Wassenaar Arrangement 2018 Plenary Decisions Implementation; and Other Revisions Related to National Security Controls

Federal RegisterSep 11, 2020

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 743, 772, and 774

[Docket No. 200717-0194]

RIN 0694-AH77

Wassenaar Arrangement 2018 Plenary Decisions Implementation; and Other Revisions Related to National Security Controls

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 and other corresponding parts of the EAR, to implement changes made to the Wassenaar Arrangement List of Dual-Use Goods and Technologies and Munitions List (WA Lists) maintained by the governments participating in the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies (Wassenaar Arrangement, or WA) at the December 2018 WA Plenary meeting. The Wassenaar Arrangement advocates implementation of effective export controls on strategic items with the objective of improving regional and international security and stability. BIS published a final rule on May 23, 2019, implementing certain new controls on emerging technologies, as decided at the 2018 Plenary meeting. This rule harmonizes the CCL with the remaining decisions reached at the 2018 Plenary meeting by revising Export Control Classification Numbers (ECCNs) controlled for national security reasons in each category of the CCL, except Category 4. This rule also makes other associated changes to the EAR, as well as adjustments to license exception eligibility for national security-controlled items and revisions to reporting requirements.

DATES:

This rule is effective September 11, 2020.

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 or

Joseph.Giunta@bis.doc.gov.

Category 3:

Brian Baker at 202-482-5534 or

Brian.Baker@bis.doc.gov.

Categories 4 & 5:

Aaron Amundson or Anita Zinzuvadia 202-482-0707 or

Aaron.Amundson@bis.doc.gov

Anita.Zinzuvadia@bis.doc.gov.

Category 6 (optics):

John Varesi 202-482-1114 or

John.Varesi@bis.doc.gov.

Category 6 (lasers and radar):

Michael Rithmire 202-482-6105 or

Michael.Rithmire@bis.doc.gov

Category 6 (sensors and cameras):

John Varesi 202-482-1114 or

John.Varesi@bis.doc.gov.

Categories 7 & 9:

Michael Rithmire 202-482-6105 or Michael Tu 202-482-6462 or

Michael.Rithmire@bis.doc.gov

Michael.Tu@bis.doc.gov.

Category 8:

Michael Tu 202-6462 or

Michael.Tu@bis.doc.gov.

Category 9x515 (Satellites):

Michael Tu 202-482-6462 or

Michael.Tu@bis.doc.gov.

Category “600 Series” (Munitions Items):

Jeffrey Leitz at 202-482-7417 or

Jeffrey.Leitz@bis.doc.gov.

SUPPLEMENTARY INFORMATION:

Background

The Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies (Wassenaar or WA) (

https://www.wassenaar.org

) is a group of 42 like-minded Participating States committed to promoting transparency and greater responsibility in transfers of conventional arms and dual-use goods and technologies, thus preventing destabilizing accumulations of those items. As a Participating State, the United States has committed to controlling for export all items on the WA Lists. The lists were first established in 1996 and have been revised annually thereafter. Proposals for changes to the WA Lists that achieve consensus are approved by Participating States at annual plenary meetings. Participating States are charged with implementing the list changes as soon as possible after approval. The United States' implementation of changes to the WA Lists ensures U.S. companies have a level playing field with competitors in other WA Participating States.

By a final rule published on May 23, 2019 (84 FR 23886), BIS implemented changes decided at the December 2018 Plenary Meeting concerning five emerging technologies essential to the national security of the United States, specifically, discrete microwave transistors, continuity of operation software, post-quantum cryptography, underwater transducers designed to operate as hydrophones, and air-launch platforms. The changes in this rule, which reflect the remaining changes to the WA Lists that were approved at the December 2018 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 ECCNs in the Commerce Control List To Implement WA 2018 Plenary Decisions

Following are lists of the ECCNs in the CCL that are revised or added by this rule in order to implement the WA 2018 Plenary decisions. Each change is further described below, by category.

Revisions to (28) ECCNs:

0A617, 1C001, 2A001, 2B003, 2B006, 3A001, 3A002, 3B001, 3E003, 5E001, 5A002, 5D002, 5E002, 5E992, 6A003, 6A005, 7A002, 7A003, 7A005, 7D003, 7D005, 8A001, 8A002, 8B001, 9A010, 9A610, 9B001, and 9E003.

License Exception Revisions to ECCNs:

1C004: GBS; 8A001: LVS, STA; 8D001: TSR, STA; 8E001: TSR, STA.

New ECCNs:

6B002 (masks and reticles for optical sensors specified in 6A002.a.1.b or 6A002.a.1.d).

Conforming Changes to Eight ECCNs:

0A606, 1A008, 3A991, 6A002, 6E001, 6E002, 8D001, 8E001.

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

0A606 Ground Vehicles and Related Commodities

WA decided to change the phrase “other than those specified by . . .” to “not specified by” as the more concise and consistent way, within the WA List, to indicate that items in an entry are controlled by that entry only if not controlled elsewhere. A similar phrase is used in 0A606.y.8 and is therefore changed for consistency (

i.e.,

“other than those controlled by. . .” is changed to “not controlled by . . .”).

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

For reasons explained above in the description of changes to ECCN 0A606, the phrase “other than those described in” is changed to read “not described in” in 0A617.c.

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

1A004 Protective and Detection Equipment and “Components,” not “Specially Designed” for Military Use

ECCN 1A004 is amended by adding License Exception GBS eligibility for 1A004.a, .b, and .c.2, because these items have a long history of approvals and are deemed not “sensitive” by the WA. In 2018, there were over 800 license applications with 796 approvals. There were two denials for 1A004.d that also would not have qualified under the License Exception GBS eligibility paragraph that is implemented by this rule. The addition of License Exception GBS eligibility for 1A004.a, .b, and .c.2 is estimated to alleviate the need for preparing and processing 200 license applications annually, thus alleviating the burden on reviewing agencies as well as private industry.

1A008 Charges, Devices and “Components”

For reasons explained in the description of changes to ECCN 0A606, the phrase “other than those specified by . . .” is revised to read “not specified by . . .” in 1A008.d. This is changed for consistent treatment of this phrase throughout the CCL.

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

This rule amends ECCN 1C001 by adding paragraph e. (specified planar absorbers) to exclusion Note 1, which is located after the introductory Items paragraph a, as well as a Technical Note to define the term “open-cell foams”.

ANNEX to Category 1, “List of Explosives (See ECCNs 1A004 and 1A008)”

In the List of Explosives that is in the Annex to Category 1, “FOX 7” is corrected by adding a hyphen (“FOX-7”) in paragraph 6 in order to make it consistent with the “FOX-12” in item 46 of this Annex.

Category 2—Materials Processing

2A001 Anti-Friction Bearings and Bearing Systems

The ISO citation reference in Note 2, located at the top of the Items paragraph, is being clarified by changing it from “ISO 3290 as grade 5” to read “ISO 3290:2001 as grade G5” in order to assist the public to find the correct standard by its citation and year of the standard to use for classification purposes. In Items paragraph .a (ball bearings and solid roller bearings), the phrase “or Class 2” is added to the ISO 492 tolerance class reference to clarify which tolerance class is required to satisfy 2A001.

2B003 “Numerically Controlled” Machine Tools

The Heading is amended by deleting the words “or manual” and moving much of the text to the Items paragraph of the List of Items Controlled in order to more clearly state the control text. With this change, there will be three subparagraphs that list separate control parameters previously listed in the Heading.

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

Item paragraph b.1 is amended to replace “a measuring range up to 0.2mm” with “0 to 0.2 mm of the ‘measuring range' ” and adding Technical Note 2 to define ‘measuring range'. The new text will clarify that for purposes of paragraph b.1 “measuring range” means the difference between the minimum and maximum working distance of the probe, and that the measuring range always starts from 0mm. This revision does not change the scope of control for this entry and clarifies the intent of this control.

The Technical Note to the Table on Deposition Techniques in Category 2

This rule corrects the punctuation of paragraph b.4 by replacing the comma with a semi-colon.

Category 3—Electronics

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

The N.B. at the beginning of Category 3, Product Group A, is amended by adding an “or” and replacing an “or” with “to” in order to harmonize the text with the WA List. In addition, Note 3 is added to alert the public to look in specified paragraphs of Category 3 for the classification of wafers (finished or unfinished). Exporters should now understand by reading the note that these wafers are to be evaluated against the control metric, as if they were finished.

3A001 Electronic Items

In the license exception section, under the License Exception GBS paragraph, this rule replaces the term “vacuum electronic device amplifiers” with “vacuum electronic devices” to reflect the correct name of the devices. This term is also added to part 772 “Definitions of Terms Used in the EAR”.

Note 1 under 3A001.a is removed, because the note has been expanded and placed as Note 3 at the beginning of Category 3, Product Group A. Note 2 under 3A001.a is now designated as Note 1.

The Note under Item paragraph 3A001.a.2.c is amended by adding the word “designed”, which narrows the decontrol note to apply only to integrated circuits of 3A001.a.2 that are designed for civil automobile or railway train applications.

The parameters for digital-to-analog converters (DAC) in 3A001.a.5.b are amended by revising 3A001.a.5.b.1 and 3A001.a.5.b.2 to fix the overlapping controls between the two subparagraphs. Specifically, “but less than 12-bit” is added to Item paragraph a.5.b.1, “but not exceeding 3,500 MSPS” is added to Item paragraph a.5.b.2, and a new subparagraph a.5.b.2.b is added to read “An ‘adjusted update rate' exceeding 3,500 MSPS.”

Technical Note 2, located below the introductory text of Item paragraph .b, is removed because the definition of “vacuum electronic devices” is moved to part 772 “Definitions of Terms Used in the EAR”. As a result of this change, all of the single quotes around this term found in 3A001, 3A991.g, 3E003.g are replaced with double quotes to indicate it is a defined term located in part 772.

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

Item paragraph a.6.b is amended by replacing the phrase “A processor that performs analysis of the radio frequency signal data while it is being recorded” with ““Signal processing” of the radio frequency signal data while it is being recorded;”. Including the defined term “signal processing,” the definition of which is found in Part 772, more clearly sets out details of the processing done to the data.

Item paragraph 3A002.d.5 “maximum frequency exceeding 90 GHz” is re-designated as Item paragraph 3A002.d.6. New Item paragraph d.5 adds a control parameter for signal generators having the ability of frequency switching by means of a `Radio Frequency (RF) modulation bandwidth' of digital baseband signals within specified frequency ranges. Three subparagraphs are added (subparagraphs d.5.a through d.5.c) to specify bandwidth and frequency ranges. Also, a Technical Note is added to define `RF modulation bandwidth'. Signal generators meeting any of the parameters in 3A002.d.5 are subject to national security controls to

countries in NS column 2 of the Commerce Country Chart (see supplement no. 1 to part 738 of the EAR) and anti-terrorism controls to countries in AT column 1 of the Commerce Country Chart, as well as any end use or end user controls in part 744 of the EAR. As indicated in the license exception section of this ECCN, this paragraph is eligible for License Exception LVS ($5,000) if all the criteria for this license exception are met and none of the license exception restrictions in § 740.2 apply (see part 740 of the EAR). Transaction-based license exceptions may also be available (see part 740 of the EAR). Use of license exceptions and Validated End-user authorizations for this item may be subject to Wassenaar reporting requirements in § 743.1 of the EAR.

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

The single quotes around the term “vacuum electronic devices” in 3A991.g are replaced with double quotes to indicate the term is defined in part 772. See above explanation under ECCN 3A001.

3B001 Equipment for the Manufacturing of Semiconductor Devices or Materials

Item paragraph 3B001.h “multi-layer masks” is amended by removing subparagraph h.1 (parameter of the substrate blank composition) and merging subparagraph h.2 with Item paragraph .h in order to focus the control solely on the lithography equipment wavelength.

3E003 Other “Technology” for the “Development” or “Production” of Specified Electronics

The single quotes around the term “vacuum electronic devices” in 3E003.g are replaced with double quotes to indicate the term is defined in part 772. See above explanation under ECCN 3A001.

Category 5—Part 1—“Telecommunications”

5E001 “Technology”

This final rule makes an editorial revision in paragraph d.4 by removing two unnecessary spaces, so that the text reads “0.1 nW”.

Category 5—Part 2—“Information Security”

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

The Related Control Note 3 is amended by replacing the term “Global Navigation Satellite Systems (GNSS)” with the EAR defined term “satellite navigation system,” which includes Global Navigation Satellite Systems (GNSS) and Regional Navigation Satellite Systems (RNSS), see part 772.

Exclusion Note 2 of 5A002 is amended by adding a new paragraph j. that lists “items specially designed for a `connected civil industry application'”. Paragraph j. also includes 2 Technical Notes that define `connected civil industry application' and `non-arbitrary data'.

Paragraph 5A002.b is amended by replacing the existing text with “Being a `cryptographic activation token',

i.e.,

“information security” systems, equipment and “components,” that are ‘cryptographic activation tokens' are controlled. A Technical Note is included to explain more about converting by means of “cryptographic activation” and enabling by means of “cryptographic activation”.

5D002 “Software”

Paragraph 5D002.b is amended by replacing a large portion of the text with “having the characteristics of a ‘cryptographic activation token' specified by 5A002.b” to simplify the text and for consistency.

5E002 “Technology”

Paragraph 5E002.b is amended by replacing a large portion of the text with the phrase “having the characteristics of a ‘cryptographic activation token' specified by 5A002.b” to simplify the text and for consistency.

Category 6—Sensors and Lasers

6A002 Optical Sensors and Equipment, and “Components” Therefor

The Related Controls paragraph is amended by adding a seventh Note to refer to new ECCN 6B002 for masks and reticles that are “specially designed” for optical sensors specified by 6A002.a.1.b or 6A002.a.1.d.

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

In Note 3 to 6A003.b.4.b, located under 6A003.b.4.c, paragraph b.1 is amended by revising the exclusion parameter for imaging cameras with minimum horizontal or vertical ‘Instantaneous-Field-of View (IFOV)' of “at least 10 mrad (milliradians)” to “at least 2 mrad (milliradians)”. This change is an update to the parameter to address increased civilian use of imaging cameras with IFOV of at least 2 mrad.

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

The terms ‘single transverse mode' and ‘multiple transverse mode' are not defined in 6A005, but are used to distinguish between parameters for control. This rule adds Note 6 to 6A005 to define these terms using easily identifiable and measurable characteristics of lasers in order for the laser controls to be applied consistently. Therefore, single quotes are added around each of these terms throughout 6A005 to indicate these terms are defined within a Note in 6A005.

Paragraph 6A005.a.6.a is amended by adding a spectral bandwidth parameter for the control of single transverse mode non-tunable continuous wave lasers. This change is being made because the simplest way to characterize scalability of a laser is to specify the laser linewidth, which is essentially a measure of the spectral purity of the laser.

Paragraph 6A005.a.6.b.1 is amended by raising the output power from 500 W to 1000 W because the market for these single-mode lasers has matured substantially in recent years, resulting in increased demand for higher power and beam quality. Also, the lasers with lower power and beam quality have become more available in countries outside the WA membership.

Exclusion Note 2 to 6A005.a.6.b is amended by removing and reserving paragraph a., which stated “having to do with output power exceeding 500 W but not exceeding 1 kW and all of the following: Beam Parameter Product (BPP) exceeding 0.7 mm

•

mrad.” The associated Technical Note to paragraph a. is also removed. In addition, paragraph e. of the Note is amended by raising the upper limit of the output power range from 4 kW to 6 kW, in order to narrow the controls of solid state lasers to the performance of lasers that are available from outside the WA countries. Paragraphs f. and g. of the Note are removed and reserved because of technological advancement of multiple transverse mode industrial lasers.

6B002 Masks and Reticles, “Specially Designed” for Optical Sensors Specified by 6A002.a.1.b or 6A002.a.1.d

Masks and reticles are process tools for electronics components from which the design can be inferred. Masks and reticles are already controlled for integrated circuits in Category 3, under ECCN 3B001.g, when they are designed for circuits specified in 3A001. 6B002 is added to the CCL to control masks and reticles for optical sensors specified in

6A002.a.1.b or 6A002.a.1.d because the inferred design of these masks and reticles would allow the reproduction and/or the retro-engineering of such circuits. ECCN 6B002 items require a license for national security reasons for all countries that have an “X” under NS Column 2 and for anti-terrorism reasons for all countries that have an “X” under AT Column 1 on the Commerce Country Chart in supplement no. 1 to part 738. Adding masks and reticles to ECCN 6B002 will ensure they are controlled to these sensitive destinations.

As indicated under the list-based license exception section of ECCN 6B002, these items are eligible for license exceptions LVS ($5000), and GBS, so long as all the criteria of these license exceptions are met and none of the restrictions of § 740.2 apply. Other license exceptions,

e.g.,

RPL, GOV, and STA, may be available depending on the transaction details and eligibility criteria of the license exceptions in part 740.

6E001 and 6E002 “Technology”

The License Requirements tables of ECCN 6E001 and 6E002 have been amended to revise the national security rows in order to add in the new ECCN 6B002. A license is required for “technology” for the “development” and “production” of masks and reticles controlled by 6B002 for national security and anti-terrorism reasons for countries with an “X” in column NS Column 1 or in column AT Column 1 in the Commerce Country Chart in supplement no. 1 to part 738 of the EAR. For technology that has a license requirement, License Exception TSR is available if all the criteria for TSR are met and none of the restrictions of § 740.2 apply. License Exception STA is available if none of the restrictions outlined in ECCN 6E001 or 6E002 apply, all the criteria of STA are met, and none of the restrictions of § 740.2 apply. Other license exceptions in part 740 may also be available depending on the details of the transaction.

Category 7—Navigation and Avionics

7A002 Gyros or Angular Rate Sensors

ECCN 7A002 is being amended by removing the parenthetical phrase (see list of items controlled) in the Heading because the list of items controlled section of the ECCN contains a list of characteristics instead of a list of items.

Paragraphs 7A002.a.1 and a.2 are amended by replacing “A rate range” with “An angular rate range” in order to more accurately describe the parameter that applies to the change rate of angle.

7A003 ‘Inertial Measurement Equipment or Systems'

ECCN 7A003 is amended by removing the parenthetical phrase (see list of items controlled) in the Heading because the list of items controlled section of the ECCN contains a list of characteristics instead of a list of items.

Paragraph a. of the Technical Note at the beginning of the Items paragraph is amended by replacing “Global Navigation Satellite Systems (GNSS)” with “satellite navigation system” in order to clarify that the control applies to all satellite navigation systems, not just those that have global coverage. The term “satellite navigation system” is added to § 772.1, thus the term is in double quotes.

7A005 “Satellite Navigation System” Receiving Equipment

ECCN 7A005 is amended by removing the parenthetical phrase (see list of items controlled) in the Heading, because the list of items controlled section of the ECCN contains a list of characteristics instead of a list of items.

The Heading, Related Controls, and the Note below Item paragraph 7A005.b are amended by replacing the term “Global Navigation Satellite Systems (GNSS)” with the newly defined term “satellite navigation system” for reasons stated in the explanation under ECCN 7A003 above.

7D003 Other “Software”

ECCN 7D003.b.2 is amended by replacing the term “Global Navigation Satellite Systems (GNSS)” with the newly defined term “satellite navigation system” for reasons stated above under ECCN 7A003.

7D005 “Software” “Specially Designed” to Decrypt “Satellite Navigation System” Ranging Signals Designed for Government Use

The Heading is amended by replacing the term “Global Navigation Satellite Systems (GNSS)” with the newly defined term “satellite navigation system” for reasons stated above under ECCN 7A003.

Category 8—Marine

8A001 Submersible Vehicles and Surface Vessels

Paragraph 8A001.c is amended to specify all unmanned submersible vehicles controlled under ECCN 8A001. Unmanned submersible vehicles are moved from 8A001.d to 8A001.c.1, and 8A001.d is reserved. Unmanned tethered submersible vehicles are moved from 8A001.c to 8A001.c.2. The license requirements for the unmanned tethered submersible vehicles is unchanged and is controlled for national security reasons for NS column 2 countries. The License Exception LVS paragraph is amended by revising the reference to 8A001.d to read 8A001.c.1, and maintaining ineligibility for unmanned untethered submersible vehicles in 8A001.c.1.

8A002 Marine Systems, Equipment, “Parts” and “Components”

Paragraph 8A002.d is amended by cascading the parameters into subparagraphs for clarity. There is no change in the scope of this control by this revision.

8B001 Water Tunnels

The Heading of 8B001 is amended by replacing “having” with “designed to have”, replacing “in the frequency range” with “within the frequency range”, and replacing “from 0 to 500 Hz” with “exceeding 0 Hz but not exceeding 500 Hz”, in order to make clear that only water tunnels designed to meet these parameters are controlled by this entry and that background noise must be less than 100 dB within the frequency range exceeding 0 Hz, but not exceeding 500 Hz.

8D001 “Software” “Specially Designed” or Modified for the “Development,” “Production” or “Use” of Equipment or Materials, Controlled by 8A (Except 8A992), 8B or 8C and

8E001 “Technology” According to the General Technology Note for the “Development” or “Production” of Equipment or Materials, Controlled by 8A (Except 8A992), 8B or 8C

8D001 and 8E001 are amended by replacing the reference to 8A001.d with 8A001.c.1 in the License Exception TSR eligibility paragraph; and amending the Special Conditions for STA by removing the reference to 8A001.d, because unmanned submersible vehicles are moved from 8A001.d to 8A001.c.1, and 8A001.c is already listed in this paragraph.

Category 9—Aerospace and Propulsion

9A010 “Specially Designed” “Parts,” “Components,” Systems and Structures, for Launch Vehicles, Launch Vehicle Propulsion Systems or “Spacecraft”

Paragraph 9A010.d (pulsed liquid rocket engines) is amended by moving the text within parentheses to a new Technical Note below the paragraph.

9A610 Military Aircraft and Related Commodities, Other Than Those Enumerated in 9A991.a

Note 2 to 9A610.a, which excludes from 9A610.a `military aircraft' that were first manufactured before 1946, is amended by adding “or “lighter-than-air vehicles”” after the words `military aircraft,' because there was no intent to maintain controls on lighter-than-air vehicles from pre-1946, or their components.

9B001 Manufacturing Equipment, Tooling or Fixtures

The Heading of 9B001 is amended by adding “manufacturing” to the front and moving the “specially designed for . . . .” phrase to 9B001.b and 9B001.c. Item paragraph 9B001.a (Directional solidification or single crystal casting equipment) is amended by adding the parameter “designed for “superalloys” to narrow the scope of control.

9E003 Other “Technology”

Paragraph 9E003.a.7 (gas turbine engine “parts” or “components” using “diffusion bonding” “technology” controlled by 2D003.b) is removed and reserved, because it is redundant to other controls for such parts and components. Paragraph 9E003.a.7 is not necessary for several reasons. First, diffusion bonding is a subset of solid-state joining. Second, 9E003.a.6 presently controls diffusion bonding and other solid-state joining techniques when applied to the components of concern,

i.e.,

airfoil-to-disk blade combinations. Third, 9E003.a.1-5 also presently controls “development” and “production” “technology” for components of concern, regardless of construction method. Fourth, ECCN 1B003 covers the control of tools, dies, molds or fixtures for diffusion bonding of specified alloys in aircraft/aerospace applications, and ECCN 1E001 controls the “technology” “required” for the “development” or “production” of items controlled by ECCN 1B003. All of these other controls cover what was already controlled in paragraph 9E003.a.7, and therefore to end this redundancy, this paragraph is being removed.

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

The definition of “cryptography” is amended by adding Note 2 to alert the public that “cryptography” includes decryption.

The definition of “radiant sensitivity” is amended by adding a period to the end of the definition.

The definition of “satellite navigation system” is added to § 772.1 in order to clarify that the term applies to all satellite navigation systems, not just those that have global coverage.

The definition of “stability” is amended by revising the Note to the definition to add accelerometers. The term “stability” is used in ECCN 7A001 (accelerometers), specifically in 7A001.a.1.a and a.1.b.

The definition of “vacuum electronic devices” is added to § 772.1. The term was defined in Technical Note 2 under 3A001.b, however, because it is used in two separate ECCNs 3A001.b.1 and 3E003, the definition is removed from 3A001 and added (unchanged) to § 772.1.

Supplement No. 6 to Part 774 “Sensitive List”

Paragraph (3) is amended by re-designating paragraphs (3)(i) through (iii) as paragraphs (3)(iii) through (v) and adding new paragraph (3)(i) 3A001.b.2—“Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers and new paragraph (3)(ii) 3A001.b.3—Discrete microwave transistors, because these items warrant higher levels of control and monitoring. New paragraphs (iv) 3D001and (v) 3E001 are amended by adding reference to 3A001.b.2 and 3A001.b.3. Items on the Sensitive List tend to be ineligible for license exceptions by WA Participating States or are subject to reporting requirements.

Paragraph (6)(xiii) is amended by merging Note 7 and Note 8. Therefore, Note 8 is removed.

Paragraphs (8)(i) “8A001.b” and introductory paragraphs (ii) “8A002.b”, (vi) “8D001” and (viii) “8E001” are amended by replacing “8A001.b to .d” with “8A001.b. to .c” because the Item paragraph specifying unmanned submersible vehicles is moved from 8A001.d to 8A001.c.1.

Supplement No. 7 to Part 774—Very Sensitive List

The WA Very Sensitive List (VSL) is amended by revising paragraph (5) of Category 8 to replace paragraph citations “8A001.d” with “8A001.c.1” throughout paragraph (5), because the item 8A001.d is moved to c.1 in this final rule (see explanation above under 8A001).

Other National Security Revisions

This rule revises paragraph (b) in § 743.3 “Thermal Imaging Camera Reporting” by only requiring the report for exports of more than 100 thermal imaging devices in a monocular, biocular, or binocular configuration. This will reduce the burden on the public and only require the report for exports of concern.

Export Control Reform Act of 2018

On August 13, 2018, the President signed into law the John S. McCain National Defense Authorization Act for Fiscal Year 2019, which included the Export Control Reform Act of 2018 (ECRA), 50 U.S.C. Sections 4801-4852. ECRA provides the legal basis for BIS's principal authorities and serves as the authority under which BIS issues this rule.

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 September 11, 2020, 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 November 10, 2020. Any such items not actually exported, reexported or transferred (in-country) before midnight, on November 10, 2020, 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 consensus decisions 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”, which 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; 0694-0096 “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. This rule revises Section 743.3 “Thermal Imaging Reporting Requirements” by narrowing the reporting requirement, which carried a burden hour estimate of 60 minutes per submission and 60 submissions per year under collection 0694-0137 “License Exceptions and Exclusions.” Because collection 0694-0137 applies to a group of collections with a burden hour estimate average based upon the burden hours and responses for a large total number of collections, the current burden hour estimate average for collection 0694-0137 is not affected by this rule's revision of the Section 743.3 “Thermal Imaging Reporting Requirements,” and therefore remains at 1.5 hours per submission.

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

Pursuant to Section 4821 of ECRA, this action is exempt from the Administrative Procedure Act (5 U.S.C. 553) requirements for notice of proposed rulemaking, opportunity for public participation and delay in effective date.

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 743

Administrative practice and procedure, Reporting and recordkeeping requirements.

15 CFR Part 772

Exports.

15 CFR Part 774

Exports, Reporting and recordkeeping requirements.

Accordingly, parts 743, 772, and 774 of the Export Administration Regulations (15 CFR parts 730 through 774) are amended as follows:

PART 743—[AMENDED]

1. The authority citation for part 743 is revised to read as follows:

Authority:

50 U.S.C. 4801

et seq.;

50 U.S.C. 1701

et seq.;

E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13637, 78 FR 16129, 3 CFR, 2014 Comp., p. 223; 78 FR 16129; Notice of May 7, 2020, 85 FR 27639.

2. Section 743.3 is amended by revising paragraph (b) to read as follows:

§ 743.3

Thermal imaging camera reporting.

(b)

Transactions to be reported.

Exports that are not authorized by an individually validated license of more than 100 thermal imaging cameras in a monocular, biocular or binocular configuration controlled by ECCN 6A003.b.4.b to a destination in Country Group A:1 (see supplement no. 1 to part 740 of the EAR), except Canada, must be reported to BIS.

PART 772—[AMENDED]

3. The authority citation for part 772 is continues to read as follows:

Authority:

50 U.S.C. 4801

et seq.;

50 U.S.C. 1701

et seq.;

E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.

4. Section 772.1 is amended by:

a. Revising the definitions of “cryptography” and “radiant sensitivity”;

b. Adding a definition for “satellite navigation system” in alphabetical order;

c. Revising the definition of “stability”; and

d. Adding a definition for “vacuum electronic devices” in alphabetical order.

The revisions and additions read as follows:

§ 772.1

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

Cryptography

(Cat 5P2)—The discipline that embodies principles, means and methods for the transformation of data in order to hide its information content, prevent its undetected modification or prevent its unauthorized use. “Cryptography” is limited to the transformation of information using one or more `secret parameters' (

e.g.,

crypto variables) and/or associated key management.

Notes:

1. “Cryptography” does not include `fixed' data compression or coding techniques.

2. “Cryptography” includes decryption.

Technical Notes:

1. ‘Secret parameter': A constant or key kept from the knowledge of others or shared only within a group.

2. ‘Fixed': The coding or compression algorithm cannot accept externally

supplied parameters (

e.g.,

cryptographic or key variables) and cannot be modified by the user.

Radiant sensitivity

(Cat 6)—Radiant sensitivity (mA/W) = 0.807 × (wavelength in nm) × `Quantum Efficiency (QE)'.

Technical Note:

`QE' is usually expressed as a percentage; however, for the purposes of this formula `QE' is expressed as a decimal number less than one, e.g., 78% is 0.78.

Satellite navigation system

(Cat 5P2, 7)—A system consisting of ground stations, a constellation of satellites, and receivers, that enables receiver locations to be calculated on the basis of signals received from the satellites. It includes Global Navigation Satellite Systems (GNSS) and Regional Navigation Satellite Systems (RNSS).

Stability

(Cat 7) Standard deviation (1 sigma) of the variation of a particular parameter from its calibrated value measured under stable temperature conditions. This can be expressed as a function of time.

Note:

For gyroscopes and accelerometers, “stability” can be estimated by determining the Allan variance noise-analysis value at the integration period (i.e., sample time) consistent with the stated measurement period, which may include extrapolating the Allan variance noise analysis beyond the instability point into the rate/acceleration random walk or rate/acceleration ramp regions to an integration period consistent with the stated measurement period (Reference: IEEE Std. 952-1997 [R2008] or IEEE Std 1293-1998 [R2008])

Vacuum electronic devices

(Cat 3) 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, travelling-wave tubes, and their derivatives.

PART 774—[AMENDED]

5. The authority citation for part 774 continues to read as follows:

Authority:

50 U.S.C. 4801

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.

6. In Supplement No. 1 to part 774 (the Commerce Control List), Category 0, ECCN 0A606 is revised to read as follow:

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

0A606 Ground Vehicles and Related Commodities, as Follows (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 0A606.b and .y

NS Column 1

NS applies to 0A606.b

NS Column 2

RS applies to entire entry, except 0A606.b and .y

RS Column 1

RS applies to 0A606.b

RS Column 2

RS applies to 0A606.y

China, Russia, or Venezuela (see § 742.6(a)(7))

AT applies to entire entry

AT Column 1

UN applies to entire entry, except 0A606.y

See § 746.1(b)

for UN controls

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

LVS:

$1,500

GBS:

N/A

Special Conditions for STA

STA:

(1) Paragraph (c)(1) of License Exception STA (§ 740.20(c)(1) of the EAR) may not be used for any item in 0A606.a, unless determined by BIS to be eligible for License Exception STA in accordance with § 740.20(g) (License Exception STA eligibility requests for 9x515 and “600 series” items). (2) Paragraph (c)(2) of License Exception STA (§ 740.20(c)(2) of the EAR) may not be used for any item in 0A606.

List of Items Controlled

Related Controls:

(1) The ground vehicles, other articles, technical data (including software) and services described in 22 CFR part 121, Category VII are subject to the jurisdiction of the International Traffic in Arms Regulations. (2) See ECCN 0A919 for foreign-made “military commodities” that incorporate more than a

de minimis

amount of U.S.-origin “600 series” controlled content.

Related Definitions:

N/A

Items:

a. Ground vehicles, whether manned or unmanned, “specially designed” for a military use and not enumerated or otherwise described in USML Category VII.

Note 1 to paragraph .a:

For purposes of paragraph .a, “ground vehicles” include (i) tanks and armored vehicles manufactured prior to 1956 that have not been modified since 1955 and that do not contain a functional weapon or a weapon capable of becoming functional through repair; (ii) military railway trains except those that are armed or are “specially designed” to launch missiles; (iii) unarmored military recovery and other support vehicles; (iv) unarmored, unarmed vehicles with mounts or hard points for firearms of .50 caliber or less; and (v) trailers “specially designed” for use with other ground vehicles enumerated in USML Category VII or ECCN 0A606.a, and not separately enumerated or otherwise described in USML Category VII. For purposes of this note, the term “modified” does not include incorporation of safety features required by law, cosmetic changes (e.g., different paint or repositioning of bolt holes) or addition of “parts” or “components” available prior to 1956.

Note 2 to paragraph .a:

A ground vehicle's being “specially designed” for military use for purposes of determining controls under paragraph .a. entails a structural, electrical or mechanical feature involving one or more “components” that are “specially designed” for military use. Such “components” include:

a. Pneumatic tire casings of a kind “specially designed” to be bullet-proof;

b. Armored protection of vital “parts” (e.g., fuel tanks or vehicle cabs);

c. Special reinforcements or mountings for weapons;

d. Black-out lighting.

b. Other ground vehicles, “parts” and “components,” as follows:

b.1. Unarmed vehicles that are derived from civilian vehicles and that have all of the following:

b.1.a. Manufactured or fitted with materials or “components” other than reactive or electromagnetic armor to provide ballistic protection to level III (National Institute of Justice standard 0108.01, September 1985) or better;

b.1.b. A transmission to provide drive to both front and rear wheels simultaneously, including those vehicles having additional wheels for load bearing purposes whether driven or not;

b.1.c. Gross vehicle weight rating (GVWR) greater than 4,500 kg;

and

b.1.d. Designed or modified for off-road use.

b.2. “Parts” and “components” having all of the following:

b.2.a. “Specially designed” for vehicles specified in paragraph .b.1 of this entry;

and

b.2.b. Providing ballistic protection to level III (National Institute of Justice standard 0108.01, September 1985) or better.

Note 1 to paragraph b:

Ground vehicles otherwise controlled by 0A606.b.1 that contain reactive or electromagnetic armor are subject to the controls of USML Category VII.

Note 2 to paragraph b:

ECCN 0A606.b.1 does not control civilian vehicles “specially designed” for transporting money or valuables.

Note 3 to paragraph b:

“Unarmed” means not having installed weapons, installed mountings for weapons, or special reinforcements for mounts for weapons.

c. Air-cooled diesel engines and engine blocks for armored vehicles that weigh more than 40 tons.

d. Fully automatic continuously variable transmissions for tracked combat vehicles.

e. Deep water fording kits “specially designed” for ground vehicles controlled by ECCN 0A606.a or USML Category VII.

f. Self-launching bridge “components” not enumerated in USML Category VII(g) “specially designed” for deployment by ground vehicles enumerated in USML Category VII or this ECCN.

g. through w. [Reserved]

x. “Parts,” “components,” “accessories,” and “attachments” that are “specially designed” for a commodity enumerated or otherwise described in ECCN 0A606 (other than 0A606.b or 0A606.y) or a defense article enumerated in USML Category VII and not elsewhere specified on the USML or in 0A606.y.

Note 1:

Forgings, castings, and other unfinished products, such as extrusions and machined bodies, that have reached a stage in manufacture where they are clearly identifiable by mechanical properties, material composition, geometry, or function as commodities controlled by ECCN 0A606.x are controlled by ECCN 0A606.x.

Note 2:

“Parts,” “components,” “accessories” and “attachments” enumerated in USML paragraph VII(g) are subject to the controls of that paragraph. “Parts,” “components,” “accessories” and “attachments” described in ECCN 0A606.y are subject to the controls of that paragraph.

y. Specific “parts,” “components,” “accessories,” and “attachments” “specially designed” for a commodity enumerated or otherwise described in this ECCN (other than ECCN 0A606.b) or for a defense article in USML Category VII and not elsewhere specified on the USML or the CCL, as follows, and “parts,” “components,” “accessories,” and “attachments” “specially designed” therefor:

y.1. Brake discs, rotors, drums, calipers, cylinders, pads, shoes, lines, hoses, vacuum boosters, and parts therefor;

y.2. Alternators and generators;

y.3. Axles;

y.4. Batteries;

y.5. Bearings (

e.g.,

ball, roller, wheel);

y.6. Cables, cable assembles, and connectors;

y.7. Cooling system hoses;

y.8. Hydraulic, fuel, oil, and air filters, not controlled by ECCN 1A004;

y.9. Gaskets and o-rings;

y.10. Hydraulic system hoses, fittings, couplings, adapters, and valves;

y.11. Latches and hinges;

y.12. Lighting systems, fuses, and “components;”

y.13. Pneumatic hoses, fittings, adapters, couplings, and valves;

y.14. Seats, seat assemblies, seat supports, and harnesses;

y.15 Tires, except run flat; and

y.16 Windows, except those for armored vehicles.

7. In Supplement No. 1 to part 774, Category 0, ECCN 0A617 is revised to read as follow:

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

RS applies to 0A617.y

China, Russia, or Venezuela (see § 742.6(a)(7))

AT applies to entire entry

AT Column 1

UN applies to entire

entry, except 0A617.y.

See § 764.1(b) for UN controls

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

LVS:

$1500

GBS:

N/A

Special Conditions for STA

STA:

Paragraph (c)(2) of License Exception STA (§ 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 not 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.

8. In Supplement No. 1 to part 774, Category 1, ECCN 1A004 is revised to read as follow:

1A004 Protective and Detection Equipment and “Components,” Not “Specially Designed” for Military Use, as Follows (See List of Items Controlled).

License Requirements

Reason for Control:

NS, CB, RS, AT

Control(s)

Country chart (see Supp. No. 1 to

part 738)

NS applies to entire entry

NS Column 2

CB applies to chemical detection systems and dedicated detectors therefor, in 1A004.c, that also have the technical characteristic

CB Column 2

RS apply to 1A004.d

RS Column 2

AT applies to entire entry

AT Column 1

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

LVS:

N/A

GBS:

Yes for 1A004.a, .b, and .c.2.

List of Items Controlled

Related Controls:

(1) See ECCNs

1A995,

2B351, and 2B352. (2) See ECCN

1D003

for “software” “specially designed” or modified to enable equipment to perform the functions of equipment controlled under section

1A004.c

(Nuclear, biological and chemical (NBC) detection systems). (3) See ECCN

1E002.g

for control libraries (parametric technical databases) “specially designed” or modified to enable equipment to perform the functions of equipment controlled under

1A004.c

(Nuclear, biological and chemical (NBC) detection systems). (4) Chemical and biological protective and detection equipment specifically designed, developed, modified, configured, or adapted for military applications is “subject to the ITAR” (see 22 CFR parts 120 through 130, including USML Category XIV(f)), as is commercial equipment that incorporates “parts” or “components” controlled under that category except for domestic preparedness devices for individual protection that integrate “components” and “parts” identified in USML Category XIV(f)(4) when such “parts” or “components” are: (1) Integral to the device; (2) inseparable from the device; and (3) incapable of replacement without compromising the effectiveness of the device, in which case the equipment is subject to the export licensing jurisdiction of the Department of Commerce under ECCN

1A004.

(5) This entry does not control radionuclides incorporated in equipment listed in this entry—such materials are subject to the licensing jurisdiction of the Nuclear Regulatory Commission (See 10 CFR part 110).

Related Definitions:

(1) ‘Biological agents' means: Pathogens or toxins, selected or modified (such as altering purity, shelf life, virulence, dissemination characteristics, or resistance to UV radiation) to produce casualties in humans or animals, degrade equipment or damage crops or the environment. (2) ‘Riot control agents' are substances which, under the expected conditions of use for riot control purposes, produce rapidly in humans sensory irritation or disabling physical effects which disappear within a short time following termination of exposure. (Tear gases are a subset of ‘riot control agents.')

Items:

a. Full face masks, filter canisters and decontamination equipment therefor, designed or modified for defense against any of the following, and “specially designed” “components” therefor:

Note:

1A004.a includes Powered Air Purifying Respirators (PAPR) that are designed or modified for defense against agents or materials, listed in 1A004.a.

Technical Notes:

For the purpose of 1A004.a:

1. Full face masks are also known as gas masks.

2. Filter canisters include filter cartridges.

a.1. ‘Biological agents';

a.2. ‘Radioactive materials;'

a.3. Chemical warfare (CW) agents;

a.4. ‘Riot control agents', as follows:

a.4.a. α-Bromobenzeneacetonitrile, (Bromobenzyl cyanide) (CA) (CAS 5798-79-8);

a.4.b. [(2-chlorophenyl) methylene] propanedinitrile, (o-Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);

a.4.c. 2-Chloro-1-phenylethanone, Phenylacyl chloride (ω-chloroacetophenone) (CN) (CAS 532-27-4);

a.4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);

a.4.e. 10-Chloro-5, 10-dihydrophenarsazine, (Phenarsazine chloride), (Adamsite), (DM) (CAS 578-94-9);

a.4.f. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);

b. Protective suits, gloves and shoes, “specially designed” or modified for defense against any of the following:

b.1. ‘Biological agents';

b.2. ‘Radioactive materials;'

b.3. Chemical warfare (CW) agents;

c. Detection systems, “specially designed” or modified for detection or identification of any of the following, and “specially designed” “components” therefor:

c.1. ‘Biological agents';

c.2. ‘Radioactive materials;'

c.3. Chemical warfare (CW) agents;

d. Electronic equipment designed for automatically detecting or identifying the presence of “explosives” (as listed in the annex at the end of Category 1) residues and utilizing `trace detection' techniques (

e.g.,

surface acoustic wave, ion mobility spectrometry, differential mobility spectrometry, mass spectrometry).

Technical Note:

‘Trace detection' is defined as the capability to detect less than 1 ppm vapor, or 1 mg solid or liquid.

Note 1:

1A004.d does not apply to equipment “specially designed” for laboratory use.

Note 2:

1A004.d does not apply to non-contact walk-through security portals.

Note:

1A004 does not control:

a. Personal radiation monitoring dosimeters;

b. Occupational health or safety equipment limited by design or function to protect against hazards specific to residential safety or civil industries, including:

1. Mining;

2. Quarrying;

3. Agriculture;

4. Pharmaceutical;

5. Medical;

6. Veterinary;

7. Environmental;

8. Waste management;

9. Food industry.

Technical Notes:

1. 1A004 includes equipment, “components” that have been ‘identified,' successfully tested to national standards or otherwise proven effective, for the detection of or defense against ‘radioactive materials' `biological agents,' chemical warfare agents, ‘simulants' or “riot control agents,” even if such equipment or “components” are used in civil industries such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or the food industry.

2. ‘Simulant':

A substance or material that is used in place of toxic agent (chemical or biological) in training, research, testing or evaluation.

3. For the purposes of 1A004, ‘radioactive materials' are those selected or modified to increase their effectiveness in producing casualties in humans or animals, degrading equipment or damaging crops or the environment.

9. In Supplement No. 1 to part 774, Category 1, ECCN 1A008 is revised to read as follow:

1A008 Charges, Devices and “Components,” as Follows (See List of Items Controlled).

License Requirements

Reason for Control:

NS, UN, AT

Control(s)

Country chart

(see Supp. No. 1 to

part 738)

NS applies to entire entry

NS Column 2

AT applies to entire entry

AT Column 1

UN applies to entire entry

See § 746.1(b) for UN controls

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

LVS:

$3,000 for .a through .c; $6,000 for .d.

GBS:

N/A

List of Items Controlled

Related Controls:

(1) All of the following are “subject to the ITAR” (see 22 CFR parts 120 through 130):

a. High explosives and related equipment “specially designed” for military use;

b. Explosive devices or charges in this entry that utilize USML controlled energetic materials (See 22 CFR 121.1 Category V), if they have been specifically designed, developed, configured, adapted, or modified for a military application;

c. Shaped charges that have all of the following a uniform shaped conical liner with an included angle of 90 degrees or less, more than 2.0 kg of controlled materials, and a diameter exceeding 4.5 inches;

d. Detonating cord containing greater than 0.1 kg per meter (470 grains per foot) of controlled materials;

e. Cutters and severing tools containing greater than 10 kg of controlled materials;

f. With the exception of cutters and severing tools, devices or charges controlled by this entry where the USML controlled materials can be easily extracted without destroying the device or charge;

and

g. Individual USML controlled energetic materials in this entry, even when compounded with other materials, when not incorporated into explosive devices or charges controlled by this entry or 1C992.

(2) See also ECCNs 1C011, 1C018, 1C111, 1C239, and 1C608 for additional controlled energetic materials. See ECCN 1E001 for the “development” or “production” “technology” for the commodities controlled by ECCN 1A008, but not for explosives or commodities that are “subject to the ITAR” (see 22 CFR parts 120 through 130).

Related Definitions:

N/A

Items:

a. ‘Shaped charges' having all of the following:

a.1. Net Explosive Quantity (NEQ) greater than 90 g;

and

a.2. Outer casing diameter equal to or greater than 75 mm;

b. Linear shaped cutting charges having all of the following, and “specially designed” “components” therefor:

b.1. An explosive load greater than 40 g/m;

and

b.2. A width of 10 mm or more;

c. Detonating cord with explosive core load greater than 64 g/m;

d. Cutters, not specified by 1A008.b, and severing tools, having a NEQ greater than 3.5 kg.

Technical Note:

‘Shaped charges' are explosive charges shaped to focus the effects of the explosive blast.

Note:

The only charges and devices specified in 1A008 are those containing “explosives” (see list of explosives in the Annex at the end of Category 1) and mixtures thereof.

10. In Supplement No. 1 to part 774, Category 1, ECCN 1C001 is revised to read as follow:

1C001 Materials “Specially Designed” for Absorbing Electromagnetic Radiation, or Intrinsically Conductive Polymers, as Follows (See List of Items Controlled).

License Requirements

Reason for Control:

NS, MT, AT

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

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

2B993

Related Definitions:

N/A

Items:

a. A pitch diameter exceeding 1,250 mm;

b. A face width of 15% of pitch diameter or larger;

and

c. A finished quality of AGMA 14 or better (equivalent to ISO 1328 class 3).

14. Supplement No. 1 to part 774, Category 2, ECCN 2B006 is revised to read as follows:

2B006 Dimensional Inspection or Measuring Systems, Equipment, Position Feedback Units and “Electronic Assemblies”, as Follows (See List of Items Controlled).

License Requirements

Reason for Control:

NS, NP, AT

Control(s)

Country chart

(see Supp. No. 1 to

part 738)

NS applies to entire entry

NS Column 2

NP applies to those items in 2B006.a, .b.1, b.3, and .c (angular displacement measuring instruments) that meet or exceed the technical parameters in 2B206

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

List of Items Controlled

Related Controls:

(1) See ECCNs

2D001

and

2D002

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

2E001

(“development”),

2E002

(“production”), and

2E201

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

2B206

and

2B996.

Related Definitions:

N/A

Items:

a. Computer controlled or “numerically controlled” Coordinate Measuring Machines (CMM), having a three dimensional length (volumetric) maximum permissible error of length measurement (E

0,MPE

) at any point within the operating range of the machine (

i.e.,

within the length of axes) equal to or less (better) than (1.7 + L/1,000) μm (L is the measured length in mm) according to ISO 10360-2 (2009);

Technical Note:

The E

0,MPE

of the most accurate configuration of the CMM specified by the manufacturer (e.g., best of the following: Probe, stylus length, motion parameters, environment) and with “all compensations available” shall be compared to the 1.7 + L/1,000 μm threshold.

b. Linear displacement measuring instruments or systems, linear position feedback units, and “electronic assemblies”, as follows:

Note:

Interferometer and optical-encoder measuring systems containing a “laser” are only specified by 2B006.b.3.

b.1. ‘Non-contact type measuring systems' with a `resolution' equal to or less (better) than 0.2 µm within 0 to 0.2 mm of the 'measuring range';

Technical Notes:

1. For the purposes of 2B006.b.1, `non-contact type measuring systems' are designed to measure the distance between the probe and measured object along a single vector, where the probe or measured object is in motion.

2. For the purposes of 2B006.b.1, `measuring range' means the distance between the minimum and maximum working distance.

b.2. Linear position feedback units “specially designed” for machine tools and having an overall “accuracy” less (better) than (800 + (600 × L/1,000)) nm (L equals effective length in mm);

b.3. Measuring systems having all of the following:

b.3.a. Containing a “laser”;

b.3.b. A ‘resolution' over their full scale of 0.200 nm or less (better);

and

b.3.c. Capable of achieving a “measurement uncertainty” equal to or less (better) than (1.6 + L/2,000) nm (L is the measured length in mm) at any point within a measuring range, when compensated for the refractive index of air and measured over a period of 30 seconds at a temperature of 20±0.01 °C;

Technical Note:

For the purposes of 2B006.b, `resolution' is the least increment of a measuring device; on digital instruments, the least significant bit.

b.4. “Electronic assemblies” “specially designed” to provide feedback capability in systems controlled by 2B006.b.3;

c. Rotary position feedback units “specially designed” for machine tools or angular displacement measuring instruments, having an angular position “accuracy” equal to or less (better) than 0.9 second of arc;

Note:

2B006.c does not control optical instruments, such as autocollimators, using collimated light (e.g., “laser” light) to detect angular displacement of a mirror.

d. Equipment for measuring surface roughness (including surface defects), by measuring optical scatter with a sensitivity of 0.5 nm or less (better).

Note:

2B006 includes machine tools, other than those specified by 2B001, that can be used as measuring machines, if they meet or exceed the criteria specified for the measuring machine function.

15. In Supplement No. 1 to part 774, Category 2, under “Category 2E—Materials Processing Table; Deposition Techniques,” the Technical Note to Table on Deposition Techniques is revised to read as follows:

Category 2—Materials Processing

Category 2E—Materials Processing Table; Deposition Techniques

Technical Note to Table on Deposition Techniques:

Processes specified in Column 1 of the Table are defined as follows:

a. Chemical Vapor Deposition (CVD) is an overlay coating or surface modification coating process wherein a metal, alloy, “composite”, dielectric or ceramic is deposited upon a heated substrate. Gaseous reactants are decomposed or combined in the vicinity of a substrate resulting in the deposition of the desired elemental, alloy or compound material on the substrate. Energy for this decomposition or chemical reaction process may be provided by the heat of the substrate, a glow discharge plasma, or “laser” irradiation.

Note 1:

CVD includes the following processes: Directed gas flow out-of-pack deposition, pulsating CVD, controlled nucleation thermal decomposition (CNTD), plasma enhanced or plasma assisted CVD processes

Note 2:

Pack denotes a substrate immersed in a powder mixture.

Note 3:

The gaseous reactants used in the out-of-pack process are produced using the same basic reactions and parameters as the pack cementation process, except that the substrate to be coated is not in contact with the powder mixture.

b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an overlay coating process conducted in a vacuum with a pressure less than 0.1 Pa wherein a source of thermal energy is used to vaporize the coating material. This process results in the condensation, or deposition, of the evaporated species onto appropriately positioned substrates. The addition of gases to the vacuum chamber during the coating process to synthesize compound coatings is an ordinary modification of the process. The use of ion or electron beams, or plasma, to activate or assist the coating's deposition is also a common modification in this technique. The use of monitors to provide in-process measurement of optical characteristics and thickness of coatings can be a feature of these processes. Specific TE-PVD processes are as follows:

1. Electron Beam PVD uses an electron beam to heat and evaporate the material which forms the coating;

2. Ion Assisted Resistive Heating PVD employs electrically resistive heating sources in combination with impinging ion beam(s) to produce a controlled and uniform flux of evaporated coating species;

3. “Laser” Vaporization uses either pulsed or continuous wave “laser” beams to vaporize the material which forms the coating;

4. Cathodic Arc Deposition employs a consumable cathode of the material which forms the coating and has an arc discharge established on the surface by a momentary contact of a ground trigger. Controlled motion of arcing erodes the cathode surface creating a highly ionized plasma. The anode can be either a cone attached to the periphery of the cathode, through an insulator, or the chamber. Substrate biasing is used for non line-of-sight deposition;

Note:

This definition does not include random cathodic arc deposition with non-biased substrates.

5. Ion Plating is a special modification of a general TE-PVD process in which a plasma or an ion source is used to ionize the species to be deposited, and a negative bias is applied to the substrate in order to facilitate the extraction of the species from the plasma. The introduction of reactive species, evaporation of solids within the process chamber, and the use of monitors to provide in-process measurement of optical characteristics and thicknesses of coatings are ordinary modifications of the process.

c. Pack Cementation is a surface modification coating or overlay coating process wherein a substrate is immersed in a powder mixture (a pack), that consists of:

1. The metallic powders that are to be deposited (usually aluminum, chromium, silicon or combinations thereof);

2. An activator (normally a halide salt); and

3. An inert powder, most frequently alumina.

Note:

The substrate and powder mixture is contained within a retort which is heated to between 1,030 K (757 °C) to 1,375 K (1,102 °C) for sufficient time to deposit the coating

d. Plasma Spraying is an overlay coating process wherein a gun (spray torch) which produces and controls a plasma accepts powder or wire coating materials, melts them and propels them towards a substrate, whereon an integrally bonded coating is formed. Plasma spraying constitutes either low pressure plasma spraying or high velocity plasma spraying.

Note 1:

Low pressure means less than ambient atmospheric pressure.

Note 2:

High velocity refers to nozzle-exit gas velocity exceeding 750 m/s calculated at 293 K (20 °C) at 0.1 MPa.

e. Slurry Deposition is a surface modification coating or overlay coating process wherein a metallic or ceramic powder with an organic binder is suspended in a liquid and is applied to a substrate by either spraying, dipping or painting, subsequent air or oven drying, and heat treatment to obtain the desired coating.

f. Sputter Deposition is an overlay coating process based on a momentum transfer phenomenon, wherein positive ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on an appropriately positioned substrate.

Note 1:

The Table refers only to triode, magnetron or reactive sputter deposition which is used to increase adhesion of the coating and rate of deposition and to radio frequency (RF) augmented sputter deposition used to permit vaporization of non-metallic coating materials.

Note 2:

Low-energy ion beams (less than 5 keV) can be used to activate the deposition.

g. Ion Implantation is a surface modification coating process in which the element to be alloyed is ionized, accelerated through a potential gradient and implanted into the surface region of the substrate. This includes processes in which ion implantation is performed simultaneously with electron beam physical vapor deposition or sputter deposition.

16. In Supplement No. 1 to part 774, the introductory text for Category 3 is revised to read as follows:

Category 3—Electronics

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

Note 1:

The control status of equipment and “components” described in 3A001 or 3A002, other than those described in 3A001.a.3 to 3A001.a.10, 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 that are unalterably programmed or designed for a specific function for other equipment is determined by the control status of the other equipment.

N.B.: When the manufacturer or applicant cannot determine the control status of the other equipment, the control status of the integrated circuits is determined in 3A001.a.3 to 3A001.a.9, or 3A001.a.12 to 3A001.a.14.

Note 3:

The status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3A001.a, 3A001.b, 3A001.d, 3A001.e.4, 3A001.g, 3A001.h, or 3A001.i.

17. 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 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

Reporting Requirements: See § 743.1 of the EAR for reporting requirements for exports under 3A001.b.2 or b.3 under License Exceptions, and Validated End-User authorizations.

License Requirements Note:

See § 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 devices” exceeding 18 GHz), b.9., b.10, .g, and .h.

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:

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, Electrical Erasable Programmable Read-Only Memories (EEPROMs), flash memories, Static Random-Access Memories (SRAMs), or Magnetic Random Access Memories (MRAMs), having any of the following:

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

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

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 designed for civil automobile or railway train applications.

a.3. “Microprocessor microcircuits”, “microcomputer microcircuits” and microcontroller microcircuits, manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz;

Note:

3A001.a.3 includes digital signal processors, digital array processors and digital coprocessors.

a.4. [Reserved]

a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog Converter (DAC) integrated circuits, as follows:

a.5.a. ADCs having any of the following:

a.5.a.1. A resolution of 8 bit or more, but less than 10 bit, with an output rate greater than 1.3 Giga Samples Per Second (GSPS);

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

a.5.a.3. A resolution of 12 bit or more, but less than 14 bit, with an output rate greater than 400 Mega Samples Per Second (MSPS);

a.5.a.4. A resolution of 14 bit or more, but less than 16 bit, with an output rate greater than 250 Mega Samples Per Second (MSPS);

a.5.a.5. A resolution of 16 bit or more with an output rate greater than 65 Mega Samples Per Second (MSPS);

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

Technical Notes:

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

levels.

2. The number of bits in the output word is equal to the resolution of the ADC.

3. The output rate is the maximum output rate of the converter, regardless of architecture or oversampling.

4. For `multiple channel ADCs', the outputs are not aggregated and the output rate is the maximum output rate of any single channel.

5. For `interleaved ADCs' or for `multiple channel ADCs' that are specified to have an interleaved mode of operation, the outputs are aggregated and the output rate is the maximum combined total output rate of all of the outputs.

6. Vendors may also refer to the output rate as sampling rate, conversion rate or throughput rate. It is often specified in megahertz (MHz) mega words per second or Mega Samples Per Second (MSPS).

7. For the purpose of measuring output rate, one sample per second is equivalent to one Hertz or one output word per second.

8. `Multiple channel ADCs' are defined as devices which integrate more than one ADC, designed so that each ADC has a separate analog input.

9. `Interleaved ADCs' are defined as devices which have multiple ADC units that sample the same analog input at different times such that when the outputs are aggregated, the analog input has been effectively sampled and converted at a higher sampling rate.

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

a.5.b.1. A resolution of 10-bit or more but less than 12-bit,with an `adjusted update rate' of exceeding 3,500 MSPS;

a.5.b.2. A resolution of 12-bit or more and having any of the following:

a.5.b.2.a. An `adjusted update rate' exceeding 1,250 MSPS but not exceeding 3,500 MSPS, and having any of the following:

a.5.b.2.a.1. A settling time less than 9 ns to 0.024% of full scale from a full scale step;

a.5.b.2.a.2. A `Spurious Free Dynamic Range' (SFDR) greater than 68 dBc (carrier) when synthesizing a full scale analog signal of 100 MHz or the highest full scale analog signal frequency specified below 100 MHz; or

a.5.b.2.b. An `adjusted update rate' exceeding 3,500 MSPS;

Technical Notes:

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:

—

Simple Programmable Logic Devices (SPLDs);

—

Complex Programmable Logic Devices (CPLDs);

—

Field Programmable Gate Arrays (FPGAs);

—

Field Programmable Logic Arrays (FPLAs);

—

Field Programmable Interconnects (FPICs).

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

Technical Notes:

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

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

a.8. [Reserved]

a.9. Neural network integrated circuits;

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

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

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

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 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 an input 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 an input sample rate greater than 1.0 Giga Samples Per Second (GSPS);

a.14.a.3. A resolution of 12 bit or more, but less than 14 bit, with an input sample rate greater than 1.0 Giga Samples Per Second (GSPS);

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

a.14.a.5. A resolution of 16 bit or more with an input sample rate greater than 180 Mega Samples Per Second (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.

b. Microwave or millimeter wave items, as follows:

Technical Note:

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.

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:

. 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 0.1 nW (−70 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz;

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

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

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

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;

b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e and rated for operation with a peak saturated power output greater than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and including 31.8 GHz;

Note 1:

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

Note 2:

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

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

b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8

GHz with a “fractional bandwidth” greater than 15%, and having any of the following:

b.4.a.1. A peak saturated power output greater than 500 W (57 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;

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

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

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.

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;

b.7.d. Designed to extend the frequency range of microwave test receivers beyond 110 GHz;

b.8. Microwave power amplifiers containing “vacuum electronic devices” controlled by 3A001.b.1 and having all of the following:

b.8.a. Operating frequencies above 3 GHz;

b.8.b. An average output power to mass ratio exceeding 80 W/kg;

and

b.8.c. A volume of less than 400 cm

;

Note:

3A001.b.8 does not control equipment designed or rated for operation in any frequency band which is “allocated by the ITU” for radio-communications services, but not for radio-determination.

b.9. Microwave Power Modules (MPM) consisting of, at least, a traveling-wave “vacuum electronic device,” a “Monolithic Microwave Integrated Circuit” (“MMIC”) and an integrated electronic power conditioner and having all of the following:

b.9.a. A `turn-on time' from off to fully operational in less than 10 seconds;

b.9.b. A volume less than the maximum rated power in Watts multiplied by 10 cm

/W;

and

b.9.c. An “instantaneous bandwidth” greater than 1 octave (f

max

. > 2f

min

,) and having any of the following:

b.9.c.1. For frequencies equal to or less than 18 GHz, an RF output power greater than 100 W;

b.9.c.2. A frequency greater than 18 GHz;

Technical Notes:

1. To calculate the volume in 3A001.b.9.b., the following example is provided: For a maximum rated power of 20 W, the volume would be: 20 W × 10 cm

/W = 200 cm

2. The `turn-on time' in 3A001.b.9.a. refers to the time from fully-off to fully operational, i.e., it includes the warm-up time of the MPM.

b.10. Oscillators or oscillator assemblies, specified to operate with a single sideband (SSB) phase noise, in dBc/Hz, less (better) than -(126 + 20log

F−20log

f) anywhere within the range of 10 Hz ≤ F ≤ 10 kHz;

Technical Note:

In 3A001.b.10, F is the offset from the operating frequency in Hz and f is the operating frequency in MHz.

b.11. “Frequency synthesizer” “electronic assemblies” having a “frequency switching time” as specified by any of the following:

b.11.a. Less than 143 ps;

b.11.b. Less than 100 μs for any frequency change exceeding 2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz;

b.11.c. [Reserved]

b.11.d. Less than 500 µs for any frequency change exceeding 550 MHz within the synthesized frequency range exceeding 31.8 GHz but not exceeding 37 GHz;

b.11.e. Less than 100 µs for any frequency change exceeding 2.2 GHz within the synthesized frequency range exceeding 37 GHz but not exceeding 90 GHz;

b.11.f. [Reserved]

b.11.g. Less than 1 ms within the synthesized frequency range exceeding 90 GHz;

N.B.: For general purpose “signal analyzers”, signal generators, network analyzers and microwave test receivers, see 3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.

b.12. `Transmit/receive modules,' `transmit/receive MMICs,' `transmit modules,' and `transmit MMICs,' rated for operation at frequencies above 2.7 GHz and having all of the following:

b.12.a. A peak saturated power output (in watts), P

sat

, greater than 505.62 divided by the maximum operating frequency (in GHz) squared [P

sat

>505.62 W*GHz

GHz

] for any channel;

b.12.b. A “fractional bandwidth” of 5% or greater for any channel;

b.12.c. Any planar side with length d (in cm) equal to or less than 15 divided by the lowest operating frequency in GHz [d ≤ 15cm*GHz*N/f

GHz

] where N is the number of transmit or transmit/receive channels;

and

b.12.d. An electronically variable phase shifter per channel.

Technical Notes:

1. A `transmit/receive module' is a multifunction “electronic assembly” that provides bi-directional amplitude and phase control for transmission and reception of signals.

2. A `transmit module' is an “electronic assembly” that provides amplitude and phase control for transmission of signals.

3. A `transmit/receive MMIC' is a multifunction “MMIC” that provides bi-directional amplitude and phase control for transmission and reception of signals.

4. A `transmit MMIC' is a “MMIC” that provides amplitude and phase control for transmission of signals.

5. 2.7 GHz should be used as the lowest operating frequency (f

GHz

) in the formula in 3A001.b.4.12.c for transmit/receive or transmit modules that have a rated operation range extending downward to 2.7 GHz and below [d≤15cm*GHz*N/2.7 GHz].

6. 3A001.b.12 applies to `transmit/receive modules' or `transmit modules' with or without a heat sink. The value of d in 3A001.b.12.c does not include any portion of the `transmit/receive module' or `transmit module' that functions as a heat sink.

7. `Transmit/receive modules' or `transmit modules,' `transmit/receive MMICs' or `transmit MMICs' may or may not have N integrated radiating antenna elements where N is the number of transmit or transmit/receive channels.

c. Acoustic wave devices as follows and “specially designed” “components” therefor:

c.1. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices, having any of the following:

c.1.a. A carrier frequency exceeding 6 GHz;

c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6 GHz and having any of the following:

c.1.b.1. A `frequency side-lobe rejection' exceeding 65 dB;

c.1.b.2. A product of the maximum delay time and the bandwidth (time in μs and bandwidth in MHz) of more than 100;

c.1.b.3. A bandwidth greater than 250 MHz;

c.1.b.4. A dispersive delay of more than 10 µs;

c.1.c. A carrier frequency of 1 GHz or less and having any of the following:

c.1.c.1. A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100;

c.1.c.2. A dispersive delay of more than 10 µs;

c.1.c.3. A `frequency side-lobe rejection' exceeding 65 dB and a bandwidth greater than 100 MHz;

Technical Note:

`Frequency side-lobe rejection' is the maximum rejection value specified in data sheet.

c.2. Bulk (volume) acoustic wave devices that permit the direct processing of signals at frequencies exceeding 6 GHz;

c.3. Acoustic-optic “signal processing” devices employing interaction between acoustic waves (bulk wave or surface wave) and light waves that permit the direct processing of signals or images, including spectral analysis, correlation or convolution;

Note:

3A001.c does not control acoustic wave devices that are limited to a single band pass, low pass, high pass or notch filtering, or resonating function.

d. Electronic devices and circuits containing “components,” manufactured from “superconductive” materials, “specially designed” for operation at temperatures below the “critical temperature” of at least one of the “superconductive” constituents and having any of the following:

d.1. Current switching for digital circuits using “superconductive” gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10

−14

d.2. Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10,000;

e. High energy devices as follows:

e.1. `Cells' as follows:

e.1.a. `Primary cells' having an `energy density' exceeding 550 Wh/kg at 293 K (20 °C);

e.1.b. `Secondary cells' having an `energy density' exceeding 350 Wh/kg at 293 K (20 °C);

Technical Notes:

1. For the purpose of 3A001.e.1, `energy density' (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours (Ah) divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in Ohms and the mass in kilograms.

2. For the purpose of 3A001.e.1, a `cell' is defined as an electrochemical device, which has positive and negative electrodes, an electrolyte, and is a source of electrical energy. It is the basic building block of a battery.

3. For the purpose of 3A001.e.1.a, a `primary cell' is a `cell' that is not designed to be charged by any other source.

4. For the purpose of 3A001.e.1.b, a `secondary cell' is a `cell' that is designed to be charged by an external electrical source.

Note:

3A001.e does not control batteries, including single-cell batteries.

e.2. High energy storage capacitors as follows:

e.2.a. Capacitors with a repetition rate of less than 10 Hz (single shot capacitors) and having all of the following:

e.2.a.1. A voltage rating equal to or more than 5 kV;

e.2.a.2. An energy density equal to or more than 250 J/kg;

and

e.2.a.3. A total energy equal to or more than 25 kJ;

e.2.b. Capacitors with a repetition rate of 10 Hz or more (repetition rated capacitors) and having all of the following:

e.2.b.1. A voltage rating equal to or more than 5 kV;

e.2.b.2. An energy density equal to or more than 50 J/kg;

e.2.b.3. A total energy equal to or more than 100 J;

and

e.2.b.4. A charge/discharge cycle life equal to or more than 10,000;

e.3. “Superconductive” electromagnets and solenoids, “specially designed” to be fully charged or discharged in less than one second and having all of the following:

Note:

3A001.e.3 does not control “superconductive” electromagnets or solenoids “specially designed” for Magnetic Resonance Imaging (MRI) medical equipment.

e.3.a. Energy delivered during the discharge exceeding 10 kJ in the first second;

e.3.b. Inner diameter of the current carrying windings of more than 250 mm;

and

e.3.c. Rated for a magnetic induction of more than 8 T or “overall current density” in the winding of more than 300 A/mm

;

e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are “space-qualified,” having a minimum average efficiency exceeding 20% at an operating temperature of 301 K (28 °C) under simulated `AM0' illumination with an irradiance of 1,367 Watts per square meter (W/m

);

Technical Note:

`AM0', or `Air Mass Zero', refers to the spectral irradiance of sun light in the earth's outer atmosphere when the distance between the earth and sun is one astronomical unit (AU).

f. Rotary input type absolute position encoders having an “accuracy” equal to or less (better) than ± 1.0 second of arc and “specially designed” encoder rings, discs or scales therefor;

g. Solid-state pulsed power switching thyristor devices and `thyristor modules', using either electrically, optically, or electron radiation controlled switch methods and having any of the following:

g.1. A maximum turn-on current rate of rise (di/dt) greater than 30,000 A/µs and off-state voltage greater than 1,100 V;

g.2. A maximum turn-on current rate of rise (di/dt) greater than 2,000 A/µs and having all of the following:

g.2.a. An off-state peak voltage equal to or greater than 3,000 V;

and

g.2.b. A peak (surge) current equal to or greater than 3,000 A;

Note 1:

3A001.g. includes:

—

Silicon Controlled Rectifiers (SCRs);

—

Electrical Triggering Thyristors (ETTs);

—

Light Triggering Thyristors (LTTs);

—

Integrated Gate Commutated Thyristors (IGCTs);

—

Gate Turn-off Thyristors (GTOs);

—

MOS Controlled Thyristors (MCTs);

—

Solidtrons.

Note 2:

3A001.g. does not control thyristor devices and `thyristor modules' incorporated into equipment designed for civil railway or “civil aircraft” applications.

Technical Note:

For the purposes of 3A001.g, a `thyristor module' contains one or more thyristor devices.

h. Solid-state power semiconductor switches, diodes, or `modules', having all of the following:

h.1. Rated for a maximum operating junction temperature greater than 488 K (215 °C);

h.2. Repetitive peak off-state voltage (blocking voltage) exceeding 300 V;

and

h.3. Continuous current greater than 1 A.

Technical Note:

For the purposes of 3A001.h, `modules' contain one or more solid-state power semiconductor switches or diodes.

Note 1:

Repetitive peak off-state voltage in 3A001.h includes drain to source voltage, collector to emitter voltage, repetitive peak reverse voltage and peak repetitive off-state blocking voltage.

Note 2:

3A001.h. includes:

—

Junction Field Effect Transistors (JFETs);

—

Vertical Junction Field Effect Transistors (VJFETs);

—

Metal Oxide Semiconductor Field Effect Transistors (MOSFETs);

—

Double Diffused Metal Oxide Semiconductor Field Effect Transistor (DMOSFET);

—

Insulated Gate Bipolar Transistor (IGBT);

—

High Electron Mobility Transistors (HEMTs);

—

Bipolar Junction Transistors (BJTs);

—

Thyristors and Silicon Controlled Rectifiers (SCRs);

—

Gate Turn-Off Thyristors (GTOs);

—

Emitter Turn-Off Thyristors (ETOs);

—

PiN Diodes;

—

Schottky Diodes.

Note 3:

3A001.h does not apply to switches, diodes, or `modules', incorporated into equipment designed for civil automobile, civil railway, or “civil aircraft” applications.

18. In Supplement No. 1 to part 774, Category 3, ECCN 3A002 is revised to read as follows:

3A002 General Purpose “Electronic Assemblies,” Modules and Equipment, as Follows (See List of Items Controlled).

License Requirements

Reason for Control:

NS, MT, AT

Control(s)

Country chart (see Supp. No. 1 to

part 738)

NS applies to entire entry

NS Column 2

MT applies to 3A002.h when the parameters in 3A101.a.2.b are met or exceeded

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:

$3,000: 3A002.a, .e, .f, and .g $5,000: 3A002.c to .d, and .h (unless controlled for MT);

GBS:

Yes, for 3A002.h (unless controlled for MT)

Special Conditions for STA

STA:

License Exception STA may not be used to ship any item in 3A002.g.1 to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR).

List of Items Controlled

Related Controls:

See Category XV(e)(9) of the USML for certain “space-qualified” atomic frequency standards “subject to the ITAR” (see 22 CFR parts 120 through 130). See also 3A101, 3A992 and 9A515.x.

Related Definitions:

Constant percentage bandwidth filters are also known as octave or fractional octave filters.

Items:

a. Recording equipment and oscilloscopes, as follows:

a.1. to a.5. [Reserved]

N.B.: For waveform digitizers and transient recorders, see 3A002.h.

a.6. Digital data recorders having all of the following:

a.6.a. A sustained `continuous throughput' of more than 6.4 Gbit/s to disk or solid-state drive memory;

and

a.6.b. “Signal processing” of the radio frequency signal data while it is being recorded;

Technical Notes:

1. For recorders with a parallel bus architecture, the `continuous throughput' rate is the highest word rate multiplied by the number of bits in a word.

2. `Continuous throughput' is the fastest data rate the instrument can record to disk or solid-state drive memory without the loss of any information while sustaining the input digital data rate or digitizer conversion rate.

a.7. Real-time oscilloscopes having a vertical root-mean-square (rms) noise voltage of less than 2% of full-scale at the vertical scale setting that provides the lowest noise value for any input 3dB bandwidth of 60 GHz or greater per channel;

Note:

3A002.a.7 does not apply to equivalent-time sampling oscilloscopes.

b. [Reserved]

c. “Signal analyzers” as follows:

c.1. “Signal analyzers” having a 3 dB resolution bandwidth (RBW) exceeding 10 MHz anywhere within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz;

c.2. “Signal analyzers” having Displayed Average Noise Level (DANL) less (better) than −150 dBm/Hz anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;

c.3. “Signal analyzers” having a frequency exceeding 90 GHz;

c.4. “Signal analyzers” having all of the following:

c.4.a. “Real-time bandwidth” exceeding 170 MHz;

and

c.4.b. Having any of the following:

c.4.b.1. 100% probability of discovery, with less than a 3 dB reduction from full amplitude due to gaps or windowing effects, of signals having a duration of 15 μs or less;

c.4.b.2. A “frequency mask trigger” function, with 100% probability of trigger (capture) for signals having a duration of 15 μs or less;

Technical Notes:

1. Probability of discovery in 3A002.c.4.b.1 is also referred to as probability of intercept or probability of capture.

2. For the purposes of 3A002.c.4.b.1, the duration for 100% probability of discovery is equivalent to the minimum signal duration necessary for the specified level measurement uncertainty.

Note:

3A002.c.4 does not apply to those “signal analyzers” using only constant percentage bandwidth filters (also known as octave or fractional octave filters).

c.5. [Reserved]

d. Signal generators having any of the following:

d.1. Specified to generate pulse-modulated signals having all of the following, anywhere within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz:

d.1.a. `Pulse duration' of less than 25 ns;

and

d.1.b. On/off ratio equal to or exceeding 65 dB;

d.2. An output power exceeding 100 mW (20 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;

d.3. A “frequency switching time” as specified by any of the following:

d.3.a. [Reserved]

d.3.b. Less than 100 μs for any frequency change exceeding 2.2 GHz within the frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz;

d.3.c. [Reserved]

d.3.d. Less than 500 μs for any frequency change exceeding 550 MHz within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz;

d.3.e. Less than 100 μs for any frequency change exceeding 2.2 GHz within the frequency range exceeding 37 GHz but not exceeding 90 GHz;

d.3.f. [Reserved]

d.4. Single sideband (SSB) phase noise, in dBc/Hz, specified as being any of the following:

d.4.a. Less (better) than −(126 + 20 log

F−20log

f) for anywhere within the range of 10 Hz ≤ F ≤ 10 kHz anywhere within the frequency range exceeding 3.2 GHz but not exceeding 90 GHz;

d.4.b. Less (better) than −(206−20log

f) for anywhere within the range of 10 kHz < F ≤ 100 kHz anywhere within the frequency range exceeding 3.2 GHz but not exceeding 90 GHz;

Technical Note:

In 3A002.d.4, F is the offset from the operating frequency in Hz and f is the operating frequency in MHz.

d.5. An `RF modulation bandwidth' of digital baseband signals as specified by any of the following:

d.5.a. Exceeding 2.2 GHz within the frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz;

d.5.b. Exceeding 550 MHz within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz; or

d.5.c. Exceeding 2.2 GHz within the frequency range exceeding 37 GHz but not exceeding 90 GHz;

Technical Note:

`RF modulation bandwidth' is the Radio Frequency (RF) bandwidth occupied by a digitally encoded baseband signal modulated onto an RF signal. It is also referred to as information bandwidth or vector modulation bandwidth. I/Q digital modulation is the technical method for producing a vector-modulated RF output signal, and that output signal is typically specified as having an `RF modulation bandwidth'.

d.6. A maximum frequency exceeding 90 GHz;

Note 1: For the purpose of 3A002.d, signal generators include arbitrary waveform and function generators.

Note 2:

3A002.d does not control equipment in which the output frequency is either produced by the addition or subtraction of two or more crystal oscillator frequencies, or by an addition or subtraction followed by a multiplication of the result.

Technical Notes:

1. The maximum frequency of an arbitrary waveform or function generator is calculated by dividing the sample rate, in samples/second, by a factor of 2.5.

2. For the purposes of 3A002.d.1.a, `pulse duration' is defined as the time interval from the point on the leading edge that is 50% of

the pulse amplitude to the point on the trailing edge that is 50% of the pulse amplitude.

e. Network analyzers having any of the following:

e.1. An output power exceeding 31.62 mW (15 dBm) anywhere within the operating frequency range exceeding 43.5 GHz but not exceeding 90 GHz;

e.2. An output power exceeding 1 mW (0 dBm) anywhere within the operating frequency range exceeding 90 GHz but not exceeding 110 GHz;

e.3. `Nonlinear vector measurement functionality' at frequencies exceeding 50 GHz but not exceeding 110 GHz;

Technical Note:

`Nonlinear vector measurement functionality' is an instrument's ability to analyze the test results of devices driven into the large-signal domain or the non-linear distortion range.

e.4. A maximum operating frequency exceeding 110 GHz;

f. Microwave test receivers having all of the following:

f.1. Maximum operating frequency exceeding 110 GHz;

and

f.2. Being capable of measuring amplitude and phase simultaneously;

g. Atomic frequency standards being any of the following:

g.1. “Space-qualified”;

g.2. Non-rubidium and having a long-term stability less (better) than 1 × 10

−

/month;

g.3. Non-”space-qualified” and having all of the following:

g.3.a. Being a rubidium standard;

g.3.b. Long-term stability less (better) than 1 × 10

−

/month;

and

g.3.c. Total power consumption of less than 1 Watt.

h. “Electronic assemblies,” modules or equipment, specified to perform all of the following:

h.1. Analog-to-digital conversions meeting any of the following:

h.1.a. A resolution of 8 bit or more, but less than 10 bit, with an input sample rate greater than 1.3 billion samples per second;

h.1.b. A resolution of 10 bit or more, but less than 12 bit, with an input sample rate greater than 1.0 billion samples per second;

h.1.c. A resolution of 12 bit or more, but less than 14 bit, with an input sample rate greater than 1.0 billion samples per second;

h.1.d. A resolution of 14 bit or more but less than 16 bit, with an input sample rate greater than 400 million samples per second;

h.1.e. A resolution of 16 bit or more with an input sample rate greater than 180 million samples per second;

and

h.2. Any of the following:

h.2.a. Output of digitized data;

h.2.b. Storage of digitized data;

h.2.c. Processing of digitized data;

N.B.: Digital data recorders, oscilloscopes, “signal analyzers,” signal generators, network analyzers and microwave test receivers, are specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.

Technical Note:

For multiple-channel “electronic assemblies” or modules, control status is determined by the highest single-channel specified performance.

Note:

3A002.h includes ADC cards, waveform digitizers, data acquisition cards, signal acquisition boards and transient recorders.

19. In Supplement No. 1, Category 3, ECCN 3A991 is revised to read as follows:

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

License Requirements

Reason for Control:

Control(s)

Country chart

(see Supp. No. 1

to part 738)

AT applies to entire entry

AT Column 1

License Requirements Note:

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

LVS:

N/A

GBS:

N/A

List of Items Controlled

Related Controls:

N/A

Related Definitions:

N/A

Items:

a. “Microprocessor microcircuits”, “microcomputer microcircuits”, and microcontroller microcircuits having any of the following:

a.1. A performance speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more;

a.2. A clock frequency rate exceeding 25 MHz;

a.3. More than one data or instruction bus or serial communication port that provides a direct external interconnection between parallel “microprocessor microcircuits” with a transfer rate of 2.5 Mbyte/s;

b. Storage integrated circuits, as follows:

b.1. Electrical erasable programmable read-only memories (EEPROMs) with a storage capacity;

b.1.a. Exceeding 16 Mbits per package for flash memory types;

b.1.b. Exceeding either of the following limits for all other EEPROM types:

b.1.b.1. Exceeding 1 Mbit per package;

b.1.b.2. Exceeding 256 kbit per package and a maximum access time of less than 80 ns;

b.2. Static random access memories (SRAMs) with a storage capacity:

b.2.a. Exceeding 1 Mbit per package;

b.2.b. Exceeding 256 kbit per package and a maximum access time of less than 25 ns;

c. Analog-to-digital converters having any of the following:

c.1. A resolution of 8 bit or more, but less than 12 bit, with an output rate greater than 200 million words per second;

c.2. A resolution of 12 bit with an output rate greater than 105 million words per second;

c.3. A resolution of more than 12 bit but equal to or less than 14 bit with an output rate greater than 10 million words per second;

c.4. A resolution of more than 14 bit with an output rate greater than 2.5 million words per second;

d. Field programmable logic devices having a maximum number of single-ended digital input/outputs between 200 and 700;

e. Fast Fourier Transform (FFT) processors having a rated execution time for a 1,024 point complex FFT of less than 1 ms;

f. Custom integrated circuits for which either 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:

f.1. More than 144 terminals;

f.2. A typical “basic propagation delay time” of less than 0.4 ns;

g. Traveling-wave “vacuum electronic devices,” pulsed or continuous wave, as follows:

g.1. Coupled cavity devices, or derivatives thereof;

g.2. Helix devices based on helix, folded waveguide, or serpentine waveguide circuits,

derivatives thereof, with any of the following:

g.2.a. An “instantaneous bandwidth” of half an octave or more;

and

g.2.b. The product of the rated average output power (expressed in kW) and the maximum operating frequency (expressed in GHz) of more than 0.2;

g.2.c. An “instantaneous bandwidth” of less than half an octave;

and

g.2.d. The product of the rated average output power (expressed in kW) and the maximum operating frequency (expressed in GHz) of more than 0.4;

h. Flexible waveguides designed for use at frequencies exceeding 40 GHz;

i. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices (

i.e.,

“signal processing” devices employing elastic waves in materials), having either of the following:

i.1. A carrier frequency exceeding 1 GHz;

i.2. A carrier frequency of 1 GHz or less;

and

i.2.a. A frequency side-lobe rejection exceeding 55 Db;

i.2.b. A product of the maximum delay time and bandwidth (time in microseconds and bandwidth in MHz) of more than 100;

i.2.c. A dispersive delay of more than 10 microseconds;

j. Cells as follows:

j.1. Primary cells having an energy density of 550 Wh/kg or less at 293 K (20 °C);

j.2. Secondary cells having an energy density of 300 Wh/kg or less at 293 K (20 °C);

Note:

3A991.j. does not control batteries, including single cell batteries.

Technical Notes:

1. For the purpose of 3A991.j energy density (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in Ohms and the mass in kilograms.

2. For the purpose of 3A991.j, a `cell' is defined as an electrochemical device, which has positive and negative electrodes, and electrolyte, and is a source of electrical energy. It is the basic building block of a battery.

3. For the purpose of 3A991.j.1, a `primary cell' is a `cell' that is not designed to be charged by any other source.

4. For the purpose of 3A991.j.2., a `secondary cell' is a `cell' that is designed to be charged by an external electrical source.

k. “Superconductive” electromagnets or solenoids “specially designed” to be fully charged or discharged in less than one minute, having all of the following:

Note:

3A991.k does not control “superconductive” electromagnets or solenoids designed for Magnetic Resonance Imaging (MRI) medical equipment.

k.1. Maximum energy delivered during the discharge divided by the duration of the discharge of more than 500 kJ per minute;

k.2. Inner diameter of the current carrying windings of more than 250 mm;

and

k.3. Rated for a magnetic induction of more than 8T or “overall current density” in the winding of more than 300 A/mm

;

l. Circuits or systems for electromagnetic energy storage, containing “components” manufactured from “superconductive” materials “specially designed” for operation at temperatures below the “critical temperature” of at least one of their “superconductive” constituents, having all of the following:

l.1. Resonant operating frequencies exceeding 1 MHz;

l.2. A stored energy density of 1 MJ/M

or more;

and

l.3. A discharge time of less than 1 ms;

m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal construction and rate for a peak current of 500 A or more;

n. Digital integrated circuits based on any compound semiconductor having an equivalent gate count of more than 300 (2 input gates);

o. Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are “space qualified” and not controlled by 3A001.e.4.

20. In Supplement No. 1 to part 774, Category 3, ECCN 3B001 is revised to read as follows:

3B001 Equipment for the Manufacturing of Semiconductor Devices or Materials, as Follows (See List of Items Controlled) and “Specially Designed” “Components” and “Accessories” Therefor.

License Requirements

Reason for Control:

NS, AT

Control(s)

Country chart

(see Supp. No. 1

to part 738)

NS applies to entire entry

NS Column 2

AT applies to entire entry

AT Column 1

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

LVS:

$500

GBS:

Yes, except a.3 (molecular beam epitaxial growth equipment using gas sources), .e (automatic loading multi-chamber central wafer handling systems

only

if connected to equipment controlled by 3B001. a.3, or .f), and .f (lithography equipment).

List of Items Controlled

Related Controls: