Wassenaar Arrangement 2017 Plenary Agreements Implementation

Federal RegisterOct 24, 2018

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 740, 742, 744, 772, and 774

[Docket No. 170831854-7854-01]

RIN 0694-AH44

Wassenaar Arrangement 2017 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 2017 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 2017 Plenary meeting by revising Export Control Classification Numbers (ECCNs) controlled for national security reasons in each category of the CCL. This rule also makes other associated changes to the EAR and makes a correction.

DATES:

This rule is effective October 24, 2018.

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: Joseph Giunta at 202-482-3127.

Category 3: Brian Baker at 202-482-5534.

Categories 4 & 5: Aaron Amundson or Anita Zinzuvadia 202-482-0707.

Category 6 (optics): Chris Costanzo at 202-482-5299.

Category 6 (lasers and radar): Michael Rithmire 202-482-6105.

Category 6 (sensors and cameras): John Varesi 202-482-1114.

Categories 7 & 9: Michael Rithmire 202-482-6105 or Michael Tu 202-482-6462.

Category 9x515 (Satellites): Michael Tu 202-482-6462.

Category “600 Series” (Munitions Items): Christopher Williams at 202-482-6023 or Heather Moore at 202-482-4786.

SUPPLEMENTARY INFORMATION:

Background

The Wassenaar Arrangement (Wassenaar or WA) (

http://www.wassenaar.org/

) on Export Controls for Conventional Arms and Dual-Use Goods and Technologies is a group of 42 like-minded states committed to promoting responsibility and transparency in the global arms trade, and preventing destabilizing accumulations of arms. As a Participating State, the United States has committed to controlling for export all items on the WA control lists. The 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 2017 WA Plenary meeting, update the corresponding items listed in the EAR, and reflect the most recent changes in technologies and conditions. Unless explicitly discussed below, the revisions made by this rule will not impact the number of license applications submitted to BIS.

Revisions to the Commerce Control List Related to WA 2017 Plenary Agreements

Revises (50) ECCNs:

0A617, 0A919, 1A002, 1C001, 1C002, 1C007, 1C010, 1C608, 2A001, 2B001, 2B006, 2B007, 2B008, 2E003, 3A001, 3A002, 3B001, 3B002, 3C002, 3C005, 3C006, 3C992, 3E001, 4A003, 4A004, 4D001, 4E001, 5A001, 5A002, 5D002, 5E002, 6A002, 6A003, 6A004, 6A005, 6A008, 6A203, 6D003, 6D991, 6E001, 6E002, 6E201, 7A006, 7E004, 9A002, 9A004, 9D001, 9D002, 9D004, and 9E003.

License Exception eligibility additions:

3A001.i (GBS).

ECCN Removals:

6A990 and 6E990.

ECCN Correction:

3A991.

ECCN change to maintain NP controls:

2B206.

Category 0—Nuclear Materials, Facilities, and Equipment [and Miscellaneous Items]

0A617 Miscellaneous “Equipment”, Materials, and Related Commodities

ECCN 0A617, paragraph y.3, containers for shipping or packing defense articles or items controlled by “600 series” ECCNs, is amended by narrowing the scope to International Organization for Standardization (ISO) intermodal containers or demountable vehicle bodies (

i.e.,

swap bodies), but also expands the scope beyond “specially designed” by adding “or modified”. As the term `modified' is in single quotes, BIS is also adding the technical note that defines `modified,' which was already existing text in Wassenaar Arrangement Military List of 2017 (WAML 17).

0A919 “Military Commodities” Located and Produced Outside the United States

ECCN 0A919 is revised to remove reference to 6A990, because this rule removes 6A990 from the CCL and Read Out Integrated Circuits (ROICs) are now controlled under 6A002.f.

Category 1—Special Materials and Related Equipment, Chemicals, “Microorganisms”, and “Toxins”

1A002 “Composite” Structures or Laminates

The heading of ECCN 1A002 is amended by replacing “having any of the following” with “as follows”. An “as follows” phrase is usually followed by items, but in this case it is followed by parameters. The phrase “consisting of” is replaced by “made from” in both sub-paragraph .a and .b. Also, more descriptive text is added for clarity and the scope of the control is not changed. The superfluous word “purely” is removed from Note 2, which does not change the effect of the Note.

1C001 Materials “Specially Designed” for Use as Absorbing of Electromagnetic Radiation, or Intrinsically Conductive Polymers

The heading of ECCN 1C001 is amended by replacing “absorbers” with “absorbing” and replacing “waves” with “radiation”. Subparagraph .b is amended by moving the phrase “not transparent to visible light” to the beginning and adding more descriptive text “near-infrared radiation having a wavelength” to clarify the scope of the control. Also the parameters are changed from “1.5 × 10

Hz” to “810

nm” and “3.7 × 10

Hz” to “2,000 nm (frequencies exceeding 150 THz but less than 370 THz)”. The frequency band is changed to the equivalent wavelength band to make the parameter easier to understand and not to change the scope of control. Therefore, these revisions will not affect the number of license applications submitted to BIS.

1C002 Metal Alloys, Metal Alloy Powder and Alloyed Materials

Item paragraphs c.2 and d.3 are amended by replacing the double quotes with single quotes around the terms in c.2.a through c.2.h and d.3.a through d.3.c. Double quotes indicate the term is used multiple times in the Commerce Control List (CCL) or separated by a large amount of space within a single ECCN and the definition for the term is found in part 772. Single quotes indicate the term is used only in a single ECCN and the definition for the term is found within the ECCN where the term is used. These and many other terms in this rule were found to only be used in a single ECCN and should not be defined in part 772, but in the ECCN. The definitions for the terms, in c.2.a through c.2.h and d.3.a through d.3.c, are moved from part 772 to a new Technical Note after Items paragraph d.3.c. These amendments do not change the number of license applications submitted to BIS.

1C007 Ceramic Powders, Ceramic “Matrix” “Composite” Materials and “Precursor Materials”

In the Nota Bene (N.B.) to Item paragraphs c.2, .d and .f, the phrase “listed under” is replaced by “specified by” to be consistent with the terms used to reference new locations for controlled items. This does not change the number of license applications submitted to BIS.

1C010 “Fibrous or Filamentary Materials”

Item paragraphs d.2 and .e, and Note 1 below Item paragraph e.2.c are amended by replacing the double quotes with single quotes around defined terms, because the terms are only used in this ECCN. The definition for `commingled' is moved from part 772 to the Technical Note below Items paragraph d.2. The definition for `carbon fiber preforms' is moved from part 772 to the Technical Note at the end of the List of Items Controlled. These amendments do not change the number of license applications submitted to BIS.

1C608 “Energetic Materials” and Related Commodities

WA agreed to add a Note specifying that WAML 8.c.1 does not apply to aircraft fuels—JP-4, JP-5 and JP-8. This rule adds this Note below 1C608.n “Any explosives, `propellants,' oxidizers, “pyrotechnics”, fuels, binders, or additives . . .” as well as bringing forth another Note from WAML 8.c.1 that specifies that aircraft fuels specified by WAML 8.c.1 are finished products, not their constituents.

Category 2—Materials Processing

2A001 Anti-Friction Bearings and Bearing Systems

Note 2 at the beginning of the Items paragraph is amended by adding “(or national equivalents)”, in order to help efficiently classify bearings using national standards that are equivalent to ISO 3290 as grade 5.

2B001 Machine Tools

An editorial change is made to Note 2 to 2B001.a by replacing “and/or” with “or”. Items paragraph c.1.b is revised from specifying “three or more axes” to “three or four axes” to remove the overlap between c.2 “five or more axes” and c.1.b for machine tools for grinding. This will not affect license submissions to BIS.

2B006 Dimensional Inspection or Measuring Systems, Equipment, Position Feedback Units and “Electronic Assemblies”

The Heading is revised to add “position feedback units” and “electronic assemblies” to more accurately describe the scope of controls in Items paragraph .b. Angular displacement measuring systems formerly in 2B006.b.2 are moved to 2B006.c. Linear Variable Differential Transformer (LVDT) systems formerly in 2B006.b.1.b are moved to 2B206.d and no longer have a national security control. The License Requirements section is amended by revising the Nuclear Proliferation (NP) controls from “2B006.a and .b” to “2B006.a, .b.1, b.3, and .c (angular displacement measuring instruments)” to account for moving the LVDT systems to 2B206 and moving the angular displacement measuring instruments from 2B006.b.2 to .c. Item paragraphs 2B008.a (linear position feedback units) and .b.2 (rotary position feedback units) are moved to 2B006.b.2 and .c, respectively, so that all the measuring systems for machine tools are in one place. Equipment for measuring surface roughness is moved from Items paragraph 2B006.c to .d.

2B007 “Robots”

Item paragraph .a “[Robots] capable in real-time of full three-dimensional image processing or full three-dimensional “scene analysis” to generate or modify “programs” or to generate or modify numerical program data” is removed and reserved because of insufficient connection to military capabilities. Robots of national security concern are controlled under 2B007.b, .c and .d. This change will have a minimal effect on license application submissions to BIS.

2B008 “Compound Rotary Tables” and “Tilting Spindles”, “Specially Designed” for Machine Tools

The Heading is amended by replacing “assemblies or units” with ‘compound rotary tables’ and “tilting spindles”, as well as removing “or dimensional inspection or measuring systems and equipment” to align with revisions made to the List of Items Controlled in this ECCN. Item paragraphs .a (linear position feedback units) and .b (rotary position feedback units) are removed and reserved, because this rule moves these items to 2B006.b.2 and .c, respectively. Item paragraph .c is amended by replacing and cascading the parameter paragraphs, as well as moving the definition for ‘compound rotary table’ from part 772 to a Technical Note under this Item paragraph. “Tilting spindles” are moved from Item paragraph .c to new Item paragraph .d to separate it from the compound rotary table control. The parameters have been revised in both paragraphs .c and .d to remove ambiguity, which will not affect license application submissions.

2B206 Dimensional Inspection Machines, Instruments or Systems, Other Than Those Described in 2B006

2B206 is amended by adding Linear Variable Differential Transformer (LVDT) systems to Item paragraph .d, because this item is removed from 2B006.b.1.b. While LVDT systems are no longer controlled for national security reasons, they are still on the Nuclear Supplier's Group (NSG) list under 1.B.3.b.2 and remain controlled for nuclear nonproliferation reasons on the CCL.

2E003 Other “Technology”

Item paragraph .a (“technology” for the “development” of interactive graphics as an integrated part in “numerical control” units for preparation or modification of part programs) is removed and reserved because of the advancement of technology. Therefore, Item paragraph .a is removed from License Exception TSR.

The double quotes are replaced with single quotes around the term ‘direct-acting hydraulic pressing’ in Item paragraphs b.1.c and b.1.d and `hot isostatic densification’ in Item paragraph b.2.d. Additionally, the definition for these terms is moved from part 772 to the Technical Notes below Item paragraph b.2.d.3, because these terms are only used in this ECCN. Item paragraph .d (“technology” for the “development” of generators of machine tool instructions . . . from design data residing inside “numerical control” units) is removed and reserved because of the advancement of technology. When items are removed because of technological advancement, it does not affect the annual number of license application submissions to BIS.

Category 3—Electronics

Product Group A. “End Items”, “Equipment”, “Accessories”, “Attachments”, “Parts”, “Components”, and “Systems”

Note 1 at the beginning of Category 3 is amended by making an editorial correction by moving an “or” and adding “to” in order to correctly specify which ECCN 3A001 subparagraphs are excluded from the scope statement for Category 3.

Note 2 at the beginning of Category 3 is amended by making an editorial correction by moving an “or”, adding “to”, adding a comma and replacing “that” with “which”. These revisions are made to correctly specify which ECCN 3A001 subparagraphs are included in the scope statement for Category 3.

The Nota Bene after Note 2 is amended to make an editorial correction by moving an “and” and adding “to” in order to correctly specify the scope of this N.B.

3A001 Electronic Items

Item paragraph a.2 is amended by replacing “Electrical Erasable Programmable Read-Only Memories (EEPROMS), flash memories, and MRAMs” with ‘non-volatile memories’ and adding a Technical Note to define ‘non-volatile memories,’ to provide a more generic term for these types of memory integrated circuits.

Item paragraph a.5.a “ADCs” and the Technical Note below a.5.a are amended by replacing the term “output rate” with the “sample rate” as measured points at the input, except for oversampling (defined as output sample rate), and the Technical Note identifies common ways manufacturers specify ‘sample rate.’ The definition for “sample rate” is added to part 772 “Definition of Terms. . . .” Also the superfluous term “Mega Samples Per Second”, is removed from several subparagraphs in a.5.a, but leaves its acronym “MSPS”. The Technical Notes below Items paragraph a.5.a are amended by adding an explanation for the resolution of the ADC, removing the explanation for output rate, replacing single quotes with double quotes around the term “interleaved ADCs” and “multiple channel ADCs”, and removing Technical Notes 6 through 9. The definitions for the terms “interleaved ADCs” and “multiple channel ADCs” are added to part 772 “Definition of terms. . . .”. These revisions will not change the number of submissions of license applications.

Item paragraph a.5.b.2.a, “settling time” parameter, is amended by adding “arrive at or within” to clarify the potentially ambiguous parameter with common usage and understanding of DAC specifications, so that it will not be misinterpreted to mean the time to deviate by the specific amount from the original level.

The inclusion Note to 3A001.a.7 is amended by removing “Simple Programmable Logic Devices (SPLDs)” because of technological advancements, which will not affect the number of license application submissions.

Item paragraph a.14 is amended by replacing “Integrated circuits that perform all of the following:” with “Integrated circuits that perform or are programmed to perform all of the following:”. The term “input sample rate” is replaced with “sample rate” that is defined in part 772. The superfluous “Giga Samples Per Second” is removed, but the acronym GSPS remains, as “Mega Samples Per Second” is removed and MSPS remains. Technical Notes are added below Items paragraph a.14.b.2 to provide more explanation of the parameters in Item paragraph .a, especially, resolution of ADC and the “sample rate” for integrated circuits with interleaving or non-interleaving “multiple channel ADCs”. These changes will have little effect on the number of licenses submitted to BIS.

Nota Bene 3 is added after Item paragraph b.4.f to reference 3A001.b.7 for converters and harmonic mixers, designed to extend the operating or frequency range of signal analyzers, signal generators, network analyzers or microwave test receivers.

In Item paragraph b.11 double quotes are replaced with single quotes around the term ‘frequency synthesizer’ and the definition is moved from part 772 to a Technical Note below Item paragraph b.11.g, because the term is only used in this ECCN.

The Technical Notes after Item paragraph b.12.d are amended by correcting the reference “3A001.b.4.12.c” to read “3A001.b.12.c” in Technical Note 5.

The parameters for ‘primary cells’ in Item paragraph e.1.a are amended by cascading the parameters and adding a ‘continuous power density’ parameter and the definition for it in Technical Note 5 below Item paragraph e.1.b, because military uses for these items have requirements in both energy and power density. This revision should lower the annual number of license applications submitted to BIS by 5.

Intensity, amplitude, or phase electro-optic modulators, designed for analog signals, including electro-optic modulators having optical input and output connectors are added to new paragraph 3A001.i to address photonic components for analog Radio Frequency (RF) over fiber antenna remoting, and analog RF distribution of signals. One of the parameters for these items is ‘half-wave voltage’ (‘Vπ’), which is defined in a Technical Note below the new paragraph. These items will be eligible for License Exception GBS; therefore, the GBS paragraph is revised to add Item paragraph .i. This new entry is estimated to add 10 new license application submissions to BIS annually.

3A991 Electronic Devices, and “Components” Not Controlled by 3A001

On September 20, 2016, BIS published a WA rule (81 FR 64682) that increased the energy density in 3A001.e.1.b from 300 to 350 Wh/kg, but did not make the corresponding change to ECCN 3A991.j.2, which left a gap in control. This rule corrects 3A991.j.2 by increasing the energy density from 300 to 350 Wh/kg or less in order to close a gap of control between 3A001.e.1.b and 3A991.j.2 for secondary cells.

3A002 General Purpose “Electronic Assemblies”, Modules and Equipment

The frequency parameter is raised from “exceeding 10 MHz” to “exceeding 40 MHz” for signal analyzers having a 3 dB resolution bandwidth (RBW) in Item paragraph c.1, which is estimated to reduce annual license application submissions to BIS by 5.

Double quotes are replaced with single quotes for the term ‘real-time bandwidth’ in Item paragraph c.4.a and for ‘frequency mask trigger’ in Item paragraph c.4.b.2, because these terms are only used in this ECCN. The definitions for these terms are moved from part 772 to the Technical Notes after Item paragraph c.4.b.2.

The scientific unit “billion samples per second” is replaced with “Giga Samples Per Second (GSPS)” in Item paragraph h.1.a. The scientific unit “billion samples per second” is replaced with the acronym GSPS in Item paragraphs h.1.b and h.1.c. The scientific unit “million samples per second” is replaced with “Mega Samples Per Second (MSPS)” in Item paragraph h.1.d. The scientific unit “million samples per second” is replaced with the acronym “MSPS” in Item paragraph h.1.e. These revisions are made for simplification purposes.

The Technical Note below Item paragraph h.2.c is replaced by the same Technical Notes that are added below 3A001.a.5.a, explaining resolution and “sample rate” for interleaved and non-interleaved multiple-channel “electronic assemblies”, modules, or equipment.

3B001 Equipment for the Manufacturing of Semiconductor Devices or Materials

Mask “substrate blanks” with multilayer reflector structure consisting of molybdenum and silicon being “specially designed” for ‘Extreme Ultraviolet (EUV)’ lithography and being compliant with SEMI Standard P37 are added to new paragraph 3B001.j, because mask “substrate blanks” and the subsequent substrate blank with multilayer reflector structure are critical materials for EUV lithography. This addition is estimated to increase annual license application submissions to BIS by 7. EUV lithography opens up integrated circuit fabrication at the most advanced state-of-the-art technology node. The definition for ‘Extreme Ultraviolet (EUV)’ is added to a Technical Note below Item paragraph j.2.

3B002 Test Equipment “Specially Designed” for Testing Finished or Unfinished Semiconductor Devices

Item paragraph .a is revised from “For testing S-parameters of transistor device at frequencies exceeding 31.8 GHz” to read “For testing S-parameters of items specified by 3A001.b.3” to remove potential overlapping controls for network analyzers (which measure S-parameters) described in 3A002.e, to harmonize the control text of equipment for testing S-parameters of transistors specified in paragraphs 3A001.b.3.a and 3A001.b.3.b (

i.e.,

transistors that are below 31.8 GHz), and to remove ambiguity regarding the meaning of the phrase “transistor devices” by substituting the unambiguous reference to transistors specified by 3A001.b.3.

3C002 Resist Materials

The wavelength for positive resists in Item paragraph a.1 is revised from “wavelengths less than 245 nm . . . .” to “wavelengths less than 193 nm . . . .” in order to match the material control with the lithography equipment parameters in 3B001.f.1.a, which is estimated to reduce by 3 the annual number of license application submissions to BIS.

3C005 High Resistivity Materials

The Heading of ECCN 3C005 is revised to move the items that were in the Heading to Items paragraph .a. Polycrystalline “substrates” or polycrystalline ceramic “substrates” are added to Item paragraph .b, because there are both military and commercial applications for microwave transistors fabricated on the engineered substrates. These newly added substrates will be controlled for NS:2 and AT:1 and have License Exception LVS ($3,000), GBS and CIV eligibility. It is anticipated that this new control will result in an increase of 15 new license application submissions to BIS annually.

3C006 Materials, Not Specified by 3C001, Consisting of a “Substrate” Specified in 3C005 With at Least One Epitaxial Layer of Silicon Carbide, Gallium Nitride, Aluminum Nitride or Aluminum Gallium Nitride

The Heading is amended by adding “Materials, not specified by 3C001, consisting of a” at the beginning of the Heading in order to clarify the scope of the control. The former language of 3C001, 3C005 and 3C006 has common elements that have led to some confusion around the control of silicon carbide wafers.

3C992 Positive Resists Designed for Semiconductor Lithography

The Heading of 3C992 is amended by replacing the wavelength range from “370 and 245 nm” to “370 and 193 nm.” This is to harmonize this ECCN with the amendment to ECCN 3C002.a.1.

3E001 “Technology”

License Exception CIV eligibility paragraph is corrected by removing the eligibility for 3B001.c, because that paragraph was removed and reserved on September 20, 2016 (81 FR 64658).

Note 2 is amended by harmonizing the scope of the paragraph to be “technology” for integrated circuits controlled by 3A001.a.3 to a.14.

Note 3 is added to exclude from 3E001 ‘Process Design Kits’ (‘PDKs’) unless they include libraries implementing functions or technologies for items specified by 3A001. A Technical Note is added below Note 3 to define `Process Design Kit' (`PDK'). PDKs do not provide knowledge about production tools. This will not result in a change to license application submissions, because no license submissions have been submitted to BIS for PDK under 3E001.

Category 4—Computers

In Note 2 at the top of Category 4, the double quotes are replaced with single quotes around the term ‘main storage’ because the term is only used in these Category 4 Notes. The definition is moved from part 772 to a Technical Note at the end of the Category 4 Notes section.

4A003 “Digital Computers”, “Electronic Assemblies”, and Related Equipment Therefor

The Adjusted Peak Performance (APP) is raised from “exceeding 16 WT” to “exceeding 29 WT” in Item paragraph .b and in accordance with this revision the APP is raised to 29 in the AT control text in the License Requirements table and in two places in the Note to the table. This change will not immediately affect the annual number of license application submissions to BIS because this is keeping up with technological advancement. However, absent additional increases next year, BIS estimates that this level would result in an increase of 600 license applications per year.

4A004 Computers

The double quotes are replaced with single quotes around the terms ‘systolic array computers,’ ‘neural computers’ and ‘optical computers,’ because these terms are only used in this ECCN. The definitions for these terms are moved from part 772 to Technical Notes at the end of the Items paragraph of 4A004.

4D001 “Software” & 4E001 “Technology”

The Adjusted Peak Performance (APP) is raised from 16 Weighted TeraFLOPs (WT) to 29 WT in License Exceptions TSR and STA in accordance with the new APP level in 4A003.b. The APP control level is raised from “exceeding 8 WT” to “exceeding 15 WT” in Item paragraph b.1. These revisions continue to address the need to track incremental (

e.g.,

“Moore's Law”) improvements in microprocessor technology. This change will not affect the annual number of license application submissions to BIS because this is keeping up with technological advancement.

Technical Note on “Adjusted Peak Performance” (“APP”)

In the Outline of “APP” calculation method, the Note to paragraph 1, an “and/or” is replaced with “or,” which does not change the meaning at all.

Category 5—Part 1—“Telecommunications”

5A001 Telecommunications Systems, Equipment, “Components” and “Accessories”

In the NS Column 1 paragraph of the License Requirements table, the order of the referenced Item paragraphs is corrected.

For telecommunications equipment specially designed to withstand transitory electronic effects or electromagnetic pulse effects, the temperature range parameters is changed from “to operate outside the temperature range from 218K (-55 °C) to 397 K (124 °C)” to “below 218K (-55°C)” in Item paragraph a.3 or “above 397 K (124 °C)” in new Item paragraph a.4, which does not change the scope of control, but seeks to make the text easier to understand. The Note to 5A001.a.3 is modified to add 5A001.a.4, so that it reads “5A001.a.3 and 5A001.a.4 apply only to electronic equipment”.

Double quotes are replaced by single quotes around the term ‘electronically steerable phased array antennae’ in Item paragraph .d. The word ‘antennas’ is replaced with ‘antennae’ in this paragraph and in Note 1 to this paragraph. The quotes are revised because the term is only used in this ECCN. The definition for the term is moved from part 772 to a Technical Note above Item paragraph .e. Because of technology advances, phased array antennae are increasingly being developed for civil telecommunications applications, including cellular, WLAN, 802.15, and wireless HDMI. Exclusion Note 2 is added in order to remove from control phased array antennae specially designed for those purposes.

Category 5—Part 2—“Information Security”

5A002 “Information Security” Systems, Equipment and “Components”

5A002 is amended to clarify controls on products with dormant encryption. These changes do not affect the scope of items controlled. Items paragraph .a is amended by replacing the phrase “where that cryptographic capability is usable without “cryptographic activation” or has been activated” with the phrase “where that cryptographic capability is usable, has been activated, or can be activated by means of “cryptographic activation” not employing a secure mechanism”. The revision clarified that an item is controlled if (1) the ‘cryptography for data confidentially’ is usable from the beginning regardless of “cryptographic activation” (

i.e.,

not dormant), (2) the cryptographic capability was previously dormant but is now usable (whether by “cryptographic activation” or by other means; or (3) the “cryptographic activation” mechanism is not secure (

i.e.,

the cryptographic capability is not securely kept dormant).

Items paragraph .b is amended by replacing “to enable” an item with “for converting” an item and replacing “to achieve or exceed the controlled performance levels for functionality specified by 5A002.a that would not otherwise be enabled” with “not specified by Category 5 —Part 2 into an item specified by 5A002.a or 5D002.c.1, and not released by the Cryptography Note (Note 3 in Category 5—Part 2), or for enabling, by means of “cryptographic activation”, additional functionality specified by 5A002.a of an item already specified by Category 5—Part 2”. This clarifies that a “cryptographic activation” mechanism is controlled by 5A002.b in two situations: (1) It converts an item classified outside of Category 5—Part 2 into a 5A002.a item (

e.g.,

by activating `cryptography for data confidentiality' capability in an item that was previously limited to performing “authentication,” or by activating encryption capability which disqualifies a product from the Cryptography Note exclusion (Note 3 in Category 5—Part 2)); or (2) it enables additional functionality specified in 5A002.a in an item that was already classified in Category 5—Part 2 (

e.g.,

making additional encryption algorithms usable by the item, or that would change the item from being eligible or described under § 740.17(b)(1) into an item described under § 740.17(b)(2) or (3)).

5D002 “Software” and 5E002 “Technology”

Item paragraph .b of ECCNs 5D002 and 5E002 is amended by replacing “enable” with “for converting” and replacing “to meet the criteria for functionality specified by 5A002.a, that would not otherwise be met” with “not specified by Category 5—Part 2 into an item specified by 5A002.a or 5D002.c.1, and not released by the Cryptography Note (Note 3 in Category 5—Part 2), or for enabling, by means of “cryptographic activation”, additional functionality specified by 5A002.a of an item already specified by Category 5—Part 2”. These revisions are made to create mirroring entries consistent with the changes being made to 5A002.b.

Category 6—Sensors and Lasers

6A002 Optical Sensors and Equipment, and “Components”

Item paragraph .f is added to establish a control for Read-Out Integrated Circuits (ROICs) to ensure that certain ROICs not controlled on the Munitions List, but that provide night vision capability, are controlled. In order to maintain consistent paragraph placement with the WA List this rule adds and reserves Items paragraph .e, so that ROICs can be added to Item paragraph .f. For consistency, Items paragraph .f is added to the Regional Stability controls (RS Column 1) in the License Requirements section, because 6A990, where ROICs were formerly controlled, was controlled for RS Column 1.

6A003 Cameras, Systems or Equipment, and “Components” Therefor

Item paragraphs a.1 (high-speed cinema recording cameras) and a.2 (mechanical high speed cameras) are removed and reserved because of the advancement of technology. Item paragraph a.3.a (mechanical streak cameras) is also removed because of the advancement of technology. As a result of this change, electronic streak cameras are moved from Item paragraph a.3.b to a.3. BIS anticipates that there will be a negligible impact on the annual number of license applications submitted to BIS as a result of these removals and revisions.

6A004 Optical Equipment and “Components”

The double quotes are replaced with single quotes around the term ‘deformable mirrors’ in Item paragraph a.1 because the term is only used in this ECCN. The definition for ‘deformable mirrors’ is moved from part 772 to the Technical Note below Item paragraph a.1.b.2. At the end of Item paragraph e.3 the period is changed to a semicolon, because a new Item paragraph is added. Dynamic wavefront measuring equipment is added to Item paragraph .f, with parameters in subparagraphs and a Technical Note at the end to define “frame rate”. The purpose of wavefront sensing is to measure the level of the wavefront aberration as it is transferred through an optical system, regardless if the source of that aberration is the optical system itself or something external to that system. Wavefront sensors are principally used as one of the main components of adaptive optics

systems where they serve to close the control loop and feed the information about the required correction to deformable mirrors and beam steering mirrors in real-time, which are also controlled in this ECCN.

6A005 “Lasers”, “Components” and Optical Equipment

An editorial amendment is made to Note 1, below Item paragraph a.6.b.2, by replacing “and/or” with “or”, which does not change the scope of the Note. The double quotes are replaced with single quotes around the term ‘transfer lasers’ in Item paragraph d.5.c. The definition for `transfer lasers' is moved from part 772 to the Technical Note below Item paragraph d.5.c.2, because this term is only found in this ECCN.

Item paragraph f.1 (dynamic wavefront (phase) measuring equipment) is removed and reserved, because this item is moved to ECCN 6A004.f, because of its close association to the mirrors controlled in 6A004. A Nota Bene is added to point to the new Item paragraph where this item is controlled.

Item paragraph f.2 (“Laser” diagnostic equipment) is amended by replacing “capable of measuring” with “specially designed for dynamic measurement of” and replacing “equal to or less than” with “and having an angular “accuracy” of” to refine the scope of the entry. The phrase “(microradians) or less (better)” is added after “10 μrad” to clarify the unit. BIS does not anticipate and change to the annual number of license application submissions as a result of these changes.

Item paragraph f.3 (Optical equipment and components) is amended by moving the phrase “coherent beam combination” for better readability. The “accuracy” parameter is cascaded down to Item paragraph f.3.b and a new “accuracy” parameter is added to f.3.a, so that the equipment is controlled if it meets either of the “accuracy” parameters.

6A008 Radar Systems, Equipment and Assemblies

Item paragraph a.1 is amended by removing the double quotes around the term “average output power” in order to be consistent with the WA List.

Item paragraph .e is amended by replacing “steerable array antennas” with “scanned array antennae” as well as adding a Technical Note to make people aware that electronically scanned array antennae are also known as electronically steerable array antennae. This revision uses more current, and standard, language to describe E-scan radar.

Double quotes are replaced by single quotes around the term `automatic target tracking' in Item paragraph l.1 and the definition is moved from part 772 to a Technical Note under the Note to 6A008.l.1, because this term only appears in this ECCN.

Double quotes are replaced by single quotes around ‘geographically dispersed’ in Item paragraph l.4 and the definition is moved from part 772 to the Technical Note below Item paragraph l.4, because this term only appears in this ECCN.

6A203 High-Speed Cameras, Imaging Devices and “Components” Therefor

The Related Controls paragraph is revised to remove a reference to ECCN 6A003.a.2, which is removed and reserved by this rule.

6A990 Read-Out Integrated Circuits and 6E990 Technology for ROICs

ECCNs 6A990 and 6E990 are removed because this rule adds ROICs to ECCN 6A002.f.

6D003 Other “Software”

ECCN 6D003 is amended by removing the unnecessary word “and” in Item paragraph h.2 and replacing “steerable phased array antennae” with “scanned array antennae” in Item paragraph h.2.a in order to use a more standard term. Item paragraph h.2.a is also amended by replacing “controlled” with “specified” in order to be more precise, because an item may or may not be controlled depending on the reasons for control and destination of the export.

6D991, 6E001 and 6E002

Each of these ECCNs are amended to remove references to 6A990 or 6E990, because this rule adds ROICs to ECCN 6A002.f. For consistency, the License Requirements sections of 6E001 and 6E002 are amended to add a reference to 6A002.f to the Regional Stability Column 1 controls, because this technology was controlled for Regional Stability Column 1 under ECCN 6E990, where it was formerly controlled.

6E201 “Technology” According to the General Technology Note for the “USE” of Equipment

The Heading of ECCN 6E201 is revised to remove reference to 6A003.a.2, which is removed and reserved by this rule.

Category 7—Navigation and Avionics

7A006 Airborne Altimeters

Double quotes are replaced by single quotes around the term ‘power management’ and the definition for the term is moved from part 772 to a Technical Note below Item paragraph .a because the term is only used in this ECCN.

7E004 Other “Technology”

Double quotes are replaced by single quotes around the term `primary flight control' in Item paragraph a.5 and the definition for the term is moved from part 772 to a Technical Note below Item paragraph .a.5 because the term is only used in this ECCN.

Double quotes are replaced by single quotes around the term ‘flight control optical sensor array’ in Item paragraph a.6 and the definition for the term is moved from part 772 to a Technical Note below Item paragraph a.6 because the term is only used in the ECCN.

Double quotes are replaced by single quotes around the term `flight path optimization' in paragraph 1. of the Note to 7E004.b.5 and the definition is moved from part 772 to a Technical Note below the Note to 7E004.b.5 because the term is only used in this ECCN.

Double quotes are replaced by single quotes around the term `variable geometry airfoils' in Item paragraph c.3 and the definition for the term is moved from part 772 to a Technical Note below Item paragraph c.3 because the term only appears in this ECCN.

Category 9—Aerospace and Propulsion

9A002 “Marine Gas Turbine Engines”

The Heading is amended by revising and moving the parameter “with an ISO standard continuous power rating of 24,245 kW or more and a specific fuel consumption not exceeding 0.219 kg/kWh in the power range from 35 to 100%” to the Items paragraph and adding “designed to use liquid fuel and having all of the following (see List of Items Controlled),” to the Heading. The definition for ‘marine gas turbine engines’ is moved from the Related Definition paragraph of the ECCN to a Note below Item paragraph .b in order to be more consistent with the WA list. Two parameters are added for this ECCN: Maximum continuous power and `corrected specific fuel consumption'. The definition for ‘corrected specific fuel consumption’ is added to a Technical Note below the Note that is below Item paragraph .b. This change removes the ambiguity in this ECCN by removing the reference to power range. These revisions therefore do not change the scope of the existing control text, but rather clarify it by making it clear that the specific fuel consumption of concern applies at the “turndown performance” of 35%.

9A004 Space Launch Vehicles and “Spacecraft”, “Spacecraft Buses”, “Spacecraft Payloads”, “Spacecraft” On-board Systems or Equipment, and Terrestrial Equipment

The scope of Item paragraph f.1 (Telemetry and telecommand equipment) is clarified by adding “specially designed” and two specific end uses in order to eliminate data processing equipment for mission data, such as GPS, science data, communication and broadcasting, since this data is not meant to be controlled under 9A004.f.1. The scope of Item paragraph f.2 (Simulators) is narrowed by adding “specially designed for ‘verification of operational procedures’ of “spacecraft”. A Technical Note is added below Item paragraph f.2 to define ‘verification of operational procedures.’ These clarifications will not result in a change to the number of annual license application submissions to BIS.

9D001 and 9D002 “Software”

The Heading of 9D001 and 9D002 are amended by adding “not specified in 9D003 or 9D004” to clarify the scope of these entries and eliminate any possible overlap of control.

9D004 Other “Software”

Item paragraph .b (“Software” for testing aero gas turbine engines, assemblies, “parts” or “components”) is amended by removing the parameter and cascading subparagraphs with specific features or functions, such as “specially designed” for testing aero gas turbine engines . . . , to clarify and focus (narrow) the scope of control. A Note is added above Item paragraph .c to exclude software for operation of the test facility or operator safety, or production, repair or maintenance acceptance-testing . . .” It is estimated that these changes will not affect the annual number of license application submissions to BIS.

9E003 Other “Technology”

In Technical Note 2 below Item paragraph a.2.d and in the Technical Note below Item paragraph a.5, the single quotes are replaced with double quotes around the term “steady state mode” because this term is also used in another ECCN 9A002.a. The definition for “steady state mode” is moved from the Technical Note 2 below a.5 to part 772 “Definitions and Terms”.

Technical Note 4 below the Note to 9E003.c is amended by removing “techniques” and moving “methods” from the end of the Technical Note 4 to the top of Technical Note 4. Also revising the phrase “include “laser”, water jet . . .” to read “ “include “laser” beam machining, water jet machining . . .” to be consistent with the other types of machining specified in Technical Note 4.

Part 772—Definitions of Terms as Used in the Export Administration Regulations (EAR)

This rule removes 37 definitions from § 772.1 and adds them to the ECCNs where they are used. According to the WA drafting guidelines, if a term is only used in a single ECCN, then the definition must be located in a Technical Note close to where that term is used. However, if the term is separated by many subparagraphs, then the definition may be located in the Definitions section of the WA List. The following 37 definitions are removed from part 772, because they are only used within a single ECCN: Automatic target tracking, carbon fiber preforms, commingled, comminution, compound rotary table, deformable mirrors, direct acting hydraulic pressing, effective gram, electronically steerable phased array antenna, flight control optical sensor array, flight path optimization, frequency mask trigger, frequency synthesizer, gas atomization, geographically dispersed, hot isostatic densification, linearity, main storage, mechanical alloying, melt extraction, melt spinning, neural computers, optical computer, plasma atomization, power management, previously separated, primary flight control, real-time bandwidth, resolution, rotary atomization, settling time, splat quenching, systolic array computer, transfer laser, vacuum atomization and variable geometry airfoils. The following definitions are revised for reasons stated either in the

Federal Register

instruction or under an ECCN where the term is used: Compensation systems, cryptographic activation, and user-accessible programmability. Two terms used in ECCNs 3A001 and 3A002 related to Analog-to-Digital Converters (ADC) are added to § 772.1. The term “sample rate”, which is used in both ECCN 3A001 and 3A002, is added to § 772.1. The definition “steady state mode” is moved from Technical Note 2 to 9E003.a.5 to § 772.1 because it is now also used in a new parameter for `marine gas turbine engines' in ECCN 9A002, as well as in Technical Notes in 9E003.a.2.d and 9E003.a.5. The Category 5—Part 2 definition “cryptographic activation” is amended by adding the word “specifically” before “activates or enables”, and taking the word “secure” out of the definition, to fit with the changes being made in the control list entries that refer to this definition (ECCNs 5A002.b, 5D002.b and 5E002.b).

Supplement No. 6 to Part 774—Sensitive List

Paragraph (1)(i), ECCN 1A002, is amended by narrowing the scope from all of ECCN 1A002 to only subparagraph a.1 “ “Composite” structures or laminates made from an organic “matrix” and “fibrous or filamentary materials” specified by 1C010.c or 1C010.d”, because the rest of the items in ECCN 1A002 do not warrant control on the Sensitive List as they are not key technologies. This revision will minimally affect the annual number of Wassenaar reports to BIS.

Paragraph (2)(i)—ECCN 2D001, (ii)—ECCN 2E001, and (iii)—ECCN 2E002 are simplified and restructured for easier understanding and compliance. The revisions also focus the Sensitive List entries for software and technology for machine tools having a unidirectional repeatability at 0.9 microns. For machine tools having no variations specified at 0.9 microns, there is no change to the thresholds.

Supplement No. 7 to Part 774—Very Sensitive List

Paragraph (1)(i), ECCN 1A002, is amended by narrowing the scope from subparagraph .a to subparagraph a.1 (“Composite” structures or laminates made from an organic “matrix” and “fibrous or filamentary materials” specified by 1C010.c or 1C0010.d), because the rest of the items in ECCN 1A002.a do not warrant control on the Sensitive List as they are not key technologies. It is estimated that this will minimally affect the annual number of Wassenaar reports to BIS.

Paragraphs (3)(iv), ECCN 6A001.a.2.c, and (3)(vi), ECCN 6A002.a.2.f, are amended by replacing the phase “user accessible programmability” with “user-accessible programmability” to add a hyphen for correctness.

Section 740.16 Additional Permissive Reexports (APR)

License Exception APR is amended to remove a reference to ECCN 6A990 in paragraphs (a)(2) and (b)(2)(v), because ECCN 6A990 is removed from the CCL by this rule. ROICs are now specified in 6A002.f.

Section 740.17 Encryption Commodities, Software and Technology (ENC)

License Exception ENC is corrected to replace a reference to 5D002.d with a reference to 5D002.b in the Note to paragraph (b)(2) and in paragraph (b)(3)(iv).

Section 740.20 License Exception Strategic Trade Authorization (STA)

License Exception STA is amended to remove reference to ECCNs 6A990 and 6E990 from paragraph (b)(2)(x), because these ECCNs are removed from the CCL. ROICs are now specified in 6A002.f and ROIC technology is specified in ECCNs 6E001 and 6E002.

Section 742.6 Regional Stability

Paragraph (b)(1)(ii) is amended by removing reference to ECCN 6E990, because this ECCN is removed by this rule. ROIC technology is now controlled under ECCNs 6E001 and 6E002.

Section 744.9 Restrictions on Exports, Reexports, and Transfers (In-Country) of Certain Cameras, Systems, or Related Components

Section 744.9 is amended by removing reference to ECCN 6A990 from paragraphs (a) and (b), because this ECCN is removed from the CCL. ROICs are now controlled under ECCN 6A002.f.

Export Control Reform Act of 2018

On August 13, 2018, the President signed into law the John S. McCain National Defense Authorization Act for Fiscal Year 2019, which included the Export Control Reform Act of 2018 (ECRA) (Title XVII, Subtitle B of Pub. L. 115-232) that provides the legal basis for BIS's principal authorities and serves as the authority under which BIS issues this rule. As set forth in Section 1768 of ECRA, all delegations, rules, regulations, orders, determinations, licenses, or other forms of administrative action that have been made, issued, conducted, or allowed to become effective under the Export Administration Act of 1979 (50 U.S.C. 4601

et seq.

) (as in effect prior to August 13, 2018 and as continued in effect pursuant to the International Emergency Economic Powers Act (50 U.S.C. 1701

et seq.

) and 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 8, 2018, 83 FR 39871 (August 13, 2018)), or the Export Administration Regulations, and are in effect as of August 13, 2018, shall continue in effect according to their terms until modified, superseded, set aside, or revoked under the authority of ECRA.

Saving Clause

Shipments of items removed from license exception eligibility or eligibility for export, reexport or transfer (in-country) without a license as a result of this regulatory action that were on dock for loading, on lighter, laden aboard an exporting carrier, or en route aboard a carrier to a port of export, on October 24, 2018, pursuant to actual orders for exports, reexports and transfers (in-country) to a foreign destination, may proceed to that destination under the previous license exception eligibility or without a license so long as they have been exported, reexported or transferred (in-country) before December 24, 2018. Any such items not actually exported, reexported or transferred (in-country) before midnight, on December 24, 2018, require a license in accordance with this final rule.

Executive Order Requirements

Executive Orders 13563 and 12866 direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility.

This rule has been designated a “significant regulatory action” under Executive Order 12866. The Wassenaar Arrangement (WA) has been established in order to contribute to regional and international security and stability, by promoting transparency and greater responsibility in transfers of conventional arms and dual-use goods and technologies, thus preventing destabilizing accumulations. The aim is also to prevent the acquisition of these items by terrorists. There are presently 42 Participating States, including the United States, that seek through their national policies to ensure that transfers of these items do not contribute to the development or enhancement of military capabilities that undermine these goals, and to ensure that these items are not diverted to support such military capabilities that undermine these goals. Implementation of the WA agreements in a timely manner enhances the national security of the United States and global international trade.

This rule does not contain policies with Federalism implications as that term is defined under Executive Order 13132.

This rule is not subject to the requirements of 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. Specific license application submission estimates are discussed further in the preamble of this rule where the revision is explained. BIS estimates that revisions that are editorial, moving the location of control text on the Commerce Control List, or clarifications will result in no change in license application submissions.

Any comments regarding these collections of information, including suggestions for reducing the burden, may be sent to OMB Desk Officer, New Executive Office Building, Washington, DC 20503; and to Jasmeet K. Seehra, Office of Management and Budget (OMB), by email to

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 42 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 October 24, 2018.

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 742

Exports, Terrorism.

15 CFR Part 744

Exports, Reporting and recordkeeping requirements, Terrorism.

15 CFR Part 772

Exports.

15 CFR Part 774

Exports, Reporting and recordkeeping requirements.

Accordingly, parts 740, 742, 744, 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 is revised to read as follows:

Authority:

Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C. 4601

et seq.;

50 U.S.C. 1701

et seq.;

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 8, 2018, 83 FR 39871 (August 13, 2018).

2. Section 740.16 is amended by revising paragraphs (a)(2) and (b)(2)(v) to read as follows:

§ 740.16

Additional permissive reexports (APR).

(a) * * *

(2) The commodities being reexported are not controlled for NP, CB, MT, SI or CC reasons or described in ECCN 0A919, 3A001.b.2 or b.3 (except those that are being reexported for use in civil telecommunications applications), 6A002, or 6A003; and

(b) * * *

(2) * * *

(v) Commodities described in ECCN 6A002.

§ 740.17

[Amended]

3. Section 740.17 is amended by removing the reference to “5D002.d” and adding in its place “5D002.b” in the Note to paragraph (b)(2) and in paragraph (b)(3)(iv).

4. Section 740.20 is amended by revising paragraph (b)(2)(x) to read as follows:

§ 740.20

License Exception Strategic Trade Authorization (STA).

(b) * * *

(2) * * *

(x) License Exception STA may not be used for items controlled by ECCN 6A002; 6D002 (software “specially designed” for the “use” of commodities controlled under 6A002.b); 6D003.c; 6D991 (software “specially designed” for the “development,” “production,” or “use” of commodities controlled under 6A002 or 6A003); 6E001 (“technology” for the “development” of commodities controlled under ECCN 6A002 or 6A003); or 6E002 “technology” (for the “production” of commodities controlled under ECCN 6A002 or 6A003).

PART 742—[AMENDED]

5. The authority citation for part 742 is revised to read as follows:

Authority:

Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C. 4601

et seq.;

50 U.S.C. 1701

et seq.;

22 U.S.C. 3201

et seq.;

42 U.S.C. 2139a; 22 U.S.C. 7201

et seq.;

22 U.S.C. 7210; Sec. 1503, Pub. L. 108-11, 117 Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Presidential Determination 2003-23, 68 FR 26459, 3 CFR, 2004 Comp., p. 320; Notice of November 6, 2017, 82 FR 51971 (November 8, 2017); Notice of August 8, 2018, 83 FR 39871 (August 13, 2018).

6. Section 742.6 is amended by revising paragraph (b)(1)(ii) to read as follows:

§ 742.6

Regional stability.

(b) * * *

(1) * * *

(ii) Applications for exports and reexports to a country listed in Country Group D:5 (in supplement no. 1 to part 740 of the EAR) of technology controlled under 6E001 for the development of focal plane arrays, read-out integrated circuits (ROICs) or image intensifier tubes described in 6A002 or technology controlled under 6E002 for the production of focal plane arrays, read-out integrated circuits (ROICs) or

image intensifier tubes described in 6A002 will be reviewed with a presumption of denial.

PART 744—[AMENDED]

7. The authority citation for part 744 is revised to read as follows:

Authority:

Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C. 4601

et seq.;

50 U.S.C. 1701

et seq.;

22 U.S.C. 3201

et seq.;

42 U.S.C. 2139a; 22 U.S.C. 7201

et seq.;

22 U.S.C. 7210; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 12947, 60 FR 5079, 3 CFR, 1995 Comp., p. 356; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13099, 63 FR 45167, 3 CFR, 1998 Comp., p. 208; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 786; Notice of September 18, 2017, 82 FR 43825 (September 19, 2017); Notice of November 6, 2017, 82 FR 51971 (November 8, 2017); Notice of January 17, 2018, 83 FR 2731 (January 18, 2018); Notice of August 8, 2018, 83 FR 39871 (August 13, 2018).

§ 744.9

[Amended]

8. Section 744.9 is amended by removing the reference “6A990,” from paragraphs (a)(1) introductory text and (b).

PART 772—[AMENDED]

9. The authority citation for part 772 is revised to read as follows:

Authority:

Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C. 4601

et seq.;

50 U.S.C. 1701

et seq.;

E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 8, 2018, 83 FR 39871 (August 13, 2018).

10. Section 772.1 is amended by:

a. Removing definitions for “Automatic target tracking”, “Carbon fiber preforms”, “Commingled”, and “Comminution”;

b. Revising the definition for “Compensation systems”;

c. Removing the definition for “Compound rotary table”;

d. Revising the definition for “Cryptographic activation”;

e. Removing the definitions for “Deformable mirrors”, “Direct-acting hydraulic pressing”, “Effective Gram”, “Electronically steerable phased array antenna”, “Flight control optical sensor array”, “Flight path optimization”, “Frequency mask trigger”, “Frequency synthesizer”, “Gas Atomization”, “Geographically dispersed”, and “Hot isostatic densification”;

f. Adding the definition for “Interleaved Analog-to-Digital Converter (ADC)” in alphabetical order;

g. Removing the definitions for “Linearity”, “Main storage”, “Mechanical alloying”, “Melt Extraction”, and “Melt Spinning”;

h. Adding the definition for “Multiple channel Analog-to-Digital Converter (ADC)” in alphabetical order;

i. Removing the definitions for “Neural computer”, “Optical computer”, “Plasma atomization”, “Power management”, “Previously separated”, “Primary flight control”, “Real-time bandwidth”, “Resolution”, and “Rotary Atomization”;

j. Adding the definition for “Sample rate” in alphabetical order;

k. Removing the definitions for “Settling time” and “Splat Quenching”;

l. Adding the definition for “Steady state mode” in alphabetical order;

m. Removing the definitions for “Systolic array computer” and “Transfer laser”;

n. In the definition for “User-accessible programmability”, removing “Cat 4, 5, and 6” and adding in its place “Cat 6”; and

o. Removing the definitions for “Vacuum Atomization” and “Variable geometry airfoils”.

The revisions and additions read as follows:

§ 772.1

Definitions of terms as used in the Export Administration Regulations (EAR).

Compensation systems.

(Cat 6) Consist of the primary scalar sensor, one or more reference sensors (

e.g.,

vector “magnetometers”) together with software that permit reduction of rigid body rotation noise of the platform.

Cryptographic activation.

(Cat 5P2) Any technique that specifically activates or enables cryptographic capability of an item, by means of a mechanism implemented by the manufacturer of the item, where this mechanism is uniquely bound to any of the following:

(1) A single instance of the item; or

(2) One customer, for multiple instances of the item.

Technical note 1 to definition of “Cryptographic activation”:

“Cryptographic activation” techniques and mechanisms may be implemented as hardware, “software” or “technology”.

Technical note 2 to definition of “Cryptographic activation”:

Mechanisms for “cryptographic activation” can, for example, be serial number-based license keys or authentication instruments such as digitally signed certificates.

Interleaved Analog-to-Digital Converter (ADC).

(Cat 3) Devices that 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.

Multiple channel Analog-to-Digital Converter (ADC).

(Cat 3) Devices that integrate more than one ADC, designed so that each ADC has a separate analog input.

Sample rate.

(Cat 3) For an Analog-to-Digital Converter (ADC) the maximum number of samples that are measured at the analog input over a period of one second, except for oversampling ADCs. For oversampling ADCs the “sample rate” is taken to be its output word rate. “Sample rate” may also be referred to as sampling rate, usually specified in Mega Samples Per Second (MSPS) or Giga Samples Per Second (GSPS), or conversion rate, usually specified in Hertz (Hz).

Steady state mode.

(Cat 9) The term “steady state mode” defines engine operation conditions, where the engine parameters, such as thrust/power, rpm and others, have no appreciable fluctuations, when the ambient air temperature and pressure at the engine inlet are constant.

PART 774—[AMENDED]

11. The authority citation for part 774 is revised to read as follows:

Authority:

Pub. L. 115-232, Title XVII, Subtitle B. 50 U.S.C. 4601

et seq.;

50 U.S.C. 1701

et seq.;

10 U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201

et seq.;

22 U.S.C. 6004; 42 U.S.C. 2139a; 15 U.S.C. 1824a; 50 U.S.C. 4305; 22 U.S.C. 7201

et seq.;

22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 8, 2018, 83 FR 39871 (August 13, 2018).

12. In supplement no. 1 to part 774, Category 0, ECCN 0A617 is revised to read as follows:

Supplement No. 1 to Part 774—The Commerce Control List

0A617 Miscellaneous “Equipment”, Materials, and Related Commodities (see List of Items Controlled).

License Requirements

Reason for Control:

NS, RS, AT, UN

Control(s)

Country chart

(see Supp. No. 1

to part 738)

NS applies to entire entry, except 0A617.y

NS Column 1.

RS applies to entire entry, except 0A617.y

RS Column 1.

AT applies to entire entry

AT Column 1.

UN applies to entire entry, except 0A617.y

See § 764.1(b) of the EAR for UN controls.

List Based License Exceptions (See Part 740 for a Description of All License Exceptions)

LVS:

$1,500

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 0A617.

List of Items Controlled

Related Controls:

(1) Defense articles, such as materials made from classified information, that are controlled by USML Category XIII, and technical data (including software) directly related thereto, are subject to the ITAR. (2) See ECCN 0A919 for foreign-made “military commodities” that incorporate more than a

de minimis

amount of U.S.-origin “600 series” controlled content. (3) For controls on self-contained diving and underwater swimming apparatus and related commodities, see ECCN 8A620.f. (4) For controls on robots, robot controllers, and robot end-effectors, see USML Category VII and ECCNs 0A606 and 2B007. (5) “Libraries”,

i.e.,

parametric technical databases, “specially designed” for military use with equipment controlled by the USML or a “600 series” ECCN are controlled by the technical data and technology controls pertaining to such items. (6) For controls on nuclear power generating equipment or propulsion equipment, including “nuclear reactors”, “specially designed” for military use, and “parts” and “components” “specially designed” therefor, see USML Categories VI, XIII, XV, and XX. (7) Simulators “specially designed” for military “nuclear reactors” are controlled by USML Category IX(b). (8) See USML Categories X, XI and XII for “laser” protection equipment (

e.g.,

eye and sensor protection) “specially designed” for military use. (9) “Fuel cells” “specially designed” for a defense article on the USML or a commodity controlled by a “600 series” ECCN are controlled according to the corresponding “600 series” ECCN for such end items. (10) See USML Category XV for controls on fuel cells “specially designed” for satellite or spacecraft.

Related Definitions:

N/A

Items:

a. [Reserved]

b. Concealment and deception equipment “specially designed” for military application, including special paints, decoys, smoke or obscuration equipment and simulators, and “parts”, “components”, “accessories”, and “attachments” “specially designed” therefor, not controlled by USML Category XIII.

c. Ferries, bridges (other than those described in ECCN 0A606 or USML Category VII), and pontoons, “specially designed” for military use.

d. Test models “specially designed” for the “development” of defense articles controlled by USML Categories IV, VI, VII and VIII.

e. [Reserved]

f. “Metal embrittlement agents”.

g. through x. [Reserved]

y. Other commodities as follows, and “parts”, “components”, “accessories”, and “attachments” “specially designed” therefore:

y.1. Construction equipment “specially designed” for military use, including such equipment “specially designed” for transport in aircraft controlled by USML VIII(a) or ECCN 9A610.a.

y.2. “Parts”, “components”, “accessories”, and “attachments” “specially designed” for commodities in paragraph .y.1 of this entry, including crew protection kits used as protective cabs.

y.3. ISO intermodal containers or demountable vehicle bodies (

i.e.,

swap bodies), n.e.s., “specially designed” or `modified' for shipping or packing defense articles or items controlled by a “600 series” ECCN.

Technical Note:

For the purpose of 0A617.y.3, `modified' means any structural, electrical, mechanical, or other change that provides a non-military item with military capabilities equivalent to an item which is “specially designed” for military use.

y.4. Field generators “specially designed” for military use.

y.5. Power controlled searchlights and control units therefor, “specially designed” for military use, and “equipment” mounting such units.

13. In supplement no. 1 to part 774, Category 0, ECCN 0A919 is revised to read as follows:

0A919 “Military commodities” located and produced outside the United States as follows (see list of items controlled).

License Requirements

Reasons for Control:

RS, AT

Control(s)

Country chart

(see Supp. No. 1

to part 738)

RS applies to entire entry

RS Column 1, See § 742.6(a)(3) of the EAR for license requirements.

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) “Military commodities” are subject to the export licensing jurisdiction of the Department of State if they incorporate items that are subject to the International Traffic in Arms Regulations (ITAR) (22 CFR parts 120 through 130). (2) “Military commodities” described in this paragraph are subject to the export licensing jurisdiction of the Department of State if such commodities are described on the U.S. Munitions List (22 CFR part 121) and are in the United States. (3) The furnishing of assistance (including training) to foreign persons, whether in the United States or abroad, in the design, development, engineering, manufacture, production, assembly, testing, repair, maintenance, modification, operation, demilitarization, destruction, processing, or use of defense articles that are subject to the ITAR; or the furnishing to foreign persons of any technical data controlled under 22 CFR 121.1 whether in the United States or abroad are under the licensing jurisdiction of the Department of State. (4) Brokering activities (as defined in 22 CFR part 129) of “military commodities” that are subject to the ITAR are under the licensing jurisdiction of the Department of State.

Related Definitions:

“Military commodity” or “military commodities” means an article, material or supply that is described on the U.S. Munitions List (22 CFR part 121) or on the Munitions List that is published by the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies (

i.e.,

the Wassenaar Arrangement Munitions List (WAML)), but does not include software, technology, any item listed in any ECCN for which the last three numerals are 018, or any item in the “600 series.”

Items:

a. “Military commodities” produced and located outside the United States that are not subject to the International Traffic in Arms Regulations (22 CFR parts 120 through 130) and having any of the following characteristics:

a.1. Incorporate more than a

de minimis

amount of U.S.-origin controlled content classified under ECCNs 6A002, 6A003, or 6A993.a (having a maximum frame rate equal to or less than 9 Hz and thus meeting the criterion of Note 3.a to 6A003.b.4);

a.2. Incorporate more than a

de minimis

amount of U.S.-origin “600 series” controlled content (see § 734.4 of the EAR);

a.3. Are direct products of U.S.-origin “600 series” technology or software (see § 736.2(b)(3) of the EAR).

b. [Reserved]

14. In supplement no. 1 to part 774, Category 1, ECCN 1A002 is revised to read as follows:

1A002 “Composite” structures or laminates, 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 1A002.b.1 in the form of tubes with an inside diameter between 75 mm and 400 mm

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)

LVS:

$1,500; N/A for NP; N/A for “composite” structures or laminates controlled by 1A002.a, having an organic “matrix” and made from materials controlled by 1C010.c or 1C010.d.

GBS:

N/A

CIV:

N/A

Special Conditions for STA

STA:

License Exception STA may not be used to ship any item in this entry to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls:

(1) See ECCNs

1E001

(“development” and “production”) and

1E201

(“use”) for technology for items controlled by this entry. (2) Also see ECCNs

1A202, 1C010,

1C210,

9A010, and 9A110. (3) “Composite” structures “specially designed” for missile applications (including “specially designed” subsystems, “parts”, and “components”) are controlled by ECCN 9A110. (4) “Composite” structures or laminates “specially designed” or prepared for use in separating uranium isotopes are subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110).

Related Definitions:

N/A

Items:

a. Made from any of the following:

a.1. An organic “matrix” and “fibrous or filamentary materials” specified by 1C010.c or 1C010.d;

a.2. Prepregs or preforms specified by 1C010.e;

b. Made from a metal or carbon “matrix”, and any of the following:

b.1. Carbon “fibrous or filamentary materials” having all of the following:

b.1.a. A “specific modulus” exceeding 10.15 × 10

and

b.1.b. A “specific tensile strength” exceeding 17.7 × 10

b.2. Materials controlled by 1C010.c.

Note 1:

1A002 does not control “composite” structures or laminates made from epoxy resin impregnated carbon “fibrous or filamentary materials”, for the repair of “civil aircraft” structures or laminates, having all of the following:

a. An area not exceeding 1 m

;

b. A length not exceeding 2.5 m; and

c. A width exceeding 15 mm.

Note 2:

1A002 does not control semi-finished items, “specially designed” for civilian applications as follows:

a. Sporting goods;

b. Automotive industry;

c. Machine tool industry;

d. Medical applications.

Note 3:

1A002.b.1 does not apply to semi-finished items containing a maximum of two dimensions of interwoven filaments and “specially designed” for applications as follows:

a. Metal heat-treatment furnaces for tempering metals;

b. Silicon boule production equipment.

Note 4:

1A002 does not apply to finished items “specially designed” for a specific application.

15. In supplement no. 1 to part 774, Category 1, ECCN 1C001 is revised to read as follows:

1C001 Materials “specially designed” for absorbing electromagnetic radiation, or intrinsically conductive polymers, as follows (see List of Items Controlled).

License Requirements

Reason for Control:

NS, MT, AT

Control(s)

Country chart

(see Supp. No. 1

to part 738)

NS applies to entire entry

NS Column 1.

MT applies to entire entry

MT Column 1.

AT applies to entire entry

AT Column 1.

Reporting Requirements

See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations.

List Based License Exceptions (See Part 740 for a Description of All License Exceptions)

LVS:

N/A

GBS:

N/A

CIV:

N/A

Special Conditions for STA

STA:

License Exception STA may not be used to ship any item in this entry to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls:

See also 2B998

Related Definition:

N/A

Items:

a. [Reserved]

b. [Reserved]

c. ‘Compound rotary tables’ having all of the following:

c.1. Designed for machine tools for turning, milling or grinding;

and

c.2. Two rotary axes designed to be coordinated simultaneously for “contouring control”.

Technical Note:

A ‘compound rotary table’ is a table allowing the workpiece to rotate and tilt about two non-parallel axes.

d. “Tilting spindles” having all of the following:

d.1. Designed for machine tools for turning, milling or grinding;

and

d.2. Designed to be coordinated simultaneously for “contouring control”.

25. In supplement no. 1 to part 774, Category 2, ECCN 2B206 is revised to read as follows:

2B206 Dimensional inspection machines, instruments or systems, other than those described in 2B006, as follows (see List of Items Controlled).

License Requirements

Reason for Control:

NP, AT

Control(s)

Country chart

(see Supp. No. 1

to part 738)

NP applies to entire entry

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 ECCNs

2D002

and

2D201

for “software” for items controlled under this entry. (2) See ECCNs

2E001

(“development”),

2E002

(“production”), and

2E201

(“use”) for technology for items controlled under this entry. (3) Also see ECCNs

2B006

and

2B996.

Related Definitions:

N/A

Items:

Control Notes to ECCN 2B206:

(1) Machine tools that can be used as measuring machines are controlled by ECCN 2B206 if they meet or exceed the control parameters specified in this entry for the measuring machine function. (2) The machines described in ECCN 2B206 are controlled by this entry if they exceed the specified control threshold anywhere in their operating range.

Technical Note to ECCN 2B206:

All parameters of measurement values in this entry represent plus/minus,

i.e.,

not total band.

a. Computer controlled or numerically controlled coordinate measuring machines (CMM) with either of the following characteristics:

a.1. Having only two axes with a maximum permissible error of length measurement along any axis (one dimension), identified as any combination of E

0x MPE

, E

0y MPE

or E

0z MPE

, equal to or less (better) than (1.25 + L/1,000) µm (where L is the measured length in mm) at any point within the operating range of the machine (

i.e.,

within the length of the axis), according to ISO 10360-2 (2009);

a.2. Having three or more axes with a three dimensional (volumetric) maximum permissible error of length measurement, identified as E

MPE

, equal to or less (better) than (1.7 + L/800) µm (where L is the measured length in mm) at any point within the operating range of the machine (

i.e.,

within the length of the axis), according to ISO 10360-2 (2009).

Technical Note to 2B206.a.2:

The E

MPE

of the most accurate configuration of the

CMM specified according to ISO 10360-2 (2009) by the manufacturer (

e.g.,

best of the following: Probe, stylus length, motion parameters, environment) and with all compensations available shall be compared to the 1.7 + L/800 µm threshold.

b. Systems for simultaneous linear-angular inspection of hemishells, having both of the following characteristics:

b.1. “Measurement uncertainty” along any linear axis equal to or less (better) than 3.5 µm per 5 mm;

and

b.2. “Angular position deviation” equal to or less than 0.02°.

c. Linear displacement measuring systems having both of the following characteristics:

c.1. Containing a “laser;”

and

c.2. Capable of maintaining, for at least 12 hours over a temperature range of ± 1 K around a standard temperature and a standard pressure, both:

c.2.a. A “resolution” over their full scale of 0.1 µm or better;

and

c.2.b. A “measurement uncertainty” equal to or better (less) than (0.2 + L/2,000) µm (L is the measured length in millimeters).

Control Note to 2B206.c:

2B206.c does not control measuring interferometer systems, without closed or open loop feedback, containing a “laser” to measure slide movement errors of machine tools, dimensional inspection machines, or similar equipment.

Technical Note to 2B206.c:

In 2B206.c, “linear displacement” means the change of distance between the measuring probe and the measured object.

d. Linear Variable Differential Transformer (LVDT) systems having all of the following:

d.1. Having any of the following:

d.1.a. “Linearity” equal to or less (better) than 0.1% measured from 0 to the full operating range, for LVDTs with a full operating range up to and including ±5 mm;

d.1.b. “Linearity” equal to or less (better) than 0.1% measured from 0 to 5 mm for LVDTs with a `full operating range' greater than ±5 mm;

and

d.2. Drift equal to or less (better) than 0.1% per day at a standard ambient test room temperature ±1 K.

26. In supplement no. 1 to part 774, 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.b, .e and .f

List of Items Controlled

Related Controls:

See 2E001, 2E002, and 2E101 for “development” and “use” technology for equipment that are designed or modified for densification of carbon-carbon composites, structural composite rocket nozzles and reentry vehicle nose tips.

Related Definitions:

N/A

Items:

a. [Reserved]

b. “Technology” for metal-working manufacturing processes, as follows:

b.1. “Technology” for the design of tools, dies or fixtures “specially designed” for any of the following processes:

b.1.a. “Superplastic forming”;

b.1.b. “Diffusion bonding”;

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;

Technical Notes:

1. `Direct-acting hydraulic pressing' is a deformation process which uses a fluid-filled flexible bladder in direct contact with the workpiece.

2. `Hot isostatic densification' is a process of pressurizing a casting at temperatures exceeding 375 K (102 °C) in a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal force in all directions to reduce or eliminate internal voids in the casting.

c. “Technology” for the “development” or “production” of hydraulic stretch-forming machines and dies therefor, for the manufacture of airframe structures;

d. [Reserved]

e. “Technology” for the “development” of integration “software” for incorporation of expert systems for advanced decision support of shop floor operations into “numerical control” units;

f. “Technology” for the application of inorganic overlay coatings or inorganic surface modification coatings (specified in column 3 of the following table) to non-electronic substrates (specified in column 2 of the following table), by processes specified in column 1 of the following table and defined in the Technical Note.

N.B.:

This table should be read to control the technology of a particular `Coating Process' only when the resultant coating in column 3 is in a paragraph directly across from the relevant `Substrate' under column 2. For example, Chemical Vapor Deposition (CVD) `coating process' control the “technology” for a particular application of `silicides' to `Carbon-carbon, Ceramic and Metal “matrix” “composites” substrates, but are not controlled for the application of `silicides' to `Cemented tungsten carbide (16), Silicon carbide (18)' substrates. In the second case, the resultant coating is not listed in the paragraph under column 3 directly across from the paragraph under column 2 listing `Cemented tungsten carbide (16), Silicon carbide (18).'

27. In supplement no. 1 to part 774, Category 3, Product Group A is amended by revising Notes 1 and 2 and N.B. before ECCN 3A001 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, or 3A001.a.12 to 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, or 3A001.a.12 to 3A001.a.14, which 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, and 3A001.a.12 to 3A001.a.14.

28. In supplement no. 1 to part 774, Category 3, ECCN 3A001 is revised to read as follows:

3A001 Electronic items as follows (see List of Items Controlled).

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

NP applies to pulse discharge capacitors 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

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.

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:

$1,500: 3A001.c

$3,000: 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.

$5,000: 3A001.a (except a.1.a and a.5.a when controlled for MT), b.4 to b.7, and b.12.

GBS:

Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled for MT), b.2 (exported or reexported for use in civil telecommunications applications), b.8 (except for vacuum electronic device amplifiers exceeding 18 GHz), b.9, b.10, .g, .h, and .i.

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

Gy (Si) = 5 × 10

Rads (Si); 5 × 10

Gy (Si)/s = 5 × 10

Rads (Si)/s.

Items:

a. General purpose integrated circuits, as follows:

Note 1:

The control status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3A001.a.

Note 2:

Integrated circuits include the following types:

—“Monolithic integrated circuits”

— “Hybrid integrated circuits”;

— “Multichip integrated circuits”;

— “Film type integrated circuits”, including silicon-on-sapphire integrated circuits;

— “Optical integrated circuits”;

— “Three dimensional integrated circuits”;

— “Monolithic Microwave Integrated Circuits” (“MMICs”).

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

Gy (Si), or higher;

a.1.b. A dose rate upset of 5 × 10

Gy (Si)/s, or higher;

a.1.c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 10

n/cm

or higher on silicon, or its equivalent for other materials;

Note:

3A001.a.1.c does not apply to Metal Insulator Semiconductors (MIS).

a.2. “Microprocessor microcircuits”, “microcomputer microcircuits”, microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analog-to-digital converters, integrated circuits that contain analog-to-digital converters and store or process the digitized data, digital-to-analog converters, electro-optical or “optical integrated circuits” designed for “signal processing”, field programmable logic devices, custom integrated circuits for which either the function is unknown or the control status of the equipment in which the integrated circuit will be used in unknown, Fast Fourier Transform (FFT) processors, Static Random-Access Memories (SRAMs), or ‘non-volatile memories,’ having any of the following:

Technical Note:

‘Non-volatile memories’ are memories with data retention over a period of time after a power shutdown.

a.2.a. Rated for operation at an ambient temperature above 398 K (+125 °C);

a.2.b. Rated for operation at an ambient temperature below 218 K (−55 °C);

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 a “sample rate” greater than 1.3 Giga Samples Per Second (GSPS);

a.5.a.2. A resolution of 10 bit or more, but less than 12 bit, with a “sample rate” rate greater than 600 Mega Samples Per Second (MSPS);

a.5.a.3. A resolution of 12 bit or more, but less than 14 bit, with a “sample rate” rate greater than 400 MSPS;

a.5.a.4. A resolution of 14 bit or more, but less than 16 bit, with a “sample rate” rate greater than 250 MSPS;

a.5.a.5. A resolution of 16 bit or more with a “sample rate” rate greater than 65 MSPS;

N.B.:

For integrated circuits that contain analog-to-digital converters and store or process the digitized data see 3A001.a.14.

Technical Notes:

1. A resolution of n bit corresponds to a quantization of 2

levels.

2. The resolution of the ADC is the number of bits of the digital output that represents the measured analog input. Effective Number of Bits (ENOB) is not used to determine the resolution of the ADC.

3. For “multiple channel ADCs”, the “sample rate” is not aggregated and the “sample rate” is the maximum rate of any single channel.

4. For “interleaved ADCs” or for “multiple channel ADCs” that are specified to have an interleaved mode of operation, the “sample rates” are aggregated and the “sample rate” is the maximum combined total rate of all of the interleaved channels.

a.5.b. Digital-to-Analog Converters (DAC) having any of the following:

a.5.b.1. A resolution of 10 bit or more with an ‘adjusted update rate’ of greater than 3,500 MSPS;

a.5.b.2. A resolution of 12-bit or more with an ‘adjusted update rate’ of greater than 1,250 MSPS and having any of the following:

a.5.b.2.a. A settling time less than 9 ns to arrive at or within 0.024% of full scale from a full scale step;

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;

a.7.b. An ‘aggregate one-way peak serial transceiver data rate’ of 500 Gb/s or greater;

Note:

3A001.a.7 includes:

—Complex Programmable Logic Devices (CPLDs)

—Field Programmable Gate Arrays (FPGAs)

—Field Programmable Logic Arrays (FPLAs)

—Field Programmable Interconnects (FPICs)

N.B.:

For integrated circuits having field programmable logic devices that are combined with an analog-to-digital converter, see 3A001.a.14.

Technical Notes:

1. Maximum number of digital input/outputs in 3A001.a.7.a is also referred to as maximum user input/outputs or maximum available input/outputs, whether the integrated circuit is packaged or bare die.

2. ‘Aggregate one-way peak serial transceiver data rate’ is the product of the peak serial one-way transceiver data rate times the number of transceivers on the FPGA.

a.8. [Reserved]

a.9. Neural network integrated circuits;

a.10. Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following:

a.10.a. More than 1,500 terminals;

a.10.b. A typical “basic gate propagation delay time” of less than 0.02 ns;

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);

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

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;

a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC resolution of 12 bit or more;

Technical Note:

The DAC clock frequency may be specified as the master clock frequency or the input clock frequency.

a.14. Integrated circuits that perform or are programmable to perform all of the following:

a.14.a. Analog-to-digital conversions meeting any of the following:

a.14.a.1. A resolution of 8 bit or more, but less than 10 bit, with a “sample rate” greater than 1.3 Giga Samples Per Second (GSPS);

a.14.a.2. A resolution of 10 bit or more, but less than 12 bit, with a “sample rate” greater than 1.0 GSPS;

a.14.a.3. A resolution of 12 bit or more, but less than 14 bit, with a “sample rate” greater than 1.0 GSPS;

a.14.a.4. A resolution of 14 bit or more, but less than 16 bit, with a “sample rate” greater than 400 Mega Samples Per Second (MSPS);

a.14.a.5. A resolution of 16 bit or more with a “sample rate” greater than 180 MSPS;

and

a.14.b. Any of the following:

a.14.b.1. Storage of digitized data;

a.14.b.2. Processing of digitized data;

N.B. 1:

For analog-to-digital converter integrated circuits see 3A001.a.5.a.

N.B. 2:

For field programmable logic devices see 3A001.a.7.

Technical Notes:

1. A resolution of n bit corresponds to a quantization of 2

levels.

2. The resolution of the ADC is the number of bits of the digital output of the ADC that represents the measured analog input. Effective Number of Bits (ENOB) is not used to determine the resolution of the ADC.

3. For integrated circuits with non-interleaving “multiple channel ADCs”, the “sample rate” is not aggregated and the “sample rate” is the maximum rate of any single channel.

4. For integrated circuits with “interleaved ADCs” or with “multiple channel ADCs” that are specified to have an interleaved mode of operation, the “sample rates” are aggregated and the “sample rate” is the maximum combined total rate of all of the interleaved channels.

b. Microwave or millimeter wave items, as follows:

Technical Note:

1. For purposes of 3A001.b, the parameter peak saturated power output may also be referred to on product data sheets as output power, saturated power output, maximum power output, peak power output, or peak envelope power output.

2. For purposes of 3A001.b.1, ‘vacuum electronic devices’ are electronic devices based on the interaction of an electron beam with an electromagnetic wave propagating in a vacuum circuit or interacting with radio-frequency vacuum cavity resonators. ‘Vacuum electronic devices’ include klystrons, traveling-wave tubes, and their derivatives.

b.1. ‘Vacuum electronic devices’ and cathodes, as follows:

Note 1:

3A001.b.1 does not control ‘vacuum electronic devices’ designed or rated for operation in any frequency band and having all of the following:

a. Does not exceed 31.8 GHz; and

b. Is “allocated by the ITU” for radio-communications services, but not for radio-determination.

Note 2:

3A001.b.1 does not control non-“space-qualified” ‘vacuum electronic devices’ having all the following:

a. An average output power equal to or less than 50 W; and

b. Designed or rated for operation in any frequency band and having all of the following:

1. Exceeds 31.8 GHz but does not exceed 43.5 GHz; and

2. Is “allocated by the ITU” for radio-communications services, but not for radio-determination.

b.1.a. Traveling-wave ‘vacuum electronic devices,’ pulsed or continuous wave, as follows:

b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;

b.1.a.2. Devices having a cathode heater with a turn on time to rated RF power of less than 3 seconds;

b.1.a.3. Coupled cavity devices, or derivatives thereof, with a “fractional bandwidth” of more than 7% or a peak power exceeding 2.5 kW;

b.1.a.4. Devices based on helix, folded waveguide, or serpentine waveguide circuits, or derivatives thereof, having any of the following:

b.1.a.4.a. An “instantaneous bandwidth” of more than one octave, and average power (expressed in kW) times frequency (expressed in GHz) of more than 0.5;

b.1.a.4.b. An “instantaneous bandwidth” of one octave or less, and average power (expressed in kW) times frequency (expressed in GHz) of more than 1;

b.1.a.4.c. Being “space-qualified”;

b.1.a.4.d. Having a gridded electron gun;

b.1.a.5. Devices with a “fractional bandwidth” greater than or equal to 10%, with any of the following:

b.1.a.5.a. An annular electron beam;

b.1.a.5.b. A non-axisymmetric electron beam;

b.1.a.5.c. Multiple electron beams;

b.1.b. Crossed-field amplifier ‘vacuum electronic devices' with a gain of more than 17 dB;

b.1.c. Thermionic cathodes, designed for `vacuum electronic devices,’ producing an emission current density at rated operating conditions exceeding 5 A/cm

or a pulsed (non-continuous) current density at rated operating conditions exceeding 10 A/cm

;

b.1.d. ‘Vacuum electronic devices’ with the capability to operate in a ‘dual mode.’

Technical Note:

‘Dual mode’ means the ‘vacuum electronic device’ beam current can be intentionally changed between continuous-wave and pulsed mode operation by use of a grid and produces a peak pulse output power greater than the continuous-wave output power.

b.2. “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers that are any of the following:

N.B.:

For “MMIC” amplifiers that have an integrated phase shifter see 3A001.b.12.

b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz with a “fractional bandwidth” greater than 15%, and having any of the following:

b.2.a.1. A peak saturated power output greater than 75 W (48.75 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;

b.2.a.2. A peak saturated power output greater than 55 W (47.4 dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;

b.2.a.3. A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;

b.2.a.4. A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;

b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up to and including 16 GHz with a “fractional bandwidth” greater than 10%, and having any of the following:

b.2.b.1. A peak saturated power output greater than 10 W (40 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;

b.2.b.2. A peak saturated power output greater than 5 W (37 dBm) at any frequency exceeding 8.5 GHz up to and including 16 GHz;

b.2.c. Rated for operation with a peak saturated power output greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz, and with a “fractional bandwidth” of greater than 10%;

b.2.d. Rated for operation with a peak saturated power output greater than 0.1n W (-70 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz;

b.2.e. Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz, and with a “fractional bandwidth” of greater than 10%;

b.2.f. Rated for operation with a peak saturated power output greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz, and with a “fractional bandwidth” of greater than 10%;

b.2.g. Rated for operation with a peak saturated power output greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a “fractional bandwidth” of greater than 5%;

b.2.h. Rated for operation with a peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;

Note 1:

[Reserved]

Note 2:

The control status of the “MMIC” whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.2.a through 3A001.b.2.h, is determined by the lowest peak saturated power output control threshold.

Note 3:

Notes 1 and 2 following the Category 3 heading for product group A. Systems, Equipment, and Components mean that 3A001.b.2 does not control “MMICs” if they are “specially designed” for other applications,

e.g.,

telecommunications, radar, automobiles.

b.3. Discrete microwave transistors that are any of the following:

b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz and having any of the following:

b.3.a.1. A peak saturated power output greater than 400 W (56 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;

b.3.a.2. A peak saturated power output greater than 205 W (53.12 dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;

b.3.a.3. A peak saturated power output greater than 115 W (50.61 dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;

b.3.a.4. A peak saturated power output greater than 60 W (47.78 dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;

b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up to and including 31.8 GHz and having any of the following:

b.3.b.1. A peak saturated power output greater than 50 W (47 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;

b.3.b.2. A peak saturated power output greater than 15 W (41.76 dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;

b.3.b.3. A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;

b.3.b.4. A peak saturated power output greater than 7 W (38.45 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;

b.3.c. Rated for operation with a peak saturated power output greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz;

b.3.d. Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz;

b.3.e. Rated for operation with a peak saturated power output greater than 0.1 nW (−70 dBm) at any frequency exceeding 43.5 GHz;

Note 1:

The control status of a transistor, whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.3.a through 3A001.b.3.e, is determined by the lowest peak saturated power output control threshold.

Note 2:

3A001.b.3 includes bare dice, dice mounted on carriers, or dice mounted in packages. Some discrete transistors may also be referred to as power amplifiers, but the status of these discrete transistors is determined by 3A001.b.3.

b.4. Microwave solid state amplifiers and microwave assemblies/modules containing microwave solid state amplifiers, that are any of the following:

b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz with a “fractional bandwidth” greater than 15%, and having any of the following:

b.4.a.1. A peak saturated power output greater than 500 W (57 dBm) at any

frequency exceeding 2.7 GHz up to and including 2.9 GHz;

b.4.a.2. A peak saturated power output greater than 270 W (54.3 dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;

b.4.a.3. A peak saturated power output greater than 200 W (53 dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;

b.4.a.4. A peak saturated power output greater than 90 W (49.54 dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;

b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up to and including 31.8 GHz with a “fractional bandwidth” greater than 10%, and having any of the following:

b.4.b.1. A peak saturated power output greater than 70 W (48.54 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;

b.4.b.2. A peak saturated power output greater than 50 W (47 dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;

b.4.b.3. A peak saturated power output greater than 30 W (44.77 dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;

b.4.b.4. A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;

b.4.c. Rated for operation with a peak saturated power output greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz;

b.4.d. Rated for operation with a peak saturated power output greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz, and with a “fractional bandwidth” of greater than 10%;

b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and having any of the following:

b.4.e.1. A peak saturated power output greater than 0.2 W (23 dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz, and with a “fractional bandwidth” of greater than 10%;

b.4.e.2. A peak saturated power output greater than 20 mW (13 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a “fractional bandwidth” of greater than 5%;

b.4.e.3. A peak saturated power output greater than 0.1 nW (−70 dBm) at any frequency exceeding 90 GHz;

b.4.f. [Reserved]

N.B.:

1. For “MMIC” amplifiers see 3A001.b.2.

2. For ‘transmit/receive modules’ and ‘transmit modules’ see 3A001.b.12.

3. For converters and harmonic mixers, designed to extend the operating or frequency range of signal analyzers, signal generators, network analyzers or microwave test receivers, see 3A001.b.7.

Note 1:

[Reserved]

Note 2:

The control status of an item whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined by the lowest peak saturated power output control threshold.

b.5. Electronically or magnetically tunable band-pass or band-stop filters, having more than 5 tunable resonators capable of tuning across a 1.5:1 frequency band (f

max

min

) in less than 10 μs and having any of the following:

b.5.a. A band-pass bandwidth of more than 0.5% of center frequency;

b.5.b. A band-stop bandwidth of less than 0.5% of center frequency;

b.6. [Reserved]

b.7. Converters and harmonic mixers, that are any of the following:

b.7.a. Designed to extend the frequency range of “signal analyzers” beyond 90 GHz;

b.7.b. Designed to extend the operating range of signal generators as follows:

b.7.b.1. Beyond 90 GHz;

b.7.b.2. To an output power greater than 100 mW (20 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;

b.7.c. Designed to extend the operating range of network analyzers as follows:

b.7.c.1. Beyond 110 GHz;

b.7.c.2. To an output power greater than 31.62 mW (15 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;

b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere within the frequency range exceeding 90 GHz but not exceeding 110 GHz;

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