Implementation of 2022 Wassenaar Arrangement Decisions and Request for Comments on License Exception Eligibility for Certain Supersonic Aero Gas Turbine Engine Component Technology

Federal RegisterOct 18, 2023

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 734, 740, 742, 772, and 774

[Docket No. 230929-0236]

RIN 0694-AI95

Implementation of 2022 Wassenaar Arrangement Decisions and Request for Comments on License Exception Eligibility for Certain Supersonic Aero Gas Turbine Engine Component Technology

AGENCY:

Bureau of Industry and Security, Commerce.

ACTION:

Interim final rule, with request for comment.

SUMMARY:

The Bureau of Industry and Security (BIS) maintains, as part of its Export Administration Regulations (EAR), the Commerce Control List (CCL), which identifies certain items subject to Department of Commerce jurisdiction. During the December 2022 Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies (WA) Plenary meeting, Participating States of the WA (Participating States) made certain decisions affecting the WA dual-use and munitions control lists, which BIS is now implementing via amendments to the CCL. BIS seeks comments on restricting STA eligibility for countries in EAR Country Group A:5 of certain technology for the development of supersonic aero gas turbine engine components controlled under ECCN 9E003.k, formerly controlled under ECCN 9E001 as part of its ongoing assessment of current export control licensing policy.

DATES:

This rule is effective October 18, 2023. Comments specific to ECCN 9E003.k must be received by BIS no later than December 4, 2023.

ADDRESSES:

Comments on this rule may be submitted to the Federal rulemaking portal (

www.regulations.gov

). The

regulations.gov

ID for this rule is: BIS-2023-0025. Please refer to RIN 0694-AI95 in all comments.

All filers using the portal should use the name of the person or entity submitting the comments as the name of their files, in accordance with the instructions below. Anyone submitting business confidential information should clearly identify the business confidential portion at the time of submission, file a statement justifying nondisclosure and referring to the specific legal authority claimed, and provide a non-confidential version of the submission.

For comments submitted electronically containing business confidential information, the file name of the business confidential version should begin with the characters “BC.” Any page containing business confidential information must be clearly marked “BUSINESS CONFIDENTIAL” on the top of that page. The corresponding non-confidential version of those comments must be clearly marked “PUBLIC.” The file name of the non-confidential version should begin with the character “P.” Any submissions with file names that do not begin with either a “BC” or a “P” will be assumed to be public and will be made publicly available through

https://www.regulations.gov.

Commenters submitting business confidential information are encouraged to scan a hard copy of the non-confidential version to create an image of the file, rather than submitting a digital copy with redactions applied, to avoid inadvertent redaction errors which could enable the public to read business confidential information.

FOR FURTHER INFORMATION CONTACT:

For general questions, contact Sharron Cook, Office of Exporter Services, Bureau of Industry and Security, U.S. Department of Commerce at 202-482-2440 or by email:

Sharron.Cook@bis.doc.gov.

For Technical Questions Contact

Categories 0, 1 & 2:

Sean Ghannadian at 202-482-3429 or

Sean.Ghannadian@bis.doc.gov

Category 3:

Carlos Monroy at 202-482-3246 or

Carlos.Monroy@bis.doc.gov

Categories 4 & 5:

Aaron Amundson or

Aaron.Amundson@bis.doc.gov

Categories 6:

John Varesi at 202-482-1114 or

John.Varesi@bis.doc.gov

Categories 7:

David Rosenberg at 202-482-5987, John Varesi at 202-482-1114 or

David.Rosenberg@bis.doc.gov

John.Varesi@bis.doc.gov

Category 9:

David Rosenberg at 202-482-5987, Jason Chauvin at 202-482-6462 or

David.Rosenberg@bis.doc.gov

Jason.Chauvin@bis.doc.gov

“600 Series” (munitions items):

Jeffrey Leitz at 202-482-7417 or

Jeffrey.Leitz@bis.doc.gov

SUPPLEMENTARY INFORMATION:

Background

The WA (

http://www.wassenaar.org/

) is a group of 42 like-minded states committed to promoting responsibility and transparency in the global arms trade and preventing destabilizing accumulations of conventional weapons. As a Participating State of the WA (Participating State), the United States has committed to controlling for export all items on the WA's List of Dual-Use Goods and Technologies (WA Dual-Use List) and on the WA Munitions List (together, WA control lists). The WA control lists were first established in 1996 and have been revised annually thereafter. Participating States implement changes to the WA control lists as soon as possible after the WA Plenary. By doing so in a timely manner, the United States demonstrates its decisive support for the goals of the WA, namely, that transfers do not contribute to the development or enhancement of military capabilities or are not diverted to support such capabilities. Timely implementation also ensures that U.S. companies have a level playing field with their competitors in other Participating States.

Revisions to the Commerce Control List Related to WA 2022 Plenary Meeting Decisions

Revisions (14) ECCNs:

1B001, 4D001,4E001, 6A005, 6B007, 7A003, 7E004, 8A001, 8A002, 9A001, 9A003, 9E001, 9E002, and 9E003.

Editorial Revision to Technical Notes in (55) ECCNS:

This rule adds the phrase `For the purposes of' in various Technical Notes in singular and plural form in ECCNs 1A004, 1A006, 1A007, 1A008, 1B001, 1C001, 1C002, 1C005, 1C008, 1C010, 1C011, 2A001, 2B004, 2B006, 2B008, 2B009, 2E003, 3A001, 3A002, 3B001, 3D003, 3D006, 3E001, 3E002, 4A004, 4D001, 4E001, 5A001, 5A002, 5A004, 6A001, 6A002, 6A003, 6A004, 6A005, 6A006, 6A007, 6A008, 6B007, 6C002, 6C005, 6D003, 6E003,7A004, 7A005, 7A006, 7B001, 7D002, 7E004, 8A002, 8C001, 8E002, 9A004, 9B005, and 9E003. The intention of this revision is to ensure consistency among ECCNs.

1C010 “Fibrous or Filamentary Materials”

This rule makes an editorial revision by adding a reference to 1C010.e.1.b to technical note 1 because both paragraphs e.1.b.1 and e.1.b.2 use terms referenced in this technical note.

4D001 “Software” and 4E001 “Technology”

In paragraphs 4D001.b.1 and 4E001.b.1, this rule changes the parameters of Weighted TeraFLOPS (WT) from 15 to 24. This change is made because processors with built-in hardware memory-coherent interconnects allow groupings of up to 8 processors without any additional

technical know-how, and it is widely believed that a single processor will reach Adjusted Peak Performance (APP) levels of up to 2 WT in the next year, and up to 2.5 WT by the 2025 timeframe. Thus, companies will soon be able to build computers that exceed the current APP levels without any additional technology. The corresponding technology and software levels in License Exception APP (Section 740.7 of the EAR) were adjusted in a final rule that implemented certain changes agreed to at the December 2021 WA Plenary.

See

88 FR 12108 (February 24, 2023). Thus, BIS is not making any additional adjustments to those thresholds at this time.

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

This rule raises the “average output power” parameter from “50 W” to “80 W” in 6A005.b.3.a.2. For the industrial applications that use green lasers, the power level is a key factor in manufacturing productivity. These applications require certain pulse energies for the resultant processes. To enhance manufacturing productivity, the repetition frequency for a given pulse energy must be increased, thereby requiring an increase in the average output power. Today, the average output power requirements for industrial green lasers exceed the WA threshold of 50 W, and are expected to continue an upward trend to more than 80 W. Companies outside of Participating States compete in the industrial green laser market, for example, several Chinese companies manufacture green lasers with average output power in the 50-80 W range.

To accommodate increased demand for single-mode semiconductor laser diodes, a decision was made during the WA 2022 Plenary to increase the technical parameters for semiconductor lasers. Specifically, adjusting the wavelength from 1,510 nm to 1,570 nm in 6A005.d.1.a.1 and d.1.a.2 groups these lasers with other semiconductor lasers with lower sensitivity applications. As a result, the necessary output power accommodation for automotive Light Detection and Ranging (LIDAR) applications is achieved with a modest output power increase from 1.5 W to 2.0 W in 6A005.d.1.a.1. Semiconductor lasers that fall within these parameters, while very useful for automotive LIDAR, have limited utility in military applications.

6A007 Gravity Meters (Gravimeters) and Gravity Gradiometers

A technical note to define `time-to-steady-state registration' is added after paragraph 6A007.b.2, to harmonize this entry with the entry on the WA Dual-Use List.

6B007 Equipment To Produce, Align and Calibrate Land-Based Gravity Meters

This rule adds the word “less” to the heading of ECCN 6B007 to clarify that an “accuracy” better than 0.1 mGal is less than 0.1 mGal.

7A003 `Inertial Measurement Equipment or Systems'

This rule moves the definition of `inertial measurement equipment or systems' from

Note 1

to a technical note, so that this entry is consistent with other CCL entries in which definitions are set forth in technical notes.

8A001 Submersible Vehicles and Surface Vessels

In paragraph 8A001.c.1.c, this rule adds the term `wireless' before the term `optical data' to clarify that the reference is to communications through water and to distinguish Remotely Operated Vehicles (ROVs) having this capability from those designed to only use a fiber optic data link.

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

In paragraphs 8A002.o.2.b and 8A002.o.2.c, this rule replaces the term `engines' with `motors' before the term `propulsion.' While the terms “engines” and “motors” are largely interchangeable, it was determined that “motor” is more commonly used in the context of 8A002 items. In paragraph 8A002.o.4, this rule adds a new control for permanent magnet propulsion systems (PM propulsion systems) to adequately cover propulsion systems using permanent magnet motors, including Rim Driven Propulsion systems (RDPs).

9A001 Aero Gas Turbine Engines, and Technology Therefor in 9E001 and 9E002

This rule revises 9A001, 9A003, 9E001, 9E002, and 9E003 to permit the same civil certification release from 9A001 to 9A991 for supersonic aero gas turbine engines that is available for subsonic aero gas turbine engines.

The rule conforms with the decisions made at WA with regard to 9A001, specifically to combine 9A001.a and 9A001.b to allow for the same exclusion when the engine is certified by type with a civil certified supersonic aircraft. This rule revises the reference to 9A001.a in Notes 1 and 2 to read as 9A001, as 9A001.a is now the only subparagraph in 9A001. Note 1 now excludes from 9A001 aero gas turbine engines that power an “aircraft” to Mach 1 or higher for more than 30 minutes if the engines have been certified by an appropriate civil aviation authority, and are intended to power an “aircraft” for which a type certificate (or equivalent document) has been issued, as these engines are now controlled under ECCN 9A991 for AT reasons. As a conforming revision, the reference to 9A001.b is removed from the headings of ECCNs 9E001 and 9E002, as well as from the license requirements tables of these ECCNs. In addition, consistent with the removal of 9A001.b from the CCL, as described above, this rule also removes paragraphs (E) and (F) from § 740.20(b)(2)(viii), which had identified technology associated with 9A001.b that was ineligible for export, reexport, and transfer (in-country) under License Exception STA. Former paragraph (G) is redesignated as paragraph (E).

9A003 “Specially Designed” Assemblies or “Components,” Incorporating Any of the “Technologies” Controlled by 9E003.a, 9E003.h, 9E003.i, or 9E003.k, for Any of the Following Aero Gas Turbine Engines

This rule adds paragraph 9E003.k to the heading of ECCN 9A003, which expands the scope of control of assemblies and components under this ECCN.

9E003 Other “Technology” as Specified

This rule makes a simple editorial change to remove the first comma in 9E003.c after “cooling holes” that otherwise might bring confusion to the control text. This rule also redesignates 9E003.k as 9E003.l and adds a new paragraph 9E003.k to control specific technologies, formerly controlled by 9E001, that are peculiarly responsible for the development of an aero gas turbine engine that can enable an aircraft to cruise at supersonic speeds (Mach 1 or greater) for more than 30 minutes. This technology addition to 9E003 addresses the “development” of systems and components that enable the engine and aircraft to operate a supersonic speed. Because 9E003.k references engine capability (which does not change with certification) this important “development” technology will remain controlled even after the engine enters civil operation. The license requirement table is amended to reflect the redesignation of 9E003.k to

9E003.l to the SI control paragraph. Related revisions as a result of this redesignation are made to §§ 734.4(a)(4), 740.20(b)(2)(viii), 742.14(a), and the introductory text of 742.14(b).

The new 9E003.k technology for supersonic engines controls development technology only. The associated production technology has shifted from ECCN 9E002 to ECCN 9E991 and is designated as “No License Required” (NLR) to all destinations or countries listed in Country Group A:5 and A:6 (

see

supplement no. 1 to part 740 of the EAR).

The STA restrictions under 9E003 are revised by adding an “or” after 9E003.h and adding Country Group A:5 to harmonize with 740.20(b)(2) for 9E003. In addition, this rule adds a new STA restriction paragraph for 9E003.k for Country Group A:6 in order to maintain the STA restriction previously on ECCN 9E001 for ECCN paragraph 9A001.b. As required by the Export Control Reform Act (ECRA) (50 U.S.C. 4801-4852), BIS continually evaluates the control status of a range of technologies, including those related to supersonic engines, to effectively protect U.S. national security and foreign policy interests. In light of the amendments to 9E001 and 9E003 implementing the WA revisions, which identify technologies required for the development of specific components or systems specially designed for supersonic engines, BIS is seeking comment on whether to retain License Exception STA eligibility for destinations specified in Country Group A:5 of supplement no. 1 to part 740 of the EAR for the technology specified in 9E003.k. We invite the public to comment on this issue before the comment period closes. Information about how to comment is provided in the

Address

section of this rule.

Part 772—Definitions of Terms

This rule revises the definition for “intrusion software” by adding double quotes around the term “program” in paragraph (2) to indicate it is a defined term in § 772.1.

This rule notes the two occurrences of the term “program” that did not have double quotation marks indicating it is a defined term in § 772.1 and corrects this omission in technical note 1 below paragraph .g in ECCN 1B001 and in paragraph (2) in the definition of “intrusion software” in § 772.1. This rule also amends the term “program” in § 772.1 to add category 1 and 7 and remove category 2 from the categories where the term is used.

Supplement No. 6 to Part 774 Sensitive List

Paragraph 4 of supplement no. 6 to part 774 Sensitive List (SL) is amended by removing paragraphs (ii) 4D001 and (iii) 4E001. This change is being made as a consequence of the raising of the APP thresholds in 4D001 and 4E001. This rule implements the WA 2022 Plenary determination that high performance computer technology and software do not merit the same level of sensitivity as other items on the SL.

Savings Clause

Shipments of items removed from license exception eligibility or eligibility for export, reexport or transfer (in-country) without a license as a result of this regulatory action that were on dock for loading, on lighter, laden aboard an exporting carrier, or en route aboard a carrier to a port of export, on October 18, 2023, pursuant to actual orders for exports, reexports and transfers (in-country) to a foreign destination, may proceed to that destination under the previous license exception eligibility or without a license so long as they have been exported, reexported or transferred (in-country) before December 18, 2023. Any such items not actually exported, reexported or transferred (in-country) before midnight, on December 18, 2023, require a license in accordance with this interim final rule.

Export Control Reform Act of 2018

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

Rulemaking Requirements

1. Executive Orders 12866, 13563, and 14094 direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects and distributive impacts and equity). Executive Order 13563 emphasizes the importance of quantifying both costs and benefits and of reducing costs, harmonizing rules, and promoting flexibility.

This interim final rule has been designated a “significant regulatory action” under section 3(f) of Executive Order 12866, as amended by Executive Order 14094. This rule does not contain policies with Federalism implications as that term is defined under Executive Order 13132.

2. Notwithstanding any other provision of law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with, a collection of information subject to the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501

et seq.

) (PRA), unless that collection of information displays a currently valid Office of Management and Budget (OMB) Control Number. Although this rule makes important changes to the EAR for items controlled for national security reasons, BIS believes that the overall increases in burdens and costs associated with the following information collections due to this rule will be minimal.

• 0694-0088, “Simplified Network Application Processing System,” which carries a burden- hour estimate of 29.6 minutes for a manual or electronic submission;

• 0694-0137 “License Exceptions and Exclusions,” which carries a burden-hour estimate average of 1.5 hours per submission (Note: submissions for License Exceptions are rarely required);

• 0694-0096 “Five Year Records Retention Period,” which carries a burden-hour estimate of less than 1 minute; and

• 0607-0152 “Automated Export System (AES) Program,” which carries a burden-hour estimate of 3 minutes per electronic submission.

Additional information regarding these collections of information—including all background materials—can be found at

https://www.reginfo.gov/public/do/PRAMain

and using the search function to enter either the title of the collection or the OMB Control Number.

3. Pursuant to Section 1762 of ECRA (50 U.S.C. 4821), this action is exempt from the Administrative Procedure Act (APA) (5 U.S.C. 553) requirements for notice of proposed rulemaking, opportunity for public participation and delay in effective date.

List of Subjects

15 CFR Part 734

Administrative practice and procedure, Exports, Inventions and patents, Research, Science and technology.

15 CFR Part 740

Administrative practice and procedure, Exports, Reporting and recordkeeping.

15 CFR Part 742

Exports, Terrorism.

15 CFR Part 772

Exports.

15 CFR Part 774

Exports, Reporting and recordkeeping requirements, Terrorism.

Accordingly, parts 734, 740, 742, 772 and 774 of the Export Administration Regulations (15 CFR parts 730-774) are amended as follows:

PART 734—SCOPE OF THE EXPORT ADMINISTRATION REGULATIONS

1. The authority citation for part 734 continues to read as follows:

Authority:

50 U.S.C. 4801-4852; 50 U.S.C. 4601

et seq.;

50 U.S.C. 1701

et seq.;

E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp., p. 219; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13637, 78 FR 16129, 3 CFR, 2014 Comp., p. 223; Notice of November 8, 2022, 87 FR 68015 (November 10, 2022).

2. Section 734.4 is amended to revise paragraph (a)(4) to read as follows:

§ 734.4

De Minimis

U.S. content.

(a) * * *

(4) There is no de minimis level for U.S.-origin technology controlled by ECCN 9E003.a.1 through a.6, a.8, .h, .i, and .l, when redrawn, used, consulted, or otherwise commingled abroad.

PART 740—LICENSE EXCEPTIONS

3. The authority citation for part 740 continues to read as follows:

Authority:

50 U.S.C. 4801-4852; 50 U.S.C. 4601

et seq.;

50 U.S.C. 1701

et seq.;

22 U.S.C. 7201

et seq.;

E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.

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

§ 740.20

License Exception Strategic Trade Authorization (STA).

(b) * * *

(2) * * *

(viii) Commerce Control List Category 9 limitations on use of License Exception STA.

(A) License Exception STA may not be used for 9B001 when destined to a country in Country Group A:6.

(B) License Exception STA may not be used for 9D001 or 9D002 “software” that is “specially designed” or modified for the “development” or “production” of:

(1) Components of engines controlled by ECCN 9A001 if such components incorporate any of the “technologies” controlled by 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.h, or 9E003.i (other than technology for fan or power turbines); or

(2) Equipment controlled by 9B001.

(C) License Exception STA may not be used for 9D001 “software” that is “specially designed” or modified for the “development” of “technology” controlled by 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.h, or 9E003.i (other than technology for fan or power turbines).

(D) License Exception STA may not be used for 9D004.f or 9D004.g “software”.

(E) License Exception STA may not be used for “technology” in 9E003.a.1, 9E003.a.2, 9E003.a.3, 9E003.a.4, 9E003.a.5, 9E003.c, 9E003.h, or 9E003.i (other than technology for fan or power turbines).

PART 742—CONTROL POLICY—CCL BASED CONTROLS

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

Authority:

50 U.S.C. 4801-4852; 50 U.S.C. 4601

et seq.;

50 U.S.C. 1701

et seq.;

22 U.S.C. 3201

et seq.;

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

et seq.;

22 U.S.C. 7210; Sec. 1503, Pub. L. 108-11, 117 Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Presidential Determination 2003-23, 68 FR 26459, 3 CFR, 2004 Comp., p. 320; Notice of November 8, 2022, 87 FR 68015 (November 10, 2022).

6. Section 742.14 is amended by revising paragraphs (a) and (b) introductory text to read as follows:

§ 742.14

Significant items: hot section technology for the development, production or overhaul of commercial aircraft engines, components, and systems.

(a)

License requirement.

Licenses are required for all destinations, except Canada, for ECCNs having an “SI” under the “Reason for Control” paragraph. These items include hot section technology for the development, production or overhaul of commercial aircraft engines controlled under ECCN 9E003.a.1 through a.6, a.8, .h, .i, and .l, and related controls.

(b)

Licensing policy.

Pursuant to section 6 of the Export Administration Act of 1979, as amended, foreign policy controls apply to technology required for the development, production or overhaul of commercial aircraft engines controlled by ECCN 9E003a.1 through a.6, a.8, .h, .i, and .l, and related controls. These controls supplement the national security controls that apply to these items. Applications for export and reexport to all destinations will be reviewed on a case-by-case basis to determine whether the export or reexport is consistent with U.S. national security and foreign policy interests. The following factors are among those that will be considered to determine what action will be taken on license applications:

PART 772—DEFINITIONS OF TERMS

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

Authority:

50 U.S.C. 4801-4852; 50 U.S.C. 4601

et seq.;

50 U.S.C. 1701

et seq.;

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

8. Section 772.1 is amended by revising the definitions for “Intrusion software” and “Program” to read as follows:

§ 772.1

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

Intrusion software.

(5P2) “Software” specially designed or modified to avoid detection by `monitoring tools', or to defeat `protective countermeasures', of a computer or network-capable device, and performing any of the following:

(1) The extraction of data or information, from a computer or network-capable device, or the modification of system or user data; or

(2) The modification of the standard execution path of a “program” or process in order to allow the execution of externally provided instructions.

Note 1 to “

Intrusion Software” Definition:

“Intrusion software” does not include any of the following: Hypervisors, debuggers or Software Reverse Engineering (SRE) tools; Digital Rights Management (DRM) “software”; or “Software” designed to be installed by manufacturers, administrators or users, for the purposes of asset tracking or recovery.

Note 2 to “

Intrusion Software” Definition:

Network-capable devices include mobile devices and smart meters.

Technical note 1 to “

Intrusion Software” Definition:

`Monitoring tools': “software” or hardware devices, that monitor system behaviors or processes running on a device. This includes antivirus (AV) products, end point security products, Personal Security Products (PSP), Intrusion Detection Systems (IDS), Intrusion Prevention Systems (IPS) or firewalls.

Technical note 2 to “

Intrusion Software” Definition:

`Protective countermeasures': techniques designed to ensure the safe execution of code, such as Data Execution Prevention (DEP), Address Space Layout Randomization (ASLR) or sandboxing.

Program.

(Cat 1, 4, 6, and 7)—A sequence of instructions to carry out a process in, or convertible into, a form executable by an electronic computer.

PART 774—THE COMMERCE CONTROL LIST

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

Authority:

50 U.S.C. 4801-4852; 50 U.S.C. 4601

et seq.;

50 U.S.C. 1701

et seq.;

10 U.S.C. 8720; 10 U.S.C. 8730(e); 22 U.S.C. 287c, 22 U.S.C. 3201

et seq.;

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

et seq.;

22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.

10. In supplement no. 1 to part 774, ECCNs 1A004, 1A006, 1A007, 1A008, 1B001, 1C001, 1C002, 1C003, 1C005, 1C008, 1C010, 1C011, 2A001, 2B004, 2B006, 2B008, 2B009, 2E003, 3A001, 3A002, 3B001, 3D003, 3D006, 3E001, 3E002, 4A004, 4D001, 4E001, 5A001, 5A002, 5A004, 6A001, 6A002, 6A003, 6A004, 6A005, 6A006, 6A007, 6A008, 6B007, 6C002, 6C005, 6D003, 6E003, 7A003, 7A004, 7A005, 7A006, 7B001, 7D002, 7E004, 8A001, 8A002, 8C001, 8E002, 9A001, 9A003, 9A004, 9A005, 9B005, 9E001, 9E002, and 9E003 are revised to read as follows:

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

1A004 Protective and detection equipment and “components”, not “specially designed” for military use, as follows (see List of Items Controlled).

License Requirements

Reason for Control:

NS, CB, RS, AT

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: Integral to the device; inseparable from the device; and incapable of replacement without compromising the effectiveness of the device, in which case the equipment is subject to the export licensing jurisdiction of the Department of Commerce under ECCN 1A004. (5) This entry does not control radionuclides incorporated in equipment listed in this entry—such materials are subject to the licensing jurisdiction of the Nuclear Regulatory Commission (See 10 CFR part 110).

Related Definitions:

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

Items:

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

Note:

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

Technical Notes:

For the purposes of 1A004.a:

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

2. Filter canisters include filter cartridges.

a.1. `Biological agents';

a.2. `Radioactive materials';

a.3. Chemical warfare (CW) agents;

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:

For the purposes of 1A004.d, `trace detection' is defined as the capability to detect less than 1 ppm vapor, or 1 mg solid or liquid.

Note 1:

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

Note 2

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

Note:

1A004 does not control:

a. Personal radiation monitoring dosimeters;

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

1. Mining;

2. Quarrying;

3. Agriculture;

4. Pharmaceutical;

5. Medical;

6. Veterinary;

7. Environmental;

8. Waste management;

9. Food industry.

Technical Notes:

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.

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

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

1A006 Equipment, “specially designed” or modified for the disposal of Improvised Explosive Devices (IEDs), as follows (see List of Items Controlled), and “specially designed” “components” and “accessories” therefor.

License Requirements

Reason for Control: NS, AT

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

License Requirement Note:

1A006 does not apply to equipment when accompanying its operator.

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

LVS:

N/A

GBS:

N/A

List of Items Controlled

Related Controls:

Equipment “specially designed” for military use for the disposal of IEDs is “subject to the ITAR” (see 22 CFR parts 120 through 130, including USML Category IV).

Related Definitions:

N/A

Items:

a. Remotely operated vehicles;

b. `Disruptors'.

Technical Note:

For the purposes of 1A006.b `disruptors' are devices “specially designed” for the purpose of preventing the operation of an explosive device by projecting a liquid, solid or frangible projectile.

Note:

1A006 does not apply to equipment when accompanying its operator.

1A007 Equipment and devices, “specially designed” to initiate charges and devices containing “energetic materials,” by electrical means, as follows (see List of Items Controlled).

License Requirements

Reason for Control:

NS, NP, AT

Control(s)

Country chart

(see supp. No. 1 to part 738)

NS applies to entire entry

NS Column 2

NP applies to 1A007.b, as well as 1A007.a when the detonator firing set meets or exceeds the parameters of 3A229

NP Column 1

AT applies to entire entry

AT Column 1

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

LVS:

N/A

GBS:

N/A

List of Items Controlled

Related Controls:

High explosives and related equipment “specially designed” for military use are “subject to the ITAR” (see 22 CFR parts 120 through 130). This entry does not control detonators using only primary explosives, such as lead azide. See also ECCNs 0A604, 3A229, and 3A232. See 1E001 for “development” and “production” technology controls, and 1E201 for “use” technology controls.

Related Definitions:

N/A

Items:

a. Explosive detonator firing sets designed to drive explosive detonators specified by 1A007.b;

b. Electrically driven explosive detonators as follows:

b.1. Exploding bridge (EB);

b.2. Exploding bridge wire (EBW);

b.3. Slapper;

b.4. Exploding foil initiators (EFI).

Technical Notes:

1. The word initiator or igniter is sometimes used in place of the word detonator.

2. For the purposes of 1A007.b, the detonators of concern all utilize a small electrical conductor (bridge, bridge wire, or foil) that explosively vaporizes when a fast, high-current electrical pulse is passed through it. In non slapper types, the exploding conductor starts a chemical detonation in a contacting high explosive material such as PETN (pentaerythritoltetranitrate). In slapper detonators, the explosive vaporization of the electrical conductor drives a flyer or slapper across a gap, and the impact of the slapper on an explosive starts a chemical detonation. The slapper in some designs is driven by magnetic force. The term exploding foil detonator may refer to either an EB or a slapper-type detonator.

1A008 Charges, devices and “components”, as follows (see List of Items Controlled).

License Requirements

Reason for Control:

NS, UN, AT

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:

For the purposes of 1A008.a, `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.

1B001 Equipment for the production or inspection of “composite” structures or laminates controlled by 1A002 or “fibrous or filamentary materials” controlled by 1C010, as follows (see List of Items Controlled), and “specially designed” “components” and “accessories” therefor.

License Requirements

Reason for Control:

NS, MT, NP, AT

Control(s)

Country chart

(see supp. No. 1 to part 738)

NS applies to entire entry

NS Column 2

MT applies to entire entry, except 1B001.d.4, e and f.

Note:

MT applies to equipment in 1B001.d that meet or exceed the parameters of 1B101

MT Column 1

NP applies to filament winding machines described in 1B001.a that are capable of winding cylindrical rotors having a diameter between 75 mm (3 in) and 400 mm (16 in) and lengths of 600 mm (24 in) or greater; AND coordinating and programming controls and precision mandrels for these filament winding machines

NP Column 1.

AT applies to entire entry

AT Column 1.

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

LVS:

N/A for MT and for 1B001.a; $5000 for all other items

GBS:

N/A

List of Items Controlled

Related Controls:

(1) See ECCN 1D001 for software for items controlled by this entry and see ECCNs 1E001 (“development” and “production”) and 1E101 (“use”) for technology for items controlled by this entry. (2) Also see ECCNs 1B101 and 1B201.

Related Definitions:

N/A

Items:

a. Filament winding machines, of which the motions for positioning, wrapping and winding fibers are coordinated and programmed in three or more `primary servo positioning' axes, “specially designed” for the manufacture of “composite” structures or laminates, from “fibrous or filamentary materials”;

b. `Tape laying machines', of which the motions for positioning and laying tape are coordinated and programmed in five or more `primary servo positioning' axes, “specially designed” for the manufacture of “composite” airframe or missile structures;

Technical Note:

For the purposes of 1B001.b, `tape-laying machines' have the ability to lay one or more `filament bands' limited to widths greater than 25.4 mm and less than or equal to 304.8 mm, and to cut and restart individual `filament band' courses during the laying process.

c. Multidirectional, multidimensional weaving machines or interlacing machines, including adapters and modification kits, “specially designed” or modified for weaving, interlacing or braiding fibers for “composite” structures;

Technical Note:

For the purposes of 1B001.c the technique of interlacing includes knitting.

d. Equipment “specially designed” or adapted for the production of reinforcement fibers, as follows:

d.1. Equipment for converting polymeric fibers (such as polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon fibers or silicon carbide fibers, including special equipment to strain the fiber during heating;

d.2. Equipment for the chemical vapor deposition of elements or compounds, on heated filamentary substrates, to manufacture silicon carbide fibers;

d.3. Equipment for the wet-spinning of refractory ceramics (such as aluminum oxide);

d.4. Equipment for converting aluminum containing precursor fibers into alumina fibers by heat treatment;

e. Equipment for producing prepregs controlled by 1C010.e by the hot melt method;

f. Non-destructive inspection equipment “specially designed” for “composite” materials, as follows:

f.1. X-ray tomography systems for three dimensional defect inspection;

f.2. Numerically controlled ultrasonic testing machines of which the motions for positioning transmitters or receivers are simultaneously coordinated and programmed in four or more axes to follow the three dimensional contours of the “part” or “component” under inspection;

g. Tow-placement machines, of which the motions for positioning and laying tows are coordinated and programmed in two or more `primary servo positioning' axes, “specially designed” for the manufacture of “composite” airframe or missile structures.

Technical Note to 1B001.g:

For the purposes of 1B001.g, `tow-placement machines' have the ability to place one or more `filament bands' having widths less than or equal to 25.4 mm, and to cut and restart individual `filament band' courses during the placement process.

Technical Notes for 1B001:

For the purposes of 1B001, `primary servo positioning' axes control, under computer “program” direction, the position of the end effector (i.e., head) in space relative to the work piece at the correct orientation and direction to achieve the desired process.

For the purposes of 1B001, a `filament band' is a single continuous width of fully or partially resin-impregnated tape, tow or fiber. Fully or partially resin-impregnated `filament bands' include those coated with dry powder that tacks upon heating.

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

License Requirements

Reason for Control:

NS, MT, AT

Control(s)

Country chart

(see Supp. No. 1 to part 738)

NS applies to entire entry

NS Column 1

MT applies to items that meet or exceed the parameters of ECCN 1C101

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 2B998.

Related Definition:

N/A

Items:

a. [Reserved]

b. [Reserved]

c. `Compound rotary tables' having all of the following:

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

and

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

Technical Note:

For the purposes of 2B008.c, a `compound rotary table' is a table allowing the workpiece to rotate and tilt about two non-parallel axes.

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

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

and

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

2B009 Spin-forming machines and flow-forming machines, which, according to the manufacturer's technical specifications, can be equipped with “numerical control” units or a computer control and having all of the following characteristics (see List of Items Controlled).

License Requirements

Reason for Control:

NS, MT, NP, AT

Control(s)

Country chart (see supp. no. 1 to part 738)

NS applies to entire entry

NS Column 2

MT applies to: spin-forming

machines combining the functions of spin-forming and flow-forming; and flow-forming machines that meet or exceed the parameters of 2B009.a and 2B109

MT Column 1

NP applies to flow-forming machines, and spin-forming machines capable of flow-forming functions, that meet or exceed the parameters of 2B209

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 ECCN 2D001 for “software” for items controlled under this entry. (2) See ECCNs 2E001 (“development”), 2E002 (“production”), and 2E101 (“use”) for technology for items controlled under this entry. (3) Also see ECCNs 2B109 and 2B209 for additional flow-forming machines for MT and NP reasons.

Related Definitions:

N/A

Items:

a. Three or more axes which can be coordinated simultaneously for “contouring control”;

and

b. A roller force more than 60 kN.

Technical Note:

For the purposes of 2B009, machines combining the function of spin-forming and flow-forming are regarded as flow-forming machines.

2E003 Other “technology”, as follows (see List of Items Controlled).

License Requirements

Reason for Control:

NS, AT

Control(s)

Country chart (see Supp. No. 1 to part 738)

NS applies to entire entry

NS Column 1

AT applies to entire entry

AT Column 1

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

TSR:

Yes, except 2E003.b, .e and .f

List of Items Controlled

Related Controls:

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

Related Definitions:

N/A

Items:

a. [Reserved]

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

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

b.1.a. “Superplastic forming”;

b.1.b. “Diffusion bonding”;

b.1.c. `Direct-acting hydraulic pressing';

b.2. [Reserved]

N.B.:

For “technology” for metal-working manufacturing processes for gas turbine engines and components, see 9E003 and USML Category XIX

Technical Note:

For the purposes of 2E003.b.1.c, `direct-acting hydraulic pressing' is a deformation process which uses a fluid-filled flexible bladder in direct contact with the workpiece.

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

d. [Reserved]

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

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

N.B.

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

Category 2E—Materials Processing Table; Deposition Techniques

The numbers in parenthesis refer to the Notes following this Table.

Coating process

(1)

Substrate

Resultant coating

A. Chemical Vapor Deposition (CVD)

“Superalloys”

Aluminides for internal passages

Ceramics (19) and Low-expansion glasses(14)

Silicides

Carbides

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

Carbon-carbon, Ceramic, and Metal “matrix” “composites“

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Aluminides

Alloyed aluminides (2)

Boron nitride

Cemented tungsten

carbide (16),

Silicon carbide (18)

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

Sensor window materials (9)

Dielectric layers (15)

Diamond

Diamond-like carbon (17)

B. Thermal-Evaporation Physical Vapor:

1. Physical Vapor Deposition (PVD): Deposition (TE-PVD) Electron-Beam (EB-PVD)

“Superalloys”

Alloyed silicides

Alloyed aluminides (2)

MCrAlX (5)

Modified zirconia (12)

Silicides

Aluminides

Mixtures thereof (4)

Ceramics (19) and Low-expansion glasses (14)

Dielectric layers (15)

Corrosion resistant steel (7)

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

Carbon-carbon, Ceramic and Metal “matrix” “composites”

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

Cemented tungsten carbide (16), Silicon carbide (18)

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Borides

Beryllium

Sensor window materials (9)

Dielectric layers (15)

Titanium alloys (13)

Borides

Nitrides

2. Ion assisted resistive heating Physical Vapor Deposition (PVD)(Ion Plating)

Ceramics (19) and Low-expansion glasses (14)

Dielectric layers (15)

Diamond-like carbon (17)

Carbon-carbon, Ceramic and Metal “matrix” “composites”

Dielectric layers (15)

Cemented tungsten carbide (16)

Silicon carbide

Dielectric layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Sensor window materials (9)

Dielectric Layers (15)

Diamond-like carbon (17)

3. Physical Vapor Deposition (PVD): “Laser” Vaporization

Ceramics (19) and Low-expansion glasses (14)

Silicides

Dielectric layers (15)

Diamond-like carbon (17)

Carbon-carbon, Ceramic and Metal “matrix” “composites”

Dielectric layers (15)

Cemented tungsten carbide (16), Silicon carbide

Dielectric Layers (15)

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Dielectric layers (15)

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon

4. Physical Vapor Deposition (PVD): Cathodic Arc Discharge

“Superalloys”

Alloyed silicides

Alloyed Aluminides (2)

MCrA1X (5)

Polymers (11) and Organic “matrix” “composites”

Borides

Carbides

Nitrides

Diamond-like carbon (17)

C. Pack cementation (see A above for out-of-pack cementation) (10)

Carbon-carbon, Ceramic and Metal “matrix” “composites”

Silicides

Carbides

Mixtures thereof (4)

Titanium alloys (13)

Silicides

Aluminides

Alloyed aluminides (2)

Refractory metals and alloys (8)

Silicides

Oxides

D. Plasma spraying

“Superalloys”

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

Abradable Nickel-Graphite

Abradable materials containing

Ni-Cr-Al Abradable

Al-Si-Polyester Alloyed aluminides (2)

Aluminum alloys (6)

MCrAlX (5)

Modified zirconia (12)

Silicides

Mixtures thereof (4)

Refractory metals and alloys (8), Carbides, Corrosion resistant steel (7)

Aluminides

Silicides

MCrAlX (5)

Modified zirconia (12)

Mixtures thereof (4)

D. Plasma spraying (continued)

Titanium alloys (13)

Carbides

Aluminides

Silicides

Alloyed aluminides (2)

Abradable Nickel Graphite

Abradable materials containing

Ni-Cr-Al

Abradable Al-Si-Polyester

E. Slurry Deposition

Refractory metals and alloys (8)

Fused silicides

Fused aluminides except for resistance heating elements

Carbon-carbon, Ceramic and Metal “matrix” “composites”

Silicides

Carbides

Mixtures thereof (4)

F. Sputter Deposition

“Superalloys”

Alloyed silicides

Alloyed aluminides (2)

Noble metal modified aluminides (3)

MCrAlX (5)

Modified zirconia (12)

Platinum

Mixtures thereof (4)

Ceramics and Low-expansion glasses (14)

Silicides

Platinum

Mixtures thereof (4)

Dielectric layers (15)

Diamond-like carbon (17)

Titanium alloys (13)

Borides

Nitrides

Oxides

Silicides

Aluminides

Alloyed aluminides (2)

Carbides

F. Sputter Deposition (continued)

Carbon-carbon, Ceramic and Metal “matrix” “Composites”

Silicides

Carbides

Refractory metals

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

Cemented tungsten carbide (16), Silicon carbide (18)

Carbides

Tungsten

Mixtures thereof (4)

Dielectric layers (15)

Boron nitride

Molybdenum and Molybdenum alloys

Dielectric layers (15)

Beryllium and Beryllium alloys

Borides

Dielectric layers (15)

Beryllium

Sensor window materials (9)

Dielectric layers (15)

Diamond-like carbon (17)

Refractory metals and alloys (8)

Aluminides

Silicides

Oxides

Carbides

G. Ion Implantation

High temperature bearing steels

Additions of Chromium,Tantalum, or Niobium (Columbium)

Titanium alloys (13)

Borides

Nitrides

Beryllium and Beryllium alloys

Borides

Cemented tungsten carbide (16)

Carbides

Nitrides

Notes to Table on Deposition Techniques:

1. The term “coating process” includes coating repair and refurbishing as well as original coating.

2. The term “alloyed aluminide coating” includes single or multiple-step coatings in which an element or elements are deposited prior to or during application of the aluminide coating, even if these elements are deposited by another coating process. It does not, however, include the multiple use of single-step pack cementation processes to achieve alloyed aluminides.

3. The term “noble metal modified aluminide” coating includes multiple-step coatings in which the noble metal or noble metals are laid down by some other coating process prior to application of the aluminide coating.

4. The term “mixtures thereof” includes infiltrated material, graded compositions, co-deposits and multilayer deposits and are obtained by one or more of the coating processes specified in the Table.

5. MCrAlX refers to a coating alloy where M equals cobalt, iron, nickel or combinations thereof and X equals hafnium, yttrium, silicon, tantalum in any amount or other intentional additions over 0.01% by weight in various proportions and combinations, except:

a. CoCrAlY coatings which contain less than 22% by weight of chromium, less than 7% by weight of aluminum and less than 2% by weight of yttrium;

b. CoCrAlY coatings which contain 22 to 24% by weight of chromium, 10 to 12% by weight of aluminum and 0.5 to 0.7% by weight of yttrium; or

c. NiCrAlY coatings which contain 21 to 23% by weight of chromium, 10 to 12% by weight of aluminum and 0.9 to 1.1% by weight of yttrium.

6. The term “aluminum alloys” refers to alloys having an ultimate tensile strength of 190 MPa or more measured at 293 K (20 °C).

7. The term “corrosion resistant steel” refers to AISI (American Iron and Steel Institute) 300 series or equivalent national standard steels.

8. “Refractory metals and alloys” include the following metals and their alloys: niobium (columbium), molybdenum, tungsten and tantalum.

9. “Sensor window materials”, as follows: alumina, silicon, germanium, zinc sulphide, zinc selenide, gallium arsenide, diamond, gallium phosphide, sapphire and the following metal halides: sensor window materials of more than 40 mm diameter for zirconium fluoride and hafnium fluoride.

10. Category 2 does not include “technology” for single-step pack cementation of solid airfoils.

11. “Polymers”, as follows: polyimide, polyester, polysulfide, polycarbonates and polyurethanes.

12. “Modified zirconia” refers to additions of other metal oxides, (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) to zirconia in order to stabilize certain crystallographic phases and phase compositions. Thermal barrier coatings made of zirconia, modified with calcia or magnesia by mixing or fusion, are not controlled.

13. “Titanium alloys” refers only to aerospace alloys having an ultimate tensile strength of 900 MPa or more measured at 293 K (20 °C).

14. “Low-expansion glasses” refers to glasses which have a coefficient of thermal expansion of 1 x 10

−7

−1

or less measured at 293 K (20 °C).

15. “Dielectric layers” are coatings constructed of multi-layers of insulator materials in which the interference properties of a design composed of materials of various refractive indices are used to reflect, transmit or absorb various wavelength bands. Dielectric layers refers to more than four dielectric layers or dielectric/metal “composite” layers.

16. “Cemented tungsten carbide” does not include cutting and forming tool materials consisting of tungsten carbide/(cobalt, nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-chromium and chromium carbide/nickel.

17. “Technology” for depositing diamond-like carbon on any of the following is not controlled: magnetic disk drives and heads, equipment for the manufacture of disposables, valves for faucets, acoustic diaphragms for speakers, engine parts for automobiles, cutting tools, punching-pressing dies, office automation equipment, microphones, medical devices or molds, for casting or molding of plastics, manufactured from alloys containing less than 5% beryllium.

18. “Silicon carbide” does not include cutting and forming tool materials.

19. Ceramic substrates, as used in this entry, does not include ceramic materials containing 5% by weight, or greater, clay or cement content, either as separate constituents or in combination.

Technical Note to Table on Deposition Techniques:

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

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

Note 1:

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

Note 2:

Pack denotes a substrate immersed in a powder mixture.

Note 3:

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

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

be a feature of these processes. Specific TE-PVD processes are as follows:

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

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

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

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

Note:

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

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

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

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

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

3. An inert powder, most frequently alumina.

Note:

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

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

Note 1:

Low pressure means less than ambient atmospheric pressure.

Note 2:

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

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

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

Note 1:

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

Note 2:

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

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

Accompanying Technical Information to Table on Deposition Techniques:

1. Technical information for pretreatments of the substrates listed in the Table, as follows:

a. Chemical stripping and cleaning bath cycle parameters, as follows:

1. Bath composition;

a. For the removal of old or defective coatings corrosion product or foreign deposits;

b. For preparation of virgin substrates;

2. Time in bath;

3. Temperature of bath;

4. Number and sequences of wash cycles;

b. Visual and macroscopic criteria for acceptance of the cleaned part;

c. Heat treatment cycle parameters, as follows:

1. Atmosphere parameters, as follows:

a. Composition of the atmosphere;

b. Pressure of the atmosphere;

2. Temperature for heat treatment;

3. Time of heat treatment;

d. Substrate surface preparation parameters, as follows:

1. Grit blasting parameters, as follows:

a. Grit composition;

b. Grit size and shape;

c. Grit velocity;

2. Time and sequence of cleaning cycle after grit blast;

3. Surface finish parameters;

4. Application of binders to promote adhesion;

e. Masking technique parameters, as follows:

1. Material of mask;

2. Location of mask;

2. Technical information for in situ quality assurance techniques for evaluation of the coating processes listed in the Table, as follows:

a. Atmosphere parameters, as follows:

1. Composition of the atmosphere;

2. Pressure of the atmosphere;

b. Time parameters;

c. Temperature parameters;

d. Thickness parameters;

e. Index of refraction parameters;

f. Control of composition;

3. Technical information for post deposition treatments of the coated substrates listed in the Table, as follows:

a. Shot peening parameters, as follows:

1. Shot composition;

2. Shot size;

3. Shot velocity;

b. Post shot peening cleaning parameters;

c. Heat treatment cycle parameters, as follows:

1. Atmosphere parameters, as follows:

a. Composition of the atmosphere;

b. Pressure of the atmosphere;

2. Time-temperature cycles;

d. Post heat treatment visual and macroscopic criteria for acceptance of the coated substrates;

4. Technical information for quality assurance techniques for the evaluation of the coated substrates listed in the Table, as follows:

a. Statistical sampling criteria;

b. Microscopic criteria for:

1. Magnification;

2. Coating thickness, uniformity;

3. Coating integrity;

4. Coating composition;

5. Coating and substrates bonding;

6. Microstructural uniformity.

c. Criteria for optical properties assessment (measured as a function of wavelength):

1. Reflectance;

2. Transmission;

3. Absorption;

4. Scatter;

5. Technical information and parameters related to specific coating and surface modification processes listed in the Table, as follows:

a. For Chemical Vapor Deposition (CVD):

1. Coating source composition and formulation;

2. Carrier gas composition;

3. Substrate temperature;

4. Time-temperature-pressure cycles;

5. Gas control and part manipulation;

b. For Thermal Evaporation-Physical Vapor Deposition (PVD):

1. Ingot or coating material source composition;

2. Substrate temperature;

3. Reactive gas composition;

4. Ingot feed rate or material vaporization rate;

5. Time-temperature-pressure cycles;

6. Beam and part manipulation;

7. “Laser” parameters, as follows:

a. Wave length;

b. Power density;

c. Pulse length;

d. Repetition ratio;

e. Source;

c. For Pack Cementation:

1. Pack composition and formulation;

2. Carrier gas composition;

3. Time-temperature-pressure cycles;

d. For Plasma Spraying:

1. Powder composition, preparation and size distributions;

2. Feed gas composition and parameters;

3. Substrate temperature;

4. Gun power parameters;

5. Spray distance;

6. Spray angle;

7. Cover gas composition, pressure and flow rates;

8. Gun control and part manipulation;

e. For Sputter Deposition:

1. Target composition and fabrication;

2. Geometrical positioning of part and target;

3. Reactive gas composition;

4. Electrical bias;

5. Time-temperature-pressure cycles;

6. Triode power;

7. Part manipulation;

f. For Ion Implantation:

1. Beam control and part manipulation;

2. Ion source design details;

3. Control techniques for ion beam and deposition rate parameters;

4. Time-temperature-pressure cycles.

g. For Ion Plating:

1. Beam control and part manipulation;

2. Ion source design details;

3. Control techniques for ion beam and deposition rate parameters;

4. Time-temperature-pressure cycles;

5. Coating material feed rate and vaporization rate;

6. Substrate temperature;

7. Substrate bias parameters.

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

Reason for Control:

NS, RS, MT, NP, AT

Control(s)

Country chart

(see Supp. No. 1 to part 738)

NS applies to “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers in 3A001.b.2 and discrete microwave transistors in 3A001.b.3, except those 3A001.b.2 and b.3 items being exported or reexported for use in civil telecommunications applications

NS Column 1

NS applies to entire entry

NS Column 2

RS applies “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers in 3A001.b.2 and discrete microwave transistors in 3A001.b.3, except those 3A001.b.2 and b.3 items being exported or reexported for use in civil telecommunications applications

RS Column 1

MT applies to 3A001.a.1.a when usable in “missiles”; and to 3A001.a.5.a when “designed or modified” for military use, hermetically sealed and rated for operation in the temperature range from below −54 °C to above +125 °C

MT Column 1

NP applies to pulse discharge capacitors in 3A001.e.2 and superconducting solenoidal electromagnets in 3A001.e.3 that meet or exceed the technical parameters in 3A201.a and 3A201.b, respectively

NP Column 1

AT applies to entire entry

AT Column 1

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:

$1500: 3A001.c

$3000: 3A001.b.1, b.2 (exported or reexported for use in civil telecommunications applications), b.3 (exported or reexported for use in civil telecommunications applications), b.9, .d, .e, .f, and .g.

$5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), .b.4 to b.7, and b.12.

GBS:

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

Special Conditions for STA

STA:

License Exception STA may not be used to ship any item in 3A001.b.2 or b.3, except those that are being exported or reexported for use in civil telecommunications applications, to any of the destinations listed in Country Group A:5 or A:6 (See Supplement No. 1 to part 740 of the EAR).

List of Items Controlled

Related Controls:

(1) See Category XV of the USML for certain “space-qualified” electronics and Category XI of the USML for certain ASICs, `transmit/receive modules,' or `transmit modules' “subject to the ITAR” (see 22 CFR parts 120 through 130). (2) See also 3A101, 3A201, 3A611, 3A991, and 9A515.

Related Definitions:

`Microcircuit' means a device in which a number of passive or active elements are considered as indivisibly associated on or within a continuous structure to perform the function of a circuit. For the purposes of integrated circuits in 3A001.a.1, 5 × 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, Static Random-Access Memories (SRAMs), or `non-volatile memories,' having any of the following:

Technical Note:

For the purposes of 3A001.a.2, `non-volatile memories' are

memories with data retention over a period of time after a power shutdown.

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

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

a.2.c. Rated for operation over the entire ambient temperature range from 218 K (−55 °C) to 398 K (+125 °C);

Note:

3A001.a.2 does not apply to integrated circuits designed for civil automobile or railway train applications.

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

Note:

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

a.4. [Reserved]

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

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

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

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

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

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

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

N.B.:

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

Technical Notes:

For the purposes of 3A001.a.5.a:

A resolution of n bit corresponds to a quantization of 2

levels.

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

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

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

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

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

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

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

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

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;

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

Technical Notes:

For the purposes of 3A001.a.5.b:

`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.

SFDR is determined directly from the specification table or from the characterization plots of SFDR versus frequency.

A signal is defined to be full scale when its amplitude is greater than −3 dBfs (full scale).

`Adjusted update rate' for DACs is:

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.

For interpolating DACs (oversampling DACs), the `adjusted update rate' is defined as the DAC update rate divided by the smallest interpolating factor. For interpolating DACs, the `adjusted update rate' may be referred to by different terms including:

• input data rate

• input word rate

• input sample rate

• maximum total input bus rate

• maximum DAC clock rate for DAC clock input.

a.6. Electro-optical and “optical integrated circuits”, designed for “signal processing” and having all of the following:

a.6.a. One or more than one internal “laser” diode;

a.6.b. One or more than one internal light detecting element;

and

a.6.c. Optical waveguides;

a.7. `Field programmable logic devices' having any of the following:

a.7.a. A maximum number of single-ended digital input/outputs of greater than 700;

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

Note:

3A001.a.7 includes:

—Complex Programmable Logic Devices (CPLDs);

—Field Programmable Gate Arrays (FPGAs);

—Field Programmable Logic Arrays (FPLAs);

—Field Programmable Interconnects (FPICs).

N.B.:

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

Technical Notes:

For the purposes of 3A001.a.7:

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.

`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:

For the purposes of 3A001.a.12, when N is equal to 1,024 points, the formula in 3A001.a.12 gives an execution time of 500 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:

For the purposes of 3A001.a.13, the DAC clock frequency may be specified as the master clock frequency or the input clock frequency.

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

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

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

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

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

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

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

and

a.14.b. Any of the following:

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

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

N.B. 1:

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

N.B. 2:

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

Technical Notes:

For the purposes of 3A001.a.14:

A resolution of n bit corresponds to a quantization of 2

levels.

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

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

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

b. Microwave or millimeter wave items, as follows:

Technical Note:

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

b.1. “Vacuum electronic devices” and cathodes, as follows:

Note 1:

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

Does not exceed 31.8 GHz;

and

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:

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

and

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

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:

For the purposes of 3A001.b.1.d, `dual mode' means the “vacuum electronic device” beam current can be intentionally changed between continuous-wave and pulsed mode operation by use of a grid and produces a peak pulse output power greater than the continuous-wave output power.

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

N.B.:

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

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

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

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

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

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 (48.45 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;

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

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

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.:

For “MMIC” amplifiers see 3A001.b.2.

For `transmit/receive modules' and `transmit modules' see 3A001.b.12.

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

Note 1:

[Reserved]

Note 2:

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

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

max

min

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

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

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

b.6. [Reserved]

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

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

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

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

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

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

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

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

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

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:

For the purposes of 3A001.b.9:

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

/W = 200 cm

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:

For the purposes of 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 75 GHz;

b.11.f. Less than 100 µs for any frequency change exceeding 5.0 GHz within the synthesized frequency range exceeding 75 GHz but not exceeding 90 GHz;

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

Technical Note:

For the purposes of 3A001.b.11, a `frequency synthesizer' is any kind of frequency source, regardless of the actual technique used, providing a

multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies.

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:

For the purposes of 3A001.b.12:

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

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

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

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

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

GHz

) in the formula in 3A001.b.12.c for transmit/receive or transmit modules that have a rated operation range extending downward to 2.7 GHz and below [d≤15cm*GHz*N/2.7 GHz].

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.

`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:

For the purposes of 3A001.c.1, `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 any of the following at 20°C:

e.1.a.1. `Energy density' exceeding 550 Wh/kg and a `continuous power density' exceeding 50 W/kg;

e.1.a.2. `Energy density' exceeding 50 Wh/kg and a `continuous power density' exceeding 350 W/kg;

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

Technical Notes:

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

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

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

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

For the purposes of 3A001.e.1.a, `continuous power density' (W/kg) is calculated from the nominal voltage multiplied by the specified maximum continuous discharge current in amperes (A) divided by the mass in kilograms. `Continuous power density' is also referred to as specific power.

Note:

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

e.2. High energy storage capacitors as follows:

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

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

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

and

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

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

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

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

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

and

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

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

Note:

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

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

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

and

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

;

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:

For the purposes of 3A001.e.4, `AM0', or `Air Mass Zero', refers to the spectral irradiance of sun light in the earth's outer atmosphere when the distance between the earth and sun is one astronomical unit (AU).

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

g. Solid-state pulsed power switching thyristor devices and `thyristor modules',

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.

i. Intensity, amplitude, or phase electro-optic modulators, designed for analog signals and having any of the following:

i.1. A maximum operating frequency of more than 10 GHz but less than 20 GHz, an optical insertion loss equal to or less than 3 dB and having any of the following:

i.1.a. A `half-wave voltage' (`Vπ') less than 2.7 V when measured at a frequency of 1 GHz or below;

i.1.b. A `Vπ' of less than 4 V when measured at a frequency of more than 1 GHz;

i.2. A maximum operating frequency equal to or greater than 20 GHz, an optical insertion loss equal to or less than 3 dB and having any of the following:

i.2.a. A `Vπ' less than 3.3 V when measured at a frequency of 1 GHz or below;

i.2.b. A `Vπ' less than 5 V when measured at a frequency of more than 1 GHz.

Note:

3A001.i includes electro-optic modulators having optical input and output connectors (e.g., fiber-optic pigtails).

Technical Note:

For the purposes of 3A001.i, a `half-wave voltage' (`Vπ') is the applied voltage necessary to make a phase change of 180 degrees in the wavelength of light propagating through the optical modulator.

3A002 General purpose “electronic assemblies,” modules and equipment, as follows (see List of Items Controlled).

License Requirements

Reason for Control:

NS, MT, AT

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:

$3000: 3A002.a, .e, .f, and .g

$5000: 3A002.c to .d, and .h (unless controlled for MT);

GBS:

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

Special Conditions for STA

STA:

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

List of Items Controlled

Related Controls:

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

Related Definitions:

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

Items:

a. Recording equipment and oscilloscopes, as follows:

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

N.B.:

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

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

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

and

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

Technical Notes:

For the purposes of 3A002.a.6:

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.

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

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

Note:

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

b. [Reserved]

c. “Signal analyzers” as follows:

c.1. “Signal analyzers” having a 3 dB resolution bandwidth (RBW) exceeding 40 MHz anywhere within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz;

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

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

c.4

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