2452 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

DEPARTMENT OF COMMERCE

Bureau of Export Administration

15 CFR Parts 732, 740, 742, 743, 744,

746, 762, and 774

[Docket No. 971006239–7239–01]

RIN 0694–AB35

Implementation of the Wassenaar

Arrangement List of Dual-Use Items:

Revisions to the Commerce Control

List and Reporting Under the

Wassenaar Arrangement

AGENCY: Bureau of Export

Administration, Commerce.

ACTION: Interim rule with request for

comments.

SUMMARY: Representatives of thirty-three

countries gave final approval July 12–

13, 1996 in Vienna, Austria to establish

the Wassenaar Arrangement on Export

Controls for Conventional Arms and

Dual-Use Goods and Technologies. The

thirty-three countries agreed to control

all items in the List of Dual-Use Goods

and Technologies with the objective of

preventing unauthorized transfers. They

further agreed on a target date of

November 1, 1996, for implementation

of the Wassenaar Lists.

The purpose of this interim rule is to

make the changes to the Commerce

Control List necessary to implement the

Wassenaar List. In addition, this interim

rule imposes new reporting

requirements on persons that export

certain items controlled under the

Wassenaar Arrangement to non-member

countries in order to fulfill the

information exchange requirements of

the Wassenaar Arrangement. The

Department of Commerce, with other

concerned agencies, is reviewing the

Export Administration Regulations to

determine whether further changes will

be required to implement the

information sharing provisions of the

Wassenaar Arrangement and to make

the necessary adjustments to existing

country groups.

This rule also revises part 740 of the

EAR by removing License Exception

availability for certain items controlled

for missile technology reasons.

Although the Export Administration

Act (EAA) expired on August 20, 1994,

the President invoked the International

Emergency Economic Powers Act and

continued in effect, to the extent

permitted by law, the provisions of the

EAA and the EAR in Executive Order

12924 of August 19, 1994, as extended

by the President’s notices of August 15,

1995, August 14, 1996 and August 15,

1997.

DATES: This rule is effective January 15,

1998. Comments on this rule must be

received on or before February 17, 1998.

ADDRESSES: Written comments should

be sent to Patricia Muldonian,

Regulatory Policy Division, Bureau of

Export Administration, Department of

Commerce, P.O. Box 273, Washington,

DC 20044.

FOR FURTHER INFORMATION CONTACT:

James Lewis, Director, Office of

Strategic Trade and Foreign Policy

Controls, Bureau of Export

Administration, Telephone: (202) 482–

0092.

SUPPLEMENTARY INFORMATION:

Background

In July 1996, the United States and

thirty-two other countries gave final

approval to the establishment of a new

multilateral export control arrangement,

called the Wassenaar Arrangement on

Export Controls for Conventional Arms

and Dual-Use Goods and Technologies

(Wassenaar Arrangement). The

Wassenaar Arrangement contributes to

regional and international security and

stability by promoting transparency and

greater responsibility in transfers of

conventional arms and dual-use goods

and technologies, thus preventing

destabilizing accumulations of such

items. Participating states have

committed to exchange information on

exports of dual-use goods and

technologies to non-participating states

for the purposes of enhancing

transparency and assisting in

developing common understandings of

the risks associated with the transfers of

these items.

To fulfill U.S. commitments to the

Wassenaar Arrangement with regard to

dual-use items, this rule amends the

Export Administration Regulations

(EAR) by imposing new reporting

requirements for exports of certain items

controlled under the Wassenaar

Arrangement. Reports are not required

for reexports. These new requirements

appear in newly added part 743 of the

EAR. Information from exporters will be

consolidated by BXA for an aggregate

data submission to the participating

states.

With respect to certain dual-use

commodities, software, and technology,

participating states have undertaken

commitments to notify each other

preferably within 30 days, but no later

than 60 days, of an approval of a license

that has been denied by another

participating state for an essentially

identical transaction during the

preceding three years. Certain of these

items are eligible for License Exceptions

authorized by part 740 of the EAR.

Therefore, in order to meet Wassenaar

Arrangement requirements, exporters on

occasion may be informed that the

export of a certain item to a specific

end-user under a License Exception is

not authorized or alternatively, may be

requested to provide prior written

notification to BXA of an export of a

certain item to a specific end-user under

a License Exception.

Reports are required to be submitted

to BXA semiannually for specified items

controlled under the Wassenaar

Arrangement exported under License

Exceptions LVS, GBS, CIV, CTP, TSR,

and GOV. BXA must receive such

reports no later than August 1 for

exports during the reporting period

January 1 through June 30, and no later

than February 1 for exports during the

reporting period July 1 through

December 31. The Export Control

Classification Number and paragraph

reference as identified on the Commerce

Control List, number of units in each

shipment, and the country of ultimate

destination must be included in each

report for each export during the

reporting period. Although the exporter

must be identified on all reports to BXA,

names of exporters will not be released

to participating states. Certain

additional information requirements

apply to digital computers.

Exporters should note that the first

report must be submitted to and

received by BXA no later than August

1, 1998 for the partial reporting period

beginning January 15, 1998 and ending

June 30, 1998. Thereafter, reports are

required semiannually according to the

provisions of new § 743.1(f) of the EAR.

This rule also amends § 742.12 of the

EAR (High Performance Computers) to

clarify the reporting and recordkeeping

requirements for certain computer and

software exports.

This rule also amends part 740 of the

EAR by adding appropriate crossreferences to reporting requirements

under License Exceptions LVS, GBS,

CIV, TSR, CTP, and GOV. The major

changes in the Commerce Control List

(CCL) necessary to implement the

Wassenaar Arrangement are

summarized below.

In addition, based on interagency

agreement, particularly consultations

with the Department of State, this rule

revises part 740 of the EAR by removing

License Exception availability for

missile technology (MT) controlled

items, except that items described in

ECCNs 6A008, 7A001, 7A002, 7A004,

7A101, 7A102, 7A103, 7A104, 7D001,

7D002, 7D003, 7D101, 7D102, 7E003, or

7E101, may be exported as part of a

manned aircraft, satellite, land vehicle,

or marine vehicle or in quantities
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2453

appropriate for replacement parts under

License Exceptions TMP, RPL, TSU, or

AVS. This action is based on a U.S.

Government policy to restrict the

proliferation of missile capability and is

consistent with the Missile Technology

Control Regime (MTCR) multilateral

guidelines.

Also, in an effort to comply with our

international commitments of the

Wassenaar Arrangement, the U.S. has

also committed to exercise extreme

vigilance for certain items controlled for

national security reasons (NS), which

are considered most critical to military

applications. This rule removes License

Exception eligibility for License

Exceptions LVS, CIV, TSR, and GOV for

certain commodities, technologies, and

software controlled for national security

reasons for which the U.S. has agreed to

license with extreme vigilance.

Category 1—Materials

Additional controls have been added

for body armor (1A005), certain

fluorocarbon electronic cooling fluids

(1C006), certain ‘‘ceramic-ceramic’’

materials with oxide or glass matrix

(1C007), certain metals and compounds

(1C011), and certain material for nuclear

heat sources. In addition, controls for

‘‘stress’’ limits for metal alloys (1C002),

have been modified. Additional

clarification of controls are specific for

the transition temperature limits on

certain ‘‘fibrous or filamentary

materials’’ (1C010)

Category 2—Material Processing

A significant number of changes have

been implemented for machine tools.

Specifically, the machine tool entry has

been modified to separate the controls

on turning, milling and grinding

machines. In particular, such machines

will no longer be controlled under the

Wassenaar Arrangement on the basis of

‘‘tilting spindles’’, ‘‘camming’’, or ‘‘runout’’. Also, detailed test procedures, as

specified by the International Standards

Organization (ISO), will no longer be

reiterated in the list. This revision will

allow the regulations to remain effective

while keeping the procedures under

which the equipment is measured,

current with industry practice. In

addition, controls have been removed

for ‘‘numerical control’’ units and

‘‘motion control boards’’, wire feed type

electrical discharge machines (2B001),

manual machines specially designed for

bevel gears (2B003), systems for

inspection of hemishells (2B006), and

software for ‘‘flexible manufacturing

units’’ (2D002). Two additional items

have been added under 2B001. They

include ‘‘specialty machines’’ (i.e. deep

hole drilling machines) and spinforming/flow-forming machines. Lastly,

controls on spindle assemblies and slide

assemblies have been moved from

2B008 to 2B992 as specially designed

components therefore.

Category 3—Electronics

A number of controls have been

removed for components under

Category 3, including microprocessors

up to a composite theoretical

performance (CTP) value of 260 Mtops,

most storage devices (i.e. memory

circuits), and on custom integrated

circuits (3A001). In addition, the

frequency parameter for network

analyzers and microwave test receivers

have been relaxed, and controls on

emulators (3A002) have been removed

entirely. The most significant change is

in the entries under Category 3B dealing

with semiconductor manufacturing

equipment. Specifically, these entries

have been combined and divided into

two ECCNs. In addition, the limit for

control of integrated circuits testers

have been raised from 50 MHZ to 60

MHZ (3B002).

Category 4—Computers

Under category 4, the CTP value for

computers has been raised from 260

Mtops to 2,000 Mtops. The limit on

graphic accelerators and graphics

coprocessors has been relaxed to a 3–D

vector rate of 3,000,000 (4A003). The

technology for ‘‘multi-data-stream

processing’’ has been revised to the

control level defined in 4A003.b.

(4E002). The technology for magnetic

hard disk drives (4E002) has been

removed.

Category 5—Telecommunications, Part I

Several sections of Part I,

Telecommunication have been removed

creating a significant number of changes

to the controls on telecommunication

equipment. The majority of changes are

identified in the following entries.

All controls on telecommunication

transmission equipment or systems,

having digital cross connect equipment

and modems (5A001.b.), have been

removed. In addition, controls have

been removed on certain

communication channel controllers,

certain network access controllers,

certain radio equipment operating at

frequencies of 31 GHz or less, and

certain digital signal processing

equipment based upon ‘‘user-accessible

programmability’’ by raising the control

parameters in each instance (5A001.b.).

Also, controls have been removed on

‘‘stored program controlled’’ switching

equipment containing any of the

following characteristics, functions or

features (5A001.c.):

—‘‘Integrated Services Digital Network’’

(ISDN) functions;

—Multi-level priority and pre-emption

for circuit switching;

—Routing or switching of ‘‘datagram’’

packets;

—Routing for switching of fast select

packets;

—Automatic hand-off of cellular radio

calls; and

—Digital cross connect equipment.

Additionally, the control parameters

for the ‘‘data signaling rate’’ for

‘‘communications channel controllers’’

and the digital transfer rate for ‘‘network

access controllers’’ have been modified

to relax controls on packet switches,

circuit switches and routers. Controls on

all general purpose test equipment (e.g.

bit error rate testers and protocol

analyzers) have been removed (5B001).

Controls on software for use of digital

switching equipment (5D001) have been

removed and controls on development

technology for spread spectrum and

frequency hopping techniques

(5E001.b.) have been added.

Category 5—‘‘Information Security’’,

Part II

Under Part II, ‘‘Information Security’’,

certain items have been decontrolled

through an expansion of ‘‘Notes’’ within

the entry of 5A002. These notes state

that certain access control equipment

(e.g. equipment to protect personal

identification numbers [PIN]), data

authentication equipment (e.g.

equipment which calculates a Message

Authentication Code [MAC]) and

cryptographic equipment specially

designed and limited for use in

machines for banking or money

transactions are not controlled. In

addition, all software for virus

protection (5D002) has been removed.

Category 6—Sensors and Lasers

Under the acoustics section, controls

for certain wide-swath bathymetric

survey systems and terrestrial

geophones have been removed. In

addition, controls for towed acoustic

hydrophone arrays and processing

equipment for hydrophone arrays have

been modified. Controls for bottom or

bay cable systems (6A001) have been

added. Under optical sensors, controls

for specially designed components of

image intensifier tubes (6A002) have

been modified. Controls for

monospectral imaging sensors have

been added. Under optics, controls on

certain optical filters and ‘‘fluoride

fiber’’ cable (6A004) have been

removed. Under lasers, certain carbon

dioxide lasers, semiconductor lasers,

ruby lasers, neodymium doped lasers

and free electron lasers (6A005) have
2454 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

been removed. Under radar, weather

balloon tracking radars (6A008) have

been removed. For production

equipment, equipment for test,

inspection and production of lasers

(6B005) have been removed. In addition,

controls on materials for optical fiber

preforms for the manufacture of high

birefringence fibers (6C002), materials

for certain low optical absorption

materials, and materials for optical fiber

preforms for the manufacture of fluoride

fibers (6C004) have been removed.

Controls on software specially designed

for bottom or bay cables have been

added and controls on certain primary

radar target data software (6D003) have

been removed. Finally, controls for

certain optical fabrication technology

and technology for certain optical fibers

(6E003) have been removed.

Category 7—Navigation and Avionics

Controls on inertial navigation

systems certified for use on ‘‘civil

aircraft’’ (7A003) have been removed.

Also, controls for direction finder

equipment (7A007), computer aided

design (CAD) software (7D003), and

technology for electric actuators for

primary flight control and flight control

optical sensor arrays (7E004) have been

added.

Category 8—Marine

Controls for certain underwater vision

systems, certain photographic still

cameras and certain light systems

(8A002) have been relaxed. Controls on

stirling cycle engine air independent

power systems (8A002) have been

clarified.

Category 9—Propulsion

Under the section dealing with Test,

Inspection and Production Equipment,

several items have been removed,

including automated equipment for

measuring airfoil wall thickness,

tooling/fixtures, and measuring

equipment for hole drilling processing,

ceramic core leaching equipment and

ceramic shell burn out or firing

equipment (9B001). Controls on brush

seals have been narrowed by adding a

control for a temperature limit (9B003)

and expanded by adding tools, dies or

fixtures for solid state joining of

intermetallic airfoil-to-disk

combinations for gas turbine engines

(9B004). Transducers/strain gauges/

accelerometers/thermocouples for

vibration equipment (9B006) have also

been removed. Accordingly, under

software, controls for certain software

for vibration test equipment as well as

certain development/production

software of test facilities for engines

(9D004) have been removed. Finally, a

few modifications have been made

under technology for gas turbine engine

components or systems and controls on

helicopter power transfer systems or tilt

rotor or tilt wing aircraft (9E003).

Specifically, controls have been

narrowed on technology for multiple

domed combustors (9E003.a.2), the

technology for gas bearing for gas

turbine engine rotor assemblies

(9E003.a.12), and the technology for

helicopter, tilt rotor or tilt wing aircraft

power transfer systems.

All items removed from national

security (NS) controls as a result of the

Wassenaar List of Dual-Use Goods and

Technologies will continue to be

controlled for antiterrorism (AT)

reasons.

Numerous entries that are contained

on the Wassenaar List of Dual-Use

Goods and Technologies are subject to

the export licensing authority of the

Office of Defense Trade Controls,

Department of State. This rule will list

all entries that are controlled on the

Wassenaar List of Dual-Use Goods and

Technologies, but will specify that those

entries are under the licensing authority

of the Office of Defense Trade Controls,

Department of State.

On March 25, 1996 (61 FR 12714),

BXA revised the Commerce Control List

by adopting the European Union (EU)

numbering system and converted our

former ECCNs to correspond

accordingly. The changes adopted by

this rule attempts to further harmonize

the CCL with the EU List. This ensures

that identical ECCNs on the CCL and the

EU List will identify the same item(s).

From an enforcement or customs

perspective, this common numbering

system simplifies export controls for all

countries that harmonize to this control

list. As a result of this harmonization

exercise, it was discovered that certain

differences exist between the EU List

and the CCL and among agencies within

the U.S., in terms of MTCR related

controls. These differences

predominately exist in the area of

technology and software controls. For

most of the entries, the EU text was

adopted or modified to ensure that it

comported to the intent of the MTCR

Annex. For those technology and

software entries where differences could

not be resolved at the interagency level,

it was agreed to maintain the control

text for those entries as published in the

March 25 rule, until these differences

are resolved.

To ensure that no overlap in controls

exists among the regimes and that the

Wassenaar Arrangement list did not

decontrol items that are currently

controlled on the MTCR Annex,

references to certain missile technology

controlled entries were included and

clarification notes were added to aid the

exporter.

In addition, this rule will include

ECCN entries for those MTCR items that

are under the licensing authority of the

Department of State, Office of Defense

Trade Controls. Those items are

specifically listed on the CCL to inform

the exporter that the corresponding EU

list entry for such items are under the

licensing authority of the Department of

State, Office of Defense Trade Controls.

BXA is continuing a comprehensive

review of the Commerce Control List

(CCL) to account for items controlled by

the Nuclear Suppliers Group (NSG), the

Missile Technology Control Regime

(MTCR), and the Australia Group (AG)

and to correct errors published on

March 25, 1996, and unavoidably

reprinted in this version of the CCL. The

review will be based in large part upon

the comments received in response to

the March 25 rule and upon ongoing

efforts to harmonize the CCL with the

EU’s control list.

Saving Clause

This rule revises the numbering and

structure of certain entries on the

Commerce Control List. For items under

such entries and for April 15, 1998,

BXA will accept license applications for

items described either by the entries in

effect immediately before January 15,

1998 or the entries described in this

rule. In addition, shipments of items

removed from eligibility for export or

reexport under a particular License

Exception authorization or the

designator NLR, as a result of this

regulatory action, may continue to be

exported or reexported under that

License Exception authorization or

designator until February 17, 1998.

Rulemaking Requirements

1. This interim rule has been

determined to be significant for

purposes of E.O. 12866.

2. Notwithstanding any other

provision of law, no person is required

to respond to, nor shall any person be

subject to a penalty for failure to comply

with a collection of information, subject

to the requirements of the Paperwork

Reduction Act (PRA), unless that

collection of information displays a

currently valid OMB Control Number.

This rule involves collections of

information subject to the Paperwork

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

et seq.) These collections has been

approved by the Office of Management

and Budget under control numbers

0694–0073, 0694–0086, and 0694–0088.

This rule also contains a new collectionof-information requirement subject to
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2455

the PRA that has received emergency

approval under OMB control number

0694-xxxx. The new information

requirement and estimated public

burden hours include: recording

responses (5 minutes each); filing

responses (1 minute each); and

transmitting responses to BXA (10

minutes per exporter). These estimates

include the time for reviewing

instructions, searching existing data

sources, gathering and maintaining the

data needed, and completing and

reviewing the collections of

information. 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.

3. This rule does not contain policies

with Federalism implications sufficient

to warrant preparation of a Federalism

assessment under Executive Order

12612.

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 (Sec. 5 U.S.C. 553(a)(1)). Further,

no other law requires that a notice of

proposed rulemaking and an

opportunity for public comment be

given for this interim rule. Because a

notice of proposed rulemaking and an

opportunity for public comment are not

required to be given for this rule under

5 U.S.C. or by any other law, the

analytical requirements of the

Regulatory Flexibility Act (5 U.S.C. 601

et seq.) are not applicable.

However, because of the importance

of the issues raised by these regulations,

this rule is issued in interim form and

comments will be considered in the

development of final regulations.

Accordingly, the Department

encourages interested persons who wish

to comment to do so at the earliest

possible time to permit the fullest

consideration of their views.

The period for submission of

comments will close February 17, 1998.

The Department will consider all

comments received before the close of

the comment period in developing final

regulations. Comments received after

the end of the comment period will be

considered if possible, but their

consideration cannot be assured. The

Department will not accept public

comments accompanied by a request

that a part or all of the material be

treated confidentially because of its

business proprietary nature or for any

other reason. The Department will

return such comments and materials to

the person submitting the comments

and will not consider them in the

development of final regulations. All

public comments on these regulations

will be a matter of public record and

will be available for public inspection

and copying. In the interest of accuracy

and completeness, the Department

requires comments in written form.

Oral comments must be followed by

written memoranda, which will also be

a matter of public record and will be

available for public review and copying.

Communications from agencies of the

United States Government or foreign

governments will not be made available

for public inspection.

The public record concerning these

regulations will be maintained in the

Bureau of Export Administration

Freedom of Information Records

Inspection Facility, Room 4525,

Department of Commerce, 14th Street

and Pennsylvania Avenue, N.W.,

Washington, D.C. 20230. Records in this

facility, including written public

comments and memoranda

summarizing the substance of oral

communications, may be inspected and

copied in accordance with regulations

published in Part 4 of Title 15 of the

Code of Federal Regulations.

Information about the inspection and

copying of records at the facility may be

obtained from Margaret Cornejo, Bureau

of Export Administration Freedom of

Information Officer, at the above

address or by calling (202) 482–5653.

List of Subjects

15 CFR Part 732

Administrative practice and

procedure, Exports, Foreign trade,

Reporting and recordkeeping

requirements.

15 CFR Part 740

Administrative practice and

procedure, Exports, Foreign trade,

Reporting and recordkeeping

requirements.

15 CFR Part 742

Exports, Foreign Trade.

15 CFR Part 743

Administrative practice and

procedure, Exports, Foreign trade,

Reporting and recordkeeping

requirements.

15 CFR Part 744

Exports, Foreign Trade, Reporting and

recordkeeping requirements.

15 CFR Part 746

Embargoes, Exports, Foreign Trade,

Reporting and recordkeeping

requirements.

15 CFR Part 762

Administrative practice and

procedure, Business and Industry,

Exports, Foreign trade, Reporting and

recordkeeping requirements.

15 CFR Part 774

Exports, Foreign Trade.

Accordingly, parts 732, 740, 742, 744,

746, 762, and 774 of the Export

Administration Regulations (15 CFR

parts 730 through 799) are amended as

follows:

1. The authority citation for parts 732

and 762 is revised to read as follows:

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

U.S.C. 1701 et seq.; E.O. 12924, 59 FR 43437,

3 CFR, 1994 Comp., p. 917; E.O. 13026, 3

CFR, 1995 Comp., p. 228; Notice of August

15, 1995, 3 CFR, 1995 Comp., p. 501; Notice

of August 14, 1996, 3 CFR, 1996 Comp., p.

298; and Notice of August 13, 1997 (62 FR

43629, August 15, 1997).

2. The authority citation for part 740

is revised to read as follows:

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

U.S.C. 1701 et seq.; E.O. 12924, 59 FR 43437,

3 CFR, 1994 Comp., p. 917; Notice of August

15, 1995, 3 CFR, 1995 Comp., p. 501; Notice

of August 14, 1996, 3 CFR, 1996 Comp., p.

289; and Notice of August 13, 1997 (62 FR

43629, August 15, 1997).

3. The authority citation for part 742

is revised to read as follows:

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

U.S.C. 1701 et seq.; 18 U.S.C. 2510 et seq.;

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

12058, 43 FR 20947, 3 CFR, 1978 Comp., p.

179; E.O. 12851, 58 FR 33181, 3 CFR, 1993

Comp., p. 608; E.O. 12924, 59 FR 43437, 3

CFR, 1994 Comp., p, 917; E.O. 12938, 59 FR

59099, 3 CFR, 1995 Comp., p. 950; Notice of

August 15, 1995, 3 CFR, 1995 Comp., p. 501;

Notice of August 14, 1996, 3 CFR, 1996

Comp., p. 289; and Notice of August 13, 1997

(62 FR 43629, August 15, 1997).

4–5. The authority citation for part

744 is revised to read as follows:

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

U.S.C 1701 et seq.; 22 U.S.C. 3201 et seq.; 42

U.S.C. 2139a; E.O. 12058, 43 FR 20947, 3

CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR

33181, 3 CFR, 1993 Comp., p. 608; E.O.

12924, 59 FR 43437, 3 CFR, 1994 Comp., p.

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

Comp., p. 950; Notice of August 14, 1996, 3

CFR, 1996 Comp., p. 298; and Notice of

August 13, 1997 (62 FR 43629, August 15,

1997).

6. The authority citation for part 746

is revised to read as follows:

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

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

6004; E.O. 12918, 59 FR 28205, 3 CFR, 1994
2456 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Comp., p. 899; E.O. 12924, 59 FR 43437, 3

CFR, 1994 Comp., p. 917; Notice of August

14, 1996, 3 CFR, 1996 Comp., p. 298; and

Notice of August 13, 1997 (62 FR 43629,

August 15, 1997).

7. 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. 720; 10 U.S.C.

7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C.

287c; 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004;

Sec. 201, Pub. L. 104–58, 109 Stat. 557 (30

U.S.C. 185(s)); 30 U.S.C. 185(u); 42 U.S.C.

2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46

U.S.C. app. 466c; 50 U.S.C. app. 5; E.O.

12924, 59 FR 43437, 3 CFR, 1994 Comp., p.

917; Notice of August 15, 1995, 3 CFR, 1995

Comp., p. 501; Notice of August 14, 1996, 3

CFR, 1996 Comp., p. 298; and Notice of

August 13, 1997 (62 FR 43629, August 15,

1997).

PART 732—[AMENDED]

8. Section 732.4 of the EAR is

amended by adding a new paragraph

(b)(3)(iv) to read as follows:

§ 732.4 Steps regarding License

Exceptions.

* * * * *

(b) * * *

(3) * * *

(iv) If you are exporting under License

Exceptions GBS, CIV, LVS, CTP, TSR, or

GOV, you should review § 743.1 of the

EAR to determine the applicability of

certain reporting requirements.

* * * * *

PART 740—[AMENDED]

9. Section 740.2 is amended:

a. By adding a new paragraph (a)(5);

and

b. By adding a new paragraph (c) to

read as follows:

§ 740.2 Restrictions on all License

Exceptions.

(a) * * *

(5) The item is controlled for missile

technology (MT) reasons, except that the

items described in ECCNs 6A008,

7A001, 7A002, 7A004, 7A101, 7A102,

7A103, 7A104, 7B001, 7D001, 7D002,

7D003, 7D101, 7D102, 7E003, or 7E101,

may be exported as part of a manned

aircraft, satellite, land vehicle or marine

vehicle or in quantities appropriate for

replacement parts for such applications

under § 740.9(a)(2)(ii) (License

Exception TMP for kits consisting of

replacement parts), § 740.10 (License

Exception RPL), § 740.13 (License

Exception TSU), or § 740.15(c) (License

Exception AVS for equipment and spare

parts for permanent use on a vessel or

aircraft).

* * * * *

(c) BXA may by informing the

exporter, suspend or revoke any License

Exception in order to comply with U.S.

Wassenaar obligations. In addition, BXA

may inform an exporter, that before

using any License Exception, a notice be

submitted with BXA concerning the

proposed export.

10. Section 740.3 is amended by

adding a new paragraph (f) to read as

follows:

§ 740.3 Shipments of Limited Value (LVS).

* * * * *

(f) Reporting requirements. See

§ 743.1 of the EAR for reporting

requirements for exports of certain

commodities under License Exception

LVS.

11. Section 740.4 is revised to read as

follows:

§ 740.4 Shipments to Country Group B

countries (GBS).

License Exception GBS authorizes

exports and reexports to Country Group

B (see Supplement No. 1 to part 740) of

those commodities controlled to the

ultimate destination for national

security reasons only and identified by

‘‘GBS—Yes’’ on the CCL. See § 743.1 of

the EAR for reporting requirements for

exports of certain commodities under

License Exception GBS.

12. Section 740.5 is amended by

adding a new sentence at the end to

read as follows:

§ 740.5 Civil end-users (CIV).

* * * See § 743.1 of the EAR for

reporting requirements for exports of

certain commodities under License

Exception CIV.

13. Section 740.6 is amended by

adding paragraph (b) to read as follows:

§ 740.6 Technology and software under

restriction (TSR).

* * * * *

(b) Reporting requirements. See

§ 743.1 of the EAR for reporting

requirements for exports of certain

commodities under License Exception

TSR.

14. Section 740.7 is amended by

revising paragraph (f) to read as follows:

§ 740.7 Computers (CTP).

* * * * *

(f) Reporting requirements. See

§ 743.1 of the EAR for reporting

requirements for exports of certain

commodities under License Exception

CTP.

15. Section 740.11 is amended:

a. By revising paragraph (a)(2);

b. By revising paragraph (b)(2)(iii);

c. By revising paragraph (b)(2)(iv), and

d. By adding a new Supplement No.

1, as follows:

§ 740.11 Governments and international

organizations (GOV).

* * * * *

(a) * * *

(2) The following items controlled for

national security (NS) reasons under

Export Control Classification Numbers

(ECCNs) identified on the Commerce

Control List may not be exported or

reexported under this License Exception

to destinations other than Austria,

Belgium, Canada, Denmark, Finland,

France, Germany, Greece, Ireland, Italy,

Luxembourg, the Netherlands, Portugal,

Spain, Sweden, and the United

Kingdom: 1C001, 1C012, 5A001.b.9,

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

6A001.a.2.a.7, 6A001.a.2.b,

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

6A002.a.1.c, 6A008.l.3., 6B008,

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

9A011; and

(i) ‘‘Composite’’ structures or

laminates controlled by 1A002.a.,

having an organic ‘‘matrix’’ and made

from materials listed under 1C010.c. or

1C010.d.; and

(ii) ‘‘Digital’’ computers controlled by

4A003.b. and having a CTP exceeding

10,000 MTOPS; and

(iii) ‘‘Electronic assemblies’’

controlled by 4A003.c. and capable of

enhancing performance by aggregation

of ‘‘computing elements’’ so that the

CTP of the aggregation exceeds 10,000

MTOPS; and

(iv) Processing equipment controlled

by 6A001.a.2.c. and specially designed

for real time application with towed

acoustic hydrophone arrays; and

(v) Bottom or bay cable systems

controlled by 6A001.a.2.e.3 and having

processing equipment specially

designed for real time application with

bottom or bay cable systems; and

(vi) ‘‘Software’’, as follows:

(A) Controlled by 4D001, specially

designed for the ‘‘development’’ or

‘‘production’’ for items controlled by

4A003.b or .c, as defined by paragraphs

(a)(2)(ii) and (iii) of this section; and

(B) Controlled by 5D001.a, specially

designed for items controlled by

5A001.b.9; and

(C) Controlled by 6D001 for items

controlled by 6A008.l.3 or 6B008; and

(D) Controlled by 6D003.a; and

(E) Controlled by 7D003.a or 7D003.b;

and

(F) Controlled by 8D001, specially

designed for the ‘‘development’’ or

‘‘production’’ of equipment controlled

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

and

(G) Controlled by 9D001, specially

designed for the ‘‘development’’ of

equipment or ‘‘technology’’ controlled

by 9A011, 9E003.a.1, or by 9E003.a.3,

for items controlled by 1A002.a, as
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2457

described in paragraph (a)(2)(i) of this

section; and

(H) Controlled by 9D002 for

‘‘software’’ specially designed for the

‘‘production’’ of equipment controlled

by 9A011; and

(I) Controlled by 9D004.a or .c.

(b) * * *

(2) * * *

(iii) (A) Items for official use within

national territory by agencies of the U.S.

Government. This License Exception is

available for all items consigned to and

for the official use of any agency of a

cooperating government within the

territory of any cooperating government,

except items described in paragraph (a)

to Supplement No. 1 of this section:

(B) Reporting requirements. See

§ 743.1 of the EAR for reporting

requirements for exports of certain items

under this paragraph (b)(2)(iii).

(iv) (A) Diplomatic and consular

missions of a cooperating government.

This License Exception is available for

all items consigned to and for the

official use of a diplomatic or consular

mission of a cooperating government

located in any country in Country

Group B (see Supplement No. 1 to part

740), except items described in

paragraph (b) of Supplement No. 1 of

this section.

(B) Reporting requirements. See

§ 743.1 of the EAR for reporting

requirements for exports of certain items

under this paragraph (b)(2)(iv).

* * * * *

Supplement No. 1 to § 740.11—Additional

Restrictions on Use of License Exception

GOV

(a) Items for official use within national

territory by agencies of the U.S. Government.

License Exception GOV is available for all

items consigned to and for the official use of

any agency of a cooperating government

within the territory of any cooperating

government, except:

(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, 1C012, 5A001.b.9, 6A001.a.2.a.1,

6A001.a.2.a.2, 6A001.a.2.a.7, 6A001.a.2.b,

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

6A008.l.3., 6B008, 8A001.b., 8A001.d.,

8A002.o.3.b., 9A011; and

(i) ‘‘Composite’’ structures or laminates

controlled by 1A002.a., having an organic

‘‘matrix’’ and made from materials listed

under 1C010.c. or 1C010.d.; and

(ii) ‘‘Digital’’ computers controlled by

4A003.b. and having a CTP exceeding 10,000

MTOPS; and

(iii) ‘‘Electronic assemblies’’ controlled by

4A003.c. and capable of enhancing

performance by aggregation of ‘‘computing

elements’’ so that the CTP of the aggregation

exceeds 10,000 MTOPS; and

(iv) Processing equipment controlled by

6A001.a.2.c. and specially designed for real

time application with towed acoustic

hydrophone arrays; and

(v) Bottom or bay cable systems controlled

by 6A001.a.2.e.3 and having processing

equipment specially designed for real time

application with bottom or bay cable

systems;

(vi) ‘‘Software’’, as follows:

(A) Controlled by 4D001, specially

designed for the ‘‘development’’ or

‘‘production’’ for items controlled by

4A003.b or .c, as defined by paragraphs

(a)(1)(ii) and (iii) of this Supplement; and

(B) Controlled by 5D001.a, specially

designed for items controlled by 5A001.b.9;

and

(C) Controlled by 6D001 for items

controlled by 6A008.l.3 or 6B008; and

(D) Controlled by 6D003.a; and

(E) Controlled by 7D003.a or 7D003.b; and

(F) Controlled by 8D001, specially

designed for the ‘‘development’’ or

‘‘production’’ of equipment controlled by

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

(G) Controlled by 9D001, specially

designed for the ‘‘development’’ of

equipment or ‘‘technology’’ controlled by

9A011, 9E003.a.1, or by 9E003.a.3, for items

controlled by 1A002.a, as described in

paragraph (a)(1)(i) of this Supplement; and

(H) Controlled by 9D002 for ‘‘software’’

specially designed for the ‘‘production’’ of

equipment controlled by 9A011; and

(I) Controlled by 9D004.a or .c.

(vii) ‘‘Technology’’, as follows:

(A) Controlled by 5E001.a for items

controlled by 5A001.b.9 or 5D001.a; and

(B) Controlled by 1E001 for items

controlled by 1A002.a, 1C001, or 1C102 as

described by paragraph (a)(1)(i) of this

Supplement; and

(C) Controlled by 6E001 for the

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

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

6A001.a.2.a.7, 6A001.a.2.b, 6A001.a.2.c,

6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or

6B008, as described in paragraph (a)(1) of

this Supplement; and

(D) Controlled by 6E002 for the

‘‘production’’ of equipment controlled by

6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,

6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3,

6A002.a.1.c, 6A008.l.3, or 6B008, as

described in paragraph (a)(1) of this

Supplement; and

(E) Controlled by 8E001 for items

controlled by 8A001.b, 8A002.o.3.b, or

8A001.d; and

(F) Controlled by 9E001 for items

controlled by 9A011, 9D001, or 9D002; and

(G) Controlled by 9E002 for items

controlled by 9A011; and

(H) Controlled by 9E003.a.1; and

(I) Controlled by 9E003.a.3 for items

controlled by 1A002.a as described in

paragraph (a)(1) of this Supplement.

(2) Items identified on the Commerce

Control List as controlled for missile

technology (MT), chemical and biological

warfare (CB), or nuclear nonproliferation

(NP) reasons;

(3) Regional stability items controlled

under Export Control Classification Numbers

(ECCNs) 6A002, 6A003, 6E001, 6E002,

7D001, 7E001, 7E002, and 7E101 as

described in § 742.6(a)(1) of the EAR; or

(4) Encryption items controlled for EI

reasons as described in the Commerce

Control List.

(b) Diplomatic and consular missions of a

cooperating government. License Exception

GOV is available for all items consigned to

and for the official use of a diplomatic or

consular mission of a cooperating

government located in any country in

Country Group B (see Supplement No. 1 to

part 740), except:

(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, 1C012, 5A001.b.9, 6A001.a.2.a.1,

6A001.a.2.a.2, 6A001.a.2.a.7, 6A001.a.2.b,

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

6A008.l.3., 6B008, 8A001.b., 8A001.d.,

8A002.o.3.b., 9A011; and

(i) ‘‘Composite’’ structures or laminates

controlled by 1A002.a., having an organic

‘‘matrix’’ and made from materials listed

under 1C010.c. or 1C010.d.; and

(ii) ‘‘Digital’’ computers controlled by

4A003.b. and having a CTP exceeding 10,000

MTOPS; and

(iii) ‘‘Electronic assemblies’’ controlled by

4A003.c. and capable of enhancing

performance by aggregation of ‘‘computing

elements’’ so that the CTP of the aggregation

exceeds 10,000 MTOPS; and

(iv) Processing equipment controlled by

6A001.a.2.c. and specially designed for real

time application with towed acoustic

hydrophone arrays; and

(v) Bottom or bay cable systems controlled

by 6A001.a.2.e.3 and having processing

equipment specially designed for real time

application with bottom or bay cable

systems;

(vi) ‘‘Software’’, as follows:

(A) Controlled by 4D001, specially

designed for the ‘‘development’’ or

‘‘production’’ for items controlled by 4A003

.b or .c, as defined by paragraphs (b)(1) (ii)

or (iii) of this Supplement; and

(B) Controlled by 5D001.a, specially

designed for items controlled by 5A001.b.9;

and

(C) Controlled by 6D001 for items

controlled by 6A008.l.3 or 6B008; and

(D) Controlled by 6D003.a; and

(E) Controlled by 7D003.a or 7D003.b; and

(F) Controlled by 8D001, specially

designed for the ‘‘development’’ or

‘‘production’’ of equipment controlled by

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

(G) Controlled by 9D001, specially

designed for the ‘‘development’’ of

equipment or ‘‘technology’’ controlled by

9A011, 9E003.a.1, or by 9E003.a.3, for items

controlled by 1A002.a, as described in

paragraph (b)(1)(i) of this Supplement; and

(H) Controlled by 9D002 for ‘‘software’’

specially designed for the ‘‘production’’ of

equipment controlled by 9A011; and
2458 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

(I) Controlled by 9D004 .a or .c.

(vii) ‘‘Technology’’, as follows:

(A) Controlled by 5E001.a for items

controlled by 5A001.b.9 or 5D001.a; and

(B) Controlled by 1E001 for items

controlled by 1A002.a, 1C001, or 1C102 as

described by paragraph (b)(1) of this

Supplement; and

(C) Controlled by 6E001 for the

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

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

6A001.a.2.a.7, 6A001.a.2.b, 6A001.a.2.c,

6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or

6B008, as described in paragraph (b)(1) of

this Supplement; and

(D) Controlled by 6E002 for the

‘‘production’’ of equipment controlled by

6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,

6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3,

6A002.a.1.c, 6A008.l.3, or 6B008, as

described in paragraph (b)(1) of this

Supplement; and

(E) Controlled by 8E001 for items

controlled by 8A001.b, 8A002.o.3.b, or

8A001.d; and

(F) Controlled by 9E001 for items

controlled by 9A011, 9D001, or 9D002; and

(G) Controlled by 9E002 for items

controlled by 9A011; and

(H) Controlled by 9E003.a.1; and

(I) Controlled by 9E003.a.3 for items

controlled by 1A002.a as described in

paragraph (b)(1)(i) of this Supplement.

(2) Items identified on the Commerce

Control List as controlled for missile

technology (MT), chemical and biological

warfare (CB), or nuclear nonproliferation

(NP) reasons;

(3) Regional stability items controlled

under Export Control Classification Numbers

(ECCNs) 6A002, 6A003, 6E001, 6E002,

7D001, 7E001, 7E002, and 7E101 as

described in § 742.6(a)(1) of the EAR; or

(4) Encryption items controlled for EI

reasons as described in the Commerce

Control List.

PART 742—[AMENDED]

16. Section 742.6(a)(1) is amended:

a. By removing the phrase ‘‘6D102

(only software for development of items

in 6A002.a.1, a.2, a.3, or .c);’’ and

b. By revising the phrase ‘‘7E002 (only

technology for the production of inertial

navigation systems, inertial equipment,

and specially designed components

therefor for civil aircraft).’’ to read

‘‘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).’’

17. Section 742.12 is amended by

revising paragraph (a)(3) and by

removing paragraph (a)(4) to read as

follows:

§ 742.12 High performance computers.

(a) * * *

(3) Exporters must keep accurate

records of each export to countries not

included in Country Group A:1 (see

Supplement No. 1 to part 740 of the

EAR) of a computer with a CTP greater

than 4,000 MTOPS. These records must

be submitted semiannually to BXA and

must contain the information as

described in § 743.1 of the EAR.

* * * * *

18. A new part 743 is added to read

as follows:

PART 743—SPECIAL REPORTING

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

U.S.C. 1701 et seq.; E.O. 12924, 59 FR 43437,

3 CFR, 1994 Comp., p. 917; Notice of August

15, 1995, 3 CFR, 1995 Comp., p. 501; Notice

of August 14, 1996, 3 CFR, 1996 Comp., p.

289; and Notice of August 13, 1997 (62 FR

43629, August 15, 1997).

§ 743.1 Wassenaar Arrangement.

(a) Scope. This section outlines

special reporting requirements for

exports of certain commodities, software

and technology controlled under the

Wassenaar Arrangement. Such reports

must be submitted to BXA semiannually

in accordance with the provisions of

paragraph (f) of this section, and records

of all exports subject to the reporting

requirements of this section must be

kept in accordance with part 762 of the

EAR. This section does not require

reports for reexports.

(b) Requirements. You must submit

two (2) copies of each report required

under the provisions of this section and

maintain accurate supporting records

(see § 762.2(b) of the EAR) for all

exports of items specified in paragraph

(c) of this section under any of the

following License Exceptions

authorized by part 740 of the EAR:

License Exceptions GBS, CIV, TSR, LVS,

CTP, and GOV. For purposes of this part

743, ‘‘you’’ has the same meaning as

‘‘U.S. exporter’’, as defined in part 772

of the EAR.

(c) Items for which reports are

required. (1) You must submit reports to

BXA under the provisions of this

section only for exports of items

controlled under the following ECCNs:

(i) Category 1: 1A002, 1C007.c and .d,

1C010.c and .d, 1D002, 1E001, 1E002.e,

and 1E002.f.;

(ii) Category 2: 2B001.a or .b (certain

items only; see Note to this paragraph)

2B001.f, 2B003, 2D001, 2E001, and

2E002;

Note to paragraph (c)(1)(ii): The following

are not controlled for NP reasons: turning

machines controlled by 2B001.a with a

capacity equal to or less than 35 mm

diameter; 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 milling machines controlled by

2B001.b with x-axis travel greater than two

meters and overall ‘‘positioning accuracy’’ on

the x-axis more (worse) than 0.030 mm.

Therefore, exports of such items under

License Exception GOV are subject to

reporting requirements.

(iii) Category 3: 3A002.g.2, 3B001.a.2,

3D001, and 3E001;

(iv) Category 4: 4A001.a.2 and .b,

4A003.b and .c (see paragraph (c)(2) of

this section), 4D001, 4D003.c, and

4E001;

(v) Category 5: 5A001.b.8, 5B001

(items specially designed for

5A001.b.8), 5D001.a and .b, 5E001.a,

5A002, 5B002, 5D002, and 5E002;

(vi) Category 6: 6A001.a.1.b, .a.2.c,

.a.2.d, and .a.2.e; 6A002.b, 6A004.c and

d, 6A006.g and h, 6A008.d, .h, and .k;

6D001, 6D003.a, 6E001, and 6E002;

(vii) Category 8: 8A001.c; 8A002.b, .h,

.j, .o.3.a, and .p; 8D001, 8D002, 8E001,

and 8E002.a; and

(viii) Category 9: 9B001.b, 9D001,

9D002, 9D004.a and .c, 9E001, 9E002,

9E003.a.1, 9E003.a.2, .a.3, .a.4, .a.5, .a.8,

and .a.9.

(2) Reports for ‘‘digital computers’’

and ‘‘electronic assemblies’’ controlled

under ECCN 4A003.b and .c are

required only for computers with a

composite theoretical performance

(CTP) exceeding 4,000 MTOPS or

computer enhancements thereof such

that the CTP exceeds 4,000 MTOPS.

Records for software controlled by

4D001 are required for software

specially designed for the development

or production of computers having a

CTP exceeding 4,000 MTOPS. For the

calculation of CTP, see the Technical

Note for Category 4 in the Commerce

Control List (Supplement No. 2 to part

774 of the EAR).

(d) Country Exceptions. You must

report each export subject to the

provisions of this section, except for

exports to countries identified in

Country Group A:1 (see Supplement No.

1 to part 740 of the EAR).

(e) Information that must be included

in each report. (1) Each report submitted

to BXA for items other than those

identified in paragraph (e)(2) of this

section must include the following

information for each export during the

time periods specified in paragraph (f)

of this section:

(i) Export Control Classification

Number and paragraph reference as

identified on the Commerce Control

List;

(ii) Number of units in the shipment;

and
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2459

(iii) Country of ultimate destination.

(2) Reports for ‘‘digital computers’’

and ‘‘electronic assemblies’’ controlled

under ECCN 4A003.b and .c must

include the following information:

(i) Date of shipment;

(ii) Name and address of the end-user

and each intermediate consignee;

(iii) CTP of each computer or

aggregation of computing elements in

shipment;

(iv) Quantity shipped; and

(v) End-use.

(f) Frequency and timing of reports.

You must submit reports subject to the

provisions of this section semiannually.

The reports must be labeled with the

exporting company’s name and address

at the top of each page and must include

for each such export all the information

specified in paragraph (e) of this

section. The reports shall cover exports

made during six month time periods

spanning from January 1 through June

30 and July 1 through December 31.

(1) The first report must be submitted

to and received by BXA no later than

August 1, 1998 for the partial reporting

period beginning January 15, 1998 and

ending June 30, 1998. Thereafter,

reports are due according to the

provisions of paragraphs (f)(2) and (f)(3)

of this section.

(2) Reports for the reporting period

ending June 30 must be submitted to

and received by BXA no later than

August 1.

(3) Reports for the reporting period

ending December 31 must be submitted

to and received by BXA no later than

February 1.

(g) Mailing address and facsimile

number: (1) Two (2) copies of reports

required under this section shall be

delivered to one of the following

addresses. BXA will not accept reports

sent C.O.D.

(i) For deliveries by U.S. postal

service:

Bureau of Export Administration, U.S.

Department of Commerce, P.O. Box 273,

Attn: ‘‘Wassenaar Reports’’, Washington,

D.C. 20044

(ii) For courier deliveries:

Bureau of Export Administration, U.S.

Department of Commerce, Attn:

‘‘Wassenaar Reports’’, Room 2705, 14th

Street and Pennsylvania Ave., N.W.,

Washington, D.C. 20230

(2) Reports may also be sent by

facsimile to: (202) 482–3345, Attn:

‘‘Wassenaar Reports’’.

(h) Contacts. General information

concerning the Wassenaar Arrangement

and reporting obligations thereof is

available from the Office of Strategic

Trade and Foreign Policy Controls, Tel.

(202) 482–0092, Fax: (202) 482–4094.

§ 743.2 [Reserved]

PART 744—[AMENDED]

19. Section 744.8(b) is amended by

revising the phrase ‘‘7A006, 7A106,

7A115, 7A994,’’ to read ‘‘7A006,

7A994’’.

PART 746—[AMENDED]

20. Section 746.8(b)(1)(ii) is amended

by revising the phrase ‘‘6E002, 9A115,

9A991.a,’’ to read ‘‘6E002, 9A991.a,’’.

PART 762—[AMENDED]

21. Section 762.2 is amended by

revising paragraphs (b)(35) and (b)(36)

and by adding a new paragraph (b)(37)

to read as follows:

§ 762.2 Records to be retained.

* * * * *

(b) * * *

(35) § 764.5, Voluntary self-disclosure;

(36) § 766.10, Subpoenas; and

(37) § 743.1, Wassenaar reports.

PART 774—[AMENDED]

22. Supplement No. 1 to part 774 is

revised to read as follows:

Supplement No. 1 to Part 774—the

Commerce Control List

Category 0—Nuclear Materials, Facilities,

and Equipment [and Miscellaneous Items]

A. Systems, Equipment and Components

0A001 ‘‘Nuclear reactors’’, i.e., reactors

capable of operation so as to maintain a

controlled, self-sustaining fission chain

reaction, and equipment and components

specially designed or prepared for use in

connection with a ‘‘nuclear reactor’’,

including (see List of Items Controlled).

License Requirements

Reason for Control:

Control(s): Items described in 0A001 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A.

Related Controls: N/A

Related Definitions: N/A

Items: a. Pressure vessels, i.e. metal vessels

as complete units or X parts therefor, which

are specially designed or prepared to contain

the core of a ‘‘nuclear reactor’’ and are

capable of withstanding the operating

pressure of the primary coolant, including

the top plate for a reactor pressure vessel;

b. Fuel element handling equipment,

including reactor fuel charging and

discharging machines;

c. Control rods specially designed or

prepared for the control of the reaction rate

in a ‘‘nuclear reactor’’, including the neutron

absorbing part and the support or suspension

structures therefore, and control rod guide

tubes;

d. Electronic controls for controlling the

power levels in ‘‘nuclear reactors’’, including

reactor control rod drive mechanisms and

radiation detection and measuring

instruments to determine neutron flux levels;

e. Pressure tubes specially designed or

prepared to contain fuel elements and the

primary coolant in a ‘‘nuclear reactor’’ at an

operating pressure in excess of 5.1 MPa;

f. Tubes or assemblies of tubes, made from

zirconium metal or alloy in which the ratio

of hafnium to zirconium is less than 1:500

parts by weight, specially designed or

prepared for use in a ‘‘nuclear reactor’’;

g. Coolant pumps specially designed or

prepared for circulating the primary coolant

of ‘‘nuclear reactors’’;

h. Internal components specially designed

or prepared for the operation of a ‘‘nuclear

reactor’’, including core support structures,

thermal shields, baffles, core grid plates and

diffuser plates;

i. Heat exchangers.

0A002 Power generating or propulsion

equipment specially designed for use with

space, marine or mobile ‘‘nuclear reactors’’.

(These items are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

See 22 CFR part 121.)

0A018 Items on the International

Munitions List.

License Requirements

Reason for Control: NS, RS, AT, UN

Control(s) Country Chart

NS applies to entire entry NS Column 1

RS applies to 0A018.c ...... RS Column 2

AT applies to entire entry AT Column 1

UN applies to entire entry Rwanda

License Exceptions

LVS: $5000 for 0A018.a and b; $3000 for

0A018.c; $1500 for 0A018.d through .f; $0

for entire entry for Rwanda

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: 0A018.a, .b, and .c in $ value; 0A018.d,

.e, and .f in number.

Related Controls: N/A

Related Definitions: N/A

Items: a. Power controlled searchlights and

control units therefor, designed for military

use, and equipment mounting such units;

and specially designed parts and accessories

therefor;

b. Construction equipment built to military

specifications, specially designed for

airborne transport; and specially designed

parts and accessories therefor;

c. Specially designed components and

parts for ammunition, except cartridge cases,

powder bags, bullets, jackets, cores, shells,

projectiles, boosters, fuses and components,

primers, and other detonating devices and

ammunition belting and linking machines

(all of which are subject to the export

licensing authority of the U.S. Department of
2460 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

State, Office of Defense Trade Controls. (See

22 CFR parts 120 through 130.)

d. Bayonets;

e. Muzzle-loading (black powder) firearms;

Note: Antique small arms dating prior to

1890 and their reproductions are not

controlled by this ECCN 0A018.

f. Military helmets, except:

f.1. Conventional steel helmets other than

those described by 0A018.f.2 of this entry.

f.2. Helmets, made of any material,

equipped with communications hardware,

optional sights, slewing devices or

mechanisms to protect against thermal flash

or lasers.

Note: Helmets described in 0A018.f.1 are

controlled by 0A988. Helmets described in

0A018.f.2 are controlled by the U.S.

Department of State, Office of Defense Trade

Controls (See 22 CFR part 121, Category X).

0A980 Horses by sea.

License Requirements

Reason for Control: SS

Control(s): SS applies to entire entry. For

licensing requirements (and possible

License Exceptions) proceed directly to

part 754 of the EAR. The Commerce

Country Chart is not designed to determine

licensing requirements for items controlled

for SS reasons

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0A982 Saps; thumbcuffs, leg irons,

shackles, and handcuffs; straight jackets,

plastic handcuffs, machetes, conventional

steel military helmets, police helmets and

shields; and parts and accessories, n.e.s.

License Requirements

Reason for Control: CC, UN

Control(s) Country Chart

CC applies to entire entry

except machetes.

CC Column 1

UN applies to machetes ... Rwanda

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0A983 Specially designed implements of

torture and thumbscrews; and parts and

accessories, n.e.s.

License Requirements

Reason for Control: CC

Control(s): CC applies to entire entry. A

license is required for ALL destinations,

regardless of end-use. Accordingly, a

column specific to this control does not

appear on the Commerce Country Chart.

(See part 742 of the EAR for additional

information.)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0A984 Shotguns, barrel length 18 inches

(45.72 cm) inches or over; buckshot

shotgun shells; except equipment used

exclusively to treat or tranquilize animals,

and except arms designed solely for signal,

flare, or saluting use; and parts, n.e.s.

License Requirements

Reason for Control: CC, UN

Control(s) Country Chart

CC applies to shotguns

with a barrel length

over 18 in. (45.72 cm)

but less than 24 in.

(60.96 cm) or buckshot

shotgun shells controlled by this entry, regardless of end-user.

CC Column 1

CC applies to shotguns

with a barrel length

greater than or equal to

24 in. (60.96 cm), regardless of end-user.

CC Column 2

CC applies to shotguns

with a barrel length

greater than or equal to

24 in. (60.96 cm) if for

sale or resale to police

or law enforcement.

CC Column 3

UN applies to entire entry Rwanda

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: This entry does not control

shotguns with a barrel length of less than

18 inches (45.72 cm). (See 22 CFR part

121.) These items are subject to the export

licensing authority of the Department of

State, Office of Defense Trade Controls

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0A985 Optical sighting devices for

firearms (including shotguns controlled by

0A984); discharge type arms (for example,

stun guns, shock batons, electric cattle

prods, immobilization guns and projectiles,

etc.) except equipment used exclusively to

treat or tranquilize animals, and except

arms designed solely for signal, flare, or

saluting use; and parts, n.e.s.

License Requirements

Reason for Control: CC, UN

Control(s) Country Chart

CC applies to entire entry CC Column 1

UN applies to entire entry Rwanda

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0A986 Shotgun shells, except buckshot

shotgun shells, and parts.

License Requirements

Reason for Control: UN

Control(s): UN applies to entire entry. A

license is required for items controlled by

this entry to Cuba, Libya, North Korea and

Rwanda. The Commerce Country Chart is

not designed to determine licensing

requirements for this entry. See part 746 of

the EAR for additional information

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0A988 Conventional military steel helmets

as described by 0A018.f.1; and machetes.

License Requirements

Reason for Control: UN

Control(s): UN applies to entire entry. A

license is required for items controlled by

this entry to Cuba, Libya, North Korea and

Rwanda. The Commerce Country Chart is

not designed to determine licensing

requirements for this entry. See part 746 of

the EAR for additional information

Note: Exports from the U.S. and

transhipments to Iran must be licensed by

the Department of Treasury, Office of Foreign

Assets Control. (See § 746.7 of the EAR for

additional information on this requirement.)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

B. Test, Inspection and Production

Equipment

0B001 Plant for the separation of isotopes

of ‘‘natural uranium’’ and ‘‘depleted

uranium’’, ‘‘special fissile materials’’ and

‘‘other fissile materials’’, and specially

designed or prepared equipment and

components therefor, as follows (see List of

Items Controlled).

License Requirements

Reason for Control:
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2461

Control(s): Items described in 0B001 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110).

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Plant specially designed for

separating isotopes of ‘‘natural uranium’’

and ‘‘depleted uranium’’, ‘‘special fissile

materials’’ and ‘‘other fissile materials’’, as

follows:

a.1. Gaseous diffusion separation plant;

a.2. Gas centrifuge separation plant;

a.3. Aerodynamic separation plant;

a.4. Chemical exchange separation plant;

a.5. Ion-exchange separation plant;

a.6. Atomic vapor ‘‘laser’’ isotopic

separation plant;

a.7. Molecular ‘‘laser’’ isotopic separation

plant;

a.8. Plasma separation plant;

a.9. Electro magnetic separation plant;

b. Equipment and components, specially

designed or prepared for gaseous diffusion

separation process, as follows:

b.1. Bellow valves made of or protected by

materials resistant to UF6 (e.g., aluminum,

aluminum alloys, nickel or alloy containing

60 weight percent or more nickel), with a

diameter of 40 mm to 1500 mm;

b.2.a. Compressors (positive displacement,

centrifugal and axial flowtypes) or gas

blowers with a suction volume capacity of 1

m3/min or more of UF6, and discharge

pressure up to 666.7 kPa, made of or

protected by materials resistant to UF6 (e.g.

aluminum, aluminum alloys, nickel or alloy

containing 60 weight percent or more nickel);

b.2.b. Rotary shaft seals for compressors or

blowers specified in 0B001.b.2.a. and

designed for a buffer gas in-leakage rate of

less than 1,000 cm3/min.;

b.3. Gaseous diffusion barriers made of

porous metallic, polymer or ceramic

materials resistant to corrosion by UF6 with

a pore size of 10 to 100 nm, a thickness of

5 mm or less, and, for tubular forms, a

diameter of 25 mm or less;

b.4. Gaseous diffuser housings made of or

protected by materials resistant to corrosion

by UF6;

b.5. Heat exchangers made of aluminum,

copper, nickel, or alloys containing more

than 60 weight percent nickel, or

combinations of these metals as clad tubes,

designed to operate at sub-atmospheric

pressure with a leak rate that limits the

pressure rise to less than 10 Pa per hour

under a pressure differential of 100 kPa;

c. Equipment and components, specially

designed or prepared for gas centrifuge

separation process, as follows:

c.1. Gas centrifuges;

c.2. Complete rotor assemblies consisting

of one or more rotor tube cylinders;

c.3. Rotor tube cylinders with a thickness

of 12 mm or less, a diameter of between 75

mm and 400 mm, made from any of the

following high strength-to-density ratio

materials:

c.3.a. Maraging steel capable of an ultimate

tensile strength of 2,050 MPa or more;

c.3.b. Aluminum alloys capable of an

ultimate tensile strength of 460 MPa or more;

or

c.3.c. ‘‘Fibrous or filamentary materials’’

with a ‘‘specific modulus’’ of more than 3.18

x 106 m and a ‘‘specific tensile strength’’

greater than 76.2 x 103 m;

c.4. Magnetic suspension bearings

consisting of an annular magnet suspended

within a housing made of UF6 resistant

materials (e.g. aluminum, aluminum alloys,

nickel or alloy containing 60 weight percent

or more nickel) containing a damping

medium and having the magnet coupling

with a pole piece or second magnet fitted to

the top cap of the rotor;

c.5. Specially prepared bearings

comprising a pivot-cup assembly mounted on

a damper;

c.6. Rings or bellows with a wall thickness

of 3 mm or less and a diameter of between

75 mm and 400 mm and designed to give

local support to a rotor tube or to join a

number together, made from any of the

following high strength-to-density ratio

materials;

c.6.a. Maraging steel capable of an ultimate

tensile strength of 2050 MPa or more;

c.6.b. Aluminum alloys capable of an

ultimate tensile strength of 460 MPa or more;

or

c.6.c. ‘‘Fibrous or filamentary materials’’

with a ‘‘specific modulus’’ of more than 3.18

x 106 m and a ‘‘specific tensile strength’’

greater than 76.2 x 103 m;’’.

c.7. Baffles of between 75 mm and 400 mm

diameter for mounting inside a rotor tube,

made from any of the following high

strength-to-density ratio materials:

c.7.a. Maraging steel capable of an ultimate

tensile strength of 2050 MPa or more;

c.7.b. Aluminum alloys capable of an

ultimate tensile strength of 460 MPa or more;

or

c.7.c. ‘‘Fibrous or filamentary materials’’

with a ‘‘specific modulus’’ of more than 3.18

x 106 m and a ‘‘specific tensile strength’’

greater than 76.2 x 103 m;’’.

c.8. Top and bottom caps of between 75

mm and 400 mm diameter to fit the ends of

a rotor tube, made from any of the following

high strength-to-density ratio materials:

c.8.a. Maraging steel capable of an ultimate

tensile strength of 2050 MPa or more; or

c.8.b. Aluminum alloys capable of an

ultimate tensile strength of 460 MPa or more;

c.8.c. ‘‘Fibrous or filamentary materials’’

with a ‘‘specific modulus’’ of more than 3.18

x 106 m and a ‘‘specific tensile strength’’

greater than 76.2 x 103 m.

c.9. Molecular pumps comprised of

cylinders having internally machined or

extruded helical grooves and internally

machined bores;

c.10. Ring-shaped motor stators for

multiphase AC hysteresis (or reluctance)

motors for synchronous operation within a

vacuum in the frequency range of 600 to

2,000 Hz and a power range of 50 to 1,000

Volt-Amps;

c.11. Frequency changers (converters or

inverters) specially designed or prepared to

supply motor stators for gas centrifuge

enrichment, having all of the following

characteristics, and specially designed

components therefor:

c.11.a. Multiphase output of 600 to 2000

Hz;

c.11.b. Frequency control better than 0.1%;

c.11.c. Harmonic distortion of less than

2%; and

c.11.d. An efficiency greater than 80%;

c.12. Centrifuge housing/recipients to

contain the rotor tube assembly of a gas

centrifuge, consisting of a rigid cylinder of

wall thickness up to 30 mm with precision

machined ends and made of or protected by

UF6 resistant materials;

c.13. Scoops consisting of tubes of up to 12

mm internal diameter for the extraction of

UF6 gas from within a centrifuge rotor tube

by a Pitot tube action, made of or protected

by UF6 resistant materials;

d. Equipment and components, specially

designed or prepared for aerodynamic

separation process, as follows:

d.1. Separation nozzles consisting of slitshaped, curved channels having a radius of

curvature less than 1 mm and having a knifeedge contained within the nozzle which

separates the gas flowing through the nozzle

into two streams;

d.2. Tangential inlet flow-driven

cylindrical or conical tubes (vortex tubes),

made of or protected by UF6 resistant

materials with a diameter of between 0.5 cm

and 4 cm and a length to diameter ratio of

20:1 or less and with one or more tangential

inlets;

d.3. Compressors (positive displacement,

centrifugal and axial flow types) or gas

blowers with a suction volume capacity of 2

m3/min, made of or protected by materials

resistant to UF6 (e.g., aluminum, aluminum

alloys, nickel or alloy containing 60 weight

percent or more nickel), and rotary shaft seals

therefor;

d.4. Aerodynamic separation element

housings, made of or protected by materials

resistant to UF6 to contain vortex tubes or

separation nozzles;

d.5. Heat exchangers made of aluminum,

copper, nickel, or alloy containing more than

60 weight percent nickel, or combinations of

these metals as clad tubes, designed to

operate at pressures of 600 kPa or less;

d.6. Bellows valves made of or protected by

UF6 resistant materials with a diameter of 40

to 1500 mm;

d.7. Process systems for separating UF6

from carrier gas (hydrogen or helium) to 1

ppm UF6 content or less, including:

d.7.a. Cryogenic heat exchangers and

cryoseparators capable of temperatures of

¥120° C or less;

d.7.b. Cryogenic refrigeration units capable

of temperatures of ¥120° C or less;

d.7.c. Separation nozzle or vortex tube

units for the separation of UF6 from carrier

gas;

d.7.d. UF6 cold traps capable of

temperatures of ¥20° C or less;

e. Equipment and components, specially

designed or prepared for chemical exchange

separation process, as follows:

e.1. Fast-exchange liquid-liquid centrifugal

contactors with stage residence time of 30

seconds or less and resistant to concentrated

hydrochloric acid (e.g., made of or lined with

suitable plastic materials such as

fluorocarbon polymers or lined with glass);
2462 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

e.2. Fast-exchange liquid-liquid pulse

columns with stage residence time of 30

seconds or less and resistant to concentrated

hydrochloric acid (e.g., made of or lined with

suitable plastic materials such as

fluorocarbon polymers or lined with glass);

e.3. Electrochemical reduction cells

designed to reduce uranium from one

valence state to another;

e.4. Electrochemical reduction cells feed

equipment to take U∂4 from the organic

stream and, for those parts in contact with

the process stream, made of or protected by

suitable materials (e.g., glass, fluorocarbon

polymers, polyphenyl sulphate, polyether

sulfone and resin-impregnated graphite);

e.5. Feed preparation systems for

producing high purity uranium chloride

solution consisting of dissolution, solvent

extraction and/or ion exchange equipment

for purification and electrolytic cells for

reducing the uranium U∂6 or U∂4 to U∂3;

e.6. Uranium oxidation systems for

oxidation of U∂3 to U∂4;

f. Equipment and components, specially

designed or prepared for ion-exchange

separation process, as follows:

f.1. Fast reacting ion-exchange resins,

pellicular or porous macro-reticulated resins

in which the active chemical exchange

groups are limited to a coating on the surface

of an inactive porous support structure, and

other composite structures in any suitable

form, including particles or fibers, with

diameters of 0.2 mm or less, resistant to

concentrated hydrochloric acid and designed

to have an exchange rate half-time of less

than 10 seconds and capable of operating at

temperatures in the range of 100° C to 200°

C;

f.2. Ion exchange columns (cylindrical)

with a diameter greater than 1000 mm, made

of or protected by materials resistant to

concentrated hydrochloric acid (e.g.,

titanium or fluorocarbon plastics) and

capable of operating at temperatures in the

range of 100° C to 200° C and pressures above

0.7 MPa;

f.3. Ion exchange reflux systems (chemical

or electrochemical oxidation or reduction

systems) for regeneration of the chemical

reducing or oxidizing agents used in ion

exchange enrichment cascades;

g. Equipment and components, specially

designed or prepared for atomic vapor

‘‘laser’’ isotopic separation process, as

follows:

g.1. High power electron beam guns with

total power of more than 50 kW and strip or

scanning electron beam guns with a

delivered power of more than 2.5 kW/cm for

use in uranium vaporization systems;

g.2. Trough shaped crucibles and cooling

equipment made of or protected by materials

resistant to heat and corrosion of molten

uranium or uranium alloy’s (e.g., tantalum,

yttria-coated graphite, graphite coated with

other rare earth oxides or mixtures thereof);

N.B: See also 2A225.

g.3. Product and tails collector systems

made of or lined with materials resistant to

the heat and corrosion of uranium vapor,

such as yttria-coated graphite or tantalum;

g.4. Separator module housings

(cylindrical or rectangular vessels) for

containing the uranium metal vapor source,

the electron beam gun and the product and

tails collectors;

g.5. ‘‘Lasers’’ or ‘‘laser’’ systems for the

separation of uranium isotopes with a

spectrum frequency stabilizer for operation

over extended periods of time;

N.B.: See also 6A005 and 6A205.

h. Equipment and components, specially

designed or prepared for molecular ‘‘laser’’

isotopic separation process, as follows:

h.1. Supersonic expansion nozzles for

cooling mixtures of UF6 and carrier gas to

150 K or less and made from UF6 resistant

materials;

h.2. Uranium fluoride (UF5) product

collectors consisting of filter, impact, or

cyclone-type collectors or combinations

thereof, and made of UF5/UF6 resistant

materials (e.g. aluminum, aluminum alloys,

nickel or alloys containing 60 weight percent

of nickel and UF6 resistant fully fluorinated

hydrocarbon polymers);

h.3. Equipment for fluorinating UF5 to UF6;

h.4. Compressors made of or protected by

materials resistant to UF6 (e.g., aluminum,

aluminum alloys, nickel or alloy containing

60 weight percent or more nickel), and rotary

shaft seals therefor;

h.5. Process systems for separating UF6

from carrier gas (e.g., nitrogen or argon)

including:

h.5.a. Cryogenic heat exchangers and

cryoseparators capable of temperatures of

¥120 °C or less;

h.5.b. Cryogenic refrigeration units capable

of temperatures of ¥120 °C or less;

h.5.c. UF6 cold traps capable of

temperatures of ¥20 °C or less;

h.6. ‘‘Lasers’’ or ‘‘laser’’ systems for the

separation of uranium isotopes with a

spectrum frequency stabilizer for operation

over extended periods of time;

N.B.: See also 6A005 and 6A205.

i. Equipment and components, specially

designed or prepared for plasma separation

process, as follows:

i.1. Product and tails collectors made of or

protected by materials resistant to the heat

and corrosion of uranium vapor such as

yttria-coated graphite or tantalum;

i.2. Radio frequency ion excitation coils for

frequencies of more than 100 kHz and

capable of handling more than 40 kW mean

power;

i.3. Microwave power sources and

antennae for producing or accelerating ions,

with an output frequency greater than 30

GHz and mean power output greater than 50

kW;

i.4. Uranium plasma generation systems;

i.5. Liquid uranium metal handling

systems consisting of crucibles, made of or

protected by suitable corrosion and heat

resistant materials (e.g., tantalum, yttriacoated graphite, graphite coated with other

rare earth oxides or mixtures thereof), and

cooling equipment for the crucibles;

N.B.: See also 2A225.

i.6. Separator module housings

(cylindrical) for containing the uranium

plasma source, radio-frequency drive coil

and the product and tails collectors and

made of a suitable non-magnetic material

(e.g. stainless steel);

j. Equipment and components, specially

designed or prepared for electromagnetic

separation process, as follows:

j.1. Ion sources, single or multiple,

consisting of a vapor source, ionizer, and

beam accelerator made of suitable materials

(e.g., graphite, stainless steel, or copper) and

capable of providing a total ion beam current

of 50 mA or greater;

j.2. Ion collector plates for collection of

enriched or depleted uranium ion beams,

consisting of two or more slits and pockets

and made of suitable non-magnetic materials

(e.g., graphite or stainless steel);

j.3. Vacuum housings for uranium

electromagnetic separators made of nonmagnetic materials (e.g. graphite or stainless

steel) and designed to operate at pressures of

0.1 Pa or lower;

j.4. Magnet pole pieces with a diameter

greater than 2 m;

j.5. High voltage power supplies for ion

sources, having all of the following

characteristics:

j.5.a. Capable of continuous operation;

j.5.b. Output voltage of 20,000 V or greater;

j.5.c. Output current of 1 A or greater;

j.5.d. Voltage regulation of better than

0.01% over a period of 8 hours;

N.B.: See also 3A227.

j.6. Magnet power supplies (high power,

direct current) having all of the following

characteristics:

j.6.a. Capable of continuous operation with

a current output of 500 A or greater at a

voltage of 100 V or greater;

j.6.b. Current or voltage regulation better

than 0.01% over a period of 8 hours.

N.B.: See also 3A226.

0B002 Specially designed or prepared

auxiliary systems, equipment and

components, as follows, (see List of Items

Controlled) for isotope separation plant

specified in 0B001, made of or protected by

UF6 resistant materials.

License Requirements

Reason for Control:

Control(s): Items described in 0B002 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Feed autoclaves, ovens or systems

used for passing UF6 to the enrichment

process;

b. Desublimers or cold traps, used to

remove UF6 from the enrichment process for

subsequent transfer upon heating;

c. Product and tails stations for transferring

UF6 into containers;

d. Liquefaction or solidification stations

used to remove UF6 from the enrichment

process by compressing and converting UF6

to a liquid or solid form;

e. Piping systems and header systems

specially designed for handling UF6 within

gaseous diffusion, centrifuge or aerodynamic

cascades made of or protected by UF6

resistant materials;
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2463

f.1. Vacuum manifolds or vacuum headers

having a suction capacity of 5 m3/minute or

more; or

f.2. Vacuum pumps specially designed for

use in UF6 bearing atmospheres;

g. UF6 mass spectrometers/ion sources

specially designed or prepared for taking online samples of feed, product or tails from

UF6 gas streams and having all of the

following characteristics:

g.1. Unit resolution for mass of more than

320 amu;

g.2. Ion sources constructed of or lined

with nichrome or monel, or nickel plated;

g.3. Electron bombardment ionization

sources; and

g.4. Collector system suitable for isotopic

analysis.

0B003 Plant for the production of uranium

hexafluoride (UF6) and specially designed

or prepared equipment and components

therefor, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: $ value

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Plant for the production of UF6;

b. Equipment and components, as follows,

specially designed of prepared for UF6

production:

b.1. Fluorination and hydrofluorination

screw and fluid bed reactors and flame

towers;

b.2. Distillation equipment for the

purification of UF6.

0B004 Plant for the production of heavy

water, deuterium or deuterium compounds,

and specially designed or prepared

equipment and components therefor, as

follows (see List of Items Controlled).

License Requirements

Reason for Control:

Control(s): Items described in 0B004 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Plant for the production of heavy

water, deuterium or deuterium compounds,

as follows:

a.1. Hydrogen sulphide-water exchange

plants;

a.2. Ammonia-hydrogen exchange plants;

a.3. Hydrogen distillation plants;

b. Equipment and components, as follows,

designed for:

b.1. Hydrogen sulphide-water exchange

process:

b.1.a. Tray exchange towers;

b.1.b. Hydrogen sulphide gas compressors;

b.2. Ammonia-hydrogen exchange process:

b.2.a. High-pressure ammonia-hydrogen

exchange towers;

b.2.b. High-efficiency stage contactors;

b.2.c. Submersible stage recirculation

pumps;

b.2.d. Ammonia crackers designed for

pressures of more than 3 MPa;

b.3. Hydrogen distillation process:

b.3.a. Hydrogen cryogenic distillation

towers and cold boxes designed for operation

below 35 K (¥238° C);

b.3.b. Turboexpanders or turboexpandercompressor sets designed for operation below

35 K (¥238° C);

b.4. Heavy water concentration process to

reactor grade level (99.75 weight percent

deuterium oxide):

b.4.a. Water distillation towers containing

specially designed packings;

b.4.b. Ammonia distillation towers

containing specially designed packings;

b.4.c. Catalytic burners for conversion of

fully enriched deuterium to heavy water;

b.4.d. Infrared absorption analyzers

capable of on-line hydrogen-deuterium ratio

analysis where deuterium concentrations are

equal to or more than 90 weight percent.

0B005 Plant specially designed for the

fabrication of ‘‘nuclear reactor’’ fuel

elements and specially designed equipment

therefor.

License Requirements

Reason for Control:

Control(s): Items described in 0B005 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: A plant for the

fabrication of ‘‘nuclear reactor’’ fuel

elements includes equipment which: (a)

Normally comes into direct contact with or

directly processes or controls the

production flow of nuclear materials; (b)

Seals the nuclear materials within the

cladding; (c) Checks the integrity of the

cladding or the seal; and (d) Checks the

finish treatment of the solid fuel

Items: The List of Items Controlled is

contained in the ECCN heading

0B006 Plant for the reprocessing of

irradiated ‘‘nuclear reactor’’ fuel elements,

and specially designed or prepared

equipment and components therefor,

including (see List of Items Controlled).

License Requirements

Reason for Control:

Control(s): Items described in 0B006 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Fuel element chopping or shredding

machines, i.e. remotely operated equipment

to cut, chop, shred or shear irradiated

‘‘nuclear reactor’’ fuel assemblies, bundles or

rods;

b. Dissolvers, critically safe tanks (e.g.

small diameter, annular or slab tanks)

specially designed or prepared for the

dissolution of irradiated ‘‘nuclear reactor’’

fuel, which are capable of withstanding hot,

highly corrosive liquids, and which can be

remotely loaded and maintained;

c. Counter-current solvent extractors and

ion-exchange processing equipment specially

designed or prepared for use in a plant for

the reprocessing of irradiated ‘‘natural

uranium’’, ‘‘depleted uranium’’ or ‘‘special

fissile materials’’ and ‘‘other fissile

materials’’;

d. Process control instrumentation

specially designed or prepared for

monitoring or controlling the reprocessing of

irradiated ‘‘natural uranium’’, ‘‘depleted

uranium’’ or ‘‘special fissile materials’’ and

‘‘other fissile materials’’;

e. Holding or storage vessels specially

designed to be critically safe and resistant to

the corrosive effects of nitric acid;

Note: Critically safe tanks may have the

following features:

1. Walls or internal structures with a boron

equivalent of at least two percent;

2. A maximum diameter or 175 mm for

cylindrical vessels; or

3. A maximum width of 75 mm for either

a slab or annular vessel.

f. Complete systems specially designed or

prepared for the conversion of plutonium

nitrate to plutonium oxide;

g. Complete systems specially designed or

prepared for the production of plutonium

metal.

Note: Plant for the reprocessing of

irradiated ‘‘nuclear reactor’’ fuel elements

includes equipment and components which

normally come into direct contact with and

directly control the irradiated fuel and the

major nuclear material and fission product

processing streams.

0B008 Equipment for ‘‘nuclear reactors’’.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $ value

GBS: N/A

CIV: N/A
2464 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Simulators specially designed for

‘‘nuclear reactors’’;

b. Ultrasonic or eddy current test

equipment specially designed for ‘‘nuclear

reactors’’.

0B009 Plant for the conversion of uranium

and equipment specially designed or

prepared therefor, as follows (see List of

Items Controlled).

License Requirements

Reason for Control:

Control(s): Items described in 0B009 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Systems for the conversion of

uranium ore concentrates to UO3;

b. Systems for the conversion of UO3 to

UF6;

c. Systems for the conversion of UO3 to

UO2;

d. Systems for the conversion of UO2 to

UF4;

e. Systems for the conversion of UF4 to

UF6;

f. Systems for the conversion of UF4 to

uranium metal;

g. Systems for the conversion of UF6 to

UO2;

h. Systems for the conversion of UF6 to

UF4.

0B986 Equipment specially designed for

manufacturing shotgun shells; and

ammunition hand-loading equipment for

both cartridges and shotgun shells.

License Requirements

Reason for Control: UN

Control(s): UN applies to entire entry. A

license is required for items controlled by

this entry to Cuba, Libya, North Korea and

Rwanda. The Commerce Country Chart is

not designed to determine licensing

requirements for this entry. See part 746 of

the EAR for additional information

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

C. Materials

0C001 ‘‘Natural uranium’’ or ‘‘depleted

uranium’’ or thorium in the form of metal,

alloy, chemical compound or concentrate

and any other material containing one or

more of the foregoing.

License Requirements

Reason for Control:

Control(s): Items described in 0C001 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: (1) See also 1A290. (2) This

entry does not control: (a) Four grams or

less of ‘‘natural uranium’’ or ‘‘depleted

uranium’’ when contained in a sensing

component in instruments (see 10 CFR part

110); or (b) ‘‘Depleted uranium’’ specially

fabricated for the following civil nonnuclear applications: Shielding; Packaging;

Ballasts; or Counter-weights

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0C002 ‘‘Special fissile materials’’ and

‘‘other fissile materials’’; except, four

‘‘effective grams’’ or less when contained in

a sensing component in instruments.

License Requirements

Reason for Control:

Control(s): Items described in 0C002 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The List of Items Controlled is

Contained in the ECCN heading

0C004 Deuterium, heavy water, deuterated

paraffins and other compounds of

deuterium, and mixtures and solutions

containing deuterium, in which the isotopic

ratio of deuterium to hydrogen exceeds

1:5000.

License Requirements

Reason for Control:

Control(s): Items described in 0C004 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0C005 Graphite, nuclear-grade, having a

purity level of less than 5 parts per million

‘‘boron equivalent’’ and with a density

greater than 1.5 g/cm 3.

License Requirements

Reason for Control:

Control(s): Items described in 0C005 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0C006 Nickel powder or porous nickel

metal, specially prepared for the

manufacture of gaseous diffusion barriers,

as follows (see List of Items Controlled).

License Requirements

Reason for Control:

Control(s): Items described in 0C006 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: See also 1C240

Related Definitions: N/A

Items: a. Powder with a nickel purity content

of 99.9 weight percent or more and a mean

particle size of less than 10 micrometers

measured by American Society for Testing

and Materials (ASTM) B330 standard and

a high degree of particle size uniformity; or

b. Porous nickel metal produced from

materials specified in 0C006.a.

0C201 Specially prepared compounds or

powders, other than nickel, resistant to

corrosion by UF6 (e.g. aluminum oxide and

fully fluorinated hydrocarbon polymers), for

the manufacture of gaseous diffusion

barriers, having a purity of 99.9 weight

percent or more and a mean particle size of

less than 10 micrometers measured by

American Society for Testing and Materials

(ASTM) B330 standard and a high degree of

particle size uniformity.

License Requirements

Reason for Control:

Control(s): Items described in 0C201 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2465

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

D. Software

0D001 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

‘‘production’’ or ‘‘use’’ of goods controlled

by this Category.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to ‘‘software’’

for items controlled by

0B003.

NP Column 1

NP applies to ‘‘software’’

for items controlled by

0B008.

NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) ‘‘Software’’ for items

controlled by 0A001, 0A002, 0B001,

0B002, 0B004, 0B005, 0B006, 0B009,

0C001, 0C002, 0C004, 0C005, 0C006, and

0C201 are subject to the export licensing

authority of the Nuclear Regulatory

Commission (see 10 CFR part 110). (2)

‘‘Software’’ for items controlled by 0A002

are subject to the export licensing authority

of the U.S. Department of State, Office of

Defense Trade Controls (see 22 CFR part

121)

Related Definitions: N/A

Items: The List of Items Controlled is

contained in the ECCN heading

E. Technology

0E001 ‘‘Technology’’ according to the

Nuclear Technology Note for the

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

items controlled by this Category.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to ‘‘technology’’ for items controlled by 0B003.NP Column 1

NP applies to ‘‘technology’’ for items controlled by 0B008.NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: ‘‘Technology’’ for items

controlled by 0A001, 0A002, 0B001,

0B002, 0B004, 0B005, 0B006, 0B009,

0C001, 0C002, 0C004, 0C005, 0C006, and

0C201 are subject to the export licensing

authority of the Department of Energy (see

10 CFR part 810)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0E018 ‘‘Technology’’ for the

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

items controlled by 0A018.b through

0A018.e.

License Requirements

Reason for Control: NS, AT, UN

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

UN applies to entire entry Rwanda

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

0E984 ‘‘Technology’’ for the

‘‘development’’ or ‘‘production’’ of

shotguns controlled by 0A984 and

buckshot shotgun shells.

License Requirements

Reason for Control: CC, UN

Control(s) Country Chart

CC applies to ‘‘technology’’ for shotguns

with a barrel length

over 18 in. (45.72 cm)

but less than 24 in.

(60.96 cm) and shotgun

shells, regardless of

end-user.

CC Column 1

CC applies to ‘‘technology’’ for shotguns

with a barrel length

over 24 in. (60.96 cm),

regardless of end-user.

CC Column 2

CC applies to ‘‘technology’’ for shotguns

with a barrel length

over 24 in. (60.96 cm) if

for sale or resale to police or law enforcement.

CC Column 3

UN applies to entire entry Rwanda

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

EAR99 Items subject to the EAR that are

not elsewhere specified in this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

Category 1—Materials, Chemicals,

‘‘Microorganisms’’ & ‘‘Toxins’’

A. Systems, Equipment and Components

1A001 Components made from fluorinated

compounds, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: Items specially designed or

modified for missiles or for items on the

U.S. Munitions List are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls (see 22 CFR part 121.)

Related Definitions: N/A

Items: a. Seals, gaskets, sealants or fuel

bladders specially designed for ‘‘aircraft’’ or

aerospace use made from more than 50% by

weight of any of the materials controlled by

1C009.b or 1C009.c;

b. Piezoelectric polymers and copolymers

made from vinylidene fluoride materials

controlled by 1C009.a:

b.1. In sheet or film form; and

b.2. With a thickness exceeding 200 μm;

c. Seals, gaskets, valve seats, bladders or

diaphragms made from fluoroelastomers

containing at least one vinylether monomer,

specially designed for ‘‘aircraft’’, aerospace or

missile use.

1A002 ‘‘Composite’’ structures or

laminates, having any of the following (see

List of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

Control(s) Country Chart

NS applies to entire entry

except finished or semifinished items specially

designed for purely civilian applications as

follows: sporting goods,

automotive industry,

machine tool industry,

and medical applications.

NS Column 2

NP applies to 1A002.b.1

in the form of tubes

with an inside diameter

between 75 mm and 400

mm.

NP Column 1

AT applies to entire entry AT Column 1
2466 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $1500; N/A for ‘‘composite’’ structures

or laminates controlled by 1A002.a, having

an organic ‘‘matrix’’ and made from

materials controlled by 1C010.c or 1C010.d

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: (1) See also 1A202, 9A010,

and 9A110. (2) This entry does not control

‘‘composite’’ structures or laminates made

from epoxy resin impregnated carbon

‘‘fibrous or filamentary materials’’ for the

repair of aircraft structures of laminates,

provided that the size does not exceed one

square meter (1 m2)

Related Definitions: N/A

Items: a. An organic ‘‘matrix’’ and made from

materials controlled by 1C010.c, 1C010.d or

1C010.e; or

b. A metal or carbon ‘‘matrix’’ and made

from:

b.1. Carbon ‘‘fibrous or filamentary

materials’’ with:

b.1.a. A ‘‘specific modulus’’ exceeding

10.15 x 106 m; and

b.1.b. A ‘‘specific tensile strength’’

exceeding 17.7 x 104 m; or

b.2. Materials controlled by 1C010.c.

Technical Notes: (1) Specific modulus:

Young’s modulus in pascals, equivalent to

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

measured at a temperature of (296±2) K

((23±2) C) and a relative humidity of

(50±5)%. (2) Specific tensile strength:

ultimate tensile strength in pascals,

equivalent to N/m2 divided by specific

weight in N/m3, measured at a temperature

of (296±2) K ((23±2) C) and a relative

humidity of (50±5)%.

1A003 Manufactures of non-fluorinated

polymeric substances controlled by

1C008.a.3 in film, sheet, tape or ribbon form

with either of the following characteristics

(see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $200

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: This entry does not control

manufactures when coated or laminated

with copper and designed for the

production of electronic printed circuit

boards

Related Definitions: N/A

Items: a. With a thickness exceeding 0.254

mm; or

b. Coated or laminated with carbon,

graphite, metals or magnetic substances′

1A004 Protective and detection equipment

and components, not specially designed for

military use. (These items are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

1A005 Body armor, and specially

designed components therefor, not

manufactured to military standards or

specifications, nor to their equivalents in

performance.

License Requirements

Reason for Control: NS, UN, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

UN applies to entire entry. A license is required for items controlled by this entry

to Cuba, Libya, North Korea and Rwanda.

The Commerce Country Chart is not designed to determine licensing requirements for this entry. See part 746 of the

EAR for additional information.

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) Bulletproof and bullet

resistant vests (body armor) NIJ levels III

and IV, are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. (See 22

CFR part 121.) (2) This entry does not

control individual suits of body armor and

accessories therefor, when accompanying

their users for his/her own personal

protection. (3) This entry does not control

body armor designed to provide frontal

protection only from both fragment and

blast from non-military explosive devices

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1A102 Resaturated pyrolized carboncarbon materials designed for ‘‘missiles’’.

(These items are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

See 22 CFR part 121.)

1A202 Composite structures, other than

those controlled by 1A002, in the form of

tubes with an inside diameter of between 75

mm and 400 mm made with any of the

‘‘fibrous or filamentary materials’’ specified

in 1C210.a or with carbon prepreg materials

controlled by 1C210.c.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: See also 9A010 and 9A110

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1A225 Platinized catalysts specially

designed or prepared for promoting the

hydrogen isotope exchange reaction

between hydrogen and water for the

recovery of tritium from heavy water or for

the production of heavy water.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1A226 Specialized packings for use in

separating heavy water from ordinary water

and made of phosphor bronze mesh

(chemically treated to improve wettability)

and designed for use in vacuum distillation

towers.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1A227 High-density (lead glass or other)

radiation shielding windows greater than

0.09 m2 on cold area and with a density

greater than 3 g/cm3 and a thickness of 100

mm or greater; and specially designed

frames therefor.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2467

List of Items Controlled

Unit: $ value

Related Controls: Nuclear equipment is also

subject to the export licensing authority of

the Nuclear Regulatory Commission. (See

10 CFR part 110.)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1A290 Depleted uranium (any uranium

containing less than 0.711% of the isotope

U–235) in shipments of more than 1,000

kilograms in the form of shielding

contained in X-ray units, radiographic

exposure or teletherapy devices,

radioactive thermoelectric generators, or

packaging for the transportation of

radioactive materials.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: (1) This entry does not

control depleted uranium in fabricated

forms for use in munitions. See 22 CFR

part 121 for depleted uranium subject to

the export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. (2) Depleted uranium that

is not fabricated for use in munitions or

fabricated into commodities solely to take

advantage of its high density (e.g., aircraft,

ship, or other counterweights) or in the

forms listed in this entry are subject to the

export licensing authority of the Nuclear

Regulatory Commission. (See 10 CFR part

110.) (3) See also 0C001

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1A984 Chemical agents, including tear gas

formulation containing 1 percent or less of

orthochlorobenzalmalononitrile (CS), or 1

percent or less of chloroacetophenone

(CN), except in individual containers with a

net weight of 20 grams or less; smoke

bombs; non-irritant smoke flares, canisters,

grenades and charges; other pyrotechnic

articles having dual military and

commercial use; and fingerprinting

powders, dyes and inks.

License Requirements

Reason for Control: CC

Control(s) Country Chart

CC applies to entire entry CC Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

B. Test, Inspection and Production

Equipment

1B001 Equipment for the production of

fibers, prepregs, preforms or ‘‘composites’’

controlled by 1A002 or 1C010, and specially

designed components and accessories

therefor.

License Requirements

Reason for Control: NS, MT, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to entire

entry, except 1B001.d.4

and .f.

MT Column 1

NP applies to filament

winding machines described in 1B001.a that

are capable of winding

cylindrical rotors having

a diameter between 75

mm (3 in) and 400 mm

(16 in) and lengths of

600 mm (24 in) or greater; and coordinating and

programming controls

and precision mandrels

for these filament winding machines.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A for MT and for 1B001.a; $5,000 for

all other items

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 1B101 and 1B201;

and for accelerators and systems

containing accelerators see 3A101

Related Definitions: N/A

Items: a. Filament winding machines of

which the motions for positioning, wrapping

and winding fibers are coordinated and

programmed in three or more axes, specially

designed for the manufacture of ‘‘composite’’

structures or laminates from ‘‘fibrous or

filamentary materials’’;

b. Tape-laying or tow-placement machines

of which the motions for positioning and

laying tape, tows or sheets are coordinated

and programmed in two or more axes,

specially designed for the manufacture of

‘‘composite’’ airframe or ‘‘missile’’ structures;

c. Multidirectional, multidimensional

weaving machines or interlacing machines,

including adapters and modification kits, for

weaving, interlacing or braiding fibers to

manufacture ‘‘composite’’ structures;

Note: 1B001.c does not control textile

machinery not modified for the above enduses.

d. Equipment specially designed or

adapted for the production of reinforcement

fibers, as follows:

d.1. Equipment for converting polymeric

fibers (such as polyacrylonitrile, rayon, pitch

or polycarbosilane) into carbon fibers or

silicon carbide fibers, including special

equipment to strain the fiber during heating;

d.2. Equipment for the chemical vapor

deposition of elements or compounds on

heated filamentary substrates to manufacture

silicon carbide fibers;

d.3. Equipment for the wet-spinning of

refractory ceramics (such as aluminum

oxide);

d.4. Equipment for converting aluminum

containing precursor fibers into alumina

fibers by heat treatment;

e. Equipment for producing prepregs

controlled by 1C010.e by the hot melt

method;

f. Non-destructive inspection equipment

capable of inspecting defects three

dimensionally, using ultrasonic or X-ray

tomography and specially designed for

‘‘composite’’ materials.

1B002 Systems and components therefor,

specially designed to avoid contamination

and specially designed for producing metal

alloys, metal alloy powder or alloyed

materials controlled by 1C002.a.2, 1C002.b

or 1C002.c.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1B003 Tools, dies, molds or fixtures, for

‘‘superplastic forming’’ or ‘‘diffusion

bonding’’ titanium or aluminum or their

alloys, specially designed for the

manufacture of (see List of Items

Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; components in

$ value

Related Controls: For specially designed

production equipment of systems, subsystems and components controlled by

9A005 to 9A009, 9A011, 9A101, 9A105 to

9A109, 9A111, and 9A116 to 9A120 usable

in ‘‘missiles’’, see 9B115.

Related Definitions: N/A

Items: a. Airframe or aerospace structures;

b. ‘‘Aircraft’’ or aerospace engines; or
2468 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

c. Specially designed components for those

structures or engines.

1B018 Equipment on the International

Munitions List.

License Requirements

Reason for Control: NS, MT, RS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to equipment

for the ‘‘production’’ of

rocket propellants.

MT Column 1

RS applies to 1B018.a ....... RS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000 for 1B018.a for countries

WITHOUT an ‘‘X’’ in RS; Column 2 on the

Country Chart contained in Supplement

No. 1 to part 738 of the EAR; $5000 for

1B018.b

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Equipment for the ‘‘production’’ of

military explosives and solid propellants.

a.1. Complete installations;

a.2. Specialized components (for example,

dehydration presses; extrusion presses for the

extrusion of small arms, cannon and rocket

propellants; cutting machines for the sizing

of extruded propellants; sweetie barrels

(tumblers) 6 feet and over in diameter and

having over 500 pounds product capacity;

and continuous mixers for solid propellants);

or

a.3. Nitrators, continuous types; and

a.4. Specially designed parts and

accessories therefor.

b. Environmental chambers capable of

pressures below (10¥4) Torr, and specially

designed components therefor.

1B101 Equipment, other than that

controlled by 1B001, for the ‘‘production’’ of

structural composites, and specially

designed components and accessories

therefor.

License Requirements

Reason for Control: MT, NP, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

NP applies to 1B101.a

only.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 1B201

Related Definitions: Components and

accessories controlled by this entry include

molds, mandrels, dies, fixtures and tooling

for the preform processing, curing, casting,

sintering or bonding of composite

structures, laminates and manufactures

thereof

Items: a. Filament winding machines of

which the motions for positioning, wrapping

and winding fibers can be coordinated and

programmed in three or more axes, designed

to fabricate composite structures or laminates

from fibrous or filamentary materials, and

coordinating and programming controls;

b. Tape-laying machines of which the

motions for positioning and laying tape and

sheets can be coordinated and programmed

in two or more axes, designed for the

manufacture of composite airframe and

‘‘missile’’ structures;

c. Equipment designed or modified for the

‘‘production’’ of ‘‘fibrous or filamentary

materials’’ as follows:

c.1. Equipment for converting polymeric

fibers (such as polyacrylonitrile, rayon or

polycarbosilane) including special provision

to strain the fiber during heating;

c.2. Equipment for the vapor deposition of

elements or compounds on heated filament

substrates; and

c.3. Equipment for the wet-spinning of

refractory ceramics (such as aluminum

oxide);

d. Equipment designed or modified for

special fiber surface treatment or for

producing prepregs and preforms controlled

by 9A110.

Note: Equipment covered in 1B101.d

includes but is not limited to, rollers, tension

stretchers, coating equipment, cutting

equipment and clicker dies.

1B115 Equipment for the ‘‘production’’,

handling and acceptance testing of

propellants or propellant constituents

controlled by 1C011, 1C111 or on the U.S.

Munitions List, and specially designed

components therefor.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; components in

$ value

Related Controls: (1) The only batch or

continuous mixers controlled by this entry

are those which have provision for mixing

under vacuum in the range of zero to

13.326 kPa and with a temperature control

capacity of the mixing chamber: (a) Batch

mixers having a total volumetric capacity

of 110 liters or more and at least one

mixing/kneeding shaft mounted off center;

(b) Continuous mixers having two or more

mixing/kneeding shafts and capability to

open the mixing chamber. (2) For

equipment specially designed for the

production of military propellants or

propellant consistuents, see the U.S.

Munitions List. (3) This entry does control

equipment for the ‘‘production’’, handling

and acceptance testing of boron carbide

Related Definitions: N/A.

Items: The list of items controlled is

contained in the ECCN heading

1B116 Specially designed nozzles for

producing pyrolitically derived materials

formed on a mold, mandrel or other

substrate from precursor gases which

decompose in the 1,573 K (1,300 ≥C) to

3,173 K (2,900 ≥C) temperature range at

pressures of 130 Pa to 20 kPa.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1B201 Filament winding machines, other

than those controlled by 1B001 or 1B101, in

which the motions for positioning,

wrapping, and winding fibers are

coordinated and programmed in two or

more axes, specially designed to fabricate

composite structures or laminates from

‘‘fibrous or filamentary materials’’ and

capable of winding cylindrical rotors of

diameter between 75 mm and 400 mm and

lengths of 600 mm or greater and

coordinating and programming controls

and precision mandrels therefor.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1B225 Electrolytic cells for fluorine

production with a production capacity

greater than 250 g of fluorine per hour.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2469

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1B226 Electromagnetic isotope

separators, designed for or equipped with,

single or multiple ion sources capable of

providing a total ion beam current of 50 mA

or greater.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: This entry includes

separators capable of enriching stable

isotopes and separators with the ion

sources and collections both in the

magnetic field and those configurations in

which they are external to the field

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1B227 Ammonia synthesis converters or

ammonia synthesis units in which the

synthesis gas (nitrogen and hydrogen) is

withdrawn from an ammonia/hydrogen

high-pressure exchange column and the

synthesized ammonia is returned to that

column.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definition: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1B228 Hydrogen-cryogenic distillation

columns having all of the characteristics

(see List of Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: Heavy water production

equipment is also subject to the export

licensing authority of the Nuclear

Regulatory Commission. (See 10 CFR part

110.)

Related Definitions: ‘‘Fine-grain stainless

steels’’ in this entry are defined to be finegrain austenitic stainless steels with an

ASTM (or equivalent standard) grain size

number of 5 or greater

Items: a. Designed to operate with internal

temperatures of 35 K (¥238 °C) or less;

b. Designed to operate at an internal

pressure of 0.5 to 5 MPa (5 to 50

atmospheres);

c. Constructed of ‘‘fine-grain stainless

steels’’ of the 300 series with low sulphur

content or equivalent cryogenic and H2-

compatible materials; and

d. With internal diameters of 1 m or greater

and effective lengths of 5 m or greater.

1B229 Water-hydrogen sulphide exchange

tray columns constructed from fine carbon

steel with a diameter of 1.8 m or greater,

which can operate at a nominal pressure of

2 MPa or greater, and internal contactors

therefor.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) See 0B004 for columns

which are specially designed or prepared

for the production of heavy water. These

items are controlled on the NSG Trigger

List (INFCIRC/254/part (2) See 10 CFR part

110 for heavy water production equipment

subject to the export licensing authority of

the Nuclear Regulatory Commission

Related Definition: (1) This entry includes

internal contactors of the columns are

segmented trays with an effective

assembled diameter of 1.8 m (6 ft.) or

greater, are designed to facilitate

countercurrent contacting and constructed

of materials resistant to corrosion by

hydrogen sulfide/water mixtures. These

may be sieve trays, valve trays, bubble cap

trays or turbogrid trays. (2) Fine carbon

steel in this entry is defined to be steel

with the austenitic ASTM (or equivalent

standard) grain size number of 5 or greater.

(3) Materials resistant to corrosion by

hydrogen sulfide/water mixtures in this

entry are defined to be stainless steels with

a carbon content of 0.03% or less

Items: The list of items controlled is

contained in the ECCN heading

1B230 Pumps circulating solutions of

diluted or concentrated potassium amide

catalyst in liquid ammonia (KNH2/NH3), with

all of the characteristics (see List of Items

Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: Heavy water production

equipment is also subject to the export

licensing authority of the Nuclear

Regulatory Commission. (See 10 CFR part

110.)

Related Definitions: N/A

Items: a. Airtight (i.e., hermetically sealed);

b. For concentrated potassium amide

solutions (1% or greater), operating pressure

of 1.5–60 MPa (15–600 atmospheres); for

dilute potassium amide solutions (less than

1%), operating pressure of 20–60 MPa (200–

600 atmospheres); and

c. A capacity greater than 8.5 m3/hr.

1B231 Tritium facilities, plant or

equipment, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: This entry does not control

tritium, tritium compounds, and mixtures

containing tritium, or products or devices

thereof. See 10 CFR part 110 for tritium

subject to the export licensing authority of

the Nuclear Regulatory Commission

Related Definitions: N/A

Items: a. Facilities or plant for the

production, recovery, extraction,

concentration, or handling of tritium;

b. Equipment for tritium facilities or plant,

as follows:

b.1. Hydrogen or helium refrigeration units

capable of cooling to 23 K (¥250 C) or less,

with heat removal capacity greater than 150

watts; or

b.2. Hydrogen isotope storage and

purification systems using metal hydrides as

the storage, or purification medium.

1B232 Turboexpanders or turboexpandercompressor sets designed for operation

below 35 K (Ø238≥ C) and a throughput of

hydrogen gas of 1000 kg/hr or greater.

License Requirements
2470 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1B233 Lithium isotope separation

facilities, plant or equipment, as follows

(see List of Items Controlled).

License Requirements

Reason for Control:

Control(s): Items described in 1B233 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Facilities or plant for the separation

of lithium isotopes;

b. Equipment for the separation of lithium

isotopes, as follows:

b.1. Packed liquid-liquid exchange

columns specially designed for lithium

amalgams;

b.2. Mercury and/or lithium amalgam

pumps;

b.3. Lithium amalgam electrolysis cells;

b.4. Evaporators for concentrated lithium

hydroxide solution.

C. Materials

Technical Note: Metals and alloys: Unless

provision to the contrary is made, the words

‘‘metals’’ and ‘‘alloys’’ in 1C001 to 1C012

cover crude and semi-fabricated forms, as

follows:

Crude forms: Anodes, balls, bars (including

notched bars and wire bars), billets, blocks,

blooms, brickets, cakes, cathodes, crystals,

cubes, dice, grains, granules, ingots, lumps,

pellets, pigs, powder, rondelles, shot, slabs,

slugs, sponge, sticks;

Semi-fabricated forms (whether or not

coated, plated, drilled or punched):

a. Wrought or worked materials fabricated

by rolling, drawing, extruding, forging,

impact extruding, pressing, graining,

atomizing, and grinding, i.e.: angles,

channels, circles, discs, dust, flakes, foils and

leaf, forging, plate, powder, pressings and

stampings, ribbons, rings, rods (including

bare welding rods, wire rods, and rolled

wire), sections, shapes, sheets, strip, pipe and

tubes (including tube rounds, squares, and

hollows), drawn or extruded wire;

b. Cast material produced by casting in

sand, die, metal, plaster or other types of

molds, including high pressure castings,

sintered forms, and forms made by powder

metallurgy.

The object of the control should not be

defeated by the export of non-listed forms

alleged to be finished products but

representing in reality crude forms or semifabricated forms.

1C001 Materials specially designed for

use as absorbers of electromagnetic waves,

or intrinsically conductive polymers, as

follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: See also 1C101

Related Definitions: N/A

Items: a. Materials for absorbing frequencies

exceeding 2×108 Hz but less than 3×1012 Hz.

Notes: 1. 1C001.a does not control:

a. Hair type absorbers, constructed of

natural or synthetic fibers, with nonmagnetic loading to provide absorption;

b. Absorbers having no magnetic loss and

whose incident surface is non-planar in

shape, including pyramids, cones, wedges

and convoluted surfaces;

c. Planar absorbers, having all of the

following characteristics:

1. Made from any of the following:

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

materials, including binders, providing more

than 5% echo compared with metal over a

bandwidth exceeding ±15% of the center

frequency of the incident energy, and not

capable of withstanding temperatures

exceeding 450 K (177° C); or

b. Ceramic materials providing more than

20% echo compared with metal over a

bandwidth exceeding ±15% of the center

frequency of the incident energy, and not

capable of withstanding temperatures

exceeding 800 K (527° C);

Technical Note: Absorption test samples

for 1C001.a. Note 1.c.1 should be a square at

least 5 wavelengths of the center frequency

on a side and positioned in the far field of

the radiating element.

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

and

3. Compressive strength less than 14×106

N/m2;

d. Planar absorbers made of sintered ferrite,

having:

1. A specific gravity exceeding 4.4; and

2. A maximum operating temperature of

548 K (275° C).

Note 2: Nothing in 1C001.a releases

magnetic materials to provide absorption

when contained in paint.

b. Materials for absorbing frequencies

exceeding 1.5×1014 Hz but less than 3.7×10 14

Hz and not transparent to visible light;

c. Intrinsically conductive polymeric

materials with a bulk electrical conductivity

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

a sheet (surface) resistivity of less than 100

ohms/square, based on any of the following

polymers:

c.1. Polyaniline;

c.2. Polypyrrole;

c.3. Polythiophene;

c.4. Poly phenylene-vinylene; or

c.5. Poly thienylene-vinylene.

Technical Note: Bulk electrical

conductivity and sheet (surface) resistivity

should be determined using ASTM D–257 or

national equivalents.

1C002 Metal alloys, metal alloy powder

and alloyed materials, as follows (see List

of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

NP applies to 1C002.a.2.c

or a.2.d if they exceed

the parameters stated in

1C202.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: See also 1C202. This entry

does not control metal alloys, metal alloy

powder or alloyed materials for coating

substrates

Related Definition: N/A

Items: a. Metal alloys, as follows:

a.1. Nickel or titanium-based alloys in the

form of aluminides, as follows, in crude or

semi-fabricated forms:

a.1.a. Nickel aluminides containing a

minimum of 15 weight percent aluminum, a

maximum of 38 weight percent aluminum

and at least one additional alloying element;

a.1.b. Titanium aluminides containing 10

weight percent or more aluminum and at

least one additional alloying element;

a. 2. Metal alloys, as follows, made from

metal alloy powder or particulate material

controlled by 1C002.b:

a.2.a. Nickel alloys with:

a.2.a.1. A stress-rupture life of 10,000

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

of 676 MPa; or

a.2.a.2. A low cycle fatigue life of 10,000

cycles or more at 823 K (550° C) at a

maximum stress of 1,095 MPa;

a.2.b. Niobium alloys with:

a.2.b.1. A stress-rupture life of 10,000

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

of 400 MPa; or

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

cycles or more at 973 K (700° C) at a

maximum stress of 700 MPa;

a.2.c. Titanium alloys with:
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2471

a.2.c.1. A stress-rupture life of 10,000

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

of 200 MPa; or

a.2.c.2. A low cycle fatigue life of 10,000

cycles or more at 723 K (450° C) at a

maximum stress of 400 MPa;

a.2.d. Aluminum alloys with a tensile

strength of:

a.2.d.1. 240 MPa or more at 473 K (200° C);

or

a.2.d.2. 415 MPa or more at 298 K (25° C);

a.2.e. Magnesium alloys with a tensile

strength of 345 MPa or more and a corrosion

rate of less than 1 mm/year in 3% sodium

chloride aqueous solution measured in

accordance with ASTM standard G–31 or

national equivalents;

Technical Note 1: The metal alloys in

1C002.a are those containing a higher

percentage by weight of the stated metal than

of any other element.

Technical Note 2: Stress-rupture life

should be measured in accordance with

ASTM standard E–139 or national

equivalents.

Technical Note 3: Low cycle fatigue life

should be measured in accordance with

ASTM Standard E–606 ‘‘Recommended

Practice for Constant-Amplitude Low-Cycle

Fatigue Testing’’ or national equivalents.

Testing should be axial with an average stress

ratio equal to 1 and a stress-concentration

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

defined as maximum stress minus minimum

stress divided by maximum stress.

b. Metal alloy powder or particulate

material for materials controlled by 1C002.a,

as follows:

b.1. Made from any of the following

composition systems:

Technical Note: X in the following equals

one or more alloying elements.

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

qualified for turbine engine parts or

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

manufacturing process) larger than 100 μm in

109 alloy particles;

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

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

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

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

or

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

b.2. Made in a controlled environment by

any of the following processes:

b.2.a. ‘‘Vacuum atomization’’;

b.2.b. ‘‘Gas atomization’’;

b.2.c. ‘‘Rotary atomization’’;

b.2.d. ‘‘Splat quenching’’;

b.2.e. ‘‘Melt spinning’’ and

‘‘comminution’’;

b.2.f. ‘‘Melt extraction’’ and

‘‘comminution’’; or

b.2.g. ‘‘Mechanical alloying’’;

c. Alloyed materials, in the form of

uncomminuted flakes, ribbons or thin rods

produced in a controlled environment by

‘‘splat quenching’’, ‘‘melt spinning’’ or ‘‘melt

extraction’’, used in the manufacture of metal

alloy powder or particulate material

controlled by 1C002.b.

1C003 Magnetic metals, of all types and of

whatever form, having any of the

characteristics (see List of Items

Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: a. Initial relative permeability of

120,000 or more and a thickness of 0.05 mm

or less;

Technical Note: Measurement of initial

permeability must be performed on fully

annealed materials.

b. Magnetostrictive alloys, having any of

the following characteristics:

b.1. A saturation magnetostriction of more

than 5 × 10 ¥4; or

b.2. A magnetomechanical coupling factor

(k) of more than 0.8; or

c. Amorphous or nanocrystalline alloy

strips, having all of the following

characteristics:

c.1. A composition having a minimum of

75 weight percent of iron, cobalt or nickel;

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

1.6 T or more; and

c.3. Any of the following:

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

or

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

ohm cm or more.

Technical Note: Nanocrystalline materials

in 1C003.c are those materials having a

crystal grain size of 50 nm or less, as

determined by X-ray diffraction.

1C004 Uranium titanium alloys or

tungsten alloys with a ‘‘matrix’’ based on

iron, nickel or copper, having all of the

characteristics (see List of Items

Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: a. A density exceeding 17.5 g/cm 3;

b. An elastic limit exceeding 1,250 MPa;

c. An ultimate tensile strength exceeding

1,270 Mpa; and

d. An elongation exceeding 8%.

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

conductors in lengths exceeding 100 m or

with a mass exceeding 100 g, as follows

(see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $1500

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: a. Multifilamentary ‘‘superconductive’’

‘‘composite’’ conductors containing one or

more niobium-titanium filaments:

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

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

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

0.28 × 10¥4 mm2 (6 μm in diameter for

circular filaments);

b. ‘‘Superconductive’’ ‘‘composite’’

conductors consisting of one or more

‘‘superconductive’’ filaments other than

niobium-titanium, having all of the

following:

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

magnetic induction exceeding 9.85 K

(¥263.31° C) but less than 24 K (¥249.16°

C);

b.2. A cross-section area less than 0.28 ×

10¥4 mm2; and

b.3. Remaining in the ‘‘superconductive’’

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

when exposed to a magnetic field

corresponding to a magnetic induction of 12

T.

1C006 Fluids and lubricating materials, as

follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Barrels (55 U.S. gallons/ 209 liters)

Related Controls: N/A

Related Definitions: N/A

Items: a. Hydraulic fluids containing, as their

principal ingredients, any of the following

compounds or materials:

a.1. Synthetic hydrocarbon oils or

silahydrocarbon oils, having all of the

following:

Note: For the purpose of 1C006.a.1,

silahydrocarbon oils contain exclusively

silicon, hydrogen and carbon.

a.1.a. A flash point exceeding 477 K (204°

C);
2472 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

a.1.b. A pour point at 239 K (¥34° C) or

less;

a.1.c. A viscosity index of 75 or more; and

a.1.d. A thermal stability at 616 K (343° C);

or

a.2. Chlorofluorocarbons, having all of the

following:

Note: For the purpose of 1C006.a.2,

chlorofluorocarbons contain exclusively

carbon, fluorine and chlorine.

a.2.a. No flash point;

a.2.b. An autogenous ignition temperature

exceeding 977 K (704° C);

a.2.c. A pour point at 219 K (¥54° C) or

less;

a.2.d. A viscosity index of 80 or more; and

a.2.e. A boiling point at 473 K (200° C) or

higher;

b. Lubricating materials containing, as their

principal ingredients, any of the following

compounds or materials:

b.1. Phenylene or alkylphenylene ethers or

thio-ethers, or their mixtures, containing

more than two ether or thio-ether functions

or mixtures thereof; or

b.2. Fluorinated silicone fluids with a

kinematic viscosity of less than 5,000 mm2/

s (5,000 centistokes) measured at 298 K (25°

C);

c. Damping or flotation fluids with a purity

exceeding 99.8%, containing less than 25

particles of 200 μm or larger in size per 100

ml and made from at least 85% of any of the

following compounds or materials:

c.1. Dibromotetrafluoroethane;

c.2. Polychlorotrifluoroethylene (oily and

waxy modifications only); or

c.3. Polybromotrifluoroethylene;

d. Fluorocarbon electronic cooling fluids,

having all of the following characteristics:

d.1. Containing 85% by weight or more of

any of the following, or mixtures thereof:

d.1.a. Monomeric forms of

perfluoropolyalkylether-triazines or

perfluoroaliphatic-ethers;

d.1.b. Perfluoroalkylamines;

d.1.c. Perfluorocycloalkanes; or

d.1.d. Perfluoroalkanes;

d.2. Density at 298 K (25° C) of 1.5 g/ml

or more;

d.3. In a liquid state at 273 K (0° C); and

d.4. Containing 60% or more by weight of

fluorine.

Technical Note: For the purpose of 1C006:

a. Flash point is determined using the

Cleveland Open Cup Method described in

ASTM D–92 or national equivalents;

b. Pour point is determined using the

method described in ASTM D–97 or national

equivalents;

c. Viscosity index is determined using the

method described in ASTM D–2270 or

national equivalents;

d. Thermal stability is determined by the

following test procedure or national

equivalents:

Twenty ml of the fluid under test is placed

in a 46 ml type 317 stainless steel chamber

containing one each of 12.5 mm (nominal)

diameter balls of M–10 tool steel, 52100 steel

and naval bronze (60% Cu, 39% Zn, 0.75%

Sn);

The chamber is purged with nitrogen,

sealed at atmospheric pressure and the

temperature raised to and maintained at 644

± 6 K (371 ± 6° C) for six hours;

The specimen will be considered thermally

stable if, on completion of the above

procedure, all of the following conditions are

met:

1. The loss in weight of each ball is less

than 10 mg/mm2 of ball surface;

2. The change in original viscosity as

determined at 311 K (38° C) is less than 25%;

and

3. The total acid or base number is less

than 0.40;

e. Autogenous ignition temperature is

determined using the method described in

ASTM E–659 or national equivalents.

1C007 Ceramic base materials, non-

‘‘composite’’ ceramic materials, ceramic-

‘‘matrix’’ ‘‘composite’’ materials and

precursor materials, as follows (see List of

Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2.

MT applies to items in

1C007.d and .f when the

dielectric constant is

less than 6 at frequencies from 100 Hz to

10,000 MHz for use in

missile radomes.

MT Column 1.

AT applies to entire entry AT Column 1.

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $5000, except N/A for MT and for

1C007.e

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: See also 1C107

Related Definitions: N/A

Items: a. Base materials of single or complex

borides of titanium having total metallic

impurities, excluding intentional additions,

of less than 5,000 ppm, an average particle

size equal to or less than 5 μm and no more

than 10% of the particles larger than 10 μm;

b. Non-‘‘composite’’ ceramic materials in

crude or semi-fabricated form, composed of

borides of titanium with a density of 98% or

more of the theoretical density;

Note: 1C007.b does not control abrasives.

c. Ceramic-ceramic ‘‘composite’’ materials

with a glass or oxide-‘‘matrix’’ and reinforced

with fibers made from any of the following

systems:

c.1. Si-N;

c.2. Si-C;

c.3. Si-Al-O-N; or

c.4. Si-O-N; having a ‘‘specific tensile

strength’’ exceeding 12.7 x 103 m;

d. Ceramic-ceramic ‘‘composite’’ materials,

with or without a continuous metallic phase,

incorporating particles, whiskers or fibers,

where carbides or nitrides of silicon,

zirconium or boron form the ‘‘matrix’’;

e. Precursor materials (i.e., special purpose

polymeric or metallo-organic materials) for

producing any phase or phases of the

materials controlled by 1C007.c, as follows:

e.1. Polydiorganosilanes (for producing

silicon carbide);

e.2. Polysilazanes (for producing silicon

nitride);

e.3. Polycarbosilazanes (for producing

ceramics with silicon, carbon and nitrogen

components);

f. Ceramic-ceramic ‘‘composite’’ materials

with an oxide or glass ‘‘matrix’’ reinforced

with continuous fibers from any of the

following systems:

f.1. Al2O3; or

f.2. Si-C-N.

Note: 1C007.f does not control

‘‘composites’’ containing fibers from these

systems with a fiber tensile strength of less

than 700 MPa at 1,273 K (1,000° C) or fiber

tensile creep resistance of more than 1%

creep strain at 100 MPa load and 1,273 K

(1,000° C) for 100 hours.

1C008 Non-fluorinated polymeric

substances, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $200

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: a. Non-fluorinated polymeric

substances, as follows:

a.1. Bismaleimides;

a.2. Aromatic polyamide-imides;

a.3. Aromatic polyimides;

a.4. Aromatic polyetherimides having a

glass transition temperature (Tg) exceeding

513 K (240° C) determined using the dry

method described in ASTM D 3418;

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

compression molding powders or molded

forms.

b. Thermoplastic liquid crystal copolymers

having a heat distortion temperature

exceeding 523 K (250° C) measured according

to ASTM D–648, method A, or national

equivalents, with a load of 1.82 N/mm2 and

composed of:

b.1. Any of the following:

b.1.a. Phenylene, biphenylene or

naphthalene; or

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

substituted phenylene, biphenylene or

naphthalene; and

b.2. Any of the following acids:

b.2.a. Terephthalic acid;

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

b.2.c. 4-hydroxybenzoic acid;

c. Polyarylene ether ketones, as follows:

c.1. Polyether ether ketone (PEEK)

c.2. Polyether ketone ketone (PEKK);

c.3. Polyether ketone (PEK);

c.4. Polyether ketone ether ketone ketone

(PEKEKK);

d. Polyarylene ketones;
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2473

e. Polyarylene sulphides, where the

arylene group is biphenylene, triphenylene

or combinations thereof;

f. Polybiphenylenethersulphone.

Technical Note: The glass transition

temperature (Tg) for 1C008 materials is

determined using the method described in

ASTM D 3418 using the dry method.

1C009 Unprocessed fluorinated

compounds, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: a. Copolymers of vinylidene fluoride

having 75% or more beta crystalline

structure without stretching;

b. Fluorinated polyimides containing 10%

by weight or more of combined fluorine;

c. Fluorinated phosphazene elastomers

containing 30% by weight or more of

combined fluorine.

1C010 ‘‘Fibrous or filamentary materials’’

which may be used in organic ‘‘matrix’’,

metallic ‘‘matrix’’ or carbon ‘‘matrix’’

‘‘composite’’ structures or laminates, as

follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

NP applies to 1C010.a

(aramid ‘‘fibrous or filamentary materials’’, .b

(carbon ‘‘fibrous and

filamentary materials’’),

and e.1 for ‘‘fibrous and

filamentary materials’’

that meet or exceed the

control criteria of ECCN

1C210.

NP Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $1500, N/A for NP

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: See also 1C210, 1C990, and

9A110 for material not controlled by

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

2. Note that some items in 1C010.e are also

controlled under 9A110

Related Definitions: (1) Specific modulus:

Young’s modulus in pascals, equivalent to

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

measured at a temperature of (296±2) K

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

(50±5)%. (2) Specific tensile strength:

ultimate tensile strength in pascals,

equivalent to N/m2 divided by specific

weight in N/m3, measured at a temperature

of (296±2) K ((23±2) C) and a relative

humidity of (50±5)%

Items: a. Organic ‘‘fibrous or filamentary

materials’’, having all of the following:

a.1. A specific modulus exceeding 12.7 x

106 m; and

a.2. A specific tensile strength exceeding

23.5 x 104 m;

Note: 1C010.a does not control

polyethylene.

b. Carbon ‘‘fibrous or filamentary

materials’’, having all of the following:

b.1. A specific modulus exceeding 12.7 x

106 m; and

b.2. A specific tensile strength exceeding

23.5 x 104 m;

Technical Note: Properties for materials

described in 1C010.b should be determined

using SACMA recommended methods SRM

12 to 17, or national equivalent tow tests,

such as Japanese Industrial Standard JIS–R–

7601, Paragraph 6.6.2, and based on lot

average.

Note: 1C010.b does not control fabric made

from ‘‘fibrous or filamentary materials’’ for

the repair of aircraft structures or laminates,

in which the size of individual sheets does

not exceed 50 cm x 90 cm.

c. Inorganic ‘‘fibrous or filamentary

materials’’, having all of the following:

c.1. A specific modulus exceeding 2.54 x

106 m; and

c.2. A melting, softening, decomposition or

sublimation point exceeding 1,922 K (1,649

°C) in an inert environment;

Note: 1C010.c does not control:

1. Discontinuous, multiphase,

polycrystalline alumina fibers in chopped

fiber or random mat form, containing 3

weight percent or more silica, with a specific

modulus of less than 10×106 m;

2. Molybdenum and molybdenum alloy

fibers;

3. Boron fibers;

4. Discontinuous ceramic fibers with a

melting, softening, decomposition or

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

°C) in an inert environment.

d. ‘‘Fibrous or filamentary materials’’:

d.1. Composed of any of the following:

d.1.a. Polyetherimides controlled by

1C008.a; or

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

1C008.f; or

d.2. Composed of materials controlled by

1C010.d.1.a or 1C010.d.1.b and

‘‘commingled’’ with other fibers controlled

by 1C010.a, 1C010.b or 1C010.c;

e. Resin-impregnated or pitch-impregnated

fibers (prepregs), metal or carbon-coated

fibers (preforms) or ‘‘carbon fiber preforms’’,

as follows:

e.1. Made from ‘‘fibrous or filamentary

materials’’ controlled by 1C010.a, 1C010.b or

1C010.c;

e.2. Made from organic or carbon ‘‘fibrous

or filamentary materials’’:

e.2.a. With a ‘‘specific tensile strength’’

exceeding 17.7x104 m;

e.2.b. With a ‘‘specific modulus’’ exceeding

10.15×106 m;

e.2.c. Not controlled by 1C010.a or

1C010.b; and

e.2.d. When impregnated with materials

controlled by 1C008 or 1C009.b, having a

glass transition temperature (Tg) exceeding

383 K (110 °C) or with phenolic or epoxy

resins, having a glass transition temperature

(Tg) equal to or exceeding 418 K (145 °C).

Notes: 1C010.e does not control:

1. Epoxy resin ‘‘matrix’’ impregnated

carbon ‘‘fibrous or filamentary materials’’

(prepregs) for the repair of aircraft structures

or laminates, in which the size of individual

sheets of prepreg does not exceed 50 cm × 90

cm;

2. Prepregs when impregnated with

phenolic or epoxy resins having a glass

transition temperature (Tg) less than 433 K

(160 °C) and a cure temperature lower than

the glass transition temperature.

Technical Note: The glass transition

temperature (Tg) for 1C010.e materials is

determined using the method described in

ASTM D 3418 using the dry method. The

glass transition temperature for phenolic and

epoxy resins is determined using the method

described in ASTM D 4065 at a frequency of

1 Hz and a heating rate of 2 K per minute

using the dry method.

1C011 Metals and compounds, as follows

(see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to 1C011.a

and .b.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: (1) See also 1C111. (2)

Items controlled by 1C011.a, and metal

fuels in particle form, whether spherical,

atomized, spheroidal, flaked or ground,

manufactured from material consisting of

99 percent or more of items controlled by

1C011.b. are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls (see 22

CFR part 121)

Related Definitions: N/A

Items: a. Metals in particle sizes of less than

60 μm whether spherical, atomized,

spheroidal, flaked or ground, manufactured

from material consisting of 99% or more of

zirconium, magnesium and alloys of these;

N.B.: The metals or alloys listed in 1C011.a

are controlled whether or not the metals or

alloys are encapsulated in aluminum,

magnesium, zirconium or beryllium.

b. Boron or boron carbide of 85% purity or

higher and a particle size of 60 μm or less;
2474 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

N.B.: The metals or alloys listed in 1C011.b

are controlled whether or not the metals or

alloys are encapsulated in aluminum,

magnesium, zirconium or beryllium.

c. Guanidine nitrate.

1C012 Materials for nuclear heat sources,

as follows (see List of Items Controlled).

License Requirements

Reason for Control:

Control(s): Items described in 1C012 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Plutonium in any form with a

plutonium isotopic assay of plutonium-238

of more than 50% by weight;

Note: 1C012.a does not control:

1. Shipments with a plutonium content of

1 g or less;

2. Shipments of 3 effective grams or less

when contained in a sensing component in

instruments.

b. Previously separated neptunium-237 in

any form.

Note: 1C012.b does not control shipments

with a neptunium-237 content of 1 g or less.

1C018 Materials on the International

Munitions List.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: Yes for items listed in Advisory Note

to 1C018

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: a. Ethyl and Methyl centralites.

b. NN-Diphenylurea (unsymmetrical

diphenylurea).

c. Methyl-NN-diphenylurea (methyl

unsymmetrical diphenylurea).

d. Ethyl-NN-diphenylurea (ethyl

unsymmetrical diphenylurea).

e. Ethyl phenyl urethane.

f. Diphenyl urethane.

g. Diortho tolyl-urethane.

h. 2-Nitrodiphenylamine.

i. p-Nitromethylaniline.

j. 2,2′ Dinitropropanol.

k. Bis(2,2′ dinitropropyl) formal and acetal.

l. 3-Nitraza-1,5 pentane diisocyanate.

m. Guanidine nitrate.

n. Hydrogen peroxide in concentrations of

85%.

o. Charges specially designed for civilian

applications, containing military explosives,

except those items described in 1C992.

Technical Note: Military high explosives

are solid, liquid or gaseous substances or

mixtures of substances that, in their

application as primary, booster, or main

charges in warheads, demolition and other

military applications, are required to

detonate.

Advisory Note: Licenses are likely to be

approved for export and reexport to

satisfactory end-users in Country Group D:1

of certain explosive substances and mixtures

in reasonable quantities for civilian or

industrial purposes when made into

cartridges or charges of an exclusively

civilian or industrial nature, such as

propellants for sporting purposes or shooting

gallery practice; cartridges for riveting guns;

and explosive charges for agricultural

purposes, public works, mines, quarries or

oil-well drilling. The following are the

substances or mixtures to which this

procedure applies:

a. Nitrate-based (40 percent or more) and

provided they do not contain more than 40

percent nitroglycol/nitroglycerin or no more

than 16 percent TNT;

b. Nitrocellulose with a nitrogen content of

over 12.2 percent;

c. Nitroglycerin;

d. Single base nitrocellulose;

e. Sodium azide and other inorganic

azides.

1C101 Materials and devices for reduced

observables such as radar reflectivity,

ultraviolet/infrared signatures and acoustic

signatures, other than those controlled by

1C001, usable in ‘‘missiles’’ and their

subsystems.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: Materials controlled by this

entry include: (a) structural materials and

coatings specially designed for reduced

radar reflectivity; (b) coatings, including

paints, specially designed for reduced or

tailored reflectivity or emissivity in the

microwave, infrared or ultraviolet spectra.

This entry does not control coatings when

specially used for the thermal control of

satellites.

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1C107 Graphite and ceramic materials,

other than those controlled by 1C007, as

follows (see List of Items Controlled).

License Requirements

Reason for Control: MT, AT.

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: a. Fine grain recrystallized bulk

graphites having a bulk density of 1.72 g/cm3

or greater, measured at 288 K (15° C), and

having a particle size of 100 micrometers or

less, pyrolytic or fibrous reinforced graphites,

usable for rocket nozzles and reentry vehicle

nose tips;

b. Ceramic composite materials (dielectric

constant less than 6 at frequencies from 100

Hz to 10,000 MHz), also usable for ‘‘missile’’

radomes, and bulk machinable siliconcarbide reinforced unfired ceramic, usable for

nose tips.

1C111 Propellants and constituent

chemicals for propellants, other than those

controlled by 1C011, as follows (see List of

Items Controlled).

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: The following materials,

whether or not encapsulated in aluminum,

beryllium, magnesium, or zirconium are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls: (See 22 CFR part

121): (a) Spherical aluminum powder with

particles of uniform diameter 60 × 10¥6 m

(60 micrometers) or less and an aluminum

content of 97 percent or greater; (b) Metals

in particle sizes less than 60 × 10¥6 m (60

microns), whether spherical, atomized,

spheroidal, flaked or ground, manufactured

from material consisting of 99 percent or

more of: boron; magnesium; zirconium;

alloys of boron, magnesium or zirconium;

beryllium; or iron powder with average

particle size of 3×10¥6 m (3 microns) or

less produced by hydrogen reduction of

iron oxide.

Related Definitions: N/A

Items: a. Propulsive substances:

a.1. Spherical aluminum powder, other

than that specified on the U.S. Munitions

List, with particles of uniform diameter of

less than 500 micrometer and an aluminum

content of 97% by weight or greater;

a.2. Metals, other than that controlled by

the U.S. Munitions List, in particle sizes of

less than 500 micrometers, whether

spherical, atomized, spheroidal, flaked or
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2475

ground, consisting 97% or more by weight of

any of the following:

a.2.a. Zirconium;

a.2.b. Beryllium;

a.2.c. Boron;

a.2.d. Magnesium; or

a.2.e. Alloys of the metals specified by

a.2.a to a.2.d above;

a.3. Liquid oxidizers, the following:

a.3.a. Dinitrogen trioxide;

a.3.b. Nitrogen dioxide/dinitrogen

tetroxide;

a.3.c. Dinitrogen pentoxide;

b. Polymeric substances:

b.1. Carboxy-terminated polybutadiene

(CTPB);

b.2. Hydroxy-terminated polybutadiene

(HTPB), other than that controlled by the

U.S. Munitions List;

b.3. Polybutadiene-acrylic acid (PBAA);

b.4. Polybutadiene-acrylic acidacrylonitrile (PBAN);

c. Other propellant additives and agents:

c.1. Butacene;

c.2. Triethylene glycol dinitrate (TEGDN);

c.3. 2-Nitrodiphenylamine;

c.4. Trimethylolethane trinitrate (TMETN);

c.5. Diethylene glycol dinitrate (DEGDN).

Note: For propellants and constituent

chemicals for propellants not controlled by

1C111, see the U.S. Munitions List.

1C116 Maraging steels (steels generally

characterized by high nickel, very low

carbon content and the use of

substitutional elements or precipitates to

produce age-hardening) having an ultimate

tensile strength of 1,500 MPa or greater,

measured at 293 K (20≥ C), in the form of

sheet, plate or tubing with a wall or plate

thickness equal to or less than 5 mm.

License Requirements

Reason for Control: MT, NP, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

NP applies to items that

meet or exceed the parameters of 1C216.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 1C216

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C117 Tungsten, molybdenum and alloys

of these metals in the form of uniform,

spherical or atomized particles of 500

micrometer diameter or less with a purity of

97% or greater for fabrication of rocket

motor components, i.e., heat shields, nozzle

substrates, nozzle throats and thrust vector

control surfaces.

License Requirements

Reason for Control: MT, AT

Control(s) Country chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C202 Alloys, other than those controlled

by 1C002.a.2.c or .d, as follows (see List of

Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definition: The phrase ‘‘alloys

capable of’’ encompasses before and after

heat treatment.

Items: a. Aluminum ‘‘alloys capable of’’ an

ultimate tensile strength of 460 Mpa or

more at 293 K (20° C), in the form of tubes

or cylindrical solid forms (including

forgings) with an outside diameter of more

than 75 mm;

b. Titanium ‘‘alloys capable of’’ an ultimate

tensile strength of 900 MPa or more at 293

K (20° C) in the form of tubes or cylindrical

solid forms (including forgings) with an

outside diameter of more than 75 mm.

1C210 ‘‘Fibrous or filamentary materials’’

or prepregs, other than those controlled by

1C010.a, .b or .e, as follows (see List of

Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: See 9A110 for fiber

prepregs.

Related Definitions: For the purpose of this

entry, the term ‘‘fibrous or filamentary

materials’’ is restricted to continuous

‘‘monofilaments’’, ‘‘yarns’’, ‘‘rovings’’,

‘‘tows’’ or ‘‘tapes’’.

Definitions for other terms used in this entry:

Filament or Monofilament is the smallest

increment of fiber, usually several μm in

diameter.

Strand is a bundle of filaments (typically

over 200) arranged approximately parallel.

Roving is a bundle (typically 12–120) of

approximately parallel strands.

Yarn is a bundle of twisted strands.

Tow is a bundle of filaments, usually

approximately parallel.

Tape is a material constructed of interlaced

or unidirectional filaments, strands,

rovings, tows or yarns, etc., usually

preimpregnated with resin.

Specific modulus is the Young’s modulus in

N/m2 divided by the specific weight in N/

m3, measured at a temperature of 23 ± 2 °C

and a relative humidity of 50 ± 5 percent.

Specific tensile strength is the ultimate

tensile strength in N/m2 divided by

specific weight in N/m3, measured at a

temperature of 23 ± 2 °C and a relative

humidity of 50 ± 5 percent.

Items: a. Carbon or aramid ‘‘fibrous or

filamentary materials’’ having a ‘‘specific

modulus’’ of 12.7 x 106 m or greater or a

‘‘specific tensile strength’’ of 235 x 103 m or

greater except Aramid ‘‘fibrous or filamentary

materials’’ having 0.25 percent or more by

weight of an ester based fibre surface

modifier;

b. Glass ‘‘fibrous or filamentary materials’’

having a ‘‘specific modulus’’ of 3.18 x 106 m

or greater and a ‘‘specific tensile strength’’ of

76.2 x 103 m or greater; or

c. Thermoset resin impregnated continuous

‘‘yarns’’, ‘‘rovings’’, ‘‘tows’’ or ‘‘tapes’’ with a

width no greater than 15 mm (prepregs),

made from carbon or glass ‘‘fibrous or

filamentary materials’’ controlled by 1C210.a

or .b.

Technical Note: The resin forms the matrix

of the composite.

1C216 Maraging steel, other than that

controlled by 1C116, capable of an ultimate

tensile strength of 2,050 MPa or more, at

293 K (20≥ C), except forms in which no

linear dimension exceeds 75 mm.

License Requirements

Reason for Control: NP, MT, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definition: The phrase ‘‘maraging

steel capable of’’ encompasses maraging

steel before or after heat treatment.

Items: The list of items controlled is

contained in the ECCN heading.

1C225 Boron and boron compounds,

mixtures and loaded materials in which the

boron-10 isotope is more than 20% by

weight of the total boron content.

License Requirements

Reason for Control: NP, AT
2476 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C226 Parts made of tungsten, tungsten

carbide, or tungsten alloys (greater than

90% tungsten) having a mass greater than

20 kg and a hollow cylindrical symmetry

(including cylinder segments) with an

inside diameter greater than 100 mm but

less than 300 mm, except parts specially

designed for use as weights or gamma-ray

collimators.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C227 Calcium (high purity) containing

both less than 1,000 parts per million by

weight of metallic impurities other than

magnesium and less than 10 parts per

million of boron.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C228 Magnesium (high purity) containing

both less than 200 parts per million by

weight of metallic impurities other than

calcium and less than 10 parts per million

of boron.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C229 High purity (99.99% or greater)

bismuth with very low silver content (less

than 10 parts per million).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C230 Beryllium metal, alloys containing

more than 50% of beryllium by weight,

beryllium compounds, or manufactures

thereof, including waste and scrap

containing beryllium metal, alloys, or

compounds.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: (1) This entry includes

waste and scrap containing beryllium

metal, alloys, or compounds. (2) This entry

does not control: (a) Metal windows for Xray machines, or for bore-hole logging

devices; (b) Oxide shapes in fabricated or

semi-fabricated forms specially designed

for electronic component parts or as

substrates for electronic circuits; and, (c)

Beryl (silicate of beryllium and aluminum)

in the form of emeralds or aquamarines.

Related Definitions: N/A.

Items: The list of items controlled is

contained in the ECCN heading.

1C231 Hafnium metal, alloys and

compounds of hafnium containing more

than 60% hafnium by weight and

manufactures thereof.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controsl: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C232 Helium-3 or helium isotopically

enriched in the helium-3 isotope, mixtures

containing helium-3, or products or devices

containing any of the foregoing, except a

product or device containing less than 1 g

of helium-3.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Liters

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C233 Lithium enriched in the 6 isotope

(6Li) to greater than 7.5 atom percent,

alloys, compounds or mixtures containing

lithium enriched in the 6 isotope, or

products or devices containing any of the

foregoing except thermoluminescent

dosimeters.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: The natural occurrence

of the 6 isotope in lithium is 7.5 atom

percent.
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2477

Items: The list of items controlled is

contained in the ECCN heading.

1C234 Zirconium with a hafnium content

of less than 1 part hafnium to 500 parts

zirconium by weight, in the form of metal,

alloys containing more than 50% zirconium

by weight, or compounds, or manufactures

wholly thereof; except zirconium in the form

of foil having a thickness not exceeding

0.10 mm.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: Zirconium metal and alloys

in the form of tubes or assemblies of tubes,

specially designed or prepared for use in

a reactor are subject to the export licensing

authority of the Nuclear Regulatory

Commission. (See 10 CFR part 110.) This

entry includes waste and scrap containing

zirconium. This entry does not control

zirconium in the form of foil or strip

having a thickness not exceeding 0.10 mm

(0.004 in.).

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C235 Tritium, tritium compounds,

mixtures containing tritium in which the

ratio of tritium to hydrogen by atoms

exceeds 1 part in 1000, or products or

devices containing any of the foregoing;

except, a product or device containing not

more than 1.48μ103 GBq (40 Ci) of tritium

in any form.

License Requirements

Reason for Control:

Control(s): Items described in 1C235 are

subject to the export licensing authority of

the Nuclear Regulatory Commission (see 10

CFR part 110).

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C236 Alpha-emitting radionuclides

having an alpha half-life of 10 days or

greater but less than 200 years, compounds

or mixtures containing any of these

radionuclides with a total alpha activity of

37 GBq/kg (1 Ci/kg) or greater, or products

or devices containing any of the foregoing,

except a product or device containing less

than 3.7 GBq (100 millicuries) of alpha

activity.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Millicuries

Related Controls: Certain alpha emitting

radionuclides are subject to the export

licensing authority of the Nuclear

Regulatory Commission. (See also 10 CFR

part 110.)

Related Definition: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C237 Radium-226, radium-226

compounds, mixtures containing radium226, or products or devices containing any

of the foregoing, except medical

applicators, or products or devices

containing not more than 0.37 GBq (10

millicuries) of radium-226 in any form.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definition: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C238 Chlorine trifluoride (ClF3).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C239 High explosives, other than those

controlled by the U.S. Munitions List, or

substances or mixtures containing more

than 2% thereof, with a crystal density

greater than 1.8 gm per cm3 and having a

detonation velocity greater than 8,000 m/s.

License Requirements

Reason for Control:

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: See also 22 CFR part 12

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C240 Nickel powder or porous nickel

metal, other than those controlled by

0C006, as follows (see List of Items

Controlled).

License Requirements

Reason for Control:

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Powder with a nickel purity content

of 99.0% by weight or greater and a mean

particle size of less than 10 micrometers

measured by American Society for Testing

and Materials (ASTM) B330 standard, except

filamentary nickel powders;

b. Porous nickel powder produced from

materials controlled by 1C240.a, except

single porous nickel sheets not exceeding

1,000 cm2 per sheet.

Note: 1C240.b refers to porous metal

formed by compacting and sintering the

materials in 1C240.a to form a metal material

with fine pores interconnected throughout

the structure.

1C350 Chemicals that may be used as

precursors for toxic chemical agents, as

follows (see List of Items Controlled).

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to entire entry CB Column 2

AT applies to entire entry AT Column 1
2478 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

License Requirement Notes

1. SAMPLE SHIPMENTS: Certain sample

shipments of chemicals controlled under

ECCN 1C350 may be made without a license,

as provided by the following:

a. Chemicals Not Eligible: The following

chemicals are not eligible for sample

shipments: 0-Ethyl-2-diisopropylaminoethyl

methylphosphonite (QL) (C.A.S. #57856–11–

8), Ethylphosphonyl difluoride (C.A.S. #753–

98–0), and Methylphosphonyl difluoride

(C.A.S. #676–99–3).

b. Countries Not Eligible: The following

countries are not eligible to receive sample

shipments: Cuba, Iran, Iraq, Libya, North

Korea, Sudan, Syria.

c. Sample Shipments: A license is not

required for sample shipments when the

cumulative total of these shipments does not

exceed a 55-gallon container or 200 kg of

each chemical to any one consignee per

calendar year. Multiple sample shipments, in

any quantity, not exceeding the totals

indicated in this paragraph may be exported

without a license, in accordance with the

provisions of this Note 1. A consignee that

receives a sample shipment under this

exclusion may not resell, transfer or reexport

the sample shipment, but may use the sample

shipment for any other legal purpose

unrelated to the chemical weapons. However,

a sample shipment received under this

exclusion remains subject to all General

Prohibitions including the end-use restriction

described in § 744.4 of the EAR.

d. The exporter is required to submit a

quarterly written report for shipments of

samples made under this Note 1. The report

must be on company letterhead stationery

(titled ‘‘Report of Sample Shipments of

Chemical Precursors’’ at the top of the first

page) and identify the chemical(s), Chemical

Abstract Service Registry (C.A.S.) number(s),

quantity(ies), the ultimate consignee’s name

and address, and the date exported. The

report must be sent to the U.S. Department

of Commerce, Bureau of Export

Administration, P.O. Box 273, Washington,

DC 20044, Attn: ‘‘Report of Sample

Shipments of Chemical Precursors’’.

2. MIXTURES: Mixtures controlled by this

entry that contain certain concentrations of

precursor and intermediate chemicals are

subject to the following licensing

requirements:

a. A license is required, regardless of the

concentrations in the mixture, for the

following chemicals: 0-Ethyl-2-

diisopropylaminoethyl methylphosphonite

(QL) (C.A.S.#57856–11–8), Ethylphosphonyl

difluoride (C.A.S.#753–98–0) and

Methylphosphonyl difluoride (C.A.S.#676–

99–3);

b. A license is required when at least one

of the following chemicals constitutes more

than 10 percent of the weight of the mixture

on a solvent free basis: Arsenic trichloride

(C.A.S.#7784–34–1), Benzilic acid

(C.A.S.#76–93–7), Diethyl ethylphosphonate

(C.A.S.#78–38–6), Diethyl

methylphosphonite (C.A.S.#15715–41–0),

Diethyl-N,N-dimethylphosphoroamidate

(C.A.S. #2404–03–7), N,N-Diisopropyl-betaaminoethane thiol (C.A.S.#5842–07–9), N,NDiisopropyl-2-aminoethyl chloride

hydrochloride (C.A.S.#4261–68–1), N,NDiisopropyl-beta-aminoethanol (C.A.S.#96–

80–0), N,N-Diisopropyl-beta-aminoethyl

chloride (C.A.S.#96–79–7), Dimethyl

ethylphosphonate (C.A.S.#6163–75–3),

Dimethyl methylphosphonate (C.A.S.#756–

79–6), Ethylphosphonous dichloride

[Ethylphosphinyl dichloride] (C.A.S.#1498–

40–4), Ethylphosphonus difluoride

[Ethylphosphinyl difluoride] (C.A.S.#430–

78–4), Ethylphosphonyl dichloride

(C.A.S.#1066–50–8), Methylphosphonous

dichloride [Methylphosphinyl dichloride]

(C.A.S.#676–83–5), Methylphosphonous

difluoride [Methylphosphinyl difluoride]

(C.A.S.#753–59–3), Methylphosphonyl

dichloride (C.A.S.#676–97–1), Pinacolyl

alcohol (C.A.S.#464–07–3), 3-Quinuclidinol

(C.A.S.#1619–34–7), and Thiodiglycol

(C.A.S.#111–48–8); (Related ECCN: 1C995)

c. A license is required when at least one

of all other chemicals in the List of Items

Controlled constitutes more than 25 percent

of the weight of the mixture on a solvent free

basis (related ECCN: 1C995); and

d. A license is not required under this

entry for mixtures when the controlled

chemical is a normal ingredient in consumer

goods packaged for retail sale for personal

use. Such consumer goods are controlled by

ECCN EAR99.

e. Calculation of concentrations of AGcontrolled chemicals.

1. Usual Commercial Purposes. In

calculating the percentage of an AG

controlled chemical in a mixture (solution),

any other chemical must be excluded if it

was not added for usual commercial

purposes, but was added for the sole purpose

of circumventing the Export Administration

Regulations.

2. ‘‘Solvent Free Basis Requirement.’’

When calculating the percentage, by weight,

of components in a chemical mixture, you

must exclude from the calculation any

component of the mixture that acts as a

solvent.

3. Solvent—For purposes of this ECCN ‘‘A

substance capable of dissolving another

substance to form a uniformly dispersed

mixture (solution)’’.

• Solvents are liquids at standard

temperature and pressure (STP).

• In no instance is an AG controlled

chemical considered a ‘‘solvent’’.

• All ingredients of mixtures are expressed

in terms of weight.

• The solvent component of the mixture

converts it into a solution.

3. TRACE QUANTITIES: a. A license is

required for mixtures containing any amount

(including trace quantities) for the following

chemicals: 0-Ethyl-2-diisopropylaminoethyl

methyl phosphonite (QL) (C.A.S. #57856–11–

8), Ethyl phosphonyl difluoride (C.A.S.

#753–98–0), and Methyl phosphonyl

difluoride (C.A.S. #676–99–3).

b. Except as noted in paragraph (3)(a) of the

License Requirements Note, a license is not

required under this entry for mixtures that

contain a cumulative total concentration of

no more than 10,000 parts by weight (pbw)

per million of all precursor or intermediate

chemicals listed in this entry. The

calculation for this paragraph (3)(b) should

not be done on a solvent-free basis (related

ECCN: 1C995).

c. Countries Not Eligible: The following

countries are not eligible for exports under

this Trace Quantities Note: Cuba, Iran, Iraq,

Libya, North Korea, Sudan, and Syria.

4. COMPOUNDS: A license is not required

under this entry for chemical compounds

created with any chemicals identified in this

ECCN 1C350, unless those compounds are

also identified in this entry.

Technical Notes: 1. For purposes of this

entry, a ‘‘mixture’’ is defined as a solid,

liquid or gaseous product made up of two or

more components that do not react together

under normal storage conditions.

2. The scope of this control applicable to

Hydrogen Fluoride (Item 25 in List of Items

Controlled) includes its liquid, gaseous, and

aqueous phases, and hydrates.

3. All de minimis exclusions of this entry

extend to all mixtures including those that

contain no solvents.

4. A Solvent is defined as a substance

capable of dissolving another substance to

form a uniformly dispersed mixture

(solution). For examples and clarification of

the term ‘‘solvent free’’ basis, see § 770.4 of

the EAR.

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Liters or kilograms, as appropriate

Related Controls: See also 1C995

Related Definition: See § 770.2(k) of the EAR

for synonyms for the chemicals listed in

this entry.

Items: a. Precursor Chemicals, as follows:

a.1. (C.A.S. #1341–49–7) Ammonium

hydrogen fluoride;

a.2. (C.A.S. #7784–34–1) Arsenic

trichloride;

a.3. (C.A.S. #76–93–7) Benzilic acid;

a.4. (C.A.S. #107–07–3) 2-Chloroethanol;

a.5. (C.A.S. #78–38–6) Diethyl

ethylphosphonate;

a.6. (C.A.S. #15715–41–0) Diethyl

methylphosphonite;

a.7. (C.A.S. S.#2404–03–7) Diethyl-N,Ndimethylphosphoroamidate;

a.8. (C.A.S. #762–04–9) Diethyl phosphite;

a.9. (C.A.S. #100–37–8) N,NDiethylaminoethanol;

a.10. (C.A.S. #5842–07–9) N,N-Diisopropylbeta-aminoethane thiol;

a.11. (C.A.S. #4261–68–1) N,N-Diisopropylbeta-aminoethyl chloride hydrochloride;

a.12. (C.A.S. #96–80–0) N,N-Diisopropylbeta-aminoethanol;

a.13. (C.A.S. #96–79–7), N,N-Diisopropylbeta-aminoethyl chloride;

a.14. (C.A.S. #108–18–9) Diisopropylamine;

a.15. (C.A.S. #6163–75–3) Dimethyl

ethylphosphonate;

a.16. (C.A.S. #756–79–6) Dimethyl

methylphosphonate;

a.17. (C.A.S. #868–85–9) Dimethyl

phosphite (dimethyl hydrogen phosphite);

a.18. (C.A.S. #124–40–3) Dimethylamine;

a.19. (C.A.S. #506–59–2) Dimethylamine

hydrochloride;

a.20. (C.A.S. #57856–11–8) 0-Ethyl-2-

diisopropylaminoethyl methyl phosphonite

(QL);
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2479

a.21. (C.A.S. #1498–40–4) Ethyl

phosphonous dichloride [Ethyl phosphinyl

dichloride];

a.22. (C.A.S. #430–78–4) Ethyl phosphonus

difluoride [Ethyl phosphinyl difluoride];

a.23. (C.A.S. #1066–50–8) Ethyl

phosphonyl dichloride;

a.24. (C.A.S. #753–98–0) Ethyl phosphonyl

difluoride;

a.25. (C.A.S. #7664–39–3) Hydrogen

fluoride;

a.26. (C.A.S. #3554–74–3) 3-Hydroxyl-1-

methylpiperidine;

a.27. (C.A.S. #76–89–1) Methyl benzilate;

a.28. (C.A.S. #676–83–5) Methyl

phosphonous dichloride [Methyl phosphinyl

dicloride];

a.29. (C.A.S. #753–59–3) Methyl

phosphonous difluoride [Methyl phosphinyl

difluoride];

a.30. (C.A.S. #676–97–1) Methyl

phosphonyl dichloride;

a.31. (C.A.S. #676–99–3) Methyl

phosphonyl difluoride;

a.32. (C.A.S. #10025–87–3) Phosphorus

oxychloride;

a.33. (C.A.S. #10026–13–8) Phosphorus

pentachloride;

a.34. (C.A.S. #1314–80–3) Phosphorus

pentasulfide;

a.35. (C.A.S. #7719–12–2) Phosphorus

trichloride;

a.36. (C.A.S. #75–97–8) Pinacolone;

a.37. (C.A.S. #464–07–3) Pinacolyl alcohol;

a.38. (C.A.S. #151–50–8) Potassium

cyanide;

a.39. (C.A.S. #7789–23–3) Potassium

fluoride;

a.40. (C.A.S. #7789–29–9) Potassium

bifluoride;

a.41. (C.A.S. #1619–34–7) 3-Quinuclidinol;

a.42. (C.A.S. #3731–38–2) 3-Quinuclidone;

a.43. (C.A.S. #1333–83–1) Sodium

bifluoride;

a.44. (C.A.S. #143–33–9) Sodium cyanide;

a.45. (C.A.S. #7681–49–4) Sodium fluoride;

a.46. (C.A.S. #1313–82–2) Sodium sulfide;

a.47. (C.A.S. #10025–67–9) Sulfur

monochloride;

a.48. (C.A.S. #10545–99–0) Sulfur

dichloride;

a.49. (C.A.S. #111–48–8) Thiodiglycol;

a.50. (C.A.S. #7719–09–7) Thionyl

chloride;

a.51. (C.A.S. #102–71–6) Triethanolamine;

a.52. (C.A.S. #637–39–8) Triethanolamine

hydrochloride;

a.53. (C.A.S. #122–52–1) Triethyl

phosphite; and

a.54. (C.A.S. #121–45–9) Trimethyl

phosphite.

b. Reserved.

1C351 Human pathogens, zoonoses, and

‘‘toxins’’, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to entire entry CB Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: All vaccines and

‘‘immunotoxins’’ are excluded from the

scope of this entry. See also 1C991.

Related Definition: (1) For the purposes of

this entry ‘‘immunotoxin’’ is defined as an

antibody-toxin conjugate intended to

destroy specific target cells (e.g., tumor

cells) that bear antigens homologous to the

antibody. (2) For the purposes of this entry

‘‘subunit’’ is defined as a portion of the

‘‘toxin’’.

Items: a. Viruses, as follows:

a.1. Chikungunya virus;

a.2. Congo-Crimean haemorrhagic fever

virus;

a.3. Dengue fever virus;

a.4. Eastern equine encephalitis virus;

a.5. Ebola virus;

a.6. Hantaan virus;

a.7. Japanese encephalitis virus;

a.8. Junin virus;

a.9. Lassa fever virus

a.10. Lymphocytic choriomeningitis virus;

a.11. Machupo virus;

a.12. Marburg virus;

a.13. Monkey pox virus;

a.14. Rift Valley fever virus;

a.15. Tick-borne encephalitis virus

(Russian Spring-Summer encephalitis virus);

a.16. Variola virus;

a.17. Venezuelan equine encephalitis virus;

a.18. Western equine encephalitis virus;

a.19. White pox; or

a.20. Yellow fever virus.

b. Rickettsiae, as follows:

b.1. Bartonella quintana (Rochalimea

quintana, Rickettsia quintana);

b.2. Coxiella burnetii;

b.3. Rickettsia prowasecki; or

b.4. Rickettsia rickettsii.

c. Bacteria, as follows:

c.1. Bacillus anthracis;

c.2. Brucella abortus;

c.3. Brucella melitensis;

c.4. Brucella suis;

c.5. Burkholderia mallei (Pseudomonas

mallei);

c.6. Burkholderia pseudomallei

(Pseudomonas pseudomallei);

c.7. Chlamydia psittaci;

c.8. Clostridium botulinum;

c.9. Francisella tularensis;

c.10. Salmonella typhi;

c.11. Shigella dysenteriae;

c.12. Vibrio cholerae;

c.13. Yersinia pestis.

d. ‘‘Toxins’’, as follows: and subunits

thereof:

d.1. Botulinum toxins;

d.2. Clostridium perfringens toxins;

d.3. Conotoxin;

d.4. Microcystin (cyanginosin);

d.5. Ricin;

d.6. Saxitoxin;

d.7. Shiga toxin;

d.8. Staphylococcus aureus toxins;

d.9. Tetrodotoxin;

d.10. Verotoxin; or

d.11. Aflatoxins.

1C352 Animal pathogens, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to entire entry CB Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: All vaccines are excluded

from the scope of this entry. See also

1C991.

Related Definition: N/A

Items: a. Viruses, as follows:

a.1. African swine fever virus;

a.2. Avian influenza virus that are:

a.2.a. Defined in EC Directive 92/40/EC

(O.J. L.16 23.1.92 p.19) as having high

pathogenicity, as follows:

a.2.a.1. Type A viruses with an IVPI

(intravenous pathogenicity index) in 6 week

old chickens of greater than 1.2; or

a.2.a.2. Type A viruses H5 or H7 subtype

for which nucleotide sequencing has

demonstrated multiple basic amino acids at

the cleavage site of haemagglutinin;

a.3. Bluetongue virus;

a.4. Foot and mouth disease virus;

a.5. Goat pox virus;

a.6. Porcine herpes virus (Aujeszky’s

disease);

a.7. Swine fever virus (Hog cholera virus);

a.8. Lyssa virus;

a.9. Newcastle disease virus;

a.10. Peste des petits ruminants virus;

a.11. Porcine enterovirus type 9 (swine

vesicular disease virus);

a.12. Rinderpest virus;

a.13. Sheep pox virus;

a.14. Teschen disease virus;

a.15. Vesicular stomatitis virus;

b. Bacteria, as follows:

b.1. Mycoplasma mycoides.

b.2. Reserved.

1C353 Genetically-modified

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

Items Controlled).

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to entire entry CB Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: All vaccines are excluded

from the scope of this entry. See also

1C991

Related Definition: N/A

Items: a. Genetically modified

‘‘microorganisms’’ or genetic elements that
2480 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

contain nucleic acid sequences associated

with pathogenicity of organisms controlled

by 1C351.a to .c or 1C352 or 1C354;

b. Genetically modified ‘‘microorganisms’’

or genetic elements that contain nucleic acid

sequences coding for any of the ‘‘toxins’’

controlled by 1C351.d or ‘‘sub-units of

toxins’’ thereof.

1C354 Plant pathogens, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to entire entry CB Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: All vaccines are excluded

from the scope of this entry. See also

1C991

Related Definitions: N/A

Items: a. Bacteria, as follows:

a.1. Xanthomonas albilineans;

a.2. Xanthomonas campestris pv. citri

including strains referred to as Xanthomonas

campestris pv. citri types A,B,C,D,E or

otherwise classified as Xanthomonas citri,

Xanthomonas campestris pv. aurantifolia or

Xanthomonas campestris pv. citrumelo;

b. Fungi, as follows:

b.1. Colletotrichum coffeanum var.

virulans (Colletotrichum kahawae);

b.2. Cochliobolus miyabeanus

(Helminthosporium oryzae);

b.3. Microcyclus ulei (syn. Dothidella ulei);

b.4. Puccinia graminis (syn. Puccinia

graminis f. sp. tritici);

b.5. Puccinia striiformis (syn. Puccinia

glumarum);

b.6. Magnaporthe grisea (pyricularia grisea/

pyricularia oryzae).

1C980 Inorganic chemicals listed in

Supplement No. 1 to part 754 of the EAR

that were produced or derived from the

Naval Petroleum Reserves (NPR) or became

available for export as a result of an

exchange of any NPR produced or derived

commodities.

License Requirements

Reason for Control: SS

Control(s): SS applies to entire entry. For

licensing requirements (and possible

License Exceptions) proceed directly to

part 754 of the EAR. The Commerce

Country Chart is not designed to determine

licensing requirements for items controlled

for SS reasons

List of Items Controlled

Unit: Barrels/Liters

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1C981 Crude petroleum including

reconstituted crude petroleum, tar sands &

crude shale oil listed in Supplement No. 1

to part 754 of the EAR.

License Requirements

Reason for Control: SS

Control(s): SS applies to entire entry. For

licensing requirements (and possible

License Exceptions) proceed directly to

part 754 of the EAR. The Commerce

Country Chart is not designed to determine

licensing requirements for items controlled

for SS reasons

List of Items Controlled

Unit: Barrels/Liters

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1C982 Other petroleum products listed in

Supplement No. 1 to part 754 of the EAR

that were produced or derived from the

Naval Petroleum Reserves (NPR) or became

available for export as a result of an

exchange of any NPR produced or derived

commodities.

License Requirements

Reason for Control: SS

Control(s): SS applies to entire entry. For

licensing requirements (and possible

License Exceptions) proceed directly to

part 754 of the EAR. The Commerce

Country Chart is not designed to determine

licensing requirements for items controlled

for SS reasons

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1C983 Natural gas liquids and other

natural gas derivatives listed in Supplement

No. 1 to part 754 of the EAR that were

produced or derived from the Naval

Petroleum Reserves (NPR) or became

available for export as a result of an

exchange of any NPR produced or derived

commodities.

License Requirements

Reason for Control: SS

Control(s): SS applies to entire entry. For

licensing requirements (and possible

License Exceptions) proceed directly to

part 754 of the EAR. The Commerce

Country Chart is not designed to determine

licensing requirements for items controlled

for SS reasons.

List of Items Controlled

Unit: Barrels/Liters

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1C984 Manufactured gas and synthetic

natural gas (except when commingled with

natural gas and thus subject to export

authorization from the Department of

Energy) listed in Supplement No. 1 to part

754 of the EAR that were produced or

derived from the Naval Petroleum Reserves

(NPR) or became available for export as a

result of an exchange of any NPR produced

or derived commodities.

License Requirements

Reason for Control: SS

Control(s): SS applies to entire entry. For

licensing requirements (and possible

License Exceptions) proceed directly to

part 754 of the EAR. The Commerce

Country Chart is not designed to determine

licensing requirements for items controlled

for SS reasons

List of Items Controlled

Unit: Millions of cubic feet

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1C988 Western red cedar (thuja plicata),

logs and timber, and rough, dressed and

worked lumber containing wane listed in

Supplement No. 2 to part 754 of the EAR.

License Requirements

Reason for Control: SS

Control(s): SS applies to entire entry. For

licensing requirements (and possible

License Exceptions) proceed directly to

part 754 of the EAR. The Commerce

Country Chart is not designed to determine

licensing requirements for items controlled

for SS reasons

List of Items Controlled

Unit: Million board feet scribner

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1C990 Fibrous and filamentary materials,

not controlled by 1C010 or 1C210, for use

in ‘‘composite’’ structures and with a

specific modulus of 3.18μ10 6 m or greater

and a specific tensile strength of 7.62μ10 4

m or greater.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1C991 Vaccines containing items

controlled by ECCNs 1C351, 1C352, 1C353,

and 1C354; and immunotoxins.

License Requirements
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2481

Reason for Control: AT

AT applies to entire entry. A license is

required for items controlled by this entry

to Cuba, Iran, Libya and North Korea. The

Commerce Country Chart is not designed

to determine licensing requirements for

this entry. See part 746 of the EAR for

additional information

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: For the purpose of this

entry ‘‘immunotoxin’’ is defined as an

antibody-toxin conjugate intended to

destroy specific target cells (e.g., tumor

cells) that bear antigens homologous to the

antibody

Items: The list of items controlled is

contained in the ECCN heading

1C992 Oil well perforators.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Materials in number

Related Controls: N/A

Related Definitions: N/A

Items: a. Shaped charges specially designed

for oil well operations, utilizing one charge

functioning along a single axis, that upon

detonation produce a hole, and:

a.1. Contain any formulation of RDX, PYX,

PETN, HNS, or HMX; and

a.2. Have only a uniformly shaped conical

liner with an included angle of 90 degrees or

less; and

a.3. Have a total explosive mass of no more

than 90 grams; and

a.4. Have a diameter not exceeding three

inches.

b. Reserved.

1C995 Mixtures containing precursor and

intermediate chemicals used in the

‘‘production’’ of chemical warfare agents

that are not controlled by ECCN 1C350.

License Requirements

Reason for Control: AT

AT applies to entire entry. A license is

required for items controlled by this entry

to Cuba, Iran, Libya and North Korea. The

Commerce Country Chart is not designed

to determine licensing requirements for

this entry. See part 746 of the EAR for

additional information

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definition: For calculation of de

minimis quantities of controlled chemicals

in mixtures, see the License Requirements

Notes 2 and 3 under ECCN 1C350 and

§ 770.4 of the EAR

Items: The list of items controlled is

contained in the ECCN heading

D. Software

1D001 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

controlled by 1B001 to 1B003.

License Requirements

Reason for Control: NS, MT, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to ‘‘software’’

for the ‘‘development’’,

‘‘production’’, or ‘‘use’’

of items controlled by

1B001 for MT reasons.

MT Column 1

NP applies to ‘‘software’’

for the ‘‘development’’,

‘‘production’’ or ‘‘use’’

of items controlled by

1B001 for NP reasons.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: Yes, except N/A for MT

TSR: Yes, except N/A for MT

List of Items Controlled

Unit: $ value

Related Controls: See also 1D101 and 1D102

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1D002 ‘‘Software’’ for the ‘‘development’’

of organic ‘‘matrix’’, metal ‘‘matrix’’ or

carbon ‘‘matrix’’ laminates or

‘‘composites’’.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to ‘‘software’’

specially designed or

modified for the ‘‘development’’ of ‘‘composites’’ controlled by 1A,

1B or 1C entries for MT

reasons.

MT Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under Exceptions.

License Exceptions

CIV: Yes, except N/A for MT

TSR: Yes, except N/A for MT

List of Items Controlled

Unit: $ value

Related Controls: ‘‘Software’’ for items

controlled by 1A102 are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls (see 22 CFR part 121).

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1D018 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

‘‘production’’, or ‘‘use’’ of items controlled

by 1B018.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to ‘‘software’’

for the ‘‘development’’,

‘‘production’’, or ‘‘use’’

of items controlled by

1B018 for MT reasons.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1D101 ‘‘Software’’ specially designed for

the ‘‘use’’ of goods controlled by 1B101.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1D102 Other ‘‘software’’ not controlled by

1D001, 1D002, and 1D103, specially

designed for the ‘‘development’’,

‘‘production’’ or ‘‘use’’ of items controlled

by 1A, 1B, and 1C for MT reasons.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading
2482 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

1D103 ‘‘Software’’ specially designed for

analysis of reduced observables such as

radar reflectivity, ultraviolet/infrared

signatures and acoustic signatures.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1D201 ‘‘Software’’ specially designed for

the ‘‘use’’ of goods controlled by 1B201.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1D390 ‘‘Software’’ for process control that

is specifically configured to control or

initiate ‘‘production’’ of chemicals

controlled by 1C350.

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

1D993 ‘‘Software’’ specially designed for

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

of equipment or materials controlled by

1C210.b, 1C990, or 1C994.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

E. Technology

1E001 ‘‘Technology’’ according to the

General Technology Note for the

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

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

1A003, 1A004, 1A005, 1A102, 1B or 1C

(except 1C980 to 1C984, 1C988, 1C990,

1C991, 1C992, 1C994 and 1C995).

License Requirements

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

Control(s) Country Chart

NS applies to ‘‘technology’’ for items controlled by 1A001.b and

.c, 1A002, 1A003,

1B001 to 1B003, 1B018,

1B225, 1C001 to 1C010,

1C018, 1C230, 1C231,

1C233, or 1C234.

NS Column 1

MT applies to ‘‘technology’’ 1 for items controlled by 1B001,

1B101, 1B115, 1B116,

1C001, 1C007, 1C101,

1C107, 1C011, 1C111,

1C116, or 1C117 for MT

reasons.

MT Column 1

NP applies to ‘‘technology’’ for items controlled by 1A002,

1B001, 1B101, 1B201,

1B225 to 1B232, 1C001,

1C010, 1C202, 1C210,

1C216, 1C225 to 1C234,

1C236 to 1C238 for NP

reasons.

NP Column 1

CB applies to ‘‘technology’’ for items controlled by 1C351,

1C352, 1C353, or 1C354.

CB Column 1

CB applies to ‘‘technology’’ for materials

controlled by 1C350.

CB Column 2

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes, except for MT and for exports and

reexports to destinations outside of

Austria, Belgium, Canada, Denmark,

Finland, France, Germany, Greece, Ireland,

Italy, Luxembourg, the Netherlands,

Portugal, Spain, Sweden, or the United

Kingdom of ‘‘technology’’ for items

controlled by 1C001 or 1C012; or 1A002.a,

having an organic ‘‘matrix’’ and made from

materials listed under 1C010.c or 1C010.d.

List of Items Controlled

Unit: N/A

Related Controls: (1) See also 1E101 and

1E210. (2) ‘‘Technology’’ for items

controlled by 1C235 are subject to the

export licensing authority of the

Department of Energy (see 10 CFR part

810). (3) ‘‘Technology’’ for items described

in 1C012 are subject to the export licensing

authority of the Nuclear Regulatory

Commission (see 10 CFR part 110). (4)

‘‘Technology’’ for items controlled by

1A102 are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls (see 22

CFR part 121).

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1E002 Other ‘‘technology’’, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to 1E002.e ...... MT Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes, except for 1E002.e

List of Items Controlled

Unit: N/A

Related Controls: See also 1E102, 1E202, and

1E101 for ‘‘technology’’ related to 1E002.e

Related Definitions: N/A

Items: a. ‘‘Technology’’ for the

‘‘development’’ or ‘‘production’’ of

polybenzothiazoles or polybenzoxazoles;

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

‘‘production’’ of fluoroelastomer compounds

containing at least one vinylether monomer;

c. ‘‘Technology’’ for the design or

‘‘production’’ of the following base materials

or non-‘‘composite’’ ceramic materials:

c.1. Base materials having all of the

following characteristics:

c.1.a. Any of the following compositions:

c.1.a.1. Single or complex oxides of

zirconium and complex oxides of silicon or

aluminum;

c.1.a.2. Single nitrides of boron (cubic

crystalline forms);

c.1.a.3. Single or complex carbides of

silicon or boron; or

c.1.a.4. Single or complex nitrides of

silicon;

c.1.b. Total metallic impurities, excluding

intentional additions, of less than:

c.1.b.1. 1,000 ppm for single oxides or

carbides; or

c.1.b.2. 5,000 ppm for complex compounds

or single nitrides; and

c.1.c. Having any of the following:

c.1.c.1. Average particle size equal to or

less than 5 μm and no more than 10% of the

particles larger than 10 μm; or

Note: For zirconia, these limits are 1 μm

and 5 μm respectively.

c.1.c.2. Having all of the following:

c.1.c.2.a. Platelets with a length to

thickness ratio exceeding 5;
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2483

c.1.c.2.b. Whiskers with a length to

diameter ratio exceeding 10 for diameters

less than 2 μm; and

c.1.c.2.c. Continuous or chopped fibers less

than 10 μm in diameter;

c.2. Non-‘‘composite’’ ceramic materials

composed of the materials described in

1E002.c.1;

Note: 1E002.c.2 does not control

technology for the design or production of

abrasives.

d. ‘‘Technology’’ for the ‘‘production’’ of

aromatic polyamide fibers;

e. ‘‘Technology’’ for the installation,

maintenance or repair of materials controlled

by 1C001;

f. ‘‘Technology’’ for the repair of

‘‘composite’’ structures, laminates or

materials controlled by 1A002, 1C007.c or

1C007.d.

Note: 1E002.f does not control

‘‘technology’’ for the repair of ‘‘civil aircraft’’

structures using carbon ‘‘fibrous or

filamentary materials’’ and epoxy resins,

contained in aircraft manufacturers’ manuals.

1E101 ‘‘Technology’’ according to the

General Technology Note for the ‘‘use’’ of

goods controlled by 1A102, 1B001, 1B101,

1B115, 1B116, 1C001, 1C007, 1C011, 1C101,

1C107, 1C111, 1C116, 1C117, 1D101 or

1D103.

License Requirements

Reason for Control: MT, NP, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

NP applies to 1B001.a and

1B101.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: ‘‘Technology’’ for items

controlled by 1A102 are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls (see 22 CFR part 121).

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1E102 ‘‘Technology’’ according to the

General Technology Note for the

‘‘development’’ of ‘‘software’’ controlled by

1D001, 1D101 or 1D103.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1E103 ‘‘Technical data’’ (including

processing conditions) for the regulation of

temperature, pressure or atmosphere in

autoclaves or hydroclaves, when used for

the ‘‘production’’ of ‘‘composites’’ or

partially processed ‘‘composites’’.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: See also 1E203

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1E104 ‘‘Technology’’ relating to the

‘‘production’’ of pyrolitically derived

materials formed on a mold, mandrel or

other substrate from precursor gases which

decompose in the 1,573 K (1,300≥ C) to

3,173 K (2,900≥ C) temperature range at

pressures of 130 Pa to 20 kPa.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: This entry includes

‘‘technology’’ for the composition of

precursor gases, flow-rates and process

control schedules and parameters.

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1E201 ‘‘Technology’’ according to the

General Technology Note for the ‘‘use’’ of

goods controlled by 1A002, 1A202, 1A225 to

1A227, 1B201, 1B225 to 1B233, 1C002.a.2.c

or .d, 1C010.b, 1C202, 1C210, 1C216, 1C225

to 1C240 or 1D201.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1E202 ‘‘Technology’’ according to the

General Technology Note for the

‘‘development’’ or ‘‘production’’ of goods

controlled by 1A202 or 1A225 to 1A227.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1E203 ‘‘Technology’’ according to the

General Technology Note for the

‘‘development’’ of ‘‘software’’ controlled by

1D201.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1E350 ‘‘Technology’’ according to the

‘‘General Technology Note’’ for facilities

designed or intended to produce chemicals

controlled by 1C350.

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to entire entry CB Column 2

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.
2484 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

1E351 ‘‘Technology’’ according to the

‘‘General Technology Note’’ for the disposal

of chemicals or microbiological materials

controlled by 1C350, 1C351, 1C352, 1C353,

or 1C354.

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to ‘‘technology’’ for the disposal

of items controlled by

1C351, 1C352, 1C353, or

1C354.

CB Column 1

CB applies to ‘‘technology’’ for the disposal

of items controlled by

1C350.

CB Column 2

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

1E994 ‘‘Technology’’ for the

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

fibrous and filamentary materials controlled

by 1C990 or fluorocarbon electronic cooling

fluids controlled by 1C994.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

EAR99 Items subject to the EAR that are

not elsewhere controlled by this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

Category 2—Materials Processing

Note: For quiet running bearings, see the

U.S. Munitions List.

A. Equipment, Assemblies and Components

2A001 Anti-friction bearings and bearing

systems, as follows, (see List of Items

Controlled) and components therefor.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: Yes, for 2A001.a and 2A001.b

CIV: Yes, for 2A001.a and 2A001.b

List of Items Controlled

Unit: $ value

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

entry does not control balls with tolerance

specified by the manufacturer in

accordance with ISO 3290 as grade 5 or

worse. (3) Quiet running bearings are

subject to the export licensing authority of

the Department of State, Office of Defense

Trade Controls. (See 22 CFR part 121.)

Related Definitions: Annular Bearing

Engineers Committee (ABEC).

Items: a. Ball bearings and solid roller

bearings having tolerances specified by the

manufacturer in accordance with ABEC 7,

ABEC 7P, ABEC 7T or ISO Standard Class 4

or better (or national equivalents), and having

rings, balls or rollers made from monel or

beryllium;

Note: 2A001.a does not control tapered

roller bearings.

b. Other ball bearings and solid roller

bearings having tolerances specified by the

manufacturer in accordance with ABEC 9,

ABEC 9P or ISO Standard Class 2 or better

(or national equivalents);

Note: 2A001.b does not control tapered

roller bearings.

c. Active magnetic bearing systems using

any of the following:

c.1. Materials with flux densities of 2.0 T

or greater and yield strengths greater than

414 MPa;

c.2. All-electromagnetic 3D homopolar bias

designs for actuators; or

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

above) position sensors.

2A225 Crucibles made of materials

resistant to liquid actinide metals, as

follows (see List of Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Crucibles with a volume of between

150 ml and 8 liters and made of or coated

with any of the following materials having a

purity of 98% or greater:

a.1. Calcium fluoride (CaF2);

a.2. Calcium zirconate (metazirconate)

(Ca2ZrO3);

a.3. Cerium sulphide (Ce2S3);

a.4. Erbium oxide (erbia) (Er2O3);

a.5. Hafnium oxide (hafnia) (HfO2);

a.6. Magnesium oxide (MgO);

a.7. Nitrided niobium-titanium-tungsten

alloy (approximately 50% Nb, 30% Ti, 20%

W);

a.8. Yttrium oxide (yttria) (Y2O3); or

a.9. Zirconium oxide (zirconia) (ZrO2);

b. Crucibles with a volume of between 50

ml and 2 liters and made of or lined with

tantalum, having a purity of 99.9% or greater;

c. Crucibles with a volume of between 50

ml and 2 liters and made of or lined with

tantalum (having a purity of 98% or greater)

coated with tantalum carbide, nitride or

boride (or any combination of these).

2A226 Valves 5 mm or greater in ‘‘nominal

size’’, with a bellows seal, wholly made of

or lined with aluminum, aluminum alloy,

nickel, or alloy containing 60% or more

nickel, either manually or automatically

operated.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: Valves are also subject to

the export licensing authority of the

Nuclear Regulatory Commission. (See 10

CFR part 110.)

Related Definition: For valves with different

inlet and outlet diameter, the ‘‘nominal

size’’ parameter described in the entry

refers to the smallest diameter.

Items: The list of items controlled is

contained in the ECCN heading.

2A290 Generators and other equipment

specially designed, prepared, or intended

for use with nuclear plants.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: Nuclear equipment is also

subject to the export licensing authority of

the Nuclear Regulatory Commission. (See

10 CFR part 110.)

Related Definitions: N/A

Items:

a. Generators, turbine-generator sets, steam

turbines, heat exchangers, and heat

exchanger type condensers designed or

intended for use in a nuclear reactor;

b. Process control systems intended for use

with the equipment controlled by 2A290.a.

2A291 Equipment related to nuclear

material handling and processing and to

nuclear reactors.

License Requirements
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2485

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: Nuclear equipment is also

subject to the export licensing authority of

the Nuclear Regulatory Commission. (See

10 CFR part 110.)

Related Definitions: N/A

Items: a. Process control systems, except

those controlled by 2A290.b, intended for use

with nuclear reactors.

b. Casks that are specially designed for

transportation of high-level radioactive

material and that weigh more than 1,000 kg.

c. Commodities, parts and accessories

specially designed or prepared for use with

nuclear plants (e.g., snubbers, airlocks,

reactor and fuel inspection equipment)

except items licensed by the Nuclear

Regulatory Commission, pursuant to 10 CFR

part 110.

2A292 Piping, fittings and valves made of,

or lined with, stainless steel, copper-nickel

alloy or other alloy steel containing 10% or

more nickel and/or chromium.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Pressure tubes, pipes, and fittings in

kilograms; valves in number; parts and

accessories in $ value

Related Controls: Piping, fittings, and valves

are also subject to the export licensing

authority of the Nuclear Regulatory

Commission. (See 10 CFR part 110.)

Related Definitions: N/A

Items: a. Pressure tube, pipe, and fittings of

200 mm (8 inches) or more inside diameter,

and suitable for operation at pressures of 3.4

Mpa (500 psi) or greater;

b. Pipe valves having all of the following

characteristics:

b.1. A pipe size connection of 8 inches or

more inside diameter;

b.2. Rated at 1,500 psi or more;

c. Parts, n.e.s.

2A293 Pumps designed to move molten

metals by electromagnetic forces.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

2A991 Bearings and bearing systems not

controlled by 2A001.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) This entry does not

control balls with tolerance specified by

the manufacturer in accordance with ISO

3290 as grade 5 or worse. (2) Quiet running

bearings are subject to the export licensing

authority of the Department of State, Office

of Defense Trade Controls. (See 22 CFR

part 121)

Related Definitions: (1) (a) DN is the product

of the bearing bore diameter in mm and the

bearing rotational velocity in rpm. (b)

Operating temperatures include those

temperatures obtained when a gas turbine

engine has stopped after operation. (2)

Annular Bearing Engineers Committee

(ABEC); American National Standards

Institute (ANSI); Anti-Friction Bearing

Manufacturers Association (AFBMA)

Items: a. Ball bearings or Solid ball bearings

(except tapered roller bearings), having

tolerances specified by the manufacturer in

accordance with ABEC 7, ABEC 7P, or ABEC

7T or ISO Standard Class 4 or better (or

equivalents) and having any of the following

characteristics.

a.1. Manufactured for use at operating

temperatures above 573 K (300° C) either by

using special materials or by special heat

treatment; or

a.2. With lubricating elements or

component modifications that, according to

the manufacturer’s specifications, are

specially designed to enable the bearings to

operate at speeds exceeding 2.3 million DN.

b. Solid tapered roller bearings, having

tolerances specified by the manufacturer in

accordance with ANSI/AFBMA Class 00

(inch) or Class A (metric) or better (or

equivalents) and having either of the

following characteristics.

b.1. With lubricating elements or

component modifications that, according to

the manufacturer’s specifications, are

specially designed to enable the bearings to

operate at speeds exceeding 2.3 million DN;

or

b.2. Manufactured for use at operating

temperatures below 219 K (¥54° C) or above

423 K (150° C).

c. Gas-lubricated foil bearing manufactured

for use at operating temperatures of 561 K

(288° C) or higher and a unit load capacity

exceeding 1 MPa.

d. Active magnetic bearing systems.

e. Fabric-lined self-aligning or fabric-lined

journal sliding bearings manufactured for use

at operating temperatures below 219 K (¥54°

C) or above 423 K (150° C).

2A993 Explosive detection systems,

consisting of an automated device, or

combination of devices, with the ability to

detect the presence of different types of

explosives, in passenger checked baggage,

without need for human skill, vigilance, or

judgment.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

2A994 Portable electric generators and

specially designed parts.

License Requirements

Reason for Control: AT

Control(s): AT applies to entire entry. A

license is required for items controlled by

this entry to Cuba, Iran, Libya, and North

Korea. The Commerce Country Chart is not

designed to determine licensing

requirements for this entry. See part 746 of

the EAR for additional information

Note: Exports from the U.S. and

transshipments to Iran must be licensed by

the Department of Treasury, Office of Foreign

Assets Control. (See § 742.8 and § 746.7 of

the EAR for additional information on this

requirement.)

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

B. Test, Inspection and Production

Equipment

Notes for Category 2B: 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
2486 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

primary rotary axis) are not counted in the

total number of contouring axes.

N.B. Rotary axes need not rotate over 360°.

A rotary axis can be driven by a linear device

(e.g., a screw or a rack-and-pinion).

2. Axis nomenclature shall be in

accordance with International Standard ISO

841, ‘‘Numerical Control Machines—Axis

and Motion Nomenclature’’.

3. For the purposes of 2B001 to 2B009 a

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

4. Guaranteed positioning accuracy levels

instead of individual test protocols may be

used for each machine tool model using the

agreed ISO test procedure.

5. The positioning accuracy of

‘‘numerically controlled’’ machine tools is to

be determined and presented in accordance

with ISO 230/2.

2B001 Machine tools and any combination

thereof, for removing (or cutting) metals,

ceramics or ‘‘composites’’, which,

according to the manufacturer’s technical

specification, can be equipped with

electronic devices for ‘‘numerical control’’.

License Requirements

Reason for Control: NS, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

NP applies to 2B001.a,b,c,

and d, EXCEPT: (1)

turning machines under

2B001.a with a capacity

equal to or less 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’’ on the x-axis

more (worse) than 0.030

mm.

NP Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 2B290 and 2B991

Related Definitions: N/A

Items: a. Machine tools for turning, having all

of the following characteristics:

a.1. Positioning accuracy with all

compensations available of less (better) than

6 μm along any linear axis (overall

positioning); and

a.2. Two or more axes which can be

coordinated simultaneously for ‘‘contouring

control’’;

Note: 2B001.a does not control turning

machines specially designed for the

production of contact lenses.

b. Machine tools for milling, having any of

the following characteristics:

b.1.a. Positioning accuracy with all

compensations available of less (better) than

6 μm along any linear axis (overall

positioning); and

b.1.b. Three linear axes plus one rotary axis

which can be coordinated simultaneously for

‘‘contouring control’’;

b.2. Five or more axes which can be

coordinated simultaneously for ‘‘contouring

control’’; or

b.3. A positioning accuracy for jig boring

machines, with all compensations available,

of less (better) than 4 μm along any linear

axis (overall positioning);

c. Machine tools for grinding, having any

of the following characteristics:

c.1.a. Positioning accuracy with all

compensations available of less (better) than

4 μm along any linear axis (overall

positioning); and

c.1.b. Three or more axes which can be

coordinated simultaneously for ‘‘contouring

control’’; or

c.2. Five or more axes which can be

coordinated simultaneously for ‘‘contouring

control’’;

Notes: 2B001.c does not control grinding

machines, as follows:

1. Cylindrical external, internal, and

external-internal grinding machines having

all the following characteristics:

a. Limited to cylindrical grinding; and

b. Limited to a maximum workpiece

capacity of 150 mm outside diameter or

length.

2. Machines designed specifically as jig

grinders having any of the following

characteristics:

a. The c-axis is used to maintain the

grinding wheel normal to the work surface;

or

b. The a-axis is configured to grind barrel

cams.

3. Tool or cutter grinding machines

shipped as complete systems with ‘‘software’’

specially designed for the production of tools

or cutters.

4. Crank shaft or cam shaft grinding

machines.

5. Surface grinders.

d. Electrical discharge machines (EDM) of

the non-wire type which have two or more

rotary axes which can be coordinated

simultaneously for ‘‘contouring control’’;

e. Machine tools for removing metals,

ceramics or ‘‘composites’’:

e.1. By means of:

e.1.a. Water or other liquid jets, including

those employing abrasive additives;

e.1.b. Electron beam; or

e.1.c. ‘‘Laser’’ beam; and

e.2. Having two or more rotary axes which:

e.2.a. Can be coordinated simultaneously

for ‘‘contouring control’’; and

e.2.b. Have a positioning accuracy of less

(better) than 0.003°;

f. Deep-hole-drilling machines and turning

machines modified for deep-hole-drilling,

having a maximum depth-of-bore capability

exceeding 5,000 mm and specially designed

components therefor.

2B003 ‘‘Numerically controlled’’ or manual

machine tools, and specially designed

components, controls and accessories

therefor, specially designed for the shaving,

finishing, grinding or honing of hardened

(Rc = 40 or more) spur, helical and doublehelical gears with a pitch diameter

exceeding 1,250 mm and a face width of

15% of pitch diameter or larger finished to

a quality of AGMA 14 or better (equivalent

to ISO 1328 class 3).

License Requirements

Reason for Control: NS, AT

Control(s) County Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 2B993

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

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

of the following characteristics described in

the List of Items Controlled, and specially

designed dies, molds, components,

accessories and controls therefor.

License Requirements

Reason for Control: NS, MT, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to entire entry MT Column 1

NP applies to entire entry,

except 2B004.b.3 and

presses with temperatures exceeding 1,733K,

and pressure below 69

MPa.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 2B104 and 2B204

Related Definitions: N/A

Items: a. A controlled thermal environment

within the closed cavity and possessing a

chamber cavity with an inside diameter of

406 mm or more; and
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2487

b. Any of the following:

b.1. A maximum working pressure

exceeding 207 MPa;

b.2. A controlled thermal environment

exceeding 1,773 K (1,500° C); or

b.3. A facility for hydrocarbon

impregnation and removal of resultant

gaseous degradation products.

Technical Note: The inside chamber

dimension is that of the chamber in which

both the working temperature and the

working pressure are achieved and does not

include fixtures. That dimension will be the

smaller of either the inside diameter of the

pressure chamber or the inside diameter of

the insulated furnace chamber, depending on

which of the two chambers is located inside

the other.

2B005 Equipment specially designed for

the deposition, processing and in-process

control of inorganic overlays, coatings and

surface modifications for non-electronic

substrates, by processes shown in the

Table and associated Notes following

2E003.f, and specially designed automated

handling, positioning, manipulation and

control components therefor.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $1000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: This entry does not control

chemical vapor deposition, cathodic arc,

sputter deposition, ion plating or ion

implantation equipment specially designed

for cutting or machining tools.

Related Definitions: N/A

Items: a. ‘‘Stored program controlled’’

chemical vapor deposition (CVD) production

equipment having all of the following:

a.1. Process modified for one of the

following:

a.1.a. Pulsating CVD;

a.1.b. Controlled nucleation thermal

decomposition (CNTD); or

a.1.c. Plasma enhanced or plasma assisted

CVD; and

a.2. Any of the following:

a.2.a. Incorporating high vacuum (equal to

or less than 0.01 Pa) rotating seals; or

a.2.b. Incorporating in situ coating

thickness control;

b. ‘‘Stored program controlled’’ ion

implantation production equipment having

beam currents of 5 mA or more;

c. ‘‘Stored program controlled’’ electron

beam physical vapor (EB-PVD) production

equipment incorporating all of the following:

c.1. Power systems rated for over 80 kW;

c.2. A liquid pool level ‘‘laser’’ control

system which regulates precisely the ingots

feed rate; and

c.3. A computer controlled rate monitor

operating on the principle of photoluminescence of the ionized atoms in the

evaporant stream to control the deposition

rate of a coating containing two or more

elements;

d. ‘‘Stored program controlled’’ plasma

spraying production equipment having any

of the following characteristics:

d.1. Operating at reduced pressure

controlled atmosphere (equal or less than 10

kPa measured above and within 300 mm of

the gun nozzle exit) in a vacuum chamber

capable of evacuation down to 0.01 Pa prior

to the spraying process; or

d.2. Incorporating in situ coating thickness

control;

e. ‘‘Stored program controlled’’ sputter

deposition production equipment capable of

current densities of 0.1 mA/mm2 or higher at

a deposition rate 15 μm/h or more;

f. ‘‘Stored program controlled’’ cathodic arc

deposition equipment incorporating a grid of

electromagnets for steering control of the arc

spot on the cathode;

g. ‘‘Stored program controlled’’ ion plating

production equipment allowing for the in

situ measurement of any of the following:

g.1. Coating thickness on the substrate and

rate control; or

g.2. Optical characteristics.

2B006 Dimensional inspection or

measuring systems and equipment, as

follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

NP applies to 2B006.a and

.b.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: See also 2B206 and 2B996.

Related Definition: (1) Machine tools which

can be used as measuring machines are

controlled if they meet or exceed the

criteria specified for the machine tool

function or the measuring machine

function. (2) A machine described by this

entry is controlled if it exceeds the control

threshold anywhere within its operating

range.

Items: a. Computer controlled, ‘‘numerically

controlled’’ or ‘‘stored program controlled’’

dimensional inspection machines, having a

three dimensional length (volumetric)

‘‘measurement uncertainty’’ equal to or less

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

measured length in mm) tested according to

ISO 10360–2;

b. Linear and angular displacement

measuring instruments, as follows:

b.1. Linear measuring instruments having

any of the following:

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

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

than 0.2 μm within a measuring range up to

0.2 mm;

b.1.b. Linear voltage differential

transformer systems having all of the

following characteristics:

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

than 0.1% within a measuring range up to 5

mm; and

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

0.1% per day at a standard ambient test room

temperature ± 1 K; or

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

following:

b.1.c.1. Containing a ‘‘laser’’; and

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

over a temperature range of ± 1 K around a

standard temperature and at a standard

pressure, all of the following:

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

scale of 0.1 μm or less (better); and

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

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

μm (L is the measured length in mm);

Note: 2B006.b.1 does not control

measuring interferometer systems, without

closed or open loop feedback, containing a

‘‘laser’’ to measure slide movement errors of

machine-tools, dimensional inspection

machines or similar equipment.

b.2. Angular measuring instruments having

an ‘‘angular position deviation’’ equal to or

less (better) than 0.00025°;

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

instruments, such as autocollimators, using

collimated light to detect angular

displacement of a mirror.

c. Equipment for measuring surface

irregularities, by measuring optical scatter as

a function of angle, with a sensitivity of 0.5

nm or less (better).

2B007 ‘‘Robots’’ having any of the

following characteristics described in the

List of Items Controlled and specially

designed controllers and ‘‘end-effectors’’

therefor.

License Requirements

Reason for Control: NS, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

NP applies to 2B007.c if

specially designed or

rated as radiation hardened to withstand greater than 5 X 104 grays(Si)

without operational degradation; to 2B007.b;

and to specially designed controllers and

‘‘end-effectors’’ therefor.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000, except 2B007.b and .c

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 2B207 and 2B997

Related Definitions: N/A

Items: a. Capable in real time of full threedimensional image processing or threedimensional scene analysis to generate or

modify ‘‘programs’’ or to generate or modify

numerical program data;
2488 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Note: The scene analysis limitation does

not include approximation of the third

dimension by viewing at a given angle, or

limited grey scale interpretation for the

perception of depth or texture for the

approved tasks (21⁄2 D).

b. Specially designed to comply with

national safety standards applicable to

explosive munitions environments;

c. Specially designed or rated as radiationhardened to withstand greater than 5 × 103

Gy (Si) without operational degradation; or

d. Specially designed to operate at

altitudes exceeding 30,000 m.

2B008 Assemblies, units or inserts

specially designed for machine tools, or for

equipment controlled by 2B006 or 2B007, as

follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 2B998

Related Definition: N/A

Items: a. Linear position feedback units (e.g.,

inductive type devices, graduated scales,

infrared systems or ‘‘laser’’ systems) having

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

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

length in mm);

Note: For ‘‘laser’’ systems see also Note to

2B006.b.1.

b. Rotary position feedback units (e.g.,

inductive type devices, scales, infrared

systems or ‘‘laser’’ systems) having an

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

Note: For ‘‘laser’’ systems see also Note to

2B006.b.1.

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.

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

the characteristics (see List of Items

Controlled).

License Requirements

Reason for Control: NS, MT, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to spin-forming machines the machines combining the

functions of spin-forming and flow-forming;

and flow-forming machines.

MT Column 1

Control(s) Country Chart

NP applies to flow-forming machines; and spinforming machines capable of flow-forming

functions.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 2B109 for

additional flow-forming machines for MT

and NP reasons. See also 2B209 for

additional flow-forming machines

controlled for NP reasons.

Related Definitions: Machines combining the

function of spin-forming and flow-forming

are for the purpose of 2B009 regarded as

flow-forming machines.

Items: a. Two or more controlled axes of

which at least two can be coordinated

simultaneously for ‘‘contouring control’’; and

b. A roller force more than 60 kN.

2B018 Equipment on the International

Munitions List.

License Requirements

Reason for Control: NS, MT, RS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to specialized

machinery, equipment,

and gear for producing

rocket systems (including ballistic missile systems, space launch vehicles, and sounding

rockets) and unmanned

air vehicle systems (including cruise missile

systems, target drones,

and reconnaissance

drones) usable in systems that are controlled

for MT reasons including their propulsion systems and components,

and pyrolytic deposition

and densification equipment.

MT Column 1

RS applies to entire entry RS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: Yes for Advisory Note in this entry to

2B018

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: Specialized machinery, equipment,

gear, and specially designed parts and

accessories therefor, including but not

limited to the following, that are specially

designed for the examination, manufacture,

testing, and checking of arms, appliances,

machines, and implements of war: a. Armor

plate drilling machines, other than radial

drilling machines;

b. Armor plate planing machines;

c. Armor plate quenching presses;

d. Centrifugal casting machines capable of

casting tubes 6 feet (183 cm) or more in

length, with a wall thickness of 2 inches (5

cm) and over;

e. Gun barrel rifling and broaching

machines, and tools therefor;

f. Gun barrel rifling machines;

g. Gun barrel trepanning machines;

h. Gun boring and turning machines;

i. Gun honing machines of 6 feet (183 cm)

stroke or more;

j. Gun jump screw lathes;

k. Gun rifling machines;

l. Gun straightening presses;

m. Induction hardening machines for tank

turret rings and sprockets;

n. Jigs and fixtures and other metalworking implements or accessories of the

kinds exclusively designed for use in the

manufacture of firearms, ordnance, and other

stores and appliances for land, sea, or aerial

warfare;

o. Small arms chambering machines;

p. Small arms deep hole drilling machines

and drills therefor;

q. Small arms rifling machines;

r. Small arms spill boring machines;

s. Tank turret bearing grinding machines.

Advisory Note: Licenses are likely to be

approved, as administrative exceptions, for

export and reexport to Country Group D:1 of

equipment used to determine the safety data

of explosives, as required by the International

Convention on the Transport of Dangerous

Goods (C.I.M.) articles 3 and 4 in Annex 1

RID, provided that such equipment will be

used only by the railway authorities of

current C.I.M. members, or by the

Government-accredited testing facilities in

those countries, for the testing of explosives

to transport safety standards, of the following

description:

a. Equipment for determining the ignition

and deflagration temperatures;

b. Equipment for steel-shell tests;

c. Drophammers not exceeding 20 kg in

weight for determining the sensitivity of

explosives to shock;

d. Equipment for determining the friction

sensitivity of explosives when exposed to

charges not exceeding 36 kg in weight.

2B104 Equipment and process controls

designed or modified for densification and

pyrolysis of structural composite rocket

nozzles and reentry vehicle nose tips.

License Requirements

Reason for Control: MT, NP, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

NP applies to 2B104.a NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2489

Related Controls: The only ‘‘isostatic

presses’’ and furnaces controlled by 2B104

are: (a) ‘‘Isostatic presses’’, other than those

controlled by 2B004, having all the

following characteristics: (1) Maximum

working pressure of 69 MPa or greater; (2)

Designed to achieve and maintain a

thermal environment of 873 K (600° C) or

greater; and (3) Possessing a chamber

cavity with an diameter of 254 mm or

greater; (b) CVD Furnaces designed or

modified for the densification of carboncarbon composites.

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2B109 Flow-forming machines, other than

those controlled by 2B009, and specially

designed components therefor.

License Requirements

Reason for Control: MT, NP, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value.

Related Controls: See also 2B009 and 2B209.

Related Definition: This entry controls only

spin-forming machines combining the

functions of spin-forming and flow-forming

and flow forming machines.

Items: a. According to the manufacturer’s

technical specification, can be equipped with

‘‘numerical control’’ units or a computer

control, even when not equipped with such

units; and

b. With more than two axes which can be

coordinated simultaneously for ‘‘contouring

control.’’

Technical Notes: 1. Machines combining

the function of spin-forming and flowforming are for the purpose of 2B109

regarded as flow-forming machines.

2. 2B109 does not control machines that

are not usable in the production of

propulsion components and equipment (e.g.

motor cases) for systems in 9A005, 9A007.a,

or 9A105.

2B116 Vibration test systems, equipment

and components therefor, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: MT, NP, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

Control(s) Country Chart

NP applies to electrodynamic vibration test

systems, employing

feedback or closed loop

control techniques and

incorporating a digital

controller, capable of vibrating at 10 g RMS or

more between 20 Hz

and 2000 Hz and imparting forces of 50 kN

(11,250 lbs.) measured

‘‘bare table’’, or greater.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 9B990

Related Definitions: (1) The term ‘‘digital

control’’ refers to equipment, the functions

of which are, partly or entirely,

automatically controlled by stored and

digitally coded electrical signals. (2) The

term ‘‘bare table’’ means a flat table, or

surface, with no fixture or fitting.

Items: a. Vibration test systems employing

feedback or closed loop techniques and

incorporating a digital controller, capable of

vibrating a system at 10 g RMS or more over

the entire range 20 Hz to 2,000 Hz and

imparting forces of 50 kN (11,250 lbs.),

measured ‘‘bare table’’, or greater;

b. Digital controllers, combined with

specially designed vibration test ‘‘software’’,

with a real-time bandwidth greater than 5

kHz and designed for use with vibration test

systems described in 2B116.a;

c. Vibration thrusters (shaker units), with

or without associated amplifiers, capable of

imparting a force of 50 kN (11,250 lbs.),

measured ‘‘bare table’’, or greater, and usable

in vibration test systems described in

2B116.a;

d. Test piece support structures and

electronic units designed to combine

multiple shaker units into a complete shaker

system capable of providing an effective

combined force of 50 kN, measured ‘‘bare

table’’, or greater, and usable in vibration test

systems described in 2B116.a.

2B201 Machine tools, other than those

controlled by 2B001 for removing or cutting

metals, ceramics or ‘‘composites’’, which,

according to manufacturer’s technical

specification, can be equipped with

electronic for simultaneous ‘‘contouring

control’’ in two or more axes.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 2B290, 2B991, and

2D002 ‘‘Numerical control’’ units are

controlled by their associated ‘‘software’’.

Related Definition: N/A

Items: a. Machine tools for milling, having

any of the following characteristics:

a.1. ‘‘Positioning accuracies’’ with all

compensations available less (better) than

0.006 mm along any linear axis (positioning);

or

a.2. Two or more contouring rotary axes.

Note: 2B201.a. does not control milling

having the following characteristics:

a. X-axis travel greater than 2 m;

b. Overall ‘‘positioning accuracy’’ on the xaxis more (worse) than 0.030 mm.

b. Machine tools for grinding, having any

of the following characteristics:

b.1. ‘‘Positioning accuracies’’ with all

compensations available less (better) than

0.004 mm along any linear axis (positioning);

or

b.2. Two or more contouring rotary axes.

Note: 2B201.b 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

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.

c. Machines for turning, that have

‘‘positioning accuracies’’ with all

compensations available less (better) than

0.006 mm along any linear axis (overall

positioning) for machines capable of

machining diameters greater than 35 mm.

Note: Bar machines (Swissturn), limited to

machining only bar feed thru, are excluded

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.

2B204 ‘‘Isostatic presses,’’ not controlled

by 2B004 or 2B104, capable of achieving a

maximum working pressure of 69 Mpa

(10,000 psi) or greater and having a

chamber cavity with an inside diameter in

excess of 152 mm (6 inches) and specially

designed dies, molds, and controls

therefor.

License Requirements

Reason for Control: NP, AT
2490 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definition: The inside chamber

dimension is that of the chamber in which

both the working temperature and working

pressure are achieved and does not include

fixtures. That dimension will be the

smaller either the inside diameter of the

pressure chamber or the inside diameter of

the insulated chamber, depending on

which of the two chambers is located

inside the other.

Items: The list of items controlled is

contained in the ECCN heading.

2B206 Dimensional inspection machines,

devices or systems, other than those

controlled by 2B006, as follows (see List of

Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value.

Related Controls: See also 2B992.

Related Definition: (1) Machine tools that can

be used as measuring machines are

controlled if they meet or exceed the

criteria specified for the machine function

or the measuring machine function. (2) A

machine controlled by 2B206 is controlled

if it exceeds the control threshold

anywhere within its operating range. (3)

The probe used in determining the

measurement uncertainty of a dimensional

inspection system shall be described in

VDI/VDE 2617 parts 2, 3 and 4.

Items: a. Computer controlled or numerically

controlled dimensional inspection machines

having both of the following characteristics:

a.1. Two or more axes; and

a.2. A one-dimensional length

‘‘measurement uncertainty’’ equal to or less

(better) than (1.25 + L/1000) μm tested with

a probe of ‘‘accuracy’’ of less (better) than 0.2

μm (L is the measured length millimeters)

(Ref.:VDI/VDE 2617 Parts 1 and 2);

b. Systems for simultaneously linearangular inspection of hemishells having both

of the following characteristics:

b.1. ‘‘Measurement uncertainty’’ along any

linear axis equal to less (better) than 3.5 μm

per 5 mm; and

b.2. ‘‘Angular position deviation’’ equal to

or less than 0.02°.

2B207 ‘‘Robots’’ or ‘‘end-effectors’’, other

than those controlled by 2B007, specially

designed to comply with national safety

standards applicable to handling high

explosives (for example, meeting code

ratings for high explosives) and specially

designed controllers therefor.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2B209 Flow forming machines, or spin

forming machines capable of flow forming

functions, other than those controlled by

2B009 or 2B109, or mandrels, as follows

(see List of Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value.

Related Controls: N/A.

Related Definition: This entry includes

machines which have only a single roller

designed to deform metal plus two

auxiliary rollers which support the

mandrel, but do not participate directly in

the deformation process.

Items: a. Machines having any of the

following:

a.1. Having three or more rollers (active or

guiding); and

a.2. According to the manufacturer’s

technical specification can be equipped with

‘‘numerical control’’ units or a computer

control.

b. Rotor-forming mandrels designed to

form cylindrical rotors of inside diameter

between 75 mm (3 in.) and 400 mm (16 in.).

2B225 Remote manipulators that can be

used to provide remote actions in

radiochemical separation operations and

hot cells, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value.

Related Controls: N/A.

Related Definition: Remote manipulators

provide translation of human operator

actions to a remote operating arm and

terminal fixture. They may be of a ‘‘master/

slave’’ type or operated by joystick or

keypad.

Items: a. Having a capability of penetrating

0.6 m or more of hot cell wall (operation); or

b. Having a capability of bridging over the

top of a hot cell wall with a thickness of 0.6

m or more (over-the-wall operation).

2B226 Vacuum or controlled environment

(inert gas) induction furnaces capable of

operation above 1,123 K (850≥ C) and having

induction coils 600 mm or less in diameter,

and designed for power inputs of 5 kW or

more, and power supplies specially

designed therefor with a specified power

output of 5 kW or more.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value.

Related Controls: See also Category 3B. This

entry does not control furnaces designed

for the processing of semiconductor wafers.

Related Definition: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2B227 Vacuum and controlled atmosphere

metallurgical melting and casting furnaces

and specially configured computer control

and monitoring systems therefor.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definition: N/A

Items: a. Arc remelt and casting furnaces

with consumable electrode capacities
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2491

between 1000 cm3 and 20,000 cm3, capable

of operating with melting temperatures above

1,973 K (1,700° C);

b. Electron beam melting and plasma

atomization and furnaces, with a power of 50

kW or greater, capable of operating melting

temperatures above 1,473 K (1,200° C).

2B228 Rotor fabrication and assembly

equipment and bellows-forming mandrels

and dies, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Rotor assembly equipment for

assembly of gas centrifuge rotor sections,

baffles and end caps, including associated

precision mandrels, clamps and shrink fit

machines;

b. Rotor straightening equipment for

alignment of gas centrifuge rotor sections to

a common axis;

Technical Note: Normally such equipment

will consist of precision measuring probes

linked to a computer that subsequently

controls the action of, for example,

pneumatic rams used for aligning the rotor

tube sections.

c. Bellows-forming mandrels and dies for

producing single-convolution bellows

(bellows made of high-strength aluminum

alloys, maraging steel or high strength

filamentary materials). The bellows have all

of the following dimensions:

c.1. 75 mm to 400 mm inside diameter;

c.2. 12.7 mm or more in length; and

c.3. Single convolution depth more than 2

mm.

2B229 Centrifugal multiplane balancing

machines, fixed or portable, horizontal or

vertical, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Centrifugal balancing machines

designed for balancing flexible rotors having

a length of 600 mm or more and having all

of the following characteristics:

a.1. A swing or journal diameter of 75 mm

or more;

a.2. Mass capability of from 0.9 to 23 kg;

and

a.3. Capable of balancing speed of

revolution more than 5000 r.p.m.;

b. Centrifugal balancing machines designed

for balancing hollow cylindrical rotor

components and having all of the following

characteristics:

b.1. A journal diameter of 75 mm or more;

b.2. Mass capability of from 0.9 to 23 kg;

b.3. Capable of balancing to a residual

imbalance of 0.01 kg mm/kg per plane or

better; and

b.4. Belt drive type.

2B230 ‘‘Pressure transducers’’ which are

capable of measuring absolute pressure at

any point in the range 0 to 13 kPa, with

pressure sensing elements made of or

protected by nickel, nickel alloys with more

than 60% nickel by weight, aluminum or

aluminum alloys, having any of the

characteristics (see List of Items

Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value.

Related Controls: N/A

Related Definitions: (1) Pressure transducers

are devices that convert pressure

measurements into an electrical signal. (2)

For the purposes of this entry, ‘‘accuracy’’

includes non-linearity, hysteresis and

repeatability at ambient temperature.

Items: a. A full scale of less than 13 kPa and

an ‘‘accuracy’’ of better than +/¥1%

(full¥scale); or

b. A full scale of 13 kPa or greater and an

‘‘accuracy’’ of better than +/¥130 Pa.

2B231 Vacuum pumps with an input throat

size of 380 mm or greater with a pumping

speed of 15,000 liters/s or greater and

capable of producing an ultimate vacuum

better than 10¥4 Torr (1.33μ10¥4 mbar).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: Vacuum pumps for gaseous

diffusion separation process are subject to

the export licensing authority of the

Nuclear Regulatory Commission. (See 10

CFR part 110.)

Related Definition: (1) The ultimate vacuum

is determined at the input of the pump

with the input of the pump blocked off. (2)

The pumping speed is determined at the

measurement point with nitrogen gas or

air.

Items: The list of items controlled is

contained in the ECCN heading.

2B232 Multistage light gas guns or other

high-velocity gun systems (coil,

electromagnetic, electrothermal, or other

advanced systems) capable of accelerating

projectiles to 2 km/s or greater.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value.

Related Controls: N/A.

Related Definitions: N/A.

Items: The list of items controlled is

contained in the ECCN heading.

2B290 ‘‘Numerically controlled’’ machine

tools not controlled by 2B001.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definition: N/A

Items: a. Turning machines or combination

turning/milling machines that are capable of

machining diameters greater than 2.5 meters.

b. Reserved.

2B350 Chemical manufacturing facilities

and equipment, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to entire entry CB Column 3

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled
2492 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Unit: Equipment in number.

Related Controls: The controls in this entry

do not apply to equipment that is: (a)

specially designed for use in civil

applications (e.g., food processing, pulp

and paper processing, or water

purification); and (b) inappropriate, by the

nature of its design, for use in storing,

processing, producing or conducting and

controlling the flow of chemical weapons

precursors controlled by 1C350.

Related Definitions: For purposes of this

entry the term ‘‘chemical warfare agents’’

are those agents subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

(See 22 CFR part 121)

Items: a. Reaction vessels or reactors, with or

without agitators, with total internal

(geometric) volume greater than 0.1 m3

(100 liters) and less than 20 m3 (20,000

liters), where all surfaces that come in

direct contact with the chemical(s) being

processed or contained are made from any

of the following materials:

a.1. Alloys with more than 25% nickel and

20% chromium by weight;

a.2. Fluoropolymers;

a.3. Glass (including vitrified or enamelled

coating or glass lining);

a.4. Nickel or alloys with more than 40%

nickel by weight;

a.5. Tantalum or tantalum alloys;

a.6. Titanium or titanium alloys; or

a.7. Zirconium or zirconium alloys;

b. Agitators for use in reaction vessels or

reactors where all surfaces of the agitator that

come in direct contact with the chemical(s)

being processed or contained are made from

any of the following materials:

b.1. Alloys with more than 25% nickel and

20% chromium by weight;

b.2. Fluoropolymers;

b.3. Glass (including vitrified or enamelled

coatings or glass lining);

b.4. Nickel or alloys with more than 40%

nickel by weight;

b.5. Tantalum or tantalum alloys;

b.6. Titanium or titanium alloys; or

b.7. Zirconium or zirconium alloys;

c. Storage tanks, containers or receivers

with a total internal (geometric) volume

greater than 0.1 m3 (100 liters) where all

surfaces that come in direct contact with the

chemical(s) being processed or contained are

made from any of the following materials:

c.1. Alloys with more than 25% nickel and

20% chromium by weight;

c.2. Fluoropolymers;

c.3. Glass (including vitrified or enamelled

coatings or glass lining);

c.4. Nickel or alloys with more than 40%

nickel by weight;

c.5. Tantalum or tantalum alloys;

c.6. Titanium or titanium alloys; or

c.7. Zirconium or zirconium alloys;

d. Heat exchangers or condensers with a

heat transfer surface area of less than 20 m2,

where all surfaces that comes in direct

contact with the chemical(s) being processed

are made from any of the following materials:

d.1. Alloys with more than 25% nickel and

20% chromium by weight;

d.2. Fluoropolymers;

d.3. Glass (including vitrified or enamelled

coatings or glass lining);

d.4. Graphite;

d.5. Nickel or alloys with more than 40%

nickel by weight;

d.6. Tantalum or tantalum alloys;

d.7. Titanium or titanium alloys; or

d.8. Zirconium or zirconium alloys;

e. Distillation or absorption columns of

internal diameter greater than 0.1 m, where

all surfaces that come in direct contact with

the chemical(s) being processed are made

from any of the following materials:

e.1. Alloys with more than 25% nickel and

20% chromium by weight;

e.2. Fluoropolymers;

e.3. Glass (including vitrified or enamelled

coatings or glass lining);

e.4. Graphite;

e.5. Nickel or alloys with more than 40%

nickel by weight;

e.6. Tantalum or tantalum alloys;

e.7. Titanium or titanium alloys; or

e.8. Zirconium or zirconium alloys;

f. Remotely operated filling equipment in

which all surfaces that come in direct contact

with the chemical(s) being processed are

made from any of the following materials:

f.1. Alloys with more than 25% nickels and

20% chromium by weight, or

f.2. Nickel or alloys with more than 40%

nickel by weight;

g. Multiple seal valves incorporating a leak

detection port, bellows-seal valves, nonreturn (check) valves or diaphragm valves, in

which all surfaces that come in to direct

contact with the chemical(s) being processed

or contained are made from any of the

following materials:

g.1. Alloys with more than 25% nickel and

20% chromium by weight;

g.2. Fluoropolymers;

g.3. Glass (including vitrified or enamelled

coatings or glass lining);

g.4. Nickel or alloys with more than 40%

nickel by weight;

g.5. Tantalum or tantalum alloys;

g.6. Titanium or titanium alloys; or

g.7. Zirconium or zirconium alloys;

h. Multi-walled piping incorporating a leak

detection port, in which all surfaces that

come in direct contact with the chemical(s)

being processed or contained are made from

any of the following materials:

h.1. Alloys with more than 25% nickel and

20% chromium by weight;

h.2. Fluoropolymers;

h.3. Glass (including vitrified or enamelled

coatings or glass lining);

h.4. Graphite;

h.5. Nickel or alloys with more than 40%

nickel by weight;

h.6. Tantalum or tantalum alloys;

h.7. Titanium or titanium alloys; or

h.8. Zirconium or zirconium alloys;

i. Multiple-seal, canned drive, magnetic

drive, bellows or diaphragm pumps, with

manufacturer’s specified maximum flow-rate

greater than 0.6 m3/hour, or vacuum pumps

with manufacturer’s specified maximum

flow-rate greater than 5 m3/hour (under

standard temperature (273 K (0°C)) and

pressure (101.3 kPa) conditions), in which all

surfaces that come into direct contact with

the chemical(s) being processed are made

from any of the following materials:

i.1. Alloys with more than 25% nickel and

20% chromium by weight;

i.2. Ceramics;

i.3. Ferrosilicon;

i.4. Fluoropolymers;

i.5. Glass (including vitrified or enamelled

coatings or glass lining);

i.6. Graphite;

i.7. Nickel or alloys with more than 40%

nickel by weight;

i.8. Tantalum or tantalum alloys;

i.9. Titanium or titanium alloys, or

i.10. Zirconium or zirconium alloys;

j. Incinerators designed to destroy chemical

warfare agents, or chemical weapons

precursors controlled by 1C350, having

specially designed waste supply systems,

special handling facilities and an average

combustion chamber temperature greater

than 1000°C in which all surfaces in the

waste supply system that come into direct

contact with the waste products are made

from or lined with any of the following

materials:

j.1. Alloys with more than 25% nickel and

20% chromium by weight;

j.2. Ceramics; or

j.3. Nickel or alloys with more than 40%

nickel by weight.

2B351 Toxic gas monitoring systems and

dedicated detectors therefor.

License Requirements

Reason for Control: CB, AT.

Control(s) Country Chart

CB applies to entire entry CB Column 3

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: a. Designed for continuous operation

and usable for the detection of chemical

warfare agents, chemicals controlled by

1C350 or organic compounds containing

phosphorus, sulphur, fluorine or chlorine, at

concentrations of less than 0.3 mg/m3; or

b. Designed for the detection of

cholinesterase-inhibiting activity.

2B352 Equipment capable of use in

handling biological materials, as follows

(see List of Items Controlled).

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to entire entry CB Column 3

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: For purposes of this

entry, isolators include flexible isolators,
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2493

dry boxes, anaerobic chambers and glove

boxes.

Items: a. Complete containment facilities at

P3 or P4 containment level;

Technical Note: P3 or P4 (BL3, BL4, L3,

L4) containment levels are as specified in the

WHO Laboratory Biosafety Manual (Geneva,

1983).

b. Fermenters capable of cultivation of

pathogenic microorganisms, viruses, or for

toxin production, without the propagation of

aerosols, having a capacity equal to or greater

than 100 liters.

Technical Note: Fermenters include

bioreactors, chemostats, and continuous-flow

systems.

c. Centrifugal separators capable of the

continuous separation of pathogenic

microorganisms, without the propagation of

aerosols, and having all of the following

characteristics:

c.1. A flow rate greater than 100 liters per

hour;

c.2. Components of polished stainless steel

or titanium;

c.3. Double or multiple sealing joints

within the steam containment area; and

c.4. Capable of in situ steam sterilization in

a closed state.

Technical Note: Centrifugal separators

include decanters.

d. Cross-flow filtration equipment capable

of continuous separation of pathogenic

microorganisms, viruses, toxins, and cell

cultures without the propagation of aerosols,

having all of the following characteristics:

d.1. Equal to or greater than 5 square

meters;

d.2. Capable of in situ sterilization.

e. Steam sterilizable freeze-drying

equipment with a condenser capacity greater

than 50 kgs of ice in 24 hours but less than

1,000 kgs;

f. Equipment that incorporates or is

contained in P3 or P4 containment housing,

as follows:

f.1. Independently ventilated protective

full or half suits;

f.2. Class III biological safety cabinets or

isolators with similar performance standards;

g. Chambers designed for aerosol challenge

testing with microorganisms, viruses, or

toxins and having a capacity of 1 m3 or

greater.

2B991 Numerical control units for

machine tools and ‘‘numerically controlled’’

machine tools, n.e.s.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: a. ‘‘Numerical control’’ units for

machine tools:

a.1. Having four interpolating axes that can

be coordinated simultaneously for

‘‘contouring control’’; or

a.2. Having two or more axes that can be

coordinated simultaneously for ‘‘contouring

control’’ and a minimum programmable

increment better (less) than 0.001 mm;

a.3. ‘‘Numerical control’’ units for machine

tools having two, three or four interpolating

axes that can be coordinated simultaneously

for ‘‘contouring control’’, and capable of

receiving directly (on-line) and processing

computer-aided-design (CAD) data for

internal preparation of machine instructions;

or

b. ‘‘Motion control boards’’ specially

designed for machine tools and having any

of the following characteristics:

b.1. Interpolation in more than four axes;

b.2. Capable of ‘‘real time processing’’ of

data to modify tool path, feed rate and

spindle data, during the machining

operation, by any of the following:

b.2.a. Automatic calculation and

modification of part program data for

machining in two or more axes by means of

measuring cycles and access to source data;

or

b.2.b. ‘‘Adaptive control’’ with more than

one physical variable measured and

processed by means of a computing model

(strategy) to change one or more machining

instructions to optimize the process.

b.3. Capable of receiving and processing

CAD data for internal preparation of machine

instructions; or

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’’, with all

compensations available:

c.2.a. Better than 0.020 mm along any

linear axis (overall positioning) for grinding

machines;

c.2.b. Better than 0.020 mm along any

linear axis (overall positioning) for milling

machines; or

c.2.c. Better than 0.020 mm along any

linear axis (overall positioning) for turning

machines; or

d. Machine tools, as follows, for removing

or cutting metals, ceramics or composites,

that, according to the manufacturer’s

technical specifications, can be equipped

with electronic devices for simultaneous

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

d.1. Machine tools for turning, grinding,

milling or any combination thereof, having

two or more axes that can be coordinated

simultaneously for ‘‘contouring control’’ and

having any of the following characteristics:

d.1.a. One or more contouring ‘‘tilting

spindles’’;

Note: 2B991.d.1.a. applies to machine tools

for grinding or milling only.

d.1.b. ‘‘Camming’’ (axial displacement) in

one revolution of the spindle less (better)

than 0.0006 mm total indicator reading (TIR);

Note: 2B991.d.1.b. applies to machine tools

for turning only.

d.1.c. ‘‘Run out’’ (out-of-true running) in

one revolution of the spindle less (better)

than 0.0006 mm total indicator reading (TIR);

d.1.d. The ‘‘positioning accuracies’’, with

all compensations available, are less (better)

than: 0.001° on any rotary axis;

d.2. Electrical discharge machines (EDM)

of the wire feed type that have five or more

axes that can be coordinated simultaneously

for ‘‘contouring control’’.

2B992 Non-‘‘numerically controlled’’

machine tools for generating optical quality

surfaces, and specially designed

components therefor.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: a. Turning machines using a single

point cutting tool and having all of the

following characteristics:

a.1. Slide positioning accuracy less (better)

than 0.0005 mm per 300 mm of travel;

a.2. Bidirectional slide positioning

repeatability less (better) than 0.00025 mm

per 300 mm of travel;

a.3. Spindle ‘‘run out’’ and ‘‘camming’’ less

(better) than 0.0004 mm total indicator

reading (TIR);

a.4. Angular deviation of the slide

movement (yaw, pitch and roll) less (better)

than 2 seconds of arc, TIR, over full travel;

and

a.5. Slide perpendicularity less (better)

than 0.001 mm per 300 mm of travel;

Technical Note: The bidirectional slide

positioning repeatability (R) of an axis is the

maximum value of the repeatability of

positioning at any position along or around

the axis determined using the procedure and

under the conditions specified in part 2.11 of

ISO 230/2: 1988.

b. Fly cutting machines having all of the

following characteristics:

b.1. Spindle ‘‘run out’’ and ‘‘camming’’ less

(better) than 0.0004 mm TIR; and

b.2. Angular deviation of slide movement

(yaw, pitch and roll) less (better) than 2

seconds of arc, TIR, over full travel.

2B993 Gearmaking and/or finishing

machinery not controlled by 2B003 capable

of producing gears to a quality level of

better than AGMA 11.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions
2494 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2B996 Dimensional inspection or

measuring systems or equipment not

controlled by 2B006.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: a. Manual dimensional inspection

machines, having both of the following

characteristics:

a.1. Two or more axes; and

a.2. A measurement uncertainty equal to or

less (better) than (3 + L/300) micrometer in

any axes (L measured length in mm);

b. Systems for simultaneous linear-angular

inspection of hemishells, having both of the

following characteristics:

b.1. ‘‘Measurement uncertainty’’ along any

linear axis equal to or less (better) than 3.5

micrometer per 5 mm; and

b.2. ‘‘Angular position deviation’’ equal to

or less (better) than 0.02°;

2B997 ‘‘Robots’’ not controlled by 2B007

or 2B207 that are capable of employing

feedback information in real-time

processing from one or more sensors to

generate or modify ‘‘programs’’ or to

generate or modify numerical program data.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2B998 Assemblies, units or inserts

specially designed for machine tools

controlled by 2B991, or for equipment

controlled by 2B993, 2B996 or 2B997.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: This entry does not control

measuring interferometer systems, without

closed or open loop feedback, containing a

laser to measure slide movement errors of

machine-tools, dimensional inspection

machines or similar equipment.

Related Definition: N/A

Items: a. Spindle assemblies, consisting of

spindles and bearings as a minimal assembly,

with radial (‘‘run out’’) or axial (‘‘camming’’)

axis motion in one revolution of the spindle

less (better) than 0.0006 mm total indicator

reading (TIR);

b. Single point diamond cutting tool

inserts, having all of the following

characteristics:

b.1. Flawless and chip-free cutting edge

when magnified 400 times in any direction;

b.2. Cutting radius from 0.1 to 5 mm

inclusive; and

b.3. Cutting radius out-of-roundness less

(better) than 0.002 mm TIR.

c. Specially designed printed circuit boards

with mounted components capable of

upgrading, according to the manufacturer’s

specifications, ‘‘numerical control’’ units,

machine tools or feedback devices to or

above the levels specified in ECCNs 2B991,

2B993, 2B996, 2B997, or 2B998.

C. Materials [Reserved]

D. Software

2D001 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

controlled by 2A001 or 2B001 to 2B009.

License Requirements

Reason for Control: NS, MT, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to ‘‘software’’

for equipment controlled by 2B004 and

2B009 for MT reasons.

MT Column 1

NP applies to specially

designed or modified

‘‘software’’ for equipment controlled by

2B001 for NP reasons,

and to specially designed ‘‘software’’ for

equipment controlled by

2B004, 2B006, 2B007, or

2B009 for NP reasons.

NP Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes, except N/A for MT

List of Items Controlled

Unit: $ value

Related Controls: See also 2D101 and 2D201

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2D002 ‘‘Software’’ for electronic devices,

even when residing in an electronic device

or system, enabling such devices or

systems to function as a ‘‘numerical

control’’ unit, capable of any of the

following (see List of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

NP applies to entire entry,

except 2D002.b.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: $ value

Related Controls: (1) See also 2D202. (2) This

entry does not control ‘‘software’’ specially

designed or modified for the operation of

machine tools not controlled by Category 2.

Related Definitions: N/A

Items: a. Coordinating simultaneously more

than 4 axes for ‘‘contouring control’’; or

b. ‘‘Real time processing’’ of data to modify

tool path, feed rate and spindle data,

during the machining operation, by any of

the following:

b.1. Automatic calculation and modification

of part program data for machining in two

or more axes by means of measuring cycles

and access to source data; or

b.2. ‘‘Adaptive control’’ with more than one

physical variable measured and processed

by means of a computing model (strategy)

to change one or more machining

instructions to optimize the process.

2D018 ‘‘Software’’ for the ‘‘development’’,

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

controlled by 2B018.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to ‘‘software’’

for equipment controlled by 2B018 for MT

reasons.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2495

2D101 ‘‘Software’’ specially designed for

the ‘‘use’’ of equipment controlled by

2B104, 2B109 or 2B116.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 9D004

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2D201 ‘‘Software’’ specially designed for

the ‘‘use’’ of equipment controlled by

2B204, 2B206, 2B207, 2B209, 2B227 or

2B229.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2D202 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

controlled by 2B201.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2D290 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

‘‘production’’ or ‘‘use’’ of items controlled

by 2A290, 2A291, 2A292, 2A293, or 2B290.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2D991 ‘‘Software’’ specially designed for

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

of equipment controlled by 2B991, 2B993,

or 2B996, 2B997, and 2B998.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2D992. Specific ‘‘software’’, as follows

(see List of Items Controlled).

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. ‘‘Software’’ to provide ‘‘adaptive

control’’ and having both of the following

characteristics:

a.1. For ‘‘flexible manufacturing units’’

(FMUs) which consist at least of equipment

described in b.1 and b.2 of the definition of

‘‘flexible manufacturing unit’’ contained in

part 772 of the EAR; and

a.2. Capable of generating or modifying, in

‘‘real time processing’’, programs or data by

using the signals obtained simultaneously by

means of at least two detection techniques,

such as:

a.2.a. Machine vision (optical ranging);

a.2.b. Infrared imaging;

a.2.c. Acoustical imaging (acoustical

ranging);

a.2.d. Tactile measurement;

a.2.e. Inertial positioning;

a.2.f. Force measurement; and

a.2.g. Torque measurement.

Note: 2D992.a does not control ‘‘software’’

which only provides rescheduling of

functionally identical equipment within

‘‘flexible manufacturing units’’ using prestored part programs and a pre-stored

strategy for the distribution of the part

programs.

b. Reserved.

2D994 ‘‘Software’’ specially designed for

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

portable electric generators controlled by

2A994.

License Requirements

Reason for Control: AT

Control(s)

AT applies to entire entry. A license is

required for items controlled by this entry to

Cuba, Iran, Libya, and North Korea. The

Commerce Country Chart is not designed to

determine licensing requirements for this

entry. See part 746 of the EAR for additional

information.

Note: Exports from the U.S. and

transhipments to Iran must be licensed by

the Department of Treasury, Office of Foreign

Assets Control. (See § 742.8 and § 746.7 for

additional information on this requirement.)

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

E. Technology

2E001 ‘‘Technology’’ according to the

General Technology Note for the

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

controlled by 2A (except 2A991, 2A993, or

2A994), 2B (except 2B991, 2B993, 2B996,

2B997, or 2B998), or 2D (except 2D991,

2D992, or 2D994).

License Requirements

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

Control(s) Country Chart

NS applies to ‘‘technology’’ for items controlled by 2A001, 2B001

to 2B009, 2D001 or

2D002

NS Column 1

MT applies to ‘‘technology’’ for items controlled by 2B004,

2B009, 2B018, 2B104,

2B109, 2B116, 2D001 or

2D101 for MT reasons

MT Column 1

NP applies to ‘‘technology’’ for items controlled by 2B001,

2B004, 2B006, 2B007

2B009, 2B104, 2B109,

2B204 2B206, 2B207,

2B209, 2B225, 2B226,

2B228, 2B229, 2B231,

2D001, 2D002, or 2D201

for NP reasons

NP Column 1

NP applies to ‘‘technology’’ for equipment

controlled by 2A290

NP Column 2
2496 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Control(s) Country Chart

CB applies to ‘‘technology’’ for equipment

controlled by 2B350 to

2B352

CB Column 3

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.

License Exceptions

CIV: N/A

TSR: Yes, except N/A for MT

List of Items Controlled

Unit: N/A

Related Controls: See also 2E101, 2E201, and

2E301

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2E002 ‘‘Technology’’ according to the

General Technology Note for the

‘‘production’’ of equipment controlled by 2A

(except 2A991, 2A993, or 2A994), or 2B

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

2B998).

License Requirements

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

Control(s) Country Chart

NS applies to ‘‘technology’’ for equipment

controlled by 2A001,

2B001 to 2B009

NS Column 1

MT applies to ‘‘technology’’ for equipment

controlled by 2B004,

2B009, 2B018, 2B104,

2B109, and 2B116 for

MT reasons

MT Column 1

NP applies to ‘‘technology’’ for equipment

controlled by 2B001,

2B004, 2B006, 2B007,

2B009, 2B104, 2B109,

2B204, 2B206, 2B207,

2B209, 2B225, 2B226,

2B228, 2B229, or 2B231

for NP reasons

NP Column 1

Control(s) Country Chart

NP applies to ‘‘technology’’ for equipment

controlled by 2A290

NP Column 2

CB applies to ‘‘technology’’ for equipment

controlled by 2B350 to

2B352

CB Column 3

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.

License Exceptions

CIV: N/A

TSR: Yes, except N/A for MT

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

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

List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

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

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. ‘‘Technology’’ for the

‘‘development’’ of interactive graphics as an

integrated part in ‘‘numerical control’’ units

for preparation or modification of part

programs;

b. ‘‘Technology’’ for metal-working

manufacturing processes, as follows:

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

dies or fixtures specially designed for any of

the following processes:

b.1.a. ‘‘Superplastic forming’’;

b.1.b. ‘‘Diffusion bonding’’; or

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

b.2. Technical data consisting of process

methods or parameters as listed below used

to control:

b.2.a. ‘‘Superplastic forming’’ of aluminum

alloys, titanium alloys or ‘‘superalloys’’:

b.2.a.1. Surface preparation;

b.2.a.2. Strain rate;

b.2.a.3. Temperature;

b.2.a.4. Pressure;

b.2.b. ‘‘Diffusion bonding’’ of

‘‘superalloys’’ or titanium alloys:

b.2.b.1. Surface preparation;

b.2.b.2. Temperature;

b.2.b.3. Pressure;

b.2.c. ‘‘Direct-acting hydraulic pressing’’ of

aluminum alloys or titanium alloys:

b.2.c.1. Pressure;

b.2.c.2. Cycle time;

b.2.d. ‘‘Hot isostatic densification’’ of

titanium alloys, aluminum alloys or

‘‘superalloys’’:

b.2.d.1. Temperature;

b.2.d.2. Pressure;

b.2.d.3. Cycle time;

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

‘‘production’’ of hydraulic stretch-forming

machines and dies therefor, for the

manufacture of airframe structures;

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

generators of machine tool instructions (e.g.,

part programs) from design data residing

inside ‘‘numerical control’’ units;

e. ‘‘Technology for the development’’ of

integration ‘‘software’’ for incorporation of

expert systems for advanced decision support

of shop floor operations into ‘‘numerical

control’’ units;

f. ‘‘Technology’’ for the application of

inorganic overlay coatings or inorganic

surface modification coatings (specified in

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

of the following table), by processes specified

in column 1 of the following table and

defined in the Technical Note.

CATEGORY 2E—MATERIALS PROCESSING TABLE; DEPOSITION TECHNIQUES

[The numbers in parentheses refer to the Notes following this Table]

1. Coating Process (1) 2. Substrate 3. Resultant Coating

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

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

Carbides

Dielectric layers (15)

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

‘‘composites’’.

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Aluminides

Alloyed aluminides (2)

Cemented tungsten carbide (16), Silicon carbide.Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

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

Beryllium and Beryllium alloys .......................... Dielectric layers (15)
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2497

CATEGORY 2E—MATERIALS PROCESSING TABLE; DEPOSITION TECHNIQUES—Continued

[The numbers in parentheses refer to the Notes following this Table]

1. Coating Process (1) 2. Substrate 3. Resultant Coating

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

B. Thermal-Evaporation Physical Vapor Deposition (TE–PVD)

1. Physical Vapor Deposition (PVD): Electron-Beam (EB–PVD).‘‘Superalloys’’ .................................................... Alloyed silicides

Alloyed aluminides (2)

MCrAlX (5)

Modified zirconia (12)

Silicides

Aluminides

Mixtures thereof (4)

Ceramics and Low-expansion glasses (14) ..... Dielectric layers (15)

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

Modified zirconia (12)

Mixtures thereof (4)

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

‘‘composites’’.

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Cemented tungsten carbide (16), Silicon carbide.Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

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

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

Borides

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

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

Nitrides

2. Ion assisted resistive heating Physical

Vapor Deposition (Ion Plating).

Ceramics and Low-expansion glasses (14) ..... Dielectric layers (15)

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

‘‘composites’’.

Dielectric layers (15)

Cemented tungsten carbide (16) Silicon carbide.Dielectric layers (15)

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

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

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

3. Physical Vapor Deposition: ‘‘laser’’

evaporation.

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

Dielectric layers (15)

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

‘‘composites’’.

Dielectric layers (15)

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

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

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

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

Diamond-like carbon

4. Physical Vapor Deposition: cathodic arc

discharge.

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

Alloyed

Aluminides (2)

MCrAlX (5)

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

Carbides

Nitrides

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

‘‘composites’’.

Silicides

Carbides

Mixtures thereof (4)

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

Aluminides

Alloyed aluminides (2)

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

Oxides
2498 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

CATEGORY 2E—MATERIALS PROCESSING TABLE; DEPOSITION TECHNIQUES—Continued

[The numbers in parentheses refer to the Notes following this Table]

1. Coating Process (1) 2. Substrate 3. Resultant Coating

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

Modified zirconia (12)

Mixtures Thereof (4)

Abradable

Nickel-Graphite

Abradable

Ni-Cr-AlBentonite

Abradable

Al-Si-Polyester

Alloyed aluminides (2)

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

Modified zirconia (12)

Silicides

Mixtures thereof (4)

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

Silicides

Carbides

Corrosion resistant steel (7) ............................. Modified zirconia (12)

Mixtures thereof (4)

Titanium alloys (13) .......................................... Carbides

Aluminides

Silicides

Alloyed aluminides (2)

Abradable

Nickel-Graphite

Abradable

Ni-Cr-AlBentonite

Abradable

Al-Si-Polyester

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

Fused aluminides except for resistance heating elements

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

‘‘composites’’.

Silicides

Carbides

Mixtures thereof (4)

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

Alloyed aluminides (2)

Noble metal modified aluminides (3)

MCrAlX (5)

Modified zirconia (12)

Platinum

Mixtures thereof (4)

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

Platinum

Mixtures thereof (4)

Dielectric layers (15)

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

Nitrides

Oxides

Silicides

Aluminides

Alloyed aluminides (2)

Carbides

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

‘‘Composites’’.

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Cemented tungsten carbide (16), Silicon carbide.Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

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

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

Dielectric layers (15)

Sensor window materials (9) ............................ Dielectric layers (15)
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2499

CATEGORY 2E—MATERIALS PROCESSING TABLE; DEPOSITION TECHNIQUES—Continued

[The numbers in parentheses refer to the Notes following this Table]

1. Coating Process (1) 2. Substrate 3. Resultant Coating

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

Silicides

Oxides

Carbides

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

(Columbium)

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

Nitrides

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

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

Nitrides

Notes to Table on Deposition Techniques

1. The term ‘coating process’ includes

coating repair and refurbishing as well as

original coating.

2. The term ‘alloyed aluminide coating’

includes single or multiple-step coatings in

which an element or elements are deposited

prior to or during application of the

aluminide coating, even if these elements are

deposited by another coating process. It does

not, however, include the multiple use of

single-step pack cementation processes to

achieve alloyed aluminides.

3. The term ‘noble metal modified

aluminide’ coating includes multiple-step

coatings in which the noble metal or noble

metals are laid down by some other coating

process prior to application of the aluminide

coating.

4. Mixtures consist of infiltrated material,

graded compositions, co-deposits and

multilayer deposits and are obtained by one

or more of the coating processes specified in

the Table.

5. MCrAlX refers to a coating alloy where

M equals cobalt, iron, nickel or combinations

thereof and X equals hafnium, yttrium,

silicon, tantalum in any amount or other

intentional additions over 0.01 weight

percent in various proportions and

combinations, except:

a. CoCrAlY coatings which contain less

than 22 weight percent of chromium, less

than 7 weight percent of aluminum and less

than 2 weight percent of yttrium;

b. CoCrAlY coatings which contain 22 to

24 weight percent of chromium, 10 to 12

weight percent of aluminum and 0.5 to 0.7

weight percent of yttrium; or

c. NiCrAlY coatings which contain 21 to 23

weight percent of chromium, 10 to 12 weight

percent of aluminum and 0.9 to 1.1 weight

percent of yttrium.

6. The term ‘aluminum alloys’ refers to

alloys having an ultimate tensile strength of

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

7. The term ‘corrosion resistant steel’ refers

to AISI (American Iron and Steel Institute)

300 series or equivalent national standard

steels.

8. Refractory metals consist of the

following metals and their alloys: niobium

(columbium), molybdenum, tungsten and

tantalum.

9. Sensor window materials, as follows:

alumina, silicon, germanium, zinc sulphide,

zinc selenide, gallium arsenide and the

following metal halides: potassium iodide,

potassium fluoride, or sensor window

materials of more than 40 mm diameter for

thallium bromide and thallium

chlorobromide.

10. ‘‘Technology’’ for single-step pack

cementation of solid airfoils is not controlled

by this Category.

11. Polymers, as follows: polyimide,

polyester, polysulfide, polycarbonates and

polyurethanes.

12. Modified zirconia refers to additions of

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

yttria, hafnia, rare earth oxides) to zirconia in

order to stabilize certain crystallographic

phases and phase compositions. Thermal

barrier coatings made of zirconia, modified

with calcia or magnesia by mixing or fusion,

are not controlled.

13. Titanium alloys refers to aerospace

alloys having an ultimate tensile strength of

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

14. Low-expansion glasses refers to glasses

which have a coefficient of thermal

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

at 293 K (20° C).

15. Dielectric layers are coatings

constructed of multi-layers of insulator

materials in which the interference

properties of a design composed of materials

of various refractive indices are used to

reflect, transmit or absorb various wavelength

bands. Dielectric layers refers to more than

four dielectric layers or dielectric/metal

‘‘composite’’ layers.

16. Cemented tungsten carbide does not

include cutting and forming tool materials

consisting of tungsten carbide/(cobalt,

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

chromium carbide/nickel-chromium and

chromium carbide/nickel.

Technical Note to Table on Deposition

Techniques

Processes specified in Column 1 of the

Table are defined as follows:

a. Chemical Vapor Deposition (CVD) is an

overlay coating or surface modification

coating process wherein a metal, alloy,

‘‘composite’’, dielectric or ceramic is

deposited upon a heated substrate. Gaseous

reactants are decomposed or combined in the

vicinity of a substrate resulting in the

deposition of the desired elemental, alloy or

compound material on the substrate. Energy

for this decomposition or chemical reaction

process may be provided by the heat of the

substrate, a glow discharge plasma, or ‘‘laser’’

irradiation.

Note 1: CVD includes the following

processes: directed gas flow out-of-pack

deposition, pulsating CVD, controlled

nucleation thermal decomposition (CNTD),

plasma enhanced or plasma assisted CVD

processes.

Note 2: Pack denotes a substrate immersed

in a powder mixture.

Note 3: The gaseous reactants used in the

out-of-pack process are produced using the

same basic reactions and parameters as the

pack cementation process, except that the

substrate to be coated is not in contact with

the powder mixture.

b. Thermal Evaporation-Physical Vapor

Deposition (TE–PVD) is an overlay coating

process conducted in a vacuum with a

pressure less than 0.1 Pa wherein a source of

thermal energy is used to vaporize the

coating material. This process results in the

condensation, or deposition, of the

evaporated species onto appropriately

positioned substrates. The addition of gases

to the vacuum chamber during the coating

process to synthesize compound coatings is

an ordinary modification of the process. The

use of ion or electron beams, or plasma, to

activate or assist the coating’s deposition is

also a common modification in this

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

characteristics and thickness of coatings can

be a feature of these processes. Specific TE–

PVD processes are as follows:

1. Electron Beam PVD uses an electron

beam to heat and evaporate the material

which forms the coating;

2. Resistive Heating PVD employs

electrically resistive heating sources capable

of producing a controlled and uniform flux

of evaporated coating species;

3. ‘‘Laser’’ Evaporation uses either pulsed

or continuous wave ‘‘laser’’ beams to heat the

material which forms the coating;

4. Cathodic Arc Deposition employs a

consumable cathode of the material which

forms the coating and has an arc discharge

established on the surface by a momentary

contact of a ground trigger. Controlled

motion of arcing erodes the cathode surface

creating a highly ionized plasma. The anode

can be either a cone attached to the periphery

of the cathode, through an insulator, or the

chamber. Substrate biasing is used for non

line-of-sight deposition.
2500 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Note: This definition does not include

random cathodic arc deposition with nonbiased substrates.

c. Ion Plating is a special modification of

a general TE–PVD process in which a plasma

or an ion source is used to ionize the species

to be deposited, and a negative bias is

applied to the substrate in order to facilitate

the extraction of the species to be deposited

from the plasma. The introduction of reactive

species, evaporation of solids within the

process chamber, and the use of monitors to

provide in-process measurement of optical

characteristics and thicknesses of coatings

are ordinary modifications of the process.

d. Pack Cementation is a surface

modification coating or overlay coating

process wherein a substrate is immersed in

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

1. The metallic powders that are to be

deposited (usually aluminum, chromium,

silicon or combinations thereof);

2. An activator (normally a halide salt);

and

3. An inert powder, most frequently

alumina. The substrate and powder mixture

is contained within a retort which is heated

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

(1,102° C) for sufficient time to deposit the

coating.

e. Plasma Spraying is an overlay coating

process wherein a gun (spray torch) which

produces and controls a plasma accepts

powder or wire coating materials, melts them

and propels them towards a substrate,

whereon an integrally bonded coating is

formed. Plasma spraying constitutes either

low pressure plasma spraying or high

velocity plasma spraying carried out

underwater.

Note 1: Low pressure means less than

ambient atmospheric pressure.

Note 2: High velocity refers to nozzle-exit

gas velocity exceeding 750 m/s calculated at

293 K (20° C) at 0.1 MPa.

f. Slurry Deposition is a surface

modification coating or overlay coating

process wherein a metallic or ceramic

powder with an organic binder is suspended

in a liquid and is applied to a substrate by

either spraying, dipping or painting,

subsequent air or oven drying, and heat

treatment to obtain the desired coating.

g. Sputter Deposition is an overlay coating

process based on a momentum transfer

phenomenon, wherein positive ions are

accelerated by an electric field towards the

surface of a target (coating material). The

kinetic energy of the impacting ions is

sufficient to cause target surface atoms to be

released and deposited on an appropriately

positioned substrate.

Note 1: The Table refers only to triode,

magnetron or reactive sputter deposition

which is used to increase adhesion of the

coating and rate of deposition and to radio

frequency (RF) augmented sputter deposition

used to permit vaporization of non-metallic

coating materials.

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

keV) can be used to activate the deposition.

h. Ion Implantation is a surface

modification coating process in which the

element to be alloyed is ionized, accelerated

through a potential gradient and implanted

into the surface region of the substrate. This

includes processes in which ion implantation

is performed simultaneously with electron

beam physical vapor deposition or sputter

deposition.

Accompanying Technical Information to

Table on Deposition Techniques

1. ‘‘Technology’’ for pretreatments of the

substrates listed in the Table, as follows:

a. Chemical stripping and cleaning bath

cycle parameters, as follows:

1. Bath composition;

a. For the removal of old or defective

coating corrosion product or foreign deposits;

b. For preparation of virgin substrates;

2. Time in bath;

3. Temperature of bath;

4. Number and sequences of wash cycles;

b. Visual and macroscopic criteria for

acceptance of the cleaned part;

c. Heat treatment cycle parameters, as

follows:

1. Atmosphere parameters, as follows:

a. Composition of the atmosphere;

b. Pressure of the atmosphere;

2. Temperature for heat treatment;

3. Time of heat treatment;

d. Substrate surface preparation

parameters, as follows:

1. Grit blasting parameters, as follows:

a. Grit composition;

b. Grit size and shape;

c. Grit velocity;

2. Time and sequence of cleaning cycle

after grit blast;

3. Surface finish parameters;

e. Masking technique parameters, as

follows:

1. Material of mask;

2. Location of mask;

2. ‘‘Technology’’ for in situ quality

assurance techniques for evaluation of the

coating processes listed in the Table, as

follows:

a. Atmosphere parameters, as follows:

1. Composition of the atmosphere;

2. Pressure of the atmosphere;

b. Time parameters;

c. Temperature parameters;

d. Thickness parameters;

e. Index of refraction parameters;

3. ‘‘Technology’’ for post deposition

treatments of the coated substrates listed in

the Table, as follows:

a. Shot peening parameters, as follows:

1. Shot composition;

2. Shot size;

3. Shot velocity;

b. Post shot peening cleaning parameters;

c. Heat treatment cycle parameters, as

follows:

1. Atmosphere parameters, as follows:

a. Composition of the atmosphere;

b. Pressure of the atmosphere;

2. Time-temperature cycles;

d. Post heat treatment visual and

macroscopic criteria for acceptance of the

coated substrates;

4. ‘‘Technology’’ for quality assurance

techniques for the evaluation of the coated

substrates listed in the Table, as follows:

a. Statistical sampling criteria;

b. Microscopic criteria for:

1. Magnification;

2. Coating thickness, uniformity;

3. Coating integrity;

4. Coating composition;

5. Coating and substrates bonding;

6. Microstructural uniformity.

c. Criteria for optical properties

assessment:

1. Reflectance;

2. Transmission;

3. Absorption;

4. Scatter;

5. ‘‘Technology’’ and parameters related to

specific coating and surface modification

processes listed in the Table, as follows:

a. For Chemical Vapor Deposition:

1. Coating source composition and

formulation;

2. Carrier gas composition;

3. Substrate temperature;

4. Time-temperature-pressure cycles;

5. Gas control and part manipulation;

b. For Thermal Evaporation—Physical

Vapor Deposition:

1. Ingot or coating material source

composition;

2. Substrate temperature;

3. Reactive gas composition;

4. Ingot feed rate or material vaporization

rate;

5. Time-temperature-pressure cycles;

6. Beam and part manipulation;

7. ‘‘Laser’’ parameters, as follows:

a. Wave length;

b. Power density;

c. Pulse length;

d. Repetition ratio;

e. Source;

f. Substrate orientation;

c. For Pack Cementation:

1. Pack composition and formulation;

2. Carrier gas composition;

3. Time-temperature-pressure cycles;

d. For Plasma Spraying:

1. Powder composition, preparation and

size distribution;

2. Feed gas composition and parameters;

3. Substrate temperature;

4. Gun power parameters;

5. Spray distance;

6. Spray angle;

7. Cover gas composition, pressure and

flow rates;

8. Gun control and part manipulation;

e. For Sputter Deposition:

1. Target composition and fabrication;

2. Geometrical positioning of part and

target;

3. Reactive gas composition;

4. Electrical bias;

5. Time-temperature-pressure cycles;

6. Triode power;

7. Part manipulation;

f. For Ion Implantation:

1. Beam control and part manipulation;

2. Ion source design details;

3. Control techniques for ion beam and

deposition rate parameters;

4. Time-temperature-pressure cycles.

g. For Ion Plating:

1. Beam control and part manipulation;

2. Ion source design details;

3. Control techniques for ion beam and

deposition rate parameters;

4. Time-temperature-pressure cycles;

5. Coating material feed rate and

vaporization rate;

6. Substrate temperature;
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2501

7. Substrate bias parameters.

2E018 ‘‘Technology’’ for the ‘‘use’’ of

equipment controlled by 2B018.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to ‘‘technology’’ for equipment

controlled by 2B018 for

MT reasons.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2E101 ‘‘Technology’’ according to the

General Technology Note for the ‘‘use’’ of

equipment or ‘‘software’’ controlled by

2B004, 2B009, 2B104, 2B109, 2B116, or

2D101.

License Requirements

Reason for Control: MT, NP, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

NP applies to 2B004,

2B104, 2B109, and

2B116.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: This entry controls only

‘‘technology’’ for 2B009 for spin forming

machines combining the functions of spin

forming and flow forming, and flow

forming machines.

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2E201 ‘‘Technology’’ according to the

General Technology Note for the ‘‘use’’ of

equipment or ‘‘software’’ controlled by

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

2B007.c, 2B008, 2B009, 2B201, 2B204,

2B207, 2B209, 2B225 to 2B232, 2D201 or

2D202.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2E290 ‘‘Technology’’ according to the

General Technology Note for the ‘‘use’’ of

equipment controlled by 2A290, 2A291,

2A292, 2A293, and 2B290.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

2E301 ‘‘Technology’’ according to the

‘‘General Technology Note’’ for ‘‘use’’ of

items controlled by 2B350, 2B351 and

2B352.

License Requirements

Reason for Control: CB, AT

Control(s) Country Chart

CB applies to entire entry CB Column 3

AT applies to entire entry AT Column1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The lists of items controlled are

contained in the ECCN headings.

2E991 ‘‘Technology’’ for the ‘‘use’’ of

equipment controlled by 2B991, 2B993,

2B996, or 2B997.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A.

Related Definitions: N/A.

Items: The list of items controlled is

contained in the ECCN heading.

2E994 ‘‘Technology’’ for the ‘‘use’’ of

portable electric generators controlled by

2A994.

License Requirements

Reason for Control: AT

Control(s): AT applies to entire entry. A

license is required for items controlled by

this entry to Cuba, Iran, Libya, and North

Korea. The Commerce Country Chart is not

designed to determine licensing

requirements for this entry. See part 746 of

the EAR for additional information

Note: Exports from the U.S. and

transhipments to Iran must be licensed by the

Department of Treasury, Office of Foreign

Assets Control. (See § 742.8 and § 746.7 of

the EAR for additional information on this

requirement.)

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A.

Related Definitions: N/A.

Items: The list of items controlled is

contained in the ECCN heading.

EAR99 Items subject to the EAR that are

not elsewhere controlled by this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

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 or 3A001.a.12,

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

or 3A001.a.12 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 and 3A001.a.12. If

the integrated circuit is a silicon-based

‘‘microcomputer microcircuit’’ or

microcontroller microcircuit described in

3A001.a.3 having an operand (data) word

length of 8 bit or less, the control status of

the integrated circuit is determined in

3A001.a.3.

3A001 Electronic components, as follows

(see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to 3A001.a.1.a MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A for MT; $1500: 3A001.c;$3000:

3A001.b.1, b.2, b.3, .d, .e and .f; $5000:

3A001.a, and .b.4 to b.7

GBS: Yes, except 3A001.a.1.a, b.1, b.3 to b.7,

.c to .f
2502 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

CIV: Yes, except 3A001.a.1, a.2, a.3.a (for

processors with a CTP greater than 500

Mtops), a.5, a.6, a.9, a.10, and a.12, .b, .c,

.d, .e, and .f

List of Items Controlled

Unit: Number

Related Controls: See also 3A101, 3A201, and

3A991

Related Definitions: For the purposes of

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

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

s=5×108 Rads (Si)/s.

Items: a. General purpose integrated circuits,

as follows:

Note 1: The control status of wafers

(finished or unfinished), in which the

function has been determined, is to be

evaluated against the parameters of 3A001.a.

Note 2: Integrated circuits include the

following types: ‘‘Monolithic integrated

circuits’’; ‘‘Hybrid integrated circuits’’;

‘‘Multichip integrated circuits’’; ‘‘Film type

integrated circuits’’, including silicon-onsapphire integrated circuits; ‘‘Optical

integrated circuits’’.

a.1. Integrated circuits, designed or rated as

radiation hardened to withstand any of the

following:

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

higher; or

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

s, or higher;

a.2. Integrated circuits described in

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

electrical erasable programmable read-only

memories (EEPROMs), flash memories and

static random-access memories (SRAMs),

having any of the following:

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

temperature above 398 K (125° C);

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

temperature below 218 K (¥55° C); or

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

ambient temperature range from 218 K (¥55°

C) to 398 K (125° C);

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

integrated circuits for civil automobiles or

railway train applications.

a.3. ‘‘Microprocessor microcircuits’’,

‘‘micro-computer microcircuits’’ and

microcontroller microcircuits, having any of

the following characteristics:

Note: 3A001.a.3 includes digital signal

processors, digital array processors and

digital coprocessors.

a.3.a. A ‘‘composite theoretical

performance’’ (‘‘CTP’’) of 260 million

theoretical operations per second (Mtops) or

more and an arithmetic logic unit with an

access width of 32 bit or more;

a.3.b. Manufactured from a compound

semiconductor and operating at a clock

frequency exceeding 40 MHz; or

a.3.c. More than one data or instruction bus

or serial communication port for external

interconnection in a parallel processor with

a transfer rate exceeding 2.5 Mbyte/s;

a.4. Storage integrated circuits

manufactured from a compound

semiconductor;

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

converter integrated circuits, as follows:

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

any of the following:

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

less than 12 bit, with a total conversion time

to maximum resolution of less than 10 ns;

a.5.a.2. A resolution of 12 bit with a total

conversion time to maximum resolution of

less than 200 ns; or

a.5.a.3. A resolution of more than 12 bit

with a total conversion time to maximum

resolution of less than 2 μs;

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

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

time’’ of less than 10 ns;

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

circuits’’ designed for ‘‘signal processing’’

having all of the following:

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

‘‘laser’’ diode;

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

detecting element; and

a.6.c. Optical waveguides;

a.7. Field programmable gate arrays having

any of the following:

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

more than 30,000 (2 input gates); or

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

delay time’’ of less than 0.4 ns;

a.8. Field programmable logic arrays

having any of the following:

a.8.a. An equivalent usable gate count of

more than 30,000 (2 input gates); or

a.8.b. A toggle frequency exceeding 133

MHz;

a.9. Neural network integrated circuits;

a.10. Custom integrated circuits for which

the function is unknown, or the control

status of the equipment in which the

integrated circuits will be used is unknown

to the manufacturer, having any of the

following:

a.10.a. More than 208 terminals;

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

delay time’’ of less than 0.35 ns; or

a.10.c. An operating frequency exceeding 3

GHz;

a.11. Digital integrated circuits, other than

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

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

semiconductor and having any of the

following:

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

than 300 (2 input gates); or

a.11.b. A toggle frequency exceeding 1.2

GHz;

a.12. Fast Fourier Transform (FFT)

processors having any of the following:

a.12.a. A rated execution time for a 1,024

point complex FFT of less than 1 ms;

a.12.b. A rated execution time for an Npoint complex FFT of other than 1,024 points

of less than N log2 N /10,240 ms, where N

is the number of points; or

a.12.c. A butterfly throughput of more than

5.12 MHz;

b. Microwave or millimeter wave

components, as follows:

b.1. Electronic vacuum tubes and cathodes,

as follows:

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

designed or rated to operate in the ITU

allocated bands at frequencies not exceeding

31 GHz.

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

continuous wave, as follows:

b.1.a.1. Operating at frequencies higher

than 31 GHz;

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

with a turn on time to rated RF power of less

than 3 seconds;

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

derivatives thereof, with an ‘‘instantaneous

bandwidth’’ of more than 7% or a peak

power exceeding 2.5 kW;

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

with any of the following characteristics:

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

more than one octave, and average power

(expressed in kW) times frequency

(expressed in GHz) of more than 0.5;

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

one octave or less, and average power

(expressed in kW) times frequency

(expressed in GHz) of more than 1; or

b.1.a.4.c. Being ‘‘space qualified’’;

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

gain of more than 17 dB;

b.1.c. Impregnated cathodes designed for

electronic tubes, with any of the following:

b.1.c.1. A turn on time to rated emission

of less than 3 seconds; or

b.1.c.2. Producing a continuous emission

current density at rated operating conditions

exceeding 5 A/cm2;

b.2. Microwave integrated circuits or

modules containing ‘‘monolithic integrated

circuits’’ operating at frequencies exceeding

3 GHz;

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

or modules for equipment designed or rated

to operate in the ITU allocated bands at

frequencies not exceeding 31 GHz.

b.3. Microwave transistors rated for

operation at frequencies exceeding 31 GHz;

b.4. Microwave solid state amplifiers,

having any of the following:

b.4.a. Operating frequencies exceeding 10.5

GHz and an ‘‘instantaneous bandwidth’’ of

more than half an octave; or

b.4.b. Operating frequencies exceeding 31

GHz;

b.5. Electronically or magnetically tunable

band-pass or band-stop filters having more

than 5 tunable resonators capable of tuning

across a 1.5:1 frequency band (Fmax/Fmin) in

less than 10 μs having any of the following:

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

0.5% of center frequency; or

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

0.5% of center frequency;

b.6. Microwave ‘‘assemblies’’ capable of

operating at frequencies exceeding 31 GHz;

b.7. Mixers and converters designed to

extend the frequency range of equipment

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

beyond the limits stated therein;

b.8. Microwave power amplifiers

containing tubes controlled by 3A001.b and

having all of the following:

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

b.8.b. An average output power density

exceeding 80 W/kg; and

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

Note: 3A001.b.8 does not control

equipment designed or rated for operation in

an ITU allocated band.

c. Acoustic wave devices, as follows, and

specially designed components therefor:

c.1. Surface acoustic wave and surface

skimming (shallow bulk) acoustic wave

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

employing elastic waves in materials), having

any of the following:
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2503

c.1.a. A carrier frequency exceeding 2.5

GHz;

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

but not exceeding 2.5 GHz, and having any

of the following:

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

exceeding 55 dB;

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

time and the bandwidth (time in μs and

bandwidth in MHz) of more than 100;

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

MHz; or

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

μs; or

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

having any of the following:

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

time and the bandwidth (time in μs and

bandwidth in MHz) of more than 100;

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

μs; or

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

exceeding 55 dB and a bandwidth greater

than 50 MHz;

c.2. Bulk (volume) acoustic wave devices

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

elastic waves) that permit the direct

processing of signals at frequencies

exceeding 1 GHz;

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

devices employing interaction between

acoustic waves (bulk wave or surface wave)

and light waves that permit the direct

processing of signals or images, including

spectral analysis, correlation or convolution;

d. Electronic devices and circuits

containing components, manufactured from

‘‘superconductive’’ materials specially

designed for operation at temperatures below

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

the ‘‘superconductive’’ constituents, with any

of the following:

d.1. Electromagnetic amplification:

d.1.a. At frequencies equal to or less than

31 GHz with a noise figure of less than 0.5

dB; or

d.1.b. At frequencies exceeding 31 GHz;

d.2. Current switching for digital circuits

using ‘‘superconductive’’ gates with a

product of delay time per gate (in seconds)

and power dissipation per gate (in watts) of

less than 10¥14 J; or

d.3. Frequency selection at all frequencies

using resonant circuits with Q-values

exceeding 10,000;

e. High energy devices, as follows:

e.1. Batteries and photovoltaic arrays, as

follows:

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

with volumes equal to or less than 27 cm3

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

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

energy density exceeding 480 Wh/kg and

rated for operation in the temperature range

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

(70° C);

e.1.b. Rechargeable cells and batteries

having an energy density exceeding 150 Wh/

kg after 75 charge/discharge cycles at a

discharge current equal to C/5 hours (C being

the nominal capacity in ampere hours) when

operating in the temperature range from

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

Technical Note: Energy density is obtained

by multiplying the average power in watts

(average voltage in volts times average

current in amperes) by the duration of the

discharge in hours to 75% of the open circuit

voltage divided by the total mass of the cell

(or battery) in kg.

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

hardened photovoltaic arrays with a specific

power exceeding 160 W/m2 at an operating

temperature of 301 K (28° C) under a

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

(2,527° C);

e.2. High energy storage capacitors, as

follows:

N.B.: See also 3A201.a.

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

less than 10 Hz (single shot capacitors)

having all of the following:

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

than 5 kV;

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

than 250 J/kg; and

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

than 25 kJ;

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

10 Hz or more (repetition rated capacitors)

having all of the following:

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

than 5 kV;

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

than 50 J/kg;

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

than 100 J; and

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

to or more than 10,000;

e.3. ‘‘Superconductive’’ electromagnets and

solenoids specially designed to be fully

charged or discharged in less than one

second, having all of the following:

N.B.: See also 3A201.b.

e.3.a. Energy delivered during the

discharge exceeding 10 kJ in the first second;

e.3.b. Inner diameter of the current

carrying windings of more than 250 mm; and

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

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

in the winding of more than 300 A/mm 2;

Note: 3A001.e.3 does not control

‘‘superconductive’’ electromagnets or

solenoids specially designed for Magnetic

Resonance Imaging (MRI) medical

equipment.

f. Rotary input type shaft absolute position

encoders having any of the following:

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

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

f.2. An accuracy better than ± 2.5 seconds

of arc.

3A002 General purpose electronic

equipment, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $3000: 3A002.a, .e, .f, .g; $5000:

3A002.b to .d

GBS: Yes for 3A002.a.1.; 3A002.b

(synthesized output frequency of 2.6 GHz

or less and a ‘‘frequency switching time’’

of 0.3 ms or more); and 3A002.d

(synthesized output frequency of 2.6 GHz

or less and a ‘‘frequency switching time’’

of 0.3 ms or more)

CIV: Yes for 3A002.a.1 (provided all of the

following conditions are met: (1)

Bandwidths do not exceed: 4 MHz per

track and have up to 28 tracks or 2 MHz

per track and have up to 42 tracks; (2) Tape

speed does not exceed 6.1 m/s; (3) They are

not designed for underwater use; (4) They

are not ruggedized for military use; and (5)

Recording density does not exceed 653.2

magnetic flux sine waves per mm);

3A002.b (synthesized output frequency of

2.6 GHz or less; and a ‘‘frequency

switching time’’ of 0.3 ms or more),

3A002.d (synthesized output frequency of

2.6 GHz or less; and a ‘‘frequency

switching time’’ of 0.3 ms or more).

List of Items Controlled

Unit: Number

Related Controls: See also 3A202 and 3A992

Related Definitions: N/A

Items: a. Recording equipment, as follows,

and specially designed test tape therefor:

a.1. Analog instrumentation magnetic tape

recorders, including those permitting the

recording of digital signals (e.g., using a high

density digital recording (HDDR) module),

having any of the following:

a.1.a. A bandwidth exceeding 4 MHz per

electronic channel or track;

a.1.b. A bandwidth exceeding 2 MHz per

electronic channel or track and having more

than 42 tracks; or

a.1.c. A time displacement (base) error,

measured in accordance with applicable IRIG

or EIA documents, of less than ± 0.1 μs;

Note: Analog magnetic tape recorders

specially designed for civilian video

purposes are not considered to be

instrumentation tape recorders.

a.2. Digital video magnetic tape recorders

having a maximum digital interface transfer

rate exceeding 180 Mbit/s;

Note: 3A002.a.2 does not control digital

video magnetic tape recorders specially

designed for television recording using a

signal format standardized or recommended

by the CCIR or the IEC for civil television

applications.

a.3. Digital instrumentation magnetic tape

data recorders employing helical scan

techniques or fixed head techniques, having

any of the following:

a.3.a. A maximum digital interface transfer

rate exceeding 175 Mbit/s; or

a.3.b. Being ‘‘space qualified’’;

Note: 3A002.a.3 does not control analog

magnetic tape recorders equipped with

HDDR conversion electronics and configured

to record only digital data.

a.4. Equipment, having a maximum digital

interface transfer rate exceeding 175 Mbit/s,

designed to convert digital video magnetic

tape recorders for use as digital

instrumentation data recorders;

a.5. Waveform digitizers and transient

recorders having all of the following:

N.B.: See also 3A202.

a.5.a. Digitizing rates equal to or more than

200 million samples per second and a

resolution of 10 bits or more; and
2504 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

a.5.b. A continuous throughput of 2

Gbit/s or more;

Technical Note: For those instruments

with a parallel bus architecture, the

continuous throughput rate is the highest

word rate multiplied by the number of bits

in a word. Continuous throughput is the

fastest data rate the instrument can output to

mass storage without the loss of any

information while sustaining the sampling

rate and analog-to-digital conversion.

b. ‘‘Frequency synthesizer’’, ‘‘assemblies’’

having a ‘‘frequency switching time’’ from

one selected frequency to another of less than

1 ms;

c. ‘‘Signal analyzers’’, as follows:

c.1. ‘‘Signal analyzers’’ capable of

analyzing frequencies exceeding 31 GHz;

c.2. ‘‘Dynamic signal analyzers’’ having a

‘‘real-time bandwidth’’ exceeding 25.6 Khz;

Note: 3A002.c.2 does not control those

‘‘dynamic signal analyzers’’ using only

constant percentage bandwidth filters.

Technical Note: Constant percentage

bandwidth filters are also known as octave or

fractional octave filters.

d. Frequency synthesized signal generators

producing output frequencies, the accuracy

and short term and long term stability of

which are controlled, derived from or

disciplined by the internal master frequency,

and having any of the following:

d.1. A maximum synthesized frequency

exceeding 31 GHz;

d.2. A ‘‘frequency switching time’’ from

one selected frequency to another of less than

1 ms; or

d.3. A single sideband (SSB) phase noise

better than ¥(126+20 log10F¥20 log10f) in

dBc/Hz, where F is the off-set from the

operating frequency in Hz and f is the

operating frequency in MHz;

Note: 3A002.d does not control equipment

in which the output frequency is either

produced by the addition or subtraction of

two or more crystal oscillator frequencies, or

by an addition or subtraction followed by a

multiplication of the result.

e. Network analyzers with a maximum

operating frequency exceeding 40 GHz;

f. Microwave test receivers having all of the

following:

f.1. A maximum operating frequency

exceeding 40 GHz; and

f.2. Being capable of measuring amplitude

and phase simultaneously;

g. Atomic frequency standards having any

of the following:

g.1. Long-term stability (aging) less (better)

than 1×10¥11/month; or

g.2. Being ‘‘space qualified’’.

Note: 3A002.g.1 does not control non-

’’space qualified’’ rubidium standards.

3A101 Electronic equipment, devices and

components, other than those controlled by

3A001, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: Items controlled in 3A101.a

are subject to the export licensing authority

of the U.S. Department of State, Office of

Defense Trade Controls (See 22 CFR part

121).

Related Definitions: N/A

Items: a. Analog-to-digital converters, usable

in ‘‘missiles’’, designed to meet military

specifications for ruggedized equipment;

b. Accelerators capable of delivering

electromagnetic radiation produced by

bremsstrahlung from accelerated electrons of

2 MeV or greater, and systems containing

those accelerators.

Note: 3A101.b above does not include

equipment specially designed for medical

purposes.

3A201 Electronic components, other than

those controlled by 3A001, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: This entry does not control

magnets that are specially designed for and

exported as parts of medical nuclear

magnetic resonance (NMR) imaging

systems. Such parts may be exported in

separate shipments from different sources,

provided that the related export control

documents clearly specify that the parts are

for medical NMR imaging systems that are

being exported.

Related Definition: N/A

Items: a. Capacitors with the following

characteristics:

a.1. Voltage rating greater than 1.4 kV,

energy storage greater than 10 J, capacitance

greater than 0.5 μF and series inductance less

than 50 Nh; or

a.2. Voltage rating greater than 750 V,

capacitance greater than 0.25 μF and series

inductance less than 10 Nh;

b. Superconducting solenoidal

electromagnets with all of the following

characteristics:

b.1. Capable of creating magnetic fields of

more than 2 teslas (20 kilogauss);

b.2. With an L/D ratio (length divided by

inner diameter) greater than 2;

b.3. With an inner diameter of more than

300 mm; and

b.4. With a magnetic field uniform to better

than 1% over the central 50% of the inner

volume;

Note: 3A201.b does not specify magnets

specially designed for and exported as parts

of medical nuclear magnetic resonance

(NMR) imaging systems. The phrase ‘‘as part

of’’ does not necessarily mean physical part

in the same shipment; separate shipments

from different sources are allowed, provided

the related export documents clearly specify

that the shipments are dispatched ‘‘as part

of’’ the imaging systems.

c. Flash X-ray generators or pulsed electron

accelerators with peak energy of 500 keV or

greater, as follows, except accelerators that

are component parts of devices designed for

purposes other than electron beam or X-ray

radiation (electron microscopy, for example)

and those designed for medical purposes:

c.1. Having an accelerator peak electron

energy of 500 keV or greater but less than 25

MeV and with a figure of merit (K) of 0.25

or greater, where K is defined as:

K=1.7×103V2.65Q, where V is the peak

electron energy in million electron volts and

Q is the total accelerated charge in coulombs

if the accelerator beam pulse duration is less

than or equal to 1 microsecond; if the

accelerator beam pulse duration is greater

than 1 microsecond, Q is the maximum

accelerated charge in 1 microsecond {Q

equals the integral of i with respect to t, over

the lesser of 1 microsecond or the time

duration of the beam pulse (Q={integral} idt),

where i is beam current in amperes and t is

time in seconds}; or

c.2. Having an accelerator peak electron

energy of 25 MeV or greater and a peak

power greater than 50 MW. {Peak power =

(peak potential in volts) × (peak beam current

in amperes)}.

Technical Notes: a. Time duration of the

beam pulse—In machines, based on

microwave accelerating cavities, the time

duration of the beam pulse is the lesser of 1

microsecond or the duration of the bunched

beam packet resulting from one microwave

modulator pulse.

b. Peak beam current—In machines based

on microwave accelerating cavities, the peak

beam current is the average current in the

time duration of a bunched beam packet.

3A225 Frequency changers (also known

as converters or inverters) or generators,

other than those controlled by 0B001.c.11,

having all of the characteristics (see List of

Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: Frequency changers (also

known as converters or inverters)
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2505

especially designed or prepared to supply

motor stators and having the characteristics

described in 3A225.b and .d, together with

a total harmonic distortion of less than 2

percent and an efficiency of greater than 80

percent are subject to the export licensing

authority of the Nuclear Regulatory

Commission. (See 10 CFR part 110.)

Related Definition: Motor stators are

especially designed or prepared ringshaped stators for high-speed multiphase

AC hysteresis (or reluctance) motors for

synchronous operation within a vacuum in

the frequency range of 600 Hz to 2,000 Hz,

and a power range of 50 VA to 1,000 VA.

The stators consist of multiphase windings

on a laminated low-loss iron core

comprising thin layers typically to 2.0 mm

(.008 in) thick or less.

Items: a. A multiphase output capable of

providing a power of 40 W or more;

b. Capable of operating in the frequency

range between 600 and 2000 Hz;

c. Total harmonic distortion below 10%;

and

d. Frequency control better than 0.1%.

3A226 Direct current high-power supplies,

other than those controlled by 0B001.j.6,

capable of continuously producing, over a

time period of 8 hours, 100 V or greater with

current output of 500 A or greater and with

current or voltage regulation better than

0.1%.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3A227 High-voltage direct current power

supplies, other than those controlled by

0B001.j.5, capable of continuously

producing, over a time period of 8 hours,

20,000 V or greater with current output of

1 A or greater and with current or voltage

regulation better than 0.1%.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3A228 Switching devices, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: N/A

Items: a. Cold-cathode tubes (including gas

krytron tubes and vacuum sprytron tubes),

whether gas filled or not, operating similarly

to a spark gap, containing three or more

electrodes, and having all of the following

characteristics:

a.1. Anode peak voltage rating of 2,500 V

or more;

a.2. Anode peak current rating of 100 A or

more; and

a.3. Anode delay time of 10 microsecond

or less;

b. Triggered spark-gaps having an anode

delay time of 15 microsecond or less and

rated for a peak current of 500 A or more;

c. Modules or assemblies with a fast

switching function having all of the

following characteristics:

c.1. Anode peak voltage rating greater than

2,000 V;

c.2. Anode peak current rating of 500 A or

more; and

c.3. Turn-on time of 1 microsecond or less.

3A229 Firing sets and equivalent highcurrent pulse generators (for detonators

controlled by 3A232), as follows (see List of

Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: See also U.S. Munitions

List

Related Definitions: N/A

Items: a. Explosive detonator firing sets

designed to drive multiple controlled

detonators controlled by 3A232;

b. Modular electrical pulse generators

(pulsers) designed for portable, mobile or

ruggedized use (including xenon flash-lamp

drivers) having all the following

characteristics:

b.1. Capable of delivering their energy in

less than 15 microsecond;

b.2. Having an output greater than 100 A;

b.3. Having a rise time of less than 10

microsecond into loads of less than 40 ohms

(rise time is the time interval from 10% to

90% current amplitude when driving a

resistive load);

b.4. Enclosed in a dust-tight enclosure;

b.5. No dimension greater than 254 mm;

b.6. Weight less than 25 kg; and

b.7. Specified for use over an extended

temperature range 223 K (¥50° C) to 373 K

(100° C) or specified as suitable for aerospace

use.

3A230 High-speed pulse generators with

output voltages greater than 6 volts into a

less than 55 ohm resistive load, and with

pulse transition times less than 500

picoseconds.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: In this entry, ‘‘pulse

transition time’’ is defined as the time

interval between 10% and 90% voltage

amplitude.

Items: The list of items controlled is

contained in the ECCN heading.

3A231 Neutron generator systems,

including tubes, designed for operation

without an external vacuum system and

utilizing electrostatic acceleration to induce

a tritium-deuterium nuclear reaction.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number, parts and accessories in $

value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3A232 Detonators and multipoint initiation

systems, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1
2506 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: This entry does not control

detonators using only primary explosives,

such as lead azide.

Related Definition: The detonators of concern

all utilize a small electrical conductor

(bridge, bridge wire or foil) that explosively

vaporizes when a fast, high-current

electrical pulse is passed through it. In

nonslapper types, the exploding conductor

starts a chemical detonation in a contacting

high-explosive material such as PETN

(Pentaerythritoltetranitrate). In slapper

detonators, the explosive vaporization of

the electrical conductor drives a flyer or

slapper across a gap and the impact of the

slapper on an explosive starts a chemical

detonation. The slapper in some designs is

driven by a magnetic force. The term

exploding foil detonator may refer to either

an EB or a slapper-type detonator. Also, the

word initiator is sometimes used in place

of the word detonator.

Items: a. Electrically driven explosive

detonators, the following:

a.1. Exploding bridge (EB);

a.2. Exploding bridge wire (EBW);

a.3. Slapper;

a.4. Exploding foil initiators (EFI);

b. Arrangements using single or multiple

detonators designed to nearly simultaneously

initiate an explosive surface (over greater

than 5000 mm2) from a single firing signal

(with an initiation timing spread over the

surface of less than 2.5 microseconds).

3A233 Mass spectrometers, other than

those controlled by 0B002.g, capable of

measuring ions of 230 atomic mass units or

greater and having a resolution of better

than 2 parts in 230, and ion sources

therefor.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: Specially designed or

prepared magnetic or quadruple mass

spectrometers that have the following

characteristics and are capable of taking

on-line samples of feed, product, or tails

from UF6 gas streams are subject to the

export licensing authority of the Nuclear

Regulatory Commission. (See 10 CFR part

110.): (a) Unit resolution for mass greater

than 320; (b) Ion sources that are

constructed of or lined with nichrome or

that are monel or nickel-plated; (c) Electron

bombardment ionization sources; (d)

Having a collector system suitable for

isotopic analysis.

Related Definitions: N/A

Items: a. Inductively coupled plasma mass

spectrometers (ICP/MS);

b. Glow discharge mass spectrometers

(GDMS);

c. Thermal ionization mass spectrometers

(TIMS);

d. Electron bombardment mass

spectrometers that have a source chamber

constructed from, lined with or plated with

materials resistant to UF6;

e. Molecular beam mass spectrometers as

follows:

e.1. Having a source chamber constructed

from, lined with or plated with stainless steel

or molybdenum and have a cold trap capable

of cooling to 193 K (¥80° C) or less; or

e.2. Having a source chamber constructed

from, lined with or plated with materials

resistant to UF6; or

f. Mass spectrometers equipped with a

microfluorination ion source designed for use

with actinides or actinide fluorides.

3A292 Oscilloscopes and transient

recorders other than those controlled by

3A002.a.5, and specially designed

components therefor.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: ‘‘Bandwidth’’ is defined

as the band of frequencies over which the

deflection on the cathode ray tube does not

fall below 70.7% of that at the maximum

point measured with a constant input

voltage to the oscilloscope amplifier.

Items: a. Non-modular analog oscilloscopes

having a bandwidth of 1 GHz or greater;

b. Modular analog oscilloscope systems

having either of the following characteristics:

b.1. A mainframe with a bandwidth of 1

GHz or greater; or

b.2. Plug-in modules with an individual

bandwidth of 4 GHz or greater;

c. Analog sampling oscilloscopes for the

analysis of recurring phenomena with an

effective bandwidth greater than 4 GHz;

d. Digital oscilloscopes and transient

recorders, using analog-to-digital conversion

techniques, capable of storing transients by

sequentially sampling single-shot inputs at

successive intervals of less than 1 ns (greater

than 1 giga-sample per second), digitizing to

8 bits or greater resolution and storing 256 or

more samples.

Note: Specially designed components

controlled by this item are the following, for

analog oscilloscopes:

1. Plug-in units;

2. External amplifiers;

3. Pre-amplifiers;

4. Sampling devices;

5. Cathode ray tubes.

3A980 Voice print identification and

analysis equipment and parts, n.e.s.

License Requirements

Reason for Control: CC

Control(s) Country Chart

CC applies to entire entry CC Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3A981 Polygraphs (except biomedical

recorders designed for use in medical

facilities for monitoring biological and

neurophysical responses); fingerprint

analyzers, cameras and equipment, n.e.s.;

automated fingerprint and identification

retrieval systems, n.e.s.; psychological

stress analysis equipment; electronic

monitoring restraint devices; and specially

designed parts and accessories, n.e.s.

License Requirements

Reason for Control: CC

Control(s) Country Chart

CC applies to entire entry CC Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3A991 Electronic devices and components

not controlled by 3A001.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: a. ‘‘Microprocessor microcircuits’’,

‘‘microcomputer microcircuits’’, and

microcontroller microcircuits having a clock

frequency exceeding 25 MHz;

b. Storage integrated circuits, as follows:
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2507

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

capacity;

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

flash memory types; or

b.1.b. Exceeding either of the following

limits for all other EEPROM types:

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

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

and a maximum access time of less than 80

ns;

b.2. Static random access memories

(SRAMs) with a storage capacity:

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

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

a maximum access time of less than 25 ns;

c. Field programmable logic arrays having

either of the following:

c.1. An equivalent gate count of more than

5000 (2 input gates); or

c.2. A toggle frequency exceeding 100

MHz;

d. Custom integrated circuits for which

either the function is unknown, or the

control status of the equipment in which the

integrated circuits will be used is unknown

to the manufacturer, having any of the

following:

d.1. More than 144 terminals; or

d.2. A typical ‘‘basic propagation delay

time’’ of less than 0.4 ns.

e. Travelling wave tubes, pulsed or

continuous wave, as follows:

e.1. Coupled cavity tubes, or derivatives

thereof;

e.2. Helix tubes, or derivatives thereof,

with any of the following:

e.2.a.1. An ‘‘instantaneous bandwidth’’ of

half an octave or more; and

e.2.a.2. The product of the rated average

output power (expressed in kW) and the

maximum operating frequency (expressed in

GHz) of more than 0.2;

e.2.b.1 An ‘‘instantaneous bandwidth’’ of

less than half an octave; and

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

output power (expressed in kW) and the

maximum operating frequency (expressed in

GHz) of more than 0.4;

f. Flexible waveguides designed for use at

frequencies exceeding 40 GHz;

g. Surface acoustic wave and surface

skimming (shallow bulk) acoustic wave

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

employing elastic waves in materials), having

either of the following:

g.1. A carrier frequency exceeding 1 GHz;

or

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

and

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

exceeding 55 dB;

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

time and bandwidth (time in microseconds

and bandwidth in MHz) of more than 100; or

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

microseconds.

h. Batteries, as follows:

Note: 3A991.h does not control batteries

with volumes equal to or less than 26 cm3

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

h.1. Primary cells and batteries having an

energy density exceeding 350 Wh/kg and

rated for operation in the temperature range

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

(70° C);

h.2. Rechargeable cells and batteries having

an energy density exceeding 150 Wh/kg after

75 charge/discharge cycles at a discharge

current equal to C/5 hours (C being the

nominal capacity in ampere hours) when

operating in the temperature range from

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

C);

Technical Note: Energy density is obtained

by multiplying the average power in watts

(average voltage in volts times average

current in amperes) by the duration of the

discharge in hours to 75 percent of the open

circuit voltage divided by the total mass of

the cell (or battery) in kg.

i. ‘‘Superconductive’’ electromagnets or

solenoids specially designed to be fully

charged or discharged in less than one

minute, having all of the following:

Note: 3A991.i does not control

‘‘superconductive’’ electromagnets or

solenoids designed for Magnetic Resonance

Imaging (MRI) medical equipment.

i.1. Maximum energy delivered during the

discharge divided by the duration of the

discharge of more than 500 kJ per minute;

i.2. Inner diameter of the current carrying

windings of more than 250 mm; and

i.3. Rated for a magnetic induction of more

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

winding of more than 300 A/mm2.

j. Circuits or systems for electromagnetic

energy storage, containing components

manufactured from ‘‘superconductive’’

materials specially designed for operation at

temperatures below the ‘‘critical

temperature’’ of at least one of their

‘‘superconductive’’ constituents, having all of

the following:

j.1. Resonant operating frequencies

exceeding 1 MHz;

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

more; and

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

k. Hydrogen/hydrogen-isotope thyratrons

of ceramic-metal construction and rate for a

peak current of 500 A or more.

3A992 General purpose electronic

equipment not controlled by 3A002.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: $1000 for Syria for .a only

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: a. Electronic test equipment, n.e.s.

b. Digital instrumentation magnetic tape

data recorders having any of the following

characteristics;

b.1. A maximum digital interface transfer

rate exceeding 60 Mbit/s and employing

helical scan techniques;

b.2. A maximum digital interface transfer

rate exceeding 120 Mbit/s and employing

fixed head techniques; or

b.3. ‘‘Space qualified’’;

c. Equipment, with a maximum digital

interface transfer rate exceeding 60 Mbit/s,

designed to convert digital video magnetic

tape recorders for use as digital

instrumentation data recorders;

B. Test, Inspection and Production

Equipment

3B001 Equipment for the manufacturing of

semiconductor devices or materials and

specially designed components and

accessories therefor.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $500

GBS: Yes, except 3B001. a.2 and a.3; and for

equipment controlled under 3B001.e, they

cannot be connected to equipment

controlled by 3B001.a.2, a.3, and .f.

CIV: Yes for equipment controlled by

3B001.a.1

List of Items Controlled

Unit: Number

Related Controls: See also 3B991

Related Definitions: N/A

Items: a. ‘‘Stored program controlled’’

equipment designed for epitaxial growth, as

follows:

a.1. Equipment capable of producing a

layer thickness uniform to less than ± 2.5%

across a distance of 75 mm or more;

a.2. Metal organic chemical vapor

deposition (MOCVD) reactors specially

designed for compound semiconductor

crystal growth by the chemical reaction

between materials controlled by 3C003 or

3C004;

a.3. Molecular beam epitaxial growth

equipment using gas sources;

b. ‘‘Stored program controlled’’ equipment

designed for ion implantation, having any of

the following:

b.1. An accelerating voltage exceeding 200

keV;

b.2. Being specially designed and

optimized to operate at an accelerating

voltage of less than 10 keV;

b.3. Direct write capability; or

b.4. Being capable of high energy oxygen

implant into a heated semiconductor material

‘‘substrate’’;

c. ‘‘Stored program controlled’’ anisotropic

plasma dry etching equipment, as follows:

c.1. Equipment with cassette-to-cassette

operation and load-locks, and having any of

the following:

c.1.a. Magnetic confinement; or

c.1.b. Electron cyclotron resonance (ECR);

c.2. Equipment specially designed for

equipment controlled by 3B001.e. and having

any of the following:

c.2.a. Magnetic confinement; or

c.2.b. ECR;

d. ‘‘Stored program controlled’’ plasma

enhanced CVD equipment, as follows:
2508 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

d.1. Equipment with cassette-to-cassette

operation and load-locks, and having any of

the following:

d.1.a. Magnetic confinement; or

d.1.b. ECR;

d.2. Equipment specially designed for

equipment controlled by 3B001.e. and having

any of the following:

d.2.a. Magnetic confinement; or

d.2.b. ECR;

e. ‘‘Stored program controlled’’ automatic

loading multi-chamber central wafer

handling systems, having all of the following:

e.1. Interfaces for wafer input and output,

to which more than two pieces of

semiconductor processing equipment are to

be connected; and

e.2. Designed to form an integrated system

in a vacuum environment for sequential

multiple wafer processing;

Note: 3B001.e. does not control automatic

robotic wafer handling systems not designed

to operate in a vacuum environment.

f. ‘‘Stored program controlled’’ lithography

equipment, as follows:

f.1. Align and expose step and repeat

equipment for wafer processing using photooptical or X-ray methods, having any of the

following:

f.1.a. A light source wavelength shorter

than 400 nm; or

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

a minimum resolvable feature size of 0.7 μm

or less;

Note: The minimum resolvable feature size

is calculated by the following formula:

(an exposure light source wavelength in μm)

× (K factor)

MRF = —————————————————

numerical aperture

Where the K factor = 0.7.

MRF = minimum resolvable feature size.

f.2. Equipment specially designed for mask

making or semiconductor device processing

using deflected focussed electron beam, ion

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

following:

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

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

with a feature size of less than 1 μm; or

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

0.20 μm (3 sigma);

g. Masks and reticles designed for

integrated circuits controlled by 3A001;

h. Multi-layer masks with a phase shift

layer.

3B002 ‘‘Stored program controlled’’ test

equipment, specially designed for testing

finished or unfinished semiconductor

devices and specially designed

components and accessories therefor.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $500

GBS: Yes

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: See also 3B992

Related Definitions: N/A

Items: a. For testing S-parameters of

transistor devices at frequencies exceeding 31

GHz;

b. For testing integrated circuits capable of

performing functional (truth table) testing at

a pattern rate of more than 60 MHz;

Note: 3B002.b does not control test

equipment specially designed for testing:

1. ‘‘Assemblies’’ or a class of ‘‘assemblies’’

for home or entertainment applications;

2. Uncontrolled electronic components,

‘‘assemblies’’ or integrated circuits.

c. For testing microwave integrated circuits

at frequencies exceeding 3 GHz;

Note: 3B002.c does not control test

equipment specially designed for testing

microwave integrated circuits for equipment

designed or rated to operate in the ITU

allocated bands at frequencies not exceeding

31 GHz.

d. Electron beam systems designed for

operation at 3 keV or below, or ‘‘laser’’ beam

systems, for the non-contactive probing of

powered-up semiconductor devices, having

all of the following:

d.1. Stroboscopic capability with either

beam-blanking or detector strobing; and

d.2. An electron spectrometer for voltage

measurement with a resolution of less than

0.5 V.

Note: 3B002.d does not control scanning

electron microscopes, except when specially

designed and instrumented for the noncontactive probing of powered-up

semiconductor devices.

3B991 Equipment not controlled by 3B001

for the manufacture of electronic

components and materials, and specially

designed components and accessories

therefor.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: a. Equipment specially designed for

the manufacture of electron tubes, optical

elements and specially designed components

therefor controlled by 3A001 or 3A991;

b. Equipment specially designed for the

manufacture of semiconductor devices,

integrated circuits and ‘‘assemblies’’, as

follows, and systems incorporating or having

the characteristics of such equipment:

Note: 3B991.b also controls equipment

used or modified for use in the manufacture

of other devices, such as imaging devices,

electro-optical devices, acoustic-wave

devices.

b.1. Equipment for the processing of

materials for the manufacture of devices and

components as specified in the heading of

3B991.b, as follows:

Note: 3B991 does not control quartz

furnace tubes, furnace liners, paddles, boats

(except specially designed caged boats),

bubblers, cassettes or crucibles specially

designed for the processing equipment

controlled by 3B991.b.1.

b.1.a. Equipment for producing

polycrystalline silicon and materials

controlled by 3C001;

b.1.b. Equipment specially designed for

purifying or processing III/V and II/VI

semiconductor materials controlled by

3C001, 3C002, 3C003, or 3C004, except

crystal pullers, for which see 3B991.b.1.c

below;

b.1.c. Crystal pullers and furnaces, as

follows:

Note: 3B991.b.1.c does not control

diffusion and oxidation furnaces.

b.1.c.1. Annealing or recrystallizing

equipment other than constant temperature

furnaces employing high rates of energy

transfer capable of processing wafers at a rate

exceeding 0.005 m2 per minute;

b.1.c.2. ‘‘Stored program controlled’’

crystal pullers having any of the following

characteristics:

b.1.c.2.a. Rechargeable without replacing

the crucible container;

b.1.c.2.b. Capable of operation at pressures

above 2.5 x 105 Pa; or

b.1.c.2.c. Capable of pulling crystals of a

diameter exceeding 100 mm;

b.1.d. ‘‘Stored program controlled’’

equipment for epitaxial growth having any of

the following characteristics:

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

thickness uniformity across the wafer of

equal to or better than ±3.5%;

b.1.d.2. Rotation of individual wafers

during processing; or

b.1.e. Molecular beam epitaxial growth

equipment;

b.1.f. ‘‘Magnetically enhanced’’

‘‘sputtering’’ equipment with specially

designed integral load locks capable of

transferring wafers in an isolated vacuum

environment;

b.1.g. Equipment specially designed for ion

implantation, ion-enhanced or photoenhanced diffusion, having any of the

following characteristics:

b.1.g.1. Patterning capability;

b.1.g.2. Accelerating voltage for more than

200 keV; or

b.1.g.3. Capable of high energy oxygen

implant into a heated ‘‘substrate’’;

b.1.h. ‘‘Stored program controlled’’

equipment for the selective removal (etching)

by means of anisotropic dry methods (e.g.,

plasma), as follows:

b.1.h.1. Batch types having either of the

following:

b.1.h.1.a. End-point detection, other than

optical emission spectroscopy types; or

b.1.h.1.b. Reactor operational (etching)

pressure of 26.66 Pa or less;

b.1.h.2. Single wafer types having any of

the following:

b.1.h.2.a. End-point detection, other than

optical emission spectroscopy types;

b.1.h.2.b. Reactor operational (etching)

pressure of 26.66 Pa or less; or
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2509

b.1.h.2.c. Cassette-to-cassette and load

locks wafer handling;

Notes: 1. ‘‘Batch types’’ refers to machines

not specially designed for production

processing of single wafers. Such machines

can process two or more wafers

simultaneously with common process

parameters, e.g., RF power, temperature, etch

gas species, flow rates.

2. ‘‘Single wafer types’’ refers to machines

specially designed for production processing

of single wafers. These machines may use

automatic wafer handling techniques to load

a single wafer into the equipment for

processing. The definition includes

equipment that can load and process several

wafers but where the etching parameters, e.g.,

RF power or end point, can be independently

determined for each individual wafer.

b.1.i. ‘‘Chemical vapor deposition’’ (CVD)

equipment, e.g., plasma-enhanced CVD

(PECVD) or photo-enhanced CVD, for

semiconductor device manufacturing, having

either of the following capabilities, for

deposition of oxides, nitrides, metals or

polysilicon:

b.1.i.1. ‘‘Chemical vapor deposition’’

equipment operating below 105 Pa; or

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

below 60 Pa (450 millitorr) or having

automatic cassette-to-cassette and load lock

wafer handling;

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

pressure ‘‘chemical vapor deposition’’

(LPCVD) systems or reactive ‘‘sputtering’’

equipment.

b.1.j. Electron beam systems specially

designed or modified for mask making or

semiconductor device processing having any

of the following characteristics:

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

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

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

exceeding 3 MHz;

b.1.j.4. Digital-to-analog conversion

accuracy exceeding 12 bit; or

b.1.j.5. Target-to-beam position feedback

control precision of 1 micrometer or finer;

Note: 3B991.b.1.j does not control electron

beam deposition systems or general purpose

scanning electron microscopes.

b.1.k. Surface finishing equipment for the

processing of semiconductor wafers as

follows:

b.1.k.1. Specially designed equipment for

backside processing of wafers thinner than

100 micrometer and the subsequent

separation thereof; or

b.1.k.2. Specially designed equipment for

achieving a surface roughness of the active

surface of a processed wafer with a twosigma value of 2 micrometer or less, total

indicator reading (TIR);

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

wafer surface finishing.

b.1.l. Interconnection equipment which

includes common single or multiple vacuum

chambers specially designed to permit the

integration of any equipment controlled by

3B991 into a complete system;

b.1.m. ‘‘Stored program controlled’’

equipment using ‘‘lasers’’ for the repair or

trimming of ‘‘monolithic integrated circuits’’

with either of the following characteristics:

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

micrometer; or

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

micrometer.

b.2. Masks, mask ‘‘substrates’’, maskmaking equipment and image transfer

equipment for the manufacture of devices

and components as specified in the heading

of 3B991, as follows:

Note: The term ‘‘masks’’ refers to those

used in electron beam lithography, X-ray

lithography, and ultraviolet lithography, as

well as the usual ultraviolet and visible

photo-lithography.

b.2.a. Finished masks, reticles and designs

therefor, except:

b.2.a.1. Finished masks or reticles for the

production of unembargoed integrated

circuits; or

b.2.a.2. Masks or reticles, having both of

the following characteristics:

b.2.a.2.a. Their design is based on

geometries of 2.5 micrometer or more; and

b.2.a.2.b. The design does not include

special features to alter the intended use by

means of production equipment or

‘‘software’’;

b.2.b. Mask ‘‘substrates’’ as follows:

b.2.b.1. Hard surface (e.g., chromium,

silicon, molybdenum) coated ‘‘substrates’’

(e.g., glass, quartz, sapphire) for the

preparation of masks having dimensions

exceeding 125 mm x 125 mm; or

b.2.b.2. ‘‘Substrates’’ specially designed for

X-ray masks;

b.2.c. Equipment, other than general

purpose computers, specially designed for

computer aided design (CAD) of

semiconductor devices or integrated circuits;

b.2.d. Equipment or machines, as follows,

for mask or reticle fabrication:

b.2.d.1. Photo-optical step and repeat

cameras capable of producing arrays larger

than 100 mm x 100 mm, or capable of

producing a single exposure larger than 6

mm x 6 mm in the image (i.e., focal) plane,

or capable of producing line widths of less

than 2.5 micrometer in the photoresist on the

‘‘substrate’’;

b.2.d.2. Mask or reticle fabrication

equipment using ion or ‘‘laser’’ beam

lithography capable of producing line widths

of less than 2.5 micrometer; or

b.2.d.3. Equipment or holders for altering

masks or reticles or adding pellicles to

remove defects;

Note: 3B991.b.2.d.1 and b.2.d.2 do not

control mask fabrication equipment using

photo-optical methods which was either

commercially available before the 1st

January, 1980, or has a performance no better

than such equipment.

b.2.e. ‘‘Stored program controlled’’

equipment for the inspection of masks,

reticles or pellicles with:

b.2.e.1. A resolution of 0.25 micrometer or

finer; and

b.2.e.2. A precision of 0.75 micrometer or

finer over a distance in one or two

coordinates of 63.5 mm or more;

Note: 3B991.b.2.e does not control general

purpose scanning electron microscopes

except when specially designed and

instrumented for automatic pattern

inspection.

b.2.f. Align and expose equipment for

wafer production using photo-optical

methods, including both projection image

transfer equipment and step and repeat

equipment, capable of performing any of the

following functions:

Note: 3B991.b.2.f does not control photooptical contact and proximity mask align and

expose equipment or contact image transfer

equipment.

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

than 2.5 micrometer;

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

than ± 0.25 micrometer (3 sigma); or

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

better than ± 0.3 micrometer;

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

equipment for projection image transfer

capable of producing patterns less than 2.5

micrometer;

Note: For focussed, deflected-beam systems

(direct write systems), see 3B991.b.1.j or b.10.

b.2.h. Equipment using ‘‘lasers’’ for direct

write on wafers capable of producing

patterns less than 2.5 micrometer.

b.3. Equipment for the assembly of

integrated circuits, as follows:

b.3.a. ‘‘Stored program controlled’’ die

bonders having all of the following

characteristics:

b.3.a.1. Specially designed for ‘‘hybrid

integrated circuits’’;

b.3.a.2. X–Y stage positioning travel

exceeding 37.5 x 37.5 mm; and

b.3.a.3. Placement accuracy in the X–Y

plane of finer than ± 10 micrometer;

b.3.b. ‘‘Stored program controlled’’

equipment for producing multiple bonds in

a single operation (e.g., beam lead bonders,

chip carrier bonders, tape bonders);

b.3.c. Semi-automatic or automatic hot cap

sealers, in which the cap is heated locally to

a higher temperature than the body of the

package, specially designed for ceramic

microcircuit packages controlled by 3A001

and that have a throughput equal to or more

than one package per minute.

Note: 3B991.b.3 does not control general

purpose resistance type spot welders.

b.4. Filters for clean rooms capable of

providing an air environment of 10 or less

particles of 0.3 micrometer or smaller per

0.02832 m3 and filter materials therefor;

3B992 Equipment not controlled by 3B002

for the inspection or testing of electronic

components and materials, and specially

designed components and accessories

therefor;

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A
2510 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Items: a. Equipment specially designed for

the inspection or testing of electron tubes,

optical elements and specially designed

components therefor controlled by 3A001 or

3A991;

b. Equipment specially designed for the

inspection or testing of semiconductor

devices, integrated circuits and ‘‘assemblies’’,

as follows, and systems incorporating or

having the characteristics of such equipment:

Note: 3B992.b also controls equipment

used or modified for use in the inspection or

testing of other devices, such as imaging

devices, electro-optical devices, acousticwave devices.

b.1. ‘‘Stored program controlled’’

inspection equipment for the automatic

detection of defects, errors or contaminants

of 0.6 micrometer or less in or on processed

wafers, ‘‘substrates’’, other than printed

circuit boards or chips, using optical image

acquisition techniques for pattern

comparison;

Note: 3B992.b.1 does not control general

purpose scanning electron microscopes,

except when specially designed and

instrumented for automatic pattern

inspection.

b.2. Specially designed ‘‘stored program

controlled’’ measuring and analysis

equipment, as follows:

b.2.a. Specially designed for the

measurement of oxygen or carbon content in

semiconductor materials;

b.2.b. Equipment for line width

measurement with a resolution of 1

micrometer or finer;

b.2.c. Specially designed flatness

measurement instruments capable of

measuring deviations from flatness of 10

micrometer or less with a resolution of 1

micrometer or finer.

b.3. ‘‘Stored program controlled’’ wafer

probing equipment having any of the

following characteristics:

b.3.a. Positioning accuracy finer than 3.5

micrometer;

b.3.b. Capable of testing devices having

more than 68 terminals; or

b.3.c. Capable of testing at a frequency

exceeding 1 GHz;

b.4. Test equipment as follows:

b.4.a. ‘‘Stored program controlled’’

equipment specially designed for testing

discrete semiconductor devices and

unencapsulated dice, capable of testing at

frequencies exceeding 18 GHz;

Technical Note: Discrete semiconductor

devices include photocells and solar cells.

b.4.b. ‘‘Stored program controlled’’

equipment specially designed for testing

integrated circuits and ‘‘assemblies’’ thereof,

capable of functional testing:

b.4.b.1. At a pattern rate exceeding 20

MHz; or

b.4.b.2. At a pattern rate exceeding 10 MHz

but not exceeding 20 MHz and capable of

testing packages of more than 68 terminals;

Note: 3B992.b.4.b does not control

equipment specially designed for testing

integrated circuits not controlled by 3A001 or

3A991.

Notes: 1. 3B992.b.4.b does not control test

equipment specially designed for testing

‘‘assemblies’’ or a class of ‘‘assemblies’’ for

home and entertainment applications.

2. 3B992.b.4.b does not control test

equipment specially designed for testing

electronic components, ‘‘assemblies’’ and

integrated circuits not controlled by 3A001 or

3A991 provided such test equipment does

not incorporate computing facilities with

‘‘user accessible programmability’’.

b.4.c. Equipment specially designed for

determining the performance of focal-plane

arrays at wavelengths of more than 1,200 nm,

using ‘‘stored program controlled’’

measurements or computer aided evaluation

and having any of the following

characteristics:

b.4.c.1. Using scanning light spot diameters

of less than 0.12 mm;

b.4.c.2. Designed for measuring

photosensitive performance parameters and

for evaluating frequency response,

modulation transfer function, uniformity of

responsivity or noise; or

b.4.c.3. Designed for evaluating arrays

capable of creating images with more than 32

x 32 line elements;

b.5. Electron beam test systems, capable of

operating at or below 3,000 eV, for noncontactive probing of powered-up

semiconductor devices having any of the

following:

b.5.a. Stroboscopic capability with either

beam blanking or detector strobing;

b.5.b. An electron spectrometer for voltage

measurements with a resolution of less than

0.5 V; or

b.5.c. Electrical tests fixtures for

performance analysis of integrated circuits;

Note: 3B992.b.5 does not control scanning

electron microscopes, except when specially

designed and instrumented for noncontactive probing of a powered-up

semiconductor device.

b.6. ‘‘Stored program controlled’’

multifunctional focused ion beam systems

specially designed for manufacturing,

repairing, physical layout analysis and

testing of masks or semiconductor devices

and having either of the following

characteristics:

b.6.a. Target-to-beam position feedback

control precision of 1 micrometer or finer; or

b.6.b. Digital-to-analog conversion

accuracy exceeding 12 bit;

b.7. Particle measuring systems employing

‘‘lasers’’ designed for measuring particle size

and concentration in air having both of the

following characteristics:

b.7.a. Capable of measuring particle sizes

of 0.2 micrometer or less at a flow rate of

0.02832 m3 per minute or more; and

b.7.b. Capable of characterizing Class 10

clean air or better.

C. Materials

3C001 Hetero-epitaxial materials

consisting of a ‘‘substrate’’ having stacked

epitaxially grown multiple layers of any of

the following (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: III/V compounds are

polycrystalline or binary or complex

monocrystalline products consisting of

elements of groups IIIA and VA of

Mendeleyev’s periodic classification table

(e.g., gallium arsenide, gallium-aluminium

arsenide, indium phosphide).

Items: a. Silicon;

b. Germanium; or

c. III/V compounds of gallium or indium.

3C002 Resist material and ‘‘substrates’’

coated with controlled resists.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: Silylation techniques are

defined as processes incorporating

oxidation of the resist surface to enhance

performance for both wet and dry

developing.

Items: a. Positive resists designed for

semiconductor lithography specially adjusted

(optimized) for use at wavelengths below 370

nm;

b. All resists designed for use with electron

beams or ion beams, with a sensitivity of 0.01

μcoulomb/mm2 or better;

c. All resists designed for use with X-rays,

with a sensitivity of 2.5 mJ/mm2 or better;

d. All resists optimized for surface imaging

technologies, including silylated resists.

3C003 Organo-inorganic compounds, as

follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: This entry controls only

compounds whose metallic, partly metallic

or non-metallic element is directly linked
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2511

to carbon in the organic part of the

molecule.

Related Definition: N/A

Items: a. Organo-metallic compounds of

aluminium, gallium or indium having a

purity (metal basis) better than 99.999%;

b. Organo-arsenic, organo-antimony and

organo-phosphorus compounds having a

purity (inorganic element basis) better than

99.999%.

3C004 Hydrides of phosphorus, arsenic or

antimony, having a purity better than

99.999%, even diluted in inert gases or

hydrogen.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: This entry does not control

hydrides containing less than 20% molar

or more of inert gases or hydrogen.

Related Definition: N/A

Items: The list of items controlled is

contained in the ECCN heading.

D. Software

3D001 ‘‘Software’’ specially designed for

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

equipment controlled by 3A001.b to

3A002.g or 3B (except 3B991 and 3B992).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to ‘‘software’’

for equipment controlled by 3A001.b to

3A001.f, 3A002, and 3B.

NS Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: $ value

Related Controls: See also 3D101

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3D002 ‘‘Software’’ specially designed for

the ‘‘use’’ of ‘‘stored program controlled’’

equipment controlled by 3B (except 3B991

and 3B992).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3D003 Computer-aided-design (CAD)

‘‘software’’ designed for semiconductor

devices or integrated circuits, having any of

the following (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: $ value

Related Controls: This entry does not control

‘‘software’’ specially designed for

schematic entry, logic simulation, placing

and routing, layout verification or pattern

generation tape.

Related Definitions: (1) Libraries, design

attributes or associated data for the design

of semiconductor devices or integrated

circuits are considered as ‘‘technology’’. (2)

A lithographic processing simulator is a

‘‘software’’ package used in the design

phase to define the sequence of

lithographic, etching and deposition steps

for translating masking patterns into

specific topographical patterns in

conductors, dielectrics or semiconductor

material.

Items: a. Design rules or circuit verification

rules;

b. Simulation of the physically laid out

circuits; or

c. Lithographic processing simulators for

design.

3D101 ‘‘Software’’ specially designed for

the ‘‘use’’ of equipment controlled by

3A101.b.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3D102 ‘‘Software’’ specially designed for

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

equipment controlled by 3A001.a.1.a or

3A101.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3D980 ‘‘Software’’ specially designed for

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

of items controlled by 3A980 and 3A981.

License Requirements

Reason for Control: CC, AT

Control(s) Country Chart

CC applies to entire entry CC Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3D991 ‘‘Software’’ specially designed for

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

of electronic devices or components

controlled by 3A991, general purpose

electronic equipment controlled by 3A992,

or manufacturing and test equipment

controlled by 3B991 and 3B992.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.
2512 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

E. Technology

3E001 ‘‘Technology’’ according to the

General Technology Note for the

‘‘development’’ or ‘‘production’’ of

equipment or materials controlled by 3A

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

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

License Requirements

Reason for Control: NS, MT, NP, AT

Control(s) Country Chart

NS applies to ‘‘technology’’ for items controlled by 3A001,

3A002, 3B001 and

3B002 or 3C001 to

3C004.

NS Column 1

MT applies to ‘‘technology’’ for equipment

controlled by 3A001 or

3A101 for MT reasons.

MT Column 1

NP applies to ‘‘technology’’ for equipment

controlled by 3A201,

3A225 to 3A233 for NP

reasons.

NP Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes, except N/A for MT

List of Items Controlled

Unit: N/A

Related Controls: (1) See also 3E101 and

3E201. (2) 3E001 does not control

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

‘‘production’’ of: (a) Microwave transistors

operating at frequencies below 31 GHz; (b)

Integrated circuits controlled by 3A001.a.3

to a.12, having all of the following: 1.

Using ‘‘technology’’ of one micrometer or

more, AND 2. Not incorporating multilayer structures. (3) The term multi-layer

structures in this entry does not include

devices incorporating a maximum of two

metal layers and two polysilicon layers.

Related Definition: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3E002 Other ‘‘technology’’ for the

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

described in the List of Items Controlled.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Vacuum microelectronic devices;

b. Hetero-structure semiconductor devices

such as high electron mobility transistors

(HEMT), hetero-bipolar transistors (HBT),

quantum well and super lattice devices;

c. ‘‘Superconductive’’ electronic devices;

d. Substrates of films of diamond for

electronic components.

3E101 ‘‘Technology’’ according to the

General Technology Note for the ‘‘use’’ of

equipment or ‘‘software’’ controlled by

3A001.a.1.a. or 3A101.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3E102 ‘‘Technology’’ according to the

General Technology Note for the

‘‘development’’ of ‘‘software’’ controlled by

3D101.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3E201 ‘‘Technology’’ according to the

General Technology Note for the ‘‘use’’ of

equipment controlled by 3A201, 3A225 to

3A233.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3E292 ‘‘Technology’’ according to the

General Technology Note for the

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

equipment controlled by 3A292.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 2

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3E980 ‘‘Technology’’ specially designed

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

of items controlled by 3A980 and 3A981.

License Requirements

Reason for Control: CC, AT

Control(s) Country Chart

CC applies to entire entry CC Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

3E991 ‘‘Technology’’ for the

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

electronic devices or components

controlled by 3A991, general purpose

electronic equipment controlled by 3A992,

or manufacturing and test equipment

controlled by 3B991 or 3B992.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

EAR99 Items subject to the EAR that are

not elsewhere specified in this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

Category 4—Computers

Note 1: Computers, related equipment and

‘‘software’’ performing telecommunications
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2513

or ‘‘local area network’’ functions must also

be evaluated against the performance

characteristics of Category 5, Part 1

(Telecommunications).

N.B. 1: Control units that directly

interconnect the buses or channels of central

processing units, ‘‘main storage’’ or disk

controllers are not regarded as

telecommunications equipment described in

Category 5, Part 1 (Telecommunications).

N.B. 2: For the control status of ‘‘software’’

specially designed for packet switching, see

ECCN 5D001 (Telecommunications).

Note 2: Computers, related equipment and

‘‘software’’ performing cryptographic,

cryptoanalytic, certifiable multi-level

security or certifiable user isolation

functions, or that limit electromagnetic

compatibility (EMC), must also be evaluated

against the performance characteristics in

Category 5, Part 2 (‘‘Information Security’’).

A. Systems, Equipment and Components

4A001 Electronic computers and related

equipment, and ‘‘electronic assemblies’’

and specially designed components

therefor.

License Requirements

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

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to items in

4A001.a when the parameters in 4A101 are

met or exceeded.

MT Column 1

AT applies to entire entry AT Column 1

NP applies to electronic computers with a

CTP greater than 2,000 Mtops, unless a

License Exception is available. See § 742.3(b)

of the EAR for information on applicable

licensing review policies.

XP applies to electronic computers with a

CTP greater than 2,000 Mtops, unless a

License Exception is available. XP controls

vary according to destination and end-user

and end-use. See § 742.12 of the EAR for

additional information.

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $5000 for 4A001.a; N/A for MT and

4A001.b

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 4A101 and 4A994.

Equipment designed or rated for transient

ionizing radiation is subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

(See 22 CFR part 121.) See also 4A101.

Related Definitions: For the purposes of

integrated circuits in 4A001.a.2, 5 x 103

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

s = 5 x 108 Rads (Si)/s.

Items: a. Specially designed to have either of

the following characteristics:

a.1. Rated for operation at an ambient

temperature below 228 K (¥45 °C) or above

358 K (85 °C);

Note: 4A001.a.1. does not apply to

computers specially designed for civil

automobile or railway train applications.

a.2. Radiation hardened to exceed any of

the following specifications:

a.2.a. A total dose of 5 × 10 3 Gy (Si); or

a.2.b. A dose rate upset of 5 × 10 6 Gy (Si)/

s;

a.2.c. Single Event Upset of 1 × 10 ¥7 Error/

bit/day;

b. Having characteristics or performing

functions exceeding the limits in Category 5,

Part 2 (‘‘Information Security’’).

4A002 ‘‘Hybrid computers’’ and

‘‘electronic assemblies’’ and specially

designed components therefor.

License Requirements

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

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to hybrid

computers combined

with specially designed

‘‘software’’, for modeling, simulation, or design integration of complete rocket systems and

unmanned air vehicle

systems that are usable

in systems controlled

for MT reasons.

MT Column 1

AT applies to entire entry AT Column 1

NP applies to hybrid computers with a CTP

greater than 2,000 Mtops, unless a License

Exception is available. See § 742.3(b) of the

EAR for information on applicable licensing

review policies.

XP applies to hybrid computers with a CTP

greater than 2,000 Mtops, unless a License

Exception is available. XP controls vary

according to destination and end-user and

end-use. See § 742.12 of the EAR for

additional information.

License Exceptions

LVS: $5000; N/A for MT

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 4A102 and 4A994

Related Definitions: N/A

Items: a. Containing ‘‘digital computers’’

controlled by 4A003;

b. Containing analog-to-digital converters

having all of the following characteristics:

b.1. 32 channels or more; and

b.2. A resolution of 14 bits (plus sign bit)

or more with a conversion rate of 200,000

conversions/s or more.

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

assemblies’’, and related equipment

therefor, and specially designed

components therefor.

License Requirements

Reason for Control: NS, MT, CC, AT, NP, XP

Control(s) Country Chart

NS applies to 4A003.b

and .c.

NS Column 1

NS applies to 4A003.a, d,

.e, .f, and .g.

NS Column 2

MT applies to digital computers used as ancillary

equipment for test facilities and equipment

that are controlled by

9B005 or 9B006.

MT Column 1

CC applies to digital computers for computerized

finger-print equipment.

CC Column 1

AT applies to entire entry

(refer to 4A994 for controls on digital computers with a CTP ≥ 6 but ≤

to 2,000 Mtops).

AT Column 1

NP applies to digital computers with a CTP

greater than 2,000 Mtops, unless a License

Exception is available. See § 742.3(b) of the

EAR for information on applicable licensing

review policies.

XP applies to digital computers with a CTP

greater than 2,000 Mtops, unless a License

Exception is available. XP controls vary

according to destination and end-user and

end-use. See § 742.12 of the EAR for

additional information.

Note: For all destinations, except Cuba,

Iran, Iraq, Libya, North Korea, Sudan, and

Syria, no license is required (NLR) for

computers with a CTP of 2,000 Mtops, and

for assemblies described in 4A003.c that are

not capable of exceeding a CTP of 2,000

Mtops in aggregation. Computers controlled

in this entry for MT reasons are not eligible

for NLR.

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $5000; N/A for MT and ‘‘digital’’

computers controlled by 4A003.b and

having a CTP exceeding 10,000 MTOPS; or

‘‘electronic assemblies’’ controlled by

4A003.c and capable of enhancing

performance by aggregation of ‘‘computing

elements’’ so that the CTP of the

aggregation exceeds 10,000 MTOPS.

GBS: Yes, for 4A003.d, .e, .f, and .g and

specially designed components therefor,

exported separately or as part of a system.

CTP: Yes, for computers controlled by

4A003.a, .b and .c, to the exclusion of other

technical parameters, with the exception of

parameters specified as controlled for

Missile Technology (MT) concerns and

4A003.e (equipment performing analog-todigital or digital-to-analog conversions

exceeding the limits of 3A001.a.5.a). See

§ 740.7 of the EAR.

CIV: Yes, for 4A003.d (having a 3–D vector

rate less that 10 M vectors/sec), .e, .f and

.g.

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 4A994

Related Definitions: N/A

Items:

Note 1: 4A003 includes the following:
2514 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

a. Vector processors;

b. Array processors;

c. Digital signal processors;

d. Logic processors;

e. Equipment designed for ‘‘image

enhancement’’;

f. Equipment designed for ‘‘signal

processing’’.

Note 2: The control status of the ‘‘digital

computers’’ and related equipment described

in 4A003 is determined by the control status

of other equipment or systems provided:

a. The ‘‘digital computers’’ or related

equipment are essential for the operation of

the other equipment or systems;

b. The ‘‘digital computers’’ or related

equipment are not a ‘‘principal element’’ of

the other equipment or systems; and

N.B. 1: The control status of ‘‘signal

processing’’ or ‘‘image enhancement’’

equipment specially designed for other

equipment with functions limited to those

required for the other equipment is

determined by the control status of the other

equipment even if it exceeds the ‘‘principal

element’’ criterion.

N.B. 2: For the control status of ‘‘digital

computers’’ or related equipment for

telecommunications equipment, see Category

5, Part 1 (Telecommunications).

c. The ‘‘technology’’ for the ‘‘digital

computers’’ and related equipment is

determined by 4E.

a. Designed or modified for ‘‘fault

tolerance’’;

Note: For the purposes of 4A003.a., ‘‘digital

computers’’ and related equipment are not

considered to be designed or modified for

‘‘fault tolerance’’ if they utilize any of the

following:

1. Error detection or correction algorithms

in ‘‘main storage’’;

2. The interconnection of two ‘‘digital

computers’’ so that, if the active central

processing unit fails, an idling but mirroring

central processing unit can continue the

system’s functioning;

3. The interconnection of two central

processing units by data channels or by use

of shared storage to permit one central

processing unit to perform other work until

the second central processing unit fails, at

which time the first central processing unit

takes over in order to continue the system’s

functioning; or

4. The synchronization of two central

processing units by ‘‘software’’ so that one

central processing unit recognizes when the

other central processing unit fails and

recovers tasks from the failing unit.

b. ‘‘Digital computers’’ having a

‘‘composite theoretical performance’’

(‘‘CTP’’) exceeding 2,000 million theoretical

operations per second (Mtops);

c. ‘‘Electronic assemblies’’ specially

designed or modified to be capable of

enhancing performance by aggregation of

‘‘computing elements’’ (‘‘CEs’’) so that the

‘‘CTP’’ of the aggregation exceeds the limit in

4A003.b.;

Note 1: 4A003.c applies only to ‘‘electronic

assemblies’’ and programmable

interconnections not exceeding the limit in

4A003.b. when shipped as unintegrated

‘‘electronic assemblies’’. It does not apply to

‘‘electronic assemblies’’ inherently limited by

nature of their design for use as related

equipment controlled by 4A003.d, 4A003.e

or 4A003.f.

Note 2: 4A003.c does not control

‘‘electronic assemblies’’ specially designed

for a product or family of products whose

maximum configuration does not exceed the

limit of 4A003.b.

d. Graphics accelerators and graphics

coprocessors exceeding a ‘‘three dimensional

Vector Rate’’ of 3,000,000;

e. Equipment performing analog-to-digital

conversions exceeding the limits in

3A001.a.5;

f. Equipment containing ‘‘terminal

interface equipment’’ exceeding the limits in

5A001.b.3;

Note: For the purposes of 4A003.f,

‘‘terminal interface equipment’’ includes

‘‘local area network’’ interfaces and other

communications interfaces. ‘‘Local area

network’’ interfaces are evaluated as

‘‘network access controllers’’.

g. Equipment specially designed to provide

external interconnection of ‘‘digital

computers’’ or associated equipment that

allows communications at data rates

exceeding 80 Mbyte/s.

Note: 4A003.g does not control internal

interconnection equipment (e.g., backplanes,

buses) or passive interconnection equipment.

4A004 Computers, as follows (see List of

Items Controlled) and specially designed

related equipment, ‘‘electronic assemblies’’

and components therefor.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. ‘‘Systolic array computers’’;

b. ‘‘Neural computers’’;

c. ‘‘Optical computers’’.

4A101 Analog computers, ‘‘digital

computers’’ or digital differential analyzers,

other than those controlled by 4A001

designed or modified for use in ‘‘missiles’’,

having any of the following (see List of

Items Controlled).

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: a. Rated for continuous operation at

temperatures from below 228 K (¥45° C) to

above 328 K (+55° C); or

b. Designed as ruggedized or ‘‘radiation

hardened’’.

4A102 ‘‘Hybrid computers’’ specially

designed for modelling, simulation or

design integration of ‘‘missiles’’. (These

items are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. See 22

CFR part 121.)

4A980 Computers for fingerprint

equipment, n.e.s.

License Requirements

Reason for Control: CC, AT

Control(s) Country Chart

CC applies to entire entry CC Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

4A994 Computers, ‘‘electronic

assemblies’’, and related equipment not

controlled by 4A001, 4A002, or 4A003, and

specially designed components therefor.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Electronic computers and related

equipment, and ‘‘electronic assemblies’’ and

specially designed components therefor,

rated for operation at an ambient temperature

above 343 K (70° C);

b. ‘‘Digital computers’’ having a

‘‘composite theoretical performance’’

(‘‘CTP’’) equal to or greater than 6 million

theoretical operations per second (Mtops);

c. ‘‘Assemblies’’ not controlled by 4A003

that are specially designed or modified to

enhance performance by aggregation of

‘‘computing elements’’ (‘‘Ces’’), as follows:

c.1. Designed to be capable of aggregation

in configurations of 16 or more ‘‘computing

elements’’ (‘‘Ces’’); or
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2515

c.2. Having a sum of maximum data rates

on all channels available for connection to

associated processors exceeding 40 million

Bytes/s;

Note 1: 4A994.c applies only to ‘‘electronic

assemblies’’ and programmable

interconnections with a ‘‘CTP’’ not exceeding

the limits in 4A994.b, when shipped as

unintegrated ‘‘electronic assemblies’’. It does

not apply to ‘‘electronic assemblies’’

inherently limited by nature of their design

for use as related equipment controlled by

4A994.

Note 2: 4A994.c does not control any

‘‘electronic assembly’’ specially designed for

a product or family of products whose

maximum configuration does not exceed the

limits of 4A994.b.

d. Disk drives and solid state storage

equipment:

d.1. Magnetic, erasable optical or magnetooptical disk drives with a ‘‘maximum bit

transfer rate’’ exceeding 25 million bit/s;

d.2. Solid state storage equipment, other

than ‘‘main storage’’ (also known as solid

state disks or RAM disks), with a ‘‘maximum

bit transfer rate’’ exceeding 36 million bit/s;

e. Input/output control units designed for

use with equipment controlled by 4A994.d;

f. Equipment for ‘‘signal processing’’ or

‘‘image enhancement’’, not controlled by

4A003, having a ‘‘composite theoretical

performance’’ (‘‘CTP’’) exceeding 8.5 million

theoretical operations per second (Mtops);

g. Graphics accelerators or graphics

coprocessors, not controlled by 4A003, that

exceeds a ‘‘3–D vector rate’’ of 400,000 or, if

supported by 2–D vectors only, a ‘‘2–D vector

rate’’ of 600,000;

Note: The provisions of 4A994.g do not

apply to work stations designed for and

limited to:

a. Graphic arts (e.g., printing, publishing);

and

b. The display of two-dimensional vectors.

h. Color displays or monitors having more

than 120 resolvable elements per cm in the

direction of the maximum pixel density;

Note 1: 4A994.h does not control displays

or monitors not specially designed for

electronic computers.

Note 2: Displays specially designed for air

traffic control (ATC) systems are treated as

specially designed components for ATC

systems under Category 6.

i. Equipment containing ‘‘terminal

interface equipment’’ exceeding the limits in

5A991.

Note: For the purposes of 4A994.i,

‘‘terminal interface equipment’’ includes

‘‘local area network’’ interfaces, modems and

other communications interfaces. ‘‘Local area

network’’ interfaces are evaluated as

‘‘network access controllers’’.

B. Test, Inspection and Production

Equipment

4B994 Equipment for the ‘‘development’’

and ‘‘production’’ of magnetic and optical

storage equipment.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: This entry does not control

general-purpose sputtering equipment.

Related Definition: N/A

Items: a. Equipment specially designed for

the application of magnetic coating to

controlled non-flexible (rigid) magnetic or

magneto-optical media;

b. ‘‘Stored program controlled’’ equipment

specially designed for monitoring, grading,

exercising or testing controlled rigid

magnetic media;

c. Equipment specially designed for the

‘‘production’’ or alignment of heads or head/

disk assemblies for controlled rigid magnetic

and magneto-optical storage, and electromechanical or optical components therefor.

C. Materials

4C994 Materials specially formulated for

and required for the fabrication of head/disk

assemblies for controlled magnetic and

magneto-optical hard disk drives.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

D. Software

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

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

of equipment described in other Categories is

dealt with in the appropriate Category. The

control status of ‘‘software’’ for equipment

described in this Category is dealt with

herein.

4D001 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

‘‘software’’ controlled by 4A001 to 4A004, or

4D (except 4D993 or 4D994).

License Requirements

Reason for Control: NS, MT, CC, AT, NP, XP

Control(s) Country Chart

NS applies to ‘‘software’’

for equipment controlled by 4A001 to

4A004, 4D001 to 4D003.

NS Column 1

Control(s) Country Chart

MT applies to ‘‘software’’

for equipment controlled by 4A001 to

4A003 for MT reasons.

MT Column 1

CC applies to ‘‘software’’

for equipment controlled by 4A003 for CC

reasons.

CC Column 1

AT applies to entire entry AT Column 1

NP applies to ‘‘software’’ for computers

with a CTP greater than 2,000 Mtops, unless

a License Exception is available. See

§ 742.3(b) of the EAR for information on

applicable licensing review policies.

XP applies to ‘‘software’’ for computers

with a CTP greater than 2,000 Mtops, unless

a License Exception is available. See

§ 742.3(b) of the EAR for information on

applicable licensing review policies.

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

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

‘‘software’’ for equipment or ‘‘software’’

requiring a license and except for

‘‘software’’ specially designed for the

‘‘development’’, or ‘‘production’’ of

equipment controlled as follows, for

exports and reexports to destinations

outside of Austria, Belgium, Canada,

Denmark, Finland, France, Germany,

Greece, Ireland, Italy, Luxembourg, the

Netherlands, Portugal, Spain, Sweden, or

the United Kingdom: (a) ‘‘Digital’’

computers controlled by 4A003.b and

having a CTP exceeding 10,000 MTOPS; or

(b) ‘‘Electronic assemblies’’ controlled by

4A003.c and capable of enhancing

performance by aggregation of ‘‘computing

elements’’ so that the CTP of the

aggregation exceeds 10,000 MTOPS.

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

4D002 ‘‘Software’’ specially designed or

modified to support ‘‘technology’’

controlled by 4E (except 4E980, 4E992, and

4E993).

License Requirements

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

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to ‘‘software’’

for equipment controlled by 4E for MT

reasons.

MT Column 1

AT applies to entire entry AT Column 1

NP applies to ‘‘software’’ for computers

with a CTP greater than 2,000 Mtops, unless

a License Exception is available. See

§ 742.3(b) of the EAR for information on

applicable licensing review policies.

XP applies to ‘‘software’’ for computers

with a CTP greater than 2,000 Mtops, unless
2516 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

a License Exception is available. See

§ 742.3(b) of the EAR for information on

applicable licensing review policies.

License Exceptions

CIV: N/A

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

‘‘software’’ specifically designed or

modified to support ‘‘technology’’ for

computers requiring a license.

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

4D003 Specific ‘‘software’’, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exception.

License Exceptions

CIV: N/A

TSR: Yes, except 4D003.c

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Operating system ‘‘software’’,

‘‘software’’ development tools and compilers

specially designed for ‘‘multi-data-stream

processing’’ equipment, in ‘‘source code’’;

b. ‘‘Expert systems’’ or ‘‘software’’ for

‘‘expert system’’ inference engines providing

both:

b.1. Time dependent rules; and

b.2. Primitives to handle the time

characteristics of the rules and the facts;

c. ‘‘Software’’ having characteristics or

performing functions exceeding the limits in

Category 5, Part 2 (‘‘Information Security’’);

d. Operating systems specially designed for

‘‘real time processing’’ equipment that

guarantees a ‘‘global interrupt latency time’’

of less than 20 μs.

4D102 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

controlled by 4A101.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

4D980 ‘‘Software’’ specially designed for

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

of items controlled by 4A980.

License Requirements

Reason for Control: CC, AT

Control(s) Country Chart

CC applies to entire entry CC Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

4D993 ‘‘Program’’ proof and validation

‘‘software’’, ‘‘software’’ allowing the

automatic generation of ‘‘source codes’’,

and operating system ‘‘software’’ not

controlled by 4D003 that are specially

designed for real time processing

equipment.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. ‘‘Program’’ proof and validation

‘‘software’’ using mathematical and

analytical techniques and designed or

modified for ‘‘programs’’ having more than

500,000 ‘‘source code’’ instructions;

b. ‘‘Software’’ allowing the automatic

generation of ‘‘source codes’’ from data

acquired on line from external sensors

described in the Commerce Control List;

c. Operating system ‘‘software’’ not

controlled by 4D003 that are specially

designed for ‘‘real time processing’’

equipment that guarantees a ‘‘global interrupt

latency time’’ of less than 30 microseconds.

4D994 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

controlled by 4A994, 4B994 and materials

controlled by 4C994.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

E. Technology

4E001 ‘‘Technology’’ according to the

General Technology Note, for the

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

equipment or ‘‘software’’ controlled by 4A

or 4D (except 4A980, 4A993 or 4A994).

License Requirements

Reason for Control: NS, MT, CC, AT, NP, XP

Control(s) Country Chart

NS applies to ‘‘technology’’ for equipment

controlled by 4A001 to

4A004, 4D001 to 4D003.

NS Column 1

MT applies to ‘‘technology’’ for items controlled by 4A001 to

4A003, 4A101, 4D001,

4D102 or 4D002 for MT

reasons.

MT Column 1

CC applies to ‘‘technology’’ for equipment

controlled by 4A003 for

CC reasons.

CC Column 1

AT applies to entire entry AT Column 1

NP applies to ‘‘technology’’ for computers

with a CTP greater than 2,000 Mtops, unless

a License Exception is available. See

§ 742.3(b) of the EAR for information on

applicable licensing review policies.

XP applies to ‘‘technology’’ for computers

with a CTP greater than 2,000 Mtops, unless

a License Exception is available. See

§ 742.3(b) of the EAR for information on

applicable licensing review policies.

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes for ‘‘technology’’ directly related for

hardware under a License Exception. N/A

for MT and for ‘‘technology’’ for the

‘‘development’’ or ‘‘production’’ of

equipment or ‘‘software’’ for export and

reexport to destinations outside of Austria,

Belgium, Canada, Denmark, Finland,

France, Germany, Greece, Ireland, Italy,

Luxembourg, the Netherlands, Portugal,

Spain, Sweden, or the United Kingdom of

‘‘technology’’ for: (a) ‘‘Digital’’ computers

controlled by 4A003.b and having a CTP

exceeding 10,000 MTOPS; or (b)

‘‘Electronic assemblies’’ controlled by

4A003.c and capable of enhancing

performance by aggregation of ‘‘computing

elements’’ so that the CTP of the

aggregation exceeds 10,000 MTOPS.

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

4E980 ‘‘Technology’’ for the

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

items controlled by 4A980.

License Requirements
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2517

Reason for Control: CC, AT

Control(s) Country Chart

CC applies to entire entry CC Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

4E992 ‘‘Technology’’ for the

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

equipment controlled by 4A994 and 4B994,

materials controlled by 4C994, or

‘‘software’’ controlled by 4D993 or 4D994.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: See also 4E994

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

4E993 Other ‘‘Technology’’ for the

‘‘development’’ or ‘‘production’’ of graphics

accelerators or equipment designed for

‘‘multi-data-stream processing’’ and

‘‘technology’’ ‘‘required’’ for the

‘‘development’’ or ‘‘production’’ of

magnetic hard disk drives.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. ‘‘Technology’’ for the

‘‘development’’ or ‘‘production’’ of graphics

accelerators;

b. ‘‘Technology’’, for the ‘‘development’’ or

‘‘production’’ of equipment designed for

‘‘multi-data-stream processing’’;

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

‘‘development’’ or ‘‘production’’ of magnetic

hard disk drives with a ‘‘maximum bit

transfer rate’’ (‘‘MBTR’’) exceeding 11

Mbit/s.

EAR99 Items subject to the EAR that are

not elsewhere specified in this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

Technical Note: ‘‘COMPOSITE

THEORETICAL PERFORMANCE’’ (‘‘CTP’’).

Abbreviations used in this Technical Note

‘‘CE’’ ‘‘computing element’’ (typically an

arithmetic logical unit)

FP floating point

XP fixed point

t execution time

XOR exclusive OR

CPU central processing unit

TP theoretical performance (of a single

‘‘CE’’)

‘‘CTP’’ ‘‘composite theoretical

performance’’ (multiple ‘‘CEs’’)

R effective calculating rate

WL word length

L word length adjustment

* multiply

Execution time t is expressed in

microseconds, TP and ‘‘CTP’’ are expressed

in millions of theoretical operations per

second (Mtops) and WL is expressed in bits.

Outline of ‘‘CTP’’ Calculation Method

‘‘CTP’’ is a measure of computational

performance given in Mtops. In calculating

the ‘‘CTP’’ of an aggregation of ‘‘CEs’’ the

following three steps are required:

1. Calculate the effective calculating rate R

for each ‘‘CE’’;

2. Apply the word length adjustment (L) to

the effective calculating rate (R), resulting in

a Theoretical Performance (TP) for each

‘‘CE’’;

3. If there is more than one ‘‘CE’’, combine

the TPs, resulting in a ‘‘CTP’’ for the

aggregation.

Details for these steps are given in the

following sections.

Note 1: For aggregations of multiple ‘‘CEs’’

that have both shared and unshared memory

subsystems, the calculation of ‘‘CTP’’ is

completed hierarchically, in two steps: first,

aggregate the groups of ‘‘CEs’’ sharing

memory; second, calculate the ‘‘CTP’’ of the

groups using the calculation method for

multiple ‘‘CEs’’ not sharing memory.

Note 2: ‘‘CEs’’ that are limited to input/

output and peripheral functions (e.g., disk

drive, communication and video display

controllers) are not aggregated into the ‘‘CTP’’

calculation.

The following table shows the method of

calculating the Effective Calculating Rate R

for each ‘‘CE’’:

Step 1: The effective calculating rate R

Effective calculating Rate, R

XP only ..................................................................................................... 1÷3 * (txp add), if no add is implemented use:

(Rxp) .......................................................................................................... 1÷ (txp mult) If neither add nor multiply is implemented use the fastest available arithmetic operation as follows: 1÷3 * txp. See Notes

X & Z.

FP only (Rfp) ............................................................................................. max 1÷tfp add, 1÷tfp mult, See Notes X & Y.

Both FP and XP (R) ................................................................................. Calculate both Rxp, Rfp.

For simple logic processors not implementing any of the specified

arithmetic operations.

1÷3 * tlog. Where tlog is the execute time of the XOR, or for logic

hardware not implementing the XOR, the fastest simple logic operation. See Notes X & Z.

For special logic processors not using any of the specified arithmetic

or logic operations.

R = R′ * WL/64. Where R′ is the number of results per second, WL

is the number of bits upon which the logic operation occurs, and

64 is a factor to normalize to a 64 bit operation.

Note W: For a pipelined ‘‘CE’’ capable of

executing up to one arithmetic or logic

operation every clock cycle after the pipeline

is full, a pipelined rate can be established.

The effective calculating rate (R) for such a

‘‘CE’’ is the faster of the pipelined rate or

non-pipelined execution rate.

Note X: For a ‘‘CE’’ that performs multiple

operations of a specific type in a single cycle

(e.g., two additions per cycle or two identical

logic operations per cycle), the execution

time t is given by:

t

per machin

= cycle time

the number of identical operations

e cycle

‘‘CEs’’ that perform different types of

arithmetic or logic operations in a single

machine cycle are to be treated as multiple

separate ‘‘CEs’’ performing simultaneously

(e.g., a ‘‘CE’’ performing an addition and a

multiplication in one cycle is to be treated as

two ‘‘CEs’’, the first performing an addition

in one cycle and the second performing a

multiplication in one cycle). If a single ‘‘CE’’

has both scalar function and vector function,

use the shorter execution time value.

Note Y: For the ‘‘CE’’ that does not

implement FP add or FP multiply, but that

performs FP divide:
2518 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

R

t fp

fpdivide

= 1

If the ‘‘CE’’ implements FP reciprocal but

not FP add, FP multiply or FP divide, then

R

t fp

fpreciprocal

= 1

If none of the specified instructions is

implemented, the effective FP rate is 0.

Note Z: In simple logic operations, a single

instruction performs a single logic

manipulation of no more than two operands

of given lengths. In complex logic operations,

a single instruction performs multiple logic

manipulations to produce one or more results

from two or more operands.

Rates should be calculated for all

supported operand lengths considering both

pipelined operations (if supported), and nonpipelined operations using the fastest

executing instruction for each operand length

based on:

1. Pipelined or register-to-register

operations. Exclude extraordinarily short

execution times generated for operations on

a predetermined operand or operands (for

example, multiplication by 0 or 1). If no

register-to-register operations are

implemented, continue with (2).

2. The faster of register-to-memory or

memory-to-register operations; if these also

do not exist, then continue with (3).

3. Memory-to-memory.

In each case above, use the shortest

execution time certified by the manufacturer.

Step 2: TP for each supported operand

length WL.

Adjust the effective rate R (or R’) by the

word length adjustment L as follows:

TP = R * L, where L = (1/3 + WL/96)

Note: The word length WL used in these

calculations is the operand length in bits. (If

an operation uses operands of different

lengths, select the largest word length.) The

combination of a mantissa ALU and an

exponent ALU of a floating point processor

or unit is considered to be one ‘‘CE’’ with a

Word Length (WL) equal to the number of

bits in the data representation (typically 32

or 64) for purposes of the ‘‘CTP’’ calculation.

This adjustment is not applied to

specialized logic processors that do not use

XOR instructions. In this case TP = R.

Select the maximum resulting value of TP

for:

Each XP-only ‘‘CE’’ (Rxp);

Each FP-only ‘‘CE’’ (Rfp);

Each combined FP and XP ‘‘CE’’ (R);

Each simple logic processor not

implementing any of the specified

arithmetic operations; and

Each special logic processor not using any of

the specified arithmetic or logic operations.

Step 3: ‘‘CTP’’ for aggregations of ‘‘CEs’’,

including CPUs.

For a CPU with a single ‘‘CE’’, ‘‘CTP’’ = TP

(for ‘‘CEs’’ performing both fixed and floating

point operations TP = max (TPfp, TPxp))

‘‘CTP’’ for aggregations of multiple ‘‘CEs’’

operating simultaneously is calculated as

follows:

Note 1: For aggregations that do not allow

all of the ‘‘CEs’’ to run simultaneously, the

possible combination of ‘‘CEs’’ that provides

the largest ‘‘CTP’’ should be used. The TP of

each contributing ‘‘CE’’ is to be calculated at

its maximum value theoretically possible

before the ‘‘CTP’’ of the combination is

derived.

N.B.: To determine the possible

combinations of simultaneously operating

‘‘CEs’’, generate an instruction sequence that

initiates operations in multiple ‘‘CEs’’,

beginning with the slowest ‘‘CE’’ (the one

needing the largest number of cycles to

complete its operation) and ending with the

fastest ‘‘CE’’. At each cycle of the sequence,

the combination of ‘‘CEs’’ that are in

operation during that cycle is a possible

combination. The instruction sequence must

take into account all hardware and/or

architectural constraints on overlapping

operations.

Note 2: A single integrated circuit chip or

board assembly may contain multiple ‘‘CEs’’.

Note 3: Simultaneous operations are

assumed to exist when the computer

manufacturer claims concurrent, parallel or

simultaneous operation or execution in a

manual or brochure for the computer.

Note 4: ‘‘CTP’’ values are not to be

aggregated for ‘‘CE’’ combinations (inter)

connected by ‘‘Local Area Networks’’, Wide

Area Networks, I/O shared connections/

devices, I/O controllers and any

communication interconnection

implemented by ‘‘software’’.

Note 5: ‘‘CTP’’ values must be aggregated

for multiple ‘‘CEs’’ specially designed to

enhance performance by aggregation,

operating simultaneously and sharing

memory,—or multiple memory/’’CE’’—

combinations operating simultaneously

utilizing specially designed hardware.

This aggregation does not apply to

‘‘electronic assemblies’’ described by

4A003.d.

‘‘CTP’’=TP1+C2 * TP2+* * *+Cn * TPn,

where the TPs are ordered by value, with TP1

being the highest, TP2 being the second

highest, * * *, and TPn being the lowest. Ci

is a coefficient determined by the strength of

the interconnection between ‘‘CEs’’, as

follows:

For multiple ‘‘CEs’’ operating

simultaneously and sharing memory:

C2=C3=C4=* * *=Cn=0.75

Note 1: When the ‘‘CTP’’ calculated by the

above method does not exceed 194 Mtops,

the following formula may be used to

calculate Ci:

C

m

i i = = 0 75 2 . ( , . . . , n)

where m=the number of ‘‘CEs’’ or groups of

‘‘CEs’’ sharing access.

Provided:

1. The TP1 of each ‘‘CE’’ or group of ‘‘CEs’’

does not exceed 30 Mtops;

2. The ‘‘CEs’’ or groups of ‘‘CEs’’ share

access to main memory (excluding cache

memory) over a single channel; and

3. Only one ‘‘CE’’ or group of ‘‘CEs’’ can

have use of the channel at any given time.

N.B.: This does not apply to items

controlled under Category 3.

Note 2: ‘‘CEs’’ share memory if they access

a common segment of solid state memory.

This memory may include cache memory,

main memory or other internal memory.

Peripheral memory devices such as disk

drives, tape drives or RAM disks are not

included.

For Multiple ‘‘CEs’’ or groups of ‘‘CEs’’ not

sharing memory, interconnected by one or

more data channels:

Ci=0.75 * ki (i=2, * * * , 32) (see Note

below)

=0.60 * ki (i=33, * * *, 64)

=0.45 * ki (i=65, * * *, 256)

=0.30 * ki (i >256)

The value of Ci is based on the number of

‘‘CE’’s, not the number of nodes.

where

ki=min (Si/Kr, 1), and

Kr=normalizing factor of 20 MByte/s.

Si=sum of the maximum data rates (in

units of MByte/s) for all data channels

connected to the ith ‘‘CE’’ or group of

‘‘CEs’’ sharing memory.

When calculating a Ci for a group of ‘‘CEs’’,

the number of the first ‘‘CE’’ in a group

determines the proper limit for Ci. For

example, in an aggregation of groups

consisting of 3 ‘‘CEs’’ each, the 22nd group

will contain ‘‘CE’’64, ‘‘CE’’65 and ‘‘CE’’66. The

proper limit for Ci for this group is 0.60.

Aggregation (of ‘‘CEs’’ or groups of ‘‘CEs’’)

should be from the fastest-to-slowest; i.e.:

TP1 ≥TP2≥ * * * . >TPn, and

in the case of TPi=TPi+1, from the largest to

smallest; i.e.:

Ci ≥ Ci+1

Note: The ki factor is not to be applied to

‘‘CEs’’ 2 to 12 if the TPi of the ‘‘CE’’ or group

of ‘‘CEs’’ is more than 50 Mtops; i.e., Ci for

‘‘CEs’’ 2 to 12 is 0.75.

Category 5—Telecommunications and

‘‘Information Security’’

I. Telecommunications

Notes: 1. The control status of components,

‘‘lasers’’, test and ‘‘production’’ equipment,

materials and ‘‘software’’ therefor which are

specially designed for telecommunications

equipment or systems is determined in

Category 5, Part 1.

2. ‘‘Digital computers’’, related equipment

or ‘‘software’’, when essential for the

operation and support of telecommunications

equipment described in this Category, are

regarded as specially designed components,

provided they are the standard models

customarily supplied by the manufacturer.

This includes operation, administration,

maintenance, engineering or billing computer

systems.

A. Systems, Equipment and Components

5A001 Telecommunications systems,

equipment, and components.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to 5A001.a ...... NS Column 1

NS applies to 5A001.b, .c,

.d, or .e.

NS Column 2
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2519

Control(s) Country Chart

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.

License Exceptions

LVS: N/A for 5A001.a and b.9;

$5000 for 5A001.b.1 to b.8 and b.10, .c, and

.e

$3000 for 5A001.d

GBS: Yes, except 5A001.a and b.9

CIV: Yes, except 5A001.a, b.8, and b.9

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 5A101 and 5A991

Related Definitions: N/A

Items: a. Any type of telecommunications

equipment having any of the following

characteristics, functions or features:

a.1. Specially designed to withstand

transitory electronic effects or

electromagnetic pulse effects, both arising

from a nuclear explosion;

a.2. Specially hardened to withstand

gamma, neutron or ion radiation; or

a.3. Specially designed to operate outside

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

397 K (124°C).

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

equipment.

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

apply to equipment on board satellites.

b. Telecommunication transmission

equipment and systems, and specially

designed components and accessories

therefor, having any of the following

characteristics, functions or features:

Note: Telecommunication transmission

equipment:

a. Categorized as follows, or combinations

thereof:

1. Radio equipment (e.g., transmitters,

receivers and transceivers);

2. Line terminating equipment;

3. Intermediate amplifier equipment;

4. Repeater equipment;

5. Regenerator equipment;

6. Translation encoders (transcoders);

7. Multiplex equipment (statistical

mutiplex included);

8. Modulators/demodulators (modems);

9. Transmultiplex equipment (see CCITT

Rec. G701);

10. ‘‘Stored program controlled’’ digital

crossconnection equipment;

11. ‘‘Gateways’’ and bridges;

12. ‘‘Media access units’’; and

b. Designed for use in single or multichannel communication via any of the

following:

1. Wire (line);

2. Coaxial cable;

3. Optical fiber cable;

4. Electromagnetic radiation; or

5. Underwater acoustic wave propagation.

b.1. Employing digital techniques,

including digital processing of analog signals,

and designed to operate at a ‘‘digital transfer

rate’’ at the highest multiplex level exceeding

45 Mbit/s or a ‘‘total digital transfer rate’’

exceeding 90 Mbit/s;

Note: 5A001.b.1 does not control

equipment specially designed to be

integrated and operated in any satellite

system for civil use.

b.2. Being underwater communications

systems having any of the following

characteristics:

b.2.a. An acoustic carrier frequency outside

the range from 20 kHz to 60 kHz;

b.2.b. Using an electromagnetic carrier

frequency below 30 kHz; or

b.2.c. Using electronic beam steering

techniques;

b.3. Being equipment containing any of the

following:

b.3.a. ‘‘Network access controllers’’ and

their related common medium having a

‘‘digital transfer rate’’ exceeding 156 Mbit/s;

or

b.3.b. ‘‘Communication channel

controllers’’ with a digital output having a

‘‘data signalling rate’’ exceeding 2.1 Mbit/s

per channel;

Note: If any uncontrolled equipment

contains a ‘‘network access controller’’, it

cannot have any type of telecommunications

interface, except those described in, but not

controlled by 5A001.b.3.

b.4. Employing a ‘‘laser’’ and having any of

the following characteristics:

b.4.a. A transmission wavelength

exceeding 1,000 nm; or

b.4.b. Employing analog techniques and

having a bandwidth exceeding 45 MHz;

Note: 5A001.b.4.b does not control

commercial TV systems.

b.4.c. Employing coherent optical

transmission or coherent optical detection

techniques (also called optical heterodyne or

homodyne techniques);

b.4.d. Employing wavelength division

multiplexing techniques; or

b.4.e. Performing ‘‘optical amplification’’;

b.5. Being radio equipment operating at

input or output frequencies exceeding 31

GHz;

Note: 5A001.b.5 does not control

equipment designed or modified for

operation in any ITU allocated band.

b.6. Being radio equipment employing any

of the following:

b.6.a. Quadrature-amplitude-modulation

(QAM) techniques above level 4 if the ‘‘total

digital transfer rate’’ exceeds 8.5 Mbit/s;

b. QAM techniques above level 16 if the

‘‘total digital transfer rate’’ is equal to or less

than 8.5 Mbit/s; or

c. Other digital modulation techniques and

having a ‘‘spectral efficiency’’ exceeding 3

bit/sec/Hz;

Notes: 1. 5A001.b.6 does not control

equipment specially designed to be

integrated and operated in any satellite

system for civil use.02

2. 5A001.b.6 does not control radio relay

equipment for operation in an ITU allocated

band:

a. Having any of the following:

a.1. Not exceeding 960 MHz; or

a.2. With a ‘‘total digital transfer rate’’ not

exceeding 8.5 Mbit/s; and

b. Having a ‘‘spectral efficiency’’ not

exceeding 4 bit/sec/Hz.

b.7. Being radio equipment operating in the

1.5 MHz to 87.5 MHz band and having any

of the following characteristics:

b.7.a. Incorporating adaptive techniques

providing more than 15 dB suppression of an

interfering signal; or

b.7.b. Having all of the following:

b.7.b.1. Automatically predicting and

selecting frequencies and ‘‘total digital

transfer rates’’ per channel to optimize the

transmission; and

b.7.b.2. Incorporating a linear power

amplifier configuration having a capability to

support multiple signals simultaneously at

an output power of 1 kW or more in the 1.5

MHz to 30 MHz frequency range or 250 W

or more in the 30 MHz to 87.5 MHz

frequency range, over an ‘‘instantaneous

bandwidth’’ of one octave or more and with

an output harmonic and distortion content of

better than -80 dB;

b.8. Being radio equipment employing

‘‘spread spectrum’’ or ‘‘frequency agility’’

(frequency hopping) techniques having any

of the following characteristics:

b.8.a. User programmable spreading codes;

or

b.8.b. A total transmitted bandwidth which

is 100 or more times the bandwidth of any

one information channel and in excess of 50

kHz;

Note: 5A001.b.8.b does not control cellular

radio equipment operating in civil bands.

Note: 5A001.b.8 does not control

equipment operating at an output power of

1.0 Watt or less.

b.9. Being digitally controlled radio

receivers having all of the following:

b.9.a. More than 1,000 channels;

b.9.b. A ‘‘frequency switching time’’ of less

than 1 ms;

b.9.c. Automatic searching or scanning of

a part of the electromagnetic spectrum; and

b.9.d. Identification of the received signals

or the type of transmitter; or

Note: 5A001.b.9 does not control cellular

radio equipment operating in civil bands.

b.10. Employing functions of digital

‘‘signal processing’’ to provide voice coding

at rates of less than 2,400 bit/s.

c. ‘‘Stored program controlled’’ switching

equipment and related signalling systems,

having any of the following characteristics,

functions or features, and specially designed

components and accessories therefor:

Note: Statistical multiplexers with digital

input and digital output which provide

switching are treated as ‘‘stored program

controlled’’ switches.

c.1. ‘‘Common channel signalling’’

operating in either non-associated or quasiassociated mode of operation;

c.2. ‘‘Dynamic adaptive routing’’;

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

switches or routers with ports or lines not

exceeding the limits in 5A001.c.3.

c.3. Being packet switches, circuit switches

and routers with ports or lines exceeding any

of the following:

c.3.a. A ‘‘data signalling rate’’ of 2.1 Mbit/

s per channel for a ‘‘communications channel

controller’’; or

Note: 5A001.c.3.a does not control

multiplexed composite links composed only

of communication channels not individually

controlled by 5A001.c.3.a.
2520 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

c.3.b. A ‘‘digital transfer rate’’ of 156 Mbit/

s for a ‘‘network access controller’’ and

related common medium;

c.4. ‘‘Optical switching’’;

c.5. Employing ‘‘Asynchronous Transfer

Mode’’ (‘‘ATM’’) techniques.

d. Optical fiber communication cables,

optical fibers and accessories, as follows:

d.1. Optical fibers and optical fiber cables

of more than 50 m in length having any of

the following characteristics:

d.1.a. Designed for single mode operation;

or

d.1.b. For optical fibers, specified by the

manufacturer as being capable of

withstanding a proof test tensile stress of

2×109 N/m2 or more;

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

dynamically applies a prescribed tensile

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

running rate of 2 to 5 m/s while passing

between capstans approximately 150 mm in

diameter. The ambient temperature is a

nominal 293 K (20° C) and relative humidity

40%.

N.B.: Equivalent national standards may be

used for executing the proof test.

d.2. Optical fiber cables and accessories

designed for underwater use.

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

civil telecommunication cables and

accessories.

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

connectors, see 8A002.c.

e. ‘‘Electronically steerable phased array

antennae’’ operating above 31 GHz.

Note: 5A001.e does not control

‘‘electronically steerable phased array

antennae’’ for landing systems with

instruments meeting ICAO standards

covering microwave landing systems (MLS).

5A101 Telemetering and telecontrol

equipment usable for ‘‘missiles’’.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

5A980 Communications intercepting

devices; and parts and accessories

therefor.

License Requirements

Reason for Control: Controls on equipment

described in this entry are maintained in

accordance with the Omnibus Crime Control

and Safe Streets Act of 1968 (Public Law 90–

351). A license is required for ALL

destinations, regardless of end-use.

Accordingly, a column specific to this

control does not appear on the Commerce

Country Chart. (See § 742.13 of the EAR for

additional information on the scope of this

control.)

Note: These items are subject to the United

Nations Security Council arms embargo

against Rwanda described in § 746.8 of the

EAR.

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

5A991 Telecommunication equipment, not

controlled by 5A001.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Any type of telecommunications

equipment, not controlled by 5A001.a,

specially designed to operate outside the

temperature range from 219 K (¥54° C) to

397 K (124° C).

b. Transmission equipment, as follows:

b.1. Modems using the ‘‘bandwidth of one

voice channel’’ with a ‘‘data signalling rate’’

exceeding 9,600 bits per second;

b.2. ‘‘Communication channel controllers’’

with a digital output having a ‘‘data

signalling rate’’ exceeding 64,000 bit/s per

channel; or

b.3. ‘‘Network access controller’’ and their

related common medium having a ‘‘digital

transfer rate’’ exceeding 33 Mbit/s.

b.4. Being ‘‘stored program controlled’’

digital cross connect equipment with ‘‘digital

transfer rate’’ exceeding 8.5 Mbit/s per port.

b.5. Radio equipment operating at input or

output frequencies exceeding:

b.5.1. 31 GHz for satellite-earth station

applications; or

b.5.2. 26.5 GHz for other applications;

Note: 5A991.b.5. does not control

equipment for civil use when conforming

with an International Telecommunications

Union (ITU) allocated band between 26.5

GHz and 31 GHz.

b.6. Providing functions of digital ‘‘signal

processing’’ as follows:

b.6.a. Voice coding at rates less than 2,400

bit/s;

b.6.b. Employing circuitry that

incorporates ‘‘user-accessible

programmability’’ of digital ‘‘signal

processing’’ circuits exceeding the limits of

4A003.b.

c. ‘‘Stored program controlled’’ switching

equipment and related signalling systems as

follows:

c.1. ‘‘Data (message) switching’’ equipment

or systems designed for ‘‘packet-mode

operation’’ and assemblies and components

therefor, n.e.s.

c.2. Containing ‘‘Integrated Services Digital

Network’’ (ISDN) functions and having any of

the following:

c.2.a. Switch-terminal (e.g., subscriber line)

interfaces with a ‘‘digital transfer rate’’ at the

highest multiplex level exceeding 192,000

bit/s, including the associated signalling

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

c.2.b. The capability that a signalling

message received by a switch on a given

channel that is related to a communication

on another channel may be passed through

to another switch.

Note: 5A991.b. does not preclude the

evaluation and appropriate actions taken by

the receiving switch or unrelated user

message traffic on a D channel of ISDN.

c.3. Routing or switching of ‘‘datagram’’

packets;

c.4. Routing or switching of ‘‘fast select’’

packets;

Note: The restrictions in 5A991.c.3 and c.4

do not apply to networks restricted to using

only ‘‘network access controllers’’ or to

‘‘network access controllers’’ themselves.

c.5. Multi-level priority and pre-emption

for circuit switching;

Note: 5A991.c.5. does not control singlelevel call preemption.

c.6. Designed for automatic hand-off of

cellular radio calls to other cellular switches

or automatic connection to a centralized

subscriber data base common to more than

one switch;

c.7. Containing ‘‘stored program

controlled’’ digital crossconnect equipment

with ‘‘digital transfer rate’’ exceeding 8.5

Mbit/s per port.

c.8. Being packet switches, circuit switches

and routers with ports or lines exceeding any

of the following:

c.8.a. A ‘‘data signalling rate’’ of 64,000 bit/

s per channel for a ‘‘communications channel

controller’’; or

Note: 5A991.c.8.a. does not control

multiplex composite links composed only of

communication channels not individually

controlled by 5A001.b.1.

c.8.b. A ‘‘digital transfer rate’’ of 33 Mbit/

s for a ‘‘network cess controller’’ and related

common media;

d. Centralized network control having all

of the following characteristics:

d.1. Receives data from the nodes; and

d.2. Process these data in order to provide

control of traffic not requiring operator

decisions, and thereby performing ‘‘dynamic

adaptive routing’’;

Note: 5A991.d. does not preclude control

of traffic as a function of predictable

statistical traffic conditions.

e. Phased array antennae, operating above

10.5 GHz, containing active elements and

distributed components, and designed to

permit electronic control of beam shaping

and pointing, except for landing systems

with instruments meeting International Civil
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2521

Aviation Organization (ICAO) standards

(microwave landing systems (MLS)).

f. Mobile communications equipment,

n.e.s., and assemblies and components

therefor; or

g. Radio relay communications equipment

designed for use at frequencies equal to or

exceeding 19.7 GHz and assemblies and

components therefor, n.e.s.

B. Test, Inspection and Production

Equipment

5B001 Equipment and specially designed

components or accessories therefor,

specially designed for the ‘‘development’’,

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

materials, functions or features controlled

by 5A001, 5B001, 5C001, 5D001 or 5E001.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $5000

GBS: Yes

CIV: Yes

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 5B991. This entry

does not control optical fibers and ‘‘optical

fiber preform’’ characterization equipment

not using semiconductor ‘‘lasers’’.

Related Definition: N/A

Items: The List of Items Controlled is

contained in the ECCN heading.

5B991 Telecommunications test

equipment, n.e.s.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: $1,000 for Syria; N/A to Iran

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

C. Materials

5C001 Preforms of glass or of any other

material optimized for the manufacture of

optical fibers controlled by 5A001.d.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: Yes

CIV: Yes

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

D. Software

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

of Items Controlled.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: Yes, except for ‘‘software’’ controlled by

5D001.b or .c, when specially designed or

modified for equipment, functions or

features controlled by 5A001.b.9

TSR: Yes, except for exports and reexports to

destinations outside of Austria, Belgium,

Canada, Denmark, Finland, France,

Germany, Greece, Ireland, Italy,

Luxembourg, the Netherlands, Portugal,

Spain, Sweden, or the United Kingdom of

‘‘software’’ controlled by 5D001.a and

specially designed for items controlled by

5A001.b.9

List of Items Controlled

Unit: $ value

Related Controls: See also 5D991

Related Definitions: N/A

Items: a. ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

functions or features controlled by 5A001,

5B001 or 5C001.

b. ‘‘Software’’ specially designed or

modified to support ‘‘technology’’ controlled

by 5E001.

c. Specific ‘‘software’’ as follows:

c.1. ‘‘Software’’, other than in machineexecutable form, specially designed or

modified for the ‘‘use’’ of digital cellular

radio equipment or systems;

c.2. ‘‘Software’’ specially designed or

modified to provide characteristics, functions

or features of equipment controlled by 5A001

or 5B001;

c.3. ‘‘Software’’ which provides the

capability of recovering ‘‘source code’’ of

telecommunications ‘‘software’’ controlled by

5A001, 5B001, or 5C001;

c.4. ‘‘Software’’, other than in machineexecutable form, specially designed for

‘‘dynamic adaptive routing’’.

N.B.: For ‘‘software’’ for ‘‘signal

processing’’ see also 4D and 6D.

5D101 ‘‘Software’’ designed or modified

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

‘‘use of items controlled by 5A101.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

5D991 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

controlled by 5A991 and 5B991.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

E. Technology

5E001 ‘‘Technology’’, (see List of Items

Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes, except for exports or reexports to

destinations outside of Austria, Belgium,

Canada, Denmark, Finland, France,

Germany, Greece, Ireland, Italy,

Luxembourg, the Netherlands, Portugal,

Spain, Sweden, or the United Kingdom of

‘‘technology’’ controlled by 5E001.a for the

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

controlled by 5A001.b.9 or 5D001.a.

List of Items Controlled

Unit: $ value

Related Controls: See also 5E101 and 5E991

Related Definitions: N/A

Items: a. ‘‘Technology’’ according to the

General Technology Note for the

‘‘development’’, ‘‘production’’ or ‘‘use’’
2522 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

(excluding operation) of equipment,

functions or features, materials or ‘‘software’’

controlled by 5A001, 5B001, 5C001 or 5D001.

b. Specific ‘‘technologies’’, as follows:

b.1. ‘‘Required’’ ‘‘technology’’ for the

‘‘development’’ or ‘‘production’’ of

telecommunications equipment specially

designed to be used on board satellites;

b.2. ‘‘Technology’’ for the ‘‘development’’

or ‘‘use’’ of ‘‘laser’’ communication

techniques with the capability of

automatically acquiring and tracking signals

and maintaining communications through

exoatmosphere or sub-surface (water) media;

b.3. ‘‘Technology’’ for the processing and

application of coatings to optical fiber

specially designed to make it suitable for

underwater use;

b.4. ‘‘Technology’’ for the ‘‘development’’

of equipment employing ‘‘Synchronous

Digital Hierarchy’’ (‘‘SDH’’) or ‘‘Synchronous

Optical Network’’ (‘‘SONET’’) techniques;

b.5. ‘‘Technology’’ for the ‘‘development’’

of ‘‘switch fabric’’ exceeding 64,000 bit/s per

information channel other than for digital

cross connect integrated in the switch;

b.6. ‘‘Technology’’ for the ‘‘development’’

of centralized network control or ‘‘dynamic

adaptive routing’’;

b.7. ‘‘Technology’’ for the ‘‘development’’

of digital cellular radio systems;

b.8. ‘‘Technology’’ for the ‘‘development’’

of broadband ‘‘Integrated Services Digital

Network’’ (‘‘ISDN’’);

b.9. ‘‘Technology’’ for the ‘‘development’’

of QAM techniques, for radio equipment,

above level 4;

b.10. ‘‘Technology’’ for the ‘‘development’’

of ‘‘spread spectrum’’ or ‘‘frequency agility’’

(frequency hopping) techniques.

5E101 ‘‘Technology’’ according to the

General Technology Note for the

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

equipment controlled by 5A101.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

5E111 ‘‘Technology’’ according to the

General Technology Note for the

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

‘‘software’’ controlled by 5D101.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

5E991 ‘‘Technology’’ for the

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

equipment controlled by 5A991 or 5B991, or

‘‘software’’ controlled by 5D991.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

EAR99 Items subject to the EAR that are

not elsewhere specified in this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

Part 2—‘‘Information Security’’

Note: The control status of ‘‘information

security’’ equipment, ‘‘software’’, systems,

application specific ‘‘electronic assemblies’’,

modules, integrated circuits, components, or

functions is determined in Category 5, Part 2

even if they are components or ‘‘electronic

assemblies’’ of other equipment.

A. Systems, Equipment and Components

5A002 Systems, equipment, application

specific ‘‘assemblies’’, modules or

integrated circuits for ‘‘information

security’’, and specially designed

components therefor.

License Requirements

Reason for Control: NS, AT, EI

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

EI applies to encryption items transferred

from the U.S. Munitions List to the

Commerce Control List consistent with E.O.

13026 of November 15, 1996 (61 FR 58767)

and pursuant to the Presidential

Memorandum of that date. Refer to § 742.15

of the EAR.

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 5A992. This entry

does not control: (a) ‘‘Personalized smart

cards’’ or specially designed components

therefor, with any of the following

characteristics: (1) Not capable of message

traffic encryption or encryption of usersupplied data or related key management

functions therefor; or (2) When restricted

for use in equipment or systems excluded

from control under the note to 5A002.c, or

under paragraphs b through h of this note.

(b) Equipment containing ‘‘fixed’’ data

compression or coding techniques; (c)

Receiving equipment for radio broadcast,

pay television or similar restricted

audience television of the consumer type,

without digital encryption and where

digital decryption is limited to the video,

audio or management functions; (d)

Portable or mobile radiotelephones for civil

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

cellular radiocommunications systems)

that are not capable of end-to-end

encryption; (e) Decryption functions

specially designed to allow the execution

of copy-protected ‘‘software’’, provided the

decryption functions are not useraccessible; (f) Access control equipment,

such as automatic teller machines, selfservice statement printers or point of sale

terminals, that protects password or

personal identification numbers (PIN) or

similar data to prevent unauthorized access

to facilities but does not allow for

encryption of files or text, except as

directly related to the password or PIN

protection; (g) Data authentication

equipment that calculates a Message

Authentication Code (MAC) or similar

result to ensure no alteration of text has

taken place, or to authenticate users, but

does not allow for encryption of data, text

or other media other than that needed for

the authentication; (h) Cryptographic

equipment specially designed and limited

for use in machines for banking or money

transactions, such as automatic teller

machines, self-service statement printers or

point of sale terminals.

Related Definitions: For the control of global

navigation satellite systems receiving

equipment containing or employing

decryption (i.e., GPS or GLONASS see

7A005)

Items: a. Systems, equipment, application

specific ‘‘assemblies’’, modules or

integrated circuits for ‘‘information

security’’, and specially designed

components therefor:

a.1. Designed or modified to use

‘‘cryptography’’ employing digital techniques

to ensure ‘‘information security’’;

a.2. Designed or modified to perform

cryptoanalytic functions;

a.3. Designed or modified to use

‘‘cryptography’’ employing analog techniques

to ensure ‘‘information security’’;

Note: 5A002.a.3 does not control the

following:

1. Equipment using ‘‘fixed’’ band

scrambling not exceeding 8 bands and in

which the transpositions change not more

frequently than once every second;

2. Equipment using ‘‘fixed’’ band

scrambling exceeding 8 bands and in which

the transpositions change not more

frequently than once every ten seconds;
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2523

3. Equipment using ‘‘fixed’’ frequency

inversion and in which the transpositions

change not more frequently than once every

second;

4. Facsimile equipment;

5. Restricted audience broadcast

equipment; and

6. Civil television equipment;

a.4. Designed or modified to suppress the

compromising emanations of informationbearing signals;

Note: 5A002.a.4 does not control

equipment specially designed to suppress

emanations for reasons of health and safety.

a.5. Designed or modified to use

cryptographic techniques to generate the

spreading code for ‘‘spread spectrum’’ or the

hopping code for ‘‘frequency agility’’

systems;

a.6. Designed or modified to provide

certified or certifiable ‘‘multilevel security’’

or user isolation at a level exceeding Class B2

of the Trusted Computer System Evaluation

Criteria (TCSEC) or equivalent;

a.7. Communications cable systems

designed or modified using mechanical,

electrical or electronic means to detect

surreptitious intrusion.

5A992 ‘‘Information security’’ equipment,

n.e.s.; (e.g., cryptographic, cryptoanalytic,

and cryptologic equipment, n.e.s.), and

components therefor.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

B. Test, Inspection and Production

Equipment

5B002 Information Security—test,

inspection and ‘‘production’’ equipment.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Equipment specially designed for:

a.1. The ‘‘development’’ of equipment or

functions controlled by 5A002, 5B002, 5D002

or 5E002, including measuring or test

equipment;

a.2. The ‘‘production’’ of equipment or

functions controlled by 5A002, 5B002,

5D002, or 5E002, including measuring, test,

repair or production equipment;

b. Measuring equipment specially designed

to evaluate and validate the ‘‘information

security’’ functions controlled by 5A002 or

5D002.

C. Materials [Reserved]

D. Software

5D002 Information Security—‘‘Software’’.

License Requirements

Reason for Control: NS, AT, EI

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

EI applies to encryption items transferred

from the U.S. Munitions List to the

Commerce Control List consistent with E.O.

13026 of November 15, 1996 (61 FR 58767)

and pursuant to the Presidential

Memorandum of that date. Refer to § 742.15

of the EAR.

Note: Encryption software is controlled

because of its functional capacity, and not

because of any informational value of such

software; such software is not accorded the

same treatment under the EAR as other

‘‘software’’; and for the export licensing

purposes encryption software is treated

under the EAR in the same manner as a

commodity included in ECCN 5A002.

License Exceptions for commodities are not

applicable.

Note: Encryption software controlled for EI

reasons under this entry remains subject to

the EAR even when made publicly available

in accordance with part 734 of the EAR, and

it is not eligible for the General Software

Note (‘‘mass market’’ treatment under

License Exception TSU for mass market

software). After a one-time BXA review,

certain encryption software may be released

from EI controls and made eligible for the

General Software Note treatment as well as

other provisions of the EAR applicable to

software. Refer to § 742.15(b)(1) of the EAR

and Supplement No. 6 to part 742 of the

EAR.

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 5D992. This entry

does not control ‘‘software’’ ‘‘required’’ for

the ‘‘use’’ of equipment excluded from

control under 5A002 or ‘‘software’’ providing

any of the functions of equipment excluded

from control under 5A002

Related Definitions: N/A

Items: a. ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

‘‘software’’ controlled by 5A002, 5B002 or

5D002.

b. ‘‘Software’’ specially designed or

modified to support ‘‘technology’’ controlled

by 5E002.

c. Specific ‘‘software’’ as follows:

c.1. ‘‘Software’’ having the characteristics,

or performing or simulating the functions of

the equipment controlled by 5A002 or 5B002;

c.2. ‘‘Software’’ to certify ‘‘software’’

controlled by 5D002.c.1.

5D992 ‘‘Software’’ not controlled by

5D002.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to 5D992.a and

.b.

AT Column 1

AT applies to 5D992.c ...... AT Column 2

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. ‘‘Software’’, specially designed or

modified for the ‘‘development’’,

‘‘production’’, or ‘‘use’’ of information

security or cryptologic equipment (e.g.,

equipment controlled by 5A992)

b. ‘‘Software’’ having the characteristics, or

performing or simulating the functions of the

equipment controlled by 5A992.

c. ‘‘Software’’ designed or modified to

protect against malicious computer damage,

e.g., viruses.

E. Technology

5E002 ‘‘Technology’’ according to the

General Technology Note for the

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

equipment controlled by 5A002 or 5B002 or

‘‘software’’ controlled by 5D002.

License Requirements

Reason for Control: NS, AT, EI

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

EI applies to encryption items transferred

from the U.S. Munitions List to the

Commerce Control List consistent with E.O.

13026 of November 15, 1996 (61 FR 58767)

and pursuant to the Presidential

Memorandum of that date.

Refer to § 742.15 of the EAR

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: See also 5E992
2524 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

5E992 ‘‘Technology’’, n.e.s., for the

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

‘‘information security’’ or cryptologic

equipment (e.g., equipment controlled by

5A992), or ‘‘software’’ controlled by 5D992.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

EAR99 Items subject to the EAR that are

not elsewhere specified in this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

Category 6—Sensors and Lasers

A. Systems, Equipment and Components

6A001 Acoustics.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $3000; N/A for 6A001.a.2.a.1, a.2.a.2,

a.2.a.7, a.2.b; processing equipment

controlled by 6A002.a.2.c, and specially

designed for real time application with towed

acoustic hydrophone arrays; a.2.e.1, a.2.e.2;

and bottom or bay cable systems controlled

by 6A002.a.2.e.3 and having processing

equipment specially designed for real time

application with bottom or bay cable systems

GBS: Yes for 6A001.a.1.b.4

CIV: Yes for 6A001.a.1.b.4

List of Items Controlled

Unit: $ value

Related Controls: See also 6A991

Related Definitions: N/A

Items: a. Marine acoustic systems, equipment

and specially designed components therefor,

as follows: a.1. Active (transmitting or

transmitting-and-receiving) systems,

equipment and specially designed

components therefor, as follows:

Note: 6A001.a.1 does not control:

a. Depth sounders operating vertically

below the apparatus, not including a

scanning function exceeding ±20°, and

limited to measuring the depth of water, the

distance of submerged or buried objects or

fish finding;

b. Acoustic beacons, as follows:

1. Acoustic emergency beacons;

2. Pingers specially designed for relocating

or returning to an underwater position.

a.1.a. Wide-swath bathymetric survey

systems designed for sea bed topographic

mapping, having all of the following:

a.1.a.1. Being designed to take

measurements at an angle exceeding 20° from

the vertical;

a.1.a.2. Being designed to measure depths

exceeding 600 m below the water surface;

and

a.1.a.3. Being designed to provide any of

the following:

a.1.a.3.a. Incorporation of multiple beams

any of which is less than 1.9°; or

a.1.a.3.b. Data accuracies of better than

0.3% of water depth across the swath

averaged over the individual measurements

within the swath;

a.1.b. Object detection or location systems

having any of the following:

a.1.b.1. A transmitting frequency below 10

Khz;

a.1.b.2. Sound pressure level exceeding

224 Db (reference 1 μPa at 1 m) for

equipment with an operating frequency in

the band from 10 Khz to 24 Khz inclusive;

a.1.b.3. Sound pressure level exceeding

235 Db (reference 1 μPa at 1 m) for

equipment with an operating frequency in

the band between 24 Khz and 30 Khz;

a.1.b.4. Forming beams of less than 1° on

any axis and having an operating frequency

of less than 100 Khz;

a.1.b.5. Designed to operate with an

unambiguous display range exceeding 5,120

m; or

a.1.b.6. Designed to withstand pressure

during normal operation at depths exceeding

1,000 m and having transducers with any of

the following:

a.1.b.6.a. Dynamic compensation for

pressure; or

a.1.b.6.b. Incorporating other than lead

zirconate titanate as the transduction

element;

a.1.c. Acoustic projectors, including

transducers, incorporating piezoelectric,

magnetostrictive, electrostrictive,

electrodynamic or hydraulic elements

operating individually or in a designed

combination, having any of the following:

Notes: 1. The control status of acoustic

projectors, including transducers, specially

designed for other equipment is determined

by the control status of the other equipment.

2. 6A001.a.1.c does not control electronic

sources that direct the sound vertically only,

or mechanical (e.g., air gun or vapor-shock

gun) or chemical (e.g., explosive) sources.

a.1.c.1. An instantaneous radiated acoustic

power density exceeding 0.01 mW/mm2/Hz

for devices operating at frequencies below 10

Khz;

a.1.c.2. A continuously radiated acoustic

power density exceeding 0.001 Mw/mm2/Hz

for devices operating at frequencies below 10

Khz;

Technical Note: Acoustic power density is

obtained by dividing the output acoustic

power by the product of the area of the

radiating surface and the frequency of

operation.

a.1.c.3. Designed to withstand pressure

during normal operation at depths exceeding

1,000 m; or

a.1.c.4. Side-lobe suppression exceeding 22

Db;

a.1.d. Acoustic systems, equipment and

specially designed components for

determining the position of surface vessels or

underwater vehicles having any of the

following:

Note: 6A001.a.1.d includes:

a. Equipment using coherent ‘‘signal

processing’’ between two or more beacons

and the hydrophone unit carried by the

surface vessel or underwater vehicle;

b. Equipment capable of automatically

correcting speed-of-sound propagation errors

for calculation of a point.

a.1.d.1. Designed to operate at a range

exceeding 1,000 m with a positioning

accuracy of less than 10 m rms (root mean

square) when measured at a range of 1,000

m; or

a.1.d.2. Designed to withstand pressure at

depths exceeding 1,000 m;

a.2. Passive (receiving, whether or not

related in normal application to separate

active equipment) systems, equipment and

specially designed components therefor, as

follows:

a.2.a. Hydrophones (transducers) having

any of the following characteristics:

a.2.a.1. Incorporating continuous flexible

sensors or assemblies of discrete sensor

elements with either a diameter or length less

than 20 mm and with a separation between

elements of less than 20 mm;

a.2.a.2. Having any of the following sensing

elements:

a.2.a.2.a. Optical fibers;

a.2.a.2.b. Piezoelectric polymers; or

a.2.a.2.c. Flexible piezoelectric ceramic

materials;

a.2.a.3. A hydrophone sensitivity better

than ¥180 Db at any depth with no

acceleration compensation;

a.2.a.4. When designed to operate at depths

not exceeding 35 m, a hydrophone sensitivity

better than ¥186 Db with acceleration

compensation;

a.2.a.5. When designed for normal

operation at depths exceeding 35 m, a

hydrophone sensitivity better than ¥192 Db

with acceleration compensation;

a.2.a.6. When designed for normal

operation at depths exceeding 100 m, a

hydrophone sensitivity better than ¥204 Db;

or

a.2.a.7. Designed for operation at depths

exceeding 1,000 m;

Technical Note: Hydrophone sensitivity is

defined as twenty times the logarithm to the

base 10 of the ratio of rms output voltage to

a 1 V rms reference, when the hydrophone

sensor, without a pre-amplifier, is placed in

a plane wave acoustic field with an rms

pressure of 1 μPa. For example, a

hydrophone of ¥160 Db (reference 1 V per

μPa) would yield an output voltage of 10¥8

V in such a field, while one of ¥180 Db

sensitivity would yield only 10¥9 V output.

Thus, ¥160 Db is better than ¥180 Db.

a.2.b. Towed acoustic hydrophone arrays

having any of the following:

a.2.b.1. Hydrophone group spacing of less

than 12.5 m;
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2525

a.2.b.2. Hydrophone group spacing of 12.5

m to less than 25 m and designed or able to

be modified to operate at depths exceeding

35 m;

Technical Note: ‘‘Able to be modified’’ in

6A001.a.2.b.2 means having provisions to

allow a change of the wiring or

interconnections to alter hydrophone group

spacing or operating depth limits. These

provisions are: spare wiring exceeding 10%

of the number of wires, hydrophone group

spacing adjustment blocks or internal depth

limiting devices that are adjustable or that

control more than one hydrophone group.

a.2.b.3. Hydrophone group spacing of 25 m

or more and designed to operate at depths

exceeding 100 m;

a.2.b.4. Heading sensors controlled by

6A001.a.2.d;

a.2.b.5. Longitudinally reinforced array

hoses;

a.2.b.6. An assembled array of less than 40

mm in diameter;

a.2.b.7. Multiplexed hydrophone group

signals designed to operate at depths

exceeding 35 m or having an adjustable or

removable depth sensing device in order to

operate at depths exceeding 35 m; or

a.2.b.8. Hydrophone characteristics

controlled by 6A001.a.2.a;

a.2.c. Processing equipment, specially

designed for towed acoustic hydrophone

arrays, having ‘‘user accessible

programmability’’ and time or frequency

domain processing and correlation, including

spectral analysis, digital filtering and

beamforming using Fast Fourier or other

transforms or processes;

a.2.d. Heading sensors having all of the

following:

a.2.d.1. An accuracy of better than ±0.5°;

and

a.2.d.2. Any of the following:

a.2.d.2.a. Designed to be incorporated

within the array hosing and to operate at

depths exceeding 35 m or having an

adjustable or removable depth sensing device

in order to operate at depths exceeding 35 m;

or

a.2.d.2.b. Designed to be mounted external

to the array hosing and having a sensor unit

capable of operating with 360° roll at depths

exceeding 35 m;

a.2.e. Bottom or bay cable systems having

any of the following:

a.2.e.1. Incorporating hydrophones

controlled by 6A001.a.2.a;

a.2.e.2. Incorporating multiplexed

hydrophone group signals designed to

operate at depths exceeding 35 m or having

an adjustable or removable depth sensing

device in order to operate at depths

exceeding 35 m; or

a.2.e.3. Processing equipment, specially

designed for bottom or bay cable systems,

having ‘‘user accessible programmability’’

and time or frequency domain processing

and correlation, including spectral analysis,

digital filtering and beamforming using Fast

Fourier or other transforms or processes;

b. Correlation-velocity sonar log equipment

designed to measure the horizontal speed of

the equipment carrier relative to the sea bed

at distances between the carrier and the sea

bed exceeding 500 m.

6A002 Optical sensors.

License Requirements

Reason for Control: NS, MT, CC, RS, AT, UN

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to optical detectors in 6A002.a.1,

a.3, and .e that are specially designed or rated

as electomagnetic (including ‘‘lasers’’) and

ionized particle radiation resistant.

MT Column 1

RS applies to 6A002.a.1,

a.2, a.3 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.

Rwanda

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $3000, except N/A for MT and for

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

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Parts and accessories in $ value

Related Controls: See also 6A102, 6A202, and

6A992

Related Definitions: (1) ‘‘Image intensifiers’’

defined in 6A002.a.2 and ‘‘focal plane

arrays’’ defined in 6A002.a.3 specially

designed, modified, or configured for

military use and not part of civil equipment

are subject to the export licensing authority

of U.S. Department of State, Office of Defense

Trade Controls (22 CFR part 121). (2) ‘‘Space

qualified’’ ‘‘monospectral imaging sensors’’,

and ‘‘multispectral imaging sensors’’ defined

in 6A002.b, and ‘‘space-qualified’’ ‘‘focal

plane arrays’’ defined in 6A002.e, specially

designed or modified for items on the U.S.

Munitions List are subject to the export

licensing authority of the Department of

State, Office of Defense Trade Controls (22

CFR part 121)

Items: a. Optical detectors, as follows:

Note: 6A002.a does not control germanium

or silicon photodevices.

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

as follows:

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

detectors, having all of the following:

a.1.a.1. A peak response in the wavelength

range exceeding 10 nm but not exceeding 300

nm; and

a.1.a.2. A response of less than 0.1%

relative to the peak response at a wavelength

exceeding 400 nm;

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

detectors, having all of the following:

a.1.b.1. A peak response in the wavelength

range exceeding 900 nm but not exceeding

1,200 nm; and

a.1.b.2. A response ‘‘time constant’’ of 95

ns or less;

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

detectors having a peak response in the

wavelength range exceeding 1,200 nm but

not exceeding 30,000 nm;

a.2. Image intensifier tubes and specially

designed components therefor, as follows:

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. A microchannel plate for electron

image amplification with a hole pitch

(center-to-center spacing) of 15 μm or less;

and

a.2.a.3. Photocathodes, as follows:

a.2.a.3.a. S–20, S–25 or multialkali

photocathodes with a luminous sensitivity

exceeding 240 μA/lm;

a.2.a.3.b. GaAs or GaInAs photocathodes;

or

a.2.a.3.c. Other III–V compound

semiconductor photocathodes;

Note: 6A002.a.2.a.3.c does not control

compound semiconductor photocathodes

with a maximum radiant sensitivity of 10

mA/W or less.

a.2.b. Specially designed components, as

follows:

a.2.b.1. Microchannel plates having a hole

pitch (center-to-center spacing) of 15 μm or

less;

a.2.b.2. GaAs or GaInAs photocathodes;

a.2.b.3. Other III–V compound

semiconductor photocathodes;

Note: 6A002.a.2.b.3 does not control

compound semiconductor photocathodes

with a maximum radiant sensitivity of 10

mA/W or less.

a.3. Non-’’space-qualified’’ ‘‘focal plane

arrays’’, as follows:

Technical Note: Linear or two-dimensional

multi-element detector arrays are referred to

as ‘‘focal plane arrays’’.

Notes: 1. 6A002.a.3 includes

photoconductive arrays and photovoltaic

arrays.

2. 6A002.a.3 does not control silicon ‘‘focal

plane arrays’’, multi-element (not to exceed

16 elements) encapsulated photoconductive

cells or pyroelectric detectors using any of

the following:

a. Lead sulphide;

b. Triglycine sulphate and variants;

c. Lead-lanthanum-zirconium titanate and

variants;

d. Lithium tantalate;

e. Polyvinylidene fluoride and variants;

f. Strontium barium niobate and variants;

or

g. Lead selenide.

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. A response ‘‘time constant’’ of less

than 0.5 ns;

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. A response ‘‘time constant’’ of 95

ns or less;
2526 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

a.3.c. Non-‘‘space-qualified’’ ‘‘focal plane

arrays’’, having individual elements with a

peak response in the wavelength range

exceeding 1,200 nm but not exceeding 30,000

nm.

b. ‘‘Monospectral imaging sensors’’ and

‘‘multispectral imaging sensors’’ designed for

remote sensing applications, having any of

the following:

b.1. An Instantaneous-Field-Of-View

(IFOV) of less than 200 μr (microradians); or

b.2. Being 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. Being any of the following:

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 mr (milliradians).

c. Direct view imaging equipment

operating in the visible or infrared spectrum,

incorporating any of the following:

c.1. Image intensifier tubes having the

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

c.2. ‘‘Focal plane arrays’’ having the

characteristics listed in 6A002.a.3.

Technical Note: ‘‘Direct view’’ refers to

imaging equipment, operating in the visible

or infrared spectrum, 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 the

following equipment 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

218 K (¥55° C), as follows:

d.2.a. Closed cycle type with a specified

Mean-Time-To-Failure (MTTF), or MeanTime-Between-Failures (MTBF), exceeding

2,500 hours;

d.2.b. Joule-Thomson (JT) self-regulating

minicoolers having bore (outside) diameters

of less than 8 mm;

d.3. Optical sensing fibers specially

fabricated either compositionally or

structurally, or modified by coating, to be

acoustically, thermally, inertially,

electromagnetically or nuclear radiation

sensitive.

e. ‘‘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.

6A003 Cameras.

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 items controlled in 6A003.b.3 and

b.4.

RS Column 1

AT applies to entire entry AT Column 1

UN applies to items controlled in 6A003.b.3 and

b.4.

Rwanda

License Exceptions

LVS: $1500, except N/A for 6A003.a.2

through a.5, b.1, b.3 and b.4

GBS: Yes for 6A003.a.1

CIV: Yes for 6A003.a.1

List of Items Controlled

Unit: Number

Related Controls: See also 6A203. See

8A002.d and .e for cameras specially

designed or modified for underwater use.

Related Definitions: N/A

Items: a. Instrumentation cameras, as follows:

a.1. High-speed cinema recording cameras

using any film format from 8 mm to 16 mm

inclusive, in which the film is continuously

advanced throughout the recording period,

and that are capable of recording at framing

rates exceeding 13,150 frames/s;

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

recording cameras for normal civil purposes.

a.2. Mechanical high speed cameras, in

which the film does not move, capable of

recording at rates exceeding 1,000,000

frames/s for the full framing height of 35 mm

film, or at proportionately higher rates for

lesser frame heights, or at proportionately

lower rates for greater frame heights;

a.3. Mechanical or electronic streak

cameras having writing speeds exceeding 10

mm/μs;

a.4. Electronic framing cameras having a

speed exceeding 1,000,000 frames/s;

a.5. Electronic cameras, having all of the

following:

a.5.a. An electronic shutter speed (gating

capability) of less than 1 μs per full frame;

and

a.5.b. A read out time allowing a framing

rate of more than 125 full frames per second.

b. Imaging cameras, as follows:

Note: 6A003.b does not control television

or video cameras specially designed for

television broadcasting.

b.1. Video cameras incorporating solid

state sensors, having any of the following:

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

solid state array for monochrome (black and

white) cameras;

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

solid state array for color cameras

incorporating three solid state arrays; or

b.1.c. More than 12 × 106 ‘‘active pixels’’

for solid state array color cameras

incorporating one solid state array;

b.2. Scanning cameras and scanning

camera systems, having all of the following:

b.2.a. Linear detector arrays with more

than 8,192 elements per array; and

b.2.b. Mechanical scanning in one

direction;

b.3. Imaging cameras incorporating image

intensifiers having the characteristics listed

in 6A002.a.2.a;

b.4. Imaging cameras incorporating ‘‘focal

plane arrays’’ having the characteristics listed

in 6A002.a.3.

6A004 Optics.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $3000

GBS: Yes for 6A004.a.1, a.2, a.4, b, d.2, and

d.4

CIV: Yes for 6A004.a.1, a.2, a.4, b, d.2, and

d.4

List of Items Controlled

Unit: Equipment in number; cable in meters/

feet; components in $ value

Related Controls: See also 6A994

Related Definitions: N/A

Items: a. Optical mirrors (reflectors), as

follows:

a.1. ‘‘Deformable mirrors’’ having either

continuous or multi-element surfaces, and

specially designed components therefor,

capable of dynamically repositioning

portions of the surface of the mirror at rates

exceeding 100 Hz;

a.2. Lightweight monolithic mirrors having

an average ‘‘equivalent density’’ of less than

30 kg/m2 and a total mass exceeding 10 kg;

a.3. Lightweight ‘‘composite’’ or foam

mirror structures having an average

‘‘equivalent density’’ of less than 30 kg/m2

and a total mass exceeding 2 kg;

a.4. Beam steering mirrors more than 100

mm in diameter or length of major axis, that

maintain a flatness of lambda/2 or better

(lambda is equal to 633 nm) having a control

bandwidth exceeding 100 Hz.

b. Optical components made from zinc

selenide (ZnSe) or zinc sulphide (ZnS) with

transmission in the wavelength range

exceeding 3,000 nm but not exceeding 25,000

nm and having any of the following:

b.1. Exceeding 100 cm3 in volume; or

b.2. Exceeding 80 mm in diameter or

length of major axis and 20 mm in thickness

(depth).

c. ‘‘Space-qualified’’ components for

optical systems, as follows:

c.1. Lightweighted to less than 20%

‘‘equivalent density’’ compared with a solid

blank of the same aperture and thickness;

c.2. Substrates, substrates having surface

coatings (single-layer or multi-layer, metallic

or dielectric, conducting, semiconducting or

insulating) or having protective films;

c.3. Segments or assemblies of mirrors

designed to be assembled in space into an

optical system with a collecting aperture
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2527

equivalent to or larger than a single optic 1

m in diameter;

c.4. Manufactured from ‘‘composite’’

materials having a coefficient of linear

thermal expansion equal to or less than 5 ×

10¥6 in any coordinate direction.

d. Optical control equipment, as follows:

d.1. Specially designed to maintain the

surface figure or orientation of the ‘‘spacequalified’’ components controlled by

6A004.c.1 or 6A004.c.3;

d.2. Having steering, tracking, stabilization

or resonator alignment bandwidths equal to

or more than 100 Hz and an accuracy of 10

μr (microradians) or less;

d.3. Gimbals having all of the following:

d.3.a. A maximum slew exceeding 5°;

d.3.b. A bandwidth of 100 Hz or more;

d.3.c. Angular pointing errors of 200 μr

(microradians) or less; and

d.3.d. Having any of the following:

d.3.d.1. Exceeding 0.15 m but not

exceeding 1 m in diameter or major axis

length and capable of angular accelerations

exceeding 2 r (radians)/s2; or

d.3.d.2. Exceeding 1 m in diameter or

major axis length and capable of angular

accelerations exceeding 0.5 r (radians)/s2;

d.4. Specially designed to maintain the

alignment of phased array or phased segment

mirror systems consisting of mirrors with a

segment diameter or major axis length of 1

m or more.

6A005 ‘‘Lasers’’, components and optical

equipment, as follows (see List of Items

Controlled).

License Requirements.

Reason for Control: NS, NP, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

NP applies to 6A005.a.1.c,

a.2.a (with an output

power > 40W), a.4.c,

a.6, (argon ion lasers

only), c.1.b (with an

output power > 30W),

c.2.c.2.a (with an output

power > 40W), c.2.c.2.b

(with an output power >

40W), c.2.d.2.b (with an

output power > 40W),

and d.2.c.

NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A for NP items

$3000 for all other items

GBS: Yes, for 6A005.d (except d.2.c), CO2 or

CO/CO2 ‘‘lasers’’ having an output

wavelength in the range from 9,000 to

11,000 nm and having a pulsed output not

exceeding 2 J per pulse and a maximum

rated average single or multimode output

power not exceeding 5 Kw; CO ‘‘lasers’’

having a CW maximum rated single or

multimode output power not exceeding 10

Kw; CO2 ‘‘lasers’’ controlled by 6A005.a.4

that operate in CW multiple-transverse

mode; and having a CW output power not

exceeding 15 Kw; Neodymium-doped

(other than glass), pulse-excited, ‘‘Qswitched lasers’’ controlled by

6A005.c.2.b.2.b having a pulse duration

equal to or more than 1 ns; and a multipletransverse mode output with a ‘‘peak

power’’ not exceeding 400 MW;

Neodymium-doped (other than glass)

‘‘lasers’’ controlled by 6A005.c.2.b.3.b or

6A005.c.2.b.4.b that have an output

wavelength exceeding 1,000 nm, but not

exceeding 1,100 nm; and an average or CW

output power not exceeding 2 Kw; and

operate in a pulse-excited, non-’’Qswitched’’ multiple-transverse mode; or in

a continuously excited, multiple-transverse

mode; and 6A005.g.1.

CIV: Yes, for 6A005..d (except d.2.c), CO2 or

CO/CO2 ‘‘lasers’’ having an output

wavelength in the range from 9,000 to

11,000 nm and having a pulsed output not

exceeding 2 J per pulse and a maximum

rated average single or multimode output

power not exceeding 5 Kw; CO ‘‘lasers’’

having a CW maximum rated single or

multimode output power not exceeding 10

Kw; CO2 ‘‘lasers’’ controlled by 6A005.a.4

that operate in CW multiple-transverse

mode; and having a CW output power not

exceeding 15 Kw; Neodymium-doped

(other than glass), pulse-excited, ‘‘Qswitched lasers’’ controlled by

6A005.c.2.b.2.b having a pulse duration

equal to or more than 1 ns; and a multipletransverse mode output with a ‘‘peak

power’’ not exceeding 400 MW;

Neodymium-doped (other than glass)

‘‘lasers’’ controlled by 6A005.c.2.b.3.b or

6A005.c.2.b.4.b that have an output

wavelength exceeding 1,000 nm, but not

exceeding 1,100 nm; and an average or CW

output power not exceeding 2 Kw; and

operate in a pulse-excited, non-‘‘Qswitched’’ multiple-transverse mode; or in

a continuously excited, multiple-transverse

mode; and 6A005.g.1.

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 6A205, 6A995,

0B001.g.5 and 0B001.b.6. Shared aperture

optical elements, capable of operating in

‘‘super-high power laser’’ applications are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. (See 22 CFR part

121.)

Related Definitions: (1) Pulsed ‘‘lasers’’

include those that run in a continuous

wave (CW) mode with pulses

superimposed. (2) Pulse-excited ‘‘lasers’’

include those that run in a continuously

excited mode with pulse excitation

superimposed. (3) The control status of

Raman ‘‘lasers’’ is determined by the

parameters of the pumping source ‘‘lasers’’.

The pumping source ‘‘lasers’’ can be any of

the ‘‘lasers’’ described as follows:

Items: a. Gas ‘‘lasers’’, as follows:

a.1. Excimer ‘‘lasers’’, having any of the

following:

a.1.a. An output wavelength not exceeding

150 nm and having any of the following:

a.1.a.1. An output energy exceeding 50 mJ

per pulse; or

a.1.a.2. An average or CW output power

exceeding 1 W;

a.1.b. An output wavelength exceeding 150

nm but not exceeding 190 nm and having any

of the following:

a.1.b.1. An output energy exceeding 1.5 J

per pulse; or

a.1.b.2. An average or CW output power

exceeding 120 W;

a.1.c. An output wavelength exceeding 190

nm but not exceeding 360 nm and having any

of the following:

a.1.c.1. An output energy exceeding 10 J

per pulse; or

a.1.c.2. An average or CW output power

exceeding 500 W; or

a.1.d. An output wavelength exceeding 360

nm and having any of the following:

a.1.d.1. An output energy exceeding 1.5 J

per pulse; or

a.1.d.2. An average or CW output power

exceeding 30 W;

a.2. Metal vapor ‘‘lasers’’, as follows:

a.2.a. Copper (Cu) ‘‘lasers’’ having an

average or CW output power exceeding 20 W;

a.2.b. Gold (Au) ‘‘lasers’’ having an average

or CW output power exceeding 5 W;

a.2.c. Sodium (Na) ‘‘lasers’’ having an

output power exceeding 5 W;

a.2.d. Barium (Ba) ‘‘lasers’’ having an

average or CW output power exceeding 2 W;

a.3. Carbon monoxide (CO) ‘‘lasers’’ having

any of the following:

a.3.a. An output energy exceeding 2 J per

pulse and a pulsed ‘‘peak power’’ exceeding

5 Kw; or

a.3.b. An average or CW output power

exceeding 5 Kw;

a.4. Carbon dioxide (CO2) ‘‘lasers’’ having

any of the following:

a.4.a. A CW output power exceeding 15

Kw;

a.4.b. A pulsed output having a ‘‘pulse

duration’’ exceeding 10 μs and having any of

the following:

a.4.b.1. An average output power

exceeding 10 Kw; or

a.4.b.2. A pulsed ‘‘peak power’’ exceeding

100 Kw; or

a.4.c. A pulsed output having a ‘‘pulse

duration’’ equal to or less than 10 μs; and

having any of the following:

a.4.c.1. A pulse energy exceeding 5 J per

pulse; or

a.4.c.2. An average output power exceeding

2.5 Kw;

a.5. ‘‘Chemical lasers’’, as follows:

a.5.a. Hydrogen Fluoride (HF) ‘‘lasers’’;

a.5.b. Deuterium Fluoride (DF) ‘‘lasers’’;

a.5.c. ‘‘Transfer lasers’’, as follows:

a.5.c.1. Oxygen Iodine (O2–I) ‘‘lasers’’;

a.5.c.2. Deuterium Fluoride-Carbon dioxide

(DF–CO2) ‘‘lasers’’;

a.6. Gas discharge and ion ‘‘lasers’’ (i.e.,

krypton ion or argon ion ‘‘lasers’’) having any

of the following:

a.6.a. An output energy exceeding 1.5 J per

pulse and a pulsed ‘‘peak power’’ exceeding

50 W; or

a.6.b. An average or CW output power

exceeding 50 W;

a.7. Other gas ‘‘lasers’’, having any of the

following:

Note: 6A005.a.7 does not control nitrogen

‘‘lasers’’.

a.7.a. An output wavelength not exceeding

150 nm and having any of the following:

a.7.a.1. An output energy exceeding 50 mJ

per pulse and a pulsed ‘‘peak power’’

exceeding 1 W; or

a.7.a.2. An average or CW output power

exceeding 1 W;
2528 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

a.7.b. An output wavelength exceeding 150

nm but not exceeding 800 nm and having any

of the following:

a.7.b.1. An output energy exceeding 1.5 J

per pulse and a pulsed ‘‘peak power’’

exceeding 30 W; or

a.7.b.2. An average or CW output power

exceeding 30 W;

a.7.c. An output wavelength exceeding 800

nm but not exceeding 1,400 nm and having

any of the following:

a.7.c.1. An output energy exceeding 0.25 J

per pulse and a pulsed ‘‘peak power’’

exceeding 10 W; or

a.7.c.2. An average or CW output power

exceeding 10 W; or

a.7.d. An output wavelength exceeding

1,400 nm and an average or CW output

power exceeding 1 W.

b. Individual, multiple-transverse mode

semiconductor ‘‘lasers’’ and arrays of

individual semiconductor ‘‘lasers’’, having

any of the following:

b.1. An output energy exceeding 500 μJ per

pulse and a pulsed ‘‘peak power’’ exceeding

10 W; or

b.2. An average or CW output power

exceeding 10 W.

Technical Note: Semiconductor ‘‘lasers’’

are commonly called ‘‘laser’’ diodes.

Note 1: 6A005.b includes semiconductor

‘‘lasers’’ having optical output connectors

(e.g. fiber optic pigtails).

Note 2: The control status of

semiconductor ‘‘lasers’’ specially designed

for other equipment is determined by the

control status of the other equipment.

c. Solid state ‘‘lasers’’, as follows:

c.1. ‘‘Tunable’’ ‘‘lasers’’ having any of the

following:

Note: 6A005.c.1 includes titanium—

sapphire (Ti: Al2O3), thulium—YAG (Tm:

YAG), thulium—YSGG (Tm: YSGG),

alexandrite (Cr: BeAl2O4) and color center

‘‘lasers’’.

c.1.a. An output wavelength less than 600

nm and having any of the following:

c.1.a.1. An output energy exceeding 50 mJ

per pulse and a pulsed ‘‘peak power’’

exceeding 1 W; or

c.1.a.2. An average or CW output power

exceeding 1 W;

c.1.b. An output wavelength of 600 nm or

more but not exceeding 1,400 nm and having

any of the following:

c.1.b.1. An output energy exceeding 1 J per

pulse and a pulsed ‘‘peak power’’ exceeding

20 W; or

c.1.b.2. An average or CW output power

exceeding 20 W; or

c.1.c. An output wavelength exceeding

1,400 nm and having any of the following:

c.1.c.1. An output energy exceeding 50 mJ

per pulse and a pulsed ‘‘peak power’’

exceeding 1 W; or

c.1.c.2. An average or CW output power

exceeding 1 W;

c.2. Non-‘‘tunable’’ ‘‘lasers’’, as follows:

Note: 6A005.c.2 includes atomic transition

solid state ‘‘lasers’’.

c.2.a. Neodymium glass ‘‘lasers’’, as

follows:

c.2.a.1. ‘‘Q-switched lasers’’ having any of

the following:

c.2.a.1.a. An output energy exceeding 20 J

but not exceeding 50 J per pulse and an

average output power exceeding 10 W; or

c.2.a.1.b. An output energy exceeding 50 J

per pulse;

c.2.a.2. Non-‘‘Q-switched lasers’’ having

any of the following:

c.2.a.2.a. An output energy exceeding 50 J

but not exceeding 100 J per pulse and an

average output power exceeding 20 W; or

c.2.a.2.b. An output energy exceeding 100

J per pulse;

c.2.b. Neodymium-doped (other than glass)

‘‘lasers’’, having an output wavelength

exceeding 1,000 nm but not exceeding 1,100

nm, as follows:

N.B.: For neodymium-doped (other than

glass) ‘‘lasers’’ having an output wavelength

not exceeding 1,000 nm or exceeding 1,100

nm, see 6A005.c.2.d.

c.2.b.1. Pulse-excited, mode-locked, ‘‘Qswitched lasers’’ having a ‘‘pulse duration’’

of less than 1 ns and having any of the

following:

c.2.b.1.a. A ‘‘peak power’’ exceeding 5 GW;

c.2.b.1.b. An average output power

exceeding 10 W; or

c.2.b.1.c. A pulsed energy exceeding 0.1 J;

c.2.b.2. Pulse-excited, ‘‘Q-switched lasers’’

having a pulse duration equal to or more than

1 ns, and having any of the following:

c.2.b.2.a. A single-transverse mode output

having:

c.2.b.2.a.1. A ‘‘peak power’’ exceeding 100

MW;

c.2.b.2.a.2. An average output power

exceeding 20 W; or

c.2.b.2.a.3. A pulsed energy exceeding 2 J;

or

c.2.b.2.b. A multiple-transverse mode

output having:

c.2.b.2.b.1. A ‘‘peak power’’ exceeding 400

MW;

c.2.b.2.b.2. An average output power

exceeding 2 kW; or

c.2.b.2.b.3. A pulsed energy exceeding 2 J;

c.2.b.3. Pulse-excited, non-‘‘Q-switched

lasers’’, having:

c.2.b.3.a. A single-transverse mode output

having:

c.2.b.3.a.1. A ‘‘peak power’’ exceeding 500

kW; or

c.2.b.3.a.2. An average output power

exceeding 150 W; or

c.2.b.3.b. A multiple-transverse mode

output having:

c.2.b.3.b.1. A ‘‘peak power’’ exceeding 1

MW; or

c.2.b.3.b.2. An average power exceeding 2

kW;

c.2.b.4. Continuously excited ‘‘lasers’’

having:

c.2.b.4.a. A single-transverse mode output

having:

c.2.b.4.a.1. A ‘‘peak power’’ exceeding 500

kW; or

c.2.b.4.a.2. An average or CW output power

exceeding 150 W; or

c.2.b.4.b. A multiple-transverse mode

output having:

c.2.b.4.b.1. A ‘‘peak power’’ exceeding 1

MW; or

c.2.b.4.b.2. An average or CW output power

exceeding 2 kW;

c.2.c. Other non-‘‘tunable’’ ‘‘lasers’’, having

any of the following:

c.2.c.1. A wavelength less than 150 nm and

having any of the following:

c.2.c.1.a. An output energy exceeding 50

mJ per pulse and a pulsed ‘‘peak power’’

exceeding 1 W; or

c.2.c.1.b. An average or CW output power

exceeding 1 W;

c.2.c.2. A wavelength of 150 nm or more

but not exceeding 800 nm and having any of

the following:

c.2.c.2.a. An output energy exceeding 1.5 J

per pulse and a pulsed ‘‘peak power’’

exceeding 30 W; or

c.2.c.2.b. An average or CW output power

exceeding 30 W;

c.2.c.3. A wavelength exceeding 800 nm

but not exceeding 1,400 nm, as follows:

c.2.c.3.a. ‘‘Q-switched lasers’’ having:

c.2.c.3.a.1. An output energy exceeding 0.5

J per pulse and a pulsed ‘‘peak power’’

exceeding 50 W; or

c.2.c.3.a.2. An average output power

exceeding:

c.2.c.3.a.2.a. 10 W for single-mode ‘‘lasers’’;

c.2.c.3.a.2.b. 30 W for multimode ‘‘lasers’’;

c.2.c.3.b. Non-’’Q-switched lasers’’ having:

c.2.c.3.b.1. An output energy exceeding 2

J per pulse and a pulsed ‘‘peak power’’

exceeding 50 W; or

c.2.c.3.b.2. An average or CW output power

exceeding 50 W; or

c.2.c.4. A wavelength exceeding 1,400 nm

and having any of the following:

c.2.c.4.a. An output energy exceeding 100

mJ per pulse and a pulsed ‘‘peak power’’

exceeding 1 W; or

c.2.c.4.b. An average or CW output power

exceeding 1 W;

d. Dye and other liquid ‘‘lasers’’, having

any of the following:

d.1. A wavelength less than 150 nm and:

d.1.a. An output energy exceeding 50 mJ

per pulse and a pulsed ‘‘peak power’’

exceeding 1 W; or

d.1.b. An average or CW output power

exceeding 1 W;

d.2. A wavelength of 150 nm or more but

not exceeding 800 nm and having any of the

following:

d.2.a. An output energy exceeding 1.5 J per

pulse and a pulsed ‘‘peak power’’ exceeding

20 W;

d.2.b. An average or CW output power

exceeding 20 W; or

d.2.c. A pulsed single longitudinal mode

oscillator having an average output power

exceeding 1 W and a repetition rate

exceeding 1 Khz if the ‘‘pulse duration’’ is

less than 100 ns;

d.3. A wavelength exceeding 800 nm but

not exceeding 1,400 nm and having any of

the following:

d.3.a. An output energy exceeding 0.5 J per

pulse and a pulsed ‘‘peak power’’ exceeding

10 W; or

d.3.b. An average or CW output power

exceeding 10 W; or

d.4. A wavelength exceeding 1,400 nm and

having any of the following:

d.4.a. An output energy exceeding 100 mJ

per pulse and a pulsed ‘‘peak power’’

exceeding 1 W; or

d.4.b. An average or CW output power

exceeding 1 W;

e. Components, as follows:

e.1. Mirrors cooled either by active cooling

or by heat pipe cooling;
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2529

Technical Note: Active cooling is a cooling

technique for optical components using

flowing fluids within the subsurface

(nominally less than 1 mm below the optical

surface) of the optical component to remove

heat from the optic.

e.2. Optical mirrors or transmissive or

partially transmissive optical or electrooptical components specially designed for

use with controlled ‘‘lasers’’;

f. Optical equipment, as follows:

(For shared aperture optical elements,

capable of operating in ‘‘Super-High Power

Laser’’ (‘‘SHPL’’) applications, see the U.S.

Munitions List.)

f.1. Dynamic wavefront (phase) measuring

equipment capable of mapping at least 50

positions on a beam wavefront having any of

the following:

f.1.a. Frame rates equal to or more than 100

Hz and phase discrimination of at least 5%

of the beam’s wavelength; or

f.1.b. Frame rates equal to or more than

1,000 Hz and phase discrimination of at least

20% of the beam’s wavelength;

f.2. ‘‘Laser’’ diagnostic equipment capable

of measuring ‘‘SHPL’’ system angular beam

steering errors of equal to or less than 10

μrad;

f.3. Optical equipment and components

specially designed for a phased-array

‘‘SHPL’’ system for coherent beam

combination to an accuracy of lambda/10 at

the designed wavelength, or 0.1 μm,

whichever is the smaller;

f.4. Projection telescopes specially

designed for use with ‘‘SHPL’’ systems.

6A006 ‘‘Magnetometers’’, ‘‘magnetic

gradiometers’’, ‘‘intrinsic magnetic

gradiometers’’ and compensation systems,

and specially designed components

therefor, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $1500

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 6A996. This entry

does not control instruments specially

designed for biomagnetic measurements for

medical diagnostics.

Related Definitions: N/A

Items: a. ‘‘Magnetometers’’ using

‘‘superconductive’’, optically pumped or

nuclear precession (proton/Overhauser)

‘‘technology’’ having a ‘‘noise level’’

(sensitivity) lower (better) than 0.05 nT rms

per square root Hz;

b. Induction coil ‘‘magnetometers’’ having

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

than any of the following:

b.1. 0.05 nT rms/square root Hz at

frequencies of less than 1 Hz;

b.2. 1 × 10¥3 nT rms/square root Hz at

frequencies of 1 Hz or more but not

exceeding 10 Hz; or

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

frequencies exceeding 10 Hz;

c. Fiber optic ‘‘magnetometers’’ having a

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

1 nT rms per square root Hz;

d. ‘‘Magnetic gradiometers’’ using multiple

‘‘magnetometers’’ controlled by 6A006.a,

6A006.b or 6A006.c;

e. Fiber optic ‘‘intrinsic magnetic

gradiometers’’ having a magnetic gradient

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

than 0.3 nT/m rms per square root Hz;

f. ‘‘Intrinsic magnetic gradiometers’’, using

‘‘technology’’ other than fiber-optic

‘‘technology’’, having a magnetic gradient

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

than 0.015 nT/m rms per square root Hz;

g. Magnetic compensation systems for

magnetic sensors designed for operation on

mobile platforms;

h. ‘‘Superconductive’’ electromagnetic

sensors, components manufactured from

‘‘superconductive’’ materials:

h.1. Designed for operation at temperatures

below the ‘‘critical temperature’’ of at least

one of their ‘‘superconductive’’ constituents

(including Josephson effect devices or

‘‘superconductive’’ quantum interference

devices (SQUIDS));

h.2. Designed for sensing electromagnetic

field variations at frequencies of 1 kHz or

less; and

h.3. Having any of the following

characteristics:

h.3.a. Incorporating thin-film SQUIDS with

a minimum feature size of less than 2 μm and

with associated input and output coupling

circuits;

h.3.b. Designed to operate with a magnetic

field slew rate exceeding 1 × 106 magnetic

flux quanta per second;

h.3.c. Designed to function without

magnetic shielding in the earth’s ambient

magnetic field; or

h.3.d. Having a temperature coefficient less

(smaller) than 0.1 magnetic flux quantum/K.

6A007 Gravity meters (gravimeters) and

gravity gradiometers, as follows (see List of

Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to 6A007.b

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

b.2 are met or exceeded.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000; N/A for MT

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 6A107 and 6A997

Related Definitions: N/A

Items: a. Gravity meters for ground use

having a static accuracy of less (better) than

10 μgal;

Note: 6A007.a does not control ground

gravity meters of the quartz element

(Worden) type.

b. Gravity meters for mobile platforms for

ground, marine, submersible, space or

airborne use, having all of the following:

b.1. A static accuracy of less (better) than

0.7 mgal; and

b.2. An in-service (operational) accuracy of

less (better) than 0.7 mgal having a time-tosteady-state registration of less than 2

minutes under any combination of attendant

corrective compensations and motional

influences;

c. Gravity gradiometers.

6A008 Radar systems, equipment and

assemblies having any of the

characteristics (see List of Items

Controlled), and specially designed

components therefor.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to items that

are designed for airborne applications and

that are usable in systems controlled for MT

reasons.

MT Column 1

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.

License Exceptions

LVS: $5000; N/A for MT and 6A008.l.3

GBS: Yes, for 6A008.b, .c, and l.1 only

CIV: Yes, for 6A008.b, .c, and l.1 only

List of Items Controlled

Unit: $ value

Related Controls: See also 6A108 and 6A998.

This entry does not control: (1) Secondary

surveillance radar (SSR); (2) Car radar

designed for collision prevention; (3)

Displays or monitors used for Air Traffic

Control (ATC) having no more than 12

resolvable elements per mm; (4)

Meteorological (weather) radar.

Related Definitions: N/A

Items: a. Operating at frequencies from 40

GHz to 230 GHz and having an average

output power exceeding 100 mW;

b. Having a tunable bandwidth exceeding

± 6.25% of the center operating frequency;

Technical Note: The center operating

frequency equals one half of the sum of the

highest plus the lowest specified operating

frequencies.

c. Capable of operating simultaneously on

more than two carrier frequencies;

d. Capable of operating in synthetic

aperture (SAR), inverse synthetic aperture

(ISAR) radar mode, or sidelooking airborne

(SLAR) radar mode;

e. Incorporating ‘‘electronically steerable

phased array antennae’’;

f. Capable of heightfinding non-cooperative

targets;
2530 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Note: 6A008.f does not control precision

approach radar (PAR) equipment conforming

to ICAO standards.

g. Specially designed for airborne (balloon

or airframe mounted) operation and having

Doppler ‘‘signal processing’’ for the detection

of moving targets;

h. Employing processing of radar signals

using any of the following:

h.1. ‘‘Radar spread spectrum’’ techniques;

or

h.2. ‘‘Radar frequency agility’’ techniques;

i. Providing ground-based operation with a

maximum ‘‘instrumented range’’ exceeding

185 km;

Note: 6A008.i does not control:

a. Fishing ground surveillance radar;

b. Ground radar equipment specially

designed for enroute air traffic control,

provided that all the following conditions are

met:

1. It has a maximum ‘‘instrumented range’’

of 500 km or less;

2. It is configured so that radar target data

can be transmitted only one way from the

radar site to one or more civil ATC centers;

3. It contains no provisions for remote

control of the radar scan rate from the

enroute ATC center; and

4. It is to be permanently installed;

c. Weather balloon tracking radars.

j. Being ‘‘laser’’ radar or Light Detection

and Ranging (LIDAR) equipment, having any

of the following:

j.1. ‘‘Space-qualified’’; or

j.2. Employing coherent heterodyne or

homodyne detection techniques and having

an angular resolution of less (better) than 20

μr (microradians);

Note: 6A008.j does not control LIDAR

equipment specially designed for surveying

or for meteorological observation.

k. Having ‘‘signal processing’’ sub-systems

using ‘‘pulse compression’’, with any of the

following:

k.1. A ‘‘pulse compression’’ ratio exceeding

150; or

k.2. A pulse width of less than 200 ns; or

l. Having data processing sub-systems with

any of the following:

l.1. ‘‘Automatic target tracking’’ providing,

at any antenna rotation, the predicted target

position beyond the time of the next antenna

beam passage;

Note: 6A008.l.1 does not control conflict

alert capability in ATC systems, or marine or

harbor radar.

l.2. Calculation of target velocity from

primary radar having non-periodic (variable)

scanning rates;

l.3. Processing for automatic pattern

recognition (feature extraction) and

comparison with target characteristic data

bases (waveforms or imagery) to identify or

classify targets; or

l.4. Superposition and correlation, or

fusion, of target data from two or more

‘‘geographically dispersed’’ and

‘‘interconnected radar sensors’’ to enhance

and discriminate targets.

Note: 6A008.l.4 does not control systems,

equipment and assemblies used for marine

traffic control.

6A018 Magnetic, pressure, and acoustic

underwater detection devices specially

designed for military purposes and controls

and components therefor.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number;components in $

value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6A102 Radiation hardened detectors,

other than those controlled by 6A002, for

use in protecting against nuclear effects

(e.g. electromagnetic pulse (EMP), X-rays,

combined blast and thermal effects) and

usable for ‘‘missiles’’, designed or rated to

withstand radiation levels that meet or

exceed a total irradiation dose of 5 x 105

rads (Si).

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Components in number

Related Controls: N/A

Related Definitions: In this entry, a detector

is defined as a mechanical, electrical,

optical or chemical device that

automatically identifies and records, or

registers a stimulus such as an

environmental change in pressure or

temperature, an electrical or

electromagnetic signal or radiation from a

radioactive material.

Items: The list of items controlled is

contained in the ECCN heading.

6A107 Gravity meters (gravimeters),

gravity gradiometers, and specially

designed components therefore, other than

those controlled by 6A007.b and .c,

designed or modified for airborne or marine

use, having a static or operational accuracy

of 7 μ10 ¥6 m/sec2 (0.7 milligal) or better,

and a time to steady-state registration of

two minutes or less.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6A108 Radar systems and tracking

systems, other than those controlled by

6A008, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) This entry does not

control airborne civil weather radar

conforming to international standards for

civil weather radars provided that they do

not incorporate any of the following: (a)

Phased array antennas; (b) Frequency agility;

(c) Spread spectrum; or (d) Signal processing

specially designed for the tracking of

vehicles. (2) Items in 6A108.a that are

specially designed or modified for ‘‘missiles’’

or for items on the U.S. Munitions List are

subject to the export licensing authority of

the U.S. Department of State, Defense Trade

Controls (see 22 CFR part 121).

Related Definitions: Laser radar systems are

defined as those that embody specialized

transmission, scanning, receiving and signal

processing techniques for utilization of lasers

for echo ranging, direction finding and

discrimination of targets by location, radial

speed and body reflection characteristics.

Items: a. Radar and laser radar systems

designed or modified for use in ‘‘missiles’’;

b. Precision tracking systems, usable for

‘‘missiles’’, as follows:

b.1. Tracking systems that use a code

translator in conjunction with either surface

or airborne references or navigation satellite

systems to provide real-time measurements

of in-flight position and velocity;

b.2. Range instrumentation radars

including associated optical/infrared trackers

with all of the following capabilities:

b.2.a. Angular resolution better than 3

milliradians (0.5 mils);

b.2.b. Range of 30 km or greater with a

range resolution better than 10 m rms;

b.2.c. Velocity resolution better than

3 m/s.
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2531

6A202 Photomultiplier tubes with a

photocathode area of greater than 20 cm2

having an anode pulse rise time of less than

1 ns.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6A203 Cameras and components, other

than those controlled by 6A003, as follows

(see List of Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment and components in number;

parts and accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Mechanical rotating mirror cameras,

as follows, and specially designed

components therefor:

a.1. Framing cameras with recording rates

greater than 225,000 frames per second; or

a.2. Streak cameras with writing speeds

greater than 0.5 mm per microsecond;

Note: Components of such cameras include

their synchronizing electronic units and rotor

assemblies consisting of turbines, mirrors

and bearings.

b. Electronic streak and framing cameras

and tubes, as follows:

b.1. Electronic streak cameras capable of 50

ns or less time resolution and streak tubes

therefor;

b.2. Electronic (or electronically shuttered)

framing cameras capable of 50 ns or less

frame exposure time;

b.3. Framing tubes and solid-state imaging

devices for use with cameras controlled by

6A203.b.2, as follows:

b.3.a. Proximity focused image intensifier

tubes having the photocathode deposited on

a transparent conductive coating to decrease

photocathode sheet resistance;

b.3.b. Gate silicon intensifier target (SIT)

videcon tubes, where a fast system allows

gating the photoelectrons from the

photocathode before they impinge on the SIT

plate;

b.3.c. Kerr or pocket cell electro-optical

shuttering; or

b.3.d. Other framing tubes and solid-state

imaging devices having a fast-image gating

time of less than 50 ns specially designed for

cameras controlled by 6A203.b.2;

c. Radiation-hardened TV cameras, or

lenses therefor, specially designed or rated as

radiation hardened to withstand greater than

50 × 103 grays (Silicon) (5 × 106 rad (Silicon))

without operational degradation.

6A205 ‘‘Lasers’’, other than those

controlled 6A005, as follows (see List of

Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 0B001.g.5 and

0B001.h.6

Related Definitions: N/A

Items: a. Argon ion ‘‘lasers’’ with greater than

40 W average output power operating at

wavelengths between 400 nm and 515 nm;

b. Tunable pulsed single-mode dye

oscillators capable of an average power

output of greater than 1 W, a repetition rate

greater than 1 kHz, a pulse less than 100 ns,

and a wavelength between 300 nm and 800

nm;

c. Tunable pulsed dye laser amplifiers and

oscillators, with an average power output of

greater than 30 W, a repetition rate greater

than 1 kHz, a pulse width less than 100 ns,

and a wavelength between 300 nm and 800

nm, except single mode oscillators;

d. Pulsed carbon dioxide ‘‘lasers’’ with a

repetition rate greater than 250 Hz, an

average power output of greater than 500 W,

and a pulse of less than 200 ns operating at

wavelengths between 9,000 nm and 11,000

nm;

e. Para-hydrogen Raman shifters designed

to operate at 16 micrometer output

wavelength and at a repetition rate greater

than 250 Hz;

f. Pulse-excited, Q-switched Neodymiumdoped (other than glass) ‘‘lasers’’, having all

of the following:

f.1. An output wavelength exceeding 1,000

nm but not exceeding 1,100 nm;

f.2. A pulse duration equal to or more than

1 ns; and

f.3. A multiple-transverse mode output

having an average power exceeding 50 W.

6A225 Velocity interferometers for

measuring velocities in excess of 1 km/s

during time intervals of less than 10

microsecond (VISARs, Doppler laser

interferometers (DLIs), etc.).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6A226 Pressure sensors, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Manganin gauges for pressures

greater than 100 kilobars; or

b. Quartz pressure transducers for

pressures greater than 100 kilobars.

6A991 Marine or terrestrial acoustic

equipment, n.e.s., capable of detecting or

locating underwater objects or features or

positioning surface vessels or underwater

vehicles; and specially designed

components, n.e.s.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 2

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6A992 Optical Sensors, not controlled by

6A002.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A
2532 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Image intensifier tubes and specially

designed components therefor, as follows:

a.1. Image intensifier tubes having all the

following:

a.1.a. A peak response in wavelength range

exceeding 400 nm, but not exceeding 1,050

nm;

a.1.b. A microchannel plate for electron

image amplification with a hole pitch

(center-to-center spacing) of less than 25

micrometers; and

a.1.c. Having any of the following:

a.1.c.1. An S–20, S–25 or multialkali

photocathode; or

a.1.c.2. A GaAs or GaInAs photocathode;

a.2. Specially designed microchannel

plates having both of the following

characteristics:

a.2.a. 15,000 or more hollow tubes per

plate; and

a.2.b. Hole pitch (center-to-center spacing)

of less than 25 micrometers.

6A994 Optics, not controlled by 6A004.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Optical filters:

a.1. For wavelengths longer than 250 nm,

comprised of multi-layer optical coatings and

having either of the following:

a.1.a. Bandwidths equal to or less than 1

nm Full Width Half Intensity (FWHI) and

peak transmission of 90% or more; or

a.1.b. Bandwidths equal to or less than 0.1

nm FWHI and peak transmission of 50% or

more;

Note: 6A994 does not control optical filters

with fixed air gaps or Lyot-type filters.

a.2. For wavelengths longer than 250 nm,

and having all of the following:

a.2.a. Tunable over a spectral range of 500

nm or more;

a.2.b. Instantaneous optical bandpass of

1.25 nm or less;

a.2.c. Wavelength resettable within 0.1 ms

to an accuracy of 1 nm or better within the

tunable spectral range; and

a.2.d. A single peak transmission of 91%

or more;

a.3. Optical opacity switches (filters) with

a field of view of 30° or wider and a response

time equal to or less than 1 ns;

b. ‘‘Fluoride fiber’’ cable, or optical fibers

therefor, having an attenuation of less than 4

dB/km in the wavelength range exceeding

1,000 nm but not exceeding 3,000 nm.

6A995 ‘‘Lasers’’, not controlled by 6A005

or 6A205.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Carbon dioxide (CO2) ‘‘lasers’’

having any of the following:

a.1. A CW output power exceeding 10 kW;

a.2. A pulsed output with a ‘‘pulse

duration’’ exceeding 10 microseconds; and

a.2.a. An average output power exceeding

10 kW; or

a.2.b. A pulsed ‘‘peak power’’ exceeding

100 kW; or

a.3. A pulsed output with a ‘‘pulse

duration’’ equal to or less than 10

microseconds; and

a.3.a. A pulse energy exceeding 5 J per

pulse and ‘‘peak power’’ exceeding 2.5 kW;

or

a.3.b. An average output power exceeding

2.5 kW;

b. Semiconductor lasers, as follows:

b.1. Individual, single-transverse mode

semiconductor ‘‘lasers’’ having:

b.1.a. An average output power exceeding

100 mW; or

b.1.b. A wavelength exceeding 1,050 nm;

b.2. Individual, multiple-transverse mode

semiconductor ‘‘lasers’’, or arrays of

individual semiconductor ‘‘lasers’’, having a

wavelength exceeding 1,050 nm;

c. Solid state, non-‘‘tunable’’ ‘‘lasers’’, as

follows:

c.1. Ruby ‘‘lasers’’ having an output energy

exceeding 20 J per pulse;

c.2. Neodymium-doped (other than glass)

‘‘lasers’’, as follows, with an output

wavelength exceeding 1,000 nm but not

exceeding 1,100 nm:

c.2.a. Pulse-excited, ‘‘Q-switched lasers’’,

with a pulse duration equal to or more than

1 ns, and a multiple-transverse mode output

with any of the following:

c.2.a.1. A ‘‘peak power’’ exceeding 200

mW; or

c.2.a.2. An average output power exceeding

50 W;

c.2.b. Pulse-excited, non-‘‘Q-switched

lasers’’, having a multiple-transverse mode

output with an average power exceeding 500

W; or

c.2.c. Continuously excited ‘‘lasers’’ having

a multiple-transverse mode output with an

average or CW output power exceeding 500

W;

d. Free electron ‘‘lasers’’.

6A996 ‘‘Magnetometers’’, n.e.s., having a

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

than 1.0 nT rms per square root Hz.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6A997 Gravity meters (gravimeters) for

ground use, n.e.s.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Having a static accuracy of less

(better) than 100 microgal; or

b. Being of the quartz element (Worden)

type.

6A998 Airborne radar equipment, n.e.s.,

and specially designed components

therefor.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

B. Test, Inspection and Production

Equipment

6B004 Optical equipment, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2533

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: Yes for 6B004.b

CIV: Yes for 6B004.b

List of Items Controlled

Unit: Number

Related Controls: This entry does not control

microscopes.

Related Definitions: N/A

Items: a. Equipment for measuring absolute

reflectance to an accuracy of ±0.1% of the

reflectance value;

b. Equipment other than optical surface

scattering measurement equipment, having

an unobscured aperture of more than 10 cm,

specially designed for the non-contact optical

measurement of a non-planar optical surface

figure (profile) to an ‘‘accuracy’’ of 2 nm or

less (better) against the required profile.

6B007 Equipment to produce, align and

calibrate land-based gravity meters with a

static accuracy of better than 0.1 mgal.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6B008 Pulse radar cross-section

measurement systems having transmit

pulse widths of 100 ns or less and specially

designed components therefor.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: See also 6B108

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6B108 Systems, other than those

controlled by 6B008, specially designed for

radar cross section measurement usable

for ‘‘missiles’’ and other subsystems.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6B995 Specially designed or modified

equipment, including tools, dies, fixtures or

gauges, and other specially designed

components and accessories therefor:

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. For the manufacture or inspection

of:

a.1. Free electron ‘‘laser’’ magnet wigglers;

a.2. Free electron ‘‘laser’’ photo injectors;

b. For the adjustment, to required

tolerances, of the longitudinal magnetic field

of free electron ‘‘lasers’’.

C. Materials

6C002 Optical sensor materials, as follows

(see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: See also 6C992

Related Definitions: N/A

Items: a. Elemental tellurium (Te) of purity

levels of 99.9995% or more;

b. Single crystals of cadmium telluride

(CdTe), cadmium zinc telluride (CdZnTe) or

mercury cadmium telluride (HgCdTe) of any

purity level, including epitaxial wafers

thereof.

6C004 Optical materials, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $1500

GBS: Yes for 6C004.a and .e

CIV: Yes for 6C004.a and .e

List of Items Controlled

Unit: $ value

Related Controls: See also 6C994

Related Definitions: N/A

Items: a. Zinc selenide (ZnSe) and zinc

sulphide (ZnS) ‘‘substrate blanks’’ produced

by the chemical vapor deposition process,

having any of the following:

a.1. A volume greater than 100 cm3; or

a.2. A diameter greater than 80 mm having

a thickness of 20 mm or more;

b. Boules of the following electro-optic

materials:

b.1. Potassium titanyl arsenate (KTA);

b.2. Silver gallium selenide (AgGaSe2);

b.3. Thallium arsenic selenide (Tl3AsSe3,

also known as TAS;

c. Non-linear optical materials, having all

of the following:

c.1. Third order susceptibility (chi 3) of

10–6 m2/V2 or more; and

c.2. A response time of less than 1 ms;

d. ‘‘Substrate blanks’’ of silicon carbide or

beryllium beryllium (Be/Be) deposited

materials exceeding 300 mm in diameter or

major axis length;

e. Glass, including fused silica, phosphate

glass, fluorophosphate glass, zirconium

fluoride (ZrF4) and hafnium fluoride (HfF4),

having all of the following:

e.1. A hydroxyl ion (OH-) concentration of

less than 5 ppm;

e.2. Integrated metallic purity levels of less

than 1 ppm; and

e.3. High homogeneity (index of refraction

variance) less than 5 × 10–6;

f. Synthetically produced diamond

material with an absorption of less than

10¥5 cm¥1 for wavelengths exceeding 200

nm but not exceeding 14,000 nm.

6C005 Synthetic crystalline ‘‘laser’’ host

material in unfinished form, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $1500

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: N/A

Related Definitions: N/A

Items: a. Titanium doped sapphire;
2534 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

b. Alexandrite.

6C992 Optical sensing fibers not

controlled by 6A002.d.3 which are modified

structurally to have a ‘‘beat length’’ of less

than 500 mm (high birefringence).

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled in

contained in the ECCN heading.

6C994 Optical materials.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Low optical absorption materials, as

follows:

a.1. Bulk fluoride compounds containing

ingredients with a purity of 99.999% or

better; or

Note: 6C994.a.1 controls fluorides of

zirconium or aluminum and variants.

a.2. Bulk fluoride glass made from

compounds controlled by 6C004.e.1;

b. ‘‘Optical fiber preforms’’ made from bulk

fluoride compounds containing ingredients

with a purity of 99.999% or better, specially

designed for the manufacture of ‘‘fluoride

fibers’’ controlled by 6A994.b.

D. Software

6D001 ‘‘Software’’ specially designed for

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

equipment controlled by 6A004, 6A005,

6A008 or 6B008.

License Requirements

Reason for Control: NS, MT, NP, AT

Control(s) Country Chart

NS applies to ‘‘software’’

for equipment controlled by 6A004,

6A005, 6A008 or 6B008.

NS Column 1

Control(s) Country Chart

MT applies to ‘‘software’’

for equipment controlled by 6A008 or

6B008 for MT reasons.

MT Column 1

NP applies to ‘‘software’’

for equipment controlled by 6A005 for NP

reasons.

NP Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

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

or reexports to destinations outside of

Austria, Belgium, Canada, Denmark,

Finland, France, Germany, Greece, Ireland,

Italy, Luxembourg, the Netherlands,

Portugal, Spain, Sweden, or the United

Kingdom of ‘‘software’’ for items controlled

by 6A008.l.3 or 6B008.

List of Items Controlled

Unit: $ value

Related Controls: See also 6D991

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6D002 ‘‘Software’’ specially designed for

the ‘‘use’’ of equipment controlled by

6A002.b, 6A008 or 6B008.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to ‘‘software’’

for equipment controlled by 6A008 or

6B008 for MT reasons.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: Yes, except N/A for MT

List of Items Controlled

Unit: $ value

Related Controls: See also 6D102 and 6D992

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

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

List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: Yes for 6D003.h.1

TSR: Yes, except for exports or reexports to

destinations outside of Austria, Belgium,

Canada, Denmark, Finland, France,

Germany, Greece, Ireland, Italy,

Luxembourg, the Netherlands, Portugal,

Spain, Sweden, or the United Kingdom of

‘‘software’’ for items controlled by 6D003.a.

List of Items Controlled

Unit: $ value

Related Controls: See also 6D103 and 6D993

Related Definitions: N/A

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

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

acoustic beam forming for the ‘‘real time

processing’’ of acoustic data for passive

reception using towed hydrophone arrays;

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

processing’’ of acoustic data for passive

reception using towed hydrophone arrays;

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

bottom or bay cable systems and having

beamforming or ‘‘source code’’ for ‘‘real time

processing’’ of acoustic data for passive

reception;

b. Optical sensors. None.

c. Cameras. None.

d. Optics. None.

e. Lasers. None

f. Magnetometers.

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

magnetic compensation systems for magnetic

sensors designed to operate on mobile

platforms;

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

magnetic anomaly detection on mobile

platforms;

g. Gravimeters. ‘‘Software’’ specially

designed to correct motional influences of

gravity meters or gravity gradiometers;

h. Radar ‘‘software’’, as follows:

h.1. Air Traffic Control ‘‘software’’

application ‘‘programs’’ hosted on general

purpose computers located at Air Traffic

Control centers and capable of any of the

following:

h.1.a. Processing and displaying more than

150 simultaneous ‘‘system tracks’’; or

h.1.b. Accepting radar target data from

more than four primary radars;

h.2. ‘‘Software’’ for the design or

‘‘production’’ of radomes which:

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

‘‘electronically steerable phased array

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

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

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

below the peak of the main beam level.

Technical Note: ‘‘Average side lobe level’’

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

array excluding the angular extent of the

main beam and the first two side lobes on

either side of the main beam.

6D102 ‘‘Software’’ specially designed for

the ‘‘use’’ of goods controlled by 6A108.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2535

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

6D103 ‘‘Software’’ that processes postflight, recorded data, obtained from the

systems controlled by 6A108.b, enabling

determination of vehicle position

throughout its flight path.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

The list of items controlled is contained in

the ECCN heading.

6D104 ‘‘Software’’ specially designed for

the ‘‘use’’ of equipment controlled by

6A002, 6A003, 6A007, 6A102, and 6B108, for

MT reasons.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6D991 ‘‘Software’’ specially designed for

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

of equipment controlled by 6A991, 6A996,

6A997, or 6A998.

License Requirements

Reason for Control: AT

Control(s) Country Chart

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

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6D992 ‘‘Software’’ specially designed for

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

equipment controlled by 6A992, 6A994, or

6A995.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6D993 Other ‘‘software’’ not controlled by

6D003.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Air Traffic Control (ATC) ‘‘software’’

application ‘‘programs’’ hosted on general

purpose computers located at Air Traffic

Control centers, and capable of automatically

handing over primary radar target data (if not

correlated with secondary surveillance radar

(SSR) data) from the host ATC center to

another ATC center;

E. Technology

6E001 ‘‘Technology’’ according to the

General Technology Note for the

‘‘development’’ of equipment, materials or

‘‘software’’ controlled by 6A (except 6A018,

6A991, 6A992, 6A994, 6A995, 6A996, 6A997

or 6A998), 6B, (except 6B995) 6C (6C992 or

6C994) or 6D (except 6D991, 6D992, or

6D993).

License Requirements

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

UN

Control(s) Country Chart

NS applies to ‘‘technology’’ for items controlled by 6A001 to

6A008, 6B004 to 6B008,

6C002 to 6C005, or

6D001 to 6D003.

NS Column 1

Control(s) Country Chart

MT applies to ‘‘technology’’ for items controlled by 6A002,

6A007, 6A008, 6A102,

6A107, 6A108, 6B008,

6B108, 6D001, 6D002,

6D102 or 6D103 for MT

reasons.

MT Column 1

NP applies to ‘‘technology’’ for equipment

controlled by 6A003,

6A005, 6A202, 6A203,

6A205, 6A225 or 6A226

for NP reasons.

NP Column 2

RS applies to ‘‘technology’’ for equipment

controlled by 6A002 or

6A003 for RS reasons.

RS Column 1

CC applies to ‘‘technology’’ for equipment

controlled by 6A002 for

CC reasons.

CC Column 1

AT applies to entire entry AT Column 1

UN applies to ‘‘technology’’ for equipment

controlled by 6A002 or

6A003 for UN reasons.

Rwanda

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

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

or reexports to destinations outside of

Austria, Belgium, Canada, Denmark,

Finland, France, Germany, Greece, Ireland,

Italy, Luxembourg, the Netherlands,

Portugal, Spain, Sweden, or the United

Kingdom of ‘‘technology’’ for the

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

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

6A001.a.2.a.7, 6A001.a.2.b, 6A001.a.2.c

and 6A001.a.2.e when specially designed

for real time application, 6A002.a.1.c,

6A008.l.3, 6B008, 6D003.a, or 6D001 when

specially designed for the ‘‘development’’

or ‘‘production’’ of equipment controlled

by 6A001.a.2.a.1, 6A001.a.2.a.2,

6A001.a.2.a.7, 6A001.a.2.b, 6A001.a.2.c,

and 6A001.a.2.e as set forth above.

List of Items Controlled

Unit: N/A

Related Controls: See also 6E101, 6E201, and

6E991

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6E002 ‘‘Technology’’ according to the

General Technology Note for the

‘‘production’’ of equipment or materials

controlled by 6A (except 6A018, 6A991,

6A992, 6A994, 6A995, 6A996, 6A997 or

6A998), 6B, (except 6B995), or 6C (6C992 or

6C994).

License Requirements

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

UN
2536 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Control(s) Country Chart

NS applies to ‘‘technology’’ for equipment

controlled by 6A001 to

6A008, 6B004 to 6B008,

or 6C002 to 6C005.

NS Column 1

MT applies to ‘‘technology’’ for equipment

controlled by 6A002,

6A007, 6A008, 6A102,

6A107, 6A108, 6B008,

or 6B108 for MT reasons.

MT Column 1

NP applies to ‘‘technology’’ for equipment

controlled by 6A003,

6A005, 6A202, 6A203,

6A205, 6A225 or 6A226

for NP reasons.

NP Column 1

RS applies to ‘‘technology’’ for equipment

controlled by 6A002 or

6A003 for RS reasons.

RS Column 1

CC applies to ‘‘technology’’ for equipment

controlled by 6A002 for

CC reasons.

CC Column 1

AT applies to entire entry AT Column 1

UN applies to ‘‘technology’’ for equipment

controlled by 6A002 or

6A003 for UN reasons.

Rwanda

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

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

or reexports to destinations outside of

Austria, Belgium, Canada, Denmark, Finland,

France, Germany, Greece, Ireland, Italy,

Luxembourg, the Netherlands, Portugal,

Spain, Sweden, or the United Kingdom of

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

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

6A001.a.2.a.7, 6A001.a.2.b, 6A001.a.2.c and

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

time application, 6A002.a.1.c, 6A008.l.3, or

6B008.

List of Items Controlled

Unit: N/A

Related Controls: See also 6E992

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6E003 Other ‘‘technology’’, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: N/A

Related Controls: See also 6E993

Related Definitions: N/A

Items: a. Acoustics. None.

b. Optical sensors. None.

c. Cameras. None.

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

d.1. Optical surface coating and treatment

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

uniformity of 99.5% or better for optical

coatings 500 mm or more in diameter or

major axis length and with a total loss

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

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

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

single point diamond turning techniques to

produce surface finish accuracies of better

than 10 nm rms on non-planar surfaces

exceeding 0.5 m2;

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

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

specially designed diagnostic instruments or

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

testing or evaluation of materials irradiated

by ‘‘SHPL’’ beams;

f. Magnetometers. ‘‘Technology’’

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

‘‘production’’ of fluxgate ‘‘magnetometers’’ or

fluxgate ‘‘magnetometer’’ systems, having

any of the following:

f.1. A ‘‘noise level’’ of less than 0.05 nT

rms per square root Hz at frequencies of less

than 1 Hz; or

f.2. A ‘‘noise level’’ of less than 1 x 10¥3

nT rms per square root Hz at frequencies of

1 Hz or more.

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.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: (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, a.3,

and e that are specially designed or rated

as electromagnetic (including ‘‘laser’’) and

ionized-particle radiation resistant. (3) This

entry only controls ‘‘technology’’ for items

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

6A007.b.1 and b.2 are met or exceeded.

Items: The list of items controlled is

contained in the ECCN heading.

6E102 ‘‘Technology’’ according to the

General Technology Note for the ‘‘use’’ of

‘‘software’’ controlled by 6D001 and 6D002,

for MT reasons.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6E201 ‘‘Technology’’ according to the

General Technology Note for the ‘‘use’’ of

equipment controlled by 6A003.a.2,

6A003.a.3, 6A003.a.4, 6A005.a.1.c,

6A005.a.2.a, 6A005.c.1.b, 6A005.c.2.c.2,

6A005.c.2.d.2.b, 6A202, 6A203, 6A205,

6A225 or 6A226.

License Requirements

Reason for Control: NP, AT

Control(s) Country Chart

NP applies to entire entry NP Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: This entry only controls

‘‘technology’’ for items in 6A005.a.2.a with

an output power >40 W, 6A005.a.6 argon

‘‘lasers’’ only, 6A005.c.1.b with an output

power >30 W, 6A005.c.2.c.2.a with an

output power >40 W, 6A005.c.2.c.2.b with

an output power >40 W, and

6A005.c.2.d.2.b with an output power >40

W.

Items: The list of items controlled is

contained in the ECCN heading.

6E991 ‘‘Technology’’ for the

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

equipment controlled by 6A991, 6A996,

6A997, or 6A998.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry

except ‘‘technology’’ for

equipment controlled by

6A991.

AT Column 1

AT applies to ‘‘technology’’ for equipment

controlled by 6A991.

AT Column 2

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2537

6E992 ‘‘Technology’’ for the

‘‘development’’ or ‘‘production’’ of

equipment, materials or ‘‘software’’

controlled by 6A992, 6A994, or 6A995,

6B995, 6C992, 6C994, or 6D993.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

6E993 Other ‘‘technology’’, not controlled

by 6E003.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Optical fabrication technologies for

serially producing optical components at a

rate exceeding 10 m2 of surface area per year

on any single spindle and with:

a.1. An area exceeding 1 m2; and

a.2. A surface figure exceeding lambda/10

rms at the designed wavelength;

b. ‘‘Technology’’ for optical filters with a

bandwidth equal to or less than 10 nm, a

field of view (FOV) exceeding 40° and a

resolution exceeding 0.75 line pairs per

milliradian;

EAR99 Items subject to the EAR that are

not elsewhere specified in this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

Category 7—Navigation and Avionics

A. Systems, Equipment and Components

N.B.: For automatic pilots for underwater

vehicles, see Category 8. For radar, see

Category 6.

Note to Category 7A: For inertial

navigation equipment for ships or

submersibles see item 9.e on the Wassenaar

Munitions List.

7A001 Accelerometers designed for use in

inertial navigation or guidance systems and

having any of the following characteristics

(see List of Items Controlled), and specially

designed components therefor.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 7A101 and 7A994.

MT controls do not apply to accelerometers

that are specially designed and developed

as Measurement While Drilling (MWD)

sensors for use in downhole well service

applications.

Related Definitions: N/A

Items: a. A ‘‘bias’’ ‘‘stability’’ of less (better)

than 130 micro g with respect to a fixed

calibration value over a period of one year;

b. A ‘‘scale factor’’ ‘‘stability’’ of less

(better) than 130 ppm with respect to a fixed

calibration value over a period of one year;

or

c. Specified to function at linear

acceleration levels exceeding 100 g.

7A002 Gyros having any of the following

characteristics (see List of Items

Controlled), and specially designed

components therefor.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 7A102 and 7A994

Related Definitions: N/A

Items: a. A ‘‘drift rate’’ ‘‘stability’’, when

measured in a 1 g environment over a period

of three months and with respect to a fixed

calibration value, of:

a.1. Less (better) than 0.1° per hour when

specified to function at linear acceleration

levels below 10 g; or

a.2. Less (better) than 0.5° per hour when

specified to function at linear acceleration

levels from 10 g to 100 g inclusive; or

b. Specified to function at linear

acceleration levels exceeding 100 g.

7A003 Inertial navigation systems

(gimballed or strapdown) and inertial

equipment designed for ‘‘aircraft’’, land

vehicle or ‘‘spacecraft’’ for attitude,

guidance or control, having any of the

following characteristics (see List of Items

Controlled), and specially designed

components therefor.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 7A103 and 7A994.

Inertial navigation systems and inertial

equipment, and specially designed

components therefor specifically designed,

modified or configured for military use are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. (See 22 CFR part

121.)

Related Definitions: N/A

Items: a. Navigation error (free inertial)

subsequent to normal alignment of 0.8

nautical mile per hour (50% Circular Error

Probable (CEP)) or less (better); or

b. Specified to function at linear

acceleration levels exceeding 10 g.

Note: The parameters of 7A003.a are

applicable with any of the following

environmental conditions:

1. Input random vibration with an overall

magnitude of 7.7 g rms in the first half hour

and a total test duration of one and one half

hour per axis in each of the three

perpendicular axes, when the random

vibration meets the following:

a. A constant power spectral density (PSD)

value of 0.04 g2/Hz over a frequency interval

of 15 to 1,000 Hz; and

b. The PSD attenuates with frequency from

0.04 g2/Hz to 0.01 g2/Hz over a frequency

interval from 1,000 to 2,000 Hz; or

2. A roll and yaw rate of equal to or more

than +2.62 radian/s (150 deg/s); or

3. According to national standards

equivalent to 1. or 2. of this note.

Note: 7A003 does not control inertial

navigation systems that are certified for use

on ‘‘civil aircraft’’ by civil authorities of a

‘‘participating state’’ in Country Group A:1.

7A004 Gyro-astro compasses, and other

devices which derive position or orientation

by means of automatically tracking celestial

bodies or satellites, with an azimuth

accuracy of equal to or less (better) than 5

seconds of arc.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 7A104 and 7A994

Related Definitions: N/A
2538 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Items: The list of items controlled is

contained in the ECCN heading.

7A005 Global navigation satellite systems

(i.e. GPS or GLONASS) receiving

equipment, and specially designed

components therefor. (These items are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. See 22 CFR part

121.)

7A006 Airborne altimeters operating at

frequencies other than 4.2 to 4.4 GHz

inclusive, having any of the following

characteristics (see List of Items

Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

S applies to entire entry ... NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 7A106, 7A994 and

Category 6 for controls on radar.

Related Definitions: N/A

Items: a. ‘‘Power management’’; or

b. Using phase shift key modulation.

7A007 Direction finding equipment

operating at frequencies above 30 MHz and

specially designed components therefor.

(These items are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

See 22 CFR part 121.)

7A101 Accelerometers, other than those

controlled by 7A001, with a threshold of

0.05 g or less, or a linearity error within

0.25% of full scale output, or both, which

are designed for use in inertial navigation

systems or in guidance systems of all types

and specially designed components

therefor.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: This entry does not control

accelerometers which are specially

designed and developed as MWD

(Measurement While Drilling) sensors for

use in downhole well service operations.

Related Definitions: N/A

Items: The list of items is included in the

entry heading.

7A102 All types of gyros, other than those

controlled by 7A002, usable in ‘‘missiles’’,

with a rated ‘‘drift rate’’ ‘‘stability’’ of less

than 0.5≥ (1 sigma or rms) per hour in a 1

g environment and specially designed

components therefor.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: (1) Drift rate is defined

as the time rate of output deviation from

the desired output. It consists of random

and systematic components and is

expressed as an equivalent angular

displacement per unit time with respect to

inertial space. (2) Stability is defined as

standard deviation (1 sigma) of the

variation of a particular parameter from its

calibrated value measured under stable

temperature conditions. This can be

expressed as a function of time.

Items: The list of items controlled is

contained in the ECCN heading.

7A103 Instrumentation, navigation

equipment and systems, other than those

controlled by 7A003, and specially designed

components therefor.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) Items described in

7A103.b are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls (See 22

CFR part 121). (2) Inertial navigation

systems and inertial equipment, and

specially designed components therefor

specifically designed, modified or

configured for military use are subject to

the export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. (See 22 CFR part 121.)

Related Definitions: N/A

Items: a. Inertial or other equipment using

accelerometers or gyros controlled by 7A001,

7A002, 7A101 or 7A102 and systems

incorporating such equipment;

Note: 7A103.a does not control equipment

containing accelerometers specially designed

and developed as MWD (Measurement While

Drilling) sensors for use in down-hole well

services operations.

b. Integrated flight instrument systems,

which include gyrostabilizers or automatic

pilots, designed or modified for use in

‘‘missiles’’.

7A104 Gyro-astro compasses and other

devices, other than those controlled by

7A004, which derive position or orientation

by means of automatically tracking celestial

bodies or satellites and specially designed

components therefor.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: This entry controls

specially designed components for gyroastro compasses and other devices

controlled by 7A004

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

7A105 Global Positioning Systems (GPS)

or similar satellite receivers, other than

those controlled by 7A005, and designed or

modified for use in ‘‘missiles’’. (These items

are subject to the export licensing authority

of the U.S. Department of State, Office of

Defense Trade Controls. See 22 CFR part

121.)

7A106 Altimeters, other than those

controlled by 7A006, of radar or laser radar

type, designed or modified for use in

‘‘missiles’’. (These items are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

7A115 Passive sensors for determining

bearing to specific electromagnetic source

(direction finding equipment) or terrain

characteristics, designed or modified for

use in ‘‘missiles’’. (These items are subject

to the export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

7A116 Flight control systems (hydraulic,

mechanical, electro-optical, or electromechanical flight control systems

(including fly-by-wire systems) and attitude

control equipment) designed or modified

for ‘‘missiles’’. (These items are subject to

the export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2539

7A117 ‘‘Guidance sets’’ capable of

achieving system accuracy of 3.33% or less

of the range (e.g., a ‘‘CEP’’ of 10 km or less

at a range of 300 km). (These items are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. See 22 CFR part

121.)

7A994 Other navigation direction finding

equipment, airborne communication

equipment, all aircraft inertial navigation

systems not controlled under 7A003 or

7A103, and other avionic equipment,

including parts and components, n.e.s.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) Global Positioning

Satellite receivers having the following

characteristics are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls

(22 CFR part 121): (a) Designed for

encryption or decryption (e.g., Y-code) of

GPS precise positioning service (PPS)

signal; (b) Designed for producing

navigation results above 60,000 feet

altitude and at 1,000 knots velocity or

greater; (c) Specifically designed or

modified for use with a null-steering

antenna or including a null-steering

antenna designed to reduce or avoid

jamming signals; or (d) Designed or

modified for use with unmanned air

vehicle systems capable of delivering at

least a 500 kg payload to a range of at least

300 km. (GPS receivers designed or

modified for use with military unmanned

air vehicle systems with less capability are

considered to be specially designed,

modified or configured for military use are

controlled by 22 CFR part 121. (2) This

entry controls direction finding equipment

that is not subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls (22 CFR

part 121).

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

B. Test, Inspection and Production

Equipment

7B001 Test, calibration or alignment

equipment specially designed for

equipment controlled by 7A (except 7A994).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) See also 7B102 and

7B994. (2) This entry does not control test,

calibration or alignment equipment for

Maintenance level I.

Related Definition: (1) Maintenance Level I:

The failure of an inertial navigation unit is

detected on the aircraft by indications from

the Control and Display Unit (CDU) or by

the status message from the corresponding

sub-system. By following the

manufacturer’s manual, the cause of the

failure may be localized at the level of the

malfunctioning line replaceable unit

(LRU). The operator then removes the LRU

and replaces it with a spare. (2)

Maintenance Level II: The defective LRU is

sent to the maintenance workshop (the

manufacturer’s or that of the operator

responsible for level II maintenance). At

the maintenance workshop, the

malfunctioning LRU is tested by various

appropriate means to verify and localize

the defective shop replaceable assembly

(SRA) module responsible for the failure.

This SRA is removed and replaced by an

operative spare. The defective SRA (or

possibly the complete LRU) is then

shipped to the manufacturer. Maintenance

Level II does not include the removal of

controlled accelerometers or gyro sensors

from the SRA.

Items: The list of items controlled is

contained in the ECCN heading.

7B002 Equipment, as follows (see List of

Items Controlled), specially designed to

characterize mirrors for ring ‘‘laser’’ gyros.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 7B102 and 7B994

Related Definitions: N/A

Items: a. Scatterometers having a

measurement accuracy of 10 ppm or less

(better);

b. Profilometers having a measurement

accuracy of 0.5 nm (5 angstrom) or less

(better).

7B003 Equipment specially designed for

the ‘‘production’’ of equipment controlled

by 7A (except 7A994).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) See also 7B103 and

7B994. 2.) This entry includes: inertial

measurement unit tester (IMU module);

IMU platform tester; IMU stable element

handling fixture; IMU platform balance

fixture; gyro tuning test stations; gyro

dynamic balance stations; gyro run-in/

motor test stations; gyro evacuation and fill

stations; centrifuge fixtures for gyro

bearings; accelerometer axis align station;

and accelerometer test station

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

7B102 Equipment, as follows (see List of

Items Controlled), other than those

controlled by 7B002, specially designed to

characterize mirrors, for laser gyro

equipment.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Scatterometers having a

measurement accuracy of 10 ppm or less

(better).

b. Reflectometers having a measurement

accuracy of 50 ppm or less (better).

c. Prolifometers having a measurement

accuracy of 0.5nm (5 angstrom) or less

(better).

7B103 Specially designed ‘‘production

facilities’’ for equipment controlled by

7A117. (These items are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

7B994 Other equipment for the test,

inspection, or ‘‘production’’ of navigation

and avionics equipment.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions
2540 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

C. Materials [Reserved]

D. Software

7D001 ‘‘Software’’ specially designed or

modified for the ‘‘development’’ or

‘‘production’’ of equipment controlled by 7A

(except 7A994) or 7B (except 7B994).

License Requirements

Reason for Control: NS, MT, RS, AT

Control(s) Country Chart

NS applies to ‘‘software’’

for equipment controlled by 7A001 to

7A004, 7A006, 7B001,

7B002 or 7B003.

NS Column 1

MT applies to entire entry MT Column 1

RS applies to ‘‘software’’

for inertial navigation

systems inertial equipment, and specially designed components

therefor, for ‘‘civil aircraft’’ DRS Column 1.

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) See also 7D101 and

7D994. (2) The ‘‘software’’ related to

7A003.b, 7A005, 7A007, 7A103.b, 7A105,

7A106, 7A115, 7A116, 7A117, or 7B103 are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. (See 22 CFR part

121.) (3) ‘‘Software’’ for inertial navigation

systems and inertial equipment, and

specially designed components therefor,

not for use on civil aircraft are subject to

the export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. (See 22 CFR part 121.)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

7D002 ‘‘Source code’’ for the ‘‘use’’ of any

inertial navigation equipment or Attitude

and Heading Reference Systems (AHRS)

(except gimballed AHRS) including inertial

equipment not controlled by 7A003 or

7A004.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) See also 7D102 and

7D994. (2) This entry does not control

‘‘source code’’ for the ‘‘use’’ of gimballed

AHRS

Related Definition: AHRS generally differ

from inertial navigation systems (INS) in

that an AHRS provides attitude and

heading information and normally does not

provide the acceleration, velocity and

position information associated with an

INS

Items: The list of items controlled is

contained in the ECCN heading

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

List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

List of Items Controlled

Unit: $ value

Related Controls: See also 7D103 and 7D994

Related Definitions: N/A

Items: a. ‘‘Software’’ specially designed or

modified to improve the operational

performance or reduce the navigational error

of systems to the levels controlled by 7A003

or 7A004;

b. ‘‘Source code’’ for hybrid integrated

systems that improves the operational

performance or reduces the navigational error

of systems to the level controlled by 7A003

by continuously combining inertial data with

any of the following navigation data:

b.1. Doppler radar velocity;

b.2. Global navigation satellite systems

(i.e., GPS or GLONASS) reference data; or

b.3. Terrain data from data bases;

c. ‘‘Source code’’ for integrated avionics or

mission systems that combine sensor data

and employ ‘‘expert systems’’;

d. ‘‘Source code’’ for the ‘‘development’’ of

any of the following:

d.1. Digital flight management systems for

‘‘total control of flight’’;

d.2. Integrated propulsion and flight

control systems;

d.3. Fly-by-wire or fly-by-light control

systems;

d.4. Fault-tolerant or self-reconfiguring

‘‘active flight control systems’’;

d.5. Airborne automatic direction finding

equipment;

d.6. Air data systems based on surface

static data; or

d.7. Raster-type head-up displays or three

dimensional displays;

e. Computer-aided-design (CAD)

‘‘software’’ specially designed for the

‘‘development’’ of ‘‘active flight control

systems’’, helicopter multi-axis fly-by-wire or

fly-by-light controllers or helicopter

‘‘circulation controlled anti-torque or

circulation-controlled direction control

systems’’ whose ‘‘technology’’ is controlled

by 7E004.b, 7E004.c.1 or 7E004.c.2.

7D101 ‘‘Software’’ specially designed for

the ‘‘use’’ of equipment controlled by 7A001

to 7A006, 7A101 to 7A106, 7A115, 7B001,

7B002, 7B003, 7B102 or 7B103.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) The ‘‘software’’ related

to 7A003.b, 7A005, 7A103.b, 7A105,

7A106, 7A115, 7A116, 7A117, or 7B103 are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. (See 22 CFR part

121.) (2) ‘‘Software’’ for inertial navigation

systems and inertial equipment, and

specially designed components therefor,

not designed for use on civil aircraft by

civil aviation authorities of a country listed

in Country Group A:1 is subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. (See 22 CFR part 121.)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

7D102 Integration ‘‘software’’ for the

equipment controlled by 7A003 or 7A103.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: The ‘‘software’’ related to

7A003.b or 7A103.b are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. (See 22 CFR part 121.)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

7D103 ‘‘Software’’ specially designed for

modelling or simulation of the ‘‘guidance

sets’’ controlled by 7A117 or for their

design integration with ‘‘missiles’’. (This

entry is subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. See 22

CFR part 121.)

7D994 ‘‘Software’’, n.e.s., for the

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

navigation, airborne communication and

other avionics.

License Requirements

Reason for Control: AT
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2541

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading.

E. Technology

7E001 ‘‘Technology’’ according to the

General Technology Note for the

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

controlled by 7A (except 7A994), 7B (except

7B994) or 7D (except 7D994).

License Requirements

Reason for Control: MT, NS, RS, AT

Control(s) Country Chart

NS applies to ‘‘technology’’ for items controlled by 7A001 to

7A004, 7A006, 7B001 to

7B003, 7D001 to 7D003.

NS Column 1

MT applies to entire entry MT Column 1

RS applies to ‘‘technology’’ for inertial

navigation systems, inertial equipment and

specially designed components therefor, for

civil aircraft.

RS Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: (1) See also 7E101 and

7E994. (2.) The ‘‘technology’’ related to

7A003.b, 7A005, 7A007, 7A103.b, 7A105,

7a106, 7A115, 7A116, 7A117, or 7B103 are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Control (see 22 CFR part

121)

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

7E002 ‘‘Technology’’ according to the

General Technology Note for the

‘‘production’’ of equipment controlled by 7A

(except 7A994) or 7B (except 7B994).

License Requirements

Reason for Control: NS, MT, RS, AT

Control(s) Country Chart

NS applies to ‘‘technology’’ for equipment

controlled by 7A001 to

7A004, 7A006 or 7B001

to 7B003.

NS Column 1

MT applies to entire entry MT Column 1

Control(s) Country Chart

RS applies to ‘‘technology’’ for inertial

navigation systems, inertial equipment and

specially designed components therefor, for

civil aircraft.

RS Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: (1) See also 7E102 and

7E994. (2) The ‘‘technology’’ related to

7A003.b, 7A005, 7A007, 7A103.b, 7A105,

7A106, 7A115, 7A116, 7A117, or 7B103 are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls (see 22 CFR part

121)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

7E003 ‘‘Technology’’ according to the

General Technology Note for the repair,

refurbishing or overhaul of equipment

controlled by 7A001 to 7A004.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: See also 7E994. This entry

does not control maintenance

‘‘technology’’ directly associated with

calibration, removal or replacement of

damaged or unserviceable LRUs and SRAs

of a ‘‘civil aircraft’’ as described in

Maintenance Level I or Maintenance Level

II

Related Definition: Refer to the Related

Definitions for 7B001

Items: The list of items controlled is

contained in the ECCN heading

7E004 Other ‘‘technology’’, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: See also 7E104 and 7E994

Related Definitions: N/A

Items: a. ‘‘Technology’’ for the

‘‘development’’ or ‘‘production’’ of:

a.1. Airborne automatic direction finding

equipment operating at frequencies

exceeding 5 MHz;

a.2. Air data systems based on surface

static data only, i.e., that dispense with

conventional air data probes;

a.3. Raster-type head-up displays or three

dimensional displays for ‘‘aircraft’’;

a.4. Inertial navigation systems or gyroastro compasses containing accelerometers or

gyros controlled by 7A001 or 7A002;

a.5. Electric actuators (i.e.,

electromechanical, electrohydrostatic and

integrated actuator package) specially

designed for ‘‘primary flight control’’;

a.6. ‘‘Flight control optical sensor array’’

specially designed for implementing ‘‘active

flight control systems’’;

b. ‘‘Development’’ ‘‘technology’’, as

follows, for ‘‘active flight control systems’’

(including fly-by-wire or fly-by-light):

b.1. Configuration design for

interconnecting multiple microelectronic

processing elements (on-board computers) to

achieve ‘‘real time processing’’ for control

law implementation;

b.2. Control law compensation for sensor

location or dynamic airframe loads, i.e.,

compensation for sensor vibration

environment or for variation of sensor

location from the center of gravity;

b.3. Electronic management of data

redundancy or systems redundancy for fault

detection, fault tolerance, fault isolation or

reconfiguration;

Note: 7E004.b.3. does not control

‘‘technology’’ for the design of physical

redundancy.

b.4. Flight controls that permit inflight

reconfiguration of force and moment controls

for real time autonomous air vehicle control;

b.5. Integration of digital flight control,

navigation and propulsion control data into

a digital flight management system for ‘‘total

control of flight’’;

Note: 7E004.b.5 does not control:

1. ‘‘Development’’ ‘‘technology’’ for

integration of digital flight control,

navigation and propulsion control data into

a digital flight management system for ‘‘flight

path optimization’’;

2. ‘‘Development’’ ‘‘technology’’ for

‘‘aircraft’’ flight instrument systems

integrated solely for VOR, DME, ILS or MLS

navigation or approaches.

b.6. Full authority digital flight control or

multisensor mission management systems

employing ‘‘expert systems’’;

N.B.: For ‘‘technology’’ for Full Authority

Digital Engine Control (‘‘FADEC’’), see

9E003.a.9.

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

helicopter systems, as follows:

c.1. Multi-axis fly-by-wire or fly-by-light

controllers that combine the functions of at

least two of the following into one

controlling element:

c.1.a. Collective controls;

c.1.b. Cyclic controls;

c.1.c. Yaw controls;
2542 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

c.2. ‘‘Circulation-controlled anti-torque or

circulation-controlled directional control

systems’’;

c.3. Rotor blades incorporating ‘‘variable

geometry airfoils’’ for use in systems using

individual blade control.

7E101 ‘‘Technology’’, other than

‘‘technology’’ controlled by 7E003,

according to the General Technology Note

for the ‘‘use’’ of equipment controlled by

7A001 to 7A006, 7A101 to 7A106, 7A115 to

7A117, 7B001, 7B002, 7B003, 7B102, 7B103,

7D101 to 7D103.

License Requirements

Reason for Control: MT, RS, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

RS applies to ‘‘use’’ of inertial navigation systems, inertial equipment

and specially designed

components therefor, for

civil aircraft.

RS Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: 1.) The ‘‘technology’’

related to 7A003.b, 7A005, 7A103.b,

7A105, 7A016, 7A115, 7A116, 7A117,

7B103, or 7D103 are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

(See 22 CFR part 121.) 2.) ‘‘Technology’’ for

inertial navigation systems and inertial

equipment, and specially designed

components therefor, not for use on civil

aircraft are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. (See 22

CFR part 121.)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

7E102 ‘‘Technology’’ for protection of

avionics and electrical subsystems against

electromagnetic pulse (EMP) and

electromagnetic interference (EMI) hazards,

from external sources, as follows (see List

of Items Controlled).

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: a. Design ‘‘technology’’ for shielding

systems;

b. Design ‘‘technology’’ for the

configuration of hardened electrical circuits

and subsystems;

c. Design ‘‘technology’’ for the

determination of hardening criteria of .a and

.b of this entry.

7E104 ‘‘Technology’’ for the integration of

the flight control, guidance, and propulsion

data into a flight management system for

optimization of rocket system trajectory.

(This entry is subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. See 22

CFR part 121.)

7E994 ‘‘Technology’’, n.e.s., for the

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

navigation, airborne communication, and

other avionics equipment.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

EAR99 Items subject to the EAR that are

not elsewhere specified in this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

Category 8—Marine

A. Systems, Equipment and Components

8A001 Submersible vehicles and surface

vessels, as follows (see List of Items

Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $5000; N/A for 8A001.b and .d

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: For the control status of

equipment for submersible vehicles, see:

Category 5, Part 2 ‘‘Information Security’’

for encrypted communication equipment;

Category 6 for sensors; Categories 7 and 8

for navigation equipment; Category 8A for

underwater equipment.

Related Definitions: N/A

Items: a. Manned, tethered submersible

vehicles designed to operate at depths

exceeding 1,000 m;

b. Manned, untethered submersible

vehicles, having any of the following:

b.1. Designed to operate autonomously and

having a lifting capacity of all the following:

b.1.a. 10% or more of their weight in air;

and

b.1.b. 15 kN or more;

b.2. Designed to operate at depths

exceeding 1,000 m; or

b.3. Having all of the following:

b.3.a. Designed to carry a crew of 4 or

more;

b.3.b. Designed to operate autonomously

for 10 hours or more;

b.3.c. Having a range of 25 nautical miles

or more; and

b.3.d. Having a length of 21 m or less;

Technical Notes:

1. For the purposes of 8A001.b, ‘‘operate

autonomously’’ means fully submerged,

without snorkel, all systems working and

cruising at minimum speed at which the

submersible can safely control its depth

dynamically by using its depth planes only,

with no need for a support vessel or support

base on the surface, sea-bed or shore, and

containing a propulsion system for

submerged or surface use.

2. For the purposes of 8A001.b, ‘‘range’’

means half the maximum distance a

submersible vehicle can cover.

c. Unmanned, tethered submersible

vehicles designed to operate at depths

exceeding 1,000 m, having any of the

following:

c.1. Designed for self-propelled manoeuvre

using propulsion motors or thrusters

controlled by 8A002.a.2; or

c.2. Having a fiber optic data link;

d. Unmanned, untethered submersible

vehicles, having any of the following:

d.1. Designed for deciding a course relative

to any geographical reference without realtime human assistance;

d.2. Having an acoustic data or command

link; or

d.3. Having a fiber optic data or command

link exceeding 1,000 m;

e. Ocean salvage systems with a lifting

capacity exceeding 5 MN for salvaging

objects from depths exceeding 250 m and

having any of the following:

e.1. Dynamic positioning systems capable

of position keeping within 20 m of a given

point provided by the navigation system; or

e.2. Seafloor navigation and navigation

integration systems for depths exceeding

1,000 m with positioning accuracies to

within 10 m of a predetermined point;

f. Surface-effect vehicles (fully skirted

variety) having all of the following

characteristics:

f.1. A maximum design speed, fully

loaded, exceeding 30 knots in a significant

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

f.2. A cushion pressure exceeding 3,830 Pa;

and

f.3. A light-ship-to-full-load displacement

ratio of less than 0.70;

g. Surface-effect vehicles (rigid sidewalls)

with a maximum design speed, fully loaded,

exceeding 40 knots in a significant wave

height of 3.25 m (Sea State 5) or more;
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2543

h. Hydrofoil vessels with active systems for

automatically controlling foil systems, with a

maximum design speed, fully loaded, of 40

knots or more in a significant wave height of

3.25 m (Sea State 5) or more;

i. Small waterplane area vessels having any

of the following:

i.1. A full load displacement exceeding 500

tons with a maximum design speed, fully

loaded, exceeding 35 knots in a significant

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

or

i.2. A full load displacement exceeding

1,500 tons with a maximum design speed,

fully loaded, exceeding 25 knots in a

significant wave height of 4 m (Sea State 6)

or more.

Technical Note: A small waterplane area

vessel is defined by the following formula:

waterplane area at an operational design

draught less than 2 × (displaced volume at

the operational design draught) 2/3.

8A002 Systems and equipment, as follows

(see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $5000; N/A for 8A002.o.3.b

GBS: Yes for 8A002.e.2 and manipulators for

civil end-uses (e.g., underwater oil, gas or

mining operations) controlled by 8A002.i.2

and having 5 degrees of freedom of

movement

CIV: Yes for 8A002.e.2 and manipulators for

civil end-uses (e.g., underwater oil, gas or

mining operations) controlled by 8A002.i.2

and having 5 degrees of freedom of

movement

List of Items Controlled

Unit: Equipment in number

Related Controls: See also 8A992 and for

underwater communications systems, see

Category 5, Part I—Telecommunications.

Related Definitions: N/A

Items: a. Systems and equipment, specially

designed or modified for submersible

vehicles, designed to operate at depths

exceeding 1,000 m, as follows:

a.1. Pressure housings or pressure hulls

with a maximum inside chamber diameter

exceeding 1.5 m;

a.2. Direct current propulsion motors or

thrusters;

a.3. Umbilical cables, and connectors

therefor, using optical fiber and having

synthetic strength members;

b. Systems specially designed or modified

for the automated control of the motion of

equipment for submersible vehicles

controlled by 8A001 using navigation data

and having closed loop servo-controls:

b.1. Enabling a vehicle to move within 10

m of a predetermined point in the water

column;

b.2. Maintaining the position of the vehicle

within 10 m of a predetermined point in the

water column; or

b.3. Maintaining the position of the vehicle

within 10 m while following a cable on or

under the seabed;

c. Fiber optic hull penetrators or

connectors;

d. Underwater vision systems, as follows:

d.1. Television systems and television

cameras, as follows:

d.1.a. Television systems (comprising

camera, monitoring and signal transmission

equipment) having a limiting resolution

when measured in air of more than 800 lines

and specially designed or modified for

remote operation with a submersible vehicle;

d.1.b. Underwater television cameras

having a limiting resolution when measured

in air of more than 1,100 lines;

d.1.c. Low light level television cameras

specially designed or modified for

underwater use containing all of the

following:

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

by 6A002.a.2.a; and

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

per solid state area array;

Technical Note: Limiting resolution in

television is a measure of horizontal

resolution usually expressed in terms of the

maximum number of lines per picture height

discriminated on a test chart, using IEEE

Standard 208/1960 or any equivalent

standard.

d.2. Systems, specially designed or

modified for remote operation with an

underwater vehicle, employing techniques to

minimize the effects of back scatter,

including range-gated illuminators or ‘‘laser’’

systems;

e. Photographic still cameras specially

designed or modified for underwater use

below 150 m having a film format of 35 mm

or larger, and having any of the following:

e.1. Annotation of the film with data

provided by a source external to the camera;

e.2. Automatic back focal distance

correction; or

e.3. Automatic compensation control

specially designed to permit an underwater

camera housing to be usable at depths

exceeding 1,000 m;

f. Electronic imaging systems, specially

designed or modified for underwater use,

capable of storing digitally more than 50

exposed images;

g. Light systems, as follows, specially

designed or modified for underwater use:

g.1. Stroboscopic light systems capable of

a light output energy of more than 300 J per

flash and a flash rate of more than 5 flashes

per second;

g.2. Argon arc light systems specially

designed for use below 1,000 m;

h. ‘‘Robots’’ specially designed for

underwater use, controlled by using a

dedicated ‘‘stored program controlled’’

computer, having any of the following:

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

information from sensors which measure

force or torque applied to an external object,

distance to an external object, or tactile sense

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

or

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

or more or a torque of 250 Nm or more and

using titanium based alloys or ‘‘fibrous or

filamentary’’ ‘‘composite’’ materials in their

structural members;

i. Remotely controlled articulated

manipulators specially designed or modified

for use with submersible vehicles, having any

of the following:

i.1. Systems which control the manipulator

using the information from sensors which

measure the torque or force applied to an

external object, or tactile sense between the

manipulator and an external object; or

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

‘‘stored program controlled’’ computer, and

having 5 degrees of freedom of movement or

more;

Note: Only functions having proportional

control using positional feedback or by using

a dedicated ‘‘stored program controlled’’

computer are counted when determining the

number of degrees of freedom of movement.

j. Air independent power systems,

specially designed for underwater use, as

follows:

j.1. Brayton or Rankine cycle engine air

independent power systems having any of

the following:

j.1.a. Chemical scrubber or absorber

systems specially designed to remove carbon

dioxide, carbon monoxide and particulates

from recirculated engine exhaust;

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

monoatomic gas;

j.1.c. Devices or enclosures specially

designed for underwater noise reduction in

frequencies below 10 kHz, or special

mounting devices for shock mitigation; or

j.1.d. Systems specially designed:

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

reaction or for fuel reformation;

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

reaction; and

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

reaction against a pressure of 100 kPa or

more;

j.2. Diesel cycle engine air independent

systems, having all of the following:

j.2.a. Chemical scrubber or absorber

systems specially designed to remove carbon

dioxide, carbon monoxide and particulates

from recirculated engine exhaust;

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

monoatomic gas;

j.2.c. Devices or enclosures specially

designed for underwater noise reduction in

frequencies below 10 kHz or special

mounting devices for shock mitigation; and

j.2.d. Specially designed exhaust systems

that do not exhaust continuously the

products of combustion;

j.3. Fuel cell air independent power

systems with an output exceeding 2 kW

having any of the following:

j.3.a. Devices or enclosures specially

designed for underwater noise reduction in

frequencies below 10 kHz or special

mounting devices for shock mitigation; or

j.3.b. Systems specially designed:

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

reaction or for fuel reformation;

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

reaction; and

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

reaction against a pressure of 100 kPa or

more;
2544 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

j.4. Stirling cycle engine air independent

power systems, having all of the following:

j.4.a. Devices or enclosures specially

designed for underwater noise reduction in

frequencies below 10 kHz or special

mounting devices for shock mitigation; and

j.4.b. Specially designed exhaust systems

which discharge the products of combustion

against a pressure of 100 kPa or more;

k. Skirts, seals and fingers, having any of

the following:

k.1. Designed for cushion pressures of

3,830 Pa or more, operating in a significant

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

and specially designed for surface effect

vehicles (fully skirted variety) controlled by

8A001.f; or

k.2. Designed for cushion pressures of

6,224 Pa or more, operating in a significant

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

and specially designed for surface effect

vehicles (rigid sidewalls) controlled by

8A001.g;

l. Lift fans rated at more than 400 kW

specially designed for surface effect vehicles

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

m. Fully submerged subcavitating or

supercavitating hydrofoils specially designed

for vessels controlled by 8A001.h;

n. Active systems specially designed or

modified to control automatically the seainduced motion of vehicles or vessels

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

8A001.i;

o. Propellers, power transmission systems,

power generation systems and noise

reduction systems, as follows:

o.1. Water-screw propeller or power

transmission systems, as follows, specially

designed for surface effect vehicles (fully

skirted or rigid sidewall variety), hydrofoils

or small waterplane area vessels controlled

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

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

partially-submerged or surface piercing

propellers rated at more than 7.5 MW;

o.1.b. Contrarotating propeller systems

rated at more than 15 MW;

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

a propeller;

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

exceeding 300) reduction gearing;

o.1.e. Power transmission shaft systems,

incorporating ‘‘composite’’ material

components, capable of transmitting more

than 1 MW;

o.2. Water-screw propeller, power

generation systems or transmission systems

designed for use on vessels, as follows:

o.2.a. Controllable-pitch propellers and

hub assemblies rated at more than 30 MW;

o.2.b. Internally liquid-cooled electric

propulsion engines with a power output

exceeding 2.5 MW;

o.2.c. ‘‘Superconductive’’ propulsion

engines, or permanent magnet electric

propulsion engines, with a power output

exceeding 0.1 MW;

o.2.d. Power transmission shaft systems,

incorporating ‘‘composite’’ material

components, capable of transmitting more

than 2 MW;

o.2.e. Ventilated or base-ventilated

propeller systems rated at more than 2.5 MW;

o.3. Noise reduction systems designed for

use on vessels of 1,000 tons displacement or

more, as follows:

o.3.a. Systems that attenuate underwater

noise at frequencies below 500 Hz and

consist of compound acoustic mounts for the

acoustic isolation of diesel engines, diesel

generator sets, gas turbines, gas turbine

generator sets, propulsion motors or

propulsion reduction gears, specially

designed for sound or vibration isolation,

having an intermediate mass exceeding 30%

of the equipment to be mounted;

o.3.b. Active noise reduction or

cancellation systems, or magnetic bearings,

specially designed for power transmission

systems, and incorporating electronic control

systems capable of actively reducing

equipment vibration by the generation of

anti-noise or anti-vibration signals directly to

the source;

p. Pumpjet propulsion systems having a

power output exceeding 2.5 MW using

divergent nozzle and flow conditioning vane

techniques to improve propulsive efficiency

or reduce propulsion-generated underwaterradiated noise;

8A018 Items on the International

Munitions List.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Closed and semi-closed circuit

(rebreathing) apparatus for diving and

underwater swimming, and specially

designed components for use in the

conversion of open-circuit apparatus to

military use;

b. Naval equipment, as follows:

b.1. Diesel engines of 1,500 hp and over

with rotary speed of 700 rpm or over

specially designed for submarines;

b.2. Electric motors specially designed for

submarines, i.e., over 1,000 hp, quick

reversing type, liquid cooled, and totally

enclosed;

b.3. Nonmagnetic diesel engines, 50 hp and

over, specially designed for military

purposes. (An engine shall be presumed to be

specially designed for military purposes if it

has nonmagnetic parts other than crankcase,

block, head, pistons, covers, end plates, valve

facings, gaskets, and fuel, lubrication and

other supply lines, or its nonmagnetic

content exceeds 75 percent of total weight.);

b.4. Marine boilers designed to have any of

the following characteristics:

b.4.a. Heat release rate (at maximum rating)

equal to or in excess of 190,000 BTU per hour

per cubic foot of furnace volume; or

b.4.b. Ratio of steam generated in pounds

per hour (at maximum rating) to the dry

weight of the boiler in pounds equal to or in

excess of 0.83;

b.5. Submarine and torpedo nets; and

b.6. Components, parts, accessories, and

attachments for the above.

8A992 Underwater systems or equipment,

not controlled by 8A002, and specially

designed parts therefor.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Underwater vision systems, as

follows:

a.1. Television systems (comprising

camera, lights, monitoring and signal

transmission equipment) having a limiting

resolution when measured in air of more

than 500 lines and specially designed or

modified for remote operation with a

submersible vehicle; or

a.2. Underwater television cameras having

a limiting resolution when measured in air of

more than 700 lines;

Technical Note: Limiting resolution in

television is a measure of horizontal

resolution usually expressed in terms of the

maximum number of lines per picture height

discriminated on a test chart, using IEEE

Standard 208/1960 or any equivalent

standard.

b. Photographic still cameras specially

designed or modified for underwater use,

having a film formate of 35 mm or larger, and

having autofocussing or remote focussing

specially designed for underwater use;

c. Stroboscopic light systems, specially

designed or modified for underwater use,

capable of a light output energy of more than

300 J per flash;

d. Other underwater camera equipment,

n.e.s.;

e. Other submersible systems, n.e.s.;

f. Boats, n.e.s., including inflatable boats,

and specially designed components therefor,

n.e.s.;

g. Marine engines (both inboard and

outboard) and submarine engines, n.e.s; and

specially designed parts therefor, n.e.s.;

h. Other self-contained underwater

breathing apparatus (scuba gear) and related

equipment, n.e.s.;

i. Pressure regulators, air cylinders, hoses,

valves and backpacks for the apparatus

described in paragraph 8A002.q;

j. Life jackets, inflation cartridges,

compasses, wetsuits, masks, fins, weight

belts, and dive computers;

k. Underwater lights and propulsion

equipment;

l. Air compressors and filtration systems

specially designed for filling air cylinders.
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2545

B. Test, Inspection and Production

Equipment

8B001 Water tunnels, having a

background noise of less than 100 dB

(reference 1 μPa, 1 Hz) in the frequency

range from 0 to 500 Hz, designed for

measuring acoustic fields generated by a

hydro-flow around propulsion system

models.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

C. Materials

8C001 Syntactic foam designed for

underwater use, having all of the following

(see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definition: Syntactic foam consists of

hollow spheres of plastic or glass

embedded in a resin matrix

Items: a. Designed for marine depths

exceeding 1,000 m; and

b. A density less than 561 kg/m3.

D. Software

8D001 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

materials controlled by 8A (except 8A018 or

8A992), 8B or 8C.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes, except for exports or reexports to

destinations outside of Austria, Belgium,

Canada, Denmark, Finland, France,

Germany, Greece, Ireland, Italy,

Luxembourg, the Netherlands, Portugal,

Spain, Sweden, or the United Kingdom of

‘‘software’’ specially designed for the

‘‘development’’ or ‘‘production’’ of

equipment controlled by 8A001.b,

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

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

8D002 Specific ‘‘software’’ specially

designed or modified for the

‘‘development’’, ‘‘production’’, repair,

overhaul or refurbishing (re-machining) of

propellers specially designed for

underwater noise reduction.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: $ value

Related Controls: See also 8D992

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

8D992 ‘‘Software’’ specially designed or

modified for the ‘‘development’’,

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

controlled by 8A992.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

E. Technology

8E001 ‘‘Technology’’ according to the

General Technology Note for the

‘‘development’’ or ‘‘production’’ of

equipment or materials controlled by 8A

(except 8A018 or 8A992), 8B or 8C.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes, except for exports or reexports to

destinations outside of Austria, Belgium,

Canada, Denmark, Finland, France,

Germany, Greece, Ireland, Italy,

Luxembourg, the Netherlands, Portugal,

Spain, Sweden, or the United Kingdom of

‘‘technology’’ for items controlled by

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

TSR: Yes

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

8E002 Other ‘‘technology’’, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: Yes

List of Items Controlled

Unit: N/A

Related Controls: See also 8E992

Related Definitions: N/A

Items: a. ‘‘Technology’’ for the

‘‘development’’, ‘‘production’’, repair,

overhaul or refurbishing (re-machining) of

propellers specially designed for underwater

noise reduction;

b. ‘‘Technology’’ for the overhaul or

refurbishing of equipment controlled by

8A001, 8A002.b, 8A002.j, 8A002.o or

8A002.p.

8E992 ‘‘Technology’’ for the

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

equipment controlled by 8A992.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading‘
2546 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

EAR99 Items subject to the EAR that are

not elsewhere specified in this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

Category 9—Propulsion Systems, Space

Vehicles and Related Equipment

A. Systems, Equipment and Components

(For propulsion systems designed or rated

against neutron or transient ionizing

radiation, see the U.S. Munitions List, 22

CFR part 121.)

9A001 Aero gas turbine engines

incorporating any of the ‘‘technologies’’

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

of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to only to

those engines that meet

the characteristics listed

in 9A101.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: See also 9A101 and 9A991

Related Definitions: N/A

Items: a. Not certified for the specific ‘‘civil

aircraft’’ for which they are intended;

Note: For the purpose of the ‘‘civil aircraft’’

certification process, a number of up to 16

civil certified engines, assemblies, or

components including spares is considered

appropriate.

b. Not certified for civil use by the aviation

authorities in Country Group A:1;

c. Designed to cruise at speeds exceeding

Mach 1.2 for more than thirty minutes.

9A002 Marine gas turbine engines with an

ISO standard continuous power rating of

24,245 kW or more and a specific fuel

consumption not exceeding 0.219 kg/kWh

in the power range from 35 to 100%, and

specially designed assemblies and

components therefor.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definition: The term ‘‘marine gas

turbine engines’’ includes those industrial,

or aero-derivative, gas turbine engines

adapted for a ship’s electric power

generation or propulsion

Items: The list of items controlled is

contained in the ECCN heading

9A003 Specially designed assemblies and

components, incorporating any of the

‘‘technologies’’ controlled by 9E003.a, for

gas turbine engine propulsion systems, as

follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definition: N/A

Items: a. Controlled by 9A001;

b. Whose design or production origins are

either countries in Country Group D:1 or

unknown to the manufacturer.

9A004 Space launch vehicles and

‘‘spacecraft’’.

License Requirements

Reason for Control: NS, SI, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

SI applies to commercial communications

satellites controlled by 9A004 that include the individual munitions list systems, components, or parts identified on

the United States Munitions List (USML).

22 CFR part 121. See § 742.14 of the EAR

for additional information.

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; components,

parts and accessories in $ value

Related Controls: (1) See also 9A104 (2) This

entry describes space launch vehicles (not

including their payloads) and other

‘‘spacecraft’’. (3) Commercial

communications satellites are subject to

Commerce licensing jurisdiction even if

they include the individual munitions list

systems, components, or parts identified

on the United States Munitions List

(USML). In all other cases, these systems,

components, or parts remain on the USML,

except that satellite fuel, ground support

equipment, test equipment, payload

adapter/interface hardware, replacement

parts for the preceding items, and nonembedded, solid propellant orbit transfer

orbit transfer engines (‘‘kick motors’’) are

subject to Commerce licensing jurisdiction

(and not controlled on the USML) when

they are to be utilized for the specific

commercial communications satellite

launch, provided the solid propellant ‘‘kick

motor’’ being utilized is not specifically

designed or modified for military use or

capable of being restarted after

achievement of mission orbit (such orbit

transfer engines are always controlled on

USML). Technical data (as defined in

120.10 of the International Traffic in Arms

Regulations (ITAR)) and defense services

(as defined in 120.9 of the ITAR) related to

the systems, components, or parts on the

USML are always controlled under the

USML, even when the satellite itself is

licensed by the Department of Commerce.

(4) Military communications satellites or

multi-mission satellites, including

commercial communications satellites

having additional non-communication

mission(s) or payload(s) are under the

jurisdiction of the Department of State. (5)

Other ‘‘spacecraft’’ not subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls

under 22 CFR part 121. This entry includes

the international space station being

developed, launched and operated under

the supervision of the U.S. National

Aeronautics and Space Administration.

Exporters requesting a license from the

Department of Commerce for spacecraft

other than the international space station

or a commercial communications satellite

specified in 9A004 must provide a

statement from the Department of State,

Office of Defense Trade Controls, verifying

that the item intended for export is under

the licensing jurisdiction of the

Department of Commerce. (6) All other

spacecraft, including all other satellites not

controlled under 9A004 and components,

parts, accessories, attachments, associated

equipment, and ground support equipment

therefor are subject to the export licensing

authority of the Department of State. (7)

Items on the USML that are included in a

commercial communications satellite to be

exported under a Commerce license must

be specifically listed on the Commerce

license application. Such items when not

included in a specific commercial

communications satellite are under the

jurisdiction of the Department of State. (8)

Technical data provided to the launch

provider (form, fit, function, mass,

electrical, mechanical, dynamic/

environmental, telemetry, safety, facility,

launch pad access, and launch parameters)

for commercial communications satellites

that describe the interfaces for mating of

the satellite to the launch vehicle and

parameters for launch (e.g. orbit, timing) of

the satellite, are under Commerce

jurisdiction. Other technical data and all

defense services and technical assistance

for satellite and/or launch vehicles,

including compatibility, integration, or

processing data are controlled and subject

to licensing by the Department of State, in

accordance with 22 CFR parts 120 through

130. Approval for such technical assistance

will require a Technical Assistance

Agreement (TAA) and may require U.S.

Government oversight. (9) Once a satellite

is launched, items remaining unlaunched

are required to be returned immediately to
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2547

the United States. If the satellite launch is

canceled or unduly delayed, the satellite

and all support equipment must be

returned immediately to the United States.

(10) Detailed design, development,

production, or manufacturing data for all

spacecraft, including satellites, regardless

of which agency has jurisdiction over the

export, and all systems components, parts,

accessories, attachments, and associated

equipment (including ground support

equipment) specifically designed or

modified for articles on the USML

(including software source code and

operating algorithms) are subject to

licensing by the Department of State. This

does not include that level of technical

data (including marketing data) necessary

and reasonable for a purchaser to have

assurance that a U.S.-built item intended to

operate in space has been designed,

manufactured and tested in conformance

with specified contract requirements (e.g.,

operational performance, reliability,

lifetime, product quality, or delivery

expectations) as well as data necessary for

normal in-orbit satellite operations, to

evaluate in-orbit anomalies, and to operate

and maintain associated ground station

equipment (except encryption hardware).

(11) For the control status of products

contained in ‘‘spacecraft’’ payloads, see the

appropriate categories

Related Definitions: Transferring registration

or operational control to any foreign person

of any commercial communications

satellite controlled by this entry must be

authorized on a license issued by the

Bureau of Export Administration. This

requirement applies whether the

commercial communications satellite is

physically located in the United States or

abroad

Items: The list of items controlled is

contained in the ECCN heading

9A005 Liquid rocket propulsion systems

containing any of the systems or

components controlled by 9A006. (These

items are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. See 22

CFR part 121.)

9A006 Systems and components specially

designed for liquid rocket propulsion

systems. (These items are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

9A007 Solid rocket propulsion systems.

(These items are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

See 22 CFR part 121.)

9A008 Components specially designed for

solid rocket propulsion systems. (These

items are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. See 22

CFR part 121.)

9A009 Hybrid rocket propulsion systems.

(These items are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

See 22 CFR part 121.)

9A010 Specially designed components,

systems and structures for launch vehicles,

launch vehicle propulsion systems or

‘‘spacecraft’’. (These items are subject to

the export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

9A011 Ramjet, scramjet or combined cycle

engines and specially designed

components therefor. (These items are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. See 22 CFR part

121.)

9A018 Equipment on the International

Munitions List.

License Requirements

Reason for Control: NS, RS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

RS applies to 9A018.a and

b.

RS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $1500

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: (a) Parachute systems

designed for use in dropping military

equipment, braking military aircraft,

slowing spacecraft descent, or retarding

weapons delivery; AND (b) Instrument

flight trainers for combat simulation are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. (See 22 CFR part

121, Category VIII.)

Related Definition: This entry controls

parachute systems designed for use in

dropping personnel only.

Items: a. Military trainer aircraft bearing ‘‘T’’

designations:

a.1. Using reciprocating engines; or

a.2. Turbo prop engines with less than 600

horse power (h.p.);

a.3. T–37 model jet trainer aircraft; and

a.4. Specially designed component parts.

b. Vehicles specially designed or modified

for military purposes. (See § 770,

Interpretation 8)

c. Pressure refuelers, pressure refueling

equipment, and equipment specially

designed to facilitate operations in confined

areas; and ground equipment, n.e.s,

developed specially for military aircraft and

helicopters, and specially designed parts and

accessories, n.e.s.;

d. Pressurized breathing equipment

specially designed for use in military aircraft

and helicopters;

e. Military parachutes and complete

canopies, harnesses, and platforms and

electronic release mechanisms therefor,

except such types as are in normal sporting

use;

f. Military instrument flight trainers, except

for combat simulation; and components,

parts, attachments and accessories specially

designed for such equipment.

9A018 Equipment on the International

Munitions List.

License Requirements

Reason for Control: NS, RS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

RS applies to 9A018. a

and b.

RS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $1500

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: (1) This entry controls

parachute systems designed for use in

dropping personnel only. (2) Parachute

systems designed for use in dropping

military equipment, braking military

aircraft, slowing spacecraft descent, or

retarding weapons delivery; AND

Instrument flight trainers for combat

simulation are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

(See 22 CFR part 121.)

Related Definitions: N/A

Items: a. Military trainer aircraft bearing ‘‘T’’

designations:

a.1. Using reciprocating engines; or

a.2. Turbo prop engines with less than 600

horse power (h.p.);

a.3. T–37 model jet trainer aircraft; and

a.4. Specially designed component parts.

b. Ground vehicles and components

therefor, specially designed or modified for

military purposes. (See part 770 of the EAR,

Interpretation 8)

c. Pressurized breathing equipment

specially designed for use in military aircraft

and helicopters;

d. Military parachutes;

e. Military instrument flight trainers,

except for combat simulation; and

components, parts, attachments and

accessories specially designed for such

equipment.

9A101 Lightweight turbojet and turbofan

engines (including turbocompound

engines) usable in ‘‘missiles’’, other than

those controlled by 9A001, as follows (see

List of Items Controlled).

License Requirements

Reason for Control: MT, AT
2548 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: (1) Items controlled in

9A101.b are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls (see 22

CFR part 121). (2) Engines designed or

modified for missiles (except engines for

non-military unmanned air vehicles

[UAVs] or remotely piloted vehicles

[RPVs]), regardless of thrust or specific fuel

consumption, are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

(See 22 CFR part 121.)

Related Definitions: N/A

Items: a. Engines having both of the following

characteristics:

a.1. Maximum thrust value greater than

1000 N (achieved un-installed) excluding

civil certified engines with a maximum

thrust value greater than 8,890 N (achieved

un-installed), and

a.2. Specific fuel consumption of 0.13 kg/

N/hr or less (at sea level static and standard

conditions); or

b. Engines designed or modified for use in

‘‘missiles’’.

9A104 Sounding rockets, capable of a

range of at least 300 km. (These items are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. See 22 CFR part

121.)

9A105 Liquid propellant rocket engines.

(These items are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

See 22 CFR part 121.)

9A106 Liquid rocket propulsion systems

or components, other than those controlled

by 9A006, usable in rockets with a range

capability of 30 Km or greater, as follows

(see List of Items Controlled).

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment and components in number;

parts and accessories in $ value

Related Controls: Items described in 9A106.a,

.b, and .c are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls (See 22

CFR part 121)

Related Definitions: N/A

Items: a. Ablative liners for thrust or

combustion chambers;

b. Rocket nozzles;

c. Thrust vector control sub-systems;

Technical Note: Examples of methods of

achieving thrust vector control controlled by

9A106.c includes:

1. Flexible nozzle;

2. Fluid or secondary gas injection;

3. Movable engine or nozzle;

4. Deflection of exhaust gas steam (jet

vanes or probes); or

5. Thrust tabs.

d. Liquid and slurry propellant (including

oxidizers) control systems, and specially

designed components therefor, designed or

modified to operate in vibration

environments of more than 10 g rms between

20 Hz and 2000 Hz.

Note: The only servo valves and pumps

controlled by 9A106.d, are the following:

a. Servo valves designed for flow rates of

24 liters per minute or greater, at an absolute

pressure of 7 Mpa or greater, that have an

actuator response time of less than 100 ms;

b. Pumps, for liquid propellants, with shaft

speeds equal to or greater than 8,000 rpm or

with discharge pressures equal to or greater

than 7 Mpa.

9A107 Solid propellant rocket engines,

usable in rockets with a range capability of

300 Km or greater, other than those

controlled by 9A007, having total impulse

capacity of 0.841 Mns or greater. (These

items are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. See 22

CFR part 121.)

9A108 Solid rocket propulsion

components, other than those controlled by

9A008, usable in rockets with a range

capability of 300 Km or greater. (These

items are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. See 22

CFR part 121.)

9A109 Hybrid rocket motors, usable in

rockets with a range capability of 300 Km

or greater, other than those controlled by

9A009, and specially designed components

therefor. (These items are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

9A110 Composite structures, laminates

and manufactures thereof, other than those

controlled by entry 9A010, specially

designed for use in ‘‘missiles’’ or the

subsystems controlled by entries 9A005,

9A007, 9A105.a, 9A106 to 9A108, 9A116 or

9A119, and resin impregnated fiber

prepregs and metal coated fiber preforms

therefor, made either with organic matrix or

metal matrix utilizing fibrous or filamentary

reinforcements having a specific tensile

strength greater than 7.62 μ 104 m and a

specific modulus greater than 3.18 x 106 m.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Kilograms

Related Controls: (1) See also 1A002, 1C010,

and 1C210. (2) The only resin impregnated

fiber prepregs controlled by entry 9A110

are those using resins with a glass

transition temperature (Tg), after cure,

exceeding 418 K (145° C) as determined by

ASTM D4065 or equivalents. (3)

‘‘Composite structures, laminates, and

manufactures thereof, specially designed

for use in missile systems are under the

licensing authority of the Office of Defense

Trade Controls, U.S. Department of State,

except those specially designed for nonmilitary unmanned air vehicles controlled

in 9A120

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9A111 Pulse jet engines, usable in

‘‘missiles’’, and specially designed

components therefor. (These items are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. See 22 CFR part

121.)

9A115 Launch support equipment,

designed or modified for ‘‘missiles’’. (These

items are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. See 22

CFR part 121.)

9A116 Reentry vehicles, usable in

‘‘missiles’’, and equipment designed or

modified therefor. (These items are subject

to the export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

9A117 Staging mechanisms, separation

mechanisms, and interstages, usable in

‘‘missiles’’. (These items are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

9A118 Devices to regulate combustion

usable in engines which are usable in

rockets with a range capability greater than

300 Km or
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2549

greater, controlled by 9A011 or 9A111.

(These items are subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls.

See 22 CFR part 121.)

9A119 Individual rocket stages, usable in

rockets with a range capability greater than

300 Km or greater, other than those

controlled by 9A005, 9A007, 9A009, 9A105,

9A107 and 9A109. (These items are subject

to the export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

9A120 Non-military unmanned air vehicle

systems (UAVs) and remotely piloted

vehicles (RPVs) that are capable of a

maximum range of at least 300 kilometers

(km), regardless of payload.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9A980 Nonmilitary mobile crime science

laboratories; and parts and accessories,

n.e.s.

License Requirements

Reason for Control: CC

Control(s) Country Chart

CC applies to entire entry CC Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9A990 Diesel engines, n.e.s., and tractors

and specially designed parts therefor, n.e.s.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry

except 9A990.a.

AT Column 1

AT applies to 9A990.a

only.

AT Column 2

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Diesel engines, n.e.s., for trucks,

tractors, and automotive applications of

continuous brake horsepower of 400 BHP

(298 kW) or greater (performance based on

SAE J1349 standard conditions of 100 Kpa

and 25°)

b. Off highway wheel tractors of carriage

capacity 9 mt (20,000 lbs) or more; and parts

and accessories, n.e.s.

c. On-Highway tractors, with single or

tandem rear axles rated for 9 mt per axel

(20,000 lbs.) or greater and specially designed

parts.

9A991 ‘‘Aircraft’’, n.e.s., and gas turbine

engines not controlled by 9A001 or 9A101

and parts and components, n.e.s.

License Requirements

Reason for Control: AT, UN

Control(s) Country Chart

AT applies to entire entry AT Column 1

UN applies to 9A991.a ..... Rwanda

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: N/A

Items: a. Military aircraft, demilitarized (not

specifically equipped or modified for

military operation), as follows:

a.1. Cargo, ‘‘C–45 through C–118’’

inclusive, and ‘‘C–121,’’

a.2. Trainers, bearing a ‘‘T’’ designation

and using piston engines,

a.3. Utility, bearing a ‘‘U’’ designation and

using piston engines,

a.4. Liaison, bearing an ‘‘L’’ designation,

and

a.5. Observation, bearing an ‘‘O’’

designation and using piston engines;

b. Civil aircraft; and

Note: Specify make and model of aircraft

and type of avionic equipment on aircraft.

c. Aero gas turbine engines, and specially

designed parts therefor.

Note: 9A991.c does not control aero gas

turbine engines that are destined for use in

civil ‘‘aircraft’’ and that have been in use in

bona fide civil ‘‘aircraft’’ for more than eight

years.

d. Aircraft parts and components, n.e.s.

e. Pressurized aircraft breathing

equipment, n.e.s.; and specially designed

parts therefor, n.e.s.

9A992 Complete canopies, harnesses, and

platforms and electronic release

mechanisms therefor, except such types as

are in normal sporting use.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: N/A

Items: The List of Items Controlled is

contained in the ECCN heading

B. Test, Inspection and Production

Equipment

9B001 Specially designed equipment,

tooling and fixtures, as follows (see List of

Items Controlled), for manufacturing or

measuring gas turbine blades, vanes or tip

shroud castings.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies only to equipment for engines that

meet the characteristics

described in 9A001.

MT Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

LVS: $5000, except N/A for MT

GBS: Yes, except N/A for MT

CIV: Yes, except N/A for MT

List of Items Controlled

Unit: $ value

Related Controls: For specially designed

production equipment of systems, subsystems and components controlled by

9A005 to 9A009, 9A011, 9A101, 9A105 to

9A109, 9A111, and 9A116 to 9A119 usable

in ‘‘missiles’’ see 9B115. See also 9B991

Related Definitions: N/A

Items: a. Directional solidification or single

crystal casting equipment;

b. Ceramic cores or shells;

c. Ceramic core manufacturing equipment

or tools;

d. Ceramic shell wax pattern preparation

equipment.

9B002 On-line (real time) control systems,

instrumentation (including sensors) or

automated data acquisition and processing

equipment, specially designed for the

‘‘development’’ of gas turbine engines,

assemblies or components incorporating

‘‘technologies’’ controlled by 9E003.a.

License Requirements

Reason for Control: NS, MT, AT
2550 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies only to equipment for engines that

meet the characteristics

described in 9A001.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000, except N/A for MT

GBS: Yes, except N/A for MT

CIV: Yes, except N/A for MT

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9B003 Equipment specially designed for

the ‘‘production’’ or test of gas turbine

brush seals designed to operate at tip

speeds exceeding 335 m/s, and

temperatures in excess of 773 K (500≥C),

and specially designed components or

accessories therefor.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies only to equipment for engines that

meet the characteristics

described in 9A001.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000, except N/A for MT

GBS: Yes, except N/A for MT

CIV: Yes, except N/A for MT

List of Items Controlled

Unit: $ value

Related Controls: See also 9B115

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9B004 Tools, dies or fixtures for the solid

state joining of ‘‘superalloy’’, titanium or

intermetallic airfoil-to-disk combinations

described in 9E003.a.3 or 9E003.a.6 for gas

turbines.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies only to equipment for engines that

meet the characteristics

described in 9A001.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000, except N/A for MT

GBS: Yes, except N/A for MT

CIV: Yes, except N/A for MT

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9B005 On-line (real time) control systems,

instrumentation (including sensors) or

automated data acquisition and processing

equipment, specially designed for use with

any of the following wind tunnels or devices

(see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 9B105

Related Definitions: N/A

Items: a. Wind tunnels designed for speeds

of Mach 1.2 or more, except those specially

designed for educational purposes and

having a test section size (measured laterally)

of less than 250 mm;

Technical Note: Test section size in

9B005.a means the diameter of the circle, or

the side of the square, or the longest side of

the rectangle, at the largest test section

location.

b. Devices for simulating flowenvironments at speeds exceeding Mach 5,

including hot-shot tunnels, plasma arc

tunnels, shock tubes, shock tunnels, gas

tunnels and light gas guns; or

c. Wind tunnels or devices, other than twodimensional sections, capable of simulating

Reynolds number flows exceeding 25×106.

9B006 Acoustic vibration test equipment

capable of producing sound pressure levels

of 160 Db or more (referenced to 20 uPa)

with a rated output of 4 kW or more at a test

cell temperature exceeding 1,273 K (1,000

≥C), and specially designed quartz heaters

therefor.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $3000

GBS: Yes

CIV: Yes

List of Items Controlled

Unit: Number

Related Controls: See also 9B106. Note that

some items in 9B006 may also be

controlled under 9B106

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9B007 Equipment specially designed for

inspecting the integrity of rocket motors

using non-destructive test (NDT)

techniques other than planar X-ray or basic

physical or chemical analysis.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GSB N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9B008 Transducers specially designed for

the direct measurement of the wall skin

friction of the test flow with a stagnation

temperature exceeding 833 K (560 ≥C).

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GSB N/A

CIV: N/A

List of Items Controlled

Unit: Number

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9B009 Tooling specially designed for

producing turbine engine powder

metallurgy rotor components capable of

operating at stress levels of 60% of ultimate

tensile strength (UTS) or more and metal

temperatures of 873 K (600 ≥C) or more.

License Requirements

Reason for Control: NS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 2

AT applies to entire entry AT Column 1

License Exceptions

LVS: $5000

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and

accessories in $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2551

9B105 Wind tunnels for speeds of Mach

0.9 or more, usable for ‘‘missiles’’ and their

subsystems.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 9B005

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9B106 Environmental chambers and

anechoic chambers, as follows (see List of

Items Controlled).

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Environmental chambers capable of

simulating the following flight conditions:

a.1. Altitudes of 15,000 m or greater; or

a.2. Temperature of at least 223 K (¥50°

C) to 398 K (+ 125° C) and vibration

environments of 10 g rms or greater between

20 Hz and 2,000 Hz and imparting forces of

5 Kn or greater.

b. Anechoic chambers capable of

simulating the following flight conditions:

b.1. Altitudes of 15,000 m or greater; or

b.2. Temperature of at least 223 K (50° C)

to 398 K (+ 125° C) and acoustic

environments at an overall sound pressure

level of 140 Db or greater (referenced to 20

microPa) or with a rated power output of 4

kW or greater.

9B115 Specially designed ‘‘production

equipment’’ for the systems, sub-systems

and components controlled by 9A005 to

9A009, 9A011, 9A101, 9A105 to 9A109,

9A111, 9A116 to 9A119. (These items are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. See 22 CFR part

121.)

9B116 Specially designed ‘‘production

facilities’’ for the systems, sub-systems,

and components controlled by 9A004 to

9A009, 9A011, 9A101, 9A104 to 9A109,

9A111, 9A116 to 9A119. (These items are

subject to the export licensing authority of

the U.S. Department of State, Office of

Defense Trade Controls. See 22 CFR part

121.)

9B117 Test benches and test stands for

solid or liquid propellant rockets or rocket

motors, having either of the following

characteristics (see List of Items

Controlled).

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: See also 9B990

Related Definitions: N/A

Items: a. The capacity to handle more than

90 Kn of thrust; or

b. Capable of simultaneously measuring

the three axial thrust components.

9B990 Vibration test equipment and

specially designed parts and components,

n.e.s.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9B991 Specially designed equipment,

tooling or fixtures, not controlled by 9B001,

as described in the List of Items Controlled,

for manufacturing or measuring gas turbine

blades, vanes or tip shroud castings.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

LVS: N/A

GBS: N/A

CIV: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. Automated equipment using nonmechanical methods for measuring airfoil

wall thickness;

b. Tooling, fixtures or measuring

equipment for the ‘‘laser’’, water jet or ECM/

EDM hole drilling processes controlled by

9E003.c;

c. Ceramic core leaching equipment;

d. Ceramic shell burn out or firing

equipment.

C. Materials [Reserved]

D. Software

9D001 ‘‘Software’’ required for the

‘‘development’’ of equipment or

‘‘technology’’ controlled by 9A (except

9A018, 9A990 or 9A991), 9B (except 9B990

or 9B991) or 9E003.

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to ‘‘software’’

for items controlled by

9A001 to 9A003, 9B001

to 9B009, 9E003.

NS Column 1

MT applies to ‘‘software’’

for equipment controlled by 9A001,

9A101, 9A106, 9A110,

9A120, 9B001, 9B002,

9B003, 9B004, 9B005,

9B007, 9B105, 9B106,

9B116, and 9B117 for

MT reasons.

MT Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) See also 9D101. (2)

‘‘Software’’ ‘‘required’’ for the

‘‘development’’ of items controlled by

9A004 is subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. (See 22

CFR part 121.) (3) ‘‘Software’’ ‘‘required’’

for the ‘‘development’’ of equipment or

‘‘technology’’ subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls

is also subject to the same licensing

jurisdiction. (See 22 CFR part 121.)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9D002 ‘‘Software’’ required for the

‘‘production’’ of equipment controlled by 9A

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

(except 9B990 or 9B991).

License Requirements

Reason for Control: NS, MT, AT
2552 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

Control(s) Country Chart

NS applies to ‘‘software’’

for equipment controlled by 9A001 to

9A003 or 9B001 to

9B009.

NS Column 1

MT applies to ‘‘software’’

for equipment controlled by 9A001,

9A101, 9A106, 9A110,

9A120, 9B001, 9B002,

9B003, 9B004, 9B005,

9B007 9B105, 9B106,

9B116, and 9B117 for

MT reasons.

MT Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: (1) ‘‘Software’’ ‘‘required’’

for the ‘‘production’’ of items controlled by

9A004 is subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. (See 22

CFR part 121.) (2) ‘‘Software’’ ‘‘required’’

for the ‘‘production’’ of equipment or

‘‘technology’’ subject to the export

licensing authority of the U.S. Department

of State, Office of Defense Trade Controls

is also subject to the same licensing

jurisdiction. (See 22 CFR part 121.)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9D003 ‘‘Software’’ required for the ‘‘use’’

of full authority digital electronic engine

controls (FADEC) for propulsion systems

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

9A991) or equipment controlled by 9B

(except 9B990 or 9B991), as follows (see

List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to ‘‘software’’

for ‘‘use’’ of FADEC for

equipment controlled by

9A001 to 9A003.

NS Column 1

MT applies to ‘‘software’’

required for the ‘‘use’’

of FADEC for gas turbine engines controlled

by 9A101, 9A106, or

9A110.

MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: Yes, except N/A for MT

TSR: Yes, except N/A for MT

List of Items Controlled

Unit: $ value

Related Controls: (1) See also 9D103. (2)

‘‘Software’’ ‘‘required’’ for the ‘‘use’’ of

items controlled by 9A004 is subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. (See 22 CFR part 121.) (3)

‘‘Software’’ ‘‘required’’ for the ‘‘use’’ of

equipment or ‘‘technology’’ subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls is also subject to the same

licensing jurisdiction. (See 22 CFR part

121.)

Related Definitions: N/A

Items: a. ‘‘Software’’ in digital electronic

controls for propulsion systems, aerospace

test facilities or air breathing aero-engine test

facilities;

b. Fault-tolerant ‘‘software’’ used in

‘‘FADEC’’ systems for propulsion systems

and associated test facilities.

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

List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: a. 2D or 3D viscous ‘‘software’’

validated with wind tunnel or flight test data

required for detailed engine flow modelling;

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

engines, assemblies or components, specially

designed to collect, reduce and analyze data

in real time, and capable of feedback control,

including the dynamic adjustment of test

articles or test conditions, as the test is in

progress;

c. ‘‘Software’’ specially designed to control

directional solidification or single crystal

casting;

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

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

of active compensating systems for rotor

blade tip clearance control.

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

embedded in uncontrolled equipment or

required for maintenance activities

associated with the calibration or repair or

updates to the active compensating clearance

control system.

9D018 ‘‘Software’’ for the ‘‘use’’ of

equipment controlled by 9A018.

License Requirements

Reason for Control: NS, RS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

RS applies to 9A018.a and

.b.

RS Column 2

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: Yes for Australia, Japan, New Zealand,

and NATO only

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9D101 ‘‘Software’’ specially designed for

the ‘‘use’’ of goods controlled by 9B105,

9B106, 9B116 or 9B117.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9D102 ‘‘Software’’ specially designed for

the ‘‘use’’ of items controlled by 9A101,

9A106, 9A110, and 9A120.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: ‘‘Software’’ for items

controlled by 9A115 are subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls (see 22 CFR part 121)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9D103 ‘‘Software’’ specially designed for

modelling, simulation or design integration

of ‘‘missiles’’, or the subsystems controlled

by 9A005, 9A007, 9A105.a, 9A106, 9A108,

9A116 or 9A119. (This entry is subject to the

export licensing authority of the U.S.

Department of State, Office of Defense

Trade Controls. See 22 CFR part 121.)

9D990 ‘‘Software’’, n.e.s., for the

‘‘development’’ or ‘‘production’’ of

equipment controlled by 9A990 or 9B990.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to ‘‘software’’

for equipment under

9A990 except 9A990.a.

AT Column 1
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2553

Control(s) Country Chart

AT applies to ‘‘software’’

for equipment under

9A990.a only.

AT Column 2

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9D991 ‘‘Software’’, for the ‘‘development’’

or ‘‘production’’ of equipment controlled by

9A991 or 9B991.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

E. Technology

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

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

for gas turbine engines remains controlled

when used as ‘‘use’’ ‘‘technology’’ for repair,

rebuild and overhaul. Excluded from 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.

9E001 ‘‘Technology’’ according to the

General Technology Note for the

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

controlled by 9A001.c, 9A004 to 9A011, 9B

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

9D990 or 9D991).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to ‘‘technology’’ for items controlled by 9A001.c,

9B001 to 9B009, 9D001

to 9D004.

NS Column 1

MT applies to ‘‘technology’’ for items controlled by 9B001,

9B002, 9B003, 9B004

9B005, 9B007, 9B105,

9B106, 9B116, 9B117,

9D001, 9D002, 9D003,

and 9D004 for MT reasons.

MT Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: (1) See also 9E101 and

1E002.f (for controls on ‘‘technology’’ for

the repair of controlled structures,

laminates or materials). (2) The

‘‘technology’’ required for the

‘‘development’’ of equipment controlled by

9A004 is subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. (See 22

CFR part 121.) (3) ‘‘Technology’’, required

for the ‘‘development’’ of equipment or

‘‘software’’ subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls, is also

subject to the same licensing jurisdiction.

(See 22 CFR part 121)

Related Definitions: ‘‘Development’’ or

‘‘production’’ ‘‘technology’’ controlled by

9E for gas turbine engines remains

controlled when used as ‘‘use’’

‘‘technology’’ for repair, rebuild and

overhaul. Excluded from control are:

technology, 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

Items: The list of items controlled is

contained in the ECCN heading

9E002 ‘‘Technology’’ according to the

General Technology Note for the

‘‘production’’ of equipment controlled by

9A001.c, 9A004 to 9A011 or 9B (except

9B990 or 9B991).

License Requirements

Reason for Control: NS, MT, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

MT applies to ‘‘technology’’ for equipment

controlled by 9B001,

9B002, 9B003, 9B004,

9B005, 9B007, 9B105,

9B106, 9B116, and

9B117 for MT reasons.

MT Column 1

AT applies to entire entry AT Column 1

License Requirement Notes: See § 743.1 of

the EAR for reporting requirements for

exports under License Exceptions.

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: (1) See also 9E102. (2) The

‘‘technology’’ required for the

‘‘development’’ of equipment controlled by

9A004 is subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls. (See 22

CFR part 121.) (3) ‘‘Technology’’, required

for the ‘‘development’’ of equipment or

‘‘software’’ subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls, is also

subject to the same licensing jurisdiction.

(See 22 CFR part 121)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

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

List of Items Controlled).

License Requirements

Reason for Control: NS, SI, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

SI applies to 9E003.a.1 through a.12 and f.

See § 742.14 of the EAR for additional information.

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

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: (1) Hot section

‘‘technology’’ specifically designed,

modified, or equipped for military uses or

purposes, or developed principally with

U.S. Department of Defense funding, is

subject to the licensing authority of the

U.S. Department of State. (2) ‘‘Technology’’

is subject to the EAR when actually

applied to a commercial aircraft engine

program. Exporters may seek to establish

commercial application either on a caseby-case basis through submission of

documentation demonstrating application

to a commercial program in requesting an

export license from the Department

Commerce in respect to a specific export,

or in the case of use for broad categories

of aircraft, engines, or components, a

commodity jurisdiction determination

from the Department of State.

Related Definitions: N/A

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

‘‘development’’, ‘‘production’’, or overhaul of

the following commercial aircraft engines,

components or systems:

a.1. Gas turbine blades, vanes or tip

shrouds made from directionally solidified

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

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

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

the average property values;

a.2. Multiple domed combustors operating

at average burner outlet temperatures

exceeding 1,643 K (1,370° C) or combustors

incorporating thermally decoupled

combustion liners, non-metallic liners or

non-metallic shells;

a.3. Components manufactured from

organic ‘‘composite’’ materials designed to

operate above 588 K (315° C), or from metal

‘‘matrix’’ ‘‘composite’’, ceramic ‘‘matrix’’,

intermetallic or intermetallic reinforced

materials controlled by 1A002 or 1C007;

a.4. Uncooled turbine blades, vanes, tipshrouds or other components designed to
2554 Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations

operate at gas path temperatures of 1,323 K

(1,050° C) or more;

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

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

of 1,643 K (1,370°C) or more;

a.6. Airfoil-to-disk blade combinations

using solid state joining;

a.7. Gas turbine engine components using

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

by 2E003.b;

a.8. Damage tolerant gas turbine engine

rotating components using powder

metallurgy materials controlled by 1C002.b;

a.9. Full authority digital electronic engine

control (FADEC) for gas turbine and

combined cycle engines and their related

diagnostic components, sensors and specially

designed components;

a.10. Adjustable flow path geometry and

associated control systems for:

a.10.a. Gas generator turbines;

a.10.b. Fan or power turbines;

a.10.c. Propelling nozzles;

Notes: 1. Adjustable flow path geometry

and associated control systems do not

include inlet guide vanes, variable pitch fans,

variable stators or bleed valves for

compressors.

2. 9E003.a.10 does not control

‘‘development’’ or ‘‘production’’

‘‘technology’’ for adjustable flow path

geometry for reverse thrust.

a.11. Rotor blade tip clearance control

systems employing active compensating

casing ‘‘technology’’ limited to a design and

development data base; or

a.12 Gas bearing for gas turbine engine

rotor assemblies;

a.13. Wide chord hollow fan blades

without part-span support;

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

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

following:

b.1. Wind tunnel aero-models equipped

with non-intrusive sensors capable of

transmitting data from the sensors to the data

acquisition system; or

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

propfans capable of absorbing more than

2,000 kW at flight speeds exceeding Mach

0.55;

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

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

turbine engine components using ‘‘laser’’,

water jet, ECM or EDM hole drilling

processes to produce holes having any of the

following sets of characteristics:

c.1. All of the following:

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

diameter;

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

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

25°; or

c.2. All of the following:

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

diameter;

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

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

Technical Note: For the purposes of

9E003.c, incidence angle is measured from a

plane tangential to the airfoil surface at the

point where the hole axis enters the airfoil

surface.

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

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

power transfer systems or tilt rotor or tilt

wing ‘‘aircraft’’ power transfer systems:

d.1. Capable of loss-of-lubrication

operation for 30 minutes or more; or

d.2. Having an input power-to-weight ratio

equal to or more than 8.87 kW/kg;

e.1. ‘‘Technology’’ for the ‘‘development’’

or ‘‘production’’ of reciprocating diesel

engine ground vehicle propulsion systems

having all of the following:

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

e.1.b. An overall power output of more

than 750 kW based on 80/1269/EEC, ISO

2534 or national equivalents; and

e.1.c. A power density of more than 700

kW/m3 of box volume;

Technical Note: Box volume: the product

of three perpendicular dimensions measured

in the following way:

Length: The length of the crankshaft from

front flange to flywheel face;

Width: The widest of the following:

a. The outside dimension from valve cover

to valve cover;

b. The dimensions of the outside edges of

the cylinder heads; or

c. The diameter of the flywheel housing;

Height: The largest of the following:

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

cylinder head) plus twice the stroke; or

b. The diameter of the flywheel housing.

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

‘‘production’’ of specially designed

components, as follows, for high output

diesel engines:

e.2.a. ‘‘Technology’’ ‘‘required’’ for the

‘‘production’’ of engine systems having all of

the following components employing

ceramics materials controlled by 1C007:

e.2.a.1. Cylinder liners;

e.2.a.2. Pistons;

e.2.a.3. Cylinder heads; and

e.2.a.4. One or more other components

(including exhaust ports, turbochargers,

valve guides, valve assemblies or insulated

fuel injectors);

e.2.b. ‘‘Technology’’ ‘‘required’’ for the

‘‘production’’ of turbocharger systems, with

single-stage compressors having all of the

following:

e.2.b.1. Operating at pressure ratios of 4:1

or higher;

e.2.b.2. A mass flow in the range from 30

to 130 kg per minute; and

e.2.b.3. Variable flow area capability

within the compressor or turbine sections;

e.2.c. ‘‘Technology’’ ‘‘required’’ for the

‘‘production’’ of fuel injection systems with

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

jet fuel) capability covering a viscosity range

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

down to gasoline fuel (0.5 cSt at 310.8 K

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

e.2.c.1. Injection amount in excess of 230

mm3 per injection per cylinder; and

e.2.c.2. Specially designed electronic

control features for switching governor

characteristics automatically depending on

fuel property to provide the same torque

characteristics by using the appropriate

sensors;

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

‘‘development’’ or ‘‘production’’ of high

output diesel engines for solid, gas phase or

liquid film (or combinations thereof) cylinder

wall lubrication, permitting operation to

temperatures exceeding 723 K (450°C),

measured on the cylinder wall at the top

limit of travel of the top ring of the piston.

f. ‘‘Technology’’ not otherwise controlled

in 9E003.a.1 through a.12 and currently used

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

overhaul of hot section parts and components

of civil derivatives of military engines

controlled on the U.S. Munitions List.

9E018 ‘‘Technology’’ for the

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

equipment controlled by 9A018.

License Requirements

Reason for Control: NS, RS, AT

Control(s) Country Chart

NS applies to entire entry NS Column 1

RS applies to 9A018.a and

.b.

RS Column 2

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: Yes for Australia, Japan, New Zealand,

and NATO only

List of Items Controlled

Unit: N/A

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9E101 ‘‘Technology’’ according to the

General Technology Note for the

‘‘development’’ or ‘‘production’’ of goods

controlled by 9A101, 9A104 to 9A111 or

9A115 to 9A120.

License Requirements

Reason for Control: MT, AT

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: ‘‘Technology’’ controlled

by 9E101 for items in 9A101.b, 9A104,

9A105, to 9A109, 9A110 that are specially

designed for use in missile systems and

subsystems, 9A111, 9A115, and 9A116 to

9A120 are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls (see 22

CFR part 121)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9E102 ‘‘Technology’’ according to the

General Technology Note for the ‘‘use’’ of

goods controlled by 9A004 to 9A011, 9A101,

9A104 to 9A111, 9A115 to 9A120, 9B105,

9B106, 9B115, 9B116, 9B117, 9D101 or

9D103.

License Requirements

Reason for Control: MT, AT
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 / Rules and Regulations 2555

Control(s) Country Chart

MT applies to entire entry MT Column 1

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: N/A

Related Controls: (1) For the purpose of this

entry, ‘‘use’’ ‘‘technology’’ is limited to

items controlled for MT reasons. (2)

‘‘Technology’’ controlled by 9E102 for

items subject to the export licensing

jurisdiction of the Department of State in

9A004 to 9A011, 9A101.b, 9A104 to

9A109, 9A110 that are specially designed

for use in missile systems and subsystems,

9A111, 9A115, 9A116 to 9A120, and

9D103 are subject to the export licensing

authority of the U.S. Department of State,

Office of Defense Trade Controls (see 22

CFR part 121)

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9E990 ‘‘Technology’’, n.e.s., for the

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

equipment controlled by 9A990 or 9B990.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to ‘‘technology’’ for equipment

under 9A990 and 9B990

except 9A990.a.

AT Column 1

AT applies to ‘‘technology’’ for equipment

under 9A990.a only.

AT Column 2

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

9E991 ‘‘Technology’’, for the

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

equipment controlled by 9A991 or 9B991.

License Requirements

Reason for Control: AT

Control(s) Country Chart

AT applies to entire entry AT Column 1

License Exceptions

CIV: N/A

TSR: N/A

List of Items Controlled

Unit: $ value

Related Controls: N/A

Related Definitions: N/A

Items: The list of items controlled is

contained in the ECCN heading

EAR99 Items subject to the EAR that are

not elsewhere specified in this CCL

Category or in any other category in the

CCL are designated by the number EAR99.

Dated: December 23, 1997.

R. Roger Majak,

Assistant Secretary for Export

Administration.

[FR Doc. 98–1 Filed 1–14–98; 8:45 am]

BILLING CODE 3510–33–P