29610 Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 734, 740, 742, 743, 772, 

774 

[Docket No. 110124056–1119–01] 

RIN 0694–AF11 

Wassenaar Arrangement 2010 Plenary 

Agreements Implementation: 

Commerce Control List, Definitions, 

Reports 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Final rule. 

SUMMARY: The Bureau of Industry and 

Security (BIS) maintains, as part of the 

agency’s Export Administration 

Regulations (EAR), the Commerce 

Control List (CCL), which identifies 

items subject to Department of 

Commerce export controls. This final 

rule revises the CCL to implement 

changes made to the Wassenaar 

Arrangement’s List of Dual-Use Goods 

and Technologies (Wassenaar List) 

maintained and agreed to by 

governments participating in the 

Wassenaar Arrangement on Export 

Controls for Conventional Arms and 

Dual-Use Goods and Technologies 

(Wassenaar Arrangement, or WA) at the 

December 2010 WA Plenary Meeting 

(the Plenary). The Wassenaar 

Arrangement advocates implementation 

of effective export controls on strategic 

items with the objective of improving 

regional and international security and 

stability. To harmonize the CCL with 

the changes made to the Wassenaar List 

at the Plenary, this rule amends entries 

on the CCL that are controlled for 

national security reasons in Categories 

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

revises reporting requirements, and 

adds and amends definitions in the 

EAR. 

DATES: Effective Date: This rule is 

effective: May 20, 2011. 

FOR FURTHER INFORMATION CONTACT: For 

general questions contact Sharron Cook, 

Office of Exporter Services, Bureau of 

Industry and Security, U.S. Department 

of Commerce at 202–482–2440 or by 

e-mail: Sharron.cook@bis.doc.gov. 

For technical questions contact: 

Category 1: Michael Rithmireat 202– 

482–6105 

Category 2: George Loh at 202–482–3570 

Category 3: Brian Baker at 202–482– 

5534 

Category 4: Joseph Young at 202–482– 

4197 

Category 5 Part 1: Joseph Young at 202– 

482–4197 

Category 5 Part 2: C. Randall Pratt at 

202–482–0707 

Category 6: Chris Costanzo at 202–482– 

0718 (optics), John Varesi 202–482– 

1114 (sensors & cameras) and Mark 

Jaso at 202–482–0987 (lasers) 

Category 7: Daniel Squire at 202–482– 

3710 

Category 8: Darrell Spires at 202–482– 

1954 

Category 9: Gene Christensen at 202– 

482–2984 

SUPPLEMENTARY INFORMATION: 

Background 

In July 1996, the United States and 

thirty-three other countries gave final 

approval to the establishment of a new 

multilateral export control arrangement 

called the Wassenaar Arrangement on 

Export Controls for Conventional Arms 

and Dual-Use Goods and Technologies 

(Wassenaar Arrangement or WA). The 

Wassenaar Arrangement contributes to 

regional and international security and 

stability by promoting transparency and 

greater responsibility in transfers of 

conventional arms and dual use goods 

and technologies, thus preventing 

destabilizing accumulations of such 

items. Participating states committed to 

exchange information on exports of dual 

use goods and technologies to nonparticipating states for the purposes of 

enhancing transparency and assisting in 

developing a common understanding of 

the risks associated with the transfers of 

these items. For more information on 

the Wassenaar Arrangement go to http:// 

www.wassenaar.org/. 

Revisions to the Commerce Control List 

This rule revises the following 53 

ECCNs on the Commerce Control List 

(CCL) to implement the changes to the 

Wassenaar List of Dual-Use Goods and 

Technologies agreed to at the December 

2010 WA Plenary meeting: 1A002, 

1A004, 1B001, 1C003, 1C006, 1C008, 

1C010, 1C011, 1C111, 2A001, 2B001, 

2B005, 2B006, 3A001, 3A002, 3A991, 

3B001, 3C001, 3E001, 4A001, 5A001, 

5D001, 5E001, 5A002, 5D002, 5E002, 

6A001, 6A002, 6A003, 6A005, 6A006, 

6A008, 6D001, 6D003, 6E001, 6E002, 

6E003, 7A001, 7A002, 7A003, 7E004, 

8A001, 8A002, 9A001, 9A003, 9A991, 

9B001, 9B002, 9B008, 9D003, 9D004, 

9E001 and 9E003. These changes are 

described in more detail below. 

Category 1—Special Materials and 

Related Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ 

ECCN 1A002 is amended by: 

Removing the phrase ‘‘finished or’’ 

from Notes 2 and 3, because finished 

products are not generally specified 

based on the materials they contain. 

Adding a new Note 4 to convey that 

ECCN ‘‘1A002 does not apply to finished 

items specially designed for a specific 

application.’’ 

ECCN 1A004 is amended by: 

Deleting the phrase ‘‘Nuclear, 

biological and chemical (NBC)’’ from 

1A004.c, because it conflicts with the 

list in 1A004.c, as it is missing 

radioactive materials, and is redundant 

to the list. 

Changing the format of the civil 

industries from a narrative list to an 

enumerated list formatin paragraph (b) 

of the Note to 1A004 that is located after 

the Notes to paragraph 1A004.d, as well 

as replacing the ‘‘and’’ to ‘‘or’’ between 

the phrases ‘‘residential safety’’ and 

‘‘civil industries’’ in this same paragraph 

(b) of this same Note. These changes are 

made to clarify the meaning of the note. 

ECCN 1B001 is amended by: 

Adding the phrase ‘‘specially designed 

or modified,’’ removing the words ‘‘to 

manufacture,’’ and adding the word ‘‘for’’ 

to paragraph 1B001.c to clarify that 

common textile weaving and interlacing 

machines are not intended to be 

controlled. In addition, the note is 

removed because the new text makes 

the note unnecessary. 

ECCN 1C003 is amended by replacing, 

for the sake of clarity, the phrase ‘‘initial 

permeability’’ with ‘‘initial relative 

permeability’’ in the technical note of 

paragraph 1C003.a. 

ECCN 1C006 is amended by: 

Revising the format of the parameters 

in 1C006.c from a narrative to a 

cascaded list format to clarify the text. 

Removing 1C006.e to correct the text. 

This paragraph was the last paragraph of 

a technical note that was moved in 2009 

from 1C006.d to the end of 1C006.a.2.e. 

This paragraph was inadvertently not 

removed when the technical note was 

moved. 

ECCN 1C008 is amended by: 

Removing ‘‘Non-fluorinated polymeric 

substances’’ and adding in its place 

‘‘Imides’’ in 1C008.a, and adding the 

word ‘‘compounds’’ to 1C008.b.1, to 

better describe the scope of the 

paragraphs that follow. 

Adding ‘‘(PAI) having a ‘glass 

transition temperature (Tg)’ exceeding 

563 K (290° C)’’ to 1C008.a.2—Aromatic 

polyamide-imides, which adds a 

temperature property as a parameter. 

Adding the word ‘‘compounds’’ to 

1C008.b.1 to add a more complete 

description of the scope of the 

paragraphs that follow. 

Removing the CAS numbers for all the 

compounds in 1C008.b.1.a, because 

CAS numbers are used to describe 

specific substances, not compounds. 


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Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 29611 

Adding the word ‘‘acids’’ to 1C008.b.2 

to better describe the scope of the 

paragraphs that follow. 

Adding a new sentence about the PAI 

test to the technical note at the end of 

the items paragraph of 1C008.PAI 

varnishes are sometimes sold and these 

contain PAI polymers that are only 

partially polymerized. The added 

language therefore explains that the Tg

parameter should be determined using a 

PAI specimen that is properly cured to 

reach a maximum capability. 

ECCN 1C010 is amended by: 

Revising the narrative format to a 

cascaded format in Note 2 to 1C010.e, in 

order to add a new paragraph (b) to this 

note to convey that ‘‘Fully or partially 

resin-impregnated or pitch-impregnated 

mechanically chopped, milled or cut 

carbon ‘‘fibrous or filamentary 

materials’’ 25.0 mm or less in length 

when using a resin or pitch other than 

those specified by 1C008 or 1C009.b.’’ 

are not controlled under 1C010.e. 

Amending the technical note at the 

end of ECCN 1C010 by splitting it into 

two separate sentences (ending the first 

sentence after ‘‘specimen’’), for better 

readability and clarity. Also, this rule 

removes the phrase ‘‘with a minimum 

90% degree of cure’’ and adding in its 

place ‘‘In the case of thermoset 

materials, degree of cure of a dry test 

specimen shall be a minimum of 90%’’ 

to clarify the scope of ‘‘degree of cure’’ 

in the definition for ‘Dynamic 

Mechanical Analysis glass transition 

temperature (DMA Tg)’. 

ECCN 1C011 is amended by: 

Revising the Missile Technology (MT) 

paragraph in the License Requirements 

section because WA has now aligned 

with the Missile Technology Control 

Regime in controls for boron and boron 

alloys; therefore, the parenthetical 

phrase ‘‘for boron’’ is removed and the 

MT control applies to both the boron 

and the boron alloy in 1C011.b. 

Adding a new sentence to number 2 

of the Related Controls paragraph to 

indicate that ‘‘the following are subject 

to the export licensing authority of the 

U.S. Department of State, Directorate of 

Defense Trade Controls’’ and adding 

‘‘metal powders mixed with other 

substances to form a mixture formulated 

for military purposes’’ to the end of the 

existing list that includes materials 

controlled by 1C011.a. 

Replacing the word ‘‘carbide’’ with 

‘‘alloys’’ in 1C011.b for boron, and 

cascading the parameters in two new 

paragraphs 1C011.b.1 and 1C001.b.2 in 

order to align with controls under the 

Missile Technology Control Regime, to 

make the text more clear, and to 

recognize the foreign availability and 

decreased use of boron carbide for 

military uses. 

ECCN 1C111 is amended by adding a 

note 3 to the Related Controls paragraph 

to reference ECCN 1C011 for boron and 

boron alloys, and by removing 

paragraph 1C111.a.2.b ‘‘Boron alloys 

with a purity of 85% by weight or more’’ 

because this control is now in 1C011.b. 

Category 2—Materials Processing 

ECCN 2A001 is amended by: 

Removing reference to 2A001.b from 

the License Exceptions GBS and CIV 

eligibility paragraphs in ECCN 2A001, 

because this paragraph is removed and 

reserved by this rule. 

Removing one of the standards ‘‘or 

ANSI/ABMA Std 20 Tolerance Class 

ABEC–7 or RBEC–7’’ from paragraph 

2A001.a and leaving only ‘‘or other 

national equivalents’’ because this 

language sufficiently describes the 

applicable standard for the control. 

Removing and reserving paragraph 

2A001.b, that controlled specified ball 

bearings and solid roller bearings 

because of the wide foreign availability 

of these commodities. 

ECCN 2B001 is amended by removing 

the phrase ‘‘Having two or more rotary 

axes and all of the following’’ and 

adding in its place ‘‘At least two rotary 

axes having all of the following’’ to 

clarify the scope of the 2B001.e.2. 

ECCN 2B005 is amended by removing 

the phrase ‘‘allowing for the’’ and adding 

in its place ‘‘capable of’’ to clarify the 

control in the introductory text of 

2B005.g. 

ECCN 2B006 is amended by: 

Replacing the phrase ‘‘indication 

(MPEE)’’ with ‘‘length measurement 

(E0,MPE)’’ to harmonize with the new ISO 

standard and replacing the year of the 

ISO standard from ‘‘2001’’ to ‘‘2009’’ in 

2B006.a. 

Replacing the acronym ‘‘MPEE’’ with 

‘‘E0,MPE’’ in the Technical Note following 

2B006.a to harmonize with the new ISO 

standard. 

Replacing the phrase ‘‘Machine tools, 

which’’ with ‘‘2B006 includes machine 

tools, other than those specified by 

2B001, that’’ to clarify the Note 

following paragraph 2B006.c. 

Removing two superfluous phrases 

‘‘are controlled’’ and ‘‘the machine tool 

function or’’ from the Note following 

paragraph 2B006.c. 

Category 3—Electronics 

ECCN 3A001 is amended by: 

Removing paragraph 3A001.a.4 from 

the License Exception CIV eligibility 

paragraph in the License Exceptions 

section, because 3A001.a.4 is removed 

by this rule. 

Removing and reserving paragraph 

3A001.a.4 ‘‘Storage integrated circuits 

manufactured from a compound 

semiconductor,’’ because the circuits of 

concern are covered by 3A001.a.2. 

Adding the word ‘‘Converter’’ to 

‘‘Analog-to-Digital,’’ adding 

capitalization, and adding the acronyms 

(ADC) and (DAC) to paragraph 

3A001.a.5. 

Replacing ‘‘Analog-to-digital 

converters’’ with ‘‘ADCs’’ in 3A001.a.5.a 

and Note 2 of the technical note located 

after 3A001.a.5.b for consistency. 

Revising the output rate for Analog-toDigital Converters (ADCs) in 

3A001.a.5.a.2, a.5.a.3, a.5.a.4, and 

a.5.a.5 from ‘‘200 million words per 

second’’ to ‘‘300 million words per 

second,’’ ‘‘105 million words per 

second’’ to ‘‘200 million words per 

second,’’ ‘‘10 million words per second’’ 

to ‘‘125 million words per second,’’ and 

‘‘2.5 million words per second’’ to ‘‘20 

million words per second,’’ respectively. 

These revisions are made because the 

speeds and capabilities of digital signal 

processing have advanced significantly 

since the last revision to these control 

parameters. 

The Technical Notes that appeared 

after paragraph 3A001.a.5.b are moved 

to after 3A001.a.5.a.5. In addition, this 

rule moves the last half of Technical 

Note 3 to Note 6 and moves Note 4 to 

Note 7, and adds new notes 4, 5, 8, and 

9 to address aggregation of ADCs. 

Revising the parameters for Digital-toAnalog Converters (DAC) in 3A001.a.5.b 

to better describe the crucial 

benchmarks for evaluating DAC devices, 

as well as adding four new technical 

notes that include two new technical 

terms: ‘‘adjusted update rate’’ and 

‘‘Spurious Free Dynamic Range’’ (SFDR). 

Revising the upper threshold of the 

frequency parameter from 6 GHz to 6.8 

GHz for Microwave Monolithic 

Integrated Circuits (MMIC) power 

amplifiers in paragraphs 3A001.b.2.a 

and b.2.b, for discrete microwave 

transistors in paragraphs 3A001.b.3.a 

and b.3.b, for microwave solid state 

amplifiers and microwave assemblies/ 

modules containing microwave solid 

state amplifiers in paragraphs 

3A001.b.4.a and b.4.b, and for the 

technology for the development or 

production of MMIC power amplifiers 

in paragraphs 5E001.d.1 and d.2, 

because the prevalent bands for 

commercial satellite communications 

are 5.7 GHz to 6.7 GHz. 

Adding a new parameter to 

paragraphs 3A001.b.2.d and b.2.f that 

reads ‘‘and with an average output 

power greater than 0.1 nW’’ for MMICs 

to narrow the scope of controls. 

Removing and reserving Note 1 to 

3A001.b.2 relating to broadcast satellite 


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29612 Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 

equipment, because this entry controls 

components, not equipment. 

Adding the words ‘‘product group’’ to 

Note 3 to 3A001.b.2 to clarify the text. 

Adding a new parameter to 

paragraphs 3A001.b.3.e that reads ‘‘and 

with an average output power greater 

than 0.1 nW’’ for discrete microwave 

transistors to narrow the scope of this 

control. 

Adding a new parameter to 

paragraphs 3A001.b.4.c and b.4.e that 

reads ‘‘and with an average output 

power greater than 0.1 nW’’ for 

microwave solid state amplifiers and 

microwave assemblies/modules 

containing microwave solid state 

amplifiers to narrow the scope of 

controls for these items. 

Removing and reserving Note 1 after 

3A001.b.4.f.3 concerning broadcast 

satellite equipment, because 3A001 does 

not control equipment but components, 

in this case Microwave or Millimeter 

Wave Components. In addition, Note 1 

is not necessary, because MMICs 

specially designed for satellite broadcast 

equipment are not controlled by 

Category 3 pursuant to Note 1 at the 

beginning of Category 3. 

Removing the phrase ‘‘from one 

selected frequency to another’’ from 

3A001.b.11 because it is redundant with 

the term ‘‘frequency switching.’’ 

ECCN 3A002 is amended by: 

Revising the parameters for radiofrequency signal analyzers in 

paragraphs 3A002.c to revise control 

thresholds to more accurately 

differentiate between commercial/ 

civilian applications and applications of 

strategic concern by changing the 

controls from frequency only to a 

combination of frequency and other 

parameters. This change includes the 

redesignation of 3A002.c.3 to c.4 and 

the addition of a new paragraph 

3A002.c.3. 

Revising and rearranging the narrative 

in 3A002.c.1 to more clearly describe 

the radio-frequency signal analyzers. 

This rule introduces a new parameter, 

‘‘Displayed Average Noise Level,’’ in 

3A002.c.2. This control protects the 

applications (principally advanced 

radar) that are of national security 

concern. Specifically, this revision 

relaxes the controls in 3A002.c.2 by 

adding the additional control parameter, 

‘‘Displayed Average Noise Level,’’ that 

applies to the current frequency 

parameter of between 43.5 and 70 GHz. 

Adding a new control in 3A002.c.3 for 

signal analyzers having a frequency 

exceeding 70 GHz. 

Revising the ‘‘real-time bandwidth’’ 

for ‘‘dynamic signal analyzers’’ from 

‘‘500 kHz’’ to ‘‘40 MHz’’ in the newly 

designated paragraph 3A002.c.4 to 

respond to emerging communications 

standards and available test equipment 

as ‘‘dynamic signal analyzers’’ approach 

40 MHz in bandwidth.There is growing 

application of ‘‘dynamic signal 

analyzers’’ with ‘‘real-time bandwidth’’ 

above 40 MHz bandwidth in military 

applications. 

Replacing the reference in the Note 

following 3A002.c.4 from ‘‘3A002.c.3’’ to 

‘‘3A002.c.4’’ to harmonize it with the 

addition of paragraph 3A002.c.3. 

Revising paragraphs 3A002.d.1, d.2 

and the introductory text to d.4 relating 

to frequency synthesized signal 

generators to revise control thresholds 

to more accurately differentiate between 

purely civilian applications and those of 

strategic concern. These revisions are 

being implemented by changing the 

entry from one solely based on 

frequency to a combination of frequency 

and other parameters, such as output 

power. 

Revising 3A002.d.3.e and adding d.3.f 

to clarify the frequency switching 

controls by defining switching times 

and windows within the range 43.5–70 

GHz. 

Revising the introductory text for 

3A002.d.4 to add an upper limit to the 

frequency switching control of 70 GHz. 

Removing an ‘‘or’’ at the end of 

paragraph 3A002.d.3.d and adding it to 

the end of paragraph 3A002.d.3.e, 

because of the addition of new 

paragraph d.3.f. An ‘‘or’’ is added at the 

end of paragraph 3A002.d.4.b, because 

of the addition of new paragraph 

3A002.d.5. These controls protect the 

applications (principally advanced 

radar) that are of national security 

concern. Finally, the umbrella control 

on signal generators ‘‘> 70 GHz’’ is 

moved to new paragraph 3A002.d.5. 

Specifically, this revision relaxes the 

frequency threshold from the current 

value of 43.5 GHz to 70 GHz by 

clarifying that other control parameters 

apply between 43.5 and 70 GHz. This 

approach addresses emerging civilian 

telecommunications standards in the 

56–67 GHz band by defining 

performance parameters. 

ECCN 3A991 is amended by replacing 

the control level for Analog-to-Digital 

Converters (ADCs) in paragraph 3A991.c 

with the former control levels for ADCs 

in ECCN 3A001.a.5.a. Therefore, ADCs 

in 3A991.c.1 having a resolution of 8 bit 

or more, but less than 12 bit are 

amended by revising the output rate 

from ‘‘greater than 100 million words 

per second’’ to ‘‘greater than 200 million 

words per second.’’ ADCs in 3A991.c.2 

having a resolution of 12 bit are 

amended by revising the output rate 

from ‘‘greater than 5 million words per 

second’’ to ‘‘greater than 105 million 

words per second.’’ ADCs in 3A991.c.3 

having a resolution of more than 12 bit 

but equal to or less than 14 bit are 

amended by revising the output rate 

from ‘‘greater than 500 thousand words 

per second’’ to ‘‘greater than 10 million 

words per second.’’ ADCs in 3A991.c.4 

having a resolution of more than 14 bit 

are amended by revising the output rate 

from ‘‘greater than 500 thousand words 

per second’’ to ‘‘greater than 2.5 million 

words per second.’’ These changes are 

made because of the technological 

advances in the field of ADCs and 

because raising the control level for 

ADCs destined to anti-terrorism 

countries will not pose a national 

security threat to the United States. 

Pursuant to the EAR, those ADCs that 

are now classified as EAR99 still require 

a license for export to Cuba, North 

Korea, and Syria, because a license is 

required for export of all items subject 

to the EAR to these countries. EAR99 

ADCs destined to Iran and Sudan may 

require a license pursuant to the EAR if 

destined to a restricted end-user or enduse. (See General Prohibitions 4 through 

10 in Part 736 of the EAR.) Also note 

that the Treasury Department’s Office of 

Foreign Assets Control (OFAC) 

administers comprehensive trade 

embargoes against Iran and Sudan, and 

exports or reexports of EAR99 ADCs to 

those countries are subject to OFAC’s 

regulations. See 31 CFR part 538—the 

Sudanese Sanctions Regulations and 31 

CFR part 560—the Iranian Transactions 

Regulations. 

ECCN 3B001 is amended by: 

Revising the critical dimension of 

semiconductor devices by plasma 

enhanced Chemical Vapor Deposition 

(CVD) equipment from ‘‘180 nm or less’’ 

to ‘‘65 nm or less’’ in paragraph 

3B001.d.1 and d.2 to account for 

technical advances in the industry of 

semiconductor manufacturing. 

Capitalizing ‘‘Minimum Resolvable 

Feature’’ size and adding the acronym 

(MRF) in paragraph 3B001.f.1.b and in 

the technical note that follows. 

Revising the feature size from ‘‘180 

nm’’ to ‘‘95 nm’’ for align and expose 

step and repeat (direct step on wafer) or 

step and scan (scanner) equipment in 

3A001.f.1.b and for imprint lithography 

equipment in paragraph 3B001.f.2. 

Revising the K factor from ‘‘0.45’’ to 

‘‘0.35’’ in the Technical Note following 

3B001.f.1.b to align with advancing 

technology. 

ECCN 3C001 is amended by removing 

the text in the Related Definitions 

paragraph of the List of Items Controlled 

section and adding in its place ‘‘N/A’’ to 

correct the Related Definitions 

paragraph. 


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Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 29613 

ECCN 3E001 is amended by revising 

the parameter in paragraph (a) of Note 

2 from ‘‘of 0.5 μm or more; and’’ to ‘‘at 

or above 0.130 μm,’’ to accommodate 

advances in technology and increasing 

civil application of that technology. 

Replacing the current text in 

paragraph (b) of Note 2 ‘‘Not 

incorporating multi-layer structures’’ 

with ‘‘Incorporating multi-layer 

structures with three or fewer metal 

layers’’ to expand the exclusion note. 

In addition, this rule removes the 

technical note in Note 2 of 3E001 

because the note is no longer necessary 

due to the revision to paragraph (b) of 

Note 2. 

Category 4—Computers 

ECCN 4A001 is amended by: 

Adding the phrase ‘‘or ‘‘civil aircraft’’’’ 

to the Note to 4A001.a.1, because some 

civil aircraft computers often reach the 

thresholds in 4A001. 

Revising the single event upset rate in 

4A002.a.2.c from ‘‘1 × 10¥7’’ to ‘‘1 × 

10¥8’’ because of advances in this 

technology. A Note is added to 

4A001.a.2 to clarify that this provision 

does not apply to computers specially 

designed for ‘‘civil aircraft’’ applications 

to prevent this control from 

inadvertently capturing onboard civil 

aircraft computers. 

Category 5 Part I— 

Telecommunications 

Category 5 Part 1 is amended by 

adding a second Nota Bene (N.B.2.) after 

Note 1 at the beginning of the category 

to close a potential loophole in relation 

to items incorporating or using 

cryptography or other ‘‘information 

security’’ functionality, including 

encryption, ‘‘cryptanalysis’’ and 

‘‘cryptographic activation.’’ Note 1 could 

be read to require that all 

telecommunications items should only 

be classified using Category 5 Part 1 

even if they incorporate or use 

cryptography or other ‘‘information 

security’’ functionality, when, in fact, 

the control status of ‘‘information 

security’’ items is determined using 

Category 5 Part 2 . The second Nota 

Bene clarifies that any item that is 

designed for telecommunications and 

incorporates or uses cryptography 

should also be classified using Category 

5 Part 2. 

ECCN 5A001 is amended by: 

Replacing the text in paragraph 

5A001.c with the text in paragraph 

5A001.c.1 ‘‘Optical fiber communication 

cables, optical fibers and accessories, as 

follows:’’. Also, adding an ‘‘and’’ 

between ‘‘length’’ and ‘‘specified’’ in the 

new 5A001.c (former 5A001.c.1). The 

Nota Bene (N.B. 1) that reads ‘‘For 

underwater umbilical cables, and 

connectors thereof, see 8A002.a.3.’’ is 

moved from 5A001.c.2 to after 5A001.c, 

revised by removing the phrase ‘‘, and 

connectors thereof’’ and relabeled from 

‘‘N.B. 1’’ to ‘‘N.B.’’ 

5A001.c.2, the exclusion Note and 

Nota Bene 2 that follows it are deleted, 

because they no longer serve a purpose. 

Replacing ‘‘electronic’’ with ‘‘radio 

frequency (RF) transmitting’’ and 

replacing ‘‘Radio Controlled Improvised 

Explosive Devices (RCIED)’’ with 

‘‘Improvised Explosive Devices (IEDs)’’ 

in paragraph 5A001.h to clarify the text. 

Also, adding a new reference to ECCN 

5A001.f in the Nota Bene of 5A001.h to 

reference 5A001.f and Category XI of the 

ITAR where radio transmission 

equipment is controlled. In addition, 

5A001.h is moved from NS Column 2 

controls to NS Column 1 controls 

because Radio Frequency (RF) 

transmitting equipment designed or 

modified for prematurely activating or 

preventing the initiation of Improvised 

Explosive Devices (IEDs) are now listed 

on the Wassenaar Arrangement’s Very 

Sensitive List. License Exceptions LVS, 

GBS, and CIV are no longer available, 

for 5A001.h items because they have 

been added to the Wassenaar 

Arrangement’s Very Sensitive List. 

ECCN 5D001 is amended by: 

Revising the License Exceptions 

section by removing License Exception 

CIV eligibility for ‘‘software’’ controlled 

by 5D001.a and specially designed for 

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

items controlled by 5A001.h; and 

removing License Exception TSR 

eligibility for exports and reexports to 

destinations outside of Austria, 

Belgium, Canada, Denmark, Finland, 

France, Germany, Greece, Ireland, Italy, 

Japan, Luxembourg, the Netherlands, 

Portugal, Spain, Sweden, or the United 

Kingdom of ‘‘software’’ controlled by 

5D001.a and specially designed for the 

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

controlled by 5A001.h. ‘‘Software’’ 

controlled by 5D001.a and specially 

designed for the ‘‘development’’ or 

‘‘production’’ of items controlled by 

5A001.h are on the Wassenaar 

Arrangement’s Very Sensitive List. 

ECCN 5E001 is amended by: 

Removing License Exception TSR 

eligibility for exports or reexports to 

destinations outside of Austria, 

Belgium, Canada, Denmark, Finland, 

France, Germany, Greece, Ireland, Italy, 

Japan, Luxembourg, the Netherlands, 

Portugal, Spain, Sweden, or the United 

Kingdom of ‘‘technology’’ controlled by 

5E001.a for the ‘‘development’’ or 

‘‘production’’ of items controlled by 

5A001.h; or‘‘software’’ controlled by 

5D001.a that is specially designed for 

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

equipment, functions or features 

controlled by 5A001.h. 

Adding a new Note for 5E001.b.4 to 

exclude ‘‘technology’’ for the 

‘‘development’’ of civil cellular radiocommunications systems from control 

under 5E001, because this technology is 

commercial and does not warrant 

national security controls. 

Raising the frequency parameter from 

6.0 GHz to 6.8 GHz for technology for 

the ‘‘development’’ and ‘‘production’’ of 

Microwave Monolithic Integrated 

Circuit (MMIC) power amplifiers 

specially designed for 

telecommunications in 5E001.d.1 and 

d.2, because a primary segment of the 

high power amplifier market is for 

commercial satellite communications 

(TV and Internet traffic) and 

meteorological radar within the 

standard ITU bands. The prevalent 

bands for commercial satellite 

communications are 5.7GHz to 6.7 GHz 

and 13.75GHz to 14.5GHz. 

Category 5 Part II—‘‘Information 

Security’’ 

ECCN 5A002 is amended by: 

Revising the EI paragraph in the 

License Requirements section to add 

paragraph 5A002.b. 

Revising Note 1 in the Related 

Controls paragraph of the List of Items 

Controlled section to add paragraph (j) 

to the first sentence, as paragraph (j) has 

been added to the decontrol Note of 

ECCN 5A002. 

Replacing a period with a semicolon 

in paragraph (a)(2) of the Note at the 

beginning of the Items paragraph of the 

List of Items Controlled section to 

correct the punctuation. 

Removing ‘‘or’’ from paragraph .g and 

removing the period at the end of 

paragraph .i and adding in its place ‘‘; 

or’’ in the Note at the beginning of the 

Items paragraph of the List of Items 

Controlled section. 

Adding a new paragraph .j to the 

decontrol notes in ECCN 5A002 for 

equipment where the encryption cannot 

be used or can only be made useable by 

means of ‘‘cryptographic activation,’’ as 

specified, as well as adding a new Nota 

Bene (N.B.) to reference 5A002.a for 

equipment that has undergone 

‘‘cryptographic activation.’’ This new 

note is added to clarify the treatment of 

equipment with dormant cryptography. 

Adding a new control paragraph 

5A002.b to control systems, equipment, 

application specific electronic 

assemblies, modules and integrated 

circuits, designed or modified to enable 

an item to achieve or exceed the 

controlled performance levels for 

functionality specified by 5A002.a that 


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would not otherwise be enabled. This 

addition is made to address the issue of 

mechanisms that are used to upgrade 

the cryptographic functionality of 

equipment to performance levels 

specified by 5A002.a, when the 

equipment would not be controlled 

under 5A002.a (i.e., would not perform 

controlled cryptographic functions) 

without these upgrades. 

These changes are intended to clarify 

existing policy regarding the treatment 

of products with dormant cryptography. 

They are not a new control on these 

products. 

ECCN 5D002 is amended by: 

Revising the EI control paragraph by 

removing the phrase ‘‘5D002.a or c.1’’ 

and adding in its place ‘‘5D002.a,.c.1, or 

.d’’ in the License Requirements section. 

Adding a new paragraph 5D002.d to 

control ‘‘software’’ designed or modified 

to enable an item to achieve or exceed 

the controlled performance levels for 

functionality specified by 5A002.a that 

would not otherwise be enabled. This 

addition is made to address the issue of 

mechanisms that are used to upgrade 

the cryptographic functionality of 

equipment or ‘‘software’’ to performance 

levels specified by 5A002.a (note: 5D002 

‘‘software’’ is classified according to 

performance levels specified by 5A002), 

when the equipment or ‘‘software’’ 

would not be controlled under 5A002.a 

or 5D002 (i.e., would not perform 

controlled cryptographic functions) 

without these upgrades. 

ECCN 5E002 is amended by: 

Moving the text of the Heading to 

5E002.a and adding in its place 

‘‘Technology’’ as follows:’’ 

Revising the EI control paragraph in 

the License Requirement section by 

removing the phrase ‘‘ECCNs 5A002 or 

5D002.a or 5D002.c’’ and adding in its 

place ‘‘ECCNs 5A002 or 5D002’’ to 

succinctly indicate what is EI controlled 

under ECCN 5E002. 

Removing the text following the Items 

paragraph, which states ‘‘The list of 

items controlled is contained in the 

ECCN heading’’ and adding in its place 

a control paragraph 5E002.a to control 

‘‘technology’’ according to the General 

Technology Note for the ‘‘development,’’ 

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

specified by 5A002 or 5B002 or 

‘‘software’’ specified by 5D002.a or 

5D002.c. Prior to the addition of a new 

‘‘technology’’ control paragraph to 

address the issue of ‘‘cryptographic 

activation,’’ ECCN 5E002 did not have 

any specified control paragraphs. The 

5E002 Heading text in place prior to this 

rule is now the text of the new 

paragraph 5E002.a. 

Adding a control paragraph 5E002.b 

to control ‘‘technology’’ to enable an 

item to achieve or exceed the controlled 

performance levels for functionality 

specified by 5A002.a that would not 

otherwise be enabled. This addition is 

made to address the issue of 

mechanisms that are used to upgrade 

the cryptographic functionality of 

equipment or ‘‘software’’ to performance 

levels specified by 5A002.a, when the 

equipment or ‘‘software’’ would not be 

controlled under 5A002.a or 5D002 (i.e., 

would not perform controlled 

cryptographic functions) without these 

upgrades. 

Category 6—Sensors and Lasers 

ECCN 6A001 is amended by: 

Removing 6A001.c from License 

Exceptions LVS, GBS and CIV eligibility 

in the License Exceptions section, 

because this paragraph is moved to 

ECCN 8A002.r. 

Adding a new control for acoustic 

seabed survey equipment in 6A001.a.1.a 

because of the usefulness of this 

equipment in military reconnaissance, 

including subparagraphs 6A001.a.1.a.1 

(surface vessel survey equipment), 

a.1.a.2 (underwater survey equipment 

designed for seabed topographic 

mapping), and a.1.a.3 (Side Scan Sonar 

(SSS) or Synthetic Aperture Sonar 

(SAS), designed for seabed imaging). 

Removing the parenthetical phrase in 

6A001.a.2 that read ‘‘receiving, whether 

or not related in normal application to 

separate active equipment’’ because it is 

guidance about the control that belongs 

in a Note. A new Note is added to 

6A001.a.2 to provide this guidance 

about the control. 

Moving ECCN 6A001.c (diver 

deterrent acoustic systems) to ECCN 

8A002.r, because the specified diver 

deterrent systems have no capability to 

detect divers and are only used to deter 

divers. This rule designates 6A001.c as 

reserved. 

New Nota Bene (N.B.) is added to 

reference 8A002.r for controls on diver 

deterrent acoustic systems. 

ECCN 6A002 is amended by adding a 

Note to 6A002.d.3 to exclude 

encapsulated optical sensing fibers 

specially designed for bore hole sensing 

applications, because these fibers have 

limited use outside of the intended 

application. 

ECCN 6A003 is amended by 

correcting the abbreviation for 

Instantaneous Field of View (IFOV) in 

two places where it is listed as FOV in 

the technical note following paragraph 

(b)(4)(b) of Note 3 to 6A003.b.4.b. 

ECCN 6A005 is revised by: 

Adding a new Note to 6A005.c.1 to 

exclude dye lasers or other liquid lasers 

with specified parameters to correct the 

roll-back on controls resulting from the 

WA 2005 agreements. 

Replacing a period with a semicolon 

in 6A005.f.4, because a new paragraph 

follows. 

Adding a new paragraph 6A005.g to 

control laser acoustic detection 

equipment, and includes a technical 

note that reads ‘‘laser acoustic detection 

equipment is sometimes referred to as a 

laser microphone or particle flow 

detection microphone.’’ This equipment 

can be used as a surreptitious listening 

device over very long distances. 

ECCN 6A006 is amended by: 

Adding 6A006.e to the list of items 

excluded from License Exception LVS 

eligibility, because it has been added to 

the Wassenaar Arrangement’s Sensitive 

List. 

Removing ‘‘and’’ from 6A006.c.3 and 

replacing a period with a semicolon in 

6A006.d, because this rule adds a new 

paragraph. 

Adding a new paragraph 6A006.e to 

control specified Underwater 

ElectroMagnetic Receivers (UEMR). The 

UEMR can be used in civil applications, 

such as oil and gas exploration, as well 

as for military purposes such as mine/ 

vessel detection and alerting. 

ECCN 6A008 is amended by: 

Removing 6A008.l.3 from the License 

Exception LVS eligibility paragraph, 

because this rule removes and reserves 

this paragraph. 

Adding an ‘‘or’’ to the end of 6A008.l.1 

to harmonize it with changes in this 

ECCN; 

Removing and reserving 6A008.l.2 

and l.3, because these parameters for 

radar data processing sub-systems are 

no longer key or major criteria to 

determining whether these commodities 

are usable for military applications; 

Revising 6A008.l.4 by adding the 

phrase ‘‘Configured to provide’’ at the 

beginning, replacing the phrase ‘‘in real 

time’’ with ‘‘within six seconds,’’ and 

adding the phrase ‘‘specified by 6A008.f, 

or 6A008.i.’’ to clarify the control 

parameter; and 

Adding a Nota Bene to reference a 

related control in the U.S. Munitions 

List (22 CFR part 121). 

ECCN 6D001 is amended by adding 

6A004.c and d, and 6A008.d, h, and k 

to paragraph 3 of the License Exception 

TSR paragraph, because these ECCN 

subparagraphs are listed on the 

Wassenaar Arrangement’s Sensitive List. 

ECCN 6D003 is amended by: 

Adding two new paragraphs 6D003.f.3 

and f.4 to control ‘‘software’’ and ‘‘source 

code,’’ specially designed for ‘‘real time 

processing’’ of electromagnetic data 

using underwater electromagnetic 

receivers specified by 6A006.e, because 

this source code and software is 


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essential for the use of Underwater 

ElectroMagnetic Receivers (UEMR). 

Adding the phrase ‘‘designed to be’’ 

between ‘‘programs’’ and ‘‘hosted’’ in 

paragraph 6D003.h.1 to clarify that 

software to be exported is controlled not 

only when it has been loaded onto a 

general purpose computer, but also 

prior to loading onto such a computer. 

ECCN 6E001 is amended by: 

Revising the Heading by removing the 

reference to 6A018 (because ECCN 

6A018 was removed from the CCL on 

July 30, 2004 (69 FR 46086)) and adding 

a missing closing parenthetical to the 

end of the Heading; and 

Revising paragraph 4 of License 

Exception TSR by replacing 

6A001.a.1.b.1 with 6A001.a.1.b, and 

adding 6A001.a.1.e, a.2.d; 6A002.a.1.a, 

a.1.b, a.2.a, a.2.b, a.3, b, and c; 

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

6A005.a.1; 6A006.a.2, c.1, d, e, g, and h; 

6A008.d, h, and k. These revisions are 

made to conform to the Wassenaar 

Arrangement’s Sensitive List. 

ECCN 6E002 is amended by: 

Revising the Heading by removing the 

reference to 6A018 (because ECCN 

6A018 was removed from the CCL on 

July 30, 2004 (69 FR 46086)). 

Revising paragraph 3 of License 

Exception TSR by replacing the word 

‘‘development’’ with ‘‘production’’ to 

correct this paragraph, replace 

6A001.a.1.b.1 with 6A001.a.1.b, moving 

6A001.a.2.c to paragraph (b) of this 

paragraph, adding 6A002.a.3, 6A002.b, 

6A002.c, 6A003.b.3, 6A003.b.4, 

6A004.c, 6A004.d, 6A005.a.1, 

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

6A006.e, 6A006.g, 6A006.h, 6A008.d, 

6A008.h, 6A008.k, 6A008.l.3, 6B008, 

replacing 6A001.a.2.e with 6A001.a.2.c 

in paragraph (b) of this paragraph, and 

removing paragraph (c) of this 

paragraph 3. These revisions are made 

to conform to the Wassenaar 

Arrangement’s Sensitive List. 

ECCN 6E003 is amended by adding 

the phrase ‘‘an ‘optical thickness’’’ 

between ‘‘achieve’’ and ‘‘uniformity’’ in 

paragraph 6E003.d.1 to add clarity to 

the parameter, as well as adding a 

technical note to this paragraph to 

define ‘optical thickness.’ 

Category 7—Navigation and Avionics 

ECCN 7A001 is amended by: 

Adding the phrase ‘‘but less than or 

equal to 100 g’’ after ‘‘15g’’ in 7A001.a.2 

for linear accelerometers, to prevent an 

overlap of control between 7A001 and 

7A002. 

Adding a note for 7A001.a.1 and a.2 

to exclude accelerometers limited to 

measuring only vibration or shock. 

ECCN 7A002 is amended by: 

Adding new parameters to control 

gyros or angular rate sensors in 7A002.a 

and .b to address an overlap of controls 

between 7A001 and 7A002. 

Adding a new Note for 7A002.a.2.b to 

exclude ‘spinning mass gyros’ from 

7A002 controls. 

ECCN 7A003 is amended by removing 

the phrase ‘‘and specially designed 

components therefor’’ from 7A003.d, 

because this phrase is redundant. The 

specially designed components of 

concern are the accelerometers and 

gyros that are already controlled in the 

text of 7A003.d. 

ECCN 7E004 is amended by: 

Removing the phrase ‘‘Raster-type 

head-up displays or’’ from 7E004.a.3, 

because cathode ray tube and related 

raster scanning technology is outdated 

and no longer represents the standard 

for display technology. 

Removing and reserving specified 

inertial navigation systems or gyro-astro 

compasses in 7E004.a.4, because this 

technology is covered by ECCNs 7E001 

and 7E002. 

Category 8—Marine 

ECCN 8A001 is amended by: 

Removing the word ‘‘Fiber’’ from 

paragraph 8A001.d.3 and replacing 

‘‘optic’’ with ‘‘optical,’’ because this 

paragraph addresses parameters for 

untethered submersible vehicles, which, 

by definition, are not tethered by fiber. 

ECCN 8A002 is amended by: 

Adding paragraph 8A002.r to License 

Exceptions GBS and CIV, because this 

paragraph was moved from 6A001.c, 

which was eligible for these license 

exceptions. 

Cascading the parameters in 

paragraph 8A002.i.l to make clear that 

remotely controlled articulated 

manipulators specially designed for use 

with submersibles vehicles are 

controlled when the system that 

controls the manipulators uses either 

measured or detected information from 

tactile sensors. 

Adding single quotes around the term 

‘active noise reduction or cancellation 

systems’ in paragraph 8A002.o.3.b and 

moving some of the text of 8A002.o.3.b 

into a new technical note that defines 

‘active noise reduction or cancellation 

systems’ to move definitional text out of 

the parameter paragraph. 

Cascading the text in 8A002.p to make 

it clear that both the ‘‘power output’’ and 

‘‘using divergent nozzle and flow 

conditioning vane techniques’’ 

parameters apply to pumpjet propulsion 

systems. 

Cascading the parameters in 8A002.q 

to make it clear that closed circuit 

rebreathers and semi-closed circuit 

rebreathers are types of underwater 

swimming and diving equipment that 

are controlled by this paragraph. 

Replacing the word ‘‘apparatus’’ with 

‘‘rebreathers,’’ in 8A002.q.1 and q.2, and 

replacing the phrase ‘‘its user’’ with 

‘‘their users’’ to clarify the Note to 

8A002.q. 

Adding a new paragraph 8A002.r, 

which has been moved from 6A001.c, 

because the specified diver deterrent 

systems have no capability to detect 

divers and are only used to deter divers. 

This rule also adds related notes 

describing the scope of 8A002.r to help 

readers understand the scope of the 

control better. 

Category 9—Aerospace and Propulsion 

ECCN 9A001 is amended by adding a 

reference to 9E003.i in 9A001.a as a new 

parameter for control of aero gas turbine 

engines. 

ECCN 9A003 is amended by replacing 

the phrase ‘‘having any of the following’’ 

with ‘‘any of the following’’ in the 

Header because the Items paragraphs do 

not list characteristics of engine 

propulsion systems. In addition, this 

rule adds 9E003.i (‘‘technology’’ for 

adjustable flow path systems designed 

to maintain engine stability for gas 

generator turbines, fan or power 

turbines, or propelling nozzles) to the 

heading of 9A003. 

ECCN 9A991 is amended by adding 

double quotes around the term ‘‘civil 

aircraft’’ in paragraph 9A991.b in the 

Items paragraph of the List of Items 

Controlled, because this is a defined 

term in Part 772. 

ECCN 9B001 is amended by adding 

double quotes around the term ‘‘tip 

shroud’’, because this rule adds a 

definition to Part 772 of the EAR. 

ECCN 9B002 is amended by moving 

and cascading the text that appeared in 

the Heading to the Items paragraph of 

the List of Items Controlled section to 

improve clarity of the control. In 

addition, this rule replaces the reference 

to ‘‘9E003.a. or 9E003.h’’ with ‘‘9E003.h 

and 9E003.i’’ in the new paragraph 

9B002.b, to harmonize it with the 

movement of ‘‘technology’’ for adjustable 

flow path systems designed to maintain 

engine stability for gas generator 

turbines, fan or power turbines, or 

propelling nozzles from 9E003.a.10 to 

9E003.i. 

ECCN 9B008 is amended by revising 

the Heading for clarity of the control 

scope of the entry. 

ECCN 9D003 is amended by: 

Replacing the phrase ‘‘specially 

designed or modified for the ‘‘use’’ of 

‘‘Full Authority Digital Electronic 

Engine Controls Systems’’’’ with 

‘‘incorporating ‘‘technology’’ specified by 


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9E003.h and used in’’ to use less words 

to refer to the same parameters. 

Removing the phrase ‘‘as follows (see 

List of Items Controlled)’’ to harmonize 

with the revisions described in this 

entry. 

Removing paragraphs 9D003.a and .b, 

and adding in their place the sentence, 

‘‘The list of items controlled is 

contained in the ECCN heading.’’ 

ECCN 9D004 is amended by adding 

double quotes around the newly defined 

term ‘‘tip shrouds’’ in paragraph 9D004.f. 

ECCN 9E001 is corrected by adding 

back the MT and AT paragraphs of the 

License Requirement section that was 

inadvertently removed on January 2, 

2008 (73 FR 32, 38). 

ECCN 9E003 is amended by: 

Revising the SI control paragraph in 

the License Requirements section to add 

paragraph .j, which was previously 

listed as .i but is redesignated as .j by 

this rule to the existing list. The SI 

control paragraph now includes a.8, .h, 

.i, and .j. 

Adding double quotes around the 

newly defined term ‘‘tip shrouds’’ in 

paragraph 9E003.a.1, a.4, and a.5. 

Replacing the word ‘‘rotating’’ with 

‘‘rotor’’ in 9E003.a.8, because this is a 

more precise description of the 

component to be controlled. 

Adding a Technical Note to define 

‘‘damage tolerant’’ after 9E003.a.8 to add 

clarity to the control and adding single 

quotes around ‘damage tolerant’ to 

identify that this term is defined in 

9E003. Adding ‘‘or’’ to the end of the text 

for a.8, because a.8 is the last paragraph 

of substance before a.11, which is the 

last paragraph of 9E003.a. 

Removing and reserving paragraph 

.a.10 and the related notes and adding 

a new Note Bene stating ‘‘For adjustable 

flow path geometry, see 9E003.i.’’ 

Redesignating paragraph .i as paragraph 

.j in the Items paragraph of the List of 

Items Controlled section, in order to 

move technology for ‘‘adjustable flow 

path geometry and associated control 

systems’’ from 9E003.a.10 to the new 

9E003.i. This paragraph was moved to 

move it out from under the stipulation 

in 9E003.a that this particular 

technology must be ‘‘required’’ for the 

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

the following gas turbine engine 

components or systems. Instead the new 

more precise control is for specifically 

listed ‘‘technology’’ for adjustable flow 

path systems designed to maintain 

engine stability for gas generator 

turbines, fan or power turbines, or 

propelling nozzles. 

§ 734.4 De minimis U.S. Content 

Section 734.4 is amended by 

removing the phrase ‘‘9E003.a.1 through 

a.8, a.10, h and i.’’ and adding in its 

place ‘‘9E003.a.1 through a.8, .h,.i and 

.j.’’ in paragraph (a)(4) ‘‘Items for which 

there is no de minimis level.’’ This 

change is made to harmonize with 

revisions to paragraphs ECCN 9E003.i 

and .jin this rule. 

Section 734.4 is amended by 

removing the phrase ‘‘5A002.a.1, .a.2, 

.a.5, or .a.6, .a.9, or 5D002,’’ and adding 

in its place ‘‘5A002.a.1, .a.2, .a.5, .a.6, 

.a.9, .b, or 5D002,’’ in the introductory 

text of paragraph (b)(1), because 

5A002.b is a newly added EI controlled 

paragraph. 

License Exception GOV 740.11— 

Supplement No. 1 to section 740.11 

As a matter of policy BIS does not 

allow the use of License Exception GOV 

for the export of items listed on the WA 

Very Sensitive List. As a result of WA 

agreements adding ECCN 5A001.h (and 

corresponding technology and software) 

to its Very Sensitive List, this rule 

makes corresponding changes to 

Supplement No. 1 to section 740.11. 

§ 740.17 License Exception ENC 

Section 740.17 is amended by 

removing the phrase ‘‘5A002.a.1, .a.2, 

.a.5, .a.6, or .a.9’’ and adding in its place 

‘‘5A002.a.1, .a.2, .a.5, .a.6, .a.9, or .b’’ in 

the introductory paragraph and 

paragraphs (a)(1)(i), (a)(2), and (b)(1). 

This is a consequential change because 

of the newly added paragraph 5A002.b, 

which is EI controlled. (The newly 

added paragraph 5D002.d, which is EI 

controlled, is already covered by the 

existing reference to ECCN 5D002 in 

these section 740.17 paragraphs. So, 

while 5D002.d is a new CCL entry, its 

addition does not require any 

conforming edits in these particular 

paragraphs.) 

§ 742.14 Significant Items: Hot Section 

Technology for the Development, 

Production or Overhaul of Commercial 

Aircraft Engines, Components, and 

Systems 

This rule harmonizes the list of 

paragraphs under ECCN 9E003 that are 

controlled for SI reasons with the list in 

section 742.14. The paragraphs of ECCN 

9E003 that are controlled for SI reasons 

are 9E003.a.1 through a.8, .h, .i, and .j. 

§ 742.15 Encryption Items 

Section 742.15 is amended by 

removing the phrase ‘‘5A002.a.1, a.2, 

a.5, a.6 and a.9; 5D002.a or c.1 for 

equipment controlled for EI reasons in 

ECCN 5A002;’’ and adding in its place 

‘‘5A002.a.1, .a.2, .a.5, .a.6, .a.9, and .b; 

5D002.a, .c.1 or .d for equipment and 

‘‘software’’ controlled for EI reasons in 

ECCNs 5A002 or 5D002;’’ in paragraph 

(a)(1). This is a consequential change 

because of the newly added paragraphs 

5A002.b and 5D002.d, which are EI 

controlled. This change also clarifies 

that ‘‘EI’’ controls apply to ‘‘software’’ 

items as specified by the designated 

ECCN 5D002 paragraphs, regardless of 

whether the ‘‘software’’ is bundled, 

commingled or otherwise used with 

ECCN 5A002 equipment. 

§ 743.1 Wassenaar Arrangement 

WA has three levels of control of 

goods: Basic List (BL), Sensitive List 

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

a matter of policy, BIS makes certain 

items on the WA BL and SL eligible for 

license exceptions. Because of the U.S. 

obligations under its agreements to the 

WA, the U.S. must report on SL items 

exported outside of the WA membership 

countries. BIS does this by gathering 

data from its licensing database. To 

collect data on exports made under 

license exceptions, BIS requires WA 

reporting on SL items exported 

(excluding deemed exports) under 

License Exceptions GBS, CIV, TSR, LVS, 

APP and portions of GOV. As a result 

of WA making changes to its SL, this 

rule makes corresponding changes to 

the reporting requirements of section 

743.1 of the EAR. 

This rule revises the Note to 

paragraph (c)(1)(ii) of Section 743.1 by 

adding WA reporting requirements for 

2D001 software other than that 

controlled by 2D002, specially designed 

for the development or production of 

deep-hole-drilling machines controlled 

by 2B001.f, or ‘‘numerically controlled’’ 

or manual machine tools controlled by 

2B003. In addition, this rule revises the 

Note to paragraph (c)(1)(ii) of Section 

743.1 by adding WA reporting 

requirements for 2E001 and 2E002 

technology consistent with the General 

Technology Note for development and 

production of deep-hole-drilling 

machines controlled by 2B001.f, or 

‘‘numerically controlled’’ or manual 

machine tools controlled by 2B003. This 

rule also changes the formatting of the 

information in this Note by putting it in 

outline format for easier readability. 

This rule also revises reporting 

requirements in Section 743.1(c)(1)(v) to 

add 5A001.h in three places and to add 

5A001.b.5 in two places for consistency. 

This rule also revises reporting 

requirements in Section 743.1(c)(1)(vi) 

to remove 6A002.a.1.a, a.1.b, a.2.a, a.3, 

c, and e; 6A003.b.3 and b.4, ; and 

6A006.a.1, a.2, and d, because the 

subparagraphs of these ECCNs are not 

eligible for list based license exceptions 

and are therefore not subject to WA 

reporting requirements under the EAR. 

In addition, this rule removes 6D001, 


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6D003.a, 6E001 and 6E002, because the 

only list based license exception this 

software and technology are eligible for 

is License Exception TSR, and only 

within countries that are WA member 

countries. 

This rule also revises reporting 

requirements in Section 743.1(c)(1)(viii) 

to add the phrase ‘‘as well as 8A001.b, 

c, and d’’ to ECCNs 8D001 and 8E001, 

to indicate that the reporting 

requirements of 743.1(c)(1) apply to 

exports of 8D001 software for the 

development, production or use of 

commodities controlled by 8A001.b, c, 

and d and 8E001 technology for the 

development or production of 

commodities controlled by 8A001.b, c, 

and d. 

§ 772.1 Definitions of Terms as Used 

in the Export Administration 

Regulations (EAR) 

As a result of the decisions reached at 

the 2010 WA Plenary, this rule amends 

section 772.1 to add categories 4 and 9 

as references in the definition of ‘‘civil 

aircraft’’ to identify other categories that 

use this definition. This rule also adds 

definitions for ‘‘cryptographic 

activation,’’ ‘‘radiant sensitivity,’’ and 

‘‘tip shroud,’’ and amends the existing 

definition for ‘‘information security’’ to 

include ‘‘cryptographic activation.’’ This 

rule also amends the definition of 

‘‘frequency switching time’’ to add a 

more practical and meaningful 

definition for the term. The change from 

an absolute frequency to a percentage of 

the final maximum specified frequency 

will make actual frequency 

measurements possible and reasonable, 

thus removing ambiguity of 

interpretation. Additionally, this rule 

corrects the structure of the definition of 

‘‘frequency switching time’’ by replacing 

an absolute value with a relative value. 

Also, the phrase ‘‘or signal generator’’ is 

removed from the definition of 

‘‘frequency synthesizer,’’ because a 

signal generator is a subset of a 

frequency source. Finally, the definition 

of ‘‘object code’’ is amended by replacing 

the term ‘‘converted’’ with ‘‘compiled’’ to 

use a more precise and commonly used 

word to describe what it is that is done 

to source code in order to obtain object 

code. 

Supplement No. 3 to Part 774 

This rule adds a Statement of 

Understanding related to Used Goods at 

the end of Supplement No. 3 to Part 

774, which states, ‘‘The specifications in 

the Commerce Control List apply 

equally to new or used goods. In the 

case of used goods, an evaluation by the 

Bureau of Industry and Security may be 

carried out in order to assess whether 

the goods are capable of meeting the 

relevant specifications.’’ This statement 

was added because the regulated public 

often asks the question as to whether the 

controls apply to used or older 

equipment. The statement clearly states 

that the controls apply to new and used 

equipment equally, but that if you 

believe the equipment cannot perform 

to the stated control parameters because 

of its current age and condition that you 

may submit a classification request to 

BIS and BIS will evaluate the current 

state of the equipment against the 

control parameters and make a 

classification determination. 

Export Administration Act 

Since August 21, 2001, the Export 

Administration Act of 1979, as 

amended, has been in lapse. However, 

the President, through Executive Order 

13222 of August 17, 2001 (3 CFR, 2001 

Comp. 783 (2002)), which has been 

extended by successive Presidential 

Notices, the most recent being that of 

August 12, 2010, 75 FR 50681 (August 

16, 2010) has continued the EAR in 

effect under the International 

Emergency Economic Powers Act (50 

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

Saving Clause 

Shipments of items removed from 

license exception eligibility or eligibility 

for export without a license as a result 

of this regulatory action that were on 

dock for loading, on lighter, laden 

aboard an exporting carrier, or en route 

aboard a carrier to a port of export, on 

May 20, 2011, pursuant to actual orders 

for export to a foreign destination, may 

proceed to that destination under the 

previous license exception eligibility or 

without a license so long as they have 

been exported from the United States 

before July 19, 2011. Any such items not 

actually exported before midnight, on 

July 19, 2011, require a license in 

accordance with this regulation. 

Rulemaking Requirements 

1. Executive Orders 13563 and 12866 

direct agencies to assess all costs and 

benefits of available regulatory 

alternatives and, if regulation is 

necessary, to select regulatory 

approaches that maximize net benefits 

(including potential economic, 

environmental, public health and safety 

effects, distributive impacts, and 

equity). Executive Order 13563 

emphasizes the importance of 

quantifying both costs and benefits, of 

reducing costs, of harmonizing rules, 

and of promoting flexibility. This rule 

has been designated 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. 

2. Notwithstanding any other 

provision of law, no person is required 

to respond to, nor shall any person be 

subject to a penalty for failure to comply 

with a collection of information subject 

to the requirements of the Paperwork 

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

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

information displays a currently valid 

Office of Management and Budget 

(OMB) Control Number. This rule 

involves two collections of information 

subject to the PRA. One of the 

collections has been approved by OMB 

under control number 0694–0088, 

‘‘Multi Purpose Application,’’ and 

carries a burden hour estimate of 58 

minutes for a manual or electronic 

submission. The other of the collections 

has been approved by OMB under 

control number 0694–0106, ‘‘Reporting 

and Recordkeeping Requirements under 

the Wassenaar Arrangement,’’ and 

carries a burden hour estimate of 21 

minutes for a manual or electronic 

submission. Send comments regarding 

these burden estimates or any other 

aspect of these collections of 

information, including suggestions for 

reducing the burden, to OMB Desk 

Officer, New Executive Office Building, 

Washington, DC 20503; and to 

JasmeetSeehra, OMB Desk Officer, by email at Jasmeet_K._Seehra@omb.eop.gov 

or by fax to (202) 395–7285; and to the 

Office of Administration, Bureau of 

Industry and Security, Department of 

Commerce, 14th and Pennsylvania 

Avenue, NW., Room 6622, Washington, 

DC 20230. 

3. This rule does not contain policies 

with Federalism implications as that 

term is defined under Executive Order 

13132. 

4. The provisions of the 

Administrative Procedure Act (5 U.S.C. 

553) requiring notice of proposed 

rulemaking, the opportunity for public 

participation, and a delay in effective 

date, are inapplicable because this 

regulation involves a military and 

foreign affairs function of the United 

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

implementation of these amendments 

fulfills the United States’ international 

obligation to the Wassenaar 

Arrangement on Export Controls for 

Conventional Arms and Dual-Use Goods 

and Technologies. The Wassenaar 

Arrangement contributes to 

international security and regional 

stability by promoting greater 

responsibility in transfers of 

conventional arms and dual use goods 

and technologies, thus preventing 


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29618 Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 

destabilizing accumulations of such 

items. The Wassenaar Arrangement 

consists of 40 member countries that act 

on a consensus basis and the changes 

set forth in this rule implement 

agreements reached at the December 

2010 plenary session of the WA. Since 

the United States is a significant 

exporter of the items in this rule, 

implementation of this provision is 

necessary for the WA to achieve its 

purpose. Any delay in implementation 

will create a disruption in the 

movement of affected items globally 

because of disharmony between export 

control measures implemented by WA 

members, resulting in tension between 

member countries. Export controls work 

best when all countries implement the 

same export controls in a timely 

manner. If this rulemaking was delayed 

to allow for notice and comment, it 

would prevent the United States from 

fulfilling its commitment to the WA in 

a timely manner and would injure the 

credibility of the United States in this 

and other multilateral regimes. 

Further, no other law requires that a 

notice of proposed rulemaking and an 

opportunity for public comment be 

given for this final rule. Because a 

notice of proposed rulemaking and an 

opportunity for public comment are not 

required to be given for this rule under 

the Administrative Procedure Act or by 

any other law, the analytical 

requirements of the Regulatory 

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

not applicable. Therefore, this 

regulation is issued in final form. 

Although there is no formal comment 

period, public comments on this 

regulation are welcome on a continuing 

basis. Comments should be submitted to 

Sharron Cook, Office of Exporter 

Services, Bureau of Industry and 

Security, Department of Commerce, 

14th and Pennsylvania Ave., NW., 

Room 2099, Washington, DC 20230. 

List of Subjects 

15 CFR Part 734 

Administrative practice and 

procedure, Exports, Inventions and 

patents, Research Science and 

technology. 

15 CFR Part 740 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping requirements. 

15 CFR Part 742 

Exports, Terrorism. 

15 CFR Part 743 

Administrative practice and 

procedure, Reporting and recordkeeping 

requirements. 

15 CFR Part 772 

Exports. 

15 CFR Part 774 

Exports, Reporting and recordkeeping 

requirements. 

Accordingly, parts 734, 740, 742, 743, 

772 and 774 of the Export 

Administration Regulations (15 CFR 

parts 730–774) are amended as follows: 

PART 734—[AMENDED] 

■ 1. The authority citation for Part 734 

continues to read as follows: 

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

U.S.C. 1701 et seq.; E.O. 12938, 59 FR 59099, 

3 CFR, 1994 Comp., p. 950; E.O. 13020, 61 

FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 

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

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

Comp., p. 783; Notice of August 12, 2010, 75 

FR 50681 (August 16, 2010); Notice of 

November 4, 2010, 75 FR 68673 (November 

8, 2010). 

§ 734.4 [Amended] 

■ 2. Section 734.4 is amended by: 

■ a. Removing the phrase ‘‘9E003.a.1 

through a.8, a.10, h and i.’’and adding in 

its place ‘‘9E003.a.1 through a.8,.h, .i., 

and .j.’’ in paragraph (a)(4); and 

■ b. Removing the phrase ‘‘5A002.a.1, 

.a.2, .a.5, or .a.6, .a.9, or 5D002,’’ and 

adding in its place ‘‘5A002.a.1, .a.2, .a.5, 

.a.6, .a.9, .b, or 5D002,’’ in the 

introductory text of paragraph (b)(1). 

PART 740—[AMENDED] 

■ 3. The authority citation for Part 740 

continues to read as follows: 

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

U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; 

E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., 

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

Comp., p. 783; Notice of August 12, 2010, 75 

FR 50681 (August 16, 2010). 

■ 4. Supplement No. 1 to section 740.11 

is amended by: 

■ a. Revising the introductory text to 

paragraph (a)(1); 

■ b. Revising paragraphs (a)(1)(vi)(B) 

and (a)(1)(vii)(C); 

■ c. Revising the introductory text to 

paragraph (b)(1); and 

■ d. Revising paragraphs (b)(1)(vi)(B) 

and (b)(1)(vii)(C), to read as follows: 

§ 740.11 Governments, international 

organizations, international inspections 

under the Chemical Weapons Convention, 

and International Space Station (GOV). 

* * * * * 

SUPPLEMENT NO. 1 TO § 740.11— 

ADDITIONAL RESTRICTIONS ON USE 

OF LICENSE EXCEPTION GOV. 

(a) * * * 

(1) Items identified on the Commerce 

Control List as controlled for national 

security (NS) reasons under Export 

Control Classification Numbers (ECCNs) 

as follows for export or reexport to 

destinations other than Austria, 

Belgium, Canada, Denmark, Finland, 

France, Germany, Greece, Ireland, Italy, 

Luxembourg, the Netherlands, Portugal, 

Spain, Sweden, or the United Kingdom: 

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

6A001.a.1.b.1 object detection and 

location systems, having a sound 

pressure level exceeding 210 dB 

(reference 1 μPa at 1 m) and an 

operating frequency in the band from 30 

Hz to 2 kHz inclusive, 6A001.a.2.a.1, 

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

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

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

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

8A002.o.3.b; and 

* * * * * 

(vi) * * * 

(B) Controlled by 5D001.a, specially 

designed for the ‘‘development’’ or 

‘‘production’’ of equipment, functions or 

features controlled by 5A001.b.5 and 

5A001.h; and 

* * * * * 

(vii) * * * 

(C) Controlled by 5E001.a for the 

‘‘development’’ or ‘‘production’’ of 

digitally controlled radio receivers 

controlled by 5A001.b.5 and radio 

frequency (RF) transmitting equipment 

controlled by 5A001.h; or 5D001.a for 

‘‘software’’ specially designed for the 

‘‘development’’ or ‘‘production’’ of 

digitally controlled radio receivers 

controlled by 5A001.b.5 and radio 

frequency (RF) transmitting equipment 

controlled by 5A001.h; and 

* * * * * 

(b) * * * 

(1) Items identified on the Commerce 

Control List as controlled for national 

security (NS) reasons under Export 

Control Classification Numbers (ECCNs) 

as follows for export or reexport to 

destinations other than Austria, 

Belgium, Canada, Denmark, Finland, 

France, Germany, Greece, Ireland, Italy, 

Luxembourg, the Netherlands, Portugal, 

Spain, Sweden, or the United Kingdom: 

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

6A001.a.1.b.1 object detection and 

location systems having a sound 

pressure level exceeding 210 dB 

(reference 1 μPa at 1 m) for equipment 

with an operating frequency in the band 

from 30 Hz to 2 kHz inclusive, 

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

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

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

6A002.a.1.c, 6A008.l.3, 6B008, 8A001.b, 

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

* * * * * 

(vi) * * * 


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Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 29619 

(B) Controlled by 5D001.a, specially 

designed for the ‘‘development’’ or 

‘‘production’’ of equipment, functions or 

features controlled by 5A001.b.5 and 

5A001.h; and 

* * * * * 

(vii) * * * 

(C) Controlled by 5E001.a for the 

‘‘development’’ or ‘‘production’’ of 

digitally controlled radio receivers 

controlled by 5A001.b.5 and radio 

frequency (RF) transmitting equipment 

controlled by 5A001.h; or 5D001.a for 

‘‘software’’ specially designed for the 

‘‘development’’ or ‘‘production’’ of 

digitally controlled radio receivers 

controlled by 5A001.b.5 and radio 

frequency (RF) transmitting equipment 

controlled by 5A001.h; and 

* * * * * 

§ 740.17 [Amended] 

■ 5. Section 740.17 is amended by 

removing the phrase ‘‘5A002.a.1, .a.2, 

.a.5, .a.6, or .a.9’’ and adding in its place 

‘‘5A002.a.1, .a.2, .a.5, .a.6, .a.9, or .b’’ in 

the introductory paragraph and 

paragraphs (a)(1)(i), (a)(2), and (b)(1). 

PART 742—[AMENDED] 

■ 6. The authority citation for Part 742 

continues to read as follows: 

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

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

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

U.S.C. 7210; Sec 1503, Pub. L. 108–11, 117 

Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 

1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 

3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 

FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 

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

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

Comp., p. 783; Presidential Determination 

2003–23 of May 7, 2003, 68 FR 26459, May 

16, 2003; Notice of August 12, 2010, 75 FR 

50681 (August 16, 2010); Notice of November 

4, 2010, 75 FR 68673 (November 8, 2010). 

■ 7. Section 742.14 is amended by 

revising paragraph (a) and the 

introductory text to paragraph (b) to 

read as follows: 

§ 742.14 Significant Items: Hot Section 

Technology for the Development, 

Production or Overhaul of Commercial 

Aircraft Engines, Components, and 

Systems. 

(a) License requirement. Licenses are 

required for all destinations, except 

Canada, for ECCNs having an ‘‘SI’’ under 

the ‘‘Reason for Control’’ paragraph. 

These items include hot section 

technology for the development, 

production or overhaul of commercial 

aircraft engines controlled under ECCN 

9E003.a.1 through a.8, .h,.i and .j, and 

related controls. 

(b) Licensing policy. Pursuant to 

section 6 of the Export Administration 

Act of 1979, as amended, foreign policy 

controls apply to technology required 

for the development, production or 

overhaul of commercial aircraft engines 

controlled by ECCN 9E003a.1 through 

a.8, .h,.i, and .j, and related controls. 

These controls supplement the national 

security controls that apply to these 

items. Applications for export and 

reexport to all destinations will be 

reviewed on a case-by-case basis to 

determine whether the export or 

reexport is consistent with U.S. national 

security and foreign policy interests. 

The following factors are among those 

that will be considered to determine 

what action will be taken on license 

applications: 

* * * * * 

§ 742.15 [Amended] 

■ 8. Section 742.15 is amended by 

removing the phrase ‘‘5A002.a.1, a.2, 

a.5, a.6 and a.9; 5D002.a or c.1 for 

equipment controlled for EI reasons in 

ECCN 5A002;’’ and adding in its place 

‘‘5A002.a.1, .a.2, .a.5, .a.6, .a.9, and .b; 

5D002.a, .c.1 or .d for equipment and 

‘‘software’’ controlled for EI reasons in 

ECCNs 5A002 or 5D002;’’ in paragraph 

(a)(1). 

PART 743—[AMENDED] 

■ 9. The authority citations for Part 743 

are revised to read as follows: 

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

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

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

12, 2010, 75 FR 50681 (August 16, 2010). 

■ 10. Section 743.1 is amended by: 

■ a. Revising the note to paragraph 

(c)(1)(ii) and paragraph (c)(1)(v), the 

introductory text of paragraph (c)(1)(vi) 

and paragraph (c)(1)(viii) as set forth 

below; 

■ b. Removing and reserving paragraph 

(c)(1)(vii). 

§ 743.1 Wassenaar Arrangement. 

* * * * * 

(c) * * * 

(1) * * * 

(ii) * * * 

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

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

controlled by 2D002, specially designed for 

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

equipment as follows: 

a. Equipment controlled by 2B001.a or .b 

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

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

accuracy with ‘‘all compensations available’’ 

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

linear axis’’ to the existing text for 

2B001.b.2)(See Technical Notes 5 and 6 to 

Product Group B in Category 2 of the 

Commerce Control List for acceptable 

positioning accuracy measurements.); 

b. Deep-hole-drilling machines controlled 

by 2B001.f.; or 

c. ‘‘Numerically controlled’’ or manual 

machine tools controlled by 2B003. 

Reports for 2E001, are for 

‘‘technology’’ according to the General 

Technology Note for the ‘‘development’’ 

of ‘‘software’’ as described in this 

paragraph for 2D001, or for equipment 

as follows: 

a. Equipment controlled by 2B001.a, 

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

and 2B001.b.1.a; and adding ‘‘a 

positioning accuracy with ‘‘all 

compensations available’’ equal to or 

less (better) than 5.1μm along any linear 

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

(See Technical Notes 5 and 6 to Product 

Group B in Category 2 of the Commerce 

Control List for acceptable positioning 

accuracy measurements.); 

b. Deep-hole-drilling machines 

controlled by 2B001.f.; or 

c. ‘‘Numerically controlled’’ or manual 

machine tools controlled by 2B003. 

Reports for 2E002, are for 

‘‘technology’’ according to the General 

Technology Note for the ‘‘production’’ of 

equipment as follows: 

a. Equipment controlled by 2B001.a or 

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

and 2B001.b.1.a; and adding ‘‘a 

positioning accuracy with ‘‘all 

compensations available’’ equal to or 

less (better) than 5.1μm along any linear 

axis’’ to the existing text for 

2B001.b.2)(See Technical Notes 5 and 6 

to Product Group B in Category 2 of the 

Commerce Control List for acceptable 

positioning accuracy measurements.); 

b. Deep-hole-drilling machines 

controlled by 2B001.f.; or 

c. ‘‘Numerically controlled’’ or manual 

machine tools controlled by 2B003. 

* * * * * 

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

(items specially designed for 5A001.b.3, 

b.5 or .h); 5D001.a (specially designed 

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

equipment, function, or features in 

5A001.b.3, b.5 or .h) and 5D001.b 

(specially designed or modified to 

support ‘‘technology’’ under 5E001.a as 

described in this paragraph); and 

5E001.a (for the ‘‘development’’ or 

‘‘production’’ of equipment, functions or 

features specified by 5A001.b.3, b.5 or 

.h or ‘‘software’’ in 5D001.a or 5D001.b 

as described in this paragraph); 

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

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

a sound pressure level exceeding 224 dB 

(reference 1 μPa at 1 m) for equipment 

with an operating frequency in the band 

from 5kHz to 10 kHz inclusive’’ to the 

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

6A001.a.2.d; 6A002.b; 6A004.c and d; 

6A006.c.1; 6A008.d, .h, and .k; 

* * * * * 


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29620 Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 

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

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

8D001 (for commodities listed in this 

paragraph, as well as 8A001.b, c, and d); 

8D002; 8E001 (for commodities listed in 

this paragraph, as well as 8A001.b, c 

and d); and 8E002.a; and 

* * * * * 

PART 772—[AMENDED] 

■ 11. The authority citation for Part 772 

continues to read as follows: 

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

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

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

12, 2010, 75 FR 50681 (August 16, 2010). 

■ 12. Section 772.1 is amended by: 

■ a. Amend the definition for ‘‘Civil 

aircraft’’, by removing the reference 

‘‘(Cat 1, 3, and 7)’’ and by adding the 

reference ‘‘(Cat 1, 3, 4, 7, and 9)’’, in its 

place. ; 

■ b. Adding in alphabetical order new 

definitions for ‘‘cryptographic 

activation’’ and ‘‘Radiant sensitivity’’, 

and ‘‘Tip shroud’’ ; and 

■ c. Revising the definition for the term 

‘‘frequency switching time’’, ‘‘frequency 

synthesizer’’, ‘‘information security’’, and 

‘‘object code’’, to read as follows: 

§ 772.1 Definitions of Terms as Used in the 

Export Administration Regulations (EAR). 

* * * * * 

‘‘Cryptographic activation’’ (Cat 5P2) 

Any technique that activates or enables 

cryptographic capability, via a secure 

mechanism that is implemented by the 

manufacturer of the item and is 

uniquely bound to the item or customer 

for which the cryptographic capability 

is being activated or enabled (e.g., a 

serial number-based license key or an 

authentication instrument such as a 

digitally signed certificate). 

Technical Note to definition of 

‘‘Cryptographic activation’’: 

‘‘Cryptographic activation’’ techniques 

and mechanisms may be implemented 

as hardware, ‘‘software’’ or ‘‘technology’’. 

* * * * * 

‘‘Frequency switching time’’. (Cat 3 

and 5)—The time (i.e., delay), taken by 

a signal, when switched from an initial 

specified output frequency, to arrive at 

or within ± 0.05% of a final specified 

output frequency. Items having a 

specified frequency range of less than 

± 0.05% around their centre frequency 

are defined to be incapable of frequency 

switching. 

‘‘Frequency synthesizer’’. (Cat 3)— 

Any kind of frequency source, 

regardless of the actual technique used, 

providing a multiplicity of simultaneous 

or alternative output frequencies, from 

one or more outputs, controlled by, 

derived from or disciplined by a lesser 

number of standard (or master) 

frequencies. 

* * * * * 

‘‘Information security’’. (Cat 5)—All 

the means and functions ensuring the 

accessibility, confidentiality or integrity 

of information or communications, 

excluding the means and functions 

intended to safeguard against 

malfunctions. This includes 

‘‘cryptography’’, ‘‘cryptographic 

activation’’, ‘‘cryptanalysis’’, protection 

against compromising emanations and 

computer security. 

Technical Note to definition of 

‘‘Information security’’: ‘‘Cryptanalysis’’: 

the analysis of a cryptographic system 

or its inputs and outputs to derive 

confidential variables or sensitive data, 

including clear text. (ISO 7498–2–1988 

(E), paragraph 3.3.18) 

* * * * * 

‘‘Object code’’. (or object language) 

(Cat 9)—An equipment executable form 

of a convenient expression of one or 

more processes (‘‘source code’’ (or 

source language)) that has been 

compiled by a programming system. 

(See also ‘‘source code’’) 

* * * * * 

‘‘Radiant sensitivity’’ (Cat 6)—Radiant 

sensitivity (mA/W) = 0.807 × 

(wavelength in nm) × ‘Quantum 

Efficiency (QE)’ 

Technical Note: ‘QE’ is usually expressed 

as a percentage; however, for the purposes of 

this formula ‘QE’ is expressed as a decimal 

number less than one, e.g., 78% is 0.78. 

* * * * * 

‘‘Tip shroud’’ (Cat 9)—A stationary 

ring component (solid or segmented) 

attached to the inner surface of the 

engine turbine casing or a feature at the 

outer tip of the turbine blade, which 

primarily provides a gas seal between 

the stationary and rotating components. 

* * * * * 

PART 774—[AMENDED] 

■ 13. The authority citation for Part 774 

continues to read as follows: 

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

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

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

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

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

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

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

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

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

Comp., p. 783; Notice of August 12, 2010, 75 

FR 50681 (August 16, 2010). 

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

Commerce Control List), Category 1 

‘‘Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ ’’, ECCN 

1A002, List of Items Controlled section, 

Items paragraph is amended by: 

■ a. Revising the introductory text to 

Notes 2 and 3 after paragraph b.2; 

■ b. Adding a new Note 4; 

1A002 ‘‘Composite’’ structures or 

laminates, having any of the following 

(see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

Note 2: 1A002 does not control semifinished items, specially designed for purely 

civilian applications as follows: 

* * * * * 

Note 3: 1A002.b.1 does not apply to semifinished items containing a maximum of two 

dimensions of interwoven filaments and 

specially designed for applications as 

follows: 

* * * * * 

Note 4: 1A002 does not apply to finished 

items specially designed for a specific 

application. 

■ 15. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

‘‘Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ ’’, ECCN 

1A004, List of Items Controlled section 

the Items paragraph is amended by: 

■ a. Revising the introductory text to 

paragraph .c; 

■ b. Revising the Note that appears after 

Note 2 to paragraph 1A004.d, to read as 

follows: 

1A004 Protective and detection 

equipment and components, not 

specially designed for military use, as 

follows (see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

c. Detection systems, specially 

designed or modified for detection or 

identification of any of the following, 

and specially designed components 

therefor: 

* * * * * 

d. * * * 

Note 2: * * * 

Note: 1A004 does not control: 

a. Personal radiation monitoring 

dosimeters; 

b. Equipment limited by design or function 

to protect against hazards specific to 

residential safety or civil industries, 

including: 


srobinson on DSK4SPTVN1PROD with RULES2
Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 29621 

1. Mining; 

2. Quarrying; 

3. Agriculture; 

4. Pharmaceutical; 

5. Medical; 

6. Veterinary; 

7. Environmental; 

8. Waste management; 

9. Food industry. 

* * * * * 

■ 16. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

‘‘Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ ’’, 

Export Control Classification Number 

(ECCN) 1B001, List of Items Controlled 

section the Items paragraph is amended 

by revising paragraph .c, including 

removing the Note to paragraph .c, to 

read as follows: 

1B001 Equipment for the production 

or inspection of ‘‘composite’’ structures 

or laminates controlled by 1A002 or 

‘‘fibrous or filamentary materials’’ 

controlled by 1C010, as follows (see List 

of Items Controlled), and specially 

designed components and accessories 

therefor. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

c. Multidirectional, multidimensional 

weaving machines or interlacing 

machines, including adapters and 

modification kits, specially designed or 

modified for weaving, interlacing or 

braiding fibers for ‘‘composite’’ 

structures; 

Technical Note: For the purposes of 

1B001.c the technique of interlacing includes 

knitting. 

* * * * * 

■ 17. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

‘‘Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ ’’, 

Export Control Classification Number 

(ECCN) 1C003 is amended by removing 

the phrase ‘‘initial permeability’’ and 

adding in its place ‘‘initial relative 

permeability’’ in the Technical Note of 

paragraph .a in the Items paragraph of 

the List of Items Controlled section. 

■ 18. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

‘‘Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ ’’, 

Export Control Classification Number 

(ECCN) 1C006, List of Items Controlled 

section the Items paragraph is amended 

by: 

■ a. Revising paragraph .c, to read as 

follows; and 

■ b. Removing paragraph .e; 

1C006 Fluids and lubricating 

materials, as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

c. Damping or flotation fluids having 

all of the following: 

c.1. Purity exceeding 99.8%; 

c.2. Containing less than 25 particles 

of 200 μm or larger in size per 100 ml; 

and 

c.3. Made from at least 85% of any of 

the following: 

c.3.a. Dibromotetrafluoroethane (CAS 

25497 30-7, 124-73-2, 27336-23- 8); 

c.3.b. Polychlorotrifluoroethylene 

(oily and waxy modifications only); or 

c.3.c. Polybromotrifluoroethylene; 

* * * * * 

■ 19. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

‘‘Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ ’’, ECCN 

1C008, List of Items Controlled section 

the Items paragraph is amended by: 

■ a. Revising paragraphs .a and .b; and 

■ b. Revising the Technical Note that 

appears after paragraph .f, to read as 

follows: 

1C008 Non-fluorinated polymeric 

substances as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Imides as follows: 

a.1. Bismaleimides; 

a.2. Aromatic polyamide-imides (PAI) 

having a ‘glass transition temperature 

(Tg)’ exceeding 563 K (290° C); 

a.3. Aromatic polyimides; 

a.4. Aromaticpolyetherimides having 

a ‘glass transition temperature (Tg)’ 

exceeding 513K (240° C). 

Note: 1C008.a controls the substances in 

liquid or solid ‘‘fusible’’ form, including 

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

ribbon. 

N.B.: For non-‘‘fusible’’ aromatic 

polyimides in film, sheet, tape, or 

ribbon form, see ECCN 1A003. 

b. Thermoplastic liquid crystal 

copolymers having a heat distortion 

temperature exceeding 523 K (250° C) 

measured according to ISO 75–2 (2004), 

method A, or national equivalents, with 

a load of 1.80 N/mm2 and composed of: 

b.1. Any of the following compounds: 

b.1.a. Phenylene, biphenylene or 

naphthalene; or 

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

substituted phenylene, biphenylene or 

naphthalene; and 

b.2. Any of the following acids: 

b.2.a. Terephthalic acid (CAS 100–21– 

0); 

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

(CAS 16712–64–4); or 

b.2.c. 4-hydroxybenzoic acid (CAS 

99–96–7); 

* * * * * 

f. * * * 

Technical Note: The ‘glass transition 

temperature (Tg)’ for 1C008 materials is 

determined using the method described in 

ISO 11357–2 (1999) or national equivalents. 

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

transition temperature (Tg)’ is determined on 

a PAI test specimen having initially been 

cured at a minimum temperature of 310° C 

for a minimum of 15 minutes. 

■ 20. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

‘‘Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ ’’, ECCN 

1C010, List of Items Controlled section 

the Items paragraph is amended by 

revising Note 2 and the Technical Note 

of paragraph .e to read as follows: 

1C010 ‘‘Fibrous or filamentary 

materials’’ as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

e. * * * 

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

a. Epoxy resin ‘‘matrix’’ impregnated 

carbon ‘‘fibrous or filamentary materials’’ 

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

structures or laminates, having all of the 

following: 

1. An area not exceeding 1 m2; 

2. A length not exceeding 2.5 m; and 

3. A width exceeding 15 mm; 

b. Fully or partially resin-impregnated or 

pitch-impregnated mechanically chopped, 

milled or cut carbon ‘‘fibrous or filamentary 

materials’’ 25.0 mm or less in length when 

using a resin or pitch other than those 

specified by 1C008 or 1C009.b. 

Technical Note: The ‘Dynamic Mechanical 

Analysis glass transition temperature (DMA 

Tg)’ for materials controlled by 1C010.e is 

determined using the method described in 

ASTM D 7028–07, or equivalent national 

standard, on a dry test specimen. In the case 

of thermoset materials, degree of cure of a dry 

test specimen shall be a minimum of 90% as 

defined by ASTM E 2160 04 or equivalent 

national standard. 


srobinson on DSK4SPTVN1PROD with RULES2
29622 Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 

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

Commerce Control List), Category 1 

‘‘Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ ’’, ECCN 

1C011, List of Items Controlled section 

is amended by: 

■ a. Revising the MT paragraph of the 

License Requirements section; 

■ b. Adding paragraphs b and c to the 

Related Controls paragraph; and 

■ c. Revising paragraph .b in the Items 

paragraph, to read as follows: 

1C011 Metals and compounds, as 

follows (see List of Items Controlled). 

License Requirements 

* * * * * 

MT applies to 1C011.a and MT 

Column 1.b 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: (1.) See also 1C018 

and 1C111. (2.) The following are 

subject to the export licensing authority 

of the U.S. Department of State, 

Directorate of Defense Trade Controls 

(see 22 CFR 121.1 Category V): a) 

Materials controlled by 1C011.a, and 

metal fuels in particle form, whether 

spherical, atomized, spheroidal, flaked 

or ground, manufactured from material 

consisting of 99 percent or more of 

items controlled by 1C011.b; and b) 

Metal powders mixed with other 

substances to form a mixture formulated 

for military purposes. 

Related Definitions: * * * 

Items: 

* * * * * 

b. Boron or boron alloys, with a 

particle size of 60 μm or less, as follows: 

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

weight or more; 

b.2. Boron alloys with a boron content 

of 85% by weight or more; 

Note: The metals or alloys specified by 

1C011.b also refer to metals or alloys 

encapsulated in aluminum, magnesium, 

zirconium or beryllium. 

* * * * * 

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

Commerce Control List), Category 1 

‘‘Special Materials and Related 

Equipment, Chemicals, 

‘‘Microorganisms,’’ and ‘‘Toxins’’ ’’, ECCN 

1C111, List of Items Controlled section 

is amended by: 

■ a. Adding a new note (3) in the 

Related Controls paragraph in the List of 

Items Controlled section as set forth 

below; and 

■ b. Removing paragraph .a.2.b in the 

Items paragraph of the List of Items 

Controlled section. 

1C111 Propellants and constituent 

chemicals for propellants, other than 

those specified in 1C011, as follows (see 

List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: * * * 

(3) See 1C011.b for controls on boron 

and boron alloys. 

* * * * * 

■ 23. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 2 

Materials Processing, ECCN 2A001 is 

amended by: 

■ a. Revising the GBS and CIV 

paragraphs in the License Exceptions 

section, to read as set forth below; 

■ b. Revising paragraph .a in the Items 

Paragraph of the List of Items 

Controlled, to read as set forth below; 

and 

■ c. Removing and reserving paragraph 

.b in the Items Paragraph of the List of 

Items Controlled. 

2A001 Anti-friction bearings and 

bearing systems, as follows, (see List of 

Items Controlled) and components 

therefor. 

* * * * * 

License Exceptions 

* * * * * 

GBS: Yes, for 2A001.a, 

N/A for MT 

CIV: Yes, for 2A001.a, 

N/A for MT 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

a. Ball bearings and solid roller 

bearings, having all tolerances specified 

by the manufacturer in accordance with 

ISO 492 Tolerance Class 4 (or national 

equivalents), or better, and having both 

rings and rolling elements (ISO 5593), 

made from monel or beryllium; 

Note: 2A001.a does not control tapered 

roller bearings. 

* * * * * 

■ 24. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 2 

Materials Processing, ECCN 2B001, List 

of Items Controlled section the Items 

paragraph is amended by revising the 

introductory text to paragraph .e.2 to 

read as follows: 

2B001 Machine tools and any 

combination thereof, for removing (or 

cutting) metals, ceramics or 

‘‘composites’’, which, according to the 

manufacturer’s technical specifications, 

can be equipped with electronic devices 

for ‘‘numerical control’’; and specially 

designed components as follows (see 

List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

e. * * * 

e.2. At least two rotary axes having all 

of the following: 

* * * * * 

■ 25. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 2 

Materials Processing, ECCN 2B005, List 

of Items Controlled section the Items 

paragraph is amended by revising the 

introductory text to paragraph .g to read 

as follows: 

2B005 Equipment specially designed 

for the deposition, processing and inprocess control of inorganic overlays, 

coatings and surface modifications, as 

follows, for non-electronic substrates, 

by processes shown in the Table and 

associated Notes following 2E003.f, and 

specially designed automated handling, 

positioning, manipulation and control 

components therefor. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

g. Ion plating production equipment 

capable of in situ measurement of any 

of the following: 

* * * * * 

■ 26. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 2 

Materials Processing, ECCN 2B006, List 

of Items Controlled section the Items 

paragraph is amended by: 

■ a. Revising paragraph .a; and 

■ b. Revising the Note that appears after 

.c, to read as follows: 

2B006 Dimensional inspection or 

measuring systems, equipment, and 

‘‘electronic assemblies’’, as follows (see 

List of Items Controlled). 

License Requirements 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Computer controlled or 

‘‘numerically controlled’’ Coordinate 


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Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 29623 

Measuring Machines (CMM), having a 

three dimensional length (volumetric) 

maximum permissible error of length 

measurement (E0,MPE) at any point 

within the operating range of the 

machine (i.e., within the length of axes) 

equal to or less (better) than (1.7 + L/ 

1,000) μm (L is the measured length in 

mm) according to ISO 10360–2 (2009); 

Technical Note: The E0,MPE of the most 

accurate configuration of the CMM specified 

by the manufacturer (e.g., best of the 

following: Probe, stylus length, motion 

parameters, environment) and with ‘‘all 

compensations available’’ shall be compared 

to the 1.7 + L/1,000 μm threshold. 

* * * * * 

c. * * * 

Note: 2B006 includes machine tools, other 

than those specified by 2B001, that can be 

used as measuring machines, if they meet or 

exceed the criteria specified for the 

measuring machine function. 

■ 27. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3A001 is amended 

by: 

■ a. Revising paragraph CIV in the 

License Exceptions section, as set forth 

below; 

■ b. Removing and reserving paragraph 

a.4 in the Items paragraph of the List of 

Items Controlled section; and 

■ c. Revising paragraphs a.5, .b.2, .b.3, 

b.4, and the introductory text of b.11 in 

the Items paragraph of the List of Items 

Controlled section, to read as follows: 

3A001 Electronic components and 

specially designed components 

therefor, as follows (see List of Items 

Controlled). 

* * * * * 

License Exceptions 

* * * * * 

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

List of Items Controlled 

* * * * * 

Items: 

a. * * * 

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

and Digital-to-Analog Converter (DAC) 

integrated circuits, as follows: 

a.5.a. ADCs having any of the 

following: 

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

but less than 10 bit, with an output rate 

greater than 500 million words per 

second; 

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

but less than 12 bit, with an output rate 

greater than 300 million words per 

second; 

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

output rate greater than 200 million 

words per second; 

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

bit but equal to or less than 14 bit with 

an output rate greater than 125 million 

words per second; or 

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

bit with an output rate greater than 20 

million words per second; 

Technical Notes: 

1. A resolution of n bit corresponds to a 

quantization of 2n levels. 

2. The number of bits in the output word 

is equal to the resolution of the ADC. 

3. The output rate is the maximum output 

rate of the converter, regardless of 

architecture or oversampling. 

4. For the ‘multiple channel ADCs’, the 

outputs are not aggregated and the output 

rate is the maximum output rate of any single 

channel. 

5. For ‘interleaved ADCs’ or for ‘multiple 

channel ADCs’ that are specified to have an 

interleaved mode of operation, the outputs 

are aggregated and the output rate is the 

maximum combined total output rate of all 

of the outputs. 

6. Vendors may also refer to the output rate 

as sampling rate, conversion rate or 

throughput rate. It is often specified in 

megahertz (MHz) or mega samples per 

second (MSPS). 

7. For the purpose of measuring output 

rate, one output word per second is 

equivalent to one Hertz or one sample per 

second. 

8. ‘Multiple channel ADCs’ are defined as 

devices which integrate more than one ADC, 

designed so that each ADC has a separate 

analog input. 

9. ‘Interleaved ADCs’ are defined as 

devices which have multiple ADC converter 

units that sample the same analog input at 

different times such that when the outputs 

are aggregated, the analog input has been 

effectively sampled and converted at a higher 

sampling rate. 

a.5.b. Digital-to-Analog Converters 

(DAC) having any of the following: 

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

with an ‘adjusted update rate’ of 3,500 

MSPS or greater; or 

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

with an ‘adjusted update rate’ of equal 

to or greater than 1,250 MSPS and 

having any of the following: 

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

to 0.024% of full scale from a full scale 

step; or 

a.5.b.2.b. A ‘Spurious Free Dynamic 

Range’ (SFDR) greater than 68 dBc 

(carrier) when synthesizing a full scale 

analog signal of 100 MHz or the highest 

full scale analog signal frequency 

specified below 100 MHz. 

Technical Notes: 

1. ‘Spurious Free Dynamic Range’ (SFDR) 

is defined as the ratio of the RMS value of 

the carrier frequency (maximum signal 

component) at the input of the DAC to the 

RMS value of the next largest noise or 

harmonic distortion component at its output. 

2. SFDR is determined directly from the 

specification table or from the 

characterization plots of SFDR versus 

frequency. 

3. A signal is defined to be full scale when 

its amplitude is greater than –3 dBfs (full 

scale). 

4. ‘Adjusted update rate’ for DACs is: 

a. For conventional (non-interpolating) 

DACs, the ‘adjusted update rate’ is the rate 

at which the digital signal is converted to an 

analog signal and the output analog values 

are changed by the DAC.For DACs where the 

interpolation mode may be bypassed 

(interpolation factor of one), the DAC should 

be considered as a conventional (noninterpolating) DAC. 

b. For interpolating DACs (oversampling 

DACs), the ‘adjusted update rate’ is defined 

as the DAC update rate divided by the 

smallest interpolating factor. For 

interpolating DACs, the ‘adjusted update rate’ 

may be referred to by different terms 

including: 

• Input data rate 

• Input word rate 

• Input sample rate 

• Maximum total input bus rate 

• Maximum DAC clock rate for DAC clock 

input. 

* * * * * 

b. * * * 

b.2. Microwave ‘‘Monolithic 

Integrated Circuits’’ (MMIC) power 

amplifiers having any of the following: 

b.2.a. Rated for operation at 

frequencies exceeding 3.2 GHz up to 

and including 6.8 GHz and with an 

average output power greater than 4W 

(36 dBm) with a ‘‘fractional bandwidth’’ 

greater than 15%; 

b.2.b. Rated for operation at 

frequencies exceeding 6.8 GHz up to 

and including 16 GHz and with an 

average output power greater than 1W 

(30 dBm) with a ‘‘fractional bandwidth’’ 

greater than 10%; 

b.2.c. Rated for operation at 

frequencies exceeding 16 GHz up to and 

including 31.8 GHz and with an average 

output power greater than 0.8W (29 

dBm) with a ‘‘fractional bandwidth’’ 

greater than 10%; 

b.2.d. Rated for operation at 

frequencies exceeding 31.8 GHz up to 

and including 37.5 GHz and with an 

average output power greater than 0.1 

nW; 

b.2.e. Rated for operation at 

frequencies exceeding 37.5 GHz up to 

and including 43.5 GHz and with an 

average output power greater than 

0.25W (24 dBm) with a ‘‘fractional 

bandwidth’’ greater than 10%; or 

b.2.f. Rated for operation at 

frequencies exceeding 43.5 GHzand 

with an average output power greater 

than 0.1 nW. 

Note 1: [RESERVED] 

Note 2: The control status of the MMIC 

whose rated operating frequency includes 

frequencies listed in more than one 


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29624 Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 

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

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

lowest average output power control 

threshold. 

Note 3: Notes 1 and 2 following the 

Category 3 heading for product group A. 

Systems, Equipment, and Components mean 

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

they are specially designed for other 

applications, e.g., telecommunications, radar, 

automobiles. 

b.3. Discrete microwave transistors 

having any of the following: 

b.3.a. Rated for operation at 

frequencies exceeding 3.2 GHz up to 

and including 6.8 GHz and having an 

average output power greater than 60W 

(47.8 dBm); 

b.3.b. Rated for operation at 

frequencies exceeding 6.8 GHz up to 

and including 31.8 GHz and having an 

average output power greater than 20W 

(43 dBm); 

b.3.c. Rated for operation at 

frequencies exceeding 31.8 GHz up to 

and including 37.5 GHz and having an 

average output power greater than 0.5W 

(27 dBm); 

b.3.d. Rated for operation at 

frequencies exceeding 37.5 GHz up to 

and including 43.5 GHz and having an 

average output power greater than 1W 

(30 dBm); or 

b.3.e. Rated for operation at 

frequencies exceeding 43.5 GHz and 

with an average output power greater 

than 0.1 nW; 

Note: The control status of a transistor 

whose rated operating frequency includes 

frequencies listed in more than one 

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

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

lowest average output power control 

threshold. 

b.4. Microwave solid state amplifiers 

and microwave assemblies/modules 

containing microwave solid state 

amplifiers, having any of the following: 

b.4.a. Rated for operation at 

frequencies exceeding 3.2 GHz up to 

and including 6.8 GHz and with an 

average output power greater than 60W 

(47.8 dBm) with a ‘‘fractional 

bandwidth’’ greater than 15%; 

b.4.b. Rated for operation at 

frequencies exceeding 6.8 GHz up to 

and including 31.8 GHz and with an 

average output power greater than 15W 

(42 dBm) with a ‘‘fractional bandwidth’’ 

greater than 10%; 

b.4.c. Rated for operation at 

frequencies exceeding 31.8 GHz up to 

and including 37.5 GHz and with an 

average output power greater than 0.1 

nW; 

b.4.d. Rated for operation at 

frequencies exceeding 37.5 GHz up to 

and including 43.5 GHz and with an 

average output power greater than 1W 

(30 dBm) with a ‘‘fractional bandwidth’’ 

greater than 10%; 

b.4.e. Rated for operation at 

frequencies exceeding 43.5 GHz and 

with an average output power greater 

than 0.1 nW; or 

b.4.f. Rated for operation at 

frequencies above 3.2 GHz and all of the 

following: 

b.4.f.1. An average output power (in 

watts), P, greater than 150 divided by 

the maximum operating frequency (in 

GHz) squared [P > 150 W*GHz2/fGHz2]; 

b.4.f.2. A ‘‘fractional bandwidth’’ of 

5% or greater; and 

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

to one another with length d (in cm) 

equal to or less than 15 divided by the 

lowest operating frequency in GHz [d ≤ 

15 cm*GHz/fGHz]; 

Technical Note: 3.2 GHz should be used as 

the lowest operating frequency (fGHz) in the 

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

have a rated operation range extending 

downward to 3.2 GHz and below 

[d≤15cm*GHz/3.2 fGHz]. 

N.B.: MMIC power amplifiers should 

be evaluated against the criteria in 

3A001.b.2. 

Note 1: [RESERVED] 

Note 2: The control status of an item whose 

rated operating frequency includes 

frequencies listed in more than one 

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

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

lowest average output power control 

threshold. 

* * * * * 

b.11. ‘‘Frequency synthesizer’’ 

‘‘electronic assemblies’’ having a 

‘‘frequency switching time’’ as specified 

by any of the following: 

* * * * * 

■ 28. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3A002, List of Items 

Controlled section the Items paragraph 

is amended by revising paragraphs .c 

and .d to read as follows: 

3A002 General purpose electronic 

equipment and accessories therefor, as 

follows (see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

c. Radio-frequency ‘‘signal analyzers’’ 

as follows: 

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

resolution bandwidth (RBW) exceeding 

10 MHz anywhere within the frequency 

range exceeding 31.8 GHz but not 

exceeding 37.5 GHz; 

c.2. ‘‘Signal analyzers’’ having 

Displayed Average Noise Level (DANL) 

less (better) than ¥150 dBm/Hz 

anywhere within the frequency range 

exceeding 43.5 GHz but not exceeding 

70 GHz; 

c.3. ‘‘Signal analysers’’having a 

frequency exceeding 70 GHz; 

c.4. ‘‘Dynamic signal analyzers’’ 

having a ‘‘real-time bandwidth’’ 

exceeding 40 MHz; 

Note: 3A002.c.4 does not control those 

‘‘dynamic signal analyzers’’ using only 

constant percentage bandwidth filters (also 

known as octave or fractional octave filters). 

d. Frequency synthesized signal 

generators producing output 

frequencies, the accuracy and short term 

and long term stability of which are 

controlled, derived from or disciplined 

by the internal master reference 

oscillator, and having any of the 

following: 

d.1. Specified to generate a ‘pulse 

duration’ of less than 100 ns anywhere 

within the synthesized frequency range 

exceeding 31.8 GHz but not exceeding 

70 GHz; 

d.2. An output power exceeding 100 

mW (20 dBm) anywhere within the 

synthesized frequency range exceeding 

43.5 GHz but not exceeding 70 GHz; 

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

specified by any of the following: 

d.3.a. Less than 312 ps; 

d.3.b. Less than 100 μs for any 

frequency change exceeding 1.6 GHz 

within the synthesized frequency range 

exceeding 3.2 GHz but not exceeding 

10.6 GHz; 

d.3.c. Less than 250 μs for any 

frequency change exceeding 550 MHz 

within the synthesized frequency range 

exceeding 10.6 GHz but not exceeding 

31.8 GHz; 

d.3.d. Less than 500 μs for any 

frequency change exceeding 550 MHz 

within the synthesized frequency range 

exceeding 31.8 GHz but not exceeding 

43.5 GHz; 

d.3.e. Less than 1 ms for any 

frequency change exceeding 550 MHz 

within the synthesized frequency range 

exceeding 43.5 GHz but not exceeding 

56 GHz; or 

d.3.f. Less than 1 ms for any 

frequency change exceeding 2.2 GHz 

within the synthesized frequency range 

exceeding 56 GHz but not exceeding 70 

GHz; 

d.4. At synthesized frequencies 

exceeding 3.2 GHz but not exceeding 70 

GHz, and having all of the following: 

d.4.a. A single sideband (SSB) phase 

noise, in dBc/Hz, better than—(126+20 

log10F–20 log10f) for 10 Hz < F < 10 kHz; 

and 

d.4.b. A single sideband (SSB) phase 

noise, in dBc/Hz, better than—(114+20 


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log10F–20 log10f) for 10 kHz ≤ F < 500 

kHz; or 

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

offset from the operating frequency in Hz and 

f is the operating frequency in MHz. 

d.5. A maximum synthesized 

frequency exceeding 70 GHz; 

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

frequency synthesized signal generators 

include arbitrary waveform and function 

generators. 

Note 2: 3A002.d. does not control 

equipment in which the output frequency is 

either produced by the addition or 

subtraction of two or more crystal oscillator 

frequencies, or by an addition or subtraction 

followed by a multiplication of the result. 

Technical Notes: 1. Arbitrary waveform 

and function generators are normally 

specified by sample rate (e.g., GSample/s), 

which is converted to the RF domain by the 

Nyquist factor of two. Thus, a 1 GSample/s 

arbitrary waveform has a direct output 

capability of 500 MHz. Or, when 

oversampling is used, the maximum direct 

output capability is proportionately lower. 

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

duration’ is defined as the time interval 

between the leading edge of the pulse 

achieving 90% of the peak and the trailing 

edge of the pulse achieving 10% of the peak. 

* * * * * 

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

Commerce Control List), Category 3 

Electronics, ECCN 3A991 is amended by 

revising paragraph .c in the Items 

paragraph of the List of Items Controlled 

section to read as follows: 

3A991 Electronic devices and 

components not controlled by 3A001. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

c. Analog-to-digital converters having 

any of the following: 

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

less than 12 bit, with an output rate 

greater than 200 million words per 

second; 

c.2. A resolution of 12 bit with an 

output rate greater than 105 million 

words per second; 

c.3. A resolution of more than 12 bit 

but equal to or less than 14 bit withan 

output rate greater than 10 million 

words per second; or 

c.4. A resolution of more than 14 bit 

with an output rate greater than 2.5 

million words per second. 

* * * * * 

■ 30. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3B001, List of Items 

Controlled section the Items paragraph 

is amended by revising paragraphs .d.1, 

.d.2, .f.1.b, and .f.2, to read as follows: 

3B001 Equipment for the 

manufacturing of semiconductor 

devices or materials, as follows (see List 

of Items Controlled) and specially 

designed components and accessories 

therefor. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. * * * 

d.1. Equipment with cassette-tocassette operation and load-locks, and 

designed according to the 

manufacturer’s specifications or 

optimized for use in the production of 

semiconductor devices with critical 

dimensions of 65 nm or less; 

d.2. Equipment specially designed for 

equipment controlled by 3B001.e. and 

designed according to the 

manufacturer’s specifications or 

optimized for use in the production of 

semiconductor devices with critical 

dimensions of 65 nm or less; 

* * * * * 

f. * * * 

f.1. * * * 

f.1.b. Capable of producing a pattern 

with a ‘‘Minimum Resolvable Feature 

size’’ (MRF) of 95 nm or less; 

Technical Note: The ‘Minimum Resolvable 

Feature size’ (MRF) is calculated by the 

following formula: 

where the K factor = 0.35 

f.2 Imprint lithography equipment 

capable of production features of 95 nm 

or less; 

Note: 3B001.f.2 includes: 

—Micro contact printing tools 

—Hot embossing tools 

—Nano-imprint lithography tools 

—Step and flash imprint lithography (S–FIL) 

tools 

* * * * * 

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

Commerce Control List), Category 

3Electronics, ECCN 3C001 is amended 

by removing the text in the Related 

Definitions paragraph of the List of 

Items Controlled section and adding in 

its place ‘‘N/A’’. 

■ 32. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, ECCN 3E001, List of Items 

Controlled section the Items paragraph 

is amended by revising Note 2 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 

* * * * * 

Items: 

* * * * * 

Note 2: 3E001 does not control 

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

‘‘production’’ of integrated circuits controlled 

by 3A001.a.3 to a.12, having all of the 

following: 

(a) Using ‘‘technology’’ at or above 0.130 

μm; and 

(b) Incorporating multi-layer structures 

with three or fewer metal layers. 

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

Commerce Control List), Category 4 

Computers, ECCN 4A001 is amended by 

revising the Items paragraph in the List 

of Items controlled section to read as 

follows: 

4A001 Electronic computers and 

related equipment, having any of the 

following (see List of Items Controlled), 

and ‘‘electronic assemblies’’ and 

specially designed components 

therefor. 

* * * * * 


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29626 Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 

List of Items Controlled 

* * * * * 

Items: 

a. Specially designed to have any of 

the following: 

a.1. Rated for operation at an ambient 

temperature below 228 K (¥45 °C) or 

above 358 K (85 °C); or 

Note: 4A001.a.1 does not apply to 

computers specially designed for civil 

automobile, railway train or ‘‘civil aircraft’’ 

applications. 

a.2. Radiation hardened to exceed any 

of the following specifications: 

a.2.a. A total dose of 5 x 103 Gy (Si); 

a.2.b. A dose rate upset of 5 x 106 Gy 

(Si)/s; or 

a.2.c. Single Event Upset of 1 x 10 8

Error/bit/day; 

Note: 4A001.a.2 does not apply to 

computers specially designed for ‘‘civil 

aircraft’’ applications. 

b. [RESERVED] 

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

Commerce Control List), Category 5 

Telecommunications and ‘‘Information 

Security’’, Part I Telecommunications is 

amended by: 

■ a. Removing the reference ‘‘N.B.’’ and 

adding in its place ‘‘N.B.1.’’ at the 

beginning of Category 5—Part I; and 

■ b. Adding a new Nota Bene (N.B.) to 

read as follows: 

CATEGORY 5— 

TELECOMMUNICATIONS AND 

‘‘INFORMATION SECURITY’’ 

PART I. TELECOMMUNICATIONS 

Notes: 

1. * * * 

N.B.1.: For ‘‘lasers’’ specially designed for 

telecommunications equipment or systems, 

see ECCN 6A005. 

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

equipment, components, and ‘‘software’’ 

performing or incorporating ‘‘information 

security’’ functions. 

* * * * * 

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

Commerce Control List), Category 5 

Telecommunications and ‘‘Information 

Security’’, Part I Telecommunications, 

ECCN 5A001 is amended by: 

■ a. Revising the License Requirements 

section; 

■ b. Revising the License Exceptions 

section; 

■ c. Removing paragraphs c.1 and c.2, 

and adding in their place a new 

paragraph .cin the Items paragraph of 

the List of Items Controlled section, as 

set forth below; and 

■ d. Revising paragraph.h in the Items 

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). 

License Requirements 

Reason for Control: NS, AT 

Control(s) Country chart 

NS applies to 5A001.a, .e, 

and .h.

NS Column 1. 

NS applies to 5A001.b, .c, .d, 

.f, and .g.

NS Column 2. 

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

License Requirement Notes: See § 743.1 of 

the EAR for reporting requirements for 

exports under License Exceptions. 

License Exceptions 

LVS: N/A for 5A001.a, b.5, e, and h; 

$5000 for 5A001b.1, b.2, b.3, b.6, d, f, 

and g; $3000 for 5A001.c. 

GBS: Yes, except 5A001.a, b.5, e, and 

h. 

CIV: Yes, except 5A001.a, b.3, b.5, e, 

and h. 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

c. Optical fibers of more than 500 m 

in length and specified by the 

manufacturer as being capable of 

withstanding a ’proof test’ tensile stress 

of 2 × 109 N/m2 or more; 

N.B.: For underwater umbilical 

cables, see 8A002.a.3. 

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

dynamically applies a prescribed tensile 

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

running rate of 2 to 5 m/s while passing 

between capstans approximately 150 mm in 

diameter. The ambient temperature is a 

nominal 293 K (20 °C) and relative humidity 

40%. Equivalent national standards may be 

used for executing the proof test. 

* * * * * 

h. Radio Frequency (RF) transmitting 

equipment designed or modified for 

prematurely activating or preventing the 

initiation of Improvised Explosive 

Devices (IEDs). 

N.B.: See also ECCN 5A001.f and 

Category XI of the International Traffic 

in Arms Regulations (ITAR) (22 CFR 

Parts 120–130). 

■ 36. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 5 

Telecommunications and ‘‘Information 

Security’’, Part I Telecommunications, 

ECCN 5D001 is amended by revising the 

License Exceptions section to read as 

follows: 

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

of Items Controlled). 

* * * * * 

License Exceptions 

CIV: Yes, except for ‘‘software’’ 

controlled by 5D001.a and specially 

designed for the ‘‘development’’ or 

‘‘production’’ of items controlled by 

5A001.b.5 and 5A001.h. 

TSR: Yes, except for exports and 

reexports to destinations outside of 

Austria, Belgium, Canada, Denmark, 

Finland, France, Germany, Greece, 

Ireland, Italy, Japan, Luxembourg, the 

Netherlands, Portugal, Spain, Sweden, 

or the United Kingdom of ‘‘software’’ 

controlled by 5D001.a and specially 

designed for items controlled by 

5A001.b.5 and 5A001.h. 

* * * * * 

■ 37. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 5 

Telecommunications and ‘‘Information 

Security’’, Part I Telecommunications, 

ECCN 5E001 is amended by: 

■ a. Revising the License Exceptions 

section; 

■ b. Revising paragraphs .b.4, .d.1, and 

.d.2in the Items paragraph of the List of 

Items Controlled section, to read as 

follows: 

5E001 ‘‘Technology’’ as follows (see 

List of Items Controlled). 

* * * * * 

License Exceptions 

CIV: N/A. 

TSR: Yes, except for exports or 

reexports to destinations outside of 

Austria, Belgium, Canada, Denmark, 

Finland, France, Germany, Greece, 

Ireland, Italy, Japan, Luxembourg, the 

Netherlands, Portugal, Spain, Sweden, 

or the United Kingdom of ‘‘technology’’ 

controlled by 5E001.a for the 

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

following: 

(1) Items controlled by 5A001.b.5 or 

5A001.h; or 

(2) ‘‘Software’’ controlled by 5D001.a 

that is specially designed for the 

‘‘development’’ or ‘‘production’’ of 

equipment, functions or features 

controlled by 5A001.b.5 or 5A001.h. 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

b.4. ‘‘Technology’’ for the 

‘‘development’’ of ‘‘spread spectrum’’ 

techniques, including ‘‘frequency 

hopping’’ techniques. 


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

‘‘technology’’ for the ‘‘development’’ of civil 

cellular radio-communications systems. 

* * * * * 

d. * * * 

d.1. Rated for operation at frequencies 

exceeding 3.2 GHz up to and including 

6.8 GHz and with an average output 

power greater than 4 W (36 dBm) with 

a ‘‘fractional bandwidth’’ greater than 

15%; 

d.2. Rated for operation at frequencies 

exceeding 6.8 GHz up to and including 

16 GHz and with an average output 

power greater than 1 W (30 dBm) with 

a ‘‘fractional bandwidth’’ greater than 

10%; 

* * * * * 

■ 38. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 5 

Part II—Telecommunications And 

‘‘Information Security’’, ECCN 5A002 is 

amended by: 

■ c. Revising the EI paragraph in the 

License Requirements section, as set 

forth below; 

■ d. Revising Note 1 in the Related 

Controls paragraph of the List of Items 

Controlled section as set forth below; 

■ e. Replacing a period with a 

semicolon in paragraph (a)(2) of the 

Note at the beginning of the Items 

paragraph of the List of Items Controlled 

section; 

■ f. Removing ‘‘or’’ from the end of 

paragraph .g in the Note at the 

beginning of the Items paragraph of the 

List of Items Controlled section; 

■ e. Removing the period at the end of 

paragraph .i and adding in its place ‘‘; 

or’’ in the Note at the beginning of the 

Items paragraph of the List of Items 

Controlled section; 

■ f. Adding a new paragraph .j in the 

Note at the beginning of the Items 

paragraph of the List of Items Controlled 

section as set forth below; 

■ g. Adding a new paragraph .b in the 

Items paragraph of the List of Items 

Controlled section to read as follows: 

5A002 ‘‘Information security’’ systems, 

equipment and components therefor, as 

follows (see List of Items Controlled). 

* * * * * 

EI applies to 5A002.a.1, .a.2, .a.5, .a.6, 

.a.9 and .b. Refer to § 742.15 of the EAR. 

List of Items Controlled 

* * * * * 

Related Controls: (1) 5A002 does not 

control the commodities listed in 

paragraphs (a), (d), (e), (f), (g), (i) and (j) 

in the Note in the items paragraph of 

this entry. These commodities are 

instead classified under ECCN5A992, 

and related software and technology are 

classified under ECCNs 5D992 and 

5E992 respectively. * * * 

* * * * * 

Items: 

Note: * * * 

(j) Equipment, having no functionality 

specified by 5A002.a.2, 5A002.a.4, 

5A002.a.7, or 5A002.a.8, where all 

cryptographic capability specified by 

5A002.a meets any of the following: 

1. It cannot be used; or 

2. It can only be made useable by means 

of ‘‘cryptographic activation’’. 

N.B.: See 5A002.a for equipment that has 

undergone ‘‘cryptographic activation’’. 

* * * * * 

b. Systems, equipment, application 

specific ‘‘electronic assemblies’’, 

modules and integrated circuits, 

designed or modified to enable an item 

to achieve or exceed the controlled 

performance levels for functionality 

specified by 5A002.a that would not 

otherwise be enabled. 

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

Commerce Control List), Category 5 Part 

II ‘‘Information Security’’, ECCN 5D002 

is amended by: 

■ a. Removing the phrase ‘‘5D002.a or 

c.1’’ and adding in its place 

‘‘5D002.a,.c.1, or .d’’ in the EI paragraph 

of the License Requirements section; 

and 

■ b. Adding a new paragraph .d to the 

Items paragraph of the List of Items 

Controlled section to read as follows: 

5D002 ‘‘Software’’ as follows (see List 

of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. ‘‘Software’’ designed or modified to 

enable an item to achieve or exceed the 

controlled performance levels for 

functionality specified by 5A002.a that 

would not otherwise be enabled. 

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

Commerce Control List), Category 5 Part 

II ‘‘Information Security’’, ECCN 5E002 

is amended by: 

■ a. Revising the Heading and the Items 

paragraph, as set forth below; and 

■ b. Removing the phrase ‘‘ECCNs 

5A002 or 5D002.a or 5D002.c’’ and 

adding in its place ‘‘ECCNs 5A002 or 

5D002’’ in the EI paragraph and in the 

License Requirement Note of the 

License Requirements section. 

5E002 ‘‘Technology’’ as follows (see 

List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. ‘‘Technology’’ according to the 

General Technology Note for the 

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

equipment controlled by 5A002 or 

5B002 or ‘‘software’’ controlled by 

5D002.a or 5D002.c. 

b. ‘‘Technology’’ to enable an item to 

achieve or exceed the controlled 

performance levels for functionality 

specified by 5A002.a that would not 

otherwise be enabled. 

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

Commerce Control List), Category 6— 

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

amended by: 

■ a. Revising the License Exceptions 

section; 

■ b. Revising paragraph .a.1.a and the 

introductory text to paragraph .a.2 in the 

Items paragraph of the List of Items 

Controlled section; 

■ c. Adding a new Note to paragraph 

.a.2 that appears after .a.2.fin the Items 

paragraph of the List of Items Controlled 

section; and 

■ d. Removing and reserving paragraph 

.c and adding a Nota Bene (N.B.) to 

paragraph .cin the Items paragraph of 

the List of Items Controlled section, to 

read as follows: 

6A001 Acoustic systems, equipment 

and components, as follows (see List of 

Items Controlled). 

* * * * * 

License Exceptions 

LVS: $3000; N/A for 6A001.a.1.b.1 

object detection and location systems 

having a transmitting frequency below 5 

kHz or a sound pressure level exceeding 

210 dB (reference 1 μPa at 1 m) for 

equipment with an operating frequency 

in the band from 30 kHz to 2 kHz 

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

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

6A001.a.2.b; processing equipment 

controlled by 6A001.a.2.c, and specially 

designed for real time application with 

towed acoustic hydrophone arrays; 

a.2.e.1, a.2.e.2; and bottom or bay cable 

systems controlled by 6A001.a.2.f and 

having processing equipment specially 

designed for real time application with 

bottom or bay cable systems. 

GBS: Yes for 6A001.a.1.b.4. 

CIV: Yes for 6A001.a.1.b.4. 

List of Items Controlled 

* * * * * 

Items: 

a. * * * 

a.1. * * * 

a.1.a. Acoustic seabed survey 

equipment as follows: 

a.1.a.1. Surface vessel survey 

equipment designed for sea bed 

topographic mapping and having all of 

the following: 


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a.1.a.1.a. Designed to take 

measurements at an angle exceeding 20ß 

from the vertical; 

a.1.a.1.b. Designed to measure seabed 

topography at seabed depths exceeding 

600 m; 

a.1.a.1.c.‘Sounding resolution’ less 

than 2; and 

a.1.a.1.d. ‘Enhancement’ of the depth 

accuracy through compensation for all 

the following: 

a.1.a.1.d.1. Motion of the acoustic 

sensor; 

a.1.a.1.d.2. In-water propagation from 

sensor to the seabed and back; and 

a.1.a.1.d.3. Sound speed at the sensor; 

Technical Notes: 1. ‘Sounding resolution’ 

is the swath width (degrees) divided by the 

maximum number of soundings per swath. 

2. ‘Enhancement’ includes the ability to 

compensate by external means. 

a.1.a.2. Underwater survey equipment 

designed for seabed topographic 

mapping and having all of the 

following: 

a.1.a.2.a. Designed or modified to 

operate at depths exceeding 300 m; and 

a.1.a.2.b. ‘Sounding rate’ greater than 

3,800; 

Technical Note: 

‘Sounding rate’ is the product of the 

maximum speed (m/s) at which the sensor 

can operate and the maximum number of 

soundings per swath. 

a.1.a.3. Side Scan Sonar (SSS) or 

Synthetic Aperture Sonar (SAS), 

designed for seabed imaging and having 

all of the following: 

a.1.a.3.a. Designed or modified to 

operate at depths exceeding 500 m; and 

a.1.a.3.b. An ‘area coverage rate’ of 

greater than 570 m2/s while operating 

with both an ‘along track resolution’ and 

‘across track resolution’ of less than 15 

cm. 

Technical Notes: 1. ‘Area coverage rate’ 

(m2/s) is twice the product of the maximum 

sonar range (m) and the maximum speed (m/ 

s) at which the sensor can operate. 

2. ‘Along track resolution’ (cm), for SSS 

only, is the product of azimuth (horizontal) 

beamwidth (degrees) and maximum sonar 

range (m) and 0.873. 

3. ‘Across track resolution’ (cm) is 75 

divided by the signal bandwidth (kHz). 

* * * * * 

a.2. Passive systems, equipment and 

specially designed components therefor, 

as follows: 

* * * * * 

Note: 6A001.a.2 also applies to receiving 

equipment, whether or not related in normal 

application to separate active equipment, and 

specially designed components therefor. 

* * * * * 

N.B.: For diver deterrent acoustic 

systems, see 8A002.r. 

■ 42. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

6—Sensors and ‘‘Lasers’’, ECCN 6A002, 

List of Items Controlled section the 

Items paragraph is amended by adding 

a new Note to paragraph .d.3, to read as 

follows: 

6A002 Optical sensors. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. * * * 

d.3. * * * 

Note: 6A002.d.3 does not apply to 

encapsulated optical sensing fibers specially 

designed for bore hole sensing applications. 

* * * * * 

■ 43. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6 

Sensors and ‘‘Lasers’’, ECCN 6A003, 

License of Items Controlled section the 

Items paragraph is amended by revising 

the last Technical Note in paragraph .b.4 

to read as follows: 

6A003 Cameras. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

b.4. * * * 

Note 3: * * * 

b. * * * 

4. * * * 

Technical Note: 

Instantaneous Field of View (IFOV) 

specified in Note 3.b is the lesser figure of 

the Horizontal IFOV or the Vertical IFOV. 

Horizontal IFOV = horizontal Field of View 

(FOV)/number of horizontal detector 

elements 

Vertical IFOV= vertical Field of View 

(FOV)/number of vertical detector elements. 

* * * * * 

■ 44. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6 

Sensors and ‘‘Lasers’’, ECCN 6A005, List 

of Items Controlled section the Items 

paragraph is amended by: 

■ a. Adding a new Note to paragraph 

.c.1; 

■ b. Removing the period at the end of 

paragraph .f.4 and adding in its place a 

semi-colon; 

■ c. Adding a new paragraph .g, to read 

as follows: 

6A005 ‘‘Lasers’’ (other than those 

described in 0B001.g.5 or .h.6), 

components and optical equipment, as 

follows (see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

c.1. * * * 

Note: 6A005.c.1 does not apply to dye 

lasers or other liquid lasers, having a 

multimode output and a wavelength of 150 

nm or more but not exceeding 600 nm and 

all of the following: 

1. Output energy less than 1.5 J per pulse 

or a ‘‘peak power’’ less than 20 W; and 

2. Average or CW output power less than 

20 W. 

* * * * * 

f. * * * 

f.4. Projection telescopes specially 

designed for use with ‘‘SHPL’’ systems; 

g. ‘‘Laser acoustic detection 

equipment’’ having all of the following: 

g.1. CW laser output power greater 

than or equal to 20 mW; 

g.2. Laser frequency stability equal to 

or better (less) than 10 MHz; 

g.3. Laser wavelengths equal to or 

exceeding 1,000 nm but not exceeding 

2,000 nm; 

g.4. Optical system resolution better 

(less) than 1 nm; and 

g.5. Optical Signal to Noise ratio equal 

or exceeding to 103. 

Technical Note: ‘‘Laser acoustic detection 

equipment’’ is sometimes referred to as a 

Laser Microphone or Particle Flow Detection 

Microphone. 

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

Commerce Control List), Category 6— 

Sensors and ‘‘Lasers’’, ECCN 6A006 is 

amended by: 

■ a. Revising the LVS paragraph of the 

License Exceptions section as set forth 

below; 

■ b. Removing the ‘‘and’’ at the end of 

paragraph .c.3 in the Items paragraph of 

the List of Items Controlled section; 

■ c. Removing the period and adding in 

its place ‘‘; and’’ at the end of paragraph 

.din the Items paragraph of the List of 

Items Controlled section; and 

■ d. Adding a new paragraph .e in the 

Items paragraph of the List of Items 

Controlled section to read as follows: 

6A006 ‘‘Magnetometers,’’ ‘‘magnetic 

gradiometers,’’ ‘‘intrinsic magnetic 

gradiometers,’’ underwater electric field 

sensors, ‘‘compensation systems,’’ and 

specially designed components 

therefor, as follows (see List of Items 

Controlled). 

* * * * * 

License Exceptions 

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

‘‘Magnetometers’’ and subsystems 

defined in 6A006.a.2 using optically 

pumped or nuclear precession (proton/ 

Overhauser) having a ‘‘sensitivity’’ lower 


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(better) than 2 pT (rms) per square root 

Hz; 6A006.d, and 6A006.e. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

e. Underwater electromagnetic 

receivers incorporating magnetic field 

sensors specified by 6A006.a or 

underwater electric field sensors 

specified by 6A006.b. 

* * * * * 

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

Commerce Control List), Category 6 

Sensors and ‘‘Lasers’’, ECCN 6A008 is 

amended by: 

■ a. Revising the LVS paragraph of the 

License Exceptions section as set forth 

below; and 

■ b. Revising paragraph .l to read as 

follows: 

6A008 Radar systems, equipment and 

assemblies, having any of the following 

(see List of Items Controlled), and 

specially designed components 

therefor. 

* * * * * 

License Exceptions 

LVS: $5000; N/A for MT and for 

6A008.j.1 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

1. Having data processing sub-systems 

and having any of the following: 

1.1. ‘‘Automatic target tracking’’ 

providing, at any antenna rotation, the 

predicted target position beyond the 

time of the next antenna beam passage; 

or 

Note: 6A008.1.1 does not control conflict 

alert capability in ATC systems, or marine or 

harbor radar. 

1.2. [RESERVED] 

1.3. [RESERVED] 

1.4. Configured to provide 

superposition and correlation, or fusion, 

of target data within six seconds from 

two or more ‘‘geographically dispersed’’ 

radar sensors to improve the aggregate 

performance beyond that of any single 

sensor specified by 6A008.f, or 6A008.i. 

N.B.: See also the U.S. Munitions List 

(22 CFR part 121). 

Note: 6A008.1.4 does not apply to systems, 

equipment and assemblies designed for 

marine traffic control. 

■ 47. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6 

Sensors and ‘‘Lasers,’’ ECCN 6D001 is 

amended by revising the License 

Exceptions section the TSR paragraph to 

read as follows: 

6D001 ‘‘Software’’ specially designed 

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

of equipment controlled by 6A004, 

6A005, 6A008, or 6B008. 

* * * * * 

License Exceptions 

CIV: * * * 

TSR: Yes, except for the following: 

(1) Items controlled for MT reasons; 

(2) ‘‘Software’’ specially designed for 

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

‘‘space qualified’’ ‘‘laser’’ radar or Light 

Detection and Ranging (LIDAR) 

equipment defined in 6A008.j.1; or 

(3) Exports or reexports to 

destinations outside of Austria, 

Belgium, Canada, Denmark, Finland, 

France, Germany, Greece, Ireland, Italy, 

Japan, Luxembourg, the Netherlands, 

Portugal, Spain, Sweden, or the United 

Kingdom of ‘‘software’’ specially 

designed for the ‘‘development’’ or 

‘‘production’’ of equipment controlled 

by 6A004.c or d, 6A008.d, h, k, or 1.3, 

or 6B008. 

* * * * * 

■ 48. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

6—Sensors and ‘‘Lasers’’, ECCN 6D003, 

List of Items Controlled section the 

Items paragraph is amended by: 

■ a. Adding new paragraphs .f.3 and .f.4; 

and 

■ b. Revising paragraph .h.1, to read as 

follows: 

6D003 Other ‘‘software’’ as follows 

(see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

f. * * * 

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

‘‘real time processing’’ of 

electromagnetic data using underwater 

electromagnetic receivers specified by 

6A006.e; 

f.4. ‘‘Source code’’ for ‘‘real time 

processing’’ of electromagnetic data 

using underwater electromagnetic 

receivers specified by 6A006.e; 

* * * * * 

h. * * * 

h.1. Air Traffic Control (ATC) 

‘‘software’’ application ‘‘programs’’ 

designed to be hosted on general 

purpose computers located at Air Traffic 

Control centers and capable of accepting 

radar target data from more than four 

primary radars; 

* * * * * 

■ 49. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6 

Sensors and ‘‘Lasers’’, ECCN 6E001 is 

amended by revising the Heading and 

the TSR paragraphof the License 

Exceptions section to read as follows: 

6E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ of equipment, materials 

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

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

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

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

(except 6D991, 6D992, or 6D993). 

* * * * * 

License Exceptions 

CIV: * * * 

TSR: Yes, except for the following: 

(1) Items controlled for MT reasons; 

(2) ‘‘Technology’’ for commodities 

controlled by 6A002.e, 6A004.e, or 

6A008.j.1; 

(3) ‘‘Technology’’ for ‘‘software’’ 

specially designed for ‘‘space qualified’’ 

‘‘laser’’ radar or Light Detection and 

Ranging (LIDAR) equipment defined in 

6A008.j.1 and controlled by 6D001 or 

6D002; 

(4) Exports or reexports to 

destinations outside of Austria, 

Belgium, Canada, Denmark, Finland, 

France, Germany, Greece, Ireland, Italy, 

Japan, Luxembourg, the Netherlands, 

Portugal, Spain, Sweden, or the United 

Kingdom of ‘‘technology’’ for the 

‘‘development’’ of the following: 

(a) Items controlled by 6A001.a.1.b, 

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

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

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

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

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

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

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

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

6A005.a.1, 6A006.a.2, 6A006.c.1, 

6A006.d, 6A006.e, 6A006.g, 6A006.h, 

6A008.d, 6A008.h, 6A008.k, 6A008.l.3, 

6B008, 6D003.a; (b) Equipment 

controlled by 6A001.a.2.c or 6A001.a.2.f 

when specially designed for real time 

applications; or (c) ‘‘Software’’ 

controlled by 6D001 and specially 

designed for the ‘‘development’’ or 

‘‘production’’ of equipment controlled 

by 6A008.l.3 or 6B008, or 6D003.a; or 

(5) Exports or reexports to Rwanda. 

* * * * * 

■ 50. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

6—Sensors and ‘‘Lasers,’’ ECCN 6E002 is 

amended by revising the Heading and 

the TSR paragraphof the License 

Exceptions section to read as follows: 


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29630 Federal Register / Vol. 76, No. 98 / Friday, May 20, 2011 / Rules and Regulations 

6E002 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘production’’ of equipment or materials 

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

6A994, 6A995, 6A996, 6A997 or 

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

6C992 or 6C994). 

* * * * * 

License Exceptions 

CIV: * * * 

TSR: Yes, except for the following: 

(1) Items controlled for MT reasons; 

(2) ‘‘Technology’’ for commodities 

controlled by 6A002.e, 6A004.e, 

6A008.j.1; 

(3) Exports or reexports to 

destinations outside of Austria, 

Belgium, Canada, Denmark, Finland, 

France, Germany, Greece, Ireland, Italy, 

Japan, Luxembourg, the Netherlands, 

Portugal, Spain, Sweden, or the United 

Kingdom of ‘‘technology’’ for the 

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

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

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

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

6A001.a.2.a.6, 6A001.a.2.b, 6A002.a.3, 

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

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

6A005.a.1, 6A006.a.2, 6A006.c.1, 

6A006.d, 6A006.e, 6A006.g, 6A006.h, 

6A008.d, 6A008.h, 6A008.k, 6A008.l.3, 

6B008; and (b) Equipment controlled by 

6A001.a.2.c and 6A001.a.2.f when 

specially designed for real time 

applications; or 

(4) Exports or reexports to Rwanda. 

* * * * * 

■ 51. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6 

Sensors and ‘‘Lasers’’, ECCN 6E003, List 

of Items Controlled section the Items 

paragraph is amended by revising 

paragraph .d.1, including adding a 

Technical Note, to read as follows: 

6E003 Other ‘‘technology’’ as follows 

(see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. * * * 

d.1. Optical surface coating and 

treatment ‘‘technology’’, ‘‘required’’ to 

achieve an ‘optical thickness’ 

uniformity of 99.5% or better for optical 

coatings 500 mm or more in diameter or 

major axis length and with a total loss 

(absorption and scatter) of less than 5 x 

10¥3; 

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

Technical Note: ‘Optical thickness’ is the 

mathematical product of the index of 

refraction and the physical thickness of the 

coating. 

* * * * * 

■ 52. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

7Navigation and Avionics, ECCN 

7A001, List of Items Controlled section 

the Items paragraph is amended by: 

■ a. Revising paragraph .a.2; and 

■ b. Adding a new Note that appears 

after paragraph .a.3, to read as follows: 

7A001 Accelerometers as follows (see 

List of Items Controlled) and specially 

designed components therefor. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. * * * 

a.2. Specified to function at linear 

acceleration levels exceeding 15 g but 

less than or equal to 100 g and having 

all of the following: 

* * * * * 

a.3. * * * 

Note: 7A001.a.1 and 7A001.a.2 do not 

apply to accelerometers limited to 

measurement of only vibration or shock. 

* * * * * 

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

Commerce Control List), Category 

7Navigation and Avionics, ECCN 

7A002, List of Items Controlled section 

is amended by revising the Items 

paragraph to read as follows: 

7A002 Gyros or angular rate sensors, 

having any of the following (see List of 

Items Controlled) and specially 

designed components therefor. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Specified to function at linear 

acceleration levels less than or equal to 

100 g and having any of the following: 

a.1. A rate range of less than 500 

degrees per second and having any of 

the following: 

a.1.a. A ‘‘bias’’ ‘‘stability’’ of less 

(better) than 0.5 degree per hour,when 

measured in a 1 g environment over a 

period of one month, and with respect 

to a fixed calibration value; or 

a.1.b. An ‘‘angle random walk’’ of less 

(better) than or equal to 0.0035 degree 

per square root hour; or 

Note: 7A002.a.1.b does not control 

‘spinning mass gyros’. 

Technical Note: ‘Spinning mass gyros’ are 

gyros which use a continually rotating mass 

to sense angular motion. 

a.2. A rate range greater than or equal 

to 500 degrees per second and having 

any of the following: 

a.2.a. A ‘‘bias’’ ‘‘stability’’ of less 

(better) than 40 degrees per hour, when 

measured in a 1 g environment over a 

period of three minutes, and with 

respect to a fixed calibration value; or 

a.2.b. An ‘‘angle random walk’’ of less 

(better) than or equal to 0.2 degree per 

square root hour; or 

Note: 7A002.a.2.b does not apply to 

‘spinning mass gyros’. 

b. Specified to function at linear 

acceleration levels exceeding 100 g. 

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

Commerce Control List), Category 

7Navigation and Avionics, ECCN 

7A003, List of Items Controlled section 

the Items paragraph is amended by 

revising the introductory text of 

paragraph .d to read as follows: 

7A003 Inertial systems and specially 

designed components, as follows. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. Inertial measurement equipment 

including Inertial Measurement Units 

(IMU) and Inertial Reference Systems 

(IRS), incorporating accelerometers or 

gyros controlled by 7A001 or 7A002. 

* * * * * 

■ 55. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

7Navigation and Avionics, ECCN 7E004, 

List of Items Controlled section the 

Items paragraph is amended by: 

■ a. Revising paragraph .a.3 as set forth 

below; and 

■ b. Removing and reserving paragraph 

.a.4. 

7E004 Other ‘‘technology’’ as follows 

(see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. * * * 

a.3. Three dimensional displays for 

‘‘aircraft’’; 

* * * * * 

■ 56. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

8—Marine, ECCN 8A001, List of Items 

Controlled section the Items paragraph 

is amended by revising paragraph .d.3 to 

read as follows: 


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8A001 Submersible vehicles and 

surface vessels, as follows (see List of 

Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

d. * * * 

d.3. Optical data or command link 

exceeding 1,000 m; 

* * * * * 

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

Commerce Control List), Category 8 

Marine, ECCN 8A002 is amended by: 

■ a. Revising the License Exceptions 

section; 

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

(including adding a Technical Note), .p, 

and .q in the Items paragraph of the List 

of Items Controlled section; and 

■ c. Adding a new paragraph .r in the 

Items paragraph of the List of Items 

Controlled section, to read as follows: 

8A002 Marine systems, equipment 

and components, as follows (see List of 

Items Controlled). 

* * * * * 

License Exceptions 

LVS: * * * 

GBS: Yes for 8A002.e.2 and 

manipulators for civil end-uses (e.g., 

underwater oil, gas or mining 

operations) controlled by 8A002.i.2 and 

having 5 degrees of freedom of 

movement; and 8A002.r. 

CIV: Yes for 8A002.e.2 and 

manipulators for civil end-uses (e.g., 

underwater oil, gas or mining 

operations) controlled by 8A002.i.2 and 

having 5 degrees of freedom of 

movement; and 8A002.r. 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

i. * * * 

i.1. Systems which control the 

manipulator using information from 

sensors which measure any of the 

following: 

i.1.a. Torque or force applied to an 

external object; or 

i.1.b. Tactile sense between the 

manipulator and an external object; or 

* * * * * 

o. * * * 

o.3. * * * 

o.3.b. ‘‘Active noise reduction or 

cancellation systems’’ or magnetic 

bearings, specially designed for power 

transmission systems; 

Technical Note: ‘‘Active noise reduction or 

cancellation systems’’ incorporate electronic 

control systems capable of actively reducing 

equipment vibration by the generation of 

anti-noise or anti-vibration signals directly to 

the source. 

p. Pumpjet propulsion systems having 

all of the following: 

p.1. Power output exceeding 2.5 MW; 

and 

p.2. Using divergent nozzle and flow 

conditioning vane techniques to 

improve propulsive efficiency or reduce 

propulsion-generated underwaterradiated noise; 

q. Underwater swimming and diving 

equipment as follows; 

q.1. Closed circuit rebreathers; 

q.2. Semi-closed circuit rebreathers; 

Note: 8A002.q does not control individual 

rebreathers for personal use when 

accompanying their users. 

r. Diver deterrent acoustic systems 

specially designed or modified to 

disrupt divers and having a sound 

pressure level equal to or exceeding 190 

dB (reference 1 μPa at 1 m) at 

frequencies of 200 Hz and below. 

Note 1: 8A002.r does not apply to diver 

deterrent systems based on under-waterexplosive devices, air guns or combustible 

sources. 

Note 2: 8A002.r includes diver deterrent 

acoustic systems that use spark gap 

sources,alsoknown as plasma sound sources. 

■ 58. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

9Aerospace and Propulsion, ECCN 

9A001, List of Items Controlled section 

the Items paragraph is amended by 

revising the introductory text of 

paragraph .a to read as follows: 

9A001 Aero gas turbine engines 

having any of the following (see List of 

Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Incorporating any of the 

technologies controlled by 9E003.a, 

9E003.h, or 9E003.i; or 

* * * * * 

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

Commerce Control List), Category 

9Aerospace and Propulsion, ECCN 

9A003 is amended by revising the 

Heading to read as follows: 

■ 60. 

9A003 Specially designed assemblies 

and components, incorporating any of 

the ‘‘technologies’’ controlled by 

9E003.a, 9E003.h or 9E003.i, for any of 

the following gas turbine engine 

propulsion systems (see List of Items 

Controlled). 

* * * * * 

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

Commerce Control List), Category 

9Aerospace and Propulsion, ECCN 

9A991 is amended by adding double 

quotes around the term ‘‘civil aircraft’’ in 

paragraph .b of the Items paragraph in 

the List of Items Controlled section. 

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

Commerce Control List), Category 

9Aerospace and Propulsion, ECCN 

9B001 is amended by adding double 

quotes around the term ‘‘tip shrouds’’ in 

the Heading. 

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

Commerce Control List), Category 

9Aerospace and Propulsion, ECCN 

9B002 is amended by revising the 

Heading and the Items paragraph of the 

List of Items Controlled section, to read 

as follows: 

9B002 On-line (real time) control 

systems, instrumentation (including 

sensors) or automated data acquisition 

and processing equipment, having all of 

the following (See List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Specially designed for the 

‘‘development’’ of gas turbine engines, 

assemblies or components; and 

b. Incorporating ‘‘technologies’’ 

controlled by 9E003.h or 9E003.i. 

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

Commerce Control List), Category 

9Aerospace and Propulsion, ECCN 

9B008is amended by revising the 

Heading to read as follows: 

9B008 Direct measurement wall skin 

friction transducers specially designed 

to operate at a test flow total 

(stagnation) temperature exceeding 833 

K (560≥ C). 

* * * * * 

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

Commerce Control List), Category 

9Aerospace and Propulsion, ECCN 

9D003 is amended by revising the 

Heading and the Items paragraph in the 

List of Items Controlled section to read 

as follows: 


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9D003 ‘‘Software’’ incorporating 

‘‘technology’’ specified by 9E003.h and 

used in ‘‘FADEC Systems’’ for 

propulsion systems controlled by 9A 

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

equipment controlled by 9B (except 

9B990 or 9B991). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

The list of items controlled is 

contained in the ECCN heading. 

■ 66. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 

9Aerospace and Propulsion, ECCN 

9D004, List of Items Controlled section 

the Items paragraph is amended by 

adding double quotes around the term 

‘‘tip shrouds’’ in paragraph .f. 

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

Commerce Control List), Category 

9Aerospace and Propulsion, ECCN 

9E001 is amended by revising the 

License Requirement section to read as 

follows: 

9E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ of equipment or 

‘‘software’’, controlled by 9A001.b, 

9A004 to 9A012, 9B (except 9B990 or 

9B991), or 9D (except 9D990 or 9D991) 

License Requirements 

Reason for Control: NS, MT, AT 

Control(s) Country chart 

NS applies to ‘‘technology’’ 

for items controlled by 

9A001.b, 9A012, 9B001 to 

9B010, 9D001 to 9D004 

for NS reasons.

NS Column 1. 

MT applies to ‘‘technology’’ 

for items controlled by 

9B001, 9B002, 9B003, 

9B004, 9B005, 9B007, 

9B105, 9B106, 9B116, 

9B117, 9D001, 9D002, 

9D003, and 9D004 for MT 

reasons..

MT Column 1. 

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

License Requirement Notes: See 

§ 743.1 of the EAR for reporting 

requirements for exports under License 

Exceptions. 

* * * * * 

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

Commerce Control List), Category 

9Aerospace and Propulsion, ECCN 

9E003 is amended by: 

■ a. Revising the SI paragraph in the 

License Requirements section; 

■ b. Adding double quotes around the 

term ‘‘tip shrouds’’ in paragraphs .a.1, 

.a.4, and .a.5 in the Items paragraph of 

the List of Items Controlled section; 

■ c. Revising paragraph .a.8 (including 

adding a Technical Note) in the Items 

paragraph of the List of Items Controlled 

section, as set forth below; 

■ d. Removing and reserving paragraph 

.a.10 and adding a Nota Bene (N.B.) in 

the Items paragraph of the List of Items 

Controlled section, as set forth below; 

■ e. Redesignating paragraph .i as 

paragraph .j in the Items paragraph of 

the List of Items Controlled section; and 

■ f. Adding a new paragraph .i in the 

Items paragraph of the List of Items 

Controlled section to read as follows: 

9E003 Other ‘‘technology’’ as follows 

(see List of Items Controlled). 

License Requirements 

* * * * * 

SI applies to 9E003.a.1 through a.8,.h, 

.i, and .j. See § 742.14 of the EAR for 

additional information. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. * * * 

a.8. ‘‘Damage tolerant’’ gas turbine 

engine rotor components using powder 

metallurgy materials controlled by 

1C002.b; or 

Technical Note: ‘‘Damage 

tolerant’’components are designed using 

methodology and substantiation to predict 

and limit crack growth. 

* * * * * 

a.10. [RESERVED] 

N.B.: For adjustable flow path 

geometry, see 9E003.i. 

* * * * * 

i. ‘‘Technology’’ for adjustable flow 

path systems designed to maintain 

engine stability for gas generator 

turbines, fan or power turbines, or 

propelling nozzles, as follows: 

i.1. ‘‘Development’’ ‘‘technology’’ for 

deriving the functional requirements for 

the components that maintain engine 

stability; 

i.2. ‘‘Development’’ or ‘‘production’’ 

‘‘technology’’ for components unique to 

the adjustable flow path system and that 

maintain engine stability; 

i.3. ‘‘Development’’ ‘‘technology’’ for 

the control law algorithms, including 

‘‘source code’’, unique to the adjustable 

flow path system and that maintain 

engine stability; 

Note: 9E003.i does not apply to 

‘‘development’’ or ‘‘production’’ ‘‘technology’’ 

for any of the following: 

a. Inlet guide vanes; 

b. Variable pitch fans or prop-fans; 

c. Variable compressor vanes; 

d. Compressor bleed valves; or 

e. Adjustable flow path geometry for 

reverse thrust. 

* * * * * 

■ 69. Supplement No. 3 to Part 774 

(Statements of Understanding), adding a 

new statement of understanding to the 

end of the supplement to read as 

follows: 

Supplement No. 3 to part 774— 

Statements of Understanding 

* * * * * 

Statement of Understanding—Used 

Goods 

The specifications in the Commerce 

Control List apply equally to new or 

used goods. In the case of used goods, 

an evaluation by the Bureau of Industry 

and Security may be carried out in order 

to assess whether the goods are capable 

of meeting the relevant specifications. 

Dated: May 2, 2011. 

Kevin J. Wolf, 

Assistant Secretary for Export 

Administration. 

[FR Doc. 2011–11134 Filed 5–19–11; 8:45 am] 

BILLING CODE 3510–33–P 


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