Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / Rules and Regulations 37551 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Part 774 

[Docket No. 120330233–4307–03] 

RIN 0694–AF64 

Revisions to the Export Administration 

Regulations (EAR): Control of Military 

Electronic Equipment and Other Items 

the President Determines No Longer 

Warrant Control Under the United 

States Munitions List (USML) 

AGENCY: Bureau of Industry and 

Security, Department of Commerce. 

ACTION: Final rule. 

SUMMARY: This final rule adds to the 

Commerce Control List military 

electronics, technology and software for 

certain wing folding systems, certain 

superconducting and cryogenic 

equipment, and related items the 

President determines no longer warrant 

control under the United States 

Munitions List (USML). This also 

amends ECCNs 7A006 and 7A106 to 

apply the ‘‘missile technology’’ reason 

for control only to items in those ECCNs 

on the Missile Technology Control 

Regime (MTCR) Annex. This rule is 

being published simultaneously with a 

Department of State rule that amends 

the list of articles controlled by USML 

Category XI to control only those 

articles the President has determined 

warrant control in that category of the 

USML. Both rules are part of the 

President’s Export Control Reform 

Initiative. The revisions in this rule also 

are part of the Department of 

Commerce’s retrospective plan under 

EO 13563 completed in August 2011. 

DATES: Effective dates—This rule is 

effective December 30, 2014, except for 

the addition of software and technology 

for certain wing folding systems to 

ECCNs 0D521 and 0E521 via 

Supplement No. 5 to part 774 of the 

EAR (amendatory instruction number 

24), which is effective July 1, 2014. 

ADDRESSES: The Department of 

Commerce’s full retrospective regulatory 

review plan can be accessed at: http:// 

open.commerce.gov/news/2011/08/23/

commerce-plan-retrospective-analysisexisting-rules. 

FOR FURTHER INFORMATION CONTACT: 

Brian Baker, Director, Electronics and 

Materials Division, Office of National 

Security and Technology Transfer 

Controls, (202) 482–5534, brian.baker@

bis.doc.gov. 

SUPPLEMENTARY INFORMATION: 

Background 

The Export Control Reform Initiative 

This final rule is part of the 

Administration’s Export Control Reform 

Initiative, the objective of which is to 

protect and enhance U.S. national 

security interests. The Initiative began 

in August 2009 when President Obama 

directed the Administration to conduct 

a broad-based review of the U.S. export 

control system to identify additional 

ways to enhance national security. In 

April 2010, then-Secretary of Defense 

Robert M. Gates, describing the initial 

results of that effort, explained that 

fundamental reform of the U.S. export 

control system is necessary to enhance 

national security. Once the Department 

of State’s International Traffic in Arms 

Regulations (ITAR) and its U.S. 

Munitions List (USML) are amended so 

that they control only the items that 

provide the United States with a critical 

military or intelligence advantage or 

otherwise warrant such controls, and 

the Export Administration Regulations 

(EAR) are amended to control military 

items that do not warrant USML 

controls, the U.S. export control system 

will enhance national security by (i) 

improving interoperability of U.S. 

military forces with allied countries, (ii) 

strengthening the U.S. industrial base 

by, among other things, reducing 

incentives for foreign manufacturers to 

design out and avoid U.S.-origin content 

and services, and (iii) allowing export 

control officials to focus government 

resources on transactions that pose 

greater concern. 

The changes described in this rule 

and the State Department’s rule 

amending USML Category XI are based 

on a review of that category by the 

Defense Department, which worked 

with the Departments of State and 

Commerce in preparing the 

amendments. The review was focused 

on identifying the types of articles that 

are now controlled by the USML that 

either (i) are inherently military and 

otherwise warrant control on the USML, 

or (ii) if of a type common to civil 

applications, possess parameters or 

characteristics that provide a critical 

military or intelligence advantage to the 

United States and that are almost 

exclusively available from the United 

States. If an article was found to satisfy 

either or both of those criteria, the 

article remains on the USML. If an 

article was found not to satisfy either 

criterion, but is nonetheless a type of 

article that is ‘‘specially designed’’ for 

military applications, then, generally, it 

is identified in one of the new ‘‘600 

series’’ ECCNs created by this rule. 

Section 38(f) of the Arms Export 

Control Act (AECA) obligates the 

President to review the USML ‘‘to 

determine what items, if any, no longer 

warrant export controls under’’ the 

AECA. The President must report the 

results of the review to the Congress and 

wait 30 days before removing any such 

items from the USML. The report must 

‘‘describe the nature of any controls to 

be imposed on that item under any 

other provision of law.’’ 22 U.S.C. 

§ 2778(f)(1). The Department of State 

has delivered the required report to the 

Congress. 

The Proposed Rules 

This final rule is the successor to two 

proposed rules, both entitled Revisions 

to the Export Administration 

Regulations (EAR): Control of Military 

Electronic Equipment and Related Items 

the President Determines No Longer 

Warrant Control Under the United 

States Munitions List (USML). The first 

proposed rule (herein the November 28 

(military electronics) rule) published in 

the Federal Register on November 28, 

2012 (77 FR 70945). The second 

proposed rule (herein the July 25 

(military electronics) rule) was based on 

a review of the public comments to the 

first proposed rule and published on 

July 25, 2013 (78 FR 45026). 

Simultaneously, the Department of State 

published two proposed rules on 

November 28, 2012 (77 FR 70945) 

(herein the State November 28 (military 

electronics) rule) and on July 25, 2013 

(78 FR 45018) (herein the State July 25 

(military electronics) rule). This final 

rule is based on an evaluation of those 

comments by the Departments of 

Defense, State and Commerce with 

additional input from other 

Departments on various portions of the 

rules. 

In addition, this rule adds provisions 

controlling development software and 

technology for certain wing folding 

systems to the EAR. These provisions 

are related to prior proposed rules of the 

Departments of State and Commerce: 

‘‘Amendments to the International 

Traffic in Arms Regulations: Revisions 

of U.S. Munitions List Category VIII,’’ 

November 7, 2011 (76 FR 68694) (herein 

the State November 7 (aircraft) rule) and 

‘‘Revisions to the Export Administration 

Regulations (EAR): Control of Aircraft 

and Related Items the President 

Determines No Longer Warrant Control 

Under the United States Munitions List 

(USML),’’ November 7, 2011 (76 FR 

68675) (herein the November 7 (aircraft) 

rule). Upon review of the current state 

of development of such software and 

technology, the Department of 

Commerce, with the concurrence of the 


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37552 Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / Rules and Regulations 

Departments of Defense and State, 

concluded that they should be 

controlled for export under the EAR 

rather than the ITAR. This is because 

these items do not provide a critical 

military or intelligence advantage to the 

United States or otherwise warrant 

ITAR controls but they should be 

controlled because they provide at least 

a significant military or intelligence 

advantage to the United States or foreign 

policy reasons. 

Overview of This Rule 

This rule adds to the EAR’s CCL 

certain military electronic equipment 

and related articles now controlled by 

the ITAR’s USML Category XI and 

certain cryogenic and superconductive 

equipment that are now controlled by 

‘‘catch all’’ provisions of the ITAR’s 

USML Categories VI, VII, VIII, and XV. 

This rule also corrects two ECCNs in 

CCL Category 7 to apply the ‘‘missile 

technology’’ reason for control only to 

items that are on the Missile Technology 

Control Regime (MTCR) Annex. Finally, 

this rule controls under ECCNs 0D521 

and 0E521 software and technology for 

the ‘‘development’’ of certain wing 

folding systems for aircraft powered by 

gas turbine engines while the United 

States seeks to have such software and 

technology added to the Dual-Use List 

of the Wassenaar Arrangement on 

Export Controls for Conventional Arms 

and Dual-Use Goods and Technologies 

(Wassenaar Arrangement). 

This rule also adopts the changes to 

the structure of the ECCNs and the 

elimination of the ‘‘Units’’ paragraphs 

from the ECCNs as set forth in the rule 

entitled ‘‘Revisions to the Export 

Administration Regulations (EAR) To 

Make the Commerce Control List (CCL) 

Clearer’’ published in the Federal 

Register on October 4, 2013 (78 FR 

61874). 

Alignment With the Wassenaar 

Arrangement Munitions List 

The Administration has stated since 

the beginning of the Export Control 

Reform Initiative that the reforms are 

consistent with the obligations of the 

United States to the multilateral export 

control regimes. Accordingly, the 

Administration, in this and subsequent 

rules, exercises its national discretion to 

implement, clarify, and, to the extent 

feasible, align its control text with those 

of the regimes. This rule maintains the 

alignment that exists between the 

USML, in which military electronics are 

controlled under Category XI, and the 

Wassenaar Arrangement Munitions List 

(herein WAML), in which military 

electronic equipment is controlled 

under WAML category ML11, and by 

ECCN 3A611 by this rule. Similarly, 

3B611 aligns with WAML category 

ML18, which, inter alia, controls 

‘‘specially designed or modified 

‘production’ equipment for the 

‘production’ of products specified by 

the Munitions List, and ‘‘specially 

designed’’ components therefor.’’ 

This rule aligns cryogenic and 

superconducting equipment currently 

controlled in Categories VI, VII, VIII, 

and XV of the USML with WAML 

category ML20 by controlling them 

under ECCN 9A620. As with other ‘‘600 

series’’ ECCNs, this rule follows the 

existing CCL numbering pattern for test, 

inspection and production equipment 

(3B611 and 9B620), software (3D611 

and 9D620) and technology (3E611 and 

9E620), rather than strictly following the 

Wassenaar Arrangement Munitions List 

pattern of placing production 

equipment, software and technology for 

munitions list items in WAML 

categories ML18, ML21 and ML22, 

respectively. BIS believes that including 

the ECCNs for test, inspection and 

production equipment, software, and 

technology in the same category as the 

items to which they relate results in an 

easier to understand CCL than would 

separate categories. 

Public Comments on the July 25 

(Military Electronics) Rule and BIS 

Responses 

Comments Concerning Manner of 

Listing Items Controlled Only for 

Antiterrorism and China Military EndUse Reasons 

Previous rules creating new ‘‘600 

series’’ ECCNs have included 

paragraphs in some of those ECCNs, 

designated as .y paragraphs, which list 

items that require a license only if going 

to countries that have been designated 

as State Sponsors of Terrorism or to the 

People’s Republic of China. In the 

preamble to the July 25 (military 

electronics) rule, BIS announced that it 

was considering four options to address 

items of limited military significance for 

which a license is required only if 

destined for a terrorist supporting 

destination or the People’s Republic of 

China. Those options are: (1) Creating 

separate ECCN-specific .y paragraphs; 

(2) creating a single list of ‘‘600 series’’ 

items subject only to antiterrorism and 

China military end-use license 

requirements; (3) establishing a 

classification request procedure 

whereby a ‘‘600 series’’ item could be 

designated as subject to only 

antiterrorism and China military enduse license requirements, but 

eliminating the .y listings from the 

regulations; or (4) removing all .y lists 

completely. BIS invited comments on 

these four options. 

Comment 1 

Comments were divided between 

options 1 and 2—the options that result 

in more complex, detailed, and tailored 

ECCNs. No commenter supported 

options 3 or 4—the options that would 

have resulted in significantly shorter 

and simpler ECCNs. One commenter 

stated of the four listed options, it 

favored number 2, but also proposed 

combining options 1 and 2 to form a 

fifth option. Under that fifth option, BIS 

would compile a single .y list composed 

of basic hardware that is common to 

many ECCNs and also would list .y 

items that are specific to particular 

ECCNs in .y paragraphs within those 

ECCNs. 

Response 1 

BIS has decided to accept the 

commenters’ requests for a more 

complex, tailored regulatory structure 

by creating a type of a single .y list so 

that less significant controls are 

imposed on the less significant items 

listed. In addition, BIS believes that 

most of the items that would be 

appropriate for .y treatment are 

electronic in nature. Therefore, rather 

than create a new ECCN to cover such 

items, this final rule revises the .y 

paragraph in ECCN 3A611 to include 

parts, components, accessories and 

attachments that are eligible for .y 

treatment regardless of the ECCN of the 

‘‘600 series’’ item that they are used in 

or with. Thus, BIS has revised the 

heading of paragraph .y to apply to 

‘‘Specific ‘‘parts,’’ ‘‘components,’’ 

‘‘accessories’’ and ‘‘attachments’’ 

‘‘specially designed’’ for a commodity 

subject to control in a ‘‘600 series’’ 

ECCN and not elsewhere specified in 

any ‘‘600 series’’ ECCN . . . .’’ This 

revision combines the benefits of 

options 1 and 2. BIS did not adopt 

option 3 because it would create a time 

consuming process and, although it 

would tailor .y classification decisions 

closely to the characteristics of 

individual items, it would not provide 

public notice of its results. BIS did not 

adopt option 4 because doing so would 

impose license requirements that apply 

to more destinations and licensing 

policies that are more restrictive than 

are warranted for the items that have 

been selected for .y treatment. 

Comments Proposing Additional Items 

.y Paragraphs 

Comment 2 

Commenters suggested over 100 items 

that they believed should be included in 

.y paragraphs (or excluded from the 


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Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / Rules and Regulations 37553 

definition of ‘‘specially designed’’). The 

commenters favored, in descending 

order of preference: exclusion from the 

definition of ‘‘specially designed,’’ then 

inclusion on a universal .y list, and 

finally inclusion in ECCN 3A611.y. One 

commenter included in its list some 

items that were already in ECCN 

3A611.y or were already excluded from 

the definition of specially designed. 

Response 2 

Technical experts from the 

Department of Defense reviewed the 

items suggested by the commenters. On 

the basis of that review, this final rule 

includes 37 commodities in ECCN 

3A611.y, but also gives that paragraph 

the status of a universal .y list—i.e., the 

3A611.y commodities are those 

‘‘specially designed’’ for any ‘‘600 

series’’ item or defense article on the 

USML, not just those ‘‘specially 

designed’’ for 3A611 items or USML 

Category XI defense articles. Export 

license requirements allow the United 

States Government to see the pattern of 

usage of military equipment. The 

knowledge of usage patterns of even 

parts and components that are relatively 

unsophisticated or that do not directly 

contribute to the military functions of a 

‘‘600 series’’ commodity can provide 

valuable insights into military 

capabilities and activities of other 

nations. Therefore, the .y classification 

must be limited to those parts, 

components, accessories and 

attachments for which knowledge of 

usage patterns are unlikely to provide 

such insights. Based on the technical 

experts’ review, this final rule removes 

11 paragraphs that were included in the 

July 25 (military electronics) rule 

because the commodities they listed 

were redundant or problematic from a 

nomenclature standpoint. Those 11 

commodities are: (1) Electric couplings; 

(2) cathode ray tubes; (3) rotron fans; (4) 

electric fuses other than those ‘‘specially 

designed’’ for explosive detonation; (5) 

grid vacuum tubes; (6) audio 

headphones, earphones, handsets, and 

headsets; (7) intercom systems; (8) 

loudspeakers; (9) electric switches other 

than RF, pressure, diplexer, duplexer, 

circulator or isolator switches; (10) 

vacuum tubes other than TWTs, 

klystron tubes, or tubes ‘‘specially 

designed’’ for articles enumerated in 

USML Category XII; and (11) 

waveguides. This final rule adds 22 

paragraphs for a total of 35. 

Comment 3 

In commenting on the items to be 

included in the .y paragraphs, one 

commenter suggested that certain items 

should be excluded from the specially 

designed definition based on paragraph 

(b)(2) of that definition. Those items are 

not expressly mentioned in paragraph 

(b)(2) but the commenter implied that 

they are included within the scope of 

the items that are expressly mentioned. 

Spacers, fasteners and grommets are 

expressly mentioned in paragraph (b)(2). 

This commenter listed circuit board and 

enclosure hardware and standoffs as 

examples of spacers. It listed ‘‘rods, 

thumbscrews, standoffs, and 

turnbuckles, etc.’’ as examples of 

fasteners. It listed grommet strips as 

grommets. 

Response 3 

The July 25 (military electronics) rule 

did not propose changes to nor did it 

request comments on paragraph (b)(2) of 

‘‘specially designed.’’ As with all 

provisions of the EAR, BIS is reviewing 

ways to make them current and directly 

relevant to the objectives of the EAR. 

Thus, BIS will consider at another time 

whether paragraph (b)(2) warrants 

revision. BIS reminds the commenter 

that § 748.3(e) invites the submissions of 

classification requests for consideration 

by the Departments of Defense, State, 

and Commerce regarding whether, 

under paragraph (b)(1) of ‘‘specially 

designed,’’ extraordinarily insignificant 

items not listed in paragraph (b)(2) 

warrant treatment as ‘‘specially 

designed’’ items. 

Comments Concerning Whether To 

Move Certain ‘‘600 Series’’ Electronic 

Items From CCL Category 3 to CCL 

Categories Containing Similar Non-‘‘600 

Series’’ Items 

The July 25 (military electronics) rule 

included radars, acoustic systems, 

computers, telecommunications 

equipment, and navigation and avionics 

equipment ‘‘specially designed’’ for a 

military use in a single CCL category 

(Category 3—Electronics). Doing so is 

consistent with the USML, which also 

covers such commodities in a single 

category (Category XI—Military 

Electronics). However, the CCL divides 

those same types of items not ‘‘specially 

designed’’ for a military use into four 

categories. Computers are in Category 

4—Computers. Telecommunication 

equipment is in Category 5, Part 1— 

Telecommunications. Radars and 

acoustic systems are in Category 6— 

Sensors and Lasers. Navigation and 

avionics equipment are in Category 7— 

Navigation and Avionics. The July 25 

(military electronics) rule proposed to 

place in Categories 4, 5, 6 and 7 ECCNs 

that contain no substantive text but 

merely advised readers that proposed 

ECCN 3A611 in Category 3 controlled 

radars, acoustic systems, computers and 

telecommunications equipment 

‘‘specially designed’’ for a military use. 

The rule invited comment on which 

approach to take, 1) the July 25 (military 

electronics) rule approach of placing the 

items in a single category with cross 

references or 2) placing each type of 

item in the category that includes 

similar items that already are on the 

CCL. 

Comment 4 

Comments were divided on this topic. 

Two reasons were provided in support 

of placing these ‘‘600 series’’ items in 

the categories that control similar items 

currently on the CCL. First, having 

similar items (e.g., military radar and 

civil radar) in different categories is 

likely to lead to confusion and 

misclassification or even incorrect 

ECCNs on licenses. Second, moving 

military computers, telecommunications 

devices and radars to separate categories 

that are aligned with the current CCL is 

likely to be necessary as the government 

moves towards its stated goal of a single 

control list for both military and 

commercial items. 

Four reasons were provided in 

support of placing these ‘‘600 series’’ 

items in a single CCL category. (1) Such 

placement would better align such items 

with the order of review (Supplement 

No. 4 to Part 774 of the EAR). (2) The 

Department of State Export Control 

Reform rules tend to classify 

components according to the end item 

for which they are designed. (3) The 

items in CCL Category 3 in the proposed 

rule often are installed into other items. 

(4) The existing CCL approach, which 

follows the pattern of the Wassenaar 

Arrangement Dual Use List (although 

the lack of a definition for ‘‘avionics’’ 

sometimes causes uncertainty as to 

whether a component in CCL Category 

7 or Category 9). 

One commenter also noted that BIS 

does not appear to have contemplated 

creating specialized electronics ECCNs 

related to end items (e.g., 0Y611 for 

vehicle electronics or 8Y611 for surface 

vessel and submersible electronics). 

Response 4 

On balance, BIS has concluded that 

the approach proposed in the July 25 

(military electronics) rule is the better of 

the two. The alternative would have 

resulted in the creation of 20 new 

ECCNs with no change in the scope of 

controls. Accordingly, this final rule 

makes no changes to the July 25 

(military electronics) rule on this point. 

As noted above, commenters made valid 

points for both approaches. However, 

BIS has concluded that attempting to 

spread the contents of proposed ECCN 


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3A611 over five CCL categories (one 

each for radar, acoustic sensors, 

telecommunications equipment, 

computers and electronic parts and 

component that are common to multiple 

categories) would unnecessarily 

complicate and lengthen the EAR. 

As noticed by one commenter, BIS 

did not propose creating new ECCNs in 

categories 0 and 8 for electronic items 

that are specially designed for ground 

vehicles, surface vessels and 

submersibles. BIS believes that such 

ECCNs are not necessary because as 

noted in the related controls paragraph 

of ECCN 3A611 in the July 25 (military 

electronics) rule and in this final rule 

‘‘Electronic items ‘specially designed’ 

for military application that are not 

controlled in any USML category but are 

within the scope of another ‘600 series’ 

ECCN are controlled by that ‘600 series’ 

ECCN.’’ This sentence would resolve 

any ambiguity concerning whether a 

particular device is to be treated as a 

specially designed part of a land 

vehicle, surface vessel or submersible 

vessel or as a military electronic item 

controlled under 3A611. 

Three of the four types of items about 

which BIS sought comments on possible 

movement from CCL Category 3 to CCL 

categories containing similar non-‘‘600 

series’’ are computers, 

telecommunication, and radar. Each of 

these three was expressly mentioned in 

ECCN 3A611 in the July 25 (military 

electronics) rule and each is expressly 

mentioned in a category other than 

Category 3 on the CCL. The fourth, 

avionics, was added to the proposal in 

response to a comment on the 

November 28 (military electronics) rule. 

Land vehicles, surface vessels and 

submersible vessels are not expressly 

mentioned in ECCN 3A611 and were 

not suggested by any commenters. 

Therefore, less likelihood of confusion 

existed in the case of these items than 

in the case of the items about which BIS 

sought comments on this topic. 

Comments Concerning Defining 

Elements Used in ‘‘600 Series’’ Software 

and Technology ECCNs 

Comment 5 

Two commenters objected to the use 

of the word ‘‘or’’ in software and 

technology ‘‘600 series’’ ECCNs, which 

apply, respectively, to software for the 

‘‘development,’’ ‘‘production,’’ 

operation or maintenance of specified 

items and to technology for the 

‘‘development,’’ ‘‘production,’’ 

operation, installation, maintenance, 

repair, overhaul or refurbishing of 

specified items. The commenters noted 

that BIS interprets the elements of ‘‘use’’ 

software and technology elsewhere in 

the EAR as operation, installation, 

maintenance, repair, overhaul and 

refurbishing.’’ The commenters stated 

that use of the disjunctive in the ‘‘600 

series’’ ECCNs would force academic 

institutions to screen foreign students 

and visitors before even showing them 

how to operate ‘‘600 series’’ or other 

ECCN equipment. The commenters 

expressed the opinion that such 

screening would require expensive, 

complex security programs with no 

clear national security benefit. 

One commenter noted that in 

response to similar comments in other 

rules creating ‘‘600 series’’ ECCNs, BIS 

stated that‘‘[n]early all the software and 

technology in existing and proposed 

‘‘600 series’’ ECCNs comes from USML 

categories. One goal of the U.S. 

government in the Export Control 

Reform Initiative is not to decontrol 

completely and inadvertently items the 

President determines no longer warrant 

control on the USML.’’ The commenter 

noted that ‘‘BIS believes the ‘or’ 

formulation achieves this objective.’’ 

The commenter found this reason 

‘‘unpersuasive’’ because ‘‘[i]t essentially 

states that even though the items are 

being transferred to the CCL they still 

will be subject to USML type controls. 

In our opinion, this contradicts the 

objectives of the Export Control Reform 

Initiative to create ‘bright lines’ between 

the two control lists. We worry that by 

creating inconsistencies within the EAR 

this will lead to confusion and 

misunderstanding. Moreover, this 

outcome appears inconsistent with the 

goal of the Export Control Reform 

Initiative to reduce unnecessary and 

burdensome controls and to allow the 

government and regulated community 

to focus resources on transactions that 

pose the greatest concern.’’ 

Response 5 

BIS continues to believe in identifying 

in the new software and technology 

controls the types of software and 

technology that warrant control. The 

controls are not increasing or decreasing 

the scope of what is controlled under 

the ITAR’s definition of ‘‘technical 

data.’’ (See 22 CFR § 120.10). Thus, BIS 

is not increasing the regulatory 

compliance burden with respect to such 

technology. To the contrary, it is 

reducing the regulatory compliance 

burden with respect to such software 

and technology to the extent their 

release would be within the scope of 

one of the license exceptions (such as 

License Exception STA) that is available 

in the EAR but not in the ITAR. 

The commenters’ proposal would 

result in a significant decontrol of 

technology that is now ITAR controlled, 

which is not the objective of the reform 

effort or this final rule. BIS recognizes 

that it is treating software and 

technology for ‘‘600 series’’ items more 

strictly than software and technology for 

similar dual-use items. However, this 

stricter treatment is warranted because 

of the military nature of the ‘‘600 series’’ 

items to which the software and 

technology relate. 

BIS also recognizes that its decision 

requires academic institutions to be 

aware of the nationalities of students 

and researchers for whom they provide 

instruction on how to operate these 

items that are ‘‘specially designed’’ for 

military applications and, in some 

instances, obtain authorization before 

providing such instruction even if the 

recipient of the instruction uses the item 

for a civil or commercial purpose. 

Again, BIS believes that this 

requirement is justified by the military 

nature of the items enumerated in the 

‘‘600 series’’ ECCNs. Moreover, these 

requirements are no stricter or more 

burdensome than the requirements 

currently imposed for these items by the 

ITAR. 

Recommendations for Removal of 

Certain EAR Provisions as Erroneous or 

Obsolete 

Comment 6 

One commenter recommended 

removing text describing certain helix 

tubes, microwave solid state amplifiers 

and traveling wave tube amplifiers from 

the related control notes ECCNs 3A001, 

3D001, and 3E001 that direct the reader 

to regulations of the Department of 

State, Directorate of Defense Trade 

Controls (DDTC). This same commenter 

recommended removing similar 

references to technology for certain 

electron vacuum tubes from the related 

control notes of ECCN 3E003. The 

commenter recommended these changes 

because under proposed rules published 

by the Department of State these items 

would not be ‘‘positively controlled 

under Category XI or XV of the USML.’’ 

Response 6 

BIS agrees with the commenter’s 

assessment and concludes that changes 

made to USML Category XV by the rule 

entitled ‘‘Amendments to the 

International Traffic in Arms 

Regulations: Revision of U.S. Munitions 

List Category XV (79 FR 27180, May 13, 

2014) and by the revisions to USML 

Category XI being published 

simultaneously with this rule make 

obsolete all of the references in the 

‘‘Related Controls’’ paragraphs of ECCNs 

3A001 and 3D001, all of the references 


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in the ‘‘Related Controls’’ paragraph of 

ECCN 3E001 except those to ECCN 

3E101 and 3E201 and all of the 

references in the ‘‘Related Controls’’ 

paragraph of 3E003 except that to 

3E001. Accordingly, this final rule 

revises ‘‘Related Controls’’ paragraphs 

in ECCNs 3A001, 3D001, 3E001 and 

3E003 to remove the obsolete references. 

This rule also adds general references to 

USML Categories XI and XV and ECCNs 

9A515 and 3A611 to the related controls 

paragraph of ECCN 3A001. 

Comments Concerning ECCN 3A611, in 

General 

Comment 7 

One commenter recommended adding 

the phrase ‘‘not enumerated in either a 

USML category or another ECCN’’ to the 

heading of ECCN 3A611 and removing 

similar text from paragraph .a of that 

ECCN. The commenter said that the 

statement applies to the entire ECCN not 

just paragraph .a. 

Response 7 

BIS is making no changes to the rule 

in response to this comment. As noted 

in Supplement No. 4 to Part 774 of the 

EAR—the Commerce Control List Order 

of Review, the USML takes precedence 

over the CCL. That precedence applies 

to all ECCNs, and BIS believes that it is 

not necessary to reiterate this concept in 

the heading of the ‘‘600 series’’ ECCNs. 

Comment 8 

One commenter recommended that in 

the ‘‘Reasons for Control,’’ the phrase 

‘‘NS applies to entire entry except 

3A611.y’’ be revised to read ‘‘NS applies 

to entire entry except 3x611.y or other 

portions of 3x611 not controlled by 

Wassenaar Munitions List or Wassenaar 

Dual-Use List’’ to comply with Section 

5(c)(6) of the Export Administration Act, 

which prescribes certain limits on 

unilateral national security export 

controls, and that such unilateral 

controls should be identified on the 

CCL. This commenter also 

recommended that the missile 

technology (MT) reason for control be 

added to ECCN 3A611 with the phrase 

‘‘MT applies to portion of 3x611 

controlled by MTCR—MT Column 1’’ 

because items covered on the Missile 

Technology Control Regime (MTCR) 

Annex (the basis for imposing the MT 

reason for control in the EAR) should be 

identified. The commenter indicated 

that his reasoning for this proposal was 

that it might not be possible to identify 

all items in 3A611 that are covered on 

the MTCR Annex at this time because 

continuing transfers ‘‘make this a 

moving target,’’ suggesting that once the 

Export Control Reform Initiative was 

complete a comprehensive review 

would be in order. 

Response 8 

BIS is making no changes to the rule 

in response to this comment. BIS 

believes that all of the items covered by 

ECCN 3A611 (including those listed in 

3A611.y) and all of the items covered by 

ECCNs 3B611, 3D611 and 3E611 are 

within the scope of the Wassenaar 

Arrangement Munitions List. BIS also 

believes that none of the items in ECCN 

3A611 as published in this final rule are 

listed on the MTCR Annex. 

Comment 9 

One commenter recommended 

removing related controls (1), (2), (4) 

and (5), which identify items that are 

subject to the ITAR, from the ‘‘Related 

Controls’’ paragraph of ECCN 3A611 

because the ‘‘ITAR, rather than the EAR, 

should define what is controlled on the 

ITAR.’’ The commenter stated 

specifically that part (1) is redundant, 

especially if the commenter’s 

recommendation to put ‘‘not 

enumerated in . . . a USML category’’ 

in the heading of 3A611 is accepted. 

The commenter recommended that if 

‘‘Part (2)’’ is retained, it should be 

revised to change ‘‘defense articles’’ to 

‘‘a characteristic in the text of a U.S. 

Munitions List description of a defense 

article.’’ Without that change, the 

commenter asserted the specific 

application could concern a trivial 

functionality having no connection to 

the reason for the control of the defense 

article. Parts (4) and (5), if retained, 

should similarly be revised to change 

‘‘is ‘specially designed’ for defense 

articles’’ to ‘‘furthers a characteristic in 

the text of a U.S. Munitions List 

description of a defense article.’’ 

Response 9 

BIS is making no changes to the rule 

based on this comment. One purpose of 

related control notes is to alert readers 

to regulations published by other 

government agencies that control items 

related to those controlled on the CCL 

(see 15 CFR 738.2(d)(2)(iii)(B)). The four 

paragraphs that the commenter 

recommended be removed provide such 

alerts with respect to commodities 

controlled by the ITAR that are related 

to items controlled in ECCN 3A611. The 

EAR cannot define what is controlled on 

the ITAR, and BIS does not intend that 

they do so. That which is subject to the 

jurisdiction of the ITAR is that which is 

described in the ITAR’s U.S. Munitions 

List. See 22 CFR 120.6 and 121.1. 

However, BIS believes that such cross 

references help readers who need to 

understand the relationship between the 

ITAR and the EAR—two separate bodies 

of rules that regulate exports and 

reexports—and encourage readers to 

read the relevant USML categories when 

determining the jurisdictional and 

classification status of items. 

Comment 10 

One commenter recommended either 

deleting ECCN 3A611.a (and 3A611.x 

Note 1, 4A611, 5A611, 6A611, 7A611) 

or changing the phrase ‘‘ ‘specially 

designed’ for military use’’ to either 

‘‘having a predominant military use’’ or 

‘‘having a critical military or 

intelligence advantage.’’ This 

commenter stated that as defined in the 

EAR, the term ‘‘specially designed’’ 

does not make sense when applied to 

end items. Paragraph (a)(1) of the 

‘‘specially designed’’ definition applies 

to end items. Under that paragraph, an 

item is ‘‘specially designed’’ if it is 

peculiarly responsible for achieving or 

exceeding controlled performance 

levels, characteristics, or functions. The 

commenter stated that ‘‘military use’’ is 

not a performance level or a 

characteristic. The function of ‘‘military 

use’’ is achieved by any military use. 

Therefore, under this definition, there is 

no difference between ‘‘specially 

designed for military use’’ and just 

‘‘military use.’’ The commenter stated 

that removal of 3A611.a would be 

consistent with the goals of the Export 

Control Reform Initiative to avoid 

controls based simply on military use. 

Additionally, the commenter asserted 

that ‘‘‘Military use’ with no further 

modification is far broader than existing 

[§ ] 120.3(a) [of the ITAR].’’ 

Response 10 

This final rule replaces the term 

‘‘military use’’ in ECCN 3A611 with the 

phrase ‘‘military application’’ to clarify 

that mere use by a military organization 

does not bring something within the 

ambit of ECCN 3A611. One of the goals 

of the current phase of export control 

reform is to control on the CCL items 

the President determines no longer 

warrant control on the USML without 

inadvertently decontrolling items 

currently on the USML. To do so, some 

standards must be expressed in broad 

terms. BIS believes that the phrase 

‘‘‘specially designed’ for a military 

application’’ provides adequate 

specificity and clarity to distinguish 

items that are developed in ways that 

enable them to perform a military role 

or function from items that, although 

used by the military, are 

indistinguishable from items that are 

widely used in civil activities. Thus, 

contrary to the assertion of the 

commenter, paragraph (a)(1) of the 


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definition is relevant to such controls 

because ‘‘military application’’ is the 

referenced ‘‘characteristic.’’ If someone 

does something to an item during its 

development to achieve the 

characteristic of being for a military 

application, then the item would be 

within the scope of paragraph (a)(1). 

The term ‘‘characteristic’’ was never 

limited to technical control thresholds, 

such as heat, speed, size, power, or 

strength. 

Comment 11 

One commenter recommended 

changing the phrase ‘‘nor controlled in 

another ‘‘600 series’’ ECCN’’ to ‘‘nor 

controlled in another ECCN’’ in ECCNs 

3A611.a, 3A611.a Note 1, 3A611.x Note 

1, 3B611.a, 3B611.x, and 7A611. This 

same commenter recommended 

inserting ‘‘or another ECCN’’ following 

the phrase ‘‘not enumerated in any 

USML category’’ in ECCNs 4A611 and 

5A611. The commenter asserted that 

many existing ECCNs, after years of 

intense negotiations, have technical 

descriptions designed to be more 

precise than ‘‘military use’’ or ‘‘specially 

designed.’’ The commenter argued that 

this ‘‘progress toward these major 

objectives of the ECR would be undone 

in these areas unless this 

recommendation is accepted.’’ 

Response 11 

The changes proposed by the 

commenter are inconsistent with the 

order of review in Supplement No. 4 to 

Part 774 of the EAR. That order specifies 

that ‘‘600 series’’ ECCNs take 

precedence over non-600 series ECCNs. 

Therefore, this final rule does not adopt 

the changes proposed in this comment. 

This means that if an item were 

‘‘specially designed’’ for a military 

application or a military item not 

described on the USML, then it would 

be within the scope of a 600 series 

ECCN, even if the same type of item 

were described in an ECCN elsewhere 

on the CCL. This is not a change from 

the long-standing rule under the ITAR 

that if a part or component were 

specifically designed or modified for a 

defense article, then the part or 

component would be ITAR controlled, 

even if the CCL described the same item 

or type of item. 

Comments Concerning ECCN 3A611.a— 

Electronic ‘‘Equipment,’’ ‘‘End Items’’ 

and ‘‘Systems’’ ‘‘Specially Designed’’ for 

Military End Use That Are Not 

Enumerated in Any USML Category or 

Controlled by Another ‘‘600 Series’’ 

ECCN 

Comment 12 

One commenter stated that 

electronically steerable airborne weather 

radar should not be controlled by USML 

Category XI because its use is for civil 

aviation. The State July 25 (military 

electronics) rule would have included 

all ‘‘[r]adar incorporating pulsed 

operation with electronics steering of 

transmit beam in elevation and 

azimuth’’ in USML Category XI. This 

commenter proposed eight 

characteristics that it believed should 

exclude such radars from the USML. 

The commenter believes that if 

electronically steerable radar that it 

manufactures were not controlled in 

Category XI of the USML, it would be 

subject to the EAR and controlled in 

ECCN 6A998.a. The commenter pointed 

out the necessity of rapidly shipping 

replacement radar units or parts to 

replace or repair broken radar units in 

aircraft that may be on the ground in 

any of a large number of countries. The 

commenter noted that if a radar unit 

were classified in a ‘‘600 series’’ ECCN, 

the ability to use License Exception STA 

would be sharply curtailed. The 

commenter stated that a radar designed 

for a civil aircraft application should be 

eligible for License Exceptions STA and 

RPL. 

Response 12 

BIS is making no changes to the rule 

based on this comment. 

A similar comment on the State July 

25 (military electronics) rule was 

submitted to that department. After 

considering that comment, the 

Department of State has added a note to 

Category XI(a)(3)(xii) excluding radars, 

not otherwise controlled in the ITAR, 

operating with a peak transmit power 

less than or equal to 250 watts, and 

employing a design determined to be 

subject to the EAR via a commodity 

jurisdiction determination. Please see 

the Department of State’s companion to 

this rule for its full response to the 

comment. 

If an airborne radar unit has been 

determined to be subject to the EAR 

pursuant to such a commodity 

jurisdiction, it would be subject to the 

EAR. If the radar were given a CCL 

classification as part of that commodity 

jurisdiction process, the ECCN so given 

would govern. If the classification were 

not given as part of the commodity 

jurisdiction process, the order of review 

in Supplement No. 4 to Part 774 of the 

EAR would govern its treatment under 

the EAR. Following the order of review, 

one would proceed to the ‘‘600 series.’’ 

If the radar were a ‘‘specially designed’’ 

part for an aircraft controlled under 

ECCN 9A610—Military aircraft and 

related items, paragraph .x of that ECCN 

would control the radar. If it were not 

so ‘‘specially designed,’’ one would 

check 3A611.a (electronics ‘‘specially 

designed’’ for a military application) 

and 3A611.x ‘‘specially designed’’ for a 

commodity controlled in USML 

Category XI. If the radar were not so 

specially designed, one would look 

outside the ‘‘600 series’’ to CCL 

Category 6. BIS notes that most radars 

used in civil aircraft are controlled by 

ECCN 6A998.a. 

Comment 13 

One commenter recommended that 

proposed ECCN 3A611.a be revised to 

clarify that it does not control routine 

telecommunications or computer 

networks used by a military end-user for 

administrative functions, where such 

networks utilize only equipment and 

software that are not enumerated in a 

USML Category or controlled by a ‘‘600 

series’’ ECCN and where such networks 

that do not contain, and are not 

designed or configured to contain, types 

of security as described in USML 

Category XIII(b). 

This commenter noted that military 

organizations use communications 

networks for command and control 

purposes and for routine administrative 

matters or, in some instances, to 

facilitate communications home by 

troops stationed abroad. The commenter 

stated that even though operated by the 

military, communication networks for 

administrative purposes typically have 

no higher level of security than similar 

networks used by a business or even a 

residential end-user—whereas 

command and control networks 

typically use special encryption devices 

controlled under USML Category XIII(b) 

to maintain a higher level of security. 

This commenter suggested that, based 

on the definition of ‘‘system’’ in the 

EAR, and the phrase ‘‘specially 

designed for military use,’’ as it appears 

in ECCN 3A611.a and in the note 

immediately following that paragraph, 

could be read to include administrative 

communications networks that do not 

contain, and were not designed or 

configured, to contain USML Category 

XIII(b) levels of security that would be 

considered ‘‘specially designed’’ for 

military use. The commenter 

recommended adding a note stating: 


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ECCN 3A611.a does not include a routine 

telecommunications or computer network 

that utilizes only equipment and software 

that are not enumerated in a USML Category 

or controlled by a ‘‘600 series’’ ECCN where 

the network does not contain, and is not 

designed or configured to contain, types of 

security as described in USML Category 

XIII(b). 

Response 13 

BIS does not intend that ECCN 

3A611.a apply to communication 

networks that, although owned, leased, 

or operated by military organizations, 

have no security or technical features 

other than those found in ordinary 

commercial communications networks. 

However, BIS believes that the 

information security assurance systems 

described in USML Category XIII(b) are 

not the only features that distinguish a 

network that performs military 

functions from one that performs only 

routine administrative or civilian 

communications functions. To draw the 

proper distinction, this final rule 

replaces the term ‘‘specially designed 

for military use’’ in ECCN 3A611 with 

the phrase ‘‘specially designed for 

military application.’’ BIS believes that 

the latter phrase addresses the 

commenter’s concerns by emphasizing 

that ECCN 3A611.a does not apply to 

electronic ‘‘equipment,’’ ‘‘end items’’ 

and ‘‘systems’’ merely because the 

military uses them. Rather, the 

commodity must be ‘‘specially 

designed’’ to perform a military function 

or activity. This change is consistent 

with the long-standing policy in the 

ITAR that the mere use of an item 

should not determine its jurisdictional 

or control status. See 22 CFR 120.3. 

Comment 14 

One commenter recommended 

changing ‘‘a’’ to ‘‘another’’ in the phrase 

‘‘not enumerated in any USML category 

or controlled by a ‘600 series’ ECCN’’ 

that appears in the note immediately 

following ECCN 3A611.a. 

Response 14 

BIS agrees that the recommended 

change more precisely states the scope 

of ECCN 3A611.a; therefore, this final 

rule adopts that change. 

Comments Applicable to ECCN 3A611.c 

or .d. 

Comment 15 

One commenter stated that the 

definition of output power is 

inconsistent among ECCNs that control 

microwave transistors. ECCN 3A001 

uses ‘‘average output power;’’ 3A982 

uses both ‘‘average output power’’ and 

‘‘pulsed output power;’’ and 3A611 uses 

‘‘saturated power.’’ The commenter 

asserted that this variation will create 

confusion and inconsistent results. 

Response 15 

After the comment period for the July 

25 (military electronics) rule closed, 

changes to the Wassenaar 

Arrangement’s Dual Use List, Category 3 

were adopted at its December 2013 

plenary meeting. Those changes 

included new criteria for paragraphs 

3.A.1.b.2 (MMIC power amplifiers) and 

3.A.1.b.3 (discrete microwave 

transistors). The changes eliminated the 

need for ECCN 3A982 by expanding the 

operating frequency ranges in 

paragraphs 3.A.1.b.2 and 3.A.1.b.3 to 

include the operating frequency ranges 

currently found in the ECCN 3A982. 

This change made the MMIC power 

amplifiers and discrete microwave 

transistors currently controlled under 

ECCN 3A982 eligible for inclusion in 

ECCN 3A001, which is based on 

Wassenaar Arrangement Dual Use List 

paragraph 3.A.1. The Wassenaar 

Arrangement Dual Use List changes also 

revised the criteria for inclusion of 

MMIC power amplifiers and discrete 

microwave transistors in 3.A.1.b.2 and 

3.A.1.b.3. Those changes, which will 

eliminate inconsistencies in the 

definitions of output power, will be 

incorporated into ECCN 3A001.b.2 and 

.b.3 by the rule implementing the 

Wassenaar Arrangement 2013 plenary 

meeting decisions, which BIS expects 

will be published and become effective 

before this final rule becomes effective. 

This final rule will then build on the 

changes made by the Wassenaar 2013 

plenary meeting rule by creating ECCN 

3A611 and moving some MMIC power 

amplifiers and discrete microwave 

transistors from 3A001.b.2 and .b.3 to 

3A611.c and .d based on the values for 

power added efficiency, fractional 

bandwidth, or peak saturated power 

output (or some combination thereof). 

Comment 16 

One commenter noted that the 

frequency range from 2.7 GHz–2.9 GHz 

is internationally recognized as a 

standard band for civilian air traffic 

control (ATC) systems. Regulating 

devices in this band has the effect of 

limiting U.S. participation in the global 

civil ATC market, and providing an 

unfair advantage to our worldwide 

competitors, as well as an incentive for 

our foreign competitors to invest in 

developing their own amplifier 

technology. This particular frequency 

band is predominantly used for civil 

ATC rather than military applications. 

In addition, the international ATC band 

is under consideration to be expanded 

upwards to 3.2 GHz, due to conflicts 

with civil communications in the lower 

end of the band. 

Response 16 

BIS’ implementation of the decisions 

of the Wassenaar Arrangement 

December 2013 plenary meeting, noted 

in Response 15, will, when published in 

the EAR revise ECCN 3A001.b.2 (MMIC 

power amplifiers) and b.3 (discrete 

microwave transistors) to encompass the 

frequency range noted in this comment. 

The additional technical parameters of 

power added efficiency, fractional 

bandwidth and peak saturated power 

output determine whether MMIC power 

amplifiers are controlled in ECCN 

3A611.c. The additional technical 

parameters of power added efficiency 

and peak saturated power output 

determine whether discrete microwave 

transistors are controlled in ECCN 

3A611.d. The EAR control over these 

devices are based on the multinational 

Wassenaar Arrangement, under which 

other member states should implement 

similar export controls, reducing any 

disadvantage faced by U.S. companies. 

Comment 17 

Several commenters stated that the 

parameters in ECCN 3A611.c and .d 

would cover MMIC power amplifiers 

and discrete microwave transistors that 

have civil applications now, or that are 

likely to have important civil 

applications in the near future. The civil 

applications mentioned were Wi Fi, Wi 

Max, point-to-point radios for cellular 

backhaul, Commercial Ka-band used in 

commercial satellite based wireless 

internet ground stations and V-Band 

radios used in small commercial 

cellular networks. The specific points 

raised by these are as follows. 

The differences between devices that 

would be controlled by ECCN 3A611.c 

or .d and those that are controlled by 

ECCN 3A001.b.2 or .b.3 in many 

instances are only a matter of efficiency. 

Because increasing efficiency is driving 

development in both civil and military 

applications, higher efficiency is not a 

good criterion for distinguishing 

military from civil applications. 

Increasing efficiency, saturated power 

and bandwidth are common objectives 

in both military and civil applications. 

In commercial cellular base stations, 

high power efficient devices enable 

achieving necessary power levels 

without combining multiple lower 

power devices, thereby simplifying 

manufacturing, lowering costs and 

producing more efficient transmitter 

design. Increasing bandwidth is needed 

to handle greater data volume in 

commercial networks, and OEMs are 

requiring vendors of semiconductor 


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power devices to supply it for increased 

system capability and inventory 

management reasons. The performance 

levels in proposed ECCN 3A611.c and .d 

do not lead to a valid conclusion that a 

device is inherently military or that it is 

unlikely to be used in a commercial 

application. 

The frequency range from 3.1–3.5 

GHz is not restricted to military use. 

The International Telecommunication 

Union (ITU) designates this band for 

radio location, and the band is also in 

active use internationally as an 

additional civilian air traffic control 

(ATC) band. Today’s transistors for air 

traffic control can exhibit efficiencies, 

which commonly exceed 60%. The 

commenter cited one example of a 

transistor that it stated achieved such 

efficiency exceeding 60%. 

One commenter stated that proposed 

ECCN 3A611.c.9, .c.10 and .c.11 overlap 

with ECCN 3A001.b.2.e, .b.2.f and .b.2.g 

as set forth in the Wassenaar 

Arrangement implementation rule 

published in June 2013. The commenter 

noted that the three 3A611 paragraphs 

differ from the corresponding 3A001 

paragraphs in that the former specify 

values for peak saturated output power 

whereas the latter specify values for 

average output power instead and only 

the former specify a value for power 

added efficiency. In addition, proposed 

3A611.c.9 specifies a value of fractional 

bandwidth whereas 3A001.b.2.e does 

not. This commenter stated that, 

although its current products do not 

meet the threshold values for inclusion 

in 3A611, only a small amount of 

advancement would be needed for its 

products to do so. The commenter 

recommended the following changes to 

ECCN 3A611 to provide a reasonable 

allowance for improvements of 

commercial amplifiers. In paragraph 

.c.9, increase the peak saturated output 

power from 1 W to 3 W and the power 

added efficiency from 15% to 35%. In 

paragraph .c.10, increase the peak 

saturated output power form 31.62 mW 

to 100 mW and the power added 

efficiency from 25% to 35%. In 

paragraph .c.11, increase the peak 

saturated output power from 10 mW to 

100 mW and the power added efficiency 

from 10% to 20%. 

One commenter reiterated its 

comment made in response to the 

November 28 (military electronics) rule 

that most gallium nitride (‘‘GaN’’) 

MMICs and discrete transistors 

currently available on the commercial 

market (and classified as ECCN 3A982 

or 3A001 or designated EAR99) perform 

at levels that exceed even the revised 

proposed power added efficiency 

thresholds for ECCN 3A611. 

Accordingly, that metric, as currently 

proposed, still does not sufficiently 

focus the proposed regulation on high 

performance parts. Rather, most GaN 

MMICs and discrete transistors that 

presently are used in commercial 

telecommunications, backhaul, point-topoint and satellite applications would 

still meet the proposed thresholds under 

ECCN 3A611. 

The commenter reiterated its request 

for BIS to consider the power added 

efficiency thresholds set forth in its 

earlier comment, which it stated reflect 

the realities of the commercial market. 

One commenter recommended adding 

the phrase ‘‘specially designed for 

military use’’ to paragraphs .c and .d. 

The commenter stated that without this 

change, the paragraphs would cover 

MMICs and transistors that currently are 

classified in ECCNs 3A001 and 3A982 

or those that currently designated 

EAR99. The order of review in 

Supplement No. 4 to Part 774 would 

cause ECCN 3A611 to prevail over the 

others. The commenter states that it is 

aware of a large number of circuits and 

transistors that have been classified 

under ECCN 3A001 that would be 

classified under 3A611.c or .d causing a 

large number of commercial products 

that have already been exported on the 

global market to be controlled by ECCN 

3A611. 

Response 18 

Experts in this area from the 

Departments of Defense, State, and 

Commerce reviewed the parameters 

proposed in ECCN 3A611.c (MMIC 

power amplifiers) and .d (discrete 

microwave transistors). The conclusion 

of that review was that, in most 

instances, the civil market for these 

devices at the parameters set forth in the 

proposed rule is minimal to nonexistent. However, the reviewers 

concluded existing civil applications 

justify raising the power added 

efficiency in four instances. 

Accordingly, in this final rule, for the 

operating frequency range exceeding 2.7 

GHz up to and including 2.9 GHz, the 

power added efficiency threshold has 

been raised to 55% for MMIC power 

amplifiers and to 60% for discrete 

microwave transistors from a proposed 

threshold of 50% for both. In the 

operating frequency range exceeding 2.9 

GHz up to and including 3.2 GHz, the 

power added efficiency threshold has 

been raised to 55% for MMIC power 

amplifiers and to 60% for discrete 

microwave transistors from proposed 

thresholds of 45% for MMIC power 

amplifiers and 50% for discrete 

microwave transistors. Although more 

efficient and powerful MMIC power 

amplifiers and discrete microwave 

transistors may have widespread use in 

civil communications in the future, this 

rule is based on conditions as they exist 

at the time the rule is being written. 

Like any other aspect of the EAR, ECCN 

3A611 paragraphs .c and .d may be 

modified in the future if changes in civil 

and military applications and concerns 

warrant a change. 

As noted in Response 15, BIS intends 

to publish a rule implementing the 

decisions of the Wassenaar Arrangement 

December 2013 plenary meeting. That 

rule will revise ECCN 3A001.b.2 (MMIC 

power amplifiers) and b.3 (discrete 

microwave transistors) to encompass the 

frequency ranges used in ECCN 3A611.c 

and .d. The additional technical 

parameters of power added efficiency, 

fractional bandwidth and peak saturated 

power output will determine whether 

MMIC power amplifiers are controlled 

in ECCN 3A611.c. The additional 

technical parameters of power added 

efficiency and peak saturated power 

output determine whether discrete 

microwave transistors are controlled in 

ECCN 3A611.d. That rule also will 

remove ECCN 3A982. Thus, none of the 

MMIC power amplifiers or discrete 

microwave transistors that this final rule 

controls under ECCN 3A611 will be 

EAR99 at the time this final rule 

becomes effective, and therefore, no 

changes are being made to this rule. The 

EAR control over these devices is based 

on the multinational Wassenaar 

Arrangement, under which other 

member states should implement 

similar export controls, reducing any 

disadvantage faced by U.S.-based 

producers of these products. 

Comment 19 

One commenter stated that the 

broadband proposed language for each 

frequency range, in the definition of the 

broadband behavior, regulates devices 

that operate far below that range and 

whose center frequency is below the 

performance limits of 3A001 and 3A982 

(<2.7 GHz). For example, a MMIC with 

a 60% bandwidth which operates to 2.7 

GHz would have a center frequency of 

∼2 GHz and a lower operating frequency 

of 1.45 GHz. 

Response 19 

The commenter’s observation is 

correct. However, the ability of a MMIC 

power amplifier or discrete transistor to 

operate within a frequency band 

specified in, and meet the other control 

parameters of, a particular ECCN items 

paragraph give it the capabilities that 

warrant export license requirements, 

even if it can also operate outside that 


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frequency band or at lower performance 

parameters. 

Comment 20 

One commenter stated that cycle 

times for commercial technology 

innovation can be shorter than that for 

military technology innovation. The 

development of state-of-the-art power 

amplifier devices for civil 

communications systems is driven by 

the ever increasing quantity of 

information transmitted over wireless 

networks. Higher quality network data 

links coupled with longer distances 

between cellular backhaul radios is yet 

an additional driver for increasing 

power requirements. Operation across 

broader frequency ranges coupled with 

OEMs’ demand to stock fewer parts 

generates an industry demand for 

broadband power amplifiers. 

Response 20 

BIS recognizes that performance of 

civil communications networks 

increases over time and that the 

increased performance requires more 

capable components. However, the 

technical personnel from the 

Departments of Defense, State, and 

Commerce attempted to set the 

parameters for the MMIC power 

amplifiers and discrete microwave 

transistors controlled by ECCN 3A611 to 

cover those with important military 

applications and few or no current civil 

applications. BIS is willing regularly to 

accept and consider information from 

interested persons about developments 

that would result in such items being 

used in non-military, commercial 

applications. 

Comment 21 

One commenter recommended 

deleting ECCN 3A611.c and .d, stating 

that there is no publicly available 

evidence that either MMIC power 

amplifiers or discrete microwave 

transistors are now subject to DDTC 

licensing authority. The commenter 

recapitulated text currently in USML 

Category XI(a) and (b) and the ‘‘Related 

Controls’’ paragraph of ECCN 3A001 in 

support of this contention. The 

commenter noted the description of 

both MMIC power amplifiers and 

discrete microwave transistors in ECCN 

3A001 and noted that the preamble to 

the July 25 (military electronics) rule 

referred to a United States proposal to 

modify language related to such 

amplifiers and transistors in the 

Wassenaar Arrangement Dual Use List. 

The commenter noted that ECCN 3A001 

license requirements applicable to 

MMIC power amplifiers and discrete 

microwave transistors apply to fewer 

destinations than would the 

requirements in proposed ECCN 

3A611.c and .d. The commenter also 

noted a broader range of license 

exceptions available under ECCN 3A001 

than under 3A611, especially for MMIC 

power amplifiers. The commenter 

asserted that, to include these two items 

in 3A611, BIS would first need to 

transfer licensing jurisdiction to the 

Directorate of Defense Trade Controls. 

Response 21 

BIS is making no changes to the rule 

in response to this comment. The 

parameters for MMIC power amplifiers 

and discrete microwave transistors 

included in 3A611 will differ from those 

in ECCN 3A001.b.2 and .b.3 (as to be 

revised by the yet-to-be published final 

rule implementing the decisions of the 

Wassenaar Arrangement December 2013 

plenary meeting) based on their power 

added efficiency, peak saturated power 

output, fractional bandwidth or some 

combination of those parameters. BIS 

believes that the values selected in this 

final rule are adequate for readers to 

readily distinguish the MMIC power 

amplifiers and discrete transistors in 

ECCN 3A611.c and .d from those in 

ECCN 3A001.b.2 and .b.3. BIS is 

unaware of any commodity jurisdiction 

determinations issued by the State 

Department that the MMICs described 

in the new ‘‘600 series’’ controls were 

not previously subject to the jurisdiction 

of the ITAR. 

Comment 22 

One commenter noted that ECCN 

3A982 controls packaged transistors and 

packaged MMICs but does not control 

unpackaged devices or bare die. 

Therefore, unpackaged devices and bare 

die that meet the frequency and power 

parameters of ECCN 3A982 but not that 

of ECCN 3A001.b.2 or .b.3 are 

designated EAR99. Thus, as proposed, 

3A611 would impose controls on 

devices that are currently designated 

EAR99. 

Response 22 

BIS notes that this comment was 

made prior to the Wassenaar 

Arrangement December 2013 plenary 

meeting that, inter alia, revised the 

Wassenaar Arrangement Dual Use List 

Category 3.A.1 to include coverage of 

MMIC power amplifiers and discrete 

microwave transistors with operating 

frequencies exceeding 2.7 GHz. When 

published, the rule implementing that 

change on the CCL will provide the 

same frequency thresholds for ECCN 

3A001.b.2 and .b.3. It will also remove 

ECCN 3A982 from the CCL because the 

devices listed therein will then be 

within the scope of ECCN 3A001.b.2 

and .b.3. Neither the Wassenaar 

Arrangement Dual Use List Category 

3.A.1.b.2 and .3 nor ECCN 3A001.b.2 

and .b.3 are currently limited to 

packaged devices. ECCN 3A611.c and .d 

are based on the parameters of 

Wassenaar Arrangement Dual Use List 

Category 3.A.1.b.2 and .3 that BIS 

intends to add to ECCN 3A001.b.2 and 

.b.3 with additional parameters of 

power added efficiency, peak saturated 

power output and fractional bandwidth 

to differentiate the devices in ECCN 

3A001.b.2 and .b.3 from those in ECCN 

3A611.c and .d. Thus, although some of 

the devices covered in ECCN 3A611 

may have been designated EAR99 at the 

time the comment was made, by the 

time this final rule is effective, they will 

be on the CCL in conformance with the 

United States’ Wassenaar Arrangement 

commitment. Therefore BIS is making 

no changes to the rule in response to 

this comment. 

Comments Concerning ECCN 3A611.e— 

Certain High Frequency Surface Wave 

Radar 

Comment 23 

One commenter stated that the 

seemingly technical descriptions in 

proposed USML Category XI(a)(3)(i) and 

proposed ECCN 3A611.e cover virtually 

all airborne and maritime radar. A 

primary purpose of ship-borne radar is 

traffic control. The commenter cited his 

experience as a U.S. Navy-trained radar 

officer from 1943 to 1946 in which he 

‘‘learned that the fundamental purpose 

of both military and civil radar is as 

described in [proposed USML Category] 

XI(a)(3)(i) and [proposed ECCN] 

3A611.e.’’ 

The commenter also stated that the 

Note to 3A611.e would unintentionally 

decontrol much of what 3A611.e would 

control. ‘‘Specially designed’’ in that 

Note does not effectively narrow the 

scope of its decontrol. The words 

‘‘achieve or exceed’’ in (a)(1) of the 

definition of ‘‘specially designed’’ 

logically narrow only controls, not 

decontrols. The lack of any such Note to 

XI(a)(3)(i) would not only transfer much 

of 6A008 and 6A108 to the USML but 

also would transfer from EAR99 to the 

USML much of what is excluded from 

6A008 in technical decontrol Notes. 

Response 23 

BIS does not agree with the 

commenter that the technical 

description in 3A611.e would cover 

virtually all airborne or maritime radar. 

Paragraph .e—‘‘High frequency (HF) 

surface wave radar that maintains the 

positional state of maritime surface or 


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low altitude airborne objects of interest 

in a received radar signal through 

time’’—describes specific radar 

capabilities that have distinct military 

applications and that are not found in 

most civil radars. HF radar 

manufactured for only maritime traffic 

control would be designed with 

performance limitations that would 

limit the military utility. 

BIS also does not agree that the note, 

which makes clear that paragraph .a 

does not apply to radars that are 

‘‘specially designed’’ for marine traffic 

control, would exclude all radars that 

would otherwise be covered by 

paragraph .e. The text of paragraph .e 

describes capabilities that would not 

likely be needed in a maritime traffic 

control system. BIS also disagrees with 

the commenter’s opinion that ‘‘specially 

designed’’ cannot apply to a decontrol. 

In this instance, the note excludes 

radars that as a result of ‘‘development’’ 

have properties that are peculiarly 

responsible for achieving a maritime 

traffic control system performance, a 

very different thing than the kinds of 

radars controlled by 3A611.e. BIS does 

not agree with the commenter’s 

assertion that a note to proposed USML 

Category XI(a)(3)(i) is needed to prevent 

transfer of some radars from the CCL to 

the USML. 

Comments Concerning ECCN 3A611.f— 

Application Specific Integrated Circuits 

And Programmable Logic Devices 

Programmed for ‘‘600 series’’ Items 

Comment 24 

One commenter recommended 

changing the phrase ‘‘600 series’’ in 

ECCN 3A611.f, .g, and .h to read ‘‘a 

characteristic in the text of a description 

of a ‘‘600 series’’ ECCN’’ and deleting 

the phrase ‘‘specially designed’’ from 

ECCN 3A611.g and .h. 

Response 24 

BIS is not making the changes 

suggested by the commenter. ECCN 

3A611 paragraphs .f, .g and .h control, 

respectively, application specific 

integrated circuits and programmable 

logic devices programmed for ‘‘600 

series’’ items, printed circuit boards and 

populated circuit cards with layouts 

‘‘specially designed’’ for ‘‘600 series’’ 

items, and multichip modules with a 

pattern that is ‘‘specially designed’’ for 

‘‘600 series’’ items. Changing the phrase 

‘‘600 series’’ to ‘‘a characteristic in the 

text of a description of a ‘‘600 series 

ECCN’’ would add to the text length and 

complexity, but neither accuracy nor 

clarity. The phrase ‘‘specially designed’’ 

is needed in paragraphs .g and .h so that 

those paragraphs do not inadvertently 

apply to printed circuit boards and 

populated circuit cards with layouts and 

to multichip modules with patterns that 

are common to ‘‘600 series’’ items and 

items in other ECCNs or to EAR99 

items. 

Comments Concerning ECCN 3A611.g— 

Multichip Modules for Which the 

Pattern or Layout is ‘‘Specially 

Designed’’ for ‘‘600 Series’’ Items 

Comment 25 

One commenter noted that the July 25 

(military electronics) rule proposed to 

regulate printed circuit boards and 

populated circuit card assemblies 

‘‘specially designed’’ for ‘‘600 series’’ 

items under ECCN 3A611.g, and 

multichip modules similarly under 

ECCN 3A611.h. 

The commenter stated that when 

these items are used in items controlled 

by a ‘‘.y’’ paragraph, they are inherently 

non-significant and should either be 

released by paragraph (b)(3)(ii) of the 

‘‘specially designed’’ definition, or 

themselves controlled by the ‘‘.y’’ 

paragraph. A similar approach may be 

suitable for application-specific 

integrated circuits and programmable 

logic devices proposed for ECCN 

3A611.f. 

Response 25 

To the extent that the layout or 

pattern of a device listed in ECCN 

3A611.f, .g or .h is ‘‘specially designed’’ 

for an item listed in the .y paragraph of 

a ‘‘600 series’’ ECCN, BIS agrees with 

the commenter that the device should 

be controlled to the same extent as the 

device of which it is a ‘‘specially 

designed’’ part or component. 

Accordingly, this final rule addresses 

the commenter’s concerns by adding 

text to paragraphs .f, .g and .h referring 

reader to paragraph .y of ECCN 3A611 

for such devices and adds text 

controlling such devices to ECCN 

3A611.y. 

Comments Concerning ECCN 3A611.y 

Comment 26 

One commenter stated that its 

connectors that currently are classified 

under USML Category XI(c) would 

transfer to 3A611.y.3. The commenter 

noted that the problem with the 

3A611.y text is that it states that it is 

‘‘for a commodity subject to control in 

this entry and not elsewhere specified 

in any ‘‘600 series’’ ECCN.’’ Thus, an 

electrical connector that is ‘‘specially 

designed’’ for military aircraft 

equipment currently under USML 

Category VIII, would be classified under 

ECCN 9A610.x. 

Response 26 

In this final rule, ECCN 3A611.y 

applies to parts, components, 

accessories and attachments that are 

‘‘specially designed’’ for a commodity 

subject to control in a ‘‘600 series’’ 

ECCN and not elsewhere specified in 

any ‘‘600 series’’ ECCN, and includes in 

its list of commodities electrical 

connectors. Thus, if the connectors in 

fact are moved from the USML to the 

CCL and are not ‘‘specified in another 

‘‘600 series’’ ECCN,’’ they are controlled 

by ECCN 3A611.y. 

Comment 27 

One commenter stated that under the 

current wording, [of 3A611.y and .x] 

3A611.y items would be restricted 

exclusively to items ‘‘specially designed 

for a commodity subject to control in 

this entry and not elsewhere specified 

in any ‘‘600 series’’ ECCN.’’ This means, 

by way of example, the commenter 

asserted that a ‘‘speaker’’ (y.19) 

‘‘specially designed’’ for a USML item 

would necessarily be classified as a 

3A611.x item, despite the positive 

enumeration of ‘‘speakers’’ within 

3A611.y and the clear intent that .y 

items are intended to constitute a 

positive list of ‘‘specially designed’’ 

items which warrant no more than ATonly controls, whether ‘‘specially 

designed’’ for ECCN 3X600 series items 

or USML items. 

The commenter recommends fixing 

this by revising paragraphs .x and .y to 

exclude items elsewhere specified on 

the USML or CCL and by revising 

paragraph .y to apply to specific 

‘‘parts,’’ ‘‘components,’’ ‘‘accessories’’ 

and ‘‘attachments’’ ‘‘specially designed’’ 

for a commodity subject to control in 

this entry or for an article controlled by 

USML Category XI. 

Response 27 

BIS believes that no ambiguity exists 

between the scope of paragraphs .x and 

.y. The commenter’s proposed solution 

would undermine the order of review 

set forth in Supplement No. 4 to part 

774 of the EAR. However, BIS makes 

changes to this final rule to address the 

concern of the commenter. In this final 

rule, BIS makes paragraph .y applicable 

to commodities listed therein if they are 

‘‘specially designed’’ for a commodity in 

any ‘‘600 series’’ ECCN or USML 

defense article and adds text to 

paragraph .x that explicitly excludes 

commodities in paragraph .y from the 

control of .x. 


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Comment Concerning ECCN 3B611 

Comment 28 

One commenter expressed support for 

the proposal in the State and Commerce 

July 25 (military electronics) rules to 

transfer to the CCL under ECCN 3B611 

all ‘‘Test, Inspection and Production 

Equipment for Military Electronics’’ that 

is not explicitly enumerated in the 

revised USML Category XI. The 

commenter expressed a belief that this 

proposal recognizes an important 

technical difference and implements an 

equally important policy differentiation 

between test equipment and operational 

military equipment. 

Response 28 

BIS acknowledges the comment. 

Comments Concerning ECCN 3D611 

Comment 29 

One commenter recommended 

changing ‘‘specially designed’’ to 

‘‘required’’ in the heading and in 

paragraphs .a, .b, .y of ECCN 3D611 for 

consistency with EAR definition of 

‘‘required.’’ This commenter also 

recommended changing ‘‘commodities’’ 

to ‘‘items’’ 3D611.a and adding ‘‘or 

3D611’’ to comply with WAML category 

21.a. Finally, this commenter 

recommended adding new 3D611.c 

‘‘software’’ not enumerated in the USML 

or otherwise enumerated in the CCL 

performing the military functions of 

equipment enumerated in USML 

Category XI or 3A611 to comply with 

WAML category 21.c. 

Response 29 

BIS is making no changes to the rule 

in response to this comment. Although 

the definition of ‘‘required’’ in the EAR 

can apply to software, nothing in that 

definition requires that the word be 

used in all ECCNs that control software. 

The definition is very similar to 

paragraph (a)(1) of the definition of 

specially designed. In this instance the 

term ‘‘specially designed’’ tailors the 

ECCN text more closely to BIS’s 

objective of not including dual-use 

software in a ‘‘600 series’’ ECCN. 

BIS does not agree with this 

commenter’s interpretation of WAML 

category ML21. BIS believes that the 

phrase ‘‘specified by the Munitions 

List’’ in category ML21 refers to 

categories on the WAML that cover 

equipment, materials or related 

software, not to WAML category ML21 

itself, which applies to software 

generally. WAML category ML11 

applies to military electronic equipment 

not specified elsewhere on the WAML, 

which, in this rule, is covered by ECCN 

3A611. ECCN 3D611 applies to software 

for that equipment, thereby 

implementing the scope of WAML 

category ML21 as it applies to software 

for military electronics. Because ECCN 

3A611 controls commodities as that 

term is defined in the EAR, describing 

the software controlled by ECCN 3D611 

as being for commodities controlled by 

ECCN 3A611 is appropriate. 

Comment Concerning ECCN 3E611 

Comment 30 

One commenter noted that discrete 

items on a network that are classified as 

4x994, 5x001, 5x002, 5x991 and EAR99 

sometimes require maintenance, repair 

or replacement. Proposed 3E611 would 

control ‘‘operation, installation, 

maintenance, and repair of 

‘commodities’ controlled by ECCN 

3A611.’’ In the case of a system 

classified as ECCN 3A611, the proposed 

ECCN is ambiguous as to whether, for 

example, the maintenance and repair of 

an end-item such as a switch classified 

as ECCN 5A002 would be controlled by 

ECCN 3E611. 

The commenter recommended 

eliminating the ambiguity by adding a 

note to ECCN 3E611 to read as follows: 

‘‘ECCN 3E611.a does not control the 

operation, installation, maintenance, or 

repair of non-‘600 series’ items that are 

or are intended to be included in 

‘systems’ controlled by ECCN 3A611.a.’’ 

Response 30 

ECCN 3E611.a controls ‘‘technology’’ 

(other than that described in 3E611.b or 

3E611.y) ‘‘required’’ for the 

‘‘development,’’ ‘‘production,’’ 

operation, installation, maintenance, 

repair, overhaul, or refurbishing of 

commodities or software controlled by 

ECCN 3A611, 3B611 or 3D611. It does 

not control other technology that is not 

so ‘‘required,’’ even if that other 

technology is being used to service a 

network that contains devices or 

software controlled by ECCN 3A611, 

3B611 or 3D611, nor does it control 

such other technology that is used to 

service the commodities or software 

controlled by 3A611, 3B611 or 3D611. 

However, ECCN 3E611 does control 

technology that is so ‘‘required,’’ even if 

that technology is being used to service 

something else. Given the military 

nature of ‘‘600 series’’ technology, BIS 

believes that this level of control must 

be maintained. Accordingly, BIS is 

making no changes to the final rule in 

response to this comment. 

Comment 31 

One commenter recommended 

changing the phrase found in 3E611.a 

‘‘other than that described in 3E611.b or 

3E611.y’’ to read ‘‘not controlled by 

3E611.b or 3E611.y.’’ This same 

commenter also recommended deleting 

3E611.b because, he asserted, with the 

above change in 3E611.a, 3E611.b 

would be covered by 3E611.a. 

Response 31 

This final rule adopts the 

commenter’s recommendation in part. 

The proposed rule text ‘‘other than that 

described in 3E611.b or 3E611.y’’ is 

revised to read ‘‘other than that 

controlled by 3E611.b or 3E611.y.’’ The 

revised text for 3E611.a more closely 

follows the text generally used in 

ECCNs and, being a familiar phrasing, is 

less likely to be misunderstood. 

However, BIS does not agree that the 

change brings ECCN 3E611.b within the 

scope of 3E611.a. Paragraph .b controls 

technology for four specific 

commodities. Without the specific 

listing in paragraph .b and a related 

exclusion in paragraph .a, that 

technology would be controlled under 

the broader general language of 

paragraph .a. The purpose of paragraph 

.b in ECCN 3E611 is to delineate 

technology types for which License 

Exception STA may be used only for 

‘‘build-to-print’’ technology, a limitation 

that does not apply to paragraph .a. 

Placing these items in a separate 

paragraph allows for simpler language 

in paragraph .a and, BIS believes, will 

make the scope of the STA limitation 

more readily discernible to readers. 

Comment 32 

One commenter recommended that 

BIS add a new 3E611.c: ‘‘Technology’’ 

‘‘required’’ for the design of, the 

assembly of components into, and the 

operation, maintenance, and repair of 

complete production installations for 

items specified by the U.S. Munitions 

List or ‘‘600 series’’ ECCNs. The 

commenter’s proposed paragraph .c 

would apply even if the components of 

such production installations are not 

specified. The commenter stated that 

this proposal is necessary to comply 

with WAML category 22.b.1. 

Response 32 

The product group ‘‘E’’ ‘‘600 series’’ 

ECCNs provide controls consistent with 

the United States commitment as a 

Wassenaar Arrangement member state 

for the commodities and software that 

are in the related ‘‘600 series’’ ECCNs 

(e.g., 3E611 controls technology for 

commodities and software in other 

ECCNs that end in 611). An additional 

control on all such technology is not 

needed and could cause confusion 

about where on the CCL a particular 

technology is controlled. Therefore this 


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final rule does not adopt the changes 

recommended in this comment. 

Comments Concerning Definitions 

Comment 33 

One commenter recommended adding 

definitions for ‘‘form,’’ ‘‘fit’’ and 

‘‘function’’ to § 772.1 of the EAR. 

Response 33 

These three terms are defined for 

purposes of the definition of the term 

‘‘specially designed’’ within the text of 

that definition in § 772.1 of the EAR. 

That definition became effective on 

October 15, 2013, after the comment 

period on the July 25 (military 

electronics) rule closed on September 9, 

2013. Therefore, BIS makes no changes 

to the EAR in response to this comment. 

Comment 34 

One commenter stated that the 

‘‘Digital Computer’’ definition currently 

applies to Categories 4 and 5 and that 

BIS now needs to add Category 3 to that 

definition. 

Response 34 

ECCN 3A611.a, which is being created 

by this rule, includes, inter alia, the 

phrase ‘‘. . . computer equipment, end 

items, or systems ‘‘specially designed’’ 

for military use. . . .’’ However, the 

term ‘‘digital computer’’ is not used in 

3A611, nor does it appear in the text of 

this final rule or elsewhere in CCL 

Category 3. Therefore, this final rule 

does not add a reference to Category 3 

to the definition of digital computer in 

§ 772.1 of the EAR. 

Comment 35 

One commenter recommended 

harmonizing the definition of ‘‘export’’ 

in the ITAR and EAR. This commenter 

expressed the opinion that the EAR is 

less restrictive than the ITAR with 

respect to sending equipment into 

international waters temporarily 

because it defines ‘‘export’’ differently 

than does the ITAR. 

Response 35 

The change suggested in this 

comment is outside the scope of the July 

25 (military electronics) rule and is, 

therefore, not adopted in this final rule. 

Nevertheless, harmonizing definitions 

in the ITAR and the EAR remains one 

of the Administration’s goals in the 

Export Control Reform Initiative. BIS 

and the other government bodies 

involved in that initiative continue to 

review the possibility of harmonizing 

this definition. 

Comment 36 

One commenter asked that BIS clarify 

whether paragraph (b)(3)(ii) of the 

‘‘specially designed’’ definition releases 

.y items. Paragraph (b)(3)(iii) releases 

items used in or with an item that is 

either not enumerated on the CCL or 

USML or in an ECCN controlled only for 

AT reasons. The commenter stated that 

the .y paragraphs are controlled for AT 

and China military end use (744.21) and 

the de minimis restriction for foreign 

articles containing items that are in 

‘‘600 series’’ ECCNs. 

Response 36 

To be excluded from the definition of 

‘‘specially designed’’ under paragraph, 

(b)(3)(ii), the item either must be 

controlled in an ECCN in which the 

only reason for control is antiterrorism 

or must be controlled in an ECCN that 

Note 1 to the definition of ‘‘specially 

designed’’ identifies as an ECCN that is 

treated as such for the purposes of the 

definition. The .y paragraphs do not 

meet either of those standards and, thus, 

are not excluded from the definition of 

‘‘specially designed.’’ 

Comment 37 

One commenter requested that BIS 

clarify use of the phrase ‘‘for use in or 

with a commodity or defense article 

enumerated or otherwise described on 

the CCL or the USML’’ in paragraph 

(a)(2) of the ‘‘specially designed’’ 

definition. The commenter stated that 

BIS and DDTC personnel have described 

this phrase as meaning ‘‘one level up’’ 

in a hierarchical design structure. For 

example, a part might be incorporated 

into a component, which is further 

incorporated into an end item. The 

commenter indicated that in 

determining whether the part was 

within the scope of specially designed, 

one would need to look only at the 

component into which the part would 

be incorporated, not the end item into 

which the component would be 

incorporated. The commenter suggested 

that this practice would not be 

appropriate for sensitive military items 

because (in this example) the part might 

be peculiarly responsible for achieving 

the performance levels of the end item. 

Moreover, the commenter stated that 

unscrupulous manufacturers could 

insert artificial non-enumerated levels 

into a hierarchal design for the purpose 

of decontrolling a sensitive item. 

Response 37 

After some review, BIS concludes that 

no change to this final rule is needed in 

response to this comment. A part that is 

‘‘peculiarly responsible for achieving or 

exceeding the performance levels, 

characteristics or functions in the . . . 

ECCN or the U.S. Munitions List 

(USML) paragraph’’ that controls the 

end item would, according to paragraph 

(a)(1) of the definition, be ‘‘specially 

designed’’ for that end item unless 

released by paragraph (b). Paragraphs 

(b)(1) and (b)(2), if applicable, would 

release the part regardless of the level of 

the component into which it was 

installed. Paragraph (b)(3) releases parts 

because they are in fact used in or with 

an item that is in production and is 

either EAR99 or in an ECCN controlled 

only for antiterrorism reasons. Release 

of parts that are in fact so used is 

appropriate regardless of whether the 

item in production is an end item or an 

intermediate part or component because 

of the actual use in a civil product or the 

actual intent at the design stage not to 

design the item for a military 

application. Paragraphs (b)(4), (b)(5) and 

(b)(6) release items based on 

documented design intent. Release of a 

part from the definition is appropriate if 

the actual documented design intent 

applicable to that part meets the criteria 

set forth in one of those paragraphs 

regardless of the nature of the end item 

that the part is used in or with. Merely 

creating an artificial non-enumerated 

[on the CCL] level in design documents 

in an attempt to decontrol a part or 

component would not satisfy the criteria 

for release from the definition of 

‘‘specially designed’’ because such 

documents would not reflect actual use 

or actual design intent. Moreover, such 

an attempt would likely be an attempt 

to evade a requirement of the EAR and 

possibly a violation of other laws as 

well. 

Comment 38 

One commenter recommended that 

both the ITAR and the EAR adopt the 

JEDEC [Joint Electron Device 

Engineering Council] definition of the 

term ‘‘application specific integrated 

circuit (ASIC),’’ i.e., ‘‘an integrated 

circuit developed and produced for a 

specific application or function and for 

a single customer.’’ The commenter 

stated that ‘‘[d]oing so will utilize 

existing industry terminology and, 

accordingly, will provide exporters with 

a clear basis upon which to classify an 

integrated circuit.’’ 

Response 38 

Although BIS believes that a 

definition would add clarity, it is 

concerned that the definition that the 

commenter recommends could result in 

the unwarranted removal of ASICs from 

ECCN 3A611 that are specific to a ‘‘600 

series’’ commodity merely because a 

second customer purchases the circuit. 


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Because of these concerns, BIS is not 

adopting the commenter’s definition for 

the term ‘‘application specific integrated 

circuit (ASIC).’’ However, to enhance 

clarity, this final rule includes text in 

ECCN 3A611 describing application 

specific integrated circuits as 

‘‘integrated circuits developed and 

produced for a specific application or 

function regardless of the number of 

customers.’’ 

Comments Concerning Commodity 

Jurisdiction Decisions 

Comment 39 

Three commenters addressed the 

effect of the Department of State 

commodity jurisdiction determinations 

(CJs) that designated an item as subject 

to the EAR prior to the effective date of 

this rule. One commenter recommended 

that the definition of ‘‘specially 

designed’’ be revised to state either that 

CJs take precedence over the new rules 

or that a CJ request needs to be 

resubmitted if it does not explicitly 

address parameters in the new rules. 

One commenter stated that the text of 

paragraph (b)(1) of the ‘‘specially 

designed’’ definition differs from the 

text of General Order No. 5. The 

commenter pointed out that some CJs 

did not provide an ECCN, but simply 

stated that an item was not subject to 

the USML. This commenter asserted 

that an item with such a CJ and not 

listed in an ‘‘018’’ ECCN would not be 

in the ‘‘600 series’’ by General Order No. 

5, but would not be released by 

paragraph (b)(1) in the ‘‘specially 

designed’’ definition. A third 

commenter recommended adding a note 

to General Order No. 5 to read ‘‘Note 1: 

‘Enumerated’ refers to any item (i) on 

either the USML or CCL not controlled 

in a ‘catch-all’ paragraph and (ii) when 

on the CCL, controlled by an ECCN for 

more than Anti-Terrorism (AT) reasons 

only.’’ This commenter stated that ‘‘with 

the implementation of 3A611.x, a series 

600 ‘‘specially designed’’ catch-all 

paragraph, commodities previously selfdetermined to be EAR99 may be 

controlled under 3A611.x as a result of 

the product’s original design intent.’’ 

The commenter stated that it had 

received ‘‘a class commodity 

jurisdiction that determined a product is 

subject to the EAR when the commodity 

fails to meet or exceed the minimum 

performance levels for control under the 

ITAR.’’ The commenter then classified 

the commodities as EAR99 ‘‘because the 

commodities are not positively 

controlled in the CCL.’’ 

Response 39 

BIS believes that no change to the 

wording of either General Order No. 5 

or the ‘‘specially designed’’ definition is 

needed to address the concerns of these 

commenters. Paragraph (c) of General 

Order No. 5 reads: 

Prior commodity jurisdiction 

determinations. If the U.S. State Department 

has previously determined that an item is not 

subject to the jurisdiction of the ITAR and 

the item was not listed in a then existing 

‘‘018’’ series ECCN, then the item is per se 

not within the scope of a ‘‘600 series’’ ECCN. 

If the item was not listed elsewhere on the 

CCL at the time of such determination (i.e., 

the item was designated EAR99), the item 

shall remain designated as EAR99 unless 

specifically enumerated by BIS or DDTC in 

an amendment to the CCL or to the USML, 

respectively. (Emphasis added.) 

The question of whether the item was 

listed in a ‘‘018’’ series ECCN that 

existed at the time of the determination 

or whether it was listed on the CCL at 

all at the time of the determination is a 

question of fact. It is not a question of 

whether CJs take precedence over recent 

amendments to the EAR. Paragraph (c) 

applies to determinations by the State 

Department ‘‘that an item is not subject 

to the jurisdiction of the ITAR.’’ It does 

not require that the State Department 

determine that the item is EAR99 for the 

paragraph to be applicable. The phrase 

‘‘such determination’’ in the second 

sentence refers to the State Department’s 

determination that the item was not 

subject to the ITAR. Items subject to 

such determinations that were not in a 

‘‘018’’ series at the time of that State 

Department determination do not 

become ‘‘600 series’’ items as a result of 

this rule. Items subject to such 

determinations that became EAR99 

because they were not on the CCL at all 

at the time of the State Department 

determination do not lose their EAR99 

status unless subsequently ‘‘specifically 

enumerated’’ in an amendment to the 

CCL or USML. The .x paragraphs of the 

ECCNs in this rule are ‘‘catch all’’ 

paragraphs that do not specifically 

enumerate the items that they control. 

There is no need to resubmit CJ requests 

to determine whether the criteria in 

paragraph (c) of General Order No. 5 are 

met. 

Comment Concerning License 

Exceptions 

Comment 40 

One commenter expressed concern 

about what it termed ‘‘the proposed 

prohibition on the use of the STA 

Exception for this Category [ECCN 

3A611].’’ The commenter suggested a 

modification to the STA paragraph in 

3A611 that it said would allow for 

control by DOC of the applicability of 

the exception. Under the commenter’s 

suggested language, the STA paragraph 

in ECCN 3A611 would read as follows: 

‘‘Paragraph (c)(2) of License Exception 

STA (§ 740.20(c)(2) of the EAR) may not 

be used for any item in 3A611, unless 

determined by BIS to be eligible for 

License Exception STA in accordance 

with § 740.20(g) (License Exception STA 

eligibility requests for ‘‘600 series’’ end 

items).’’ 

Response 40 

BIS believes that the commenter is 

misreading the STA paragraph in ECCN 

3A611. That paragraph precludes use of 

paragraph (c)(2) of License Exception 

STA; it does not preclude the use of 

paragraph (c)(1). Paragraph (c)(1) 

authorizes the use of License Exception 

STA to the 36 destinations in Country 

Group A:5. Paragraph (c)(2) authorizes 

limited use of License Exception STA to 

send certain items to the eight 

destinations listed in Country Group 

A:6 if the only reason for control that 

applies to the transaction is national 

security. No ‘‘600 series’’ items are 

eligible to be exported to destinations in 

Country Group A:6 under License 

Exception STA, a policy that has been 

followed consistently in all rules 

creating ‘‘600 series’’ ECCNs. 

Accordingly, BIS is making no changes 

to the rule in response to this comment. 

Comment Concerning Recordkeeping 

Comment 41 

One commenter stated that BIS takes 

the view that EAR recordkeeping 

requirements apply to all transactions 

described in § 762.1 of the EAR, 

including those transactions that are 

completed without a license, under a 

License Exception, or pursuant to an 

individual license issued by BIS. The 

commenter stated that recording 

intangible technology transfers that do 

not require a license may have made 

sense when fewer methods of making 

such transfers existed. However, the 

commenter asserts that the same 

recordkeeping requirement for 

intangible transfers of NLR technology 

now applies to email, individual 

phones, VOIP and teleconferences. 

Large companies with multinational 

operations can generate thousands of 

records annually. The benefit of not 

requiring a license is largely negated by 

this recordkeeping requirement, with no 

obvious corresponding benefit to 

national security. This also seems to 

contradict the goals of Export Control 

Reform—previously licensed technology 

will become NLR, but records of 


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unlicensed, intangible transfers still 

need to be kept. 

The commenter suggested that BIS 

review the value of industry 

maintaining records of transfers of 

technologies for which no license is 

required. BIS might be guided by its 

approach to EAR § 732.5(b), which 

states that exports from the United 

States of items on the CCL that are 

designated EAR99 generally do not 

require a Destination Control Statement, 

even though such items are ‘‘subject to 

the EAR.’’ Similar flexibility in 

interpreting what is subject to the EAR 

could be usefully applied to NLR 

recordkeeping. 

Response 41 

BIS is not making any changes to the 

EAR recordkeeping requirements in 

response to this comment because such 

changes would be outside the scope of 

the changes proposed in the July 25 

(military electronics) rule. However, BIS 

is planning to undertake a 

comprehensive review of its 

recordkeeping requirements, including 

seeking public comment on those 

requirements in the near future. 

Comment Concerning Conflict Between 

the EAR and the ITAR 

Comment 42 

One commenter recommended that 

BIS ‘‘revise [ECCN] 2A984 parameters to 

de-conflict with the parameters 

included in the [USML] Category 

XI(a)(10). As written [in the July 25 

Department of State Military Electronics 

Rule], Category XI(a)(10) identifies 

electronic sensor systems or equipment 

for detection of concealed weapons 

having a standoff detection range of 

greater than 45 meters this conflicts 

with [current ECCN] 2A984 entry for 

concealed object detection equipment 

which includes a standoff distance of 

100 meters.’’ (Emphasis in original). 

Response 42 

This comment was also made in 

connection with the State July 25 

(military electronics) rule. The 

Department of State’s final rule includes 

language in Category XI(a)(10) that 

excludes sensor systems that meet the 

technical parameters set forth in ECCN 

2A984, effectively eliminating any 

overlap in coverage. Therefore, this final 

rule makes no change to ECCN 2A984 

in response to this comment. 

Comments Not Related to the Proposed 

Rule 

Comment 43 

One commenter recommended 

changes to 37 ECCNs and several 

changes to the USML to address 

instances where the commenter 

believed the regulations are inconsistent 

with the Missile Technology Control 

Regime or where the commenter 

believed that ITAR and the EAR are 

inconsistent or overlap. 

Response 43 

BIS is taking no action on this 

comment because it is not relevant to 

the July 25 (military electronics) rule. 

Comment 44 

Two commenters recommended that 

certain items be removed from the 

USML. 

Response 44 

BIS is taking no action on these 

comments because the USML is 

administered by the Department of 

State. 

Detailed Description of Changes Made 

by This Rule 

Revision to Note 1 to ECCN 0A614 

This rule adds the phrase ‘‘radar 

trainers for radars classified under 

ECCN 3A611’’ to Note 1 to (ECCN) 

0A614, which is an illustrative list of 

items controlled by that entry. BIS 

proposed including that phrase in its 

initial proposal to create ECCN 0A614 

(see 77 FR 35310, 35316, June 13, 2012). 

When the final rule creating ECCN 

0A614 was published, ECCN 3A611, 

although proposed, did not yet exist so 

BIS omitted that phrase from ECCN 

0A614 and stated its intent to add the 

phrase to ECCN 0A614 once ECCN 

3A611 was created (see 79 FR 264, 267, 

January 2, 2014). Because this final rule 

creates ECCN 3A611, it also adds the 

phrase to ECCN 0A614. 

Removal of Obsolete Cross References 

From the ‘‘Related Controls’’ Paragraphs 

of ECCNs 3A001, 3D001, 3E001 and 

3E003 

This rule removes from the ‘‘Related 

Controls’’ paragraphs of ECCNs 3A001, 

3D001, 3E001 and 3E003 references to 

certain specific provisions of the USML 

because the Department of State rule 

that is being published concurrently 

with this rule makes those references 

obsolete. This rule also adds to ECCN 

3A001 a general reference to USML 

Categories XI and XV and ECCNs 9A515 

and 3A611. 

Revisions to ECCN 3A101 

Currently, ECCN 3A101 refers readers 

to the ITAR for analog-to-digital 

converters described in paragraph .a. 

These converters are being moved to the 

CCL and continue to be controlled for 

MT reasons because they are identified 

on the MTCR Annex. Placing such items 

in this ECCN, rather than the new ECCN 

3A611, makes it easier to identify, 

classify, and control such items. 

Consequently, this rule revises ECCN 

3A101.a to control analog-to-digital 

converters usable in ‘‘missiles’’ and 

having any of the characteristics 

described in 3A101.a.1 or a.2. This rule 

also makes a conforming revision to the 

‘‘Related Controls’’ paragraph of that 

ECCN. 

New 3Y611 Series of ECCNs 

This rule adds new ECCNs 3A611, 

3B611, 3D611, and 3E611 to control 

military electronics and related test, 

inspection, and production equipment 

and software and technology currently 

controlled by USML Category XI that 

the President determined no longer 

warrant control on the USML. These 

new ECCNs also control computers, 

telecommunications equipment, radar 

and avionics ‘‘specially designed’’ for 

military use, and parts, components, 

accessories, and attachments ‘‘specially 

designed’’ therefor, and related software 

and technology to the extent that they 

are not enumerated on the proposed 

revisions to Category XI. This structure 

aligns with the current USML Category 

XI and ML11, which include within the 

scope of ‘‘electronics’’ such items as 

computers, telecommunications 

equipment, and radar. BIS believes that 

it is easier to include such items within 

the scope of the proposed new ‘‘600 

series’’ that corresponds to USML 

Category XI, rather than creating new 

‘‘600 series’’ ECCNs in CCL Categories 4 

(computers), 5 (telecommunications), 6 

(radar) and 7 (avionics). BIS, however, 

includes cross references in CCL 

Categories 4, 5, 6 and 7 to alert readers 

that ECCN 3A611 may control such 

items. 

The ECCN 3Y611 series, except for 

ECCN 3Y611.y, is controlled for 

national security (NS Column 1 or NS1), 

regional stability (RS Column 1 or RS1), 

antiterrorism (AT Column 1 or AT1), 

and United Nations embargo (UN) 

reasons. ECCNs 3Y611.y will only be 

controlled for AT1 reasons (with this 

final rule, ECCN 3B611 does not have a 

.y paragraph). Each ECCN in this 3Y611 

series is described more specifically 

below. 

New ECCN 3A611 

ECCN 3A611 paragraph .a controls 

electronic ‘‘equipment,’’ ‘‘end items,’’ 

and ‘‘systems’’ ‘‘specially designed’’ for 

military application that are not 

enumerated in either a USML category 

or another ‘‘600 series’’ ECCN. 

Paragraph .b is being reserved. The 

corresponding USML Category is XI(b), 


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which, in the Department of State rule 

being published concurrently with this 

rule, continues to be a catch-all control 

for ‘‘Electronic systems or equipment, 

not elsewhere enumerated in . . . [the 

ITAR], specially designed for 

intelligence purposes that collects, 

surveys, monitors, or exploits the 

electromagnetic spectrum (regardless of 

transmission medium), or for 

counteracting such activities.’’ 

Paragraphs .c and .d control MMIC 

power amplifiers and discrete 

microwave transistors, respectively. 

Paragraph .c controls MMIC power 

amplifiers in 13 frequency ranges and 

paragraph .d controls discrete 

microwave transistors in 12 distinct 

frequency ranges. Each range has 

additional control parameters of peak 

saturated power output, power added 

efficiency or fractional bandwidth or 

some combination of the three. These 

three parameters also distinguish ECCN 

3A611.c and .d from ECCN 3A001.b.2 

and .b.3, which also control MMIC 

power amplifiers and discrete 

microwave transistors. 

A note states that paragraph .d 

includes bare dice, dice mounted on 

carriers or dice mounted in packages. 

The note also recognizes discrete 

transistors may also be referred to as 

power amplifiers but that doing so does 

not change the classification, whether 

under ECCN 3A001.b.3 or 3A611.d. 

Paragraph .e controls high frequency 

(HF) surface wave radar that maintains 

the positional state of maritime surface 

or low altitude airborne objects of 

interest in a received radar signal 

through time. 

Paragraphs .f, .g, and .h apply 

respectively to: (1) Application specific 

integrated circuits (ASICs) and 

programmable logic devices (PLD) 

programmed for ‘‘600 series’’ items 

other than .y items; (2) printed circuit 

boards and populated circuit card 

assemblies whose layout is ‘‘specially 

designed’’ for ‘‘600 series’’ items other 

than .y items; and (3) multichip 

modules for which the pattern or layout 

is ‘‘specially designed’’ for ‘‘600 series’’ 

items other than .y items. In the Note to 

paragraph .f, ASIC is defined as ‘‘an 

integrated circuit developed and 

produced for a specific application or 

function regardless of number of 

customers for which the integrated 

circuit is developed or produced.’’ 

ASICs, printed circuit boards and 

populated circuit card assemblies and 

multichip modules for .y items are 

controlled in paragraph .y. 

Paragraphs .i through .w are reserved. 

Paragraph .x controls ‘‘parts,’’ 

‘‘components,’’ ‘‘accessories’’ and 

‘‘attachments’’ that are ‘‘specially 

designed’’ for a commodity controlled 

by ECCN 3A611 or for an article 

controlled by USML Category XI, and 

not enumerated or described in a USML 

category. 

A related control note in ECCN 3A611 

clarifies that electronic parts, 

components, accessories, and 

attachments that are ‘‘specially 

designed’’ for military applications that 

are not enumerated in any USML 

Category, but are within the scope of a 

‘‘600 series’’ ECCN, are controlled by 

that ‘‘600 series’’ ECCN. For example, 

electronic components not enumerated 

on the USML that are ‘‘specially 

designed’’ for a military aircraft 

controlled by USML Category VIII or 

ECCN 9A610 are controlled by ECCN 

9A610.x by this final rule. Similarly, 

electronic components not enumerated 

on the USML that are ‘‘specially 

designed’’ for a military vehicle 

controlled by USML Category VII or 

ECCN 0A606 are controlled by ECCN 

0A606.x. The purpose of this note and 

the limitations in ECCN 3A611.x is to 

prevent any overlap of controls over 

electronics ‘‘specially designed’’ for 

particular types of items described in 

other ‘‘600 series’’ ECCNs (which is not 

be controlled by 3A611.x), on one hand, 

and other electronic parts, components, 

accessories, and attachments ‘‘specially 

designed’’ for military electronics that 

are not enumerated on the USML 

(which is controlled by ECCN 3A611.x), 

on the other. 

Additional related control notes 

address: Electronic items that are 

enumerated in USML categories, 

application specific integrated circuits, 

unprogrammed programmable logic 

devices, printed circuit boards and 

populated circuit cards, and multichip 

modules. Finally, a related control note 

informs readers that certain radiationhardened microelectronic circuits are 

controlled by ECCN 9A515.d. 

Notes to ECCN 3A611.x specify that it 

controls: (1) Parts, components, 

accessories, and attachments ‘‘specially 

designed’’ for a radar, 

telecommunications, acoustic system or 

equipment or computer ‘‘specially 

designed’’ for military application that 

are neither controlled in any USML 

category nor controlled in another ‘‘600 

series’’ ECCN; and (2) parts and 

components ‘‘specially designed’’ for 

underwater sensors or projectors 

controlled by proposed USML Category 

XI(c)(12) containing single-crystal lead 

magnesium niobate lead titanate (PMN– 

PT) based piezoelectrics. 

This rule includes an additional note 

to ECCN 3A611.x stating that ‘‘Forgings, 

castings, and other unfinished products, 

such as extrusions and machined 

bodies, that have reached a stage in 

manufacture where they are clearly 

identifiable by mechanical properties, 

material composition, geometry, or 

function as commodities controlled by 

ECCN 3A611.x are controlled by ECCN 

3A611.x.’’ This note, which did not 

appear in the November 28 (military 

electronics) rule or the July 25 (military 

electronics) rule, clarifies BIS’ intent to 

define the parts, components, 

accessories and attachments controlled 

by paragraph .x in an manner that 

makes the controls under paragraph .x 

consistent with the controls currently 

imposed on such parts, components, 

accessories and attachments by the 

ITAR (22 C.F.R. § 121.10). 

ECCN 3A611 also contains a 

paragraph .y with 35 subparagraphs that 

control specified parts, components, 

accessories and attachments for 

commodities in any ‘‘600 series’’ 

ECCNs. Antiterrorism (AT Column 1) is 

the only reason for control that applies 

to paragraph .y. However, as with other 

‘‘600 series’’ .y ECCN paragraphs, 

§ 744.21 of the EAR imposes a license 

requirement for the People’s Republic of 

China. 

New ECCN 3B611 

ECCN 3B611 imposes, under 

paragraph .a, controls on test, 

inspection, and production end items 

and equipment ‘‘specially designed’’ for 

the ‘‘development,’’ ‘‘production,’’ 

repair, overhaul, or refurbishing of items 

controlled in ECCN 3A611 or USML 

Category XI that are not enumerated in 

USML Category XI or controlled by 

another ‘‘600 series’’ ECCN and, under 

paragraph .x, for ‘‘parts,’’ 

‘‘components,’’ ‘‘accessories’’ and 

‘‘attachments’’ that are ‘‘specially 

designed’’ for such test, inspection and 

production end items and equipment 

that are not enumerated on the USML or 

controlled by another ‘‘600 series’’ 

ECCN. Paragraphs .b through .w are 

reserved. 

New ECCN 3D611 

ECCN 3D611 paragraph .a imposes 

controls on software ‘‘specially 

designed’’ for the ‘‘development,’’ 

‘‘production,’’ operation, or 

maintenance of commodities controlled 

by 3A611 or 3B611 other than software 

for 3A611.y. Paragraph .b imposes 

controls on software ‘‘specially 

designed’’ for the ‘‘development,’’ 

‘‘production,’’ operation or maintenance 

of technology in ECCN 3E611.b; i.e., 

software (other than build-to-print 

software) for technology for helix 

traveling wave tubes (TWTs), transmit/ 

receive or transmit modules, MMICs, 

and discrete microwave transistors 


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controlled under ECCN 3A611 is not 

eligible for License Exception STA. 

Paragraphs .c through .x is reserved. 

Paragraph .y controls specific 

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

‘‘production,’’ ‘‘development,’’ 

operation or maintenance of 

commodities enumerated in ECCNs 

3A611.y. 

New ECCN 3E611 

ECCN 3E611 imposes controls on 

‘‘technology’’ ‘‘required’’ for the 

‘‘development,’’ ‘‘production,’’ 

operation, installation, maintenance, 

repair, overhaul, or refurbishing of 

commodities or software controlled by 

ECCN 3A611, 3B611 or 3D611. 

Technology other than ‘‘build-to-print’’ 

technology for helix traveling wave 

tubes (TWTs), transmit/receive or 

transmit modules, MMICs, and discrete 

microwave transistors controlled under 

ECCN 3A611 is not eligible for License 

Exception STA. 

Revisions to ECCN 4A003 

As noted above, the analog-to-digital 

converters described in ECCN 3A101.a 

are now subject to the EAR and 

controlled under that ECCN. Adding the 

text in 3A101.a.2.b for electrical input 

type analog-to-digital converter printed 

circuit boards or modules requires this 

rule to amend ECCN 4A003 to add an 

MT control for items classified under 

ECCN 4A003.e when meeting or 

exceeding the parameters described in 

ECCN 3A101.a.2.b. This amendment is 

necessary because the MT items in new 

paragraph 3A101.a.2.b are a subset of 

the items in paragraph 4A003.e. As a 

technical correction, this rule removes 

from the ‘‘Reasons for Control’’ section 

of ECCN 4A003 the phrase ‘‘NP applies, 

unless a license exception is available. 

See § 742.3(b) of the EAR for 

information on applicable licensing 

review policies.’’ That text does not 

articulate any license requirement, and 

no nuclear nonproliferation license 

requirement for digital computers is set 

forth elsewhere in the EAR. BIS’s 

regular practice is to impose a license 

requirement for nuclear 

nonproliferation reasons on items that 

are controlled by the Nuclear Suppliers 

Group. Digital computers are not so 

controlled. 

Revisions to ECCN 5A001 

This rule revises the ‘‘Related 

Controls’’ paragraph in ECCN 5A001 to 

provide more detailed references to 

telecommunications equipment subject 

to the ITAR under USML Categories XI 

and XV, while adding a reference to 

5A980 and maintaining references to 

ECCNs 5A101, and 5A991. 

New Cross Reference ECCNs 

This final rule creates four new cross 

reference ECCNs to alert readers that 

computers, telecommunications 

equipment, radar and avionics—and 

parts, components, accessories and 

attachments ‘‘specially designed’’ 

therefor—are controlled by ECCN 3A611 

if they are ‘‘specially designed’’ for 

military application. These cross 

references are intended to reduce the 

likelihood of confusion that might 

otherwise arise because computers, 

telecommunications equipment, radar 

and avionics generally are in CCL 

Categories 4, 5 (Part 1), 6 and 7, 

respectively. The new cross reference 

ECCNs and the Categories in which they 

appear are: 4A611, Category 4; 5A611, 

Category 5, Part 1; 6A611, Category 6; 

7A611, Category 7. The avionics cross 

reference ECCN was not in the 

November 28 (military electronics) rule. 

Corrections to ECCNs 7A006 and 7D101 

This rule corrects the reasons for 

control paragraph of ECCN 7A006 to 

state that the MT reason for control 

applies to those items covered by ECCN 

7A006 that also meet or exceed the 

parameters of ECCN 7A106. ECCN 

7A006 now applies the missile 

technology reason for control to a range 

of airborne altimeters that extends 

beyond the range of altimeters that are 

on the MTCR Annex. BIS’s practice is to 

apply the MT reason for control only to 

items on that Annex. This change 

conforms ECCN 7A006 to that practice. 

Similarly, this rule adds the phrase ‘‘for 

missile technology (MT) reasons’’ to the 

heading of ECCN 7D101. Currently, 

ECCN 7D101 applies the MT reason for 

control to software for a range of 

commodity ECCNs. Not all of those 

commodities are controlled for MT 

reasons. The new text limits the scope 

of MT controls in ECCN 7A106 to 

commodities on the MTCR Annex, and 

that of ECCN 7D101 to software for 

commodities on the MTCR Annex. 

New 9Y620 Series of ECCNs 

This rule creates ECCNs 9A620, 

9B620, 9D620, and 9E620 to apply NS1, 

RS1, AT1 and UN reasons for control to 

cryogenic and superconducting 

equipment described in category ML20 

of the WAML, and to test, inspection 

and production equipment, software 

and technology therefor. Category ML20 

covers cryogenic and superconducting 

equipment that is ‘‘specially designed’’ 

to be installed in a vehicle for military 

ground, marine, airborne, or space 

applications. BIS believes that such 

equipment is used in experimental or 

developmental vehicle propulsion 

systems that employ superconducting 

components and cryogenic equipment 

to cool those components. BIS has not 

identified evidence of trade in such 

items. To the extent that exports do 

exist, the items currently are subject to 

the license requirements of the USML 

category that controls the vehicle into 

which the equipment will be installed, 

i.e., Category VI, surface vessels; 

Category VII, ground vehicles; Category 

VIII, aircraft; and Category XV, 

spacecraft. This rule places this 

cryogenic and superconducting 

equipment, its related test, inspection 

and production equipment, and its 

related software and technology into a 

single set of ‘‘600 series’’ ECCNs ending 

with the digits ‘‘20’’ to correspond to the 

relevant WAML category. This approach 

furthers the administration’s Export 

Control Reform Initiative goal of 

aligning U.S. controls with multilateral 

controls wherever feasible. Each ECCN 

in this series is described more 

specifically below. 

New ECCN 9A620 

ECCN 9A620.a controls equipment 

‘‘specially designed’’ to be installed in 

a vehicle for military ground, marine, 

airborne, or space applications, capable 

of operating while in motion and of 

producing or maintaining temperatures 

below 103 K (¥170 °C). Paragraph .b 

controls ‘‘superconductive’’ electrical 

equipment (rotating machinery and 

transformers) ‘‘specially designed’’ to be 

installed in a vehicle for military 

ground, marine, airborne, or space 

applications, and capable of operating 

while in motion. Paragraphs .c through 

.w are reserved. Paragraph .x controls 

parts, components, accessories and 

attachments ‘‘specially designed’’ for a 

commodity controlled by ECCN 9A620. 

This rule adds a note to ECCN 

9A620.x stating that ‘‘Forgings, castings, 

and other unfinished products, such as 

extrusions and machined bodies, that 

have reached a stage in manufacture 

where they are clearly identifiable by 

mechanical properties, material 

composition, geometry, or function as 

commodities controlled by ECCN 

9A620.x are controlled by ECCN 

9A620.x.’’ This note, which did not 

appear in the November 28 (military 

electronics) rule or the July 25 (military 

electronics) rule, clarifies BIS’ intent to 

define the parts, components, 

accessories and attachments controlled 

by paragraph .x in an manner that 

makes the controls under paragraph .x 

consistent with the controls currently 

imposed on such parts components, 

accessories and attachments by the 

ITAR (22 CFR § 121.10). 


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New ECCN 9B620 

ECCN 9B620 controls test, inspection, 

and production end items and 

equipment ‘‘specially designed’’ for the 

‘‘development,’’ ‘‘production,’’ repair, 

overhaul or refurbishing of items 

controlled in ECCN 9A620. 

New ECCN 9D620 

ECCN 9D620 controls software 

‘‘specially designed’’ for the 

‘‘development,’’ ‘‘production,’’ 

operation, or maintenance of 

commodities controlled by ECCNs 

9A620 or 9B620. 

New ECCN 9E620 

ECCN 9E620 controls ‘‘technology’’ 

‘‘required’’ for the ‘‘development,’’ 

‘‘production,’’ operation, installation, 

maintenance, repair, overhaul, or 

refurbishing of commodities or software 

controlled by ECCNs 9A620, 9B620 or 

9D620. 

New Controls on Software and 

Technology for Certain Wing Folding 

Systems 

The Department of State rule being 

published simultaneously with this 

final rule revises USML Category VIII, 

paragraph (h)(4) by adding criteria to 

ensure that certain wing folding systems 

for commercial aircraft, and the related 

software and technology, are not 

controlled as defense articles on the 

USML. As a result, the Department of 

Commerce implements in this final rule 

provisions to control software and 

technology for the development of 

certain wing folding systems for aircraft 

with gas turbine engines. 

A wing folding system for military 

aircraft, other than one described in the 

revised USML Category VIII(h)(4), is 

controlled in the catch-all paragraph .x 

and related software and technology 

controls in the 600 Series ECCNs 9A610, 

9D610 and 9E610. A wing folding 

system for commercial and other 

civilian aircraft is controlled under 

ECCN 9A991, which controls, for 

antiterrorism reasons, aircraft and parts 

and components that are not elsewhere 

specified on the CCL. Production and 

use software and technology for such 

systems can be adequately controlled 

under the related ECCNs 9D991 and 

9E991, respectively. However, software 

and technology controlled by these two 

ECCNs require a license to only five 

destinations. License requirements for a 

greater number of destinations are 

needed for development software and 

technology for wing folding systems to 

be used on large commercial aircraft 

because the software and technology 

required to develop a robust civil 

system would confer insights that 

would be useful to the development of 

a military wing folding system. Ability 

to develop or acquire aircraft with 

robust wing folding systems greatly 

increases the number and types of 

military aircraft that can be deployed 

from an aircraft carrier because of the 

limited space available for storage and 

maintenance activities on such vessels 

as compared to a land based airport. 

No multilateral export controls on this 

development software and technology 

currently exist. Moreover, this software 

and technology does not meet the 

parameters of any current ECCN that 

would provide a license requirement for 

the appropriate number of destinations, 

creating a risk that the civil 

development software and technology 

will be exported without the U.S. 

Government prior review that such 

transactions merit. 

Based on the foregoing, the 

Department of Commerce, with the 

concurrence of the Departments of 

Defense and State, has determined that 

software and technology for the 

development of wing folding systems 

for aircraft with gas turbine engines 

should be controlled on the CCL for 

export due to the growth in civil 

application for wing folding systems. 

The software and technology for the 

development of these systems still 

provide at least a significant military or 

intelligence advantage to the United 

States such that control at the AT-only 

level in ECCNs 9D991 and 9E991 would 

not sufficiently limit the proliferation of 

this technology contrary to U.S. national 

security and foreign policy interest. 

Therefore, this final rule adds such 

software and technology to Supplement 

No. 5 to part 774, thereby controlling 

them under ECCNs 0D521 and 0E521, 

respectively. In accordance with 

§ 742.6(a)(7)(iii) of the EAR, this 

software and technology will remain soclassified for one year from the date 

they are listed in Supplement No. 5 to 

part 774 of the EAR unless the software 

or technology is re-classified under a 

different ECCN, the 0Y521 classification 

is extended, or the software or 

technology is designated as EAR99. The 

U.S. Government intends to submit a 

proposal to control this software and 

technology on the Wassenaar 

Arrangement Dual-Use List. An ECCN 

0Y521 classification may be extended 

for two one-year periods to provide time 

for the U.S. Government and 

multilateral regime(s) to reach 

agreement on controls for the item, and 

provided that the U.S. Government has 

submitted a proposal to obtain 

multilateral controls over the item. 

Further extension beyond three years 

may occur only if the Under Secretary 

for Industry and Security makes a 

determination that such an extension is 

in the national security or foreign policy 

interests of the United States. An 

extension or re-extension, including a 

determination by the Under Secretary 

for Industry and Security, will be 

published in the Federal Register. 

Export Administration Act 

Although the Export Administration 

Act expired on August 20, 2001, the 

President, through Executive Order 

13222 of August 17, 2001, 3 CFR, 2001 

Comp., p. 783 (2002), as amended by 

Executive Order 13637 of March 8, 

2013, 78 FR 16129 (March 13, 2013) and 

as extended by the Notice of August 8, 

2013, 78 FR 49107 (August 12, 2013), 

has continued the Export 

Administration Regulations in effect 

under the International Emergency 

Economic Powers Act. BIS continues to 

carry out the provisions of the Export 

Administration Act, as appropriate and 

to the extent permitted by law, pursuant 

to Executive Order 13222 as amended 

by Executive Order 13637. 

Rulemaking Requirements 

1. Executive Orders 13563 and 12866 

direct agencies to assess all costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distribute impacts, and equity). 

Executive Order 13563 emphasizes the 

importance of quantifying both costs 

and benefits, of reducing costs, of 

harmonizing rules, and of promoting 

flexibility. This rule has been 

designated a ‘‘significant regulatory 

action,’’ although not economically 

significant, under section 3(f) of 

Executive Order 12866. Accordingly, 

the rule has been reviewed by the Office 

of Management and Budget (OMB). 

2. Notwithstanding any other 

provision of law, no person is required 

to respond to, nor is subject to a penalty 

for failure to comply with, a collection 

of information, subject to the 

requirements of the Paperwork 

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

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

information displays a currently valid 

OMB control number. This final rule 

affects two approved collections: 

Simplified Network Application 

Processing System (control number 

0694–0088), which includes, among 

other things, license applications, and 

License Exceptions and Exclusions 

(0694–0137). 

As stated in the proposed rule 

published on July 15, 2011 (76 FR 


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41958), BIS initially believed that the 

combined effect of all rules to be 

published adding items to the EAR that 

will be removed from the ITAR as part 

of the administration’s Export Control 

Reform Initiative will increase the 

number of license applications to be 

submitted by approximately 16,000 

annually. As the review of the USML 

has progressed, the interagency group 

has gained more specific information 

about the number of items that will 

come under BIS jurisdiction and 

whether those items would be eligible 

for export under license exception. As 

of June 21, 2012, BIS revised that 

estimate to an increase in license 

applications of 30,000 annually, 

resulting in an increase in burden hours 

of 8,500 (30,000 transactions at 17 

minutes each) under control number 

0694–0088. BIS continues to believe 

that its revised estimate is accurate. 

Military electronic equipment, certain 

cryogenic and superconducting 

equipment, related test, inspection and 

production equipment, ‘‘parts,’’ 

‘‘components,’’ ‘‘accessories’’ and 

‘‘attachments,’’ ‘‘software’’ and 

‘‘technology’’ formerly on the USML 

become eligible for License Exception 

STA under this rule. BIS believes that 

the increased use of License Exception 

STA resulting from the combined effect 

of all rules to be published adding items 

to the EAR that would be removed from 

the ITAR as part of the Administration’s 

Export Control Reform Initiative would 

increase the burden associated with 

control number 0694–0137 by about 

23,858 hours (20,450 transactions @ 1 

hour and 10 minutes each). 

BIS expects that this increase in 

burden will be more than offset by a 

reduction in burden hours associated 

with approved collections related to the 

ITAR. The largest impact of the 

proposed rule would likely apply to 

exporters of replacement parts for 

military electronic equipment that has 

been approved under the ITAR for 

export to allies and regime partners. 

Because, with few exceptions, the ITAR 

allows exemptions from license 

requirements only for exports to 

Canada, most exports of such parts, 

even when destined to NATO and other 

close allies, require specific State 

Department authorization. Under the 

EAR, as proposed here, such parts 

would become eligible for export to 

NATO and other multi-regime allies 

under License Exception STA. Use of 

License Exception STA imposes a 

paperwork and compliance burden 

because, for example, exporters must 

furnish information about the item 

being exported to the consignee and 

obtain from the consignee an 

acknowledgement and commitment to 

comply with the EAR. However, the 

Administration understands that 

complying with the burdens of STA is 

likely less burdensome than applying 

for licenses. For example, under License 

Exception STA, a single consignee 

statement can apply to an unlimited 

number of products, need not have an 

expiration date, and need not be 

submitted to the government in advance 

for approval. Suppliers with regular 

customers can tailor a single statement 

and assurance to match their business 

relationship rather than applying 

repeatedly for licenses with every 

purchase order to supply reliable 

customers in countries that are close 

allies or members of export control 

regimes or both. 

Even in situations in which a license 

would be required under the EAR, the 

burden is likely to be reduced compared 

to the license requirement of the ITAR. 

In particular, license applications for 

exports of technology controlled by 

ECCN 3E611 are likely to be less 

complex and burdensome than the 

authorizations required to export ITARcontrolled technology, i.e., 

Manufacturing License Agreements and 

Technical Assistance Agreements. 

3. This rule does not contain policies 

with Federalism implications as that 

term is defined under E.O. 13132. 

4. BIS finds good cause under 5 U.S.C. 

553(b)(B) to waive prior notice, the 

opportunity for public comment for the 

provisions of this final rule imposing 

controls on software and technology for 

the development and production of 

wing folding systems for civil aircraft 

with gas turbine engines to ECCN 0D521 

and 0E521 via Supplement No. 5 to part 

774 of the EAR. BIS, with the 

concurrence of the U.S. Departments of 

Defense and State, is implementing this 

rule because the software and 

technology for those wing folding 

systems provide a significant military or 

intelligence advantage to the United 

States and that expedited control on the 

CCL is needed to prevent diversion of 

such software and technology to 

governments or parties that could use 

the knowledge conveyed by such 

software and technology to acquire 

insights that would be useful in 

developing military aircraft wing 

folding systems and that likely would 

use such insights to the detriment of 

United States national security and 

foreign policy interests. 

Immediate implementation will allow 

BIS to prevent exports of these items to 

users and for uses that pose a national 

security threat to the United States or its 

allies. If BIS delayed this rule to allow 

for prior notice and opportunity for 

public comment, the resulting delay in 

implementation would afford an 

opportunity for the export of these items 

to users and uses that pose such a 

national security threat, thereby 

undermining the purpose of the rule. In 

addition, if parties receive notice of the 

U.S. Government’s intention to control 

these items under 0Y521 once a final 

rule was published, they would have an 

incentive to either accelerate orders of 

these items or attempt to have the items 

exported prior to the imposition of the 

control. 

Further, BIS finds good cause to 

waive the 30-day delay in effectiveness 

under 5 U.S.C. 553(d)(3). Immediate 

implementation will allow BIS to 

prevent exports of these items to users 

and for uses that pose a national 

security threat to the United States or its 

allies. If BIS delayed this rule to allow 

for a 30-day delay in effectiveness, the 

resulting delay in implementation 

would afford an opportunity for the 

export of these items to users and uses 

that pose such a national security threat, 

thereby undermining the purpose of the 

rule. 

Although notice and opportunity for 

comment are not required, BIS 

welcomes comments on the addition of 

wing folding technology or any other 

aspects of this rule at any time. 

Because prior notice and an 

opportunity for public comment are not 

required to be given by 5 U.S.C. 553, or 

by any other law, the analytical 

requirements of the Regulatory 

Flexibility Act, 5 U.S.C. 601 et seq., are 

not applicable for the provisions 

imposing controls on software and 

technology for the development and 

production of wing folding systems for 

aircraft with gas turbine engines. 

5. The Regulatory Flexibility Act 

(RFA), as amended by the Small 

Business Regulatory Enforcement 

Fairness Act of 1996 (SBREFA), 5 U.S.C. 

601 et seq., generally requires an agency 

to prepare a regulatory flexibility 

analysis of any rule subject to the notice 

and comment rulemaking requirements 

under the Administrative Procedure Act 

(5 U.S.C. 553) or any other statute, 

unless the agency certifies that the rule 

will not have a significant economic 

impact on a substantial number of small 

entities. Under section 605(b) of the 

RFA, however, if the head of an agency 

(or his or her designee) certifies that a 

rule will not have a significant impact 

on a substantial number of small 

entities, the statute does not require the 

agency to prepare a regulatory flexibility 

analysis. Pursuant to section 605(b), the 

Chief Counsel for Regulation, 

Department of Commerce, submitted a 

memorandum to the Chief Counsel for 


tkelley on DSK3SPTVN1PROD with RULES3
Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / Rules and Regulations 37569 

Advocacy, Small Business 

Administration, certifying that the 

November 28 (military electronics) rule 

would not have a significant impact on 

a substantial number of small entities. 

The rationale for that certification was 

set forth in the preamble to that 

proposed rule (77 FR 70945, 70950– 

70951, November 28, 2012). Although 

BIS received no comments on that 

rationale, and has accordingly made no 

changes to the proposed rule based on 

the RFA certification, BIS, in the 

interest of openness and transparency, 

briefly restates the rationale behind the 

certification in this final rule. 

This rule is part of the 

Administration’s Export Control Reform 

Initiative, which seeks to revise the 

USML to a positive list—one that does 

not use generic, catch-all controls for 

items listed—and to move some items 

that the President has determined no 

longer merit control under the ITAR and 

should be controlled under the CCL. 

Although BIS does not collect data on 

the size of entities that apply for and are 

issued export licenses, and is therefore 

unable to estimate the exact number of 

small entities—as defined by the Small 

Business Administration’s regulations 

implementing the RFA—BIS 

acknowledges that some small entities 

may be affected by this proposed rule. 

The main effects on small entities 

resulting from this rule will be in 

application times, costs, and delays in 

receiving licenses to export goods 

subject to the CCL. However, while 

small entities may experience some 

costs and time delays for exports due to 

the license requirements of the CCL, 

these costs and delays will likely be 

significantly less than they were for 

items previously subject to the USML. 

BIS believes that in fact this rule will 

result in significantly reduced 

administrative costs and delays for 

exports of items that will, upon this 

rule’s implementation, be subject to the 

EAR rather than the ITAR. Currently, 

USML applicants must pay to use the 

USML licensing procedure even if they 

never actually are authorized to export. 

Registration fees for manufacturers and 

exporters of articles on the USML start 

at $2,250 per year, increase to $2,750 for 

organizations applying for one to ten 

licenses per year and further increases 

to $2,750 plus $250 per license 

application (subject to a maximum of 

three percent of total application value) 

for those who need to apply for more 

than ten licenses per year. By contrast, 

BIS is statutorily prohibited from 

imposing licensing fees. In addition, 

exporters and reexporters of goods that 

would become subject to the EAR under 

this rule would need fewer licenses 

because their transactions would 

become eligible for license exceptions 

that were not available under the ITAR. 

Additionally, the ITAR controlled parts 

and components even when they were 

incorporated—in any amount—into a 

foreign-made product. That limitation 

on the use of U.S.-made goods subject 

to the ITAR discouraged foreign 

manufacturers from importing U.S. 

goods. However, the EAR has a de 

minimis exception for U.S.- 

manufactured goods that are 

incorporated into foreign-made 

products. This exception may benefit 

small entities by encouraging foreign 

producers to use more U.S.-made items 

in their goods. 

Even where an exporter or reexporter 

would need to obtain a license under 

the EAR, that process is both cheaper 

and the process is more flexible than 

obtaining a license under the ITAR. For 

example, unlike the ITAR, the EAR does 

not require license applicants to provide 

BIS with a purchase order with the 

application, meaning that small (or any) 

entities can enter into negotiations or 

contracts for the sale of goods without 

having to caveat any sale presentations 

with a reference to the need to obtain a 

license under the ITAR before shipment 

can occur. Second, the EAR allows 

license applicants to obtain licenses to 

cover all expected exports or reexports 

to a particular consignee over the life of 

a license, rather than having to obtain a 

new license for every transaction. 

In short, BIS expects that the changes 

to the EAR proposed in this rule will 

have a positive effect on all affected 

entities, including small entities. While 

BIS acknowledges that this rule may 

have some cost impacts to small (and 

other) entities, those costs are more than 

offset by the benefits to the entities from 

the licensing procedures under the EAR, 

which are much less costly and less 

time consuming than the procedures 

under the ITAR. Accordingly, the Chief 

Counsel for Regulation for the 

Department of Commerce has certified 

that this rule, if implemented, will not 

have a significant economic impact on 

a substantial number of small entities. 

Accordingly, an initial regulatory 

flexibility analysis is not required, and 

none has been prepared. 

List of Subjects in Part 774 

Exports, Reporting and recordkeeping 

requirements. 

Accordingly, part 774 of the Export 

Administration Regulations (15 CFR 

Parts 730–774) is amended as follows: 

PART 774—[AMENDED] 

■ 1. The authority citation for 15 CFR 

part 774 continues to read as follows: 

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

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

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

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

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

1354; 15 U.S.C. 1824a; 50 U.S.C. app. 5; 22 

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

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

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

Comp., p. 783; Notice of August 8, 2013, 78 

FR 49107 (August 12, 2013). 

■ 2. In Supplement No. 1 to part 774, 

amend Export Control Classification 

Number 0A614 by revising ‘‘Note 1 to 

0A614’’ to read as follows: 

Supplement No. 1 to Part 774—The 

Commerce Control List 

* * * * * 

0A614 Military Training ‘‘Equipment,’’ as 

Follows (see List of Items Controlled). 

* * * * * 

Note 1 to 0A614: This entry includes 

operational flight trainers, radar target 

trainers, flight simulators for aircraft 

classified under ECCN 9A610.a, human-rated 

centrifuges, radar trainers for radars 

classified under ECCN 3A611, instrument 

flight trainers for military aircraft, navigation 

trainers for military items, target equipment, 

armament trainers, military pilotless aircraft 

trainers, mobile training units and training 

‘‘equipment’’ for ground military operations. 

* * * * * 

■ 3. In Supplement No. 1 to part 774, 

revise the ‘‘Related Controls’’ paragraph 

in the ‘‘List of Items Controlled’’ of 

ECCN 3A001 to read as follows: 

Supplement No. 1 to Part 774—The 

Commerce Control List 

* * * * * 

3A001 Electronic components and 

‘‘specially designed’’ ‘‘components’’ 

therefor, as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

Related Controls: See USML Categories XI 

and XV and ECCNs 9A515 and 3A611. 

* * * * * 

■ 4. In Supplement No. 1 to part 774, 

Category 3, amend Export Control 

Classification Number (ECCN) 3A101 

by: 

■ a. Revising the Related Controls 

paragraph in the List of Items Controlled 

section; and 

■ b. Revising paragraph a. in the Items 

paragraph in the List of Items Controlled 

section. 

The revisions read as follows: 

Supplement No. 1 to Part 774—The 

Commerce Control List 

* * * * * 


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37570 Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / Rules and Regulations 

3A101 Electronic equipment, devices and 

components, other than those controlled 

by 3A001, as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: See also ECCN 4A003.e for 

controls on analog-to-digital converters, 

printed circuit boards, or modules for 

computers. 

* * * * * 

Items: 

a. Analog-to-digital converters usable in 

‘‘missiles,’’ and having any of the following 

characteristics: 

a.1. ‘‘Specially designed’’ to meet military 

specifications for ruggedized equipment; 

a.2. ‘‘Specially designed’’ for military use 

and being any of the following types: 

a.2.a. Analog-to-digital converter 

microcircuits which are radiation-hardened 

or have all of the following characteristics: 

a.2.a.1. Having a quantization 

corresponding to 8 bits or more when coded 

in the binary system; 

a.2.a.2. Rated for operation in the 

temperature range from ¥54 °C to above 

+125 °C; and 

a.2.a.3. Hermetically sealed; or 

a.2.b. Electrical input type analog-to-digital 

converter printed circuit boards or modules, 

having all of the following characteristics: 

a.2.b.1. Having a quantization 

corresponding to 8 bits or more when coded 

in the binary system; 

a.2.b.2. Rated for operation in the 

temperature range from below ¥45 °C to 

above +55 °C; and 

a.2.b.3. Incorporating microcircuits 

identified in 3A101.a.2 .a; 

* * * * * 

■ 5. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 3A292 

and 3A980, add an entry for ECCN 

3A611 to read as follows: 

3A611 Military electronics, as follows (see 

List of Items Controlled). 

Reason for Control: NS, RS, AT, UN. 

Control(s) 

Country chart (see 

Supp. No. 1 to part 

738) 

NS applies to entire 

entry except 

3A611.y.

NS Column 1 

RS applies to entire 

entry except 

3A611.y.

RS Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to entire 

entry except 

3A611.y.

See § 746.1(b) for UN 

controls 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $1500 for 3A611.a, .d through .h and .x; 

N/A for ECCN 3A611.c. 

GBS: N/A 

CIV: N/A 

Special Conditions for STA 

STA: Paragraph (c)(2) of License Exception 

STA (§ 740.20(c)(2) of the EAR) may not be 

used for any item in 3A611. 

List of Items Controlled 

Related Controls: (1) Electronic items that are 

enumerated in USML Category XI or other 

USML categories, and technical data 

(including software) directly related 

thereto, are subject to the ITAR. (2) 

Application specific integrated circuits 

(ASICs) and programmable logic devices 

(PLD) that are programmed for defense 

articles that are subject to the ITAR are 

controlled in USML Category XI(c)(1). (3) 

See ECCN 3A001.a.7 for controls on 

unprogrammed programmable logic 

devices (PLD). (4) Printed circuit boards 

and populated circuit cards with a layout 

that is ‘‘specially designed’’ for defense 

articles are controlled in USML Category 

XI(c)(2). (5) Multichip modules for which 

the pattern or layout is ‘‘specially 

designed’’ for defense articles are 

controlled in USML Category XI(c)(3). (6) 

Electronic items ‘‘specially designed’’ for 

military application that are not controlled 

in any USML category but are within the 

scope of another ‘‘600 series’’ ECCN are 

controlled by that ‘‘600 series’’ ECCN. For 

example, electronic components not 

enumerated on the USML or a ‘‘600 series’’ 

other than 3A611 that are ‘‘specially 

designed’’ for a military aircraft controlled 

by USML Category VIII or ECCN 9A610 are 

controlled by the catch-all control in ECCN 

9A610.x. Electronic components not 

enumerated on the USML or another ‘‘600 

series’’ entry that are ‘‘specially designed’’ 

for a military vehicle controlled by USML 

Category VII or ECCN 0A606 are controlled 

by ECCN 0A606.x. Electronic components 

not enumerated on the USML that are 

‘‘specially designed’’ for a missile 

controlled by USML Category IV are 

controlled by ECCN 0A604. (7) Certain 

radiation-hardened microelectronic 

circuits are controlled by ECCN 9A515.d or 

9A515.e, when ‘‘specially designed’’ for 

defense articles, ‘‘600 series’’ items, or 

items controlled by 9A515. 

Related Definitions: N/A. 

Items: 

a. Electronic ‘‘equipment,’’ ‘‘end items,’’ 

and ‘‘systems’’ ‘‘specially designed’’ for a 

military application that are not enumerated 

or otherwise described in either a USML 

category or another ‘‘600 series’’ ECCN. 

Note to 3A611.a: ECCN 3A611.a includes 

any radar, telecommunications, acoustic or 

computer equipment, end items, or systems 

‘‘specially designed’’ for military application 

that are not enumerated or otherwise 

described in any USML category or 

controlled by another ‘‘600 series’’ ECCN. 

b. [Reserved] 

c. Microwave ‘‘monolithic integrated 

circuits’’ (MMIC) power amplifiers having 

any of the following: 

c.1. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 2.9 

GHz and having any of the following: 

c.1.a. A ‘‘fractional bandwidth’’ greater 

than 15%, with a peak saturated power 

output greater than 75 W (48.75 dBm) and a 

power added efficiency of 55% or greater 

anywhere within the operating frequency 

range; or 

c.1.b. A ‘‘fractional bandwidth’’ greater 

than 60%, with a peak saturated power 

output greater than 150 W (51.8 dBm) 

anywhere within the operating frequency 

range; 

c.2. Rated for operation at frequencies 

exceeding 2.9 GHz up to and including 3.2 

GHz and having any of the following: 

c.2.a. A ‘‘fractional bandwidth’’ greater 

than 15%, with a peak saturated power 

output greater than 55 W (47.4 dBm) and a 

power added efficiency of 55% or greater 

anywhere within the operating frequency 

range; or 

c.2.b. A ‘‘fractional bandwidth’’ greater 

than 55%, with a peak saturated power 

output greater than 110 W (50.4 dBm) 

anywhere within the operating frequency 

range; 

c.3. Rated for operation at frequencies 

exceeding 3.2 GHz up to and including 3.7 

GHz and having any of the following: 

c.3.a. A ‘‘fractional bandwidth’’ greater 

than 15%, with a peak saturated power 

output greater than 40 W (46 dBm) and a 

power added efficiency of 45% or greater 

anywhere within the operating frequency 

range; or 

c.3.b. A ‘‘fractional bandwidth’’ greater 

than 50%, with a peak saturated power 

output greater than 80 W (49 dBm) anywhere 

within the operating frequency range; 

c.4. Rated for operation at frequencies 

exceeding 3.7 GHz up to and including 6.8 

GHz and having any of the following: 

c.4.a. A ‘‘fractional bandwidth’’ greater 

than 15%, with a peak saturated power 

output greater than 20 W (43 dBm) and a 

power added efficiency of 40% or greater 

anywhere within the operating frequency 

range; or 

c.4.b. A ‘‘fractional bandwidth’’ greater 

than 45%, with a peak saturated power 

output greater than 40 W (46 dBm) anywhere 

within the operating frequency range; 

c.5. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 8.5 

GHz and having any of the following: 

c.5.a. A ‘‘fractional bandwidth’’ greater 

than 10%, with a peak saturated power 

output greater than 10 W (40.0 dBm) and a 

power added efficiency of 40% or greater 

anywhere within the operating frequency 

range; or 

c.5.b. A ‘‘fractional bandwidth’’ greater 

than 40%, with a peak saturated power 

output greater than 20 W (43 dBm) anywhere 

within the operating frequency range; 

c.6. Rated for operation at frequencies 

exceeding 8.5 GHz up to and including 16 

GHz and having any of the following: 

c.6.a. A ‘‘fractional bandwidth’’ greater 

than 10%, with a peak saturated power 

output greater than 5 W (37 dBm) and a 

power added efficiency of 35% or greater 

anywhere within the operating frequency 

range; or 

c.6.b. A ‘‘fractional bandwidth’’ greater 

than 40%, with a peak saturated power 

output greater than 10 W (40 dBm) anywhere 

within the operating frequency range; 

c.7. Rated for operation at frequencies 

exceeding 16 GHz up to and including 31.8 


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GHz with a ‘‘fractional bandwidth’’ greater 

than 10%, and having a peak saturated 

power output greater than 3 W (34.77 dBm) 

and a power added efficiency of 20% or 

greater anywhere within the operating 

frequency range; 

c.8. Rated for operation at frequencies 

exceeding 31.8 GHz up to and including 37 

GHz, and having a peak saturated power 

output greater than 2 W (33 dBm) anywhere 

within the operating frequency range; 

c.9. Rated for operation at frequencies 

exceeding 37 GHz up to and including 43.5 

GHz with a ‘‘fractional bandwidth’’ greater 

than 10%, and having a peak saturated 

power output greater than 1 W (30 dBm) and 

a power added efficiency of 15% or greater 

anywhere within the operating frequency 

range; 

c.10. Rated for operation at frequencies 

exceeding 43.5 GHz up to and including 75 

GHz with a ‘‘fractional bandwidth’’ greater 

than 10%, and having a peak saturated 

power output greater than 31.62 mW (15 

dBm) and a power added efficiency of 10% 

or greater anywhere within the operating 

frequency range; 

c.11. Rated for operation at frequencies 

exceeding 75 GHz up to and including 90 

GHz with a ‘‘fractional bandwidth’’ greater 

than 5%, and having a peak saturated power 

output greater than 10 mW (10 dBm) and a 

power added efficiency of 10% or greater 

anywhere within the operating frequency 

range; 

c.12. Rated for operation at frequencies 

exceeding 90 GHz up to and including 110 

GHz and having a peak saturated power 

output greater than 1.0 mW (0 dBm) 

anywhere within the operating frequency 

range; or 

c.13. Rated for operation at frequencies 

exceeding 110 GHz and having a peak 

saturated power output greater than 100 nW 

(¥40 dBm) anywhere within the operating 

frequency range. 

Note 1 to 3A611.c: The control status of an 

item that has rated operating frequency 

including frequencies listed in more than one 

frequency range, as defined by 3A611.c.1 

through 3A611.c.13, is determined by the 

lowest saturated power output threshold. 

Note 2 to 3A611.c: Peak saturated power 

output may also be referred to as output 

power, saturated power output, maximum 

power output, peak power output, or peak 

envelope power output. 

d. Discrete microwave transistors having 

any of the following: 

d.1. Rated for operation at frequencies 

exceeding 2.7 GHz up to and including 2.9 

GHz and having a peak saturated power 

output greater than 400 W (56 dBm) and a 

power added efficiency of 60% or greater 

anywhere within the operating frequency 

range; 

d.2. Rated for operation at frequencies 

exceeding 2.9 GHz up to and including 3.2 

GHz and having a peak saturated power 

output greater than 205 W (53.12 dBm) and 

a power added efficiency of 60% or greater 

anywhere within the operating frequency 

range; 

d.3. Rated for operation at frequencies 

exceeding 3.2 GHz up to and including 3.7 

GHz and having a peak saturated power 

output greater than 115 W (50.61 dBm) and 

a power added efficiency of 45% or greater 

anywhere within the operating frequency 

range; 

d.4. Rated for operation at frequencies 

exceeding 3.7 GHz up to and including 6.8 

GHz and having a peak saturated power 

output greater than 60 W (47.78 dBm) and a 

power added efficiency of 45% or greater 

anywhere within the operating frequency 

range; 

d.5. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 8.5 

GHz and having a peak saturated power 

output greater than 50 W (47 dBm) and a 

power added efficiency of 50% or greater 

anywhere within the operating frequency 

range; 

d.6. Rated for operation at frequencies 

exceeding 8.5 GHz and up to and including 

12 GHz and having a peak saturated power 

output greater than 20 W (43 dBm) and a 

power added efficiency of 35% or greater 

anywhere within the operating frequency 

range; 

d.7. Rated for operation at frequencies 

exceeding 12 GHz up to and including 16 

GHz and having a peak saturated power 

output greater than 40 W (46 dBm) and a 

power added efficiency of 35% or greater 

anywhere within the operating frequency 

range; 

d.8. Rated for operation at frequencies 

exceeding 16 GHz up to and including 31.8 

GHz and having a peak saturated power 

output greater than 20 W (43 dBm) and a 

power added efficiency of 30% or greater 

anywhere within the operating frequency 

range; 

d.9. Rated for operation at frequencies 

exceeding 31.8 GHz up to and including 37 

GHz and having a peak saturated power 

output greater than 2 W (33 dBm) anywhere 

within the operating frequency range; 

d.10. Rated for operation at frequencies 

exceeding 37 GHz up to and including 43.5 

GHz and having a peak saturated power 

output greater than 1 W (30 dBm) and a 

power added efficiency of 20% or greater 

anywhere within the operating frequency 

range; or 

d.11. Rated for operation at frequencies 

exceeding 43.5 GHz to and including 75 GHz 

and having a peak saturated power output 

greater than 0.5 W (27 dBm) and a power 

added efficiency of 15% or greater anywhere 

within the operating frequency range; 

d.12. Rated for operation at frequencies 

exceeding 75 GHz and having a peak 

saturated power output greater than 0.1 W 

(20 dBm) anywhere within the operating 

frequency range. 

Note 1 to 3A611.d: The control status of an 

item that has rated operating frequency 

including frequencies listed in more than one 

frequency range, as defined by 3A611.d.1 

through 3A611.d.12, is determined by the 

lowest saturated output power threshold. 

Note 2 to 3A611.d: Peak saturated power 

output may also be referred to as output 

power, saturated power output, maximum 

power output, peak power output, or peak 

envelope power output. 

Note 3 to 3A611.d: 3A611.d includes bare 

dice, dice mounted on carriers, or dice 

mounted in packages. Some discrete 

transistors may also be referred to as power 

amplifiers, but the status of these products is 

determined by 3A001.b.3. and 3A611.d. 

e. High frequency (HF) surface wave radar 

that maintains the positional state of 

maritime surface or low altitude airborne 

objects of interest in a received radar signal 

through time. 

Note to 3A611.e: ECCN 3A611.e does not 

apply to systems, equipment, and assemblies 

‘‘specially designed’’ for marine traffic 

control. 

f. Application specific integrated circuits 

(ASICs) and programmable logic devices 

(PLD) that are not controlled by paragraph .y 

of this entry and that are programmed for 

‘‘600 series’’ items. 

Note to paragraph .f: In this paragraph, the 

term ‘application specific integrated circuit’ 

means an integrated circuit developed and 

produced for a specific application or 

function regardless of number of customers 

for which the integrated circuit is developed 

or produced. 

g. Printed circuit boards and populated 

circuit card assemblies that are not controlled 

by paragraph .y of this entry and for which 

the layout is ‘‘specially designed’’ for ‘‘600 

series’’ items. 

h. Multichip modules that are not 

controlled by paragraph .y of this entry and 

for which the pattern or layout is ‘‘specially 

designed’’ for ‘‘600 series’’ items. 

i. through w. [Reserved] 

x. ‘‘Parts,’’ ‘‘components,’’ ‘‘accessories’’ 

and ‘‘attachments’’ that are ‘‘specially 

designed’’ for a commodity controlled by this 

entry or for an article controlled by USML 

Category XI, and not enumerated or 

described in any USML category or another 

600 series ECCN or in paragraph .y of this 

entry. 

Note 1 to ECCN 3A611.x: ECCN 3A611.x 

includes ‘‘parts,’’ ‘‘components’’, 

‘‘accessories’’, and ‘‘attachments’’ ‘‘specially 

designed’’ for a radar, telecommunications, 

acoustic system or equipment or computer 

‘‘specially designed’’ for military application 

that are neither controlled in any USML 

category nor controlled in another ‘‘600 

series’’ ECCN. 

Note 2 to ECCN 3A611.x: ECCN 3A611.x 

controls ‘‘parts’’ and ‘‘components’’ 

‘‘specially designed’’ for underwater sensors 

or projectors controlled by USML Category 

XI(c)(12) containing single-crystal lead 

magnesium niobate lead titanate (PMN–PT) 

based piezoelectrics. 

Note 3 to ECCN 3A611.x: Forgings, 

castings, and other unfinished products, such 

as extrusions and machined bodies, that have 

reached a stage in manufacture where they 

are clearly identifiable by mechanical 

properties, material composition, geometry, 

or function as commodities controlled by 

ECCN 3A611.x are controlled by ECCN 

3A611.x. 

y. Specific ‘‘parts,’’ ‘‘components,’’ 

‘‘accessories’’ and ‘‘attachments’’ ‘‘specially 

designed’’ for a commodity subject to control 

in a ‘‘600 series’’ ECCN or a defense article 

and not elsewhere specified in any ‘‘600 

series’’ ECCN or the USML as follows, and 


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37572 Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / Rules and Regulations 

‘‘parts,’’ ‘‘components,’’ ‘‘accessories,’’ and 

‘‘attachments’’ ‘‘specially designed’’ therefor: 

y.1. Electrical connectors; 

y.2. Electric fans; 

y.3. Heat sinks; 

y.4. Joy sticks; 

y.5. Mica paper capacitors; 

y.6. Microphones; 

y.7. Potentiometers; 

y.8. Rheostats; 

y.9. Electric connector backshells; 

y.10. Solenoids; 

y.11. Speakers; 

y.12. Trackballs; 

y.13. Electric transformers; 

y.14. Application specific integrated 

circuits (ASICs) and programmable logic 

devices (PLD) that are programmed for 

commodities controlled in the .y paragraph 

of any ‘‘600 series’’ ECCN; 

y.15. Printed circuit boards and populated 

circuit card assemblies for which the layout 

is ‘‘specially designed’’ for an item controlled 

by the .y paragraph of any ‘‘600 series’’ 

ECCN; 

y.16. Multichip modules for which the 

pattern or layout is ‘‘specially designed’’ for 

an item in the .y paragraph of a ‘‘600 series’’ 

ECCN; 

y.17. Circuit breakers; 

y.18. Ground fault circuit interrupters; 

y.19. Electrical contacts; 

y.20. Electrical guide pins; 

y.21. Filtered and unfiltered mechanical 

switches; 

y.22. Thumbwheels; 

y.23. Fixed resistors; 

y.24. Electrical jumpers; 

y.25. Grounding straps; 

y.26. Indicator dials; 

y.27. Contactors; 

y.28. Touchpads; 

y.29. Mechanical caps; 

y.30. Mechanical plugs; 

y.31. Finger barriers; 

y.32. Flip-guards; 

y.33. Identification plates and nameplates; 

y.34. Knobs; 

y.35. Hydraulic, pneumatic, fuel and 

lubrication gauges. 

■ 6. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 3B002 

and 3B991, add an entry for ECCN 

3B611 to read as follows: 

3B611 Test, inspection, and production 

commodities for military electronics, as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, RS, AT, UN. 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

RS applies to entire 

entry.

RS Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to entire 

entry.

See § 746.1(b) for UN 

controls 

List Based License Exceptions (see Part 740 

for a description of all license exceptions) 

LVS: $1500. 

GBS: N/A. 

CIV: N/A. 

Special Conditions for STA 

STA: Paragraph (c)(2) of License Exception 

STA (§ 740.20(c)(2) of the EAR) may not be 

used for any item in 3B611. 

List of Items Controlled 

Related Controls: N/A. 

Related Definitions: N/A. 

Items: 

a. Test, inspection, and production end 

items and equipment ‘‘specially designed’’ 

for the ‘‘development,’’ ‘‘production,’’ repair, 

overhaul or refurbishing of items controlled 

in ECCN 3A611 (except 3A611.y) or USML 

Category XI that are not enumerated in USML 

Category XI or controlled by another ‘‘600 

series’’ ECCN. 

b. through w. [Reserved] 

x. ‘‘Parts,’’ ‘‘components,’’ ‘‘accessories’’ 

and ‘‘attachments’’ that are ‘‘specially 

designed’’ for a commodity listed in this 

entry and that are not enumerated on the 

USML or controlled by another ‘‘600 series’’ 

ECCN. 

■ 7. In Supplement No. 1 to part 774, 

revise the ‘‘Related Controls’’ paragraph 

in the ‘‘List of Items Controlled’’ of 

ECCN 3D001 to read as follows: 

3D001 ‘‘Software’’ ‘‘specially designed’’ for 

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

equipment controlled by 3A001.b to 

3A002.g or 3B (except 3B991 and 

3B992). 

* * * * * 

List of Items Controlled 

Related Controls: N/A. 

* * * * * 

■ 8. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 3D101 

and 3D980, add an entry for ECCN 

3D611 to read as follows: 

3D611 ‘‘Software’’ ‘‘specially designed’’ for 

military electronics, as follows (see List 

of Items Controlled). 

License Requirements 

Reason for Control: NS, RS, AT, UN. 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry except 

3D611.y.

NS Column 1 

RS applies to entire 

entry except 

3D611.y.

RS Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to entire 

entry except 

3D611.y.

See § 746.1(b) for UN 

controls 

List Based License Exceptions (see Part 740 

for a description of all license exceptions) 

CIV: N/A. 

TSR: N/A. 

Special Conditions for STA 

STA: 1. Paragraph (c)(2) of License Exception 

STA (§ 740.20(c)(2) of the EAR) may not be 

used for any ‘‘software’’ in 3D611. 2. 

Except for ‘‘build-to-print’’ software, 

License Exception STA is not eligible for 

software enumerated in ECCN 3D611.b. 

List of Items Controlled 

Related Controls: ‘‘Software’’ directly related 

to articles enumerated in USML Category 

XI is controlled in USML Category XI(d). 

Related Definitions: N/A. 

Items: 

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

‘‘development,’’ ‘‘production,’’ operation, or 

maintenance of commodities controlled by 

ECCN 3A611 (other than 3A611.y) and 

3B611. 

b. ‘‘Software’’ ‘‘specially designed’’ for the 

‘‘development,’’ ‘‘production,’’ operation or 

maintenance of technology in ECCN 3E611.b. 

c. through x. [Reserved] 

y. ‘‘Software’’ ‘‘specially designed’’ for the 

‘‘production,’’ ‘‘development,’’ operation or 

maintenance of commodities enumerated in 

ECCNs 3A611.y. 

■ 9. In Supplement No. 1 to part 774, 

revise the ‘‘Related Controls’’ paragraph 

in the ‘‘List of Items Controlled’’ of 

ECCN 3E001 to read as follows: 

3E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ or ‘‘production’’ of 

equipment or materials controlled by 3A 

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

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

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

* * * * * 

List of Items Controlled 

Related Controls: See also 3E101 and 3E201. 

* * * * * 

■ 10. In Supplement No. 1 to part 774, 

revise the ‘‘Related Controls’’ paragraph 

in the ‘‘List of Items Controlled’’ of 

ECCN 3E003 to read as follows: 

3E003 Other ‘‘technology’’ for the 

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

following (see List of Items Controlled). 

List of Items Controlled 

Related Controls: See 3E001 for silicon-oninsulation (SOI) technology for the 

‘‘development’’ or ‘‘production’’ related to 

radiation hardening of integrated circuits. 

■ 11. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 3E292 

and 3E980, add an entry for ECCN 

3E611 to read as follows: 

3E611 ‘‘Technology’’ ‘‘required’’ for 

military electronics, as follows (see List 

of Items Controlled). 

License Requirements 

Reason for Control: NS, RS, AT, UN. 


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Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry except 

3E611.y.

NS Column 1 

RS applies to entire 

entry except 

3E611.y.

RS Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to entire 

entry except 

3E611.y.

See § 746.1(b) for UN 

controls 

List Based License Exceptions (see Part 740 

for a description of all license exceptions) 

CIV: N/A. 

TSR: N/A. 

Special Conditions for STA 

STA: 1. Paragraph (c)(2) of License Exception 

STA (§ 740.20(c)(2) of the EAR) may not be 

used for any ‘‘technology’’ in 3E611. 2. 

Except for ‘‘build-to-print technology,’’ 

License Exception STA is not eligible for 

‘‘technology’’ enumerated in ECCN 

3E611.b. 

List of Items Controlled 

Related Controls: Technical data directly 

related to articles enumerated in USML 

Category XI is controlled in USML 

Category XI(d). 

Related Definitions: N/A. 

Items: 

a. ‘‘Technology’’ (other than that controlled 

by 3E611.b or 3E611.y) ‘‘required’’ for the 

‘‘development,’’ ‘‘production,’’ operation, 

installation, maintenance, repair, overhaul, 

or refurbishing of commodities or software 

controlled by ECCN 3A611, 3B611 or 3D611. 

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

‘‘development,’’ ‘‘production,’’ operation, 

installation, maintenance, repair, overhaul, 

or refurbishing of the following if controlled 

by ECCN 3A611, including 3A611.x: 

b.1. Helix traveling wave tubes (TWTs); 

b.2. Transmit/receive or transmit modules; 

b.3. Microwave monolithic integrated 

circuits (MMIC); or 

b.4. Discrete microwave transistors. 

c. through x. [Reserved] 

y. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production,’’ ‘‘development,’’ operation, 

installation, maintenance, repair, overhaul, 

or refurbishing of commodities or software 

enumerated in ECCNs 3A611.y or 3D611.y. 

■ 12. In Supplement No. 1 to Part 774, 

amend ECCN 4A003 by revising the 

License Requirements section to read as 

follows: 

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

assemblies’’, and related equipment 

therefor, as follows (see List of Items 

Controlled) and ‘‘specially designed’’ 

components therefor. 

License Requirements 

Reason for Control: NS, MT, CC, AT. 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to 

4A003.b and .c.

NS Column 1 

NS applies to 

4A003.e and .g.

NS Column 2 

MT applies to 

4A003.e when the 

parameters in 

3A101.a.2.b are 

met or exceeded.

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 APP 

>0.0128 but ≤3.0 

WT).

AT Column 1 

Note 1: For all destinations, except those 

countries in Country Group E:1 of 

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

license is required (NLR) for computers with 

an ‘‘Adjusted Peak Performance’’ (‘‘APP’’) not 

exceeding 3.0 Weighted TeraFLOPS (WT) 

and for ‘‘electronic assemblies’’ described in 

4A003.c that are not capable of exceeding an 

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

exceeding 3.0 Weighted TeraFLOPS (WT) in 

aggregation, except certain transfers as set 

forth in § 746.3 (Iraq). 

Note 2: Special Post Shipment Verification 

reporting and recordkeeping requirements for 

exports of computers to destinations in 

Computer Tier 3 may be found in § 743.2 of 

the EAR. 

* * * * * 

■ 13. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 4A102 

and 4A980, add an entry for ECCN 

4A611 as follows: 

4A611 Computers, and ‘‘parts,’’ 

‘‘components,’’ ‘‘accessories,’’ and 

‘‘attachments’’ ‘‘specially designed’’ 

therefor, ‘‘specially designed’’ for a 

military application that are not 

enumerated in any USML category are 

controlled by ECCN 3A611. 

■ 14. In Supplement No. 1 to Part 774, 

amend ECCN 5A001 by revising the 

Related Controls paragraph of the List of 

Items Controlled section, to read as 

follows: 

5A001 Telecommunications systems, 

equipment, ‘‘components’’ and 

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

Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: 1. See USML Category XV 

for controls on telecommunications 

equipment, including the types of 

equipment described in ECCN 5A001.a.1, 

and any other equipment used in satellites 

that is subject to the ITAR. See USML 

Category XI for controls on direction 

finding equipment including types of 

equipment in ECCN 5A001.e and any other 

military or intelligence electronic 

equipment subject to the ITAR. 2. See 

USML Category XI(a)(4)(iii) for controls on 

electronic attack and jamming equipment 

defined in 5A001.f and .h that are subject 

to the ITAR. 3. See also ECCNs 5A101, 

5A980, and 5A991. 

* * * * * 

■ 15. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 5A101 

and 5A980, add an entry for ECCN 

5A611 as follows: 

5A611 Telecommunications equipment, 

and ‘‘parts,’’ ‘‘components,’’ 

‘‘accessories,’’ and ‘‘attachments’’ 

‘‘specially designed’’ therefor, ‘‘specially 

designed’’ for a military application that 

are not enumerated in any USML 

category are controlled by ECCN 3A611. 

■ 16. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 6A226 

and 6A991, add an entry for ECCN 

6A611 as follows: 

6A611 Acoustic systems and equipment, 

radar, and ‘‘parts,’’ ‘‘components,’’ 

‘‘accessories,’’ and ‘‘attachments’’ 

‘‘specially designed’’ therefor, ‘‘specially 

designed’’ for a military application that 

are not enumerated in any USML 

category or other ECCN are controlled 

by ECCN 3A611. 

■ 17. In Supplement No. 1 to Part 774, 

ECCN 7A006, revise the Reasons for 

Control paragraph of the License 

Requirements section to read as follows: 

7A006 Airborne altimeters operating at 

frequencies other than 4.2 to 4.4 GHz 

inclusive and having any of the 

following (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, MT, AT. 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to commodities in this 

entry that meet or 

exceed the parameters of 7A106.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

* * * * * 

■ 18. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 7A117 

and 7A994, add an entry for ECCN 

7A611 as follows: 

7A611 Navigation and avionics 

equipment and, systems and 

‘‘parts,’’ ‘‘components,’’ 

‘‘accessories,’’ and ‘‘attachments’’ 

‘‘specially designed’’ therefor, 

‘‘specially designed’’ for a military 


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37574 Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / Rules and Regulations 

application that are not 

enumerated in any USML category 

or another ‘‘600 series’’ ECCN are 

controlled by ECCN 3A611. 

■ 19. In Supplement No. 1 to Part 774, 

ECCN 7D101, revise the heading to read 

as follows: 

7D101 ‘‘Software’’ ‘‘specially designed’’ or 

modified for the ‘‘use’’ of equipment 

controlled for missile technology (MT) 

reasons by 7A001 to 7A006, 7A101 to 

7A107, 7A115, 7A116, 7A117, 7B001, 

7B002, 7B003, 7B101, 7B102, or 7B103. 

* * * * * 

■ 20. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 9A619 

and 9A980, add an entry for ECCN 

9A620 to read as follows: 

9A620 Cryogenic and ‘‘superconductive’’ 

equipment, as follows (see list of items 

controlled). 

Reason for Control: NS, RS, AT, UN. 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

RS applies to entire 

entry.

RS Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to entire 

entry.

See § 746.1(b) for UN 

controls 

List Based License Exceptions (see Part 740 

for a description of all license exceptions) 

LVS: $1500. 

GBS: N/A. 

CIV: N/A. 

Special Conditions for STA 

STA: Paragraph (c)(2) of License Exception 

STA (§ 740.20(c)(2) of the EAR) may not be 

used for any item in 9A620. 

List of Items Controlled 

Related Controls: Electronic items that are 

enumerated in USML Category XI or other 

USML categories, and technical data 

(including software) directly related 

thereto, are subject to the ITAR. 

Related Definitions: N/A. 

Items: 

a. Equipment ‘‘specially designed’’ to be 

installed in a vehicle for military ground, 

marine, airborne, or space applications, and 

capable of operating while in motion and of 

producing or maintaining temperatures 

below 103 K (¥170°C). 

Note to 9A620.a: ECCN 9A620.a includes 

mobile systems incorporating or employing 

‘‘accessories’’ or ‘‘components’’ 

manufactured from non-metallic or nonelectrical conductive materials such as 

plastics or epoxy-impregnated materials. 

b. ‘‘Superconductive’’ electrical equipment 

(rotating machinery and transformers) 

‘‘specially designed’’ to be installed in a 

vehicle for military ground, marine, airborne, 

or space applications, and capable of 

operating while in motion. 

Note to 9A620.b: ECCN 9A620.b. does not 

control direct-current hybrid homopolar 

generators that have single-pole normal metal 

armatures which rotate in a magnetic field 

produced by superconducting windings, 

provided those windings are the only 

superconducting components in the 

generator. 

c. through w. [Reserved]. 

x. ‘‘Parts,’’ ‘‘components,’’ ‘‘accessories’’ 

and ‘‘attachments’’ that are ‘‘specially 

designed’’ for a commodity controlled by 

ECCN 9A620. 

Note to 9A620.b: Forgings, castings, and 

other unfinished products, such as extrusions 

and machined bodies, that have reached a 

stage in manufacture where they are clearly 

identifiable by mechanical properties, 

material composition, geometry, or function 

as commodities controlled by ECCN 9A620.x 

are controlled by ECCN 9A620.x. 

■ 21. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 9B619 

and 9B990, add an entry for ECCN 

9B620 to read as follows: 

9B620 Test, inspection, and production 

commodities for cryogenic and 

‘‘superconductive’’ equipment (see List 

of Items controlled). 

License Requirements 

Reason for Control: NS, RS, AT, UN. 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

RS applies to entire 

entry.

RS Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to entire 

entry.

See § 746.1(b) for UN 

controls 

List Based License Exceptions (see Part 740 

for a description of all license exceptions) 

LVS: $1500. 

GBS: N/A. 

CIV: N/A. 

Special Conditions for STA 

STA: Paragraph (c)(2) of License Exception 

STA (§ 740.20(c)(2) of the EAR) may not be 

used for any item in 9B620. 

List of Items Controlled 

Related Controls: N/A. 

Related Definitions: N/A. 

Items: 

a. Test, inspection, and production end 

items and equipment ‘‘specially designed’’ 

for the ‘‘development,’’ ‘‘production,’’ repair, 

overhaul or refurbishing of items controlled 

in ECCN 9A620. 

b. [Reserved] 

■ 22. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 9D619 

and 9D990, add an entry for ECCN 

9D620 to read as follows: 

9D620 ‘‘Software’’ ‘‘specially designed’’ for 

cryogenic and ‘‘superconductive’’ 

equipment, as follows (see List of Items 

Controlled). 

License Requirements 

Reasons for Control: NS, RS, AT, UN. 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

RS applies to entire 

entry.

RS Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to entire 

entry.

See § 746.1(b) for UN 

controls 

List Based License Exceptions (see Part 740 

for a description of all license exceptions) 

CIV: N/A. 

TSR: N/A. 

Special Conditions for STA 

STA: Paragraph (c)(2) of License Exception 

STA (§ 740.20(c)(2) of the EAR) may not be 

used for any ‘‘software’’ in 9D620. 

List of Items Controlled 

Related Controls: ‘‘Software’’ directly related 

to articles enumerated on USML are 

subject to the control of that USML 

category. 

Related Definitions: N/A. 

Items: Software ‘‘specially designed’’ for the 

‘‘development,’’ ‘‘production,’’ operation, 

or maintenance of commodities controlled 

by ECCNs 9A620 or 9B620. 

■ 23. In Supplement No. 1 to Part 774, 

between the entries for ECCNs 9E619 

and 9E990, add an entry for ECCN 

9E620 to read as follows: 

9E620 Technology ‘‘required’’ for cryogenic 

and ‘‘superconductive’’ equipment, as 

follows (see List of Items Controlled). 

License Requirements 

Reason for Control: NS, RS, AT, UN. 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

RS applies to entire 

entry.

RS Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to entire 

entry.

See § 746.1(b) for UN 

controls 

List Based License Exceptions (see Part 740 

for a description of all license exceptions) 

CIV: N/A. 

TSR: N/A. 

Special Conditions for STA 

STA: Paragraph (c)(2) of License Exception 

STA (§ 740.20(c)(2) of the EAR) may not be 

used for any technology in 9E620. 

List of Items Controlled 

Related Controls: Technical data directly 

related to articles enumerated on USML are 


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Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / Rules and Regulations 37575 

subject to the control of that USML 

category. 

Related Definitions: N/A. 

Items: ‘‘Technology’’ ‘‘required’’ for the 

‘‘development,’’ ‘‘production,’’ operation, 

installation, maintenance, repair, overhaul, 

or refurbishing of commodities or software 

controlled by ECCN 9A620, 9B620 or 

9D620. 

■ 24. Supplement No. 5 to Part 774 is 

revised by adding to the table, in 

numerical order, item No. 3 under the 

heading ‘‘0D521. Software’’ and item 

No. 2 to under the heading ‘‘0E521. 

Technology’’ to read as follows: 

SUPPLEMENT NO. 5 TO PART 774— 

ITEMS CLASSIFIED UNDER ECCNS 

0A521, 0B521, 0C521, 0D521 AND 

0E521 

* * * * * 

Item descriptor ..............................

Note: The description must match 

by model number or a broader 

descriptor that does not necessarily need to be company 

specific.

Date of initial or subsequent BIS 

classification.

(ID = initial date; SD = subsequent date).

Date when the item will be designated EAR99 unless reclassified in another ECCN or the 

0Y521 classification is reissued.

Item-specific license exception eligibility. 

* * * * * * * 

0D521. Software 

*******

No. 3 .............................................

‘‘Software’’ ‘‘specially designed’’ or 

modified for the ‘‘development’’ 

of ‘‘technology’’ controlled by 

0E521 No. 2.

7/1/2014 ........................................ 7/1/2015 ........................................ License Exception GOV under 

§ 740.11(b)(2)(ii) only. 

0E521. Technology 

*******

No. 2 .............................................

‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ of aircraft wing 

folding systems, designed for 

aircraft powered by gas turbine 

engines.

7/1/2014 ........................................ 7/1/2015 ........................................ License Exception GOV under 

§ 740.11(b)(2)(ii) only. 

* * * * * * * 

Dated: June 19, 2014. 

Kevin J. Wolf, 

Assistant Secretary of Commerce for Export 

Administration. 

[FR Doc. 2014–14683 Filed 6–30–14; 8:45 am] 

BILLING CODE 3510–33–P 


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