[Federal Register Volume 82, Number 156 (Tuesday, August 15, 2017)]
[Rules and Regulations]
[Pages 38764-38819]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-16904]



[[Page 38763]]

Vol. 82

Tuesday,

No. 156

August 15, 2017

Part II





Department of Commerce





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Bureau of Industry and Security





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15 CFR Parts 740, 772 and 774





Wassenaar Arrangement 2016 Plenary Agreements Implementation; Final 
Rule

Federal Register / Vol. 82 , No. 156 / Tuesday, August 15, 2017 / 
Rules and Regulations

[[Page 38764]]


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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 740, 772, and 774

[Docket No. 170309249-7249-01]
RIN 0694-AH35


Wassenaar Arrangement 2016 Plenary Agreements Implementation

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: The Bureau of Industry and Security (BIS) maintains, as part 
of its Export Administration Regulations (EAR), the Commerce Control 
List (CCL), which identifies certain items subject to Department of 
Commerce jurisdiction. This final rule revises the CCL, as well as 
corresponding parts of the EAR, to implement changes made to the 
Wassenaar Arrangement List of Dual-Use Goods and Technologies (WA List) 
maintained and agreed to by governments participating in the Wassenaar 
Arrangement on Export Controls for Conventional Arms and Dual-Use Goods 
and Technologies (Wassenaar Arrangement, or WA) at the December 2016 WA 
Plenary meeting. The Wassenaar Arrangement advocates implementation of 
effective export controls on strategic items with the objective of 
improving regional and international security and stability. This rule 
harmonizes the CCL with the agreements reached at the 2016 Plenary 
meeting by revising Export Control Classification Numbers (ECCNs) 
controlled for national security reasons in each category of the CCL, 
as well as making other associated changes to the EAR.

DATES: This rule is effective August 15, 2017, except that:
    1. The effective date for amendatory instruction 30 (ECCN 4A003 in 
Supplement No. 1 to part 774) is September 25, 2017; and
    2. the effective date for amendatory instruction 2 (Sec.  740.7 of 
the EAR) is November 24, 2017.

FOR FURTHER INFORMATION CONTACT: For general questions, contact Sharron 
Cook, Office of Exporter Services, Bureau of Industry and Security, 
U.S. Department of Commerce at 202-482-2440 or by email: 
<a href="/cdn-cgi/l/email-protection#f6a59e9784849998d8b599999db6949f85d8929995d8919980"><span class="__cf_email__" data-cfemail="52013a3320203d3c7c113d3d3912303b217c363d317c353d24">[email protected]</span></a>.
    For technical questions contact:
    Categories 0, 1 & 2 of the CCL: Joseph Giunta at 202-482-3127.
    Category 3 of the CCL: Brian Baker at 202-482-5534.
    Categories 4 & 5 of the CCL: Aaron Amundson 202-482-0707.
    Category 6 (optics) of the CCL: Chris Costanzo at 202-482-5299.
    Category 6 (lasers) of the CCL: Mark Jaso at 202-482-0987.
    Category 6 (sensors and cameras) of the CCL: John Varesi 202-482-
1114.
    Category 8 of the CCL: Michael Tu 202-482-6462.
    Categories 7 & 9 of the CCL: Daniel Squire 202-482-3710 or Reynaldo 
Garcia 202-482-3462.
    Category 9x515 (Satellites) of the CCL: Mark Jaso at 202-482-0987 
or Reynaldo Garcia at 202-482-3462.
    Category ``600 Series'' (Munitions Items) of the CCL: Christopher 
Williams at 202-482-6023 or Heather Moore at 202-482-4786.

SUPPLEMENTARY INFORMATION: 

Background

    The Wassenaar Arrangement (Wassenaar or WA) on Export Controls for 
Conventional Arms and Dual-Use Goods and Technologies is a group of 41 
like-minded states committed to promoting responsibility and 
transparency in the global arms trade, and preventing destabilizing 
accumulations of arms. As a Participating State, the United States has 
committed to controlling for export all items on the WA control lists. 
The lists were first established in 1996 and have been revised annually 
thereafter. Proposals for changes to the WA control lists that achieve 
consensus are approved by Participating States at annual Plenary 
meetings. Participating States are charged with implementing the agreed 
list changes as soon as possible after approval. The United States' 
implementation of WA list changes ensures U.S. companies have a level 
playing field with their competitors in other WA Participating States.
    The changes in this rule, which reflect the changes to the WA 
control lists that were approved at the December 2016 WA Plenary 
meeting, update the corresponding items listed in the EAR, and reflect 
the most recent changes in technologies and conditions.

Revisions to the Commerce Control List Related to WA 2016 Plenary 
Agreements

    Revises (50) ECCNs: 1A004, 1A007, 1B001, 1C007, 1C608, 1E001, 
1E002, 2A001, 2B001, 2B005, 2B991, 2D992, 2E003, 3A001, 3A002, 3A991, 
3B001, 3C001, 3E001, 3E002, 3E003, 4A003, 4D001, 4D993, 5A001, 5B001, 
5E001, 5A002, 5A003, 5D002, 5E002, 6A001, 6A003, 6A005, 6A008, 6D003, 
6E003, 7D003, 7D004, 7E001, 7E003, 7E004, 8A002, 8C001, 9A001, 9A004, 
9A515, 9B002, 9B009 and 9E003.
    License Exception eligibility additions: 3A001.b.12 to LVS, and 
3A001.a.14 to GBS.
    License Exception eligibility expansion: TSR and STA for ECCNs 
4D001 and 4E001.

Category 1 Special Materials and Related Equipment, Chemicals, 
``Microorganisms,'' and ``Toxins''

1A004 Protective and Detection Equipment and ``Components''

    ECCN 1A004 is amended by adding Note 5 to the Related Controls 
paragraph to make sure the public knows that 1A004 does not control 
radionuclides incorporated in detection equipment--such materials are 
subject to the licensing jurisdiction of the Nuclear Regulatory 
Commission (See 10 CFR part 110). This rule also removes the definition 
of `adapted for use in war' from the Related Definitions paragraph 
because the WA has agreed to remove that term from Items in paragraphs 
a.2, b.2 and c.2, as well as from Technical Note 1, because the phrase 
did not help clarify the control text. This rule adds a definition of 
`radioactive materials' in Technical Note 3 that uses the same 
descriptive wording used in the removed definition of `adapted for use 
in war.' This new definition does not change the scope of this ECCN 
because much of the text of the removed definition was retained in the 
control parameters. These revisions are made to more precisely describe 
the controlled detection equipment. At the WA Plenary meeting, the WA 
noted that the definition of biological agents is used in an entry on 
the WA dual-use list and an entry on the WA munitions list. Therefore, 
to make it clear that the definition applied to both entries, the WA 
moved it to the WA Definitions, which applies to both WA lists. In the 
EAR, while the term `biological agents' appears in other ECCNs on the 
CCL, the definition used in ECCN 1A004 only applies to that ECCN. It 
would be inappropriate to move that definition to Part 772, which 
defines terms that can be applied universally in the EAR. Therefore, 
this rule removes the Technical Note to be consistent with the WA list 
and moves the definition for the term `biological agents' to the 
Related Definitions Section of ECCN 1A004.

1A007 Equipment and Devices, ``Specially Designed'' To Initiate Charges 
and Devices Containing ``Energetic Materials,'' by Electrical Means

    The heading of ECCN 1A007 is amended by adding double quotes around 
the term ``energetic materials,''

[[Page 38765]]

because this is a defined term in the WA List, as well as in Sec.  
772.1 of the EAR.

1B001 Equipment for the Production or Inspection of ``Composite'' 
Structures or Laminates Controlled by 1A002 or ``Fibrous or Filamentary 
Materials'' Controlled by 1C010

    The Technical Note to Items paragraph .b is amended by revising the 
parameters in the definition of `tape-laying machines.' The Technical 
Note to paragraph 1B001.g is amended by revising the parameters in the 
definition for `tow-placement machines.' These definitions were 
designed to aid in determining the control status of tow placement and 
tape laying equipment. These machines are identified based on the type 
of ``fibrous or filamentary'' material they process. The Missile 
Technology Control Regime (MTCR) adopted the WA definition in order to 
facilitate implementation by Participating States that adhered to both 
regimes. However, when the MTCR adopted the WA control parameters, they 
added an additional significant digit to ensure that Tape Laying 
Machines and Tow/Fiber Placement machines were accurately delineated at 
1 inch, which is used in industry. Thus, references to 25 mm were 
changed to 25.4 mm (1 inch) and 305 mm is changed to 304.8 mm (12 
inches). Lastly, the Technical Note to 1B001, which defines `filament 
bands,' is amended by clarifying that it includes those coated with dry 
powder. These revisions are very minor, and therefore, BIS anticipates 
no change in submissions of license applications.

1C007 Ceramic Powders, Ceramic-``Matrix'' ``Composite'' Materials and 
`Precursor Materials'

    The Heading of ECCN 1C007 is amended by removing the phrase ``non- 
``composite'' ceramic materials'' and adding single quotes around the 
term `precursor materials,' to harmonize with revisions made to the 
List of Items Controlled section. The MT control paragraph is amended 
by removing Items paragraphs .d and .f and adding .c for consistency to 
changes in the List of Items Controlled section. The Special Conditions 
for STA paragraph is amended by removing Items paragraph d. to 
harmonize with revisions made to the List of Items Controlled section.
    Items paragraph .a is revised by replacing ``single or complex 
borides of titanium'' with ``titanium diboride (TiB<INF>2</INF>) (CAS 
12045-63-5)'', and Items paragraph .b is removed and reserved because 
1C007.a and .b list only borides of titanium in powered and monolithic 
(i.e., non-composites) forms, while in practice those controls apply 
only to titanium diboride (TiB<INF>2</INF>--CAS# 12045-63-5), being the 
only stoichiometric compound of boron and titanium. This revision will 
result in no change in the number of license application submissions 
BIS receives annually.
    The control text on ceramic matrix composites (CMCs) in 1C007 was 
formerly split into three Items paragraphs, .c, .d and .f. This rule 
combines these three paragraphs under 1C007.c. Items paragraph .c is 
moved to c.1.b (no scope change), Items paragraph .d is moved to c.2, 
and Items paragraph .f is moved to c.1.a (no scope change).
    Former Items paragraph 1C007.d, which is transferred to 1C007.c.2, 
is revised to clarify the control and add some novel ceramic composite 
material. The formerly used phrase ``with or without metallic phase'' 
did not contribute to the text clarity. Metallic phases in a ceramic-
ceramic composite are impurities from incomplete reactions. Often, 
pockets of residual metallic phases are found in these materials, but 
it is not a desired feature; it is just an undesirable by-product of 
the manufacturing process. The formerly used phrase ``incorporating 
particles, whiskers or fibers'' did not influence the scope of the 
control because it listed all possible types of ceramic reinforcements 
used in CMCs. Thus, these two phrases are removed, although the removal 
of the phrases does not change the scope of the control and improves 
clarity of the text. The phrase `ceramic-ceramic' is replaced with 
`ceramic-``matrix'',' so as to control carbon fiber reinforced SiC 
matrix composites (C-SiC). These revisions aim to improve the control 
text clarity and introduce a new control of a novel, militarily 
significant material family. BIS receives less than five applications a 
year for this ECCN. BIS anticipates that adding this novel material, 
which has not yet become popular with industry, may only increase that 
number by one or two applications a year.
    Paragraph 1C007.e is amended by adding ``specially designed'' and 
making other editorial revisions, because it was agreed that the only 
precursors that are controlled under this paragraph are those that are 
specially designed (i.e., specially formulated) for the production of 
controlled ceramic materials. In addition, the control text is modified 
to harmonize with WA format by replacing ``for producing'' with the 
defined term ``for the ``production.'' '' This rule also adds a 
Technical Note to define `precursor materials' to clarify the scope of 
control. These changes will narrow the scope of control and decrease 
license application submissions. Even though more specific text is 
being added to the parameter, which narrows the scope of control, this 
revision will result in no change in the annual number of license 
application submissions BIS receives, because BIS currently receives 
zero submissions annually under this paragraph.

1C608 ``Energetic Materials'' and Related Commodities

    The Heading of 1C608 is amended by adding double quotes around the 
defined term ``energetic materials'' in order to clarify the scope and 
correct the oversight.

1E001 ``Technology'' for the ``Development'' or ``Production'' of 
Certain Category 1 ECCNs

    ECCN 1E001 is amended by revising the Special Conditions for STA to 
remove reference to 1C007.d, because Items paragraph 1C007.d is 
transferred to 1C007.c.2 by this rule, which is already listed in this 
paragraph.

1E002 Other ``Technology''

    ECCN 1E002 is amended by revising the Note to 1E002.c.2 by adding 
double quotes around the word ``technology'' to clarify the scope of 
the entry. The phrase ``the design or production of'' is removed from 
the Note as it is an unnecessary repetition of the text introduced in 
1E002.c. This rule also revises 1E002.f to remove the reference to 
1C007.d, which was moved to 1C007.c.2. 1C007.c is already referenced in 
1E002.f.

Annex to Category 1--List of Explosives

    The Annex to Category 1 List of Explosives is amended by adding a 
new paragraph 50 to read, ``50. FTDO (5,6-(3',4'-furazano)- 1,2,3,4-
tetrazine-1,3-dioxide)'', and by revising the punctuation in paragraph 
49 to support this addition. As this is a military explosive, it will 
result in no change to license application submissions to BIS.

Category 2--Materials Processing

2A001 Anti-Friction Bearings and Bearing Systems

    ECCN 2A001.a is amended by adding single quotes around the terms 
`rings' and `rolling elements,' as well as removing the citation to 
International Organization for Standardization (ISO) standards. This 
rule adds two (2) Technical Notes to define `ring' and `rolling 
element,' in order to clarify the scope of controls and to replace the 
reference to the ISO standard where these terms are defined.

[[Page 38766]]

2B001 Machine Tools and Any Combination Thereof, for Removing (or 
Cutting) Metals, Ceramics or ``Composites''

    ECCN 2B001 is amended by removing the Note to Items paragraph b.2 
regarding the inclusion of parallel mechanism machine tools in the 
control of b.2, because there is no international standard to measure a 
positioning accuracy or UPR (unidirectional positioning repeatability) 
for these machine tools. This rule also revises Items paragraphs b.2.b 
and b.2.c in order to accommodate the removal of Items paragraph b.2.d. 
Additionally, this rule removes Items paragraph b.2.d `parallel 
mechanism machine tool technology,' including the Technical Note for 
reasons stated above. BIS estimates that there will be no change in 
license application submissions due to the removal of Items paragraph 
b.2.d `parallel mechanism machine tool technology,' because the future 
of machine tools is in Computer Numeric Control (CNC), where software 
achieves in a simpler and more robust way what multiple rods and 
linkages and couplings involved in parallel mechanism machine tools 
achieve in terms of degrees-of-freedom and flexibility. In the past 
year, BIS has not received any license applications for parallel 
mechanism machine tools.

2B005 Equipment ``Specially Designed'' for the Deposition, Processing 
and in Process Control of Inorganic Overlays, Coatings and Surface 
Modifications, as Follows, for Substrates

    The Heading of ECCN 2B005 is amended by removing the ambiguous term 
``non-electronic'' before the word ``substrates,'' by adding the column 
locations in the table following 2E003.f ``Materials Processing Table; 
Deposition Techniques,'' where the information referred to in the 
Heading may be found. The Heading is also amended by removing the 
reference to the `associated Notes,' because the Notes do not specify 
what is controlled by this ECCN.

2B991 Numerical Control Units for Machine Tools and ``Numerically 
Controlled'' Machine Tools, n.e.s.

    ECCN 2B991 is amended by adding a hyphen to the term ``real-time 
processing'' in the introductory text of Items paragraph 2B991.b.2 to 
correct the format of the term.

2D992 Specific ``Software''

    ECCN 2D992 is amended by adding a hyphen to the term ``real-time 
processing'' in the introductory text of Items paragraph 2D992.a.2 to 
correct the format of the term.

2E003 Other ``Technology''

    ECCN 2E003 is amended by adding double quotes to the term 
``technology'' in the Nota Bene (N.B.) that follows Items paragraph .f 
for consistency with the text in the control paragraph.

Category 2E--Materials Processing Table; Deposition Techniques

    The Materials Processing Table is amended by revising paragraph 10 
in the Notes to the Table on Deposition Techniques to more clearly 
state that Category 2 does not include ``technology'' for single-step 
pack cementation of solid airfoils. Paragraph 17 in the Notes to the 
Table on Deposition Techniques is revised by removing the term 
``specially designed,'' which expands the exclusion note for 
``technology'' for depositing diamond-like carbon. The introductory 
text to paragraphs 1 through 5 in the Accompanying Technical 
Information to Table on Deposition Techniques is amended by replacing 
the defined term ``technology'' with the term `technical information' 
to be consistent with the heading and scope of this section.

Category 3--Electronics

Product Group A. ``End Items,'' ``Equipment,'' ``Accessories,'' 
``Attachments,'' ``Parts,'' ``Components,'' and ``Systems''

    Product Group A, Notes 1 and 2 and the N.B., which appear at the 
beginning of the product group, are amended by removing the reference 
to ``or 3A001.a.13'' and adding in its place ``to 3A001.a.14,'' because 
this rule adds Item paragraph 3A001.a.14.

3A001 Electronic Items

    The RS license requirement paragraph and the License Exception LVS 
eligibility paragraph are amended by replacing the term ``microwave 
monolithic integrated circuit'' with the defined term ``monolithic 
microwave integrated circuit'' to harmonize with the newly defined term 
and changes in ECCN 3A001, and expanded to cover newly added Items 
paragraph b.12.
    The license Exception LVS eligibility paragraph is expanded to 
include newly added Items paragraph b.12, which will result in fewer 
licensing application submissions for low level value shipments of 
these items.
    The license Exception GBS eligibility paragraph is amended by 
expanding the range of eligibility to cover newly added Items paragraph 
a.14, which will result in fewer license application submissions to 
less sensitive destinations. The term TWTAs is replaced with `vacuum 
electronic device' amplifiers, which is the new terminology in Items 
paragraph b.8.
    The Note to 3A001.a is amended by adding ``Monolithic Microwave 
Integrated Circuits'' (``MMICs'') to the list of integrated circuits 
listed, because of the increased presence of MMICs in 3A001, as well as 
adding the definition of this term to part 772 of the EAR.
    Paragraph 3A001.a.2 is expanded to encompass the scope of newly 
added 3A001.a.14. Specifically, this rule makes editorial 
capitalization corrections and adds ``integrated circuits that contain 
analog-to-digital converters and store or process the digitized data'' 
and ``Magnetic Random Access Memories (MRAMs)''.
    Paragraph 3A001.a.5.a (analog-to-digital converters (ADCs)) is 
revised by updating the ADC control thresholds (resolution) for the 
higher performance ADCs to reflect the technology that is used in the 
commercial mainstream, which will result in a decrease of license 
application submissions. In addition, the unit for resolution is 
amended by replacing ``billion words per second'' with ``Giga Samples 
Per Second (GSPS)'' and ``million words per second'' with ``Mega 
Samples Per Second (MSPS)'' to clarify what is being measured for this 
parameter. Technical Notes 6 and 7 are also revised to clarify the 
explanation of the units for output rates. In addition, a Nota Bene is 
added to reference 3A001.a.14 for integrated circuits that contain ADCs 
and store or process the digitized data. Technical Notes 6 and 7 are 
also clarified accordingly.
    Paragraph 3A001.a.7 is amended by adding a Nota Bene to reference 
3A001.a.14 for integrated circuits having field programmable logic 
devices that are combined with an analog-to-digital converter.
    Paragraph 3A001.a.14 is added to control integrated circuits that 
perform the same functionality of electronic assemblies, modules, or 
equipment described in paragraph 3A002.h. This addition of control will 
result in an increase of 50 or fewer license application submissions 
per year. Items paragraph 3A001.a.14.b.2 is moved to a.14.b.1 and 
a.14.b.2 is revised to read ``processing of digitized data'' to clarify 
the description of this parameter.
    Paragraph 3A001.b is amended by adding a Technical Note 2 to define 
`vacuum electronic devices' for the purpose of paragraph 3A001.b.1. 
This control has not been modernized in more than fifteen years, during 
which time substantial changes have occurred. Therefore, these 
amendments are

[[Page 38767]]

intended to modernize this entry. The term ``travelling wave tubes'' in 
the text has been changed to the more general term `vacuum electronic 
devices' that also includes klystrons. Paragraph 3A001.b.1 is amended 
by replacing the undefined term `electronic vacuum tubes' with the 
newly defined term `vacuum electronic devices.' This term is also 
replaced in the introductory text of Notes 1 and 2. Paragraph 
3A001.b.1.a and b.1.b are amended by replacing the term `tubes' with 
`vacuum electronic devices.' Paragraphs 3A001.b.1.a.1 through b.1.a.3 
are amended by replacing the term `tubes' with `devices.' Paragraph 
3A001.b.1.a.4 is amended by replacing the term `helix tubes' with 
`devices based on helix, folded waveguide, or serpentine waveguide 
circuits,' as well as adding a parameter, `having a gridded electron 
gun,' in paragraph b.1.a.4.d for these devices. Paragraph 3A001.b.1.a.5 
is added to expand the traveling wave `vacuum electronic devices' 
control to include devices with a ``fractional bandwidth'' greater than 
or equal to 10% and with specified beams. BIS estimates that this 
change will increase license application submissions by no more than 10 
annually. Paragraph 3A001.b.1.c is modernized to use the term 
`thermionic cathodes' rather than the older and more specific term 
`impregnated cathodes.' Paragraph 3A001.b.1.d is added to control 
`vacuum electronic devices' with the capability to operate in a `dual 
mode.' Finally, a clear definition of the term `dual mode' is added in 
a Technical Note to avoid ambiguity and explain how a single device can 
switch between continuous wave operation and pulse mode operation.
    Paragraph 3A001.b.2 is amended by replacing ``Microwave Monolithic 
Integrated Circuits (MMICs) power amplifiers'' with the correct 
terminology ``Monolithic Microwave Integrated Circuit'' (``MMIC'') 
amplifiers. Also, a Nota Bene is added to reference 3A001.b.12 for 
``MMIC'' amplifiers that have an integrated phase shifter.
    Notes 2 and 3 of paragraph b.2.h are amended by adding double 
quotes around the acronym ``MMIC'' and ``MMICs.''
    Paragraph 3A001.b.4.f, which is a parameter for microwave solid 
state amplifiers and microwave assemblies/modules, is removed and 
reserved, because `transmit/receive modules' and `transmit modules' are 
moved to b.12. This paragraph is moved because some people may not 
think to classify their MMICs with capabilities to transmit/receive 
under 3A001.b.4.f. Also, by separating transmit and transmit/receive 
modules from amplifiers, the framework for modifying their control 
threshold independently is created. A Nota Bene 2 is added to reference 
paragraph 3A001.b.12 for `transmit/receive modules' and `transmit 
modules.' Note 3 to paragraph 3A001.b.4 is removed, because `transmit/
receive modules' and `transmit modules' are moved to b.12.
    Paragraph 3A001.b.8 and b.9 are amended by replacing the term 
`tubes' with the term `vacuum electronic devices.' Also, this rule 
makes corrections in capitalization, as well as correcting the term 
``Monolithic Microwave Integrated Circuit'' and adding the acronym 
``MMIC''.
    Paragraph 3A001.b.11 ``Frequency synthesizer'' ``electronic 
assemblies'' is amended by updating the parameters to align the 
3A001.b.11 frequency synthesizer controls with the 3A002.d.3 signal 
generator controls. Specifically, Items paragraphs 3A001.b.11.a through 
.e are revised and b.11.c and .f are removed and reserved, which BIS 
estimates will decrease license application submissions by about 30 
annually.
    Paragraph 3A001.b.12 ``transmit/receive modules, transmit/receive 
MMICs, transmit modules, and transmit MMICs'' is added to control a 
mixture of new (MMICs) and existing controls (transmit/receive modules 
formerly controlled in paragraph 3A001.b.4). The control thresholds for 
3A001.b.12 are nearly identical to those that were used in 3A001.b.4.f 
(transmit and transmit/receive modules), but adjusted so that 
3A001.b.12 has an identical power level at 31.8 GHz, as specified in 
3A001.b.4.c as 0.5 W (27 dBm). In addition, transmit modules and 
transmit/receive modules that have dimensional characteristics related 
to phased array antenna systems are distinct from amplifiers because 
they have phase control. Adding phase control as a control parameter 
ensures this distinction is clear. Furthermore, because transmit 
modules and transmit/receive modules are exported with or without a 
heat sink, a Technical Note is added to inform exporters that 
3A001.b.12 includes those that are exported with or without a heat sink 
and that the heat sink measurements are not to be considered in the 
3A001.b.12 dimensional metric. Lastly, this rule adds to the Technical 
Notes after Items paragraph b.12.d definitions for `transmit/receive 
module,' `transmit/receive MMIC,' `transmit module,' and `transmit 
MMIC.' It also adds quotation marks around the term MMIC in all places 
it is used by itself in 3A001.b.12, as it is a defined term in part 772 
of the EAR. Related Control Note 1 is also revised to add `transmit/
receive modules' and `transmit modules,' because there may be some 
overlap between b.12 and ITAR category XI. BIS estimates these 
revisions will not affect the annual number of license application 
submissions.
    Paragraph 3A001.f ``rotary input type absolute position encoders'' 
is revised by adding ``and ``specially designed'' encoder rings, discs 
or scales therefor,'' in order to close the loophole in the control for 
these significant parts. BIS estimates this addition will result in an 
increase of no more than 5 license application submissions per year.

3A002 General Purpose ``Electronic Assemblies,'' Modules and Equipment

    ECCN 3A002 is amended by revising Items paragraph c.4, to add the 
existing ``real-time bandwidth'' to the frequency mask trigger control 
and add commas to the definition of ``real-time bandwidth'' in Sec.  
772.1 of the EAR to clarify its meaning, resulting in paragraph 
3A002.c.4.b moving to c.4.b.1 and the addition of a new subparagraph 
c.4.b.2. The citations in the Technical Notes 1 and 2 are updated to 
correspond to changes in 3A002.c.4.b. An exclusion Note is added for 
``signal analyzers'' using only constant percentage bandwidth filters 
(also known as octave or fractional octave filters). BIS estimates 
these revisions will result in an increase of no more than 15 license 
application submissions per year. Paragraph 3A002.c.5 is removed and 
reserved, as it is moved to 3A002.c.4.b.2 to make ``real-time 
bandwidth'' (3A002.c.4.a) a prerequisite for control of ``frequency 
mask trigger'' functionality of signal analyzers in 3A002.c.4.

3A991 Electronic Devices, and ``Components'' Not Controlled by 3A001

    ECCN 3A991 is amended by revising the Items paragraph introductory 
paragraph .g, paragraph g.1, and introductory paragraph g.2 to 
correspond with the changes made to paragraph 3A001.b. For an 
explanation about these revisions, see the rationale for 3A001.b 
revisions. BIS estimates these revisions will result in no change to 
license application submissions annually.

3B001 Equipment for the Manufacturing of Semiconductor Devices or 
Materials

    ECCN 3B001.a.1 (equipment designed for epitaxial growth) is amended 
by replacing ``capable of producing'' with ``designed or modified to 
produce,'' to clarify the intended scope of control. BIS estimates that 
this change will result in a decrease of about 20 license application 
submissions per year.

[[Page 38768]]

3C001 Hetero-Epitaxial Materials Consisting of a ``Substrate'' Having 
Stacked Epitaxially Grown Multiple Layers

    The exclusion Note to ECCN 3C001.d is amended by adding three non-
sensitive p-type epitaxial layer materials, i.e., GaAs, AlGaAs, InP. 
This Note excludes hetero-epitaxial materials for the manufacture of 
light-emitting diodes (LEDs). BIS estimates that this change will 
result in a decrease of about 5 license application submissions per 
year.

3E001 ``Technology'' According to the General Technology Note for the 
``Development'' or ``Production'' of Equipment or Materials Controlled 
by 3A, 3B and 3C

    ECCN 3E001 is amended by revising paragraph (a) of the License 
Exception TSR paragraph to replace ``Traveling wave tube'' with 
``Vacuum electronic device amplifiers.'' Paragraph (c) of the License 
Exception TSR paragraph and Note 2 in the Related Controls are revised 
to harmonize the reference to MMICs to read ``Monolithic Microwave 
Integrated Circuit'' (``MMIC'') amplifiers. Note 1 is amended by 
removing the phrase ``the ``production'' of,'' and Note 2 is amended by 
removing the phrase ``the ``development'' or ``production'' of,'' 
because these phrases do not add to the clarity of the Notes and are 
unnecessary.

3E002 ``Technology'' Other Than That Controlled in 3E001 for the 
``Development'' or ``Production'' of a ``Microprocessor Microcircuit'', 
``Micro-computer Microcircuit'' and Microcontroller Microcircuit Core

    ECCN 3E002 is amended by revising the introductory text of Note 2 
to remove reference to ``development'' and ``production'', because 
these terms are already referenced in the definition of ``technology,'' 
therefore there is no need to repeat this point in the control text. 
However, Note 3 is amended by adding the phrase ``the development or 
production of'' to clarify the scope of the Note.

3E003 Other ``Technology'' for the ``Development'' or ``Production''

    ECCN 3E003.g is amended by replacing the term ``electronic vacuum 
tubes'' with the more modern and general term `vacuum electronic 
devices,' which is defined in Technical Note 2 at the beginning of 
3A001.b.

Category 4--Computers

4A003 ``Digital Computers,'' ``Electronic Assemblies,'' and Related 
Equipment Therefor

    ECCN 4A003 is amended by revising the AT control paragraph in the 
License Requirements table and the Note to the License Requirements 
section in order to correspond to the revision in this rule that raises 
the ``adjusted peak performance'' (APP) from 12.5 to 16 weighted 
TeraFLOPS (WT) in Items paragraph 4A003.b. The APP is raised to address 
the need to track incremental improvements (e.g., ``Moore's Law'') in 
micro-processor technology. The Congressional notification requirement 
set forth in subsection 1211(d) of the National Defense Authorization 
Act for Fiscal Year 1998 (Pub. L. 105-85, November 18, 1997, 111 Stat. 
1629, 1932-1933, as amended; 50 U.S.C. 4604 note) provides that the 
President must submit a report to Congress 60 days before adjusting the 
composite theoretical performance level above which exports of digital 
computers to Tier 3 countries require a license. On July 27, 2017 the 
Secretary of Commerce, as the President's delegate, submitted to 
Congress a report to Congress that establishes and provides 
justification for the 16 WT control level using the APP formula. 
Therefore, this revision will become effective on September 25, 2017. 
BIS estimates that this revision will result in no change to license 
application submissions, because this revision is keeping pace with 
advancements in HPC technology.

4D001 ``Software'' and 4E001 ``Technology''

    ECCNs 4D001 and 4E001 are amended by revising the License Exception 
TSR eligibility paragraph and License Exception STA Special Conditions 
paragraph to correspond to the revision in this rule that raises the 
``adjusted peak performance'' (APP) from 12.5 to 16 weighted TeraFLOPS 
(WT) in Items paragraph 4A003.b, because these eligible countries for 
these license exceptions represent allies (Country Groups A:5 and A:6) 
and countries that do not pose a national security threat (Country 
Group B). The APP is raised to address the need to track incremental 
improvements (e.g., ``Moore's Law'') in micro-processor technology. The 
APP is raised from 6.0 to 8.0 WT in Items paragraph 4D001.b.1 for 
software ``specially designed'' or modified for the development or 
production of equipment or software controlled by 4A001, 4A003, 4A004 
or 4D001 (except 4D980, 4D993 or 4D994) and 4E001.b.1 for technology 
other than that controlled by 4E001.a for the development or production 
of digital computers. BIS estimates that this revision will result in 
no change to license application submissions, because this revision is 
keeping pace with advancements in HPC technology.

4D993 ``Program'' Proof and Validation ``Software'', ``Software'' 
Allowing the Automatic Generation of ``Source Codes'', and Operating 
System ``Software''

    ECCN 4D993 is amended by correcting the Heading to add a hyphen 
between the words ``real'' and ``time'' in the term ``real-time 
processing.''

Category 5--Part 1--``Telecommunications''

5A001 Telecommunications Systems, Equipment, ``Components'' and 
``Accessories''

    ECCN 5A001 is corrected by replacing the word ``centre'' with 
``center'' in the Technical Note of Items paragraph b.5.d. For 
telecommunication systems and equipment that employ functions of 
digital ``signal processing'' to provide `voice coding,' the output 
rate is lowered from less than ``2,400 bit/s'' to ``700 bit/s'' in 
Items paragraph b.6 to reflect advancement in technology, which BIS 
estimates will result in no change to annual license application 
submissions.

5B001 Telecommunication Test, Inspection and Production Equipment, 
``Components'' and ``Accessories''

    ECCN 5B001 is amended by adding ``or'' to the end of Items 
paragraph b.2.a in the License Requirements section to correspond with 
removing and reserving Items paragraph b.2.c (telecommunication 
transmission or switching equipment employing a ``laser'' and coherent 
optical transmission or coherent optical detection techniques), 
including the Note and Technical Note, because this equipment is 
broadly available in all leading technology countries around the world. 
BIS estimates that this removal will result in 5 fewer license 
application submissions per year.

5E001 ``Technology''

    ECCN 5E001 is amended by revising Related Controls Note (2) and 
Items paragraph 5E001.d to replace the term Microwave ``monolithic 
integrated circuits'' (MMIC) power amplifiers with ``Monolithic 
Microwave Integrated Circuit'' (``MMIC'') amplifiers to correspond to 
revisions made to 3A001.b.2 in this rule. This rule moves the word 
``required'' from the beginning of Items paragraph b.1 to follow the

[[Page 38769]]

term ``technology,'' in order to clarify the scope of the sentence. 
This rule also removes Items paragraph 5E001.c.1 ``Equipment employing 
digital techniques designed to operate at a ``total digital transfer 
rate'' exceeding 560 Gbits/s'' including the Technical Note, because 
this telecommunication technology is broadly available in all leading 
technology countries around the world. Even though BIS received 100 
licenses for 5E001.c technology last year, most of them had other ECCNs 
included as well. BIS estimates that this removal will result in 5 
fewer license application submissions per year. Items paragraph 
5E001.c.2.c (technology for telecommunication transmission or switching 
equipment employing a ``laser'' and coherent optical transmission or 
coherent optical detection techniques) is removed and reserved, 
including the Note and Technical Note, to correspond with the removal 
of this equipment in 5B001.b.2.c by this rule. BIS estimates that this 
removal will result in 15 fewer license application submissions per 
year. The Note to Items paragraphs c.2.e and c.4.b are revised to 
remove the phrase ``the development or production of,'' because these 
terms are already referenced in the definition of ``technology'' and 
there is no need to be repetitive.

Category 5--Part 2--``Information Security''

    Category 5--Part 2 is being restructured in order to simplify the 
text and focus the scope of controls. The introductory sentence in Note 
3 in Category 5--Part 2 is amended by updating the scope of the 
Cryptography Note from ``ECCNs 5A002, 5A003, 5A004 and 5D002'' to 
``ECCNs 5A002, 5D002.a.1, .b, and c.1.'' Paragraph a.5 is redesignated 
as paragraph a.4 in Note 3 to clean up the Note, and the phrase ``, 
5A003 or 5A004'' is removed from the Technical Note to paragraph b. in 
Note 3, to match the updated scope of the Cryptography Note.
    Note 4 is removed and is replaced by the creation of positive text 
in 5A002.a to specify the items subject to control. Although the 
wording is different and positively stated, the scope of control 
remains the same except certain non-primary function uses of encryption 
are now excluded as noted below. The exclusion in Note 4 for 
entertainment, mass commercial broadcasts, digital rights management or 
medical records management is moved to Technical Note 1 in order to 
clarify that encryption used for those functions is not considered 
`cryptography for data confidentiality' for purposes of Category 5--
Part 2. 5A002.a.4 amends the text of the former Note 4 paragraph b to 
release products that use encryption for a non-primary function in 
certain circumstances.

5A002 ``Information Security'' Systems, Equipment and ``Components''

    ECCN 5A002 is amended by redesignating Related Control paragraph 
(3) as (5) and moving the Nota Bene from the beginning of 5A002.a to a 
new Related Control paragraph (3) in the List of Items Controlled 
section, which directs people to ECCNs 7A005, 7D005 and 7E001 for 
Global Navigation Satellite Systems (GNSS) receiving equipment 
containing or employing decryption, and related software and 
technology. Also a new Related Control Note (4) is added to provide 
examples to clarify the scope of Items paragraph 5A002.a.4, and a Nota 
Bene is added after Items paragraph 5A002.a.4 to point to Related 
Control Note (4). Items paragraph 5A002.a, including the Technical 
Notes and Notes, is amended to restructure it and improve readability, 
so that it includes an introduction of the term `cryptography for data 
confidentiality;' the establishment of a Technical Note to explain the 
scope of cryptography and the cryptographic functions excluded from the 
controls, including defining `in excess of 56 bits of symmetric key 
length, or equivalent;' and the introduction of a definition for 
``authentication.''
    In addition, several revisions are made to Note 2 to 5A002.a 
(formerly Note to 5A002.a). Some paragraph and wording changes are made 
to the Note to correspond to other changes in the control text; the 
introductory text of the Note is revised to clarify that the Note also 
applies to ``specially designed'' ``information security'' components 
of items released by the Note; paragraph (f) of the Note is amended to 
clarify that it applies to any item where the encryption is limited to 
wireless personal area network functionality; paragraph (g) of the Note 
regarding dormant encryption products is removed and replaced with the 
positive phrase ``where that cryptographic capability is usable without 
``cryptographic activation'' '' in the introductory text of 5A002.a; 
and the remaining paragraphs of the Note are moved up, so that former 
paragraphs in the Note (h), (i), and (j) are now (g), (h), and (i).

5A003 ``Systems,'' ``Equipment'' and ``Components,'' for Non-
Cryptographic ``Information Security''

    ECCN 5A003 is amended by revising the Note to Items paragraph .a in 
the List of Items Controlled section to add a clarification of the term 
`physical layer security' and to provide a reference to ISO/IEC 7498-1.

5D002 ``Software''

    5D002 is amended by revising the EI controls in the License 
Requirements table to exclude subparagraphs pertaining to ECCN 5A003, 
which is not EI controlled. The Items paragraph in the List of Items 
Controlled section is amended by replacing 5D002.b, which no longer 
controls anything, with ``cryptographic activation'' from 5D002.d, so 
that it has the same paragraph number as the equivalent controls in 
ECCNs 5A002 and 5E002. Paragraph 5D002.c.2 is replaced, because it no 
longer controls anything, and new control text is added corresponding 
to ECCN 5A003. Items paragraphs 5D002.a and .c are cascaded in order to 
create separate subparagraphs a.1, a.2, a.3 and c.1, c.2 and c.3 
corresponding to ECCNs 5A002, 5A003, and 5A004.

5E002 ``Technology''

    ECCN 5E002 is corrected to correspond to the WA list by revising 
the text in Items paragraph 5E002.b.

Category 6--Sensors and Lasers

6A00 Acoustic Systems, Equipment and ``Components''

    ECCN 6A001 is amended by adding a hyphen to the word ``real-time'' 
in two places in the LVS paragraph in the List Based License Exceptions 
section; in the List of Items Controlled section, by adding double 
quotes around the word ``accuracy'' in Items paragraphs a.1.a.1.d and 
a.1.a.2.b.4; by adding a hyphen to the word ``user-accessible'' in 
Items paragraph a.2.c; by adding a Nota Bene to Items paragraph a.2.d.2 
to reference 7A003.c for inertial heading systems; and by adding a 
hyphen to the word ``user-accessible programmability'' in items 
paragraph a.2.f. The majority of these revisions are editorial in 
nature (e.g., adding quotes or hyphens).

6A003 Cameras, Systems or Equipment, and ``Components'' Therefor

    ECCN 6A003 is amended by correcting paragraph b.1 in Note 3 to 
Items paragraph b.4.b in the List of Items Controlled section to remove 
the word ``pixel'' from the units, so that the unit simply reads milli-
radians or mrad;

[[Page 38770]]

this correction does not change the scope of this decontrol note.

6A005 ``Lasers,'' ``Components'' and Optical Equipment

    The List of Items Controlled section of ECCN 6A005 is amended by 
revising Items paragraph a.6.a to raise the output power from 200 W to 
500 W for non-tunable continuous wave lasers, as well as by removing 
``or'' in Items paragraph a.7.b because this paragraph is not the last 
paragraph before the end of the series in Items paragraph .a. This rule 
adds an upper limit ``not exceeding 1,850 nm'' to Items paragraph a.8. 
This rule also adds two new Items paragraphs a.9 and a.10 to add two 
new output wavelength ranges for non-tunable continuous wave (CW) 
lasers (exceeding 1,850 nm -2,100 nm, including output power parameters 
for single and multiple transverse mode lasers) and (exceeding 2,100 nm 
and output power exceeding 1W). In addition, this rule corrects Items 
paragraph b.7.b.3 (non-tunable pulsed lasers) by removing ``or'' 
because this paragraph is not the last paragraph before the end of the 
series in Items paragraph b. Items paragraph b.8 is revised to add an 
upper threshold of ``not exceeding 1,850 nm.'' This rule adds two new 
output wavelength ranges for non-tunable pulsed lasers by adding Items 
paragraph b.9 (exceeding 1,850 nm but not exceeding 2,100 nm) and b.10 
(exceeding 2,100 nm). These changes represent a decontrol of items in 
6A005 and are estimated to result in a decrease of 30 license 
application submissions annually.

6A008 Radar Systems, Equipment and Assemblies

    ECCN 6A008 is amended to harmonize with the WA list by removing 
Related Controls Note (1) and redesignating Notes (2) and (3) as (1) 
and (2), because Note (1) deviated from the WA exclusion Note that 
already exists in ECCN 6A008, which resulted in confusion.

6D003 Other ``Software''

    ECCN 6D003 is corrected by adding a hyphen to the term ``real time 
processing'' so that it reads ``real-time processing'' in Items 
paragraphs a.1 through a.4, a.5.a, f.3, and f.4.

6E003 Other ``Technology''

    ECCN 6E003 is amended by rewriting Items paragraph d.1 and d.2 in 
the List of Items Controlled section to clarify the scope and use of 
the words ``technology'' and ``required.''

Category 7--Navigation and Avionics

7D003 Other ``Software'' and 7E001 ``Technology''

    This rule corrects the capitalization in the Heading of 7E001. The 
Related Controls paragraphs of ECCNs 7D003 and 7E001 are amended by 
removing references to ECCNs 0D521 and 0E521, because software and 
technology for fly-by-wire controls systems were removed from 0D521 and 
0E521 (see 80 FR 29452, May 21, 2015). Items paragraph 7D003.e is 
amended by revising one Items paragraph reference and adding two 
additional references to correspond to revisions made by this rule to 
ECCN 7E004.

7D004 ``Source Code'' Incorporating ``Development'' ``Technology'' 
Specified

    The heading of 7D004 is amended by revising the reference to Items 
paragraphs in 7E004 to correspond to revisions this rule makes to ECCN 
7E004.

7E003 ``Technology'' According to the General Technology Note for the 
Repair, Refurbishing or Overhaul of Equipment Controlled by 7A001 to 
7A004

    The Related Controls paragraph of ECCN 7E003 is amended by revising 
the phrase ``maintenance technology'' to read ``technology for 
maintenance'' to clarify the scope of the decontrol text.

7E004 Other ``Technology''

    ECCN 7E004 is amended to clarify the scope of control by removing 
the word ``development'' and capitalizing the word ``Technology'' in 
paragraphs 1 and 2 of the Note to Items paragraph b.5 in the List of 
Items Controlled section, because the term ``development'' is already 
in the definition of ``technology'' and does not need to be used again.

Category 8--Marine

8A002 Marine Systems, Equipment, ``Parts'' and ``Components''

    ECCN 8A002 is amended by adding double quotes around the word 
``fuel cell'' in the introductory text of Items paragraph j.3 in the 
List of Items Controlled section to indicate that it is a defined term 
in part 772 of the EAR.

8C001 `Syntactic Foam' Designed for Underwater Use

    ECCN 8C001 is amended by adding double quotes around the word 
``matrix'' in the Related Definitions paragraph of the List of Items 
Controlled section to indicate that it is a defined term in part 772 of 
the EAR.

Category 9--Aerospace and Propulsion

9A001 Aero Gas Turbine Engines

    ECCN 9A001 is amended by adding double quotes around the word 
``technologies'' in Items paragraph 9A001.a in the List of Items 
section to indicate that this is a defined term in part 772 of the EAR.

9A004 Space Launch Vehicles and ``Spacecraft,'' ``Spacecraft Buses,'' 
``Spacecraft Payloads,'' ``Spacecraft'' On-Board Systems or Equipment, 
and Terrestrial Equipment

    ECCN 9A004 is amended by removing the comma after the word 
``equipment'' and adding a comma after the word ``spacecraft'' in the 
introductory text of Items paragraph .f in the List of Items Controlled 
section to correct the punctuation and clarify the scope of the 
paragraph (i.e., to clarify that a list of controlled terrestrial 
equipment is what follows Items paragraph .f and not a list of 
``specially designed'' spacecraft).

9A515 ``Spacecraft'' and Related Commodities

    ECCN 9A515 is amended by revising the Related Controls paragraph in 
the List of Items Controlled section to capitalize ``Microwave 
Monolithic Integrated Circuits'' and add quotes around the term and its 
acronym, ``MMICs,'' in order to correspond to the WA drafting 
guidelines and indicate that the term is defined in part 772 of the 
EAR. This rule also implements an amendment that is not a result of 
changes made to the WA list by revising paragraph .a to clarify that 
only the International Space Station and the James Webb Space 
Telescope, and ``specially designed'' ``parts,'' ``components,'' 
``accessories'' and ``attachments'' for those platforms are excluded 
from 9A515.a. Specifically, the reference to ECCN 9A004 now reads ECCN 
9A004.u or .w.

9B002 On-Line (Real Time) Control Systems, Instrumentation (Including 
Sensors) or Automated Data Acquisition and Processing Equipment

    Items paragraph 9B002.b is amended by replacing the phrase 
``incorporating technologies'' with ``incorporating any of the 
technology'' to clarify the scope of the control paragraph.

9B009 Tooling ``Specially Designed'' for Producing Turbine Engine 
Powder Metallurgy Rotor ``Parts'' or ``Components''

    The Heading of ECCN 9B009 is amended by moving the control 
parameter from the Heading to the Items paragraph, as well as adding 
the word

[[Page 38771]]

``gas'' before ``turbine engine'' to add specificity to the control. 
This rule also replaces the phrase ``capable of operating at'' with 
``designed to operate at'' to control the intended capability of the 
item versus the actual capability, as the actual capability may vary 
from item to item in the same production line, which complicates 
classification of a product against specific parameters. In addition, a 
new parameter, ``designed to operate at a temperature of 873 K (600 
[deg]C) or more,'' is added, as well as a new exclusion Note for 
tooling for the production of powder. Normally, more specific 
parameters would narrow the scope of the control and result in a 
decrease of license application submissions, but BIS received only one 
application for this entry last year. BIS estimates there will be no 
change in the number of license application submissions as a result of 
this revision.

9E003 Other ``Technology''

    ECCN 9E003 is amended by adding a Technical Note to Items paragraph 
a.1 in the List of Items Controlled section to indicate that stress-
rupture life testing is typically conducted on a test specimen. Items 
paragraph 9E003.a.2.a (thermally decoupled liners for combustors) is 
revised by adding single quotes around the term `thermally decoupled 
liners' and adding a Technical Note to provide a definition for the 
term. To accommodate the new Technical Note, the rule redesignates the 
existing Technical Note as Technical Note 2 and adds the new Technical 
Note as Technical Note 1. The Note to Items paragraph i.3 is revised by 
removing the terms ``development'' and ``production,'' because these 
terms are already in the definition of ``technology,'' and there is no 
need to be redundant when stating the scope of the exclusion note.

Part 772--Definitions of Terms as Used in the Export Administration 
Regulations (EAR)

    Section 772.1 is amended by adding the terms ``authentication'' 
(see explanation above under ECCN 5A002), ``MMIC'' and ``Monolithic 
Microwave Integrated Circuit'' (see explanation above under ECCN 
3A001). This rule also adds quotes around the term ``aircraft'' in the 
definitions of ``fly-by-light system'' and ``fly-by-wire system,'' 
because the use of ``aircraft'' in this definition pertains to the term 
``aircraft,'' which is defined in part 772 of the EAR. The term ``real-
time bandwidth'' is revised to add a hyphen between words ``real'' and 
``time,'' and a comma and a phrase in the definition are moved to 
clarify the definition. The Category 7 reference is removed from the 
term ``real-time processing,'' because this term is no longer used in 
this category of the CCL. The term ``stability'' is revised by adding a 
Statement of Understanding that provides guidance on how to estimate 
``stability'' for gyroscopes. The term ``three dimensional integrated 
circuit'' is revised, because 3D and 2.5D integrated circuit 
technologies allow the integration of many different types of 
integrated circuits, and not all 3D Integrated circuits are composed 
solely of semiconductor die sandwiched together. Also, a description is 
added for the term ``interposer,'' which is now used in the definition 
of ``three dimensional integrated circuit.'' This rule also revises the 
category reference for the following terms: Active pixel, aircraft, 
fibrous or filamentary materials, frequency hopping, and spacecraft.

Supplement No. 6 to Part 774 ``Sensitive List''

    Supplement No. 6 to part 774 ``Sensitive List'' (SL) is amended by 
removing reference to 1C007.d in paragraphs (iii), (vi) and (vii) of 
Category 1, because this paragraph was moved to 1C007.c.2, and 1C007.c 
is already listed. Supplement No. 6 to part 774 (SL) is also amended by 
revising the parameters in paragraphs (4)(ii) and (iii) to match the 
revisions to APP in ECCNs 4D001 and 4E001, and adding a hyphen in the 
term ``user-accessible programmability'' in paragraphs (6)(v) and 
(viii). In Category 6 of the SL, this rule adds double quotes around 
the term ``magnetic gradiometers'' in paragraph (xxiv)(C) and around 
the word ``magnetometers'' in paragraph (xxv), in order to indicate 
that these words are defined in part 772 of the EAR. Paragraph 
(9)(viii) is removed and reserved, because 9E003.a.1 is moving to 
paragraph (9)(ix). Paragraph 9E003.h is moved to its own SL paragraph, 
(9)(x).
    The following is a change to the EAR related to the WA 2016 
agreements.

Section 740.7 ``License Exception APP''

    Consistent with Executive Order 13742 of October 7, 2016, which 
terminated the national emergency with respect to the actions and 
policies of the Government of Burma (Burma) and revoked several Burma-
related Executive Orders in recognition of Burma's substantial advances 
to promote democracy (including historic elections held in November 
2015 that resulted in the formation of a democratically elected, 
civilian-led government), this rule moves Burma from paragraph (d)(1) 
``Computer Tier 3'' to paragraph (c)(1) ``Computer Tier 1.'' As 
provided in subsection 1211(e) of the National Defense Authorization 
Act for Fiscal Year 1998 (Pub. L. 105-85, November 18, 1997, 111 Stat. 
1629, 1932-1933, as amended; 50 U.S.C. 4604 note), this revision shall 
not take effect until 120 days after the President submits to the 
Congress a report setting forth the justification. On July 27, 2017 the 
Secretary of Commerce, as the President's delegate, submitted to 
Congress a report that provided justification for the movement of Burma 
from Computer Tier 3 to Tier 1. Therefore, this revision will become 
effective on November 24, 2017.

Export Administration Act

    Although the Export Administration Act of 1979, as amended, expired 
on August 21, 2001, the President, through Executive Order 13222 of 
August 17, 2001, 3 CFR, 2001 Comp., p. 783 (2002), as amended by 
Executive Order 13637 of March 8, 2013, 78 FR 16129 (March 13, 2013), 
and as extended by the Notice of August 4, 2016, 81 FR 52587 (August 8, 
2016), has continued the EAR in effect under the International 
Emergency Economic Powers Act (50 U.S.C. 1701 et seq.). BIS continues 
to carry out the provisions of the Export Administration Act, as 
appropriate and to the extent permitted by law, pursuant to Executive 
Order 13222, as amended by Executive Order 13637.

Saving Clause

    Shipments of items removed from license exception eligibility or 
eligibility for export, reexport or transfer (in-country) without a 
license as a result of this regulatory action that were on dock for 
loading, on lighter, laden aboard an exporting carrier, or en route 
aboard a carrier to a port of export, on August 15, 2017, pursuant to 
actual orders for exports, reexports and transfers (in-country) 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 exports, reexports and transfers (in-country) before October 16, 
2017. Any such items not actually exported, reexported and transferred 
(in-country) before midnight, on October 16, 2017, require a license in 
accordance with this final rule.

Executive Order Requirements

    Executive Orders 13563 and 12866 direct agencies to assess all 
costs and benefits of available regulatory alternatives and, if 
regulation is necessary, to select regulatory approaches that maximize 
net benefits (including potential economic,

[[Page 38772]]

environmental, public health and safety effects, distributive impacts, 
and equity). Executive Order 13563 emphasizes the importance of 
quantifying both costs and benefits, of reducing costs, of harmonizing 
rules, and of promoting flexibility.
    This rule has been designated a ``significant regulatory action,'' 
under Executive Order 12866. The Wassenaar Arrangement (WA) has been 
established in order to contribute 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. The aim is 
also to prevent the acquisition of these items by terrorists. There are 
presently 41 Participating States, including the United States, that 
seek through their national policies to ensure that transfers of these 
items do not contribute to the development or enhancement of military 
capabilities that undermine these goals, and to ensure that these items 
are not diverted to support such military capabilities that undermine 
these goals. Implementation of the WA agreements in a timely manner 
enhances the national security of the United States and global 
international trade.
    This rule does not contain policies with Federalism implications as 
that term is defined under Executive Order 13132.
    This rule is not subject to the requirements of E.O. 13771 (82 FR 
9339, February 3, 2017) because it is issued with respect to a national 
security function of the United States.

Paperwork Reduction Act Requirements

    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 the following OMB approved collections of 
information subject to the PRA: 0694-0088, ``Multi-Purpose 
Application,'' and carries a burden hour estimate of 29.6 minutes for a 
manual or electronic submission; 0694-0106, ``Reporting and 
Recordkeeping Requirements under the Wassenaar Arrangement,'' which 
carries a burden hour estimate of 21 minutes for a manual or electronic 
submission; 0694-0137 ``License Exceptions and Exclusions,'' which 
carries a burden hour estimate average of 1.5 hours per submission 
(Note: submissions for License Exceptions are rarely required); 0694-
0096 ``Five Year Records Retention Period,'' which carries a burden 
hour estimate of less than 1 minute; and 0607-0152 ``Automated Export 
System (AES) Program, which carries a burden hour estimate of 3 minutes 
per electronic submission. Below is a table that estimates there will 
be a decrease in the number of license application submissions BIS 
receives per year as a result of the revisions in this rule. A decrease 
in license application submissions in turn results in a decrease in 
Wassenaar reporting and recordkeeping, the use of license exceptions, 
and the 5-year records retention burden, but does not relieve the 
burden to file export information in the Automated Export System. 
Specific license application submission estimates are discussed further 
in the preamble of this rule where the revision is explained. BIS 
estimates that revisions that are editorial, moving the location of 
control text on the Commerce Control List, or clarifications will 
result in no change in license application submissions. The estimated 
annual cost savings for both application submitters and the U.S. 
Government is $3,547.60, and the estimated annual burden hour decrease 
is 34.8 hours.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                 Total mins for       Cost for respondents   Total min to process   Cost for gov't ($40/
            Description                 Total submissions    submission  (29.6 min)    ($30/hr or $2/min)    application (45 min)     hr or  $1.5/min)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1C007.c titanium diboride..........  0.....................  0.....................  0....................  0....................  0.
1C007.d ceramic composite material.  2.....................  59.2..................  $118.40..............  90...................  $135.00.
1C007.e precursors.................  0.....................  0.....................  0....................  0....................  0.
3A001.a.14 integrated circuits.....  50....................  1480..................  $2,960.00............  2250.................  $3375.00.
3A001.b.1 vacuum electric devices..  10....................  296...................  $592.00..............  450..................  $675.00.
3A001.b.11 frequency synthesizers..  (30)..................  (888).................  ($1776.00)...........  (1350)...............  ($2025.00).
3A001.f ``specially . . .            5.....................  148...................  $296.00..............  225..................  $337.50.
 designed'' encoder rings, discs or
 scales.
3A002.c.4.b frequency mask trigger.  15....................  444...................  $888.00..............  675..................  $1012.50.
3B001.a.1 equipment designed for     (20)..................  (592).................  ($1184.00)...........  (900)................  ($1350.00).
 epitaxial growth.
3C001.d non-sensitive p-type         (5)...................  (148).................  ($296.00)............  (225)................  ($337.50).
 epitaxial layer materials.
4A003.b computers..................  0.....................  0.....................  0....................  0....................  0.
4D001 and 4E001 technology and       0.....................  0.....................  0....................  0....................  0.
 software for computers.
5A001.b.6 `voice coding'...........  0.....................  0.....................  0....................  0....................  0.
5B001 telecom materials............  (5)...................  (148).................  ($296.00)............  (225)................  ($337.50).
5E001.c.1 telecom technology.......  (5)...................  (148).................  ($296.00)............  (225)................  ($337.50).
5E001.c.2.c telecom technology.....  (15)..................  (444).................  ($888.00)............  (675)................  ($1012.50).
6A005 lasers.......................  (30)..................  (888).................  ($1776.00)...........  (1350)...............  ($2025.00).
9B009 Tooling ``specially            0.....................  0.....................  0....................  0....................  0.
 designed'' for producing turbine
 engine powder metallurgy rotor
 ``parts'' or ``components.
                                    --------------------------------------------------------------------------------------------------------------------
    Totals.........................  (28 fewer submissions   (828.8 fewer burden     ($1657.60 decrease of  (1260 fewer burden     ($1890.00 decrease of
                                      annually).              minutes for             cost burden to         minutes for USG        cost burden to USG
                                                              submitters annually).   submitters annually).  annually).             annually).
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 38773]]

    Any comments regarding these burden estimates or any other aspect 
of these collections of information, including suggestions for reducing 
the burden, may be sent to OMB Desk Officer, New Executive Office 
Building, Washington, DC 20503; and to Jasmeet K. Seehra, Office of 
Management and Budget (OMB), by email to <a href="/cdn-cgi/l/email-protection#efa58e9c828a8a9bb0a4c1b0bc8a8a879d8eaf80828dc18a809fc1888099"><span class="__cf_email__" data-cfemail="5b113a28363e3e2f04107504083e3e33293a1b343639753e342b753c342d">[email protected]</span></a>, 
or by fax to (202) 395-7285.

Administrative Procedure Act and Regulatory Flexibility Act 
Requirements

    The provisions of the Administrative Procedure Act (5 U.S.C. 553) 
requiring notice of proposed rulemaking, the opportunity for public 
participation, and a delay in effective date, are inapplicable because 
this action involves a military and foreign affairs function of the 
United States (5 U.S.C. 553(a)(1)). Immediate implementation of these 
amendments fulfills the United States' international commitments to the 
WA. The WA is committed to contributing to regional and international 
security and stability by promoting responsibility and transparency in 
the global arms trade, and preventing destabilizing accumulations of 
arms. As a Participating State, the United States is charged with 
implementing the agreed list changes as soon as possible after 
approval. Because the United States is a significant exporter of the 
list items discussed in this rule, implementation of this provision is 
necessary for the WA to achieve its purpose, and will enhance the 
national security of the United States and global international trade.
    Although the APA requirements in section 553 are not applicable to 
this action under the provisions of paragraph (a)(1), this action also 
falls within two other exceptions in the section. The subsection (b) 
requirement that agencies publish a notice of proposed rulemaking that 
includes information on the public proceedings does not apply when an 
agency for good cause finds that the notice and public procedures are 
impracticable, unnecessary, or contrary to the public interest, and the 
agency incorporates the finding (and reasons therefor) in the rule that 
is issued (5 U.S.C. 553(b)(B)). In addition, the section 553(d) 
requirement that publication of a rule shall be made not less than 30 
days before its effective date can be waived if an agency finds there 
is good cause to do so.
    The section 553 requirements for notice and public procedures and 
for a delay in the date of effectiveness do not apply to this rule, as 
there is good cause to waive such practices. Delay in implementation 
would disrupt the movement of these potential national-security 
controlled items globally, creating disharmony between export control 
measures implemented by the 41 WA Participating States. Export controls 
work best when all countries implement the same export controls in a 
timely manner. Delaying this rulemaking would prevent the United States 
from fulfilling its commitment to the WA in a timely manner, would 
injure the credibility of the United States in this and other 
multilateral regimes, and may impair the international community's 
ability to effectively control the export of national security 
controlled items. Therefore, this regulation is issued in final form, 
and is effective August 15, 2017.
    Further, no other law requires that a notice of proposed rulemaking 
and an opportunity for public comment be given for this final rule. 
Because a notice of proposed rulemaking and an opportunity for public 
comment are not required to be given for this rule under the 
Administrative Procedure Act or by any other law, the analytical 
requirements of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.) 
are not applicable. Accordingly, no regulatory flexibility analysis is 
required and none has been prepared.

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 through 774) are amended as follows:

PART 740--[AMENDED]

0
1. The authority citation for part 740 continues to read as follows:

    Authority:  50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; 22 
U.S.C. 7201 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of 
August 4, 2016, 81 FR 52587 (August 8, 2016).


0
2. Section 740.7 is amended by:
0
a. Adding ``Burma,'' to paragraph (c)(1) after ``Burkina Faso,'' ; and
0
b. Removing ``Burma,'' from paragraph (d)(1).

PART 772--[AMENDED]

0
3. The authority citation for part 772 continues to read as follows:

    Authority:  50 U.S.C. 4601 et seq.; 50 U.S.C. 1701 et seq.; E.O. 
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 4, 
2016, 81 FR 52587 (August 8, 2016).


0
4. Section 772.1 is amended by:
0
a. Removing ``(Cat 6 and 8)'' and adding in its place ``(Cat 6)'' in 
the definition of ``active pixel'';
0
b. Removing ``(Cat 1, 7, and 9)'' and adding in its place ``(Cat 1, 6, 
7, and 9)'' in the definition of ``aircraft'';
0
c. Adding the definition of ``Authentication'' in alphabetical order;
0
d. Removing ``(Cat 1 and 8)'' and adding in its place ``(Cat 1, 2, 8 
and 9)'' in
0
the definition of ``fibrous or filamentary materials'';
0
e. Adding quotes around the term ``aircraft'' in the definitions of the 
terms ``fly-by-light system'' and ``fly-by-wire system'';
0
f. Removing ``(Cat 5 part 1 and 5 part 2)'' and adding in its place 
``(Cat 5P1, 5P2 and 6)'' in the definition of ``frequency hopping'';
0
g. Adding the definitions of ``MMIC'' and ``Monolithic Microwave 
Integrated Circuit'' in alphabetical order;
0
h. Removing the definition of ``multilevel security'' including the 
Note;
0
i. Revising the definitions of ``real-time bandwidth'' and ``real-time 
processing'';
0
j. Remove ``(Cat 7 and 9)'' and add in its place ``(Cat 9)'' in the 
definition of ``spacecraft''; and
0
k. Revising the definitions of ``stability'' and ``three dimensional 
integrated circuit''.

    The additions and revisions read as follows:


772.1  Definitions of terms as used in the Export Administration 
Regulations (EAR).

* * * * *
    ``Authentication''. (Cat 5P2) Verifying the identity of a user, 
process or device, often as a prerequisite to allowing access to 
resources in an information system. This includes verifying the origin 
or content of a message or other information, and 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.
* * * * *
    ``MMIC''. (Cat 3 and 5) See ``Monolithic Microwave Integrated 
Circuit''
* * * * *

[[Page 38774]]

    ``Monolithic Microwave Integrated Circuit'' (``MMIC'') (Cat 3, 5P1 
and 9) is a ``monolithic integrated circuit'' that operates at 
microwave or millimeter wave frequencies.
* * * * *
    Real-time bandwidth. (Cat 3) For ``signal analyzers'', the widest 
frequency range for which the analyzer can continuously transform time 
domain data entirely into frequency-domain results using Fourier or 
other discrete time transform that processes every incoming time point, 
without a reduction of measured amplitude of more than 3 dB below the 
actual signal amplitude caused by gaps or windowing effects, while 
outputting or displaying the transformed data.
    ``Real-time Processing''. (Cat 2, 4, and 6) The processing of data 
by a computer system providing a required level of service, as a 
function of available resources, within a guaranteed response time, 
regardless of the load of the system, when stimulated by an external 
event.
* * * * *
    ``Stability''. (Cat 7) Standard deviation (1 sigma) of the 
variation of a particular parameter from its calibrated value measured 
under stable temperature conditions. This can be expressed as a 
function of time.

    Note to the Defintion of ``Stability'':  For gyroscopes, 
``stability'' can be estimated by determining the Allan variance 
noise-analysis value at the integration period (i.e., sample time) 
consistent with the stated measurement period, which may include 
extrapolating the Allan variance noise analysis beyond the 
instability point into the rate random walk or rate ramp regions to 
an integration period consistent with the stated measurement period 
(Reference: IEEE Std. 952-1997 [R2008]). Allan variance noise 
analysis is often used to characterize Micro Electro Mechanical 
Systems (MEMS) gyroscopes, and is applicable to other gyroscopes, 
such as Ring Laser Gyroscopes (RLGs) and Fiber Optic Gyroscopes 
(FOGs).

* * * * *
    ``Three dimensional integrated circuit''. (Cat 3) A collection of 
semiconductor dies or active device layers, integrated together, and 
having through semiconductor via connections passing completely through 
an interposer, substrate, die or layer to establish interconnections 
between the device layers. An interposer is an interface that enables 
electrical connections.
* * * * *

PART 774--[AMENDED]

0
5. The authority citation for part 774 continues to read as follows:

    Authority:  50 U.S.C. 4601 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; 43 
U.S.C. 1354; 15 U.S.C. 1824a; 50 U.S.C. 4305; 22 U.S.C. 7201 et 
seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of 
August 4, 2016, 81 FR 52587 (August 8, 2016).


0
6. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 1, ECCN 1A004 is revised to read as follows:

Supplement No. 1 to Part 774--The Commerce Control List

* * * * *

1A004 Protective and detection equipment and ``components,'' not 
``specially designed'' for military use, as follows (see List of 
Items Controlled).
Reason for Control: NS, CB, RS, AT

 
                                              Country chart  (See Supp.
                Control(s)                       No. 1  to part 738)
 
NS applies to entire entry................  NS Column 2
CB applies to chemical detection systems    CB Column 2
 and dedicated detectors therefor, in
 1A004.c, that also have the technical
 characteristics described in 2B351.a.
RS apply to 1A004.d.......................  RS Column 2
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: (1) See ECCNs 1A995, 2B351, and 2B352. (2) See 
ECCN 1D003 for ``software'' ``specially designed'' or modified to 
enable equipment to perform the functions of equipment controlled 
under section 1A004.c (Nuclear, biological and chemical (NBC) 
detection systems). (3) See ECCN 1E002.g for control libraries 
(parametric technical databases) ``specially designed'' or modified 
to enable equipment to perform the functions of equipment controlled 
under 1A004.c (Nuclear, biological and chemical (NBC) detection 
systems). (4) Chemical and biological protective and detection 
equipment specifically designed, developed, modified, configured, or 
adapted for military applications is ``subject to the ITAR'' (see 22 
CFR parts 120 through 130, including USML Category XIV(f)), as is 
commercial equipment that incorporates ``parts'' or ``components'' 
controlled under that category except for domestic preparedness 
devices for individual protection that integrate ``components'' and 
``parts'' identified in USML Category XIV(f)(4) when such ``parts'' 
or ``components'' are: (i) Integral to the device; (ii) inseparable 
from the device; and (iii) incapable of replacement without 
compromising the effectiveness of the device, in which case the 
equipment is ``subject to the EAR'' under ECCN 1A004. (5) This entry 
does not control radionuclides incorporated in equipment listed in 
this entry--such materials are subject to the licensing jurisdiction 
of the Nuclear Regulatory Commission (See 10 CFR part 110).
Related Definitions: (1) `Biological agents' means: Pathogens or 
toxins, selected or modified (such as altering purity, shelf life, 
virulence, dissemination characteristics, or resistance to UV 
radiation) to produce casualties in humans or animals, degrade 
equipment or damage 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. Full face masks, filter canisters and decontamination 
equipment therefor, designed or modified for defense against any of 
the following, and ``specially designed'' ``components'' therefor:

    Note:  1A004.a includes Powered Air Purifying Respirators (PAPR) 
that are designed or modified for defense against agents or 
materials, listed in 1A004.a.


    Technical Notes:  For the purpose of 1A004.a:
    1. Full face masks are also known as gas masks.
    2. Filter canisters include filter cartridges.


    a.1. `Biological agents;'
    a.2. `Radioactive materials;'
    a.3. Chemical warfare (CW) agents; or
    a.4. `Riot control agents,' as follows:
    a..4.a. [alpha]-Bromobenzeneacetonitrile, (Bromobenzyl cyanide) 
(CA) (CAS 5798-79-8);
    a..4.b. [(2-chlorophenyl) methylene] propanedinitrile, (o-
Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);
    a..4.c. 2-Chloro-1-phenylethanone, Phenylacyl chloride ([omega]-
chloroacetophenone) (CN) (CAS 532-27-4);
    a..4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);
    a..4.e. 10-Chloro-5, 10-dihydrophenarsazine, (Phenarsazine 
chloride), (Adamsite), (DM) (CAS 578-94-9);
    a..4.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:
    b.1. `Biological agents';
    b.2. `Radioactive materials;' or
    b.3. Chemical warfare (CW) agents;
    c. Detection systems, ``specially designed'' or modified for 
detection or identification of any of the following, and ``specially 
designed'' ``components'' therefor:

[[Page 38775]]

    c.1. `Biological agents';
    c.2. `Radioactive materials;' or
    c.3. Chemical warfare (CW) agents;
    d. Electronic equipment designed for automatically detecting or 
identifying the presence of ``explosives'' (as listed in the annex 
at the end of Category 1) residues and utilizing `trace detection' 
techniques (e.g., surface acoustic wave, ion mobility spectrometry, 
differential mobility spectrometry, mass spectrometry).


    Technical Note:  `Trace detection' is defined as the capability 
to detect less than 1 ppm vapor, or 1 mg solid or liquid.


    Note 1:  1A004.d. does not apply to equipment ``specially 
designed'' for laboratory use.


    Note 2:  1A004.d. does not apply to non-contact walk-through 
security portals.


    Note:  1A004 does not control:
    a. Personal radiation monitoring dosimeters;
    b. Occupational health or safety equipment limited by design or 
function to protect against hazards specific to residential safety 
or civil industries, including:
    1. Mining;
    2. Quarrying;
    3. Agriculture;
    4. Pharmaceutical;
    5. Medical;
    6. Veterinary;
    7. Environmental;
    8. Waste management;
    9. Food industry.


    Technical Notes: 
    1. 1A004 includes equipment, ``components'' that have been 
`identified,' successfully tested to national standards or otherwise 
proven effective, for the detection of or defense against 
`radioactive materials' `` '' `biological agents,' 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.
    3. For the purposes of 1A004, `radioactive materials' are those 
selected or modified to increase their effectiveness in producing 
casualties in humans or animals, degrading equipment or damaging 
crops or the environment.


0
7. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 1, ECCN 1A007 is revised 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

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 2
NP applies to 1A007.b, as well as 1A007.a   NP Column 1
 when the detonator firing set meets or
 exceeds the parameters of 3A229.
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of all 
License Exceptions)

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: High explosives and related equipment ``specially 
designed'' for military use are ``subject to the ITAR'' (see 22 CFR 
parts 120 through 130). This entry does not control detonators using 
only primary explosives, such as lead azide. See also ECCNs 0A604, 
3A229, and 3A232. 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.


0
8. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 1, ECCN 1B001 is revised to read as follows:

1B001 Equipment for the production or inspection of ``composite'' 
structures or laminates controlled by 1A002 or ``fibrous or 
filamentary materials'' controlled by 1C010, as follows (see List of 
Items Controlled), and ``specially designed'' ``components'' and 
``accessories'' therefor.

License Requirements

Reason for Control: NS, MT, NP, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 2
MT applies to entire entry, except          MT Column 1
 1B001.d.4, e and f.
Note: MT applies to equipment in 1B001.d
 that meet or exceed the parameters of
 1B101.
NP applies to filament winding machines     NP Column 1
 described in 1B001.a that are capable of
 winding cylindrical rotors having a
 diameter between 75 mm (3 in) and 400 mm
 (16 in) and lengths of 600 mm (24 in) or
 greater; AND coordinating and programming
 controls and precision mandrels for these
 filament winding machines.
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: N/A for MT and for 1B001.a; $5,000 for all other items
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: (1) See ECCN 1D001 for software for items 
controlled by this entry and see ECCNs 1E001 (``development'' and 
``production'') and 1E101 (``use'') for technology for items 
controlled by this entry. (2) Also see ECCNs 1B101 and 1B201.
Related Definitions: N/A
Items:

    a. Filament winding machines, of which the motions for 
positioning, wrapping and winding fibers are coordinated and 
programmed in three or more `primary servo positioning' axes, 
``specially designed'' for the manufacture of ``composite'' 
structures or laminates, from ``fibrous or filamentary materials'';
    b. `Tape laying machines', of which the motions for positioning 
and laying tape are coordinated and programmed in five or more 
`primary servo positioning' axes, ``specially designed'' for the 
manufacture of ``composite'' airframe or missile structures;

    Technical Note:  For the purposes of 1B001.b, `tape-laying 
machines' have the ability to lay one or more `filament bands' 
limited to widths greater than 25.4 mm and less than or equal to 
304.8 mm, and to cut

[[Page 38776]]

and restart individual `filament band' courses during the laying 
process.

    c. Multidirectional, multidimensional weaving machines or 
interlacing machines, including adapters and modification kits, 
``specially designed'' or modified for weaving, interlacing or 
braiding fibers for ``composite'' structures;

    Technical Note: For the purposes of 1B001.c the technique of 
interlacing includes knitting.


    d. Equipment ``specially designed'' or adapted for the 
production of reinforcement fibers, as follows:
    d.1. Equipment for converting polymeric fibers (such as 
polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon 
fibers or silicon carbide fibers, including special equipment to 
strain the fiber during heating;
    d.2. Equipment for the chemical vapor deposition of elements or 
compounds, on heated filamentary substrates, to manufacture silicon 
carbide fibers;
    d.3. Equipment for the wet-spinning of refractory ceramics (such 
as aluminum oxide);
    d.4. Equipment for converting aluminum containing precursor 
fibers into alumina fibers by heat treatment;
    e. Equipment for producing prepregs controlled by 1C010.e by the 
hot melt method;
    f. Non-destructive inspection equipment ``specially designed'' 
for ``composite'' materials, as follows:
    f.1. X-ray tomography systems for three dimensional defect 
inspection;
    f.2. Numerically controlled ultrasonic testing machines of which 
the motions for positioning transmitters or receivers are 
simultaneously coordinated and programmed in four or more axes to 
follow the three dimensional contours of the ``part'' or 
``component'' under inspection;
    g. Tow-placement machines, of which the motions for positioning 
and laying tows are coordinated and programmed in two or more 
`primary servo positioning' axes, ``specially designed'' for the 
manufacture of ``composite'' airframe or missile structures.

    Technical Note to 1B001.g:  For the purposes of 1B001.g, `tow-
placement machines' have the ability to place one or more `filament 
bands' having widths less than or equal to 25.4 mm, and to cut and 
restart individual `filament band' courses during the placement 
process.


    Technical Notes for 1B001:  1. For the purpose of 1B001, 
`primary servo positioning' axes control, under computer program 
direction, the position of the end effector (i.e., head) in space 
relative to the work piece at the correct orientation and direction 
to achieve the desired process.
    2. For the purposes of 1B001, a `filament band' is a single 
continuous width of fully or partially resin-impregnated tape, tow 
or fiber. Fully or partially resin-impregnated `filament bands' 
include those coated with dry powder that tacks upon heating.



0
9. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 1, ECCN 1C007 is revised to read as follows:

1C007 Ceramic powders, ceramic-``matrix'' ``composite'' materials 
and `precursor materials,' as follows (see List of Items 
Controlled).

License Requirements

Reason for Control: NS, MT, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 2
MT applies to items in 1C007.c when the     MT Column 1
 dielectric constant is less than 6 at any
 frequency from 100 MHz to 100 GHz for use
 in ``missile'' radomes.
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $5000, except N/A for MT and for 1C007.e
GBS: N/A
CIV: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in 
1C007.c entry to any of the destinations listed in Country Group A:6 
(See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: See also 1C107.
Related Definitions: N/A
Items:

    a. Ceramic powders of titanium diboride (TiB2) (CAS 12045-63-5) 
having total metallic impurities, excluding intentional additions, 
of less than 5,000 ppm, an average particle size equal to or less 
than 5 [micro]m and no more than 10% of the particles larger than 10 
[micro]m;
    b. [Reserved]
    c. Ceramic-``matrix'' ``composite'' materials as follows:
    c.1. Ceramic-ceramic ``composite'' materials with a glass or 
oxide-``matrix'' and reinforced with any of the following:
    c.1.a. Continuous fibers made from any of the following 
materials:
    c.1.a.1. Al<INF>2</INF>O<INF>3</INF> (CAS 1344-28-1); or
    c.1.a.2. Si-C-N; or

    Note: 1C007.c.1.a does not apply to ``composites'' containing 
fibers with a tensile strength of less than 700 MPa at 1,273 K 
(1,000 [deg]C) or tensile creep resistance of more than 1% creep 
strain at 100 MPa load and 1,273 K (1,000 [deg]C) for 100 hours.

    c.1.b. Fibers being all of the following:
    c.1.b.1. Made from any of the following materials:
    c.1.b.1.a. Si-N;
    c.1.b.1.b. Si-C;
    c.1.b.1.c. Si-Al-O-N; or
    c.1.b.1.d. Si-O-N; and
    c.1.b.2. Having a ``specific tensile strength'' exceeding 12.7 x 
10\3\ m;
    c.2. Ceramic- ``matrix'' ``composite'' materials with a 
``matrix'' formed of carbides or nitrides of silicon, zirconium or 
boron;
    N.B.: For items previously listed under 1C007.c see 1C007.c.1.b.
    d. [Reserved]
    N.B.: For items previously listed under 1C007.d see 1C007.c.2.
    e. `Precursor materials' ``specially designed'' for the 
``production'' of materials controlled by 1C007.c, as follows:
    e.1. Polydiorganosilanes;
    e.2. Polysilazanes;
    e.3. Polycarbosilazanes;

    Technical Note: For the purposes of 1C007, `precursor materials' 
are special purpose polymeric or metallo-organic materials used for 
the ``production'' of silicon carbide, silicon nitride, or ceramics 
with silicon, carbon and nitrogen.

    f. [Reserved]
    N.B.: For items previously listed under 1C007.f see 1C007.c.1.a.


0
10. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 1, ECCN 1C608 is revised to read as follows:

1C608 ``Energetic materials'' and related commodities (see List of 
Items Controlled).

License Requirements

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

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1
RS applies to entire entry................  RS Column 1
MT applies to 1C608.m.....................  MT Column 1
AT applies to entire entry................  AT Column 1
UN applies to entire entry................  See Sec.   746.1(b) for UN
                                             controls
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $1500
GBS: N/A
CIV: N/A

Special Conditions for STA

STA: Paragraph (c)(2) of License Exception STA (Sec.  740.20(c)(2) 
of the EAR) may not be used for any item in 1C608.

List of Items Controlled

Related Controls: (1) The EAR does not control devices or charges 
containing materials controlled by USML subparagraphs V(c)(6), V(h), 
or V(i). The USML controls devices containing such materials. (2) 
The USML in Categories III, IV, or V controls devices and charges in

[[Page 38777]]

this entry if they contain materials controlled by Category V (other 
than slurries) and such materials can be easily extracted without 
destroying the device or charge. (3) See also explosives and other 
items enumerated in ECCNs 1A006, 1A007, 1A008, 1C011, 1C111, 1C239, 
and 1C992. (4) See ECCN 0A919 for foreign-made ``military 
commodities'' that incorporate more than a de minimis amount of US-
origin ``600 series'' controlled content.
Related Definitions: (1) For purposes of this entry, the term 
`controlled materials' means controlled energetic materials 
enumerated in ECCNs 1C011, 1C111, 1C239, 1C608, or USML Category V. 
(2) For the purposes of this entry, the term `propellants' means 
substances or mixtures that react chemically to produce large 
volumes of hot gases at controlled rates to perform mechanical work.
Items:

    a. `Single base,' `double base,' and `triple base' `propellants' 
having nitrocellulose with nitrogen content greater than 12.6% in 
the form of either:
    a.1. `Sheetstock' or `carpet rolls;' or
    a.2. Grains with diameter greater than 0.10 inches.

    Note: This entry does not control `propellant' grains used in 
shotgun shells, small arms cartridges, or rifle cartridges.


    Technical Notes: 1. `Sheetstock' is `propellant' that has been 
manufactured in the form of a sheet suitable for further processing.
    2. A `carpet roll' is `propellant' that has been manufactured as 
a sheet, often cut to a desired width, and subsequently rolled up 
(like a carpet).
    3. `Single base' is `propellant' which consists mostly of 
nitrocellulose.
    4. `Double base' `propellant' consist mostly of nitrocellulose 
and nitroglycerine.
    5. `Triple base' consists mostly of nitrocellulose, 
nitroglycerine, and nitroguanidine. Such `propellants' contain other 
materials, such as resins or stabilizers, that could include carbon, 
salts, burn rate modifiers, nitrodiphenylamine, wax, polyethylene 
glycol (PEG), polyglycol adipate (PGA).

    b. Shock tubes containing greater than 0.064 kg per meter (300 
grains per foot), but not more than 0.1 kg per meter (470 grains per 
foot) of `controlled materials.'
    c. Cartridge power devices containing greater than 0.70 kg, but 
not more than 1.0 kg of `controlled materials.'
    d. Detonators (electric or nonelectric) and ``specially 
designed'' assemblies therefor containing greater than 0.01 kg, but 
not more than 0.1 kg of `controlled materials.'
    e. Igniters not controlled by USML Categories III or IV that 
contain greater than 0.01 kg, but not more than 0.1 kg of 
`controlled materials.'
    f. Oil well cartridges containing greater than 0.015 kg, but not 
more than 0.1 kg of `controlled materials.'
    g. Commercial cast or pressed boosters containing greater than 
1.0 kg, but not more than 5.0 kg of `controlled materials.'
    h. Commercial prefabricated slurries and emulsions containing 
greater than 10 kg and less than or equal to thirty-five percent by 
weight of USML `controlled materials.'
    i. [Reserved]
    j. ``Pyrotechnic'' devices ``specially designed'' for commercial 
purposes (e.g., theatrical stages, motion picture special effects, 
and fireworks displays), and containing greater than 3.0 kg, but not 
more than 5.0 kg of `controlled materials.'
    k. Other commercial explosive devices or charges ``specially 
designed'' for commercial applications, not controlled by 1C608.c 
through .g above, containing greater than 1.0 kg, but not more than 
5.0 kg of `controlled materials.'
    l. Propyleneimine (2 methylaziridine) (C.A.S. #75-55-8).
    m. Any oxidizer or `mixture' thereof that is a compound composed 
of fluorine and any of the following: Other halogens, oxygen, or 
nitrogen.

    Note 1 to 1C608.m: Nitrogen trifluoride (NF3)(CAS 7783-54-2) in 
a gaseous state is controlled under ECCN 1C992 and not under ECCN 
1C608.m.


    Note 2 to 1C608.m Chlorine trifluoride (ClF3)(CAS 7790-91-2) is 
controlled under ECCN 1C111.a.3.f and not under ECCN 1C608.m.


    Note 3 to 1C608.m Oxygen difluoride (OF2) is controlled under 
USML Category V.d.10 (see 22 CFR 121.1) and not under ECCN 1C608.m.


    Note 1 to 1C608.l and m: If a chemical in ECCN 1C608.l or .m is 
incorporated into a commercial charge or device described in ECCN 
1C608.c through .k or in ECCN 1C992, the classification of the 
commercial charge or device applies to the item.


    Technical Note to 1C608.m: `Mixture' refers to a composition of 
two or more substances with at least one substance being enumerated 
in 1C011, 1C111, 1C239, 1C608, USML Category V, or elsewhere on the 
USML.

    n. Any explosives, `propellants,' oxidizers, ``pyrotechnics,'' 
fuels, binders, or additives that are ``specially designed'' for 
military application and not enumerated or otherwise described in 
USML Category V or elsewhere on the USML.


0
11. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 1, ECCN 1E001 is revised to read as follows:

1E001 ``Technology'' according to the General Technology Note for 
the ``development'' or ``production'' of items controlled by 1A002, 
1A003, 1A004, 1A005, 1A006.b, 1A007, 1A008 1A101, 1B (except 1B608, 
1B613 or 1B999), or 1C (except 1C355, 1C608, 1C980 to 1C984, 1C988, 
1C990, 1C991, 1C995 to 1C999).

License Requirements

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

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to ``technology'' for items      NS Column 1
 controlled by 1A002, 1A003, 1A005,
 1A006.b, 1A007, 1B001 to 1B003, 1B018,
 1C001 to 1C011, or 1C018.
NS applies to ``technology'' for items      NS Column 2
 controlled by 1A004.
MT applies to ``technology'' for items      MT Column 1
 controlled by 1A101, 1B001, 1B101, 1B102,
 1B115 to 1B119, 1C001, 1C007, 1C011,
 1C101, 1C102, 1C107, 1C111, 1C116, 1C117,
 or 1C118 for MT reasons
NP applies to ``technology'' for items      NP Column 1
 controlled by 1A002, 1A007, 1B001, 1B101,
 1B201, 1B225, 1B226, 1B228 to 1B234,
 1C002, 1C010, 1C111, 1C116, 1C202, 1C210,
 1C216, 1C225 to 1C237, or 1C239 to 1C241
 for NP reasons
CB applies to ``technology'' for items      CB Column 1
 controlled by 1C351, 1C353, or 1C354
CB applies to ``technology'' for materials  CB Column 2
 controlled by 1C350 and for chemical
 detection systems and dedicated detectors
 therefor, in 1A004.c, that also have the
 technical characteristics described in
 2B351.a
RS applies to technology for equipment      RS Column 2
 controlled in 1A004.d
AT applies to entire entry                  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations
List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons; or (2) Exports and reexports to 
destinations outside of those countries listed in Country Group A:5 
(See Supplement No. 1 to part 740 of the EAR) of ``technology'' for 
the ``development'' or production'' of the following:

[[Page 38778]]

(a) Items controlled by 1C001; or
(b) Items controlled by 1A002.a which are composite structures or 
laminates having an organic ``matrix'' and being made from materials 
listed under 1C010.c or 1C010.d.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``technology'' according to the General Technology Note for the 
``development'' or ``production'' of equipment and materials 
specified by ECCNs 1A002, 1C001, 1C007.c, 1C010.c or d or 1C012 to 
any of the destinations listed in Country Group A:6 (See Supplement 
No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) Also see ECCNs 1E101, 1E201, and 1E202. (2) 
See ECCN 1E608 for ``technology'' for items classified under ECCN 
1B608 or 1C608 that, immediately prior to July 1, 2014, were 
classified under ECCN 1B018.a or 1C018.b through .m (note that ECCN 
1E001 controls ``development'' and ``production'' ``technology'' for 
chlorine trifluoride controlled by ECCN 1C111.a.3.f--see ECCN 1E101 
for controls on ``use'' ``technology'' for chlorine trifluoride). 
(3) See ECCN 1E002.g for control libraries (parametric technical 
databases) ``specially designed'' or modified to enable equipment to 
perform the functions of equipment controlled under ECCN 1A004.c 
(Nuclear, biological and chemical (NBC) detection systems) or ECCN 
1A004.d (Equipment for detecting or identifying explosives 
residues). (4) ``Technology'' for lithium isotope separation (see 
related ECCN 1B233) and ``technology'' for items described in ECCN 
1C012 are subject to the export licensing authority of the 
Department of Energy (see 10 CFR part 810). (5) ``Technology'' for 
items described in ECCN 1A102 is ``subject to the ITAR'' (see 22 CFR 
parts 120 through 130).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN 
heading.


0
12. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 1, ECCN 1E002 is revised to read as follows:

1E002 Other ``technology'' as follows (see List of Items 
Controlled).

License Requirements

Reason for Control: NS, MT, NP, AT

 
                                              Country chart  (See Supp.
                Control(s)                       No. 1  to part 738)
 
NS applies to entire entry, except 1E002.g  NS Column 1
NS applies to 1E002.g                       NS Column 2
MT applies to 1E002.e                       MT Column 1
NP applies to ``technology'' for items      NP Column 1
 controlled by 1A002 for NP reasons
AT applies to entire entry                  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: Yes, except for 1E002.e and .f.

    License Exceptions Note: License Exception TSU is not applicable 
for the repair ``technology'' controlled by 1E002.e or .f, see 
supplement no. 2 to this part.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit any 
item in 1E002.e or .f to any of the destinations listed in Country 
Group A:6 (See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: See also 1E001, 1E101,1E102, 1E202, and 1E994 for 
``technology'' related to 1E002.e or .f.
Related Definitions: N/A
Items:

    a. ``Technology'' for the ``development'' or ``production'' of 
polybenzothiazoles or polybenzoxazoles;
    b. ``Technology'' for the ``development'' or ``production'' of 
fluoroelastomer compounds containing at least one vinylether 
monomer;
    c. ``Technology'' for the design or ``production'' of the 
following ceramic powders or non-``composite'' ceramic materials:
    c.1. Ceramic powders having all of the following:
    c.1.a. Any of the following compositions:
    c.1.a.1. Single or complex oxides of zirconium and complex 
oxides of silicon or aluminum;
    c.1.a.2. Single nitrides of boron (cubic crystalline forms);
    c.1.a.3. Single or complex carbides of silicon or boron; or
    c.1.a.4. Single or complex nitrides of silicon;
    c.1.b. Any of the following total metallic impurities (excluding 
intentional additions):
    c.1.b.1. Less than 1,000 ppm for single oxides or carbides; or
    c.1.b.2. Less than 5,000 ppm for complex compounds or single 
nitrides; and
    c.1.c. Being any of the following:
    c.1.c.1. Zirconia (CAS 1314-23-4) with an average particle size 
equal to or less than 1 [micro]m and no more than 10% of the 
particles larger than 5 [micro]m; or
    c.1.c.2. Other ceramic powders with an average particle size 
equal to or less than 5 [micro]m and no more than 10% of the 
particles larger than 10 [micro]m;
    c.2. Non-``composite'' ceramic materials composed of the 
materials described in 1E002.c.1;

    Note: 1E002.c.2 does not control ``technology'' for abrasives.

    d. [Reserved]
    e. ``Technology'' for the installation, maintenance or repair of 
materials controlled by 1C001;
    f. ``Technology'' for the repair of ``composite'' structures, 
laminates or materials controlled by 1A002 or 1C007.c;

    Note: 1E002.f does not control ``technology'' for the repair of 
``civil aircraft'' structures using carbon ``fibrous or filamentary 
materials'' and epoxy resins, contained in ``aircraft'' 
manufacturers' manuals.

    g. ``Libraries'' ``specially designed'' or modified to enable 
equipment to perform the functions of equipment controlled under 
1A004.c or 1A004.d.


0
13. In Supplement No. 1 to Part 774 (the Commerce Control List), Annex 
to Category 1--List of Explosives is revised to read as follows:

ANNEX to Category 1

List of Explosives (See ECCNs 1A004 and 1A008)

    1. ADNBF (aminodinitrobenzofuroxan or 7-amino-4,6-
dinitrobenzofurazane-1-oxide) (CAS 97096-78-1);
    2. BNCP (cis-bis (5-nitrotetrazolato) tetra amine-cobalt (III) 
perchlorate) (CAS 117412-28-9);
    3. CL-14 (diamino dinitrobenzofuroxan or 5,7-diamino-4,6-
dinitrobenzofurazane-1-oxide) (CAS 117907-74-1);
    4. CL-20 (HNIW or Hexanitrohexaazaisowurtzitane) (CAS 135285-90-
4); chlathrates of CL-20;
    5. CP (2-(5-cyanotetrazolato) penta amine-cobalt (III) 
perchlorate) (CAS 70247-32-4);
    6. DADE (1,1-diamino-2,2-dinitroethylene, FOX7) (CAS 145250-81-
3);
    7. DATB (diaminotrinitrobenzene) (CAS 1630-08-6);
    8. DDFP (1,4-dinitrodifurazanopiperazine);
    9. DDPO (2,6-diamino-3,5-dinitropyrazine-1-oxide, PZO) (CAS 
194486-77-6);
    10. DIPAM (3,3'-diamino-2,2',4,4',6,6'-hexanitrobiphenyl or 
dipicramide) (CAS 17215-44-0);
    11. DNGU (DINGU or dinitroglycoluril) (CAS 55510-04-8);
    12. Furazans as follows:
    a. DAAOF (diaminoazoxyfurazan);
    b. DAAzF (diaminoazofurazan) (CAS 78644-90-3);
    13. HMX and derivatives, as follows:
    a. HMX (Cyclotetramethylenetetranitramine, octahydro-1,3,5,7-
tetranitro-1,3,5,7-tetrazine, 1,3,5,7-tetranitro-1,3,5,7-tetraza-
cyclooctane, octogen or octogene) (CAS 2691-41-0);
    b. difluoroaminated analogs of HMX;
    c. K-55 (2,4,6,8-tetranitro-2,4,6,8-tetraazabicyclo [3,3,0]-
octanone-3, tetranitrosemiglycouril or keto-bicyclic HMX) (CAS 
130256-72-3);
    14. HNAD (hexanitroadamantane) (CAS 143850-71-9);
    15. HNS (hexanitrostilbene) (CAS 20062-22-0);
    16. Imidazoles as follows:
    a. BNNII (Octahydro-2,5-bis(nitroimino)imidazo [4,5-
d]imidazole);
    b. DNI (2,4-dinitroimidazole) (CAS 5213-49-0);
    c. FDIA (1-fluoro-2,4-dinitroimidazole);
    d. NTDNIA (N-(2-nitrotriazolo)-2,4-dinitroimidazole);

[[Page 38779]]

    e. PTIA (1-picryl-2,4,5-trinitroimidazole);
    17. NTNMH (1-(2-nitrotriazolo)-2-dinitromethylene hydrazine);
    18. NTO (ONTA or 3-nitro-1,2,4-triazol-5-one) (CAS 932-64-9);
    19. Polynitrocubanes with more than four nitro groups;
    20. PYX (2,6-Bis(picrylamino)-3,5-dinitropyridine) (CAS 38082-
89-2);
    21. RDX and derivatives, as follows:
    a. RDX (cyclotrimethylenetrinitramine, cyclonite, T4, hexahydro-
1,3,5-trinitro-1,3,5-triazine, 1,3,5-trinitro-1,3,5-triaza-
cyclohexane, hexogen or hexogene) (CAS 121-82-4);
    b. Keto-RDX (K-6 or 2,4,6-trinitro-2,4,6-triazacyclohexanone) 
(CAS 115029-35-1);
    22. TAGN (triaminoguanidinenitrate) (CAS 4000-16-2);
    23. TATB (triaminotrinitrobenzene) (CAS 3058-38-6);
    24. TEDDZ (3,3,7,7-tetrabis(difluoroamine) octahydro-1,5-
dinitro-1,5-diazocine);
    25. Tetrazoles as follows:
    a. NTAT (nitrotriazol aminotetrazole);
    b. NTNT (1-N-(2-nitrotriazolo)-4-nitrotetrazole);
    26. Tetryl (trinitrophenylmethylnitramine) (CAS 479-45-8);
    27. TNAD (1,4,5,8-tetranitro-1,4,5,8-tetraazadecalin) (CAS 
135877-16-6);
    28. TNAZ (1,3,3-trinitroazetidine) (CAS 97645-24-4);
    29. TNGU (SORGUYL or tetranitroglycoluril) (CAS 55510-03-7);
    30. TNP (1,4,5,8-tetranitro-pyridazino[4,5-d]pyridazine) (CAS 
229176-04-9);
    31. Triazines as follows:
    a. DNAM (2-oxy-4,6-dinitroamino-s-triazine) (CAS 19899-80-0);
    b. NNHT (2-nitroimino-5-nitro-hexahydro-1,3,5-triazine) (CAS 
130400-13-4);
    32. Triazoles as follows:
    a. 5-azido-2-nitrotriazole;
    b. ADHTDN (4-amino-3,5-dihydrazino-1,2,4-triazole dinitramide) 
(CAS 1614-08-0);
    c. ADNT (1-amino-3,5-dinitro-1,2,4-triazole);
    d. BDNTA ((bis-dinitrotriazole)amine);
    e. DBT (3,3'-dinitro-5,5-bi-1,2,4-triazole) (CAS 30003-46-4);
    f. DNBT (dinitrobistriazole) (CAS 70890-46-9);
    g. [Reserved]
    h. NTDNT (1-N-(2-nitrotriazolo) 3,5-dinitrotriazole);
    i. PDNT (1-picryl-3,5-dinitrotriazole);
    j. TACOT (tetranitrobenzotriazolobenzotriazole) (CAS 25243-36-
1);
    33. ``Explosives'' not listed elsewhere in this list having a 
detonation velocity exceeding 8,700 m/s, at maximum density, or a 
detonation pressure exceeding 34 GPa (340 kbar);
    34. [Reserved]
    35. Nitrocellulose (containing more than 12.5% nitrogen) (CAS 
9004-70-0);
    36. Nitroglycol (CAS 628-96-6);
    37. Pentaerythritol tetranitrate (PETN) (CAS 78-11-5);
    38. Picryl chloride (CAS 88-88-0);
    39. 2,4,6 Trinitrotoluene (TNT) (CAS 118-96-7);
    40. Nitroglycerine (NG) (CAS 55-63-0);
    41. Triacetone Triperoxide (TATP) (CAS 17088-37-8);
    42. Guanidine nitrate (CAS 506-93-4);
    43. Nitroguanidine (NQ) (CAS 556-88-7);
    44. DNAN (2,4-dinitroanisole) (CAS 119-27-7);
    45. TEX (4,10-Dinitro-2,6,8,12-tetraoxa-4,10-
diazaisowurtzitane);
    46. GUDN (Guanylurea dinitramide) FOX-12 (CAS 217464-38-5);
    47. Tetrazines as follows:
    a. BTAT (Bis(2,2,2-trinitroethyl)-3,6-diaminotetrazine);
    b. LAX-112 (3,6-diamino-1,2,4,5-tetrazine-1,4-dioxide);
    48. Energetic ionic materials melting between 343 K (70 [deg]C) 
and 373 K (100 [deg]C) and with detonation velocity exceeding 6,800 
m/s or detonation pressure exceeding 18 GPa (180 kbar);
    49. BTNEN (Bis(2,2,2-trinitroethyl)-nitramine) (CAS 19836-28-3);
    50. FTDO (5,6-(3',4'-furazano)-1,2,3,4-tetrazine-1,3-dioxide).


0
14. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 2, ECCN 2A001 is revised to read as follows:

2A001 Anti-friction bearings and bearing systems, as follows, (see 
List of Items Controlled) and ``components'' therefor.
Reason for Control: NS, MT, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 2
MT applies to radial ball bearings having   MT Column 1
 all tolerances specified in accordance
 with ISO 492 Tolerance Class 2 (or ANSI/
 ABMA Std 20 Tolerance Class ABEC-9, or
 other national equivalents) or better and
 having all the following characteristics:
 An inner ring bore diameter between 12
 and 50 mm; an outer ring outside diameter
 between 25 and 100 mm; and a width
 between 10 and 20 mm.
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $3000, N/A for MT
GBS: Yes, for 2A001.a, N/A for MT
CIV: Yes, for 2A001.a, N/A for MT

List of Items Controlled

Related Controls: (1) See also 2A991. (2) Quiet running bearings are 
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Items:

    Note 1: 2A001.a includes ball bearing and roller elements 
``specially designed'' for the items specified therein.


    Note 2: 2A001 does not control balls with tolerances specified 
by the manufacturer in accordance with ISO 3290 as grade 5 or worse.

    a. Ball bearings and solid roller bearings, having all 
tolerances specified by the manufacturer in accordance with ISO 492 
Tolerance Class 4 (or national equivalents), or better, and having 
both `rings' and `rolling elements', made from monel or beryllium;

    Note: 2A001.a does not control tapered roller bearings.


    Technical Notes: 
    1. `Ring'--annular part of a radial rolling bearing 
incorporating one or more raceways (ISO 5593:1997).
    2. `Rolling element'- ball or roller which rolls between 
raceways (ISO 5593:1997).

    b. [Reserved]
    c. Active magnetic bearing systems using any of the following:
    c.1. Materials with flux densities of 2.0 T or greater and yield 
strengths greater than 414 MPa;
    c.2. All-electromagnetic 3D homopolar bias designs for 
actuators; or
    c.3. High temperature (450 K (177 [deg]C) and above) position 
sensors.


0
15. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 2, ECCN 2B001 is revised 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''; as follows (see List 
of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 2

[[Page 38780]]

 
NP applies to 2B001.a, .b, .c, and .d,      NP Column 1
 EXCEPT: (1) turning machines under
 2B001.a with a capacity no greater than
 35 mm diameter; (2) bar machines
 (Swissturn), limited to machining only
 bar feed through, if maximum bar diameter
 is equal to or less than 42 mm and there
 is no capability of mounting chucks.
 (Machines may have drilling and/or
 milling capabilities for machining
 ``parts'' or ``components'' with
 diameters less than 42 mm); or (3)
 milling machines under 2B001.b with x-
 axis travel greater than two meters and
 overall positioning accuracy according to
 ISO 230/2 (2006) on the x-axis more
 (worse) than 22.5 [micro]m.
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

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 and 2B991.
Related Definitions: N/A
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;
    d. Engraved or faceted jewelry parts; or
    e. Dental prostheses.


    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 two or more axes which can 
be coordinated simultaneously for ``contouring control'' having any 
of the following:
    a.1. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 0.9 [micro]m along one or more linear axis with a 
travel length less than 1.0 m; or
    a.2. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.1 [micro]m along one or more linear axis with a 
travel length equal to or greater than 1.0 m;

    Note 1: 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.


    Note 2: 2B001.a does not apply to bar machines (Swissturn), 
limited to machining only bar feed thru, if maximum bar diameter is 
equal to or less than 42 mm and there is no capability of mounting 
chucks. Machines may have drilling and/or milling capabilities for 
machining parts with diameters less than 42 mm.

    b. Machine tools for milling having any of the following:
    b.1. Three linear axes plus one rotary axis which can be 
coordinated simultaneously for ``contouring control'' having any of 
the following:
    b.1.a. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 0.9 [micro]m along one or more linear axis with a 
travel length less than 1.0 m; or
    b.1.b. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.1 [micro]m along one or more linear axis with a 
travel length equal to or greater than 1.0 m;
    b.2. Five or more axes which can be coordinated simultaneously 
for ``contouring control'' having any of the following:
    b.2.a. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 0.9 [micro]m along one or more linear axis with a 
travel length less than 1.0 m;
    b.2.b. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.4 [micro]m along one or more linear axis with a 
travel length equal to or greater than 1 m and less than 4 m; or
    b.2.c. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 6.0 [micro]m along one or more linear axis with a 
travel length equal to or greater than 4 m;
    b.3. A ``unidirectional positioning repeatability'' for jig 
boring machines,, equal to or less (better) than 1.1 [micro]m along 
one or more 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. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.1 [micro]m along one or more 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'' having any of the following:
    c.2.a. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.1 [micro]m along one or more linear axis with a 
travel length less than 1m;
    c.2.b. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 1.4 [micro]m along one or more linear axis with a 
travel length equal to or greater than 1 m and less than 4 m; or
    c.2.c. ``Unidirectional positioning repeatability'' equal to or 
less (better) than 6.0 [micro]m along one or more linear axis with a 
travel length equal to or greater than 4 m.

    Notes: 2B001.c does not control grinding machines as follows: a. 
Cylindrical external, internal, and external-internal grinding 
machines, having all of the following:
    a.1. Limited to cylindrical grinding; and
    a.2. Limited to a maximum workpiece capacity of 150 mm outside 
diameter or length.
    b. Machines designed specifically as jig grinders that do not 
have a z-axis or a w-axis, with a ``unidirectional positioning 
repeatability'' less (better) than 1.1 [micro]m.
    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. At least two rotary axes having 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[deg];
    f. Deep-hole-drilling machines and turning machines modified for 
deep-hole-drilling, having a maximum depth-of-bore capability 
exceeding 5 m.


0
16. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 2, ECCN 2B005 is revised to read as follows:

2B005 Equipment ``specially designed'' for the deposition, 
processing and in-process control of inorganic overlays, coatings 
and surface modifications, as follows, for substrates specified in 
column 2, by processes shown in column 1 in the ``Materials 
Processing Table; Deposition Techniques'' following 2E003.f (see 
List of Items Controlled), and ``specially designed'' automated 
handling, positioning, manipulation and control ``components'' 
therefor.

License Requirements

Reason for Control: NS, AT

[[Page 38781]]



 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $1000
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: (1) This entry does not control chemical vapor 
deposition, cathodic arc, sputter deposition, ion plating or ion 
implantation equipment, ``specially designed'' for cutting or 
machining tools. (2) Vapor deposition equipment for the production 
of filamentary materials are controlled by 1B001 or 1B101. (3) 
Chemical Vapor Deposition furnaces designed or modified for 
densification of carbon-carbon composites are controlled by 2B105. 
(4) See also 2B999.i.
Related Definitions: N/A
Items:

    a. Chemical vapor deposition (CVD)``production equipment''having 
all of the following:
    a.1. A process modified for one of the following:
    a.1.a. Pulsating CVD;
    a.1.b. Controlled nucleation thermal deposition (CNTD); or
    a.1.c. Plasma enhanced or plasma assisted CVD; and
    a.2. Having any of the following:
    a.2.a. Incorporating high vacuum (equal to or less than 0.01 Pa) 
rotating seals; or
    a.2.b. Incorporating in situ coating thickness control;
    b. Ion implantation ``production equipment'' having beam 
currents of 5 mA or more;
    c. Electron beam physical vapor deposition (EB-PVD) ``production 
equipment'' incorporating power systems rated for over 80 kW and 
having any of the following:
    c.1. A liquid pool level ``laser'' control system which 
regulates precisely the ingots feed rate; or
    c.2. A computer controlled rate monitor operating on the 
principle of photo-luminescence of the ionized atoms in the 
evaporant stream to control the deposition rate of a coating 
containing two or more elements;
    d. Plasma spraying ``production equipment'' having any of the 
following:
    d.1. Operating at reduced pressure controlled atmosphere (equal 
or less than 10 kPa measured above and within 300 mm of the gun 
nozzle exit) in a vacuum chamber capable of evacuation down to 0.01 
Pa prior to the spraying process; or
    d.2. Incorporating in situ coating thickness control;
    e. Sputter deposition ``production equipment'' capable of 
current densities of 0.1 mA/mm\2\ or higher at a deposition rate 15 
[micro]m/h or more;
    f. Cathodic arc deposition ``production equipment'' 
incorporating a grid of electromagnets for steering control of the 
arc spot on the cathode;
    g. Ion plating ``production equipment'' capable of in situ 
measurement of any of the following:
    g.1. Coating thickness on the substrate and rate control; or
    g.2. Optical characteristics.


0
17. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 2, ECCN 2B991 is revised to read as follows:
2B991 Numerical control units for machine tools and ``numerically 
controlled'' machine tools, n.e.s. (see List of Items Controlled).

License Requirements

Reason for Control: AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: See also ECCNs 2B001 and 2B201.
Related Definitions: N/A
Items:

    a. ``Numerical control'' units for machine tools:
    a.1. Having four interpolating axes that can be coordinated 
simultaneously for ``contouring control;'' or
    a.2. Having two or more axes that can be coordinated 
simultaneously for ``contouring control'' and a minimum programmable 
increment better (less) than 0.001 mm;
    a.3. ``Numerical control'' units for machine tools having two, 
three or four interpolating axes that can be coordinated 
simultaneously for ``contouring control,'' and capable of receiving 
directly (on-line) and processing computer-aided-design (CAD) data 
for internal preparation of machine instructions; or
    b. ``Motion control boards'' ``specially designed'' for machine 
tools and having any of the following characteristics:
    b.1. Interpolation in more than four axes;
    b.2. Capable of ``real-time processing'' of data to modify tool 
path, feed rate and spindle data, during the machining operation, by 
any of the following:
    b.2.a. Automatic calculation and modification of part program 
data for machining in two or more axes by means of measuring cycles 
and access to source data; or
    b.2.b. ``Adaptive control'' with more than one physical variable 
measured and processed by means of a computing model (strategy) to 
change one or more machining instructions to optimize the process.
    b.3. Capable of receiving and processing CAD data for internal 
preparation of machine instructions; or
    c. ``Numerically controlled'' machine tools that, according to 
the manufacturer's technical specifications, can be equipped with 
electronic devices for simultaneous ``contouring control'' in two or 
more axes and that have both of the following characteristics:
    c.1. Two or more axes that can be coordinated simultaneously for 
contouring control; and
    c.2. Positioning accuracies according to ISO 230/2 (2006), with 
all compensations available:
    c.2.a. Better than 15 [micro]m along any linear axis (overall 
positioning) for grinding machines;
    c.2.b. Better than 15 [micro]m along any linear axis (overall 
positioning) for milling machines; or
    c.2.c. Better than 15 [micro]m along any linear axis (overall 
positioning) for turning machines; or
    d. Machine tools, as follows, for removing or cutting metals, 
ceramics or composites, that, according to the manufacturer's 
technical specifications, can be equipped with electronic devices 
for simultaneous ``contouring control'' in two or more axes:
    d.1. Machine tools for turning, grinding, milling or any 
combination thereof, having two or more axes that can be coordinated 
simultaneously for ``contouring control'' and having any of the 
following characteristics:
    d.1.a. One or more contouring ``tilting spindles;''

    Note: 2B991.d.1.a. applies to machine tools for grinding or 
milling only.

    d.1.b. ``Camming'' (axial displacement) in one revolution of the 
spindle less (better) than 0.0006 mm total indicator reading (TIR);

    Note: 2B991.d.1.b. applies to machine tools for turning only.

    d.1.c. ``Run out'' (out-of-true running) in one revolution of 
the spindle less (better) than 0.0006 mm total indicator reading 
(TIR);
    d.1.d. The ``positioning accuracies'', with all compensations 
available, are less (better) than: 0.001[deg] on any rotary axis;
    d.2. Electrical discharge machines (EDM) of the wire feed type 
that have five or more axes that can be coordinated simultaneously 
for ``contouring control.''


0
18. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 2, ECCN 2D992 is revised to read as follows:

2D992 Specific ``software'', as follows (see List of Items 
Controlled).

License Requirements

Reason for Control: AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
AT applies to entire entry................  AT Column 1
 


[[Page 38782]]

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: N/A

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

    a. ``Software'' to provide ``adaptive control'' and having both 
of the following characteristics:
    a.1. For ``flexible manufacturing units'' (FMUs) which consist 
at least of equipment described in b.1 and b.2 of the definition of 
``flexible manufacturing unit'' contained in part 772 of the EAR; 
and
    a.2. Capable of generating or modifying, in ``real-time 
processing'', programs or data by using the signals obtained 
simultaneously by means of at least two detection techniques, such 
as:
    a.2.a. Machine vision (optical ranging);
    a.2.b. Infrared imaging;
    a.2.c. Acoustical imaging (acoustical ranging);
    a.2.d. Tactile measurement;
    a.2.e. Inertial positioning;
    a.2.f. Force measurement; and
    a.2.g. Torque measurement.

    Note: 2D992.a does not control ``software'' which only provides 
rescheduling of functionally identical equipment within ``flexible 
manufacturing units'' using pre-stored part programs and a pre-
stored strategy for the distribution of the part programs.

    b. Reserved.


0
19. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 2, ECCN 2E003 is revised to read as follows:

2E003 Other ``technology'', as follows (see List of Items 
Controlled).

License Requirements

    Reason for Control: NS, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: Yes, except 2E003.a, .b, .e and .f

List of Items Controlled

Related Controls: See 2E001, 2E002, and 2E101 for ``development'' 
and ``use'' technology for equipment that are designed or modified 
for densification of carbon-carbon composites, structural composite 
rocket nozzles and reentry vehicle nose tips.
Related Definitions: N/A
Items:

    a. ``Technology'' for the ``development'' of interactive 
graphics as an integrated part in ``numerical control'' units for 
preparation or modification of part programs;
    b. ``Technology'' for metal-working manufacturing processes, as 
follows:
    b.1. ``Technology'' for the design of tools, dies or fixtures 
``specially designed'' for any of the following processes:
    b.1.a. ``Superplastic forming'';
    b.1.b. ``Diffusion bonding''; or
    b.1.c. ``Direct-acting hydraulic pressing'';
    b.2. Technical data consisting of process methods or parameters 
as listed below used to control:
    b.2.a. ``Superplastic forming'' of aluminum alloys, titanium 
alloys or ``superalloys'':
    b.2.a.1. Surface preparation;
    b.2.a.2. Strain rate;
    b.2.a.3. Temperature;
    b.2.a.4. Pressure;
    b.2.b. ``Diffusion bonding'' of ``superalloys'' or titanium 
alloys:
    b.2.b.1. Surface preparation;
    b.2.b.2. Temperature;
    b.2.b.3. Pressure;
    b.2.c. ``Direct-acting hydraulic pressing'' of aluminum alloys 
or titanium alloys:
    b.2.c.1. Pressure;
    b.2.c.2. Cycle time;
    b.2.d. ``Hot isostatic densification'' of titanium alloys, 
aluminum alloys or ``superalloys'':
    b.2.d.1. Temperature;
    b.2.d.2. Pressure;
    b.2.d.3. Cycle time;
    c. ``Technology'' for the ``development'' or ``production'' of 
hydraulic stretch-forming machines and dies therefor, for the 
manufacture of airframe structures;
    d. ``Technology'' for the ``development'' of generators of 
machine tool instructions (e.g., part programs) from design data 
residing inside ``numerical control'' units;
    e. ``Technology for the development'' of integration 
``software'' for incorporation of expert systems for advanced 
decision support of shop floor operations into ``numerical control'' 
units;
    f. ``Technology'' for the application of inorganic overlay 
coatings or inorganic surface modification coatings (specified in 
column 3 of the following table) to non-electronic substrates 
(specified in column 2 of the following table), by processes 
specified in column 1 of the following table and defined in the 
Technical Note.
    N.B. This table should be read to control the technology of a 
particular `Coating Process' only when the resultant coating in 
column 3 is in a paragraph directly across from the relevant 
`Substrate' under column 2. For example, Chemical Vapor Deposition 
(CVD) `coating process' control the ``technology'' for a particular 
application of `silicides' to `Carbon-carbon, Ceramic and Metal 
``matrix'' ``composites'' substrates, but are not controlled for the 
application of `silicides' to `Cemented tungsten carbide (16), 
Silicon carbide (18)' substrates. In the second case, the resultant 
coating is not listed in the paragraph under column 3 directly 
across from the paragraph under column 2 listing `Cemented tungsten 
carbide (16), Silicon carbide (18)'.


0
20. In Supplement No. 1 to Part 774 (the Commerce Control List), 
Category 2, Category 2E--Materials Processing Table; the Notes to Table 
on Deposition Techniques and the Accompanying Technical Information to 
Table on Deposition Techniques are revised to read as follows:

Category 2E--Materials Processing Table; Deposition Techniques

* * * * *

    Notes to Table on Deposition Techniques 
    1. The term `coating process' includes coating repair and 
refurbishing as well as original coating.
    2. The term `alloyed aluminide coating' includes single or 
multiple-step coatings in which an element or elements are deposited 
prior to or during application of the aluminide coating, even if 
these elements are deposited by another coating process. It does 
not, however, include the multiple use of single-step pack 
cementation processes to achieve alloyed aluminides.
    3. The term `noble metal modified aluminide' coating includes 
multiple-step coatings in which the noble metal or noble metals are 
laid down by some other coating process prior to application of the 
aluminide coating.
    4. The term `mixtures thereof' includes infiltrated material, 
graded compositions, co-deposits and multilayer deposits and are 
obtained by one or more of the coating processes specified in the 
Table.
    5. MCrAlX refers to a coating alloy where M equals cobalt, iron, 
nickel or combinations thereof and X equals hafnium, yttrium, 
silicon, tantalum in any amount or other intentional additions over 
0.01% by weight in various proportions and combinations, except:
    a. CoCrAlY coatings which contain less than 22% by weight of 
chromium, less than 7% by weight of aluminum and less than 2% by 
weight of yttrium;
    b. CoCrAlY coatings which contain 22 to 24% by weight of 
chromium, 10 to 12% by weight of aluminum and 0.5 to 0.7% by weight 
of yttrium; or
    c. NiCrAlY coatings which contain 21 to 23% by weight of 
chromium, 10 to 12% by weight of aluminum and 0.9 to 1.1% by weight 
of yttrium.
    6. The term `aluminum alloys' refers to alloys having an 
ultimate tensile strength of 190 MPa or more measured at 293 K (20 
[deg]C).
    7. The term `corrosion resistant steel' refers to AISI (American 
Iron and Steel Institute) 300 series or equivalent national standard 
steels.
    8. `Refractory metals and alloys' include the following metals 
and their alloys: niobium (columbium), molybdenum, tungsten and 
tantalum.
    9. `Sensor window materials', as follows: alumina, silicon, 
germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond, 
gallium phosphide, sapphire and the following metal halides: sensor 
window materials of more than 40 mm diameter for zirconium fluoride 
and hafnium fluoride.
    10. Category 2 does not include ``technology'' for single-step 
pack cementation of solid airfoils.
    11. `Polymers', as follows: Polyimide, polyester, polysulfide, 
polycarbonates and polyurethanes.

[[Page 38783]]

    12. `Modified zirconia' refers to additions of other metal 
oxides, (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) 
to zirconia in order to stabilize certain crystallographic phases 
and phase compositions. Thermal barrier coatings made of zirconia, 
modified with calcia or magnesia by mixing or fusion, are not 
controlled.
    13. `Titanium alloys' refers only to aerospace alloys having an 
ultimate tensile strength of 900 MPa or more measured at 293 K (20 
[deg]C).
    14. `Low-expansion glasses' refers to glasses which have a 
coefficient of thermal expansion of 1 x 10<SUP>-7</SUP> 
K<SUP>-1</SUP> or less measured at 293 K (20 [deg]C).
    15. `Dielectric layers' are coatings constructed of multi-layers 
of insulator materials in which the interference properties of a 
design composed of materials of various refractive indices are used 
to reflect, transmit or absorb various wavelength bands. Dielectric 
layers refers to more than four dielectric layers or dielectric/
metal ``composite'' layers.
    16. `Cemented tungsten carbide' does not include cutting and 
forming tool materials consisting of tungsten carbide/(cobalt, 
nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-
chromium and chromium carbide/nickel.
    17. ``Technology'' for depositing diamond-like carbon on any of 
the following is not controlled: magnetic disk drives and heads, 
equipment for the manufacture of disposables, valves for faucets, 
acoustic diaphragms for speakers, engine parts for automobiles, 
cutting tools, punching-pressing dies, office automation equipment, 
microphones, medical devices or molds, for casting or molding of 
plastics, manufactured from alloys containing less than 5% 
beryllium.
    18. `Silicon carbide' does not include cutting and forming tool 
materials.
    19. Ceramic substrates, as used in this entry, does not include 
ceramic materials containing 5% by weight, or greater, clay or 
cement content, either as separate constituents or in combination.


    Technical Note to Table on Deposition Techniques: Processes 
specified in Column 1 of the Table are defined as follows:
    a. Chemical Vapor Deposition (CVD) is an overlay coating or 
surface modification coating process wherein a metal, alloy, 
``composite'', dielectric or ceramic is deposited upon a heated 
substrate. Gaseous reactants are decomposed or combined in the 
vicinity of a substrate resulting in the deposition of the desired 
elemental, alloy or compound material on the substrate. Energy for 
this decomposition or chemical reaction process may be provided by 
the heat of the substrate, a glow discharge plasma, or ``laser'' 
irradiation.


    Note 1: CVD includes the following processes: directed gas flow 
out-of-pack deposition, pulsating CVD, controlled nucleation thermal 
decomposition (CNTD), plasma enhanced or plasma assisted CVD 
processes.


    Note 2: Pack denotes a substrate immersed in a powder mixture.


    Note 3: The gaseous reactants used in the out-of-pack process 
are produced using the same basic reactions and parameters as the 
pack cementation process, except that the substrate to be coated is 
not in contact with the powder mixture.
    b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an 
overlay coating process conducted in a vacuum with a pressure less 
than 0.1 Pa wherein a source of thermal energy is used to vaporize 
the coating material. This process results in the condensation, or 
deposition, of the evaporated species onto appropriately positioned 
substrates. The addition of gases to the vacuum chamber during the 
coating process to synthesize compound coatings is an ordinary 
modification of the process. The use of ion or electron beams, or 
plasma, to activate or assist the coating's deposition is also a 
common modification in this technique. The use of monitors to 
provide in-process measurement of optical characteristics and 
thickness of coatings can be a feature of these processes. Specific 
TE-PVD processes are as follows:
    1. Electron Beam PVD uses an electron beam to heat and evaporate 
the material which forms the coating;
    2. Ion Assisted Resistive Heating PVD employs electrically 
resistive heating sources in combination with impinging ion beam(s) 
to produce a controlled and uniform flux of evaporated coating 
species;
    3. ``Laser'' Vaporization uses either pulsed or continuous wave 
``laser'' beams to vaporize the material which forms the coating;
    4. Cathodic Arc Deposition employs a consumable cathode of the 
material which forms the coating and has an arc discharge 
established on the surface by a momentary contact of a ground 
trigger. Controlled motion of arcing erodes the cathode surface 
creating a highly ionized plasma. The anode can be either a cone 
attached to the periphery of the cathode, through an insulator, or 
the chamber. Substrate biasing is used for non line-of-sight 
deposition.


    Note: This definition does not include random cathodic arc 
deposition with non-biased substrates.
    5. Ion Plating is a special modification of a general TE-PVD 
process in which a plasma or an ion source is used to ionize the 
species to be deposited, and a negative bias is applied to the 
substrate in order to facilitate the extraction of the species from 
the plasma. The introduction of reactive species, evaporation of 
solids within the process chamber, and the use of monitors to 
provide in-process measurement of optical characteristics and 
thicknesses of coatings are ordinary modifications of the process.
    c. Pack Cementation is a surface modification coating or overlay 
coating process wherein a substrate is immersed in a powder mixture 
(a pack), that consists of:
    1. The metallic powders that are to be deposited (usually 
aluminum, chromium, silicon or combinations thereof);
    2. An activator (normally a halide salt); and
    3. An inert powder, most frequently alumina.


    Note: The substrate and powder mixture is contained within a 
retort which is heated to between 1,030 K (757 [deg]C) to 1,375 K 
(1,102 [deg]C) for sufficient time to deposit the coating.
    d. Plasma Spraying is an overlay coating process wherein a gun 
(spray torch) which produces and controls a plasma accepts powder or 
wire coating materials, melts them and propels them towards a 
substrate, whereon an integrally bonded coating is formed. Plasma 
spraying constitutes either low pressure plasma spraying or high 
velocity plasma spraying.


    Note 1: Low pressure means less than ambient atmospheric 
pressure.


    Note 2: High velocity refers to nozzle-exit gas velocity 
exceeding 750 m/s calculated at 293 K (20 [deg]C) at 0.1 MPa.
    e. Slurry Deposition is a surface modification coating or 
overlay coating process wherein a metallic or ceramic powder with an 
organic binder is suspended in a liquid and is applied to a 
substrate by either spraying, dipping or painting, subsequent air or 
oven drying, and heat treatment to obtain the desired coating.
    f. Sputter Deposition is an overlay coating process based on a 
momentum transfer phenomenon, wherein positive ions are accelerated 
by an electric field towards the surface of a target (coating 
material). The kinetic energy of the impacting ions is sufficient to 
cause target surface atoms to be released and deposited on an 
appropriately positioned substrate.


    Note 1: The Table refers only to triode, magnetron or reactive 
sputter deposition which is used to increase adhesion of the coating 
and rate of deposition and to radio frequency (RF) augmented sputter 
deposition used to permit vaporization of non-metallic coating 
materials.


    Note 2: Low-energy ion beams (less than 5 keV) can be used to 
activate the deposition.
    g. Ion Implantation is a surface modification coating process in 
which the element to be alloyed is ionized, accelerated through a 
potential gradient and implanted into the surface region of the 
substrate. This includes processes in which ion implantation is 
performed simultaneously with electron beam physical vapor 
deposition or sputter deposition.

    Accompanying Technical Information to Table on Deposition 
Techniques:
    1. Technical information for pretreatments of the substrates 
listed in the Table, as follows:
    a. Chemical stripping and cleaning bath cycle parameters, as 
follows:
    1. Bath composition;
    a. For the removal of old or defective coatings corrosion 
product or foreign deposits;
    b. For preparation of virgin substrates;
    2. Time in bath;
    3. Temperature of bath;
    4. Number and sequences of wash cycles;
    b. Visual and macroscopic criteria for acceptance of the cleaned 
part;
    c. Heat treatment cycle parameters, as follows:

[[Page 38784]]

    1. Atmosphere parameters, as follows:
    a. Composition of the atmosphere;
    b. Pressure of the atmosphere;
    2. Temperature for heat treatment;
    3. Time of heat treatment;
    d. Substrate surface preparation parameters, as follows:
    1. Grit blasting parameters, as follows:
    a. Grit composition;
    b. Grit size and shape;
    c. Grit velocity;
    2. Time and sequence of cleaning cycle after grit blast;
    3. Surface finish parameters;
    4. Application of binders to promote adhesion;
    e. Masking technique parameters, as follows:
    1. Material of mask;
    2. Location of mask;
    2. Technical information for in situ quality assurance 
techniques for evaluation of the coating processes listed in the 
Table, as follows:
    a. Atmosphere parameters, as follows:
    1. Composition of the atmosphere;
    2. Pressure of the atmosphere;
    b. Time parameters;
    c. Temperature parameters;
    d. Thickness parameters;
    e. Index of refraction parameters;
    f. Control of composition;
    3. Technical information for post deposition treatments of the 
coated substrates listed in the Table, as follows:
    a. Shot peening parameters, as follows:
    1. Shot composition;
    2. Shot size;
    3. Shot velocity;
    b. Post shot peening cleaning parameters;
    c. Heat treatment cycle parameters, as follows:
    1. Atmosphere parameters, as follows:
    a. Composition of the atmosphere;
    b. Pressure of the atmosphere;
    2. Time-temperature cycles;
    d. Post heat treatment visual and macroscopic criteria for 
acceptance of the coated substrates;
    4. Technical information for quality assurance techniques for 
the evaluation of the coated substrates listed in the Table, as 
follows:
    a. Statistical sampling criteria;
    b. Microscopic criteria for:
    1. Magnification;
    2. Coating thickness, uniformity;
    3. Coating integrity;
    4. Coating composition;
    5. Coating and substrates bonding;
    6. Microstructural uniformity.
    c. Criteria for optical properties assessment (measured as a 
function of wavelength):
    1. Reflectance;
    2. Transmission;
    3. Absorption;
    4. Scatter;
    5. Technical information and parameters related to specific 
coating and surface modification processes listed in the Table, as 
follows:
    a. For Chemical Vapor Deposition (CVD):
    1. Coating source composition and formulation;
    2. Carrier gas composition;
    3. Substrate temperature;
    4. Time-temperature-pressure cycles;
    5. Gas control and part manipulation;
    b. For Thermal Evaporation-Physical Vapor Deposition (PVD):
    1. Ingot or coating material source composition;
    2. Substrate temperature;
    3. Reactive gas composition;
    4. Ingot feed rate or material vaporization rate;
    5. Time-temperature-pressure cycles;
    6. Beam and part manipulation;
    7. ``Laser'' parameters, as follows:
    a. Wave length;
    b. Power density;
    c. Pulse length;
    d. Repetition ratio;
    e. Source;
    c. For Pack Cementation:
    1. Pack composition and formulation;
    2. Carrier gas composition;
    3. Time-temperature-pressure cycles;
    d. For Plasma Spraying:
    1. Powder composition, preparation and size distributions;
    2. Feed gas composition and parameters;
    3. Substrate temperature;
    4. Gun power parameters;
    5. Spray distance;
    6. Spray angle;
    7. Cover gas composition, pressure and flow rates;
    8. Gun control and part manipulation;
    e. For Sputter Deposition:
    1. Target composition and fabrication;
    2. Geometrical positioning of part and target;
    3. Reactive gas composition;
    4. Electrical bias;
    5. Time-temperature-pressure cycles;
    6. Triode power;
    7. Part manipulation;
    f. For Ion Implantation:
    1. Beam control and part manipulation;
    2. Ion source design details;
    3. Control techniques for ion beam and deposition rate 
parameters;
    4. Time-temperature-pressure cycles.
    g. For Ion Plating:
    1. Beam control and part manipulation;
    2. Ion source design details;
    3. Control techniques for ion beam and deposition rate 
parameters;
    4. Time-temperature-pressure cycles;
    5. Coating material feed rate and vaporization rate;
    6. Substrate temperature;
    7. Substrate bias parameters.


0
21. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3, Product Group A, the Notes and Nota Bene at the beginning 
of Product Group A are revised to read as follows:

Category 3--Electronics

A. ``End Items'', ``Equipment'', ``Accessories'', ``Attachments'', 
``Parts'', ``Components'' and ``Systems''

    Note 1: The control status of equipment and components described 
in 3A001 or 3A002, other than those described in 3A001.a.3 to 
3A001.a.10, 3A001.a.12 or 3A001.a.14, which are ``specially 
designed'' for or which have the same functional characteristics as 
other equipment is determined by the control status of the other 
equipment.


    Note 2: The control status of integrated circuits described in 
3A001.a.3 to 3A001.a.9, 3A001.a.12 or 3A001.a.14 that are 
unalterably programmed or designed for a specific function for other 
equipment is determined by the control status of the other 
equipment.

    N.B.: When the manufacturer or applicant cannot determine the 
control status of the other equipment, the control status of the 
integrated circuits is determined in 3A001.a.3 to 3A001.a.9, 
3A001.a.12 and 3A001.a.14.

0
22. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3, ECCN 3A001 is revised to read as follows:

3A001 Electronic items as follows (see List of Items Controlled).

License Requirements

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

 
                                          Country chart (see Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to ``Monolithic Microwave     NS Column 1
 Integrated Circuit'' (``MMIC'')
 amplifiers in 3A001.b.2 and discrete
 microwave transistors in 3A001.b.3,
 except those 3A001.b.2 and b.3 items
 being exported or reexported for use
 in civil telecommunications
 applications.
NS applies to entire entry.............  NS Column 2
RS applies ``Monolithic Microwave        RS Column 1
 Integrated Circuit'' (``MMIC'')
 amplifiers in 3A001.b.2 and discrete
 microwave transistors in 3A001.b.3,
 except those 3A001.b.2 and b.3 items
 being exported or reexported for use
 in civil telecommunications
 applications.

[[Page 38785]]

 
MT applies to 3A001.a.1.a when usable    MT applies to 3A001.a.1.a when
 in ``missiles''; and to 3A001.a.5.a      usable in ``missiles''; and to
 when ``designed or modified'' for        3A001.a.5.a when ``designed or
 military use, hermetically sealed and    modified'' for military use,
 rated for operation in the temperature   hermetically sealed and rated
 range from below -54 [deg]C to above     for operation in the
 +125 [deg]C MT Column 1.                 temperature range from below -
                                          54 [deg]C to above +125 [deg]C
                                          MT Column 1
NP applies to pulse discharge            NP applies to pulse discharge
 capacitors in in 3A001.e.2 and           capacitors in in 3A001.e.2 and
 superconducting solenoidal               superconducting solenoidal
 electromagnets in 3A001.e.3 that meet    electromagnets in 3A001.e.3
 or exceed the technical parameters in    that meet or exceed the
 3A201.a and 3A201.b, respectively NP     technical parameters in
 Column 1.                                3A201.a and 3A201.b,
                                          respectively NP Column 1
AT applies to entire entry AT Column 1.  AT applies to entire entry AT
                                          Column 1
 


    License Requirements Note: See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and ``technology'' for the ``production'' or 
``development'' of such microprocessors.

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: N/A for MT or NP; N/A for ``Monolithic Microwave Integrated 
Circuit'' (``MMIC'') amplifiers in 3A001.b.2 and discrete microwave 
transistors in 3A001.b.3, except those that are being exported or 
reexported for use in civil telecommunications applications.
Yes for:
$1500: 3A001.c
$3000: 3A001.b.1, b.2 (exported or reexported for use in civil 
telecommunications applications), b.3 (exported or reexported for 
use in civil telecommunications applications), b.9, .d, .e, .f, and 
.g.
$5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), .b.4 
to b.7, and b.12.
GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled 
for MT), b.2 (exported or reexported for use in civil 
telecommunications applications), b.8 (except for vacuum electronic 
device amplifiers exceeding 18 GHz), b.9., b.10, .g, and .h.
CIV: Yes for 3A001.a.3, a.7, and a.11.

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in 
3A001.b.2 or b.3, except those that are being exported or reexported 
for use in civil telecommunications applications, to any of the 
destinations listed in Country Group A:5 or A:6 (See Supplement No. 
1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See Category XV of the USML for certain 
``space-qualified'' electronics and Category XI of the USML for 
certain ASICs, `transmit/receive modules,' or `transmit modules' 
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See 
also 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number 
of passive or active elements are considered as indivisibly 
associated on or within a continuous structure to perform the 
function of a circuit. For the purposes of integrated circuits in 
3A001.a.1, 5 x 10\3\ Gy(Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy 
(Si)/s = 5 x 10\8\ Rads (Si)/s. Spacecraft/satellite: Solar 
concentrators, power conditioners and or controllers, bearing and 
power transfer assembly, and or deployment hardware/systems are 
controlled under the export licensing authority of the Department of 
State, Directorate of Defense Trade Controls (22 CFR part 121).

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;
    --``Three dimensional integrated circuits'';
    --``Monolithic Microwave Integrated Circuits'' (``MMICs'').

    a.1. Integrated circuits designed or rated as radiation hardened 
to withstand any of the following:
    a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher;
    a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
    a.1.c. A fluence (integrated flux) of neutrons (1 MeV 
equivalent) of 5 x 10\13\ n/cm\2\ 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, integrated circuits that contain analog-to-
digital converters and store or process the digitized data, 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 in unknown, Fast Fourier 
Transform (FFT) processors, Electrical Erasable Programmable Read-
Only Memories (EEPROMs), flash memories, Static Random-Access 
Memories (SRAMs), or Magnetic Random Access Memories (MRAMs), having 
any of the following:
    a.2.a. Rated for operation at an ambient temperature above 398 K 
(125 [deg]C);
    a.2.b. Rated for operation at an ambient temperature below 218 K 
(-55 [deg]C); or
    a.2.c. Rated for operation over the entire ambient temperature 
range from 218 K (-55 [deg]C) to 398 K (125 [deg]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. [Reserved]
    a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog 
Converter (DAC) integrated circuits, as follows:
    a.5.a. ADCs having any of the following:
    a.5.a.1. A resolution of 8 bit or more, but less than 10 bit, 
with an output rate greater than 1.3 Giga Samples Per Second (GSPS);
    a.5.a.2. A resolution of 10 bit or more, but less than 12 bit, 
with an output rate greater than 600 Mega Samples Per Second (MSPS);
    a.5.a.3. A resolution of 12 bit or more, but less than 14 bit, 
with an output rate greater than 400 Mega Samples Per Second (MSPS);
    a.5.a.4. A resolution of 14 bit or more, but less than 16 bit, 
with an output rate greater than 250 Mega Samples Per Second (MSPS); 
or
    a.5.a.5. A resolution of 16 bit or more with an output rate 
greater than 65 Mega Samples Per Second (MSPS);
    N.B.: For integrated circuits that contain analog-to-digital 
converters and store or process the digitized data see 3A001.a.14.

    Technical Notes: 1. A resolution of n bit corresponds to a 
quantization of 2\n\ levels.
    2. The number of bits in the output word is equal to the 
resolution of the ADC.
    3. The output rate is the maximum output rate of the converter, 
regardless of architecture or oversampling.

[[Page 38786]]

    4. For `multiple channel ADCs', the outputs are not aggregated 
and the output rate is the maximum output rate of any single 
channel.
    5. For `interleaved ADCs' or for `multiple channel ADCs' that 
are specified to have an interleaved mode of operation, the outputs 
are aggregated and the output rate is the maximum combined total 
output rate of all of the outputs.
    6. Vendors may also refer to the output rate as sampling rate, 
conversion rate or throughput rate. It is often specified in 
megahertz (MHz), mega words per second or Mega Samples Per Second 
(MSPS).
    7. For the purpose of measuring output rate, one sample per 
second is equivalent to one Hertz or one output word per second.
    8. `Multiple channel ADCs' are defined as devices which 
integrate more than one ADC, designed so that each ADC has a 
separate analog input.
    9. `Interleaved ADCs' are defined as devices which have multiple 
ADC units that sample the same analog input at different times such 
that when the outputs are aggregated, the analog input has been 
effectively sampled and converted at a higher sampling rate.

    a.5.b. Digital-to-Analog Converters (DAC) having any of the 
following:
    a.5.b.1. A resolution of 10 bit or more with an `adjusted update 
rate' of greater than 3,500 MSPS; or
    a.5.b.2. A resolution of 12-bit or more with an `adjusted update 
rate' of greater than 1,250 MSPS and having any of the following:
    a.5.b.2.a. A settling time less than 9 ns to 0.024% of full 
scale from a full scale step; or
    a.5.b.2.b. A `Spurious Free Dynamic Range' (SFDR) greater than 
68 dBc (carrier) when synthesizing a full scale analog signal of 100 
MHz or the highest full scale analog signal frequency specified 
below 100 MHz.

    Technical Notes: 1. `Spurious Free Dynamic Range' (SFDR) is 
defined as the ratio of the RMS value of the carrier frequency 
(maximum signal component) at the input of the DAC to the RMS value 
of the next largest noise or harmonic distortion component at its 
output.
    2. SFDR is determined directly from the specification table or 
from the characterization plots of SFDR versus frequency.
    3. A signal is defined to be full scale when its amplitude is 
greater than -3 dBfs (full scale).
    4. `Adjusted update rate' for DACs is:
    a. For conventional (non-interpolating) DACs, the `adjusted 
update rate' is the rate at which the digital signal is converted to 
an analog signal and the output analog values are changed by the 
DAC. For DACs where the interpolation mode may be bypassed 
(interpolation factor of one), the DAC should be considered as a 
conventional (non-interpolating) DAC.
    b. For interpolating DACs (oversampling DACs), the `adjusted 
update rate' is defined as the DAC update rate divided by the 
smallest interpolating factor. For interpolating DACs, the `adjusted 
update rate' may be referred to by different terms including:
    <bullet> Input data rate
    <bullet> Input word rate
    <bullet> Input sample rate
    <bullet> Maximum total input bus rate
    <bullet> Maximum DAC clock rate for DAC clock input.

    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. A maximum number of single-ended digital input/outputs of 
greater than 700; or
    a.7.b. An `aggregate one-way peak serial transceiver data rate' 
of 500 Gb/s or greater;

    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)
    --Field Programmable Interconnects (FPICs)

    N.B.: For integrated circuits having field programmable logic 
devices that are combined with an analog-to-digital converter, see 
3A001.a.14.

    Technical Notes:  1. Maximum number of digital input/outputs in 
3A001.a.7.a is also referred to as maximum user input/outputs or 
maximum available input/outputs, whether the integrated circuit is 
packaged or bare die.
    2. `Aggregate one-way peak serial transceiver data rate' is the 
product of the peak serial one-way transceiver data rate times the 
number of transceivers on the FPGA.

    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 1,500 terminals;
    a.10.b. A typical ``basic gate propagation delay time'' of less 
than 0.02 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 
log<INF>2</INF> 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 [micro]s.

    a.13. Direct Digital Synthesizer (DDS) integrated circuits 
having any of the following:
    a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of 
3.5 GHz or more and a DAC resolution of 10 bit or more, but less 
than 12 bit; or
    a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC 
resolution of 12 bit or more;

    Technical Note: The DAC clock frequency may be specified as the 
master clock frequency or the input clock frequency.

    a.14. Integrated circuits that perform all of the following:
    a.14.a. Analog-to-digital conversions meeting any of the 
following:
    a.14.a.1. A resolution of 8 bit or more, but less than 10 bit, 
with an input sample rate greater than 1.3 Giga Samples Per Second 
(GSPS);
    a.14.a.2. A resolution of 10 bit or more, but less than 12 bit, 
with an input sample rate greater than 1.0 Giga Samples Per Second 
(GSPS);
    a.14.a.3. A resolution of 12 bit or more, but less than 14 bit, 
with an input sample rate greater than 1.0 Giga Samples Per Second 
(GSPS);
    a.14.a.4. A resolution of 14 bit or more, but less than 16 bit, 
with an input sample rate greater than 400 Mega Samples Per Second 
(MSPS); or
    a.14.a.5. A resolution of 16 bit or more with an input sample 
rate greater than 180 Mega Samples Per Second (MSPS); and
    a.14.b. Any of the following:
    a.14.b.1. Storage of digitized data; or
    a.14.b.2. Processing of digitized data;
    N.B. 1: For analog-to-digital converter integrated circuits see 
3A001.a.5.a.
    N.B. 2: For field programmable logic devices see 3A001.a.7.
    b. Microwave or millimeter wave items, as follows:

    Technical Notes:  1. For purposes of 3A001.b, the parameter peak 
saturated power output may also be referred to on product data 
sheets as output power, saturated power output, maximum power 
output, peak power output, or peak envelope power output.
    2. For purposes of 3A001.b.1, `vacuum electronic devices' are 
electronic devices based on the interaction of an electron beam with 
an electromagnetic wave propagating in a vacuum circuit or 
interacting with radio-frequency vacuum cavity resonators. `Vacuum 
electronic devices' include klystrons, traveling-wave tubes, and 
their derivatives.

    b.1. `Vacuum electronic devices' and cathodes, as follows:

    Note 1:  3A001.b.1 does not control `vacuum electronic devices' 
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 radio-communications 
services, but not for radio-determination.



[[Page 38787]]


    Note 2:  3A001.b.1 does not control non-``space-qualified'' 
`vacuum electronic devices' 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 radio-communications 
services, but not for radio-determination.

    b.1.a. Traveling-wave `vacuum electronic devices,' pulsed or 
continuous wave, as follows:
    b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
    b.1.a.2. Devices having a cathode heater with a turn on time to 
rated RF power of less than 3 seconds;
    b.1.a.3. Coupled cavity devices, or derivatives thereof, with a 
``fractional bandwidth'' of more than 7% or a peak power exceeding 
2.5 kW;
    b.1.a.4. Devices based on helix, folded waveguide, or serpentine 
waveguide circuits, 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;
    b.1.a.4.c. Being ``space-qualified''; or
    b.1.a.4.d. Having a gridded electron gun;
    b.1.a.5. Devices with a ``fractional bandwidth'' greater than or 
equal to 10%, with any of the following:
    b.1.a.5.a. An annular electron beam;
    b.1.a.5.b. A non-axisymmetric electron beam; or
    b.1.a.5.c. Multiple electron beams;
    b.1.b. Crossed-field amplifier `vacuum electronic devices' with 
a gain of more than 17 dB;
    b.1.c. Thermionic cathodes, designed for `vacuum electronic 
devices,' producing an emission current density at rated operating 
conditions exceeding 5 A/cm\2\ or a pulsed (non-continuous) current 
density at rated operating conditions exceeding 10 A/cm\2\;
    b.1.d. `Vacuum electronic devices' with the capability to 
operate in a `dual mode.'

    Technical Note:  `Dual mode' means the `vacuum electronic 
device' beam current can be intentionally changed between 
continuous-wave and pulsed mode operation by use of a grid and 
produces a peak pulse output power greater than the continuous-wave 
output power.

    b.2. ``Monolithic Microwave Integrated Circuit'' (``MMIC'') 
amplifiers that are any of the following:
    N.B.: For ``MMIC '' amplifiers that have an integrated phase 
shifter see 3A001.b.12.
    b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up 
to and including 6.8 GHz with a ``fractional bandwidth'' greater 
than 15%, and having any of the following:
    b.2.a.1. A peak saturated power output greater than 75 W (48.75 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    b.2.a.2. A peak saturated power output greater than 55 W (47.4 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    b.2.a.3. A peak saturated power output greater than 40 W (46 
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; 
or
    b.2.a.4. A peak saturated power output greater than 20 W (43 
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up 
to and including 16 GHz with a ``fractional bandwidth'' greater than 
10%, and having any of the following:
    b.2.b.1. A peak saturated power output greater than 10 W (40 
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; 
or
    b.2.b.2. A peak saturated power output greater than 5 W (37 dBm) 
at any frequency exceeding 8.5 GHz up to and including 16 GHz;
    b.2.c. Rated for operation with a peak saturated power output 
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to 
and including 31.8 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    b.2.d. Rated for operation with a peak saturated power output 
greater than 0.1n W (-70 dBm) at any frequency exceeding 31.8 GHz up 
to and including 37 GHz;
    b.2.e. Rated for operation with a peak saturated power output 
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to 
and including 43.5 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    b.2.f. Rated for operation with a peak saturated power output 
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz 
up to and including 75 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    b.2.g. Rated for operation with a peak saturated power output 
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to 
and including 90 GHz, and with a ``fractional bandwidth'' of greater 
than 5%; or
    b.2.h. Rated for operation with a peak saturated power output 
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;

    Note 1:  [Reserved]


    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.h, is determined 
by the lowest peak saturated power output control threshold.


    Note 3:  Notes 1 and 2 following the Category 3 heading for 
product group A. Systems, Equipment, and Components mean that 
3A001.b.2 does not control ``MMICs'' if they are ``specially 
designed'' for other applications, e.g., telecommunications, radar, 
automobiles.

    b.3. Discrete microwave transistors that are any of the 
following:
    b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up 
to and including 6.8 GHz and having any of the following:
    b.3.a.1. A peak saturated power output greater than 400 W (56 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    b.3.a.2. A peak saturated power output greater than 205 W (53.12 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    b.3.a.3. A peak saturated power output greater than 115 W (50.61 
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; 
or
    b.3.a.4. A peak saturated power output greater than 60 W (47.78 
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up 
to and including 31.8 GHz and having any of the following:
    b.3.b.1. A peak saturated power output greater than 50 W (47 
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
    b.3.b.2. A peak saturated power output greater than 15 W (41.76 
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
    b.3.b.3. A peak saturated power output greater than 40 W (46 
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; 
or
    b.3.b.4. A peak saturated power output greater than 7 W (38.45 
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
    b.3.c. Rated for operation with a peak saturated power output 
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up 
to and including 37 GHz;
    b.3.d. Rated for operation with a peak saturated power output 
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to 
and including 43.5 GHz; or
    b.3.e. Rated for operation with a peak saturated power output 
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz;

    Note 1:  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 peak saturated power output control 
threshold.


    Note 2:  3A001.b.3 includes bare dice, dice mounted on carriers, 
or dice mounted in packages. Some discrete transistors may also be 
referred to as power amplifiers, but the status of these discrete 
transistors is determined by 3A001.b.3.

    b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of 
the following:
    b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up 
to and including 6.8 GHz with a ``fractional bandwidth'' greater 
than 15%, and having any of the following:
    b.4.a.1. A peak saturated power output greater than 500 W (57 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;

[[Page 38788]]

    b.4.a.2. A peak saturated power output greater than 270 W (54.3 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    b.4.a.3. A peak saturated power output greater than 200 W (53 
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; 
or
    b.4.a.4. A peak saturated power output greater than 90 W (49.54 
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up 
to and including 31.8 GHz with a ``fractional bandwidth'' greater 
than 10%, and having any of the following:
    b.4.b.1. A peak saturated power output greater than 70 W (48.54 
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
    b.4.b.2. A peak saturated power output greater than 50 W (47 
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
    b.4.b.3. A peak saturated power output greater than 30 W (44.77 
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; 
or
    b.4.b.4. A peak saturated power output greater than 20 W (43 
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
    b.4.c. Rated for operation with a peak saturated power output 
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up 
to and including 37 GHz;
    b.4.d. Rated for operation with a peak saturated power output 
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to 
and including 43.5 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and 
having any of the following:
    b.4.e.1. A peak saturated power output greater than 0.2 W (23 
dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz, 
and with a ``fractional bandwidth'' of greater than 10%;
    b.4.e.2. A peak saturated power output greater than 20 mW (13 
dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, 
and with a ``fractional bandwidth'' of greater than 5%; or
    b.4.e.3. A peak saturated power output greater than 0.1 nW (-70 
dBm) at any frequency exceeding 90 GHz; or
    b.4.f. [Reserved]
    N.B.: 1. For ``MMIC '' amplifiers see 3A001.b.2.
    2. For `transmit/receive modules' and `transmit modules' see 
3A001.b.12.

    Note 1: [Reserved]


    Note 2: The control status of an item whose rated operating 
frequency includes frequencies listed in more than one frequency 
range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined 
by the lowest peak saturated power output 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 (f<INF>max</INF>/
f<INF>min</INF>) in less than 10 [micro]s 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, that are any of the 
following:
    b.7.a. Designed to extend the frequency range of ``signal 
analyzers'' beyond 90 GHz;
    b.7.b. Designed to extend the operating range of signal 
generators as follows:
    b.7.b.1. Beyond 90 GHz;
    b.7.b.2. To an output power greater than 100 mW (20 dBm) 
anywhere within the frequency range exceeding 43.5 GHz but not 
exceeding 90 GHz;
    b.7.c. Designed to extend the operating range of network 
analyzers as follows:
    b.7.c.1. Beyond 110 GHz;
    b.7.c.2. To an output power greater than 31.62 mW (15 dBm) 
anywhere within the frequency range exceeding 43.5 GHz but not 
exceeding 90 GHz;
    b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere 
within the frequency range exceeding 90 GHz but not exceeding 110 
GHz; or
    b.7.d. Designed to extend the frequency range of microwave test 
receivers beyond 110 GHz;
    b.8. Microwave power amplifiers containing `vacuum electronic 
devices' 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 to mass ratio exceeding 80 W/kg; 
and
    b.8.c. A volume of less than 400 cm\3\;

    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 `vacuum electronic device', a ``Monolithic Microwave 
Integrated Circuit'' (``MMIC'') 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 cm\3\/W; and
    b.9.c. An ``instantaneous bandwidth'' greater than 1 octave 
(f<INF>max</INF>. > 2f<INF>min</INF>,) 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 x 10 cm\3\/W = 200 cm\3\.
    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.

    b.10. Oscillators or oscillator assemblies, specified to operate 
with a single sideband (SSB) phase noise, in dBc/Hz, less (better) 
than--(126 + 20log<INF>10</INF>F-20log<INF>10</INF>f) anywhere 
within the range of 10 Hz <= F <= 10 kHz;

    Technical Note: In 3A001.b.10, F is the offset from the 
operating frequency in Hz and f is the operating frequency in MHz.

    b.11. ``Frequency synthesizer'' ``electronic assemblies'' having 
a ``frequency switching time'' as specified by any of the following:
    b.11.a. Less than 143 ps;
    b.11.b. Less than 100 [mu]s for any frequency change exceeding 
2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but 
not exceeding 31.8 GHz;
    b.11.c. [Reserved]
    b.11.d. Less than 500 [micro]s for any frequency change 
exceeding 550 MHz within the synthesized frequency range exceeding 
31.8 GHz but not exceeding 37 GHz; or
    b.11.e. Less than 100 [micro]s for any frequency change 
exceeding 2.2 GHz within the synthesized frequency range exceeding 
37 GHz but not exceeding 90 GHz; or
    b.11.f. [Reserved]
    b.11.g. Less than 1 ms within the synthesized frequency range 
exceeding 90 GHz;
    N.B.: For general purpose ``signal analyzers'', signal 
generators, network analyzers and microwave test receivers, see 
3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.
    b.12. `Transmit/receive modules,' `transmit/receive MMICs,' 
`transmit modules,' and `transmit MMICs,' rated for operation at 
frequencies above 2.7 GHz and having all of the following:
    b.12.a. A peak saturated power output (in watts), 
P<INF>sat</INF>, greater than 505.62 divided by the maximum 
operating frequency (in GHz) squared [P<INF>sat</INF> > 505.62 W * 
GHz\2\/f<INF>GHz</INF>\2\] for any channel;
    b.12.b. A ``fractional bandwidth'' of 5% or greater for any 
channel;
    b.12.c. Any planar side with length d (in cm) equal to or less 
than 15 divided by the lowest operating frequency in GHz [d <= 15cm 
* GHz * N/f<INF>GHz</INF>] where N is the number of transmit or 
transmit/receive channels; and
    b.12.d. An electronically variable phase shifter per channel.

    Technical Notes: 
    1. A `transmit/receive module' is a multifunction ``electronic 
assembly'' that provides bi-directional amplitude and phase control 
for transmission and reception of signals.
    2. A `transmit module' is an ``electronic assembly'' that 
provides amplitude and phase control for transmission of signals.
    3. A `transmit/receive MMIC' is a multifunction ``MMIC'' that 
provides bi-directional amplitude and phase control for transmission 
and reception of signals.
    4. A `transmit MMIC' is a ``MMIC'' that provides amplitude and 
phase control for transmission of signals.
    5. 2.7 GHz should be used as the lowest operating frequency 
(f<INF>GHz</INF>) in the formula in 3A001.b.4.12.c for transmit/
receive or transmit modules that have a rated operation range 
extending downward to 2.7 GHz and below [d <= 15cm * GHz * N/2.7 
GHz].
    6. 3A001.b.12 applies to `transmit/receive modules' or `transmit 
modules' with or

[[Page 38789]]

without a heat sink. The value of d in 3A001.b.12.c does not include 
any portion of the `transmit/receive module' or `transmit module' 
that functions as a heat sink.
    7. `Transmit/receive modules' or `transmit modules,' `transmit/
receive MMICs' or `transmit MMICs' may or may not have N integrated 
radiating antenna elements where N is the number of transmit or 
transmit/receive channels.

    c. Acoustic wave devices as follows and ``specially designed'' 
``components'' therefor:
    c.1. Surface acoustic wave and surface skimming (shallow bulk) 
acoustic wave devices, 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 65 dB;
    c.1.b.2. A product of the maximum delay time and the bandwidth 
(time in [micro]s 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 [micro]s; 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 [micro]s and bandwidth in MHz) of more than 100;
    c.1.c.2. A dispersive delay of more than 10 [micro]s; or
    c.1.c.3. A `frequency side-lobe rejection' exceeding 65 dB and a 
bandwidth greater than 100 MHz;

    Technical Note: `Frequency side-lobe rejection' is the maximum 
rejection value specified in data sheet.

    c.2. Bulk (volume) acoustic wave devices that permit the direct 
processing of signals at frequencies exceeding 6 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;

    Note:  3A001.c does not control acoustic wave devices that are 
limited to a single band pass, low pass, high pass or notch 
filtering, or resonating function.

    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<SUP>-14</SUP> 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' as follows:
    e.1.a. `Primary cells' having an `energy density' exceeding 550 
Wh/kg at 293 K (20 [deg]C);
    e.1.b. `Secondary cells' having an `energy density' exceeding 
350 Wh/kg at 293 K (20 [deg]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/mm\2\;
    e.4. Solar cells, cell-interconnect-coverglass (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 [deg]C) under simulated `AM0' illumination 
with an irradiance of 1,367 Watts per square meter (W/m\2\);

    Technical Note: `AM0,' or `Air Mass Zero,' refers to the 
spectral irradiance of sunlight in the earth's outer atmosphere when 
the distance between the earth and sun is one astronomical unit 
(AU).

    f. Rotary input type absolute position encoders having an 
``accuracy'' equal to or less (better) than <plus-minus>1.0 second 
of arc and ``specially designed'' encoder rings, discs or scales 
therefor;
    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/[micro]s and off-state voltage greater than 1,100 V; or
    g.2. A maximum turn-on current rate of rise (di/dt) greater than 
2,000 A/[micro]s 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.


    Technical Note:  For the purposes of 3A001.g, a ``thyristor 
module'' contains one or more thyristor devices.

    h. Solid-state power semiconductor switches, diodes, or 
`modules', having all of the following:
    h.1. Rated for a maximum operating junction temperature greater 
than 488 K (215 [deg]C);
    h.2. Repetitive peak off-state voltage (blocking voltage) 
exceeding 300 V; and
    h.3. Continuous current greater than 1 A.

    Technical Note:  For the purposes of 3A001.h, `modules' contain 
one or more solid-state power semiconductor switches or diodes.


    Note 1:  Repetitive peak off-state voltage in 3A001.h includes 
drain to source voltage, collector to emitter voltage, repetitive 
peak reverse voltage and peak repetitive off-state blocking voltage.


    Note 2:  3A001.h. includes:

    --Junction Field Effect Transistors (JFETs)
    --Vertical Junction Field Effect Transistors (VJFETs)
    --Metal Oxide Semiconductor Field Effect Transistors (MOSFETs)
    --Double Diffused Metal Oxide Semiconductor Field Effect 
Transistor (DMOSFET)
    --Insulated Gate Bipolar Transistor (IGBT)
    --High Electron Mobility Transistors (HEMTs)

[[Page 38790]]

    --Bipolar Junction Transistors (BJTs)
    --Thyristors and Silicon Controlled Rectifiers (SCRs)
    --Gate Turn-Off Thyristors (GTOs)
    --Emitter Turn-Off Thyristors (ETOs)
    --PiN Diodes
    --Schottky Diodes


    Note 3:  3A001.h. does not apply to switches, diodes, or 
`modules', incorporated into equipment designed for civil 
automobile, civil railway, or ``civil aircraft'' applications.



0
23. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3, ECCN 3A002 is revised to read as follows:

3A002 General purpose ``electronic assemblies,'' modules and 
equipment, as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 2
MT applies to 3A002.h when the parameters   MT Column 1
 in 3A101.a.2.b are met or exceeded.
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $3000: 3A002.a, .e, .f, and .g
$5000: 3A002.c to .d, and .h (unless controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for MT)
CIV: Yes, for 3A002.h (unless controlled for MT)

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in 
3A002.g.1 to any of the destinations listed in Country Group A:6 
(See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: See Category XV(e)(9) of the USML for certain 
``space-qualified'' atomic frequency standards ``subject to the 
ITAR'' (see 22 CFR parts 120 through 130). See also 3A101, 3A992 and 
9A515.x.
Related Definitions: Constant percentage bandwidth filters are also 
known as octave or fractional octave filters.

Items:
    a. Recording equipment and oscilloscopes, as follows:
    a.1-a.5 [Reserved]
    N.B.: For waveform digitizers and transient recorders, see 
3A002.h.

    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.
    3. For the purposes of 3A002.a.5.c, acquisition can be triggered 
internally or externally.

    a.6. Digital data recorders having all of the following:
    a.6.a. A sustained `continuous throughput' of more than 6.4 
Gbit/s to disk or solid-state drive memory; and
    a.6.b. A processor that performs analysis of radio frequency 
signal data while it is being recorded;

    Technical Notes:  1. For recorders 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 record to disk or solid-state drive memory without 
the loss of any information while sustaining the input digital data 
rate or digitizer conversion rate.

    a.7. Real-time oscilloscopes having a vertical root-mean-square 
(rms) noise voltage of less than 2% of full-scale at the vertical 
scale setting that provides the lowest noise value for any input 3dB 
bandwidth of 60 GHz or greater per channel;

    Note: 3A002.a.7 does not apply to equivalent-time sampling 
oscilloscopes.

    b. [Reserved]
    c. ``Signal analyzers'' as follows:
    c.1. ``Signal analyzers'' having a 3 dB resolution bandwidth 
(RBW) exceeding 10 MHz anywhere within the frequency range exceeding 
31.8 GHz but not exceeding 37 GHz;
    c.2. ``Signal analyzers'' having Displayed Average Noise Level 
(DANL) less (better) than--150 dBm/Hz anywhere within the frequency 
range exceeding 43.5 GHz but not exceeding 90 GHz;
    c.3. ``Signal analyzers'' having a frequency exceeding 90 GHz;
    c.4. ``Signal analyzers'' having all of the following:
    c.4.a. ``Real-time bandwidth'' exceeding 170 MHz; and
    c.4.b. Having any of the following:
    c.4.b.1. 100% probability of discovery, with less than a 3 dB 
reduction from full amplitude due to gaps or windowing effects, of 
signals having a duration of 15 [micro]s or less; or
    c.4.b.2. A ``frequency mask trigger'' function, with 100% 
probability of trigger (capture) for signals having a duration of 15 
[micro]s or less;

    Technical Notes: 
    1. Probability of discovery in 3A002.c.4.b.1 is also referred to 
as probability of intercept or probability of capture.
    2. For the purposes of 3A002.c.4.b.1, the duration for 100% 
probability of discovery is equivalent to the minimum signal 
duration necessary for the specified level measurement uncertainty.


    Note: 3A002.c.4 does not apply to those ``signal analyzers'' 
using only constant percentage bandwidth filters (also known as 
octave or fractional octave filters).

    c.5. [Reserved]
    d. Signal generators having any of the following:
    d.1. Specified to generate pulse-modulated signals having all of 
the following, anywhere within the frequency range exceeding 31.8 
GHz but not exceeding 37 GHz:
    d.1.a. `Pulse duration' of less than 25 ns; and
    d.1.b. On/off ratio equal to or exceeding 65 dB;
    d.2. An output power exceeding 100 mW (20 dBm) anywhere within 
the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
    d.3. A ``frequency switching time'' as specified by any of the 
following:
    d.3.a. [Reserved];
    d.3.b. Less than 100 [micro]s for any frequency change exceeding 
2.2 GHz within the frequency range exceeding 4.8 GHz but not 
exceeding 31.8 GHz;
    d.3.c. [Reserved]
    d.3.d. Less than 500 [micro]s for any frequency change exceeding 
550 MHz within the frequency range exceeding 31.8 GHz but not 
exceeding 37 GHz; or
    d.3.e. Less than 100 [micro]s for any frequency change exceeding 
2.2 GHz within the frequency range exceeding 37 GHz but not 
exceeding 90 GHz;
    d.3.f. [Reserved]
    d.4. Single sideband (SSB) phase noise, in dBc/Hz, specified as 
being any of the following:
    d.4.a. Less (better) than--(126 + 20 log<INF>10</INF> F - 
20log<INF>10</INF>f) for anywhere within the range of 10 Hz <= F <= 
10 kHz anywhere within the frequency range exceeding 3.2 GHz but not 
exceeding 90 GHz; or
    d.4.b. Less (better) than--(206 - 20log<INF>10</INF>f) for 
anywhere within the range of 10 kHz < F <= 100 kHz anywhere within 
the frequency range exceeding 3.2 GHz but not exceeding 90 GHz; or

    Technical Note: In 3A002.d.4, F is the offset from the operating 
frequency in Hz and f is the operating frequency in MHz.

    d.5. A maximum frequency exceeding 90 GHz;

    Note 1: For the purpose of 3A002.d, signal generators include 
arbitrary waveform and function generators.


    Note 2: 3A002.d does not control equipment in which the output 
frequency is either produced by the addition or subtraction of two 
or more crystal oscillator frequencies, or by an addition or 
subtraction followed by a multiplication of the result.


    Technical Notes: 1. The maximum frequency of an arbitrary 
waveform or function generator is calculated by dividing the sample 
rate, in samples/second, by a factor of 2.5.
    2. For the purposes of 3A002.d.1.a, `pulse duration' is defined 
as the time interval from

[[Page 38791]]

the point on the leading edge that is 50% of the pulse amplitude to 
the point on the trailing edge that is 50% of the pulse amplitude.

    e. Network analyzers having any of the following:
    e.1. An output power exceeding 31.62 mW (15 dBm) anywhere within 
the operating frequency range exceeding 43.5 GHz but not exceeding 
90 GHz;
    e.2. An output power exceeding 1 mW (0 dBm) anywhere within the 
operating frequency range exceeding 90 GHz but not exceeding 110 
GHz;
    e.3. `Nonlinear vector measurement functionality' at frequencies 
exceeding 50 GHz but not exceeding 110 GHz; or

    Technical Note: `Nonlinear vector measurement functionality' is 
an instrument's ability to analyze the test results of devices 
driven into the large-signal domain or the non-linear distortion 
range.

    e.4. A maximum operating frequency exceeding 110 GHz;
    f. Microwave test receivers having all of the following:
    f.1. Maximum operating frequency exceeding 110 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 x 10<SUP>-11/month</SUP>; 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 x 
10<SUP>-11/month</SUP>; and
    g.3.c. Total power consumption of less than 1 Watt.
    h. ``Electronic assemblies,'' modules or equipment, specified to 
perform all of the following:
    h.1. Analog-to-digital conversions meeting any of the following:
    h.1.a. A resolution of 8 bit or more, but less than 10 bit, with 
an input sample rate greater than 1.3 billion samples per second;
    h.1.b. A resolution of 10 bit or more, but less than 12 bit, 
with an input sample rate greater than 1.0 billion samples per 
second;
    h.1.c. A resolution of 12 bit or more, but less than 14 bit, 
with an input sample rate greater than 1.0 billion samples per 
second;
    h.1.d. A resolution of 14 bit or more but less than 16 bit, with 
an input sample rate greater than 400 million samples per second; or
    h.1.e. A resolution of 16 bit or more with an input sample rate 
greater than 180 million samples per second; and
    h.2. Any of the following:
    h.2.a. Output of digitized data;
    h.2.b. Storage of digitized data; or
    h.2.c. Processing of digitized data;
    N.B.: Digital data recorders, oscilloscopes, ``signal 
analyzers,'' signal generators, network analyzers and microwave test 
receivers, are specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d, 
3A002.e and 3A002.f, respectively.

    Technical Note: For multiple-channel ``electronic assemblies'' 
or modules, control status is determined by the highest single-
channel specified performance.


    Note: 3A002.h includes ADC cards, waveform digitizers, data 
acquisition cards, signal acquisition boards and transient 
recorders.



0
24. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3, ECCN 3A991 is revised to read as follows:

3A991 Electronic devices, and ``components'' not controlled by 
3A001.

License Requirements

Reason for Control: AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
AT applies to entire entry................  AT Column 1
 


    License Requirements Note: See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and ``technology'' for the ``production'' or 
``development'' of such microprocessors.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

    a. ``Microprocessor microcircuits'', ``microcomputer 
microcircuits'', and microcontroller microcircuits having any of the 
following:
    a.1. A performance speed of 5 GFLOPS or more and an arithmetic 
logic unit with an access width of 32 bit or more;
    a.2. A clock frequency rate exceeding 25 MHz; or
    a.3. More than one data or instruction bus or serial 
communication port that provides a direct external interconnection 
between parallel ``microprocessor microcircuits'' with a transfer 
rate of 2.5 Mbyte/s.
    b. Storage integrated circuits, as follows:
    b.1. Electrical erasable programmable read-only memories 
(EEPROMs) with a storage capacity;
    b.1.a. Exceeding 16 Mbits per package for flash memory types; or
    b.1.b. Exceeding either of the following limits for all other 
EEPROM types:
    b.1.b.1. Exceeding 1 Mbit per package; or
    b.1.b.2. Exceeding 256 kbit per package and a maximum access 
time of less than 80 ns;
    b.2. Static random access memories (SRAMs) with a storage 
capacity:
    b.2.a. Exceeding 1 Mbit per package; or
    b.2.b. Exceeding 256 kbit per package and a maximum access time 
of less than 25 ns;
    c. Analog-to-digital converters having any of the following:
    c.1. A resolution of 8 bit or more, but less than 12 bit, with 
an output rate greater than 200 million words per second;
    c.2. A resolution of 12 bit with an output rate greater than 105 
million words per second;
    c.3. A resolution of more than 12 bit but equal to or less than 
14 bit with an output rate greater than 10 million words per second; 
or
    c.4. A resolution of more than 14 bit with an output rate 
greater than 2.5 million words per second.
    d. Field programmable logic devices having a maximum number of 
single-ended digital input/outputs between 200 and 700;
    e. Fast Fourier Transform (FFT) processors having a rated 
execution time for a 1,024 point complex FFT of less than 1 ms.
    f. Custom integrated circuits for which either the function is 
unknown, or the control status of the equipment in which the 
integrated circuits will be used is unknown to the manufacturer, 
having any of the following:
    f.1. More than 144 terminals; or
    f.2. A typical ``basic propagation delay time'' of less than 0.4 
ns.
    g. Traveling-wave `vacuum electronic devices,' pulsed or 
continuous wave, as follows:
    g.1. Coupled cavity devices, or derivatives thereof;
    g.2. Helix devices based on helix, folded waveguide, or 
serpentine waveguide circuits, or derivatives thereof, with any of 
the following:
    g.2.a. An ``instantaneous bandwidth'' of half an octave or more; 
and
    g.2.b. The product of the rated average output power (expressed 
in kW) and the maximum operating frequency (expressed in GHz) of 
more than 0.2;
    g.2.c. An ``instantaneous bandwidth'' of less than half an 
octave; and
    g.2.d. The product of the rated average output power (expressed 
in kW) and the maximum operating frequency (expressed in GHz) of 
more than 0.4;
    h. Flexible waveguides designed for use at frequencies exceeding 
40 GHz;
    i. Surface acoustic wave and surface skimming (shallow bulk) 
acoustic wave devices (i.e., ``signal processing'' devices employing 
elastic waves in materials), having either of the following:
    i.1. A carrier frequency exceeding 1 GHz; or
    i.2. A carrier frequency of 1 GHz or less; and
    i.2.a. A frequency side-lobe rejection exceeding 55 Db;
    i.2.b. A product of the maximum delay time and bandwidth (time 
in microseconds and bandwidth in MHz) of more than 100; or
    i.2.c. A dispersive delay of more than 10 microseconds.
    j. Cells as follows:
    j.1. Primary cells having an energy density of 550 Wh/kg or less 
at 293 K (20 [deg]C);
    j.2. Secondary cells having an energy density of 300 Wh/kg or 
less at 293 K (20 [deg]C).

    Note : 3A991.j. does not control batteries, including single 
cell batteries.



[[Page 38792]]


    Technical Notes: 1. For the purpose of 3A991.j energy density 
(Wh/kg) is calculated from the nominal voltage multiplied by the 
nominal capacity in ampere-hours 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 3A991.j, a `cell' is defined as an 
electrochemical device, which has positive and negative electrodes, 
and electrolyte, and is a source of electrical energy. It is the 
basic building block of a battery.
    3. For the purpose of 3A991.j.1, a `primary cell' is a `cell' 
that is not designed to be charged by any other source.
    4. For the purpose of 3A991.j.2., a `secondary cell' is a `cell' 
that is designed to be charged by an external electrical source.

    k. ``Superconductive'' electromagnets or solenoids ``specially 
designed'' to be fully charged or discharged in less than one 
minute, having all of the following:

    Note:  3A991.k does not control ``superconductive'' 
electromagnets or solenoids designed for Magnetic Resonance Imaging 
(MRI) medical equipment.

    k.1. Maximum energy delivered during the discharge divided by 
the duration of the discharge of more than 500 kJ per minute;
    k.2. Inner diameter of the current carrying windings of more 
than 250 mm; and
    k.3. Rated for a magnetic induction of more than 8T or ``overall 
current density'' in the winding of more than 300 A/mm\2\.
    l. Circuits or systems for electromagnetic energy storage, 
containing ``components'' manufactured from ``superconductive'' 
materials ``specially designed'' for operation at temperatures below 
the ``critical temperature'' of at least one of their 
``superconductive'' constituents, having all of the following:
    l.1. Resonant operating frequencies exceeding 1 MHz;
    l.2. A stored energy density of 1 MJ/M\3\ or more; and
    l.3. A discharge time of less than 1 ms;
    m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal 
construction and rate for a peak current of 500 A or more;
    n. Digital integrated circuits based on any compound 
semiconductor having an equivalent gate count of more than 300 (2 
input gates).
    o. Solar cells, cell-interconnect-coverglass (CIC) assemblies, 
solar panels, and solar arrays, which are ``space qualified'' and 
not controlled by 3A001.e.4.


0
25. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3, ECCN 3B001 is revised to read as follows:

3B001 Equipment for the manufacturing of semiconductor devices or 
materials, as follows (see List of Items Controlled) and ``specially 
designed'' ``components'' and ``accessories'' therefor.

License Requirements

Reason for Control: NS, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $500
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment 
using gas sources), .e (automatic loading multi-chamber central 
wafer handling systems only if connected to equipment controlled by 
3B001. a.3, or .f), and .f (lithography equipment).
CIV: Yes for equipment controlled by 3B001.a.1 and a.2.

List of Items Controlled

Related Controls: See also 3B991.
Related Definitions: N/A
Items:

    a. Equipment designed for epitaxial growth as follows:
    a.1. Equipment designed or modified to produce a layer of any 
material other than silicon with a thickness uniform to less than 
<plus-minus>2.5% across a distance of 75 mm or more;

    Note: 3B001.a.1 includes atomic layer epitaxy (ALE) equipment.

    a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors 
designed for compound semiconductor epitaxial growth of material 
having two or more of the following elements: aluminum, gallium, 
indium, arsenic, phosphorus, antimony, or nitrogen;
    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. [Reserved];
    b.2. Being designed and optimized to operate at a beam energy of 
20 keV or more and a beam current of 10 mA or more for hydrogen, 
deuterium, or helium implant;
    b.3. Direct write capability;
    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''; or
    b.5. Being designed and optimized to operate at beam energy of 
20keV or more and a beam current of 10mA or more for silicon implant 
into a semiconductor material ``substrate'' heated to 600 [deg]C or 
greater;
    c. [Reserved]
    d. [Reserved]
    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 functionally different `semiconductor process tools' controlled 
by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed 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 ``specially designed'' for parallel wafer processing.


    Technical Notes: 
    1. For the purpose of 3B001.e, `semiconductor process tools' 
refers to modular tools that provide physical processes for 
semiconductor production that are functionally different, such as 
deposition, implant or thermal processing.
    2. For the purpose of 3B001.e, `sequential multiple wafer 
processing' means the capability to process each wafer in different 
`semiconductor process tools', such as by transferring each wafer 
from one tool to a second tool and on to a third tool with the 
automatic loading multi-chamber central wafer handling systems.

    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 193 nm; or
    f.1.b. Capable of producing a pattern with a ``Minimum 
Resolvable Feature size'' (MRF) of 45 nm or less;

    Technical Note:  The `Minimum Resolvable Feature size' (MRF) is 
calculated by the following formula:

[GRAPHIC] [TIFF OMITTED] TR15AU17.000


[[Page 38793]]


where the K factor = 0.35
    f.2 Imprint lithography equipment capable of production features 
of 45 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 having all 
of the following:
    f.3.a. A deflected focused electron beam, ion beam or ``laser'' 
beam; and
    f.3.b. Having any of the following:
    f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than 
65 nm and an image placement less than 17 nm (mean + 3 sigma); or
    f.3.b.2. [Reserved]
    f.3.b.3. A second-layer overlay error of less than 23 nm (mean + 
3 sigma) on the mask;
    f.4. Equipment designed for device processing using direct 
writing methods, having all of the following:
    f.4.a. A deflected focused electron beam; and
    f.4.b. Having any of the following:
    f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
    f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
    g. Masks and reticles, designed for integrated circuits 
controlled by 3A001;
    h. Multi-layer masks with a phase shift layer not specified by 
3B001.g and having any of the following:
    h.1. Made on a mask ``substrate blank'' from glass specified as 
having less than 7 nm/cm birefringence; or
    h.2. Designed to be used by lithography equipment having a light 
source wavelength less than 245 nm;

    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.


0
26. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3, ECCN 3C001 is revised to read as follows:

3C001 Hetero-epitaxial materials consisting of a ``substrate'' 
having stacked epitaxially grown multiple layers of any of the 
following (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                              Country chart  (See Supp.
                Control(s)                       No. 1 to part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $3000
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: This entry does not control equipment or material 
whose functionality has been unalterably disabled are not 
controlled.
Related Definitions: N/A
Items:

    a. Silicon (Si);
    b. Germanium (Ge);
    c. Silicon Carbide (SiC); or
    d. ``III/V compounds'' of gallium or indium.

    Note:  3C001.d does not apply to a ``substrate'' having one or 
more P-type epitaxial layers of GaN, InGaN, AlGaN, InAlN, InAlGaN, 
GaP, GaAs, AlGaAs, InP, InGaP, AlInP or InGaAlP, independent of the 
sequence of the elements, except if the P-type epitaxial layer is 
between N-type layers.



0
27. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3, ECCN 3E001 is revised 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 3A980, 3A981, 3A991, 3A992, or 3A999), 3B 
(except 3B991 or 3B992) or 3C (except 3C992).

License Requirements

Reason for Control: NS, MT, NP, AT

 
                                              Country chart  (See Supp.
                Control(s)                       No. 1 to  part 738)
 
NS applies to ``technology'' for items      NS Column 1
 controlled by 3A001, 3A002, 3A003, 3B001,
 3B002, or 3C001 to 3C006.
MT applies to ``technology'' for equipment  MT Column 1
 controlled by 3A001 or 3A101 for MT
 reasons.
NP applies to ``technology'' for equipment  NP Column 1
 controlled by 3A001, 3A201, or 3A225 to
 3A234 for NP reasons.
AT applies to entire entry................  AT Column 1
 


    License Requirements Note:  See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and ``technology'' for the ``production'' or 
``development'' of such microprocessors.

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, Special Comprehensive Licenses, and 
Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: Yes for ``technology'' for equipment in 3B001.c.
TSR: Yes, except N/A for MT, and ``technology'' for the 
``development'' or ``production'' of: (a) Vacuum electronic device 
amplifiers described in 3A001.b.8, having operating frequencies 
exceeding 19 GHz; (b) solar cells, coverglass-interconnect-cells or 
covered-interconnect-cells (CIC) ``assemblies,'' solar arrays and/or 
solar panels described in 3A001.e.4; (c) ``Monolithic Microwave 
Integrated Circuit'' (``MMIC'') amplifiers in 3A001.b.2; and (d) 
discrete microwave transistors in 3A001.b.3.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``technology'' according to the General Technology Note for the 
``development'' or ``production'' of equipment specified by ECCNs 
3A002.g.1 or 3B001.a.2 to any of the destinations listed in Country 
Group A:6 (See Supplement No.1 to part 740 of the EAR). License 
Exception STA may not be used to ship or transmit ``technology'' 
according to the General Technology Note for the ``development'' or 
``production'' of components specified by ECCN 3A001.b.2 or b.3 to 
any of the destinations listed in Country Group A:5 or A:6 (See 
Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) ``Technology'' according to the General 
Technology Note for the ``development'' or ``production'' of certain 
``space-qualified'' atomic frequency standards described in Category 
XV(e)(9), MMICs described in Category XV(e)(14), and oscillators 
described in Category XV(e)(15) of the USML are ``subject to the 
ITAR'' (see 22 CFR parts 120 through 130). See also 3E101, 3E201 and 
9E515. (2) ``Technology'' for ``development'' or ``production'' of 
``Microwave Monolithic Integrated Circuits'' (``MMIC'') amplifiers 
in 3A001.b.2 is controlled in this ECCN 3E001; 5E001.d refers only 
to that additional ``technology'' ``required'' for 
telecommunications.
Related Definition: N/A
Items:

    The list of items controlled is contained in the ECCN heading.

    Note 1:  3E001 does not control ``technology'' for equipment or 
``components'' controlled by 3A003.


    Note 2:  3E001 does not control ``technology'' for integrated 
circuits controlled by 3A001.a.3 to a.12, having all of the 
following:

[[Page 38794]]

    (a) Using ``technology'' at or above 0.130 [micro]m; and
    (b) Incorporating multi-layer structures with three or fewer 
metal layers.



0
28. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3, ECCN 3E002 is revised to read as follows:

3E002 ``Technology'' according to the General Technology Note other 
than that controlled in 3E001 for the ``development'' or 
``production'' of a ``microprocessor microcircuit,'' ``micro-
computer microcircuit'' and microcontroller microcircuit core, 
having an arithmetic logic unit with an access width of 32 bits or 
more and any of the following features or characteristics (see List 
of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                              Country chart  (See Supp.
                Control(s)                       No. 1 to  part 738)
 
NS applies to entire entry................  NS Column 1
AT applies to entire entry................  AT Column 1
 


    License Requirements Note:  See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and ``technology'' for the ``production'' or 
``development'' of such microprocessors.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: Yes, for deemed exports, as described in Sec.  734.13(a)(2) of 
the EAR, of ``technology'' for the ``development'' or ``production'' 
of general purpose microprocessor cores with a vector processor unit 
with operand length of 64-bit or less, 64-bit floating operations 
not exceeding 50 GFLOPS, or 16-bit or more floating-point operations 
not exceeding 50 GMACS (billions of 16-bit fixed-point multiply-
accumulate operations per second). License Exception CIV does not 
apply to ECCN 3E002 technology also required for the development or 
production of items controlled under ECCNs beginning with 3A, 3B, or 
3C, or to ECCN 3E002 technology also controlled under ECCN 3E003.
TSR: Yes.

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

    a. A `vector processor unit' designed to perform more than two 
calculations on floating-point vectors (one dimensional arrays of 
32-bit or larger numbers) simultaneously;

    Technical Note: A `vector processor unit' is a processor element 
with built-in instructions that perform multiple calculations on 
floating-point vectors (one-dimensional arrays of 32-bit or larger 
numbers) simultaneously, having at least one vector arithmetic logic 
unit and vector registers of at least 32 elements each.

    b. Designed to perform more than four 64-bit or larger floating-
point operation results per cycle; or
    c. Designed to perform more than eight 16-bit fixed-point 
multiply-accumulate results per cycle (e.g., digital manipulation of 
analog information that has been previously converted into digital 
form, also known as digital ``signal processing'').

    Note 1:  3E002 does not control ``technology'' for multimedia 
extensions.


    Note 2:  3E002 does not control ``technology'' for 
microprocessor cores, having all of the following:
    a. Using ``technology'' at or above 0.130 [micro]m; and
    b. Incorporating multi-layer structures with five or fewer metal 
layers.


    Note 3:  3E002 includes ``technology'' for the ``development'' 
or ``production'' of digital signal processors and digital array 
processors.


0
29. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 3, ECCN 3E003 is revised to read as follows:

3E003 Other ``technology'' for the ``development'' or ``production'' 
of the following (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 1
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: Yes, except .f and .g

List of Items Controlled

Related Controls: See 3E001 for silicon-on-insulation (SOI) 
technology for the ``development'' or ``production'' related to 
radiation hardening of integrated circuits.
Related Definitions: N/A
Items:

    a. Vacuum microelectronic devices;
    b. Hetero-structure semiconductor electronic devices such as 
high electron mobility transistors (HEMT), hetero-bipolar 
transistors (HBT), quantum well and super lattice devices;

     Note: 3E003.b does not control ``technology'' for high electron 
mobility transistors (HEMT) operating at frequencies lower than 31.8 
GHz and hetero-junction bipolar transistors (HBT) operating at 
frequencies lower than 31.8 GHz.


    c. ``Superconductive'' electronic devices;
    d. Substrates of films of diamond for electronic components;
    e. Substrates of silicon-on-insulator (SOI) for integrated 
circuits in which the insulator is silicon dioxide;
    f. Substrates of silicon carbide for electronic components;
    g. `Vacuum electronic devices' operating at frequencies of 31.8 
GHz or higher.


0
30. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 4, ECCN 4A003 is revised to read as follows:

4A003 ``Digital computers,'' ``electronic assemblies,'' and related 
equipment therefor, as follows (see List of Items Controlled) and 
``specially designed'' ``components'' therefor.

License Requirements

Reason for Control: NS, CC, AT

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to 4A003.b and .c..............  NS Column 1
NS applies to 4A003.e and .g..............  NS Column 2
CC applies to ``digital computers'' for     CC Column 1
 computerized finger-print equipment.
AT applies to entire entry (refer to 4A994  AT Column 1
 for controls on ``digital computers''
 with an APP > 0.0128 but <= 16 WT).
 


    Note:  For all destinations, except those countries in Country 
Group E:1 or E:2 of Supplement No. 1 to part 740 of the EAR, no 
license is required (NLR) for computers with an ``Adjusted Peak 
Performance'' (``APP'') not exceeding 16 Weighted TeraFLOPS (WT) and 
for ``electronic assemblies'' described in 4A003.c that are not 
capable of exceeding an ``Adjusted Peak Performance'' (``APP'') 
exceeding 16 Weighted TeraFLOPS (WT) in aggregation, except certain 
transfers as set forth in Sec.  746.3 (Iraq).


Reporting Requirements

Special Post Shipment Verification reporting and recordkeeping 
requirements for exports of computers to destinations in Computer 
Tier 3 may be found in Sec.  743.2 of the EAR.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $5000; N/A for 4A003.b and .c.
GBS: Yes, for 4A003.g and ``specially designed'' ``parts'' and 
``components'' therefor, exported separately or as part of a system.
APP: Yes, for computers controlled by 4A003.b, and ``electronic 
assemblies'' controlled by 4A003.c, to the exclusion of

[[Page 38795]]

other technical parameters. See Sec.  740.7 of the EAR.
CIV: Yes, for 4A003.g.

List of Items Controlled

Related Controls: See also 4A994 and 4A980
Related Definitions: N/A
Items:

    Note 1: 4A003 includes the following:

    --`Vector processors' (as defined in Note 7 of the ``Technical 
Note on ``Adjusted Peak Performance'' (``APP'')'');
    --Array processors;
    --Digital signal processors;
    --Logic processors;
    --Equipment designed for ``image enhancement.''

    Note 2:  The control status of the ``digital computers'' and 
related equipment described in 4A003 is determined by the control 
status of other equipment or systems provided:
    a. The ``digital computers'' or related equipment are essential 
for the operation of the other equipment or systems;
    b. The ``digital computers'' or related equipment are not a 
``principal element'' of the other equipment or systems; and
    N.B. 1: The control status of ``signal processing'' or ``image 
enhancement'' equipment ``specially designed'' for other equipment 
with functions limited to those required for the other equipment is 
determined by the control status of the other equipment even if it 
exceeds the ``principal element'' criterion.
    N.B. 2: For the control status of ``digital computers'' or 
related equipment for telecommunications equipment, see Category 5, 
Part 1 (Telecommunications).
    c. The ``technology'' for the ``digital computers'' and related 
equipment is determined by 4E.


    a. [Reserved]
    b. ``Digital computers'' having an ``Adjusted Peak Performance'' 
(``APP'') exceeding 16 weighted TeraFLOPS (WT);
    c. ``Electronic assemblies'' ``specially designed'' or modified 
to be capable of enhancing performance by aggregation of processors 
so that the ``APP'' of the aggregation exceeds the limit in 4A003.b;

    Note 1:  4A003.c applies only to ``electronic assemblies'' and 
programmable interconnections not exceeding the limit in 4A003.b 
when shipped as unintegrated ``electronic assemblies.''


    Note 2:  4A003.c does not control ``electronic assemblies'' 
``specially designed'' for a product or family of products whose 
maximum configuration does not exceed the limit of 4A003.b.

    d. to f. [Reserved]
    N.B.: For ``electronic assemblies,'' modules or equipment, 
performing analog-to-digital conversions, see 3A002.h.
    g. Equipment ``specially designed'' for aggregating the 
performance of ``digital computers'' by providing external 
interconnections which allow communications at unidirectional data 
rates exceeding 2.0 Gbyte/s per link.

    Note:  4A003.g does not control internal interconnection 
equipment (e.g., backplanes, buses) passive interconnection 
equipment, ``network access controllers'' or ``communication channel 
controllers.''


0
31. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 4, ECCN 4D001 is revised to read as follows:

4D001 ``Software'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, CC, AT

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 1
CC applies to ``software'' for              CC Column 1
 computerized finger-print equipment
 controlled by 4A003 for CC reasons.
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: Yes, except for ``software'' for the ``development'' or 
``production'' of commodities with an ``Adjusted Peak Performance'' 
(``APP'') exceeding 16 WT.
APP: Yes to specific countries (see Sec.  740.7 of the EAR for 
eligibility criteria)

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``software'' ``specially designed'' for the ``development'' or 
``production'' of equipment specified by ECCN 4A001.a.2 or for the 
``development'' or ``production'' of ``digital computers'' having an 
`Adjusted Peak Performance' (`APP') exceeding 16 Weighted TeraFLOPS 
(WT) to any of the destinations listed in Country Group A:6 (See 
Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:
    a. ``Software'' ``specially designed'' or modified for the 
``development'' or ``production'', of equipment or ``software'' 
controlled by 4A001, 4A003, 4A004, or 4D (except 4D980, 4D993 or 
4D994).
    b. ``Software'', other than that controlled by 4D001.a, 
``specially designed'' or modified for the ``development'' or 
``production'' of equipment as follows:
    b.1. ``Digital computers'' having an ``Adjusted Peak 
Performance'' (``APP'') exceeding 8.0 Weighted TeraFLOPS (WT);
    b.2. ``Electronic assemblies'' ``specially designed'' or 
modified for enhancing performance by aggregation of processors so 
that the ``APP'' of the aggregation exceeds the limit in 4D001.b.1.

0
32. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 4, ECCN 4D993 is revised to read as follows:

4D993 ``Program'' proof and validation ``software,'' ``software'' 
allowing the automatic generation of ``source codes,'' and operating 
system ``software'' that are ``specially designed'' for ``real-time 
processing'' equipment (see List of Items Controlled).

License Requirements

Reason for Control: AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: N/A

List of Items Controlled

Related Controls: N/A
Related Definitions: ``Global interrupt latency time'' is the time 
taken by the computer system to recognize an interrupt due to the 
event, service the interrupt and perform a context switch to an 
alternate memory-resident task waiting on the interrupt.
Items:

    a. ``Program'' proof and validation ``software'' using 
mathematical and analytical techniques and designed or modified for 
``programs'' having more than 500,000 ``source code'' instructions;
    b. ``Software'' allowing the automatic generation of ``source 
codes'' from data acquired online from external sensors described in 
the Commerce Control List; or
    c. Operating system ``software'' ``specially designed'' for 
``real-time processing'' equipment that guarantees a ``global 
interrupt latency time'' of less than 20 microseconds.


0
33. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 4, ECCN 4E001 is revised to read as follows:

4E001 ``Technology'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, CC, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1
MT applies to ``technology'' for items      MT Column 1
 controlled by 4A001.a and 4A101 for MT
 reasons.

[[Page 38796]]

 
CC applies to ``software'' for              CC Column 1
 computerized finger-print equipment
 controlled by 4A003 for CC reasons.
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: Yes, except for ``technology'' for the ``development'' or 
``production'' of commodities with an ``Adjusted Peak Performance'' 
(``APP'') exceeding 16 WT.
APP: Yes to specific countries (see Sec.  740.7 of the EAR for 
eligibility criteria).

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``technology'' according to the General Technology Note for the 
``development'' or ``production'' of any of the following equipment 
or ``software'': a. Equipment specified by ECCN 4A001.a.2; b. 
``Digital computers'' having an `Adjusted Peak Performance' (`APP') 
exceeding 16 Weighted TeraFLOPS (WT); or c. ``software'' specified 
in the License Exception STA paragraph found in the License 
Exception section of ECCN 4D001 to any of the destinations listed in 
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

    a. ``Technology'' according to the General Technology Note, for 
the ``development'', ``production'', or ``use'' of equipment or 
``software'' controlled by 4A (except 4A980 or 4A994) or 4D (except 
4D980, 4D993, 4D994).
    b. ``Technology'' according to the General Technology Note, 
other than that controlled by 4E001.a, for the ``development'' or 
``production'' of equipment as follows:
    b.1. ``Digital computers'' having an ``Adjusted Peak 
Performance'' (``APP'') exceeding 8.0 Weighted TeraFLOPS (WT);
    b.2. ``Electronic assemblies'' ``specially designed'' or 
modified for enhancing performance by aggregation of processors so 
that the ``APP'' of the aggregation exceeds the limit in 4E001.b.1.


0
34. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Part 1, ECCN 5A001 is revised to read as follows:

5A001 Telecommunications systems, equipment, ``components'' and 
``accessories,'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, SL, AT

 
                                          Country chart (see Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to 5A001.a, .e, .b.5, f.3     NS Column 1
 and .h.
NS applies to 5A001.b (except .b.5),     NS Column 2
 .c, .d, .f (except f.3), and .g.
SL applies to 5A001.f.1................  A license is required for all
                                          destinations, as specified in
                                          Sec.   742.13 of the EAR.
                                          Accordingly, a column specific
                                          to this control does not
                                          appear on the Commerce Country
                                          Chart (Supplement No. 1 to
                                          Part 738 of the EAR)
                                         Note to SL paragraph: This
                                          licensing requirement does not
                                          supersede, nor does it
                                          implement, construe or limit
                                          the scope of any criminal
                                          statute, including, but not
                                          limited to the Omnibus Safe
                                          Streets Act of 1968, as
                                          amended
AT applies to entire entry.............  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: N/A for 5A001.a, b.5, .e, f.3 and .h; $5000 for 5A001.b.1, 
.b.2, .b.3, .b.6, .d, f.2, f.4, and .g; $3000 for 5A001.c.
GBS: Yes, except 5A001.a, b.5, e, and h.
CIV: Yes, except 5A001.a, b.3, b.5, e, and h.

Special Conditions for STA

STA: License Exception STA may not be used to ship any commodity in 
5A001.b.3, .b.5 or .h to any of the destinations listed in Country 
Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See USML Category XI for controls on 
direction-finding ``equipment'' including types of ``equipment'' in 
ECCN 5A001.e and any other military or intelligence electronic 
``equipment'' that is ``subject to the ITAR.'' (2) See USML Category 
XI(a)(4)(iii) for controls on electronic attack and jamming 
``equipment'' defined in 5A001.f and .h that are subject to the 
ITAR. (3) See also ECCNs 5A101, 5A980, and 5A991.
Related Definitions: N/A
Items:

    a. Any type of telecommunications equipment having any of the 
following characteristics, functions or features:
    a.1. ``Specially designed'' to withstand transitory electronic 
effects or electromagnetic pulse effects, both arising from a 
nuclear explosion;
    a.2. Specially hardened to withstand gamma, neutron or ion 
radiation; or
    a.3. ``Specially designed'' to operate outside the temperature 
range from 218 K (-55 [deg]C) to 397 K (124 [deg]C).

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

    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
    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;


[[Page 38797]]


    Note: 5A001.b.3.b does not control radio equipment ``specially 
designed'' for use with any of the following:
    a. Civil cellular radio-communications systems; or
    b. Fixed or mobile satellite Earth stations for commercial civil 
telecommunications.


    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 `channel 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.


    Technical Note:  `Channel switching time': the time (i.e., 
delay) to change from one receiving frequency to another, to arrive 
at or within <plus-minus>0.05% of the final specified receiving 
frequency. Items having a specified frequency range of less than 
<plus-minus>0.05% around their center frequency are defined to be 
incapable of channel frequency switching.

    b.6. Employing functions of digital ``signal processing'' to 
provide `voice coding' output at rates of less than 700 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 into a digital signal taking into account 
specific characteristics of human speech.

    c. Optical fibers of more than 500 m in length and specified by 
the manufacturer as being capable of withstanding a `proof test' 
tensile stress of 2 x 10\9\ N/m\2\ or more;
    N.B.: For underwater umbilical cables, see 8A002.a.3.

    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 [deg]C) and relative 
humidity 40%. Equivalent national standards may be used for 
executing the proof test.

    d. ``Electronically steerable phased array antennas'' as 
follows:
    d.1. Rated for operation above 31.8 GHz, but not exceeding 57 
GHz, and having an Effective Radiated Power (ERP) equal to or 
greater than +20 dBm (22.15 dBm Effective Isotropic Radiated Power 
(EIRP));
    d.2. Rated for operation above 57 GHz, but not exceeding 66 GHz, 
and having an ERP equal to or greater than +24 dBm (26.15 dBm EIRP);
    d.3. Rated for operation above 66 GHz, but not exceeding 90 GHz, 
and having an ERP equal to or greater than +20 dBm (22.15 dBm EIRP);
    d.4. Rated for operation above 90 GHz;

    Note: 5A001.d does not control ``electronically steerable phased 
array antennas'' 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. Mobile telecommunications interception or jamming equipment, 
and monitoring equipment therefor, as follows, and ``specially 
designed'' ``components'' therefor:
    f.1. Interception equipment designed for the extraction of voice 
or data, transmitted over the air interface;
    f.2. Interception equipment not specified in 5A001.f.1, designed 
for the extraction of client device or subscriber identifiers (e.g., 
IMSI, TIMSI or IMEI), signaling, or other metadata transmitted over 
the air interface;
    f.3. Jamming equipment ``specially designed'' or modified to 
intentionally and selectively interfere with, deny, inhibit, degrade 
or seduce mobile telecommunication services and performing any of 
the following:
    f.3.a. Simulate the functions of Radio Access Network (RAN) 
equipment;
    f.3.b. Detect and exploit specific characteristics of the mobile 
telecommunications protocol employed (e.g., GSM); or
    f.3.c. Exploit specific characteristics of the mobile 
telecommunications protocol employed (e.g., GSM);
    f.4. Radio Frequency (RF) monitoring equipment designed or 
modified to identify the operation of items specified in 5A001.f.1, 
5A001.f.2 or 5A001.f.3.

    Note: 5A001.f.1 and 5A001.f.2 do not apply to any of the 
following:
    a. Equipment ``specially designed'' for the interception of 
analog Private Mobile Radio (PMR), IEEE 802.11 WLAN;
    b. Equipment designed for mobile telecommunications network 
operators; or
    c. Equipment designed for the ``development'' or ``production'' 
of mobile telecommunications equipment or systems.

    N.B. 1: See also the International Traffic in Arms Regulations 
(ITAR) (22 CFR parts 120-130). For items specified by 5A001.f.1 
(including as previously specified by 5A001.i), see also5A980 and 
the U.S. Munitions List (22 CFR part 121).
    N.B. 2: For radio receivers see 5A001.b.5.
    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.

    h. Counter Improvised Explosive Device (IED) equipment and 
related equipment, as follows:
    h.1. Radio Frequency (RF) transmitting equipment, not specified 
by 5A001.f, designed or modified for prematurely activating or 
preventing the initiation of Improvised Explosive Devices (IEDs);
    h.2. Equipment using techniques designed to enable radio 
communications in the same frequency channels on which co-located 
equipment specified by 5A001.h.1 is transmitting.
    N.B.: See also Category XI of the International Traffic in Arms 
Regulations (ITAR) (22 CFR parts 120-130).
    i. [Reserved]
    N.B.: See 5A001.f.1 for items previously specified by 5A001.i.


0
35. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Part 1, ECCN 5B001 is revised to read as follows:

5B001 Telecommunication test, inspection and production equipment, 
``components'' and ``accessories,'' as follows (See List of Items 
Controlled).

License Requirements

Reason for Control: NS, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $5000
GBS: Yes
CIV: Yes

Special Conditions for STA

STA: License Exception STA may not be used to ship 5B001.a equipment 
and ``specially designed'' ``components'' or ``accessories'' 
therefor, ``specially designed'' for the ``development,'' or 
``production'' of equipment, functions or features specified by in 
ECCN 5A001.b.3, .b.5 or .h to any of the destinations listed in 
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).

[[Page 38798]]

List of Items Controlled

Related Controls: See also 5B991.
Related Definition: N/A
Items:

    a. Equipment and ``specially designed'' ``components'' or 
``accessories'' therefor, ``specially designed'' for the 
``development'' or ``production'' of equipment, functions or 
features, controlled by 5A001;

    Note:  5B001.a does not apply to optical fiber characterization 
equipment.

    b. Equipment and ``specially designed'' ``components'' or 
``accessories'' therefor, ``specially designed'' for the 
``development'' of any of the following telecommunication 
transmission or switching equipment:
    b.1. [Reserved]
    b.2. Equipment employing a ``laser'' and having any of the 
following:
    b.2.a. A transmission wavelength exceeding 1750 nm; or
    b.2.b. [Reserved]
    b.2.c. [Reserved]
    b.2.d. Employing analog techniques and having a bandwidth 
exceeding 2.5 GHz; or

    Note: 5B001.b.2.d. does not include equipment ``specially 
designed'' for the ``development'' of commercial TV systems.

    b.3. [Reserved]
    b.4. Radio equipment employing Quadrature-Amplitude-Modulation 
(QAM) techniques above level 1,024.


0
36. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Part 1, ECCN 5E001 is revised to read as follows:

5E001 ``Technology'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, SL, AT

 
                                          Country chart (see Supp. No.1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 1
SL applies to ``technology'' for the     A license is required for all
 ``development'' or ``production'' of     destinations, as specified in
 equipment, functions or features         Sec.   742.13 of the EAR.
 controlled by 5A001.f.1, or for the      Accordingly, a column specific
 ``development'' or ``production'' of     to this control does not
 ``software'' controlled by ECCN          appear on the Commerce Country
 5D001.a (for 5A001.f.1).                 Chart (Supplement No. 1 to
                                          Part 738 of the EAR)
                                         Note to SL paragraph: This
                                          licensing requirement does not
                                          supersede, nor does it
                                          implement, construe or limit
                                          the scope of any criminal
                                          statute, including, but not
                                          limited to the Omnibus Safe
                                          Streets Act of 1968, as
                                          amended
AT applies to entire entry.............  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of 
those countries listed in Country Group A:5 (See Supplement No. 1 to 
part 740 of the EAR) of ``technology'' controlled by 5E001.a for the 
``development'' or ``production'' of the following:
(1) Items controlled by 5A001.b.5 or 5A001.h; or
(2) ``Software'' controlled by 5D001.a that is ``specially 
designed'' for the ``development'' or ``production'' of equipment, 
functions or features controlled by 5A001.b.5 or 5A001.h.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``technology'' according to the General Technology Note for the 
``development'' or ``production'' of equipment, functions or 
features specified by 5A001.b.3, .b.5 or .h; or for ``software'' in 
5D001.a that is specified in the STA paragraph in the License 
Exception section of ECCN 5D001 to any of the destinations listed in 
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See also 5E101, 5E980 and 5E991. (2) 
``Technology'' for ``development'' or ``production'' of ``Monolithic 
Microwave Integrated Circuit'' (``MMIC'') amplifiers that meet the 
control criteria given at 3A001.b.2 is controlled in 3E001; 5E001.d 
refers only to that additional ``technology'' ``required'' for 
telecommunications.
Related Definitions: N/A
Items:

    a. ``Technology'' according to the General Technology Note for 
the ``development'', ``production'' or ``use'' (excluding operation) 
of equipment, functions or features, controlled by 5A001 or 
``software'' controlled by 5D001.a..
    b. Specific ``technology'', as follows:
    b.1. ``Technology'' ``required'' for the ``development'' or 
``production'' of telecommunications equipment ``specially 
designed'' to be used on board satellites;
    b.2. ``Technology'' for the ``development'' or ``use'' of 
``laser'' communication techniques with the capability of 
automatically acquiring and tracking signals and maintaining 
communications through exoatmosphere or sub-surface (water) media;
    b.3. ``Technology'' for the ``development'' of digital cellular 
radio base station receiving equipment whose reception capabilities 
that allow multi-band, multi-channel, multi-mode, multi-coding 
algorithm or multi-protocol operation can be modified by changes in 
``software'';
    b.4. ``Technology'' for the ``development'' of ``spread 
spectrum'' techniques, including ``frequency hopping'' techniques.

    Note: 5E001.b.4 does not apply to ``technology'' for the 
``development'' of any of the following:
    a. Civil cellular radio-communications systems; or
    b. Fixed or mobile satellite Earth stations for commercial civil 
telecommunications.

    c. ``Technology'' according the General Technology Note for the 
``development'' or ``production'' of any of the following:
    c.1. [Reserved]
    c.2. Equipment employing a ``laser'' and having any of the 
following:
    c.2.a. A transmission wavelength exceeding 1,750 nm;
    c.2.b. [Reserved]
    c.2.c. [Reserved]
    c.2.d. Employing wavelength division multiplexing techniques of 
optical carriers at less than 100 GHz spacing; or
    c.2.e. Employing analog techniques and having a bandwidth 
exceeding 2.5 GHz;

    Note: 5E001.c.2.e does not control ``technology'' for commercial 
TV systems.

    N.B.: For ``technology'' for the ``development'' or 
``production'' of non-telecommunications equipment employing a 
``laser'', see Product Group E of Category 6, e.g., 6E00x
    c.3. Equipment employing ``optical switching'' and having a 
switching time less than 1 ms; or
    c.4. Radio equipment having any of the following:
    c.4.a. Quadrature-Amplitude-Modulation (QAM) techniques above 
level 1,024; or
    c.4.b. Operating at input or output frequencies exceeding 31.8 
GHz; or

    Note: 5E001.c.4.b does not control ``technology'' for equipment 
designed or modified for operation in any frequency band which is 
``allocated by the ITU'' for radio-communications services, but not 
for radio-determination.

    c.4.c. Operating in the 1.5 MHz to 87.5 MHz band and 
incorporating adaptive techniques providing more than 15 dB 
suppression of an interfering signal; or
    c.5. [Reserved]
    c.6. Mobile equipment having all of the following:
    c.6.a. Operating at an optical wavelength greater than or equal 
to 200nm and less than or equal to 400nm; and
    c.6.b. Operating as a ``local area network'';
    d. ``Technology'' according to the General Technology Note for 
the ``development'' or ``production'' of ``Monolithic Microwave

[[Page 38799]]

Integrated Circuit'' (``MMIC'') amplifiers ``specially designed'' 
for telecommunications and that are any of the following:

    Technical Note:  For purposes of 5E001.d, the parameter peak 
saturated power output may also be referred to on product data 
sheets as output power, saturated power output, maximum power 
output, peak power output, or peak envelope power output.

    d.1. Rated for operation at frequencies exceeding 2.7 GHz up to 
and including 6.8 GHz with a ``fractional bandwidth'' greater than 
15%, and having any of the following:
    d.1.a. A peak saturated power output greater than 75 W (48.75 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    d.1.b. A peak saturated power output greater than 55 W (47.4 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    d.1.c. A peak saturated power output greater than 40 W (46 dBm) 
at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
    d.1.d. A peak saturated power output greater than 20 W (43 dBm) 
at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    d.2. Rated for operation at frequencies exceeding 6.8 GHz up to 
and including 16 GHz with a ``fractional bandwidth'' greater than 
10%, and having any of the following:
    d.2.a. A peak saturated power output greater than 10W (40 dBm) 
at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or
    d.2.b. A peak saturated power output greater than 5W (37 dBm) at 
any frequency exceeding 8.5 GHz up to and including 16 GHz;
    d.3. Rated for operation with a peak saturated power output 
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to 
and including 31.8 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    d.4. Rated for operation with a peak saturated power output 
greater than 0.1n W (-70 dBm) at any frequency exceeding 31.8 GHz up 
to and including 37 GHz;
    d.5. Rated for operation with a peak saturated power output 
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to 
and including 43.5 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    d.6. Rated for operation with a peak saturated power output 
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz 
up to and including 75 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    d.7. Rated for operation with a peak saturated power output 
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to 
and including 90 GHz, and with a ``fractional bandwidth'' of greater 
than 5%; or
    d.8. Rated for operation with a peak saturated power output 
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
    e. ``Technology'' according to the General Technology Note for 
the ``development'' or ``production'' of electronic devices and 
circuits, ``specially designed'' for telecommunications and 
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:
    e.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<SUP>-14</SUP> J; or
    e.2. Frequency selection at all frequencies using resonant 
circuits with Q-values exceeding 10,000.


0
37. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category5--Part 2 is amended by revising the Notes at the beginning of 
Part 2 to read as follows:

Part 2--Information Security

    Note 1: [Reserved]

    Note 2: Category 5--Part 2, ``information security'' products, 
when accompanying their user for the user's personal use or as tools 
of trade, are eligible for License Exceptions TMP or BAG, subject to 
the terms and conditions of these license exceptions.

    Note 3: Cryptography Note: ECCNs 5A002, 5D002.a.1, .b, and .c.1, 
do not control items as follows:
    a. Items meeting all of the following:
    1. Generally available to the public by being sold, without 
restriction, from stock at retail selling points by means of any of 
the following:
    a. Over-the-counter transactions;
    b. Mail order transactions;
    c. Electronic transactions; or
    d. Telephone call transactions;
    2. The cryptographic functionality cannot be easily changed by 
the user;
    3. Designed for installation by the user without further 
substantial support by the supplier; and
    4. When necessary, details of the items are accessible and will 
be provided, upon request, to the appropriate authority in the 
exporter's country in order to ascertain compliance with conditions 
described in paragraphs a.1 through a.3 of this Note;
    b. Hardware components or `executable software', of existing 
items described in paragraph a. of this Note, that have been 
designed for these existing items, and meeting all of the following:
    1. ``Information security'' is not the primary function or set 
of functions of the component or `executable software';
    2. The component or `executable software' does not change any 
cryptographic functionality of the existing items, or add new 
cryptographic functionality to the existing items;
    3. The feature set of the component or `executable software' is 
fixed and is not designed or modified to customer specification; and
    4. When necessary, as determined by the appropriate authority in 
the exporter's country, details of the component or `executable 
software', and details of relevant end-items are accessible and will 
be provided to the authority upon request, in order to ascertain 
compliance with conditions described above.


    Technical Note:  For the purpose of the Cryptography Note, 
`executable software' means ``software'' in executable form, from an 
existing hardware component excluded from 5A002, by the Cryptography 
Note.

    Note: `Executable software' does not include complete binary 
images of the ``software'' running on an end-item.

    Note to the Cryptography Note:
    1. To meet paragraph a. of Note 3, all of the following must 
apply:
    a. The item is of potential interest to a wide range of 
individuals and businesses; and
    b. The price and information about the main functionality of the 
item are available before purchase without the need to consult the 
vendor or supplier. A simple price inquiry is not considered to be a 
consultation.
    2. In determining eligibility of paragraph a. of Note 3, BIS may 
take into account relevant factors such as quantity, price, required 
technical skill, existing sales channels, typical customers, typical 
use or any exclusionary practices of the supplier.

    N.B. to Note 3 (Cryptography Note): You must submit a 
classification request or self-classification report to BIS for mass 
market encryption commodities and software eligible for the 
Cryptography Note employing a key length greater than 64 bits for 
the symmetric algorithm (or, for commodities and software not 
implementing any symmetric algorithms, employing a key length 
greater than 768 bits for asymmetric algorithms or greater than 128 
bits for elliptic curve algorithms) in accordance with the 
requirements of Sec.  740.17(b) of the EAR in order to be released 
from the ``EI'' and ``NS'' controls of ECCN 5A002 or 5D002.


0
38. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Part 2, ECCN 5A002 is revised to read as follows:

5A002 ``Information security'' systems, equipment and 
``components,'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT, EI

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1
AT applies to entire entry................  AT Column 1
EI applies to entire entry................  Refer to Sec.   742.15 of
                                             the EAR
 


    License Requirements Note:  See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and

[[Page 38800]]

``technology'' for the ``production'' or ``development'' of such 
microprocessors.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: Yes: $500 for ``components''. N/A for systems and equipment.
GBS: N/A
CIV: N/A
ENC: Yes for certain EI controlled commodities, see Sec.  740.17 of 
the EAR for eligibility.

List of Items Controlled

Related Controls: (1) ECCN 5A002.a controls ``components'' providing 
the means or functions necessary for ``information security.'' All 
such ``components'' are presumptively ``specially designed'' and 
controlled by 5A002.a. (2) See USML Categories XI (including XI(b)) 
and XIII(b) (including XIII(b)(2)) for controls on systems, 
equipment, and components described in 5A002.d or .e that are 
subject to the ITAR. (3) For Global Navigation Satellite Systems 
(GNSS) receiving equipment containing or employing decryption see 
7A005, and for related decryption ``software'' and ``technology'' 
see 7D005 and 7E001. (4) Noting that items may be controlled 
elsewhere on the CCL, examples of items not controlled by ECCN 
5A002.a.4 include the following: (a) An automobile where the only 
`cryptography for data confidentiality' `in excess of 56 bits of 
symmetric key length, or equivalent' is performed by a Category 5--
Part 2 Note 3 eligible mobile telephone that is built into the car. 
In this case, secure phone communications support a non-primary 
function of the automobile but the mobile telephone (equipment), as 
a standalone item, is not controlled by ECCN 5A002 because it is 
excluded by the Cryptography Note (Note 3) (See ECCN 5A992.c). (b) 
An exercise bike with an embedded Category 5--Part 2 Note 3 eligible 
web browser, where the only controlled cryptography is performed by 
the web browser. In this case, secure web browsing supports a non-
primary function of the exercise bike but the web browser 
(``software''), as a standalone item, is not controlled by ECCN 
5D002 because it is excluded by the Cryptography Note (Note 3) (See 
ECCN 5D992.c). (5) After classification or self-classification in 
accordance with Sec.  740.17(b) of the EAR, mass market encryption 
commodities that meet eligibility requirements are released from 
``EI'' and ``NS'' controls. These commodities are designated 
5A992.c.
Related Definitions: N/A
Items:

    a. Designed or modified to use `cryptography for data 
confidentiality' having `in excess of 56 bits of symmetric key 
length, or equivalent', where that cryptographic capability is 
usable without ``cryptographic activation'' or has been activated, 
as follows:
    a.1. Items having ``information security'' as a primary 
function;
    a.2. Digital communication or networking systems, equipment or 
components, not specified in paragraph 5A002.a.1;
    a.3. Computers, other items having information storage or 
processing as a primary function, and components therefor, not 
specified in paragraphs 5A002.a.1 or .a.2;
    N.B.: For operating systems see also 5D002.a.1 and .c.1.
    a.4. Items, not specified in paragraphs 5A002.a.1 to a.3, where 
the `cryptography for data confidentiality' having `in excess of 56 
bits of symmetric key length, or equivalent' meets all of the 
following:
    a.4.a. It supports a non-primary function of the item; and
    a.4.b. It is performed by incorporated equipment or ``software'' 
that would, as a standalone item, be specified by ECCNs 5A002, 
5A003, 5A004, 5B002 or 5D002.
    N.B. to paragraph a.4: See Related Control Paragraph (4) of this 
ECCN 5A002 for examples of items not controlled by 5A002.a.4.

    Technical Notes: 1. For the purposes of 5A002.a, `cryptography 
for data confidentiality' means ``cryptography'' that employs 
digital techniques and performs any cryptographic function other 
than any of the following:
    1.a. ``Authentication;''
    1.b. Digital signature;
    1.c. Data integrity;
    1.d. Non-repudiation;
    1.e. Digital rights management, including the execution of copy-
protected ``software;''
    1.f. Encryption or decryption in support of entertainment, mass 
commercial broadcasts or medical records management; or
    1.g. Key management in support of any function described in 
paragraphs 1.a to 1.f of this Technical Note paragraph 1.
    2. For the purposes of 5A002.a, `in excess of 56 bits of 
symmetric key length, or equivalent' means any of the following:
    2.a. A ``symmetric algorithm'' employing a key length in excess 
of 56 bits, not including parity bits; or
    2.b. An ``asymmetric algorithm'' where the security of the 
algorithm is based on any of the following:
    2.b.1. Factorization of integers in excess of 512 bits (e.g., 
RSA);
    2.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
    2.b.3. Discrete logarithms in a group other than mentioned in 
paragraph 2.b.2 of this Technical Note in excess of 112 bits (e.g., 
Diffie-Hellman over an elliptic curve).

    Note 1: Details of items must be accessible and provided upon 
request, in order to establish any of the following:
    a. Whether the item meets the criteria of 5A002.a.1 to a.4; or
    b. Whether the cryptographic capability for data confidentiality 
specified by 5A002.a is usable without ``cryptographic activation.''

    Note 2: 5A002.a does not control any of the following items, or 
specially designed ``information security'' components therefor:
    a. Smart cards and smart card `readers/writers' as follows:
    a.1. A smart card or an electronically readable personal 
document (e.g., token coin, e-passport) that meets any of the 
following:
    a.1.a. The cryptographic capability meets all of the following:
    a.1.a.1. It is restricted for use in any of the following:
    a.1.a.1.a. Equipment or systems, not described by 5A002.a.1 to 
a.4;
    a.1.a.1.b. Equipment or systems, not using `cryptography for 
data confidentiality' having `in excess of 56 bits of symmetric key 
length, or equivalent;' or
    a.1.a.1.c. Equipment or systems, excluded from 5A002.a by 
entries b. to f. of this Note; and
    a.1.a.2. It cannot be reprogrammed for any other use; or
    a.1.b. Having all of the following:
    a.1.b.1. It is specially designed and limited to allow 
protection of `personal data' stored within;
    a.1.b.2. Has been, or can only be, personalized for public or 
commercial transactions or individual identification; and
    a.1.b.3. Where the cryptographic capability is not user-
accessible;

    Technical Note to paragraph a.1.b of Note 2: `Personal data' 
includes any data specific to a particular person or entity, such as 
the amount of money stored and data necessary for 
``authentication.''
    a.2. `Readers/writers' specially designed or modified, and 
limited, for items specified by paragraph a.1 of this Note;

    Technical Note to paragraph a.2 of Note 2: `Readers/writers' 
include equipment that communicates with smart cards or 
electronically readable documents through a network.
    b. Cryptographic equipment specially designed and limited for 
banking use or `money transactions';

    Technical Note to paragraph b. of Note 2: `Money transactions' 
in 5A002 Note 2 paragraph b. includes the collection and settlement 
of fares or credit functions.
    c. 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));
    d. Cordless telephone equipment not capable of end-to-end 
encryption where the maximum effective range of unboosted cordless 
operation (i.e., a single, unrelayed hop between terminal and home 
base station) is less than 400 meters according to the 
manufacturer's specifications;
    e. 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 non-published) and also meet the provisions 
of paragraphs a.2 to a.4 of the Cryptography Note (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;
    f. Items, where the ``information security'' functionality is 
limited to wireless ``personal area network'' functionality, meeting 
all of the following:

[[Page 38801]]

    f.1. Implement only published or commercial cryptographic 
standards; and
    f.2. The cryptographic capability is limited to a nominal 
operating range not exceeding 30 meters according to the 
manufacturer's specifications, or not exceeding 100 meters according 
to the manufacturer's specifications for equipment that cannot 
interconnect with more than seven devices;
    g. Mobile telecommunications Radio Access Network (RAN) 
equipment designed for civil use, which also meet the provisions of 
paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in Category 
5--Part 2), having an RF output power limited to 0.1W (20 dBm) or 
less, and supporting 16 or fewer concurrent users;
    h. Routers, switches or relays, where the ``information 
security'' functionality is limited to the tasks of ``Operations, 
Administration or Maintenance'' (``OAM'') implementing only 
published or commercial cryptographic standards; or
    i. General purpose computing equipment or servers, where the 
``information security'' functionality meets all of the following:
    i.1. Uses only published or commercial cryptographic standards; 
and
    i.2. Is any of the following:
    i.2.a. Integral to a CPU that meets the provisions of Note 3 in 
Category 5--Part 2;
    i.2.b. Integral to an operating system that is not specified by 
5D002; or
    i.2.c. Limited to ``OAM'' of the equipment.

    b. Designed or modified to enable, by means of ``cryptographic 
activation,'' an item to achieve or exceed the controlled 
performance levels for functionality specified by 5A002.a that would 
not otherwise be enabled;
    c. Designed or modified to use or perform ``quantum 
cryptography;''

    Technical Note: ``Quantum cryptography'' is also known as 
Quantum Key Distribution (QKD).

    d. 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:
    d.1. A bandwidth exceeding 500 MHz; or
    d.2. A ``fractional bandwidth'' of 20% or more;
    e. Designed or modified to use cryptographic techniques to 
generate the spreading code for ``spread spectrum'' systems, not 
specified by 5A002.d, including the hopping code for ``frequency 
hopping'' systems.


0
39. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Part 2, ECCN 5A003 is revised to read as follows:

5A003 ``Systems,'' ``equipment'' and ``components,'' for non-
cryptographic ``information security,'' as follows (see List of 
Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: Yes: $500 for ``components.''
N/A for systems and equipment.
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

    a. Communications cable systems designed or modified using 
mechanical, electrical or electronic means to detect surreptitious 
intrusion;

    Note: 5A003.a applies only to physical layer security. For the 
purpose of 5A003.a, the physical layer includes Layer 1 of the 
Reference Model of Open Systems Interconnection (OSI) (ISO/IEC 7498-
1).

    b. ``Specially designed'' or modified to reduce the compromising 
emanations of information-bearing signals beyond what is necessary 
for health, safety or electromagnetic interference standards.

0
40. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Part 2, ECCN 5D002 is revised to read as follows:

5D002 ``Software'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT, EI

 
                                          Country chart (see Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 1
AT applies to entire entry.............  AT Column 1
EI applies to ``software'' in            Refer to Sec.   742.15 of the
 5D002.a.1, a.3, .b, c.1 and c.3, for     EAR
 commodities or ``software'' controlled  Note: Encryption software is
 for EI reasons in ECCNs 5A002, 5A004     controlled because of its
 or 5D002.                                functional capacity, and not
                                          because of any informational
                                          value of such software; such
                                          software is not accorded the
                                          same treatment under the EAR
                                          as other ``software'; and for
                                          export licensing purposes,
                                          encryption software is treated
                                          under the EAR in the same
                                          manner as a commodity included
                                          in ECCN 5A002
 


    License Requirements Note: See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and ``technology'' for the ``production'' or 
``development'' of such microprocessors.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled software, see Sec.  740.17 of the 
EAR for eligibility.

List of Items Controlled

Related Controls: After classification or self-classification in 
accordance with Sec.  740.17(b) of the EAR, mass market encryption 
software that meet eligibility requirements are released from ``EI'' 
and ``NS'' controls. This software is designated as 5D992.c.
Related Definitions: 5D002.a controls ``software'' designed or 
modified to use ``cryptography'' employing digital or analog 
techniques to ensure ``information security.''
Items:

    a. ``Software'' ``specially designed'' or modified for the 
``development,'' ``production'' or ``use'' of any of the following:
    a.1. Equipment specified by 5A002 or ``software'' specified by 
5D002.c.1;
    a.2. Equipment specified by 5A003 or ``software'' specified by 
5D002.c.2; or
    a.3. Equipment specified by 5A004 or ``software'' specified by 
5D002.c.3;
    b. ``Software'' designed or modified to enable, by means of 
``cryptographic activation,'' an item to meet the criteria for 
functionality specified by 5A002.a, that would not otherwise be met;
    c. ``Software'' having the characteristics of, or performing or 
simulating the functions of, any of the following:
    c.1. Equipment specified by 5A002.a, .c, .d or .e;

    Note: 5D002.c.1 does not apply to ``software'' limited to the 
tasks of ``OAM'' implementing only published or commercial 
cryptographic standards.

    c.2. Equipment specified by 5A003; or

[[Page 38802]]

    c.3. Equipment specified by 5A004.
    d. [Reserved]
    N.B.: See 5D002.b for items formerly specified in 5D002.d.

0
41. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 5--Part 2, ECCN 5E002 is revised to read as follows:

5E002 ``Technology'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT, EI

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1
AT applies to entire entry................  AT Column 1
EI applies to ``technology'' in 5E002.a     Refer to Sec.   742.15 of
 for commodities or ``software''             the EAR
 controlled for EI reasons in ECCNs 5A002,
 5A004 or 5D002, and to ``technology'' in
 5E002.b.
 


    License Requirements Notes: 
    (1) See Sec.  744.17 of the EAR for additional license 
requirements for microprocessors having a processing speed of 5 
GFLOPS or more and an arithmetic logic unit with an access width of 
32 bit or more, including those incorporating ``information 
security'' functionality, and associated ``software'' and 
``technology'' for the ``production'' or ``development'' of such 
microprocessors.
    (2) When a person performs or provides technical assistance that 
incorporates, or otherwise draws upon, ``technology'' that was 
either obtained in the United States or is of US-origin, then a 
release of the ``technology'' takes place. Such technical 
assistance, when rendered with the intent to aid in the 
``development'' or ``production'' of encryption commodities or 
software that would be controlled for ``EI'' reasons under ECCN 
5A002, 5A004 or 5D002, may require authorization under the EAR even 
if the underlying encryption algorithm to be implemented is from the 
public domain or is not of U.S.-origin.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: N/A
ENC: Yes for certain EI controlled technology, see Sec.  740.17 of 
the EAR for eligibility.

List of Items Controlled

Related Controls: See also 5E992. This entry does not control 
``technology'' ``required'' for the ``use'' of equipment excluded 
from control under the Related Controls paragraph or the Technical 
Notes in ECCN 5A002 or ``technology'' related to equipment excluded 
from control under ECCN 5A002.
Related Definitions: N/A
Items:

    a. ``Technology'' according to the General Technology Note for 
the ``development,'' ``production'' or ``use'' of equipment 
controlled by 5A002, 5A003, 5A004 or 5B002, or of ``software'' 
controlled by 5D002.a or 5D002.c.
    b. ``Technology'' to enable, by means of ``cryptographic 
activation,'' an item to meet the criteria for functionality 
specified by 5A002.a, that would not otherwise be met.

    Note: 5E002 includes ``information security'' technical data 
resulting from procedures carried out to evaluate or determine the 
implementation of functions, features or techniques specified in 
Category 5--Part 2.


0
42. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 6, ECCN 6A001 is revised to read as follows:

6A001 Acoustic systems, equipment and ``components,'' as follows 
(see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1 to  part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $3000; N/A for 6A001.a.1.b.1 object detection and location 
systems having a transmitting frequency below 5 kHz or a sound 
pressure level exceeding 210 dB (reference 1 [mu]Pa at 1 m) for 
equipment with an operating frequency in the band from 30 kHz to 2 
kHz inclusive; 6A001.a.1.e, 6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3, 
a.2.a.5, a.2.a.6, 6A001.a.2.b; processing equipment controlled by 
6A001.a.2.c, and ``specially designed'' for real-time application 
with towed acoustic hydrophone arrays; a.2.e.1, a.2.e.2; and bottom 
or bay cable systems controlled by 6A001.a.2.f and having processing 
equipment ``specially designed'' for real-time application with 
bottom or bay cable systems.
GBS: Yes for 6A001.a.1.b.4.
CIV: Yes for 6A001.a.1.b.4.

Special Conditions for STA

STA: License Exception STA may not be used to ship commodities in 
6A001.a.1.b, 6A001.a.1.e or 6A001.a.2 (except .a.2.a.4) to any of 
the destinations listed in Country Group A:6 (See Supplement No.1 to 
part 740 of the EAR).

List of Items Controlled

Related Controls: See also 6A991
Related Definitions: N/A
Items:

    a. Marine acoustic systems, equipment and ``specially designed'' 
``components'' therefor, as follows:
    a.1. Active (transmitting or transmitting-and-receiving) 
systems, equipment and ``specially designed'' ``components'' 
therefor, as follows:

    Note: 6A001.a.1 does not control equipment as follows:
    a. Depth sounders operating vertically below the apparatus, not 
including a scanning function exceeding <plus-minus> 20[deg], 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. Acoustic seabed survey equipment as follows:
    a.1.a.1. Surface vessel survey equipment designed for sea bed 
topographic mapping and having all of the following:
    a.1.a.1.a. Designed to take measurements at an angle exceeding 
20[deg] from the vertical;
    a.1.a.1.b. Designed to measure seabed topography at seabed 
depths exceeding 600 m;
    a.1.a.1.c.`Sounding resolution' less than 2; and
    a.1.a.1.d. `Enhancement' of the depth ``accuracy'' through 
compensation for all the following:
    a.1.a.1.d.1. Motion of the acoustic sensor;
    a.1.a.1.d.2. In-water propagation from sensor to the seabed and 
back; and
    a.1.a.1.d.3. Sound speed at the sensor;


    Technical Notes: 
    1. `Sounding resolution' is the swath width (degrees) divided by 
the maximum number of soundings per swath.
    2. `Enhancement' includes the ability to compensate by external 
means.

    a.1.a.2. Underwater survey equipment designed for seabed 
topographic mapping and having any of the following:

    Technical Note: The acoustic sensor pressure rating determines 
the depth rating of the equipment specified by 6A001.a.1.a.2.
    a.1.a.2.a. Having all of the following:
    a.1.a.2.a.1. Designed or modified to operate at depths exceeding 
300 m; and
    a.1.a.2.a.2. `Sounding rate' greater than 3,800 m/s; or


    Technical Note: `Sounding rate' is the product of the maximum 
speed (m/s) at which the sensor can operate and the maximum number 
of soundings per swath assuming 100% coverage. For systems that 
produce soundings in two directions (3D sonars), the maximum of the 
`sounding rate' in either direction should be used.

    a.1.a.2.b. Survey equipment, not specified by 6A001.a.1.a.2.a, 
having all of the following:
    a.1.a.2.b.1. Designed or modified to operate at depths exceeding 
100 m;
    a.1.a.2.b.2. Designed to take measurements at an angle exceeding 
20[deg] from the vertical;

[[Page 38803]]

    a.1.a.2.b.3. Having any of the following:
    a.1.a.2.b.3.a. Operating frequency below 350 kHz; or
    a.1.a.2.b.3.b. Designed to measure seabed topography at a range 
exceeding 200 m from the acoustic sensor; and
    a.1.a.2.b.4. `Enhancement' of the depth ``accuracy'' through 
compensation of all of the following:
    a.1.a.2.b.4.a. Motion of the acoustic sensor;
    a.1.a.2.b.4.b. In-water propagation from sensor to the seabed 
and back; and
    a.1.a.2.b.4.c. Sound speed at the sensor.
    a.1.a.3. Side Scan Sonar (SSS) or Synthetic Aperture Sonar 
(SAS), designed for seabed imaging and having all of the following, 
and specially designed transmitting and receiving acoustic arrays 
therefor:
    a.1.a.3.a. Designed or modified to operate at depths exceeding 
500 m; and
    a.1.a.3.b. An `area coverage rate' of greater than 570 m\2\/s 
while operating at the maximum range that it can operate with an 
`along track resolution' of less than 15 cm; and
    a.1.a.3.c. An `across track resolution' of less than 15 cm;

    Technical Notes: 
    1. `Area coverage rate' (m\2\/s) is twice the product of the 
sonar range (m) and the maximum speed (m/s) at which the sensor can 
operate at that range.
    2. `Along track resolution' (cm), for SSS only, is the product 
of azimuth (horizontal) beamwidth (degrees) and sonar range (m) and 
0.873.
    3. `Across track resolution' (cm) is 75 divided by the signal 
bandwidth (kHz).

    a.1.b Systems or transmitting and receiving arrays, designed for 
object detection or location, 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 1 
[micro]Pa 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 
[micro]Pa 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[deg] 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.
    3. Piezoelectric elements specified in 6A001.a.1.c include those 
made from lead-magnesium-niobate/lead-titanate 
(Pb(Mg<INF>1/3</INF>Nb<INF>2/3</INF>)O<INF>3</INF>-
PbTiO<INF>3,</INF> or PMN-PT) single crystals grown from solid 
solution or lead-indium-niobate/lead-magnesium niobate/lead-titanate 
(Pb(In<INF>1/2</INF>Nb<INF>1/2</INF>)O<INF>3</INF>-
Pb(Mg<INF>1/3</INF>Nb<INF>2/3</INF>)O<INF>3</INF>-PbTiO<INF>3</INF>, 
or PIN-PMN-PT) single crystals grown from solid solution.

    a.1.c.1. Operating at frequencies below 10 kHz and having any of 
the following:
    a.1.c.1.a. Not designed for continuous operation at 100% duty 
cycle and having a radiated `free-field Source Level (SLRMS)' 
exceeding (10log(f) + 169.77)dB (reference 1 [mu]Pa at 1 m) where f 
is the frequency in Hertz of maximum Transmitting Voltage Response 
(TVR) below 10 kHz; or
    a.1.c.1.b. Designed for continuous operation at 100% duty cycle 
and having a continuously radiated `free-field Source Level (SLRMS)' 
at 100% duty cycle exceeding (10log(f) + 159.77)dB (reference 1 
[mu]Pa at 1 m) where f is the frequency in Hertz of maximum 
Transmitting Voltage Response (TVR) below 10 kHz; or

    Technical Note: The `free-field Source Level (SL<INF>RMS</INF>)' 
is defined along the maximum response axis and in the far field of 
the acoustic projector. It can be obtained from the Transmitting 
Voltage Response using the following equation: SL<INF>RMS</INF> = 
(TVR + 20log V<INF>RMS</INF>) dB (ref 1[mu]Pa at 1 m), where 
SL<INF>RMS</INF> is the source level, TVR is the Transmitting 
Voltage Response and V<INF>RMS</INF> is the Driving Voltage of the 
Projector.

    a.1.c.2. [Reserved]
    N.B. See 6A001.a.1.c.1 for items previously specified in 
6A001.a.1.c.2.
    a.1.c.3. Side-lobe suppression exceeding 22 dB;
    a.1.d. Acoustic systems and equipment, designed to determine the 
position of surface vessels or underwater vehicles and having all of 
the following, and ``specially designed'' ``components'' therefor:
    a.1.d.1. Detection range exceeding 1,000 m; and
    a.1.d.2. Determined position error 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.1.e. Active individual sonars, ``specially designed'' or 
modified to detect, locate and automatically classify swimmers or 
divers, having all of the following, and ``specially designed'' 
transmitting and receiving acoustic arrays therefor:
    a.1.e.1. Detection range exceeding 530 m;
    a.1.e.2. Determined position error of less than 15 m rms (root 
mean square) when measured at a range of 530 m; and
    a.1.e.3. Transmitted pulse signal bandwidth exceeding 3 kHz;
    N.B.: For diver detection systems ``specially designed'' or 
modified for military use, see the U.S. Munitions List in the 
International Traffic in Arms Regulations (ITAR) (22 CFR part 121).

    Note: For 6A001.a.1.e, where multiple detection ranges are 
specified for various environments, the greatest detection range is 
used.

    a.2. Passive 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.


    Technical Note: Hydrophones consist of one or more sensing 
elements producing a single acoustic output channel. Those that 
contain multiple elements can be referred to as a hydrophone group.

    a.2.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){time} ;
    a.2.a.3.c. `Flexible piezoelectric composites';
    a.2.a.3.d. Lead-magnesium- niobate/lead-titanate (i.e., 
Pb(Mg<INF>1/3</INF>Nb<INF>2/3</INF>)O<INF>3</INF>-PbTiO<INF>3,</INF> 
or PMN-PT) piezoelectric single crystals grown from solid solution; 
or
    a.2.a.3.e. Lead-indium-niobate/lead-magnesium niobate/lead-
titanate (i.e., Pb(In<INF>1/2</INF>Nb<INF>1/2</INF>)O<INF>3</INF>-
Pb(Mg<INF>1/3</INF>Nb<INF>2/3</INF>)O<INF>3</INF>-PbTiO<INF>3,</INF> 
or PIN-PMN-PT) piezoelectric single crystals grown from solid 
solution;
    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

[[Page 38804]]

reference, when the hydrophone sensor, without a pre-amplifier, is 
placed in a plane wave acoustic field with an rms pressure of 1 
[mu]Pa. For example, a hydrophone of -160 dB (reference 1 V per 
[mu]Pa) would yield an output voltage of 10<SUP>-8</SUP> V in such a 
field, while one of -180 dB sensitivity would yield only 
10<SUP>-9</SUP> V output. Thus, -160 dB is better than -180 dB.

    a.2.b. Towed acoustic hydrophone arrays having any of the 
following:

    Technical Note: Hydrophones arrays consist of a number of 
hydrophones providing multiple acoustic output channels.

    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];
    a.2.b.7. Hydrophone characteristics controlled by 6A001.a.2.a; 
or
    a.2.b.8. Accelerometer-based hydro-acoustic sensors specified by 
6A001.a.2.g;
    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 <plus-minus> 0.5[deg]; 
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;
    N.B.: For inertial heading systems, see 7A003.c.
    a.2.e. Bottom or bay-cable hydrophone arrays having any of the 
following:
    a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a;
    a.2.e.2. Incorporating multiplexed hydrophone group 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 removal 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; or
    a.2.e.3. Incorporating accelerometer-based hydro-acoustic 
sensors specified by 6A001.a.2.g;
    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;
    a.2.g. Accelerometer-based hydro-acoustic sensors having all of 
the following:
    a.2.g.1. Composed of three accelerometers arranged along three 
distinct axes;
    a.2.g.2. Having an overall `acceleration sensitivity' better 
than 48 dB (reference 1,000 mV rms per 1g);
    a.2.g.3. Designed to operate at depths greater than 35 meters; 
and
    a.2.g.4. Operating frequency below 20 kHz;

    Note: 6A001.a.2.g does not apply to particle velocity sensors or 
geophones.


    Note: 6A001.a.2 also applies to receiving equipment, whether or 
not related in normal application to separate active equipment, and 
``specially designed'' ``components'' therefor.


    Technical Notes: 
    1. Accelerometer-based hydro-acoustic sensors are also known as 
vector sensors.
    2. `Acceleration 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 hydro-acoustic sensor, without a 
preamplifier, is placed in a plane wave acoustic field with an rms 
acceleration of 1 g (i.e., 9.81 m/s\2\).

    b. Correlation-velocity and Doppler-velocity 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.

    c. [Reserved]
    N.B.: For diver deterrent acoustic systems, see 8A002.r.

0
43. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 6, ECCN 6A003 is revised to read as follows:

6A003 Cameras, systems or equipment, and ``components'' therefor, as 
follows (see List of Items Controlled).

License Requirements

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

 
                                         Country chart  (See Supp. No. 1
               Control(s)                          to part 738)
 
NS applies to entire entry.............  NS Column 2
NP applies to cameras controlled by      NP Column 1
 6A003.a.2, a.3 or a.4 and to plug-ins
 in 6A003.a.6 for cameras controlled by
 6A003.a.3 or a.4.
RS applies to 6A003.b.3, 6A003.b.4.a,    RS Column 1
 6A003.b.4.c and to items controlled in
 6A003.b.4.b that have a frame rate
 greater than 60 Hz or that incorporate
 a focal plane array with more than
 111,000 elements, or to items in
 6A003.b.4.b when being exported or
 reexported to be embedded in a civil
 product. (But see Sec.
 742.6(a)(2)(iii) and (v) for certain
 exemptions).
RS applies to items controlled in        RS Column 2
 6A003.b.4.b that have a frame rate of
 60 Hz or less and that incorporate a
 focal plane array with not more than
 111,000 elements if not being exported
 or reexported to be embedded in a
 civil product.
AT applies to entire entry.............  AT Column 1
UN applies to 6A003.b.3 and b.4........  See Sec.   746.1(b) for UN
                                          controls.
 


    License Requirement Note: Commodities that are not subject to 
the ITAR but are of the type described in USML Category XII(c) are 
controlled as cameras in ECCN 6A003 when they incorporate a camera 
controlled in this ECCN.

Reporting Requirements

See Sec.  743.3 of the EAR for thermal camera reporting for exports 
that are not

[[Page 38805]]

authorized by an individually validated license of thermal imaging 
cameras controlled by ECCN 6A003.b.4.b to destinations in Country 
Group A:1 (see Supplement No. 1 to part 740), must be reported to 
BIS.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $1500, except N/A for 6A003.a.2 through a.6, b.1, b.3 and b.4
GBS: Yes for 6A003.a.1
CIV: Yes for 6A003.a.1

Special Conditions for STA

STA: License Exception STA may not be used to ship any commodity in 
6A003.b.3 or b.4 to any of the destinations listed in Country Group 
A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See ECCNs 6E001 (``development''), 6E002 
(``production''), and 6E201 (``use'') for technology for items 
controlled under this entry. (2) Also see ECCN 6A203. (3) See ECCN 
0A919 for foreign made military commodities that incorporate cameras 
described in 6A003. (4) Section 744.9 imposes a license requirement 
on cameras described in 6A003 if being exported, reexported, or 
transferred (in-country) for use by a military end-user or for 
incorporation into a commodity controlled by ECCN 0A919. (5) See 
USML Category XII(c) and (e) for cameras subject to the ITAR.
Related Definitions: N/A
Items:

    a. Instrumentation cameras and ``specially designed'' 
``components'' therefor, as follows:

    Note: Instrumentation cameras, controlled by 6A003.a.3 to 
6A003.a.5, with modular structures should be evaluated by their 
maximum capability, using plug-ins available according to the camera 
manufacturer's specifications.

    a.1. High-speed cinema recording cameras using any film format 
from 8 mm to 16 mm inclusive, in which the film is continuously 
advanced throughout the recording period, and that are capable of 
recording at framing rates exceeding 13,150 frames/s;

    Note: 6A003.a.1 does not control cinema recording cameras 
designed for civil purposes.

    a.2. Mechanical high speed cameras, in which the film does not 
move, capable of recording at rates exceeding 1,000,000 frames/s for 
the full framing height of 35 mm film, or at proportionately higher 
rates for lesser frame heights, or at proportionately lower rates 
for greater frame heights;
    a.3. Mechanical or electronic streak cameras as follows:
    a.3.a. Mechanical streak cameras having writing speeds exceeding 
10 mm/[micro]s;
    a.3.b. Electronic streak cameras having temporal resolution 
better than 50 ns;
    a.4. Electronic framing cameras having a speed exceeding 
1,000,000 frames/s;
    a.5. Electronic cameras having all of the following:
    a.5.a. An electronic shutter speed (gating capability) of less 
than 1[mu]s per full frame; and
    a.5.b. A read out time allowing a framing rate of more than 125 
full frames per second;
    a.6. Plug-ins having all of the following characteristics:
    a.6.a. ``Specially designed'' for instrumentation cameras which 
have modular structures and that are controlled by 6A003.a; and
    a.6.b. Enabling these cameras to meet the characteristics 
specified by 6A003.a.3, 6A003.a.4 or 6A003.a.5, according to the 
manufacturer's specifications;
    b. Imaging cameras as follows:

    Note: 6A003.b does not control television or video cameras 
``specially designed'' for television broadcasting.

    b.1. Video cameras incorporating solid state sensors, having a 
peak response in the wavelength range exceeding 10 nm, but not 
exceeding 30,000 nm and having all of the following:
    b.1.a. Having any of the following:
    b.1.a.1. More than 4 x 10\6\ ``active pixels'' per solid state 
array for monochrome (black and white) cameras;
    b.1.a.2. More than 4 x 10\6\ ``active pixels'' per solid state 
array for color cameras incorporating three solid state arrays; or
    b.1.a.3. More than 12 x 10\6\ ``active pixels'' for solid state 
array color cameras incorporating one solid state array; and
    b.1.b. Having any of the following:
    b.1.b.1. Optical mirrors controlled by 6A004.a.;
    b.1.b.2. Optical control equipment controlled by 6A004.d.; or
    b.1.b.3. The capability for annotating internally generated 
`camera tracking data';

    Technical Notes: 
    1. For the purposes of this entry, digital video cameras should 
be evaluated by the maximum number of ``active pixels'' used for 
capturing moving images.
    2. For the purpose of this entry, `camera tracking data' is the 
information necessary to define camera line of sight orientation 
with respect to the earth. This includes: (1) The horizontal angle 
the camera line of sight makes with respect to the earth's magnetic 
field direction and; (2) the vertical angle between the camera line 
of sight and the earth's horizon.

    b.2. Scanning cameras and scanning camera systems, having all of 
the following:
    b.2.a. A peak response in the wavelength range exceeding 10 nm, 
but not exceeding 30,000 nm;
    b.2.b. Linear detector arrays with more than 8,192 elements per 
array; and
    b.2.c. Mechanical scanning in one direction;

    Note: 6A003.b.2 does not apply to scanning cameras and scanning 
camera systems, ``specially designed'' for any of the following:
    a. Industrial or civilian photocopiers;
    b. Image scanners ``specially designed'' for civil, stationary, 
close proximity scanning applications (e.g., reproduction of images 
or print contained in documents, artwork or photographs); or
    c. Medical equipment.

    b.3. Imaging cameras incorporating image intensifier tubes 
having the characteristics listed in 6A002.a.2.a or 6A002.a.2.b;
    b.4. Imaging cameras incorporating ``focal plane arrays'' having 
any of the following:
    b.4.a. Incorporating ``focal plane arrays'' controlled by 
6A002.a.3.a to 6A002.a.3.e;
    b.4.b. Incorporating ``focal plane arrays'' controlled by 
6A002.a.3.f; or
    b.4.c. Incorporating ``focal plane arrays'' controlled by 
6A002.a.3.g;

    Note 1: Imaging cameras described in 6A003.b.4 include ``focal 
plane arrays'' combined with sufficient ``signal processing'' 
electronics, beyond the read out integrated circuit, to enable as a 
minimum the output of an analog or digital signal once power is 
supplied.


    Note 2: 6A003.b.4.a does not control imaging cameras 
incorporating linear ``focal plane arrays'' with 12 elements or 
fewer, not employing time-delay-and-integration within the element 
and designed for any of the following:
    a. Industrial or civilian intrusion alarm, traffic or industrial 
movement control or counting systems;
    b. Industrial equipment used for inspection or monitoring of 
heat flows in buildings, equipment or industrial processes;
    c. Industrial equipment used for inspection, sorting or analysis 
of the properties of materials;
    d. Equipment ``specially designed'' for laboratory use; or
    e. Medical equipment.


    Note 3:  6A003.b.4.b does not control imaging cameras having any 
of the following:
    a. A maximum frame rate equal to or less than 9 Hz;
    b. Having all of the following:
    1. Having a minimum horizontal or vertical `Instantaneous-Field-
of-View (IFOV)' of at least 10 mrad (milliradians);
    2. Incorporating a fixed focal-length lens that is not designed 
to be removed;
    3. Not incorporating a `direct view' display; and


    Technical Note: `Direct view' refers to an imaging camera 
operating in the infrared spectrum that presents a visual image to a 
human observer using a near-to-eye micro display incorporating any 
light-security mechanism.
    4. Having any of the following:
    a. No facility to obtain a viewable image of the detected field-
of-view; or
    b. The camera is designed for a single kind of application and 
designed not to be user modified; or


    Technical Note: 
    `Instantaneous Field of View (IFOV)' specified in Note 3.b is 
the lesser figure of the `Horizontal FOV' or the `Vertical FOV'.
    `Horizontal IFOV' = horizontal Field of View (FOV)/number of 
horizontal detector elements
    `Vertical IFOV'= vertical Field of View (FOV)/number of vertical 
detector elements.
    c. The camera is ``specially designed'' for installation into a 
civilian passenger land vehicle and having all of the following:

[[Page 38806]]

    1. The placement and configuration of the camera within the 
vehicle are solely to assist the driver in the safe operation of the 
vehicle;
    2. Is operable only when installed in any of the following:
    a. The civilian passenger land vehicle for which it was intended 
and the vehicle weighs less than 4,500 kg (gross vehicle weight); or
    b. A ``specially designed'', authorized maintenance test 
facility; and
    3. Incorporates an active mechanism that forces the camera not 
to function when it is removed from the vehicle for which it was 
intended.


    Note:  When necessary, details of the items will be provided, 
upon request, to the Bureau of Industry and Security in order to 
ascertain compliance with the conditions described in Note 3.b.4 and 
Note 3.c in this Note to 6A003.b.4.b.


    Note 4:  6A003.b.4.c does not apply to `imaging cameras' having 
any of the following characteristics:
    a. Having all of the following:
    1. Where the camera is ``specially designed'' for installation 
as an integrated component into indoor and wall-plug-operated 
systems or equipment, limited by design for a single kind of 
application, as follows:
    a. Industrial process monitoring, quality control, or analysis 
of the properties of materials;
    b. Laboratory equipment ``specially designed'' for scientific 
research;
    c. Medical equipment;
    d. Financial fraud detection equipment; and
    2. Is only operable when installed in any of the following:
    a. The system(s) or equipment for which it was intended; or
    b. A ``specially designed,'' authorized maintenance facility; 
and
    3. Incorporates an active mechanism that forces the camera not 
to function when it is removed from the system(s) or equipment for 
which it was intended;
    b. Where the camera is ``specially designed'' for installation 
into a civilian passenger land vehicle or passenger and vehicle 
ferries and having all of the following:
    1. The placement and configuration of the camera within the 
vehicle or ferry are solely to assist the driver or operator in the 
safe operation of the vehicle or ferry;
    2. Is only operable when installed in any of the following:
    a. The civilian passenger land vehicle for which it was intended 
and the vehicle weighs less than 4,500 kg (gross vehicle weight);
    b. The passenger and vehicle ferry for which it was intended and 
having a length overall (LOA) 65 m or greater; or
    c. A ``specially designed'', authorized maintenance test 
facility; and
    3. Incorporates an active mechanism that forces the camera not 
to function when it is removed from the vehicle for which it was 
intended;
    c. Limited by design to have a maximum ``radiant sensitivity'' 
of 10 mA/W or less for wavelengths exceeding 760 nm, having all of 
the following:
    1. Incorporating a response limiting mechanism designed not to 
be removed or modified; and
    2. Incorporates an active mechanism that forces the camera not 
to function when the response limiting mechanism is removed; and
    3. Not ``specially designed'' or modified for underwater use; or
    d. Having all of the following:
    1. Not incorporating a `direct view' or electronic image 
display;
    2. Has no facility to output a viewable image of the detected 
field of view;
    3. The ``focal plane array'' is only operable when installed in 
the camera for which it was intended; and
    4. The ``focal plane array'' incorporates an active mechanism 
that forces it to be permanently inoperable when removed from the 
camera for which it was intended.


    Note:  When necessary, details of the item will be provided, 
upon request, to the Bureau of Industry and Security in order to 
ascertain compliance with the conditions described in Note 4 above.

    b.5. Imaging cameras incorporating solid-state detectors 
specified by 6A002.a.1.


0
44. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 6, ECCN 6A005 is revised to read as follows:

6A005 ``Lasers,'' ``components'' and optical equipment, as follows 
(see List of Items Controlled), excluding items that are subject to 
the export licensing authority of the Nuclear Regulatory Commission 
(see 10 CFR part 110).

License Requirements

Reason for Control: NS, NP, AT

 
                                              Country chart  (See Supp.
                Control(s)                       No. 1 to  part 738)
 
NS applies to entire entry................  NS Column 2
NP applies to lasers controlled by          NP Column 1
 6A005.a.2, a.3, a.4, b.2.b, b.3, b.4,
 b.6.c, c.1.b, c.2.b, d.2, d.3.c, or d.4.c
 that meet or exceed the technical
 parameters described in 6A205.
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: N/A for NP items; $3,000 for all other item
GBS: Neodymium-doped (other than glass) ``lasers'' controlled by 
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output 
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an 
average or CW output power not exceeding 2kW, and operate in a 
pulse-excited, non- ``Q-switched'' multiple-transverse mode, or in a 
continuously excited, multiple-transverse mode; Dye and Liquid 
Lasers controlled by 6A005.c.1, c.2 and c.3, except for a pulsed 
single longitudinal mode oscillator having an average output power 
exceeding 1 W and a repetition rate exceeding 1 kHz if the ``pulse 
duration'' is less than 100 ns; CO ``lasers'' controlled by 
6A005.d.2 having a CW maximum rated single or multimode output power 
not exceeding 10 kW; CO<INF>2</INF> or CO/CO<INF>2</INF> ``lasers'' 
controlled by 6A005.d.3 having an output wavelength in the range 
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J 
per pulse and a maximum rated average single or multimode output 
power not exceeding 5 kW; CO<INF>2</INF> ``lasers'' controlled by 
6A005.d.3 that operate in CW multiple-transverse mode, and having a 
CW output power not exceeding 15kW; and 6A005.f.1.
CIV: Neodymium-doped (other than glass) ``lasers'' controlled by 
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output 
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an 
average or CW output power not exceeding 2kW, and operate in a 
pulse-excited, non- ``Q-switched'' multiple-transverse mode, or in a 
continuously excited, multiple-transverse mode; Dye and Liquid 
Lasers controlled by 6A005.c.1, c.2 and c.3, except for a pulsed 
single longitudinal mode oscillator having an average output power 
exceeding 1 W and a repetition rate exceeding 1 kHz if the ``pulse 
duration'' is less than 100 ns; CO ``lasers'' controlled by 
6A005.d.2 having a CW maximum rated single or multimode output power 
not exceeding 10 kW; CO<INF>2</INF> or CO/CO<INF>2</INF> ``lasers'' 
controlled by 6A005.d.3 having an output wavelength in the range 
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J 
per pulse and a maximum rated average single or multimode output 
power not exceeding 5 kW; CO<INF>2</INF> ``lasers'' controlled by 
6A005.d.3 that operate in CW multiple-transverse mode, and having a 
CW output power not exceeding 15kW; and 6A005.f.1.

List of Items Controlled

Related Controls: (1) See ECCN 6D001 for ``software'' for items 
controlled under this entry. (2) See ECCNs 6E001 (``development''), 
6E002 (``production''), and 6E201 (``use'') for technology for items 
controlled under this entry. (3) Also see ECCNs 6A205 and 6A995. (4) 
See ECCN 3B001 for excimer ``lasers'' ``specially designed'' for 
lithography equipment. (5) ``Lasers'' ``specially designed'' or 
prepared for use in isotope separation are subject to the export 
licensing authority of the Nuclear Regulatory Commission (see 10 CFR 
part 110). (6) See USML Category XII(b) and (e) for laser systems or 
lasers subject to the ITAR. (7) See USML Category XVIII for certain 
laser-based directed energy weapon systems, equipment, and 
components subject to the ITAR.
Related Definitions: (1) `Wall-plug efficiency' is defined as the 
ratio of ``laser'' output power (or ``average output power'') to 
total electrical input power required to operate

[[Page 38807]]

the ``laser'', including the power supply/conditioning and thermal 
conditioning/heat exchanger, see 6A005.a.6.b.1 and 6A005.b.6; (2) 
`Non-repetitive pulsed' refers to ``lasers'' that produce either a 
single output pulse or that have a time interval between pulses 
exceeding one minute, see Note 2 of 6A005 and 6A005.d.6.
Items:

    Note: 
    1. Pulsed ``lasers'' include those that run in a continuous wave 
(CW) mode with pulses superimposed.
    2. Excimer, semiconductor, chemical, CO, CO<INF>2</INF>, and 
`non-repetitive pulsed' Nd:glass ``lasers'' are only specified by 
6A005.d.


    Technical Note: `Non-repetitive pulsed' refers to ``lasers'' 
that produce either a single output pulse or that have a time 
interval between pulses exceeding one minute.
    3. 6A005 includes fiber ``lasers''.
    4. The control status of ``lasers'' incorporating frequency 
conversion (i.e., wavelength change) by means other than one 
``laser'' pumping another ``laser'' is determined by applying the 
control parameters for both the output of the source ``laser'' and 
the frequency-converted optical output.
    5. 6A005 does not control ``lasers'' as follows:
    a. Ruby with output energy below 20 J;
    b. Nitrogen;
    c. Krypton.

    a. Non-``tunable'' continuous wave ``(CW) lasers'' having any of 
the following:
    a.1. Output wavelength less than 150 nm and output power 
exceeding 1W;
    a.2. Output wavelength of 150 nm or more but not exceeding 510 
nm and output power exceeding 30 W;

    Note: 6A005.a.2 does not control Argon ``lasers'' having an 
output power equal to or less than 50 W.

    a.3. Output wavelength exceeding 510 nm but not exceeding 540 nm 
and any of the following:
    a.3.a. Single transverse mode output and output power exceeding 
50 W; or
    a.3.b. Multiple transverse mode output and output power 
exceeding 150 W;
    a.4. Output wavelength exceeding 540 nm but not exceeding 800 nm 
and output power exceeding 30 W;
    a.5. Output wavelength exceeding 800 nm but not exceeding 975 nm 
and any of the following:
    a.5.a. Single transverse mode output and output power exceeding 
50 W; or
    a.5.b. Multiple transverse mode output and output power 
exceeding 80 W;
    a.6. Output wavelength exceeding 975 nm but not exceeding 1,150 
nm and any of the following;
    a.6.a. Single transverse mode output and output power exceeding 
500 W; or
    a.6.b. Multiple transverse mode output and any of the following:
    a.6.b.1. `Wall-plug efficiency' exceeding 18% and output power 
exceeding 500 W; or
    a.6.b.2. Output power exceeding 2 kW;

    Note 1:  6A005.a.6.b does not control multiple transverse mode, 
industrial ``lasers'' with output power exceeding 2kW and not 
exceeding 6 kW with a total mass greater than 1,200 kg. For the 
purpose of this note, total mass includes all ``components'' 
required to operate the ``laser,'' e.g., ``laser,'' power supply, 
heat exchanger, but excludes external optics for beam conditioning 
and/or delivery.


    Note 2:  6A005.a.6.b does not apply to multiple transverse mode, 
industrial ``lasers'' having any of the following:
    a. Output power exceeding 500 W but not exceeding 1 kW and 
having all of the following:
    1. Beam Parameter Product (BPP) exceeding 0.7 mm<bullet>mrad; 
and
    2. `Brightness' not exceeding 1024 W/(mm<bullet>mrad)\2\;
    b. Output power exceeding 1 kW but not exceeding 1.6 kW and 
having a BPP exceeding 1.25 mm<bullet>mrad;
    c. Output power exceeding 1.6 kW but not exceeding 2.5 kW and 
having a BPP exceeding 1.7 mm<bullet>mrad;
    d. Output power exceeding 2.5 kW but not exceeding 3.3 kW and 
having a BPP exceeding 2.5 mm<bullet>mrad;
    e. Output power exceeding 3.3 kW but not exceeding 4 kW and 
having a BPP exceeding 3.5 mm<bullet>mrad;
    f. Output power exceeding 4 kW but not exceeding 5 kW and having 
a BPP exceeding 5 mm<bullet>mrad;
    g. Output power exceeding 5 kW but not exceeding 6 kW and having 
a BPP exceeding 7.2 mm<bullet>mrad;
    h. Output power exceeding 6 kW but not exceeding 8 kW and having 
a BPP exceeding 12 mm<bullet>mrad; or
    i. Output power exceeding 8 kW but not exceeding 10 kW and 
having a BPP exceeding 24 mm<bullet>mrad;


    Technical Note:  For the purpose of 6A005.a.6.b, Note 2 (a)(2), 
`brightness' is defined as the output power of the ``laser'' divided 
by the squared Beam Parameter Product (BPP), i.e., (output power)/
BPP\2\.

    a.7. Output wavelength exceeding 1,150 nm but not exceeding 
1,555 nm and any of the following:
    a.7.a. Single transverse mode and output power exceeding 50 W; 
or
    a.7.b. Multiple transverse mode and output power exceeding 80 W;
    a.8. Output wavelength exceeding 1,555 nm but not exceeding 
1,850 nm and output power exceeding 1 W;
    a.9. Output wavelength exceeding 1,850 nm but not exceeding 
2,100 nm, and any of the following:
    a.9.a. Single transverse mode and output power exceeding 1 W; or
    a.9. b. Multiple transverse mode output and output power 
exceeding 120 W; or
    a.10. Output wavelength exceeding 2,100 nm and output power 
exceeding 1 W;
    b. Non-``tunable'' ``pulsed lasers'' having any of the 
following:
    b.1. Output wavelength less than 150 nm and any of the 
following:
    b.1.a. Output energy exceeding 50 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    b.1.b. ``Average output power'' exceeding 1 W;
    b.2. Output wavelength of 150 nm or more but not exceeding 510 
nm and any of the following:
    b.2.a. Output energy exceeding 1.5 J per pulse and ``peak 
power'' exceeding 30 W; or
    b.2.b. ``Average output power'' exceeding 30 W;

    Note: 6A005.b.2.b does not control Argon ``lasers'' having an 
``average output power'' equal to or less than 50 W.

    b.3. Output wavelength exceeding 510 nm, but not exceeding 540 
nm and any of the following:
    b.3.a. Single transverse mode output and any of the following:
    b.3.a.1. Output energy exceeding 1.5 J per pulse and ``peak 
power'' exceeding 50 W; or
    b.3.a.2. ``Average output power'' exceeding 50 W; or
    b.3.b. Multiple transverse mode output and any of the following:
    b.3.b.1. Output energy exceeding 1.5 J per pulse and ``peak 
power'' exceeding 150 W; or
    b.3.b.2. ``Average output power'' exceeding 150 W;
    b.4. Output wavelength exceeding 540 nm but not exceeding 800 nm 
and any of the following:
    b.4.a. ``Pulse duration'' less than 1 ps and any of the 
following:
    b.4.a.1. Output energy exceeding 0.005 J per pulse and ``peak 
power'' exceeding 5 GW; or
    b.4.a.2. ``Average output power'' exceeding 20 W; or
    b.4.b. ``Pulse duration'' equal to or exceeding 1 ps and any of 
the following:
    b.4.b.1. Output energy exceeding 1.5 J per pulse and ``peak 
power'' exceeding 30 W; or
    b.4.b.2. ``Average output power'' exceeding 30 W;
    b.5. Output wavelength exceeding 800 nm but not exceeding 975 nm 
and any of the following:
    b.5.a. ``Pulse duration'' less than 1ps and any of the 
following:
    b.5.a.1. Output energy exceeding 0.005 J per pulse and ``peak 
power'' exceeding 5 GW; or
    b.5.a.2. Single transverse mode output and ``average output 
power'' exceeding 20 W;
    b.5.b. ``Pulse duration'' equal to or exceeding 1 ps and not 
exceeding 1 [mu]s and any of the following:
    b.5.b.1. Output energy exceeding 0.5 J per pulse and ``peak 
power'' exceeding 50 W;
    b.5.b.2. Single transverse mode output and ``average output 
power'' exceeding 20 W; or
    b.5.b.3. Multiple transverse mode output and ``average output 
power'' exceeding 50 W; or
    b.5.c. ``Pulse duration'' exceeding 1 [mu]s and any of the 
following:
    b.5.c.1. Output energy exceeding 2 J per pulse and ``peak 
power'' exceeding 50 W;
    b.5.c.2. Single transverse mode output and ``average output 
power'' exceeding 50 W; or
    b.5.c.3. Multiple transverse mode output and ``average output 
power'' exceeding 80 W.
    b.6. Output wavelength exceeding 975 nm but not exceeding 1,150 
nm and any of the following:
    b.6.a. ``Pulse duration'' of less than 1 ps, and any of the 
following:
    b.6.a.1. Output ``peak power'' exceeding 2 GW per pulse;

[[Page 38808]]

    b.6.a.2. ``Average output power'' exceeding 30 W; or
    b.6.a.3. Output energy exceeding 0.002 J per pulse;
    b.6.b. ``Pulse duration'' equal to or exceeding 1 ps and less 
than 1 ns, and any of the following:
    b.6.b.1. Output ``peak power'' exceeding 5 GW per pulse;
    b.6.b.2. ``Average output power'' exceeding 50 W; or
    b.6.b.3. Output energy exceeding 0.1 J per pulse;
    b.6.c. ``Pulse duration'' equal to or exceeding 1 ns but not 
exceeding 1 [mu]s and any of the following:
    b.6.c.1. Single transverse mode output and any of the following:
    b.6.c.1.a. ``Peak power'' exceeding 100 MW;
    b.6.c.1.b. ``Average output power'' exceeding 20 W limited by 
design to a maximum pulse repetition frequency less than or equal to 
1 kHz;
    b.6.c.1.c. `Wall-plug efficiency' exceeding 12%, ``average 
output power'' exceeding 100 W and capable of operating at a pulse 
repetition frequency greater than 1 kHz;
    b.6.c.1.d. ``Average output power'' exceeding 150 W and capable 
of operating at a pulse repetition frequency greater than 1 kHz; or
    b.6.c.1.e. Output energy exceeding 2 J per pulse; or
    b.6.c.2. Multiple transverse mode output and any of the 
following:
    b.6.c.2.a. ``Peak power'' exceeding 400 MW;
    b.6.c.2.b. `Wall-plug efficiency' exceeding 18% and ``average 
output power'' exceeding 500 W;
    b.6.c.2.c. ``Average output power'' exceeding 2 kW; or
    b.6.c.2.d. Output energy exceeding 4 J per pulse; or
    b.6.d. ``Pulse duration'' exceeding 1 [mu]s and any of the 
following:
    b.6.d.1. Single transverse mode output and any of the following:
    b.6.d.1.a. ``Peak power'' exceeding 500 kW;
    b.6.d.1.b. `Wall-plug efficiency' exceeding 12% and ``average 
output power'' exceeding 100 W; or
    b.6.d.1.c. ``Average output power'' exceeding 150 W; or
    b.6.d.2. Multiple transverse mode output and any of the 
following:
    b.6.d.2.a. ``Peak power'' exceeding 1 MW;
    b.6.d.2.b. `Wall-plug efficiency' exceeding 18% and ``average 
output power'' exceeding 500 W; or
    b.6.d.2.c. ``Average output power'' exceeding 2 kW;
    b.7. Output wavelength exceeding 1,150 nm but not exceeding 
1,555 nm and any of the following:
    b.7.a. ``Pulse duration'' not exceeding 1 [mu]s and any of the 
following:
    b.7.a.1. Output energy exceeding 0.5 J per pulse and ``peak 
power'' exceeding 50 W;
    b.7.a.2. Single transverse mode output and ``average output 
power'' exceeding 20 W; or
    b.7.a.3. Multiple transverse mode output and ``average output 
power'' exceeding 50 W; or
    b.7.b. ``Pulse duration'' exceeding 1 [mu]s and any of the 
following:
    b.7.b.1. Output energy exceeding 2 J per pulse and ``peak 
power'' exceeding 50 W;
    b.7.b.2. Single transverse mode output and ``average output 
power'' exceeding 50 W; or
    b.7.b.3. Multiple transverse mode output and ``average output 
power'' exceeding 80 W;
    b.8. Output wavelength exceeding 1,555 nm but not exceeding 
1,850 nm, and any of the following:
    b.8.a. Output energy exceeding 100 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    b.8.b. ``Average output power'' exceeding 1 W;
    b.9. Output wavelength exceeding 1,850 nm but not exceeding 
2,100 nm, and any of the following:
    b.9.a. Single transverse mode and any of the following:
    b.9.a.1. Output energy exceeding 100 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    b.9.a.2. ``Average output power'' exceeding 1 W;
    b.9.b. Multiple transverse mode and any of the following:
    b.9.b.1. Output energy exceeding 100 mJ per pulse and ``peak 
power'' exceeding 10 kW; or
    b.9.b.2. ``Average output power'' exceeding 120 W; or
    b.10. Output wavelength exceeding 2,100 nm and any of the 
following:
    b.10.a. Output energy exceeding 100 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    b.10.b. ``Average output power'' exceeding 1 W;
    c. ``Tunable'' lasers having any of the following:
    c.1. Output wavelength less than 600 nm and any of the 
following:
    c.1.a. Output energy exceeding 50 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    c.1.b. Average or CW output power exceeding 1W;

    Note:  6A005.c.1 does not apply to dye ``lasers'' or other 
liquid ``lasers,'' having a multimode output and a wavelength of 150 
nm or more but not exceeding 600 nm and all of the following:
    1. Output energy less than 1.5 J per pulse or a ``peak power'' 
less than 20 W; and
    2. Average or CW output power less than 20 W.

    c.2. Output wavelength of 600 nm or more but not exceeding 1,400 
nm, and any of the following:
    c.2.a. Output energy exceeding 1 J per pulse and ``peak power'' 
exceeding 20 W; or
    c.2.b. Average or CW output power exceeding 20 W; or
    c.3. Output wavelength exceeding 1,400 nm and any of the 
following:
    c.3.a. Output energy exceeding 50 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    c.3.b. Average or CW output power exceeding 1 W;
    d. Other ``lasers'', not controlled by 6A005.a, 6A005.b, or 
6A005.c as follows:
    d.1. Semiconductor ``lasers'' as follows:

    Note: 
    1. 6A005.d.1 includes semiconductor ``lasers'' having optical 
output connectors (e.g., fiber optic pigtails).
    2. The control status of semiconductor ``lasers'' ``specially 
designed'' for other equipment is determined by the control status 
of the other equipment.

    d.1.a. Individual single transverse mode semiconductor 
``lasers'' having any of the following:
    d.1.a.1. Wavelength equal to or less than 1,510 nm and average 
or CW output power, exceeding 1.5 W; or
    d.1.a.2. Wavelength greater than 1,510 nm and average or CW 
output power, exceeding 500 mW;
    d.1.b. Individual, multiple-transverse mode semiconductor 
``lasers'' having any of the following:
    d.1.b.1. Wavelength of less than 1,400 nm and average or CW 
output power, exceeding 15 W;
    d.1.b.2. Wavelength equal to or greater than 1,400 nm and less 
than 1,900 nm and average or CW output power, exceeding 2.5 W; or
    d.1.b.3. Wavelength equal to or greater than 1,900 nm and 
average or CW output power, exceeding 1 W;
    d.1.c. Individual semiconductor ``laser'' `bars' having any of 
the following:
    d.1.c.1. Wavelength of less than 1,400 nm and average or CW 
output power, exceeding 100 W;
    d.1.c.2. Wavelength equal to or greater than 1,400 nm and less 
than 1,900 nm and average or CW output power, exceeding 25 W; or
    d.1.c.3. Wavelength equal to or greater than 1,900 nm and 
average or CW output power, exceeding 10 W;
    d.1.d. Semiconductor ``laser'' `stacked arrays' (two dimensional 
arrays) having any of the following:
    d.1.d.1. Wavelength less than 1,400 nm and having any of the 
following:
    d.1.d.1.a. Average or CW total output power less than 3 kW and 
having average or CW output `power density' greater than 500 W/
cm\2\;
    d.1.d.1.b. Average or CW total output power equal to or 
exceeding 3 kW but less than or equal to 5 kW, and having average or 
CW output `power density' greater than 350W/cm\2\;
    d.1.d.1.c. Average or CW total output power exceeding 5 kW;
    d.1.d.1.d. Peak pulsed `power density' exceeding 2,500 W/cm\2\; 
or

    Note:  6A005.d.1.d.1.d does not apply to epitaxially-fabricated 
monolithic devices.

    d.1.d.1.e. Spatially coherent average or CW total output power, 
greater than 150 W;
    d.1.d.2. Wavelength greater than or equal to 1,400 nm but less 
than 1,900 nm, and having any of the following:
    d.1.d.2.a. Average or CW total output power less than 250 W and 
average or CW output `power density' greater than 150 W/cm2;
    d.1.d.2.b. Average or CW total output power equal to or 
exceeding 250 W but less than or equal to 500 W, and having average 
or CW output `power density' greater than 50W/cm\2\;
    d.1.d.2.c. Average or CW total output power exceeding 500 W;
    d.1.d.2.d. Peak pulsed `power density' exceeding 500 W/cm\2\; or

    Note:  6A005.d.1.d.2.d does not apply to epitaxially-fabricated 
monolithic devices.



[[Page 38809]]


    d.1.d.2.e. Spatially coherent average or CW total output power, 
exceeding 15 W;
    d.1.d.3. Wavelength greater than or equal to 1,900 nm and having 
any of the following:
    d.1.d.3.a. Average or CW output `power density' greater than 50 
W/cm\2\;
    d.1.d.3.b. Average or CW output power greater than 10 W; or
    d.1.d.3.c. Spatially coherent average or CW total output power, 
exceeding 1.5 W; or
    d.1.d.4. At least one ``laser'' `bar' specified by 6A005.d.1.c;

    Technical Note:  For the purposes of 6A005.d.1.d, `power 
density' means the total ``laser'' output power divided by the 
emitter surface area of the `stacked array'.

    d.1.e. Semiconductor ``laser'' `stacked arrays', other than 
those specified by 6.A005.d.1.d., having all of the following:
    d.1.e.1. ``Specially designed'' or modified to be combined with 
other `stacked arrays' to form a larger `stacked array'; and
    d.1.e.2. Integrated connections, common for both electronics and 
cooling;

    Note 1:  `Stacked arrays', formed by combining semiconductor 
``laser'' `stacked arrays' specified by 6A005.d.1.e, that are not 
designed to be further combined or modified are specified by 
6A005.d.1.d.


    Note 2:  `Stacked arrays', formed by combining semiconductor 
``laser'' `stacked arrays' specified by 6A005.d.1.e, that are 
designed to be further combined or modified are specified by 
6A005.d.1.e.


    Note 3:  6A005.d.1.e does not apply to modular assemblies of 
single `bars' designed to be fabricated into end to end stacked 
linear arrays.


    Technical Notes: 
    1. Semiconductor ``lasers'' are commonly called ``laser'' 
diodes.
    2. A `bar' (also called a semiconductor ``laser'' `bar', a 
``laser'' diode `bar' or diode `bar') consists of multiple 
semiconductor ``lasers'' in a one dimensional array.
    3. A `stacked array' consists of multiple `bars' forming a two 
dimensional array of semiconductor ``lasers''.

    d.2. Carbon monoxide (CO) ``lasers'' having any of the 
following:
    d.2.a. Output energy exceeding 2 J per pulse and ``peak power'' 
exceeding 5 kW; or
    d.2.b. Average or CW output power, exceeding 5 kW;
    d.3. Carbon dioxide (CO<INF>2</INF>) ``lasers'' having any of 
the following:
    d.3.a. CW output power exceeding 15 kW;
    d.3.b. Pulsed output with ``pulse duration'' exceeding 10 [mu]s 
and any of the following:
    d.3.b.1. ``Average output power'' exceeding 10 kW; or
    d.3.b.2. ``Peak power'' exceeding 100 kW; or
    d.3.c. Pulsed output with a ``pulse duration'' equal to or less 
than 10 [mu]s and any of the following:
    d.3.c.1. Pulse energy exceeding 5 J per pulse; or
    d.3.c.2. ``Average output power'' exceeding 2.5 kW;
    d.4. Excimer ``lasers'' having any of the following:
    d.4.a. Output wavelength not exceeding 150 nm and any of the 
following:
    d.4.a.1. Output energy exceeding 50 mJ per pulse; or
    d.4.a.2. ``Average output power'' exceeding 1 W;
    d.4.b. Output wavelength exceeding 150 nm but not exceeding 190 
nm and any of the following:
    d.4.b.1. Output energy exceeding 1.5 J per pulse; or
    d.4.b.2. ``Average output power'' exceeding 120 W;
    d.4.c. Output wavelength exceeding 190 nm but not exceeding 360 
nm and any of the following:
    d.4.c.1. Output energy exceeding 10 J per pulse; or
    d.4.c.2. ``Average output power'' exceeding 500 W; or
    d.4.d. Output wavelength exceeding 360 nm and any of the 
following:
    d.4.d.1. Output energy exceeding 1.5 J per pulse; or
    d.4.d.2. ``Average output power'' exceeding 30 W;

    Note:  For excimer ``lasers'' ``specially designed'' for 
lithography equipment, see 3B001.

    d.5. ``Chemical lasers'' as follows:
    d.5.a. Hydrogen Fluoride (HF) ``lasers';
    d.5.b. Deuterium Fluoride (DF) ``lasers'';
    d.5.c. ``Transfer lasers'' as follows:
    d.5.c.1. Oxygen Iodine (O<INF>2</INF>-I) ``lasers'';
    d.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO<INF>2</INF>) 
``lasers'';
    d.6. `Non-repetitive pulsed' Neodymium (Nd) glass ``lasers'' 
having any of the following:
    d.6.a. A ``pulse duration'' not exceeding 1 [mu]s and output 
energy exceeding 50 J per pulse; or
    d.6.b. A ``pulse duration'' exceeding 1 [mu]s and output energy 
exceeding 100 J per pulse;
    e. ``Components'' as follows:
    e.1. Mirrors cooled either by `active cooling' or by heat pipe 
cooling;

    Technical Note:  `Active cooling' is a cooling technique for 
optical ``components'' using flowing fluids within the subsurface 
(nominally less than 1 mm below the optical surface) of the optical 
component to remove heat from the optic.

    e.2. Optical mirrors or transmissive or partially transmissive 
optical or electro-optical-''components,'' other than fused tapered 
fiber combiners and Multi-Layer Dielectric gratings (MLDs), 
``specially designed'' for use with controlled ``lasers'';

    Note to 6A005.e.2:  Fiber combiners and MLDs are specified by 
6A005.e.3.
    e.3. Fiber ``laser'' ``components'' as follows:
    e.3.a. Multimode to multimode fused tapered fiber combiners 
having all of the following:
    e.3.a.1. An insertion loss better (less) than or equal to 0.3 dB 
maintained at a rated total average or CW output power (excluding 
output power transmitted through the single mode core if present) 
exceeding 1,000 W; and
    e.3.a.2. Number of input fibers equal to or greater than 3;
    e.3.b. Single mode to multimode fused tapered fiber combiners 
having all of the following:
    e.3.b.1. An insertion loss better (less) than 0.5 dB maintained 
at a rated total average or CW output power exceeding 4,600 W;
    e.3.b.2. Number of input fibers equal to or greater than 3; and
    e.3.b.3. Having any of the following:
    e.3.b.3.a. A Beam Parameter Product (BPP) measured at the output 
not exceeding 1.5 mm mrad for a number of input fibers less than or 
equal to 5; or
    e.3.b.3.b. A BPP measured at the output not exceeding 2.5 mm 
mrad for a number of input fibers greater than 5;
    e.3.c. MLDs having all of the following:
    e.3.c.1. Designed for spectral or coherent beam combination of 5 
or more fiber ``lasers;'' and
    e.3.c.2. CW ``Laser'' Induced Damage Threshold (LIDT) greater 
than or equal to 10 kW/cm\2\;
    f. Optical equipment as follows:
    N.B.: For shared aperture optical elements, capable of operating 
in ``Super-High Power Laser'' (``SHPL'') applications, see the U.S. 
Munitions List (22 CFR part 121).
    f.1. Dynamic wavefront (phase) measuring equipment capable of 
mapping at least 50 positions on a beam wavefront having any the 
following:
    f.1.a. Frame rates equal to or more than 100 Hz and phase 
discrimination of at least 5% of the beam's wavelength; or
    f.1.b. Frame rates equal to or more than 1,000 Hz and phase 
discrimination of at least 20% of the beam's wavelength;
    f.2. ``Laser'' diagnostic equipment capable of measuring 
``SHPL'' system angular beam steering errors of equal to or less 
than 10 [mu]rad;
    f.3. Optical equipment and ``components,'' ``specially 
designed'' for a phased-array ``SHPL'' system for coherent beam 
combination to an ``accuracy'' of [lambda]/10 at the designed 
wavelength, or 0.1 [mu]m, whichever is the smaller;
    f.4. Projection telescopes ``specially designed'' for use with 
``SHPL'' systems;
    g. `Laser acoustic detection equipment' having all of the 
following:
    g.1. CW ``laser'' output power greater than or equal to 20 mW;
    g.2. ``Laser'' frequency stability equal to or better (less) 
than 10 MHz;
    g.3. ``Laser'' wavelengths equal to or exceeding 1,000 nm but 
not exceeding 2,000 nm;
    g.4. Optical system resolution better (less) than 1 nm; and
    g.5. Optical Signal to Noise ratio equal or exceeding to 10\3\.


    Technical Note:  `Laser acoustic detection equipment' is 
sometimes referred to as a ``Laser'' Microphone or Particle Flow 
Detection Microphone.



0
45. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 6, ECCN 6A008 is revised to read as follows:

6A008 Radar systems, equipment and assemblies, having any of the 
following (see List of Items Controlled), and ``specially designed'' 
``components'' therefor.

[[Page 38810]]

License Requirements

Reason for Control: NS, MT, RS, AT

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 2
MT applies to items that are designed for   MT Column 1
 airborne applications and that are usable
 in systems controlled for MT reasons.
RS applies to 6A008.j.1...................  RS Column 1
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $5000; N/A for MT and for 6A008.j.1.
GBS: Yes, for 6A008.b, .c, and l.1 only
CIV: Yes, for 6A008.b, .c, and l.1 only

Special Conditions for STA

STA: License Exception STA may not be used to ship any commodity in 
6A008.d, 6A008.h or 6A008.k to any of the destinations listed in 
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See also ECCNs 6A108 and 6A998. ECCN 6A998 
controls, inter alia, the Light Detection and Ranging (LIDAR) 
equipment excluded by the note to paragraph j of this ECCN (6A008). 
(2) See USML Category XII(b) for certain LIDAR, Laser Detection and 
Ranging (LADAR), or range-gated systems subject to the ITAR.
Related Definitions: N/A
Items:

    Note:  6A008 does not control:
    --Secondary surveillance radar (SSR);
    --Civil Automotive Radar;
    --Displays or monitors used for air traffic control (ATC);
    --Meteorological (weather) radar;
    --Precision Approach Radar (PAR) equipment conforming to ICAO 
standards and employing electronically steerable linear (1-
dimensional) arrays or mechanically positioned passive antennas.

    a. Operating at frequencies from 40 GHz to 230 GHz and having 
any of the following:
    a.1. An ``average output power'' exceeding 100 mW; or
    a.2. Locating ``accuracy'' of 1 m or less (better) in range and 
0.2 degree or less (better) in azimuth;
    b. A tunable bandwidth exceeding <plus-minus>6.25% of the 
`center operating frequency';

    Technical Note:  The `center operating frequency' equals one 
half of the sum of the highest plus the lowest specified operating 
frequencies.

    c. Capable of operating simultaneously on more than two carrier 
frequencies;
    d. Capable of operating in synthetic aperture (SAR), inverse 
synthetic aperture (ISAR) radar mode, or sidelooking airborne (SLAR) 
radar mode;
    e. Incorporating electronically steerable array antennas;
    f. Capable of heightfinding non-cooperative targets;
    g. ``Specially designed'' for airborne (balloon or airframe 
mounted) operation and having Doppler ``signal processing'' for the 
detection of moving targets;
    h. Employing processing of radar signals and using any of the 
following:
    h.1. ``Radar spread spectrum'' techniques; or
    h.2. ``Radar frequency agility'' techniques;
    i. Providing ground-based operation with a maximum 
``instrumented range'' exceeding 185 km;

    Note:  6A008.i does not control:
    a. Fishing ground surveillance radar;
    b. Ground radar equipment ``specially designed'' for en route 
air traffic control, and having all of the following:
    1. A maximum ``instrumented range'' of 500 km or less;
    2. Configured so that radar target data can be transmitted only 
one way from the radar site to one or more civil ATC centers;
    3. Contains no provisions for remote control of the radar scan 
rate from the en route ATC center; and
    4. Permanently installed;
    c. Weather balloon tracking radars.

    j. Being ``laser'' radar or Light Detection and Ranging (LIDAR) 
equipment and having any of the following:
    j.1. ``Space-qualified'';
    j.2. Employing coherent heterodyne or homodyne detection 
techniques and having an angular resolution of less (better) than 20 
[mu]rad (microradians); or
    j.3. Designed for carrying out airborne bathymetric littoral 
surveys to International Hydrographic Organization (IHO) Order 1a 
Standard (5th Edition February 2008) for Hydrographic Surveys or 
better, and using one or more ``lasers'' with a wavelength exceeding 
400 nm but not exceeding 600 nm;

    Note 1:  LIDAR equipment ``specially designed'' for surveying is 
only specified by 6A008.j.3.


    Note 2:  6A008.j does not apply to LIDAR equipment ``specially 
designed'' for meteorological observation.


    Note 3:  Parameters in the IHO Order 1a Standard 5th Edition 
February 2008 are summarized as follows:
    Horizontal Accuracy (95% Confidence Level) = 5 m + 5% of depth.
    Depth Accuracy for Reduced Depths (95% confidence level) = 
<plus-minus>[radic](a\2\+(b*d)\2\) where:
    a = 0.5 m = constant depth error, i.e. the sum of all constant 
depth errors
    b = 0.013 = factor of depth dependant error
    b*d = depth dependant error, i.e. the sum of all depth dependant 
errors
    d = depth
    Feature Detection = Cubic features > 2 m in depths up to 40 m; 
10% of depth beyond 40 m.

    k. Having ``signal processing'' sub-systems using ``pulse 
compression'' and having any of the following:
    k.1. A ``pulse compression'' ratio exceeding 150; or
    k.2. A compressed pulse width of less than 200 ns; or

    Note:  6A008.k.2 does not apply to two dimensional `marine 
radar' or `vessel traffic service' radar, having all of the 
following:
    a. ``Pulse compression'' ratio not exceeding 150;
    b. Compressed pulse width of greater than 30 ns;
    c. Single and rotating mechanically scanned antenna;
    d. Peak output power not exceeding 250 W; and
    e. Not capable of ``frequency hopping''.

    l. Having data processing sub-systems and having any of the 
following:
    l.1. ``Automatic target tracking'' providing, at any antenna 
rotation, the predicted target position beyond the time of the next 
antenna beam passage; or

    Note:  6A008.l.1 does not control conflict alert capability in 
ATC systems, or `marine radar'.

    l.2. [Reserved]
    l.3. [Reserved]
    l.4. Configured to provide superposition and correlation, or 
fusion, of target data within six seconds from two or more 
``geographically dispersed'' radar sensors to improve the aggregate 
performance beyond that of any single sensor specified by 6A008.f, 
or 6A008.i.
    N.B.: See also the U.S. Munitions List (22 CFR part 121).

    Note:  6A008.l does not apply to systems, equipment and 
assemblies designed for `vessel traffic services'.


    Technical Notes: 
    1. For the purposes of 6A008, `marine radar' is a radar that is 
used to navigate safely at sea, inland waterways or near-shore 
environments.
    2. For the purposes of 6A008, `vessel traffic service' is a 
vessel traffic monitoring and control service similar to air traffic 
control for ``aircraft.''


0
46. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 6, ECCN 6D003 is revised to read as follows:

6D003 Other ``software'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, RS, AT

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 1
RS applies to paragraph c.................  RS Column 1
AT applies to entire entry................  AT Column 1
 


[[Page 38811]]

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: Yes for 6D003.h.1
TSR: Yes, except for 6D003.c and exports or reexports to 
destinations outside of those countries listed in Country Group A:5 
(See Supplement No. 1 to part 740 of the EAR) of ``software'' for 
items controlled by 6D003.a.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
software in 6D003.a to any of the destinations listed in Country 
Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: See also ECCNs 6D103, 6D991, and 6D993.
Related Definitions: N/A
Items:

Acoustics

    a. ``Software'' as follows:
    a.1. ``Software'' ``specially designed'' for acoustic beam 
forming for the ``real-time processing'' of acoustic data for 
passive reception using towed hydrophone arrays;
    a.2. ``Source code'' for the ``real-time processing'' of 
acoustic data for passive reception using towed hydrophone arrays;
    a.3. ``Software'' ``specially designed'' for acoustic beam 
forming for the ``real-time processing'' of acoustic data for 
passive reception using bottom or bay cable systems;
    a.4. ``Source code'' for the ``real-time processing'' of 
acoustic data for passive reception using bottom or bay cable 
systems;
    a.5. ``Software'' or ``source code'', ``specially designed'' for 
all of the following:
    a.5.a. ``Real-time processing'' of acoustic data from sonar 
systems controlled by 6A001.a.1.e; and
    a.5.b. Automatically detecting, classifying and determining the 
location of divers or swimmers;
    N.B.: For diver detection ``software'' or ``source code'', 
``specially designed'' or modified for military use, see the U.S. 
Munitions List of the International Traffic in Arms Regulations 
(ITAR) (22 CFR part 121).
    b. Optical sensors. None.

Cameras

    c. ``Software'' designed or modified for cameras incorporating 
``focal plane arrays'' specified by 6A002.a.3.f and designed or 
modified to remove a frame rate restriction and allow the camera to 
exceed the frame rate specified in 6A003.b.4 Note 3.a;

Optics

    d. ``Software'' specially designed to maintain the alignment and 
phasing of segmented mirror systems consisting of mirror segments 
having a diameter or major axis length equal to or larger than 1 m;
    e. Lasers. None.

Magnetic and Electric Field Sensors

    f. ``Software'' as follows:
    f.1. ``Software'' ``specially designed'' for magnetic and 
electric field ``compensation systems'' for magnetic sensors 
designed to operate on mobile platforms;
    f.2. ``Software'' ``specially designed'' for magnetic and 
electric field anomaly detection on mobile platforms;
    f.3. ``Software'' ``specially designed'' for ``real-time 
processing'' of electromagnetic data using underwater 
electromagnetic receivers specified by 6A006.e;
    f.4. ``Source code'' for ``real-time processing'' of 
electromagnetic data using underwater electromagnetic receivers 
specified by 6A006.e;

Gravimeters

    g. ``Software'' ``specially designed'' to correct motional 
influences of gravity meters or gravity gradiometers;

Radar

    h. ``Software'' as follows:
    h.1. Air Traffic Control (ATC) ``software'' application 
``programs'' designed to be hosted on general purpose computers 
located at Air Traffic Control centers and capable of accepting 
radar target data from more than four primary radars;
    h.2. ``Software'' for the design or ``production'' of radomes 
and having all of the following:
    h.2.a. ``Specially designed'' to protect the ``electronically 
steerable phased array antennae'' controlled by 6A008.e.; and
    h.2.b. Resulting in an antenna pattern having an `average side 
lobe level' more than 40 dB below the peak of the main beam level.


    Technical Note:  `Average side lobe level' in 6D003.h.2.b is 
measured over the entire array excluding the angular extent of the 
main beam and the first two side lobes on either side of the main 
beam.



0
47. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 6, ECCN 6E003 is revised to read as follows:

6E003 Other ``technology'' as follows (see List of Items 
Controlled).

License Requirements

Reason for Control: NS, AT

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 1
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: Yes

List of Items Controlled

Related Controls: See also 6E993
Related Definitions: N/A
Items:

Acoustics

    a. [Reserved]

Optical Sensors

    b. [Reserved]

Cameras

    c. [Reserved]

Optics

    d. ``Technology'' as follows:
    d.1. ``Technology'' ``required'' for the coating and treatment 
of optical surfaces to achieve an `optical thickness' uniformity of 
99.5% or better for optical coatings 500 mm or more in diameter or 
major axis length and with a total loss (absorption and scatter) of 
less than 5 x 10<SUP>-3</SUP>;
    N.B.: See also 2E003.f.


    Technical Note:  `Optical thickness' is the mathematical product 
of the index of refraction and the physical thickness of the 
coating.

    d.2. ``Technology'' for the fabrication of optics using single 
point diamond turning techniques to produce surface finish 
``accuracies'' of better than 10 nm rms on non-planar surfaces 
exceeding 0.5 m\2\;

Lasers

    e. ``Technology'' ``required'' for the ``development,'' 
``production'' or ``use'' of ``specially designed'' diagnostic 
instruments or targets in test facilities for ``SHPL'' testing or 
testing or evaluation of materials irradiated by ``SHPL'' beams;

Magnetic and Electric Field Sensors

    f. [Reserved]

Gravimeters

    g. [Reserved]

Radar

    h. [Reserved]



0
48. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 7, ECCN 7D003 is revised to read as follows:

7D003 Other ``software'' as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 1
MT applies to ``software'' for equipment    MT Column 1
 controlled for MT reasons. MT does not
 apply to ``software'' for equipment
 controlled by 7A008.
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License

[[Page 38812]]

Exceptions, and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

    CIV: N/A
    TSR: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
software in 7D003.a or .b to any of the destinations listed in 
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: See also 7D103 and 7D994.
Related Definitions: `Data-Based Referenced Navigation' (`DBRN') 
systems are systems which use various sources of previously measured 
geo-mapping data integrated to provide accurate navigation 
information under dynamic conditions. Data sources include 
bathymetric maps, stellar maps, gravity maps, magnetic maps or 3-D 
digital terrain maps.
Items:

    a. ``Software'' ``specially designed'' or modified to improve 
the operational performance or reduce the navigational error of 
systems to the levels controlled by 7A003, 7A004 or 7A008;
    b. ``Source code'' for hybrid integrated systems which improves 
the operational performance or reduces the navigational error of 
systems to the level controlled by 7A003 or 7A008 by continuously 
combining heading data with any of the following:
    b.1. Doppler radar or sonar velocity data;
    b.2. Global Navigation Satellite Systems (GNSS) reference data; 
or
    b.3. Data from `Data-Based Referenced Navigation' (`DBRN'') 
systems;
    c. [Reserved]
    d. [Reserved]
    N.B. For flight control ``source code,'' see 7D004.
    e. Computer-Aided-Design (CAD) ``software'' ``specially 
designed'' for the ``development'' of ``active flight control 
systems'', helicopter multi-axis fly-by-wire or fly-by-light 
controllers or helicopter ``circulation controlled anti-torque or 
circulation-controlled direction control systems'', whose 
``technology'' is controlled by 7E004.b.1, 7E004.b.3 to b.5, 
7E004.b.7 to b.8, 7E004.c.1 or 7E004.c.2.


0
49. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 7, ECCN 7D004 is revised to read as follows:

7D004 ``Source code'' incorporating ``development'' ``technology'' 
specified by 7E004.a.2, a.3, a.5, a.6 or 7E004.b, for any of the 
following: (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 1
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``software'' in 7D004.a to .d and .g to any of the destinations 
listed in Country Group A:6 (See Supplement No. 1 to part 740 of the 
EAR).

List of Items Controlled

Related Controls: See 7D103 and 7D994
Related Definitions: N/A
Items:

    a. Digital flight management systems for ``total control of 
flight'';
    b. Integrated propulsion and flight control systems;
    c. ``Fly-by-wire systems'' or ``fly-by-light systems``;
    d. Fault-tolerant or self-reconfiguring ``active flight control 
systems'';
    e. [Reserved];
    f. Air data systems based on surface static data; or
    g. Three dimensional displays.

    Note: 7D004 does not apply to ``source code'' associated with 
common computer elements and utilities (e.g., input signal 
acquisition, output signal transmission, computer program and data 
loading, built-in test, task scheduling mechanisms) not providing a 
specific flight control system function.



0
50. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 7, ECCN 7E001 is revised to read as follows:

7E001 ``Technology'' according to the General Technology Note for 
the ``development'' of equipment or ``software,'' specified by 7A. 
(except 7A994), 7B. (except 7B994), 7D001, 7D002, 7D003 or 7D005.

License Requirements

Reason for Control: NS, MT, RS, AT

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to ``technology'' for items      NS Column 1
 controlled by 7A001 to 7A004, 7A006,
 7A008, 7B001 to 7B003, 7D001 to 7D005.
MT applies to technology for equipment      MT Column 1
 controlled for MT reasons. MT does not
 apply to ``technology'' for equipment
 controlled by 7A008. MT does apply to
 ``technology'' for equipment specified in
 7A001, 7A002 or 7A003.d that meets or
 exceeds parameters of 7A101, 7A102 or
 7A103.
RS applies to ``technology'' for inertial   RS Column 1
 navigation systems or inertial equipment,
 and ``components'' therefor, for 9A991.b
 aircraft.
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit any 
technology in this entry to any of the destinations listed in 
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See also 7E101 and 7E994. (2) The 
``technology'' related to 7A003.b, 7A005, 7A103.b, 7A105, 7A106, 
7A115, 7A116, 7A117, 7B103, software in 7D101 specified in the 
Related Controls paragraph of ECCN 7D101, 7D102.a, or 7D103 is 
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items:

    The list of items controlled is contained in the ECCN heading.

    Note: 7E001 includes key management ``technology'' exclusively 
for equipment specified in 7A005.a.



0
51. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 7, ECCN 7E003 is revised to read as follows:

7E003 ``Technology'' according to the General Technology Note for 
the repair, refurbishing or overhaul of equipment controlled by 
7A001 to 7A004.

License Requirements

Reason for Control: NS, MT, AT

[[Page 38813]]



 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 1
MT applies to entire entry................  MT Column 1
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: N/A

List of Items Controlled

Related Controls: See also 7E994. This entry does not control 
``technology'' for maintenance directly associated with calibration, 
removal or replacement of damaged or unserviceable LRUs and SRAs of 
a ``civil aircraft'' as described in `Maintenance Level I' or 
`Maintenance Level II'.
Related Definition: Refer to the Related Definitions for 7B001 for 
`Maintenance Level I' or `Maintenance Level II'.
Items:

    The list of items controlled is contained in the ECCN heading.


0
52. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 7, ECCN 7E004 is revised to read as follows:

7E004 Other ``technology'' as follows (see List of Items 
Controlled).

License Requirements

Reason for Control: NS, MT, AT

 
                                              Country chart (See Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 1
MT applies to ``technology'' for equipment  MT Column 1
 or systems controlled for MT reasons.
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: N/A

Special Conditions for STA

STA: (1) Paragraph (c)(1) of License Exception STA (Sec.  
740.20(c)(1) of the EAR) may not be used for 7E004, except for 
7E004.a.7. (2) Paragraph (c)(2) of License Exception STA (Sec.  
740.20(c)(2) of the EAR) may not be used for 7E004, except for 
7E004.a.7.

List of Items Controlled

Related Controls: (1) See also 7E001, 7E002, 7E101, and 7E994. (2) 
In addition to the Related Controls in 7E001, 7E002, and 7E101 that 
include MT controls, also see the MT controls in 7E104 for design 
``technology'' for the integration of the flight control, guidance, 
and propulsion data into a flight management system, designed or 
modified for rockets or missiles capable of achieving a ``range'' 
equal to or greater than 300 km, for optimization of rocket system 
trajectory; and also see 9E101 for design ``technology'' for 
integration of air vehicle fuselage, propulsion system and lifting 
control surfaces, designed or modified for unmanned aerial vehicles 
capable of achieving a ``range'' equal to or greater than 300 km, to 
optimize aerodynamic performance throughout the flight regime of an 
unmanned aerial vehicle.
Related Definitions: ``Primary flight control'' means an 
``aircraft'' stability or maneuvering control using force/moment 
generators, i.e., aerodynamic control surfaces or propulsive thrust 
vectoring.
Items:

    a. ``Technology'' for the ``development'' or ``production'' of 
any of the following:
    a.1. [Reserved]
    a.2. Air data systems based on surface static data only, i.e., 
which dispense with conventional air data probes;
    a.3. Three dimensional displays for ``aircraft'';
    a.4. [Reserved]
    a.5. Electric actuators (i.e., electromechanical, 
electrohydrostatic and integrated actuator package) ``specially 
designed'' for ``primary flight control'';
    a.6. ``Flight control optical sensor array'' ``specially 
designed'' for implementing ``active flight control systems''; or
    a.7. ``DBRN'' systems designed to navigate underwater, using 
sonar or gravity databases, that provide a positioning ``accuracy'' 
equal to or less (better) than 0.4 nautical miles;
    b. ``Development'' ``technology'', as follows, for ``active 
flight control systems'' (including ``fly-by-wire systems'' or 
``fly-by-light systems''):
    b.1. Photonic-based ``technology'' for sensing ``aircraft'' or 
flight control component state, transferring flight control data, or 
commanding actuator movement, ``required'' for ``fly-by-light 
systems'' ``active flight control systems'';
    b.2. [Reserved]
    b.3. Real-time algorithms to analyze component sensor 
information to predict and preemptively mitigate impending 
degradation and failures of components within an ``active flight 
control system'';

    Note: 7E004.b.3 does not include algorithms for purpose of off-
line maintenance.

    b.4. Real-time algorithms to identify component failures and 
reconfigure force and moment controls to mitigate ``active flight 
control system'' degradations and failures;

    Note: 7E004.b.4 does not include algorithms for the elimination 
of fault effects through comparison of redundant data sources, or 
off-line pre-planned responses to anticipated failures.

    b.5. Integration of digital flight control, navigation and 
propulsion control data, into a digital flight management system for 
``total control of flight'';

    Note: 7E004.b.5 does not apply to:
    1. ``Technology'' for integration of digital flight control, 
navigation and propulsion control data, into a digital flight 
management system for ``flight path optimization'';
    2. ``Technology'' for ``aircraft'' flight instrument systems 
integrated solely for VOR, DME, ILS or MLS navigation or approaches.

    b.6. [Reserved]
    b.7. ``Technology'' ``required'' for deriving the functional 
requirements for ``fly-by-wire systems'' having all of the 
following:
    b.7.a. `Inner-loop' airframe stability controls requiring loop 
closure rates of 40 Hz or greater; and

    Technical Note: `Inner-loop' refers to functions of ``active 
flight control systems'' that automate airframe stability controls.

    b.7.b. Having any of the following:
    b.7.b.1. Corrects an aerodynamically unstable airframe, measured 
at any point in the design flight envelope, that would lose 
recoverable control if not corrected within 0.5 seconds;
    b.7.b.2. Couples controls in two or more axes while compensating 
for `abnormal changes in aircraft state';

    Technical Note: `Abnormal changes in aircraft state' include in-
flight structural damage, loss of engine thrust, disabled control 
surface, or destabilizing shifts in cargo load.

    b.7.b.3. Performs the functions specified in 7E004.b.5; or

    Note: 7E004.b.7.b.3 does not apply to autopilots.

    b.7.b.4. Enables ''aircraft'' to have stable controlled flight, 
other than during take-off or landing, at greater than 18 degrees 
angle of attack, 15 degrees side slip, 15 degrees/second pitch or 
yaw rate, or 90 degrees/second roll rate;
    b.8. ``Technology'' ``required'' for deriving the functional 
requirements of ``fly-by-wire systems'' to achieve all of the 
following:
    b.8.a. No loss of control of the ''aircraft'' in the event of a 
consecutive sequence of any two individual faults within the ``fly-
by-wire system''; and
    b.8.b. Probability of loss of control of the ''aircraft'' being 
less (better) than 1 x 10<SUP>-9</SUP> failures per flight hour;

    Note: 7E004.b does not apply to ``technology'' associated with 
common computer elements and utilities (e.g., input signal 
acquisition, output signal transmission, computer program and data 
loading, built-in test, task scheduling mechanisms) not providing a 
specific flight control system function.

    c. ``Technology'' for the ``development'' of helicopter systems, 
as follows:
    c.1. Multi-axis fly-by-wire or fly-by-light controllers, which 
combine the functions of at least two of the following into one 
controlling element:
    c.1.a. Collective controls;
    c.1.b. Cyclic controls;
    c.1.c. Yaw controls;
    c.2. ``Circulation-controlled anti-torque or circulation-
controlled direction control systems'';

[[Page 38814]]

    c.3. Rotor blades incorporating ``variable geometry airfoils'', 
for use in systems using individual blade control.


0
53. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 8, ECCN 8A002 is revised to read as follows:

8A002 Marine systems, equipment, ``parts'' and ``components,'' as 
follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1 to  part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $5000; N/A for 8A002.o.3.b
GBS: Yes for manipulators for civil end uses (e.g., underwater oil, 
gas or mining operations) controlled by 8A002.i.2 and having 5 
degrees of freedom of movement; and 8A002.r.
CIV: Yes for manipulators for civil end uses (e.g., underwater oil, 
gas or mining operations) controlled by 8A002.i.2 and having 5 
degrees of freedom of movement; and 8A002.r.

Special Conditions for STA

STA: License Exception STA may not be used to ship any commodity in 
8A002.b, h, j, o.3, or p to any of the destinations listed in 
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See also 8A992 and for underwater 
communications systems, see Category 5, Part I--Telecommunications. 
(2) See also 8A992 for self-contained underwater breathing apparatus 
that is not controlled by 8A002 or released for control by the 
8A002.q Note. (3) For electronic imaging systems ``specially 
designed'' or modified for underwater use incorporating image 
intensifier tubes specified by 6A002.a.2.a or 6A002.a.2.b, see 
6A003.b.3. (4) For electronic imaging systems ``specially designed'' 
or modified for underwater use incorporating ``focal plane arrays'' 
specified by 6A002.a.3.g, see 6A003.b.4.c. (5) Section 744.9 imposes 
a license requirement on commodities described in 8A002.d if being 
exported, reexported, or transferred (in-country) for use by a 
military end-user or for incorporation into an item controlled by 
ECCN 0A919.
Related Definitions: N/A
Items:

    a. Systems, equipment, ``parts'' and ``components,'' ``specially 
designed'' or modified for submersible vehicles and designed to 
operate at depths exceeding 1,000 m, as follows:
    a.1. Pressure housings or pressure hulls with a maximum inside 
chamber diameter exceeding 1.5 m;
    a.2. Direct current propulsion motors or thrusters;
    a.3. Umbilical cables, and connectors therefor, using optical 
fiber and having synthetic strength members;
    a.4. ``Parts'' and ``components'' manufactured from material 
specified by ECCN 8C001;

    Technical Note: The objective of 8A002.a.4 should not be 
defeated by the export of `syntactic foam' controlled by 8C001 when 
an intermediate stage of manufacture has been performed and it is 
not yet in its final component form.

    b. Systems ``specially designed'' or modified for the automated 
control of the motion of submersible vehicles controlled by 8A001, 
using navigation data, having closed loop servo-controls and having 
any of the following:
    b.1. Enabling a vehicle to move within 10 m of a predetermined 
point in the water column;
    b.2. Maintaining the position of the vehicle within 10 m of a 
predetermined point in the water column; or
    b.3. Maintaining the position of the vehicle within 10 m while 
following a cable on or under the seabed;
    c. Fiber optic pressure hull penetrators;
    d. Underwater vision systems ``specially designed'' or modified 
for remote operation with an underwater vehicle, employing 
techniques to minimize the effects of back scatter and including 
range-gated illuminators or ``laser'' systems;
    e. [Reserved]
    f. [Reserved]
    g. Light systems ``specially designed'' or modified for 
underwater use, as follows:
    g.1. Stroboscopic light systems capable of a light output energy 
of more than 300 J per flash and a flash rate of more than 5 flashes 
per second;
    g.2. Argon arc light systems ``specially designed'' for use 
below 1,000 m;
    h. ``Robots'' ``specially designed'' for underwater use, 
controlled by using a dedicated computer and having any of the 
following:
    h.1. Systems that control the ``robot'' using information from 
sensors which measure force or torque applied to an external object, 
distance to an external object, or tactile sense between the 
``robot'' and an external object; or
    h.2. The ability to exert a force of 250 N or more or a torque 
of 250 Nm or more and using titanium based alloys or ``composite'' 
``fibrous or filamentary materials'' in their structural members;
    i. Remotely controlled articulated manipulators ``specially 
designed'' or modified for use with submersible vehicles and having 
any of the following:
    i.1. Systems which control the manipulator using information 
from sensors which measure any of the following:
    i.1.a. Torque or force applied to an external object; or
    i.1.b. Tactile sense between the manipulator and an external 
object; or
    i.2. Controlled by proportional master-slave techniques and 
having 5 degrees of `freedom of movement' or more;

    Technical Note: Only functions having proportionally related 
motion control using positional feedback are counted when 
determining the number of degrees of `freedom of movement'.

    j. Air independent power systems ``specially designed'' for 
underwater use, as follows:
    j.1. Brayton or Rankine cycle engine air independent power 
systems having any of the following:
    j.1.a. Chemical scrubber or absorber systems, ``specially 
designed'' to remove carbon dioxide, carbon monoxide and 
particulates from recirculated engine exhaust;
    j.1.b. Systems ``specially designed'' to use a monoatomic gas;
    j.1.c. Devices or enclosures, ``specially designed'' for 
underwater noise reduction in frequencies below 10 kHz, or special 
mounting devices for shock mitigation; or
    j.1.d. Systems having all of the following:
    j.1.d.1. ``Specially designed'' to pressurize the products of 
reaction or for fuel reformation;
    j.1.d.2. ``Specially designed'' to store the products of the 
reaction; and
    j.1.d.3. ``Specially designed'' to discharge the products of the 
reaction against a pressure of 100 kPa or more;
    j.2. Diesel cycle engine air independent systems having all of 
the following:
    j.2.a. Chemical scrubber or absorber systems, ``specially 
designed'' to remove carbon dioxide, carbon monoxide and 
particulates from recirculated engine exhaust;
    j.2.b. Systems ``specially designed'' to use a monoatomic gas;
    j.2.c. Devices or enclosures, ``specially designed'' for 
underwater noise reduction in frequencies below 10 kHz, or special 
mounting devices for shock mitigation; and
    j.2.d. ``Specially designed'' exhaust systems that do not 
exhaust continuously the products of combustion;
    j.3. ``Fuel cell'' air independent power systems with an output 
exceeding 2 kW and having any of the following:
    j.3.a. Devices or enclosures, ``specially designed'' for 
underwater noise reduction in frequencies below 10 kHz, or special 
mounting devices for shock mitigation; or
    j.3.b. Systems having all of the following:
    j.3.b.1. ``Specially designed'' to pressurize the products of 
reaction or for fuel reformation;
    j.3.b.2. ``Specially designed'' to store the products of the 
reaction; and
    j.3.b.3. ``Specially designed'' to discharge the products of the 
reaction against a pressure of 100 kPa or more;
    j.4. Stirling cycle engine air independent power systems having 
all of the following:
    j.4.a. Devices or enclosures, ``specially designed'' for 
underwater noise reduction in frequencies below 10 kHz, or special 
mounting devices for shock mitigation; and

[[Page 38815]]

    j.4.b. ``Specially designed'' exhaust systems which discharge 
the products of combustion against a pressure of 100 kPa or more;
    k. through n. [Reserved]
    o. Propellers, power transmission systems, power generation 
systems and noise reduction systems, as follows:
    o.1. [Reserved]
    o.2. Water-screw propeller, power generation systems or 
transmission systems, designed for use on vessels, as follows:
    o.2.a. Controllable-pitch propellers and hub assemblies, rated 
at more than 30 MW;
    o.2.b. Internally liquid-cooled electric propulsion engines with 
a power output exceeding 2.5 MW;
    o.2.c. ``Superconductive'' propulsion engines or permanent 
magnet electric propulsion engines, with a power output exceeding 
0.1 MW;
    o.2.d. Power transmission shaft systems incorporating 
``composite'' material ``parts'' or ``components'' and capable of 
transmitting more than 2 MW;
    o.2.e. Ventilated or base-ventilated propeller systems, rated at 
more than 2.5 MW;
    o.3. Noise reduction systems designed for use on vessels of 
1,000 tonnes displacement or more, as follows:
    o.3.a. Systems that attenuate underwater noise at frequencies 
below 500 Hz and consist of compound acoustic mounts for the 
acoustic isolation of diesel engines, diesel generator sets, gas 
turbines, gas turbine generator sets, propulsion motors or 
propulsion reduction gears, ``specially designed'' for sound or 
vibration isolation and having an intermediate mass exceeding 30% of 
the equipment to be mounted;
    o.3.b. `Active noise reduction or cancellation systems' or 
magnetic bearings, ``specially designed'' for power transmission 
systems;

    Technical Note: `Active noise reduction or cancellation systems' 
incorporate electronic control systems capable of actively reducing 
equipment vibration by the generation of anti-noise or anti-
vibration signals directly to the source.

    p. Pumpjet propulsion systems having all of the following:
    p.1. Power output exceeding 2.5 MW; and
    p.2. Using divergent nozzle and flow conditioning vane 
techniques to improve propulsive efficiency or reduce propulsion-
generated underwater-radiated noise;
    q. Underwater swimming and diving equipment as follows;
    q.1. Closed circuit rebreathers;
    q.2. Semi-closed circuit rebreathers;

    Note: 8A002.q does not control individual rebreathers for 
personal use when accompanying their users.

    N.B. For equipment and devices ``specially designed'' for 
military use see ECCN 8A620.f.
    r. Diver deterrent acoustic systems ``specially designed'' or 
modified to disrupt divers and having a sound pressure level equal 
to or exceeding 190 dB (reference 1 [micro]Pa at 1 m) at frequencies 
of 200 Hz and below.

    Note 1: 8A002.r does not apply to diver deterrent systems based 
on under-water-explosive devices, air guns or combustible sources.

    Note 2: 8A002.r includes diver deterrent acoustic systems that 
use spark gap sources, also known as plasma sound sources.


0
54. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 8, ECCN 8C001 is revised to read as follows:

8C001 `Syntactic foam' designed for underwater use and having all of 
the following (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                              Country Chart (see Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (see Part 740 for a Description of All 
License Exceptions)

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: See also 8A002.a.4.
Related Definition: `Syntactic foam' consists of hollow spheres of 
plastic or glass embedded in a resin ``matrix.''
Items:

    a. Designed for marine depths exceeding 1,000 m; and
    b. A density less than 561 kg/m\3\.


0
55. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 9, ECCN 9A001 is revised to read as follows:

9A001 Aero gas turbine engines having any of the following (see List 
of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

 
                                            Country Chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1
MT applies to only to those engines that    MT Column 1
 meet the characteristics listed in 9A101.
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: See also 9A101 and 9A991
Related Definitions: N/A
Items:

    a. Incorporating any of the ``technologies'' controlled by 
9E003.a, 9E003.h, or 9E003.i; or

    Note 1:  9A001.a. does not control aero gas turbine engines 
which meet all of the following:
    a. Certified by the civil aviation authority in a country listed 
in Supplement No. 1 to Part 743; and
    b. Intended to power non-military manned ``aircraft'' for which 
any of the following has been issued by a Wassenaar Arrangement 
Participating State listed in Supplement No. 1 to Part 743 for the 
``aircraft'' with this specific engine type:
    b.1. A civil type certificate; or
    b.2. An equivalent document recognized by the International 
Civil Aviation Organization (ICAO).


    Note 2:  9A001.a does not apply to aero gas turbine engines for 
Auxiliary Power Units (APUs) approved by the civil aviation 
authority in a Wassenaar Arrangement Participating State (see 
Supplement No. 1 to part 743 of the EAR).

    b. Designed to power an ``aircraft'' designed to cruise at Mach 
1 or higher, for more than 30 minutes.


0
56. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 9, ECCN 9A004 is revised to read as follows:

9A004 Space launch vehicles and ``spacecraft,'' ``spacecraft 
buses,'' ``spacecraft payloads,'' ``spacecraft'' on-board systems or 
equipment, and terrestrial equipment, as follows (see List of Items 
Controlled).

License Requirements

Reason for Control: NS and AT

 
                                              Country chart (see Supp.
                Control(s)                        No.1 to part 738)
 
NS applies to 9A004.u, .v, .w and .x......  NS Column 1
AT applies to 9A004.u, .v, .w, .x and .y..  AT Column 1
 

    License Requirements Note: 9A004.b through .f are controlled 
under ECCN 9A515.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: (1) See also 9A104, 9A515, and 9B515. (2) See 
ECCNs 9E001 (``development'') and 9E002 (``production'') for 
technology for items controlled by this entry. (3) See USML 
Categories IV for the space launch vehicles and XV for other 
spacecraft that are ``subject to the ITAR'' (see 22 CFR parts 120 
through 130).
Related Definition: N/A
Items:

    a. Space launch vehicles;
    b. ``Spacecraft'';
    c. ``Spacecraft buses'';
    d. ``Spacecraft payloads'' incorporating items specified by 
3A001.b.1.a.4, 3A002.g, 5A001.a.1, 5A001.b.3, 5A002.c, 5A002.e,

[[Page 38816]]

6A002.a.1, 6A002.a.2, 6A002.b, 6A002.d, 6A003.b, 6A004.c, 6A004.e, 
6A008.d, 6A008.e, 6A008.k, 6A008.l or 9A010.c;
    e. On-board systems or equipment, specially designed for 
``spacecraft'' and having any of the following functions:
    e.1. `Command and telemetry data handling';

    Note: For the purpose of 9A004.e.1, `command and telemetry data 
handling' includes bus data management, storage, and processing.

    e.2. `Payload data handling'; or

    Note: For the purpose of 9A004.e.2, `payload data handling' 
includes payload data management, storage, and processing.

    e.3. `Attitude and orbit control';

    Note: For the purpose of 9A004.e.3, `attitude and orbit control' 
includes sensing and actuation to determine and control the position 
and orientation of a ``spacecraft''.

    N.B.: Equipment specially designed for military use is ``subject 
to the ITAR''. See 22 CFR parts 120 through 130.
    f. Terrestrial equipment specially designed for ``spacecraft,'' 
as follows:
    f.1. Telemetry and telecommand equipment;
    f.2. Simulators.
    g. through t. [Reserved]
    u. The James Webb Space Telescope (JWST) being developed, 
launched, and operated under the supervision of the U.S. National 
Aeronautics and Space Administration (NASA).
    v. ``Parts,'' ``components,'' ``accessories'' and 
``attachments'' that are ``specially designed'' for the James Webb 
Space Telescope and that are not:
    v.1. Enumerated or controlled in the USML;
    v.2. Microelectronic circuits;
    v.3. Described in ECCNs 7A004 or 7A104; or
    v.4. Described in an ECCN containing ``space-qualified'' as a 
control criterion (See ECCN 9A515.x.4).
    w. The International Space Station being developed, launched, 
and operated under the supervision of the U.S. National Aeronautics 
and Space Administration.
    x. ``Parts,'' ``components,'' ``accessories'' and 
``attachments'' that are ``specially designed'' for the 
International Space Station.
    y. Items that would otherwise be within the scope of ECCN 
9A004.v or .x but that have been identified in an interagency-
cleared commodity classification (CCATS) pursuant to Sec.  748.3(e) 
as warranting control in 9A004.y.


0
57. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 9, ECCN 9A515 is revised to read as follows:

9A515 ``Spacecraft'' and related commodities, as follows (see List 
of Items Controlled).

License Requirements

Reason for Control: NS, RS, MT, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry, except .e and   NS Column 1
 .y.
RS applies to entire entry, except .e and   RS Column 1
 .y.
RS applies to 9A515.e.....................  RS Column 2
MT applies to microcircuits in 9A515.d and  MT Column 1
 9A515.e.2 when ``usable in'' ``missiles''
 for protecting ``missiles'' against
 nuclear effects (e.g. Electromagnetic
 Pulse (EMP), X-rays, combined blast and
 thermal effects).
AT applies to entire entry................  AT Column 1
 

    License Requirement Note: The Commerce Country Chart is not used 
for determining license requirements for commodities classified in 
ECCN 9A515.a.1, .a.2., .a.3., .a.4, and .g. See Sec.  742.6(a)(8), 
which specifies that such commodities are subject to a worldwide 
license requirement.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $1500
GBS: N/A
CIV: N/A

Special Conditions for STA

STA: (1) Paragraph (c)(1) of License Exception STA (Sec.  
740.20(c)(1) of the EAR) may not be used for ``spacecraft'' in ECCN 
9A515.a.1, .a.2, .a.3, or .a.4, or items in 9A515.g, unless 
determined by BIS to be eligible for License Exception STA in 
accordance with Sec.  740.20(g) (License Exception STA eligibility 
requests for certain 9x515 and ``600 series'' items). (2) License 
Exception STA may not be used if the ``spacecraft'' controlled in 
ECCN 9A515.a.1, .a.2, .a.3, or .a.4 contains a separable or 
removable propulsion system enumerated in USML Category IV(d)(2) or 
USML Category XV(e)(12) and designated MT. (3) Paragraph (c)(2) of 
License Exception STA (Sec.  740.20(c)(2) of the EAR) may not be 
used for any item in 9A515.

List of Items Controlled

Related Controls: Spacecraft, launch vehicles and related articles 
that are enumerated in the USML, and technical data (including 
``software'') directly related thereto, and all services (including 
training) directly related to the integration of any satellite or 
spacecraft to a launch vehicle, including both planning and onsite 
support, or furnishing any assistance (including training) in the 
launch failure analysis or investigation for items in ECCN 9A515.a, 
are ``subject to the ITAR.'' All other ``spacecraft,'' as enumerated 
below and defined in Sec.  772.1, are subject to the controls of 
this ECCN. See also ECCNs 3A001, 3A002, 3A991, 3A992, 6A002, 6A004, 
6A008, and 6A998 for specific ``space-qualified'' items, 7A004 and 
7A104 for star trackers, and 9A004 for the International Space 
Station (ISS), the James Webb Space Telescope (JWST), and 
``specially designed'' ``parts'' and ``components'' therefor. See 
USML Category XI(c) for controls on ``Monolithic Microwave 
Integrated Circuit'' (``MMIC'') amplifiers that are ``specially 
designed'' for defense articles. See ECCN 9A610.g for pressure suits 
used for high altitude aircraft.
Related Definitions: `Microcircuit' means a device in which a number 
of passive or active elements are considered as indivisibly 
associated on or within a continuous structure to perform the 
function of a circuit.
Items:

    ``Spacecraft'' and other items described in ECCN 9A515 remain 
subject to the EAR even if exported, reexported, or transferred (in-
country) with defense articles ``subject to the ITAR'' integrated 
into and included therein as integral parts of the item. In all 
other cases, such defense articles are subject to the ITAR. For 
example, a 9A515.a ``spacecraft'' remains ``subject to the EAR'' 
even when it is exported, reexported, or transferred (in-country) 
with a ``hosted payload'' described in USML Category XV(e)(17) 
incorporated therein. In all other cases, a ``hosted payload'' 
performing a function described in USML Category XV(a) always 
remains a USML item. The removal of the defense article subject to 
the ITAR from the spacecraft is a retransfer under the ITAR and 
would require an ITAR authorization, regardless of the CCL 
authorization the spacecraft is exported under. Additionally, 
transfer of technical data regarding the defense article subject to 
the ITAR integrated into the spacecraft would require an ITAR 
authorization.
    a. ``Spacecraft,'' including satellites, and space vehicles, 
whether designated developmental, experimental, research or 
scientific, not enumerated in USML Category XV or described in ECCN 
9A004.u or .w, that:
    a.1. Have electro-optical remote sensing capabilities and having 
a clear aperture greater than 0.35 meters, but less than or equal to 
0.50 meters;
    a.2. Have remote sensing capabilities beyond NIR (i.e., SWIR, 
MWIR, or LWIR);
    a.3. Have radar remote sensing capabilities (e.g., AESA, SAR, or 
ISAR) having a center frequency equal to or greater than 1.0 GHz, 
but less than 10.0 GHz and having a bandwidth equal to or greater 
than 100 MHz, but less than 300 MHz;
    a.4. Provide space-based logistics, assembly, or servicing of 
another ``spacecraft''; or
    a.5. Are not described in ECCN 9A515.a.1, .a.2, .a.3 or .a.4.

    Note:  ECCN 9A515.a includes commercial communications 
satellites, remote sensing satellites, planetary rovers, planetary 
and interplanetary probes, and in-space habitats, not identified in 
ECCN 9A004 or USML Category XV(a).

    b. Ground control systems and training simulators ``specially 
designed'' for telemetry, tracking, and control of the 
``spacecraft'' controlled in paragraphs 9A004.u or 9A515.a.
    c. [Reserved]

[[Page 38817]]

    d. Microelectronic circuits (e.g., integrated circuits, 
microcircuits, or MOSFETs) and discrete electronic components rated, 
certified, or otherwise specified or described as meeting or 
exceeding all the following characteristics and that are ``specially 
designed'' for defense articles, ``600 series'' items, or items 
controlled by ECCNs 9A004.v or 9A515:
    d.1. A total dose of 5 x 10\5\ Rads (Si) (5 x 10\3\ Gy (Si));
    d.2. A dose rate upset threshold of 5 x 10\8\ Rads (Si)/sec (5 x 
10\6\ Gy (Si)/sec);
    d.3. A neutron dose of 1 x 10\14\ n/cm\2\ (1 MeV equivalent);
    d.4. An uncorrected single event upset sensitivity of 1 x 
10<SUP>-10</SUP> errors/bit/day or less, for the CR[Egrave]ME-MC 
geosynchronous orbit, Solar Minimum Environment for heavy ion flux; 
and
    d.5. An uncorrected single event upset sensitivity of 1 x 
10<SUP>-3</SUP> errors/part or less for a fluence of 1 x 10\7\ 
protons/cm\2\ for proton energy greater than 50 MeV.
    e. Microelectronic circuits (e.g., integrated circuits, 
microcircuits, or MOSFETs) and discrete electronic components that 
are rated, certified, or otherwise specified or described as meeting 
or exceeding the characteristics in either paragraph e.1 or e.2, AND 
``specially designed'' for defense articles controlled by USML 
Category XV or items controlled by ECCNs 9A004.u or 9A515:
    e.1. A total dose >=1 x 10\5\ Rads (Si) (1 x 10\3\ Gy(Si)) and 
<5 x 10\5\ Rads (Si) (5 x 10\3\ Gy(Si)); and a single event effect 
(SEE) (i.e., single event latchup (SEL), single event burnout (SEB), 
or single event gate rupture (SEGR)) immunity to a linear energy 
transfer (LET) >=80 MeV-cm2/mg; or
    e.2. A total dose >=5 x 10\5\ Rads (Si) (5 x 10\3\ Gy (Si)) and 
not described in 9A515.d.

    Note 1 to 9A515.d and .e: Application specific integrated 
circuits (ASICs), integrated circuits developed and produced for a 
specific application or function, specifically designed or modified 
for defense articles and not in normal commercial use are controlled 
by Category XI(c) of the USML regardless of characteristics.

    Note 2 to 9A515.d and .e: See 3A001.a for controls on radiation-
hardened microelectronic circuits ``subject to the EAR'' that are 
not controlled by 9A515.d or 9A515.e.

    f. Pressure suits (i.e., space suits) capable of operating at 
altitudes 55,000 feet above sea level.
    g. Remote sensing components ``specially designed'' for 
``spacecraft'' described in ECCNs 9A515.a.1 through 9A515.a.4 as 
follows:
    g.1. Space-qualified optics (i.e., lens, mirror, membrane having 
active properties (e.g., adaptive, deformable)) with the largest 
lateral clear aperture dimension equal to or less than 0.35 meters; 
or with the largest clear aperture dimension greater than 0.35 
meters but less than or equal to 0.50 meters;
    g.2. Optical bench assemblies ``specially designed'' for ECCN 
9A515.a.1, 9A515.a.2, 9A515.a.3, or 9A515.a.4 ``spacecraft;'' or
    g.3. Primary, secondary, or hosted payloads that perform a 
function of ECCN 9A515.a.1, 9A515.a.2, 9A515.a.3, or 9A515.a.4 
``spacecraft.''
    h. through w. [Reserved]
    x. ``Parts,'' ``components,'' ``accessories'' and 
``attachments'' that are ``specially designed'' for defense articles 
controlled by USML Category XV or items controlled by 9A515, and 
that are NOT:
    x.1. Enumerated or controlled in the USML or elsewhere within 
ECCNs 9A515 or 9A004;
    x.2. Microelectronic circuits and discrete electronic 
components;
    x.3. Described in ECCNs 7A004 or 7A104;
    x.4. Described in an ECCN containing ``space-qualified'' as a 
control criterion (i.e., 3A001.b.1, 3A001.e.4, 3A002.g.1, 3A991.o, 
3A992.b.3, 6A002.a.1, 6A002.b.2, 6A002.d.1, 6A004.c and .d, 
6A008.j.1, 6A998.b, or 7A003.d.2);
    x.5. Microwave solid state amplifiers and microwave assemblies 
(refer to ECCN 3A001.b.4 for controls on these items);
    x.6. Travelling wave tube amplifiers (refer to ECCN 3A001.b.8 
for controls on these items); or
    x.7. Elsewhere specified in ECCN 9A515.y.

    Note to 9A515.x: ``Parts,'' ``components,'' ``accessories,'' and 
``attachments'' specified in USML subcategory XV(e) or enumerated in 
other USML categories are subject to the controls of that paragraph 
or category.

    y. Items that would otherwise be within the scope of ECCN 
9A515.x but that have been identified in an interagency-cleared 
commodity classification (CCATS) pursuant to Sec.  748.3(e) as 
warranting control in 9A515.y.
    y.1. Discrete electronic components not specified in 9A515.e; 
and
    y.2. Space grade or for spacecraft applications thermistors;
    y.3. Space grade or for spacecraft applications RF microwave 
bandpass ceramic filters (Dielectric Resonator Bandpass Filters);
    y.4. Space grade or for spacecraft applications hall effect 
sensors;
    y.5. Space grade or for spacecraft applications subminiature 
(SMA and SMP) plugs and connectors, TNC plugs and cable and 
connector assemblies with SMA plugs and connectors; and
    y.6. Space grade or for spacecraft applications flight cable 
assemblies.


0
58. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 9, ECCN 9B002 is revised to read as follows:

9B002 On-line (real time) control systems, instrumentation 
(including sensors) or automated data acquisition and processing 
equipment, having all of the following (see List of Items 
Controlled).

License Requirements

Reason for Control: NS, MT, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1
MT applies to equipment for engines         MT Column 1
 controlled under 9A001 for MT reasons and
 for engines controlled under 9A101.
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $3,000, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

    a. ``Specially designed'' for the ``development'' of gas turbine 
engines, assemblies, ``parts'' or ``components''; and
    b. Incorporating any of the ``technologies'' controlled by 
9E003.h or 9E003.i.


0
59. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 9, ECCN 9B009 is revised to read as follows:

9B009 Tooling ``specially designed'' for producing gas turbine 
engine powder metallurgy rotor ``parts'' or ``components'' having 
all of the following (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1 to  part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

LVS: $5,000
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: See 9B002.
Related Definitions: N/A
Items:

    a. Designed to operate at stress levels of 60% of Ultimate 
Tensile Strength (UTS) or more measured at a temperature of 873 K 
(600 [deg]C); and
    b. Designed to operate at a temperature of 873 K (600 [deg]C) or 
more.

    Note: 9B009 does not specify tooling for the production of 
powder.


0
60. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 9, ECCN 9E003 is revised to read as follows:


[[Page 38818]]


9E003 Other ``technology'' as follows (see List of Items 
Controlled).

License Requirements

Reason for Control: NS, SI, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1 to  part 738)
 
NS applies to entire entry................  NS Column 1
SI applies to 9E003.a.1 through a.8, .h,    See Sec.   742.14 of the EAR
 .i, and .k.                                 for additional information
AT applies to entire entry................  AT Column 1
 

Reporting Requirements

See Sec.  743.1 of the EAR for reporting requirements for exports 
under License Exceptions, and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

CIV: N/A
TSR: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit any 
technology in 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 9E003.h to 
any of the destinations listed in Country Group A:6 (See Supplement 
No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) Hot section ``technology'' specifically 
designed, modified, or equipped for military uses or purposes, or 
developed principally with U.S. Department of Defense funding, is 
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) 
``Technology'' is subject to the EAR when actually applied to a 
commercial ``aircraft'' engine program. Exporters may seek to 
establish commercial application either on a case-by-case basis 
through submission of documentation demonstrating application to a 
commercial program in requesting an export license from the 
Department Commerce in respect to a specific export, or in the case 
of use for broad categories of ``aircraft,'' engines, ``parts'' or 
``components,'' a commodity jurisdiction determination from the 
Department of State.
Related Definitions: N/A
Items:

    a. ``Technology'' ``required'' for the ``development'' or 
``production'' of any of the following gas turbine engine ``parts,'' 
``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 stress-rupture life 
exceeding 400 hours at 1,273 K (1,000 [deg]C) at a stress of 200 
MPa, based on the average property values;

    Technical Note: For the purposes of 9E003.a.1, stress-rupture 
life testing is typically conducted on a test specimen.

    a.2. Combustors having any of the following:
    a.2.a. `Thermally decoupled liners' designed to operate at 
`combustor exit temperature' exceeding 1,883K (1,610 [deg]C);
    a.2.b. Non-metallic liners;
    a.2.c. Non-metallic shells; or
    a.2. d. Liners designed to operate at `combustor exit 
temperature' exceeding 1,883K (1,610 [deg]C) and having holes that 
meet the parameters specified by 9E003.c;

    Note: The ``required'' ``technology'' for holes in 9E003.a.2 is 
limited to the derivation of the geometry and location of the holes.

    Technical Notes: 
    1. `Thermally decoupled liners' are liners that feature at least 
a support structure designed to carry mechanical loads and a 
combustion facing structure designed to protect the support 
structure from the heat of combustion. The combustion facing 
structure and support structure have independent thermal 
displacement (mechanical displacement due to thermal load) with 
respect to one another, i.e. they are thermally decoupled.
    2. `Combustor exit temperature' is the bulk average gas path 
total (stagnation) temperature between the combustor exit plane and 
the leading edge of the turbine inlet guide vane (i.e., measured at 
engine station T40 as defined in SAE ARP 755A) when the engine is 
running in a `steady state mode' of operation at the certificated 
maximum continuous operating temperature.

    N.B.: See 9E003.c for ``technology'' ``required'' for 
manufacturing cooling holes.
    a.3. ``Parts'' or ``components,'' that are any of the following:
    a.3.a. Manufactured from organic ``composite'' materials 
designed to operate above 588 K (315 [deg]C);
    a.3.b. Manufactured from any of the following:
    a.3.b.1. Metal ``matrix'' ``composites'' reinforced by any of 
the following:
    a.3.b.1.a. Materials controlled by 1C007;
    a.3.b.1.b. ``Fibrous or filamentary materials'' specified by 
1C010; or
    a.3.b.1.c. Aluminides specified by 1C002.a; or
    a.3.b.2. Ceramic ``matrix'' ``composites'' specified by 1C007; 
or
    a.3.c. Stators, vanes, blades, tip seals (shrouds), rotating 
blings, rotating blisks or `splitter ducts', that are all of the 
following:
    a.3.c.1. Not specified in 9E003.a.3.a;
    a.3.c.2. Designed for compressors or fans; and
    a.3.c.3. Manufactured from material controlled by 1C010.e with 
resins controlled by 1C008;

    Technical Note: A `splitter duct' performs the initial 
separation of the air-mass flow between the bypass and core sections 
of the engine.

    a.4. Uncooled turbine blades, vanes or ``tip shrouds'' designed 
to operate at a `gas path temperature' of 1,373 K (1,100 [deg]C) or 
more;
    a.5. Cooled turbine blades, vanes or ``tip-shrouds'', other than 
those described in 9E003.a.1, designed to operate at a `gas path 
temperature' of 1,693 K (1,420 [deg]C) or more;

    Technical Notes: 
    1. `Gas path temperature' is the bulk average gas path total 
(stagnation) temperature at the leading edge plane of the turbine 
component when the engine is running in a `steady state mode' of 
operation at the certificated or specified maximum continuous 
operating temperature.
    2. 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 ``parts'' or ``components'' using 
``diffusion bonding'' ``technology'' controlled by 2E003.b;
    a.8. `Damage tolerant' gas turbine engine rotor ``parts'' or 
``components'' using powder metallurgy materials controlled by 
1C002.b; or

    Technical Note: `Damage tolerant' ``parts'' and ``components'' 
are designed using methodology and substantiation to predict and 
limit crack growth.

    a.9. [Reserved]
    N.B.: For ``FADEC systems'', see 9E003.h.
    a.10. [Reserved]
    N.B.: For adjustable flow path geometry, see 9E003.i.
    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 manufacturing cooling holes, 
in gas turbine engine ``parts'' or ``components'' incorporating any 
of the ``technologies'' specified by 9E003.a.1, 9E003.a.2 or 
9E003.a.5, and having any of the following:
    c.1. Having all of the following:
    c.1.a. Minimum `cross-sectional area' less than 0.45 mm\2\;
    c.1.b. `Hole shape ratio' greater than 4.52; and
    c.1.c. `Incidence angle' equal to or less than 25[deg]; or
    c.2. Having all of the following:
    c.2.a. Minimum `cross-sectional area' less than 0.12 mm\2\;
    c.2.b. `Hole shape ratio' greater than 5.65; and
    c.2.c. `Incidence angle' more than 25[deg];

    Note: 9E003.c does not apply to ``technology'' for manufacturing 
constant radius cylindrical holes that are straight through and 
enter and exit on the external surfaces of the component.

    Technical Notes: 
    1. For the purposes of 9E003.c, the `cross-sectional area' is 
the area of the hole in the plane perpendicular to the hole axis.
    2. For the purposes of 9E003.c, `hole shape ratio' is the 
nominal length of the axis of the hole divided by the square root of 
its minimum `cross-sectional area'.

[[Page 38819]]

    3. For the purposes of 9E003.c, `incidence angle' is the acute 
angle measured between the plane tangential to the airfoil surface 
and the hole axis at the point where the hole axis enters the 
airfoil surface.
    4. Techniques for manufacturing holes in 9E003.c include 
``laser'', water jet, Electro-Chemical Machining (ECM) or Electrical 
Discharge Machining (EDM) methods.

    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 m\3\ 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/m\3\ 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 center-line 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'' ``parts'' or ``components'' for high output 
diesel engines, as follows:
    f.1. ``Technology'' ``required'' for the ``production'' of 
engine systems having all of the following ``parts'' and 
``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 ``part'' or ``component'' (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 [deg]C)) down to gasoline fuel 
(0.5 cSt at 310.8 K (37.8 [deg]C)) and having all of the following:
    f.3.a. Injection amount in excess of 230 mm\3\ 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 
[deg]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'' for gas turbine engine ``FADEC systems'' as 
follows:
    h.1. ``Development'' ``technology'' for deriving the functional 
requirements for the ``parts'' or ``components'' necessary for the 
``FADEC system'' to regulate engine thrust or shaft power (e.g., 
feedback sensor time constants and accuracies, fuel valve slew 
rate);
    h.2. ``Development'' or ``production'' ``technology'' for 
control and diagnostic ``parts'' or ``components'' unique to the 
``FADEC system'' and used to regulate engine thrust or shaft power;
    h.3. ``Development'' ``technology'' for the control law 
algorithms, including ``source code'', unique to the ``FADEC 
system'' and used to regulate engine thrust or shaft power;

    Note: 9E003.h does not apply to technical data related to 
engine-``aircraft'' integration required by civil aviation 
authorities of one or more Wassenaar Arrangement Participating 
States (See Supplement No. 1 to part 743 of the EAR) to be published 
for general airline use (e.g., installation manuals, operating 
instructions, instructions for continued airworthiness) or interface 
functions (e.g., input/output processing, airframe thrust or shaft 
power demand).

    i. ``Technology'' for adjustable flow path systems designed to 
maintain engine stability for gas generator turbines, fan or power 
turbines, or propelling nozzles, as follows:
    i.1. ``Development'' ``technology'' for deriving the functional 
requirements for the ``parts'' or ``components'' that maintain 
engine stability;
    i.2. ``Development'' or ``production'' ``technology'' for 
``parts'' or ``components'' unique to the adjustable flow path 
system and that maintain engine stability;
    i.3. ``Development'' ``technology'' for the control law 
algorithms, including ``source code'', unique to the adjustable flow 
path system and that maintain engine stability;

    Note: 9E003.i does not apply to ``technology'' for any of the 
following:
    a. Inlet guide vanes;
    b. Variable pitch fans or prop-fans;
    c. Variable compressor vanes;
    d. Compressor bleed valves; or
    e. Adjustable flow path geometry for reverse thrust.

    j. ``Technology'' ``required'' for the ``development'' of wing-
folding systems designed for fixed-wing ``aircraft'' powered by gas 
turbine engines.
    N.B.: For ``technology'' ``required'' for the ``development'' of 
wing-folding systems designed for fixed-wing ``aircraft'' specified 
in USML Category VIII (a), see USML Category VIII (i).
    k. ``Technology'' not otherwise controlled in 9E003.a.1 through 
a.8, a.10, and .h and used in the ``development'', ``production'', 
or overhaul of hot section ``parts'' or ``components'' of civil 
derivatives of military engines controlled on the U.S. Munitions 
List.

Supplement No. 6 to Part 774 [Amended]

0
61. Supplement No. 6 to part 774 ``Sensitive List'' is amended by:
0
a. Removing the reference to ``and .d'' in paragraph (1)(iii) and 
``1C007.d'' in paragraphs (1)(vi) and (1)(vii);
0
b. Removing the phrase ``exceeding 12.5'' and adding in its place 
``exceeding 16'' in paragraphs (4)(ii) and (4)(iii);
0
c. Removing the term ``user accessible programmability'' and adding in 
its place ``user-accessible programmability'' in paragraphs (6)(v) and 
(6)(viii);
0
d. Adding double quotes around the term ``Magnetic gradiometers'' in 
paragraph (6)(xxiv)(C);
0
e. Adding double quotes around the word ``magnetometers'' in paragraph 
(6)(xxv);
0
f. Removing and reserving paragraph (9)(viii);
0
g. Revising paragraph (9)(ix); and
0
h. Adding paragraph (9)(x).
    The additions and revisions read as follows:

Supplement No. 6 to Part 774--Sensitive List

* * * * *

(9) Category 9

* * * * *
    (ix) 9E003.a.1 to a.5, a.8.
    (x) 9E003.h.

Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 2017-16904 Filed 8-14-17; 8:45 am]
BILLING CODE 3510-33-P


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