[Federal Register Volume 85, Number 177 (Friday, September 11, 2020)]
[Rules and Regulations]
[Pages 56294-56335]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-16286]



[[Page 56293]]

Vol. 85

Friday,

No. 177

September 11, 2020

Part II





Department of Commerce





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Bureau of Industry and Security





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15 CFR Parts 743, 772, and 774





Wassenaar Arrangement 2018 Plenary Decisions Implementation; and Other 
Revisions Related to National Security Controls; Final Rule

  Federal Register / Vol. 85, No. 177 / Friday, September 11, 2020 / 
Rules and Regulations  

[[Page 56294]]


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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 743, 772, and 774

[Docket No. 200717-0194]
RIN 0694-AH77


Wassenaar Arrangement 2018 Plenary Decisions Implementation; and 
Other Revisions Related to National Security Controls

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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SUMMARY: The Bureau of Industry and Security (BIS) maintains, as part 
of its Export Administration Regulations (EAR), the Commerce Control 
List (CCL), which identifies certain items subject to Department of 
Commerce jurisdiction. This final rule revises the CCL and other 
corresponding parts of the EAR, to implement changes made to the 
Wassenaar Arrangement List of Dual-Use Goods and Technologies and 
Munitions List (WA Lists) maintained by the governments participating 
in the Wassenaar Arrangement on Export Controls for Conventional Arms 
and Dual-Use Goods and Technologies (Wassenaar Arrangement, or WA) at 
the December 2018 WA Plenary meeting. The Wassenaar Arrangement 
advocates implementation of effective export controls on strategic 
items with the objective of improving regional and international 
security and stability. BIS published a final rule on May 23, 2019, 
implementing certain new controls on emerging technologies, as decided 
at the 2018 Plenary meeting. This rule harmonizes the CCL with the 
remaining decisions reached at the 2018 Plenary meeting by revising 
Export Control Classification Numbers (ECCNs) controlled for national 
security reasons in each category of the CCL, except Category 4. This 
rule also makes other associated changes to the EAR, as well as 
adjustments to license exception eligibility for national security-
controlled items and revisions to reporting requirements.

DATES: This rule is effective September 11, 2020.

FOR FURTHER INFORMATION CONTACT: For general questions, contact Sharron 
Cook, Office of Exporter Services, Bureau of Industry and Security, 
U.S. Department of Commerce at 202-482-2440 or by email: 
Sharron.Cook@bis.doc.gov.
    For technical questions contact:
    Categories 0, 1 & 2: Joseph Giunta at 202-482-3127 or 
Joseph.Giunta@bis.doc.gov.
    Category 3: Brian Baker at 202-482-5534 or Brian.Baker@bis.doc.gov.
    Categories 4 & 5: Aaron Amundson or Anita Zinzuvadia 202-482-0707 
or Aaron.Amundson@bis.doc.gov or 6e2f00071a0f40340700141b180f0a070f2e0c071d400a010d40090118.
    Category 6 (optics): John Varesi 202-482-1114 or 
John.Varesi@bis.doc.gov.
    Category 6 (lasers and radar): Michael Rithmire 202-482-6105 or 
Michael.Rithmire@bis.doc.gov.
    Category 6 (sensors and cameras): John Varesi 202-482-1114 or 
John.Varesi@bis.doc.gov.
    Categories 7 & 9: Michael Rithmire 202-482-6105 or Michael Tu 202-
482-6462 or Michael.Rithmire@bis.doc.gov or b6fbdfd5ded7d3da98e2c3f6d4dfc598d2d9d598d1d9c0.
    Category 8: Michael Tu 202-6462 or Michael.Tu@bis.doc.gov.
    Category 9x515 (Satellites): Michael Tu 202-482-6462 or 
Michael.Tu@bis.doc.gov.
    Category ``600 Series'' (Munitions Items): Jeffrey Leitz at 202-
482-7417 or Jeffrey.Leitz@bis.doc.gov.

SUPPLEMENTARY INFORMATION:

Background

    The Wassenaar Arrangement on Export Controls for Conventional Arms 
and Dual-Use Goods and Technologies (Wassenaar or WA) (https://www.wassenaar.org) is a group of 42 like-minded Participating States 
committed to promoting transparency and greater responsibility in 
transfers of conventional arms and dual-use goods and technologies, 
thus preventing destabilizing accumulations of those items. As a 
Participating State, the United States has committed to controlling for 
export all items on the WA Lists. The lists were first established in 
1996 and have been revised annually thereafter. Proposals for changes 
to the WA Lists that achieve consensus are approved by Participating 
States at annual plenary meetings. Participating States are charged 
with implementing the list changes as soon as possible after approval. 
The United States' implementation of changes to the WA Lists ensures 
U.S. companies have a level playing field with competitors in other WA 
Participating States.
    By a final rule published on May 23, 2019 (84 FR 23886), BIS 
implemented changes decided at the December 2018 Plenary Meeting 
concerning five emerging technologies essential to the national 
security of the United States, specifically, discrete microwave 
transistors, continuity of operation software, post-quantum 
cryptography, underwater transducers designed to operate as 
hydrophones, and air-launch platforms. The changes in this rule, which 
reflect the remaining changes to the WA Lists that were approved at the 
December 2018 Plenary meeting, update the corresponding items listed in 
the EAR and reflect the most recent changes in technologies and 
conditions. Unless explicitly discussed below, the revisions made by 
this rule will not impact the number of license applications submitted 
to BIS.

Revisions to ECCNs in the Commerce Control List To Implement WA 2018 
Plenary Decisions

    Following are lists of the ECCNs in the CCL that are revised or 
added by this rule in order to implement the WA 2018 Plenary decisions. 
Each change is further described below, by category.
    Revisions to (28) ECCNs: 0A617, 1C001, 2A001, 2B003, 2B006, 3A001, 
3A002, 3B001, 3E003, 5E001, 5A002, 5D002, 5E002, 5E992, 6A003, 6A005, 
7A002, 7A003, 7A005, 7D003, 7D005, 8A001, 8A002, 8B001, 9A010, 9A610, 
9B001, and 9E003.
    License Exception Revisions to ECCNs: 1C004: GBS; 8A001: LVS, STA; 
8D001: TSR, STA; 8E001: TSR, STA.
    New ECCNs: 6B002 (masks and reticles for optical sensors specified 
in 6A002.a.1.b or 6A002.a.1.d).
    Conforming Changes to Eight ECCNs: 0A606, 1A008, 3A991, 6A002, 
6E001, 6E002, 8D001, 8E001.

Category 0--Nuclear Materials, Facilities, and Equipment [and 
Miscellaneous Items]

0A606 Ground Vehicles and Related Commodities

    WA decided to change the phrase ``other than those specified by . . 
.'' to ``not specified by'' as the more concise and consistent way, 
within the WA List, to indicate that items in an entry are controlled 
by that entry only if not controlled elsewhere. A similar phrase is 
used in 0A606.y.8 and is therefore changed for consistency (i.e., 
``other than those controlled by. . .'' is changed to ``not controlled 
by . . .'').

0A617 Miscellaneous ``Equipment,'' Materials, and Related Commodities

    For reasons explained above in the description of changes to ECCN 
0A606, the phrase ``other than those described in'' is changed to read 
``not described in'' in 0A617.c.

[[Page 56295]]

Category 1--Special Materials and Related Equipment, Chemicals, 
``Microorganisms'', and ``Toxins''

1A004 Protective and Detection Equipment and ``Components,'' not 
``Specially Designed'' for Military Use

    ECCN 1A004 is amended by adding License Exception GBS eligibility 
for 1A004.a, .b, and .c.2, because these items have a long history of 
approvals and are deemed not ``sensitive'' by the WA. In 2018, there 
were over 800 license applications with 796 approvals. There were two 
denials for 1A004.d that also would not have qualified under the 
License Exception GBS eligibility paragraph that is implemented by this 
rule. The addition of License Exception GBS eligibility for 1A004.a, 
.b, and .c.2 is estimated to alleviate the need for preparing and 
processing 200 license applications annually, thus alleviating the 
burden on reviewing agencies as well as private industry.

1A008 Charges, Devices and ``Components''

    For reasons explained in the description of changes to ECCN 0A606, 
the phrase ``other than those specified by . . .'' is revised to read 
``not specified by . . .'' in 1A008.d. This is changed for consistent 
treatment of this phrase throughout the CCL.

1C001 Materials ``Specially Designed'' for Absorbing Electromagnetic 
Radiation, or Intrinsically Conductive Polymers

    This rule amends ECCN 1C001 by adding paragraph e. (specified 
planar absorbers) to exclusion Note 1, which is located after the 
introductory Items paragraph a, as well as a Technical Note to define 
the term ``open-cell foams''.

ANNEX to Category 1, ``List of Explosives (See ECCNs 1A004 and 1A008)''

    In the List of Explosives that is in the Annex to Category 1, ``FOX 
7'' is corrected by adding a hyphen (``FOX-7'') in paragraph 6 in order 
to make it consistent with the ``FOX-12'' in item 46 of this Annex.

Category 2--Materials Processing

2A001 Anti-Friction Bearings and Bearing Systems

    The ISO citation reference in Note 2, located at the top of the 
Items paragraph, is being clarified by changing it from ``ISO 3290 as 
grade 5'' to read ``ISO 3290:2001 as grade G5'' in order to assist the 
public to find the correct standard by its citation and year of the 
standard to use for classification purposes. In Items paragraph .a 
(ball bearings and solid roller bearings), the phrase ``or Class 2'' is 
added to the ISO 492 tolerance class reference to clarify which 
tolerance class is required to satisfy 2A001.

2B003 ``Numerically Controlled'' Machine Tools

    The Heading is amended by deleting the words ``or manual'' and 
moving much of the text to the Items paragraph of the List of Items 
Controlled in order to more clearly state the control text. With this 
change, there will be three subparagraphs that list separate control 
parameters previously listed in the Heading.

2B006 Dimensional Inspection or Measuring Systems, Equipment, Position 
Feedback Units and ``Electronic Assemblies''

    Item paragraph b.1 is amended to replace ``a measuring range up to 
0.2mm'' with ``0 to 0.2 mm of the `measuring range' '' and adding 
Technical Note 2 to define `measuring range'. The new text will clarify 
that for purposes of paragraph b.1 ``measuring range'' means the 
difference between the minimum and maximum working distance of the 
probe, and that the measuring range always starts from 0mm. This 
revision does not change the scope of control for this entry and 
clarifies the intent of this control.

The Technical Note to the Table on Deposition Techniques in Category 2

    This rule corrects the punctuation of paragraph b.4 by replacing 
the comma with a semi-colon.

Category 3--Electronics

Product Group A. ``End Items'', ``Equipment'', ``Accessories'', 
``Attachments'', ``Parts'', ``Components'', and ``Systems''

    The N.B. at the beginning of Category 3, Product Group A, is 
amended by adding an ``or'' and replacing an ``or'' with ``to'' in 
order to harmonize the text with the WA List. In addition, Note 3 is 
added to alert the public to look in specified paragraphs of Category 3 
for the classification of wafers (finished or unfinished). Exporters 
should now understand by reading the note that these wafers are to be 
evaluated against the control metric, as if they were finished.

3A001 Electronic Items

    In the license exception section, under the License Exception GBS 
paragraph, this rule replaces the term ``vacuum electronic device 
amplifiers'' with ``vacuum electronic devices'' to reflect the correct 
name of the devices. This term is also added to part 772 ``Definitions 
of Terms Used in the EAR''.
    Note 1 under 3A001.a is removed, because the note has been expanded 
and placed as Note 3 at the beginning of Category 3, Product Group A. 
Note 2 under 3A001.a is now designated as Note 1.
    The Note under Item paragraph 3A001.a.2.c is amended by adding the 
word ``designed'', which narrows the decontrol note to apply only to 
integrated circuits of 3A001.a.2 that are designed for civil automobile 
or railway train applications.
    The parameters for digital-to-analog converters (DAC) in 
3A001.a.5.b are amended by revising 3A001.a.5.b.1 and 3A001.a.5.b.2 to 
fix the overlapping controls between the two subparagraphs. 
Specifically, ``but less than 12-bit'' is added to Item paragraph 
a.5.b.1, ``but not exceeding 3,500 MSPS'' is added to Item paragraph 
a.5.b.2, and a new subparagraph a.5.b.2.b is added to read ``An 
`adjusted update rate' exceeding 3,500 MSPS.''
    Technical Note 2, located below the introductory text of Item 
paragraph .b, is removed because the definition of ``vacuum electronic 
devices'' is moved to part 772 ``Definitions of Terms Used in the 
EAR''. As a result of this change, all of the single quotes around this 
term found in 3A001, 3A991.g, 3E003.g are replaced with double quotes 
to indicate it is a defined term located in part 772.

3A002 General Purpose ``Electronic Assemblies'', Modules and Equipment

    Item paragraph a.6.b is amended by replacing the phrase ``A 
processor that performs analysis of the radio frequency signal data 
while it is being recorded'' with ````Signal processing'' of the radio 
frequency signal data while it is being recorded;''. Including the 
defined term ``signal processing,'' the definition of which is found in 
Part 772, more clearly sets out details of the processing done to the 
data.
    Item paragraph 3A002.d.5 ``maximum frequency exceeding 90 GHz'' is 
re-designated as Item paragraph 3A002.d.6. New Item paragraph d.5 adds 
a control parameter for signal generators having the ability of 
frequency switching by means of a `Radio Frequency (RF) modulation 
bandwidth' of digital baseband signals within specified frequency 
ranges. Three subparagraphs are added (subparagraphs d.5.a through 
d.5.c) to specify bandwidth and frequency ranges. Also, a Technical 
Note is added to define `RF modulation bandwidth'. Signal generators 
meeting any of the parameters in 3A002.d.5 are subject to national 
security controls to

[[Page 56296]]

countries in NS column 2 of the Commerce Country Chart (see supplement 
no. 1 to part 738 of the EAR) and anti-terrorism controls to countries 
in AT column 1 of the Commerce Country Chart, as well as any end use or 
end user controls in part 744 of the EAR. As indicated in the license 
exception section of this ECCN, this paragraph is eligible for License 
Exception LVS ($5,000) if all the criteria for this license exception 
are met and none of the license exception restrictions in Sec.  740.2 
apply (see part 740 of the EAR). Transaction-based license exceptions 
may also be available (see part 740 of the EAR). Use of license 
exceptions and Validated End-user authorizations for this item may be 
subject to Wassenaar reporting requirements in Sec.  743.1 of the EAR.

3A991 Electronic Devices, and ``Components'' Not Controlled by 3A001

    The single quotes around the term ``vacuum electronic devices'' in 
3A991.g are replaced with double quotes to indicate the term is defined 
in part 772. See above explanation under ECCN 3A001.

3B001 Equipment for the Manufacturing of Semiconductor Devices or 
Materials

    Item paragraph 3B001.h ``multi-layer masks'' is amended by removing 
subparagraph h.1 (parameter of the substrate blank composition) and 
merging subparagraph h.2 with Item paragraph .h in order to focus the 
control solely on the lithography equipment wavelength.

3E003 Other ``Technology'' for the ``Development'' or ``Production'' of 
Specified Electronics

    The single quotes around the term ``vacuum electronic devices'' in 
3E003.g are replaced with double quotes to indicate the term is defined 
in part 772. See above explanation under ECCN 3A001.

Category 5--Part 1--``Telecommunications''

5E001 ``Technology''

    This final rule makes an editorial revision in paragraph d.4 by 
removing two unnecessary spaces, so that the text reads ``0.1 nW''.

Category 5--Part 2--``Information Security''

5A002 ``Information Security'' Systems, Equipment and ``Components''

    The Related Control Note 3 is amended by replacing the term 
``Global Navigation Satellite Systems (GNSS)'' with the EAR defined 
term ``satellite navigation system,'' which includes Global Navigation 
Satellite Systems (GNSS) and Regional Navigation Satellite Systems 
(RNSS), see part 772.
    Exclusion Note 2 of 5A002 is amended by adding a new paragraph j. 
that lists ``items specially designed for a `connected civil industry 
application'''. Paragraph j. also includes 2 Technical Notes that 
define `connected civil industry application' and `non-arbitrary data'.
    Paragraph 5A002.b is amended by replacing the existing text with 
``Being a `cryptographic activation token', i.e., ``information 
security'' systems, equipment and ``components,'' that are 
`cryptographic activation tokens' are controlled. A Technical Note is 
included to explain more about converting by means of ``cryptographic 
activation'' and enabling by means of ``cryptographic activation''.

5D002 ``Software''

    Paragraph 5D002.b is amended by replacing a large portion of the 
text with ``having the characteristics of a `cryptographic activation 
token' specified by 5A002.b'' to simplify the text and for consistency.

5E002 ``Technology''

    Paragraph 5E002.b is amended by replacing a large portion of the 
text with the phrase ``having the characteristics of a `cryptographic 
activation token' specified by 5A002.b'' to simplify the text and for 
consistency.

Category 6--Sensors and Lasers

6A002 Optical Sensors and Equipment, and ``Components'' Therefor

    The Related Controls paragraph is amended by adding a seventh Note 
to refer to new ECCN 6B002 for masks and reticles that are ``specially 
designed'' for optical sensors specified by 6A002.a.1.b or 6A002.a.1.d.

6A003 Cameras, Systems or Equipment, and ``Components'' Therefor

    In Note 3 to 6A003.b.4.b, located under 6A003.b.4.c, paragraph b.1 
is amended by revising the exclusion parameter for imaging cameras with 
minimum horizontal or vertical `Instantaneous-Field-of View (IFOV)' of 
``at least 10 mrad (milliradians)'' to ``at least 2 mrad 
(milliradians)''. This change is an update to the parameter to address 
increased civilian use of imaging cameras with IFOV of at least 2 mrad.

6A005 ``Lasers,'' ``Components'' and Optical Equipment

    The terms `single transverse mode' and `multiple transverse mode' 
are not defined in 6A005, but are used to distinguish between 
parameters for control. This rule adds Note 6 to 6A005 to define these 
terms using easily identifiable and measurable characteristics of 
lasers in order for the laser controls to be applied consistently. 
Therefore, single quotes are added around each of these terms 
throughout 6A005 to indicate these terms are defined within a Note in 
6A005.
    Paragraph 6A005.a.6.a is amended by adding a spectral bandwidth 
parameter for the control of single transverse mode non-tunable 
continuous wave lasers. This change is being made because the simplest 
way to characterize scalability of a laser is to specify the laser 
linewidth, which is essentially a measure of the spectral purity of the 
laser.
    Paragraph 6A005.a.6.b.1 is amended by raising the output power from 
500 W to 1000 W because the market for these single-mode lasers has 
matured substantially in recent years, resulting in increased demand 
for higher power and beam quality. Also, the lasers with lower power 
and beam quality have become more available in countries outside the WA 
membership.
    Exclusion Note 2 to 6A005.a.6.b is amended by removing and 
reserving paragraph a., which stated ``having to do with output power 
exceeding 500 W but not exceeding 1 kW and all of the following: Beam 
Parameter Product (BPP) exceeding 0.7 mmmrad.'' The 
associated Technical Note to paragraph a. is also removed. In addition, 
paragraph e. of the Note is amended by raising the upper limit of the 
output power range from 4 kW to 6 kW, in order to narrow the controls 
of solid state lasers to the performance of lasers that are available 
from outside the WA countries. Paragraphs f. and g. of the Note are 
removed and reserved because of technological advancement of multiple 
transverse mode industrial lasers.

6B002 Masks and Reticles, ``Specially Designed'' for Optical Sensors 
Specified by 6A002.a.1.b or 6A002.a.1.d

    Masks and reticles are process tools for electronics components 
from which the design can be inferred. Masks and reticles are already 
controlled for integrated circuits in Category 3, under ECCN 3B001.g, 
when they are designed for circuits specified in 3A001. 6B002 is added 
to the CCL to control masks and reticles for optical sensors specified 
in

[[Page 56297]]

6A002.a.1.b or 6A002.a.1.d because the inferred design of these masks 
and reticles would allow the reproduction and/or the retro-engineering 
of such circuits. ECCN 6B002 items require a license for national 
security reasons for all countries that have an ``X'' under NS Column 2 
and for anti-terrorism reasons for all countries that have an ``X'' 
under AT Column 1 on the Commerce Country Chart in supplement no. 1 to 
part 738. Adding masks and reticles to ECCN 6B002 will ensure they are 
controlled to these sensitive destinations.
    As indicated under the list-based license exception section of ECCN 
6B002, these items are eligible for license exceptions LVS ($5000), and 
GBS, so long as all the criteria of these license exceptions are met 
and none of the restrictions of Sec.  740.2 apply. Other license 
exceptions, e.g., RPL, GOV, and STA, may be available depending on the 
transaction details and eligibility criteria of the license exceptions 
in part 740.

6E001 and 6E002 ``Technology''

    The License Requirements tables of ECCN 6E001 and 6E002 have been 
amended to revise the national security rows in order to add in the new 
ECCN 6B002. A license is required for ``technology'' for the 
``development'' and ``production'' of masks and reticles controlled by 
6B002 for national security and anti-terrorism reasons for countries 
with an ``X'' in column NS Column 1 or in column AT Column 1 in the 
Commerce Country Chart in supplement no. 1 to part 738 of the EAR. For 
technology that has a license requirement, License Exception TSR is 
available if all the criteria for TSR are met and none of the 
restrictions of Sec.  740.2 apply. License Exception STA is available 
if none of the restrictions outlined in ECCN 6E001 or 6E002 apply, all 
the criteria of STA are met, and none of the restrictions of Sec.  
740.2 apply. Other license exceptions in part 740 may also be available 
depending on the details of the transaction.

Category 7--Navigation and Avionics

7A002 Gyros or Angular Rate Sensors

    ECCN 7A002 is being amended by removing the parenthetical phrase 
(see list of items controlled) in the Heading because the list of items 
controlled section of the ECCN contains a list of characteristics 
instead of a list of items.
    Paragraphs 7A002.a.1 and a.2 are amended by replacing ``A rate 
range'' with ``An angular rate range'' in order to more accurately 
describe the parameter that applies to the change rate of angle.

7A003 `Inertial Measurement Equipment or Systems'

    ECCN 7A003 is amended by removing the parenthetical phrase (see 
list of items controlled) in the Heading because the list of items 
controlled section of the ECCN contains a list of characteristics 
instead of a list of items.
    Paragraph a. of the Technical Note at the beginning of the Items 
paragraph is amended by replacing ``Global Navigation Satellite Systems 
(GNSS)'' with ``satellite navigation system'' in order to clarify that 
the control applies to all satellite navigation systems, not just those 
that have global coverage. The term ``satellite navigation system'' is 
added to Sec.  772.1, thus the term is in double quotes.

7A005 ``Satellite Navigation System'' Receiving Equipment

    ECCN 7A005 is amended by removing the parenthetical phrase (see 
list of items controlled) in the Heading, because the list of items 
controlled section of the ECCN contains a list of characteristics 
instead of a list of items.
    The Heading, Related Controls, and the Note below Item paragraph 
7A005.b are amended by replacing the term ``Global Navigation Satellite 
Systems (GNSS)'' with the newly defined term ``satellite navigation 
system'' for reasons stated in the explanation under ECCN 7A003 above.

7D003 Other ``Software''

    ECCN 7D003.b.2 is amended by replacing the term ``Global Navigation 
Satellite Systems (GNSS)'' with the newly defined term ``satellite 
navigation system'' for reasons stated above under ECCN 7A003.

7D005 ``Software'' ``Specially Designed'' to Decrypt ``Satellite 
Navigation System'' Ranging Signals Designed for Government Use

    The Heading is amended by replacing the term ``Global Navigation 
Satellite Systems (GNSS)'' with the newly defined term ``satellite 
navigation system'' for reasons stated above under ECCN 7A003.

Category 8--Marine

8A001 Submersible Vehicles and Surface Vessels

    Paragraph 8A001.c is amended to specify all unmanned submersible 
vehicles controlled under ECCN 8A001. Unmanned submersible vehicles are 
moved from 8A001.d to 8A001.c.1, and 8A001.d is reserved. Unmanned 
tethered submersible vehicles are moved from 8A001.c to 8A001.c.2. The 
license requirements for the unmanned tethered submersible vehicles is 
unchanged and is controlled for national security reasons for NS column 
2 countries. The License Exception LVS paragraph is amended by revising 
the reference to 8A001.d to read 8A001.c.1, and maintaining 
ineligibility for unmanned untethered submersible vehicles in 
8A001.c.1.

8A002 Marine Systems, Equipment, ``Parts'' and ``Components''

    Paragraph 8A002.d is amended by cascading the parameters into 
subparagraphs for clarity. There is no change in the scope of this 
control by this revision.

8B001 Water Tunnels

    The Heading of 8B001 is amended by replacing ``having'' with 
``designed to have'', replacing ``in the frequency range'' with 
``within the frequency range'', and replacing ``from 0 to 500 Hz'' with 
``exceeding 0 Hz but not exceeding 500 Hz'', in order to make clear 
that only water tunnels designed to meet these parameters are 
controlled by this entry and that background noise must be less than 
100 dB within the frequency range exceeding 0 Hz, but not exceeding 500 
Hz.

8D001 ``Software'' ``Specially Designed'' or Modified for the 
``Development,'' ``Production'' or ``Use'' of Equipment or Materials, 
Controlled by 8A (Except 8A992), 8B or 8C and

8E001 ``Technology'' According to the General Technology Note for the 
``Development'' or ``Production'' of Equipment or Materials, Controlled 
by 8A (Except 8A992), 8B or 8C

    8D001 and 8E001 are amended by replacing the reference to 8A001.d 
with 8A001.c.1 in the License Exception TSR eligibility paragraph; and 
amending the Special Conditions for STA by removing the reference to 
8A001.d, because unmanned submersible vehicles are moved from 8A001.d 
to 8A001.c.1, and 8A001.c is already listed in this paragraph.

Category 9--Aerospace and Propulsion

9A010 ``Specially Designed'' ``Parts,'' ``Components,'' Systems and 
Structures, for Launch Vehicles, Launch Vehicle Propulsion Systems or 
``Spacecraft''

    Paragraph 9A010.d (pulsed liquid rocket engines) is amended by 
moving the text within parentheses to a new Technical Note below the 
paragraph.

[[Page 56298]]

9A610 Military Aircraft and Related Commodities, Other Than Those 
Enumerated in 9A991.a

    Note 2 to 9A610.a, which excludes from 9A610.a `military aircraft' 
that were first manufactured before 1946, is amended by adding ``or 
``lighter-than-air vehicles'''' after the words `military aircraft,' 
because there was no intent to maintain controls on lighter-than-air 
vehicles from pre-1946, or their components.

9B001 Manufacturing Equipment, Tooling or Fixtures

    The Heading of 9B001 is amended by adding ``manufacturing'' to the 
front and moving the ``specially designed for . . . .'' phrase to 
9B001.b and 9B001.c. Item paragraph 9B001.a (Directional solidification 
or single crystal casting equipment) is amended by adding the parameter 
``designed for ``superalloys'' to narrow the scope of control.

9E003 Other ``Technology''

    Paragraph 9E003.a.7 (gas turbine engine ``parts'' or ``components'' 
using ``diffusion bonding'' ``technology'' controlled by 2D003.b) is 
removed and reserved, because it is redundant to other controls for 
such parts and components. Paragraph 9E003.a.7 is not necessary for 
several reasons. First, diffusion bonding is a subset of solid-state 
joining. Second, 9E003.a.6 presently controls diffusion bonding and 
other solid-state joining techniques when applied to the components of 
concern, i.e., airfoil-to-disk blade combinations. Third, 9E003.a.1-5 
also presently controls ``development'' and ``production'' 
``technology'' for components of concern, regardless of construction 
method. Fourth, ECCN 1B003 covers the control of tools, dies, molds or 
fixtures for diffusion bonding of specified alloys in aircraft/
aerospace applications, and ECCN 1E001 controls the ``technology'' 
``required'' for the ``development'' or ``production'' of items 
controlled by ECCN 1B003. All of these other controls cover what was 
already controlled in paragraph 9E003.a.7, and therefore to end this 
redundancy, this paragraph is being removed.

Part 772--Definitions of Terms as Used in the Export Administration 
Regulations (EAR)

    The definition of ``cryptography'' is amended by adding Note 2 to 
alert the public that ``cryptography'' includes decryption.
    The definition of ``radiant sensitivity'' is amended by adding a 
period to the end of the definition.
    The definition of ``satellite navigation system'' is added to Sec.  
772.1 in order to clarify that the term applies to all satellite 
navigation systems, not just those that have global coverage.
    The definition of ``stability'' is amended by revising the Note to 
the definition to add accelerometers. The term ``stability'' is used in 
ECCN 7A001 (accelerometers), specifically in 7A001.a.1.a and a.1.b.
    The definition of ``vacuum electronic devices'' is added to Sec.  
772.1. The term was defined in Technical Note 2 under 3A001.b, however, 
because it is used in two separate ECCNs 3A001.b.1 and 3E003, the 
definition is removed from 3A001 and added (unchanged) to Sec.  772.1.

Supplement No. 6 to Part 774 ``Sensitive List''

    Paragraph (3) is amended by re-designating paragraphs (3)(i) 
through (iii) as paragraphs (3)(iii) through (v) and adding new 
paragraph (3)(i) 3A001.b.2--``Monolithic Microwave Integrated Circuit'' 
(``MMIC'') amplifiers and new paragraph (3)(ii) 3A001.b.3--Discrete 
microwave transistors, because these items warrant higher levels of 
control and monitoring. New paragraphs (iv) 3D001and (v) 3E001 are 
amended by adding reference to 3A001.b.2 and 3A001.b.3. Items on the 
Sensitive List tend to be ineligible for license exceptions by WA 
Participating States or are subject to reporting requirements.
    Paragraph (6)(xiii) is amended by merging Note 7 and Note 8. 
Therefore, Note 8 is removed.
    Paragraphs (8)(i) ``8A001.b'' and introductory paragraphs (ii) 
``8A002.b'', (vi) ``8D001'' and (viii) ``8E001'' are amended by 
replacing ``8A001.b to .d'' with ``8A001.b. to .c'' because the Item 
paragraph specifying unmanned submersible vehicles is moved from 
8A001.d to 8A001.c.1.

Supplement No. 7 to Part 774--Very Sensitive List

    The WA Very Sensitive List (VSL) is amended by revising paragraph 
(5) of Category 8 to replace paragraph citations ``8A001.d'' with 
``8A001.c.1'' throughout paragraph (5), because the item 8A001.d is 
moved to c.1 in this final rule (see explanation above under 8A001).

Other National Security Revisions

    This rule revises paragraph (b) in Sec.  743.3 ``Thermal Imaging 
Camera Reporting'' by only requiring the report for exports of more 
than 100 thermal imaging devices in a monocular, biocular, or binocular 
configuration. This will reduce the burden on the public and only 
require the report for exports of concern.

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. 
Sections 4801-4852. ECRA provides the legal basis for BIS's principal 
authorities and serves as the authority under which BIS issues this 
rule.

Saving Clause

    Shipments of items removed from license exception eligibility or 
eligibility for export, reexport or transfer (in-country) 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 September 11, 2020, pursuant 
to actual orders for exports, reexports and transfers (in-country) 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, reexported or transferred (in-country) before November 
10, 2020. Any such items not actually exported, reexported or 
transferred (in-country) before midnight, on November 10, 2020, require 
a license in accordance with this final rule.

Executive Order Requirements

    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, distributive impacts, and equity). Executive 
Order 13563 emphasizes the importance of quantifying both costs and 
benefits, of reducing costs, of harmonizing rules, and of promoting 
flexibility.
    This rule has been designated a ``significant regulatory action'' 
under Executive Order 12866. The Wassenaar Arrangement (WA) has been 
established in order to contribute 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. The aim is 
also to prevent the acquisition of these items by terrorists. There are 
presently 42 Participating States, including the United States, that 
seek through their national policies to ensure that transfers

[[Page 56299]]

of these items do not contribute to the development or enhancement of 
military capabilities that undermine these goals, and to ensure that 
these items are not diverted to support such military capabilities that 
undermine these goals. Implementation of the WA consensus decisions in 
a timely manner enhances the national security of the United States and 
global international trade.
    This rule does not contain policies with Federalism implications as 
that term is defined under Executive Order 13132.
    This rule is not subject to the requirements of E.O. 13771 (82 FR 
9339, February 3, 2017) because it is issued with respect to a national 
security function of the United States.

Paperwork Reduction Act Requirements

    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 the following OMB approved collections of 
information subject to the PRA: 0694-0088, ``Multi-Purpose 
Application'', which carries a burden hour estimate of 29.6 minutes for 
a manual or electronic submission; 0694-0106, ``Reporting and 
Recordkeeping Requirements under the Wassenaar Arrangement,'' which 
carries a burden hour estimate of 21 minutes for a manual or electronic 
submission; 0694-0096 ``Five Year Records Retention Period,'' which 
carries a burden hour estimate of less than 1 minute; and 0607-0152 
``Automated Export System (AES) Program, which carries a burden hour 
estimate of 3 minutes per electronic submission. Specific license 
application submission estimates are discussed further in the preamble 
of this rule where the revision is explained. BIS estimates that 
revisions that are editorial, moving the location of control text on 
the Commerce Control List, or clarifications will result in no change 
in license application submissions. This rule revises Section 743.3 
``Thermal Imaging Reporting Requirements'' by narrowing the reporting 
requirement, which carried a burden hour estimate of 60 minutes per 
submission and 60 submissions per year under collection 0694-0137 
``License Exceptions and Exclusions.'' Because collection 0694-0137 
applies to a group of collections with a burden hour estimate average 
based upon the burden hours and responses for a large total number of 
collections, the current burden hour estimate average for collection 
0694-0137 is not affected by this rule's revision of the Section 743.3 
``Thermal Imaging Reporting Requirements,'' and therefore remains at 
1.5 hours per submission.
    Any comments regarding these collections of information, including 
suggestions for reducing the burden, may be sent to OMB Desk Officer, 
New Executive Office Building, Washington, DC 20503; and to Jasmeet K. 
Seehra, Office of Management and Budget (OMB), by email to 
Jasmeet_K._Seehra@omb.eop.gov, or by fax to (202) 395-7285.

Administrative Procedure Act and Regulatory Flexibility Act 
Requirements

    Pursuant to Section 4821 of ECRA, this action is exempt from the 
Administrative Procedure Act (5 U.S.C. 553) requirements for notice of 
proposed rulemaking, opportunity for public participation and delay in 
effective date.
    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. Accordingly, no regulatory flexibility analysis is 
required, and none has been prepared.

List of Subjects

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.

    Accordingly, parts 743, 772, and 774 of the Export Administration 
Regulations (15 CFR parts 730 through 774) are amended as follows:

PART 743--[AMENDED]

0
1. The authority citation for part 743 is revised to read as follows:

    Authority: 50 U.S.C. 4801 et seq.; 50 U.S.C. 1701 et seq.; E.O. 
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13637, 78 FR 
16129, 3 CFR, 2014 Comp., p. 223; 78 FR 16129; Notice of May 7, 
2020, 85 FR 27639.


0
2. Section 743.3 is amended by revising paragraph (b) to read as 
follows:


Sec.  743.3  Thermal imaging camera reporting.

* * * * *
    (b) Transactions to be reported. Exports that are not authorized by 
an individually validated license of more than 100 thermal imaging 
cameras in a monocular, biocular or binocular configuration controlled 
by ECCN 6A003.b.4.b to a destination in Country Group A:1 (see 
supplement no. 1 to part 740 of the EAR), except Canada, must be 
reported to BIS.
* * * * *

PART 772--[AMENDED]

0
3. The authority citation for part 772 is continues to read as follows:

    Authority: 50 U.S.C. 4801 et seq.; 50 U.S.C. 1701 et seq.; E.O. 
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.


0
4. Section 772.1 is amended by:
0
a. Revising the definitions of ``cryptography'' and ``radiant 
sensitivity'';
0
b. Adding a definition for ``satellite navigation system'' in 
alphabetical order;
0
c. Revising the definition of ``stability''; and
0
d. Adding a definition for ``vacuum electronic devices'' in 
alphabetical order.
    The revisions and additions read as follows:


Sec.  772.1  Definitions of terms as used in the Export Administration 
Regulations (EAR).

* * * * *
    Cryptography (Cat 5P2)--The discipline that embodies principles, 
means and methods for the transformation of data in order to hide its 
information content, prevent its undetected modification or prevent its 
unauthorized use. ``Cryptography'' is limited to the transformation of 
information using one or more `secret parameters' (e.g., crypto 
variables) and/or associated key management.
    Notes:
    1. ``Cryptography'' does not include `fixed' data compression or 
coding techniques.
    2. ``Cryptography'' includes decryption.
    Technical Notes:
    1. `Secret parameter': A constant or key kept from the knowledge of 
others or shared only within a group.
    2. `Fixed': The coding or compression algorithm cannot accept 
externally

[[Page 56300]]

supplied parameters (e.g., cryptographic or key variables) and cannot 
be modified by the user.
* * * * *
    Radiant sensitivity (Cat 6)--Radiant sensitivity (mA/W) = 0.807 x 
(wavelength in nm) x `Quantum Efficiency (QE)'.

    Technical Note: `QE' is usually expressed as a percentage; 
however, for the purposes of this formula `QE' is expressed as a 
decimal number less than one, e.g., 78% is 0.78.

* * * * *
    Satellite navigation system (Cat 5P2, 7)--A system consisting of 
ground stations, a constellation of satellites, and receivers, that 
enables receiver locations to be calculated on the basis of signals 
received from the satellites. It includes Global Navigation Satellite 
Systems (GNSS) and Regional Navigation Satellite Systems (RNSS).
* * * * *
    Stability (Cat 7) Standard deviation (1 sigma) of the variation of 
a particular parameter from its calibrated value measured under stable 
temperature conditions. This can be expressed as a function of time.

    Note: For gyroscopes and accelerometers, ``stability'' can be 
estimated by determining the Allan variance noise-analysis value at 
the integration period (i.e., sample time) consistent with the 
stated measurement period, which may include extrapolating the Allan 
variance noise analysis beyond the instability point into the rate/
acceleration random walk or rate/acceleration ramp regions to an 
integration period consistent with the stated measurement period 
(Reference: IEEE Std. 952-1997 [R2008] or IEEE Std 1293-1998 
[R2008]).

* * * * *
    Vacuum electronic devices (Cat 3) Electronic devices based on the 
interaction of an electron beam with an electromagnetic wave 
propagating in a vacuum circuit or interacting with radio-frequency 
vacuum cavity resonators. ``Vacuum electronic devices'' include 
klystrons, travelling-wave tubes, and their derivatives.
* * * * *

PART 774--[AMENDED]

0
5. The authority citation for part 774 continues to read as follows:

    Authority: 50 U.S.C. 4801 et seq.; 10 U.S.C. 7420; 10 U.S.C. 
7430(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. 1824a; 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
6. In Supplement No. 1 to part 774 (the Commerce Control List), 
Category 0, ECCN 0A606 is revised to read as follow:

Supplement No. 1 to Part 774--The Commerce Control List

* * * * *
0A606 Ground Vehicles and Related Commodities, as Follows (See List 
of Items Controlled).

License Requirements

Reason for Control: NS, RS, AT, UN

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to  part 738)
 
NS applies to entire entry, except 0A606.b  NS Column 1
 and .y.
NS applies to 0A606.b.....................  NS Column 2
RS applies to entire entry, except 0A606.b  RS Column 1
 and .y.
RS applies to 0A606.b.....................  RS Column 2
RS applies to 0A606.y.....................  China, Russia, or Venezuela
                                             (see Sec.   742.6(a)(7))
AT applies to entire entry................  AT Column 1
UN applies to entire entry, except 0A606.y  See Sec.   746.1(b)
                                            for UN controls
 

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

LVS: $1,500
GBS: N/A

Special Conditions for STA

STA: (1) Paragraph (c)(1) of License Exception STA (Sec.  
740.20(c)(1) of the EAR) may not be used for any item in 0A606.a, 
unless determined by BIS to be eligible for License Exception STA in 
accordance with Sec.  740.20(g) (License Exception STA eligibility 
requests for 9x515 and ``600 series'' items). (2) Paragraph (c)(2) 
of License Exception STA (Sec.  740.20(c)(2) of the EAR) may not be 
used for any item in 0A606.

List of Items Controlled

Related Controls: (1) The ground vehicles, other articles, technical 
data (including software) and services described in 22 CFR part 121, 
Category VII are subject to the jurisdiction of the International 
Traffic in Arms Regulations. (2) See ECCN 0A919 for foreign-made 
``military commodities'' that incorporate more than a de minimis 
amount of U.S.-origin ``600 series'' controlled content.

Related Definitions: N/A
Items:

    a. Ground vehicles, whether manned or unmanned, ``specially 
designed'' for a military use and not enumerated or otherwise 
described in USML Category VII.

    Note 1 to paragraph .a: For purposes of paragraph .a, ``ground 
vehicles'' include (i) tanks and armored vehicles manufactured prior 
to 1956 that have not been modified since 1955 and that do not 
contain a functional weapon or a weapon capable of becoming 
functional through repair; (ii) military railway trains except those 
that are armed or are ``specially designed'' to launch missiles; 
(iii) unarmored military recovery and other support vehicles; (iv) 
unarmored, unarmed vehicles with mounts or hard points for firearms 
of .50 caliber or less; and (v) trailers ``specially designed'' for 
use with other ground vehicles enumerated in USML Category VII or 
ECCN 0A606.a, and not separately enumerated or otherwise described 
in USML Category VII. For purposes of this note, the term 
``modified'' does not include incorporation of safety features 
required by law, cosmetic changes (e.g., different paint or 
repositioning of bolt holes) or addition of ``parts'' or 
``components'' available prior to 1956.


    Note 2 to paragraph .a: A ground vehicle's being ``specially 
designed'' for military use for purposes of determining controls 
under paragraph .a. entails a structural, electrical or mechanical 
feature involving one or more ``components'' that are ``specially 
designed'' for military use. Such ``components'' include:
    a. Pneumatic tire casings of a kind ``specially designed'' to be 
bullet-proof;
    b. Armored protection of vital ``parts'' (e.g., fuel tanks or 
vehicle cabs);
    c. Special reinforcements or mountings for weapons;
    d. Black-out lighting.

    b. Other ground vehicles, ``parts'' and ``components,'' as 
follows:
    b.1. Unarmed vehicles that are derived from civilian vehicles 
and that have all of the following:
    b.1.a. Manufactured or fitted with materials or ``components'' 
other than reactive or electromagnetic armor to provide ballistic 
protection to level III (National Institute of Justice standard 
0108.01, September 1985) or better;
    b.1.b. A transmission to provide drive to both front and rear 
wheels simultaneously, including those vehicles having additional 
wheels for load bearing purposes whether driven or not;
    b.1.c. Gross vehicle weight rating (GVWR) greater than 4,500 kg; 
and
    b.1.d. Designed or modified for off-road use.
    b.2. ``Parts'' and ``components'' having all of the following:
    b.2.a. ``Specially designed'' for vehicles specified in 
paragraph .b.1 of this entry; and
    b.2.b. Providing ballistic protection to level III (National 
Institute of Justice standard 0108.01, September 1985) or better.

    Note 1 to paragraph b: Ground vehicles otherwise controlled by 
0A606.b.1 that contain reactive or electromagnetic armor are subject 
to the controls of USML Category VII.


    Note 2 to paragraph b: ECCN 0A606.b.1 does not control civilian 
vehicles ``specially designed'' for transporting money or valuables.


    Note 3 to paragraph b: ``Unarmed'' means not having installed 
weapons, installed mountings for weapons, or special reinforcements 
for mounts for weapons.

    c. Air-cooled diesel engines and engine blocks for armored 
vehicles that weigh more than 40 tons.

[[Page 56301]]

    d. Fully automatic continuously variable transmissions for 
tracked combat vehicles.
    e. Deep water fording kits ``specially designed'' for ground 
vehicles controlled by ECCN 0A606.a or USML Category VII.
    f. Self-launching bridge ``components'' not enumerated in USML 
Category VII(g) ``specially designed'' for deployment by ground 
vehicles enumerated in USML Category VII or this ECCN.
    g. through w. [Reserved]
    x. ``Parts,'' ``components,'' ``accessories,'' and 
``attachments'' that are ``specially designed'' for a commodity 
enumerated or otherwise described in ECCN 0A606 (other than 0A606.b 
or 0A606.y) or a defense article enumerated in USML Category VII and 
not elsewhere specified on the USML or in 0A606.y.

    Note 1:  Forgings, castings, and other unfinished products, such 
as extrusions and machined bodies, that have reached a stage in 
manufacture where they are clearly identifiable by mechanical 
properties, material composition, geometry, or function as 
commodities controlled by ECCN 0A606.x are controlled by ECCN 
0A606.x.


    Note 2:  ``Parts,'' ``components,'' ``accessories'' and 
``attachments'' enumerated in USML paragraph VII(g) are subject to 
the controls of that paragraph. ``Parts,'' ``components,'' 
``accessories'' and ``attachments'' described in ECCN 0A606.y are 
subject to the controls of that paragraph.

    y. Specific ``parts,'' ``components,'' ``accessories,'' and 
``attachments'' ``specially designed'' for a commodity enumerated or 
otherwise described in this ECCN (other than ECCN 0A606.b) or for a 
defense article in USML Category VII and not elsewhere specified on 
the USML or the CCL, as follows, and ``parts,'' ``components,'' 
``accessories,'' and ``attachments'' ``specially designed'' 
therefor:
    y.1. Brake discs, rotors, drums, calipers, cylinders, pads, 
shoes, lines, hoses, vacuum boosters, and parts therefor;
    y.2. Alternators and generators;
    y.3. Axles;
    y.4. Batteries;
    y.5. Bearings (e.g., ball, roller, wheel);
    y.6. Cables, cable assembles, and connectors;
    y.7. Cooling system hoses;
    y.8. Hydraulic, fuel, oil, and air filters, not controlled by 
ECCN 1A004;
    y.9. Gaskets and o-rings;
    y.10. Hydraulic system hoses, fittings, couplings, adapters, and 
valves;
    y.11. Latches and hinges;
    y.12. Lighting systems, fuses, and ``components;''
    y.13. Pneumatic hoses, fittings, adapters, couplings, and 
valves;
    y.14. Seats, seat assemblies, seat supports, and harnesses;
    y.15 Tires, except run flat; and
    y.16 Windows, except those for armored vehicles.


0
7. In Supplement No. 1 to part 774, Category 0, ECCN 0A617 is revised 
to read as follow:

0A617 Miscellaneous ``Equipment,'' Materials, and Related 
Commodities (See List of Items Controlled).

License Requirements

Reason for Control: NS, RS, AT, UN

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to  part 738)
 
NS applies to entire entry, except 0A617.y  NS Column 1
RS applies to entire entry, except 0A617.y  RS Column 1
RS applies to 0A617.y.....................  China, Russia, or Venezuela
                                             (see Sec.   742.6(a)(7))
AT applies to entire entry................  AT Column 1
UN applies to entire......................  See Sec.   764.1(b) for UN
entry, except 0A617.y.....................   controls
 

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

LVS: $1500
GBS: N/A

Special Conditions for STA

STA: Paragraph (c)(2) of License Exception STA (Sec.  740.20(c)(2) 
of the EAR) may not be used for any item in 0A617.

List of Items Controlled

Related Controls: (1) Defense articles, such as materials made from 
classified information, that are controlled by USML Category XIII, 
and technical data (including software) directly related thereto, 
are subject to the ITAR. (2) See ECCN 0A919 for foreign-made 
``military commodities'' that incorporate more than a de minimis 
amount of U.S.-origin ``600 series'' controlled content. (3) For 
controls on self-contained diving and underwater swimming apparatus 
and related commodities, see ECCN 8A620.f. (4) For controls on 
robots, robot controllers, and robot end-effectors, see USML 
Category VII and ECCNs 0A606 and 2B007. (5) ``Libraries,'' i.e., 
parametric technical databases, ``specially designed'' for military 
use with equipment controlled by the USML or a ``600 series'' ECCN 
are controlled by the technical data and technology controls 
pertaining to such items. (6) For controls on nuclear power 
generating equipment or propulsion equipment, including ``nuclear 
reactors,'' ``specially designed'' for military use, and ``parts'' 
and ``components'' ``specially designed'' therefor, see USML 
Categories VI, XIII, XV, and XX. (7) Simulators ``specially 
designed'' for military ``nuclear reactors'' are controlled by USML 
Category IX(b). (8) See USML Categories X, XI and XII for ``laser'' 
protection equipment (e.g., eye and sensor protection) ``specially 
designed'' for military use. (9) ``Fuel cells'' ``specially 
designed'' for a defense article on the USML or a commodity 
controlled by a ``600 series'' ECCN are controlled according to the 
corresponding ``600 series'' ECCN for such end items. (10) See USML 
Category XV for controls on fuel cells ``specially designed'' for 
satellite or spacecraft.
Related Definitions: N/A
Items:

    a. [Reserved]
    b. Concealment and deception equipment ``specially designed'' 
for military application, including special paints, decoys, smoke or 
obscuration equipment and simulators, and ``parts,'' ``components,'' 
``accessories,'' and ``attachments'' ``specially designed'' 
therefor, not controlled by USML Category XIII.
    c. Ferries, bridges not described in ECCN 0A606 or USML Category 
VII, and pontoons, ``specially designed'' for military use.
    d. Test models ``specially designed'' for the ``development'' of 
defense articles controlled by USML Categories IV, VI, VII and VIII.
    e. [Reserved]
    f. ``Metal embrittlement agents.''
    g. through x. [Reserved]
    y. Other commodities as follows, and ``parts,'' ``components,'' 
``accessories,'' and ``attachments'' ``specially designed'' 
therefore:
    y.1. Construction equipment ``specially designed'' for military 
use, including such equipment ``specially designed'' for transport 
in aircraft controlled by USML VIII(a) or ECCN 9A610.a.
    y.2. ``Parts,'' ``components,'' ``accessories,'' and 
``attachments'' ``specially designed'' for commodities in paragraph 
.y.1 of this entry, including crew protection kits used as 
protective cabs.
    y.3. ISO intermodal containers or demountable vehicle bodies 
(i.e., swap bodies), n.e.s., ``specially designed'' or `modified' 
for shipping or packing defense articles or items controlled by a 
``600 series'' ECCN.

    Technical Note:  For the purpose of 0A617.y.3, `modified' means 
any structural, electrical, mechanical, or other change that 
provides a non-military item with military capabilities equivalent 
to an item which is ``specially designed'' for military use.

    y.4. Field generators ``specially designed'' for military use.
    y.5. Power controlled searchlights and control units therefor, 
``specially designed'' for military use, and ``equipment'' mounting 
such units.


0
8. In Supplement No. 1 to part 774, Category 1, ECCN 1A004 is revised 
to read as follow:

1A004 Protective and Detection Equipment and ``Components,'' Not 
``Specially Designed'' for Military Use, as Follows (See List of 
Items Controlled).

License Requirements

Reason for Control: NS, CB, RS, AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to  part 738)
 
NS applies to entire entry................  NS Column 2
CB applies to chemical detection systems    CB Column 2
 and dedicated detectors therefor, in
 1A004.c, that also have the technical
 characteristic.
RS apply to 1A004.d.......................  RS Column 2

[[Page 56302]]

 
AT applies to entire entry................  AT Column 1
 

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

LVS: N/A

GBS: Yes for 1A004.a, .b, and .c.2.

List of Items Controlled

Related Controls: (1) See ECCNs 1A995, 2B351, and 2B352. (2) See 
ECCN 1D003 for ``software'' ``specially designed'' or modified to 
enable equipment to perform the functions of equipment controlled 
under section 1A004.c (Nuclear, biological and chemical (NBC) 
detection systems). (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 1A004.c (Nuclear, biological and chemical (NBC) detection 
systems). (4) Chemical and biological protective and detection 
equipment specifically designed, developed, modified, configured, or 
adapted for military applications is ``subject to the ITAR'' (see 22 
CFR parts 120 through 130, including USML Category XIV(f)), as is 
commercial equipment that incorporates ``parts'' or ``components'' 
controlled under that category except for domestic preparedness 
devices for individual protection that integrate ``components'' and 
``parts'' identified in USML Category XIV(f)(4) when such ``parts'' 
or ``components'' are: (1) Integral to the device; (2) inseparable 
from the device; and (3) incapable of replacement without 
compromising the effectiveness of the device, in which case the 
equipment is subject to the export licensing jurisdiction of the 
Department of Commerce under ECCN 1A004. (5) This entry does not 
control radionuclides incorporated in equipment listed in this 
entry--such materials are subject to the licensing jurisdiction of 
the Nuclear Regulatory Commission (See 10 CFR part 110).
Related Definitions: (1) `Biological agents' means: Pathogens or 
toxins, selected or modified (such as altering purity, shelf life, 
virulence, dissemination characteristics, or resistance to UV 
radiation) to produce casualties in humans or animals, degrade 
equipment or damage crops or the environment. (2) `Riot control 
agents' are substances which, under the expected conditions of use 
for riot control purposes, produce rapidly in humans sensory 
irritation or disabling physical effects which disappear within a 
short time following termination of exposure. (Tear gases are a 
subset of `riot control agents.')
Items:

    a. Full face masks, filter canisters and decontamination 
equipment therefor, designed or modified for defense against any of 
the following, and ``specially designed'' ``components'' therefor:

    Note:  1A004.a includes Powered Air Purifying Respirators (PAPR) 
that are designed or modified for defense against agents or 
materials, listed in 1A004.a.


    Technical Notes:  For the purpose of 1A004.a:
    1. Full face masks are also known as gas masks.
    2. Filter canisters include filter cartridges.

    a.1. `Biological agents';
    a.2. `Radioactive materials;'
    a.3. Chemical warfare (CW) agents; or
    a.4. `Riot control agents', as follows:
    a.4.a. [alpha]-Bromobenzeneacetonitrile, (Bromobenzyl cyanide) 
(CA) (CAS 5798-79-8);
    a.4.b. [(2-chlorophenyl) methylene] propanedinitrile, (o-
Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);
    a.4.c. 2-Chloro-1-phenylethanone, Phenylacyl chloride ([omega]-
chloroacetophenone) (CN) (CAS 532-27-4);
    a.4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);
    a.4.e. 10-Chloro-5, 10-dihydrophenarsazine, (Phenarsazine 
chloride), (Adamsite), (DM) (CAS 578-94-9);
    a.4.f. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
    b. Protective suits, gloves and shoes, ``specially designed'' or 
modified for defense against any of the following:
    b.1. `Biological agents';
    b.2. `Radioactive materials;' or
    b.3. Chemical warfare (CW) agents;
    c. Detection systems, ``specially designed'' or modified for 
detection or identification of any of the following, and ``specially 
designed'' ``components'' therefor:
    c.1. `Biological agents';
    c.2. `Radioactive materials;' or
    c.3. Chemical warfare (CW) agents;
    d. Electronic equipment designed for automatically detecting or 
identifying the presence of ``explosives'' (as listed in the annex 
at the end of Category 1) residues and utilizing `trace detection' 
techniques (e.g., surface acoustic wave, ion mobility spectrometry, 
differential mobility spectrometry, mass spectrometry).

    Technical Note:  `Trace detection' is defined as the capability 
to detect less than 1 ppm vapor, or 1 mg solid or liquid.


    Note 1:  1A004.d does not apply to equipment ``specially 
designed'' for laboratory use.


    Note 2:  1A004.d does not apply to non-contact walk-through 
security portals.


    Note:  1A004 does not control:
    a. Personal radiation monitoring dosimeters;
    b. Occupational health or safety equipment limited by design or 
function to protect against hazards specific to residential safety 
or civil industries, including:
    1. Mining;
    2. Quarrying;
    3. Agriculture;
    4. Pharmaceutical;
    5. Medical;
    6. Veterinary;
    7. Environmental;
    8. Waste management;
    9. Food industry.


    Technical Notes: 

    1. 1A004 includes equipment, ``components'' that have been 
`identified,' successfully tested to national standards or otherwise 
proven effective, for the detection of or defense against 
`radioactive materials' `biological agents,' chemical warfare 
agents, `simulants' or ``riot control agents,'' even if such 
equipment or ``components'' are used in civil industries such as 
mining, quarrying, agriculture, pharmaceuticals, medical, 
veterinary, environmental, waste management, or the food industry.
    2. `Simulant': A substance or material that is used in place of 
toxic agent (chemical or biological) in training, research, testing 
or evaluation.
    3. For the purposes of 1A004, `radioactive materials' are those 
selected or modified to increase their effectiveness in producing 
casualties in humans or animals, degrading equipment or damaging 
crops or the environment.

0
9. In Supplement No. 1 to part 774, Category 1, ECCN 1A008 is revised 
to read as follow:

1A008 Charges, Devices and ``Components,'' as Follows (See List of 
Items Controlled).

License Requirements

Reason for Control: NS, UN, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1 to part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
UN applies to entire entry................  See Sec.   746.1(b) for UN
                                             controls
 

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

LVS: $3,000 for .a through .c; $6,000 for .d.
GBS: N/A

List of Items Controlled

Related Controls: (1) All of the following are ``subject to the 
ITAR'' (see 22 CFR parts 120 through 130):

    a. High explosives and related equipment ``specially designed'' 
for military use;
    b. Explosive devices or charges in this entry that utilize USML 
controlled energetic materials (See 22 CFR 121.1 Category V), if 
they have been specifically designed, developed, configured, 
adapted, or modified for a military application;
    c. Shaped charges that have all of the following a uniform 
shaped conical liner with an included angle of 90 degrees or less, 
more than 2.0 kg of controlled materials, and a diameter exceeding 
4.5 inches;
    d. Detonating cord containing greater than 0.1 kg per meter (470 
grains per foot) of controlled materials;
    e. Cutters and severing tools containing greater than 10 kg of 
controlled materials;
    f. With the exception of cutters and severing tools, devices or 
charges controlled by this entry where the USML controlled materials 
can be easily extracted without destroying the device or charge; and

[[Page 56303]]

    g. Individual USML controlled energetic materials in this entry, 
even when compounded with other materials, when not incorporated 
into explosive devices or charges controlled by this entry or 1C992.
    (2) See also ECCNs 1C011, 1C018, 1C111, 1C239, and 1C608 for 
additional controlled energetic materials. See ECCN 1E001 for the 
``development'' or ``production'' ``technology'' for the commodities 
controlled by ECCN 1A008, but not for explosives or commodities that 
are ``subject to the ITAR'' (see 22 CFR parts 120 through 130).

Related Definitions: N/A
Items:

    a. `Shaped charges' having all of the following:
    a.1. Net Explosive Quantity (NEQ) greater than 90 g; and
    a.2. Outer casing diameter equal to or greater than 75 mm;
    b. Linear shaped cutting charges having all of the following, 
and ``specially designed'' ``components'' therefor:
    b.1. An explosive load greater than 40 g/m; and
    b.2. A width of 10 mm or more;
    c. Detonating cord with explosive core load greater than 64 g/m;
    d. Cutters, not specified by 1A008.b, and severing tools, having 
a NEQ greater than 3.5 kg.

    Technical Note: `Shaped charges' are explosive charges shaped to 
focus the effects of the explosive blast.


    Note:  The only charges and devices specified in 1A008 are those 
containing ``explosives'' (see list of explosives in the Annex at 
the end of Category 1) and mixtures thereof.


0
10. In Supplement No. 1 to part 774, Category 1, ECCN 1C001 is revised 
to read as follow:

1C001 Materials ``Specially Designed'' for Absorbing Electromagnetic 
Radiation, or Intrinsically Conductive Polymers, as Follows (See 
List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

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

LVS: N/A
GBS: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in this 
entry to any of the destinations listed in Country Group A:6 (See 
Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: See also 1C101
Related Definitions: N/A
Items:

    a. Materials for absorbing frequencies exceeding 2 x 10\8\ Hz 
but less than 3 x 10\12\ Hz.

    Note 1:  1C001.a does not control:
    a. Hair type absorbers, constructed of natural or synthetic 
fibers, with non-magnetic loading to provide absorption;
    b. Absorbers having no magnetic loss and whose incident surface 
is non-planar in shape, including pyramids, cones, wedges and 
convoluted surfaces;
    c. Planar absorbers, having all of the following:
    1. Made from any of the following:
    a. Plastic foam materials (flexible or non-flexible) with 
carbon-loading, or organic materials, including binders, providing 
more than 5% echo compared with metal over a bandwidth exceeding 
15% of the center frequency of the incident 
energy, and not capable of withstanding temperatures exceeding 450 K 
(177 [deg]C); or
    b. Ceramic materials providing more than 20% echo compared with 
metal over a bandwidth exceeding 15% of the 
center frequency of the incident energy, and not capable of 
withstanding temperatures exceeding 800 K (527 [deg]C);


    Technical Note:  Absorption test samples for 1C001.a. Note 1.c.1 
should be a square at least 5 wavelengths of the center frequency on 
a side and positioned in the far field of the radiating element.
    2. Tensile strength less than 7 x 106 N/m2; and
    3. Compressive strength less than 14 x 106 N/m2;
    d. Planar absorbers made of sintered ferrite, having all of the 
following:
    1. A specific gravity exceeding 4.4; and
    2. A maximum operating temperature of 548 K (275 [deg]C);
    e. Planar absorbers having no magnetic loss and fabricated from 
`open-cell foams' plastic material with a density of 0.15 grams/cm3 
or less.


    Technical Note:  `Open-cell foams' are flexible and porous 
materials, having an inner structure open to the atmosphere. `Open-
cell foams' are also known as reticulated foams.


    Note 2:  Nothing in Note 1 releases magnetic materials to 
provide absorption when contained in paint.

    b. Materials not transparent to visible light and specially 
designed for absorbing near-infrared radiation having a wavelength 
exceeding 810 nm but less than 2,000 nm (frequencies exceeding 150 
THz but less than 370 THz);

    Note:  1C001.b does not apply to materials, ``specially 
designed'' or formulated for any of the following applications:
    a. ``Laser'' marking of polymers; or
    b. ``Laser'' welding of polymers.

    c. Intrinsically conductive polymeric materials with a `bulk 
electrical conductivity' exceeding 10,000 S/m (Siemens per meter) or 
a `sheet (surface) resistivity' of less than 100 ohms/square, based 
on any of the following polymers:
    c.1. Polyaniline;
    c.2. Polypyrrole;
    c.3. Polythiophene;
    c.4. Poly phenylene-vinylene; or
    c.5. Poly thienylene-vinylene.

    Note:  1C001.c does not apply to materials in a liquid form.


    Technical Note:  `Bulk electrical conductivity' and `sheet 
(surface) resistivity' should be determined using ASTM D-257 or 
national equivalents.


0
11. In Supplement No. 1 to part 774, ``ANNEX to Category 1, List of 
Explosives (See ECCNs 1A004 and 1A008)'' is amended by revising 
paragraph 6 to read as follows:

ANNEX to Category 1, ``List of Explosives (See ECCNs 1A004 and 1A008)''

* * * * *
    6. DADE (1,1-diamino-2,2-dinitroethylene, FOX-7) (CAS 145250-81-
3);
* * * * *

0
12. In Supplement No. 1 to part 774, Category 2, ECCN 2A001 is revised 
to read as follows:

2A001 Anti-Friction Bearings and Bearing Systems, as Follows, (See 
List of Items Controlled) and ``Components'' Therefor.

License Requirements

Reason for Control: NS, MT, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1 to part 738)
 
NS applies to entire entry................  NS Column 2
MT applies to radial ball bearings having   MT Column 1
 all tolerances specified in accordance
 with ISO 492 Tolerance Class 2 (or ANSI/
 ABMA Std 20 Tolerance Class ABEC-9, or
 other national equivalents) or better and
 having all the following characteristics:
 an inner ring bore diameter between 12
 and 50 mm; an outer ring outside diameter
 between 25 and 100 mm; and a width
 between 10 and 20 mm.
AT applies to entire entry................  AT Column 1
 


[[Page 56304]]

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

LVS: $3,000, N/A for MT
GBS: Yes, for 2A001.a, N/A for MT

List of Items Controlled

Related Controls: (1) See also 2A991. (2) Quiet running bearings are 
``subject to the ITAR'' (see 22 CFR parts 120 through 130.)
Related Definitions: Annular Bearing Engineers Committee (ABEC).
Items:

    Note 1:  2A001.a includes ball bearing and roller elements 
``specially designed'' for the items specified therein.


    Note 2:  2A001 does not control balls with tolerances specified 
by the manufacturer in accordance with ISO 3290:2001 as grade G5 (or 
national equivalents) or worse.

    a. Ball bearings and solid roller bearings, having all 
tolerances specified by the manufacturer in accordance with ISO 492 
Tolerance Class 2 or Class 4 (or national equivalents), or better, 
and having both `rings' and `rolling elements', made from monel or 
beryllium;

    Note:  2A001.a does not control tapered roller bearings.


    Technical Notes: 

    1. `Ring'--annular part of a radial rolling bearing 
incorporating one or more raceways (ISO 5593:1997).
    2. `Rolling element'--ball or roller which rolls between 
raceways (ISO 5593:1997).
    b. [Reserved]
    c. Active magnetic bearing systems using any of the following:
    c.1. Materials with flux densities of 2.0 T or greater and yield 
strengths greater than 414 MPa;
    c.2. All-electromagnetic 3D homopolar bias designs for 
actuators; or
    c.3. High temperature (450 K (177 [deg]C) and above) position 
sensors.


0
13. In Supplement No. 1 to part 774, Category 2, ECCN 2B003 is revised 
to read as follows:

2B003 ``Numerically Controlled'' Machine Tools, ``Specially 
Designed'' for the Shaving, Finishing, Grinding or Honing of 
Hardened (Rc = 40 or More) Spur, Helical and Double-
Helical Gears Having all of the Following.

License Requirements

Reason for Control: NS, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1 to part 738)
 
NS applies to entire entry................  NS Column 2
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)

LVS: $5,000
GBS: N/A

List of Items Controlled

Related Controls: See also 2B993
Related Definitions: N/A
Items:

    a. A pitch diameter exceeding 1,250 mm;
    b. A face width of 15% of pitch diameter or larger; and
    c. A finished quality of AGMA 14 or better (equivalent to ISO 
1328 class 3).

0
14. Supplement No. 1 to part 774, Category 2, ECCN 2B006 is revised to 
read as follows:

2B006 Dimensional Inspection or Measuring Systems, Equipment, 
Position Feedback Units and ``Electronic Assemblies'', as Follows 
(See List of Items Controlled).

License Requirements

Reason for Control: NS, NP, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1 to  part 738)
 
NS applies to entire entry................  NS Column 2
NP applies to those items in 2B006.a,       NP Column 1
 .b.1, b.3, and .c (angular displacement
 measuring instruments) that meet or
 exceed the technical parameters in 2B206.
AT applies to entire entry................  AT Column 1
 

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

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: (1) See ECCNs 2D001 and 2D002 for ``software'' for 
items controlled under this entry. (2) See ECCNs 2E001 
(``development''), 2E002 (``production''), and 2E201 (``use'') for 
technology for items controlled under this entry. (3) Also see ECCNs 
2B206 and 2B996.
Related Definitions: N/A
Items:

    a. Computer controlled or ``numerically controlled'' Coordinate 
Measuring Machines (CMM), having a three dimensional length 
(volumetric) maximum permissible error of length measurement 
(E0,MPE) 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) 
according to ISO 10360-2 (2009);

    Technical Note: The E0,MPE of the most accurate 
configuration of the CMM specified by the manufacturer (e.g., best 
of the following: Probe, stylus length, motion parameters, 
environment) and with ``all compensations available'' shall be 
compared to the 1.7 + L/1,000 [mu]m threshold.

    b. Linear displacement measuring instruments or systems, linear 
position feedback units, and ``electronic assemblies'', as follows:

    Note:  Interferometer and optical-encoder measuring systems 
containing a ``laser'' are only specified by 2B006.b.3.

    b.1. `Non-contact type measuring systems' with a `resolution' 
equal to or less (better) than 0.2 [micro]m within 0 to 0.2 mm of 
the 'measuring range';

    Technical Notes: 

    1. For the purposes of 2B006.b.1, `non-contact type measuring 
systems' are designed to measure the distance between the probe and 
measured object along a single vector, where the probe or measured 
object is in motion.
    2. For the purposes of 2B006.b.1, `measuring range' means the 
distance between the minimum and maximum working distance.
    b.2. Linear position feedback units ``specially designed'' for 
machine tools and having an overall ``accuracy'' less (better) than 
(800 + (600 x L/1,000)) nm (L equals effective length in mm);
    b.3. Measuring systems having all of the following:
    b.3.a. Containing a ``laser'';
    b.3.b. A `resolution' over their full scale of 0.200 nm or less 
(better); and
    b.3.c. Capable of achieving a ``measurement uncertainty'' equal 
to or less (better) than (1.6 + L/2,000) nm (L is the measured 
length in mm) at any point within a measuring range, when 
compensated for the refractive index of air and measured over a 
period of 30 seconds at a temperature of 200.01 [deg]C; 
or

    Technical Note:  For the purposes of 2B006.b, `resolution' is 
the least increment of a measuring device; on digital instruments, 
the least significant bit.

    b.4. ``Electronic assemblies'' ``specially designed'' to provide 
feedback capability in systems controlled by 2B006.b.3;
    c. Rotary position feedback units ``specially designed'' for 
machine tools or angular displacement measuring instruments, having 
an angular position ``accuracy'' equal to or less (better) than 0.9 
second of arc;

    Note:  2B006.c does not control optical instruments, such as 
autocollimators, using collimated light (e.g., ``laser'' light) to 
detect angular displacement of a mirror.

    d. Equipment for measuring surface roughness (including surface 
defects), by measuring optical scatter with a sensitivity of 0.5 nm 
or less (better).

    Note: 2B006 includes machine tools, other than those specified 
by 2B001, that can be used as measuring machines, if they meet or 
exceed the criteria specified for the measuring machine function.


0
15. In Supplement No. 1 to part 774, Category 2, under ``Category 2E--
Materials Processing Table; Deposition Techniques,'' the Technical Note 
to Table on Deposition Techniques is revised to read as follows:

[[Page 56305]]

Category 2--Materials Processing

* * * * *

Category 2E--Materials Processing Table; Deposition Techniques

* * * * *

    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.


0
16. In Supplement No. 1 to part 774, the introductory text for Category 
3 is revised to read as follows:

Category 3--Electronics

A. ``End Items,'' ``Equipment,'' ``Accessories,'' ``Attachments,'' 
``Parts,'' ``Components,'' and ``Systems''

    Note 1:  The control status of equipment and ``components'' 
described in 3A001 or 3A002, other than those described in 3A001.a.3 
to 3A001.a.10, or 3A001.a.12 to 3A001.a.14, which are ``specially 
designed'' for or which have the same functional characteristics as 
other equipment is determined by the control status of the other 
equipment.


    Note 2:  The control status of integrated circuits described in 
3A001.a.3 to 3A001.a.9, or 3A001.a.12 to 3A001.a.14 that are 
unalterably programmed or designed for a specific function for other 
equipment is determined by the control status of the other 
equipment.
    N.B.: When the manufacturer or applicant cannot determine the 
control status of the other equipment, the control status of the 
integrated circuits is determined in 3A001.a.3 to 3A001.a.9, or 
3A001.a.12 to 3A001.a.14.


    Note 3: The status of wafers (finished or unfinished), in which 
the function has been determined, is to be evaluated against the 
parameters of 3A001.a, 3A001.b, 3A001.d, 3A001.e.4, 3A001.g, 
3A001.h, or 3A001.i.

* * * * *

0
17. In Supplement No. 1 to part 774, Category 3, ECCN 3A001 is revised 
to read as follows:

3A001 Electronic Items as Follows (See List of Items Controlled).

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

[[Page 56306]]



 
                                              Country chart  (see Supp.
                Control(s)                       No. 1 to part 738)
 
NS applies to ``Monolithic Microwave        NS Column 1
 Integrated Circuit'' (``MMIC'')
 amplifiers in 3A001.b.2 and discrete
 microwave transistors in 3A001.b.3,
 except those 3A001.b.2 and b.3 items
 being exported or reexported for use in
 civil telecommunications applications.
NS applies to entire entry................  NS Column 2
RS applies ``Monolithic Microwave           RS Column 1
 Integrated Circuit'' (``MMIC'')
 amplifiers in 3A001.b.2 and discrete
 microwave transistors in 3A001.b.3,
 except those 3A001.b.2 and b.3 items
 being exported or reexported for use in
 civil telecommunications applications.
MT applies to 3A001.a.1.a when usable in    MT Column 1
 ``missiles''; and to 3A001.a.5.a when
 ``designed or modified'' for military
 use, hermetically sealed and rated for
 operation in the temperature range from
 below-54 [deg]C to above +125 [deg]C.
NP applies to pulse discharge capacitors    NP Column 1
 in in 3A001.e.2 and superconducting
 solenoidal electromagnets in 3A001.e.3
 that meet or exceed the technical
 parameters in 3A201.a and 3A201.b,
 respectively.
AT applies to entire entry................  AT Column 1
 

Reporting Requirements: See Sec.  743.1 of the EAR for reporting 
requirements for exports under 3A001.b.2 or b.3 under License 
Exceptions, and Validated End-User authorizations.

    License Requirements Note: See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and ``technology'' for the ``production'' or 
``development'' of such microprocessors.

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

LVS: N/A for MT or NP; N/A for ``Monolithic Microwave Integrated 
Circuit'' (``MMIC'') amplifiers in 3A001.b.2 and discrete microwave 
transistors in 3A001.b.3, except those that are being exported or 
reexported for use in civil telecommunications applications.

    Yes for:
    $1,500: 3A001.c.
    $3,000: 3A001.b.1, b.2 (exported or reexported for use in civil 
telecommunications applications), b.3 (exported or reexported for 
use in civil telecommunications applications), b.9, .d, .e, .f, and 
.g.
    $5,000: 3A001.a (except a.1.a and a.5.a when controlled for MT), 
.b.4 to b.7, and b.12.

GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled 
for MT), b.2 (exported or reexported for use in civil 
telecommunications applications), b.8 (except for ``vacuum 
electronic devices'' exceeding 18 GHz), b.9., b.10, .g, and .h.

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in 
3A001.b.2 or b.3, except those that are being exported or reexported 
for use in civil telecommunications applications, to any of the 
destinations listed in Country Group A:5 or A:6 (See Supplement No.1 
to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See Category XV of the USML for certain 
``space-qualified'' electronics and Category XI of the USML for 
certain ASICs, `transmit/receive modules,' or `transmit modules' 
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See 
also 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number 
of passive or active elements are considered as indivisibly 
associated on or within a continuous structure to perform the 
function of a circuit. For the purposes of integrated circuits in 
3A001.a.1, 5 x 10\3\ Gy(Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy 
(Si)/s = 5 x 10\8\ Rads (Si)/s.
Items:

    a. General purpose integrated circuits, as follows:

    Note 1: 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;
    --``Three dimensional integrated circuits'';
    --``Monolithic Microwave Integrated Circuits'' (``MMICs'').

    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 10\3\ Gy (Si), or higher;
    a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
    a.1.c. A fluence (integrated flux) of neutrons (1 MeV 
equivalent) of 5 x 10\13\ n/cm\2\ 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, integrated circuits that contain analog-to-
digital converters and store or process the digitized data, digital-
to-analog converters, electro-optical or ``optical integrated 
circuits'' designed for ``signal processing,'' field programmable 
logic devices, 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, Static Random-Access 
Memories (SRAMs), or Magnetic Random Access Memories (MRAMs), 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 designed 
for civil automobile or railway train applications.

    a.3. ``Microprocessor microcircuits'', ``microcomputer 
microcircuits'' and microcontroller microcircuits, manufactured from 
a compound semiconductor and operating at a clock frequency 
exceeding 40 MHz;

    Note: 3A001.a.3 includes digital signal processors, digital 
array processors and digital coprocessors.

    a.4. [Reserved]
    a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog 
Converter (DAC) integrated circuits, as follows:
    a.5.a. ADCs having any of the following:
    a.5.a.1. A resolution of 8 bit or more, but less than 10 bit, 
with an output rate greater than 1.3 Giga Samples Per Second (GSPS);
    a.5.a.2. A resolution of 10 bit or more, but less than 12 bit, 
with an output rate greater than 600 Mega Samples Per Second (MSPS);
    a.5.a.3. A resolution of 12 bit or more, but less than 14 bit, 
with an output rate greater than 400 Mega Samples Per Second (MSPS);
    a.5.a.4. A resolution of 14 bit or more, but less than 16 bit, 
with an output rate greater than 250 Mega Samples Per Second (MSPS); 
or
    a.5.a.5. A resolution of 16 bit or more with an output rate 
greater than 65 Mega Samples Per Second (MSPS);

[[Page 56307]]

    N.B.: For integrated circuits that contain analog-to-digital 
converters and store or process the digitized data see 3A001.a.14.

    Technical Notes: 

    1. A resolution of n bit corresponds to a quantization of 2\n\ 
levels.
    2. The number of bits in the output word is equal to the 
resolution of the ADC.
    3. The output rate is the maximum output rate of the converter, 
regardless of architecture or oversampling.
    4. For `multiple channel ADCs', the outputs are not aggregated 
and the output rate is the maximum output rate of any single 
channel.
    5. For `interleaved ADCs' or for `multiple channel ADCs' that 
are specified to have an interleaved mode of operation, the outputs 
are aggregated and the output rate is the maximum combined total 
output rate of all of the outputs.
    6. Vendors may also refer to the output rate as sampling rate, 
conversion rate or throughput rate. It is often specified in 
megahertz (MHz) mega words per second or Mega Samples Per Second 
(MSPS).
    7. For the purpose of measuring output rate, one sample per 
second is equivalent to one Hertz or one output word per second.
    8. `Multiple channel ADCs' are defined as devices which 
integrate more than one ADC, designed so that each ADC has a 
separate analog input.
    9. `Interleaved ADCs' are defined as devices which have multiple 
ADC units that sample the same analog input at different times such 
that when the outputs are aggregated, the analog input has been 
effectively sampled and converted at a higher sampling rate.
    a.5.b. Digital-to-Analog Converters (DAC) having any of the 
following:
    a.5.b.1. A resolution of 10-bit or more but less than 12-
bit,with an `adjusted update rate' of exceeding 3,500 MSPS; or
    a.5.b.2. A resolution of 12-bit or more and having any of the 
following:
    a.5.b.2.a. An `adjusted update rate' exceeding 1,250 MSPS but 
not exceeding 3,500 MSPS, and having any of the following:
    a.5.b.2.a.1. A settling time less than 9 ns to 0.024% of full 
scale from a full scale step; or
    a.5.b.2.a.2. A `Spurious Free Dynamic Range' (SFDR) greater than 
68 dBc (carrier) when synthesizing a full scale analog signal of 100 
MHz or the highest full scale analog signal frequency specified 
below 100 MHz; or
    a.5.b.2.b. An `adjusted update rate' exceeding 3,500 MSPS;

    Technical Notes: 

    1. `Spurious Free Dynamic Range' (SFDR) is defined as the ratio 
of the RMS value of the carrier frequency (maximum signal component) 
at the input of the DAC to the RMS value of the next largest noise 
or harmonic distortion component at its output.
    2. SFDR is determined directly from the specification table or 
from the characterization plots of SFDR versus frequency.
    3. A signal is defined to be full scale when its amplitude is 
greater than -3 dBfs (full scale).
    4. `Adjusted update rate' for DACs is:
    a. For conventional (non-interpolating) DACs, the `adjusted 
update rate' is the rate at which the digital signal is converted to 
an analog signal and the output analog values are changed by the 
DAC. For DACs where the interpolation mode may be bypassed 
(interpolation factor of one), the DAC should be considered as a 
conventional (non-interpolating) DAC.
    b. For interpolating DACs (oversampling DACs), the `adjusted 
update rate' is defined as the DAC update rate divided by the 
smallest interpolating factor. For interpolating DACs, the `adjusted 
update rate' may be referred to by different terms including:

 Input data rate
 input word rate
 input sample rate
 maximum total input bus rate
 maximum DAC clock rate for DAC clock input

    a.6. Electro-optical and ``optical integrated circuits'', 
designed for ``signal processing'' and 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. A maximum number of single-ended digital input/outputs of 
greater than 700; or
    a.7.b. An `aggregate one-way peak serial transceiver data rate' 
of 500 Gb/s or greater;

    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);
    --Field Programmable Interconnects (FPICs).


    N.B.: For integrated circuits having field programmable logic 
devices that are combined with an analog-to-digital converter, see 
3A001.a.14.

    Technical Notes: 

    1. Maximum number of digital input/outputs in 3A001.a.7.a is 
also referred to as maximum user input/outputs or maximum available 
input/outputs, whether the integrated circuit is packaged or bare 
die.
    2. `Aggregate one-way peak serial transceiver data rate' is the 
product of the peak serial one-way transceiver data rate times the 
number of transceivers on the FPGA.
    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 1,500 terminals;
    a.10.b. A typical ``basic gate propagation delay time'' of less 
than 0.02 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 [micro]s.

    a.13. Direct Digital Synthesizer (DDS) integrated circuits 
having any of the following:
    a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of 
3.5 GHz or more and a DAC resolution of 10 bit or more, but less 
than 12 bit; or
    a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC 
resolution of 12 bit or more;

    Technical Note:  The DAC clock frequency may be specified as the 
master clock frequency or the input clock frequency.

    a.14. Integrated circuits that perform all of the following:
    a.14.a. Analog-to-digital conversions meeting any of the 
following:
    a.14.a.1. A resolution of 8 bit or more, but less than 10 bit, 
with an input sample rate greater than 1.3 Giga Samples Per Second 
(GSPS);
    a.14.a.2. A resolution of 10 bit or more, but less than 12 bit, 
with an input sample rate greater than 1.0 Giga Samples Per Second 
(GSPS);
    a.14.a.3. A resolution of 12 bit or more, but less than 14 bit, 
with an input sample rate greater than 1.0 Giga Samples Per Second 
(GSPS);
    a.14.a.4. A resolution of 14 bit or more, but less than 16 bit, 
with an input sample rate greater than 400 Mega Samples Per Second 
(MSPS); or
    a.14.a.5. A resolution of 16 bit or more with an input sample 
rate greater than 180 Mega Samples Per Second (MSPS); and
    a.14.b. Any of the following:
    a.14.b.1. Storage of digitized data; or
    a.14.b.2. Processing of digitized data;
    N.B. 1: For analog-to-digital converter integrated circuits see 
3A001.a.5.a.
    N.B. 2: For field programmable logic devices see 3A001.a.7.
    b. Microwave or millimeter wave items, as follows:

    Technical Note:  For purposes of 3A001.b, the parameter peak 
saturated power output may also be referred to on product data 
sheets as output power, saturated power output, maximum power 
output, peak power output, or peak envelope power output.

    b.1. ``Vacuum electronic devices'' and cathodes, as follows:

    Note 1:  3A001.b.1 does not control ``vacuum electronic 
devices'' designed or rated for operation in any frequency band and 
having all of the following:

    a. Does not exceed 31.8 GHz; and

[[Page 56308]]

    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'' 
``vacuum electronic devices'' having all the following:
    a. An average output power equal to or less than 50 W; and
    b. Designed or rated for operation in any frequency band and 
having all of the following:
    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 ``vacuum electronic devices,'' pulsed or 
continuous wave, as follows:
    b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
    b.1.a.2. Devices having a cathode heater with a turn on time to 
rated RF power of less than 3 seconds;
    b.1.a.3. Coupled cavity devices, or derivatives thereof, with a 
``fractional bandwidth'' of more than 7% or a peak power exceeding 
2.5 kW;
    b.1.a.4. Devices based on helix, folded waveguide, or serpentine 
waveguide circuits, or derivatives thereof, having any of the 
following:
    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;
    b.1.a.4.c. Being ``space-qualified''; or
    b.1.a.4.d. Having a gridded electron gun;
    b.1.a.5. Devices with a ``fractional bandwidth'' greater than or 
equal to 10%, with any of the following:
    b.1.a.5.a. An annular electron beam;
    b.1.a.5.b. A non-axisymmetric electron beam; or
    b.1.a.5.c. Multiple electron beams;
    b.1.b. Crossed-field amplifier ``vacuum electronic devices'' 
with a gain of more than 17 dB;
    b.1.c. Thermionic cathodes, designed for ``vacuum electronic 
devices,'' producing an emission current density at rated operating 
conditions exceeding 5 A/cm\2\ or a pulsed (non-continuous) current 
density at rated operating conditions exceeding 10 A/cm\2\;
    b.1.d. ``Vacuum electronic devices'' with the capability to 
operate in a `dual mode.'

    Technical Note: `Dual mode' means the ``vacuum electronic 
device'' beam current can be intentionally changed between 
continuous-wave and pulsed mode operation by use of a grid and 
produces a peak pulse output power greater than the continuous-wave 
output power.

    b.2. ``Monolithic Microwave Integrated Circuit'' (``MMIC'') 
amplifiers that are any of the following:
    N.B.: For ``MMIC'' amplifiers that have an integrated phase 
shifter see 3A001.b.12.
    b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up 
to and including 6.8 GHz with a ``fractional bandwidth'' greater 
than 15%, and having any of the following:
    b.2.a.1. A peak saturated power output greater than 75 W (48.75 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    b.2.a.2. A peak saturated power output greater than 55 W (47.4 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    b.2.a.3. A peak saturated power output greater than 40 W (46 
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; 
or
    b.2.a.4. A peak saturated power output greater than 20 W (43 
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up 
to and including 16 GHz with a ``fractional bandwidth'' greater than 
10%, and having any of the following:
    b.2.b.1. A peak saturated power output greater than 10 W (40 
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; 
or
    b.2.b.2. A peak saturated power output greater than 5 W (37 dBm) 
at any frequency exceeding 8.5 GHz up to and including 16 GHz;
    b.2.c. Rated for operation with a peak saturated power output 
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to 
and including 31.8 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    b.2.d. Rated for operation with a peak saturated power output 
greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up 
to and including 37 GHz;
    b.2.e. Rated for operation with a peak saturated power output 
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to 
and including 43.5 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    b.2.f. Rated for operation with a peak saturated power output 
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz 
up to and including 75 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    b.2.g. Rated for operation with a peak saturated power output 
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to 
and including 90 GHz, and with a ``fractional bandwidth'' of greater 
than 5%; or
    b.2.h. Rated for operation with a peak saturated power output 
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;

    Note 1:  [Reserved]


    Note 2:  The control status of the ``MMIC'' whose rated 
operating frequency includes frequencies listed in more than one 
frequency range, as defined by 3A001.b.2.a through 3A001.b.2.h, is 
determined by the lowest peak saturated power output control 
threshold.


    Note 3:  Notes 1 and 2 following the Category 3 heading for 
product group 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. Discrete microwave transistors that are any of the 
following:
    b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up 
to and including 6.8 GHz and having any of the following:
    b.3.a.1. A peak saturated power output greater than 400 W (56 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    b.3.a.2. A peak saturated power output greater than 205 W (53.12 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    b.3.a.3. A peak saturated power output greater than 115 W (50.61 
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; 
or
    b.3.a.4. A peak saturated power output greater than 60 W (47.78 
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up 
to and including 31.8 GHz and having any of the following:
    b.3.b.1. A peak saturated power output greater than 50 W (47 
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
    b.3.b.2. A peak saturated power output greater than 15 W (41.76 
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
    b.3.b.3. A peak saturated power output greater than 40 W (46 
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; 
or
    b.3.b.4. A peak saturated power output greater than 7 W (38.45 
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
    b.3.c. Rated for operation with a peak saturated power output 
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up 
to and including 37 GHz;
    b.3.d. Rated for operation with a peak saturated power output 
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to 
and including 43.5 GHz;
    b.3.e. Rated for operation with a peak saturated power output 
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz; 
or
    b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e 
and rated for operation with a peak saturated power output greater 
than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and 
including 31.8 GHz;

    Note 1:  The control status of a transistor in 3A001.b.3.a 
through 3A001.b.3.e, whose rated operating frequency includes 
frequencies listed in more than one frequency range, as defined by 
3A001.b.3.a through 3A001.b.3.e, is determined by the lowest peak 
saturated power output control threshold.


    Note 2:  3A001.b.3 includes bare dice, dice mounted on carriers, 
or dice mounted in packages. Some discrete transistors may also be 
referred to as power amplifiers, but the status of these discrete 
transistors is determined by 3A001.b.3.

    b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of 
the following:
    b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up 
to and including 6.8

[[Page 56309]]

GHz with a ``fractional bandwidth'' greater than 15%, and having any 
of the following:
    b.4.a.1. A peak saturated power output greater than 500 W (57 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    b.4.a.2. A peak saturated power output greater than 270 W (54.3 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    b.4.a.3. A peak saturated power output greater than 200 W (53 
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; 
or
    b.4.a.4. A peak saturated power output greater than 90 W (49.54 
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up 
to and including 31.8 GHz with a ``fractional bandwidth'' greater 
than 10%, and having any of the following:
    b.4.b.1. A peak saturated power output greater than 70 W (48.54 
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
    b.4.b.2. A peak saturated power output greater than 50 W (47 
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
    b.4.b.3. A peak saturated power output greater than 30 W (44.77 
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; 
or
    b.4.b.4. A peak saturated power output greater than 20 W (43 
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
    b.4.c. Rated for operation with a peak saturated power output 
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up 
to and including 37 GHz;
    b.4.d. Rated for operation with a peak saturated power output 
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to 
and including 43.5 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and 
having any of the following:
    b.4.e.1. A peak saturated power output greater than 0.2 W (23 
dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz, 
and with a ``fractional bandwidth'' of greater than 10%;
    b.4.e.2. A peak saturated power output greater than 20 mW (13 
dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, 
and with a ``fractional bandwidth'' of greater than 5%; or
    b.4.e.3. A peak saturated power output greater than 0.1 nW (-70 
dBm) at any frequency exceeding 90 GHz; or
    b.4.f. [Reserved]
    N.B.:
    1. For ``MMIC'' amplifiers see 3A001.b.2.
    2. For `transmit/receive modules' and `transmit modules' see 
3A001.b.12.

    Note 1:  [Reserved]


    Note 2:  The control status of an item whose rated operating 
frequency includes frequencies listed in more than one frequency 
range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined 
by the lowest peak saturated power output 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 and 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. Converters and harmonic mixers, that are any of the 
following:
    b.7.a. Designed to extend the frequency range of ``signal 
analyzers'' beyond 90 GHz;
    b.7.b. Designed to extend the operating range of signal 
generators as follows:
    b.7.b.1. Beyond 90 GHz;
    b.7.b.2. To an output power greater than 100 mW (20 dBm) 
anywhere within the frequency range exceeding 43.5 GHz but not 
exceeding 90 GHz;
    b.7.c. Designed to extend the operating range of network 
analyzers as follows:
    b.7.c.1. Beyond 110 GHz;
    b.7.c.2. To an output power greater than 31.62 mW (15 dBm) 
anywhere within the frequency range exceeding 43.5 GHz but not 
exceeding 90 GHz;
    b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere 
within the frequency range exceeding 90 GHz but not exceeding 110 
GHz; or
    b.7.d. Designed to extend the frequency range of microwave test 
receivers beyond 110 GHz;
    b.8. Microwave power amplifiers containing ``vacuum electronic 
devices'' controlled by 3A001.b.1 and having all of the following:
    b.8.a. Operating frequencies above 3 GHz;
    b.8.b. An average output power to mass ratio 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.

    b.9. Microwave Power Modules (MPM) consisting of, at least, a 
traveling-wave ``vacuum electronic device,'' a ``Monolithic 
Microwave Integrated Circuit'' (``MMIC'') and an integrated 
electronic power conditioner and having all of the following:
    b.9.a. A `turn-on time' from off to fully operational in less 
than 10 seconds;
    b.9.b. A volume less than the maximum rated power in Watts 
multiplied by 10 cm\3\/W; and
    b.9.c. An ``instantaneous bandwidth'' greater than 1 octave 
(fmax. > 2fmin,) and having any of the 
following:
    b.9.c.1. For frequencies equal to or less than 18 GHz, an RF 
output power greater than 100 W; or
    b.9.c.2. A frequency greater than 18 GHz;

    Technical Notes: 

    1. To calculate the volume in 3A001.b.9.b., the following 
example is provided: For a maximum rated power of 20 W, the volume 
would be: 20 W x 10 cm\3\/W = 200 cm\3\.
    2. The `turn-on time' in 3A001.b.9.a. refers to the time from 
fully-off to fully operational, i.e., it includes the warm-up time 
of the MPM.
    b.10. Oscillators or oscillator assemblies, specified to operate 
with a single sideband (SSB) phase noise, in dBc/Hz, less (better) 
than -(126 + 20log10F-20log10f) anywhere 
within the range of 10 Hz <= F <= 10 kHz;

    Technical Note:  In 3A001.b.10, F is the offset from the 
operating frequency in Hz and f is the operating frequency in MHz.

    b.11. ``Frequency synthesizer'' ``electronic assemblies'' having 
a ``frequency switching time'' as specified by any of the following:
    b.11.a. Less than 143 ps;
    b.11.b. Less than 100 [mu]s for any frequency change exceeding 
2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but 
not exceeding 31.8 GHz;
    b.11.c. [Reserved]
    b.11.d. Less than 500 [micro]s for any frequency change 
exceeding 550 MHz within the synthesized frequency range exceeding 
31.8 GHz but not exceeding 37 GHz; or
    b.11.e. Less than 100 [micro]s for any frequency change 
exceeding 2.2 GHz within the synthesized frequency range exceeding 
37 GHz but not exceeding 90 GHz; or
    b.11.f. [Reserved]
    b.11.g. Less than 1 ms within the synthesized frequency range 
exceeding 90 GHz;
    N.B.: For general purpose ``signal analyzers'', signal 
generators, network analyzers and microwave test receivers, see 
3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.
    b.12. `Transmit/receive modules,' `transmit/receive MMICs,' 
`transmit modules,' and `transmit MMICs,' rated for operation at 
frequencies above 2.7 GHz and having all of the following:
    b.12.a. A peak saturated power output (in watts), 
Psat, greater than 505.62 divided by the maximum 
operating frequency (in GHz) squared [Psat>505.62 
W*GHz\2\/fGHz\2\] for any channel;
    b.12.b. A ``fractional bandwidth'' of 5% or greater for any 
channel;
    b.12.c. Any planar side with length d (in cm) equal to or less 
than 15 divided by the lowest operating frequency in GHz [d <= 
15cm*GHz*N/fGHz] where N is the number of transmit or 
transmit/receive channels; and
    b.12.d. An electronically variable phase shifter per channel.

    Technical Notes: 

    1. A `transmit/receive module' is a multifunction ``electronic 
assembly'' that provides bi-directional amplitude and phase control 
for transmission and reception of signals.
    2. A `transmit module' is an ``electronic assembly'' that 
provides amplitude and phase control for transmission of signals.
    3. A `transmit/receive MMIC' is a multifunction ``MMIC'' that 
provides bi-directional amplitude and phase control for transmission 
and reception of signals.
    4. A `transmit MMIC' is a ``MMIC'' that provides amplitude and 
phase control for transmission of signals.
    5. 2.7 GHz should be used as the lowest operating frequency 
(fGHz) in the formula in 3A001.b.4.12.c for transmit/
receive or transmit modules that have a rated operation range 
extending downward to 2.7 GHz and below [d<=15cm*GHz*N/2.7 GHz].

[[Page 56310]]

    6. 3A001.b.12 applies to `transmit/receive modules' or `transmit 
modules' with or without a heat sink. The value of d in 3A001.b.12.c 
does not include any portion of the `transmit/receive module' or 
`transmit module' that functions as a heat sink.
    7. `Transmit/receive modules' or `transmit modules,' `transmit/
receive MMICs' or `transmit MMICs' may or may not have N integrated 
radiating antenna elements where N is the number of transmit or 
transmit/receive channels.
    c. Acoustic wave devices as follows and ``specially designed'' 
``components'' therefor:
    c.1. Surface acoustic wave and surface skimming (shallow bulk) 
acoustic wave devices, having any of the following:
    c.1.a. A carrier frequency exceeding 6 GHz;
    c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6 
GHz and having any of the following:
    c.1.b.1. A `frequency side-lobe rejection' exceeding 65 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 [micro]s; or
    c.1.c. A carrier frequency of 1 GHz or less and having any of 
the following:
    c.1.c.1. A product of the maximum delay time and the bandwidth 
(time in [micro]s and bandwidth in MHz) of more than 100;
    c.1.c.2. A dispersive delay of more than 10 [micro]s; or
    c.1.c.3. A `frequency side-lobe rejection' exceeding 65 dB and a 
bandwidth greater than 100 MHz;

    Technical Note:  `Frequency side-lobe rejection' is the maximum 
rejection value specified in data sheet.

    c.2. Bulk (volume) acoustic wave devices that permit the direct 
processing of signals at frequencies exceeding 6 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;

    Note:  3A001.c does not control acoustic wave devices that are 
limited to a single band pass, low pass, high pass or notch 
filtering, or resonating function.

    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 and having 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. `Cells' as follows:
    e.1.a. `Primary cells' having an `energy density' exceeding 550 
Wh/kg at 293 K (20 [deg]C);
    e.1.b. `Secondary cells' having an `energy density' exceeding 
350 Wh/kg at 293 K (20 [deg]C);

    Technical Notes: 

    1. For the purpose of 3A001.e.1, `energy density' (Wh/kg) is 
calculated from the nominal voltage multiplied by the nominal 
capacity in ampere-hours (Ah) divided by the mass in kilograms. If 
the nominal capacity is not stated, energy density is calculated 
from the nominal voltage squared then multiplied by the discharge 
duration in hours divided by the discharge load in Ohms and the mass 
in kilograms.
    2. For the purpose of 3A001.e.1, a `cell' is defined as an 
electrochemical device, which has positive and negative electrodes, 
an electrolyte, and is a source of electrical energy. It is the 
basic building block of a battery.
    3. For the purpose of 3A001.e.1.a, a `primary cell' is a `cell' 
that is not designed to be charged by any other source.
    4. For the purpose of 3A001.e.1.b, a `secondary cell' is a 
`cell' that is designed to be charged by an external electrical 
source.

    Note:  3A001.e does not control batteries, including single-cell 
batteries.

    e.2. High energy storage capacitors as follows:
    e.2.a. Capacitors with a repetition rate of less than 10 Hz 
(single shot capacitors) and 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) and 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 and 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\;
    e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies, 
solar panels, and solar arrays, which are ``space-qualified,'' 
having a minimum average efficiency exceeding 20% at an operating 
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination 
with an irradiance of 1,367 Watts per square meter (W/m\2\);

    Technical Note: `AM0', or `Air Mass Zero', refers to the 
spectral irradiance of sun light in the earth's outer atmosphere 
when the distance between the earth and sun is one astronomical unit 
(AU).

    f. Rotary input type absolute position encoders having an 
``accuracy'' equal to or less (better) than  1.0 second 
of arc and ``specially designed'' encoder rings, discs or scales 
therefor;
    g. Solid-state pulsed power switching thyristor devices and 
`thyristor modules', using either electrically, optically, or 
electron radiation controlled switch methods and having any of the 
following:
    g.1. A maximum turn-on current rate of rise (di/dt) greater than 
30,000 A/[micro]s and off-state voltage greater than 1,100 V; or
    g.2. A maximum turn-on current rate of rise (di/dt) greater than 
2,000 A/[micro]s and having all of the following:
    g.2.a. An off-state peak voltage equal to or greater than 3,000 
V; and
    g.2.b. A peak (surge) current equal to or greater than 3,000 A;

    Note 1:  3A001.g. includes:
    --Silicon Controlled Rectifiers (SCRs);
    --Electrical Triggering Thyristors (ETTs);
    --Light Triggering Thyristors (LTTs);
    --Integrated Gate Commutated Thyristors (IGCTs);
    --Gate Turn-off Thyristors (GTOs);
    --MOS Controlled Thyristors (MCTs);
    --Solidtrons.


    Note 2: 3A001.g. does not control thyristor devices and 
`thyristor modules' incorporated into equipment designed for civil 
railway or ``civil aircraft'' applications.


    Technical Note: For the purposes of 3A001.g, a `thyristor 
module' contains one or more thyristor devices.

    h. Solid-state power semiconductor switches, diodes, or 
`modules', having all of the following:
    h.1. Rated for a maximum operating junction temperature greater 
than 488 K (215 [deg]C);
    h.2. Repetitive peak off-state voltage (blocking voltage) 
exceeding 300 V; and
    h.3. Continuous current greater than 1 A.

    Technical Note: For the purposes of 3A001.h, `modules' contain 
one or more solid-state power semiconductor switches or diodes.


    Note 1: Repetitive peak off-state voltage in 3A001.h includes 
drain to source voltage, collector to emitter voltage, repetitive 
peak reverse voltage and peak repetitive off-state blocking voltage.


    Note 2: 3A001.h. includes:
    --Junction Field Effect Transistors (JFETs);
    --Vertical Junction Field Effect Transistors (VJFETs);
    --Metal Oxide Semiconductor Field Effect Transistors (MOSFETs);
    --Double Diffused Metal Oxide Semiconductor Field Effect 
Transistor (DMOSFET);
    --Insulated Gate Bipolar Transistor (IGBT);
    --High Electron Mobility Transistors (HEMTs);
    --Bipolar Junction Transistors (BJTs);
    --Thyristors and Silicon Controlled Rectifiers (SCRs);

[[Page 56311]]

    --Gate Turn-Off Thyristors (GTOs);
    --Emitter Turn-Off Thyristors (ETOs);
    --PiN Diodes;
    --Schottky Diodes.



    Note 3: 3A001.h does not apply to switches, diodes, or 
`modules', incorporated into equipment designed for civil 
automobile, civil railway, or ``civil aircraft'' applications.


0
18. In Supplement No. 1 to part 774, Category 3, ECCN 3A002 is revised 
to read as follows:

3A002 General Purpose ``Electronic Assemblies,'' Modules and 
Equipment, as Follows (See List of Items Controlled).

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 2
MT applies to 3A002.h when the parameters   MT Column 1
 in 3A101.a.2.b are met or exceeded.
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)

LVS: $3,000: 3A002.a, .e, .f, and .g $5,000: 3A002.c to .d, and .h 
(unless controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for MT)

Special Conditions for STA

STA: License Exception STA may not be used to ship any item in 
3A002.g.1 to any of the destinations listed in Country Group A:6 
(See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: See Category XV(e)(9) of the USML for certain 
``space-qualified'' atomic frequency standards ``subject to the 
ITAR'' (see 22 CFR parts 120 through 130). See also 3A101, 3A992 and 
9A515.x.
Related Definitions: Constant percentage bandwidth filters are also 
known as octave or fractional octave filters.
Items:
    a. Recording equipment and oscilloscopes, as follows:
    a.1. to a.5. [Reserved]
    N.B.: For waveform digitizers and transient recorders, see 
3A002.h.
    a.6. Digital data recorders having all of the following:
    a.6.a. A sustained `continuous throughput' of more than 6.4 
Gbit/s to disk or solid-state drive memory; and
    a.6.b. ``Signal processing'' of the radio frequency signal data 
while it is being recorded;

    Technical Notes: 

    1. For recorders with a parallel bus architecture, the 
`continuous throughput' rate is the highest word rate multiplied by 
the number of bits in a word.
    2. `Continuous throughput' is the fastest data rate the 
instrument can record to disk or solid-state drive memory without 
the loss of any information while sustaining the input digital data 
rate or digitizer conversion rate.
    a.7. Real-time oscilloscopes having a vertical root-mean-square 
(rms) noise voltage of less than 2% of full-scale at the vertical 
scale setting that provides the lowest noise value for any input 3dB 
bandwidth of 60 GHz or greater per channel;

    Note:  3A002.a.7 does not apply to equivalent-time sampling 
oscilloscopes.

    b. [Reserved]
    c. ``Signal analyzers'' as follows:
    c.1. ``Signal analyzers'' having a 3 dB resolution bandwidth 
(RBW) exceeding 10 MHz anywhere within the frequency range exceeding 
31.8 GHz but not exceeding 37 GHz;
    c.2. ``Signal analyzers'' having Displayed Average Noise Level 
(DANL) less (better) than -150 dBm/Hz anywhere within the frequency 
range exceeding 43.5 GHz but not exceeding 90 GHz;
    c.3. ``Signal analyzers'' having a frequency exceeding 90 GHz;
    c.4. ``Signal analyzers'' having all of the following:
    c.4.a. ``Real-time bandwidth'' exceeding 170 MHz; and
    c.4.b. Having any of the following:
    c.4.b.1. 100% probability of discovery, with less than a 3 dB 
reduction from full amplitude due to gaps or windowing effects, of 
signals having a duration of 15 [mu]s or less; or
    c.4.b.2. A ``frequency mask trigger'' function, with 100% 
probability of trigger (capture) for signals having a duration of 15 
[mu]s or less;

    Technical Notes: 

    1. Probability of discovery in 3A002.c.4.b.1 is also referred to 
as probability of intercept or probability of capture.
    2. For the purposes of 3A002.c.4.b.1, the duration for 100% 
probability of discovery is equivalent to the minimum signal 
duration necessary for the specified level measurement uncertainty.

    Note: 3A002.c.4 does not apply to those ``signal analyzers'' 
using only constant percentage bandwidth filters (also known as 
octave or fractional octave filters).

    c.5. [Reserved]
    d. Signal generators having any of the following:
    d.1. Specified to generate pulse-modulated signals having all of 
the following, anywhere within the frequency range exceeding 31.8 
GHz but not exceeding 37 GHz:
    d.1.a. `Pulse duration' of less than 25 ns; and
    d.1.b. On/off ratio equal to or exceeding 65 dB;
    d.2. An output power exceeding 100 mW (20 dBm) anywhere within 
the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
    d.3. A ``frequency switching time'' as specified by any of the 
following:
    d.3.a. [Reserved]
    d.3.b. Less than 100 [mu]s for any frequency change exceeding 
2.2 GHz within the frequency range exceeding 4.8 GHz but not 
exceeding 31.8 GHz;
    d.3.c. [Reserved]
    d.3.d. Less than 500 [mu]s for any frequency change exceeding 
550 MHz within the frequency range exceeding 31.8 GHz but not 
exceeding 37 GHz; or
    d.3.e. Less than 100 [mu]s for any frequency change exceeding 
2.2 GHz within the frequency range exceeding 37 GHz but not 
exceeding 90 GHz;
    d.3.f. [Reserved]
    d.4. Single sideband (SSB) phase noise, in dBc/Hz, specified as 
being any of the following:
    d.4.a. Less (better) than -(126 + 20 log10 F-
20log10f) for anywhere within the range of 10 Hz <= F <= 
10 kHz anywhere within the frequency range exceeding 3.2 GHz but not 
exceeding 90 GHz; or
    d.4.b. Less (better) than -(206-20log10f) for 
anywhere within the range of 10 kHz < F <= 100 kHz anywhere within 
the frequency range exceeding 3.2 GHz but not exceeding 90 GHz;

    Technical Note: In 3A002.d.4, F is the offset from the operating 
frequency in Hz and f is the operating frequency in MHz.

    d.5. An `RF modulation bandwidth' of digital baseband signals as 
specified by any of the following:
    d.5.a. Exceeding 2.2 GHz within the frequency range exceeding 
4.8 GHz but not exceeding 31.8 GHz;
    d.5.b. Exceeding 550 MHz within the frequency range exceeding 
31.8 GHz but not exceeding 37 GHz; or
    d.5.c. Exceeding 2.2 GHz within the frequency range exceeding 37 
GHz but not exceeding 90 GHz; or

    Technical Note: `RF modulation bandwidth' is the Radio Frequency 
(RF) bandwidth occupied by a digitally encoded baseband signal 
modulated onto an RF signal. It is also referred to as information 
bandwidth or vector modulation bandwidth. I/Q digital modulation is 
the technical method for producing a vector-modulated RF output 
signal, and that output signal is typically specified as having an 
`RF modulation bandwidth'.

    d.6. A maximum frequency exceeding 90 GHz; Note 1: For the 
purpose of 3A002.d, signal generators include arbitrary waveform and 
function generators.

    Note 2: 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.


    Technical Notes: 

    1. The maximum frequency of an arbitrary waveform or function 
generator is calculated by dividing the sample rate, in samples/
second, by a factor of 2.5.
    2. For the purposes of 3A002.d.1.a, `pulse duration' is defined 
as the time interval from the point on the leading edge that is 50% 
of

[[Page 56312]]

the pulse amplitude to the point on the trailing edge that is 50% of 
the pulse amplitude.
    e. Network analyzers having any of the following:
    e.1. An output power exceeding 31.62 mW (15 dBm) anywhere within 
the operating frequency range exceeding 43.5 GHz but not exceeding 
90 GHz;
    e.2. An output power exceeding 1 mW (0 dBm) anywhere within the 
operating frequency range exceeding 90 GHz but not exceeding 110 
GHz;
    e.3. `Nonlinear vector measurement functionality' at frequencies 
exceeding 50 GHz but not exceeding 110 GHz; or

    Technical Note: `Nonlinear vector measurement functionality' is 
an instrument's ability to analyze the test results of devices 
driven into the large-signal domain or the non-linear distortion 
range.

    e.4. A maximum operating frequency exceeding 110 GHz;
    f. Microwave test receivers having all of the following:
    f.1. Maximum operating frequency exceeding 110 GHz; and
    f.2. Being capable of measuring amplitude and phase 
simultaneously;
    g. Atomic frequency standards being any of the following:
    g.1. ``Space-qualified'';
    g.2. Non-rubidium and having a long-term stability less (better) 
than 1 x 10-\11\/month; or
    g.3. Non-''space-qualified'' and having all of the following:
    g.3.a. Being a rubidium standard;
    g.3.b. Long-term stability less (better) than 1 x 
10-\11\/month; and
    g.3.c. Total power consumption of less than 1 Watt.
    h. ``Electronic assemblies,'' modules or equipment, specified to 
perform all of the following:
    h.1. Analog-to-digital conversions meeting any of the following:
    h.1.a. A resolution of 8 bit or more, but less than 10 bit, with 
an input sample rate greater than 1.3 billion samples per second;
    h.1.b. A resolution of 10 bit or more, but less than 12 bit, 
with an input sample rate greater than 1.0 billion samples per 
second;
    h.1.c. A resolution of 12 bit or more, but less than 14 bit, 
with an input sample rate greater than 1.0 billion samples per 
second;
    h.1.d. A resolution of 14 bit or more but less than 16 bit, with 
an input sample rate greater than 400 million samples per second; or
    h.1.e. A resolution of 16 bit or more with an input sample rate 
greater than 180 million samples per second; and
    h.2. Any of the following:
    h.2.a. Output of digitized data;
    h.2.b. Storage of digitized data; or
    h.2.c. Processing of digitized data;
    N.B.: Digital data recorders, oscilloscopes, ``signal 
analyzers,'' signal generators, network analyzers and microwave test 
receivers, are specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d, 
3A002.e and 3A002.f, respectively.

    Technical Note:  For multiple-channel ``electronic assemblies'' 
or modules, control status is determined by the highest single-
channel specified performance.


    Note:  3A002.h includes ADC cards, waveform digitizers, data 
acquisition cards, signal acquisition boards and transient 
recorders.


0
19. In Supplement No. 1, Category 3, ECCN 3A991 is revised to read as 
follows:

3A991 Electronic Devices, and ``Components'' not Controlled by 
3A001.

License Requirements

Reason for Control: AT

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


    License Requirements Note: See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and ``technology'' for the ``production'' or 
``development'' of such microprocessors.

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

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

    a. ``Microprocessor microcircuits'', ``microcomputer 
microcircuits'', and microcontroller microcircuits having any of the 
following:
    a.1. A performance speed of 5 GFLOPS or more and an arithmetic 
logic unit with an access width of 32 bit or more;
    a.2. A clock frequency rate exceeding 25 MHz; or
    a.3. More than one data or instruction bus or serial 
communication port that provides a direct external interconnection 
between parallel ``microprocessor microcircuits'' with a transfer 
rate of 2.5 Mbyte/s;
    b. Storage integrated circuits, as follows:
    b.1. Electrical erasable programmable read-only memories 
(EEPROMs) with a storage capacity;
    b.1.a. Exceeding 16 Mbits per package for flash memory types; or
    b.1.b. Exceeding either of the following limits for all other 
EEPROM types:
    b.1.b.1. Exceeding 1 Mbit per package; or
    b.1.b.2. Exceeding 256 kbit per package and a maximum access 
time of less than 80 ns;
    b.2. Static random access memories (SRAMs) with a storage 
capacity:
    b.2.a. Exceeding 1 Mbit per package; or
    b.2.b. Exceeding 256 kbit per package and a maximum access time 
of less than 25 ns;
    c. Analog-to-digital converters having any of the following:
    c.1. A resolution of 8 bit or more, but less than 12 bit, with 
an output rate greater than 200 million words per second;
    c.2. A resolution of 12 bit with an output rate greater than 105 
million words per second;
    c.3. A resolution of more than 12 bit but equal to or less than 
14 bit with an output rate greater than 10 million words per second; 
or
    c.4. A resolution of more than 14 bit with an output rate 
greater than 2.5 million words per second;
    d. Field programmable logic devices having a maximum number of 
single-ended digital input/outputs between 200 and 700;
    e. Fast Fourier Transform (FFT) processors having a rated 
execution time for a 1,024 point complex FFT of less than 1 ms;
    f. Custom integrated circuits for which either 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:
    f.1. More than 144 terminals; or
    f.2. A typical ``basic propagation delay time'' of less than 0.4 
ns;
    g. Traveling-wave ``vacuum electronic devices,'' pulsed or 
continuous wave, as follows:
    g.1. Coupled cavity devices, or derivatives thereof;
    g.2. Helix devices based on helix, folded waveguide, or 
serpentine waveguide circuits, or derivatives thereof, with any of 
the following:
    g.2.a. An ``instantaneous bandwidth'' of half an octave or more; 
and
    g.2.b. The product of the rated average output power (expressed 
in kW) and the maximum operating frequency (expressed in GHz) of 
more than 0.2;
    g.2.c. An ``instantaneous bandwidth'' of less than half an 
octave; and
    g.2.d. The product of the rated average output power (expressed 
in kW) and the maximum operating frequency (expressed in GHz) of 
more than 0.4;
    h. Flexible waveguides designed for use at frequencies exceeding 
40 GHz;
    i. Surface acoustic wave and surface skimming (shallow bulk) 
acoustic wave devices (i.e., ``signal processing'' devices employing 
elastic waves in materials), having either of the following:
    i.1. A carrier frequency exceeding 1 GHz; or
    i.2. A carrier frequency of 1 GHz or less; and
    i.2.a. A frequency side-lobe rejection exceeding 55 Db;
    i.2.b. A product of the maximum delay time and bandwidth (time 
in microseconds and bandwidth in MHz) of more than 100; or
    i.2.c. A dispersive delay of more than 10 microseconds;
    j. Cells as follows:
    j.1. Primary cells having an energy density of 550 Wh/kg or less 
at 293 K (20 [deg]C);
    j.2. Secondary cells having an energy density of 300 Wh/kg or 
less at 293 K (20 [deg]C);

    Note: 3A991.j. does not control batteries, including single cell 
batteries.


    Technical Notes: 


[[Page 56313]]


    1. For the purpose of 3A991.j energy density (Wh/kg) is 
calculated from the nominal voltage multiplied by the nominal 
capacity in ampere-hours divided by the mass in kilograms. If the 
nominal capacity is not stated, energy density is calculated from 
the nominal voltage squared then multiplied by the discharge 
duration in hours divided by the discharge load in Ohms and the mass 
in kilograms.
    2. For the purpose of 3A991.j, a `cell' is defined as an 
electrochemical device, which has positive and negative electrodes, 
and electrolyte, and is a source of electrical energy. It is the 
basic building block of a battery.
    3. For the purpose of 3A991.j.1, a `primary cell' is a `cell' 
that is not designed to be charged by any other source.
    4. For the purpose of 3A991.j.2., a `secondary cell' is a `cell' 
that is designed to be charged by an external electrical source.
    k. ``Superconductive'' electromagnets or solenoids ``specially 
designed'' to be fully charged or discharged in less than one 
minute, having all of the following:

    Note: 3A991.k does not control ``superconductive'' 
electromagnets or solenoids designed for Magnetic Resonance Imaging 
(MRI) medical equipment.

    k.1. Maximum energy delivered during the discharge divided by 
the duration of the discharge of more than 500 kJ per minute;
    k.2. Inner diameter of the current carrying windings of more 
than 250 mm; and
    k.3. Rated for a magnetic induction of more than 8T or ``overall 
current density'' in the winding of more than 300 A/mm\2\;
    l. Circuits or systems for electromagnetic energy storage, 
containing ``components'' manufactured from ``superconductive'' 
materials ``specially designed'' for operation at temperatures below 
the ``critical temperature'' of at least one of their 
``superconductive'' constituents, having all of the following:
    l.1. Resonant operating frequencies exceeding 1 MHz;
    l.2. A stored energy density of 1 MJ/M\3\ or more; and
    l.3. A discharge time of less than 1 ms;
    m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal 
construction and rate for a peak current of 500 A or more;
    n. Digital integrated circuits based on any compound 
semiconductor having an equivalent gate count of more than 300 (2 
input gates);
    o. Solar cells, cell-interconnect-coverglass (CIC) assemblies, 
solar panels, and solar arrays, which are ``space qualified'' and 
not controlled by 3A001.e.4.


0
20. In Supplement No. 1 to part 774, Category 3, ECCN 3B001 is revised 
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.

License Requirements

Reason for Control: NS, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1  to part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

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

LVS: $500
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment 
using gas sources), .e (automatic loading multi-chamber central 
wafer handling systems only if connected to equipment controlled by 
3B001. a.3, or .f), and .f (lithography equipment).

List of Items Controlled

Related Controls: See also 3B991
Related Definitions: N/A
Items:

    a. Equipment designed for epitaxial growth as follows:
    a.1. Equipment designed or modified to produce 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;

    Note: 3B001.a.1 includes atomic layer epitaxy (ALE) equipment.

    a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors 
designed for compound semiconductor epitaxial growth of material 
having two or more of the following elements: Aluminum, gallium, 
indium, arsenic, phosphorus, antimony, or nitrogen;
    a.3. Molecular beam epitaxial growth equipment using gas or 
solid sources;
    b. Equipment designed for ion implantation and having any of the 
following:
    b.1. [Reserved]
    b.2. Being designed and optimized to operate at a beam energy of 
20 keV or more and a beam current of 10 mA or more for hydrogen, 
deuterium, or helium implant;
    b.3. Direct write capability;
    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''; or
    b.5. Being designed and optimized to operate at beam energy of 
20 keV or more and a beam current of 10mA or more for silicon 
implant into a semiconductor material ``substrate'' heated to 600 
[deg]C or greater;
    c. [Reserved]
    d. [Reserved]
    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 functionally different `semiconductor process tools' controlled 
by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed 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 ``specially designed'' for parallel wafer processing.


    Technical Notes: 

    1. For the purpose of 3B001.e, `semiconductor process tools' 
refers to modular tools that provide physical processes for 
semiconductor production that are functionally different, such as 
deposition, implant or thermal processing.
    2. For the purpose of 3B001.e, `sequential multiple wafer 
processing' means the capability to process each wafer in different 
`semiconductor process tools', such as by transferring each wafer 
from one tool to a second tool and on to a third tool with the 
automatic loading multi-chamber central wafer handling systems.
    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 and having any of the following:
    f.1.a. A light source wavelength shorter than 193 nm; or
    f.1.b. Capable of producing a pattern with a ``Minimum 
Resolvable Feature size'' (MRF) of 45 nm or less;

    Technical Note: The `Minimum Resolvable Feature size' (MRF) is 
calculated by the following formula:

MRF = (an exposure light source wavelength in nm) x (K factor) 
numerical aperture

where the K factor = 0.35

    f.2. Imprint lithography equipment capable of production features 
of 45 nm or less;

    Note: 3B001.f.2 includes:
    --Micro contact printing tools;
    --Hot embossing tools;
    --Nano-imprint lithography tools;
    --Step and flash imprint lithography (S-FIL) tools.

    f.3. Equipment ``specially designed'' for mask making having all 
of the following:
    f.3.a. A deflected focused electron beam, ion beam or ``laser'' 
beam; and
    f.3.b. Having any of the following:
    f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than 
65 nm and an image placement less than 17 nm (mean + 3 sigma); or
    f.3.b.2. [Reserved]
    f.3.b.3. A second-layer overlay error of less than 23 nm (mean + 
3 sigma) on the mask;
    f.4. Equipment designed for device processing using direct 
writing methods, having all of the following:
    f.4.a. A deflected focused electron beam; and
    f.4.b. Having any of the following:
    f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
    f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
    g. Masks and reticles, designed for integrated circuits 
controlled by 3A001;
    h. Multi-layer masks with a phase shift layer not specified by 
3B001.g and designed to be used by lithography equipment having a 
light source wavelength less than 245 nm;

    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.


[[Page 56314]]


    i. Imprint lithography templates designed for integrated 
circuits by 3A001;
    j. Mask ``substrate blanks'' with multilayer reflector structure 
consisting of molybdenum and silicon, and having all of the 
following:
    j.1. ``Specially designed'' for `Extreme Ultraviolet (EUV)' 
lithography; and
    j.2. Compliant with SEMI Standard P37.

    Technical Note: `Extreme Ultraviolet (EUV)' refers to 
electromagnetic spectrum wavelengths greater than 5 nm and less than 
124 nm.



0
21. In Supplement No. 1, Category 3, ECCN 3E003 is revised to read as 
follows:

3E003 Other ``Technology'' for the ``Development'' or ``Production'' 
of the Following (See List of Items Controlled).

License Requirements

Reason for Control: NS, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 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 .f and .g

List of Items Controlled

Related Controls: See 3E001 for silicon-on-insulation (SOI) 
technology for the ``development'' or ``production'' related to 
radiation hardening of integrated circuits.
Related Definitions: N/A
Items:

    a. Vacuum microelectronic devices;
    b. Hetero-structure semiconductor electronic devices such as 
high electron mobility transistors (HEMT), hetero-bipolar 
transistors (HBT), quantum well and super lattice devices;

    Note: 3E003.b does not control ``technology'' for high electron 
mobility transistors (HEMT) operating at frequencies lower than 31.8 
GHz and hetero-junction bipolar transistors (HBT) operating at 
frequencies lower than 31.8 GHz.

    c. ``Superconductive'' electronic devices;
    d. Substrates of films of diamond for electronic components;
    e. Substrates of silicon-on-insulator (SOI) for integrated 
circuits in which the insulator is silicon dioxide;
    f. Substrates of silicon carbide for electronic components;
    g. ``Vacuum electronic devices'' operating at frequencies of 
31.8 GHz or higher.


0
22. In Supplement No. 1 to part 774, Category 5, ECCN 5E001 is revised 
to read as follows:

5E001 ``Technology'' as Follows (See List of Items Controlled).

License Requirements

Reason for Control: NS, SL, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1  to part 738)
 
NS applies to entire entry................  NS Column 1
SL applies to ``technology'' for the        ............................
 ``development'' or ``production'' of
 equipment, functions or features
 controlled by 5A001.f.1, or for the
 ``development'' or ``production'' of
 ``software'' controlled by ECCN 5D001.a
 (for 5A001.f.1).
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 exports or reexports to destinations outside of 
those countries listed in Country Group A:5 (See Supplement No. 1 to 
part 740 of the EAR) of ``technology'' controlled by 5E001.a for the 
``development'' or ``production'' of the following:

    (1) Items controlled by 5A001.b.5 or 5A001.h; or
    (2)``Software'' controlled by 5D001.a that is ``specially 
designed'' for the ``development'' or ``production'' of equipment, 
functions or features controlled by 5A001.b.5 or 5A001.h.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``technology'' according to the General Technology Note for the 
``development'' or ``production'' of equipment, functions or 
features specified by 5A001.b.3, b.5 or .h; or for ``software'' in 
5D001.a that is specified in the STA paragraph in the License 
Exception section of ECCN 5D001 to any of the destinations listed in 
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See also 5E101, 5E980 and 5E991. (2) 
``Technology'' for ``development'' or ``production'' of ``Monolithic 
Microwave Integrated Circuit'' (``MMIC'') amplifiers that meet the 
control criteria given at 3A001.b.2 is controlled in 3E001; 5E001.d 
refers only to that additional ``technology'' ``required'' for 
telecommunications.

Related Definitions: N/A
Items:

    a. ``Technology'' according to the General Technology Note for 
the ``development'', ``production'' or ``use'' (excluding operation) 
of equipment, functions or features, controlled by 5A001 or 
``software'' controlled by 5D001.a.
    b. Specific ``technology'', as follows:
    b.1. ``Technology'' ``required'' for the ``development'' or 
``production'' of telecommunications equipment ``specially 
designed'' to be used on board satellites;
    b.2. ``Technology'' for the ``development'' or ``use'' of 
``laser'' communication techniques with the capability of 
automatically acquiring and tracking signals and maintaining 
communications through exoatmosphere or sub-surface (water) media;
    b.3. ``Technology'' for the ``development'' of digital cellular 
radio base station receiving equipment whose reception capabilities 
that allow multi-band, multi-channel, multi-mode, multi-coding 
algorithm or multi-protocol operation can be modified by changes in 
``software'';
    b.4. ``Technology'' for the ``development'' of ``spread 
spectrum'' techniques, including ``frequency hopping'' techniques.

    Note: 5E001.b.4 does not apply to ``technology'' for the 
``development'' of any of the following:

    a. Civil cellular radio-communications systems; or
    b. Fixed or mobile satellite Earth stations for commercial civil 
telecommunications.
    c. ``Technology'' according the General Technology Note for the 
``development'' or ``production'' of any of the following:
    c.1. [Reserved]
    c.2. Equipment employing a ``laser'' and having any of the 
following:
    c.2.a. A transmission wavelength exceeding 1,750 nm;
    c.2.b. [Reserved]
    c.2.c. [Reserved]
    c.2.d. Employing wavelength division multiplexing techniques of 
optical carriers at less than 100 GHz spacing; or
    c.2.e. Employing analog techniques and having a bandwidth 
exceeding 2.5 GHz;

    Note: 5E001.c.2.e does not control ``technology'' for commercial 
TV systems.

    N.B.: For ``technology'' for the ``development'' or 
``production'' of non-telecommunications equipment employing a 
``laser'', see Product Group E of Category 6, e.g., 6E00x.
    c.3. Equipment employing ``optical switching'' and having a 
switching time less than 1 ms; or
    c.4. Radio equipment having any of the following:
    c.4.a. Quadrature-Amplitude-Modulation (QAM) techniques above 
level 1,024; or
    c.4.b. Operating at input or output frequencies exceeding 31.8 
GHz; or

    Note: 5E001.c.4.b does not control ``technology'' for equipment 
designed or modified for operation in any frequency band which is 
``allocated by the ITU'' for radio-communications services, but not 
for radio-determination.

    c.4.c. Operating in the 1.5 MHz to 87.5 MHz band and 
incorporating adaptive techniques providing more than 15 dB 
suppression of an interfering signal; or
    c.5. [Reserved]
    c.6. Mobile equipment having all of the following:
    c.6.a. Operating at an optical wavelength greater than or equal 
to 200nm and less than or equal to 400nm; and

[[Page 56315]]

    c.6.b. Operating as a ``local area network'';
    d. ``Technology'' according to the General Technology Note for 
the ``development'' or ``production'' of ``Monolithic Microwave 
Integrated Circuit'' (``MMIC'') amplifiers ``specially designed'' 
for telecommunications and that are any of the following:

    Technical Note: For purposes of 5E001.d, the parameter peak 
saturated power output may also be referred to on product data 
sheets as output power, saturated power output, maximum power 
output, peak power output, or peak envelope power output.

    d.1. Rated for operation at frequencies exceeding 2.7 GHz up to 
and including 6.8 GHz with a ``fractional bandwidth'' greater than 
15%, and having any of the following:
    d.1.a. A peak saturated power output greater than 75 W (48.75 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    d.1.b. A peak saturated power output greater than 55 W (47.4 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    d.1.c. A peak saturated power output greater than 40 W (46 dBm) 
at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
    d.1.d. A peak saturated power output greater than 20 W (43 dBm) 
at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    d.2. Rated for operation at frequencies exceeding 6.8 GHz up to 
and including 16 GHz with a ``fractional bandwidth'' greater than 
10%, and having any of the following:
    d.2.a. A peak saturated power output greater than 10W (40 dBm) 
at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or
    d.2.b. A peak saturated power output greater than 5W (37 dBm) at 
any frequency exceeding 8.5 GHz up to and including 16 GHz;
    d.3. Rated for operation with a peak saturated power output 
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to 
and including 31.8 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    d.4. Rated for operation with a peak saturated power output 
greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up 
to and including 37 GHz;
    d.5. Rated for operation with a peak saturated power output 
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to 
and including 43.5 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    d.6. Rated for operation with a peak saturated power output 
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz 
up to and including 75 GHz, and with a ``fractional bandwidth'' of 
greater than 10%;
    d.7. Rated for operation with a peak saturated power output 
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to 
and including 90 GHz, and with a ``fractional bandwidth'' of greater 
than 5%; or
    d.8. Rated for operation with a peak saturated power output 
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
    e. ``Technology'' according to the General Technology Note for 
the ``development'' or ``production'' of electronic devices and 
circuits, ``specially designed'' for telecommunications and 
containing ``components'' manufactured from ``superconductive'' 
materials, ``specially designed'' for operation at temperatures 
below the ``critical temperature'' of at least one of the 
``superconductive'' constituents and having any of the following:
    e.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
    e.2. Frequency selection at all frequencies using resonant 
circuits with Q-values exceeding 10,000.

Category 5--Part 2--``Information Security''


0
23. In Supplement No. 1 to part 774, Category 5, ECCN 5A002 is revised 
to read as follows:

5A002 ``Information Security'' Systems, Equipment and 
``Components,'' as Follows (See List of Items Controlled).

License Requirements

Reason for Control: NS, AT, EI

 
                                            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
EI applies to entire entry................  Refer to Sec.   742.15 of
                                             the EAR
 


    License Requirements Note: See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and ``technology'' for the ``production'' or 
``development'' of such microprocessors.

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

LVS: Yes: $500 for ``components''.
N/A for systems and equipment.
GBS: N/A
ENC: Yes for certain EI controlled commodities, see Sec.  740.17 of 
the EAR for eligibility.

List of Items Controlled

Related Controls: (1) ECCN 5A002.a controls ``component'' providing 
the means or functions necessary for ``information security.'' All 
such ``components'' are presumptively ``specially designed'' and 
controlled by 5A002.a. (2) See USML Categories XI (including XI(b)) 
and XIII(b) (including XIII(b)(2)) for controls on systems, 
equipment, and components described in 5A002.d or .e that are 
subject to the ITAR. (3) For ``satellite navigation system'' 
receiving equipment containing or employing decryption see 7A005, 
and for related decryption ``software'' and ``technology'' see 7D005 
and 7E001. (4) Noting that items may be controlled elsewhere on the 
CCL, examples of items not controlled by ECCN 5A002.a.4 include the 
following: (a) An automobile where the only `cryptography for data 
confidentiality' `in excess of 56 bits of symmetric key length, or 
equivalent' is performed by a Category 5--Part 2 Note 3 eligible 
mobile telephone that is built into the car. In this case, secure 
phone communications support a non-primary function of the 
automobile but the mobile telephone (equipment), as a standalone 
item, is not controlled by ECCN 5A002 because it is excluded by the 
Cryptography Note (Note 3) (See ECCN 5A992.c). (b) An exercise bike 
with an embedded Category 5--Part 2 Note 3 eligible web browser, 
where the only controlled cryptography is performed by the web 
browser. In this case, secure web browsing supports a non-primary 
function of the exercise bike but the web browser (``software''), as 
a standalone item, is not controlled by ECCN 5D002 because it is 
excluded by the Cryptography Note (Note 3) (See ECCN 5D992.c). (5) 
After classification or self-classification in accordance with Sec.  
740.17(b) of the EAR, mass market encryption commodities that meet 
eligibility requirements are released from ``EI'' and ``NS'' 
controls. These commodities are designated 5A992.c.

Related Definitions: N/A
Items:
    a. Designed or modified to use `cryptography for data 
confidentiality' having a `described security algorithm', where that 
cryptographic capability is usable without ``cryptographic 
activation'' or has been activated, as follows:
    a.1. Items having ``information security'' as a primary 
function;
    a.2. Digital communication or networking systems, equipment or 
components, not specified in paragraph 5A002.a.1;
    a.3. Computers, other items having information storage or 
processing as a primary function, and components therefor, not 
specified in paragraphs 5A002.a.1 or .a.2;
    N.B.: For operating systems see also 5D002.a.1 and .c.1.
    a.4. Items, not specified in paragraphs 5A002.a.1 to a.3, where 
the `cryptography for data confidentiality' having `in excess of a 
`described security algorithm' meets all of the following:
    a.4.a. It supports a non-primary function of the item; and
    a.4.b. It is performed by incorporated equipment or ``software'' 
that would, as a standalone item, be specified by ECCNs 5A002, 
5A003, 5A004, 5B002 or 5D002.
    N.B. to paragraph a.4: See Related Control Paragraph (4) of this 
ECCN 5A002 for examples of items not controlled by 5A002.a.4.

    Technical Notes: 

    1. For the purposes of 5A002.a, `cryptography for data 
confidentiality' means ``cryptography'' that employs digital 
techniques and performs any cryptographic function other than any of 
the following:
    1.a. ``Authentication;''
    1.b. Digital signature;
    1.c. Data integrity;
    1.d. Non-repudiation;

[[Page 56316]]

    1.e. Digital rights management, including the execution of copy-
protected ``software;''
    1.f. Encryption or decryption in support of entertainment, mass 
commercial broadcasts or medical records management; or
    1.g. Key management in support of any function described in 
paragraphs 1.a to 1.f of this Technical Note paragraph 1.
    2. For the purposes of 5A002.a, `described security algorithm' 
means any of the following:
    2.a. A ``symmetric algorithm'' employing a key length in excess 
of 56 bits, not including parity bits; or
    2.b. An ``asymmetric algorithm'' where the security of the 
algorithm is based on any of the following:
    2.b.1. Factorization of integers in excess of 512 bits (e.g., 
RSA);
    2.b.2. Computation of discrete logarithms in a multiplicative 
group of a finite field of size greater than 512 bits (e.g., Diffie-
Hellman over Z/pZ); or
    2.b.3. Discrete logarithms in a group other than mentioned in 
paragraph 2.b.2 of this Technical Note in excess of 112 bits (e.g., 
Diffie-Hellman over an elliptic curve).
    2.c. An ``asymmetric algorithm'' where the security of the 
algorithm is based on any of the following:
    2.c.1. Shortest vector or closest vector problems associated 
with lattices (e.g., NewHope, Frodo, NTRUEncrypt, Kyber, Titanium);
    2.c.2. Finding isogenies between Supersingular elliptic curves 
(e.g., Supersingular Isogeny Key Encapsulation); or
    2.c.3. Decoding random codes (e.g., McEliece, Niederreiter).

    Technical Note: An algorithm described by Technical Note 2.c. 
may be referred to as being post-quantum, quantum-safe or quantum-
resistant.


    Note 1: Details of items must be accessible and provided upon 
request, in order to establish any of the following:

    a. Whether the item meets the criteria of 5A002.a.1 to a.4; or
    b. Whether the cryptographic capability for data confidentiality 
specified by 5A002.a is usable without ``cryptographic activation.''

    Note 2: 5A002.a does not control any of the following items, or 
specially designed ``information security'' components therefor:

    a. Smart cards and smart card `readers/writers' as follows:
    a.1. A smart card or an electronically readable personal 
document (e.g., token coin, e-passport) that meets any of the 
following:
    a.1.a. The cryptographic capability meets all of the following:
    a.1.a.1. It is restricted for use in any of the following:
    a.1.a.1.a. Equipment or systems, not described by 5A002.a.1 to 
a.4;
    a.1.a.1.b. Equipment or systems, not using `cryptography for 
data confidentiality' having a `described security algorithm'; or
    a.1.a.1.c. Equipment or systems, excluded from 5A002.a by 
entries b. to f. of this Note; and
    a.1.a.2. It cannot be reprogrammed for any other use; or
    a.1.b. Having all of the following:
    a.1.b.1. It is specially designed and limited to allow 
protection of `personal data' stored within;
    a.1.b.2. Has been, or can only be, personalized for public or 
commercial transactions or individual identification; and
    a.1.b.3. Where the cryptographic capability is not user-
accessible;

    Technical Note to paragraph a.1.b of Note 2: `Personal data' 
includes any data specific to a particular person or entity, such as 
the amount of money stored and data necessary for 
``authentication.''

    a.2. `Readers/writers' specially designed or modified, and 
limited, for items specified by paragraph a.1 of this Note;

    Technical Note to paragraph a.2 of Note 2: `Readers/writers' 
include equipment that communicates with smart cards or 
electronically readable documents through a network.

    b. Cryptographic equipment specially designed and limited for 
banking use or `money transactions';

    Technical Note to paragraph b. of Note 2: `Money transactions' 
in 5A002 Note 2 paragraph b. includes the collection and settlement 
of fares or credit functions.

    c. Portable or mobile radiotelephones for civil use (e.g., for 
use with commercial civil cellular radio communication systems) that 
are not capable of transmitting encrypted data directly to another 
radiotelephone or equipment (other than Radio Access Network (RAN) 
equipment), nor of passing encrypted data through RAN equipment 
(e.g., Radio Network Controller (RNC) or Base Station Controller 
(BSC));
    d. Cordless telephone equipment not capable of end-to-end 
encryption where the maximum effective range of unboosted cordless 
operation (i.e., a single, unrelayed hop between terminal and home 
base station) is less than 400 meters according to the 
manufacturer's specifications;
    e. Portable or mobile radiotelephones and similar client 
wireless devices for civil use, that implement only published or 
commercial cryptographic standards (except for anti-piracy 
functions, which may be non-published) and also meet the provisions 
of paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in 
Category 5--Part 2), that have been customized for a specific civil 
industry application with features that do not affect the 
cryptographic functionality of these original non-customized 
devices;
    f. Items, where the ``information security'' functionality is 
limited to wireless ``personal area network'' functionality, meeting 
all of the following:
    f.1. Implement only published or commercial cryptographic 
standards; and
    f.2. The cryptographic capability is limited to a nominal 
operating range not exceeding 30 meters according to the 
manufacturer's specifications, or not exceeding 100 meters according 
to the manufacturer's specifications for equipment that cannot 
interconnect with more than seven devices;
    g. Mobile telecommunications Radio Access Network (RAN) 
equipment designed for civil use, which also meet the provisions of 
paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in Category 
5--Part 2), having an RF output power limited to 0.1W (20 dBm) or 
less, and supporting 16 or fewer concurrent users;
    h. Routers, switches or relays, where the ``information 
security'' functionality is limited to the tasks of ``Operations, 
Administration or Maintenance'' (``OAM'') implementing only 
published or commercial cryptographic standards;
    i. General purpose computing equipment or servers, where the 
``information security'' functionality meets all of the following:
    i.1. Uses only published or commercial cryptographic standards; 
and
    i.2. Is any of the following:
    i.2.a. Integral to a CPU that meets the provisions of Note 3 in 
Category 5-Part 2;
    i.2.b. Integral to an operating system that is not specified by 
5D002; or
    i.2.c. Limited to ``OAM'' of the equipment; or
    j. Items specially designed for a `connected civil industry 
application', meeting all of the following:
    j.1. Being any of the following:
    j.1.a. A network-capable endpoint device meeting any of the 
following:
    j.1.a.1. The ``information security'' functionality is limited 
to securing `non-arbitrary data' or the tasks of ``Operations, 
Administration or Maintenance'' (``OAM''); or
    j.1.a.2. The device is limited to a specific `connected civil 
industry application'; or
    j.1.b. Networking equipment meeting all of the following:
    j.1.b.1. Being specially designed to communicate with the 
devices specified by paragraph j.1.a. above; and
    j.1.b.2. The ``information security'' functionality is limited 
to supporting the `connected civil industry application' of devices 
specified by paragraph j.1.a. above, or the tasks of ``OAM'' of this 
networking equipment or of other items specified by paragraph j. of 
this Note; and
    j.2. Where the ``information security'' functionality implements 
only published or commercial cryptographic standards, and the 
cryptographic functionality cannot easily be changed by the user.

    Technical Notes: 

    1. `Connected civil industry application' means a network-
connected consumer or civil industry application other than 
``information security'', digital communication, general purpose 
networking or computing.
    2. `Non-arbitrary data' means sensor or metering data directly 
related to the stability, performance or physical measurement of a 
system (e.g., temperature, pressure, flow rate, mass, volume, 
voltage, physical location, etc.), that cannot be changed by the 
user of the device.
    b. Being a `cryptographic activation token';

    Technical Note: A `cryptographic activation token' is an item 
designed or modified for any of the following:

    1. Converting, by means of ``cryptographic activation'', an item 
not specified by Category 5--Part 2 into an item specified by 
5A002.a or 5D002.c.1, and not released by the Cryptography Note 
(Note 3 in Category 5--Part 2); or

[[Page 56317]]

    2. Enabling, by means of ``cryptographic activation'', 
additional functionality specified by 5A002.a of an item already 
specified by Category 5--Part 2;
    c. Designed or modified to use or perform ``quantum 
cryptography;''

    Technical Note:  ``Quantum cryptography'' is also known as 
Quantum Key Distribution (QKD).

    d. Designed or modified to use cryptographic techniques to 
generate channelizing codes, scrambling codes or network 
identification codes, for systems using ultra-wideband modulation 
techniques and having any of the following:
    d.1. A bandwidth exceeding 500 MHz; or
    d.2. A ``fractional bandwidth'' of 20% or more;
    e. Designed or modified to use cryptographic techniques to 
generate the spreading code for ``spread spectrum'' systems, not 
specified by 5A002.d, including the hopping code for ``frequency 
hopping'' systems.


0
24. In Supplement No. 1 to part 774, Category 5, ECCN 5D002 is revised 
to read as follows:

5D002 ``Software'' as Follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT, EI

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1  to part 738)
 
NS applies to entire entry................  NS Column 1
AT applies to entire entry................  AT Column 1
EI applies to ``software'' in 5D002.a.1,    Refer to Sec.   742.15 of
 a.3, .b, c.1 and c.3, for commodities or    the EAR. Note: Encryption
 ``software'' controlled for EI reasons in   software is controlled
 ECCNs 5A002, 5A004 or 5D002.                because of its functional
                                             capacity, and not because
                                             of any informational value
                                             of such software; such
                                             software is not accorded
                                             the same treatment under
                                             the EAR as other
                                             ``software'; and for export
                                             licensing purposes,
                                             encryption software is
                                             treated under the EAR in
                                             the same manner as a
                                             commodity included in ECCN
                                             5A002
 


    License Requirements Note: See Sec.  744.17 of the EAR for 
additional license requirements for microprocessors having a 
processing speed of 5 GFLOPS or more and an arithmetic logic unit 
with an access width of 32 bit or more, including those 
incorporating ``information security'' functionality, and associated 
``software'' and ``technology'' for the ``production'' or 
``development'' of such microprocessors.

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

TSR: N/A
ENC: Yes for certain EI controlled software, see Sec.  740.17 of the 
EAR for eligibility.

List of Items Controlled

Related Controls: After classification or self-classification in 
accordance with Sec.  740.17(b) of the EAR, mass market encryption 
software that meet eligibility requirements are released from ``EI'' 
and ``NS'' controls. This software is designated as 5D992.c.
Related Definitions: 5D002.a controls ``software'' designed or 
modified to use ``cryptography'' employing digital or analog 
techniques to ensure ``information security.''
Items:

    a. ``Software'' ``specially designed'' or modified for the 
``development,'' ``production'' or ``use'' of any of the following:
    a.1. Equipment specified by 5A002 or ``software'' specified by 
5D002.c.1;
    a.2. Equipment specified by 5A003 or ``software'' specified by 
5D002.c.2; or
    a.3. Equipment specified by 5A004 or ``software'' specified by 
5D002.c.3;
    b. ``Software'' having the characteristics of a `cryptographic 
activation token' specified by 5A002.b;
    c. ``Software'' having the characteristics of, or performing or 
simulating the functions of, any of the following:
    c.1. Equipment specified by 5A002.a, .c, .d or .e;

    Note: 5D002.c.1 does not apply to ``software'' limited to the 
tasks of ``OAM'' implementing only published or commercial 
cryptographic standards.

    c.2. Equipment specified by 5A003; or
    c.3. Equipment specified by 5A004.
    d. [Reserved]
    N.B.: See 5D002.b for items formerly specified in 5D002.d.


0
25. In Supplement No. 1 to part 774, Category 5, ECCN 5E002 is revised 
to read as follows:

5E002 ``Technology'' as Follows (See List of Items Controlled).

License Requirements

Reason for Control: NS, AT, EI

 
                                            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
EI applies to ``technology'' in 5E002.a     Refer to Sec.   742.15 of
 for commodities or ``software''             the EAR
 controlled for EI reasons in ECCNs 5A002,
 5A004 or 5D002, and to ``technology'' in
 5E002.b..
 


    License Requirements Notes: 

    (1) See Sec.  744.17 of the EAR for additional license 
requirements for microprocessors having a processing speed of 5 
GFLOPS or more and an arithmetic logic unit with an access width of 
32 bit or more, including those incorporating ``information 
security'' functionality, and associated ``software'' and 
``technology'' for the ``production'' or ``development'' of such 
microprocessors.
    (2) When a person performs or provides technical assistance that 
incorporates, or otherwise draws upon, ``technology'' that was 
either obtained in the United States or is of US-origin, then a 
release of the ``technology'' takes place. Such technical 
assistance, when rendered with the intent to aid in the 
``development'' or ``production'' of encryption commodities or 
software that would be controlled for ``EI'' reasons under ECCN 
5A002, 5A004 or 5D002, may require authorization under the EAR even 
if the underlying encryption algorithm to be implemented is from the 
public domain or is not of U.S.-origin.

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

TSR: N/A
ENC: Yes for certain EI controlled technology, see Sec.  740.17 of 
the EAR for eligibility.

List of Items Controlled

Related Controls: See also 5E992. This entry does not control 
``technology'' ``required'' for the ``use'' of equipment excluded 
from control under the Related Controls paragraph or the Technical 
Notes in ECCN 5A002 or ``technology'' related to equipment excluded 
from control under ECCN 5A002.

Related Definitions: N/A
Items:

    a. ``Technology'' according to the General Technology Note for 
the ``development,'' ``production'' or ``use'' of equipment 
controlled by 5A002, 5A003, 5A004 or 5B002, or of ``software'' 
controlled by 5D002.a or 5D002.c.
    b. ``Technology'' having the characteristics of a `cryptographic 
activation token' specified by 5A002.b.

    Note: 5E002 includes ``information security'' technical data 
resulting from procedures carried out to evaluate or determine the 
implementation of functions, features or techniques specified in 
Category 5--Part 2.


0
26. In Supplement No. 1 to part 774, Category 6, ECCN 6A002 is revised 
to read as follows:

6A002 Optical Sensors and Equipment, and ``Components'' Therefor, as 
Follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, CC, RS, AT, UN

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1  to part 738)
 
NS applies to entire entry................  NS Column 2

[[Page 56318]]

 
MT applies to optical detectors in          MT Column 1
 6A002.a.1, or a.3 that are ``specially
 designed'' or modified to protect
 ``missiles'' against nuclear effects
 (e.g., Electromagnetic Pulse (EMP), X-
 rays, combined blast and thermal
 effects), and usable for ``missiles''.
RS applies to 6A002.a.1, a.2, a.3 (except   RS Column 1
 a.3.d.2.a and a.3.e for lead selenide
 based focal plane arrays (FPAs)), .c, and
 .f.
CC applies to police-model infrared         CC Column 1
 viewers in 6A002.c.
AT applies to entire entry................  AT Column 1
UN applies to 6A002.a.1, a.2, a.3 and .c..  See Sec.   746.1(b) for UN
                                             controls
 

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)

LVS: $500 for 6A002.f.
    $3,000; except N/A for MT and for 6A002.a.1, a.2, a.3, .c, and 
.f.

GBS: N/A

List of Items Controlled

Related Controls: (1) See USML Category XII(e) for infrared focal 
plane arrays, image intensifier tubes, and related parts and 
components, subject to the ITAR. (2) See USML Category XV(e) for 
space-qualified focal plane arrays subject to the ITAR. (3) See also 
ECCNs 6A102, 6A202, and 6A992. (4) See ECCN 0A919 for foreign-made 
military commodities that incorporate commodities described in 
6A002. (5) Section 744.9 imposes a license requirement on 
commodities described in ECCN 6A002 if being exported, reexported, 
or transferred (in-country) for use by a military end-user or for 
incorporation into an item controlled by ECCN 0A919. (6) See USML 
Categories XII(e) and XV(e)(3) for read-out integrated circuits 
``subject to the ITAR.'' (7) See 6B002 for masks and reticles, 
``specially designed'' for optical sensors specified by 6A002.a.1.b 
or 6A002.a.1.d.
Related Definitions: N/A
Items:
    a. Optical detectors as follows:
    a.1. ``Space-qualified'' solid-state detectors as follows:

    Note: For the purpose of 6A002.a.1, solid-state detectors 
include ``focal plane arrays''.

    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.1.d. ``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;
    a.2. Image intensifier tubes and ``specially designed'' 
``components'' therefor, as follows:

    Note: 6A002.a.2 does not control non-imaging photomultiplier 
tubes having an electron sensing device in the vacuum space limited 
solely to any of the following:

    a. A single metal anode; or
    b. Metal anodes with a center to center spacing greater than 500 
[mu]m.

    Technical Note: `Charge multiplication' is a form of electronic 
image amplification and is defined as the generation of charge 
carriers as a result of an impact ionization gain process. `Charge 
multiplication' sensors may take the form of an image intensifier 
tube, solid state detector or ``focal plane array''.

    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. Electron image amplification using any of the 
following:
    a.2.a.2.a. A microchannel plate with a hole pitch (center-to-
center spacing) of 12 [mu]m or less; or
    a.2.a.2.b. An electron sensing device with a non-binned pixel 
pitch of 500 [mu]m or less, ``specially designed'' or modified to 
achieve `charge multiplication' other than by a microchannel plate; 
and
    a.2.a.3. Any of the following photocathodes:
    a.2.a.3.a. Multialkali photocathodes (e.g., S-20 and S-25) 
having 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 
having a maximum ``radiant sensitivity'' exceeding 10 mA/W;
    a.2.b. Image intensifier tubes having all of the following:
    a.2.b.1. A peak response in the wavelength range exceeding 1,050 
nm but not exceeding 1,800 nm;
    a.2.b.2. Electron image amplification using any of the 
following:
    a.2.b.2.a. A microchannel plate with a hole pitch (center-to-
center spacing) of 12 [mu]m or less; or
    a.2.b.2.b. An electron sensing device with a non-binned pixel 
pitch of 500 [mu]m or less, ``specially designed'' or modified to 
achieve `charge multiplication' other than by a microchannel plate; 
and
    a.2.b.3. ``III/V compound'' semiconductor (e.g., GaAs or GaInAs) 
photocathodes and transferred electron photocathodes, having a 
maximum ``radiant sensitivity'' exceeding 15 mA/W;
    a.2.c. ``Specially designed'' ``components'' as follows:
    a.2.c.1. Microchannel plates having a hole pitch (center-to-
center spacing) of 12 [mu]m or less;
    a.2.c.2. An electron sensing device with a non-binned pixel 
pitch of 500 [mu]m or less, ``specially designed'' or modified to 
achieve `charge multiplication' other than by a microchannel plate;
    a.2.c.3. ``III-V compound'' semiconductor (e.g., GaAs or GaInAs) 
photocathodes and transferred electron photocathodes;

    Note: 6A002.a.2.c.3 does not control compound semiconductor 
photocathodes designed to achieve a maximum ``radiant sensitivity'' 
of any of the following:

    a. 10 mA/W or less at the peak response in the wavelength range 
exceeding 400 nm but not exceeding 1,050 nm; or
    b. 15 mA/W or less at the peak response in the wavelength range 
exceeding 1,050 nm but not exceeding 1,800 nm.
    a.3. Non-``space-qualified'' ``focal plane arrays'' as follows:
    N.B.: `Microbolometer' non-``space-qualified'' ``focal plane 
arrays'' are only specified by 6A002.a.3.f.

    Technical Note: Linear or two-dimensional multi-element detector 
arrays are referred to as ``focal plane arrays'';


    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.
    c. ``Focal plane arrays'' ``specially designed'' or modified to 
achieve `charge multiplication' and limited by design to have a 
maximum ``radiant sensitivity'' of 10 mA/W or less for wavelengths 
exceeding 760 nm, having all of the following:
    c.1. Incorporating a response limiting mechanism designed not to 
be removed or modified; and
    c.2. Any of the following:
    c.2.a. The response limiting mechanism is integral to or 
combined with the detector element; or

[[Page 56319]]

    c.2.b. The ``focal plane array'' is only operable with the 
response limiting mechanism in place.
    d. Thermopile arrays having less than 5,130 elements;

    Technical Note: A response limiting mechanism integral to the 
detector element is designed not to be removed or modified without 
rendering the detector inoperable.

    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. Any of the following:
    a.3.a.2.a. A response ``time constant'' of less than 0.5 ns; or
    a.3.a.2.b. ``Specially designed'' or modified to achieve `charge 
multiplication' and having a maximum ``radiant sensitivity'' 
exceeding 10 mA/W;
    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. Any of the following:
    a.3.b.2.a. A response ``time constant'' of 95 ns or less; or
    a.3.b.2.b. ``Specially designed'' or modified to achieve `charge 
multiplication' and having a maximum ``radiant sensitivity'' 
exceeding 10 mA/W;
    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 by 
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 3,000 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 detector elements;

    Note: 6A002.a.3.d does not control ``focal plane arrays'' (not 
to exceed 32 elements) having detector elements limited solely to 
germanium material.


    Technical Note: For the purposes of 6A002.a.3.d, `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.

    a.3.e. Non-``space-qualified'' linear (1-dimensional) ``focal 
plane arrays'' having individual elements with a peak response in 
the wavelength range exceeding 3,000 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 Note: 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.

    a.3.g. Non-``space-qualified'' ``focal plane arrays'' having all 
of the following:
    a.3.g.1. Individual detector elements with a peak response in 
the wavelength range exceeding 400 nm but not exceeding 900 nm;
    a.3.g.2. ``Specially designed'' or modified to achieve `charge 
multiplication' and having a maximum ``radiant sensitivity'' 
exceeding 10 mA/W for wavelengths exceeding 760 nm; and
    a.3.g.3. Greater than 32 elements;
    b. ``Monospectral imaging sensors'' and ``multispectral imaging 
sensors'', designed for remote sensing applications and having any 
of the following:
    b.1. An Instantaneous-Field-Of-View (IFOV) of less than 200 
[mu]rad (microradians); or
    b.2. 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. Having any of the following characteristics:
    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);

    Note: 6A002.b.1 does not control ``monospectral imaging 
sensors'' with a peak response in the wavelength range exceeding 300 
nm but not exceeding 900 nm and only incorporating any of the 
following non-``space-qualified'' detectors or non-``space-
qualified'' ``focal plane arrays'':

    a. Charge Coupled Devices (CCD) not designed or modified to 
achieve `charge multiplication'; or
    b. Complementary Metal Oxide Semiconductor (CMOS) devices not 
designed or modified to achieve `charge multiplication'.
    c. `Direct view' imaging equipment incorporating any of the 
following:
    c.1. Image intensifier tubes having the characteristics listed 
in 6A002.a.2.a or 6A002.a.2.b;
    c.2. ``Focal plane arrays'' having the characteristics listed in 
6A002.a.3; or
    c.3. Solid state detectors specified by 6A002.a.1;

    Technical Note: `Direct view' refers to imaging equipment 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 equipment as follows, when 
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.

    Note: 6A002.d.3 does not apply to encapsulated optical sensing 
fibers ``specially designed'' for bore hole sensing applications.

    e. [Reserved]
    f. `Read-Out Integrated Circuits' (`ROIC') ``specially 
designed'' for ``focal plane arrays'' specified by 6A002.a.3.

    Note: 6A002.f does not apply to read-out integrated circuits 
``specially designed'' for civil automotive applications.


    Technical Note: A `Read-Out Integrated Circuit' (`ROIC') is an 
integrated circuit designed to underlie or be bonded to a ``focal 
plane array'' (``FPA'') and used to read-out (i.e., extract and 
register) signals produced by the detector elements. At a minimum 
the `ROIC' reads the charge from the detector elements by extracting 
the charge and applying a multiplexing function in a manner that 
retains the relative spatial position and orientation information of 
the detector elements for processing inside or outside the `ROIC'.


0
27. In Supplement No. 1 to part 774, Category 6, ECCN 6A003 is revised 
to read as follows:

6A003 Cameras, Systems or Equipment, and ``Components'' Therefor, as 
Follows (See List of Items Controlled).

License Requirements

Reason for Control: NS, NP, RS, AT, UN

 
                                            Country Chart (see Supp. No.
                Control(s)                         1  to part 738)
 
NS applies to entire entry................  NS Column 2
NP applies to cameras controlled by         NP Column 1
 6A003.a.3 or a.4 and to plug-ins in
 6A003.a.6 for cameras controlled by
 6A003.a.3 or a.4.

[[Page 56320]]

 
RS applies to 6A003.b.3, 6A003.b.4.a,       RS Column 1
 6A003.b.4.c and to items controlled in
 6A003.b.4.b that have a frame rate
 greater than 60 Hz or that incorporate a
 focal plane array with more than 111,000
 elements, or to items in 6A003.b.4.b when
 being exported or reexported to be
 embedded in a civil product. (But see
 Sec.   742.6(a)(2)(iii) and (v) for
 certain exemptions).
RS applies to items controlled in           RS Column 2
 6A003.b.4.b that have a frame rate of 60
 Hz or less and that incorporate a focal
 plane array with not more than 111,000
 elements if not being exported or
 reexported to be embedded in a civil
 product.
AT applies to entire entry................  AT Column 1
UN applies to 6A003.b.3 and b.4...........  See Sec.   746.1(b) for UN
                                             controls
 


    License Requirement Note: Commodities that are not subject to 
the ITAR but are of the type described in USML Category XII(c) are 
controlled as cameras in ECCN 6A003 when they incorporate a camera 
controlled in this ECCN.

Reporting Requirements

    See Sec.  743.3 of the EAR for thermal camera reporting for 
exports that are not authorized by an individually validated license 
of thermal imaging cameras controlled by ECCN 6A003.b.4.b to 
destinations in Country Group A:1 (see Supplement No. 1 to part 740 
of the EAR), must be reported to BIS.

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

LVS: $1,500, except N/A for 6A003.a.3 through a.6, b.1, b.3 and b.4
GBS: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship any commodity in 
6A003.b.3 or b.4 to any of the destinations listed in Country Group 
A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See ECCNs 6E001 (``development''), 6E002 
(``production''), and 6E201 (``use'') for technology for items 
controlled under this entry. (2) Also see ECCN 6A203. (3) See ECCN 
0A919 for foreign made military commodities that incorporate cameras 
described in 6A003. (4) Section 744.9 imposes a license requirement 
on cameras described in 6A003 if being exported, reexported, or 
transferred (in-country) for use by a military end-user or for 
incorporation into a commodity controlled by ECCN 0A919. (5) See 
USML Category XII(c) and (e) for cameras subject to the ITAR.
Related Definitions: N/A
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. [Reserved]
    a.2. [Reserved]
    a.3. Electronic streak cameras having temporal resolution better 
than 50 ns;
    a.4. Electronic framing cameras having a speed exceeding 
1,000,000 frames/s;
    a.5. Electronic cameras having all of the following:
    a.5.a. An electronic shutter speed (gating capability) of less 
than 1[micro]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 by 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 10 nm, 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;

    Note: 6A003.b.2 does not apply to scanning cameras and scanning 
camera systems, ``specially designed'' for any of the following:

    a. Industrial or civilian photocopiers;
    b. Image scanners ``specially designed'' for civil, stationary, 
close proximity scanning applications (e.g., reproduction of images 
or print contained in documents, artwork or photographs); or
    c. Medical equipment.
    b.3. Imaging cameras incorporating image intensifier tubes 
having the characteristics listed in 6A002.a.2.a or 6A002.a.2.b;
    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;
    b.4.b. Incorporating ``focal plane arrays'' controlled by 
6A002.a.3.f; or
    b.4.c. Incorporating ``focal plane arrays'' controlled by 
6A002.a.3.g;

    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 12 elements or 
fewer, not employing time-delay-and-integration within the element 
and 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:

    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 2 mrad (milliradians);

[[Page 56321]]

    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. The camera is ``specially designed'' for installation into a 
civilian passenger land vehicle and having all of the following:
    1. The placement and configuration of the camera within the 
vehicle are solely to assist the driver in the safe operation of the 
vehicle;
    2. Is operable only when installed in any of the following:
    a. The civilian passenger land vehicle for which it was intended 
and the vehicle weighs less than 4,500 kg (gross vehicle weight); or
    b. A ``specially designed'', authorized maintenance test 
facility; and
    3. 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.


    Note 4: 6A003.b.4.c does not apply to `imaging cameras' having 
any of the following characteristics:

    a. Having all of the following:
    1. Where the camera is ``specially designed'' for installation 
as an integrated component into indoor and wall-plug-operated 
systems or equipment, limited by design for a single kind of 
application, as follows:
    a. Industrial process monitoring, quality control, or analysis 
of the properties of materials;
    b. Laboratory equipment ``specially designed'' for scientific 
research;
    c. Medical equipment;
    d. Financial fraud detection equipment; and
    2. Is only operable when installed in any of the following:
    a. The system(s) or equipment for which it was intended; or
    b. A ``specially designed,'' authorized maintenance facility; 
and
    3. Incorporates an active mechanism that forces the camera not 
to function when it is removed from the system(s) or equipment for 
which it was intended;
    b. Where the camera is ``specially designed'' for installation 
into a civilian passenger land vehicle or passenger and vehicle 
ferries and having all of the following:
    1. The placement and configuration of the camera within the 
vehicle or ferry are solely to assist the driver or operator in the 
safe operation of the vehicle or ferry;
    2. Is only operable when installed in any of the following:
    a. The civilian passenger land vehicle for which it was intended 
and the vehicle weighs less than 4,500 kg (gross vehicle weight);
    b. The passenger and vehicle ferry for which it was intended and 
having a length overall (LOA) 65 m or greater; or
    c. A ``specially designed'', authorized maintenance test 
facility; and
    3. Incorporates an active mechanism that forces the camera not 
to function when it is removed from the vehicle for which it was 
intended;
    c. Limited by design to have a maximum ``radiant sensitivity'' 
of 10 mA/W or less for wavelengths exceeding 760 nm, having all of 
the following:
    1. Incorporating a response limiting mechanism designed not to 
be removed or modified; and
    2. Incorporates an active mechanism that forces the camera not 
to function when the response limiting mechanism is removed; and
    3. Not ``specially designed'' or modified for underwater use; or
    d. Having all of the following:
    1. Not incorporating a 'direct view' or electronic image 
display;
    2. Has no facility to output a viewable image of the detected 
field of view;
    3. The ``focal plane array'' is only operable when installed in 
the camera for which it was intended; and
    4. The ``focal plane array'' incorporates an active mechanism 
that forces it to be permanently inoperable when removed from the 
camera for which it was intended.

    Note:  When necessary, details of the item will be provided, 
upon request, to the Bureau of Industry and Security in order to 
ascertain compliance with the conditions described in Note 4 above.

    b.5. Imaging cameras incorporating solid-state detectors 
specified by 6A002.a.1.


0
28. In Supplement No. 1 to part 774, Category 6, ECCN 6A005 is revised 
to read as follows:

6A005 ``Lasers,'' ``Components'' and Optical Equipment, as Follows 
(See List of Items Controlled), Excluding Items That Are Subject to 
the Export Licensing Authority of the Nuclear Regulatory Commission 
(See 10 CFR Part 110).

License Requirements

Reason for Control: NS, NP, AT

 
                                              Country chart  (see Supp.
                Control(s)                       No. 1  to part 738)
 
NS applies to entire entry................  NS Column 2
NP applies to lasers controlled by          NP Column 1
 6A005.a.2, a.3, a.4, b.2.b, b.3, b.4,
 b.6.c, c.1.b, c.2.b, d.2, d.3.c, or d.4.c
 that meet or exceed the technical
 parameters described in 6A205.
AT applies to entire entry................  AT Column 1
 

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

LVS: N/A for NP items; $3,000 for all other items
GBS: Neodymium-doped (other than glass) ``lasers'' controlled by 
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output 
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an 
average or CW output power not exceeding 2 kW, and operate in a 
pulse-excited, non- ``Q-switched'' multiple-transverse mode, or in a 
continuously excited, multiple-transverse mode; Dye and Liquid 
Lasers controlled by 6A005.c.1, c.2 and c.3, except for a pulsed 
single longitudinal mode oscillator having an average output power 
exceeding 1 W and a repetition rate exceeding 1 kHz if the ``pulse 
duration'' is less than 100 ns; CO ``lasers'' controlled by 
6A005.d.2 having a CW maximum rated single or multimode output power 
not exceeding 10 kW; CO2 or CO/CO2 ``lasers'' 
controlled by 6A005.d.3 having an output wavelength in the range 
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J 
per pulse and a maximum rated average single or multimode output 
power not exceeding 5 kW; and CO2 ``lasers'' controlled 
by 6A005.d.3 that operate in CW multiple-transverse mode, and having 
a CW output power not exceeding 15 kW.

List of Items Controlled

Related Controls (1) See ECCN 6D001 for ``software'' for items 
controlled under this entry. (2) See ECCNs 6E001 (``development''), 
6E002 (``production''), and 6E201 (``use'') for technology for items 
controlled under this entry. (3) Also see ECCNs 6A205 and 6A995. (4) 
See ECCN 3B001 for excimer ``lasers'' ``specially designed'' for 
lithography equipment. (5) ``Lasers'' ``specially designed'' or 
prepared for use in isotope separation are subject to the export 
licensing authority of the Nuclear Regulatory Commission (see 10 CFR 
part 110). (6) See USML Category XII(b) and (e) for laser systems or 
lasers subject to the ITAR. (7) See USML Category XVIII for certain 
laser-based directed energy weapon systems, equipment, and 
components subject to the ITAR.
Related Definitions: (1) `Wall-plug efficiency' is defined as the 
ratio of ``laser'' output power (or ``average output power'') to 
total electrical input power required to operate the ``laser'', 
including the power supply/conditioning and thermal conditioning/

[[Page 56322]]

heat exchanger, see 6A005.a.6.b.1 and 6A005.b.6; (2) `Non-repetitive 
pulsed' refers to ``lasers'' that produce either a single output 
pulse or that have a time interval between pulses exceeding one 
minute, see Note 2 of 6A005 and 6A005.d.6.
Items:

    Notes: 

    1. Pulsed ``lasers'' include those that run in a continuous wave 
(CW) mode with pulses superimposed.
    2. Excimer, semiconductor, chemical, CO, CO2, and 
`non-repetitive pulsed' Nd:glass ``lasers'' are only specified by 
6A005.d.

    Technical Note: `Non-repetitive pulsed' refers to ``lasers'' 
that produce either a single output pulse or that have a time 
interval between pulses exceeding one minute.

    3. 6A005 includes fiber ``lasers''.
    4. The control status of ``lasers'' incorporating frequency 
conversion (i.e., wavelength change) by means other than one 
``laser'' pumping another ``laser'' is determined by applying the 
control parameters for both the output of the source ``laser'' and 
the frequency-converted optical output.
    5. 6A005 does not control ``lasers'' as follows:
    a. Ruby with output energy below 20 J;
    b. Nitrogen;
    c. Krypton.
    6. For the purposes of 6A005.a and 6A005.b, `single transverse 
mode' refers to ``lasers'' with a beam profile having an M\2\-factor 
of less than 1.3, while `multiple transverse mode' refers to 
``lasers'' with a beam profile having an M\2\-factor of 1.3 or 
higher.
    a. Non-``tunable'' continuous wave ``(CW) lasers'' having any of 
the following:
    a.1. Output wavelength less than 150 nm and output power 
exceeding 1W;
    a.2. Output wavelength of 150 nm or more but not exceeding 510 
nm and output power exceeding 30 W;

    Note: 6A005.a.2 does not control Argon ``lasers'' having an 
output power equal to or less than 50 W.

    a.3. Output wavelength exceeding 510 nm but not exceeding 540 nm 
and any of the following:
    a.3.a. `Single transverse mode' output and output power 
exceeding 50 W; or
    a.3.b. `Multiple transverse mode' output and output power 
exceeding 150 W;
    a.4. Output wavelength exceeding 540 nm but not exceeding 800 nm 
and output power exceeding 30 W;
    a.5. Output wavelength exceeding 800 nm but not exceeding 975 nm 
and any of the following:
    a.5.a. `Single transverse mode' output and output power 
exceeding 50 W; or
    a.5.b. `Multiple transverse mode' output and output power 
exceeding 80 W;
    a.6. Output wavelength exceeding 975 nm but not exceeding 1,150 
nm and any of the following;
    a.6.a. `Single transverse mode' output and any of the following:
    a.6.a.1. Average output power exceeding 1,000 W; or
    a.6.a.2. Having all of the following:
    a.6.a.2.a. Average output power exceeding 500 W; and
    a.6.a.2.b. Spectral bandwidth less than 40 GHz; or
    a.6.b. `Multiple transverse mode' output and any of the 
following:
    a.6.b.1. `Wall-plug efficiency' exceeding 18% and output power 
exceeding 1,000 W; or
    a.6.b.2. Output power exceeding 2 kW;

    Note 1: 6A005.a.6.b does not control `multiple transverse mode', 
industrial ``lasers'' with output power exceeding 2 kW and not 
exceeding 6 kW with a total mass greater than 1,200 kg. For the 
purpose of this note, total mass includes all ``components'' 
required to operate the ``laser,'' e.g., ``laser,'' power supply, 
heat exchanger, but excludes external optics for beam conditioning 
or delivery.


    Note 2: 6A005.a.6.b does not apply to `multiple transverse 
mode', industrial ``lasers'' having any of the following:

    a. [Reserved];
    b. Output power exceeding 1 kW but not exceeding 1.6 kW and 
having a BPP exceeding 1.25 mmmrad;
    c. Output power exceeding 1.6 kW but not exceeding 2.5 kW and 
having a BPP exceeding 1.7 mmmrad;
    d. Output power exceeding 2.5 kW but not exceeding 3.3 kW and 
having a BPP exceeding 2.5 mmmrad;
    e. Output power exceeding 3.3 kW but not exceeding 6 kW and 
having a BPP exceeding 3.5 mmmrad;
    f. [Reserved]
    g. [Reserved]
    h. Output power exceeding 6 kW but not exceeding 8 kW and having 
a BPP exceeding 12 mmmrad; or
    i. Output power exceeding 8 kW but not exceeding 10 kW and 
having a BPP exceeding 24 mmmrad;
    a.7. Output wavelength exceeding 1,150 nm but not exceeding 
1,555 nm and any of the following:
    a.7.a. `Single transverse mode' and output power exceeding 50 W; 
or
    a.7.b. `Multiple transverse mode' and output power exceeding 80 
W;
    a.8. Output wavelength exceeding 1,555 nm but not exceeding 
1,850 nm and output power exceeding 1 W;
    a.9. Output wavelength exceeding 1,850 nm but not exceeding 
2,100 nm, and any of the following:
    a.9.a. `Single transverse mode' and output power exceeding 1 W; 
or
    a.9.b. `Multiple transverse mode' output and output power 
exceeding 120 W; or
    a.10. Output wavelength exceeding 2,100 nm and output power 
exceeding 1 W;
    b. Non-``tunable'' ``pulsed lasers'' having any of the 
following:
    b.1. Output wavelength less than 150 nm and any of the 
following:
    b.1.a. Output energy exceeding 50 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    b.1.b. ``Average output power'' exceeding 1 W;
    b.2. Output wavelength of 150 nm or more but not exceeding 510 
nm and any of the following:
    b.2.a. Output energy exceeding 1.5 J per pulse and ``peak 
power'' exceeding 30 W; or
    b.2.b. ``Average output power'' exceeding 30 W;

    Note: 6A005.b.2.b does not control Argon ``lasers'' having an 
``average output power'' equal to or less than 50 W.

    b.3. Output wavelength exceeding 510 nm, but not exceeding 540 
nm and any of the following:
    b.3.a. `Single transverse mode' output and any of the following:
    b.3.a.1. Output energy exceeding 1.5 J per pulse and ``peak 
power'' exceeding 50 W; or
    b.3.a.2. ``Average output power'' exceeding 50 W; or
    b.3.b. `Multiple transverse mode' output and any of the 
following:
    b.3.b.1. Output energy exceeding 1.5 J per pulse and ``peak 
power'' exceeding 150 W; or
    b.3.b.2. ``Average output power'' exceeding 150 W;
    b.4. Output wavelength exceeding 540 nm but not exceeding 800 nm 
and any of the following:
    b.4.a. ``Pulse duration'' less than 1 ps and any of the 
following:
    b.4.a.1. Output energy exceeding 0.005 J per pulse and ``peak 
power'' exceeding 5 GW; or
    b.4.a.2. ``Average output power'' exceeding 20 W; or
    b.4.b. ``Pulse duration'' equal to or exceeding 1 ps and any of 
the following:
    b.4.b.1. Output energy exceeding 1.5 J per pulse and ``peak 
power'' exceeding 30 W; or
    b.4.b.2. ``Average output power'' exceeding 30 W;
    b.5. Output wavelength exceeding 800 nm but not exceeding 975 nm 
and any of the following:
    b.5.a. ``Pulse duration'' less than 1ps and any of the 
following:
    b.5.a.1. Output energy exceeding 0.005 J per pulse and ``peak 
power'' exceeding 5 GW; or
    b.5.a.2. `Single transverse mode' output and ``average output 
power'' exceeding 20 W;
    b.5.b. ``Pulse duration'' equal to or exceeding 1 ps and not 
exceeding 1 [mu]s and any of the following:
    b.5.b.1. Output energy exceeding 0.5 J per pulse and ``peak 
power'' exceeding 50 W;
    b.5.b.2. `Single transverse mode' output and ``average output 
power'' exceeding 20 W; or
    b.5.b.3. `Multiple transverse mode' output and ``average output 
power'' exceeding 50 W; or
    b.5.c. ``Pulse duration'' exceeding 1 [mu]s and any of the 
following:
    b.5.c.1. Output energy exceeding 2 J per pulse and ``peak 
power'' exceeding 50 W;
    b.5.c.2. `Single transverse mode' output and ``average output 
power'' exceeding 50 W; or
    b.5.c.3. `Multiple transverse mode' output and ``average output 
power'' exceeding 80 W.
    b.6. Output wavelength exceeding 975 nm but not exceeding 1,150 
nm and any of the following:
    b.6.a. ``Pulse duration'' of less than 1 ps, and any of the 
following:
    b.6.a.1. Output ``peak power'' exceeding 2 GW per pulse;
    b.6.a.2. ``Average output power'' exceeding 30 W; or
    b.6.a.3. Output energy exceeding 0.002 J per pulse;

[[Page 56323]]

    b.6.b. ``Pulse duration'' equal to or exceeding 1 ps and less 
than 1 ns, and any of the following:
    b.6.b.1. Output ``peak power'' exceeding 5 GW per pulse;
    b.6.b.2. ``Average output power'' exceeding 50 W; or
    b.6.b.3. Output energy exceeding 0.1 J per pulse;
    b.6.c. ``Pulse duration'' equal to or exceeding 1 ns but not 
exceeding 1 [mu]s and any of the following:
    b.6.c.1. `Single transverse mode' output and any of the 
following:
    b.6.c.1.a. ``Peak power'' exceeding 100 MW;
    b.6.c.1.b. ``Average output power'' exceeding 20 W limited by 
design to a maximum pulse repetition frequency less than or equal to 
1 kHz;
    b.6.c.1.c. `Wall-plug efficiency' exceeding 12%, ``average 
output power'' exceeding 100 W and capable of operating at a pulse 
repetition frequency greater than 1 kHz;
    b.6.c.1.d. ``Average output power'' exceeding 150 W and capable 
of operating at a pulse repetition frequency greater than 1 kHz; or
    b.6.c.1.e. Output energy exceeding 2 J per pulse; or
    b.6.c.2. `Multiple transverse mode' output and any of the 
following:
    b.6.c.2.a. ``Peak power'' exceeding 400 MW;
    b.6.c.2.b. `Wall-plug efficiency' exceeding 18% and ``average 
output power'' exceeding 500 W;
    b.6.c.2.c. ``Average output power'' exceeding 2 kW; or
    b.6.c.2.d. Output energy exceeding 4 J per pulse; or
    b.6.d. ``Pulse duration'' exceeding 1 [mu]s and any of the 
following:
    b.6.d.1. `Single transverse mode' output and any of the 
following:
    b.6.d.1.a. ``Peak power'' exceeding 500 kW;
    b.6.d.1.b. `Wall-plug efficiency' exceeding 12% and ``average 
output power'' exceeding 100 W; or
    b.6.d.1.c. ``Average output power'' exceeding 150 W; or
    b.6.d.2. `Multiple transverse mode' output and any of the 
following:
    b.6.d.2.a. ``Peak power'' exceeding 1 MW;
    b.6.d.2.b. `Wall-plug efficiency' exceeding 18% and ``average 
output power'' exceeding 500 W; or
    b.6.d.2.c. ``Average output power'' exceeding 2 kW;
    b.7. Output wavelength exceeding 1,150 nm but not exceeding 
1,555 nm and any of the following:
    b.7.a. ``Pulse duration'' not exceeding 1 [mu]s and any of the 
following:
    b.7.a.1. Output energy exceeding 0.5 J per pulse and ``peak 
power'' exceeding 50 W;
    b.7.a.2. `Single transverse mode' output and ``average output 
power'' exceeding 20 W; or
    b.7.a.3. `Multiple transverse mode' output and ``average output 
power'' exceeding 50 W; or
    b.7.b. ``Pulse duration'' exceeding 1 [mu]s and any of the 
following:
    b.7.b.1. Output energy exceeding 2 J per pulse and ``peak 
power'' exceeding 50 W;
    b.7.b.2. `Single transverse mode' output and ``average output 
power'' exceeding 50 W; or
    b.7.b.3. `Multiple transverse mode' output and ``average output 
power'' exceeding 80 W;
    b.8. Output wavelength exceeding 1,555 nm but not exceeding 
1,850 nm, and any of the following:
    b.8.a. Output energy exceeding 100 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    b.8.b. ``Average output power'' exceeding 1 W;
    b.9. Output wavelength exceeding 1,850 nm but not exceeding 
2,100 nm, and any of the following:
    b.9.a. `Single transverse mode' and any of the following:
    b.9.a.1. Output energy exceeding 100 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    b.9.a.2. ``Average output power'' exceeding 1 W;
    b.9.b. `Multiple transverse mode' and any of the following:
    b.9.b.1. Output energy exceeding 100 mJ per pulse and ``peak 
power'' exceeding 10 kW; or
    b.9.b.2. ``Average output power'' exceeding 120 W; or
    b.10. Output wavelength exceeding 2,100 nm and any of the 
following:
    b.10.a. Output energy exceeding 100 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    b.10.b. ``Average output power'' exceeding 1 W;
    c. ``Tunable'' lasers having any of the following:
    c.1. Output wavelength less than 600 nm and any of the 
following:
    c.1.a. Output energy exceeding 50 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    c.1.b. Average or CW output power exceeding 1W;

    Note:  6A005.c.1 does not apply to dye ``lasers'' or other 
liquid ``lasers,'' having a multimode output and a wavelength of 150 
nm or more but not exceeding 600 nm and all of the following:

    1. Output energy less than 1.5 J per pulse or a ``peak power'' 
less than 20 W; and
    2. Average or CW output power less than 20 W.
    c.2. Output wavelength of 600 nm or more but not exceeding 1,400 
nm, and any of the following:
    c.2.a. Output energy exceeding 1 J per pulse and ``peak power'' 
exceeding 20 W; or
    c.2.b. Average or CW output power exceeding 20 W; or
    c.3. Output wavelength exceeding 1,400 nm and any of the 
following:
    c.3.a. Output energy exceeding 50 mJ per pulse and ``peak 
power'' exceeding 1 W; or
    c.3.b. Average or CW output power exceeding 1 W;
    d. Other ``lasers'', not controlled by 6A005.a, 6A005.b, or 
6A005.c as follows:
    d.1. Semiconductor ``lasers'' as follows:

    Notes: 

    1. 6A005.d.1 includes semiconductor ``lasers'' having optical 
output connectors (e.g., fiber optic pigtails).
    2. The control status of semiconductor ``lasers'' ``specially 
designed'' for other equipment is determined by the control status 
of the other equipment.
    d.1.a. Individual single transverse mode semiconductor 
``lasers'' having any of the following:
    d.1.a.1. Wavelength equal to or less than 1,510 nm and average 
or CW output power, exceeding 1.5 W; or
    d.1.a.2. Wavelength greater than 1,510 nm and average or CW 
output power, exceeding 500 mW;
    d.1.b. Individual `multiple-transverse mode' semiconductor 
``lasers'' having any of the following:
    d.1.b.1. Wavelength of less than 1,400 nm and average or CW 
output power, exceeding 15 W;
    d.1.b.2. Wavelength equal to or greater than 1,400 nm and less 
than 1,900 nm and average or CW output power, exceeding 2.5 W; or
    d.1.b.3. Wavelength equal to or greater than 1,900 nm and 
average or CW output power, exceeding 1 W;
    d.1.c. Individual semiconductor ``laser'' 'bars' having any of 
the following:
    d.1.c.1. Wavelength of less than 1,400 nm and average or CW 
output power, exceeding 100 W;
    d.1.c.2. Wavelength equal to or greater than 1,400 nm and less 
than 1,900 nm and average or CW output power, exceeding 25 W; or
    d.1.c.3. Wavelength equal to or greater than 1,900 nm and 
average or CW output power, exceeding 10 W;
    d.1.d. Semiconductor ``laser'' `stacked arrays' (two dimensional 
arrays) having any of the following:
    d.1.d.1. Wavelength less than 1,400 nm and having any of the 
following:
    d.1.d.1.a. Average or CW total output power less than 3 kW and 
having average or CW output `power density' greater than 500 W/
cm\2\;
    d.1.d.1.b. Average or CW total output power equal to or 
exceeding 3 kW but less than or equal to 5 kW, and having average or 
CW output `power density' greater than 350W/cm\2\;
    d.1.d.1.c. Average or CW total output power exceeding 5 kW;
    d.1.d.1.d. Peak pulsed `power density' exceeding 2,500 W/cm\2\; 
or

    Note:  6A005.d.1.d.1.d does not apply to epitaxially-fabricated 
monolithic devices.

    d.1.d.1.e. Spatially coherent average or CW total output power, 
greater than 150 W;
    d.1.d.2. Wavelength greater than or equal to 1,400 nm but less 
than 1,900 nm, and having any of the following:
    d.1.d.2.a. Average or CW total output power less than 250 W and 
average or CW output `power density' greater than 150 W/cm2;
    d.1.d.2.b. Average or CW total output power equal to or 
exceeding 250 W but less than or equal to 500 W, and having average 
or CW output `power density' greater than 50W/cm\2\;
    d.1.d.2.c. Average or CW total output power exceeding 500 W;
    d.1.d.2.d. Peak pulsed `power density' exceeding 500 W/cm\2\; or

    Note:  6A005.d.1.d.2.d does not apply to epitaxially-fabricated 
monolithic devices.

    d.1.d.2.e. Spatially coherent average or CW total output power, 
exceeding 15 W;
    d.1.d.3. Wavelength greater than or equal to 1,900 nm and having 
any of the following:

[[Page 56324]]

    d.1.d.3.a. Average or CW output `power density' greater than 50 
W/cm\2\;
    d.1.d.3.b. Average or CW output power greater than 10 W; or
    d.1.d.3.c. Spatially coherent average or CW total output power, 
exceeding 1.5 W; or
    d.1.d.4. At least one ``laser'' `bar' specified by 6A005.d.1.c;

    Technical Note:  For the purposes of 6A005.d.1.d, 'power 
density' means the total ``laser'' output power divided by the 
emitter surface area of the `stacked array'.

    d.1.e. Semiconductor ``laser'' `stacked arrays', other than 
those specified by 6.A005.d.1.d, having all of the following:
    d.1.e.1. ``Specially designed'' or modified to be combined with 
other `stacked arrays' to form a larger `stacked array'; and
    d.1.e.2. Integrated connections, common for both electronics and 
cooling;

    Note 1:  `Stacked arrays', formed by combining semiconductor 
``laser'' `stacked arrays' specified by 6A005.d.1.e, that are not 
designed to be further combined or modified are specified by 
6A005.d.1.d.


    Note 2:  `Stacked arrays', formed by combining semiconductor 
``laser'' `stacked arrays' specified by 6A005.d.1.e, that are 
designed to be further combined or modified are specified by 
6A005.d.1.e.


    Note 3:  6A005.d.1.e does not apply to modular assemblies of 
single `bars' designed to be fabricated into end to end stacked 
linear arrays.


    Technical Notes: 

    1. Semiconductor ``lasers'' are commonly called ``laser'' 
diodes.
    2. A `bar' (also called a semiconductor ``laser'' `bar', a 
``laser'' diode `bar' or diode `bar') consists of multiple 
semiconductor ``lasers'' in a one dimensional array.
    3. A `stacked array' consists of multiple `bars' forming a two 
dimensional array of semiconductor ``lasers''.
    d.2. Carbon monoxide (CO) ``lasers'' having any of the 
following:
    d.2.a. Output energy exceeding 2 J per pulse and ``peak power'' 
exceeding 5 kW; or
    d.2.b. Average or CW output power, exceeding 5 kW;
    d.3. Carbon dioxide (CO2) ``lasers'' having any of 
the following:
    d.3.a. CW output power exceeding 15 kW;
    d.3.b. Pulsed output with ``pulse duration'' exceeding 10 [mu]s 
and any of the following:
    d.3.b.1. ``Average output power'' exceeding 10 kW; or
    d.3.b.2. ``Peak power'' exceeding 100 kW; or
    d.3.c. Pulsed output with a ``pulse duration'' equal to or less 
than 10 [mu]s and any of the following:
    d.3.c.1. Pulse energy exceeding 5 J per pulse; or
    d.3.c.2. ``Average output power'' exceeding 2.5 kW;
    d.4. Excimer ``lasers'' having any of the following:
    d.4.a. Output wavelength not exceeding 150 nm and any of the 
following:
    d.4.a.1. Output energy exceeding 50 mJ per pulse; or
    d.4.a.2. ``Average output power'' exceeding 1 W;
    d.4.b. Output wavelength exceeding 150 nm but not exceeding 190 
nm and any of the following:
    d.4.b.1. Output energy exceeding 1.5 J per pulse; or
    d.4.b.2. ``Average output power'' exceeding 120 W;
    d.4.c. Output wavelength exceeding 190 nm but not exceeding 360 
nm and any of the following:
    d.4.c.1. Output energy exceeding 10 J per pulse; or
    d.4.c.2. ``Average output power'' exceeding 500 W; or
    d.4.d. Output wavelength exceeding 360 nm and any of the 
following:
    d.4.d.1. Output energy exceeding 1.5 J per pulse; or
    d.4.d.2. ``Average output power'' exceeding 30 W;

    Note: For excimer ``lasers'' ``specially designed'' for 
lithography equipment, see 3B001.

    d.5. ``Chemical lasers'' as follows:
    d.5.a. Hydrogen Fluoride (HF) ``lasers';
    d.5.b. Deuterium Fluoride (DF) ``lasers'';
    d.5.c. `Transfer lasers' as follows:
    d.5.c.1. Oxygen Iodine (O2-I) ``lasers'';
    d.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO2) 
``lasers'';

    Technical Note:  `Transfer lasers' are ``lasers'' in which the 
lasing species are excited through the transfer of energy by 
collision of a non-lasing atom or molecule with a lasing atom or 
molecule species.

    d.6. `Non-repetitive pulsed' Neodymium (Nd) glass ``lasers'' 
having any of the following:
    d.6.a. A ``pulse duration'' not exceeding 1 [mu]s and output 
energy exceeding 50 J per pulse; or
    d.6.b. A ``pulse duration'' exceeding 1 [mu]s and output energy 
exceeding 100 J per pulse;
    e. ``Components'' as follows:
    e.1. Mirrors cooled either by `active cooling' or by heat pipe 
cooling;

    Technical Note: `Active cooling' is a cooling technique for 
optical ``components'' using flowing fluids within the subsurface 
(nominally less than 1 mm below the optical surface) of the optical 
component to remove heat from the optic.

    e.2. Optical mirrors or transmissive or partially transmissive 
optical or electro-optical-''components,'' other than fused tapered 
fiber combiners and Multi-Layer Dielectric gratings (MLDs), 
``specially designed'' for use with controlled ``lasers'';

    Note to 6A005.e.2: Fiber combiners and MLDs are specified by 
6A005.e.3.

    e.3. Fiber ``laser'' ``components'' as follows:
    e.3.a. Multimode to multimode fused tapered fiber combiners 
having all of the following:
    e.3.a.1. An insertion loss better (less) than or equal to 0.3 dB 
maintained at a rated total average or CW output power (excluding 
output power transmitted through the single mode core if present) 
exceeding 1,000 W; and
    e.3.a.2. Number of input fibers equal to or greater than 3;
    e.3.b. Single mode to multimode fused tapered fiber combiners 
having all of the following:
    e.3.b.1. An insertion loss better (less) than 0.5 dB maintained 
at a rated total average or CW output power exceeding 4,600 W;
    e.3.b.2. Number of input fibers equal to or greater than 3; and
    e.3.b.3. Having any of the following:
    e.3.b.3.a. A Beam Parameter Product (BPP) measured at the output 
not exceeding 1.5 mm mrad for a number of input fibers less than or 
equal to 5; or
    e.3.b.3.b. A BPP measured at the output not exceeding 2.5 mm 
mrad for a number of input fibers greater than 5;
    e.3.c. MLDs having all of the following:
    e.3.c.1. Designed for spectral or coherent beam combination of 5 
or more fiber ``lasers;'' and
    e.3.c.2. CW ``Laser'' Induced Damage Threshold (LIDT) greater 
than or equal to 10 kW/cm\2\;
    f. Optical equipment as follows:
    N.B.: For shared aperture optical elements, capable of operating 
in ``Super-High Power Laser'' (``SHPL'') applications, see the U.S. 
Munitions List (22 CFR part 121).
    f.1. [Reserved]
    N.B.: For items previously specified by 6A005.f.1, see 6A004.f.
    f.2. ``Laser'' diagnostic equipment ``specially designed'' for 
dynamic measurement of ``SHPL'' system angular beam steering errors 
and having an angular ``accuracy'' of 10 [mu]rad (microradians) or 
less (better);
    f.3. Optical equipment and ``components'', ``specially 
designed'' for coherent beam combination in a phased-array ``SHPL'' 
system and having any of the following:
    f.3.a. An ``accuracy'' of 0.1 [micro]m or less, for wavelengths 
greater than 1 [micro]m; or
    f.3.b. An ``accuracy'' of [lambda]/10 or less (better) at the 
designed wavelength, for wavelengths equal to or less than 1 
[micro]m;
    f.4. Projection telescopes ``specially designed'' for use with 
``SHPL'' systems;
    g. `Laser acoustic detection equipment' having all of the 
following:
    g.1. CW ``laser'' output power greater than or equal to 20 mW;
    g.2. ``Laser'' frequency stability equal to or better (less) 
than 10 MHz;
    g.3. ``Laser'' wavelengths equal to or exceeding 1,000 nm but 
not exceeding 2,000 nm;
    g.4. Optical system resolution better (less) than 1 nm; and
    g.5. Optical Signal to Noise ratio equal or exceeding to 10\3\.

    Technical Note:  `Laser acoustic detection equipment' is 
sometimes referred to as a ``Laser'' Microphone or Particle Flow 
Detection Microphone.


0
29. In Supplement No. 1 to part 774, Category 6, ECCN 6B002 is added to 
read as follows:

6B002 Masks and Reticles, ``Specially Designed'' for Optical Sensors 
Specified by 6A002.a.1.b or 6A002.a.1.d.

License Requirements

Reason for Control: NS, AT

[[Page 56325]]



 
                                              Country chart  (see Supp.
                Control(s)                       No. 1 to part 738)
 
NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
 

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

LVS: $5,000
GBS: Yes

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

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


0
30. In Supplement No. 1 to part 774, Category 6, ECCN 6E001 is revised 
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, 
6A998, or 6A999.c), 6B (Except 6B995), 6C (Except 6C992 or 6C994), 
or 6D (Except 6D991, 6D992, or 6D993).

License Requirements

Reason for Control: NS, MT, NP, RS, CC, AT, UN

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to ``technology'' for items      NS Column 1
 controlled by 6A001 to 6A008, 6B002 to
 6B008, 6C002 to 6C005, or 6D001 to 6D003.
MT applies to ``technology'' for items      MT Column 1
 controlled by 6A002, 6A007, 6A008, 6A102,
 6A107, 6A108, 6B008, 6B108, 6D001, 6D002,
 6D102 or 6D103 for MT reasons.
NP applies to ``technology'' for items      NP Column 1
 controlled by 6A003, 6A005, 6A202, 6A203,
 6A205, 6A225, 6A226, 6D001, or 6D201 for
 NP reasons.
RS applies to ``technology'' for items      RS Column 1
 controlled by 6A002.a.1, .a.2, .a.3, .c,
 or .f, 6A003.b.3 or .b.4, or 6A008.j.1.
CC applies to ``technology'' for equipment  CC Column 1
 controlled by 6A002 for CC reasons.
AT applies to entire entry................  AT Column 1
UN applies to ``technology'' for equipment  See Sec.   746.1(b) for UN
 controlled by 6A002 or 6A003 for UN         controls
 reasons.
 

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; (2) ``Technology'' for commodities controlled by 6A002, 
6A004.e or 6A008.j.1; (3) ``Technology'' for 6A003 cameras, unless 
for ``technology'' for the integration of 6A003 cameras into camera 
systems ``specially designed'' for civil automotive applications; 
(4) ``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; or (5) Exports or reexports to destinations outside of those 
countries listed in Country Group A:5 (See Supplement No. 1 to part 
740 of the EAR) of ``technology'' for the ``development'' of the 
following: (a) Items controlled by 6A001.a.1.b, 6A001.a.1.e, 
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.d, 6A001.a.2.e., 6A004.c, 
6A004.d, 6A006.a.2, 6A006.c.1, 6A006.d, 6A006.e, 6A008.d, 6A008.h, 
6A008.k, 6B008, or 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 6B008, or 6D003.a.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit any 
technology in this entry to any of the destinations listed in 
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) Technical data directly related to satellites 
and all other items described in USML Category XV are subject to the 
ITAR under USML Category XV(f). (2) Technical data directly related 
to laser systems, infrared imaging systems, and all other items 
described in USML Category XII are subject to the ITAR under USML 
Category XII(f). (3) Technical data directly related to read-out 
integrated circuits described in USML Categories XII(e) or XV(e)(3) 
is subject to the ITAR under USML Categories XII(f) or XV(f), 
respectively. (4) See also 6E101, 6E201, and 6E991.
Related Definitions: N/A
Items:

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


0
31. In Supplement No. 1 to part 774, Category 6, ECCN 6E002 is revised 
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, 6A998 or 6A999.c), 
6B (Except 6B995) or 6C (except 6C992 or 6C994).

License Requirements

Reason for Control: NS, MT, NP, RS, CC, AT, UN

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to ``technology'' for equipment  NS Column 1
 controlled by 6A001 to 6A008, 6B002 to
 6B008, or 6C002 to 6C005.
MT applies to ``technology'' for equipment  MT Column 1
 controlled by 6A002, 6A007, 6A008, 6A102,
 6A107, 6A108, 6B008, or 6B108 for MT
 reasons.
NP applies to ``technology'' for items      NP Column 1
 controlled by 6A003, 6A005, 6A202, 6A203,
 6A205, 6A225 or 6A226 for NP reasons.
RS applies to ``technology'' for items      RS Column 1
 controlled by 6A002.a.1, .a.2, .a.3, .c,
 or .f, 6A003.b.3 or .b.4, or 6A008.j.1.
CC applies to ``technology'' for equipment  CC Column 1
 controlled by 6A002 for CC reasons.
AT applies to entire entry................  AT Column 1
UN applies to ``technology'' for equipment  See Sec.   746.1(b) for UN
 controlled by 6A002 or 6A003 for UN         controls
 reasons.
 

Reporting Requirements

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

[[Page 56326]]

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;
    (2) ``Technology'' for commodities controlled by 6A002, 6A004.e, 
or 6A008.j.1;
    (3) ``Technology'' for 6A003 cameras, unless for ``technology'' 
for the integration of 6A003 cameras into camera systems ``specially 
designed'' for civil automotive applications ; or
    (4) Exports or reexports to destinations outside of those 
countries listed in Country Group A:5 (See Supplement No. 1 to part 
740 of the EAR) of ``technology'' for the ``production'' of the 
following: (a) Items controlled by 6A001.a.1.b, 6A001.a.1.e, 
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, 6A004.c, 6A004.d, 6A006.a.2, 6A006.c.1, 
6A006.d, 6A006.e, 6A008.d, 6A008.h, 6A008.k, or 6B008; and (b) Items 
controlled by 6A001.a.2.c or 6A001.a.2.f when ``specially designed'' 
for real time applications.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``technology'' according to the General Technology Note for the 
``production'' of equipment specified in the STA exclusion 
paragraphs found in the License Exception sections of by ECCNs 
6A001, 6A002, 6A003, 6A004, 6A006, 6A008, or 6B008 to any of the 
destinations listed in Country Group A:6 (See Supplement No.1 to 
part 740 of the EAR).

List of Items Controlled

Related Controls: (1) Technical data directly related to satellites 
and all other items described in USML Category XV are subject to the 
ITAR under USML Category XV(f). (2) Technical data directly related 
to laser systems, infrared imaging systems, and all other items 
described in USML Category XII are subject to the ITAR under USML 
Category XII(f). (3) Technical data directly related to read-out 
integrated circuits described in USML Categories XII(e) or XV(e)(3) 
is subject to the ITAR under USML Categories XII(f) or XV(f), 
respectively. (4) See also 6E992.
Related Definitions: N/A
Items:

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


0
32. In Supplement No. 1 to part 774, Category 7, ECCN 7A002 is revised 
to read as follows:

7A002 Gyros or Angular Rate Sensors, Having any of the Following, 
and ``Specially Designed'' ``Components'' Therefor.

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 commodities that meet or      MT Column 1
 exceed the parameters of 7A102.
AT applies to entire entry................  AT Column 1
 


    License Requirement Note: For the purpose of MT controls only, 
the term `stability' is defined as a measure of the ability of a 
specific mechanism or performance coefficient to remain invariant 
when continuously exposed to a fixed operating condition. (This 
definition does not refer to dynamic or servo stability.) (IEEE STD 
528-2001 paragraph 2.247)

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

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: (1) See USML Category XII(e) for gyros or angular 
rate sensors subject to the ITAR. (2) See also ECCNs 7A102, 7A611, 
and 7A994. (3) For angular or rotational accelerometers, see ECCN 
7A001.b.
Related Definitions: N/A
Items:
    a. Specified to function at linear acceleration levels less than 
or equal to 100 g and having any of the following:
    a.1. An angular rate range of less than 500 degrees per second 
and having any of the following:
    a.1.a. A ``bias'' ``stability'' of less (better) than 0.5 degree 
per hour, when measured in a 1 g environment over a period of one 
month, and with respect to a fixed calibration value; or
    a.1.b. An ``angle random walk'' of less (better) than or equal 
to 0.0035 degree per square root hour; or

    Note: 7A002.a.1.b does not control ``spinning mass gyros''.

    a.2. An angular rate range greater than or equal to 500 degrees 
per second and having any of the following:
    a.2.a. A ``bias'' ``stability'' of less (better) than 4 degrees 
per hour, when measured in a 1 g environment over a period of three 
minutes, and with respect to a fixed calibration value; or
    a.2.b. An ``angle random walk'' of less (better) than or equal 
to 0.1 degree per square root hour; or

    Note: 7A002.a.2.b does not apply to ``spinning mass gyros''.

    b. Specified to function at linear acceleration levels exceeding 
100 g.


0
33. In Supplement No. 1 to part 774, Category 7, ECCN 7A003 is revised 
to read as follows:

7A003 `Inertial Measurement Equipment or Systems', Having any of the 
Following.

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 commodities in 7A003.d that   MT Column 1
 meet or exceed the parameters of 7A103.
AT applies to entire entry................  AT Column 1
 

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

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: (1) See also ECCNs 7A103, 7A611, and 7A994. (2) 
See USML Category XII(d) for guidance or navigation systems subject 
to the ITAR.
Related Definitions: N/A
Items:

    Note 1: `Inertial measurement equipment or systems' incorporate 
accelerometers or gyroscopes to measure changes in velocity and 
orientation in order to determine or maintain heading or position 
without requiring an external reference once aligned. `Inertial 
measurement equipment or systems' include:

    --Attitude and Heading Reference Systems (AHRSs);
    --Gyrocompasses;
    --Inertial Measurement Units (IMUs);
    --Inertial Navigation Systems (INSs);
    --Inertial Reference Systems (IRSs);
    --Inertial Reference Units (IRUs).

    Note 2: 7A003 does not apply to `inertial measurement equipment 
or systems' which are certified for use on ``civil aircraft'' by 
civil aviation authorities of one or more Wassenaar Arrangement 
Participating States, see Supplement No. 1 to part 743 of the EAR.


    Technical Note: `Positional aiding references' independently 
provide position, and include:

    a. ``Satellite navigation system'';
    b. ''Data-Based Referenced Navigation'' (``DBRN'').
    a. Designed for ``aircraft'', land vehicles or vessels, 
providing position without the use of `positional aiding 
references', and having any of the following ``accuracies'' 
subsequent to normal alignment:
    a.1. 0.8 nautical miles per hour (nm/hr) ``Circular Error 
Probable'' (``CEP'') rate or less (better);
    a.2. 0.5% distanced travelled ``CEP'' or less (better); or
    a.3. Total drift of 1 nautical mile ``CEP'' or less (better) in 
a 24 hr period;

    Technical Note: The performance parameters in 7A003.a.1, 
7A003.a.2 and 7A003.a.3 typically apply to `inertia measurement 
equipment or systems' designed for ``aircraft'', vehicles and 
vessels, respectively. These parameters result from the utilization 
of specialized non-positional aiding references (e.g., altimeter, 
odometer, velocity log). As a consequence, the specified performance 
values cannot be readily

[[Page 56327]]

converted between these parameters. Equipment designed for multiple 
platforms are evaluated against each applicable entry 7A003.a.1, 
7A003.a.2, or 7A003.a.3.

    b. Designed for ``aircraft'', land vehicles or vessels, with an 
embedded `positional aiding reference' and providing position after 
loss of all `positional aiding references' for a period of up to 4 
minutes, having an ``accuracy'' of less (better) than 10 meters 
``CEP'';

    Technical Note: 7A003.b refers to systems in which `inertial 
measurement equipment or systems' and other independent `positional 
aiding references' are built into a single unit (i.e., embedded) in 
order to achieve improved performance.

    c. Designed for ``aircraft'', land vehicles or vessels, 
providing heading or True North determination and having any of the 
following:
    c.1. A maximum operating angular rate less (lower) than 500 deg/
s and a heading ``accuracy'' without the use of `positional aiding 
references' equal to or less (better) than 0.07 deg sec (Lat) 
(equivalent to 6 arc minutes rms at 45 degrees latitude); or
    c.2. A maximum operating angular rate equal to or greater 
(higher) than 500 deg/s and a heading ``accuracy'' without the use 
of `positional aiding references' equal to or less (better) than 0.2 
deg sec (Lat) (equivalent to 17 arc minutes rms at 45 degrees 
latitude);
    d. Providing acceleration measurements or angular rate 
measurements, in more than one dimension, and having any of the 
following:
    d.1. Performance specified by 7A001 or 7A002 along any axis, 
without the use of any aiding references; or
    d.2. Being ``space-qualified'' and providing angular rate 
measurements having an ``angle random walk'' along any axis of less 
(better) than or equal to 0.1 degree per square root hour.

    Note: 7A003.d.2 does not apply to `inertial measurement 
equipment or systems' that contain ``spinning mass gyros'' as the 
only type of gyro.


0
34. In Supplement No. 1 to part 774, Category 7, ECCN 7A005 is revised 
to read as follows:

7A005 ``Satellite Navigation System'' Receiving Equipment Having any 
of the Following and ``Specially Designed'' ``Components'' Therefor.

License Requirements

Reason for Control: NS, MT and AT

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to 7A005.b.....................  NS Column 1
MT applies to commodities in 7A005.b that   MT Column 1
 meet or exceed the parameters of 7A105.
AT applies to 7A005.b.....................  AT Column 1
 

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

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Related Controls: (1) See also ECCNs 7A105, 7A611 and 7A994. 
Commercially available ``satellite navigation system'' receivers do 
not typically employ decryption or adaptive antennae and are 
classified as 7A994. (2) See USML Category XII(d) for ``satellite 
navigation system'' receiving equipment subject to the ITAR and USML 
Category XI(c)(10) for antennae that are subject to the ITAR. (3) 
Items that otherwise would be covered by ECCN 7A005.a are ``subject 
to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items:
    a. Employing a decryption algorithm ``specially designed'' or 
modified for government use to access the ranging code for position 
and time; or
    b. Employing `adaptive antenna systems'.

    Note: 7A005.b does not apply to ``satellite navigation system'' 
receiving equipment that only uses ``components'' designed to 
filter, switch, or combine signals from multiple omni-directional 
antennas that do not implement adaptive antenna techniques.


    Technical Note: For the purposes of 7A005.b `adaptive antenna 
systems' dynamically generate one or more spatial nulls in an 
antenna array pattern by signal processing in the time domain or 
frequency domain.


0
35. In Supplement No. 1 to part 774, Category 7, ECCN 7D003 is revised 
to read as follows:

7D003 Other ``Software'' as Follows (See List of Items Controlled).

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 ``software'' for equipment    MT Column 1
 controlled for MT reasons. MT does not
 apply to ``software'' for equipment
 controlled by 7A008.
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: License Exception STA may not be used to ship or transmit 
software in 7D003.a or .b to any of the destinations listed in 
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: See also 7D103 and 7D994.
Related Definitions: `Data-Based Referenced Navigation' (`DBRN') 
systems are systems which use various sources of previously measured 
geo-mapping data integrated to provide accurate navigation 
information under dynamic conditions. Data sources include 
bathymetric maps, stellar maps, gravity maps, magnetic maps or 3-D 
digital terrain maps.
Items:

    a. ``Software'' ``specially designed'' or modified to improve 
the operational performance or reduce the navigational error of 
systems to the levels controlled by 7A003, 7A004 or 7A008;
    b. ``Source code'' for hybrid integrated systems which improves 
the operational performance or reduces the navigational error of 
systems to the level controlled by 7A003 or 7A008 by continuously 
combining heading data with any of the following:
    b.1. Doppler radar or sonar velocity data;
    b.2. ``Satellite navigation system'' reference data; or
    b.3. Data from `Data-Based Referenced Navigation' (`DBRN'') 
systems;
    c. [Reserved]
    d. [Reserved]
    N.B. For flight control ``source code,'' see 7D004.
    e. Computer-Aided-Design (CAD) ``software'' ``specially 
designed'' for the ``development'' of ``active flight control 
systems'', helicopter multi-axis fly-by-wire or fly-by-light 
controllers or helicopter ``circulation controlled anti-torque or 
circulation-controlled direction control systems'', whose 
``technology'' is controlled by 7E004.b.1, 7E004.b.3 to b.5, 
7E004.b.7 to b.8, 7E004.c.1 or 7E004.c.2.


0
36. In Supplement No. 1 to part 774, Category 7, ECCN 7D005 is revised 
to read as follows:

7D005 ``Software'' ``Specially Designed'' To Decrypt ``Satellite 
Navigation System'' Ranging Signals Designed for Government Use.

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

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

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

[[Page 56328]]


0
37. In Supplement No. 1 to part 774, Category 8, ECCN 8A001 is revised 
to read as follows:

8A001 Submersible Vehicles and Surface Vessels, 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 2
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)

LVS: $5,000; N/A for 8A001.b and .c.1
GBS: N/A

Special Conditions for STA

STA: License Exception STA may not be used to ship any commodity in 
8A001.b, or 8A001.c to any of the destinations listed in Country 
Group A:6 (See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: For the control status of equipment for 
submersible vehicles, see: Category 6 for sensors; Categories 7 and 
8 for navigation equipment; Category 8A for underwater equipment.
Related Definitions: N/A
Items:

    a. Manned, tethered submersible vehicles designed to operate at 
depths exceeding 1,000 m;
    b. Manned, untethered submersible vehicles having any of the 
following:
    b.1. Designed to `operate autonomously' and having a lifting 
capacity of all the following:
    b.1.a. 10% or more of their weight in air; and
    b.1.b. 15 kN or more.
    b.2. Designed to operate at depths exceeding 1,000 m; or
    b.3. Having all of the following:
    b.3.a. Designed to continuously `operate autonomously' for 10 
hours or more; and
    b.3.b. `Range' of 25 nautical miles or more;

    Technical Notes: 

    1. For the purposes of 8A001.b, `operate autonomously' means 
fully submerged, without snorkel, all systems working and cruising 
at minimum speed at which the submersible can safely control its 
depth dynamically by using its depth planes only, with no need for a 
support vessel or support base on the surface, sea-bed or shore, and 
containing a propulsion system for submerged or surface use.
    2. For the purposes of 8A001.b, `range' means half the maximum 
distance a submersible vehicle can `operate autonomously'.
    c. Unmanned submersible vehicles as follows:
    c.1. Unmanned submersible vehicles having any of the following:
    c.1.a. Designed for deciding a course relative to any 
geographical reference without real-time human assistance;
    c.1.b. Acoustic data or command link; or
    c.1.c. Optical data or command link exceeding 1,000 m;
    c.2. Unmanned, submersible vehicles, not specified in 8A001.c.1, 
having all of the following:
    c.2.a. Designed to operate with a tether;
    c.2.b. Designed to operate at depths exceeding 1,000 m; and
    c.2.c. Having any of the following:
    c.2.c.1. Designed for self-propelled maneuver using propulsion 
motors or thrusters specified by 8A002.a.2; or
    c.2.c.2. Fiber optic data link;
    d. [Reserved]
    e. Ocean salvage systems with a lifting capacity exceeding 5 MN 
for salvaging objects from depths exceeding 250 m and having any of 
the following:
    e.1. Dynamic positioning systems capable of position keeping 
within 20 m of a given point provided by the navigation system; or
    e.2. Seafloor navigation and navigation integration systems, for 
depths exceeding 1,000 m and with positioning ``accuracies'' to 
within 10 m of a predetermined point.


0
38. In Supplement No. 1 to part 774, Category 8, ECCN 8A002 is revised 
to read as follows:

8A002 Marine Systems, Equipment, ``Parts'' and ``Components,'' 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 2
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)

LVS: $5,000; N/A for 8A002.o.3.b
GBS: Yes for manipulators for civil end uses (e.g., underwater oil, 
gas or mining operations) controlled by 8A002.i.2 and having 5 
degrees of freedom of movement; and 8A002.r.

Special Conditions for STA

STA: License Exception STA may not be used to ship any commodity in 
8A002.b, h, j, o.3, or p to any of the destinations listed in 
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls: (1) See also 8A992 and for underwater 
communications systems, see Category 5, Part I--Telecommunications. 
(2) See also 8A992 for self-contained underwater breathing apparatus 
that is not controlled by 8A002 or released for control by the 
8A002.q Note. (3) For electronic imaging systems ``specially 
designed'' or modified for underwater use incorporating image 
intensifier tubes specified by 6A002.a.2.a or 6A002.a.2.b, see 
6A003.b.3. (4) For electronic imaging systems ``specially designed'' 
or modified for underwater use incorporating ``focal plane arrays'' 
specified by 6A002.a.3.g, see 6A003.b.4.c. (5) Section 744.9 imposes 
a license requirement on commodities described in 8A002.d if being 
exported, reexported, or transferred (in-country) for use by a 
military end-user or for incorporation into an item controlled by 
ECCN 0A919.
Related Definitions: N/A
Items:
    a. Systems, equipment, ``parts'' and ``components,'' ``specially 
designed'' or modified for submersible vehicles and 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;
    a.4. ``Parts'' and ``components'' manufactured from material 
specified by ECCN 8C001;

    Technical Note: The objective of 8A002.a.4 should not be 
defeated by the export of `syntactic foam' controlled by 8C001 when 
an intermediate stage of manufacture has been performed and it is 
not yet in its final component form.

    b. Systems ``specially designed'' or modified for the automated 
control of the motion of submersible vehicles controlled by 8A001, 
using navigation data, having closed loop servo-controls and having 
any of the following:
    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 pressure hull penetrators;
    d. Underwater vision systems having all of the following:
    d.1. ``Specially designed'' or modified for remote operation 
with an underwater vehicle; and
    d.2. Employing any of the following techniques to minimize the 
effects of back scatter:
    d.2.a. Range-gated illuminators; or
    d.2.b. Range-gated ``laser'' systems;
    e. [Reserved]
    f. [Reserved]

[[Page 56329]]

    g. Light systems ``specially designed'' or modified for 
underwater use, as follows:
    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 and 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 ``composite'' 
``fibrous or filamentary materials'' in their structural members;
    i. Remotely controlled articulated manipulators ``specially 
designed'' or modified for use with submersible vehicles and having 
any of the following:
    i.1. Systems which control the manipulator using information 
from sensors which measure any of the following:
    i.1.a. Torque or force applied to an external object; or
    i.1.b. Tactile sense between the manipulator and an external 
object; or
    i.2. Controlled by proportional master-slave techniques and 
having 5 degrees of `freedom of movement' or more;

    Technical Note: Only functions having proportionally related 
motion control using positional feedback 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 having all of the following:
    j.1.d.1. ``Specially designed'' to pressurize the products of 
reaction or for fuel reformation;
    j.1.d.2. ``Specially designed'' to store the products of the 
reaction; and
    j.1.d.3. ``Specially designed'' 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 and 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 having all of the following:
    j.3.b.1. ``Specially designed'' to pressurize the products of 
reaction or for fuel reformation;
    j.3.b.2. ``Specially designed'' to store the products of the 
reaction; and
    j.3.b.3. ``Specially designed'' 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. [Reserved]
    l. [Reserved]
    m. [Reserved]
    n. [Reserved]
    o. Propellers, power transmission systems, power generation 
systems and noise reduction systems, as follows:
    o.1. [Reserved]
    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 ``parts'' or ``components'' and 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 tonnes 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 and 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;

    Technical Note: `Active noise reduction or cancellation systems' 
incorporate electronic control systems capable of actively reducing 
equipment vibration by the generation of anti-noise or anti-
vibration signals directly to the source.

    p. Pump jet propulsion systems having all of the following:
    p.1. Power output exceeding 2.5 MW; and
    p.2. Using divergent nozzle and flow conditioning vane 
techniques to improve propulsive efficiency or reduce propulsion-
generated underwater-radiated noise;
    q. Underwater swimming and diving equipment as follows;
    q.1. Closed circuit rebreathers;
    q.2. Semi-closed circuit rebreathers;

    Note: 8A002.q does not control individual rebreathers for 
personal use when accompanying their users.

    N.B. For equipment and devices ``specially designed'' for 
military use see ECCN 8A620.f.
    r. Diver deterrent acoustic systems ``specially designed'' or 
modified to disrupt divers and having a sound pressure level equal 
to or exceeding 190 dB (reference 1 [micro]Pa at 1 m) at frequencies 
of 200 Hz and below.

    Note 1: 8A002.r does not apply to diver deterrent systems based 
on under-water-explosive devices, air guns or combustible sources.


    Note 2: 8A002.r includes diver deterrent acoustic systems that 
use spark gap sources, also known as plasma sound sources.


0
39. In Supplement No. 1 to part 774, Category 8, ECCN 8B001 is revised 
to read as follows:

8B001 Water Tunnels Designed to Have a Background Noise of Less Than 
100 dB (Reference 1 [mu]Pa, 1 Hz) Within the Frequency Range 
Exceeding 0 Hz But Not Exceeding to 500 Hz and Designed for 
Measuring Acoustic Fields Generated by a Hydro-Flow Around 
Propulsion System Models.

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 2
AT applies to entire entry................  AT Column 1
 

List Based License Exceptions (See Part 740 for a description of All 
license exceptions)

LVS: $3,000
GBS: N/A

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

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


0
40. In Supplement No. 1 to part 774, Category 8, ECCN 8D001 is revised 
to read as follows:


[[Page 56330]]


8D001 ``Software'' ``Specially Designed'' or Modified for the 
``Development,'' ``Production'' or ``use'' of Equipment or 
Materials, Controlled by 8A (Except 8A992), 8B or 8C.

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
 

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 exports or reexports to destinations outside of 
those countries listed in Country Group A:5 (See Supplement No. 1 to 
part 740 of the EAR) of ``software'' ``specially designed'' for the 
``development'' or ``production'' of equipment controlled by 
8A001.b, 8A001.c.1, or 8A002.o.3.b.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``software'' ``specially designed'' for the ``development'' or 
``production'' of equipment in 8A001.b, 8A001.c, 8A002.b, 8A002.h, 
8A002.j, 8A002.o.3 or 8A002.p to any of the destinations listed in 
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

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


0
41. In Supplement No. 1 to part 774, Category 8, ECCN 8E001 is revised 
to read as follows:

8E001 ``Technology'' According to the General Technology Note for 
the ``Development'' or ``Production'' of Equipment or Materials, 
Controlled by 8A (Except 8A992), 8B or 8C.

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
 

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 exports or reexport to destinations outside of 
those countries listed in Country Group A:5 (Supplement No. 1 to 
part 740 of the EAR) of ``technology'' for items controlled by 
8A001.b, 8A001.c.1 or 8A002.o.3.b.

Special Conditions for STA

STA: License Exception STA may not be used to ship or transmit 
``technology'' according to the General Technology Note for the 
``development'' or ``production'' of equipment specified by 8A001.b, 
8A001.c, 8A002.b, 8A002.h, 8A002.j, 8A002.o.3 or 8A002.p to any of 
the destinations listed in Country Group A:6 (See Supplement No.1 to 
part 740 of the EAR).

List of Items Controlled

Related Controls: N/A
Related Definitions: N/A
Items:

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

Category 9--Aerospace and Propulsion

0
42. In Supplement No. 1 to part 774, Category 9, ECCN 9A010 is revised 
to read as follows:

9A010 ``Specially Designed'' ``Parts,'' ``Components,'' Systems and 
Structures, for Launch Vehicles, Launch Vehicle Propulsion Systems 
or ``Spacecraft''. (See Related Controls Paragraph.)

List of Items Controlled

Related Controls: (1) See USML Category IV of the International 
Traffic in Arms Regulations (ITAR) (22 CFR parts 120 through 130) 
and ECCN 9A604 for paragraphs 9A010.a, .b and .d. (2) See USML 
Category XV of the ITAR and ECCN 9A515 for paragraph 9A010.c. (3) 
See Supplement No. 4 to part 774, Order of Review for guidance on 
the process for determining classification of items.

Related Definitions: N/A
Items:

    a. ``Parts'', ``components'' and structures, each exceeding 10 
kg and ``specially designed'' for launch vehicles manufactured using 
any of the following:
    a.1. ``Composite'' materials consisting of ``fibrous or 
filamentary materials'' specified by 1C010.e and resins specified by 
1C008 or 1C009.b;
    a.2. Metal ``matrix'' ``composites'' reinforced by any of the 
following:
    a.2.a. Materials specified by 1C007;
    a.2.b. ``Fibrous or filamentary materials'' specified by 1C010; 
or
    a.2.c. Aluminides specified by 1C002.a; or
    a.3. Ceramic ``matrix'' ``composite'' materials specified by 
1C007;

    Note: The weight cut-off is not relevant for nose cones.

    b. ``Parts'', ``components'' and structures, ``specially 
designed'' for launch vehicle propulsion systems specified by 9A005 
to 9A009, manufactured using any of the following:
    b.1. ``Fibrous or filamentary materials'' specified by 1C010.e 
and resins specified by 1C008 or 1C009.b;
    b.2. Metal ``Matrix ``composites'' reinforced by any of the 
following:
    b.2.a. Materials specified by 1C007;
    b.2.b. ``Fibrous or filamentary materials'' specified by 1C010; 
or
    b.2.c. Aluminides specified by 1C002.a; or
    b.3. Ceramic ``matrix'' ``composite'' materials specified by 
1C007;
    c. Structural components and isolation systems, specially 
designed to control actively the dynamic response or distortion of 
``spacecraft'' structures;
    d. Pulsed liquid rocket engines with thrust-to-weight ratios 
equal to or more than 1 kN/kg and a `response time' of less than 30 
ms.

    Technical Note: For the purposes of 9A010.d, `response time' 
means the time required to achieve 90% of total rated thrust from 
start-up.


0
43. In Supplement No. 1 to part 774, Category 9, ECCN 9A610 is revised 
to read as follows:

9A610 Military Aircraft and Related Commodities, Other Than Those 
Enumerated in 9A991.a (See List of Items Controlled).

License Requirements

Reason for Control: NS, RS, MT, AT, UN

 
                                            Country chart (see Supp. No.
                Control(s)                         1 to part 738)
 
NS applies to entire entry except:          NS Column 1
 9A610.b; parts and components controlled
 in 9A610.x if being exported or
 reexported for use in an aircraft
 controlled in 9A610.b; and 9A610.y.
RS applies to entire entry except:          RS Column 1
 9A610.b; parts and components controlled
 in 9A610.x if being exported or
 reexported for use in an aircraft
 controlled in 9A610.b; and 9A610.y.
RS applies to 9A610.y.....................  China, Russia, or Venezuela
                                             (see Sec.   742.6(a)(7))
MT applies to 9A610.t, .u, .v, and .w.....  MT Column 1
AT applies to entire entry................  AT Column 1
UN applies to entire entry except 9A610.y.  See Sec.   746.1(b) for UN
                                             controls
 

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

LVS: $1,500
GBS: N/A

[[Page 56331]]

Special Conditions for STA

STA: (1) Paragraph (c)(1) of License Exception STA (Sec.  
740.20(c)(1) of the EAR) may not be used for any item in 9A610.a 
(i.e., ``end item'' military aircraft), unless determined by BIS to 
be eligible for License Exception STA in accordance with Sec.  
740.20(g) (License Exception STA eligibility requests for 9x515 and 
``600 series'' items). (2) Paragraph (c)(2) of License Exception STA 
(Sec.  740.20(c)(2) of the EAR) may not be used for any item in 
9A610.

List of Items Controlled

Related Controls: (1) Military aircraft and related articles that 
are enumerated in USML Category VIII, and technical data (including 
software) directly related thereto, are subject to the ITAR. (2) See 
ECCN 0A919 for controls on foreign-made ``military commodities'' 
that incorporate more than a de minimis amount of U.S.-origin ``600 
series'' controlled content. (3) See USML Category XIX and ECCN 
9A619 for controls on military aircraft gas turbine engines and 
related items.
Related Definitions: In paragraph .y of this entry, the term `fluid' 
includes liquids and gases.
Items:
    a. `Military Aircraft' ``specially designed'' for a military use 
that are not enumerated in USML paragraph VIII(a).

    Note 1: For purposes of paragraph .a the term `military 
aircraft' means the LM-100J aircraft and any aircraft ``specially 
designed'' for a military use that are not enumerated in USML 
paragraph VIII(a). The term includes: Trainer aircraft; cargo 
aircraft; utility fixed wing aircraft; military helicopters; 
observation aircraft; military non-expansive balloons and other 
lighter-than-air aircraft; and unarmed military aircraft, regardless 
of origin or designation. Aircraft with modifications made to 
incorporate safety of flight features or other FAA or NTSB 
modifications such as transponders and air data recorders are 
``unmodified'' for the purposes of this paragraph .a.


    Note 2:  9A610.a does not control 'military aircraft' or 
``lighter-than-air vehicles'' that:

    a. Were first manufactured before 1946;
    b. Do not incorporate defense articles enumerated or otherwise 
described on the U.S. Munitions List, unless the items are required 
to meet safety or airworthiness standards of civil aviation 
authorities of a Wassenaar Arrangement Participating State; and
    c. Do not incorporate weapons enumerated or otherwise described 
on the U.S. Munitions List, unless inoperable and incapable of being 
returned to operation.
    b. L-100 aircraft manufactured prior to 2013.
    c.-d. [Reserved]
    e. Mobile aircraft arresting and engagement runway systems for 
aircraft controlled by either USML Category VIII(a) or ECCN 9A610.a.
    f. Pressure refueling equipment and equipment that facilitates 
operations in confined areas, ``specially designed'' for aircraft 
controlled by either USML paragraph VIII(a) or ECCN 9A610.a.
    g. Aircrew life support equipment, aircrew safety equipment and 
other devices for emergency escape from aircraft controlled by 
either USML paragraph VIII(a) or ECCN 9A610.a.
    h. Parachutes, paragliders, complete parachute canopies, 
harnesses, platforms, electronic release mechanisms, ``specially 
designed'' for use with aircraft controlled by either USML paragraph 
VIII(a) or ECCN 9A610.a, and ``equipment'' ``specially designed'' 
for military high altitude parachutists, such as suits, special 
helmets, breathing systems, and navigation equipment.
    i. Controlled opening equipment or automatic piloting systems, 
designed for parachuted loads.
    j. Ground effect machines (GEMS), including surface effect 
machines and air cushion vehicles, ``specially designed'' for use by 
a military.
    k. through s. [Reserved]
    t. Composite structures, laminates, and manufactures thereof 
``specially designed'' for unmanned aerial vehicles controlled under 
USML Category VIII(a) with a range equal to or greater than 300 km.

    Note to paragraph .t: Composite structures, laminates, and 
manufactures thereof ``specially designed'' for unmanned aerial 
vehicles controlled under USML Category VIII(a) with a maximum range 
less than 300 km are controlled in paragraph .x of this entry.

    u. Apparatus and devices ``specially designed'' for the 
handling, control, activation and non-ship-based launching of UAVs 
controlled by either USML paragraph VIII(a) or ECCN 9A610.a, and 
capable of a range equal to or greater than 300 km.

    Note to paragraph .u: Apparatus and devices ``specially 
designed'' for the handling, control, activation and non-ship-based 
launching of UAVs controlled by either USML paragraph VIII(a) or 
ECCN 9A610.a with a maximum range less than 300 km are controlled in 
paragraph .x of this entry.

    v. Radar altimeters designed or modified for use in UAVs 
controlled by either USML paragraph VIII(a) or ECCN 9A610.a., and 
capable of delivering at least 500 kilograms payload to a range of 
at least 300 km.

    Note to paragraph .v: Radar altimeters designed or modified for 
use in UAVs controlled by either USML paragraph VIII(a) or ECCN 
9A610.a. that are not capable of delivering at least 500 kilograms 
payload to a range of at least 300 km are controlled in paragraph .x 
of this entry.

    w.1. Pneumatic hydraulic, mechanical, electro-optical, or 
electromechanical flight control systems (including fly-by-wire and 
fly-by-light systems) and attitude control equipment designed or 
modified for UAVs controlled by either USML paragraph VIII(a) or 
ECCN 9A610.a., and capable of delivering at least 500 kilograms 
payload to a range of at least 300 km.

    Note to paragraph .w.1: Pneumatic, hydraulic, mechanical, 
electro-optical, or electromechanical flight control systems 
(including fly-by-wire and fly-by-light systems) and attitude 
control equipment designed or modified for UAVs controlled by either 
USML paragraph VIII(a) or ECCN 9A610.a., not capable of delivering 
at least 500 kilograms payload to a range of at least 300 km are 
controlled in paragraph .x of this entry.

    w.2. Flight control servo valves designed or modified for the 
systems in 9A610.w.1. and designed or modified to operate in a 
vibration environment greater than 10g rms over the entire range 
between 20Hz and 2 kHz.

    Note to paragraph .w: Paragraphs 9A610.w.1. and 9A610.w.2. 
include the systems, equipment and valves designed or modified to 
enable operation of manned aircraft as unmanned aerial vehicles.

    x. ``Parts,'' ``components,'' ``accessories,'' and 
``attachments'' that are ``specially designed'' for a commodity 
enumerated or otherwise described in ECCN 9A610 (except for 9A610.y) 
or a defense article enumerated or otherwise described in USML 
Category VIII and not elsewhere specified on the USML or in 9A610.y, 
9A619.y, or 3A611.y.
    y. Specific ``parts,'' ``components,'' ``accessories,'' and 
``attachments'' ``specially designed'' for a commodity subject to 
control in this entry, ECCN 9A619, or for a defense article in USML 
Categories VIII or XIX and not elsewhere specified in the USML or 
the CCL, and other aircraft commodities ``specially designed'' for a 
military use, as follows, and ``parts,'' ``components,'' 
``accessories,'' and ``attachments'' ``specially designed'' 
therefor:
    y.1. Aircraft tires;
    y.2. Analog gauges and indicators;
    y.3. Audio selector panels;
    y.4. Check valves for hydraulic and pneumatic systems;
    y.5. Crew rest equipment;
    y.6. Ejection seat mounted survival aids;
    y.7. Energy dissipating pads for cargo (for pads made from paper 
or cardboard);
    y.8. Fluid filters and filter assemblies;
    y.9. Galleys;
    y.10. Fluid hoses, straight and unbent lines (for a commodity 
subject to control in this entry or defense article in USML Category 
VIII), and fittings, couplings, clamps (for a commodity subject to 
control in this entry or defense article in USML Category VIII) and 
brackets therefor;
    y.11. Lavatories;
    y.12. Life rafts;
    y.13. Magnetic compass, magnetic azimuth detector;
    y.14. Medical litter provisions;
    y.15. Cockpit or cabin mirrors;
    y.16. Passenger seats including palletized seats;
    y.17. Potable water storage systems;
    y.18. Public address (PA) systems;
    y.19. Steel brake wear pads (does not include sintered mix or 
carbon/carbon materials);
    y.20. Underwater locator beacons;
    y.21. Urine collection bags/pads/cups/pumps;
    y.22. Windshield washer and wiper systems;
    y.23. Filtered and unfiltered panel knobs, indicators, switches, 
buttons, and dials;
    y.24. Lead-acid and Nickel-Cadmium batteries;

[[Page 56332]]

    y.25. Propellers, propeller systems, and propeller blades used 
with reciprocating engines;
    y.26. Fire extinguishers;
    y.27. Flame and smoke/CO2 detectors;
    y.28. Map cases;
    y.29. `Military Aircraft' that were first manufactured from 1946 
to 1955 that do not incorporate defense articles enumerated or 
otherwise described on the U.S. Munitions List, unless the items are 
required to meet safety or airworthiness standards of a Wassenaar 
Arrangement Participating State; and do not incorporate weapons 
enumerated or otherwise described on the U.S. Munitions List, unless 
inoperable and incapable of being returned to operation;
    y.30. ``Parts,'' ``components,'' ``accessories,'' and 
``attachments,'' other than electronic items or navigation 
equipment, for use in or with a commodity controlled by ECCN 
9A610.h;
    y.31. Identification plates and nameplates; and
    y.32. Fluid manifolds.


0
44. In Supplement No. 1 to part 774, Category 9, ECCN 9B001 is revised 
to read as follows:

9B001 Manufacturing Equipment, tooling or Fixtures, as Follows (See 
List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT

 
                                              Country chart (see Supp.
                Control(s)                       No.1 to  part 738)
 
NS applies to entire entry................  NS Column 1
MT applies to equipment for engines         MT Column 1
 controlled under 9A001 for MT reasons and
 for engines controlled under 9A101.
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)

LVS: $5,000, except N/A for MT
GBS: Yes, except N/A for MT

Special Conditions for STA

STA: License Exception STA may not be used to ship commodities in 
9B001 to any of the destinations listed in Country Group A:6 (See 
Supplement No. 1 to Part 740 of the EAR).

List of Items Controlled

Related Controls: For ``specially designed'' production equipment of 
systems, sub-systems, ``parts'' and ``components'' controlled by 
9A005 to 9A009, 9A011, 9A101, 9A105 to 9A109, 9A111, and 9A116 to 
9A119 usable in ``missiles'' see 9B115. See also 9B991.
Related Definitions: N/A
Items:

    a. Directional solidification or single crystal casting 
equipment designed for ``superalloys'';
    b. Casting tooling, ``specially designed'' for manufacturing gas 
turbine engine blades, vanes or ``tip shrouds'', manufactured from 
refractory metals or ceramics, as follows:
    b.1. Cores;
    b.2. Shells (moulds);
    b.3. Combined core and shell (mould) units;
    c. Directional-solidification or single-crystal additive-
manufacturing equipment, ``specially designed'' for manufacturing 
gas turbine engine blades, vanes or ``tip shrouds''.

0
45. 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
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: License Exception STA may not be used to ship or transmit any 
technology in 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 9E003.h to 
any of the destinations listed in Country Group A:6 (See Supplement 
No. 1 to Part 740 of the EAR).

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 1,883 K (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

[[Page 56333]]

    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 Notes: 

    1. `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.
    2. The term `steady state mode' defines engine operation 
conditions, where the engine parameters, such as thrust/power, rpm 
and others, have no appreciable fluctuations, when the ambient air 
temperature and pressure at the engine inlet are constant.
    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. Hollow fan blades;
    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 propfans, 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'', water jet, Electro-Chemical Machining (ECM) or Electrical 
Discharge Machining (EDM) methods.
    d. ``Technology'' ``required'' for the ``development'' or 
``production'' of helicopter power transfer systems or tilt rotor or 
tilt wing ``aircraft'' power transfer systems;
    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 r.p.m., provided the rated speed is 2,300 r.p.m. 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''

[[Page 56334]]

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 U.S. Munitions 
List.

0
46. Supplement No. 6 to part 774 is amended by revising paragraphs (3), 
(6)(xiii), and (8)(i) and (ii), (vi), and (viii) to read as follows:

Supplement No. 6 to Part 774--Sensitive List

* * * * *

(3) Category 3

    (i) 3A001.b.2--``Monolithic Microwave Integrated Circuit'' 
(``MMIC'') amplifiers that are any of the following:
    (A) Rated for operation at frequencies exceeding 2.7 GHz up to 
and including 6.8 GHz with a ``fractional bandwidth'' greater than 
15%, and having any of the following:
    (A.1.) A peak saturated power output greater than 300 W (54.8 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    (A.2.) A peak saturated power output greater than 300 W (54.8 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    (A.3.) A peak saturated power output greater than 300 W (54.8 
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; 
or
    (A.4.) A peak saturated power output greater than 120 W (50.8 
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    (B) Rated for operation at frequencies exceeding 6.8 GHz up to 
and including 12 GHz with a ``fractional bandwidth'' greater than 
10%, and having any of the following:
    (B.1) A peak saturated power output greater than 25 W (44 dBm) 
at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or
    (B.2.) A peak saturated power output greater than 25 W (44 dBm) 
at any frequency exceeding 8.5 GHz up to and including 12 GHz.
    (ii) 3A001.b.3--Discrete microwave transistors that are any of 
the following:
    (A) Rated for operation at frequencies exceeding 2.7 GHz up to 
and including 6.8 GHz and having any of the following:
    (A.1.) A peak saturated power output greater than 600 W (57.8 
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    (A.2.) A peak saturated power output greater than 600 W (57.8 
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    (A.3.) A peak saturated power output greater than 600 W (57.8 
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; 
or
    (A.4.) A peak saturated power output greater than 130 W (51.2 
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    (B) Rated for operation at frequencies exceeding 6.8 GHz up to 
and including 12 GHz and having any of the following:
    (B.1.) A peak saturated power output greater than 130 W (51.2 
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
    (B.2.) A peak saturated power output greater than 60 W (47.8 
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz.
    (iii) 3A002.g.1.
    (iv) 3D001--``Software'' ``specially designed'' for the 
``development'' or ``production'' of equipment controlled under 
3A001.b.2, 3A001.b.3, and 3A002.g.1.
    (v) 3E001--``Technology'' according to the General Technology 
Note for the ``development'' or ``production'' of equipment 
controlled under 3A001.b.2, 3A001.b.3, and .3A002.g.1.
* * * * *

(6) Category 6

* * * * *
    (xiii) 6A002.a.3--Subject to the following additional notes:

    Note 1:  6A002.a.3 does not apply to the following ``focal plane 
arrays'' in this Supplement:

    a. Platinum Silicide (PtSi) ``focal plane arrays'' having less 
than 10,000 elements;
    b. Iridium Silicide (IrSi) ``focal plane arrays''.

    Note 2: 6A002.a.3 does not apply to the following ``focal plane 
arrays'' in this Supplement:

    a. Indium Antimonide (InSb) or Lead Selenide (PbSe) ``focal 
plane arrays'' having less than 256 elements;
    b. Indium Arsenide (InAs) ``focal plane arrays'';
    c. L Lead Sulphide (PbS) ``focal plane arrays'';
    d. Indium Gallium Arsenide (InGaAs) ``focal plane arrays''.

    Note 3: 6A002.a.3 does not apply to Mercury Cadmium Telluride 
(HgCdTe) ``focal plane arrays'' as follows in this Supplement:

    a. `Scanning Arrays' having any of the following:
    1. 30 elements or less; or
    2. Incorporating time delay-and-integration within the element 
and having 2 elements or less;
    b. `Staring Arrays' having less than 256 elements.

    Technical Notes: 

    a. `Scanning Arrays' are defined as ``focal plane arrays'' 
designed for use with a scanning optical system that images a scene 
in a sequential manner to produce an image;
    b. `Staring Arrays' are defined as ``focal plane arrays'' 
designed for use with a nonscanning optical system that images a 
scene.

    Note 6: 6A002.a.3 does not apply to the following ``focal plane 
arrays'' in this List:

    a. Gallium Arsenide (GaAs) or Gallium Aluminum Arsenide (GaAlAs) 
quantum well ``focal plane arrays'' having less than 256 elements;
    b. Microbolometer ``focal plane arrays'' having less than 8,000 
elements.

    Note 7: 6A002.a.3.g does not apply to ``focal plane arrays'', 
``specially designed'' or modified to achieve `charge 
multiplication', as follows:

    a. Linear (1-dimensional) arrays having 4,096 elements or less.
    b. Non-linear (2-dimensional) arrays having all of the 
following;
    b.1. A total of 250,000 elements or less; and
    b.2. A maximum of 4,096 elements in each dimension.
* * * * *

(8) Category 8

    (i) 8A001.b to .c.
    (ii) 8A002.b--Systems specially designed or modified for the 
automated control of the motion of submersible vehicles specified by 
8A001.b through .c using navigation data having closed loop servo-
controls and having any of the following:
    (A) Enabling a vehicle to move within 10 m of a predetermined 
point in the water column;
    (B) Maintaining the position of the vehicle within 10 m of a 
predetermined point in the water column; or
    (C) Maintaining the position of the vehicle within 10 m while 
following a cable on or under the seabed.
* * * * *
    (vi) 8D001--``Software'' specially designed for the 
``development'' or ``production'' of equipment in 8A001.b to .c, 
8A002.b (as described in this Supplement), 8A002.h, 8A002.j, 
8A002.o.3, or 8A002.p.
* * * * *
    (viii) 8E001--``Technology'' according to the General Technology 
Note for the ``development'' or ``production'' of equipment 
specified by 8A001.b to .c, 8A002.b (as described in this 
Supplement), 8A002.h, 8A002.j, 8A002.o.3, or 8A002.p.
* * * * *

0
47. Supplement No. 7 to part 774 is amended by revising paragraph (5) 
to read as follows:

Supplement No. 7 to Part 774--Very Sensitive List

* * * * *

(5) Category 8

    (i) 8A001.b.

[[Page 56335]]

    (ii) 8A001.c.1.
    (iii) 8A002.o.3.b.
    (iv) 8D001--``Software'' specially designed for the 
``development'' or ``production'' of equipment specified by 8A001.b, 
8A001.c.1, or 8A002.o.3.b.
    (v) 8E001--``Technology'' according to the General Technology 
Note for the ``development'' or ``production'' of equipment 
specified by 8A001.b, 8A001.c.1, or 8A002.o.3.b.
* * * * *

Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 2020-16286 Filed 9-10-20; 8:45 am]
BILLING CODE 3510-33-P


