Document ID: BIS-2012-0045-0048
Agency: bis
Document Type: Proposed Rule
Title: Civil Uses of Certain Microwave Monolithic Integrated Circuit Power Amplifiers, Discrete Microwave Transistors and Bi-static and Multi-static Radar
Posted Date: 2014-07-01T04:00Z

[Federal Register Volume 79, Number 126 (Tuesday, July 1, 2014)]
[Proposed Rules]
[Pages 37547-37550]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-14682]

[[Page 37547]]

Vol. 79

Tuesday,

No. 126

July 1, 2014

Part VII

Department of Commerce

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Bureau of Industry and Security

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15 CFR Part 774

Civil Uses of Certain Microwave Monolithic Integrated Circuit (MMIC) 
Power Amplifiers, Discrete Microwave Transistors and Bi-Static and 
Multi-Static Radar; Proposed Rule; Revisions to the Export 
Administration Regulations (EAR): Control of Military Electronic 
Equipment and Other Items the President Determines No Longer Warrant 
Control Under the United States Munitions List (USML); Final Rule

  Federal Register / Vol. 79, No. 126 / Tuesday, July 1, 2014 / 
Proposed Rules  

[[Page 37548]]

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Part 774

[Docket No. 140611493-4493-01 ]

Civil Uses of Certain Microwave Monolithic Integrated Circuit 
(MMIC) Power Amplifiers, Discrete Microwave Transistors and Bi-Static 
and Multi-Static Radar

AGENCY: Bureau of Industry and Security, U.S. Department of Commerce.

ACTION: Notice of inquiry with request for comments.

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SUMMARY: This notice of inquiry requests comments that cite specific 
examples of civil uses of certain MMIC power amplifiers and discrete 
microwave transistors, both of which operate at frequencies exceeding 
2.7 GHz, and (3) bi-static/multi-static radar that exploits greater 
than 125 kHz bandwidth and is lower than 2 GHz center frequency to 
passively detect or track using radio frequency (RF) transmissions 
(e.g., commercial radio or television stations). The Bureau of Industry 
and Security (BIS) is requesting this information because several 
comments on rules recently published by the Departments of State and 
Commerce made claims that civil applications for these types of 
commodities exist or soon will be developed. However, the commenters 
did not provide specific examples of such applications. BIS is seeking 
specific examples to assess whether it should propose to the 
Departments of State and Defense further amendments to the 
International Traffic in Arms Regulations (ITAR) and the Export 
Administration Regulations (EAR) as part of the Administration's Export 
Control Reform Initiative.

DATES: Comments should be received no later than September 2, 2014.

ADDRESSES: Comments may be submitted:
     Via the Federal eRulemaking Portal: http://www.regulations.gov. The identification number for this rulemaking is 
BIS-2012-0045.
     By email directly to publiccomments@bis.doc.gov. Include 
``Military Electronics Notice of Inquiry'' in the subject line.
     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 
``Military Electronics Notice of Inquiry.''

FOR FURTHER INFORMATION CONTACT: Brian Baker, Director, Electronics and 
Materials Division, Office of National Security and Technology Transfer 
Controls, (202) 482-5534, brian.baker@bis.doc.gov.

SUPPLEMENTARY INFORMATION: 

Background

    The Bureau of Industry and Security (BIS) publishes this notice of 
inquiry to request comments from the public on examples of civil uses 
of certain (1) MMIC power amplifiers and (2) discrete power 
transistors, both of which operate at frequencies exceeding 2.7 GHz, 
and (3) bi-static/multi-static radar that exploits greater than 125 kHz 
bandwidth and is lower than 2 GHz center frequency to passively detect 
or track using radio frequency (RF) transmissions (e.g., commercial 
radio or television stations). Simultaneously with the publication of 
this notice, the Department of State is publishing a final rule 
expressing Category XI of the United States Munition List (USML) in 
positive terms and removing from that category items the President 
determined no longer warrant control on the USML (herein the State 
final military electronics rule), and BIS is publishing a final rule 
adding those items to the Commerce Control List (herein the BIS final 
military electronics rule). Both rules are being published after review 
by the Departments of State, Defense and Commerce of public comments on 
the proposed rules. Some comments received in response to those rules 
suggested that certain commodities that were retained on the USML and 
other commodities that were added to a ``600 series'' Export Control 
Classification Number (ECCN) may have or soon will have substantial 
civil end uses. BIS is now seeking specific information about the uses 
of certain MMIC power amplifiers and discrete microwave transistors 
that would assist it in determining whether those devices would be 
appropriately controlled under a ``600 series'' or under a non-``600 
series'' ECCN. The ``600 series'' ECCNs typically control items of a 
military nature whereas non-``600 series'' ECCNs typically control 
items that, although they often have military applications, also have 
substantial civil applications. BIS is also seeking specific 
information that would assist in determining whether control of certain 
bi-static and multi-static radar that passively detects or tracks 
objects using radio frequency (RF) transmissions (e.g., commercial 
radio or television stations) would be appropriately controlled under 
the ITAR or under the EAR.

MMIC Amplifiers and Discrete Microwave Transistors

    There are three rules, currently published or in development, that 
impact MMIC amplifiers and discrete microwave transistors: The rule 
implementing the decisions of the 2013 plenary meeting of the Wassenaar 
Arrangement on Export Controls for Conventional Arms and Dual-Use Goods 
and Technologies (herein the Wassenaar 2013 rule), the BIS final 
military electronics rule, and the State final military electronics 
rule. The Wassenaar 2013 rule, which is currently under development, is 
expected to publish and go into effect before the BIS final military 
electronics rule and the State final military electronics rule become 
effective. When both the Wassenaar 2013 rule and the BIS final military 
electronics rule are effective, BIS expects that no unclassified MMIC 
power amplifiers or discrete microwave transistors will be controlled 
under the USML. When all three rules are effective, BIS expects that 
all unclassified MMIC power amplifiers will be controlled under ECCN 
3A611.c or ECCN 3A001.b.2 or will be designated EAR99. Discrete 
microwave transistors will be controlled under ECCN 3A611.d, 3A001.b.3, 
3A001.h or EAR99.
    Commenters on the proposed rule that led to the BIS military 
electronics final rule stated use of these amplifiers and transistors 
enable the production of devices with more power, greater efficiency 
and fewer parts, goals that are common to civil and military electronic 
device design. The commenters mentioned several actual or potential 
civil uses for the MMIC power amplifiers and discrete microwave 
transistors proposed for control in ECCN 3A611.c and .d. Those uses 
included: Wi Fi, Wi Max, point-to-point radios for cellular backhaul, 
commercial Ka-band used in commercial satellite-based wireless internet 
ground stations, V-Band radios used in small commercial cellular 
networks, and civil air traffic control systems. However, the 
commenters did not provide specific examples of such uses. Therefore, 
the final rule made only four very limited changes to proposed 3A611.c 
and .d as a result of the review of the public comments. Those changes 
were increases to the power added efficiency threshold for MMIC power 
amplifiers and discrete microwave transistors in the frequency ranges 
from greater than 2.7 GHz up to and including 2.9 GHz and greater than 
2.9 GHz up to and including 3.2 GHz.

[[Page 37549]]

    BIS is seeking information that would help answer whether any of 
the MMIC power amplifiers that will be controlled under ECCN 3A611.c 
and .d upon the effective date of the BIS final military electronics 
rule actually have sufficient civil applications that would justify 
controlling them under ECCN 3A001.b.2 and .b.3, as those paragraphs are 
expected to be revised by the Wassenaar 2013 rule, respectively. 
Specific information that identifies actual uses of the MMIC power 
amplifiers and discrete microwave transistors that were included in 
ECCN 3A611 in the BIS final military electronics rule is needed. To the 
extent feasible, the information should identify product names, models, 
quantity, and total value of the MMIC power amplifiers and discrete 
microwave transistors used in those products.

MMIC Power Amplifiers

    When the Wassenaar 2013 rule and the BIS final military electronics 
rule are effective, BIS expects that the Commerce Control List (CCL) 
will control MMIC power amplifiers as described below.
    ECCNs 3A001.b.2 and 3A611.c will each control MMICs that operate at 
frequencies exceeding 2.7 GHz.
    ECCN 3A001.b.2 will control MMIC power amplifiers that operate in 
12 frequency ranges. It applies the additional parameter of peak 
saturated power output and, in 10 of the operating frequency ranges, 
fractional bandwidth to identify the MMIC power amplifiers that it 
controls.
    ECCN 3A611.c will distinguish the MMIC power amplifiers that it 
will control from those in the same operating frequency range that ECCN 
3A001.b.2 will control by specifying a higher fractional bandwidth 
value, or a higher peak saturated power output value or both, or by 
specifying the same fractional bandwidth and peak saturated power 
output values but also specifying a specified power added efficiency 
value.
MMIC 3A001.b.2 and 3A611.c Comparison Table
    The following table lists the control parameters for ECCNs 
3A001.b.2 and 3A611.c. Note that the parameters for 3A001.b.2 are the 
parameters adopted by Wassenaar Arrangement 2013 plenary meeting for 
Dual-Use Category 3.A.1.b.2 (that is expected to be implemented in the 
forthcoming Wassenaar 2013 rule) and the parameters for 3A611.c are 
those set forth in the BIS final military electronics rule. The first 
column lists the operating frequency ranges. The second column lists 
the additional control parameters in each frequency range that will be 
listed in 3A001.b.2. The third column lists the additional control 
parameters in each frequency range that will be listed in 3A611.c. 
Within the third column, the parameters that will cause a MMIC power 
amplifier to be controlled under ECCN 3A611.c rather than 3A001.b.2 are 
in italics.
    If a MMIC power amplifier operates at frequencies in more than one 
operating frequency range, the range with the lowest peak saturated 
power output applies.
    A MMIC power amplifier is controlled under the applicable ECCN if 
it meets or exceeds the additional parameters anywhere within the 
specified operating frequency range. It need not meet those parameters 
throughout the entire operating frequency range.
    Because of the EAR's CCL Order of Review (Supplement No. 4 to Part 
774), a MMIC power amplifier that meets the additional parameters of 
both 3A611.c and 3A001.b.2 will be controlled by 3A611.c.
    In the ``additional parameters'' columns, ``FB'' means ``fractional 
bandwidth;'' ``PSPO'' means ``peak saturated power output;'' and 
``PAE'' means ``power added efficiency.''

------------------------------------------------------------------------
                                    3A001.b.2
                                    Additional
                                parameters  (from    3A611.c Additional
   Operating frequency range       forthcoming     Parameters  (from BIS
                                    Wassenaar          final military
                                 Arrangement 2013    electronics rule)
                                      rule)
------------------------------------------------------------------------
>2.7 GHz & <=2.9 GHz..........  FB >15% & PSPO     FB >15% & PSPO >75W
                                 >75W (48.75dBm).   (48.75dBm) & PAE =55% or FB
                                                    60% &
                                                    PSPO 150W
                                                    (51.8dBm).
>2.9 GHz & <=3.2 GHz..........  FB >15% & PSPO     FB >15% & PSPO >55W
                                 >55W (47.4dBm).    (47.4dBm) & PAE =55% or FB
                                                    55% &
                                                    PSPO 110W
                                                    (50.4dBm).
>3.2 GHz & <=3.7 GHz..........  FB >15% & PSPO     FB >15% & PSPO >40W
                                 >40W (46dBm).      (46dBm) & PAE =45% or FB
                                                    50% &
                                                    PSPO 80W
                                                    (49dBm).
>3.7 GHz & <=6.8 GHz..........  FB >15% & PSPO     FB >15% & PSPO >20W
                                 >20W (43dBm).      (43dBm) & PAE =40% or FB
                                                    45% &
                                                    PSPO 40W
                                                    (46dBm).
>6.8 GHz & <=8.5 GHz..........  FB >10% & PSPO     FB >10% & PSPO >10W
                                 >10W (40dBm).      (40.0dBm) & PAE =40% or FB
                                                    40% PSPO
                                                    20W
                                                    (43dBm).
>8.5 GHz & <=16 GHz...........  FB >10% & PSPO     FB >10% & PSPO >5W
                                 >5W (37dBm).       (37dBm) & PAE =35% or FB
                                                    40% &
                                                    PSPO 10W
                                                    (40dBm).
>16 GHz & <=31.8 GHz..........  FB >10% & PSPO     FB >10% & PSPO >3W
                                 >3W (34.77dBm).    (34.77dBm) & PAE =20%.
>31.8 GHz & <=37 GHz..........  PSPO >0.1 nW (-70  PSPO >2W (33dBm).
                                 dBm).
>37 GHz & <=43.5 GHz..........  FB >10% & PSPO     FB >10% & PSPO >1W
                                 >1W (30 dBm).      (30dBm) & PAE =15%.
>43.5 GHz & <=75 GHz..........  FB >10% & PSPO     FB >10% & PSPO >31.62
                                 >31.62 mW (15      mW (15dBm) & PAE =10%.
>75 GHz & <=90 GHz............  FB >5% & PSPO      FB >5% & PSPO >10mW
                                 >10mW (10 dBm).    (10dBm) & PAE =10%.
>90 GHz.......................  PSPO >0.1nW (-70   If operating
                                 dBm).              frequency range is
                                                    >90 GHz & <=110 GHz.
                                                    PSPO 1.0mW (0dBm). If
                                                    operating frequency
                                                    range is >110 GHz.
                                                    PSPO 100
                                                    nW (-40dBm).
------------------------------------------------------------------------

Discrete Microwave Transistors

    When the Wassenaar 2103 rule and the BIS final military electronics 
rules are effective, BIS expects that the CCL will control discrete 
microwave transistors as described below.
    ECCN 3A001.b.3 will divide the discrete microwave transistors into 
11 operating frequency ranges and will use the additional control 
parameter of peak saturated power output to identify the discrete 
microwave transistors that it controls.
    ECCN 3A611.d will distinguish the discrete microwave transistors 
that it controls from those in the same frequency range that are 
controlled by

[[Page 37550]]

ECCN 3A001.b.3 by specifying a higher value for peak saturated power 
output, or by specifying a value for power added efficiency or both.
Discrete Microwave Transistor ECCN 3A001.b.3 and 3A611.d Comparison 
Table
    The following table lists the control parameters for ECCNs 
3A001.b.3 and 3A611.d. Note that the parameters for 3A001.b.3 are the 
parameters adopted by the Wassenaar Arrangement 2013 plenary meeting 
for Dual-Use Category 3.A.1.b.3 (that will be implemented in the 
forthcoming Wassenaar 2103 rule) and the parameters for 3A611.d are 
those set forth in the BIS final military electronics rule. The first 
column lists the operating frequency ranges. The second column lists 
the additional control parameters in each frequency range listed in 
3A001.b.3. The third column lists the additional control parameters in 
each frequency range listed in 3A611.d. Within the third column, the 
parameters that cause a discrete microwave transistor to be controlled 
under ECCN 3A611.d rather than 3A001.b.3 are in italics.
    If a discrete microwave transistor operates at frequencies in more 
than one operating frequency range, the range with the lowest peak 
saturated power output applies. A discrete microwave transistor is 
controlled under the applicable ECCN if it meets or exceeds the 
additional parameters anywhere within the specified operating frequency 
range. It need not meet those parameters throughout the entire 
operating frequency range.
    Because of the EAR's CCL Order of Review (Supplement No. 4 to Part 
774), a discrete microwave transistor that meets the additional 
parameters of both 3A611.d and 3A001.b.3 is controlled by 3A611.d.
    In the ``additional parameters'' columns, ``FB'' means ``fractional 
bandwidth;'' ``PSPO'' means ``peak saturated power output;'' and 
``PAE'' means ``power added efficiency.''

------------------------------------------------------------------------
                                    3A001.b.3
                                    Additional
                                parameters  (from    3A611.d Additional
   Operating frequency range       forthcoming     parameters  (from BIS
                                    Wassenaar          final military
                                 Arrangement 2013    electronics rule)
                                      rule)
------------------------------------------------------------------------
>2.7 GHz & <=2.9 GHz..........  PSPO >400W         PSPO >400W (56dBm) &
                                 (56dBm).           PAE =60%.
>2.9 GHz & <=3.2 GHz..........  PSPO >205W (53.12  PSPO >205W (53.12dBm)
                                 dBm).              & PAE =60%.
>3.2 GHz & <=3.7 GHz..........  PSPO >115W         PSPO >115W (50.61dBm)
                                 (50.61dBm).        & PAE =45%.
>3.7 GHz & <=6.8 GHz..........  PSPO >60W          PSPO >60W (47.78dBm)
                                 (47.78dBm).        & PAE =45%.
>6.8 GHz & <=8.5 GHz..........  PSPO >50W (47dBm)  PSPO >50W (47dBm) &
                                                    PAE =50%.
>8.5 GHz & <=12 GHz...........  PSPO >15W          PSPO 20W
                                 (41.76dBm).        (43dBm) & PAE =35%.
>12 GHz & <=16 GHz............  PSPO >40W (46dBm)  PSPO >40W(46dBm) &
                                                    PAE =35%.
>16 GHz & <=31.8 GHz..........  PSPO >7W           PSPO 20W
                                 (38.45dBm).        (43dBm) & PAE =30%.
>31.8 GHz & <=37 GHz..........  PSPO >0.5W         PSPO 2W
                                 (27dBm).           (33dBm).
>37 GHz & <=43.5 GHz..........  PSPO >1W (30dBm).  PSPO >1W (30dBm) &
                                                    PAE =20%.
>43.5 GHz.....................  PSPO >0.1nW (-     If operating
                                 70dBm)..           frequency range is
                                                    >43.5 GHz & <=75 GHz
                                                   PSPO 0.5W
                                                    (27 dBm) & PAE =15%
                                                   If operating
                                                    frequency range is
                                                    >75 GHz
                                                   PSPO 0.1W
                                                    (20dBm).
------------------------------------------------------------------------

Bi-Static and Multi-Static Radar

    When the rule becomes effective, the State final military 
electronics rule will control in USML Category XI(a)(3)(xxvii) bi-
static and multi-static radar that exploits greater than 125 kHz 
bandwidth and is lower than 2 GHz center frequency to passively detect 
or track using radio frequency (RF) transmissions (e.g., commercial 
radio or television stations). Commenters on the proposed rule leading 
to the State final military electronics rule expressed concern over 
this text, asserting that bi-static radar that would meet this control 
parameter is currently being developed as part of an initiative to 
develop capabilities to improve flight safety in the vicinity of UAV 
operations and airports not controlled by traditional air traffic 
management. The comments asserted that bi-static radar will be used as 
an airborne collision avoidance system for civil UAVs and for possible 
application to general aviation aircraft. The comments also asserted 
that essentially the same system as those proposed to be controlled by 
paragraph Category XI(a)(3)(xxvii) can be installed at ground based 
locations to provide air traffic information regarding aircraft not 
equipped with transponders to aircraft operating around uncontrolled 
airports. However, the commenters did not provide specific examples of 
such uses.
    BIS would like to verify whether the bi-static/multi-static radar 
described above is in fact in use in civil air traffic control, 
collision avoidance or weather radar in sufficient quantities to 
justify moving such radar to the CCL. Specific information that 
identifies actual uses of the bi-static/multi-static radar enumerated 
in USML Category XI(a)(3)(xxvii) is needed. To the extent feasible, the 
information should identify product names, models, quantity and value 
of the bi-static and multi-static radar used in those products.

Request for comments

    BIS is seeking specific examples of actual civil use of the MMIC 
power amplifiers, discrete microwave transistors, and bi-static or 
multi-static radar as described above. As stated under the DATES 
caption to this notice, comments should be received no later than 
September 2, 2014.

    Dated: June 19, 2014.
Kevin J. Wolf,
Assistant Secretary for Export Administration.
[FR Doc. 2014-14682 Filed 6-30-14; 8:45 am]
BILLING CODE 3510-33-P