[Federal Register Volume 86, Number 202 (Friday, October 22, 2021)]
[Proposed Rules]
[Pages 58615-58626]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-21954]


=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 740 and 774

[Docket No. 210910-0182]
RIN 0694-AI58


Clarifications of Availability and Expansion of Restrictions on 
Availability of License Exception Strategic Trade Authorization Under 
the Export Administration Regulations

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Proposed rule.

-----------------------------------------------------------------------

SUMMARY: In this rule, the Bureau of Industry and Security (BIS) 
proposes to amend the Export Administration Regulations (EAR) to 
clarify and expand restrictions on the availability of License 
Exception Strategic Trade Authorization (License Exception STA or STA) 
for the export, reexport and transfer (in-country) of certain items 
controlled under the EAR. Specifically, BIS proposes to clarify the 
``Special Conditions for STA'' paragraph in certain Category 9 Export 
Control Classification Numbers (ECCNs) on the Commerce Control List to 
refer exporters to the limitations set forth in the EAR. Also, 
continuing its efforts to improve export controls and refine License 
Exception STA, BIS proposes to further restrict the availability of 
License Exception STA for certain technology controlled under ECCNs 
2E003.f and 1E001. This rule also proposes related conforming 
amendments in License Exception STA and in affected ECCNs.

DATES: Comments must be received by December 6, 2021.

ADDRESSES: You may submit comments through either of the following:
     Federal eRulemaking Portal: https://www.regulations.gov. 
The identification number for this rulemaking is BIS- 2020-0023. All 
filers using the portal should use the name of the person or entity 
submitting comments as the name of their files, in accordance with the 
instructions below. Persons or entities submitting business 
confidential information should clearly identify the business 
confidential portion at the time of submission, file a statement 
justifying nondisclosure and referring to the specific legal authority 
claimed, and provide a non-confidential version of the submission. For 
comments submitted electronically containing business confidential 
information, the file name of the business confidential version should 
begin with the characters ``BC.'' Any page containing business 
confidential information must be clearly marked ``BUSINESS 
CONFIDENTIAL'' on the top of that page. The corresponding non-
confidential version of those comments must be clearly marked 
``PUBLIC.'' The file name of the non-confidential version should begin 
with the character ``P.'' The ``BC'' and ``P'' should be followed by 
the name of the person or entity submitting the comments or rebuttal 
comments. Any submissions with file names that do not begin with a 
``BC'' or ``P'' will be assumed to be public and will be made publicly 
available through https://www.regulations.gov.
     Address: By mail or delivery to Regulatory Policy 
Division, Bureau of Industry and Security, U.S. Department of Commerce, 
Room 2099B, 14th Street and Pennsylvania Avenue NW, Washington, DC 
20230. Refer to RIN 0694-AI58. If you seek to submit business 
confidential information, you must use the portal. BIS does not accept 
confidential business information by mail or delivery.

FOR FURTHER INFORMATION CONTACT: Michael Rithmire, Director, Sensors 
and Aviation Division, Office of National Security and Technology 
Transfer Controls, Bureau of Industry and Security, by phone at (202) 
482-6105 or by email at [email protected].

SUPPLEMENTARY INFORMATION:

Background

    In a final rule published on June 16, 2011 (76 FR 35276) (June 16 
rule), BIS established License Exception Strategic Trade Authorization 
(License Exception STA or STA) in part 740 (License Exceptions) of the 
Export Administration Regulations (EAR), as part of the initial effort 
to reform and modernize U.S. export controls. License Exception STA is 
set forth in Sec.  740.20 of the EAR and authorizes exports, reexports, 
and transfers (in-country) of certain specified items to STA-eligible 
destinations, including the release of certain software source code and 
technology, as well as certain ``600 series'' items. There are two 
groups of STA-eligible destinations: 37 destinations that are included 
in

[[Page 58616]]

``Country Group A:5'' and are eligible under Sec.  740.20(c)(1), and 
eight destinations included in ``Country Group A:6'' and eligible under 
Sec.  740.20(c)(2). These country group listings appear in Supplement 
No. 1 to Part 740 (Country Groups). The destinations in these two 
country groups pose low risk that those items will be used for a 
purpose that BIS license requirements are designed to prevent. The 
requirements and conditions for use of License Exception STA include 
the creation and exchange by the parties to the transaction of 
notifications and statements designed to provide assurance against 
diversion of such items to other destinations.
    Section 740.20(b) of the EAR sets forth various prohibitions and 
limitations on the use of License Exception STA, including in Sec.  
740.20(b)(2)(viii), which prohibits use of STA, regardless of 
destination, for certain Category 9 export control classification 
numbers (ECCNs). Certain software and technology controlled under ECCNs 
9D001, 9D002, 9D004, 9E001, 9E002, and 9E003 are among the Category 9 
items to which this prohibition applies. However, as a result of text 
adopted in the June 16 rule in response to certain public comments, the 
``Special Conditions for STA'' paragraphs of these Category 9 ECCNs are 
not as comprehensive as Sec.  740.20(b)(2)(viii), which potentially 
confuses exporters. More specifically, these paragraphs state that STA 
eligibility for certain software and technology controlled under the 
ECCNs is excluded to destinations in Country Group A:6, while the 
controlling text of Sec.  740.20(b)(2)(viii) excludes STA eligibility 
for these items regardless of destination. In this rule, BIS proposes 
to clarify the ``Special Conditions for STA'' paragraphs included under 
ECCNs 9D001, 9D002, 9D004, 9E001, 9E002 and 9E003 in order to reduce 
the possibility of confusion. The clarified text, which does not change 
license requirements or restrictions, would direct exporters, 
reexporters, and in-country transferors to the Category 9 limitations 
on the use of STA set forth in Sec.  740.20(b)(2)(viii), when 
determining STA availability for the export, reexport and in-country 
transfer of certain items controlled under those ECCNs.
    The June 16 rule informed the public that BIS would undertake 
further review regarding whether technology controlled under ECCN 
2E003.f related to the application of certain coatings is, in whole or 
in part, appropriate for exclusion from License Exception STA. See 76 
FR 35276, 35278 (6/16/2011). ECCN 2E003.f controls technology for the 
application of inorganic overlay coatings or inorganic surface 
modification coatings to non-electronic substrates by certain coating 
processes. The coating processes specified in this ECCN are critical to 
the performance of gas turbine engine hot section parts, but are also 
used for other manufacturing processes, such as optics. The operating 
environment of engine hot section parts and components is above the 
actual melting point of the base alloy used to cast these parts; 
however, the alloy does not melt due to three key technologies: Casting 
(controlled in ECCN 9E003), cooling (controlled in ECCNs 9E001 and 
9E003), and coatings (controlled in ECCNs 2E003.f and 9E003). While hot 
section technologies (controlled for Significant Items (SI) reasons) 
require a license for export to destinations worldwide (except Canada) 
and are not eligible for export under license exceptions, coating 
technologies controlled in ECCN 2E003.f are not controlled for SI 
reasons and are currently eligible for export to destinations in 
Country Group A:5 under License Exception STA. Recognizing that the 
scope of 2E003.f coating technology includes technology with sensitive 
industrial applications, this proposed rule would expand restrictions 
on the use of License Exception STA for ECCN 2E003.f technology, when 
the technology is used for the application of inorganic overlay 
coatings on gas turbine engine combustors, or turbine blades, vanes or 
``tip shrouds'' by adding a new restriction in paragraph (b)(2)(ix) of 
Sec.  740.20.
    During this review of coating technology, inconsistencies were also 
identified in the eligibility of License Exceptions STA and Technology 
and Software Under Restriction (TSR) (see: Sec.  740.6 of the EAR) for 
``development'' and ``production'' technology in ECCN 1E001 that has 
applications in the ``development'' and ``production'' of hot section 
gas turbine parts and components as well as advanced military composite 
structures. The Special Conditions for STA paragraph in ECCN 1E001 
currently prohibits the use of License Exception STA to ship or 
transmit ``technology'' for the ``development'' or ``production'' of 
equipment and materials specified by ECCNs 1A002, 1C001, 1C007.c or .d, 
1C010.c or .d to any of the destinations listed in Country Group A:6. 
Some of the technology for which License Exception STA may not be used, 
however, is eligible for export under License Exception TSR not just to 
destinations in Country Group A:6, but to a broader universe of 
destinations in Country Group B.
    In addition, current STA eligibility with regard to Country Group 
A:6 destinations for 1E001 technology with applications in hot section 
gas turbine parts is inconsistent with Sec.  740.20(b)(2)(viii)'s 
prohibition on the use of STA with regard to all destinations for hot 
section technology in Category 9. Moreover, the exclusions from License 
Exceptions STA and TSR in ECCN 1E001 do not list ECCN 1E001 technology 
related to materials in Category 1 that are critical to the 
``development'' or ``production'' of advanced composite aircraft 
structures--specifically, ``development'' or ``production'' technology 
for high temperature resins controlled under ECCNs 1C008 or 1C009 and 
fibers or fibers pre-impregnated with a resin (prepregs) controlled in 
ECCNs 1C007 or 1C010.
    This rule proposes to exclude License Exception STA eligibility to 
all destinations for technology described by ECCN 1E001 for the 
``development'' or ``production'' of equipment and materials specified 
by ECCNs 1A002, 1C001, 1C007.c, 1C008.a.1, 1C009.b, and 1C010.b, .c or 
.d. This rule also proposes to correct the inconsistencies between 
License Exceptions STA and TSR and to exclude these same technologies 
from eligibility for License Exception TSR.
    BIS also proposes to make conforming amendments throughout License 
Exception STA Sec.  740.20(b) and in affected ECCNs.
    BIS seeks public comments on the amendments to the EAR proposed in 
this rule.

Export Control Reform Act of 2018

    On August 13, 2018, the President signed into law the John S. 
McCain National Defense Authorization Act for Fiscal Year 2019, which 
included the Export Control Reform Act of 2018 (ECRA), 50 U.S.C. 4801-
4852. ECRA provides the legal basis for BIS's principal authorities and 
serves as the authority under which BIS issues this rule.

Rulemaking Requirements

    1. Executive Orders 13563 and 12866 direct agencies to assess all 
costs and benefits of available regulatory alternatives and, if 
regulation is necessary, to select regulatory approaches that maximize 
net benefits (including potential economic, environmental, public 
health, and safety effects, and other advantages; distributive impacts; 
and equity). Executive Order 13563 emphasizes the

[[Page 58617]]

importance of quantifying both costs and benefits, of reducing costs, 
of harmonizing rules, and of promoting flexibility. This proposed rule 
has been designated a ``significant regulatory action,'' although not 
economically significant, under section 3(f) of Executive Order 12866.
    2. This rule does not contain policies with federalism implications 
as that term is defined in Executive Order 13132.
    3. Notwithstanding any other provision of law, no person is 
required to respond to, nor may a person be made 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 
regulation involves collections previously approved by OMB under 
control number 0694-0088, Simplified Network Application Processing 
System, which includes, among other things, license applications and 
carries a burden estimate of 42.5 minutes for a manual or electronic 
submission.
    BIS expects the total burden hours associated with this collection 
to increase if this proposed rule is adopted in final form, because the 
proposal limits availability of License Exception STA. Transactions no 
longer eligible for this license exception will require licenses. 
Trying to estimate the number of licenses is difficult because exports 
of intangible technology are not reported as Electronic Export 
Information, limiting the broad availability of transaction data. This 
proposal with request for comments should help get input from the 
public to inform this issue. The request for comments, including 
supporting relevant data, on this rule is intended to inform further 
review of the proposed amendments, if they were to be issued in final 
form.
    Any comments regarding the collection of information associated 
with this rule, including suggestions for reducing the burden, may be 
sent to Jasmeet K. Seehra, OMB, online at https://www.reginfo.gov/public/do/PRAMain.

List of Subjects

15 CFR Part 740

    Administrative practice and procedure, Exports, Reporting and 
recordkeeping requirements.

15 CFR Part 774

    Exports, Reporting and recordkeeping.

    For the reasons set forth in the preamble, 15 CFR chapter VII, 
subchapter C, is proposed to be amended as follows:

PART 740--[AMENDED]

0
1. The authority citation for 15 CFR part 740 continues to read as 
follows:

    Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 
U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR 
58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 
2001 Comp., p. 783.

0
2. Revise paragraph (b) of Sec.  740.20 to read as follows:


Sec.  740.20   License Exception Strategic Trade Authorization (STA).

* * * * *
    (b) Requirements and limitations--(1) Requirements for using 
License Exception STA. (i) All of the reasons for control that impose a 
license requirement under part 742 of the EAR on the export, reexport, 
or in country transfer must be addressed in at least one authorizing 
paragraph in paragraph (c) of this section.
    (ii) The party using License Exception STA must comply with all of 
the requirements in paragraph (d) of this section.
    (2) Limitations on use of License Exception STA. The prohibitions 
and limits of this paragraph (b)(2) apply notwithstanding the 
authorizations in paragraph (c) of this section.
    (i) License Exception STA may not be used in lieu of any license 
requirement imposed by part 744 or 746 of the EAR.
    (ii) License Exception STA may not be used for:
    (A) Any item controlled in ECCNs 0A501.a, .b, .c, .d, or .e; 0A503; 
0A981; 0A982; 0A983; 0E504; 0E982; or
    (B) Shotguns with barrel length less than 18 inches controlled in 
0A502.
    (iii) License Exception STA may not be used for any item that is 
controlled for reason of encryption items (EI), short supply (SS), 
surreptitious listening (SL), missile technology (MT), or chemical 
weapons (CW).
    (iv) License Exception STA may not be used for any item identified 
on the CCL as being subject to the exclusive export control 
jurisdiction of another agency, such as the Department of State, the 
Department of Energy, or the Nuclear Regulatory Commission.
    (v) License Exception STA may not be used for:
    (A) Any item controlled by ECCN 1C351.a, .b, .c, .d.11, .d.12 or 
.e; ECCNs 1C353; 1C354; or ECCN 1E351; or
    (B) ECCN 1E001 ``technology'' for the ``development'' or 
``production'' of items specified in ECCNs 1A002; 1C001; 1C007.c or .d; 
1C008.a.1; 1C009.b; 1C010.b, .c or .d; 1C351.a, .b, .c, .d.11, .d.12 or 
.e; 1C353; or 1C354.
    (vi) Toxins controlled by ECCN 1C351.d.1 through 1C351.d.10 and 
1C351.d.13 through 1C351.d.19 are authorized under License Exception 
STA to destinations indicated in Country Group A:5 (See Supplement No. 
1 to this part), subject to the following limits. For purposes of this 
paragraph (b)(2)(vi), all such toxins that are sent from one exporter, 
reexporter, or transferor to a single end-user, on the same day, 
constitute one shipment.
    (A) The maximum amount of any one toxin in any one shipment may not 
exceed 100 milligrams.
    (B) No exporter, reexporter, or transferor may send more than six 
shipments of any one toxin to any one end user in a single calendar 
year.
    (vii) Commerce Control List Category 7 limitation on use of License 
Exception STA. License Exception STA may not be used for ECCN 7E004 
``technology,'' except for ``technology'' controlled under ECCN 
7E004.a.7.
    (viii) Commerce Control List Category 9 limitations on use of 
License Exception STA.
    (A) License Exception STA may not be used for ECCN 9D001 or 9D002 
``software'' that is specially designed or modified for the 
``development'' or ``production'' of:
    (1) Components of engines controlled by ECCN 9A001 if such 
components incorporate any of the ``technologies'' controlled by ECCN 
9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.i 
(other than technology for fan or power turbines), 9E003.h; or
    (2) Equipment controlled by ECCN 9B001.
    (B) License Exception STA may not be used for ECCN 9D001 
``software'' that is specially designed or modified for the 
``development'' of ``technology'' controlled by ECCN 9E003.a.1, 
9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.i (other 
than technology for fan or power turbines) or ECCN 9E003.h. License 
Exception STA may not be used for ECCN 9D001 ``software'' that is 
specially designed or modified for the ``development'' of 
``technology'' covered by 9E003.a.8 to any of the destinations listed 
in Country Group A:6.
    (C) License Exception STA may not be used for ECCN 9D004.f or 
9D004.g ``software'' to Country Group A:5 or A:6, and may not be used 
for ECCN 9D004.a or 9D004.c ``software'' to any of the destinations 
listed in Country Group A:6 (See Supplement No. 1 to part 740 of the 
EAR).

[[Page 58618]]

    (D) License Exception STA may not be used for 9E001 ``technology'' 
to any of the destinations listed in Country Group A:6. In addition, 
License Exception STA may not be used to Country Group A:5 or A:6 for 
9E001 ``technology'' according to the General Technology Note for the 
``development'' of ECCN 9A001.b engines or components of engines 
controlled by ECCN 9A001.b if such components incorporate:
    (1) Any of the ``technologies'' controlled by ECCN 9E003.a.1, 
9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.i (other 
than technology for fan or power turbines) or 9E003.h; or
    (2) Any of the ECCN 9D001 or 9D002 software in paragraph 
(b)(2)(viii)(A) or (B) of this section.
    (E) License Exception STA may not be used for 9E002 ``technology'' 
to any of the destinations in Country Group A:6. In addition, License 
Exception STA may not be used for Country Group A:5 or A:6 for 9E002 
``technology'' according to the General Technology Note for the 
``production'' of components of engines controlled by 9A001.b if such 
components incorporate any of the ``technologies'' controlled by 
9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.i 
(other than technology for fan or power turbines), or 9E003.h.
    (F) License Exception STA may not be used for ``technology'' 
covered by 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 
9E003.c, 9E003.i (other than technology for fan or power turbines), or 
9E003.h. License Exception STA may not be used for ``technology'' 
covered by 9E003.a.8 to any of the destinations listed in Country Group 
A:6.
    (ix) License Exception STA may not be used for ``technology'' 
according to the General Technology Note for 2E003.f when used for the 
application of inorganic overlay coatings on gas turbine engine 
combustors, or turbine blades, vanes or ``tip shrouds.''
    (x) License Exception STA may not be used for items controlled by 
ECCNs 6A002; 6D002 (software ``specially designed'' for the ``use'' of 
commodities controlled under 6A002.b); 6D003.c; 6D991 (software 
``specially designed'' for the ``development,'' ``production,'' or 
``use'' of commodities controlled under 6A002 or 6A003); 6E001 
(``technology'' for the ``development'' of commodities controlled under 
ECCNs 6A002 or 6A003); or 6E002 ``technology'' (for the ``production'' 
of commodities controlled under ECCNs 6A002 or 6A003).
    (xi) License Exception STA may not be used for any commodity 
controlled by ECCN 3A001.b.2 or .b.3 (except those that are being 
exported or reexported for use in civil telecommunications 
applications), or any ``technology'' controlled by 3E001 for the 
``production'' or ``development'' of commodities controlled by 
3A001.b.2 or .b.3.
    (3) Limitations on the use of STA that are specific to ``600 
series'' items. (i) License Exception STA may not be used for any ``600 
series'' items identified in the relevant ECCN as not being eligible 
for STA.
    (ii) License Exception STA may be used to export, reexport, and 
transfer (in-country) ``600 series'' items to persons in Country Group 
A:5, whether non-governmental or governmental, and, for natural 
persons, if they are nationals of a country listed in Country Group A:5 
(See Supplement No. 1 to part 740 of the EAR) or the United States, and 
if:
    (A) The ultimate end user for such items is the armed forces, 
police, paramilitary, law enforcement, customs, correctional, fire, or 
a search and rescue agency of a government of one of the countries 
listed in Country Group A:5, or the United States Government;
    (B) For the ``development,'' ``production,'' operation, 
installation, maintenance, repair, overhaul, or refurbishing of an item 
in one of the countries listed in Country Group A:5 or the United 
States that will be for one, or more, of the following purposes:
    (1) Ultimately to be used by any such government agencies in one of 
the countries listed in Country Group A:5 or the United States 
Government; or
    (2) Sent to a person in the United States and not for subsequent 
export under Sec.  740.9(b)(1) (License Exception TMP for items moving 
in transit through the United States); or
    (C) The United States Government has otherwise authorized the 
ultimate end use, the license or other authorization is in effect, and 
the consignee verifies in writing that such authorization exists and 
has provided the license or other approval identifier to the exporter, 
reexporter or transferor (as applicable).
    (iii) License Exception STA may not be used to export, reexport, or 
transfer (in-country) end items described in ECCN 0A606.a, ECCN 
8A609.a, ECCN 8A620.a or .b, or ECCN 9A610.a until after BIS has 
approved their export under STA under the procedures set out in 
paragraph (g) of this section.
    (iv) License Exception STA may not be used to export, reexport, or 
transfer (in-country) ``600 series'' items if they are ``600 Series 
Major Defense Equipment'' and the value of such items in the contract 
requiring their export exceeds $25,000,000.
    Note 1 to paragraphs (b)(2) and (3): Any export, reexport, or 
transfer (in-country) originally authorized under License Exception STA 
must stay within the scope of the original authorization. For example, 
for ``600 series'' items authorized under License Exception STA, such 
items must be provided to an eligible ultimate end user, such as a 
Country Group A:5 military, to stay in compliance with the original 
authorization. This requirement for the ``600 series'' is referred to 
as `completing the chain,' meaning regardless of how many times the 
``600 series'' item is transferred (in-country) or whether the ``600 
series'' item is incorporated into higher level assemblies or other 
items, the ``600 series'' item must ultimately be provided to an 
eligible ultimate end user, or be otherwise authorized under the EAR. 
This applies regardless of whether the ``600 series'' item has been 
incorporated into a foreign-made item that may no longer be ``subject 
to the EAR.'' Because the other items eligible for authorization under 
License Exception STA (9x515 and other non-600 series ECCNs) do not 
include the ``600 series'' requirements specific to the ultimate end 
user, this `completing the chain' concept does not apply to 9x515 and 
other non-600 series ECCNs authorized under License Exception STA. 
However, the original export, reexport, or transfer (in-country) made 
under License Exception STA for 9x515 and other non-600 series ECCNs 
still must comply with the original authorization--meaning the terms 
and conditions of License Exception STA.
* * * * *

PART 774--[AMENDED]

0
3. The authority citation for 15 CFR part 774 continues to read as 
follows:

    Authority:  50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50 
U.S.C. 1701 et seq.; 10 U.S.C. 8720; 10 U.S.C. 8730(e); 22 U.S.C. 
287c, 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15 
U.S.C. 1824; 50 U.S.C. 4305; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210; 
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 
FR 44025, 3 CFR, 2001 Comp., p. 783.

0
4. In Supplement No. 1 to part 774, Category 1, Export Control 
Classification Number (ECCN) 1E001 is revised to read as follows:

SUPPLEMENT NO. 1 TO PART 774--THE COMMERCE CONTROL LIST

* * * * *
1E001 ``Technology'' according to the General Technology Note for 
the

[[Page 58619]]

``development'' or ``production'' of items controlled by 1A002, 
1A003, 1A004, 1A005, 1A006.b, 1A007, 1A008 1A101, 1A231, 1B (except 
1B608, 1B613 or 1B999), or 1C (except 1C355, 1C608, 1C980 to 1C984, 
1C988, 1C990, 1C991, 1C995 to 1C999).

License Requirements

Reason for Control: NS, MT, NP, CB, RS, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to ``technology'' for items      NS Column 1.
 controlled by 1A002, 1A003, 1A005,
 1A006.b, 1A007, 1B001 to 1B003, 1C001 to
 1C011.
NS applies to ``technology'' for items      NS Column 2.
 controlled by 1A004.
MT applies to ``technology'' for items      MT Column 1.
 controlled by 1A101, 1B001, 1B101, 1B102,
 1B115 to 1B119, 1C001, 1C007, 1C011,
 1C101, 1C102, 1C107, 1C111, 1C116, 1C117,
 or 1C118 for MT reasons.
NP applies to ``technology'' for items      NP Column 1.
 controlled by 1A002, 1A007, 1A231, 1B001,
 1B101, 1B201, 1B225, 1B226, 1B228 to
 1B234, 1C002, 1C010, 1C111, 1C116, 1C202,
 1C210, 1C216, 1C225 to 1C237, or 1C239 to
 1C241 for NP reasons.
CB applies to ``technology'' for items      CB Column 1.
 controlled by 1C351, 1C353, or 1C354.
CB applies to ``technology'' for materials  CB Column 2.
 controlled by 1C350 and for chemical
 detection systems and dedicated detectors
 therefor, in 1A004.c, that also have the
 technical characteristics described in
 2B351.a.
RS applies to technology for equipment      RS Column 2.
 controlled in 1A004.d.
AT applies to entire entry................  AT Column 1.
 

Reporting Requirements

    See Sec.  743.1 of the EAR for reporting requirements for 
exports under License Exceptions, and Validated End-User 
authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

TSR: Yes, except for the following:

    (1) Items controlled for MT reasons; or
    (2) Exports and reexports of ``technology'' for the 
``development'' or production'' of the following:
    (a) Items controlled by 1A002, 1C001, 1C007.c, 1C008.a.1, 
1C009.b, 1C010.b, c, or d
    (b) [Reserved]

Special Conditions for STA

STA: See Sec.  740.20(b)(2)(v) of License Exception STA for 
limitations on availability of STA for items in this entry.

List of Items Controlled

Related Controls (1) Also see ECCNs 1E101, 1E201, and 1E202. (2) See 
ECCN 1E608 for ``technology'' for items classified under ECCN 1B608 
or 1C608 (note that ECCN 1E001 controls ``development'' and 
``production'' ``technology'' for chlorine trifluoride controlled by 
ECCN 1C111.a.3.f--see ECCN 1E101 for controls on ``use'' 
``technology'' for chlorine trifluoride). (3) See ECCN 1E002.g for 
control libraries (parametric technical databases) ``specially 
designed'' or modified to enable equipment to perform the functions 
of equipment controlled under ECCN 1A004.c (Nuclear, biological and 
chemical (NBC) detection systems) or ECCN 1A004.d (Equipment for 
detecting or identifying explosives residues). (4) ``Technology'' 
for lithium isotope separation (see related ECCN 1B233) and 
``technology'' for items described in ECCN 1C012 are subject to the 
export licensing authority of the Department of Energy (see 10 CFR 
part 810). (5) ``Technology'' for items described in ECCN 1A102 is 
``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items:

    The list of items controlled is contained in the ECCN heading.

0
5. In Supplement No. 1 to part 774, Category 2, ECCN 2E003 is revised 
to read as follows:

2E003 Other ``technology'', as follows (see List of Items 
Controlled).

License Requirements

Reason for Control: NS, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1.
AT applies to entire entry................  AT Column 1.
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

TSR: Yes, except 2E003.b, .e and .f

Special Conditions for STA

STA: See Sec.  740.20(b)(2)(ix) of License Exception STA for 
limitations on availability of STA for items in this entry.

List of Items Controlled

Related Controls: See 2E001, 2E002, and 2E101 for ``development'' 
and ``use'' technology for equipment that are designed or modified 
for densification of carbon-carbon composites, structural composite 
rocket nozzles and reentry vehicle nose tips.
Related Definitions: N/A
Items:

    a. [Reserved]
    b. ``Technology'' for metal-working manufacturing processes, as 
follows:
    b.1. ``Technology'' for the design of tools, dies or fixtures 
``specially designed'' for any of the following processes:
    b.1.a. ``Superplastic forming'';
    b.1.b. ``Diffusion bonding''; or
    b.1.c. ``Direct-acting hydraulic pressing'';
    b.2. Technical data consisting of process methods or parameters 
as listed below used to control:
    b.2.a. ``Superplastic forming'' of aluminum alloys, titanium 
alloys or ``superalloys'':
    b.2.a.1. Surface preparation;
    b.2.a.2. Strain rate;
    b.2.a.3. Temperature;
    b.2.a.4. Pressure;
    b.2.b. ``Diffusion bonding'' of ``superalloys'' or titanium 
alloys:
    b.2.b.1. Surface preparation;
    b.2.b.2. Temperature;
    b.2.b.3. Pressure;
    b.2.c. `Direct-acting hydraulic pressing' of aluminum alloys or 
titanium alloys:
    b.2.c.1. Pressure;
    b.2.c.2. Cycle time;
    b.2.d. `Hot isostatic densification' of titanium alloys, 
aluminum alloys or ``superalloys'':
    b.2.d.1. Temperature;
    b.2.d.2. Pressure;
    b.2.d.3. Cycle time;
    Technical Notes: 1. `Direct-acting hydraulic pressing' is a 
deformation process which uses a fluid-filled flexible bladder in 
direct contact with the workpiece.
    2. `Hot isostatic densification' is a process of pressurizing a 
casting at temperatures exceeding 375 K (102 [deg]C) in a closed 
cavity through various media (gas, liquid, solid particles, etc.) to 
create equal force in all directions to reduce or eliminate internal 
voids in the casting.
    c. ``Technology'' for the ``development'' or ``production'' of 
hydraulic stretch-forming machines and dies therefor, for the 
manufacture of airframe structures;
    d. [Reserved]
    e. ``Technology'' for the ``development'' of integration 
``software'' for incorporation of

[[Page 58620]]

expert systems for advanced decision support of shop floor 
operations into ``numerical control'' units;
    f. ``Technology'' for the application of inorganic overlay 
coatings or inorganic surface modification coatings (specified in 
column 3 of the following table) to non-electronic substrates 
(specified in column 2 of the following table), by processes 
specified in column 1 of the following table and defined in the 
Technical Note.
    N.B.: This table should be read to control the technology of a 
particular `Coating Process' only when the resultant coating in 
column 3 is in a paragraph directly across from the relevant 
`Substrate' under column 2. For example, Chemical Vapor Deposition 
(CVD) `coating process' control the ``technology'' for a particular 
application of `silicides' to `Carbon-carbon, Ceramic and Metal 
``matrix'' ``composites'' substrates, but are not controlled for the 
application of `silicides' to `Cemented tungsten carbide (16), 
Silicon carbide (18)' substrates. In the second case, the resultant 
coating is not listed in the paragraph under column 3 directly 
across from the paragraph under column 2 listing `Cemented tungsten 
carbide (16), Silicon carbide (18)'.

     Category 2E--Materials Processing Table; Deposition Techniques
------------------------------------------------------------------------
  1. Coating process (1) \1\       2. Substrate     3. Resultant coating
------------------------------------------------------------------------
A. Chemical Vapor Deposition    ``Superalloys''..  Aluminides for
 (CVD).                                             internal passages.
                                Ceramics (19) and  Silicides, Carbides,
                                 Low-expansion      Dielectric layers
                                 glasses (14).      (15), Diamond,
                                                    Diamond-like carbon
                                                    (17).
                                Carbon-carbon,     Silicides, Carbides,
                                 Ceramic, and       Refractory metals,
                                 Metal ``matrix''   Mixtures thereof
                                 ``composites``.    (4), Dielectric
                                                    layers (15),
                                                    Aluminides, Alloyed
                                                    aluminides (2),
                                                    Boron nitride.
                                Cemented           Carbides, Tungsten,
                                 tungsten,          Mixtures thereof
                                 carbide (16),      (4), Dielectric
                                 Silicon carbide    layers (15).
                                 (18).
                                Molybdenum and     Dielectric layers
                                 Molybdenum         (15).
                                 alloys.
                                Beryllium and      Dielectric layers
                                 Beryllium alloys.  (15), Diamond,
                                                    Diamond-like carbon
                                                    (17).
                                Sensor window      Dielectric layers
                                 materials (9).     (15), Diamond,
                                                    Diamond-like carbon
                                                    (17).
B. Thermal-Evaporation,
 Physical Vapor.
    1. Physical Vapor           ``Superalloys''..  Alloyed silicides,
     Deposition (PVD):                              Alloyed aluminides
     Deposition (TE-PVD)                            (2), MCrAlX (5),
     Electron-Beam, (EB-PVD).                       Modified zirconia
                                                    (12), Silicides,
                                                    Aluminides, Mixtures
                                                    thereof (4).
                                Ceramics (19) and  Dielectric layers
                                 Low-expansion      (15).
                                 glasses (14).
                                Corrosion          MCrAlX (5), Modified
                                 resistant steel    zirconia (12),
                                 (7).               Mixtures thereof
                                                    (4).
                                Carbon-carbon,     Silicides, Carbides,
                                 Ceramic and        Refractory metals,
                                 Metal ``matrix''   Mixtures thereof
                                 ``composites''.    (4), Dielectric
                                                    layers (15), Boron
                                                    nitride.
                                Cemented tungsten  Carbides, Tungsten,
                                 carbide (16),      Mixtures thereof
                                 Silicon carbide    (4), Dielectric
                                 (18).              layers (15).
                                Molybdenum and     Dielectric layers
                                 Molybdenum         (15).
                                 alloys.
                                Beryllium and      Dielectric layers
                                 Beryllium alloys.  (15), Borides,
                                                    Beryllium.
                                Sensor window      Dielectric layers
                                 materials (9).     (15).
                                Titanium alloys    Borides, Nitrides.
                                 (13).
    2. Ion assisted resistive   Ceramics (19) and  Dielectric layers
     heating Physical Vapor      Low-expansion      (15), Diamond-like
     Deposition (PVD) (Ion       glasses (14).      carbon (17).
     Plating).
                                Carbon-carbon,     Dielectric layers
                                 Ceramic and        (15).
                                 Metal ``matrix''
                                 ``composites''.
                                Cemented tungsten  Dielectric layers
                                 carbide (16),      (15).
                                 Silicon carbide.
                                Molybdenum and     Dielectric layers
                                 Molybdenum         (15).
                                 alloys.
                                Beryllium and      Dielectric layers
                                 Beryllium alloys.  (15).
                                Sensor window      Dielectric Layers
                                 materials (9).     (15), Diamond-like
                                                    carbon (17).
    3. Physical Vapor           Ceramics (19) and  Silicides, Dielectric
     Deposition (PVD):           Low-expansion      layers (15), Diamond-
     ``Laser'' Vaporization.     glasses (14).      like carbon (17).
                                Carbon-carbon,     Dielectric layers
                                 Ceramic and        (15).
                                 Metal ``matrix''
                                 ``composites''.
                                Cemented tungsten  Dielectric Layers
                                 carbide (16),      (15).
                                 Silicon carbide.
                                Molybdenum and     Dielectric layers
                                 Molybdenum         (15).
                                 alloys.
                                Beryllium and      Dielectric layers
                                 Beryllium alloys.  (15).
                                Sensor window      Dielectric layers
                                 materials (9).     (15), Diamond-like
                                                    carbon.
    4. Physical Vapor           ``Superalloys''..  Alloyed silicides,
     Deposition (PVD):                              Alloyed Aluminides
     Cathodic Arc Discharge.                        (2), MCrA1X (5).
                                Polymers (11) and  Borides, Carbides,
                                 Organic            Nitrides, Diamond-
                                 ``matrix''         like carbon (17).
                                 ``composites''.
C. Pack cementation (see A      Carbon-carbon,     Silicides, Carbides,
 above for out-of-pack           Ceramic and        Mixtures thereof
 cementation) (10).              Metal ``matrix''   (4).
                                 ``composites''.
                                Titanium alloys    Silicides,
                                 (13).              Aluminides, Alloyed
                                                    aluminides (2).
                                Refractory metals  Silicides, Oxides.
                                 and alloys (8).

[[Page 58621]]

 
D. Plasma spraying............  ``Superalloys''..  MCrAlX (5), Modified
                                                    zirconia (12),
                                                    Mixtures thereof
                                                    (4), Abradable
                                                    Nickel-Graphite,
                                                    Abradable materials
                                                    containing, Ni-Cr-Al
                                                    Abradable Al-Si-
                                                    Polyester Alloyed
                                                    aluminides (2).
                                Aluminum alloys    MCrAlX (5), Modified
                                 (6).               zirconia (12),
                                                    Silicides, Mixtures
                                                    thereof (4).
                                Refractory metals  Aluminides,
                                 and alloys (8),    Silicides, MCrAlX
                                 Carbides,          (5), Modified
                                 Corrosion          zirconia (12),
                                 resistant steel    Mixtures thereof
                                 (7).               (4).
                                Titanium alloys    Carbides, Aluminides,
                                 (13).              Silicides, Alloyed
                                                    aluminides (2).
                                Abradable Nickel   Abradable materials
                                 Graphite.          containing, Ni-Cr-
                                                    Al, Abradable Al-Si-
                                                    Polyester.
E. Slurry Deposition..........  Refractory metals  Fused silicides,
                                 and alloys (8).    Fused aluminides,
                                                    except for
                                                    resistance heating
                                                    elements.
                                Carbon-carbon,     Silicides, Carbides,
                                 Ceramic and        Mixtures thereof
                                 Metal ``matrix''   (4).
                                 ``composites''.
F. Sputter Deposition.........  ``Superalloys''..  Alloyed silicides,
                                                    Alloyed aluminides
                                                    (2), Noble metal
                                                    modified aluminides
                                                    (3), MCrAlX (5),
                                                    Modified zirconia
                                                    (12), Platinum,
                                                    Mixtures thereof
                                                    (4).
                                Ceramics and Low-  Silicides, Platinum,
                                 expansion          Mixtures thereof
                                 glasses (14).      (4), Dielectric
                                                    layers (15), Diamond-
                                                    like carbon (17).
                                Titanium alloys    Borides, Nitrides,
                                 (13).              Oxides, Silicides,
                                                    Aluminides, Alloyed
                                                    aluminides (2),
                                                    Carbides.
                                Carbon-carbon,     Silicides, Carbides,
                                 Ceramic and        Refractory metals,
                                 Metal ``matrix''   Mixtures thereof
                                 ``Composites''.    (4), Dielectric
                                                    layers (15), Boron
                                                    nitride.
                                Cemented tungsten  Carbides, Tungsten,
                                 carbide (16),      Mixtures thereof
                                 Silicon carbide    (4), Dielectric
                                 (18).              layers (15), Boron
                                                    nitride.
                                Molybdenum and     Dielectric layers
                                 Molybdenum         (15).
                                 alloys.
                                Beryllium and      Borides, Dielectric
                                 Beryllium alloys.  layers (15),
                                                    Beryllium.
                                Sensor window      Dielectric layers
                                 materials (9).     (15), Diamond-like
                                                    carbon (17).
                                Refractory metals  Aluminides,
                                 and alloys (8).    Silicides, Oxides,
                                                    Carbides.
G. Ion Implantation...........  High temperature   Additions of
                                 bearing steels.    Chromium, Tantalum,
                                                    or Niobium
                                                    (Columbium).
                                Titanium alloys    Borides, Nitrides.
                                 (13).
                                Beryllium and      Borides.
                                 Beryllium alloys.
                                Cemented tungsten  Carbides, Nitrides.
                                 carbide (16).
------------------------------------------------------------------------
\1\ The numbers in parenthesis refer to the Notes following this Table.

    Notes to Table on Deposition Techniques:
    1. The term ``coating process'' includes coating repair and 
refurbishing as well as original coating.
    2. The term ``alloyed aluminide coating'' includes single or 
multiple-step coatings in which an element or elements are deposited 
prior to or during application of the aluminide coating, even if 
these elements are deposited by another coating process. It does 
not, however, include the multiple use of single-step pack 
cementation processes to achieve alloyed aluminides.
    3. The term ``noble metal modified aluminide'' coating includes 
multiple-step coatings in which the noble metal or noble metals are 
laid down by some other coating process prior to application of the 
aluminide coating.
    4. The term ``mixtures thereof'' includes infiltrated material, 
graded compositions, co-deposits and multilayer deposits and are 
obtained by one or more of the coating processes specified in the 
Table.
    5. MCrAlX refers to a coating alloy where M equals cobalt, iron, 
nickel or combinations thereof and X equals hafnium, yttrium, 
silicon, tantalum in any amount or other intentional additions over 
0.01% by weight in various proportions and combinations, except:
    a. CoCrAlY coatings which contain less than 22% by weight of 
chromium, less than 7% by weight of aluminum and less than 2% by 
weight of yttrium;
    b. CoCrAlY coatings which contain 22 to 24% by weight of 
chromium, 10 to 12% by weight of aluminum and 0.5 to 0.7% by weight 
of yttrium; or
    c. NiCrAlY coatings which contain 21 to 23% by weight of 
chromium, 10 to 12% by weight of aluminum and 0.9 to 1.1% by weight 
of yttrium.
    6. The term ``aluminum alloys'' refers to alloys having an 
ultimate tensile strength of 190 MPa or more measured at 293 K (20 
[deg]C).
    7. The term ``corrosion resistant steel'' refers to AISI 
(American Iron and Steel Institute) 300 series or equivalent 
national standard steels.
    8. ``Refractory metals and alloys'' include the following metals 
and their alloys: Niobium (columbium), molybdenum, tungsten and 
tantalum.
    9. ``Sensor window materials'', as follows: Alumina, silicon, 
germanium, zinc sulfide, zinc selenide, gallium arsenide, diamond, 
gallium phosphide, sapphire and the following metal halides: Sensor 
window materials of more than 40 mm diameter for zirconium fluoride 
and hafnium fluoride.
    10. Category 2 does not include ``technology'' for single-step 
pack cementation of solid airfoils.
    11. ``Polymers'', as follows: Polyimide, polyester, polysulfide, 
polycarbonates and polyurethanes.
    12. ``Modified zirconia'' refers to additions of other metal 
oxides, (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) 
to zirconia in order to stabilize certain crystallographic phases 
and phase compositions. Thermal barrier coatings made of zirconia, 
modified with calcia or magnesia by mixing or fusion, are not 
controlled.
    13. ``Titanium alloys'' refers only to aerospace alloys having 
an ultimate tensile strength of 900 MPa or more measured at 293 K 
(20 [deg]C).
    14. ``Low-expansion glasses'' refers to glasses which have a 
coefficient of thermal expansion of 1 x 10-7 K-1 or less measured at 
293 K (20 [deg]C).
    15. ``Dielectric layers'' are coatings constructed of multi-
layers of insulator materials in which the interference properties 
of a design composed of materials of various refractive indices are 
used to reflect, transmit or absorb various wavelength bands. 
Dielectric layers refers to more than four dielectric layers or 
dielectric/metal ``composite'' layers.
    16. ``Cemented tungsten carbide'' does not include cutting and 
forming tool materials consisting of tungsten carbide/(cobalt, 
nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-
chromium and chromium carbide/nickel.
    17. ``Technology'' for depositing diamond-like carbon on any of 
the following is not controlled: Magnetic disk drives and heads, 
equipment for the manufacture of disposables, valves for faucets, 
acoustic diaphragms for speakers, engine parts for automobiles, 
cutting tools, punching-pressing

[[Page 58622]]

dies, office automation equipment, microphones, medical devices or 
molds, for casting or molding of plastics, manufactured from alloys 
containing less than 5% beryllium.
    18. ``Silicon carbide'' does not include cutting and forming 
tool materials.
    19. Ceramic substrates, as used in this entry, does not include 
ceramic materials containing 5% by weight, or greater, clay or 
cement content, either as separate constituents or in combination.
    Technical Note to Table on Deposition Techniques: Processes 
specified in Column 1 of the Table are defined as follows:
    a. Chemical Vapor Deposition (CVD) is an overlay coating or 
surface modification coating process wherein a metal, alloy, 
``composite'', dielectric or ceramic is deposited upon a heated 
substrate. Gaseous reactants are decomposed or combined in the 
vicinity of a substrate resulting in the deposition of the desired 
elemental, alloy or compound material on the substrate. Energy for 
this decomposition or chemical reaction process may be provided by 
the heat of the substrate, a glow discharge plasma, or ``laser'' 
irradiation.
    Note 1: CVD includes the following processes: Directed gas flow 
out-of-pack deposition, pulsating CVD, controlled nucleation thermal 
decomposition (CNTD), plasma enhanced or plasma assisted CVD 
processes.
    Note 2: Pack denotes a substrate immersed in a powder mixture.
    Note 3: The gaseous reactants used in the out-of-pack process 
are produced using the same basic reactions and parameters as the 
pack cementation process, except that the substrate to be coated is 
not in contact with the powder mixture.
    b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an 
overlay coating process conducted in a vacuum with a pressure less 
than 0.1 Pa wherein a source of thermal energy is used to vaporize 
the coating material. This process results in the condensation, or 
deposition, of the evaporated species onto appropriately positioned 
substrates. The addition of gases to the vacuum chamber during the 
coating process to synthesize compound coatings is an ordinary 
modification of the process. The use of ion or electron beams, or 
plasma, to activate or assist the coating's deposition is also a 
common modification in this technique. The use of monitors to 
provide in-process measurement of optical characteristics and 
thickness of coatings can be a feature of these processes. Specific 
TE-PVD processes are as follows:
    1. Electron Beam PVD uses an electron beam to heat and evaporate 
the material which forms the coating;
    2. Ion Assisted Resistive Heating PVD employs electrically 
resistive heating sources in combination with impinging ion beam(s) 
to produce a controlled and uniform flux of evaporated coating 
species;
    3. ``Laser'' Vaporization uses either pulsed or continuous wave 
``laser'' beams to vaporize the material which forms the coating;
    4. Cathodic Arc Deposition employs a consumable cathode of the 
material which forms the coating and has an arc discharge 
established on the surface by a momentary contact of a ground 
trigger. Controlled motion of arcing erodes the cathode surface 
creating a highly ionized plasma. The anode can be either a cone 
attached to the periphery of the cathode, through an insulator, or 
the chamber. Substrate biasing is used for non line-of-sight 
deposition.
    Note: This definition does not include random cathodic arc 
deposition with non-biased substrates.
    5. Ion Plating is a special modification of a general TE-PVD 
process in which a plasma or an ion source is used to ionize the 
species to be deposited, and a negative bias is applied to the 
substrate in order to facilitate the extraction of the species from 
the plasma. The introduction of reactive species, evaporation of 
solids within the process chamber, and the use of monitors to 
provide in-process measurement of optical characteristics and 
thicknesses of coatings are ordinary modifications of the process.
    c. Pack Cementation is a surface modification coating or overlay 
coating process wherein a substrate is immersed in a powder mixture 
(a pack), that consists of:
    1. The metallic powders that are to be deposited (usually 
aluminum, chromium, silicon or combinations thereof);
    2. An activator (normally a halide salt); and
    3. An inert powder, most frequently alumina.
    Note: The substrate and powder mixture is contained within a 
retort which is heated to between 1,030 K (757 [deg]C) to 1,375 K 
(1,102 [deg]C) for sufficient time to deposit the coating.
    d. Plasma Spraying is an overlay coating process wherein a gun 
(spray torch) which produces and controls a plasma accepts powder or 
wire coating materials, melts them and propels them towards a 
substrate, whereon an integrally bonded coating is formed. Plasma 
spraying constitutes either low pressure plasma spraying or high 
velocity plasma spraying.
    Note 1: Low pressure means less than ambient atmospheric 
pressure.
    Note 2: High velocity refers to nozzle-exit gas velocity 
exceeding 750 m/s calculated at 293 K (20 [deg] C) at 0.1 MPa.
    e. Slurry Deposition is a surface modification coating or 
overlay coating process wherein a metallic or ceramic powder with an 
organic binder is suspended in a liquid and is applied to a 
substrate by either spraying, dipping or painting, subsequent air or 
oven drying, and heat treatment to obtain the desired coating.
    f. Sputter Deposition is an overlay coating process based on a 
momentum transfer phenomenon, wherein positive ions are accelerated 
by an electric field towards the surface of a target (coating 
material). The kinetic energy of the impacting ions is sufficient to 
cause target surface atoms to be released and deposited on an 
appropriately positioned substrate.
    Note 1: The Table refers only to triode, magnetron or reactive 
sputter deposition which is used to increase adhesion of the coating 
and rate of deposition and to radio frequency (RF) augmented sputter 
deposition used to permit vaporization of non-metallic coating 
materials.
    Note 2: Low-energy ion beams (less than 5 keV) can be used to 
activate the deposition.
    g. Ion Implantation is a surface modification coating process in 
which the element to be alloyed is ionized, accelerated through a 
potential gradient and implanted into the surface region of the 
substrate. This includes processes in which ion implantation is 
performed simultaneously with electron beam physical vapor 
deposition or sputter deposition.
    Accompanying Technical Information to Table on Deposition 
Techniques:
    1. Technical information for pretreatments of the substrates 
listed in the Table, as follows:
    a. Chemical stripping and cleaning bath cycle parameters, as 
follows:
    1. Bath composition;
    a. For the removal of old or defective coatings corrosion 
product or foreign deposits;
    b. For preparation of virgin substrates;
    2. Time in bath;
    3. Temperature of bath;
    4. Number and sequences of wash cycles;
    b. Visual and macroscopic criteria for acceptance of the cleaned 
part;
    c. Heat treatment cycle parameters, as follows:
    1. Atmosphere parameters, as follows:
    a. Composition of the atmosphere;
    b. Pressure of the atmosphere;
    2. Temperature for heat treatment;
    3. Time of heat treatment;
    d. Substrate surface preparation parameters, as follows:
    1. Grit blasting parameters, as follows:
    a. Grit composition;
    b. Grit size and shape;
    c. Grit velocity;
    2. Time and sequence of cleaning cycle after grit blast;
    3. Surface finish parameters;
    4. Application of binders to promote adhesion;
    e. Masking technique parameters, as follows:
    1. Material of mask;
    2. Location of mask;
    2. Technical information for in situ quality assurance 
techniques for evaluation of the coating processes listed in the 
Table, as follows:
    a. Atmosphere parameters, as follows:
    1. Composition of the atmosphere;
    2. Pressure of the atmosphere;
    b. Time parameters;
    c. Temperature parameters;
    d. Thickness parameters;
    e. Index of refraction parameters;
    f. Control of composition;
    3. Technical information for post deposition treatments of the 
coated substrates listed in the Table, as follows:
    a. Shot peening parameters, as follows:
    1. Shot composition;
    2. Shot size;
    3. Shot velocity;
    b. Post shot peening cleaning parameters;
    c. Heat treatment cycle parameters, as follows:
    1. Atmosphere parameters, as follows:
    a. Composition of the atmosphere;
    b. Pressure of the atmosphere;
    2. Time-temperature cycles;

[[Page 58623]]

    d. Post heat treatment visual and macroscopic criteria for 
acceptance of the coated substrates;
    4. Technical information for quality assurance techniques for 
the evaluation of the coated substrates listed in the Table, as 
follows:
    a. Statistical sampling criteria;
    b. Microscopic criteria for:
    1. Magnification;
    2. Coating thickness, uniformity;
    3. Coating integrity;
    4. Coating composition;
    5. Coating and substrates bonding;
    6. Microstructural uniformity.
    c. Criteria for optical properties assessment (measured as a 
function of wavelength):
    1. Reflectance;
    2. Transmission;
    3. Absorption;
    4. Scatter;
    5. Technical information and parameters related to specific 
coating and surface modification processes listed in the Table, as 
follows:
    a. For Chemical Vapor Deposition (CVD):
    1. Coating source composition and formulation;
    2. Carrier gas composition;
    3. Substrate temperature;
    4. Time-temperature-pressure cycles;
    5. Gas control and part manipulation;
    b. For Thermal Evaporation-Physical Vapor Deposition (PVD):
    1. Ingot or coating material source composition;
    2. Substrate temperature;
    3. Reactive gas composition;
    4. Ingot feed rate or material vaporization rate;
    5. Time-temperature-pressure cycles;
    6. Beam and part manipulation;
    7. ``Laser'' parameters, as follows:
    a. Wave length;
    b. Power density;
    c. Pulse length;
    d. Repetition ratio;
    e. Source;
    c. For Pack Cementation:
    1. Pack composition and formulation;
    2. Carrier gas composition;
    3. Time-temperature-pressure cycles;
    d. For Plasma Spraying:
    1. Powder composition, preparation and size distributions;
    2. Feed gas composition and parameters;
    3. Substrate temperature;
    4. Gun power parameters;
    5. Spray distance;
    6. Spray angle;
    7. Cover gas composition, pressure and flow rates;
    8. Gun control and part manipulation;
    e. For Sputter Deposition:
    1. Target composition and fabrication;
    2. Geometrical positioning of part and target;
    3. Reactive gas composition;
    4. Electrical bias;
    5. Time-temperature-pressure cycles;
    6. Triode power;
    7. Part manipulation;
    f. For Ion Implantation:
    1. Beam control and part manipulation;
    2. Ion source design details;
    3. Control techniques for ion beam and deposition rate 
parameters;
    4. Time-temperature-pressure cycles.
    g. For Ion Plating:
    1. Beam control and part manipulation;
    2. Ion source design details;
    3. Control techniques for ion beam and deposition rate 
parameters;
    4. Time-temperature-pressure cycles;
    5. Coating material feed rate and vaporization rate;
    6. Substrate temperature;
    7. Substrate bias parameters.

0
6. In Supplement No. 1 to part 774, Category 9, ECCN 9D001 is revised 
to read as follows:

9D001 ``Software'', not specified in 9D003 or 9D004, ``specially 
designed'' or modified for the ``development'' of equipment or 
``technology'' controlled by ECCN 9A001 to 9A004, 9A012, 9A101 
(except for items in 9A101.b that are ``subject to the ITAR,'' see 
22 CFR part 121), 9A106.d. or .e, 9A110, or 9A120, 9B (except for 
ECCNs 9B604, 9B610, 9B619, 9B990, and 9B991), or ECCN 9E003.

License Requirements

Reason for Control: NS, MT, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to ``software'' for equipment    NS Column 1.
 controlled by 9A001 to 9A004, 9A012,
 9B001 to 9B010, and technology controlled
 by 9E003.
MT applies to ``software'' for equipment    MT Column 1.
 controlled by 9B116 for MT reasons.
AT applies to entire entry................  AT Column 1.
 

Reporting Requirements

    See Sec.  743.1 of the EAR for reporting requirements for 
exports under License Exceptions, and Validated End-User 
authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

TSR: N/A.

Special Conditions for STA

STA: See Sec.  740.20(b)(2)(viii) of License Exception STA for 
limitations on availability of STA for Commerce Control List 
Category 9 items in this entry.

List of Items Controlled

Related Controls ``Software'' that is ``required'' for the 
``development'' of items specified in ECCNs 9A005 to 9A011, 9A101.b 
(except for items that are subject to the EAR), 9A103 to 9A105, 
9A106.a, .b, and .c, 9A107 to 9A109, 9A110 (for items that are 
``specially designed'' for use in missile systems and subsystems), 
and 9A111 to 9A119 is ``subject to the ITAR.''
Related Definitions: N/A
Items:

    The list of items controlled is contained in the ECCN heading.

0
7. In Supplement No. 1 to part 774, Category 9, ECCN 9D002 is revised 
to read as follows:

9D002 ``Software'', not specified in 9D003 or 9D004, ``specially 
designed'' or modified for the ``production'' of equipment 
controlled by ECCN 9A001 to 9A004, 9A012, 9A101 (except for items in 
9A101.b that are ``subject to the ITAR,'' see 22 CFR part 121), 
9A106.d or .e, 9A110, or 9A120, 9B (except for ECCNs 9B604, 9B610, 
9B619, 9B990, and 9B991).

License Requirements

Reason for Control: NS, MT, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to ``software'' for equipment    NS Column 1.
 controlled by 9A001 to 9A004, 9A012,
 9B001 to 9B010.
MT applies to ``software'' for equipment    MT Column 1.
 controlled by 9B116 for MT reasons.
AT applies to entire entry................  AT Column 1.
 

Reporting Requirements

    See Sec.  743.1 of the EAR for reporting requirements for 
exports under License Exceptions, and Validated End-User 
authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

TSR: N/A.

Special Conditions for STA

STA: See Sec.  740.20(b)(2)(viii) of License Exception STA for 
limitations on availability of STA for Commerce Control List 
Category 9 items in this entry.

List of Items Controlled

Related Controls: ``Software'' that is ``required'' for the 
``production'' of items specified in ECCNs 9A005 to 9A011, 9A101.b 
(except for items that are subject to the EAR), 9A103 to 9A105, 
9A106.a, .b, and .c, 9A107 to 9A109, 9A110 (for items that are 
``specially designed'' for use in missile systems and subsystems), 
and 9A111 to 9A119 is ``subject to the ITAR.''
Related Definitions: N/A
Items:

    The list of items controlled is contained in the ECCN heading.

0
8. In Supplement No. 1 to part 774, Category 9, ECCN 9D004 is revised 
to read as follows:

9D004 Other ``software'' as follows (see List of Items Controlled).

[[Page 58624]]

License Requirements

Reason for Control: NS, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1.
AT applies to entire entry................  AT Column 1.
 

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

TSR: N/A.

Special Conditions for STA

STA: See Sec.  740.20(b)(2)(viii) of License Exception STA for 
limitations on availability of STA for Commerce Control List 
Category 9 items in this entry.

List of Items Controlled

Related Controls: See also 9D104.
Related Definitions: N/A
Items:

    a. 2D or 3D viscous ``software'', validated with wind tunnel or 
flight test data required for detailed engine flow modelling;
    b. ``Software'' for testing aero gas turbine engines, 
assemblies, ``parts'' or ``components'', having all of the 
following:
    b.1. ``Specially designed'' for testing any of the following:
    b.1.a. Aero gas turbine engines, assemblies or components, 
incorporating ``technology'' specified by 9E003.a, 9E003.h or 
9E003.i; or
    b.1.b. Multi-stage compressors providing either bypass or core 
flow, specially designed for aero gas turbine engines incorporating 
``technology'' specified by 9E003.a or 9E003.h; and
    b.2. ``Specially designed'' for all of the following:
    b.2.a. Acquisition and processing of data, in real time; and
    b.2.b. Feedback control of the test article or test conditions 
(e.g., temperature, pressure, flow rate) while the test is in 
progress;
    Note: 9D004.b does not specify software for operation of the 
test facility or operator safety (e.g., overspeed shutdown, fire 
detection and suppression), or production, repair or maintenance 
acceptance-testing limited to determining if the item has been 
properly assembled or repaired.
    c. ``Software'' ``specially designed'' to control directional 
solidification or single crystal material growth in equipment 
specified by 9B001.a or 9B001.c;
    d. [RESERVED]
    e. ``Software'' ``specially designed'' or modified for the 
operation of items specified by 9A012;
    f. ``Software'' ``specially designed'' to design the internal 
cooling passages of aero gas turbine engine blades, vanes and ``tip 
shrouds'';
    g. ``Software'' having all of the following:
    g.1. ``Specially designed'' to predict aero thermal, 
aeromechanical and combustion conditions in aero gas turbine 
engines; and
    g.2. Theoretical modeling predictions of the aero thermal, 
aeromechanical and combustion conditions, which have been validated 
with actual turbine engine (experimental or production) performance 
data.

0
9. In supplement No. 1 to part 774, Category 9, ECCN 9E001 is revised 
to read as follows:

9E001 ``Technology'' according to the General Technology Note for 
the ``development'' of equipment or ``software'', controlled by 
9A001.b, 9A004, 9A012, 9B (except for ECCNs 9B604, 9B610, 9B619, 
9B990 and 9B991), or ECCN 9D001 to 9D004, 9D101, or 9D104.

License Requirements

Reason for Control: NS, MT, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to ``technology'' for items      NS Column 1.
 controlled by 9A001.b, 9A004, 9A012,
 9B001 to 9B010, 9D001 to 9D004 for NS
 reasons.
MT applies to ``technology'' for items      MT Column 1.
 controlled by 9A012, 9B001, 9B002, 9B003,
 9B004, 9B005, 9B007, 9B104, 9B105, 9B106,
 9B115, 9B116, 9B117, 9D001, 9D002, 9D003,
 or 9D004 for MT reasons.
AT applies to entire entry................  AT Column 1.
 

Reporting Requirements

    See Sec.  743.1 of the EAR for reporting requirements for 
exports under License Exceptions, and Validated End-User 
authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

TSR: N/A

Special Conditions for STA

STA: See Sec.  740.20(b)(2)(viii) of License Exception STA for 
limitations on availability of STA for Commerce Control List 
Category 9 items in this entry.

List of Items Controlled

Related Controls: (1) See also 9E101 and 1E002.f (for controls on 
``technology'' for the repair of controlled structures, laminates or 
materials). (2) ``Technology'' required for the ``development'' of 
equipment described in ECCNs 9A005 to 9A011 or ``software'' 
described in ECCNs 9D103 and 9D105 is ``subject to the ITAR.''
Related Definitions: N/A
Items:

    The list of items controlled is contained in the ECCN heading.

0
10. In supplement No. 1 to part 774, Category 9, ECCN 9E002 is revised 
to read as follows:

9E002 ``Technology'' according to the General Technology Note for 
the ``production'' of ``equipment'' controlled by ECCN 9A001.b, 
9A004 or 9B (except for ECCNs 9B117, 9B604, 9B610, 9B619, 9B990, and 
9B991).

License Requirements

Reason for Control: NS, MT, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1.
MT applies to ``technology'' for equipment  MT Column 1.
 controlled by 9B001, 9B002, 9B003, 9B004,
 9B005, 9B007, 9B104, 9B105, 9B106, 9B115
 or 9B116 for MT reasons.
AT applies to entire entry................  AT Column 1.
 

Reporting Requirements

    See Sec.  743.1 of the EAR for reporting requirements for 
exports under License Exceptions, and Validated End-User 
authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

TSR: N/A

Special Conditions for STA

STA: See Sec.  740.20(b)(2)(viii) of License Exception STA for 
limitations on availability of STA for Commerce Control List 
Category 9 items in this entry.

List of Items Controlled

Related Controls: (1) See also 9E102. (2) See also 1E002.f for 
``technology'' for the repair of controlled structures, laminates or 
materials. (3) ``Technology'' that is required for the 
``production'' of equipment described in ECCNs 9A005 to 9A011 is 
``subject to the ITAR.''
Related Definitions: N/A
Items:

    The list of items controlled is contained in the ECCN heading.

0
11. In supplement No. 1 to part 774, Category 9, ECCN 9E003 is revised 
to read as follows:

9E003 Other ``technology'' as follows (see List of Items 
Controlled).

License Requirements

Reason for Control: NS, SI, AT

 
                                            Country chart (See Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry................  NS Column 1.

[[Page 58625]]

 
SI applies to 9E003.a.1 through a.8,.h,     See Sec.   742.14 of the EAR
 .i, and .k.                                 for additional information.
AT applies to entire entry................  AT Column 1.
 

Reporting Requirements

    See Sec.  743.1 of the EAR for reporting requirements for 
exports under License Exceptions, and Validated End-User 
authorizations.

List Based License Exceptions (See Part 740 for a Description of All 
License Exceptions)

TSR: N/A

Special Conditions for STA

STA: See Sec.  740.20(b)(2)(viii) of License Exception STA for 
limitations on availability of STA for Commerce Control List 
Category 9 items in this entry.

List of Items Controlled

Related Controls: (1) Hot section ``technology'' specifically 
designed, modified, or equipped for military uses or purposes, or 
developed principally with U.S. Department of Defense funding, is 
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) 
``Technology'' is subject to the EAR when actually applied to a 
commercial ``aircraft'' engine program. Exporters may seek to 
establish commercial application either on a case-by-case basis 
through submission of documentation demonstrating application to a 
commercial program in requesting an export license from the 
Department Commerce in respect to a specific export, or in the case 
of use for broad categories of ``aircraft,'' engines, ``parts'' or 
``components,'' a commodity jurisdiction determination from the 
Department of State.
Related Definitions: N/A
Items:

    a. ``Technology'' ``required'' for the ``development'' or 
``production'' of any of the following gas turbine engine ``parts,'' 
``components'' or systems:
    a.1. Gas turbine blades, vanes or ``tip shrouds'', made from 
directionally solidified (DS) or single crystal (SC) alloys and 
having (in the 001 Miller Index Direction) a stress-rupture life 
exceeding 400 hours at 1,273 K (1,000 [deg]C) at a stress of 200 
MPa, based on the average property values;
    Technical Note: For the purposes of 9E003.a.1, stress-rupture 
life testing is typically conducted on a test specimen.
    a.2. Combustors having any of the following:
    a.2.a. `Thermally decoupled liners' designed to operate at 
`combustor exit temperature' exceeding 1,883K (1,610 [deg]C);
    a.2.b. Non-metallic liners;
    a.2.c. Non-metallic shells; or
    a.2.d. Liners designed to operate at `combustor exit 
temperature' exceeding 1,883 K (1,610 [deg]C) and having holes that 
meet the parameters specified by 9E003.c;
    Note: The ``required'' ``technology'' for holes in 9E003.a.2 is 
limited to the derivation of the geometry and location of the holes.
    Technical Notes:
    1. `Thermally decoupled liners' are liners that feature at least 
a support structure designed to carry mechanical loads and a 
combustion facing structure designed to protect the support 
structure from the heat of combustion. The combustion facing 
structure and support structure have independent thermal 
displacement (mechanical displacement due to thermal load) with 
respect to one another, i.e., they are thermally decoupled.
    2. `Combustor exit temperature' is the bulk average gas path 
total (stagnation) temperature between the combustor exit plane and 
the leading edge of the turbine inlet guide vane (i.e., measured at 
engine station T40 as defined in SAE ARP 755A) when the engine is 
running in a ``steady state mode'' of operation at the certificated 
maximum continuous operating temperature.
    N.B.: See 9E003.c for ``technology'' ``required'' for 
manufacturing cooling holes.
    a.3. ``Parts'' or ``components,'' that are any of the following:
    a.3.a. Manufactured from organic ``composite'' materials 
designed to operate above 588 K (315 [deg]C);
    a.3.b. Manufactured from any of the following:
    a.3.b.1. Metal ``matrix'' ``composites'' reinforced by any of 
the following:
    a.3.b.1.a. Materials controlled by 1C007;
    a.3.b.1.b. ``Fibrous or filamentary materials'' specified by 
1C010; or
    a.3.b.1.c. Aluminides specified by 1C002.a; or
    a.3.b.2. Ceramic ``matrix'' ``composites'' specified by 1C007; 
or
    a.3.c. Stators, vanes, blades, tip seals (shrouds), rotating 
blings, rotating blisks or `splitter ducts', that are all of the 
following:
    a.3.c.1. Not specified in 9E003.a.3.a;
    a.3.c.2. Designed for compressors or fans; and
    a.3.c.3. Manufactured from material controlled by 1C010.e with 
resins controlled by 1C008;
    Technical Note: A `splitter duct' performs the initial 
separation of the air-mass flow between the bypass and core sections 
of the engine.
    a.4. Uncooled turbine blades, vanes or ``tip shrouds'' designed 
to operate at a `gas path temperature' of 1,373 K (1,100 [deg]C) or 
more;
    a.5. Cooled turbine blades, vanes or ``tip-shrouds'', other than 
those described in 9E003.a.1, designed to operate at a `gas path 
temperature' of 1,693 K (1,420 [deg]C) or more;
    Technical Note: `Gas path temperature' is the bulk average gas 
path total (stagnation) temperature at the leading edge plane of the 
turbine component when the engine is running in a ``steady state 
mode'' of operation at the certificated or specified maximum 
continuous operating temperature.
    a.6. Airfoil-to-disk blade combinations using solid state 
joining;
    a.7. [Reserved];
    a.8. `Damage tolerant' gas turbine engine rotor ``parts'' or 
``components'' using powder metallurgy materials controlled by 
1C002.b; or
    Technical Note: `Damage tolerant' ``parts'' and ``components'' 
are designed using methodology and substantiation to predict and 
limit crack growth.
    a.9. [Reserved]
    N.B.: For ``FADEC systems'', see 9E003.h.
    a.10. [Reserved]
    N.B.: For adjustable flow path geometry, see 9E003.i.
    a.11. `Fan blades' having all of the following:
    a.11.a. 20% or more of the total volume being one or more closed 
cavities containing vacuum or gas only; and
    a.11.b. One or more closed cavities having a volume of 5 cm\3\ 
or larger;
    Technical Note: For the purposes of 9E003.a.11, a `fan blade' is 
the aerofoil portion of the rotating stage or stages, which provide 
both compressor and bypass flow in a gas turbine engine.
    b. ``Technology'' ``required'' for the ``development'' or 
``production'' of any of the following:
    b.1. Wind tunnel aero-models equipped with non-intrusive sensors 
capable of transmitting data from the sensors to the data 
acquisition system; or
    b.2. ``Composite'' propeller blades or prop-fans, capable of 
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
    c. ``Technology'' ``required'' for manufacturing cooling holes, 
in gas turbine engine ``parts'' or ``components'' incorporating any 
of the ``technologies'' specified by 9E003.a.1, 9E003.a.2 or 
9E003.a.5, and having any of the following:
    c.1. Having all of the following:
    c.1.a. Minimum `cross-sectional area' less than 0.45 mm\2\;
    c.1.b. `Hole shape ratio' greater than 4.52; and
    c.1.c. `Incidence angle' equal to or less than 25[deg]; or
    c.2. Having all of the following:
    c.2.a. Minimum `cross-sectional area' less than 0.12 mm\2\;
    c.2.b. `Hole shape ratio' greater than 5.65; and
    c.2.c. `Incidence angle' more than 25[deg];
    Note: 9E003.c does not apply to ``technology'' for manufacturing 
constant radius cylindrical holes that are straight through and 
enter and exit on the external surfaces of the component.
    Technical Notes:
    1. For the purposes of 9E003.c, the `cross-sectional area' is 
the area of the hole in the plane perpendicular to the hole axis.
    2. For the purposes of 9E003.c, `hole shape ratio' is the 
nominal length of the axis of the hole divided by the square root of 
its minimum `cross-sectional area'.
    3. For the purposes of 9E003.c, `incidence angle' is the acute 
angle measured between the plane tangential to the airfoil surface 
and the hole axis at the point where the hole axis enters the 
airfoil surface.
    4. Techniques for manufacturing holes in 9E003.c include 
``laser'' beam machining, water jet machining, Electro-Chemical 
Machining (ECM).
    d. ``Technology'' ``required'' for the ``development'' or 
``production'' of helicopter power transfer systems or tilt rotor or 
tilt wing ``aircraft'' power transfer systems;

[[Page 58626]]

    e. ``Technology'' for the ``development'' or ``production'' of 
reciprocating diesel engine ground vehicle propulsion systems having 
all of the following:
    e.1. `Box volume' of 1.2 m\3\ or less;
    e.2. An overall power output of more than 750 kW based on 80/
1269/EEC, ISO 2534 or national equivalents; and
    e.3. Power density of more than 700 kW/m\3\ of `box volume';
    Technical Note: `Box volume' is the product of three 
perpendicular dimensions measured in the following way:
    Length: The length of the crankshaft from front flange to 
flywheel face;
    Width: The widest of any of the following:
    a. The outside dimension from valve cover to valve cover;
    b. The dimensions of the outside edges of the cylinder heads; or
    c. The diameter of the flywheel housing;
    Height: The largest of any of the following:
    a. The dimension of the crankshaft center-line to the top plane 
of the valve cover (or cylinder head) plus twice the stroke; or
    b. The diameter of the flywheel housing.
    f. ``Technology'' ``required'' for the ``production'' of 
``specially designed'' ``parts'' or ``components'' for high output 
diesel engines, as follows:
    f.1. ``Technology'' ``required'' for the ``production'' of 
engine systems having all of the following ``parts'' and 
``components'' employing ceramics materials controlled by 1C007:
    f.1.a Cylinder liners;
    f.1.b. Pistons;
    f.1.c. Cylinder heads; and
    f.1.d. One or more other ``part'' or ``component'' (including 
exhaust ports, turbochargers, valve guides, valve assemblies or 
insulated fuel injectors);
    f.2. ``Technology'' ``required'' for the ``production'' of 
turbocharger systems with single-stage compressors and having all of 
the following:
    f.2.a. Operating at pressure ratios of 4:1 or higher;
    f.2.b. Mass flow in the range from 30 to 130 kg per minute; and
    f.2.c. Variable flow area capability within the compressor or 
turbine sections;
    f.3. ``Technology'' ``required'' for the ``production'' of fuel 
injection systems with a ``specially designed'' multifuel (e.g., 
diesel or jet fuel) capability covering a viscosity range from 
diesel fuel (2.5 cSt at 310.8 K (37.8 [deg]C)) down to gasoline fuel 
(0.5 cSt at 310.8 K (37.8 [deg]C)) and having all of the following:
    f.3.a. Injection amount in excess of 230 mm\3\ per injection per 
cylinder; and
    f.3.b. Electronic control features ``specially designed'' for 
switching governor characteristics automatically depending on fuel 
property to provide the same torque characteristics by using the 
appropriate sensors;
    g. ``Technology'' ``required'' for the development'' or 
``production'' of `high output diesel engines' for solid, gas phase 
or liquid film (or combinations thereof) cylinder wall lubrication 
and permitting operation to temperatures exceeding 723 K (450 
[deg]C), measured on the cylinder wall at the top limit of travel of 
the top ring of the piston;
    Technical Note: `High output diesel engines' are diesel engines 
with a specified brake mean effective pressure of 1.8 MPa or more at 
a speed of 2,300 rpm, provided the rated speed is 2,300 rpm or more.
    h. ``Technology'' for gas turbine engine ``FADEC systems'' as 
follows:
    h.1. ``Development'' ``technology'' for deriving the functional 
requirements for the ``parts'' or ``components'' necessary for the 
``FADEC system'' to regulate engine thrust or shaft power (e.g., 
feedback sensor time constants and accuracies, fuel valve slew 
rate);
    h.2. ``Development'' or ``production'' ``technology'' for 
control and diagnostic ``parts'' or ``components'' unique to the 
``FADEC system'' and used to regulate engine thrust or shaft power;
    h.3. ``Development'' ``technology'' for the control law 
algorithms, including ``source code'', unique to the ``FADEC 
system'' and used to regulate engine thrust or shaft power;
    Note: 9E003.h does not apply to technical data related to 
engine-``aircraft'' integration required by civil aviation 
authorities of one or more Wassenaar Arrangement Participating 
States (see Supplement No. 1 to part 743 of the EAR) to be published 
for general airline use (e.g., installation manuals, operating 
instructions, instructions for continued airworthiness) or interface 
functions (e.g., input/output processing, airframe thrust or shaft 
power demand).
    i. ``Technology'' for adjustable flow path systems designed to 
maintain engine stability for gas generator turbines, fan or power 
turbines, or propelling nozzles, as follows:
    i.1. ``Development'' ``technology'' for deriving the functional 
requirements for the ``parts'' or ``components'' that maintain 
engine stability;
    i.2. ``Development'' or ``production'' ``technology'' for 
``parts'' or ``components'' unique to the adjustable flow path 
system and that maintain engine stability;
    i.3. ``Development'' ``technology'' for the control law 
algorithms, including ``source code'', unique to the adjustable flow 
path system and that maintain engine stability;
    Note: 9E003.i does not apply to ``technology'' for any of the 
following:
    a. Inlet guide vanes;
    b. Variable pitch fans or prop-fans;
    c. Variable compressor vanes;
    d. Compressor bleed valves; or
    e. Adjustable flow path geometry for reverse thrust.
    j. ``Technology'' ``required'' for the ``development'' of wing-
folding systems designed for fixed-wing ``aircraft'' powered by gas 
turbine engines.
    N.B.: For ``technology'' ``required'' for the ``development'' of 
wing-folding systems designed for fixed-wing ``aircraft'' specified 
in USML Category VIII(a), see USML Category VIII(i).
    k. ``Technology'' not otherwise controlled in 9E003.a.1 through 
a.8, a.10, and .h and used in the ``development'', ``production'', 
or overhaul of hot section ``parts'' or ``components'' of civil 
derivatives of military engines controlled on the USML.

Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 2021-21954 Filed 10-21-21; 8:45 am]
BILLING CODE 3510-33-P


