Export Administration Regulations: Implementation of Wassenaar Arrangement 2019 Plenary Decisions; Elimination of Reporting Requirements for Certain Encryption Items
| Published date | 29 March 2021 |
| Citation | 86 FR 16482 |
| Record Number | 2021-05481 |
| Section | Rules and Regulations |
| Court | Industry And Security Bureau |
Federal Register, Volume 86 Issue 58 (Monday, March 29, 2021)
[Federal Register Volume 86, Number 58 (Monday, March 29, 2021)]
[Rules and Regulations]
[Pages 16482-16506]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-05481]
[[Page 16481]]
Vol. 86
Monday,
No. 58
March 29, 2021
Part III Department of Commerce----------------------------------------------------------------------- Bureau of Industry and Security-----------------------------------------------------------------------15 CFR Parts 734, 740, 742, et al.Export Administration Regulations: Implementation of Wassenaar
Arrangement 2019 Plenary Decisions; Elimination of Reporting
Requirements for Certain Encryption Items; Final Rule
Federal Register / Vol. 86, No. 58 / Monday, March 29, 2021 / Rules
and Regulations
[[Page 16482]]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 734, 740, 742, 772, and 774
[Docket No. 210310-0051]
RIN 0694-AI00
Export Administration Regulations: Implementation of Wassenaar
Arrangement 2019 Plenary Decisions; Elimination of Reporting
Requirements for Certain Encryption Items
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Bureau of Industry and Security (BIS) maintains, as part
of its Export Administration Regulations (EAR), the Commerce Control
List (CCL), which identifies certain items subject to Department of
Commerce jurisdiction. This final rule revises the CCL, as well as
corresponding parts of the EAR, to implement changes to the Wassenaar
Arrangement List of Dual-Use Goods and Technologies (WA List) that were
decided upon by governments participating in the Wassenaar Arrangement
on Export Controls for Conventional Arms and Dual-Use Goods and
Technologies (Wassenaar Arrangement, or WA) at the December 2019 WA
Plenary meeting. The Wassenaar Arrangement advocates implementation of
effective export controls on strategic items with the objective of
improving regional and international security and stability. This rule
harmonizes the CCL with the decisions reached at the 2019 Plenary
meeting by revising Export Control Classification Numbers (ECCNs)
controlled for national security reasons in each category of the CCL.
This rule also makes associated changes to the EAR as well as
corrections. This rule also makes changes to various provisions related
to Category 5--Part 2 of the CCL in the EAR, including provisions on
License Exception Encryption commodities, software, and technology
(ENC). These changes, which include the elimination of reporting
requirements for certain encryption items, are designed to reduce the
regulatory burden for exporters while still fulfilling U.S. national
security and foreign policy objectives.
DATES: This rule is effective March 29, 2021.
FOR FURTHER INFORMATION CONTACT: For general questions, contact Sharron
Cook, Office of Exporter Services, Bureau of Industry and Security,
U.S. Department of Commerce at 202-482-2440 or by email:
[email protected].
For technical questions contact:
Categories 0, 1 & 2: Joseph Giunta at 202-482-3127 or
[email protected]
Category 3: Carlos Monroy at 202-482-3246 or [email protected]
Categories 4 & 5: Aaron Amundson or Anita Zinzuvadia 202-482-0707 or
[email protected] or [email protected]
Category 6 (optics): John Varesi at 202-482-1114 or
[email protected]
Category 6 (lasers and radar): Michael Rithmire 202-482-6105 or
[email protected]
Category 6 (sensors and cameras): John Varesi 202-482-1114 or
[email protected]
Categories 7: David Rosenberg at 202-482-5987, Michael Tu at 202-482-
6462 or John Varesi at 202-482-1114 or [email protected],
[email protected] or [email protected]
Category 8: Michael Tu 202-6462 or [email protected]
Category 9: David Rosenberg at 202-482-5987 or Michael Tu at 202-6462
or [email protected] or [email protected]
Category 9x515 (satellites): Michael Tu 202-482-6462 or
[email protected]
Category ``600 Series'' (munitions items): Jeffrey Leitz at 202-482-
7417 or [email protected]
SUPPLEMENTARY INFORMATION:
Background
The Wassenaar Arrangement on Export Controls for Conventional Arms
and Dual-Use Goods and Technologies (Wassenaar Arrangement or WA)
(http://www.wassenaar.org/) is a group of 42 like-minded states
committed to promoting responsibility and transparency in the global
arms trade and preventing destabilizing accumulations of arms. As a
Participating State of the WA (Participating State), the United States
has committed to controlling for export all items on the WA control
lists. The lists were first established in 1996 and have been revised
annually thereafter. Proposals for changes to the WA control lists that
achieve consensus are approved by Participating States at annual
plenary meetings. Participating States are charged with implementing
the list changes as soon as possible after approval. The United States'
implementation of WA control list changes ensures that U.S. companies
have a level playing field with their competitors in other WA
Participating States.
BIS published a final rule on October 25, 2020 (85 FR 62583)
implementing certain new controls on emerging technologies, as approved
at the December 2019 WA Plenary meeting. The changes in this rule,
which represent the remaining approved changes to the WA control lists,
update the corresponding items listed in the EAR and reflect recent
technical advancements and clarifications. Unless explicitly discussed
below, the revisions made by this rule will not impact the number of
license applications submitted to BIS.
Revisions to the Commerce Control List Related to WA 2019 Plenary
Decisions Revises 22 ECCNs: 0A502, 0A503, 0A606, 1A002, 1A005, 1A006,
1A613, 1B002, 1C001, 1C002, 1C006, 1C010, 2A001, 3B001, 3E002, 5A002,
6A004, 6A005, 6A008, 9A011, 9D515, 9E003.
Category 0--Nuclear Materials, Facilities, and Equipment [and
Miscellaneous Items]
0A502 Shotguns . . .
The Header of ECCN 0A502 is amended by adding the phrase ``to
slaughter domestic animals'' to the exclusion text. This phrase is
added because shotguns are often used in the humane slaughter of
domestic animals such as cattle, sheep, or horses.
0A503 Discharge Type Arms and Devices To Administer Electric Shock . .
.
The header of ECCN 0A503 is amended by adding the phrase ``to
slaughter domestic animals'' to the exclusion text. This phrase is
added because discharge type arms are often used in the humane
slaughter of domestic animals such as cattle, sheep, or horses.
0A606 Ground Vehicles and Related Commodities
Paragraphs 0A606.b.1 (unarmed vehicles that are derived from
civilian vehicles) and 0A606.b.2 (Parts and components) are amended by
revising the parameters in Items paragraphs b.1.a and b.2.b to add the
defined term ``equivalent standards'' as an alternative to the U.S.
standard of ``level III (National Institute of Justice standard
0108.01, September 1985).'' This revision is made to allow WA
Participating States to be able to use ``comparable national or
international standards recognized by one or more Wassenaar Arrangement
Participating States and applicable to the relevant
[[Page 16483]]
entry.'' This definition of ``equivalent standards'' is added to part
772 of the EAR. The word ``for'' is added before the word ``vehicles''
in Items paragraph b.1.b as an editorial correction decided to by the
WA.
Category 1--Special Materials and Related Equipment, Chemicals,
``Microorganisms,'' and ``Toxins''
1A002 ``Composite'' Structures or Laminates
Note 5 is added at the end of the Items paragraph to exclude
``mechanically chopped, milled, or cut carbon ``fibrous or filamentary
materials'' 25.0 mm or less in length'' from the control in Items
paragraph b.1 (carbon ``fibrous or filamentary materials'').
1A005 Body Armor and ``Specially Designed'' ``Components'' Therefor
Notes 2 and 3 in the Related Controls paragraph are amended to add
the defined term ``equivalent standards'' after the U.S. ``NIJ level
III'' standard, in order to allow WA Participating States to be able to
use ``comparable national or international standards recognized by one
or more Wassenaar Arrangement Participating States and applicable to
the relevant entry.'' In Items paragraph .b (hard body armor plates
that provide ballistic protection), the term ``national equivalents,''
which is not defined in the EAR, is replaced with the defined term
``equivalent standards,'' which is added to Sec. 772.1 of the EAR by
this rule. This change will also allow the use of equivalent national
standards of Participating States and international standards
recognized by one or more WA Participating States.
1A006 Equipment, ``Specially Designed'' or Modified for the Disposal of
Improvised Explosive Devices (IEDs)
The Header is amended by capitalizing each of the individual words
in the term ``Improvised Explosive Devices'', as well as adding the
acronym IEDs in parentheses. The Related Controls paragraph is amended
by replacing ``Improvised Explosive Devices'' with the acronym IEDs.
The unilateral definition for `disruptors' is removed from the Related
Definitions paragraph because the WA definition of this term is
included in the Technical Note that is added to 1A006.b. A Note is also
added at the end of the Items paragraph to inform the public that the
controls of ECCN 1A006 do not apply to equipment that accompanies its
operator.
1A613 Armored and Protective ``Equipment'' and Related Commodities
Items paragraphs .c (military helmets), d.1 (soft body armor and
protective garments), d.2 (hard body armor plates), and the Note after
Items paragraph d.2 are amended by adding ``or ``equivalent standard''
after the National Institute of Justice (NIJ) standard, in order to
allow the use of ``comparable national or international standards
recognized by one or more Wassenaar Arrangement Participating States
and applicable to the relevant entry.''
1B002 Equipment Designed To Produce Metal Alloy Powder or Particulate
Materials
The header is amended to revise the text of the header and move two
unchanged control parameters into two sub-paragraphs in the Items
paragraph section. The header text is amended by replacing ``for
producing metal alloys, metal alloy powder or alloyed materials,
``specially designed'' to avoid contamination and ``specially
designed'' for use in one of the processes specified in 1C002.c.2.''
with ``designed to produce metal alloy powder or particulate materials
and having any of the following (see List of Items Controlled).'' Metal
alloy powders are specified in 1C002.c, but the actual text refers to
``metal alloy powder or particulate material''. The equipment in 1B002
make the metal alloy powder specified in 1C002.c, but not the metal
alloys in 1C002.b. Therefore, ``metal alloys'' is removed from the
header of 1B002.
1C001 Materials ``Specially Designed'' for Absorbing Electromagnetic
Radiation, or Intrinsically Conductive Polymers
Exclusion Note 1 to 1C001.a is amended by revising paragraph d.2
relating to planar absorbers made of sintered ferrite to add ``or
less'' to the end of the parameter relating to maximum operating
temperature to clarify that the exclusion is not exclusively limited to
materials having a maximum operating temperature of 548 K.
1C002 Metal Alloys, Metal Alloy Powder and Alloyed Materials
Technical Note 3, which defines `low cycle fatigue life,' is
amended by replacing the defined term ``average stress'' with ``average
stress ratio'' to correctly state what the formula that follows
calculates.
1C006 Fluids and Lubricating Materials
This rule amends Items paragraph 1C006.d by replacing
``fluorocarbon electronic cooling fluids'' with ``fluorocarbon fluids
designed for electronic cooling'' to reflect the fact that certain
fluorocarbon fluids are designed for electronic cooling. This revision
narrows the scope of control to only those fluorocarbon fluids designed
for electronic cooling.
1C010 ``Fibrous or Filamentary Materials''
Items paragraph 1C010.c is intended to capture inorganic/ceramic
fibers that are tested or used for applications involving high-stress
and high-temperature environments. However, the current level of
control captured a large number of inorganic fibers that are not
suitable for critical structural applications requiring high modulus
and strength retention at high temperatures. The following changes will
narrow the scope to better target the control. This rule amends Items
paragraph 1C010.c, inorganic ``fibrous or filamentary materials,'' by
splitting paragraph c.1 into two subparagraphs c.1.a and c.1.b, by
adding a silicon dioxide (SiO2) composition element to the existing
``specific modulus'' parameter in 1C010.c.1.a, as well as by adding a
new ``specific modulus'' parameter in paragraph c.1.b, ``exceeding 5.6
x 10\6\ m.''
Category 2--Materials Processing
2A001 Anti-Friction Bearings and Bearing Systems
The Heading of 2A001 is amended by moving ``and ``components''
therefor'' from the end of the heading to immediately after ``bearing
systems,'' because only paragraph 2A001.c has controls on
``components.'' In addition, Items paragraph 2A001.c is amended by
adding ``and ``specially designed'' components therefor'' because the
component control in the heading no longer applies to all the Items
paragraphs and 2A001.c does include a component control. Replacing
``and ``components'' therefor'' with ``and specially designed''
components therefor'' narrows the scope of control to only those
components that rise to the level of warranting control. Exclusion Note
2 to 2A001 relating to balls with tolerances specified by the
manufacturer in accordance with ISO 3290 is removed because
investigation into ISO 3290 has revealed that versions of this standard
dated 1998 and 2001 have only applied to steel balls.
[[Page 16484]]
Category 3--Electronics
3B001 Equipment for the Manufacturing of Semiconductor Devices or
Materials
A nota bene (N.B.) is added after the Note to 3B001.h to point the
public to 6B002 for masks and reticles ``specially designed'' for
optical sensors.
3E002 ``Technology'' According to the General Technology Note Other
Than That Controlled in 3E001 for the ``Development'' or ``Production''
of a ``Microprocessor Microcircuit'', ``Micro-Computer Microcircuit''
and Microcontroller Microcircuit Core
In order to better understand the control parameters, this rule
adds two Technical Notes at the end of the Items paragraph to refer to
IEEE-754 for `floating-point' and to define `fixed-point,' as a fixed-
width real number with both an integer component and a fractional
component, and which does not include integer-only formats. Single
quotation marks are added around these terms throughout 3E002, as they
are defined in the context of this ECCN.
Category 5--Part 2--``Information Security''
5A002 ``Information security'' systems, equipment and ``components''
This rule amends 5A002.a by replacing ``by means of ``cryptographic
activation'' not employing a secure mechanism'' with ``by any means
other than secure ``cryptographic activation''.'' This is an editorial
change made to clarify what is controlled in 5A002.a. It does not
change the scope of the entry.
This rule also expands the scope of paragraph f (wireless
``personal area network'' functionality) of the 5A002.a exclusion Note
2 by removing the limitations on range and number of connections
specified in the two subparagraphs of paragraph f. As a result, any
item using only published or commercial cryptographic standards where
the ``information security'' functionality is limited to ``personal
area network'' functionality, as defined in part 772 of the EAR, is
excluded from Category 5 Part 2, regardless of the range or number of
connections. In addition, a new Note is being added to the definition
of ``personal area network'' in part 772 to clarify that a ``local area
network'' is not a ``personal area network''. Without the note, the
definition of ``personal area network'' could be read to include some
short-range ``local area networks''.
This rule adds ``gateways'' to paragraph h of the 5A002.a exclusion
Note 2 to exclude gateways where the ``information security''
functionality is limited to the tasks of ``Operations, Administration
or Maintenance'' (``OAM'') implementing only published or commercial
cryptographic standards.
Category 6--Sensors and Lasers
6A004 Optical Equipment and ``Components''
This rule amends Items paragraph 6A004.c.4 by moving the phrase
``in any coordinate direction'' from the end of the parameter to the
middle of the paragraph after ``linear thermal expansion,'' as well as
adding the unit ``/K'' (per Kelvin) after 5 x 10-6. These
changes make the control text clearer; they do not change the scope of
the control.
6A005 ``Lasers,'' ``Components'' and Optical Equipment
This rule amends Items paragraphs a.6.a.1 and a.6.a.2.a (non-
``tunable'' continuous wave ``(CW) lasers,'' `single transverse mode'
output) to replace the term ``average output power'' with ``output
power'' because CW lasers generally have a steady state output power
after a transient time period.
6A008 Radar Systems, Equipment and Assemblies
This rule amends Items paragraph 6A008.j and the associated Note by
replacing ``instrumented range'' with `instrumented range' because this
rule moves the definition for this term from Sec. 772.1 to a Technical
Note added above Items paragraph j. The definition is moved because it
is only used in 6A008. There is no change to the definition.
Category 9--Aerospace and Propulsion
9A011 Ramjet, Scramjet or `Combined Cycle Engines', and ``Specially
Designed'' ``Parts'' and ``Components'' Therefor
This rule adds a Technical Note below the heading to define
`combined cycle engines' and adds single quotes around the term in the
heading. Items specified in ECCN 9A011 are ``subject to the
International Traffic in Arms Regulations (ITAR),'' see 22 CFR parts
120 through 130. The Technical Note is added to assist the public in
identifying items specified in ECCN 9A011.
9D515 ``Software'' ``Specially Designed'' for the ``Development,''
``Production,'' Operation, Installation, Maintenance, Repair, Overhaul,
or Refurbishing of ``Spacecraft'' and Related Commodities
This rule numbers each sentence in the Related Controls paragraph
and adds a third sentence to direct people to use the appropriate
associated ``software'' ECCN for items listed in 9A004.d when these
items are incorporated into ``spacecraft payloads'' rather than using
9D515 as the classification for such ``software''. Specifically,
persons should use the appropriate associated software ECCN for any of
the following incorporated items: 3A001.b.1.a.4, 3A002.g, 5A001.a.1,
5A001.b.3, 5A002.c, 5A002.e, 6A002.a.1, 6A002.a.2, 6A002.b, 6A002.d,
6A003.b, 6A004.c, 6A004.e, 6A008.d, 6A008.e, 6A008.k, 6A008.l or
9A010.c.
9E003 Other ``Technology''
This rule amends Item paragraph 9E003.a.11 (`fan blades') to better
define parameters for a fan blade with a substantially open interior.
Since the origin of this entry, numerous fan blade construction methods
have been developed utilizing materials such as metal foams,
honeycombs, and other low density materials in order to reduce weight.
As the term `hollow' is undefined and has no threshold, the scope of
the entry was not clear. Without a specific definition of `hollow', it
is both difficult to identify which components fall under 9.E.3.a.11.
and the technology ``required'' to meet the `hollow' characteristic,
particularly in the absence of parameters or performance requirements.
The term `fan blade' is defined in order to precisely indicate the
items of concern. The structure of the note identifies `fan blades' as
elements of turbofan engines, excluding other types of gas turbine
engines.
Supplement No. 6 to Part 774--Sensitive List
Sensitive Items set forth in Supplement No. 6 to Part 774 and its
subset of Very Sensitive Items set forth in Supplement No. 7 to Part
774 have reporting requirements in order for WA member countries to
inform one another of transactions involving these items. This rule
amends paragraphs (1)(i)--1A002.a.1 and (1)(vi)--1D002 of Supplement
No. 6 to part 774 (Sensitive List) to align the EAR Sensitive List with
the WA Sensitive List. (For the subset of Very Sensitive items, such as
stealth technology materials and advanced radar, members are called on
to ``exert extreme vigilance'' in exports.)
Changes to Various Provisions Related to Category 5--Part 2 Encryption
Items
BIS is amending various provisions in the EAR related to items in
Category 5--Part 2, including by eliminating reporting requirements in
order to reduce exporters' regulatory burdens. In
[[Page 16485]]
summary, this rule makes the following changes: (1) Eliminates the
email notification requirement for `publicly available' encryption
source code and beta test encryption software, except for `publicly
available' encryption source code and beta test encryption software
implementing ``non-standard cryptography''; (2) eliminates the self-
classification reporting requirement for certain `mass market'
encryption products under Sec. 740.17(b)(1); and (3) allows self-
classification reporting for ECCN 5A992.c or 5D992.c components of
`mass market' products (and their `executable software'). This rule
moves ``mass market'' ``components,'' `executable software', toolsets,
and toolkits out of Sec. 740.17(b)(3)(i) and into (b)(1). Of those
four items, only ``mass market'' ``components'' and `executable
software' are subject to self-classification reporting. Mass market
toolsets and toolkits are not subject to self-classification reporting.
This rule does not change any of the License Exception ENC
requirements for any non-`mass market' encryption item, or for any
encryption item (`mass market' or not) that implements ``non-standard
cryptography''.
Sec. 734.4 De Minimis
This rule revises the title of paragraph (b) and the introductory
paragraph (b)(1) to accommodate the addition of digital forensics items
(digital investigative tools). This rule also revises paragraph
(b)(1)(i) by replacing ``notification requirement of'' with ``criteria
specified in,'' because of the change that is simultaneously being made
to the notification requirement provisions in Sec. 742.15(b) of the
EAR.
Sec. 734.17 Export of Encryption Source Code and Object Code Software
This rule revises paragraph (b)(2) by replacing ``notification
requirements for'' with ``additional requirements'' in the second
sentence and ``notification requirements'' in the last sentence with
``additional requirements'', because of this rule's removal of the
notification requirement set forth in Sec. 742.15(b) of the EAR for
the majority of publicly available software. The reference to Sec.
742.15(b) remains in light of the other requirements that this
provision contains, including notification requirements that remain in
effect for a small percentage of certain publicly available software.
Sec. 740.9 Temporary Imports, Exports, Reexports, and Transfers (In-
Country) (TMP)
This rule revises paragraph (c)(8), regarding the notification
requirement associated with beta test encryption software eligible
under License Exception TMP, by narrowing the scope of the requirement
to apply only to beta test encryption software implementing ``non-
standard cryptography,'' as that term is defined in part 772 of the
EAR.
Sec. 740.13 Technology and Software Unrestricted (TSU)
This rule revises paragraph (d)(2), regarding mass market software
exclusions, by correcting citation references. In a rule published on
September 20, 2016 (81 FR 64657), EAR requirements for ``mass market''
encryption software were updated and moved from Sec. 742.15(b) to
Sec. 740.17(b). However, BIS inadvertently did not update the
citations in paragraph (d)(2) at that time and is consequently
correcting that oversight in this rule.
Sec. 740.17 Encryption Commodities, Software and Technology (ENC)
This rule revises the title of introductory paragraph (b), from
``Classification request or self-classification report'' to
``Classification request or self-classification'' because self-
classification reports are required for some, but not all, items that
exporters can self-classify. Introductory paragraph (b) is also revised
by adding the word ``certain'' to the first sentence to indicate that
as a consequence of changes made in this rule, not all products
described in paragraph (b)(1) that are self-classified require a self-
classification report. Paragraph (b)(3) is revised by removing a
reference to (b)(3)(i) in the last sentence, because (b)(3)(i) no
longer applies to any ``mass market'' component, toolset or toolkit as
a consequence of the revisions made in this rule. This rule adds the
term ``Non-``mass market'' to the title of paragraph (b)(3)(i). It also
revises the sentence in this paragraph to read in this manner:
``Specified components classified under ECCN 5A002.a and equivalent or
related software classified under ECCN 5D002 that do not meet the
criteria set forth in Note 3 to Category 5--Part 2 of the CCL (the
``mass market'' note) and are not described by paragraph (b)(2) or
(b)(3)(ii) of this section, as follows:''. These changes eliminate
mandatory submission of a classification request to BIS for the review
of ECCN 5A992.c components and ECCN 5D992.c `executable software' of
``mass market'' products, except for ``non-standard cryptography''.
With the elimination of this classification request requirement, the
eligible ``mass market'' ``components'' and `executable software' now
default to `(b)(1)' status and consequently may be self-classified and
annually reported to BIS and the ENC Encryption Request Coordinator,
Ft. Meade, MD (via email to [email protected] and [email protected],
respectively). In addition, a reference to paragraph (b)(3)(ii) is
added to the end of this sentence in paragraph (b)(3)(i) in order to
avoid confusion related to ``non-standard cryptography'', as the
paragraph (b)(3)(ii) requirement to submit a classification request for
``non-standard cryptography'' remains. In summary, BIS is making the
following changes to the License Exception ENC requirements for items
formerly described in Sec. 740.17(b)(3)(i) prior to this rule:
(a) ``Mass market'' chips, chipsets, electronic assemblies and
field programmable logic devices, and their qualifying `executable
software', that are not described in paragraph (b)(2) of License
Exception ENC are now authorized under Sec. 740.17(b)(1) instead of
Sec. 740.17(b)(3)(i)(A). These items can now be self-classified and
require a self-classification report. BIS anticipates that most
cryptographic libraries and modules will remain in Sec.
740.17(b)(3)(i)(B), because paragraph b of Category 5--Part 2 Note 3
(Cryptography Note) excludes items whose primary function is
``information security''.
(b) ``Mass market'' development kits (toolsets) and toolkits that
are stand-alone products (e.g., are not ``components'' or `executable
software' of another ``mass market'' product) are also now authorized
under Sec. 740.17(b)(1). These items can now be self-classified under
ECCN 5A992c or 5D992.c, and self-classification reporting is not
required.
There is no change in the status of or requirements relating to
items described in Sec. Sec. 740.17(b)(3)(ii), (iii), or (iv).
Revisions to Sec. 740.17(e) Reporting Requirements
Paragraph (e)(3), self-classification reporting, is revised by
adding after the reference to commodities, software, and components in
the second sentence ``and components exported or reexported meeting the
criteria specified in paragraph (b)(1) of this section.'' It also adds
a sentence immediately thereafter that explains that the reporting
requirement applies to ``mass market'' encryption ``components'' and
`executable software' that meet the criteria of the Cryptography Note--
Note 3 to Category 5--Part 2 of the CCL (``mass market'' note) and are
classified under ECCN 5A992.c or 5D992.c following self-classification,
provided these items are not further described by paragraph (b)(2) or
(b)(3) of Section
[[Page 16486]]
740.17. The reporting requirement also applies to non-``mass market''
encryption commodities, software, and components that remain classified
in ECCN 5A002, 5B002 or 5D002 following self-classification, provided
these items are not further described by paragraph (b)(2) or (b)(3) of
Section 740.17. A new note is added for this paragraph that defines
`executable software,' as well as clarifies that `executable software'
does not include complete binary images of the ``software'' running on
an end-item, corresponding to similar notes in the Cryptography Note
(Note 3 to Category 5--Part 2 in the CCL, Supplement No. 1 to part
774). Clarifying phrases are also added to this paragraph to indicate
which non-``mass market'' commodities and software still require self-
classification reporting. Under these revisions, ``mass market''
encryption items that fall under Sec. 740.17(b)(1) no longer require
classification by BIS or submission of a self-classification report
except as noted above. There is no change to the classification or
self-classification reporting requirements for non-``mass market''
encryption items controlled under ECCNs 5A002, 5B002 or 5D002. These
revisions are estimated to produce a 60% reduction in encryption self-
classification reports.
Sec. 742.15 Encryption Items
This rule renames and revises paragraph (b)(2), regarding the
notification requirement for `publicly available' encryption software,
to eliminate email notification to BIS and the ENC Encryption Request
Coordinator of such software except for ``non-standard cryptography.''
These revisions are estimated to produce an 80% reduction in
notifications regarding publicly available encryption software.
Category 5--Part 2
This rule revises the Nota Bene (N.B.) to Note 3 (Cryptography
Note) by adding the word ``certain'' before ``mass market encryption
commodities and software'' in the first sentence to indicate that as a
result of this rule, not all ``mass market'' encryption requires
classification by BIS or the submission of a self-classification report
to be released from encryption items (EI) and national security (NS)
controls of ECCN 5A002 or 5D002. A sentence is added to the end of this
N.B. to clarify the status of ``mass market'' commodities and software
that no longer require a self-classification report, including that
such items are released from EI and NS controls of ECCN 5A002 or 5D002
but remain controlled under ECCN 5A992.c or 5D992.c.
Export Control Reform Act of 2018
On August 13, 2018, the President signed the Export Control Reform
Act of 2018 (ECRA), 50 U.S.C. Sections 4801-4852, which provides the
legal basis for BIS's principal authorities and serves as the authority
under which BIS issues this rule.
Savings Clause
Shipments of items removed from license exception eligibility or
eligibility for export, reexport or transfer (in-country) without a
license as a result of this regulatory action that were on dock for
loading, on lighter, laden aboard an exporting carrier, or en route
aboard a carrier to a port of export, on March 29, 2021, pursuant to
actual orders for exports, reexports and transfers (in-country) to a
foreign destination, may proceed to that destination under the previous
license exception eligibility or without a license so long as they have
been exported, reexported or transferred (in-country) before May 28,
2021. Any such items not actually exported, reexported or transferred
(in-country) before midnight, on May 28, 2021, require a license in
accordance with this final rule.
Executive Order Requirements
Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying costs and
benefits, reducing costs, harmonizing rules, and promoting flexibility.
This rule has been designated a ``significant regulatory action''
under Executive Order 12866.
This rule does not contain policies with Federalism implications as
that term is defined under Executive Order 13132.
Paperwork Reduction Act Requirements
Notwithstanding any other provision of law, no person is required
to respond to, nor shall any person be subject to a penalty for failure
to comply with, a collection of information subject to the requirements
of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA),
unless that collection of information displays a currently valid Office
of Management and Budget (OMB) Control Number.
This rule involves the following OMB-approved collections of
information subject to the PRA: 0694-0088, ``Multi-Purpose
Application'' which carries a burden hour estimate of 29.6 minutes for
a manual or electronic submission; 0694-0137 ``License Exceptions and
Exclusions'', which carries a burden hour estimate average of 1.5 hours
per submission (Note: Submissions for License Exceptions are rarely
required); 0694-0096 ``Five Year Records Retention Period'', which
carries a burden hour estimate of less than 1 minute; and 0607-0152
``Automated Export System (AES) Program'', which carries a burden hour
estimate of 3 minutes per electronic submission. Specific license
application submission estimates are discussed further in the preamble
of this rule where the revisions are explained. BIS estimates that
revisions that are editorial (e.g., moving the location of control text
on the CCL), or that are clarifications will result in no change in
license application submissions. Regarding the self-classification
notifications for License Exception ENC under collection 0694-137, 75%
of encryption self-classification notifications are now entirely mass
market submissions. Of those mass market submissions, BIS estimates
that 80% of the encryption products in these submissions implement
standards-based cryptography. Therefore, the elimination of encryption
self-classification notifications for encryption products that
implement standards-based cryptography under License Exception ENC is
anticipated to result in a 60% reduction of submissions. However,
because all 18 license exceptions set forth in Part 740 of the EAR are
bundled into one collection, the revisions included in this rule result
in no change to the overall burden for collection 0694-0137.
Administrative Procedure Act and Regulatory Flexibility Act
Requirements
Pursuant to Sec. 4821 of ECRA, this action is exempt from the
Administrative Procedure Act (5 U.S.C. 553) (APA) requirements for
notice of proposed rulemaking, opportunity for public participation,
and delay in the date of effectiveness.
Because a notice of proposed rulemaking and an opportunity for
public comment are not required to be given for this rule under the APA
or by any other law, the analytical requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are not applicable. Accordingly,
no
[[Page 16487]]
regulatory flexibility analysis is required, and none has been
prepared.
List of Subjects
15 CFR Part 734
Administrative practice and procedure, Exports, Inventions and
patents, Research, Science and technology.
15 CFR Part 740
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 742
Exports, Terrorism.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
Accordingly, parts 734, 740, 742, 772 and 774 of the Export
Administration Regulations (15 CFR parts 730 through 774) are amended
as follows:
PART 734--[AMENDED]
0
1. The authority citation for part 734 is revised to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p.
950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026,
61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3
CFR, 2001 Comp., p. 783; E.O. 13637, 78 FR 16129, 3 CFR, 2014 Comp.,
p. 223; Notice of November 12, 2020, 85 FR 72897 (November 13,
2020).
0
2. Section 734.4 is amended by revising the paragraph (b) subject
heading and paragraphs (b)(1) introductory text and (b)(1)(i) to read
as follows:
Sec. 734.4 De minimis U.S. content.
* * * * *
(b) Special requirements for certain Category 5, Part 2 items.* * *
(1) The U.S.-origin commodities or software, if controlled under
ECCN 5A002, ECCN 5B002, equivalent or related software therefor
classified under ECCN 5D002, and ``cryptanalytic items'' or digital
forensics items (investigative tools) classified under ECCN 5A004 or
5D002, must have been:
(i) Publicly available encryption source code classified under ECCN
5D002 that has met the criteria specified in Sec. 742.15(b), see Sec.
734.3(b)(3) of the EAR. Such source code does not have to be counted as
controlled U.S.-origin content in a de minimis calculation;
* * * * *
0
3. Section 734.17 is amended by revising paragraph (b)(2) to read as
follows:
Sec. 734.17 Export of encryption source code and object code
software.
* * * * *
(b) * * *
(2) Making such ``software'' available for transfer outside the
United States, over wire, cable, radio, electromagnetic, photo optical,
photoelectric or other comparable communications facilities accessible
to persons outside the United States, including transfers from
electronic bulletin boards, internet file transfer protocol and World
Wide websites, unless the person making the ``software'' available
takes precautions adequate to prevent unauthorized transfer of such
code. See Sec. 742.15(b) of the EAR for additional requirements
pursuant to which exports or reexports of encryption source code
``software'' are considered to be publicly available consistent with
the provisions of Sec. 734.3(b)(3). Publicly available encryption
source code ``software'' and corresponding object code are not subject
to the EAR, when the encryption source code ``software'' meets the
additional requirements in Sec. 742.15(b) of the EAR.
* * * * *
PART 740--[AMENDED]
0
4. The authority citation for part 740 continues to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR
58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783.
0
5. Section 740.9 is amended by revising paragraph (c)(8) to read as
follows:
Sec. 740.9 Temporary Imports, Exports, Reexports, and Transfers (in-
country) (TMP).
* * * * *
(c) * * *
(8) Notification of beta test encryption software implementing
``non-standard cryptography.'' For beta test encryption software
eligible under this license exception that provides or performs ``non-
standard cryptography'' as defined in part 772 of the EAR, by the time
of export or reexport you must submit the information described in
paragraphs (a) through (d) of supplement No. 6 to part 742 of the EAR
by email to BIS at [email protected] and to the ENC Encryption Request
Coordinator at [email protected].
* * * * *
0
6. Section 740.13 is amended by revising paragraph (d)(2) to read as
follows:
Sec. 740.13 Technology and software--unrestricted (TSU).
* * * * *
(d) * * *
(2) Exclusions. The provisions of this paragraph (d) are not
available for encryption software controlled for ``EI'' reasons under
ECCN 5D002 or for encryption software with symmetric key length
exceeding 64-bits that qualifies as mass market encryption software
under the criteria in the Cryptography Note (Note 3) of Category 5,
Part 2, of the CCL (supplement No. 1 to part 774 of the EAR). (Once
such mass market encryption software has been released from ``EI'' and
``NS'' controls pursuant to Sec. 740.17(b) of the EAR, it is
controlled under ECCN 5D992.c and is thus outside the scope of License
Exception TSU.) See Sec. 740.17(b) of the EAR for exports and
reexports of mass market encryption products controlled under ECCN
5D992.c.
* * * * *
0
7. Section 740.17 is amended by:
0
a. Revising the paragraph (b) subject heading;
0
b. Revising the first sentence of paragraph (b) introductory text;
0
c. Revising the last sentence of paragraph (b)(3) introductory text;
0
d. Revising paragraph (b)(3)(i) introductory text;
0
e. Revising paragraph (e)(3) introductory text; and
0
f. Adding a note to paragraph (e)(3) introductory text.
The revisions and addition read as follows:
Sec. 740.17 Encryption Commodities, Software and Technology (ENC).
* * * * *
(b) Classification request or self-classification. For certain
products described in paragraph (b)(1) of this section that are self-
classified, a self-classification report in accordance with paragraph
(e)(3) of this section is required from specified exporters,
reexporters and transferors; for products described in paragraph (b)(1)
of this section that are classified by BIS via a CCATS, a self-
classification report is not required. * * *
(3) * * * Thirty (30) days after a classification request is
submitted to BIS in accordance with paragraph (d) of this section and
subject to the reporting requirements in paragraph (e) of this section,
this paragraph authorizes exports, reexports, and transfers (in-
country) of the items submitted for classification, as further
described in
[[Page 16488]]
this paragraph (b)(3), to any end user, provided the item does not
perform the functions, or otherwise meet the specifications, of any
item described in paragraph (b)(2) of this section. Items described in
paragraph (b)(3)(ii) or (iv) of this section that meet the criteria set
forth in Note 3 to Category 5--Part 2 of the CCL (the ``mass market''
note) are classified under ECCN 5A992.c or 5D992.c following
classification by BIS.
* * * * *
(i) Non-``mass market'' ``components,'' toolsets, and toolkits.
Specified components classified under ECCN 5A002.a and equivalent or
related software classified under ECCN 5D002 that do not meet the
criteria set forth in Note 3 to Category 5--Part 2 of the CCL (the
``mass market'' note) and are not described by paragraph (b)(2) or
(b)(3)(ii) of this section, as follows:
* * * * *
(e) * * *
(3) Self-classification reporting for certain encryption
commodities, software, and components. This paragraph (e)(3) sets forth
requirements for self-classification reporting to BIS and the ENC
Encryption Request Coordinator (Ft. Meade, MD) of certain encryption
commodities, software, and components exported or reexported meeting
the criteria specified in paragraph (b)(1) of this section.
Specifically, this reporting requirement applies to ``mass market''
encryption components and `executable software' that meet the criteria
of the Cryptography Note--Note 3 to Category 5--Part 2 of the CCL
(``mass market'' note) and are classified under ECCN 5A992.c or 5D992.c
following self-classification, as well as to non-``mass market''
encryption commodities and software that remain classified in ECCN
5A002, 5B002 or 5D002 following self-classification, provided these
items are not further described by paragraph (b)(2) or (3) of this
section.
Note to introductory text of paragraph (e)(3): For the purposes of
this paragraph (e)(3), `executable software' means ``software'' in
executable form, from an existing hardware component excluded from ECCN
5A002 by the Cryptography Note. `Executable software' does not include
complete binary images of the ``software'' running on an end item.
* * * * *
PART 742--[AMENDED]
0
8. The authority citation for part 742 is revised to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; 22
U.S.C. 7201 et seq.; 22 U.S.C. 7210; Sec. 1503, Pub. L. 108-11, 117
Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O.
12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR
59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61 FR 58767, 3 CFR,
1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783; Presidential Determination 2003-23, 68 FR 26459, 3 CFR, 2004
Comp., p. 320; Notice of November 12, 2020, 85 FR 72897 (November
13, 2020).
0
9. Section 742.15 is amended by revising paragraph (b)(2) to read as
follows:
Sec. 742.15 Encryption items.
* * * * *
(b) * * *
(2) Notification requirement for ``non-standard cryptography.'' For
publicly available encryption source code classified under ECCN 5D002
that provides or performs ``non-standard cryptography'' as defined in
part 772 of the EAR, you must notify BIS and the ENC Encryption Request
Coordinator via email of the internet location (e.g., URL or internet
address) of the source code or provide each of them a copy of the
publicly available encryption source code. If you update or modify the
source code, you must also provide additional copies to each of them
each time the cryptographic functionality of the source code is updated
or modified. In addition, if you posted the source code on the
internet, you must notify BIS and the ENC Encryption Request
Coordinator each time the internet location is changed, but you are not
required to notify them of updates or modifications made to the
encryption source code at the previously notified location. In all
instances, submit the notification or copy to [email protected] and to
[email protected].
* * * * *
PART 772--[AMENDED]
0
10. The authority citation for part 772 continues to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783.
0
11. Section 772.1 is amended by:
0
a. Adding a definition for ``equivalent standards'' in alphabetical
order;
0
b. Removing the definition of ``instrumented range''; and
0
c. Revising the definitions of ``personal area network (Cat 5 Part 2)''
and ``superalloy''.
The addition and revisions read as follows:
Sec. 772.1 Definitions of Terms As Used In the Export Administration
Regulations (EAR).
* * * * *
Equivalent standards. (Cat 1)--Comparable national or international
standards recognized by one or more Wassenaar Arrangement Participating
States and applicable to the relevant entry.
* * * * *
Personal area network (Cat 5 Part 2)--A data communication system
having all of the following characteristics:
(1) Allows an arbitrary number of independent or interconnected
`data devices' to communicate directly with each other; and
(2) Is confined to the communication between devices within the
immediate physical vicinity of an individual person or device
controller (e.g., single room, office, or automobile).
Technical Notes:
1. `Data device' means equipment capable of transmitting or
receiving sequences of digital information.
2. The ``local area network'' extends beyond the geographical
area of the ``personal area network''.
* * * * *
Superalloy. (Cat 2 and 9) Nickel, cobalt, or iron base alloys
having a stress rupture life greater than 1,000 hours at 400 MPa and
an ultimate tensile strength greater than 850 MPa, at 922 K (649
[deg]C) or higher.
* * * * *
PART 774--[AMENDED]
0
12. The authority citation for part 774 continues to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 10 U.S.C. 8720; 10 U.S.C. 8730(e); 22 U.S.C.
287c, 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15
U.S.C. 1824; 50 U.S.C. 4305; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
FR 44025, 3 CFR, 2001 Comp., p. 783.
Supplement No. 1 to Part 774 --[Amended]
0
13. In supplement no. 1 to part 774 (the CCL), Category 0, ECCN 0A502
is revised to read as follow:
Supplement No. 1 to Part 774--The Commerce Control List
0A502 Shotguns; shotguns ``parts'' and ``components,'' consisting of
complete trigger mechanisms; magazines and magazine extension tubes;
``complete breech mechanisms;'' except equipment used to slaughter
domestic animals or used exclusively to treat or tranquilize
animals, and except arms designed solely for signal, flare, or
saluting use.
[[Page 16489]]
License Requirements
Reason for Control: RS, CC, FC, UN, AT, NS
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to shotguns with a barrel NS Column 1
length less than 18 inches (45.72 cm).
RS applies to shotguns with a barrel RS Column 1
length less than 18 inches (45.72 cm).
FC applies to entire entry................ FC Column 1
CC applies to shotguns with a barrel CC Column 1
length less than 24 in. (60.96 cm) and
shotgun ``components'' controlled by this
entry regardless of end user.
CC applies to shotguns with a barrel CC Column 2
length greater than or equal to 24 in.
(60.96 cm), regardless of end user.
CC applies to shotguns with a barrel CC Column 3
length greater than or equal to 24 in.
(60.96 cm) if for sale or resale to
police or law enforcement.
UN applies to entire entry................ See Sec. 746.1(b) of the
EAR for UN controls
AT applies to shotguns with a barrel AT Column 1
length less than 18 inches (45.72 cm).
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500 for 0A502 shotgun ``parts'' and ``components,'' consisting
of complete trigger mechanisms; magazines and magazine extension
tubes. $500 for 0A502 shotgun ``parts'' and ``components,''
consisting of complete trigger mechanisms; magazines and magazine
extension tubes, ``complete breech mechanisms'' if the ultimate
destination is Canada.
GBS: N/A
List of Items Controlled
Related Controls: Shotguns that are fully automatic are ``subject to
the ITAR.''
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
Note 1 to 0A502:
Shotguns made in or before 1898 are considered antique shotguns
and designated as EAR99.
Technical Note:
Shot pistols or shotguns that have had the shoulder stock
removed and a pistol grip attached are controlled by ECCN 0A502.
Slug guns are also controlled under ECCN 0A502.
0
14. In supplement no. 1 to part 774 (the CCL), Category 0, ECCN 0A503
is revised to read as follow:
0A503 Discharge type arms; non-lethal or less-lethal grenades and
projectiles, and ``specially designed'' ``parts'' and ``components''
of those projectiles; and devices to administer electric shock, for
example, stun guns, shock batons, shock shields, electric cattle
prods, immobilization guns and projectiles; except equipment used to
slaughter domestic animals or used exclusively to treat or
tranquilize animals, and except arms designed solely for signal,
flare, or saluting use; and ``specially designed'' ``parts'' and
``components,'' n.e.s.
License Requirements
Reason for Control: CC, UN
Country Chart (See Supp. No.
Control(s) 1 to part 738)
CC applies to entire entry................ A license is required for
ALL destinations, except
Canada, regardless of end
use. Accordingly, a column
specific to this control
does not appear on the
Commerce Country Chart.
(See part 742 of the EAR
for additional information)
UN applies to entire entry................ See Sec. 746.1(b) of the
EAR for UN controls
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: Law enforcement restraint devices that administer
an electric shock are controlled under ECCN 0A982. Electronic
devices that monitor and report a person's location to enforce
restrictions on movement for law enforcement or penal reasons are
controlled under ECCN 3A981.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
0
15. In supplement no. 1 to part 774 (the CCL), Category 0, ECCN 0A606
is revised to read as follow:
0A606 Ground vehicles and related commodities, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry, except 0A606.b NS Column 1
and .y.
NS applies to 0A606.b..................... NS Column 2
RS applies to entire entry, except 0A606.b RS Column 1
and .y.
RS applies to 0A606.b..................... RS Column 2
RS applies to 0A606.y..................... China, Russia, or Venezuela
(see Sec. 742.6(a)(7))
AT applies to entire entry................ AT Column 1
UN applies to entire entry, except 0A606.y See Sec. 746.1(b) for UN
controls
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec.
740.20(c)(1) of the EAR) may not be used for any item in 0A606.a,
unless determined by BIS to be eligible for License Exception STA in
accordance with Sec. 740.20(g) (License Exception STA eligibility
requests for 9x515 and ``600 series'' items). (2) Paragraph (c)(2)
of License Exception STA (Sec. 740.20(c)(2) of the EAR) may not be
used for any item in 0A606.
List of Items Controlled
Related Controls: (1) The ground vehicles, other articles, technical
data (including software) and services described in 22 CFR part 121,
Category VII are subject to the jurisdiction of the International
Traffic in Arms Regulations. (2) See ECCN 0A919 for foreign-made
``military commodities'' that incorporate more than a de minimis
amount of U.S.-origin ``600 series'' controlled content.
Related Definitions: N/A
Items:
a. Ground vehicles, whether manned or unmanned, ``specially
designed'' for a military use and not enumerated or otherwise
described in USML Category VII.
Note 1 to paragraph .a:
For purposes of paragraph .a, ``ground vehicles'' include (i)
tanks and armored vehicles manufactured prior to 1956 that have not
been modified since 1955 and that do not contain a functional weapon
or a weapon capable of becoming functional through repair; (ii)
military railway trains except those that are armed or are
``specially designed'' to launch missiles; (iii) unarmored military
recovery and other support vehicles; (iv) unarmored, unarmed
vehicles with mounts or hard points for firearms of .50 caliber or
less; and (v) trailers ``specially designed'' for use with other
ground vehicles enumerated in USML Category VII or ECCN 0A606.a, and
not separately enumerated or otherwise described in USML Category
VII. For purposes of this note, the term ``modified'' does not
include incorporation of safety features required by law, cosmetic
changes (e.g., different paint or repositioning of bolt holes) or
addition of ``parts'' or ``components'' available prior to 1956.
Note 2 to paragraph .a:
A ground vehicle's being ``specially designed'' for
[[Page 16490]]
military use for purposes of determining controls under paragraph
.a. entails a structural, electrical or mechanical feature involving
one or more ``components'' that are ``specially designed'' for
military use. Such ``components'' include:
a. Pneumatic tire casings of a kind ``specially designed'' to be
bullet-proof;
b. Armored protection of vital ``parts'' (e.g., fuel tanks or
vehicle cabs);
c. Special reinforcements or mountings for weapons;
d. Black-out lighting.
b. Other ground vehicles, ``parts'' and ``components,'' as
follows:
b.1. Unarmed vehicles that are derived from civilian vehicles
and that have all of the following:
b.1.a. Manufactured or fitted with materials or ``components''
other than reactive or electromagnetic armor to provide ballistic
protection equal to or better than level III (National Institute of
Justice standard 0108.01, September 1985) or ``equivalent
standards'';
b.1.b. A transmission to provide drive to both front and rear
wheels simultaneously, including those for vehicles having
additional wheels for load bearing purposes whether driven or not;
b.1.c. Gross vehicle weight rating (GVWR) greater than 4,500 kg;
and
b.1.d. Designed or modified for off-road use.
b.2. ``Parts'' and ``components'' having all of the following:
b.2.a. ``Specially designed'' for vehicles specified in
paragraph .b.1 of this entry; and
b.2.b. Providing ballistic protection equal to or better than
level III (National Institute of Justice standard 0108.01, September
1985) or ``equivalent standards''.
Note 1 to paragraph b:
Ground vehicles otherwise controlled by 0A606.b.1 that contain
reactive or electromagnetic armor are subject to the controls of
USML Category VII.
Note 2 to paragraph b:
ECCN 0A606.b.1 does not control civilian vehicles ``specially
designed'' for transporting money or valuables.
Note 3 to paragraph b:
``Unarmed'' means not having installed weapons, installed
mountings for weapons, or special reinforcements for mounts for
weapons.
c. Air-cooled diesel engines and engine blocks for armored
vehicles that weigh more than 40 tons.
d. Fully automatic continuously variable transmissions for
tracked combat vehicles.
e. Deep water fording kits ``specially designed'' for ground
vehicles controlled by ECCN 0A606.a or USML Category VII.
f. Self-launching bridge ``components'' not enumerated in USML
Category VII(g) ``specially designed'' for deployment by ground
vehicles enumerated in USML Category VII or this ECCN.
g. through w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and
``attachments'' that are ``specially designed'' for a commodity
enumerated or otherwise described in ECCN 0A606 (other than 0A606.b
or 0A606.y) or a defense article enumerated in USML Category VII and
not elsewhere specified on the USML or in 0A606.y.
Note 1:
Forgings, castings, and other unfinished products, such as
extrusions and machined bodies, that have reached a stage in
manufacture where they are clearly identifiable by mechanical
properties, material composition, geometry, or function as
commodities controlled by ECCN 0A606.x are controlled by ECCN
0A606.x.
Note 2:
``Parts,'' ``components,'' ``accessories'' and ``attachments''
enumerated in USML paragraph VII(g) are subject to the controls of
that paragraph. ``Parts,'' ``components,'' ``accessories'' and
``attachments'' described in ECCN 0A606.y are subject to the
controls of that paragraph.
y. Specific ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' for a commodity enumerated or
otherwise described in this ECCN (other than ECCN 0A606.b) or for a
defense article in USML Category VII and not elsewhere specified on
the USML or the CCL, as follows, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed''
therefor:
y.1. Brake discs, rotors, drums, calipers, cylinders, pads,
shoes, lines, hoses, vacuum boosters, and parts therefor;
y.2. Alternators and generators;
y.3. Axles;
y.4. Batteries;
y.5. Bearings (e.g., ball, roller, wheel);
y.6. Cables, cable assembles, and connectors;
y.7. Cooling system hoses;
y.8. Hydraulic, fuel, oil, and air filters, not controlled by
ECCN 1A004;
y.9. Gaskets and o-rings;
y.10. Hydraulic system hoses, fittings, couplings, adapters, and
valves;
y.11. Latches and hinges;
y.12. Lighting systems, fuses, and ``components;''
y.13. Pneumatic hoses, fittings, adapters, couplings, and
valves;
y.14. Seats, seat assemblies, seat supports, and harnesses;
y.15 Tires, except run flat; and
y.16 Windows, except those for armored vehicles.
0
16. In supplement no. 1 to part 774 (the CCL), Category 1, ECCN 1A002
is revised to read as follow:
1A002 ``Composite'' structures or laminates, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to 1A002.b.1 in the form of NP Column 1
tubes with an inside diameter between 75
mm and 400 mm.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500; N/A for NP; N/A for ``composite'' structures or
laminates controlled by 1A002.a, having an organic ``matrix'' and
made from materials controlled by 1C010.c or 1C010.d.
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this
entry to any of the destinations listed in Country Group A:6 (See
Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCNs 1A202, 1C010, 1C210,
9A010, and 9A110. (3) ``Composite'' structures ``specially
designed'' for missile applications (including ``specially
designed'' subsystems, ``parts,'' and ``components'') are controlled
by ECCN 9A110. (4) ``Composite'' structures or laminates ``specially
designed'' or prepared for use in separating uranium isotopes are
subject to the export licensing authority of the Nuclear Regulatory
Commission (see 10 CFR part 110).
Related Definitions: N/A
Items:
a. Made from any of the following:
a.1. An organic ``matrix'' and ``fibrous or filamentary
materials'' specified by 1C010.c or 1C010.d; or
a.2. Prepregs or preforms specified by 1C010.e;
b. Made from a metal or carbon ``matrix'', and any of the
following:
b.1. Carbon ``fibrous or filamentary materials'' having all of
the following:
b.1.a. A ``specific modulus'' exceeding 10.15 x 10\6\ m; and
b.1.b. A ``specific tensile strength'' exceeding 17.7 x 10\4\ m;
or
b.2. Materials controlled by 1C010.c.
Note 1:
1A002 does not control ``composite'' structures or laminates
made from epoxy resin impregnated carbon ``fibrous or filamentary
materials'', for the repair of ``civil aircraft'' structures or
laminates, having all of the following:
a. An area not exceeding 1 m\2\;
b. A length not exceeding 2.5 m; and
c. A width exceeding 15 mm.
Note 2:
1A002 does not control semi-finished items, ``specially
designed'' for civilian applications as follows:
a. Sporting goods;
[[Page 16491]]
b. Automotive industry;
c. Machine tool industry;
d. Medical applications.
Note 3:
1A002.b.1 does not apply to semi-finished items containing a
maximum of two dimensions of interwoven filaments and ``specially
designed'' for applications as follows:
a. Metal heat-treatment furnaces for tempering metals;
b. Silicon boule production equipment.
Note 4:
1A002 does not apply to finished items ``specially designed''
for a specific application.
Note 5:
1A002.b.1 does not apply to mechanically chopped, milled, or cut
carbon ``fibrous or filamentary materials'' 25.0 mm or less in
length.
0
17. In supplement no. 1 to part 774 (the CCL), Category 1, ECCN 1A005
is revised to read as follow:
1A005 Body armor and ``specially designed'' ``components'' therefor,
as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, UN, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls
AT applies to entire entry................ AT Column 1
License Requirements Notes:
1. Soft body armor not manufactured to military standards or
specifications must provide ballistic protection equal to or less
than NIJ level III (NIJ 0101.06, July 2008) to be controlled under
1A005.a. 2. For purposes of 1A005.a, military standards and
specifications include, at a minimum, specifications for
fragmentation protection.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: Yes, except UN
List of Items Controlled
Related Controls: (1) Bulletproof and bullet resistant vests (body
armor) providing NIJ Type IV protection or greater are ``subject to
the ITAR'' (see 22 CFR 121.1 Category X(a)). (2) Soft body armor and
protective garments manufactured to military standards or
specifications that provide protection equal to or less than NIJ
level III or ``equivalent standards'' are classified under ECCN
1A613.d.1. (3) Hard armor plates providing NIJ level III or
``equivalent standard'' ballistic protection are classified under
ECCN 1A613.d.2. (4) Police helmets and shields are classified under
ECCN 0A979. (5) Other personal protective ``equipment'' ``specially
designed'' for military applications not controlled by the USML or
elsewhere in the CCL is classified under ECCN 1A613.e. (6) For
``fibrous or filamentary materials'' used in the manufacture of body
armor, see ECCN 1C010.
Related Definitions: N/A
Items:
a. Soft body armor not manufactured to military standards or
specifications, or to their equivalents, and ``specially designed''
``components'' therefor;
b. Hard body armor plates that provide ballistic protection less
than NIJ level III (NIJ 0101.06, July 2008) or ``equivalent
standards''.
Notes to ECCN 1A005:
1. This entry does not control body armor when accompanying its
user for the user's own personal protection.
2. This entry does not control body armor designed to provide
frontal protection only from both fragment and blast from non-
military explosive devices.
3. This entry does not apply to body armor designed to provide
protection only from knife, spike, needle or blunt trauma.
0
18. In supplement no. 1 to part 774 (the CCL), Category 1, ECCN 1A006
is revised to read as follow:
1A006 Equipment, ``specially designed'' or modified for the disposal
of Improvised Explosive Devices (IEDs), as follows (see List of
Items Controlled), and ``specially designed'' ``components'' and
``accessories'' therefor.
License Requirements
Reason for Control: NS, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
License Requirement Note:
1A006 does not apply to equipment when accompanying its
operator.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: Equipment ``specially designed'' for military use
for the disposal of IEDs is ``subject to the ITAR'' (see 22 CFR
parts 120 through 130, including USML Category IV).
Related Definitions: N/A
Items:
a. Remotely operated vehicles;
b. `Disruptors'.
Technical Note:
For the purpose of 1A006.b `disruptors' are devices ``specially
designed'' for the purpose of preventing the operation of an
explosive device by projecting a liquid, solid or frangible
projectile.
Note:
1A006 does not apply to equipment when accompanying its
operator.
0
19. In supplement no. 1 to part 774 (the CCL), Category 1, ECCN 1A613
is revised to read as follow:
1A613 Armored and protective ``equipment'' and related commodities,
as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT, UN
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry except 1A613.y. NS Column 1
RS applies to entire entry except 1A613.y. RS Column 1
RS applies 1A613.y........................ China, Russia, or Venezuela
(see Sec. 742.6(a)(7))
AT applies to entire entry................ AT Column 1
UN applies to entire entry, except 1A613.y See Sec. 746.1(b) for UN
controls
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500
GBS: N/A
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2)
of the EAR) may not be used for any item in 1A613.
List of Items Controlled
Related Controls: (1) Defense articles, such as materials made from
classified information, that are controlled by USML Category X or
XIII of the ITAR, and technical data (including software) directly
related thereto, are ``subject to the ITAR.'' (2) See ECCN 0A919 for
foreign-made ``military commodities'' that incorporate more than a
de minimis amount of US-origin ``600 series'' controlled content.
(3) See ECCN 9A610.g for anti-gravity suits (``G-suits'') and
pressure suits capable of operating at altitudes higher than 55,000
feet above sea level.
Related Definitions: References to ``NIJ Type'' protection are to
the National Institute of Justice Classification guide at NIJ
Standard 0101.06, Ballistic Resistance of Body Armor, and NIJ
Standard 0108.01, Ballistic Resistant Protective Materials.
Items:
a. Metallic or non-metallic armored plate ``specially designed''
for military use and not controlled by the USML.
Note to paragraph a:
For controls on body armor plates, see ECCN 1A613.d.2 and USML
Category X(a)(1).
b. Shelters ``specially designed'' to:
b.1. Provide ballistic protection for military systems; or
b.2. Protect against nuclear, biological, or chemical
contamination.
c. Military helmets (other than helmets controlled under
1A613.y.1) providing less than NIJ Type IV or ``equivalent
standards''
[[Page 16492]]
protection and ``specially designed'' helmet shells, liners, or
comfort pads therefor.
Note 1:
See ECCN 0A979 for controls on police helmets.
Note 2:
See USML Category X(a)(5) and (a)(6) for controls on other
military helmets.
d. Body armor and protective garments, as follows:
d.1. Soft body armor and protective garments manufactured to
military standards or specifications, or to their equivalents, that
provide ballistic protection equal to or less than NIJ level III
(NIJ 0101.06, July 2008) or ``equivalent standards''; or
Note:
For 1A613.d.1, military standards or specifications include, at
a minimum, specifications for fragmentation protection.
d.2. Hard body armor plates that provide ballistic protection
equal to NIJ level III (NIJ 0101.06, July 2008) or ``equivalent
standards''.
Note:
See ECCN 1A005 for controls on soft body armor not manufactured
to military standards or specifications and hard body armor plates
providing less than NIJ level III or ``equivalent standards''
protection. For body armor providing NIJ Type IV protection or
greater, see USML Category X(a)(1).
e. Atmospheric diving suits ``specially designed'' for rescue
operations for submarines controlled by the USML or the CCL.
f. Other personal protective ``equipment'' ``specially
designed'' for military applications not controlled by the USML, not
elsewhere controlled on the CCL.
g. to w. [Reserved]
x. ``Parts,'' ``components,'' ``accessories,'' and
``attachments'' that are ``specially designed'' for a commodity
controlled by ECCN 1A613 (except for 1A613.y) or an article
enumerated in USML Category X, and not controlled elsewhere in the
USML.
Note:
Forgings, castings, and other unfinished products, such as
extrusions and machined bodies, that have reached a stage in
manufacturing where they are clearly identifiable by mechanical
properties, material composition, geometry, or function as
commodities controlled by ECCN 1A613.x are controlled by ECCN
1A613.x.
y. Other commodities as follows:
y.1 Conventional military steel helmets.
N.B. to paragraph y.1:
For other military helmet ``components'' or ``accessories,'' see
the relevant ECCN in the CCL or USML Entry.
y.2 [Reserved]
0
20. In supplement no. 1 to part 774 (the CCL), Category 1, ECCN 1B002
is revised to read as follow:
1B002 Equipment designed to produce metal alloy powder or
particulate materials and having any of the following (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Specially designed'' to avoid contamination; and
b. ``Specially designed'' for use in one of the processes
specified by 1C002.c.2.
0
21. In supplement no. 1 to part 774 (the CCL), Category 1, ECCN 1C001
is revised to read as follow:
1C001 Materials ``specially designed'' for absorbing electromagnetic
radiation, or intrinsically conductive polymers, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to items that meet or exceed MT Column 1
the parameters of ECCN 1C101.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in this
entry to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See also 1C101
Related Definitions: N/A
Items:
a. Materials for absorbing frequencies exceeding 2 x 10\8\ Hz
but less than 3 x 10\12\ Hz.
Note 1:
1C001.a does not control:
a. Hair type absorbers, constructed of natural or synthetic
fibers, with non-magnetic loading to provide absorption;
b. Absorbers having no magnetic loss and whose incident surface
is non-planar in shape, including pyramids, cones, wedges and
convoluted surfaces;
c. Planar absorbers, having all of the following:
1. Made from any of the following:
a. Plastic foam materials (flexible or non-flexible) with
carbon-loading, or organic materials, including binders, providing
more than 5% echo compared with metal over a bandwidth exceeding
15% of the center frequency of the incident
energy, and not capable of withstanding temperatures exceeding 450 K
(177 [deg]C); or
b. Ceramic materials providing more than 20% echo compared with
metal over a bandwidth exceeding 15% of the
center frequency of the incident energy, and not capable of
withstanding temperatures exceeding 800 K (527 [deg]C);
Technical Note:
Absorption test samples for 1C001.a. Note 1.c.1 should be a
square at least 5 wavelengths of the center frequency on a side and
positioned in the far field of the radiating element.
2. Tensile strength less than 7 x 10\6\ N/m\2\; and
3. Compressive strength less than 14 x 10\6\ N/m\2\;
d. Planar absorbers made of sintered ferrite, having all of the
following:
1. A specific gravity exceeding 4.4; and
2. A maximum operating temperature of 548 K (275 [deg]C) or
less;
e. Planar absorbers having no magnetic loss and fabricated from
`open-cell foams' plastic material with a density of 0.15 grams/
cm\3\ or less.
Technical Note:
`Open-cell foams' are flexible and porous materials, having an
inner structure open to the atmosphere. `Open-cell foams' are also
known as reticulated foams.
Note 2:
Nothing in Note 1 releases magnetic materials to provide
absorption when contained in paint.
b. Materials not transparent to visible light and specially
designed for absorbing near-infrared radiation having a wavelength
exceeding 810 nm but less than 2,000 nm (frequencies exceeding 150
THz but less than 370 THz);
Note:
1C001.b does not apply to materials, ``specially designed'' or
formulated for any of the following applications:
a. ``Laser'' marking of polymers; or
b. ``Laser'' welding of polymers.
c. Intrinsically conductive polymeric materials with a `bulk
electrical conductivity' exceeding 10,000 S/m (Siemens per meter) or
a `sheet (surface) resistivity' of less than 100 ohms/square, based
on any of the following polymers:
c.1. Polyaniline;
c.2. Polypyrrole;
c.3. Polythiophene;
c.4. Poly phenylene-vinylene; or
c.5. Poly thienylene-vinylene.
Note:
1C001.c does not apply to materials in a liquid form.
Technical Note:
`Bulk electrical conductivity' and `sheet (surface) resistivity'
[[Page 16493]]
should be determined using ASTM D-257 or national equivalents.
0
22. In supplement no. 1 to part 774 (the CCL), Category 1, ECCN 1C002
is revised to read as follow:
1C002 Metal alloys, metal alloy powder and alloyed materials, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to 1C002.b.3 or b.4 if they NP Column 1
exceed the parameters stated in 1C202.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000; N/A for NP
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCN 1C202. (3) Aluminum
alloys and titanium alloys in physical forms and finished products
``specially designed'' or prepared for use in separating uranium
isotopes are subject to the export licensing authority of the
Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definition: N/A
Items:
Note:
1C002 does not control metal alloys, metal alloy powder and
alloyed materials, specially formulated for coating purposes.
Technical Note 1:
The metal alloys in 1C002 are those containing a higher
percentage by weight of the stated metal than of any other element.
Technical Note 2:
`Stress-rupture life' should be measured in accordance with ASTM
standard E-139 or national equivalents.
Technical Note 3:
`Low cycle fatigue life' should be measured in accordance with
ASTM Standard E-606 `Recommended Practice for Constant-Amplitude
Low-Cycle Fatigue Testing' or national equivalents. Testing should
be axial with an average stress ratio equal to 1 and a stress-
concentration factor (Kt) equal to 1. The average stress ratio is
defined as maximum stress minus minimum stress divided by maximum
stress.
a. Aluminides, as follows:
a.1. Nickel aluminides containing a minimum of 15% by weight
aluminum, a maximum of 38% by weight aluminum and at least one
additional alloying element;
a.2. Titanium aluminides containing 10% by weight or more
aluminum and at least one additional alloying element;
b. Metal alloys, as follows, made from the powder or particulate
material controlled by 1C002.c:
b.1. Nickel alloys having any of the following:
b.1.a. A `stress-rupture life' of 10,000 hours or longer at 923
K (650 [deg]C) at a stress of 676 MPa; or
b.1.b. A `low cycle fatigue life' of 10,000 cycles or more at
823 K (550 [deg]C) at a maximum stress of 1,095 MPa;
b.2. Niobium alloys having any of the following:
b.2.a. A `stress-rupture life' of 10,000 hours or longer at
1,073 K (800 [deg]C) at a stress of 400 MPa; or
b.2.b. A `low cycle fatigue life' of 10,000 cycles or more at
973 K (700 [deg]C) at a maximum stress of 700 MPa;
b.3. Titanium alloys having any of the following:
b.3.a. A `stress-rupture life' of 10,000 hours or longer at 723
K (450 [deg]C) at a stress of 200 MPa; or
b.3.b. A `low cycle fatigue life' of 10,000 cycles or more at
723 K (450 [deg]C) at a maximum stress of 400 MPa;
b.4 Aluminum alloys having any of the following:
b.4.a. A tensile strength of 240 MPa or more at 473 K (200
[deg]C); or
b.4.b. A tensile strength of 415 MPa or more at 298 K (25
[deg]C);
b.5. Magnesium alloys having all the following:
b.5.a. A tensile strength of 345 MPa or more; and
b.5.b. A corrosion rate of less than 1 mm/year in 3% sodium
chloride aqueous solution measured in accordance with ASTM standard
G-31 or national equivalents;
c. Metal alloy powder or particulate material, having all of the
following:
c.1. Made from any of the following composition systems:
Technical Note:
X in the following equals one or more alloying elements.
c.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine
engine ``parts'' or ``components,'' i.e., with less than 3 non-
metallic particles (introduced during the manufacturing process)
larger than 100 [mu]m in 10\9\ alloy particles;
c.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si,
Nb-Ti-X or Nb-X-Ti);
c.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
c.1.d. Aluminum alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn,
Al-Fe-X or Al-X-Fe); or
c.1.e. Magnesium alloys (Mg-Al-X or Mg-X-Al);
c.2. Made in a controlled environment by any of the following
processes:
c.2.a. `Vacuum atomization';
c.2.b. `Gas atomization';
c.2.c. `Rotary atomization';
c.2.d. `Splat quenching';
c.2.e. `Melt spinning' and `comminution';
c.2.f. `Melt extraction' and `comminution';
c.2.g. `Mechanical alloying'; or
c.2.h. `Plasma atomization'; and
c.3. Capable of forming materials controlled by 1C002.a or
1C002.b;
d. Alloyed materials, having all the following:
d.1. Made from any of the composition systems specified by
1C002.c.1;
d.2. In the form of uncomminuted flakes, ribbons or thin rods;
and
d.3. Produced in a controlled environment by any of the
following:
d.3.a. `Splat quenching';
d.3.b. `Melt spinning'; or
d.3.c. `Melt extraction'.
Technical Notes:
1. `Vacuum atomization' is a process to reduce a molten stream
of metal to droplets of a diameter of 500 [mu]m or less by the rapid
evolution of a dissolved gas upon exposure to a vacuum.
2. `Gas atomization' is a process to reduce a molten stream of
metal alloy to droplets of 500 [mu]m diameter or less by a high
pressure gas stream.
3. `Rotary atomization' is a process to reduce a stream or pool
of molten metal to droplets of a diameter of 500 [mu]m or less by
centrifugal force.
4. `Splat quenching' is a process to `solidify rapidly' a molten
metal stream impinging upon a chilled block, forming a flake-like
product.
5. `Melt spinning' is a process to `solidify rapidly' a molten
metal stream impinging upon a rotating chilled block, forming a
flake, ribbon or rod-like product.
6. `Comminution' is a process to reduce a material to particles
by crushing or grinding.
7. `Melt extraction' is a process to `solidify rapidly' and
extract a ribbon-like alloy product by the insertion of a short
segment of a rotating chilled block into a bath of a molten metal
alloy.
8. `Mechanical alloying' is an alloying process resulting from
the bonding, fracturing and rebonding of elemental and master alloy
powders by mechanical impact. Non-metallic particles may be
incorporated in the alloy by addition of the appropriate powders.
9. `Plasma atomization' is a process to reduce a molten stream
or solid metal to droplets of 500 [mu]m diameter or less, using
plasma torches in an inert gas environment.
10. `Solidify rapidly' is a process involving the solidification
of molten material at cooling rates exceeding 1000 K/sec.
0
23. In supplement no. 1 to part 774 (the CCL), Category 1, ECCN 1C006
is revised to read as follow:
1C006 Fluids and lubricating materials, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000
[[Page 16494]]
GBS: Yes for 1C006.d
List of Items Controlled
Related Controls: See also 1C996.
Related Definitions: N/A
Items:
a. [Reserved]
b. Lubricating materials containing, as their principal
ingredients, any of the following:
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 mm\2\/s (5,000 centistokes) measured at 298 K (25
[deg]C);
c. Damping or flotation fluids having all of the following:
c.1. Purity exceeding 99.8%;
c.2. Containing less than 25 particles of 200 [mu]m or larger in
size per 100 ml; and
c.3. Made from at least 85% of any of the following:
c.3.a.Dibromotetrafluoroethane (CAS 25497-30-7, 124-73-2, 27336-
23-8);
c.3.b.Polychlorotrifluoroethylene (oily and waxy modifications
only); or
c.3.c.Polybromotrifluoroethylene;
d. Fluorocarbon fluids designed for electronic cooling and
having all of the following:
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.
Note:
1C006.d does not apply to materials specified and packaged as
medical products.
0
24. In supplement no. 1 to part 774 (the CCL), Category 1, ECCN 1C010
is revised to read as follow:
1C010 ``Fibrous or filamentary materials'' as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to 1C010.a (aramid ``fibrous or NP Column 1
filamentary materials'', b (carbon
``fibrous and filamentary materials''),
and e.1 for ``fibrous and filamentary
materials'' that meet or exceed the
control criteria of ECCN 1C210.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500, N/A for NP
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
1C010.c to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 1E001 (``development'' and
``production'') and 1E201 (``use'') for technology for items
controlled by this entry. (2) Also see ECCNs 1C210 and 1C990. (3)
See also 9C110 for material not controlled by 1C010.e, as defined by
notes 1 or 2.
Related Definitions: (1.) ``Specific modulus'': Young's modulus in
pascals, equivalent to N/m\2\ divided by specific weight in N/m\3\,
measured at a temperature of (2962) K ((232)[deg]C) and a relative humidity of (505)%. (2.)
``Specific tensile strength'': Ultimate tensile strength in pascals,
equivalent to N/m\2\ divided by specific weight in N/m\3\, measured
at a temperature of (2962) K ((232)[deg]C)
and a relative humidity of (505)%.
Items:
Technical Notes:
1. For the purpose of calculating ``specific tensile strength'',
``specific modulus'' or specific weight of ``fibrous or filamentary
materials'' in 1C010.a, 1C010.b or 1C010.c, the tensile strength and
modulus should be determined by using Method A described in ISO
10618 (2004) or national equivalents.
2. Assessing the ``specific tensile strength'', ``specific
modulus'' or specific weight of non-unidirectional ``fibrous or
filamentary materials'' (e.g., fabrics, random mats or braids) in
1C010 is to be based on the mechanical properties of the constituent
unidirectional monofilaments (e.g., monofilaments, yarns, rovings or
tows) prior to processing into the non-unidirectional ``fibrous or
filamentary materials''.
a. Organic ``fibrous or filamentary materials'', having all of
the following:
a.1. ``Specific modulus'' exceeding 12.7 x 10\6\ m; and
a.2. ``Specific tensile strength'' exceeding 23.5 x 10\4\ m;
Note:
1C010.a does not control polyethylene.
b. Carbon ``fibrous or filamentary materials'', having all of
the following:
b.1. ``Specific modulus'' exceeding 14.65 x 10\6\ m; and
b.2. ``Specific tensile strength'' exceeding 26.82 x 10\4\ m;
Note:
1C010.b does not control:
a. ``Fibrous or filamentary materials'', for the repair of
``civil aircraft'' structures or laminates, having all of the
following:
1. An area not exceeding 1 m2;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm.
b. Mechanically chopped, milled or cut carbon ``fibrous or
filamentary materials'' 25.0 mm or less in length.
c. Inorganic ``fibrous or filamentary materials'', having all of
the following:
c.1. Having any of the following:
c.1.a. Composed of 50% or more by weight silicon dioxide
(SiO2) and having a ``specific modulus'' exceeding 2.54 x
10\6\ m; or
c.1.b. Not specified in 1C010.c.1.a and having a ``specific
modulus'' exceeding 5.6 x 10\6\ m; and
c.2. Melting, softening, decomposition or sublimation point
exceeding 1,922 K (1,649 [deg]C) in an inert environment;
Note:
1C010.c does not control:
a. Discontinuous, multiphase, polycrystalline alumina fibers in
chopped fiber or random mat form, containing 3% by weight or more
silica, with a ``specific modulus'' of less than 10 x 106 m;
b. Molybdenum and molybdenum alloy fibers;
c. Boron fibers;
d. Discontinuous ceramic fibers with a melting, softening,
decomposition or sublimation point lower than 2,043 K (1,770 [deg]C)
in an inert environment.
d. ``Fibrous or filamentary materials'', having any of the
following:
d.1. Composed of any of the following:
d.1.a. Polyetherimides controlled by 1C008.a; or
d.1.b. Materials controlled by 1C008.b to 1C008.f; or
d.2. Composed of materials controlled by 1C010.d.1.a or
1C010.d.1.b and `commingled' with other fibers controlled by
1C010.a, 1C010.b or 1C010.c;
Technical Note:
`Commingled' is filament to filament blending of thermoplastic
fibers and reinforcement fibers in order to produce a fiber
reinforcement ``matrix'' mix in total fiber form.
e. Fully or partially resin impregnated or pitch impregnated
``fibrous or filamentary materials'' (prepregs), metal or carbon
coated ``fibrous or filamentary materials'' (preforms) or `carbon
fiber preforms', having all of the following:
e.1. Having any of the following:
e.1.a. Inorganic ``fibrous or filamentary materials'' controlled
by 1C010.c; or
e.1.b. Organic or carbon ``fibrous or filamentary materials'',
having all of the following:
e.1.b.1. ``Specific modulus'' exceeding 10.15 x 10\6\ m; and
e.1.b.2 ``Specific tensile strength'' exceeding 17.7 x 10\4\ m;
and
e.2. Having any of the following:
e.2.a. Resin or pitch, controlled by 1C008 or 1C009.b;
e.2.b. `Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' equal to or exceeding 453 K (180 [deg]C) and
having a phenolic resin; or
[[Page 16495]]
e.2.c. `Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' equal to or exceeding 505 K (232 [deg]C) and
having a resin or pitch, not specified by 1C008 or 1C009.b, and not
being a phenolic resin;
Note 1:
Metal or carbon coated ``fibrous or filamentary materials''
(preforms) or `carbon fiber preforms', not impregnated with resin or
pitch, are specified by ``fibrous or filamentary materials'' in
1C010.a, 1C010.b or 1C010.c.
Note 2:
1C010.e does not apply to:
a. Epoxy resin ``matrix'' impregnated carbon ``fibrous or
filamentary materials'' (prepregs) for the repair of ``civil
aircraft'' structures or laminates, having all of the following:
1. An area not exceeding 1 m2;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm;
b. Fully or partially resin-impregnated or pitch-impregnated
mechanically chopped, milled or cut carbon ``fibrous or filamentary
materials'' 25.0 mm or less in length when using a resin or pitch
other than those specified by 1C008 or 1C009.b.
Technical Notes:
1. `Carbon fiber preforms' are an ordered arrangement of
uncoated or coated fibers intended to constitute a framework of a
part before the ``matrix'' is introduced to form a ``composite''.
2. The `Dynamic Mechanical Analysis glass transition temperature
(DMA Tg)' for materials controlled by 1C010.e is determined using
the method described in ASTM D 7028 -07, or equivalent national
standard, on a dry test specimen. In the case of thermoset
materials, degree of cure of a dry test specimen shall be a minimum
of 90% as defined by ASTM E 2160 04 or equivalent national standard.
0
25. In supplement no. 1 to part 774, Category 2, ECCN 2A001 is revised
to read as follows:
2A001 Anti-friction bearings, bearing systems and ``components,'' as
follows, (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to radial ball bearings having MT Column 1
all tolerances specified in accordance
with ISO 492 Tolerance Class 2 (or ANSI/
ABMA Std 20 Tolerance Class ABEC-9, or
other national equivalents) or better and
having all the following characteristics:
an inner ring bore diameter between 12
and 50 mm; an outer ring outside diameter
between 25 and 100 mm; and a width
between 10 and 20 mm.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000, N/A for MT
GBS: Yes, for 2A001.a, N/A for MT
List of Items Controlled
Related Controls: (1) See also 2A991. (2) Quiet running bearings are
``subject to the ITAR'' (see 22 CFR parts 120 through 130.)
Related Definitions: Annular Bearing Engineers Committee (ABEC).
Items:
Note:
2A001.a includes ball bearing and roller elements ``specially
designed'' for the items specified therein.
a. Ball bearings and solid roller bearings, having all
tolerances specified by the manufacturer in accordance with ISO 492
Tolerance Class 4 or Class 2 (or national equivalents), or better,
and having both `rings' and `rolling elements', made from monel or
beryllium;
Note:
2A001.a does not control tapered roller bearings.
Technical Notes:
1. `Ring'--annular part of a radial rolling bearing
incorporating one or more raceways (ISO 5593:1997).
2. `Rolling element'--ball or roller which rolls between
raceways (ISO 5593:1997).
b. [Reserved]
c. Active magnetic bearing systems using any of the following,
and ``specially designed'' components therefor:
c.1. Materials with flux densities of 2.0 T or greater and yield
strengths greater than 414 MPa;
c.2. All-electromagnetic 3D homopolar bias designs for
actuators; or
c.3. High temperature (450 K (177[deg]C) and above) position
sensors.
0
26. In supplement no. 1 to part 774, Category 3, ECCN 3B001 is revised
to read as follows:
3B001 Equipment for the manufacturing of semiconductor devices or
materials, as follows (see List of Items Controlled) and ``specially
designed'' ``components'' and ``accessories'' therefor.
License Requirements
Reason for Control: NS, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment
using gas sources), .e (automatic loading multi-chamber central
wafer handling systems only if connected to equipment controlled by
3B001. a.3, or .f), and .f (lithography equipment).
List of Items Controlled
Related Controls: See also 3B991.
Related Definitions: N/A
Items:
a. Equipment designed for epitaxial growth as follows:
a.1. Equipment designed or modified to produce a layer of any
material other than silicon with a thickness uniform to less than
2.5% across a distance of 75 mm or more;
Note:
3B001.a.1 includes atomic layer epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors
designed for compound semiconductor epitaxial growth of material
having two or more of the following elements: aluminum, gallium,
indium, arsenic, phosphorus, antimony, or nitrogen;
a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
b. Equipment designed for ion implantation and having any of the
following:
b.1. [Reserved]
b.2. Being designed and optimized to operate at a beam energy of
20 keV or more and a beam current of 10 mA or more for hydrogen,
deuterium, or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and a beam current of 45 mA
or more for high energy oxygen implant into a heated semiconductor
material ``substrate''; or
b.5. Being designed and optimized to operate at beam energy of
20keV or more and a beam current of 10mA or more for silicon implant
into a semiconductor material ``substrate'' heated to 600 [deg]C or
greater;
c. [Reserved]
d. [Reserved]
e. Automatic loading multi-chamber central wafer handling
systems having all of the following:
e.1. Interfaces for wafer input and output, to which more than
two functionally different `semiconductor process tools' controlled
by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed to be
connected; and
[[Page 16496]]
e.2. Designed to form an integrated system in a vacuum
environment for `sequential multiple wafer processing';
Note:
3B001.e does not control automatic robotic wafer handling
systems ``specially designed'' for parallel wafer processing.
Technical Notes:
1. For the purpose of 3B001.e, `semiconductor process tools'
refers to modular tools that provide physical processes for
semiconductor production that are functionally different, such as
deposition, implant or thermal processing.
2. For the purpose of 3B001.e, `sequential multiple wafer
processing' means the capability to process each wafer in different
`semiconductor process tools', such as by transferring each wafer
from one tool to a second tool and on to a third tool with the
automatic loading multi-chamber central wafer handling systems.
f. Lithography equipment as follows:
f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods and having any of the following:
f.1.a. A light source wavelength shorter than 193 nm; or
f.1.b. Capable of producing a pattern with a ``Minimum
Resolvable Feature size'' (MRF) of 45 nm or less;
Technical Note:
The `Minimum Resolvable Feature size' (MRF) is calculated by the
following formula:
[GRAPHIC] [TIFF OMITTED] TR29MR21.006
where the K factor = 0.35
f.2 Imprint lithography equipment capable of production features
of 45 nm or less;
Note:
3B001.f.2 includes:
--Micro contact printing tools
--Hot embossing tools
--Nano-imprint lithography tools
--Step and flash imprint lithography (S-FIL) tools
f.3. Equipment ``specially designed'' for mask making having all
of the following:
f.3.a. A deflected focused electron beam, ion beam or ``laser''
beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than
65 nm and an image placement less than 17 nm (mean + 3 sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less than 23 nm (mean +
3 sigma) on the mask;
f.4. Equipment designed for device processing using direct
writing methods, having all of the following:
f.4.a. A deflected focused electron beam; and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
g. Masks and reticles, designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer not specified by
3B001.g and designed to be used by lithography equipment having a
light source wavelength less than 245 nm;
Note:
3B001.h. does not control multi-layer masks with a phase shift
layer designed for the fabrication of memory devices not controlled
by 3A001.
N.B.:
For masks and reticles, ``specially designed'' for optical
sensors, see 6B002.
i. Imprint lithography templates designed for integrated
circuits by 3A001;
j. Mask ``substrate blanks'' with multilayer reflector structure
consisting of molybdenum and silicon, and having all of the
following:
j.1. ``Specially designed'' for `Extreme Ultraviolet (EUV)'
lithography; and
j.2. Compliant with SEMI Standard P37.
Technical Note:
`Extreme Ultraviolet (EUV)' refers to electromagnetic spectrum
wavelengths greater than 5 nm and less than 124 nm.
0
27. In supplement no. 1 to part 774, Category 3, ECCN 3E002 is revised
to read as follows:
3E002 ``Technology'' according to the General Technology Note other
than that controlled in 3E001 for the ``development'' or
``production'' of a ``microprocessor microcircuit'', ``micro-
computer microcircuit'' and microcontroller microcircuit core,
having an arithmetic logic unit with an access width of 32 bits or
more and any of the following features or characteristics (see List
of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
License Requirements Note:
See Sec. 744.17 of the EAR for additional license requirements
for microprocessors having a processing speed of 5 GFLOPS or more
and an arithmetic logic unit with an access width of 32 bit or more,
including those incorporating ``information security''
functionality, and associated ``software'' and ``technology'' for
the ``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. A `vector processor unit' designed to perform more than two
calculations on `floating-point' vectors (one-dimensional arrays of
32-bit or larger numbers) simultaneously;
Technical Note:
A `vector processor unit' is a processor element with built-in
instructions that perform multiple calculations on `floating-point'
vectors (one-dimensional arrays of 32-bit or larger numbers)
simultaneously, having at least one vector arithmetic logic unit and
vector registers of at least 32 elements each.
b. Designed to perform more than four 64-bit or larger
`floating-point' operation results per cycle; or
c. Designed to perform more than eight 16-bit `fixed-point'
multiply-accumulate results per cycle (e.g., digital manipulation of
analog information that has been previously converted into digital
form, also known as digital ``signal processing'').
Note 1:
3E002 does not control ``technology'' for multimedia extensions.
Note 2:
3E002 does not control ``technology'' for microprocessor cores,
having all of the following:
a. Using ``technology'' at or above 0.130 [micro]m; and
b. Incorporating multi-layer structures with five or fewer metal
layers.
Note 3:
3E002 includes ``technology'' for the ``development'' or
``production'' of digital signal processors and digital array
processors.
Technical Notes:
1. For the purpose of 3E002.a and 3E002.b, `floating-point' is
defined by IEEE-754.
[[Page 16497]]
2. For the purpose of 3E002.c, `fixed-point' refers to a fixed-
width real number with both an integer component and a fractional
component, and which does not include integer-only formats.
0
28. In supplement no. 1 to part 774, Category 5 Part 2 is amended by
revising the Nota Bene to Note 3 (Cryptography Note) to read as
follows:
* * * * *
Category 5--Telecommunications and ``Information Security''
Part 2--``Information Security''
* * * * *
Note 3: * * *
N.B. to Note 3 (Cryptography Note):
You must submit a classification request or self-classification
report to BIS for certain mass market encryption commodities and
software eligible for the Cryptography Note employing a key length
greater than 64 bits for the symmetric algorithm (or, for
commodities and software not implementing any symmetric algorithms,
employing a key length greater than 768 bits for asymmetric
algorithms described by Technical note 2.b to 5A002.a or greater
than 128 bits for elliptic curve algorithms, or any asymmetric
algorithm described by Technical Note 2.c to 5A002.a) in accordance
with the requirements of Sec. 740.17(b) of the EAR in order to be
released from the ``EI'' and ``NS'' controls of ECCN 5A002 or 5D002.
For mass market commodities and software that do not require a self-
classification report pursuant to Sec. 740.17(b) and (e)(3) of the
EAR, such items are also released from ``EI'' and ``NS'' controls
and controlled under ECCN 5A992.c or 5D992.c.
* * * * *
0
28. In supplement no. 1 to part 774, Category 5 Part 2, ECCN 5A002 is
revised to read as follows:
5A002 ``Information security'' systems, equipment and
``components,'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
EI applies to entire entry................ Refer to Sec. 742.15 of
the EAR
License Requirements Note:
See Sec. 744.17 of the EAR for additional license requirements
for microprocessors having a processing speed of 5 GFLOPS or more
and an arithmetic logic unit with an access width of 32 bit or more,
including those incorporating ``information security''
functionality, and associated ``software'' and ``technology'' for
the ``production'' or ``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: Yes: $500 for ``components''. N/A for systems and equipment.
GBS: N/A
ENC: Yes for certain EI controlled commodities, see Sec. 740.17 of
the EAR for eligibility.
List of Items Controlled
Related Controls: (1) ECCN 5A002.a controls ``components'' providing
the means or functions necessary for ``information security.'' All
such ``components'' are presumptively ``specially designed'' and
controlled by 5A002.a. (2) See USML Categories XI (including XI(b))
and XIII(b) (including XIII(b)(2)) for controls on systems,
equipment, and components described in 5A002.d or .e that are
subject to the ITAR. (3) For ``satellite navigation system''
receiving equipment containing or employing decryption see 7A005,
and for related decryption ``software'' and ``technology'' see 7D005
and 7E001. (4) Noting that items may be controlled elsewhere on the
CCL, examples of items not controlled by ECCN 5A002.a.4 include the
following: (a) An automobile where the only `cryptography for data
confidentiality' having a `described security algorithm' is
performed by a Category 5--Part 2 Note 3 eligible mobile telephone
that is built into the car. In this case, secure phone
communications support a non-primary function of the automobile but
the mobile telephone (equipment), as a standalone item, is not
controlled by ECCN 5A002 because it is excluded by the Cryptography
Note (Note 3) (See ECCN 5A992.c). (b) An exercise bike with an
embedded Category 5--Part 2 Note 3 eligible web browser, where the
only controlled cryptography is performed by the web browser. In
this case, secure web browsing supports a non-primary function of
the exercise bike but the web browser (``software''), as a
standalone item, is not controlled by ECCN 5D002 because it is
excluded by the Cryptography Note (Note 3) (See ECCN 5D992.c). (5)
After classification or self-classification in accordance with Sec.
740.17(b) of the EAR, mass market encryption commodities that meet
eligibility requirements are released from ``EI'' and ``NS''
controls. These commodities are designated 5A992.c.
Related Definitions: N/A
Items:
a. Designed or modified to use `cryptography for data
confidentiality' having a `described security algorithm', where that
cryptographic capability is usable, has been activated, or can be
activated by any means other than secure ``cryptographic
activation'', as follows:
a.1. Items having ``information security'' as a primary
function;
a.2. Digital communication or networking systems, equipment or
components, not specified in paragraph 5A002.a.1;
a.3. Computers, other items having information storage or
processing as a primary function, and components therefor, not
specified in paragraphs 5A002.a.1 or .a.2;
N.B.:
For operating systems see also 5D002.a.1 and .c.1.
a.4. Items, not specified in paragraphs 5A002.a.1 to a.3, where
the `cryptography for data confidentiality' having a `described
security algorithm' meets all of the following:
a.4.a. It supports a non-primary function of the item; and
a.4.b. It is performed by incorporated equipment or ``software''
that would, as a standalone item, be specified by ECCNs 5A002,
5A003, 5A004, 5B002 or 5D002.
N.B. to paragraph a.4:
See Related Control Paragraph (4) of this ECCN 5A002 for
examples of items not controlled by 5A002.a.4.
Technical Notes:
1. For the purposes of 5A002.a, `cryptography for data
confidentiality' means ``cryptography'' that employs digital
techniques and performs any cryptographic function other than any of
the following:
1.a. ``Authentication;''
1.b. Digital signature;
1.c. Data integrity;
1.d. Non-repudiation;
1.e. Digital rights management, including the execution of copy-
protected ``software;''
1.f. Encryption or decryption in support of entertainment, mass
commercial broadcasts or medical records management; or
1.g. Key management in support of any function described in
paragraphs 1.a to 1.f of this Technical Note paragraph 1.
2. For the purposes of 5A002.a, `described security algorithm'
means any of the following:
2.a. A ``symmetric algorithm'' employing a key length in excess
of 56 bits, not including parity bits;
2.b. An ``asymmetric algorithm'' where the security of the
algorithm is based on any of the following:
2.b.1. Factorization of integers in excess of 512 bits (e.g.,
RSA);
2.b.2. Computation of discrete logarithms in a multiplicative
group of a finite field of size greater than 512 bits (e.g., Diffie-
Hellman over Z/pZ); or
2.b.3. Discrete logarithms in a group other than mentioned in
paragraph 2.b.2 of this Technical Note in excess of 112 bits (e.g.,
Diffie-Hellman over an elliptic curve); or
2.c. An ``asymmetric algorithm'' where the security of the
algorithm is based on any of the following:
2.c.1. Shortest vector or closest vector problems associated
with lattices (e.g., NewHope, Frodo, NTRUEncrypt, Kyber, Titanium);
2.c.2. Finding isogenies between Supersingular elliptic curves
(e.g., Supersingular Isogeny Key Encapsulation); or
2.c.3. Decoding random codes (e.g., McEliece, Niederreiter).
Technical Note:
An algorithm described by Technical Note 2.c. may be referred to
as being post-quantum, quantum-safe or quantum-resistant.
Note 1:
Details of items must be accessible and provided upon request,
in order to establish any of the following:
a. Whether the item meets the criteria of 5A002.a.1 to a.4; or
[[Page 16498]]
b. Whether the cryptographic capability for data confidentiality
specified by 5A002.a is usable without ``cryptographic activation.''
Note 2:
5A002.a does not control any of the following items, or
specially designed ``information security'' components therefor:
a. Smart cards and smart card `readers/writers' as follows:
a.1. A smart card or an electronically readable personal
document (e.g., token coin, e-passport) that meets any of the
following:
a.1.a. The cryptographic capability meets all of the following:
a.1.a.1. It is restricted for use in any of the following:
a.1.a.1.a. Equipment or systems, not described by 5A002.a.1 to
a.4;
a.1.a.1.b. Equipment or systems, not using `cryptography for
data confidentiality' having a `described security algorithm'; or
a.1.a.1.c. Equipment or systems, excluded from 5A002.a by
entries b. to f. of this Note; and
a.1.a.2. It cannot be reprogrammed for any other use; or
a.1.b. Having all of the following:
a.1.b.1. It is specially designed and limited to allow
protection of `personal data' stored within;
a.1.b.2. Has been, or can only be, personalized for public or
commercial transactions or individual identification; and
a.1.b.3. Where the cryptographic capability is not user-
accessible;
Technical Note to paragraph a.1.b of Note 2:
`Personal data' includes any data specific to a particular
person or entity, such as the amount of money stored and data
necessary for ``authentication.''
a.2. `Readers/writers' specially designed or modified, and
limited, for items specified by paragraph a.1 of this Note;
Technical Note to paragraph a.2 of Note 2:
`Readers/writers' include equipment that communicates with smart
cards or electronically readable documents through a network.
b. Cryptographic equipment specially designed and limited for
banking use or `money transactions';
Technical Note to paragraph b. of Note 2:
`Money transactions' in 5A002 Note 2 paragraph b. includes the
collection and settlement of fares or credit functions.
c. Portable or mobile radiotelephones for civil use (e.g., for
use with commercial civil cellular radio communication systems) that
are not capable of transmitting encrypted data directly to another
radiotelephone or equipment (other than Radio Access Network (RAN)
equipment), nor of passing encrypted data through RAN equipment
(e.g., Radio Network Controller (RNC) or Base Station Controller
(BSC));
d. Cordless telephone equipment not capable of end-to-end
encryption where the maximum effective range of unboosted cordless
operation (i.e., a single, unrelayed hop between terminal and home
base station) is less than 400 meters according to the
manufacturer's specifications;
e. Portable or mobile radiotelephones and similar client
wireless devices for civil use, that implement only published or
commercial cryptographic standards (except for anti-piracy
functions, which may be non-published) and also meet the provisions
of paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in
Category 5--Part 2), that have been customized for a specific civil
industry application with features that do not affect the
cryptographic functionality of these original non-customized
devices;
f. Items, where the ``information security'' functionality is
limited to wireless ``personal area network'' functionality
implementing only published or commercial cryptographic standards;
g. Mobile telecommunications Radio Access Network (RAN)
equipment designed for civil use, which also meet the provisions of
paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in Category
5--Part 2), having an RF output power limited to 0.1W (20 dBm) or
less, and supporting 16 or fewer concurrent users;
h. Routers, switches, gateways or relays, where the
``information security'' functionality is limited to the tasks of
``Operations, Administration or Maintenance'' (``OAM'') implementing
only published or commercial cryptographic standards;
i. General purpose computing equipment or servers, where the
``information security'' functionality meets all of the following:
i.1. Uses only published or commercial cryptographic standards;
and
i.2. Is any of the following:
i.2.a. Integral to a CPU that meets the provisions of Note 3 in
Category 5--Part 2;
i.2.b. Integral to an operating system that is not specified by
5D002; or
i.2.c. Limited to ``OAM'' of the equipment; or
j. Items specially designed for a `connected civil industry
application', meeting all of the following:
j.1. Being any of the following:
j.1.a. A network-capable endpoint device meeting any of the
following:
j.1.a.1. The ``information security'' functionality is limited
to securing 'non-arbitrary data' or the tasks of ``Operations,
Administration or Maintenance'' (``OAM''); or
j.1.a.2. The device is limited to a specific 'connected civil
industry application'; or
j.1.b. Networking equipment meeting all of the following:
j.1.b.1. Being specially designed to communicate with the
devices specified by paragraph j.1.a. above; and
j.1.b.2. The ``information security'' functionality is limited
to supporting the `connected civil industry application' of devices
specified by paragraph j.1.a. above, or the tasks of ``OAM'' of this
networking equipment or of other items specified by paragraph j. of
this Note; and
j.2. Where the ``information security'' functionality implements
only published or commercial cryptographic standards, and the
cryptographic functionality cannot easily be changed by the user.
Technical Notes:
1. `Connected civil industry application' means a network-
connected consumer or civil industry application other than
``information security'', digital communication, general purpose
networking or computing.
2. `Non-arbitrary data' means sensor or metering data directly
related to the stability, performance or physical measurement of a
system (e.g., temperature, pressure, flow rate, mass, volume,
voltage, physical location, etc.), that cannot be changed by the
user of the device.
b. Being a `cryptographic activation token';
Technical Note:
A `cryptographic activation token' is an item designed or
modified for any of the following:
1. Converting, by means of ``cryptographic activation'', an item
not specified by Category 5--Part 2 into an item specified by
5A002.a or 5D002.c.1, and not released by the Cryptography Note
(Note 3 in Category 5--Part 2); or
2. Enabling by means of ``cryptographic activation'', additional
functionality specified by 5A002.a of an item already specified by
Category 5--Part 2;
c. Designed or modified to use or perform ``quantum cryptography'';
Technical Note:
``Quantum cryptography'' is also known as Quantum Key
Distribution (QKD).
d. Designed or modified to use cryptographic techniques to generate
channelizing codes, scrambling codes or network identification codes,
for systems using ultra-wideband modulation techniques and having any
of the following:
d.1. A bandwidth exceeding 500 MHz; or
d.2. A ``fractional bandwidth'' of 20% or more;
e. Designed or modified to use cryptographic techniques to generate
the spreading code for ``spread spectrum'' systems, not specified by
5A002.d, including the hopping code for ``frequency hopping'' systems.
0
29. In supplement no. 1 to part 774, Category 6, ECCN 6A004 is revised
to read as follows:
6A004 Optical equipment and ``components,'' as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License
[[Page 16499]]
Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000
GBS: Yes for 6A004.a.1, a.2, a.4, .b, d.2, and .f.
Special Conditions for STA
STA: Paragraph (c)(2) of License Exception STA may not be used to
ship any commodity in 6A004.c or .d to any of the destinations
listed in Country Group A:6 (See Supplement No.1 to part 740 of the
EAR).
List of Items Controlled
Related Controls: (1) For optical mirrors or `aspheric optical
elements' ``specially designed'' for lithography ``equipment,'' see
ECCN 3B001. (2) See USML Category XII(e) for gimbals ``subject to
the ITAR.'' (3) See also 6A994.
Related Definitions: An 'aspheric optical element' is any element
used in an optical system whose imaging surface or surfaces are
designed to depart from the shape of an ideal sphere.
Items:
a. Optical mirrors (reflectors) as follows:
Technical Note:
For the purpose of 6A004.a, Laser Induced Damage Threshold
(LIDT) is measured according to ISO 21254-11:2011.
a.1. `Deformable mirrors' having an active optical aperture
greater than 10 mm and having any of the following, and specially
designed components therefor:
a.1.a. Having all the following:
a.1.a.1. A mechanical resonant frequency of 750 Hz or more; and
a.1.a.2. More than 200 actuators; or
a.1.b. A Laser Induced Damage Threshold (LIDT) being any of the
following:
a.1.b.1. Greater than 1 kW/cm\2\ using a ``CW laser''; or
a.1.b.2. Greater than 2 J/cm\2\ using 20 ns ``laser'' pulses at
20 Hz repetition rate;
Technical Notes:
1. `Deformable mirrors' are mirrors having any of the following:
a. A single continuous optical reflecting surface which is
dynamically deformed by the application of individual torques or
forces to compensate for distortions in the optical waveform
incident upon the mirror; or
b. Multiple optical reflecting elements that can be individually
and dynamically repositioned by the application of torques or forces
to compensate for distortions in the optical waveform incident upon
the mirror.
2. `Deformable mirrors' are also known as adaptive optic
mirrors.
a.2. Lightweight monolithic mirrors having an average
``equivalent density'' of less than 30 kg/m\2\ and a total mass
exceeding 10 kg;
a.3. Lightweight ``composite'' or foam mirror structures having
an average ``equivalent density'' of less than 30 kg/m\2\ and a
total mass exceeding 2 kg;
Note:
6A004.a.2 and 6A004.a.3 do not apply to mirrors ``specially
designed'' to direct solar radiation for terrestrial heliostat
installations.
a.4. Mirrors specially designed for beam steering mirror stages
specified in 6A004.d.2.a with a flatness of [lambda]/10 or better
([lambda] is equal to 633 nm) and having any of the following:
a.4.a. Diameter or major axis length greater than or equal to
100 mm; or
a.4.b. Having all of the following:
a.4.b.1. Diameter or major axis length greater than 50 mm but
less than 100 mm; and
a.4.b.2. A Laser Induced Damage Threshold (LIDT) being any of
the following:
a.4.b.2.a. Greater than 10 kW/cm2 using a ``CW laser''; or
a.4.b.2.b. Greater than 20 J/cm2 using 20 ns ``laser'' pulses at
20 Hz repetition rate;
N.B. For optical mirrors specially designed for lithography
equipment, see 3B001.
b. Optical ``components'' made from zinc selenide (ZnSe) or zinc
sulphide (ZnS) with transmission in the wavelength range exceeding
3,000 nm but not exceeding 25,000 nm and having any of the
following:
b.1. Exceeding 100 cm\3\ in volume; or
b.2. Exceeding 80 mm in diameter or length of major axis and 20
mm in thickness (depth);
c. ``Space-qualified'' ``components'' for optical systems, as
follows:
c.1. ``Components'' lightweighted to less than 20% ``equivalent
density'' compared with a solid blank of the same aperture and
thickness;
c.2. Raw substrates, processed substrates having surface
coatings (single-layer or multi-layer, metallic or dielectric,
conducting, semiconducting or insulating) or having protective
films;
c.3. Segments or assemblies of mirrors designed to be assembled
in space into an optical system with a collecting aperture
equivalent to or larger than a single optic 1 m in diameter;
c.4. ``Components'' manufactured from ``composite'' materials
having a coefficient of linear thermal expansion, in any coordinate
direction, equal to or less than 5 x 10-6/K;
d. Optical control equipment as follows:
d.1. Equipment ``specially designed'' to maintain the surface
figure or orientation of the ``space-qualified'' ``components''
controlled by 6A004.c.1 or 6A004.c.3;
d.2. Steering, tracking, stabilisation and resonator alignment
equipment as follows:
d.2.a. Beam steering mirror stages designed to carry mirrors
having diameter or major axis length greater than 50 mm and having
all of the following, and specially designed electronic control
equipment therefor:
d.2.a.1. A maximum angular travel of 26 mrad or
more;
d.2.a.2. A mechanical resonant frequency of 500 Hz or more; and
d.2.a.3. An angular ``accuracy'' of 10 [mu]rad (microradians) or
less (better);
d.2.b. Resonator alignment equipment having bandwidths equal to
or more than 100 Hz and an ``accuracy'' of 10 [mu]rad or less
(better);
d.3. Gimbals having all of the following:
d.3.a. A maximum slew exceeding 5[deg];
d.3.b. A bandwidth of 100 Hz or more;
d.3.c. Angular pointing errors of 200 [mu]rad (microradians) or
less; and
d.3.d. Having any of the following:
d.3.d.1. Exceeding 0.15 m but not exceeding 1 m in diameter or
major axis length and capable of angular accelerations exceeding 2
rad (radians)/s\2\; or
d.3.d.2. Exceeding 1 m in diameter or major axis length and
capable of angular accelerations exceeding 0.5 rad (radians)/s\2\;
d.4. [Reserved]
e. `Aspheric optical elements' having all of the following:
e.1. Largest dimension of the optical-aperture greater than 400
mm;
e.2. Surface roughness less than 1 nm (rms) for sampling lengths
equal to or greater than 1 mm; and
e.3. Coefficient of linear thermal expansion's absolute
magnitude less than 3 x 10-6/K at 25 [deg]C;
Technical Note:
1. [See Related Definitions section of this ECCN]
2. Manufacturers are not required to measure the surface
roughness listed in 6A004.e.2 unless the optical element was
designed or manufactured with the intent to meet, or exceed, the
control parameter.
Note:
6A004.e does not control `aspheric optical elements' having any
of the following:
a. Largest optical-aperture dimension less than 1 m and focal
length to aperture ratio equal to or greater than 4.5:1;
b. Largest optical-aperture dimension equal to or greater than 1
m and focal length to aperture ratio equal to or greater than 7:1;
c. Designed as Fresnel, flyeye, stripe, prism or diffractive
optical elements;
d. Fabricated from borosilicate glass having a coefficient of
linear thermal expansion greater than 2.5 x 10-6/K at 25 [deg]C; or
e. An x-ray optical element having inner mirror capabilities
(e.g., tube-type mirrors).
f. Dynamic wavefront measuring equipment having all of the
following:
f.1. `Frame rates' equal to or more than 1 kHz; and
f.2. A wavefront accuracy equal to or less (better) than
[lambda]/20 at the designed wavelength.
Technical Note:
For the purposes of 6A004.f, `frame rate' is a frequency at
which all ``active pixels'' in the ``focal plane array'' are
integrated for recording images projected by the wavefront sensor
optics.
0
30. In supplement no. 1 to part 774, Category 6, ECCN 6A005 is revised
to read as follows:
6A005 ``Lasers,'' ``components'' and optical equipment, as follows
(see List of Items Controlled), excluding items that are subject to
the export licensing authority of the Nuclear Regulatory Commission
(see 10 CFR part 110).
License Requirements
Reason for Control: NS, NP, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
[[Page 16500]]
NP applies to lasers controlled by NP Column 1
6A005.a.2, a.3, a.4, b.2.b, b.3, b.4,
b.6.c, c.1.b, c.2.b, d.2, d.3.c, or d.4.c
that meet or exceed the technical
parameters described in 6A205.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for NP items, $3,000 for all other items
GBS: Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an
average or CW output power not exceeding 2kW, and operate in a
pulse-excited, non-``Q-switched'' multiple-transverse mode, or in a
continuously excited, multiple-transverse mode; Dye and Liquid
Lasers controlled by 6A005.c.1, c.2 and c.3, except for a pulsed
single longitudinal mode oscillator having an average output power
exceeding 1 W and a repetition rate exceeding 1 kHz if the ``pulse
duration'' is less than 100 ns; CO ``lasers'' controlled by
6A005.d.2 having a CW maximum rated single or multimode output power
not exceeding 10 kW; CO2 or CO/CO2 ``lasers''
controlled by 6A005.d.3 having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J
per pulse and a maximum rated average single or multimode output
power not exceeding 5 kW; and CO2 ``lasers'' controlled
by 6A005.d.3 that operate in CW multiple-transverse mode, and having
a CW output power not exceeding 15kW.
List of Items Controlled
Related Controls: (1) See ECCN 6D001 for ``software'' for items
controlled under this entry. (2) See ECCNs 6E001 (``development''),
6E002 (``production''), and 6E201 (``use'') for ``technology'' for
items controlled under this entry. (3) Also see ECCNs 6A205 and
6A995. (4) See ECCN 3B001 for excimer ``lasers'' ``specially
designed'' for lithography equipment. (5) ``Lasers'' ``specially
designed'' or prepared for use in isotope separation are subject to
the export licensing authority of the Nuclear Regulatory Commission
(see 10 CFR part 110). (6) See USML Category XII(b) and (e) for
laser systems or lasers subject to the ITAR. (7) See USML Category
XVIII for certain laser-based directed energy weapon systems,
equipment, and components subject to the ITAR.
Related Definitions: (1) `Wall-plug efficiency' is defined as the
ratio of ``laser'' output power (or ``average output power'') to
total electrical input power required to operate the ``laser'',
including the power supply/conditioning and thermal conditioning/
heat exchanger, see 6A005.a.6.b.1 and 6A005.b.6; (2) `Non-repetitive
pulsed' refers to ``lasers'' that produce either a single output
pulse or that have a time interval between pulses exceeding one
minute, see Note 2 of 6A005 and 6A005.d.6.
Items:
Notes:
1. Pulsed ``lasers'' include those that run in a continuous wave
(CW) mode with pulses superimposed.
2. Excimer, semiconductor, chemical, CO, CO2, and `non-
repetitive pulsed' Nd:glass ``lasers'' are only specified by
6A005.d.
Technical Note:
`Non-repetitive pulsed' refers to ``lasers'' that produce either
a single output pulse or that have a time interval between pulses
exceeding one minute.
3. 6A005 includes fiber ``lasers''.
4. The control status of ``lasers'' incorporating frequency
conversion (i.e., wavelength change) by means other than one
``laser'' pumping another ``laser'' is determined by applying the
control parameters for both the output of the source ``laser'' and
the frequency-converted optical output.
5. 6A005 does not control ``lasers'' as follows:
a. Ruby with output energy below 20 J;
b. Nitrogen;
c. Krypton.
6. For the purposes of 6A005.a and 6A005.b, `single transverse
mode' refers to ``lasers'' with a beam profile having an M\2\-factor
of less than 1.3, while `multiple transverse mode' refers to
``lasers'' with a beam profile having an M\2\-factor of 1.3 or
higher.
a. Non-``tunable'' continuous wave ``(CW) lasers'' having any of
the following:
a.1. Output wavelength less than 150 nm and output power
exceeding 1 W;
a.2. Output wavelength of 150 nm or more but not exceeding 510
nm and output power exceeding 30 W;
Note:
6A005.a.2 does not control Argon ``lasers'' having an output
power equal to or less than 50 W.
a.3. Output wavelength exceeding 510 nm but not exceeding 540 nm
and any of the following:
a.3.a. `Single transverse mode' output and output power
exceeding 50 W; or
a.3.b. `Multiple transverse mode' output and output power
exceeding 150 W;
a.4. Output wavelength exceeding 540 nm but not exceeding 800 nm
and output power exceeding 30 W;
a.5. Output wavelength exceeding 800 nm but not exceeding 975 nm
and any of the following:
a.5.a. `Single transverse mode' output and output power
exceeding 50 W; or
a.5.b. `Multiple transverse mode' output and output power
exceeding 80 W;
a.6. Output wavelength exceeding 975 nm but not exceeding 1,150
nm and any of the following;
a.6.a. `Single transverse mode' output and any of the following:
a.6.a.1. Output power exceeding 1,000 W; or
a.6.a.2. Having all of the following:
a.6.a.2.a. Output power exceeding 500 W; and
a.6.a.2.b. Spectral bandwidth less than 40 GHz; or
a.6.b. `Multiple transverse mode' output and any of the
following:
a.6.b.1. `Wall-plug efficiency' exceeding 18% and output power
exceeding 1,000 W; or
a.6.b.2. Output power exceeding 2 kW;
Note 1:
6A005.a.6.b does not control `multiple transverse mode',
industrial ``lasers'' with output power exceeding 2 kW and not
exceeding 6 kW with a total mass greater than 1,200 kg. For the
purpose of this note, total mass includes all ``components''
required to operate the ``laser,'' e.g., ``laser,'' power supply,
heat exchanger, but excludes external optics for beam conditioning
or delivery.
Note 2:
6A005.a.6.b does not apply to `multiple transverse mode',
industrial ``lasers'' having any of the following:
a. [Reserved];
b. Output power exceeding 1 kW but not exceeding 1.6 kW and
having a BPP exceeding 1.25 mm[middot]mrad;
c. Output power exceeding 1.6 kW but not exceeding 2.5 kW and
having a BPP exceeding 1.7 mm[middot]mrad;
d. Output power exceeding 2.5 kW but not exceeding 3.3 kW and
having a BPP exceeding 2.5 mm[middot]mrad;
e. Output power exceeding 3.3 kW but not exceeding 6 kW and
having a BPP exceeding 3.5 mm[middot]mrad;
f. [Reserved]
g. [Reserved]
h. Output power exceeding 6 kW but not exceeding 8 kW and having
a BPP exceeding 12 mm[middot]mrad; or
i. Output power exceeding 8 kW but not exceeding 10 kW and
having a BPP exceeding 24 mm[middot]mrad;
a.7. Output wavelength exceeding 1,150 nm but not exceeding
1,555 nm and any of the following:
a.7.a. `Single transverse mode' and output power exceeding 50 W;
or
a.7.b. `Multiple transverse mode' and output power exceeding 80
W;
a.8. Output wavelength exceeding 1,555 nm but not exceeding
1,850 nm and output power exceeding 1 W;
a.9. Output wavelength exceeding 1,850 nm but not exceeding
2,100 nm, and any of the following:
a.9.a. `Single transverse mode' and output power exceeding 1 W;
or
a.9. b. `Multiple transverse mode' output and output power
exceeding 120 W; or
a.10. Output wavelength exceeding 2,100 nm and output power
exceeding 1 W;
b. Non-``tunable'' ``pulsed lasers'' having any of the
following:
b.1. Output wavelength less than 150 nm and any of the
following:
b.1.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.1.b. ``Average output power'' exceeding 1 W;
b.2. Output wavelength of 150 nm or more but not exceeding 510
nm and any of the following:
[[Page 16501]]
b.2.a. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 30 W; or
b.2.b. ``Average output power'' exceeding 30 W;
Note:
6A005.b.2.b does not control Argon ``lasers'' having an
``average output power'' equal to or less than 50 W.
b.3. Output wavelength exceeding 510 nm, but not exceeding 540
nm and any of the following:
b.3.a. `Single transverse mode' output and any of the following:
b.3.a.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 50 W; or
b.3.a.2. ``Average output power'' exceeding 50 W; or
b.3.b. `Multiple transverse mode' output and any of the
following:
b.3.b.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 150 W; or
b.3.b.2. ``Average output power'' exceeding 150 W;
b.4. Output wavelength exceeding 540 nm but not exceeding 800 nm
and any of the following:
b.4.a. ``Pulse duration'' less than 1 ps and any of the
following:
b.4.a.1. Output energy exceeding 0.005 J per pulse and ``peak
power'' exceeding 5 GW; or
b.4.a.2. ``Average output power'' exceeding 20 W; or
b.4.b. ``Pulse duration'' equal to or exceeding 1 ps and any of
the following:
b.4.b.1. Output energy exceeding 1.5 J per pulse and ``peak
power'' exceeding 30 W; or
b.4.b.2. ``Average output power'' exceeding 30 W;
b.5. Output wavelength exceeding 800 nm but not exceeding 975 nm
and any of the following:
b.5.a. ``Pulse duration'' less than 1ps and any of the
following:
b.5.a.1. Output energy exceeding 0.005 J per pulse and ``peak
power'' exceeding 5 GW; or
b.5.a.2. `Single transverse mode' output and ``average output
power'' exceeding 20 W;
b.5.b. ``Pulse duration'' equal to or exceeding 1 ps and not
exceeding 1 [mu]s and any of the following:
b.5.b.1. Output energy exceeding 0.5 J per pulse and ``peak
power'' exceeding 50 W;
b.5.b.2. `Single transverse mode' output and ``average output
power'' exceeding 20 W; or
b.5.b.3. `Multiple transverse mode' output and ``average output
power'' exceeding 50 W; or
b.5.c. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.5.c.1. Output energy exceeding 2 J per pulse and ``peak
power'' exceeding 50 W;
b.5.c.2. `Single transverse mode' output and ``average output
power'' exceeding 50 W; or
b.5.c.3. `Multiple transverse mode' output and ``average output
power'' exceeding 80 W.
b.6. Output wavelength exceeding 975 nm but not exceeding 1,150
nm and any of the following:
b.6.a. ``Pulse duration'' of less than 1 ps, and any of the
following:
b.6.a.1. Output ``peak power'' exceeding 2 GW per pulse;
b.6.a.2. ``Average output power'' exceeding 30 W; or
b.6.a.3. Output energy exceeding 0.002 J per pulse;
b.6.b. ``Pulse duration'' equal to or exceeding 1 ps and less
than 1 ns, and any of the following:
b.6.b.1. Output ``peak power'' exceeding 5 GW per pulse;
b.6.b.2. ``Average output power'' exceeding 50 W; or
b.6.b.3. Output energy exceeding 0.1 J per pulse;
b.6.c. ``Pulse duration'' equal to or exceeding 1 ns but not
exceeding 1 [mu]s and any of the following:
b.6.c.1. `Single transverse mode' output and any of the
following:
b.6.c.1.a. ``Peak power'' exceeding 100 MW;
b.6.c.1.b. ``Average output power'' exceeding 20 W limited by
design to a maximum pulse repetition frequency less than or equal to
1 kHz;
b.6.c.1.c. `Wall-plug efficiency' exceeding 12%, ``average
output power'' exceeding 100 W and capable of operating at a pulse
repetition frequency greater than 1 kHz;
b.6.c.1.d. ``Average output power'' exceeding 150 W and capable
of operating at a pulse repetition frequency greater than 1 kHz; or
b.6.c.1.e. Output energy exceeding 2 J per pulse; or
b.6.c.2. `Multiple transverse mode' output and any of the
following:
b.6.c.2.a. ``Peak power'' exceeding 400 MW;
b.6.c.2.b. `Wall-plug efficiency' exceeding 18% and ``average
output power'' exceeding 500 W;
b.6.c.2.c. ``Average output power'' exceeding 2 kW; or
b.6.c.2.d. Output energy exceeding 4 J per pulse; or
b.6.d. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.6.d.1. `Single transverse mode' output and any of the
following:
b.6.d.1.a. ``Peak power'' exceeding 500 kW;
b.6.d.1.b. `Wall-plug efficiency' exceeding 12% and ``average
output power'' exceeding 100 W; or
b.6.d.1.c. ``Average output power'' exceeding 150 W; or
b.6.d.2. `Multiple transverse mode' output and any of the
following:
b.6.d.2.a. ``Peak power'' exceeding 1 MW;
b.6.d.2.b. `Wall-plug efficiency' exceeding 18% and ``average
output power'' exceeding 500 W; or
b.6.d.2.c. ``Average output power'' exceeding 2 kW;
b.7. Output wavelength exceeding 1,150 nm but not exceeding
1,555 nm and any of the following:
b.7.a. ``Pulse duration'' not exceeding 1 [mu]s and any of the
following:
b.7.a.1. Output energy exceeding 0.5 J per pulse and ``peak
power'' exceeding 50 W;
b.7.a.2. `Single transverse mode' output and ``average output
power'' exceeding 20 W; or
b.7.a.3. `Multiple transverse mode' output and ``average output
power'' exceeding 50 W; or
b.7.b. ``Pulse duration'' exceeding 1 [mu]s and any of the
following:
b.7.b.1. Output energy exceeding 2 J per pulse and ``peak
power'' exceeding 50 W;
b.7.b.2. `Single transverse mode' output and ``average output
power'' exceeding 50 W; or
b.7.b.3. `Multiple transverse mode' output and ``average output
power'' exceeding 80 W;
b.8. Output wavelength exceeding 1,555 nm but not exceeding
1,850 nm, and any of the following:
b.8.a. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.8.b. ``Average output power'' exceeding 1 W;
b.9. Output wavelength exceeding 1,850 nm but not exceeding
2,100 nm, and any of the following:
b.9.a. `Single transverse mode' and any of the following:
b.9.a.1. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.9.a.2. ``Average output power'' exceeding 1 W;
b.9.b. `Multiple transverse mode' and any of the following:
b.9.b.1. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 10 kW; or
b.9.b.2. ``Average output power'' exceeding 120 W; or
b.10. Output wavelength exceeding 2,100 nm and any of the
following:
b.10.a. Output energy exceeding 100 mJ per pulse and ``peak
power'' exceeding 1 W; or
b.10.b. ``Average output power'' exceeding 1 W;
c. ``Tunable'' lasers having any of the following:
c.1. Output wavelength less than 600 nm and any of the
following:
c.1.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
c.1.b. Average or CW output power exceeding 1W;
Note:
6A005.c.1 does not apply to dye ``lasers'' or other liquid
``lasers,'' having a multimode output and a wavelength of 150 nm or
more but not exceeding 600 nm and all of the following:
1. Output energy less than 1.5 J per pulse or a ``peak power''
less than 20 W; and
2. Average or CW output power less than 20 W.
c.2. Output wavelength of 600 nm or more but not exceeding 1,400
nm, and any of the following:
c.2.a. Output energy exceeding 1 J per pulse and ``peak power''
exceeding 20 W; or
c.2.b. Average or CW output power exceeding 20 W; or
c.3. Output wavelength exceeding 1,400 nm and any of the
following:
c.3.a. Output energy exceeding 50 mJ per pulse and ``peak
power'' exceeding 1 W; or
c.3.b. Average or CW output power exceeding 1 W;
d. Other ``lasers'', not controlled by 6A005.a., 6A005.b, or
6A005.c as follows:
d.1. Semiconductor ``lasers'' as follows:
Note:
1. 6A005.d.1 includes semiconductor ``lasers'' having optical
output connectors (e.g., fiber optic pigtails).
2. The control status of semiconductor ``lasers'' ``specially
designed'' for other
[[Page 16502]]
equipment is determined by the control status of the other
equipment.
d.1.a. Individual single transverse mode semiconductor
``lasers'' having any of the following:
d.1.a.1. Wavelength equal to or less than 1,510 nm and average
or CW output power, exceeding 1.5 W; or
d.1.a.2. Wavelength greater than 1,510 nm and average or CW
output power, exceeding 500 mW;
d.1.b. Individual `multiple-transverse mode' semiconductor
``lasers'' having any of the following:
d.1.b.1. Wavelength of less than 1,400 nm and average or CW
output power, exceeding 15 W;
d.1.b.2. Wavelength equal to or greater than 1,400 nm and less
than 1,900 nm and average or CW output power, exceeding 2.5 W; or
d.1.b.3. Wavelength equal to or greater than 1,900 nm and
average or CW output power, exceeding 1 W;
d.1.c. Individual semiconductor ``laser'' `bars' having any of
the following:
d.1.c.1. Wavelength of less than 1,400 nm and average or CW
output power, exceeding 100 W;
d.1.c.2. Wavelength equal to or greater than 1,400 nm and less
than 1,900 nm and average or CW output power, exceeding 25 W; or
d.1.c.3. Wavelength equal to or greater than 1,900 nm and
average or CW output power, exceeding 10 W;
d.1.d. Semiconductor ``laser'' `stacked arrays' (two dimensional
arrays) having any of the following:
d.1.d.1. Wavelength less than 1,400 nm and having any of the
following:
d.1.d.1.a. Average or CW total output power less than 3 kW and
having average or CW output `power density' greater than 500 W/
cm\2\;
d.1.d.1.b. Average or CW total output power equal to or
exceeding 3 kW but less than or equal to 5 kW, and having average or
CW output `power density' greater than 350W/cm\2\;
d.1.d.1.c. Average or CW total output power exceeding 5 kW;
d.1.d.1.d. Peak pulsed `power density' exceeding 2,500 W/cm\2\;
or
Note:
6A005.d.1.d.1.d does not apply to epitaxially-fabricated
monolithic devices.
d.1.d.1.e. Spatially coherent average or CW total output power,
greater than 150 W;
d.1.d.2. Wavelength greater than or equal to 1,400 nm but less
than 1,900 nm, and having any of the following:
d.1.d.2.a. Average or CW total output power less than 250 W and
average or CW output `power density' greater than 150 W/cm2;
d.1.d.2.b. Average or CW total output power equal to or
exceeding 250 W but less than or equal to 500 W, and having average
or CW output `power density' greater than 50W/cm\2\;
d.1.d.2.c. Average or CW total output power exceeding 500 W;
d.1.d.2.d. Peak pulsed `power density' exceeding 500 W/cm\2\; or
Note:
6A005.d.1.d.2.d does not apply to epitaxially-fabricated
monolithic devices.
d.1.d.2.e. Spatially coherent average or CW total output power,
exceeding 15 W;
d.1.d.3. Wavelength greater than or equal to 1,900 nm and having
any of the following:
d.1.d.3.a. Average or CW output `power density' greater than 50
W/cm\2\;
d.1.d.3.b. Average or CW output power greater than 10 W; or
d.1.d.3.c. Spatially coherent average or CW total output power,
exceeding 1.5 W; or
d.1.d.4. At least one ``laser'' `bar' specified by 6A005.d.1.c;
Technical Note:
For the purposes of 6A005.d.1.d, `power density' means the total
``laser'' output power divided by the emitter surface area of the
`stacked array'.
d.1.e. Semiconductor ``laser'' `stacked arrays', other than
those specified by 6.A005.d.1.d., having all of the following:
d.1.e.1. ``Specially designed'' or modified to be combined with
other `stacked arrays' to form a larger `stacked array'; and
d.1.e.2. Integrated connections, common for both electronics and
cooling;
Note 1:
`Stacked arrays', formed by combining semiconductor ``laser''
`stacked arrays' specified by 6A005.d.1.e, that are not designed to
be further combined or modified are specified by 6A005.d.1.d.
Note 2:
`Stacked arrays', formed by combining semiconductor ``laser''
`stacked arrays' specified by 6A005.d.1.e, that are designed to be
further combined or modified are specified by 6A005.d.1.e.
Note 3:
6A005.d.1.e does not apply to modular assemblies of single
`bars' designed to be fabricated into end to end stacked linear
arrays.
Technical Notes:
1. Semiconductor ``lasers'' are commonly called ``laser''
diodes.
2. A `bar' (also called a semiconductor ``laser'' `bar', a
``laser'' diode `bar' or diode `bar') consists of multiple
semiconductor ``lasers'' in a one dimensional array.
3. A `stacked array' consists of multiple `bars' forming a two
dimensional array of semiconductor ``lasers''.
d.2. Carbon monoxide (CO) ``lasers'' having any of the
following:
d.2.a. Output energy exceeding 2 J per pulse and ``peak power''
exceeding 5 kW; or
d.2.b. Average or CW output power, exceeding 5 kW;
d.3. Carbon dioxide (CO2) ``lasers'' having any of
the following:
d.3.a. CW output power exceeding 15 kW;
d.3.b. Pulsed output with ``pulse duration'' exceeding 10 [mu]s
and any of the following:
d.3.b.1. ``Average output power'' exceeding 10 kW; or
d.3.b.2. ``Peak power'' exceeding 100 kW; or
d.3.c. Pulsed output with a ``pulse duration'' equal to or less
than 10 [mu]s and any of the following:
d.3.c.1. Pulse energy exceeding 5 J per pulse; or
d.3.c.2. ``Average output power'' exceeding 2.5 kW;
d.4. Excimer ``lasers'' having any of the following:
d.4.a. Output wavelength not exceeding 150 nm and any of the
following:
d.4.a.1. Output energy exceeding 50 mJ per pulse; or
d.4.a.2. ``Average output power'' exceeding 1 W;
d.4.b. Output wavelength exceeding 150 nm but not exceeding 190
nm and any of the following:
d.4.b.1. Output energy exceeding 1.5 J per pulse; or
d.4.b.2. ``Average output power'' exceeding 120 W;
d.4.c. Output wavelength exceeding 190 nm but not exceeding 360
nm and any of the following:
d.4.c.1. Output energy exceeding 10 J per pulse; or
d.4.c.2. ``Average output power'' exceeding 500 W; or
d.4.d. Output wavelength exceeding 360 nm and any of the
following:
d.4.d.1. Output energy exceeding 1.5 J per pulse; or
d.4.d.2. ``Average output power'' exceeding 30 W;
Note:
For excimer ``lasers'' ``specially designed'' for lithography
equipment, see 3B001.
d.5. ``Chemical lasers'' as follows:
d.5.a. Hydrogen Fluoride (HF) ``lasers';
d.5.b. Deuterium Fluoride (DF) ``lasers'';
d.5.c. `Transfer lasers' as follows:
d.5.c.1. Oxygen Iodine (O2-I) ``lasers'';
d.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO2)
``lasers'';
Technical Note:
`Transfer lasers' are ``lasers'' in which the lasing species are
excited through the transfer of energy by collision of a non-lasing
atom or molecule with a lasing atom or molecule species.
d.6. `Non-repetitive pulsed' Neodymium (Nd) glass ``lasers''
having any of the following:
d.6.a. A ``pulse duration'' not exceeding 1 [mu]s and output
energy exceeding 50 J per pulse; or
d.6.b. A ``pulse duration'' exceeding 1 [mu]s and output energy
exceeding 100 J per pulse;
e. ``Components'' as follows:
e.1. Mirrors cooled either by `active cooling' or by heat pipe
cooling;
Technical Note:
`Active cooling' is a cooling technique for optical
``components'' using flowing fluids within the subsurface (nominally
less than 1 mm below the optical surface) of the optical component
to remove heat from the optic.
e.2. Optical mirrors or transmissive or partially transmissive
optical or electro-optical-``components,'' other than fused tapered
fiber combiners and Multi-Layer Dielectric gratings (MLDs),
``specially designed'' for use with controlled ``lasers'';
Note to 6A005.e.2:
Fiber combiners and MLDs are specified by 6A005.e.3.
e.3. Fiber ``laser'' ``components'' as follows:
e.3.a. Multimode to multimode fused tapered fiber combiners
having all of the following:
e.3.a.1. An insertion loss better (less) than or equal to 0.3 dB
maintained at a rated total average or CW output power (excluding
output power transmitted through the single mode core if present)
exceeding 1,000 W; and
e.3.a.2. Number of input fibers equal to or greater than 3;
[[Page 16503]]
e.3.b. Single mode to multimode fused tapered fiber combiners
having all of the following:
e.3.b.1. An insertion loss better (less) than 0.5 dB maintained
at a rated total average or CW output power exceeding 4,600 W;
e.3.b.2. Number of input fibers equal to or greater than 3; and
e.3.b.3. Having any of the following:
e.3.b.3.a. A Beam Parameter Product (BPP) measured at the output
not exceeding 1.5 mm mrad for a number of input fibers less than or
equal to 5; or
e.3.b.3.b. A BPP measured at the output not exceeding 2.5 mm
mrad for a number of input fibers greater than 5;
e.3.c. MLDs having all of the following:
e.3.c.1. Designed for spectral or coherent beam combination of 5
or more fiber ``lasers;'' and
e.3.c.2. CW ``Laser'' Induced Damage Threshold (LIDT) greater
than or equal to 10 kW/cm\2\;
f. Optical equipment as follows:
N.B.:
For shared aperture optical elements, capable of operating in
``Super-High Power Laser'' (``SHPL'') applications, see the U.S.
Munitions List (22 CFR part 121).
f.1. [Reserved]
N.B.:
For items previously specified by 6A005.f.1, see 6A004.f.
f.2. ``Laser'' diagnostic equipment ``specially designed'' for
dynamic measurement of ``SHPL'' system angular beam steering errors
and having an angular ``accuracy'' of 10 [mu]rad (microradians) or
less (better);
f.3. Optical equipment and ``components'', ``specially
designed'' for coherent beam combination in a phased-array ``SHPL''
system and having any of the following:
f.3.a. An ``accuracy'' of 0.1 [micro]m or less, for wavelengths
greater than 1 [micro]m; or
f.3.b. An ``accuracy'' of [lambda]/10 or less (better) at the
designed wavelength, for wavelengths equal to or less than 1
[micro]m;
f.4. Projection telescopes ``specially designed'' for use with
``SHPL'' systems;
g. `Laser acoustic detection equipment' having all of the
following:
g.1. CW ``laser'' output power greater than or equal to 20 mW;
g.2. ``Laser'' frequency stability equal to or better (less)
than 10 MHz;
g.3. ``Laser'' wavelengths equal to or exceeding 1,000 nm but
not exceeding 2,000 nm;
g.4. Optical system resolution better (less) than 1 nm; and
g.5. Optical Signal to Noise ratio equal or exceeding to 10\3\.
Technical Note:
`Laser acoustic detection equipment' is sometimes referred to as
a ``Laser'' Microphone or Particle Flow Detection Microphone.
0
31. In supplement no. 1 to part 774, Category 6, ECCN 6A008 is revised
to read as follows:
6A008 Radar systems, equipment and assemblies, having any of the
following (see List of Items Controlled), and ``specially designed''
``components'' therefor.
License Requirements
Reason for Control: NS, MT, RS, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to items that are designed for MT Column 1
airborne applications and that are usable
in systems controlled for MT reasons.
RS applies to 6A008.j.1................... RS Column 1
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000; N/A for MT and for 6A008.j.1.
GBS: Yes, for 6A008.b, .c, and l.1 only
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
6A008.d, 6A008.h or 6A008.k to any of the destinations listed in
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See also ECCNs 6A108 and 6A998. ECCN 6A998
controls, inter alia, the Light Detection and Ranging (LIDAR)
equipment excluded by the note to paragraph j of this ECCN (6A008).
(2) See USML Category XII(b) for certain LIDAR, Laser Detection and
Ranging (LADAR), or range-gated systems subject to the ITAR.
Related Definitions: N/A
Items:
Note:
6A008 does not control:
--Secondary surveillance radar (SSR);
--Civil Automotive Radar;
--Displays or monitors used for air traffic control (ATC);
--Meteorological (weather) radar;
--Precision Approach Radar (PAR) equipment conforming to ICAO
standards and employing electronically steerable linear (1-
dimensional) arrays or mechanically positioned passive antennas.
a. Operating at frequencies from 40 GHz to 230 GHz and having
any of the following:
a.1. An average output power exceeding 100 mW; or
a.2. Locating ``accuracy'' of 1 m or less (better) in range and
0.2 degree or less (better) in azimuth;
b. A tunable bandwidth exceeding 6.25% of the
`center operating frequency';
Technical Note:
The `center operating frequency' equals one half of the sum of
the highest plus the lowest specified operating frequencies.
c. Capable of operating simultaneously on more than two carrier
frequencies;
d. Capable of operating in synthetic aperture (SAR), inverse
synthetic aperture (ISAR) radar mode, or sidelooking airborne (SLAR)
radar mode;
e. Incorporating electronically scanned array antennae;
Technical Note:
Electronically scanned array antennae are also known as
electronically steerable array antennae.
f. Capable of heightfinding non-cooperative targets;
g. ``Specially designed'' for airborne (balloon or airframe
mounted) operation and having Doppler ``signal processing'' for the
detection of moving targets;
h. Employing processing of radar signals and using any of the
following:
h.1. ``Radar spread spectrum'' techniques; or
h.2. ``Radar frequency agility'' techniques;
i. Providing ground-based operation with a maximum `instrumented
range' exceeding 185 km;
Note:
6A008.i does not control:
a. Fishing ground surveillance radar;
b. Ground radar equipment ``specially designed'' for en route
air traffic control, and having all of the following:
1. A maximum `instrumented range' of 500 km or less;
2. Configured so that radar target data can be transmitted only
one way from the radar site to one or more civil ATC centers;
3. Contains no provisions for remote control of the radar scan
rate from the en route ATC center; and
4. Permanently installed;
c. Weather balloon tracking radars.
Technical Note:
For the purposes of 6A008.i, `instrumented range' is the
specified unambiguous display range of a radar.
j. Being ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment and having any of the following:
j.1. ``Space-qualified'';
j.2. Employing coherent heterodyne or homodyne detection
techniques and having an angular resolution of less (better) than 20
[mu]rad (microradians); or
j.3. Designed for carrying out airborne bathymetric littoral
surveys to International Hydrographic Organization (IHO) Order 1a
Standard (5th Edition February 2008) for Hydrographic Surveys or
better, and using one or more ``lasers'' with a wavelength exceeding
400 nm but not exceeding 600 nm;
Note 1:
LIDAR equipment ``specially designed'' for surveying is only
specified by 6A008.j.3.
Note 2:
6A008.j does not apply to LIDAR equipment ``specially
designed'' for meteorological observation.
Note 3:
Parameters in the IHO Order 1a Standard 5th Edition February
2008 are summarized as follows:
Horizontal Accuracy (95% Confidence Level) = 5 m + 5% of depth.
Depth Accuracy for Reduced Depths (95% confidence level) =
[radic](a2+(b*d)2) where:
a = 0.5 m = constant depth error, i.e. the sum of all constant depth
errors
[[Page 16504]]
b = 0.013 = factor of depth dependent error
b*d = depth dependent error, i.e. the sum of all depth dependent
errors
d = depth
Feature Detection = Cubic features >2 m in depths up to 40 m; 10% of
depth beyond 40 m
k. Having ``signal processing'' sub-systems using ``pulse
compression'' and having any of the following:
k.1. A ``pulse compression'' ratio exceeding 150; or
k.2. A compressed pulse width of less than 200 ns; or
Note:
6A008.k.2 does not apply to two dimensional `marine radar' or
`vessel traffic service' radar, having all of the following:
a. ``Pulse compression'' ratio not exceeding 150;
b. Compressed pulse width of greater than 30 ns;
c. Single and rotating mechanically scanned antenna;
d. Peak output power not exceeding 250 W; and
e. Not capable of ``frequency hopping''.
l. Having data processing sub-systems and having any of the
following:
l.1. `Automatic target tracking' providing, at any antenna
rotation, the predicted target position beyond the time of the next
antenna beam passage; or
Note:
6A008.l.1 does not control conflict alert capability in ATC
systems, or `marine radar'.
Technical Note:
`Automatic target tracking' is a processing technique that
automatically determines and provides as output an extrapolated
value of the most probable position of the target in real time.
1.2. [Reserved]
1.3. [Reserved]
1.4. Configured to provide superposition and correlation, or
fusion, of target data within six seconds from two or more
`geographically dispersed' radar sensors to improve the aggregate
performance beyond that of any single sensor specified by 6A008.f,
or 6A008.i.
Technical Note:
Sensors are considered `geographically dispersed' when each
location is distant from any other more than 1,500 m in any
direction. Mobile sensors are always considered `geographically
dispersed'.
N.B.:
See also the USML (22 CFR part 121).
Note:
6A008.l does not apply to systems, equipment and assemblies
designed for `vessel traffic services'.
Technical Notes:
1. For the purposes of 6A008, `marine radar' is a radar that is
used to navigate safely at sea, inland waterways or near-shore
environments.
2. For the purposes of 6A008, `vessel traffic service' is a
vessel traffic monitoring and control service similar to air traffic
control for ``aircraft.''
0
32. In supplement no. 1 to part 774, Category 9, ECCN 9A011 is revised
to read as follows:
9A011 Ramjet, scramjet or `combined cycle engines', and ``specially
designed'' ``parts'' and ``components'' therefor. (These items are
``subject to the ITAR.'' See 22 CFR parts 120 through 130.)
Technical Note:
For the purposes of 9A011, `combined cycle engines' combine two
or more of the following types of engines:
--Gas turbine engine (turbojet, turboprop and turbofan);
--Ramjet or scramjet;
--Rocket motor or engine (liquid/gel/solid-propellant and hybrid).
0
33. In supplement no. 1 to part 774, Category 9, ECCN 9D515 is revised
to read as follows:
9D515 ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, installation, maintenance, repair,
overhaul, or refurbishing of ``spacecraft'' and related commodities,
as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, RS, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry except 9D515.y. NS Column 1
RS applies to entire entry except 9D515.y. RS Column 1
RS applies to 9D515.y, except to Russia China, Russia, or Venezuela
for use in, with, or for the (see *Sec. 742.6(a)(7))
International Space Station (ISS),
including launch to the ISS.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: (1) Paragraph (c)(1) of License Exception STA (Sec.
740.20(c)(1) of the EAR) may not be used for 9D515.b, .d, or .e. (2)
Paragraph (c)(2) of License Exception STA (Sec. 740.20(c)(2) of the
EAR) may not be used for any ``software'' in 9D515.
List of Items Controlled
Related Controls: (1) ``Software'' directly related to articles
enumerated in USML Category XV is subject to the control of USML
paragraph XV(f). (2) See also ECCNs 3D001, 6D001, 6D002, and 6D991
for controls of specific ``software'' ``specially designed'' for
certain ``space-qualified'' items. (3) For ``software'' for items
listed in 9A004.d that are incorporated into ``spacecraft
payloads'', see the appropriate ``software'' ECCN within those
Categories.
Related Definitions: N/A
Items:
a. ``Software'' (other than ``software'' controlled in
paragraphs .b, .d, or .e of this entry) ``specially designed'' for
the ``development,'' ``production,'' operation, installation,
maintenance, repair, overhaul, or refurbishing of commodities
controlled by ECCN 9A515 (except 9A515.d or .e) or 9B515.
b. ``Source code'' that:
b.1. Contains the algorithms or control principles (e.g., for
clock management), precise orbit determination (e.g., for ephemeris
or pseudo range analysis), signal construct (e.g., pseudo-random
noise (PRN) anti-spoofing) ``specially designed'' for items
controlled by ECCN 9A515;
b.2. Is ``specially designed'' for the integration, operation,
or control of items controlled by ECCN 9A515;
b.3. Contains algorithms or modules ``specially designed'' for
system, subsystem, component, part, or accessory calibration,
manipulation, or control of items controlled by ECCN 9A515;
b.4. Is ``specially designed'' for data assemblage,
extrapolation, or manipulation of items controlled by ECCN 9A515;
b.5. Contains the algorithms or control laws ``specially
designed'' for attitude, position, or flight control of items
controlled in ECCN 9A515; or
b.6. Is ``specially designed ``for built-in test and diagnostics
for items controlled by ECCN 9A515.
c. [Reserved]
d. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, failure analysis or anomaly resolution of
commodities controlled by ECCN 9A515.d.
e. ``Software'' ``specially designed'' for the ``development,''
``production,'' operation, failure analysis or anomaly resolution of
commodities controlled by ECCN 9A515.e.
f. through x. [Reserved]
y. Specific ``software'' ``specially designed'' for the
``development,'' ``production,'' operation, or maintenance of
commodities enumerated in ECCN 9A515.y.
0
34. In supplement no. 1 to part 774, Category 9, ECCN 9E003 is revised
to read as follows:
9E003 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, SI, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
SI applies to 9E003.a.1 through a.8, .h, See Sec. 742.14 of the EAR
.i, and .k. for additional information
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
[[Page 16505]]
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
``technology'' in 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or 9E003.h
to any of the destinations listed in Country Group A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) Hot section ``technology'' specifically
designed, modified, or equipped for military uses or purposes, or
developed principally with Department of Defense funding, is
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2)
``Technology'' is subject to the EAR when actually applied to a
commercial ``aircraft'' engine program. Exporters may seek to
establish commercial application either on a case-by-case basis
through submission of documentation demonstrating application to a
commercial program in requesting an export license from the
Department Commerce in respect to a specific export, or in the case
of use for broad categories of ``aircraft,'' engines, ``parts'' or
``components,'' a commodity jurisdiction determination from the
Department of State.
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following gas turbine engine ``parts,''
``components'' or systems:
a.1. Gas turbine blades, vanes or ``tip shrouds'', made from
directionally solidified (DS) or single crystal (SC) alloys and
having (in the 001 Miller Index Direction) a stress-rupture life
exceeding 400 hours at 1,273 K (1,000 [deg]C) at a stress of 200
MPa, based on the average property values;
Technical Note:
For the purposes of 9E003.a.1, stress-rupture life testing is
typically conducted on a test specimen.
a.2. Combustors having any of the following:
a.2.a. `Thermally decoupled liners' designed to operate at
`combustor exit temperature' exceeding 1,883K (1,610 [deg]C);
a.2.b. Non-metallic liners;
a.2.c. Non-metallic shells; or
a.2.d. Liners designed to operate at `combustor exit
temperature' exceeding 1,883K (1,610 [deg]C) and having holes that
meet the parameters specified by 9E003.c;
Note:
The ``required'' ``technology'' for holes in 9E003.a.2 is
limited to the derivation of the geometry and location of the holes.
Technical Notes:
1. `Thermally decoupled liners' are liners that feature at least
a support structure designed to carry mechanical loads and a
combustion facing structure designed to protect the support
structure from the heat of combustion. The combustion facing
structure and support structure have independent thermal
displacement (mechanical displacement due to thermal load) with
respect to one another, i.e., they are thermally decoupled.
2. `Combustor exit temperature' is the bulk average gas path
total (stagnation) temperature between the combustor exit plane and
the leading edge of the turbine inlet guide vane (i.e., measured at
engine station T40 as defined in SAE ARP 755A) when the engine is
running in a ``steady state mode'' of operation at the certificated
maximum continuous operating temperature.
N.B.:
See 9E003.c for ``technology'' ``required'' for manufacturing
cooling holes.
a.3. ``Parts'' or ``components,'' that are any of the following:
a.3.a. Manufactured from organic ``composite'' materials
designed to operate above 588 K (315 [deg]C);
a.3.b. Manufactured from any of the following:
a.3.b.1. Metal ``matrix'' ``composites'' reinforced by any of
the following:
a.3.b.1.a. Materials controlled by 1C007;
a.3.b.1.b. ``Fibrous or filamentary materials'' specified by
1C010; or
a.3.b.1.c. Aluminides specified by 1C002.a; or
a.3.b.2. Ceramic ``matrix'' ``composites'' specified by 1C007;
or
a.3.c. Stators, vanes, blades, tip seals (shrouds), rotating
blings, rotating blisks or `splitter ducts', that are all of the
following:
a.3.c.1. Not specified in 9E003.a.3.a;
a.3.c.2. Designed for compressors or fans; and
a.3.c.3. Manufactured from material controlled by 1C010.e with
resins controlled by 1C008;
Technical Note:
A `splitter duct' performs the initial separation of the air-
mass flow between the bypass and core sections of the engine.
a.4. Uncooled turbine blades, vanes or ``tip shrouds'' designed
to operate at a `gas path temperature' of 1,373 K (1,100 [deg]C) or
more;
a.5. Cooled turbine blades, vanes or ``tip-shrouds'', other than
those described in 9E003.a.1, designed to operate at a `gas path
temperature' of 1,693 K (1,420 [deg]C) or more;
Technical Note:
`Gas path temperature' is the bulk average gas path total
(stagnation) temperature at the leading edge plane of the turbine
component when the engine is running in a ``steady state mode'' of
operation at the certificated or specified maximum continuous
operating temperature.
a.6. Airfoil-to-disk blade combinations using solid state
joining;
a.7. [Reserved]
a.8. `Damage tolerant' gas turbine engine rotor ``parts'' or
``components'' using powder metallurgy materials controlled by
1C002.b; or
Technical Note:
`Damage tolerant' ``parts'' and ``components'' are designed
using methodology and substantiation to predict and limit crack
growth.
a.9. [Reserved]
N.B.:
For ``FADEC systems'', see 9E003.h.
a.10. [Reserved]
N.B.:
For adjustable flow path geometry, see 9E003.i.
a.11. `Fan blades' having all of the following:
a.11.a. 20% or more of the total volume being one or more closed
cavities containing vacuum or gas only; and
a.11.b. One or more closed cavities having a volume of 5 cm\3\
or larger;
Technical Note:
For the purposes of 9E003.a.11, a `fan blade' is the aerofoil
portion of the rotating stage or stages, which provide both
compressor and bypass flow in a gas turbine engine.
b. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following:
b.1. Wind tunnel aero-models equipped with non-intrusive sensors
capable of transmitting data from the sensors to the data
acquisition system; or
b.2. ``Composite'' propeller blades or prop-fans, capable of
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
c. ``Technology'' ``required'' for manufacturing cooling holes,
in gas turbine engine ``parts'' or ``components'' incorporating any
of the ``technologies'' specified by 9E003.a.1, 9E003.a.2 or
9E003.a.5, and having any of the following:
c.1. Having all of the following:
c.1.a. Minimum `cross-sectional area' less than 0.45 mm\2\;
c.1.b. `Hole shape ratio' greater than 4.52; and
c.1.c. `Incidence angle' equal to or less than 25[deg]; or
c.2. Having all of the following:
c.2.a. Minimum `cross-sectional area' less than 0.12 mm\2\;
c.2.b. `Hole shape ratio' greater than 5.65; and
c.2.c. `Incidence angle' more than 25[deg];
Note:
9E003.c does not apply to ``technology'' for manufacturing
constant radius cylindrical holes that are straight through and
enter and exit on the external surfaces of the component.
Technical Notes:
1. For the purposes of 9E003.c, the `cross-sectional area' is
the area of the hole in the plane perpendicular to the hole axis.
2. For the purposes of 9E003.c, `hole shape ratio' is the
nominal length of the axis of the hole divided by the square root of
its minimum `cross-sectional area'.
3. For the purposes of 9E003.c, `incidence angle' is the acute
angle measured between the plane tangential to the airfoil surface
and the hole axis at the point where the hole axis enters the
airfoil surface.
4. Techniques for manufacturing holes in 9E003.c include
``laser'' beam machining, water jet machining, Electro-Chemical
Machining (ECM).
d. ``Technology'' ``required'' for the ``development'' or
``production'' of helicopter power transfer systems or tilt rotor or
tilt wing ``aircraft'' power transfer systems;
e. ``Technology'' for the ``development'' or ``production'' of
reciprocating diesel engine ground vehicle propulsion systems having
all of the following:
e.1. `Box volume' of 1.2 m\3\ or less;
e.2. An overall power output of more than 750 kW based on 80/
1269/EEC, ISO 2534 or national equivalents; and
e.3. Power density of more than 700 kW/m\3\ of `box volume';
Technical Note:
`Box volume' is the product of three perpendicular dimensions
measured in the following way:
Length: The length of the crankshaft from front flange to
flywheel face;
[[Page 16506]]
Width: The widest of any of the following:
a. The outside dimension from valve cover to valve cover;
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of any of the following:
a. The dimension of the crankshaft center-line to the top plane
of the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ``Technology'' ``required'' for the ``production'' of
``specially designed'' ``parts'' or ``components'' for high output
diesel engines, as follows:
f.1. ``Technology'' ``required'' for the ``production'' of
engine systems having all of the following ``parts'' and
``components'' employing ceramics materials controlled by 1C007:
f.1.a Cylinder liners;
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other ``part'' or ``component'' (including
exhaust ports, turbochargers, valve guides, valve assemblies or
insulated fuel injectors);
f.2. ``Technology'' ``required'' for the ``production'' of
turbocharger systems with single-stage compressors and having all of
the following:
f.2.a. Operating at pressure ratios of 4:1 or higher;
f.2.b. Mass flow in the range from 30 to 130 kg per minute; and
f.2.c. Variable flow area capability within the compressor or
turbine sections;
f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a ``specially designed'' multifuel (e.g.,
diesel or jet fuel) capability covering a viscosity range from
diesel fuel (2.5 cSt at 310.8 K (37.8 [deg]C)) down to gasoline fuel
(0.5 cSt at 310.8 K (37.8 [deg]C)) and having all of the following:
f.3.a. Injection amount in excess of 230 mm\3\ per injection per
cylinder; and
f.3.b. Electronic control features ``specially designed'' for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
g. ``Technology'' ``required'' for the development'' or
``production'' of `high output diesel engines' for solid, gas phase
or liquid film (or combinations thereof) cylinder wall lubrication
and permitting operation to temperatures exceeding 723 K (450
[deg]C), measured on the cylinder wall at the top limit of travel of
the top ring of the piston;
Technical Note:
`High output diesel engines' are diesel engines with a specified
brake mean effective pressure of 1.8 MPa or more at a speed of 2,300
r.p.m., provided the rated speed is 2,300 r.p.m. or more.
h. ``Technology'' for gas turbine engine ``FADEC systems'' as
follows:
h.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' necessary for the
``FADEC system'' to regulate engine thrust or shaft power (e.g.,
feedback sensor time constants and accuracies, fuel valve slew
rate);
h.2. ``Development'' or ``production'' ``technology'' for
control and diagnostic ``parts'' or ``components'' unique to the
``FADEC system'' and used to regulate engine thrust or shaft power;
h.3. ``Development'' ``technology'' for the control law
algorithms, including ``source code'', unique to the ``FADEC
system'' and used to regulate engine thrust or shaft power;
Note:
9E003.h does not apply to technical data related to engine-
``aircraft'' integration required by civil aviation authorities of
one or more Wassenaar Arrangement Participating States (see
Supplement No. 1 to part 743 of the EAR) to be published for general
airline use (e.g., installation manuals, operating instructions,
instructions for continued airworthiness) or interface functions
(e.g., input/output processing, airframe thrust or shaft power
demand).
i. ``Technology'' for adjustable flow path systems designed to
maintain engine stability for gas generator turbines, fan or power
turbines, or propelling nozzles, as follows:
i.1. ``Development'' ``technology'' for deriving the functional
requirements for the ``parts'' or ``components'' that maintain
engine stability;
i.2. ``Development'' or ``production'' ``technology'' for
``parts'' or ``components'' unique to the adjustable flow path
system and that maintain engine stability;
i.3. ``Development'' ``technology'' for the control law
algorithms, including ``source code'', unique to the adjustable flow
path system and that maintain engine stability;
Note:
9E003.i does not apply to ``technology'' for any of the
following:
a. Inlet guide vanes;
b. Variable pitch fans or prop-fans;
c. Variable compressor vanes;
d. Compressor bleed valves; or
e. Adjustable flow path geometry for reverse thrust.
j. ``Technology'' ``required'' for the ``development'' of wing-
folding systems designed for fixed-wing ``aircraft'' powered by gas
turbine engines.
N.B.:
For ``technology'' ``required'' for the ``development'' of wing-
folding systems designed for fixed-wing ``aircraft'' specified in
USML Category VIII (a), see USML Category VIII (i).
k. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.8, a.10, and .h and used in the ``development'', ``production'',
or overhaul of hot section ``parts'' or ``components'' of civil
derivatives of military engines controlled on the USML.
0
35. Supplement no. 6 to part 774 is amended in Category 1 by revising
paragraphs (1)(i) and (1)(vi) to read as follows:
Supplement No. 6 to Part 774--Sensitive List
* * * * *
(1) Category 1
(i) 1A002.a.1--``Composite'' structures or laminates made from
an organic ``matrix'' and ``fibrous or filamentary materials''
specified by 1C010.c or 1C010.d.
* * * * *
(vi) 1D002--``Software'' for the ``development'' of organic
``matrix'', metal ``matrix'', or carbon ``matrix'' laminates or
composites controlled under 1A002.a.1, 1C001, 1C007.c, 1C010.c,
1C010.d, or 1C012.
* * * * *
Matthew S. Borman,
Deputy Assistant Secretary for Export Administration.
[FR Doc. 2021-05481 Filed 3-26-21; 8:45 am]
BILLING CODE 3510-33-P
