Source: https://www.federalregister.gov/documents/2004/04/29/04-9540/december-2003-wassenaar-arrangement-plenary-agreement-implementation-categories-1-2-3-4-5-6-and-7-of
Timestamp: 2018-08-15 19:45:58
Document Index: 717431128

Matched Legal Cases: ['art 1', 'art 2', 'art 774', 'arts 770', 'arts 730', 'art 774', 'art 774', 'art 121', 'art 774', 'art 774', 'art 774', 'art 774', 'arts 1', 'arts 2', 'art 774', 'art 774', 'art 774', 'art 121', 'art 774', 'art 774', 'art 774', 'art\n15', 'art 774', 'art 774', 'art 774', 'art 774', 'art 774', 'art 774', 'art 774', 'art 774', 'art 121', 'art 774', 'art 774', 'art 1', 'art 774', '§\u2009770', 'art 774', 'art 774', 'art 774', 'art 774', 'art 774', 'art 774', 'art 774', 'art 121', 'art 774', 'art 774', 'art 774']

Federal Register :: December 2003 Wassenaar Arrangement Plenary Agreement Implementation: Categories 1, 2, 3, 4, 5, 6, and 7 of the Commerce Control List, and Reporting Requirements; and Interpretation Regarding NUMA Technology
69 FR 23597
23597-23615 (19 pages)
Docket No. 040414115-4115-01
0694-AD00
04-9540
Category 1—Materials, Chemicals, “Microorganisms,” and Toxins
Category 5—Part I—Telecommunications
Category 5—Part II—Information Security
Category 6—Sensors
(l) Interpretation 12: Computers.* * *
2B002 Numerically controlled machine tools using a magnetorheological finishing (MRF) process
2B006 Dimensional inspection or measuring systems and equipment, as follows (see List of Items Controlled)
2B206 Dimensional inspection machines, instruments or systems, other than those described in 2B006, as follows (see List of Items Controlled)
3A003 Spray cooling thermal management systems employing closed loop fluid handling and reconditioning equipment in a sealed enclosure where a dielectric fluid is sprayed onto electronic components using specially designed spray nozzles that are designed to maintain electronic components within their operating temperature range, and specially designed components therefor
3B001 Equipment for the manufacturing of semiconductor devices or materials, as follows (see List of Items Controlled), and specially designed components and accessories therefor.
3B002 “Stored program controlled” test equipment, specially designed for testing finished or unfinished semiconductor devices, as follows (see List of Items Controlled), and specially designed components and accessories therefor
3D002 “Software” specially designed for the “use” of any of the following (see List of Items Controlled)
3D003 Physics-based simulation “software” specially designed for the “development” of lithographic, etching or deposition processes for translating masking patterns into specific topographical patterns in conductors, dielectrics or semiconductor materials
3D004 “Software” specially designed for the “development” of the equipment controlled by 3A003
3D991 “Software” specially designed for the “development”, “production”, or “use” of electronic devices or components controlled by 3A991, general purpose electronic equipment controlled by 3A992, or manufacturing and test equipment controlled by 3B991 and 3B992; or “software” specially designed for the “use” of equipment controlled by 3B001.g and .h
3E001 “Technology” according to the General Technology Note for the “development” or “production” of equipment or materials controlled by 3A (except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B (except 3B991 or 3B992) or 3C
3E002 “Technology” according to the General Technology Note other than that controlled in 3E001 for the “development” or “production” of “microprocessor microcircuits”, “micro-computer microcircuits” and microcontroller microcircuits having a “composite theoretical performance” (“CTP”) of 530 million theoretical operations per second (MTOPS) or more and an arithmetic logic unit with an access width of 32 bits or more
3E003 Other “technology” for the “development” or “production” of items described in the List of Items Controlled
4A994 Computers, “electronic assemblies”, and related equipment not controlled by 4A001, or 4A003, and specially designed components therefor
5A002 Systems, equipment, application specific “electronic assemblies”, modules and integrated circuits for “information security”, as follows (see List of Items Controlled), and other specially designed components therefor
6A006 “Magnetometers”, “magnetic gradiometers”, “intrinsic magnetic gradiometers” and compensation systems, and specially designed components therefor, as follows (see List of Items Controlled)
6E003 Other “technology”, as follows (see List of Items Controlled)
7A003 Inertial Systems and specially designed components therefor
https://www.federalregister.gov/d/04-9540 https://www.federalregister.gov/d/04-9540
Start Preamble Start Printed Page 23598
The Bureau of Industry and Security (BIS) maintains the Commerce Control List (CCL), which identifies items subject to Department of Commerce export controls. This final rule revises certain entries controlled for national security reasons in Categories 1, 2, 3, 4, 5 Part I (telecommunications), 5 Part II (information security), 6, and 7 to conform with changes in the List of Dual-Use Goods and Technologies 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). The Wassenaar Arrangement focuses on implementation of effective export controls on strategic items with the objective of improving regional and international security and stability.
The purpose of this final rule is to make the necessary changes to the Commerce Control List to implement revisions to the Wassenaar List that were agreed upon in the December 2003 meeting. In addition, this rule adds a paragraph to Interpretation 12 “Computers” to provide guidance as to how to calculate the Composite Theoretical Performance (CTP) for computer systems with “non-uniform memory access” (NUMA) architecture, and to define NUMA.
Effective Date: This rule is effective April 29, 2004.
Category 2: George Loh 202-482-3570
Category 3: Dave Ports 202-482-9164 or Brian Baker 202-482-9135
Category 4 and 5 part 1: Joe Young 202-482-4197
Category 5 part 2: Norm La Croix 202-482-4439
Category 6: Chris Costanzo (night vision) 202-482-0718 or Wayne Hovis (lasers) 202-482-1837
Categories 7 and 8: Dan Squire 202-482-3710
Categories 8 and 9: Gene Christensen 202-482-2984
This rule revises a number of national security controlled entries on the Commerce Control List (CCL) to conform with December 2003 revisions to the Wassenaar List of Dual-Use Goods and Technologies. This rule also revises language to provide a complete or more accurate description of controls. A detailed description of the revisions to the CCL is provided below.
ECCN 1A005 is amended by:
(a) Revising note 2 in the Related Controls paragraph and moving it to a Note in the Items paragraph in the List of Items Controlled section;
(b) Moving note 3 in the Related Controls paragraph to a Note in the Items paragraph in the List of Items Controlled section; and
(c) Adding a new note 2 in the Related Controls paragraph of the List of Items Controlled section to point to a related control in ECCN 1C010 concerning the “fibrous or filamentary materials” used in the manufacture of body armor.
ECCN 2B001 is amended by:
(a) Revising the heading to add “specially designed components” (inserting “and specially designed components” in the 2B001 heading before the words “as follows” simply makes the heading consistent with the inclusion of “and specially designed components therefor” in 2B001.f and does not impose a new license requirement for specially designed components for the other 2B001 sub-items); and
(b) Adding a new note 3 to the beginning of the Items paragraph in the List of Items Controlled section that reads, “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.”
ECCN 2B002 is added to the CCL to control exports and reexports of “Numerically controlled machine tools using a magnetorheological finishing (MRF) process” for national security (NS) and anti-terrorism (AT) reasons.
ECCN 2B006 is amended by revising the note for 2B006.b.2 to provide that “laser light” is an example of “collimated light”.
ECCN 2B206 is amended by adding a paragraph 2B206.c that will duplicate text from 2B006.b.2, without, however, the “laser light” example of “collimated light” in the note, because the “laser light” example has not been adopted by the Nuclear Supplier's Group.
ECCN 2D002 is amended by adding a second note to the Items paragraph of the List of Items Controlled section to read, “2D002 does not control ‘software’ for items controlled by 2B002. See 2D001 for control of ‘software’ for items controlled by 2B002.”
Category 2E—Materials Processing “Notes to Table on Deposition Techniques” is amended by adding to the end of note 17, “or molds, for casting or molding of plastics, manufactured from alloys containing less than 5% beryllium.”
(a) Revising the parameter “31 GHz” to read “31.8 GHz” in paragraph (b) of Notes 1 and 2 for 3A001.b.1, and 3A001.b.1.a.1;
(b) Revising 3A001.b.2 (including subparagraphs) to control microwave monolithic integrated circuits with newly revised parameters;
(c) Revising Note 1 for 3A001.b.2; Start Printed Page 23599
(d) Adding two new notes for 3A001.b.2;
(e) Revising 3A001.b.3 to add parameters and a Note;
(f) Revising 3A001.b.4 to add parameters, a nota bene (N.B.), and two Notes; and
(g) Removing and reserving 3A001.b.6 “certain ‘microwave assemblies' ”, and reference to such commodity in the Related Controls paragraph of the List of Items Controlled section of 3A001.
(a) Revising the parameter for frequency synthesized signal generators in 3A002.d.1;
(b) Adding a new parameter in 3A002.d.2;
(c) Redesignating paragraphs 2 and 3 as paragraphs 3 and 4; and
(d) Adding a Technical Note for 3A002.d.1 regarding “pulse duration”.
ECCN 3A003 is added to control certain “spray cooling thermal management systems” and “specially designed components therefor”.
(a) Removing the term “Stored program controlled” from 3B001.a, .b, .c, .d, .e, and .f.
(b) Revising the parameters in 3B001.a.1 for equipment designed for epitaxial growth;
(c) Revising the parameters in 3B001.b.4 for equipment designed for ion implantation;
(d) Revising the parameters in 3B001.d.1 for plasma enhanced CVD equipment with cassette-to-cassette operation and load-locks;
(e) Revising the parameters in 3B001.d.2 for plasma enhanced CVD equipment specially designed for automatic loading multi-chamber central wafer handling systems controlled in 3B001.e; and
(f) Adding a Note to 3B001.h for “Multi-layer masks with a phase shift layer”.
ECCN 3B002 is amended by:
(a) Revising the frequency parameter from “31 GHz” to read “31.8 GHz” in 3B002.a;
(b) Revising the parameter for test equipment for testing integrated circuits capable of performing functional (truth table) testing at a pattern rate of more than “333 MHz” to read “667 MHz” in 3B002.b;
For commodities no longer controlled under ECCN 3B002, there is a license requirement under ECCN 3B992 for exports and reexports to AT Column 1 countries of the Commerce Country Chart.
ECCN 3D002 is amended by revising the Heading and adding paragraphs to the List of Items Controlled to remove “use” software for 3B001.g and .h (masks, reticles, and multi-layer masks) from this entry.
For commodities no longer controlled under ECCN 3D002, there is a license requirement under ECCN 3D991 for exports and reexports to AT Column 1 countries of the Commerce Country Chart.
ECCN 3D003 is amended by revising the Heading to include the items to be controlled by this ECCN, removing the note in Related Controls, removing Note 2 in the Related Definitions paragraph, adding a new Note 2 to define “Physics-based,” and deleting all paragraphs under Items paragraph of the List of Items Controlled section.
ECCN 3D004 is added to control “software” specially designed for the “development” of the equipment controlled by the newly added ECCN 3A003 “spray cooling thermal management systems and specially designed components therefor”.
ECCN 3D991 is amended by revising the Heading to add “software” specially designed for the “use” of equipment controlled by 3B001.g and .h (masks, reticles, and multi-layer masks).
ECCN 3E001 is amended by revising Note 1 and adding Note 2 to read “3E001 does not control ‘technology’ for the ‘production’ of equipment or components controlled by 3A003.”
ECCN 3E002 is amended by revising the Note in the List of Items Controlled to remove reference to certain microwave transistors.
ECCN 3E003 is amended by adding a Note for 3E003.b concerning high electron mobility transistors (HEMT); and revising the frequency from “31 GHz” to “31.8 GHz” in Note 1 of the Related Controls paragraph, as well as in paragraph 3E003.g “Electronic vacuum tubes”.
ECCN 4A002 is deleted from the CCL.
For commodities no longer controlled under ECCN 4A002, there is a license requirement under ECCN 4A994 for exports and reexports to AT Column 1 countries of the Commerce Country Chart. The software and technology for the “development”, “production”, and “use” of this commodity will move from 4D001 to 4D994, and 4E001 to 4E992, respectively.
ECCN 4A994 is amended by revising the Heading and adding paragraph 4A994.k to control commodities that were previously controlled by ECCN 4A002. In addition, this rule adds an explanatory note contained in the List of Items Controlled section of ECCN 4A003 to ECCN 4A994, to clarify that the control status of the listed items is determined the same way for both ECCNs.
Composite Theoretical Performance (CTP) Calculation formula is amended to add a nota bene (N.B.) just below the heading to reference a new paragraph (3) to paragraph 770.2(1) Interpretation 12: “Computers”, which now provides guidance as to how to calculate the Composite Theoretical Performance (CTP) for computer systems with “Non-Uniform Memory Access” (NUMA) architecture, and defines NUMA.
ECCN 5B001 is amended by:
(a) Removing the term “stored program controlled” from 5B001.b;
(b) Removing the phrase “including ‘Asynchronous Transfer Mode’ (‘ATM’)” from 5B001.b.1;
(c) Revising the “total digital transfer rate” parameter from “1.5 Gbit/s” to “15 Gbit/s” in 5B001.b.1; and
(d) Adding a Technical Note after 5B001.b.1 to define “total digital transfer rate”.
For commodities no longer controlled under ECCN 5B001, there is a license requirement under ECCN 5B991 for exports and reexports to AT Column 1 countries of the Commerce Country Chart.
(a) Removing the term “stored program controlled” from 5D001.d;
(b) Removing the phrase “including ‘Asynchronous Transfer Mode’ (‘ATM’)” from 5D001.d.1;
(c) Revising the “total digital transfer rate” parameter from “1.5 Gbit/s” to “15 Gbit/s” in 5D001.d.1; and
(d) Adding a Technical Note after 5D001.d.1 to define “total digital transfer rate”.
For commodities no longer controlled under ECCN 5D001, there is a license requirement under ECCN 5D991 for exports and reexports to AT Column 1 countries of the Commerce Country Chart.
(a) Removing the term “stored program controlled” from 5E001.c;
(b) Removing the phrase “including ‘Asynchronous Transfer Mode’ (‘ATM’)” from 5E001.c.1;
(c) Revising the “total digital transfer rate” parameter from “1.5 Gbit/s” to “15 Gbit/s” in 5E001.c.1;
(d) Adding a Technical Note after 5E001.c.1 to define “total digital transfer rate”; and
(e) Revising the frequency parameter from “31 GHz” to “31.8 GHz” in 5E001.c.4.b.
For commodities no longer controlled under ECCN 5E001, there is a license requirement under ECCN 5E991 for Start Printed Page 23600exports and reexports to AT Column 1 countries of the Commerce Country Chart.
ECCN 5A002 is amended by removing and reserving 5A002.a.7, which read “Designed or modified to provide certified or certifiable ‘multilevel security’ or user isolation at a level exceeding Class B2 of the Trusted Computer System Evaluation Criteria (TCSEC) or equivalent;”
(a) Revising the parameter for towed acoustic hydrophone arrays by adding the phrase “ ‘or able to be modified’ to have hydrophone group spacing of less than 12.5 m;” to the existing parameter in 6A001.a.2.b.1; and
(b) Revising the reference in the Technical Note from “6A001.a.2.b.2” to read “6A001.a.2.b”.
ECCN 6A003 is amended by:
(a) Revising the parameter in 6A001.b.1 for video cameras incorporating solid state sensors by adding three new parameters to control these video cameras when they have optical mirrors controlled by 6A004.a, optical control equipment controlled by 6A004.d, or the capability for annotating internally generated camera tracking data; and
(b) Adding Technical Note 2 to explain camera tracking data.
(a) Repositioning the two Notes under 6A005.b.4 to under 6A005.b. Note 1 explains 6A005.b includes semiconductor “lasers” having optical output connectors (e.g., fiber optic pigtails); and Note 2 explains that the control status of semiconductor “lasers” specially designed for other equipment is determined by the control status of the other equipment;
(b) Revising the wavelength ranges and CW output variations for individual multiple-transverse mode semiconductor “lasers” in 6A005.b.2 (including all subparagraphs);
(c) Revising the wavelength ranges and CW output variations for individual semiconductor “laser” arrays in 6A005.b.3 (including all subparagraphs);
(d) Adding a control paragraph 6A005.b.4 for array stacks of semiconductor “lasers” containing at least one array that is controlled under 6A005.b.3; and
(e) Adding Technical Notes 2 and 3 to 6A005.b.4 to explain “array” and “array stack”.
ECCN 6A006 is amended by adding to 6A006.a a new parameter “or triaxial fluxgate” for magnetometers.
ECCN 6E003 is amended by adding a new parameter “non-triaxial” in 6E003.f for fluxgate magnetometers and fluxgate magnetometer systems.
Removing nota bene (N.B.) number 2 “For inertial navigation equipment for ships or submersibles, see Item 9.e on the Wassenaar Munitions List.” from Category 7.
ECCN 7A003 is amended by:
(a) Revising the phrase “Inertial Navigation Systems (INS)” to read “Inertial Systems” in the Heading;
(b) Revising the phrase “Inertial navigation systems” to read “Inertial Navigation Systems (INS)”, and adding “vessels (surface or underwater)” to 7A003.a;
(c) Adding a new paragraph 7A003.c to control “Inertial Equipment for Azimuth, Heading, or North Pointing.” Specific parameters for this equipment are also added in 7A003.c.1 and c.2; and
(d) Adding Note 3 to read, “7A003.c.1 does not control theodolite systems incorporating inertial equipment specially designed for civil surveying purposes.”
All items removed from national security (NS) controls as a result of changes to the Wassenaar List of Dual-Use Goods and Technologies will continue to be controlled for antiterrorism (AT) reasons.
In addition, this rule adds a paragraph (3) to paragraph 770.2(1) Interpretation 12: “Computers” to provide guidance as to how to calculate the Composite Theoretical Performance (CTP) for computer systems with “Non-Uniform Memory Access” (NUMA) architecture, and to define NUMA. In the CTP formula found in Supplement No. 1 to part 774, Category 4, there are two ways to calculate the CTP values of computers with multiple processors: the shared memory and non-shared memory methods. The use of either one of these two methods was well understood back in the early 1990's when computers were either symmetric multi-processor (SMP) systems or massively parallel systems. With the advancement of high-performance and relatively inexpensive microprocessors, NUMA has emerged as a popular computer architecture. All major manufacturers offer a product line based on NUMA. Because NUMA has established itself as a dominant technology, it became necessary to clarify how the CTP values of NUMA machines should be calculated. About two years ago, the Information Systems Technical Advisory Committee (ISTAC) examined the CTP calculation for NUMA machines. A consensus was reached in the Committee to apply the non-shared method in calculating CTP values for NUMA machines. By publishing this interpretation, we harmonize across the computer industry how the CTP values of NUMA machines should be determined.
Although the Export Administration Act expired on August 20, 2001, Executive Order 13222 of August 17, 2001 (66 FR 44025, August 22, 2001), as extended by the Notice of August 7, 2003, (68 FR 47833, 2003 WL 21877490), continues the Regulations in effect under the International Emergency Economic Powers Act
Shipments of items removed from eligibility for export or reexport without a license, under a particular License Exception authorization or the designator NLR, as a result of this regulatory action, may continue to be exported or reexported under that License Exception authorization or designator until June 1, 2004. In addition, this rule revises the numbering and structure of certain entries on the Commerce Control List. For items under such entries and for July 28, 2004, BIS will accept license applications for items described either by the entries in effect immediately before April 29, 2004, or the entries described in this rule.
2. Notwithstanding any other provision of law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with a collection of information, subject to the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA), unless that collection of information displays a currently valid Office of Management and Budget (OMB) Control Number. This rule involves a collection of information subject to the PRA. This collection has been approved by OMB under control number 0694-0088, “Multi-Purpose Application,” which carries a burden hour estimate of 58 minutes for a manual or electronic submission. Send comments regarding these burden estimates or any other aspect of these collections of information, including suggestions for reducing the burden, to OMB Desk Officer, New Executive Office Building, Washington, DC 20503; and to the Office of Administration, Bureau of Industry and Security, Start Printed Page 23601Department of Commerce, 14th and Pennsylvania Avenue, NW., Room 6883, Washington, DC 20230.
Accordingly, parts 770 and 774 of the Export Administration Regulations (15 CFR parts 730-799) are amended as follows:
2. Section 770.2 is amended by adding paragraph (l)(3) and Note to paragraph (l)(3), to read as follows:
(3) Computer systems with “non-uniform memory access” (NUMA) architecture should use the non-shared memory method in determining the CTP value for the system. In determining the aggregate performance of Computing Elements (CEs) for NUMA systems, exporters should follow the instructions for groups of CEs not sharing memory, interconnected by one or more data channels.
Note to paragraph (l)(3):
Non-Uniform Memory Access (NUMA): A multiprocessing architecture in which memory is separated into local and distant banks. NUMA is characterized by memory on the same processor board as the processor (local memory) is accessed faster than memory on other processor boards (distant memory).
3. The authority citation for part 774 is revised to read as follows:
4. In Supplement No. 1 to part 774 (the Commerce Control List), Category 1—Materials, Chemicals, Microorganisms, and Toxins, Export Control Classification Number (ECCN) 1A005 is amended by revising the “related controls” and “items” paragraphs in the List of Items Controlled section, to read as follows:
Related Controls: (1) Bulletproof and bullet resistant vests (body armor) NIJ levels III and IV, are subject to the export licensing authority of the U.S. Department of State, Office of Defense Trade Controls. (See 22 CFR part 121.) (2) For “fibrous or filamentary materials” used in the manufacture of body armor, see ECCN 1C010.
Note to ECCN 1A005:
1. This entry does not control body armor or protective garments when accompanying their user for the user's own personal protection.
5. In Supplement No. 1 to part 774 (the Commerce Control List), Category 2—Materials Processing, Export Control Classification Number (ECCN) 2B001 is amended by revising the Heading and revising the “items” paragraph in the List of Items Controlled section, to read as follows:
2B001 does not control special purpose machine tools limited to the manufacture of gears. For such machines, see 2B003.
2B001 does not control special purpose machine tools limited to the manufacture of any of the following parts:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
d. Engraved or faceted jewellery parts.
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 2.B001.a., b. or c.
a.1. Positioning accuracy with “all compensations available” of less (better) than 6 μm along any linear axis; and
a.2. Two or more axes which can be coordinated simultaneously for “contouring control”;
2B001.a does not control turning machines specially designed for the production of contact lenses.
b.1. Having all of the following:
b.1.a. Positioning accuracy with “all compensations available” of less (better) than 6 μm along any linear axis; and
b.1.b. Three linear axes plus one rotary axis which can be coordinated simultaneously for “contouring control”;
b.2. Five or more axes which can be coordinated simultaneously for “contouring control”;
b.3. A positioning accuracy for jig boring machines, with “all compensations available”, of less (better) than 4 μm along any linear axis; or
b.4. Fly cutting machines, having all of the following characteristics:
b.4.a. Spindle “run-out” and “camming” less (better) than 0.0004 mm TIR; and Start Printed Page 23602
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.1. Having all of the following:
c.1.a. Positioning accuracy with “all compensations available” of less (better) than 4 μm along any linear axis; and
c.1.b. Three or more axes which can be coordinated simultaneously for “contouring control”; or
c.2. Five or more axes which can be coordinated simultaneously for “contouring control”;
2B001.c does not control grinding machines, as follows:
3. 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 characteristics:
e.1. Removing material by means of any of the following:
e.1.a. Water or other liquid jets, including those employing abrasive additives;
e.1.b. Electron beam; or
e.1.c. “Laser” beam; and
e.2. Having two or more rotary axes which:
e.2.a. Can be coordinated simultaneously for “contouring control”; and
e.2.b. Have a positioning accuracy of less (better) than 0.003°;
6. In Supplement No. 1 to part 774 (the Commerce Control List), Category 2—Materials Processing, Export Control Classification Number (ECCN) 2B002 is added after 2B001 and before 2B003, to read as follows:
Related Controls: See also 2B001.
Related Definitions: For the purposes of 2B002, “MRF” is a material removal process using an abrasive magnetic fluid whose viscosity is controlled by a magnetic field.
7. In Supplement No. 1 to part 774 (the Commerce Control List), Category 2—Materials Processing, Export Control Classification Number (ECCN) 2B006 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
a. Computer controlled, “numerically controlled” or “stored program controlled” co-ordinate measuring machines (CMM), having a three dimensional length (volumetric) maximum permissible error of indication (MPEE) at any point within the operating range of the machine (i.e., within the length of axes) equal to or less (better) than (1.7 + L/1,000) μm (L is the measured length in mm) tested according to ISO 10360-2 (2001);
For the purpose of 2B006.b.1 “linear displacement” means the change of distance between the measuring probe and the measured object.
b.1.b.2. Drift equal to or less (better) than 0.1% per day at a standard ambient test room temperature ± 1 K; or
b.1.c.2. Maintaining, for at least 12 hours, over a temperature range of ± 1 K around a standard temperature and at a standard pressure, all of the following:
b.1.c.2.b. A “measurement uncertainty” equal to or less (better) than (0.2 + L/2,000) μm (L is the measured length in mm);
2B006.b.1 does not control measuring interferometer systems, without closed or open loop feedback, containing a “laser” to measure slide movement errors of machine-tools, dimensional inspection machines or similar equipment.
b.2. Angular displacement measuring instruments having an “angular position deviation” equal to or less (better) than 0.00025o;
2B006.b.2 does not control optical instruments, such as autocollimators, using collimated light (e.g., laser light) to detect angular displacement of a mirror.
c. Equipment for measuring surface irregularities, by measuring optical scatter as a function of angle, with a sensitivity of 0.5 nm or less (better).
8. In Supplement No. 1 to part 774 (the Commerce Control List), Category 2—Materials Processing, Export Control Classification Number (ECCN) 2B206 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
ECCN Controls: * * *
a.1. Two or more axes; and
a.2. A one-dimensional length “measurement uncertainty” equal to or less (better) than (1.25 + L/1000) μm tested with a probe of an “accuracy” of less (better) than 0.2 μm (L is the measured length in millimeters) (Ref.: VDI/VDE 2617 Parts 1 and 2);
(1) The probe used in determining the measurement uncertainty of a dimensional inspection system shall be described in VDI/VDE 2617 parts 2, 3 and 4.
(2) All parameters of measurement values in this entry represent plus/minus, i.e., not total band.
c. Angular displacement measuring instruments having an “angular position deviation” equal to or less (better) than 0.00025°;
2B206.c does not control optical instruments, such as autocollimators, using Start Printed Page 23603collimated light to detect angular displacement of a mirror.
9. In Supplement No. 1 to part 774 (the Commerce Control List), Category 2—Materials Processing, Export Control Classification Number (ECCN) 2D002 is amended by revising the Heading and revising the “items” paragraph in the List of Items Controlled section, to read as follows:
2D002 does not control “software” specially designed or modified for the operation of machine tools not controlled by Category 2.
2D002 does not control “software” for items controlled by 2B002. See 2D001 for control of “software” for items controlled by 2B002.
10. In Supplement No. 1 to part 774 (the Commerce Control List), Category 2—Materials Processing, “ Notes to Table on Deposition Techniques” is amended by revising note 17, to read as follows:
17. “Technology” specially designed to deposit diamond-like carbon on any of the following is not controlled: magnetic disk drives and heads, equipment for the manufacture of disposables valves for faucets, acoustic diaphragms for speakers, engine parts for automobiles, cutting tools, punching-pressing dies, office automation equipment, microphones or medical devices or molds, for casting or molding of plastics, manufactured from alloys containing less than 5% beryllium.
11. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3A001 is amended by revising the “related controls” and “items” paragraphs in the List of Items Controlled section, to read as follows:
Related Controls: (1) All other “space qualified” and radiation hardened photovoltaic arrays defined in 3A001.e.1.c and spacecraft/satellite concentrators and batteries are under the export licensing authority of the Department of State, Office of Defense Trade Controls (22 CFR part 121). See also 3A101, 3A201, and 3A991.
3A001.a.1.c does not apply to Metal Insulator Semiconductors (MIS).
a.5.a.2. A resolution of 12 bit with a total conversion time of less than 20 ns;
a.5.a.3. A resolution of more than 12 bit but equal to or less than 14 bit with a total conversion time of less than 200 ns; or
a.5.a.4. A resolution of more than 14 bit with a total conversion time of less than 1 μs;
Field programmable logic devices are also known as field programmable gate or field programmable logic arrays.
a.11.a. An equivalent gate count of more than 3,000 (2 input gates); or Start Printed Page 23604
(b) Is “allocated by the ITU” for radio-communications services, but not for radio-determination.
3A001.b.1 does not control non-“space-qualified” tubes which meet all the following characteristics:
(2) Is “allocated by the ITU” for radio-communications services, but not for radio-determination.
b.1.c. Impregnated cathodes designed for electronic tubes producing a continuous emission current density at rated operating conditions exceeding 5 A/cm 2;
b.2.a. Rated for operation at frequencies exceeding 3.2 GHz up to and including 6 GHz and with an average output power greater than 4W (36 dBm) with a “fractional bandwidth” greater than 15%;
b.2.b. Rated for operation at frequencies exceeding 6 GHz up to and including 16 GHz and with an average output power greater than 1W (30 dBm) with a “fractional bandwidth” greater than 10%;
The control status of the MMIC whose operating frequency spans more than one frequency range, as defined by 3A001.b.2., is determined by the lowest average output power control threshold.
Notes 1 and 2 following the Category 3 heading for A. Systems, Equipment, and Components mean that 3A001.b.2. does not control MMICs if they are specially designed for other applications, e.g., telecommunications, radar, automobiles.
b.3. Microwave transistors having any of the following:
The control status of an item whose operating frequency spans more than one frequency range, as defined by 3A001.b.3, is determined by the lowest average output power control threshold.
b.4. Microwave solid state amplifiers and microwave assemblies/modules containing microwave amplifiers having any of the following:
b.4.a. Rated for operation at frequencies exceeding 3.2 GHz up to and including 6 GHz and with an average output power greater than 60W (47.8 dBm) with a “fractional bandwidth” greater than 15%;
b.4.b. Rated for operation at frequencies exceeding 6 GHz up to and including 31.8 GHz and with an average output power greater than 15W (42 dBm) with a “fractional bandwidth” greater than 10%;
b.4.f. Rated for operation at frequencies above 3 GHz and all of the following:
b.4.f.1. An average output power (in watts), P, greater than 150 divided by the maximum operating frequency (in GHz) squared [P>150 W*GHz2/fGHz2];
b.4.f.3. Any two sides perpendicular to one another with length d (in cm) equal to or less than 15 divided by the lowest operating frequency in GHz [d≤15cm*GHz/fGHz].
MMIC power amplifiers should be evaluated against the criteria in 3A001.b.2.
3A001.b.4. does not control broadcast satellite equipment designed or rated to operate in the frequency range of 40.5 to 42.5 GHz.
The control status of an item whose operating frequency spans more than one frequency range, as defined by 3A001.b.4, is determined by the lowest average output power control threshold.
c.1.b.4. A dispersive delay of more than 10 μs; or Start Printed Page 23605
3A001.e.1 does not control batteries with volumes equal to or less than 27 cm 3 (e.g., standard C-cells or R14 batteries).
e.1.c. “Space qualified” and radiation hardened photovoltaic arrays with a specific power exceeding 160 W/m 2 at an operating temperature of 301 K (28°C) under a tungsten illumination of 1 kW/m 2 at 2,800 K (2,527°C);
e.3.c. Rated for a magnetic induction of more than 8 T or “overall current density” in the winding of more than 300 A/mm 2;
f.2. An accuracy better than ± 2.5 seconds of arc.
12. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3A002 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
a.1.c. A time displacement (base) error, measured in accordance with applicable IRIG or EIA documents, of less than ± 0.1 μs;
3A002.a.2 does not control digital video magnetic tape recorders specially designed for television recording using a signal format, which may include a compressed signal format, standardized or recommended by the ITU, the IEC, the SMPTE, the EBU , the ETSI, or the IEEE for civil television applications.
a.5. Waveform digitizers and transient recorders having all of the following:
See also 3A292.
b. “Frequency synthesizer”, “electronic assemblies” having a “frequency switching time” from one selected frequency to another of less than 1 ms;
c.1. “Signal analyzers” capable of analyzing frequencies exceeding 31.8 GHz but less than 37.5 GHz or exceeding 43.5 GHz;
c.2. “Dynamic signal analyzers” having a “real-time bandwidth” exceeding 500 kHz;
3A002.c.2 does not control those “dynamic signal analyzers” using only constant percentage bandwidth filters (also known as octave or fractional octave filters).
d.1. A maximum synthesized frequency exceeding 31.8 GHz, but not exceeding 43.5 GHz and rated to generate a pulse duration of less than 100 ns; Start Printed Page 23606
d.4. A single sideband (SSB) phase noise better than −(126 + 20 log10 F−20 log10 f) in dBc/Hz, where F is the off-set from the operating frequency in Hz and f is the operating frequency in MHz;
g.1. Long-term stability (aging) less (better) than 1 × 10−11/month; or
13. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3A003 is added, to read as follows:
Unit: Number of systems, components in $
14. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3B001 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
a. Equipment designed for epitaxial growth, as follows:
a.1. Equipment capable of producing any of the following:
a.1.a. A silicon layer with a thickness uniform to less than ± 2.5% across a distance of 200 mm or more; or
a.1.b. 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;
b. Equipment designed for ion implantation, having any of the following:
b.4. A beam energy of 65 keV or more and a beam current of 45 mA or more for high energy oxygen implant into a heated semiconductor material “substrate”;
c. Anisotropic plasma dry etching equipment, as follows:
c.1.a. Designed or optimized to produce critical dimensions of 0.3 μm or less with ±5% 3 sigma precision; or
c.1.b. Designed for generating less than 0.04 particles/cm2 with a measurable particle size greater than 0.1 μm in diameter;
c.2.a. Designed or optimized to produce critical dimensions of 0.3 μm or less with ±5% 3 sigma precision; or
c.2.b. Designed for generating less than 0.04 particles/cm2 with a measurable particle size greater than 0.1 μm in diameter;
d. Plasma enhanced CVD equipment, as follows:
d.1. Equipment with cassette-to-cassette operation and load-locks, and designed according to the manufacturer's specifications or optimized for use in the production of semiconductor devices with critical dimensions of 180 nm or less;
e. Automatic loading multi-chamber central wafer handling systems, having all of the following:
f. Lithography equipment, as follows:
f.1.b. Capable of producing a pattern with a minimum resolvable feature size of 0.35 μm or less;
f.2. Equipment specially designed for mask making or semiconductor device processing using deflected focused electron beam, ion beam or “laser” beam, having any of the following:
3B001.h. does not control multi-layer masks with a phase shift layer designed for the fabrication of memory devices not controlled by 3A001.
Start Printed Page 23607 Start Amendment Part
15. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3B002 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
a. For testing S-parameters of transistor devices at frequencies exceeding 31.8 GHz;
b. For testing integrated circuits capable of performing functional (truth table) testing at a pattern rate of more than 667 MHz;
1. “Electronic assemblies” or a class of “electronic assemblies” for home or entertainment applications;
2. Uncontrolled electronic components, “electronic assemblies” or integrated circuits;
16. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3D002 is amended by revising the Heading and the “items” paragraph in the List of Items Controlled section, to read as follows:
Items: a. Equipment controlled by 3B001.a. to f.; or
b. Equipment controlled by 3B002.
17. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3D003 is amended by revising the Heading and the “related controls”, “related definitions”, and “items” paragraphs in the List of Items Controlled section, to read as follows:
Related Definitions: (1) Libraries, design attributes or associated data for the design of semiconductor devices or integrated circuits are considered as “technology”. (2) ‘Physics-based’ in 3D003 means using computations to determine a sequence of physical cause and effect events based on physical properties (e.g., temperature, pressure, diffusion constants and semiconductor materials properties).
18. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3D004 is added, to read as follows:
19. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3D991 is amended by revising the Heading, to read as follows:
20. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3E001 is amended revising the “items” paragraph in the List of Items Controlled section, to read as follows:
(a) Using “technology” of 0.5 μm or more; and
(b) Not incorporating multi-layer structures.
The term multi-layer structures in Note b does not include devices incorporating a maximum of three metal layers and three polysilicon layers.
3E001 does not control “technology” for the “production” of equipment or components controlled by 3A003.
21. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3E002 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
3E002 does not control “technology” for the “development” or “production” of integrated circuits controlled by 3A001.a.3 to a.12, having all of the following:
(a) Using “technology” of 0.5 μm or more; and Start Printed Page 23608
22. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3—Electronics, Export Control Classification Number (ECCN) 3E003 is amended by revising the “related controls” and “items” paragraphs in the List of Items Controlled section, to read as follows:
Related Controls: (1) Technology for the “development” or “production” of “space qualified” electronic vacuum tubes operating at frequencies of 31.8 GHz or higher, described in 3E003.g, is under the export license authority of the Department of State, Office of Defense Trade Controls (22 CFR part 121); (2) See 3E001 for silicon-on-insulation (SOI) technology for the “development” or “production” related to radiation hardening of integrated circuits.
Items: a. Vacuum microelectronic devices;
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.
23. In Supplement No. 1 to part 774 (the Commerce Control List), Category 4—Computers, Export Control Classification Number (ECCN) 4A002 is removed.
24. In Supplement No. 1 to part 774 (the Commerce Control List), Category 4—Computers, Export Control Classification Number (ECCN) 4A994 is amended by revising the Heading and the “items” paragraph in the List of Items Controlled section, to read as follows:
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.
For the control status of “digital computers” or related equipment for telecommunications equipment, see Category 5, Part 1 (Telecommunications).
b. “Digital computers” having a “composite theoretical performance” (“CTP”) equal to or greater than 6 million theoretical operations per second (MTOPS);
c. “Electronic assemblies” that are specially designed or modified to enhance performance by aggregation of “computing elements” (“CEs”), as follows:
c.1. Designed to be capable of aggregation in configurations of 16 or more “computing elements” (“CEs”); or
4A994.c applies only to “electronic assemblies” and programmable interconnections with a “CTP” not exceeding the limits in 4A994.b, when shipped as unintegrated “electronic assemblies”. It does not apply to “electronic assemblies” inherently limited by nature of their design for use as related equipment controlled by 4A994.
f. Equipment for “signal processing” or “image enhancement” having a “composite theoretical performance” (“CTP”) exceeding 8.5 million theoretical operations per second (MTOPS);
25. In Supplement No. 1 to part 774 (the Commerce Control List), Category 4—Computers is amended by adding a nota bene (N.B.) after the title “Information on How to Calculate “composite Theoretical Performance (“CTP”) and before the Technical Note that appears at the end of Category 4, to read as follows:
See Interpretation 12: “Computers”, § 770.2(1)(3), to find guidance as to how to calculate the Composite Theoretical Performance (CTP) for computer systems Start Printed Page 23609with ‘Non-Uniform Memory Access’ (NUMA) architecture, and obtain a definition for NUMA.
26. In Supplement No. 1 to part 774 (the Commerce Control List), Category 5—Telecommunications and “Information Security”, Part I—Telecommunications, Export Control Classification Number (ECCN) 5B001 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
Items: a. Equipment and specially designed components or accessories therefor, specially designed for the “development”, “production” or “use” of equipment, functions or features controlled by 5A001, 5D001 or 5E001.
5B001.a. does not control 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. Equipment employing digital techniques designed to operate at a “total digital transfer rate” exceeding 15 Gbit/s;
For switching equipment the “total digital transfer rate” is measured at the highest speed port or line.
b.4. Radio equipment employing quadrature-amplitude-modulation (QAM) techniques above level 256; or
b.5. Equipment employing “common channel signaling” operating in non-associated mode of operation.
27. In Supplement No. 1 to part 774 (the Commerce Control List), Category 5—Telecommunications and “Information Security”, Part I—Telecommunications, Export Control Classification Number (ECCN) 5D001 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
Items: a. “Software” specially designed or modified for the “development”, “production” or “use” of equipment, functions or features controlled by 5A001 or 5B001.
d.1. Equipment employing digital techniques, including designed to operate at a “total digital transfer rate” exceeding 15 Gbit/s;
28. In Supplement No. 1 to part 774 (the Commerce Control List), Category 5—Telecommunications and “Information Security”, Part I—Telecommunications, Export Control Classification Number (ECCN) 5E001 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
Items: a. “Technology” according to the General Technology Note for the “development”, “production” or “use” (excluding operation) of equipment, functions or features or “software” controlled by 5A001, 5B001 or 5D001.
b.3. “Technology” for the “development” of digital cellular radio base station receiving equipment whose reception capabilities that allow multi-band, multi-channel, multi-mode, multi-coding algorithm or multi-protocol operation can be modified by changes in “software”;
c. “Technology” according the General Technology Note for the “development” or “production” of any of the following telecommunication transmission or switching equipment, functions or features:
c.1. Equipment employing digital techniques designed to operate at a “total digital transfer rate” exceeding 15 Gbit/s;
c.4.a. Quadrature-amplitude-modulation (QAM) techniques above level 256; or
c.4.b. Operating at input or output frequencies exceeding 31.8 GHz; or
c.5. Equipment employing “common channel signaling” operating in non-associated mode of operation.
29. In Supplement No. 1 to part 774 (the Commerce Control List), Category Start Printed Page 236105—Telecommunications and “Information Security”, Part II—“Information Security”, Export Control Classification Number (ECCN) 5A002 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
5A002 does not control the following. However, these items are instead controlled under 5A992:
(a) “Personalized smart cards'':
If a “personalized smart card” has multiple functions, the control status of each function is assessed individually.
(1) Execution of copy-protected “software'';
(b) Information stored in encrypted form on media (e.g., in connection with the protection of intellectual property rights) where the media is offered for sale in identical sets to the public; or
(3) Copying control of copyright protected audio/video data.
The term “money transactions” includes the collection and settlement of fares or credit functions.
a. Systems, equipment, application specific “electronic assemblies”, modules and integrated circuits for “information security”, as follows, and other specially designed components therefor:
For the control of global navigation satellite systems receiving equipment containing or employing decryption (e.g., GPS or GLONASS) see 7A005.
a.6. Designed or modified to use cryptographic techniques to generate channelizing or scrambling codes for “time-modulated ultra-wideband” systems;
a.8. Communications cable systems designed or modified using mechanical, electrical or electronic means to detect surreptitious intrusion.
30. In Supplement No. 1 to part 774 (the Commerce Control List), Category 6—Sensors, Export Control Classification Number (ECCN) 6A001 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
Items: a. Marine acoustic systems, equipment and specially designed components therefor, 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;
a.1.b.2. Sound pressure level exceeding 224dB (reference 1 μPa at 1 m) for equipment with an operating frequency in the band from 10 kHz to 24 kHz inclusive;
a.1.b.6.b. Incorporating other than lead zirconate titanate as the transduction element; Start Printed Page 23611
1. The control status of acoustic projectors, including transducers, specially designed for other equipment is determined by the control status of the other equipment.
a.1.d. Acoustic systems, equipment and specially designed components for determining the position of surface vessels or underwater vehicles designed to operate at a range exceeding 1,000 m with a positioning accuracy of less than 10 m rms (root mean square) when measured at a range of 1,000 m;
a.2.a.2.a. Optical fibers; or
a.2.a.2.b. Flexible piezoelectric ceramic materials;
a.2.a.3. A hydrophone sensitivity better than -180dB at any depth with no acceleration compensation;
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 35 m;
“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.d.1. An accuracy of better than ± 0.5° and
31. In Supplement No. 1 to part 774 (the Commerce Control List), Category 6—Sensors, Export Control Classification Number (ECCN) 6A003 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
Items: a. Instrumentation cameras and specially designed components therefor, as follows:
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.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 in 6A003.a.3, 6A003.a.4 or 6A003.a.5, according to the manufacturer's specifications.
b.1. Video cameras incorporating solid state sensors, having a peak response in the wavelength range exceeding 10nm, 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 × 10 6 “active pixels” for solid state array color cameras incorporating one solid state array; and
b.1.b. Having any of the following:
b.1.b.1. Optical mirrors controlled by 6A004.a.;
b.1.b.2. Optical control equipment controlled by 6A004.d.; or
b.1.b.3. The capability for annotating internally generated camera tracking data.
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.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;
6A003.b.4 does not control imaging cameras incorporating linear “focal plane arrays” with twelve elements or fewer, not employing time-delay-and-integration within the element, designed for any of the following:
32. In Supplement No. 1 to part 774 (the Commerce Control List), Category 6—Sensors, Export Control Classification Number (ECCN) 6A005 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
Items: a. Gas “lasers”, as follows:
a.1. Excimer “lasers”, having any of the following:
a.1.a. An output wavelength not exceeding 150 nm and having any of the following: a.1.a.1. An output energy exceeding 50 mJ per pulse; or
a.1.a.2. An average output power exceeding 1 W;
a.1.b. An output wavelength exceeding 150 nm but not exceeding 190 nm and having any of the following:
a.1.b.1. An output energy exceeding 1.5 J per pulse; or
a.1.b.2. An average output power exceeding 120 W;
a.1.c. An output wavelength exceeding 190 nm but not exceeding 360 nm and having any of the following:
a.1.c.1. An output energy exceeding 10 J per pulse; or
a.1.c.2. An average output power exceeding 500 W; or
a.1.d. An output wavelength exceeding 360 nm and having any of the following:
a.1.d.1. An output energy exceeding 1.5 J per pulse; or
a.1.d.2. An average output power exceeding 30 W;
For excimer “lasers” specially designed for lithography equipment, see 3B001.
a.2. Metal vapor “lasers”, as follows:
a.2.a. Copper (Cu) “lasers” having an average output power exceeding 20 W;
a.2.b. Gold (Au) “lasers” having an average output power exceeding 5 W;
a.2.c. Sodium (Na) “lasers” having an output power exceeding 5 W;
a.2.d. Barium (Ba) “lasers” having an average output power exceeding 2 W;
a.3. Carbon monoxide (CO) “lasers” having any of the following:
a.3.a. An output energy exceeding 2 J per pulse and a pulsed “peak power” exceeding 5 kW; or
a.3.b. An average or CW output power exceeding 5 kW;
a.4. Carbon dioxide (CO2) “lasers” having any of the following:
a.4.a. A CW output power exceeding 15 kW;
a.4.b. A pulsed output having a “pulse duration” exceeding 10 μs and having any of the following:
a.4.b.1. An average output power exceeding 10 kW; or
a.4.b.2. A pulsed “peak power” exceeding 100 kW; or
a.4.c. A pulsed output having a “pulse duration” equal to or less than 10 μs; and having any of the following:
a.4.c.1. A pulse energy exceeding 5 J per pulse; or
a.4.c.2. An average output power exceeding 2.5 kW;
a.5. “Chemical lasers”, as follows:
a.5.a. Hydrogen Fluoride (HF) “lasers”;
a.5.b. Deuterium Fluoride (DF) “lasers”;
a.5.c. “Transfer lasers”, as follows:
a.5.c.1. Oxygen Iodine (O2-I) “lasers”;
a.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO2) “lasers”;
a.6. Krypton ion or argon ion “lasers” having any of the following:
a.6.a. An output energy exceeding 1.5 J per pulse and a pulsed “peak power” exceeding 50 W; or
a.6.b. An average or CW output power exceeding 50 W;
a.7. Other gas “lasers”, having any of the following:
6A005.a.7 does not control nitrogen “lasers”.
a.7.a. An output wavelength not exceeding 150 nm and having any of the following:
a.7.a.1. An output energy exceeding 50 mJ per pulse and a pulsed “peak power” exceeding 1 W; or
a.7.a.2. An average or CW output power exceeding 1 W;
a.7.b. An output wavelength exceeding 150 nm but not exceeding 800 nm and having any of the following:
a.7.b.1. An output energy exceeding 1.5 J per pulse and a pulsed “peak power” exceeding 30 W; or
a.7.b.2. An average or CW output power exceeding 30 W;
a.7.c. An output wavelength exceeding 800 nm but not exceeding 1,400 nm and having any of the following:
a.7.c.1. An output energy exceeding 0.25 J per pulse and a pulsed “peak power” exceeding 10 W; or
a.7.c.2. An average or CW output power exceeding 10 W; or
a.7.d. An output wavelength exceeding 1,400 nm and an average or CW output power exceeding 1 W.
b. Semiconductor “lasers”, as follows:
6A005.b. includes semiconductor “lasers” having optical output connectors (e.g., fiber optic pigtails).
The control status of semiconductor “lasers” specially designed for other equipment is determined by the control status of the other equipment.
b.1. Individual single-transverse mode semiconductor “lasers” having any of the following:
b.1.a. A wavelength equal to or less than 1510 nm, and having an average or CW output power exceeding 1.5 W; or
b.1.b. A wavelength greater than 1510 nm, and having an average or CW output power exceeding 500 mW;
b.2. Individual, multiple-transverse mode semiconductor “lasers” , having any of the following:
b.2.a. A wavelength of less than 1400 nm, and having an average or CW output power exceeding 10W;
b.2.b. A wavelength equal to or greater than 1400 nm and less than 1900 nm, and having an average or CW output power exceeding 2.5 W; or Start Printed Page 23613
b.2.c. A wavelength equal to or greater than 1900 nm and having an average or CW output power exceeding 1 W.
b.3. Individual semiconductor “laser” arrays, having any of the following:
b.3.a. A wavelength of less than 1400 nm and having an average or CW output power exceeding 80 W; or
b.3.b. A wavelength equal to or greater than 1400 nm and less than 1900 nm, and having an average or CW output power exceeding 25 W; or
b.3.c. A wavelength equal to or greater than 1900 nm, and having an average or CW output power exceeding 10 W.
b.4. Array stacks of semiconductor “lasers” containing at least one array that is controlled under 6A005.b.3.
2. An “array” consists of multiple semiconductor “laser” emitters fabricated as a single chip so that the centers of the emitted light beams are on parallel paths.
3. An “array stack” is fabricated by stacking, or otherwise assembling, “arrays” so that the centers of the emitted light beams are on parallel paths.
c. Solid state “lasers”, as follows:
c.1. “Tunable” “lasers” having any of the following:
6A005.c.1 includes titanium-sapphire (Ti: Al2 O3), thulium-YAG (Tm: YAG), thulium-YSGG (Tm: YSGG), alexandrite (Cr: BeAl2 O4) and color center “lasers”.
c.1.a. An output wavelength less than 600 nm and having any of the following:
c.1.a.1. An output energy exceeding 50 mJ per pulse and a pulsed “peak power” exceeding 1 W; or
c.1.a.2. An average or CW output power exceeding 1 W;
c.1.b. An output wavelength of 600 nm or more but not exceeding 1,400 nm and having any of the following:
c.1.b.1. An output energy exceeding 1 J per pulse and a pulsed “peak power” exceeding 20 W; or
c.1.b.2. An average or CW output power exceeding 20 W; or
c.1.c. An output wavelength exceeding 1,400 nm and having any of the following:
c.1.c.1. An output energy exceeding 50 mJ per pulse and a pulsed “peak power” exceeding 1 W; or
c.1.c.2. An average or CW output power exceeding 1 W;
c.2. Non-“tunable” “lasers”, as follows:
6A005.c.2 includes atomic transition solid state “lasers”.
c.2.a. Neodymium glass “lasers”, as follows:
c.2.a.1. “Q-switched lasers” having any of the following:
c.2.a.1.a. An output energy exceeding 20 J but not exceeding 50 J per pulse and an average output power exceeding 10 W; or
c.2.a.1.b. An output energy exceeding 50 J per pulse;
c.2.a.2. Non-“Q-switched lasers” having any of the following:
c.2.a.2.a. An output energy exceeding 50 J but not exceeding 100 J per pulse and an average output power exceeding 20 W; or
c.2.a.2.b. An output energy exceeding 100 J per pulse;
c.2.b. Neodymium-doped (other than glass) “lasers”, having an output wavelength exceeding 1,000 nm but not exceeding 1,100 nm, as follows:
For neodymium-doped (other than glass) “lasers” having an output wavelength not exceeding 1,000 nm or exceeding 1,100 nm, see 6A005.c.2.c.
c.2.b.1. Pulse-excited, mode-locked, “Q-switched lasers” having a “pulse duration” of less than 1 ns and having any of the following:
c.2.b.1.a. A “peak power” exceeding 5 GW;
c.2.b.1.b. An average output power exceeding 10 W; or
c.2.b.1.c. A pulsed energy exceeding 0.1 J;
c.2.b.2. Pulse-excited, “Q-switched lasers” having a pulse duration equal to or more than 1 ns, and having any of the following:
c.2.b.2.a. A single-transverse mode output having:
c.2.b.2.a.1. A “peak power” exceeding 100 MW;
c.2.b.2.a.2. An average output power exceeding 20 W; or
c.2.b.2.a.3. A pulsed energy exceeding 2 J; or
c.2.b.2.b. A multiple-transverse mode output having:
c.2.b.2.b.1. A “peak power” exceeding 400 MW;
c.2.b.2.b.2. An average output power exceeding 2 kW; or
c.2.b.2.b.3. A pulsed energy exceeding 2 J;
c.2.b.3. Pulse-excited, non-“Q-switched lasers”, having:
c.2.b.3.a. A single-transverse mode output having:
c.2.b.3.a.1. A “peak power” exceeding 500 kW; or
c.2.b.3.a.2. An average output power exceeding 150 W; or
c.2.b.3.b. A multiple-transverse mode output having:
c.2.b.3.b.1. A “peak power” exceeding 1 MW; or
c.2.b.3.b.2. An average power exceeding 2 kW;
c.2.b.4. Continuously excited “lasers” having:
c.2.b.4.a. A single-transverse mode output having:
c.2.b.4.a.1. A “peak power” exceeding 500 kW; or
c.2.b.4.a.2. An average or CW output power exceeding 150 W; or
c.2.b.4.b. A multiple-transverse mode output having:
c.2.b.4.b.1. A “peak power” exceeding 1 MW; or
c.2.b.4.b.2. An average or CW output power exceeding 2 kW;
c.2.c. Other non-“tunable” “lasers”, having any of the following:
c.2.c.1. A wavelength less than 150 nm and having any of the following:
c.2.c.1.a. An output energy exceeding 50 mJ per pulse and a pulsed “peak power” exceeding 1 W; or
c.2.c.1.b. An average or CW output power exceeding 1 W;
c.2.c.2. A wavelength of 150 nm or more but not exceeding 800 nm and having any of the following:
c.2.c.2.a. An output energy exceeding 1.5 J per pulse and a pulsed “peak power” exceeding 30 W; or
c.2.c.2.b. An average or CW output power exceeding 30 W;
c.2.c.3. A wavelength exceeding 800 nm but not exceeding 1,400 nm, as follows:
c.2.c.3.a. “Q-switched lasers” having:
c.2.c.3.a.1. An output energy exceeding 0.5 J per pulse and a pulsed “peak power” exceeding 50 W; or
c.2.c.3.a.2. An average output power exceeding:
c.2.c.3.a.2.a. 10 W for single-mode “lasers”;
c.2.c.3.a.2.b. 30 W for multimode “lasers”;
c.2.c.3.b. Non-“Q-switched lasers” having:
c.2.c.3.b.1. An output energy exceeding 2 J per pulse and a pulsed “peak power” exceeding 50 W; or
c.2.c.3.b.2. An average or CW output power exceeding 50 W; or
c.2.c.4. A wavelength exceeding 1,400 nm and having any of the following:
c.2.c.4.a. An output energy exceeding 100 mJ per pulse and a pulsed “peak power” exceeding 1 W; or
c.2.c.4.b. An average or CW output power exceeding 1 W;
d. Dye and other liquid “lasers”, having any of the following:
d.1. A wavelength less than 150 nm and;
d.1.a. An output energy exceeding 50 mJ per pulse and a pulsed “peak power” exceeding 1 W; or
d.1.b. An average or CW output power exceeding 1 W;
d.2. A wavelength of 150 nm or more but not exceeding 800 nm and having any of the following:
d.2.a. An output energy exceeding 1.5 J per pulse and a pulsed “peak power” exceeding 20 W;
d.2.b. An average or CW output power exceeding 20 W; or
d.2.c. 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;
d.3. A wavelength exceeding 800 nm but not exceeding 1,400 nm and having any of the following:
d.3.a. An output energy exceeding 0.5 J per pulse and a pulsed “peak power” exceeding 10 W; or
d.3.b. An average or CW output power exceeding 10 W; or
d.4. A wavelength exceeding 1,400 nm and having any of the following:
d.4.a. An output energy exceeding 100 mJ per pulse and a pulsed “peak power” exceeding 1 W; or
d.4.b. An average or CW output power exceeding 1 W;
e.1. Mirrors cooled either by active cooling or by heat pipe cooling;
Active cooling is a cooling technique for optical components using flowing fluids within the subsurface (nominally less than 1 mm below the optical surface) of the optical component to remove heat from the optic.
e.2. Optical mirrors or transmissive or partially transmissive optical or electro-optical components specially designed for use with controlled “lasers”; Start Printed Page 23614
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 of the following:
f.2. “Laser” diagnostic equipment capable of measuring “SHPL” system angular beam steering errors of equal to or less than 10 μrad;
f.3. Optical equipment and components specially designed for a phased-array “SHPL” system for coherent beam combination to an accuracy of lambda/10 at the designed wavelength, or 0.1 μm, whichever is the smaller;
33. In Supplement No. 1 to part 774 (the Commerce Control List), Category 6—Sensors, Export Control Classification Number (ECCN) 6A006 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
Items: a. “Magnetometers” using “superconductive”, optically pumped, nuclear precession (proton/Overhauser) or triaxial fluxgate “technology” having a “noise level” (sensitivity) lower (better) than 0.05 nT rms per square root Hz;
b. Induction coil “magnetometers” having a “noise level” (sensitivity) lower (better) than any of the following:
b.1. 0.05 nT rms/square root Hz at frequencies of less than 1 Hz;
b.2. 1 × 10−3 nT rms/square root Hz at frequencies of 1 Hz or more but not exceeding 10 Hz; or
b.3. 1 × 10−4 nT rms/square root Hz at frequencies exceeding 10 Hz;
c. Fiber optic “magnetometers” having a “noise level” (sensitivity) lower (better) than 1 nT rms per square root Hz;
d. “Magnetic gradiometers” using multiple “magnetometers” controlled by 6A006.a, 6A006.b or 6A006.c;
e. Fiber optic “intrinsic magnetic gradiometers” having a magnetic gradient field “noise level” (sensitivity) lower (better) than 0.3 nT/m rms per square root Hz;
f. “Intrinsic magnetic gradiometers”, using “technology” other than fiber-optic “technology”, having a magnetic gradient field “noise level” (sensitivity) lower (better) than 0.015 nT/m rms per square root Hz;
g. Magnetic compensation systems for magnetic sensors designed for operation on mobile platforms;
h. “Superconductive” electromagnetic sensors, components manufactured from “superconductive” materials:
h.1. Designed for operation at temperatures below the “critical temperature” of at least one of their “superconductive” constituents (including Josephson effect devices or “superconductive” quantum interference devices (SQUIDS));
h.2. Designed for sensing electromagnetic field variations at frequencies of 1 KHz or less; and
h.3. Having any of the following characteristics:
h.3.a. Incorporating thin-film SQUIDS with a minimum feature size of less than 2 μm and with associated input and output coupling circuits;
h.3.b. Designed to operate with a magnetic field slew rate exceeding 1 × 10−6 magnetic flux quanta per second;
h.3.c. Designed to function without magnetic shielding in the earth's ambient magnetic field; or
h.3.d. Having a temperature coefficient less (smaller) than 0.1 magnetic flux quantum/K.
34. In Supplement No. 1 to part 774 (the Commerce Control List), Category 6—Sensors, Export Control Classification Number (ECCN) 6E003 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows:
Items: a. Acoustics. None.
c. Cameras. None.
d. Optics, “technology”, as follows:
d.1. Optical surface coating and treatment “technology” “required” to achieve 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;
See also 2E003.f.
f. Magnetometers. “Technology” “required” for the “development” or “production” of non-triaxial fluxgate “magnetometers” or non-triaxial fluxgate “magnetometer” systems, having any of the following:
f.1. A “noise level” of less than 0.05 nT rms per square root Hz at frequencies of less than 1 Hz; or
f.2. A “noise level” of less than 1 x 10−3 nT rms per square root Hz at frequencies of 1 Hz or more.
35. Category 7 “Navigation and Avionics” is amended by removing the second Nota bene (N.B.2.) in the beginning of section A “Systems, Equipment and Components''.
36. In Supplement No. 1 to part 774 (the Commerce Control List), Category 7—Navigation and Avionics, Export Control Classification Number (ECCN) 7A003 is amended by revising the Heading and the “items” paragraph in the List of Items Controlled section, to read as follows:
Items: a. Inertial Navigation Systems (INS) (gimballed or strapdown) and inertial equipment designed for “aircraft”, land vehicles, vessels (surface or underwater) or “spacecraft” for attitude, guidance or control, having any of the following characteristics, and specially designed components therefor:
a.1. Navigation error (free inertial) subsequent to normal alignment of 0.8 nautical mile per hour (nm/hr) Circular Error Probable (CEP) or less (better); or
a.2. Specified to function at linear acceleration levels exceeding 10 g.
b. Hybrid Inertial Navigation Systems embedded with Global Navigation Satellite System(s) (GNSS) or with “Data-Based Referenced Navigation” (“DBRN”) System(s) for attitude, guidance or control, subsequent to normal alignment, having an INS navigation position accuracy, after loss of GNSS or “DBRN” for a period of up to 4 minutes, of less (better) than 10 meters Circular Error Probable (CEP).
c. Inertial Equipment for Azimuth, Heading, or North Pointing having any of the following characteristics, and specially designed components therefor:
c.1. Designed to have an Azimuth, Heading, or North Pointing accuracy equal to, or less (better) than 6 arc minutes RMS at 45 degrees latitude; or
c.2. Designed to have a non-operating shock level of 900 g or greater at a duration of 1-msec, or greater.
The parameters of 7A003.a and 7A003.b are applicable with any of the following environmental conditions:
a. A constant power spectral density (PSD) value of 0.04 g2/Hz over a frequency interval of 15 to 1,000 Hz; and Start Printed Page 23615
b. The PSD attenuates with frequency from 0.04 g2/Hz to 0.01 g2/Hz over a frequency interval from 1,000 to 2,000 Hz;
2. A roll and yaw rate of equal to or more than +2.62 rad/s (150 deg/s); or
7A003.c.1 does not control theodolite systems incorporating inertial equipment specially designed for civil surveying purposes.
1. 7A003.b refers to systems in which an INS and other independent navigation aids are built into a single unit (embedded) in order to achieve improved performance.
2. “Circular Error Probable” (“CEP”)—In a circular normal distribution, the radius of the circle containing 50 percent of the individual measurements being made, or the radius of the circle within which there is a 50 percent probability of being located.
[FR Doc. 04-9540 Filed 4-28-04; 8:45 am]