Implementation of 2022 Wassenaar Arrangement Decisions and Request for Comments on License Exception Eligibility for Certain Supersonic Aero Gas Turbine Engine Component Technology
| Published date | 18 October 2023 |
| Record Number | 2023-22299 |
| Court | Industry And Security Bureau |
| Section | Rules and Regulations |
Federal Register, Volume 88 Issue 200 (Wednesday, October 18, 2023)
[Federal Register Volume 88, Number 200 (Wednesday, October 18, 2023)]
[Rules and Regulations]
[Pages 71932-71985]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-22299]
[[Page 71931]]
Vol. 88
Wednesday,
No. 200
October 18, 2023
Part II Department of Commerce----------------------------------------------------------------------- Bureau of Industry and Security-----------------------------------------------------------------------15 CFR Parts 734, 740, 742, et al.Implementation of 2022 Wassenaar Arrangement Decisions and Request for
Comments on License Exception Eligibility for Certain Supersonic Aero
Gas Turbine Engine Component Technology; Interim Final Rule
Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 /
Rules and Regulations
[[Page 71932]]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 734, 740, 742, 772, and 774
[Docket No. 230929-0236]
RIN 0694-AI95
Implementation of 2022 Wassenaar Arrangement Decisions and
Request for Comments on License Exception Eligibility for Certain
Supersonic Aero Gas Turbine Engine Component Technology
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Interim final rule, with request for comment.
-----------------------------------------------------------------------
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. During the December 2022 Wassenaar Arrangement
on Export Controls for Conventional Arms and Dual-Use Goods and
Technologies (WA) Plenary meeting, Participating States of the WA
(Participating States) made certain decisions affecting the WA dual-use
and munitions control lists, which BIS is now implementing via
amendments to the CCL. BIS seeks comments on restricting STA
eligibility for countries in EAR Country Group A:5 of certain
technology for the development of supersonic aero gas turbine engine
components controlled under ECCN 9E003.k, formerly controlled under
ECCN 9E001 as part of its ongoing assessment of current export control
licensing policy.
DATES: This rule is effective October 18, 2023. Comments specific to
ECCN 9E003.k must be received by BIS no later than December 4, 2023.
ADDRESSES: Comments on this rule may be submitted to the Federal
rulemaking portal (www.regulations.gov). The regulations.gov ID for
this rule is: BIS-2023-0025. Please refer to RIN 0694-AI95 in all
comments.
All filers using the portal should use the name of the person or
entity submitting the comments as the name of their files, in
accordance with the instructions below. Anyone submitting business
confidential information should clearly identify the business
confidential portion at the time of submission, file a statement
justifying nondisclosure and referring to the specific legal authority
claimed, and provide a non-confidential version of the submission.
For comments submitted electronically containing business
confidential information, the file name of the business confidential
version should begin with the characters ``BC.'' Any page containing
business confidential information must be clearly marked ``BUSINESS
CONFIDENTIAL'' on the top of that page. The corresponding non-
confidential version of those comments must be clearly marked
``PUBLIC.'' The file name of the non-confidential version should begin
with the character ``P.'' Any submissions with file names that do not
begin with either a ``BC'' or a ``P'' will be assumed to be public and
will be made publicly available through https://www.regulations.gov.
Commenters submitting business confidential information are encouraged
to scan a hard copy of the non-confidential version to create an image
of the file, rather than submitting a digital copy with redactions
applied, to avoid inadvertent redaction errors which could enable the
public to read business confidential information.
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: Sean Ghannadian at 202-482-3429 or
[email protected]
Category 3: Carlos Monroy at 202-482-3246 or [email protected]
Categories 4 & 5: Aaron Amundson or [email protected]
Categories 6: John Varesi at 202-482-1114 or [email protected]
Categories 7: David Rosenberg at 202-482-5987, John Varesi at 202-482-
1114 or [email protected] or [email protected]
Category 9: David Rosenberg at 202-482-5987, Jason Chauvin at 202-482-
6462 or [email protected] or [email protected]
``600 Series'' (munitions items): Jeffrey Leitz at 202-482-7417 or
[email protected]
SUPPLEMENTARY INFORMATION:
Background
The 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
conventional weapons. As a Participating State of the WA (Participating
State), the United States has committed to controlling for export all
items on the WA's List of Dual-Use Goods and Technologies (WA Dual-Use
List) and on the WA Munitions List (together, WA control lists). The WA
control lists were first established in 1996 and have been revised
annually thereafter. Participating States implement changes to the WA
control lists as soon as possible after the WA Plenary. By doing so in
a timely manner, the United States demonstrates its decisive support
for the goals of the WA, namely, that transfers do not contribute to
the development or enhancement of military capabilities or are not
diverted to support such capabilities. Timely implementation also
ensures that U.S. companies have a level playing field with their
competitors in other Participating States.
Revisions to the Commerce Control List Related to WA 2022 Plenary
Meeting Decisions
Revisions (14) ECCNs: 1B001, 4D001,4E001, 6A005, 6B007, 7A003,
7E004, 8A001, 8A002, 9A001, 9A003, 9E001, 9E002, and 9E003.
Editorial Revision to Technical Notes in (55) ECCNS: This rule adds
the phrase `For the purposes of' in various Technical Notes in singular
and plural form in ECCNs 1A004, 1A006, 1A007, 1A008, 1B001, 1C001,
1C002, 1C005, 1C008, 1C010, 1C011, 2A001, 2B004, 2B006, 2B008, 2B009,
2E003, 3A001, 3A002, 3B001, 3D003, 3D006, 3E001, 3E002, 4A004, 4D001,
4E001, 5A001, 5A002, 5A004, 6A001, 6A002, 6A003, 6A004, 6A005, 6A006,
6A007, 6A008, 6B007, 6C002, 6C005, 6D003, 6E003,7A004, 7A005, 7A006,
7B001, 7D002, 7E004, 8A002, 8C001, 8E002, 9A004, 9B005, and 9E003. The
intention of this revision is to ensure consistency among ECCNs.
1C010 ``Fibrous or Filamentary Materials''
This rule makes an editorial revision by adding a reference to
1C010.e.1.b to technical note 1 because both paragraphs e.1.b.1 and
e.1.b.2 use terms referenced in this technical note.
4D001 ``Software'' and 4E001 ``Technology''
In paragraphs 4D001.b.1 and 4E001.b.1, this rule changes the
parameters of Weighted TeraFLOPS (WT) from 15 to 24. This change is
made because processors with built-in hardware memory-coherent
interconnects allow groupings of up to 8 processors without any
additional
[[Page 71933]]
technical know-how, and it is widely believed that a single processor
will reach Adjusted Peak Performance (APP) levels of up to 2 WT in the
next year, and up to 2.5 WT by the 2025 timeframe. Thus, companies will
soon be able to build computers that exceed the current APP levels
without any additional technology. The corresponding technology and
software levels in License Exception APP (Section 740.7 of the EAR)
were adjusted in a final rule that implemented certain changes agreed
to at the December 2021 WA Plenary. See 88 FR 12108 (February 24,
2023). Thus, BIS is not making any additional adjustments to those
thresholds at this time.
6A005 ``Lasers'', ``Components'' and Optical Equipment
This rule raises the ``average output power'' parameter from ``50
W'' to ``80 W'' in 6A005.b.3.a.2. For the industrial applications that
use green lasers, the power level is a key factor in manufacturing
productivity. These applications require certain pulse energies for the
resultant processes. To enhance manufacturing productivity, the
repetition frequency for a given pulse energy must be increased,
thereby requiring an increase in the average output power. Today, the
average output power requirements for industrial green lasers exceed
the WA threshold of 50 W, and are expected to continue an upward trend
to more than 80 W. Companies outside of Participating States compete in
the industrial green laser market, for example, several Chinese
companies manufacture green lasers with average output power in the 50-
80 W range.
To accommodate increased demand for single-mode semiconductor laser
diodes, a decision was made during the WA 2022 Plenary to increase the
technical parameters for semiconductor lasers. Specifically, adjusting
the wavelength from 1,510 nm to 1,570 nm in 6A005.d.1.a.1 and d.1.a.2
groups these lasers with other semiconductor lasers with lower
sensitivity applications. As a result, the necessary output power
accommodation for automotive Light Detection and Ranging (LIDAR)
applications is achieved with a modest output power increase from 1.5 W
to 2.0 W in 6A005.d.1.a.1. Semiconductor lasers that fall within these
parameters, while very useful for automotive LIDAR, have limited
utility in military applications.
6A007 Gravity Meters (Gravimeters) and Gravity Gradiometers
A technical note to define `time-to-steady-state registration' is
added after paragraph 6A007.b.2, to harmonize this entry with the entry
on the WA Dual-Use List.
6B007 Equipment To Produce, Align and Calibrate Land-Based Gravity
Meters
This rule adds the word ``less'' to the heading of ECCN 6B007 to
clarify that an ``accuracy'' better than 0.1 mGal is less than 0.1
mGal.
7A003 `Inertial Measurement Equipment or Systems'
This rule moves the definition of `inertial measurement equipment
or systems' from Note 1 to a technical note, so that this entry is
consistent with other CCL entries in which definitions are set forth in
technical notes.
8A001 Submersible Vehicles and Surface Vessels
In paragraph 8A001.c.1.c, this rule adds the term `wireless' before
the term `optical data' to clarify that the reference is to
communications through water and to distinguish Remotely Operated
Vehicles (ROVs) having this capability from those designed to only use
a fiber optic data link.
8A002 Marine Systems, Equipment, ``Parts'' and ``Components''
In paragraphs 8A002.o.2.b and 8A002.o.2.c, this rule replaces the
term `engines' with `motors' before the term `propulsion.' While the
terms ``engines'' and ``motors'' are largely interchangeable, it was
determined that ``motor'' is more commonly used in the context of 8A002
items. In paragraph 8A002.o.4, this rule adds a new control for
permanent magnet propulsion systems (PM propulsion systems) to
adequately cover propulsion systems using permanent magnet motors,
including Rim Driven Propulsion systems (RDPs).
9A001 Aero Gas Turbine Engines, and Technology Therefor in 9E001 and
9E002
This rule revises 9A001, 9A003, 9E001, 9E002, and 9E003 to permit
the same civil certification release from 9A001 to 9A991 for supersonic
aero gas turbine engines that is available for subsonic aero gas
turbine engines.
The rule conforms with the decisions made at WA with regard to
9A001, specifically to combine 9A001.a and 9A001.b to allow for the
same exclusion when the engine is certified by type with a civil
certified supersonic aircraft. This rule revises the reference to
9A001.a in Notes 1 and 2 to read as 9A001, as 9A001.a is now the only
subparagraph in 9A001. Note 1 now excludes from 9A001 aero gas turbine
engines that power an ``aircraft'' to Mach 1 or higher for more than 30
minutes if the engines have been certified by an appropriate civil
aviation authority, and are intended to power an ``aircraft'' for which
a type certificate (or equivalent document) has been issued, as these
engines are now controlled under ECCN 9A991 for AT reasons. As a
conforming revision, the reference to 9A001.b is removed from the
headings of ECCNs 9E001 and 9E002, as well as from the license
requirements tables of these ECCNs. In addition, consistent with the
removal of 9A001.b from the CCL, as described above, this rule also
removes paragraphs (E) and (F) from Sec. 740.20(b)(2)(viii), which had
identified technology associated with 9A001.b that was ineligible for
export, reexport, and transfer (in-country) under License Exception
STA. Former paragraph (G) is redesignated as paragraph (E).
9A003 ``Specially Designed'' Assemblies or ``Components,''
Incorporating Any of the ``Technologies'' Controlled by 9E003.a,
9E003.h, 9E003.i, or 9E003.k, for Any of the Following Aero Gas Turbine
Engines
This rule adds paragraph 9E003.k to the heading of ECCN 9A003,
which expands the scope of control of assemblies and components under
this ECCN.
9E003 Other ``Technology'' as Specified
This rule makes a simple editorial change to remove the first comma
in 9E003.c after ``cooling holes'' that otherwise might bring confusion
to the control text. This rule also redesignates 9E003.k as 9E003.l and
adds a new paragraph 9E003.k to control specific technologies, formerly
controlled by 9E001, that are peculiarly responsible for the
development of an aero gas turbine engine that can enable an aircraft
to cruise at supersonic speeds (Mach 1 or greater) for more than 30
minutes. This technology addition to 9E003 addresses the
``development'' of systems and components that enable the engine and
aircraft to operate a supersonic speed. Because 9E003.k references
engine capability (which does not change with certification) this
important ``development'' technology will remain controlled even after
the engine enters civil operation. The license requirement table is
amended to reflect the redesignation of 9E003.k to
[[Page 71934]]
9E003.l to the SI control paragraph. Related revisions as a result of
this redesignation are made to Sec. Sec. 734.4(a)(4),
740.20(b)(2)(viii), 742.14(a), and the introductory text of 742.14(b).
The new 9E003.k technology for supersonic engines controls
development technology only. The associated production technology has
shifted from ECCN 9E002 to ECCN 9E991 and is designated as ``No License
Required'' (NLR) to all destinations or countries listed in Country
Group A:5 and A:6 (see supplement no. 1 to part 740 of the EAR).
The STA restrictions under 9E003 are revised by adding an ``or''
after 9E003.h and adding Country Group A:5 to harmonize with
740.20(b)(2) for 9E003. In addition, this rule adds a new STA
restriction paragraph for 9E003.k for Country Group A:6 in order to
maintain the STA restriction previously on ECCN 9E001 for ECCN
paragraph 9A001.b. As required by the Export Control Reform Act (ECRA)
(50 U.S.C. 4801-4852), BIS continually evaluates the control status of
a range of technologies, including those related to supersonic engines,
to effectively protect U.S. national security and foreign policy
interests. In light of the amendments to 9E001 and 9E003 implementing
the WA revisions, which identify technologies required for the
development of specific components or systems specially designed for
supersonic engines, BIS is seeking comment on whether to retain License
Exception STA eligibility for destinations specified in Country Group
A:5 of supplement no. 1 to part 740 of the EAR for the technology
specified in 9E003.k. We invite the public to comment on this issue
before the comment period closes. Information about how to comment is
provided in the Address section of this rule.
Part 772--Definitions of Terms
This rule revises the definition for ``intrusion software'' by
adding double quotes around the term ``program'' in paragraph (2) to
indicate it is a defined term in Sec. 772.1.
This rule notes the two occurrences of the term ``program'' that
did not have double quotation marks indicating it is a defined term in
Sec. 772.1 and corrects this omission in technical note 1 below
paragraph .g in ECCN 1B001 and in paragraph (2) in the definition of
``intrusion software'' in Sec. 772.1. This rule also amends the term
``program'' in Sec. 772.1 to add category 1 and 7 and remove category
2 from the categories where the term is used.
Supplement No. 6 to Part 774 Sensitive List
Paragraph 4 of supplement no. 6 to part 774 Sensitive List (SL) is
amended by removing paragraphs (ii) 4D001 and (iii) 4E001. This change
is being made as a consequence of the raising of the APP thresholds in
4D001 and 4E001. This rule implements the WA 2022 Plenary determination
that high performance computer technology and software do not merit the
same level of sensitivity as other items on the SL.
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 October 18, 2023, 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 December
18, 2023. Any such items not actually exported, reexported or
transferred (in-country) before midnight, on December 18, 2023, require
a license in accordance with this interim final rule.
Export Control Reform Act of 2018
On August 13, 2018, the President signed into law the John S.
McCain National Defense Authorization Act for Fiscal Year 2019, which
included the Export Control Reform Act (ECRA), 50 U.S.C. 4801-4852.
ECRA, as amended, provides the legal basis for BIS's principal
authorities and serves as the authority under which BIS issues this
rule.
Rulemaking Requirements
1. Executive Orders 12866, 13563, and 14094 direct agencies to
assess all costs and benefits of available regulatory alternatives and,
if regulation is necessary, to select regulatory approaches that
maximize net benefits (including potential economic, environmental,
public health and safety effects and distributive impacts and equity).
Executive Order 13563 emphasizes the importance of quantifying both
costs and benefits and of reducing costs, harmonizing rules, and
promoting flexibility.
This interim final rule has been designated a ``significant
regulatory action'' under section 3(f) of Executive Order 12866, as
amended by Executive Order 14094. This rule does not contain policies
with Federalism implications as that term is defined under Executive
Order 13132.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid Office of Management and Budget (OMB) Control Number. Although
this rule makes important changes to the EAR for items controlled for
national security reasons, BIS believes that the overall increases in
burdens and costs associated with the following information collections
due to this rule will be minimal.
0694-0088, ``Simplified Network Application Processing
System,'' 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.
Additional information regarding these collections of information--
including all background materials--can be found at https://www.reginfo.gov/public/do/PRAMain and using the search function to
enter either the title of the collection or the OMB Control Number.
3. Pursuant to Section 1762 of ECRA (50 U.S.C. 4821), this action
is exempt from the Administrative Procedure Act (APA) (5 U.S.C. 553)
requirements for notice of proposed rulemaking, opportunity for public
participation and delay in effective date.
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.
15 CFR Part 742
Exports, Terrorism.
[[Page 71935]]
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements, Terrorism.
Accordingly, parts 734, 740, 742, 772 and 774 of the Export
Administration Regulations (15 CFR parts 730-774) are amended as
follows:
PART 734--SCOPE OF THE EXPORT ADMINISTRATION REGULATIONS
0
1. The authority citation for part 734 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. 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 8, 2022, 87 FR 68015 (November 10, 2022).
0
2. Section 734.4 is amended to revise paragraph (a)(4) to read as
follows:
Sec. 734.4 De Minimis U.S. content.
(a) * * *
(4) There is no de minimis level for U.S.-origin technology
controlled by ECCN 9E003.a.1 through a.6, a.8, .h, .i, and .l, when
redrawn, used, consulted, or otherwise commingled abroad.
* * * * *
PART 740--LICENSE EXCEPTIONS
0
3. 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
4. Section 740.20 is amended by revising paragraph (b)(2)(viii) to read
as follows:
Sec. 740.20 License Exception Strategic Trade Authorization (STA).
* * * * *
(b) * * *
(2) * * *
(viii) Commerce Control List Category 9 limitations on use of
License Exception STA.
(A) License Exception STA may not be used for 9B001 when destined
to a country in Country Group A:6.
(B) License Exception STA may not be used for 9D001 or 9D002
``software'' that is ``specially designed'' or modified for the
``development'' or ``production'' of:
(1) Components of engines controlled by ECCN 9A001 if such
components incorporate any of the ``technologies'' controlled by
9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c,
9E003.h, or 9E003.i (other than technology for fan or power turbines);
or
(2) Equipment controlled by 9B001.
(C) License Exception STA may not be used for 9D001 ``software''
that is ``specially designed'' or modified for the ``development'' of
``technology'' controlled by 9E003.a.1, 9E003.a.2, 9E003.a.3,
9E003.a.4, 9E003.a.5, 9E003.c, 9E003.h, or 9E003.i (other than
technology for fan or power turbines).
(D) License Exception STA may not be used for 9D004.f or 9D004.g
``software''.
(E) License Exception STA may not be used for ``technology'' in
9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c,
9E003.h, or 9E003.i (other than technology for fan or power turbines).
* * * * *
PART 742--CONTROL POLICY--CCL BASED CONTROLS
0
5. The authority citation for part 742 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. 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 8, 2022, 87 FR 68015 (November 10,
2022).
0
6. Section 742.14 is amended by revising paragraphs (a) and (b)
introductory text to read as follows:
Sec. 742.14 Significant items: hot section technology for the
development, production or overhaul of commercial aircraft engines,
components, and systems.
(a) License requirement. Licenses are required for all
destinations, except Canada, for ECCNs having an ``SI'' under the
``Reason for Control'' paragraph. These items include hot section
technology for the development, production or overhaul of commercial
aircraft engines controlled under ECCN 9E003.a.1 through a.6, a.8, .h,
.i, and .l, and related controls.
(b) Licensing policy. Pursuant to section 6 of the Export
Administration Act of 1979, as amended, foreign policy controls apply
to technology required for the development, production or overhaul of
commercial aircraft engines controlled by ECCN 9E003a.1 through a.6,
a.8, .h, .i, and .l, and related controls. These controls supplement
the national security controls that apply to these items. Applications
for export and reexport to all destinations will be reviewed on a case-
by-case basis to determine whether the export or reexport is consistent
with U.S. national security and foreign policy interests. The following
factors are among those that will be considered to determine what
action will be taken on license applications:
* * * * *
PART 772--DEFINITIONS OF TERMS
0
7. 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
8. Section 772.1 is amended by revising the definitions for ``Intrusion
software'' and ``Program'' to read as follows:
Sec. 772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).
* * * * *
Intrusion software. (5P2) ``Software'' specially designed or
modified to avoid detection by `monitoring tools', or to defeat
`protective countermeasures', of a computer or network-capable device,
and performing any of the following:
(1) The extraction of data or information, from a computer or
network-capable device, or the modification of system or user data; or
(2) The modification of the standard execution path of a
``program'' or process in order to allow the execution of externally
provided instructions.
Note 1 to ``Intrusion Software'' Definition: ``Intrusion software''
does not include any of the following: Hypervisors, debuggers or
Software Reverse Engineering (SRE) tools; Digital Rights Management
(DRM) ``software''; or ``Software'' designed to be installed by
manufacturers, administrators or users, for the purposes of asset
tracking or recovery.
Note 2 to ``Intrusion Software'' Definition: Network-capable
devices include mobile devices and smart meters.
Technical note 1 to ``Intrusion Software'' Definition: `Monitoring
tools': ``software'' or hardware devices, that monitor system behaviors
or processes running on a device. This includes antivirus (AV)
products, end point security products, Personal Security Products
(PSP), Intrusion Detection Systems (IDS), Intrusion Prevention Systems
(IPS) or firewalls.
[[Page 71936]]
Technical note 2 to ``Intrusion Software'' Definition: `Protective
countermeasures': techniques designed to ensure the safe execution of
code, such as Data Execution Prevention (DEP), Address Space Layout
Randomization (ASLR) or sandboxing.
* * * * *
Program. (Cat 1, 4, 6, and 7)--A sequence of instructions to carry
out a process in, or convertible into, a form executable by an
electronic computer.
PART 774--THE COMMERCE CONTROL LIST
0
9. 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.
0
10. In supplement no. 1 to part 774, ECCNs 1A004, 1A006, 1A007, 1A008,
1B001, 1C001, 1C002, 1C003, 1C005, 1C008, 1C010, 1C011, 2A001, 2B004,
2B006, 2B008, 2B009, 2E003, 3A001, 3A002, 3B001, 3D003, 3D006, 3E001,
3E002, 4A004, 4D001, 4E001, 5A001, 5A002, 5A004, 6A001, 6A002, 6A003,
6A004, 6A005, 6A006, 6A007, 6A008, 6B007, 6C002, 6C005, 6D003, 6E003,
7A003, 7A004, 7A005, 7A006, 7B001, 7D002, 7E004, 8A001, 8A002, 8C001,
8E002, 9A001, 9A003, 9A004, 9A005, 9B005, 9E001, 9E002, and 9E003 are
revised to read as follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
1A004 Protective and detection equipment and ``components'', not
``specially designed'' for military use, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, CB, RS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
CB applies to chemical detection systems CB Column 2
and dedicated detectors therefor, in
1A004.c, that also have the technical
characteristic.
RS apply to 1A004.d....................... RS Column 2
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: Yes for 1A004.a, .b, and .c.2.
List of Items Controlled
Related Controls: (1) See ECCNs 1A995, 2B351, and 2B352. (2) See
ECCN 1D003 for ``software'' ``specially designed'' or modified to
enable equipment to perform the functions of equipment controlled
under section 1A004.c (Nuclear, biological, and chemical (NBC)
detection systems). (3) See ECCN 1E002.g for control libraries
(parametric technical databases) ``specially designed'' or modified
to enable equipment to perform the functions of equipment controlled
under 1A004.c (Nuclear, biological, and chemical (NBC) detection
systems). (4) Chemical and biological protective and detection
equipment specifically designed, developed, modified, configured, or
adapted for military applications is ``subject to the ITAR'' (see 22
CFR parts 120 through 130, including USML Category XIV(f)), as is
commercial equipment that incorporates ``parts'' or ``components''
controlled under that category except for domestic preparedness
devices for individual protection that integrate ``components'' and
``parts'' identified in USML Category XIV(f)(4) when such ``parts''
or ``components'' are: Integral to the device; inseparable from the
device; and incapable of replacement without compromising the
effectiveness of the device, in which case the equipment is subject
to the export licensing jurisdiction of the Department of Commerce
under ECCN 1A004. (5) This entry does not control radionuclides
incorporated in equipment listed in this entry--such materials are
subject to the licensing jurisdiction of the Nuclear Regulatory
Commission (See 10 CFR part 110).
Related Definitions: (1) `Biological agents' means: pathogens or
toxins, selected or modified (such as altering purity, shelf life,
virulence, dissemination characteristics, or resistance to UV
radiation) to produce casualties in humans or animals, degrade
equipment or damage crops or the environment. (2) `Riot control
agents' are substances which, under the expected conditions of use
for riot control purposes, produce rapidly in humans sensory
irritation or disabling physical effects which disappear within a
short time following termination of exposure. (Tear gases are a
subset of `riot control agents.')
Items:
a. Full face masks, filter canisters and decontamination
equipment therefor, designed or modified for defense against any of
the following, and ``specially designed'' ``components'' therefor:
Note: 1A004.a includes Powered Air Purifying Respirators (PAPR)
that are designed or modified for defense against agents or
materials, listed in 1A004.a.
Technical Notes: For the purposes of 1A004.a:
1. Full face masks are also known as gas masks.
2. Filter canisters include filter cartridges.
a.1. `Biological agents';
a.2. `Radioactive materials';
a.3. Chemical warfare (CW) agents; or
a.4. `Riot control agents', as follows:
a.4.a. [alpha]-Bromobenzeneacetonitrile, (Bromobenzyl cyanide)
(CA) (CAS 5798-79-8);
a.4.b. [(2-chlorophenyl) methylene] propanedinitrile, (o-
Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);
a.4.c. 2-Chloro-1-phenylethanone, Phenylacyl chloride ([omega]-
chloroacetophenone) (CN) (CAS 532-27-4);
a.4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);
a.4.e. 10-Chloro-5, 10-dihydrophenarsazine, (Phenarsazine
chloride), (Adamsite), (DM) (CAS 578-94-9);
a.4.f. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
b. Protective suits, gloves and shoes, ``specially designed'' or
modified for defense against any of the following:
b.1. `Biological agents';
b.2. `Radioactive materials'; or
b.3. Chemical warfare (CW) agents;
c. Detection systems, ``specially designed'' or modified for
detection or identification of any of the following, and ``specially
designed'' ``components'' therefor:
c.1. `Biological agents';
c.2. `Radioactive materials'; or
c.3. Chemical warfare (CW) agents;
d. Electronic equipment designed for automatically detecting or
identifying the presence of ``explosives'' (as listed in the annex
at the end of Category 1) residues and utilizing `trace detection'
techniques (e.g., surface acoustic wave, ion mobility spectrometry,
differential mobility spectrometry, mass spectrometry).
Technical Note: For the purposes of 1A004.d, `trace detection'
is defined as the capability to detect less than 1 ppm vapor, or 1
mg solid or liquid.
Note 1: 1A004.d does not apply to equipment ``specially
designed'' for laboratory use.
Note 2: 1A004.d does not apply to non-contact walk-through
security portals.
Note: 1A004 does not control:
a. Personal radiation monitoring dosimeters;
b. Occupational health or safety equipment limited by design or
function to protect against hazards specific to residential safety
or civil industries, including:
1. Mining;
2. Quarrying;
3. Agriculture;
4. Pharmaceutical;
5. Medical;
6. Veterinary;
7. Environmental;
8. Waste management;
9. Food industry.
Technical Notes:
1. 1A004 includes equipment, ``components'' that have been
`identified,' successfully tested to national standards or otherwise
proven effective, for the detection of or defense against
`radioactive materials' `biological agents,' chemical warfare
agents, `simulants' or ``riot control agents,'' even if such
equipment or ``components'' are used in civil industries such as
mining, quarrying,
[[Page 71937]]
agriculture, pharmaceuticals, medical, veterinary, environmental,
waste management, or the food industry.
2. `Simulant': A substance or material that is used in place of
toxic agent (chemical or biological) in training, research, testing
or evaluation.
3. For the purposes of 1A004, `radioactive materials' are those
selected or modified to increase their effectiveness in producing
casualties in humans or animals, degrading equipment or damaging
crops or the environment.
* * * * *
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 purposes 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.
1A007 Equipment and devices, ``specially designed'' to initiate
charges and devices containing ``energetic materials,'' by
electrical means, 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 1A007.b, as well as 1A007.a NP Column 1
when the detonator firing set meets or
exceeds the parameters of 3A229.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: High explosives and related equipment ``specially
designed'' for military use are ``subject to the ITAR'' (see 22 CFR
parts 120 through 130). This entry does not control detonators using
only primary explosives, such as lead azide. See also ECCNs 0A604,
3A229, and 3A232. See 1E001 for ``development'' and ``production''
technology controls, and 1E201 for ``use'' technology controls.
Related Definitions: N/A
Items:
a. Explosive detonator firing sets designed to drive explosive
detonators specified by 1A007.b;
b. Electrically driven explosive detonators as follows:
b.1. Exploding bridge (EB);
b.2. Exploding bridge wire (EBW);
b.3. Slapper;
b.4. Exploding foil initiators (EFI).
Technical Notes:
1. The word initiator or igniter is sometimes used in place of
the word detonator.
2. For the purposes of 1A007.b, the detonators of concern all
utilize a small electrical conductor (bridge, bridge wire, or foil)
that explosively vaporizes when a fast, high-current electrical
pulse is passed through it. In non slapper types, the exploding
conductor starts a chemical detonation in a contacting high
explosive material such as PETN (pentaerythritoltetranitrate). In
slapper detonators, the explosive vaporization of the electrical
conductor drives a flyer or slapper across a gap, and the impact of
the slapper on an explosive starts a chemical detonation. The
slapper in some designs is driven by magnetic force. The term
exploding foil detonator may refer to either an EB or a slapper-type
detonator.
1A008 Charges, devices and ``components'', 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
AT applies to entire entry................ AT Column 1
UN applies to entire entry................ See Sec. 746.1(b) for UN
controls.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3,000 for .a through .c; $6,000 for .d.
GBS: N/A
List of Items Controlled
Related Controls: (1) All of the following are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130):
a. High explosives and related equipment ``specially designed''
for military use;
b. Explosive devices or charges in this entry that utilize USML
controlled energetic materials (See 22 CFR 121.1 Category V), if
they have been specifically designed, developed, configured,
adapted, or modified for a military application;
c. Shaped charges that have all of the following a uniform
shaped conical liner with an included angle of 90 degrees or less,
more than 2.0 kg of controlled materials, and a diameter exceeding
4.5 inches;
d. Detonating cord containing greater than 0.1 kg per meter (470
grains per foot) of controlled materials;
e. Cutters and severing tools containing greater than 10 kg of
controlled materials;
f. With the exception of cutters and severing tools, devices or
charges controlled by this entry where the USML controlled materials
can be easily extracted without destroying the device or charge; and
g. Individual USML controlled energetic materials in this entry,
even when compounded with other materials, when not incorporated
into explosive devices or charges controlled by this entry or 1C992.
(2) See also ECCNs 1C011, 1C018, 1C111, 1C239, and 1C608 for
additional controlled energetic materials. See ECCN 1E001 for the
``development'' or ``production'' ``technology'' for the commodities
controlled by ECCN 1A008, but not for explosives or commodities that
are ``subject to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items:
a. `Shaped charges' having all of the following:
a.1. Net Explosive Quantity (NEQ) greater than 90 g; and
a.2. Outer casing diameter equal to or greater than 75 mm;
b. Linear shaped cutting charges having all of the following,
and ``specially designed'' ``components'' therefor:
b.1. An explosive load greater than 40 g/m; and
b.2. A width of 10 mm or more;
c. Detonating cord with explosive core load greater than 64 g/m;
d. Cutters, not specified by 1A008.b, and severing tools, having
a NEQ greater than 3.5 kg.
Technical Note: For the purposes of 1A008.a, `shaped charges'
are explosive
[[Page 71938]]
charges shaped to focus the effects of the explosive blast.
Note: The only charges and devices specified in 1A008 are those
containing ``explosives'' (see list of explosives in the Annex at
the end of Category 1) and mixtures thereof.
* * * * *
1B001 Equipment for the production or inspection of ``composite''
structures or laminates controlled by 1A002 or ``fibrous or
filamentary materials'' controlled by 1C010, as follows (see List of
Items Controlled), and ``specially designed'' ``components'' and
``accessories'' therefor.
License Requirements
Reason for Control: NS, MT, NP, AT
Country chart (see supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to entire entry, except MT Column 1
1B001.d.4, e and f. Note: MT applies to
equipment in 1B001.d that meet or exceed
the parameters of 1B101.
NP applies to filament winding machines NP Column 1.
described in 1B001.a that are capable of
winding cylindrical rotors having a
diameter between 75 mm (3 in) and 400 mm
(16 in) and lengths of 600 mm (24 in) or
greater; AND coordinating and programming
controls and precision mandrels for these
filament winding machines.
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 MT and for 1B001.a; $5000 for all other items
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 1D001 for software for items
controlled by this entry and see ECCNs 1E001 (``development'' and
``production'') and 1E101 (``use'') for technology for items
controlled by this entry. (2) Also see ECCNs 1B101 and 1B201.
Related Definitions: N/A
Items:
a. Filament winding machines, of which the motions for
positioning, wrapping and winding fibers are coordinated and
programmed in three or more `primary servo positioning' axes,
``specially designed'' for the manufacture of ``composite''
structures or laminates, from ``fibrous or filamentary materials'';
b. `Tape laying machines', of which the motions for positioning
and laying tape are coordinated and programmed in five or more
`primary servo positioning' axes, ``specially designed'' for the
manufacture of ``composite'' airframe or missile structures;
Technical Note: For the purposes of 1B001.b, `tape-laying
machines' have the ability to lay one or more `filament bands'
limited to widths greater than 25.4 mm and less than or equal to
304.8 mm, and to cut and restart individual `filament band' courses
during the laying process.
c. Multidirectional, multidimensional weaving machines or
interlacing machines, including adapters and modification kits,
``specially designed'' or modified for weaving, interlacing or
braiding fibers for ``composite'' structures;
Technical Note: For the purposes of 1B001.c the technique of
interlacing includes knitting.
d. Equipment ``specially designed'' or adapted for the
production of reinforcement fibers, as follows:
d.1. Equipment for converting polymeric fibers (such as
polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon
fibers or silicon carbide fibers, including special equipment to
strain the fiber during heating;
d.2. Equipment for the chemical vapor deposition of elements or
compounds, on heated filamentary substrates, to manufacture silicon
carbide fibers;
d.3. Equipment for the wet-spinning of refractory ceramics (such
as aluminum oxide);
d.4. Equipment for converting aluminum containing precursor
fibers into alumina fibers by heat treatment;
e. Equipment for producing prepregs controlled by 1C010.e by the
hot melt method;
f. Non-destructive inspection equipment ``specially designed''
for ``composite'' materials, as follows:
f.1. X-ray tomography systems for three dimensional defect
inspection;
f.2. Numerically controlled ultrasonic testing machines of which
the motions for positioning transmitters or receivers are
simultaneously coordinated and programmed in four or more axes to
follow the three dimensional contours of the ``part'' or
``component'' under inspection;
g. Tow-placement machines, of which the motions for positioning
and laying tows are coordinated and programmed in two or more
`primary servo positioning' axes, ``specially designed'' for the
manufacture of ``composite'' airframe or missile structures.
Technical Note to 1B001.g: For the purposes of 1B001.g, `tow-
placement machines' have the ability to place one or more `filament
bands' having widths less than or equal to 25.4 mm, and to cut and
restart individual `filament band' courses during the placement
process.
Technical Notes for 1B001:
1. For the purposes of 1B001, `primary servo positioning' axes
control, under computer ``program'' direction, the position of the
end effector (i.e., head) in space relative to the work piece at the
correct orientation and direction to achieve the desired process.
2. For the purposes of 1B001, a `filament band' is a single
continuous width of fully or partially resin-impregnated tape, tow
or fiber. Fully or partially resin-impregnated `filament bands'
include those coated with dry powder that tacks upon heating.
* * * * *
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
[[Page 71939]]
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: For the purposes of 1C001.a Note 1.c.1,
absorption test samples 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: For the purposes of 1C001.a Note e., `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: For the purposes of 1C001.c, `bulk electrical
conductivity' and `sheet (surface) resistivity' should be determined
using ASTM D-257 or national equivalents.
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
``especially 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: For the purposes of 1C002, metal alloys are
those containing a higher percentage by weight of the stated metal
than of any other element.
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;
Technical Notes: For the purposes of 1C002.b:
1. `Stress-rupture life' should be measured in accordance with
ASTM standard E-139 or national equivalents.
2. `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.
c. Metal alloy powder or particulate material, having all of the
following:
c.1. Made from any of the following composition systems:
Technical Note: For the purposes of 1C002.c.1, X 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 109 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: For the purposes of 1C002:
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.
[[Page 71940]]
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. For the purposes of 1C002 Technical Notes, `solidify
rapidly' is a process involving the solidification of molten
material at cooling rates exceeding 1000 K/sec.
1C003 Magnetic metals, of all types and of whatever form, 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: $3000
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Initial relative permeability of 120,000 or more and a
thickness of 0.05 mm or less;
Technical Note: For the purposes of 1C003.a, measurement of
initial relative permeability must be performed on fully annealed
materials.
b. Magnetostrictive alloys having any of the following:
b.1. A saturation magnetostriction of more than 5 x
104-4; or
b.2. A magnetomechanical coupling factor (k) of more than 0.8;
or
c. Amorphous or `nanocrystalline' alloy strips, having all of
the following:
c.1. A composition having a minimum of 75% by weight of iron,
cobalt or nickel;
c.2. A saturation magnetic induction (Bs) of 1.6 T or
more; and
c.3. Any of the following:
c.3.a. A strip thickness of 0.02 mm or less; or
c.3.b. An electrical resistivity of 2 x 10-4 ohm cm
or more.
Technical Note: For the purposes of 1C003.c, `nanocrystalline'
materials are those materials having a crystal grain size of 50 nm
or less, as determined by X-ray diffraction.
* * * * *
1C005 ``Superconductive'' ``composite'' conductors in lengths
exceeding 100 m or with a mass exceeding 100 g, 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: $1500
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Superconductive'' ``composite'' conductors containing one
or more niobium-titanium `filaments', having all of the following:
a.1. Embedded in a ``matrix'' other than a copper or copper-
based mixed ``matrix''; and
a.2. Having a cross-section area less than 0.28 x
10-4 mm\2\ (6 [mu]m in diameter for circular
`filaments');
b. ``Superconductive'' ``composite'' conductors consisting of
one or more ``superconductive'' `filaments' other than niobium-
titanium, having all of the following:
b.1. A ``critical temperature'' at zero magnetic induction
exceeding 9.85 K (-263.31 [deg]C); and
b.2. Remaining in the ``superconductive'' state at a temperature
of 4.2 K (-268.96 [deg]C) when exposed to a magnetic field oriented
in any direction perpendicular to the longitudinal axis of conductor
and corresponding to a magnetic induction of 12 T with critical
current density exceeding 1750 A/mm\2\ on overall cross-section of
the conductor.
c. ``Superconductive'' ``composite'' conductors consisting of
one or more ``superconductive'' `filaments' which remain
``superconductive'' above 115 K (-158.16 [deg]C).
Technical Note: For the purposes of 1C005, `filaments' may be in
wire, cylinder, film, tape or ribbon form.
* * * * *
1C008 Non-fluorinated polymeric substances 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: $200
GBS: N/A
List of Items Controlled
Related Controls: See also 1A003.
Related Definitions: N/A
Items:
a. Imides as follows:
a.1. Bismaleimides;
a.2. Aromatic polyamide-imides (PAI) having a `glass transition
temperature (Tg)' exceeding 563 K (290 [deg]C);
a.3. Aromatic polyimides having a `glass transition temperature
(Tg)' exceeding 505 K (232 [deg]C);
a.4. Aromatic polyetherimides having a `glass transition
temperature (Tg)' exceeding 563 K (290 [deg]C);
Note: 1C008.a controls the substances in liquid or solid
``fusible'' form, including resin, powder, pellet, film, sheet,
tape, or ribbon.
N.B.: For non-``fusible'' aromatic polyimides in film, sheet,
tape, or ribbon form, see ECCN 1A003.
b. [Reserved]
c. [Reserved]
d. Polyarylene ketones;
e. Polyarylene sulfides, where the arylene group is biphenylene,
triphenylene or combinations thereof;
f. Polybiphenylenethersulphone having a `glass transition
temperature (Tg)' exceeding 563 K (290 [deg]C).
Technical Notes:
1. For the purposes of 1C008.a.2 thermoplastic materials,
1C008.a.4 materials, and 1C008.f materials, the `glass transition
temperature (Tg)' is determined using the method described in ISO
11357-2 (1999) or national equivalents.
2. For the purposes of 1C008.a.2 thermosetting materials and
1C008.a.3 materials, the `glass transition temperature (Tg)' is
determined using the 3-point bend method described in ASTM D 7028-07
or equivalent national standard. The test is to be performed using a
dry test specimen which has attained a minimum of 90% degree of cure
as specified by ASTM E 2160-04 or equivalent national standard, and
was cured using the combination of standard- and post-cure processes
that yield the highest Tg.
* * * * *
1C010 ``Fibrous or filamentary materials'' as follows (see List of
Items Controlled).
[[Page 71941]]
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/m2 divided by specific weight in N/m3,
measured at a temperature of (296+2) K ((23+2) [deg]C) and a
relative humidity of (50+5) %. (2) ``Specific tensile strength'':
ultimate tensile strength in pascals, equivalent to N/m2 divided by
specific weight in N/m3, measured at a temperature of (296+2) K
((23+2) [deg]C) and a relative humidity of (50+5) %.
Items:
Technical Notes:
1. For the purposes of calculating ``specific tensile
strength'', ``specific modulus'' or specific weight of ``fibrous or
filamentary materials'' in 1C010.a, 1C010.b, 1C010.c, or 1C010.e.1.b
the tensile strength and modulus should be determined by using
Method A described in ISO 10618 (2004) or national equivalents.
2. For the purposes of 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, this 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: For the purposes of 1C010.d.2, `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
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. For the purposes of 1C010.e and Note 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. For the purposes of 1C010.e.2, `Dynamic Mechanical Analysis
glass transition temperature (DMA Tg)' 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.
1C011 Metals and compounds, 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 1C011.a and .b for items MT Column 1
that meet or exceed the parameters in
1C111..
[[Page 71942]]
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also ECCNs 1C111 and 1C608. (2) All of the
following are ``subject to the ITAR'' (see 22 CFR parts 120 through
130): (a) Materials controlled by 1C011.a, and metal fuels in
particle form, whether spherical, atomized, spheroidal, flaked or
ground, manufactured from material consisting of 99 percent or more
of items controlled by 1C011.b; and (b) Metal powders mixed with
other substances to form a mixture formulated for military purposes.
Related Definitions: N/A
Items:
a. Metals in particle sizes of less than 60 [mu]m whether
spherical, atomized, spheroidal, flaked or ground, manufactured from
material consisting of 99% or more of zirconium, magnesium and
alloys thereof;
Technical Note: For the purposes of 1C011.a, the natural content
of hafnium in the zirconium (typically 2% to 7%) is counted with the
zirconium.
Note: The metals or alloys specified by 1C011.a also refer to
metals or alloys encapsulated in aluminum, magnesium, zirconium or
beryllium.
b. Boron or boron alloys, with a particle size of 60 [mu]m or
less, as follows:
b.1. Boron with a purity of 85% by weight or more;
b.2. Boron alloys with a boron content of 85% by weight or more;
Note: The metals or alloys specified by 1C011.b also refer to
metals or alloys encapsulated in aluminum, magnesium, zirconium or
beryllium.
c. Guanidine nitrate (CAS 506-93-4);
d. Nitroguanidine (NQ) (CAS 556-88-7).
* * * * *
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 2 or Class 4 (or national equivalents), or better,
and having both `rings' and `rolling elements', made from monel or
beryllium;
Note: 2A001.a does not control tapered roller bearings.
Technical Notes: For the purposes of 2A001.a:
1. `Ring'--is an annular part of a radial rolling bearing
incorporating one or more raceways (ISO 5593:1997).
2. `Rolling element'--is a 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.
* * * * *
B. ``Test,'' ``Inspection'' and ``Production Equipment''
Technical Notes for 2B001 to 2B009, 2B201, and 2B991 to 2B999:
1. For the purposes of 2B, secondary parallel contouring axes,
(e.g., the w-axis on horizontal boring mills or a secondary rotary
axis the center line of which is parallel to the primary rotary
axis) are not counted in the total number of contouring axes. Rotary
axes need not rotate over 360 [deg]. A rotary axis can be driven by
a linear device (e.g., a screw or a rack-and-pinion).
2. For the purposes of 2B, the number of axes which can be
coordinated simultaneously for ``contouring control'' is the number
of axes along or around which, during processing of the workpiece,
simultaneous and interrelated motions are performed between the
workpiece and a tool. This does not include any additional axes
along or around which other relative motions within the machine are
performed, such as:
2.a. Wheel-dressing systems in grinding machines;
2.b. Parallel rotary axes designed for mounting of separate
workpieces;
2.c. Co-linear rotary axes designed for manipulating the same
workpiece by holding it in a chuck from different ends.
3. For the purposes of 2B, axis nomenclature shall be in
accordance with International Standard ISO 841:2001, Industrial
automation systems and integration--Numerical control of machines--
Coordinate system and motion nomenclature.
4. For the purposes of this Category, a ``tilting spindle'' is
counted as a rotary axis.
5. For the purposes of 2B, `stated ``unidirectional positioning
repeatability''' may be used for each specific machine model as an
alternative to individual machine tests, and is determined as
follows:
5.a. Select five machines of a model to be evaluated;
5.b. Measure the linear axis repeatability (R[uarr],R[darr])
according to ISO 230-2:2014 and evaluate ``unidirectional
positioning repeatability'' for each axis of each of the five
machines;
5.c. Determine the arithmetic mean value of the ``unidirectional
positioning repeatability''-values for each axis of all five
machines together. These arithmetic mean values ``unidirectional
positioning repeatability'' (UPR) become the stated value of each
axis for the model. . .)(UPRx, UPRy, . . .);
5.d. Since the Category 2 list refers to each linear axis there
will be as many `stated ``unidirectional positioning
repeatability''' values as there are linear axes;
5.e. If any axis of a machine model not controlled by 2B001.a.
to 2B001.c. has a `stated ``unidirectional positioning
repeatability''' equal to or less than the specified
``unidirectional positioning repeatability'' of each machine tool
model plus 0.7 [micro]m, the builder should be required to reaffirm
the accuracy level once every eighteen months.
6. For the purposes of 2B, measurement uncertainty for the
``unidirectional positioning repeatability'' of machine tools, as
defined in the International Standard ISO 230-2:2014, shall not be
considered.
[[Page 71943]]
7. For the purposes of 2B, the measurement of axes shall be made
according to test procedures in 5.3.2. of ISO 230-2:2014. Tests for
axes longer than 2 meters shall be made over 2 m segments. Axes
longer than 4 m require multiple tests (e.g., two tests for axes
longer than 4 m and up to 8 m, three tests for axes longer than 8 m
and up to 12 m), each over 2 m segments and distributed in equal
intervals over the axis length. Test segments are equally spaced
along the full axis length, with any excess length equally divided
at the beginning, in between, and at the end of the test segments.
The smallest ``unidirectional positioning repeatability''-value of
all test segments is to be reported.
* * * * *
2B004 Hot ``isostatic presses'' having all of the characteristics
described in the List of Items Controlled, and ``specially
designed'' ``components'' and ``accessories'' therefor.
License Requirements
Reason for Control: NS, MT NP, AT
Country chart (see supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to entire entry................ MT Column 1
NP applies to entire entry, except NP Column 1
2B004.b.3 and presses with maximum
working pressures below 69 MPa.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D001 for software for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) For ``specially designed'' dies,
molds and tooling, see ECCNs 0B501, 0B602, 0B606, 1B003, 9B004, and
9B009. (4) For additional controls on dies, molds and tooling, see
ECCNs 1B101.d, 2B104 and 2B204. (5) Also see ECCNs 2B117 and
2B999.a.
Related Definitions: N/A
Items:
a. A controlled thermal environment within the closed cavity and
possessing a chamber cavity with an inside diameter of 406 mm or
more; and
b. Having any of the following:
b.1. A maximum working pressure exceeding 207 MPa;
b.2. A controlled thermal environment exceeding 1,773 K (1,500
[deg]C); or
b.3. A facility for hydrocarbon impregnation and removal of
resultant gaseous degradation products.
Technical Note: For the purposes of 2B004, the inside chamber
dimension is that of the chamber in which both the working
temperature and the working pressure are achieved and does not
include fixtures. That dimension will be the smaller of either the
inside diameter of the pressure chamber or the inside diameter of
the insulated furnace chamber, depending on which of the two
chambers is located inside the other.
* * * * *
2B006 Dimensional inspection or measuring systems, equipment,
position feedback units and ``electronic assemblies'', as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Country chart (see supp. no.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to those items in 2B006.a, b.1, NP Column 1
b.3, and .c (angular displacement
measuring instruments) that meet or
exceed the technical parameters in 2B206..
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCNs 2D001 and 2D002 for ``software'' for
items controlled under this entry. (2) See ECCNs 2E001
(``development''), 2E002 (``production''), and 2E201 (``use'') for
technology for items controlled under this entry. (3) Also see ECCNs
2B206 and 2B996.
Related Definitions: N/A
Items:
a. Computer controlled or ``numerically controlled'' Coordinate
Measuring Machines (CMM), having a three dimensional length
(volumetric) maximum permissible error of length measurement
(E0,MPE) at any point within the operating range of the
machine (i.e., within the length of axes) equal to or less (better)
than (1.7 + L/1,000) [mu]m (L is the measured length in mm)
according to ISO 10360-2 (2009);
Technical Note: For the purposes of 2B006.a, E0,MPE
of the most accurate configuration of the CMM specified by the
manufacturer (e.g.,best of the following: Probe, stylus length,
motion parameters, environment) and with ``all compensations
available'' shall be compared to the 1.7 + L/1,000 [mu]m threshold.
b. Linear displacement measuring instruments or systems, linear
position feedback units, and ``electronic assemblies'', as follows:
Note: Interferometer and optical-encoder measuring systems
containing a ``laser'' are only specified by 2B006.b.3.
b.1. `Non-contact type measuring systems' with a `resolution'
equal to or less (better) than 0.2 [mu]m within 0 to 0.2 mm of the
'measuring range';
Technical Notes: For the purposes of 2B006.b.1:
1. `Non-contact type measuring systems' are designed to measure
the distance between the probe and measured object along a single
vector, where the probe or measured object is in motion.
2. `Measuring range' means the distance between the minimum and
maximum working distance.
b.2. Linear position feedback units ``specially designed'' for
machine tools and having an overall ``accuracy'' less (better) than
(800 + (600 x L/1,000)) nm (L equals effective length in mm);
b.3. Measuring systems having all of the following:
b.3.a. Containing a ``laser'';
b.3.b. A `resolution' over their full scale of 0.200 nm or less
(better); and
b.3.c. Capable of achieving a ``measurement uncertainty'' equal
to or less (better) than (1.6 + L/2,000) nm (L is the measured
length in mm) at any point within a measuring range, when
compensated for the refractive index of air and measured over a
period of 30 seconds at a temperature of 200.01[deg]C;
Technical Note: For the purposes of 2B006.b, `resolution' is the
least increment of a measuring device; on digital instruments, the
least significant bit.
b.4. ``Electronic assemblies'' ``specially designed'' to provide
feedback capability in systems controlled by 2B006.b.3;
c. Rotary position feedback units ``specially designed'' for
machine tools or angular displacement measuring instruments, having
an angular position ``accuracy'' equal to or less (better) than 0.9
second of arc;
Note: 2B006.c does not control optical instruments, such as
autocollimators, using collimated light (e.g., ``laser'' light) to
detect angular displacement of a mirror.
d. Equipment for measuring surface roughness (including surface
defects), by measuring optical scatter with a sensitivity of 0.5 nm
or less (better).
Note: 2B006 includes machine tools, other than those specified
by 2B001, that can be used as measuring machines, if they meet or
exceed the criteria specified for the measuring machine function.
* * * * *
2B008 `Compound rotary tables' and ``tilting spindles'', ``specially
designed'' for machine tools, 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
[[Page 71944]]
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: See also 2B998.
Related Definition: N/A
Items:
a. [Reserved]
b. [Reserved]
c. `Compound rotary tables' having all of the following:
c.1. Designed for machine tools for turning, milling or
grinding; and
c.2. Two rotary axes designed to be coordinated simultaneously
for ``contouring control''.
Technical Note: For the purposes of 2B008.c, a `compound rotary
table' is a table allowing the workpiece to rotate and tilt about
two non-parallel axes.
d. ``Tilting spindles'' having all of the following:
d.1. Designed for machine tools for turning, milling or
grinding; and
d.2. Designed to be coordinated simultaneously for ``contouring
control''.
* * * * *
2B009 Spin-forming machines and flow-forming machines, which,
according to the manufacturer's technical specifications, can be
equipped with ``numerical control'' units or a computer control and
having all of the following characteristics (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, NP, AT
Country chart (see supp. no.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to: spin-forming............... MT Column 1
machines combining the functions of spin-
forming and flow-forming; and flow-
forming machines that meet or exceed the
parameters of 2B009.a and 2B109.
NP applies to flow-forming machines, and NP Column 1
spin-forming machines capable of flow-
forming functions, that meet or exceed
the parameters of 2B209.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See ECCN 2D001 for ``software'' for items
controlled under this entry. (2) See ECCNs 2E001 (``development''),
2E002 (``production''), and 2E101 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 2B109 and 2B209 for
additional flow-forming machines for MT and NP reasons.
Related Definitions: N/A
Items:
a. Three or more axes which can be coordinated simultaneously
for ``contouring control''; and
b. A roller force more than 60 kN.
Technical Note: For the purposes of 2B009, machines combining
the function of spin-forming and flow-forming are regarded as flow-
forming machines.
* * * * *
2E003 Other ``technology'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except 2E003.b, .e and .f
List of Items Controlled
Related Controls: See 2E001, 2E002, and 2E101 for ``development''
and ``use'' technology for equipment that are designed or modified
for densification of carbon-carbon composites, structural composite
rocket nozzles and reentry vehicle nose tips.
Related Definitions: N/A
Items:
a. [Reserved]
b. ``Technology'' for metal-working manufacturing processes, as
follows:
b.1. ``Technology'' for the design of tools, dies or fixtures
``specially designed'' for any of the following processes:
b.1.a. ``Superplastic forming'';
b.1.b. ``Diffusion bonding''; or
b.1.c. `Direct-acting hydraulic pressing';
b.2. [Reserved]
N.B.: For ``technology'' for metal-working manufacturing
processes for gas turbine engines and components, see 9E003 and USML
Category XIX
Technical Note: For the purposes of 2E003.b.1.c, `direct-acting
hydraulic pressing' is a deformation process which uses a fluid-
filled flexible bladder in direct contact with the workpiece.
c. ``Technology'' for the ``development'' or ``production'' of
hydraulic stretch-forming machines and dies therefor, for the
manufacture of airframe structures;
d. [Reserved]
e. ``Technology'' for the ``development'' of integration
``software'' for incorporation of expert systems for advanced
decision support of shop floor operations into ``numerical control''
units;
f. ``Technology'' for the application of inorganic overlay
coatings or inorganic surface modification coatings (specified in
column 3 of the following table) to non-electronic substrates
(specified in column 2 of the following table), by processes
specified in column 1 of the following table and defined in the
Technical Note.
N.B. This table should be read to control the technology of a
particular `Coating Process' only when the resultant coating in
column 3 is in a paragraph directly across from the relevant
`Substrate' under column 2. For example, Chemical Vapor Deposition
(CVD) `coating process' control the ``technology'' for a particular
application of `silicides' to `Carbon-carbon, Ceramic and Metal
``matrix'' ``composites'' substrates, but are not controlled for the
application of `silicides' to `Cemented tungsten carbide (16),
Silicon carbide (18)' substrates. In the second case, the resultant
coating is not listed in the paragraph under column 3 directly
across from the paragraph under column 2 listing `Cemented tungsten
carbide (16), Silicon carbide (18)'.
Category 2E--Materials Processing Table; Deposition Techniques
---------------------------------------------------------------------------
\1\ The numbers in parenthesis refer to the Notes following this
Table.
------------------------------------------------------------------------
3. Resultant
1. Coating process (1) \1\ 2. Substrate coating
------------------------------------------------------------------------
A. Chemical Vapor Deposition ``Superalloys''... Aluminides for
(CVD). internal passages
Ceramics (19) and Silicides
Low-expansion Carbides
glasses(14). Dielectric layers
(15)
Diamond
Diamond-like
carbon (17)
[[Page 71945]]
Carbon-carbon, Silicides
Ceramic, and Carbides
Metal ``matrix'' Refractory metals
``composites``.
Mixtures thereof
(4)
Dielectric layers
(15)
Aluminides
Alloyed aluminides
(2)
Boron nitride
Cemented tungsten. Carbides
carbide (16),..... Tungsten
Silicon carbide Mixtures thereof
(18). (4)
Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Diamond
Diamond-like
carbon (17)
Sensor window Dielectric layers
materials (9). (15)
Diamond
Diamond-like
carbon (17)
B. Thermal-Evaporation Physical
Vapor:
1. Physical Vapor Deposition ``Superalloys''... Alloyed silicides
(PVD): Deposition (TE-PVD) Alloyed aluminides
Electron-Beam (EB-PVD). (2)
MCrAlX (5)
Modified zirconia
(12)
Silicides
Aluminides
Mixtures thereof
(4)
Ceramics (19) and Dielectric layers
Low-expansion (15)
glasses (14).
Corrosion MCrAlX (5)
resistant steel Modified zirconia
(7). (12)
Mixtures thereof
(4)
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``composites''.
Mixtures thereof
(4)
Dielectric layers
(15)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof
(18). (4)
Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Borides
Beryllium
Sensor window Dielectric layers
materials (9). (15)
Titanium alloys Borides
(13). Nitrides
2. Ion assisted resistive Ceramics (19) and Dielectric layers
heating Physical Vapor Low-expansion (15)
Deposition (PVD)(Ion glasses (14). Diamond-like
Plating). carbon (17)
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16). (15)
Silicon carbide...
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric Layers
materials (9). (15)
Diamond-like
carbon (17)
3. Physical Vapor Deposition Ceramics (19) and Silicides
(PVD): ``Laser'' Low-expansion Dielectric layers
Vaporization. glasses (14). (15)
Diamond-like
carbon (17)
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric Layers
carbide (16), (15)
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric layers
materials (9). (15)
Diamond-like
carbon
4. Physical Vapor Deposition ``Superalloys''... Alloyed silicides
(PVD): Cathodic Arc Alloyed Aluminides
Discharge. (2)
MCrA1X (5)
[[Page 71946]]
Polymers (11) and Borides
Organic Carbides
``matrix'' Nitrides
``composites''. Diamond-like
carbon (17)
C. Pack cementation (see A above Carbon-carbon, Silicides
for out-of-pack cementation) Ceramic and Metal Carbides
(10). ``matrix'' Mixtures thereof
``composites''. (4)
Titanium alloys Silicides
(13). Aluminides
Alloyed aluminides
(2)
Refractory metals Silicides
and alloys (8). Oxides
D. Plasma spraying.............. ``Superalloys''... MCrAlX (5)
Modified zirconia
(12)
Mixtures thereof
(4)
Abradable Nickel-
Graphite
Abradable
materials
containing
Ni-Cr-Al Abradable
Al-Si-Polyester
Alloyed
aluminides (2)
Aluminum alloys MCrAlX (5)
(6). Modified zirconia
(12)
Silicides
Mixtures thereof
(4)
Refractory metals Aluminides
and alloys (8), Silicides
Carbides, MCrAlX (5)
Corrosion Modified zirconia
resistant steel (12)
(7). Mixtures thereof
(4)
D. Plasma spraying (continued).. Titanium alloys Carbides
(13). Aluminides
Silicides
Alloyed aluminides
(2)
Abradable Nickel Abradable
Graphite. materials
containing
Ni-Cr-Al
Abradable Al-Si-
Polyester
E. Slurry Deposition............ Refractory metals Fused silicides
and alloys (8). Fused aluminides
except for
resistance
heating elements
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Mixtures thereof
``composites''. (4)
F. Sputter Deposition........... ``Superalloys''... Alloyed silicides
Alloyed aluminides
(2)
Noble metal
modified
aluminides (3)
MCrAlX (5)
Modified zirconia
(12)
Platinum
Mixtures thereof
(4)
Ceramics and Low- Silicides
expansion glasses Platinum
(14). Mixtures thereof
(4)
Dielectric layers
(15)
Diamond-like
carbon (17)
Titanium alloys Borides
(13). Nitrides
Oxides
Silicides
Aluminides
Alloyed aluminides
(2)
Carbides
F. Sputter Deposition Carbon-carbon, Silicides
(continued). Ceramic and Metal Carbides
``matrix'' Refractory metals
``Composites''.
Mixtures thereof
(4)
Dielectric layers
(15)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof
(18). (4)
Dielectric layers
(15)
Boron nitride
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
[[Page 71947]]
Beryllium and Borides
Beryllium alloys. Dielectric layers
(15)
Beryllium
Sensor window Dielectric layers
materials (9). (15)
Diamond-like
carbon (17)
Refractory metals Aluminides
and alloys (8). Silicides
Oxides
Carbides
G. Ion Implantation............. High temperature Additions of
bearing steels. Chromium,Tantalum
, or Niobium
(Columbium)
Titanium alloys Borides
(13). Nitrides
Beryllium and Borides
Beryllium alloys.
Cemented tungsten Carbides
carbide (16). Nitrides
------------------------------------------------------------------------
Notes to Table on Deposition Techniques:
1. The term ``coating process'' includes coating repair and
refurbishing as well as original coating.
2. The term ``alloyed aluminide coating'' includes single or
multiple-step coatings in which an element or elements are deposited
prior to or during application of the aluminide coating, even if
these elements are deposited by another coating process. It does
not, however, include the multiple use of single-step pack
cementation processes to achieve alloyed aluminides.
3. The term ``noble metal modified aluminide'' coating includes
multiple-step coatings in which the noble metal or noble metals are
laid down by some other coating process prior to application of the
aluminide coating.
4. The term ``mixtures thereof'' includes infiltrated material,
graded compositions, co-deposits and multilayer deposits and are
obtained by one or more of the coating processes specified in the
Table.
5. MCrAlX refers to a coating alloy where M equals cobalt, iron,
nickel or combinations thereof and X equals hafnium, yttrium,
silicon, tantalum in any amount or other intentional additions over
0.01% by weight in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22% by weight of
chromium, less than 7% by weight of aluminum and less than 2% by
weight of yttrium;
b. CoCrAlY coatings which contain 22 to 24% by weight of
chromium, 10 to 12% by weight of aluminum and 0.5 to 0.7% by weight
of yttrium; or
c. NiCrAlY coatings which contain 21 to 23% by weight of
chromium, 10 to 12% by weight of aluminum and 0.9 to 1.1% by weight
of yttrium.
6. The term ``aluminum alloys'' refers to alloys having an
ultimate tensile strength of 190 MPa or more measured at 293 K (20
[deg]C).
7. The term ``corrosion resistant steel'' refers to AISI
(American Iron and Steel Institute) 300 series or equivalent
national standard steels.
8. ``Refractory metals and alloys'' include the following metals
and their alloys: niobium (columbium), molybdenum, tungsten and
tantalum.
9. ``Sensor window materials'', as follows: alumina, silicon,
germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond,
gallium phosphide, sapphire and the following metal halides: sensor
window materials of more than 40 mm diameter for zirconium fluoride
and hafnium fluoride.
10. Category 2 does not include ``technology'' for single-step
pack cementation of solid airfoils.
11. ``Polymers'', as follows: polyimide, polyester, polysulfide,
polycarbonates and polyurethanes.
12. ``Modified zirconia'' refers to additions of other metal
oxides, (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides)
to zirconia in order to stabilize certain crystallographic phases
and phase compositions. Thermal barrier coatings made of zirconia,
modified with calcia or magnesia by mixing or fusion, are not
controlled.
13. ``Titanium alloys'' refers only to aerospace alloys having
an ultimate tensile strength of 900 MPa or more measured at 293 K
(20 [deg]C).
14. ``Low-expansion glasses'' refers to glasses which have a
coefficient of thermal expansion of 1 x 10-7 K-1 or less measured at
293 K (20 [deg]C).
15. ``Dielectric layers'' are coatings constructed of multi-
layers of insulator materials in which the interference properties
of a design composed of materials of various refractive indices are
used to reflect, transmit or absorb various wavelength bands.
Dielectric layers refers to more than four dielectric layers or
dielectric/metal ``composite'' layers.
16. ``Cemented tungsten carbide'' does not include cutting and
forming tool materials consisting of tungsten carbide/(cobalt,
nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-
chromium and chromium carbide/nickel.
17. ``Technology'' for depositing diamond-like carbon on any of
the following is not controlled: magnetic disk drives and heads,
equipment for the manufacture of disposables, valves for faucets,
acoustic diaphragms for speakers, engine parts for automobiles,
cutting tools, punching-pressing dies, office automation equipment,
microphones, medical devices or molds, for casting or molding of
plastics, manufactured from alloys containing less than 5%
beryllium.
18. ``Silicon carbide'' does not include cutting and forming
tool materials.
19. Ceramic substrates, as used in this entry, does not include
ceramic materials containing 5% by weight, or greater, clay or
cement content, either as separate constituents or in combination.
Technical Note to Table on Deposition Techniques: Processes
specified in Column 1 of the Table are defined as follows:
a. Chemical Vapor Deposition (CVD) is an overlay coating or
surface modification coating process wherein a metal, alloy,
``composite'', dielectric or ceramic is deposited upon a heated
substrate. Gaseous reactants are decomposed or combined in the
vicinity of a substrate resulting in the deposition of the desired
elemental, alloy or compound material on the substrate. Energy for
this decomposition or chemical reaction process may be provided by
the heat of the substrate, a glow discharge plasma, or ``laser''
irradiation.
Note 1: CVD includes the following processes: directed gas flow
out-of-pack deposition, pulsating CVD, controlled nucleation thermal
decomposition (CNTD), plasma enhanced or plasma assisted CVD
processes.
Note 2: Pack denotes a substrate immersed in a powder mixture.
Note 3: The gaseous reactants used in the out-of-pack process
are produced using the same basic reactions and parameters as the
pack cementation process, except that the substrate to be coated is
not in contact with the powder mixture.
b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an
overlay coating process conducted in a vacuum with a pressure less
than 0.1 Pa wherein a source of thermal energy is used to vaporize
the coating material. This process results in the condensation, or
deposition, of the evaporated species onto appropriately positioned
substrates. The addition of gases to the vacuum chamber during the
coating process to synthesize compound coatings is an ordinary
modification of the process. The use of ion or electron beams, or
plasma, to activate or assist the coating's deposition is also a
common modification in this technique. The use of monitors to
provide in-process measurement of optical characteristics and
thickness of coatings can
[[Page 71948]]
be a feature of these processes. Specific TE-PVD processes are as
follows:
1. Electron Beam PVD uses an electron beam to heat and evaporate
the material which forms the coating;
2. Ion Assisted Resistive Heating PVD employs electrically
resistive heating sources in combination with impinging ion beam(s)
to produce a controlled and uniform flux of evaporated coating
species;
3. ``Laser'' Vaporization uses either pulsed or continuous wave
``laser'' beams to vaporize the material which forms the coating;
4. Cathodic Arc Deposition employs a consumable cathode of the
material which forms the coating and has an arc discharge
established on the surface by a momentary contact of a ground
trigger. Controlled motion of arcing erodes the cathode surface
creating a highly ionized plasma. The anode can be either a cone
attached to the periphery of the cathode, through an insulator, or
the chamber. Substrate biasing is used for non line-of-sight
deposition;
Note: This definition does not include random cathodic arc
deposition with non-biased substrates.
5. Ion Plating is a special modification of a general TE-PVD
process in which a plasma or an ion source is used to ionize the
species to be deposited, and a negative bias is applied to the
substrate in order to facilitate the extraction of the species from
the plasma. The introduction of reactive species, evaporation of
solids within the process chamber, and the use of monitors to
provide in-process measurement of optical characteristics and
thicknesses of coatings are ordinary modifications of the process.
c. Pack Cementation is a surface modification coating or overlay
coating process wherein a substrate is immersed in a powder mixture
(a pack), that consists of:
1. The metallic powders that are to be deposited (usually
aluminum, chromium, silicon or combinations thereof);
2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina.
Note: The substrate and powder mixture is contained within a
retort which is heated to between 1,030 K (757 [deg]C) to 1,375 K
(1,102 [deg]C) for sufficient time to deposit the coating.
d. Plasma Spraying is an overlay coating process wherein a gun
(spray torch) which produces and controls a plasma accepts powder or
wire coating materials, melts them and propels them towards a
substrate, whereon an integrally bonded coating is formed. Plasma
spraying constitutes either low pressure plasma spraying or high
velocity plasma spraying.
Note 1: Low pressure means less than ambient atmospheric
pressure.
Note 2: High velocity refers to nozzle-exit gas velocity
exceeding 750 m/s calculated at 293 K (20 [deg]C) at 0.1 MPa.
e. Slurry Deposition is a surface modification coating or
overlay coating process wherein a metallic or ceramic powder with an
organic binder is suspended in a liquid and is applied to a
substrate by either spraying, dipping or painting, subsequent air or
oven drying, and heat treatment to obtain the desired coating.
f. Sputter Deposition is an overlay coating process based on a
momentum transfer phenomenon, wherein positive ions are accelerated
by an electric field towards the surface of a target (coating
material). The kinetic energy of the impacting ions is sufficient to
cause target surface atoms to be released and deposited on an
appropriately positioned substrate.
Note 1: The Table refers only to triode, magnetron or reactive
sputter deposition which is used to increase adhesion of the coating
and rate of deposition and to radio frequency (RF) augmented sputter
deposition used to permit vaporization of non-metallic coating
materials.
Note 2: Low-energy ion beams (less than 5 keV) can be used to
activate the deposition.
g. Ion Implantation is a surface modification coating process in
which the element to be alloyed is ionized, accelerated through a
potential gradient and implanted into the surface region of the
substrate. This includes processes in which ion implantation is
performed simultaneously with electron beam physical vapor
deposition or sputter deposition.
Accompanying Technical Information to Table on Deposition
Techniques:
1. Technical information for pretreatments of the substrates
listed in the Table, as follows:
a. Chemical stripping and cleaning bath cycle parameters, as
follows:
1. Bath composition;
a. For the removal of old or defective coatings corrosion
product or foreign deposits;
b. For preparation of virgin substrates;
2. Time in bath;
3. Temperature of bath;
4. Number and sequences of wash cycles;
b. Visual and macroscopic criteria for acceptance of the cleaned
part;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Temperature for heat treatment;
3. Time of heat treatment;
d. Substrate surface preparation parameters, as follows:
1. Grit blasting parameters, as follows:
a. Grit composition;
b. Grit size and shape;
c. Grit velocity;
2. Time and sequence of cleaning cycle after grit blast;
3. Surface finish parameters;
4. Application of binders to promote adhesion;
e. Masking technique parameters, as follows:
1. Material of mask;
2. Location of mask;
2. Technical information for in situ quality assurance
techniques for evaluation of the coating processes listed in the
Table, as follows:
a. Atmosphere parameters, as follows:
1. Composition of the atmosphere;
2. Pressure of the atmosphere;
b. Time parameters;
c. Temperature parameters;
d. Thickness parameters;
e. Index of refraction parameters;
f. Control of composition;
3. Technical information for post deposition treatments of the
coated substrates listed in the Table, as follows:
a. Shot peening parameters, as follows:
1. Shot composition;
2. Shot size;
3. Shot velocity;
b. Post shot peening cleaning parameters;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Time-temperature cycles;
d. Post heat treatment visual and macroscopic criteria for
acceptance of the coated substrates;
4. Technical information for quality assurance techniques for
the evaluation of the coated substrates listed in the Table, as
follows:
a. Statistical sampling criteria;
b. Microscopic criteria for:
1. Magnification;
2. Coating thickness, uniformity;
3. Coating integrity;
4. Coating composition;
5. Coating and substrates bonding;
6. Microstructural uniformity.
c. Criteria for optical properties assessment (measured as a
function of wavelength):
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. Technical information and parameters related to specific
coating and surface modification processes listed in the Table, as
follows:
a. For Chemical Vapor Deposition (CVD):
1. Coating source composition and formulation;
2. Carrier gas composition;
3. Substrate temperature;
4. Time-temperature-pressure cycles;
5. Gas control and part manipulation;
b. For Thermal Evaporation-Physical Vapor Deposition (PVD):
1. Ingot or coating material source composition;
2. Substrate temperature;
3. Reactive gas composition;
4. Ingot feed rate or material vaporization rate;
5. Time-temperature-pressure cycles;
6. Beam and part manipulation;
7. ``Laser'' parameters, as follows:
a. Wave length;
b. Power density;
c. Pulse length;
d. Repetition ratio;
e. Source;
c. For Pack Cementation:
1. Pack composition and formulation;
2. Carrier gas composition;
3. Time-temperature-pressure cycles;
d. For Plasma Spraying:
1. Powder composition, preparation and size distributions;
2. Feed gas composition and parameters;
3. Substrate temperature;
4. Gun power parameters;
5. Spray distance;
6. Spray angle;
[[Page 71949]]
7. Cover gas composition, pressure and flow rates;
8. Gun control and part manipulation;
e. For Sputter Deposition:
1. Target composition and fabrication;
2. Geometrical positioning of part and target;
3. Reactive gas composition;
4. Electrical bias;
5. Time-temperature-pressure cycles;
6. Triode power;
7. Part manipulation;
f. For Ion Implantation:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate
parameters;
4. Time-temperature-pressure cycles.
g. For Ion Plating:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate
parameters;
4. Time-temperature-pressure cycles;
5. Coating material feed rate and vaporization rate;
6. Substrate temperature;
7. Substrate bias parameters.
* * * * *
3A001 Electronic items as follows (see List of Items Controlled).
Reason for Control: NS, RS, MT, NP, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``Monolithic Microwave NS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications.
NS applies to entire entry................ NS Column 2
RS applies ``Monolithic Microwave RS Column 1
Integrated Circuit'' (``MMIC'')
amplifiers in 3A001.b.2 and discrete
microwave transistors in 3A001.b.3,
except those 3A001.b.2 and b.3 items
being exported or reexported for use in
civil telecommunications applications.
MT applies to 3A001.a.1.a when usable in MT Column 1
``missiles''; and to 3A001.a.5.a when
``designed or modified'' for military
use, hermetically sealed and rated for
operation in the temperature range from
below -54 [deg]C to above +125 [deg]C.
NP applies to pulse discharge capacitors NP Column 1
in 3A001.e.2 and superconducting
solenoidal electromagnets in 3A001.e.3
that meet or exceed the technical
parameters in 3A201.a and 3A201.b,
respectively.
AT applies to entire entry................ AT Column 1
Reporting Requirements: See Sec. 743.1 of the EAR for reporting
requirements for exports under 3A001.b.2 or b.3 under License
Exceptions, and Validated End-User authorizations.
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A for MT or NP; N/A for ``Monolithic Microwave Integrated
Circuit'' (``MMIC'') amplifiers in 3A001.b.2 and discrete microwave
transistors in 3A001.b.3, except those that are being exported or
reexported for use in civil telecommunications applications.
Yes for:
$1500: 3A001.c
$3000: 3A001.b.1, b.2 (exported or reexported for use in civil
telecommunications applications), b.3 (exported or reexported for
use in civil telecommunications applications), b.9, .d, .e, .f, and
.g.
$5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), .b.4
to b.7, and b.12.
GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled
for MT), b.2 (exported or reexported for use in civil
telecommunications applications), b.8 (except for ``vacuum
electronic devices'' exceeding 18 GHz), b.9., b.10, .g, and .h, and
.i.
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A001.b.2 or b.3, except those that are being exported or reexported
for use in civil telecommunications applications, to any of the
destinations listed in Country Group A:5 or A:6 (See Supplement No.
1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See Category XV of the USML for certain
``space-qualified'' electronics and Category XI of the USML for
certain ASICs, `transmit/receive modules,' or `transmit modules'
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See
also 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number
of passive or active elements are considered as indivisibly
associated on or within a continuous structure to perform the
function of a circuit. For the purposes of integrated circuits in
3A001.a.1, 5 x 10\3\ Gy(Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy
(Si)/s = 5 x 10\8\ Rads (Si)/s.
Items:
a. General purpose integrated circuits, as follows:
Note 1: Integrated circuits include the following types:
--``Monolithic integrated circuits'';
--``Hybrid integrated circuits'';
--``Multichip integrated circuits'';
--Film type integrated circuits, including silicon-on-sapphire
integrated circuits'';
--``Optical integrated circuits'';
--``Three dimensional integrated circuits'';
--``Monolithic Microwave Integrated Circuits'' (``MMICs'').
a.1. Integrated circuits designed or rated as radiation hardened
to withstand any of the following:
a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher;
a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV
equivalent) of 5 x 10\13\ n/cm\2\ or higher on silicon, or its
equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator
Semiconductors (MIS).
a.2. ``Microprocessor microcircuits,'' ``microcomputer
microcircuits,'' microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, integrated circuits that contain analog-to-
digital converters and store or process the digitized data, digital-
to-analog converters, electro-optical or ``optical integrated
circuits'' designed for ``signal processing'', field programmable
logic devices, custom integrated circuits for which either the
function is unknown or the control status of the equipment in which
the integrated circuit will be used in unknown, Fast Fourier
Transform (FFT) processors, Static Random-Access Memories (SRAMs),
or `non-volatile memories,' having any of the following:
Technical Note: For the purposes of 3A001.a.2, `non-volatile
memories' are
[[Page 71950]]
memories with data retention over a period of time after a power
shutdown.
a.2.a. Rated for operation at an ambient temperature above 398 K
(+125 [deg]C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 [deg]C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 [deg]C) to 398 K (+125 [deg]C);
Note: 3A001.a.2 does not apply to integrated circuits designed
for civil automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'' and microcontroller microcircuits, manufactured from
a compound semiconductor and operating at a clock frequency
exceeding 40 MHz;
Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.4. [Reserved]
a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog
Converter (DAC) integrated circuits, as follows:
a.5.a. ADCs having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.5.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 600 Mega Samples Per Second
(MSPS);
a.5.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 400 MSPS;
a.5.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' greater than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 65 MSPS;
N.B.: For integrated circuits that contain analog-to-digital
converters and store or process the digitized data see 3A001.a.14.
Technical Notes: For the purposes of 3A001.a.5.a:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output that represents the measured analog input. Effective
Number of Bits (ENOB) is not used to determine the resolution of the
ADC.
3. For ``multiple channel ADCs'', the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For ``interleaved ADCs'' or for ``multiple channel ADCs''
that are specified to have an interleaved mode of operation, the
``sample rates'' are aggregated and the ``sample rate'' is the
maximum combined total rate of all of the interleaved channels.
a.5.b. Digital-to-Analog Converters (DAC) having any of the
following:
a.5.b.1. A resolution of 10-bit or more but less than 12-
bit,with an `adjusted update rate' of exceeding 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more and having any of the
following:
a.5.b.2.a. An `adjusted update rate' exceeding 1,250 MSPS but
not exceeding 3,500 MSPS, and having any of the following:
a.5.b.2.a.1. A settling time less than 9 ns to arrive at or
within 0.024% of full scale from a full scale step; or
a.5.b.2.a.2. A `Spurious Free Dynamic Range' (SFDR) greater than
68 dBc (carrier) when synthesizing a full scale analog signal of 100
MHz or the highest full scale analog signal frequency specified
below 100 MHz; or
a.5.b.2.b. An `adjusted update rate' exceeding 3,500 MSPS;
Technical Notes: For the purposes of 3A001.a.5.b:
1. `Spurious Free Dynamic Range' (SFDR) is defined as the ratio
of the RMS value of the carrier frequency (maximum signal component)
at the input of the DAC to the RMS value of the next largest noise
or harmonic distortion component at its output.
2. SFDR is determined directly from the specification table or
from the characterization plots of SFDR versus frequency.
3. A signal is defined to be full scale when its amplitude is
greater than -3 dBfs (full scale).
4. `Adjusted update rate' for DACs is:
a. For conventional (non-interpolating) DACs, the `adjusted
update rate' is the rate at which the digital signal is converted to
an analog signal and the output analog values are changed by the
DAC. For DACs where the interpolation mode may be bypassed
(interpolation factor of one), the DAC should be considered as a
conventional (non-interpolating) DAC.
b. For interpolating DACs (oversampling DACs), the `adjusted
update rate' is defined as the DAC update rate divided by the
smallest interpolating factor. For interpolating DACs, the `adjusted
update rate' may be referred to by different terms including:
input data rate
input word rate
input sample rate
maximum total input bus rate
maximum DAC clock rate for DAC clock input.
a.6. Electro-optical and ``optical integrated circuits'',
designed for ``signal processing'' and having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. `Field programmable logic devices' having any of the
following:
a.7.a. A maximum number of single-ended digital input/outputs of
greater than 700; or
a.7.b. An `aggregate one-way peak serial transceiver data rate'
of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
--Complex Programmable Logic Devices (CPLDs);
--Field Programmable Gate Arrays (FPGAs);
--Field Programmable Logic Arrays (FPLAs);
--Field Programmable Interconnects (FPICs).
N.B.: For integrated circuits having field programmable logic
devices that are combined with an analog-to-digital converter, see
3A001.a.14.
Technical Notes: For the purposes of 3A001.a.7:
1. Maximum number of digital input/outputs in 3A001.a.7.a is
also referred to as maximum user input/outputs or maximum available
input/outputs, whether the integrated circuit is packaged or bare
die.
2. `Aggregate one-way peak serial transceiver data rate' is the
product of the peak serial one-way transceiver data rate times the
number of transceivers on the FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.02 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N
log2 N)/20,480 ms, where N is the number of points;
Technical Note: For the purposes of 3A001.a.12, when N is equal
to 1,024 points, the formula in 3A001.a.12 gives an execution time
of 500 [mu]s.
a.13. Direct Digital Synthesizer (DDS) integrated circuits
having any of the following:
a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of
3.5 GHz or more and a DAC resolution of 10 bit or more, but less
than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC
resolution of 12 bit or more;
Technical Note: For the purposes of 3A001.a.13, the DAC clock
frequency may be specified as the master clock frequency or the
input clock frequency.
a.14. Integrated circuits that perform or are programmable to
perform all of the following:
a.14.a. Analog-to-digital conversions meeting any of the
following:
a.14.a.1. A resolution of 8 bit or more, but less than 10 bit,
with a ``sample rate'' greater than 1.3 Giga Samples Per Second
(GSPS);
a.14.a.2. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.3. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 1.0 GSPS;
a.14.a.4. A resolution of 14 bit or more, but less than 16 bit,
with a ``sample rate'' greater than 400 Mega Samples Per Second
(MSPS); or
a.14.a.5. A resolution of 16 bit or more with a ``sample rate''
greater than 180 MSPS; and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter integrated circuits see
3A001.a.5.a.
N.B. 2: For field programmable logic devices see 3A001.a.7.
Technical Notes: For the purposes of 3A001.a.14:
[[Page 71951]]
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output of the ADC that represents the measured analog input.
Effective Number of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For integrated circuits with non-interleaving ``multiple
channel ADCs'', the ``sample rate'' is not aggregated and the
``sample rate'' is the maximum rate of any single channel.
4. For integrated circuits with ``interleaved ADCs'' or with
``multiple channel ADCs'' that are specified to have an interleaved
mode of operation, the ``sample rates'' are aggregated and the
``sample rate'' is the maximum combined total rate of all of the
interleaved channels.
b. Microwave or millimeter wave items, as follows:
Technical Note: For the purposes of 3A001.b, the parameter peak
saturated power output may also be referred to on product data
sheets as output power, saturated power output, maximum power
output, peak power output, or peak envelope power output.
b.1. ``Vacuum electronic devices'' and cathodes, as follows:
Note 1: 3A001.b.1 does not control ``vacuum electronic devices''
designed or rated for operation in any frequency band and having all
of the following:
a. Does not exceed 31.8 GHz; and
b. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
Note 2: 3A001.b.1 does not control non-``space-qualified''
``vacuum electronic devices'' having all the following:
a. An average output power equal to or less than 50 W; and
b. Designed or rated for operation in any frequency band and
having all of the following:
1. Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
2. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
b.1.a. Traveling-wave ``vacuum electronic devices,'' pulsed or
continuous wave, as follows:
b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Devices having a cathode heater with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity devices, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
b.1.a.4. Devices based on helix, folded waveguide, or serpentine
waveguide circuits, or derivatives thereof, having any of the
following:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1;
b.1.a.4.c. Being ``space-qualified''; or
b.1.a.4.d. Having a gridded electron gun;
b.1.a.5. Devices with a ``fractional bandwidth'' greater than or
equal to 10%, with any of the following:
b.1.a.5.a. An annular electron beam;
b.1.a.5.b. A non-axisymmetric electron beam; or
b.1.a.5.c. Multiple electron beams;
b.1.b. Crossed-field amplifier ``vacuum electronic devices''
with a gain of more than 17 dB;
b.1.c. Thermionic cathodes, designed for ``vacuum electronic
devices,'' producing an emission current density at rated operating
conditions exceeding 5 A/cm\2\ or a pulsed (non-continuous) current
density at rated operating conditions exceeding 10 A/cm\2\;
b.1.d. ``Vacuum electronic devices'' with the capability to
operate in a `dual mode.'
Technical Note: For the purposes of 3A001.b.1.d, `dual mode'
means the ``vacuum electronic device'' beam current can be
intentionally changed between continuous-wave and pulsed mode
operation by use of a grid and produces a peak pulse output power
greater than the continuous-wave output power.
b.2. ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers that are any of the following:
N.B.: For ``MMIC'' amplifiers that have an integrated phase
shifter see 3A001.b.12.
b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.2.a.1. A peak saturated power output greater than 75 W (48.75
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.2.a.2. A peak saturated power output greater than 55 W (47.4
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.2.a.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.2.a.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 16 GHz with a ``fractional bandwidth'' greater than
10%, and having any of the following:
b.2.b.1. A peak saturated power output greater than 10 W (40
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
or
b.2.b.2. A peak saturated power output greater than 5 W (37 dBm)
at any frequency exceeding 8.5 GHz up to and including 16 GHz;
b.2.c. Rated for operation with a peak saturated power output
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to
and including 31.8 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.d. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.2.e. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.f. Rated for operation with a peak saturated power output
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz
up to and including 75 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.2.g. Rated for operation with a peak saturated power output
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to
and including 90 GHz, and with a ``fractional bandwidth'' of greater
than 5%; or
b.2.h. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
Note 1: [Reserved]
Note 2: The control status of the ``MMIC'' whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.2.a through 3A001.b.2.h, is determined
by the lowest peak saturated power output control threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for
product group A. Systems, Equipment, and Components mean that
3A001.b.2 does not control ``MMICs'' if they are ``specially
designed'' for other applications, e.g., telecommunications, radar,
automobiles.
b.3. Discrete microwave transistors that are any of the
following:
b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz and having any of the following:
b.3.a.1. A peak saturated power output greater than 400 W (56
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.3.a.2. A peak saturated power output greater than 205 W (53.12
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.3.a.3. A peak saturated power output greater than 115 W (50.61
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.3.a.4. A peak saturated power output greater than 60 W (47.78
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz and having any of the following:
b.3.b.1. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.3.b.2. A peak saturated power output greater than 15 W (41.76
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.3.b.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.3.b.4. A peak saturated power output greater than 7 W (38.45
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.3.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
[[Page 71952]]
b.3.d. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz;
b.3.e. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz;
or
b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e
and rated for operation with a peak saturated power output greater
than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and
including 31.8 GHz;
Note 1: The control status of a transistor in 3A001.b.3.a
through 3A001.b.3.e, whose rated operating frequency includes
frequencies listed in more than one frequency range, as defined by
3A001.b.3.a through 3A001.b.3.e, is determined by the lowest peak
saturated power output control threshold.
Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers,
or dice mounted in packages. Some discrete transistors may also be
referred to as power amplifiers, but the status of these discrete
transistors is determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of
the following:
b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.4.a.1. A peak saturated power output greater than 500 W (57
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.4.a.2. A peak saturated power output greater than 270 W (54.3
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.4.a.3. A peak saturated power output greater than 200 W (53
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.4.a.4. A peak saturated power output greater than 90 W (49.54
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz with a ``fractional bandwidth'' greater
than 10%, and having any of the following:
b.4.b.1. A peak saturated power output greater than 70 W (48.45
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.4.b.2. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.4.b.3. A peak saturated power output greater than 30 W (44.77
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.4.b.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.4.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.4.d. Rated for operation with a peak saturated power output
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and
having any of the following:
b.4.e.1. A peak saturated power output greater than 0.2 W (23
dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz,
and with a ``fractional bandwidth'' of greater than 10%;
b.4.e.2. A peak saturated power output greater than 20 mW (13
dBm) at any frequency exceeding 75 GHz up to and including 90 GHz,
and with a ``fractional bandwidth'' of greater than 5%; or
b.4.e.3. A peak saturated power output greater than 0.1 nW (-70
dBm) at any frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.:
1. For ``MMIC'' amplifiers see 3A001.b.2.
2. For `transmit/receive modules' and `transmit modules' see
3A001.b.12.
3. For converters and harmonic mixers, designed to extend the
operating or frequency range of signal analyzers, signal generators,
network analyzers or microwave test receivers, see 3A001.b.7.
Note 1: [Reserved]
Note 2: The control status of an item whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined
by the lowest peak saturated power output control threshold.
b.5. Electronically or magnetically tunable band-pass or band-
stop filters, having more than 5 tunable resonators capable of
tuning across a 1.5:1 frequency band (fmax/
fmin) in less than 10 [mu]s and having any of the
following:
b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
b.6. [Reserved]
b.7. Converters and harmonic mixers, that are any of the
following:
b.7.a. Designed to extend the frequency range of ``signal
analyzers'' beyond 90 GHz;
b.7.b. Designed to extend the operating range of signal
generators as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than 100 mW (20 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c. Designed to extend the operating range of network
analyzers as follows:
b.7.c.1. Beyond 110 GHz;
b.7.c.2. To an output power greater than 31.62 mW (15 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere
within the frequency range exceeding 90 GHz but not exceeding 110
GHz; or
b.7.d. Designed to extend the frequency range of microwave test
receivers beyond 110 GHz;
b.8. Microwave power amplifiers containing ``vacuum electronic
devices'' controlled by 3A001.b.1 and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass ratio exceeding 80 W/kg;
and
b.8.c. A volume of less than 400 cm\3\;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU''
for radio-communications services, but not for radio-determination.
b.9. Microwave Power Modules (MPM) consisting of, at least, a
traveling-wave ``vacuum electronic device,'' a ``Monolithic
Microwave Integrated Circuit'' (``MMIC'') and an integrated
electronic power conditioner and having all of the following:
b.9.a. A `turn-on time' from off to fully operational in less
than 10 seconds;
b.9.b. A volume less than the maximum rated power in Watts
multiplied by 10 cm\3\/W; and
b.9.c. An ``instantaneous bandwidth'' greater than 1 octave
(fmax > 2fmin) and having any of the
following:
b.9.c.1. For frequencies equal to or less than 18 GHz, an RF
output power greater than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes: For the purposes of 3A001.b.9:
1. To calculate the volume in 3A001.b.9.b, the following example
is provided: for a maximum rated power of 20 W, the volume would be:
20 W X 10 cm3/W = 200 cm3.
2. The `turn-on time' in 3A001.b.9.a refers to the time from
fully-off to fully operational, i.e., it includes the warm-up time
of the MPM.
b.10. Oscillators or oscillator assemblies, specified to operate
with a single sideband (SSB) phase noise, in dBc/Hz, less (better)
than -(126 + 20log10F-20log10f) anywhere
within the range of 10 Hz sat, greater than 505.62 divided by the maximum
operating frequency (in GHz) squared [Psat>505.62
W*GHz\2\/fGHz\2\] for any channel;
b.12.b. A ``fractional bandwidth'' of 5% or greater for any
channel;
b.12.c. Any planar side with length d (in cm) equal to or less
than 15 divided by the lowest operating frequency in GHz [d GHz] where N is the number of transmit or
transmit/receive channels; and
b.12.d. An electronically variable phase shifter per channel.
Technical Notes: For the purposes of 3A001.b.12:
1. A `transmit/receive module' is a multifunction ``electronic
assembly'' that provides bi-directional amplitude and phase control
for transmission and reception of signals.
2. A `transmit module' is an ``electronic assembly'' that
provides amplitude and phase control for transmission of signals.
3. A `transmit/receive MMIC' is a multifunction ``MMIC'' that
provides bi-directional amplitude and phase control for transmission
and reception of signals.
4. A `transmit MMIC' is a ``MMIC'' that provides amplitude and
phase control for transmission of signals.
5. 2.7 GHz should be used as the lowest operating frequency
(fGHz) in the formula in 3A001.b.12.c for transmit/receive or
transmit modules that have a rated operation range extending
downward to 2.7 GHz and below [d-14 J; or
d.2. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices as follows:
e.1. `Cells' as follows:
e.1.a `Primary cells' having any of the following at 20[deg]C:
e.1.a.1. `Energy density' exceeding 550 Wh/kg and a `continuous
power density' exceeding 50 W/kg; or
e.1.a.2. `Energy density' exceeding 50 Wh/kg and a `continuous
power density' exceeding 350 W/kg;
e.1.b. `Secondary cells' having an `energy density' exceeding
350 Wh/kg at 20[deg]C;
Technical Notes:
1. For the purposes of 3A001.e.1, `energy density' (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal
capacity in ampere-hours (Ah) divided by the mass in kilograms. If
the nominal capacity is not stated, energy density is calculated
from the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
2. For the purposes of 3A001.e.1, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
an electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purposes of 3A001.e.1.a, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purposes of 3A001.e.1.b, a `secondary cell' is a
`cell' that is designed to be charged by an external electrical
source.
5. For the purposes of 3A001.e.1.a, `continuous power density'
(W/kg) is calculated from the nominal voltage multiplied by the
specified maximum continuous discharge current in amperes (A)
divided by the mass in kilograms. `Continuous power density' is also
referred to as specific power.
Note: 3A001.e does not control batteries, including single-cell
batteries.
e.2. High energy storage capacitors as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) and having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) and having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids,
``specially designed'' to be fully charged or discharged in less
than one second and having all of the following:
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids ``specially designed'' for Magnetic
Resonance Imaging (MRI) medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm\2\;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space-qualified,''
having a minimum average efficiency exceeding 20% at an operating
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination
with an irradiance of 1,367 Watts per square meter (W/m\2\);
Technical Note: For the purposes of 3A001.e.4, `AM0', or `Air
Mass Zero', refers to the spectral irradiance of sun light in the
earth's outer atmosphere when the distance between the earth and sun
is one astronomical unit (AU).
f. Rotary input type absolute position encoders having an
``accuracy'' equal to or less (better) than 1.0 second of arc and
``specially designed'' encoder rings, discs or scales therefor;
g. Solid-state pulsed power switching thyristor devices and
`thyristor modules',
[[Page 71954]]
using either electrically, optically, or electron radiation
controlled switch methods and having any of the following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[mu]s and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[mu]s and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000
V; and
g.2.b. A peak (surge) current equal to or greater than 3,000 A;
Note 1: 3A001.g. includes:
--Silicon Controlled Rectifiers (SCRs)
--Electrical Triggering Thyristors (ETTs)
--Light Triggering Thyristors (LTTs)
--Integrated Gate Commutated Thyristors (IGCTs)
--Gate Turn-off Thyristors (GTOs)
--MOS Controlled Thyristors (MCTs)
--Solidtrons
Note 2: 3A001.g does not control thyristor devices and
`thyristor modules' incorporated into equipment designed for civil
railway or ``civil aircraft'' applications.
Technical Note: For the purposes of 3A001.g, a `thyristor
module' contains one or more thyristor devices.
h. Solid-state power semiconductor switches, diodes, or
`modules', having all of the following:
h.1. Rated for a maximum operating junction temperature greater
than 488 K (215[deg]C);
h.2. Repetitive peak off-state voltage (blocking voltage)
exceeding 300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of 3A001.h, `modules' contain
one or more solid-state power semiconductor switches or diodes.
Note 1: Repetitive peak off-state voltage in 3A001.h includes
drain to source voltage, collector to emitter voltage, repetitive
peak reverse voltage and peak repetitive off-state blocking voltage.
Note 2: 3A001.h includes:
--Junction Field Effect Transistors (JFETs)
--Vertical Junction Field Effect Transistors (VJFETs)
--Metal Oxide Semiconductor Field Effect Transistors (MOSFETs)
--Double Diffused Metal Oxide Semiconductor Field Effect Transistor
(DMOSFET)
--Insulated Gate Bipolar Transistor (IGBT)
--High Electron Mobility Transistors (HEMTs)
--Bipolar Junction Transistors (BJTs)
--Thyristors and Silicon Controlled Rectifiers (SCRs)
--Gate Turn-Off Thyristors (GTOs)
--Emitter Turn-Off Thyristors (ETOs)
--PiN Diodes
--Schottky Diodes
Note 3: 3A001.h does not apply to switches, diodes, or
`modules', incorporated into equipment designed for civil
automobile, civil railway, or ``civil aircraft'' applications.
i. Intensity, amplitude, or phase electro-optic modulators,
designed for analog signals and having any of the following:
i.1. A maximum operating frequency of more than 10 GHz but less
than 20 GHz, an optical insertion loss equal to or less than 3 dB
and having any of the following:
i.1.a. A `half-wave voltage' (`V[pi]') less than 2.7 V when
measured at a frequency of 1 GHz or below; or
i.1.b. A `V[pi]' of less than 4 V when measured at a frequency
of more than 1 GHz; or
i.2. A maximum operating frequency equal to or greater than 20
GHz, an optical insertion loss equal to or less than 3 dB and having
any of the following:
i.2.a. A `V[pi]' less than 3.3 V when measured at a frequency of
1 GHz or below; or
i.2.b. A `V[pi]' less than 5 V when measured at a frequency of
more than 1 GHz.
Note: 3A001.i includes electro-optic modulators having optical
input and output connectors (e.g., fiber-optic pigtails).
Technical Note: For the purposes of 3A001.i, a `half-wave
voltage' (`V[pi]') is the applied voltage necessary to make a phase
change of 180 degrees in the wavelength of light propagating through
the optical modulator.
* * * * *
3A002 General purpose ``electronic assemblies,'' modules and
equipment, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to 3A002.h when the parameters MT Column 1
in 3A101.a.2.b are met or exceeded.
AT applies to entire entry................ AT Column 1
Reporting Requirements: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions, and Validated
End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000: 3A002.a, .e, .f, and .g
$5000: 3A002.c to .d, and .h (unless controlled for MT);
GBS: Yes, for 3A002.h (unless controlled for MT)
Special Conditions for STA
STA: License Exception STA may not be used to ship any item in
3A002.g.1 to any of the destinations listed in Country Group A:6
(See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: See Category XV(e)(9) of the USML for certain
``space-qualified'' atomic frequency standards ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3A101, 3A992 and
9A515.x.
Related Definitions: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.
Items:
a. Recording equipment and oscilloscopes, as follows:
a.1. to a.5. [Reserved]
N.B.: For waveform digitizers and transient recorders, see
3A002.h.
a.6. Digital data recorders having all of the following:
a.6.a. A sustained `continuous throughput' of more than 6.4
Gbit/s to disk or solid-state drive memory; and
a.6.b. ``Signal processing'' of the radio frequency signal data
while it is being recorded;
Technical Notes: For the purposes of 3A002.a.6:
1. For recorders with a parallel bus architecture, the
`continuous throughput' rate is the highest word rate multiplied by
the number of bits in a word.
2. `Continuous throughput' is the fastest data rate the
instrument can record to disk or solid-state drive memory without
the loss of any information while sustaining the input digital data
rate or digitizer conversion rate.
a.7. Real-time oscilloscopes having a vertical root-mean-square
(rms) noise voltage of less than 2% of full-scale at the vertical
scale setting that provides the lowest noise value for any input 3dB
bandwidth of 60 GHz or greater per channel;
Note: 3A002.a.7 does not apply to equivalent-time sampling
oscilloscopes.
b. [Reserved]
c. ``Signal analyzers'' as follows:
c.1. ``Signal analyzers'' having a 3 dB resolution bandwidth
(RBW) exceeding 40 MHz anywhere within the frequency range exceeding
31.8 GHz but not exceeding 37 GHz;
c.2. ``Signal analyzers'' having a Displayed Average Noise Level
(DANL) less (better) than -150 dBm/Hz anywhere within the frequency
range exceeding 43.5 GHz but not exceeding 90 GHz;
c.3. ``Signal analyzers'' having a frequency exceeding 90 GHz;
c.4. ``Signal analyzers'' having all of the following:
c.4.a. `Real-time bandwidth' exceeding 170 MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery, with less than a 3 dB
reduction from full amplitude due to gaps or windowing effects, of
signals having a duration of 15 [mu]s or less; or
c.4.b.2. A `frequency mask trigger' function, with 100%
probability of trigger (capture) for signals having a duration of 15
[mu]s or less;
Technical Notes:
1. For the purposes of 3A002.c.4.a, `real-time bandwidth' is the
widest frequency range for which the analyzer can continuously
transform time-domain data entirely into frequency-domain results,
using a Fourier or other discrete time transform that processes
every incoming time point, without a reduction of measured amplitude
of more than 3 dB below the actual signal amplitude caused by gaps
or windowing effects, while outputting or displaying the transformed
data.
2. For the purposes of 3A002.c.4.b.1., probability of discovery
is also referred to as probability of intercept or probability of
capture.
[[Page 71955]]
3. For the purposes of 3A002.c.4.b.1, the duration for 100%
probability of discovery is equivalent to the minimum signal
duration necessary for the specified level measurement uncertainty.
4. For the purposes of 3A002.c.4.b.2, a `frequency mask trigger'
is a mechanism where the trigger function is able to select a
frequency range to be triggered on as a subset of the acquisition
bandwidth while ignoring other signals that may also be present
within the same acquisition bandwidth. A `frequency mask trigger'
may contain more than one independent set of limits.
Note: 3A002.c.4 does not apply to those ``signal analyzers''
using only constant percentage bandwidth filters (also known as
octave or fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the following:
d.1. Specified to generate pulse-modulated signals having all of
the following, anywhere within the frequency range exceeding 31.8
GHz but not exceeding 37 GHz:
d.1.a. `Pulse duration' of less than 25 ns; and
d.1.b. On/off ratio equal to or exceeding 65 dB;
d.2. An output power exceeding 100 mW (20 dBm) anywhere within
the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
d.3. A ``frequency switching time'' as specified by any of the
following:
d.3.a. [Reserved]
d.3.b. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 4.8 GHz but not
exceeding 31.8 GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 [mu]s for any frequency change exceeding
550 MHz within the frequency range exceeding 31.8 GHz but not
exceeding 37 GHz;
d.3.e. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the frequency range exceeding 37 GHz but not
exceeding 75 GHz; or
d.3.f. [Reserved]
d.3.g. Less than 100 [mu]s for any frequency change exceeding
5.0 GHz within the frequency range exceeding 75 GHz but not
exceeding 90 GHz.
d.4. A single sideband (SSB) phase noise, in dBc/Hz, specified
as being any of the following:
d.4.a. Less (better) than -(126 + 20 log10 F-
20log10f) for anywhere within the range of 10 Hz 10f) for
anywhere within the range of 10 kHz -11/month; and
g.3.c. Total power consumption of less than 1 Watt.
h. ``Electronic assemblies,'' modules or equipment, specified to
perform all of the following:
h.1. Analog-to-digital conversions meeting any of the following:
h.1.a. A resolution of 8 bit or more, but less than 10 bit, with
a ``sample rate'' greater than 1.3 Giga Samples Per Second (GSPS);
h.1.b. A resolution of 10 bit or more, but less than 12 bit,
with a ``sample rate'' greater than 1.0 GSPS;
h.1.c. A resolution of 12 bit or more, but less than 14 bit,
with a ``sample rate'' greater than 1.0 GSPS;
h.1.d. A resolution of 14 bit or more but less than 16 bit, with
a ``sample rate'' greater than 400 Mega Samples Per Second (MSPS);
or
h.1.e. A resolution of 16 bit or more with a ``sample rate''
greater than 180 MSPS; and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes, ``signal
analyzers,'' signal generators, network analyzers and microwave test
receivers, are specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d,
3A002.e and 3A002.f, respectively.
Technical Notes: For the purposes of 3A002.h:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. The resolution of the ADC is the number of bits of the
digital output of the ADC that represents the measured analog input
word. Effective Number of Bits (ENOB) is not used to determine the
resolution of the ADC.
3. For non-interleaved multiple-channel ``electronic
assemblies'', modules, or equipment, the ``sample rate'' is not
aggregated and the ``sample rate'' is the maximum rate of any single
channel.
4. For interleaved channels on multiple-channel ``electronic
assemblies'', modules, or equipment, the ``sample rates'' are
aggregated and the ``sample rate'' is the maximum combined total
rate of all the interleaved channels.
Note: 3A002.h includes ADC cards, waveform digitizers, data
acquisition cards, signal acquisition boards and transient
recorders.
* * * * *
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
[[Page 71956]]
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500
GBS: Yes, except a.3 (molecular beam epitaxial growth equipment
using gas sources), .e (automatic loading multi-chamber central
wafer handling systems only if connected to equipment controlled by
3B001. a.3, or .f), and .f (lithography equipment).
List of Items Controlled
Related Controls: See also 3B991.
Related Definitions: N/A
Items:
a. Equipment designed for epitaxial growth as follows:
a.1. Equipment designed or modified to produce a layer of any
material other than silicon with a thickness uniform to less than
2.5% across a distance of 75 mm or more;
Note: 3B001.a.1 includes atomic layer epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors
designed for compound semiconductor epitaxial growth of material
having two or more of the following elements: aluminum, gallium,
indium, arsenic, phosphorus, antimony, or nitrogen;
a.3. Molecular beam epitaxial growth equipment using gas or
solid sources;
b. Equipment designed for ion implantation and having any of the
following:
b.1. [Reserved]
b.2. Being designed and optimized to operate at a beam energy of
20 keV or more and a beam current of 10 mA or more for hydrogen,
deuterium, or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and a beam current of 45 mA
or more for high energy oxygen implant into a heated semiconductor
material ``substrate''; or
b.5. Being designed and optimized to operate at beam energy of
20 keV or more and a beam current of 10mA or more for silicon
implant into a semiconductor material ``substrate'' heated to 600
[deg]C or greater;
c. [Reserved]
d. [Reserved]
e. Automatic loading multi-chamber central wafer handling
systems having all of the following:
e.1. Interfaces for wafer input and output, to which more than
two functionally different `semiconductor process tools' controlled
by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed to be
connected; and
e.2. Designed to form an integrated system in a vacuum
environment for `sequential multiple wafer processing';
Note: 3B001.e does not control automatic robotic wafer handling
systems ``specially designed'' for parallel wafer processing.
Technical Notes:
1. For the purposes of 3B001.e.1, `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 purposes of 3B001.e.2, `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: For the purposes of 3B001.f.1.b, the `Minimum
Resolvable Feature size' (MRF) is calculated by the following
formula:
MRF = (an exposure light source wavelength in nm) x (K factor)/
numerical aperture
where the K factor = 0.35
f.2 Imprint lithography equipment capable of production features
of 45 nm or less;
Note: 3B001.f.2 includes:
--Micro contact printing tools
--Hot embossing tools
--Nano-imprint lithography tools
--Step and flash imprint lithography (S-FIL) tools
f.3. Equipment ``specially designed'' for mask making having all
of the following:
f.3.a. A deflected focused electron beam, ion beam or ``laser''
beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than
65 nm and an image placement less than 17 nm (mean + 3 sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less than 23 nm (mean +
3 sigma) on the mask;
f.4. Equipment designed for device processing using direct
writing methods, having all of the following:
f.4.a. A deflected focused electron beam; and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
g. Masks and reticles, designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer not specified by
3B001.g and designed to be used by lithography equipment having a
light source wavelength less than 245 nm;
Note: 3B001.h. does not control multi-layer masks with a phase
shift layer designed for the fabrication of memory devices not
controlled by 3A001.
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: For the purposes of 3B001.j, `Extreme
Ultraviolet (EUV)' refers to electromagnetic spectrum wavelengths
greater than 5 nm and less than 124 nm.
* * * * *
3D003 `Computational lithography' ``software'' ``specially
designed''for the ``development'' of patterns on EUV-lithography
masks or reticles.
License Requirements
Reason for Control: NS, AT
Country chart (see supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes
List of Items Controlled
Related Controls: N/A
Related Definitions: For the purposes of 3D003, `computational
lithography' is the use of computer modelling to predict, correct,
optimize and verify imaging performance of the lithography process
over a range of patterns, processes, and system conditions.
Items:
The list of items controlled is contained in the ECCN heading.
* * * * *
3D006 `Electronic Computer-Aided Design' (`ECAD') ``software''
``specially designed'' for the ``development'' of integrated
circuits having any ``Gate-All-Around Field-Effect Transistor''
(``GAAFET'') structure, 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 Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Specially designed'' for implementing `Register Transfer
Level' (`RTL') to `Geometrical Database Standard II' (`GDSII') or
equivalent standard; or
b. ``Specially designed'' for optimization of power or timing
rules.
[[Page 71957]]
Technical Notes: For the purposes of 3D006:
1. `Electronic Computer-Aided Design' (`ECAD') is a category of
``software'' tools used for designing, analyzing, optimizing, and
validating the performance of an integrated circuit or printed
circuit board.
2. `Register Transfer Level' (`RTL') is a design abstraction
which models a synchronous digital circuit in terms of the flow of
digital signals between hardware registers and the logical
operations performed on those signals.
3. `Geometrical Database Standard II' (`GDSII') is a database
file format for data exchange of integrated circuit or integrated
circuit layout artwork.
* * * * *
3E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of commodities controlled by
3A (except 3A980, 3A981, 3A991, 3A992, or 3A999), 3B (except 3B991
or 3B992) or 3C (except 3C992).
License Requirements
Reason for Control: NS, MT, NP, RS, AT
Country chart (see supp. no.
Control(s) 1 to part 738)
NS applies to ``technology'' for NS Column 1
commodities controlled by 3A001, 3A002,
3A003, 3B001, 3B002, or 3C001 to 3C006.
MT applies to ``technology'' for MT Column 1
commodities controlled by 3A001 or 3A101
for MT reasons.
NP applies to ``technology'' for NP Column 1
commodities controlled by 3A001, 3A201,
or 3A225 to 3A234 for NP reasons.
RS applies to ``technology'' for China and Macau (See Sec.
commodities controlled by 3A090 or 3B090. 742.6(a)(6))
RS applies to ``technology'' for Worldwide (See Sec.
commodities controlled in 3A090, when 742.6(a)(6))
exported from China or Macau.
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.
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, Special Comprehensive Licenses,
and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except N/A for MT, and ``technology'' for the
``development'' or ``production'' of: (a) vacuum electronic device
amplifiers described in 3A001.b.8, having operating frequencies
exceeding 19 GHz; (b) solar cells, coverglass-interconnect-cells or
covered-interconnect-cells (CIC) ``assemblies'', solar arrays and/or
solar panels described in 3A001.e.4; (c) ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') amplifiers in 3A001.b.2; and (d)
discrete microwave transistors in 3A001.b.3.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment specified by ECCNs
3A002.g.1 or 3B001.a.2 to any of the destinations listed in Country
Group A:6 (See Supplement No.1 to part 740 of the EAR). License
Exception STA may not be used to ship or transmit ``technology''
according to the General Technology Note for the ``development'' or
``production'' of components specified by ECCN 3A001.b.2 or b.3 to
any of the destinations listed in Country Group A:5 or A:6 (See
Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) ``Technology'' according to the General
Technology Note for the ``development'' or ``production'' of certain
``space-qualified'' atomic frequency standards described in Category
XV(e)(9), MMICs described in Category XV(e)(14), and oscillators
described in Category XV(e)(15) of the USML are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130). See also 3E101, 3E201 and
9E515. (2) ``Technology'' for ``development'' or ``production'' of
``Microwave Monolithic Integrated Circuits'' (``MMIC'') amplifiers
in 3A001.b.2 is controlled in this ECCN 3E001; 5E001.d refers only
to that additional ``technology'' ``required'' for
telecommunications.
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
Note 1: 3E001 does not control ``technology'' for equipment or
``components'' controlled by 3A003.
Note 2: 3E001 does not control ``technology'' for integrated
circuits controlled by 3A001.a.3 to a.14, having all of the
following:
(a) Using ``technology'' at or above 0.130 [mu]m; and
(b) Incorporating multi-layer structures with three or fewer
metal layers.
Note 3: 3E001 does not apply to `Process Design Kits' (`PDKs')
unless they include libraries implementing functions or technologies
for items specified by 3A001 or 3A090.
Technical Note: For the purposes of 3E001 Note 3, a `Process
Design Kit' (`PDK') is a software tool provided by a semiconductor
manufacturer to ensure that the required design practices and rules
are taken into account in order to successfully produce a specific
integrated circuit design in a specific semiconductor process, in
accordance with technological and manufacturing constraints (each
semiconductor manufacturing process has its particular `PDK').
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: For the purposes of 3E002.a, 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
[[Page 71958]]
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 [mu]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 purposes of 3E002.a and 3E002.b, `floating-point' is
defined by IEEE-754.
2. For the purposes 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.
* * * * *
Category 4--Computers
* * * * *
Technical Note: For the purposes of Note 2, `main storage' is
the primary storage for data or instructions for rapid access by a
central processing unit. It consists of the internal storage of a
``digital computer'' and any hierarchical extension thereto, such as
cache storage or non-sequentially accessed extended storage.
* * * * *
4A004 Computers as follows (see List of Items Controlled) and
``specially designed'' related equipment, ``electronic assemblies''
and ``components''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: $5000
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. `Systolic array computers';
b. `Neural computers';
c. `Optical computers'.
Technical Notes:
1. For the purposes of 4A004.a, `systolic array computers' are
computers where the flow and modification of the data is dynamically
controllable at the logic gate level by the user.
2. For the purposes of 4A004.b, `neural computers' are
computational devices designed or modified to mimic the behaviour of
a neuron or a collection of neurons, i.e., computational devices
which are distinguished by their hardware capability to modulate the
weights and numbers of the interconnections of a multiplicity of
computational components based on previous data.
3. For the purposes of 4A004.c, `optical computers' are
computers designed or modified to use light to represent data and
whose computational logic elements are based on directly coupled
optical devices.
* * * * *
4D001 ``Software'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, CC, AT
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
CC applies to ``software'' for CC Column 1
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for ``software'' for the ``development'' or
``production'' of the following:
(1) Commodities with an ``Adjusted Peak Performance'' (``APP'')
exceeding 70 WT; or
(2) Commodities controlled by 4A005 or ''software'' controlled by
4D004.
APP: Yes to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria)
ACE: Yes for 4D001.a (for the ``development'', ``production'' or
``use'' of equipment or ``software'' specified in ECCN 4A005 or
4D004), except to Country Group E:1 or E:2. See Sec. 740.22 of the
EAR for eligibility criteria.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' ``specially designed'' or modified for the
``development'' or ``production'' of equipment specified by ECCN
4A001.a.2 or for the ``development'' or ``production'' of ``digital
computers'' having an `Adjusted Peak Performance' (`APP') exceeding
70 Weighted TeraFLOPS (WT) to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR); and
may not be used to ship or transmit ''software'' specified in
4D001.a ''specially designed'' for the ''development'' or
''production'' of equipment specified by ECCN 4A005 to any of the
destinations listed in Country Group A:5 or A:6.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Software'' ``specially designed'' or modified for the
``development'' or ``production'', of equipment or ``software''
controlled by 4A001, 4A003, 4A004, 4A005 or 4D (except 4D090, 4D980,
4D993 or 4D994).
b. ``Software'', other than that controlled by 4D001.a,
``specially designed'' or modified for the ``development'' or
``production'' of equipment as follows:
b.1. ``Digital computers'' having an ``Adjusted Peak
Performance'' (``APP'') exceeding 24 Weighted TeraFLOPS (WT);
b.2. ``Electronic assemblies'' ``specially designed'' or
modified for enhancing performance by aggregation of processors so
that the ``APP'' of the aggregation exceeds the limit in 4D001.b.1.
* * * * *
4E001 ``Technology'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, RS, CC, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry, except 4A090 NS Column 1
or ``software'' specified by 4D090.
MT applies to ``technology'' for items MT Column 1
controlled by 4A001.a and 4A101 for MT
reasons.
RS applies to ``technology'' for China and Macau (See Sec.
commodities controlled by 4A090 or 742.6(a)(6))
``software'' specified by 4D090.
CC applies to ``software'' for CC Column 1
computerized finger-print equipment
controlled by 4A003 for CC reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes, except for the following:
(1) ``Technology'' for the ``development'' or ``production'' of
commodities with an ``Adjusted Peak Performance'' (``APP'')
exceeding 70 WT or for the ''development'' or ''production'' of
commodities controlled
[[Page 71959]]
by 4A005 or ''software'' controlled by 4D004; or
(2) ``Technology'' for the ''development'' of ''intrusion
software''.
APP: Yes to specific countries (see Sec. 740.7 of the EAR for
eligibility criteria).
ACE: Yes for 4E001.a (for the ``development'', ``production'' or
``use'' of equipment or ``software'' specified in ECCN 4A005 or
4D004) and for 4E001.c, except to Country Group E:1 or E:2. See
Sec. 740.22 of the EAR for eligibility criteria.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``technology'' according to the General Technology Note for the
``development'' or ``production'' of any of the following equipment
or ``software'': a. Equipment specified by ECCN 4A001.a.2; b.
``Digital computers'' having an `Adjusted Peak Performance' (`APP')
exceeding 70 Weighted TeraFLOPS (WT); or c. ``software'' specified
in the License Exception STA paragraph found in the License
Exception section of ECCN 4D001 to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR); and
may not be used to ship or transmit ''technology'' specified in
4E001.a (for the ''development'', ''production'' or ''use'' of
equipment or ''software'' specified in ECCN 4A005 or 4D004) and
4E001.c to any of the destinations listed in Country Group A:5 or
A:6.
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Technology'' according to the General Technology Note, for
the ``development'', ``production'', or ``use'' of equipment or
``software'' controlled by 4A (except 4A980 or 4A994) or 4D (except
4D980, 4D993, 4D994).
b. ``Technology'' according to the General Technology Note,
other than that controlled by 4E001.a, for the ``development'' or
``production'' of equipment as follows:
b.1. ``Digital computers'' having an ``Adjusted Peak
Performance'' (``APP'') exceeding 24 Weighted TeraFLOPS (WT);
b.2. ``Electronic assemblies'' ``specially designed'' or
modified for enhancing performance by aggregation of processors so
that the ``APP'' of the aggregation exceeds the limit in 4E001.b.1.
c. ``Technology'' for the ``development'' of ``intrusion
software.''
Note 1: 4E001.a and 4E001.c do not apply to ``vulnerability
disclosure'' or ``cyber incident response''.
Note 2: Note 1 does not diminish national authorities' rights to
ascertain compliance with 4E001.a and 4E001.c.
* * * * *
5A001 Telecommunications systems, equipment, ``components'' and
``accessories,'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to 5A001.a, b.5, .e, .f.3 and NS Column 1
.h.
NS applies to 5A001.b (except .b.5), .c, NS Column 2
.d, .f (except f.3), .g, and .j.
SL applies to 5A001.f.1................... A license is required for
all destinations, as
specified in Sec. 742.13
of the EAR. Accordingly, a
column specific to this
control does not appear on
the Commerce Country Chart
(Supplement No. 1 to Part
738 of the EAR). Note to SL
paragraph: This licensing
requirement does not
supersede, nor does it
implement, construe or
limit the scope of any
criminal statute,
including, but not limited
to the Omnibus Safe Streets
Act of 1968, as amended
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 for 5A001.a, b.5, .e, f.3 and .h;
$5000 for 5A001.b.1, .b.2, .b.3, .b.6, .d, f.2, f.4, and .g;
$3000 for 5A001.c.
GBS: Yes, except 5A001.a, b.5, e, and h.
ACE: Yes for 5A001.j, except to Country Group E:1 or E:2. See Sec.
740.22 of the EAR for eligibility criteria
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
5A001.j to any of the destinations listed in Country Group A:5 or
A:6 (See Supplement No. 1 to part 740 of the EAR), or any commodity
in 5A001.b.3, .b.5 or .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) See USML Category XI for controls on
direction-finding ``equipment'' including types of ``equipment'' in
ECCN 5A001.e and any other military or intelligence electronic
``equipment'' that is ``subject to the ITAR.'' (2) See USML Category
XI(a)(4)(iii) for controls on electronic attack and jamming
``equipment'' defined in 5A001.f and .h that are subject to the
ITAR. (3) See also ECCNs 5A101, 5A980, and 5A991.
Related Definitions: N/A
Items:
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. ``Specially designed'' to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation;
a.3. ``Specially designed'' to operate below 218 K (-55 [deg]C);
or
a.4. ``Specially designed'' to operate above 397 K (124 [deg]C);
Note: 5A001.a.3 and 5A001.a.4 apply only to electronic
equipment.
b. Telecommunication systems and equipment, and ``specially
designed'' ``components'' and ``accessories'' therefor, having any
of the following characteristics, functions or features:
b.1 Being underwater untethered communications systems having
any of the following:
b.1.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
b.1.b. Using an electromagnetic carrier frequency below 30 kHz;
or
b.1.c. Using electronic beam steering techniques; or
b.1.d. Using ``lasers'' or light-emitting diodes (LEDs), with an
output wavelength greater than 400 nm and less than 700 nm, in a
``local area network'';
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having all of the following:
b.2.a. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.2.b. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the frequency range of 1.5 MHz or
more but less than 30 MHz, or 250 W or more in the frequency range
of 30 MHz or more but not exceeding 87.5 MHz, over an
``instantaneous bandwidth'' of one octave or more and with an output
harmonic and distortion content of better than -80 dB;
b.3. Being radio equipment employing ``spread spectrum''
techniques, including ``frequency hopping'' techniques, not
controlled in 5A001.b.4 and having any of the following:
b.3.a. User programmable spreading codes; or
b.3.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;
Note: 5A001.b.3.b does not control radio equipment ``specially
designed'' for use with any of the following:
a. Civil cellular radio-communications systems; or
b. Fixed or mobile satellite Earth stations for commercial civil
telecommunications.
Note: 5A001.b.3 does not control equipment operating at an
output power of 1 W or less.
[[Page 71960]]
b.4. Being radio equipment employing ultra-wideband modulation
techniques, having user programmable channelizing codes, scrambling
codes, or network identification codes and having any of the
following:
b.4.a. A bandwidth exceeding 500 MHz; or
b.4.b. A ``fractional bandwidth'' of 20% or more;
b.5. Being digitally controlled radio receivers having all of
the following:
b.5.a. More than 1,000 channels;
b.5.b. A `channel switching time ' of less than 1 ms;
b.5.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
b.5.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.5 does not control radio equipment ``specially
designed'' for use with civil cellular radio-communications systems.
Technical Note: For the purposes of 5A001.b.5.b, `channel
switching time' means the time (i.e., delay) to change from one
receiving frequency to another, to arrive at or within 0.05% of the final specified receiving frequency.
Items having a specified frequency range of less than 0.05% around their center frequency are defined to
be incapable of channel frequency switching.
b.6. Employing functions of digital ``signal processing'' to
provide 'voice coding' output at rates of less than 700 bit/s.
Technical Notes:
1. For variable rate 'voice coding', 5A001.b.6 applies to the
'voice coding' output of continuous speech.
2. For the purposes of 5A001.b.6, `voice coding' is defined as
the technique to take samples of human voice and then convert these
samples of human voice into a digital signal taking into account
specific characteristics of human speech.
c. Optical fibers of more than 500 m in length and specified by
the manufacturer as being capable of withstanding a `proof test'
tensile stress of 2 x 10\9\ N/m\2\ or more;
N.B.: For underwater umbilical cables, see 8A002.a.3.
Technical Note: For the purposes of 5A001.c, `proof test' is the
on-line or off-line production screen testing that dynamically
applies a prescribed tensile stress over a 0.5 to 3 m length of
fiber at a running rate of 2 to 5 m/s while passing between capstans
approximately 150 mm in diameter. The ambient temperature is a
nominal 293 K (20 [deg]C) and relative humidity 40%. Equivalent
national standards may be used for executing the proof test.
d. ``Electronically steerable phased array antennae'' as
follows:
d.1. Rated for operation above 31.8 GHz, but not exceeding 57
GHz, and having an Effective Radiated Power (ERP) equal to or
greater than +20 dBm (22.15 dBm Effective Isotropic Radiated Power
(EIRP));
d.2. Rated for operation above 57 GHz, but not exceeding 66 GHz,
and having an ERP equal to or greater than +24 dBm (26.15 dBm EIRP);
d.3. Rated for operation above 66 GHz, but not exceeding 90 GHz,
and having an ERP equal to or greater than +20 dBm (22.15 dBm EIRP);
d.4. Rated for operation above 90 GHz;
Note 1: 5A001.d does not control `electronically steerable
phased array antennae' for landing systems with instruments meeting
ICAO standards covering Microwave Landing Systems (MLS).
Note 2: 5A001.d does not apply to antennae ``specially
designed'' for any of the following:
a. Civil cellular or WLAN radio-communications systems;
b. IEEE 802.15 or wireless HDMI; or
c. Fixed or mobile satellite earth stations for commercial civil
telecommunications.
Technical Note: For the purposes of 5A001.d, `electronically
steerable phased array antenna' is an antenna which forms a beam by
means of phase coupling, (i.e., the beam direction is controlled by
the complex excitation coefficients of the radiating elements) and
the direction of that beam can be varied (both in transmission and
reception) in azimuth or in elevation, or both, by application of an
electrical signal.
e. Radio direction finding equipment operating at frequencies
above 30 MHz and having all of the following, and ``specially
designed'' ``components'' therefor:
e.1. ``Instantaneous bandwidth'' of 10 MHz or more; and
e.2. Capable of finding a Line Of Bearing (LOB) to non-
cooperating radio transmitters with a signal duration of less than 1
ms;
f. Mobile telecommunications interception or jamming equipment,
and monitoring equipment therefor, as follows, and ``specially
designed'' ``components'' therefor:
f.1. Interception equipment designed for the extraction of voice
or data, transmitted over the air interface;
f.2. Interception equipment not specified in 5A001.f.1, designed
for the extraction of client device or subscriber identifiers (e.g.,
IMSI, TIMSI or IMEI), signaling, or other metadata transmitted over
the air interface;
f.3. Jamming equipment ``specially designed'' or modified to
intentionally and selectively interfere with, deny, inhibit, degrade
or seduce mobile telecommunication services and performing any of
the following:
f.3.a. Simulate the functions of Radio Access Network (RAN)
equipment;
f.3.b. Detect and exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM); or
f.3.c. Exploit specific characteristics of the mobile
telecommunications protocol employed (e.g., GSM);
f.4. Radio Frequency (RF) monitoring equipment designed or
modified to identify the operation of items specified in 5A001.f.1,
5A001.f.2 or 5A001.f.3.
Note: 5A001.f.1 and 5A001.f.2 do not apply to any of the
following:
a. Equipment ``specially designed'' for the interception of
analog Private Mobile Radio (PMR), IEEE 802.11 WLAN;
b. Equipment designed for mobile telecommunications network
operators; or
c. Equipment designed for the ``development'' or ``production''
of mobile telecommunications equipment or systems.
N.B. 1: See also the International Traffic in Arms Regulations
(ITAR) (22 CFR parts 120-130). For items specified by 5A001.f.1
(including as previously specified by 5A001.i), see also 5A980 and
the U.S. Munitions List (22 CFR part 121).
N.B. 2: For radio receivers see 5A001.b.5.
g. Passive Coherent Location (PCL) systems or equipment,
``specially designed'' for detecting and tracking moving objects by
measuring reflections of ambient radio frequency emissions, supplied
by non-radar transmitters.
Technical Note: For the purposes of 5A001.g, non-radar
transmitters may include commercial radio, television or cellular
telecommunications base stations.
Note: 5A001.g. does not control:
a. Radio-astronomical equipment; or
b. Systems or equipment, that require any radio transmission
from the target.
h. Counter Improvised Explosive Device (IED) equipment and
related equipment, as follows:
h.1. Radio Frequency (RF) transmitting equipment, not specified
by 5A001.f, designed or modified for prematurely activating or
preventing the initiation of Improvised Explosive Devices (IEDs);
h.2. Equipment using techniques designed to enable radio
communications in the same frequency channels on which co-located
equipment specified by 5A001.h.1 is transmitting.
N.B.: See also Category XI of the International Traffic in Arms
Regulations (ITAR) (22 CFR parts 120-130).
i. [Reserved]
N.B.: See 5A001.f.1 for items previously specified by 5A001.i.
j. IP network communications surveillance systems or equipment,
and ``specially designed'' components therefor, having all of the
following:
j.1. Performing all of the following on a carrier class IP
network (e.g., national grade IP backbone):
j.1.a. Analysis at the application layer (e.g., Layer 7 of Open
Systems Interconnection (OSI) model (ISO/IEC 7498-1));
j.1.b. Extraction of selected metadata and application content
(e.g., voice, video, messages, attachments); and
j.1.c. Indexing of extracted data; and
j.2. Being ``specially designed'' to carry out all of the
following:
j.2.a. Execution of searches on the basis of ``hard selectors'';
and
j.2.b. Mapping of the relational network of an individual or of
a group of people.
Note: 5A001.j does not apply to ``systems'' or ``equipment'',
``specially designed'' for any of the following:
a. Marketing purpose;
b. Network Quality of Service (QoS); or
c. Quality of Experience (QoE).
N.B.: See also the International Traffic in Arms Regulations
(ITAR) (22 CFR parts 120-130). Defense articles described in USML
Category XI(b) are ``subject to the ITAR.''
* * * * *
Category 5--Telecommunications and ``Information Security''
Part 2--``Information Security''
* * * * *
Technical Note: For the purposes of the Cryptography Note,
`executable software' means ``software'' in executable form, from
[[Page 71961]]
an existing hardware component excluded from 5A002, by the
Cryptography Note.
* * * * *
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
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.1 of Note 2: For the purposes
of 5A002.a Note 2.a.1.b.1, `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: For the purposes of
5A002.a Note 2.a.2, `readers/writers' include equipment that
communicates with smart cards or electronically readable documents
through a network.
[[Page 71962]]
b. Cryptographic equipment specially designed and limited for
banking use or `money transactions';
Technical Note to paragraph b of Note 2: For the purposes of
5A002.a Note 2.b, `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. For the purposes of 5A002.a Note 2.j, `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. For the purposes of 5A002.a Note 2.j.1.a.1, `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: For the purposes of 5A002.b, 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: For the purposes of 5A002.c, ``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.
* * * * *
5A004 ``Systems,'' ``equipment'' and ``components'' for defeating,
weakening or bypassing ``information security,'' 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 toSec. 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: ECCN 5A004.a controls ``components'' providing the
means or functions necessary for ``information security.'' All such
``components'' are presumptively ``specially designed'' and
controlled by 5A004.a.
Related Definitions: N/A
Items:
a. Designed or modified to perform `cryptanalytic functions.'
Note: 5A004.a includes systems or equipment, designed or
modified to perform `cryptanalytic functions' by means of reverse
engineering.
Technical Note: For the purposes of 5A004.a, `cryptanalytic
functions' are functions designed to defeat cryptographic mechanisms
in order to derive confidential variables or sensitive data,
including clear text passwords or cryptographic keys.
b. Items, not specified by ECCNs 4A005 or 5A004.a, designed to
perform all of the following:
b.1. `Extract raw data' from a computing or communications
device; and
b.2. Circumvent ``authentication'' or authorization controls of
the device, in order to perform the function described in 5A004.b.1.
Technical Note: For the purposes of 5A004.b.1, `extract raw
data' from a computing or communications device means to retrieve
binary data from a storage medium, e.g., RAM, flash or hard disk, of
the device without interpretation by the device's operating system
or filesystem.
Note 1: 5A004.b does not apply to systems or equipment specially
designed for the ``development'' or ``production'' of a computing or
communications device.
Note 2: 5A004.b does not include:
a. Debuggers, hypervisors;
[[Page 71963]]
b. Items limited to logical data extraction;
c. Data extraction items using chip-off or JTAG; or
d. Items specially designed and limited to jail-breaking or
rooting.
* * * * *
6A001 Acoustic systems, 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 Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $3000; N/A for 6A001.a.1.b.1 object detection and location
systems having a transmitting frequency below 5 kHz or a sound
pressure level exceeding 210 dB (reference 1 [mu]Pa at 1 m) for
equipment with an operating frequency in the band from 2 kHz to 30
kHz inclusive; 6A001.a.1.e, 6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3,
a.2.a.5, a.2.a.6, 6A001.a.2.b; processing equipment controlled by
6A001.a.2.c, and ``specially designed'' for real-time application
with towed acoustic hydrophone arrays; a.2.e.1, a.2.e.2; and bottom
or bay cable systems controlled by 6A001.a.2.f and having processing
equipment ``specially designed'' for real-time application with
bottom or bay cable systems.
GBS: Yes for 6A001.a.1.b.4.
Special Conditions for STA
STA: License Exception STA may not be used to ship commodities in
6A001.a.1.b, 6A001.a.1.e or 6A001.a.2 (except .a.2.a.4) to any of
the destinations listed in Country Group A:6 (See Supplement No.1 to
part 740 of the EAR).
List of Items Controlled
Related Controls: See also 6A991.
Related Definitions: N/A
Items:
a. Marine acoustic systems, equipment and ``specially designed''
``components'' therefor, as follows:
a.1. Active (transmitting or transmitting-and-receiving)
systems, equipment and ``specially designed'' ``components''
therefor, as follows:
Note: 6A001.a.1 does not control equipment as follows:
a. Depth sounders operating vertically below the apparatus, not
including a scanning function exceeding
20[deg], and limited to measuring the depth of water, the distance
of submerged or buried objects or fish finding;
b. Acoustic beacons, as follows:
1. Acoustic emergency beacons;
2. Pingers ``specially designed'' for relocating or returning to
an underwater position.
a.1.a. Acoustic seabed survey equipment as follows:
a.1.a.1. Surface vessel survey equipment designed for sea bed
topographic mapping and having all of the following:
a.1.a.1.a. Designed to take measurements at an angle exceeding
20[deg] from the vertical;
a.1.a.1.b. Designed to measure seabed topography at seabed
depths exceeding 600 m;
a.1.a.1.c.`Sounding resolution' less than 2; and
a.1.a.1.d. 'Enhancement' of the depth ``accuracy'' through
compensation for all the following:
a.1.a.1.d.1. Motion of the acoustic sensor;
a.1.a.1.d.2. In-water propagation from sensor to the seabed and
back; and
a.1.a.1.d.3. Sound speed at the sensor;
Technical Notes:
1. For the purposes of 6A001.a.1.a.1.c, `sounding resolution' is
the swath width (degrees) divided by the maximum number of soundings
per swath.
2. For the purposes of 6A001.a.1.a, `enhancement' includes the
ability to compensate by external means.
a.1.a.2. Underwater survey equipment designed for seabed
topographic mapping and having any of the following:
Technical Note: For the purposes of 6A001.a.1.a.2, the acoustic
sensor pressure rating determines the depth rating.
a.1.a.2.a. Having all of the following:
a.1.a.2.a.1. Designed or modified to operate at depths exceeding
300 m; and
a.1.a.2.a.2. `Sounding rate' greater than 3,800 m/s; or
Technical Note: For the purposes of 6A001.a.1.a.2.a.2, `sounding
rate' is the product of the maximum speed (m/s) at which the sensor
can operate and the maximum number of soundings per swath assuming
100% coverage. For systems that produce soundings in two directions
(3D sonars), the maximum of the `sounding rate' in either direction
should be used.
a.1.a.2.b. Survey equipment, not specified by 6A001.a.1.a.2.a,
having all of the following:
a.1.a.2.b.1. Designed or modified to operate at depths exceeding
100 m;
a.1.a.2.b.2. Designed to take measurements at an angle exceeding
20[deg] from the vertical;
a.1.a.2.b.3. Having any of the following:
a.1.a.2.b.3.a. Operating frequency below 350 kHz; or
a.1.a.2.b.3.b. Designed to measure seabed topography at a range
exceeding 200 m from the acoustic sensor; and
a.1.a.2.b.4. `Enhancement' of the depth ``accuracy'' through
compensation of all of the following:
a.1.a.2.b.4.a. Motion of the acoustic sensor;
a.1.a.2.b.4.b. In-water propagation from sensor to the seabed
and back; and
a.1.a.2.b.4.c. Sound speed at the sensor.
a.1.a.3. Side Scan Sonar (SSS) or Synthetic Aperture Sonar
(SAS), designed for seabed imaging and having all of the following,
and ``specially designed'' transmitting and receiving acoustic
arrays therefor:
a.1.a.3.a. Designed or modified to operate at depths exceeding
500 m; and
a.1.a.3.b. An 'area coverage rate' of greater than 570 m\2\/s
while operating at the maximum range that it can operate with an
`along track resolution' of less than 15 cm; and
a.1.a.3.c. An `across track resolution' of less than 15 cm;
Technical Notes:
For the purposes of 6A001.a.1.a.3:
1. `Area coverage rate' (m2/s) is twice the product of the sonar
range (m) and the maximum speed (m/s) at which the sensor can
operate at that range.
2. `Along track resolution' (cm), for SSS only, is the product
of azimuth (horizontal) beamwidth (degrees) and sonar range (m) and
0.873.
3. `Across track resolution' (cm) is 75 divided by the signal
bandwidth (kHz).
a.1.b Systems or transmitting and receiving arrays, designed for
object detection or location, having any of the following:
a.1.b.1. A transmitting frequency below 10 kHz;
a.1.b.2. Sound pressure level exceeding 224dB (reference 1
[micro]Pa at 1 m) for equipment with an operating frequency in the
band from 10 kHz to 24 kHz inclusive;
a.1.b.3. Sound pressure level exceeding 235 dB (reference 1
[micro]Pa at 1 m) for equipment with an operating frequency in the
band between 24 kHz and 30 kHz;
a.1.b.4. Forming beams of less than 1[deg] on any axis and
having an operating frequency of less than 100 kHz;
a.1.b.5. Designed to operate with an unambiguous display range
exceeding 5,120 m; or
a.1.b.6. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m and having transducers with any of the
following:
a.1.b.6.a. Dynamic compensation for pressure; or
a.1.b.6.b. Incorporating other than lead zirconate titanate as
the transduction element;
a.1.c. Acoustic projectors, including transducers, incorporating
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or
hydraulic elements operating individually or in a designed
combination and having any of the following:
Notes:
1. The control status of acoustic projectors, including
transducers, ``specially designed'' for other equipment is
determined by the control status of the other equipment.
2. 6A001.a.1.c does not control electronic sources that direct
the sound vertically only, or mechanical (e.g., air gun or vapor-
shock gun) or chemical (e.g., explosive) sources.
3. Piezoelectric elements specified in 6A001.a.1.c include those
made from lead-magnesium-niobate/lead-titanate (Pb(Mg1/3Nb2/3)O3-
PbTiO3, or PMN-PT) single crystals grown from solid solution or
lead-indium-niobate/lead-magnesium niobate/lead-titanate (Pb(In1/
2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3-PbTiO3, or PIN-PMN-PT) single crystals
grown from solid solution.
a.1.c.1. Operating at frequencies below 10 kHz and having any of
the following:
a.1.c.1.a. Not designed for continuous operation at 100% duty
cycle and having a
[[Page 71964]]
radiated `free-field Source Level (SLRMS)' exceeding (10log(f) +
169.77)dB (reference 1 [mu]Pa at 1 m) where f is the frequency in
Hertz of maximum Transmitting Voltage Response (TVR) below 10 kHz;
or
a.1.c.1.b. Designed for continuous operation at 100% duty cycle
and having a continuously radiated `free-field Source Level (SLRMS)'
at 100% duty cycle exceeding (10log(f) + 159.77)dB (reference 1
[mu]Pa at 1 m) where f is the frequency in Hertz of maximum
Transmitting Voltage Response (TVR) below 10 kHz; or
Technical Note: For the purposes of 6A001.a.1.c.1, the `free-
field Source Level (SLRMS)' is defined along the maximum response
axis and in the far field of the acoustic projector. It can be
obtained from the Transmitting Voltage Response using the following
equation: SLRMS = (TVR + 20log VRMS) dB (ref 1[mu]Pa at 1 m), where
SLRMS is the source level, TVR is the Transmitting Voltage Response
and VRMS is the Driving Voltage of the Projector.
a.1.c.2. [Reserved]
N.B. See 6A001.a.1.c.1 for items previously specified in
6A001.a.1.c.2.
a.1.c.3. Side-lobe suppression exceeding 22 dB;
a.1.d. Acoustic systems and equipment, designed to determine the
position of surface vessels or underwater vehicles and having all of
the following, and ``specially designed'' ``components'' therefor:
a.1.d.1. Detection range exceeding 1,000 m; and
a.1.d.2. Determined position error of less than 10 m rms (root
mean square) when measured at a range of 1,000 m;
Note: 6A001.a.1.d includes:
a. Equipment using coherent ``signal processing'' between two or
more beacons and the hydrophone unit carried by the surface vessel
or underwater vehicle;
b. Equipment capable of automatically correcting speed-of-sound
propagation errors for calculation of a point.
a.1.e. Active individual sonars, ``specially designed'' or
modified to detect, locate and automatically classify swimmers or
divers, having all of the following, and ``specially designed''
transmitting and receiving acoustic arrays therefor:
a.1.e.1. Detection range exceeding 530 m;
a.1.e.2. Determined position error of less than 15 m rms (root
mean square) when measured at a range of 530 m; and
a.1.e.3. Transmitted pulse signal bandwidth exceeding 3 kHz;
N.B.: For diver detection systems ``specially designed'' or
modified for military use, see the U.S. Munitions List in the
International Traffic in Arms Regulations (ITAR) (22 CFR part 121).
Note: For 6A001.a.1.e, where multiple detection ranges are
specified for various environments, the greatest detection range is
used.
a.2. Passive systems, equipment and ``specially designed''
``components'' therefor, as follows:
Note: 6A001.a.2 also applies to receiving equipment, whether or
not related in normal application to separate active equipment, and
``specially designed'' components therefor.
a.2.a. Hydrophones having any of the following:
Note: The control status of hydrophones ``specially designed''
for other equipment is determined by the control status of the other
equipment.
Technical Notes:
For the purposes of 6A001.a.2.a:
1. Hydrophones consist of one or more sensing elements producing
a single acoustic output channel. Those that contain multiple
elements can be referred to as a hydrophone group.
2. Underwater acoustic transducers designed to operate as
passive receivers are hydrophones.
a.2.a.1. Incorporating continuous flexible sensing elements;
a.2.a.2. Incorporating flexible assemblies of discrete sensing
elements with either a diameter or length less than 20 mm and with a
separation between elements of less than 20 mm;
a.2.a.3. Having any of the following sensing elements:
a.2.a.3.a. Optical fibers;
a.2.a.3.b. `Piezoelectric polymer films' other than
polyvinylidene-fluoride (PVDF) and its co-polymers {P(VDF-TrFE) and
P(VDF-TFE){time} ;
a.2.a.3.c. `Flexible piezoelectric composites';
a.2.a.3.d. Lead-magnesium- niobate/lead-titanate (i.e., Pb(Mg1/
3Nb2/3)O3-PbTiO3, or PMN-PT) piezoelectric single crystals grown
from solid solution; or
a.2.a.3.e. Lead-indium-niobate/lead-magnesium niobate/lead-
titanate (i.e., Pb(In1/2Nb1/2)O3-
Pb(Mg1/3Nb2/3)O3-PbTiO3,
or PIN-PMN-PT) piezoelectric single crystals grown from solid
solution;
a.2.a.4. A `hydrophone sensitivity' better than -180dB at any
depth with no acceleration compensation;
a.2.a.5. Designed to operate at depths exceeding 35 m with
acceleration compensation; or
a.2.a.6. Designed for operation at depths exceeding 1,000 m and
having a `hydrophone sensitivity' better than -230 dB below 4 kHz;
Technical Notes:
1. For the purposes of 6A001.a.2.a.3.b, `piezoelectric polymer
film' sensing elements consist of polarized polymer film that is
stretched over and attached to a supporting frame or spool
(mandrel).
2. For the purposes of 6A001.a.2.a.3.c, `flexible piezoelectric
composite' sensing elements consist of piezoelectric ceramic
particles or fibers combined with an electrically insulating,
acoustically transparent rubber, polymer or epoxy compound, where
the compound is an integral part of the sensing elements.
3. For the purposes of 6A001.a.2.a, `hydrophone sensitivity' is
defined as twenty times the logarithm to the base 10 of the ratio of
rms output voltage to a 1 V rms reference, when the hydrophone
sensor, without a pre-amplifier, is placed in a plane wave acoustic
field with an rms pressure of 1 [mu]Pa. For example, a hydrophone of
-160 dB (reference 1 V per [mu]Pa) would yield an output voltage of
10-8 V in such a field, while one of -180 dB sensitivity would yield
only 10-9 V output. Thus, -160 dB is better than -180 dB.
a.2.b. Towed acoustic hydrophone arrays having any of the
following:
Technical Note: For the purposes of 6A001.a.2.b, hydrophones
arrays consist of a number of hydrophones providing multiple
acoustic output channels.
a.2.b.1. Hydrophone group spacing of less than 12.5 m or `able
to be modified' to have hydrophone group spacing of less than 12.5
m;
a.2.b.2. Designed or `able to be modified' to operate at depths
exceeding 35m;
Technical Note: For the purposes of 6A001.a.2.b.2, `able to be
modified' in 6A001.a.2.b means having provisions to allow a change
of the wiring or interconnections to alter hydrophone group spacing
or operating depth limits. These provisions are: spare wiring
exceeding 10% of the number of wires, hydrophone group spacing
adjustment blocks or internal depth limiting devices that are
adjustable or that control more than one hydrophone group.
a.2.b.3. Heading sensors controlled by 6A001.a.2.d;
a.2.b.4. Longitudinally reinforced array hoses;
a.2.b.5. An assembled array of less than 40 mm in diameter;
a.2.b.6. [Reserved];
a.2.b.7. Hydrophone characteristics controlled by 6A001.a.2.a;
or
a.2.b.8. Accelerometer-based hydro-acoustic sensors specified by
6A001.a.2.g;
a.2.c. Processing equipment, ``specially designed'' for towed
acoustic hydrophone arrays, having ``user-accessible
programmability'' and time or frequency domain processing and
correlation, including spectral analysis, digital filtering and
beamforming using Fast Fourier or other transforms or processes;
a.2.d. Heading sensors having all of the following:
a.2.d.1. An ``accuracy'' of better than 0.5[deg];
and
a.2.d.2. Designed to operate at depths exceeding 35 m or having
an adjustable or removable depth sensing device in order to operate
at depths exceeding 35 m;
N.B.: For inertial heading systems, see 7A003.c.
a.2.e. Bottom or bay-cable hydrophone arrays having any of the
following:
a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a;
a.2.e.2. Incorporating multiplexed hydrophone group signal
modules having all of the following characteristics:
a.2.e.2.a. Designed to operate at depths exceeding 35 m or
having an adjustable or removal depth sensing device in order to
operate at depths exceeding 35 m; and
a.2.e.2.b. Capable of being operationally interchanged with
towed acoustic hydrophone array modules; or
a.2.e.3. Incorporating accelerometer-based hydro-acoustic
sensors specified by 6A001.a.2.g;
a.2.f. Processing equipment, ``specially designed'' for bottom
or bay cable systems, having ``user-accessible programmability'' and
time or frequency domain processing and correlation, including
spectral analysis,
[[Page 71965]]
digital filtering and beamforming using Fast Fourier or other
transforms or processes;
a.2.g. Accelerometer-based hydro-acoustic sensors having all of
the following:
a.2.g.1. Composed of three accelerometers arranged along three
distinct axes;
a.2.g.2. Having an overall `acceleration sensitivity' better
than 48 dB (reference 1,000 mV rms per 1g);
a.2.g.3. Designed to operate at depths greater than 35 meters;
and
a.2.g.4. Operating frequency below 20 kHz;
Note: 6A001.a.2.g does not apply to particle velocity sensors or
geophones.
Technical Notes:
1. For the purposes of 6A001.a.2.g, accelerometer-based hydro-
acoustic sensors are also known as vector sensors.
2. For the purposes of 6A001.a.2.g.2, `acceleration sensitivity'
is defined as twenty times the logarithm to the base 10 of the ratio
of rms output voltage to a 1 V rms reference, when the hydro-
acoustic sensor, without a preamplifier, is placed in a plane wave
acoustic field with an rms acceleration of 1 g (i.e., 9.81 m/s2).
b. Correlation-velocity and Doppler-velocity sonar log equipment
designed to measure the horizontal speed of the equipment carrier
relative to the sea bed, as follows:
b.1. Correlation-velocity sonar log equipment having any of the
following characteristics:
b.1.a. Designed to operate at distances between the carrier and
the sea bed exceeding 500 m; or
b.1.b. Having speed ``accuracy'' better than 1% of speed;
b.2. Doppler-velocity sonar log equipment having speed
``accuracy'' better than 1% of speed;
Note 1: 6A001.b does not apply to depth sounders limited to any
of the following:
a. Measuring the depth of water;
b. Measuring the distance of submerged or buried objects; or
c. Fish finding.
Note 2: 6A001.b does not apply to equipment ``specially
designed'' for installation on surface vessels.
c. [Reserved]
N.B.: For diver deterrent acoustic systems, see 8A002.r.
6A002 Optical sensors and equipment, and ``components'' therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, CC, RS, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
MT applies to optical detectors in MT Column 1
6A002.a.1, or a.3 that are ``specially
designed'' or modified to protect
``missiles'' against nuclear effects
(e.g., Electromagnetic Pulse (EMP), X-
rays, combined blast and thermal
effects), and usable for ``missiles''.
RS applies to 6A002.a.1, a.2, a.3 (except RS Column 1
a.3.d.2.a and a.3.e for lead selenide
based focal plane arrays (FPAs)), .c, and
.f..
CC applies to police-model infrared CC Column 1
viewers in 6A002.c.
AT applies to entire entry................ AT Column 1
UN applies to 6A002.a.1, a.2, a.3 and .c.. See Sec. 746.1(b) for UN
controls
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $500 for 6A002.f.
$3000; except N/A for MT and for 6A002.a.1, a.2, a.3, .c, and .f.
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(e) for infrared focal
plane arrays, image intensifier tubes, and related parts and
components, subject to the ITAR. (2) See USML Category XV(e) for
space-qualified focal plane arrays subject to the ITAR. (3) See also
ECCNs 6A102, 6A202, and 6A992. (4) See ECCN 0A919 for foreign-made
military commodities that incorporate commodities described in
6A002. (5) Section 744.9 imposes a license requirement on
commodities described in ECCN 6A002 if being exported, reexported,
or transferred (in-country) for use by a military end-user or for
incorporation into an item controlled by ECCN 0A919. (6) See USML
Categories XII(e) and XV(e)(3) for read-out integrated circuits
``subject to the ITAR.'' (7) See 6B002 for masks and reticles,
``specially designed'' for optical sensors specified by 6A002.a.1.b
or 6A002.a.1.d.
Related Definitions: N/A
Items:
a. Optical detectors as follows:
a.1. ``Space-qualified'' solid-state detectors as follows:
Note: For the purposes of 6A002.a.1, solid-state detectors
include ``focal plane arrays''.
a.1.a. ``Space-qualified'' solid-state detectors having all of
the following:
a.1.a.1. A peak response in the wavelength range exceeding 10 nm
but not exceeding 300 nm; and
a.1.a.2. A response of less than 0.1% relative to the peak
response at a wavelength exceeding 400 nm;
a.1.b. ``Space-qualified'' solid-state detectors having all of
the following:
a.1.b.1. A peak response in the wavelength range exceeding 900
nm but not exceeding 1,200 nm; and
a.1.b.2. A response ``time constant'' of 95 ns or less;
a.1.c. ``Space-qualified'' solid-state detectors having a peak
response in the wavelength range exceeding 1,200 nm but not
exceeding 30,000 nm;
a.1.d. ``Space-qualified'' ``focal plane arrays'' having more
than 2,048 elements per array and having a peak response in the
wavelength range exceeding 300 nm but not exceeding 900 nm;
a.2. Image intensifier tubes and ``specially designed''
``components'' therefor, as follows:
Note: 6A002.a.2 does not control non-imaging photomultiplier
tubes having an electron sensing device in the vacuum space limited
solely to any of the following:
a. A single metal anode; or
b. Metal anodes with a center to center spacing greater than 500
[mu]m.
Technical Note: For the purposes of 6A002.a.2, `charge
multiplication' is a form of electronic image amplification and is
defined as the generation of charge carriers as a result of an
impact ionization gain process. `Charge multiplication' sensors may
take the form of an image intensifier tube, solid state detector or
``focal plane array''.
a.2.a. Image intensifier tubes having all of the following:
a.2.a.1. A peak response in the wavelength range exceeding 400
nm but not exceeding 1,050 nm;
a.2.a.2. Electron image amplification using any of the
following:
a.2.a.2.a. A microchannel plate with a hole pitch (center-to-
center spacing) of 12 [mu]m or less; or
a.2.a.2.b. An electron sensing device with a non-binned pixel
pitch of 500 [mu]m or less, ``specially designed'' or modified to
achieve `charge multiplication' other than by a microchannel plate;
and
a.2.a.3. Any of the following photocathodes:
a.2.a.3.a. Multialkali photocathodes (e.g., S-20 and S-5) having
a luminous sensitivity exceeding 350 [mu]A/lm;
a.2.a.3.b. GaAs or GaInAs photocathodes; or
a.2.a.3.c. Other ``III-V compound'' semiconductor photocathodes
having a maximum ``radiant sensitivity'' exceeding 10 mA/W;
a.2.b. Image intensifier tubes having all of the following:
a.2.b.1. A peak response in the wavelength range exceeding 1,050
nm but not exceeding 1,800 nm;
a.2.b.2. Electron image amplification using any of the
following:
[[Page 71966]]
a.2.b.2.a. A microchannel plate with a hole pitch (center-to-
center spacing) of 12 [mu]m or less; or
a.2.b.2.b. An electron sensing device with a non-binned pixel
pitch of 500 [mu]m or less, ``specially designed'' or modified to
achieve `charge multiplication' other than by a microchannel plate;
and
a.2.b.3. ``III/V compound'' semiconductor (e.g., GaAs or GaInAs)
photocathodes and transferred electron photocathodes, having a
maximum ``radiant sensitivity'' exceeding 15 mA/W;
a.2.c. ``Specially designed'' ``components'' as follows:
a.2.c.1. Microchannel plates having a hole pitch (center-to-
center spacing) of 12 [mu]m or less;
a.2.c.2. An electron sensing device with a non-binned pixel
pitch of 500 [mu]m or less, ``specially designed'' or modified to
achieve `charge multiplication' other than by a microchannel plate;
a.2.c.3. ``III-V compound'' semiconductor (e.g., GaAs or GaInAs)
photocathodes and transferred electron photocathodes;
Note: 6A002.a.2.c.3 does not control compound semiconductor
photocathodes designed to achieve a maximum ``radiant sensitivity''
of any of the following:
a. 10 mA/W or less at the peak response in the wavelength range
exceeding 400 nm but not exceeding 1,050 nm; or
b. 15 mA/W or less at the peak response in the wavelength range
exceeding 1,050 nm but not exceeding 1,800 nm.
a.3. Non-``space-qualified'' ``focal plane arrays'' as follows:
N.B.: `Microbolometer' non-``space-qualified'' ``focal plane
arrays'' are only specified by 6A002.a.3.f.
Technical Note: For the purposes of 6A002.a.3, linear or two-
dimensional multi-element detector arrays are referred to as ``focal
plane arrays'';
Note 1: 6A002.a.3 includes photoconductive arrays and
photovoltaic arrays.
Note 2: 6A002.a.3 does not control:
a. Multi-element (not to exceed 16 elements) encapsulated
photoconductive cells using either lead sulphide or lead selenide;
b. Pyroelectric detectors using any of the following:
b.1. Triglycine sulphate and variants;
b.2. Lead-lanthanum-zirconium titanate and variants;
b.3. Lithium tantalate;
b.4. Polyvinylidene fluoride and variants; or
b.5. Strontium barium niobate and variants.
c. ``Focal plane arrays'' ``specially designed'' or modified to
achieve `charge multiplication' and limited by design to have a
maximum ``radiant sensitivity'' of 10 mA/W or less for wavelengths
exceeding 760 nm, having all of the following:
c.1. Incorporating a response limiting mechanism designed not to
be removed or modified; and
c.2. Any of the following:
c.2.a. The response limiting mechanism is integral to or
combined with the detector element; or
c.2.b. The ``focal plane array'' is only operable with the
response limiting mechanism in place.
d. Thermopile arrays having less than 5,130 elements;
Technical Note: For the purposes of 6A002.a.3 Note 2.c.2.a, a
response limiting mechanism integral to the detector element is
designed not to be removed or modified without rendering the
detector inoperable.
a.3.a. Non-``space-qualified'' ``focal plane arrays'' having all
of the following:
a.3.a.1. Individual elements with a peak response within the
wavelength range exceeding 900 nm but not exceeding 1,050 nm; and
a.3.a.2. Any of the following:
a.3.a.2.a. A response ``time constant'' of less than 0.5 ns; or
a.3.a.2.b. ``Specially designed'' or modified to achieve `charge
multiplication' and having a maximum ``radiant sensitivity''
exceeding 10 mA/W;
a.3.b. Non-``space-qualified'' ``focal plane arrays'' having all
of the following:
a.3.b.1. Individual elements with a peak response in the
wavelength range exceeding 1,050 nm but not exceeding 1,200 nm; and
a.3.b.2. Any of the following:
a.3.b.2.a. A response ``time constant'' of 95 ns or less; or
a.3.b.2.b. ``Specially designed'' or modified to achieve `charge
multiplication' and having a maximum ``radiant sensitivity''
exceeding 10 mA/W;
a.3.c. Non-``space-qualified'' non-linear (2-dimensional)
``focal plane arrays'' having individual elements with a peak
response in the wavelength range exceeding 1,200 nm but not
exceeding 30,000 nm;
N.B.: Silicon and other material based `microbolometer' non-
``space-qualified'' ``focal plane arrays'' are only specified by
6A002.a.3.f.
a.3.d. Non-``space-qualified'' linear (1-dimensional) ``focal
plane arrays'' having all of the following:
a.3.d.1. Individual elements with a peak response in the
wavelength range exceeding 1,200 nm but not exceeding 3,000 nm; and
a.3.d.2. Any of the following:
a.3.d.2.a. A ratio of `scan direction' dimension of the detector
element to the `cross-scan direction' dimension of the detector
element of less than 3.8; or
a.3.d.2.b. Signal processing in the detector elements;
Note: 6A002.a.3.d does not control ``focal plane arrays'' (not
to exceed 32 elements) having detector elements limited solely to
germanium material.
Technical Note: For the purposes of 6A002.a.3.d, `cross-scan
direction' is defined as the axis parallel to the linear array of
detector elements and the `scan direction' is defined as the axis
perpendicular to the linear array of detector elements.
a.3.e. Non-``space-qualified'' linear (1-dimensional) ``focal
plane arrays'' having individual elements with a peak response in
the wavelength range exceeding 3,000 nm but not exceeding 30,000 nm;
a.3.f. Non-``space-qualified'' non-linear (2-dimensional)
infrared ``focal plane arrays'' based on `microbolometer' material
having individual elements with an unfiltered response in the
wavelength range equal to or exceeding 8,000 nm but not exceeding
14,000 nm;
Technical Note: For the purposes of 6A002.a.3.f,
`microbolometer' is defined as a thermal imaging detector that, as a
result of a temperature change in the detector caused by the
absorption of infrared radiation, is used to generate any usable
signal.
a.3.g. Non-``space-qualified'' ``focal plane arrays'' having all
of the following:
a.3.g.1. Individual detector elements with a peak response in
the wavelength range exceeding 400 nm but not exceeding 900 nm;
a.3.g.2. ``Specially designed'' or modified to achieve `charge
multiplication' and having a maximum ``radiant sensitivity''
exceeding 10 mA/W for wavelengths exceeding 760 nm; and
a.3.g.3. Greater than 32 elements;
b. ``Monospectral imaging sensors'' and ``multispectral imaging
sensors'', designed for remote sensing applications and having any
of the following:
b.1. An Instantaneous-Field-Of-View (IFOV) of less than 200
[mu]rad (microradians); or
b.2. Specified for operation in the wavelength range exceeding
400 nm but not exceeding 30,000 nm and having all the following:
b.2.a. Providing output imaging data in digital format; and
b.2.b. Having any of the following characteristics:
b.2.b.1. ``Space-qualified''; or
b.2.b.2. Designed for airborne operation, using other than
silicon detectors, and having an IFOV of less than 2.5 mrad
(milliradians);
Note: 6A002.b.1 does not control ``monospectral imaging
sensors'' with a peak response in the wavelength range exceeding 300
nm but not exceeding 900 nm and only incorporating any of the
following non-``space-qualified'' detectors or non -``space-
qualified'' ``focal plane arrays'':
a. Charge Coupled Devices (CCD) not designed or modified to
achieve `charge multiplication'; or
b. Complementary Metal Oxide Semiconductor (CMOS) devices not
designed or modified to achieve `charge multiplication'.
c. `Direct view' imaging equipment incorporating any of the
following:
c.1. Image intensifier tubes having the characteristics listed
in 6A002.a.2.a or 6A002.a.2.b;
c.2. ``Focal plane arrays'' having the characteristics listed in
6A002.a.3; or
c.3. Solid state detectors specified by 6A002.a.1;
Technical Note: For the purposes of 6A002.c,`direct view' refers
to imaging equipment that presents a visual image to a human
observer without converting the image into an electronic signal for
television display, and that cannot record or store the image
photographically, electronically or by any other means.
Note: 6A002.c does not control equipment as follows, when
incorporating other than GaAs or GaInAs photocathodes:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
[[Page 71967]]
b. Medical equipment;
c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
d. Flame detectors for industrial furnaces;
e. Equipment ``specially designed'' for laboratory use.
d. Special support ``components'' for optical sensors, as
follows:
d.1. ``Space-qualified'' cryocoolers;
d.2. Non-``space-qualified'' cryocoolers having a cooling source
temperature below 218 K (-55 [deg]C), as follows:
d.2.a. Closed cycle type with a specified Mean-Time-To-Failure
(MTTF) or Mean-Time-Between-Failures (MTBF), exceeding 2,500 hours;
d.2.b. Joule-Thomson (JT) self-regulating minicoolers having
bore (outside) diameters of less than 8 mm;
d.3. Optical sensing fibers specially fabricated either
compositionally or structurally, or modified by coating, to be
acoustically, thermally, inertially, electromagnetically or nuclear
radiation sensitive.
Note: 6A002.d.3 does not apply to encapsulated optical sensing
fibers ``specially designed'' for bore hole sensing applications.
e. [Reserved]
f. `Read-Out Integrated Circuits' (`ROIC') ``specially
designed'' for ``focal plane arrays'' specified by 6A002.a.3.
Note: 6A002.f does not apply to read-out integrated circuits
``specially designed'' for civil automotive applications.
Technical Note: For the purposes of 6A002.f, a `Read-Out
Integrated Circuit' (`ROIC') is an integrated circuit designed to
underlie or be bonded to a ``focal plane array'' (``FPA'') and used
to read-out (i.e., extract and register) signals produced by the
detector elements. At a minimum the `ROIC' reads the charge from the
detector elements by extracting the charge and applying a
multiplexing function in a manner that retains the relative spatial
position and orientation information of the detector elements for
processing inside or outside the `ROIC'.
6A003 Cameras, systems or equipment, and ``components'' therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, RS, AT, UN
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
NP applies to cameras controlled by NP Column 1
6A003.a.3 or a.4 and to plug-ins in
6A003.a.6 for cameras controlled by
6A003.a.3 or a.4.
RS applies to 6A003.b.3, 6A003.b.4.a, RS Column 1
6A003.b.4.c and to items controlled in
6A003.b.4.b that have a frame rate
greater than 60 Hz or that incorporate a
focal plane array with more than 111,000
elements, or to items in 6A003.b.4.b when
being exported or reexported to be
embedded in a civil product. (But see
Sec. 742.6(a)(2)(iii) and (v) for
certain exemptions).
RS applies to items controlled in RS Column 2
6A003.b.4.b that have a frame rate of 60
Hz or less and that incorporate a focal
plane array with not more than 111,000
elements if not being exported or
reexported to be embedded in a civil
product.
AT applies to entire entry................ AT Column 1
UN applies to 6A003.b.3 and b.4........... See Sec. 746.1(b) for UN
controls
License Requirement Note: Commodities that are not subject to the
ITAR but are of the type described in USML Category XII(c) are
controlled as cameras in ECCN 6A003 when they incorporate a camera
controlled in this ECCN.
Reporting Requirements
See Sec. 743.3 of the EAR for thermal camera reporting for
exports that are not authorized by an individually validated license
of thermal imaging cameras controlled by ECCN 6A003.b.4.b to
destinations in Country Group A:1 (see Supplement No. 1 to part 740
of the EAR), must be reported to BIS.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1,500, except N/A for 6A003.a.3 through a.6, b.1, b.3 and b.4
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
6A003.b.3 or b.4 to any of the destinations listed in Country Group
A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 6A203. (3) See ECCN
0A919 for foreign made military commodities that incorporate cameras
described in 6A003. (4) Section 744.9 imposes a license requirement
on cameras described in 6A003 if being exported, reexported, or
transferred (in-country) for use by a military end-user or for
incorporation into a commodity controlled by ECCN 0A919. (5) See
USML Category XII(c) and (e) for cameras subject to the ITAR.
Related Definitions: N/A.
Items:
a. Instrumentation cameras and ``specially designed''
``components'' therefor, as follows:
Note: Instrumentation cameras, controlled by 6A003.a.3 to
6A003.a.5, with modular structures should be evaluated by their
maximum capability, using plug-ins available according to the camera
manufacturer's specifications.
a.1. [Reserved]
a.2. [Reserved]
a.3. Electronic streak cameras having temporal resolution better
than 50 ns;
a.4. Electronic framing cameras having a speed exceeding
1,000,000 frames/s;
a.5. Electronic cameras having all of the following:
a.5.a. An electronic shutter speed (gating capability) of less
than 1[micro]s per full frame; and
a.5.b. A read out time allowing a framing rate of more than 125
full frames per second;
a.6. Plug-ins having all of the following characteristics:
a.6.a. ``Specially designed'' for instrumentation cameras which
have modular structures and that are controlled by 6A003.a; and
a.6.b. Enabling these cameras to meet the characteristics
specified by 6A003.a.3, 6A003.a.4 or 6A003.a.5, according to the
manufacturer's specifications;
b. Imaging cameras as follows:
Note: 6A003.b does not control television or video cameras
``specially designed'' for television broadcasting.
b.1. Video cameras incorporating solid state sensors, having a
peak response in the wavelength range exceeding 10 nm, but not
exceeding 30,000 nm and having all of the following:
b.1.a. Having any of the following:
b.1.a.1. More than 4 x 10\6\ ``active pixels'' per solid state
array for monochrome (black and white) cameras;
b.1.a.2. More than 4 x 10\6\ ``active pixels'' per solid state
array for color cameras incorporating three solid state arrays; or
b.1.a.3. More than 12 x 10\6\ ``active pixels'' for solid state
array color cameras incorporating one solid state array; and
b.1.b. Having any of the following:
b.1.b.1. Optical mirrors controlled by 6A004.a.;
b.1.b.2. Optical control equipment controlled by 6A004.d.; or
b.1.b.3. The capability for annotating internally generated
`camera tracking data';
Technical Notes:
1. For the purposes of 6A003.b.1, digital video cameras should
be evaluated by the maximum number of ``active pixels'' used for
capturing moving images.
2. For the purposes of 6A003.b.1.b.3, `camera tracking data' is
the information
[[Page 71968]]
necessary to define camera line of sight orientation with respect to
the earth. This includes: (1) the horizontal angle the camera line
of sight makes with respect to the earth's magnetic field direction
and; (2) the vertical angle between the camera line of sight and the
earth's horizon.
b.2. Scanning cameras and scanning camera systems, having all of
the following:
b.2.a. A peak response in the wavelength range exceeding 10 nm,
but not exceeding 30,000 nm;
b.2.b. Linear detector arrays with more than 8,192 elements per
array; and
b.2.c. Mechanical scanning in one direction;
Note: 6A003.b.2 does not apply to scanning cameras and scanning
camera systems, ``specially designed'' for any of the following:
a. Industrial or civilian photocopiers;
b. Image scanners ``specially designed'' for civil, stationary,
close proximity scanning applications (e.g., reproduction of images
or print contained in documents, artwork or photographs); or
c. Medical equipment.
b.3. Imaging cameras incorporating image intensifier tubes
having the characteristics listed in 6A002.a.2.a or 6A002.a.2.b;
b.4. Imaging cameras incorporating ``focal plane arrays'' having
any of the following:
b.4.a. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.a to 6A002.a.3.e;
b.4.b. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.f; or
b.4.c. Incorporating ``focal plane arrays'' controlled by
6A002.a.3.g;
Note 1: Imaging cameras described in 6A003.b.4 include ``focal
plane arrays'' combined with sufficient ``signal processing''
electronics, beyond the read out integrated circuit, to enable as a
minimum the output of an analog or digital signal once power is
supplied.
Note 2: 6A003.b.4.a does not control imaging cameras
incorporating linear ``focal plane arrays'' with 12 elements or
fewer, not employing time-delay-and-integration within the element
and designed for any of the following:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Industrial equipment used for inspection or monitoring of
heat flows in buildings, equipment or industrial processes;
c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
d. Equipment ``specially designed'' for laboratory use; or
e. Medical equipment.
Note 3: 6A003.b.4.b does not control imaging cameras having any
of the following:
a. A maximum frame rate equal to or less than 9 Hz;
b. Having all of the following:
1. Having a minimum horizontal or vertical `Instantaneous-Field-
of-View (IFOV)' of at least 2 mrad (milliradians);
2. Incorporating a fixed focal-length lens that is not designed
to be removed;
3. Not incorporating a `direct view' display; and
Technical Note: For the purposes of 6A003.b.4 Note 3.b.3,
'direct view' refers to an imaging camera operating in the infrared
spectrum that presents a visual image to a human observer using a
near-to-eye micro display incorporating any light-security
mechanism.
4. Having any of the following:
a. No facility to obtain a viewable image of the detected field-
of-view; or
b. The camera is designed for a single kind of application and
designed not to be user modified; or
Technical Note:
For the purposes of 6A003.b.4 Note 3.b.1, `Instantaneous-Field-
of-View (IFOV)' is the lesser figure of the `Horizontal IFOV' or the
`Vertical IFOV'.
`Horizontal IFOV' = horizontal Field-of-View (FOV)/number of
horizontal detector elements.
`Vertical IFOV' = vertical Field-of-View (FOV)/number of
vertical detector elements.
c. The camera is ``specially designed'' for installation into a
civilian passenger land vehicle and having all of the following:
1. The placement and configuration of the camera within the
vehicle are solely to assist the driver in the safe operation of the
vehicle;
2. Is operable only when installed in any of the following:
a. The civilian passenger land vehicle for which it was intended
and the vehicle weighs less than 4,500 kg (gross vehicle weight); or
b. A ``specially designed'', authorized maintenance test
facility; and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the vehicle for which it was
intended.
Note: When necessary, details of the items will be provided,
upon request, to the Bureau of Industry and Security in order to
ascertain compliance with the conditions described in Note 3.b.4 and
Note 3.c in this Note to 6A003.b.4.b.
Note 4: 6A003.b.4.c does not apply to `imaging cameras' having
any of the following characteristics:
a. Having all of the following:
1. Where the camera is ``specially designed'' for installation
as an integrated component into indoor and wall-plug-operated
systems or equipment, limited by design for a single kind of
application, as follows:
a. Industrial process monitoring, quality control, or analysis
of the properties of materials;
b. Laboratory equipment ``specially designed'' for scientific
research;
c. Medical equipment;
d. Financial fraud detection equipment; and
2. Is only operable when installed in any of the following:
a. The system(s) or equipment for which it was intended; or
b. A ``specially designed,'' authorized maintenance facility;
and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the system(s) or equipment for
which it was intended;
b. Where the camera is ``specially designed'' for installation
into a civilian passenger land vehicle or passenger and vehicle
ferries and having all of the following:
1. The placement and configuration of the camera within the
vehicle or ferry are solely to assist the driver or operator in the
safe operation of the vehicle or ferry;
2. Is only operable when installed in any of the following:
a. The civilian passenger land vehicle for which it was intended
and the vehicle weighs less than 4,500 kg (gross vehicle weight);
b. The passenger and vehicle ferry for which it was intended and
having a length overall (LOA) 65 m or greater; or
c. A ``specially designed'', authorized maintenance test
facility; and
3. Incorporates an active mechanism that forces the camera not
to function when it is removed from the vehicle for which it was
intended;
c. Limited by design to have a maximum ``radiant sensitivity''
of 10 mA/W or less for wavelengths exceeding 760 nm, having all of
the following:
1. Incorporating a response limiting mechanism designed not to
be removed or modified; and
2. Incorporates an active mechanism that forces the camera not
to function when the response limiting mechanism is removed; and
3. Not ``specially designed'' or modified for underwater use; or
d. Having all of the following:
1. Not incorporating a `direct view' or electronic image
display;
2. Has no facility to output a viewable image of the detected
field of view;
3. The ``focal plane array'' is only operable when installed in
the camera for which it was intended; and
4. The ``focal plane array'' incorporates an active mechanism
that forces it to be permanently inoperable when removed from the
camera for which it was intended.
Note: When necessary, details of the item will be provided, upon
request, to the Bureau of Industry and Security in order to
ascertain compliance with the conditions described in Note 4 above.
b.5. Imaging cameras incorporating solid-state detectors
specified by 6A002.a.1.
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 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.
[[Page 71969]]
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 purposes 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:
For the purposes of 6A004.a.1:
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
sulfide (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. For the purposes of 6A004.e, 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.
2. For the purposes of 6A004.e.2, manufacturers are not required
to measure the surface roughness 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.
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
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.
[[Page 71970]]
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
$3000 for all other items
GBS: Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.b.6.d.2 (except 6A005.b.6.d.2.b) that have an output
wavelength exceeding 1,000 nm, but not exceeding 1,100 nm, and an
average or CW output power not exceeding 2 kW, and operate in a
pulse-excited, non- ``Q-switched'' multiple-transverse mode, or in a
continuously excited, multiple-transverse mode; Dye and Liquid
Lasers controlled by 6A005.c.1, c.2 and c.3, except for a pulsed
single longitudinal mode oscillator having an average output power
exceeding 1 W and a repetition rate exceeding 1 kHz if the ``pulse
duration'' is less than 100 ns; CO ``lasers'' controlled by
6A005.d.2 having a CW maximum rated single or multimode output power
not exceeding 10 kW; CO2 or CO/CO2 ``lasers''
controlled by 6A005.d.3 having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J
per pulse and a maximum rated average single or multimode output
power not exceeding 5 kW; and CO2 ``lasers'' controlled
by 6A005.d.3 that operate in CW multiple-transverse mode, and having
a CW output power not exceeding 15 kW.
List of Items Controlled
Related Controls (1) See ECCN 6D001 for ``software'' for items
controlled under this entry. (2) See ECCNs 6E001 (``development''),
6E002 (``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (3) Also see ECCNs 6A205 and 6A995. (4)
See ECCN 3B001 for excimer ``lasers'' ``specially designed'' for
lithography equipment. (5) ``Lasers'' ``especially 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: For the purposes of 6A005: (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: For the purposes of 6A005 Note 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.
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 M2-factor
of less than 1.3, while `multiple transverse mode' refers to
``lasers'' with a beam profile having an M2-factor of 1.3 or higher
a. Non-``tunable'' continuous wave ``(CW) lasers'' having any of
the following:
a.1. Output wavelength less than 150 nm and output power
exceeding 1W;
a.2. Output wavelength of 150 nm or more but not exceeding 510
nm and output power exceeding 30 W;
Note: 6A005.a.2 does not control Argon ``lasers'' having an
output power equal to or less than 50 W.
a.3. Output wavelength exceeding 510 nm but not exceeding 540 nm
and any of the following:
a.3.a. `Single transverse mode' output and output power
exceeding 50 W; or
a.3.b. `Multiple transverse mode' output and output power
exceeding 150 W;
a.4. Output wavelength exceeding 540 nm but not exceeding 800 nm
and output power exceeding 30 W;
a.5. Output wavelength exceeding 800 nm but not exceeding 975 nm
and any of the following:
a.5.a. `Single transverse mode' output and output power
exceeding 50 W; or
a.5.b. `Multiple transverse mode' output and output power
exceeding 80 W;
a.6. Output wavelength exceeding 975 nm but not exceeding 1,150
nm and any of the following;
a.6.a. `Single transverse mode' output and any of the following:
a.6.a.1. 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:
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:
[[Page 71971]]
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 80 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:
Notes:
1. 6A005.d.1 includes semiconductor ``lasers'' having optical
output connectors (e.g., fiber optic pigtails).
2. The control status of semiconductor ``lasers'' ``specially
designed'' for other equipment is determined by the control status
of the other equipment.
d.1.a. Individual single-transverse mode semiconductor
``lasers'' having any of the following:
d.1.a.1. Wavelength equal to or less than 1,570 nm and average
or CW output power, exceeding 2.0 W; or
d.1.a.2. Wavelength greater than 1,570 nm and average or CW
output power, exceeding 500 mW;
[[Page 71972]]
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 25 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 6A005.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:
For the purposes of 6A005.d.1.e:
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: For the purposes of 6A005.d.5.c, `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: For the purposes of 6A005.e.1, `active cooling'
is a cooling technique for optical ``components'' using flowing
fluids within the subsurface (nominally less than 1 mm below the
optical surface) of the optical component to remove heat from the
optic.
e.2. Optical mirrors or transmissive or partially transmissive
optical or electro-optical-''components,'' other than fused tapered
fiber combiners and Multi-Layer Dielectric gratings (MLDs),
``specially designed'' for use with controlled ``lasers'';
Note to 6A005.e.2: Fiber combiners and MLDs are specified by
6A005.e.3.
e.3. Fiber ``laser'' ``components'' as follows:
e.3.a. Multimode to multimode fused tapered fiber combiners
having all of the following:
e.3.a.1. An insertion loss better (less) than or equal to 0.3 dB
maintained at a rated total average or CW output power (excluding
output power transmitted through the single mode core if present)
exceeding 1,000 W; and
e.3.a.2. Number of input fibers equal to or greater than 3;
e.3.b. Single mode to multimode fused tapered fiber combiners
having all of the following:
e.3.b.1. An insertion loss better (less) than 0.5 dB maintained
at a rated total average or CW output power exceeding 4,600 W;
e.3.b.2. Number of input fibers equal to or greater than 3; and
e.3.b.3. Having any of the following:
e.3.b.3.a. A Beam Parameter Product (BPP) measured at the output
not exceeding 1.5 mm mrad for a number of input fibers less than or
equal to 5; or
e.3.b.3.b. A BPP measured at the output not exceeding 2.5 mm
mrad for a number of input fibers greater than 5;
[[Page 71973]]
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 [mu]m or less, for wavelengths
greater than 1 [mu]m; or
f.3.b. An ``accuracy'' of [lgr]/10 or less (better) at the
designed wavelength, for wavelengths equal to or less than 1 [mu]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 to or exceeding 10\3\.
Technical Note: For the purposes of 6A005.g, `laser acoustic
detection equipment' is sometimes referred to as a ``Laser''
Microphone or Particle Flow Detection Microphone.
6A006 ``Magnetometers'', ``magnetic gradiometers'', ``intrinsic
magnetic gradiometers'', underwater electric field sensors,
``compensation systems'', and ``specially designed'' ``components''
therefor, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $1500, N/A for 6A006.a.1; ``Magnetometers'' and subsystems
defined in 6A006.a.2 using optically pumped or nuclear precession
(proton/Overhauser) having a `sensitivity' lower (better) than 2 pT
(rms) per square root Hz; and 6A006.d, and 6A006.e.
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity
in: 6A006.a.1; or 6A006.a.2; or 6A006.c.1 ``Magnetic gradiometers''
using multiple ``magnetometers'' specified by 6A006.a.1 or
6.A006.a.2; or 6A006.d or .e (only for underwater receivers
incorporating magnetometers specified in 6A006.a.1 or 6A006.a.2) 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 6A996. This entry does not control
instruments ``specially designed'' for fishery applications or
biomagnetic measurements for medical diagnostics.
Related Definitions: N/A
Items:
a. ``Magnetometers'' and subsystems, as follows:
a.1. ``Magnetometers'' using ``superconductive'' (SQUID)
``technology'' and having any of the following:
a.1.a. SQUID systems designed for stationary operation, without
``specially designed'' subsystems designed to reduce in-motion
noise, and having a `sensitivity' equal to or lower (better) than 50
fT (rms) per square root Hz at a frequency of 1 Hz; or
a.1.b. SQUID systems having an in-motion-magnetometer
`sensitivity' lower (better) than 20 pT (rms) per square root Hz at
a frequency of 1 Hz and ``specially designed'' to reduce in-motion
noise;
a.2. ``Magnetometers'' using optically pumped or nuclear
precession (proton/Overhauser) ``technology'' having a `sensitivity'
lower (better) than 20 pT (rms) per square root Hz at a frequency of
1 Hz;
a.3. ``Magnetometers'' using fluxgate ``technology'' having a
'sensitivity' equal to or lower (better) than 10 pT (rms) per square
root Hz at a frequency of 1 Hz;
a.4. Induction coil ``magnetometers'' having a `sensitivity'
lower (better) than any of the following:
a.4.a. 0.05 nT (rms)/square root Hz at frequencies of less than
1 Hz;
a.4.b. 1 x 10-3 nT (rms)/square root Hz at
frequencies of 1 Hz or more but not exceeding 10 Hz; or
a.4.c. 1 x 10-4 nT (rms)/square root Hz at
frequencies exceeding 10 Hz;
a.5. Fiber optic ``magnetometers'' having a `sensitivity' lower
(better) than 1 nT (rms) per square root Hz;
b. Underwater electric field sensors having a `sensitivity'
lower (better) than 8 nanovolt per meter per square root Hz when
measured at 1 Hz;
c. ``Magnetic gradiometers'' as follows:
c.1. ``Magnetic gradiometers'' using multiple ``magnetometers''
controlled by 6A006.a;
c.2. Fiber optic ``intrinsic magnetic gradiometers'' having a
magnetic gradient field `sensitivity' lower (better) than 0.3 nT/m
(rms) per square root Hz;
c.3. ``Intrinsic magnetic gradiometers'', using ``technology''
other than fiber-optic ``technology'', having a magnetic gradient
field `sensitivity' lower (better) than 0.015 nT/m (rms) per square
root Hz;
d. ``Compensation systems'' for magnetic and underwater electric
field sensors resulting in a performance equal to or better than the
control parameters of 6A006.a, 6A006.b, and 6A006.c; and
e. Underwater electromagnetic receivers incorporating magnetic
field sensors specified by 6A006.a or underwater electric field
sensors specified by 6A006.b.
Technical Note: For the purposes of 6A006, `sensitivity' (noise
level) is the root mean square of the device-limited noise floor
which is the lowest signal that can be measured.
6A007 Gravity meters (gravimeters) and gravity gradiometers, 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 6A007.b and .c when the MT Column 1
accuracies in 6A007.b.1 and b.2 are met
or exceeded.
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: N/A
List of Items Controlled
Related Controls: (1) See USML Category XII(d) for certain gravity
meters (gravimeters) and gravity gradiometers subject to the ITAR.
(2) See also ECCNs 6A107, 6A997, and 7A611.
Related Definitions: N/A
Items:
a. Gravity meters designed or modified for ground use and having
a static ``accuracy'' of less (better) than 10 [mu]Gal;
Note: 6A007.a does not control ground gravity meters of the
quartz element (Worden) type.
b. Gravity meters designed for mobile platforms and having all
of the following:
b.1. A static ``accuracy'' of less (better) than 0.7 mGal; and
b.2. An in-service (operational) ``accuracy'' of less (better)
than 0.7 mGal having a `time-to-steady-state registration' of less
than 2 minutes under any combination of attendant corrective
compensations and motional influences;
[[Page 71974]]
Technical Note: For the purposes of 6A007.b.2, 'time-to-steady-
state registration' (also referred to as the gravimeter's response
time) is the time over which the disturbing effects of platform
induced accelerations (high frequency noise) are reduced.
c. Gravity gradiometers.
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: For the purposes of 6A008.b, 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: For the purposes of 6A008.e, 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](a\2\ + (b*d)\2\) where:
a = 0.5 m = constant depth error, i.e., the sum of all constant
depth errors
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: For the purposes of 6A008.l.1, `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.
l.2. [Reserved]
l.3. [Reserved]
l.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: For the purposes of 6A008.l.4, 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 U.S. Munitions List (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
designed to navigate
[[Page 71975]]
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.''
* * * * *
6B007 Equipment to produce, align and calibrate land-based gravity
meters with a static ``accuracy'' of less (better) than 0.1 mGal.
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:
The list of items controlled is contained in the ECCN heading.
* * * * *
6C002 Optical sensor 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
GBS: N/A
List of Items Controlled
Related Controls: See also 6C992.
Related Definitions: N/A
Items:
a. Elemental tellurium (Te) of purity levels of 99.9995% or
more;
b. Single crystals (including epitaxial wafers) of any of the
following:
b.1. Cadmium zinc telluride (CdZnTe), with zinc content less
than 6% by `mole fraction';
b.2. Cadmium telluride (CdTe) of any purity level; or
b.3. Mercury cadmium telluride (HgCdTe) of any purity level.
Technical Note: For the purposes of 6C002.b.1, `mole fraction'
is defined as the ratio of moles of ZnTe to the sum of the moles of
CdTe and ZnTe present in the crystal.
* * * * *
6C005 ``Laser'' 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: $1500
GBS: N/A
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
a. Synthetic crystalline ``laser'' host material in unfinished
form as follows:
a.1. Titanium doped sapphire;
a.2. [Reserved]
b. Rare-earth-metal doped double-clad fibers having any of the
following:
b.1. Nominal ``laser'' wavelength of 975 nm to 1,150 nm and
having all of the following:
b.1.a. Average core diameter equal to or greater than 25 [mu]m;
and
b.1.b. Core `Numerical Aperture' (`NA') less than 0.065; or
Note to 6C005.b.1: 6C005.b.1 does not apply to double-clad
fibers having an inner glass cladding diameter exceeding 150 [mu]m
and not exceeding 300 [mu]m.
b.2. Nominal ``laser'' wavelength exceeding 1,530 nm and having
all of the following:
b.2.a. Average core diameter equal to or greater than 20 [mu]m;
and
b.2.b. Core `NA' less than 0.1.
Technical Notes:
1. For the purposes of 6C005.b.1.b, the core `Numerical
Aperture' (`NA') is measured at the emission wavelengths of the
fiber.
2. 6C005.b includes fibers assembled with end caps.
* * * * *
6D003 Other ``software'' 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................ NS Column 1
RS applies to paragraph c................. 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)
TSR: Yes, except for 6D003.c and exports or reexports to
destinations outside of those countries listed in Country Group A:5
(See Supplement No. 1 to part 740 of the EAR) of ``software'' for
items controlled by 6D003.a.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
software in 6D003.a 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 ECCNs 6D103, 6D991, and 6D993.
Related Definitions: N/A
Items:
Acoustics
a. ``Software'' as follows:
a.1. ``Software'' ``specially designed'' for acoustic beam
forming for the ``real-time processing'' of acoustic data for
passive reception using towed hydrophone arrays;
a.2. ``Source code'' for the ``real-time processing'' of
acoustic data for passive reception using towed hydrophone arrays;
a.3. ``Software'' ``specially designed'' for acoustic beam
forming for the ``real-time processing'' of acoustic data for
passive reception using bottom or bay cable systems;
a.4. ``Source code'' for the ``real-time processing'' of
acoustic data for passive reception using bottom or bay cable
systems;
a.5. ``Software'' or ``source code'', ``specially designed'' for
all of the following:
a.5.a. ``Real-time processing'' of acoustic data from sonar
systems controlled by 6A001.a.1.e; and
a.5.b. Automatically detecting, classifying and determining the
location of divers or swimmers;
N.B.: For diver detection ``software'' or ``source code'',
``specially designed'' or modified for military use, see the U.S.
Munitions List of the International Traffic in Arms Regulations
(ITAR) (22 CFR part 121).
b. Optical sensors. None.
Cameras
c. ``Software'' designed or modified for cameras incorporating
``focal plane arrays'' specified by 6A002.a.3.f and designed or
modified to remove a frame rate restriction and allow the camera to
exceed the frame rate specified in 6A003.b.4 Note 3.a;
Optics
d. ``Software'' ``specially designed'' to maintain the alignment
and phasing of segmented mirror systems consisting of mirror
segments having a diameter or major axis length equal to or larger
than 1 m;
e. Lasers. None.
Magnetic and Electric Field Sensors
f. ``Software'' as follows:
f.1. ``Software'' ``specially designed'' for magnetic and
electric field ``compensation systems'' for magnetic sensors
designed to operate on mobile platforms;
[[Page 71976]]
f.2. ``Software'' ``specially designed'' for magnetic and
electric field anomaly detection on mobile platforms;
f.3. ``Software'' ``specially designed'' for ``real-time
processing'' of electromagnetic data using underwater
electromagnetic receivers specified by 6A006.e;
f.4. ``Source code'' for ``real-time processing'' of
electromagnetic data using underwater electromagnetic receivers
specified by 6A006.e;
Gravimeters
g. ``Software'' ``specially designed'' to correct motional
influences of gravity meters or gravity gradiometers;
Radar
h. ``Software'' as follows:
h.1. Air Traffic Control (ATC) ``software'' designed to be
hosted on general purpose computers located at Air Traffic Control
centers and capable of accepting radar target data from more than
four primary radars;
h.2. ``Software'' for the design or ``production'' of radomes
having all of the following:
h.2.a. ``Specially designed'' to protect the ``electronically
scanned array antennae'' specified by 6A008.e; and
h.2.b. Resulting in an antenna pattern having an `average side
lobe level' more than 40 dB below the peak of the main beam level.
Technical Note: For the purposes of 6D003.h.2.b `average side
lobe level' is measured over the entire array excluding the angular
extent of the main beam and the first two side lobes on either side
of the main beam.
* * * * *
6E003 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: Yes
List of Items Controlled
Related Controls: See also 6E993.
Related Definitions: N/A
Items:
Acoustics
a. [Reserved]
Optical Sensors
b. [Reserved]
Cameras
c. [Reserved]
Optics
d. ``Technology'' as follows:
d.1. ``Technology'' ``required'' for the coating and treatment
of optical surfaces to achieve an `optical thickness' uniformity of
99.5% or better for optical coatings 500 mm or more in diameter or
major axis length and with a total loss (absorption and scatter) of
less than 5 x 10-3;
N.B.: See also 2E003.f.
Technical Note: For the purposes of 6E003.d.1, `optical
thickness' is the mathematical product of the index of refraction
and the physical thickness of the coating.
d.2. ``Technology'' for the fabrication of optics using single
point diamond turning techniques to produce surface finish
``accuracies'' of better than 10 nm rms on non-planar surfaces
exceeding 0.5 m\2\;
Lasers
e. ``Technology'' ``required'' for the ``development,''
``production'' or ``use'' of ``specially designed'' diagnostic
instruments or targets in test facilities for ``SHPL'' testing or
testing or evaluation of materials irradiated by ``SHPL'' beams;
Magnetic and Electric Field Sensors
f. [Reserved]
Gravimeters
g. [Reserved]
Radar
h. [Reserved]
* * * * *
7A003 `Inertial measurement equipment or systems', having any of the
following.
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to commodities in 7A003.d that MT Column 1
meet or exceed the parameters of 7A103.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also ECCNs 7A103, 7A611, and 7A994. (2)
See USML Category XII(d) for guidance or navigation systems subject
to the ITAR.
Related Definitions: N/A
Items:
7A003 does not apply to `inertial measurement equipment or
systems' which are certified for use on ``civil aircraft'' by civil
aviation authorities of one or more Wassenaar Arrangement
Participating States, see Supplement No. 1 to part 743 of the EAR.
Technical Notes:
1. For the purposes of 7A003, 'inertial measurement equipment or
systems' incorporate accelerometers or gyroscopes to measure changes
in velocity and orientation in order to determine or maintain
heading or position without requiring an external reference once
aligned. 'Inertial measurement equipment or systems' include:
Attitude and Heading Reference Systems (AHRSs);
Gyrocompasses;
Inertial Measurement Units (IMUs);
Inertial Navigation Systems (INSs);
Inertial Reference Systems (IRSs);
Inertial Reference Units (IRUs).
2. For the purposes of 7A003, `positional aiding references'
independently provide position, and include:
a. ``Satellite navigation system'';
b.''Data-Based Referenced Navigation'' (``DBRN'').
a. Designed for ``aircraft'', land vehicles or vessels,
providing position without the use of `positional aiding
references', and having any of the following ``accuracies''
subsequent to normal alignment:
a.1. 0.8 nautical miles per hour (nm/hr) ``Circular Error
Probable'' (``CEP'') rate or less (better);
a.2. 0.5% distanced travelled ``CEP'' or less (better); or
a.3. Total drift of 1 nautical mile ``CEP'' or less (better) in
a 24 hr period;
Technical Note: For the purposes of 7A003.a.1, 7A003.a.2 and
7A003.a.3, the performance parameters typically apply to `inertia
measurement equipment or systems' designed for ``aircraft'',
vehicles and vessels, respectively. These parameters result from the
utilization of specialized non-`positional aiding references' (e.g.,
altimeter, odometer, velocity log). As a consequence, the specified
performance values cannot be readily converted between these
parameters. Equipment designed for multiple platforms are evaluated
against each applicable entry 7A003.a.1, 7A003.a.2, or 7A003.a.3.
b. Designed for ``aircraft'', land vehicles or vessels, with an
embedded `positional aiding reference' and providing position after
loss of all `positional aiding references' for a period of up to 4
minutes, having an ``accuracy'' of less (better) than 10 meters
``CEP'';
Technical Note: For the purposes of 7A003.b, this entry refers
to systems in which `inertial measurement equipment or systems' and
other independent `positional aiding references' are built into a
single unit (i.e., embedded) in order to achieve improved
performance.
c. Designed for ``aircraft'', land vehicles or vessels,
providing heading or True North determination and having any of the
following:
c.1. A maximum operating angular rate less (lower) than 500 deg/
s and a heading ``accuracy'' without the use of `positional aiding
references' equal to or less (better) than 0.07 deg sec (Lat)
(equivalent to 6 arc minutes rms at 45 degrees latitude); or
c.2. A maximum operating angular rate equal to or greater
(higher) than 500 deg/s and a heading ``accuracy'' without the use
of `positional aiding references' equal to or less (better) than 0.2
deg sec (Lat) (equivalent to 17 arc minutes rms at 45 degrees
latitude);
d. Providing acceleration measurements or angular rate
measurements, in more than one dimension, and having any of the
following:
[[Page 71977]]
d.1. Performance specified by 7A001 or 7A002 along any axis,
without the use of any aiding references; or
d.2. Being ``space-qualified'' and providing angular rate
measurements having an ``angle random walk'' along any axis of less
(better) than or equal to 0.1 degree per square root hour.
Note: 7A003.d.2 does not apply to `inertial measurement
equipment or systems' that contain ``spinning mass gyros'' as the
only type of gyro.
7A004 `Star trackers' and ``components'' therefor, 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 entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See USML Category XV for certain `star
trackers' that are ``subject to the ITAR'' (see 22 CFR parts 120
through 130). (2) See also 7A104 and 7A994.
Related Definitions: N/A
Items:
a. `Star trackers' with a specified azimuth ``accuracy'' of
equal to or less (better) than 20 seconds of arc throughout the
specified lifetime of the equipment;
b. ``Components'' ``specially designed'' for equipment specified
in 7A004.a as follows:
b.1. Optical heads or baffles;
b.2. Data processing units.
Technical Note: For the purposes of 7A004.a, `star trackers' are
also referred to as stellar attitude sensors or gyro-astro
compasses.
7A005 ``Satellite navigation system'' receiving equipment having any
of the following and ``specially designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, MT and AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to 7A005.b..................... NS Column 1
MT applies to commodities in 7A005.b that MT Column 1
meet or exceed the parameters of 7A105.
AT applies to 7A005.b..................... AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also ECCNs 7A105, 7A611 and 7A994.
Commercially available ``satellite navigation system'' receivers do
not typically employ decryption or adaptive antennae and are
classified as 7A994. (2) See USML Category XII(d) for ``satellite
navigation system'' receiving equipment subject to the ITAR and USML
Category XI(c)(10) for antennae that are subject to the ITAR. (3)
Items that otherwise would be covered by ECCN 7A005.a are ``subject
to the ITAR'' (see 22 CFR parts 120 through 130).
Related Definitions: N/A
Items:
a. Employing a decryption algorithm ``specially designed'' or
modified for government use to access the ranging code for position
and time; or
b. Employing `adaptive antenna systems'.
Note: 7A005.b does not apply to ``satellite navigation system''
receiving equipment that only uses ``components'' designed to
filter, switch, or combine signals from multiple omni-directional
antennas that do not implement adaptive antenna techniques.
Technical Note: For the purposes of 7A005.b, `adaptive antenna
systems' dynamically generate one or more spatial nulls in an
antenna array pattern by signal processing in the time domain or
frequency domain.
7A006 Airborne altimeters operating at frequencies other than 4.2 to
4.4 GHz inclusive and having any of the following (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 commodities in this entry MT Column 1
that meet or exceed the parameters of
7A106.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 7A106, 7A994 and Category 6 for controls
on radar.
Related Definitions: N/A
Items:
a. `Power management'; or
Technical Note: For the purposes of 7A006.a, `power management'
is changing the transmitted power of the altimeter signal so that
received power at the ``aircraft'' altitude is always at the minimum
necessary to determine the altitude.
b. Using phase shift key modulation.
* * * * *
7B001 Test, calibration or alignment equipment, ``specially
designed'' for equipment controlled by 7A (except 7A994).
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 entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 7B101, 7B102 and 7B994. (2) This
entry does not control test, calibration or alignment equipment for
`Maintenance level I' or `Maintenance Level II'.
Related Definition: For the purposes of 7B001: (1) `Maintenance
Level I': The failure of an inertial navigation unit is detected on
the ``aircraft'' by indications from the Control and Display Unit
(CDU) or by the status message from the corresponding sub-system. By
following the manufacturer's manual, the cause of the failure may be
localized at the level of the malfunctioning Line Replaceable Unit
(LRU). The operator then removes the LRU and replaces it with a
spare. (2) `Maintenance Level II': The defective LRU is sent to the
maintenance workshop (the manufacturer's or that of the operator
responsible for level II maintenance). At the maintenance workshop,
the malfunctioning LRU is tested by various appropriate means to
verify and localize the defective Shop Replaceable Assembly (SRA)
module responsible for the failure. This SRA is removed and replaced
by an operative spare. The defective SRA (or possibly the complete
LRU) is then shipped to the manufacturer. `Maintenance Level II'
does not include the disassembly or repair of controlled
accelerometers or gyro sensors.
Items:
The list of items controlled is contained in the ECCN heading.
* * * * *
7D002 ``Source code'' for the operation or maintenance of any
inertial navigation equipment, including inertial equipment not
controlled by 7A003 or 7A004, or Attitude and Heading Reference
Systems (`AHRS').
License Requirements
Reason for Control: NS, MT, AT
[[Page 71978]]
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to entire entry................ MT Column 1
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
List of Items Controlled
Related Controls: (1.) See also 7D102 and 7D994. (2.) This entry
does not control ``source code'' for the operation or maintenance of
gimballed `AHRS'.
Related Definition: For the purposes of 7D002, `AHRS' generally
differ from Inertial Navigation Systems (INS) in that an `AHRS'
provides attitude and heading information and normally does not
provide the acceleration, velocity and position information
associated with an INS.
Items:
The list of items controlled is contained in the ECCN heading.
* * * * *
7E004 Other ``technology'' 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 ``technology'' for equipment MT Column 1
or systems controlled for MT reasons.
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 7E004, except for
7E004.a.7. (2) Paragraph (c)(2) of License Exception STA (Sec.
740.20(c)(2) of the EAR) may not be used for 7E004, except for
7E004.a.7.
List of Items Controlled
Related Controls: (1) See also 7E001, 7E002, 7E101, and 7E994. (2)
In addition to the Related Controls in 7E001, 7E002, and 7E101 that
include MT controls, also see the MT controls in 7E104 for design
``technology'' for the integration of the flight control, guidance,
and propulsion data into a flight management system, designed or
modified for rockets or missiles capable of achieving a ``range''
equal to or greater than 300 km, for optimization of rocket system
trajectory; and also see 9E101 for design ``technology'' for
integration of air vehicle fuselage, propulsion system and lifting
control surfaces, designed or modified for unmanned aerial vehicles
capable of achieving a ``range'' equal to or greater than 300 km, to
optimize aerodynamic performance throughout the flight regime of an
unmanned aerial vehicle.
Related Definitions: N/A.
Items:
a. ``Technology'' for the ``development'' or ``production'' of
any of the following:
a.1. [Reserved]
a.2. Air data systems based on surface static data only, i.e.,
which dispense with conventional air data probes;
a.3. Three dimensional displays for ``aircraft'';
a.4. [Reserved]
a.5. Electric actuators (i.e., electromechanical,
electrohydrostatic and integrated actuator package) ``specially
designed'' for `primary flight control';
Technical Note: For the purposes of 7E004.a.5, `primary flight
control' is ``aircraft'' stability or maneuvering control using
force/moment generators, i.e., aerodynamic control surfaces or
propulsive thrust vectoring.
a.6. `Flight control optical sensor array' ``specially
designed'' for implementing ``active flight control systems''; or
Technical Note: For the purposes of 7E004.a.6, a `flight control
optical sensor array' is a network of distributed optical sensors,
using ``laser'' beams, to provide real-time flight control data for
on-board processing.
a.7. ``DBRN'' systems designed to navigate underwater, using
sonar or gravity databases, that provide a positioning ``accuracy''
equal to or less (better) than 0.4 nautical miles;
b. ``Development'' ``technology'', as follows, for ``active
flight control systems'' (including ``fly-by-wire systems'' or
``fly-by-light systems''):
b.1. Photonic-based ``technology'' for sensing ``aircraft'' or
flight control component state, transferring flight control data, or
commanding actuator movement, ``required'' for ``fly-by-light
systems'' ``active flight control systems'';
b.2. [Reserved]
b.3. Real-time algorithms to analyze component sensor
information to predict and preemptively mitigate impending
degradation and failures of components within an ``active flight
control system'';
Note: 7E004.b.3 does not include algorithms for purpose of off-
line maintenance.
b.4. Real-time algorithms to identify component failures and
reconfigure force and moment controls to mitigate ``active flight
control system'' degradations and failures;
Note: 7E004.b.4 does not include algorithms for the elimination
of fault effects through comparison of redundant data sources, or
off-line pre-planned responses to anticipated failures.
b.5. Integration of digital flight control, navigation and
propulsion control data, into a digital flight management system for
``total control of flight'';
Note: 7E004.b.5 does not apply to:
1. ``Technology'' for integration of digital flight control,
navigation and propulsion control data, into a digital flight
management system for `flight path optimization';
2. ``Technology'' for ``aircraft'' flight instrument systems
integrated solely for VOR, DME, ILS or MLS navigation or approaches.
Technical Note: `Flight path optimization' is a procedure that
minimizes deviations from a four-dimensional (space and time)
desired trajectory based on maximizing performance or effectiveness
for mission tasks.
b.6. [Reserved]
b.7. ``Technology'' ``required'' for deriving the functional
requirements for ``fly-by-wire systems'' having all of the
following:
b.7.a. `Inner-loop' airframe stability controls requiring loop
closure rates of 40 Hz or greater; and
Technical Note: For the purposes of 7E004.b.7.a, `inner-loop'
refers to functions of ``active flight control systems'' that
automate airframe stability controls.
b.7.b. Having any of the following:
b.7.b.1. Corrects an aerodynamically unstable airframe, measured
at any point in the design flight envelope, that would lose
recoverable control if not corrected within 0.5 seconds;
b.7.b.2. Couples controls in two or more axes while compensating
for `abnormal changes in aircraft state';
Technical Note: For the purposes of 7E004.b.7.b.2, `abnormal
changes in aircraft state' include in-flight structural damage, loss
of engine thrust, disabled control surface, or destabilizing shifts
in cargo load.
b.7.b.3. Performs the functions specified in 7E004.b.5; or
Note: 7E004.b.7.b.3 does not apply to autopilots.
b.7.b.4. Enables ''aircraft'' to have stable controlled flight,
other than during take-off or landing, at greater than 18 degrees
angle of attack, 15 degrees side slip, 15 degrees/second pitch or
yaw rate, or 90 degrees/second roll rate;
b.8. ``Technology'' ``required'' for deriving the functional
requirements of ``fly-by-wire systems'' to achieve all of the
following:
b.8.a. No loss of control of the ''aircraft'' in the event of a
consecutive sequence of any two individual faults within the ``fly-
by-wire system''; and
b.8.b. Probability of loss of control of the ''aircraft'' being
less (better) than 1 x 10-9 failures per flight hour;
Note: 7E004.b does not apply to ``technology'' associated with
common computer elements and utilities (e.g., input signal
acquisition, output signal transmission, computer ``program'' and
data loading, built-in test, task scheduling mechanisms) not
providing a specific flight control system function.
c. ``Technology'' for the ``development'' of helicopter systems,
as follows:
c.1. Multi-axis fly-by-wire or fly-by-light controllers, which
combine the functions of at least two of the following into one
controlling element:
[[Page 71979]]
c.1.a. Collective controls;
c.1.b. Cyclic controls;
c.1.c. Yaw controls;
c.2. ``Circulation-controlled anti-torque or circulation-
controlled direction control systems'';
c.3. Rotor blades incorporating `variable geometry airfoils',
for use in systems using individual blade control.
Technical Note: For the purposes of 7E004.c.3, `variable
geometry airfoils' use trailing edge flaps or tabs, or leading edge
slats or pivoted nose droop, the position of which can be controlled
in flight.
* * * * *
8A001 Submersible vehicles and surface vessels, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000; N/A for 8A001.b and .c.1
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
8A001.b, 8A001.c or 8A001.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: For the control status of equipment for
submersible vehicles, see: Category 6 for sensors; Categories 7 and
8 for navigation equipment; Category 8A for underwater equipment.
Related Definitions: N/A
Items:
a. Manned, tethered submersible vehicles designed to operate at
depths exceeding 1,000 m;
b. Manned, untethered submersible vehicles having any of the
following:
b.1. Designed to `operate autonomously' and having a lifting
capacity of all the following:
b.1.a. 10% or more of their weight in air; and
b.1.b. 15 kN or more;
b.2. Designed to operate at depths exceeding 1,000 m; or
b.3. Having all of the following:
b.3.a. Designed to continuously `operate autonomously' for 10
hours or more; and
b.3.b. `Range' of 25 nautical miles or more;
Technical Notes:
1. For the purposes of 8A001.b, `operate autonomously' means
fully submerged, without snorkel, all systems working and cruising
at minimum speed at which the submersible can safely control its
depth dynamically by using its depth planes only, with no need for a
support vessel or support base on the surface, sea-bed or shore, and
containing a propulsion system for submerged or surface use.
2. For the purposes of 8A001.b, `range' means half the maximum
distance a submersible vehicle can `operate autonomously'.
c. Unmanned submersible vehicles as follows:
c.1. Unmanned submersible vehicles having any of the following:
c.1.a. Designed for deciding a course relative to any
geographical reference without real-time human assistance;
c.1.b. Acoustic data or command link; or
c.1.c. Wireless optical data or command link exceeding 1,000 m;
c.2. Unmanned, submersible vehicles, not specified in 8A001.c.1,
having all of the following:
c.2.a. Designed to operate with a tether;
c.2.b. Designed to operate at depths exceeding 1,000 m; and
c.2.c. Having any of the following:
c.2.c.1. Designed for self-propelled maneuver using propulsion
motors or thrusters specified by 8A002.a.2; or
c.2.c.2. Fiber optic data link;
d. [Reserved]
e. Ocean salvage systems with a lifting capacity exceeding 5 MN
for salvaging objects from depths exceeding 250 m and having any of
the following:
e.1. Dynamic positioning systems capable of position keeping
within 20 m of a given point provided by the navigation system; or
e.2. Seafloor navigation and navigation integration systems, for
depths exceeding 1,000 m and with positioning ``accuracies'' to
within 10 m of a predetermined point.
8A002 Marine systems, equipment, ``parts'' and ``components,'' as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 2
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: $5000; N/A for 8A002.o.3.b
GBS: Yes for manipulators for civil end uses (e.g., underwater oil,
gas or mining operations) controlled by 8A002.i.2 and having 5
degrees of freedom of movement; and 8A002.r.
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
8A002.b, h, j, o.3, or p to any of the destinations listed in
Country Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: (1) See also 8A992 and for underwater
communications systems, see Category 5, Part I--Telecommunications.
(2) See also 8A992 for self-contained underwater breathing apparatus
that is not controlled by 8A002 or released for control by the
8A002.q Note. (3) For electronic imaging systems ``specially
designed'' or modified for underwater use incorporating image
intensifier tubes specified by 6A002.a.2.a or 6A002.a.2.b, see
6A003.b.3. (4) For electronic imaging systems ``specially designed''
or modified for underwater use incorporating ``focal plane arrays''
specified by 6A002.a.3.g, see 6A003.b.4.c. (5) Section 744.9 imposes
a license requirement on commodities described in 8A002.d if being
exported, reexported, or transferred (in-country) for use by a
military end-user or for incorporation into an item controlled by
ECCN 0A919.
Related Definitions: N/A
Items:
a. Systems, equipment, ``parts'' and ``components,'' ``specially
designed'' or modified for submersible vehicles and designed to
operate at depths exceeding 1,000 m, as follows:
a.1. Pressure housings or pressure hulls with a maximum inside
chamber diameter exceeding 1.5 m;
a.2. Direct current propulsion motors or thrusters;
a.3. Umbilical cables, and connectors therefor, using optical
fiber and having synthetic strength members;
a.4. ``Parts'' and ``components'' manufactured from material
specified by ECCN 8C001;
Technical Note: For the purposes of 8A002.a.4, this entry should
not be defeated by the export of `syntactic foam' controlled by
8C001 when an intermediate stage of manufacture has been performed
and it is not yet in its final component form.
b. Systems ``specially designed'' or modified for the automated
control of the motion of submersible vehicles controlled by 8A001,
using navigation data, having closed loop servo-controls and having
any of the following:
b.1. Enabling a vehicle to move within 10 m of a predetermined
point in the water column;
b.2. Maintaining the position of the vehicle within 10 m of a
predetermined point in the water column; or
b.3. Maintaining the position of the vehicle within 10 m while
following a cable on or under the seabed;
c. Fiber optic pressure hull penetrators;
d. Underwater vision systems having all of the following:
d.1. ``Specially designed'' or modified for remote operation
with an underwater vehicle; and
[[Page 71980]]
d.2. Employing any of the following techniques to minimize the
effects of back scatter:
d.2.a. Range-gated illuminators; or
d.2.b. Range-gated ``laser'' systems;
e. [Reserved]
f. [Reserved]
g. Light systems ``specially designed'' or modified for
underwater use, as follows:
g.1. Stroboscopic light systems capable of a light output energy
of more than 300 J per flash and a flash rate of more than 5 flashes
per second;
g.2. Argon arc light systems ``specially designed'' for use
below 1,000 m;
h. ``Robots'' ``specially designed'' for underwater use,
controlled by using a dedicated computer and having any of the
following:
h.1. Systems that control the ``robot'' using information from
sensors which measure force or torque applied to an external object,
distance to an external object, or tactile sense between the
``robot'' and an external object; or
h.2. The ability to exert a force of 250 N or more or a torque
of 250 Nm or more and using titanium based alloys or ``composite''
``fibrous or filamentary materials'' in their structural members;
i. Remotely controlled articulated manipulators ``specially
designed'' or modified for use with submersible vehicles and having
any of the following:
i.1. Systems which control the manipulator using information
from sensors which measure any of the following:
i.1.a. Torque or force applied to an external object; or
i.1.b. Tactile sense between the manipulator and an external
object; or
i.2. Controlled by proportional master-slave techniques and
having 5 degrees of `freedom of movement' or more;
Technical Note: For the purposes of 8A002.i.2, only functions
having proportionally related motion control using positional
feedback are counted when determining the number of degrees of
`freedom of movement'.
j. Air independent power systems ``specially designed'' for
underwater use, as follows:
j.1. Brayton or Rankine cycle engine air independent power
systems having any of the following:
j.1.a. Chemical scrubber or absorber systems, ``specially
designed'' to remove carbon dioxide, carbon monoxide and
particulates from recirculated engine exhaust;
j.1.b. Systems ``specially designed'' to use a monoatomic gas;
j.1.c. Devices or enclosures, ``specially designed'' for
underwater noise reduction in frequencies below 10 kHz, or special
mounting devices for shock mitigation; or
j.1.d. Systems having all of the following:
j.1.d.1. ``Specially designed'' to pressurize the products of
reaction or for fuel reformation;
j.1.d.2. ``Specially designed'' to store the products of the
reaction; and
j.1.d.3. ``Specially designed'' to discharge the products of the
reaction against a pressure of 100 kPa or more;
j.2. Diesel cycle engine air independent systems having all of
the following:
j.2.a. Chemical scrubber or absorber systems, ``specially
designed'' to remove carbon dioxide, carbon monoxide and
particulates from recirculated engine exhaust;
j.2.b. Systems ``specially designed'' to use a monoatomic gas;
j.2.c. Devices or enclosures, ``specially designed'' for
underwater noise reduction in frequencies below 10 kHz, or special
mounting devices for shock mitigation; and
j.2.d. ``Specially designed'' exhaust systems that do not
exhaust continuously the products of combustion;
j.3. ``Fuel cell'' air independent power systems with an output
exceeding 2 kW and having any of the following:
j.3.a. Devices or enclosures, ``specially designed'' for
underwater noise reduction in frequencies below 10 kHz, or special
mounting devices for shock mitigation; or
j.3.b. Systems having all of the following:
j.3.b.1. ``Specially designed'' to pressurize the products of
reaction or for fuel reformation;
j.3.b.2. ``Specially designed'' to store the products of the
reaction; and
j.3.b.3. ``Specially designed'' to discharge the products of the
reaction against a pressure of 100 kPa or more;
j.4. Stirling cycle engine air independent power systems having
all of the following:
j.4.a. Devices or enclosures, ``specially designed'' for
underwater noise reduction in frequencies below 10 kHz, or special
mounting devices for shock mitigation; and
j.4.b. ``Specially designed'' exhaust systems which discharge
the products of combustion against a pressure of 100 kPa or more;
k. [Reserved]
l. [Reserved]
m. [Reserved]
n. [Reserved]
o. Propellers, power transmission systems, power generation
systems and noise reduction systems, as follows:
o.1. [Reserved]
o.2. Water-screw propeller, power generation systems or
transmission systems, designed for use on vessels, as follows:
o.2.a. Controllable-pitch propellers and hub assemblies, rated
at more than 30 MW;
o.2.b. Internally liquid-cooled electric propulsion motors with
a power output exceeding 2.5 MW;
o.2.c. ``Superconductive'' propulsion motors with a power output
exceeding 0.1 MW;
o.2.d. Power transmission shaft systems incorporating
``composite'' material ``parts'' or ``components'' and capable of
transmitting more than 2 MW;
o.2.e. Ventilated or base-ventilated propeller systems, rated at
more than 2.5 MW;
o.3. Noise reduction systems designed for use on vessels of
1,000 tonnes displacement or more, as follows:
o.3.a. Systems that attenuate underwater noise at frequencies
below 500 Hz and consist of compound acoustic mounts for the
acoustic isolation of diesel engines, diesel generator sets, gas
turbines, gas turbine generator sets, propulsion motors or
propulsion reduction gears, ``specially designed'' for sound or
vibration isolation and having an intermediate mass exceeding 30% of
the equipment to be mounted;
o.3.b. `Active noise reduction or cancellation systems' or
magnetic bearings, ``specially designed'' for power transmission
systems;
Technical Note: For the purposes of 8A002.o.3.b, 'active noise
reduction or cancellation systems' incorporate electronic control
systems capable of actively reducing equipment vibration by the
generation of anti-noise or anti-vibration signals directly to the
source.
o.4. Permanent magnet electric propulsion motors ``specially
designed'' for submersible vehicles, having a power output exceeding
0.1 MW.
Note: 8A002.o.4. includes rim-driven propulsion systems.
p. Pumpjet propulsion systems having all of the following:
p.1. Power output exceeding 2.5 MW; and
p.2. Using divergent nozzle and flow conditioning vane
techniques to improve propulsive efficiency or reduce propulsion-
generated underwater-radiated noise;
q. Underwater swimming and diving equipment as follows;
q.1. Closed circuit rebreathers;
q.2. Semi-closed circuit rebreathers;
Note: 8A002.q does not control individual rebreathers for
personal use when accompanying their users.
N.B. For equipment and devices ``specially designed'' for
military use see ECCN 8A620.f.
r. Diver deterrent acoustic systems ``specially designed'' or
modified to disrupt divers and having a sound pressure level equal
to or exceeding 190 dB (reference 1 [micro]Pa at 1 m) at frequencies
of 200 Hz and below.
Note 1: 8A002.r does not apply to diver deterrent systems based
on under-water-explosive devices, air guns or combustible sources.
Note 2: 8A002.r includes diver deterrent acoustic systems that
use spark gap sources, also known as plasma sound sources.
* * * * *
8C001 `Syntactic foam' designed for underwater use and having all 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: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 8A002.a.4.
Related Definition: For the purposes of 8C001, `Syntactic foam'
consists of hollow spheres of plastic or glass embedded in a resin
``matrix.''
[[Page 71981]]
Items:
a. Designed for marine depths exceeding 1,000 m; and
b. A density less than 561 kg/m\3\.
* * * * *
8E002 Other ``technology'' as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
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
License Exceptions Note: License Exception TSU is not applicable
for the repair ``technology'' controlled by 8E002.a or .b, see
Supplement No. 2 to part 774.
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
technology in 8E002.a 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 8E992.
Related Definitions: N/A
Items:
a. ``Technology'' for the ``development'', ``production'',
repair, overhaul or refurbishing (re-machining) of propellers
``specially designed'' for underwater noise reduction;
b. ``Technology'' for the overhaul or refurbishing of equipment
controlled by 8A001, 8A002.b, 8A002.j, 8A002.o or 8A002.p.
c. ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of any of the following:
c.1. Surface-effect vehicles (fully skirted variety) having all
of the following:
c.1.a. Maximum design speed, fully loaded, exceeding 30 knots in
a significant wave height of 1.25 m or more;
c.1.b. Cushion pressure exceeding 3,830 Pa; and
c.1.c. Light-ship-to-full-load displacement ratio of less than
0.70;
c.2. Surface-effect vehicles (rigid sidewalls) with a maximum
design speed, fully loaded, exceeding 40 knots in a significant wave
height of 3.25 m or more;
c.3. Hydrofoil vessels with active systems for automatically
controlling foil systems, with a maximum design speed, fully loaded,
of 40 knots or more in a significant wave height of 3.25 m or more;
or
c.4. `Small waterplane area vessels' having any of the
following:
c.4.a. Full load displacement exceeding 500 tonnes with a
maximum design speed, fully loaded, exceeding 35 knots in a
significant wave height of 3.25 m or more; or
c.4.b. Full load displacement exceeding 1,500 tonnes with a
maximum design speed, fully loaded, exceeding 25 knots in a
significant wave height of 4 m or more.
Technical Note: For the purposes of 8E002.c.4, a `small
waterplane area vessel' is defined by the following formula:
waterplane area at an operational design draft less than 2x
(displaced volume at the operational design draft)2/3.
* * * * *
9A001 Aero gas turbine engines having any of the following (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 only to those engines that MT Column 1
meet the characteristics listed in 9A101.
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 9A101 and 9A991.
Related Definitions: N/A
Items:
a. Incorporating any of the ``technologies'' controlled by
9E003.a, 9E003.h, or 9E003.i;
Note 1: 9A001 does not control aero gas turbine engines which
meet all of the following:
a. Certified by the civil aviation authority in a country listed
in Supplement No. 1 to Part 743; and
b. Intended to power non-military manned ``aircraft'' for which
any of the following has been issued by a Wassenaar Arrangement
Participating State listed in Supplement No. 1 to Part 743 for the
``aircraft'' with this specific engine type:
b.1. A civil type certificate; or
b.2. An equivalent document recognized by the International
Civil Aviation Organization (ICAO).
Note 2: 9A001 does not apply to aero gas turbine engines
designed for Auxiliary Power Units (APUs) approved by the civil
aviation authority in a Wassenaar Arrangement Participating State
(see Supplement No. 1 to part 743 of the EAR).
b. [Reserved]
* * * * *
9A003 ``Specially designed'' assemblies or ``components'',
incorporating any of the ``technologies'' controlled by 9E003.a,
9E003.h, 9E003.i, or 9E003.k, for any of the following aero gas
turbine engines (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 Definition: N/A
Items:
a. Controlled by 9A001; or
b. Whose design or production origins are either not from a
Wassenaar Participating State (see Supplement No. 1 to part 743 of
the EAR) or unknown to the manufacturer.
9A004 Space launch vehicles and ``spacecraft,'' ``spacecraft
buses'', ``spacecraft payloads'', ``spacecraft'' on-board systems or
equipment, terrestrial equipment, air-launch platforms, and ``sub-
orbital craft'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS and AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to 9A004.g, .u, .v, .w and .x.. NS Column 1
AT applies to 9A004.g, .u, .v, .w, .x and AT Column 1
.y.
License Requirement Note: 9A004.b through .f, and .h are controlled
under ECCN 9A515.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: (1) See also 9A104, 9A515, and 9B515. (2) See
ECCNs 9E001 (``development'') and 9E002 (``production'') for
technology for items controlled by this entry. (3) See USML
Categories IV for the space launch vehicles and XV for other
spacecraft that are ``subject to the ITAR'' (see 22 CFR parts 120
through 130).
Related Definition: N/A
Items:
a. Space launch vehicles;
b. ``Spacecraft'';
c. ``Spacecraft buses'';
d. ``Spacecraft payloads'' incorporating items specified by
3A001.b.1.a.4, 3A002.g,
[[Page 71982]]
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;
e. On-board systems or equipment, ``specially designed'' for
``spacecraft'' and having any of the following functions:
e.1. `Command and telemetry data handling';
Note: For the purposes of 9A004.e.1, `command and telemetry data
handling' includes bus data management, storage, and processing.
e.2. `Payload data handling'; or
Note: For the purposes of 9A004.e.2, `payload data handling'
includes payload data management, storage, and processing.
e.3. `Attitude and orbit control';
Note: For the purposes of 9A004.e.3, `attitude and orbit
control' includes sensing and actuation to determine and control the
position and orientation of a ``spacecraft''.
N.B.: Equipment ``specially designed'' for military use is
``subject to the ITAR''. See 22 CFR parts 120 through 130.
f. Terrestrial equipment ``specially designed'' for
``spacecraft'', as follows:
f.1. Telemetry and telecommand equipment ``specially designed''
for any of the following data processing functions:
f.1.a. Telemetry data processing of frame synchronization and
error corrections, for monitoring of operational status (also known
as health and safe status) of the ``spacecraft bus''; or
f.1.b. Command data processing for formatting command data being
sent to the ``spacecraft'' to control the ``spacecraft bus'';
f.2. Simulators ``specially designed'' for `verification of
operational procedures' of ``spacecraft''.
Technical Note: For the purposes of 9A004.f.2, `verification of
operational procedures' is any of the following:
1. Command sequence confirmation;
2. Operational training;
3. Operational rehearsals; or
4. Operational analysis.
g. ``Aircraft'' ``specially designed'' or modified to be air-
launch platforms for space launch vehicles or ``sub-orbital craft''.
h. ``Sub-orbital craft''.
i. through t. [Reserved]
u. The James Webb Space Telescope (JWST) being developed,
launched, and operated under the supervision of the U.S. National
Aeronautics and Space Administration (NASA).
v. ``Parts,'' ``components,'' ``accessories'' and
``attachments'' that are ``specially designed'' for the James Webb
Space Telescope and that are not:
v.1. Enumerated or controlled in the USML;
v.2. Microelectronic circuits;
v.3. Described in ECCN 7A004 or 7A104; or
v.4. Described in an ECCN containing ``space-qualified'' as a
control criterion (See ECCN 9A515.x.4).
w. The International Space Station being developed, launched,
and operated under the supervision of the U.S. National Aeronautics
and Space Administration.
x. ``Parts,'' ``components,'' ``accessories'' and
``attachments'' that are ``specially designed'' for the
International Space Station.
y. Items that would otherwise be within the scope of ECCN
9A004.v or .x but that have been identified in an interagency-
cleared commodity classification (CCATS) pursuant to Sec. 748.3(e)
as warranting control in 9A004.y.
9B005 On-line (real time) control systems, instrumentation
(including sensors) or automated data acquisition and processing
equipment, ``specially designed'' for use with any of the following
(see List of Items Controlled).
Reason for Control: NS, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
LVS: N/A
GBS: N/A
List of Items Controlled
Related Controls: See also 9B105.
Related Definitions: N/A
Items:
a. Wind tunnels designed for speeds of Mach 1.2 or more;
Note: 9B005.a does not control wind tunnels ``specially
designed'' for educational purposes and having a `test section size'
(measured laterally) of less than 250 mm.
Technical Note: For the purposes of 9B005.a Note, `test section
size' means the diameter of the circle, or the side of the square,
or the longest side of the rectangle, at the largest test section
location.
b. Devices for simulating flow-environments at speeds exceeding
Mach 5, including hot-shot tunnels, plasma arc tunnels, shock tubes,
shock tunnels, gas tunnels and light gas guns; or
c. Wind tunnels or devices, other than two-dimensional sections,
capable of simulating Reynolds number flows exceeding 25 x 10\6\.
* * * * *
9E001 ``Technology'' according to the General Technology Note for
the ``development'' of equipment or ``software'', controlled by
9A004, 9A012, 9B (except for ECCNs 9B604, 9B610, 9B619, 9B990 and
9B991), or ECCN 9D001 to 9D004, 9D101, or 9D104.
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to ``technology'' for items NS Column 1
controlled by 9A004, 9A012, 9B001 to
9B010, 9D001 to 9D004 for NS reasons.
MT applies to ``technology'' for items MT Column 1
controlled by 9A012, 9B001, 9B002, 9B003,
9B004, 9B005, 9B007, 9B104, 9B105, 9B106,
9B115, 9B116, 9B117, 9D001, 9D002, 9D003,
or 9D004 for MT reasons.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit any
technology in this entry to any of the destinations listed in
Country Group A:6 (See Supplement No. 1 to part 740 of the EAR)
List of Items Controlled
Related Controls: (1) See also 9E101 and 1E002.f (for controls on
``technology'' for the repair of controlled structures, laminates or
materials). (2) ``Technology'' required for the ``development'' of
equipment described in ECCNs 9A005 to 9A011 or ``software''
described in ECCNs 9D103 and 9D105 is ``subject to the ITAR.''
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
9E002 ``Technology'' according to the General Technology Note for
the ``production'' of ``equipment'' controlled by ECCN 9A004 or 9B
(except for ECCNs 9B117, 9B604, 9B610, 9B619, 9B990, and 9B991).
License Requirements
Reason for Control: NS, MT, AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
MT applies to ``technology'' for equipment MT Column 1
controlled by 9B001, 9B002, 9B003, 9B004,
9B005, 9B007, 9B104, 9B105, 9B106, 9B115
or 9B116 for MT reasons.
[[Page 71983]]
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
any technology in 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 also 9E102. (2) See also 1E002.f for
`technology'' for the repair of controlled structures, laminates, or
materials. (3) ``Technology'' that is required for the
``production'' of equipment described in ECCNs 9A005 to 9A011 is
``subject to the ITAR.''
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
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 .l. for additional information.
AT applies to entire entry................ AT Column 1
Reporting Requirements
See Sec. 743.1 of the EAR for reporting requirements for
exports under License Exceptions, and Validated End-User
authorizations.
List Based License Exceptions (See Part 740 for a Description of All
License Exceptions)
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
any technology in 9E003.a.1 to a.5, 9E003.c., 9E003.h, or 9E003.i
(other than technology for fan or power turbines) to any of the
destinations listed in Country Group A:5 or A:6 (See Supplement No.1
to part 740 of the EAR).
License Exception STA may not be used to ship or transmit any
technology in 9E003.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) Hot section ``technology'' specifically
designed, modified, or equipped for military uses or purposes, or
developed principally with U.S. Department of Defense funding, is
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2)
``Technology'' is subject to the EAR when actually applied to a
commercial ``aircraft'' engine program. Exporters may seek to
establish commercial application either on a case-by-case basis
through submission of documentation demonstrating application to a
commercial program in requesting an export license from the
Department of Commerce in respect to a specific export, or in the
case of use for broad categories of ``aircraft,'' engines, ``parts''
or ``components,'' a commodity jurisdiction determination from the
Department of State.
Related Definitions: N/A
Items:
a. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following gas turbine engine ``parts,''
``components'' or systems:
a.1. Gas turbine blades, vanes or ``tip shrouds'', made from
Directionally Solidified (DS) or Single Crystal (SC) alloys and
having (in the 001 Miller Index Direction) a stress-rupture life
exceeding 400 hours at 1,273 K (1,000 [deg]C) at a stress of 200
MPa, based on the average property values;
Technical Note: For the purposes of 9E003.a.1, stress-rupture
life testing is typically conducted on a test specimen.
a.2. Combustors having any of the following:
a.2.a. `Thermally decoupled liners' designed to operate at
`combustor exit temperature' exceeding 1,883 K (1,610 [deg]C);
a.2.b. Non-metallic liners;
a.2.c. Non-metallic shells; or
a.2. d. Liners designed to operate at 'combustor exit
temperature' exceeding 1,883 K (1,610 [deg]C) and having holes that
meet the parameters specified by 9E003.c;
a.2.e. Utilizing `pressure gain combustion';
Technical Note: For the purposes of 9E003.a.2.e, in `pressure
gain combustion' the bulk average stagnation pressure at the
combustor outlet is greater than the bulk average stagnation
pressure at the combustor inlet due primarily to the combustion
process, when the engine is running in a ``steady state mode'' of
operation.
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. For the purposes of 9E003.a.2.a, `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. For the purposes of 9E003.a.2.d, `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: For the purposes of 9E003.a.3.c, 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: For the purposes of 9E003.a.5, `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: For the purposes of 9E003.a.8, `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
[[Page 71984]]
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. For the purposes of 9E003.c, methods for manufacturing holes
include ``laser'' beam machining, water jet machining, Electro-
Chemical Machining (ECM) or Electrical Discharge Machining (EDM).
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: For the purposes of 9E003.e.1., `box volume' is
the product of three perpendicular dimensions measured in the
following way:
Length: The length of the crankshaft from front flange to
flywheel face;
Width: The widest of any of the following:
a. The outside dimension from valve cover to valve cover;
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of any of the following:
a. The dimension of the crankshaft center-line to the top plane
of the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ``Technology'' ``required'' for the ``production'' of
``specially designed'' ``parts'' or ``components'' for high output
diesel engines, as follows:
f.1. ``Technology'' ``required'' for the ``production'' of
engine systems having all of the following ``parts'' and
``components'' employing ceramics materials controlled by 1C007:
f.1.a Cylinder liners;
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other ``part'' or ``component'' (including
exhaust ports, turbochargers, valve guides, valve assemblies or
insulated fuel injectors);
f.2. ``Technology'' ``required'' for the ``production'' of
turbocharger systems with single-stage compressors and having all of
the following:
f.2.a. Operating at pressure ratios of 4:1 or higher;
f.2.b. Mass flow in the range from 30 to 130 kg per minute; and
f.2.c. Variable flow area capability within the compressor or
turbine sections;
f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a ``specially designed'' multifuel (e.g.,
diesel or jet fuel) capability covering a viscosity range from
diesel fuel (2.5 cSt at 310.8 K (37.8 [deg]C)) down to gasoline fuel
(0.5 cSt at 310.8 K (37.8 [deg]C)) and having all of the following:
f.3.a. Injection amount in excess of 230 mm\3\ per injection per
cylinder; and
f.3.b. Electronic control features ``specially designed'' for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
g. ``Technology'' ``required'' for the ``development'' or
``production'' of `high output diesel engines' for solid, gas phase
or liquid film (or combinations thereof) cylinder wall lubrication
and permitting operation to temperatures exceeding 723 K (450
[deg]C), measured on the cylinder wall at the top limit of travel of
the top ring of the piston;
Technical Note: For the purposes of 9E003.g, `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 technology 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 specified in 9E003.a, 9E003.h, or
9E003.i, ``required'' for the ``development'' of any of the
following components or systems, ``specially designed'' for aero gas
turbine engines to enable ``aircraft'' to cruise at Mach 1 or
greater for more than 30 minutes:
k.1. Propulsion inlet systems;
k.2. Propulsion exhaust systems;
k.3. 'Reheat systems';
k.4. `Active thermal management systems' to condition fluids
used to lubricate or cool `engine rotor supports';
k.5. Oil-free 'engine rotor supports'; or
k.6. Systems to remove heat from 'compression system' core gas
path flow.
Technical Notes: For the purposes of 9E003.k:
1. Propulsion inlet systems include core flow pre-coolers.
[[Page 71985]]
2. 'Reheat systems' provide additional thrust by combusting fuel
in exhaust and/or bypass flow downstream of the last turbomachinery
stage. 'Reheat systems' are also referred to as afterburners.
3. 'Active thermal management systems' employ methods other than
passive oil-to-air cooling or oil-to-fuel cooling, such as vapor
cycle systems.
4. 'Compression system' is any stage or combination of stages
between the engine inlet face and the combustor that increases gas
path pressure through mechanical work.
5. An 'engine rotor support' is the bearing supporting the main
engine shaft that drives the compression system or turbine rotors.
N.B. 1 See 9E003.h, for engine control technology.
N.B. 2 See 9E003.i, for adjustable flow path systems technology.
l. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.8, a.10, and .h and used in the ``development'', ``production'',
or overhaul of hot section ``parts'' or ``components'' of civil
derivatives of military engines controlled on the U.S. Munitions
List.
* * * * *
0
13. Supplement no. 6 to part 774 is amended by revising paragraph (4)
to read as follows:
Supplement No. 6 to Part 774--Sensitive List
* * * * *
(4) Category 4
(i) 4A001.a.2.
(ii) [Reserved]
* * * * *
Thea D. Rozman Kendler,
Assistant Secretary for Export Administration.
[FR Doc. 2023-22299 Filed 10-12-23; 4:15 pm]
BILLING CODE 3510-33-P
