Document ID: BIS-2018-0024-0001
Agency: bis
Document Type: Proposed Rule
Title: Review of Controls for Certain Emerging Technologies
Posted Date: 2018-11-19T05:00Z

[Federal Register Volume 83, Number 223 (Monday, November 19, 2018)]
[Proposed Rules]
[Pages 58201-58202]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-25221]

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Part 744

[Docket No. 180712626-8840-01]
 RIN 0694-AH61

Review of Controls for Certain Emerging Technologies

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Advance notice of proposed rulemaking (ANPRM).

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SUMMARY: The Bureau of Industry and Security (BIS) controls the export 
of dual-use and less sensitive military items through the Export 
Administration Regulations (EAR), including the Commerce Control List 
(CCL). As controls on exports of technology are a key component of the 
effort to protect sensitive U.S. technology, many sensitive 
technologies are listed on the CCL, often consistent with the lists 
maintained by the multilateral export control regimes of which the 
United States is a member. Certain technologies, however, may not yet 
be listed on the CCL or controlled multilaterally because they are 
emerging technologies. As such, they have not yet been evaluated for 
their national security impacts. This advance notice of proposed 
rulemaking (ANPRM) seeks public comment on criteria for identifying 
emerging technologies that are essential to U.S. national security, for 
example because they have potential conventional weapons, intelligence 
collection, weapons of mass destruction, or terrorist applications or 
could provide the United States with a qualitative military or 
intelligence advantage. Comment on this ANPRM will help inform the 
interagency process to identify and describe such emerging 
technologies. This interagency process is anticipated to result in 
proposed rules for new Export Control Classification Numbers (ECCNs) on 
the CCL.

DATES: Submit comments on or before December 19, 2018.

ADDRESSES: You may submit comments through either of the following:
     Federal eRulemaking Portal: http://www.regulations.gov. 
The identification number for this rulemaking is BIS 2018-0024.
     Address: By mail or delivery to Regulatory Policy 
Division, Bureau of Industry and Security, U.S. Department of Commerce, 
Room 2099B, 14th Street and Pennsylvania Avenue NW, Washington, DC 
20230. Refer to RIN 0694-AH61.

FOR FURTHER INFORMATION CONTACT: Kirsten Mortimer, Office of National 
Security and Technology Transfer Controls, Bureau of Industry and 
Security, Department of Commerce. Phone: (202) 482-0092; Fax (202) 482-
3355; Email: [email protected].

SUPPLEMENTARY INFORMATION: 

Background

    As part of the National Defense Authorization Act (NDAA) for Fiscal 
Year 2019, Public Law No: 115-232, Congress enacted the Export Control 
Reform Act of 2018 (the Act or ECRA). Section 1758 of the Act 
authorizes Commerce to establish appropriate controls, including 
interim controls, on the export, reexport, or transfer (in country) of 
emerging and foundational technologies. Under the Act, emerging and 
foundational technologies are those essential to the national security 
of the United States and are not described in Section 721(a)(6)(A)(i)-
(v) of the Defense Production Act of 1950, as amended. Emerging and 
foundational technologies, in keeping with ECRA, will be determined by 
an interagency process that will consider both public and classified 
information as well as information from the Emerging Technology 
Technical Advisory Committee and the Committee on Foreign Investment in 
the United States.
    In identifying emerging and foundational technologies, the process 
must consider:
     The development of emerging and foundational technologies 
in foreign countries;
     The effect export controls may have on the development of 
such technologies in the United States; and
     The effectiveness of export controls on limiting the 
proliferation of emerging and foundational technologies in foreign 
countries.
    To help inform this process, this advance notice of proposed 
rulemaking (ANPRM) proposes several general areas for public comment. 
Given the challenges involved in identifying emerging and foundational 
technologies, this ANPRM will help Commerce and other agencies propose 
specific emerging technologies for control.
    Once an emerging or foundational technology has been identified, 
the Act authorizes Commerce to establish controls, including interim 
controls, on the export, reexport, or transfer (in-country) of that 
technology. In determining the appropriate level of export controls, 
the Department must consider the potential end-uses and end-users of 
the technology, and countries to which exports from the United States 
are restricted (e.g., embargoed countries). While Commerce has 
discretion to set the level of export controls, at a minimum it must 
require a license for the export of emerging and foundational 
technologies to countries subject to a U.S. embargo, including those 
subject to an arms embargo. Responses to this ANPRM will help Commerce 
and other agencies identify and assess emerging technologies for the 
purposes of updating the export control lists without impairing 
national security or hampering the ability of the U.S. commercial 
sector to keep pace with international advances in emerging fields.

Emerging Technologies

    To assist BIS in identifying emerging technologies that are 
essential to the national security of the United States, this ANPRM 
seeks public comment on criteria for defining and identifying emerging 
technologies. This ANPRM describes certain categories of technology 
that are currently subject to the EAR but controlled only to embargoed 
countries, countries designated as supporters of international 
terrorism, and restricted end uses or end users. These categories are a 
representative list of the

[[Page 58202]]

technology categories from which Commerce, through an interagency 
process, seeks to determine whether there are specific emerging 
technologies that are important to the national security of the United 
States for which effective controls can be implemented that avoid 
negatively impacting U.S. leadership in the science, technology, 
engineering, and manufacturing sectors.
    Commerce does not seek to expand jurisdiction over technologies 
that are not currently subject to the EAR, such as ``fundamental 
research'' described in Sec.  734.8 of the EAR. For purposes of this 
ANPRM, Commerce does not seek to alter existing controls on technology 
already specifically described in the CCL. Such controls would 
generally continue to be addressed through multilateral regimes or 
interagency reviews.

Foundational Technology

    Commerce will issue a separate ANPRM regarding identification of 
foundational technologies that may be important to U.S. national 
security. Commerce seeks public comment, however, on treating emerging 
and foundational technologies as separate types of technology.

Representative Technology Categories

    The representative general categories of technology for which 
Commerce currently seeks to determine whether there are specific 
emerging technologies that are essential to the national security of 
the United States include:
    (1) Biotechnology, such as:
    (i) Nanobiology;
    (ii) Synthetic biology;
    (iv) Genomic and genetic engineering; or
    (v) Neurotech.
    (2) Artificial intelligence (AI) and machine learning technology, 
such as:
    (i) Neural networks and deep learning (e.g., brain modelling, time 
series prediction, classification);
    (ii) Evolution and genetic computation (e.g., genetic algorithms, 
genetic programming);
    (iii) Reinforcement learning;
    (iv) Computer vision (e.g., object recognition, image 
understanding);
    (v) Expert systems (e.g., decision support systems, teaching 
systems);
    (vi) Speech and audio processing (e.g., speech recognition and 
production);
    (vii) Natural language processing (e.g., machine translation);
    (viii) Planning (e.g., scheduling, game playing);
    (ix) Audio and video manipulation technologies (e.g., voice 
cloning, deepfakes);
    (x) AI cloud technologies; or
    (xi) AI chipsets.
    (3) Position, Navigation, and Timing (PNT) technology.
    (4) Microprocessor technology, such as:
    (i) Systems-on-Chip (SoC); or
    (ii) Stacked Memory on Chip.
    (5) Advanced computing technology, such as:
    (i) Memory-centric logic.
    (6) Data analytics technology, such as:
    (i) Visualization;
    (ii) Automated analysis algorithms; or
    (iii) Context-aware computing.
    (7) Quantum information and sensing technology, such as
    (i) Quantum computing;
    (ii) Quantum encryption; or
    (iii) Quantum sensing.
    (8) Logistics technology, such as:
    (i) Mobile electric power;
    (ii) Modeling and simulation;
    (iii) Total asset visibility; or
    (iv) Distribution-based Logistics Systems (DBLS).
    (9) Additive manufacturing (e.g., 3D printing);
    (10) Robotics such as:
    (i) Micro-drone and micro-robotic systems;
    (ii) Swarming technology;
    (iii) Self-assembling robots;
    (iv) Molecular robotics;
    (v) Robot compliers; or
    (vi) Smart Dust.
    (11) Brain-computer interfaces, such as
    (i) Neural-controlled interfaces;
    (ii) Mind-machine interfaces;
    (iii) Direct neural interfaces; or
    (iv) Brain-machine interfaces.
    (12) Hypersonics, such as:
    (i) Flight control algorithms;
    (ii) Propulsion technologies;
    (iii) Thermal protection systems; or
    (iv) Specialized materials (for structures, sensors, etc.).
    (13) Advanced Materials, such as:
    (i) Adaptive camouflage;
    (ii) Functional textiles (e.g., advanced fiber and fabric 
technology); or
    (iii) Biomaterials.
    (14) Advanced surveillance technologies, such as:
    Faceprint and voiceprint technologies.
    BIS welcomes comments on: (1) How to define emerging technology to 
assist identification of such technology in the future; (2) criteria to 
apply to determine whether there are specific technologies within these 
general categories that are important to U.S. national security; (3) 
sources to identify such technologies; (4) other general technology 
categories that warrant review to identify emerging technology that are 
important to U.S. national security; (5) the status of development of 
these technologies in the United States and other countries; (6) the 
impact specific emerging technology controls would have on U.S. 
technological leadership; (7) any other approaches to the issue of 
identifying emerging technologies important to U.S. national security, 
including the stage of development or maturity level of an emerging 
technology that would warrant consideration for export control.
    Comments should be submitted to BIS as described in the ADDRESSES 
section of this ANPRM by December 19, 2018.
    This rule was determined to be significant by the Office of 
Management Budget under Executive Order 12866.

    Dated: November 14, 2018.
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 2018-25221 Filed 11-16-18; 8:45 am]
 BILLING CODE 3510-33-P