Implementation of Certain New Controls on Emerging Technologies Agreed at Wassenaar Arrangement 2018 Plenary
| Published date | 23 May 2019 |
| Citation | 84 FR 23886 |
| Record Number | 2019-10778 |
| Section | Rules and Regulations |
| Court | Industry And Security Bureau |
Federal Register, Volume 84 Issue 100 (Thursday, May 23, 2019)
[Federal Register Volume 84, Number 100 (Thursday, May 23, 2019)]
[Rules and Regulations]
[Pages 23886-23899]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-10778]
[[Page 23885]]
Vol. 84
Thursday,
No. 100
May 23, 2019
Part IIIDepartment of Commerce-----------------------------------------------------------------------Bureau of Industry and Security-----------------------------------------------------------------------15 CFR Part 774Implementation of Certain New Controls on Emerging Technologies Agreed
at Wassenaar Arrangement 2018 Plenary; Final Rule
Federal Register / Vol. 84 , No. 100 / Thursday, May 23, 2019 / Rules
and Regulations
[[Page 23886]]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Part 774
[Docket No. 181129999-8999-01]
RIN 0694-AH69
Implementation of Certain New Controls on Emerging Technologies
Agreed at Wassenaar Arrangement 2018 Plenary
AGENCY: Bureau of Industry and Security, Commerce.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Bureau of Industry and Security maintains, as part of its
Export Administration Regulations, the Commerce Control List (CCL),
which identifies certain items subject to Department of Commerce's
jurisdiction. This final rule revises the CCL to implement certain
changes made to the Wassenaar Arrangement List of Dual-Use Goods and
Technologies maintained and agreed to by governments participating in
the Wassenaar Arrangement on Export Controls for Conventional Arms and
Dual-Use Goods and Technologies (Wassenaar Arrangement, or WA) at the
December 2018 WA Plenary meeting. The Wassenaar Arrangement advocates
implementation of effective export controls on strategic items with the
objective of improving regional and international security and
stability. This rule harmonizes the CCL with only the agreements on
recently developed or developing technologies not previously controlled
that are essential to the national security of the United States and
warrant early implementation. The remaining agreements will be
implemented in a separate rule.
DATES: This rule is effective May 23, 2019.
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:
Category 3 (Electronics): Brian Baker at 202-482-5534.
Category 5 (Information Security): Aaron Amundson or Anita
Zinzuvadia 202-482-0707.
Category 6 (Acoustic projector/transducer): Michael Tu 202-482-
6462.
Category 9x515 (Satellites): Michael Tu 202-482-6462.
SUPPLEMENTARY INFORMATION:
Background
The Wassenaar Arrangement on Export Controls for Conventional Arms
and Dual-Use Goods and Technologies (Wassenaar or WA) (http://www.wassenaar.org/) is a group of 42 like-minded states committed to
promoting responsibility and transparency in the global arms trade, and
preventing destabilizing accumulations of arms. As a Participating
State, the United States has committed to controlling for export all
items on the WA control lists. The control lists, which include the
Wassenaar Arrangement Munitions List and the Wassenaar Arrangement List
of Dual-Use Goods and Technologies, were first established in 1996 and
have been revised annually thereafter. Proposals for changes to the WA
control lists are reviewed by Participating States at expert group and
annual plenary meetings. Participating States are charged with
implementing the agreed list changes as soon as possible after
approval. The United States' implementation of WA list changes ensures
U.S. companies have a level playing field with their competitors in
other WA Participating States.
This rule adds to the EAR's Commerce Control List (CCL) five
recently developed or developing technologies that are essential to the
national security of the United States: discrete microwave transistors
(a major component of wideband semiconductors), continuity of operation
software, post-quantum cryptography, underwater transducers designed to
operate as hydrophones, and air-launch platforms.
Revisions to the Commerce Control List Related to WA 2018 Plenary
Agreements
Revises (4) ECCNs: 3A001, 5A002, 6A001 and 9A004.
Added ECCNs: 3D005.
3A001 Electronic Items
ECCN 3A001 is amended by adding paragraph b.3.f to control discrete
microwave transistors ``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''. While older devices specified limited
frequency ranges, new microwave transistors cover wider frequency bands
at higher power levels, opening up new possibilities for radar and
other transmitting applications.
Note 1 that appears after paragraph b.3.f is revised, so that it
does not apply to new paragraph b.3.f, meaning that the control status
of a transistor in b.3.f is not determined by the lowest peak saturated
power output control threshold.
Discrete microwave transistors are used in microwave semiconductors
and are applicable for both civilian use, such as mobile phone base
stations and weather radars, and military use, such as fire control
radars, decoys and jammers. Discrete microwave transistors are also
increasingly used in wideband semiconductors, which have less power
output and are more energy-efficient than the narrowband
semiconductors. These features permit wideband semiconductors to
operate at much higher voltages, frequencies and temperatures than
conventional semiconductors. The wideband semiconductor is mainly used
for military applications, such as electronic counter-measures for
decoys, jammers and military radars, because it has a fractional
bandwidth greater than 100%, and can enable a wide range of military
radars, seekers, decoys and jammers. However, there are also instances
of wideband semiconductors being used in civilian applications, such as
to make green and blue light emitting diodes (LEDs) and lasers, which
are used in DVD players (the Blu-ray and HD DVD formats). Wideband
semiconductors will likely be a technology used in new electrical grid
and alternative energy devices, in which such semiconductors will
reduce energy loss and enable longer performance life in solar and wind
energy power converters and eliminate bulky grid substation
transformers. In addition, these robust and efficient power components
are expected to be used in high energy vehicles, including electric
trains and plug-in electric vehicles. It has been predicted that
wideband semiconductors will facilitate simpler and higher efficiency
charging for hybrid and all-electric vehicles.
These discrete microwave transistors are subject to National
Security (NS Column 1), Regional Stability (RS Column 1) and Anti-
terrorism (AT Column 1) license requirements, except those being
exported or reexported for use in civil telecommunications
applications, as indicated on the Commerce Country Chart in Supplement
No. 1 to part 738 of the EAR. List-based license exceptions (Limited
Value Shipment (LVS) and Group B Shipments (GBS) and Strategic Trade
Authorization (STA), see part 740 of the EAR), are available for those
discrete microwave transistors that are being exported or reexported
for use in civil telecommunications applications that meet the criteria
of the license
[[Page 23887]]
exception and where none of the license exception restrictions of Sec.
740.2 apply. Transaction-based license exceptions may be available
depending on the transaction meeting the license exception criteria;
see part 740 of the EAR.
3D005 Continuity of Operation Software
ECCN 3D005 is added to the CCL in order to control software that
ensures continuity of operation when electronics are exposed to
Electromagnetic Pulse (EMP) or Electrostatic Discharge (ESD). The
software is controlled for national security and anti-terrorism reasons
and a license is required worldwide, except for Canada, under national
security (NS Column 1) and Anti-terrorism (AT Column 1) license
requirements as indicated on the Commerce Country Chart, Supplement no.
1 to part 738 of the EAR. No list-based license exceptions are
applicable; however, License Exception Strategic Trade Authorization
(STA) is available for countries listed in Country Group A:5, see
Supplement No. 1 to part 740 of the EAR.
Research and development activities related to integrated circuit
software that provides electromagnetic pulse (EMP) protective function
to electronic devices is currently underway, and it is predicted that
these products will be in the commercial marketplace in a few years.
Because continuity of operation software would also be beneficial to
military applications, it is being added to the CCL in this final rule.
Category 5--Part 2--``Information Security''
ECCN 5A002 is amended in order to add a control on certain types of
post-quantum cryptographic algorithms. This rule adds paragraph 2.c of
the Technical Notes that follow paragraph 5A002.a.4 to include a new
paragraph addressing certain post-quantum asymmetric algorithms. This
rule also revises paragraphs 5A002.a, a.4, paragraph 2 of the Technical
Notes that follow paragraph 5A002.a.4, paragraph a.1.a.1.b in Note 2 to
5A002.a, and paragraph (4)(a) of Related Controls to 5A002, to replace
the term `in excess of 56 bits of symmetric key length, or equivalent'
with `described security algorithm'. These changes are being made for
technical accuracy since methods for establishing equivalence between
modern classical and post-quantum cryptography (PQC) are not settled.
In addition, this rule revises the Nota Bene to Note 3 (the
Cryptography Note) to specify that items that include post-quantum
asymmetric algorithms described by paragraph 2.c of the Technical Notes
are subject to the classification or self-classification reporting
requirements for mass market items.
The WA cryptography controls reflect the development and
application of modern cryptography. Currently, the WA includes controls
over the most commonly-used forms of cryptography in the contemporary
world: symmetric algorithms based on key length; and asymmetric
algorithms based on factorization of integers or on the computation of
discrete logarithms (over various groups). These controls are defined
in the Technical Note 2 to 5A002.a of the CCL.
The WA introduced specific parameters for the export control of
cryptography in 1998, along with a general Category 5--Part 2 exclusion
for `mass market' encryption products (Cryptography Note, Note 3), in
recognition of the increasing use of cryptography in the public domain.
While the structure of Category 5--Part 2 of the WA has evolved
significantly since 1998, the algorithms addressed have remained
unchanged.
These algorithms continue to provide adequate protection for
encrypted data, based on the threat posed by attack by a non-quantum
computer. However, if and when large scale quantum computers are built,
they will likely undermine the security of current cryptographic
systems.
One goal of PQC is to develop and deploy quantum-resistant
algorithms well in advance of a potential attack from a quantum
computer. As the threat of quantum computers grows nearer, cryptography
researchers are developing algorithms and working towards standardizing
algorithms that resist attack from existing known quantum algorithms
(such as Shor's Algorithm). PQC is currently in use in commercial
products, but those algorithms are not covered by any WA controls.
Because such algorithms are becoming increasingly common, this control
is being added to ensure that there is consistent treatment and a level
playing field between modern classical and post-quantum cryptography.
5A002.a is subject to national security (NS Column 1), anti-
terrorism (AT Column 1) and encryption items (EI) license requirements,
as indicated on the Commerce Country Chart in Supplement no. 1 to part
738 of the EAR. Because this new control is added to 5A002.a with
corresponding applicability to EI-controlled ECCNs 5D002.a.1, 5D002.c.1
and 5E002.a, BIS has determined that no changes to License Exception
ENC are required to accommodate this change. Items with post-quantum
algorithms described by the technical note are treated the same under
License Exception ENC as products using classical algorithms.
6A001 Acoustic Systems, Equipment and ``Components''
ECCN 6A001 is amended by moving the Note previously located below
Item paragraph a.2.g.4 to below the introductory Item paragraph a.2 for
better readability. This Note informs the public that Item paragraph
a.2 ``applies to receiving equipment, whether or not related in normal
application to separate active equipment, and ``specially designed''
components therefor''. This rule also adds a Technical Note 2 after
paragraph a.2.a to alert the public that underwater acoustic
transducers designed to operate as passive receivers are hydrophones.
This rule revises paragraph a.2.a.6 to add the parameter ``and having a
`hydrophone sensitivity' better than -230 dB below 4 kHz'', to remove
any transducers or hydrophones that are not of strategic concern.
An underwater transducer that is designed to operate as a
hydrophone, designed for operation below 1000 m and having a useful
sensitivity below 4 kHz, must be controlled because of its utility in
Anti-Submarine Warfare (ASW). These amendments will bridge the control
gap that previously treated underwater acoustic transducers and
receivers separately. Newer underwater acoustic devices can more
readily operate in both transmit and receive mode. The new control
structure resulting from these amendments allows each aspect of these
multifunction devices to be evaluated.
This rule also corrects a License Exception LVS paragraph for
6A001.a.1.b.1 by reversing the frequency band range for the equipment
from ``30 kHz to 2 kHz'' to read ``2 kHz to 30 kHz''. All items in ECCN
6A001 are subject to national security (NS Column 2) and anti-terrorism
(AT Column 1) license requirements as indicated in the Commerce Country
Chart in Supplement no. 1 to part 738 of the EAR. License Exception Low
Value Shipment (LVS) may be available depending on the operating
frequency. License Exception Strategic Trade Authorization (STA) and
transaction-based license exceptions may also be available depending on
the circumstances of the transaction and the destination; see part 740
of the EAR.
[[Page 23888]]
9A004 Space Launch Vehicles and ``Spacecraft'', ``Spacecraft Buses'',
``Spacecraft Payloads'', ``Spacecraft'' On-Board Systems or Equipment,
and Terrestrial Equipment
ECCN 9A004 is amended by revising the Heading to add air-launch
platforms. This rule adds new Item paragraph 9A004.g, which controls
``aircraft'' ``specially designed'' or modified to be air-launch
platforms for space launch vehicles (SLV). The license requirements
table is revised to add 9A004.g to the NS and AT license requirements
paragraphs.
Several commercial entities are building space-bound craft that
will utilize an air-launch rather than traditional ground launch. This
new Item paragraph expands existing space-launch controls to include
this developing technology. Originally, military aircraft were used for
air-launched rockets to carry satellites specifically for military
applications. Now, air-launch platforms allow the use of specialized
commercial aircraft instead of rockets or military aircraft to
facilitate the transport and launch of commercial satellites. The
increase in commercial space activities has commercial satellite owners
and space tourism companies moving toward air-launch platforms to
support their endeavours.
Items specified in 9A004.g require a license for national security
(NS Column 1) and anti-terrorism reasons (AT Column 1) as indicated on
the Commerce Country Chart in Supplement no. 1 to part 738 of the EAR.
There are no list-based license exceptions, but transaction-based
license exceptions may be available; see part 740 of the EAR.
Export Control Reform Act of 2018
On August 13, 2018, the President signed into law the John S.
McCain National Defense Authorization Act for Fiscal Year 2019, which
included the Export Control Reform Act of 2018 (ECRA) (50 U.S.C. 4801
to 4852) that provides the legal basis for BIS's principal authorities.
As set forth in Section 4826 of ECRA, all delegations, rules,
regulations, orders, determinations, licenses, or other forms of
administrative action that have been made, issued, conducted, or
allowed to become effective under the Export Administration Act of 1979
(50 U.S.C. 4601 et seq.) and as continued in effect pursuant to the
International Emergency Economic Powers Act (50 U.S.C. 1701 et seq.),
shall continue in effect according to their terms until modified,
superseded, set aside, or revoked under the authority of the ECRA.
Saving Clause
Shipments of items removed from license exception eligibility or
eligibility for export, reexport or transfer (in-country) without a
license as a result of this regulatory action that were on dock for
loading, on lighter, laden aboard an exporting carrier, or en route
aboard a carrier to a port of export, on May 23, 2019, 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 July 22,
2019. Any such items not actually exported, reexported or transferred
(in-country) before midnight, on July 22, 2019, require a license in
accordance with this final rule.
Executive Order Requirements
Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility.
This rule has been designated a ``significant regulatory action''
under Executive Order 12866. The Wassenaar Arrangement (WA) has been
established in order to contribute to regional and international
security and stability, by promoting transparency and greater
responsibility in transfers of conventional arms and dual-use goods and
technologies, thus preventing destabilizing accumulations. The aim is
also to prevent the acquisition of these items by terrorists. There are
presently 42 Participating States, including the United States, that
seek through their national policies to ensure that transfers of these
items do not contribute to the development or enhancement of military
capabilities that undermine these goals, and to ensure that these items
are not diverted to support such military capabilities that undermine
these goals. Implementation of the WA agreements in a timely manner
enhances the national security of the United States and global
international trade.
This rule does not contain policies with Federalism implications as
that term is defined under Executive Order 13132.
This rule is not subject to the requirements of Executive Order
13771 (82 FR 9339, February 3, 2017) because it is issued with respect
to a national security function of the United States.
Paperwork Reduction Act Requirements
Notwithstanding any other provision of law, no person is required
to respond to, nor shall any person be subject to a penalty for failure
to comply with a collection of information subject to the requirements
of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA),
unless that collection of information displays a currently valid Office
of Management and Budget (OMB) Control Number.
This rule involves the following OMB approved collections of
information subject to the PRA: 0694-0088, ``Multi-Purpose
Application'', and carries a burden hour estimate of 29.6 minutes for a
manual or electronic submission; 0694-0106, ``Reporting and
Recordkeeping Requirements under the Wassenaar Arrangement'', which
carries a burden hour estimate of 21 minutes for a manual or electronic
submission; 0694-0137 ``License Exceptions and Exclusions'', which
carries a burden hour estimate average of 1.5 hours per submission
(Note: submissions for License Exceptions are rarely required); 0694-
0096 ``Five Year Records Retention Period'', which carries a burden
hour estimate of less than 1 minute; and 0607-0152 ``Automated Export
System (AES) Program, which carries a burden hour estimate of 3 minutes
per electronic submission. Specific license application submission
estimates are discussed further in the preamble of this rule where the
revision is explained. BIS estimates that revisions that are editorial,
moving the location of control text on the Commerce Control List, or
clarifications will result in no change in license application
submissions.
Any comments regarding these collections of information, including
suggestions for reducing the burden, may be sent to OMB Desk Officer,
New Executive Office Building, Washington, DC 20503; and to Jasmeet K.
Seehra, Office of Management and Budget (OMB), by email to
[email protected], or by fax to (202) 395-7285.
[[Page 23889]]
Administrative Procedure Act and Regulatory Flexibility Act
Requirements
Pursuant to Sec. 4821 of the ECRA, this action is exempt from the
Administrative Procedure Act (5 U.S.C. 553) requirements for notice of
proposed rulemaking, opportunity for public participation, and delay in
effective date. Because a notice of proposed rulemaking and an
opportunity for public comment are not required to be given for this
rule by 5 U.S.C. 553, or by any other law, the analytical requirements
of the Regulatory Flexibility Act, 5 U.S.C. 601, et seq., are not
applicable. Accordingly, no regulatory flexibility analysis is
required, and none has been prepared.
List of Subjects in 15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
Accordingly, part 774 of the Export Administration Regulations (15
CFR parts 730 through 774) is amended as follows:
PART 774--[AMENDED]
0
1. The authority citation for part 774 continues to read as follows:
Authority: Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C.
4601 et seq.; 50 U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C.
7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42
U.S.C. 2139a; 15 U.S.C. 1824a; 50 U.S.C. 4305; 22 U.S.C. 7201 et
seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of
August 8, 2018, 83 FR 39871 (August 13, 2018).
0
2. In supplement no. 1 to part 774, Category 3, ECCN 3A001 is revised
to read as follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
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[ordm]C to above +125[ordm]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
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
device amplifiers exceeding 18 GHz), b.9, b.10, .g, .h, and .i.
CIV: Yes for 3A001.a.3, a.7, and a.11.
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: The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
Note 2: Integrated circuits include the following types:
--``Monolithic integrated circuits'';
--``Hybrid integrated circuits'';
--``Multichip integrated circuits'';
--``Film type integrated circuits'', including silicon-on-
sapphire integrated circuits;
--``Optical integrated circuits'';
--``Three dimensional integrated circuits'';
--``Monolithic Microwave Integrated Circuits'' (``MMICs'').
[[Page 23890]]
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: `Non-volatile memories' are 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 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'' 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'' 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'' rate greater than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with a ``sample rate''
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:
1. A resolution of n bit corresponds to a quantization of 2n
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 with an `adjusted update
rate' of greater than 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more with an `adjusted update
rate' of greater than 1,250 MSPS and having any of the following:
a.5.b.2.a. 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.b. 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.
Technical Notes:
1. `Spurious Free Dynamic Range' (SFDR) is defined as the ratio
of the RMS value of the carrier frequency (maximum signal component)
at the input of the DAC to the RMS value of the next largest noise
or harmonic distortion component at its output.
2. SFDR is determined directly from the specification table or
from the characterization plots of SFDR versus frequency.
3. A signal is defined to be full scale when its amplitude is
greater than -3 dBfs (full scale).
4. `Adjusted update rate' for DACs is:
a. For conventional (non-interpolating) DACs, the `adjusted
update rate' is the rate at which the digital signal is converted to
an analog signal and the output analog values are changed by the
DAC. For DACs where the interpolation mode may be bypassed
(interpolation factor of one), the DAC should be considered as a
conventional (non-interpolating) DAC.
b. For interpolating DACs (oversampling DACs), the `adjusted
update rate' is defined as the DAC update rate divided by the
smallest interpolating factor. For interpolating DACs, the `adjusted
update rate' may be referred to by different terms including:
Input data rate
input word rate
input sample rate
maximum total input bus rate
maximum DAC clock rate for DAC clock input.
a.6. Electro-optical and ``optical integrated circuits'',
designed for ``signal processing'' and having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. `Field programmable logic devices' having any of the
following:
a.7.a. A maximum number of single-ended digital input/outputs of
greater than 700; or
a.7.b. An `aggregate one-way peak serial transceiver data rate'
of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
--Complex Programmable Logic Devices (CPLDs)
--Field Programmable Gate Arrays (FPGAs)
--Field Programmable Logic Arrays (FPLAs)
--Field Programmable Interconnects (FPICs)
N.B.: For integrated circuits having field programmable logic
devices that are combined with an analog-to-digital converter, see
3A001.a.14.
Technical Notes:
1. Maximum number of digital input/outputs in 3A001.a.7.a is
also referred to as maximum user input/outputs or maximum available
input/outputs, whether the integrated circuit is packaged or bare
die.
2. `Aggregate one-way peak serial transceiver data rate' is the
product of the peak serial one-way transceiver data rate times the
number of transceivers on the FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.02 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N
log2 N)/20,480 ms, where N is the number of points;
Technical Note: When N is equal to 1,024 points, the formula in
3A001.a.12 gives an execution time of 500 [micro]s.
a.13. Direct Digital Synthesizer (DDS) integrated circuits
having any of the following:
a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of
3.5 GHz or more and a DAC resolution of 10 bit or more, but less
than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC
resolution of 12 bit or more;
Technical Note: The DAC clock frequency may be specified as the
master clock frequency or the input clock frequency.
[[Page 23891]]
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:
1. A resolution of n bit corresponds to a quantization of 2n
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 Notes:
1. For purposes of 3A001.b, the parameter peak saturated power
output may also be referred to on product data sheets as output
power, saturated power output, maximum power output, peak power
output, or peak envelope power output.
2. For purposes of 3A001.b.1, `vacuum electronic devices' are
electronic devices based on the interaction of an electron beam with
an electromagnetic wave propagating in a vacuum circuit or
interacting with radio-frequency vacuum cavity resonators. `Vacuum
electronic devices' include klystrons, traveling-wave tubes, and
their derivatives.
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: `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 0.1n W (-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
[[Page 23892]]
frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.3.a.2. A peak saturated power output greater than 205 W (53.12
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.3.a.3. A peak saturated power output greater than 115 W (50.61
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.3.a.4. A peak saturated power output greater than 60 W (47.78
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz and having any of the following:
b.3.b.1. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.3.b.2. A peak saturated power output greater than 15 W (41.76
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.3.b.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.3.b.4. A peak saturated power output greater than 7 W (38.45
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.3.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.3.d. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz;
b.3.e. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz;
or
b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e
and rated for operation with a peak saturated power output greater
than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and
including 31.8 GHz;
Note 1: The control status of a transistor in 3A001.b.3.a
through 3A001.b.3.e, whose rated operating frequency includes
frequencies listed in more than one frequency range, as defined by
3A001.b.3.a through 3A001.b.3.e, is determined by the lowest peak
saturated power output control threshold.
Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers,
or dice mounted in packages. Some discrete transistors may also be
referred to as power amplifiers, but the status of these discrete
transistors is determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of
the following:
b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
b.4.a.1. A peak saturated power output greater than 500 W (57
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.4.a.2. A peak saturated power output greater than 270 W (54.3
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.4.a.3. A peak saturated power output greater than 200 W (53
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
b.4.a.4. A peak saturated power output greater than 90 W (49.54
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz with a ``fractional bandwidth'' greater
than 10%, and having any of the following:
b.4.b.1. A peak saturated power output greater than 70 W (48.54
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.4.b.2. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.4.b.3. A peak saturated power output greater than 30 W (44.77
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
b.4.b.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.4.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
b.4.d. Rated for operation with a peak saturated power output
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and
having any of the following:
b.4.e.1. A peak saturated power output greater than 0.2 W (23
dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz,
and with a ``fractional bandwidth'' of greater than 10%;
b.4.e.2. A peak saturated power output greater than 20 mW (13
dBm) at any frequency exceeding 75 GHz up to and including 90 GHz,
and with a ``fractional bandwidth'' of greater than 5%; or
b.4.e.3. A peak saturated power output greater than 0.1 nW (-70
dBm) at any frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.:
1. For ``MMIC'' amplifiers see 3A001.b.2.
2. For `transmit/receive modules' and `transmit modules' see
3A001.b.12.
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 [micro]s and having any of the
following:
b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
b.6. [Reserved]
b.7. Converters and harmonic mixers, that are any of the
following:
b.7.a. Designed to extend the frequency range of ``signal
analyzers'' beyond 90 GHz;
b.7.b. Designed to extend the operating range of signal
generators as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than 100 mW (20 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c. Designed to extend the operating range of network
analyzers as follows:
b.7.c.1. Beyond 110 GHz;
b.7.c.2. To an output power greater than 31.62 mW (15 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere
within the frequency range exceeding 90 GHz but not exceeding 110
GHz; or
b.7.d. Designed to extend the frequency range of microwave test
receivers beyond 110 GHz;
b.8. Microwave power amplifiers containing `vacuum electronic
devices' controlled by 3A001.b.1 and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass ratio exceeding 80 W/kg;
and
b.8.c. A volume of less than 400 cm\3\;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU''
for radio-communications services, but not for radio-determination.
b.9. Microwave Power Modules (MPM) consisting of, at least, a
traveling-wave `vacuum electronic device,' a ``Monolithic Microwave
Integrated Circuit'' (``MMIC'') and an integrated electronic power
conditioner and having all of the following:
b.9.a. A `turn-on time' from off to fully operational in less
than 10 seconds;
b.9.b. A volume less than the maximum rated power in Watts
multiplied by 10 cm\3\/W; and
b.9.c. An ``instantaneous bandwidth'' greater than 1 octave
(fmax. > 2fmin,) and having any of the
following:
b.9.c.1. For frequencies equal to or less than 18 GHz, an RF
output power greater than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes:
1. To calculate the volume in 3A001.b.9.b, the following example
is provided: for a maximum rated power of 20 W, the volume would be:
20 W x 10 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
[[Page 23893]]
(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:
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 293 K (20 [deg]C);
Technical Notes:
1. For the purpose of 3A001.e.1, `energy density' (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal
capacity in ampere-hours (Ah) divided by the mass in kilograms. If
the nominal capacity is not stated, energy density is calculated
from the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
2. For the purpose of 3A001.e.1, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
an electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
3. For the purpose of 3A001.e.1.a, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
4. For the purpose of 3A001.e.1.b, a `secondary cell' is a
`cell' that is designed to be charged by an external electrical
source.
5. For the purpose 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 ampere (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.
[[Page 23894]]
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm\2\;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space-qualified'',
having a minimum average efficiency exceeding 20% at an operating
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination
with an irradiance of 1,367 Watts per square meter (W/m\2\);
Technical Note: `AM0,' or `Air Mass Zero,' refers to the
spectral irradiance of sun light in the earth's outer atmosphere
when the distance between the earth and sun is one astronomical unit
(AU).
f. Rotary input type absolute position encoders having an
``accuracy'' equal to or less (better) than 1.0 second
of arc and ``specially designed'' encoder rings, discs or scales
therefor;
g. Solid-state pulsed power switching thyristor devices and
`thyristor modules,' using either electrically, optically, or
electron radiation controlled switch methods and having any of the
following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[micro]s and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[micro]s and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000
V; and
g.2.b. A peak (surge) current equal to or greater than 3,000 A;
Note 1: 3A001.g includes:
--Silicon Controlled Rectifiers (SCRs)
--Electrical Triggering Thyristors (ETTs)
--Light Triggering Thyristors (LTTs)
--Integrated Gate Commutated Thyristors (IGCTs)
--Gate Turn-off Thyristors (GTOs)
--MOS Controlled Thyristors (MCTs)
--Solidtrons
Note 2: 3A001.g does not control thyristor devices and
`thyristor modules' incorporated into equipment designed for civil
railway or ``civil aircraft'' applications.
Technical Note: For the purposes of 3A001.g, a `thyristor
module' contains one or more thyristor devices.
h. Solid-state power semiconductor switches, diodes, or
`modules,' having all of the following:
h.1. Rated for a maximum operating junction temperature greater
than 488 K (215 [deg]C);
h.2. Repetitive peak off-state voltage (blocking voltage)
exceeding 300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of 3A001.h, `modules' contain
one or more solid-state power semiconductor switches or diodes.
Note 1: Repetitive peak off-state voltage in 3A001.h includes
drain to source voltage, collector to emitter voltage, repetitive
peak reverse voltage and peak repetitive off-state blocking voltage.
Note 2: 3A001.h includes:
--Junction Field Effect Transistors (JFETs)
--Vertical Junction Field Effect Transistors (VJFETs)
--Metal Oxide Semiconductor Field Effect Transistors (MOSFETs)
--Double Diffused Metal Oxide Semiconductor Field Effect
Transistor (DMOSFET)
--Insulated Gate Bipolar Transistor (IGBT)
--High Electron Mobility Transistors (HEMTs)
--Bipolar Junction Transistors (BJTs)
--Thyristors and Silicon Controlled Rectifiers (SCRs)
--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.
0
3. In supplement no. 1 to part 774, Category 3, add ECCN 3D005, after
ECCN 3D004, to read as follows:
3D005 ``Software'' ``specially designed'' to restore normal
operation of a microcomputer, ``microprocessor microcircuit'' or
``microcomputer microcircuit'' within 1 ms after an Electromagnetic
Pulse (EMP) or Electrostatic Discharge (ESD) disruption, without
loss of continuation of operation.
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)
CIV: N/A
TSR: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship or transmit
``software'' to any of the destinations listed in Country Group A:6
(See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
0
4. In supplement no. 1 to part 774, Category 5 Part 2, the N.B. to Note
3 (Cryptography Note) at the beginning of the Category is revised to
read as follows:
Category 5--Telecommunications and ``Information Security''
* * * * *
Part 2--``Information Security''
* * * * *
N.B. to Note 3 (Cryptography Note): You must submit a
classification request or self-classification report to BIS for mass
market encryption commodities and software eligible for the
Cryptography Note employing a key length greater than 64 bits for
the symmetric algorithm (or, for commodities and software not
implementing any symmetric algorithms, employing a key length
greater than 768 bits for asymmetric algorithms described by
Technical note 2.b to 5A002.a or greater than 128 bits for elliptic
curve algorithms, or any asymmetric algorithm described by Technical
Note 2.c to 5A002.a) in accordance with the requirements of Sec.
740.17(b) of the EAR in order to be released from the ``EI'' and
``NS'' controls of ECCN 5A002 or 5D002.
* * * * *
0
5. In supplement no. 1 to part 774, Category 5 Part 2, ECCN 5A002 is
revised to read as follows:
5A002 ``Information security'' systems, equipment and
``components,'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT, EI
Country Chart (See Supp. No.
Control(s) 1 to part 738)
NS applies to entire entry................ NS Column 1
AT applies to entire entry................ AT Column 1
EI applies to entire entry................ Refer to Sec. 742.15 of
the EAR
License Requirements Note: See Sec. 744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
[[Page 23895]]
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
CIV: 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 Global Navigation Satellite Systems
(GNSS) 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 means of ``cryptographic activation'' not employing a
secure mechanism, 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; or
2.b. An ``asymmetric algorithm'' where the security of the
algorithm is based on any of the following:
2.b.1. Factorization of integers in excess of 512 bits (e.g.,
RSA);
2.b.2. Computation of discrete logarithms in a multiplicative
group of a finite field of size greater than 512 bits (e.g., Diffie-
Hellman over Z/pZ); or
2.b.3. Discrete logarithms in a group other than mentioned in
paragraph 2.b.2 of this Technical Note in excess of 112 bits (e.g.,
Diffie-Hellman over an elliptic curve); 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 of Note 2: `Personal data'
includes any data specific to a particular person or entity, such as
the amount of money stored and data necessary for
``authentication.''
a.2. `Readers/writers' specially designed or modified, and
limited, for items specified by paragraph a.1 of this Note;
Technical Note to paragraph a.2 of Note 2: `Readers/writers'
include equipment that communicates with smart cards or
electronically readable documents through a network.
b. Cryptographic equipment specially designed and limited for
banking use or `money transactions';
Technical Note to paragraph b. of Note 2: `Money transactions'
in 5A002 Note 2 paragraph b. includes the collection and settlement
of fares or credit functions.
c. Portable or mobile radiotelephones for civil use (e.g., for
use with commercial civil cellular radio communication systems) that
are not capable of transmitting encrypted data directly to another
radiotelephone or equipment (other than Radio Access Network (RAN)
equipment), nor of passing encrypted data through RAN equipment
(e.g., Radio Network Controller (RNC) or Base Station Controller
(BSC));
d. Cordless telephone equipment not capable of end-to-end
encryption where the maximum effective range of unboosted cordless
operation (i.e., a single, unrelayed hop between terminal and home
base station) is less than 400 meters according to the
manufacturer's specifications;
e. Portable or mobile radiotelephones and similar client
wireless devices for civil use, that implement only published or
[[Page 23896]]
commercial cryptographic standards (except for anti-piracy
functions, which may be non-published) and also meet the provisions
of paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in
Category 5--Part 2), that have been customized for a specific civil
industry application with features that do not affect the
cryptographic functionality of these original non-customized
devices;
f. Items, where the ``information security'' functionality is
limited to wireless ``personal area network'' functionality, meeting
all of the following:
f.1. Implement only published or commercial cryptographic
standards; and
f.2. The cryptographic capability is limited to a nominal
operating range not exceeding 30 meters according to the
manufacturer's specifications, or not exceeding 100 meters according
to the manufacturer's specifications for equipment that cannot
interconnect with more than seven devices;
g. Mobile telecommunications Radio Access Network (RAN)
equipment designed for civil use, which also meet the provisions of
paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in Category
5--Part 2), having an RF output power limited to 0.1W (20 dBm) or
less, and supporting 16 or fewer concurrent users;
h. Routers, switches or relays, where the ``information
security'' functionality is limited to the tasks of ``Operations,
Administration or Maintenance'' (``OAM'') implementing only
published or commercial cryptographic standards; or
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.
b. Designed or modified for 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
for enabling, by means of ``cryptographic activation'', additional
functionality specified by 5A002.a of an item already specified by
Category 5--Part 2;
c. Designed or modified to use or perform ``quantum
cryptography;''
Technical Note: ``Quantum cryptography'' is also known as
Quantum Key Distribution (QKD).
d. Designed or modified to use cryptographic techniques to
generate channelizing codes, scrambling codes or network
identification codes, for systems using ultra-wideband modulation
techniques and having any of the following:
d.1. A bandwidth exceeding 500 MHz; or
d.2. A ``fractional bandwidth'' of 20% or more;
e. Designed or modified to use cryptographic techniques to
generate the spreading code for ``spread spectrum'' systems, not
specified by 5A002.d, including the hopping code for ``frequency
hopping'' systems.
0
6. In supplement no. 1 to part 774, Category 6, ECCN 6A001 is revised
to read as follows:
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.
CIV: 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. `Sounding resolution' is the swath width (degrees) divided by
the maximum number of soundings per swath.
2. `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: The acoustic sensor pressure rating determines
the depth rating of the equipment specified by 6A001.a.1.a.2.
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: `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[ordm] 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
[[Page 23897]]
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:
1. `Area coverage rate' (m\2\/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(Mg1/3Nb2/3O3-
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 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: 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:
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. For the purposes of 6A001.a.2.a, 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. `Piezoelectric polymer film' sensing elements consist of
polarized polymer film that is stretched over and attached to a
supporting frame or spool (mandrel).
2. `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. `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
[micro]Pa. For example, a hydrophone of -160 dB (reference 1 V per
[micro]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: 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;
[[Page 23898]]
a.2.b.2. Designed or `able to be modified' to operate at depths
exceeding 35m;
Technical Note: `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, 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. Accelerometer-based hydro-acoustic sensors are also known as
vector sensors.
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/s\2\).
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.
0
7. In supplement no. 1 to part 774, Category 9, ECCN 9A004 is revised
to read as follows:
9A004 Space launch vehicles and ``spacecraft,'' ``spacecraft
buses'', ``spacecraft payloads'', ``spacecraft'' on-board systems or
equipment, terrestrial equipment, and air-launch platforms, 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 Requirements Note: 9A004.b through .f 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
CIV: 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, 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 purpose 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 purpose of 9A004.e.2, `payload data handling'
includes payload data management, storage, and processing.
e.3. `Attitude and orbit control';
Note: For the purpose 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.
h. 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;
[[Page 23899]]
v.3. Described in ECCNs 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.
Nazak Nikakhtar,
Assistant Secretary for Industry & Analysis, Performing the Non-
exclusive Duties of the Under Secretary for Industry and Security.
[FR Doc. 2019-10778 Filed 5-22-19; 8:45 am]
BILLING CODE 3510-33-P
