16 July 2005
Source: http://www.access.gpo.gov/su_docs/aces/fr-cont.html
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[Federal Register: July 15, 2005 (Volume 70, Number 135)]
[Rules and Regulations]
[Page 41093-41121]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15jy05-16]
[[Page 41093]]
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Part II
Department of Commerce
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Bureau of Industry and Security
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15 CFR Parts 740, 742, 743, 772, and 774
Export Administration Regulations: December 2004 Wassenaar Arrangement
Plenary Agreement Implementation; Final Rule
[[Page 41094]]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 742, 743, 772 and 774
[Docket No. 050607153-5153-01]
RIN 0694-AD41
December 2004 Wassenaar Arrangement Plenary Agreement
Implementation: Categories 1, 2, 3, 4, 5 Part I (Telecommunications),
6, 7, 8, and 9 of the Commerce Control List; Wassenaar Reporting
Requirements; Definitions; and Certain New or Expanded Export Controls
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
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SUMMARY: 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), 6, 7, 8, and 9, and Definitions to
conform with changes in the Wassenaar Arrangement's List of Dual-Use
Goods and Technologies and Statements of Understanding 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 CCL, definitions of terms used in the Export Administration
Regulations (EAR), and Wassenaar reporting requirements to implement
Wassenaar List revisions that were agreed upon in the December 2004
Wassenaar Arrangement Plenary Meeting. In addition, this rule adds
Slovenia to the list of Wassenaar member countries in the EAR.
This rule also adds or expands unilateral U.S. controls on certain
items consistent with the amendments made to implement the Wassenaar
Arrangement's decisions.
DATES: Effective Date: This rule is effective July 15, 2005.
FOR FURTHER INFORMATION CONTACT: For questions of a general nature
contact Sharron Cook, Office of Exporter Services, Bureau of Industry
and Security, U.S. Department of Commerce at (202) 482-2440 or e-mail:
scook@bis.doc.gov.
For questions of a technical nature contact:
Category 1: Bob Teer 202-482-4749
Category 2: George Loh 202-482-3570
Category 3: Brian Baker 202-482-5534
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
SUPPLEMENTARY INFORMATION:
Background
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). 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 have 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 common understandings of the risks associated
with the transfers of these items.
Addition of Slovenia
Slovenia was welcomed as a new Participating State to the Wassenaar
Arrangement at the December 2004 Plenary Meeting. To reflect this
change, this rule adds Slovenia to the list of Wassenaar Arrangement
member Countries in Supplement No. 1 to part 743.
Expansion or New Export Controls
New or expanded antiterrorism (AT) controls imposed by this rule.
This rule imposes a unilateral U.S. license requirement to export and
reexport commodities (and related software and technology) controlled
under ECCNs 6A001.a.2.a.3.b, 6A001.a.2.a.3.c, 6A001.a.2.a.6,
6A002.a.3.f, 6A003.b.4.b, 7A002.b for AT reasons to Cuba, Iran, Libya,
North Korea, Sudan and Syria, in addition to the national security
controls imposed to implement the Wassenaar Arrangement's decisions.
There is a general policy of denial for applications to terrorism
supporting countries, as set forth in part 742. In addition, certain of
these countries are also subject to embargoes, as set forth in part
746. A license is also required for the export and reexport of these
items to specially designated terrorists and foreign terrorist
organizations, as set forth in part 744; license applications to these
parties are reviewed under a general policy of denial.
New or expanded regional security (RS) controls imposed by this
rule. This rule also imposes a unilateral U.S. license requirement to
export and reexport commodities (and related technology) controlled
under ECCNs 6A002.a.3.f and 6A003.b.4.b for RS reasons to all
countries, except Canada, in addition to the national security controls
imposed to implement the Wassenaar Arrangement's decisions. These
destinations have an ``X'' indicated in RS column 1 on the Commerce
Country Chart of Supplement No. 1 to part 738. Applications to export
and reexport these commodities will be reviewed on a case-by-case basis
to determine whether the export or reexport could contribute directly
or indirectly to any country's military capabilities in a manner that
would alter or destabilize a region's military balance contrary to the
foreign policy interests of the United States. For designated
terrorism-supporting countries, the applicable licensing policies are
found in parts 742 and 746 of the EAR.
New or expanded United Nations (UN) controls imposed by this rule.
This rule also imposes a license requirement to export and reexport
commodities (and related technology) controlled under ECCN 6A002.a.3.f
for UN reasons to Rwanda in addition to the national security controls
imposed to implement the Wassenaar Arrangement's decisions. The U.S.
Government has a general policy of denial for export or reexport of
certain items, including 6A002.a.3, to Rwanda. However, proposed
exports or reexports to the Government of Rwanda are reviewed on a
case-by-case basis. The implementation of UN controls under
6A002.a.3.f, indirectly expands the UN controls under ECCNs 6A003.b.4,
6E001, and 6E002.
New or expanded NS Column 2 controls imposed by this rule. This
rule imposes a license requirement under section 742.4(a) of the EAR
for exports and reexports of commodities (and related software and
technology) described in ECCNs 6A001.a.2.a.3.b, 6A001.a.2.a.3.c,
6A001.a.2.a.6, 6A002.a.3.f, and 6A003.b.4.b to all
[[Page 41095]]
destinations that are not Country Group A:1 or cooperating countries
(see Supplement No. 1 to part 740). These destinations have an ``X''
indicated in NS column 2 on the Commerce Country Chart of Supplement
No. 1 to part 738. The purpose of the controls is to ensure that these
items do not make a contribution to the military potential that would
prove detrimental to the national security of the United States.
New or expanded NS Column 1 controls imposed by this rule. This
rule imposes a license requirement under section 742.4(a) of the EAR
for exports and reexports of commodities (and related software and
technology) described in ECCN 7A002.b to all destinations, except
Canada. These destinations have an ``X'' indicated in NS column 1 on
the Commerce Country Chart of Supplement No. 1 to part 738. The purpose
of the controls is to ensure that these items do not make a
contribution to the military potential that would prove detrimental to
the national security of the United States.
The licensing policy for national security controlled items
exported or reexported to any country except a country in Country Group
D:1 (see Supplement No. 1 to part 740) is to approve applications
unless there is a significant risk that the items will be diverted to a
country in Country Group D:1. The general policy for exports and
reexport of items to Country Group D:1 is to approve applications when
BIS determines, on a case-by-case basis, that the items are for
civilian use or would otherwise not make a significant contribution to
the military potential of the country of destination that would prove
detrimental to the national security of the United States.
This rule revises a number of entries on the Commerce Control List
(CCL) to conform with the December 2004 agreed 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 description of the specific amendments to the CCL pursuant
to the December 2004 Wassenaar Agreement is provided below. The ECCNs
affected, as described below, are 1C008, 2B001, 2B005, 2B006, 2B201,
3A001, 3A001, 3A002, 3B001, 3B002, 3B991, 3B992, 4D001, 4E001, 5A001,
6A001, 6A002, 6A003, 6A006, 6A993, 6A996, 6E001, 6E002, 6E003, 6E991,
6E993, 7A002, 7A007, 8A002, and 9A001.
Category 1--Materials, Chemicals, ``Microorganisms,'' and Toxins
ECCN 1C008 is amended by:
(a) Deleting the phrase ``determined using the dry method described
in ASTM D 3418'' from 1C008.a.4;
(b) Replacing the phrase ``ASTM D-648, method A'' with the phrase
``ISO 75-3 (2004)'' in 1C008.b;
(c) Adding the phrase ``having a glass transition temperature
(Tg) exceeding 513 K (240 [deg]C)'' to the end of 1C008.f;
and
(d) Replacing the phrase ``ASTM D 3418 using the dry method'' with
the phrase ``ISO 11357-2 (1999) or national equivalents'' in the
technical note to 1C008.
The amendments in 1C008 were agreed to by the Wassenaar Arrangement
for consistency and to avoid differing treatment of resins having the
same applications and functional capabilities. The plastic resins that
are controlled under 1C008.a.4 are extremely similar to those
controlled under 1C008.f. The characteristics of these two types of
resins allow them to be used interchangeably for the same end-uses. The
resins under 1C008.a.4 are controlled differently than those under
1C008.f. This has created a marketing distortion which favors the
resins controlled under 1C008.a.4. This rule clarifies the distinction
in the control of these resins by including a glass transition
temperature for items described in 1C008.f.
Category 2--Materials Processing
ECCN 2B001 is amended by:
(a) Removing the Note to 2B001.a regarding the contact lens turning
machines exception and placing it under the NS Reason for Control; and
(b) Revising Note 2 to 2B001.c regarding what jig grinders are not
controlled by ECCN 2B001.
Although the Wassenaar Arrangement agreed to not control under
2B001.c grinding machines that are ``designed specifically as jig
grinders that do not have a z-axis or w-axis, with a positioning
accuracy with `all compensations available' less (better) than 3 [mu]m
according to ISO 230/2 (1997) or national equivalents,'' Technical Note
6 at the beginning of Category 2 Product Group B states that ``The
positioning accuracy of `numerically controlled' machine tools is to be
determined and presented in accordance with ISO 230/2 (1988).''
Therefore, in Note 2 to 2B001.c BIS has replaced the ``3 [mu]m'' with
``4 [mu]m,'' which is the equivalent positioning accuracy under the
1988 standard.
The amendments to ECCN 2B001 were agreed to by the Wassenaar
Arrangement because many of the latest generation jig grinders today
utilize a Computer Numerical Controller (CNC) to control and coordinate
3 or more axes. The wording of the Note to 2B001.c could be interpreted
to release 3- or more axes jig grinders with full CNC contouring
control if a c- or an a-axis, as listed in 2B001.c Note 2, is added to
their current capabilities. This was not the original intent of the
Note. The revisions presented in this rule clarify that jig grinders
with precise 3-dimensional contouring capability are controlled,
because of their capacity to produce high-precision, complex military
components. The revision limits the exclusion by placing accuracy
parameters on the third linear axis (z or w).
ECCN 2B005 is amended by removing the term ``stored program
controlled'' from paragraphs 2B005.a, .b, .c, .d, .e, .f, and .g. ECCN
2B006 is amended by removing the term ``stored program controlled''
from paragraph 2B006.a. This term is removed because most equipment is
computer controlled now and the term no longer adds any value to the
control.
ECCN 2B201 is amended by revising the list of items controlled by
redesignating paragraphs (a) and (b) as paragraphs (b) and (c) and
adding a new paragraph (a) that describes machine tools with
``positioning accuracies'' to mirror 1.B.2.a and the Note to 1.B.2.a
from the Nuclear Suppliers Group INFCIRC/254/Rev. 5/Part 2 dated May
2003. This amendment is being added to conform with the Wassenaar
Arrangement's exclusion note for turning machines specially designed
for the production of contact lenses and capable of machining diameters
greater than 35 mm in 2B001. Also, because of the structure of the
numbering system for ECCNs in the CCL, an item (such as the item
covered under ECCN 2B201) which is controlled for NP reasons but not NS
reasons cannot remain in an NS-controlled ECCN where the second digit
is a ``0'' (2B001), because ``0'' indicates that an item is controlled
for NS reasons. The second digit differentiates individual CCL entries
by identifying the type of controls associated with the items contained
in the entry. (For example, zero indicates NS controls, one MT
controls, two NP controls, etc.)
Category 3--Electronics
ECCN 3A001 is amended by:
(a) Revising paragraph 3A001.a.3.c for microprocessor
microcircuits, micro-computer microcircuits, and microcontroller
microcircuits by increasing the controlling number of data or
instruction bus or serial communication ports from ``one'' to
``three,'' and increasing the direct
[[Page 41096]]
external interconnection between parallel microprocessor microcircuits
from a transfer rate exceeding ``150 Mbyte/s'' to ``1000 Mbyte/s or
greater.''
The Wassenaar Arrangement agreed to raise the threshold for the
number of ports to three and the transfer rate to 1000 Mbyte/s in
3A001.a.3.c because these thresholds will not adversely affect national
security, as the new thresholds fall just below what is currently being
used in some military systems.
The revision to 3A001.a.3.c will expand the availability of License
Exception CIV for deemed exports of technology for the development or
production of 3A001.a.3.c commodities, as described in 3E001.
(b) Revising the control parameter of conversion time to output
word rate to reduce control interpretation ambiguities across various
analog-to-digital (A-D) architectures. The conversion time parameter
did not take into account latency or techniques used to perform
conversions. Therefore, this rule revises paragraph 3A001.a.5.a for A-D
converter integrated circuits by:
(b.1) Splitting 3A001.a.5.a.1 into two separate ranges of
resolution with different controlling output parameters: ``A resolution
of 8 bit or more, but less than 10 bit, with an output rate greater
than 500 million words per second;'' and ``A resolution of 10 bit or
more, but less than 12 bit, with an output rate greater than 200
million words per second;''
(b.2) Revising the controlling parameter in 3A001.a.5.a.3 for A-D
converter integrated circuits with a resolution of 12 bit from ``with a
total conversion time of less than 20 ns'' to ``with an output rate
greater than 50 million words per second;''
(b.3) Revising the controlling parameter in 3A001.a.5.a.4 for A-D
converter integrated circuits with a resolution of more than 12 bit but
equal to or less than 14 bit from a ``total conversion time of less
than 200 ns;'' to an ``output rate greater than 5 million words per
second;''
(b.4) Revising the controlling parameter in 3A001.a.5.a.5 for A-D
converter integrated circuits with a resolution of more than 14 bit
from ``a total conversion time of less than 1 [mu]s'' to an ``output
rate greater than 1 million words per second.''
(c) Replacing the explanation for ``total conversion time'' in
Technical Note 2 with explanations ``for number of bits in the output
word'' and ``output rate'' in the new Technical Notes 2 through 4. This
change was made pursuant to agreed definition clarifications made at
the Plenary Meeting to be consistent with changes to the control
parameters for Analog-Digital Converters.
The amendments to 3A001.a.5.a were agreed to by the Wassenaar
Arrangement because the use of conversion time and sample rate metrics
are not consistent across different Analog-Digital Converter (ADC)
architectures. The revisions in this rule update the control parameter
to account for changes on the architectures of ADCs--specifically
pipelined converters and sigma delta converters--where conversion time
and sampling rate are not appropriate indicators of a converter's
capabilities.
ECCN 3A002 is amended by:
(a) Removing a comma in 3A002.b to conform to the Wassenaar Dual-
use List; and
(b) Redesignating 3A002.c.2 as new paragraph 3A002.c.3 and revising
3A002.c.1 by splitting it into two paragraphs 3A002.c.1 and new
3A002.c.2:
(a.1) Paragraph 3A002.c.1 is revised by adding a new parameter
``having a 3 dB resolution bandwidth (RBW) exceeding 10 MHz'' for
signal analyzers capable of analyzing any frequencies exceeding 31.8
GHz but not exceeding 37.5 GHz.
(a.2) New paragraph 3A002.c.2 controls signal analyzers capable of
analyzing frequencies exceeding 43.5 GHz, which used to be controlled
in 3A002.c.1.
The amendments to 3A002.c were agreed to by the Wassenaar
Arrangement to revise the decontrol to certain signal analyzers by
replacing the 31.8-37.5 GHz range frequency blackout that was agreed to
in December 2002 with controls based on resolution bandwidth. This
action is complementary to and consistent with the controls on signal
generators agreed to by the Wassenaar Arrangement in December 2003.
ECCN 3B001 is amended by:
(a) Revising the dimensions parameter for anisotropic plasma dry
etching equipment with cassette-to-cassette operation and load-locks
from ``0.3 [mu]m or less'' to 180 nm or less'' in 3B001.c.1.a;
(b) Revising the dimensions parameter for anisotropic plasma dry
etching equipment specially designed for equipment controlled by
3B001.e from ``0.3 [mu]m or less'' to ``180 nm or less'' in
3B001.c.2.a;
(c) Revising the wavelength parameter for lithography equipment
from ``350 nm'' to ``245 nm'' in 3B001.f.1.a;
(d) Revising the minimum resolvable feature size for lithograph
equipment from ``0.35 [mu]m'' to ``180 nm'' in 3B001.f.1.b; and
(e) Revising the K factor of the MRF formula in the Technical Note
from ``0.7'' to ``0.45.''
The Wassenaar Arrangement agreed to the revisions in 3B001 because
consensus was reached regarding PE-CVD equipment controlled by
3B001.d.1, one of the thresholds, ``critical dimensions,'' was relaxed
to 180 nm. ``Critical dimensions'' or ``feature size'' do not directly
indicate the performance of PE-CVD equipment; however, they are related
to the ``design rule'' of the semiconductor devices. In order to unify
as much as possible in other provisions of 3B001, 180 nm was adopted in
other relevant corresponding entries of the list for consistency. In
order for the relaxation under 3B001.d.1 to be effective, revisions had
to be made accordingly to 3B001.f.1.a (because the light source of KrF
steppers are 248nm). In addition, the Technical Note to 3B001.f.1.b is
revised because the level of K-factor has become lower based on the
recent technological developments, e.g., the K-factor of most current
lithography equipment is less than 0.45.
Commodities no longer controlled under ECCN 3B001 continue to be
controlled for antiterrorism reasons under ECCN 3B991.b.2.f for exports
and reexports to designated terrorism-supporting countries, as set
forth in parts 742 and 746 of the EAR and as indicated in AT Column 1
of the Commerce Country Chart.
ECCN 3B002 is amended by removing the term ``stored program
controlled'' from the heading. This term is removed because most
equipment is computer controlled now and the term no longer adds any
value to the control. ECCN 3B002 is further amended by removing and
reserving 3B002.b, including the Note and Technical Note. The Wassenaar
Arrangement agreed to the removal of 3B002.b because although enhancing
production efficiencies, semiconductor test equipment in 3B002 is not
considered to be a choke point technology or a key enabler for
semiconductor production. This type of testing equipment lowers
manufacturing costs and increases output but does not otherwise provide
semiconductor producers with the ability to create particular chips or
technically advanced devices. Restricting test equipment also does not
prevent the production of semiconductors targeted for military use. In
addition, the most advanced semiconductor devices can be produced
without requiring full speed testing on automatic test equipment.
Moreover, test services have become readily available through
international test
[[Page 41097]]
outsourcing companies. Semiconductors can be developed and manufactured
in one country and then tested in other countries with no restrictions.
ECCN 3B991 is amended by adding the words ``e.g., lithography'' to
3B991.b.2.f, to clarify that lithography equipment is controlled under
that paragraph.
ECCN 3B992 is amended by:
(a) Organizing the notes after 3B992.b.4.b, and adding a note that
3B992.b.4.b does not control test equipment specially designed for
testing memories; and
(b) Adding a technical note to define ``pattern rate.''
Commodities no longer controlled under ECCN 3B002 continue to be
controlled for antiterrorism reasons under ECCN 3B992 for exports and
reexports to designated terrorism-supporting countries, as set forth in
parts 742 and 746 of the EAR and as indicated in AT Column 1 of the
Commerce Country Chart.
Category 4--Computers
ECCN 4A003 is amended by making an editorial correction, removing a
reference to ``4A003.d'' in Note 1 to 4A003.c.
ECCN 4A994 is amended by making an editorial correction, clarifying
the reference to ``4A994'' to read ``4A994.g and 4A994.k'' in Note 1 to
4A994.c.
ECCN 4D001 is amended by:
(a) Removing the License Requirement Note that provided a reference
to Wassenaar reporting requirements for computer software under ECCN
4D001, because this rule removed this Wassenaar reporting requirement.
(b) Raising the CTP limit from ``33,000 MTOPS'' to ``190,000
MTOPS'' in the License Exception TSR eligibility paragraph under the
License Exception section of ECCN 4D001.
(c) Raising the composite theoretical performance (CTP) control
threshold for software for the production, development, or use of
computers from ``28,000 MTOPS'' to ``75,000 MTOPS'' in 4D001.b.1.
ECCN 4E001 is amended by:
(a) Removing the License Requirement Note that provided a reference
to Wassenaar reporting requirements for computer technology under ECCN
4E001, because this rule removed this Wassenaar reporting requirement.
(b) Raising the CTP limit from ``33,000 MTOPS'' to ``190,000
MTOPS'' in the License Exception TSR eligibility paragraph under the
License Exception section of 4E001.
(c) Raising the composite theoretical performance (CTP) control
threshold for technology for the production, development, or use of
computers from ``28,000 MTOPS'' to ``75,000 MTOPS'' in 4E001.b.1.
The amendments to 4D001 and 4E001 were agreed to in the Wassenaar
Arrangement because digital computers capable of either 75,000 or
190,000 MTOPS are becoming more common. The Wassenaar Arrangement
recognized this with its decontrol of hardware to 190,000 MTOPS. Most
of the multi-processor computer servers sold in this range are for
commercial applications. It is for these reasons that the Wassenaar
Arrangement removed computer technology and software from the Annex 2
(Very Sensitive List), raised the Annex 1 (Sensitive List) threshold
from ``150,000 MTOPS'' to ``190,000 MTOPS,'' and raised the control
threshold from ``33,000 MTOPS'' to ``75,000 MTOPS.'' Therefore, this
rule revises to the CTP limit for License Exception TSR eligibility in
ECCNs 4D001 and 4E001 accordingly.
BIS expects that the raising of the threshold for computer software
and technology in 4D001 and 4E001, along with raising the eligibility
limit for License Exceptions TSR and CTP will decrease the number of
Category 4 license applications received by BIS by about 15 percent
(i.e., 150 applications) over the next 6 months.
Software and technology no longer controlled under ECCNs 4D001 and
4E001 continue to be controlled for antiterrorism reasons under ECCN
4D994 and 4E992, respectively, for exports and reexports to designated
terrorism-supporting countries, as set forth in parts 742 and 746 of
the EAR and as indicated in AT Column 1 of the Commerce Country Chart.
Category 5--Part I--Telecommunications
ECCN 5A001 is amended by:
(a) Raising the operating frequency for electronically steerable
phased array antennae from ``31 GHz'' to ``31.8 GHz'' in paragraph
5A001.d.
In 2003, all frequency control units in Categories 3 and 5 were
changed from 31 GHz to 31.8 GHz, except 5.A.1.d. This revision is a
technical correction to implement a change that was inadvertently
overlooked in 2003.
(b) Moving ECCN 7A007 to 5A001.e--direction finding equipment
operating at frequencies above 30 MHz, and having other characteristics
set forth in 5A001.e.1 through e.3, and specially designed components
therefor.
This rule adds a note to the Related Controls paragraph in the List
of Items Controlled section that states, ``Direction finding equipment
defined in 5A001.e is subject to the export licensing authority of the
Department of State, Directorate of Defense Trade Controls (22 CFR part
121).'' Direction finding equipment defined in 5A001.e is specifically
excluded from eligibility for License Exceptions LVS, GBS, and CIV,
because this equipment will remain under the jurisdiction of the
Department of State, Directorate of Defense Trade Controls.
ECCN 7A007 is moved to 5A001.e to ensure that direction-finding
equipment for navigation is not confused with direction-finding
equipment for surveillance. Direction finding equipment defined in
5A001.e is subject to the export licensing authority of the Department
of State, Directorate of Defense Trade Controls (22 CFR part 121),
because radio surveillance equipment and systems capable of finding the
line-of-bearing (LOB) to a radio transmitter are used in tactical
applications for locating and targeting hostile emitters. Historically,
direction finding equipment for surveillance equipment has been
controlled under International Munitions List (IML) Category 11.
However, the International Telecommunications Union Spectrum Monitoring
Handbook recommends that civil spectrum authorities employ radio-
surveillance direction finding systems (DF) capable of finding the LOB
to emitters with signals with a duration of less than 10 milliseconds.
Systems which meet and exceed this threshold are marketed for this
purpose, indicating that surveillance equipment and systems for
locating non-cooperating emitters may be becoming more dual-use in
nature, even though it is still of tactical interest.
Category 6--Sensors
ECCN 6A001 is amended by:
(a) Redesignating paragraphs 6A001.a.2.a.2 through 6A001.a.2.a.5,
to 6A001.a.2.a.3 through 6A001.a.2.a.6;
This rule revises License Exception LVS eligibility to harmonize
with the redesignation of these paragraphs.
(b) Revising 6A001.a.2.a.1 to separate the characteristics for
hydrophones into two paragraphs 6A001.a.2.a.1 and a new paragraph
6A001.a.2.a.2;
(c) Redesignating paragraph 6A001.a.2.a.3.b as 6A001.a.2.a.3.c and
revising the control language from ``Flexible piezoelectric ceramic
materials'' to ``Flexible piezoelectric composites'' in the newly
designated 6A001.a.2.a.3 (used to be 6A001.a.2.a.2);
(d) Adding a new paragraph 6A001.a.2.a.3.b to control
``Piezoelectric polymer films other than polyvinylidene-fluoride (PVDF)
and its
[[Page 41098]]
co-polymers {P(VDF-TrFE) and P(VDF-TFE){time} ;'' and
(e) Adding two new Technical Notes to 6A001.a.2.a to define
``Piezoelectric polymer film'' and ``Flexible piezoelectric
composite.''
The Wassenaar Arrangement agreed to the revisions in ECCN 6A001
because the original intention was not to include all kinds of semi-
rigid assemblies of discrete sensor elements, but only sensitive sensor
elements constituting a flexible assembly and thereby making an array
easy to handle.
ECCN 6A002 is amended by:
(a) Adding an N.B. to 6A002.a to state that 6A002.a includes
``focal plane arrays'' based on microbolometer material (see
6A002.a.3.f), and that silicon-based ``focal plane arrays'' are only
specified under 6A002.a.3.f;
(b) Adding a Note Bene to 6A002.a.3 to read as follows: ``N.B.
Silicon and other material based `microbolometer' non ``space-
qualified'' ``focal plane arrays'' are only specified in 6A002.a.3.f.''
(c) Removing paragraph (a) from Note 2 to 6A002.a.3 and
redesignating the other paragraphs accordingly. Paragraph (a) of Note 2
to 6A002.a.3 stated that 6A002.a.3 does not control silicon ``focal
plane arrays'';
(d) Adding a Note Bene to 6A002.a.3.c to read ``N.B. Silicon and
other material based `microbolometer' non-``space-qualified'' ``focal
plane arrays'' are only specified in 6A002.a.3.f.''
(e) Adding paragraph 6A002.a.3.f to control non-``space-qualified''
non-linear (2-dimensional) infrared ``focal plane arrays'' based on
microbolometer material having individual elements with an unfiltered
response in the wavelength range equal to or exceeding 8,000 nm but not
exceeding 14,000 nm; and
(f) Adding a technical note for 6A002.a.3.f to define
``microbolometer'' as a thermal imaging detector that, as a result of a
temperature change in the detector caused by the absorption of infrared
radiation, is used to generate any usable signal.
(g) Adding a technical note for 6A002.a.3.f that specifies that
microbolometers having any response between 8,000 nm and 14,000 nm are
controlled.
The amendments to ECCNs 6A002 and 6A003 (and indirectly 6E001 and
6E002) were agreed to by the Wassenaar Arrangement because, while
silicon infrared focal plane arrays (SIIRFPAs) are used in cameras and
other systems for civilian fire fighting, commercial collision
avoidance (e.g. automotive, aircraft, maritime), predictive/
preventative maintenance, and medical imaging applications, they also
have the potential to be used in strategic military applications
including surveillance systems, vehicle systems, soldier systems, rifle
sights, and unmanned vehicle systems.
The focal plane array industry is changing rapidly and needs to be
monitored. The amendments to ECCNs 6A002 and 6A003 are subject to a
Validity Note. Control of these items is valid until December 5, 2007.
Renewal of controls will require unanimous consent by all Wassenaar
Arrangement Participating States. Applying a validity note on these
items requires Participating States to reassess the need for
controlling these items based on technological developments and
strategic applications.
By interagency agreement, there are no devices that are no longer
controlled under ECCN 6A002 as a result of these amendments that merit
application of antiterrorism controls. Therefore, this rule does not
amend ECCN 6A992.
ECCN 6A003 is amended by:
(a) Adding paragraph 6A003.b.4.a to clarify that imaging cameras
incorporating ``focal plane arrays'' controlled by 6A002.a.3.a to
6A002.a.3.e are controlled by 6A003.b.4.a;
(b) Adding paragraph 6A003.b.4.b to add a control for imaging
cameras incorporating 6A002.a.3.f--non-``space-qualified'' non-linear
(2-dimensional) infrared ``focal plane arrays'' based on microbolometer
material having individual elements with an unfiltered response in the
wavelength range equal to or exceeding 8,000 nm but not exceeding
14,000 nm;
(c) Renumbering the existing note as Note 2 and adding Note 1 to
6A003.b.4 to read ```Imaging cameras' described in 6A003.b.4 include
``focal plane arrays'' combined with sufficient signal processing
electronics, beyond the read out integrated circuit, to enable as a
minimum the output of an analogue or digital signal once power is
supplied.'';
(d) Adding Note 3 to 6A003.b.4.b to explain what is not controlled
under 6A003.b.4.b. The new note explains that ECCN 6A003.b.4.b does not
control the following items:
(a) Imaging cameras having a maximum frame rate equal to or less
than 9 Hz; or
(b) Imaging cameras having a minimum horizontal or vertical
Instantaneous-Field-of-View (IFOV) of at least 10 mrad/pixel
(milliradians/pixel), incorporating a fixed focal-length lens that is
not designed to be removed, not incorporating a direct view display,
having no facility to obtain a viewable image or designed for a single
kind of application and designed not to be user modified; or
(c) Imaging cameras that are specially designed for installation
into certain civilian passenger land vehicles, and that incorporate a
tamper-proof mechanism.
A note to this entry states that detailed information about items
must be provided, upon request, to the Bureau of Industry and Security
in order to ascertain compliance with the conditions described in Note
3.b.4. and Note 3.c. in this Note to 6A003.b.4.b. The intent of this
note is to require exporters in Wassenaar Arrangement countries to
provide detailed technical data, if requested by their governments, to
assist in making licensing decisions. Such a procedure is common
practice in the United States, and this note imposes no additional
burden on U.S. exporters.
Certain commodities no longer controlled under ECCN 6A003, as well
as certain items not previously listed on the Commerce Control List,
are controlled for antiterrorism reasons under new ECCN 6A993 for
exports and reexports to designated terrorism-supporting countries, as
set forth in parts 742 and 746 of the EAR and as indicated in AT Column
1 of the Commerce Country Chart (see discussion of 6A993 below).
The revisions to ECCNs 6A002 and 6A003 affect U.S. exporters of
imaging cameras and non-space qualified silicon infrared focal plane
arrays (SIIRFPAs), original equipment manufacturers who use non-space
qualified SIIRFPAs in their products, and distributors of these
products and technologies. Based on discussions with industry, BIS
expects that the imposition of license requirements on systems that
contain these non-space qualified SIIRFPAs and related software and
technology will increase the number of Category 6 license applications
received by BIS by more than 40 percent (i.e., 800 to 1000
applications) over the next 6 months.
ECCN 6A006 is amended by:
(a) Splitting 6A006.a (Magnetometers) into three separate
paragraphs: 6A006.a.1 to control those using superconductive (SQUID)
technology, 6A006.a.2 those using optically pumped or nuclear
precession (proton/Overhauser) technology, and 6A006.a.3 to control
those using fluxgate technology;
(b) Adding the following two characteristics for 6A006.a.1
(magnetometers using superconductive (SQUID) technology):
(1) 6A006.a.1.a, which are those that have SQUID systems designed
for stationary operation with certain characteristics; and
[[Page 41099]]
(2) 6A006.a.1.b, which are those that have SQUID systems designed
for in-motion operation with certain characteristics;
Note that this rule removes License Exception LVS eligibility for
``magnetometers'' and subsystems defined in 6A006.a.1, because
magnetometers and subsystems with these characteristics are utilized in
military applications and 6A006.a.1 is the old 6A006.h, which is listed
on the Wassenaar Arrangement's Sensitive List (Annex 1).
(c) Revising the noise level (sensitivity) for magnetometers and
subsystems defined using optically pumped or nuclear precession
(proton/Overhauser) technology, in 6A002.a.2, from ``lower (better)
than 0.05 nT rms per square root Hz'' to ``lower (better) than 20
pT(rms) per square root Hz;
Note also that this rule removes License Exception LVS eligibility
for ``magnetometers'' and subsystems defined in 6A006.a.2 using
optically pumped or nuclear precession (proton/Overhauser) having a
``noise level'' (sensitivity) lower (better) than 2 pT rms per square
root Hz, because magnetometers and subsystems with these
characteristics are utilized in military applications and are therefore
listed on the Wassenaar Arrangement's Sensitive List (Annex 1).
(d) Revising the noise level (sensitivity) for magnetometers and
subsystems using fluxgate technology, in 6A006.a.3, from ``lower
(better) than 0.05 nT rms per square root Hz'' to ``lower (better) than
10 pT (rms) per square root Hz at a frequency of 1 Hz;''
(e) Redesignating 6A006.b (induction coil magnetometers) and
6A006.c (fiber optic magnetometers) as 6A006.a.4 and 6A006.a.5;
(f) Redesignating 6A006.d (Magnetic gradiometers), 6A006.e (Fiber
optic intrinsic magnetic gradiometers), 6A006.f (Intrinsic magnetic
gradiometers other than fiber optic), and 6A006.g (magnetic
compensation systems) as 6A006.b.1, 6A006.b.2, 6A006.b.3, and 6A006.c
respectively; and
(g) Removing 6A006.h (Superconductive electromagnetic sensors).
The Wassenaar Arrangement agreed to the revisions in 6A006 because
it makes no difference what technology is used to perform a
measurement, only the sensitivity, therefore the specific technologies
were dropped from the control.
Commodities no longer controlled under ECCN 6A006, and related
technology no longer controlled under 6E001, continue to be controlled
for antiterrorism reasons under ECCNs 6A996 and 6E991, respectively,
for exports and reexports to designated terrorism-supporting countries,
as set forth in parts 742 and 746 of the EAR and as indicated in AT
Column 1 of the Commerce Country Chart.
ECCN 6A993 is added to EAR to control for antiterrorism (AT)
reasons imaging cameras no longer controlled under 6A003.b.4.b (see
Note 3 to 6A003.b.4.b). ECCN 6A993 also captures certain cameras that
previously were not controlled on the CCL such as cameras incorporating
microbolometers made from amorphous silicon or thermopiles that fall
below the control thresholds for 6A003. The effect of adding this entry
is to require a license to export or reexport certain low performance
thermal imaging cameras to those countries determined by the Department
of State to have provided support for international terrorism.
ECCN 6A996 is amended by revising the entry to include not only
magnetometers, but also superconductive electromagnetic sensors
formerly controlled for NS reasons in 6A006.h.
ECCNs 6E001 and 6E002 are amended by:
(a) Removing License Exception TSR eligibility for exports or
reexports of 6A001.a.1.b.1 (Object detection or location systems) to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Japan, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom, because
6A001.a.1.b.1 is listed on the Wassenaar Arrangement's Annex 2 (Very
Sensitive List).
(b) Replacing 6A001.a.2.a.3 with 6A001.a.2.a.4, and adding
6A001.a.2.a.6 to the list of ineligible commodities under License
Exception TSR, because of the redesignation of paragraphs in
6A001.a.2.a and because these paragraphs are listed on the Wassenaar
Arrangement's Annex 2 (Very Sensitive List).
ECCN 6E003 is amended by removing ECCN 6E003.f (Technology required
for the development or production of non-triaxial fluxgate
magnetometers or non-triaxial fluxgate magnetometer systems), to
conform with a similar change on the Wassenaar Arrangement list.
Technology no longer controlled under ECCN 6E003 continues to be
controlled for antiterrorism reasons under ECCN 6E993 for exports and
reexports to designated terrorism-supporting countries, as set forth in
parts 742 and 746 of the EAR and as indicated in AT Column 1 of the
Commerce Country Chart.
ECCN 6E991 is amended by making an editorial correction to the
heading, i.e., revising the phrase ``or use equipment'' to read ``or
use of equipment.''
ECCN 6E993 is amended by:
(a) Revising the ``heading'' to include the phrase ``as follows
(see List of Items Controlled)'' to clarify that 6E993 only controls
the technology in the List of Items Controlled;
(b) Adding a new paragraph 6E993.c to control technology for the
development or production of cameras controlled by 6A993, i.e., those
cameras decontrolled by Note 3 to 6A003.b.4.b; and
(c) Adding a new paragraph 6E993.d (formally 6E003.f) to control
technology required for the development or production of non-triaxial
fluxgate magnetometers or non-triaxial fluxgate magnetometer systems.
Because technology entries generally directly correspond to
commodity entries, the shift of commodities from NS-controlled entries
to AT-controlled entries (e.g., 6A003 to 6A993) necessitates a
corresponding shift in technology controls (e.g., 6E003 to 6E993).
Category 7--Navigation and Avionics
ECCN 7A002 (Gyros, and angular or rotational accelerometers) is
amended by:
(a) Revising the time frame in which drift rate stability is
measured from ``over a period of three months'' to ``over a period of
one month'' in 7A002.a;
(b) Revising the linear acceleration level from ``below 10 g'' to
``below 12 g'' in 7A002.a.1;
(c) Revising the linear acceleration level from ``from 10 g to 100
g'' to ``from 12 g to 100 g'' in 7A002.a.2;
(d) Redesignating 7A002.b as 7A002.c; and
(e) Adding a new control parameter in new paragraph 7A002.b (angle
random walk in degree per square root hour), including a Note
describing that 7A002.b does not control spinning mass gyros, and a
Technical Note defining ``angle random walk''. This rule also revises
the MT control in the License Requirements section to exempt the newly
added 7A002.b from MT controls, as this is not a control parameter for
gyros on the Missile Technology Control Regime Annex.
The amendments to 7A002.a and the addition of 7A002.b were agreed
to by the Wassenaar Arrangement, because 7A002.a only addressed
gyroscopes with long-term stability, mainly used for spacecraft,
vessels and submersibles. The current control did not adequately
address gyroscopes with short-term
[[Page 41100]]
stability that are used for aircraft, land vehicles, rockets and
tactical missiles. This rule revises 7A002.a and adds new parameters in
7A002.b to address highly accurate gyroscopes necessary to meet the
existing inertial system's parameters in 7A003.a. and 7A003.c.1.
ECCN 7A007 is removed and the direction finding equipment is now
controlled under ECCN 5A001.e. This amendment is explained in the
description of amendments to Category 5 in paragraph (b) above.
Category 8--Marine
ECCN 8A002 is amended by removing the term ``stored program
controlled'' from 8A002.h, 8A002.i.2, and the Note following 8A002.i.2.
This term is removed because most equipment is computer controlled now
and the term no longer adds any value to the control.
Category 9--Propulsion Systems, Space Vehicles and Related Equipment
ECCN 9A001 is amended by:
(a) Revising the heading to make it more general, so that the
parameter in the heading could be placed in a new paragraph 9A001.a;
(b) Moving old 9A001.a. and 9A001.b to the new Note to 9A001.a; and
(c) Redesignating 9A001.c (aero gas turbine engines that are
designed to power an aircraft designed to cruise at Mach 1 or higher
for more than 30 minutes) as 9A001.b.
The Wassenaar Arrangement agreed to the revisions in ECCN 9A001
because it was unclear whether the certification referred to in 9A001
had to be done by aviation authorities in a Wassenaar Participating
State or whether the certification could be done by aviation
authorities in any country, including rogue countries who could evade
the Wassenaar controls by issuing civil certification for aircraft that
would never be considered acceptable by a Wassenaar Participating
State.
Section 740.7--License Exception Computers (CTP)
This rule raises the Composite Theoretical Performance (CTP)
eligibility limit from 75,000 MTOPS to 190,000 MTOPS for deemed exports
of computer technology and source code to foreign nationals of Computer
Tier 3 destinations, because doing so will assist the computer industry
in the area of research and development to advance computer technology,
and because it will not adversely affect the national security of the
United States. Certain deemed exports to Computer Tier 3 foreign
nationals are subject to a Foreign National Review requirement.
Digital computers capable of either 75,000 or 190,000 MTOPS are
becoming more common. The Wassenaar Arrangement (WA) recognized this
with its decontrol of hardware to 190,000 MTOPS. Most of the multi-
processor computer servers sold in this range are for commercial
applications. It is for these reasons that WA removed computer
technology and software from the Annex 2 (Very Sensitive List), raised
the Annex 1 (Sensitive List) threshold from ``150,000 MTOPS'' to
``190,000 MTOPS,'' and raised the control threshold under ECCNs 4D001
and 4E001 from ``33,000 MTOPS'' to ``75,000 MTOPS.''
Generally, Wassenaar Arrangement countries do not have in-country
transfer controls (deemed export controls), with the exception of
classified material. A deemed export is any release of technology or
source code subject to the EAR to a foreign national within the United
States. Such release is deemed to be an export to the home country or
countries of the foreign national. The deemed export rule does not
apply to persons lawfully admitted for permanent residence in the
United States and does not apply to persons who are protected
individuals under the Immigration and Naturalization Act (8 U.S.C.
1324b(a)(3)). Deemed export license applications for foreign nationals
with dual citizenship should be based on the most recently obtained
country citizenship. Applications for foreign nationals with temporary
or permanent residence status of a third country (i.e., non-U.S. and a
temporary or permanent residence status other than a foreign national's
country of origin) should be based on the foreign national's country of
citizenship.
Because the United States is one of the only Wassenaar Arrangement
member countries to implement deemed export controls, U.S. industry has
been required to obtain license authorization for these deemed exports
when other Wassenaar Arrangement member countries have not imposed such
controls on their industries. Expanding the availability of a License
Exception for deemed exports of computer technology and source code
provides relief from licensing burdens for U.S. industry and levels the
playing field in global competition. BIS agrees with the analysis of WA
and has decided that the expansion of license exception availability
under the technology parameters set forth above will not have an
adverse impact on the U.S. national security, and will assist in
strengthening the U.S. national security through advancements in
computer technology.
Section 740.11 and Supplement No. 1 to Part 740.11--License Exception
GOV
The Wassenaar Arrangement agreed to remove computer technology and
software from the Annex 2 (Very Sensitive List) for reasons stated in a
note under Category 4 above. Therefore, this rule removes the
restrictions for computer software classified under ECCN 4D001 and
computer technology under ECCN 4E001 under License Exception GOV for:
(1) The official use of any agency of a cooperating government within
the territory of any cooperating government; (2) the official use of a
diplomatic or consular mission of a cooperating government located in
any country in Country Group B (see Supplement No. 1 to part 740); and
(3) the official international safeguard use of the International
Atomic Energy Agency (IAEA) and the European Atomic Energy Community
(Euratom). However, the access of computer restriction by nationals of
countries in Country Group E:1 will be retained in a new paragraph
740.11(a)(4).
In addition, this rule removes computers from the list of items
excluded from eligibility under License Exception GOV to the
Organization for Prohibition of Chemical Weapons (OPCW). However, the
access of computer restriction by nationals of countries in Country
Group E:1 will be retained in a new paragraph 740.11(c)(4).
1. Section 740.11 is amended by removing and reserving paragraphs
(a)(2)(ii), (a)(2)(iii), and (a)(2)(vi)(A). In addition, the Note to
740.11(a)(2)(iii) is removed.
2. Supplement No. 1 to 740.11 is amended by removing and reserving
paragraphs (a)(1)(vi)(A), (a)(1)(vii)(B), (b)(1)(vi)(A), and
(b)(1)(vii)(B).
Because of the redesignation of the paragraphs in 6A001.a.2,
concerning hydrophones, the following corresponding revisions were made
to section 740.11 and Supplement No. 1 to section 740.11 to ensure that
all cross-references are accurate:
1. Section 740.11 is amended by revising paragraph (a)(2), and
2. Supplement No. 1 to 740.11 is amended by revising paragraphs
(a)(1), (a)(1)(vii)(D), (a)(1)(vii)(E), (b)(1), (b)(1)(vii)(D), and
(b)(1)(vii)(E).
Section 742.12 ``High Performance Computers''
Section 742.12 is amended by revising the phrase ``greater than
75,000 MTOPS.'' to read ``greater than 190,000 MTOPS.'' in paragraph
(a)(3), to harmonize the CTP value in this paragraph with the Wassenaar
reporting requirement in 743.1(c)(2).
[[Page 41101]]
Section 743.1 ``Wassenaar Arrangement''
Section 743.1 is amended by revising the phrase ``having a CTP
exceeding 75,000 MTOPS.'' to read ``having a CTP exceeding 190,000
MTOPS.'' in paragraph (c)(2), because the Wassenaar Arrangement agreed
to raise the threshold to 190,000 MTOPS in the Sensitive List (Annex
1).
Definitions in Part 772
``Allocated by the ITU'' has been amended by revising which ITU
Radio Regulations should be consulted for the allocation of frequency
bands, from ``edition 1998'' to ``current edition of the'' ITU Radio
Regulations.
``Stored program controlled'' was removed from the Wassenaar
Arrangement's definitions because most equipment is computer controlled
now and the term no longer adds any value to the control, therefore the
term has been removed from many paragraphs in the CCL. However, BIS
will retain this definition in part 772, because the term is still used
in some ECCNs controlled for anti-terrorism reasons, e.g., ECCNs 3B991,
4B994, and 5A991, and to remove the term from these entries would allow
the rare instance of manually controlled equipment to be used in
nefarious ways.
Although the Export Administration Act expired on August 20, 2001,
Executive Order 13222 of August 17, 2001 (3 CFR, 2001 Comp., p. 783
(2002)), as extended by the Notice of August 6, 2004, 69 FR 48763
(August 10, 2004) continues the Regulations in effect under the
International Emergency Economic Powers Act.
Saving Clause
Shipments of items removed from license exception eligibility or
eligibility for export without a license as a result of this regulatory
action that were on dock for loading, on lighter, laden aboard an
exporting carrier, or en route aboard a carrier to a port of export, on
August 15, 2005, pursuant to actual orders for export to a foreign
destination, may proceed to that destination under the previous license
exception eligibility or without a license so long as they have been
exported from the United States before September 13, 2005. Any such
items not actually exported before midnight, on September 13, 2005,
require a license in accordance with this regulation.
Rulemaking Requirements
1. This final rule has been determined to be not significant for
purposes of E.O. 12866.
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 two collections of information subject to the PRA. One of the
collections has been approved by OMB under control number 0694-0088,
``Multi-Purpose Application,'' and carries a burden hour estimate of 58
minutes for a manual or electronic submission. The other of the
collections has been approved by OMB under control number 0694-0106,
``Reporting and Recordkeeping Requirements under the Wassenaar
Arrangement,'' and carries a burden hour estimate of 21 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, Department of
Commerce, 14th and Pennsylvania Avenue, NW., Room 6883, Washington, DC
20230.
3. This rule does not contain policies with Federalism implications
as that term is defined under E.O. 13132.
4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (5 U.S.C. 553(a)(1)). Further, no other
law requires that a notice of proposed rulemaking and an opportunity
for public comment be given for this final rule. Because a notice of
proposed rulemaking and an opportunity for public comment are not
required to be given for this rule under the Administrative Procedure
Act or by any other law, the analytical requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are not applicable. Therefore,
this regulation is issued in final form. Although there is no formal
comment period, public comments on this regulation are welcome on a
continuing basis. Comments should be submitted to Sharron Cook, Office
of Exporter Services, Bureau of Industry and Security, Department of
Commerce, P.O. Box 273, Washington, DC 20044.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 742
Exports, Terrorism.
15 CFR Part 743
Administrative practice and procedure, Reporting and recordkeeping
requirements.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
0
Accordingly, parts 740, 742, 743, 772 and 774 of the Export
Administration Regulations (15 CFR parts 730-799) are amended as
follows:
PART 740--[AMENDED]
0
1. The authority citation for part 740 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
Sec. 901-911, Pub. L. 106-387; E.O. 13026, 61 FR 58767, 3 CFR, 1996
Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783;
Notice of August 6, 2004, 69 FR 48763 (August 10, 2004).
Sec. 740.7 [Amended]
0
2. Section 740.7 is amended by revising the phrase ``with a CTP less
than or equal to 75,000 MTOPS are eligible for deemed exports under
License Exception CTP to foreign nationals of Tier 3 destinations'' to
read ``with a CTP less than or equal to 190,000 MTOPS are eligible for
deemed exports under License Exception CTP to foreign nationals of Tier
3 destinations'' in paragraph (d)(3).
0
3. Section 740.11 is amended by:
0
(a) Revising paragraph (a)(2) introductory text as set forth below;
0
(b) Removing and reserving paragraphs (a)(2)(ii), (a)(2)(iii),
(a)(2)(vi)(A), and (c)(2)(i);
0
(c) Removing the Note to 740.11(a)(2)(iii); and
0
(d) Adding two new paragraphs (a)(4) and (c)(4) to read as follows:
Sec. 740.11 Governments, international organizations, and
international inspections under the Chemical Weapons Convention (GOV).
* * * * *
(a) * * *
(2) The following items controlled for national security (NS)
reasons under
[[Page 41102]]
Export Control Classification Numbers (ECCNs) identified on the
Commerce Control List may not be exported or reexported under this
License Exception to destinations other than Austria, Belgium, Canada,
Denmark, Finland, France, Germany, Greece, Ireland, Italy, Luxembourg,
the Netherlands, Portugal, Spain, Sweden, and the United Kingdom:
1C001, 5A001.b.5, 6A001.a.1.b.1 object detection and location systems
having a sound pressure level exceeding 210 dB (reference 1 [mu]Pa at 1
m) for equipment with an operating frequency in the band from 30 Hz to
2 kHz inclusive, 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.3,
6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b, 6A001.a.2.e, 6A002.a.1.c,
6A008.l.3, 6B008, 8A001.b, 8A001.d, 8A002.o.3.b; and
* * * * *
(4) Restrictions. Nationals of countries in Country Group E:1 may
not physically or computationally access computers that have been
enhanced by ``electronic assemblies'', which have been exported or
reexported under License Exception GOV and have been used to enhance
such computers by aggregation of ``computing elements'' so that the CTP
of the aggregation exceeds the CTP parameter set forth in ECCN 4A003.b.
of the Commerce Control List in Supplement No. 1 to part 774 of the
EAR, without prior authorization from the Bureau of Industry and
Security.
* * * * *
(c) * * *
(4) Restrictions. Nationals of countries in Country Group E:1 may
not physically or computationally access computers that have been
enhanced by ``electronic assemblies'', which have been exported or
reexported under License Exception GOV and have been used to enhance
such computers by aggregation of ``computing elements'' so that the CTP
of the aggregation exceeds the CTP parameter set forth in ECCN 4A003.b.
of the Commerce Control List in Supplement No. 1 to part 774 of the
EAR, without prior authorization from the Bureau of Industry and
Security.
0
4. Supplement No. 1 to 740.11 is amended by:
0
a. Removing and reserving paragraphs (a)(1)(vi)(A), (a)(1)(vii)(B),
(b)(1)(vi)(A), and (b)(1)(vii)(B); and
0
b. Revising paragraphs (a)(1) introductory text, (a)(1)(vii)(D),
(a)(1)(vii)(E)(b)(1) introductory text, (b)(1)(vii)(D), and
(b)(1)(vii)(E), to read as follows:
Supplement No. 1 to Sec. 740.11--Additional Restrictions on Use of
License Exception Gov
(a) * * *
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
5A001.b.5, 6A001.a.1.b.1 object detection and location systems
having a sound pressure level exceeding 210 dB (reference 1 [mu]Pa
at 1 m) for equipment with an operating frequency in the band from
30 Hz to 2 kHz inclusive, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.e, 6A002.a.1.c, 6A008.1.3, 6B008, 8A001.b, 8A001.d,
8A002.o.3.b; and
* * * * *
(vii) * * *
(D) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 6A008.1.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
(E) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 6A008.1.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
* * * * *
(b) * * *
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
5A001.b.5, 6A001.a.1.b.1 object detection and location systems
having a sound pressure level exceeding 210 dB (reference 1 [mu]Pa
at 1 m) for equipment with an operating frequency in the band from
30 Hz to 2 kHz inclusive, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.e, 6A002.a.1.c, 6A008.1.3, 6B008, 8A001.b, 8A001.d,
8A002.o.3.b; and
* * * * *
(vii) * * *
(D) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 6A008.1.3, or
6B008, as described in paragraph (a)(1) of this supplement; and
(E) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b,
6A001.a.2.c, 6A001.a.2.e, 6A001.a.2.f, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
* * * * *
PART 742--[AMENDED]
0
5. The authority citation for part 742 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
18 U.S.C. 2510 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a;
Sec. 901-911, Pub. L. 106-387; Sec. 221, Pub. L. 107-56; Sec 1503,
Pub.L. 108-11,117 Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978
Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608;
E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61
FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783; Presidential Determination 2003-23 of May 7,
2003, 68 FR 26459, 3 CFR, 2003 Comp., p. 320; Notice of August 6,
2004, 69 FR 48763, 3 CFR, 2004 Comp., p. 284; Notice of November 4,
2004, 69 FR 64637, 3 CFR, 2004 Comp., p. 303.
Sec. 742.12 [Amended]
0
6. Section 742.12 is amended by revising the phrase ``greater than
75,000 MTOPS.'' to read ``greater than 190,000 MTOPS.'' in paragraph
(a)(3).
PART 743--[AMENDED]
0
7. The authority citation for part 743 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; Pub. L. 106-508; 50
U.S.C. 1701 et seq.; E.O. 13206, 66 FR 18397, 3 CFR, 2001 Comp., p.
763.
Sec. 743.1 [Amended]
0
8. Section 743.1 is amended by revising the phrase ``having a CTP
exceeding 75,000 MTOPS.'' to read ``having a CTP exceeding 190,000
MTOPS.'' in paragraph (c)(2).
Supplement No. 1 to Part 743 [Amended]
0
9. Supplement No. 1 to part 743 is amended by adding ``Slovenia'' in
alphabetical order after ``Slovakia'' and before ``South Korea''.
PART 772--[AMENDED]
0
10. The authority citation for part 772 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August
6, 2004, 69 FR 48763, 3 CFR, 2004 Comp., p. 284.
0
11. Section 772.1 is amended by revising the definition of ``Allocated
by the ITU'', to read as follows.
Sec. 772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).
* * * * *
[[Page 41103]]
Allocated by the ITU. (Cat 3 and Cat 5 part 1)--The allocation of
frequency bands according to the current edition of the ITU Radio
Regulations for primary, permitted and secondary services.
N.B. Additional and alternative allocations are not included.
* * * * *
PART 774--[AMENDED]
0
12. The authority citation for part 774 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C.
287c, 22 U.S.C. 3201 et seq., 22 U.S.C. 6004; 30 U.S.C. 185(s),
185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C.
app. 466c; 50 U.S.C. app. 5; Sec. 901-911, Pub. L. 106-387; Sec.
221, Pub. L. 107-56; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of
August 6, 2004, 69 FR 48763, 3 CFR, 2004 Comp., p. 284.
Supplement No. 1 to Part 774 [Amended]
0
13. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 1--Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Number (ECCN) 1C008 is amended by revising the
``items'' paragraph in the List of Items Controlled section, to read as
follows:
1C008 Non-Fluorinated Polymeric Substances, as Follows (See List of
Items Controlled)
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Non-fluorinated polymeric substances, as follows:
a.1. Bismaleimides;
a.2. Aromatic polyamide-imides;
a.3. Aromatic polyimides;
a.4. Aromatic polyetherimides having a glass transition
temperature (Tg) exceeding 513K (240 [deg]C).
Note: 1C008.a does not control non-fusible compression molding
powders or molded forms.
b. Thermoplastic liquid crystal copolymers having a heat
distortion temperature exceeding 523 K (250 [deg]C) measured
according to ISO 75-3 (2004), or national equivalents, with a load
of 1.82 N/mm \2\ and composed of:
b.1. Any of the following:
b.1.a. Phenylene, biphenylene or naphthalene; or
b.1.b. Methyl, tertiary-butyl or phenyl substituted phenylene,
biphenylene or naphthalene; and
b.2. Any of the following acids:
b.2.a. Terephthalic acid;
b.2.b. 6-hydroxy-2 naphthoic acid; or
b.2.c. 4-hydroxybenzoic acid;
c. Polyarylene ether ketones, as follows:
c.1. Polyether ether ketone (PEEK)
c.2. Polyether ketone ketone (PEKK);
c.3. Polyether ketone (PEK);
c.4. Polyether ketone ether ketone ketone (PEKEKK);
d. Polyarylene ketones;
e. Polyarylene sulphides, where the arylene group is
biphenylene, triphenylene or combinations thereof;
f. Polybiphenylenethersulphone having a glass transition
temperature (Tg) exceeding 513 K (240 [deg]C).
Technical Note: The glass transition temperature (Tg)
for 1C008 materials is determined using the method described in ISO
11357-2 (1999) or national equivalents.
0
14. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 2--Materials Processing, Product Group B ``Test, Inspection
and Production Equipment'', following ECCN 2A999, the ``Technical Notes
for 2B001 to 2B009'' are revised to read as follows:
Category 2--Material Processing
B. Test, Inspection and Production Equipment
Technical Notes for 2B001 to 2B009:
1. Secondary parallel contouring axes, (e.g., the w-axis on
horizontal boring mills or a secondary rotary axis the center line
of which is parallel to the primary rotary axis) are not counted in
the total number of contouring axes. Rotary axes need not rotate
over 360[deg]. A rotary axis can be driven by a linear device (e.g.,
a screw or a rack-and-pinion).
2. The number of axes which can be co-ordinated simultaneously
for ``contouring control'' is the number of axes along or around
which, during processing of the workpiece, simultaneous and
interrelated motions are performed between the workpiece and a tool.
This does not include any additional axes along or around which
other relative motions within the machine are performed, such as:
2.a. Wheel-dressing systems in grinding machines;
2.b. Parallel rotary axes designed for mounting of separate
workpieces;
2.c. Co-linear rotary axes designed for manipulating the same
workpiece by holding it in a chuck from different ends.
3. Axis nomenclature shall be in accordance with International
Standard ISO 841, ``Numerical Control Machines--Axis and Motion
Nomenclature'.
4. A ``tilting spindle'' is counted as a rotary axis.
5. Guaranteed ``positioning accuracy'' levels instead of
individual test protocols may be used for each machine tool model
using the agreed ISO test procedure.
6. The positioning accuracy of ``numerically controlled''
machine tools is to be determined and presented in accordance with
ISO 230/2 (1988).
0
15. 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 License Requirements section,
and the ``items'' paragraph in the List of Items Controlled section to
read as follows:
2B001 Machine tools and any combination thereof, for removing (or
cutting) metals, ceramics or ``composites'', which, according to the
manufacturer's technical specifications, can be equipped with
electronic devices for ``numerical control''; and specially designed
components (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 2.
NP applies to 2B001.a, .b, .c, and .d, NP Column 1.
EXCEPT: (1) turning machines under
2B001.a with a capacity equal to or
less than 35 mm diameter; (2) bar
machines (Swissturn), limited to
machining only bar feed through, if
maximum bar diameter is equal to or
less than 42 mm and there is no
capability of mounting chucks.
(Machines may have drilling and/or
milling capabilities for machining
parts with diameters less than 42 mm);
or (3) milling machines under 2B001.b.
with x-axis travel greater than two
meters and overall ``positioning
accuracy'' on the x-axis more (worse)
than 0.030 mm.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
Note 1: 2B001 does not control special purpose machine tools
limited to the manufacture of gears. For such machines, see 2B003.
Note 2: 2B001 does not control special purpose machine tools
limited to the manufacture of any of the following parts:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
[[Page 41104]]
d. Engraved or faceted jewelry parts.
Note 3: A machine tool having at least two of the three turning,
milling or grinding capabilities (e.g., a turning machine with
milling capability), must be evaluated against each applicable entry
2.B001.a., b. or c.
a. Machine tools for turning, having all of the following
characteristics:
a.1. Positioning accuracy with ``all compensations available''
of less (better) than 6 [mu]m along any linear axis; and
a.2. Two or more axes which can be coordinated simultaneously
for ``contouring control'';
Note: 2B001.a does not control turning machines specially
designed for the production of contact lenses.
b. Machine tools for milling, having any of the following
characteristics:
b.1. Having all of the following:
b.1.a. Positioning accuracy with ``all compensations available''
of less (better) than 6 [mu]m 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 [mu]m 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
b.4.b. Angular deviation of slide movement (yaw, pitch and roll)
less (better) than 2 seconds of arc, TIR, over 300 mm of travel.
c. Machine tools for grinding, having any of the following
characteristics:
c.1. Having all of the following:
c.1.a. Positioning accuracy with ``all compensations available''
of less (better) than 4 [mu]m 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'';
Notes: 2B001.c does not control grinding machines, as follows:
1. Cylindrical external, internal, and external-internal
grinding machines having all the following characteristics:
a. Limited to cylindrical grinding; and
b. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length.
2. Machines designed specifically as jig grinders that do not
have a z-axis or a w-axis, with a positioning accuracy with ``all
compensations available'' less (better) than 4 [mu]m.
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[deg];
f. Deep-hole-drilling machines and turning machines modified for
deep-hole-drilling, having a maximum depth-of-bore capability
exceeding 5,000 mm and specially designed components therefor.
0
16. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 2--Materials Processing, Export Control Classification Number
(ECCN) 2B005 is amended by revising the ``items'' paragraph in the List
of Items Controlled section to read as follows:
2B005 Equipment 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.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Chemical vapor deposition (CVD) production equipment having
all of the following:
a.1. Process modified for one of the following:
a.1.a. Pulsating CVD;
a.1.b. Controlled nucleation thermal deposition (CNTD); or
a.1.c. Plasma enhanced or plasma assisted CVD; and
a.2. Any of the following:
a.2.a. Incorporating high vacuum (equal to or less than 0.01 Pa)
rotating seals; or
a.2.b. Incorporating in situ coating thickness control;
b. Ion implantation production equipment having beam currents of
5 mA or more;
c. Electron beam physical vapor (EB-PVD) production equipment
incorporating power systems rated for over 80 kW, having any of the
following:
c.1. A liquid pool level ``laser'' control system which
regulates precisely the ingots feed rate; or
c.2. A computer controlled rate monitor operating on the
principle of photo-luminescence of the ionized atoms in the
evaporant stream to control the deposition rate of a coating
containing two or more elements;
d. Plasma spraying production equipment having any of the
following characteristics:
d.1. Operating at reduced pressure controlled atmosphere (equal
or less than 10 kPa measured above and within 300 mm of the gun
nozzle exit) in a vacuum chamber capable of evacuation down to 0.01
Pa prior to the spraying process; or
d.2. Incorporating in situ coating thickness control;
e. Sputter deposition production equipment capable of current
densities of 0.1 mA/mm2 or higher at a deposition rate 15
[mu]m/h or more;
f. Cathodic arc deposition equipment incorporating a grid of
electromagnets for steering control of the arc spot on the cathode;
g. Ion plating production equipment allowing for the in situ
measurement of any of the following:
g.1. Coating thickness on the substrate and rate control; or
g.2. Optical characteristics.
0
17. 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:
2B006 Dimensional inspection or measuring systems and equipment, as
follows (see List of Items Controlled).
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Computer controlled or ``numerically 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) [mu]m (L is the measured length in mm) tested
according to ISO 10360-2 (2001);
b. Linear and angular displacement measuring instruments, as
follows:
b.1. Linear displacement measuring instruments having any of the
following:
Technical Note: For the purpose of 2B006.b.1 ``linear
displacement'' means the change of distance between the measuring
probe and the measured object.
b.1.a. Non-contact type measuring systems with a ``resolution''
equal to or less (better) than 0.2 [mu]m within a measuring range up
to 0.2 mm;
b.1.b. Linear voltage differential transformer systems having
all of the following characteristics:
b.1.b.1. ``Linearity'' equal to or less (better) than 0.1%
within a measuring range up to 5 mm; and
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. Measuring systems having all of the following:
b.1.c.1. Containing a ``laser''; and
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.a. A ``resolution'' over their full scale of 0.1 [mu]m
or less (better); and
b.1.c.2.b. A ``measurement uncertainty'' equal to or less
(better) than (0.2 + L/2,000) [mu]m (L is the measured length in
mm);
[[Page 41105]]
Note: 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
0.00025[deg];
Note: 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).
0
18. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 2--Materials Processing, Export Control Classification Number
(ECCN) 2B201 is amended by revising the ``items'' paragraph in the List
of Items Controlled section to read as follows:
2B201 Machine tools, other than those controlled by 2B001, for
removing or cutting metals, ceramics or ``composites'', which,
according to manufacturer's technical specifications, can be
equipped with electronic devices for simultaneous ``contouring
control'' in two or more axes.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Machine tools for turning, that have ``positioning
accuracies'' with all compensations available better (less) than 6
[mu]m according to ISO 230/2 (1988) along any linear axis (overall
positioning) for machines capable of machining diameters greater
than 35 mm;
Note: Item 2B201.a. does not control bar machines (Swissturn),
limited to machining only bar feed thru, if maximum bar diameter is
equal to or less than 42 mm and there is no capability of mounting
chucks. Machines may have drilling and/or milling capabilities for
machining parts with diameters less than 42 mm.
b. Machine tools for milling, having any of the following
characteristics:
b.1. Positioning accuracies with ``all compensations available''
equal to or less (better) than 6 [mu]m along any linear axis
(overall positioning); or
b.2. Two or more contouring rotary axes.
Note: 2B201.b does not control milling machines having the
following characteristics:
a. X-axis travel greater than 2 m; and
b. Overall positioning accuracy on the x-axis more (worse) than
30 [mu]m.
c. Machine tools for grinding, having any of the following
characteristics:
c.1. Positioning accuracies with ``all compensations available''
equal to or less (better) than 4 [mu]m along any linear axis
(overall positioning); or
c.2. Two or more contouring rotary axes.
Note: 2B201.c does not control the following grinding machines:
a. Cylindrical external, internal, and external-internal
grinding machines having all of the following characteristics:
1. Limited to cylindrical grinding;
2. A maximum workpiece outside diameter or length of 150 mm;
3. Not more than two axes that can be coordinated simultaneously
for ``contouring control''; and
4. No contouring c-axis.
b. Jig grinders with axes limited to x, y, c and a where c axis
is used to maintain the grinding wheel normal to the work surface,
and the a axis is configured to grind barrel cams;
c. Tool or cutter grinding machines with ``software'' specially
designed for the production of tools or cutters; or
d. Crankshaft or camshaft grinding machines.
0
19. 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 ``items'' paragraphs in the List of
Items Controlled section, to read as follows:
3A001 Electronic components, as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. General purpose integrated circuits, as follows:
Note 1: The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
Note 2: Integrated circuits include the following types:
``Monolithic integrated circuits'';
``Hybrid integrated circuits'';
``Multichip integrated circuits'';
``Film type integrated circuits'', including silicon-on-sapphire
integrated circuits;
``Optical integrated circuits''.
a.1. Integrated circuits, designed or rated as radiation
hardened to withstand any of the following:
a.1.a. A total dose of 5 x 103 Gy (Si), or higher;
a.1.b. A dose rate upset of 5 x 106 Gy (Si)/s, or
higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV
equivalent) of 5 x 1013 n/cm2 or higher on
silicon, or its equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator
Semiconductors (MIS).
a.2. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, digital-to-analog converters, electro-optical or
``optical integrated circuits'' designed for ``signal processing'',
field programmable logic devices, neural network integrated
circuits, custom integrated circuits for which either the function
is unknown or the control status of the equipment in which the
integrated circuit will be used in unknown, Fast Fourier Transform
(FFT) processors, electrical erasable programmable read-only
memories (EEPROMs), flash memories or static random-access memories
(SRAMs), having any of the following:
a.2.a. Rated for operation at an ambient temperature above 398 K
(125 [deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 [deg]C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 [deg]C) to 398 K (125 [deg]C);
Note: 3A001.a.2 does not apply to integrated circuits for civil
automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``micro-computer
microcircuits'' and microcontroller microcircuits, having any of the
following characteristics:
Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.3.a. [RESERVED]
a.3.b. Manufactured from a compound semiconductor and operating
at a clock frequency exceeding 40 MHz; or
a.3.c. More than three data or instruction bus or serial
communication ports, each providing direct external interconnection
between parallel ``microprocessor microcircuits'' with a transfer
rate of 1000 Mbyte/s or greater;
a.4. Storage integrated circuits manufactured from a compound
semiconductor;
a.5. Analog-to-digital and digital-to-analog converter
integrated circuits, as follows:
a.5.a. Analog-to-digital converters having any of the following:
a.5.a.1.A resolution of 8 bit or more, but less than 10 bit, an
output rate greater than 500 million words per second;
a.5.a..2 A resolution of 10 bit or more, but less than 12 bit,
with an output rate greater than 200 million words per second;
a.5.a.3. A resolution of 12 bit with an output rate greater than
50 million words per second;
a.5.a.4. A resolution of more than 12 bit but equal to or less
than 14 bit with an output rate greater than 5 million words per
second; or
a.5.a.5. A resolution of more than 14 bit with an output rate
greater than 1 million words per second.
a.5.b. Digital-to-analog converters with a resolution of 12 bit
or more, and a ``settling time'' of less than 10 ns;
Technical Notes:
1. A resolution of n bit corresponds to a quantization of
2n levels.
2. The number of bits in the output word is equal to the
resolution of the analogue-to-digital converter.
3. The output rate is the maximum output rate of the converter,
regardless of architecture or oversampling. Vendors may also refer
to the output rate as sampling rate,
[[Page 41106]]
conversion rate or throughput rate. It is often specified in
megahertz (MHz) or mega samples per second (MSPS).
4. For the purpose of measuring output rate, one output word per
second is equivalent to one Hertz or one sample per second.
a.6. Electro-optical and ``optical integrated circuits''
designed for ``signal processing'' having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. Field programmable logic devices having any of the
following:
a.7.a. An equivalent usable gate count of more than 30,000 (2
input gates);
a.7.b. A typical ``basic gate propagation delay time'' of less
than 0.1 ns; or
a.7.c. A toggle frequency exceeding 133 MHz;
Note: 3A001.a.7 includes: Simple Programmable Logic Devices
(SPLDs), Complex Programmable Logic Devices (CPLDs), Field
Programmable Gate Arrays (FPGAs), Field Programmable Logic Arrays
(FPLAs), and Field Programmable Interconnects (FPICs).
N.B.: Field programmable logic devices are also known as field
programmable gate or field programmable logic arrays.
a.8. [RESERVED]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 1,000 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.1 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N log2 N)/
20,480 ms, where N is the number of points;
Technical Note: When N is equal to 1,024 points, the formula in
3A001.a.12 gives an execution time of 500 [mu]s.
b. Microwave or millimeter wave components, as follows:
b.1. Electronic vacuum tubes and cathodes, as follows:
Note 1: 3A001.b.1 does not control tubes designed or rated for
operation in any frequency band which meets all of the following
characteristics:
(a) Does not exceed 31.8 GHz; and
(b) Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
Note 2: 3A001.b.1 does not control non-``space-qualified'' tubes
which meet all the following characteristics:
(a) An average output power equal to or less than 50 W; and
(b) Designed or rated for operation in any frequency band which
meets all of the following characteristics:
(1) Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
(2) Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
b.1.a. Traveling wave tubes, pulsed or continuous wave, as
follows:
b.1.a.1. Operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Having a cathode heater element with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity tubes, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
b.1.a.4. Helix tubes, or derivatives thereof, with any of the
following characteristics:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1; or
b.1.a.4.c. Being ``space qualified'';
b.1.b. Crossed-field amplifier tubes with a gain of more than 17
dB;
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. Microwave monolithic integrated circuits (MMIC) power
amplifiers having any of the following:
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%;
b.2.c. Rated for operation at frequencies exceeding 16 GHz up to
and including 31.8 GHz and with an average output power greater than
0.8W (29 dBm) with a ``fractional bandwidth'' greater than 10%;
b.2.d. Rated for operation at frequencies exceeding 31.8 GHz up
to and including 37.5 GHz;
b.2.e. Rated for operation at frequencies exceeding 37.5 GHz up
to and including 43.5 GHz and with an average output power greater
than 0.25W (24 dBm) with a ``fractional bandwidth'' greater than
10%; or
b.2.f. Rated for operation at frequencies exceeding 43.5 GHz.
Note 1: 3A001.b.2 does not control broadcast satellite equipment
designed or rated to operate in the frequency range of 40.5 to 42.5
GHz.
Note 2: 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.
Note 3: 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:
b.3.a. Rated for operation at frequencies exceeding 3.2 GHz up
to and including 6 GHz and having an average output power greater
than 60W (47.8 dBm);
b.3.b. Rated for operation at frequencies exceeding 6 GHz up to
and including 31.8 GHz and having an average output power greater
than 20W (43 dBm);
b.3.c. Rated for operation at frequencies exceeding 31.8 GHz up
to and including 37.5 GHz and having an average output power greater
than 0.5W (27 dBm);
b.3.d. Rated for operation at frequencies exceeding 37.5 GHz up
to and including 43.5 GHz and having an average output power greater
than 1W (30 dBm); or
b.3.e. Rated for operation at frequencies exceeding 43.5 GHz.
Note: 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.c. Rated for operation at frequencies exceeding 31.8 GHz up
to and including 37.5 GHz;
b.4.d. Rated for operation at frequencies exceeding 37.5 GHz up
to and including 43.5 GHz and with an average output power greater
than 1W (30 dBm) with a ``fractional bandwidth'' greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz; or
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\*\GHz\2\ /fGHz\2\];
b.4.f.2. A fractional bandwidth of 5% or greater; and
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 <= 15 cm\*\GHz / fGHz].
N.B. MMIC power amplifiers should be evaluated against the
criteria in 3A001.b.2.
Note 1: 3A001.b.4. does not control broadcast satellite
equipment designed or
[[Page 41107]]
rated to operate in the frequency range of 40.5 to 42.5 GHz.
Note 2: 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.
b.5. Electronically or magnetically tunable band-pass or band-
stop filters having more than 5 tunable resonators capable of tuning
across a 1.5:1 frequency band (fmax/fmin) in
less than 10 [mu]s having any of the following:
b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
b.6. [RESERVED]
b.7. Mixers and converters designed to extend the frequency
range of equipment described in 3A002.c, 3A002.e or 3A002.f beyond
the limits stated therein;
b.8. Microwave power amplifiers containing tubes controlled by
3A001.b and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power density exceeding 80 W/kg; and
b.8.c. A volume of less than 400 cm\3\;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU''
for radio-communications services, but not for radio-determination.
c. Acoustic wave devices, as follows, and specially designed
components therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having any of the following:
c.1.a. A carrier frequency exceeding 2.5 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding
2.5 GHz, and having any of the following:
c.1.b.1. A frequency side-lobe rejection exceeding 55 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth
(time in [mu]s and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 [mu]s; or
c.1.c. A carrier frequency of 1 GHz or less, having any of the
following:
c.1.c.1. A product of the maximum delay time and the bandwidth
(time in [mu]s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 [mu]s; or
c.1.c.3. A frequency side-lobe rejection exceeding 55 dB and a
bandwidth greater than 50 MHz;
c.2. Bulk (volume) acoustic wave devices (i.e., ``signal
processing'' devices employing elastic waves) that permit the direct
processing of signals at frequencies exceeding 1 GHz;
c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;
d. Electronic devices and circuits containing components,
manufactured from ``superconductive'' materials specially designed
for operation at temperatures below the ``critical temperature'' of
at least one of the ``superconductive'' constituents, with any of
the following:
d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices, as follows:
e.1. Batteries and photovoltaic arrays, as follows:
Note: 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.a. Primary cells and batteries having an energy density
exceeding 480 Wh/kg and rated for operation in the temperature range
from below 243 K (-30 [deg]C) to above 343 K (70 [deg]C);
e.1.b. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (C being the nominal capacity in ampere
hours) when operating in the temperature range from below 253 K (-20
[deg]C) to above 333 K (60 [deg]C);
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75%
of the open circuit voltage divided by the total mass of the cell
(or battery) in kg.
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 [deg]C) under a tungsten illumination of 1
kW/m\2\ at 2,800 K (2,527 [deg]C);
e.2. High energy storage capacitors, as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids specially
designed to be fully charged or discharged in less than one second,
having all of the following:
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids specially designed for Magnetic
Resonance Imaging (MRI) medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm\2\;
f. Rotary input type shaft absolute position encoders having any
of the following:
f.1. A resolution of better than 1 part in 265,000 (18 bit
resolution) of full scale; or
f.2. An accuracy better than 2.5 seconds of arc.
0
20. 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'' paragraphs in the List of
Items Controlled section, to read as follows:
3A002 General purpose electronic equipment, as follows (see List of
Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Recording equipment, as follows, and specially designed test
tape therefor:
a.1. Analog instrumentation magnetic tape recorders, including
those permitting the recording of digital signals (e.g., using a
high density digital recording (HDDR) module), having any of the
following:
a.1.a. A bandwidth exceeding 4 MHz per electronic channel or
track;
a.1.b. A bandwidth exceeding 2 MHz per electronic channel or
track and having more than 42 tracks; or
a.1.c. A time displacement (base) error, measured in accordance
with applicable IRIG or EIA documents, of less than 0.1
[mu]s;
Note: Analog magnetic tape recorders specially designed for
civilian video purposes are not considered to be instrumentation
tape recorders.
a.2. Digital video magnetic tape recorders having a maximum
digital interface transfer rate exceeding 360 Mbit/s;
Note: 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.3. Digital instrumentation magnetic tape data recorders
employing helical scan techniques or fixed head techniques, having
any of the following:
a.3.a. A maximum digital interface transfer rate exceeding 175
Mbit/s; or
a.3.b. Being ``space qualified'';
Note: 3A002.a.3 does not control analog magnetic tape recorders
equipped with HDDR conversion electronics and configured to record
only digital data.
[[Page 41108]]
a.4. Equipment, having a maximum digital interface transfer rate
exceeding 175 Mbit/s, designed to convert digital video magnetic
tape recorders for use as digital instrumentation data recorders;
a.5. Waveform digitizers and transient recorders having all of
the following:
N.B.: See also 3A292.
a.5.a. Digitizing rates equal to or more than 200 million
samples per second and a resolution of 10 bits or more; and
a.5.b. A continuous throughput of 2 Gbit/s or more;
Technical Note: For those instruments with a parallel bus
architecture, the continuous throughput rate is the highest word
rate multiplied by the number of bits in a word. Continuous
throughput is the fastest data rate the instrument can output to
mass storage without the loss of any information while sustaining
the sampling rate and analog-to-digital conversion.
a.6. Digital instrumentation data recorders, using magnetic disk
storage technique, having all of the following:
a.6.a. Digitizing rate equal to or more than 100 million samples
per second and a resolution of 8 bits or more; and
a.6.b. A continuous throughput of 1 Gbit/s or more;
b. ``Frequency synthesizer'', ``electronic assemblies'' having a
``frequency switching time'' from one selected frequency to another
of less than 1 ms;
c. Radio frequency ``signal analyzers'', as follows:
c.1. ``Signal analyzers'' capable of analyzing any frequencies
exceeding 31.8 GHz but not exceeding 37.5 Ghz and having a 3 dB
resolution bandwidth (RBW) exceeding 10 MHz;
c.2. ``Signal analyzers'' capable of analyzing frequencies
exceeding 43.5 GHz;
c.3. ``Dynamic signal analyzers'' having a ``real-time
bandwidth'' exceeding 500 kHz;
Note: 3A002.c.3 does not control those ``dynamic signal
analyzers'' using only constant percentage bandwidth filters (also
known as octave or fractional octave filters).
d. Frequency synthesized signal generators producing output
frequencies, the accuracy and short term and long term stability of
which are controlled, derived from or disciplined by the internal
master frequency, and having any of the following:
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;
d.2. A maximum synthesized frequency exceeding 43.5 GHz;
d.3. A ``frequency switching time'' from one selected frequency
to another of less than 1 ms; or
d.4. A single sideband (SSB) phase noise better than (-126 + 20
log10F -20 log10f) in dBc/Hz, where F is the
off-set from the operating frequency in Hz and f is the operating
frequency in MHz;
Technical Note: For the purposes of 3A002.d.1., `duration' is
defined as the time interval between the leading edge of the pulse
achieving 90% of the peak and the trailing edge of the pulse
achieving 10% of the peak.
Note: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.
e. Network analyzers with a maximum operating frequency
exceeding 43.5 GHz;
f. Microwave test receivers having all of the following:
f.1. A maximum operating frequency exceeding 43.5 GHz; and
f.2. Being capable of measuring amplitude and phase
simultaneously;
g. Atomic frequency standards having any of the following:
g.1. Long-term stability (aging) less (better) than 1 x
10-\11\/month; or
g.2. Being ``space qualified''.
Note: 3A002.g.1 does not control non-``space qualified''
rubidium standards.
0
21. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3B001 is amended revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
3B001 Equipment for the manufacturing of semiconductor devices or
materials, as follows (see List of Items Controlled), and specially
designed components and accessories therefor.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
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;
a.2. Metal organic chemical vapor deposition (MOCVD) reactors
specially designed for compound semiconductor crystal growth by the
chemical reaction between materials controlled by 3C003 or 3C004;
a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
b. Equipment designed for ion implantation, having any of the
following:
b.1. A beam energy (accelerating voltage) exceeding 1MeV;
b.2. Being specially designed and optimized to operate at a beam
energy (accelerating voltage of less than 2 keV;
b.3. Direct write capability; or
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. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
c.1.a. Designed or optimized to produce critical dimensions of
180 nm or less with 5% 3 sigma precision; or
c.1.b. Designed for generating less than 0.04 particles/cm\2\
with a measurable particle size greater than 0.1 [mu]m in diameter;
c.2. Equipment specially designed for equipment controlled by
3B001.e. and having any of the following:
c.2.a. Designed or optimized to produce critical dimensions of
180 nm or less with 5% 3 sigma precision; or
c.2.b. Designed for generating less than 0.04 particles/cm\2\
with a measurable particle size greater than 0.1 [mu]m 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;
d.2. Equipment specially designed for equipment controlled by
3B001.e. 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:
e.1. Interfaces for wafer input and output, to which more than
two pieces of semiconductor processing equipment are to be
connected; and
e.2. Designed to form an integrated system in a vacuum
environment for sequential multiple wafer processing;
Note: 3B001.e. does not control automatic robotic wafer handling
systems not designed to operate in a vacuum environment.
f. Lithography equipment, as follows:
f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods, having any of the following:
f.1.a. A light source wavelength shorter than 245 nm; or
f.1.b. Capable of producing a pattern with a minimum resolvable
feature size of 180 nm or less;
Technical Note: The minimum resolvable feature size is
calculated by the following formula:
MRF =
[[Page 41109]]
[GRAPHIC] [TIFF OMITTED] TR15JY05.000
where the K factor = 0.45
MRF = minimum resolvable feature size.
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:
f.2.a. A spot size smaller than 0.2 [mu]m;
f.2.b. Being capable of producing a pattern with a feature size
of less than 1 [mu]m; or
f.2.c. An overlay accuracy of better than 0.20 [mu]m
(3 sigma);
g. Masks and reticles designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer.
Note: 3B001.h. does not control multi-layer masks with a phase
shift layer designed for the fabrication of memory devices not
controlled by 3A001.
0
22. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3B002 is amended revising the heading and the ``items'' paragraph in
the List of Items Controlled section, to read as follows:
3B002 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.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. For testing S-parameters of transistor devices at frequencies
exceeding 31.8 GHz;
b. [RESERVED]
c. For testing microwave integrated circuits controlled by
3A001.b.2.
0
23. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3B991 is amended, revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
3B991 Equipment not controlled by 3B001 for the manufacture of
electronic components and materials, and specially designed
components and accessories therefor.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Equipment specially designed for the manufacture of electron
tubes, optical elements and specially designed components therefor
controlled by 3A001 or 3A991;
b. Equipment specially designed for the manufacture of
semiconductor devices, integrated circuits and ``electronic
assemblies'', as follows, and systems incorporating or having the
characteristics of such equipment:
Note: 3B991.b also controls equipment used or modified for use
in the manufacture of other devices, such as imaging devices,
electro-optical devices, acoustic-wave devices.
b.1. Equipment for the processing of materials for the
manufacture of devices and components as specified in the heading of
3B991.b, as follows:
Note: 3B991 does not control quartz furnace tubes, furnace
liners, paddles, boats (except specially designed caged boats),
bubblers, cassettes or crucibles specially designed for the
processing equipment controlled by 3B991.b.1.
b.1.a. Equipment for producing polycrystalline silicon and
materials controlled by 3C001;
b.1.b. Equipment specially designed for purifying or processing
III/V and II/VI semiconductor materials controlled by 3C001, 3C002,
3C003, or 3C004, except crystal pullers, for which see 3B991.b.1.c
below;
b.1.c. Crystal pullers and furnaces, as follows:
Note: 3B991.b.1.c does not control diffusion and oxidation
furnaces.
b.1.c.1. Annealing or recrystallizing equipment other than
constant temperature furnaces employing high rates of energy
transfer capable of processing wafers at a rate exceeding 0.005 m\2\
per minute;
b.1.c.2. ``Stored program controlled'' crystal pullers having
any of the following characteristics:
b.1.c.2.a. Rechargeable without replacing the crucible
container;
b.1.c.2.b. Capable of operation at pressures above 2.5 x 10\5\
Pa; or
b.1.c.2.c. Capable of pulling crystals of a diameter exceeding
100 mm;
b.1.d. ``Stored program controlled'' equipment for epitaxial
growth having any of the following characteristics:
b.1.d.1. Capable of producing a layer thickness uniformity
across the wafer of equal to or better than 3.5%; or
b.1.d.2. Rotation of individual wafers during processing;
b.1.e. Molecular beam epitaxial growth equipment;
b.1.f. Magnetically enhanced ``sputtering'' equipment with
specially designed integral load locks capable of transferring
wafers in an isolated vacuum environment;
b.1.g. Equipment specially designed for ion implantation, ion-
enhanced or photo-enhanced diffusion, having any of the following
characteristics:
b.1.g.1. Patterning capability;
b.1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
b.1.g.3. Optimized to operate at a beam energy (accelerating
voltage) of less than 10 keV; or
b.1.g.4. Capable of high energy oxygen implant into a heated
``substrate'';
b.1.h. ``Stored program controlled'' equipment for the selective
removal (etching) by means of anisotropic dry methods (e.g.,
plasma), as follows:
b.1.h.1. Batch types having either of the following:
b.1.h.1.a. End-point detection, other than optical emission
spectroscopy types; or
b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or
less;
b.1.h.2. Single wafer types having any of the following:
b.1.h.2.a. End-point detection, other than optical emission
spectroscopy types;
b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or
less; or
b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;
Notes: 1. ``Batch types'' refers to machines not specially
designed for production processing of single wafers. Such machines
can process two or more wafers simultaneously with common process
parameters, e.g., RF power, temperature, etch gas species, flow
rates.
2. ``Single wafer types'' refers to machines specially designed
for production processing of single wafers. These machines may use
automatic wafer handling techniques to load a single wafer into the
equipment for processing. The definition includes equipment that can
load and process several wafers but where the etching parameters,
e.g., RF power or end point, can be independently determined for
each individual wafer.
b.1.i. ``Chemical vapor deposition'' (CVD) equipment, e.g.,
plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor
device manufacturing, having either of the following capabilities,
for deposition of oxides, nitrides, metals or polysilicon:
b.1.i.1. ``Chemical vapor deposition'' equipment operating below
10\5\ Pa; or
b.1.i.2. PECVD equipment operating either below 60 Pa (450
millitorr) or having automatic cassette-to-cassette and load lock
wafer handling;
Note: 3B991.b.1.i does not control low pressure ``chemical vapor
deposition'' (LPCVD) systems or reactive ``sputtering'' equipment.
b.1.j. Electron beam systems specially designed or modified for
mask making or semiconductor device processing having any of the
following characteristics:
b.1.j.1. Electrostatic beam deflection;
b.1.j.2. Shaped, non-Gaussian beam profile;
b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit;
or
b.1.j.5. Target-to-beam position feedback control precision of 1
micrometer or finer;
[[Page 41110]]
Note: 3B991.b.1.j does not control electron beam deposition
systems or general purpose scanning electron microscopes.
b.1.k. Surface finishing equipment for the processing of
semiconductor wafers as follows:
b.1.k.1. Specially designed equipment for backside processing of
wafers thinner than 100 micrometer and the subsequent separation
thereof; or
b.1.k.2. Specially designed equipment for achieving a surface
roughness of the active surface of a processed wafer with a two-
sigma value of 2 micrometer or less, total indicator reading (TIR);
Note: 3B991.b.1.k does not control single-side lapping and
polishing equipment for wafer surface finishing.
b.1.l. Interconnection equipment which includes common single or
multiple vacuum chambers specially designed to permit the
integration of any equipment controlled by 3B991 into a complete
system;
b.1.m. ``Stored program controlled'' equipment using ``lasers''
for the repair or trimming of ``monolithic integrated circuits''
with either of the following characteristics:
b.1.m.1. Positioning accuracy less than 1
micrometer; or
b.1.m.2. Spot size (kerf width) less than 3 micrometer.
b.2. Masks, mask ``substrates'', mask-making equipment and image
transfer equipment for the manufacture of devices and components as
specified in the heading of 3B991, as follows:
Note: The term ``masks'' refers to those used in electron beam
lithography, X-ray lithography, and ultraviolet lithography, as well
as the usual ultraviolet and visible photo-lithography.
b.2.a. Finished masks, reticles and designs therefor, except:
b.2.a.1. Finished masks or reticles for the production of
unembargoed integrated circuits; or
b.2.a.2. Masks or reticles, having both of the following
characteristics:
b.2.a.2.a. Their design is based on geometries of 2.5 micrometer
or more; and
b.2.a.2.b. The design does not include special features to alter
the intended use by means of production equipment or ``software'';
b.2.b. Mask ``substrates'' as follows:
b.2.b.1. Hard surface (e.g., chromium, silicon, molybdenum)
coated ``substrates'' (e.g., glass, quartz, sapphire) for the
preparation of masks having dimensions exceeding 125 mm x 125 mm; or
b.2.b.2. ``Substrates'' specially designed for X-ray masks;
b.2.c. Equipment, other than general purpose computers,
specially designed for computer aided design (CAD) of semiconductor
devices or integrated circuits;
b.2.d. Equipment or machines, as follows, for mask or reticle
fabrication:
b.2.d.1. Photo-optical step and repeat cameras capable of
producing arrays larger than 100 mm x 100 mm, or capable of
producing a single exposure larger than 6 mm x 6 mm in the image
(i.e., focal) plane, or capable of producing line widths of less
than 2.5 micrometer in the photoresist on the ``substrate'';
b.2.d.2. Mask or reticle fabrication equipment using ion or
``laser'' beam lithography capable of producing line widths of less
than 2.5 micrometer; or
b.2.d.3. Equipment or holders for altering masks or reticles or
adding pellicles to remove defects;
Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication
equipment using photo-optical methods which was either commercially
available before the 1st January, 1980, or has a performance no
better than such equipment.
b.2.e. ``Stored program controlled'' equipment for the
inspection of masks, reticles or pellicles with:
b.2.e.1. A resolution of 0.25 micrometer or finer; and
b.2.e.2. A precision of 0.75 micrometer or finer over a distance
in one or two coordinates of 63.5 mm or more;
Note: 3B991.b.2.e does not control general purpose scanning
electron microscopes except when specially designed and instrumented
for automatic pattern inspection.
b.2.f. Align and expose equipment for wafer production using
photo-optical or X-ray methods, e.g., lithography equipment,
including both projection image transfer equipment and step and
repeat (direct step on wafer) or step and scan (scanner) equipment,
capable of performing any of the following functions:
Note: 3B991.b.2.f does not control photo-optical contact and
proximity mask align and expose equipment or contact image transfer
equipment.
b.2.f.1. Production of a pattern size of less than 2.5
micrometer;
b.2.f.2. Alignment with a precision finer than 0.25
micrometer (3 sigma);
b.2.f.3. Machine-to-machine overlay no better than < plus-
minus>0.3 micrometer; or
b.2.f.4. A light source wavelength shorter than 400 nm;
b.2.g. Electron beam, ion beam or X-ray equipment for projection
image transfer capable of producing patterns less than 2.5
micrometer;
Note: For focused, deflected-beam systems (direct write
systems), see 3B991.b.1.j or b.10.
b.2.h. Equipment using ``lasers'' for direct write on wafers
capable of producing patterns less than 2.5 micrometer.
b.3. Equipment for the assembly of integrated circuits, as
follows:
b.3.a. ``Stored program controlled'' die bonders having all of
the following characteristics:
b.3.a.1. Specially designed for ``hybrid integrated circuits'';
b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm;
and
b.3.a.3. Placement accuracy in the X-Y plane of finer than
10 micrometer;
b.3.b. ``Stored program controlled'' equipment for producing
multiple bonds in a single operation (e.g., beam lead bonders, chip
carrier bonders, tape bonders);
b.3.c. Semi-automatic or automatic hot cap sealers, in which the
cap is heated locally to a higher temperature than the body of the
package, specially designed for ceramic microcircuit packages
controlled by 3A001 and that have a throughput equal to or more than
one package per minute.
Note: 3B991.b.3 does not control general purpose resistance type
spot welders.
b.4. Filters for clean rooms capable of providing an air
environment of 10 or less particles of 0.3 micrometer or smaller per
0.02832 m\3\ and filter materials therefor.
0
24. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3B992 is amended revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
3B992 Equipment not controlled by 3B002 for the inspection or
testing of electronic components and materials, and specially
designed components and accessories therefor.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Equipment specially designed for the inspection or testing of
electron tubes, optical elements and specially designed components
therefor controlled by 3A001 or 3A991;
b. Equipment specially designed for the inspection or testing of
semiconductor devices, integrated circuits and ``electronic
assemblies'', as follows, and systems incorporating or having the
characteristics of such equipment:
Note: 3B992.b also controls equipment used or modified for use
in the inspection or testing of other devices, such as imaging
devices, electro-optical devices, acoustic-wave devices.
b.1. ``Stored program controlled'' inspection equipment for the
automatic detection of defects, errors or contaminants of 0.6
micrometer or less in or on processed wafers, ``substrates'', other
than printed circuit boards or chips, using optical image
acquisition techniques for pattern comparison;
Note: 3B992.b.1 does not control general purpose scanning
electron microscopes, except when specially designed and
instrumented for automatic pattern inspection.
b.2. Specially designed ``stored program controlled'' measuring
and analysis equipment, as follows:
b.2.a. Specially designed for the measurement of oxygen or
carbon content in semiconductor materials;
b.2.b. Equipment for line width measurement with a resolution of
1 micrometer or finer;
b.2.c. Specially designed flatness measurement instruments
capable of measuring deviations from flatness of 10 micrometer or
less with a resolution of 1 micrometer or finer.
b.3. ``Stored program controlled'' wafer probing equipment
having any of the following characteristics:
[[Page 41111]]
b.3.a. Positioning accuracy finer than 3.5 micrometer;
b.3.b. Capable of testing devices having more than 68 terminals;
or
b.3.c. Capable of testing at a frequency exceeding 1 GHz;
b.4. Test equipment as follows:
b.4.a. ``Stored program controlled'' equipment specially
designed for testing discrete semiconductor devices and
unencapsulated dice, capable of testing at frequencies exceeding 18
GHz;
Technical Note: Discrete semiconductor devices include
photocells and solar cells.
b.4.b. ``Stored program controlled'' equipment specially
designed for testing integrated circuits and ``electronic
assemblies'' thereof, capable of functional testing:
b.4.b.1. At a `pattern rate' exceeding 20 MHz; or
b.4.b.2. At a `pattern rate' exceeding 10 MHz but not exceeding
20 MHz and capable of testing packages of more than 68 terminals.
Notes: 3B992.b.4.b does not control test equipment specially
designed for testing:
1. memories;
2. ``Assemblies'' or a class of ``electronic assemblies'' for
home and entertainment applications; and
3. Electronic components, ``assemblies'' and integrated circuits
not controlled by 3A001 or 3A991 provided such test equipment does
not incorporate computing facilities with ``user accessible
programmability''.
Technical Note: For purposes of 3B992.b.4.b, `pattern rate' is
defined as the maximum frequency of digital operation of a tester.
It is therefore equivalent to the highest data rate that a tester
can provide in non-multiplexed mode. It is also referred to as test
speed, maximum digital frequency or maximum digital speed.
b.4.c. Equipment specially designed for determining the
performance of focal-plane arrays at wavelengths of more than 1,200
nm, using ``stored program controlled'' measurements or computer
aided evaluation and having any of the following characteristics:
b.4.c.1. Using scanning light spot diameters of less than 0.12
mm;
b.4.c.2. Designed for measuring photosensitive performance
parameters and for evaluating frequency response, modulation
transfer function, uniformity of responsivity or noise; or
b.4.c.3. Designed for evaluating arrays capable of creating
images with more than 32 x 32 line elements;
b.5. Electron beam test systems designed for operation at 3 keV
or below, or ``laser'' beam systems, for non-contactive probing of
powered-up semiconductor devices having any of the following:
b.5.a. Stroboscopic capability with either beam blanking or
detector strobing;
b.5.b. An electron spectrometer for voltage measurements with a
resolution of less than 0.5 V; or
b.5.c. Electrical tests fixtures for performance analysis of
integrated circuits;
Note: 3B992.b.5 does not control scanning electron microscopes,
except when specially designed and instrumented for non-contactive
probing of a powered-up semiconductor device.
b.6. ``Stored program controlled'' multifunctional focused ion
beam systems specially designed for manufacturing, repairing,
physical layout analysis and testing of masks or semiconductor
devices and having either of the following characteristics:
b.6.a. Target-to-beam position feedback control precision of 1
micrometer or finer; or
b.6.b. Digital-to-analog conversion accuracy exceeding 12 bit;
b.7. Particle measuring systems employing ``lasers'' designed
for measuring particle size and concentration in air having both of
the following characteristics:
b.7.a. Capable of measuring particle sizes of 0.2 micrometer or
less at a flow rate of 0.02832 m\3\ per minute or more; and
b.7.b. Capable of characterizing Class 10 clean air or better.
0
25. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4A003 is amended by revising the ``items'' paragraph in the List of
Items Controlled section, to read as follows:
4A003 ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, as follows, and specially designed components
therefor.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
Note 1: 4A003 includes the following:
a. Vector processors;
b. Array processors;
c. Digital signal processors;
d. Logic processors;
e. Equipment designed for ``image enhancement'';
f. Equipment designed for ``signal processing''.
Note 2: The control status of the ``digital computers'' and
related equipment described in 4A003 is determined by the control
status of other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential
for the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment specially designed for other equipment with
functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B. 2: For the control status of ``digital computers'' or
related equipment for telecommunications equipment, see Category 5,
Part 1 (Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
a. Designed or modified for ``fault tolerance'';
Note: For the purposes of 4A003.a., ``digital computers'' and
related equipment are not considered to be designed or modified for
``fault tolerance'' if they utilize any of the following:
1. Error detection or correction algorithms in ``main storage'';
2. The interconnection of two ``digital computers'' so that, if
the active central processing unit fails, an idling but mirroring
central processing unit can continue the system's functioning;
3. The interconnection of two central processing units by data
channels or by use of shared storage to permit one central
processing unit to perform other work until the second central
processing unit fails, at which time the first central processing
unit takes over in order to continue the system's functioning; or
4. The synchronization of two central processing units by
``software'' so that one central processing unit recognizes when the
other central processing unit fails and recovers tasks from the
failing unit.
b. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') exceeding 190,000 million theoretical
operations per second (MTOPS);
c. ``Electronic assemblies'' specially designed or modified to
be capable of enhancing performance by aggregation of ``computing
elements'' (``CEs'') so that the ``CTP'' of the aggregation exceeds
the limit in 4A003.b.;
Note 1: 4A003.c applies only to ``electronic assemblies'' and
programmable interconnections not exceeding the limit in 4A003.b.
when shipped as unintegrated ``electronic assemblies''. It does not
apply to ``electronic assemblies'' inherently limited by nature of
their design for use as related equipment controlled by 4A003.e.
Note 2: 4A003.c does not control ``electronic assemblies''
specially designed for a product or family of products whose maximum
configuration does not exceed the limit of 4A003.b.
d. [RESERVED]
e. Equipment performing analog-to-digital conversions exceeding
the limits in 3A001.a.5;
f. [RESERVED]
g. Equipment specially designed to provide external
interconnection of ``digital computers'' or associated equipment
that allows communications at data rates exceeding 1.25 Gbyte/s.
Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) passive interconnection
equipment, ``network access controllers'' or ``communication channel
controllers''.
0
26. 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 ``items''
[[Page 41112]]
paragraph in the List of Items Controlled section, to read as follows:
4A994 Computers, ``electronic assemblies'', and related equipment
not controlled by 4A001 or 4A003, and specially designed components
therefor.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
Note 1: The control status of the ``digital computers'' and
related equipment described in 4A994 is determined by the control
status of other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential
for the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment specially designed for other equipment with
functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B. 2: For the control status of ``digital computers'' or
related equipment for telecommunications equipment, see Category 5,
Part 1 (Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
a. Electronic computers and related equipment, and ``electronic
assemblies'' and specially designed components therefor, rated for
operation at an ambient temperature above 343 K (70 [deg]C);
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
c.2. Having a sum of maximum data rates on all channels
available for connection to associated processors exceeding 40
million Byte/s;
Note 1: 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.g and 4A994.k.
Note 2: 4A994.c does not control any ``electronic assembly''
specially designed for a product or family of products whose maximum
configuration does not exceed the limits of 4A994.b.
d. Disk drives and solid state storage equipment:
d.1. Magnetic, erasable optical or magneto-optical disk drives
with a ``maximum bit transfer rate'' exceeding 25 million bit/s;
d.2. Solid state storage equipment, other than ``main storage''
(also known as solid state disks or RAM disks), with a ``maximum bit
transfer rate'' exceeding 36 million bit/s;
e. Input/output control units designed for use with equipment
controlled by 4A994.d;
f. Equipment for ``signal processing'' or ``image enhancement''
having a ``composite theoretical performance'' (``CTP'') exceeding
8.5 million theoretical operations per second (MTOPS);
g. Graphics accelerators or graphics coprocessors that exceed a
``three dimensional vector rate'' of 400,000 or, if supported by 2-D
vectors only, a ``two dimensional vector rate'' of 600,000;
Note: The provisions of 4A994.g do not apply to work stations
designed for and limited to:
a. Graphic arts (e.g., printing, publishing); and
b. The display of two-dimensional vectors.
h. Color displays or monitors having more than 120 resolvable
elements per cm in the direction of the maximum pixel density;
Note 1: 4A994.h does not control displays or monitors not
specially designed for electronic computers.
Note 2: Displays specially designed for air traffic control
(ATC) systems are treated as specially designed components for ATC
systems under Category 6.
i. Equipment containing ``terminal interface equipment''
exceeding the limits in 5A991.
Note: For the purposes of 4A994.i, ``terminal interface
equipment'' includes ``local area network'' interfaces, modems and
other communications interfaces. ``Local area network'' interfaces
are evaluated as ``network access controllers''.
j. Equipment specially designed to provide external
interconnection of ``digital computers'' or associated equipment
that allows communications at data rates exceeding 80 Mbyte/s.
Note: 4A994.j does not control internal interconnection
equipment (e.g., backplanes, buses) passive interconnection
equipment, ``network access controllers'' or ``communication channel
controllers''.
k. ``Hybrid computers'' and ``electronic assemblies'' and
specially designed components therefor, as follows:
k.1. Containing ``digital computers'' controlled by 4A003;
k.2. Containing analog-to-digital converters having all of the
following characteristics:
k.2.a. 32 channels or more; and
k.2.b. A resolution of 14 bit (plus sign bit) or more with a
conversion rate of 200,000 conversions/s or more.
0
27. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4D001 is amended by revising the License Requirements section, the
``TSR'' paragraph of the License Exception section, and the ``items''
paragraph in the List of Items Controlled section, to read as follows:
4D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or
``software'' controlled by 4A001 to 4A004, or 4D (except 4D980,
4D993 or 4D994), and other specified software, see List of Items
Controlled.
License Requirements
Reason for Control: NS, CC, AT, NP, XP.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``software'' for NS Column 1.
commodities or software controlled by
4A001 to 4A004, 4D001 to 4D003.
CC applies to ``software'' for CC Column 1.
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
NP applies, unless a License Exception is available. See Sec.
742.3(b) of the EAR for information on applicable licensing review
policies.
XP applies to ``software'' for computers with a CTP greater than
190,000 MTOPS, unless a License Exception is available. XP controls
vary according to destination and end-user and end-use; however, XP
does not apply to Canada. See Sec. 742.12 of the EAR for additional
information.
License Exceptions
CIV: * * *
TSR: Yes, except software for commodities controlled by ECCN 4A003.b
or ECCN 4A003.c is limited to software for computers or electronic
assemblies with a CTP equal to or less than 190,000 MTOPS.
CTP: * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or
``software'' controlled by 4A001 to 4A004, or 4D (except 4D980,
4D993 or 4D994).
b. ``Software'', other than that controlled by 4D001.a,
specially designed or modified for the ``development'' or
``production'' of:
[[Page 41113]]
b.1. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') exceeding 75,000 MTOPS; or
b.2. ``Electronic assemblies'' specially designed or modified
for enhancing performance by aggregation of ``computing elements''
(``CEs'') so that the ``CTP'' of the aggregation exceeds the limit
in 4D001.b.1.
0
28. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4E001 is amended by revising the License Requirements section, the
``TSR'' paragraph in the License Exception section, and the ``items''
paragraph in the List of Items Controlled section, to read as follows:
4E001 ``Technology'' according to the General Technology Note, for
the ``development'', ``production'' or ``use'' of equipment or
``software'' controlled by 4A (except 4A980, 4A993 or 4A994) or 4D
(except 4D980, 4D993, 4D994), and other specified technology, see
List of Items Controlled.
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``technology'' for NS Column 1.
commodities or software controlled by
4A001 to 4A004, 4D001 to 4D003.
MT applies to ``technology'' for items MT Column 1.
controlled by 4A001.a and 4A101 for MT
reasons.
CC applies to ``technology'' for CC Column 1.
computerized fingerprint equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
NP applies, unless a License Exception is available. See Sec.
742.3(b) of the EAR for information on applicable licensing review
policies.
XP applies to ``technology'' for computers with a CTP greater
than 190,000 MTOPS, unless a License Exception is available. XP
controls vary according to destination and end-user and end-use,
however, XP does not apply to Canada. See Sec. 742.12 of the EAR
for additional information.
License Exceptions
CIV: * * *
TSR: Yes, except technology for commodities controlled by ECCN
4A003.b or ECCN 4A003.c is limited to technology for computers or
electronic assemblies with a CTP equal to or less than 190,000
MTOPS.
CTP: * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Technology'' according to the General Technology Note, for
the ``development,'' ``production,'' or ``use'' of equipment or
``software'' controlled by 4A (except 4A980, 4A993 or 4A994) or 4D
(except 4D980, 4D993, 4D994).
b. ``Technology'', other than that controlled by 4E001.a,
specially designed or modified for the ``development'' or
``production'' of:
b.1. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') exceeding 75,000 MTOPS; or
b.2. ``Electronic assemblies'' specially designed or modified
for enhancing performance by aggregation of ``computing elements''
(``CEs'') so that the ``CTP'' of the aggregation exceeds the limit
in 4E001.b.1.
0
29. 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) 5A001
is amended by revising the License Requirements and License Exceptions
sections, and revising the ``Related Controls'' and ``items''
paragraphs in the List of Items Controlled section, to read as follows:
5A001 Telecommunications systems, equipment, and components.
License Requirements
Reason for Control: NS, AT.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to 5A001.a, and .e........... NS Column 1.
NS applies to 5A001.b, .c, or .d........ NS Column 2.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: N/A for 5A001.a, b.5, .e $5000 for 5A001b.1, b.2, b.3, b.6, and
.d $3000 for 5A001.c.
GBS: Yes, except 5A001.a, b.5, .e.
CIV: Yes, except 5A001.a, b.3, b.5, .e.
List of Items Controlled
Unit: * * *
Related Controls: Telecommunications equipment defined in
5A001.a.1 through A001.a.3 for use on board satellites is subject to
the export licensing authority of the Department of State,
Directorate of Defense Trade Controls (22 CFR part 121). Direction
finding equipment defined in 5A001.e is subject to the export
licensing authority of the Department of State, Directorate of
Defense Trade Controls (22 CFR part 121). See also 5A101 and 5A991.
Related Definitions: * * *
Items:
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. Specially designed to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation; or
a.3. Specially designed to operate outside the temperature range
from 218 K (-55 [deg]C) to 397 K (124 [deg]C).
Note: 5A001.a.3 applies only to electronic equipment.
Note: 5A001.a.2 and 5A001.a.3 do not apply to equipment on board
satellites.
b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any
of the following characteristics, functions or features:
b.1 Being underwater communications systems having any of the
following characteristics:
b.1.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
b.1.b. Using an electromagnetic carrier frequency below 30 kHz;
or
b.1.c. Using electronic beam steering techniques;
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having any of the following characteristics:
b.2.a. Incorporating adaptive techniques providing more than 15
dB suppression of an interfering signal; or
b.2.b. Having all of the following:
b.2.b.1. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.2.b.2. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the frequency range of 1.5 MHz or
more but less
[[Page 41114]]
than 30 MHz, or 250 W or more in the frequency range of 30 MHz or
more but not exceeding 87.5 MHz, over an ``instantaneous bandwidth''
of one octave or more and with an output harmonic and distortion
content of better than -80 dB;
b.3. Being radio equipment employing ``spread spectrum''
techniques, including ``frequency hopping'' techniques, having any
of the following characteristics:
b.3.a. User programmable spreading codes; or
b.3.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;
Note: 5A001.b.3.b does not control radio equipment specially
designed for use with civil cellular radio-communications systems.
Note: 5A001.b.3 does not control equipment operating at an
output power of 1.0 Watt or less.
b.4 Being radio equipment employing ``time-modulated ultra-
wideband'' techniques, having user programmable channelizing or
scrambling codes;
b.5. Being digitally controlled radio receivers having all of
the following:
b.5.a. More than 1,000 channels;
b.5.b. A ``frequency switching time'' of less than 1 ms;
b.5.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
b.5.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.5 does not control radio equipment specially
designed for use with civil cellular radio-communications systems.
b.6. Employing functions of digital ``signal processing'' to
provide voice coding output at rates of less than 2,400 bit/s.
Technical Note: For variable rate voice coding, 5A001.b.6
applies to the voice coding output of continuous speech.
c. Optical fiber communication cables, optical fibers and
accessories, as follows:
c.1. Optical fibers of more than 500 m in length specified by
the manufacturer as being capable of withstanding a proof test
tensile stress of 2 x 10 \9\ N/m \2\ or more;
Technical Note: Proof Test: On-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20 [deg]C) and relative
humidity 40%. Equivalent national standards may be used for
executing the proof test.
c.2. Optical fiber cables and accessories designed for
underwater use.
Note: 5A001.c.2 does not control standard civil
telecommunication cables and accessories.
N.B. 1: For underwater umbilical cables, and connectors thereof,
see 8A002.a.3.
N.B. 2: For fiber-optic hull penetrators or connectors, see
8A002.c.
d. ``Electronically steerable phased array antennae'' operating
above 31.8 GHz.
Note: 5A001.d does not control ``electronically steerable phased
array antennae'' for landing systems with instruments meeting ICAO
standards covering microwave landing systems (MLS).
e. Direction finding equipment operating at frequencies above 30
MHz and having all of the following characteristics, and specially
designed components therefor:
e.1. ``Instantaneous bandwidth'' of 1 MHz or more;
e.2. Parallel processing of more than 100 frequency channels;
and
e.3. Processing rate of more than 1,000 direction finding
results per second and per frequency channel.
0
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 ``LVS'' paragraph in the License Exceptions
section, and the ``items'' paragraph in the List of Items Controlled
section, to read as follows:
6A001 Acoustics.
* * * * *
License Exceptions
LVS: $3000; N/A for 6A001.a.1.b.1 object detection and location
systems having a transmitting frequency below 5 kHz or a sound
pressure level exceeding 210 dB (reference 1 [mu]Pa at 1 m) for
equipment with an operating frequency in the band from 30 kHz to 2
kHz inclusive; 6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3, a.2.a.5,
a.2.a.6, 6A001.a.2.b; processing equipment controlled by
6A001.a.2.c, and specially designed for real time application with
towed acoustic hydrophone arrays; a.2.e.1, a.2.e.2; and bottom or
bay cable systems controlled by 6A001.a.2.f and having processing
equipment specially designed for real time application with bottom
or bay cable systems.
GBS: * * *
CIV: * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Marine acoustic systems, equipment and specially designed
components therefor, as follows:
a.1. Active (transmitting or transmitting-and-receiving)
systems, equipment and specially designed components therefor, as
follows:
Note: 6A001.a.1 does not control:
a. Depth sounders operating vertically below the apparatus, not
including a scanning function exceeding 20[deg], and
limited to measuring the depth of water, the distance of submerged
or buried objects or fish finding;
b. Acoustic beacons, as follows:
1. Acoustic emergency beacons;
2. Pingers specially designed for relocating or returning to an
underwater position.
a.1.a. Wide-swath bathymetric survey systems designed for sea
bed topographic mapping, having all of the following:
a.1.a.1. Being designed to take measurements at an angle
exceeding 20[deg] from the vertical;
a.1.a.2. Being designed to measure depths exceeding 600 m below
the water surface; and
a.1.a.3. Being designed to provide any of the following:
a.1.a.3.a. Incorporation of multiple beams any of which is less
than 1.9[deg]; or
a.1.a.3.b. Data accuracies of better than 0.3% of water depth
across the swath averaged over the individual measurements within
the swath;
a.1.b. Object detection or location systems having any of the
following:
a.1.b.1. A transmitting frequency below 10 kHz;
a.1.b.2. Sound pressure level exceeding 224dB (reference 1
[mu]Pa at 1 m) for equipment with an operating frequency in the band
from 10 kHz to 24 kHz inclusive;
a.1.b.3. Sound pressure level exceeding 235 dB (reference 1
[mu]Pa at 1 m) for equipment with an operating frequency in the band
between 24 kHz and 30 kHz;
a.1.b.4. Forming beams of less than 1[deg] on any axis and
having an operating frequency of less than 100 kHz;
a.1.b.5. Designed to operate with an unambiguous display range
exceeding 5,120 m; or
a.1.b.6. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m and having transducers with any of the
following:
a.1.b.6.a. Dynamic compensation for pressure; or
a.1.b.6.b. Incorporating other than lead zirconate titanate as
the transduction element;
a.1.c. Acoustic projectors, including transducers, incorporating
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or
hydraulic elements operating individually or in a designed
combination, having any of the following:
Notes: 1. The control status of acoustic projectors, including
transducers, specially designed for other equipment is determined by
the control status of the other equipment.
2. 6A001.a.1.c does not control electronic sources that direct
the sound vertically only, or mechanical (e.g., air gun or vapor-
shock gun) or chemical (e.g., explosive) sources.
a.1.c.1. An instantaneous radiated acoustic power density
exceeding 0.01 mW/mm2/Hz for devices operating at
frequencies below 10 kHz;
a.1.c.2. A continuously radiated acoustic power density
exceeding 0.001 Mw/mm2/Hz for devices operating at
frequencies below 10 kHz; or
Technical Note: Acoustic power density is obtained by dividing
the output acoustic power by the product of the area of the
radiating surface and the frequency of operation.
a.1.c.3. Side-lobe suppression exceeding 22 dB;
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
[[Page 41115]]
accuracy of less than 10 m rms (root mean square) when measured at a
range of 1,000 m;
Note: 6A001.a.1.d includes:
a. Equipment using coherent ``signal processing'' between two or
more beacons and the hydrophone unit carried by the surface vessel
or underwater vehicle;
b. Equipment capable of automatically correcting speed-of-sound
propagation errors for calculation of a point.
a.2. Passive (receiving, whether or not related in normal
application to separate active equipment) systems, equipment and
specially designed components therefor, as follows:
a.2.a. Hydrophones having any of the following characteristics:
Note: The control status of hydrophones specially designed for
other equipment is determined by the control status of the other
equipment.
a.2.a.1. Incorporating continuous flexible sensing elements;
a.2.a.2. Incorporating flexible assemblies of discrete sensing
elements with either a diameter or length less than 20 mm and with a
separation between elements of less than 20 mm;
a.2.a.3. Having any of the following sensing elements:
a.2.a.3.a. Optical fibers; or
a.2.a.3.b. Piezoelectric polymer films other than
polyvinylidene-fluoride (PVDF) and its co-polymers {P(VDF-TrFE) and
P(VDF-TFE){time} ; or
a.2.a.3.c. Flexible piezoelectric composites;
a.2.a.4. A hydrophone sensitivity better than -180dB at any
depth with no acceleration compensation;
a.2.a.5. When designed to operate at depths exceeding 35 m with
acceleration compensation; or
a.2.a.6. Designed for operation at depths exceeding 1,000 m;
Technical Notes: 1. ``Piezoelectric polymer film'' sensing
elements consist of polarized polymer film that is stretched over
and attached to a supporting frame or spool (mandrel).
2. `Flexible piezoelectric composite' sensing elements consist
of piezoelectric ceramic particles or fibers combined with an
electrically insulating, acoustically transparent rubber, polymer or
epoxy compound, where the compound is an integral part of the
sensing elements.
3. Hydrophone sensitivity is defined as twenty times the
logarithm to the base 10 of the ratio of rms output voltage to a 1 V
rms reference, when the hydrophone sensor, without a pre-amplifier,
is placed in a plane wave acoustic field with an rms pressure of 1
[mu]Pa. For example, a hydrophone of -160 dB (reference 1 V per
[mu]Pa) would yield an output voltage of 10-8 V in such a
field, while one of -180 dB sensitivity would yield only
10-9 V output. Thus, -160 dB is better than -180 dB.
a.2.b. Towed acoustic hydrophone arrays having any of the
following:
a.2.b.1. Hydrophone group spacing of less than 12.5 m or ``able
to be modified'' to have hydrophone group spacing of less than 12.5
m;
a.2.b.2. Designed or `able to be modified' to operate at depths
exceeding 35m;
Technical Note: ``Able to be modified'' in 6A001.a.2.b means
having provisions to allow a change of the wiring or
interconnections to alter hydrophone group spacing or operating
depth limits. These provisions are: spare wiring exceeding 10% of
the number of wires, hydrophone group spacing adjustment blocks or
internal depth limiting devices that are adjustable or that control
more than one hydrophone group.
a.2.b.3. Heading sensors controlled by 6A001.a.2.d;
a.2.b.4. Longitudinally reinforced array hoses;
a.2.b.5. An assembled array of less than 40 mm in diameter;
a.2.b.6. Multiplexed hydrophone group signals designed to
operate at depths exceeding 35 m or having an adjustable or
removable depth sensing device in order to operate at depths
exceeding 35 m; or
a.2.b.7. Hydrophone characteristics controlled by 6A001.a.2.a;
a.2.c. Processing equipment, specially designed for towed
acoustic hydrophone arrays, having ``user accessible
programmability'' and time or frequency domain processing and
correlation, including spectral analysis, digital filtering and
beamforming using Fast Fourier or other transforms or processes;
a.2.d. Heading sensors having all of the following:
a.2.d.1. An accuracy of better than 0.5[deg]; and
a.2.d.2. Designed to operate at depths exceeding 35 m or having
an adjustable or removable depth sensing device in order to operate
at depths exceeding 35 m;
a.2.e. Bottom or bay cable systems having any of the following:
a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a; or
a.2.e.2. Incorporating multiplexed hydrophone group signal
modules having all of the following characteristics:
a.2.e.2.a. Designed to operate at depths exceeding 35 m or
having an adjustable or removal depth sensing device in order to
operate at depths exceeding 35 m; and
a.2.e.2.b. Capable of being operationally interchanged with
towed acoustic hydrophone array modules;
a.2.f. Processing equipment, specially designed for bottom or
bay cable systems, having ``user accessible programmability'' and
time or frequency domain processing and correlation, including
spectral analysis, digital filtering and beamforming using Fast
Fourier or other transforms or processes;
b. Correlation-velocity sonar log equipment designed to measure
the horizontal speed of the equipment carrier relative to the sea
bed at distances between the carrier and the sea bed exceeding 500
m.
0
31. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6A002
is amended by revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
6A002 Optical sensors.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls:
Related Definitions: * * *
Items:
a. Optical detectors, as follows:
Note: 6A002.a does not control germanium or silicon
photodevices.
N.B. Silicon and other material based ``microbolometer'' non
``space-qualified'' ``focal plane arrays'' are only specified under
6A002.a.3.f.
a.1. ``Space-qualified'' solid-state detectors, as follows:
a.1.a. ``Space-qualified'' solid-state detectors, having all of
the following:
a.1.a.1. A peak response in the wavelength range exceeding 10 nm
but not exceeding 300 nm; and
a.1.a.2. A response of less than 0.1% relative to the peak
response at a wavelength exceeding 400 nm;
a.1.b. ``Space-qualified'' solid-state detectors, having all of
the following:
a.1.b.1. A peak response in the wavelength range exceeding 900
nm but not exceeding 1,200 nm; and
a.1.b.2. A response ``time constant'' of 95 ns or less;
a.1.c. ``Space-qualified'' solid-state detectors having a peak
response in the wavelength range exceeding 1,200 nm but not
exceeding 30,000 nm;
a.2. Image intensifier tubes and specially designed components
therefor, as follows:
a.2.a. Image intensifier tubes having all of the following:
a.2.a.1. A peak response in the wavelength range exceeding 400
nm but not exceeding 1,050 nm;
a.2.a.2. A microchannel plate for electron image amplification
with a hole pitch (center-to-center spacing) of 12 [mu]m or less;
and
a.2.a.3. Any of the following photocathodes:
a.2.a.3.a. S-20, S-25 or multialkali photocathodes with a
luminous sensitivity exceeding 350 [mu]A/lm;
a.2.a.3.b. GaAs or GaInAs photocathodes; or
a.2.a.3.c. Other III-V compound semiconductor photocathodes;
Note: 6A002.a.2.a.3.c does not apply to compound semiconductor
photocathodes with a maximum radiant sensitivity of 10 mA/W or less.
a.2.b. Specially designed components, as follows:
a.2.b.1. Microchannel plates having a hole pitch (center-to-
center spacing) of 12 [mu]m or less;
a.2.b.2. GaAs or GaInAs photocathodes;
a.2.b.3. Other III-V compound semiconductor photocathodes;
Note: 6A002.a.2.b.3 does not control compound semiconductor
photocathodes with a maximum radiant sensitivity of 10 mA/W or less.
a.3. Non-``space-qualified'' ``focal plane arrays'', as follows:
[[Page 41116]]
N.B. Silicon and other material based `microbolometer' non
``space-qualified'' ``focal plane arrays'' are only specified in
6A002.a.3.f.
Technical Notes:
1. Linear or two-dimensional multi-element detector arrays are
referred to as ``focal plane arrays''.
2. For the purposes of 6A002.a.3. `cross scan direction' is
defined as the axis parallel to the linear array of detector
elements and the `scan direction' is defined as the axis
perpendicular to the linear array of detector elements.
Note 1: 6A002.a.3 includes photoconductive arrays and
photovoltaic arrays.
Note 2: 6A002.a.3 does not control:
a. Multi-element (not to exceed 16 elements) encapsulated
photoconductive cells using either lead sulphide or lead selenide;
b. Pyroelectric detectors using any of the following:
b.1. Triglycine sulphate and variants;
b.2. Lead-lanthanum-zirconium titanate and variants;
b.3. Lithium tantalate;
b.4. Polyvinylidene fluoride and variants; or
b.5. Strontium barium niobate and variants.
a.3.a. Non-``space-qualified'' ``focal plane arrays'', having
all of the following:
a.3.a.1. Individual elements with a peak response within the
wavelength range exceeding 900 nm but not exceeding 1,050 nm; and
a.3.a.2. A response ``time constant'' of less than 0.5 ns;
a.3.b. Non-``space-qualified'' ``focal plane arrays'', having
all of the following:
a.3.b.1. Individual elements with a peak response in the
wavelength range exceeding 1,050 nm but not exceeding 1,200 nm; and
a.3.b.2. A response ``time constant'' of 95 ns or less;
a.3.c. Non-``space-qualified'' non-linear (2-dimensional)
``focal plane arrays'', having individual elements with a peak
response in the wavelength range exceeding 1,200 nm but not
exceeding 30,000 nm;
N.B. Silicon and other material based `microbolometer' non-
``space-qualified'' ``focal plane arrays'' are only specified in
6A002.a.3.f.
a.3.d. Non-``space-qualified'' linear (1-dimensional) ``focal
plane arrays'', having all of the following :
a.3.d.1. Individual elements with a peak response in the
wavelength range exceeding 1,200 nm but not exceeding 2,500 nm; and
a.3.d.2. Any of the following:
a.3.d.2.a. A ratio of scan direction dimension of the detector
element to the cross-scan direction dimension of the detector
element of less than 3.8; or
a.3.d.2.b. Signal processing in the element (SPRITE);
a.3.e. Non-``space-qualified'' linear (1-dimensional) ``focal
plane arrays'', having individual elements with a peak response in
the wavelength range exceeding 2,500 nm but not exceeding 30,000 nm.
a.3.f. Non-``space-qualified'' non-linear (2-dimensional)
infrared ``focal plane arrays'' based on `microbolometer' material
having individual elements with an unfiltered response in the
wavelength range equal to or exceeding 8,000 nm but not exceeding
14,000 nm.
Technical Notes:
1. For the purposes of 6A002.a.3.f. `microbolometer' is defined
as a thermal imaging detector that, as a result of a temperature
change in the detector caused by the absorption of infrared
radiation, is used to generate any usable signal.
2. Non-imaging thermal detectors are not controlled by
6A002.a.3. Imaging thermal detectors are a multi-element array of
thermal detectors with the capacity to form a visual, electronic or
other representation of an object with sufficient fidelity to enable
understanding of its shape or other spatial characteristics, such as
height, width, or area. A multi-element array of thermal detectors
without the capacity to form spatial representation of an object is
non-imaging.
3. 6A002.a.3.f captures all non-``space-qualified'' non-linear
(2-dimensional) infrared ``focal plane arrays'' based on
microbolometer material having individual elements with any
unfiltered response between 8,000 nm and 14,000 nm.
b. ``Monospectral imaging sensors'' and ``multispectral imaging
sensors'' designed for remote sensing applications, having any of
the following:
b.1. An Instantaneous-Field-Of-View (IFOV) of less than 200
[mu]rad (microradians); or
b.2. Being specified for operation in the wavelength range
exceeding 400 nm but not exceeding 30,000 nm and having all the
following;
b.2.a. Providing output imaging data in digital format; and
b.2.b. Being any of the following:
b.2.b.1. ``Space-qualified'; or
b.2.b.2. Designed for airborne operation, using other than
silicon detectors, and having an IFOV of less than 2.5 mrad
(milliradians).
c. Direct view imaging equipment operating in the visible or
infrared spectrum, incorporating any of the following:
c.1. Image intensifier tubes having the characteristics listed
in 6A002.a.2.a; or
c.2. ``Focal plane arrays'' having the characteristics listed in
6A002.a.3.
Technical Note: ``Direct view'' refers to imaging equipment,
operating in the visible or infrared spectrum, that presents a
visual image to a human observer without converting the image into
an electronic signal for television display, and that cannot record
or store the image photographically, electronically or by any other
means.
Note: 6A002.c does not control the following equipment
incorporating other than GaAs or GaInAs photocathodes:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Medical equipment;
c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
d. Flame detectors for industrial furnaces;
e. Equipment specially designed for laboratory use.
d. Special support components for optical sensors, as follows:
d.1. ``Space-qualified'' cryocoolers;
d.2. Non-``space-qualified'' cryocoolers, having a cooling
source temperature below 218 K (-55 [deg]C), as follows:
d.2.a. Closed cycle type with a specified Mean-Time-To-Failure
(MTTF), or Mean-Time-Between-Failures (MTBF), exceeding 2,500 hours;
d.2.b. Joule-Thomson (JT) self-regulating minicoolers having
bore (outside) diameters of less than 8 mm;
d.3. Optical sensing fibers specially fabricated either
compositionally or structurally, or modified by coating, to be
acoustically, thermally, inertially, electromagnetically or nuclear
radiation sensitive.
e. ``Space qualified'' ``focal plane arrays'' having more than
2,048 elements per array and having a peak response in the
wavelength range exceeding 300 nm but not exceeding 900 nm.
0
32. 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'' paragraphs in the List of Items
Controlled section, to read as follows:
6A003 Cameras.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Instrumentation cameras and specially designed components
therefor, as follows:
Note: Instrumentation cameras, controlled by 6A003.a.3 to
6A003.a.5, with modular structures should be evaluated by their
maximum capability, using plug-ins available according to the camera
manufacturer's specifications.
a.1. High-speed cinema recording cameras using any film format
from 8 mm to 16 mm inclusive, in which the film is continuously
advanced throughout the recording period, and that are capable of
recording at framing rates exceeding 13,150 frames/s;
Note: 6A003.a.1 does not control cinema recording cameras
designed for civil purposes.
a.2. Mechanical high speed cameras, in which the film does not
move, capable of recording at rates exceeding 1,000,000 frames/s for
the full framing height of 35 mm film, or at proportionately higher
rates for lesser frame heights, or at proportionately lower rates
for greater frame heights;
a.3. Mechanical or electronic streak cameras having writing
speeds exceeding 10 mm/[mu]s;
a.4. Electronic framing cameras having a speed exceeding
1,000,000 frames/s;
a.5. Electronic cameras, having all of the following:
[[Page 41117]]
a.5.a. An electronic shutter speed (gating capability) of less
than 1 [mu]s per full frame; and
a.5.b. A read out time allowing a framing rate of more than 125
full frames per second.
a.6. Plug-ins, having all of the following characteristics:
a.6.a. Specially designed for instrumentation cameras which have
modular structures and that are controlled by 6A003.a; and
a.6.b. Enabling these cameras to meet the characteristics
specified in 6A003.a.3, 6A003.a.4 or 6A003.a.5, according to the
manufacturer's specifications.
b. Imaging cameras, as follows:
Note: 6A003.b does not control television or video cameras
specially designed for television broadcasting.
b.1. Video cameras incorporating solid state sensors, having a
peak response in the wavelength range exceeding 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 x 10\6\ ``active pixels'' per solid state
array for monochrome (black and white) cameras;
b.1.a.2. More than 4 x 10\6\ ``active pixels'' per solid state
array for color cameras incorporating three solid state arrays; or
b.1.a.3. More than 12 x 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.
Technical Notes:
1. For the purposes of this entry, digital video cameras should
be evaluated by the maximum number of ``active pixels'' used for
capturing moving images.
2. For the purpose of this entry, camera tracking data is the
information necessary to define camera line of sight orientation
with respect to the earth. This includes: (1) the horizontal angle
the camera line of sight makes with respect to the earth's magnetic
field direction and; (2) the vertical angle between the camera line
of sight and the earth's horizon.
b.2. Scanning cameras and scanning camera systems, having all of
the following:
b.2.a. A peak response in the wavelength range exceeding 10 nm,
but not exceeding 30,000 nm;
b.2.b. Linear detector arrays with more than 8,192 elements per
array; and
b.2.c. Mechanical scanning in one direction;
b.3. Imaging cameras incorporating image intensifier tubes
having the characteristics listed in 6A002.a.2.a;
b.4. Imaging cameras incorporating ``focal plane arrays'' having
any of the following:
b.4.a. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.a. to 6A002.a.3.e.; or
b.4.b. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.f.
Note 1: ``Imaging cameras'' described in 6A003.b.4 include
``focal plane arrays'' combined with sufficient signal processing
electronics, beyond the read out integrated circuit, to enable as a
minimum the output of an analog or digital signal once power is
supplied.
Note 2: 6A003.b.4.a does not control imaging cameras
incorporating linear ``focal plane arrays'' with twelve elements or
fewer, not employing time-delay-and-integration within the element,
designed for any of the following:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Industrial equipment used for inspection or monitoring of
heat flows in buildings, equipment or industrial processes;
c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
d. Equipment specially designed for laboratory use; or
e. Medical equipment.
Note 3: 6A003.b.4.b. does not control imaging cameras having any
of the following characteristics:
a. A maximum frame rate equal to or less than 9 Hz;
b. Having all of the following:
1. Having a minimum horizontal or vertical Instantaneous-Field-
of-View (IFOV) of at least 10 mrad/pixel (milliradians/pixel);
2. Incorporating a fixed focal-length lens that is not designed
to be removed;
3. Not incorporating a direct view display, and
Technical Note: ``Direct view'' refers to an imaging camera
operating in the infrared spectrum that presents a visual image to a
human observer using a near-to-eye micro display incorporating any
light-security mechanism.
4. Having any of the following:
a. No facility to obtain a viewable image of the detected field-
of-view, or
b. The camera is designed for a single kind of application and
designed not to be user modified, or
Technical Note: Instantaneous Field of View (IFOV) specified in
Note 3.b is the lesser figure of the Horizontal FOV or the Vertical
FOV.
Horizontal IFOV = horizontal Field of View (FOV) / number of
horizontal detector elements
Vertical IFOV = vertical Field of View (FOV) / number of vertical
detector elements
c. Where the camera is specially designed for installation into
a civilian passenger land vehicle of less than three tons (gross
vehicle weight) and having all of the following:
1. Is operable only when installed in any of the following:
a. The civilian passenger land vehicle for which it was
intended; or
b. A specially designed, authorized maintenance test facility;
and
2. Incorporates an active mechanism that forces the camera not
to function when it is removed from the vehicle for which it was
intended.
Note: When necessary, details of the items will be provided,
upon request, to the Bureau of Industry and Security in order to
ascertain compliance with the conditions described in Note 3.b.4.
and Note 3.c. in this Note to 6A003.b.4.b.
0
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 ``LVS'' paragraph in the License Exceptions
section, and the ``items'' paragraph in the List of Items Controlled
section, to read as follows:
6A006 ``Magnetometers'', ``magnetic gradiometers'', ``intrinsic
magnetic gradiometers'' and compensation systems, and specially
designed components therefor, as follows (see List of Items
Controlled).
* * * * *
License Exceptions
LVS: $1500, N/A for 6A006.a.1; ``Magnetometers'' and subsystems
defined in 6A006.a.2 using optically pumped or nuclear precession
(proton/Overhauser) having a ``noise level'' (sensitivity) lower
(better) than 2 pT rms per square root Hz; and 6A006.c.
GBS: * * *
CIV: * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Magnetometers'' and subsystems, as follows:
a.1. Using ``superconductive'' (SQUID) ``technology'' and having
any of the following characteristics:
a.1.a. SQUID systems designed for stationary operation, without
specially designed subsystems designed to reduce in-motion noise,
and having a ``noise level'' (sensitivity) equal to or lower
(better) than 50 fT (rms) per square root Hz at a frequency of 1 Hz;
or
a.1.b. SQUID systems having an in-motion-magnetometer ``noise
level'' (sensitivity) lower (better) than 20 pT (rms) per square
root Hz at a frequency of 1 Hz and specially designed to reduce in-
motion noise;
a.2. Using optically pumped or nuclear precession (proton/
Overhauser) ``technology'' having a ``noise level'' (sensitivity)
lower (better) than 20 pT (rms) per square root Hz;
a.3. Using fluxgate ``technology'' having a ``noise level''
(sensitivity) equal to or lower (better) than 10 pT (rms) per square
root Hz at a frequency of 1 Hz;
a.4. Induction coil ``magnetometers'' having a ``noise level''
(sensitivity) lower (better) than any of the following:
a.4.a. 0.05 nT rms/square root Hz at frequencies of less than 1
Hz;
a.4.b. 1 x 10-\3\ nT rms/square root Hz at
frequencies of 1 Hz or more but not exceeding 10 Hz; or
a.4.c. 1 x 10-\4\ nT rms/square root Hz at
frequencies exceeding 10 Hz;
a.5. Fiber optic ``magnetometers'' having a ``noise level''
(sensitivity) lower (better) than 1 nT rms per square root Hz;
[[Page 41118]]
b. Magnetic gradiometers, as follows:
b.1. ``Magnetic gradiometers'' using multiple ``magnetometers''
controlled by 6A006.a;
b.2. 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;
b.3. ``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; and
c. Magnetic compensation systems for magnetic sensors designed
for operation on mobile platforms.
0
34. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6A993
is added after ECCN 6A992 and before ECCN 6A994, to read as follows:
6A993 Cameras, not controlled by 6A003 or 6A203, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Cameras that meet the criteria of Note 3 to 6A003.b.4.
b. [Reserved.]
0
35. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6A996
is amended by revising the heading and the ``items'' paragraph in the
List of Items Controlled section, to read as follows:
6A996 ``Magnetometers'' not controlled by ECCN 6A006,
``Superconductive'' electromagnetic sensors, and specially designed
components therefor, as follows (see List of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Magnetometers'', n.e.s., having a ``noise level''
(sensitivity) lower (better) than 1.0 nT rms per square root Hz.
b. ``Superconductive'' electromagnetic sensors, components
manufactured from ``superconductive'' materials:
b.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));
b.2. Designed for sensing electromagnetic field variations at
frequencies of 1 KHz or less; and
b.3. Having any of the following characteristics:
b.3.a. Incorporating thin-film SQUIDS with a minimum feature
size of less than 2 [mu]m and with associated input and output
coupling circuits;
b.3.b. Designed to operate with a magnetic field slew rate
exceeding 1 x 10 \6\ magnetic flux quanta per second;
b.3.c. Designed to function without magnetic shielding in the
earth's ambient magnetic field; or
b.3.d. Having a temperature coefficient less (smaller) than 0.1
magnetic flux quantum/K.
0
36. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6E001
is amended by revising the License Exceptions section, to read as
follows:
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).
* * * * *
License Exceptions
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ``Technology'' for commodities controlled by 6A002.e,
6A004.e, or 6A008.j.1;
(3) ``Technology'' for ``software'' specially designed for
``space qualified'' ``laser'' radar or Light Detection and Ranging
(LIDAR) equipment defined in 6A008.j.1 and controlled by 6D001 or
6D002;
(4) Exports or reexports to destinations outside of Austria,
Belgium, Canada, Denmark, Finland, France, Germany, Greece, Ireland,
Italy, Japan, Luxembourg, the Netherlands, Portugal, Spain, Sweden,
or the United Kingdom of ``technology'' for the ``development'' of
the following: (a) Items controlled by 6A001.a.1.b.1, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5,
6A001.a.2.a.6,6A001.a.2.b, 6A001.a.2.e., 6A002.a.1.c, 6A008.l.3,
6B008, 6D003.a; (b) Equipment controlled by 6A001.a.2.c or
6A001.a.2.f when specially designed for real time applications; or
(c) ``Software'' controlled by 6D001 and specially designed for the
``development'' or ``production'' of equipment controlled by
6A008.l.3 or 6B008; or
(5) Exports or reexports to Rwanda.
* * * * *
0
37. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6E002
is amended by revising the License Exceptions section, to read as
follows:
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).
* * * * *
License Exceptions
CIV: N/A
TSR: Yes, except for the following:
(1) Items controlled for MT reasons;
(2) ``Technology'' for commodities controlled by 6A002.e,
6A004.e, 6A008.j.1;
(3) Exports or reexports to destinations outside of Austria,
Belgium, Canada, Denmark, Finland, France, Germany, Greece, Ireland,
Italy, Japan, Luxembourg, the Netherlands, Portugal, Spain, Sweden,
or the United Kingdom of ``technology'' for the ``development'' of
the following: (a) Items controlled by 6A001.a.1.b.1, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6,
6A001.a.2.b, and 6A001.a.2.c; and (b) Equipment controlled by
6A001.a.2.e and 6A001.a.2.f when specially designed for real time
applications; or (c) ``Software'' controlled by 6D001 and specially
designed for the ``development'' or ``production'' of equipment
controlled by 6A002.a.1.c, 6A008.l.3 or 6B008; or
(4) Exports or reexports to Rwanda.
* * * * *
0
38. 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:
6E003 Other ``technology'', as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Acoustics. None.
b. Optical sensors. None.
c. Cameras. None.
d. Optics, ``technology'', as follows:
[[Page 41119]]
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 x
10-3;
N.B.: See also 2E003.f.
d.2. Optical fabrication ``technology'' using single point
diamond turning techniques to produce surface finish accuracies of
better than 10 nm rms on non-planar surfaces exceeding 0.5
m2;
e. Lasers. ``Technology'' ``required'' for the ``development'',
``production'' or ``use'' of specially designed diagnostic
instruments or targets in test facilities for ``SHPL'' testing or
testing or evaluation of materials irradiated by ``SHPL'' beams;
f. Magnetometers. None
g. Gravimeters. None
h. Radar. None
0
39. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6E991
is amended by revising the heading to read as follows:
6E991 ``Technology'' for the ``development'', ``production'' or
``use'' of equipment controlled by 6A991, 6A996, 6A997, or 6A998.
* * * * *
0
40. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6E993
is amended by revising the heading and the ``items'' paragraph in the
List of Items Controlled section, to read as follows:
6E993 Other ``technology'', not controlled by 6E003, as follows (see
List of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Optical fabrication technologies for serially producing
optical components at a rate exceeding 10 m2 of surface
area per year on any single spindle and with:
a.1. An area exceeding 1 m2; and
a.2. A surface figure exceeding lambda/10 rms at the designed
wavelength;
b. ``Technology'' for optical filters with a bandwidth equal to
or less than 10 nm, a field of view (FOV) exceeding 40[deg] and a
resolution exceeding 0.75 line pairs per milliradian;
c. ``Technology'' for the ``development'' or ``production'' of
cameras controlled by 6A993;
d. ``Technology'' ``required'' for the ``development'' or
``production'' of non-triaxial fluxgate ``magnetometers'' or non-
triaxial fluxgate ``magnetometer'' systems, having any of the
following:
d.1. A ``noise level'' of less than 0.05 nT rms per square root
Hz at frequencies of less than 1 Hz; or
d.2. A ``noise level'' of less than 1 x 10-3 nT rms
per square root Hz at frequencies of 1 Hz or more.
0
41. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 7--Navigation and Avionics, Export Control Classification
Number (ECCN) 7A002 is amended by revising the License Requirements
section, and the ``items'' paragraph in the List of Items Controlled
section, to read as follows:
7A002 Gyros, and angular or rotational accelerometers, having any of
the following characteristics (see List of Items Controlled), and
specially designed components therefor.
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 1.
MT applies to, commodities described in MT Column 1.
this entry that meet the parameters of
7A102.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. A ``drift rate'' ``stability'', when measured in a 1 g
environment over a period of one month and with respect to a fixed
calibration value, of:
a.1. Less (better) than 0.1 degree per hour when specified to
function at linear acceleration levels below 12 g; or
a.2. Less (better) than 0.5 degree per hour when specified to
function at linear acceleration levels from 12 g to 100 g inclusive;
b. An angle random walk of less (better) than or equal to 0.0035
degree per square root hour; or
Note: 7A002.b does not control spinning mass gyros (spinning
mass gyros are gyros which use a continually rotating mass to sense
angular motion).
Technical Note: For the purpose of 7A002.b, ``angle random
walk'' is the angular error buildup with time that is due to white
noise in angular rate. (IEEE STD 528-2001).
c. Specified to function at linear acceleration levels exceeding
100 g.
0
42. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 7--Navigation and Avionics, Export Control Classification
Number (ECCN) 7A007 is removed.
0
43. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 8--Marine, Export Control Classification Number (ECCN) 8A002
is amended by revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
8A002 Systems and equipment, as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Systems and equipment, specially designed or modified for
submersible vehicles, designed to operate at depths exceeding 1,000
m, as follows:
a.1. Pressure housings or pressure hulls with a maximum inside
chamber diameter exceeding 1.5 m;
a.2. Direct current propulsion motors or thrusters;
a.3. Umbilical cables, and connectors therefor, using optical
fiber and having synthetic strength members;
b. Systems specially designed or modified for the automated
control of the motion of submersible vehicles controlled by 8A001
using navigation data and having closed loop servo-controls:
b.1. Enabling a vehicle to move within 10 m of a predetermined
point in the water column;
b.2. Maintaining the position of the vehicle within 10 m of a
predetermined point in the water column; or
b.3. Maintaining the position of the vehicle within 10 m while
following a cable on or under the seabed;
c. Fiber optic hull penetrators or connectors;
d. Underwater vision systems, as follows:
d.1. Television systems and television cameras, as follows:
d.1.a. Television systems (comprising camera, monitoring and
signal transmission equipment) having a limiting resolution when
measured in air of more than 800 lines and specially designed or
modified for remote operation with a submersible vehicle;
d.1.b. Underwater television cameras having a limiting
resolution when measured in air of more than 1,100 lines;
d.1.c. Low light level television cameras specially designed or
modified for underwater use containing all of the following:
[[Page 41120]]
d.1.c.1. Image intensifier tubes controlled by 6A002.a.2.a; and
d.1.c.2. More than 150,000 ``active pixels'' per solid state
area array;
Technical Note: Limiting resolution in television is a measure
of horizontal resolution usually expressed in terms of the maximum
number of lines per picture height discriminated on a test chart,
using IEEE Standard 208/1960 or any equivalent standard.
d.2. Systems, specially designed or modified for remote
operation with an underwater vehicle, employing techniques to
minimize the effects of back scatter, including range-gated
illuminators or ``laser'' systems;
e. Photographic still cameras specially designed or modified for
underwater use below 150 m having a film format of 35 mm or larger,
and having any of the following:
e.1. Annotation of the film with data provided by a source
external to the camera;
e.2. Automatic back focal distance correction; or
e.3. Automatic compensation control specially designed to permit
an underwater camera housing to be usable at depths exceeding 1,000
m;
f. Electronic imaging systems, specially designed or modified
for underwater use, capable of storing digitally more than 50
exposed images;
g. Light systems, as follows, specially designed or modified for
underwater use:
g.1. Stroboscopic light systems capable of a light output energy
of more than 300 J per flash and a flash rate of more than 5 flashes
per second;
g.2. Argon arc light systems specially designed for use below
1,000 m;
h. ``Robots'' specially designed for underwater use, controlled
by using a dedicated computer, having any of the following:
h.1. Systems that control the ``robot'' using information from
sensors which measure force or torque applied to an external object,
distance to an external object, or tactile sense between the
``robot'' and an external object; or
h.2. The ability to exert a force of 250 N or more or a torque
of 250 Nm or more and using titanium based alloys or ``fibrous or
filamentary'' ``composite'' materials in their structural members;
i. Remotely controlled articulated manipulators specially
designed or modified for use with submersible vehicles, having any
of the following:
i.1. Systems which control the manipulator using the information
from sensors which measure the torque or force applied to an
external object, or tactile sense between the manipulator and an
external object; or
i.2. Controlled by proportional master-slave techniques or by
using a dedicated computer, and having 5 degrees of freedom of
movement or more;
Note: Only functions having proportional control using
positional feedback or by using a dedicated computer are counted
when determining the number of degrees of freedom of movement.
j. Air independent power systems, specially designed for
underwater use, as follows:
j.1. Brayton or Rankine cycle engine air independent power
systems having any of the following:
j.1.a. Chemical scrubber or absorber systems specially designed
to remove carbon dioxide, carbon monoxide and particulates from
recirculated engine exhaust;
j.1.b. Systems specially designed to use a monoatomic gas;
j.1.c. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz, or special mounting
devices for shock mitigation; or
j.1.d. Systems specially designed:
j.1.d.1. To pressurize the products of reaction or for fuel
reformation;
j.1.d.2. To store the products of the reaction; and
j.1.d.3. To discharge the products of the reaction against a
pressure of 100 kPa or more;
j.2. Diesel cycle engine air independent systems, having all of
the following:
j.2.a. Chemical scrubber or absorber systems specially designed
to remove carbon dioxide, carbon monoxide and particulates from
recirculated engine exhaust;
j.2.b. Systems specially designed to use a monoatomic gas;
j.2.c. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; and
j.2.d. Specially designed exhaust systems that do not exhaust
continuously the products of combustion;
j.3. Fuel cell air independent power systems with an output
exceeding 2 kW having any of the following:
j.3.a. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; or
j.3.b. Systems specially designed:
j.3.b.1. To pressurize the products of reaction or for fuel
reformation;
j.3.b.2. To store the products of the reaction; and
j.3.b.3. To discharge the products of the reaction against a
pressure of 100 kPa or more;
j.4. Stirling cycle engine air independent power systems, having
all of the following:
j.4.a. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; and
j.4.b. Specially designed exhaust systems which discharge the
products of combustion against a pressure of 100 kPa or more;
k. Skirts, seals and fingers, having any of the following:
k.1. Designed for cushion pressures of 3,830 Pa or more,
operating in a significant wave height of 1.25 m (Sea State 3) or
more and specially designed for surface effect vehicles (fully
skirted variety) controlled by 8A001.f; or
k.2. Designed for cushion pressures of 6,224 Pa or more,
operating in a significant wave height of 3.25 m (Sea State 5) or
more and specially designed for surface effect vehicles (rigid
sidewalls) controlled by 8A001.g;
l. Lift fans rated at more than 400 kW specially designed for
surface effect vehicles controlled by 8A001.f or 8A001.g;
m. Fully submerged subcavitating or supercavitating hydrofoils
specially designed for vessels controlled by 8A001.h;
n. Active systems specially designed or modified to control
automatically the sea-induced motion of vehicles or vessels
controlled by 8A001.f, 8A001.g, 8A001.h or 8A001.i;
o. Propellers, power transmission systems, power generation
systems and noise reduction systems, as follows:
o.1. Water-screw propeller or power transmission systems, as
follows, specially designed for surface effect vehicles (fully
skirted or rigid sidewall variety), hydrofoils or small waterplane
area vessels controlled by 8A001.f, 8A001.g, .8A001.h or 8A001.i:
o.1.a. Supercavitating, super-ventilated, partially-submerged or
surface piercing propellers rated at more than 7.5 MW;
o.1.b. Contrarotating propeller systems rated at more than 15
MW;
o.1.c. Systems employing pre-swirl or post-swirl techniques for
smoothing the flow into a propeller;
o.1.d. Light-weight, high capacity (K factor exceeding 300)
reduction gearing;
o.1.e. Power transmission shaft systems, incorporating
``composite'' material components, capable of transmitting more than
1 MW;
o.2. Water-screw propeller, power generation systems or
transmission systems designed for use on vessels, as follows:
o.2.a. Controllable-pitch propellers and hub assemblies rated at
more than 30 MW;
o.2.b. Internally liquid-cooled electric propulsion engines with
a power output exceeding 2.5 MW;
o.2.c. ``Superconductive'' propulsion engines, or permanent
magnet electric propulsion engines, with a power output exceeding
0.1 MW;
o.2.d. Power transmission shaft systems, incorporating
``composite'' material components, capable of transmitting more than
2 MW;
o.2.e. Ventilated or base-ventilated propeller systems rated at
more than 2.5 MW;
o.3. Noise reduction systems designed for use on vessels of
1,000 tons displacement or more, as follows:
o.3.a. Systems that attenuate underwater noise at frequencies
below 500 Hz and consist of compound acoustic mounts for the
acoustic isolation of diesel engines, diesel generator sets, gas
turbines, gas turbine generator sets, propulsion motors or
propulsion reduction gears, specially designed for sound or
vibration isolation, having an intermediate mass exceeding 30% of
the equipment to be mounted;
o.3.b. Active noise reduction or cancellation systems, or
magnetic bearings, specially designed for power transmission
systems, and incorporating electronic control systems capable of
actively reducing equipment vibration by the generation of anti-
noise or anti-vibration signals directly to the source;
p. Pumpjet propulsion systems having a power output exceeding
2.5 MW using divergent nozzle and flow conditioning vane
[[Page 41121]]
techniques to improve propulsive efficiency or reduce propulsion-
generated underwater-radiated noise.
q. Self-contained, closed or semi-closed circuit (rebreathing)
diving and underwater swimming apparatus.
Note: 8A002.q does not control an individual apparatus for
personal use when accompanying its user.
0
44. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 9--Propulsion Systems, Space Vehicles and Related Equipment,
Export Control Classification Number (ECCN) 9A001 is amended by
revising the ``items'' paragraph in the List of Items Controlled
section, to read as follows:
9A001 Aero gas turbine engines having any of the following (see List
of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Incorporating any of the technologies controlled by 9E003.a.;
or
Note: 9A001.a. does not control aero gas turbine engines which
meet all of the following:
1. Certified by the civil aviation authority in a country listed
in Supplement No. 1 to part 743; and
2. Intended to power non-military manned aircraft for which a
civil Type Certificate has been issued by a country listed in
Supplement No. 1 to part 743.
b. Designed to power an aircraft designed to cruise at Mach 1 or
higher for more than 30 minutes.
Dated: July 1, 2005.
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 05-13581 Filed 7-14-05; 8:45 am]
BILLING CODE 3510-33-P