Revisions to the Export Administration Regulations; Commerce Control List: Revision to Categories 1, 2, 3, 4, 5, 6, 7, and 9 Based on Wassenaar Arrangement Review
Federal RegisterJul 23, 1999
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SUMMARY: The Bureau of Export Administration (BXA) maintains the
Commerce Control List (CCL), which identifies those items subject to
Department of Commerce export controls. This final rule revises certain
entries controlled for national security reasons in Categories 1, 2, 3,
4, 5, 6, 7, and 9 to conform with changes in the Wassenaar
Arrangement's List of Dual-Use Goods and Technologies maintained and
agreed to by governments participating in the Wassenaar Arrangement on
Export Controls for Conventional Arms and Dual-Use Goods and
Technologies (Wassenaar Arrangement). The Wassenaar Arrangement
controls strategic items with the objective of improving regional and
international security and stability.
DATES: This rule is effective July 23, 1999.
FOR FURTHER INFORMATION CONTACT: For questions of technical nature, the
following persons in the Office of Strategic Trade are available:
Category 1: Robert Teer--(202) 482-4749
Category 2: Tanya Mottley--(202) 482-1837
Category 3: Hector Rivera--(202) 482-5534
Category 4: Tanya Mottley--(202) 482-1837
Category 5 (Telecommunications): Tony Koo--(202) 482-3206
Category 6: Chris Costanzo--(202) 482-0718
Category 7: Herb Wahler--(202) 482-5250
Category 9: Gene Christiansen--(202) 482-2984
SUPPLEMENTARY INFORMATION:
Background
In July 1996, the United States and thirty-two other countries gave
final approval to the establishment of a new multilateral export
control arrangement, called the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies
(Wassenaar Arrangement). The Wassenaar Arrangement contributes to
regional and international security and stability by promoting
transparency and greater responsibility in transfers of conventional
arms and dual-use goods and technologies, thus preventing destabilizing
accumulations of such items. Participating states have committed to
exchange information on exports of dual-use goods and technologies to
non-participating states for the purposes of enhancing transparency and
assisting in developing common understandings of the risks associated
with the transfers of these items.
On January 15, 1998, the Bureau of Export Administration (BXA)
published an interim rule (63 FR 2452) fulfilling U.S. commitments to
the Wassenaar Arrangement by implementing the Wassenaar Arrangement
list of dual-use items and imposing reporting requirements for exports
of certain items controlled under the Wassenaar Arrangement.
This final rule revises a number of national security controlled
entries on the Commerce Control List (CCL) to conform with recent
changes in the Wassenaar List of Dual-Use Goods and Technologies.
Specifically, this rule makes the following amendments:
Category 1--Materials, Chemicals, Microorganisms, and Toxins
1C004--Amended by modifying controls on the elastic limit from
1,250 MPa to 880 MPa (1C004.b).
1C006--Amended by removing national security controls on
hydrocarbon oils (1C006.a.1).
Category 2--Material Processing
2B001--Amended by modifying the note to 2B001.c to clarify that
certain tool or cutter grinding machines are not controlled for
national security reasons (decontrol note 2B001.c). In addition, the
related controls section has been amended by adding a reference to
refer to 1B101.d for cutting equipment designed or modified for
removing prepregs and preforms controlled by 9A110 (2B001, related
controls).
2B004--Amended by (1) revising the entry heading by removing
national security controls on dies, molds and controls specially
designed for certain hot isostatic presses (2B004, heading); and (2)
revising the related controls section to by adding two new references,
as follows: (a) for specially designed dies, molds and tooling refer to
1B001, 9B009, and ML18 of the Munitions List; and (b) in addition, see
1B101.d, 2B104, and 2B204 for controls on dies, molds and tooling
(2B004, related controls).
2B005--Amended by correcting an editorial error (2B005.c).
2D001--Amended by modifying the entry heading to read ``software'',
other than that controlled by 2D002, specially designed or modified for
the ``development'', ``production'' or ``use'' of equipment controlled
by 2A001 or 2B001 to 2B009 (2D001, heading). In addition, the related
controls section is amended by clarifying that 2D001 controls software
not covered by 2D101, that are specially designed or modified for the
controllers of flow forming machines described in 2B109 (2D001, related
controls).
2E003--Amended by (1) revising the related controls section by
adding a reference to refer to 2E001, 2E002 and 2E101 for
``development'', ``production'' 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 (2E003, related controls); and (2) revising the Deposition
Techniques Table by (1) adding new ``resultant coatings'' technologies
for diamond, boron nitride, and beryllium; and (2) updating the
``sensor window materials'' note by including diamond, gallium
phosphide, sapphire, zirconium fluoride and hafnium fluoride and by
removing potassium iodide, potassium fluoride, thallium bromide and
thallium chlorobromide.
Category 3--Electronics
3A001--Amended by increasing the gate count from 300 to 3,000 for
digital integrated circuits (3A001.a.11).
3A002--Amended by: (1) liberalizing controls for digital video
magnetic tape recorders from 180 to 360 Mbits/s (3A002.a.2); (2)
modifying the note to 3A002.a.2 by clarifying that 3A001.a.2 does not
control digital video magnetic tape recorders specially designed for
television recording using a signal format, which may include a
compressed signal format, standardized or recommended by the ITU, the
IEC, the SMPTE, the EBU or the IEEE for civil television applications
(decontrol note to 3A002.a.2); and (3) modifying the note to 3A002.c.2
by clarifying that 3A002 does not control those ``dynamic signal
analyzers'' using only constant percentage bandwidth filters (also
known as octave or fractional octave filters) (clarification note to
3A002.c.2).
3B001--Amended by: (1) adding controls for molecular beam epitaxial
growth equipment using solid sources
[[Page 40107]]
(3B001.a.3); (2) liberalizing controls for ion implantaters and adding
a new term ``beam energy'' (3B001.b.1 and b.2); and (3) clarifying
lithography equipment controls to include direct step on wafer
equipment or step and scan (scanner) equipment, relaxing controls on
the light source wavelength of lithography equipment from 400 nm to 350
nm and relaxing controls on minimum resolvable feature size on
lithography equipment from 0.7 to 0.5 microns or less (3B001.f).
3C002--Amended by relaxing wavelength controls for positive resists
for semiconductor lithography from 370 nm to 350 nm (3C002.a).
3E001--Amended by revising the note to 3E001 to indicate that 3E001
does not control integrated circuits using technology of 0.7 microns or
more (decontrol note to 3E001).
3E002--Amended by adding new controls for substrates of silicon-on
insulator (SOI) for integrated circuits in which the insulator is
silicon dioxide (3E002.e) and substrates of silicon carbide for
electronic components (3E002.f). In addition the related controls
section is amended by adding a reference to refer to 3E001 for silicon-
on-insulation technology for the ``development'' or ``production''
related to radiation hardening of integrated circuits (3E002, related
controls).
Category 4--Computers
4A003--Amended by removing controls for 4A003.f (Equipment
containing ``terminal interface equipment'' exceeding the limits in
5A001.b.3). This revision is consistent with consequential changes to
5A001 (i.e., the removal of equipment containing ``network access
controllers'' or ``communication channel controllers''. In addition, to
avoid possible confusion, the note to 4A003.g has been amended to
clarify that ``network access controllers'' or ``communication channel
controllers'' are not controlled by this entry (decontrol note to
4A003.g).
Table to Category 4--Amended by revising Note 5 to clarify that
aggregation for CTP values do not apply to ``electronic assemblies''
described in 4A003.c (technical note 5 on CTP)
Category 5--Telecommunications, Part I
Several sections of Part I, Telecommunications have been removed
creating a significant number of changes to the controls on
telecommunication equipment. The majority of changes are identified in
the following entries.
Note 1 to Category 5--Part 1--Telecommunications: Amended by
removing the phrase ``materials'' (Note 1), as 5C001 was deleted from
national security controls.
5A001--Amended by:
(1) removing controls on telecommunications equipment or systems
containing any of the following:
--Employing digital techniques (5A001.b.1);
--Containing ``network access controllers'' or ``communication
channel controllers'' (5A001.b.3);
--employing a laser (5A001.b.4);
--being radio equipment operating at input or output frequencies
exceeding 31 GHz (5A001.b.5);
--being radio equipment employing Quadrature Amplitude Modulation
(QAM) techniques or other digital modulation techniques and having a
spectral efficiency exceeding 3 bit/sec/Hz (5A001.b.6);
(2) removing controls on ``stored program controlled'' switching
equipment containing any of the following (5A001.c):
--common channel signalling (5A001.c.1);
--dynamic adaptive routing (5A001.c.2);
--being packet switches, circuit switches and routers (5A001.c.3);
--optical switches (5A001.c.4);
--employing ``Asynchronous Transfer Mode'' (ATM) techniques
(5A001.c.5);
(3) modifying controls for optical fiber communication cables
(5A001.d); removing controls on optical fiber cables and liberalizing
controls on optical fibers from 50 m to 500 m (5A001.d.1); and removing
controls for single mode operation (5A001.d.1.a); and
(4) adding a Nota Bene to 5A001.d.2 clarifying that you should
review 8A002.a.3 for underwater umbilical cables and connectors
therefor.
5B001--Amended by: (1) revising the entry heading to read ``test,
inspection and production equipment, see list of items controlled'';
(2) redesignating the former entry heading as 5B001.a and by removing
the term ``materials''; (3) adding a note to 5B001.a specifying that
5B001.a does not control optical fiber characterization equipment not
using semiconductor ``lasers'', formerly described in the Related
Controls section. The format changes to the entry heading and to
5B001.a are consistent with the format revisions agreed to by the
Wassenaar Arrangement. In addition, 5B001 is amended by creating a new
5B001.b. This new paragraph b adds national security controls for
equipment and specially designed components or accessories therefor,
specially designed for the ``development'' of certain telecommunication
transmission or ``stored program controlled'' switching equipment.
5C001--Amended by removing national security controls for preforms
of glass or of any other material optimized for the manufacturer of
optical fibers controlled by 5A001.d.
5D001--Amended by: (1) removing controls for software for the use
of digital cellular radio equipment or systems (5D001.c.1) and (2)
creating a new 5D001.d. This new paragraph d adds national security
controls for ``software'' specially designed or modified for the
``development'' of certain telecommunication transmission or ``stored
program controlled'' switching equipment (5D001.d).
5E001--Amended by: (1) removing national security controls on
certain technology for the ``development'' or ``use'' of laser
communication techniques (5E001.b.4, 5E001.b.6, 5E001.b.8, and
5E001.b.9) and (2) creating a new 5E001.c. This new paragraph c adds
national security controls for ``technology'' according to the General
Technology Note for the ``development'' or ``production'' of certain
telecommunication transmission or ``stored program controlled''
equipment functions or features (5E001.c).
Category 6--Sensors and Lasers
6A003--Amended by: (1) modifying the term intensifiers to read
intensifier tubes (6A003.b.3); and (2) adding a note to 6A003.b.4
clarifying that 6A003.b.4 does not control imaging cameras
incorporating linear ``focal plane arrays'' with twelve elements or
fewer, not employing time-delay-and-integration within the element,
designed for (a) industrial or civilian intrusion alarm, traffic or
industrial movement control or counting systems; (b) industrial
equipment used for inspection or monitoring of heat flows in buildings,
equipment or industrial processes; (c) industrial equipment used for
inspection, sorting or analysis of the properties of materials; (d)
equipment specially designed for laboratory use; or (e) medical
equipment (decontrol note to 6A003.b.4).
6A005--Amended by: (1) adding a note for excimer lasers, specially
designed for lithography equipment (related controls); and (2) adding a
new control for individual single-transverse mode semiconductor lasers
(6A005.b.1).
6C002--Amended by relaxing controls on zinc cadmium telluride
(6C005.b).
[[Page 40108]]
Category 7--Navigation and Avionics
Notes to Category 7A--Amended by revising the ``Note to Category
7A'' as ``Nota Bene (N.B.) 2'' and by revising the existing Nota Bene
as ``N.B. 1'' (notes to Category 7 A).
Category 9--Propulsion Systems, Space Vehicles and Related Equipment
Parenthetical note to Category 9A--Amended by redesignating the
parenthetical phrase as a Nota Bene (N.B.).
Items placed under control will be subject to both national
security (NS) and antiterrorism (AT) controls. (see ECCN 3E002.e and
f.) These actions are taken in consultation with the Departments of
State and Defense and pursuant to agreements reached in the Wassenaar
Arrangement.
All items removed from national security (NS) controls as a result
of the Wassenaar List of Dual-Use Goods and Technologies will continue
to be controlled for antiterrorism (AT) reasons.
BXA is continuing a comprehensive review of the Commerce Control
List (CCL) to account for items controlled by the Nuclear Suppliers
Group (NSG), the Missile Technology Control Regime (MTCR), and the
Australia Group (AG) and to correct errors unavoidably reprinted in
this version of the CCL. The review will be based in large part upon
the comments received and upon ongoing efforts to harmonize the CCL
with the EU's control list.
Although the Export Administration Act (EAA) expired on August 20,
1994, the President invoked the International Emergency Economic Powers
Act and continued in effect, to the extent permitted by law, the
provisions of the EAA and the EAR in Executive Order 12924 of August
19, 1994, as extended by the President's notices of August 15, 1995 (60
FR 42767), August 14, 1996 (61 FR 42527), August 13, 1997 (62 FR
43629), and August 13, 1998 (63 FR 44121).
Saving Clause
Shipments of items removed from eligibility for export or reexport
under a particular License Exception authorization or the designator
NLR, as a result of this regulatory action, may continue to be exported
or reexported under that License Exception authorization or designator
until August 23, 1999. In addition, this rule revises the numbering and
structure of certain entries on the Commerce Control List. For items
under such entries and for October 21, 1999, BXA will accept license
applications for items described either by the entries in effect
immediately before July 23, 1999 or the entries described in this rule.
Rulemaking Requirements
1. This interim rule has been determined to be not significant for
purposes of E.O. 12866.
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 (PRA), unless that
collection of information displays a currently valid OMB Control
Number. This rule involves collections of information subject to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) These
collections has been approved by the Office of Management and Budget
under control numbers 0694-0073, 0694-0086, and 0694-0088.
3. This rule does not contain policies with Federalism implications
sufficient to warrant preparation of a Federalism assessment under
Executive Order 12612.
4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (Sec. 5 U.S.C. 553(a)(1)). Further, no
other law requires that a notice of proposed rulemaking and an
opportunity for public comment be given for this interim rule. Because
a notice of proposed rulemaking and an opportunity for public comment
are not required to be given for this rule under 5 U.S.C. or by any
other law, the analytical requirements of the Regulatory Flexibility
Act (5 U.S.C. 601 et seq. ) are not applicable.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Part 743
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Part 774
Exports, Foreign Trade.
Accordingly, parts 740, 743 and 774 of the Export Administration
Regulations (15 CFR parts 730 through 799) are amended as follows:
1. The authority citation for part 740 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; E.O. 13026, 61
FR 58767, 3 CFR, 1996 Comp., p. 228 and of Notice of August 13, 1998
(63 FR 44121, 3 CFR, 1998 Comp., p. 294.
2. The authority citation for part 743 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; Notice of August
13, 1998, 63 FR 44121, 3 CFR, 1998 Comp., p. 294.
3. The authority citation for part 774 continues to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 720; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C.
287c; 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 30 U.S.C. 185(s),
185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C.
app. 466c; 50 U.S.C. app. 5; E.O. 12924, 59 FR 43437, 3 CFR, 1994
Comp., p. 917; Notice of August 15, 1995, 60 FR 42767, 3 CFR, 1995
Comp., p. 501; Notice of August 14, 1996, 61 FR 42527, 3 CFR, 1996
Comp., p. 298; Notice of August 13, 1997, 62 FR 43629, 3 CFR, 1997
Comp. p., 306; Notice of August 13, 1998, 63 FR 44121, 3 CFR, 1998
Comp., p. 294.
PART 740--[AMENDED]
4. Section 740.11 is amended:
a. By revising paragraph (a)(2);
b. By revising Supplement No. 1, as follows:
Sec. 740.11 Governments, international organizations, and
international inspections under the Chemical Weapons Convention (GOV).
* * * * *
(a) * * *
(2) The following items controlled for national security (NS)
reasons under Export Control Classification Numbers (ECCNs) identified
on the Commerce Control List may not be exported or reexported under
this License Exception to destinations other than Austria, Belgium,
Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy,
Luxembourg, the Netherlands, Portugal, Spain, Sweden, and the United
Kingdom: 1C001, 1C012, 5A001.b.4, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.7, 6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c,
6A008.l.3., 6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
(i) ``Composite'' structures or laminates controlled by 1A002.a.,
having an organic ``matrix'' and made from materials listed under
1C010.c. or 1C010.d.; and
(ii) ``Digital'' computers controlled by 4A003.b. and having a CTP
exceeding 10,000 MTOPS; and
[[Page 40109]]
(iii) ``Electronic assemblies'' controlled by 4A003.c. and capable
of enhancing performance by aggregation of ``computing elements'' so
that the CTP of the aggregation exceeds 10,000 MTOPS; and
(iv) Processing equipment controlled by 6A001.a.2.c. and specially
designed for real time application with towed acoustic hydrophone
arrays; and
(v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and
having processing equipment specially designed for real time
application with bottom or bay cable systems; and
(vi) ``Software'', as follows:
(A) Controlled by 4D001, specially designed for the ``development''
or ``production'' for items controlled by 4A003.b or .c, as defined by
paragraphs (a)(2)(ii) and (iii) of this section; and
(B) Controlled by 5D001.a, specially designed for items controlled
by 5A001.b.4; and
(C) Controlled by 6D001 for items controlled by 6A008.l.3 or 6B008;
and
(D) Controlled by 6D003.a; and
(E) Controlled by 7D003.a or 7D003.b; and
(F) Controlled by 8D001, specially designed for the ``development''
or ``production'' of equipment controlled by 8A001.b, 8A001.d, or
8A002.o.3.b; and
(G) Controlled by 9D001, specially designed for the ``development''
of equipment or ``technology'' controlled by 9A011, 9E003.a.1, or by
9E003.a.3, for items controlled by 1A002.a, as described in paragraph
(a)(2)(i) of this section; and
(H) Controlled by 9D002 for ``software'' specially designed for the
``production'' of equipment controlled by 9A011; and
(I) Controlled by 9D004.a or .c.
* * * * *
Supplement No. 1 to Sec. 740.11--Additional Restrictions On Use of
License Exception GOV.
(a) Items for official use within national territory by agencies
of the U.S. Government. License Exception GOV is available for all
items consigned to and for the official use of any agency of a
cooperating government within the territory of any cooperating
government, except:
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
1C012, 5A001.b.4, 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c, 6A008.l.3.,
6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
(i) ``Composite'' structures or laminates controlled by
1A002.a., having an organic ``matrix'' and made from materials
listed under 1C010.c. or 1C010.d.; and
(ii) ``Digital'' computers controlled by 4A003.b. and having a
CTP exceeding 10,000 MTOPS; and
(iii) ``Electronic assemblies'' controlled by 4A003.c. and
capable of enhancing performance by aggregation of ``computing
elements'' so that the CTP of the aggregation exceeds 10,000 MTOPS;
and
(iv) Processing equipment controlled by 6A001.a.2.c. and
specially designed for real time application with towed acoustic
hydrophone arrays; and
(v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and
having processing equipment specially designed for real time
application with bottom or bay cable systems; and
(vi) ``Software'', as follows:
(A) Controlled by 4D001, specially designed for the
``development'' or ``production'' for items controlled by 4A003.b or
.c, as defined by paragraphs (a)(1)(ii) and (iii) of this
Supplement; and
(B) Controlled by 5D001.a, specially designed for items
controlled by 5A001.b.4; and
(C) Controlled by 6D001 for items controlled by 6A008.l.3 or
6B008; and
(D) Controlled by 6D003.a; and
(E) Controlled by 7D003.a or 7D003.b; and
(F) Controlled by 8D001, specially designed for the
``development'' or ``production'' of equipment controlled by
8A001.b, 8A001.d, or 8A002.o.3.b; and
(G) Controlled by 9D001, specially designed for the
``development'' of equipment or ``technology'' controlled by 9A011,
9E003.a.1, or by 9E003.a.3, for items controlled by 1A002.a, as
described in paragraph (a)(1)(i) of this Supplement; and
(H) Controlled by 9D002 for ``software'' specially designed for
the ``production'' of equipment controlled by 9A011; and
(I) Controlled by 9D004.a or .c.; and
(vii) ``Technology'', as follows:
(A) Controlled by 5E001.a for items controlled by 5A001.b.4 or
5D001.a; and
(B) Controlled by 1E001 for items controlled by 1A002.a, 1C001,
or 1C102 as described by paragraph (a)(1)(i) of this Supplement; and
(C) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2, a.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
(D) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
(E) Controlled by 8E001 for items controlled by 8A001.b,
8A002.o.3.b, or 8A001.d; and
(F) Controlled by 9E001 for items controlled by 9A011, 9D001, or
9D002; and
(G) Controlled by 9E002 for items controlled by 9A011; and
(H) Controlled by 9E003.a.1; and
(I) Controlled by 9E003.a.3 for items controlled by 1A002.a as
described in paragraph (a)(1) of this Supplement;
(2) Items identified on the Commerce Control List as controlled
for missile technology (MT), chemical and biological warfare (CB),
or nuclear nonproliferation (NP) reasons;
(3) Regional stability items controlled under Export Control
Classification Numbers (ECCNs) 6A002, 6A003, 6E001, 6E002, 7D001,
7E001, 7E002, and 7E101 as described in Sec. 742.6(a)(1) of the EAR;
or
(4) Encryption items controlled for EI reasons as described in
the Commerce Control List.
(b) Diplomatic and consular missions of a cooperating
government. License Exception GOV is available for all items
consigned to and for the official use of a diplomatic or consular
mission of a cooperating government located in any country in
Country Group B (see Supplement No. 1 to part 740), except:
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
1C012, 5A001.b.4, 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c, 6A008.l.3.,
6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
(i) ``Composite'' structures or laminates controlled by
1A002.a., having an organic ``matrix'' and made from materials
listed under 1C010.c. or 1C010.d.; and
(ii) ``Digital'' computers controlled by 4A003.b. and having a
CTP exceeding 10,000 MTOPS; and
(iii) ``Electronic assemblies'' controlled by 4A003.c. and
capable of enhancing performance by aggregation of ``computing
elements'' so that the CTP of the aggregation exceeds 10,000 MTOPS;
and
(iv) Processing equipment controlled by 6A001.a.2.c. and
specially designed for real time application with towed acoustic
hydrophone arrays; and
(v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and
having processing equipment specially designed for real time
application with bottom or bay cable systems; and
(vi) ``Software'', as follows:
(A) Controlled by 4D001, specially designed for the
``development'' or ``production'' for items controlled by 4A003.b or
.c, as defined by paragraphs (b)(1)(ii) or (iii) of this Supplement;
and
(B) Controlled by 5D001.a, specially designed for items
controlled by 5A001.b.4; and
(C) Controlled by 6D001 for items controlled by 6A008.l.3 or
6B008; and
(D) Controlled by 6D003.a; and
(E) Controlled by 7D003.a or 7D003.b; and
(F) Controlled by 8D001, specially designed for the
``development'' or ``production'' of equipment controlled by
8A001.b, 8A001.d, or 8A002.o.3.b; and
[[Page 40110]]
(G) Controlled by 9D001, specially designed for the
``development'' of equipment or ``technology'' controlled by 9A011,
9E003.a.1, or by 9E003.a.3, for items controlled by 1A002.a, as
described in paragraph (b)(1)(i) of this Supplement; and
(H) Controlled by 9D002 for ``software'' specially designed for
the ``production'' of equipment controlled by 9A011; and
(I) Controlled by 9D004.a or .c; and
(vii) ``Technology'', as follows:
(A) Controlled by 5E001.a for items controlled by 5A001.b.4 or
5D001.a; and
(B) Controlled by 1E001 for items controlled by 1A002.a, 1C001,
or 1C102 as described by paragraph (b)(1) of this Supplement; and
(C) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (b)(1) of this Supplement; and
(D) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (b)(1) of this Supplement; and
(E) Controlled by 8E001 for items controlled by 8A001.b,
8A002.o.3.b, or 8A001.d; and
(F) Controlled by 9E001 for items controlled by 9A011, 9D001, or
9D002; and
(G) Controlled by 9E002 for items controlled by 9A011; and
(H) Controlled by 9E003.a.1; and
(I) Controlled by 9E003.a.3 for items controlled by 1A002.a as
described in paragraph (b)(1)(i) of this Supplement;
(2) Items identified on the Commerce Control List as controlled
for missile technology (MT), chemical and biological warfare (CB),
or nuclear nonproliferation (NP) reasons;
(3) Regional stability items controlled under Export Control
Classification Numbers (ECCNs) 6A002, 6A003, 6E001, 6E002, 7D001,
7E001, 7E002, and 7E101 as described in Sec. 742.6(a)(1) of the EAR;
or
(4) Encryption items controlled for EI reasons as described in
the Commerce Control List.
PART 743--[AMENDED]
5. Section 743.1 is amended by revising (c)(1) to read as follows:
Sec. 743.1 Wassenaar Arrangement.
* * * * * *
(c) Items for which reports are required. (1) You must submit
reports to BXA under the provisions of this section only for exports of
items controlled under the following ECCNs:
(i) Category 1: 1A002, 1C007.c and .d, 1C010.c and .d, 1D002,
1E001, 1E002.e, and 1E002.f.;
(ii) Category 2: 2B001.a or .b (certain items only; see Note to
this paragraph) 2B001.d and .f, 2B003, 2D001, 2E001, and 2E002;
Note to paragraph (c)(1)(ii): The following are not controlled
for NP reasons: turning machines controlled by 2B001.a with a
capacity equal to or less than 35 mm diameter; bar machines
(Swissturn), limited to machining only bar feed through, if maximum
bar diameter is equal to or less than 42 mm and there is no
capability of mounting chucks (machines may have drilling and/or
milling capabilities for machining parts with diameters less than 42
mm); or milling machines controlled by 2B001.b with x-axis travel
greater than two meters and overall ``positioning accuracy'' on the
x-axis more (worse) than 0.030 mm. Therefore, exports of such items
under License Exception GOV are subject to reporting requirements.
(iii) Category 3: 3A002.g.2, 3B001.a.2, 3D001, and 3E001;
(iv) Category 4: 4A001.a.2 and .b, 4A003.b and .c (see paragraph
(c)(2) of this section), 4D001, 4D003.c, and 4E001;
(v) Category 5: 5A001.b.3, 5B001 (items specially designed for
5A001.b.3), 5D001.a and .b, and 5E001.a;
(vi) Category 6: 6A001.a.1.b, .a.2.c, .a.2.d, and .a.2.e; 6A002.b,
6A004.c and d, 6A006.g and h, 6A008.d, .h, and .k; 6D001, 6D003.a,
6E001, and 6E002;
(vii) Category 8: 8A001.c; 8A002.b, .h, .j, .o.3.a, and .p; 8D001,
8D002, 8E001, and 8E002.a; and
(viii) Category 9: 9B001.b, 9D001, 9D002, 9D004.a and .c, 9E001,
9E002, 9E003.a.1, 9E003.a.2, .a.3, .a.4, .a.5, .a.8, and .a.9.
* * * * *
PART 774--[AMENDED]
6. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 1--Materials, Chemicals, Microorganisms, and Toxins, Export
Control Classification Numbers (ECCNs) are amended:
a. By revising the List of Items Controlled section for ECCNs 1C004
and 1C006; and
b. By adding a new ECCN 1C996, to read as follows:
1C004 Uranium titanium alloys or tungsten alloys with a ``matrix''
based on iron, nickel or copper, having all of the characteristics
(see List of Items Controlled).
* * * * *
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items:
a. A density exceeding 17.5 g/cm3;
b. An elastic limit exceeding 880 MPa;
c. An ultimate tensile strength exceeding 1,270 MPa; and
d. An elongation exceeding 8%.
1C006 Fluids and lubricating materials, as follows (see List of
Items Controlled).
* * * * *
List of Items Controlled
Unit: Barrels (55 U.S. gallons/ 209 liters)
Related Controls: N/A
Related Definitions: N/A
Items:
a. Hydraulic fluids containing, as their principal ingredients, any
of the following compounds or materials:
a.1. Synthetic or silahydrocarbon oils, having all of the
following:
Note: For the purpose of 1C006.a.1, silahydrocarbon oils contain
exclusively silicon, hydrogen and carbon.
a.1.a. A flash point exceeding 477 K (204 deg. C);
a.1.b. A pour point at 239 K (-34 deg. C) or less;
a.1.c. A viscosity index of 75 or more; and
a.1.d. A thermal stability at 616 K (343 deg. C); or
a.2. Chlorofluorocarbons, having all of the following:
Note: For the purpose of 1C006.a.2, chlorofluorocarbons contain
exclusively carbon, fluorine and chlorine.
a.2.a. No flash point;
a.2.b. An autogenous ignition temperature exceeding 977 K (704 deg.
C);
a.2.c. A pour point at 219 K (-54 deg. C) or less;
a.2.d. A viscosity index of 80 or more; and
a.2.e. A boiling point at 473 K (200 deg. C) or higher;
b. Lubricating materials containing, as their principal
ingredients, any of the following compounds or materials:
b.1. Phenylene or alkylphenylene ethers or thio-ethers, or their
mixtures, containing more than two ether or thio-ether functions or
mixtures thereof; or
b.2. Fluorinated silicone fluids with a kinematic viscosity of less
than 5,000 mm2/s (5,000 centistokes) measured at 298 K
(25 deg. C);
c. Damping or flotation fluids with a purity exceeding 99.8%,
containing less than 25 particles of 200 m or larger in size
per 100 ml and made from at least 85% of any of the following compounds
or materials:
c.1. Dibromotetrafluoroethane;
c.2. Polychlorotrifluoroethylene (oily and waxy modifications
only); or
c.3. Polybromotrifluoroethylene;
d. Fluorocarbon electronic cooling fluids, having all of the
following characteristics:
d.1. Containing 85% by weight or more of any of the following, or
mixtures thereof:
[[Page 40111]]
d.1.a. Monomeric forms of perfluoropolyalkylether-triazines or
perfluoroaliphatic-ethers;
d.1.b. Perfluoroalkylamines;
d.1.c. Perfluorocycloalkanes; or
d.1.d. Perfluoroalkanes;
d.2. Density at 298 K (25 deg. C) of 1.5
g/ml or more;
d.3. In a liquid state at 273 K (0 deg. C); and
d.4. Containing 60% or more by weight of fluorine.
Technical Note: For the purpose of 1C006:
a. Flash point is determined using the Cleveland Open Cup Method
described in ASTM D-92 or national equivalents;
b. Pour point is determined using the method described in ASTM D-97
or national equivalents;
c. Viscosity index is determined using the method describe in ASTM
D-2270 or national equivalents;
d. Thermal stability is determined by the following test procedure
or national equivalents:
Twenty ml of the fluid under test is placed in a 46 ml type 317
stainless steel chamber containing one each of 12.5 mm (nominal)
diameter balls of M-10 tool steel, 52100 steel and naval bronze (60%
Cu, 39% Zn, 0.75% Sn);
The chamber is purged with nitrogen, sealed at atmospheric pressure
and the temperature raised to and maintained at 644 6 K
(371 6 deg. C) for six hours;
The specimen will be considered thermally stable if, on completion
of the above procedure, all of the following conditions are met:
1. The loss in weight of each ball is less than 10 mg/mm \2\ of
ball surface;
2. The change in original viscosity as determined at 311 K (38 deg.
C) is less than 25%; and
3. The total acid or base number is less than 0.40;
e. Autogenous ignition temperature is determined using the method
described in ASTM E-659 or national equivalents.
1C996 Hydraulic fluids containing synthetic hydrocarbon oils,
having all the following characteristics (see List of Items
Controlled).
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Barrels (55 U.S. gallons/209 liters)
Related Controls: N/A
Related Definitions: N/A
Items:
a. A flash point exceeding 477 K (204 deg. C);
b. A pour point at 239 K (-34 deg. C) or less;
c. A viscosity index of 75 or more; and
d. A thermal stability at 616 K (343 deg. C).
7. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 2--Materials Processing, Export Control Classification Numbers
(ECCNs) are amended:
a. By revising ECCN 2B001;
b. By revising the entry heading and the List of Items Controlled
section for ECCN 2B004;
c. By revising the List of Items Controlled section for ECCN 2B005;
d. By revising the entry heading and the List of Items Controlled
for ECCN 2D001; and
e. By revising the List of Items Controlled section for ECCN 2E003,
to read as follows:
2B001 Machine tools (see List of Items Controlled) and any
combination thereof, for removing (or cutting) metals, ceramics or
``composites'', which, according to the manufacturer's technical
specification, can be equipped with electronic devices for
``numerical control''.
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to 2B001.a,b,c, and d, NP Column 1
EXCEPT:(1) turning machines under
2B001.a with a capacity equal to or
less than 35 mm diameter; (2) bar
machines (Swissturn), limited to
machining only bar feed through, if
maximum bar diameter is equal to or
less than 42 mm and there is no
capability of mounting chucks.
(Machines may have drilling and/or
milling capabilities for machining
parts with diameters less than 42 mm);
or (3) milling machines under 2B001.b.
with x-axis travel greater than two
meters and overall ``positioning
accuracy'' on the x-axis more (worse)
than 0.030 mm.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: (1) See also 2B290 and 2B991; (2) See also 1B101.d
for cutting equipment designed or modified for removing prepregs and
preforms controlled by 9A110.
Related Definitions: N/A
Items:
a. Machine tools for turning, having all of the following
characteristics:
a.1. Positioning accuracy with ``all compensations available'' of
less (better) than 6 m along any linear axis; and
a.2. Two or more axes which can be coordinated simultaneously for
``contouring control'';
Note: 2B001.a does not control turning machines specially
designed for the production of contact lenses.
b. Machine tools for milling, having any of the following
characteristics:
b.1.a. Positioning accuracy with ``all compensations available'' of
less (better) than 6 m along any linear axis; and
b.1.b. Three linear axes plus one rotary axis which can be
coordinated simultaneously for ``contouring control'';
b.2. Five or more axes which can be coordinated simultaneously for
``contouring control''; or
b.3. A positioning accuracy for jig boring machines, with ``all
compensations available'', of less (better) than 4 m along any
linear axis;
c. Machine tools for grinding, having any of the following
characteristics:
c.1.a. Positioning accuracy with ``all compensations available'' of
less (better) than 4 m along any linear axis; and
c.1.b. Three or more axes which can be coordinated simultaneously
for ``contouring control''; or
c.2. Five or more axes which can be coordinated simultaneously for
``contouring control'';
Notes: 2B001.c does not control grinding machines, as follows:
1. Cylindrical external, internal, and external-internal grinding
machines having all the following characteristics:
a. Limited to cylindrical grinding; and
b. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length.
2. Machines designed specifically as jig grinders having any of
following characteristics:
[[Page 40112]]
a. The c-axis is used to maintain the grinding wheel normal to the
work surface; or
b. The a-axis is configured to grind barrel cams.
3. Tool or cutter grinding machines limited to the production of
tools or cutters.
4. Crank shaft or cam shaft grinding machines.
5. Surface grinders.
d. Electrical discharge machines (EDM) of the non-wire type which
have two or more rotary axes which can be coordinated simultaneously
for ``contouring control'';
e. Machine tools for removing metals, ceramics or ``composites'':
e.1. By means of:
e.1.a. Water or other liquid jets, including those employing
abrasive additives;
e.1.b. Electron beam; or
e.1.c. ``Laser'' beam; and
e.2. Having two or more rotary axes which:
e.2.a. Can be coordinated simultaneously for ``contouring
control''; and
e.2.b. Have a positioning accuracy of less (better) than
0.003 deg.;
f. Deep-hole-drilling machines and turning machines modified for
deep-hole-drilling, having a maximum depth-of-bore capability exceeding
5,000 mm and specially designed components therefor.
2B004 Hot ``isostatic presses'', having all of the following
characteristics described in the List of Items Controlled, and
specially designed components, and accessories therefor.
* * * * *
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: (1) See also 2B104 and 2B204. (2) For specially
designed dies, molds and tooling, see 1B003, 9B009 and ML18 (22 CFR
part 121). (3) In addition, see 1B101.d, 2B104 and 2B204 for controls
on dies, molds and tooling.
Related Definitions: N/A
Items:
a. A controlled thermal environment within the closed cavity and
possessing a chamber cavity with an inside diameter of 406 mm or more;
and
b. Any of the following:
b.1. A maximum working pressure exceeding 207 MPa;
b.2. A controlled thermal environment exceeding 1,773 K (1,500 deg.
C); or
b.3. A facility for hydrocarbon impregnation and removal of
resultant gaseous degradation products.
Technical Note: The inside chamber dimension is that of the
chamber in which both the working temperature and the working
pressure are achieved and does not include fixtures. That dimension
will be the smaller of either the inside diameter of the pressure
chamber or the inside diameter of the insulated furnace chamber,
depending on which of the two chambers is located inside the other.
2B005 Equipment specially designed for the deposition, processing
and in-process control of inorganic overlays, coatings and surface
modifications for non-electronic substrates, by processes shown in
the Table and associated Notes following 2E003.f, and specially
designed automated handling, positioning, manipulation and control
components therefor.
* * * * *
List of Items Controlled
Unit: $ value
Related Controls: (1) This entry does not control chemical vapor
deposition, cathodic arc, sputter deposition, ion plating or ion
implantation equipment specially designed for cutting or machining
tools. (2) Vapor deposition equipment for the production of filamentary
materials are controlled by 1B001 or 1B101. (3) Chemical Vapor
Deposition furnaces designed or modified for densification of carbon-
carbon composites are controlled by 2B104.
Related Definitions: N/A
Items:
a. ``Stored program controlled'' chemical vapor deposition (CVD)
production equipment having all of the following:
a.1. Process modified for one of the following:
a.1.a. Pulsating CVD;
a.1.b. Controlled nucleation thermal deposition (CNTD); or
a.1.c. Plasma enhanced or plasma assisted CVD; and
a.2. Any of the following:
a.2.a. Incorporating high vacuum (equal to or less than 0.01 Pa)
rotating seals; or
a.2.b. Incorporating in situ coating thickness control;
b. ``Stored program controlled'' ion implantation production
equipment having beam currents of 5 mA or more;
c. ``Stored program controlled'' electron beam physical vapor (EB-
PVD) production equipment incorporating power systems rated for over 80
kW, having any of the following:
c.1. A liquid pool level ``laser'' control system which regulates
precisely the ingots feed rate; or
c.2. A computer controlled rate monitor operating on the principle
of photo-luminescence of the ionized atoms in the evaporant stream to
control the deposition rate of a coating containing two or more
elements;
d. ``Stored program controlled'' plasma spraying production
equipment having any of the following characteristics:
d.1. Operating at reduced pressure controlled atmosphere (equal or
less than 10 kPa measured above and within 300 mm of the gun nozzle
exit) in a vacuum chamber capable of evacuation down to 0.01 Pa prior
to the spraying process; or
d.2. Incorporating in situ coating thickness control;
e. ``Stored program controlled'' sputter deposition production
equipment capable of current densities of 0.1 mA/mm \2\ or higher at a
deposition rate 15 m/h or more;
f. ``Stored program controlled'' cathodic arc deposition equipment
incorporating a grid of electromagnets for steering control of the arc
spot on the cathode;
g. ``Stored program controlled'' ion plating production equipment
allowing for the in situ measurement of any of the following:
g.1. Coating thickness on the substrate and rate control; or
g.2. Optical characteristics.
2D001 ``Software'', other than that controlled by 2D002, specially
designed or modified for the ``development'', ``production'' or
``use'' of equipment controlled by 2A001 or 2B001 to 2B009.
* * * * *
List of Items Controlled
Unit: N/A
Related Controls: This entry controls software, not covered by 2D101,
that are specially designed or modified for the controllers of flow
forming machines specified by 2B109.
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
2E003 Other ``technology'', as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit: N/A
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:
[[Page 40113]]
a. ``Technology'' for the ``development'' of interactive graphics
as an integrated part in ``numerical control'' units for preparation or
modification of part programs;
b. ``Technology'' for metal-working manufacturing processes, as
follows:
b.1. ``Technology'' for the design of tools, dies or fixtures
specially designed for any of the following processes:
b.1.a. ``Superplastic forming'';
b.1.b. ``Diffusion bonding''; or
b.1.c. ``Direct-acting hydraulic pressing'';
b.2. Technical data consisting of process methods or parameters as
listed below used to control:
b.2.a. ``Superplastic forming'' of aluminum alloys, titanium alloys
or ``superalloys'':
b.2.a.1. Surface preparation;
b.2.a.2. Strain rate;
b.2.a.3. Temperature;
b.2.a.4. Pressure;
b.2.b. ``Diffusion bonding'' of ``superalloys'' or titanium alloys:
b.2.b.1. Surface preparation;
b.2.b.2. Temperature;
b.2.b.3. Pressure;
b.2.c. ``Direct-acting hydraulic pressing'' of aluminum alloys or
titanium alloys:
b.2.c.1. Pressure;
b.2.c.2. Cycle time;
b.2.d. ``Hot isostatic densification'' of titanium alloys, aluminum
alloys or ``superalloys'':
b.2.d.1. Temperature;
b.2.d.2. Pressure;
b.2.d.3. Cycle time;
c. ``Technology'' for the ``development'' or ``production'' of
hydraulic stretch-forming machines and dies therefor, for the
manufacture of airframe structures;
d. ``Technology'' for the ``development'' of generators of machine
tool instructions (e.g., part programs) from design data residing
inside ``numerical control'' units;
e. ``Technology for the development'' of integration ``software''
for incorporation of expert systems for advanced decision support of
shop floor operations into ``numerical control'' units;
f. ``Technology'' for the application of inorganic overlay coatings
or inorganic surface modification coatings (specified in column 3 of
the following table) to non-electronic substrates (specified in column
2 of the following table), by processes specified in column 1 of the
following table and defined in the Technical Note.
N.B. This table should be read to control the technology of a
particular `Coating Process' only when the `Resultant Coating' in
column 3 is in a paragraph directly across from the relevant
`Substrate' under column 2. For example, Chemical Vapor Deposition
(CVD) coating process technical data are controlled for the 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)'.
8. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 2--Material Processing is amended by revising the Materials
Processing Table in Category 2E to read as follows:
Category 2E.--Materials Processing Table; Deposition Techniques
------------------------------------------------------------------------
1. Coating process (1) \1\ 2. Substrate 3. Resultant coating
------------------------------------------------------------------------
A. Chemical Vapor Deposition ``Superalloys''..... Aluminides for
(CVD) internal passages
Ceramics (19) and Silicides Carbides
Low-expansion Dielectric layers
glasses (14). (15) Diamond
Diamond-like carbon
(17)
Carbon-carbon, Silicides
Ceramic, and Metal Carbides
``matrix'' Refractory metals,
``composites''. Mixtures thereof (4)
Dielectric layers
(15)
Aluminides
Alloyed aluminides
(2)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten Mixtures
Silicon Carbide thereof (4)
(18). Dielectric layers
(15)
Molybdenum and Dielectric Players
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Diamond
Diamond-like carbon
(17)
Sensor window Dielectric layers
materials (9). (15)
Diamond
Diamond-like carbon
(17)
B. Thermal Evaportation
Physical Vapor
1. Physical Vapor ``Superalloys''..... Alloyed silicides
Deposition (PVD): Alloyed aluminides
Deposition (TE-PVD) (2)
Electron-Beam (EB-PVD). McrAlX (5)
Modified zirconia
(12) Silicides
Aluminides
Mixtures thereof (4)
Ceramics (19) and Dielectric layers
Low-expansion (15)
glasses (14).
Corrosion resistant MCrAIX (5)
steel (7). Modified zirconia
(12)
Mixtures thereof (4)
[[Page 40114]]
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``composites''. Mixtures thereof (4)
Dielectric layers
(15)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof (4)
(18). Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Borides
Beryllium
Sensor window Dielectric layers
materials (9). (15)
Titanium alloys (13) Borides
Nitrides
2. Ion assisted Ceramics (19) and Dielectric layers
resistive heating. Low-expansion (15)
Physical Vapor glasses (14). Diamond-like carbon
Deposition (PVD) (Ion (17)
Plating).
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16), (15)
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
(17)
3. Physical Vapor Ceramics (19) and Silicides
Deposition (PVD): Low-expansion Dielectric layers
``Laser'' Vaporization. glasses (14). (15)
Diamond-like carbon
(17)
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16), (15)
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
4. Physical Vapor ``Superalloys''..... Alloyed silicides
Deposition (PVD): Alloyed Aluminides
Cathodic Arc Discharge. (2)
MCrAlX (5)
Polymers (11) and Borides
Organic ``matrix'' Carbides
``composites''. Nitrides
Diamond-like carbon
(17)
C. Pack cementation (see A Carbon-carbon, Silicides
above for out-of-pack Ceramic and Metal Carbides
cementation) (10). ``matrix'' Mixtures thereof (4)
``composites''.
Titanium alloys (13) Silicides
Aluminides
Alloyed aluminides
(2)
Refractory metals Silicides
and alloys (8). 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). MCrAIX (5)
Modified zirconia
(12)
Silicides
Mixtures thereof (4)
Refractory metals Aluminides
and alloys (8), Silicides
Carbides, Corrosion MCrAIX (5)
resistant steel (7). Modified zirconia
(12)
Mixtures thereof (4)
[[Page 40115]]
Titanium alloys (13) Carbides
Aluminides
Silicides
Alloyed aluminides
(2)
Abradable, Nickel- Abradable materials
Graphite. containing Ni-Cr-Al
Abradable Al-Si-
Polyester
E. Slurry Deposition........ Refractory metals Fused silicides
and alloys (8). Fused aluminides
except for
resistance heating
elements
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Mixtures thereof (4)
``composites''.
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- Silicides
expansion glasses Platinum
(14). Mixtures thereof (4)
Dielectric layers
(15)
Diamond-like carbon
(17)
Titanium alloys (13) Borides
Nitrides
Oxides
Silicides
Aluminides
Alloyed aluminides
(2)
Carbides
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``Composites''. Mixtures thereof (4)
Dielectric layers
(15)
Boron nitride
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide Mixtures thereof (4)
(18). Dielectric layers
(15)
Boron nitride
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Borides
Beryllium alloys. Dielectric layers
(15)
Beryllium
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
(17)
Refractory metals Aluminides
and alloys (8). Silicides
Oxides
Carbides
G. Ion Implantation......... High temperature Additions of
bearing steels. Chromium, Tantalum,
or Niobium
(Columbium)
Titanium alloys (13) Borides
Nitrides
Beryllium and Borides
Beryllium alloys.
Cemented tungsten Carbides
carbide (16). Nitrides
------------------------------------------------------------------------
1 The numbers in parenthesis refer to the Notes following this Table.
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 weight
[[Page 40116]]
percent in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22 weight percent of
chromium, less than 7 weight percent of aluminum and less than 2
weight percent of yttrium;
b. CoCrAlY coatings which contain 22 to 24 weight percent of
chromium, 10 to 12 weight percent of aluminum and 0.5 to 0.7 weight
percent of yttrium; or
c. NiCrAlY coatings which contain 21 to 23 weight percent of
chromium, 10 to 12 weight percent of aluminum and 0.9 to 1.1 weight
percent 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 deg. 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. ``Technology'' for single-step pack cementation of solid
airfoils is not controlled by this Category.
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 deg. C).
14. `Low-expansion glasses' refers to glasses which have a
coefficient of thermal expansion of 1 x 10-7
K-1 or less measured at 293 K (20 deg. 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'' specially designed to deposit diamond-like
carbon on any of the following is not controlled: magnetic disk
drives and heads, polycarbonate eyeglasses, equipment for the
manufacture of disposals, bakery equipment, valves for faucets,
acoustic diaphragms for speakers, engine parts for automobiles,
cutting tools, punching-pressing dies, high quality lenses designed
for cameras or telescopes, office automation equipment, microphones
or medical devices.
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 deg.C) to 1,375 K
(1,102 deg.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 deg.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
[[Page 40117]]
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. ``Technology'' 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. ``Technology'' 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. ``Technology'' 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. ``Technology'' 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. ``Technology'' 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.
9. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 3--Electronics, Export Control Classification Numbers (ECCNs),
are amended:
a. By revising the List of Items Controlled section for ECCNs
3A001, 3A002, 3A991, 3B001, 3B991, 3C002 and 3E001;
b. By adding a new ECCN 3C992;
c. By revising the License Exceptions section and the List of Items
Controlled section for 3E002, to read as follows:
3A001 Electronic components, as follows (see List of Items
Controlled).
* * * * *
List of Items Controlled
Unit: Number
Related Controls: See also 3A101, 3A201, and 3A991
Related Definitions: For the purposes of integrated circuits in
3A001.a.1, 5 x 10\3\ Gy(Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy (Si)/s
= 5 x 10\8\ Rads (Si)/s.
Items:
a. General purpose integrated circuits, as follows:
Note 1: The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
Note 2: Integrated circuits include the following types:
``Monolithic integrated circuits'';
``Hybrid integrated circuits'';
``Multichip integrated circuits'';
``Film type integrated circuits'', including silicon-on-sapphire
integrated circuits;
``Optical integrated circuits''.
a.1. Integrated circuits, designed or rated as radiation hardened
to withstand any of the following:
a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher; or
a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher;
a.2. Integrated circuits described in 3A001.a.3 to 3A001.a.10 or
3A001.a.12, electrical erasable programmable read-only memories
(EEPROMs), flash memories and static random-access memories (SRAMs),
having any of the following:
a.2.a. Rated for operation at an ambient temperature above 398 K
(125 deg. C);
[[Page 40118]]
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 deg. C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 deg. C) to 398 K (125 deg. C);
Note: 3A001.a.2 does not apply to integrated circuits for civil
automobiles or railway train applications.
a.3. ``Microprocessor microcircuits'', ``micro-computer
microcircuits'' and microcontroller microcircuits, having any of the
following characteristics:
Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.3.a. A ``composite theoretical performance'' (``CTP'') of 260
million theoretical operations per second (Mtops) or more and an
arithmetic logic unit with an access width of 32 bit or more;
a.3.b. Manufactured from a compound semiconductor and operating at
a clock frequency exceeding 40 MHz; or
a.3.c. More than one data or instruction bus or serial
communication port for external interconnection in a parallel processor
with a transfer rate exceeding 2.5 Mbyte/s;
a.4. Storage integrated circuits manufactured from a compound
semiconductor;
a.5. Analog-to-digital and digital-to-analog converter integrated
circuits, as follows:
a.5.a. Analog-to-digital converters having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 12 bit, with
a total conversion time to maximum resolution of less than 10 ns;
a.5.a.2. A resolution of 12 bit with a total conversion time to
maximum resolution of less than 200 ns; or
a.5.a.3. A resolution of more than 12 bit with a total conversion
time to maximum resolution of less than 2 s;
a.5.b. Digital-to-analog converters with a resolution of 12 bit or
more, and a ``settling time'' of less than 10 ns;
a.6. Electro-optical and ``optical integrated circuits'' designed
for ``signal processing'' 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 gate arrays having any of the following:
a.7.a. An equivalent usable gate count of more than 30,000 (2 input
gates); or
a.7.b. A typical ``basic gate propagation delay time'' of less than
0.4 ns;
a.8. Field programmable logic arrays having any of the following:
a.8.a. An equivalent usable gate count of more than 30,000 (2 input
gates); or
a.8.b. A toggle frequency exceeding 133 MHz;
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 208 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.35 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having any of the
following:
a.12.a. A rated execution time for a 1,024 point complex FFT of
less than 1 ms;
a.12.b. A rated execution time for an N-point complex FFT of other
than 1,024 points of less than N log2 N /10,240 ms, where N
is the number of points; or
a.12.c. A butterfly throughput of more than 5.12 MHz;
b. Microwave or millimeter wave components, as follows:
b.1. Electronic vacuum tubes and cathodes, as follows:
Note: 3A001.b.1 does not control tubes designed or rated to
operate in the ITU allocated bands at frequencies not exceeding 31
GHz.
b.1.a. Traveling wave tubes, pulsed or continuous wave, as follows:
b.1.a.1. Operating at frequencies higher than 31 GHz;
b.1.a.2. Having a cathode heater element with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity tubes, or derivatives thereof, with an
``instantaneous bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
b.1.a.4. Helix tubes, or derivatives thereof, with any of the
following characteristics:
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; or
b.1.a.4.c. Being ``space qualified'';
b.1.b. Crossed-field amplifier tubes with a gain of more than 17
dB;
b.1.c. Impregnated cathodes designed for electronic tubes, with any
of the following:
b.1.c.1. A turn on time to rated emission of less than 3 seconds;
or
b.1.c.2. Producing a continuous emission current density at rated
operating conditions exceeding 5 A/cm\2\;
b.2. Microwave integrated circuits or modules having all of the
following:
b.2.a. Containing ``monolithic integrated circuits''; and
b.2.b. Operating at frequencies above 3 GHz;
Note: 3A001.b.2 does not control circuits or modules for equipment
designed or rated to operate in the ITU allocated bands at frequencies
not exceeding 31 GHz.
b.3. Microwave transistors rated for operation at frequencies
exceeding 31 GHz;
b.4. Microwave solid state amplifiers, having any of the following:
b.4.a. Operating frequencies exceeding 10.5 GHz and an
``instantaneous bandwidth'' of more than half an octave; or
b.4.b. Operating frequencies exceeding 31 GHz;
b.5. Electronically or magnetically tunable band-pass or band-stop
filters having more than 5 tunable resonators capable of tuning across
a 1.5:1 frequency band (Fmax/Fmin) in less than
10 s having any of the following:
b.5.a. A band-pass bandwidth of more than 0.5% of center frequency;
or
b.5.b. A band-stop bandwidth of less than 0.5% of center frequency;
b.6. Microwave ``assemblies'' capable of operating at frequencies
exceeding 31 GHz;
b.7. Mixers and converters designed to extend the frequency range
of equipment described in 3A002.c, 3A002.e or 3A002.f beyond the limits
stated therein;
b.8. Microwave power amplifiers containing tubes controlled by
3A001.b and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power density exceeding 80 W/kg; and
b.8.c. A volume of less than 400 cm\3\;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in an ITU allocated band.
c. Acoustic wave devices, as follows, and specially designed
components therefor:
[[Page 40119]]
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having any of the following:
c.1.a. A carrier frequency exceeding 2.5 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 2.5
GHz, and having any of the following:
c.1.b.1. A frequency side-lobe rejection exceeding 55 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth
(time in s and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 s; or
c.1.c. A carrier frequency of 1 GHz or less, having any of the
following:
c.1.c.1. A product of the maximum delay time and the bandwidth
(time in s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 s; or
c.1.c.3. A frequency side-lobe rejection exceeding 55 dB and a
bandwidth greater than 50 MHz;
c.2. Bulk (volume) acoustic wave devices (i.e., ``signal
processing'' devices employing elastic waves) that permit the direct
processing of signals at frequencies exceeding 1 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;
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, with any of the
following:
d.1. Electromagnetic amplification:
d.1.a. At frequencies equal to or less than 31 GHz with a noise
figure of less than 0.5 dB; or
d.1.b. At frequencies exceeding 31 GHz;
d.2. 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
10-14J; or
d.3. Frequency selection at all frequencies using resonant circuits
with Q-values exceeding 10,000;
e. High energy devices, as follows:
e.1. Batteries and photovoltaic arrays, as follows:
Note: 3A001.e.1 does not control batteries with volumes equal to
or less than 27 cm \3\ (e.g., standard C-cells or R14 batteries).
e.1.a. Primary cells and batteries having an energy density
exceeding 480 Wh/kg and rated for operation in the temperature range
from below 243 K (-30 deg. C) to above 343 K (70 deg. C);
e.1.b. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (C being the nominal capacity in ampere
hours) when operating in the temperature range from below 253 K
(-20 deg. C) to above 333 K (60 deg. C);
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75%
of the open circuit voltage divided by the total mass of the cell
(or battery) in kg.
e.1.c. ``Space qualified'' and radiation hardened photovoltaic
arrays with a specific power exceeding 160 W/m2 at an
operating temperature of 301 K (28 deg. C) under a tungsten
illumination of 1 kW/m2 at 2,800 K (2,527 deg. C);
e.2. High energy storage capacitors, as follows:
N.B.: See also 3A201.a.
e.2.a. Capacitors with a repetition rate of less than 10 Hz (single
shot capacitors) 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) 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,
having all of the following:
N.B.: See also 3A201.b.
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/mm2;
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids specially designed for Magnetic
Resonance Imaging (MRI) medical equipment.
f. Rotary input type shaft absolute position encoders having any of
the following:
f.1. A resolution of better than 1 part in 265,000 (18 bit
resolution) of full scale; or
f.2. An accuracy better than 2.5 seconds of arc.
3A002 General purpose electronic equipment, as follows (see List
of Items Controlled).
* * * * *
List of Items Controlled
Unit: Number
Related Controls: See also 3A202 and 3A992
Related Definitions: N/A
Items:
a. Recording equipment, as follows, and specially designed test
tape therefor:
a.1. Analog instrumentation magnetic tape recorders, including
those permitting the recording of digital signals (e.g., using a high
density digital recording (HDDR) module), having any of the following:
a.1.a. A bandwidth exceeding 4 MHz per electronic channel or track;
a.1.b. A bandwidth exceeding 2 MHz per electronic channel or track
and having more than 42 tracks; or
a.1.c. A time displacement (base) error, measured in accordance
with applicable IRIG or EIA documents, of less than 0.1
s;
Note: Analog magnetic tape recorders specially designed for
civilian video purposes are not considered to be instrumentation
tape recorders.
a.2. Digital video magnetic tape recorders having a maximum digital
interface transfer rate exceeding 360 Mbit/s;
Note: 3A002.a.2 does not control digital video magnetic tape
recorders specially designed for television recording using a signal
format, which may include a compressed signal format, standardized
or recommended by the ITU, the IEC, the SMPTE, the EBU or the IEEE
for civil television applications.
a.3. Digital instrumentation magnetic tape data recorders employing
helical scan techniques or fixed head techniques, having any of the
following:
a.3.a. A maximum digital interface transfer rate exceeding 175
Mbit/s; or
a.3.b. Being ``space qualified'';
Note: 3A002.a.3 does not control analog magnetic tape recorders
equipped with
[[Page 40120]]
HDDR conversion electronics and configured to record only digital
data.
a.4. Equipment, having a maximum digital interface transfer rate
exceeding 175 Mbit/s, designed to convert digital video magnetic tape
recorders for use as digital instrumentation data recorders;
a.5. Waveform digitizers and transient recorders having all of the
following:
N.B.: See also 3A202.
a.5.a. Digitizing rates equal to or more than 200 million samples
per second and a resolution of 10 bits or more; and
a.5.b. A continuous throughput of 2 Gbit/s or more;
Technical Note: For those instruments 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 output to
mass storage without the loss of any information while sustaining
the sampling rate and analog-to-digital conversion.
b. ``Frequency synthesizer'', ``assemblies'' having a ``frequency
switching time'' from one selected frequency to another of less than 1
ms;
c. ``Signal analyzers'', as follows:
c.1. ``Signal analyzers'' capable of analyzing frequencies
exceeding 31 GHz;
c.2. ``Dynamic signal analyzers'' having a ``real-time bandwidth''
exceeding 25.6 kHz;
Note: 3A002.c.2 does not control those ``dynamic signal
analyzers'' using only constant percentage bandwidth filters (also
known as octave or fractional octave filters).
Technical Note: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.
d. Frequency synthesized signal generators producing output
frequencies, the accuracy and short term and long term stability of
which are controlled, derived from or disciplined by the internal
master frequency, and having any of the following:
d.1. A maximum synthesized frequency exceeding 31 GHz;
d.2. A ``frequency switching time'' from one selected frequency to
another of less than 1 ms; or
d.3. A single sideband (SSB) phase noise better than -(126 + 20
log10F-20 log10f) in dBc/Hz, where F is the off-
set from the operating frequency in Hz and f is the operating frequency
in MHz;
Note: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.
e. Network analyzers with a maximum operating frequency exceeding
40 GHz;
f. Microwave test receivers having all of the following:
f.1. A maximum operating frequency exceeding 40 GHz; and
f.2. Being capable of measuring amplitude and phase simultaneously;
g. Atomic frequency standards having any of the following:
g.1. Long-term stability (aging) less (better) than 1 x
10-11/month; or
g.2. Being ``space qualified''.
Note: 3A002.g.1 does not control non-``space qualified''
rubidium standards.
3A991 Electronic devices and components not controlled by 3A001.
* * * * *
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having a clock
frequency exceeding 25 MHz;
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable read-only memories (EEPROMs)
with a storage capacity;
b.1.a. Exceeding 16 Mbits per package for flash memory types; or
b.1.b. Exceeding either of the following limits for all other
EEPROM types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package and a maximum access time
of less than 80 ns;
b.2. Static random access memories (SRAMs) with a storage capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and a maximum access time of
less than 25 ns;
c. Field programmable logic arrays having either of the following:
c.1. An equivalent gate count of more than 5000 (2 input gates); or
c.2. A toggle frequency exceeding 100 MHz;
d. Custom integrated circuits for which either the function is
unknown, or the control status of the equipment in which the integrated
circuits will be used is unknown to the manufacturer, having any of the
following:
d.1. More than 144 terminals; or
d.2. A typical ``basic propagation delay time'' of less than 0.4
ns.
e. Travelling wave tubes, pulsed or continuous wave, as follows:
e.1. Coupled cavity tubes, or derivatives thereof;
e.2. Helix tubes, or derivatives thereof, with any of the
following:
e.2.a.1. An ``instantaneous bandwidth'' of half an octave or more;
and
e.2.a.2. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of more
than 0.2;
e.2.b.1 An ``instantaneous bandwidth'' of less than half an octave;
and
e.2.b.2. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of more
than 0.4;
f. Flexible waveguides designed for use at frequencies exceeding 40
GHz;
g. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having either of the following:
g.1. A carrier frequency exceeding 1 GHz; or
g.2. A carrier frequency of 1 GHz or less; and
g.2.a. A frequency side-lobe rejection exceeding 55 dB;
g.2.b. A product of the maximum delay time and bandwidth (time in
microseconds and bandwidth in MHz) of more than 100; or
g.2.c. A dispersive delay of more than 10 microseconds.
h. Batteries, as follows:
Note: 3A991.h does not control batteries with volumes equal to
or less than 26 cm3 (e.g., standard C-cells or UM-2
batteries).
h.1. Primary cells and batteries having an energy density exceeding
350 Wh/kg and rated for operation in the temperature range from below
243 K (-30 deg. C) to above 343 K (70 deg. C);
h.2. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (C being the nominal capacity in ampere
hours) when operating in the temperature range from below 253 K
(-20 deg. C) to above 333 K (60 deg. C);
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75
percent of the open circuit voltage divided by the total mass of the
cell (or battery) in kg.
i. ``Superconductive'' electromagnets or solenoids specially
designed to be fully charged or discharged in less than one minute,
having all of the following:
Note: 3A991.i does not control ``superconductive''
electromagnets or solenoids designed for Magnetic Resonance Imaging
(MRI) medical equipment.
i.1. Maximum energy delivered during the discharge divided by the
[[Page 40121]]
duration of the discharge of more than 500 kJ per minute;
i.2. Inner diameter of the current carrying windings of more than
250 mm; and
i.3. Rated for a magnetic induction of more than 8T or ``overall
current density'' in the winding of more than 300 A/mm.\2\
j. Circuits or systems for electromagnetic energy storage,
containing components manufactured from ``superconductive'' materials
specially designed for operation at temperatures below the ``critical
temperature'' of at least one of their ``superconductive''
constituents, having all of the following:
j.1. Resonant operating frequencies exceeding 1 MHz;
j.2. A stored energy density of 1 MJ/M\3\ or more; and
j.3. A discharge time of less than 1 ms;
k. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal
construction and rate for a peak current of 500 A or more;
l. Digital integrated circuits based on any compound semiconductor
having an equivalent gate count of more than 300 (2 input gates).
3B001 Equipment for the manufacturing of semiconductor devices or
materials and specially designed components and accessories
therefor.
* * * * *
List of Items Controlled
Unit: Number
Related Controls: See also 3B991
Related Definitions: N/A
Items:
a. ``Stored program controlled'' equipment designed for epitaxial
growth, as follows:
a.1. Equipment capable of producing a layer thickness uniform to
less than 2.5% across a distance of 75 mm or more;
a.2. Metal organic chemical vapor deposition (MOCVD) reactors
specially designed for compound semiconductor crystal growth by the
chemical reaction between materials controlled by 3C003 or 3C004;
a.3. Molecular beam epitaxial growth equipment using gas or solid
sources;
b. ``Stored program controlled'' equipment designed for ion
implantation, having any of the following:
b.1. A beam energy (accelerating voltage) exceeding 1MeV;
b.2. Being specially designed and optimized to operate at a beam
energy (accelerating voltage of less than 2 keV;
b.3. Direct write capability; or
b.4. Being capable of high energy oxygen implant into a heated
semiconductor material ``substrate'';
c. ``Stored program controlled'' anisotropic plasma dry etching
equipment, as follows:
c.1. Equipment with cassette-to-cassette operation and load-locks,
and having any of the following:
c.1.a. Magnetic confinement; or
c.1.b. Electron cyclotron resonance (ECR);
c.2. Equipment specially designed for equipment controlled by
3B001.e and having any of the following:
c.2.a. Magnetic confinement; or
c.2.b. ECR;
d. ``Stored program controlled'' plasma enhanced CVD equipment, as
follows:
d.1. Equipment with cassette-to-cassette operation and load-locks,
and having any of the following:
d.1.a. Magnetic confinement; or
d.1.b. ECR;
d.2. Equipment specially designed for equipment controlled by
3B001.e and having any of the following:
d.2.a. Magnetic confinement; or
d.2.b. ECR;
e. ``Stored program controlled'' automatic loading multi-chamber
central wafer handling systems, having all of the following:
e.1. Interfaces for wafer input and output, to which more than two
pieces of semiconductor processing equipment are to be connected; and
e.2. Designed to form an integrated system in a vacuum environment
for sequential multiple wafer processing;
Note: 3B001.e does not control automatic robotic wafer handling
systems not designed to operate in a vacuum environment.
f. ``Stored program controlled'' lithography equipment, as follows:
f.1. Align and expose step and repeat (direct step on wafer) or
step and scan (scanner) equipment for wafer processing using photo-
optical or X-ray methods, having any of the following:
f.1.a. A light source wavelength shorter than 350 nm; or
f.1.b. Capable of producing a pattern with a minimum resolvable
feature size of 0.5 m or less;
Note: The minimum resolvable feature size is calculated by the
following formula:
[GRAPHIC] [TIFF OMITTED] TR23JY99.006
Where the K factor = 0.7.
MRF = minimum resolvable feature size.
f.2. Equipment specially designed for mask making or semiconductor
device processing using deflected focussed electron beam, ion beam or
``laser'' beam, having any of the following:
f.2.a. A spot size smaller than 0.2 m;
f.2.b. Being capable of producing a pattern with a feature size of
less than 1 m; or
f.2.c. An overlay accuracy of better than 0.20
m (3 sigma);
g. Masks and reticles designed for integrated circuits controlled
by 3A001;
h. Multi-layer masks with a phase shift layer.
3B991 Equipment not controlled by 3B001 for the manufacture of
electronic components and materials, and specially designed
components and accessories therefor.
* * * * *
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Equipment specially designed for the manufacture of electron
tubes, optical elements and specially designed components therefor
controlled by 3A001 or 3A991;
b. Equipment specially designed for the manufacture of
semiconductor devices, integrated circuits and ``assemblies'', as
follows, and systems incorporating or having the characteristics of
such equipment:
Note: 3B991.b also controls equipment used or modified for use
in the manufacture of other devices, such as imaging devices,
[[Page 40122]]
electro-optical devices, acoustic-wave devices.
b.1. Equipment for the processing of materials for the manufacture
of devices and components as specified in the heading of 3B991.b, as
follows:
Note: 3B991 does not control quartz furnace tubes, furnace
liners, paddles, boats (except specially designed caged boats),
bubblers, cassettes or crucibles specially designed for the
processing equipment controlled by 3B991.b.1.
b.1.a. Equipment for producing polycrystalline silicon and
materials controlled by 3C001;
b.1.b. Equipment specially designed for purifying or processing
III/V and II/VI semiconductor materials controlled by 3C001, 3C002,
3C003, or 3C004, except crystal pullers, for which see 3B991.b.1.c
below;
b.1.c. Crystal pullers and furnaces, as follows:
Note: 3B991.b.1.c does not control diffusion and oxidation
furnaces.
b.1.c.1. Annealing or recrystallizing equipment other than constant
temperature furnaces employing high rates of energy transfer capable of
processing wafers at a rate exceeding 0.005 m \2\ per minute;
b.1.c.2. ``Stored program controlled'' crystal pullers having any
of the following characteristics:
b.1.c.2.a. Rechargeable without replacing the crucible container;
b.1.c.2.b. Capable of operation at pressures above 2.5 x 10 \5\ Pa;
or
b.1.c.2.c. Capable of pulling crystals of a diameter exceeding 100
mm;
b.1.d. ``Stored program controlled'' equipment for epitaxial growth
having any of the following characteristics:
b.1.d.1. Capable of producing a layer thickness uniformity across
the wafer of equal to or better than 3.5%;
b.1.d.2. Rotation of individual wafers during processing; or
b.1.e. Molecular beam epitaxial growth equipment;
b.1.f. Magnetically enhanced ``sputtering'' equipment with
specially designed integral load locks capable of transferring wafers
in an isolated vacuum environment;
b.1.g. Equipment specially designed for ion implantation, ion-
enhanced or photo-enhanced diffusion, having any of the following
characteristics:
b.1.g.1. Patterning capability;
b.1.g.2. Beam energy (accelerating voltage) exceeding 200 keV;
b.1.g.3 Optimized to operate at a beam energy (accelerating
voltage) of less than 10 keV; or
b.1.g.4. Capable of high energy oxygen implant into a heated
``substrate'';
b.1.h. ``Stored program controlled'' equipment for the selective
removal (etching) by means of anisotropic dry methods (e.g., plasma),
as follows:
b.1.h.1. Batch types having either of the following:
b.1.h.1.a. End-point detection, other than optical emission
spectroscopy types; or
b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or
less;
b.1.h.2. Single wafer types having any of the following:
b.1.h.2.a. End-point detection, other than optical emission
spectroscopy types;
b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or
less; or
b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;
Notes: 1. ``Batch types'' refers to machines not specially
designed for production processing of single wafers. Such machines
can process two or more wafers simultaneously with common process
parameters, e.g., RF power, temperature, etch gas species, flow
rates.
2. ``Single wafer types'' refers to machines specially designed for
production processing of single wafers. These machines may use
automatic wafer handling techniques to load a single wafer into the
equipment for processing. The definition includes equipment that can
load and process several wafers but where the etching parameters, e.g.,
RF power or end point, can be independently determined for each
individual wafer.
b.1.i. ``Chemical vapor deposition'' (CVD) equipment, e.g., plasma-
enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor device
manufacturing, having either of the following capabilities, for
deposition of oxides, nitrides, metals or polysilicon:
b.1.i.1. ``Chemical vapor deposition'' equipment operating below 10
\5\ Pa; or
b.1.i.2. PECVD equipment operating either below 60 Pa (450
millitorr) or having automatic cassette-to-cassette and load lock wafer
handling;
Note: 3B991.b.1.i does not control low pressure ``chemical vapor
deposition'' (LPCVD) systems or reactive ``sputtering'' equipment.
b.1.j. Electron beam systems specially designed or modified for
mask making or semiconductor device processing having any of the
following characteristics:
b.1.j.1. Electrostatic beam deflection;
b.1.j.2. Shaped, non-Gaussian beam profile;
b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit; or
b.1.j.5. Target-to-beam position feedback control precision of 1
micrometer or finer;
Note: 3B991.b.1.j does not control electron beam deposition
systems or general purpose scanning electron microscopes.
b.1.k. Surface finishing equipment for the processing of
semiconductor wafers as follows:
b.1.k.1. Specially designed equipment for backside processing of
wafers thinner than 100 micrometer and the subsequent separation
thereof; or
b.1.k.2. Specially designed equipment for achieving a surface
roughness of the active surface of a processed wafer with a two-sigma
value of 2 micrometer or less, total indicator reading (TIR);
Note: 3B991.b.1.k does not control single-side lapping and
polishing equipment for wafer surface finishing.
b.1.l. Interconnection equipment which includes common single or
multiple vacuum chambers specially designed to permit the integration
of any equipment controlled by 3B991 into a complete system;
b.1.m. ``Stored program controlled'' equipment using ``lasers'' for
the repair or trimming of ``monolithic integrated circuits'' with
either of the following characteristics:
b.1.m.1. Positioning accuracy less than 1 micrometer;
or
b.1.m.2. Spot size (kerf width) less than 3 micrometer.
b.2. Masks, mask ``substrates'', mask-making equipment and image
transfer equipment for the manufacture of devices and components as
specified in the heading of 3B991, as follows:
Note: The term ``masks'' refers to those used in electron beam
lithography, X-ray lithography, and ultraviolet lithography, as well
as the usual ultraviolet and visible photo-lithography.
b.2.a. Finished masks, reticles and designs therefor, except:
b.2.a.1. Finished masks or reticles for the production of
unembargoed integrated circuits; or
b.2.a.2. Masks or reticles, having both of the following
characteristics:
b.2.a.2.a. Their design is based on geometries of 2.5 micrometer or
more; and
b.2.a.2.b. The design does not include special features to alter
the intended use by means of production equipment or ``software'';
b.2.b. Mask ``substrates'' as follows:
b.2.b.1. Hard surface (e.g., chromium,silicon, molybdenum) coated
``substrates'' (e.g., glass, quartz, sapphire) for the preparation of
masks having dimensions exceeding 125 mm x 125 mm; or
[[Page 40123]]
b.2.b.2. ``Substrates'' specially designed for X-ray masks;
b.2.c. Equipment, other than general purpose computers, specially
designed for computer aided design (CAD) of semiconductor devices or
integrated circuits;
b.2.d. Equipment or machines, as follows, for mask or reticle
fabrication:
b.2.d.1. Photo-optical step and repeat cameras capable of producing
arrays larger than 100 mm x 100 mm, or capable of producing a single
exposure larger than 6 mm x 6 mm in the image (i.e., focal) plane, or
capable of producing line widths of less than 2.5 micrometer in the
photoresist on the ``substrate'';
b.2.d.2. Mask or reticle fabrication equipment using ion or
``laser'' beam lithography capable of producing line widths of less
than 2.5 micrometer; or
b.2.d.3. Equipment or holders for altering masks or reticles or
adding pellicles to remove defects;
Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication
equipment using photo-optical methods which was either commercially
available before the 1st January, 1980, or has a performance no
better than such equipment.
b.2.e. ``Stored program controlled'' equipment for the inspection
of masks, reticles or pellicles with:
b.2.e.1. A resolution of 0.25 micrometer or finer; and
b.2.e.2. A precision of 0.75 micrometer or finer over a distance in
one or two coordinates of 63.5 mm or more;
Note: 3B991.b.2.e does not control general purpose scanning
electron microscopes except when specially designed and instrumented
for automatic pattern inspection.
b.2.f. Align and expose equipment for wafer production using photo-
optical or X-ray methods, including both projection image transfer
equipment and step and repeat (direct step on wafer) or step and scan
(scanner) equipment, capable of performing any of the following
functions:
Note: 3B991.b.2.f does not control photo-optical contact and
proximity mask align and expose equipment or contact image transfer
equipment.
b.2.f.1. Production of a pattern size of less than 2.5 micrometer;
b.2.f.2. Alignment with a precision finer than 0.25
micrometer (3 sigma);
b.2.f.3. Machine-to-machine overlay no better than 0.3
micrometer;
b.2.f.4. A light source wavelength shorter than 400 nm; or
b.2.f.5. Capable of producing a pattern with a minimum resolvable
feature size of 0.7 microns or less.
b.2.g. Electron beam, ion beam or X-ray equipment for projection
image transfer capable of producing patterns less than 2.5 micrometer;
Note: For focussed, deflected-beam systems (direct write
systems), see 3B991.b.1.j or b.10.
b.2.h. Equipment using ``lasers'' for direct write on wafers
capable of producing patterns less than 2.5 micrometer.
b.3. Equipment for the assembly of integrated circuits, as follows:
b.3.a. ``Stored program controlled'' die bonders having all of the
following characteristics:
b.3.a.1. Specially designed for ``hybrid integrated circuits'';
b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm; and
b.3.a.3. Placement accuracy in the X-Y plane of finer than
10 micrometer;
b.3.b. ``Stored program controlled'' equipment for producing
multiple bonds in a single operation (e.g., beam lead bonders, chip
carrier bonders, tape bonders);
b.3.c. Semi-automatic or automatic hot cap sealers, in which the
cap is heated locally to a higher temperature than the body of the
package, specially designed for ceramic microcircuit packages
controlled by 3A001 and that have a throughput equal to or more than
one package per minute.
Note: 3B991.b.3 does not control general purpose resistance type
spot welders.
b.4. Filters for clean rooms capable of providing an air
environment of 10 or less particles of 0.3 micrometer or smaller per
0.02832 m\3\ and filter materials therefor;
3C002 Resist material and ``substrates'' coated with controlled
resists.
* * * * *
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: Silylation techniques are defined as processes
incorporating oxidation of the resist surface to enhance performance
for both wet and dry developing.
Items:
a. Positive resists designed for semiconductor lithography
specially adjusted (optimized) for use at wavelengths below 350 nm;
b. All resists designed for use with electron beams or ion beams,
with a sensitivity of 0.01 coulomb/mm \2\ or better;
c. All resists designed for use with X-rays, with a sensitivity of
2.5 mJ/mm \2\ or better;
d. All resists optimized for surface imaging technologies,
including silylated resists.
3C992 Positive resists designed for semiconductor lithography
specially adjusted (optimized) for use at wavelengths between 370
and 350 nm.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
3E001 ``Technology'' according to the General Technology Note for
the ``development'' or ``production'' of equipment or materials
controlled by 3A (except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B
(except 3B991 and 3B992) or 3C.
* * * * *
List of Items Controlled
Unit: N/A
Related Controls: (1.) See also 3E101 and 3E201.(2.) 3E001 does not
control ``technology'' for the ``development'' or ``production'' of:
(a) Microwave transistors operating at frequencies below 31 GHz; (b)
Integrated circuits controlled by 3A001.a.3 to a.12, having all of the
following: 1. Using ``technology'' of 0.7 micrometer or more, AND 2.
Not incorporating multi-layer structures. (3.) The term multi-layer
structures in this entry does not include devices incorporating a
maximum of two metal layers and two polysilicon layers.
Related Definition: N/A
Items:
The list of items controlled is contained in the ECCN heading.
3E002 Other ``technology'' for the ``development'' or
``production'' of items described in the List of Items Controlled.
* * * * *
License Exceptions
CIV: N/A
TSR: Yes, except .e and .f
[[Page 40124]]
List of Items Controlled
Unit: N/A
Related Controls: See 3E001 for silicon-on-insulation (SOI) technology
for the ``development'' or ``production'' related to radiation
hardening of integrated circuits
Related Definitions: N/A
Items:
a. Vacuum microelectronic devices;
b. Hetero-structure semiconductor devices such as high electron
mobility transistors (HEMT), hetero-bipolar transistors (HBT), quantum
well and super lattice devices;
c. ``Superconductive'' electronic devices;
d. Substrates of films of diamond for electronic components;
e. Substrates of silicon-on-insulator (SOI) for integrated circuits
in which the insulator is silicon dioxide;
f. Substrates of silicon carbide for electronic components.
10. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 4--computers is amended by revising Export Control
Classification Number (ECCN) 4A003, to read as follows:
4A003 ``Digital computers'', ``electronic assemblies'', and
related equipment therefor, and specially designed components
therefor.
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
Control(s) Country Chart
NS applies to 4A003.b and .c........... NS Column 1
NS applies to 4A003.a, .d, .e, and .g.. NS Column 2
MT applies to digital computers used as MT Column 1
ancillary equipment for test
facilities and equipment that are
controlled by 9B005 or 9B006.
CC applies to digital computers for CC Column 1
computerized finger-print equipment.
AT applies to entire entry (refer to AT Column 1
4A994 for controls on digital
computers with a CTP 6 but
to 2,000 Mtops).
NP applies to digital computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. See Sec. 742.3(b) of
the EAR for information on applicable licensing review policies.
XP applies to digital computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. XP controls vary
according to destination and end-user and end-use. See Sec. 742.12 of
the EAR for additional information.
Note: For all destinations, except Cuba, Iran, Iraq, Libya,
North Korea, Sudan, and Syria, no license is required (NLR) for
computers with a CTP of 2,000 Mtops, and for assemblies described in
4A003.c that are not capable of exceeding a CTP of 2,000 Mtops in
aggregation. Computers controlled in this entry for MT reasons are
not eligible for NLR.
License Requirement Notes: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions.
License Exceptions
LVS: $5000; N/A for MT and ``digital'' computers controlled by 4A003.b
and having a CTP exceeding 10,000 MTOPS; or ``electronic assemblies''
controlled by 4A003.c and capable of enhancing performance by
aggregation of ``computing elements'' so that the CTP of the
aggregation exceeds 10,000 MTOPS.
GBS: Yes, for 4A003.d, .e, and .g and specially designed components
therefor, exported separately or as part of a system.
CTP: Yes, for computers controlled by 4A003.a, .b and .c, to the
exclusion of other technical parameters, with the exception of
parameters specified as controlled for Missile Technology (MT) concerns
and 4A003.e (equipment performing analog-to-digital or digital-to-
analog conversions exceeding the limits of 3A001.a.5.a). See Sec. 740.7
of the EAR.
CIV: Yes, for 4A003.d (having a 3-D vector rate less than 10 M vectors/
sec), .e, and .g.
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A994
Related Definitions: N/A
Items:
Note 1: 4A003 includes the following:
a. Vector processors;
b. Array processors;
c. Digital signal processors;
d. Logic processors;
e. Equipment designed for ``image enhancement'';
f. Equipment designed for ``signal processing''.
Note 2: The control status of the ``digital computers'' and
related equipment described in 4A003 is determined by the control
status of other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential
for the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment specially designed for other equipment with
functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B. 2: For the control status of ``digital computers'' or related
equipment for telecommunications equipment, see Category 5, Part 1
(Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
a. Designed or modified for ``fault tolerance'';
Note: For the purposes of 4A003.a., ``digital computers'' and
related equipment are not considered to be designed or modified for
``fault tolerance'' if they utilize any of the following:
1. Error detection or correction algorithms in ``main storage'';
2. The interconnection of two ``digital computers'' so that, if
the active central processing unit fails, an idling but mirroring
central processing unit can continue the system's functioning;
3. The interconnection of two central processing units by data
channels or by use of shared storage to permit one central
processing unit to perform other work until the second central
processing unit fails, at which time the first central processing
unit takes over in order to continue the system's functioning; or
4. The synchronization of two central processing units by
``software'' so that one central processing unit recognizes when the
other central processing unit fails and recovers tasks from the
failing unit.
b. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') exceeding 2,000 million theoretical operations
per second (Mtops);
c. ``Electronic assemblies'' specially designed or modified to be
capable of enhancing performance by aggregation of ``computing
elements'' (``CEs'') so that the ``CTP'' of the aggregation exceeds the
limit in 4A003.b;
Note 1: 4A003.c applies only to ``electronic assemblies'' and
programmable interconnections not exceeding the limit in 4A003.b
when shipped as unintegrated ``electronic assemblies''. It does not
apply to ``electronic assemblies'' inherently limited by nature of
their design for use as related equipment controlled by 4A003.d, or
4A003.e.
Note 2: 4A003.c does not control ``electronic assemblies''
specially designed for a product or family of products whose maximum
configuration does not exceed the limit of 4A003.b.
d. Graphics accelerators and graphics coprocessors exceeding a
``three dimensional Vector Rate'' of 3,000,000;
e. Equipment performing analog-to-digital conversions exceeding the
limits in 3A001.a.5;
f. Reserved.
g. Equipment specially designed to provide external interconnection
of
[[Page 40125]]
``digital computers'' or associated equipment that allows
communications at data rates exceeding 80 Mbyte/s.
Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) passive interconnection
equipment, ``network access controllers'' or ``communication channel
controllers''.
11. In Supplement No. 1 to part 774, the Commerce Control List,
Category 4--Computers is amended by revising the table following the
EAR99 entry to read as follows:
Information on How to Calculate ``Composite Theoretical Performance
(``CTP'')
Technical Note: ``COMPOSITE THEORETICAL PERFORMANCE'' (``CTP'')
Abbreviations used in this Technical Note
``CE'' ``computing element'' (typically an
arithmetic logical unit)
FP floating point
XP fixed point
t execution time
XOR exclusive OR
CPU central processing unit
TP theoretical performance (of a single
``CE'')
``CTP'' ``composite theoretical
performance'' (multiple ``CEs'')
R effective calculating rate
WL word length
L word length adjustment
* multiply
Execution time t is expressed in microseconds, TP and ``CTP''
are expressed in millions of theoretical operations per second
(Mtops) and WL is expressed in bits.
Outline of ``CTP'' calculation method
``CTP'' is a measure of computational performance given in
Mtops. In calculating the ``CTP'' of an aggregation of ``CEs'' the
following three steps are required:
1. Calculate the effective calculating rate R for each ``CE'';
2. Apply the word length adjustment (L) to the effective
calculating rate (R), resulting in a Theoretical Performance (TP)
for each ``CE'';
3. If there is more than one ``CE'', combine the TPs, resulting
in a ``CTP'' for the aggregation.
Details for these steps are given in the following sections.
Note 1: For aggregations of multiple ``CEs'' that have both
shared and unshared memory subsystems, the calculation of ``CTP'' is
completed hierarchically, in two steps: first, aggregate the groups
of ``CEs'' sharing memory; second, calculate the ``CTP'' of the
groups using the calculation method for multiple ``CEs'' not sharing
memory.
Note 2: ``CEs'' that are limited to input/output and peripheral
functions (e.g., disk drive, communication and video display
controllers) are not aggregated into the ``CTP'' calculation.
The following table shows the method of calculating the
Effective Calculating Rate R for each ``CE'':
Step 1: The effective calculating rate R
BILLING CODE 3510-33-P
[[Page 40126]]
[GRAPHIC] [TIFF OMITTED] TR23JY99.000
[[Page 40127]]
[GRAPHIC] [TIFF OMITTED] TR23JY99.001
BILLING CODE 3510-33-C
Note W: For a pipelined ``CE'' capable of executing up to one
arithmetic or logic operation every clock cycle after the pipeline
is full, a pipelined rate can be established. The effective
calculating rate (R) for such a ``CE'' is the faster of the
pipelined rate or non-pipelined execution rate.
Note X: For a ``CE'' that performs multiple operations of a
specific type in a single cycle (e.g., two additions per cycle or
two identical logic operations per cycle), the execution time t is
given by:
[GRAPHIC] [TIFF OMITTED] TR23JY99.002
``CEs'' that perform different types of arithmetic or logic
operations in a single machine cycle are to be treated as multiple
separate ``CEs'' performing simultaneously (e.g., a ``CE''
performing an addition and a multiplication in one cycle is to be
treated as two ``CEs'', the first performing an addition in one
cycle and the second performing a multiplication in one cycle). If a
single ``CE'' has both scalar function and vector function, use the
shorter execution time value.
Note Y: For the ``CE'' that does not implement FP add or FP
multiply, but that performs FP divide:
[GRAPHIC] [TIFF OMITTED] TR23JY99.003
If the ``CE'' implements FP reciprocal but not FP add, FP
multiply or FP divide, then
[GRAPHIC] [TIFF OMITTED] TR23JY99.004
If none of the specified instructions is implemented, the
effective FP rate is 0.
Note Z: In simple logic operations, a single instruction
performs a single logic manipulation of no more than two operands of
given lengths. In complex logic operations, a single instruction
performs multiple logic manipulations to produce one or more results
from two or more operands.
[[Page 40128]]
Rates should be calculated for all supported operand lengths
considering both pipelined operations (if supported), and non-
pipelined operations using the fastest executing instruction for
each operand length based on:
1. Pipelined or register-to-register operations. Exclude
extraordinarily short execution times generated for operations on a
predetermined operand or operands (for example, multiplication by 0
or 1). If no register-to-register operations are implemented,
continue with (2).
2. The faster of register-to-memory or memory-to-register
operations; if these also do not exist, then continue with (3).
3. Memory-to-memory.
In each case above, use the shortest execution time certified by
the manufacturer.
Step 2: TP for each supported operand length WL
Adjust the effective rate R (or R') by the word length
adjustment L as follows:
TP = R * L, where L = (1/3 + WL/96)
Note: The word length WL used in these calculations is the
operand length in bits. (If an operation uses operands of different
lengths, select the largest word length.) The combination of a
mantissa ALU and an exponent ALU of a floating point processor or
unit is considered to be one ``CE'' with a Word Length (WL) equal to
the number of bits in the data representation (typically 32 or 64)
for purposes of the ``CTP'' calculation.
This adjustment is not applied to specialized logic processors
that do not use XOR instructions. In this case TP = R.
Select the maximum resulting value of TP for:
Each XP-only ``CE'' (Rxp);
Each FP-only ``CE'' (Rfp);
Each combined FP and XP ``CE'' (R);
Each simple logic processor not implementing any of the
specified arithmetic operations; and
Each special logic processor not using any of the specified
arithmetic or logic operations.
Step 3: ``CTP'' for aggregations of ``CEs'', including CPUs.
For a CPU with a single ``CE'', ``CTP'' = TP (for ``CEs''
performing both fixed and floating point operations TP = max
(TPfp, TPxp))
``CTP'' for aggregations of multiple ``CEs'' operating
simultaneously is calculated as follows:
Note 1: For aggregations that do not allow all of the ``CEs'' to
run simultaneously, the possible combination of ``CEs'' that
provides the largest ``CTP'' should be used. The TP of each
contributing ``CE'' is to be calculated at its maximum value
theoretically possible before the ``CTP'' of the combination is
derived.
N.B.: To determine the possible combinations of simultaneously
operating ``CEs'', generate an instruction sequence that initiates
operations in multiple ``CEs'', beginning with the slowest ``CE''
(the one needing the largest number of cycles to complete its
operation) and ending with the fastest ``CE''. At each cycle of the
sequence, the combination of ``CEs'' that are in operation during
that cycle is a possible combination. The instruction sequence must
take into account all hardware and/or architectural constraints on
overlapping operations.
Note 2: A single integrated circuit chip or board assembly may
contain multiple ``CEs''.
Note 3: Simultaneous operations are assumed to exist when the
computer manufacturer claims concurrent, parallel or simultaneous
operation or execution in a manual or brochure for the computer.
Note 4: ``CTP'' values are not to be aggregated for ``CE''
combinations (inter)connected by ``Local Area Networks'', Wide Area
Networks, I/O shared connections/devices, I/O controllers and any
communication interconnection implemented by ``software''.
Note 5: ``CTP'' values must be aggregated for multiple ``CEs''
specially designed to enhance performance by aggregation, operating
simultaneously and sharing memory,-or multiple memory/''CE''-
combinations operating simultaneously utilizing specially designed
hardware.
This aggregation does not apply to ``electronic assemblies''
described by 4A003.c.
``CTP''=TP1+C2*TP2+...+Cn
*TPn,
Where the TPs are ordered by value, with TP1 being the
highest, TP2 being the second highest, ..., and
TPn being the lowest. Ci is a coefficient
determined by the strength of the interconnection between ``CEs'',
as follows:
For multiple ``CEs'' operating simultaneously and sharing
memory:
C2=C3=C4=...=Cn=0.75
Note 1: When the ``CTP'' calculated by the above method does not
exceed 194 Mtops, the following formula may be used to calculate
Ci:
[GRAPHIC] [TIFF OMITTED] TR23JY99.005
Where m=the number of ``CEs'' or groups of ``CEs'' sharing access.
provided:
1. The TP1 of each ``CE'' or group of ``CEs'' does
not exceed 30 Mtops;
2. The ``CEs'' or groups of ``CEs'' share access to main memory
(excluding cache memory) over a single channel; and
3. Only one ``CE'' or group of ``CEs'' can have use of the
channel at any given time.
N.B.: This does not apply to items controlled under Category 3.
Note 2: ``CEs'' share memory if they access a common segment of
solid state memory. This memory may include cache memory, main
memory or other internal memory. Peripheral memory devices such as
disk drives, tape drives or RAM disks are not included.
For Multiple ``CEs'' or groups of ``CEs'' not sharing memory,
interconnected by one or more data channels:
Ci=0.75*ki (i=2,..., 32) (see Note below)
=0.60*ki (i=33,..., 64)
=0.45*ki (i=65,..., 256)
=0.30 * ki (i >256)
The value of Ci is based on the number of ``CE''s,
not the number of nodes.
Where ki=min (Si/Kr, 1), and
Kr=normalizing factor of 20 MByte/s.
Si = sum of the maximum data rates (in units of MByte/s)
for all data channels connected to the ith ``CE'' or
group of ``CEs'' sharing memory.
When calculating a Ci for a group of ``CEs'', the
number of the first ``CE'' in a group determines the proper limit
for Ci. For example, in an aggregation of groups
consisting of 3 ``CEs'' each, the 22nd group will contain
``CE''64, ``CE''65 and ``CE''66.
The proper limit for Ci for this group is 0.60.
Aggregation (of ``CEs'' or groups of ``CEs'') should be from the
fastest-to-slowest; i.e.: TP1TP2
.... TPn, and
in the case of TPi=TPi+1, from the largest
to smallest; i.e.: CiCi+1
Note: The ki factor is not to be applied to ``CEs'' 2
to 12 if the TPi of the ``CE'' or group of ``CEs'' is
more than 50 Mtops; i.e., Ci for ``CEs'' 2 to 12 is 0.75.
12. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', Part I--
Telecommunications is amended by revising the telecommunications notes
that immediately follow the Category 5--I ``telecommunications''
heading, to read as follows:
Category 5--Telecommunications and ``Information Security''
I. Telecommunications
Notes: 1. The control status of components, ``lasers'', test and
``production'' equipmentand ``software'' therefor which are
specially designed for telecommunications
[[Page 40129]]
equipment or systems is determined in Category 5, Part I.
2. ``Digital computers'', related equipment or ``software'', when
essential for the operation and support of telecommunications equipment
described in this Category, are regarded as specially designed
components, provided they are the standard models customarily supplied
by the manufacturer. This includes operation, administration,
maintenance, engineering or billing computer systems.
13. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 5--Telecommunications and ``Information Security'', is amended
as follows:
a. By revising ECCN 5A001;
b. By revising ECCN 5A991;
c. By revising ECCN 5B001;
d. By removing ECCN 5C001;
e. By adding a new ECCN 5C991; and
f. By revising the License Exceptions section and the List of Items
Controlled for ECCNs 5D001 and 5E001, to read as follows:
5A001 Telecommunications systems, equipment, and components.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to 5A001.a.................. NS Column 1
NS applies to 5A001.b, .c, or .d....... NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: N/A for 5A001.a and b.4
$5000 for 5A001b.2, b.3, b.5, and .d $3000 for 5A001.c
GBS: Yes, except 5A001.a and b.4
CIV: Yes, except 5A001.a, b.3 and b.4
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 5A101 and 5A991
Related Definitions: N/A
Items:
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. Specially designed to withstand transitory electronic effects
or electromagnetic pulse effects, both arising from a nuclear
explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation; or
a.3. Specially designed to operate outside the temperature range
from 218 K (-55 deg.C) to 397 K (124 deg.C).
Note: 5A001.a.3 applies only to electronic equipment.
Note: 5A001.a.2 and 5A001.a.3 do not apply to equipment on board
satellites.
b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any of
the following characteristics, functions or features:
b.1 Being underwater communications systems having any of the
following characteristics:
b.1.a. An acoustic carrier frequency outside the range from 20 kHz
to 60 kHz;
b.1.b. Using an electromagnetic carrier frequency below 30 kHz; or
b.1.c. Using electronic beam steering techniques;
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having any of the following characteristics:
b.2.a. Incorporating adaptive techniques providing more than 15 dB
suppression of an interfering signal; or
b.2.b. Having all of the following:
b.2.b.1. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.2.b.2. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the 1.5 MHz to 30 MHz frequency range
or 250 W or more in the 30 MHz to 87.5 MHz frequency range, over an
``instantaneous bandwidth'' of one octave or more and with an output
harmonic and distortion content of better than -80 dB;
b.3. Being radio equipment employing ``spread spectrum'' or
``frequency agility'' (frequency hopping) techniques having any of the
following characteristics:
b.3.a. User programmable spreading codes; or b.3.b. A total
transmitted bandwidth which is 100 or more times the bandwidth of any
one information channel and in excess of 50 kHz;
Note: 5A001. b.3.b does not control cellular radio equipment
operating in civil bands.
Note: 5A001.b.3 does not control equipment operating at an
output power of 1.0 Watt or less.
b.4. Being digitally controlled radio receivers having all of the
following:
b.4.a. More than 1,000 channels;
b.4.b. A ``frequency switching time'' of less than 1 ms;
b.4.c. Automatic searching or scanning of a part of the
electromagnetic spectrum;
and
b.4.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.4 does not control cellular radio equipment
operating in civil bands.
b.5. Employing functions of digital ``signal processing'' to
provide voice coding at rates of less than 2,400 bit/s.
c. Optical fiber communication cables, optical fibers and
accessories, as follows:
c.1. Optical fibers of more than 500 m in length specified by the
manufacturer as being capable of withstanding a proof test tensile
stress of 2 x 109 N/m2 or more;
Technical Note: Proof Test: on-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20 deg. C) and relative
humidity 40%.
N.B.: Equivalent national standards may be used for executing the
proof test.
c.2. Optical fiber cables and accessories designed for underwater
use.
Note: 5A001.c.2 does not control standard civil
telecommunication cables and accessories.
N.B. 1: For underwater umbilical cables, and connectors thereof,
see 8A002.a.3.
N.B. 2: For fiber-optic hull penetrators or connectors, see
8A002.c.
d. ``Electronically steerable phased array antennae'' operating
above 31 GHz.
Note: 5A001.d does not control ``electronically steerable phased
array antennae'' for landing systems with instruments meeting ICAO
standards covering microwave landing systems (MLS).
5A991 Telecommunication Equipment, Not Controlled by 5A001.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Any type of telecommunications equipment, not controlled by
5A001.a, specially designed to operate outside the temperature range
from 219 K (-54 deg. C) to 397 K (124 deg. C).
b. Telecommunication transmission equipment and systems, and
specially
[[Page 40130]]
designed components and accessories therefor, having any of the
following characteristics, functions or features:
Note: Telecommunication transmission equipment:
a. Categorized as follows, or combinations thereof:
1. Radio equipment (e.g., transmitters, receivers and
transceivers);
2. Line terminating equipment;
3. Intermediate amplifier equipment;
4. Repeater equipment;
5. Regenerator equipment;
6. Translation encoders (transcoders);
7. Multiplex equipment (statistical mutiplex included);
8. Modulators/demodulators (modems);
9. Transmultiplex equipment (see CCITT Rec. G701);
10. ``Stored program controlled'' digital crossconnection
equipment;
11. ``Gateways'' and bridges;
12. ``Media access units''; and
b. Designed for use in single or multi-channel communication via
any of the following:
1. Wire (line);
2. Coaxial cable;
3. Optical fiber cable;
4. Electromagnetic radiation; or
5. Underwater acoustic wave propagation.
b.1. Employing digital techniques, including digital processing of
analog signals, and designed to operate at a ``digital transfer rate''
at the highest multiplex level exceeding 45 Mbit/s or a ``total digital
transfer rate'' exceeding 90 Mbit/s;
Note: 5A991.b.1 does not control equipment specially designed to
be integrated and operated in any satellite system for civil use.
b.2. Modems using the ``bandwidth of one voice channel'' with a
``data signalling rate'' exceeding 9,600 bits per second;
b.3. Being ``stored program controlled'' digital cross connect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per port.
b.4. Being equipment containing any of the following:
b.4.a. ``Network access controllers'' and their related common
medium having a ``digital transfer rate'' exceeding 33 Mbit/s; or
b.4.b. ``Communication channel controllers'' with a digital output
having a ``data signalling rate'' exceeding 64,000 bit/s per channel;
Note: If any uncontrolled equipment contains a ``network access
controller'', it cannot have any type of telecommunications
interface, except those described in, but not controlled by
5A991.b.4.
b.5. Employing a ``laser'' and having any of the following
characteristics:
b.5.a. A transmission wavelength exceeding 1,000 nm; or
b.5.b. Employing analog techniques and having a bandwidth exceeding
45 MHz;
Note: 5A991.b.5.b does not control commercial TV systems.
b.5.c. Employing coherent optical transmission or coherent optical
detection techniques (also called optical heterodyne or homodyne
techniques);
b.5.d. Employing wavelength division multiplexing techniques; or
b.5.e. Performing ``optical amplification'';
b.6. Radio equipment operating at input or output frequencies
exceeding:
b.6.1. 31 GHz for satellite-earth station applications; or
b.6.2. 26.5 GHz for other applications;
Note: 5A991.b.6 does not control equipment for civil use when
conforming with an International Telecommunications Union (ITU)
allocated band between 26.5 GHz and 31 GHz.
b.7. Being radio equipment employing any of the following:
b.7.a. Quadrature-amplitude-modulation (QAM) techniques above level
4 if the ``total digital transfer rate'' exceeds 8.5 Mbit/s;
b.7.b. QAM techniques above level 16 if the ``total digital
transfer rate'' is equal to or less than 8.5 Mbit/s; or
b.7.c. Other digital modulation techniques and having a ``spectral
efficiency'' exceeding 3 bit/sec/Hz;
Notes: 1. 5A001.b.7 does not control equipment specially
designed to be integrated and operated in any satellite system for
civil use.
2. 5A001.b.7 does not control radio relay equipment for
operation in an ITU allocated band:
a. Having any of the following:
a.1. Not exceeding 960 MHz; or
a.2. With a ``total digital transfer rate'' not exceeding 8.5
Mbit/s;
and
b. Having a ``spectral efficiency'' not exceeding 4 bit/sec/Hz.
b.8. Providing functions of digital ``signal processing'' as
follows:
b.8.a. Voice coding at rates less than 2,400 bit/s;
b.8.b. Employing circuitry that incorporates ``user-accessible
programmability'' of digital ``signal processing'' circuits exceeding
the limits of 4A003.b.
c. ``Stored program controlled'' switching equipment and related
signalling systems, having any of the following characteristics,
functions or features, and specially designed components and
accessories therefor:
Note: Statistical multiplexers with digital input and digital
output which provide switching are treated as ``stored program
controlled'' switches.
c.1. ``Data (message) switching'' equipment or systems designed for
``packet-mode operation'' and assemblies and components therefor,
n.e.s.
c.2. Containing ``Integrated Services Digital Network'' (ISDN)
functions and having any of the following:
c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a
``digital transfer rate'' at the highest multiplex level exceeding
192,000 bit/s, including the associated signalling channel (e.g.,
2B+D); or
c.2.b. The capability that a signalling message received by a
switch on a given channel that is related to a communication on another
channel may be passed through to another switch.
Note: 5A991.c. does not preclude the evaluation and appropriate
actions taken by the receiving switch or unrelated user message
traffic on a D channel of ISDN.
c.3. Routing or switching of ``datagram'' packets;
c.4. Routing or switching of ``fast select'' packets;
Note: The restrictions in 5A991.c.3 and c.4 do not apply to
networks restricted to using only ``network access controllers'' or
to ``network access controllers'' themselves.
c.5. Multi-level priority and pre-emption for circuit switching;
Note: 5A991.c.5 does not control single-level call preemption.
c.6. Designed for automatic hand-off of cellular radio calls to
other cellular switches or automatic connection to a centralized
subscriber data base common to more than one switch;
c.7. Containing ``stored program controlled'' digital crossconnect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per port.
c.8. ``Common channel signalling'' operating in either non-
associated or quasi-associated mode of operation;
c.9. ``Dynamic adaptive routing'';
Note: 5A991.c.10 does not control packet switches or routers
with ports or lines not exceeding the limits in 5A001.c.10.
c.10. Being packet switches, circuit switches and routers with
ports or lines exceeding any of the following:
c.10.a. A ``data signalling rate'' of 64,000 bit/s per channel for
a ``communications channel controller''; or
Note: 5A991.c.10.a does not control multiplex composite links
composed only of communication channels not individually controlled
by 5A991.b.1.
c.10.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network
access controller'' and related common media;
[[Page 40131]]
c.10.c. ``Optical switching'';
c.10.d. Employing ``Asynchronous Transfer Mode'' (``ATM'')
techniques.
d. Optical fibers and optical fiber cables of more than 50 m in
length designed for single mode operation;
e. Centralized network control having all of the following
characteristics:
e.1. Receives data from the nodes; and
e.2. Process these data in order to provide control of traffic not
requiring operator decisions, and thereby performing ``dynamic adaptive
routing'';
Note: 5A991.e does not preclude control of traffic as a function
of predictable statistical traffic conditions.
f. Phased array antennae, operating above 10.5 GHz, containing
active elements and distributed components, and designed to permit
electronic control of beam shaping and pointing, except for landing
systems with instruments meeting International Civil Aviation
Organization (ICAO) standards (microwave landing systems (MLS)).
g. Mobile communications equipment, n.e.s., and assemblies and
components therefor; or
h. Radio relay communications equipment designed for use at
frequencies equal to or exceeding 19.7 GHz and assemblies and
components therefor, n.e.s.
B. Test, Inspection and Production Equipment
5B001 Telecommunication test, inspection and production equipment,
as follows (See List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for reporting
requirements for exports under License Exceptions.
License Exceptions
LVS: $5000
GBS: Yes
CIV: Yes
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 5B991.
Related Definition: N/A
Items:
a. Equipment and specially designed components or accessories
therefor, specially designed for the ``development'', ``production'' or
``use'' of equipment, functions or features controlled by 5A001, 5D001
or 5E001.
Note: 5B001.a does not control optical fiber characterization
equipment not using semiconductor ``lasers''.
b. Equipment and specially designed components or accessories
therefor, specially designed for the ``development'' of any of the
following telecommunication transmission or ``stored program
controlled'' switching equipment:
b.1. Equipment employing digital techniques, including
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a
``total digital transfer rate'' exceeding 1.5 Gbit/s;
b.2. Equipment employing a ``laser'' and having any of the
following:
b.2.a. A transmission wavelength exceeding 1750 nm;
b.2.b. Performing ``optical amplification'';
b.2.c. Employing coherent transmission or coherent optical
detection techniques (also called optical heterodyne or homodyne
techniques); or
b.2.d. Employing analogue techniques and having a bandwidth
exceeding 2.5 GHz;
Note: 5B001.b.2.d does not include equipment specially designed
for the ``development'' of commercial TV systems.
b.3. Equipment employing ``optical switching'';
b.4. Radio equipment having any of the following:
b.4.a. Quadrature-amplitude-modulation (QAM) techniques above level
128; or
b.4.b. Operating at input or output frequencies exceeding 31 GHz;
or
Note: 5B001.b.4.b does not include equipment specially designed
for the ``development'' of equipment designed or modified for
operation in any ITU allocated band.
b.5. Equipment employing ``common channel signalling'' operating in
either the non-associated mode of operation.
5C991 Preforms of glass or of any other material optimized for the
manufacture of optical fibers controlled by 5A991.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items
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