Vol. 77 Monday, 

No. 127 July 2, 2012 

Part II 

Department of Commerce 

Bureau of Industry and Security 

15 CFR Parts 734, 738, 740, et al. 

Wassenaar Arrangement 2011 Plenary Agreements Implementation: 

Commerce Control List, Definitions, New Participating State (Mexico) and 

Reports; Final Rule 


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39354 Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 734, 738, 740, 742, 743, 

744, 746, 748, 752, 770, 772, 774 

[Docket No. 111220789–1017–01] 

RIN 0694–AF50 

Wassenaar Arrangement 2011 Plenary 

Agreements Implementation: 

Commerce Control List, Definitions, 

New Participating State (Mexico) and 

Reports 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Final rule. 

SUMMARY: The Bureau of Industry and 

Security (BIS) maintains, as part of its 

Export Administration Regulations 

(EAR), the Commerce Control List 

(CCL), which identifies items subject to 

Department of Commerce export 

controls. This final rule revises the CCL 

to implement changes made to the 

Wassenaar Arrangement’s List of DualUse Goods and Technologies 

(Wassenaar List) maintained and agreed 

to by governments participating in the 

Wassenaar Arrangement on Export 

Controls for Conventional Arms and 

Dual-Use Goods and Technologies 

(Wassenaar Arrangement, or WA) at the 

December 2011 WA Plenary Meeting 

(the Plenary). The Wassenaar 

Arrangement advocates implementation 

of effective export controls on strategic 

items with the objective of improving 

regional and international security and 

stability. To harmonize the CCL with 

the changes made to the Wassenaar List 

at the Plenary, this rule amends entries 

on the CCL that are controlled for 

national security reasons in Categories 

1, 2, 3, 4, 5 Parts I & II, 6, 7, 8, and 9; 

revises reporting requirements; and 

adds, removes, and amends definitions 

in the EAR. 

This rule raises the Adjusted Peak 

Performance (APP) parameter for high 

performance computers. President 

Obama sent the report required to make 

this change to Congress on March 16, 

2012. This rule also raises the APP 

eligibility level for deemed exports of 

computers in License Exception APP. 

This final rule also revises the CCL 

and definitions of terms used in the 

EAR to implement changes to the WA 

list that pertain to low light level (LLL) 

items that were agreed upon by the WA 

in December 2007 through 2011 at the 

Wassenaar Arrangement Plenary 

Meetings. 

Additionally, this rule adds Mexico as 

the 41st Participating State in the list of 

WA members in the EAR. 

DATES: Effective Date: This rule is 

effective: July 2, 2012. 

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: 

Category 1: Michael Rithmire at 202– 

482–6105 

Category 2: George Loh at 202–482–3570 

Category 3: Brian Baker at 202–482– 

5534 

Category 4: Joseph Young at 202–482– 

4197 

Category 5: Part 1: Joseph Young at 202– 

482–4197 

Category 5: Part 2: ITCD staff 202–482– 

0707 

Category 6: (optics): Chris Costanzo at 

202–482–0718 

Category 6: (lasers): Mark Jaso at 202– 

482–0987 

Category 6: (sensors and cameras): John 

Varesi 202–482–1114 

Categories 7 and 9: Daniel Squire at 

202–482–3710 

Category 8: Darrell Spires at 202–482– 

1954 

SUPPLEMENTARY INFORMATION: 

Background 

The Wassenaar Arrangement (WA) on 

Export Controls for Conventional Arms 

and Dual-Use Goods and Technologies 

is a group of 41 like-minded states 

committed to promoting responsibility 

and transparency in the global arms 

trade, and preventing destabilizing 

accumulations of arms. As a 

Participating State, the United States 

has committed to controlling for export 

all items on the WA control lists. The 

lists were first established in 1996 and 

have been revised annually thereafter. 

Proposals for changes to the WA control 

lists that achieve consensus are 

approved by Participating States at 

annual December Plenary meetings. 

Participating States are charged with 

implementing the agreed list changes as 

soon as possible after approval. 

Implementation of WA list changes 

ensures U.S. companies have a level 

playing field with their competitors in 

other WA member states. 

Revisions to the Commerce Control List 

Out of the 44 ECCNs this rule revises, 

the following 28 ECCNs on the 

Commerce Control List (CCL) are 

revised to implement the changes to the 

Wassenaar List of Dual-Use Goods and 

Technologies agreed to at the December 

2011 WA Plenary meeting: ECCNs 

1A004, 1A005, 1C006, 1C008, 2B001, 

2B008, 2B009, 2E001, 3A001, 3A002, 

3B001, 3C001, 3E003, 4A003, 5A001, 

5B001, 5D001,5E001, 5A002, 6A001, 

7A004, 7D002, 7D003, 7E004, 8A002, 

9A012, 9D004 and 9E003. 

Corresponding changes related to the 

addition of 5A001.i are made to ECCNs: 

5A980, 5D980, and 5E980. 

Corresponding changes are made to 

ECCN 3E002 to reflect the raising of the 

Adjusted Peak Performance (APP) 

control level of high performance 

computers in ECCN 4A003, in so far as 

these changes impact deemed export 

eligibility under License Exception CIV. 

To complete the implementation of 

the December 2007, 2008, and 2009 

agreed revisions to the Wassenaar List of 

Dual Use Goods and Technologies, this 

rule revises ECCNs: 0A919, 6A002, 

6A003, 6D991, 6D994, 6E001, 6E002, 

6E101, and 8A002, as described below. 

Corrections that are not part of the 

WA 2011 agreements, but that are 

essential to the scope of control of these 

WA listed items, are made to the 

following ECCNs: 3A001.f, 3E001, 

6B008, 7A003 and 7A005. These 

changes are described in more detail 

below. 

The Wassenaar Arrangement Task 

Force on Editorial Issues (TFEI) made 

revisions, editorial in nature, to clarify 

or correct control text or remove 

extraneous text. The TFEI revisions 

(over 2,000) were agreed upon by the 

WA in December 2007. This rule 

implements those TFEI revisions that 

coincide with the revisions to ECCNs 

affected by the 2007, 2008, 2009, and 

2010 WA changes to ECCNs 6A002, 

6A003, 6E001, 6E002, and 8A002. 

As a result of the changes made to the 

Technical Notes to Category 2 Product 

Group B and to ECCN 2B001, there are 

corresponding changes to ECCNs 2A201 

and 2A991, as well as the definition of 

‘‘positioning accuracy’’ in Section 772.1. 

Category 0 Nuclear Materials, 

Facilities, and Equipment [and 

Miscellaneous Items] 

ECCN 0A919 ‘‘Military commodities’’ 

This rule revises paragraph 0A919.d 

to add reference to ECCNs 6A003.b.3 

and 6A003.b.4.c. Therefore, ECCN 

0A919 will control ‘‘military 

commodities’’ that incorporate one or 

more cameras controlled under ECCN 

6A003.b.3, b.4.b, or 6A003.b.4.c. In 

addition, the RS control paragraph is 

revised to add a citation reference that 

states ‘‘see § 742.6(a)(3) for license 

requirements.’’ ECCN 0A919 is 

controlled for RS:1, AT:1 and UN for 

Rwanda (see Section 746.7) reasons for 

control. There are special RS Column 1 

license requirements applicable for 

ECCN 0A919, found in Section 


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Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 39355 

742.6(a)(3), therefore the Commerce 

Country Chart is not used to determine 

license requirements for the RS Column 

1 control. The special RS:1 license 

requirements for ECCN 0A919 require a 

license for reexports to all destinations, 

except Canada, except when such items 

are being reexported as part of a military 

deployment by a unit of the government 

of Albania, Australia, Austria, Belgium, 

Bulgaria, Canada, Croatia, Cyprus, 

Czech Republic, Denmark, Estonia, 

Finland, France, Germany, Greece, 

Hungary, Iceland, Ireland, Italy, Japan, 

Latvia, Lithuania, Luxembourg, Malta, 

the Netherlands, New Zealand, Norway, 

Poland, Portugal, Romania, Slovakia, 

Slovenia, South Africa, South Korea, 

Spain, Sweden, Switzerland, Turkey, 

the United Kingdom or the United 

States. 

Category 1 Special Materials and 

Related Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ 

ECCN 1A004 (Protective and detection 

equipment and components) 

A Note is added after the introductory 

paragraph a. in the Items paragraph to 

clarify that the scope of the control on 

gas masks, filter canisters, and 

decontamination equipment includes 

Powered Air Purifying Respirators 

(PAPR) that are designed or modified for 

defense against agents or materials 

listed in 1A004.a. 

ECCN 1A005 (Body armor) 

The Heading and the List of Items 

Controlled are revised to make them 

clearer. The control paragraphs for 

‘‘body armor’’ are expanded from one 

paragraph to two, of which the first lists 

‘‘soft body armor * * *’’ and second 

lists ‘‘hard body armor plates providing 

ballistic protection* * *.’’ 

Note 1 is revised by removing the 

phrase ‘‘or protective garments’’ to be 

more specific and to harmonize with the 

scope of the control. The revision also 

replaces ‘‘their’’ with ‘‘its’’ to correct the 

grammar in the Note. 

Note 3 is added to make it clear that 

1A005 controls body armor that 

provides ballistic protection and thus 

‘‘does not apply to body armor designed 

to provide protection only from knife, 

spike, needle or blunt trauma.’’ 

ECCN 1C006 (Fluids and Lubricating 

Materials) 

A Note to paragraph 1C006.d is added 

so that it ‘‘does not apply to materials 

specified and packaged as medical 

products.’’ Some WA countries have not 

controlled such materials based on the 

medical Statement of Understanding 

(SOU). Other WA countries interpret the 

SOU strictly as applying only to medical 

equipment and controlled medical 

materials. This note is added to clarify 

that these fluids and lubricating 

materials, when specified and packaged 

as medical products, are not subject to 

control. 

ECCN 1C008 (Non-Fluorinated 

Polymeric Substances) 

The Items paragraph is amended by 

revising paragraphs a.4 and f. to 

harmonize them with a glass transition 

temperature parameter (Tg) that was 

added to the 1C008.a.2 entry for 

polyamide-imides (PAIs) in 2010. The 

value specified is 563 K (290 °C). This 

new value exceeded the Tg value in 

1C008.a.4 for aromatic polyetherimides 

(PEIs) and in 1C008.f for 

polybiphenylenethersulphones. The 

polyimide family, which includes both 

PAI and PEI, has similar performance 

characteristics within its overall 

structure, as do Polysulphone materials, 

and therefore, the Tg values in 1C008.a.4 

(PEI in the polyimide family) and .f (the 

Polysulphone family) are harmonized 

with the Tg values in 1C008.a.2 (PAI in 

the polyimide family). 

Category 1 ‘‘Special Materials and 

Related Equipment,’’ Annex ‘‘List of 

Explosives (See ECCNs 1A004 and 

1A008)’’ 

Paragraph 32.g (NTDNA (2- 

nitrotriazole 5-dinitramide) (CAS 

75393–84–9)) of the Annex is removed 

and reserved to implement a WA 2010 

agreement to delete NTDNA (2- 

nitrotriazole 5-dinitramide) (CAS 

75393–84–9) from its Munitions List 

because the CAS number of 75393–84– 

9 did not correspond to NTDNA (2- 

nitrotriazole 5-dinitramide). 

Category 2—Materials Processing 

The Notes for Category 2B are 

removed, as they are redundant to the 

Technical Notes for 2B. 

The Technical Notes for 2B001 to 

2B009 are amended to account for 

changing the year from 1988 to 2006 for 

ISO 230/2. In order to streamline export 

controls for Category 2B machine tools, 

BIS is going to use ISO 230/2 (2006) for 

2B001 to 2B009, 2B201, 2B290 and 

2B991 to 2B999. Although the Nuclear 

Supplier’s Group (NSG) has not yet 

updated the ISO standard it uses, there 

are plans to go in that direction. 

Therefore, the Heading to the Technical 

Note is changed to ‘‘Technical Notes for 

2B001 to 2B009, 2B201, 2B290 and 

2B991 to 2B999.’’ 

Technical Note 5 is removed and 

Technical Note 6 is redesignated as 

Technical Note 5, to harmonize the EAR 

with the Technical Note in the WA’s 

List. 

Newly designated Note 5 (former Note 

6) is revised by correcting capitalization, 

removing the word ‘‘levels’’, changing 

the year of the ISO from ‘‘1988’’ to 

‘‘2006’’, and adding single quotes 

around the term ‘Stated positioning 

accuracy.’ WA agreed to the new ISO 

standard ‘‘ISO 230/2 (2006),’’ because 

the previous standard was cancelled 

when the new one was revised. A Note 

designation of ‘‘Note to paragraph 5’’ is 

added in front of ‘‘Determination of 

‘Stated Positioning Accuracy’ ’’, because 

this was an undesignated paragraph, 

which is not allowable in Federal 

Register format. 

Newly designated Note to paragraph 

5, paragraph b is amended by replacing 

the ISO year 1988 with 2006. Paragraph 

f of this note is amended by replacing 

the stated accuracy of 6 microns with 5 

microns for grinding machines and 8 

microns with 6.5 microns for milling 

and turning machines. 

A Note 6 paragraph is added to the 

Technical Notes to state, ‘‘Measurement 

uncertainty for the positioning accuracy 

of machine tools, as defined in the 

International Standard ISO 230/2 

(2006), shall not be considered.’’ 

ECCN 2B001 (Machine Tools) 

The NP control paragraph in the 

License Requirements section is 

amended by replacing 0.030 mm with 

22.5 mm to align the number with the 

ISO 230/2 (2006) standard. 

Paragraphs 2B001.a.1, b.1.a, and c.1.a 

(position accuracy) are amended by 

replacing the word ‘‘any’’ with the 

phrase ‘‘one or more.’’ WA made this 

amendment to reflect its intent that one 

may not classify such machine tools by 

referring only to the one axis with the 

poorest positioning accuracy. 

Paragraphs 2B001.a.1, b.1., b.3., c.1.a. 

and paragraph .b in the Notes to 2B001.c 

are amended by adding ‘‘according to 

ISO 230/2 (2006) wherever the term 

‘‘positioning accuracy’’ or ‘‘positioning 

accuracies’’ is used. 

Paragraphs a.1 and b.1.a are amended 

by replacing the positioning accuracy of 

‘‘6 mm’’ with ‘‘4.5 mm’’ to align with the 

WA list. 

Paragraphs b.3 and c.1.a, as well as 

paragraph b to the Note to 2B001.c are 

amended by replacing the positioning 

accuracy of ‘‘4 mm’’ with ‘‘3 mm’’ to align 

with the WA list. 

ECCN 2B008 (Assemblies and Units 

Specially Designed for Machine Tools or 

Dimensional Inspection or Measuring 

Systems and Equipment) 

This rule moves the examples of 

linear position feedback units in 


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39356 Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 

paragraph 2B008.a and the examples of 

rotary position feedback units in 

paragraph 2B008.b into a new Note 

added after paragraphs .a and .b. This 

Note also provides a description of the 

types of units controlled by these 

paragraphs. 

ECCN 2B009 (Spin Forming Machines 

and Flow Forming Machines) 

Paragraph 2B009.a is amended by 

increasing the number of axes from 

‘‘two or more’’ to ‘‘three or more,’’ 

which is a harmonization with the 

Missile Technology Control Regime 

(MTCR) control. In addition, the two 

axes machines having limited 

contouring capabilities are being 

replaced by the versatile three or more 

axes machines due to the technology 

advancement in the industry. 

ECCN 2B201 (Machine Tools) 

A new Note is added to the beginning 

of the Items paragraph to explain that 

BIS has adopted the ISO 230/2 (2006) 

standard for use in 2B201. BIS and the 

Department of Energy decided to utilize 

one standard to streamline export 

compliance and license review of all 

EAR controlled machine tools, and 

because the Nuclear Suppliers Group 

(NSG) will eventually adopt the new 

ISO 230/2 (2006) standard. The ISO 

230/2 (1988 and 1997) standards were 

cancelled when revisions to the 

standard were adopted in 2006. 

Paragraph 2B201.a is amended by 

deleting double quotes around the term 

‘‘positioning accuracies.’’ Double quoted 

words in the EAR are terms that are 

defined in Part 772 of the EAR. Because 

the definition in Part 772 no longer 

aligns with the new ISO 230/2 (2006), 

this rule removes the quotes around 

‘‘positioning accuracies.’’ 

Paragraphs 2B201.a and b.1 are 

amended by replacing ‘‘6.0 mm’’ with 

‘‘4.5 mm’’ in order to state the correct 

positioning accuracy for the new 

standard. 

Paragraph 2B201.c.1 is amended by 

replacing ‘‘4.0 mm’’ with ‘‘3 mm’’ in 

order to state the correct positioning 

accuracy for the new standard. 

Paragraph b in the Note to 2B201.b for 

milling machines is amended by 

replacing ‘‘30 mm’’ with ‘‘22.5 mm’’ in 

order to state the correct positioning 

accuracy for the new standard. 

ECCN 2B991 (Numerical Control Units 

for Machine Tools and ‘‘Numerically 

Controlled Machine Tools’’) 

Paragraphs c.2.a, c.2.b, and c.2.c are 

amended by replacing ‘‘0.020 mm’’ with 

‘‘15 mm’’ in order to state the correct 

positioning accuracy for the new ISO 

230/2 (2006) standard. 

ECCN 2E001 

A Note is added to the Items 

paragraph to clarify that the scope of the 

2E001 control includes ‘‘technology’’ for 

the integration of probe systems into 

coordinate measurement machines 

specified by 2B006.a. 

Category 3—Electronics 

Product Group A is amended by 

revising Notes 1, 2 and the Nota Bene 

to add a reference to a new paragraph 

3A001.a.13. The Notes and the Nota 

Bene provide guidance on classifying 

products described in Category 3. 

ECCN 3A001 (Electronic Components 

and Specially Designed Components 

Therefor) 

The License Exception GBS paragraph 

is revised to add eligibility for the new 

paragraph 3A001.a.13. 

The License Exception CIV paragraph 

is revised to correct a reference to 

3A001.a.11. 

Paragraph 3A001.a.13 is added to 

control Direct Digital Synthesizer (DDS) 

integrated circuits having specified 

parameters. The parameters are 

harmonized with those for the high 

performance Digital to Analog Converter 

in 3A001.a.5.b. This new control fills a 

gap between exclusively military DDS 

circuits and dual-use circuits developed 

for both civil telecommunications 

testing purposes and military 

communications, electronic 

countermeasures, and radar 

applications. 

Paragraph b.10 is amended by 

replacing the word ‘‘designed’’ with 

‘‘specified’’ because the design intent of 

such items is difficult to obtain with the 

passage of time. 

Paragraphs b.11.d and b.11.e are 

revised, and two new paragraphs, b.11.f 

and b.11.g, are added to the List of Items 

Controlled section. These paragraphs 

contain parameters that describe 

frequency change within a frequency 

range for ‘‘frequency synthesizer’’ 

‘‘electronic assemblies.’’ These changes 

extend the frequency range in 

3A001.b.11 to 70 GHz and add new 

frequency breakouts to align with the 

changes made to 3A002.d.3 (Frequency 

synthesized signal generators- 

‘‘frequency switching time’’) in 2010. 

Paragraph 3A001.e.1.b (high energy 

devices) is amended by revising the 

energy density parameter for ‘‘secondary 

cells’’ from 250 to 300 Wh/kg to account 

for advances in technology in this area. 

Paragraphs 3A001.f.1 and f.2 are 

removed to implement a 2008 WA 

agreement regarding this control that 

was inadvertently not reflected in the 

rule BIS published on December 11, 

2009 (74 FR 66003). 

ECCN 3A002 (General Purpose 

Electronic Equipment and Accessories 

Therefor) 

3A002.d.1 is revised by cascading the 

parameters into two subparagraphs. The 

existing parameter is moved from 

paragraph .d.1 to .d.1.a, and a new 

parameter is added to read ‘‘On/off ratio 

equal to or exceeding 65 dB.’’ The new 

control parameter ‘‘on/off ratio’’ clarifies 

that pulses are two-dimensional, having 

both width and depth. 

Paragraphs 3A002.d.4, d.4.a, and d.4.b 

are revised. These revisions clarify that 

the Single Sideband (SSB) phase noise 

control applies anywhere within the 

specified frequency range. The 

amendments also make the grammatical 

structure similar to that used in other 

subparagraphs of 3A002.d, and also of 

3A002.c, for controls based on 

combination of frequency and other 

parameters. 

Technical Note 1 of paragraph d.5 is 

revised, and a corresponding change is 

made to Technical Note 2 to harmonize 

it with the change to 3A002.d.1. 

Technical Note 1 referenced the 

‘‘theoretical’’ Nyquist factor of two (2). 

In engineering practice, ideal behavior 

cannot be achieved to generate a Radiofrequency (RF) output signal having low 

distortion and usable quality without 

using a factor larger than two. Industry’s 

practice is to use a factor of at least 2.5. 

The revision to Technical Note 1 

clarifies that instruments based on 

Digital-to-Analog Converter/Direct 

Digital Synthesizer (DAC/DDS) chipsets 

should not be evaluated using the 

theoretical Nyquist value of two (2), but 

instead by using the industry-accepted 

standard value of 2.5. In addition, the 

sentence ‘‘Or, when oversampling is 

used, the maximum direct output 

capability is proportionately lower’’ 

incorrectly used the term 

‘‘oversampling’’ to refer to the sampling 

interval. Removing ‘‘oversampling’’ and 

specifying that a value of 2.5 should be 

used makes the sentence clearer. The 

inclusion of the term ‘‘maximum’’ 

clarifies that the sample rate equates to 

a maximum frequency but does not 

preclude operation of the instrument at 

lower frequencies. 

Paragraph 3A002.e.1 is revised to 

clarify that the output power threshold 

applies only within the specified 

frequency range (43.5–70 GHz). The 

grammatical structure in this paragraph 

is also revised to harmonize it with 

3A002.c and 3A002.d, which contain 

controls based on a combination of 

frequency and other parameters. 

3A002.f.1 is revised by changing the 

maximum operating frequency from 

43.5 GHz to 70 GHz. This change to the 


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Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 39357 

frequency control threshold for 

microwave test receivers makes 3A002.f 

consistent with the control thresholds 

for other controlled microwave 

instruments, such as those described in 

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

change also recognizes the emerging 

civilian uses of the ∼60 GHz frequency 

space. Additionally, it will ensure that 

instruments such as network analyzers 

and signal analyzers that were 

decontrolled in prior years do not 

inadvertently remain controlled by 

3A002.f. 

ECCN 3B001 (Equipment for the 

Manufacturing of Semiconductor 

Devices or Materials) 

WA agreed to remove 3B001.a.2 

(Metal Organic Chemical Vapor 

Deposition (MOCVD) reactors) from the 

WA Sensitive List (SL). Therefore, 

License Exception GBS is amended by 

removing the eligibility exception for 

3B001.a.2. License Exception CIV is also 

amended by adding 3B001.a.2 to the 

eligibility paragraph. The License 

Exception STA paragraph is removed 

from the License Exception section 

because 3B001.a.2 is no longer 

ineligible. MOCVD equipment had been 

added to the WA SL before 1996. The 

reason for the inclusion was the 

strategic importance of such equipment 

and its widespread capabilities for the 

manufacturing of high frequency 

semiconductor devices that could be 

useful for military radar systems, 

sensors, and communication devices. 

MOCVD equipment are now commonly 

used to fabricate mass market consumer 

products such as luminescence diodes, 

laser diodes, and high frequency 

semiconductor devices for mobile 

phones. Exported systems typically are 

dedicated to mass production. Thus, 

WA concluded that this type of 

equipment was not of such strategic 

importance to warrant it being on the 

WA SL. 

Paragraph 3B001.d (Plasma enhanced 

Chemical Vapor Deposition (PECVD) 

equipment) is removed and reserved. 

WA determined that such equipment is 

widely available and does not merit 

control because it is overwhelmingly 

used in civil consumer applications. 

Moreover, there was no basis for 

controlling this one type of deposition 

equipment when no other types are or 

have been controlled. 

Paragraph 3B001.e.1 is revised by this 

rule to remove a reference to 3B001.d. 

ECCN 3C001 (Hetero-Epitaxial 

Materials) 

A Note is added to paragraph 3C001.d 

to explain that ‘‘3C001.d does not apply 

to a ‘‘substrate’’ having one or more 

P-type epitaxial layers of GaN, InGaN, 

AlGaN, InAlN, InAlGaN, GaP, InGaP, 

AlInP or InGaAlP, independent of the 

sequence of the elements, except if the 

P-type epitaxial layer is between N-type 

layers.’’ Hetero-epitaxially grown III/V 

compound semiconductor multi-layers 

have been widely used for high-speed 

electronic devices and light emitting 

devices such as laser diodes (LDs) and 

light-emitting diodes (LEDs). The 

purpose of adding the Note is to 

decrease controls on LEDs to 

accommodate the fast growing 

commercial LED industry, while 

maintaining controls on the more 

sensitive LDs that have non-civil 

applications. 

ECCN 3E001 

The national security paragraph of the 

License Requirements section is 

corrected by adding ECCN 3A003, 

which was inadvertently left out of the 

NS:1 control paragraph. Although ECCN 

3E001 controls both ‘‘production’’ and 

‘‘development’’ technology, there is a 

Note in its Items paragraph that states, 

‘‘3E001 does not control ‘‘technology’’ 

for the ‘‘production’’ of equipment or 

components controlled by 3A003.’’ 

Therefore, NS:1 and AT:1 only apply to 

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

of equipment or components controlled 

by 3A003. Technology for the 

‘‘development’’ of equipment or 

components controlled by 3A003 is 

eligible for License Exceptions TSR and 

STA, as well as transaction-based 

license exceptions as long as all the 

criteria for these license exceptions are 

met and none of the restrictions of 

Section 740.2 apply. 

ECCN 3E002 

The License Exception CIV paragraph 

in the License Exception section of 

ECCN 3E002 is amended by revising the 

word ‘‘microprocessors’’ to read 

‘‘microprocessor cores’’ to more 

accurately describe the scope for 

License Exception CIV. In addition, this 

rule raises the eligibility level for 

technology and software source code for 

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

general purpose microprocessor cores 

with a vector processor unit with 

operand length of 64-bit or less, 64-bit 

floating operations from ‘‘not exceeding 

32 GFLOPs’’ to ‘‘not exceeding 50 

GFLOPS’’, or 16-bit or more floatingpoint operations from ‘‘not exceeding 32 

GMACS’’ to ‘‘not exceeding 50 

GMACS.’’ Deemed exports under 

License Exception CIV are subject to a 

Foreign National Review (FNR) 

requirement (see Section 740.5 of the 

EAR for more information about the 

FNR). License Exception CIV does not 

apply to ECCN 3E002 technology also 

required for the development or 

production of items controlled under 

ECCNs beginning with 3A, 3B, or 3C, or 

to ECCN 3E002 technology also 

controlled under ECCN 3E003. This 

amendment makes it clear that 

classification and application 

determinations should be based on the 

performance target of the ‘‘core’’ and not 

the complete processor. It also provides 

relief for microprocessor manufacturers 

who employ foreign nationals working 

on future higher performance core 

designs. 

ECCN 3E003 

Paragraph 3E003.b is revised by 

adding the word ‘‘electronic.’’ It now 

reads ‘‘Hetero-structure semiconductor 

electronic devices * * *’’. The term 

‘‘electronic’’ was added to clarify that 

3E003 does not control technology for 

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

light emitting diodes or solar cells, 

which is classified as EAR99. 

Category 4—Computers 

ECCN 4A003 (‘‘Digital Computers,’’ 

‘‘Electronic Assemblies,’’ and Related 

Equipment) 

The Heading is corrected to insert the 

parenthetical phrase ‘‘(see List of Items 

Controlled)’’. 

The NS Column 2 paragraph is 

amended by removing the reference to 

4A003.a, because 4A003.a is removed 

by this rule. 

The upper threshold of the ‘‘Adjusted 

Peak Performance (APP)’’ in the AntiTerrorism (AT) controls paragraph of 

the License Requirements section is 

raised from 1.5 to 3.0 Weighted 

TeraFLOPS (WT) to harmonize it with 

the change in 4A003.b. 

License Requirement Note 1 is 

amended by revising the two references 

to APP levels from 1.5 to 3.0 WT to 

harmonize it with the change in 

4A003.b. 

The License Exception APP paragraph 

in the License Exceptions section is 

amended by removing the reference to 

4A003.a, because 4A003.a is removed 

by this rule. 

Paragraph 4A003.a, ‘‘designed or 

modified for ‘fault tolerance,’ ’’ is 

removed and reserved. Once a specialty 

feature in military aerospace 

applications and the telecommunication 

world, fault tolerance is now 

commonplace. Advances in 

semiconductor technology and 

computer system design have made 

control of fault tolerance neither 

warranted nor feasible. 

The APP in paragraph 4A003.b is 

raised from 1.5 to 3.0 WT. In the spring 


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39358 Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 

of 2010, two top computer processor 

manufacturers announced the 

availability of 8-core processors. These 

commercial processors are now being 

integrated into high-performance 

computer systems (HPCs). Today, 

almost all HPCs employ multi-core 

processors with four or more cores per 

processor as the compute engine. It is 

expected that 6-core and 8-core 

processors will be rapidly adopted in 

HPCs based on our experience with the 

adoption of quad-core processors in 

2009. Increases in both the number of 

cores, and incremental clock 

improvements, will increase WT values 

with no additional changes in system 

architecture. Consequently, WA agreed 

to an adjustment of the computer 

threshold in 4A003.b from 1.5 to 3.0 

WT. 

National Defense Authorization Act 

(NDAA) Congressional Notification 

Requirement Subsections 1211(d) and 

(e) of the National Defense 

Authorization Act (NDAA) for FY 1998 

(Pub. L. 105–85, November 18, 1997, 

111 Stat. 1932) provide that the 

President must submit a report to 

Congress 60 days before adjusting the 

composite theoretical performance level 

above which exports of digital 

computers to Tier 3 countries require a 

license. The President sent a report to 

Congress on March 16, 2012 that 

establishes and provides justification for 

the 3.0 WT control level using the APP 

formula. The APP revisions described 

above were not contested by Congress 

and became eligible for adjustment on 

May 14, 2012 for exports and reexports 

to Computer Tier 3 countries. 

Category 4, Product Group D 

Category 4, Product Group D is 

amended by removing the phrase ‘‘the 

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

from the Note that appears at the top of 

this Product Group, to clarify that this 

note applies to all software in Category 

4. 

‘‘Technical Note on ‘‘Adjusted Peak 

Performance’’ (‘‘APP’’)’’ 

Note 6 of the ‘‘Technical Note on 

’Adjusted Peak Performance’ (’APP’)’’ is 

amended by adding a Technical Note 

that reads, ‘‘Aggregate all processors and 

accelerators operating simultaneously 

and located on the same die.’’ The 

change clarifies the method of 

calculating the APP of a digital 

computer that employs a mixture of 

general purpose processor cores and 

accelerators, coprocessors, or GeneralPurpose computation on Graphics 

Processing Units (GPGPUs). 

Category 5 Part I— 

‘‘Telecommunications’’ 

Nota Bene 2, at the top of Category 5 

Part I, is amended by adding a comma 

to correct its punctuation. 

ECCN 5A001 (Telecommunications 

Systems, Equipment, Components and 

Accessories) 

Paragraph 5A001.i is added to the 

NS:2 control paragraph, which requires 

a license to most destinations, except 

allied countries such as members of the 

North Atlantic Treaty Organization 

(NATO). Surreptitious Listening (SL) 

controls are added to control 5A001.i 

equipment and a license is required for 

all destinations, including Canada, as 

specified in Section 742.13 of the EAR. 

In addition, a cross reference to Section 

740.2(a)(3) is added to the License 

Requirement Notes. 

Although, the License Exceptions 

section is not revised by this rule, the 

addition of 5A001.i to Section 

740.2(a)(3) ‘‘Restrictions on All License 

Exceptions’’ makes 5A001.i ineligible 

for all license exceptions, except when 

the equipment is consigned to and for 

the official use of an agency of the U.S. 

Government (see § 740.2(a)(3)), in which 

case License Exception GOV may apply 

for 5A001.i and 5D001 (as it applies to 

5A001.i or 5E001.a (as it applies to 

5A001.i or 5D001.a (as it applies to 

5A001.i))). License Exception GOV does 

not apply for 5E001.a (as it applies to 

5A001.i, or 5D001.a (as it applies to 

5A001.i)). 

Paragraph 5A001.b.5 (digitally 

controlled radio receivers) is moved 

from the NS:2 control paragraph to the 

NS:1 paragraph. It warrants worldwide 

controls because it is listed on both the 

WA Sensitive and Very Sensitive Lists. 

The Note to 5A001.b.3.b is amended 

by adding another parameter for radio 

equipment that is not controlled by 

5A001.b.3.b, which reads, ‘‘Fixed or 

mobile satellite Earth stations for 

commercial civil telecommunications.’’ 

This revision seeks to harmonize 

controls for commercial civil satellite 

telecommunications products and 

technology with civil cellular products 

and technology. The effect of this 

change will be limited to spread 

spectrum equipment and technology in 

fixed or mobile satellite earth stations 

for commercial civil 

telecommunications. 

Paragraph 5A001.f (existing control 

on certain jamming equipment for the 

selective interference, denial, or 

degradation of mobile 

telecommunication services) is 

corrected by replacing the word 

‘‘therefore’’ with ‘‘therefor’’ to 

harmonize it with the Wassenaar List. 

This rule adds a new control in 

paragraph 5A001.i on ‘‘Systems or 

equipment, specially designed or 

modified to intercept and process the air 

interface of ’mobile 

telecommunications,’ and specially 

designed components therefor.’’ The 

new control includes an exclusion Note 

for ‘‘equipment designed for ‘mobile 

telecommunications’ network operators, 

or for the ‘‘development’’ or 

‘‘production’’ of ‘mobile 

telecommunications’ equipment or 

systems.’’ It also includes a Technical 

Note that defines ‘‘mobile 

telecommunications’’ as ‘‘the following 

telecommunications protocols or 

standards: GSM, GSM–R, GPRS, IMT– 

2000, PMR (Professional Mobile Radio), 

Inmarsat, Iridium, Thuraya, VSAT or 

ACES.’’ Also included is a Nota Bene 

that refers to related controls, ‘‘See also 

5A001.f, 5A980, and the U.S. Munitions 

List.’’ Before this change, interception 

devices for mobile communications 

were controlled in two particular 

cases—when such equipment was 

specially designed or modified for 

military use, and when such equipment 

included a cryptanalytic functionality. 

This amendment establishes 

multilateral controls over interception 

devices for mobile communications that 

do not fit into either of these cases. 

Effective with this rule, SL-controlled 

commodities controlled by 5A001.i, and 

related SL-controlled software in 5D001 

(for 5A001.i equipment or to support 

5E001.a ‘‘technology’’ for 5A001.i 

equipment or 5D001.a ‘‘software’’ (for 

5A001.i equipment)), are only eligible 

for License Exception GOV, and only 

when the item is consigned to and for 

the official use of an agency of the U.S. 

Government (see Sections 740.2(a)(3) 

and 740.11(b)(2)(ii) of the EAR). 

Technology controlled under ECCN 

5E001.a (for 5A001.i equipment and for 

5D001.a ‘‘software’’ (for the 5A001.i 

equipment)) is not eligible for any 

license exceptions. As a result of adding 

5A001.i, this rule makes corresponding 

revisions to §§ 738.3(a)(1) (Commerce 

Country Chart structure), 740.2(a)(3) 

(License exception restrictions), 

742.13(a)(1) (Surreptitious listening 

devices), 746.7(a) (Iran) and 752.3(a)(7) 

(Items ineligible for Special 

Comprehensive License), in order to 

align with the existing policies the EAR 

had in place for surreptitious listening 

devices. 

ECCN 5A980 (Devices Primarily Useful 

for the Surreptitious Interception of 

Wire, Oral, or Electronic 

Communications) 

The Heading is revised to carve out 

5A001.i from the scope of this entry 


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Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 39359 

because WA agreed to add that 

equipment to the WA Basic List. That 

equipment is now controlled under 

5A001 so that national security (NS) 

controls can be placed on it. 

The Related Controls paragraph is 

revised to reference ECCNs 5A001.i, 

5D980, and 5E980. 

ECCN 5B001 (Telecommunication Test, 

Inspection and Production Equipment, 

Components and Accessories) 

Paragraph 5B001.b.2.c is amended by 

removing the parenthetical phrase 

‘‘(also called optical heterodyne or 

homodyne techniques)’’ and adding a 

Note and Technical Note to clarify that 

5B001.b.2.c, as well as 5E001.c.2.c, 

control both coherent optical 

transmission techniques and coherent 

optical detection techniques, for 

synchronous optical detection system 

(systems using an optical local oscillator 

in the receiving side to synchronize 

with a carrier ‘‘laser’’), but not for delay 

detection systems. 

Paragraph 5B001.b.2.d is amended by 

adding an ‘‘or’’ to correct the grammar 

of the entry. 

Paragraph 5B001.b.5 (equipment 

employing ‘‘common channel 

signaling’’) is removed, and as a 

consequential change, paragraph 

5B001.b.4 is amended by replacing the 

semi-colon with a period and removing 

the ‘‘or.’’ Paragraph 5B001.b.5 is 

removed because the equipment is made 

obsolete by technical advances in this 

field. Related changes to the EAR 

include the removal of paragraph 

5E001.c.5 and the removal of the term 

‘‘common signal channeling’’ in Section 

772.1 of the EAR. 

ECCN 5D001 

The License Requirements section is 

amended by adding SL (Surreptitious 

Listening) to the Reasons for Control 

paragraph and by adding SL controls for 

the following: 5D001.a ‘‘software’’ for 

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

‘‘use’’ of equipment, functions or 

features controlled by 5A001.i; 5D001.b 

‘‘software’’ to support ‘‘technology’’ 

controlled by 5E001.a (for 5A001.i 

equipment, and for 5D001.a ‘‘software’’ 

for 5A001.i equipment); and 5D001.c 

‘‘software’’ providing characteristics, 

functions or features of 5A001.i 

equipment. A license is required for all 

destinations, as specified in § 742.13 of 

the EAR. In addition, a cross reference 

to Section 740.2(a)(3) is added to the 

License Requirement Notes. 

Although, the License Exceptions 

section for 5D001 is not revised by this 

rule, the addition of 5D001 to Section 

740.2(a)(3) ‘‘Restrictions on All License 

Exceptions’’ makes 5D001 (as it applies 

to 5A001.i or 5E001.a (as it applies to 

5A001.i or 5D001.a (as it applies to 

5A001.i))) ineligible for all license 

exceptions, except when the ‘‘software’’ 

is consigned to and for the official use 

of an agency of the U.S. Government 

(see § 740.2(a)(3)), in which case License 

Exception GOV may apply for 5D001 (as 

it applies to 5A001.i or 5E001.a (as it 

applies to 5A001.i or 5D001.a (as it 

applies to 5A001.i))). 

The Related Controls paragraph is 

revised to add reference to ECCN 5D980. 

ECCN 5D980 

The Heading is revised to carve out 

‘‘software’’ for the equipment, function, 

features, or characteristics controlled by 

5A001.i (including ‘‘software’’ to 

support ‘‘technology’’ for 5A001.i 

controlled by 5E001.a) from the scope of 

5D980 because that ‘‘software’’ is now 

controlled by various paragraphs in 

5D001. 

The Related Controls paragraph is 

revised to add references to 5D001 and 

5E980. 

ECCN 5E001 

The License Requirements section is 

revised to add surreptitious listening 

(SL) controls for ‘‘technology’’ for the 

‘‘development’’ or ‘‘production’’ of 

equipment, functions or features 

controlled by 5A001.i, or for the 

‘‘development’’ or ‘‘production’’ of 

‘‘software’’ controlled under ECCN 

5D001.a (for 5A001.i equipment). A 

license is required for all destinations, 

as specified in § 742.13 of the EAR. In 

addition, a cross reference to Section 

740.2(a)(3) is added to the License 

Requirement Notes. 

Although, the License Exceptions 

section for 5E001 is not revised by this 

rule, the addition of 5E001.a (as it 

applies to 5A001.i, or 5D001.a (as it 

applies to 5A001.i)) to Section 

740.2(a)(3) ‘‘Restrictions on All License 

Exceptions’’ makes it ineligible for all 

license exceptions, including License 

Exception GOV. 

The Related Controls paragraph is 

revised to add a reference to 5E980. 

The Note to 5E001.b.4 is amended by 

adding another parameter for radio 

equipment that is not controlled by 

5E001.b.4, which reads, ‘‘Fixed or 

mobile satellite Earth stations for 

commercial civil telecommunications.’’ 

This revision seeks to harmonize 

controls for commercial civil satellite 

telecommunications products and 

technology with civil cellular products 

and technology. The effect of this 

change is limited to spread spectrum 

equipment and technology in fixed or 

mobile satellite earth stations for 

commercial civil telecommunications. 

Paragraph 5E001.c.1 (technology for 

the development or production of 

equipment employing digital 

techniques) is amended by revising the 

‘‘total digital transfer rate’’ from 

50 Gbit/s to 120 Gbit/s. The ratification 

of new IEEE standards in 2010 has 

advanced the IEEE standards above the 

control threshold. Data rates are 

continuing to increase, with some 

projections indicating the rate of 

increase will accelerate. This 

amendment accounts for such 

developments. 

Paragraph 5E001.c.2.c is amended by 

removing the parenthetical phrase 

‘‘(also called optical heterodyne or 

homodyne techniques)’’ and adding a 

Note and Technical Note to clarify that 

5E001.c.2.c controls ‘‘technology’’ for 

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

systems using both coherent optical 

transmission techniques and coherent 

optical detection techniques, for 

synchronous optical detection system 

(systems using an optical local oscillator 

in the receiving side to synchronize 

with a carrier ‘‘laser’’), but not for delay 

detection systems. 

Paragraph 5E001.c.5 (technology for 

the development or production of 

equipment employing ‘‘common 

channel signaling’’) is removed and 

reserved because the technology is made 

obsolete by technical advances in this 

field. Related changes include the 

removal of paragraph 5B001.b.5 and the 

removal of the term ‘‘common signal 

channeling’’ in Section 772.1 of the 

EAR. 

ECCN 5E980 

The Heading of ECCN 5E980 is 

revised to exclude ‘‘technology’’ that is 

controlled by 5E001.a (for 5A001.i 

equipment, or for 5D001.a ‘‘software’’ 

for 5A001.i equipment). In addition, the 

Heading is expanded to include 

‘‘functions or features of equipment.’’ 

This expands the scope of 5E980 to 

include ‘‘technology’’ primarily useful 

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

‘‘use’’ of equipment, functions or 

features of equipment controlled by 

5A980 or ‘‘software’’ controlled by 

5D980. 

In addition, when ECCN 5E980 was 

created, it was intended to control 

‘‘technology’’ for ‘‘development,’’ 

‘‘production’’ or ‘‘use’’ of both 5A980 

equipment and 5D980 ‘‘software.’’ 

Currently, the ECCN does not reflect 

that control for 5D980 ‘‘software.’’ This 

rule corrects this error by expanding the 

Heading of 5E980 to fix this oversight. 

The Related Controls paragraph is 

amended by adding a reference to 5E001 

(for 5A001.i equipment and 5D001.a 

‘‘software’’ (for 5A001.i equipment)). 


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39360 Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 

Category 5 Part II—‘‘Information 

Security’’ 

ECCN 5A002 (‘‘Information Security’’ 

Systems, Equipment and Components 

Therefor) 

The Note to 5A002.a.8 is added to 

clarify that 5A002.a.8 applies only to 

the systems detecting physical 

intrusions communications at the layer 

1 (physical layer) of Open Systems 

Interconnection (OSI) 7 layer model, 

and does not apply to network Intrusion 

Detection Systems (IDS) and Intrusion 

Prevention Systems (IPS) working on 

layer 3–7 of OSI 7 layer model. The 

Open Systems Interconnection model 

(OSI model) was a product of the Open 

Systems Interconnection effort at the 

International Organization for 

Standardization. It is a way of subdividing a communications system into 

smaller parts called layers. The physical 

layer defines electrical and physical 

specifications for devices. In particular, 

it defines the relationship between a 

device and a transmission medium, 

such as a copper or optical cable. 

The new Note does not change the 

scope of the existing control on 

communications cable systems under 

paragraph 5A002.a.8. 

Category 6—Sensors and Lasers 

ECCN 6A001 (Acoustic Systems, 

Equipment and Components) 

Paragraph 6A001.a.1.b is amended by 

adding the phrase, ‘‘Systems or 

transmitting and receiving arrays, 

designed for’’ to clarify the scope of 

control for object detection or location 

systems. 

A Technical Note is added to 

introductory paragraphs a.2.a (following 

the Note) and a.2.b to clarify the terms 

‘‘hydrophones’’ and ‘‘hydrophone 

group.’’ 

Introductory paragraph a.2.e is 

amended by adding a hyphen between 

‘‘bay’’ and ‘‘cable’’ to make ‘‘bay-cable,’’ 

as well as replacing the word ‘‘systems’’ 

with ‘‘hydrophone arrays’’ to clarify the 

scope of control. 

ECCN 6A002 (Optical Sensors) 

The MT and RS control paragraphs of 

the License Requirements section and 

License Exceptions LVS and STA 

paragraphs are amended by removing 

the reference to paragraph 6A002.e, 

because 6A002.e was moved to 

6A002.a.1.d. 

The License Exception STA 

ineligibility paragraph for the eight 

destinations listed in Section 

740.20(c)(2) is amended by moving the 

phrase ‘‘to any of the eight destinations 

listed in Section 740.20(c)(2) of the 

EAR’’ to clarify that all the text in the 

License Exception STA ineligibility 

paragraph pertains to a prohibition to 

apply License Exception STA to the 

eight (8) destinations in Section 

740.20(c)(2) of the EAR. This rule also 

removes most of the text in the License 

Exception STA paragraph, as 6A002.a.2, 

a.3.a, a.3.b, a.3.g and .c are no longer 

eligible for License Exception STA. This 

revision leaves only 6A002.a.1.a, a.1.b 

or a.1.c; 6A002.a.3.c, a.3.d, a.3.e, or 

a.3.f; or 6A002.b in the License 

Exception STA ineligibility paragraph 

for the eight (8) countries in Section 

740.20(c)(2), see also Section 

740.20(b)(2)(viii). 

The Items paragraph of the List of 

Items Controlled section is amended by 

removing commas from 6A002.a, a.1, 

a.1.a, a.1.b, a.3, a.3.a, a.3.b, a.3.c, a.3.d, 

a.3.e, d.2, and d.2.a to correct the 

punctuation as part of the TFEI 

revisions. 

Paragraph 6A002.a is amended by 

removing the Note, because 6A002.a no 

longer controls germanium or silicon 

photo devices. In addition, paragraph 

6A002.a is amended by removing the 

Nota Bene, because it is more 

appropriately placed under 6A002.a.3 

and doesn’t need to be repeated under 

6A002.a. 

Paragraph 6A002.a.1 is amended by 

adding a Note to explain that solid-state 

detectors include ‘‘focal plane arrays’’ 

(FPAs) for the purpose of 6A002.a.1. 

Paragraph 6A002.e is moved to 

6A002.a.1.d to ensure that for the 

purposes of 6A002.a.1 all FPAs are 

considered solid state detectors and all 

‘‘space qualified’’ FPAs are now 

controlled under 6A002.a.1. 

A Note is added to 6A002.a.2 to 

indicate that 6A002.a.2 does not control 

certain non-imaging photomultiplier 

tubes; and adding a Technical Note to 

define ‘charge multiplication’ and state 

that ‘charge multiplication’ sensors may 

take the form of an image intensifier 

tube, solid state detector or ‘‘focal plane 

array.’’ 

Paragraph 6A002.a.2.a.2 (regarding 

microchannel plates) is moved to 

a.2.a.2.a, and paragraph 6A002.a.2.a.2 is 

revised to read ‘‘Electron image 

amplification using any of the 

following:’’. 

Paragraph 6A002.a.2.a.2.b is added to 

control electron sensing devices 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. 

Paragraph 6A002.a.2.a.3.a is amended 

by rearranging the words to clarify the 

control for multialkali photocathodes. 

Paragraphs 6A002.a.2.a.3.c and a.2.c.3 

(formerly a.2.b.3) are amended by 

adding double quotes around the term 

‘‘III–V compound’’ to indicate that this 

term is defined in Part 772 of the EAR. 

The Note following 6A002.a.2.a.3.c is 

combined with the control parameter of 

6A002.a.2.a.3.c to simplify the text. This 

is the first use of the term ‘‘radiant 

sensitivity’’ in a control paragraph; see 

Section 772.1 for the definition. The 

term is also used in: 6A002.a.2.b.3, Note 

to 6A002.a.2.c.3, 6A002.c, 

6A002.a.3.a.2.b, a.3.g.2, paragraph (c) of 

Note 2 after 6A002.a.3, and Note to 

6A003.b.4.c. 

In addition, ECCN 6A002 is amended 

by: 

Redesignating 6A002.a.2.b as 

6A002.a.2.c in order to add a new 

paragraph 6A002.a.2.b to control 

another type of image intensifier tubes 

with different parameters, including 

those using a microchannel plate for 

electron image amplification; 

Removing and reserving a.2.c.2 

(formerly a.2.b.2 GaAs or GaInAs 

photocathodes) in order to combine it 

with a.2.c.3 (formerly a.2.b.3), as well as 

adding a control for transferred electron 

photocathodes to this paragraph, 

because these devices provide 

equivalent performance to devices 

controlled in this entry; 

Revising the Note following 

6A002.a.2.c.3 (formerly a.2.b.3) to 

exclude from 6A002 controls certain 

compound semiconductor 

photocathodes; 

Revising the Nota Bene to clarify that 

‘‘microbolometer’’ non-‘‘spacequalified’’ ‘‘focal plane arrays’’ are only 

specified by 6A002.a.3.f; 

Moving Technical Note 2, defining 

‘‘cross scan direction’’ and ‘‘scan 

direction,’’ which follows 6A002.a.3 to 

now follow 6A002.a.3.d.2.b; 

A new paragraph (c) is added to the 

exclusion Note 2 after 6A002.a.3 to 

exclude certain ‘‘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 to 

control focal plane arrays that perform 

outside the visible range; 

Adding a Technical Note after Note 2 

for 6A002.a.3 to explain ‘‘response 

limiting mechanism’’; 

Reformatting 6A002.a.3.a.2 and 

6A002.a.3.b.2 to allow for flexibility to 

add more parameters in 6A002.a.3.a.2.b 

and a.3.b.2.b; 

Adding capitalization to ‘‘Signal 

Processing In The Element’’ in 

6A002.a.3.d.2.b because that term is 

followed by the acronym ‘SPRITE’, to 

clarify the entry as part of the TFEI 

revisions; 


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Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 39361 

Adding an exclusion Note after 

6A002.a.3.d.2.b stating ‘‘6A002.a.3.d 

does not control ‘‘focal plane arrays’’ 

(not to exceed 32 elements) having 

detector elements limited solely to 

germanium material’’; 

Adding a Technical Note for 

6A002.a.3 to add the definitions for 

‘cross-scan direction’ and ‘scan 

direction’; 

Replacing a period with a semi-colon 

in 6A002.a.3.e and a.3.f, to correct the 

punctuation, as part of the TFEI 

revisions; 

Deleting Technical Notes 2 and 3 that 

followed 6A002.a.3.f to harmonize with 

the Wassenaar Arrangement List; 

Adding a new paragraph 6A002.a.3.g 

to control certain non-‘‘space-qualified’’ 

‘‘focal plane arrays’’, because this 

component can be used in low light 

imagers controlled in ECCN 6A003; 

Adding a comma and replacing a 

comma with an ‘‘and’’ in 6A002.b, as 

part of the TFEI revisions to correct the 

punctuation and clarify the entry; 

Removing the word ‘‘Being’’ from 

6A002.b.2, as part of the TFEI revisions 

to remove a superfluous word; 

Replacing the word ‘‘Being’’ with 

‘‘Having’’ and adding the word 

‘‘characteristics’’ in 6A002.b.2.b, 

pursuant to the TFEI revisions to clarify 

the entry; 

Replacing the period with a semicolon in 6A002.b.2.b.2, as part of the 

TFEI revisions to correct the 

punctuation; 

Adding a Note after 6A002.b.2.b.2 to 

explain that 6A002.b.1 does not control 

‘‘monospectral imaging sensors’’ with 

certain parameters; 

Adding single quotes around the term 

‘Direct view,’ as part of the TFEI 

revisions, and removing the parameter 

‘‘operating in the visible or infrared 

spectrum,’’ in 6A002.c and the 

Technical Note that follows 6A002.c.3; 

Adding a reference to 6A002.a.2.b and 

removing the ‘‘or’’ in 6A002.c.1; 

Adding an ‘‘or’’ in 6A002.c.2; 

Adding a new paragraph 6A002.c.3 to 

add a new parameter to control ‘direct 

view’ imaging equipment incorporating 

‘‘solid state detectors specified by 

6A002.a.1’’ to close a potential loophole 

in the controls for this type of 

equipment; and 

Moving 6A002.e to 6A002.a.1.d to 

ensure that for the purposes of 

6A002.a.1 all focal plane arrays (FPAs) 

are considered solid state detectors and 

all ‘‘space qualified’’ FPAs are now 

controlled under 6A002.a.1. 

ECCN 6A003 (Cameras) 

The RS License Requirement 

paragraph is amended by adding 

6A003.b.4.c. Therefore, these cameras 

will require a license to all destinations, 

with the exception of Canada. 

The Related Control Note 3 is 

amended to add more descriptive text 

and a more precise reference. 

The Related Control Notes 4 and 5 are 

amended to add references to 6A003.b.3 

and 6A003.b.4.c. Related Control Note 4 

references ECCN 0A919 for foreign 

made military commodities that 

incorporate cameras described in 

6A003.b.3, 6A003.b.4.b, or 6A003.b.4.c. 

Related Control Note 5 references 

Section 744.9, which imposes license 

requirements on cameras described in 

6A003.b.3, 6A003.b.4.b, or 6A003.b.4.c 

if being exported for incorporation into 

an item controlled by ECCN 0A919 or 

for a military end user. 

In addition, ECCN 6A003 is amended 

by: 

Removing commas from 6A003.a.5, 

a.6, 6A003.b, as part of the TFEI 

revisions to correct the punctuation; 

Replacing a period with a semi-colon 

in 6A003.a.5.b, a.6.b, and 6A003.b.1.b.3, 

as part of the TFEI revisions to correct 

the punctuation; 

Replacing the word ‘‘in’’ with ‘‘by’’ 

and replacing a period with a semicolon in 6A003.a.6.b, as part of the TFEI 

revisions to clarify the entry; 

Adding single quotes around ‘‘camera 

tracking data’’ in 6A003.b.1.b.3 and in 

Technical Note 2 that follows that 

paragraph, as part of the TFEI revisions 

to indicate the term is defined in the 

entry; 

Adding a new Note to release specific 

scanning cameras from 6A003.b.2 

controls, because these cameras are only 

useful in industrial and civil 

applications; 

Adding ‘‘or 6A002.a.2.b’’ in 

6A003.b.3; 

Removing the ‘‘or’’ at the end of 

6A003.b.4.a to clarify the entry; 

Replacing a period with a semi-colon 

at the end of 6A003.b.4.b and adding an 

‘‘or’’, as part of the TFEI revisions to 

correct the punctuation and make 

provision for a new sub-paragraph; 

Adding a new sub-paragraph 

6A003.b.4.c to control imaging cameras 

that incorporate ‘‘focal plane arrays’’ 

specified in 6A002.a.3.g; 

Removing single quotes around the 

term ‘‘Imaging cameras’’ in Note 1 after 

6A003.b.4.c to indicate that the term is 

not defined in the entry, and adding 

double quotes around ‘‘signal 

processing’’ in that Note to indicate that 

the term is defined in Part 772 of the 

EAR; 

Replacing the text ‘‘twelve’’ with the 

number ‘‘12’’ and replacing a comma 

with an ‘‘and’’ in Note 2 after 

6A003.b.4.c to correct the punctuation 

and clarify the entry; 

Removing the word ‘‘characteristics’’ 

from the introductory text of Note 3 

after 6A003.b.4.c to remove a 

superfluous word as part of the TFEI 

revisions; 

Adding single quotes around the term 

‘‘Instantaneous-Field-of-View (IFOV)’’ 

in paragraph b.1 of Note 3 after 

6A003.b.4.c to indicate that this term is 

defined in the entry; 

Adding single quotes around the term 

‘‘direct view’’ in paragraph b.3 of Note 

3 after 6A003.b.4.c to indicate that this 

term is defined in the entry, and 

replacing the comma with a semi-colon, 

as part of the TFEI revisions to clarify 

the entry and correct the punctuation; 

Replacing the comma with a semicolon in paragraphs 4.a and 4.b of Note 

3 after 6A003.b.4.c, as part of the TFEI 

revision to correct the punctuation; 

Adding single quotes around the 

terms ‘‘Instantaneous Field of View 

(IFOV),’’ ‘‘Horizontal FOV’’ and 

‘‘Vertical FOV’’ in the Technical Note 

following Note 3 after 6A003.b.4.c, to 

indicate that the terms are defined in 

the entry; 

Removing the word ‘‘Where’’ and 

replacing the text ‘‘three tons’’ with ‘‘3 

tonnes’’ in paragraph c of Note 3 after 

6A003.b.4.c, to clarify the entry; 

Adding a new exclusion Note 4 to 

6A003.b.4.c for ‘imaging cameras’ to 

indicate that these items are not 

controlled in this entry; 

Adding a new subparagraph 3 to 

paragraph c of Note 4 to 6A003.b.4.c, to 

add a new parameter ‘‘Not specially 

designed or modified for underwater 

use,’’ because this decontrol note is not 

intended to apply to underwater 

cameras that were moved from 

8A002.f.2 to 6A003.b.4.c; 

Adding a Note after Note 4 stating 

‘‘When necessary, details of the items 

will be provided, upon request, to the 

Bureau of Industry and Security (BIS) in 

order to ascertain compliance with the 

conditions described in Note 4’’ to 

clarify BIS policy; and 

Adding a new paragraph 6A003.b.5 to 

control ‘‘Imaging cameras incorporating 

solid-state detectors specified by 

6A002.a.1.’’ 

ECCN 6D991 is amended by replacing 

the reference to 6A002.e with 

6A002.a.1.d in the Heading and the RS 

control paragraph of the License 

Requirements section, in order to 

harmonize with revisions made by this 

rule. 

ECCN 6D994 is removed, because the 

software that is unilaterally controlled 

by the United States in this entry is now 

multilaterally controlled by the member 

countries of the Wassenaar 

Arrangement, and the control for this 


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software is added by this rule to 

6D003.c. 

ECCN 6E001 is amended by: 

Removing the reference to 6A002.e in 

the RS control paragraph of the License 

Requirements section, because this 

control is moved to 6A002.a.1.d, which 

is already controlled under RS:1; and 

Revising the reference to 6A002.e to 

read 6A002.a.1.d in paragraph 2 of the 

TSR paragraph of the License Exception 

section, in order to harmonize with 

revisions made by this rule; 

Removing ‘‘technology’’ for 

commodities controlled by 6A002.a.2, 

a.3.a, a.3.b, a.3.g, and .c from LE TSR 

eligibility in paragraph 4 of the LE TSR 

paragraph of the License Exception 

Section. Technology for these newly 

added low light level components 

warrant a higher degree of control, i.e., 

no list based license exceptions. 

ECCN 6E002 is amended by: 

Removing the reference to 6A002.e in 

the RS control paragraph of the License 

Requirements section, because this 

control is moved to 6A002.a.1.d, which 

is already controlled under RS:1; 

Revising the reference to 6A002.e to 

read 6A002.a.1.d in the TSR paragraph 

of the License Exception section, in 

order to harmonize with revisions made 

by this rule; and 

Removing ‘‘technology’’ for 

commodities controlled by 6A002.a.2, 

a.3.a, a.3.b, a.3.g, and .c from LE TSR 

eligibility in paragraph 4 of the LE TSR 

paragraph of the License Exception 

Section. Technology for these newly 

added low light level components 

warrant a higher degree of control, i.e., 

no list based license exceptions. 

ECCN 6E101 is amended by removing 

the reference to 6A002.e in the Related 

Definitions paragraph of the List of 

Items Controlled section, in order to 

harmonize with revisions made by this 

rule. 6A002.e is moved by this rule to 

6A002.a.1.d. 6A002.a.1 is already 

referenced in the Related Definitions of 

ECCN 6E101. 

Category 7—Navigation and Avionics 

ECCN 7A003 (Inertial Systems and 

Specially Designed Components) 

The Heading is corrected by adding 

the parenthetical phrase ‘‘(see List of 

Items Controlled)’’ to reference the List 

of Items Controlled where controlled 

equipment is set forth. 

ECCN 7A004 (Gyro-Astro Compasses/ 

‘Star Trackers’) 

The Heading is deleted and replaced 

with ‘‘ ‘Star trackers’ and components 

therefor, as follows (see List of Items 

Controlled).’’ ‘‘Star trackers’’ is 

synonymous with ‘‘gyro-astro 

compasses.’’ ‘‘Star trackers’’ is, however 

the more common industry-standard 

term. 

Two paragraphs are added to the List 

of Items Controlled section. Paragraph 

7A004.a controls ‘‘ ‘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.’’ Paragraph 7A004.b is an 

introductory paragraph that reads 

‘‘Components specially designed for 

equipment specified in 7A004.a as 

follows:’’ Subparagraph b.1 controls 

‘‘Optical heads or baffles;’’ and 

subparagraph b.2 controls ‘‘Data 

processing units.’’ A Technical Note is 

also added to read, ‘‘ ‘star trackers’ are 

also referred to as stellar attitude 

sensors or gyro-astro compasses.’’ The 

star trackers are usually integrated in 

the attitude and orbit control systems 

for spacecraft. Their performance has a 

significant influence on the final 

accuracy of the observation satellites, as 

well as for telecommunication satellites 

for civilian and military applications. 

WA determined that the current 

threshold is too high to distinguish 

sensitive observation applications. BIS 

is therefore revising the azimuth 

accuracy from ‘‘equal to or less (better) 

than 5 seconds of arc’’ to ‘‘20 seconds 

of arc throughout the specified lifetime 

of the equipment.’’ WA also determined 

that the performance threshold should 

apply to the full duration of the mission 

because the applicable datasheets often 

refer to beginning of life (BOL) and the 

end of life (EOL) performance. 

Additionally, controls are added for 

specially designed components, such as, 

optical heads, baffles, and data 

processing units, which are sensitive, 

warrant control, and are now often sold 

separately. 

ECCN 7A005 (Global Navigation 

Satellite Systems (GNSS) Receiving 

Equipment) 

The Heading is corrected by adding 

the parenthetical phrase ‘‘(see List of 

Items Controlled)’’ to reference the List 

of Items Controlled where controlled 

equipment is set forth. 

ECCN 7D002 (‘‘Source Code’’ for the 

‘‘Use’’ of Any Inertial Navigation 

Equipment, Including Inertial 

Equipment Not Controlled by 7A003 or 

7A004, or Attitude and Heading 

Reference Systems (‘AHRS’)) 

The Heading and Related Controls 

paragraph 2 are amended by replacing 

the term ‘‘use’’ with ‘‘operation or 

maintenance.’’ The Wassenaar 

Arrangement is in the process of 

reviewing ‘‘use’’ controls in the WA 

Lists and determining which aspects of 

‘‘use,’’ if any, warrant control. This 

amendment is an example of the results 

of the ‘‘use’’ controls review. 

ECCN 7D003 

Paragraph d.7 is amended by 

removing the phrase ‘‘raster type head 

up displays or’’ because subsequent 

generations of products have introduced 

more advanced display technology, 

such as liquid crystal display (LCD) and 

light emitting diode (LED) technology. 

These more sophisticated display 

technologies do not use raster-scanning. 

ECCN 7E004 

Paragraph a.1 ‘‘Airborne automatic 

direction finding equipment operating 

at frequencies exceeding 5 MHz;’’ is 

removed and reserved because it is 

redundant. ECCN 7E004 (Other 

‘‘technology’’) was established on the 

Commerce Control List to cover the 

technology for items not specified on 

the List in Category 7. Airborne 

automatic direction-finding technology 

is, however, already covered by ECCNs 

7E001 (‘‘development’’) and 7E002 

(‘‘production’’). 

Category 8—Marine 

ECCN 8A002 (Marine Systems, 

Equipment and Components) 

The Related Control Note is revised to 

add a reference to 6A003 for cameras 

controls that are being moved from 

8A002.f to 6A003.b. 

Paragraph 8A002.c is amended by 

adding the word ‘‘pressure’’ in front of 

‘‘hull penetrators’’ and removing the 

words ‘‘or connectors’’. This revision 

decontrols items commonly used for 

civil applications such as those in the 

oil and gas industry for exploration. The 

controls, however, remain in effect for 

equipment with military significance. 

WA determined that the crucial aspects 

of this control in terms of military 

utility are the ability to penetrate a hull 

at depth while maintaining hull 

integrity, which is not a function of 

connectors. This determination is 

reinforced with the term ‘‘pressure hull’’ 

and makes it clear that the control 

relates only to submersibles. 

Paragraph 8A002.f is removed and 

reserved to move all underwater camera 

controls, other than those for television 

and film-based photographic still 

cameras, from Category 8 to Category 6. 

Specifically, 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 are now 

controlled under 6A003.b.3; and 

electronic imaging systems specially 

designed or modified for underwater 


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use incorporating ‘‘focal plane arrays’’ 

specified by 6A002.a.3.g are now 

controlled under 6A003.b.4.c. 

Category 9—Aerospace and Propulsion 

ECCN 9A012 (Non-Military ‘‘Unmanned 

Aerial Vehicles,’’ (‘‘UAVs’’)) 

The Heading and paragraphs a., b.1, 

b.2, b.3, and b.4 are amended by adding 

‘‘unmanned ‘‘airships’’ ’’, because of WA 

concerns over high-altitude airships 

using combustion engines. 

The Note to 9A012 is amended by 

adding the phrase ‘‘or model 

‘‘airships’’ ’’ to make sure such items are 

not included in the control of this entry. 

ECCN 9D004 

Paragraph 9D004.d, including its 

Note, (‘‘Software’’ in ‘‘source code’’, 

‘‘object code’’ or machine code, required 

for the ‘‘use’’ of active compensating 

systems for rotor blade tip clearance 

control) is removed and reserved. The 

Wassenaar Arrangement is in the 

process of reviewing ‘‘use’’ controls in 

the WA Lists and determining which 

aspects of ‘‘use,’’ if any, warrant control. 

This and similar amendments described 

below are examples of the results of this 

review. 

Paragraph 9D004.e is amended by 

replacing ‘‘use’’ with ‘‘operation.’’ As 

noted above, the Wassenaar 

Arrangement is in the process of 

reviewing ‘‘use’’ controls in the WA 

Lists and determining which aspects of 

‘‘use’’, if any, warrant control. 

Category 9, Product Group E is 

amended by revising the Note to remove 

the phrase ‘‘as ‘‘use’’ ‘‘technology’’ ’’ and 

removing the phrase ‘‘rebuild and’’. As 

noted above, the Wassenaar 

Arrangement is in the process of 

reviewing ‘‘use’’ controls in the WA 

Lists and determining which aspects of 

‘‘use,’’ if any, warrant control. 

ECCN 9E003 

Paragraph a.2 is simplified by 

cascading the parameters. The 

parameter ‘‘average burner outlet 

temperature’’ is replaced by ‘‘combustor 

exit temperature’’ because the parameter 

was too general and often 

misunderstood. Therefore, the 

parameter is replaced by an industrystandard ‘combustor exit temperature’ 

phrase in paragraph a.2.a in association 

with thermally decoupled liners. In 

addition, a new parameter is added in 

a.2.d for ‘‘Liners designed to operate at 

’combustor exit temperature’ exceeding 

1,883K (1,610 °C) and having holes that 

meet the parameters specified by 

9E003.c.’’ A Technical Note is added to 

define ‘combustor exit temperature.’ A 

note is added to limit the ‘‘required’’ 

technology for holes controlled in 

9E003.a.2 to ‘‘the derivation of the 

geometry and location of the holes.’’ 

Lastly, a Nota Bene is added to reference 

9E003.c for technology required to 

manufacture cooling holes. 

The parameters defined in 9E003.c 

(i.e., hole drilling in gas turbine engine 

components) are specific to round holes 

of unvarying diameter. Cooling holes in 

gas turbine engine components can have 

oval, rectangular, or other shapes, and 

may vary in size as a function of depth. 

This rule introduces in paragraph c.1.a 

a new parameter, ‘Cross-Sectional Area 

(CSA)’ to implement WA’s recognition 

of the need to adapt the control 

parameters to account for non-circular 

holes. The chosen approach replaces the 

linear measurement of diameter, which 

is specific to circles, with the CSA. This 

CSA is defined in Technical Note 1 to 

9E003.c as ‘‘the area of the hole in the 

plane perpendicular to the hole axis.’’ 

For a circle, the CSA is pR2 or p(D/2)2, 

where p is the value 3.1416, R is the 

hole radius, and D is the hole diameter. 

For other hole shapes, the CSA can be 

calculated through geometry. CSA is 

well-known to the component designer 

because it is critical to determining 

cooling flow. By using CSA, a new ratio, 

the Hole Shape Ratio (HSR), is 

established. 

Paragraph c.1.b introduces this new 

‘‘hole shape ratio’’ (HSR) parameter to 

the ECCN. It accounts for holes of 

varying shapes and profiles, yet 

maintains the scope of control for 

circular holes. The HSR is defined in 

Technical Note 2 to 9E003.c as, ‘‘the 

nominal length of the axis of the hole 

divided by the square root of its 

minimum ‘cross-sectional area.’ ’’ The 

square root of CSA is used so that the 

ratio is unit-less. The HSR increases 

with smaller hole CSA, or greater depth. 

Section 734.4 De Minimis U.S. 

Content 

This rule revises paragraph (a)(1) by 

changing the Adjusted Peak 

Performance (APP) level from 1.5 

Weighted TeraFLOPS (WT) to 3.0 WT. 

The effect will be that there is no de 

minimis level for the export from a 

foreign country of a foreign made 

computer with an APP exceeding 3.0 

WT containing U.S.-origin controlled 

semiconductors (other than memory 

circuits) classified under ECCN 3A001 

to Computer Tier 3 countries. 

Section 738.3 Commerce Country 

Chart Structure 

This rule revises paragraph (a)(1) by 

adding: 

• 5A001.i, 

• 5D001 (as it applies to 5A001.i or 

5E001.a (as it applies to 5A001.i or 

5D001.a (as it applies to 5A001.i))), and 

• 5E001.a (as it applies to 5A001.i or 

5D001.a (as it applies to 5A001.i)). 

The result of this revision is that a 

license is required for all destinations 

for these items and that there is no 

license exception availability for 

5E001.a (as it applies to 5A001.i or 

5D001.a (as it applies to 5A001.i)). 

However, if the item is consigned to and 

for the official use of an agency of the 

U.S. Government (see § 740.2(a)(3)), 

License Exception GOV may apply for 

5A001.i and 5D001 (as it applies to 

5A001.i or 5E001.a (as it applies to 

5A001.i or 5D001.a (as it applies to 

5A001.i))). 

Section 740.2 Restrictions on all 

License Exceptions 

Paragraph (a)(3) is amended by 

adding: 

• 5A001.i, 

• 5D001 (as it applies to 5A001.i or 

5E001.a (as it applies to 5A001.i or 

5D001.a (as it applies to 5A001.i))), and 

• 5E001.a (as it applies to 5A001.i or 

5D001.a (as it applies to 5A001.i)). 

The result of this revision is that a 

license is required for all destinations 

for these items and that there is no 

license exception availability for 

5E001.a (as it applies to 5A001.i or 

5D001.a (as it applies to 5A001.i)). 

However, if the item is consigned to and 

for the official use of an agency of the 

U.S. Government (see § 740.2(a)(3)), 

License Exception GOV may apply for 

5A001.i and 5D001 (as it applies to 

5A001.i or 5E001.a (as it applies to 

5A001.i or 5D001.a (as it applies to 

5A001.i))). In addition, the rule adds a 

sentence to explain that no license 

exceptions apply for 5E001.a (as it 

applies to 5A001.i, or 5D001.a (as it 

applies to 5A001.i)). 

Paragraph (a)(7), ‘‘space qualified’’ 

items, is amended by changing the three 

references to 6A002.e to 6A002.a.1, 

because 6A002.e was moved to 

6A002.a.1.d and all the subparagraphs 

of 6A002.a.1 are ‘‘space qualified’’ solidstate detectors. Therefore, no license 

exception may be used for any 

commodities controlled under 

6A002.a.1. 

Section 740.7 License Exception APP 

Paragraph (c)(3)(ii) is amended by 

raising the ‘‘Adjusted Peak 

Performance’’ (APP) from 1.5 to 25 

Weighted TeraFLOPS (WT). This will 

raise the License Exception ‘‘APP’’ 

eligibility level for deemed exports of 

‘‘technology’’ and ‘‘source code’’ 

‘‘software’’ for the ‘‘development’’ and 


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‘‘production’’ of computers to foreign 

nationals of Computer Tier 1 

destinations (see Section 740.7(c)(1) for 

a listing of Computer Tier 1 

destinations), except for the subgroup of 

countries listed in paragraph (c)(3)(i) 

that already have an unlimited APP 

eligibility level. Technological advances 

in computer technology have made it 

necessary to raise APP eligibility level. 

Paragraph (c)(3)(iii) is amended by 

raising the ‘‘Adjusted Peak 

Performance’’ (APP) from 3 to 120 

Weighted TeraFLOPS (WT). This will 

raise the License Exception ‘‘APP’’ 

eligibility level for deemed exports of 

‘‘technology’’ and ‘‘source code’’ 

‘‘software’’ for the ‘‘use’’ of computers to 

foreign nationals of Computer Tier 1 

destinations (see Section 740.7(c)(1) for 

a listing of Computer Tier 1 

destinations), except for the subgroup of 

countries listed in paragraph (c)(3)(i) 

that have an unlimited APP eligibility 

level. Technological advances in 

computer technology have made it 

necessary to raise APP eligibility level. 

Paragraph (d)(3)(i) is amended by 

raising the ‘‘Adjusted Peak 

Performance’’ (APP) from 0.5 to 12 

Weighted TeraFLOPS (WT). This will 

raise the License Exception ‘‘APP’’ 

eligibility level for deemed exports of 

‘‘technology’’ and ‘‘source code’’ 

‘‘software’’ for the ‘‘development’’ and 

‘‘production’’ of computers to foreign 

nationals of Computer Tier 3 

destinations (see Section 740.7(d)(1) for 

a listing of Computer Tier 3 

destinations). This eligibility is subject 

to the restrictions in Section 740.7(b) 

and a Foreign National Review 

requirement in Section 740.7(d)(4). 

Technological advances in computer 

technology have made it necessary to 

raise APP eligibility level. 

Paragraph (d)(3)(ii) is amended by 

raising the ‘‘Adjusted Peak 

Performance’’ (APP) from 0.75 to 25 

Weighted TeraFLOPS (WT). This will 

raise the License Exception ‘‘APP’’ 

eligibility level for deemed exports of 

‘‘technology’’ and ‘‘source code’’ 

‘‘software’’ for the ‘‘use’’ of computers to 

foreign nationals of Computer Tier 3 

destinations (see Section 740.7(d)(1) for 

a listing of Computer Tier 3 

destinations). This eligibility is subject 

to the restrictions in Section 740.7(b) 

and a Foreign National Review 

requirement in Section 740.7(d)(4). 

Advances in computer technology have 

made it necessary to raise APP 

eligibility level. 

License Exception GOV 740.11

Supplement No. 1 to Section 740.11 

Introductory paragraph (a)(1) is 

amended by adding the phrase ‘‘systems 

or transmitting and receiving arrays, 

designed for’’ and removing the word 

‘‘systems’’ in the description for ECCN 

6A001.a.1.b.1. This revision harmonizes 

it with the revisions made to 

6A001.a.1.b described in the preamble. 

Section 740.16 Additional Permissive 

Reexports (APR) 

This rule limits use of License 

Exception APR for cameras described in 

ECCN 6A003.b.3 (having the 

characteristics listed in 6A002.a.2.a or 

a.2.b), 6A003.b.4.c, or components 

described in 6A002.a.2.a, a.2.b, a.2.c, 

a.3.b.2.b, or a.3.g by making such 

cameras and components ineligible for 

reexport under paragraph (a)(2) of 

License Exception APR—‘‘reexports 

from Country Group A:1 and 

cooperating countries’’ and under 

paragraph (b)(2) for reexports to and 

among Country Group A:1 and 

cooperating countries. 

However, paragraph (b)(3) provides 

for allowances from the exclusions 

listed in (b)(2) for reexports to among 

countries listed in (b)(3) under specified 

circumstances. Paragraph (b)(3) is 

amended to add cameras described in 

ECCN 6A003.b.3 (having the 

characteristics listed in 6A002.a.2.a or 

a.2.b) and 6A003.b.4.c. 

Section 740.20 License Exception 

Strategic Trade Authorization (STA) 

Section 740.20 is amended by adding 

paragraph (b)(2)(ix) to remove low light 

level components and related 

‘‘technology’’ from License Exception 

STA eligibility. The new paragraph 

reads, ‘‘License Exception STA may not 

be used for any commodity controlled 

by ECCNs 6A002.a.2, a.3.a, a.3.b, a.3.g 

or .c, or any related ‘‘technology’’ 

controlled by 6E001 or 6E002.’’ 

Section 742.6 Regional Stability 

Paragraph (a)(1) is amended by 

removing all references (four references) 

to 6A002.e, because this paragraph was 

moved to 6A002.a.1.d. In addition, 

paragraph 6A003.b.4.c is added to 

paragraph (a)(1), because this new 

paragraph is controlled for RS:1 reasons. 

ECCN 6D994 is removed from paragraph 

(a)(1), because this ECCN is removed 

from the CCL (see explanation for 6D994 

above). 

Section 742.13 Communications 

Intercepting Devices; Software and 

Technology for Communications 

Intercepting Devices 

Paragraph (a)(1) is amended by adding 

5A001.i, 5D001.a (‘‘software’’ for the 

‘‘production’’ or ‘‘development’’ of 

5A001.i equipment, functions or 

features), 5D001.b (‘‘software’’ to 

support 5E001.a ‘‘technology’’ for 

5A001.i equipment or certain 5D001.a 

‘‘software’’), 5D001.c (‘‘software’’ to 

provide characteristics, functions or 

features of 5A001.i equipment), and 

5E001.a (‘‘technology’’ for the 

‘‘production’’ or ‘‘development’’ of 

5A001.i equipment or certain 5D001.a 

‘‘software’’) to add license requirements 

for surreptitious listening (SL) reasons 

to all destinations, including Canada, 

and to apply the license policy set forth 

in this section to these items. License 

applications will generally be denied to 

embargoed destinations and to any enduser, except a provider of wire or 

electronic communication services or an 

officer, agent, or employee of, or person 

under contract with such a provider, in 

the normal course of the business of 

providing that wire or electronic 

communication service; or an officer, 

agent, or employee of, or a person under 

contract with, the United States, one of 

the 50 States, or a political subdivision 

thereof, when engaged in the normal 

course of government activities. 

Part 743 Special Reporting 

WA has three levels of controls as 

reflected in its Basic List (BL), Sensitive 

List (SL), and Very Sensitive List (VSL). 

BIS makes items on the WA BL and SL 

eligible for license exceptions. Because 

of the U.S. obligations under its 

agreements to the WA, the United States 

must report on SL items exported 

outside of the WA membership 

countries. BIS does this by gathering 

data from its licensing database. To 

collect data on exports made under 

license exceptions, BIS requires WA 

reporting on SL items exported 

(excluding deemed exports) under 

License Exceptions GBS, CIV, TSR, LVS, 

APP, STA, and portions of GOV. As a 

result of WA making changes to its SL, 

this rule makes corresponding changes 

to the reporting requirements of section 

743.1 of the EAR. 

Paragraph 743.1(c)(1)(iii) is amended 

by removing references to 3B001.a.2 

(Metal Organic Chemical Vapor 

Deposition (MOCVD) reactors). WA 

agreed to remove MOCVD reactors from 

the WA Sensitive List because such 

equipment has become common and is 

not of any particular strategic 

importance. 

With the addition of License 

Exception STA, many more Category 6 

entries have become eligible for export 

via license exception and are therefore 

subject to WA reporting requirements. 

Therefore, many ECCNs are added to 

Section 743.1(c)(1)(vi). Some added 

entries are not eligible themselves for 

license exception, but are added for 

reference because the technology for 


srobinson on DSK4SPTVN1PROD with RULES2
Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 39365 

these ECCNs is eligible for license 

exception under ECCNs 6E001 and 

6E002. In addition, the Notes to Section 

743.1(c)(1)(vi) are reinserted and revised 

to harmonize with the WA Sensitive 

List. These Notes were inadvertently 

removed by the May 20, 2011 

Wassenaar rule (76 FR 29619). 

As a result of the changes described 

above, this rule adds the Note ‘‘License 

Requirement Notes: See § 743.1 of the 

EAR for reporting requirements for 

exports under License Exceptions.’’ to 

the end of the License Requirements 

sections of ECCNs 6A003 and 6B008. 

As a result of the change to the 

control level of computers in ECCN 

4A003.b, this rule revises the APP from 

1.5 WT to 3.0 WT in § 743.2(b) for 

Computer Tier 3 countries. Exporters 

must file post-shipment reports and 

keep records in accordance with 

recordkeeping requirements in Part 762 

for high performance computer exports 

to destinations in Computer Tier 3, as 

well as exports of commodities used to 

enhance computers previously exported 

or reexported to a Computer Tier 3 

destination, where the ‘‘Adjusted Peak 

Performance’’ (‘‘APP’’) is greater than 

3.0 Weighted TeraFLOPS (WT). 

Supplement No. 1 to Part 743 is 

amended by adding Mexico as the 41st 

Participating State in the WA. This 

addition became effective on January 25, 

2012, upon Mexico’s completion of the 

necessary procedures for joining the WA 

and WA’s approval of Mexico’s 

application to be a Participating State in 

the WA. 

Section 744.9 Restriction on Certain 

Exports and Reexports of Cameras 

Controlled by ECCN 6A003.b.4.b 

Section 744.9 is amended by adding 

ECCNs 6A003.b.3 and 6A003.b.4.c to 

the Title of Section 744.9, the 

introductory text of paragraph (a) and in 

the first sentence of paragraph (b). This 

will impose a license requirement to all 

destinations except Canada if at the time 

of export or reexport, the exporter or 

reexporter knows or is informed that the 

item will be or is intended to be: Used 

by a ‘‘military end user,’’ as defined in 

paragraph (d) of this section; or 

incorporated into a ‘‘military 

commodity’’ controlled by ECCN 

0A919. Applications for licenses 

required by this section will be 

reviewed by applying the policies that 

would be applied under the 

International Traffic in Arms 

Regulations (22 CFR parts 120–130). 

Shipments subject to the prohibitions in 

this section that are consigned to and for 

the official use of the U.S. Government 

authorized pursuant to Section 

740.11(b)(2)(ii) of the EAR may be made 

under License Exception GOV. No other 

license exceptions apply to the 

prohibitions described in paragraphs (a) 

and (b) of this section. 

Section 746.7 Iran 

Paragraph (a) is amended to add 

license requirements for exports and 

reexports to Iran of 5A001.i, 5D001 (for 

5A001.i or for 5E001.a (for 5A001.i, or 

for 5D001.a (for 5A001.i))) and 5E001.a 

(for 5A001.i, or for 5D001.a (for 

5A001.i)). Licenses will generally be 

denied for such items and no license 

exceptions may be used to overcome 

this license requirement. 

Supplement No. 7 to Part 748 VEU 

List 

Supplement No. 7 to Part 748 is 

amended by removing the citation 

‘‘3B001.d’’ from the ‘‘Eligible Items (by 

ECCN)’’ column for the following six 

entities: Applied Materials (China), Inc, 

Applied Materials (Xi’an) Ltd., Grace 

Semiconductor Manufacturing 

Corporation, Hynix Semiconductor 

China Ltd, Hynix Semiconductor (Wuxi) 

Ltd, Semiconductor Manufacturing 

International Corporation. The reason 

for the removal of 3B001.d is explained 

above under ECCN 3B001. 

Section 752.3 Eligible Items 

Paragraph (a)(7) is amended by adding 

5A001.i, 5D001.a (for 5A001.i), 5D001.b 

(to support 5E001.a ‘‘technology’’ for 

5A001.i equipment or certain 5D001.a 

‘‘software’’), 5D001.c (for 5A001.i), and 

5E001.a (for 5A001.i equipment or 

certain 5D001.a ‘‘software’’) to the list of 

items ineligible for Special 

Comprehensive Licenses. 

Section 770.2 Item Interpretations 

Paragraph (l)(1) ‘‘Interpretation 12: 

Computers’’ is amended by removing 

two references to 4A003.a. Paragraph 

4A003.a (fault tolerance) is removed by 

this rule. 

Section 772.1 Definitions of Terms as 

Used in the Export Administration 

Regulations (EAR) 

The term ‘‘airship’’ is added to 

Section 772.1, which is used in Category 

9, as well as its definition, ‘‘A powerdriven airborne vehicle that is kept 

buoyant by a body of gas (usually 

helium, formerly hydrogen) which is 

lighter than air.’’ The preamble 

paragraph concerning ECCN 9A012 

amendments contains an explanation 

for this change. 

The definition (calculation) for 

‘‘Average Output Power,’’ as used in 

Category 6, is amended by replacing 

‘‘* * * laser duration in seconds.’’ with 

the following: 

‘‘* * * period over which a series of 

consecutive pulses is emitted, in seconds. 

For a series of uniformly spaced pulses it is 

equal to the total ‘‘laser’’ output energy in a 

single pulse, in joules, multiplied by the 

pulse frequency of the ‘‘laser’’, in Hertz.’’ 

The removal of ‘‘laser duration’’ from 

the definition of ‘‘peak power’’ would 

mean that the only remaining place 

where ‘‘laser duration’’ is used is in the 

definition of ‘‘average output power.’’ 

Therefore, the term ‘‘laser duration’’ is 

removed and the definition of ‘‘laser 

duration’’ is incorporated into the 

definition of ‘‘average output power.’’ 

The terms ‘‘common channel 

signaling,’’ ‘‘fault tolerance,’’ and ‘‘laser 

duration’’ are removed consistent with 

changes to the entries that used these 

terms. The preamble paragraph 

concerning ECCN 5E001.c.5 provides an 

explanation regarding the deletion of 

the term ‘‘common channel signaling.’’ 

The preamble paragraph for ECCN 

4A003.a contains an explanation 

regarding the deletion of the term ‘‘fault 

tolerance.’’ The term ‘‘laser duration’’ 

was used in the definitions of ‘‘average 

output power’’ and ‘‘peak power.’’ As a 

result the term ‘‘laser duration’’ is no 

longer needed. 

The definition of ‘‘peak power,’’ used 

in Category 6, is revised by removing 

‘‘level of’’ and ‘‘laser duration.’’ The 

definition now is, ‘‘The highest power 

attained in the ‘pulse duration.’ ’’ The 

change within the ‘‘Peak power’’ 

definition from ‘‘laser duration’’ to 

‘‘pulse duration’’ removes ambiguity by 

making the definition pulse specific. 

The definition for ‘‘positioning 

accuracy,’’ used in Category 2 is 

removed. The position accuracy for all 

machine tools is determined using only 

the ISO 230/2 (2006). Also see the 

Technical Notes concerning ‘stated 

position accuracy’ set forth in Category 

2 at the beginning of Product Group B. 

BIS, with the support of DOE, made 

these changes to use only one standard 

‘‘ISO 230/2 (2006)’’ to determine 

‘‘positioning accuracy’’ for all machine 

tools controlled by the EAR in order to 

streamline export compliance. 

The definition for ‘‘pulse duration,’’ 

used in Category 6, is amended by 

replacing the phrase ‘‘measured at Full 

Width Half Intensity (FWHI) levels’’ 

with the phrase ‘‘is the time between the 

half-power points on the leading edge 

and trailing edge of an individual 

pulse.’’ The definition for ‘‘pulse 

duration’’ is revised because ‘‘Full 

Width Half Intensity’’ is not typically 

used by industry. The leading and 

trailing edge of laser pulses are 

fundamental characteristics and where 

the half-power points are easily 

identified. 


srobinson on DSK4SPTVN1PROD with RULES2
39366 Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 

Export Administration Act 

Since August 21, 2001, the Export 

Administration Act of 1979, as 

amended, has been in lapse. However, 

the President, through Executive Order 

13222 of August 17, 2001 (3 CFR, 2001 

Comp. 783 (2002)), which has been 

extended by successive Presidential 

Notices, the most recent being that of 

Notice of August 12, 2011, 76 FR 50661 

(August 16, 2011) has continued the 

EAR in effect under the International 

Emergency Economic Powers Act (50 

U.S.C. 1701 et seq.). 

Saving Clause 

Shipments of items removed from 

license exception eligibility or eligibility 

for export without a license as a result 

of this regulatory action that were on 

dock for loading, on lighter, laden 

aboard an exporting carrier, or en route 

aboard a carrier to a port of export, on 

July 2, 2012, pursuant to actual orders 

for export to a foreign destination, may 

proceed to that destination under the 

previous license exception eligibility or 

without a license so long as they have 

been exported from the United States 

before August 31, 2012. Any such items 

not actually exported before midnight, 

on August 31, 2012, require a license in 

accordance with this regulation. 

Rulemaking Requirements 

1. Executive Orders 13563 and 12866 

direct agencies to assess all costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distributive impacts, and 

equity). Executive Order 13563 

emphasizes the importance of 

quantifying both costs and benefits, of 

reducing costs, of harmonizing rules, 

and of promoting flexibility. This rule 

has been designated to be a ‘‘significant 

regulatory action’’ although not 

economically significant, under 

Executive Order 12866. Accordingly, 

the rule has been reviewed by the Office 

of Management and Budget. 

2. Notwithstanding any other 

provision of law, no person is required 

to respond to, nor shall any person be 

subject to a penalty for failure to comply 

with a collection of information subject 

to the requirements of the Paperwork 

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

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

information displays a currently valid 

Office of Management and Budget 

(OMB) Control Number. This rule 

involves two collections of information 

subject to the PRA. One of the 

collections has been approved by OMB 

under control number 0694–0088, 

‘‘Multi-Purpose Application,’’ and 

carries a burden hour estimate of 58 

minutes for a manual or electronic 

submission. The other of the collections 

has been approved by OMB under 

control number 0694–0106, ‘‘Reporting 

and Recordkeeping Requirements under 

the Wassenaar Arrangement,’’ and 

carries a burden hour estimate of 21 

minutes for a manual or electronic 

submission. Send comments regarding 

these burden estimates or any other 

aspect of these collections of 

information, including suggestions for 

reducing the burden, to OMB Desk 

Officer, New Executive Office Building, 

Washington, DC 20503; and to Jasmeet 

Seehra, OMB Desk Officer, by email at 

Jasmeet_K._Seehra@omb.eop.gov or by 

fax to (202) 395–7285; and to the Office 

of Administration, Bureau of Industry 

and Security, Department of Commerce, 

14th and Pennsylvania Avenue NW., 

Room 6622, Washington, DC 20230. 

3. This rule does not contain policies 

with Federalism implications as that 

term is defined under Executive Order 

13132. 

4. The provisions of the 

Administrative Procedure Act (5 U.S.C. 

553) requiring notice of proposed 

rulemaking, the opportunity for public 

participation, and a delay in effective 

date, are inapplicable because this 

regulation involves a military and 

foreign affairs function of the United 

States (5 U.S.C. 553(a)(1)). Immediate 

implementation of these amendments 

fulfills the United States’ international 

obligation to the Wassenaar 

Arrangement on Export Controls for 

Conventional Arms and Dual-Use Goods 

and Technologies. The Wassenaar 

Arrangement contributes to 

international security and regional 

stability by promoting greater 

responsibility in transfers of 

conventional arms and dual use goods 

and technologies, thus preventing 

destabilizing accumulations of such 

items. The Wassenaar Arrangement 

consists of 41 member countries that act 

on a consensus basis and the changes 

set forth in this rule implement 

agreements reached at the December 

2011 plenary session of the WA. Since 

the United States is a significant 

exporter of the items in this rule, 

implementation of this provision is 

necessary for the WA to achieve its 

purpose. Any delay in implementation 

will create a disruption in the 

movement of affected items globally 

because of disharmony between export 

control measures implemented by WA 

members, resulting in tension between 

member countries. Export controls work 

best when all countries implement the 

same export controls in a timely 

manner. If this rulemaking were delayed 

to allow for notice and comment and a 

30 day delay in effectiveness, it would 

prevent the United States from fulfilling 

its commitment to the WA in a timely 

manner and would injure the credibility 

of the United States in this and other 

multilateral regimes. 

Further, no other law requires that a 

notice of proposed rulemaking and an 

opportunity for public comment be 

given for this final rule. Because a 

notice of proposed rulemaking and an 

opportunity for public comment are not 

required to be given for this rule under 

the Administrative Procedure Act or by 

any other law, the analytical 

requirements of the Regulatory 

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

not applicable. Therefore, this 

regulation is issued in final form. 

Although there is no formal comment 

period, public comments on this 

regulation are welcome on a continuing 

basis. Comments should be submitted to 

Sharron Cook, Office of Exporter 

Services, Bureau of Industry and 

Security, Department of Commerce, 

14th and Pennsylvania Ave. NW., Room 

2099, Washington, DC 20230. 

List of Subjects 

15 CFR Part 734 

Administrative practice and 

procedure, Exports, Inventions and 

patents, Research science and 

technology. 

15 CFR Part 738 

Exports. 

15 CFR Parts 740, 748 and 752 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping requirements. 

15 CFR Part 742 

Exports, Terrorism. 

15 CFR Part 743 

Administrative practice and 

procedure, Reporting and recordkeeping 

requirements. 

15 CFR Part 744 

Exports, Reporting and recordkeeping 

requirements, Terrorism. 

15 CFR Parts 746 and 774 

Exports, Reporting and recordkeeping 

requirements. 

15 CFR Parts 770 and 772 

Exports. 

Accordingly, Parts 734, 738, 740, 742, 

743, 744, 746, 748, 752, 770, 772 and 

774 of the Export Administration 


srobinson on DSK4SPTVN1PROD with RULES2
Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 39367 

Regulations (15 CFR parts 730–774) are 

amended as follows: 

PART 734—[AMENDED] 

■ 1. The authority citation for part 734 

continues to read as follows: 

Authority: 50 U.S.C. app. 2401 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; Notice of August 12, 2011, 76 

FR 50661 (August 16, 2011); Notice of 

November 9, 2011, 76 FR 70319 (November 

10, 2011). 

■ 2. Section 734.4 is amended by 

removing ‘‘1.5’’ and adding in its place 

‘‘3.0’’ in paragraph (a)(1). 

PART 738—[AMENDED] 

■ 3. The authority citation for part 738 

continues to read as follows: 

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

U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. 

7430(e); 22 U.S.C. 287c; 22 U.S.C. 3201 et 

seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 

42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 

1354; 15 U.S.C. 1824a; 50 U.S.C. app. 5; 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; Notice of August 12, 2011, 76 

FR 50661 (August 16, 2011). 

■ 4. Section 738.3 is amended by 

revising paragraph (a)(1) to read as 

follows: 

§ 738.3 Commerce Country Chart 

structure. 

(a) * * * 

(1) ECCNs 0A983, 5A001.i, 5A980, 

5D001 (for 5A001.i, or for 5E001.a (for 

5A001.i or for 5D001.a (for 5A001.i))), 

5D980, 5E001.a (for 5A001.i, or for 

5D001.a (for 5A001.i)) and 5E980. A 

license is required for all destinations 

for items controlled under these entries. 

For items controlled by 0A983, 5E001.a 

(for 5A001.i, or for 5D001.a (for 

5A001.i)) and 5E980, no license 

exceptions apply. For items controlled 

by 5A001.i, 5A980, 5D001 (for 5A001.i 

or for 5E001.a (for 5A001.i, or for 

5D001.a (for 5A001.i))) and 5D980, 

License Exception GOV may apply if 

your item is consigned to and for the 

official use of an agency of the U.S. 

Government (see § 740.2(a)(3)). If your 

item is controlled by 0A983, 5A001.i, 

5A980, 5D001 (for 5A001.i or for 

5E001.a (for 5A001.i, or for 5D001.a (for 

5A001.i))), 5D980, 5E001.a (for 5A001.i, 

or for 5D001.a (for 5A001.i)) or 5E980 

you should proceed directly to Part 748 

of the EAR for license application 

instructions and §§ 742.11 or 742.13 of 

the EAR for information on the licensing 

policy relevant to these types of 

applications. 

* * * * * 

PART 740—[AMENDED] 

■ 5. The authority citation for part 740 

continues to read as follows: 

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

U.S.C. 1701 et seq.; 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; Notice of August 12, 2011, 76 

FR 50661 (August 16, 2011). 

■ 6. Section 740.2 is amended by 

revising paragraphs (a)(3) and (a)(7) to 

read as follows: 

§ 740.2 Restrictions on all license 

exceptions. 

(a) * * * 

(3) The item is primarily useful for 

surreptitious interception of wire, oral, 

or electronic communications, or related 

software, controlled under ECCNs 

5A001.i, 5A980, 5D001 (for 5A001.i or 

for 5E001.a (for 5A001.i, or for 5D001.a 

(for 5A001.i))), or 5D980, unless the 

item is consigned to and for the official 

use of an agency of the U.S. Government 

(see § 740.11(b)(2)(ii) of this part, 

Governments (GOV)). No license 

exceptions apply for 5E001.a (for 

5A001.i, or for 5D001.a (for 5A001.i)) or 

for 5E980. 

* * * * * 

(7) ‘‘Space qualified’’ items. 

Commodities defined in 3A001.b.8 

(Traveling Wave Tube Amplifiers 

(TWTAs) exceeding 18 GHz), 6A002.a.1, 

6A008.j.1, or 6A998.b; ‘‘software’’ for 

commodities defined in 3A001.b.8 

(Traveling Wave Tube Amplifiers 

(TWTAs) exceeding 18 GHz), 6A002.a.1, 

6A008.j.1, or 6A998.b and controlled 

under ECCNs 3D001 (Traveling Wave 

Tube Amplifiers (TWTAs) exceeding 18 

GHz), 6D001, 6D002, 6D991; and 

‘‘technology’’ for commodities defined 

in ECCNs 3A001.b.8 (Traveling Wave 

Tube Amplifiers (TWTAs) exceeding 18 

GHz), 6A002.a.1, 6A008.j.1, or 6A998.b 

and controlled under ECCNs 3E001, 

6E001, 6E002, 6E101, 6E991. 

* * * * * 

§ 740.7 [Amended] 

■ 7. Section 740.7 is amended by: 

■ a. Removing the phrase ‘‘APP less 

than or equal to 1.5 Weighted 

TeraFLOPS (WT)’’ and adding in its 

place ‘‘APP less than or equal to 25 

Weighted TeraFLOPS (WT)’’ in 

paragraph (c)(3)(ii); 

■ b. Removing the phrase ‘‘with an APP 

less than or equal to 3 WT are eligible’’ 

and adding in its place ‘‘with an APP 

less than or equal to 120 WT are 

eligible’’ in paragraph (c)(3)(iii); 

■ c. Removing the phrase ‘‘with a APP 

less than or equal to 0.5 Weighted 

TeraFLOPs (WT)’’ and adding in its 

place ‘‘with an APP less than or equal 

to 12 Weighted TeraFLOPs (WT)’’ in 

paragraph (d)(3)(i); and 

■ d. Removing the phrase ‘‘with an APP 

less than or equal to 0.75 WT are 

eligible’’ and adding in its place ‘‘with 

an APP less than or equal to 25 WT are 

eligible’’ in paragraph (d)(3)(ii). 

■ 8. Supplement No. 1 to § 740.11 is 

amended by revising the introductory 

text of paragraph (a)(1) to read as 

follows: 

§ 740.11 Governments, international 

organizations, international inspections 

under the Chemical Weapons Convention, 

and the International Space Station (GOV). 

* * * * * 

Supplement No. 1 to § 740.11— 

Additional Restrictions on use of 

License Exception GOV 

(a) * * * 

(1) Items identified on the Commerce 

Control List as controlled for national 

security (NS) reasons under Export Control 

Classification Numbers (ECCNs) as follows 

for export or reexport to destinations other 

than Austria, Belgium, Canada, Denmark, 

Finland, France, Germany, Greece, Ireland, 

Italy, Luxembourg, the Netherlands, Portugal, 

Spain, Sweden, or the United Kingdom: 

1C001, 5A001.b.5, 5A001.h, 6A001.a.1.b.1 

systems or transmitting and receiving arrays, 

designed for object detection and location, 

having a sound pressure level exceeding 210 

dB (reference 1 mPa at 1 m) and an operating 

frequency in the band from 30 Hz to 2 kHz 

inclusive, 6A001.a.2.a.1, 6A001.a.2.a.2, 

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

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

6B008, 8A001.b, 8A001.d, 8A002.o.3.b; and 

* * * * * 

■ 9. Section 740.16 is amended by 

revising paragraphs (a)(2) and (b)(2), and 

the introductory text of paragraph (b)(3), 

to read as follows: 

§ 740.16 Additional permissive reexports 

(APR). 

(a) * * * 

(2) The commodities being reexported 

are not controlled for NP, CB, MT, SI or 

CC reasons and are not military 

commodities described in ECCN 0A919 

or cameras described in ECCN 

6A003.b.3 (having the characteristics 

listed in 6A002.a.2.a or a.2.b), 

6A003.b.4.b, 6A003.b.4.c, or 

components described in 6A002.a.2.a, 

a.2.b, a.2.c, a.3.b.2.b, or a.3.g; and 

* * * * * 

(b) * * * 

(2) Except as provided in paragraph 

(b)(3) of this section, cameras described 

in ECCN 6A003.b.3 (having the 

characteristics listed in 6A002.a.2.a or 


srobinson on DSK4SPTVN1PROD with RULES2
39368 Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 

a.2.b), 6A003.b.4.b, 6A003.b.4.c, or 

components described in 6A002.a.2.a, 

a.2.b, a.2.c, a.3.b.2.b, or a.3.g, and 

‘‘military commodities’’ described in 

ECCN 0A919 may not be exported under 

this paragraph (b). 

(3) Cameras described in ECCN 

6A003.b.3 (having the characteristics 

listed in 6A002.a.2.a or a.2.b), 

6A003.b.4.b, or 6A003.b.4.c may be 

exported or reexported to and among: 

Albania, Australia, Austria, Belgium, 

Bulgaria, Canada, Croatia, Cyprus, 

Czech Republic, Denmark, Estonia, 

Finland, France, Germany, Greece, 

Hungary, Iceland, Ireland, Italy, Japan, 

Latvia, Lithuania, Luxembourg, Malta, 

the Netherlands, New Zealand, Norway, 

Poland, Portugal, Romania, Slovakia, 

Slovenia, South Africa, South Korea, 

Spain, Sweden, Switzerland, Turkey, 

and the United Kingdom if: 

* * * * * 

■ 10. Section 740.20 is amended by 

adding paragraph (b)(2)(ix), to read as 

follows: 

§ 740.20 License Exception Strategic 

Trade Authorization (STA). 

* * * * * 

(b) * * * 

(2) * * * 

(ix) License Exception STA may not 

be used for any commodity controlled 

by ECCNs 6A002.a.2, a.3.a, a.3.b, a.3.g 

or .c, or any related ‘‘technology’’ 

controlled by 6E001 or 6E002. 

* * * * * 

PART 742—[AMENDED] 

■ 11. The authority citation for part 742 

continues to read as follows: 

Authority: 50 U.S.C. app. 2401 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 of May 7, 2003, 68 FR 26459, May 

16, 2003; Notice of August 12, 2011, 76 FR 

50661 (August 16, 2011); Notice of November 

9, 2011, 76 FR 70319 (November 10, 2011). 

■ 12. Section 742.6 is amended by 

revising paragraph (a)(1) to read as 

follows: 

§ 742.6 Regional stability. 

(a) * * * 

(1) RS Column 1 License 

Requirements in General. As indicated 

in the CCL and in RS column 1 of the 

Commerce Country Chart (see 

Supplement No. 1 to part 738 of the 

EAR), a license is required to all 

destinations, except Canada, for items 

described on the CCL under ECCNs 

3A982; 3D982; 3E982; 6A002.a.1, a.2, 

a.3, or .c; 6A003.b.3, b.4.a, and b.4.c; 

6A008.j.1; 6A998.b; 6D001 (only 

‘‘software’’ for the ‘‘development’’ or 

‘‘production’’ of items in 6A002.a.1, a.2, 

a.3, .c; 6A003.b.3 and .b.4; or 6A008.j.1); 

6D002 (only ‘‘software’’ for the ‘‘use’’ of 

items in 6A002.a.1, a.2, a.3, .c; 

6A003.b.3 and .b.4; or 6A008.j.1); 

6D003.c; 6D991 (only ‘‘software’’ for the 

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

of equipment controlled by 6A002.a.1.d 

or 6A998.b); 6E001 (only ‘‘technology’’ 

for ‘‘development’’ of items in 

6A002.a.1, a.2, a.3 (except 

6A002.a.3.d.2.a and 6A002.a.3.e for lead 

selenide focal plane arrays), and .c, 

6A003.b.3 and b.4, or 6A008.j.1); 6E002 

(only ‘‘technology’’ for ‘‘production’’ of 

items in 6A002.a.1, a.2, a.3, or .c, 

6A003.b.3 or b.4, or 6A008.j.1); 6E991 

(only ‘‘technology’’ for the 

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

of equipment controlled by 6A998.b); 

7A994 (only QRS11 00100 100/101 and 

QRS11 0050 443/569 Micromachined 

Angular Rate Sensors); 7D001 (only 

‘‘software’’ for ‘‘development’’ or 

‘‘production’’ of items in 7A001, 7A002, 

or 7A003); 7E001 (only ‘‘technology’’ for 

the ‘‘development’’ of inertial 

navigation systems, inertial equipment, 

and specially designed components 

therefor for civil aircraft); 7E002 (only 

‘‘technology’’ for the ‘‘production’’ of 

inertial navigation systems, inertial 

equipment, and specially designed 

components therefor for civil aircraft); 

7E101 (only ‘‘technology’’ for the ‘‘use’’ 

of inertial navigation systems, inertial 

equipment, and specially designed 

components for civil aircraft). 

* * * * * 

■ 13. Section 742.13 is amended by 

revising the section heading and 

paragraph (a)(1) to read as follows: 

§ 742.13 Communications intercepting 

devices; software and technology for 

communications intercepting devices. 

(a) License requirement. (1) In support 

of U.S. foreign policy to prohibit the 

export of items that may be used for the 

surreptitious interception of wire, oral, 

or electronic communications, a license 

is required for all destinations, 

including Canada, for ECCNs having an 

‘‘SL’’ under the ‘‘Reason for Control’’ 

paragraph. These items include any 

electronic, mechanical, or other device 

primarily useful for the surreptitious 

interception of wire, oral, or electronic 

communications (ECCNs 5A001.i and 

5A980); and for related ‘‘software’’ 

primarily useful for the surreptitious 

interception of wire, oral, or electronic 

communications (ECCN 5D001.c and 

5D980.a); and ‘‘software’’ primarily 

useful for the ‘‘development’’, 

‘‘production’’, or ‘‘use’’ of devices 

controlled under ECCNs 5A001.i and 

5A980 (ECCNs 5D001.a and 5D980.b); 

and for ‘‘technology’’ primarily useful 

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

‘‘use’’ of items controlled by ECCNs 

5A001.i, 5D001.a (for 5A001.i), 5A980 

and 5D980 (ECCNs 5E001.a and 5E980); 

and for ‘‘software’’ primarily useful to 

support such ECCN 5E001.a 

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

‘‘technology’’ for 5A001.i equipment 

and certain 5D001.a ‘‘software’’ (ECCN 

5D001.b). These licensing requirements 

do not supersede the requirements 

contained in the Omnibus Crime 

Control and Safe Streets Act of 1968, as 

amended (18 U.S.C. 2512). This license 

requirement is not reflected on the 

Commerce Country Chart (Supplement 

No. 1 to Part 738 of the EAR). 

* * * * * 

PART 743—[AMENDED] 

■ 14. The authority citation for part 743 

continues to read as follows: 

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

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

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

August 12, 2011, 76 FR 50661 (August 16, 

2011). 

■ 15. Section 743.1 is amended by: 

■ a. Revising paragraphs (c)(1)(iii) and 

(c)(1)(vi); and 

■ b. Adding Notes for paragraph 

(c)(1)(vi), to read as follows: 

§ 743.1 Wassenaar Arrangement. 

* * * * * 

(c) * * * 

(1) * * * 

(iii) Category 3: 3A002.g.1, 3D001 for 

‘‘development’’ or ‘‘production’’ of 

3A002.g.1, and 3E001 for 

‘‘development’’ or ‘‘production’’ of 

3A002.g.1; 

* * * * * 

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

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

a sound pressure level exceeding 224 dB 

(reference 1 mPa at 1 m) for equipment 

with an operating frequency in the band 

from 5 kHz to 10 kHz inclusive’’ to the 

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

6A001.a.2.d; 6A002.a.1.a, 6A002.a.1.b, 

6A002.a.1.c, 6A002.a.1.d, 6A002.a.2.a 

(changing 350 mA/lm to 700 mA/lm in 

6A002.a.2.a.3.a), 6A002.a.2.b, 

6A002.a.3, 6A002.b, 6A002.c 

(incorporating image intensifier tubes 

listed in 6A002.a.2.a (having 

characteristics described in this 

paragraph) or 6A002.a.2.b, ‘‘focal plane 

arrays’’ listed in 6A002.a.3 (having 

characteristics described in Note 1 to 


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this paragraph) or solid-state detectors 

having the characteristics listed in 

6A002.a.1); 6A003.b.3 (incorporating 

6A002.a.2.a (having characteristics 

described in this paragraph) or 

6A002.a.2.b), 6A003.b.4 (incorporating 

‘‘focal plane arrays’’ listed in 6A002.a.3 

to 6A002.a.3.e, 6A002.a.3.f, or 

6A002.a.3.g, having characteristics 

described in this paragraph), 6A003.b.5; 

6A004.c and d; 6A006.a.1, 6A006.a.2 

(having a ‘sensitivity’ lower (better) than 

2pT rms per square root Hz), 6A006.c.1, 

6A006.d (certain items only; see Note to 

this paragraph), 6A006.e (incorporating 

magnetometers specified in 6A006.a.1 

or 6A006.a.2, as described by this 

paragraph); 6A008.d, .h, and .k; 6B008, 

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

and .k, and 6B008); 6D003.a; 6E001 (for 

equipment and software listed in this 

paragraph); and 6E002 (for equipment 

specified by 6A or 6B in this paragraph); 

Notes to paragraph (c)(1)(vi): 

Note 1: Reports for 6A002.a.3 exclude the 

following ‘‘focal plane arrays’’: 

a. Platinum Silicide (PiSi) ‘‘focal plane 

arrays’’ having less than 10,000 elements; 

b. Iridium Silicide (IrSi) ‘‘focal plane 

arrays’’; 

c. Indium Antimonide (InSb) or Lead 

Selenide (PbSe) ‘‘focal plane arrays’’ having 

less than 256 elements; 

d. Indium Arsenide (InAs) ‘‘focal plane 

arrays’’; 

e. Lead Sulphide (PbS) ‘‘focal plane 

arrays’’; 

f. Indium Gallium Arsenide (InGaAs) 

‘‘focal plane arrays’’; 

g. Mercury Cadmium Telluride (HgCdTe) 

‘‘focal plane arrays’’, as follows: 

1. ‘Scanning Arrays’ having any of the 

following: 

a. 30 elements or less; or 

b. Incorporating time delay-and-integration 

within the element and having 2 elements or 

less; 

2. ‘Staring Arrays’ less than 256 elements; 

Technical Notes: ‘Scanning Arrays’ are 

defined as ‘‘focal plane arrays’’ designed for 

use with a scanning optical system that 

images a scene in a sequential manner to 

produce an image. 

‘Staring Arrays’ are defined as ‘‘focal plane 

arrays’’ designed for use with a non-scanning 

optical system that images a scene. 

h. Gallium Arsenide (GaAs)or Gallium 

Aluminum Arsenide (GaAlAs) quantum well 

‘‘focal plane arrays’’ having less than 256 

elements; and 

i. Microbolometer ‘‘focal plane arrays’’ 

having less than 8,000 elements. 

Note 2: Reports for 6A002.a.3.g do not 

apply to: 

a. The linear (1-dimensional) ‘‘focal plane 

arrays’’ specially designed or modified to 

achieve ‘charge multiplication’ having 4,096 

elements or less; or 

b. The non-linear (2-dimensional) ‘‘focal 

plane arrays’’ specially designed or modified 

to achieve ‘charge multiplication’ having a 

maximum linear dimension of 4,096 

elements and a total of 250,000 elements or 

less. 

Note 3: Reports for 6A006.d, are for 

‘‘compensation systems’’ for the following: 

a. Magnetic sensors controlled in 

6A006.a.2 using optically pumped or nuclear 

precession (proton/Overhauser) ‘‘technology’’ 

that will permit these sensors to realize a 

‘sensitivity’ lower (better) than 2 pT rms per 

square root Hz. 

b. Underwater electric field sensors 

controlled in 6A006.b. 

c. Magnetic gradiometers controlled in 

6A006.c that will permit these sensors to 

realize a ‘sensitivity’ lower (better) than 3 pT/ 

m rms per square root Hz. 

* * * * * 

■ 16. Section 743.2 is amended by 

removing ‘‘1.5’’ and adding in its place 

‘‘3.0’’ in paragraph (b). 

■ 17. Supplement No. 1 to part 743 is 

amended by adding ‘‘Mexico’’ in 

alphabetic order. 

PART 744—[AMENDED] 

■ 18. The authority citation for part 744 

continues to read as follows: 

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

12947, 60 FR 5079, 3 CFR, 1995 Comp., 

p. 356; E.O. 13026, 61 FR 58767, 3 CFR, 1996 

Comp., p. 228; E.O. 13099, 63 FR 45167, 3 

CFR, 1998 Comp., p. 208; E.O. 13222, 66 FR 

44025, 3 CFR, 2001 Comp., 

p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 

Comp., p. 786; Notice of August 12, 2011, 76 

FR 50661 (August 16, 2011); Notice of 

September 21, 2011, 76 FR 59001 

(September, 22, 2011); Notice of November 9, 

2011, 76 FR 70319 (November 10, 2011); 

Notice of January 19, 2012, 77 FR 3067 

(January 20, 2012). 

■ 19. Section 744.9 is amended by 

■ a. Revising the section heading to read 

as set forth below; and 

■ b. Removing the reference ‘‘ECCN 

6A003.b.4.b’’ and adding in its place 

‘‘ECCNs 6A003.b.3, 6A003.b.4.b, or 

6A003.b.4.c’’ in the introductory text of 

paragraph (a) and in the first sentence 

of paragraph (b). 

§ 744.9 Restrictions on certain exports and 

reexports of cameras controlled by ECCNs 

6A003.b.3, 6A003.b.4.b, or 6A003.b.4.c. 

* * * * * 

PART 746—[AMENDED] 

■ 20. The authority citation for part 746 

continues to read as follows: 

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

50 U.S.C. 1701 et seq.; 22 U.S.C. 287c; Sec. 

1503, Pub. L. 108–11, 117 Stat. 559; 22 U.S.C. 

6004; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; 

E.O. 12854, 58 FR 36587, 3 CFR, 1993 Comp., 

p. 614; E.O. 12918, 59 FR 28205, 3 CFR, 1994 

Comp., p. 899; E.O. 13222, 3 CFR, 2001 

Comp., p. 783; Presidential Determination 

2003–23 of May 7, 2003, 68 FR 26459, 

May 16, 2003; Presidential Determination 

2007–7 of December 7, 2006, 72 FR 1899 

(January 16, 2007); Notice of August 12, 

2011, 76 FR 50661 (August 16, 2011). 

■ 21. Section 746.7 is amended by 

revising paragraph (a)(1) to read as 

follows: 

§ 746.7 Iran. 

* * * * * 

(a) License Requirements—(1) EAR 

license requirements. A license is 

required under the EAR to export or 

reexport to Iran any item on the CCL 

containing a CB Column 1, CB Column 

2, CB Column 3, NP Column 1, NP 

Column 2, NS Column 1, NS Column 2, 

MT Column 1, RS Column 1, RS 

Column 2, CC Column 1, CC Column 2, 

CC Column 3, AT Column 1 or AT 

Column 2 in the Country Chart Column 

of the License Requirements section of 

an ECCN or classified under ECCNs 

0A980, 0A982, 0A983, 0A985, 0E982, 

1C355, 1C395, 1C980, 1C981, 1C982, 

1C983, 1C984, 2A994, 2D994, 2E994, 

5A001.i, 5A980, 5D001 (for 5A001.i or 

for 5E001.a (for 5A001.i, or for 5D001.a 

(for 5A001.i))), 5D980, 5E001.a (for 

5A001.i, or for 5D001.a (for 5A001.i)) or 

5E980. 

* * * * * 

PART 748—[AMENDED] 

■ 22. The authority citation for part 748 

continues to read as follows: 

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

U.S.C. 1701 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; Notice 

of August 12, 2011, 76 FR 50661 (August 16, 

2011). 

■ 23. Supplement No. 7 to part 748 is 

amended by removing the citation 

‘‘3B001.d’’ wherever it appears in the 

‘‘Eligible Items (by ECCN)’’ column. 

PART 752—[AMENDED] 

■ 24. The authority citation for part 752 

continues to read as follows: 

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

U.S.C. 1701 et seq.; E.O. 13020, 61 FR 54079, 

3 CFR, 1996 Comp., p. 219; E.O. 13222, 66 

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

of August 12, 2011, 76 FR 50661 (August 16, 

2011). 

■ 24a. Section 752.3 is amended by 

revising paragraph (a)(7) to read as 

follows: 

§ 752.3 Eligible items. 

(a) * * * 


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39370 Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 

(7) Communications intercepting 

devices and related software and 

technology controlled by ECCNs 

5A001.i, 5A980, 5D001 (for 5A001.i or 

for 5E001.a (for 5A001.i, or for 5D001.a 

(for 5A001.i))), 5D980, 5E001.a (for 

5A001.i, or for 5D001.a (for 5A001.i)) or 

5E980 on the CCL; 

* * * * * 

PART 770 [AMENDED] 

■ 25. The authority citation for part 770 

continues to read as follows: 

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

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

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

12, 2011, 76 FR 50661 (August 16, 2011). 

■ 26. Section 770.2 is amended by 

revising paragraph (l)(1) to read as 

follows: 

§ 770.2 Item interpretations. 

* * * * * 

(l) Interpretation 12: Computers. (1) 

Digital computers or computer systems 

classified under ECCN 4A003.b or .c, 

that qualify for ‘‘No License Required’’ 

(NLR) must be evaluated on the basis of 

Adjusted Peak Performance (APP) alone, 

to the exclusion of all other technical 

parameters. Digital computers or 

computer systems classified under 

ECCN 4A003.b or .c that qualify for 

License Exception APP must be 

evaluated on the basis of APP, to the 

exclusion of all other technical 

parameters, except for ECCN 4A003.e 

(equipment performing analog-to-digital 

conversions exceeding the limits in 

ECCN 3A001.a.5.a). Assemblies 

performing analog-to-digital conversions 

are evaluated under Category 3— 

Electronics, ECCN 3A001.a.5.a. 

* * * * * 

PART 772—[AMENDED] 

■ 27. The authority citation for part 772 

continues to read as follows: 

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

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

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

12, 2011, 76 FR 50661 (August 16, 2011). 

■ 28. Section 772.1 is amended by: 

■ a. Adding the definition for ‘‘airship’’ 

in alphabetical order; 

■ b. Revising the definition for ‘‘average 

output power’’; 

■ c. Removing the definitions for 

‘‘common channel signalling’’, ‘‘fault 

tolerance’’, ‘‘laser duration’’ and 

‘‘positioning accuracy’’; 

■ d. Revising the definition for ‘‘peak 

power’’; and 

■ e. Revising the definition for ‘‘pulse 

duration’’, to read as set forth below; 

§ 772.1 Definitions of terms as used in the 

Export Administration Regulations (EAR). 

* * * * * 

‘‘Airship’’. (Cat 9) A power-driven 

airborne vehicle that is kept buoyant by 

a body of gas (usually helium, formerly 

hydrogen) which is lighter than air. 

* * * * * 

‘‘Average Output Power.’’ (Cat 6) The 

average output power is the total ‘‘laser’’ 

output energy, in joules, divided by the 

period over which a series of 

consecutive pulses is emitted, in 

seconds. For a series of uniformly 

spaced pulses it is equal to the total 

‘‘laser’’ output energy in a single pulse, 

in joules, multiplied by the pulse 

frequency of the ‘‘laser,’’ in Hertz. 

* * * * * 

‘‘Peak power’’. (Cat 6)—The highest 

power attained in the ‘‘pulse duration.’’ 

* * * * * 

‘‘Pulse duration.’’ (Cat 6)—Duration of 

a ‘‘laser’’ pulse is the time between the 

half-power points on the leading edge 

and trailing edge of an individual pulse. 

* * * * * 

PART 774—[AMENDED] 

■ 29. The authority citation for part 774 

continues to read as follows: 

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

U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. 

7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et 

seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 

42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 

1354; 15 U.S.C. 1824a; 50 U.S.C. app. 5; 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; Notice of August 12, 2011, 76 

FR 50661 (August 16, 2011). 

■ 30. Supplement No. 1 to part 774, 

Category 0, ECCN 0A919 is amended by 

revising the RS paragraph in the License 

Requirements section, and revising 

paragraph d. in the Items paragraph of 

the List of Items Controlled section, to 

read as follows: 

Supplement No. 1 to Part 774—The 

Commerce Control List 

* * * * * 

0A919 ‘‘Military commodities’’ as follows 

(see list of items controlled). 

License Requirements 

* * * * * 

Control(s) Country chart 

RS applies to entire 

entry.

RS Column 1, see 

§ 742.6(a)(3) for license requirements. 

* * * * * 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. Incorporate one or more cameras 

controlled under ECCN 6A003.b.3, .b.4.b, or 

.b.4.c. 

* * * * * 

■ 31. In Supplement No. 1 to part 774 

(the Commerce Control List), Category 1, 

ECCN 1A004 is amended by adding a 

Note to introductory paragraph .a in the 

Items paragraph of the List of Items 

Controlled section, to read as follows: 

1A004 Protective and detection equipment 

and components, not specially designed 

for military use, as follows (see List of 

Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. * * * 

Note: 1A004.a includes Powered Air 

Purifying Respirators (PAPR) that are 

designed or modified for defense against 

agents or materials, listed in 1A004.a. 

* * * * * 

■ 32. In Supplement No. 1 to part 774 

(the Commerce Control List), Category 1, 

ECCN 1A005 is amended by revising the 

Heading, the Items paragraph, and the 

notes to ECCN 1A005, to read as 

follows: 

1A005 Body armor and components 

therefor, as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Soft body armor not manufactured to 

military standards or specifications, or to 

their equivalents, and specially designed 

components therefor; 

b. Hard body armor plates providing 

ballistic protection equal to or less than level 

IIIA (NIJ 0101.06, July 2008) or national 

equivalents. 

Notes to ECCN 1A005:

1. This entry does not control body armor 

when accompanying its user for the user’s 

own personal protection. 

2. This entry does not control body armor 

designed to provide frontal protection only 

from both fragment and blast from nonmilitary explosive devices. 

3. This entry does not apply to body armor 

designed to provide protection only from 

knife, spike, needle or blunt trauma. 

■ 33. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1, 

ECCN 1C006, List of Items Controlled 

section is amended by adding a Note to 

paragraph d. (after paragraph d.4), to 

read as follows: 


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Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 39371 

1C006 Fluids and lubricating materials, as 

follows (see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. * * * 

Note: 1C006.d does not apply to materials 

specified and packaged as medical products. 

■ 34. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1, 

ECCN 1C008, the List of Items 

Controlled section is amended by 

revising paragraphs a.4. and f. in the 

Items paragraph, to read as follows: 

1C008 Non-fluorinated polymeric 

substances as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. * * * 

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. 

* * * * * 

f. Polybiphenylenethersulphone having a 

‘glass transition temperature (Tg)’ exceeding 

563 K (290 °C). 

Technical Note: The ‘glass transition 

temperature (Tg)’ for 1C008 materials is 

determined using the method described in 

ISO 11357–2 (1999) or national equivalents. 

In addition, for 1C008.a.2 materials, ‘glass 

transition temperature (Tg)’ is determined on 

a PAI test specimen having initially been 

cured at a minimum temperature of 310 °C 

for a minimum of 15 minutes. 

■ 35. The Annex to Category 1 ‘‘List of 

Explosives (See ECCNs 1A004 and 

1A008)’’ is amended by removing and 

reserving paragraph 32.g. 

■ 36. Category 2 ‘‘Materials Processing’’, 

Product Group B ‘‘Test, Inspection and 

Production Equipment’’, the Notes for 

category 2B are amended by: 

■ a. Removing the Notes for Category 

2B; 

■ b. Revising the ‘‘Technical Notes for 

2B001 to 2B009’’, including the 

Heading, to read as follows: 

B. Test, Inspection and Production 

Equipment 

Technical Notes for 2B001 to 2B009, 

2B201, 2B290 and 2B991 to 2B999: 

1. 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-andpinion). 

2. 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. Axis nomenclature shall be in 

accordance with International Standard ISO 

841, ‘‘Numerical Control Machines—Axis 

and Motion Nomenclature’’. 

4. A ‘‘tilting spindle’’ is counted as a rotary 

axis. 

5. ‘Stated positioning accuracy’ derived 

from measurements made according to ISO 

230/2 (2006) may be used for each specific 

machine model as an alternative to 

individual machine tests. ‘Stated positioning 

accuracy’ means the accuracy value provided 

to BIS as representative of the accuracy of a 

specific machine model. 

Note to paragraph 5: Determination of 

‘Stated Positioning Accuracy’: 

a. Select five machines of a model to be 

evaluated; 

b. Measure the linear axis accuracies 

according to ISO 230/2 (2006); 

c. Determine the A-values for each axis of 

each machine. The method of calculating the 

A-value is described in the ISO standard; 

d. Determine the mean value of the A-value 

of each axis. This mean value A becomes the 

stated value of each axis for the model (A ̄ x 

A ̄ y * * *); 

e. Since the Category 2 list refers to each 

linear axis there will be as many stated 

values as there are linear axes; 

f. If any axis of a machine model not 

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

stated accuracy A ̄ of 5 mm for grinding 

machines and 6.5 mm for milling and turning 

machines or better, the builder should be 

required to reaffirm the accuracy level once 

every eighteen months. 

6. Measurement uncertainty for the 

positioning accuracy of machine tools, as 

defined in the International Standard ISO 

230/2 (2006), shall not be considered. 

■ 37. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 2, 

ECCN 2B001, the License Requirements 

Section, 

■ a. The Reason for Control table is 

amended by revising the ‘‘NP’’ entry; 

and 

■ b. The items paragraph is amended by: 

■ i. Revising paragraphs a.1., b.1.a., b.3. 

and c.1.a.; and 

■ ii. Revising the Notes to 2B001.c, to 

read as follows: 

2B001 Machine tools and any combination 

thereof, for removing (or cutting) metals, 

ceramics or ‘‘composites’’, which, 

according to the manufacturer’s 

technical specifications, can be 

equipped with electronic devices for 

‘‘numerical control’’; and specially 

designed components as follows (see List 

of Items Controlled). 

License Requirements 

* * * * * 

Control(s) Country chart 

*****

* * 

NP applies to 

2B001.a, .b, .c, and 

.d, EXCEPT: (1) 

turning machines 

under 2B001.a with 

a capacity no 

greater than 35 

mm diameter; (2) 

bar machines 

(Swissturn), limited 

to machining only 

bar feed through, if 

maximum bar diameter is equal to 

or less than 42 mm 

and there is no capability of mounting 

chucks. (Machines 

may have drilling 

and/or milling capabilities for machining parts with diameters less than 42 

mm); or (3) milling 

machines under 

2B001.b with x-axis 

travel greater than 

two meters and 

overall positioning 

accuracy according 

to ISO 230/2 

(2006) on the xaxis more (worse) 

than 22.5 μm.

NP Column 1. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

a. * * * 

a.1. Positioning accuracy according to ISO 

230/2 (2006) with ‘‘all compensations 

available’’ equal to or less (better) than 4.5 

mm along one or more linear axis; and 

* * * * * 

b. * * * 

b.1. * * * 

b.1.a. Positioning accuracy according to 

ISO 230/2 (2006) with ‘‘all compensations 

available’’ of less (better) than 4.5 mm along 

one or more linear axis; and 

* * * * * 


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b.3. A positioning accuracy according to 

ISO 230/2 (2006) for jig boring machines, 

with ‘‘all compensations available’’, of less 

(better) than 3.0 mm along any linear axis; or 

c. * * * 

c.1. * * * 

c.1.a. Positioning accuracy according to 

ISO 230/2 (2006) with ‘‘all compensations 

available’’ of less (better) than 3.0 mm along 

one or more linear axis; and 

* * * * * 

Notes: 2B001.c does not control grinding 

machines as follows: 

a. Cylindrical external, internal, and 

external-internal grinding machines, having 

all of the following: 

a.1. Limited to cylindrical grinding; and 

a.2. Limited to a maximum workpiece 

capacity of 150 mm outside diameter or 

length. 

b. Machines designed specifically as jig 

grinders that do not have a z-axis or a w-axis, 

with a positioning accuracy according to ISO 

230/2 (2006) with ‘‘all compensations 

available’’ less (better) than 3 mm. 

c. Surface grinders. 

■ 38. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 2, 

ECCN 2B008, the List of Items 

Controlled section is amended by 

revising the Items paragraph to read as 

follows: 

2B008 Assemblies or units, specially 

designed for machine tools, or 

dimensional inspection or measuring 

systems and equipment, as follows (see 

List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Linear position feedback units having an 

overall ‘‘accuracy’’ less (better) than (800 + 

(600 × L × 10¥3)) nm (L equals the effective 

length in mm); 

N.B.: For ‘‘laser’’ systems see also 

2B006.b.1.c and d. 

b. Rotary position feedback units having an 

‘‘accuracy’’ less (better) than 0.00025°; 

N.B.: For ‘‘laser’’ systems see also 

2B006.b.2. 

Note: 2B008.a and 2B008.b apply to units, 

which are designed to determine the 

positioning information for feedback control, 

such as inductive type devices, graduated 

scales, infrared systems or ‘‘laser’’ systems. 

c. ‘‘Compound rotary tables’’ and ‘‘tilting 

spindles’’, capable of upgrading, according to 

the manufacturer’s specifications, machine 

tools to or above the levels controlled by 

2B001 to 2B009. 

■ 39. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 2, 

ECCN 2B009, the List of Items 

Controlled section is amended by 

revising paragraph a. in the Items 

paragraph to read as follows: 

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). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Three or more axes which can be 

coordinated simultaneously for ‘‘contouring 

control’’; and 

* * * * * 

■ 40. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 2, 

ECCN 2B201 is amended by revising the 

Items paragraph, to read as follows: 

2B201 Machine tools, other than those 

controlled by 2B001, for removing or 

cutting metals, ceramics or 

‘‘composites’’, which, according to the 

manufacturer’s technical specifications, 

can be equipped with electronic devices 

for simultaneous ‘‘contouring control’’ 

in two or more axes. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

Note: The identified positioning accuracy 

values in this entry are based on ISO 230/2 

(2006), which equates to the values based on 

ISO 230/2 (1988) that are used by the 

Nuclear Supplier’s Group (NSG). For 2B201.a 

and b.1, this results in a change from 6 mm 

to 4.5 mm, in Note to 2B201.b paragraph .b 

the change is 30 mm to 22.5 mm, and for 

2B201.c the change is from 4 mm to 3 mm. 

a. Machine tools for turning, that have 

positioning accuracies according to ISO 

230/2 (2006) with all compensations 

available better (less) than 4.5 mm along any 

linear axis (overall positioning) for machines 

capable of machining diameters greater than 

35 mm; 

Note: Item 2B201.a does not control bar 

machines (Swissturn), limited to machining 

only bar feed thru, if maximum bar diameter 

is equal to or less than 42 mm and there is 

no capability of mounting chucks. Machines 

may have drilling and/or milling capabilities 

for machining parts with diameters less than 

42 mm. 

b. Machine tools for milling, having any of 

the following characteristics: 

b.1. Positioning accuracies according to 

ISO 230/2 (2006) with ‘‘all compensations 

available’’ equal to or less (better) than 4.5 

mm along any linear axis (overall 

positioning); or 

b.2. Two or more contouring rotary axes. 

Note: 2B201.b does not control milling 

machines having the following 

characteristics: 

a. X-axis travel greater than 2 m; and 

b. Overall positioning accuracy according 

to ISO 230/2 (2006) on the x-axis more 

(worse) than 22.5 mm. 

c. Machine tools for grinding, having any 

of the following characteristics: 

c.1. Positioning accuracies according to 

ISO 230/2 (2006) with ‘‘all compensations 

available’’ equal to or less (better) than 3 mm 

along any linear axis (overall positioning); or 

c.2. Two or more contouring rotary axes. 

Note: 2B201.c does not control the 

following grinding machines: 

a. Cylindrical external, internal, and 

external-internal grinding machines having 

all of the following characteristics: 

1. Limited to cylindrical grinding; 

2. A maximum workpiece outside diameter 

or length of 150 mm; 

3. Not more than two axes that can be 

coordinated simultaneously for ‘‘contouring 

control’’; and 

4. No contouring c-axis. 

b. Jig grinders with axes limited to x, y, c 

and a where c axis is used to maintain the 

grinding wheel normal to the work surface, 

and the a axis is configured to grind barrel 

cams; 

c. Tool or cutter grinding machines with 

‘‘software’’ specially designed for the 

production of tools or cutters; or 

d. Crankshaft or camshaft grinding 

machines. 

■ 41. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 2, 

ECCN 2B991, the List of Items 

Controlled section is amended by 

revising paragraph c. in the Items 

paragraph, to read as follows: 

2B991 Numerical control units for machine 

tools and ‘‘numerically controlled’’ 

machine tools, n.e.s. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

c. ‘‘Numerically controlled’’ machine tools 

that, according to the manufacturer’s 

technical specifications, can be equipped 

with electronic devices for simultaneous 

‘‘contouring control’’ in two or more axes and 

that have both of the following 

characteristics: 

c.1. Two or more axes that can be 

coordinated simultaneously for contouring 

control; and 

c.2. Positioning accuracies according to 

ISO 230/2 (2006), with all compensations 

available: 

c.2.a. Better than 15 mm along any linear 

axis (overall positioning) for grinding 

machines; 

c.2.b. Better than 15 mm along any linear 

axis (overall positioning) for milling 

machines; or 

c.2.c. Better than 15 mm along any linear 

axis (overall positioning) for turning 

machines; or 

* * * * * 

■ 42. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 2, 

ECCN 2E001, List of Items Controlled 

section is amended adding a Note to the 

end of the Items paragraph, to read as 

follows: 

2E001 ‘‘Technology’’ according to the 

General Technology Note for the 


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‘‘development’’ of equipment or 

‘‘software’’ controlled by 2A (except 

2A983, 2A984, 2A991, or 2A994), 2B 

(except 2B991, 2B993, 2B996, 2B997, or 

2B998), or 2D (except 2D983, 2D984, 

2D991, 2D992, or 2D994). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: The list of items controlled is 

contained in the ECCN heading. 

Note: ECCN 2E001 includes ‘‘technology’’ 

for the integration of probe systems into 

coordinate measurement machines specified 

by 2B006.a. 

■ 43. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Product Group A is 

amended by revising Notes 1 and 2 and 

the Nota Bene to read as follows: 

Category 3—Electronics 

A. Systems, Equipment and Components 

Note 1: The control status of equipment 

and components described in 3A001 or 

3A002, other than those described in 

3A001.a.3 to 3A001.a.10, 3A001.a.12 or 

3A001.a.13, which are specially designed for 

or which have the same functional 

characteristics as other equipment is 

determined by the control status of the other 

equipment. 

Note 2: The control status of integrated 

circuits described in 3A001.a.3 to 3A001.a.9, 

3A001.a.12 or 3A001.a.13 that are 

unalterably programmed or designed for a 

specific function for other equipment is 

determined by the control status of the other 

equipment. 

N.B.: When the manufacturer or applicant 

cannot determine the control status of the 

other equipment, the control status of the 

integrated circuits is determined in 

3A001.a.3 to 3A001.a.9, 3A001.a.12 and 

3A001.a.13. 

■ 44. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3A001 is amended 

by: 

■ a. Revising the GBS and CIV 

paragraphs of the License Exception 

section, as set forth below; and 

■ b. Amending the Items paragraph of 

the List of Items Controlled section by: 

■ 1. Adding paragraph a.13, including 

Technical Note; 

■ 2. Revising paragraphs b.10, b.11.d, 

and b.11.e; 

■ 3. Adding paragraphs b.11.f and 

b.11.g; 

■ 4. Removing the note bene following 

paragraph b.11.e. and adding the nota 

bene following paragraph b.11.g; 

■ 5. Revising paragraph e.1.b; as set 

forth below, and 

■ 6. Removing paragraphs f.1 and f.2. 

3A001 Electronic components and 

specially designed components therefor, 

as follows (see List of Items Controlled). 

* * * * * 

License Exceptions 

* * * * * 

GBS: Yes for 3A001.a.1.b, a.2 to a.13 (except 

.a.5.a when controlled for MT), b.2, b.8 

(except for TWTAs exceeding 18 GHz), 

b.9., b.10, .g, and .h. 

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

List of Items Controlled 

* * * * * 

Items: 

a. * * * 

a.13. Direct Digital Synthesizer (DDS) 

integrated circuits having any of the 

following: 

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

(DAC) clock frequency of 3.5 GHz or more 

and a DAC resolution of 10 bit or more, but 

less than 12 bit; or 

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

or more and a DAC resolution of 12 bit or 

more; 

Technical Note: The DAC clock frequency 

may be specified as the master clock 

frequency or the input clock frequency. 

b. * * * 

b.10. Oscillators or oscillator assemblies, 

specified to operate with all of the following: 

* * * * * 

b.11. * * * 

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 43.5 GHz; or 

b.11.e. Less than 1 ms for any frequency 

change exceeding 550 MHz within the 

synthesized frequency range exceeding 43.5 

GHz but not exceeding 56 GHz; 

b.11.f. Less than 1 ms for any frequency 

change exceeding 2.2 GHz within the 

synthesized frequency range exceeding 56 

GHz but not exceeding 70 GHz; or 

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

synthesized frequency range exceeding 70 

GHz; 

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. 

* * * * * 

e. * * * 

e.1. * * * 

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

density’ exceeding 300 Wh/kg at 293 K 

(20 °C); 

* * * * * 

■ 45. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3A002, List of Items 

Controlled, the Items paragraph is 

amended by revising paragraphs d.1., 

d.4., the Technical Notes of paragraph 

d.5., paragraphs e.1. and f.1., to read as 

follows: 

3A002 General purpose electronic 

equipment and accessories therefor, as 

follows (see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. * * * 

d.1. Specified to generate pulses having all 

of the following, anywhere within the 

synthesized frequency range exceeding 31.8 

GHz but not exceeding 70 GHz: 

d.1.a. ‘Pulse duration’ of less than 100 ns; 

and 

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

dB; 

* * * * * 

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

dBc/Hz, specified as being all of the 

following: 

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

F–20 log10f) for 10 Hz <F<10 kHz anywhere 

within the synthesized frequency range 

exceeding 3.2 GHz but not exceeding 70 GHz; 

and 

d.4.b. Less (better) than—(114+20 log10

F–20 log10f) for 10 kHz ≤F<500 kHz 

anywhere within the synthesized frequency 

range exceeding 3.2 GHz but not exceeding 

70 GHz; or 

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

offset from the operating frequency in Hz and 

f is the operating frequency in MHz. 

d.5. * * * 

Technical Notes: 1. The maximum 

synthesized 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 

between the leading edge of the pulse 

achieving 90% of the peak and the trailing 

edge of the pulse achieving 10% of the peak. 

e. * * * 

e.1. Output power exceeding 31.62 mW 

(15 dBm) anywhere within the operating 

frequency range exceeding 43.5 GHz but not 

exceeding 70 GHz; or 

* * * * * 

f. * * * 

f.1. A maximum operating frequency 

exceeding 70 GHz; and 

* * * * * 

■ 46. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3B001 is amended 

by: 

■ a. Revising the License Exceptions 

section to read as set forth below; 

■ b. Amending the Items paragraph in 

the List of Items Controlled by removing 

and reserving paragraph d.; and 

■ c. Revising paragraph e.1 in the Items 

paragraph of the List of Items Controlled 

section, to read as follows: 

3B001 Equipment for the manufacturing of 

semiconductor devices or materials, as 

follows (see List of Items Controlled) 

and specially designed components and 

accessories therefor. 

* * * * * 

License Exceptions 

LVS: $500 

GBS: Yes, except a.3 (molecular beam 

epitaxial growth equipment using gas 


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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). 

CIV: Yes for equipment controlled by 

3B001.a.1 and a.2. 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

e. * * * 

e.1. Interfaces for wafer input and output, 

to which more than two functionally 

different ‘semiconductor process tools’ 

controlled by 3B001.a, 3B001.b, or 3B001.c 

are designed to be connected; and 

* * * * * 

■ 47. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3C001, List of Items 

Controlled, Items paragraph is amended 

by adding a Note to paragraph d. to read 

as follows: 

3C001 Hetero-epitaxial materials 

consisting of a ‘‘substrate’’ having 

stacked epitaxially grown multiple 

layers of any of the following (see List 

of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. * * * 

Note: 3C001.d does not apply to a 

‘‘substrate’’ having one or more P-type 

epitaxial layers of GaN, InGaN, AlGaN, 

InAlN, InAlGaN, GaP, InGaP, AlInP or 

InGaAlP, independent of the sequence of the 

elements, except if the P-type epitaxial layer 

is between N-type layers. 

■ 48. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3E001, License 

Requirements section is amended by 

revising the NS paragraph to read as 

follows: 

3E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ or ‘‘production’’ of 

equipment or materials controlled by 3A 

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

3A992, or 3A999), 3B (except 3B991 or 

3B992) or 3C (except 3C992). 

License Requirements 

* * * * * 

Control(s) Country chart 

NS applies to ‘‘technology’’ for items 

controlled by 

3A001, 3A002, 

3A003, 3B001, 

3B002, or 3C001 to 

3C006.

NS Column 1. 

* * * * * 

* * * * * 

■ 49. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3E002, License 

Exception section is amended by 

revising the CIV paragraph to read as 

follows: 

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 Exceptions 

CIV: Yes, for deemed exports, as described in 

§ 734.2(b)(2)(ii) of the EAR, of 

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

‘‘production’’ of general purpose 

microprocessor cores with a vector 

processor unit with operand length of 

64-bit or less, 64-bit floating operations not 

exceeding 50 GFLOPS, or 16-bit or more 

floating-point operations not exceeding 50 

GMACS (billions of 16-bit fixed-point 

multiply-accumulate operations per 

second). Deemed exports under License 

Exception CIV are subject to a Foreign 

National Review (FNR) requirement, see 

§ 740.5 of the EAR for more information 

about the FNR. License Exception CIV does 

not apply to ECCN 3E002 technology also 

required for the development or 

production of items controlled under 

ECCNs beginning with 3A, 3B, or 3C, or to 

ECCN 3E002 technology also controlled 

under ECCN 3E003. 

* * * * * 

■ 50. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3E003, List of Items 

Controlled section the Items paragraph 

is amended by revising paragraph b. to 

read as follows: 

3E003 Other ‘‘technology’’ for the 

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

following (see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

b. Hetero-structure semiconductor 

electronic devices such as high electron 

mobility transistors (HEMT), hetero-bipolar 

transistors (HBT), quantum well and super 

lattice devices; 

Note: 3E003.b does not control 

‘‘technology’’ for high electron mobility 

transistors (HEMT) operating at frequencies 

lower than 31.8 GHz and hetero-junction 

bipolar transistors (HBT) operating at 

frequencies lower than 31.8 GHz. 

* * * * * 

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

Commerce Control List), Category 4, 

ECCN 4A003 is amended by: 

■ a. Revising the Heading; 

■ b. Revising the NS Column 2 and AT 

paragraphs in the License Requirements 

section; 

■ c. Revising Note 1 of the License 

Requirements section; 

■ d. Revising the APP paragraph in the 

License Exception section; 

■ e. Removing and reserving paragraph 

a. of the Items paragraph in the List of 

Items Controlled section; and 

■ f. Revising paragraph b., to read as 

follows: 

4A003 ‘‘Digital computers’’, ‘‘electronic 

assemblies’’, and related equipment 

therefor, as follows (see List of Items 

Controlled) and specially designed 

components therefor. 

License Requirements 

* * * * * 

Control(s) Country chart 

* * * * * 

NS applies to 

4A003.e and .g.

NS Column 2. 

* * * * * 

AT applies to entire 

entry (refer to 

4A994 for controls 

on ‘‘digital computers’’ with a APP 

> 0.0128 but ≤3.0 

WT).

AT Column 1. 

* * * * * 

* * * * * 

Note 1: For all destinations, except those 

countries in Country Group E:1 of 

Supplement No. 1 to part 740 of the EAR, no 

license is required (NLR) for computers with 

an ‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

not exceeding 3.0 Weighted TeraFLOPS (WT) 

and for ‘‘electronic assemblies’’ described in 

4A003.c that are not capable of exceeding an 

‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

exceeding 3.0 Weighted TeraFLOPS (WT) in 

aggregation, except certain transfers as set 

forth in § 746.3 (Iraq). 

License Exceptions 

* * * * * 

APP: Yes, for computers controlled by 

4A003.b, and ‘‘electronic assemblies’’ 

controlled by 4A003.c, to the exclusion of 

other technical parameters, with the 

exception of 4A003.e (equipment performing 

analog-to-digital conversions exceeding the 

limits of 3A001.a.5.a). See § 740.7 of the EAR. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 


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b. ‘‘Digital computers’’ having an 

‘‘Adjusted Peak Performance’’ (‘‘APP’’) 

exceeding 3.0 weighted TeraFLOPS (WT); 

* * * * * 

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

Commerce Control List), Category 4, 

Product Group D is amended by revising 

the Note to read as follows: 

D. Software 

Note: The control status of ‘‘software’’ for 

equipment described in other Categories is 

dealt with in the appropriate Category. 

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

Commerce Control List), Category 4, the 

‘‘Technical Note on ‘‘Adjusted Peak 

Performance’’ (‘‘APP’’)’’ is amended by 

revising Note 6 to read as follows: 

Technical Note on ‘‘Adjusted Peak 

Performance’’ (‘‘APP’’) 

* * * * * 

Note 6: ‘‘APP’’ values must be calculated 

for: (1) Processor combinations containing 

processors specially designed to enhance 

performance by aggregation, operating 

simultaneously and sharing memory; or (2) 

Multiple memory/processor combinations 

operating simultaneously utilizing specially 

designed hardware. 

Technical Note: Aggregate all processors 

and accelerators operating simultaneously 

and located on the same die. 

* * * * * 

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

Commerce Control List), Category 5, 

Part I is amended by revising Nota Bene 

2 to read as follows: 

CATEGORY 5—TELECOMMUNICATIONS 

AND ‘‘INFORMATION SECURITY’’ 

Part I. TELECOMMUNICATIONS 

* * * * * 

N.B.2. See also Category 5, Part 2 for 

equipment, components, and ‘‘software’’, 

performing or incorporating ‘‘information 

security’’ functions. 

* * * * * 

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

Commerce Control List), Category 5, 

Part I, ECCN 5A001 is amended by: 

■ a. Revising the License Requirements 

section; 

■ b. Revising the Note to paragraph 

b.3.b; 

■ c. Revising the introductory text of 

paragraph f; and 

■ d. Adding paragraph i., and its Notes, 

to read as follows: 

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 

NS applies to 

5A001.a, .e, .b.5, 

and .h.

NS Column 1. 

Control(s) Country chart 

NS applies to 

5A001.b (except 

.b.5), .c, .d, .f, .g, 

and .i.

NS Column 2. 

SL applies to 5A001.i 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. 

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. See 

§ 740.2(a)(3) of the EAR for restrictions on the 

use of License Exceptions for 5A001.i. 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: Telecommunications 

equipment defined in 5A001.a.1 through 

5A001.a.3 for use on board satellites is 

subject to the export licensing authority of 

the Department of State, Directorate of 

Defense Trade Controls (22 CFR part 121). 

Direction finding equipment defined in 

5A001.e is subject to the export licensing 

authority of the Department of State, 

Directorate of Defense Trade Controls (22 

CFR part 121). See also 5A101, 5A980, and 

5A991. 

* * * * * 

Items: 

* * * * * 

b. * * * 

b.3. * * * 

b.3.b. * * * 

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. 

* * * * * 

f. Jamming equipment specially designed 

or modified to intentionally and selectively 

interfere with, deny, inhibit, degrade or 

seduce mobile telecommunication services 

and perform any of the following, and 

specially designed components therefor: 

* * * * * 

i. Systems or equipment, specially 

designed or modified to intercept and 

process the air interface of ‘mobile 

telecommunications’, and specially designed 

components therefor. 

Note: 5A001.i does not apply to equipment 

designed for ‘mobile telecommunications’ 

network operators, or for the ‘‘development’’ 

or ‘‘production’’ of ‘mobile 

telecommunications’ equipment or systems. 

Technical Note: For the purposes of 

5A001.i, ‘mobile telecommunications’ refers 

to the following telecommunications 

protocols or standards: GSM, GSM–R, GPRS, 

IMT–2000, PMR (Professional Mobile Radio), 

Inmarsat, Iridium, Thuraya, VSAT or ACES. 

N.B.: See also 5A001.f, 5A980, and the U.S. 

Munitions List (22 CFR part 121). 

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

Commerce Control List), Category 5, 

Part I, ECCN 5A980 is amended by 

revising the Heading and the Related 

Controls paragraph of the List of Items 

Controlled section, to read as follows: 

5A980 Devices primarily useful for the 

surreptitious interception of wire, oral, 

or electronic communications, other 

than those controlled under 5A001.i; 

and parts and accessories therefor. 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: (1) See ECCN 5A001.i for 

systems or equipment, specially designed 

or modified to intercept and process the air 

interface of ‘mobile telecommunications’, 

and specially designed components 

therefor. (2) See ECCN 5D980 for 

‘‘software’’ for the ‘‘development’’, 

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

controlled by 5A980. (3) See ECCN 5E980 

for the ‘‘technology’’ for the 

‘‘development’’, ‘‘production’’, and ‘‘use’’ 

of equipment controlled by 5A980. 

* * * * * 

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

Commerce Control List), Category 5, 

Part I, ECCN 5B001 is amended by: 

■ a. Revising paragraphs b.2.c, b.2.d and 

b.4 in the Items paragraph of the List of 

Items Controlled section, to read as 

follows; and 

■ b. Removing paragraph b.5. 

5B001 Telecommunication test, inspection 

and production equipment, components 

and accessories, as follows (See List of 

Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

b. * * * 

b.2. * * * 


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b.2.c. Employing coherent optical 

transmission or coherent optical detection 

techniques; or 

Note: 5B001.b.2.c applies to equipment 

specially designed for the ‘‘development’’ of 

systems using an optical local oscillator in 

the receiving side to synchronize with a 

carrier ‘‘laser.’’ 

Technical Note: For the purpose of 

5B001.b.2.c, these techniques include optical 

heterodyne, homodyne or intradyne 

techniques. 

b.2.d. Employing analog techniques and 

having a bandwidth exceeding 2.5 GHz; or 

Note: 5B001.b.2.d. does not include 

equipment specially designed for the 

‘‘development’’ of commercial TV systems. 

* * * * * 

b.4. Radio equipment employing 

Quadrature-Amplitude-Modulation (QAM) 

techniques above level 256. 

* * * * * 

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

Commerce Control List), Category 5, 

Part I, ECCN 5D001 is amended by 

revising the License Requirements 

section, and the Related Controls 

paragraph of the List of Items Controlled 

section, to read as follows: 

5D001 ‘‘Software’’ as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, SL, AT 

Control(s) Country chart 

NS applies to entire 

entry.

NS Column 1. 

SL applies to the entire entry as applicable for equipment, functions, 

features, or characteristics controlled 

by 5A001.i.

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. 

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. See 

§ 740.2(a)(3) of the EAR for restrictions on the 

use of License Exceptions for 5D001 (as it 

applies to 5A001.i or 5E001.a (as it applies 

to 5A001.i or 5D001.a (as it applies to 

5A001.i))). 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: See also 5D980 and 5D991 

* * * * * 

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

Commerce Control List), Category 5, 

Part I, ECCN 5D980 is amended by 

revising the Heading and the Related 

Controls paragraph of the List of Items 

Controlled section, to read as follows: 

5D980 Other ‘‘software’’, other than that 

controlled by 5D001 (for the equipment, 

functions, features, or characteristics 

controlled by 5A001.i, or to support 

certain ‘‘technology’’ controlled by 

5E001.a), as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: See also 5D001.a and .c for 

software controls for equipment, functions, 

features or characteristics controlled by 

5A001.i and also 5D001.b for controls on 

‘‘software’’ specially designed or modified 

to support ‘‘technology’’ controlled by 

5E001.a (for 5A001.i equipment, functions 

or features, and for 5D001.a ‘‘software’’ for 

5A001.i equipment). See 5E980 for 

‘‘technology’’ for the ‘‘development’’, 

‘‘production’’, and ‘‘use’’ of equipment 

controlled by 5A980 or ‘‘software’’ 

controlled by 5D980. 

* * * * * 

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

Commerce Control List), Category 5, 

Part I, ECCN 5E001 is amended by: 

■ a. Revising the License Requirements 

section; 

■ b. Revising the Related Controls 

paragraph of the List of Items 

Controlled; 

■ c. Revising the Note to paragraph b.4, 

and paragraphs c.1, c.2.c, and c.4.c in 

the Items paragraph of the List of Items 

Controlled section, as set forth below; 

and 

■ d. Removing and reserving paragraph 

c.5 in the Items paragraph of the List of 

Items Controlled section. 

5E001 ‘‘Technology’’ as follows (see List of 

Items Controlled). 

License Requirements 

Reason for Control: NS, SL, AT 

Control(s) Country chart 

NS applies to entire 

entry.

NS Column 1. 

Control(s) Country chart 

SL applies to ‘‘technology’’ for the 

‘‘development’’ or 

‘‘production’’ of 

equipment, functions or features 

controlled by 

5A001.i, or for the 

‘‘development’’ or 

‘‘production’’ of 

‘‘software’’ controlled by ECCN 

5D001.a (for 

5A001.i).

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. 

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. See 

§ 740.2(a)(3) of the EAR for restrictions on the 

use of License Exceptions for 5E001.a (as it 

applies to 5A001.i or 5D001.a (as it applies 

to 5A001.i))). 

License Exceptions 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: Technology defined in 

5E001.b.1, 5E001.b.2, 5E001.b.4, or 5E001.c 

for use on board satellites is subject to the 

export licensing authority of the 

Department of State, Directorate of Defense 

Trade Controls (22 CFR part 121). See also 

5E101, 5E980 and 5E991. 

* * * * * 

Items: 

* * * * * 

b. * * * 

b.4. * * * 

Note: 5E001.b.4 does not apply to 

‘‘technology’’ for the ‘‘development’’ of any of 

the following: 

a. Civil cellular radio-communications 

systems; or 

b. Fixed or mobile satellite Earth stations 

for commercial civil telecommunications. 

c. * * * 

c.1. Equipment employing digital 

techniques designed to operate at a ‘‘total 

digital transfer rate’’ exceeding 120 Gbit/s; 

Technical Note: For telecommunication 

switching equipment the ‘‘total digital 

transfer rate’’ is the unidirectional speed of 

a single interface, measured at the highest 

speed port or line. 

c.2. * * * 


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c.2.c. Employing coherent optical 

transmission or coherent optical detection 

techniques; 

Note: 5E001.c.2.c applies to ‘‘technology’’ 

specially designed for the ‘‘development’’ or 

‘‘production’’ of systems using an optical 

local oscillator in the receiving side to 

synchronize with a carrier ‘‘laser.’’ 

Technical Note: For the purpose of 

5E001.c.2.c, these techniques include optical 

heterodyne, homodyne or intradyne 

techniques. 

* * * * * 

c.4.c. Operating in the 1.5 MHz to 87.5 

MHz band and incorporating adaptive 

techniques providing more than 15 dB 

suppression of an interfering signal; or 

* * * * * 

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

Commerce Control List), Category 5, 

Part I, ECCN 5E980 is amended by 

revising the Heading and the Related 

Controls paragraph in the List of Items 

Controlled section to read as follows: 

5E980 ‘‘Technology’’, other than that 

controlled by 5E001.a (for 5A001.i, and 

for 5D001.a (for 5A001.i)), primarily 

useful for the ‘‘development’’, 

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

functions or features, of equipment 

controlled by 5A980 or ‘‘software’’ 

controlled by 5D980. 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: See also 5D001.a and .c (for 

5A001.i equipment), 5D001.b (supporting 

5E001.a ‘‘technology’’ for 5A001.i 

equipment, or for 5D001.a ‘‘software’’ (for 

5A001.i equipment)), and 5E001.a (for 

5A001.i equipment, or for 5D001.a 

‘‘software’’ for 5A001.i equipment). 

* * * * * 

■ 62. Supplement No. 1 to part 774 (the 

Commerce Control List), Category 5, 

part II, ECCN 5A002 is amended by 

adding a Note to paragraph a.8 in the 

Items paragraph of the List of Items 

Controlled section to read as follows: 

5A002 ‘‘Information security’’ systems, 

equipment and components therefor, as 

follows (see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

a. * * * 

a.8. * * * 

Note: 5A002.a.8 applies only to physical 

layer security. 

* * * * * 

■ 63. Supplement No. 1 to part 774 (the 

Commerce Control List), Category 6— 

Sensors and ‘‘Lasers’’, ECCN 6A001 is 

amended by: 

■ a. Revising the introductory paragraph 

a.1.b in the Items paragraph of the List 

of Items Controlled section; 

■ b. Adding a Technical Note to the 

introductory paragraph a.2.a (following 

the Note); 

■ c. Adding a Technical Note to the 

introductory paragraph a.2.b; 

■ d. Revising the introductory 

paragraph a.2.e., to read as follows: 

6A001 Acoustic systems, equipment and 

components, as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. * * * 

a.1. * * * 

a.1.b. Systems or transmitting and 

receiving arrays, designed for object 

detection or location, having any of the 

following: 

* * * * * 

a.2. * * * 

a.2.a. * * * 

Technical Note: 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. 

* * * * * 

a.2.b. Towed acoustic hydrophone arrays 

having any of the following: 

Technical Note: Hydrophone arrays consist 

of a number of hydrophones providing 

multiple acoustic output channels. 

* * * * * 

a.2.e. Bottom or bay-cable hydrophone 

arrays having any of the following: 

* * * * * 

■ 64. In Supplement No. 1 to part 774 

(the Commerce Control List), Category, 

ECCN 6A002 is amended by revising the 

License Requirements section, the LVS 

and STA paragraphs of the License 

Exceptions sections and the Items 

paragraph of the List of Items Controlled 

section, to read as follows: 

6A002 Optical sensors or 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 

NS applies to entire 

entry.

NS Column 2. 

Control(s) Country chart 

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)), and .c.

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.

Iraq, North Korea, 

and Rwanda. 

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. 

License Exceptions 

LVS: $3,000; except N/A for MT and for 

6A002.a.1, a.2, a.3, and .c. 

* * * * * 

STA: License Exception STA may not be 

used to ship to any of the eight 

destinations listed in § 740.20(c)(2) of the 

EAR any commodity in: 6A002.a.1.a, a.1.b 

or a.1.c; 6A002.a.3.c, a.3.d, a.3.e, or a.3.f; 

or 6A002.b. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Optical detectors as follows: 

a.1. ‘‘Space-qualified’’ solid-state detectors 

as follows: 

Note: For the purpose 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 


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39378 Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 

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: ‘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–25) 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: 

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: Linear or two-dimensional 

multi-element 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. 

Technical Note: 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 

Element (SPRITE); 

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 


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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: ‘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; 

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 

218K (¥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. 

■ 65. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category, 

ECCN 6A003 is amended by: 

■ a. Revising the Heading; 

■ b. Revising the License Requirements 

section; and 

■ c. Revising the Related Controls and 

Items paragraphs of the List of Items 

Controlled, to read as follows: 

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 

NS applies to entire 

entry.

NS Column 2. 

NP applies to items 

controlled in paragraphs 6A003.a.2, 

a.3 and a.4.

NP Column 1. 

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. 

Control(s) Country chart 

RS applies to 

6A003.b.4.b.

A license is required 

to export or reexport these items to 

Hong Kong. This license requirement 

does not appear in 

the Commerce 

Country Chart. 

AT applies to entire 

entry.

AT Column 1. 

UN applies to 

6A003.b.3 and b.4.

Iraq and Rwanda. 

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. 

* * * * * 

List of Items Controlled 

Unit: * * * 

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 8A002.d.1 

and .e for television and film-based 

photographic still cameras specially 

designed or modified for underwater use. 

(4) See ECCN 0A919 for foreign made 

military commodities that incorporate 

cameras described in 6A003.b.3, 

6A003.b.4.b, or 6A003.b.4.c. (5) Section 

744.9 imposes license requirements on 

cameras described in 6A003.b.3, 

6A003.b.4.b, or 6A003.b.4.c if being 

exported for incorporation into an item 

controlled by ECCN 0A919 or for a military 

end-user. 

Related Definitions: * * * 

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. High-speed cinema recording cameras 

using any film format from 8 mm to 16 mm 

inclusive, in which the film is continuously 

advanced throughout the recording period, 

and that are capable of recording at framing 

rates exceeding 13,150 frames/s; 

Note: 6A003.a.1 does not control cinema 

recording cameras designed for civil 

purposes. 

a.2. Mechanical high speed cameras, in 

which the film does not move, capable of 

recording at rates exceeding 1,000,000 

frames/s for the full framing height of 35 mm 

film, or at proportionately higher rates for 

lesser frame heights, or at proportionately 

lower rates for greater frame heights; 

a.3. Mechanical or electronic streak 

cameras having writing speeds exceeding 10 

mm/ms; 

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 


srobinson on DSK4SPTVN1PROD with RULES2
39380 Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 

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 x 106 ‘‘active pixels’’ 

per solid state array for monochrome (black 

and white) cameras; 

b.1.a.2. More than 4 x 106 ‘‘active pixels’’ 

per solid state array for color cameras 

incorporating three solid state arrays; or 

b.1.a.3. More than 12 x 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 this 

entry, digital video cameras should be 

evaluated by the maximum number of 

‘‘active pixels’’ used for capturing moving 

images. 

2. For the purpose of this entry, ‘camera 

tracking data’ is the information 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 10 mrad/pixel (milliradians/pixel); 

2. Incorporating a fixed focal-length lens 

that is not designed to be removed; 

3. Not incorporating a ‘direct view’ display; 

and 

Technical Note: ‘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: ‘Instantaneous Field of 

View (IFOV)’ specified in Note 3.b is the 

lesser figure of the ‘Horizontal FOV’ or the 

‘Vertical FOV’. 

‘Horizontal IFOV’ = horizontal Field of 

View (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 of less than 3 tonnes (gross vehicle 

weight) and having all of the following: 

1. Is operable only when installed in any 

of the following: 

a. The civilian passenger land vehicle for 

which it was intended; or 

b. A specially designed, authorized 

maintenance test facility; and 

2. 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-plug-operated 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 of less than 3 tonnes (gross vehicle 

weight), or passenger and vehicle ferries 

having a length overall (LOA) 65 m or 

greater, and having all of the following: 

1. Is only operable when installed in any 

of the following: 

a. The civilian passenger land vehicle or 

passenger and vehicle ferry for which it was 

intended; or 

b. A specially designed, authorized 

maintenance test facility; and 

2. 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 


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Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 39381 

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. 

■ 66. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6, 

ECCN 6B008 is amended by adding the 

Note ‘‘License Requirement Notes: See 

§ 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions.’’ to the end of the License 

Requirements section. 

■ 67. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6, 

ECCN 6D991 is amended by revising the 

Heading and the License Requirements 

section, to read as follows: 

6D991 ‘‘Software’’ specially designed for 

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

‘‘use’’ of equipment controlled by 

6A002.a.1.d, 6A991, 6A996, 6A997, or 

6A998. 

License Requirements 

Reason for Control: RS, AT 

Control(s) Country chart 

RS applies to ‘‘software’’ for equipment controlled by 

6A002.a.1.d or 

6A998.b.

RS Column 1. 

AT applies to entire 

entry, except ‘‘software’’ for equipment controlled by 

6A991.

AT Column 1. 

AT applies to ‘‘software’’ for equipment controlled by 

6A991.

AT Column 2. 

* * * * * 

■ 68. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6 

Sensors, Export Control Classification 

Number (ECCN) 6D994 is removed. 

■ 69. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6, 

ECCN 6E001 is amended by adding a 

‘‘License Requirements’’ heading above 

the ‘‘Reason for Control’’ heading, 

revising the RS paragraph of the License 

Requirements section and the TSR 

paragraph of the License Exceptions 

section, to read as follows: 

6E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ of equipment, materials 

or ‘‘software’’ controlled by 6A (except 

6A991, 6A992, 6A994, 6A995, 6A996, 

6A997, or 6A998), 6B (except 6B995), 6C 

(except 6C992 or 6C994), or 6D (except 

6D991, 6D992, or 6D993). 

License Requirements 

* * * * * 

Control(s) Country chart 

* * * * * 

RS applies to ‘‘technology’’ for equipment controlled by 

6A002.a.1, .a.2, 

.a.3, or .c, 

6A003.b.3 or .b.4, 

or 6A008.j.1.

RS Column 1. 

* * * * * 

* * * * * 

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. 

* * * * * 

License Exceptions 

* * * * * 

TSR: Yes, except for the following: 

(1) Items controlled for MT reasons; 

(2) ‘‘Technology’’ for commodities 

controlled by 6A002.a.1.d, 6A004.e or 

6A008.j.1; 

(3) ‘‘Technology’’ for ‘‘software’’ specially 

designed for ‘‘space qualified’’ ‘‘laser’’ radar 

or Light Detection and Ranging (LIDAR) 

equipment defined in 6A008.j.1 and 

controlled by 6D001 or 6D002; 

(4) Exports or reexports to destinations 

outside of Austria, Belgium, Canada, 

Denmark, Finland, France, Germany, Greece, 

Ireland, Italy, Japan, Luxembourg, the 

Netherlands, Portugal, Spain, Sweden, or the 

United Kingdom of ‘‘technology’’ for the 

‘‘development’’ of the following: 6A001.a.1.b, 

6A001.a.1.e, 6A001.a.2.a.1, 6A001.a.2.a.2, 

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

6A001.a.2.b, 6A001.a.2.d, 6A001.a.2.e., 

6A002.a.1.a, 6A002.a.1.b, 6A002.a.1.c, 

6A002.a.3.c through a.3.f, 6A002.b, 

6A003.b.3, 6A003.b.4, 6A004.c, 6A004.d, 

6A006.a.2, 6A006.c.1, 6A006.d, 6A006.e, 

6A008.d, 6A008.h, 6A008.k, 6B008, 6D003.a; 

(b) Equipment controlled by 6A001.a.2.c or 

6A001.a.2.f when specially designed for real 

time applications; or (c) ‘‘Software’’ 

controlled by 6D001 and specially designed 

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

equipment controlled by 6B008, or 6D003.a; 

or 

(5) Exports or reexports to Rwanda. 

* * * * * 

■ 70. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category, 

ECCN 6E002 is amended by adding a 

‘‘License Requirements’’ heading above 

the ‘‘Reason for Control’’ heading, 

revising the RS paragraph of the License 

Requirements section and the TSR 

paragraph of the License Exceptions 

section, to read as follows: 

6E002 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘production’’ of equipment or materials 

controlled by 6A (except 6A991, 6A992, 

6A994, 6A995, 6A996, 6A997 or 6A998), 

6B (except 6B995) or 6C (except 6C992 

or 6C994). 

License Requirements 

* * * * * 

Control(s) Country chart 

* * * * * 

RS applies to ‘‘technology’’ for equipment controlled by 

6A002.a.1, .a.2, 

.a.3, or .c, 

6A003.b.3 or .b.4, 

or 6A008.j.1.

RS Column 1 

* * * * * 

License Exceptions 

* * * * * 

TSR: Yes, except for the following: 

(1) Items controlled for MT reasons; 

(2) ‘‘Technology’’ for commodities 

controlled by 6A002.a.1.d, 6A004.e or 

6A008.j.1; 

(3) Exports or reexports to destinations 

outside of Austria, Belgium, Canada, 

Denmark, Finland, France, Germany, Greece, 

Ireland, Italy, Japan, Luxembourg, the 

Netherlands, Portugal, Spain, Sweden, or the 

United Kingdom of ‘‘technology’’ for the 

‘‘development’’ of the following: (a) Items 

controlled by 6A001.a.1.b, 6A001.a.1.e, 

6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.3, 

6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b, 

6A002.a.3.c through a.3.f, 6A002.b, 

6A003.b.3, 6A003.b.4, 6A004.c, 6A004.d, 

6A006.a.2, 6A006.c.1, 6A006.d, 6A006.e, 

6A008.d, 6A008.h, 6A008.k, 6B008; and (b) 

Equipment controlled by 6A001.a.2.c and 

6A001.a.2.f when specially designed for real 

time applications; or 

(4) Exports or reexports to Rwanda. 

* * * * * 

■ 71. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6, 

ECCN 6E101 is amended by revising the 

Related Definitions paragraph of the List 

of Items Controlled section, to read as 

follows: 

6E101 ‘‘Technology’’ according to the 

General Technology Note for the ‘‘use’’ 

of equipment or ‘‘software’’ controlled 

by 6A002, 6A007.b and .c, 6A008, 

6A102, 6A107, 6A108, 6B108, 6D102 or 

6D103. 

* * * * * 

List of Items Controlled 

* * * * * 

Related Definitions: (1) This entry only 

controls ‘‘technology’’ for equipment 

controlled by 6A008 when it is designed 

for airborne applications and is usable in 

‘‘missiles’’. (2) This entry only controls 

‘‘technology’’ for items in 6A002.a.1 and 

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.’’ (3) This entry only 

controls ‘‘technology’’ for items in 6A007.b 


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39382 Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 

and .c when the accuracies in 6A007.b.1 

and b.2 are met or exceeded. 

* * * * * 

■ 72. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 7, 

ECCN 7A003 is amended by revising the 

Heading to read as follows: 

7A003 Inertial systems and specially 

designed components, as follows (see 

List of Items Controlled). 

* * * * * 

■ 73. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 7, 

ECCN 7A004 is amended by revising the 

Heading and the Items paragraph of the 

List of Items Controlled, to read as 

follows: 

7A004 ‘Star trackers’ and components 

therefor, as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

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: ‘Star trackers’ are also 

referred to as stellar attitude sensors or gyroastro compasses. 

■ 74. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 7, 

ECCN 7A005 is amended by revising the 

Heading to read as follows: 

7A005 Global Navigation Satellite Systems 

(GNSS) receiving equipment having any 

of the following (see List of Items 

Controlled) and specially designed 

components therefor. 

* * * * * 

■ 75. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 7, 

ECCN 7D002 is amended by revising the 

Heading and the Related Controls 

paragraph of the List of Items 

Controlled, to read as follows: 

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’). 

* * * * * 

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’. 

* * * * * 

■ 76. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 7, 

ECCN 7D003 is amended by revising 

paragraph d.7. in the Items paragraph of 

the List of Items Controlled to read as 

follows: 

7D003 Other ‘‘software’’ as follows (see List 

of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. * * * 

d.7. Three dimensional displays; 

* * * * * 

■ 77. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 7, 

ECCN 7E004 is amended by removing 

and reserving paragraph a.1 in the Items 

paragraph of the List of Items 

Controlled. 

■ 78. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 8, 

ECCN 8A002 is amended by: 

■ a. Revising the Related Controls 

paragraph in the List of Items Controlled 

section; 

■ b. Revising paragraph c. in the Items 

paragraph of the List of Items Controlled 

section, to read as follows; and 

■ c. Removing and reserving paragraph 

f. (including the Note) in the Items 

paragraph of the List of Items Controlled 

section. 

8A002 Marine systems, equipment and 

components, as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: (1) See also 8A992 and for 

underwater communications systems, see 

Category 5, Part I—Telecommunications). 

8A002 does not control closed and semiclosed circuit (rebreathing) apparatus that 

is controlled under 8A018.a. (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. 

Related Definitions: * * * 

Items: 

* * * * * 

c. Fiber optic pressure hull penetrators; 

* * * * * 

■ 79. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 9, 

ECCN 9A012 is amended by revising the 

Heading and the Items paragraph of the 

List of Items Controlled section to read 

as follows: 

9A012 Non-military ‘‘unmanned aerial 

vehicles,’’ (‘‘UAVs’’), unmanned 

‘‘airships’’, associated systems, equipment 

and components, as follows (see List of 

Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. ‘‘UAVs’’ or unmanned ‘‘airships’’, 

having any of the following: 

a.1. An autonomous flight control and 

navigation capability (e.g., an autopilot with 

an Inertial Navigation System); or 

a.2. Capability of controlled flight out of 

the direct visual range involving a human 

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

b. Associated systems, equipment and 

components, as follows: 

b.1. Equipment specially designed for 

remotely controlling the ‘‘UAVs’’ or 

unmanned ‘‘airships’’, controlled by 

9A012.a.; 

b.2. Systems for navigation, attitude, 

guidance or control, other than those 

controlled in Category 7, specially designed 

to provide autonomous flight control or 

navigation capability to ‘‘UAVs’’ or 

unmanned ‘‘airships’’, controlled by 

9A012.a.; 

b.3. Equipment or components specially 

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

manned ‘‘airship’’ to a ‘‘UAV’’ or unmanned 

‘‘airship’’, controlled by 9A012.a; 

b.4. Air breathing reciprocating or rotary 

internal combustion type engines, specially 

designed or modified to propel ‘‘UAVs’’ or 

unmanned ‘‘airships’’, at altitudes above 

50,000 feet (15,240 meters). 

Note: 9A012 does not control model 

aircraft or model ‘‘airships’’. 

■ 80. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 9, 

ECCN 9D004 is amended by: 

■ a. Removing and reserving paragraph 

d. (including the Note) in the Items 

paragraph of the List of Items Controlled 

section; and 

■ b. Revising paragraph e. in the Items 

paragraph of the List of Items Controlled 

section to read as follows: 

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

of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

e. ‘‘Software’’ specially designed or 

modified for the operation of ‘‘UAVs’’ and 

associated systems, equipment and 

components, controlled by 9A012; 

* * * * * 

■ 81. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 9, 

Product Group E is amended by revising 

the Note to read as follows: 


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Federal Register / Vol. 77, No. 127 / Monday, July 2, 2012 / Rules and Regulations 39383 

E. Technology 

Note: ‘‘Development’’ or ‘‘production’’ 

‘‘technology’’ controlled by 9E001 to 9E003 

for gas turbine engines remains controlled 

when used for repair or overhaul. Excluded 

from 9E001 to 9E003 control are: technical 

data, drawings or documentation for 

maintenance activities directly associated 

with calibration, removal or replacement of 

damaged or unserviceable line replaceable 

units, including replacement of whole 

engines or engine modules. 

■ 82. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 9, 

ECCN 9E003 is amended by revising 

paragraphs a.2. and c. in the Items 

paragraph of the List of Items Controlled 

section, to read as follows: 

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

List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. * * * 

a.2. Combustors having any of the 

following: 

a.2.a. Thermally decoupled liners designed 

to operate at ’combustor exit temperature’ 

exceeding 1,883K (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 

1,883K (1,610 °C) and having holes that meet 

the parameters specified by 9E003.c; 

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

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

of the geometry and location of the holes. 

Technical Note: ‘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. 

* * * * * 

c. ‘‘Technology’’ ‘‘required’’ for 

manufacturing cooling holes, in gas turbine 

engine components incorporating any of the 

‘‘technologies’’ specified by 9E003.a.1, 

9E003.a.2 or 9E003.a.5, and having any of the 

following: 

c.1. Having all of the following: 

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

than 0.45 mm2; 

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

and 

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

25°; or 

c.2. Having all of the following: 

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

than 0.12 mm2; 

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

and 

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

Note: 9E003.c does not apply to 

‘‘technology’’ for manufacturing constant 

radius cylindrical holes that are straight 

through and enter and exit on the external 

surfaces of the component. 

Technical Notes:

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

plane perpendicular to the hole axis. 

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

ratio’ is the nominal length of the axis of the 

hole divided by the square root of its 

minimum ‘cross-sectional area’. 

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

angle’ is the acute angle measured between 

the plane tangential to the airfoil surface and 

the hole axis at the point where the hole axis 

enters the airfoil surface. 

4. Techniques for manufacturing holes in 

9E003.c include ‘‘laser’’, water jet, ElectroChemical Machining (ECM) or Electrical 

Discharge Machining (EDM) methods. 

* * * * * 

Dated: June 14, 2012. 

Kevin J. Wolf, 

Assistant Secretary for Export 

Administration. 

[FR Doc. 2012–15079 Filed 6–29–12; 8:45 am] 

BILLING CODE 3510–33–P 


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