Wassenaar Arrangement 2016 Plenary Agreements Implementation
Federal RegisterAug 15, 2017
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 772, and 774
[Docket No. 170309249-7249-01]
RIN 0694-AH35
Wassenaar Arrangement 2016 Plenary Agreements Implementation
AGENCY:
Bureau of Industry and Security, Commerce.
ACTION:
Final rule.
SUMMARY:
The Bureau of Industry and Security (BIS) maintains, as part of its Export Administration Regulations (EAR), the Commerce Control List (CCL), which identifies certain items subject to Department of Commerce jurisdiction. This final rule revises the CCL, as well as corresponding parts of the EAR, to implement changes made to the Wassenaar Arrangement List of Dual-Use Goods and Technologies (WA List) 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 2016 WA Plenary meeting. The Wassenaar Arrangement advocates implementation of effective export controls on strategic items with the objective of improving regional and international security and stability. This rule harmonizes the CCL with the agreements reached at the 2016 Plenary meeting by revising Export Control Classification Numbers (ECCNs) controlled for national security reasons in each category of the CCL, as well as making other associated changes to the EAR.
DATES:
This rule is effective August 15, 2017, except that:
1. The effective date for amendatory instruction 30 (ECCN 4A003 in Supplement No. 1 to part 774) is September 25, 2017; and
2. the effective date for amendatory instruction 2 (§ 740.7 of the EAR) is November 24, 2017.
FOR FURTHER INFORMATION CONTACT:
For general questions, contact Sharron Cook, Office of Exporter Services, Bureau of Industry and Security, U.S. Department of Commerce at 202-482-2440 or by email:
Sharron.Cook@bis.doc.gov
.
For technical questions contact:
Categories 0, 1 & 2 of the CCL: Joseph Giunta at 202-482-3127.
Category 3 of the CCL: Brian Baker at 202-482-5534.
Categories 4 & 5 of the CCL: Aaron Amundson 202-482-0707.
Category 6 (optics) of the CCL: Chris Costanzo at 202-482-5299.
Category 6 (lasers) of the CCL: Mark Jaso at 202-482-0987.
Category 6 (sensors and cameras) of the CCL: John Varesi 202-482-1114.
Category 8 of the CCL: Michael Tu 202-482-6462.
Categories 7 & 9 of the CCL: Daniel Squire 202-482-3710 or Reynaldo Garcia 202-482-3462.
Category 9x515 (Satellites) of the CCL: Mark Jaso at 202-482-0987 or Reynaldo Garcia at 202-482-3462.
Category “600 Series” (Munitions Items) of the CCL: Christopher Williams at 202-482-6023 or Heather Moore at 202-482-4786.
SUPPLEMENTARY INFORMATION:
Background
The Wassenaar Arrangement (Wassenaar or WA) on Export Controls for Conventional Arms and Dual-Use Goods and Technologies is a group of 41 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 lists were first established in 1996 and have been revised annually thereafter. Proposals for changes to the WA control lists that achieve consensus are approved by Participating States at annual Plenary meetings. Participating States are charged with implementing the 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.
The changes in this rule, which reflect the changes to the WA control lists that were approved at the December 2016 WA Plenary meeting, update the corresponding items listed in the EAR, and reflect the most recent changes in technologies and conditions.
Revisions to the Commerce Control List Related to WA 2016 Plenary Agreements
Revises (50) ECCNs:
1A004, 1A007, 1B001, 1C007, 1C608, 1E001, 1E002, 2A001, 2B001, 2B005, 2B991, 2D992, 2E003, 3A001, 3A002, 3A991, 3B001, 3C001, 3E001, 3E002, 3E003, 4A003, 4D001, 4D993, 5A001, 5B001, 5E001, 5A002, 5A003, 5D002, 5E002, 6A001, 6A003, 6A005, 6A008, 6D003, 6E003, 7D003, 7D004, 7E001, 7E003, 7E004, 8A002, 8C001, 9A001, 9A004, 9A515, 9B002, 9B009 and 9E003.
License Exception eligibility additions:
3A001.b.12 to LVS, and 3A001.a.14 to GBS.
License Exception eligibility expansion:
TSR and STA for ECCNs 4D001 and 4E001.
Category 1 Special Materials and Related Equipment, Chemicals, “Microorganisms,” and “Toxins”
1A004 Protective and Detection Equipment and “Components”
ECCN 1A004 is amended by adding Note 5 to the Related Controls paragraph to make sure the public knows that 1A004 does not control radionuclides incorporated in detection equipment—such materials are subject to the licensing jurisdiction of the Nuclear Regulatory Commission (See 10 CFR part 110). This rule also removes the definition of `adapted for use in war' from the Related Definitions paragraph because the WA has agreed to remove that term from Items in paragraphs a.2, b.2 and c.2, as well as from Technical Note 1, because the phrase did not help clarify the control text. This rule adds a definition of `radioactive materials' in Technical Note 3 that uses the same descriptive wording used in the removed definition of `adapted for use in war.' This new definition does not change the scope of this ECCN because much of the text of the removed definition was retained in the control parameters. These revisions are made to more precisely describe the controlled detection equipment. At the WA Plenary meeting, the WA noted that the definition of biological agents is used in an entry on the WA dual-use list and an entry on the WA munitions list. Therefore, to make it clear that the definition applied to both entries, the WA moved it to the WA Definitions, which applies to both WA lists. In the EAR, while the term `biological agents' appears in other ECCNs on the CCL, the definition used in ECCN 1A004 only applies to that ECCN. It would be inappropriate to move that definition to Part 772, which defines terms that can be applied universally in the EAR. Therefore, this rule removes the Technical Note to be consistent with the WA list and moves the definition for the term `biological agents' to the Related Definitions Section of ECCN 1A004.
1A007 Equipment and Devices, “Specially Designed” To Initiate Charges and Devices Containing “Energetic Materials,” by Electrical Means
The heading of ECCN 1A007 is amended by adding double quotes around the term “energetic materials,”
because this is a defined term in the WA List, as well as in § 772.1 of the EAR.
1B001 Equipment for the Production or Inspection of “Composite” Structures or Laminates Controlled by 1A002 or “Fibrous or Filamentary Materials” Controlled by 1C010
The Technical Note to Items paragraph .b is amended by revising the parameters in the definition of `tape-laying machines.' The Technical Note to paragraph 1B001.g is amended by revising the parameters in the definition for `tow-placement machines.' These definitions were designed to aid in determining the control status of tow placement and tape laying equipment. These machines are identified based on the type of “fibrous or filamentary” material they process. The Missile Technology Control Regime (MTCR) adopted the WA definition in order to facilitate implementation by Participating States that adhered to both regimes. However, when the MTCR adopted the WA control parameters, they added an additional significant digit to ensure that Tape Laying Machines and Tow/Fiber Placement machines were accurately delineated at 1 inch, which is used in industry. Thus, references to 25 mm were changed to 25.4 mm (1 inch) and 305 mm is changed to 304.8 mm (12 inches). Lastly, the Technical Note to 1B001, which defines `filament bands,' is amended by clarifying that it includes those coated with dry powder. These revisions are very minor, and therefore, BIS anticipates no change in submissions of license applications.
1C007 Ceramic Powders, Ceramic-“Matrix” “Composite” Materials and `Precursor Materials'
The Heading of ECCN 1C007 is amended by removing the phrase “non- “composite” ceramic materials” and adding single quotes around the term `precursor materials,' to harmonize with revisions made to the List of Items Controlled section. The MT control paragraph is amended by removing Items paragraphs .d and .f and adding .c for consistency to changes in the List of Items Controlled section. The Special Conditions for STA paragraph is amended by removing Items paragraph d. to harmonize with revisions made to the List of Items Controlled section.
Items paragraph .a is revised by replacing “single or complex borides of titanium” with “titanium diboride (TiB
2
) (CAS 12045-63-5)”, and Items paragraph .b is removed and reserved because 1C007.a and .b list only borides of titanium in powered and monolithic (
i.e.,
non-composites) forms, while in practice those controls apply only to titanium diboride (TiB
2
—CAS# 12045-63-5), being the only stoichiometric compound of boron and titanium. This revision will result in no change in the number of license application submissions BIS receives annually.
The control text on ceramic matrix composites (CMCs) in 1C007 was formerly split into three Items paragraphs, .c, .d and .f. This rule combines these three paragraphs under 1C007.c. Items paragraph .c is moved to c.1.b (no scope change), Items paragraph .d is moved to c.2, and Items paragraph .f is moved to c.1.a (no scope change).
Former Items paragraph 1C007.d, which is transferred to 1C007.c.2, is revised to clarify the control and add some novel ceramic composite material. The formerly used phrase “with or without metallic phase” did not contribute to the text clarity. Metallic phases in a ceramic-ceramic composite are impurities from incomplete reactions. Often, pockets of residual metallic phases are found in these materials, but it is not a desired feature; it is just an undesirable by-product of the manufacturing process. The formerly used phrase “incorporating particles, whiskers or fibers” did not influence the scope of the control because it listed all possible types of ceramic reinforcements used in CMCs. Thus, these two phrases are removed, although the removal of the phrases does not change the scope of the control and improves clarity of the text. The phrase `ceramic-ceramic' is replaced with `ceramic-“matrix”,' so as to control carbon fiber reinforced SiC matrix composites (C-SiC). These revisions aim to improve the control text clarity and introduce a new control of a novel, militarily significant material family. BIS receives less than five applications a year for this ECCN. BIS anticipates that adding this novel material, which has not yet become popular with industry, may only increase that number by one or two applications a year.
Paragraph 1C007.e is amended by adding “specially designed” and making other editorial revisions, because it was agreed that the only precursors that are controlled under this paragraph are those that are specially designed (
i.e.,
specially formulated) for the production of controlled ceramic materials. In addition, the control text is modified to harmonize with WA format by replacing “for producing” with the defined term “for the “production.” ” This rule also adds a Technical Note to define `precursor materials' to clarify the scope of control. These changes will narrow the scope of control and decrease license application submissions. Even though more specific text is being added to the parameter, which narrows the scope of control, this revision will result in no change in the annual number of license application submissions BIS receives, because BIS currently receives zero submissions annually under this paragraph.
1C608 “Energetic Materials” and Related Commodities
The Heading of 1C608 is amended by adding double quotes around the defined term “energetic materials” in order to clarify the scope and correct the oversight.
1E001 “Technology” for the “Development” or “Production” of Certain Category 1 ECCNs
ECCN 1E001 is amended by revising the Special Conditions for STA to remove reference to 1C007.d, because Items paragraph 1C007.d is transferred to 1C007.c.2 by this rule, which is already listed in this paragraph.
1E002 Other “Technology”
ECCN 1E002 is amended by revising the Note to 1E002.c.2 by adding double quotes around the word “technology” to clarify the scope of the entry. The phrase “the design or production of” is removed from the Note as it is an unnecessary repetition of the text introduced in 1E002.c. This rule also revises 1E002.f to remove the reference to 1C007.d, which was moved to 1C007.c.2. 1C007.c is already referenced in 1E002.f.
Annex to Category 1—List of Explosives
The Annex to Category 1 List of Explosives is amended by adding a new paragraph 50 to read, “50. FTDO (5,6-(3′,4′-furazano)- 1,2,3,4-tetrazine-1,3-dioxide)”, and by revising the punctuation in paragraph 49 to support this addition. As this is a military explosive, it will result in no change to license application submissions to BIS.
Category 2—Materials Processing
2A001 Anti-Friction Bearings and Bearing Systems
ECCN 2A001.a is amended by adding single quotes around the terms `rings' and `rolling elements,' as well as removing the citation to International Organization for Standardization (ISO) standards. This rule adds two (2) Technical Notes to define `ring' and `rolling element,' in order to clarify the scope of controls and to replace the reference to the ISO standard where these terms are defined.
2B001 Machine Tools and Any Combination Thereof, for Removing (or Cutting) Metals, Ceramics or “Composites”
ECCN 2B001 is amended by removing the Note to Items paragraph b.2 regarding the inclusion of parallel mechanism machine tools in the control of b.2, because there is no international standard to measure a positioning accuracy or UPR (unidirectional positioning repeatability) for these machine tools. This rule also revises Items paragraphs b.2.b and b.2.c in order to accommodate the removal of Items paragraph b.2.d. Additionally, this rule removes Items paragraph b.2.d `parallel mechanism machine tool technology,' including the Technical Note for reasons stated above. BIS estimates that there will be no change in license application submissions due to the removal of Items paragraph b.2.d `parallel mechanism machine tool technology,' because the future of machine tools is in Computer Numeric Control (CNC), where software achieves in a simpler and more robust way what multiple rods and linkages and couplings involved in parallel mechanism machine tools achieve in terms of degrees-of-freedom and flexibility. In the past year, BIS has not received any license applications for parallel mechanism machine tools.
2B005 Equipment “Specially Designed” for the Deposition, Processing and in Process Control of Inorganic Overlays, Coatings and Surface Modifications, as Follows, for Substrates
The Heading of ECCN 2B005 is amended by removing the ambiguous term “non-electronic” before the word “substrates,” by adding the column locations in the table following 2E003.f “Materials Processing Table; Deposition Techniques,” where the information referred to in the Heading may be found. The Heading is also amended by removing the reference to the `associated Notes,' because the Notes do not specify what is controlled by this ECCN.
2B991 Numerical Control Units for Machine Tools and “Numerically Controlled” Machine Tools, n.e.s.
ECCN 2B991 is amended by adding a hyphen to the term “real-time processing” in the introductory text of Items paragraph 2B991.b.2 to correct the format of the term.
2D992 Specific “Software”
ECCN 2D992 is amended by adding a hyphen to the term “real-time processing” in the introductory text of Items paragraph 2D992.a.2 to correct the format of the term.
2E003 Other “Technology”
ECCN 2E003 is amended by adding double quotes to the term “technology” in the Nota Bene (N.B.) that follows Items paragraph .f for consistency with the text in the control paragraph.
Category 2E—Materials Processing Table; Deposition Techniques
The Materials Processing Table is amended by revising paragraph 10 in the Notes to the Table on Deposition Techniques to more clearly state that Category 2 does not include “technology” for single-step pack cementation of solid airfoils. Paragraph 17 in the Notes to the Table on Deposition Techniques is revised by removing the term “specially designed,” which expands the exclusion note for “technology” for depositing diamond-like carbon. The introductory text to paragraphs 1 through 5 in the Accompanying Technical Information to Table on Deposition Techniques is amended by replacing the defined term “technology” with the term `technical information' to be consistent with the heading and scope of this section.
Category 3—Electronics
Product Group A. “End Items,” “Equipment,” “Accessories,” “Attachments,” “Parts,” “Components,” and “Systems”
Product Group A, Notes 1 and 2 and the N.B., which appear at the beginning of the product group, are amended by removing the reference to “or 3A001.a.13” and adding in its place “to 3A001.a.14,” because this rule adds Item paragraph 3A001.a.14.
3A001 Electronic Items
The RS license requirement paragraph and the License Exception LVS eligibility paragraph are amended by replacing the term “microwave monolithic integrated circuit” with the defined term “monolithic microwave integrated circuit” to harmonize with the newly defined term and changes in ECCN 3A001, and expanded to cover newly added Items paragraph b.12.
The license Exception LVS eligibility paragraph is expanded to include newly added Items paragraph b.12, which will result in fewer licensing application submissions for low level value shipments of these items.
The license Exception GBS eligibility paragraph is amended by expanding the range of eligibility to cover newly added Items paragraph a.14, which will result in fewer license application submissions to less sensitive destinations. The term TWTAs is replaced with `vacuum electronic device' amplifiers, which is the new terminology in Items paragraph b.8.
The Note to 3A001.a is amended by adding “Monolithic Microwave Integrated Circuits” (“MMICs”) to the list of integrated circuits listed, because of the increased presence of MMICs in 3A001, as well as adding the definition of this term to part 772 of the EAR.
Paragraph 3A001.a.2 is expanded to encompass the scope of newly added 3A001.a.14. Specifically, this rule makes editorial capitalization corrections and adds “integrated circuits that contain analog-to-digital converters and store or process the digitized data” and “Magnetic Random Access Memories (MRAMs)”.
Paragraph 3A001.a.5.a (analog-to-digital converters (ADCs)) is revised by updating the ADC control thresholds (resolution) for the higher performance ADCs to reflect the technology that is used in the commercial mainstream, which will result in a decrease of license application submissions. In addition, the unit for resolution is amended by replacing “billion words per second” with “Giga Samples Per Second (GSPS)” and “million words per second” with “Mega Samples Per Second (MSPS)” to clarify what is being measured for this parameter. Technical Notes 6 and 7 are also revised to clarify the explanation of the units for output rates. In addition, a Nota Bene is added to reference 3A001.a.14 for integrated circuits that contain ADCs and store or process the digitized data. Technical Notes 6 and 7 are also clarified accordingly.
Paragraph 3A001.a.7 is amended by adding a Nota Bene to reference 3A001.a.14 for integrated circuits having field programmable logic devices that are combined with an analog-to-digital converter.
Paragraph 3A001.a.14 is added to control integrated circuits that perform the same functionality of electronic assemblies, modules, or equipment described in paragraph 3A002.h. This addition of control will result in an increase of 50 or fewer license application submissions per year. Items paragraph 3A001.a.14.b.2 is moved to a.14.b.1 and a.14.b.2 is revised to read “processing of digitized data” to clarify the description of this parameter.
Paragraph 3A001.b is amended by adding a Technical Note 2 to define `vacuum electronic devices' for the purpose of paragraph 3A001.b.1. This control has not been modernized in more than fifteen years, during which time substantial changes have occurred. Therefore, these amendments are
intended to modernize this entry. The term “travelling wave tubes” in the text has been changed to the more general term `vacuum electronic devices' that also includes klystrons. Paragraph 3A001.b.1 is amended by replacing the undefined term `electronic vacuum tubes' with the newly defined term `vacuum electronic devices.' This term is also replaced in the introductory text of Notes 1 and 2. Paragraph 3A001.b.1.a and b.1.b are amended by replacing the term `tubes' with `vacuum electronic devices.' Paragraphs 3A001.b.1.a.1 through b.1.a.3 are amended by replacing the term `tubes' with `devices.' Paragraph 3A001.b.1.a.4 is amended by replacing the term `helix tubes' with `devices based on helix, folded waveguide, or serpentine waveguide circuits,' as well as adding a parameter, `having a gridded electron gun,' in paragraph b.1.a.4.d for these devices. Paragraph 3A001.b.1.a.5 is added to expand the traveling wave `vacuum electronic devices' control to include devices with a “fractional bandwidth” greater than or equal to 10% and with specified beams. BIS estimates that this change will increase license application submissions by no more than 10 annually. Paragraph 3A001.b.1.c is modernized to use the term `thermionic cathodes' rather than the older and more specific term `impregnated cathodes.' Paragraph 3A001.b.1.d is added to control `vacuum electronic devices' with the capability to operate in a `dual mode.' Finally, a clear definition of the term `dual mode' is added in a Technical Note to avoid ambiguity and explain how a single device can switch between continuous wave operation and pulse mode operation.
Paragraph 3A001.b.2 is amended by replacing “Microwave Monolithic Integrated Circuits (MMICs) power amplifiers” with the correct terminology “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers. Also, a Nota Bene is added to reference 3A001.b.12 for “MMIC” amplifiers that have an integrated phase shifter.
Notes 2 and 3 of paragraph b.2.h are amended by adding double quotes around the acronym “MMIC” and “MMICs.”
Paragraph 3A001.b.4.f, which is a parameter for microwave solid state amplifiers and microwave assemblies/modules, is removed and reserved, because `transmit/receive modules' and `transmit modules' are moved to b.12. This paragraph is moved because some people may not think to classify their MMICs with capabilities to transmit/receive under 3A001.b.4.f. Also, by separating transmit and transmit/receive modules from amplifiers, the framework for modifying their control threshold independently is created. A Nota Bene 2 is added to reference paragraph 3A001.b.12 for `transmit/receive modules' and `transmit modules.' Note 3 to paragraph 3A001.b.4 is removed, because `transmit/receive modules' and `transmit modules' are moved to b.12.
Paragraph 3A001.b.8 and b.9 are amended by replacing the term `tubes' with the term `vacuum electronic devices.' Also, this rule makes corrections in capitalization, as well as correcting the term “Monolithic Microwave Integrated Circuit” and adding the acronym “MMIC”.
Paragraph 3A001.b.11 “Frequency synthesizer” “electronic assemblies” is amended by updating the parameters to align the 3A001.b.11 frequency synthesizer controls with the 3A002.d.3 signal generator controls. Specifically, Items paragraphs 3A001.b.11.a through .e are revised and b.11.c and .f are removed and reserved, which BIS estimates will decrease license application submissions by about 30 annually.
Paragraph 3A001.b.12 “transmit/receive modules, transmit/receive MMICs, transmit modules, and transmit MMICs” is added to control a mixture of new (MMICs) and existing controls (transmit/receive modules formerly controlled in paragraph 3A001.b.4). The control thresholds for 3A001.b.12 are nearly identical to those that were used in 3A001.b.4.f (transmit and transmit/receive modules), but adjusted so that 3A001.b.12 has an identical power level at 31.8 GHz, as specified in 3A001.b.4.c as 0.5 W (27 dBm). In addition, transmit modules and transmit/receive modules that have dimensional characteristics related to phased array antenna systems are distinct from amplifiers because they have phase control. Adding phase control as a control parameter ensures this distinction is clear. Furthermore, because transmit modules and transmit/receive modules are exported with or without a heat sink, a Technical Note is added to inform exporters that 3A001.b.12 includes those that are exported with or without a heat sink and that the heat sink measurements are not to be considered in the 3A001.b.12 dimensional metric. Lastly, this rule adds to the Technical Notes after Items paragraph b.12.d definitions for `transmit/receive module,' `transmit/receive MMIC,' `transmit module,' and `transmit MMIC.' It also adds quotation marks around the term MMIC in all places it is used by itself in 3A001.b.12, as it is a defined term in part 772 of the EAR. Related Control Note 1 is also revised to add `transmit/receive modules' and `transmit modules,' because there may be some overlap between b.12 and ITAR category XI. BIS estimates these revisions will not affect the annual number of license application submissions.
Paragraph 3A001.f “rotary input type absolute position encoders” is revised by adding “and “specially designed” encoder rings, discs or scales therefor,” in order to close the loophole in the control for these significant parts. BIS estimates this addition will result in an increase of no more than 5 license application submissions per year.
3A002 General Purpose “Electronic Assemblies,” Modules and Equipment
ECCN 3A002 is amended by revising Items paragraph c.4, to add the existing “real-time bandwidth” to the frequency mask trigger control and add commas to the definition of “real-time bandwidth” in § 772.1 of the EAR to clarify its meaning, resulting in paragraph 3A002.c.4.b moving to c.4.b.1 and the addition of a new subparagraph c.4.b.2. The citations in the Technical Notes 1 and 2 are updated to correspond to changes in 3A002.c.4.b. An exclusion Note is added for “signal analyzers” using only constant percentage bandwidth filters (also known as octave or fractional octave filters). BIS estimates these revisions will result in an increase of no more than 15 license application submissions per year. Paragraph 3A002.c.5 is removed and reserved, as it is moved to 3A002.c.4.b.2 to make “real-time bandwidth” (3A002.c.4.a) a prerequisite for control of “frequency mask trigger” functionality of signal analyzers in 3A002.c.4.
3A991 Electronic Devices, and “Components” Not Controlled by 3A001
ECCN 3A991 is amended by revising the Items paragraph introductory paragraph .g, paragraph g.1, and introductory paragraph g.2 to correspond with the changes made to paragraph 3A001.b. For an explanation about these revisions, see the rationale for 3A001.b revisions. BIS estimates these revisions will result in no change to license application submissions annually.
3B001 Equipment for the Manufacturing of Semiconductor Devices or Materials
ECCN 3B001.a.1 (equipment designed for epitaxial growth) is amended by replacing “capable of producing” with “designed or modified to produce,” to clarify the intended scope of control. BIS estimates that this change will result in a decrease of about 20 license application submissions per year.
3C001 Hetero-Epitaxial Materials Consisting of a “Substrate” Having Stacked Epitaxially Grown Multiple Layers
The exclusion Note to ECCN 3C001.d is amended by adding three non-sensitive p-type epitaxial layer materials,
i.e.,
GaAs, AlGaAs, InP. This Note excludes hetero-epitaxial materials for the manufacture of light-emitting diodes (LEDs). BIS estimates that this change will result in a decrease of about 5 license application submissions per year.
3E001 “Technology” According to the General Technology Note for the “Development” or “Production” of Equipment or Materials Controlled by 3A, 3B and 3C
ECCN 3E001 is amended by revising paragraph (a) of the License Exception TSR paragraph to replace “Traveling wave tube” with “Vacuum electronic device amplifiers.” Paragraph (c) of the License Exception TSR paragraph and Note 2 in the Related Controls are revised to harmonize the reference to MMICs to read “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers. Note 1 is amended by removing the phrase “the “production” of,” and Note 2 is amended by removing the phrase “the “development” or “production” of,” because these phrases do not add to the clarity of the Notes and are unnecessary.
3E002 “Technology” Other Than That Controlled in 3E001 for the “Development” or “Production” of a “Microprocessor Microcircuit”, “Micro-computer Microcircuit” and Microcontroller Microcircuit Core
ECCN 3E002 is amended by revising the introductory text of Note 2 to remove reference to “development” and “production”, because these terms are already referenced in the definition of “technology,” therefore there is no need to repeat this point in the control text. However, Note 3 is amended by adding the phrase “the development or production of” to clarify the scope of the Note.
3E003 Other “Technology” for the “Development” or “Production”
ECCN 3E003.g is amended by replacing the term “electronic vacuum tubes” with the more modern and general term `vacuum electronic devices,' which is defined in Technical Note 2 at the beginning of 3A001.b.
Category 4—Computers
4A003 “Digital Computers,” “Electronic Assemblies,” and Related Equipment Therefor
ECCN 4A003 is amended by revising the AT control paragraph in the License Requirements table and the Note to the License Requirements section in order to correspond to the revision in this rule that raises the “adjusted peak performance” (APP) from 12.5 to 16 weighted TeraFLOPS (WT) in Items paragraph 4A003.b. The APP is raised to address the need to track incremental improvements (
e.g.,
“Moore's Law”) in micro-processor technology. The Congressional notification requirement set forth in subsection 1211(d) of the National Defense Authorization Act for Fiscal Year 1998 (Pub. L. 105-85, November 18, 1997, 111 Stat. 1629, 1932-1933, as amended; 50 U.S.C. 4604 note) provides that the President must submit a report to Congress 60 days before adjusting the composite theoretical performance level above which exports of digital computers to Tier 3 countries require a license. On July 27, 2017 the Secretary of Commerce, as the President's delegate, submitted to Congress a report to Congress that establishes and provides justification for the 16 WT control level using the APP formula. Therefore, this revision will become effective on September 25, 2017. BIS estimates that this revision will result in no change to license application submissions, because this revision is keeping pace with advancements in HPC technology.
4D001 “Software” and 4E001 “Technology”
ECCNs 4D001 and 4E001 are amended by revising the License Exception TSR eligibility paragraph and License Exception STA Special Conditions paragraph to correspond to the revision in this rule that raises the “adjusted peak performance” (APP) from 12.5 to 16 weighted TeraFLOPS (WT) in Items paragraph 4A003.b, because these eligible countries for these license exceptions represent allies (Country Groups A:5 and A:6) and countries that do not pose a national security threat (Country Group B). The APP is raised to address the need to track incremental improvements (
e.g.,
“Moore's Law”) in micro-processor technology. The APP is raised from 6.0 to 8.0 WT in Items paragraph 4D001.b.1 for software “specially designed” or modified for the development or production of equipment or software controlled by 4A001, 4A003, 4A004 or 4D001 (except 4D980, 4D993 or 4D994) and 4E001.b.1 for technology other than that controlled by 4E001.a for the development or production of digital computers. BIS estimates that this revision will result in no change to license application submissions, because this revision is keeping pace with advancements in HPC technology.
4D993 “Program” Proof and Validation “Software”, “Software” Allowing the Automatic Generation of “Source Codes”, and Operating System “Software”
ECCN 4D993 is amended by correcting the Heading to add a hyphen between the words “real” and “time” in the term “real-time processing.”
Category 5—Part 1—“Telecommunications”
5A001 Telecommunications Systems, Equipment, “Components” and “Accessories”
ECCN 5A001 is corrected by replacing the word “centre” with “center” in the Technical Note of Items paragraph b.5.d. For telecommunication systems and equipment that employ functions of digital “signal processing” to provide `voice coding,' the output rate is lowered from less than “2,400 bit/s” to “700 bit/s” in Items paragraph b.6 to reflect advancement in technology, which BIS estimates will result in no change to annual license application submissions.
5B001 Telecommunication Test, Inspection and Production Equipment, “Components” and “Accessories”
ECCN 5B001 is amended by adding “or” to the end of Items paragraph b.2.a in the License Requirements section to correspond with removing and reserving Items paragraph b.2.c (telecommunication transmission or switching equipment employing a “laser” and coherent optical transmission or coherent optical detection techniques), including the Note and Technical Note, because this equipment is broadly available in all leading technology countries around the world. BIS estimates that this removal will result in 5 fewer license application submissions per year.
5E001 “Technology”
ECCN 5E001 is amended by revising Related Controls Note (2) and Items paragraph 5E001.d to replace the term Microwave “monolithic integrated circuits” (MMIC) power amplifiers with “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers to correspond to revisions made to 3A001.b.2 in this rule. This rule moves the word “required” from the beginning of Items paragraph b.1 to follow the
term “technology,” in order to clarify the scope of the sentence. This rule also removes Items paragraph 5E001.c.1 “Equipment employing digital techniques designed to operate at a “total digital transfer rate” exceeding 560 Gbits/s” including the Technical Note, because this telecommunication technology is broadly available in all leading technology countries around the world. Even though BIS received 100 licenses for 5E001.c technology last year, most of them had other ECCNs included as well. BIS estimates that this removal will result in 5 fewer license application submissions per year. Items paragraph 5E001.c.2.c (technology for telecommunication transmission or switching equipment employing a “laser” and coherent optical transmission or coherent optical detection techniques) is removed and reserved, including the Note and Technical Note, to correspond with the removal of this equipment in 5B001.b.2.c by this rule. BIS estimates that this removal will result in 15 fewer license application submissions per year. The Note to Items paragraphs c.2.e and c.4.b are revised to remove the phrase “the development or production of,” because these terms are already referenced in the definition of “technology” and there is no need to be repetitive.
Category 5—Part 2—“Information Security”
Category 5—Part 2 is being restructured in order to simplify the text and focus the scope of controls. The introductory sentence in Note 3 in Category 5—Part 2 is amended by updating the scope of the Cryptography Note from “ECCNs 5A002, 5A003, 5A004 and 5D002” to “ECCNs 5A002, 5D002.a.1, .b, and c.1.” Paragraph a.5 is redesignated as paragraph a.4 in Note 3 to clean up the Note, and the phrase “, 5A003 or 5A004” is removed from the Technical Note to paragraph b. in Note 3, to match the updated scope of the Cryptography Note.
Note 4 is removed and is replaced by the creation of positive text in 5A002.a to specify the items subject to control. Although the wording is different and positively stated, the scope of control remains the same except certain non-primary function uses of encryption are now excluded as noted below. The exclusion in Note 4 for entertainment, mass commercial broadcasts, digital rights management or medical records management is moved to Technical Note 1 in order to clarify that encryption used for those functions is not considered `cryptography for data confidentiality' for purposes of Category 5—Part 2. 5A002.a.4 amends the text of the former Note 4 paragraph b to release products that use encryption for a non-primary function in certain circumstances.
5A002 “Information Security” Systems, Equipment and “Components”
ECCN 5A002 is amended by redesignating Related Control paragraph (3) as (5) and moving the Nota Bene from the beginning of 5A002.a to a new Related Control paragraph (3) in the List of Items Controlled section, which directs people to ECCNs 7A005, 7D005 and 7E001 for Global Navigation Satellite Systems (GNSS) receiving equipment containing or employing decryption, and related software and technology. Also a new Related Control Note (4) is added to provide examples to clarify the scope of Items paragraph 5A002.a.4, and a Nota Bene is added after Items paragraph 5A002.a.4 to point to Related Control Note (4). Items paragraph 5A002.a, including the Technical Notes and Notes, is amended to restructure it and improve readability, so that it includes an introduction of the term `cryptography for data confidentiality;' the establishment of a Technical Note to explain the scope of cryptography and the cryptographic functions excluded from the controls, including defining `in excess of 56 bits of symmetric key length, or equivalent;' and the introduction of a definition for “authentication.”
In addition, several revisions are made to Note 2 to 5A002.a (formerly Note to 5A002.a). Some paragraph and wording changes are made to the Note to correspond to other changes in the control text; the introductory text of the Note is revised to clarify that the Note also applies to “specially designed” “information security” components of items released by the Note; paragraph (f) of the Note is amended to clarify that it applies to any item where the encryption is limited to wireless personal area network functionality; paragraph (g) of the Note regarding dormant encryption products is removed and replaced with the positive phrase “where that cryptographic capability is usable without “cryptographic activation” ” in the introductory text of 5A002.a; and the remaining paragraphs of the Note are moved up, so that former paragraphs in the Note (h), (i), and (j) are now (g), (h), and (i).
5A003 “Systems,” “Equipment” and “Components,” for Non-Cryptographic “Information Security”
ECCN 5A003 is amended by revising the Note to Items paragraph .a in the List of Items Controlled section to add a clarification of the term `physical layer security' and to provide a reference to ISO/IEC 7498-1.
5D002 “Software”
5D002 is amended by revising the EI controls in the License Requirements table to exclude subparagraphs pertaining to ECCN 5A003, which is not EI controlled. The Items paragraph in the List of Items Controlled section is amended by replacing 5D002.b, which no longer controls anything, with “cryptographic activation” from 5D002.d, so that it has the same paragraph number as the equivalent controls in ECCNs 5A002 and 5E002. Paragraph 5D002.c.2 is replaced, because it no longer controls anything, and new control text is added corresponding to ECCN 5A003. Items paragraphs 5D002.a and .c are cascaded in order to create separate subparagraphs a.1, a.2, a.3 and c.1, c.2 and c.3 corresponding to ECCNs 5A002, 5A003, and 5A004.
5E002 “Technology”
ECCN 5E002 is corrected to correspond to the WA list by revising the text in Items paragraph 5E002.b.
Category 6—Sensors and Lasers
6A00 Acoustic Systems, Equipment and “Components”
ECCN 6A001 is amended by adding a hyphen to the word “real-time” in two places in the LVS paragraph in the List Based License Exceptions section; in the List of Items Controlled section, by adding double quotes around the word “accuracy” in Items paragraphs a.1.a.1.d and a.1.a.2.b.4; by adding a hyphen to the word “user-accessible” in Items paragraph a.2.c; by adding a Nota Bene to Items paragraph a.2.d.2 to reference 7A003.c for inertial heading systems; and by adding a hyphen to the word “user-accessible programmability” in items paragraph a.2.f. The majority of these revisions are editorial in nature (
e.g.,
adding quotes or hyphens).
6A003 Cameras, Systems or Equipment, and “Components” Therefor
ECCN 6A003 is amended by correcting paragraph b.1 in Note 3 to Items paragraph b.4.b in the List of Items Controlled section to remove the word “pixel” from the units, so that the unit simply reads milli-radians or mrad;
this correction does not change the scope of this decontrol note.
6A005 “Lasers,” “Components” and Optical Equipment
The List of Items Controlled section of ECCN 6A005 is amended by revising Items paragraph a.6.a to raise the output power from 200 W to 500 W for non-tunable continuous wave lasers, as well as by removing “or” in Items paragraph a.7.b because this paragraph is not the last paragraph before the end of the series in Items paragraph .a. This rule adds an upper limit “not exceeding 1,850 nm” to Items paragraph a.8. This rule also adds two new Items paragraphs a.9 and a.10 to add two new output wavelength ranges for non-tunable continuous wave (CW) lasers (exceeding 1,850 nm −2,100 nm, including output power parameters for single and multiple transverse mode lasers) and (exceeding 2,100 nm and output power exceeding 1W). In addition, this rule corrects Items paragraph b.7.b.3 (non-tunable pulsed lasers) by removing “or” because this paragraph is not the last paragraph before the end of the series in Items paragraph b. Items paragraph b.8 is revised to add an upper threshold of “not exceeding 1,850 nm.” This rule adds two new output wavelength ranges for non-tunable pulsed lasers by adding Items paragraph b.9 (exceeding 1,850 nm but not exceeding 2,100 nm) and b.10 (exceeding 2,100 nm). These changes represent a decontrol of items in 6A005 and are estimated to result in a decrease of 30 license application submissions annually.
6A008 Radar Systems, Equipment and Assemblies
ECCN 6A008 is amended to harmonize with the WA list by removing Related Controls Note (1) and redesignating Notes (2) and (3) as (1) and (2), because Note (1) deviated from the WA exclusion Note that already exists in ECCN 6A008, which resulted in confusion.
6D003 Other “Software”
ECCN 6D003 is corrected by adding a hyphen to the term “real time processing” so that it reads “real-time processing” in Items paragraphs a.1 through a.4, a.5.a, f.3, and f.4.
6E003 Other “Technology”
ECCN 6E003 is amended by rewriting Items paragraph d.1 and d.2 in the List of Items Controlled section to clarify the scope and use of the words “technology” and “required.”
Category 7—Navigation and Avionics
7D003 Other “Software” and 7E001 “Technology”
This rule corrects the capitalization in the Heading of 7E001. The Related Controls paragraphs of ECCNs 7D003 and 7E001 are amended by removing references to ECCNs 0D521 and 0E521, because software and technology for fly-by-wire controls systems were removed from 0D521 and 0E521 (
see
80 FR 29452, May 21, 2015). Items paragraph 7D003.e is amended by revising one Items paragraph reference and adding two additional references to correspond to revisions made by this rule to ECCN 7E004.
7D004 “Source Code” Incorporating “Development” “Technology” Specified
The heading of 7D004 is amended by revising the reference to Items paragraphs in 7E004 to correspond to revisions this rule makes to ECCN 7E004.
7E003 “Technology” According to the General Technology Note for the Repair, Refurbishing or Overhaul of Equipment Controlled by 7A001 to 7A004
The Related Controls paragraph of ECCN 7E003 is amended by revising the phrase “maintenance technology” to read “technology for maintenance” to clarify the scope of the decontrol text.
7E004 Other “Technology”
ECCN 7E004 is amended to clarify the scope of control by removing the word “development” and capitalizing the word “Technology” in paragraphs 1 and 2 of the Note to Items paragraph b.5 in the List of Items Controlled section, because the term “development” is already in the definition of “technology” and does not need to be used again.
Category 8—Marine
8A002 Marine Systems, Equipment, “Parts” and “Components”
ECCN 8A002 is amended by adding double quotes around the word “fuel cell” in the introductory text of Items paragraph j.3 in the List of Items Controlled section to indicate that it is a defined term in part 772 of the EAR.
8C001 `Syntactic Foam' Designed for Underwater Use
ECCN 8C001 is amended by adding double quotes around the word “matrix” in the Related Definitions paragraph of the List of Items Controlled section to indicate that it is a defined term in part 772 of the EAR.
Category 9—Aerospace and Propulsion
9A001 Aero Gas Turbine Engines
ECCN 9A001 is amended by adding double quotes around the word “technologies” in Items paragraph 9A001.a in the List of Items section to indicate that this is a defined term in part 772 of the EAR.
9A004 Space Launch Vehicles and “Spacecraft,” “Spacecraft Buses,” “Spacecraft Payloads,” “Spacecraft” On-Board Systems or Equipment, and Terrestrial Equipment
ECCN 9A004 is amended by removing the comma after the word “equipment” and adding a comma after the word “spacecraft” in the introductory text of Items paragraph .f in the List of Items Controlled section to correct the punctuation and clarify the scope of the paragraph (
i.e.,
to clarify that a list of controlled terrestrial equipment is what follows Items paragraph .f and not a list of “specially designed” spacecraft).
9A515 “Spacecraft” and Related Commodities
ECCN 9A515 is amended by revising the Related Controls paragraph in the List of Items Controlled section to capitalize “Microwave Monolithic Integrated Circuits” and add quotes around the term and its acronym, “MMICs,” in order to correspond to the WA drafting guidelines and indicate that the term is defined in part 772 of the EAR. This rule also implements an amendment that is not a result of changes made to the WA list by revising paragraph .a to clarify that only the International Space Station and the James Webb Space Telescope, and “specially designed” “parts,” “components,” “accessories” and “attachments” for those platforms are excluded from 9A515.a. Specifically, the reference to ECCN 9A004 now reads ECCN 9A004.u or .w.
9B002 On-Line (Real Time) Control Systems, Instrumentation (Including Sensors) or Automated Data Acquisition and Processing Equipment
Items paragraph 9B002.b is amended by replacing the phrase “incorporating technologies” with “incorporating any of the technology” to clarify the scope of the control paragraph.
9B009 Tooling “Specially Designed” for Producing Turbine Engine Powder Metallurgy Rotor “Parts” or “Components”
The Heading of ECCN 9B009 is amended by moving the control parameter from the Heading to the Items paragraph, as well as adding the word
“gas” before “turbine engine” to add specificity to the control. This rule also replaces the phrase “capable of operating at” with “designed to operate at” to control the intended capability of the item versus the actual capability, as the actual capability may vary from item to item in the same production line, which complicates classification of a product against specific parameters. In addition, a new parameter, “designed to operate at a temperature of 873 K (600 °C) or more,” is added, as well as a new exclusion Note for tooling for the production of powder. Normally, more specific parameters would narrow the scope of the control and result in a decrease of license application submissions, but BIS received only one application for this entry last year. BIS estimates there will be no change in the number of license application submissions as a result of this revision.
9E003 Other “Technology”
ECCN 9E003 is amended by adding a Technical Note to Items paragraph a.1 in the List of Items Controlled section to indicate that stress-rupture life testing is typically conducted on a test specimen. Items paragraph 9E003.a.2.a (thermally decoupled liners for combustors) is revised by adding single quotes around the term `thermally decoupled liners' and adding a Technical Note to provide a definition for the term. To accommodate the new Technical Note, the rule redesignates the existing Technical Note as Technical Note 2 and adds the new Technical Note as Technical Note 1. The Note to Items paragraph i.3 is revised by removing the terms “development” and “production,” because these terms are already in the definition of “technology,” and there is no need to be redundant when stating the scope of the exclusion note.
Part 772—Definitions of Terms as Used in the Export Administration Regulations (EAR)
Section 772.1 is amended by adding the terms “authentication” (see explanation above under ECCN 5A002), “MMIC” and “Monolithic Microwave Integrated Circuit” (see explanation above under ECCN 3A001). This rule also adds quotes around the term “aircraft” in the definitions of “fly-by-light system” and “fly-by-wire system,” because the use of “aircraft” in this definition pertains to the term “aircraft,” which is defined in part 772 of the EAR. The term “real-time bandwidth” is revised to add a hyphen between words “real” and “time,” and a comma and a phrase in the definition are moved to clarify the definition. The Category 7 reference is removed from the term “real-time processing,” because this term is no longer used in this category of the CCL. The term “stability” is revised by adding a Statement of Understanding that provides guidance on how to estimate “stability” for gyroscopes. The term “three dimensional integrated circuit” is revised, because 3D and 2.5D integrated circuit technologies allow the integration of many different types of integrated circuits, and not all 3D Integrated circuits are composed solely of semiconductor die sandwiched together. Also, a description is added for the term “interposer,” which is now used in the definition of “three dimensional integrated circuit.” This rule also revises the category reference for the following terms: Active pixel, aircraft, fibrous or filamentary materials, frequency hopping, and spacecraft.
Supplement No. 6 to Part 774 “Sensitive List”
Supplement No. 6 to part 774 “Sensitive List” (SL) is amended by removing reference to 1C007.d in paragraphs (iii), (vi) and (vii) of Category 1, because this paragraph was moved to 1C007.c.2, and 1C007.c is already listed. Supplement No. 6 to part 774 (SL) is also amended by revising the parameters in paragraphs (4)(ii) and (iii) to match the revisions to APP in ECCNs 4D001 and 4E001, and adding a hyphen in the term “user-accessible programmability” in paragraphs (6)(v) and (viii). In Category 6 of the SL, this rule adds double quotes around the term “magnetic gradiometers” in paragraph (xxiv)(C) and around the word “magnetometers” in paragraph (xxv), in order to indicate that these words are defined in part 772 of the EAR. Paragraph (9)(viii) is removed and reserved, because 9E003.a.1 is moving to paragraph (9)(ix). Paragraph 9E003.h is moved to its own SL paragraph, (9)(x).
The following is a change to the EAR related to the WA 2016 agreements.
Section 740.7 “License Exception APP”
Consistent with Executive Order 13742 of October 7, 2016, which terminated the national emergency with respect to the actions and policies of the Government of Burma (Burma) and revoked several Burma-related Executive Orders in recognition of Burma's substantial advances to promote democracy (including historic elections held in November 2015 that resulted in the formation of a democratically elected, civilian-led government), this rule moves Burma from paragraph (d)(1) “Computer Tier 3” to paragraph (c)(1) “Computer Tier 1.” As provided in subsection 1211(e) of the National Defense Authorization Act for Fiscal Year 1998 (Pub. L. 105-85, November 18, 1997, 111 Stat. 1629, 1932-1933, as amended; 50 U.S.C. 4604 note), this revision shall not take effect until 120 days after the President submits to the Congress a report setting forth the justification. On July 27, 2017 the Secretary of Commerce, as the President's delegate, submitted to Congress a report that provided justification for the movement of Burma from Computer Tier 3 to Tier 1. Therefore, this revision will become effective on November 24, 2017.
Export Administration Act
Although the Export Administration Act of 1979, as amended, expired on August 21, 2001, the President, through Executive Order 13222 of August 17, 2001, 3 CFR, 2001 Comp., p. 783 (2002), as amended by Executive Order 13637 of March 8, 2013, 78 FR 16129 (March 13, 2013), and as extended by the Notice of August 4, 2016, 81 FR 52587 (August 8, 2016), has continued the EAR in effect under the International Emergency Economic Powers Act (50 U.S.C. 1701
et seq.
). BIS continues to carry out the provisions of the Export Administration Act, as appropriate and to the extent permitted by law, pursuant to Executive Order 13222, as amended by Executive Order 13637.
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 August 15, 2017, 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 exports, reexports and transfers (in-country) before October 16, 2017. Any such items not actually exported, reexported and transferred (in-country) before midnight, on October 16, 2017, 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 41 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 E.O. 13771 (82 FR 9339, February 3, 2017) because it is issued with respect to a national security function of the United States.
Paperwork Reduction Act Requirements
Notwithstanding any other provision of law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501
et seq.
) (PRA), unless that collection of information displays a currently valid Office of Management and Budget (OMB) Control Number.
This rule involves the following OMB approved collections of information subject to the PRA: 0694-0088, “Multi-Purpose Application,” 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. Below is a table that estimates there will be a decrease in the number of license application submissions BIS receives per year as a result of the revisions in this rule. A decrease in license application submissions in turn results in a decrease in Wassenaar reporting and recordkeeping, the use of license exceptions, and the 5-year records retention burden, but does not relieve the burden to file export information in the Automated Export System. 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. The estimated annual cost savings for both application submitters and the U.S. Government is $3,547.60, and the estimated annual burden hour decrease is 34.8 hours.
Description
Total submissions
Total mins for
submission
(29.6 min)
Cost for
respondents
($30/hr or $2/min)
Total min
to process
application
(45 min)
Cost for gov't
($40/hr or
$1.5/min)
1C007.c titanium diboride
0
0
0
0
0.
1C007.d ceramic composite material
2
59.2
$118.40
90
$135.00.
1C007.e precursors
0
0
0
0
0.
3A001.a.14 integrated circuits
50
1480
$2,960.00
2250
$3375.00.
3A001.b.1 vacuum electric devices
10
296
$592.00
450
$675.00.
3A001.b.11 frequency synthesizers
(30)
(888)
($1776.00)
(1350)
($2025.00).
3A001.f “specially . . . designed” encoder rings, discs or scales
5
148
$296.00
225
$337.50.
3A002.c.4.b frequency mask trigger
15
444
$888.00
675
$1012.50.
3B001.a.1 equipment designed for epitaxial growth
(20)
(592)
($1184.00)
(900)
($1350.00).
3C001.d non-sensitive p-type epitaxial layer materials
(5)
(148)
($296.00)
(225)
($337.50).
4A003.b computers
0
0
0
0
0.
4D001 and 4E001 technology and software for computers
0
0
0
0
0.
5A001.b.6 `voice coding'
0
0
0
0
0.
5B001 telecom materials
(5)
(148)
($296.00)
(225)
($337.50).
5E001.c.1 telecom technology
(5)
(148)
($296.00)
(225)
($337.50).
5E001.c.2.c telecom technology
(15)
(444)
($888.00)
(675)
($1012.50).
6A005 lasers
(30)
(888)
($1776.00)
(1350)
($2025.00).
9B009 Tooling “specially designed” for producing turbine engine powder metallurgy rotor “parts” or “components
0
0
0
0
0.
Totals
(28 fewer submissions annually)
(828.8 fewer burden minutes for submitters annually)
($1657.60 decrease of cost burden to submitters annually)
(1260 fewer burden minutes for USG annually)
($1890.00 decrease of cost burden to USG annually).
Any comments regarding these burden estimates or any other aspect of these collections of information, including suggestions for reducing the burden, may be sent to OMB Desk Officer, New Executive Office Building, Washington, DC 20503; and to Jasmeet K. Seehra, Office of Management and Budget (OMB), by email to
Jasmeet_K._Seehra@omb.eop.gov
, or by fax to (202) 395-7285.
Administrative Procedure Act and Regulatory Flexibility Act Requirements
The provisions of the Administrative Procedure Act (5 U.S.C. 553) requiring notice of proposed rulemaking, the opportunity for public participation, and a delay in effective date, are inapplicable because this action involves a military and foreign affairs function of the United States (5 U.S.C. 553(a)(1)). Immediate implementation of these amendments fulfills the United States' international commitments to the WA. The WA is committed to contributing to regional and international security and stability by promoting responsibility and transparency in the global arms trade, and preventing destabilizing accumulations of arms. As a Participating State, the United States is charged with implementing the agreed list changes as soon as possible after approval. Because the United States is a significant exporter of the list items discussed in this rule, implementation of this provision is necessary for the WA to achieve its purpose, and will enhance the national security of the United States and global international trade.
Although the APA requirements in section 553 are not applicable to this action under the provisions of paragraph (a)(1), this action also falls within two other exceptions in the section. The subsection (b) requirement that agencies publish a notice of proposed rulemaking that includes information on the public proceedings does not apply when an agency for good cause finds that the notice and public procedures are impracticable, unnecessary, or contrary to the public interest, and the agency incorporates the finding (and reasons therefor) in the rule that is issued (5 U.S.C. 553(b)(B)). In addition, the section 553(d) requirement that publication of a rule shall be made not less than 30 days before its effective date can be waived if an agency finds there is good cause to do so.
The section 553 requirements for notice and public procedures and for a delay in the date of effectiveness do not apply to this rule, as there is good cause to waive such practices. Delay in implementation would disrupt the movement of these potential national-security controlled items globally, creating disharmony between export control measures implemented by the 41 WA Participating States. Export controls work best when all countries implement the same export controls in a timely manner. Delaying this rulemaking would prevent the United States from fulfilling its commitment to the WA in a timely manner, would injure the credibility of the United States in this and other multilateral regimes, and may impair the international community's ability to effectively control the export of national security controlled items. Therefore, this regulation is issued in final form, and is effective August 15, 2017.
Further, no other law requires that a notice of proposed rulemaking and an opportunity for public comment be given for this final rule. Because a notice of proposed rulemaking and an opportunity for public comment are not required to be given for this rule under the Administrative Procedure Act or by any other law, the analytical requirements of the Regulatory Flexibility Act (5 U.S.C. 601
et seq.
) are not applicable. Accordingly, no regulatory flexibility analysis is required and none has been prepared.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Reporting and recordkeeping requirements.
15 CFR Part 772
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
Accordingly, Parts 740, 772, and 774 of the Export Administration Regulations (15 CFR parts 730 through 774) are amended as follows:
PART 740—[AMENDED]
1. The authority citation for part 740 continues to read as follows:
Authority:
50 U.S.C. 4601
et seq.;
50 U.S.C. 1701
et seq.;
22 U.S.C. 7201
et seq.;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 4, 2016, 81 FR 52587 (August 8, 2016).
2. Section 740.7 is amended by:
a. Adding “Burma,” to paragraph (c)(1) after “Burkina Faso,” ; and
b. Removing “Burma,” from paragraph (d)(1).
PART 772—[AMENDED]
3. The authority citation for part 772 continues to read as follows:
Authority:
50 U.S.C. 4601
et seq.;
50 U.S.C. 1701
et seq.;
E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 4, 2016, 81 FR 52587 (August 8, 2016).
4. Section 772.1 is amended by:
a. Removing “(Cat 6 and 8)” and adding in its place “(Cat 6)” in the definition of “active pixel”;
b. Removing “(Cat 1, 7, and 9)” and adding in its place “(Cat 1, 6, 7, and 9)” in the definition of “aircraft”;
c. Adding the definition of “Authentication” in alphabetical order;
d. Removing “(Cat 1 and 8)” and adding in its place “(Cat 1, 2, 8 and 9)” in
the definition of “fibrous or filamentary materials”;
e. Adding quotes around the term “aircraft” in the definitions of the terms “fly-by-light system” and “fly-by-wire system”;
f. Removing “(Cat 5 part 1 and 5 part 2)” and adding in its place “(Cat 5P1, 5P2 and 6)” in the definition of “frequency hopping”;
g. Adding the definitions of “MMIC” and “Monolithic Microwave Integrated Circuit” in alphabetical order;
h. Removing the definition of “multilevel security” including the Note;
i. Revising the definitions of “real-time bandwidth” and “real-time processing”;
j. Remove “(Cat 7 and 9)” and add in its place “(Cat 9)” in the definition of “spacecraft”; and
k. Revising the definitions of “stability” and “three dimensional integrated circuit”.
The additions and revisions read as follows:
772.1
Definitions of terms as used in the Export Administration Regulations (EAR).
“
Authentication
”. (Cat 5P2) Verifying the identity of a user, process or device, often as a prerequisite to allowing access to resources in an information system. This includes verifying the origin or content of a message or other information, and all aspects of access control where there is no encryption of files or text except as directly related to the protection of passwords, Personal Identification Numbers (PINs) or similar data to prevent unauthorized access.
“
MMIC
”. (Cat 3 and 5) See “Monolithic Microwave Integrated Circuit”
“
Monolithic Microwave Integrated Circuit
” (“
MMIC
”) (Cat 3, 5P1 and 9) is a “monolithic integrated circuit” that operates at microwave or millimeter wave frequencies.
Real-time bandwidth.
(Cat 3) For “signal analyzers”, the widest frequency range for which the analyzer can continuously transform time domain data entirely into frequency-domain results using Fourier or other discrete time transform that processes every incoming time point, without a reduction of measured amplitude of more than 3 dB below the actual signal amplitude caused by gaps or windowing effects, while outputting or displaying the transformed data.
“Real-time Processing
”. (Cat 2, 4, and 6) The processing of data by a computer system providing a required level of service, as a function of available resources, within a guaranteed response time, regardless of the load of the system, when stimulated by an external event.
“
Stability
”. (Cat 7) Standard deviation (1 sigma) of the variation of a particular parameter from its calibrated value measured under stable temperature conditions. This can be expressed as a function of time.
Note to the Defintion of “Stability”:
For gyroscopes, “stability” can be estimated by determining the Allan variance noise-analysis value at the integration period (
i.e.,
sample time) consistent with the stated measurement period, which may include extrapolating the Allan variance noise analysis beyond the instability point into the rate random walk or rate ramp regions to an integration period consistent with the stated measurement period (Reference: IEEE Std. 952-1997 [R2008]). Allan variance noise analysis is often used to characterize Micro Electro Mechanical Systems (MEMS) gyroscopes, and is applicable to other gyroscopes, such as Ring Laser Gyroscopes (RLGs) and Fiber Optic Gyroscopes (FOGs).
“
Three dimensional integrated circuit”.
(Cat 3) A collection of semiconductor dies or active device layers, integrated together, and having through semiconductor via connections passing completely through an interposer, substrate, die or layer to establish interconnections between the device layers. An interposer is an interface that enables electrical connections.
PART 774—[AMENDED]
5. The authority citation for part 774 continues to read as follows:
Authority:
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; 30 U.S.C. 185(s), 185(u); 42 U.S.C. 2139a; 43 U.S.C. 1354; 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 4, 2016, 81 FR 52587 (August 8, 2016).
6. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1, ECCN 1A004 is revised to read as follows:
Supplement No. 1 to Part 774—The Commerce Control List
1A004 Protective and detection equipment and “components,” not “specially designed” for military use, as follows (see List of Items Controlled).
Reason for Control:
NS, CB, RS, AT
Control(s)
Country chart
(See Supp. No. 1
to part 738)
NS applies to entire entry
NS Column 2
CB applies to chemical detection systems and dedicated detectors therefor, in 1A004.c, that also have the technical characteristics described in 2B351.a
CB Column 2
RS apply to 1A004.d
RS Column 2
AT applies to entire entry
AT Column 1
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS:
N/A
GBS:
N/A
CIV:
N/A
List of Items Controlled
Related Controls:
(1) See ECCNs 1A995, 2B351, and 2B352. (2) See ECCN 1D003 for “software” “specially designed” or modified to enable equipment to perform the functions of equipment controlled under section 1A004.c (Nuclear, biological and chemical (NBC) detection systems). (3) See ECCN 1E002.g for control libraries (parametric technical databases) “specially designed” or modified to enable equipment to perform the functions of equipment controlled under 1A004.c (Nuclear, biological and chemical (NBC) detection systems). (4) Chemical and biological protective and detection equipment specifically designed, developed, modified, configured, or adapted for military applications is “subject to the ITAR” (see 22 CFR parts 120 through 130, including USML Category XIV(f)), as is commercial equipment that incorporates “parts” or “components” controlled under that category except for domestic preparedness devices for individual protection that integrate “components” and “parts” identified in USML Category XIV(f)(4) when such “parts” or “components” are: (i) Integral to the device; (ii) inseparable from the device; and (iii) incapable of replacement without compromising the effectiveness of the device, in which case the equipment is “subject to the EAR” under ECCN 1A004. (5) This entry does not control radionuclides incorporated in equipment listed in this entry—such materials are subject to the licensing jurisdiction of the Nuclear Regulatory Commission (See 10 CFR part 110).
Related Definitions:
(1) `Biological agents' means: Pathogens or toxins, selected or modified (such as altering purity, shelf life, virulence, dissemination characteristics, or resistance to UV radiation) to produce casualties in humans or animals, degrade equipment or damage crops or the environment. (2) `Riot control agents' are substances which, under the expected conditions of use for riot control purposes, produce rapidly in humans sensory irritation or disabling physical effects which disappear within a short time following termination of exposure. (Tear gases are a subset of `riot control agents.')
Items:
a. Full face masks, filter canisters and decontamination equipment therefor, designed or modified for defense against any of the following, and “specially designed” “components” therefor:
Note:
1A004.a includes Powered Air Purifying Respirators (PAPR) that are designed or modified for defense against agents or materials, listed in 1A004.a.
Technical Notes:
For the purpose of 1A004.a:
1. Full face masks are also known as gas masks.
2. Filter canisters include filter cartridges.
a.1. `Biological agents;'
a.2. `Radioactive materials;'
a.3. Chemical warfare (CW) agents;
or
a.4. `Riot control agents,' as follows:
a..4.a. α-Bromobenzeneacetonitrile, (Bromobenzyl cyanide) (CA) (CAS 5798-79-8);
a..4.b. [(2-chlorophenyl) methylene] propanedinitrile, (o-Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);
a..4.c. 2-Chloro-1-phenylethanone, Phenylacyl chloride (ω-chloroacetophenone) (CN) (CAS 532-27-4);
a..4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);
a..4.e. 10-Chloro-5, 10-dihydrophenarsazine, (Phenarsazine chloride), (Adamsite), (DM) (CAS 578-94-9);
a..4.f. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
b. Protective suits, gloves and shoes, “specially designed” or modified for defense against any of the following:
b.1. `Biological agents';
b.2. `Radioactive materials;'
or
b.3. Chemical warfare (CW) agents;
c. Detection systems, “specially designed” or modified for detection or identification of any of the following, and “specially designed” “components” therefor:
c.1. `Biological agents';
c.2. `Radioactive materials;'
or
c.3. Chemical warfare (CW) agents;
d. Electronic equipment designed for automatically detecting or identifying the presence of “explosives” (as listed in the annex at the end of Category 1) residues and utilizing `trace detection' techniques (
e.g.,
surface acoustic wave, ion mobility spectrometry, differential mobility spectrometry, mass spectrometry).
Technical Note:
`Trace detection' is defined as the capability to detect less than 1 ppm vapor, or 1 mg solid or liquid.
Note 1:
1A004.d. does not apply to equipment “specially designed” for laboratory use.
Note 2:
1A004.d. does not apply to non-contact walk-through security portals.
Note:
1A004 does not control:
a. Personal radiation monitoring dosimeters;
b. Occupational health or safety equipment limited by design or function to protect against hazards specific to residential safety or civil industries, including:
1. Mining;
2. Quarrying;
3. Agriculture;
4. Pharmaceutical;
5. Medical;
6. Veterinary;
7. Environmental;
8. Waste management;
9. Food industry.
Technical Notes:
1. 1A004 includes equipment, “components” that have been `identified,' successfully tested to national standards or otherwise proven effective, for the detection of or defense against `radioactive materials' “ ” `biological agents,' chemical warfare agents, `simulants' or “riot control agents,” even if such equipment or “components” are used in civil industries such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or the food industry.
2. `Simulant': A substance or material that is used in place of toxic agent (chemical or biological) in training, research, testing or evaluation.
3. For the purposes of 1A004, `radioactive materials' are those selected or modified to increase their effectiveness in producing casualties in humans or animals, degrading equipment or damaging crops or the environment.
7. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1, ECCN 1A007 is revised to read as follows:
1A007 Equipment and devices, “specially designed” to initiate charges and devices containing “energetic materials,” by electrical means, as follows (see List of Items Controlled).
License Requirements
Reason for Control:
NS, NP, AT
Control(s)
Country chart
(See Supp. No.1
to part 738)
NS applies to entire entry
NS Column 2
NP applies to 1A007.b, as well as 1A007.a when the detonator firing set meets or exceeds the parameters of 3A229
NP Column 1
AT applies to entire entry
AT Column 1
List Based License Exceptions (See Part 740 for a Description of all License Exceptions)
LVS:
N/A
GBS:
N/A
CIV:
N/A
List of Items Controlled
Related Controls:
High explosives and related equipment “specially designed” for military use are “subject to the ITAR” (see 22 CFR parts 120 through 130). This entry does not control detonators using only primary explosives, such as lead azide. See also ECCNs 0A604, 3A229, and 3A232. See 1E001 for “development” and “production” technology controls, and 1E201 for “use” technology controls.
Related Definitions:
N/A
Items:
a. Explosive detonator firing sets designed to drive explosive detonators specified by 1A007.b;
b. Electrically driven explosive detonators as follows:
b.1. Exploding bridge (EB);
b.2. Exploding bridge wire (EBW);
b.3. Slapper;
b.4. Exploding foil initiators (EFI).
Technical Notes
1. The word initiator or igniter is sometimes used in place of the word detonator.
2. For the purpose of 1A007.b the detonators of concern all utilize a small electrical conductor (bridge, bridge wire, or foil) that explosively vaporizes when a fast, high-current electrical pulse is passed through it. In nonslapper types, the exploding conductor starts a chemical detonation in a contacting high explosive material such as PETN (pentaerythritoltetranitrate). In slapper detonators, the explosive vaporization of the electrical conductor drives a flyer or slapper across a gap, and the impact of the slapper on an explosive starts a chemical detonation. The slapper in some designs is driven by magnetic force. The term exploding foil detonator may refer to either an EB or a slapper-type detonator.
8. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1, ECCN 1B001 is revised to read as follows:
1B001 Equipment for the production or inspection of “composite” structures or laminates controlled by 1A002 or “fibrous or filamentary materials” controlled by 1C010, as follows (see List of Items Controlled), and “specially designed” “components” and “accessories” therefor.
License Requirements
Reason for Control:
NS, MT, NP, AT
Control(s)
Country chart
(See Supp. No. 1
to part 738)
NS applies to entire entry
NS Column 2
MT applies to entire entry, except 1B001.d.4, e and f
Note:
MT applies to equipment in 1B001.d that meet or exceed the parameters of 1B101
MT Column 1
NP applies to filament winding machines described in 1B001.a that are capable of winding cylindrical rotors having a diameter between 75 mm (3 in) and 400 mm (16 in) and lengths of 600 mm (24 in) or greater; AND coordinating and programming controls and precision mandrels for these filament winding machines
NP Column 1
AT applies to entire entry
AT Column 1
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS:
N/A for MT and for 1B001.a; $5,000 for all other items
GBS:
N/A
CIV:
N/A
List of Items Controlled
Related Controls:
(1) See ECCN 1D001 for software for items controlled by this entry and see ECCNs 1E001 (“development” and “production”) and 1E101 (“use”) for technology for items controlled by this entry. (2) Also see ECCNs 1B101 and 1B201.
Related Definitions:
N/A
Items:
a. Filament winding machines, of which the motions for positioning, wrapping and winding fibers are coordinated and programmed in three or more `primary servo positioning' axes, “specially designed” for the manufacture of “composite” structures or laminates, from “fibrous or filamentary materials”;
b. `Tape laying machines', of which the motions for positioning and laying tape are coordinated and programmed in five or more `primary servo positioning' axes, “specially designed” for the manufacture of “composite” airframe or missile structures;
Technical Note:
For the purposes of 1B001.b, `tape-laying machines' have the ability to lay one or more `filament bands' limited to widths greater than 25.4 mm and less than or equal to 304.8 mm, and to cut
and restart individual `filament band' courses during the laying process.
c. Multidirectional, multidimensional weaving machines or interlacing machines, including adapters and modification kits, “specially designed” or modified for weaving, interlacing or braiding fibers for “composite” structures;
Technical Note:
For the purposes of 1B001.c the technique of interlacing includes knitting.
d. Equipment “specially designed” or adapted for the production of reinforcement fibers, as follows:
d.1. Equipment for converting polymeric fibers (such as polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon fibers or silicon carbide fibers, including special equipment to strain the fiber during heating;
d.2. Equipment for the chemical vapor deposition of elements or compounds, on heated filamentary substrates, to manufacture silicon carbide fibers;
d.3. Equipment for the wet-spinning of refractory ceramics (such as aluminum oxide);
d.4. Equipment for converting aluminum containing precursor fibers into alumina fibers by heat treatment;
e. Equipment for producing prepregs controlled by 1C010.e by the hot melt method;
f. Non-destructive inspection equipment “specially designed” for “composite” materials, as follows:
f.1. X-ray tomography systems for three dimensional defect inspection;
f.2. Numerically controlled ultrasonic testing machines of which the motions for positioning transmitters or receivers are simultaneously coordinated and programmed in four or more axes to follow the three dimensional contours of the “part” or “component” under inspection;
g. Tow-placement machines, of which the motions for positioning and laying tows are coordinated and programmed in two or more `primary servo positioning' axes, “specially designed” for the manufacture of “composite” airframe or missile structures.
Technical Note to 1B001.g:
For the purposes of 1B001.g, `tow-placement machines' have the ability to place one or more `filament bands' having widths less than or equal to 25.4 mm, and to cut and restart individual `filament band' courses during the placement process.
Technical Notes for 1B001:
1. For the purpose of 1B001, `primary servo positioning' axes control, under computer program direction, the position of the end effector (i.e., head) in space relative to the work piece at the correct orientation and direction to achieve the desired process.
2. For the purposes of 1B001, a `filament band' is a single continuous width of fully or partially resin-impregnated tape, tow or fiber. Fully or partially resin-impregnated `filament bands' include those coated with dry powder that tacks upon heating.
9. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1, ECCN 1C007 is revised to read as follows:
1C007 Ceramic powders, ceramic-“matrix” “composite” materials and `precursor materials,' as follows (see List of Items Controlled).
License Requirements
Reason for Control:
NS, MT, AT
Control(s)
Country chart
(See Supp. No. 1 to
part 738)
NS applies to entire entry
NS Column 2
MT applies to items in 1C007.c when the dielectric constant is less than 6 at any frequency from 100 MHz to 100 GHz for use in “missile” radomes
MT Column 1
AT applies to entire entry
AT Column 1
Reporting Requirements
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS:
$5000, except N/A for MT and for 1C007.e
GBS:
N/A
CIV:
N/A
Special Conditions for STA
STA:
License Exception STA may not be used to ship any item in 1C007.c entry to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls:
See also 1C107.
Related Definitions:
N/A
Items:
a. Ceramic powders of titanium diboride (TiB2) (CAS 12045-63-5) having total metallic impurities, excluding intentional additions, of less than 5,000 ppm, an average particle size equal to or less than 5 µm and no more than 10% of the particles larger than 10 µm;
b. [Reserved]
c. Ceramic-“matrix” “composite” materials as follows:
c.1. Ceramic-ceramic “composite” materials with a glass or oxide-“matrix” and reinforced with any of the following:
c.1.a. Continuous fibers made from any of the following materials:
c.1.a.1. Al
2
O
3
(CAS 1344-28-1);
or
c.1.a.2. Si-C-N;
or
Note:
1C007.c.1.a does not apply to “composites” containing fibers with a tensile strength of less than 700 MPa at 1,273 K (1,000 °C) or tensile creep resistance of more than 1% creep strain at 100 MPa load and 1,273 K (1,000 °C) for 100 hours.
c.1.b. Fibers being all of the following:
c.1.b.1. Made from any of the following materials:
c.1.b.1.a. Si-N;
c.1.b.1.b. Si-C;
c.1.b.1.c. Si-Al-O-N;
or
c.1.b.1.d. Si-O-N;
and
c.1.b.2. Having a “specific tensile strength” exceeding 12.7 × 10
3
m;
c.2. Ceramic- “matrix” “composite” materials with a “matrix” formed of carbides or nitrides of silicon, zirconium or boron;
N.B.: For items previously listed under 1C007.c see 1C007.c.1.b.
d. [Reserved]
N.B.: For items previously listed under 1C007.d see 1C007.c.2.
e. `Precursor materials' “specially designed” for the “production” of materials controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes;
e.2. Polysilazanes;
e.3. Polycarbosilazanes;
Technical Note:
For the purposes of 1C007, `precursor materials' are special purpose polymeric or metallo-organic materials used for the “production” of silicon carbide, silicon nitride, or ceramics with silicon, carbon and nitrogen.
f. [Reserved]
N.B.: For items previously listed under 1C007.f see 1C007.c.1.a.
10. In Supplement No. 1 to part 774 (the Commerce Control List), Category 1, ECCN 1C608 is revised to read as follows:
1C608 “Energetic materials” and related commodities (see List of Items Controlled).
License Requirements
Reason for Control:
NS, RS, MT, AT, UN
Control(s)
Country chart
(See Supp. No. 1
to part 738)
NS applies to entire entry
NS Column 1
RS applies to entire entry
RS Column 1
MT applies to 1C608.m
MT Column 1
AT applies to entire entry
AT Column 1
UN applies to entire entry
See § 746.1(b) for UN controls
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS:
$1500
GBS:
N/A
CIV:
N/A
Special Conditions for STA
STA:
Paragraph (c)(2) of License Exception STA (§ 740.20(c)(2) of the EAR) may not be used for any item in 1C608.
List of Items Controlled
Related Controls:
(1) The EAR does not control devices or charges containing materials controlled by USML subparagraphs V(c)(6), V(h), or V(i). The USML controls devices containing such materials. (2) The USML in Categories III, IV, or V controls devices and charges in
this entry if they contain materials controlled by Category V (other than slurries) and such materials can be easily extracted without destroying the device or charge. (3) See also explosives and other items enumerated in ECCNs 1A006, 1A007, 1A008, 1C011, 1C111, 1C239, and 1C992. (4) See ECCN 0A919 for foreign-made “military commodities” that incorporate more than a
de minimis
amount of US-origin “600 series” controlled content.
Related Definitions:
(1) For purposes of this entry, the term `controlled materials' means controlled energetic materials enumerated in ECCNs 1C011, 1C111, 1C239, 1C608, or USML Category V. (2) For the purposes of this entry, the term `propellants' means substances or mixtures that react chemically to produce large volumes of hot gases at controlled rates to perform mechanical work.
Items:
a. `Single base,' `double base,' and `triple base' `propellants' having nitrocellulose with nitrogen content greater than 12.6% in the form of either:
a.1. `Sheetstock' or `carpet rolls;' or
a.2. Grains with diameter greater than 0.10 inches.
Note:
This entry does not control `propellant' grains used in shotgun shells, small arms cartridges, or rifle cartridges.
Technical Notes:
1. `Sheetstock' is `propellant' that has been manufactured in the form of a sheet suitable for further processing.
2. A `carpet roll' is `propellant' that has been manufactured as a sheet, often cut to a desired width, and subsequently rolled up (like a carpet).
3. `Single base' is `propellant' which consists mostly of nitrocellulose.
4. `Double base' `propellant' consist mostly of nitrocellulose and nitroglycerine.
5. `Triple base' consists mostly of nitrocellulose, nitroglycerine, and nitroguanidine. Such `propellants' contain other materials, such as resins or stabilizers, that could include carbon, salts, burn rate modifiers, nitrodiphenylamine, wax, polyethylene glycol (PEG), polyglycol adipate (PGA).
b. Shock tubes containing greater than 0.064 kg per meter (300 grains per foot), but not more than 0.1 kg per meter (470 grains per foot) of `controlled materials.'
c. Cartridge power devices containing greater than 0.70 kg, but not more than 1.0 kg of `controlled materials.'
d. Detonators (electric or nonelectric) and “specially designed” assemblies therefor containing greater than 0.01 kg, but not more than 0.1 kg of `controlled materials.'
e. Igniters not controlled by USML Categories III or IV that contain greater than 0.01 kg, but not more than 0.1 kg of `controlled materials.'
f. Oil well cartridges containing greater than 0.015 kg, but not more than 0.1 kg of `controlled materials.'
g. Commercial cast or pressed boosters containing greater than 1.0 kg, but not more than 5.0 kg of `controlled materials.'
h. Commercial prefabricated slurries and emulsions containing greater than 10 kg and less than or equal to thirty-five percent by weight of USML `controlled materials.'
i. [Reserved]
j. “Pyrotechnic” devices “specially designed” for commercial purposes (
e.g.,
theatrical stages, motion picture special effects, and fireworks displays), and containing greater than 3.0 kg, but not more than 5.0 kg of `controlled materials.'
k. Other commercial explosive devices or charges “specially designed” for commercial applications, not controlled by 1C608.c through .g above, containing greater than 1.0 kg, but not more than 5.0 kg of `controlled materials.'
l. Propyleneimine (2 methylaziridine) (C.A.S. #75-55-8).
m. Any oxidizer or `mixture' thereof that is a compound composed of fluorine and any of the following: Other halogens, oxygen, or nitrogen.
Note 1 to 1C608.m:
Nitrogen trifluoride (NF3)(CAS 7783-54-2) in a gaseous state is controlled under ECCN 1C992 and not under ECCN 1C608.m.
Note 2 to 1C608.m
Chlorine trifluoride (ClF3)(CAS 7790-91-2) is controlled under ECCN 1C111.a.3.f and not under ECCN 1C608.m.
Note 3 to 1C608.m
Oxygen difluoride (OF2) is controlled under USML Category V.d.10 (see 22 CFR 121.1) and not under ECCN 1C608.m.
Note 1 to 1C608.l and m:
If a chemical in ECCN 1C608.l or .m is incorporated into a commercial charge or device described in ECCN 1C608.c through .k or in ECCN 1C992, the classification of the commercial charge or device applies to the item.
Technical Note to 1C608.m:
`Mixture' refers to a composition of two or more substances with at least one substance being enumerated in 1C011, 1C111, 1C239, 1C608, USML Category V, or elsewhere on the USML.
n. Any explosives, `propellants,' oxidizers, “pyrotechnics,” fuels, binders, or additives that are “specially designed” for military application and not enumerated or otherwise described in USML Category V or elsewhere on the USML.
11. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1, ECCN 1E001 is revised to read as follows:
1E001 “Technology” according to the General Technology Note for the “development” or “production” of items controlled by 1A002, 1A003, 1A004, 1A005, 1A006.b, 1A007, 1A008 1A101, 1B (except 1B608, 1B613 or 1B999), or 1C (except 1C355, 1C608, 1C980 to 1C984, 1C988, 1C990, 1C991, 1C995 to 1C999).
License Requirements
Reason for Control:
NS, MT, NP, CB, RS, AT
Control(s)
Country chart
(See Supp. No. 1
to part 738)
NS applies to “technology” for items controlled by 1A002, 1A003, 1A005, 1A006.b, 1A007, 1B001 to 1B003, 1B018, 1C001 to 1C011, or 1C018
NS Column 1
NS applies to “technology” for items controlled by 1A004
NS Column 2
MT applies to “technology” for items controlled by 1A101, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001, 1C007, 1C011, 1C101, 1C102, 1C107, 1C111, 1C116, 1C117, or 1C118 for MT reasons
MT Column 1
NP applies to “technology” for items controlled by 1A002, 1A007, 1B001, 1B101, 1B201, 1B225, 1B226, 1B228 to 1B234, 1C002, 1C010, 1C111, 1C116, 1C202, 1C210, 1C216, 1C225 to 1C237, or 1C239 to 1C241 for NP reasons
NP Column 1
CB applies to “technology” for items controlled by 1C351, 1C353, or 1C354
CB Column 1
CB applies to “technology” for materials controlled by 1C350 and for chemical detection systems and dedicated detectors therefor, in 1A004.c, that also have the technical characteristics described in 2B351.a
CB Column 2
RS applies to technology for equipment controlled in 1A004.d
RS Column 2
AT applies to entire entry
AT Column 1
Reporting Requirements
See § 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)
CIV:
N/A
TSR:
Yes, except for the following:
(1) Items controlled for MT reasons; or (2) Exports and reexports to destinations outside of those countries listed in Country Group A:5 (See Supplement No. 1 to part 740 of the EAR) of “technology” for the “development” or production” of the following:
(a) Items controlled by 1C001; or
(b) Items controlled by 1A002.a which are composite structures or laminates having an organic “matrix” and being made from materials listed under 1C010.c or 1C010.d.
Special Conditions for STA
STA:
License Exception STA may not be used to ship or transmit “technology” according to the General Technology Note for the “development” or “production” of equipment and materials specified by ECCNs 1A002, 1C001, 1C007.c, 1C010.c or d or 1C012 to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR).
List of Items Controlled
Related Controls:
(1) Also see ECCNs 1E101, 1E201, and 1E202. (2) See ECCN 1E608 for “technology” for items classified under ECCN 1B608 or 1C608 that, immediately prior to July 1, 2014, were classified under ECCN 1B018.a or 1C018.b through .m (note that ECCN 1E001 controls “development” and “production” “technology” for chlorine trifluoride controlled by ECCN 1C111.a.3.f—see ECCN 1E101 for controls on “use” “technology” for chlorine trifluoride). (3) See ECCN 1E002.g for control libraries (parametric technical databases) “specially designed” or modified to enable equipment to perform the functions of equipment controlled under ECCN 1A004.c (Nuclear, biological and chemical (NBC) detection systems) or ECCN 1A004.d (Equipment for detecting or identifying explosives residues). (4) “Technology” for lithium isotope separation (see related ECCN 1B233) and “technology” for items described in ECCN 1C012 are subject to the export licensing authority of the Department of Energy (see 10 CFR part 810). (5) “Technology” for items described in ECCN 1A102 is “subject to the ITAR” (see 22 CFR parts 120 through 130).
Related Definitions:
N/A
Items:
The list of items controlled is contained in the ECCN heading.
12. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1, ECCN 1E002 is revised to read as follows:
1E002 Other “technology” as follows (see List of Items Controlled).
License Requirements
Reason for Control:
NS, MT, NP, AT
Control(s)
Country chart
(See Supp. No. 1
to part 738)
NS applies to entire entry, except 1E002.g
NS Column 1
NS applies to 1E002.g
NS Column 2
MT applies to 1E002.e
MT Column 1
NP applies to “technology” for items controlled by 1A002 for NP reasons
NP Column 1
AT applies to entire entry
AT Column 1
Reporting Requirements
See § 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)
CIV:
N/A
TSR:
Yes, except for 1E002.e and .f.
License Exceptions Note:
License Exception TSU is not applicable for the repair “technology” controlled by 1E002.e or .f, see supplement no. 2 to this part.
Special Conditions for STA
STA:
License Exception STA may not be used to ship or transmit any item in 1E002.e or .f 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 1E001, 1E101,1E102, 1E202, and 1E994 for “technology” related to 1E002.e or .f.
Related Definitions:
N/A
Items:
a. “Technology” for the “development” or “production” of polybenzothiazoles or polybenzoxazoles;
b. “Technology” for the “development” or “production” of fluoroelastomer compounds containing at least one vinylether monomer;
c. “Technology” for the design or “production” of the following ceramic powders or non-“composite” ceramic materials:
c.1. Ceramic powders having all of the following:
c.1.a. Any of the following compositions:
c.1.a.1. Single or complex oxides of zirconium and complex oxides of silicon or aluminum;
c.1.a.2. Single nitrides of boron (cubic crystalline forms);
c.1.a.3. Single or complex carbides of silicon or boron; or
c.1.a.4. Single or complex nitrides of silicon;
c.1.b. Any of the following total metallic impurities (excluding intentional additions):
c.1.b.1. Less than 1,000 ppm for single oxides or carbides; or
c.1.b.2. Less than 5,000 ppm for complex compounds or single nitrides; and
c.1.c. Being any of the following:
c.1.c.1. Zirconia (CAS 1314-23-4) with an average particle size equal to or less than 1 µm and no more than 10% of the particles larger than 5 µm;
or
c.1.c.2. Other ceramic powders with an average particle size equal to or less than 5 µm and no more than 10% of the particles larger than 10 µm;
c.2. Non-“composite” ceramic materials composed of the materials described in 1E002.c.1;
Note:
1E002.c.2 does not control “technology” for abrasives.
d. [Reserved]
e. “Technology” for the installation, maintenance or repair of materials controlled by 1C001;
f. “Technology” for the repair of “composite” structures, laminates or materials controlled by 1A002 or 1C007.c;
Note:
1E002.f does not control “technology” for the repair of “civil aircraft” structures using carbon “fibrous or filamentary materials” and epoxy resins, contained in “aircraft” manufacturers' manuals.
g. “Libraries” “specially designed” or modified to enable equipment to perform the functions of equipment controlled under 1A004.c or 1A004.d.
13. In Supplement No. 1 to Part 774 (the Commerce Control List), Annex to Category 1—List of Explosives is revised to read as follows:
ANNEX to Category 1
List of Explosives (See ECCNs 1A004 and 1A008)
1. ADNBF (aminodinitrobenzofuroxan or 7-amino-4,6-dinitrobenzofurazane-1-oxide) (CAS 97096-78-1);
2. BNCP (cis-bis (5-nitrotetrazolato) tetra amine-cobalt (III) perchlorate) (CAS 117412-28-9);
3. CL-14 (diamino dinitrobenzofuroxan or 5,7-diamino-4,6-dinitrobenzofurazane-1-oxide) (CAS 117907-74-1);
4. CL-20 (HNIW or Hexanitrohexaazaisowurtzitane) (CAS 135285-90-4); chlathrates of CL-20;
5. CP (2-(5-cyanotetrazolato) penta amine-cobalt (III) perchlorate) (CAS 70247-32-4);
6. DADE (1,1-diamino-2,2-dinitroethylene, FOX7) (CAS 145250-81-3);
7. DATB (diaminotrinitrobenzene) (CAS 1630-08-6);
8. DDFP (1,4-dinitrodifurazanopiperazine);
9. DDPO (2,6-diamino-3,5-dinitropyrazine-1-oxide, PZO) (CAS 194486-77-6);
10. DIPAM (3,3′-diamino-2,2′,4,4′,6,6′-hexanitrobiphenyl or dipicramide) (CAS 17215-44-0);
11. DNGU (DINGU or dinitroglycoluril) (CAS 55510-04-8);
12. Furazans as follows:
a. DAAOF (diaminoazoxyfurazan);
b. DAAzF (diaminoazofurazan) (CAS 78644-90-3);
13. HMX and derivatives, as follows:
a. HMX (Cyclotetramethylenetetranitramine, octahydro-1,3,5,7-tetranitro-1,3,5,7-tetrazine, 1,3,5,7-tetranitro-1,3,5,7-tetraza-cyclooctane, octogen or octogene) (CAS 2691-41-0);
b. difluoroaminated analogs of HMX;
c. K-55 (2,4,6,8-tetranitro-2,4,6,8-tetraazabicyclo [3,3,0]-octanone-3, tetranitrosemiglycouril or keto-bicyclic HMX) (CAS 130256-72-3);
14. HNAD (hexanitroadamantane) (CAS 143850-71-9);
15. HNS (hexanitrostilbene) (CAS 20062-22-0);
16. Imidazoles as follows:
a. BNNII (Octahydro-2,5-bis(nitroimino)imidazo [4,5-d]imidazole);
b. DNI (2,4-dinitroimidazole) (CAS 5213-49-0);
c. FDIA (1-fluoro-2,4-dinitroimidazole);
d. NTDNIA (N-(2-nitrotriazolo)-2,4-dinitroimidazole);
e. PTIA (1-picryl-2,4,5-trinitroimidazole);
17. NTNMH (1-(2-nitrotriazolo)-2-dinitromethylene hydrazine);
18. NTO (ONTA or 3-nitro-1,2,4-triazol-5-one) (CAS 932-64-9);
19. Polynitrocubanes with more than four nitro groups;
20. PYX (2,6-Bis(picrylamino)-3,5-dinitropyridine) (CAS 38082-89-2);
21. RDX and derivatives, as follows:
a. RDX (cyclotrimethylenetrinitramine, cyclonite, T4, hexahydro-1,3,5-trinitro-1,3,5-triazine, 1,3,5-trinitro-1,3,5-triaza-cyclohexane, hexogen or hexogene) (CAS 121-82-4);
b. Keto-RDX (K-6 or 2,4,6-trinitro-2,4,6-triazacyclohexanone) (CAS 115029-35-1);
22. TAGN (triaminoguanidinenitrate) (CAS 4000-16-2);
23. TATB (triaminotrinitrobenzene) (CAS 3058-38-6);
24. TEDDZ (3,3,7,7-tetrabis(difluoroamine) octahydro-1,5-dinitro-1,5-diazocine);
25. Tetrazoles as follows:
a. NTAT (nitrotriazol aminotetrazole);
b. NTNT (1-N-(2-nitrotriazolo)-4-nitrotetrazole);
26. Tetryl (trinitrophenylmethylnitramine) (CAS 479-45-8);
27. TNAD (1,4,5,8-tetranitro-1,4,5,8-tetraazadecalin) (CAS 135877-16-6);
28. TNAZ (1,3,3-trinitroazetidine) (CAS 97645-24-4);
29. TNGU (SORGUYL or tetranitroglycoluril) (CAS 55510-03-7);
30. TNP (1,4,5,8-tetranitro-pyridazino[4,5-d]pyridazine) (CAS 229176-04-9);
31. Triazines as follows:
a. DNAM (2-oxy-4,6-dinitroamino-s-triazine) (CAS 19899-80-0);
b. NNHT (2-nitroimino-5-nitro-hexahydro-1,3,5-triazine) (CAS 130400-13-4);
32. Triazoles as follows:
a. 5-azido-2-nitrotriazole;
b. ADHTDN (4-amino-3,5-dihydrazino-1,2,4-triazole dinitramide) (CAS 1614-08-0);
c. ADNT (1-amino-3,5-dinitro-1,2,4-triazole);
d. BDNTA ((bis-dinitrotriazole)amine);
e. DBT (3,3′-dinitro-5,5-bi-1,2,4-triazole) (CAS 30003-46-4);
f. DNBT (dinitrobistriazole) (CAS 70890-46-9);
g. [Reserved]
h. NTDNT (1-N-(2-nitrotriazolo) 3,5-dinitrotriazole);
i. PDNT (1-picryl-3,5-dinitrotriazole);
j. TACOT (tetranitrobenzotriazolobenzotriazole) (CAS 25243-36-1);
33. “Explosives” not listed elsewhere in this list having a detonation velocity exceeding 8,700 m/s, at maximum density, or a detonation pressure exceeding 34 GPa (340 kbar);
34. [Reserved]
35. Nitrocellulose (containing more than 12.5% nitrogen) (CAS 9004-70-0);
36. Nitroglycol (CAS 628-96-6);
37. Pentaerythritol tetranitrate (PETN) (CAS 78-11-5);
38. Picryl chloride (CAS 88-88-0);
39. 2,4,6 Trinitrotoluene (TNT) (CAS 118-96-7);
40. Nitroglycerine (NG) (CAS 55-63-0);
41. Triacetone Triperoxide (TATP) (CAS 17088-37-8);
42. Guanidine nitrate (CAS 506-93-4);
43. Nitroguanidine (NQ) (CAS 556-88-7);
44. DNAN (2,4-dinitroanisole) (CAS 119-27-7);
45. TEX (4,10-Dinitro-2,6,8,12-tetraoxa-4,10-diazaisowurtzitane);
46. GUDN (Guanylurea dinitramide) FOX-12 (CAS 217464-38-5);
47. Tetrazines as follows:
a. BTAT (Bis(2,2,2-trinitroethyl)-3,6-diaminotetrazine);
b. LAX-112 (3,6-diamino-1,2,4,5-tetrazine-1,4-dioxide);
48. Energetic ionic materials melting between 343 K (70 °C) and 373 K (100 °C) and with detonation velocity exceeding 6,800 m/s or detonation pressure exceeding 18 GPa (180 kbar);
49. BTNEN (Bis(2,2,2-trinitroethyl)-nitramine) (CAS 19836-28-3);
50. FTDO (5,6-(3′,4′-furazano)-1,2,3,4-tetrazine-1,3-dioxide).
14. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 2, ECCN 2A001 is revised to read as follows:
2A001 Anti-friction bearings and bearing systems, as follows, (see List of Items Controlled) and “components” therefor.
Reason for Control:
NS, MT, AT
Control(s)
Country chart
(See Supp. No. 1
to part 738)
NS applies to entire entry
NS Column 2
MT applies to radial ball bearings having all tolerances specified in accordance with ISO 492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9, or other national equivalents) or better and having all the following characteristics: An inner ring bore diameter between 12 and 50 mm; an outer ring outside diameter between 25 and 100 mm; and a width between 10 and 20 mm
MT Column 1
AT applies to entire entry
AT Column 1
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS:
$3000, N/A for MT
GBS:
Yes, for 2A001.a, N/A for MT
CIV:
Yes, for 2A001.a, N/A for MT
List of Items Controlled
Related Controls:
(1) See also 2A991. (2) Quiet running bearings are “subject to the ITAR” (see 22 CFR parts 120 through 130).
Items:
Note 1:
2A001.a includes ball bearing and roller elements “specially designed” for the items specified therein.
Note 2:
2A001 does not control balls with tolerances specified by the manufacturer in accordance with ISO 3290 as grade 5 or worse.
a. Ball bearings and solid roller bearings, having all tolerances specified by the manufacturer in accordance with ISO 492 Tolerance Class 4 (or national equivalents), or better, and having both `rings' and `rolling elements', made from monel or beryllium;
Note:
2A001.a does not control tapered roller bearings.
Technical Notes:
1. `Ring'—annular part of a radial rolling bearing incorporating one or more raceways (ISO 5593:1997).
2. `Rolling element'- ball or roller which rolls between raceways (ISO 5593:1997).
b. [Reserved]
c. Active magnetic bearing systems using any of the following:
c.1. Materials with flux densities of 2.0 T or greater and yield strengths greater than 414 MPa;
c.2. All-electromagnetic 3D homopolar bias designs for actuators; or
c.3. High temperature (450 K (177 °C) and above) position sensors.
15. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 2, ECCN 2B001 is revised to read as follows:
2B001 Machine tools and any combination thereof, for removing (or cutting) metals, ceramics or “composites”, which, according to the manufacturer's technical specifications, can be equipped with electronic devices for “numerical control”; as follows (see List of Items Controlled).
License Requirements
Reason for Control:
NS, NP, AT
Control(s)
Country chart
(See Supp. No. 1
to part 738)
NS applies to entire entry
NS Column 2
NP applies to 2B001.a, .b, .c, and .d, EXCEPT: (1) turning machines under 2B001.a with a capacity no greater than 35 mm diameter; (2) bar machines (Swissturn), limited to machining only bar feed through, if maximum bar diameter is equal to or less than 42 mm and there is no capability of mounting chucks. (Machines may have drilling and/or milling capabilities for machining “parts” or “components” with diameters less than 42 mm); or (3) milling machines under 2B001.b with x-axis travel greater than two meters and overall positioning accuracy according to ISO 230/2 (2006) on the x-axis more (worse) than 22.5 µm
NP Column 1
AT applies to entire entry
AT Column 1
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS:
N/A
GBS:
N/A
CIV:
N/A
List of Items Controlled
Related Controls:
(1) See ECCN 2B002 for optical finishing machines. (2) See ECCNs 2D001 and 2D002 for software for items controlled under this entry. (3) See ECCNs 2E001 (“development”), 2E002 (“production”), and 2E201 (“use”) for technology for items controlled under this entry. (4) Also see ECCNs 2B201 and 2B991.
Related Definitions:
N/A
Items:
Note 1:
2B001 does not control special purpose machine tools limited to the manufacture of gears. For such machines, see 2B003.
Note 2:
2B001 does not control special purpose machine tools limited to the manufacture of any of the following:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
d. Engraved or faceted jewelry parts; or
e. Dental prostheses.
Note 3:
A machine tool having at least two of the three turning, milling or grinding capabilities (e.g., a turning machine with milling capability), must be evaluated against each applicable entry 2B001.a., b. or c.
a. Machine tools for turning having two or more axes which can be coordinated simultaneously for “contouring control” having any of the following:
a.1. “Unidirectional positioning repeatability” equal to or less (better) than 0.9 µm along one or more linear axis with a travel length less than 1.0 m;
or
a.2. “Unidirectional positioning repeatability” equal to or less (better) than 1.1 µm along one or more linear axis with a travel length equal to or greater than 1.0 m;
Note 1:
2B001.a does not control turning machines “specially designed” for producing contact lenses, having all of the following:
a. Machine controller limited to using ophthalmic based “software” for part programming data input; and
b. No vacuum chucking.
Note 2:
2B001.a does not apply to bar machines (Swissturn), limited to machining only bar feed thru, if maximum bar diameter is equal to or less than 42 mm and there is no capability of mounting chucks. Machines may have drilling and/or milling capabilities for machining parts with diameters less than 42 mm.
b. Machine tools for milling having any of the following:
b.1. Three linear axes plus one rotary axis which can be coordinated simultaneously for “contouring control” having any of the following:
b.1.a. “Unidirectional positioning repeatability” equal to or less (better) than 0.9 µm along one or more linear axis with a travel length less than 1.0 m;
or
b.1.b. “Unidirectional positioning repeatability” equal to or less (better) than 1.1 µm along one or more linear axis with a travel length equal to or greater than 1.0 m;
b.2. Five or more axes which can be coordinated simultaneously for “contouring control” having any of the following:
b.2.a. “Unidirectional positioning repeatability” equal to or less (better) than 0.9 µm along one or more linear axis with a travel length less than 1.0 m;
b.2.b. “Unidirectional positioning repeatability” equal to or less (better) than 1.4 µm along one or more linear axis with a travel length equal to or greater than 1 m and less than 4 m;
or
b.2.c. “Unidirectional positioning repeatability” equal to or less (better) than 6.0 µm along one or more linear axis with a travel length equal to or greater than 4 m;
b.3. A “unidirectional positioning repeatability” for jig boring machines,, equal to or less (better) than 1.1 µm along one or more linear axis;
or
b.4. Fly cutting machines having all of the following:
b.4.a. Spindle “run-out” and “camming” less (better) than 0.0004 mm TIR;
and
b.4.b. Angular deviation of slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over 300 mm of travel;
c. Machine tools for grinding having any of the following:
c.1. Having all of the following:
c.1.a. “Unidirectional positioning repeatability” equal to or less (better) than 1.1 µm along one or more linear axis;
and
c.1.b. Three or more axes which can be coordinated simultaneously for “contouring control”; or
c.2. Five or more axes which can be coordinated simultaneously for “contouring control” having any of the following:
c.2.a. “Unidirectional positioning repeatability” equal to or less (better) than 1.1 µm along one or more linear axis with a travel length less than 1m;
c.2.b. “Unidirectional positioning repeatability” equal to or less (better) than 1.4 µm along one or more linear axis with a travel length equal to or greater than 1 m and less than 4 m;
or
c.2.c. “Unidirectional positioning repeatability” equal to or less (better) than 6.0 µm along one or more linear axis with a travel length equal to or greater than 4 m.
Notes:
2B001.c does not control grinding machines as follows: a. Cylindrical external, internal, and external-internal grinding machines, having all of the following:
a.1. Limited to cylindrical grinding; and
a.2. Limited to a maximum workpiece capacity of 150 mm outside diameter or length.
b. Machines designed specifically as jig grinders that do not have a z-axis or a w-axis, with a “unidirectional positioning repeatability” less (better) than 1.1 µm.
c. Surface grinders.
d. Electrical discharge machines (EDM) of the non-wire type which have two or more rotary axes which can be coordinated simultaneously for “contouring control”;
e. Machine tools for removing metals, ceramics or “composites”, having all of the following:
e.1. Removing material by means of any of the following:
e.1.a. Water or other liquid jets, including those employing abrasive additives;
e.1.b. Electron beam; or
e.1.c. “Laser” beam; and
e.2. At least two rotary axes having all of the following:
e.2.a. Can be coordinated simultaneously for “contouring control”; and
e.2.b. A positioning “accuracy” of less (better) than 0.003°;
f. Deep-hole-drilling machines and turning machines modified for deep-hole-drilling, having a maximum depth-of-bore capability exceeding 5 m.
16. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 2, ECCN 2B005 is revised to read as follows:
2B005 Equipment “specially designed” for the deposition, processing and in-process control of inorganic overlays, coatings and surface modifications, as follows, for substrates specified in column 2, by processes shown in column 1 in the “Materials Processing Table; Deposition Techniques” following 2E003.f (see List of Items Controlled), and “specially designed” automated handling, positioning, manipulation and control “components” therefor.
License Requirements
Reason for Control:
NS, AT
Control(s)
Country chart
(See Supp. No. 1
to part 738)
NS applies to entire entry
NS Column 2
AT applies to entire entry
AT Column 1
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS:
$1000
GBS:
N/A
CIV:
N/A
List of Items Controlled
Related Controls:
(1) This entry does not control chemical vapor deposition, cathodic arc, sputter deposition, ion plating or ion implantation equipment, “specially designed” for cutting or machining tools. (2) Vapor deposition equipment for the production of filamentary materials are controlled by 1B001 or 1B101. (3) Chemical Vapor Deposition furnaces designed or modified for densification of carbon-carbon composites are controlled by
2B105.
(4)
See also 2B999.i.
Related Definitions:
N/A
Items:
a. Chemical vapor deposition (CVD)“production equipment”having all of the following:
a.1. A process modified for one of the following:
a.1.a. Pulsating CVD;
a.1.b. Controlled nucleation thermal deposition (CNTD); or
a.1.c. Plasma enhanced or plasma assisted CVD; and
a.2. Having any of the following:
a.2.a. Incorporating high vacuum (equal to or less than 0.01 Pa) rotating seals; or
a.2.b. Incorporating in situ coating thickness control;
b. Ion implantation “production equipment” having beam currents of 5 mA or more;
c. Electron beam physical vapor deposition (EB-PVD) “production equipment” incorporating power systems rated for over 80 kW and having any of the following:
c.1. A liquid pool level “laser” control system which regulates precisely the ingots feed rate;
or
c.2. A computer controlled rate monitor operating on the principle of photo-luminescence of the ionized atoms in the evaporant stream to control the deposition rate of a coating containing two or more elements;
d. Plasma spraying “production equipment” having any of the following:
d.1. Operating at reduced pressure controlled atmosphere (equal or less than 10 kPa measured above and within 300 mm of the gun nozzle exit) in a vacuum chamber capable of evacuation down to 0.01 Pa prior to the spraying process;
or
d.2. Incorporating in situ coating thickness control;
e. Sputter deposition “production equipment” capable of current densities of 0.1 mA/mm
2
or higher at a deposition rate 15 µm/h or more;
f. Cathodic arc deposition “production equipment” incorporating a grid of electromagnets for steering control of the arc spot on the cathode;
g. Ion plating “production equipment” capable of
in situ
measurement of any of the following:
g.1. Coating thickness on the substrate and rate control;
or
g.2. Optical characteristics.
17. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 2, ECCN 2B991 is revised to read as follows:
2B991 Numerical control units for machine tools and “numerically controlled” machine tools, n.e.s. (see List of Items Controlled).
License Requirements
Reason for Control:
AT
Control(s)
Country chart
(See Supp. No. 1
to part 738)
AT applies to entire entry
AT Column 1
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS:
N/A
GBS:
N/A
CIV:
N/A
List of Items Controlled
Related Controls:
See also ECCNs 2B001 and 2B201.
Related Definitions:
N/A
Items:
a. “Numerical control” units for machine tools:
a.1. Having four interpolating axes that can be coordinated simultaneously for “contouring control;” or
a.2. Having two or more axes that can be coordinated simultaneously for “contouring control” and a minimum programmable increment better (less) than 0.001 mm;
a.3. “Numerical control” units for machine tools having two, three or four interpolating axes that can be coordinated simultaneously for “contouring control,” and capable of receiving directly (on-line) and processing computer-aided-design (CAD) data for internal preparation of machine instructions;
or
b. “Motion control boards” “specially designed” for machine tools and having any of the following characteristics:
b.1. Interpolation in more than four axes;
b.2. Capable of “real-time processing” of data to modify tool path, feed rate and spindle data, during the machining operation, by any of the following:
b.2.a. Automatic calculation and modification of part program data for machining in two or more axes by means of measuring cycles and access to source data;
or
b.2.b. “Adaptive control” with more than one physical variable measured and processed by means of a computing model (strategy) to change one or more machining instructions to optimize the process.
b.3. Capable of receiving and processing CAD data for internal preparation of machine instructions;
or
c. “Numerically controlled” machine tools that, according to the manufacturer's technical specifications, can be equipped with electronic devices for simultaneous “contouring control” in two or more axes and that have both of the following characteristics:
c.1. Two or more axes that can be coordinated simultaneously for contouring control;
and
c.2. Positioning accuracies according to ISO 230/2 (2006), with all compensations available:
c.2.a. Better than 15 µm along any linear axis (overall positioning) for grinding machines;
c.2.b. Better than 15 µm along any linear axis (overall positioning) for milling machines;
or
c.2.c. Better than 15 µm along any linear axis (overall positioning) for turning machines;
or
d. Machine tools, as follows, for removing or cutting metals, ceramics or composites, that, according to the manufacturer's technical specifications, can be equipped with electronic devices for simultaneous “contouring control” in two or more axes:
d.1. Machine tools for turning, grinding, milling or any combination thereof, having two or more axes that can be coordinated simultaneously for “contouring control” and having any of the following characteristics:
d.1.a. One or more contouring “tilting spindles;”
Note:
2B991.d.1.a. applies to machine tools for grinding or milling only.
d.1.b. “Camming” (axial displacement) in one revolution of the spindle less (better) than 0.0006 mm total indicator reading (TIR);
Note:
2B991.d.1.b. applies to machine tools for turning only.
d.1.c. “Run out” (out-of-true running) in one revolution of the spindle less (better) than 0.0006 mm total indicator reading (TIR);
d.1.d. The “positioning accuracies”, with all compensations available, are less (better) than: 0.001° on any rotary axis;
d.2. Electrical discharge machines (EDM) of the wire feed type that have five or more axes that can be coordinated simultaneously for “contouring control.”
18. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 2, ECCN 2D992 is revised to read as follows:
2D992 Specific “software”, as follows (see List of Items Controlled).
License Requirements
Reason for Control:
AT
Control(s)
Country chart
(See Supp. No. 1
to part 738)
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
List of Items Controlled
Related Controls:
N/A
Related Definitions:
N/A
Items:
a. “Software” to provide “adaptive control” and having both of the following characteristics:
a.1. For “flexible manufacturing units” (FMUs) which consist at least of equipment described in b.1 and b.2 of the definition of “flexible manufacturing unit” contained in part 772 of the EAR;
and
a.2. Capable of generating or modifying, in “real-time processing”, programs or data by using the signals obtained simultaneously by means of at least two detection techniques, such as:
a.2.a. Machine vision (optical ranging);
a.2.b. Infrared imaging;
a.2.c. Acoustical imaging (acoustical ranging);
a.2.d. Tactile measurement;
a.2.e. Inertial positioning;
a.2.f. Force measurement;
and
a.2.g. Torque measurement.
Note:
2D992.a does not control “software” which only provides rescheduling of functionally identical equipment within “flexible manufacturing units” using pre-stored part programs and a pre-stored strategy for the distribution of the part programs.
b. Reserved.
19. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 2, ECCN 2E003 is revised to read as follows:
2E003 Other “technology”, as follows (see List of Items Controlled).
License Requirements
Reason for Control:
NS, AT
Control(s)
Country chart
(See Supp. No. 1
to part 738)
NS applies to entire entry
NS Column 1
AT applies to entire entry
AT Column 1
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
CIV:
N/A
TSR:
Yes, except 2E003.a, .b, .e and .f
List of Items Controlled
Related Controls:
See 2E001, 2E002, and 2E101 for “development” and “use” technology for equipment that are designed or modified for densification of carbon-carbon composites, structural composite rocket nozzles and reentry vehicle nose tips.
Related Definitions:
N/A
Items:
a. “Technology” for the “development” of interactive graphics as an integrated part in “numerical control” units for preparation or modification of part programs;
b. “Technology” for metal-working manufacturing processes, as follows:
b.1. “Technology” for the design of tools, dies or fixtures “specially designed” for any of the following processes:
b.1.a. “Superplastic forming”;
b.1.b. “Diffusion bonding”;
or
b.1.c. “Direct-acting hydraulic pressing”;
b.2. Technical data consisting of process methods or parameters as listed below used to control:
b.2.a. “Superplastic forming” of aluminum alloys, titanium alloys or “superalloys”:
b.2.a.1. Surface preparation;
b.2.a.2. Strain rate;
b.2.a.3. Temperature;
b.2.a.4. Pressure;
b.2.b. “Diffusion bonding” of “superalloys” or titanium alloys:
b.2.b.1. Surface preparation;
b.2.b.2. Temperature;
b.2.b.3. Pressure;
b.2.c. “Direct-acting hydraulic pressing” of aluminum alloys or titanium alloys:
b.2.c.1. Pressure;
b.2.c.2. Cycle time;
b.2.d. “Hot isostatic densification” of titanium alloys, aluminum alloys or “superalloys”:
b.2.d.1. Temperature;
b.2.d.2. Pressure;
b.2.d.3. Cycle time;
c. “Technology” for the “development” or “production” of hydraulic stretch-forming machines and dies therefor, for the manufacture of airframe structures;
d. “Technology” for the “development” of generators of machine tool instructions (
e.g.,
part programs) from design data residing inside “numerical control” units;
e. “Technology for the development” of integration “software” for incorporation of expert systems for advanced decision support of shop floor operations into “numerical control” units;
f. “Technology” for the application of inorganic overlay coatings or inorganic surface modification coatings (specified in column 3 of the following table) to non-electronic substrates (specified in column 2 of the following table), by processes specified in column 1 of the following table and defined in the Technical Note.
N.B. This table should be read to control the technology of a particular `Coating Process' only when the resultant coating in column 3 is in a paragraph directly across from the relevant `Substrate' under column 2. For example, Chemical Vapor Deposition (CVD) `coating process' control the “technology” for a particular application of `silicides' to `Carbon-carbon, Ceramic and Metal “matrix” “composites” substrates, but are not controlled for the application of `silicides' to `Cemented tungsten carbide (16), Silicon carbide (18)' substrates. In the second case, the resultant coating is not listed in the paragraph under column 3 directly across from the paragraph under column 2 listing `Cemented tungsten carbide (16), Silicon carbide (18)'.
20. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 2, Category 2E—Materials Processing Table; the Notes to Table on Deposition Techniques and the Accompanying Technical Information to Table on Deposition Techniques are revised to read as follows:
Category 2E—Materials Processing Table; Deposition Techniques
Notes to Table on Deposition Techniques
1. The term `coating process' includes coating repair and refurbishing as well as original coating.
2. The term `alloyed aluminide coating' includes single or multiple-step coatings in which an element or elements are deposited prior to or during application of the aluminide coating, even if these elements are deposited by another coating process. It does not, however, include the multiple use of single-step pack cementation processes to achieve alloyed aluminides.
3. The term `noble metal modified aluminide' coating includes multiple-step coatings in which the noble metal or noble metals are laid down by some other coating process prior to application of the aluminide coating.
4. The term `mixtures thereof' includes infiltrated material, graded compositions, co-deposits and multilayer deposits and are obtained by one or more of the coating processes specified in the Table.
5. MCrAlX refers to a coating alloy where M equals cobalt, iron, nickel or combinations thereof and X equals hafnium, yttrium, silicon, tantalum in any amount or other intentional additions over 0.01% by weight in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22% by weight of chromium, less than 7% by weight of aluminum and less than 2% by weight of yttrium;
b. CoCrAlY coatings which contain 22 to 24% by weight of chromium, 10 to 12% by weight of aluminum and 0.5 to 0.7% by weight of yttrium; or
c. NiCrAlY coatings which contain 21 to 23% by weight of chromium, 10 to 12% by weight of aluminum and 0.9 to 1.1% by weight of yttrium.
6. The term `aluminum alloys' refers to alloys having an ultimate tensile strength of 190 MPa or more measured at 293 K (20 °C).
7. The term `corrosion resistant steel' refers to AISI (American Iron and Steel Institute) 300 series or equivalent national standard steels.
8. `Refractory metals and alloys' include the following metals and their alloys: niobium (columbium), molybdenum, tungsten and tantalum.
9. `Sensor window materials', as follows: alumina, silicon, germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond, gallium phosphide, sapphire and the following metal halides: sensor window materials of more than 40 mm diameter for zirconium fluoride and hafnium fluoride.
10. Category 2 does not include “technology” for single-step pack cementation of solid airfoils.
11. `Polymers', as follows: Polyimide, polyester, polysulfide, polycarbonates and polyurethanes.
12. `Modified zirconia' refers to additions of other metal oxides, (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) to zirconia in order to stabilize certain crystallographic phases and phase compositions. Thermal barrier coatings made of zirconia, modified with calcia or magnesia by mixing or fusion, are not controlled.
13. `Titanium alloys' refers only to aerospace alloys having an ultimate tensile strength of 900 MPa or more measured at 293 K (20 °C).
14. `Low-expansion glasses' refers to glasses which have a coefficient of thermal expansion of 1 × 10
−7
K
−1
or less measured at 293 K (20 °C).
15. `Dielectric layers' are coatings constructed of multi-layers of insulator materials in which the interference properties of a design composed of materials of various refractive indices are used to reflect, transmit or absorb various wavelength bands. Dielectric layers refers to more than four dielectric layers or dielectric/metal “composite” layers.
16. `Cemented tungsten carbide' does not include cutting and forming tool materials consisting of tungsten carbide/(cobalt, nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-chromium and chromium carbide/nickel.
17. “Technology” for depositing diamond-like carbon on any of the following is not controlled: magnetic disk drives and heads, equipment for the manufacture of disposables, valves for faucets, acoustic diaphragms for speakers, engine parts for automobiles, cutting tools, punching-pressing dies, office automation equipment, microphones, medical devices or molds, for casting or molding of plastics, manufactured from alloys containing less than 5% beryllium.
18. `Silicon carbide' does not include cutting and forming tool materials.
19. Ceramic substrates, as used in this entry, does not include ceramic materials containing 5% by weight, or greater, clay or cement content, either as separate constituents or in combination.
Technical Note to Table on Deposition Techniques:
Processes specified in Column 1 of the Table are defined as follows:
a. Chemical Vapor Deposition (CVD) is an overlay coating or surface modification coating process wherein a metal, alloy, “composite”, dielectric or ceramic is deposited upon a heated substrate. Gaseous reactants are decomposed or combined in the vicinity of a substrate resulting in the deposition of the desired elemental, alloy or compound material on the substrate. Energy for this decomposition or chemical reaction process may be provided by the heat of the substrate, a glow discharge plasma, or “laser” irradiation.
Note 1:
CVD includes the following processes: directed gas flow out-of-pack deposition, pulsating CVD, controlled nucleation thermal decomposition (CNTD), plasma enhanced or plasma assisted CVD processes.
Note 2:
Pack denotes a substrate immersed in a powder mixture.
Note 3:
The gaseous reactants used in the out-of-pack process are produced using the same basic reactions and parameters as the pack cementation process, except that the substrate to be coated is not in contact with the powder mixture.
b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an overlay coating process conducted in a vacuum with a pressure less than 0.1 Pa wherein a source of thermal energy is used to vaporize the coating material. This process results in the condensation, or deposition, of the evaporated species onto appropriately positioned substrates. The addition of gases to the vacuum chamber during the coating process to synthesize compound coatings is an ordinary modification of the process. The use of ion or electron beams, or plasma, to activate or assist the coating's deposition is also a common modification in this technique. The use of monitors to provide in-process measurement of optical characteristics and thickness of coatings can be a feature of these processes. Specific TE-PVD processes are as follows:
1. Electron Beam PVD uses an electron beam to heat and evaporate the material which forms the coating;
2. Ion Assisted Resistive Heating PVD employs electrically resistive heating sources in combination with impinging ion beam(s) to produce a controlled and uniform flux of evaporated coating species;
3. “Laser” Vaporization uses either pulsed or continuous wave “laser” beams to vaporize the material which forms the coating;
4. Cathodic Arc Deposition employs a consumable cathode of the material which forms the coating and has an arc discharge established on the surface by a momentary contact of a ground trigger. Controlled motion of arcing erodes the cathode surface creating a highly ionized plasma. The anode can be either a cone attached to the periphery of the cathode, through an insulator, or the chamber. Substrate biasing is used for non line-of-sight deposition.
Note:
This definition does not include random cathodic arc deposition with non-biased substrates.
5. Ion Plating is a special modification of a general TE-PVD process in which a plasma or an ion source is used to ionize the species to be deposited, and a negative bias is applied to the substrate in order to facilitate the extraction of the species from the plasma. The introduction of reactive species, evaporation of solids within the process chamber, and the use of monitors to provide in-process measurement of optical characteristics and thicknesses of coatings are ordinary modifications of the process.
c. Pack Cementation is a surface modification coating or overlay coating process wherein a substrate is immersed in a powder mixture (a pack), that consists of:
1. The metallic powders that are to be deposited (usually aluminum, chromium, silicon or combinations thereof);
2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina.
Note:
The substrate and powder mixture is contained within a retort which is heated to between 1,030 K (757 °C) to 1,375 K (1,102 °C) for sufficient time to deposit the coating.
d. Plasma Spraying is an overlay coating process wherein a gun (spray torch) which produces and controls a plasma accepts powder or wire coating materials, melts them and propels them towards a substrate, whereon an integrally bonded coating is formed. Plasma spraying constitutes either low pressure plasma spraying or high velocity plasma spraying.
Note 1:
Low pressure means less than ambient atmospheric pressure.
Note 2:
High velocity refers to nozzle-exit gas velocity exceeding 750 m/s calculated at 293 K (20 °C) at 0.1 MPa.
e. Slurry Deposition is a surface modification coating or overlay coating process wherein a metallic or ceramic powder with an organic binder is suspended in a liquid and is applied to a substrate by either spraying, dipping or painting, subsequent air or oven drying, and heat treatment to obtain the desired coating.
f. Sputter Deposition is an overlay coating process based on a momentum transfer phenomenon, wherein positive ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on an appropriately positioned substrate.
Note 1:
The Table refers only to triode, magnetron or reactive sputter deposition which is used to increase adhesion of the coating and rate of deposition and to radio frequency (RF) augmented sputter deposition used to permit vaporization of non-metallic coating materials.
Note 2:
Low-energy ion beams (less than 5 keV) can be used to activate the deposition.
g. Ion Implantation is a surface modification coating process in which the element to be alloyed is ionized, accelerated through a potential gradient and implanted into the surface region of the substrate. This includes processes in which ion implantation is performed simultaneously with electron beam physical vapor deposition or sputter deposition.
Accompanying Technical Information to Table on Deposition Techniques:
1. Technical information for pretreatments of the substrates listed in the Table, as follows:
a. Chemical stripping and cleaning bath cycle parameters, as follows:
1. Bath composition;
a. For the removal of old or defective coatings corrosion product or foreign deposits;
b. For preparation of virgin substrates;
2. Time in bath;
3. Temperature of bath;
4. Number and sequences of wash cycles;
b. Visual and macroscopic criteria for acceptance of the cleaned part;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Temperature for heat treatment;
3. Time of heat treatment;
d. Substrate surface preparation parameters, as follows:
1. Grit blasting parameters, as follows:
a. Grit composition;
b. Grit size and shape;
c. Grit velocity;
2. Time and sequence of cleaning cycle after grit blast;
3. Surface finish parameters;
4. Application of binders to promote adhesion;
e. Masking technique parameters, as follows:
1. Material of mask;
2. Location of mask;
2. Technical information for in situ quality assurance techniques for evaluation of the coating processes listed in the Table, as follows:
a. Atmosphere parameters, as follows:
1. Composition of the atmosphere;
2. Pressure of the atmosphere;
b. Time parameters;
c. Temperature parameters;
d. Thickness parameters;
e. Index of refraction parameters;
f. Control of composition;
3. Technical information for post deposition treatments of the coated substrates listed in the Table, as follows:
a. Shot peening parameters, as follows:
1. Shot composition;
2. Shot size;
3. Shot velocity;
b. Post shot peening cleaning parameters;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Time-temperature cycles;
d. Post heat treatment visual and macroscopic criteria for acceptance of the coated substrates;
4. Technical information for quality assurance techniques for the evaluation of the coated substrates listed in the Table, as follows:
a. Statistical sampling criteria;
b. Microscopic criteria for:
1. Magnification;
2. Coating thickness, uniformity;
3. Coating integrity;
4. Coating composition;
5. Coating and substrates bonding;
6. Microstructural uniformity.
c. Criteria for optical properties assessment (measured as a function of wavelength):
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. Technical information and parameters related to specific coating and surface modification processes listed in the Table, as follows:
a. For Chemical Vapor Deposition (CVD):
1. Coating source composition and formulation;
2. Carrier gas composition;
3. Substrate temperature;
4. Time-temperature-pressure cycles;
5. Gas control and part manipulation;
b. For Thermal Evaporation-Physical Vapor Deposition (PVD):
1. Ingot or coating material source composition;
2. Substrate temperature;
3. Reactive gas composition;
4. Ingot feed rate or material vaporization rate;
5. Time-temperature-pressure cycles;
6. Beam and part manipulation;
7. “Laser” parameters, as follows:
a. Wave length;
b. Power density;
c. Pulse length;
d. Repetition ratio;
e. Source;
c. For Pack Cementation:
1. Pack composition and formulation;
2. Carrier gas composition;
3. Time-temperature-pressure cycles;
d. For Plasma Spraying:
1. Powder composition, preparation and size distributions;
2. Feed gas composition and parameters;
3. Substrate temperature;
4. Gun power parameters;
5. Spray distance;
6. Spray angle;
7. Cover gas composition, pressure and flow rates;
8. Gun control and part manipulation;
e. For Sputter Deposition:
1. Target composition and fabrication;
2. Geometrical positioning of part and target;
3. Reactive gas composition;
4. Electrical bias;
5. Time-temperature-pressure cycles;
6. Triode power;
7. Part manipulation;
f. For Ion Implantation:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate parameters;
4. Time-temperature-pressure cycles.
g. For Ion Plating:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate parameters;
4. Time-temperature-pressure cycles;
5. Coating material feed rate and vaporization rate;
6. Substrate temperature;
7. Substrate bias parameters.
21. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3, Product Group A, the Notes and Nota Bene at the beginning of Product Group A are revised to read as follows:
Category 3—Electronics
A. “End Items”, “Equipment”, “Accessories”, “Attachments”, “Parts”, “Components” and “Systems”
Note 1:
The control status of equipment and components described in 3A001 or 3A002, other than those described in 3A001.a.3 to 3A001.a.10, 3A001.a.12 or 3A001.a.14, which are “specially designed” for or which have the same functional characteristics as other equipment is determined by the control status of the other equipment.
Note 2:
The control status of integrated circuits described in 3A001.a.3 to 3A001.a.9, 3A001.a.12 or 3A001.a.14 that are unalterably programmed or designed for a specific function for other equipment is determined by the control status of the other equipment.
N.B.: When the manufacturer or applicant cannot determine the control status of the other equipment, the control status of the integrated circuits is determined in 3A001.a.3 to 3A001.a.9, 3A001.a.12 and 3A001.a.14.
22. In Supplement No. 1 to part 774 (the Commerce Control List), Category 3, ECCN 3A001 is revised to read as follows:
3A001 Electronic items as follows (see List of Items Controlled).
License Requirements
Reason for Control:
NS, RS, MT, NP, AT
Control(s)
Country chart
(see Supp. No. 1 to part 738)
NS applies to “Monolithic Microwave 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 Column 1
NS applies to entire entry
NS Column 2
RS applies “Monolithic Microwave 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
RS Column 1
MT applies to 3A001.a.1.a when usable in “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 °C to above +125 °C MT Column 1
MT applies to 3A001.a.1.a when usable in “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 °C to above +125 °C MT Column 1
NP applies to pulse discharge capacitors in in 3A001.e.2 and superconducting solenoidal electromagnets in 3A001.e.3 that meet or exceed the technical parameters in 3A201.a and 3A201.b, respectively NP Column 1
NP applies to pulse discharge capacitors in in 3A001.e.2 and superconducting solenoidal electromagnets in 3A001.e.3 that meet or exceed the technical parameters in 3A201.a and 3A201.b, respectively NP Column 1
AT applies to entire entry AT Column 1
AT applies to entire entry AT Column 1
License Requirements Note:
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
Reporting Requirements
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations
List Based License Exceptions (See Part 740 for a Description of All License Exceptions)
LVS:
N/A for 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, and .h.
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 × 10
3
Gy(Si) = 5 × 10
5
Rads (Si); 5 × 10
6
Gy (Si)/s = 5 × 10
8
Rads (Si)/s. Spacecraft/satellite: Solar concentrators, power conditioners and or controllers, bearing and power transfer assembly, and or deployment hardware/systems are controlled under the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121).
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”).
a.1. Integrated circuits designed or rated as radiation hardened to withstand any of the following:
a.1.a. A total dose of 5 × 10
3
Gy (Si), or higher;
a.1.b. A dose rate upset of 5 × 10
6
Gy (Si)/s, or higher;
or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 10
13
n/cm
2
or higher on silicon, or its equivalent for other materials;
Note:
3A001.a.1.c does not apply to Metal Insulator Semiconductors (MIS).
a.2. “Microprocessor microcircuits,” “microcomputer microcircuits,” microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analog-to-digital converters, integrated circuits that contain analog-to-digital converters and store or process the digitized data, digital-to-analog converters, electro-optical or “optical integrated circuits” designed for “signal processing,” field programmable logic devices, custom integrated circuits for which either the function is unknown or the control status of the equipment in which the integrated circuit will be used in unknown, Fast Fourier Transform (FFT) processors, Electrical Erasable Programmable Read-Only Memories (EEPROMs), flash memories, Static Random-Access Memories (SRAMs), or Magnetic Random Access Memories (MRAMs), having any of the following:
a.2.a. Rated for operation at an ambient temperature above 398 K (125 °C);
a.2.b. Rated for operation at an ambient temperature below 218 K (−55 °C);
or
a.2.c. Rated for operation over the entire ambient temperature range from 218 K (−55 °C) to 398 K (125 °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 an output rate greater than 1.3 Giga Samples Per Second (GSPS);
a.5.a.2. A resolution of 10 bit or more, but less than 12 bit, with an output rate greater than 600 Mega Samples Per Second (MSPS);
a.5.a.3. A resolution of 12 bit or more, but less than 14 bit, with an output rate greater than 400 Mega Samples Per Second (MSPS);
a.5.a.4. A resolution of 14 bit or more, but less than 16 bit, with an output rate greater than 250 Mega Samples Per Second (MSPS);
or
a.5.a.5. A resolution of 16 bit or more with an output rate greater than 65 Mega Samples Per Second (MSPS);
N.B.: For integrated circuits that contain analog-to-digital converters and store or process the digitized data see 3A001.a.14.
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2
n
levels.
2. The number of bits in the output word is equal to the resolution of the ADC.
3. The output rate is the maximum output rate of the converter, regardless of architecture or oversampling.
4. For `multiple channel ADCs', the outputs are not aggregated and the output rate is the maximum output rate of any single channel.
5. For `interleaved ADCs' or for `multiple channel ADCs' that are specified to have an interleaved mode of operation, the outputs are aggregated and the output rate is the maximum combined total output rate of all of the outputs.
6. Vendors may also refer to the output rate as sampling rate, conversion rate or throughput rate. It is often specified in megahertz (MHz), mega words per second or Mega Samples Per Second (MSPS).
7. For the purpose of measuring output rate, one sample per second is equivalent to one Hertz or one output word per second.
8. `Multiple channel ADCs' are defined as devices which integrate more than one ADC, designed so that each ADC has a separate analog input.
9. `Interleaved ADCs' are defined as devices which have multiple ADC units that sample the same analog input at different times such that when the outputs are aggregated, the analog input has been effectively sampled and converted at a higher sampling rate.
a.5.b. Digital-to-Analog Converters (DAC) having any of the following:
a.5.b.1. A resolution of 10 bit or more 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 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:
—Simple Programmable Logic Devices (SPLDs)
—Complex Programmable Logic Devices (CPLDs)
—Field Programmable Gate Arrays (FPGAs)
—Field Programmable Logic Arrays (FPLAs)
—Field Programmable Interconnects (FPICs)
N.B.: For integrated circuits having field programmable logic devices that are combined with an analog-to-digital converter, see 3A001.a.14.
Technical Notes:
1. Maximum number of digital input/outputs in 3A001.a.7.a is also referred to as maximum user input/outputs or maximum available input/outputs, whether the integrated circuit is packaged or bare die.
2. ‘Aggregate one-way peak serial transceiver data rate’ is the product of the peak serial one-way transceiver data rate times the number of transceivers on the FPGA.
a.8. [Reserved]
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following:
a.10.a. More than 1,500 terminals;
a.10.b. A typical “basic gate propagation delay time” of less than 0.02 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in 3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input gates);
or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated execution time for an N-point complex FFT of less than (N log
2
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 µs.
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;
Techn
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