Source: http://www.govpulse.us/entries/2011/05/20/2011-11134/wassenaar-arrangement-2010-plenary-agreements-implementation-commerce-control-list-definitions-repor
Timestamp: 2015-07-05 12:55:02
Document Index: 78610560

Matched Legal Cases: ['§ 734', '§ 740', '§ 742', '§ 742', '§ 743', '§ 772', 'art 774', '§ 740', 'art 1', 'art 2']

govpulse | Wassenaar Arrangement 2010 Plenary Agreements Implementation: Commerce Control List, Definitions, Reports
Wassenaar Arrangement 2010 Plenary Agreements Implementation: Commerce Control List, Definitions, Reports
The Bureau of Industry and Security (BIS) maintains, as part of the agency's Export Administration Regulations (EAR), the Commerce Control List (CCL), which identifies items subject to Department of Commerce export controls. This final rule revises the CCL to implement changes made to the Wassenaar Arrangement's List of Dual-Use Goods and Technologies (Wassenaar List) maintained and agreed to by governments participating in the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies (Wassenaar Arrangement, or WA) at the December 2010 WA Plenary Meeting (the Plenary). The Wassenaar Arrangement advocates implementation of effective export controls on strategic items with the objective of improving regional and international security and stability. To harmonize the CCL with the changes made to the Wassenaar List at the Plenary, this rule amends entries on the CCL that are controlled for national security reasons in Categories 1, 2, 3, 4, 5 Parts I & II, 6, 7, 8, and 9, revises reporting requirements, and adds and amends definitions in the EAR.
Category 1—Special Materials and Related Equipment, Chemicals, “Microorganisms,” and “Toxins”
Category 5 Part I— Telecommunications
Category 5 Part II—“Information Security”
Category 8—Marine
§ 734.4De minimis U.S. Content
License Exception GOV 740.11—Supplement No. 1 to section 740.11
§ 740.17License Exception ENC
§ 742.14Significant Items: Hot Section Technology for the Development, Production or Overhaul of Commercial Aircraft Engines, Components, and Systems
§ 742.15Encryption Items
§ 743.1Wassenaar Arrangement
§ 772.1Definitions of Terms as Used in the Export Administration Regulations (EAR)
Supplement No. 3 to Part 774
SUPPLEMENT NO. 1 TO § 740.11—ADDITIONAL RESTRICTIONS ON USE OF LICENSE EXCEPTION GOV.
1A002“Composite” structures or laminates, having any of the following (see List of Items Controlled).
1A004Protective and detection equipment and components, not specially designed for military use, as follows (see List of Items Controlled).
1B001Equipment for the production or inspection of “composite” structures or laminates controlled by 1A002 or “fibrous or filamentary materials” controlled by 1C010, as follows (see List of Items Controlled), and specially designed components and accessories therefor.
1C006Fluids and lubricating materials, as follows (see List of Items Controlled).
1C008Non-fluorinated polymeric substances as follows (see List of Items Controlled).
1C010“Fibrous or filamentary materials” as follows (see List of Items Controlled).
1C011Metals and compounds, as follows (see List of Items Controlled).
1C111Propellants and constituent chemicals for propellants, other than those specified in 1C011, as follows (see List of Items Controlled).
2A001Anti-friction bearings and bearing systems, as follows, (see List of Items Controlled) and components therefor.
2B001Machine tools and any combination thereof, for removing (or cutting) metals, ceramics or “composites”, which, according to the manufacturer's technical specifications, can be equipped with electronic devices for “numerical control”; and specially designed components as follows (see List of Items Controlled).
2B005Equipment specially designed for the deposition, processing and in-process control of inorganic overlays, coatings and surface modifications, as follows, for non-electronic substrates, by processes shown in the Table and associated Notes following 2E003.f, and specially designed automated handling, positioning, manipulation and control components therefor.
2B006Dimensional inspection or measuring systems, equipment, and “electronic assemblies”, as follows (see List of Items Controlled).
3A001Electronic components and specially designed components therefor, as follows (see List of Items Controlled).
3A002General purpose electronic equipment and accessories therefor, as follows (see List of Items Controlled).
3A991Electronic devices and components not controlled by 3A001.
3B001Equipment for the manufacturing of semiconductor devices or materials, as follows (see List of Items Controlled) and specially designed components and accessories therefor.
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 3A992, or 3A999), 3B (except 3B991 or 3B992) or 3C (except 3C992).
4A001Electronic computers and related equipment, having any of the following (see List of Items Controlled), and “electronic assemblies” and specially designed components therefor.
PART I. TELECOMMUNICATIONS
5A001Telecommunications systems, equipment, components and accessories, as follows (see List of Items Controlled).
5D001“Software” as follows (see List of Items Controlled).
5A002“Information security” systems, equipment and components therefor, as follows (see List of Items Controlled).
5D002 “Software” as follows (see List of Items Controlled).
5E002 “Technology” as follows (see List of Items Controlled).
6A001Acoustic systems, equipment and components, as follows (see List of Items Controlled).
6A002Optical sensors.
6A003 Cameras.
6A005 “Lasers” (other than those described in 0B001.g.5 or .h.6), components and optical equipment, as follows (see List of Items Controlled).
6A006“Magnetometers,” “magnetic gradiometers,” “intrinsic magnetic gradiometers,” underwater electric field sensors, “compensation systems,” and specially designed components therefor, as follows (see List of Items Controlled).
6A008Radar systems, equipment and assemblies, having any of the following (see List of Items Controlled), and specially designed components therefor.
6D001“Software” specially designed for the “development” or “production” of equipment controlled by 6A004, 6A005, 6A008, or 6B008.
6D003Other “software” as follows (see List of Items Controlled).
6E001“Technology” according to the General Technology Note for the “development” of equipment, materials or “software” controlled by 6A (except 6A991, 6A992, 6A994, 6A995, 6A996, 6A997, or 6A998), 6B (except 6B995), 6C (except 6C992 or 6C994), or 6D (except 6D991, 6D992, or 6D993).
6E002“Technology” according to the General Technology Note for the “production” of equipment or materials controlled by 6A (except 6A991, 6A992, 6A994, 6A995, 6A996, 6A997 or 6A998), 6B (except 6B995) or 6C (except 6C992 or 6C994).
6E003Other “technology” as follows (see List of Items Controlled).
7A001Accelerometers as follows (see List of Items Controlled) and specially designed components therefor.
7A002Gyros or angular rate sensors, having any of the following (see List of Items Controlled) and specially designed components therefor.
7A003Inertial systems and specially designed components, as follows.
7E004Other “technology” as follows (see List of Items Controlled).
8A001Submersible vehicles and surface vessels, as follows (see List of Items Controlled).
8A002Marine systems, equipment and components, as follows (see List of Items Controlled).
9A001Aero gas turbine engines having any of the following (see List of Items Controlled).
9A003Specially designed assemblies and components, incorporating any of the “technologies” controlled by 9E003.a, 9E003.h or 9E003.i, for any of the following gas turbine engine propulsion systems (see List of Items Controlled).
9B002On-line (real time) control systems, instrumentation (including sensors) or automated data acquisition and processing equipment, having all of the following (See List of Items Controlled).
9B008Direct measurement wall skin friction transducers specially designed to operate at a test flow total (stagnation) temperature exceeding 833 K (560° C).
9D003“Software” incorporating “technology” specified by 9E003.h and used in “FADEC Systems” for propulsion systems controlled by 9A (except 9A018, 9A990 or 9A991) or equipment controlled by 9B (except 9B990 or 9B991).
9E001“Technology” according to the General Technology Note for the “development” of equipment or “software”, controlled by 9A001.b, 9A004 to 9A012, 9B (except 9B990 or 9B991), or 9D (except 9D990 or 9D991)
9E003Other “technology” as follows (see List of Items Controlled).
Statement of Understanding—Used Goods
For general questions contact Sharron Cook, Office of Exporter Services, Bureau of Industry and Security, U.S. Department of Commerce at 202-482-2440 or by e-mail: Sharron.cook@bis.doc.gov.
Category 1: Michael Rithmireat 202-482-6105
Category 5 Part 1: Joseph Young at 202-482-4197
Category 5 Part 2: C. Randall Pratt at 202-482-0707
Category 6: Chris Costanzo at 202-482-0718 (optics), John Varesi 202-482-1114 (sensors & cameras) and Mark Jaso at 202-482-0987 (lasers)
Category 7: Daniel Squire at 202-482-3710
Category 9: Gene Christensen at 202-482-2984
In July 1996, the United States and thirty-three other countries gave final approval to the establishment of a new multilateral export control arrangement called the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies (Wassenaar Arrangement or WA). The Wassenaar Arrangement contributes to regional and international security and stability by promoting transparency and greater responsibility in transfers of conventional arms and dual use goods and technologies, thus preventing destabilizing accumulations of such items. Participating states committed to exchange information on exports of dual use goods and technologies to non-participating states for the purposes of enhancing transparency and assisting in developing a common understanding of the risks associated with the transfers of these items. For more information on the Wassenaar Arrangement go to http://www.wassenaar.org/.
Revisions to the Commerce Control List ↑
This rule revises the following 53 ECCNs on the Commerce Control List (CCL) to implement the changes to the Wassenaar List of Dual-Use Goods and Technologies agreed to at the December 2010 WA Plenary meeting: 1A002, 1A004, 1B001, 1C003, 1C006, 1C008, 1C010, 1C011, 1C111, 2A001, 2B001, 2B005, 2B006, 3A001, 3A002, 3A991, 3B001, 3C001, 3E001, 4A001, 5A001, 5D001, 5E001, 5A002, 5D002, 5E002, 6A001, 6A002, 6A003, 6A005, 6A006, 6A008, 6D001, 6D003, 6E001, 6E002, 6E003, 7A001, 7A002, 7A003, 7E004, 8A001, 8A002, 9A001, 9A003, 9A991, 9B001, 9B002, 9B008, 9D003, 9D004, 9E001 and 9E003. These changes are described in more detail below.
Category 1—Special Materials and Related Equipment, Chemicals, “Microorganisms,” and “Toxins” ↑
Removing the phrase “finished or” from Notes 2 and 3, because finished products are not generally specified based on the materials they contain.
Adding a new Note 4 to convey that ECCN “1A002 does not apply to finished items specially designed for a specific application.”
ECCN 1A004 is amended by:
Deleting the phrase “Nuclear, biological and chemical (NBC)” from 1A004.c, because it conflicts with the list in 1A004.c, as it is missing radioactive materials, and is redundant to the list.
Changing the format of the civil industries from a narrative list to an enumerated list formatin paragraph (b) of the Note to 1A004 that is located after the Notes to paragraph 1A004.d, as well as replacing the “and” to “or” between the phrases “residential safety” and “civil industries” in this same paragraph (b) of this same Note. These changes are made to clarify the meaning of the note.
Adding the phrase “specially designed or modified,” removing the words “to manufacture,” and adding the word “for” to paragraph 1B001.c to clarify that common textile weaving and interlacing machines are not intended to be controlled. In addition, the note is removed because the new text makes the note unnecessary.
ECCN 1C003 is amended by replacing, for the sake of clarity, the phrase “initial permeability” with “initial relative permeability” in the technical note of paragraph 1C003.a.
Revising the format of the parameters in 1C006.c from a narrative to a cascaded list format to clarify the text.
Removing 1C006.e to correct the text. This paragraph was the last paragraph of a technical note that was moved in 2009 from 1C006.d to the end of 1C006.a.2.e. This paragraph was inadvertently not removed when the technical note was moved.
ECCN 1C008 is amended by:
Removing “Non-fluorinated polymeric substances” and adding in its place “Imides” in 1C008.a, and adding the word “compounds” to 1C008.b.1, to better describe the scope of the paragraphs that follow.
Adding “(PAI) having a `glass transition temperature (T g)' exceeding 563 K (290° C)” to 1C008.a.2—Aromatic polyamide-imides, which adds a temperature property as a parameter.
Adding the word “compounds” to 1C008.b.1 to add a more complete description of the scope of the paragraphs that follow.
Removing the CAS numbers for all the compounds in 1C008.b.1.a, because CAS numbers are used to describe specific substances, not compounds.
Adding the word “acids” to 1C008.b.2 to better describe the scope of the paragraphs that follow.
Adding a new sentence about the PAI test to the technical note at the end of the items paragraph of 1C008.PAI varnishes are sometimes sold and these contain PAI polymers that are only partially polymerized. The added language therefore explains that the T g parameter should be determined using a PAI specimen that is properly cured to reach a maximum capability.
Revising the narrative format to a cascaded format in Note 2 to 1C010.e, in order to add a new paragraph (b) to this note to convey that “Fully or partially resin-impregnated or pitch-impregnated mechanically chopped, milled or cut carbon “fibrous or filamentary materials” 25.0 mm or less in length when using a resin or pitch other than those specified by 1C008 or 1C009.b.” are not controlled under 1C010.e.
Amending the technical note at the end of ECCN 1C010 by splitting it into two separate sentences (ending the first sentence after “specimen”), for better readability and clarity. Also, this rule removes the phrase “with a minimum 90% degree of cure” and adding in its place “In the case of thermoset materials, degree of cure of a dry test specimen shall be a minimum of 90%” to clarify the scope of “degree of cure” in the definition for `Dynamic Mechanical Analysis glass transition temperature (DMA T g)'.
Revising the Missile Technology (MT) paragraph in the License Requirements section because WA has now aligned with the Missile Technology Control Regime in controls for boron and boron alloys; therefore, the parenthetical phrase “for boron” is removed and the MT control applies to both the boron and the boron alloy in 1C011.b.
Adding a new sentence to number 2 of the Related Controls paragraph to indicate that “the following are subject to the export licensing authority of the U.S. Department of State, Directorate of Defense Trade Controls” and adding “metal powders mixed with other substances to form a mixture formulated for military purposes” to the end of the existing list that includes materials controlled by 1C011.a.
Replacing the word “carbide” with “alloys” in 1C011.b for boron, and cascading the parameters in two new paragraphs 1C011.b.1 and 1C001.b.2 in order to align with controls under the Missile Technology Control Regime, to make the text more clear, and to recognize the foreign availability and decreased use of boron carbide for military uses.
ECCN 1C111 is amended by adding a note 3 to the Related Controls paragraph to reference ECCN 1C011 for boron and boron alloys, and by removing paragraph 1C111.a.2.b “Boron alloys with a purity of 85% by weight or more” because this control is now in 1C011.b.
Category 2—Materials Processing ↑
Removing reference to 2A001.b from the License Exceptions GBS and CIV eligibility paragraphs in ECCN 2A001, because this paragraph is removed and reserved by this rule.
Removing one of the standards “or ANSI/ABMA Std 20 Tolerance Class ABEC-7 or RBEC-7” from paragraph 2A001.a and leaving only “or other national equivalents” because this language sufficiently describes the applicable standard for the control.
Removing and reserving paragraph 2A001.b, that controlled specified ball bearings and solid roller bearings because of the wide foreign availability of these commodities.
ECCN 2B001 is amended by removing the phrase “Having two or more rotary axes and all of the following” and adding in its place “At least two rotary axes having all of the following” to clarify the scope of the 2B001.e.2.
ECCN 2B005 is amended by removing the phrase “allowing for the” and adding in its place “capable of” to clarify the control in the introductory text of 2B005.g.
ECCN 2B006 is amended by:
Replacing the phrase “indication (MPEE)” with “length measurement (E 0,MPE)” to harmonize with the new ISO standard and replacing the year of the ISO standard from “2001” to “2009” in 2B006.a.
Replacing the acronym “MPEE” with “E 0,MPE” in the Technical Note following 2B006.a to harmonize with the new ISO standard.
Replacing the phrase “Machine tools, which” with “2B006 includes machine tools, other than those specified by 2B001, that” to clarify the Note following paragraph 2B006.c.
Removing two superfluous phrases “are controlled” and “the machine tool function or” from the Note following paragraph 2B006.c.
Category 3—Electronics ↑
Removing paragraph 3A001.a.4 from the License Exception CIV eligibility paragraph in the License Exceptions section, because 3A001.a.4 is removed by this rule.
Removing and reserving paragraph 3A001.a.4 “Storage integrated circuits manufactured from a compound semiconductor,” because the circuits of concern are covered by 3A001.a.2.
Adding the word “Converter” to “Analog-to-Digital,” adding capitalization, and adding the acronyms (ADC) and (DAC) to paragraph 3A001.a.5.
Replacing “Analog-to-digital converters” with “ADCs” in 3A001.a.5.a and Note 2 of the technical note located after 3A001.a.5.b for consistency.
Revising the output rate for Analog-to-Digital Converters (ADCs) in 3A001.a.5.a.2, a.5.a.3, a.5.a.4, and a.5.a.5 from “200 million words per second” to “300 million words per second,” “105 million words per second” to “200 million words per second,” “10 million words per second” to “125 million words per second,” and “2.5 million words per second” to “20 million words per second,” respectively. These revisions are made because the speeds and capabilities of digital signal processing have advanced significantly since the last revision to these control parameters.
The Technical Notes that appeared after paragraph 3A001.a.5.b are moved to after 3A001.a.5.a.5. In addition, this rule moves the last half of Technical Note 3 to Note 6 and moves Note 4 to Note 7, and adds new notes 4, 5, 8, and 9 to address aggregation of ADCs.
Revising the parameters for Digital-to-Analog Converters (DAC) in 3A001.a.5.b to better describe the crucial benchmarks for evaluating DAC devices, as well as adding four new technical notes that include two new technical terms: “adjusted update rate” and “Spurious Free Dynamic Range” (SFDR).
Revising the upper threshold of the frequency parameter from 6 GHz to 6.8 GHz for Microwave Monolithic Integrated Circuits (MMIC) power amplifiers in paragraphs 3A001.b.2.a and b.2.b, for discrete microwave transistors in paragraphs 3A001.b.3.a and b.3.b, for microwave solid state amplifiers and microwave assemblies/modules containing microwave solid state amplifiers in paragraphs 3A001.b.4.a and b.4.b, and for the technology for the development or production of MMIC power amplifiers in paragraphs 5E001.d.1 and d.2, because the prevalent bands for commercial satellite communications are 5.7 GHz to 6.7 GHz.
Adding a new parameter to paragraphs 3A001.b.2.d and b.2.f that reads “and with an average output power greater than 0.1 nW” for MMICs to narrow the scope of controls.
Removing and reserving Note 1 to 3A001.b.2 relating to broadcast satelliteequipment, because this entry controls components, not equipment.
Adding the words “product group” to Note 3 to 3A001.b.2 to clarify the text.
Adding a new parameter to paragraphs 3A001.b.3.e that reads “and with an average output power greater than 0.1 nW” for discrete microwave transistors to narrow the scope of this control.
Adding a new parameter to paragraphs 3A001.b.4.c and b.4.e that reads “and with an average output power greater than 0.1 nW” for microwave solid state amplifiers and microwave assemblies/modules containing microwave solid state amplifiers to narrow the scope of controls for these items.
Removing and reserving Note 1 after 3A001.b.4.f.3 concerning broadcast satellite equipment, because 3A001 does not control equipment but components, in this case Microwave or Millimeter Wave Components. In addition, Note 1 is not necessary, because MMICs specially designed for satellite broadcast equipment are not controlled by Category 3 pursuant to Note 1 at the beginning of Category 3.
Removing the phrase “from one selected frequency to another” from 3A001.b.11 because it is redundant with the term “frequency switching.”
Revising the parameters for radio-frequency signal analyzers in paragraphs 3A002.c to revise control thresholds to more accurately differentiate between commercial/civilian applications and applications of strategic concern by changing the controls from frequency only to a combination of frequency and other parameters. This change includes the redesignation of 3A002.c.3 to c.4 and the addition of a new paragraph 3A002.c.3.
Revising and rearranging the narrative in 3A002.c.1 to more clearly describe the radio-frequency signal analyzers.
This rule introduces a new parameter, “Displayed Average Noise Level,” in 3A002.c.2. This control protects the applications (principally advanced radar) that are of national security concern. Specifically, this revision relaxes the controls in 3A002.c.2 by adding the additional control parameter, “Displayed Average Noise Level,” that applies to the current frequency parameter of between 43.5 and 70 GHz.
Adding a new control in 3A002.c.3 for signal analyzers having a frequency exceeding 70 GHz.
Revising the “real-time bandwidth” for “dynamic signal analyzers” from “500 kHz” to “40 MHz” in the newly designated paragraph 3A002.c.4 to respond to emerging communications standards and available test equipment as “dynamic signal analyzers” approach 40 MHz in bandwidth.There is growing application of “dynamic signal analyzers” with “real-time bandwidth” above 40 MHz bandwidth in military applications.
Replacing the reference in the Note following 3A002.c.4 from “3A002.c.3” to “3A002.c.4” to harmonize it with the addition of paragraph 3A002.c.3.
Revising paragraphs 3A002.d.1, d.2 and the introductory text to d.4 relating to frequency synthesized signal generators to revise control thresholds to more accurately differentiate between purely civilian applications and those of strategic concern. These revisions are being implemented by changing the entry from one solely based on frequency to a combination of frequency and other parameters, such as output power.
Revising 3A002.d.3.e and adding d.3.f to clarify the frequency switching controls by defining switching times and windows within the range 43.5-70 GHz.
Revising the introductory text for 3A002.d.4 to add an upper limit to the frequency switching control of 70 GHz.
Removing an “or” at the end of paragraph 3A002.d.3.d and adding it to the end of paragraph 3A002.d.3.e, because of the addition of new paragraph d.3.f. An “or” is added at the end of paragraph 3A002.d.4.b, because of the addition of new paragraph 3A002.d.5. These controls protect the applications (principally advanced radar) that are of national security concern. Finally, the umbrella control on signal generators ``> 70 GHz” is moved to new paragraph 3A002.d.5. Specifically, this revision relaxes the frequency threshold from the current value of 43.5 GHz to 70 GHz by clarifying that other control parameters apply between 43.5 and 70 GHz. This approach addresses emerging civilian telecommunications standards in the 56-67 GHz band by defining performance parameters.
ECCN 3A991 is amended by replacing the control level for Analog-to-Digital Converters (ADCs) in paragraph 3A991.c with the former control levels for ADCs in ECCN 3A001.a.5.a. Therefore, ADCs in 3A991.c.1 having a resolution of 8 bit or more, but less than 12 bit are amended by revising the output rate from “greater than 100 million words per second” to “greater than 200 million words per second.” ADCs in 3A991.c.2 having a resolution of 12 bit are amended by revising the output rate from “greater than 5 million words per second” to “greater than 105 million words per second.” ADCs in 3A991.c.3 having a resolution of more than 12 bit but equal to or less than 14 bit are amended by revising the output rate from “greater than 500 thousand words per second” to &