOV) of less than 200 mrad (microradians); 

or 

b.2. Specified for operation in the 

wavelength range exceeding 400 nm but not 

exceeding 30,000 nm and having all the 

following: 

b.2.a. Providing output imaging data in 

digital format; and 

b.2.b. Having any of the following 

characteristics: 

b.2.b.1. ‘‘Space-qualified’’; or 

b.2.b.2. Designed for airborne operation, 

using other than silicon detectors, and having 

an IFOV of less than 2.5 mrad (milliradians); 

Note: 6A002.b.1 does not control 

‘‘monospectral imaging sensors’’ with a peak 

response in the wavelength range exceeding 

300 nm but not exceeding 900 nm and only 

incorporating any of the following non- 

‘‘space-qualified’’ detectors or non -‘‘spacequalified’’ ‘‘focal plane arrays’’: 

a. Charge Coupled Devices (CCD) not 

designed or modified to achieve ‘charge 

multiplication’; or 

b. Complementary Metal Oxide 

Semiconductor (CMOS) devices not designed 

or modified to achieve ‘charge 

multiplication’. 

c. ‘Direct view’ imaging equipment 

incorporating any of the following: 

c.1. Image intensifier tubes having the 

characteristics listed in 6A002.a.2.a or 

6A002.a.2.b; 

c.2. ‘‘Focal plane arrays’’ having the 

characteristics listed in 6A002.a.3; or 

c.3. Solid state detectors specified by 

6A002.a.1; 

Technical Note: For the purposes of 

6A002.c,‘direct view’ refers to imaging 

equipment that presents a visual image to a 

human observer without converting the 

image into an electronic signal for television 

display, and that cannot record or store the 

image photographically, electronically or by 

any other means. 

Note: 6A002.c does not control equipment 

as follows, when incorporating other than 

GaAs or GaInAs photocathodes: 

a. Industrial or civilian intrusion alarm, 

traffic or industrial movement control or 

counting systems; 


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Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71967 

b. Medical equipment; 

c. Industrial equipment used for 

inspection, sorting or analysis of the 

properties of materials; 

d. Flame detectors for industrial furnaces; 

e. Equipment ‘‘specially designed’’ for 

laboratory use. 

d. Special support ‘‘components’’ for 

optical sensors, as follows: 

d.1. ‘‘Space-qualified’’ cryocoolers; 

d.2. Non-‘‘space-qualified’’ cryocoolers 

having a cooling source temperature below 

218 K (¥55 °C), as follows: 

d.2.a. Closed cycle type with a specified 

Mean-Time-To-Failure (MTTF) or MeanTime-Between-Failures (MTBF), exceeding 

2,500 hours; 

d.2.b. Joule-Thomson (JT) self-regulating 

minicoolers having bore (outside) diameters 

of less than 8 mm; 

d.3. Optical sensing fibers specially 

fabricated either compositionally or 

structurally, or modified by coating, to be 

acoustically, thermally, inertially, 

electromagnetically or nuclear radiation 

sensitive. 

Note: 6A002.d.3 does not apply to 

encapsulated optical sensing fibers 

‘‘specially designed’’ for bore hole sensing 

applications. 

e. [Reserved] 

f. ‘Read-Out Integrated Circuits’ (‘ROIC’) 

‘‘specially designed’’ for ‘‘focal plane arrays’’ 

specified by 6A002.a.3. 

Note: 6A002.f does not apply to read-out 

integrated circuits ‘‘specially designed’’ for 

civil automotive applications. 

Technical Note: For the purposes of 

6A002.f, a ‘Read-Out Integrated Circuit’ 

(‘ROIC’) is an integrated circuit designed to 

underlie or be bonded to a ‘‘focal plane 

array’’ (‘‘FPA’’) and used to read-out (i.e., 

extract and register) signals produced by the 

detector elements. At a minimum the ‘ROIC’ 

reads the charge from the detector elements 

by extracting the charge and applying a 

multiplexing function in a manner that 

retains the relative spatial position and 

orientation information of the detector 

elements for processing inside or outside the 

‘ROIC’. 

6A003 Cameras, systems or equipment, 

and ‘‘components’’ therefor, as follows 

(see List of Items Controlled). 

License Requirements 

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

Control(s) 

Country chart (see 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

NP applies to cameras controlled by 

6A003.a.3 or a.4 

and to plug-ins in 

6A003.a.6 for cameras controlled by 

6A003.a.3 or a.4.

NP Column 1 

Control(s) 

Country chart (see 

Supp. No. 1 to part 

738) 

RS applies to 

6A003.b.3, 

6A003.b.4.a, 

6A003.b.4.c and to 

items controlled in 

6A003.b.4.b that 

have a frame rate 

greater than 60 Hz 

or that incorporate 

a focal plane array 

with more than 

111,000 elements, 

or to items in 

6A003.b.4.b when 

being exported or 

reexported to be 

embedded in a civil 

product. (But see 

§ 742.6(a)(2)(iii) 

and (v) for certain 

exemptions).

RS Column 1 

RS applies to items 

controlled in 

6A003.b.4.b that 

have a frame rate 

of 60 Hz or less 

and that incorporate a focal 

plane array with 

not more than 

111,000 elements if 

not being exported 

or reexported to be 

embedded in a civil 

product.

RS Column 2 

AT applies to entire 

entry.

AT Column 1 

UN applies to 

6A003.b.3 and b.4.

See § 746.1(b) for UN 

controls 

License Requirement Note: Commodities 

that are not subject to the ITAR but are of 

the type described in USML Category XII(c) 

are controlled as cameras in ECCN 6A003 

when they incorporate a camera controlled 

in this ECCN. 

Reporting Requirements 

See § 743.3 of the EAR for thermal camera 

reporting for exports that are not authorized 

by an individually validated license of 

thermal imaging cameras controlled by ECCN 

6A003.b.4.b to destinations in Country Group 

A:1 (see Supplement No. 1 to part 740 of the 

EAR), must be reported to BIS. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $1,500, except N/A for 6A003.a.3 

through a.6, b.1, b.3 and b.4 

GBS: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any commodity in 6A003.b.3 

or b.4 to any of the destinations listed in 

Country Group A:6 (See Supplement No. 1 

to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) See ECCNs 6E001 

(‘‘development’’), 6E002 (‘‘production’’), and 

6E201 (‘‘use’’) for technology for items 

controlled under this entry. (2) Also see 

ECCN 6A203. (3) See ECCN 0A919 for foreign 

made military commodities that incorporate 

cameras described in 6A003. (4) Section 

744.9 imposes a license requirement on 

cameras described in 6A003 if being 

exported, reexported, or transferred (incountry) for use by a military end-user or for 

incorporation into a commodity controlled 

by ECCN 0A919. (5) See USML Category 

XII(c) and (e) for cameras subject to the ITAR. 

Related Definitions: N/A. 

Items: 

a. Instrumentation cameras and ‘‘specially 

designed’’ ‘‘components’’ therefor, as follows: 

Note: Instrumentation cameras, controlled 

by 6A003.a.3 to 6A003.a.5, with modular 

structures should be evaluated by their 

maximum capability, using plug-ins 

available according to the camera 

manufacturer’s specifications. 

a.1. [Reserved] 

a.2. [Reserved] 

a.3. Electronic streak cameras having 

temporal resolution better than 50 ns; 

a.4. Electronic framing cameras having a 

speed exceeding 1,000,000 frames/s; 

a.5. Electronic cameras having all of the 

following: 

a.5.a. An electronic shutter speed (gating 

capability) of less than 1ms per full frame; 

and 

a.5.b. A read out time allowing a framing 

rate of more than 125 full frames per second; 

a.6. Plug-ins having all of the following 

characteristics: 

a.6.a. ‘‘Specially designed’’ for 

instrumentation cameras which have 

modular structures and that are controlled by 

6A003.a; and 

a.6.b. Enabling these cameras to meet the 

characteristics specified by 6A003.a.3, 

6A003.a.4 or 6A003.a.5, according to the 

manufacturer’s specifications; 

b. Imaging cameras as follows: 

Note: 6A003.b does not control television 

or video cameras ‘‘specially designed’’ for 

television broadcasting. 

b.1. Video cameras incorporating solid 

state sensors, having a peak response in the 

wavelength range exceeding 10 nm, but not 

exceeding 30,000 nm and having all of the 

following: 

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

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

per solid state array for monochrome (black 

and white) cameras; 

b.1.a.2. More than 4 × 106 ‘‘active pixels’’ 

per solid state array for color cameras 

incorporating three solid state arrays; or 

b.1.a.3. More than 12 × 106 ‘‘active pixels’’ 

for solid state array color cameras 

incorporating one solid state array; and 

b.1.b. Having any of the following: 

b.1.b.1. Optical mirrors controlled by 

6A004.a.; 

b.1.b.2. Optical control equipment 

controlled by 6A004.d.; or 

b.1.b.3. The capability for annotating 

internally generated ‘camera tracking data’; 

Technical Notes: 

1. For the purposes of 6A003.b.1, digital 

video cameras should be evaluated by the 

maximum number of ‘‘active pixels’’ used for 

capturing moving images. 

2. For the purposes of 6A003.b.1.b.3, 

‘camera tracking data’ is the information 


ddrumheller on DSK120RN23PROD with RULES2
71968 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

necessary to define camera line of sight 

orientation with respect to the earth. This 

includes: (1) the horizontal angle the camera 

line of sight makes with respect to the earth’s 

magnetic field direction and; (2) the vertical 

angle between the camera line of sight and 

the earth’s horizon. 

b.2. Scanning cameras and scanning 

camera systems, having all of the following: 

b.2.a. A peak response in the wavelength 

range exceeding 10 nm, but not exceeding 

30,000 nm; 

b.2.b. Linear detector arrays with more 

than 8,192 elements per array; and 

b.2.c. Mechanical scanning in one 

direction; 

Note: 6A003.b.2 does not apply to 

scanning cameras and scanning camera 

systems, ‘‘specially designed’’ for any of the 

following: 

a. Industrial or civilian photocopiers; 

b. Image scanners ‘‘specially designed’’ for 

civil, stationary, close proximity scanning 

applications (e.g., reproduction of images or 

print contained in documents, artwork or 

photographs); or 

c. Medical equipment. 

b.3. Imaging cameras incorporating image 

intensifier tubes having the characteristics 

listed in 6A002.a.2.a or 6A002.a.2.b; 

b.4. Imaging cameras incorporating ‘‘focal 

plane arrays’’ having any of the following: 

b.4.a. Incorporating ‘‘focal plane arrays’’ 

controlled by 6A002.a.3.a to 6A002.a.3.e; 

b.4.b. Incorporating ‘‘focal plane arrays’’ 

controlled by 6A002.a.3.f; or 

b.4.c. Incorporating ‘‘focal plane arrays’’ 

controlled by 6A002.a.3.g; 

Note 1: Imaging cameras described in 

6A003.b.4 include ‘‘focal plane arrays’’ 

combined with sufficient ‘‘signal processing’’ 

electronics, beyond the read out integrated 

circuit, to enable as a minimum the output 

of an analog or digital signal once power is 

supplied. 

Note 2: 6A003.b.4.a does not control 

imaging cameras incorporating linear ‘‘focal 

plane arrays’’ with 12 elements or fewer, not 

employing time-delay-and-integration within 

the element and designed for any of the 

following: 

a. Industrial or civilian intrusion alarm, 

traffic or industrial movement control or 

counting systems; 

b. Industrial equipment used for inspection 

or monitoring of heat flows in buildings, 

equipment or industrial processes; 

c. Industrial equipment used for 

inspection, sorting or analysis of the 

properties of materials; 

d. Equipment ‘‘specially designed’’ for 

laboratory use; or 

e. Medical equipment. 

Note 3: 6A003.b.4.b does not control 

imaging cameras having any of the following: 

a. A maximum frame rate equal to or less 

than 9 Hz; 

b. Having all of the following: 

1. Having a minimum horizontal or vertical 

‘Instantaneous-Field-of-View (IFOV)’ of at 

least 2 mrad (milliradians); 

2. Incorporating a fixed focal-length lens 

that is not designed to be removed; 

3. Not incorporating a ‘direct view’ display; 

and 

Technical Note: For the purposes of 

6A003.b.4 Note 3.b.3, ’direct view’ refers to 

an imaging camera operating in the infrared 

spectrum that presents a visual image to a 

human observer using a near-to-eye micro 

display incorporating any light-security 

mechanism. 

4. Having any of the following: 

a. No facility to obtain a viewable image of 

the detected field-of-view; or 

b. The camera is designed for a single kind 

of application and designed not to be user 

modified; or 

Technical Note: 

For the purposes of 6A003.b.4 Note 3.b.1, 

‘Instantaneous-Field-of-View (IFOV)’ is the 

lesser figure of the ‘Horizontal IFOV’ or the 

‘Vertical IFOV’. 

‘Horizontal IFOV’ = horizontal Field-ofView (FOV)/number of horizontal detector 

elements. 

‘Vertical IFOV’ = vertical Field-of-View 

(FOV)/number of vertical detector elements. 

c. The camera is ‘‘specially designed’’ for 

installation into a civilian passenger land 

vehicle and having all of the following: 

1. The placement and configuration of the 

camera within the vehicle are solely to assist 

the driver in the safe operation of the vehicle; 

2. Is operable only when installed in any 

of the following: 

a. The civilian passenger land vehicle for 

which it was intended and the vehicle weighs 

less than 4,500 kg (gross vehicle weight); or 

b. A ‘‘specially designed’’, authorized 

maintenance test facility; and 

3. Incorporates an active mechanism that 

forces the camera not to function when it is 

removed from the vehicle for which it was 

intended. 

Note: When necessary, details of the items 

will be provided, upon request, to the Bureau 

of Industry and Security in order to ascertain 

compliance with the conditions described in 

Note 3.b.4 and Note 3.c in this Note to 

6A003.b.4.b. 

Note 4: 6A003.b.4.c does not apply to 

‘imaging cameras’ having any of the 

following characteristics: 

a. Having all of the following: 

1. Where the camera is ‘‘specially 

designed’’ for installation as an integrated 

component into indoor and wall-plugoperated systems or equipment, limited by 

design for a single kind of application, as 

follows: 

a. Industrial process monitoring, quality 

control, or analysis of the properties of 

materials; 

b. Laboratory equipment ‘‘specially 

designed’’ for scientific research; 

c. Medical equipment; 

d. Financial fraud detection equipment; 

and 

2. Is only operable when installed in any 

of the following: 

a. The system(s) or equipment for which it 

was intended; or 

b. A ‘‘specially designed,’’ authorized 

maintenance facility; and 

3. Incorporates an active mechanism that 

forces the camera not to function when it is 

removed from the system(s) or equipment for 

which it was intended; 

b. Where the camera is ‘‘specially 

designed’’ for installation into a civilian 

passenger land vehicle or passenger and 

vehicle ferries and having all of the following: 

1. The placement and configuration of the 

camera within the vehicle or ferry are solely 

to assist the driver or operator in the safe 

operation of the vehicle or ferry; 

2. Is only operable when installed in any 

of the following: 

a. The civilian passenger land vehicle for 

which it was intended and the vehicle weighs 

less than 4,500 kg (gross vehicle weight); 

b. The passenger and vehicle ferry for 

which it was intended and having a length 

overall (LOA) 65 m or greater; or 

c. A ‘‘specially designed’’, authorized 

maintenance test facility; and 

3. Incorporates an active mechanism that 

forces the camera not to function when it is 

removed from the vehicle for which it was 

intended; 

c. Limited by design to have a maximum 

‘‘radiant sensitivity’’ of 10 mA/W or less for 

wavelengths exceeding 760 nm, having all of 

the following: 

1. Incorporating a response limiting 

mechanism designed not to be removed or 

modified; and 

2. Incorporates an active mechanism that 

forces the camera not to function when the 

response limiting mechanism is removed; 

and 

3. Not ‘‘specially designed’’ or modified for 

underwater use; or 

d. Having all of the following: 

1. Not incorporating a ‘direct view’ or 

electronic image display; 

2. Has no facility to output a viewable 

image of the detected field of view; 

3. The ‘‘focal plane array’’ is only operable 

when installed in the camera for which it was 

intended; and 

4. The ‘‘focal plane array’’ incorporates an 

active mechanism that forces it to be 

permanently inoperable when removed from 

the camera for which it was intended. 

Note: When necessary, details of the item 

will be provided, upon request, to the Bureau 

of Industry and Security in order to ascertain 

compliance with the conditions described in 

Note 4 above. 

b.5. Imaging cameras incorporating solidstate detectors specified by 6A002.a.1. 

6A004 Optical equipment and 

‘‘components,’’ as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart (see 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $3000 

GBS: Yes for 6A004.a.1, a.2, a.4, .b, d.2, and 

.f. 


ddrumheller on DSK120RN23PROD with RULES2
Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71969 

Special Conditions for STA 

STA: Paragraph (c)(2) of License Exception 

STA may not be used to ship any 

commodity in 6A004.c or .d to any of the 

destinations listed in Country Group A:6 

(See Supplement No. 1 to part 740 of the 

EAR). 

List of Items Controlled 

Related Controls: (1) For optical mirrors or 

‘aspheric optical elements’ ‘‘specially 

designed’’ for lithography ‘‘equipment,’’ 

see ECCN 3B001. (2) See USML Category 

XII(e) for gimbals ‘‘subject to the ITAR.’’ (3) 

See also 6A994. 

Related Definitions: An ‘aspheric optical 

element’ is any element used in an optical 

system whose imaging surface or surfaces 

are designed to depart from the shape of an 

ideal sphere. 

Items: 

a. Optical mirrors (reflectors) as follows: 

Technical Note: For the purposes of 

6A004.a, Laser Induced Damage Threshold 

(LIDT) is measured according to ISO 21254– 

1:2011. 

a.1. ‘Deformable mirrors’ having an active 

optical aperture greater than 10 mm and 

having any of the following, and ‘‘specially 

designed’’ components therefor: 

a.1.a. Having all the following: 

a.1.a.1. A mechanical resonant frequency 

of 750 Hz or more; and 

a.1.a.2. More than 200 actuators; or 

a.1.b. A Laser Induced Damage Threshold 

(LIDT) being any of the following: 

a.1.b.1. Greater than 1 kW/cm2 using a 

‘‘CW laser’’; or 

a.1.b.2. Greater than 2 J/cm2 using 20 ns 

‘‘laser’’ pulses at 20 Hz repetition rate; 

Technical Notes: 

For the purposes of 6A004.a.1: 

1. ‘Deformable mirrors’ are mirrors having 

any of the following: 

a. A single continuous optical reflecting 

surface which is dynamically deformed by 

the application of individual torques or 

forces to compensate for distortions in the 

optical waveform incident upon the mirror; 

or 

b. Multiple optical reflecting elements that 

can be individually and dynamically 

repositioned by the application of torques or 

forces to compensate for distortions in the 

optical waveform incident upon the mirror. 

2. ‘Deformable mirrors’ are also known as 

adaptive optic mirrors. 

a.2. Lightweight monolithic mirrors having 

an average ‘‘equivalent density’’ of less than 

30 kg/m2 and a total mass exceeding 10 kg; 

a.3. Lightweight ‘‘composite’’ or foam 

mirror structures having an average 

‘‘equivalent density’’ of less than 30 kg/m2

and a total mass exceeding 2 kg; 

Note: 6A004.a.2 and 6A004.a.3 do not 

apply to mirrors ‘‘specially designed’’ to 

direct solar radiation for terrestrial heliostat 

installations. 

a.4. Mirrors ‘‘specially designed’’ for beam 

steering mirror stages specified in 

6A004.d.2.a with a flatness of l/10 or better 

(l is equal to 633 nm) and having any of the 

following: 

a.4.a. Diameter or major axis length greater 

than or equal to 100 mm; or 

a.4.b. Having all of the following: 

a.4.b.1. Diameter or major axis length 

greater than 50 mm but less than 100 mm; 

and 

a.4.b.2. A Laser Induced Damage Threshold 

(LIDT) being any of the following: 

a.4.b.2.a. Greater than 10 kW/cm2 using a 

‘‘CW laser’’; or 

a.4.b.2.b. Greater than 20 J/cm2 using 20 ns 

‘‘laser’’ pulses at 20 Hz repetition rate; 

N.B. For optical mirrors ‘‘specially 

designed’’ for lithography equipment, see 

3B001. 

b. Optical ‘‘components’’ made from zinc 

selenide (ZnSe) or zinc sulfide (ZnS) with 

transmission in the wavelength range 

exceeding 3,000 nm but not exceeding 25,000 

nm and having any of the following: 

b.1. Exceeding 100 cm3 in volume; or 

b.2. Exceeding 80 mm in diameter or 

length of major axis and 20 mm in thickness 

(depth); 

c. ‘‘Space-qualified’’ ‘‘components’’ for 

optical systems, as follows: 

c.1. ‘‘Components’’ lightweighted to less 

than 20% ‘‘equivalent density’’ compared 

with a solid blank of the same aperture and 

thickness; 

c.2. Raw substrates, processed substrates 

having surface coatings (single-layer or multilayer, metallic or dielectric, conducting, 

semiconducting or insulating) or having 

protective films; 

c.3. Segments or assemblies of mirrors 

designed to be assembled in space into an 

optical system with a collecting aperture 

equivalent to or larger than a single optic 1 

m in diameter; 

c.4. ‘‘Components’’ manufactured from 

‘‘composite’’ materials having a coefficient of 

linear thermal expansion, in any coordinate 

direction, equal to or less than 5 × 10¥6/K; 

d. Optical control equipment as follows: 

d.1. Equipment ‘‘specially designed’’ to 

maintain the surface figure or orientation of 

the ‘‘space-qualified’’ ‘‘components’’ 

controlled by 6A004.c.1 or 6A004.c.3; 

d.2. Steering, tracking, stabilisation and 

resonator alignment equipment as follows: 

d.2.a. Beam steering mirror stages designed 

to carry mirrors having diameter or major 

axis length greater than 50 mm and having 

all of the following, and ‘‘specially designed’’ 

electronic control equipment therefor: 

d.2.a.1. A maximum angular travel of ±26 

mrad or more; 

d.2.a.2. A mechanical resonant frequency 

of 500 Hz or more; and 

d.2.a.3. An angular ‘‘accuracy’’ of 10 mrad 

(microradians) or less (better); 

d.2.b. Resonator alignment equipment 

having bandwidths equal to or more than 100 

Hz and an ‘‘accuracy’’ of 10 mrad or less 

(better); 

d.3. Gimbals having all of the following: 

d.3.a. A maximum slew exceeding 5°; 

d.3.b. A bandwidth of 100 Hz or more; 

d.3.c. Angular pointing errors of 200 mrad 

(microradians) or less; and 

d.3.d. Having any of the following: 

d.3.d.1. Exceeding 0.15 m but not 

exceeding 1 m in diameter or major axis 

length and capable of angular accelerations 

exceeding 2 rad (radians)/s2; or 

d.3.d.2. Exceeding 1 m in diameter or 

major axis length and capable of angular 

accelerations exceeding 0.5 rad (radians)/s2; 

d.4. [Reserved] 

e. ‘Aspheric optical elements’ having all of 

the following: 

e.1. Largest dimension of the opticalaperture greater than 400 mm; 

e.2. Surface roughness less than 1 nm (rms) 

for sampling lengths equal to or greater than 

1 mm; and 

e.3. Coefficient of linear thermal 

expansion’s absolute magnitude less than 3 × 

10¥6/K at 25°C; 

Technical Note: 

1. For the purposes of 6A004.e, an 

‘aspheric optical element’ is any element 

used in an optical system whose imaging 

surface or surfaces are designed to depart 

from the shape of an ideal sphere. 

2. For the purposes of 6A004.e.2, 

manufacturers are not required to measure 

the surface roughness unless the optical 

element was designed or manufactured with 

the intent to meet, or exceed, the control 

parameter. 

Note: 6A004.e does not control ‘aspheric 

optical elements’ having any of the following: 

a. Largest optical-aperture dimension less 

than 1 m and focal length to aperture ratio 

equal to or greater than 4.5:1; 

b. Largest optical-aperture dimension 

equal to or greater than 1 m and focal length 

to aperture ratio equal to or greater than 7:1; 

c. Designed as Fresnel, flyeye, stripe, prism 

or diffractive optical elements; 

d. Fabricated from borosilicate glass 

having a coefficient of linear thermal 

expansion greater than 2.5 × 10¥6/K at 25 °C; 

or 

e. An x-ray optical element having inner 

mirror capabilities (e.g., tube-type mirrors). 

f. Dynamic wavefront measuring 

equipment having all of the following: 

f.1. ‘Frame rates’ equal to or more than 1 

kHz; and 

f.2. A wavefront accuracy equal to or less 

(better) than l/20 at the designed wavelength. 

Technical Note: For the purposes of 

6A004.f, ‘frame rate’ is a frequency at which 

all ‘‘active pixels’’ in the ‘‘focal plane array’’ 

are integrated for recording images projected 

by the wavefront sensor optics. 

6A005 ‘‘Lasers’’, ‘‘components’’ and optical 

equipment, as follows (see List of Items 

Controlled), excluding items that are 

subject to the export licensing authority 

of the Nuclear Regulatory Commission 

(see 10 CFR part 110). 

License Requirements 

Reason for Control: NS, NP, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

NP applies to lasers 

controlled by 

6A005.a.2, a.3, a.4, 

b.2.b, b.3, b.4, 

b.6.c, c.1.b, c.2.b, 

d.2, d.3.c, or d.4.c 

that meet or exceed the technical 

parameters described in 6A205.

NP Column 1 


ddrumheller on DSK120RN23PROD with RULES2
71970 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A for NP items 

$3000 for all other items 

GBS: Neodymium-doped (other than glass) 

‘‘lasers’’ controlled by 6A005.b.6.d.2 

(except 6A005.b.6.d.2.b) that have an 

output wavelength exceeding 1,000 nm, 

but not exceeding 1,100 nm, and an 

average or CW output power not exceeding 

2 kW, and operate in a pulse-excited, non- 

‘‘Q-switched’’ multiple-transverse mode, or 

in a continuously excited, multipletransverse mode; Dye and Liquid Lasers 

controlled by 6A005.c.1, c.2 and c.3, 

except for a pulsed single longitudinal 

mode oscillator having an average output 

power exceeding 1 W and a repetition rate 

exceeding 1 kHz if the ‘‘pulse duration’’ is 

less than 100 ns; CO ‘‘lasers’’ controlled by 

6A005.d.2 having a CW maximum rated 

single or multimode output power not 

exceeding 10 kW; CO2 or CO/CO2 ‘‘lasers’’ 

controlled by 6A005.d.3 having an output 

wavelength in the range from 9,000 to 

11,000 nm and having a pulsed output not 

exceeding 2 J per pulse and a maximum 

rated average single or multimode output 

power not exceeding 5 kW; and CO2

‘‘lasers’’ controlled by 6A005.d.3 that 

operate in CW multiple-transverse mode, 

and having a CW output power not 

exceeding 15 kW. 

List of Items Controlled 

Related Controls (1) See ECCN 6D001 for 

‘‘software’’ for items controlled under this 

entry. (2) See ECCNs 6E001 

(‘‘development’’), 6E002 (‘‘production’’), 

and 6E201 (‘‘use’’) for technology for items 

controlled under this entry. (3) Also see 

ECCNs 6A205 and 6A995. (4) See ECCN 

3B001 for excimer ‘‘lasers’’ ‘‘specially 

designed’’ for lithography equipment. (5) 

‘‘Lasers’’ ‘‘especially designed’’ or prepared 

for use in isotope separation are subject to 

the export licensing authority of the 

Nuclear Regulatory Commission (see 10 

CFR part 110). (6) See USML Category 

XII(b) and (e) for laser systems or lasers 

subject to the ITAR. (7) See USML Category 

XVIII for certain laser-based directed 

energy weapon systems, equipment, and 

components subject to the ITAR. 

Related Definitions: For the purposes of 

6A005: (1) ‘Wall-plug efficiency’ is defined 

as the ratio of ‘‘laser’’ output power (or 

‘‘average output power’’) to total electrical 

input power required to operate the 

‘‘laser’’, including the power supply/ 

conditioning and thermal conditioning/ 

heat exchanger, see 6A005.a.6.b.1 and 

6A005.b.6; (2) ‘Non-repetitive pulsed’ 

refers to ‘‘lasers’’ that produce either a 

single output pulse or that have a time 

interval between pulses exceeding one 

minute, see Note 2 of 6A005 and 

6A005.d.6. 

Items: 

Notes: 

1. Pulsed ‘‘lasers’’ include those that run 

in a continuous wave (CW) mode with pulses 

superimposed. 

2. Excimer, semiconductor, chemical, CO, 

CO2, and ‘non-repetitive pulsed’ Nd:glass 

‘‘lasers’’ are only specified by 6A005.d. 

Technical Note: For the purposes of 

6A005 Note 2, ‘non-repetitive pulsed’ refers 

to ‘‘lasers’’ that produce either a single 

output pulse or that have a time interval 

between pulses exceeding one minute. 

3. 6A005 includes fiber ‘‘lasers’’. 

4. The control status of ‘‘lasers’’ 

incorporating frequency conversion (i.e., 

wavelength change) by means other than one 

‘‘laser’’ pumping another ‘‘laser’’ is 

determined by applying the control 

parameters for both the output of the source 

‘‘laser’’ and the frequency-converted optical 

output. 

5. 6A005 does not control ‘‘lasers’’ as 

follows: 

a. Ruby with output energy below 20 J; 

b. Nitrogen; 

c. Krypton. 

6. For the purposes of 6A005.a and 

6A005.b, ‘single transverse mode’ refers to 

‘‘lasers’’ with a beam profile having an M2- 

factor of less than 1.3, while ‘multiple 

transverse mode’ refers to ‘‘lasers’’ with a 

beam profile having an M2-factor of 1.3 or 

higher 

a. Non-‘‘tunable’’ continuous wave ‘‘(CW) 

lasers’’ having any of the following: 

a.1. Output wavelength less than 150 nm 

and output power exceeding 1W; 

a.2. Output wavelength of 150 nm or more 

but not exceeding 510 nm and output power 

exceeding 30 W; 

Note: 6A005.a.2 does not control Argon 

‘‘lasers’’ having an output power equal to or 

less than 50 W. 

a.3. Output wavelength exceeding 510 nm 

but not exceeding 540 nm and any of the 

following: 

a.3.a. ‘Single transverse mode’ output and 

output power exceeding 50 W; or 

a.3.b. ‘Multiple transverse mode’ output 

and output power exceeding 150 W; 

a.4. Output wavelength exceeding 540 nm 

but not exceeding 800 nm and output power 

exceeding 30 W; 

a.5. Output wavelength exceeding 800 nm 

but not exceeding 975 nm and any of the 

following: 

a.5.a. ‘Single transverse mode’ output and 

output power exceeding 50 W; or 

a.5.b. ‘Multiple transverse mode’ output 

and output power exceeding 80 W; 

a.6. Output wavelength exceeding 975 nm 

but not exceeding 1,150 nm and any of the 

following; 

a.6.a. ‘Single transverse mode’ output and 

any of the following: 

a.6.a.1. Output power exceeding 1,000 W; 

or 

a.6.a.2. Having all of the following: 

a.6.a.2.a. Output power exceeding 500 W; 

and 

a.6.a.2.b. Spectral bandwidth less than 40 

GHz; or 

a.6.b. ‘Multiple transverse mode’ output 

and any of the following: 

a.6.b.1. ‘Wall-plug efficiency’ exceeding 

18% and output power exceeding 1,000 W; 

or 

a.6.b.2. Output power exceeding 2 kW; 

Note 1: 6A005.a.6.b does not control 

‘multiple transverse mode’, industrial 

‘‘lasers’’ with output power exceeding 2 kW 

and not exceeding 6 kW with a total mass 

greater than 1,200 kg. For the purpose of this 

note, total mass includes all ‘‘components’’ 

required to operate the ‘‘laser,’’ e.g., ‘‘laser,’’ 

power supply, heat exchanger, but excludes 

external optics for beam conditioning or 

delivery. 

Note 2: 6A005.a.6.b does not apply to 

‘multiple transverse mode’, industrial 

‘‘lasers’’ having any of the following: 

a. [Reserved]; 

b. Output power exceeding 1 kW but not 

exceeding 1.6 kW and having a BPP 

exceeding 1.25 mm·mrad; 

c. Output power exceeding 1.6 kW but not 

exceeding 2.5 kW and having a BPP 

exceeding 1.7 mm·mrad; 

d. Output power exceeding 2.5 kW but not 

exceeding 3.3 kW and having a BPP 

exceeding 2.5 mm·mrad; 

e. Output power exceeding 3.3 kW but not 

exceeding 6 kW and having a BPP exceeding 

3.5 mm·mrad; 

f. [Reserved] 

g. [Reserved] 

h. Output power exceeding 6 kW but not 

exceeding 8 kW and having a BPP exceeding 

12 mm·mrad; or 

i. Output power exceeding 8 kW but not 

exceeding 10 kW and having a BPP 

exceeding 24 mm·mrad; 

a.7. Output wavelength exceeding 1,150 

nm but not exceeding 1,555 nm and any of 

the following: 

a.7.a. ‘Single transverse mode’ and output 

power exceeding 50 W; or 

a.7.b. ‘Multiple transverse mode’ and 

output power exceeding 80 W; 

a.8. Output wavelength exceeding 1,555 

nm but not exceeding 1,850 nm and output 

power exceeding 1 W; 

a.9. Output wavelength exceeding 1,850 

nm but not exceeding 2,100 nm, and any of 

the following: 

a.9.a. ‘Single transverse mode’ and output 

power exceeding 1 W; or 

a.9.b. ‘Multiple transverse mode’ output 

and output power exceeding 120 W; or 

a.10. Output wavelength exceeding 2,100 

nm and output power exceeding 1 W; 

b. Non-‘‘tunable’’ ‘‘pulsed lasers’’ having 

any of the following: 

b.1. Output wavelength less than 150 nm 

and any of the following: 

b.1.a. Output energy exceeding 50 mJ per 

pulse and ‘‘peak power’’ exceeding 1 W; or 

b.1.b. ‘‘Average output power’’ exceeding 1 

W; 

b.2. Output wavelength of 150 nm or more 

but not exceeding 510 nm and any of the 

following: 

b.2.a. Output energy exceeding 1.5 J per 

pulse and ‘‘peak power’’ exceeding 30 W; or 

b.2.b. ‘‘Average output power’’ exceeding 

30 W; 

Note: 6A005.b.2.b does not control Argon 

‘‘lasers’’ having an ‘‘average output power’’ 

equal to or less than 50 W. 

b.3. Output wavelength exceeding 510 nm, 

but not exceeding 540 nm and any of the 

following: 

b.3.a. ‘Single transverse mode’ output and 

any of the following: 


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b.3.a.1. Output energy exceeding 1.5 J per 

pulse and ‘‘peak power’’ exceeding 50 W; or 

b.3.a.2. ‘‘Average output power’’ exceeding 

80 W; or 

b.3.b. ‘Multiple transverse mode’ output 

and any of the following: 

b.3.b.1. Output energy exceeding 1.5 J per 

pulse and ‘‘peak power’’ exceeding 150 W; or 

b.3.b.2. ‘‘Average output power’’ exceeding 

150 W; 

b.4. Output wavelength exceeding 540 nm 

but not exceeding 800 nm and any of the 

following: 

b.4.a. ‘‘Pulse duration’’ less than 1 ps and 

any of the following: 

b.4.a.1. Output energy exceeding 0.005 J 

per pulse and ‘‘peak power’’ exceeding 5 GW; 

or 

b.4.a.2. ‘‘Average output power’’ exceeding 

20 W; or 

b.4.b. ‘‘Pulse duration’’ equal to or 

exceeding 1 ps and any of the following: 

b.4.b.1. Output energy exceeding 1.5 J per 

pulse and ‘‘peak power’’ exceeding 30 W; or 

b.4.b.2. ‘‘Average output power’’ exceeding 

30 W; 

b.5. Output wavelength exceeding 800 nm 

but not exceeding 975 nm and any of the 

following: 

b.5.a. ‘‘Pulse duration’’ less than 1ps and 

any of the following: 

b.5.a.1. Output energy exceeding 0.005 J 

per pulse and ‘‘peak power’’ exceeding 5 GW; 

or 

b.5.a.2. ‘Single transverse mode’ output 

and ‘‘average output power’’ exceeding 20 W; 

b.5.b. ‘‘Pulse duration’’ equal to or 

exceeding 1 ps and not exceeding 1 ms and 

any of the following: 

b.5.b.1. Output energy exceeding 0.5 J per 

pulse and ‘‘peak power’’ exceeding 50 W; 

b.5.b.2. ‘Single transverse mode’ output 

and ‘‘average output power’’ exceeding 20 W; 

or 

b.5.b.3. ‘Multiple transverse mode’ output 

and ‘‘average output power’’ exceeding 50 W; 

or 

b.5.c. ‘‘Pulse duration’’ exceeding 1 ms and 

any of the following: 

b.5.c.1. Output energy exceeding 2 J per 

pulse and ‘‘peak power’’ exceeding 50 W; 

b.5.c.2. ‘Single transverse mode’ output 

and ‘‘average output power’’ exceeding 50 W; 

or 

b.5.c.3. ‘Multiple transverse mode’ output 

and ‘‘average output power’’ exceeding 80 W. 

b.6. Output wavelength exceeding 975 nm 

but not exceeding 1,150 nm and any of the 

following: 

b.6.a. ‘‘Pulse duration’’ of less than 1 ps, 

and any of the following: 

b.6.a.1. Output ‘‘peak power’’ exceeding 2 

GW per pulse; 

b.6.a.2. ‘‘Average output power’’ exceeding 

30 W; or 

b.6.a.3. Output energy exceeding 0.002 J 

per pulse; 

b.6.b. ‘‘Pulse duration’’ equal to or 

exceeding 1 ps and less than 1 ns, and any 

of the following: 

b.6.b.1. Output ‘‘peak power’’ exceeding 5 

GW per pulse; 

b.6.b.2. ‘‘Average output power’’ exceeding 

50 W; or 

b.6.b.3. Output energy exceeding 0.1 J per 

pulse; 

b.6.c. ‘‘Pulse duration’’ equal to or 

exceeding 1 ns but not exceeding 1 ms and 

any of the following: 

b.6.c.1. ‘Single transverse mode’ output 

and any of the following: 

b.6.c.1.a. ‘‘Peak power’’ exceeding 100 

MW; 

b.6.c.1.b. ‘‘Average output power’’ 

exceeding 20 W limited by design to a 

maximum pulse repetition frequency less 

than or equal to 1 kHz; 

b.6.c.1.c. ‘Wall-plug efficiency’ exceeding 

12%, ‘‘average output power’’ exceeding 100 

W and capable of operating at a pulse 

repetition frequency greater than 1 kHz; 

b.6.c.1.d. ‘‘Average output power’’ 

exceeding 150 W and capable of operating at 

a pulse repetition frequency greater than 1 

kHz; or 

b.6.c.1.e. Output energy exceeding 2 J per 

pulse; or 

b.6.c.2. ‘Multiple transverse mode’ output 

and any of the following: 

b.6.c.2.a. ‘‘Peak power’’ exceeding 400 

MW; 

b.6.c.2.b. ‘Wall-plug efficiency’ exceeding 

18% and ‘‘average output power’’ exceeding 

500 W; 

b.6.c.2.c. ‘‘Average output power’’ 

exceeding 2 kW; or 

b.6.c.2.d. Output energy exceeding 4 J per 

pulse; or 

b.6.d. ‘‘Pulse duration’’ exceeding 1 ms and 

any of the following: 

b.6.d.1. ‘Single transverse mode’ output 

and any of the following: 

b.6.d.1.a. ‘‘Peak power’’ exceeding 500 kW; 

b.6.d.1.b. ‘Wall-plug efficiency’ exceeding 

12% and ‘‘average output power’’ exceeding 

100 W; or 

b.6.d.1.c. ‘‘Average output power’’ 

exceeding 150 W; or 

b.6.d.2. ‘Multiple transverse mode’ output 

and any of the following: 

b.6.d.2.a. ‘‘Peak power’’ exceeding 1 MW; 

b.6.d.2.b. ‘Wall-plug efficiency’ exceeding 

18% and ‘‘average output power’’ exceeding 

500 W; or 

b.6.d.2.c. ‘‘Average output power’’ 

exceeding 2 kW; 

b.7. Output wavelength exceeding 1,150 

nm but not exceeding 1,555 nm and any of 

the following: 

b.7.a. ‘‘Pulse duration’’ not exceeding 1 ms 

and any of the following: 

b.7.a.1. Output energy exceeding 0.5 J per 

pulse and ‘‘peak power’’ exceeding 50 W; 

b.7.a.2. ‘Single transverse mode’ output 

and ‘‘average output power’’ exceeding 20 W; 

or 

b.7.a.3. ‘Multiple transverse mode’ output 

and ‘‘average output power’’ exceeding 50 W; 

or 

b.7.b. ‘‘Pulse duration’’ exceeding 1 ms and 

any of the following: 

b.7.b.1. Output energy exceeding 2 J per 

pulse and ‘‘peak power’’ exceeding 50 W; 

b.7.b.2. ‘Single transverse mode’ output 

and ‘‘average output power’’ exceeding 50 W; 

or 

b.7.b.3. ‘Multiple transverse mode’ output 

and ‘‘average output power’’ exceeding 80 W; 

b.8. Output wavelength exceeding 1,555 

nm but not exceeding 1,850 nm, and any of 

the following: 

b.8.a. Output energy exceeding 100 mJ per 

pulse and ‘‘peak power’’ exceeding 1 W; or 

b.8.b. ‘‘Average output power’’ exceeding 1 

W; 

b.9. Output wavelength exceeding 1,850 

nm but not exceeding 2,100 nm, and any of 

the following: 

b.9.a. ‘Single transverse mode’ and any of 

the following: 

b.9.a.1. Output energy exceeding 100 mJ 

per pulse and ‘‘peak power’’ exceeding 1 W; 

or 

b.9.a.2. ‘‘Average output power’’ exceeding 

1 W; 

b.9.b. ‘Multiple transverse mode’ and any 

of the following: 

b.9.b.1. Output energy exceeding 100 mJ 

per pulse and ‘‘peak power’’ exceeding 10 

kW; or 

b.9.b.2. ‘‘Average output power’’ exceeding 

120 W; or 

b.10. Output wavelength exceeding 2,100 

nm and any of the following: 

b.10.a. Output energy exceeding 100 mJ per 

pulse and ‘‘peak power’’ exceeding 1 W; or 

b.10.b. ‘‘Average output power’’ exceeding 

1 W; 

c. ‘‘Tunable’’ lasers having any of the 

following: 

c.1. Output wavelength less than 600 nm 

and any of the following: 

c.1.a. Output energy exceeding 50 mJ per 

pulse and ‘‘peak power’’ exceeding 1 W; or 

c.1.b. Average or CW output power 

exceeding 1W; 

Note: 6A005.c.1 does not apply to dye 

‘‘lasers’’ or other liquid ‘‘lasers,’’ having a 

multimode output and a wavelength of 150 

nm or more but not exceeding 600 nm and 

all of the following: 

1. Output energy less than 1.5 J per pulse 

or a ‘‘peak power’’ less than 20 W; and 

2. Average or CW output power less than 

20 W. 

c.2. Output wavelength of 600 nm or more 

but not exceeding 1,400 nm, and any of the 

following: 

c.2.a. Output energy exceeding 1 J per 

pulse and ‘‘peak power’’ exceeding 20 W; or 

c.2.b. Average or CW output power 

exceeding 20 W; or 

c.3. Output wavelength exceeding 1,400 

nm and any of the following: 

c.3.a. Output energy exceeding 50 mJ per 

pulse and ‘‘peak power’’ exceeding 1 W; or 

c.3.b. Average or CW output power 

exceeding 1 W; 

d. Other ‘‘lasers’’, not controlled by 

6A005.a, 6A005.b, or 6A005.c as follows: 

d.1. Semiconductor ‘‘lasers’’ as follows: 

Notes: 

1. 6A005.d.1 includes semiconductor 

‘‘lasers’’ having optical output connectors 

(e.g., fiber optic pigtails). 

2. The control status of semiconductor 

‘‘lasers’’ ‘‘specially designed’’ for other 

equipment is determined by the control 

status of the other equipment. 

d.1.a. Individual single-transverse mode 

semiconductor ‘‘lasers’’ having any of the 

following: 

d.1.a.1. Wavelength equal to or less than 

1,570 nm and average or CW output power, 

exceeding 2.0 W; or 

d.1.a.2. Wavelength greater than 1,570 nm 

and average or CW output power, exceeding 

500 mW; 


ddrumheller on DSK120RN23PROD with RULES2
71972 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

d.1.b. Individual ‘multiple-transverse 

mode’ semiconductor ‘‘lasers’’ having any of 

the following: 

d.1.b.1. Wavelength of less than 1,400 nm 

and average or CW output power, exceeding 

25 W; 

d.1.b.2. Wavelength equal to or greater than 

1,400 nm and less than 1,900 nm and average 

or CW output power, exceeding 2.5 W; or 

d.1.b.3. Wavelength equal to or greater than 

1,900 nm and average or CW output power, 

exceeding 1 W; 

d.1.c. Individual semiconductor ‘‘laser’’ 

‘bars’ having any of the following: 

d.1.c.1. Wavelength of less than 1,400 nm 

and average or CW output power, exceeding 

100 W; 

d.1.c.2. Wavelength equal to or greater than 

1,400 nm and less than 1,900 nm and average 

or CW output power, exceeding 25 W; or 

d.1.c.3. Wavelength equal to or greater than 

1,900 nm and average or CW output power, 

exceeding 10 W; 

d.1.d. Semiconductor ‘‘laser’’ ‘stacked 

arrays’ (two dimensional arrays) having any 

of the following: 

d.1.d.1. Wavelength less than 1,400 nm 

and having any of the following: 

d.1.d.1.a. Average or CW total output 

power less than 3 kW and having average or 

CW output ‘power density’ greater than 500 

W/cm2; 

d.1.d.1.b. Average or CW total output 

power equal to or exceeding 3 kW but less 

than or equal to 5 kW, and having average 

or CW output ‘power density’ greater than 

350W/cm2; 

d.1.d.1.c. Average or CW total output 

power exceeding 5 kW; 

d.1.d.1.d. Peak pulsed ‘power density’ 

exceeding 2,500 W/cm2; or 

Note: 6A005.d.1.d.1.d does not apply to 

epitaxially-fabricated monolithic devices. 

d.1.d.1.e. Spatially coherent average or CW 

total output power, greater than 150 W; 

d.1.d.2. Wavelength greater than or equal 

to 1,400 nm but less than 1,900 nm, and 

having any of the following: 

d.1.d.2.a. Average or CW total output 

power less than 250 W and average or CW 

output ‘power density’ greater than 150 W/ 

cm2; 

d.1.d.2.b. Average or CW total output 

power equal to or exceeding 250 W but less 

than or equal to 500 W, and having average 

or CW output ‘power density’ greater than 

50W/cm2; 

d.1.d.2.c. Average or CW total output 

power exceeding 500 W; 

d.1.d.2.d. Peak pulsed ‘power density’ 

exceeding 500 W/cm2; or 

Note: 6A005.d.1.d.2.d does not apply to 

epitaxially-fabricated monolithic devices. 

d.1.d.2.e. Spatially coherent average or CW 

total output power, exceeding 15 W; 

d.1.d.3. Wavelength greater than or equal 

to 1,900 nm and having any of the following: 

d.1.d.3.a. Average or CW output ‘power 

density’ greater than 50 W/cm2; 

d.1.d.3.b. Average or CW output power 

greater than 10 W; or 

d.1.d.3.c. Spatially coherent average or CW 

total output power, exceeding 1.5 W; or 

d.1.d.4. At least one ‘‘laser’’ ‘bar’ specified 

by 6A005.d.1.c; 

Technical Note: For the purposes of 

6A005.d.1.d, ’power density’ means the total 

‘‘laser’’ output power divided by the emitter 

surface area of the ‘stacked array’. 

d.1.e. Semiconductor ‘‘laser’’ ‘stacked 

arrays’, other than those specified by 

6A005.d.1.d, having all of the following: 

d.1.e.1. ‘‘Specially designed’’ or modified 

to be combined with other ‘stacked arrays’ to 

form a larger ‘stacked array’; and 

d.1.e.2. Integrated connections, common 

for both electronics and cooling; 

Note 1: ‘Stacked arrays’, formed by 

combining semiconductor ‘‘laser’’ ‘stacked 

arrays’ specified by 6A005.d.1.e, that are not 

designed to be further combined or modified 

are specified by 6A005.d.1.d. 

Note 2: ‘Stacked arrays’, formed by 

combining semiconductor ‘‘laser’’ ‘stacked 

arrays’ specified by 6A005.d.1.e, that are 

designed to be further combined or modified 

are specified by 6A005.d.1.e. 

Note 3: 6A005.d.1.e does not apply to 

modular assemblies of single ‘bars’ designed 

to be fabricated into end to end stacked 

linear arrays. 

Technical Notes: 

For the purposes of 6A005.d.1.e: 

1. Semiconductor ‘‘lasers’’ are commonly 

called ‘‘laser’’ diodes. 

2. A ‘bar’ (also called a semiconductor 

‘‘laser’’ ‘bar’, a ‘‘laser’’ diode ‘bar’ or diode 

‘bar’) consists of multiple semiconductor 

‘‘lasers’’ in a one-dimensional array. 

3. A ‘stacked array’ consists of multiple 

‘bars’ forming a two-dimensional array of 

semiconductor ‘‘lasers’’. 

d.2. Carbon monoxide (CO) ‘‘lasers’’ having 

any of the following: 

d.2.a. Output energy exceeding 2 J per 

pulse and ‘‘peak power’’ exceeding 5 kW; or 

d.2.b. Average or CW output power, 

exceeding 5 kW; 

d.3. Carbon dioxide (CO2) ‘‘lasers’’ having 

any of the following: 

d.3.a. CW output power exceeding 15 kW; 

d.3.b. Pulsed output with ‘‘pulse duration’’ 

exceeding 10 ms and any of the following: 

d.3.b.1. ‘‘Average output power’’ exceeding 

10 kW; or 

d.3.b.2. ‘‘Peak power’’ exceeding 100 kW; 

or 

d.3.c. Pulsed output with a ‘‘pulse 

duration’’ equal to or less than 10 ms and any 

of the following: 

d.3.c.1. Pulse energy exceeding 5 J per 

pulse; or 

d.3.c.2. ‘‘Average output power’’ exceeding 

2.5 kW; 

d.4. Excimer ‘‘lasers’’ having any of the 

following: 

d.4.a. Output wavelength not exceeding 

150 nm and any of the following: 

d.4.a.1. Output energy exceeding 50 mJ per 

pulse; or 

d.4.a.2. ‘‘Average output power’’ exceeding 

1 W; 

d.4.b. Output wavelength exceeding 150 

nm but not exceeding 190 nm and any of the 

following: 

d.4.b.1. Output energy exceeding 1.5 J per 

pulse; or 

d.4.b.2. ‘‘Average output power’’ exceeding 

120 W; 

d.4.c. Output wavelength exceeding 190 

nm but not exceeding 360 nm and any of the 

following: 

d.4.c.1. Output energy exceeding 10 J per 

pulse; or 

d.4.c.2. ‘‘Average output power’’ exceeding 

500 W; or 

d.4.d. Output wavelength exceeding 360 

nm and any of the following: 

d.4.d.1. Output energy exceeding 1.5 J per 

pulse; or 

d.4.d.2. ‘‘Average output power’’ exceeding 

30 W; 

Note: For excimer ‘‘lasers’’ ‘‘specially 

designed’’ for lithography equipment, see 

3B001. 

d.5. ‘‘Chemical lasers’’ as follows: 

d.5.a. Hydrogen Fluoride (HF) ‘‘lasers’; 

d.5.b. Deuterium Fluoride (DF) ‘‘lasers’’; 

d.5.c. ‘Transfer lasers’ as follows: 

d.5.c.1. Oxygen Iodine (O2-I) ‘‘lasers’’; 

d.5.c.2. Deuterium Fluoride-Carbon 

dioxide (DF–CO2) ‘‘lasers’’; 

Technical Note: For the purposes of 

6A005.d.5.c, ‘transfer lasers’ are ‘‘lasers’’ in 

which the lasing species are excited through 

the transfer of energy by collision of a nonlasing atom or molecule with a lasing atom 

or molecule species. 

d.6. ‘Non-repetitive pulsed’ Neodymium 

(Nd) glass ‘‘lasers’’ having any of the 

following: 

d.6.a. A ‘‘pulse duration’’ not exceeding 1 

ms and output energy exceeding 50 J per 

pulse; or 

d.6.b. A ‘‘pulse duration’’ exceeding 1 ms 

and output energy exceeding 100 J per pulse; 

e. ‘‘Components’’ as follows: 

e.1. Mirrors cooled either by ‘active 

cooling’ or by heat pipe cooling; 

Technical Note: For the purposes of 

6A005.e.1, ‘active cooling’ is a cooling 

technique for optical ‘‘components’’ using 

flowing fluids within the subsurface 

(nominally less than 1 mm below the optical 

surface) of the optical component to remove 

heat from the optic. 

e.2. Optical mirrors or transmissive or 

partially transmissive optical or electrooptical-’’components,’’ other than fused 

tapered fiber combiners and Multi-Layer 

Dielectric gratings (MLDs), ‘‘specially 

designed’’ for use with controlled ‘‘lasers’’; 

Note to 6A005.e.2: Fiber combiners and 

MLDs are specified by 6A005.e.3. 

e.3. Fiber ‘‘laser’’ ‘‘components’’ as follows: 

e.3.a. Multimode to multimode fused 

tapered fiber combiners having all of the 

following: 

e.3.a.1. An insertion loss better (less) than 

or equal to 0.3 dB maintained at a rated total 

average or CW output power (excluding 

output power transmitted through the single 

mode core if present) exceeding 1,000 W; and 

e.3.a.2. Number of input fibers equal to or 

greater than 3; 

e.3.b. Single mode to multimode fused 

tapered fiber combiners having all of the 

following: 

e.3.b.1. An insertion loss better (less) than 

0.5 dB maintained at a rated total average or 

CW output power exceeding 4,600 W; 

e.3.b.2. Number of input fibers equal to or 

greater than 3; and 

e.3.b.3. Having any of the following: 

e.3.b.3.a. A Beam Parameter Product (BPP) 

measured at the output not exceeding 1.5 mm 

mrad for a number of input fibers less than 

or equal to 5; or 

e.3.b.3.b. A BPP measured at the output not 

exceeding 2.5 mm mrad for a number of 

input fibers greater than 5; 


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e.3.c. MLDs having all of the following: 

e.3.c.1. Designed for spectral or coherent 

beam combination of 5 or more fiber ‘‘lasers;’’ 

and 

e.3.c.2. CW ‘‘Laser’’ Induced Damage 

Threshold (LIDT) greater than or equal to 10 

kW/cm2; 

f. Optical equipment as follows: 

N.B.: For shared aperture optical elements, 

capable of operating in ‘‘Super-High Power 

Laser’’ (‘‘SHPL’’) applications, see the U.S. 

Munitions List (22 CFR part 121). 

f.1. [Reserved] 

N.B.: For items previously specified by 

6A005.f.1, see 6A004.f. 

f.2. ‘‘Laser’’ diagnostic equipment 

‘‘specially designed’’ for dynamic 

measurement of ‘‘SHPL’’ system angular 

beam steering errors and having an angular 

‘‘accuracy’’ of 10 mrad (microradians) or less 

(better); 

f.3. Optical equipment and ‘‘components’’, 

‘‘specially designed’’ for coherent beam 

combination in a phased-array ‘‘SHPL’’ 

system and having any of the following: 

f.3.a. An ‘‘accuracy’’ of 0.1 mm or less, for 

wavelengths greater than 1 mm; or 

f.3.b. An ‘‘accuracy’’ of l/10 or less (better) 

at the designed wavelength, for wavelengths 

equal to or less than 1 mm; 

f.4. Projection telescopes ‘‘specially 

designed’’ for use with ‘‘SHPL’’ systems; 

g. ‘Laser acoustic detection equipment’ 

having all of the following: 

g.1. CW ‘‘laser’’ output power greater than 

or equal to 20 mW; 

g.2. ‘‘Laser’’ frequency stability equal to or 

better (less) than 10 MHz; 

g.3. ‘‘Laser’’ wavelengths equal to or 

exceeding 1,000 nm but not exceeding 2,000 

nm; 

g.4. Optical system resolution better (less) 

than 1 nm; and 

g.5. Optical Signal to Noise ratio equal to 

or exceeding 103. 

Technical Note: For the purposes of 

6A005.g, ‘laser acoustic detection equipment’ 

is sometimes referred to as a ‘‘Laser’’ 

Microphone or Particle Flow Detection 

Microphone. 

6A006 ‘‘Magnetometers’’, ‘‘magnetic 

gradiometers’’, ‘‘intrinsic magnetic 

gradiometers’’, underwater electric field 

sensors, ‘‘compensation systems’’, and 

‘‘specially designed’’ ‘‘components’’ 

therefor, as follows (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $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 ‘sensitivity’ lower (better) than 2 

pT (rms) per square root Hz; and 6A006.d, 

and 6A006.e. 

GBS: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any commodity in: 6A006.a.1; 

or 6A006.a.2; or 6A006.c.1 ‘‘Magnetic 

gradiometers’’ using multiple 

‘‘magnetometers’’ specified by 6A006.a.1 or 

6.A006.a.2; or 6A006.d or .e (only for 

underwater receivers incorporating 

magnetometers specified in 6A006.a.1 or 

6A006.a.2) to any of the destinations listed in 

Country Group A:6 (See Supplement No.1 to 

part 740 of the EAR). 

List of Items Controlled 

Related Controls: See also 6A996. This entry 

does not control instruments ‘‘specially 

designed’’ for fishery applications or 

biomagnetic measurements for medical 

diagnostics. 

Related Definitions: N/A 

Items: 

a. ‘‘Magnetometers’’ and subsystems, as 

follows: 

a.1. ‘‘Magnetometers’’ using 

‘‘superconductive’’ (SQUID) ‘‘technology’’ 

and having any of the following: 

a.1.a. SQUID systems designed for 

stationary operation, without ‘‘specially 

designed’’ subsystems designed to reduce inmotion noise, and having a ‘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 ‘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. ‘‘Magnetometers’’ using optically 

pumped or nuclear precession (proton/ 

Overhauser) ‘‘technology’’ having a 

‘sensitivity’ lower (better) than 20 pT (rms) 

per square root Hz at a frequency of 1 Hz; 

a.3. ‘‘Magnetometers’’ using fluxgate 

‘‘technology’’ having a ’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 ‘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 

‘sensitivity’ lower (better) than 1 nT (rms) per 

square root Hz; 

b. Underwater electric field sensors having 

a ‘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 ‘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 ‘sensitivity’ lower (better) than 0.015 

nT/m (rms) per square root Hz; 

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; and 

e. Underwater electromagnetic receivers 

incorporating magnetic field sensors 

specified by 6A006.a or underwater electric 

field sensors specified by 6A006.b. 

Technical Note: For the purposes of 

6A006, ‘sensitivity’ (noise level) is the root 

mean square of the device-limited noise floor 

which is the lowest signal that can be 

measured. 

6A007 Gravity meters (gravimeters) and 

gravity gradiometers, as follows (see List 

of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to 

6A007.b and .c 

when the accuracies in 6A007.b.1 

and b.2 are met or 

exceeded.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $3000; N/A for MT 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See USML Category 

XII(d) for certain gravity meters 

(gravimeters) and gravity gradiometers 

subject to the ITAR. (2) See also ECCNs 

6A107, 6A997, and 7A611. 

Related Definitions: N/A 

Items: 

a. Gravity meters designed or modified for 

ground use and having a static ‘‘accuracy’’ of 

less (better) than 10 mGal; 

Note: 6A007.a does not control ground 

gravity meters of the quartz element 

(Worden) type. 

b. Gravity meters designed for mobile 

platforms and having all of the following: 

b.1. A static ‘‘accuracy’’ of less (better) than 

0.7 mGal; and 

b.2. An in-service (operational) ‘‘accuracy’’ 

of less (better) than 0.7 mGal having a ‘timeto-steady-state registration’ of less than 2 

minutes under any combination of attendant 

corrective compensations and motional 

influences; 


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Technical Note: For the purposes of 

6A007.b.2, ’time-to-steady-state registration’ 

(also referred to as the gravimeter’s response 

time) is the time over which the disturbing 

effects of platform induced accelerations 

(high frequency noise) are reduced. 

c. Gravity gradiometers. 

6A008 Radar systems, equipment and 

assemblies, having any of the following 

(see List of Items Controlled), and 

‘‘specially designed’’ ‘‘components’’ 

therefor. 

License Requirements 

Reason for Control: NS, MT, RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to items 

that are designed 

for airborne applications and that 

are usable in systems controlled for 

MT reasons.

MT Column 1 

RS applies to 

6A008.j.1.

RS Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $5000; N/A for MT and for 6A008.j.1. 

GBS: Yes, for 6A008.b, .c, and l.1 only 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any commodity in 6A008.d, 

6A008.h or 6A008.k to any of the 

destinations listed in Country Group A:6 

(See Supplement No. 1 to part 740 of the 

EAR). 

List of Items Controlled 

Related Controls: (1) See also ECCNs 6A108 

and 6A998. ECCN 6A998 controls, inter 

alia, the Light Detection and Ranging 

(LIDAR) equipment excluded by the note 

to paragraph j of this ECCN (6A008). (2) 

See USML Category XII(b) for certain 

LIDAR, Laser Detection and Ranging 

(LADAR), or range-gated systems subject to 

the ITAR. 

Related Definitions: N/A 

Items: 

Note: 6A008 does not control: 

—Secondary surveillance radar (SSR); 

—Civil Automotive Radar; 

—Displays or monitors used for air traffic 

control (ATC); 

—Meteorological (weather) radar; 

—Precision Approach Radar (PAR) 

equipment conforming to ICAO standards 

and employing electronically steerable 

linear (1-dimensional) arrays or 

mechanically positioned passive antennas. 

a. Operating at frequencies from 40 GHz to 

230 GHz and having any of the following: 

a.1. An average output power exceeding 

100 mW; or 

a.2. Locating ‘‘accuracy’’ of 1 m or less 

(better) in range and 0.2 degree or less (better) 

in azimuth; 

b. A tunable bandwidth exceeding ±6.25% 

of the ‘center operating frequency’; 

Technical Note: For the purposes of 

6A008.b, the ‘center operating frequency’ 

equals one half of the sum of the highest plus 

the lowest specified operating frequencies. 

c. Capable of operating simultaneously on 

more than two carrier frequencies; 

d. Capable of operating in synthetic 

aperture (SAR), inverse synthetic aperture 

(ISAR) radar mode, or sidelooking airborne 

(SLAR) radar mode; 

e. Incorporating electronically scanned 

array antennae; 

Technical Note: For the purposes of 

6A008.e, electronically scanned array 

antennae are also known as electronically 

steerable array antennae. 

f. Capable of heightfinding non-cooperative 

targets; 

g. ‘‘Specially designed’’ for airborne 

(balloon or airframe mounted) operation and 

having Doppler ‘‘signal processing’’ for the 

detection of moving targets; 

h. Employing processing of radar signals 

and using any of the following: 

h.1. ‘‘Radar spread spectrum’’ techniques; 

or 

h.2. ‘‘Radar frequency agility’’ techniques; 

i. Providing ground-based operation with a 

maximum ‘instrumented range’ exceeding 

185 km; 

Note: 6A008.i does not control: 

a. Fishing ground surveillance radar; 

b. Ground radar equipment ‘‘specially 

designed’’ for en route air traffic control, and 

having all of the following: 

1. A maximum ‘instrumented range’ of 500 

km or less; 

2. Configured so that radar target data can 

be transmitted only one way from the radar 

site to one or more civil ATC centers; 

3. Contains no provisions for remote 

control of the radar scan rate from the en 

route ATC center; and 

4. Permanently installed; 

c. Weather balloon tracking radars. 

Technical Note: For the purposes of 

6A008.i, ‘instrumented range’ is the specified 

unambiguous display range of a radar. 

j. Being ‘‘laser’’ radar or Light Detection 

and Ranging (LIDAR) equipment and having 

any of the following: 

j.1. ‘‘Space-qualified’’; 

j.2. Employing coherent heterodyne or 

homodyne detection techniques and having 

an angular resolution of less (better) than 20 

mrad (microradians); or 

j.3. Designed for carrying out airborne 

bathymetric littoral surveys to International 

Hydrographic Organization (IHO) Order 1a 

Standard (5th Edition February 2008) for 

Hydrographic Surveys or better, and using 

one or more ‘‘lasers’’ with a wavelength 

exceeding 400 nm but not exceeding 600 nm; 

Note 1: LIDAR equipment ‘‘specially 

designed’’ for surveying is only specified by 

6A008.j.3. 

Note 2: 6A008.j does not apply to LIDAR 

equipment ‘‘specially designed’’ for 

meteorological observation. 

Note 3: Parameters in the IHO Order 1a 

Standard 5th Edition February 2008 are 

summarized as follows: 

Horizontal Accuracy (95% Confidence 

Level)= 5 m + 5% of depth. 

Depth Accuracy for Reduced Depths (95% 

confidence level) = ±√(a2 + (b*d)2) where: 

a = 0.5 m = constant depth error, i.e., the sum 

of all constant depth errors 

b = 0.013 = factor of depth dependent error 

b*d = depth dependent error, i.e., the sum of 

all depth dependent errors 

d = depth 

Feature Detection = Cubic features > 2 m 

in depths up to 40 m; 10% of depth beyond 

40 m. 

k. Having ‘‘signal processing’’ sub-systems 

using ‘‘pulse compression’’ and having any of 

the following: 

k.1. A ‘‘pulse compression’’ ratio exceeding 

150; or 

k.2. A compressed pulse width of less than 

200 ns; or 

Note: 6A008.k.2 does not apply to two 

dimensional ‘marine radar’ or ‘vessel traffic 

service’ radar, having all of the following: 

a. ‘‘Pulse compression’’ ratio not exceeding 

150; 

b. Compressed pulse width of greater than 

30 ns; 

c. Single and rotating mechanically 

scanned antenna; 

d. Peak output power not exceeding 250 W; 

and 

e. Not capable of ‘‘frequency hopping’’. 

l. Having data processing sub-systems and 

having any of the following: 

l.1. ‘Automatic target tracking’ providing, 

at any antenna rotation, the predicted target 

position beyond the time of the next antenna 

beam passage; or 

Note: 6A008.l.1 does not control conflict 

alert capability in ATC systems, or ‘marine 

radar’. 

Technical Note: For the purposes of 

6A008.l.1, ‘automatic target tracking’ is a 

processing technique that automatically 

determines and provides as output an 

extrapolated value of the most probable 

position of the target in real time. 

l.2. [Reserved] 

l.3. [Reserved] 

l.4. Configured to provide superposition 

and correlation, or fusion, of target data 

within six seconds from two or more 

‘geographically dispersed’ radar sensors to 

improve the aggregate performance beyond 

that of any single sensor specified by 

6A008.f, or 6A008.i. 

Technical Note: For the purposes of 

6A008.l.4, sensors are considered 

‘geographically dispersed’ when each 

location is distant from any other more than 

1,500 m in any direction. Mobile sensors are 

always considered ‘geographically 

dispersed’. 

N.B.: See also the U.S. Munitions List (22 

CFR part 121). 

Note: 6A008.l does not apply to systems, 

equipment and assemblies designed for 

‘vessel traffic services’. 

Technical Notes: 

1. For the purposes of 6A008, ‘marine 

radar’ is a radar that is designed to navigate 


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safely at sea, inland waterways or near-shore 

environments. 

2. For the purposes of 6A008, ‘vessel traffic 

service’ is a vessel traffic monitoring and 

control service similar to air traffic control 

for ‘‘aircraft.’’ 

* * * * * 

6B007 Equipment to produce, align and 

calibrate land-based gravity meters with 

a static ‘‘accuracy’’ of less (better) than 

0.1 mGal. 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $5000 

GBS: N/A 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

The list of items controlled is contained in 

the ECCN heading. 

* * * * * 

6C002 Optical sensor materials as follows 

(see List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $3000 

GBS: N/A 

List of Items Controlled 

Related Controls: See also 6C992. 

Related Definitions: N/A 

Items: 

a. Elemental tellurium (Te) of purity levels 

of 99.9995% or more; 

b. Single crystals (including epitaxial 

wafers) of any of the following: 

b.1. Cadmium zinc telluride (CdZnTe), 

with zinc content less than 6% by ‘mole 

fraction’; 

b.2. Cadmium telluride (CdTe) of any 

purity level; or 

b.3. Mercury cadmium telluride (HgCdTe) 

of any purity level. 

Technical Note: For the purposes of 

6C002.b.1, ‘mole fraction’ is defined as the 

ratio of moles of ZnTe to the sum of the 

moles of CdTe and ZnTe present in the 

crystal. 

* * * * * 

6C005 ‘‘Laser’’ materials as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $1500 

GBS: N/A 

List of Items Controlled 

Related Controls: N/A 

Related Definitions: N/A 

Items: 

a. Synthetic crystalline ‘‘laser’’ host 

material in unfinished form as follows: 

a.1. Titanium doped sapphire; 

a.2. [Reserved] 

b. Rare-earth-metal doped double-clad 

fibers having any of the following: 

b.1. Nominal ‘‘laser’’ wavelength of 975 nm 

to 1,150 nm and having all of the following: 

b.1.a. Average core diameter equal to or 

greater than 25 mm; and 

b.1.b. Core ‘Numerical Aperture’ (‘NA’) less 

than 0.065; or 

Note to 6C005.b.1: 6C005.b.1 does not 

apply to double-clad fibers having an inner 

glass cladding diameter exceeding 150 mm 

and not exceeding 300 mm. 

b.2. Nominal ‘‘laser’’ wavelength exceeding 

1,530 nm and having all of the following: 

b.2.a. Average core diameter equal to or 

greater than 20 mm; and 

b.2.b. Core ‘NA’ less than 0.1. 

Technical Notes: 

1. For the purposes of 6C005.b.1.b, the core 

‘Numerical Aperture’ (‘NA’) is measured at 

the emission wavelengths of the fiber. 

2. 6C005.b includes fibers assembled with 

end caps. 

* * * * * 

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

of Items Controlled). 

License Requirements 

Reason for Control: NS, RS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

RS applies to paragraph c.RS Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes, except for 6D003.c and exports or 

reexports to destinations outside of those 

countries listed in Country Group A:5 (See 

Supplement No. 1 to part 740 of the EAR) 

of ‘‘software’’ for items controlled by 

6D003.a. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit software in 

6D003.a to any of the destinations listed in 

Country Group A:6 (See Supplement No.1 

to part 740 of the EAR). 

List of Items Controlled 

Related Controls: See also ECCNs 6D103, 

6D991, and 6D993. 

Related Definitions: N/A 

Items: 

Acoustics 

a. ‘‘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; 

a.5. ‘‘Software’’ or ‘‘source code’’, 

‘‘specially designed’’ for all of the following: 

a.5.a. ‘‘Real-time processing’’ of acoustic 

data from sonar systems controlled by 

6A001.a.1.e; and 

a.5.b. Automatically detecting, classifying 

and determining the location of divers or 

swimmers; 

N.B.: For diver detection ‘‘software’’ or 

‘‘source code’’, ‘‘specially designed’’ or 

modified for military use, see the U.S. 

Munitions List of the International Traffic in 

Arms Regulations (ITAR) (22 CFR part 121). 

b. Optical sensors. None. 

Cameras 

c. ‘‘Software’’ designed or modified for 

cameras incorporating ‘‘focal plane arrays’’ 

specified by 6A002.a.3.f and designed or 

modified to remove a frame rate restriction 

and allow the camera to exceed the frame 

rate specified in 6A003.b.4 Note 3.a; 

Optics 

d. ‘‘Software’’ ‘‘specially designed’’ to 

maintain the alignment and phasing of 

segmented mirror systems consisting of 

mirror segments having a diameter or major 

axis length equal to or larger than 1 m; 

e. Lasers. None. 

Magnetic and Electric Field Sensors 

f. ‘‘Software’’ as follows: 

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

magnetic and electric field ‘‘compensation 

systems’’ for magnetic sensors designed to 

operate on mobile platforms; 


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71976 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

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

magnetic and electric field anomaly detection 

on mobile platforms; 

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

‘‘real-time processing’’ of electromagnetic 

data using underwater electromagnetic 

receivers specified by 6A006.e; 

f.4. ‘‘Source code’’ for ‘‘real-time 

processing’’ of electromagnetic data using 

underwater electromagnetic receivers 

specified by 6A006.e; 

Gravimeters 

g. ‘‘Software’’ ‘‘specially designed’’ to 

correct motional influences of gravity meters 

or gravity gradiometers; 

Radar 

h. ‘‘Software’’ as follows: 

h.1. Air Traffic Control (ATC) ‘‘software’’ 

designed to be hosted on general purpose 

computers located at Air Traffic Control 

centers and capable of accepting radar target 

data from more than four primary radars; 

h.2. ‘‘Software’’ for the design or 

‘‘production’’ of radomes having all of the 

following: 

h.2.a. ‘‘Specially designed’’ to protect the 

‘‘electronically scanned array antennae’’ 

specified by 6A008.e; and 

h.2.b. Resulting in an antenna pattern 

having an ‘average side lobe level’ more than 

40 dB below the peak of the main beam level. 

Technical Note: For the purposes of 

6D003.h.2.b ‘average side lobe level’ 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. 

* * * * * 

6E003 Other ‘‘technology’’ as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: Yes 

List of Items Controlled 

Related Controls: See also 6E993. 

Related Definitions: N/A 

Items: 

Acoustics 

a. [Reserved] 

Optical Sensors 

b. [Reserved] 

Cameras 

c. [Reserved] 

Optics 

d. ‘‘Technology’’ as follows: 

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

coating and treatment of optical surfaces to 

achieve an ‘optical thickness’ 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. 

Technical Note: For the purposes of 

6E003.d.1, ‘optical thickness’ is the 

mathematical product of the index of 

refraction and the physical thickness of the 

coating. 

d.2. ‘‘Technology’’ for the fabrication of 

optics 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; 

Lasers 

e. ‘‘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; 

Magnetic and Electric Field Sensors 

f. [Reserved] 

Gravimeters 

g. [Reserved] 

Radar 

h. [Reserved] 

* * * * * 

7A003 ‘Inertial measurement equipment or 

systems’, having any of the following. 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to commodities in 

7A003.d that meet 

or exceed the parameters of 7A103.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See also ECCNs 7A103, 

7A611, and 7A994. (2) See USML Category 

XII(d) for guidance or navigation systems 

subject to the ITAR. 

Related Definitions: N/A 

Items: 

7A003 does not apply to ‘inertial 

measurement equipment or systems’ which 

are certified for use on ‘‘civil aircraft’’ by civil 

aviation authorities of one or more 

Wassenaar Arrangement Participating States, 

see Supplement No. 1 to part 743 of the EAR. 

Technical Notes: 

1. For the purposes of 7A003, ’inertial 

measurement equipment or systems’ 

incorporate accelerometers or gyroscopes to 

measure changes in velocity and orientation 

in order to determine or maintain heading or 

position without requiring an external 

reference once aligned. ’Inertial 

measurement equipment or systems’ include: 

Attitude and Heading Reference Systems 

(AHRSs); 

Gyrocompasses; 

Inertial Measurement Units (IMUs); 

Inertial Navigation Systems (INSs); 

Inertial Reference Systems (IRSs); 

Inertial Reference Units (IRUs). 

2. For the purposes of 7A003, ‘positional 

aiding references’ independently provide 

position, and include: 

a. ‘‘Satellite navigation system’’; 

b.’’Data-Based Referenced Navigation’’ 

(‘‘DBRN’’). 

a. Designed for ‘‘aircraft’’, land vehicles or 

vessels, providing position without the use of 

‘positional aiding references’, and having any 

of the following ‘‘accuracies’’ subsequent to 

normal alignment: 

a.1. 0.8 nautical miles per hour (nm/hr) 

‘‘Circular Error Probable’’ (‘‘CEP’’) rate or less 

(better); 

a.2. 0.5% distanced travelled ‘‘CEP’’ or less 

(better); or 

a.3. Total drift of 1 nautical mile ‘‘CEP’’ or 

less (better) in a 24 hr period; 

Technical Note: For the purposes of 

7A003.a.1, 7A003.a.2 and 7A003.a.3, the 

performance parameters typically apply to 

‘inertia measurement equipment or systems’ 

designed for ‘‘aircraft’’, vehicles and vessels, 

respectively. These parameters result from 

the utilization of specialized non-‘positional 

aiding references’ (e.g., altimeter, odometer, 

velocity log). As a consequence, the specified 

performance values cannot be readily 

converted between these parameters. 

Equipment designed for multiple platforms 

are evaluated against each applicable entry 

7A003.a.1, 7A003.a.2, or 7A003.a.3. 

b. Designed for ‘‘aircraft’’, land vehicles or 

vessels, with an embedded ‘positional aiding 

reference’ and providing position after loss of 

all ‘positional aiding references’ for a period 

of up to 4 minutes, having an ‘‘accuracy’’ of 

less (better) than 10 meters ‘‘CEP’’; 

Technical Note: For the purposes of 

7A003.b, this entry refers to systems in which 

‘inertial measurement equipment or systems’ 

and other independent ‘positional aiding 

references’ are built into a single unit (i.e., 

embedded) in order to achieve improved 

performance. 

c. Designed for ‘‘aircraft’’, land vehicles or 

vessels, providing heading or True North 

determination and having any of the 

following: 

c.1. A maximum operating angular rate less 

(lower) than 500 deg/s and a heading 

‘‘accuracy’’ without the use of ‘positional 

aiding references’ equal to or less (better) 

than 0.07 deg sec (Lat) (equivalent to 6 arc 

minutes rms at 45 degrees latitude); or 

c.2. A maximum operating angular rate 

equal to or greater (higher) than 500 deg/s 

and a heading ‘‘accuracy’’ without the use of 

‘positional aiding references’ equal to or less 

(better) than 0.2 deg sec (Lat) (equivalent to 

17 arc minutes rms at 45 degrees latitude); 

d. Providing acceleration measurements or 

angular rate measurements, in more than one 

dimension, and having any of the following: 


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d.1. Performance specified by 7A001 or 

7A002 along any axis, without the use of any 

aiding references; or 

d.2. Being ‘‘space-qualified’’ and providing 

angular rate measurements having an ‘‘angle 

random walk’’ along any axis of less (better) 

than or equal to 0.1 degree per square root 

hour. 

Note: 7A003.d.2 does not apply to ‘inertial 

measurement equipment or systems’ that 

contain ‘‘spinning mass gyros’’ as the only 

type of gyro. 

7A004 ‘Star trackers’ and ‘‘components’’ 

therefor, as follows (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to entire 

entry.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See USML Category XV 

for certain ‘star trackers’ that are ‘‘subject 

to the ITAR’’ (see 22 CFR parts 120 through 

130). (2) See also 7A104 and 7A994. 

Related Definitions: N/A 

Items: 

a. ‘Star trackers’ with a specified azimuth 

‘‘accuracy’’ of equal to or less (better) than 20 

seconds of arc throughout the specified 

lifetime of the equipment; 

b. ‘‘Components’’ ‘‘specially designed’’ for 

equipment specified in 7A004.a as follows: 

b.1. Optical heads or baffles; 

b.2. Data processing units. 

Technical Note: For the purposes of 

7A004.a, ‘star trackers’ are also referred to as 

stellar attitude sensors or gyro-astro 

compasses. 

7A005 ‘‘Satellite navigation system’’ 

receiving equipment having any of the 

following and ‘‘specially designed’’ 

‘‘components’’ therefor. 

License Requirements 

Reason for Control: NS, MT and AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to 

7A005.b.

NS Column 1 

MT applies to commodities in 

7A005.b that meet 

or exceed the parameters of 7A105.

MT Column 1 

AT applies to 

7A005.b.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

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

7A611 and 7A994. Commercially available 

‘‘satellite navigation system’’ receivers do 

not typically employ decryption or 

adaptive antennae and are classified as 

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

‘‘satellite navigation system’’ receiving 

equipment subject to the ITAR and USML 

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

subject to the ITAR. (3) Items that 

otherwise would be covered by ECCN 

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

CFR parts 120 through 130). 

Related Definitions: N/A 

Items: 

a. Employing a decryption algorithm 

‘‘specially designed’’ or modified for 

government use to access the ranging code 

for position and time; or 

b. Employing ‘adaptive antenna systems’. 

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

navigation system’’ receiving equipment that 

only uses ‘‘components’’ designed to filter, 

switch, or combine signals from multiple 

omni-directional antennas that do not 

implement adaptive antenna techniques. 

Technical Note: For the purposes of 

7A005.b, ‘adaptive antenna systems’ 

dynamically generate one or more spatial 

nulls in an antenna array pattern by signal 

processing in the time domain or frequency 

domain. 

7A006 Airborne altimeters operating at 

frequencies other than 4.2 to 4.4 GHz 

inclusive and having any of the 

following (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to commodities in this 

entry that meet or 

exceed the parameters of 7A106.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: See also 7A106, 7A994 and 

Category 6 for controls on radar. 

Related Definitions: N/A 

Items: 

a. ‘Power management’; or 

Technical Note: For the purposes of 

7A006.a, ‘power management’ is changing 

the transmitted power of the altimeter signal 

so that received power at the ‘‘aircraft’’ 

altitude is always at the minimum necessary 

to determine the altitude. 

b. Using phase shift key modulation. 

* * * * * 

7B001 Test, calibration or alignment 

equipment, ‘‘specially designed’’ for 

equipment controlled by 7A (except 

7A994). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to entire 

entry.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See also 7B101, 7B102 

and 7B994. (2) This entry does not control 

test, calibration or alignment equipment for 

‘Maintenance level I’ or ‘Maintenance 

Level II’. 

Related Definition: For the purposes of 

7B001: (1) ‘Maintenance Level I’: The 

failure of an inertial navigation unit is 

detected on the ‘‘aircraft’’ by indications 

from the Control and Display Unit (CDU) 

or by the status message from the 

corresponding sub-system. By following 

the manufacturer’s manual, the cause of 

the failure may be localized at the level of 

the malfunctioning Line Replaceable Unit 

(LRU). The operator then removes the LRU 

and replaces it with a spare. (2) 

‘Maintenance Level II’: The defective LRU 

is sent to the maintenance workshop (the 

manufacturer’s or that of the operator 

responsible for level II maintenance). At 

the maintenance workshop, the 

malfunctioning LRU is tested by various 

appropriate means to verify and localize 

the defective Shop Replaceable Assembly 

(SRA) module responsible for the failure. 

This SRA is removed and replaced by an 

operative spare. The defective SRA (or 

possibly the complete LRU) is then 

shipped to the manufacturer. ‘Maintenance 

Level II’ does not include the disassembly 

or repair of controlled accelerometers or 

gyro sensors. 

Items: 

The list of items controlled is contained in 

the ECCN heading. 

* * * * * 

7D002 ‘‘Source code’’ for the operation or 

maintenance of any inertial navigation 

equipment, including inertial equipment 

not controlled by 7A003 or 7A004, or 

Attitude and Heading Reference Systems 

(‘AHRS’). 

License Requirements 

Reason for Control: NS, MT, AT 


ddrumheller on DSK120RN23PROD with RULES2
71978 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to entire 

entry.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

List of Items Controlled 

Related Controls: (1.) See also 7D102 and 

7D994. (2.) This entry does not control 

‘‘source code’’ for the operation or 

maintenance of gimballed ‘AHRS’. 

Related Definition: For the purposes of 

7D002, ‘AHRS’ generally differ from 

Inertial Navigation Systems (INS) in that an 

‘AHRS’ provides attitude and heading 

information and normally does not provide 

the acceleration, velocity and position 

information associated with an INS. 

Items: 

The list of items controlled is contained in 

the ECCN heading. 

* * * * * 

7E004 Other ‘‘technology’’ as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to ‘‘technology’’ for equipment or systems 

controlled for MT 

reasons.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: (1) Paragraph (c)(1) of License 

Exception STA (§ 740.20(c)(1) of the EAR) 

may not be used for 7E004, except for 

7E004.a.7. (2) Paragraph (c)(2) of License 

Exception STA (§ 740.20(c)(2) of the EAR) 

may not be used for 7E004, except for 

7E004.a.7. 

List of Items Controlled 

Related Controls: (1) See also 7E001, 7E002, 

7E101, and 7E994. (2) In addition to the 

Related Controls in 7E001, 7E002, and 

7E101 that include MT controls, also see 

the MT controls in 7E104 for design 

‘‘technology’’ for the integration of the 

flight control, guidance, and propulsion 

data into a flight management system, 

designed or modified for rockets or 

missiles capable of achieving a ‘‘range’’ 

equal to or greater than 300 km, for 

optimization of rocket system trajectory; 

and also see 9E101 for design ‘‘technology’’ 

for integration of air vehicle fuselage, 

propulsion system and lifting control 

surfaces, designed or modified for 

unmanned aerial vehicles capable of 

achieving a ‘‘range’’ equal to or greater than 

300 km, to optimize aerodynamic 

performance throughout the flight regime 

of an unmanned aerial vehicle. 

Related Definitions: N/A. 

Items: 

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

‘‘production’’ of any of the following: 

a.1. [Reserved] 

a.2. Air data systems based on surface 

static data only, i.e., which dispense with 

conventional air data probes; 

a.3. Three dimensional displays for 

‘‘aircraft’’; 

a.4. [Reserved] 

a.5. Electric actuators (i.e., 

electromechanical, electrohydrostatic and 

integrated actuator package) ‘‘specially 

designed’’ for ‘primary flight control’; 

Technical Note: For the purposes of 

7E004.a.5, ‘primary flight control’ is 

‘‘aircraft’’ stability or maneuvering control 

using force/moment generators, i.e., 

aerodynamic control surfaces or propulsive 

thrust vectoring. 

a.6. ‘Flight control optical sensor array’ 

‘‘specially designed’’ for implementing 

‘‘active flight control systems’’; or 

Technical Note: For the purposes of 

7E004.a.6, a ‘flight control optical sensor 

array’ is a network of distributed optical 

sensors, using ‘‘laser’’ beams, to provide realtime flight control data for on-board 

processing. 

a.7. ‘‘DBRN’’ systems designed to navigate 

underwater, using sonar or gravity databases, 

that provide a positioning ‘‘accuracy’’ equal 

to or less (better) than 0.4 nautical miles; 

b. ‘‘Development’’ ‘‘technology’’, as 

follows, for ‘‘active flight control systems’’ 

(including ‘‘fly-by-wire systems’’ or ‘‘fly-bylight systems’’): 

b.1. Photonic-based ‘‘technology’’ for 

sensing ‘‘aircraft’’ or flight control 

component state, transferring flight control 

data, or commanding actuator movement, 

‘‘required’’ for ‘‘fly-by-light systems’’ ‘‘active 

flight control systems’’; 

b.2. [Reserved] 

b.3. Real-time algorithms to analyze 

component sensor information to predict and 

preemptively mitigate impending 

degradation and failures of components 

within an ‘‘active flight control system’’; 

Note: 7E004.b.3 does not include 

algorithms for purpose of off-line 

maintenance. 

b.4. Real-time algorithms to identify 

component failures and reconfigure force and 

moment controls to mitigate ‘‘active flight 

control system’’ degradations and failures; 

Note: 7E004.b.4 does not include 

algorithms for the elimination of fault effects 

through comparison of redundant data 

sources, or off-line pre-planned responses to 

anticipated failures. 

b.5. Integration of digital flight control, 

navigation and propulsion control data, into 

a digital flight management system for ‘‘total 

control of flight’’; 

Note: 7E004.b.5 does not apply to: 

1. ‘‘Technology’’ for integration of digital 

flight control, navigation and propulsion 

control data, into a digital flight management 

system for ‘flight path optimization’; 

2. ‘‘Technology’’ for ‘‘aircraft’’ flight 

instrument systems integrated solely for VOR, 

DME, ILS or MLS navigation or approaches. 

Technical Note: ‘Flight path 

optimization’ is a procedure that minimizes 

deviations from a four-dimensional (space 

and time) desired trajectory based on 

maximizing performance or effectiveness for 

mission tasks. 

b.6. [Reserved] 

b.7. ‘‘Technology’’ ‘‘required’’ for deriving 

the functional requirements for ‘‘fly-by-wire 

systems’’ having all of the following: 

b.7.a. ‘Inner-loop’ airframe stability 

controls requiring loop closure rates of 40 Hz 

or greater; and 

Technical Note: For the purposes of 

7E004.b.7.a, ‘inner-loop’ refers to functions of 

‘‘active flight control systems’’ that automate 

airframe stability controls. 

b.7.b. Having any of the following: 

b.7.b.1. Corrects an aerodynamically 

unstable airframe, measured at any point in 

the design flight envelope, that would lose 

recoverable control if not corrected within 

0.5 seconds; 

b.7.b.2. Couples controls in two or more 

axes while compensating for ‘abnormal 

changes in aircraft state’; 

Technical Note: For the purposes of 

7E004.b.7.b.2, ‘abnormal changes in aircraft 

state’ include in-flight structural damage, 

loss of engine thrust, disabled control 

surface, or destabilizing shifts in cargo load. 

b.7.b.3. Performs the functions specified in 

7E004.b.5; or 

Note: 7E004.b.7.b.3 does not apply to 

autopilots. 

b.7.b.4. Enables ’’aircraft’’ to have stable 

controlled flight, other than during take-off or 

landing, at greater than 18 degrees angle of 

attack, 15 degrees side slip, 15 degrees/ 

second pitch or yaw rate, or 90 degrees/ 

second roll rate; 

b.8. ‘‘Technology’’ ‘‘required’’ for deriving 

the functional requirements of ‘‘fly-by-wire 

systems’’ to achieve all of the following: 

b.8.a. No loss of control of the ’’aircraft’’ in 

the event of a consecutive sequence of any 

two individual faults within the ‘‘fly-by-wire 

system’’; and 

b.8.b. Probability of loss of control of the 

’’aircraft’’ being less (better) than 1 × 10¥9

failures per flight hour; 

Note: 7E004.b does not apply to 

‘‘technology’’ associated with common 

computer elements and utilities (e.g., input 

signal acquisition, output signal 

transmission, computer ‘‘program’’ and data 

loading, built-in test, task scheduling 

mechanisms) not providing a specific flight 

control system function. 

c. ‘‘Technology’’ for the ‘‘development’’ of 

helicopter systems, as follows: 

c.1. Multi-axis fly-by-wire or fly-by-light 

controllers, which combine the functions of 

at least two of the following into one 

controlling element: 


ddrumheller on DSK120RN23PROD with RULES2
Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71979 

c.1.a. Collective controls; 

c.1.b. Cyclic controls; 

c.1.c. Yaw controls; 

c.2. ‘‘Circulation-controlled anti-torque or 

circulation-controlled direction control 

systems’’; 

c.3. Rotor blades incorporating ‘variable 

geometry airfoils’, for use in systems using 

individual blade control. 

Technical Note: For the purposes of 

7E004.c.3, ‘variable geometry airfoils’ use 

trailing edge flaps or tabs, or leading edge 

slats or pivoted nose droop, the position of 

which can be controlled in flight. 

* * * * * 

8A001 Submersible vehicles and surface 

vessels, as follows (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $5000; N/A for 8A001.b and .c.1 

GBS: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any commodity in 8A001.b, 

8A001.c or 8A001.d to any of the 

destinations listed in Country Group A:6 

(See Supplement No.1 to part 740 of the 

EAR). 

List of Items Controlled 

Related Controls: For the control status of 

equipment for submersible vehicles, see: 

Category 6 for sensors; Categories 7 and 8 

for navigation equipment; Category 8A for 

underwater equipment. 

Related Definitions: N/A 

Items: 

a. Manned, tethered submersible vehicles 

designed to operate at depths exceeding 

1,000 m; 

b. Manned, untethered submersible 

vehicles having any of the following: 

b.1. Designed to ‘operate autonomously’ 

and having a lifting capacity of all the 

following: 

b.1.a. 10% or more of their weight in air; 

and 

b.1.b. 15 kN or more; 

b.2. Designed to operate at depths 

exceeding 1,000 m; or 

b.3. Having all of the following: 

b.3.a. Designed to continuously ‘operate 

autonomously’ for 10 hours or more; and 

b.3.b. ‘Range’ of 25 nautical miles or more; 

Technical Notes: 

1. For the purposes of 8A001.b, ‘operate 

autonomously’ means fully submerged, 

without snorkel, all systems working and 

cruising at minimum speed at which the 

submersible can safely control its depth 

dynamically by using its depth planes only, 

with no need for a support vessel or support 

base on the surface, sea-bed or shore, and 

containing a propulsion system for 

submerged or surface use. 

2. For the purposes of 8A001.b, ‘range’ 

means half the maximum distance a 

submersible vehicle can ‘operate 

autonomously’. 

c. Unmanned submersible vehicles as 

follows: 

c.1. Unmanned submersible vehicles 

having any of the following: 

c.1.a. Designed for deciding a course 

relative to any geographical reference 

without real-time human assistance; 

c.1.b. Acoustic data or command link; or 

c.1.c. Wireless optical data or command 

link exceeding 1,000 m; 

c.2. Unmanned, submersible vehicles, not 

specified in 8A001.c.1, having all of the 

following: 

c.2.a. Designed to operate with a tether; 

c.2.b. Designed to operate at depths 

exceeding 1,000 m; and 

c.2.c. Having any of the following: 

c.2.c.1. Designed for self-propelled 

maneuver using propulsion motors or 

thrusters specified by 8A002.a.2; or 

c.2.c.2. Fiber optic data link; 

d. [Reserved] 

e. Ocean salvage systems with a lifting 

capacity exceeding 5 MN for salvaging 

objects from depths exceeding 250 m and 

having any of the following: 

e.1. Dynamic positioning systems capable 

of position keeping within 20 m of a given 

point provided by the navigation system; or 

e.2. Seafloor navigation and navigation 

integration systems, for depths exceeding 

1,000 m and with positioning ‘‘accuracies’’ to 

within 10 m of a predetermined point. 

8A002 Marine systems, equipment, ‘‘parts’’ 

and ‘‘components,’’ as follows (see List 

of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $5000; N/A for 8A002.o.3.b 

GBS: Yes for manipulators for civil end uses 

(e.g., underwater oil, gas or mining 

operations) controlled by 8A002.i.2 and 

having 5 degrees of freedom of movement; 

and 8A002.r. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship any commodity in 8A002.b, h, 

j, o.3, or p to any of the destinations listed 

in Country Group A:6 (See Supplement 

No.1 to part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) See also 8A992 and for 

underwater communications systems, see 

Category 5, Part I—Telecommunications. 

(2) See also 8A992 for self-contained 

underwater breathing apparatus that is not 

controlled by 8A002 or released for control 

by the 8A002.q Note. (3) For electronic 

imaging systems ‘‘specially designed’’ or 

modified for underwater use incorporating 

image intensifier tubes specified by 

6A002.a.2.a or 6A002.a.2.b, see 6A003.b.3. 

(4) For electronic imaging systems 

‘‘specially designed’’ or modified for 

underwater use incorporating ‘‘focal plane 

arrays’’ specified by 6A002.a.3.g, see 

6A003.b.4.c. (5) Section 744.9 imposes a 

license requirement on commodities 

described in 8A002.d if being exported, 

reexported, or transferred (in-country) for 

use by a military end-user or for 

incorporation into an item controlled by 

ECCN 0A919. 

Related Definitions: N/A 

Items: 

a. Systems, equipment, ‘‘parts’’ and 

‘‘components,’’ ‘‘specially designed’’ or 

modified for submersible vehicles and 

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; 

a.4. ‘‘Parts’’ and ‘‘components’’ 

manufactured from material specified by 

ECCN 8C001; 

Technical Note: For the purposes of 

8A002.a.4, this entry should not be defeated 

by the export of ‘syntactic foam’ controlled 

by 8C001 when an intermediate stage of 

manufacture has been performed and it is 

not yet in its final component form. 

b. Systems ‘‘specially designed’’ or 

modified for the automated control of the 

motion of submersible vehicles controlled by 

8A001, using navigation data, having closed 

loop servo-controls and having any of the 

following: 

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 pressure hull penetrators; 

d. Underwater vision systems having all of 

the following: 

d.1. ‘‘Specially designed’’ or modified for 

remote operation with an underwater 

vehicle; and 


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d.2. Employing any of the following 

techniques to minimize the effects of back 

scatter: 

d.2.a. Range-gated illuminators; or 

d.2.b. Range-gated ‘‘laser’’ systems; 

e. [Reserved] 

f. [Reserved] 

g. Light systems ‘‘specially designed’’ or 

modified for underwater use, as follows: 

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 and 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 ‘‘composite’’ 

‘‘fibrous or filamentary materials’’ in their 

structural members; 

i. Remotely controlled articulated 

manipulators ‘‘specially designed’’ or 

modified for use with submersible vehicles 

and having any of the following: 

i.1. Systems which control the manipulator 

using information from sensors which 

measure any of the following: 

i.1.a. Torque or force applied to an external 

object; or 

i.1.b. Tactile sense between the 

manipulator and an external object; or 

i.2. Controlled by proportional masterslave techniques and having 5 degrees of 

‘freedom of movement’ or more; 

Technical Note: For the purposes of 

8A002.i.2, only functions having 

proportionally related motion control using 

positional feedback 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 having all of the following: 

j.1.d.1. ‘‘Specially designed’’ to pressurize 

the products of reaction or for fuel 

reformation; 

j.1.d.2. ‘‘Specially designed’’ to store the 

products of the reaction; and 

j.1.d.3. ‘‘Specially designed’’ 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 and 

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 having all of the following: 

j.3.b.1. ‘‘Specially designed’’ to pressurize 

the products of reaction or for fuel 

reformation; 

j.3.b.2. ‘‘Specially designed’’ to store the 

products of the reaction; and 

j.3.b.3. ‘‘Specially designed’’ 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. [Reserved] 

l. [Reserved] 

m. [Reserved] 

n. [Reserved] 

o. Propellers, power transmission systems, 

power generation systems and noise 

reduction systems, as follows: 

o.1. [Reserved] 

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 motors with a power output 

exceeding 2.5 MW; 

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

motors with a power output exceeding 0.1 

MW; 

o.2.d. Power transmission shaft systems 

incorporating ‘‘composite’’ material ‘‘parts’’ 

or ‘‘components’’ and 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 tonnes 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 

generator sets, gas turbines, gas turbine 

generator sets, propulsion motors or 

propulsion reduction gears, ‘‘specially 

designed’’ for sound or vibration isolation 

and 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; 

Technical Note: For the purposes of 

8A002.o.3.b, ’active noise reduction or 

cancellation systems’ incorporate electronic 

control systems capable of actively reducing 

equipment vibration by the generation of 

anti-noise or anti-vibration signals directly to 

the source. 

o.4. Permanent magnet electric propulsion 

motors ‘‘specially designed’’ for submersible 

vehicles, having a power output exceeding 

0.1 MW. 

Note: 8A002.o.4. includes rim-driven 

propulsion systems. 

p. Pumpjet propulsion systems having all 

of the following: 

p.1. Power output exceeding 2.5 MW; and 

p.2. Using divergent nozzle and flow 

conditioning vane techniques to improve 

propulsive efficiency or reduce propulsiongenerated underwater-radiated noise; 

q. Underwater swimming and diving 

equipment as follows; 

q.1. Closed circuit rebreathers; 

q.2. Semi-closed circuit rebreathers; 

Note: 8A002.q does not control individual 

rebreathers for personal use when 

accompanying their users. 

N.B. For equipment and devices ‘‘specially 

designed’’ for military use see ECCN 8A620.f. 

r. Diver deterrent acoustic systems 

‘‘specially designed’’ or modified to disrupt 

divers and having a sound pressure level 

equal to or exceeding 190 dB (reference 1 mPa 

at 1 m) at frequencies of 200 Hz and below. 

Note 1: 8A002.r does not apply to diver 

deterrent systems based on under-waterexplosive devices, air guns or combustible 

sources. 

Note 2: 8A002.r includes diver deterrent 

acoustic systems that use spark gap sources, 

also known as plasma sound sources. 

* * * * * 

8C001 ‘Syntactic foam’ designed for 

underwater use and having all of the 

following (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: See also 8A002.a.4. 

Related Definition: For the purposes of 

8C001, ‘Syntactic foam’ consists of hollow 

spheres of plastic or glass embedded in a 

resin ‘‘matrix.’’ 


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Items: 

a. Designed for marine depths exceeding 

1,000 m; and 

b. A density less than 561 kg/m3. 

* * * * * 

8E002 Other ‘‘technology’’ as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

License Exceptions Note: License 

Exception TSU is not applicable for the 

repair ‘‘technology’’ controlled by 8E002.a or 

.b, see Supplement No. 2 to part 774. 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit technology in 

8E002.a to any of the destinations listed in 

Country Group A:6 (See Supplement No. 1 

to part 740 of the EAR). 

List of Items Controlled 

Related Controls: See also 8E992. 

Related Definitions: N/A 

Items: 

a. ‘‘Technology’’ for the ‘‘development’’, 

‘‘production’’, repair, overhaul or 

refurbishing (re-machining) of propellers 

‘‘specially designed’’ for underwater noise 

reduction; 

b. ‘‘Technology’’ for the overhaul or 

refurbishing of equipment controlled by 

8A001, 8A002.b, 8A002.j, 8A002.o or 

8A002.p. 

c. ‘‘Technology’’ according to the General 

Technology Note for the ‘‘development’’ or 

‘‘production’’ of any of the following: 

c.1. Surface-effect vehicles (fully skirted 

variety) having all of the following: 

c.1.a. Maximum design speed, fully loaded, 

exceeding 30 knots in a significant wave 

height of 1.25 m or more; 

c.1.b. Cushion pressure exceeding 3,830 

Pa; and 

c.1.c. Light-ship-to-full-load displacement 

ratio of less than 0.70; 

c.2. Surface-effect vehicles (rigid sidewalls) 

with a maximum design speed, fully loaded, 

exceeding 40 knots in a significant wave 

height of 3.25 m or more; 

c.3. Hydrofoil vessels with active systems 

for automatically controlling foil systems, 

with a maximum design speed, fully loaded, 

of 40 knots or more in a significant wave 

height of 3.25 m or more; or 

c.4. ‘Small waterplane area vessels’ having 

any of the following: 

c.4.a. Full load displacement exceeding 

500 tonnes with a maximum design speed, 

fully loaded, exceeding 35 knots in a 

significant wave height of 3.25 m or more; or 

c.4.b. Full load displacement exceeding 

1,500 tonnes with a maximum design speed, 

fully loaded, exceeding 25 knots in a 

significant wave height of 4 m or more. 

Technical Note: For the purposes of 

8E002.c.4, a ‘small waterplane area vessel’ is 

defined by the following formula: waterplane 

area at an operational design draft less than 

2x (displaced volume at the operational 

design draft)2/3. 

* * * * * 

9A001 Aero gas turbine engines having any 

of the following (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to only to 

those engines that 

meet the characteristics listed in 

9A101.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: See also 9A101 and 9A991. 

Related Definitions: N/A 

Items: 

a. Incorporating any of the ‘‘technologies’’ 

controlled by 9E003.a, 9E003.h, or 9E003.i; 

Note 1: 9A001 does not control aero gas 

turbine engines which meet all of the 

following: 

a. Certified by the civil aviation authority 

in a country listed in Supplement No. 1 to 

Part 743; and 

b. Intended to power non-military manned 

‘‘aircraft’’ for which any of the following has 

been issued by a Wassenaar Arrangement 

Participating State listed in Supplement No. 

1 to Part 743 for the ‘‘aircraft’’ with this 

specific engine type: 

b.1. A civil type certificate; or 

b.2. An equivalent document recognized by 

the International Civil Aviation Organization 

(ICAO). 

Note 2: 9A001 does not apply to aero gas 

turbine engines designed for Auxiliary Power 

Units (APUs) approved by the civil aviation 

authority in a Wassenaar Arrangement 

Participating State (see Supplement No. 1 to 

part 743 of the EAR). 

b. [Reserved] 

* * * * * 

9A003 ‘‘Specially designed’’ assemblies or 

‘‘components’’, incorporating any of the 

‘‘technologies’’ controlled by 9E003.a, 

9E003.h, 9E003.i, or 9E003.k, for any of 

the following aero gas turbine engines 

(see List of Items Controlled). 

License Requirements 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $5000 

GBS: N/A 

List of Items Controlled 

Related Controls: N/A 

Related Definition: N/A 

Items: 

a. Controlled by 9A001; or 

b. Whose design or production origins are 

either not from a Wassenaar Participating 

State (see Supplement No. 1 to part 743 of 

the EAR) or unknown to the manufacturer. 

9A004 Space launch vehicles and 

‘‘spacecraft,’’ ‘‘spacecraft buses’’, 

‘‘spacecraft payloads’’, ‘‘spacecraft’’ onboard systems or equipment, terrestrial 

equipment, air-launch platforms, and 

‘‘sub-orbital craft’’, as follows (see List 

of Items Controlled). 

License Requirements 

Reason for Control: NS and AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to 

9A004.g, .u, .v, .w 

and .x.

NS Column 1 

AT applies to 

9A004.g, .u, .v, .w, 

.x and .y.

AT Column 1 

License Requirement Note: 9A004.b 

through .f, and .h are controlled under 

ECCN 9A515. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: (1) See also 9A104, 9A515, 

and 9B515. (2) See ECCNs 9E001 

(‘‘development’’) and 9E002 

(‘‘production’’) for technology for items 

controlled by this entry. (3) See USML 

Categories IV for the space launch vehicles 

and XV for other spacecraft that are 

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

120 through 130). 

Related Definition: N/A 

Items: 

a. Space launch vehicles; 

b. ‘‘Spacecraft’’; 

c. ‘‘Spacecraft buses’’; 

d. ‘‘Spacecraft payloads’’ incorporating 

items specified by 3A001.b.1.a.4, 3A002.g, 


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5A001.a.1, 5A001.b.3, 5A002.c, 5A002.e, 

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

6A003.b, 6A004.c, 6A004.e, 6A008.d, 

6A008.e, 6A008.k, 6A008.l or 9A010.c; 

e. On-board systems or equipment, 

‘‘specially designed’’ for ‘‘spacecraft’’ and 

having any of the following functions: 

e.1. ‘Command and telemetry data 

handling’; 

Note: For the purposes of 9A004.e.1, 

‘command and telemetry data handling’ 

includes bus data management, storage, and 

processing. 

e.2. ‘Payload data handling’; or 

Note: For the purposes of 9A004.e.2, 

‘payload data handling’ includes payload 

data management, storage, and processing. 

e.3. ‘Attitude and orbit control’; 

Note: For the purposes of 9A004.e.3, 

‘attitude and orbit control’ includes sensing 

and actuation to determine and control the 

position and orientation of a ‘‘spacecraft’’. 

N.B.: Equipment ‘‘specially designed’’ for 

military use is ‘‘subject to the ITAR’’. See 22 

CFR parts 120 through 130. 

f. Terrestrial equipment ‘‘specially 

designed’’ for ‘‘spacecraft’’, as follows: 

f.1. Telemetry and telecommand 

equipment ‘‘specially designed’’ for any of 

the following data processing functions: 

f.1.a. Telemetry data processing of frame 

synchronization and error corrections, for 

monitoring of operational status (also known 

as health and safe status) of the ‘‘spacecraft 

bus’’; or 

f.1.b. Command data processing for 

formatting command data being sent to the 

‘‘spacecraft’’ to control the ‘‘spacecraft bus’’; 

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

‘verification of operational procedures’ of 

‘‘spacecraft’’. 

Technical Note: For the purposes of 

9A004.f.2, ‘verification of operational 

procedures’ is any of the following: 

1. Command sequence confirmation; 

2. Operational training; 

3. Operational rehearsals; or 

4. Operational analysis. 

g. ‘‘Aircraft’’ ‘‘specially designed’’ or 

modified to be air-launch platforms for space 

launch vehicles or ‘‘sub-orbital craft’’. 

h. ‘‘Sub-orbital craft’’. 

i. through t. [Reserved] 

u. The James Webb Space Telescope 

(JWST) being developed, launched, and 

operated under the supervision of the U.S. 

National Aeronautics and Space 

Administration (NASA). 

v. ‘‘Parts,’’ ‘‘components,’’ ‘‘accessories’’ 

and ‘‘attachments’’ that are ‘‘specially 

designed’’ for the James Webb Space 

Telescope and that are not: 

v.1. Enumerated or controlled in the 

USML; 

v.2. Microelectronic circuits; 

v.3. Described in ECCN 7A004 or 7A104; 

or 

v.4. Described in an ECCN containing 

‘‘space-qualified’’ as a control criterion (See 

ECCN 9A515.x.4). 

w. The International Space Station being 

developed, launched, and operated under the 

supervision of the U.S. National Aeronautics 

and Space Administration. 

x. ‘‘Parts,’’ ‘‘components,’’ ‘‘accessories’’ 

and ‘‘attachments’’ that are ‘‘specially 

designed’’ for the International Space Station. 

y. Items that would otherwise be within 

the scope of ECCN 9A004.v or .x but that 

have been identified in an interagencycleared commodity classification (CCATS) 

pursuant to § 748.3(e) as warranting control 

in 9A004.y. 

9B005 On-line (real time) control systems, 

instrumentation (including sensors) or 

automated data acquisition and 

processing equipment, ‘‘specially 

designed’’ for use with any of the 

following (see List of Items Controlled). 

Reason for Control: NS, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

AT applies to entire 

entry.

AT Column 1 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: N/A 

GBS: N/A 

List of Items Controlled 

Related Controls: See also 9B105. 

Related Definitions: N/A 

Items: 

a. Wind tunnels designed for speeds of 

Mach 1.2 or more; 

Note: 9B005.a does not control wind 

tunnels ‘‘specially designed’’ for educational 

purposes and having a ‘test section size’ 

(measured laterally) of less than 250 mm. 

Technical Note: For the purposes of 

9B005.a Note, ‘test section size’ means the 

diameter of the circle, or the side of the 

square, or the longest side of the rectangle, 

at the largest test section location. 

b. Devices for simulating flowenvironments at speeds exceeding Mach 5, 

including hot-shot tunnels, plasma arc 

tunnels, shock tubes, shock tunnels, gas 

tunnels and light gas guns; or 

c. Wind tunnels or devices, other than twodimensional sections, capable of simulating 

Reynolds number flows exceeding 25 × 106. 

* * * * * 

9E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ of equipment or 

‘‘software’’, controlled by 9A004, 9A012, 

9B (except for ECCNs 9B604, 9B610, 

9B619, 9B990 and 9B991), or ECCN 

9D001 to 9D004, 9D101, or 9D104. 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to ‘‘technology’’ for items 

controlled by 

9A004, 9A012, 

9B001 to 9B010, 

9D001 to 9D004 

for NS reasons.

NS Column 1 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

MT applies to ‘‘technology’’ for items 

controlled by 

9A012, 9B001, 

9B002, 9B003, 

9B004, 9B005, 

9B007, 9B104, 

9B105, 9B106, 

9B115, 9B116, 

9B117, 9D001, 

9D002, 9D003, or 

9D004 for MT reasons.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any technology in 

this entry to any of the destinations listed 

in Country Group A:6 (See Supplement No. 

1 to part 740 of the EAR) 

List of Items Controlled 

Related Controls: (1) See also 9E101 and 

1E002.f (for controls on ‘‘technology’’ for 

the repair of controlled structures, 

laminates or materials). (2) ‘‘Technology’’ 

required for the ‘‘development’’ of 

equipment described in ECCNs 9A005 to 

9A011 or ‘‘software’’ described in ECCNs 

9D103 and 9D105 is ‘‘subject to the ITAR.’’ 

Related Definitions: N/A 

Items: 

The list of items controlled is contained in 

the ECCN heading. 

9E002 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘production’’ of ‘‘equipment’’ controlled 

by ECCN 9A004 or 9B (except for ECCNs 

9B117, 9B604, 9B610, 9B619, 9B990, and 

9B991). 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to ‘‘technology’’ for equipment controlled by 

9B001, 9B002, 

9B003, 9B004, 

9B005, 9B007, 

9B104, 9B105, 

9B106, 9B115 or 

9B116 for MT reasons.

MT Column 1 


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Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any technology in 

this entry to any of the destinations listed in 

Country Group A:6 (See Supplement No.1 to 

part 740 of the EAR). 

List of Items Controlled 

Related Controls: (1) See also 9E102. (2) See 

also 1E002.f for ‘technology’’ for the repair 

of controlled structures, laminates, or 

materials. (3) ‘‘Technology’’ that is 

required for the ‘‘production’’ of 

equipment described in ECCNs 9A005 to 

9A011 is ‘‘subject to the ITAR.’’ 

Related Definitions: N/A 

Items: 

The list of items controlled is contained in 

the ECCN heading. 

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

List of Items Controlled). 

License Requirements 

Reason for Control: NS, SI, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

SI applies to 

9E003.a.1 through 

a.8, .h, .i, and .l.

See § 742.14 of the 

EAR for additional 

information. 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions, and Validated End-User 

authorizations. 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

TSR: N/A 

Special Conditions for STA 

STA: License Exception STA may not be 

used to ship or transmit any technology in 

9E003.a.1 to a.5, 9E003.c., 9E003.h, or 

9E003.i (other than technology for fan or 

power turbines) to any of the destinations 

listed in Country Group A:5 or A:6 (See 

Supplement No.1 to part 740 of the EAR). 

License Exception STA may not be used to 

ship or transmit any technology in 9E003.k 

to any of the destinations listed in Country 

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

of the EAR). 

List of Items Controlled 

Related Controls: (1) Hot section 

‘‘technology’’ specifically designed, 

modified, or equipped for military uses or 

purposes, or developed principally with 

U.S. Department of Defense funding, is 

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

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

subject to the EAR when actually applied 

to a commercial ‘‘aircraft’’ engine program. 

Exporters may seek to establish 

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

documentation demonstrating application 

to a commercial program in requesting an 

export license from the Department of 

Commerce in respect to a specific export, 

or in the case of use for broad categories 

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

‘‘components,’’ a commodity jurisdiction 

determination from the Department of 

State. 

Related Definitions: N/A 

Items: 

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

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

following gas turbine engine ‘‘parts,’’ 

‘‘components’’ or systems: 

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

shrouds’’, made from Directionally Solidified 

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

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

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

average property values; 

Technical Note: For the purposes of 

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

typically conducted on a test specimen. 

a.2. Combustors having any of the 

following: 

a.2.a. ‘Thermally decoupled liners’ 

designed to operate at ‘combustor exit 

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

a.2.b. Non-metallic liners; 

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

a.2. d. Liners designed to operate at 

’combustor exit temperature’ exceeding 1,883 

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

parameters specified by 9E003.c; 

a.2.e. Utilizing ‘pressure gain combustion’; 

Technical Note: For the purposes of 

9E003.a.2.e, in ‘pressure gain combustion’ 

the bulk average stagnation pressure at the 

combustor outlet is greater than the bulk 

average stagnation pressure at the combustor 

inlet due primarily to the combustion 

process, when the engine is running in a 

‘‘steady state mode’’ of operation. 

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

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

of the geometry and location of the holes. 

Technical Notes: 

1. For the purposes of 9E003.a.2.a, 

‘thermally decoupled liners’ are liners that 

feature at least a support structure designed 

to carry mechanical loads and a combustion 

facing structure designed to protect the 

support structure from the heat of 

combustion. The combustion facing structure 

and support structure have independent 

thermal displacement (mechanical 

displacement due to thermal load) with 

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

thermally decoupled. 

2. For the purposes of 9E003.a.2.d, 

‘combustor exit temperature’ is the bulk 

average gas path total (stagnation) 

temperature between the combustor exit 

plane and the leading edge of the turbine 

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

station T40 as defined in SAE ARP 755A) 

when the engine is running in a ‘‘steady state 

mode’’ of operation at the certificated 

maximum continuous operating temperature. 

N.B.: See 9E003.c for ‘‘technology’’ 

‘‘required’’ for manufacturing cooling holes. 

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

of the following: 

a.3.a. Manufactured from organic 

‘‘composite’’ materials designed to operate 

above 588 K (315 °C); 

a.3.b. Manufactured from any of the 

following: 

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

reinforced by any of the following: 

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

a.3.b.1.b. ‘‘Fibrous or filamentary 

materials’’ specified by 1C010; or 

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

or 

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

specified by 1C007; or 

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

(shrouds), rotating blings, rotating blisks or 

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

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

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

and 

a.3.c.3. Manufactured from material 

controlled by 1C010.e with resins controlled 

by 1C008; 

Technical Note: For the purposes of 

9E003.a.3.c, a ‘splitter duct’ performs the 

initial separation of the air-mass flow 

between the bypass and core sections of the 

engine. 

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

shrouds’’ designed to operate at a ‘gas path 

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

a.5. Cooled turbine blades, vanes or ‘‘tip 

shrouds’’, other than those described in 

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

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

Technical Note: For the purposes of 

9E003.a.5, ‘gas path temperature’ is the bulk 

average gas path total (stagnation) 

temperature at the leading-edge plane of the 

turbine component when the engine is 

running in a ‘‘steady state mode’’ of 

operation at the certificated or specified 

maximum continuous operating temperature. 

a.6. Airfoil-to-disk blade combinations 

using solid state joining; 

a.7. [Reserved] 

a.8. ‘Damage tolerant’ gas turbine engine 

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

metallurgy materials controlled by 1C002.b; 

or 

Technical Note: For the purposes of 

9E003.a.8, ‘damage tolerant’ ‘‘parts’’ and 

‘‘components’’ are designed using 

methodology and substantiation to predict 

and limit crack growth. 

a.9. [Reserved] 

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

a.10. [Reserved] 

N.B.: For adjustable flow path geometry, 

see 9E003.i. 

a.11. ‘Fan blades’ having all of the 

following: 

a.11.a. 20% or more of the total volume 

being one or more closed cavities containing 

vacuum or gas only; and 


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a.11.b. One or more closed cavities having 

a volume of 5 cm3 or larger; 

Technical Note: For the purposes of 

9E003.a.11, a ‘fan blade’ is the aerofoil 

portion of the rotating stage or stages, which 

provide both compressor and bypass flow in 

a gas turbine engine. 

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

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

following: 

b.1. Wind tunnel aero-models equipped 

with non-intrusive sensors capable of 

transmitting data from the sensors to the data 

acquisition system; or 

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

kW at flight speeds exceeding Mach 0.55; 

c. ‘‘Technology’’ ‘‘required’’ for 

manufacturing cooling holes in gas turbine 

engine ‘‘parts’’ or ‘‘components’’ 

incorporating any of the ‘‘technologies’’ 

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

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

c.1. Having all of the following: 

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

than 0.45 mm2; 

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

and 

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

25°; or 

c.2. Having all of the following: 

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

than 0.12 mm2; 

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

and 

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

Note: 9E003.c does not apply to 

‘‘technology’’ for manufacturing constant 

radius cylindrical holes that are straight 

through and enter and exit on the external 

surfaces of the component. 

Technical Notes: 

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

plane perpendicular to the hole axis. 

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

ratio’ is the nominal length of the axis of the 

hole divided by the square root of its 

minimum ’cross-sectional area’. 

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

angle’ is the acute angle measured between 

the plane tangential to the airfoil surface and 

the hole axis at the point where the hole axis 

enters the airfoil surface. 

4. For the purposes of 9E003.c, methods for 

manufacturing holes include ‘‘laser’’ beam 

machining, water jet machining, ElectroChemical Machining (ECM) or Electrical 

Discharge Machining (EDM). 

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

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

power transfer systems or tilt rotor or tilt 

wing ‘‘aircraft’’ power transfer systems; 

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

‘‘production’’ of reciprocating diesel engine 

ground vehicle propulsion systems having all 

of the following: 

e.1. ‘Box volume’ of 1.2 m3 or less; 

e.2. An overall power output of more than 

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

national equivalents; and 

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

m3 of ‘box volume’; 

Technical Note: For the purposes of 

9E003.e.1., ‘box volume’ is the product of 

three perpendicular dimensions measured in 

the following way: 

Length: The length of the crankshaft from 

front flange to flywheel face; 

Width: The widest of any of the following: 

a. The outside dimension from valve cover 

to valve cover; 

b. The dimensions of the outside edges of 

the cylinder heads; or 

c. The diameter of the flywheel housing; 

Height: The largest of any of the following: 

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

cylinder head) plus twice the stroke; or 

b. The diameter of the flywheel housing. 

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

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

or ‘‘components’’ for high output diesel 

engines, as follows: 

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

‘‘production’’ of engine systems having all of 

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

employing ceramics materials controlled by 

1C007: 

f.1.a Cylinder liners; 

f.1.b. Pistons; 

f.1.c. Cylinder heads; and 

f.1.d. One or more other ‘‘part’’ or 

‘‘component’’ (including exhaust ports, 

turbochargers, valve guides, valve assemblies 

or insulated fuel injectors); 

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

‘‘production’’ of turbocharger systems with 

single-stage compressors and having all of 

the following: 

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

higher; 

f.2.b. Mass flow in the range from 30 to 130 

kg per minute; and 

f.2.c. Variable flow area capability within 

the compressor or turbine sections; 

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

‘‘production’’ of fuel injection systems with 

a ‘‘specially designed’’ multifuel (e.g., diesel 

or jet fuel) capability covering a viscosity 

range from diesel fuel (2.5 cSt at 310.8 K 

(37.8 °C)) down to gasoline fuel (0.5 cSt at 

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

following: 

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

mm3 per injection per cylinder; and 

f.3.b. Electronic control features ‘‘specially 

designed’’ for switching governor 

characteristics automatically depending on 

fuel property to provide the same torque 

characteristics by using the appropriate 

sensors; 

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

‘‘development’’ or ‘‘production’’ of ‘high 

output diesel engines’ for solid, gas phase or 

liquid film (or combinations thereof) cylinder 

wall lubrication and permitting operation to 

temperatures exceeding 723 K (450 °C), 

measured on the cylinder wall at the top 

limit of travel of the top ring of the piston; 

Technical Note: For the purposes of 

9E003.g, ‘high output diesel engines’ are 

diesel engines with a specified brake mean 

effective pressure of 1.8 MPa or more at a 

speed of 2,300 r.p.m., provided the rated 

speed is 2,300 r.p.m. or more. 

h. ‘‘Technology’’ for gas turbine engine 

‘‘FADEC systems’’ as follows: 

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

deriving the functional requirements for the 

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

‘‘FADEC system’’ to regulate engine thrust or 

shaft power (e.g., feedback sensor time 

constants and accuracies, fuel valve slew 

rate); 

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

‘‘technology’’ for control and diagnostic 

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

‘‘FADEC system’’ and used to regulate engine 

thrust or shaft power; 

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

control law algorithms, including ‘‘source 

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

used to regulate engine thrust or shaft power; 

Note: 9E003.h does not apply to 

technology related to engine-‘‘aircraft’’ 

integration required by civil aviation 

authorities of one or more Wassenaar 

Arrangement Participating States (See 

Supplement No. 1 to part 743 of the EAR) to 

be published for general airline use (e.g., 

installation manuals, operating instructions, 

instructions for continued airworthiness) or 

interface functions (e.g., input/output 

processing, airframe thrust or shaft power 

demand). 

i. ‘‘Technology’’ for adjustable flow path 

systems designed to maintain engine stability 

for gas generator turbines, fan or power 

turbines, or propelling nozzles, as follows: 

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

deriving the functional requirements for the 

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

engine stability; 

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

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

unique to the adjustable flow path system 

and that maintain engine stability; 

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

control law algorithms, including ‘‘source 

code’’, unique to the adjustable flow path 

system and that maintain engine stability; 

Note: 9E003.i does not apply to 

‘‘technology’’ for any of the following: 

a. Inlet guide vanes; 

b. Variable pitch fans or prop-fans; 

c. Variable compressor vanes; 

d. Compressor bleed valves; or 

e. Adjustable flow path geometry for 

reverse thrust. 

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

‘‘development’’ of wing-folding systems 

designed for fixed-wing ‘‘aircraft’’ powered 

by gas turbine engines. 

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

‘‘development’’ of wing-folding systems 

designed for fixed-wing ‘‘aircraft’’ specified 

in USML Category VIII (a), see USML 

Category VIII (i). 

k. ‘‘Technology’’, not specified in 9E003.a, 

9E003.h, or 9E003.i, ‘‘required’’ for the 

‘‘development’’ of any of the following 

components or systems, ‘‘specially designed’’ 

for aero gas turbine engines to enable 

‘‘aircraft’’ to cruise at Mach 1 or greater for 

more than 30 minutes: 

k.1. Propulsion inlet systems; 

k.2. Propulsion exhaust systems; 

k.3. ’Reheat systems’; 

k.4. ‘Active thermal management systems’ 

to condition fluids used to lubricate or cool 

‘engine rotor supports’; 

k.5. Oil-free ’engine rotor supports’; or 

k.6. Systems to remove heat from 

’compression system’ core gas path flow. 

Technical Notes: For the purposes of 

9E003.k: 

1. Propulsion inlet systems include core 

flow pre-coolers. 


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2. ’Reheat systems’ provide additional 

thrust by combusting fuel in exhaust and/or 

bypass flow downstream of the last 

turbomachinery stage. ’Reheat systems’ are 

also referred to as afterburners. 

3. ’Active thermal management systems’ 

employ methods other than passive oil-to-air 

cooling or oil-to-fuel cooling, such as vapor 

cycle systems. 

4. ’Compression system’ is any stage or 

combination of stages between the engine 

inlet face and the combustor that increases 

gas path pressure through mechanical work. 

5. An ’engine rotor support’ is the bearing 

supporting the main engine shaft that drives 

the compression system or turbine rotors. 

N.B. 1 See 9E003.h, for engine control 

technology. 

N.B. 2 See 9E003.i, for adjustable flow 

path systems technology. 

l. ‘‘Technology’’ not otherwise controlled 

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

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

overhaul of hot section ‘‘parts’’ or 

‘‘components’’ of civil derivatives of military 

engines controlled on the U.S. Munitions 

List. 

* * * * * 

■ 13. Supplement no. 6 to part 774 is 

amended by revising paragraph (4) to 

read as follows: 

Supplement No. 6 to Part 774— 

Sensitive List 

* * * * * 

(4) Category 4 

(i) 4A001.a.2. 

(ii) [Reserved] 

* * * * * 

Thea D. Rozman Kendler, 

Assistant Secretary for Export 

Administration. 

[FR Doc. 2023–22299 Filed 10–12–23; 4:15 pm] 

BILLING CODE 3510–33–P 


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