[Federal Register: December 10, 2003 (Volume 68, Number 237)]
[Rules and Regulations]
[Page 68975-68996]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr10de03-13]
[[Page 68975]]
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Part II
Department of Commerce
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Bureau of Industry and Security
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15 CFR Parts 740, 743, 772, and 774
December 2002 Wassenaar Arrangement Plenary Agreement Implementation:
Categories 1, 2, 3, 4, 5, 6, and 7 of the Commerce Control List, and
Reporting Requirements; Final Rule
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 743, 772, and 774
[Docket No. 031017263-3263-01]
RIN 0694-AC85
December 2002 Wassenaar Arrangement Plenary Agreement
Implementation: Categories 1, 2, 3, 4, 5, 6, and 7 of the Commerce
Control List, and Reporting Requirements
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
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SUMMARY: The Bureau of Industry and Security (BIS) maintains the
Commerce Control List (CCL), which identifies items subject to
Department of Commerce export controls. This final rule revises certain
entries controlled for national security reasons in Categories 1, 2, 3,
4, 5 Part I (telecommunications), 5 Part II (information security), 6,
and 7 to conform with changes in the List of Dual-Use Goods and
Technologies maintained and agreed to by governments participating in
the Wassenaar Arrangement on Export Controls for Conventional Arms and
Dual-Use Goods and Technologies (Wassenaar Arrangement). The Wassenaar
Arrangement controls strategic items with the objective of improving
regional and international security and stability.
The purpose of this final rule is to make the necessary changes to
the Commerce Control List to implement revisions to the Wassenaar List
that were agreed upon in the December 2002 meeting, to make necessary
revisions to reporting requirements and License Exception GOV
restrictions, and to add a statement of understanding for medical
equipment.
EFFECTIVE DATE: This rule is effective: December 10, 2003.
FOR FURTHER INFORMATION CONTACT: Patricia Muldonian, Office of
Strategic Trade and Foreign Policy Controls, Bureau of Industry and
Security, U.S. Department of Commerce at (202) 482-5400.
SUPPLEMENTARY INFORMATION:
Background
In July 1996, the United States and thirty-two other countries gave
final approval to the establishment of a new multilateral export
control arrangement, called the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies
(Wassenaar Arrangement). The Wassenaar Arrangement contributes to
regional and international security and stability by promoting
transparency and greater responsibility in transfers of conventional
arms and dual-use goods and technologies, thus preventing destabilizing
accumulations of such items. Participating states have committed to
exchange information on exports of dual-use goods and technologies to
non-participating states for the purposes of enhancing transparency and
assisting in developing common understandings of the risks associated
with the transfers of these items.
This rule revises a number of national security controlled entries
on the Commerce Control List (CCL) to conform with December 2002
revisions to the Wassenaar List of Dual-Use Goods and Technologies.
This rule also revises language to provide a complete or more accurate
description of controls. A detailed description of the revisions to the
CCL is provided below.
Specifically, this rule makes the following amendments to the
Commerce Control List:
Category 1--Materials, Chemical, ``Microorganisms,'' and Toxins
[sbull] ECCN 1B001 is amended by adding a technical note for
1B001.c.
[sbull] ECCN 1C006 is amended by revising paragraph 1C006.a.1 to
make an editorial correction, i.e., removing the ``or'' in the phrase
``Synthetic or silahydrocarbon oils'', so that it reads ``Synthetic
silahydrocarbon oils''.
Category 2--Materials Processing
[sbull] ECCN 2B006 is amended by:
(a) Removing the ECCN Controls paragraph from the List of Items
Controlled;
(b) Adding new text to 2B006.a; and
(c) Adding a new note to 2B006.c.
Category 3--Electronics
[sbull] ECCN 3A001 is amended by:
(a) Adding a new paragraph 3A001.a.1.c that adds a new parameter
for integrated circuits, designed or rated as radiation hardened, and
adding a note for this paragraph;
(b) Revising the parameters of 3A001.a.5.a.2 and 3A001.a.5.a.3 for
analog-to-digital and digital-to-analog converter integrated circuits;
and
(c) Adding a new paragraph 3A001.a.5.a.4 to add a new parameter for
analog-to-digital converter integrated circuits.
Note: For commodities no longer controlled under ECCN 3A001,
there is a license requirement under ECCN 3A991 for exports and
reexports to AT Column 1 countries of the Commerce Country Chart.
[sbull] ECCN 3A002 is amended by:
(a) Adding a new abbreviation ETSI to the note for 3A002.a.2;
(b) Adding a new paragraph 3A002.a.6 for digital instrumentation
data recorders; and
(c) Revising the parameters for 3A002.c.1, d.1, e, and f.1.
Note: For commodities no longer controlled under ECCN 3A002,
there is a license requirement under ECCN 3A992 for exports and
reexports to AT Column 1 countries of the Commerce Country Chart.
[sbull] ECCN 3A991 is amended by:
(a) Revising the parameter for batteries in the note for 3A991.j
from 26 cm\3\ to 27 cm\3\ for consistency with the note in 3A001.e.1;
and
(b) Revising the parameters and reformatting 3A991.c for analog-to-
digital converter integrated circuits, to continue controls for
antiterrorism (AT) reasons for these commodities that were liberalized
as a result of changes to the Wassenaar List of Dual-Use Goods and
Technologies.
[sbull] ECCN 3B001 is amended by revising the parameter for
3B001.f.1.b for minimum resolvable feature size from 0.5 [mu]m to 0.35
[mu]m for ``stored program controlled'' lithography equipment.
Note: For commodities no longer controlled under ECCN 3B001,
there is a license requirement under ECCN 3B991 for exports and
reexports to AT Column 1 countries of the Commerce Country Chart.
[sbull] ECCNs 3E001 and 3E002 are amended by revising the parameter
in paragraph b.1 of the Note from 0.7 [mu]m to 0.5 [mu]m.
Category 4--Computers
[sbull] ECCN 4A002 is amended by making an editorial change to
4A002.b.2--revising ``bits'' to ``bit''.
[sbull] ECCN 4A003 is amended by:
(a) Revising the ``composite theoretical performance'' (CTP)
parameter in 4A003.b from 28,000 millions of theoretical operations per
seconds (MTOPS) to 190,000 MTOPS;
(b) Making conforming changes of the revised CTP parameter to the
AT and XP controls and the Note in the License Requirements section;
and
(c) Removing the phrase ``or digital-to-analog'' in the CTP
paragraph of the License Exception section, because 4A003.e and
3A001.a.5.a only refer to analog-to-digital.
Note: For commodities no longer controlled under ECCN 4A003,
there is a license requirement under ECCN 4A994 for exports and
reexports to AT Column 1 countries of the Commerce Country Chart.
[sbull] ECCN 4D001 is amended by:
[[Page 68977]]
(a) Making conforming changes of the revised CTP parameter in
4A003.b to the XP control in the License Requirements section;
(b) Making the existing heading paragraph (a) in the items
paragraph of the List of Items Controlled section; and
(c) Adding a new paragraph for other ``software''.
[sbull] ECCN 4D994 is amended by revising the heading to prevent an
overlap of controls between 4D001 and 4D994.
[sbull] ECCN 4E001 is amended by:
(a) Making conforming changes of the revised CTP parameter in
4A003.b to the XP control in the License Requirements section;
(b) Making the existing heading paragraph (a) in the items
paragraph of the List of Items Controlled section; and
(c) Adding a new paragraph for other ``technology''.
[sbull] ECCN 4E992 is amended by revising the heading to prevent an
overlap of controls between 4E001 and 4E992.
Category 5--Part I--Telecommunications
[sbull] ECCN 5A001 is amended by:
(a) Adding new text regarding frequency range and output power in
5A001.b.2.b.2;
(b) Adding ``output'' after ``voice coding'' in 5A001.b.6; and
(c) Adding a new technical note after 5A001.b.6.
[sbull] ECCN 5A991 is amended by correcting the numbering of the
paragraphs in 5A991.b.6.
[sbull] ECCN 5B001 is amended by:
(a) Revising the parameter for radio equipment employing
quadrature-amplitude-modulation (QAM) techniques from ``above level
128'' to ``above level 256'' in 5B001.b.4; and
(b) Revising text regarding equipment employing ``common channel
signaling'' in 5B001.b.5.
Note: For commodities no longer controlled under ECCN 5B001,
there is a license requirement under ECCN 5B991 for exports and
reexports to AT Column 1 countries of the Commerce Country Chart.
[sbull] ECCN 5D001 is amended by:
(a) Correcting a paragraph citation in the CIV and TSR eligibility
paragraphs of the License Exceptions section from ``5A001.b.4'' to read
``5A001.b.5''; and
(b) Revising the parameter for radio equipment employing
quadrature-amplitude-modulation (QAM) techniques from ``above level
128'' to ``above level 256'' in 5D001.d.4.
Note: For commodities no longer controlled under ECCN 5D001,
there is a license requirement under ECCN 5D991 for exports and
reexports to AT Column 1 countries of the Commerce Country Chart.
[sbull] ECCN 5E001 is amended by:
(a) Revising the parameter for radio equipment employing
quadrature-amplitude-modulation (QAM) techniques from ``above level
128'' to ``above level 256'' in 5E001.c.4.a; and
(b) Revising text regarding equipment employing ``common channel
signaling'' in 5E001.c.5.
Note: For commodities no longer controlled under ECCN 5E001,
there is a license requirement under ECCN 5E991 for exports and
reexports to AT Column 1 countries of the Commerce Country Chart.
Category 5--Part II--Information Security
[sbull] ECCN 5A002 is amended by:
(a) Moving and rearranging the text that describes what is not
controlled in this entry from the Related Controls paragraph of the
List of Items Controlled section to a Note in the beginning of the Item
paragraph of the List of Items Controlled section;
(b) Dividing the existing text in paragraph (a) of the note
(regarding ``personalized smart cards'') into sub-paragraph 1 and a
N.B.; and
(c) Moving the related control note in paragraph 2 of the Related
Definitions paragraph of the List of Items Controlled section to a N.B.
following 5A002.a.
Category 6--Sensors
[sbull] ECCN 6A001 is amended by:
(a) Removing from LVS eligibility, because these items have been
added to Annex 2 of the Wassenaar List:
(1) 6A001.a.1.b.1 object detection and location systems having a
transmitting frequency below 5 kHz or a sound pressure level exceeding
210 dB (reference 1 [mu]Pa at 1 m) for equipment with an operating
frequency in the band from 30 kHz to 2 kHz inclusive; and
(2) 6A001.a.2.a.4 hydrophones when designed to operation at depths
exceeding 35 m with acceleration compensation.
(b) Removing paragraph 6A001.a.2.a.2.b piezoelectric polymers, and
redesignating paragraph 6A001.a.2.a.2.c flexible piezoelectric ceramic
materials as 6A001.a.2.a.2.b.
Note: For commodities no longer controlled under ECCN 6A001,
there is a license requirement under ECCN 6A991 for exports and
reexports to AT Column 1 countries of the Commerce Country Chart.
[sbull] ECCN 6A002 is amended by:
(a) Revising the parameter for image intensifier tubes in
6A002.a.2.a.2 from 15 [mu]m to 12[mu]m;
(b) Clarifying the text of 6A002.a.2.a.3 regarding photocathodes;
(c) Revising the parameter for photocathodes in 6A002.a.2.a.3.a
from 240 [mu]A/lm to 350 [mu]A/lm;
(d) Deleting the word ``control'' and inserting ``apply to'' in the
note for 6A002.a.2.a.3.c;
(e) Revising the parameter for specially designed components for
image intensifier tubes in 6A002.a.2.b.1 from 15 [mu]m to 12[mu]m;
(f) Adding a new technical note 2 for 6A002.a.3 to define ``cross
scan direction'' and ``scan direction'';
(g) Revising the text of 6A002.a.3.c to apply only to 2-dimensional
arrays;
(h) Adding new paragraphs 6A002.a.3.d and .e to control non-
``space-qualified'' linear (1-dimensional) ``focal plane arrays''
Fixing the abbreviation for milliradians to read ``mrad'' instead
of ``mr'' in 6A002.b.1 and 6A002.b.2.b.2.
Note: For commodities no longer controlled under ECCN 6A002,
there is a license requirement under ECCN 6A992 for exports and
reexports to AT Column 1 countries of the Commerce Country Chart.
[sbull] ECCN 6A003 is amended by:
(a) Adding a new parameter ``peak response'' in 6A003.b.1 for video
cameras incorporating solid state sensors; and
(b) Redesignating paragraphs 6A003.b.2.a and b.2.b as b.2.b and
b.2.c. and adding a new parameter ``peak response'' in 6A003.b.2.a for
scanning cameras and scanning camera systems.
[sbull] ECCNs 6A004 and 6A008 are amended by fixing the
abbreviation for radian to read ``rad'' instead of ``r'' in 6A004.d.2,
.d.3.c, .d.3.d.1, .d.3.d.2, and 6A008.j.2.
[sbull] ECCN 6A992 is amended to add a paragraph for ``direct view
imaging equipment operating in the visible or infrared spectrum,
incorporating image intensifier tubes having the characteristics listed
in 6A992.a.1.'' to assure that this technology is not decontrolled, but
retains an AT control.
[sbull] ECCNs 6E001 and 6E002 are amended by removing License
Exception TSR eligibility for exports and reexports to destinations
outside of Austria, Belgium, Canada, Denmark, Finland, France, Germany,
Greece, Ireland, Italy, Japan, Luxembourg, the Netherlands, Portugal,
Spain, Sweden, or the United Kingdom of ``technology'' for the
``development'' of 6A001.a.2.a.4.
Category 7--Navigation and Avionics
[sbull] ECCN 7A003 is amended by:
(a) Removing the ``or'' from the end of Note 1, paragraph 1.b; and
(b) Fixing the abbreviation for radian to read ``rad'' instead of
``r'' in 7A003, Note 1, paragraph 2.
[[Page 68978]]
All items removed from national security (NS) controls as a result
of changes to the Wassenaar List of Dual-Use Goods and Technologies
will continue to be controlled for antiterrorism (AT) reasons.
[sbull] This rule amends part 772 of the EAR by adding a technical
note to the definition of ``microcomputer microcircuit'' that was
inadvertently not inserted in previous regulatory updates. The new
technical note reads, ``Technical Note 2: The internal storage may be
augmented by an external storage.''
[sbull] This rule clarifies the scope of Wassenaar reporting
requirements that apply to License Exception GOV, and makes the
following amendments to the Wassenaar Reporting Requirements in section
743.1 of the EAR to conform with changes made to the Wassenaar
Arrangement's Annex 1 of the List of Dual-Use Goods and Technologies.
--This rule removes Wassenaar reporting requirements from part 743
for the following: 2B003; 6A001.a.1.b.1, a.2.c and .a.2.e (because
these commodities are not eligible for License Exceptions LVS, GBS, or
CIV); and 9D001, 9D002, 9D004.a and .c, 9E001, 9E002, 9E003.a.1., .a.2,
.a.3, .a.4, .a.5, .a.8, and .a.9 (because these software and technology
entries are not eligible for License Exceptions TSR or CIV).
--The Note to paragraph (c)(1)(ii) has also been modified to
address the scope of reports required for 2D001 and 2E001.
--Paragraph (c)(2) has been modified to more closely harmonize with
Annex 1 text for 4E001 and 4D001.
--This rule adds Wassenaar reporting requirements from part 743 for
5A001.b.5
[sbull] This rule makes the following amendments to the list of
items ineligible for export or reexport under License Exception GOV, to
conform with revisions to the Wassenaar Arrangement's Annex 2 of the
List of Dual-Use Goods and Technologies:
[sbull] For exports and reexports of commodities and software to
the International Atomic Energy Agency (IAEA) and the European Atomic
Energy Community (EURATOM), reexports by IAEA and EURATOM for official
international safeguard use:
(1) The following items are added to the list of ineligible
commodities:
(a) 6A001.a.1.b.1: object detection and location systems having a
transmitting frequency below 5 kHz or a sound pressure level exceeding
224 dB (reference 1 [mu]Pa at 1 m) for equipment with an operating
frequency in the band from 5 kHz to 10 kHz inclusive; and
(b) 6A001.a.2.a.4: Hydrophones when designed to operate at depths
exceeding 35 m with acceleration compensation.
(2) In Supplement No. 1 to section 740.11, paragraph (a)(3), the
following items are removed from the list of ineligible items:
(a) 6A003, 7D001, 7E001, 7E002, and 7E101 are removed because these
items do not appear on Annex 2;
(b) The scope of 6A002 has been narrowed to 6A002.a.1.c, because
this is the only paragraph in 6A002 that is on Annex 2;
(c) The scope of 6E001 and 6E002 have been narrowed to only exclude
from eligibility technology according to the General Technology Note
for the ``development'' and ``production'' of equipment in 6A002.a.1.c,
because only this technology is both controlled for RS and listed on
Annex 2. However, other technology under 6E001 and 6E002 are made
ineligible for this license exception under other paragraphs in this
supplement.
[sbull] For exports or reexports of items for official use within
national territory by agencies of cooperating governments, and exports
and reexports of items for diplomatic and consular missions of a
cooperating government located in any country in Country Group B:
(1) The following items are added to the list of ineligible
commodities:
(a) 6A001.a.1.b.1: object detection and location systems having a
transmitting frequency below 5 kHz or a sound pressure level exceeding
224 dB (reference 1 [mu]Pa at 1 m) for equipment with an operating
frequency in the band from 5 kHz to 10 kHz inclusive; and
(b) 6A001.a.2.a.4: Hydrophones when designed to operate at depths
exceeding 35 m with acceleration compensation.
(2) In Supplement No. 1 to section 740.11, paragraph (b)(3), the
following items are removed from the list of ineligible items:
(a) 6A003, 7D001, 7E001, 7E002, and 7E101 are removed because these
items do not appear on Annex 2;
(b) The scope of 6A002 has been narrowed to 6A002.a.1.c, because
this is the only paragraph in 6A002 that is on Annex 2; and
(c) The scope of 6E001 and 6E002 have been narrowed to only exclude
from eligibility technology according to the General Technology Note
for the ``development'' and ``production'' of equipment in 6A002.a.1.c,
because only this technology is both controlled for RS and listed on
Annex 2. However, other technology under 6E001 and 6E002 are made
ineligible for this license exception under other paragraphs in this
supplement.
This rule also adds a new Supplement No. 3, Statements of
Understanding, to part 774 (the existing Supplement No. 3 is removed).
This supplement will be used to place understandings affecting export
controls that have been agreed upon in multilateral regimes or among
agencies within the United States.
The first understanding to be placed in this supplement is a
Wassenaar Arrangement statement of understanding concerning medical
equipment. It states that commodities that are ``specially designed for
medical end-use'' that ``incorporate'' commodities or software on the
Commerce Control List in Supplement No. 1 to part 774 of the EAR that
do not have a reason for control of Nuclear Nonproliferation (NP),
Missile Technology (MT), or Chemical & Biological Weapons (CB), are
classified as EAR99. This understanding has been a longstanding
agreement in the Wassenaar Arrangement, and does not represent a policy
or interpretation change under the EAR. BIS has implemented this
understanding into decisions on classification requests and license
applications, consistent with interpretation 2 in paragraph (b) of
section 770.2, i.e., the classification of the assembled machine also
covers its component parts.
The statement of understanding has been modified from the original
text as it appears in the Wassenaar Dual Use List of 2002, in order to
harmonize the language with existing language in the EAR. BIS is
providing guidance in notes to the medical statement of understanding
to assist the public in determining what is considered ``specially
designed for medical end-use'' and what ``incorporate'' means. The
guidance provided for these terms only applies to the newly added
Statement of Understanding for medical equipment.
Although the Export Administration Act expired on August 20, 2001,
Executive Order 13222 of August 17, 2001 (66 FR 44025, August 22,
2001), as extended by the Notice of August 7, 2003, (68 FR 47833, 2003
WL 21877490), continues the Regulations in effect under the
International Emergency Economic Powers Act
Saving Clause
Shipments of items removed from eligibility for export or reexport
without a license, under a particular License Exception authorization
or the designator NLR, as a result of this regulatory action, may
continue to be exported or reexported under that License Exception
authorization or designator until January 9, 2004. In
[[Page 68979]]
addition, this rule revises the numbering and structure of certain
entries on the Commerce Control List. For items under such entries and
until March 9, 2004, BIS will accept license applications for items
described either by the entries in effect immediately before December
10, 2003, or the entries described in this rule.
Rulemaking Requirements
1. This final rule has been determined to be not significant for
purposes of E.O. 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with a collection of information, subject to the
requirements of the Paperwork Reduction Act, unless that collection of
information displays a currently valid Office of Management and Budget
Control Number. This rule involves a collection of information subject
to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.). This
collection has been approved by the Office of Management and Budget
under control number 0694-0088, ``Multi-Purpose Application,'' which
carries a burden hour estimate of 45 minutes for a manual submission
and 40 minutes for an electronic submission.
3. This rule does not contain policies with Federalism as that term
is defined under E.O. 13132.
4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (5 U.S.C. 553(a)(1)). Further, no other
law requires that a notice of proposed rulemaking and an opportunity
for public comment be given for this interim rule. Because a notice of
proposed rulemaking and an opportunity for public comment are not
required to be given for this rule under the Administrative Procedure
Act or by any other law, the analytical requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are not applicable. Therefore,
this regulation is issued in final form. Although there is no formal
comment period, public comments on this regulation are welcome on a
continuing basis. Comments should be submitted to Sharron Cook, Office
of Exporter Services, Bureau of Industry and Security, Department of
Commerce, P.O. Box 273, Washington, DC 20044.
List of Subjects
15 CFR Parts 740 and 743
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Part 772
Exports and Foreign trade.
15 CFR Part 774
Exports, Foreign Trade, Reporting and recordkeeping requirements.
0
Accordingly, parts 740, 743, 772, and 774 of the Export Administration
Regulations (15 CFR parts 730-799) are amended as follows:
PART 740--[AMENDED]
0
1. The authority citation for part 740 is revised to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
Sec. 901-911, Pub. L. 106-387; E.O. 13026, 61 FR 58767, 3 CFR, 1996
Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783;
Notice of August 7, 2003, 68 FR 47833, August 11, 2003.
0
2. Section 740.11 is amended by revising:
0
(a) The introductory paragraph to (a)(2), to read as set out below, and
0
(b) The phrase ``Controlled by 9D001, specially designed for the'' to
read ``Controlled by 9D001, specially designed or modified for the'' in
paragraph (a)(2)(vi)(G).
Sec. 740.11 Governments, international organizations, and
international inspections under the Chemical Weapons Convention (GOV).
* * * * *
(a) * * *
(2) The following items controlled for national security (NS)
reasons under Export Control Classification Numbers (ECCNs) identified
on the Commerce Control List may not be exported or reexported under
this License Exception to destinations other than Austria, Belgium,
Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy,
Luxembourg, the Netherlands, Portugal, Spain, Sweden, and the United
Kingdom: 1C001, 5A001.b.5, 6A001.a.1.b.1 object detection and location
systems having a sound pressure level exceeding 210 dB (reference 1
[mu]Pa at 1 m) for equipment with an operating frequency in the band
from 30 Hz to 2 kHz inclusive, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.4, 6A001.a.2.a.5, 6A001.a.2.b, 6A001.a.2.e, 6A002.a.1.c,
6A008.l.3, 6B008, 8A001.b, 8A001.d, 8A002.o.3.b; and
* * * * *
0
3. Supplement Number 1 to Sec. 740.11 is amended by revising
0
(a) The introductory paragraph to (a)(1), paragraphs (a)(1)(vii)(D) and
(E), (a)(3), the introductory paragraph to (b)(1), paragraphs
(b)(1)(vii)(D) and (E), and (b)(3), to read as set forth below; and
0
(b) The phrase ``Controlled by 9D001, specially designed for the'' to
read ``Controlled by 9D001, specially designed or modified for the'' in
paragraphs (a)(1)(vi)(G) and (b)(1)(vi)(G).
Supplement No. 1 to Sec. 740.11--Additional Restrictions on Use of
License Exception Gov
(a) Items for official use within national territory by agencies
of a Cooperating Government. * * *
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
5A001.b.5, 6A001.a.1.b.1 object detection and location systems
having a sound pressure level exceeding 210 dB (reference 1 [mu]Pa
at 1 m) for equipment with an operating frequency in the band from
30 Hz to 2 kHz inclusive, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.4, 6A001.a.2.a.5, 6A001.a.2.b, 6A001.a.2.e, 6A002.a.1.c,
6A008.l.3, 6B008, 8A001.b, 8A001.d, 8A002.o.3.b; and
* * * * *
(vii) ``Technology'', as follows: * * *
(D) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.4, 6A001.a.2.a.5, 6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.e,
6A001.a.2.f, 6A002.a.1.c, 6A008.l.3, or 6B008, as described in
paragraph (a)(1) of this Supplement; and
(E) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.4, 6A001.a.2.a.5, 6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.e,
6A001.a.2.f, 6A002.a.1.c, 6A008.l.3, or 6B008, as described in
paragraph (a)(1) of this Supplement; and
* * * * *
(3) Regional stability items controlled under Export Control
Classification Numbers (ECCNs) 6A002.a.1.c, 6E001 technology
according to the General Technology Note for the ``development'' of
equipment in 6A002.a.1.c, and 6E002 technology according to the
General Technology Note for the ``production'' of equipment in
6A002.a.1.c; or
* * * * *
(b) Diplomatic and consular missions of a cooperating
government. * * *
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland,
[[Page 68980]]
Italy, Luxembourg, the Netherlands, Portugal, Spain, Sweden, or the
United Kingdom: 1C001, 5A001.b.5, 6A001.a.1.b.1 object detection and
location systems having a sound pressure level exceeding 210 dB
(reference 1 [mu]Pa at 1 m) for equipment with an operating
frequency in the band from 30 Hz to 2 kHz inclusive, 6A001.a.2.a.1,
6A001.a.2.a.2, 6A001.a.2.a.4, 6A001.a.2.a.5, 6A001.a.2.b,
6A001.a.2.e, 6A002.a.1.c, 6A008.l.3, 6B008, 8A001.b, 8A001.d,
8A002.o.3.b; and
* * * * *
(vii) ``Technology'', as follows: * * *
(D) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.4, 6A001.a.2.a.5, 6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.e,
6A001.a.2.f, 6A002.a.1.c, 6A008.l.3, or 6B008, as described in
paragraph (a)(1) of this Supplement; and
(E) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.1.b.1, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.4, 6A001.a.2.a.5, 6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.e,
6A001.a.2.f, 6A002.a.1.c, 6A008.l.3, or 6B008, as described in
paragraph (a)(1) of this Supplement; and
* * * * *
(3) Regional stability items controlled under Export Control
Classification Numbers (ECCNs) 6A002.a.1.c, 6E001 technology
according to the General Technology Note for the ``development'' of
equipment in 6A002.a.1.c, and 6E002 technology according to the
General Technology Note for the ``production'' of equipment in
6A002.a.1.c; or
* * * * *
PART 743--[AMENDED]
0
4. The authority citation for part 743 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; Pub. L. 106-508; 50
U.S.C. 1701 et seq.; E.O. 13206, 66 FR 18397, April 9, 2001.
0
5. Section 743.1 is amended by:
0
(a) Revising paragraphs (c)(1)(ii), (c)(1)(vi), (c)(1)(viii), and
(c)(2) as set forth below; and
0
(b) Revising all references to ``5A001.b.3;'' to read ``5A001.b.3 or
b.5'' in paragraph (c)(1)(v).
Sec. 743.1 Wassenaar Arrangement.
* * * * *
(c) Items for which reports are required. (1) * * *
(ii) Category 2: 2D001 (certain items only; see Note to this
paragraph), 2E001 (certain items only; see Note to this paragraph), and
2E002 (certain items only; see Note to this paragraph);
Note to paragraph (c)(1)(ii): Reports for 2D001, for
``software'', other than that controlled by 2D002, specially
designed for the ``development'' or ``production'' of the equipment
in 2B003 or 2B001.a or .b (changing 6 [mu]m to 5.1 [mu]m in
2B001.a.1 and 2B001.b.1.a; and adding ``a positioning accuracy with
``all compensations available'' equal to or less (better) than 5.1
[mu]m along any linear axis'' to the existing text for 2B001.b.2) of
the Commerce Control List (CCL).
Reports for 2E001, are for ``technology'' according to the
General Technology Note for ``development'' of ``software'' as
described in this paragraph for 2D001, or for the equipment in 2B003
or 2B001.a or .b (changing 6[mu]m to 5.1[mu]m in 2B001.a.1 and
2B001.b.1.a; and adding ``a positioning accuracy with ``all
compensations available'' equal to or less (better) than 5.1 [mu]m
along any linear axis'' to the existing text for 2B001.b.2) of the
CCL.
Reports for 2E002, are for ``technology'' according to the
General Technology Note for ``production'' of the equipment in 2B003
or 2B001.a or .b (changing 6 [mu]m to 5.1 [mu]m in 2B001.a.1 and
2B001.b.1.a; and adding ``a positioning accuracy with ``all
compensations available'' equal to or less (better) than 5.1 [mu]m
along any linear axis'' to the existing text for 2B001.b.2) of the
CCL.
* * * * *
(vi) Category 6: 6A001.a.1.b (changing 10 kHz to 5 kHz and adding
the text ``or a sound pressure level exceeding 224 dB (reference 1
[mu]Pa at 1 m) for equipment with an operating frequency in the band
from 5kHz to 10 kHz inclusive'' to the existing text in 6A001.a.1.b.1)
, and .a.2.d; 6A002.b; 6A004.c and d; 6A006.g (excluding compensators
which provide only absolute values of the earth's magnetic field as
output (i.e., the frequency bandwidth of the output extends from DC to
at least 0.8 Hz) and h; 6A008.d, .h, and .k; 6D001 (for 6A004.c and .d
and 6A008.d, .h, and .k); 6D003.a; 6E001 (for equipment and software
listed in this paragraph); and 6E002 (for equipment listed in this
paragraph);
* * * * *
(viii) Category 9: 9B001.b.
(2) Reports for ``software'' controlled by 4D001(that is specially
designed), and ``technology'' controlled by 4E001 (according to the
General Technology Note in Supplement No. 2 to part 774 of the EAR) are
required for the ``development'' or ``production'' of computers
controlled under 4A001.a.2, or for the ``development'' or
``production'' of ``digital computers'' having a CTP exceeding 75,000
MTOPS. For the calculation of CTP, see the Technical Note for Category
4 in the Commerce Control List (Supplement No. 2 to part 774 of the
EAR).
* * * * *
PART 772--[AMENDED]
0
6. The authority citation for part 772 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August
7, 2003, 68 FR 47833, August 11, 2003.
0
7. In section 772.1, the definition for ``microcomputer microcircuit''
is revised to read as follows:
Sec. 772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).
* * * * *
Microcomputer microcircuit. (Cat 3) means a ``monolithic integrated
circuit'' or ``multichip integrated circuit'' containing an arithmetic
logic unit (ALU) capable of executing a series of general purpose
instructions from an internal storage, on data contained in the
internal storage.
Technical Note 1: The ``microprocessor microcircuit'' normally
does not contain integral user-accessible storage, although storage
present on-the-chip may be used in performing its logic function.
Technical Note 2: The internal storage may be augmented by an
external storage.
Note: This definition includes chip sets which are designed to
operate together to provide the function of a ``microprocessor
microcircuit.''
* * * * *
PART 774--[AMENDED]
0
8. The authority citation for part 774 continues to read as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 7420; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C.
287c, 22 U.S.C. 3201 et seq., 22 U.S.C. 6004; 30 U.S.C. 185(s),
185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C.
app. 466c; 50 U.S.C. app. 5; Sec. 901-911, Pub. L. 106-387; Sec.
221, Pub. L. 107-56; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of
August 7, 2003, 68 FR 47833, August 11, 2003.
Category 1--Materials, Chemicals, ``Microorganisms,'' and Toxins
0
9. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 1--Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Number (ECCN) 1B001 is amended by revising the
items paragraph in the List of Items Controlled section, to read as
follows:
1B001 Equipment for the production of fibers, prepregs, preforms or
``composites'' controlled by 1A002 or 1C010, and specially designed
components and accessories therefor.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
[[Page 68981]]
a. Filament winding machines of which the motions for
positioning, wrapping and winding fibers are coordinated and
programmed in three or more axes, specially designed for the
manufacture of ``composite'' structures or laminates from ``fibrous
or filamentary materials'';
b. Tape-laying or tow-placement machines of which the motions
for positioning and laying tape, tows or sheets are coordinated and
programmed in two or more axes, specially designed for the
manufacture of ``composite'' airframe or ``missile'' structures;
c. Multidirectional, multidimensional weaving machines or
interlacing machines, including adapters and modification kits, for
weaving, interlacing or braiding fibers to manufacture ``composite''
structures;
Technical Note: For the purposes of 1B001.c the technique of
interlacing includes knitting.
Note: 1B001.c does not control textile machinery not modified
for the above end-uses.
d. Equipment specially designed or adapted for the production of
reinforcement fibers, as follows:
d.1. Equipment for converting polymeric fibers (such as
polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon
fibers or silicon carbide fibers, including special equipment to
strain the fiber during heating;
d.2. Equipment for the chemical vapor deposition of elements or
compounds on heated filamentary substrates to manufacture silicon
carbide fibers;
d.3. Equipment for the wet-spinning of refractory ceramics (such
as aluminum oxide);
d.4. Equipment for converting aluminum containing precursor
fibers into alumina fibers by heat treatment;
e. Equipment for producing prepregs controlled by 1C010.e by the
hot melt method;
f. Non-destructive inspection equipment capable of inspecting
defects three dimensionally, using ultrasonic or X-ray tomography
and specially designed for ``composite'' materials.
0
10. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 1--Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Number (ECCN) 1C006 is amended by revising the
items paragraph in the List of Items Controlled section, to read as
follows:
1C006 Fluids and lubricating materials, as follows (see List of
Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Hydraulic fluids containing, as their principal ingredients, any
of the following compounds or materials:
a.1. Synthetic silahydrocarbon oils, having all of the following:
Technical Note: For the purpose of 1C006.a.1, silahydrocarbon
oils contain exclusively silicon, hydrogen and carbon.
a.1.a. A flash point exceeding 477 K (204 [deg]C);
a.1.b. A pour point at 239 K (&-34 [deg]C) or less;
a.1.c. A viscosity index of 75 or more; and
a.1.d. A thermal stability at 616 K (343 [deg]C); or
a.2. Chlorofluorocarbons, having all of the following:
Technical Note: For the purpose of 1C006.a.2,
chlorofluorocarbons contain exclusively carbon, fluorine and
chlorine.
a.2.a. No flash point;
a.2.b. An autogenous ignition temperature exceeding 977 K (704
[deg]C);
a.2.c. A pour point at 219 K (-54 [deg]C) or less;
a.2.d. A viscosity index of 80 or more; and
a.2.e. A boiling point at 473 K (200 [deg]C) or higher;
b. Lubricating materials containing, as their principal
ingredients, any of the following compounds or materials:
b.1. Phenylene or alkylphenylene ethers or thio-ethers, or their
mixtures, containing more than two ether or thio-ether functions or
mixtures thereof; or
b.2. Fluorinated silicone fluids with a kinematic viscosity of less
than 5,000 mm2/s (5,000 centistokes) measured at 298 K (25
[deg]C);
c. Damping or flotation fluids with a purity exceeding 99.8%,
containing less than 25 particles of 200 [mu]m or larger in size per
100 ml and made from at least 85% of any of the following compounds or
materials:
c.1. Dibromotetrafluoroethane;
c.2. Polychlorotrifluoroethylene (oily and waxy modifications
only); or
c.3. Polybromotrifluoroethylene;
d. Fluorocarbon electronic cooling fluids, having all of the
following characteristics:
d.1. Containing 85% by weight or more of any of the following, or
mixtures thereof:
d.1.a. Monomeric forms of perfluoropolyalkylether-triazines or
perfluoroaliphatic-ethers;
d.1.b. Perfluoroalkylamines;
d.1.c. Perfluorocycloalkanes; or
d.1.d. Perfluoroalkanes;
d.2. Density at 298 K (25 [deg]C) of 1.5 g/ml or more;
d.3. In a liquid state at 273 K (0 [deg]C); and
d.4. Containing 60% or more by weight of fluorine.
Technical Note: For the purpose of 1C006:
a. Flash point is determined using the Cleveland Open Cup Method
described in ASTM D-92 or national equivalents;
b. Pour point is determined using the method described in ASTM D-97
or national equivalents;
c. Viscosity index is determined using the method describe in ASTM
D-2270 or national equivalents;
d. Thermal stability is determined by the following test procedure
or national equivalents:
Twenty ml of the fluid under test is placed in a 46 ml type 317
stainless steel chamber containing one each of 12.5 mm (nominal)
diameter balls of M-10 tool steel, 52100 steel and naval bronze (60%
Cu, 39% Zn, 0.75% Sn);
The chamber is purged with nitrogen, sealed at atmospheric pressure
and the temperature raised to and maintained at 644 +/- 6 K (371 +/- 6
[deg]C) for six hours;
The specimen will be considered thermally stable if, on completion
of the above procedure, all of the following conditions are met:
1. The loss in weight of each ball is less than 10 mg/
mm2 of ball surface;
2. The change in original viscosity as determined at 311 K (38
[deg]C) is less than 25%; and
3. The total acid or base number is less than 0.40;
e. Autogenous ignition temperature is determined using the method
described in ASTM E-659 or national equivalents.
Category 2--Materials Processing
0
11. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 2--Materials Processing, Export Control Classification Number
(ECCN) 2B006 is amended by removing the ECCN Controls paragraph and
revising the items paragraph in the List of Items Controlled section,
to read as follows:
2B006 Dimensional inspection or measuring systems and equipment, as
follows (see List of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Computer controlled, ``numerically controlled'' or ``stored
program controlled'' co-ordinate measuring machines (CMM), having a
three dimensional length (volumetric) maximum permissible error of
indication (MPE E) at any point within the operating
range of the machine (i.e., within the length of axes) equal to or
less (better) than (1.7 + L/1,000) [mu]m (L is the measured length
in mm) tested according to ISO 10360-2 (2001);
b. Linear and angular displacement measuring instruments, as
follows:
b.1. Linear displacement measuring instruments having any of the
following:
Technical Note: For the purpose of 2B006.b.1 ``linear
displacement'' means the
[[Page 68982]]
change of distance between the measuring probe and the measured
object.
b.1.a. Non-contact type measuring systems with a ``resolution''
equal to or less (better) than 0.2 [mu]m within a measuring range up
to 0.2 mm;
b.1.b. Linear voltage differential transformer systems having
all of the following characteristics:
b.1.b.1. ``Linearity'' equal to or less (better) than 0.1%
within a measuring range up to 5 mm; and
b.1.b.2. Drift equal to or less (better) than 0.1% per day at a
standard ambient test room temperature +/- 1 K; or
b.1.c. Measuring systems having all of the following: b.1.c.1.
Containing a ``laser''; and
b.1.c.2. Maintaining, for at least 12 hours, over a temperature
range of +/- 1 K around a standard temperature and at a standard
pressure, all of the following:
b.1.c.2.a. A ``resolution'' over their full scale of 0.1 [mu]m
or less (better); and
b.1.c.2.b. A ``measurement uncertainty'' equal to or less
(better) than (0.2 + L/2,000) [mu]m (L is the measured length in
mm);
Note: 2B006.b.1 does not control measuring interferometer
systems, without closed or open loop feedback, containing a
``laser'' to measure slide movement errors of machine-tools,
dimensional inspection machines or similar equipment.
b.2. Angular displacement measuring instruments having an
``angular position deviation'' equal to or less (better) than
0.00025[deg];
Note: 2B006.b.2 does not control optical instruments, such as
autocollimators, using collimated light to detect angular
displacement of a mirror.
c. Equipment for measuring surface irregularities, by measuring
optical scatter as a function of angle, with a sensitivity of 0.5 nm
or less (better).
Note: Machine tools that can be used as measuring machines are
controlled by this entry if they meet or exceed the criteria
specified for the machine tool function or the measuring machine
function.
Category 3--Electronics
0
12. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3A001 is amended revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
3A001 Electronic components, as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. General purpose integrated circuits, as follows:
Note 1: The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
Note 2: Integrated circuits include the following types:
``Monolithic integrated circuits'';
``Hybrid integrated circuits'';
``Multichip integrated circuits'';
``Film type integrated circuits'', including silicon-on-sapphire
integrated circuits;
``Optical integrated circuits''.
a.1. Integrated circuits, designed or rated as radiation
hardened to withstand any of the following:
a.1.a. A total dose of 5 x 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/cm2 or higher on
silicon, or its equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator
Semiconductors (MIS).
a.2. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, digital-to-analog converters, electro-optical or
``optical integrated circuits'' designed for ``signal processing'',
field programmable logic devices, neural network integrated
circuits, custom integrated circuits for which either the function
is unknown or the control status of the equipment in which the
integrated circuit will be used in unknown, Fast Fourier Transform
(FFT) processors, electrical erasable programmable read-only
memories (EEPROMs), flash memories or static random-access memories
(SRAMs), having any of the following:
a.2.a. Rated for operation at an ambient temperature above 398 K
(125[deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55[deg]C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55[deg]C) to 398 K (125[deg] C);
Note: 3A001.a.2 does not apply to integrated circuits for civil
automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``micro-computer
microcircuits'' and microcontroller microcircuits, having any of the
following characteristics:
Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.3.a. [RESERVED]
a.3.b. Manufactured from a compound semiconductor and operating
at a clock frequency exceeding 40 MHz; or
a.3.c. More than one data or instruction bus or serial
communication port that provides a direct external interconnection
between parallel ``microprocessor microcircuits'' with a transfer
rate exceeding 150 Mbyte/s;
a.4. Storage integrated circuits manufactured from a compound
semiconductor;
a.5. Analog-to-digital and digital-to-analog converter
integrated circuits, as follows:
a.5.a. Analog-to-digital converters having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 12 bit,
with a total conversion time of less than 5 ns;
a.5.a.2. A resolution of 12 bit with a total conversion time of
less than 20 ns;
a.5.a.3. A resolution of more than 12 bit but equal to or less
than 14 bit with a total conversion time of less than 200 ns; or
a.5.a.4. A resolution of more than 14 bit with a total
conversion time of less than 1 [mu]s;
a.5.b. Digital-to-analog converters with a resolution of 12 bit
or more, and a ``settling time'' of less than 10 ns;
Technical Note: 1. A resolution of n bit corresponds to a
quantization of 2n levels.
2. Total conversion time is the inverse of the sample rate.
a.6. Electro-optical and ``optical integrated circuits''
designed for ``signal processing'' having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. Field programmable logic devices having any of the
following:
a.7.a. An equivalent usable gate count of more than 30,000 (2
input gates);
a.7.b. A typical ``basic gate propagation delay time'' of less
than 0.1 ns; or
a.7.c. A toggle frequency exceeding 133 MHz;
Note: 3A001.a.7 includes: Simple Programmable Logic Devices
(SPLDs), Complex Programmable Logic Devices (CPLDs), Field
Programmable Gate Arrays (FPGAs), Field Programmable Logic Arrays
(FPLAs), and Field Programmable Interconnects (FPICs).
N.B.: Field programmable logic devices are also known as field
programmable gate or field programmable logic arrays.
a.8. [RESERVED]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 1,000 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.1 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N
log2 N)/20,480 ms, where N is the number of points;
Technical Note: When N is equal to 1,024 points, the formula in
3A001.a.12 gives an execution time of 500 [mu]s.
b. Microwave or millimeter wave components, as follows:
b.1. Electronic vacuum tubes and cathodes, as follows:
[[Page 68983]]
Note 1: 3A001.b.1 does not control tubes designed or rated for
operation in any frequency band which meets all of the following
characteristics:
(a) Does not exceed 31 GHz; and
(b) Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
Note 2: 3A001.b.1 does not control non-``space-qualified'' tubes
which meet all the following characteristics:
(a) An average output power equal to or less than 50 W; and
(b) Designed or rated for operation in any frequency band which
meets all of the following characteristics:
(1) Exceeds 31 GHz but does not exceed 43.5 GHz; and
(2) Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
b.1.a. Traveling wave tubes, pulsed or continuous wave, as
follows:
b.1.a.1. Operating at frequencies exceeding 31 GHz;
b.1.a.2. Having a cathode heater element with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity tubes, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
b.1.a.4. Helix tubes, or derivatives thereof, with any of the
following characteristics:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1; or
b.1.a.4.c. Being ``space qualified'';
b.1.b. Crossed-field amplifier tubes with a gain of more than 17
dB;
b.1.c. Impregnated cathodes designed for electronic tubes
producing a continuous emission current density at rated operating
conditions exceeding 5 A/cm2;
b.2. Microwave integrated circuits or modules having all of the
following:
b.2.a. Containing ``monolithic integrated circuits'' having one
or more active circuit elements; and
b.2.b. Operating at frequencies above 3 GHz;
Note 1: 3A001.b.2 does not control circuits or modules for
equipment designed or rated to operate in any frequency band which
meets all of the following characteristics:
(a) Does not exceed 31 GHz; and
(b) Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
Note 2: 3A001.b.2 does not control broadcast satellite equipment
designed or rated to operate in the frequency range of 40.5 to 42.5
GHz.
b.3. Microwave transistors rated for operation at frequencies
exceeding 31 GHz;
b.4. Microwave solid state amplifiers, having any of the
following:
b.4.a. Operating frequencies exceeding 10.5 GHz and an
``instantaneous bandwidth'' of more than half an octave; or
b.4.b. Operating frequencies exceeding 31 GHz;
b.5. Electronically or magnetically tunable band-pass or band-
stop filters having more than 5 tunable resonators capable of tuning
across a 1.5:1 frequency band (fmax/fmin) in
less than 10 [mu]s having any of the following:
b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
b.6. Microwave ``assemblies'' capable of operating at
frequencies exceeding 31 GHz;
b.7. Mixers and converters designed to extend the frequency
range of equipment described in 3A002.c, 3A002.e or 3A002.f beyond
the limits stated therein;
b.8. Microwave power amplifiers containing tubes controlled by
3A001.b and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power density exceeding 80 W/kg; and
b.8.c. A volume of less than 400 cm3;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU''
for radio-communications services, but not for radio-determination.
c. Acoustic wave devices, as follows, and specially designed
components therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having any of the following:
c.1.a. A carrier frequency exceeding 2.5 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding
2.5 GHz, and having any of the following:
c.1.b.1. A frequency side-lobe rejection exceeding 55 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth
(time in [mu]s and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 [mu]s; or
c.1.c. A carrier frequency of 1 GHz or less, having any of the
following:
c.1.c.1. A product of the maximum delay time and the bandwidth
(time in [mu]s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 [mu]s; or
c.1.c.3. A frequency side-lobe rejection exceeding 55 dB and a
bandwidth greater than 50 MHz;
c.2. Bulk (volume) acoustic wave devices (i.e., ``signal
processing'' devices employing elastic waves) that permit the direct
processing of signals at frequencies exceeding 1 GHz;
c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;
d. Electronic devices and circuits containing components,
manufactured from ``superconductive'' materials specially designed
for operation at temperatures below the ``critical temperature'' of
at least one of the ``superconductive'' constituents, with any of
the following:
d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices, as follows:
e.1. Batteries and photovoltaic arrays, as follows:
Note: 3A001.e.1 does not control batteries with volumes equal to
or less than 27 cm\3\ (e.g., standard C-cells or R14 batteries).
e.1.a. Primary cells and batteries having an energy density
exceeding 480 Wh/kg and rated for operation in the temperature range
from below 243 K (-30[deg]C) to above 343 K (70[deg]C);
e.1.b. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (copyright) being the nominal capacity in
ampere hours) when operating in the temperature range from below 253
K (-20[deg]C) to above 333 K (60[deg]C);
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75%
of the open circuit voltage divided by the total mass of the cell
(or battery) in kg.
e.1.c. ``Space qualified'' and radiation hardened photovoltaic
arrays with a specific power exceeding 160 W/m2 at an
operating temperature of 301 K (28[deg]C) under a tungsten
illumination of 1 kW/m2 at 2,800 K (2,527[deg]C);
e.2. High energy storage capacitors, as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids specially
designed to be fully charged or discharged in less than one second,
having all of the following:
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids specially designed for Magnetic
Resonance Imaging (MRI) medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
[[Page 68984]]
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/
mm2;
f. Rotary input type shaft absolute position encoders having any
of the following:
f.1. A resolution of better than 1 part in 265,000 (18 bit
resolution) of full scale; or
f.2. An accuracy better than +/- 2.5 seconds of arc.
0
13. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3A002 is amended by revising the ``items'' paragraph in the List of
Items Controlled section, to read as follows:
3A002 General purpose electronic equipment, as follows (see List of
Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Recording equipment, as follows, and specially designed test
tape therefor:
a.1.Analog instrumentation magnetic tape recorders, including
those permitting the recording of digital signals (e.g., using a
high density digital recording (HDDR) module), having any of the
following:
a.1.a. A bandwidth exceeding 4 MHz per electronic channel or
track;
a.1.b. A bandwidth exceeding 2 MHz per electronic channel or
track and having more than 42 tracks; or
a.1.c. A time displacement (base) error, measured in accordance
with applicable IRIG or EIA documents, of less than +/- 0.1 [mu]s;
Note: Analog magnetic tape recorders specially designed for
civilian video purposes are not considered to be instrumentation
tape recorders.
a.2. Digital video magnetic tape recorders having a maximum
digital interface transfer rate exceeding 360 Mbit/s;
Note: 3A002.a.2 does not control digital video magnetic tape
recorders specially designed for television recording using a signal
format, which may include a compressed signal format, standardized
or recommended by the ITU, the IEC, the SMPTE, the EBU, the ETSI, or
the IEEE for civil television applications.
a.3. Digital instrumentation magnetic tape data recorders
employing helical scan techniques or fixed head techniques, having
any of the following:
a.3.a. A maximum digital interface transfer rate exceeding 175
Mbit/s; or
a.3.b. Being ``space qualified``;
Note: 3A002.a.3 does not control analog magnetic tape recorders
equipped with HDDR conversion electronics and configured to record
only digital data.
a.4. Equipment, having a maximum digital interface transfer rate
exceeding 175 Mbit/s, designed to convert digital video magnetic
tape recorders for use as digital instrumentation data recorders;
a.5. Waveform digitizers and transient recorders having all of
the following:
N.B.: See also 3A292.
a.5.a. Digitizing rates equal to or more than 200 million
samples per second and a resolution of 10 bits or more; and
a.5.b. A continuous throughput of 2 Gbit/s or more;
Technical Note: For those instruments with a parallel bus
architecture, the continuous throughput rate is the highest word
rate multiplied by the number of bits in a word. Continuous
throughput is the fastest data rate the instrument can output to
mass storage without the loss of any information while sustaining
the sampling rate and analog-to-digital conversion.
a.6. Digital instrumentation data recorders, using magnetic disk
storage technique, having all of the following:
a.6.a. Digitizing rate equal to or more than 100 million samples
per second and a resolution of 8 bits or more; and
a.6.b. A continuous throughput of 1 Gbit/s or more;
b. ''Frequency synthesizer'', ``electronic assemblies'' having a
``frequency switching time'' from one selected frequency to another
of less than 1 ms;
c. Radio frequency ``signal analyzers'', as follows:
c.1. ``Signal analyzers'' capable of analyzing frequencies
exceeding 31.8 GHz but less than 37.5 GHz or exceeding 43.5 GHz;
c.2. ``Dynamic signal analyzers'' having a ``real-time
bandwidth'' exceeding 500 kHz;
Note: 3A002.c.2 does not control those ``dynamic signal
analyzers'' using only constant percentage bandwidth filters (also
known as octave or fractional octave filters).
d. Frequency synthesized signal generators producing output
frequencies, the accuracy and short term and long term stability of
which are controlled, derived from or disciplined by the internal
master frequency, and having any of the following:
d.1. A maximum synthesized frequency exceeding 31.8 GHz;
d.2. A ``frequency switching time'' from one selected frequency
to another of less than 1 ms; or
d.3. A single sideband (SSB) phase noise better than -(126 + 20
log10F-20 log10f) in dBc/Hz, where F is the
off-set from the operating frequency in Hz and f is the operating
frequency in MHz;
Note: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.
e. Network analyzers with a maximum operating frequency
exceeding 43.5 GHz;
f. Microwave test receivers having all of the following:
f.1. A maximum operating frequency exceeding 43.5 GHz; and
f.2. Being capable of measuring amplitude and phase
simultaneously;
g. Atomic frequency standards having any of the following:
g.1. Long-term stability (aging) less (better) than 1 x
10-11/month; or
g.2. Being ``space qualified''.
Note: 3A002.g.1 does not control non- ``space qualified''
rubidium standards.
0
14. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3A991 is amended by revising the ``items'' paragraph in the List of
Items Controlled section, to read as follows:
3A991 Electronic devices and components not controlled by 3A001.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having any of the
following:
a.1. A ``composite theoretical performance'' (``CTP'') of 6,500
million theoretical operations per second (MTOPS) 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 a
total conversion time of less than 10 ns;
c.2. A resolution of 12 bit with a total conversion time of less
than 200 ns;
c.3. A resolution of more than 12 bit but equal to or less than
14 bit with a total conversion time of less than 2 [mu]s; or
c.4. A resolution of more than 14 bit with a total conversion
time of less than 2 [mu]s;
d. Field programmable logic devices having either of the
following:
d.1. An equivalent gate count of more than 5000 (2 input gates);
or
d.2. A toggle frequency exceeding 100 MHz;
e. Fast Fourier Transform (FFT) processors having a rated
execution time for a 1,024 point complex FFT of less than 1 ms.
[[Page 68985]]
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 tubes, pulsed or continuous wave, as follows:
g.1. Coupled cavity tubes, or derivatives thereof;
g.2. Helix tubes, 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. Batteries, as follows:
Note: 3A991.j does not control batteries with volumes equal to
or less than 27 cm3 (e.g., standard C-cells or UM-2
batteries).
j.1. Primary cells and batteries having an energy density
exceeding 350 Wh/kg and rated for operation in the temperature range
from below 243 K (-30[deg]C) to above 343 K (70[deg]C);
j.2. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (copyright) being the nominal capacity in
ampere hours) when operating in the temperature range from below 253
K (-20[deg]C) to above 333 K (60[deg]C);
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75
percent of the open circuit voltage divided by the total mass of the
cell (or battery) in kg.
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/mm2.
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:
1.1. Resonant operating frequencies exceeding 1 MHz;
1.2. A stored energy density of 1 MJ/M3 or more; and
1.3. 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).
0
15. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3B001 is amended by revising the ``items'' paragraph in the List of
Items Controlled section, to read as follows:
3B001 Equipment for the manufacturing of semiconductor devices or
materials, as follows (see List of Items Controlled), and specially
designed components and accessories therefor.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Stored program controlled'' equipment designed for
epitaxial growth, as follows:
a.1. Equipment capable of producing a layer thickness uniform to
less than +/-2.5% across a distance of 75 mm or more;
a.2. Metal organic chemical vapor deposition (MOCVD) reactors
specially designed for compound semiconductor crystal growth by the
chemical reaction between materials controlled by 3C003 or 3C004;
a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
b. ``Stored program controlled'' equipment designed for ion
implantation, having any of the following:
b.1. A beam energy (accelerating voltage) exceeding 1MeV;
b.2. Being specially designed and optimized to operate at a beam
energy (accelerating voltage of less than 2 keV;
b.3. Direct write capability; or
b.4. Being capable of high energy oxygen implant into a heated
semiconductor material ``substrate'';
c. ``Stored program controlled'' anisotropic plasma dry etching
equipment, as follows:
c.1. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
c.1.a. Designed or optimized to produce critical dimensions of
0.3 [mu]m or less with +/-5% 3 sigma precision; or
c.1.b. Designed for generating less than 0.04 particles/cm\2\
with a measurable particle size greater than 0.1 [mu]m in diameter;
c.2. Equipment specially designed for equipment controlled by
3B001.e. and having any of the following:
c.2.a. Designed or optimized to produce critical dimensions of
0.3 [mu]m or less with +/-5% 3 sigma precision; or
c.2.b. Designed for generating less than 0.04 particles/cm\2\
with a measurable particle size greater than 0.1 [mu]m in diameter;
d. ``Stored program controlled'' plasma enhanced CVD equipment,
as follows:
d.1. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
d.1.a. Designed or optimized to produce critical dimensions of
0.3 [mu]m or less with +/-5% 3 sigma precision; or
d.1.b. Designed for generating less than 0.04 particles/cm\2\
with a measurable particle size greater than 0.1 [mu]m in diameter;
d.2. Equipment specially designed for equipment controlled by
3B001.e. and having any of the following:
d.2.a. Designed or optimized to produce critical dimensions of
0.3 [mu]m or less with +/-5% 3 sigma precision; or
d.2.b. Designed for generating less than 0.04 particles/cm\2\
with a measurable particle size greater than 0.1 [mu]m in diameter;
e. ``Stored program controlled'' automatic loading multi-chamber
central wafer handling systems, having all of the following:
e.1. Interfaces for wafer input and output, to which more than
two pieces of semiconductor processing equipment are to be
connected; and
e.2. Designed to form an integrated system in a vacuum
environment for sequential multiple wafer processing;
Note: 3B001.e. does not control automatic robotic wafer handling
systems not designed to operate in a vacuum environment.
f. ``Stored program controlled'' lithography equipment, as
follows:
f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods, having any of the following:
f.1.a. A light source wavelength shorter than 350 nm; or
f.1.b. Capable of producing a pattern with a minimum resolvable
feature size of 0.35 [mu]m or less;
Technical Note: The minimum resolvable feature size is
calculated by the following formula:
[[Page 68986]]
[GRAPHIC] [TIFF OMITTED] TR10DE03.000
Where the K factor = 0.7.
MRF = minimum resolvable feature size.
f.2. Equipment specially designed for mask making or
semiconductor device processing using deflected focused electron
beam, ion beam or ``laser'' beam, having any of the following:
f.2.a. A spot size smaller than 0.2 [mu]m;
f.2.b. Being capable of producing a pattern with a feature size
of less than 1 [mu]m; or
f.2.c. An overlay accuracy of better than +/-0.20 [mu]m (3
sigma);
g. Masks and reticles designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer.
0
16. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3E001 is amended by revising the ``items'' paragraph in the List of
Items Controlled section, to read as follows:
3E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of equipment or materials
controlled by 3A (except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B
(except 3B991 and 3B992) or 3C.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definition: * * *
Items:
The list of items controlled is contained in the ECCN heading.
Note: 3E001 does not control ``technology'' for the
``development'' or ``production'' of:
(a) Microwave transistors operating at frequencies below 31 GHz;
(b) Integrated circuits controlled by 3A001.a.3 to a.12, having all
of the following:
(b.1) Using ``technology'' of 0.5 [mu]m or more; and
(b.2) Not incorporating multi-layer structures.
Technical Note: The term multi-layer structures in Note b.2 does
not include devices incorporating a maximum of three metal layers
and three polysilicon layers.
0
17. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Number (ECCN)
3E002 is amended by revising the ``items'' paragraph in the List of
Items Controlled section, to read as follows:
3E002 ``Technology'' according to the General Technology Note other
than that controlled in 3E001 for the ``development'' or
``production'' of ``microprocessor microcircuits'', ``micro-computer
microcircuits'' and microcontroller microcircuits having a
``composite theoretical performance'' (``CTP'') of 530 million
theoretical operations per second (MTOPS) or more and an arithmetic
logic unit with an access width of 32 bits or more.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
The list of items controlled is contained in the ECCN heading.
Note: 3E002 does not control ``technology'' for the
``development'' or ``production'' of:
(a) Microwave transistors operating at frequencies below 31 GHz;
(b) Integrated circuits controlled by 3A001.a.3 to a.12, having
all of the following:
(b.1) Using ``technology'' of 0.5 [mu]m or more; and
(b.2) Not incorporating multi-layer structures.
Technical Note: The term multi-layer structures in Note b.2 does
not include devices incorporating a maximum of three metal layers
and three polysilicon layers.
0
18. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4A002 is amended by revising the ``Items'' paragraph in the List of
Items Controlled section, to read as follows:
4A002 ``Hybrid computers'' and ``electronic assemblies'' and
specially designed components therefor.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Containing ``digital computers'' controlled by 4A003;
b. Containing analog-to-digital converters having all of the
following characteristics:
b.1. 32 channels or more; and
b.2. A resolution of 14 bit (plus sign bit) or more with a
conversion rate of 200,000 conversions/s or more.
0
19. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4A003, is amended by revising the ``Heading'', the License Requirements
section, the ``CTP'' paragraph in the License Exceptions section, and
the ``items'' paragraph in the List of Items Controlled section, to
read as follows:
4A003 ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, as follows, and specially designed components
therefor.
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to 4A003.b and .c................... NS Column 1.
NS applies to 4A003.a, .e, and .g.............. NS Column 2.
MT applies to digital computers used as MT Column 1.
ancillary equipment for test facilities and
equipment that are controlled by 9B005 or
9B006.
CC applies to ``digital computers'' for CC Column 1.
computerized finger-print equipment.
AT applies to entire entry (refer to 4A994 for AT Column 1.
controls on ``digital computers'' with a CTP
= 6 but <= 190,000 MTOPS).
------------------------------------------------------------------------
NP applies, unless a License Exception is available. See Sec.
742.3(b) of the EAR for information on applicable licensing review
policies.
XP applies to ``digital computers'' with a CTP greater than
190,000 MTOPS, unless a License Exception is available. XP controls
vary according to destination and end-user and end-use; however, XP
does not apply to Canada. See Sec. 742.12 of the EAR for additional
information.
Note: For all destinations, except Cuba, Iran, Iraq, Libya,
North Korea, Sudan, Syria, no license is required (NLR) for
computers with a CTP not greater than 190,000 MTOPS and for
``electronic assemblies'' described in 4A003.c that are not capable
of exceeding a CTP greater than 190,000 MTOPS in aggregation.
Computers controlled in this entry for MT reasons are not eligible
for NLR.
License Exceptions
LVS: * * *
GBS: * * *
CTP: Yes, for computers controlled by 4A003.a or .b, and
``electronic assemblies'' controlled by 4A003.c, to the exclusion of
other technical parameters, with the
[[Page 68987]]
exception of parameters specified as controlled for Missile
Technology (MT) concerns and 4A003.e (equipment performing analog-
to-digital conversions exceeding the limits of 3A001.a.5.a). See
Sec. 740.7 of the EAR.
CIV: * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
Note 1: 4A003 includes the following:
a. Vector processors;
b. Array processors;
c. Digital signal processors;
d. Logic processors;
e. Equipment designed for ``image enhancement'';
f. Equipment designed for ``signal processing''.
Note 2: The control status of the ``digital computers'' and
related equipment described in 4A003 is determined by the control
status of other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential
for the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment specially designed for other equipment with
functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B. 2: For the control status of ``digital computers'' or
related equipment for telecommunications equipment, see Category 5,
Part 1 (Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
a. Designed or modified for ``fault tolerance'';
Note: For the purposes of 4A003.a., ``digital computers'' and
related equipment are not considered to be designed or modified for
``fault tolerance'' if they utilize any of the following:
1. Error detection or correction algorithms in ``main storage'';
2. The interconnection of two ``digital computers'' so that, if
the active central processing unit fails, an idling but mirroring
central processing unit can continue the system's functioning;
3. The interconnection of two central processing units by data
channels or by use of shared storage to permit one central
processing unit to perform other work until the second central
processing unit fails, at which time the first central processing
unit takes over in order to continue the system's functioning; or
4. The synchronization of two central processing units by
``software'' so that one central processing unit recognizes when the
other central processing unit fails and recovers tasks from the
failing unit.
b. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') exceeding 190,000 million theoretical
operations per second (MTOPS);
c. ``Electronic assemblies'' specially designed or modified to
be capable of enhancing performance by aggregation of ``computing
elements'' (``CEs'') so that the ``CTP'' of the aggregation exceeds
the limit in 4A003.b.;
Note 1: 4A003.c applies only to ``electronic assemblies'' and
programmable interconnections not exceeding the limit in 4A003.b.
when shipped as unintegrated ``electronic assemblies''. It does not
apply to ``electronic assemblies'' inherently limited by nature of
their design for use as related equipment controlled by 4A003.d, or
4A003.e.
Note 2: 4A003.c does not control ``electronic assemblies''
specially designed for a product or family of products whose maximum
configuration does not exceed the limit of 4A003.b.
d. [RESERVED]
e. Equipment performing analog-to-digital conversions exceeding
the limits in 3A001.a.5;
f. [RESERVED]
g. Equipment specially designed to provide external
interconnection of ``digital computers'' or associated equipment
that allows communications at data rates exceeding 1.25 Gbyte/s.
Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) passive interconnection
equipment, ``network access controllers'' or ``communication channel
controllers''.
0
20. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4D001 is amended by revising the ``Heading'', License Requirements
section, and the ``items'' paragraph in the List of Items Controlled
section, to read as follows:
4D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or
``software'' controlled by 4A001 to 4A004, or 4D (except 4D980,
4D993 or 4D994), and other specified software, see List of Items
Controlled.
License Requirements
Reason for Control: NS, CC, AT, NP, XP.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``software'' for NS Column 1.
commodities or software controlled by
4A001 to 4A004, 4D001 to 4D003.
CC applies to ``software'' for CC Column 1.
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry............... AT Column 1.
------------------------------------------------------------------------
NP applies, unless a License Exception is available. See Sec.
742.3(b) of the EAR for information on applicable licensing review
policies.
XP applies to ``software'' for computers with a CTP greater than
190,000 MTOPS, unless a License Exception is available. XP controls
vary according to destination and end-user and end-use; however, XP
does not apply to Canada. See Sec. 742.12 of the EAR for additional
information.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or
``software'' controlled by 4A001 to 4A004, or 4D (except 4D980,
4D993 or 4D994).
b. ``Software'', other than that controlled by the heading,
specially designed or modified for the ``development'' or
``production'' of:
b.1. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') exceeding 28,000 MTOPS; or
b.2. ``Electronic assemblies'' specially designed or modified
for enhancing performance by aggregation of ``computing elements''
(``CEs'') so that the ``CTP'' of the aggregation exceeds the limit
in 4D001.b.1.
0
21. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4D994 is amended by revising the ``Heading'', to read as follows:
4D994 ``Software'' other than that controlled in 4D001 specially
designed or modified for the ``development'', ``production'', or
``use'' of equipment controlled by 4A101, 4A994, 4B994, and
materials controlled by 4C994.
* * * * *
0
22. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4E001 is amended by revising the ``Heading'', License Requirements
section, and the ``items'' paragraph in the List of Items Controlled
section, to read as follows:
4E001 ``Technology'' according to the General Technology Note, for
the ``development'', ``production'' or ``use'' of equipment or
``software'' controlled by 4A (except 4A980, 4A993 or 4A994) or 4D
(except 4D980, 4D993, 4D994), and other specified technology, see
List of Items Controlled.
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to ``technology'' for NS Column 1.
commodities or software controlled by
4A001 to 4A004, 4D001 to 4D003.
MT applies to ``technology'' for items MT Column 1.
controlled by 4A001.a and 4A101 for MT
reasons.
[[Page 68988]]
CC applies to ``technology'' for CC Column 1.
computerized fingerprint equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry............... AT Column 1.
------------------------------------------------------------------------
NP applies, unless a License Exception is available. See Sec.
742.3(b) of the EAR for information on applicable licensing review
policies.
XP applies to ``technology'' for computers with a CTP greater
than 190,000 MTOPS, unless a License Exception is available. XP
controls vary according to destination and end-user and end-use;
however, XP does not apply to Canada. See Sec. 742.12 of the EAR
for additional information.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Technology'' according to the General Technology Note, for
the ``development,'' ``production,'' or ``use'' of equipment or
``software'' controlled by 4A (except 4A980, 4A993 or 4A994) or 4D
(except 4D980, 4D993, 4D994).
b. ``Technology'', other than that controlled by 4E001.a,
specially designed or modified for the ``development'' or
``production'' of:
b.1. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') exceeding 28,000 MTOPS; or
b.2. ``Electronic assemblies'' specially designed or modified
for enhancing performance by aggregation of ``computing elements''
(``CEs'') so that the ``CTP'' of the aggregation exceeds the limit
in 4E001.b.1.
0
23. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--Computers, Export Control Classification Number (ECCN)
4E992 is amended by revising the ``Heading'', to read as follows:
4E992 ``Technology'' other than that controlled in 4E001 for the
``development'', ``production'', or ``use'' of equipment controlled
by 4A994 and 4B994, materials controlled by 4C994, or ``software''
controlled by 4D993 or 4D994.
* * * * *
0
24. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications, Export Control Classification Number (ECCN) 5A001
is amended by revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
5A001 Telecommunications systems, equipment, and components.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. Specially designed to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation; or
a.3. Specially designed to operate outside the temperature range
from 218 K (-55[deg] C) to 397 K (124[deg] C).
Note: 5A001.a.3 applies only to electronic equipment.
Note: 5A001.a.2 and 5A001.a.3 do not apply to equipment on board
satellites.
b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any
of the following characteristics, functions or features:
b.1 Being underwater communications systems having any of the
following characteristics:
b.1.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
b.1.b. Using an electromagnetic carrier frequency below 30 kHz;
or
b.1.c. Using electronic beam steering techniques;
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having any of the following characteristics:
b.2.a. Incorporating adaptive techniques providing more than 15
dB suppression of an interfering signal; or
b.2.b. Having all of the following:
b.2.b.1. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.2.b.2. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the frequency range of 1.5 MHz or
more but less than 30 MHz, or 250 W or more in the frequency range
of 30 MHz or more but not exceeding 87.5 MHz, over an
``instantaneous bandwidth'' of one octave or more and with an output
harmonic and distortion content of better than -80 dB;
b.3. Being radio equipment employing ``spread spectrum''
techniques, including ``frequency hopping'' techniques, having any
of the following characteristics:
b.3.a. User programmable spreading codes; or
b.3.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;
Note: 5A001.b.3.b does not control radio equipment specially
designed for use with civil cellular radio-communications systems.
Note: 5A001.b.3 does not control equipment operating at an
output power of 1.0 Watt or less.
b.4 Being radio equipment employing ``time-modulated ultra-
wideband'' techniques, having user programmable channelizing or
scrambling codes;
b.5. Being digitally controlled radio receivers having all of
the following:
b.5.a. More than 1,000 channels;
b.5.b. A ``frequency switching time'' of less than 1 ms;
b.5.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
b.5.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.5 does not control radio equipment specially
designed for use with civil cellular radio-communications systems.
b.6. Employing functions of digital ``signal processing'' to
provide voice coding output at rates of less than 2,400 bit/s.
Technical Note: For variable rate voice coding, 5A001.b.6
applies to the voice coding output of continuous speech.
c. Optical fiber communication cables, optical fibers and
accessories, as follows:
c.1. Optical fibers of more than 500 m in length specified by
the manufacturer as being capable of withstanding a proof test
tensile stress of 2 x 109 N/m2 or more;
Technical Note: Proof Test: on-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20[deg] C) and relative
humidity 40%. Equivalent national standards may be used for
executing the proof test.
c.2. Optical fiber cables and accessories designed for
underwater use.
Note: 5A001.c.2 does not control standard civil
telecommunication cables and accessories.
N.B. 1: For underwater umbilical cables, and connectors thereof,
see 8A002.a.3.
N.B. 2: For fiber-optic hull penetrators or connectors, see
8A002.c.
d. ``Electronically steerable phased array antennae'' operating
above 31 GHz.
Note: 5A001.d does not control ``electronically steerable phased
array antennae'' for landing systems with instruments meeting ICAO
standards covering microwave landing systems (MLS).
0
25. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications, Export Control Classification Number (ECCN) 5A991
is amended by revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
5A991 Telecommunication equipment, not controlled by 5A001.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Any type of telecommunications equipment, not controlled by
5A001.a,
[[Page 68989]]
specially designed to operate outside the temperature range from 219
K (-54 [deg]C) to 397 K (124 [deg]C).
b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any
of the following characteristics, functions or features:
Note: Telecommunication transmission equipment:
a. Categorized as follows, or combinations thereof:
1. Radio equipment (e.g., transmitters, receivers and
transceivers);
2. Line terminating equipment;
3. Intermediate amplifier equipment;
4. Repeater equipment;
5. Regenerator equipment;
6. Translation encoders (transcoders);
7. Multiplex equipment (statistical mutiplex included);
8. Modulators/demodulators (modems);
9. Transmultiplex equipment (see CCITT Rec. G701);
10. ``Stored program controlled'' digital crossconnection
equipment;
11. ``Gateways'' and bridges;
12. ``Media access units''; and
b. Designed for use in single or multi-channel communication via
any of the following:
1. Wire (line);
2. Coaxial cable;
3. Optical fiber cable;
4. Electromagnetic radiation; or
5. Underwater acoustic wave propagation.
b.1. Employing digital techniques, including digital processing
of analog signals, and designed to operate at a ``digital transfer
rate'' at the highest multiplex level exceeding 45 Mbit/s or a
``total digital transfer rate'' exceeding 90 Mbit/s;
Note: 5A991.b.1 does not control equipment specially designed
to be integrated and operated in any satellite system for civil use.
b.2. Modems using the ``bandwidth of one voice channel'' with a
``data signaling rate'' exceeding 9,600 bits per second;
b.3. Being ``stored program controlled'' digital cross connect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per
port.
b.4. Being equipment containing any of the following:
b.4.a. ``Network access controllers'' and their related common
medium having a ``digital transfer rate'' exceeding 33 Mbit/s; or
b.4.b. ``Communication channel controllers'' with a digital
output having a ``data signaling rate'' exceeding 64,000 bit/s per
channel;
Note: If any uncontrolled equipment contains a ``network access
controller'', it cannot have any type of telecommunications
interface, except those described in, but not controlled by
5A991.b.4.
b.5. Employing a ``laser'' and having any of the following
characteristics:
b.5.a. A transmission wavelength exceeding 1,000 nm; or
b.5.b. Employing analog techniques and having a bandwidth
exceeding 45 MHz;
Note: 5A991.b.5.b does not control commercial TV systems.
b.5.c. Employing coherent optical transmission or coherent
optical detection techniques (also called optical heterodyne or
homodyne techniques);
b.5.d. Employing wavelength division multiplexing techniques; or
b.5.e. Performing ``optical amplification'';
b.6. Radio equipment operating at input or output frequencies
exceeding:
b.6.a. 31 GHz for satellite-earth station applications; or
b.6.b. 26.5 GHz for other applications;
Note: 5A991.b.6. does not control equipment for civil use when
conforming with an International Telecommunications Union (ITU)
allocated band between 26.5 GHz and 31 GHz.
b.7. Being radio equipment employing any of the following:
b.7.a. Quadrature-amplitude-modulation (QAM) techniques above
level 4 if the ``total digital transfer rate'' exceeds 8.5 Mbit/s;
b.7.b. QAM techniques above level 16 if the ``total digital
transfer rate'' is equal to or less than 8.5 Mbit/s; or
b.7.c. Other digital modulation techniques and having a
``spectral efficiency'' exceeding 3 bit/s/Hz;
Notes: 1. 5A991.b.7 does not control equipment specially
designed to be integrated and operated in any satellite system for
civil use.
2. 5A991.b.7 does not control radio relay equipment for
operation in an ITU allocated band:
a. Having any of the following:
a.1. Not exceeding 960 MHz; or
a.2. With a ``total digital transfer rate'' not exceeding 8.5
Mbit/s; and
b. Having a ``spectral efficiency'' not exceeding 4 bit/s/Hz.
b.8. Providing functions of digital ``signal processing'' as
follows:
b.8.a. Voice coding at rates less than 2,400 bit/s;
b.8.b. Employing circuitry that incorporates ``user-accessible
programmability'' of digital ``signal processing'' circuits
exceeding the limits of 4A003.b.
c. ``Stored program controlled'' switching equipment and related
signaling systems, having any of the following characteristics,
functions or features, and specially designed components and
accessories therefor:
Note: Statistical multiplexers with digital input and digital
output which provide switching are treated as ``stored program
controlled'' switches.
c.1. ``Data (message) switching'' equipment or systems designed
for ``packet-mode operation'' and assemblies and components
therefor, n.e.s.
c.2. Containing ``Integrated Services Digital Network'' (ISDN)
functions and having any of the following:
c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a
``digital transfer rate'' at the highest multiplex level exceeding
192,000 bit/s, including the associated signaling channel (e.g.,
2B+D); or
c.2.b. The capability that a signaling message received by a
switch on a given channel that is related to a communication on
another channel may be passed through to another switch.
Note: 5A991.c does not preclude the evaluation and appropriate
actions taken by the receiving switch or unrelated user message
traffic on a D channel of ISDN.
c.3. Routing or switching of ``datagram'' packets;
c.4. Routing or switching of ``fast select'' packets;
Note: The restrictions in 5A991.c.3 and c.4 do not apply to
networks restricted to using only ``network access controllers'' or
to ``network access controllers'' themselves.
c.5. Multi-level priority and pre-emption for circuit switching;
Note: 5A991.c.5 does not control single-level call preemption.
c.6. Designed for automatic hand-off of cellular radio calls to
other cellular switches or automatic connection to a centralized
subscriber data base common to more than one switch;
c.7. Containing ``stored program controlled'' digital cross
connect equipment with ``digital transfer rate'' exceeding 8.5 Mbit/
s per port.
c.8. ``Common channel signaling'' operating in either non-
associated or quasi-associated mode of operation;
c.9. ``Dynamic adaptive routing''
Note: 5A991.c.10 does not control packet switches or routers
with ports or lines not exceeding the limits in 5A991.c.10.
c.10. Being packet switches, circuit switches and routers with
ports or lines exceeding any of the following:
c.10.a. A ``data signaling rate'' of 64,000 bit/s per channel
for a ``communications channel controller''; or
Note: 5A991.c.10.a does not control multiplex composite links
composed only of communication channels not individually controlled
by 5A991.b.1.
c.10.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network
access controller'' and related common media;
c.11. ``Optical switching'';
c.12. Employing ``Asynchronous Transfer Mode (``ATM'')
techniques.
d. Optical fibers and optical fiber cables of more than 50 m in
length designed for single mode operation;
e. Centralized network control having all of the following
characteristics:
e.1. Receives data from the nodes; and
e.2. Process these data in order to provide control of traffic
not requiring operator decisions, and thereby performing ``dynamic
adaptive routing'';
Note: 5A991.e does not preclude control of traffic as a
function of predictable statistical traffic conditions.
f. Phased array antennae, operating above 10.5 GHz, containing
active elements and distributed components, and designed to permit
electronic control of beam shaping and pointing, except for landing
systems with instruments meeting International Civil Aviation
Organization (ICAO) standards (microwave landing systems (MLS)).
g. Mobile communications equipment, n.e.s., and assemblies and
components therefor; or
h. Radio relay communications equipment designed for use at
frequencies equal to or
[[Page 68990]]
exceeding 19.7 GHz and assemblies and components therefor, n.e.s.
0
26. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications, Export Control Classification Number (ECCN) 5B001
is amended by revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
5B001 Telecommunication test, inspection and production equipment,
as follows (See List of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definition: * * *
Items:
a. Equipment and specially designed components or accessories
therefor, specially designed for the ``development'', ``production''
or ``use'' of equipment, functions or features controlled by 5A001,
5D001 or 5E001.
Note: 5B001.a. does not control optical fiber characterization
equipment.
b. Equipment and specially designed components or accessories
therefor, specially designed for the ``development'' of any of the
following telecommunication transmission or ``stored program
controlled'' switching equipment:
b.1. Equipment employing digital techniques, including
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a
``total digital transfer rate'' exceeding 1.5 Gbit/s;
b.2. Equipment employing a ``laser'' and having any of the
following:
b.2.a. A transmission wavelength exceeding 1750 nm;
b.2.b. Performing ``optical amplification'';
b.2.c. Employing coherent optical transmission or coherent
optical detection techniques (also called optical heterodyne or
homodyne techniques); or
b.2.d. Employing analog techniques and having a bandwidth
exceeding 2.5 GHz;
Note: 5B001.b.2.d. does not include equipment specially
designed for the ``development'' of commercial TV systems.
b.3. Equipment employing ``optical switching'';
b.4. Radio equipment employing quadrature-amplitude-modulation
(QAM) techniques above level 256; or
b.5. Equipment employing ``common channel signaling'' operating
in non-associated mode of operation.
0
27. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications, Export Control Classification Number (ECCN) 5D001
is amended by revising the License Exceptions section, and the
``items'' paragraph in the List of Items Controlled section, to read as
follows:
5D001 ``Software'', as described in the List of Items Controlled.
* * * * *
License Exceptions
CIV: Yes, except for ``software'' controlled by 5D001.a and
specially designed for the ``development'' or ``production'' of
items controlled by 5A001.b.5 TSR: Yes, except for exports and
reexports to destinations outside of Austria, Belgium, Canada,
Denmark, Finland, France, Germany, Greece, Ireland, Italy, Japan,
Luxembourg, the Netherlands, Portugal, Spain, Sweden, or the United
Kingdom of ``software'' controlled by 5D001.a and specially designed
for items controlled by 5A001.b.5.
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment, functions
or features controlled by 5A001 or 5B001.
b. ``Software'' specially designed or modified to support
``technology'' controlled by 5E001.
c. Specific ``software'' as follows:
c.1. ``Software'' specially designed or modified to provide
characteristics, functions or features of equipment controlled by
5A001 or 5B001;
c.2. [Reserved];
c.3. ``Software'', other than in machine-executable form,
specially designed for ``dynamic adaptive routing''.
d. ``Software'' specially designed or modified for the
``development'' of any of the following telecommunication
transmission or ``stored program controlled'' switching equipment:
d.1. Equipment employing digital techniques, including
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a
``total digital transfer rate'' exceeding 1.5 Gbit/s;
d.2. Equipment employing a ``laser'' and having any of the
following:
d.2.a. A transmission wavelength exceeding 1750 nm; or
d.2.b. Employing analog techniques and having a bandwidth
exceeding 2.5 GHz;
Note: 5D001.d.2.b. does not control ``software'' specially
designed or modified for the ``development'' of commercial TV
systems.
d.3. Equipment employing ``optical switching''; or
d.4. Radio equipment employing quadrature-amplitude-modulation
(QAM) techniques above level 256.
0
28. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications, Export Control Classification Number (ECCN) 5E001
is amended by revising the ``items'' paragraph in the List of Items
Controlled section, to read as follows:
5E001 ``Technology'', (see List of Items Controlled).
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. ``Technology'' according to the General Technology Note for
the ``development'', ``production'' or ``use'' (excluding operation)
of equipment, functions or features or ``software'' controlled by
5A001, 5B001 or 5D001.
b. Specific ``technologies'', as follows:
b.1. ``Required'' ``technology'' 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.
c. ``Technology'' according the General Technology Note for the
``development'' or ``production'' of any of the following
telecommunication transmission or ``stored program controlled''
switching equipment, functions or features:
c.1. Equipment employing digital techniques, including
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a
``total digital transfer rate'' exceeding 1.5 Gbit/s;
c.2. Equipment employing a ``laser'' and having any of the
following:
c.2.a. A transmission wavelength exceeding 1750 nm;
c.2.b. Performing ``optical amplification'' using praseodymium-
doped fluoride fiber amplifiers (PDFFA);
c.2.c. Employing coherent optical transmission or coherent
optical detection techniques (also called optical heterodyne or
homodyne techniques);
c.2.d. Employing wavelength division multiplexing techniques
exceeding 8 optical carriers in a single optical window; 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 the
``development'' or ``production'' of commercial TV systems.
c.3. Equipment employing ``optical switching'';
c.4. Radio equipment having any of the following:
c.4.a. Quadrature-amplitude-modulation (QAM) techniques above
level 256; or
c.4.b. Operating at input or output frequencies exceeding 31
GHz; or
Note: 5E001.c.4.b. does not control ``technology'' for the
``development'' or
[[Page 68991]]
``production'' of 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.5. Equipment employing ``common channel signaling'' operating
in non-associated mode of operation.
0
29. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part II--
``Information Security'', Export Control Classification Number (ECCN)
5A002 is amended by revising the ``Related Controls'', ``Related
Definitions'', and ``Items'' paragraphs in the List of Items Controlled
section, to read as follows:
5A002 Systems, equipment, application specific ``electronic
assemblies'', modules and integrated circuits for ``information
security'', as follows (see List of Items Controlled), and other
specially designed components therefor.
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: 5A002 does not control the items listed in
paragraphs (a) through (f) in the Note in the items paragraph of
this entry. These items are instead controlled under ECCN 5A992.
Related Definitions: N/A
Items:
Note: 5A002 does not control the following. However, these items
are instead controlled under 5A992:
(a) ``Personalized smart cards'':
(1) Where the cryptographic capability is restricted for use in
equipment or systems excluded from control paragraphs (b) through
(f) of this Note; or
(2) For general public-use applications where the cryptographic
capability is not user-accessible and it is specially designed and
limited to allow protection of personal data stored within.
N.B.: If a ``personalized smart card'' has multiple functions,
the control status of each function is assessed individually.
(b) Receiving equipment for radio broadcast, pay television or
similar restricted audience broadcast of the consumer type, without
digital encryption except that exclusively used for sending the
billing or program-related information back to the broadcast
providers.
(c) Equipment where the cryptographic capability is not user-
accessible and which is specially designed and limited to allow any
of the following:
(1) Execution of copy-protected ``software';
(2) Access to any of the following:
(a) Copy-protected contents stored on read-only media; or
(b) Information stored in encrypted form on media (e.g., in
connection with the protection of intellectual property rights)
where the media is offered for sale in identical sets to the public;
or
(3) Copying control of copyright protected audio/video data.
(d) Cryptographic equipment specially designed and limited for
banking use or money transactions;
(e) Portable or mobile radiotelephones for civil use (e.g., for
use with commercial civil cellular radio communications systems)
that are not capable of end-to-end encryption.
N.B.: The term ``money transactions'' includes the collection
and settlement of fares or credit functions.
(f) Cordless telephone equipment not capable of end-to-end
encryption where the maximum effective range of unboosted cordless
operation (e.g., a single, unrelayed hop between terminal and home
basestation) is less than 400 meters according to the manufacturer's
specifications.
Technical Note: Parity bits are not included in the key length.
a. Systems, equipment, application specific ``electronic
assemblies'', modules and integrated circuits for ``information
security'', as follows, and other specially designed components
therefor:
N.B.: For the control of global navigation satellite systems
receiving equipment containing or employing decryption (e.g., GPS or
GLONASS) see 7A005.
a.1. Designed or modified to use ``cryptography'' employing
digital techniques performing any cryptographic function other than
authentication or digital signature having any of the following:
Technical Notes:
1. Authentication and digital signature functions include their
associated key management function.
2. Authentication includes all aspects of access control where
there is no encryption of files or text except as directly related
to the protection of passwords, Personal Identification Numbers
(PINs) or similar data to prevent unauthorized access.
3. ``Cryptography'' does not include ``fixed'' data compression
or coding techniques.
Note: 5A002.a.1 includes equipment designed or modified to use
``cryptography'' employing analog principles when implemented with
digital techniques.
a.1.a. A ``symmetric algorithm'' employing a key length in
excess of 56-bits; or
a.1.b. An ``asymmetric algorithm'' where the security of the
algorithm is based on any of the following:
a.1.b.1. Factorization of integers in excess of 512 bits (e.g.,
RSA);
a.1.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
a.1.b.3. Discrete logarithms in a group other than mentioned in
5A002.a.1.b.2 in excess of 112 bits (e.g., Diffie-Hellman over an
elliptic curve);
a.2. Designed or modified to perform cryptanalytic functions;
a.3. [RESERVED]
a.4. Specially designed or modified to reduce the compromising
emanations of information-bearing signals beyond what is necessary
for health, safety or electromagnetic interference standards;
a.5. Designed or modified to use cryptographic techniques to
generate the spreading code for ``spread spectrum'' systems,
including the hopping code for ``frequency hopping'' systems;
a.6. Designed or modified to use cryptographic techniques to
generate channelizing or scrambling codes for ``time-modulated
ultra-wideband'' systems;
a.7. Designed or modified to provide certified or certifiable
``multilevel security'' or user isolation at a level exceeding Class
B2 of the Trusted Computer System Evaluation Criteria (TCSEC) or
equivalent;
a.8. Communications cable systems designed or modified using
mechanical, electrical or electronic means to detect surreptitious
intrusion.
0
30. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 6--Sensors, Export Control Classification Number (ECCN) 6A001
is amended by revising the License Exceptions section, and the
``items'' paragraph in the List of Items Controlled section, to read as
follows:
6A001 Acoustics.
* * * * *
License Exceptions
LVS: $3000; N/A for 6A001.a.1.b.1 object detection and location
systems having a transmitting frequency below 5 kHz or a sound
pressure level exceeding 210 dB (reference 1 [mu] Pa at 1 m) for
equipment with an operating frequency in the band from 30 kHz to 2
kHz inclusive; 6A001.a.2.a.1, a.2.a.2, a.2.a.4, a.2.a.5,
6A001.a.2.b; processing equipment controlled by 6A001.a.2.c, and
specially designed for real time application with towed acoustic
hydrophone arrays; a.2.e.1, a.2.e.2; and bottom or bay cable systems
controlled by 6A001.a.2.f and having processing equipment specially
designed for real time application with bottom or bay cable systems.
GBS: Yes for 6A001.a.1.b.4.
CIV:Yes for 6A001.a.1.b.4.
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: * * *
Items:
a. Marine acoustic systems, equipment and specially designed
components therefor, as follows:
a.1. Active (transmitting or transmitting-and-receiving)
systems, equipment and specially designed components therefor, as
follows:
Note: 6A001.a.1 does not control:
a. Depth sounders operating vertically below the apparatus, not
including a scanning function exceeding +/- 20[deg], and limited to
measuring the depth of water, the distance of submerged or buried
objects or fish finding;
b. Acoustic beacons, as follows:
1. Acoustic emergency beacons;
2. Pingers specially designed for relocating or returning to an
underwater position.
a.1.a. Wide-swath bathymetric survey systems designed for sea
bed topographic mapping, having all of the following:
[[Page 68992]]
a.1.a.1. Being designed to take measurements at an angle
exceeding 20[deg] from the vertical;
a.1.a.2. Being designed to measure depths exceeding 600 m below
the water surface; and
a.1.a.3. Being designed to provide any of the following:
a.1.a.3.a. Incorporation of multiple beams any of which is less
than 1.9[deg]; or
a.1.a.3.b. Data accuracies of better than 0.3% of water depth
across the swath averaged over the individual measurements within
the swath;
a.1.b. Object detection or location systems having any of the
following:
a.1.b.1. A transmitting frequency below 10 kHz;
a.1.b.2. Sound pressure level exceeding 224dB (reference 1
[mu]Pa at 1 m) for equipment with an operating frequency in the band
from 10 kHz to 24 kHz inclusive;
a.1.b.3. Sound pressure level exceeding 235 dB (reference 1
[mu]Pa at 1 m) for equipment with an operating frequency in the band
between 24 kHz and 30 kHz;
a.1.b.4. Forming beams of less than 1[deg] on any axis and
having an operating frequency of less than 100 kHz;
a.1.b.5. Designed to operate with an unambiguous display range
exceeding 5,120 m; or
a.1.b.6. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m and having transducers with any of the
following:
a.1.b.6.a. Dynamic compensation for pressure; or
a.1.b.6.b. Incorporating other than lead zirconate titanate as
the transduction element;
a.1.c. Acoustic projectors, including transducers, incorporating
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or
hydraulic elements operating individually or in a designed
combination, having any of the following:
Notes: 1. The control status of acoustic projectors, including
transducers, specially designed for other equipment is determined by
the control status of the other equipment.
2. 6A001.a.1.c does not control electronic sources that direct
the sound vertically only, or mechanical (e.g., air gun or vapor-
shock gun) or chemical (e.g., explosive) sources.
a.1.c.1. An instantaneous radiated acoustic power density
exceeding 0.01 mW/mm\2\/Hz for devices operating at frequencies
below 10 kHz;
a.1.c.2. A continuously radiated acoustic power density
exceeding 0.001 Mw/mm\2\/Hz for devices operating at frequencies
below 10 kHz; or
Technical Note: Acoustic power density is obtained by dividing
the output acoustic power by the product of the area of the
radiating surface and the frequency of operation.
a.1.c.3. Side-lobe suppression exceeding 22 dB;
a.1.d. Acoustic systems, equipment and specially designed
components for determining the position of surface vessels or
underwater vehicles designed to operate at a range exceeding 1,000 m
with a positioning accuracy of less than 10 m rms (root mean square)
when measured at a range of 1,000 m;
Note: 6A001.a.1.d includes:
a. Equipment using