38764 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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. 

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 (§ 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: Sharron.Cook@

bis.doc.gov. 

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,’’ 

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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 38765 

because this is a defined term in the WA 

List, as well as in § 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 ‘tapelaying 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 

(TiB2) (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 (TiB2—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. 

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38766 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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 diamondlike 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-todigital 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-todigital 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 

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

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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 nonsensitive 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’’, ‘‘Microcomputer 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 

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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 nonprimary 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 nonprimary 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; 

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38770 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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 nontunable 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 nontunable 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 flyby-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 

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‘‘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 

°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-bylight 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 (incountry) 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 (incountry) 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, 

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38772 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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, ‘‘MultiPurpose 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. 

Description Total submissions 

Total mins for 

submission 

(29.6 min) 

Cost for 

respondents 

($30/hr or $2/min) 

Total min 

to process 

application 

(45 min) 

Cost for gov’t 

($40/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 . . . designed’’ 

encoder rings, discs or scales.

5 ........................... 148 ....................... $296.00 ................ 225 ....................... $337.50. 

3A002.c.4.b frequency mask trigger 15 ......................... 444 ....................... $888.00 ................ 675 ....................... $1012.50. 

3B001.a.1 equipment designed for 

epitaxial growth.

(20) ....................... (592) ..................... ($1184.00) ............ (900) ..................... ($1350.00). 

3C001.d non-sensitive p-type 

epitaxial layer materials.

(5) ......................... (148) ..................... ($296.00) .............. (225) ..................... ($337.50). 

4A003.b computers .......................... 0 ........................... 0 ........................... 0 ........................... 0 ........................... 0. 

4D001 and 4E001 technology and 

software for computers.

0 ........................... 0 ........................... 0 ........................... 0 ........................... 0. 

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 designed’’ 

for producing turbine engine powder metallurgy rotor ‘‘parts’’ or 

‘‘components.

0 ........................... 0 ........................... 0 ........................... 0 ........................... 0. 

Totals ........................................... (28 fewer submissions annually).(828.8 fewer burden minutes for 

submitters annually).

($1657.60 decrease of cost 

burden to submitters annually).

(1260 fewer burden minutes for 

USG annually).

($1890.00 decrease of cost 

burden to USG 

annually). 

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

Seehra@omb.eop.gov, 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 nationalsecurity 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] 

■ 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). 

■ 2. Section 740.7 is amended by: 

■ a. Adding ‘‘Burma,’’ to paragraph 

(c)(1) after ‘‘Burkina Faso,’’ ; and 

■ b. Removing ‘‘Burma,’’ from 

paragraph (d)(1). 

PART 772—[AMENDED] 

■ 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). 

■ 4. Section 772.1 is amended by: 

■ a. Removing ‘‘(Cat 6 and 8)’’ and 

adding in its place ‘‘(Cat 6)’’ in the 

definition of ‘‘active pixel’’; 

■ b. Removing ‘‘(Cat 1, 7, and 9)’’ and 

adding in its place ‘‘(Cat 1, 6, 7, and 9)’’ 

in the definition of ‘‘aircraft’’; 

■ c. Adding the definition of 

‘‘Authentication’’ in alphabetical order; 

■ d. Removing ‘‘(Cat 1 and 8)’’ and 

adding in its place ‘‘(Cat 1, 2, 8 and 9)’’ 

in 

■ the definition of ‘‘fibrous or 

filamentary materials’’; 

■ e. Adding quotes around the term 

‘‘aircraft’’ in the definitions of the terms 

‘‘fly-by-light system’’ and ‘‘fly-by-wire 

system’’; 

■ 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’’; 

■ g. Adding the definitions of ‘‘MMIC’’ 

and ‘‘Monolithic Microwave Integrated 

Circuit’’ in alphabetical order; 

■ h. Removing the definition of 

‘‘multilevel security’’ including the 

Note; 

■ i. Revising the definitions of ‘‘realtime bandwidth’’ and ‘‘real-time 

processing’’; 

■ j. Remove ‘‘(Cat 7 and 9)’’ and add in 

its place ‘‘(Cat 9)’’ in the definition of 

‘‘spacecraft’’; and 

■ 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’’ 

* * * * * 

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38774 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

‘‘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 noiseanalysis 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] 

■ 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). 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 2 

CB applies to chemical 

detection systems and 

dedicated detectors 

therefor, in 1A004.c, 

that also have the 

technical characteristics described in 

2B351.a.

CB Column 2 

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. a-Bromobenzeneacetonitrile, 

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

8); 

a..4.b. [(2-chlorophenyl) methylene] 

propanedinitrile, (oChlorobenzylidenemalononitrile) (CS) (CAS 

2698–41–1); 

a..4.c. 2-Chloro-1-phenylethanone, 

Phenylacyl chloride (w-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: 

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

■ 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 

Control(s) 

Country chart 

(See Supp. No.1 

to part 738) 

NS applies to entire 

entry.

NS Column 2 

NP applies to 1A007.b, 

as well as 1A007.a 

when the detonator 

firing set meets or exceeds the parameters 

of 3A229.

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to entire 

entry, except 

1B001.d.4, e and f.

Note: MT applies to 

equipment in 1B001.d 

that meet or exceed 

the parameters of 

1B101.

MT Column 1 

NP applies to filament 

winding machines described in 1B001.a 

that are capable of 

winding cylindrical rotors having a diameter 

between 75 mm (3 in) 

and 400 mm (16 in) 

and lengths of 600 

mm (24 in) or greater; 

AND coordinating and 

programming controls 

and precision 

mandrels for these 

filament winding machines.

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

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 

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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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to items in 

1C007.c when the dielectric constant is 

less than 6 at any frequency from 100 MHz 

to 100 GHz for use in 

‘‘missile’’ radomes.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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 mm and 

no more than 10% of the particles larger than 

10 mm; 

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. Al2O3 (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 °C) or tensile creep resistance of more 

than 1% creep strain at 100 MPa load and 

1,273 K (1,000 °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 × 103 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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

RS applies to entire 

entry.

RS Column 1 

MT applies to 1C608.m MT Column 1 

AT applies to entire 

entry.

AT Column 1 

UN applies to entire 

entry.

See § 746.1(b) for 

UN controls 

List Based License Exceptions (See Part 740 

for a Description of All License Exceptions) 

LVS: $1500 

GBS: N/A 

CIV: N/A 

Special Conditions for STA 

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

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

used for any item in 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 

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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 USorigin ‘‘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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to part 738) 

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

1A003, 1A005, 

1A006.b, 1A007, 

1B001 to 1B003, 

1B018, 1C001 to 

1C011, or 1C018.

NS Column 1 

NS applies to ‘‘technology’’ for items controlled by 1A004.NS Column 2 

MT applies to ‘‘technology’’ for items controlled by 1A101, 

1B001, 1B101, 

1B102, 1B115 to 

1B119, 1C001, 

1C007, 1C011, 

1C101, 1C102, 

1C107, 1C111, 

1C116, 1C117, or 

1C118 for MT reasons 

MT Column 1 

NP applies to ‘‘technology’’ for items 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 

NP Column 1 

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

1C353, or 1C354 

CB Column 1 

CB applies to ‘‘technology’’ for materials 

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 

CB Column 2 

RS applies to technology for equipment 

controlled in 1A004.d 

RS Column 2 

AT applies to entire 

entry 

AT Column 1 

Reporting Requirements 

See § 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: 

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(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. 

■ 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 

Control(s) 

Country chart 

(See Supp. 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 controlled by 1A002 for 

NP reasons 

NP Column 1 

AT applies to entire 

entry 

AT Column 1 

Reporting Requirements 

See § 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 

mm and no more than 10% of the particles 

larger than 5 mm; or 

c.1.c.2. Other ceramic powders with an 

average particle size equal to or less than 5 

mm and no more than 10% of the particles 

larger than 10 mm; 

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. 

■ 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 aminecobalt (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-dinitropyrazine1-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); 

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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 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-triazacyclohexane, 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-striazine) (CAS 19899–80–0); 

b. NNHT (2-nitroimino-5-nitro-hexahydro1,3,5-triazine) (CAS 130400–13–4); 

32. Triazoles as follows: 

a. 5-azido-2-nitrotriazole; 

b. ADHTDN (4-amino-3,5-dihydrazino1,2,4-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-tetraoxa4,10-diazaisowurtzitane); 

46. GUDN (Guanylurea dinitramide) FOX12 (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-tetrazine1,4-dioxide); 

48. Energetic ionic materials melting 

between 343 K (70 °C) and 373 K (100 °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). 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to radial ball 

bearings having 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.

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) 

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 °C) and 

above) position sensors. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 2 

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38780 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

Control(s) 

Country chart 

(See Supp. No. 1 

to part 738) 

NP applies to 2B001.a, 

.b, .c, and .d, 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 xaxis more (worse) 

than 22.5 μm.

NP Column 1 

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 mm 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 mm 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 mm 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 mm 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 mm 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 mm 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 mm 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 mm 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 mm 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 mm 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 mm 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 mm 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 mm. 

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°; 

f. Deep-hole-drilling machines and turning 

machines modified for deep-hole-drilling, 

having a maximum depth-of-bore capability 

exceeding 5 m. 

■ 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 inprocess 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 

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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 38781 

Control(s) 

Country chart 

(See Supp. 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: $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 photoluminescence 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/mm2 or higher at a deposition rate 15 

mm/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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 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 mm along any linear 

axis (overall positioning) for grinding 

machines; 

c.2.b. Better than 15 mm along any linear 

axis (overall positioning) for milling 

machines; or 

c.2.c. Better than 15 mm along any linear 

axis (overall positioning) for turning 

machines; or 

d. Machine tools, as follows, for removing 

or cutting metals, ceramics or composites, 

that, according to the manufacturer’s 

technical specifications, can be equipped 

with electronic devices for simultaneous 

‘‘contouring control’’ in two or more axes: 

d.1. Machine tools for turning, grinding, 

milling or any combination thereof, having 

two or more axes that can be coordinated 

simultaneously for ‘‘contouring control’’ and 

having any of the following characteristics: 

d.1.a. One or more contouring ‘‘tilting 

spindles;’’ 

Note: 2B991.d.1.a. applies to machine tools 

for grinding or milling only. 

d.1.b. ‘‘Camming’’ (axial displacement) in 

one revolution of the spindle less (better) 

than 0.0006 mm total indicator reading (TIR); 

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

for turning only. 

d.1.c. ‘‘Run out’’ (out-of-true running) in 

one revolution of the spindle less (better) 

than 0.0006 mm total indicator reading (TIR); 

d.1.d. The ‘‘positioning accuracies’’, with 

all compensations available, are less (better) 

than: 0.001° on any rotary axis; 

d.2. Electrical discharge machines (EDM) 

of the wire feed type that have five or more 

axes that can be coordinated simultaneously 

for ‘‘contouring control.’’ 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to part 738) 

AT applies to entire 

entry.

AT Column 1 

mstockstill on DSK30JT082PROD with RULES2

38782 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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 prestored part programs and a pre-stored 

strategy for the distribution of the part 

programs. 

b. Reserved. 

■ 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 

Control(s) 

Country chart 

(See Supp. 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 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 carboncarbon 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 nonelectronic substrates (specified in column 2 

of the following table), by processes specified 

in column 1 of the following table and 

defined in the Technical Note. 

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)’. 

■ 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, codeposits 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 °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. 

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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 °C). 

14. ‘Low-expansion glasses’ refers to 

glasses which have a coefficient of thermal 

expansion of 1 × 10¥7 K¥1 or less measured 

at 293 K (20 °C). 

15. ‘Dielectric layers’ are coatings 

constructed of multi-layers of insulator 

materials in which the interference 

properties of a design composed of materials 

of various refractive indices are used to 

reflect, transmit or absorb various wavelength 

bands. Dielectric layers refers to more than 

four dielectric layers or dielectric/metal 

‘‘composite’’ layers. 

16. ‘Cemented tungsten carbide’ does not 

include cutting and forming tool materials 

consisting of tungsten carbide/(cobalt, 

nickel), titanium carbide/(cobalt, nickel), 

chromium carbide/nickel-chromium and 

chromium carbide/nickel. 

17. ‘‘Technology’’ for depositing diamondlike 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 inprocess measurement of optical 

characteristics and thickness of coatings can 

be a feature of these processes. Specific TE– 

PVD processes are as follows: 

1. Electron Beam PVD uses an electron 

beam to heat and evaporate the material 

which forms the coating; 

2. 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 nonbiased 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 °C) to 1,375 K (1,102 

°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 °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: 

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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. 

■ 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. 

■ 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 

Control(s) Country chart 

(see Supp. No. 1 to part 738) 

NS applies to ‘‘Monolithic Microwave 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 Column 1 

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

RS applies ‘‘Monolithic Microwave 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.

RS Column 1 

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Control(s) Country chart 

(see Supp. No. 1 to part 738) 

MT applies to 3A001.a.1.a when usable in ‘‘missiles’’; and to 

3A001.a.5.a when ‘‘designed or modified’’ for military use, hermetically sealed and rated for operation in the temperature range from 

below ¥54 °C to above +125 °C MT Column 1.

MT applies to 3A001.a.1.a when usable in ‘‘missiles’’; and to 

3A001.a.5.a when ‘‘designed or modified’’ for military use, hermetically sealed and rated for operation in the temperature range from 

below ¥54 °C to above +125 °C MT Column 1 

NP applies to pulse discharge capacitors in in 3A001.e.2 and superconducting solenoidal electromagnets in 3A001.e.3 that meet or exceed the technical parameters in 3A201.a and 3A201.b, respectively 

NP Column 1.

NP applies to pulse discharge capacitors in in 3A001.e.2 and superconducting solenoidal electromagnets in 3A001.e.3 that meet or exceed the technical parameters in 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 § 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 § 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 × 103

Gy(Si) = 5 × 105 Rads (Si); 5 × 106 Gy (Si)/ 

s = 5 × 108 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 × 103 Gy (Si), or 

higher; 

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

s, or higher; or 

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

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

cm2 or higher on silicon, or its equivalent for 

other materials; 

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

Insulator Semiconductors (MIS). 

a.2. ‘‘Microprocessor microcircuits,’’ 

‘‘microcomputer microcircuits,’’ 

microcontroller microcircuits, storage 

integrated circuits manufactured from a 

compound semiconductor, analog-to-digital 

converters, 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 °C); 

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

temperature below 218 K (¥55 °C); or 

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

ambient temperature range from 218 K (¥55 

°C) to 398 K (125 °C); 

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

integrated circuits for civil automobile or 

railway train applications. 

a.3. ‘‘Microprocessor microcircuits’’, 

‘‘microcomputer microcircuits’’ and 

microcontroller microcircuits, manufactured 

from a compound semiconductor and 

operating at a clock frequency exceeding 40 

MHz; 

Note: 3A001.a.3 includes digital signal 

processors, digital array processors and 

digital coprocessors. 

a.4. [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 2n levels. 

2. The number of bits in the output word 

is equal to the resolution of the ADC. 

3. The output rate is the maximum output 

rate of the converter, regardless of 

architecture or oversampling. 

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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 (noninterpolating) DAC. 

b. For interpolating DACs (oversampling 

DACs), the ‘adjusted update rate’ is defined 

as the DAC update rate divided by the 

smallest interpolating factor. For 

interpolating DACs, the ‘adjusted update rate’ 

may be referred to by different terms 

including: 

• Input data rate 

• Input word rate 

• Input sample rate 

• Maximum total input bus rate 

• Maximum DAC clock rate for DAC clock 

input. 

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 log2

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

points; 

Technical Note: When N is equal to 1,024 

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

execution time of 500 ms. 

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 radiofrequency 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 radiocommunications services, but not for radiodetermination. 

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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 radiocommunications services, but not for radiodetermination. 

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/cm2 or a pulsed 

(non-continuous) current density at rated 

operating conditions exceeding 10 A/cm2; 

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 continuouswave 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; 

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38788 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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 (fmax/fmin) in 

less than 10 ms 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 cm3; 

Note: 3A001.b.8 does not control 

equipment designed or rated for operation in 

any frequency band which is ‘‘allocated by 

the ITU’’ for radio-communications services, 

but not for radio-determination. 

b.9. Microwave Power Modules (MPM) 

consisting of, at least, a traveling-wave 

‘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 cm3/ 

W; and 

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

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

having any of the following: 

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

than 18 GHz, an RF output power greater 

than 100 W; or 

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

Technical Notes: 1. To calculate the 

volume in 3A001.b.9.b., the following 

example is provided: for a maximum rated 

power of 20 W, the volume would be: 20 W 

× 10 cm3/W = 200 cm3. 

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

to the time from fully-off to fully operational, 

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

MPM. 

b.10. Oscillators or oscillator assemblies, 

specified to operate with a single sideband 

(SSB) phase noise, in dBc/Hz, less (better) 

than—(126 + 20log10F¥20log10f) 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 ms 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 ms 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 ms 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), Psat, greater than 505.62 divided by 

the maximum operating frequency (in GHz) 

squared [Psat > 505.62 W * GHz2/fGHz2] 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/fGHz] 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 bidirectional 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 (fGHz) 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 

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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 ms 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 

ms; 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 ms and 

bandwidth in MHz) of more than 100; 

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

ms; 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¥14 J; or 

d.2. Frequency selection at all frequencies 

using resonant circuits with Q-values 

exceeding 10,000; 

e. High energy devices as follows: 

e.1. ‘Cells’ as follows: 

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

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

°C); 

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

density’ exceeding 350 Wh/kg at 293 K (20 

°C); 

Technical Notes: 1. For the purpose of 

3A001.e.1., ‘energy density’ (Wh/kg) is 

calculated from the nominal voltage 

multiplied by the nominal capacity in 

ampere-hours (Ah) divided by the mass in 

kilograms. If the nominal capacity is not 

stated, energy density is calculated from the 

nominal voltage squared then multiplied by 

the discharge duration in hours divided by 

the discharge load in Ohms and the mass in 

kilograms. 

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

defined as an electrochemical device, which 

has positive and negative electrodes, an 

electrolyte, and is a source of electrical 

energy. It is the basic building block of a 

battery. 

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

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

to be charged by any other source. 

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

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

be charged by an external electrical source. 

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

including single-cell batteries. 

e.2. High energy storage capacitors as 

follows: 

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

less than 10 Hz (single shot capacitors) and 

having all of the following: 

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

than 5 kV; 

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

than 250 J/kg; and 

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

than 25 kJ; 

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

10 Hz or more (repetition rated capacitors) 

and having all of the following: 

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

than 5 kV; 

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

than 50 J/kg; 

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

than 100 J; and 

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

to or more than 10,000; 

e.3. ‘‘Superconductive’’ electromagnets and 

solenoids, ‘‘specially designed’’ to be fully 

charged or discharged in less than one 

second and having all of the following: 

Note: 3A001.e.3 does not control 

‘‘superconductive’’ electromagnets or 

solenoids ‘‘specially designed’’ for Magnetic 

Resonance Imaging (MRI) medical 

equipment. 

e.3.a. Energy delivered during the 

discharge exceeding 10 kJ in the first second; 

e.3.b. Inner diameter of the current 

carrying windings of more than 250 mm; and 

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

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

in the winding of more than 300 A/mm2; 

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

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

having a minimum average efficiency 

exceeding 20% at an operating temperature 

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

illumination with an irradiance of 1,367 

Watts per square meter (W/m2); 

Technical Note: ‘AM0,’ or ‘Air Mass Zero,’ 

refers to the spectral irradiance of 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 ±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/ms and offstate voltage greater than 1,100 V; or 

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

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

°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) 

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—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. 

■ 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 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to 3A002.h 

when the parameters 

in 3A101.a.2.b are 

met or exceeded.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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 ms 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 

ms 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 ms 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 ms 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 ms 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 log10 F 

¥ 20log10f) 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 ¥ 20log10f) 

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 

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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 × 10¥11/month; or 

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

of the following: 

g.3.a. Being a rubidium standard; 

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

1 × 10¥11/month; and 

g.3.c. Total power consumption of less 

than 1 Watt. 

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 singlechannel specified performance. 

Note: 3A002.h includes ADC cards, 

waveform digitizers, data acquisition cards, 

signal acquisition boards and transient 

recorders. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to part 738) 

AT applies to entire 

entry.

AT Column 1 

License Requirements Note: See § 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 readonly memories (EEPROMs) with a storage 

capacity; 

b.1.a. Exceeding 16 Mbits per package for 

flash memory types; or 

b.1.b. Exceeding either of the following 

limits for all other EEPROM types: 

b.1.b.1. Exceeding 1 Mbit per package; or 

b.1.b.2. Exceeding 256 kbit per package 

and a maximum access time of less than 80 

ns; 

b.2. Static random access memories 

(SRAMs) with a storage capacity: 

b.2.a. Exceeding 1 Mbit per package; or 

b.2.b. Exceeding 256 kbit per package and 

a maximum access time of less than 25 ns; 

c. 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 °C); 

j.2. Secondary cells having an energy 

density of 300 Wh/kg or less at 293 K (20 °C). 

Note : 3A991.j. does not control batteries, 

including single cell batteries. 

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38792 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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/mm2. 

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/M3 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. 

■ 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 

Control(s) 

Country chart 

(see Supp. 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: $500 

GBS: Yes, except a.3 (molecular beam 

epitaxial growth equipment using gas 

sources), .e (automatic loading multichamber 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 

±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 °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: 


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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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to 

part 738) 

NS applies to ‘‘technology’’ for items controlled by 3A001, 

3A002, 3A003, 

3B001, 3B002, or 

3C001 to 3C006.

NS Column 1 

MT applies to ‘‘technology’’ for equipment 

controlled by 3A001 

or 3A101 for MT reasons.

MT Column 1 

NP applies to ‘‘technology’’ for equipment 

controlled by 3A001, 

3A201, or 3A225 to 

3A234 for NP reasons.

NP Column 1 

AT applies to entire 

entry.

AT Column 1 

License Requirements Note: See § 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 § 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, coverglassinterconnect-cells or covered-interconnectcells (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: 

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38794 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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

mm; and 

(b) Incorporating multi-layer structures 

with three or fewer metal layers. 

■ 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,’’ ‘‘microcomputer 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 

Control(s) 

Country chart 

(See Supp. 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 § 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 

§ 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 

mm; 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. 

■ 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 

Control(s) 

Country chart 

(See Supp. 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-oninsulation (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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No.1 

to part 738) 

NS applies to 4A003.b 

and .c.

NS Column 1 

NS applies to 4A003.e 

and .g.

NS Column 2 

CC applies to ‘‘digital 

computers’’ for computerized finger-print 

equipment.

CC Column 1 

AT applies to entire 

entry (refer to 4A994 

for controls on ‘‘digital 

computers’’ with an 

APP > 0.0128 but ≤ 

16 WT).

AT Column 1 

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 § 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 § 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 

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other technical parameters. See § 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.’’ 

■ 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 

Control(s) 

Country chart 

(See Supp. No.1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

CC applies to ‘‘software’’ for computerized finger-print equipment controlled by 

4A003 for CC reasons.

CC Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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 § 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. 

■ 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 

Control(s) 

Country chart 

(see Supp. No. 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 memoryresident 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. 

■ 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 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to ‘‘technology’’ for items controlled by 4A001.a 

and 4A101 for MT 

reasons.

MT Column 1 

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38796 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

CC applies to ‘‘software’’ for computerized finger-print equipment controlled by 

4A003 for CC reasons.

CC Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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 § 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. 

■ 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 

Control(s) Country chart 

(see Supp. No. 1 to part 738) 

NS applies to 5A001.a, .e, .b.5, f.3 and .h ............................................... NS Column 1 

NS applies to 5A001.b (except .b.5), .c, .d, .f (except f.3), and .g .......... NS Column 2 

SL applies to 5A001.f.1 ............................................................................ A license is required for all destinations, as specified in § 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 § 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 °C) to 397 K (124 °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; 

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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 ±0.05% of the final specified 

receiving frequency. Items having a specified 

frequency range of less than ±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 × 109 N/m2 or more; 

N.B.: For underwater umbilical cables, see 

8A002.a.3. 

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

dynamically applies a prescribed tensile 

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

running rate of 2 to 5 m/s while passing 

between capstans approximately 150 mm in 

diameter. The ambient temperature is a 

nominal 293 K (20 °C) and relative humidity 

40%. Equivalent national standards may be 

used for executing the proof test. 

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. 

■ 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 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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). 

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38798 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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. 

■ 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 

Control(s) Country chart 

(see Supp. No.1 to part 738) 

NS applies to entire entry ......................................................................... NS Column 1 

SL applies to ‘‘technology’’ for the ‘‘development’’ or ‘‘production’’ of 

equipment, functions or features controlled by 5A001.f.1, or for the 

‘‘development’’ or ‘‘production’’ of ‘‘software’’ controlled by ECCN 

5D001.a (for 5A001.f.1).

A license is required for all destinations, as specified in § 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 § 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, multimode, multi-coding algorithm or multiprotocol 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 nontelecommunications 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 radiocommunications services, but not for radiodetermination. 

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 

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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 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¥14 J; or 

e.2. Frequency selection at all frequencies 

using resonant circuits with Q-values 

exceeding 10,000. 

■ 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 selfclassification 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 § 740.17(b) of the EAR in 

order to be released from the ‘‘EI’’ and ‘‘NS’’ 

controls of ECCN 5A002 or 5D002. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 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 § 742.15 

of the EAR 

License Requirements Note: See § 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 

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‘‘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 § 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 nonprimary 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 selfclassification in accordance with 

§ 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 nonpublished) 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: 

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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. 

■ 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 

Control(s) 

Country chart 

(see Supp. 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: 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. 

■ 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 

Control(s) Country chart 

(see Supp. No. 1 to part 738) 

NS applies to entire entry ......................................................................... NS Column 1 

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

EI applies to ‘‘software’’ in 5D002.a.1, a.3, .b, c.1 and c.3, for commodities or ‘‘software’’ controlled for EI reasons in ECCNs 5A002, 5A004 

or 5D002.

Refer to § 742.15 of the EAR 

Note: Encryption software is controlled because of its functional capacity, and not because of any informational value of such software; 

such software is not accorded the same treatment under the EAR as 

other ‘‘software’; and for 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 § 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 § 740.17 of the EAR for eligibility. 

List of Items Controlled 

Related Controls: After classification or selfclassification in accordance with 

§ 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 

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c.3. Equipment specified by 5A004. 

d. [Reserved] 

N.B.: See 5D002.b for items formerly 

specified in 5D002.d. 

■ 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 

Control(s) 

Country chart (See 

Supp. No. 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 for 

commodities or ‘‘software’’ controlled for EI 

reasons in ECCNs 

5A002, 5A004 or 

5D002, and to ‘‘technology’’ in 5E002.b.

Refer to § 742.15 

of the EAR 

License Requirements Notes: 

(1) See § 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 § 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. 

■ 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 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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 mPa 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 realtime 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 transmittingand-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 ± 20°, and 

limited to measuring the depth of water, the 

distance of submerged or buried objects or 

fish finding; 

b. Acoustic beacons, as follows: 

1. Acoustic emergency beacons; 

2. Pingers ‘‘specially designed’’ for 

relocating or returning to an underwater 

position. 

a.1.a. 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° 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° from the vertical; 

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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 m2/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’ (m2/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 mPa 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 mPa at 1 m) for 

equipment with an operating frequency in 

the band between 24 kHz and 30 kHz; 

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

any axis and having an operating frequency 

of less than 100 kHz; 

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

unambiguous display range exceeding 5,120 

m; or 

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

during normal operation at depths exceeding 

1,000 m and having transducers with any of 

the following: 

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

pressure; or 

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

zirconate titanate as the transduction 

element; 

a.1.c. Acoustic projectors, including 

transducers, incorporating piezoelectric, 

magnetostrictive, electrostrictive, 

electrodynamic or hydraulic elements 

operating individually or in a designed 

combination and having any of the following: 

Notes: 

1. The control status of acoustic projectors, 

including transducers, ‘‘specially designed’’ 

for other equipment is determined by the 

control status of the other equipment. 

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

sources that direct the sound vertically only, 

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

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

3. Piezoelectric elements specified in 

6A001.a.1.c include those made from leadmagnesium-niobate/lead-titanate (Pb(Mg1/

3Nb2/3)O3-PbTiO3, or PMN-PT) single crystals 

grown from solid solution or lead-indiumniobate/lead-magnesium niobate/leadtitanate (Pb(In1/2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3- 

PbTiO3, 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 

mPa 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 

mPa 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 (SLRMS)’ 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: SLRMS = (TVR + 20log 

VRMS) dB (ref 1mPa at 1 m), where SLRMS is 

the source level, TVR is the Transmitting 

Voltage Response and VRMS 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)}; 

a.2.a.3.c. ‘Flexible piezoelectric 

composites’; 

a.2.a.3.d. Lead-magnesium- niobate/leadtitanate (i.e., Pb(Mg1/3Nb2/3)O3-PbTiO3, or 

PMN-PT) piezoelectric single crystals grown 

from solid solution; or 

a.2.a.3.e. Lead-indium-niobate/leadmagnesium niobate/lead-titanate (i.e., Pb(In1/

2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3-PbTiO3, or PINPMN-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 

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reference, when the hydrophone sensor, 

without a pre-amplifier, is placed in a plane 

wave acoustic field with an rms pressure of 

1 mPa. For example, a hydrophone of ¥160 

dB (reference 1 V per mPa) would yield an 

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

while one of ¥180 dB sensitivity would 

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

better than ¥180 dB. 

a.2.b. Towed acoustic hydrophone arrays 

having any of the following: 

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 hydroacoustic 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 ± 0.5°; 

and 

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

exceeding 35 m or having an adjustable or 

removable depth sensing device in order to 

operate at depths exceeding 35 m; 

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/s2). 

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

measure the horizontal speed of the 

equipment carrier relative to the sea bed, as 

follows: 

b.1. Correlation-velocity sonar log 

equipment having any of the following 

characteristics: 

b.1.a. Designed to operate at distances 

between the carrier and the sea bed 

exceeding 500 m; or 

b.1.b. Having speed ‘‘accuracy’’ better than 

1% of speed; 

b.2. Doppler-velocity sonar log equipment 

having speed ‘‘accuracy’’ better than 1% of 

speed; 

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

sounders limited to any of the following: 

a. Measuring the depth of water; 

b. Measuring the distance of submerged or 

buried objects; or 

c. Fish finding. 

Note 2: 6A001.b does not apply to 

equipment ‘‘specially designed’’ for 

installation on surface vessels. 

c. [Reserved] 

N.B.: For diver deterrent acoustic systems, 

see 8A002.r. 

■ 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 

Control(s) Country chart 

(See Supp. No. 1 to part 738) 

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

NP applies to cameras controlled by 6A003.a.2, a.3 or a.4 and to plugins in 6A003.a.6 for cameras controlled by 6A003.a.3 or a.4.NP Column 1 

RS applies to 6A003.b.3, 6A003.b.4.a, 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 § 742.6(a)(2)(iii) and (v) 

for certain exemptions).

RS Column 1 

RS applies to items controlled in 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.

RS Column 2 

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

UN applies to 6A003.b.3 and b.4 ............................................................. See § 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 § 743.3 of the EAR for thermal camera 

reporting for exports that are not 

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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/ms; 

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 1ms 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 × 106 ‘‘active pixels’’ 

per solid state array for monochrome (black 

and white) cameras; 

b.1.a.2. More than 4 × 106 ‘‘active pixels’’ 

per solid state array for color cameras 

incorporating three solid state arrays; or 

b.1.a.3. More than 12 × 106 ‘‘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: 

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38806 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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-plugoperated 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 solidstate detectors specified by 6A002.a.1. 

■ 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 

Control(s) 

Country chart 

(See Supp. No. 1 

to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

NP applies to lasers 

controlled by 

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.

NP Column 1 

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, multipletransverse 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; CO2 or CO/CO2 ‘‘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; CO2 ‘‘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, multipletransverse 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; CO2 or CO/CO2 ‘‘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; CO2 ‘‘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 

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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, 

CO2, 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•mrad; and 

2. ‘Brightness’ not exceeding 1024 W/

(mm•mrad)2; 

b. Output power exceeding 1 kW but not 

exceeding 1.6 kW and having a BPP 

exceeding 1.25 mm•mrad; 

c. Output power exceeding 1.6 kW but not 

exceeding 2.5 kW and having a BPP 

exceeding 1.7 mm•mrad; 

d. Output power exceeding 2.5 kW but not 

exceeding 3.3 kW and having a BPP 

exceeding 2.5 mm•mrad; 

e. Output power exceeding 3.3 kW but not 

exceeding 4 kW and having a BPP exceeding 

3.5 mm•mrad; 

f. Output power exceeding 4 kW but not 

exceeding 5 kW and having a BPP exceeding 

5 mm•mrad; 

g. Output power exceeding 5 kW but not 

exceeding 6 kW and having a BPP exceeding 

7.2 mm•mrad; 

h. Output power exceeding 6 kW but not 

exceeding 8 kW and having a BPP exceeding 

12 mm•mrad; or 

i. Output power exceeding 8 kW but not 

exceeding 10 kW and having a BPP 

exceeding 24 mm•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)/BPP2. 

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 ms 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 ms 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; 

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38808 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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 ms 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 ms 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 ms 

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 ms 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/cm2; 

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/cm2; 

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/cm2; 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/cm2; 

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/cm2; or 

Note: 6A005.d.1.d.2.d does not apply to 

epitaxially-fabricated monolithic devices. 

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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 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/cm2; 

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 (CO2) ‘‘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 ms 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 ms 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 (O2-I) ‘‘lasers’’; 

d.5.c.2. Deuterium Fluoride-Carbon 

dioxide (DF-CO2) ‘‘lasers’’; 

d.6. ‘Non-repetitive pulsed’ Neodymium 

(Nd) glass ‘‘lasers’’ having any of the 

following: 

d.6.a. A ‘‘pulse duration’’ not exceeding 1 

ms and output energy exceeding 50 J per 

pulse; or 

d.6.b. A ‘‘pulse duration’’ exceeding 1 ms 

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 electrooptical-’’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/cm2; 

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 

mrad; 

f.3. Optical equipment and ‘‘components,’’ 

‘‘specially designed’’ for a phased-array 

‘‘SHPL’’ system for coherent beam 

combination to an ‘‘accuracy’’ of l/10 at the 

designed wavelength, or 0.1 mm, 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 103. 

Technical Note: ‘Laser acoustic detection 

equipment’ is sometimes referred to as a 

‘‘Laser’’ Microphone or Particle Flow 

Detection Microphone. 

■ 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. 

mstockstill on DSK30JT082PROD with RULES2

38810 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

License Requirements 

Reason for Control: NS, MT, RS, AT 

Control(s) 

Country chart 

(See Supp. No.1 

to part 738) 

NS applies to entire 

entry.

NS Column 2 

MT applies to items that 

are designed for airborne applications 

and that are usable in 

systems controlled for 

MT reasons.

MT Column 1 

RS applies to 6A008.j.1 RS Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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 ±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 

mrad (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) = ±√(a2+(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.’’ 

■ 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 

Control(s) 

Country chart 

(See Supp. 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 

mstockstill on DSK30JT082PROD with RULES2

Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 38811 

Reporting Requirements 

See § 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. 

■ 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 

Control(s) 

Country chart 

(See Supp. 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 × 10¥3; 

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

Technical Note: ‘Optical thickness’ is the 

mathematical product of the index of 

refraction and the physical thickness of the 

coating. 

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 m2; 

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] 

■ 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 

Control(s) 

Country chart 

(See Supp. No.1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to ‘‘software’’ for equipment 

controlled for MT reasons. MT does not 

apply to ‘‘software’’ for 

equipment controlled 

by 7A008.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 743.1 of the EAR for reporting 

requirements for exports under License 

mstockstill on DSK30JT082PROD with RULES2

38812 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No.1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

Control(s) 

Country chart 

(See Supp. No.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 

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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No.1 

to part 738) 

NS applies to ‘‘technology’’ for items controlled by 7A001 to 

7A004, 7A006, 

7A008, 7B001 to 

7B003, 7D001 to 

7D005.

NS Column 1 

Control(s) 

Country chart 

(See Supp. No.1 

to part 738) 

MT applies to technology for equipment 

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.

MT Column 1 

RS applies to ‘‘technology’’ for inertial 

navigation systems or 

inertial equipment, 

and ‘‘components’’ 

therefor, for 9A991.b 

aircraft.

RS Column 1 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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. 

■ 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 

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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 38813 

Control(s) 

Country chart 

(See Supp. 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. 

■ 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 

Control(s) 

Country chart 

(See Supp. No.1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to ‘‘technology’’ for equipment 

or systems controlled 

for MT reasons.

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 

Special Conditions for STA 

STA: (1) Paragraph (c)(1) of License 

Exception STA (§ 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 (§ 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-bylight 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 × 10¥9

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’’; 

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38814 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

c.3. Rotor blades incorporating ‘‘variable 

geometry airfoils’’, for use in systems using 

individual blade control. 

■ 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 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 2 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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 masterslave 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 

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

at 1 m) at frequencies of 200 Hz and below. 

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

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

sources. 

Note 2: 8A002.r includes diver deterrent 

acoustic systems that use spark gap sources, 

also known as plasma sound sources. 

■ 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 

Control(s) 

Country Chart 

(see Supp. 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/m3. 

■ 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 

Control(s) 

Country Chart 

(See Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

MT applies to only to 

those engines that 

meet the characteristics listed in 9A101.

MT Column 1 

AT applies to entire 

entry.

AT Column 1 

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. 

■ 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’’ onboard systems or equipment, and 

terrestrial equipment, as follows (see 

List of Items Controlled). 

License Requirements 

Reason for Control: NS and AT 

Control(s) 

Country chart 

(see Supp. 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, 

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38816 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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 interagencycleared commodity classification (CCATS) 

pursuant to § 748.3(e) as warranting control 

in 9A004.y. 

■ 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 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry, except .e and .y.

NS Column 1 

RS applies to entire 

entry, except .e and .y.

RS Column 1 

RS applies to 9A515.e .. RS Column 2 

MT applies to microcircuits in 9A515.d and 

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).

MT Column 1 

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 § 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 (§ 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 § 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 (§ 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 § 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 (incountry) 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 (incountry) 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] 

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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 × 105 Rads (Si) (5 × 

103 Gy (Si)); 

d.2. A dose rate upset threshold of 5 × 108

Rads (Si)/sec (5 × 106 Gy (Si)/sec); 

d.3. A neutron dose of 1 × 1014 n/cm2 (1 

MeV equivalent); 

d.4. An uncorrected single event upset 

sensitivity of 1 × 10¥10 errors/bit/day or less, 

for the CRE`ME–MC geosynchronous orbit, 

Solar Minimum Environment for heavy ion 

flux; and 

d.5. An uncorrected single event upset 

sensitivity of 1 × 10¥3 errors/part or less for 

a fluence of 1 × 107 protons/cm2 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 × 105 Rads (Si) (1 × 103

Gy(Si)) and <5 × 105 Rads (Si) (5 × 103

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 × 105 Rads (Si) (5 × 103

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 § 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. 

■ 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 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

NS applies to entire 

entry.

NS Column 1 

Control(s) 

Country chart 

(see Supp. No. 1 

to part 738) 

MT applies to equipment for engines controlled under 9A001 

for MT reasons and 

for engines controlled 

under 9A101.

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) 

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. 

■ 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 

Control(s) 

Country chart 

(see Supp. 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 °C); and 

b. Designed to operate at a temperature of 

873 K (600 °C) or more. 

Note: 9B009 does not specify tooling for 

the production of powder. 

■ 60. In Supplement No. 1 to part 774 

(the Commerce Control List), Category 9, 

ECCN 9E003 is revised to read as 

follows: 

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38818 Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 

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

List of Items Controlled). 

License Requirements 

Reason for Control: NS, SI, AT 

Control(s) 

Country chart 

(see Supp. No. 1 to 

part 738) 

NS applies to entire 

entry.

NS Column 1 

SI applies to 9E003.a.1 

through a.8, .h, .i, and 

.k.

See § 742.14 of the 

EAR for additional information 

AT applies to entire 

entry.

AT Column 1 

Reporting Requirements 

See § 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 caseby-case basis through submission of 

documentation demonstrating application 

to a commercial program in requesting an 

export license from the Department 

Commerce in respect to a specific export, 

or in the case of use for broad categories 

of ‘‘aircraft,’’ engines, ‘‘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 stressrupture life exceeding 400 hours at 1,273 K 

(1,000 °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 °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 °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 °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 °C) or more; 

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

9E003.a.1, designed to operate at a ‘gas path 

temperature’ of 1,693 K (1,420 °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 mm2; 

c.1.b. ‘Hole shape ratio’ greater than 4.52; 

and 

c.1.c. ‘Incidence angle’ equal to or less than 

25°; or 

c.2. Having all of the following: 

c.2.a. Minimum ‘cross-sectional area’ less 

than 0.12 mm2; 

c.2.b. ‘Hole shape ratio’ greater than 5.65; 

and 

c.2.c. ‘Incidence angle’ more than 25°; 

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 ‘crosssectional 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’. 

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Federal Register / Vol. 82, No. 156 / Tuesday, August 15, 2017 / Rules and Regulations 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, ElectroChemical 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 m3 or less; 

e.2. An overall power output of more than 

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

national equivalents; and 

e.3. Power density of more than 700 

kW/m3 of ‘box volume’; 

Technical Note: ‘Box volume’ is the 

product of three perpendicular dimensions 

measured in the following way: 

Length: The length of the crankshaft from 

front flange to flywheel face; 

Width: The widest of any of the following: 

a. The outside dimension from valve cover 

to valve cover; 

b. The dimensions of the outside edges of 

the cylinder heads; or 

c. The diameter of the flywheel housing; 

Height: The largest of any of the following: 

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

cylinder head) plus twice the stroke; or 

b. The diameter of the flywheel housing. 

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

‘‘production’’ of ‘‘specially designed’’ ‘‘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 °C)) down to gasoline fuel (0.5 cSt at 

310.8 K (37.8 °C)) and having all of the 

following: 

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

mm3 per injection per cylinder; and 

f.3.b. Electronic control features ‘‘specially 

designed’’ for switching governor 

characteristics automatically depending on 

fuel property to provide the same torque 

characteristics by using the appropriate 

sensors; 

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

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

output diesel engines’ for solid, gas phase or 

liquid film (or combinations thereof) cylinder 

wall lubrication and permitting operation to 

temperatures exceeding 723 K (450 °C), 

measured on the cylinder wall at the top 

limit of travel of the top ring of the piston; 

Technical Note: ‘High output diesel 

engines’ are diesel engines with a specified 

brake mean effective pressure of 1.8 MPa or 

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

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

h. ‘‘Technology’’ 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] 

■ 61. Supplement No. 6 to part 774 

‘‘Sensitive List’’ is amended by: 

■ a. Removing the reference to ‘‘and .d’’ 

in paragraph (1)(iii) and ‘‘1C007.d’’ in 

paragraphs (1)(vi) and (1)(vii); 

■ b. Removing the phrase ‘‘exceeding 

12.5’’ and adding in its place 

‘‘exceeding 16’’ in paragraphs (4)(ii) and 

(4)(iii); 

■ c. Removing the term ‘‘user accessible 

programmability’’ and adding in its 

place ‘‘user-accessible programmability’’ 

in paragraphs (6)(v) and (6)(viii); 

■ d. Adding double quotes around the 

term ‘‘Magnetic gradiometers’’ in 

paragraph (6)(xxiv)(C); 

■ e. Adding double quotes around the 

word ‘‘magnetometers’’ in paragraph 

(6)(xxv); 

■ f. Removing and reserving paragraph 

(9)(viii); 

■ g. Revising paragraph (9)(ix); and 

■ 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 

mstockstill on DSK30JT082PROD with RULES2