60910 Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 

DEPARTMENT OF COMMERCE 

Bureau of Industry and Security 

15 CFR Parts 740, 772 and 774 

[Docket No. 080215206–81243–01] 

RIN 0694–AE29 

Wassenaar Arrangement Plenary 

Agreements Implementation: 

December 2007 Categories 1, 2, 3, 5 

Parts I and II, 6, 7, and 9 of the 

Commerce Control List, Definitions; 

December 2006 Solar Cells 

AGENCY: Bureau of Industry and 

Security, Commerce. 

ACTION: Final rule. 

SUMMARY: The Bureau of Industry and 

Security (BIS) maintains the Commerce 

Control List (CCL), which identifies 

items subject to Department of 

Commerce export controls. This final 

rule revises the Export Administration 

Regulations (EAR) 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). 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 with the changes to the 

Wassenaar List, this rule revises the 

EAR by amending certain entries that 

are controlled for national security 

reasons in Categories 1, 2, 3, 5 Part I 

(telecommunications), 5 Part II 

(information security), 6, 7, and 9; 

adding new entries to the Commerce 

Control List (CCL), and amending EAR 

Definitions, as well as adding 

definitions. 

The purpose of this final rule is to 

revise the CCL and definitions of terms 

used in the EAR to implement 

Wassenaar List revisions that were 

agreed upon in the December 2007 

Wassenaar Arrangement Plenary 

Meeting and the Wassenaar List 

provisions regarding solar cells agreed 

upon in the December 2006 plenary 

meeting. 

This rule also adds or expands 

unilateral U.S. export controls and 

national security export controls on 

certain items to make them consistent 

with the amendments made to 

implement the Wassenaar 

Arrangement’s decisions. 

DATES: Effective Date: This rule is 

effective October 14, 2008. 

FOR FURTHER INFORMATION CONTACT: For 

questions of a general nature contact 

Sharron Cook, Office of Exporter 

Services, Bureau of Industry and 

Security, U.S. Department of Commerce 

at (202) 482 2440 or E Mail: 

scook@bis.doc.gov. 

For questions of a technical nature 

contact: 

Category 1: Bob Teer (202) 482–4749. 

Category 2: George Loh (202) 482–3570. 

Category 3: Brian Baker (202) 482–5534. 

Category 5 Part 1: Joe Young (202) 482– 

4197. 

Category 5 Part 2: Michael Pender (202) 

482–2458. 

Category 6: Chris Costanzo (202) 482– 

0718 (optics) and Mark Jaso (202) 

482–0987 (lasers). 

Category 7: Daniel Squire (202) 482– 

3710. 

Category 9: Gene Christensen (202) 482– 

2984. 

Comments regarding the collections of 

information associated with this rule, 

including suggestions for reducing the 

burden, should be sent to OMB Desk 

Officer, New Executive Office Building, 

Washington, DC 20503, Attention: 

Jasmeet Seehra, or by e-mail to 

jseehra@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 6883, Washington, DC 20230. 

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 have 

committed to exchange information on 

exports of dual use goods and 

technologies to non-participating states 

for the purposes of enhancing 

transparency and assisting in 

developing common understandings of 

the risks associated with the transfers of 

these items. 

Expanded or New Export Controls 

This rule imposes new or expanded 

NS Column 1 controls. This rule 

imposes a license requirement pursuant 

to section 742.4(a) of the EAR for 

exports and reexports to all 

destinations, except Canada, of certain 

commodities (and related software and 

technology) described in Export Control 

Classification Number 9A012.b.4 

(certain air breathing reciprocating or 

rotary internal combustion type 

engines). This rule also imposes such a 

license requirement for certain software 

and technology controlled under ECCN 

3D001 and 3E001 related to the 

development or production of certain 

solar cells, cell-interconnect-coverglass 

(CIC) assemblies, solar panels, and solar 

arrays. These destinations have an ‘‘X’’ 

indicated in NS column 1 on the 

Commerce Country Chart of 

Supplement No. 1 to Part 738. The 

purpose of the controls is to ensure that 

these items do not make a contribution 

to the military potential of any other 

country or combination of countries that 

would prove detrimental to the national 

security of the United States. For 

designated terrorism supporting 

countries or embargoed countries, the 

applicable licensing policies are found 

in Parts 742 and 746 of the EAR, and 

Supplement No. 1 to Part 736 of the 

EAR for Syria. 

This rule imposes new or expands NS 

Column 2 controls. This rule imposes a 

license requirement under section 

742.4(a) of the EAR for exports and 

reexports of commodities (and related 

software and technology) described in 

ECCNs 1A006 (Equipment, specially 

designed or modified for the disposal of 

improvised explosive devices, and 

specially designed components and 

accessories therefor), 1A007 (Equipment 

and devices, specially designed to 

initiate charges and devices containing 

energetic materials, by electrical means), 

3A001.e.4, solar cells, cell-interconnectcoverglass (CIC) assemblies, solar 

panels, and solar arrays which are 

‘‘space qualified,’’ having an average 

efficiency exceeding 20% at an 

operating temperature of 301 K (28 °C) 

under simulated ‘‘air mass zero’’ 

illumination with an irradiance of 1,367 

watts per square meter, and 3C002.e (all 

resists designed or optimized for use 

with imprint lithography equipment 

specified by 3B001.f.2. that use either a 

thermal or photo-curable process) to 

destinations other than Country Group 

A:1, cooperating countries (see 

Supplement No. 1 to Part 740 of the 

EAR), Bulgaria, Czech Republic, 

Estonia, Hungary, Iceland, Latvia, 

Lithuania, Poland, Romania, Slovakia 

and Slovenia. This NS column 2 license 

requirement applies to destinations that 

have an ‘‘X’’ indicated in NS column 2 


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Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 60911 

on the Commerce Country Chart of 

Supplement No. 1 to Part 738 of the 

EAR. The purpose of the controls is to 

ensure that these items do not make a 

contribution to the military potential of 

countries in Country Group D:1 that 

would prove detrimental to the national 

security of the United States. For 

designated terrorism supporting 

countries or embargoed countries, the 

applicable licensing policies are found 

in Parts 742 and 746 of the EAR, and 

Supplement No. 1 to Part 736 of the 

EAR for Syria. 

The licensing policy for national 

security controlled items exported or 

reexported to any country except a 

country in Country Group D:1 (see 

Supplement No. 1 to Part 740 of the 

EAR) is to approve license applications 

unless there is a significant risk that the 

items will be diverted to a country in 

Country Group D:1. The general policy 

for exports and reexports of items to 

Country Group D:1 is to approve license 

applications when BIS determines, on a 

case by case basis, that the items are for 

civilian use or would otherwise not 

make a significant contribution to the 

military potential of the country of 

destination that would prove 

detrimental to the national security of 

the United States. 

This rule imposes new or expands 

anti terrorism (AT) controls. This rule 

imposes a unilateral U.S. license 

requirement to export and reexport 

commodities (and related software and 

technology) controlled under ECCNs 

1A006 (Equipment, specially designed 

or modified for the disposal of 

improvised explosive devices, and 

specially designed components and 

accessories therefor), 1A007 (Equipment 

and devices, specially designed to 

initiate charges and devices containing 

energetic materials, by electrical means), 

3A001.e.4 solar cells, cell-interconnectcoverglass (CIC) assemblies, solar 

panels, and solar arrays as described 

above, 3A991.o solar cells, cellinterconnect-coverglass (CIC) 

assemblies, solar panels, and solar 

arrays which are ‘‘space qualified’’ and 

not controlled by 3A001.e.4, 3C002.e 

(all resists designed or optimized for use 

with imprint lithography equipment 

specified by 3B001.f.2. that use either a 

thermal or photo-curable process), and 

9A012.b.4 (certain air breathing 

reciprocating or rotary internal 

combustion type engines) for AT 

reasons to Cuba, Iran, North Korea, 

Sudan and Syria, in addition to the 

national security controls imposed to 

implement the Wassenaar 

Arrangement’s decisions. These 

unilateral export controls are necessary 

because under Section 6(j) of the Export 

Administration Act of 1979 a license is 

required for items that could make a 

significant contribution to the military 

potential of such country or that could 

enhance the ability of such country to 

support acts of international terrorism. 

There is a general policy of denial for 

applications to export or reexport to 

terrorism supporting countries, as set 

forth in Part 742 of the EAR. In addition, 

certain of these countries are also 

subject to embargoes, as set forth in Part 

746 of the EAR and Supplement No. 1 

to Part 736 of the EAR for Syria. A 

license is also required for the export 

and reexport of these items to specially 

designated terrorists and foreign 

terrorist organizations, as set forth in 

Part 744 of the EAR; license 

applications to these parties are 

reviewed under a general policy of 

denial. 

Task Force on Editorial Issues (TFEI) 

The Wassenaar Arrangement Task 

Force on Editorial Issues (TFEI) made 

revisions, editorial in nature, to clarify 

or correct control text or remove 

extraneous text. The TFEI revisions 

(over 2,000) were agreed upon by the 

WA in December 2007. This rule 

implements only those TFEI revisions 

that coincide with the revisions to 

ECCNs affected by the 2007 WA 

agreements. Other TFEI revisions will 

be implemented in a separate rule. 

Revisions to the Commerce Control List 

This rule revises a number of entries 

on the Commerce Control List (CCL) to 

implement the December 2007 agreed 

revisions to the Wassenaar List of Dual 

Use Goods and Technologies. This rule 

also revises language to provide a 

complete or more accurate description 

of controls in certain ECCNs. A 

description of the specific amendments 

to the CCL pursuant to the December 

2007 Wassenaar Agreement is provided 

below. Newly added ECCNs, as 

described below, are as follows: 1A006 

and 1A007. The amended ECCNs, as 

described below, are 1A004, 1E001, 

1E201, 2B001, 2B002, 2B006, 2B007, 

2B008, 3A001, 3A002, 3A229, 3B001, 

3C002, 3C005, 3C006, 3D001, 3E001, 

5A001, 5A002, 6A001, 6A005, 6A995, 

7A002, 7A003, 7A008, 9A012, and 

9E003. 

Category 1 Materials, Chemicals, 

‘‘Microorganisms,’’ and Toxins 

ECCN 1A004 (Protective and 

detection equipment and components) 

is amended by: 

a. Revising the Related Definitions 

paragraph of the List of Items Controlled 

section to move the definition for 

‘‘adapted for use in war’’ from a Note in 

ECCN 1A004 to the Related Definitions 

paragraph, and adding a new definition 

for ‘‘riot controls agents’’ to clarify the 

meaning of these terms as they are used 

in the control parameters of this entry; 

b. Revising paragraphs 1A004.a (gas 

masks, filter canisters and 

decontamination equipment), 1A004.b 

(protective suits, gloves and shoes), and 

1A004.c (Nuclear, biological and 

chemical (NBC) detection systems), to 

specifically list the agents and materials 

this equipment is designed or modified 

to defend against that would cause this 

equipment to be classified under this 

entry; and 

c. Replacing the last Note of ECCN 

1A004 with Technical Notes 1 and 2 to 

provide additional information about 

what ECCN 1A004 includes and does 

not include, as well as providing a 

technical definition of the term 

‘simulant’. 

ECCN 1A006 is added to the CCL to 

control ‘‘Equipment, specially designed 

or modified for the disposal of 

improvised explosive devices, and 

specially designed components and 

accessories therefor.’’ 

Rationale: This ECCN is added to 

prevent potential terrorists from 

discovering how to defeat the devices 

and ensure they are used only by 

properly vetted end-users. 

ECCN 1A007 is added to the CCL to 

control ‘‘Equipment and devices, 

specially designed to initiate charges 

and devices containing energetic 

materials, by electrical means’’ 

Rationale: This ECCN is added to 

prevent potential terrorists from 

obtaining such devices and ensure they 

are used by properly vetted end-users. 

ECCN 1E001 (development or 

production technology) is amended by: 

a. Adding two new ECCNs 1A006 and 

1A007 to the heading to control the 

‘‘development’’ and ‘‘production’’ 

technology for those commodities; and 

b. Revising the NS and NP controls to 

harmonize with the newly added 

ECCNs. 

ECCN 1E201 (use technology) is 

amended by: 

a. Adding 1A007 to the heading to 

control the ‘‘use’’ technology for NP 

reasons because 3A232.a was moved to 

1A007.a and 1A007.b overlaps with 

3A229; and 

b. Revising the NP controls to clarify 

that NP applies only to those portions 

of the ECCNs that are controlled for NP 

reasons. 

Category 2 Materials Processing 

Technical Notes for 2B001 to 2B009 

are amended by removing Notes 5 and 

6, and adding new Notes 5 and 6 to 


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harmonize with the Wassenaar 

Arrangement’s Technical Notes. 

ECCN 2B001 (Machine tools) is 

amended by: 

a. Revising the Heading to add ‘‘as 

follows’’ to harmonize with the 

Wassenaar Arrangement’s List; 

b. Redesignating Related Controls, 

Notes 1 through 3, as Related Controls 

Notes 2 through 4, and adding a new 

Note 1 to reference ECCN 2B002 for 

optical finishing machines; 

c. Removing the word ‘‘parts’’ and 

adding an ‘‘or’’ after paragraph c in Note 

2 at the beginning of the items 

paragraph of the List of Items Controlled 

section as part of the TFEI revisions, 

because the word ‘‘parts’’ is 

superfluous; 

d. Removing a comma and the word 

‘‘characteristics’’ from 2B001.a as part of 

the TFEI revisions, to correct the 

punctuation and remove a superfluous 

word; 

e. Replacing the words ‘‘the 

production of’’ with ‘‘producing’’, 

removing the word ‘‘characteristics’’, 

and changing the outline format of the 

paragraphs from numeric to alphabetic, 

and in the Note to 2B001.a as part of the 

TFEI revisions to improve clarity and 

readability of this entry; 

f. Removing a comma and the word 

‘‘characteristics’’ from 2B001.b, 

2B001.b.4, and 2B001.c, as part of the 

TFEI revisions to correct punctuation 

and remove a superfluous word; 

g. Replacing the numeric outline with 

an alphabetic outline, adding a comma 

and the word ‘‘of’’ and removing the 

word ‘‘characteristics’’ in paragraph (a) 

in the Notes to 2B001.c as part of the 

TFEI revisions to improve clarity and 

readability; 

h. Adding a comma and removing the 

word ‘‘characteristics’’ to 2B001.e as 

part of the TFEI revisions to correct 

punctuation and remove superfluous 

word; 

i. Replacing the word ‘‘which’’ with 

‘‘and all of the following’’ in 2B001.e.2 

as part of the TFEI revisions to clarify 

the entry; 

j. Removing the word ‘‘have’’ and 

capitalizing the word ‘‘A’’ in 

2B001.e.2.b as part of the TFEI revisions 

to clarify the entry; and 

k. Replacing the parameter ‘‘5,000 

mm’’ with ‘‘5 m’’ in 2B001.f as part of 

the TFEI revisions to harmonize with 

Wassenaar style. 

ECCN 2B002 (Numerically controlled 

machine tools using a 

magnetorheological finishing (MRF) 

process) is amended by: 

a. Removing a comma and adding the 

phrase ‘‘for selective material removal’’ 

to the heading to better distinguish 

finishing tools that only remove 

material from selected locations as 

opposed to polishing tools that are used 

to improve the finish of an entire 

surface; 

b. Adding a definition for the two new 

terms ‘‘inflatable membrane tool 

finishing’’ and ‘‘Fluid jet finishing’’ to 

the Related Definitions paragraph of the 

List of Items Controlled section for 

reasons explained in the Rationale 

below; 

c. Revising the number of axes from 

‘‘three’’ to ‘‘four’’ in 2B002.c section for 

reasons explained in the Rationale 

below; 

d. Adding single quotes around the 

terms listed in 2B002.d.1 

‘Magnetorheological finishing (MRF)’ 

and d.2 ‘Electrorheological finishing 

(ERF)’, because these terms are defined 

within this ECCN; and 

e. Replacing the period with a semicolon in 2B002.d.3; and adding two new 

finishing processes: ‘Inflatable 

membrane tool finishing’ and ‘Fluid jet 

finishing’ in 2B002.d.4 and 2B002.d.5 

respectively, for reasons explained in 

the Rationale below. 

Rationale: A common element of 

finishing machines is that the finishing 

tool is relatively small compared to the 

workpiece and makes contact over a 

small area within the aperture of the 

workpiece (typically an optical 

component) at any one point in time, as 

opposed to traditional finishing/ 

polishing tools that make contact over a 

large area of the workpiece surface. For 

this reason, the terms ‘sub-aperture 

finishing’ and ‘small tool’ are sometimes 

used to describe these machines. Some 

examples of tools using sub-aperture/ 

small tool processes are 

Magnetorheological Finishing (MRF), 

Eletrorheological Finishing (ERF), the 

Loh AII and Zeeko inflatable membrane, 

and fluid jet finishing machines. These 

machines use multiple axes (3–7) to 

manipulate the finishing tool and 

Computer Numerical Control (CNC) 

software to coordinate the axes. 

Many of the applications of such 

machines are for flat or spherical 

components and the software could be 

restricted to this capability allowing 

export of less capable machines. These 

machines use proprietary software 

capable of producing aspheres or 

freeform surfaces. However, this 

software does not have to be part of the 

machine controller, but can be a 

standalone item that creates a CNC 

program for the finishing machine. 

The free transfer of finishing 

machines to countries of concern would 

give those countries an improved ability 

to produce military critical optical 

components. An optical finishing 

machine can produce equal or better 

quality aspheric optics than controlled 

diamond turning machines or high 

precision grinders, and can also 

produce freeform optics such as 

wavefront plates and conformal 

windows. The numerical control 

provides the ability to produce aspheric 

and non-spherical optics in minutes to 

hours as opposed to days of highly 

skilled labor for manual production. It 

is for this reason that inflatable 

membrane tool finishing and fluid jet 

finishing processes are being added to 

the CCL. 

ECCN 2B006 (Dimensional inspection 

or measuring systems and equipment) is 

amended by: 

a. Adding a Note under the Nuclear 

non-Proliferation (NP) controls in the 

License Requirements section, stating 

‘‘NP applies to measuring systems in 

2B006.b.1.c that maintain, for at least 12 

hours, over a temperature range of ±1 K 

around a standard temperature and at a 

standard pressure, all of the following: 

A ‘‘resolution’’ over their full scale of 

0.1 μm or less (better); and a 

‘‘measurement uncertainty’’ equal to or 

less (better) than (0.2 + L/2,000) μm (L 

is the measured length in mm).’’ 

Rationale: The Nuclear Suppliers 

Group has not adopted the revisions 

pertaining to measuring systems in 

2B006.b.1.c that the Wassenaar 

Arrangement has adopted. Therefore, 

these measuring systems are controlled 

for nuclear non-proliferation reasons 

when they meet the criteria that were in 

place prior to the publication of this 

rule, which are outlined in the newly 

added NP note. 

b. Adding single quotes around the 

term ‘Linear displacement’ in 2B006.b.1 

and replacing the double quotes with 

single quotes around the same term as 

it appears in the technical note to 

2B006.1, as part of the TFEI revisions, 

because the term is defined in this 

ECCN; 

c. Removing the word 

‘‘characteristics’’ from 2B006.b.1.b as 

part of the TFEI revisions to remove a 

superfluous word; 

d. Removing the word ‘‘or’’ from 

2B006.b.1.b.2 as part of the TFEI 

revisions for clarity; 

e. Revising the temperature parameter 

in 2B006.b.1.c.2, as explained in the 

Rationale below; 

f. Revising the ‘measurement 

uncertainty’ parameter in 

2B006.b.1.c.2.b, as explained in the 

Rationale below; 

g. Replacing the period with a semicolon in 2B006.b.1.d as part of the TFEI 

revisions to correct the punctuation; and 

h. Adding a Note following paragraph 

2B006.c that states, ‘‘Machine tools, 

which can be used as measuring 


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machines, are controlled if they meet or 

exceed the criteria specified for the 

machine tool function or the measuring 

machine function.’’ to conform to the 

Wassenaar List. 

Rationale: Studies into laser 

interferometers concluded that the value 

of the measurement uncertainty in 

2B006.b.1.c.2.b includes taking into 

account the refractive index of air in 

order to achieve a measurement 

uncertainty of 0.2 + L/2,000 μm. Lasers 

used in these systems are now extremely 

stable and contribute very little to the 

overall measurement uncertainty, 

whereas the compensation for 

environmental conditions contribute 

approximately 4/5 towards the systems 

measurement uncertainty. Therefore it 

is important to acknowledge that the 

system measurement uncertainty 

includes compensation for the refractive 

index of air. 

The reference to standard pressure in 

2B006.b.1.c.2 has been removed as this 

would be difficult to achieve when 

testing longer ranges, and compensating 

for the refractive index of air negates 

this requirement. However, reference to 

temperature remains as it has an effect 

on the systems optics as well as the 

refractive index of air and contributes to 

the 0.2μm component of the 

measurement uncertainty. 

The term ‘capable of achieving’ in 

2B006.b.1.c.2.b has been introduced to 

avoid laser interferometer systems being 

exported with poor environmental 

sensors in the compensation units, 

resulting in measurement uncertainty 

values outside the control parameters, 

which could then be replaced with 

compensator units with good 

environment sensors, making the 

system’s measurement uncertainty as 

good as or better than those of the 

control parameters after export. 

ECCN 2B007 (Robots) is amended by: 

a. Replacing the double quotes with 

single quotes around the term ‘scene 

analysis’ in 2B007.a and the Technical 

Note that follows, as part of the TFEI 

revisions, because this term is a 

definition defined within ECCN 2B007, 

instead of a global definition in part 772 

of the EAR; 

b. Adding the word ‘‘potentially’’ to 

2B007.b and adding a Note after 2B007 

that excludes robots specially designed 

for paint-spraying booths from control 

in this entry. The reason for this change 

is explained in the rationale below; and 

c. Changing the NP controls from 

‘‘2B007.b and 2B007.c and to specially 

designed controllers and ‘end effectors’ 

therefore’’ to ‘‘equipment that meets or 

exceeds the criteria in ECCNs 2B207.’’ 

Rationale: Robots which can be used 

for a military purpose and should be 

controlled are those with the capability 

of handling high explosives in 

potentially explosive atmospheres. To 

make the meaning of ‘explosive 

munitions environments’ clear, the term 

‘‘potentially’’ is added before ‘explosive 

munitions environments’. In addition, a 

new Note to decontrol robots specially 

designed for paint-spraying booths is 

added. A spraying robot alone is not 

considered to be a military concern, and 

today spraying robots are widely used in 

automobile manufacturing. 

ECCN 2B008 (Assemblies or units, 

specially designed for machine tools, or 

dimensional inspection or measuring 

systems and equipment) is amended by: 

a. Revising the reference in the Nota 

Bene (N.B.) following 2B008.a for laser 

systems from ‘‘Note to 2B006.b.1’’ to 

‘‘2B006.b.1.c and d.’’ to conform with 

linear laser systems in 2B006; and 

b. Revising the reference in the Nota 

Bene (N.B.) following 2B008.b for laser 

systems from ‘‘Note to 2B006.b.1’’ to 

‘‘2B006.b.2’’ to conform with rotary 

systems in 2B006. 

Category 3 Electronics 

ECCN 3A001 (Electronic components) 

is amended by: 

a. Adding the phrase ‘‘and specially 

designed components therefor’’ to the 

heading to match the heading with the 

scope of the entry as part of the TFEI 

revisions; 

b. Revising the GBS paragraph of the 

License Exceptions section to fix a 

typographical error, i.e., ‘‘TWAS’’ to 

‘‘TWTAs’’; 

c. Revising the Note 2 in the Related 

Controls paragraph of the List of Items 

Controlled section to harmonize it with 

the revisions to the Items paragraph of 

this ECCN; 

d. Removing the second and third 

sentences in the ‘‘Related Definitions’’ 

paragraph of the List of Items Controlled 

section to harmonize it with the 

revisions to the Items paragraph of this 

ECCN; 

e. Removing paragraph 3A001.e.1.c 

(space qualified and radiation hardened 

photovoltaic arrays) in the ‘‘items’’ 

paragraph of the List of Items Controlled 

section to move controls to a more 

appropriate location in e.4, because 

batteries and photovoltaic devices 

reflect different technologies; 

f. Adding a new paragraph 3A001.e.4 

and related technical note to the 

‘‘items’’ paragraph in the List of Items 

Controlled section to explicitly list solar 

cells, cell-interconnect-coverglass (CIC) 

assemblies, solar panels, and solar 

arrays in order to remove any ambiguity 

in the control of these technologies. 

g. Removing ‘‘neural network 

integrated circuits’’ from 3A001.a.2, 

which removes the overlapping control 

between 3A001.a.2 and 3A001.a.9; 

h. Replacing the period with a semicolon in 3A001.a.5.a.5 to correct the 

punctuation as part of the TFEI 

revisions; 

i. Adding a comma and an ‘‘and’’ to 

3A001.a.6 as part of the TFEI revisions 

to clarify the meaning of the sentence; 

j. Adding single quotes around the 

term ‘field programmable logic devices’ 

as part of the TFEI revisions to indicate 

that the definition for this term is 

located in this entry; 

k. Revising the type of note from N.B. 

to Technical Note after the Note to 

3A001.a.7 to correct the type of note and 

to add single quotes around the term 

‘field programmable logic devices’ as 

part of the TFEI revisions to indicate 

that the definition for this term is 

located in this entry; 

l. Replacing the words ‘‘which meets’’ 

with ‘‘and having’’ and removing the 

word ‘‘characteristics’’ from Note 1 to 

3A001.b.1 and from paragraph b of Note 

2 to 3A001.b.1 as part of the TFEI 

revisions to clarify the entry; 

m. Replacing the words ‘‘which 

meets’’ with ‘‘having’’ and removing the 

word ‘‘characteristics’’ from Note 2 to 

3A001.b.1 as part of the TFEI revisions 

to clarify the entry; 

n. Adding the word ‘‘Tubes’’ to 

3A001.b.1.a.1 and 3A001.b.1.a.2 as part 

of the TFEI revisions to better describe 

the commodities; 

o. Replacing the word ‘‘with’’ with 

‘‘having’’ and removing the word 

‘‘characteristics’’ in 3A001.b.1.a.4 as 

part of the TFEI revisions to clarify the 

entry; 

p. Adding initial capitalization and 

double quotes around the term 

‘‘Monolithic Integrated Circuit’’ as part 

of the TFEI revisions because it is an 

acronym and a defined term in part 772; 

q. Adding the words ‘‘solid state’’ and 

a comma after amplifiers in 3A001.b.4 

to clarify the text, as described in the 

Rationale below; 

Rationale for g. through q. above: 

In 2003 it was agreed by the Wassenaar 

Arrangement to update the control text 

for microwave solid state amplifiers and 

include text for assemblies containing 

these amplifiers. The existing control 

text, as written, goes beyond the original 

intent to control microwave assemblies/ 

modules containing solid state 

amplifiers and can be interpreted to 

control traveling wave tube amplifiers, 

which are to be controlled as described 

in 3A001.b.8. The addition of the words 

solid state to describe the type of 

amplifiers contained in the microwave 

assembly will eliminate this 

interpretation. 


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r. Adding double quotes around the 

term ‘‘fractional bandwidth’’ in 

3A001.b.4.f.2 as part of the TFEI 

revisions, because this is a global 

definition found in part 772; 

s. Replacing the period with a semicolon in 3A001.b.4.f.3 as part of the 

TFEI revisions to correct the 

punctuation; 

t. Adding an ‘‘and’’ in 3A001.b.5 as 

part of the TFEI revisions to add clarity 

to the sentence; 

u. Removing the words ‘‘Mixers and’’ 

and adding the words ‘‘and harmonic 

mixers,’’ and adding a reference to 

‘‘3A002.d’’ in 3A001.b.7, as explained 

in the Rationale below; 

Rationale: As a consequence of the 

deletion of subparagraph 3A001.b.6 in 

December 2003, there is ambiguity 

regarding the distinction between 

‘‘mixers’’ ‘‘converters’’ in 3A001.b.7. 

Prior to December 2003, generic mixers 

as standalone components were 

controlled in then-3A001.b.6 

(microwave assemblies >31.8 GHz). As 

part of the deletion of 3A001.b.6, there 

was a deliberate decision to release 

controls on mixers that are standalone 

components. Thus, retention of the word 

‘‘mixers’’ in 3A001.b.7 is confusing, and 

best modified with the term ‘‘harmonic 

mixers,’’ because such mixers are 

typically used to extend the frequency 

range of systems described in 3A002.c, 

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

v. Revising the reference in 3A001.b.8 

from reading ‘‘3A001.b’’ to read 

‘‘3A001.b.1’’ to correct the reference; 

w. Adding double quotes around 

‘‘monolithic integrated circuit’’, 

removing a comma, adding an ‘‘and’’, 

and removing the word 

‘‘characteristics’’ in 3A001.b.9 as part of 

the TFEI revisions to clarify the entry 

and make it clear that ‘‘monolithic 

integrated circuit’’ is a global definition 

in part 772 of the EAR; 

x. Adding single quotes around the 

term ‘turn-on time’ in 3A001.b.9.a and 

Technical Note 2 following paragraph 

3A001.b.9.c.2 as part of the TFEI 

revision, because this term is defined in 

this entry; 

y. Adding the word ‘‘having’’ in 

3A001.b.9.c and 3A001.g.2 as part of the 

TFEI revisions to clarify the entry; 

z. Removing the word ‘‘having’’ from 

3A001.b.9.c.2 as part of the TFEI 

revisions to clarify the entry; 

aa. Removing the word ‘‘control’’ from 

Technical Note 1 following paragraph 

3A001.b.9.c.2 as part of the TFEI 

revisions, because the word is 

superfluous; 

bb. Replacing a semi-colon with a 

comma in Technical Note 2 following 

paragraph 3A001.b.9.c.2 to fix the 

punctuation as part of the TFEI 

revisions; 

cc. Removing commas before and after 

‘‘as follows’’ in 3A001.c. to fix 

punctuation as part of TFEI revisions; 

dd. Revising the frequency from ‘‘2.5 

GHz’’ to ‘‘6 GHz’’ in 3A001.c.1.a and 

3A001.c.1.b, as explained in the 

rationale below; 

ee. Removing the comma in 

3A001.c.1.b as part of the TFEI 

revisions; 

ff. Removing a comma and adding an 

‘‘and’’ in 3A001.c.1.c and 3A001.e.3 as 

part of the TFEI revisions to clarify the 

entry; 

gg. Revising the bandwidth from ‘‘50 

MHz’’ to ‘‘100 MHz’’ in 3A001.c.1.c.3, 

as explained in the Rationale below; 

hh. Revising the frequency from ‘‘1 

GHz’’ to ‘‘2.5 GHz’’ in 3A001.c.2, as 

explained in the Rationale below; 

Rationale: Use of acoustic wave 

devices in civilian application is indeed 

becoming predominant between 1 and 6 

GHz. However, they usually do not 

require high rejection and/or high 

bandwidth. Therefore, this rule has 

changed the frequency upper limit in 

paragraphs 3A001.c.1.a and 

3A001.c.1.b to 6 GHz without changing 

bandwidth or rejection. Below 1 GHz, 

there is an increasing civilian need for 

bandwidth of 100 MHz, but once again, 

these civilian applications do not 

usually require high rejection. Bulk 

acoustic wave devices above 2.5 GHz 

are considered military significant (e.g., 

S-band and X-band radar). Therefore 

this rule has limited the frequency 

extension to 2.5 GHz, allowing the 

exclusion of most of the items used only 

in civilian applications (2.4 GHz and 

below) from control in this entry. 

ii. Adding a comma after ‘‘materials’’ 

and replacing ‘‘with’’ with ‘‘and having’’ 

in 3A001.d as part of the TFEI revisions 

to clarify the entry; 

jj. Removing the comma in 3A001.e as 

part of the TFEI revisions to correct the 

punctuation of the entry; 

kk. Adding single quotes around the 

term ‘Cells’ and removing the comma in 

3A001.e.1 as part of the TFEI revisions 

to indicate that ‘cells’ are defined in the 

entry and to clarify the entry; 

ll. Adding single quotes around the 

terms ‘primary cells’ and ‘energy 

density’ in 3A001.e.1.a, 3A001.e.1.b and 

Technical Note 1 as part of the TFEI 

revisions, because these terms are 

defined in the entry; 

mm. Adding the abbreviation of ‘‘Ah’’ 

for the term ‘‘ampere-hours’’ in 

Technical Note 1 after paragraph 

3A001.e.1.b as part of the TFEI revisions 

to clarify the entry; 

nn. Replacing ‘‘and’’ with ‘‘an’’ in 

front of ‘‘electrolyte’’ in Technical Note 

2 after paragraph 3A001.e.1.b to correct 

grammar as part of the TFEI revisions; 

oo. Removing a comma from 

3A001.e.2 as part of the TFEI revisions 

to correct the punctuation in the entry; 

pp. Adding an ‘‘and’’ to 3A001.e.2.a 

and 3A001.e.2.b as part of the TFEI 

revisions to clarify the entry; 

qq. Adding a comma after ‘‘solenoids’’ 

and replacing a comma with ‘‘and’’ in 

3A001.e.3 as part of the TEFI revisions; 

and, replacing a period with a semicolon at the end of 3A001.f.2 as part of 

the TEFI revisions; 

rr. Adding single quotes around the 

term ‘thyristor modules’ and a comma 

after this term in 3A001.g as part of the 

TFEI revisions to indicate that these 

modules are defined in the entry, and 

replacing a comma with an ‘‘and’’ as 

part of the TFEI revisions to clarify the 

entry; 

ss. Correcting the numbering of the 

paragraphs in 3A001.g; 

tt. Adding ‘‘having’’ in 3A001.g.2 as 

part of the TFEI revisions to clarify the 

entry; and 

uu. Adding single quotes around the 

term ‘thyristor modules’ in Note 2 to 

3A001.g as part of the TFEI revisions to 

indicate that these modules are defined 

in the entry, and to clarify the entry. 

ECCN 3A002 (General purpose 

electronic equipment) is amended by: 

a. Revising the heading to implement 

the TFEI to clarify the scope of the 

entry; 

b. Revising a reference to ‘‘3A002.g.2’’ 

to read ‘‘3A002.g.1’’ in the Related 

Controls paragraph of the List of Items 

Controlled section to correct this 

paragraph reference; 

c. Removing a comma and adding an 

‘‘and’’ to 3A002.a.3, 3A002.a.4, and 

3A002.a.6, as well as removing commas 

from 3A002.a, as part of the TFEI 

revisions to clarify the entry; 

d. Adding single quotes around the 

term ‘continuous throughput’ in 

3A002.a.5.b and 3A002.a.b.6 as part of 

the TFEI revisions, because it is a 

defined term within the Technical Note 

that follows this paragraph; 

e. Revising ‘‘Technical Note’’ to read 

‘‘Technical Notes’’ and separating the 

technical note that follows 3A002.a.5.b 

into two separate Technical Notes and 

adding single quotes around 

‘continuous throughput’ as part of the 

TFEI revisions, for the purpose of 

clarity; 

f. Adding double quotes around 

‘‘signal analyzers’’ in the Note that 

follows 3A002.b, as part of the TFEI 

revisions, because this is a global term 

that is defined in part 772 of the EAR; 

g. Adding a hyphen between the 

words ‘‘radio’’ and ‘‘frequency’’ and 


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removing a comma in 3A002.c, as part 

of the TFEI revisions to add clarity; 

h. Adding single quotes around the 

term ‘pulse duration’ in 3A002.d.1 to 

indicate this is defined within this 

ECCN, as part of the TFEI revisions; 

i. Removing ‘‘the term’’ from Note 1 

after 3A002.d.4 as part of the TFEI 

revisions to remove superfluous words; 

j. Revising 3A002.g (atomic frequency 

standards) to make adjustments based 

on technical advancements in this area, 

as explained in the Rationale below; 

Rationale: Precision timing sources 

enable precision navigation and 

precision sensor array synchronization. 

Miniaturized precision timing sources 

are a potential enabling technology for 

small unmanned vehicles. 

Miniaturization has also transformed 

the applications for which rubidium 

standards can be used. Advances in 

technology have now made possible 

very small atomic clocks—which 

happen also to be based on energy state 

transitions of rubidium. Unfortunately, 

the control text in Category 3 did not 

anticipate the new technology and 

specifically exempted all so-called 

‘‘rubidium clocks’’ that are not spacequalified from control, thus 

decontrolling atomic clocks and 

technology of concern. This revision to 

3A002.g is intended to avoid capturing 

rubidium clocks, which are based on the 

older lamp-pumped technology, because 

those clocks require more power to 

operate. This revision is also intended to 

control emerging technology (so-called 

coherent population trapping (CPT) 

technique or laser-pumped gas cell 

technique) that has far more significant 

military applications. 

ECCN 3A229 (Firing Sets) is amended 

by revising the Related Controls 

paragraph to add a reference to 1E001 

for ‘‘development’’ and ‘‘production’’ 

technology and 1E201 for ‘‘use’’ 

technology. 

ECCN 3A232 (Detonators and 

multipoint initiation systems) is 

amended by: 

a. Redesignating Related Controls 

notes 1 and 2 to 2 and 3, and adding a 

new note 1 that reads ‘‘See 1A007 for 

electrically driven explosive 

detonators.’’; and 

b. Removing and reserving 3A232.a 

and all but the last sentence of the 

technical note, because electrically 

driven explosive detonators are now 

controlled in ECCN 1A007. 

ECCN 3B001 (Equipment for 

manufacturing of semiconductor 

devices or materials, and specially 

designed components and accessories 

therefore) is amended by: 

a. Removing a comma from the 

heading as part of the TFEI revisions to 

correct punctuation; 

b. Adding initial capitalization to the 

term ‘Metal Organic Chemical Vapor 

Deposition’ in 3B001.a.2 as part of the 

TFEI revisions to correct format and to 

indicate the meaning of the acronym 

MOCVD; 

c. Removing a comma and adding an 

‘and’ to 3B001.b and 3B001.f.1 as part 

of the TFEI revisions to correct 

grammar; 

d. Adding ‘Chemical Vapor 

Deposition’ in front of the acronym 

(CVD) in 3B001.d as part of the TFEI 

revisions to add clarity; 

e. Removing the comma after 

‘‘equipment’’ in 3B001.f. as part of the 

TFEI revisions to add clarity; 

f. Removing a comma and adding an 

‘‘and’’ in 3B001.f.1. as part of the TFEI 

revisions to add clarity; 

g. Adding single quotes around 

‘minimum resolvable feature size’ in 

3B001.f.1.b and in the Technical Note 

that follows, to indicate that this term is 

defined in the Technical Note that 

follows that paragraph; 

h. Revising 3B001.f.3 (equipment 

specially designed for mask making or 

semiconductor device processing) to 

clarify the scope of the control; 

i. Adding a comma to 3B001.g as part 

of the TFEI revisions, to correct the 

punctuation; and 

j. Replacing the period with a semicolon at the end of 3B001.h as part of 

the TFEI revisions to correct the 

punctuation. 

ECCN 3C002 (Resist materials) is 

amended by: 

a. Revising the heading as part of the 

TFEI revisions, to clarify the scope of 

the entry; and 

b. Revising the reference to ‘‘3C002.b 

through .d’’ to read ‘‘3C002.b through 

.e’’ in the eligibility paragraphs for 

License Exceptions GBS and CIV to 

reflect the new paragraph 3C002.e; and 

c. Adding a new paragraph 3C002.e to 

control ‘‘all resists designed or 

optimized for use with imprint 

lithography equipment specified by 

3B001.f.2 that use either a thermal or 

photo-curable process’’. 

Rationale: With the tools used for 

imprint lithography now being 

controlled as a result of the 2006 

Wassenaar Arrangement agreements, for 

completeness, the resists materials used 

with these controlled tools are being 

controlled through this new paragraph 

3C002.e. Resists for imprint lithography 

equipment is now controlled in the 

same manner as controls on optical 

lithography equipment. Resists are 

indispensable materials for the exposure 

process in semiconductor 

manufacturing. These semiconductors 

are used in many military items. 

ECCN 3C005 (Silicon carbide (SiC) 

wafers) is amended by revising the 

heading to add controls resulting from 

technical advancements and to make 

technical clarifications, as explained in 

the Rationale below. 

Rationale: Gallium nitride (GaN) 

transistors have demonstrated 

performance at power densities well 

beyond microwave transistors based on 

gallium arsenide (GaAs). Power levels 

achieved from GaN transistors have also 

exceeded by a factor of four to five those 

obtained from comparable GaAs 

transistors at frequencies up to 40 GHz. 

GaN substrates may also be used to 

produce high brightness Light-Emitting 

Diodes (LEDs) and semiconductor blue 

laser diodes. The resistivity parameter 

(10,000 ohm-cm) of this ECCN was 

chosen to control GaN substrates and 

wafers used to produce microwave 

devices with significant military 

potential, while excluding GaN 

substrates and wafers for LED or diode 

production from control. Substrates for 

LED or diode production are generally 

lower in resistivity. Some substrates for 

commercial microwave products may be 

controlled under this revision. 

Aluminum nitride (AlN) substrates 

have also shown great promise as a 

substrate for the deposition of GaN 

epitaxial layers. They posses high 

thermal conductivity, low thermal 

expansion mismatch, as well as 

relatively low lattice mismatch with 

GaN, and have great potential for use in 

military high power microwave 

applications. 

It is also important to control the 

ingots and boules of SiC, GaN and AlN 

that have the resistivity of the wafers 

sliced from the ingots and boules. 

Otherwise, there would be a loop-hole in 

the controls. For this reason, ingots, 

boules and other preforms of those 

materials have been added to the 

Heading of this entry. 

This revision to ECCN 3C005 also 

makes a technical clarification, which is 

also applied to the new ECCN 3C006, 

noting that the resistivity parameter is a 

substrate resistivity measurement made 

at room temperature (20 °C). 

ECCN 3C006 is added to control 

‘‘Substrates’’ specified in 3C005 with at 

least one epitaxial layer of silicon 

carbide, gallium nitride, aluminum 

nitride or aluminum gallium nitride. 

Rationale: A single layer of epitaxy 

that is of the same material as the 

substrate should be controlled, as this 

type of epitaxy (‘‘homo-epitaxy’’) can be 

used to make RF devices. Presently, the 

CCL only controls epitaxy material, 

which is different than the substrate 


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material (‘‘hetero-epitaxy’’). The 

creation of ECCN 3C006 closes this 

loop-hole by controlling these 

substrates. 

ECCN 3D001 (Development and 

production software) is amended by 

changing Related Controls Notes 1 and 

2 to conform to the new 3A001 Related 

Controls for solar cells, cellinterconnect-coverglass (CIC) 

assemblies, solar panels, and solar 

arrays in order to remove any ambiguity 

in the control of these technologies. 

ECCN 3E001 (Development and 

production technology) is amended by: 

a. Revising the Heading to add ECCN 

3A999 to the list of excluded ECCNs 

controlled by this entry, because this 

Wassenaar created ECCN did not intend 

to control ECCN 3A999 items; 

b. Revising the national security 

control text in the License Requirement 

section to add ECCN 3C006 in order to 

control the ‘‘development’’ and 

‘‘production’’ technology for this newly 

controlled commodity; 

c. Removing ‘‘The term’’ from the 

Technical Note in the Items paragraph 

of the List of Items Controlled section of 

3E001, as part of the TFEI revisions, 

because these words are superfluous; 

and 

d. Revising Related Controls Note 2 to 

conform to the new 3A001 Related 

Controls for solar cells, cellinterconnect-coverglass (CIC) 

assemblies, solar panels, and solar 

arrays in order to remove any ambiguity 

in the control of these technologies. 

Category 5 Part I

Telecommunications 

ECCN 5A001 (Telecommunications 

systems, equipment, and components) is 

amended by: 

a. Adding the words ‘‘and 

accessories’’ to the heading as part of 

the TFEI revisions, to more correctly 

state the scope of this entry; 

b. Replacing a period with a semicolon in 5A001.a.3 as part of the TFEI 

revisions, to correct the punctuation; 

c. Revising 5A001.b.1 (underwater 

communications systems) by adding 

‘‘untethered’’ and by adding a new 

paragraph 5A001.b.1.d to control 

systems using lasers or light-emitting 

diodes (LEDs) because of technical 

advancements for this type of 

equipment; 

Rationale: The existing control text 

in this entry was written years ago and 

was written with regard to underwater 

communications technologies which 

were known at the time. New 

technologies have emerged that are not 

specified by the current controls but 

which have capabilities similar to, or 

even exceeding, those currently 

specified. The addition of paragraph 

5A001.b.1.d is necessary to close the 

loophole for underwater untethered 

optical communications using laser or 

LED. 

d. Removing the word 

‘‘characteristics’’ from 5A001.b.1, 

5A001.b.2, 5A001.b.3, and 5A001.e as a 

part of the TFEI revisions because it is 

superfluous; 

e. Replacing a comma with the word 

‘‘and’’ in 5A001.b.3 and 5A001.b.4 as 

part of the TFEI revisions to correct the 

grammar; 

f. Replacing ‘‘1.0 Watt’’ with ‘‘1 W’’ in 

the Note to 5A001.b.3 as a part of the 

TFEI revisions, because this is the 

standard way of stating such a 

parameter; 

g. Adding single quotes around the 

term ‘voice coding’ in 5A001.b.6 and the 

Technical Note that follows as a part of 

the TFEI revisions because this term is 

defined within the entry; 

h. Adding single quotes around the 

term ‘proof test’ in 5A001.c.1 and the 

Technical Note that follows as part of 

the TFEI revisions because this term is 

defined within the entry; 

i. Adding a comma and replacing the 

period with a semi-colon in 5A001.c.2 

as part of the TFEI revisions to correct 

the punctuation; 

j. Replacing a period with a semicolon in 5A001.d. as part of the TFEI 

revisions to correct punctuation; 

k. Adding initial capitalization to 

‘‘Microwave Landing Systems’’ because 

it is followed by the acronym (MLS) in 

the Note to 5A001.d and replacing a 

period with a semi-colon as part of the 

TFEI revisions; 

l. Adding initial capitalization to 

‘‘Line Of Bearing’’ because it is followed 

by the acronym (LOB) in 5A001.e.2, and 

replacing the period with a semi-colon 

to correct the punctuation as part of the 

TFEI revisions; 

m. Removing the word ‘‘cellular’’ 

from 5A001.f to account for technical 

advancements of this equipment; 

Rationale: Manufacturers are being 

asked to design jamming equipment for 

satellite telephony systems that are 

being used in warfare. The systems are 

not specially designed for military use. 

This equipment is not currently 

controlled by 5A001.f. These systems 

are being used by insurgents to 

command and control activity in 

conflict areas. Therefore, this revision to 

paragraph 5A001.f is made to expand 

the scope of control to include jammers 

for any mobile telecommunications 

device in order to prevent the users of 

the equipment from obtaining this type 

of jamming device, or related technology 

used to defeat it. 

n. Replacing a comma with an ‘‘and’’ 

in 5A001.f as part of the TFEI revisions 

to correct the grammar; 

o. Replacing a period with a semicolon in 5A001.f.2. as part of the TFEI 

changes to correct punctuation; 

p. Adding the acronym (PCL) after 

Passive Coherent Location in 5A001.g as 

part of the TFEI revisions as this is a 

commonly used acronym; and 

q. Adding ‘‘or’’ in the note to 5A001.g 

as part of the TFEI revisions to correct 

the format. 

Category 5 Part 2 ‘‘Information 

Security’’ 

ECCN 5A002 (‘‘Information security’’ 

systems, equipment and components) is 

amended by: 

a. Revising the Heading, as part of the 

TFEI revisions to clarify the scope of the 

entry; 

b. Adding the words ‘‘any of’’ in the 

heading of the Note to 5A002 as part of 

the TFEI revisions to clarify the 

heading; 

c. Adding ‘‘having any of the 

following’’ after the word ‘‘cards’’ in 

paragraph (a)(1) of the Note to 5A002 as 

part of the TFEI revisions to clarify the 

text; 

d. Replacing the reference to 

paragraph f with a reference to 

paragraph g in paragraph (a)(1) of the 

Note to 5A002 to harmonize this 

paragraph with the addition of a new 

paragraph g in the Note to 5A002; 

e. Adding single quotation marks 

around the term ‘money transactions’ in 

paragraph d of the Note to 5A002; 

f. Replacing ‘‘N.B.’’ with ‘‘Technical 

Note’’ after paragraph 5A002.d and 

replacing the double quotation marks 

with single quotation marks around the 

term ‘money transactions’ in this 

Technical Note as part of the TFEI 

changes to add clarity to the text; 

g. Replacing the phrase ‘‘that are not 

capable of end-to-end encryption’’ with 

‘‘that are not capable of transmitting 

encrypted data directly to another 

radiotelephone or equipment (other 

than Radio Access Network (RAN) 

equipment), nor of passing encrypted 

data through RAN equipment (e.g., 

Radio Network Controller (RNC) or Base 

Station Controller (BSC))’’ in paragraph 

e of the Note to 5A002 at the beginning 

of the items paragraph in the List of 

Items Controlled section; 

Rationale: This change in paragraph 

e of the Note to 5A002 clarifies that 

portable handheld devices (such as 3G 

cellular phones) providing secure Web 

browser, e-mail and other encryption 

capability across networks such as the 

Internet are controlled by the Wassenaar 

Arrangement, unless they are otherwise 

decontrolled as ‘mass market’ products 


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Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 60917 

according to the provisions of the 

Cryptography Note (Note 3 of Category 

5—Part 2). The technical language of 

this revised Note e clarifies that 

encrypted phone-to-server’ (e.g., 

Internet) connections are treated the 

same as encrypted ‘phone-to-phone’ 

connections. Meanwhile, portable 

handheld devices (such as 2G cellular 

phones) where encryption is limited to 

airlink encryption to base stations (RAN 

equipment) remain eligible for the 

provisions of Category 5—Part 2 (ECCN 

5A002) Note e. 

h. Adding a new paragraph g to the 

Note to 5A002 to exclude from ECCN 

5A002 certain portable or mobile 

radiotelephones and similar client 

wireless devices for civil use, as well as 

adding an ‘‘or’’ to the end of the 

preceding paragraph f; 

Rationale: Paragraph g was added to 

5A002 to make clear that mass market 

mobile devices that are adapted for a 

particular civil industry application, 

with features that do not involve any 

changes to the cryptographic 

functionality of the original device, are 

not intended to be controlled under 

ECCN 5A002. Examples of such 

customized products are CDMA/GSM/ 

GPRS/Wi-Fi (IEEE 802.11)/Bluetooth 

devices for the transportation (including 

automotive parts and equipment) and 

service industries, Personal Digital 

Assistants (PDAs) and Pocket PCs for 

health care professionals, and wireless 

water/gas/electric utility meter readers. 

These customized products are not 

intended for retail sale to the general 

public, and therefore were not clearly 

excluded from control under previous 

Category 5 Part 2 text. However, the 

technical details of the original (noncustomized) mass market platforms are 

not affected by such adaptations for a 

particular civil application operating 

over publicly accessible commercial 

networks. 

i. Adding initial capitalization to 

‘‘Global Navigation Satellite Systems’’, 

adding the acronym (GNSS), and 

replacing the abbreviation ‘‘e.g.’’ with 

‘‘i.e.’’ in the Nota Bene (NB) after 

5A002.a, as part of the TFEI revisions to 

clarify the entry; 

j. Adding an ‘‘and’’ in 5A002.a.1 as 

part of the TFEI revisions to clarify the 

entry; 

k. Adding an ‘‘and’’ and removing 

‘‘characteristics’’ from 5A002.a.6 as part 

of the TFEI revisions to clarify the entry; 

and 

l. Adding initial capitalization to 

‘‘Quantum Key Distribution’’ in 

Technical Note 2 after 5A002.a.9, as part 

of the TFEI revisions to clarify the term 

in the entry. 

Category 6 Sensors 

ECCN 6A001 (Acoustics) is amended 

by: 

a. Revising the Heading as part of the 

TFEI revisions to clarify the scope of the 

entry; 

b. Removing a comma and adding an 

‘‘and’’ in 6A001.a.1.a, as part of the 

TFEI revisions for clarity; 

c. Removing the word ‘‘Being’’ in 

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

6A001.a.1.a.3, as part of the TFEI 

revisions for clarity; 

d. Removing a comma and adding an 

‘‘and’’ in 6A001.a.1.c, as part of the 

TFEI revisions for clarity; 

e. Adding single quotes around the 

term ‘acoustic power density’ in 

6A001.a.1.c.2 and the Technical Note 

that follows 6A001.a.1.c.2 to indicate 

that the term is defined within the 

entry, as well as correcting unit of 

measurement ‘‘Mw’’ to read ‘‘mW’’, as 

part of the TFEI revisions; 

f. Adding a comma in 6A001.a.1.d, as 

part of the TFEI revisions; 

g. Deleting the word ‘‘characteristics’’ 

from 6A001.a.2.a. as part of the TFEI 

revisions; 

h. Removing the ‘‘or’’ at the end of 

6A001.a.2.a.3.a, as part of the TFEI 

revisions; 

i. Adding single quotes around the 

terms ‘Piezoelectric polymer films’, 

‘flexible piezoelectric composites’, 

‘hydrophone sensitivity’ in 

6A001.a.2.a.3.b, 6A001.a.2.a.3.c, and 

6A001.a.2.a.4, respectively, to indicate 

these terms are defined within the entry, 

as part of the TFEI revisions; 

j. Removing the word ‘‘When’’ in 

6A001.a.2.a.5, as part of the TFEI 

revisions for clarity; 

k. Adding single quotes around the 

term ‘hydrophone sensitivity’ in 

Technical Note 3 that follows 

6A001.a.2.a.6 to indicate that the term is 

defined in the entry, as part of the TFEI 

revisions; 

l. Replacing double quotation marks 

around the phrase ‘‘able to be modified’’ 

with single quotations marks in the 

Technical Note after 6A001.a.2.b.2 as 

part of the TFEI revisions; 

m. Replacing the double quotes with 

single quotes around the term ‘‘able to 

be modified’’ in the technical note after 

a.2.b.2, because the term is locally 

defined in the ECCN; 

n. Adding a comma after the word 

‘‘systems’’ in 6A001.a.2.e as part of the 

TFEI changes to add clarity to the text; 

o. Removing and reserving paragraph 

6A001.a.2.b.6 as explained in the 

Rationale below; 

Rationale: Paragraph 6A001.a.2.b.6 

is removed because the depth control of 

the streamer itself, combined with the 

control on hydrophones that already 

exist in 6A001.a.2.b.2 are robust enough 

to cover the multiplexer module depth 

limit. 

p. Revising ‘‘Correlation-velocity 

sonar log equipment’’ to read 

‘‘Correlation-velocity and Dopplervelocity sonar log equipment’’, adding 

‘‘as follows’’ to 6A001.b, and moving 

the parameter ‘‘at distances between the 

carrier and the sea bed exceeding 500 

m’’ from 6A001.b to a new paragraph 

6A001.b.1.a as explained in the 

Rationale below; 

q. Adding two new paragraphs: 

6A001.b.1 for correlation-velocity sonar 

log equipment, and 6A001.b.2 for 

doppler-velocity sonar equipment, as 

well as adding 2 new exclusion notes as 

explained in the Rationale below. 

Rationale: The revision to 6A001.b 

and the addition of 6A001.b.1 and 

6A001.b.2 were necessary because 

velocity sonar logs can be either 

correlation-velocity sonar logs (CVSL) or 

Doppler-velocity sonar logs (DVSL). 

They are being used increasingly in both 

commercial and military underwater 

applications. Although the specific 

techniques used by the CVSL and DVSL 

are different, they both determine the 

horizontal speed of surface vessels, 

underwater vehicles or swimmers in 

both fore and aft and athwartship (at 

right angles). 

ECCN 6A005 (Lasers) is amended by: 

a. Revising the citation ‘‘6A005.b.2, 

b.3, or b.4’’ to read ‘‘6A005.a.4, b.2, b.3, 

b.4’’ in paragraph g of the License 

Requirements Note to correct an 

oversight; and 

b. Revising the text in the GBS and 

CIV paragraphs of the License Exception 

section to match the license exception 

eligibility in place prior to the 

November 5, 2007 Federal Register 

publication of the 2006 Wassenaar 

implementation regulation (72 FR 

62524) and to correct an error. 

Rationale: Dye and liquid lasers 

controlled by 6A005.c.3, except for a 

pulsed single longitudinal mode 

oscillator having an average output 

power exceeding 1W and a repetition 1 

kHz if the pulse duration is less than 

100 ns, were eligible for License 

Exception GBS and CIV prior to the 11/ 

05/07 publication. When ECCN 6A005 

was completely revised in the November 

5, 2007 Federal Register publication 

these lasers were inadvertently removed 

from being eligible for License 

Exceptions GBS and CIV. This rule 

corrects that error. 

ECCN 6A995 is amended by 

correcting the reference ‘‘6A995.e.1.b’’ 

to read ‘‘6A995.e.2.b’’ in the Note 

following 6A995.e.2.b. 


sroberts on PROD1PC70 with RULES
60918 Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 

Category 7 Navigation and Avionics 

ECCN 7A002 (Gyros or angular rate 

sensors) is amended by replacing the 

term ‘‘drift rate’’ with ‘‘bias’’ in 7A002.a 

and 7A002.c.1 in the Items paragraph of 

the List of Items Controlled section, as 

explained below. 

Rationale: The ‘‘bias’’ component of 

‘‘drift rate’’ is the error term that is 

usually listed on the manufacturer’s 

specification sheets. Although ‘‘drift 

rate’’, ‘‘stability’’, and ‘‘bias’’ ‘‘stability’’ 

are sometimes used interchangeably, 

‘‘bias’’ ‘‘stability’’ is more often used on 

the gyro data sheet. 

ECCN 7A003 (Inertial Systems and 

specially designed components therefor) 

is amended by: 

a. Adding the word ‘‘navigation’’ to 

the listed purposes: attitude, guidance 

or control in 7A003.a and 7A003.b for 

clarification; 

b. Adding double quotation marks 

around ‘‘Circular Error Probable’’ and 

‘‘CEP’’ in 7A003.a.1 and 7A003.b as part 

of the TFEI changes to clarify the text; 

c. Removing the Technical Note 2 at 

the end of 7A003, and adding the 

definition for ‘‘Circular Error Probable 

(‘‘CEP’’)’’ to the definition section 772.1 

of the EAR, because this term is used in 

both 7A003 and 7A008; 

d. Revising certain terms used in 

7A003.c and 7A003.c.1 to more 

commonly used terms, because removed 

terms are not usually specified on data 

sheets; 

e. Changing the ‘‘e’’ in ‘‘equipment’’ 

and the ‘‘h’’ in heading from upper case 

to lower case and deleting the word 

‘‘characteristics’’ in 7A003.c. as part of 

the TFEI revisions to clarify the text; 

f. Changing ‘‘RMS’’ and ‘‘Heading’’ 

from upper case to lower case in 

7A003.c.1. as part of the TFEI revisions 

to clarify the text; 

g. Replacing the period with a semicolon in 7A003.a.2, b., and c.2, as part 

of the TFEI revisions to correct the 

punctuation; 

h. Deleting the comma after ‘‘msec’’ in 

7A003.c.2. as part of the TFEI changes 

to clarify the text; 

i. Revising the outline format from 

numeric to alphabetic and adding the 

words ‘‘all of’’ in Note 1.a, as part of the 

TFEI revisions for clarity; 

j. Replacing ‘‘half’’, ‘‘one and a half’’ 

and ‘‘three’’ with numeric notation in 

Note 1.a. as part of the TFEI revision for 

clarity; 

k. Capitalizing ‘‘Power Spectral 

Density’’ to signify the acronym ‘‘PSD’’ 

in Note 1.a.1. as part of the TFEI 

revision to clarify the text; 

l. Replacing ‘‘A roll and yaw rate’’ 

with ‘‘An angular rate capability about 

one or more axes’’ in Note 1.b in Note 

1 to include pitch, as well as roll and 

yaw, and to clarify that angular rate 

capability is the parameter of concern; 

and 

m. Replacing references to ‘‘1’’ and 

‘‘2’’ with ‘‘a’’ and ‘‘b’’ in new sub-entry 

‘‘c’’ of Note 1 to conform with the 

changed outline format as part of the 

TFEI revisions. 

ECCN 7A008 (Underwater sonar 

navigation systems) is amended: 

a. Deleting the comma and adding 

‘‘and’’ after ‘‘source’’ in the heading as 

part of the TFEI changes to clarify the 

text; 

b. Adding double quotes around the 

term ‘‘Circular Error Probable (‘‘CEP’’) 

in the heading, because this rule adds 

this term to section 772.1 of the EAR; 

c. Revising ‘‘Correlation-velocity 

sonar log equipment’’ to read 

‘‘Correlation-velocity and Dopplervelocity sonar log equipment’’ in the 

Nota Bene to correspond with the 

revision in 6A001.b.1.a. 

Category 9 Propulsion Systems, Space 

Vehicles and Related Equipment 

ECCN 9A012 (Non-military 

‘‘unmanned aerial vehicles,’’ (‘‘UAVs’’), 

associated systems, equipment and 

components) is amended by: 

a. Adding a comma to the Heading as 

part of the TFEI revisions to correct the 

punctuation; 

b. Replacing a period with a semicolon in 9A012.a.2 and 9A012.b.3, as 

part of the TFEI revisions to correct the 

punctuation; 

c. Adding a comma after 

‘‘components’’ in 9A012.b. as part of the 

TFEI revisions to correct the 

punctuation; and 

d. Adding a new paragraph 9A012.b.4 

for ‘‘Air breathing reciprocating or 

rotary internal combustion type engines 

* * *’’ as explained in the Rationale 

below. 

Rationale: Paragraph 9A012.b.4 is 

added because commercial and military 

UAVs are increasingly used in a wider 

range of application types and in 

steadily increasing numbers. As a result, 

UAV engine designs have also 

broadened to include reciprocating 

systems. Modern reciprocating engine 

technology including use of 

turbochargers can enable UAVs to reach 

altitudes exceeding 60,000 feet. 

ECCN 9E003 (Other ‘‘technology’’) is 

amended by: 

a. Removing a comma in the Heading, 

as part of the TFEI revisions to correct 

the punctuation; 

b. Adding a comma and an ‘‘and’’ in 

9E003.a.1, as part of the TFEI revisions 

for clarity; 

c. Replacing a period with a semicolon in 9E003.a.3.c, as part of the TFEI 

revisions to correct the punctuation; 

d. Adding ‘‘total (stagnation)’’ and ‘‘at 

sea-level static take-off (ISA) in a ‘steady 

state mode’ of engine operation’’ to 

9E003.a.4 and 9E003.a.5 for 

clarification, as well as adding a 

Technical Note to define the term 

‘steady state mode’ within the ECCN; 

e. Adding a comma in 9E003.b.2 as 

part of the TFEI revisions to correct the 

punctuation; 

f. Adding the term ‘‘Electo-Chemical 

Machining’’ and parentheticals around 

the acronym ‘‘ECM’’, and adding the 

term ‘‘Electrical Discharge Machines’’ 

and parentheticals around the acronym 

‘‘EDM’’ in 9E003.c, as part of the TFEI 

revisions to clarify the entry and the 

related term; 

g. Deleting the term ‘‘sets of 

characteristics’’ and adding single 

quotes around the term ‘Incidence 

angles’ in 9E003.c.1.c and 9E003.c.2.c, 

as part of the TFEI revisions, because it 

is defined within the entry’s Technical 

Note that follows 9E003.c.2.c; 

h. Removing the article ‘‘A’’ and 

adding single quotes around the term 

‘Box volume’ in 9E003.e.1 and 

9E003.e.3, as part of the TFEI revisions 

for clarity and to indicate the term is 

defined within the entry; 

i. Adding single quotes around the 

term ‘Box volume’, and replacing a 

colon with the word ‘‘is’’ in the 

Technical Note that follows 9E003.e.3, 

as part of the TFEI revisions for clarity 

and to indicate that ‘Box volume’ is 

defined within the entry; 

j. Adding the words ‘‘any of’’ to the 

width and height statements in the 

Technical Note that follows 9E003.e.3, 

as part of the TFEI revisions for clarity; 

k. Adding a comma and the words ‘‘as 

follows’’ in 9E003.f, as part of the TFEI 

revisions for clarity; 

l. Adding the word ‘‘and’’ in 

9E003.f.2, as part of the TFEI revisions 

for clarity; 

m. Deleting a comma and removing 

the article ‘‘A’’ in 9E003.f.2.b, as part of 

the TFEI revisions for clarity; 

n. Replacing a comma with an ‘‘and’’ 

and replacing the word ‘‘both’’ with 

‘‘all’’ in 9E003.f.3, as part of the TFEI 

revisions for clarity; 

o. Moving the words ‘‘Specially 

designed’’ from in front of the phrase 

‘‘electronic control features’’ to behind 

this phrase in 9E003.f.3.b, as part of the 

TFEI revisions to clarify the scope of the 

control; 

p. Adding single quotes around the 

term ‘high output diesel engines’, 

replacing a comma with an ‘‘and’’, and 

replacing a period with a semi-colon in 

9E003.g, as part of the TFEI revisions to 

indicate the term is defined in the entry 

and to correct the punctuation; and 


sroberts on PROD1PC70 with RULES
Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 60919 

q. Adding a Technical Note after 

9E003.g that defines ‘high output diesel 

engines’ within the entry to conform to 

the Wassenaar Dual-Use List. 

Part 740 ‘‘License Exceptions’’ 

Supplement No. 1 to Section 740.11 

‘‘License Exception GOV’’ is amended 

by making minor editorial revisions, 

such as removing text and inserting 

‘‘consisting of’’ and ‘‘controlled by’’ as 

clarifying text under paragraph (a)(1)(i), 

that conform to the Wassenaar 

Arrangement edits on the Very Sensitive 

List. 

Definitions in Part 772 

Section 772.1 is amended by: 

a. Revising the definition of the term 

‘‘Bias’’ (accelerometer), as set forth 

below; 

b. Adding in alphabetical order the 

term ‘‘Bias’’ (gyro), as set forth below; 

Rationale: The ‘‘bias’’ component of 

‘‘drift rate’’ is the error term that is 

usually listed on the manufacturer’s 

specification sheets. Although ‘‘drift 

rate’’ ‘‘stability’’ and ‘‘bias’’ ‘‘stability’’ 

are sometimes used interchangeably, 

‘‘bias’’ ‘‘stability’’ is more often used on 

the gyro data sheet. ‘‘Bias’’ ‘‘stability’’ is 

a more appropriate control parameter 

for gyros. 

c. Adding in alphabetical order the 

term ‘‘Circular Error Probable’’ (‘‘CEP’’), 

because this term is found in both 

7A003 and 7A008, as set forth below; 

d. Adding after ‘‘compound rotary 

table’’ the new term ‘‘III/V compounds’’, 

as set forth below; and 

e. Removing the term ‘‘Drift rate’’ 

(gyro), because this term is replaced by 

the new ‘‘bias’’ (gyro) definition, see 

rationale above. 

Although the Export Administration 

Act expired on August 20, 2001, the 

President, through Executive Order 

13222 of August 17, 2001, 3 CFR, 2001 

Comp., p. 783 (2002), as extended by the 

Notice of July 23, 2008, 73 FR 43603 

(July 25, 2008), has continued the 

Export Administration Regulations in 

effect under the International 

Emergency Economic Powers Act. 

Saving Clause 

Shipments of items removed from 

license exception eligibility or eligibility 

for export or reexport without a license 

as a result of this regulatory action that 

were on dock for loading, on lighter, 

laden aboard an exporting or 

reexporting carrier, or en route aboard a 

carrier to a port of export or reexport, on 

October 14, 2008, pursuant to actual 

orders for export or reexport 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 or reexported before 

December 15, 2008. Any such items not 

actually exported or reexported before 

midnight, on December 15, 2008, 

require a license in accordance with this 

regulation. 

Rulemaking Requirements 

1. This final rule has been determined 

to be not significant for purposes of 

Executive Order 12866. 

2. Notwithstanding any other 

provision of law, no person is required 

to respond to, nor shall any person be 

subject to a penalty for failure to comply 

with a collection of information subject 

to the requirements of the Paperwork 

Reduction Act 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 Jasmeet Seehra, 

OMB Desk Officer, by e-mail at 

jseehra@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. This rule is exempt for the 

provisions of the Administrative 

Procedure Act (5 U.S.C. 553) requiring 

notice of proposed rulemaking and 

opportunity for public comment 

pursuant to 5 U.S.C. 553(a)(1) because 

this regulation involves a military and 

foreign affairs function of the United 

States. No other law requires that a 

notice of proposed rulemaking and an 

opportunity for public comment be 

given for this final rule. Accordingly, 

the analytical requirements of the 

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

et seq.) are not applicable, so no 

regulatory flexibility analysis is required 

and none has been prepared. 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 

the Regulatory Policy Division, Bureau 

of Industry and Security, Department of 

Commerce, 14th & Pennsylvania Ave., 

NW., Room 2705, Washington, DC 

20230. 

List of Subjects 

15 CFR Part 740 

Administrative practice and 

procedure, Exports, Reporting and 

recordkeeping requirements. 

15 CFR Part 772 

Exports. 

15 CFR Part 774 

Exports, Reporting and recordkeeping 

requirements. 

■ Accordingly, Parts 740, 772 and 774 

of the Export Administration 

Regulations (15 CFR Parts 730–774) are 

amended as follows: 

PART 740—[AMENDED] 

■ 1. The authority citations for Part 740 

continue 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 July 23, 2008, 73 FR 

43603 (July 25, 2008). 

■ 2. Supplement No. 1 to § 740.11 is 

amended by revising paragraph (a)(1)(i) 

to read as follows: 

§ 740.11 Governments, international 

organization, and international inspections 

under the chemical weapons convention 

(GOV). 

* * * * * 

Supplement No. 1 to § 740.11— 

Additional Restrictions on use of 

License Exception GOV 

(a) * * * 

(1) * * * 

(i) ‘‘Composite’’ structures or 

laminates controlled by 1A002.a, 

consisting of an organic ‘‘matrix’’ and 

materials controlled by 1C010.c or 

1C010.d; and 

* * * * * 

PART 772—[AMENDED] 

■ 3. The authority citations for Part 772 

continue 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 July 23, 

2008, 73 FR 43603 (July 25, 2008). 


sroberts on PROD1PC70 with RULES
60920 Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 

■ 4. Section 772.1 is amended by: 

■ a. Revising the definition of the term 

‘‘Bias (accelerometer) ’’, as set forth 

below; 

■ b. Adding in alphabetical order the 

term ‘‘Bias (gyro)’’, as set forth below; 

■ c. Adding in alphabetical order the 

term ‘‘Circular Error Probable’’ (‘‘CEP’’), 

as set forth below; 

■ d. Adding after ‘‘compound rotary 

table’’ the new term ‘‘III/V compounds’’, 

as set forth below; and 

■ e. Removing the term ‘‘Drift rate 

(gyro)’’. 

§ 772.1 Definitions of Terms as Used in the 

Export Administration Regulations (EAR). 

* * * * * 

‘‘Bias’’. (accelerometer) (Cat 7) The 

average over a specified time of 

accelerometer output measured at 

specified operating conditions that has 

no correlation with input acceleration or 

rotation. ‘‘Bias’’ is expressed in [m/s2, 

g]. (IEEE Std 528–2001) (Micro g equals 

1 × 10¥6 g). 

‘‘Bias’’. (gyro) (Cat 7) The average over 

a specified time of gyro output 

measured at specified operating 

conditions that has no correlation with 

input rotation or acceleration. ‘‘Bias’’ is 

typically expressed in degrees per hour 

(deg/hr). (IEEE Std 528–2001). 

* * * * * 

‘‘Circular Error Probable’’ (‘‘CEP’’). 

(Cat 7) In a circular normal distribution, 

the radius of the circle containing 50 

percent of the individual measurements 

being made, or the radius of the circle 

within which there is a 50 percent 

probability of being located. 

* * * * * 

‘‘III/V compounds’’. (Cat 3 and 6) 

Polycrystalline or binary or complex 

monocrystalline products consisting of 

elements of groups IIIA and VA of 

Mendeleyev’s periodic classification 

table (e.g., gallium arsenide, galliumaluminum arsenide, indium phosphide). 

* * * * * 

PART 774—[AMENDED] 

■ 5. The authority citations for Part 774 

continue 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; 46 U.S.C. app. 466c; 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 July 23, 2008, 73 FR 

43603 (July 25, 2008). 

Supplement No. 1 to Part 774— 

[Amended] 

■ 6. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

Materials, Chemicals, Microorganisms, 

and Toxins, Export Control 

Classification Number (ECCN) 1A004 is 

amended by revising the Related 

Definitions and Items paragraphs in the 

List of Items Controlled section, to read 

as follows: 

1A004 Protective and detection equipment 

and components not specially designed for 

military use as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: * * * 

Related Definitions: (1) ‘‘adapted for use in 

war’’ means: Any modification or selection 

(such as altering purity, shelf life, virulence, 

dissemination characteristics, or resistance to 

UV radiation) designed to increase the 

effectiveness in producing casualties in 

humans or animals, degrading equipment or 

damaging crops or the environment. (2) ‘‘Riot 

control agents’’ are substances which, under 

the expected conditions of use for riot control 

purposes, produce rapidly in humans 

sensory irritation or disabling physical effects 

which disappear within a short time 

following termination of exposure. (Tear 

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

Items: 

a. Gas masks, filter canisters and 

decontamination equipment therefor, 

designed or modified for defense against any 

of the following, and specially designed 

components therefor: 

1. Biological agents ‘‘adapted for use in 

war’’; 

2. Radioactive materials ‘‘adapted for use 

in war’’; 

3. Chemical warfare (CW) agents; or 

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

a. Bromobenzeneacetonitrile, 

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

8); 

b. [(2-chlorophenyl) methylene] 

propanedinitrile, 

(o-Chlorobenzylidenemalononitrile) (CS) 

(CAS 2698–41–1); 

c. 2-Chloro-1-phenylethanone, Phenylacyl 

chloride (-chloroacetophenone) (CN) (CAS 

532–27–4); 

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

257–07–8); 

e. 10-Chloro-5,10-dihydrophenarsazine, 

(Phenarsazine chloride), (Adamsite), (DM) 

(CAS 578–94–9); 

f. N-Nonanoylmorpholine, (MPA) (CAS 

5299–64–9); 

b. Protective suits, gloves and shoes, 

specially designed or modified for defense 

against any of the following: 

1. Biological agents ‘‘adapted for use in 

war’’; 

2. Radioactive materials ‘‘adapted for use 

in war’’; or 

3. Chemical warfare (CW) agents; 

c. Nuclear, biological and chemical (NBC) 

detection systems, specially designed or 

modified for detection or identification of 

any of the following, and specially designed 

components therefor: 

1. Biological agents ‘‘adapted for use in 

war’’; 

2. Radioactive materials ‘‘adapted for use 

in war’’; or 

3. Chemical warfare (CW) agents. 

Note: 1A004 does not control: 

a. Personal radiation monitoring 

dosimeters; 

b. Equipment limited by design or function 

to protect against hazards specific to civil 

industries, such as mining, quarrying, 

agriculture, pharmaceuticals, medical, 

veterinary, environmental, waste 

management, or to the food industry. 

Technical Notes 

1. ECCN 1A004 includes equipment and 

components that have been identified, 

successfully tested to national standards or 

otherwise proven effective, for the detection 

of or defense against radioactive materials 

‘‘adapted for use in war’’, biological agents 

‘‘adapted for use in war’’, chemical warfare 

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

even if such equipment or components are 

used in civil industries such as mining, 

quarrying, agriculture, pharmaceuticals, 

medical, veterinary, environmental, waste 

management, or the food industry. 

2. ‘‘Simulant’’: A substance or material 

that is used in place of toxic agent (chemical 

or biological) in training, research, testing or 

evaluation. 

■ 7. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

Materials, Chemicals, Microorganisms, 

and Toxins, Export Control 

Classification Number (ECCN) 1A006 is 

added after 1A005, to read as follows: 

1A006 Equipment, specially designed or 

modified for the disposal of improvised 

explosive devices, as follows (see List of 

Items Controlled), and specially designed 

components and accessories therefor. 

License Requirements 

Reason for Control: NS, AT 

Control(s) Country chart 

NS applies to entire entry ..... NS Column 2. 

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

License Requirement Note: 1A006 does 

not apply to equipment when accompanying 

its operator. 

License Exceptions 

LVS: N/A 

GBS: N/A 

CIV: N/A 

List of Items Controlled 

Unit: $ value 

Related Controls: Equipment specially 

designed for military use for the disposal of 

improvised explosive devices is subject to 

the export licensing jurisdiction of the 

Department of State, Directorate of Defense 

Trade Controls (see 22 CFR part 121, 

Category IV). 

Related Definitions: ‘Disruptors’—Devices 

specially designed for the purpose of 


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preventing the operation of an explosive 

device by projecting a liquid, solid or 

frangible projectile. 

Items: 

a. Remotely operated vehicles; 

b. ‘Disruptors’. 

■ 8. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

Materials, Chemicals, Microorganisms, 

and Toxins, Export Control 

Classification Number (ECCN) 1A007 is 

added after 1A006, to read as follows: 

1A007 Equipment and devices, specially 

designed to initiate charges and devices 

containing energetic materials, by electrical 

means, as follows (see List of Items 

Controlled). 

License Requirements 

Reason for Control: NS, NP, AT 

Control(s) Country chart 

NS applies to entire entry ..... NS Column 2. 

NP applies to 1A007.b, as 

well as 1A007.a when the 

detonator firing set meets 

or exceeds the parameters 

of 3A229.

NP Column 1. 

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

License Requirement Note: 1A007 does 

not apply to equipment when accompanying 

its operator. 

License Exceptions 

LVS: N/A 

GBS: N/A 

CIV: N/A 

List of Items Controlled 

Unit: $ value 

Related Controls: High explosives and 

related equipment specially designed for 

military use is subject to the export licensing 

jurisdiction of the Department of State, 

Directorate of Defense Trade Controls (see 22 

CFR part 121). This entry does not control 

detonators using only primary explosives, 

such as lead azide. See also 3A229. See 

1E001 for ‘‘development’’ and ‘‘production’’ 

technology controls, and 1E201 for ‘‘use’’ 

technology controls. 

Related Definitions: N/A 

Items: 

a. Explosive detonator firing sets designed 

to drive explosive detonators specified by 

1A007.b; 

b. Electrically driven explosive detonators 

as follows: 

b.1. Exploding bridge (EB); 

b.2. Exploding bridge wire (EBW); 

b.3. Slapper; 

b.4. Exploding foil initiators (EFI). 

Technical Notes 

1. The word initiator or igniter is 

sometimes used in place of the word 

detonator. 

2. For the purpose of 1A007.b the 

detonators of concern all utilize a small 

electrical conductor (bridge, bridge wire, or 

foil) that explosively vaporizes when a fast, 

high-current electrical pulse is passed 

through it. In nonslapper types, the 

exploding conductor starts a chemical 

detonation in a contacting high explosive 

material such as PETN 

(pentaerythritoltetranitrate). In slapper 

detonators, the explosive vaporization of the 

electrical conductor drives a flyer or slapper 

across a gap, and the impact of the slapper 

on an explosive starts a chemical detonation. 

The slapper in some designs is driven by 

magnetic force. The term exploding foil 

detonator may refer to either an EB or a 

slapper-type detonator. Also, the word 

initiator is sometimes used in place of the 

word detonator. 

■ 9. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

Materials, Chemicals, Microorganisms, 

and Toxins, Export Control 

Classification Number (ECCN) 1E001 is 

amended by revising the Heading and 

the NS Column 1 and the NP paragraph 

of the License Requirements section, to 

read as follows: 

1E001 ‘‘Technology’’ according to the 

General Technology Note for the 

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

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

1A003, 1A004, 1A005, 1A006, 1A007, 

1A101, 1B (except 1B999), or 1C (except 

1C355, 1C980 to 1C984, 1C988, 1C990, 

1C991, 1C992, 1C995 to 1C999). 

License Requirements 

* * * * * 

Control(s) Country chart 

NS applies to ‘‘technology’’ 

for items controlled by 

1A001.b and .c, 1A002, 

1A003, 1A005, 1A006, 

1A007, 1B001 to 1B003, 

1B018, 1C001 to 1C011, or 

1C018.

NS Column 1. 

* * * * * 

NP applies to ‘‘technology’’ 

for items controlled by 

1A002, 1A007, 1B001, 

1B101, 1B201, 1B225 to 

1B233, 1C002, 1C010, 

1C116, 1C202, 1C210, 

1C216, 1C225 to 1C240 

for NP reasons.

NP Column 1. 

* * * * * 

■ 10. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 1 

Materials, Chemicals, Microorganisms, 

and Toxins, Export Control 

Classification Number (ECCN) 1E201 is 

amended by revising the Heading and 

the NP paragraph of the License 

Requirements section, to read as 

follows: 

1E201 ‘‘Technology’’ according to the 

General Technology Note for the ‘‘use’’ of 

items controlled by 1A002, 1A007, 1A202, 

1A225 to 1A227, 1B201, 1B225 to 1B232, 

1B233.b, 1C002.a.2.c or .d, 1C010.a, 1C010.b, 

1C010.e.1, 1C202, 1C210, 1C216, 1C225 to 

1C240 or 1D201. 

License Requirements 

* * * * * 

Control(s) Country Chart 

NP applies to entire entry, for 

items controlled for NP 

reasons.

NP Column 1. 

* * * * * 

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

Commerce Control List), Category 2 

Materials Processing, Group B Test, 

Inspection and Production Equipment, 

technical notes for 2B001 to 2B009 are 

amended by revising Notes 5 and 6 to 

read as follows: 

B. Test, Inspection and Production 

Equipment 

Technical Notes for 2B001 to 2B009: 

* * * * * 

5. The positioning accuracy of 

‘‘numerically controlled’’ machine tools is to 

be determined and presented in accordance 

with ISO 230/2 (1988). 

6. ‘Stated positioning accuracy’ levels 

derived from measurements made according 

to ISO 230/2 (1988) may be used for each 

specific machine model as an alternative to 

individual machine tests. ‘Stated positioning 

accuracy’ means the accuracy value provided 

to BIS as representative of the accuracy of a 

specific machine model. 

Determination of ‘Stated Positioning 

Accuracy’ 

a. Select five machines of a model to be 

evaluated; 

b. Measure the linear axis accuracies 

according to ISO 230/2 (1988); 

c. Determine the A-values for each axis of 

each machine. The method of calculating the 

A-value is described in the ISO standard; 

d. Determine the mean value of the A-value 

of each axis. This mean value A becomes the 

stated value of each axis for the model (Ax 

Ay * * *); 

e. Since the Category 2 list refers to each 

linear axis there will be as many stated 

values as there are linear axes; 

f. If any axis of a machine model not 

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

stated accuracy A of 6 microns for grinding 

machines and 8 microns for milling and 

turning machines or better, the builder 

should be required to reaffirm the accuracy 

level once every eighteen months. 

* * * * * 

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

Commerce Control List), Category 2 

Materials Processing, Export Control 

Classification Number (ECCN) 2B001 is 

amended by revising the Heading, and 

the Related Controls and Items 


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paragraph in the List of Items Controlled 

section 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 

Unit: * * * 

Related Controls: (1) See ECCN 2B002 for 

optical finishing machines. (2) See ECCNs 

2D001 and 2D002 for software for items 

controlled under this entry. (3) See ECCNs 

2E001 (‘‘development’’), 2E002 

(‘‘production’’), and 2E201 (‘‘use’’) for 

technology for items controlled under this 

entry. (4) Also see ECCNs 2B201, 2B290, and 

2B991. 

Related Definitions: * * * 

Items: 

Note 1: 2B001 does not control special 

purpose machine tools limited to the 

manufacture of gears. For such machines, see 

2B003. 

Note 2: 2B001 does not control special 

purpose machine tools limited to the 

manufacture of any of the following: 

a. Crank shafts or cam shafts; 

b. Tools or cutters; 

c. Extruder worms; or 

d. Engraved or faceted jewellery parts. 

Note 3: A machine tool having at least two 

of the three turning, milling or grinding 

capabilities (e.g., a turning machine with 

milling capability), must be evaluated against 

each applicable entry 2B001.a., b. or c. 

a. Machine tools for turning having all of 

the following: 

a.1. Positioning accuracy with ‘‘all 

compensations available’’ of less (better) than 

6 μm along any linear axis; and 

a.2. Two or more axes which can be 

coordinated simultaneously for ‘‘contouring 

control’’; 

Note: 2B001.a does not control turning 

machines specially designed for producing 

contact lenses, having all of the following: 

a. Machine controller limited to using 

ophthalmic based software for part 

programming data input; and 

b. No vacuum chucking. 

b. Machine tools for milling having any of 

the following: 

b.1. Having all of the following: 

b.1.a. Positioning accuracy with ‘‘all 

compensations available’’ of less (better) than 

6 μm along any linear axis; and 

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

which can be coordinated simultaneously for 

‘‘contouring control’’; 

b.2. Five or more axes which can be 

coordinated simultaneously for ‘‘contouring 

control’’; 

b.3. A positioning accuracy for jig boring 

machines, with ‘‘all compensations 

available’’, of less (better) than 4 μm along 

any linear axis; or 

b.4. Fly cutting machines having all of the 

following: 

b.4.a. Spindle ‘‘run-out’’ and ‘‘camming’’ 

less (better) than 0.0004 mm TIR; and 

b.4.b. Angular deviation of slide movement 

(yaw, pitch and roll) less (better) than 2 

seconds of arc, TIR, over 300 mm of travel. 

c. Machine tools for grinding having any of 

the following: 

c.1. Having all of the following: 

c.1.a. Positioning accuracy with ‘‘all 

compensations available’’ of less (better) than 

4 μm along any linear axis; and 

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

coordinated simultaneously for ‘‘contouring 

control’’; or 

c.2. Five or more axes which can be 

coordinated simultaneously for ‘‘contouring 

control’’; 

Notes: 2B001.c does not control grinding 

machines, as follows: 

a. Cylindrical external, internal, and 

external-internal grinding machines, having 

all of the following: 

1. Limited to cylindrical grinding; and 

2. Limited to a maximum workpiece 

capacity of 150 mm outside diameter or 

length. 

b. Machines designed specifically as jig 

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

with a positioning accuracy with ‘‘all 

compensations available’’ less (better) than 4 

μm. 

c. Surface grinders. 

d. Electrical discharge machines (EDM) of 

the non-wire type which have two or more 

rotary axes which can be coordinated 

simultaneously for ‘‘contouring control’’; 

e. Machine tools for removing metals, 

ceramics or ‘‘composites’’, having all of the 

following: 

e.1. Removing material by means of any of 

the following: 

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

those employing abrasive additives; 

e.1.b. Electron beam; or 

e.1.c. ‘‘Laser’’ beam; and 

e.2. Having two or more rotary axes and all 

of the following: 

e.2.a. Can be coordinated simultaneously 

for ‘‘contouring control’’; and 

e.2.b. A positioning accuracy of less 

(better) than 0.003°; 

f. Deep-hole-drilling machines and turning 

machines modified for deep-hole-drilling, 

having a maximum depth-of-bore capability 

exceeding 5 m and specially designed 

components therefor. 

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

Commerce Control List), Category 2 

Materials Processing, Export Control 

Classification Number (ECCN) 2B002 is 

amended by revising the Heading, and 

the Related Definitions and Items 

paragraphs in the List of Items 

Controlled section to read as follows: 

2B002 Numerically controlled optical 

finishing machine tools equipped for 

selective material removal to produce nonspherical optical surfaces having all of the 

following characteristics (See List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Related Definitions: For the purposes of 

2B002, ‘MRF’ is a material removal process 

using an abrasive magnetic fluid whose 

viscosity is controlled by a magnetic field. 

‘ERF’ is a removal process using an abrasive 

fluid whose viscosity is controlled by an 

electric field. ‘Energetic particle beam 

finishing’ uses Reactive Atom Plasmas (RAP) 

or ion-beams to selectively remove material. 

‘Inflatable membrane tool finishing’ is a 

process that uses a pressurized membrane 

that deforms to contact the workpiece over a 

small area.‘Fluid jet finishing’ makes use of 

a fluid stream for material removal. 

Items: 

a. Finishing the form to less (better) than 

1.0 μm; 

b. Finishing to a roughness less (better) 

than 100 nm rms; 

c. Four or more axes which can be 

coordinated simultaneously for ‘‘contouring 

control’’; and 

d. Using any of the following processes: 

d.1. ‘Magnetorheological finishing (MRF)’; 

d.2. ‘Electrorheological finishing (ERF)’; 

d.3. ‘Energetic particle beam finishing’; 

d.4. ‘Inflatable membrane tool finishing’; or 

d.5. ‘Fluid jet finishing’. 

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

Commerce Control List), Category 2 

Materials Processing, Export Control 

Classification Number (ECCN) 2B006 is 

amended by revising the NP paragraph 

in the License Requirements section and 

the Items paragraph of the List of Items 

Controlled section to read as follows: 

2B006 Dimensional inspection or 

measuring systems, equipment, and 

‘‘electronic assemblies’’, as follows (see List 

of Items Controlled). 

License Requirements 

* * * * * 

Control(s) Country Chart 

* * * * * 

NP applies to 2B006.a and 

.b, except 2B006.b.1.d.

NP Column 1. 

Note: NP applies to measuring systems in 

2B006.b.1.c that maintain, for at least 12 

hours, over a temperature range of ±1 K 

around a standard temperature and at a 

standard pressure, all of the following: a 

‘‘resolution’’ over their full scale of 0.1 μm 

or less (better); and a ‘‘measurement 

uncertainty’’ equal to or less (better) than (0.2 

+ L/2,000) μm (L is the measured length in 

mm). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Computer controlled or ‘‘numerically 

controlled’’ co-ordinate measuring machines 

(CMM), having a three dimensional length 

(volumetric) maximum permissible error of 

indication (MPEE) at any point within the 

operating range of the machine (i.e., within 

the length of axes) equal to or less (better) 


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

length in mm) tested according to ISO 

10360–2 (2001); 

b. Linear and angular displacement 

measuring instruments, as follows: 

b.1. ‘Linear displacement’ measuring 

instruments having any of the following: 

Technical Note: For the purpose of 

2B006.b.1 ‘linear displacement’ means the 

change of distance between the measuring 

probe and the measured object. 

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

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

than 0.2 μm within a measuring range up to 

0.2 mm; 

b.1.b. Linear voltage differential 

transformer systems having all of the 

following: 

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

than 0.1% within a measuring range up to 5 

mm; and 

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

0.1% per day at a standard ambient test room 

temperature ±1 K; 

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

following: 

b.1.c.1. Containing a ‘‘laser’’; and 

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

at a temperature of 20 ± 1 °C, all of the 

following: 

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

scale of 0.1 μm or less (better); and 

b.1.c.2.b. Capable of achieving a 

‘‘measurement uncertainty’’, when 

compensated for the refractive index of air, 

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

μm (L is the measured length in mm); or 

b.1.d ‘‘Electronic assemblies’’ specially 

designed to provide feedback capability in 

systems controlled by 2B006.b.1.c; 

Note: 2B006.b.1 does not control 

measuring interferometer systems, with an 

automatic control system that is designed to 

use no feedback techniques, containing a 

‘‘laser’’ to measure slide movement errors of 

machine-tools, dimensional inspection 

machines or similar equipment. 

b.2. Angular displacement measuring 

instruments having an ‘‘angular position 

deviation’’ equal to or less (better) than 

0.00025°; 

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

instruments, such as autocollimators, using 

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

angular displacement of a mirror. 

c. Equipment for measuring surface 

irregularities, by measuring optical scatter as 

a function of angle, with a sensitivity of 0.5 

nm or less (better). 

Note: Machine tools, which can be used as 

measuring machines, are controlled if they 

meet or exceed the criteria specified for the 

machine tool function or the measuring 

machine function. 

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

Commerce Control List), Category 2 

Materials Processing, Export Control 

Classification Number (ECCN) 2B007 is 

amended by revising the NP paragraph 

in the License Requirements section and 

the Items paragraph of the List of Items 

Controlled section to read as follows: 

2B007 ‘‘Robots’’ having any of the 

following characteristics described in the 

List of Items Controlled and specially 

designed controllers and ‘‘end-effectors’’ 

therefor. 

License Requirements 

* * * * * 

Control(s) Country Chart 

NP applies to equipment that 

meets or exceeds the criteria in ECCNs 2B207.

NP Column 1. 

***

* * 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

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

modify ‘‘programs’’ or to generate or modify 

numerical program data; 

Technical Note: The ‘scene analysis’ 

limitation does not include approximation of 

the third dimension by viewing at a given 

angle, or limited grey scale interpretation for 

the perception of depth or texture for the 

approved tasks (21⁄2 D). 

b. Specially designed to comply with 

national safety standards applicable to 

potentially explosive munitions 

environments; 

Note: 2B007.b does not apply to ‘‘robots’’ 

specially designed for paint-spraying booths. 

c. Specially designed or rated as radiationhardened to withstand a total radiation dose 

greater than 5 × 103 Gy (silicon) without 

operational degradation; or 

Technical Note: The term Gy (silicon) 

refers to the energy in Joules per kilogram 

absorbed by an unshielded silicon sample 

when exposed to ionizing radiation. 

d. Specially designed to operate at 

altitudes exceeding 30,000m. 

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

Commerce Control List), Category 2 

Materials Processing, Export Control 

Classification Number (ECCN) 2B008 is 

amended by revising the Items 

paragraph in the List of Items Controlled 

section to read as follows: 

2B008 Assemblies or units, specially 

designed for machine tools, or dimensional 

inspection or measuring systems and 

equipment, as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

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

inductive type devices, graduated scales, 

infrared systems or ‘‘laser’’ systems) having 

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

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

length in mm); 

N.B.: For ‘‘laser’’ systems see also 

2B006.b.1.c and d. 

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

inductive type devices, graduated scales, 

infrared systems or ‘‘laser’’ systems) having 

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

N.B.: For ‘‘laser’’ systems see also 

2B006.b.2. 

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

spindles’’, capable of upgrading, according to 

the manufacturer’s specifications, machine 

tools to or above the levels controlled by 

2B001 to 2B009. 

■ 17. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3A001 is 

amended by: 

■ a. Revising the Heading; 

■ b. Revising the GBS paragraph of the 

License Exceptions section; 

■ c. Revising the Related Controls 

paragraph of the List of Items Controlled 

section; 

■ d. Removing the second sentence of 

the ‘‘Related Definitions’’ paragraph of 

the List of Items Controlled section; and 

■ e. Revising the Items paragraph in 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 

LVS: * * * 

GBS: Yes for 3A001.a.1.b, a.2 to a.12 

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

b.8 (except for TWTAs exceeding 18 GHz), 

b.9., and .g. 

CIV: * * * 

List of Items Controlled 

* * * * * 

Unit: Number.* * * 

Related Controls: (1) The following 

commodities are under the export licensing 

authority of the Department of State, 

Directorate of Defense Trade Controls (22 

CFR part 121) when ‘‘space qualified’’ and 

operating at frequencies higher than 31.8 

GHz: helix tubes (traveling wave tubes 

(TWT)) defined in 3A001.b.1.a.4.c; 

microwave solid state amplifiers defined in 

3A001.b.4.b traveling wave tube amplifiers 

(TWTA) defined in 3A001.b.8; and 

derivatives thereof; (2) The following 

commodities are also under the export 

licensing authority of the Department of 

State, Directorate of Defense Trade Controls 

(22 CFR part 121): (a) ‘‘Space qualified’’ solar 

cells, coverglass-interconnect-cells or 

covered-interconnect-cells (CIC) assemblies, 

solar arrays and/or solar panels, with a 

minimum average efficiency of 31% or 

greater measured at an operating temperature 

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

illumination with an irradiance of 1,367 

Watts per square meter (W/m2), and 

associated solar concentrators, power 

conditioners and/or controllers, bearing and 

power transfer assemblies, and deployment 


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hardware/systems; (b) Radiation-hardened 

microelectronic circuits controlled by 

Category XV (d) of the United States 

Munitions List (USML); and (c) All 

specifically designed or modified systems or 

subsystems, components, parts, accessories, 

attachments, and associated equipment 

controlled by Category XV (e) of the USML. 

See also 3A101, 3A201, and 3A991. 

* * * * * 

Items: 

a. General purpose integrated circuits, as 

follows: 

Note 1: The control status of wafers 

(finished or unfinished), in which the 

function has been determined, is to be 

evaluated against the parameters of 3A001.a. 

Note 2: Integrated circuits include the 

following types: 

‘‘Monolithic integrated circuits’’; 

‘‘Hybrid integrated circuits’’; 

‘‘Multichip integrated circuits’’; 

‘‘Film type integrated circuits’’, including 

silicon-on-sapphire integrated circuits; 

‘‘Optical integrated circuits’’. 

a.1. Integrated circuits designed or rated as 

radiation hardened to withstand any of the 

following: 

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

higher; 

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

s, or higher; or 

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

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

cm2 or higher on silicon, or its equivalent for 

other materials; 

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

Insulator Semiconductors (MIS). 

a.2. ‘‘Microprocessor microcircuits’’, 

‘‘microcomputer microcircuits’’, 

microcontroller microcircuits, storage 

integrated circuits manufactured from a 

compound semiconductor, analog-to-digital 

converters, digital-to-analog converters, 

electro-optical or ‘‘optical integrated circuits’’ 

designed for ‘‘signal processing’’, field 

programmable logic devices, custom 

integrated circuits for which either the 

function is unknown or the control status of 

the equipment in which the integrated circuit 

will be used is unknown, Fast Fourier 

Transform (FFT) processors, electrical 

erasable programmable read-only memories 

(EEPROMs), flash memories or static randomaccess memories (SRAMs), having any of the 

following: 

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

temperature above 398 K (125 °C); 

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

temperature below 218 K (¥55 °C); or 

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

ambient temperature range from 218 K (¥55 

°C) to 398 K (125 °C); 

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

integrated circuits for civil automobile or 

railway train applications. 

a.3. ‘‘Microprocessor microcircuits’’, 

‘‘microcomputer microcircuits’’ and 

microcontroller microcircuits, manufactured 

from a compound semiconductor and 

operating at a clock frequency exceeding 40 

MHz; 

Note: 3A001.a.3 includes digital signal 

processors, digital array processors and 

digital coprocessors. 

a.4. Storage integrated circuits 

manufactured from a compound 

semiconductor; 

a.5. Analog-to-digital and digital-to-analog 

converter integrated circuits, as follows: 

a.5.a. Analog-to-digital converters having 

any of the following: 

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

less than 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 200 million words per second; 

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

output rate greater than 105 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 10 million words per 

second; or 

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

with an output rate greater than 2.5 million 

words per second; 

a.5.b. Digital-to-analog converters with a 

resolution of 12 bit or more and a ‘‘settling 

time’’ of less than 10 ns; 

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 analog-todigital converter. 

3. The output rate is the maximum output 

rate of the converter, regardless of 

architecture or oversampling. 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). 

4. For the purpose of measuring output 

rate, one output word per second is 

equivalent to one Hertz or one sample per 

second. 

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

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

and having all of the following: 

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

‘‘laser’’ diode; 

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

detecting element; and 

a.6.c. Optical waveguides; 

a.7. ‘Field programmable logic devices’ 

having any of the following: 

a.7.a. An equivalent usable gate count of 

more than 30,000 (2 input gates); 

a.7.b. A typical ‘‘basic gate propagation 

delay time’’ of less than 0.1 ns; or 

a.7.c. A toggle frequency exceeding 133 

MHz; 

Note: 3A001.a.7 includes: 

—Simple Programmable Logic Devices 

(SPLDs), 

—Complex Programmable Logic Devices 

(CPLDs), 

—Field Programmable Gate Arrays (FPGAs), 

—Field Programmable Logic Arrays (FPLAs), 

and 

—Field Programmable Interconnects (FPICs). 

Technical Note: ‘Field programmable 

logic devices’ are also known as field 

programmable gate or field programmable 

logic arrays. 

a.8. [Reserved] 

a.9. Neural network integrated circuits; 

a.10. Custom integrated circuits for which 

the function is unknown, or the control 

status of the equipment in which the 

integrated circuits will be used is unknown 

to the manufacturer, having any of the 

following: 

a.10.a. More than 1,000 terminals; 

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

delay time’’ of less than 0.1 ns; or 

a.10.c. An operating frequency exceeding 3 

GHz; 

a.11. Digital integrated circuits, other than 

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

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

semiconductor and having any of the 

following: 

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

than 3,000 (2 input gates); or 

a.11.b. A toggle frequency exceeding 1.2 

GHz; 

a.12. Fast Fourier Transform (FFT) 

processors having a rated execution time for 

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

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

points; 

Technical Note: When N is equal to 1,024 

points, the formula in 3A001.a.12 gives an 

execution time of 500 μs. 

b. Microwave or millimeter wave 

components, as follows: 

b.1. Electronic vacuum tubes and cathodes, 

as follows: 

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

designed or rated for operation in any 

frequency band and having all of the 

following: 

a. Does not exceed 31.8 GHz; and 

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

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

‘‘space-qualified’’ tubes having all the 

following: 

(a) An average output power equal to or 

less than 50 W; and 

(b) Designed or rated for operation in any 

frequency band and having all of the 

following: 

(1) Exceeds 31.8 GHz but does not exceed 

43.5 GHz; and 

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

b.1.a. Traveling wave tubes, pulsed or 

continuous wave, as follows: 

b.1.a.1. Tubes operating at frequencies 

exceeding 31.8 GHz; 

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

element with a turn on time to rated RF 

power of less than 3 seconds; 

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

derivatives thereof, with a ‘‘fractional 

bandwidth’’ of more than 7% or a peak 

power exceeding 2.5 kW; 

b.1.a.4. Helix tubes, or derivatives thereof, 

having any of the following: 

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

more than one octave, and average power 

(expressed in kW) times frequency 

(expressed in GHz) of more than 0.5; 

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

one octave or less, and average power 

(expressed in kW) times frequency 

(expressed in GHz) of more than 1; or 


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Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 60925 

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

b.1.b. Crossed-field amplifier tubes with a 

gain of more than 17 dB; 

b.1.c. Impregnated cathodes designed for 

electronic tubes producing a continuous 

emission current density at rated operating 

conditions exceeding 5 A/cm2; 

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 

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 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; 

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 GHz. 

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

broadcast satellite equipment designed or 

rated to operate in the frequency range of 

40.5 to 42.5 GHz. 

Note 2: The control status of the MMIC 

whose rated operating frequency includes 

frequencies listed in more than one frequency 

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

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

average output power control threshold. 

Note 3: Notes 1 and 2 following the 

Category 3 heading for 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 

GHz and having an average output power 

greater than 60W (47.8 dBm); 

b.3.b. Rated for operation at frequencies 

exceeding 6 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; 

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 

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 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; 

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; 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 3A001.b.4.f.3., for amplifiers that 

have a rated operation range extending 

downward to 3.2 GHz and below [d ≤ 15 

cm*GHz/3.2 fGHz]. 

N.B.: MMIC power amplifiers should be 

evaluated against the criteria in 3A001.b.2. 

Note 1: 3A001.b.4. does not control 

broadcast satellite equipment designed or 

rated to operate in the frequency range of 

40.5 to 42.5 GHz. 

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.5. Electronically or magnetically tunable 

band-pass or band-stop filters, having more 

than 5 tunable resonators capable of tuning 

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

less than 10 μs and having any of the 

following: 

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

0.5% of center frequency; or 

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

0.5% of center frequency; 

b.6. [Reserved] 

b.7. Converters and harmonic mixers, 

designed to extend the frequency range of 

equipment described in 3A002.c, 3A002.d, 

3A002.e or 3A002.f beyond the limits stated 

therein; 

b.8. Microwave power amplifiers 

containing tubes controlled by 3A001.b.1 and 

having all of the following: 

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

b.8.b. An average output power density 

exceeding 80 W/kg; and 

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

Note: 3A001.b.8 does not control 

equipment designed or rated for operation in 

any frequency band which is ‘‘allocated by 

the ITU’’ for radio-communications services, 

but not for radio-determination. 

b.9. Microwave power modules (MPM), 

consisting of, at least, a traveling wave tube, 

a microwave ‘‘monolithic integrated circuit’’ 

and an integrated electronic power 

conditioner and having all of the following: 

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

operational in less than 10 seconds; 

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

rated power in Watts multiplied by 10 

cm3/W; and 

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

greater than 1 octave (fmax. > 2fmin,) and 

having any of the following: 

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

than 18 GHz, an RF output power greater 

than 100 W; or 

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

Technical Notes: 

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

the following example is provided: for a 

maximum rated power of 20 W, the volume 

would be: 20 W × 10 cm3/W = 200 cm3. 

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

to the time from fully-off to fully operational, 

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

MPM. 

c. Acoustic wave devices as follows and 

specially designed components therefor: 

c.1. Surface acoustic wave and surface 

skimming (shallow bulk) acoustic wave 

devices (i.e., ‘‘signal processing’’ devices 

employing elastic waves in materials), having 

any of the following: 

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

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

but not exceeding 6 GHz and having any of 

the following: 

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

exceeding 55 dB; 

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

time and the bandwidth (time in μs and 

bandwidth in MHz) of more than 100; 

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

MHz; or 

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

μs; or 

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

and having any of the following: 

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

time and the bandwidth (time in μs and 

bandwidth in MHz) of more than 100; 

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

μs; or 

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

exceeding 55 dB and a bandwidth greater 

than 100 MHz; 

c.2. Bulk (volume) acoustic wave devices 

(i.e., ‘‘signal processing’’ devices employing 

elastic waves) that permit the direct 

processing of signals at frequencies 

exceeding 2.5 GHz; 

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

devices employing interaction between 

acoustic waves (bulk wave or surface wave) 

and light waves that permit the direct 

processing of signals or images, including 

spectral analysis, correlation or convolution; 


sroberts on PROD1PC70 with RULES
60926 Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 

d. Electronic devices and circuits 

containing components, manufactured from 

‘‘superconductive’’ materials, specially 

designed for operation at temperatures below 

the ‘‘critical temperature’’ of at least one of 

the ‘‘superconductive’’ constituents and 

having any of the following: 

d.1. Current switching for digital circuits 

using ‘‘superconductive’’ gates with a 

product of delay time per gate (in seconds) 

and power dissipation per gate (in watts) of 

less than 10¥14 J; or 

d.2. Frequency selection at all frequencies 

using resonant circuits with Q-values 

exceeding 10,000; 

e. High energy devices as follows: 

e.1. ‘Cells’ and photovoltaic arrays as 

follows: 

e.1.a. ‘Primary cells’ having an ‘energy 

density’ exceeding 550 Wh/kg at 293 K (20 

°C); 

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

density’ exceeding 250 Wh/kg at 293 K (20 

°C); 

Technical Notes:

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

density’ (Wh/kg) is calculated from the 

nominal voltage multiplied by the nominal 

capacity in ampere-hours (Ah) divided by the 

mass in kilograms. If the nominal capacity is 

not stated, energy density is calculated from 

the nominal voltage squared then multiplied 

by the discharge duration in hours divided by 

the discharge load in Ohms and the mass in 

kilograms. 

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

defined as an electrochemical device, which 

has positive and negative electrodes, an 

electrolyte, and is a source of electrical 

energy. It is the basic building block of a 

battery. 

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

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

to be charged by any other source. 

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

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

be charged by an external electrical source. 

Note: 3A001.e. does not control batteries, 

including single-cell batteries. 

e.2. High energy storage capacitors as 

follows: 

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

less than 10 Hz (single shot capacitors) and 

having all of the following: 

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

than 5 kV; 

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

than 250 J/kg; and 

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

than 25 kJ; 

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

10 Hz or more (repetition rated capacitors) 

and having all of the following: 

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

than 5 kV; 

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

than 50 J/kg; 

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

than 100 J; and 

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

to or more than 10,000; 

e.3. ‘‘Superconductive’’ electromagnets and 

solenoids, specially designed to be fully 

charged or discharged in less than one 

second and having all of the following: 

Note: 3A001.e.3 does not control 

‘‘superconductive’’ electromagnets or 

solenoids specially designed for Magnetic 

Resonance Imaging (MRI) medical 

equipment. 

e.3.a. Energy delivered during the 

discharge exceeding 10 kJ in the first second; 

e.3.b. Inner diameter of the current 

carrying windings of more than 250 mm; and 

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

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

in the winding of more than 300 A/mm2; 

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

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

having a minimum average efficiency 

exceeding 20% at an operating temperature 

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

illumination with an irradiance of 1,367 

Watts per square meter (W/m2). 

Technical Note: ‘AM0’, or ‘Air Mass 

Zero’, refers to the spectral irradiance of sun 

light in the earth’s outer atmosphere when 

the distance between the earth and sun is one 

astronomical unit (AU). 

f. Rotary input type shaft absolute position 

encoders having any of the following: 

f.1. A resolution of better than 1 part in 

265,000 (18 bit resolution) of full scale; or 

f.2. An accuracy better than ± 2.5 seconds 

of arc; 

g. Solid-state pulsed power switching 

thyristor devices and ‘thyristor modules’, 

using either electrically, optically, or electron 

radiation controlled switch methods and 

having any of the following: 

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

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

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

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

having all of the following: 

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

greater than 3,000 V; and 

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

greater than 3,000 A. 

Note 1: 3A001.g. includes: 

—Silicon Controlled Rectifiers (SCRs) 

—Electrical Triggering Thyristors (ETTs) 

—Light Triggering Thyristors (LTTs) 

—Integrated Gate Commutated Thyristors 

(IGCTs) 

—Gate Turn-off Thyristors (GTOs) 

—MOS Controlled Thyristors (MCTs) 

—Solidtrons 

Note 2: 3A001.g. does not control thyristor 

devices and ‘thyristor modules’ incorporated 

into equipment designed for civil railway or 

‘‘civil aircraft’’ applications. 

■ 18. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3A002 is 

amended by revising the Heading, and 

the Related Controls and Items 

paragraphs in the List of Items 

Controlled section, to read as follows: 

3A002 General purpose electronic 

equipment and accessories therefor, as 

follows (see List of Items Controlled). 

* * * * * 

List of Items Controlled 

Unit: * * * 

Related Controls: ‘‘Space qualified’’ atomic 

frequency standards defined in 3A002.g.1 are 

subject to the export licensing authority of 

the Department of State, Directorate of 

Defense Trade Controls (22 CFR part 121.1, 

Category XV). See also 3A292 and 3A992. 

Related Definitions: * * * 

Items: 

a. Recording equipment as follows and 

specially designed test tape therefor: 

a.1. Analog instrumentation magnetic tape 

recorders, including those permitting the 

recording of digital signals (e.g., using a high 

density digital recording (HDDR) module), 

having any of the following: 

a.1.a. A bandwidth exceeding 4 MHz per 

electronic channel or track; 

a.1.b. A bandwidth exceeding 2 MHz per 

electronic channel or track and having more 

than 42 tracks; or 

a.1.c. A time displacement (base) error, 

measured in accordance with applicable IRIG 

or EIA documents, of less than ± 0.1 μs; 

Note: Analog magnetic tape recorders 

specially designed for civilian video purposes 

are not considered to be instrumentation tape 

recorders. 

a. 2. Digital video magnetic tape recorders 

having a maximum digital interface transfer 

rate exceeding 360 Mbit/s; 

Note: 3A002.a.2 does not control digital 

video magnetic tape recorders specially 

designed for television recording using a 

signal format, which may include a 

compressed signal format, standardized or 

recommended by the ITU, the IEC, the 

SMPTE, the EBU , the ETSI, or the IEEE for 

civil television applications. 

a.3. Digital instrumentation magnetic tape 

data recorders employing helical scan 

techniques or fixed head techniques and 

having any of the following: 

a.3.a. A maximum digital interface transfer 

rate exceeding 175 Mbit/s; or 

a.3.b. Being ‘‘space qualified’’; 

Note: 3A002.a.3 does not control analog 

magnetic tape recorders equipped with 

HDDR conversion electronics and configured 

to record only digital data. 

a.4. Equipment having a maximum digital 

interface transfer rate exceeding 175 Mbit/s 

and designed to convert digital video 

magnetic tape recorders for use as digital 

instrumentation data recorders; 

a.5. Waveform digitizers and transient 

recorders, having all of the following: 

N.B.: See also 3A292. 

a.5.a. Digitizing rates equal to or more than 

200 million samples per second and a 

resolution of 10 bits or more; and 

a.5.b. A ‘continuous throughput’ of 

2 Gbit/s or more; 

Technical Notes: 

1. For those instruments with a parallel bus 

architecture, the ‘continuous throughput’ 

rate is the highest word rate multiplied by the 

number of bits in a word. 

2. ‘Continuous throughput’ is the fastest 

data rate the instrument can output to mass 

storage without the loss of any information 

while sustaining the sampling rate and 

analog-to-digital conversion. 


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Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 60927 

a.6. Digital instrumentation data recorders, 

using magnetic disk storage technique and 

having all of the following: 

a.6.a. Digitizing rate equal to or more than 

100 million samples per second and a 

resolution of 8 bits or more; and 

a.6.b. A ‘continuous throughput’ of 

1 Gbit/s or more; 

b. ‘‘Frequency synthesizer’’ ‘‘electronic 

assemblies’’ having a ‘‘frequency switching 

time’’ from one selected frequency to another 

of less than 1 ms; 

Note: The control status of ‘‘signal 

analyzers’’, signal generators, network 

analyzers, and microwave test receivers as 

stand-alone instruments is determined by 

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

respectively. 

c. Radio-frequency ‘‘signal analyzers’’ as 

follows: 

c.1. ‘‘Signal analyzers’’ capable of 

analyzing any frequencies exceeding 31.8 

GHz but not exceeding 37.5 GHz and having 

a 3 dB resolution bandwidth (RBW) 

exceeding 10 MHz; 

c.2. ‘‘Signal analyzers’’ capable of 

analyzing frequencies exceeding 43.5 GHz; 

c.3. ‘‘Dynamic signal analyzers’’ having a 

‘‘real-time bandwidth’’ exceeding 500 kHz; 

Note: 3A002.c.3 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. A maximum synthesized frequency 

exceeding 31.8 GHz, but not exceeding 43.5 

GHz and rated to generate a ‘pulse duration’ 

of less than 100 ns; 

d.2. A maximum synthesized frequency 

exceeding 43.5 GHz; 

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

one selected frequency to another as 

specified by any of the following: 

d.3.a. Less than 10 ns; 

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; or 

d.3.e. Less than 1 ms within the 

synthesized frequency range exceeding 43.5 

GHz; or 

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

better than ¥(126 + 20 log 10F)¥ 20 log 10f) 

in dBc/Hz, where F is the off-set from the 

operating frequency in Hz and f is the 

operating frequency in MHz; 

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

frequency synthesized signal generators 

includes 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. 

Note: 3A002.d does not control equipment 

in which the output frequency is either 

produced by the addition or subtraction of 

two or more crystal oscillator frequencies, or 

by an addition or subtraction followed by a 

multiplication of the result. 

e. Network analyzers with a maximum 

operating frequency exceeding 43.5 GHz; 

f. Microwave test receivers having all of the 

following: 

f.1. A maximum operating frequency 

exceeding 43.5 GHz; and 

f.2. Being capable of measuring amplitude 

and phase simultaneously; 

g. Atomic frequency standards being any of 

the following: 

g.1. ‘‘Space qualified’’; 

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

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

or 

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

of the following: 

g.3.a. Being a rubidium standard; 

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

1 × 10¥11/month; and 

g.3.c. Total power consumption of less 

than 1 Watt. 

■ 19. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3A229 is 

amended by revising the Related 

Controls paragraph, to read as follows: 

3A229 Firing sets and equivalent highcurrent pulse generators (for detonators 

controlled by 3A232), as follows (see List of 

Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: (1) See ECCNs 3E001 and 

1E001(’’development’’ and ‘‘production’’) 

and 3E201 and 1E201 (‘‘use’’) for technology 

for items controlled under this entry. (2) High 

explosives and related equipment for military 

use are subject to the export licensing 

authority of the U.S. Department of State, 

Directorate of Defense Trade Controls (see 22 

CFR part 121). 

* * * * * 

■ 20. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3A232 is 

amended by revising the Related 

Controls and Items paragraphs in the 

List of Items Controlled section, to read 

as follows: 

3A232 Detonators and multipoint initiation 

systems, as follows (see List of Items 

Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: (1) See 1A007 for 

electrically driven explosive detonators. (2) 

See ECCNs 3E001 (‘‘development’’ and 

‘‘production’’) and 3E201 (‘‘use’’) for 

technology for items controlled under this 

entry. (3) High explosives and related 

equipment for military use are subject to the 

export licensing authority of the U.S. 

Department of State, Directorate of Defense 

Trade Controls (see 22 CFR part 121). 

* * * * * 

Items: 

a. [Reserved] 

b. Arrangements using single or multiple 

detonators designed to nearly simultaneously 

initiate an explosive surface over an area 

greater than 5,000 mm2 from a single firing 

signal with an initiation timing spread over 

the surface of less than 2.5 μs. 

Technical Note: The word initiator is 

sometimes used in place of the word 

detonator. 

■ 21. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3A991 

amended by adding a new paragraph (o) 

to the Items paragraph in the List of 

Items Controlled section, to read as 

follows: 

3A991 Electronic devices and components 

not controlled by 3A001. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

o. Solar cells, cell-interconnect-coverglass 

(CIC) assemblies, solar panels, and solar 

arrays, which are ‘‘space qualified’’ and not 

controlled by 3A001.e.4. 

■ 22. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3B001 is 

amended by revising the Heading and 

the Items paragraph in the List of Items 

Controlled section, to read as follows: 

3B001 Equipment for the manufacturing of 

semiconductor devices or materials, as 

follows (see List of Items Controlled) and 

specially designed components and 

accessories therefor. 

* * * * * 


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60928 Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 

List of Items Controlled 

* * * * * 

Items: 

a. Equipment designed for epitaxial growth 

as follows: 

a.1. Equipment capable of producing a 

layer of any material other than silicon with 

a thickness uniform to less than ±2.5% across 

a distance of 75 mm or more; 

a.2. Metal Organic Chemical Vapor 

Deposition (MOCVD) reactors specially 

designed for compound semiconductor 

crystal growth by the chemical reaction 

between materials controlled by 3C003 or 

3C004; 

a.3. Molecular beam epitaxial growth 

equipment using gas or solid sources; 

b. Equipment designed for ion 

implantation and having any of the 

following: 

b.1. A beam energy (accelerating voltage) 

exceeding 1MeV; 

b.2. Being specially designed and 

optimized to operate at a beam energy 

(accelerating voltage) of less than 2 keV; 

b.3. Direct write capability; or 

b.4. A beam energy of 65 keV or more and 

a beam current of 45 mA or more for high 

energy oxygen implant into a heated 

semiconductor material ‘‘substrate’’; 

c. Anisotropic plasma dry etching 

equipment as follows: 

c.1. Equipment with cassette-to-cassette 

operation and load-locks, and having any of 

the following: 

c.1.a. Designed or optimized to produce 

critical dimensions of 180 nm or less with 

±5% 3 sigma precision; or 

c.1.b. Designed for generating less than 

0.04 particles/cm2 with a measurable particle 

size greater than 0.1 μm in diameter; 

c.2. Equipment specially designed for 

equipment controlled by 3B001.e. and having 

any of the following: 

c.2.a. Designed or optimized to produce 

critical dimensions of 180 nm or less with 

±5% 3 sigma precision; or 

c.2.b. Designed for generating less than 

0.04 particles/cm2 with a measurable particle 

size greater than 0.1 μm in diameter; 

d. Plasma enhanced Chemical Vapor 

Deposition (CVD) equipment as follows: 

d.1. Equipment with cassette-to-cassette 

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 180 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 180 nm or less; 

e. Automatic loading multi-chamber 

central wafer handling systems having all of 

the following: 

e.1. Interfaces for wafer input and output, 

to which more than two pieces of 

semiconductor processing equipment are to 

be connected; and 

e.2. Designed to form an integrated system 

in a vacuum environment for sequential 

multiple wafer processing; 

Note: 3B001.e. does not control automatic 

robotic wafer handling systems not designed 

to operate in a vacuum environment. 

f. Lithography equipment as follows: 

f.1. Align and expose step and repeat 

(direct step on wafer) or step and scan 

(scanner) equipment for wafer processing 

using photo-optical or X-ray methods and 

having any of the following: 

f.1.a. A light source wavelength shorter 

than 245 nm; or 

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

a ‘minimum resolvable feature size’ of 180 

nm or less; 

Technical Note: The ‘minimum 

resolvable feature size’ is calculated by the 

following formula: 

MRF = ( )( ) an exposure light source wavelength in nm K factor ×

numerical aperture

Where the K factor = 0.45 

MRF = ‘minimum resolvable feature size’. 

f.2 Imprint lithography equipment capable 

of production features of 180 nm or less; 

Note: 3B001.f.2 includes: 

—Micro contact printing tools 

—Hot embossing tools 

—Nano-imprint lithography tools 

—Step and flash imprint lithography (S-FIL) 

tools. 

f.3. Equipment specially designed for mask 

making or semiconductor device processing 

using direct writing methods and having all 

of the following: 

f.3.a. Using deflected focused electron 

beam, ion beam or ‘‘laser’’ beam; and 

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

f.3.b.1. A spot size smaller than 0.2 μm; 

f.3.b.2. Being capable of producing a 

pattern with a feature size of less than 1 μm; 

or 

f.3.b.3. An overlay accuracy of better than 

±0.20 μm (3 sigma); 

g. Masks and reticles, designed for 

integrated circuits controlled by 3A001; 

h. Multi-layer masks with a phase shift 

layer; 

Note: 3B001.h. does not control multi-layer 

masks with a phase shift layer designed for 

the fabrication of memory devices not 

controlled by 3A001. 

i. Imprint lithography templates designed 

for integrated circuits by 3A001. 

■ 23. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3C002 is 

amended by: 

■ a. Revising the Heading; 

■ b. Revising the GBS and CIV 

paragraphs in the License Exception 

section; and 

■ c. Replacing the semicolon with a 

period at the end of paragraph d; and 

■ d. Adding paragraph e to the Items 

paragraph in the List of Items Controlled 

section, to read as follows: 

3C002 Resist materials as follows (see List 

of Items Controlled) and ‘‘substrates’’ coated 

with the following resists. 

* * * * * 

License Exceptions 

* * * * * 

GBS: Yes for positive resists not optimized 

for photolithography at a wavelength of less 

than 365 nm, provided that they are not 

controlled by 3C002.b through .e. 

CIV: Yes for positive resists not optimized 

for photolithography at a wavelength of less 

than 365 nm, provided that they are not 

controlled by 3C002.b through .e. 

List of Items Controlled 

* * * * * 

Items: 

* * * * * 

e. All resists designed or optimized for use 

with imprint lithography equipment 

specified by 3B001.f.2. that use either a 

thermal or photo-curable process. 

■ 24. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3C005 is 

amended by revising the Heading, to 

read as follows: 

3C005 Silicon carbide (SiC), gallium 

nitride (GaN), aluminum nitride (AlN) or 

aluminum gallium nitride (AlGaN) 

‘‘substrates’’, or ingots, boules, or other 

preforms of those materials, having 

resistivities greater than 10,000 ohm-cm at 

20 ≥C. 

* * * * * 

■ 25. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3C006 is 

added after ECCN 3C005, to read as 

follows: 

3C006 ‘‘Substrates’’ specified in 3C005 

with at least one epitaxial layer of silicon 

carbide, gallium nitride, aluminum nitride 

or aluminum gallium nitride. 

License Requirements 

Reason for Control: NS, AT 

Control(s) Country Chart 

NS applies to entire entry ..... NS Column 2. 

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


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Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 60929 

License Exceptions 

LVS: $3000 

GBS: Yes 

CIV: Yes 

List of Items Controlled 

Unit: $ value 

Related Controls: See ECCN 3D001 for 

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

‘‘software’’, ECCN 3E001 for related 

‘‘development’’ and ‘‘production’’ 

‘‘technology’’, and ECCN 3B991.b.1.b for 

related ‘‘production’’ equipment. 

Related Definition: N/A 

Items: 

The list of items controlled is contained in 

the ECCN heading. 

■ 26. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3D001 is 

amended by: 

(a) Revising the Related Controls 

paragraph of the List of Items Controlled 

section; and 

(b) Removing the text of the Related 

Definitions paragraph of the List of 

Items Controlled section and replacing 

it with ‘‘N/A’’ to read as follows: 

3D001 ‘‘Software’’ specially designed for 

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

equipment controlled by 3A001.b to 3A002.g 

or 3B (except 3B991 and 3B992). 

List of Items Controlled 

Unit: * * * 

Related Controls: ‘‘Software’’ specially 

designed for the ‘‘development’’ or 

‘‘production’’ of the following equipment is 

under the export licensing authority of the 

Department of State, Directorate of Defense 

Trade Controls (22 CFR part 121): (1.) When 

operating at frequencies higher than 31.8 

GHz and ‘‘space qualified’’: Helix tubes 

(traveling wave tubes (TWT)) defined in 

3A001.b.1.a.4.c; microwave solid state 

amplifiers defined in 3A001.b.4.b; and 

traveling wave tube amplifiers (TWTA) 

defined in 3A001.b.8; (2.) ‘‘Space qualified’’ 

solar cells, coverglass-interconnect-cells or 

covered-interconnect-cells (CIC) assemblies, 

solar arrays, and/or solar panels, with a 

minimum average efficiency of 31% or 

greater at an operating temperature of 301 °K 

(28 °C) under simulated ‘AM0’ illumination 

with an irradiance of 1,367 Watts per square 

meter (W/m2), and associated solar 

concentrators, power conditioners, and/or 

controllers, bearing and power transfer 

assemblies, and deployment hardware/ 

systems. (3.) ‘‘Space qualified’’ atomic 

frequency standards defined in 3A002.g.2. 

See also 3D101. 

Related Definitions: N/A 

Items: * * * 

■ 27. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 3 

Electronics, Export Control 

Classification Number (ECCN) 3E001 is 

amended by: 

■ a. Revising the Heading; 

■ b. Revising the NS column 1 

paragraph of the License Requirements 

section; 

■ c. Revising the Related Controls 

paragraph of the List of Items Controlled 

section; 

■ d. Revising the License Exceptions 

section; 

■ e. Removing the text of the Related 

Definitions paragraph of the List of 

Items and replacing it with ‘‘N/A’’; and 

■ f. Revising the technical note in the 

Items paragraph of the List of Items 

Controlled section, to read as follows: 

3E001 ‘‘Technology’’ according to the 

General Technology Note for the 

‘‘development’’ or ‘‘production’’ of 

equipment or materials controlled by 3A 

(except 3A292, 3A980, 3A981, 3A991 3A992, 

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

(except 3C992). 

License Requirements 

* * * * * 

Control(s) Country Chart 

NS applies to ‘‘technology’’ 

for items controlled by 

3A001, 3A002, 

3B001,3B002, or 3C001 to 

3C006.

NS Column 1. 

* * * * * 

License Exceptions 

CIV: N/A 

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

‘‘technology’’ specially designed for the 

‘‘development’’ or ‘‘production’’ of: (a) 

Traveling Wave Tube Amplifiers described in 

3A001.b.8, having operating frequencies 

exceeding 19 Ghz; and (b) solar cells, 

coverglass-interconnect-cells or coveredinterconnect-cells (CIC) assemblies, solar 

arrays and/or solar panels, which are ‘‘space 

qualified,’’ having a minimum average 

efficiency exceeding 20% but less than 31% 

described in 3A001.e.4. 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: (1) See also 3E101 and 

3E201. (2)’’Technology’’ according to the 

General Technology Note for the 

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

following commodities is under the export 

licensing authority of the Department of 

State, Directorate of Defense Trade Controls 

(22 CFR part 121): (a) When operating at 

frequencies higher than 31.8 GHz and ‘‘space 

qualified’’: helix tubes (traveling wave tubes 

(TWT)) defined in 3A001.b.1.a.4.c; 

microwave solid state amplifiers defined in 

3A001.b.4.b; or traveling wave tube 

amplifiers (TWTA) defined in 3A001.b.8; (b) 

‘‘Space qualified’’ solar cells, coverglassinterconnect-cells or covered-interconnectcells (CIC) assemblies, solar arrays, and/or 

solar panels, with a minimum average 

efficiency of 31% or greater at an operating 

temperature of 301 °K (28 °C) under 

simulated ‘AM0’ illumination with an 

irradiance of 1,367 Watts per square meter 

(W/m2), and associated solar concentrators, 

power conditioners, and/or controllers, 

bearing and power transfer assemblies, and 

deployment hardware/systems. and (c) 

‘‘Space qualified’’ atomic frequency 

standards defined in 3A002.g.2. 

Related Definition: N/A 

Items: 

* * * * * 

Technical Note: Multi-layer structures in 

Note 2 of 3E001 do not include devices 

incorporating a maximum of three metal 

layers and three polysilicon layers. 

28. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 5 

Telecommunications and ‘‘Information 

Security’’, Part I Telecommunications, 

Export Control Classification Number 

(ECCN) 5A001 is amended by revising 

the Heading and 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). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Any type of telecommunications 

equipment having any of the following 

characteristics, functions or features: 

a.1. Specially designed to withstand 

transitory electronic effects or 

electromagnetic pulse effects, both arising 

from a nuclear explosion; 

a.2. Specially hardened to withstand 

gamma, neutron or ion radiation; or 

a.3. Specially designed to operate outside 

the temperature range from 218 K (¥55 °C) 

to 397 K (124 °C); 

Note: 5A001.a.3 applies only to electronic 

equipment. 

Note: 5A001.a.2 and 5A001.a.3 do not 

apply to equipment designed or modified for 

use on board satellites. 

b. Telecommunication systems and 

equipment, and specially designed 

components and accessories therefor, having 

any of the following characteristics, functions 

or features: 

b.1 Being underwater untethered 

communications systems having any of the 

following: 

b.1.a. An acoustic carrier frequency outside 

the range from 20 kHz to 60 kHz; 

b.1.b. Using an electromagnetic carrier 

frequency below 30 kHz; or 

b.1.c. Using electronic beam steering 

techniques; or 

b.1.d. Using ‘‘lasers’’ or light-emitting 

diodes (LEDs) with an output wavelength 

greater than 400 nm and less than 700 nm, 

in a ‘‘local area network’’; 

b.2. Being radio equipment operating in the 

1.5 MHz to 87.5 MHz band and having all of 

the following: 

b.2.a.. Automatically predicting and 

selecting frequencies and ‘‘total digital 

transfer rates’’ per channel to optimize the 

transmission; and 


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b.2.b. Incorporating a linear power 

amplifier configuration having a capability to 

support multiple signals simultaneously at 

an output power of 1 kW or more in the 

frequency range of 1.5 MHz or more but less 

than 30 MHz, or 250 W or more in the 

frequency range of 30 MHz or more but not 

exceeding 87.5 MHz, over an ‘‘instantaneous 

bandwidth’’ of one octave or more and with 

an output harmonic and distortion content of 

better than ¥80 dB; 

b.3. Being radio equipment employing 

‘‘spread spectrum’’ techniques, including 

‘‘frequency hopping’’ techniques, not 

controlled in 5A001.b.4 and having any of 

the following: 

b.3.a. User programmable spreading codes; 

or 

b.3.b. A total transmitted bandwidth which 

is 100 or more times the bandwidth of any 

one information channel and in excess of 50 

kHz; 

Note: 5A001.b.3.b does not control radio 

equipment specially designed for use with 

civil cellular radio-communications systems. 

Note: 5A001.b.3 does not control 

equipment operating at an output power of 

1 W or less. 

b.4. Being radio equipment employing 

ultra-wideband modulation techniques, 

having user programmable channelizing 

codes, scrambling codes, or network 

identification codes and having any of the 

following: 

b.4.a. A bandwidth exceeding 500 MHz; or 

b.4.b. A ‘‘fractional bandwidth’’ of 20% or 

more; 

b.5. Being digitally controlled radio 

receivers having all of the following: 

b.5.a. More than 1,000 channels; 

b.5.b. A ‘‘frequency switching time’’ of less 

than 1 ms; 

b.5.c. Automatic searching or scanning of 

a part of the electromagnetic spectrum; and 

b.5.d. Identification of the received signals 

or the type of transmitter; or 

Note: 5A001.b.5 does not control radio 

equipment specially designed for use with 

civil cellular radio-communications systems. 

b.6. Employing functions of digital ‘‘signal 

processing’’ to provide ‘voice coding’ output 

at rates of less than 2,400 bit/s. 

Technical Notes: 1. For variable rate 

‘voice coding’, 5A001.b.6 applies to the ’voice 

coding’ output of continuous speech. 

2. For the purpose of 5A001.b.6, ‘voice 

coding’ is defined as the technique to take 

samples of human voice and then convert 

these samples of human voice and then 

convert these samples into a digital signal 

taking into account specific characteristics of 

human speech. 

c. Optical fiber communication cables, 

optical fibers and accessories, as follows: 

c.1. Optical fibers of more than 500 m in 

length specified by the manufacturer as being 

capable of withstanding a ‘proof test’ tensile 

stress of 2 × 109 N/m2 or more; 

Technical Note: ‘Proof Test’: on-line or 

off-line production screen testing that 

dynamically applies a prescribed tensile 

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

running rate of 2 to 5 m/s while passing 

between capstans approximately 150 mm in 

diameter. The ambient temperature is a 

nominal 293 K (20 °C) and relative humidity 

40%. Equivalent national standards may be 

used for executing the proof test. 

c.2. Optical fiber cables and accessories, 

designed for underwater use; 

Note: 5A001.c.2 does not control standard 

civil telecommunication cables and 

accessories. 

N.B. 1: For underwater umbilical cables, 

and connectors thereof, see 8A002.a.3. 

N.B. 2: For fiber-optic hull penetrators or 

connectors, see 8A002.c. 

d. ‘‘Electronically steerable phased array 

antennae’’ operating above 31.8 GHz; 

Note: 5A001.d does not control 

‘‘electronically steerable phased array 

antennae’’ for landing systems with 

instruments meeting ICAO standards 

covering Microwave Landing Systems (MLS). 

e. Radio direction finding equipment 

operating at frequencies above 30 MHz and 

having all of the following, and specially 

designed components therefor: 

e.1. ‘‘Instantaneous bandwidth’’ of 10 MHz 

or more; and 

e.2. Capable of finding a Line Of Bearing 

(LOB) to non-cooperating radio transmitters 

with a signal duration of less than 1 ms; 

f. Jamming equipment specially designed 

or modified to intentionally and selectively 

interfere with, deny, inhibit, degrade or 

seduce mobile telecommunication services 

and having any of the following 

characteristics, and specially designed 

components therefor: 

f.1. Simulating the functions of Radio 

Access Network (RAN) equipment; or 

f.2. Detecting and exploiting specific 

characteristics of the mobile 

telecommunications protocol employed (e.g., 

GSM); 

N.B.: For GNSS jamming equipment see 

the Munitions List. 

g. Passive Coherent Location (PCL) systems 

or equipment, specially designed for 

detecting and tracking moving objects by 

measuring reflections of ambient radio 

frequency emissions, supplied by non-radar 

transmitters. 

Technical Note: Non-radar transmitters 

may include commercial radio, television or 

cellular telecommunications base stations. 

Note: 5A001.g. does not control: 

a. Radio-astronomical equipment; or 

b. Systems or equipment, that require any 

radio transmission from the target. 

■ 29. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 5 

Telecommunications and ‘‘Information 

Security’’, Part 2 Information Security, 

Export Control Classification Number 

(ECCN) 5A002 is amended by revising 

the Heading and the Items paragraph of 

the List of Items Controlled section, to 

read as follows: 

5A002 ‘‘Information security’’ systems, 

equipment and components therefor, as 

follows (see List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

Note: 5A002 does not control any of the 

following. However, these items are instead 

controlled under 5A992: 

(a) ‘‘Personalized smart cards’’ having any 

of the following: 

(1) Where the cryptographic capability is 

restricted for use in equipment or systems 

excluded from control paragraphs (b) 

through (g) of this Note; or 

(2) For general public-use applications 

where the cryptographic capability is not 

user-accessible and it is specially designed 

and limited to allow protection of personal 

data stored within; 

N.B.: If a ‘‘personalized smart card’’ has 

multiple functions, the control status of each 

function is assessed individually. 

(b) Receiving equipment for radio 

broadcast, pay television or similar restricted 

audience broadcast of the consumer type, 

without digital encryption except that 

exclusively used for sending the billing or 

program-related information back to the 

broadcast providers; 

(c) Equipment where the cryptographic 

capability is not user-accessible and which is 

specially designed and limited to allow any 

of the following: 

(1) Execution of copy-protected ‘‘software’’; 

(2) Access to any of the following: 

(a) Copy-protected contents stored on readonly media; or 

(b) Information stored in encrypted form 

on media (e.g., in connection with the 

protection of intellectual property rights) 

where the media is offered for sale in 

identical sets to the public; 

(3) Copying control of copyright protected 

audio/video data; or 

(4) Encryption and/or decryption for 

protection of libraries, design attributes, or 

associated data for the design of 

semiconductor devices or integrated circuits; 

(d) Cryptographic equipment specially 

designed and limited for banking use or 

’money transactions’; 

Technical Note: The term ‘money 

transactions’ includes the collection and 

settlement of fares or credit functions. 

(e) Portable or mobile radiotelephones for 

civil use (e.g., for use with commercial civil 

cellular radio communication systems) that 

are not capable of transmitting encrypted 

data directly to another radiotelephone or 

equipment (other than Radio Access Network 

(RAN) equipment), nor of passing encrypted 

data through RAN equipment (e.g., Radio 

Network Controller (RNC) or Base Station 

Controller (BSC)); 

(f) Cordless telephone equipment not 

capable of end-to-end encryption where the 

maximum effective range of unboosted 

cordless operation (e.g., a single, unrelayed 

hop between terminal and home base station) 

is less than 400 meters according to the 

manufacturer’s specifications; or 

(g) Portable or mobile radiotelephones and 

similar client wireless devices for civil use, 

that implement only published or 

commercial cryptographic standards (except 

for anti-piracy functions, which may be nonpublished) and also meet the provisions of 

paragraphs b. to d. of the Cryptography Note 


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Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 60931 

(Note 3 in Category 5—Part 2), that have been 

customized for a specific civil industry 

application with features that do not affect 

the cryptographic functionality of these 

original non-customized devices. 

Technical Note: Parity bits are not 

included in the key length. 

a. Systems, equipment, application specific 

‘‘electronic assemblies’’, modules and 

integrated circuits for ‘‘information security’’, 

as follows and other specially designed 

components therefor: 

N.B.: For the control of Global Navigation 

Satellite Systems (GNSS) receiving 

equipment containing or employing 

decryption (i.e., GPS or GLONASS) see 

7A005. 

a.1. Designed or modified to use 

‘‘cryptography’’ employing digital techniques 

performing any cryptographic function other 

than authentication or digital signature and 

having any of the following: 

Technical Notes: 

1. Authentication and digital signature 

functions include their associated key 

management function. 

2. Authentication includes all aspects of 

access control where there is no encryption 

of files or text except as directly related to the 

protection of passwords, Personal 

Identification Numbers (PINs) or similar data 

to prevent unauthorized access. 

3. ‘‘Cryptography’’ does not include 

‘‘fixed’’ data compression or coding 

techniques. 

Note: 5A002.a.1 includes equipment 

designed or modified to use ‘‘cryptography’’ 

employing analog principles when 

implemented with digital techniques. 

a.1.a. A ‘‘symmetric algorithm’’ employing 

a key length in excess of 56-bits; or 

a.1.b. An ‘‘asymmetric algorithm’’ where 

the security of the algorithm is based on any 

of the following: 

a.1.b.1. Factorization of integers in excess 

of 512 bits (e.g., RSA); 

a.1.b.2. Computation of discrete logarithms 

in a multiplicative group of a finite field of 

size greater than 512 bits (e.g., Diffie-Hellman 

over Z/pZ); or 

a.1.b.3. Discrete logarithms in a group 

other than mentioned in 5A002.a.1.b.2 in 

excess of 112 bits (e.g., Diffie-Hellman over 

an elliptic curve); 

a.2. Designed or modified to perform 

cryptanalytic functions; 

a.3. [Reserved] 

a.4. Specially designed or modified to 

reduce the compromising emanations of 

information-bearing signals beyond what is 

necessary for health, safety or 

electromagnetic interference standards; 

a.5. Designed or modified to use 

cryptographic techniques to generate the 

spreading code for ‘‘spread spectrum’’ 

systems, not controlled in 5A002. a.6., 

including the hopping code for ‘‘frequency 

hopping’’ systems; 

a.6. Designed or modified to use 

cryptographic techniques to generate 

channelizing codes, scrambling codes or 

network identification codes, for systems 

using ultra-wideband modulation techniques 

and having any of the following: 

a.6.a. A bandwidth exceeding 500 MHz; or 

a.6.b. A ‘‘fractional bandwidth’’ of 20% or 

more; 

a.7. [Reserved] 

a.8. Communications cable systems 

designed or modified using mechanical, 

electrical or electronic means to detect 

surreptitious intrusion; 

a.9. Designed or modified to use ‘quantum 

cryptography.’ 

Technical Notes: 

1. ‘Quantum cryptography’ A family of 

techniques for the establishment of a shared 

key for ‘‘cryptography’’ by measuring the 

quantum-mechanical properties of a physical 

system (including those physical properties 

explicitly governed by quantum optics, 

quantum field theory, or quantum 

electrodynamics). 

2. ‘Quantum cryptography’ is also known 

as Quantum Key Distribution (QKD). 

■ 30. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6 

Sensors, Export Control Classification 

Number (ECCN) 6A001 is amended by 

revising the Heading and 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). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Marine acoustic systems, equipment and 

specially designed components therefor, as 

follows: 

a.1. Active (transmitting or transmittingand-receiving) systems, equipment and 

specially designed components therefor, as 

follows: 

Note: 6A001.a.1 does not control: 

a. Depth sounders operating vertically 

below the apparatus, not including a 

scanning function exceeding ±20°, and 

limited to measuring the depth of water, the 

distance of submerged or buried objects or 

fish finding; 

b. Acoustic beacons, as follows: 

1. Acoustic emergency beacons; 

2. Pingers specially designed for relocating 

or returning to an underwater position. 

a.1.a. Wide-swath bathymetric survey 

systems designed for sea bed topographic 

mapping and having all of the following: 

a.1.a.1. Designed to take measurements at 

an angle exceeding 20° from the vertical; 

a.1.a.2. Designed to measure depths 

exceeding 600 m below the water surface; 

and 

a.1.a.3. Designed to provide any of the 

following: 

a.1.a.3.a. Incorporation of multiple beams 

any of which is less than 1.9°; or 

a.1.a.3.b. Data accuracies of better than 

0.3% of water depth across the swath 

averaged over the individual measurements 

within the swath; 

a.1.b. Object detection or location systems, 

having any of the following: 

a.1.b.1. A transmitting frequency below 10 

kHz; 

a.1.b.2. Sound pressure level exceeding 

224dB (reference 1μPa at 1 m) for equipment 

with an operating frequency in the band from 

10 kHz to 24 kHz inclusive; 

a.1.b.3. Sound pressure level exceeding 

235 dB (reference 1 μPa at 1 m) for 

equipment with an operating frequency in 

the band between 24 kHz and 30 kHz; 

a.1.b.4. Forming beams of less than 1° on 

any axis and having an operating frequency 

of less than 100 kHz; 

a.1.b.5. Designed to operate with an 

unambiguous display range exceeding 5,120 

m; or 

a.1.b.6. Designed to withstand pressure 

during normal operation at depths exceeding 

1,000 m and having transducers with any of 

the following: 

a.1.b.6.a. Dynamic compensation for 

pressure; or 

a.1.b.6.b. Incorporating other than lead 

zirconate titanate as the transduction 

element; 

a.1.c. Acoustic projectors, including 

transducers, incorporating piezoelectric, 

magnetostrictive, electrostrictive, 

electrodynamic or hydraulic elements 

operating individually or in a designed 

combination and having any of the following: 

Notes: 1. The control status of acoustic 

projectors, including transducers, specially 

designed for other equipment is determined 

by the control status of the other equipment. 

2. 6A001.a.1.c does not control electronic 

sources that direct the sound vertically only, 

or mechanical (e.g., air gun or vapor-shock 

gun) or chemical (e.g., explosive) sources. 

a.1.c.1. An instantaneous radiated ‘acoustic 

power density’ exceeding 0.01 mW/mm2/Hz 

for devices operating at frequencies below 10 

kHz; 

a.1.c.2. A continuously radiated ‘acoustic 

power density’ exceeding 0.001 mW/mm2/Hz 

for devices operating at frequencies below 10 

kHz; or 

Technical Note: ‘Acoustic power density’ 

is obtained by dividing the output acoustic 

power by the product of the area of the 

radiating surface and the frequency of 

operation. 

a.1.c.3. Side-lobe suppression exceeding 22 

dB; 

a.1.d. Acoustic systems, equipment and 

specially designed components for 

determining the position of surface vessels or 

underwater vehicles, designed to operate at 

a range exceeding 1,000 m with a positioning 

accuracy of less than 10 m rms (root mean 

square) when measured at a range of 1,000 

m; 

Note: 6A001.a.1.d includes: 

a. Equipment using coherent ‘‘signal 

processing’’ between two or more beacons 

and the hydrophone unit carried by the 

surface vessel or underwater vehicle; 

b. Equipment capable of automatically 

correcting speed-of-sound propagation errors 

for calculation of a point. 

a.2. Passive (receiving, whether or not 

related in normal application to separate 

active equipment) systems, equipment and 

specially designed components therefor, as 

follows: 

a.2.a. Hydrophones having any of the 

following: 

Note: The control status of hydrophones 

specially designed for other equipment is 

determined by the control status of the other 

equipment. 


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a.2.a.1. Incorporating continuous flexible 

sensing elements; 

a.2.a.2. Incorporating flexible assemblies of 

discrete sensing elements with either a 

diameter or length less than 20 mm and with 

a separation between elements of less than 20 

mm; 

a.2.a.3. Having any of the following sensing 

elements: 

a.2.a.3.a. Optical fibers; 

a.2.a.3.b. ‘Piezoelectric polymer films’ 

other than polyvinylidene-fluoride (PVDF) 

and its co-polymers {P(VDF-TrFE) and 

P(VDF-TFE)}; or 

a.2.a.3.c. ‘Flexible piezoelectric 

composites’; 

a.2.a.4. A ‘hydrophone sensitivity’ better 

than ¥180dB at any depth with no 

acceleration compensation; 

a.2.a.5. Designed to operate at depths 

exceeding 35 m with acceleration 

compensation; or 

a.2.a.6. Designed for operation at depths 

exceeding 1,000 m; 

Technical Notes: 1. ‘Piezoelectric 

polymer film’ sensing elements consist of 

polarized polymer film that is stretched over 

and attached to a supporting frame or spool 

(mandrel). 

2. ‘Flexible piezoelectric composite’ 

sensing elements consist of piezoelectric 

ceramic particles or fibers combined with an 

electrically insulating, acoustically 

transparent rubber, polymer or epoxy 

compound, where the compound is an 

integral part of the sensing elements. 

3. ‘Hydrophone sensitivity’ is defined as 

twenty times the logarithm to the base 10 of 

the ratio of rms output voltage to a 1 V rms 

reference, when the hydrophone sensor, 

without a pre-amplifier, is placed in a plane 

wave acoustic field with an rms pressure of 

1 μPa. For example, a hydrophone of ¥160 

dB (reference 1 V per μPa) would yield an 

output voltage of 10¥8 V in such a field, 

while one of ¥180 dB sensitivity would yield 

only 10¥9 V output. Thus, ¥160 dB is better 

than ¥180 dB. 

a.2.b. Towed acoustic hydrophone arrays 

having any of the following: 

a.2.b.1. Hydrophone group spacing of less 

than 12.5 m or ‘able to be modified’ to have 

hydrophone group spacing of less than 12.5 

m; 

a.2.b.2. Designed or ‘able to be modified’ to 

operate at depths exceeding 35m; 

Technical Note: ‘Able to be modified’ in 

6A001.a.2.b means having provisions to 

allow a change of the wiring or 

interconnections to alter hydrophone group 

spacing or operating depth limits. These 

provisions are: spare wiring exceeding 10% 

of the number of wires, hydrophone group 

spacing adjustment blocks or internal depth 

limiting devices that are adjustable or that 

control more than one hydrophone group. 

a.2.b.3. Heading sensors controlled by 

6A001.a.2.d; 

a.2.b.4. Longitudinally reinforced array 

hoses; 

a.2.b.5. An assembled array of less than 40 

mm in diameter; 

a.2.b.6. [Reserved]; or 

a.2.b.7. Hydrophone characteristics 

controlled by 6A001.a.2.a; 

a.2.c. Processing equipment, specially 

designed for towed acoustic hydrophone 

arrays, having ‘‘user accessible 

programmability’’ and time or frequency 

domain processing and correlation, including 

spectral analysis, digital filtering and 

beamforming using Fast Fourier or other 

transforms or processes; 

a.2.d. Heading sensors having all of the 

following: 

a.2.d.1. An accuracy of better than ±0.5°; 

and 

a.2.d.2. Designed to operate at depths 

exceeding 35 m or having an adjustable or 

removable depth sensing device in order to 

operate at depths exceeding 35 m; 

a.2.e. Bottom or bay cable systems, having 

any of the following: 

a.2.e.1. Incorporating hydrophones 

controlled by 6A001.a.2.a; or 

a.2.e.2. Incorporating multiplexed 

hydrophone group signal modules having all 

of the following characteristics: 

a.2.e.2.a. Designed to operate at depths 

exceeding 35 m or having an adjustable or 

removable depth sensing device in order to 

operate at depths exceeding 35 m; and 

a.2.e.2.b. Capable of being operationally 

interchanged with towed acoustic 

hydrophone array modules; 

a.2.f. Processing equipment, specially 

designed for bottom or bay cable systems, 

having ‘‘user accessible programmability’’ 

and time or frequency domain processing 

and correlation, including spectral analysis, 

digital filtering and beamforming using Fast 

Fourier or other transforms or processes; 

b. Correlation-velocity and Dopplervelocity sonar log equipment designed to 

measure the horizontal speed of the 

equipment carrier relative to the sea bed, as 

follows: 

b.1. Correlation-velocity sonar log 

equipment having any of the following 

characteristics: 

b.1.a. Designed to operate at distances 

between the carrier and the sea bed 

exceeding 500 m; or 

b.1.b. Having speed accuracy better than 

1% of speed; 

b.2. Doppler-velocity sonar log equipment 

having speed accuracy better than 1% of 

speed. 

Note 1: 6A001.b. does not apply to depth 

sounders limited to any of the following: 

a. Measuring the depth of water; 

b. Measuring the distance of submerged or 

buried objects; or 

c. Fish finding. 

Note 2: 6A001.b. does not apply to 

equipment specially designed for installation 

on surface vessels. 

■ 31. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6 

Sensors, Export Control Classification 

Number (ECCN) 6A005 is amended by: 

■ a. Revising the citation ‘‘6A005.b.2, 

b.3, or b.4’’ to read ‘‘6A005.a.4, b.2, b.3, 

b.4’’ in paragraph g of the License 

Requirements Note; 

■ b. Revising the phrase ‘‘Dye and 

Liquid Lasers controlled by 6A005.c.1 

and c.2,’’ to read ‘‘Dye and Liquid 

Lasers controlled by 6A005.c.1, c.2 and 

c.3,’’ in the GBS and CIV paragraphs of 

the License Exception section; and 

■ 32. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 6 

Sensors, Export Control Classification 

Number (ECCN) 6A995, the Note 

following paragraph e.2.b is amended by 

revising the citation ‘‘6A995.e.1.b’’ to 

read ‘‘6A995.e.2.b’’. 

■ 33. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 7 

Navigation and Avionics, Export 

Control Classification Number (ECCN) 

7A002 is amended by removing the term 

‘‘drift rate’’ and adding in its place 

‘‘bias’’ in 7A002.a and 7A002.c.1 in the 

Items paragraph of the List of Items 

Controlled section. 

■ 34. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 7 

Navigation and Avionics, Export 

Control Classification Number (ECCN) 

7A003 is amended by revising the Items 

paragraph of the List of Items Controlled 

section, to read as follows: 

7A003 Inertial Systems and specially 

designed components therefor. 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. Inertial Navigation Systems (INS) 

(gimballed or strapdown) and inertial 

equipment designed for ‘‘aircraft’’, land 

vehicles, vessels (surface or underwater) or 

‘‘spacecraft’’ for navigation, attitude, 

guidance or control, having any of the 

following characteristics, and specially 

designed components therefor: 

a.1. Navigation error (free inertial) 

subsequent to normal alignment of 0.8 

nautical mile per hour (nm/hr) ‘‘Circular 

Error Probable’’ (‘‘CEP’’) or less (better); or 

a.2. Specified to function at linear 

acceleration levels exceeding 10 g; 

b. Hybrid Inertial Navigation Systems 

embedded with Global Navigation Satellite 

System(s) (GNSS) or with ‘‘Data-Based 

Referenced Navigation’’ (‘‘DBRN’’) System(s) 

for navigation, attitude, guidance or control, 

subsequent to normal alignment, having an 

INS navigation position accuracy, after loss 

of GNSS or ‘‘DBRN’’ for a period of up to 4 

minutes, of less (better) than 10 meters 

‘‘Circular Error Probable’’ (‘‘CEP’’); 

c. Inertial Measurement equipment for 

heading or True North determination having 

any of the following, and specially designed 

components therefor: 

c.1. Designed to have heading or True 

North determination accuracy equal to, or 

less (better) than 0.07 deg sec (Lat) equivalent 

to 6 arc minutes RMS at 45 degrees latitude; 

or 

c.2. Designed to have a non-operating 

shock level of 900 g or greater at a duration 

of 1-msec or greater; 

d. Inertial measurement equipment 

including Inertial Measurement Units (IMU) 

and Inertial Reference Systems (IRS), 

incorporating accelerometers or gyros 

controlled by 7A001 or 7A002, and specially 

designed components therefor. 


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Note 1: The parameters of 7A003.a and 

7A003.b are applicable with any of the 

following environmental conditions: 

a. Input random vibration with an overall 

magnitude of 7.7 g rms in the 0.5 hour and 

a total test duration of 1.5 hour per axis in 

each of the 3 perpendicular axes, when the 

random vibration meets all of the following: 

1. A constant Power Spectral Density (PSD) 

value of 0.04 g2/Hz over a frequency interval 

of 15 to 1,000 Hz; and 

2. The PSD attenuates with frequency from 

0.04 g2/Hz to 0.01 g2/Hz over a frequency 

interval from 1,000 to 2,000 Hz; 

b. An angular rate capability about one or 

more axes of equal to or more than +2.62 

rad/s (150 deg/s); or 

c. According to national standards 

equivalent to a. or b. of this note. 

Note 2: 7A003 does not control inertial 

navigation systems that are certified for use 

on ‘‘civil aircraft’’ by civil authorities of a 

Wassenaar Arrangement Participating State, 

see Supplement No. 1 to Part 743 for a list 

of these countries. 

Note 3: 7A003.c.1 does not control 

theodolite systems incorporating inertial 

equipment specially designed for civil 

surveying purposes. 

Technical Note: 7A003.b refers to systems 

in which an INS and other independent 

navigation aids are built into a single unit 

(embedded) in order to achieve improved 

performance. 

■ 35. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 7 

Navigation and Avionics, Export 

Control Classification Number (ECCN) 

7A008 is amended by revising the 

Heading and Related Controls paragraph 

in the List of Items Controlled section, 

to read as follows: 

7A008 Underwater sonar navigation 

systems, using Doppler velocity or 

correlation velocity logs integrated with a 

heading source and having a positioning 

accuracy of equal to or less (better) than 3% 

of distance traveled ‘‘Circular Error 

Probable’’ (‘‘CEP’’), and specially designed 

components therefore. 

* * * * * 

List of Items Controlled 

* * * * * 

Related Controls: 7A008 does not control 

systems specially designed for installation on 

surface vessels or systems requiring acoustic 

beacons or buoys to provide positioning data. 

See 6A001.a for acoustic systems, and 

6A001.b for correlation-velocity and Dopplervelocity sonar log equipment. See 8A002 for 

other marine systems. 

* * * * * 

■ 36. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 9 

Aerospace and Propulsion, Export 

Control Classification Number 9A012 is 

amended by revising the Heading and 

the Items paragraph in the List of Items 

Controlled section, to read as follows: 

9A012 Non-military ‘‘unmanned aerial 

vehicles,’’ (‘‘UAVs’’), associated systems, 

equipment and components, as follows. (see 

List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. ‘‘UAVs’’ having any of the following: 

a.1. An autonomous flight control and 

navigation capability (e.g., an autopilot with 

an Inertial Navigation System); or 

a.2. Capability of controlled flight out of 

the direct visual range involving a human 

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

b. Associated systems, equipment and 

components, as follows: 

b.1. Equipment specially designed for 

remotely controlling the ‘‘UAVs’’ controlled 

by 9A012.a.; 

b.2. Guidance or control systems, other 

than those controlled in Category 7, specially 

designed for integration into ‘‘UAVs’’ 

controlled by 9A012.a.; 

b.3. Equipment and components specially 

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

‘‘UAV’’ controlled by 9A012.a; 

b.4. Air breathing reciprocating or rotary 

internal combustion type engines, specially 

designed or modified to propel ‘‘UAVs’’ at 

altitudes above 50,000 feet (15,240 meters). 

Note: 9A012 does not control model 

aircraft. 

■ 37. In Supplement No. 1 to Part 774 

(the Commerce Control List), Category 9 

Aerospace and Propulsion, Export 

Control Classification Number 9E003 is 

amended by revising the Heading and 

the Items paragraph in the List of Items 

Controlled section, to read as follows: 

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

List of Items Controlled). 

* * * * * 

List of Items Controlled 

* * * * * 

Items: 

a. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’, ‘‘production’’ of any of the 

following gas turbine engine components or 

systems: 

a.1. Gas turbine blades, vanes or tip 

shrouds, made from directionally solidified 

(DS) or single crystal (SC) alloys and having 

(in the 001 Miller Index Direction) a stressrupture life exceeding 400 hours at 1,273 K 

(1,000 °C) at a stress of 200 MPa, based on 

the average property values; 

a.2. Multiple domed combustors operating 

at average burner outlet temperatures 

exceeding 1,813 K (1,540 °C) or combustors 

incorporating thermally decoupled 

combustion liners, non-metallic liners or 

non-metallic shells; 

a.3. Components manufactured from any of 

the following: 

a.3.a. Organic ‘‘composite’’ materials 

designed to operate above 588 K (315 °C); 

a.3.b. Metal ‘‘matrix’’ ‘‘composite’’, ceramic 

‘‘matrix’’, intermetallic or intermetallic 

reinforced materials, controlled by 1C007; or 

a.3.c. ‘‘Composite’’ material controlled by 

1C010 and manufactured with resins 

controlled by 1C008; 

a.4. Uncooled turbine blades, vanes, tipshrouds or other components, designed to 

operate at gas path total (stagnation) 

temperatures of 1,323 K (1,050 °C) or more 

at sea-level static take-off (ISA) in a ‘steady 

state mode’ of engine operation; 

a.5. Cooled turbine blades, vanes or tipshrouds, other than those described in 

9E003.a.1, exposed to gas path total 

(stagnation) temperatures of 1,643 K (1,370 

°C) or more at sea-level static take-off (ISA) 

in a ‘steady state mode’ of engine operation; 

Technical Note: The term ‘steady state 

mode’ defines engine operation conditions, 

where the engine parameters, such as thrust/ 

power, rpm and others, have no appreciable 

fluctuations, when the ambient air 

temperature and pressure at the engine inlet 

are constant. 

a.6. Airfoil-to-disk blade combinations 

using solid state joining; 

a.7. Gas turbine engine components using 

‘‘diffusion bonding’’ ‘‘technology’’ controlled 

by 2E003.b; 

a.8. Damage tolerant gas turbine engine 

rotating components using powder 

metallurgy materials controlled by 1C002.b; 

a.9. Full authority digital electronic engine 

control (FADEC) for gas turbine and 

combined cycle engines and their related 

diagnostic components, sensors and specially 

designed components; 

a.10. Adjustable flow path geometry and 

associated control systems for: 

a.10.a. Gas generator turbines; 

a.10.b. Fan or power turbines; 

a.10.c. Propelling nozzles; or 

Note 1: Adjustable flow path geometry and 

associated control systems in 9E003.a.10 do 

not include inlet guide vanes, variable pitch 

fans, variable stators or bleed valves for 

compressors. 

Note 2: 9E003.a.10 does not control 

‘‘development’’ or ‘‘production’’ 

‘‘technology’’ for adjustable flow path 

geometry for reverse thrust. 

a.11. Hollow fan blades; 

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

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

following: 

b.1. Wind tunnel aero-models equipped 

with non-intrusive sensors capable of 

transmitting data from the sensors to the data 

acquisition system; or 

b.2. ‘‘Composite’’ propeller blades or 

propfans, capable of absorbing more than 

2,000 kW at flight speeds exceeding Mach 

0.55; 

c. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of gas 

turbine engine components using ‘‘laser’’, 

water jet, Electro-Chemical Machining (ECM) 

or Electrical Discharge Machines (EDM) hole 

drilling processes to produce holes having 

any of the following: 

c.1. All of the following: 

c.1.a. Depths more than four times their 

diameter; 

c.1.b. Diameters less than 0.76 mm; and 

c.1.c. ‘Incidence angles’ equal to or less 

than 25°; or 

c.2. All of the following: 


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60934 Federal Register / Vol. 73, No. 199 / Tuesday, October 14, 2008 / Rules and Regulations 

c.2.a. Depths more than five times their 

diameter; 

c.2.b. Diameters less than 0.4 mm; and 

c.2.c. ‘Incidence angles’ of more than 25°; 

Technical Note: For the purposes of 

9E003.c, incidence angle is measured from a 

plane tangential to the airfoil surface at the 

point where the hole axis enters the airfoil 

surface. 

d. ‘‘Technology’’ ‘‘required’’ for the 

‘‘development’’ or ‘‘production’’ of helicopter 

power transfer systems or tilt rotor or tilt 

wing ‘‘aircraft’’ power transfer systems; 

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

‘‘production’’ of reciprocating diesel engine 

ground vehicle propulsion systems having all 

of the following: 

e.1. ‘Box volume’ of 1.2 m3 or less; 

e.2. An overall power output of more than 

750 kW based on 80/1269/EEC, ISO 2534 or 

national equivalents; and 

e.3. Power density of more than 700 kW/ 

m3 of ‘box volume’; 

Technical Note: ‘Box volume’ is the 

product of three perpendicular dimensions 

measured in the following way: 

Length: The length of the crankshaft from 

front flange to flywheel face; 

Width: The widest of any of the following: 

a. The outside dimension from valve cover 

to valve cover; 

b. The dimensions of the outside edges of 

the cylinder heads; or 

c. The diameter of the flywheel housing; 

Height: The largest of any of the following: 

a. The dimension of the crankshaft centerline to the top plane of the valve cover (or 

cylinder head) plus twice the stroke; or 

b. The diameter of the flywheel housing. 

f. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of specially designed 

components, for high output diesel engines, 

as follows: 

f.1. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of engine systems having all of 

the following components employing 

ceramics materials controlled by 1C007: 

f.1.a Cylinder liners; 

f.1.b. Pistons; 

f.1.c. Cylinder heads; and 

f.1.d. One or more other components 

(including exhaust ports, turbochargers, 

valve guides, valve assemblies or insulated 

fuel injectors); 

f.2. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of turbocharger systems with 

single-stage compressors and having all of 

the following: 

f.2.a. Operating at pressure ratios of 4:1 or 

higher; 

f.2.b. Mass flow in the range from 30 to 130 

kg per minute; and 

f.2.c. Variable flow area capability within 

the compressor or turbine sections; 

f.3. ‘‘Technology’’ ‘‘required’’ for the 

‘‘production’’ of fuel injection systems with 

a specially designed multifuel (e.g., diesel or 

jet fuel) capability covering a viscosity range 

from diesel fuel (2.5 cSt at 310.8 K (37.8 °C)) 

down to gasoline fuel (0.5 cSt at 310.8 K 

(37.8 °C)) and having all of the following: 

f.3.a. Injection amount in excess of 230 

mm3 per injection per cylinder; and 

f.3.b. Electronic control features specially 

designed for switching governor 

characteristics automatically depending on 

fuel property to provide the same torque 

characteristics by using the appropriate 

sensors; 

g. ‘‘Technology’’ ‘‘required’’ for the 

development’’ or ‘‘production’’ of ‘high 

output diesel engines’ for solid, gas phase or 

liquid film (or combinations thereof) cylinder 

wall lubrication and permitting operation to 

temperatures exceeding 723 K (450 °C), 

measured on the cylinder wall at the top 

limit of travel of the top ring of the piston; 

Technical Note: ‘High output diesel 

engines’ are diesel engines with a specified 

brake mean effective pressure of 1.8 MPa or 

more at a speed of 2,300 r.p.m., provided the 

rated speed is 2,300 r.p.m. or more. 

h. ‘‘Technology’’ not otherwise controlled 

in 9E003.a.1 through a.10 and currently used 

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

overhaul of hot section parts and components 

of civil derivatives of military engines 

controlled on the U.S. Munitions List. 

Dated: September 26, 2008. 

Christopher R. Wall, 

Assistant Secretary for Export 

Administration. 

[FR Doc. E8–23278 Filed 10–10–08; 8:45 am] 

BILLING CODE 3510–33–P 


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