[Federal Register: January 3, 2002 (Volume 67, Number 2)]
[Rules and Regulations]
[Page 457-478]
Department of Commerce
-----------------------------------------------------------------------
Bureau of Export Administration
-----------------------------------------------------------------------
15 CFR Parts 743, 752, et al.
Implementation of the Wassenaar Arrangement List of Dual-Use Items:
Revisions to Categories 1, 2, 3, 4, 5, 6, 7 and 9 of the Commerce
Control List and Revisions to Reporting Requirements; Final Rule
[[Page 458]]
-----------------------------------------------------------------------
DEPARTMENT OF COMMERCE
Bureau of Export Administration
15 CFR Parts 743, 752, 772 and 774
[Docket No. 011026261-1261-01]
RIN 0694-AC44
Implementation of the Wassenaar Arrangement List of Dual-Use
Items: Revisions to Categories 1, 2, 3, 4, 5, 6, 7 and 9 of the
Commerce Control List and Revisions to Reporting Requirements
AGENCY: Bureau of Export Administration, Commerce
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Bureau of Export Administration (BXA) maintains the
Commerce Control List (CCL), which identifies 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 Part I (telecommunications), 6, 7 and 9 to conform with changes in
the 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.
The purpose of this final rule is to make the necessary changes to
the Commerce Control List to implement revisions to the Wassenaar List
that were agreed upon in the December 1, 2000 meeting and to make
necessary revisions to reporting requirements. The majority of the
changes that affected Category 4 items will be published in a separate
rule.
DATES: This rule is effective January 3, 2002.
FOR FURTHER INFORMATION CONTACT: Tanya Hodge Mottley in the Office of
Strategic Trade and Foreign Policy Controls, Bureau of Export
Administration, U.S. Department of Commerce at (202) 482-1837.
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.
This final rule revises a number of national security controlled
entries on the Commerce Control List (CCL) to conform with December 1,
2000 revisions to the Wassenaar List of Dual-Use Goods and
Technologies. This rule also revises language to provide a complete or
more accurate description of controls. A detailed description of the
revisions to the CCL is provided below.
Specifically, this rule makes the following amendments to the
Commerce Control List:
Category 1--Materials, Chemicals, Microorganisms, and Toxins
1A002--amended by:
(1) Moving the exception contained in the NS control language for
finished or semifinished items specially designed for civilian
applications to two separate notes under paragraphs a. and b. of this
entry. This revision clarifies that this entry does not control
finished or semifinished items specially designed for purely civilian
applications, as follows: sporting goods, automotive industry, machine
tool industry, and medical applications; and
(2) Correcting a typographical error in note 2 of the Related
Controls paragraph of this entry.
1B002--amended by:
(1) Clarifying that the equipment described by this entry is used
for producing the highest performance ductile metal alloys in the entry
heading; and
(2) Replacing the reference to controlled materials with a
reference to the critical processes listed in 1C002.c.2. in the entry
heading.
1C002--amended by:
(1) Reformatting the entry to specify the types of materials
controlled (material in solid forms and powders/particulates suitable
for making them). Specifically, each subparagraph has been revised to
identify the main classes of controlled material, as follows:
(i) 1C002.a for aluminides;
(ii) 1C002.b for alloys made by powder metallurgy techniques;
(iii) 1C002.c for alloy powders suitable for re-melting to make
controlled alloys; and
(iv) 1C002.d for material that has been refined to the correct
composition for controlled alloys, which needs only to be mechanically
reduced to powder in order to be suitable for re-melting to make
controlled alloys; and
(2) Moving the Technical Notes that were after a.2.e to the
beginning of the List of Items Controlled for this entry.
1C007--amended by:
(1) Clarifying that ceramic-ceramic ``composite'' materials are
controlled when made from the listed ``materials'' instead of
``systems'' in paragraph (c);
(2) Clarifies that all the parameters in paragraph (c) must be met
for the item to be subject to control; and
(3) Reformatting paragraph (c) to be consistent with the Wassenaar
Information System.
Category 2--Material Processing
2A001--amended by revising the tolerance standards for ball
bearings and solid roller bearings described in 2A001.a and 2A002.b.
These tolerance standards are revised to add greater precision.
Specifically, in 2A001.a, the following standards ``ABEC 7, ABEC 7P,
ABEC 7T or ISO Standard Class 4, or national equivalents, or better''
are revised to read ``ISO Tolerance Class 4 (or ANSI/ABMA Std 20
Tolerance Class ABEC-7 or RBEC-7, or other national equivalents), or
better''. In 2A001.b, the following standards ``ABEC 9, ABEC 9P or ISO
Standard Class 2, or national equivalents'' are revised to read ``ISO
492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9 or
RBEC-9, or other national equivalents), or better''.
Technical Notes to Category 2 B--amended by:
(1) Redesignating technical notes 2 through 5 as technical notes 3
though 6; and
(2) Adding a new technical note 2 to clarify the meaning of the
term ``contouring control''.
2B001--amended by:
(1) Adding two notes to decontrol special purpose machine tools
that produce certain type parts. Specifically, Note 1 specifies that
2B001 does not control special purpose machine tools limited to the
manufacture of gears. Note 2 specifies that 2B001 does not control
special purpose machine tools limited to the manufacture of crank
shafts or cam shafts, tools or cutters, extruder worms, or engraving or
facetted jewelry parts;
(2) Adding a new national security control for fly cutting machine
tools, as described by 2B001.b.4. This new
[[Page 459]]
control introduces new parameters for the control of fly cutting
machines, such as a spindle run-out and angular deviation of slide
movement (2B001.b.4); and
(3) Adding clarifying text to paragraph (e), machine tools for
removing metals, ceramics or ``composites'', to be consistent with the
Wassenaar Information System.
2B008--amended by:
(1) Removing the reference to the term ``inserts'' in the entry
heading. The term ``inserts'' has been removed because no inserts are
contained in the List of Items Controlled;
(2) Replacing the phrase ``for equipment controlled by 2B006 or
2B007'' with the phrase ``dimensional inspection or measuring systems
and equipment'' in the entry heading. The phrase referencing equipment
controlled by 2B007 has been removed because the items listed in 2B008
are not key elements of robots controlled by 2B007; and
(3) Replacing the reference to 2B006 with the phrase ``dimensional
inspection or measuring systems and equipment'' in the entry heading,
in order to reduce the number of unnecessary cross-references to other
entries.
2D002--amended by removing controls for ``real-time processing'' of
data to modify tool path, feed rate and spindle data, during machining
operation, by deleting 2D002.b. No such software currently is
available. The parameters set forth in 2D002.a have been included in
the entry heading and the List of Items Controlled has been removed.
2E003--Materials Processing Table for Deposition Techniques--
Notes--amended by revising Note 17 to the Table by removing the
exclusion from control for technology specially designed to deposit
diamond like carbon on polycarbonate eyeglasses, bakery equipment and
high quality lenses designed for cameras or telescopes.
Category 3--Electronics
3A001--amended by revising the following subparagraphs:
3A001.a.3.c--amended by clarifying that the control for this
subparagraph applies only to the capability of processors directly
interconnected with each other and by relaxing controls on the external
interconnect transfer rate from 2.5 Mbytes/s to 150 Mbyte/s.
3A001.a.5.a.1--amended by relaxing controls for analog-to-digital
converters by lowering the conversion time from 10 ns to 5 ns.
3A001.a.10--amended by:
(1) Relaxing controls for custom integrated circuits by increasing
the control threshold on the number of terminals from 208 to 1,000
(3A001.a.10.a); and
(2) Decreasing the control threshold for basic gate propagation
delay time from 0.35 ns to 0.1 ns (3A001.a.10.b).
3A001.a.12--amended by:
(1) Modifying the subparagraph to reflect advancements in Fast
Fourier Transform (FFT) processors. The formula for determining the
control parameters for FFT processors has been modified. This
modification relaxes controls over the execution time from 1
millisecond to 500 microseconds for a 1024 point complex FFT; and
(2) Deleting the control parameter for butterfly throughput,
because it is a software algorithm and does not describe performance
levels of currently produced FFT processors.
3A001.b.1, b.2 and b.8--amended by revising the decontrol notes in
these subparagraphs to clarify that bands within the frequency range
between 0 to 31 GHz are not subject to national security controls.
3A001.b.1.a.1--amended by revising the phrase ``higher than 31
GHz'' to read ``exceeding 31 GHz''.
3A001.b.1.a.3--amended by replacing the term ``instantaneous
bandwidth'' with ``fractional bandwidth''. The term ``fractional
bandwidth'' more accurately reflects the appropriate control for this
entry.
3A001.b.2--amended by:
(1) Adding the phrase ``having one or more active elements'' to
further define the control of microwave integrated circuits and modules
(3A001.b.2.a); and
(2) Adding a new decontrol note for certain satellite broadcast
equipment.
3A002.b--amended by revising the phrase ``assemblies'' to read
``electronic assemblies'', to be consistent with the Wassenaar
Arrangement.
3A002.c.2--amended by:
(1) Modifying controls for dynamic signal analyzers by increasing
the control parameter for real-time bandwidth from 25.6 kHz to 500 kHz;
and
(2) Moving the text of the technical note under paragraph c.
(Constant percentage bandwidth filters are also known as octave or
fractional octave filters) to the ``Related Definitions'' paragraph for
the entry.
3A991--amended by:
(1) Adding a new parameter in paragraph (a) related to external
interconnection for ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits;
(2) Adding a new paragraph (c) to include analog-to-digital
converters having a resolution of 8 bit or more, but less than 12 bit,
with a total conversion time of less than 10 ns;
(3) Adding a new paragraph (e) to include Fast Fourier Transform
(FFT) processors having a rated execution time for a 1,024 point
complex FFT of less than 1 ms; and
(4) Redesignating paragraph (c) as paragraph (d), and paragraphs
(d) through (l) as paragraphs (f) through (n).
3B002--amended by:
(1) Adding to the heading the phrase ``as follows (see List of
Items Controlled)'';
(2) Modifying the note to 3B002.b to clarify that equipment to test
memories are not controlled by 3B002.b; and
(3) Revising the phrase ``assemblies'' to read ``electronic
assemblies'' to be consistent with the Wassenaar Arrangement.
3B991--amended by revising the phrase ``assemblies'' to read
``electronic assemblies'' in paragraph 3B991.b.
3B992--amended by revising the phrase ``assemblies'' to read
``electronic assemblies'' in paragraphs 3B992.b, 3B992.b.4.b, and in
Note 1 to 3B992.b.4.b.
3C001--amended by:
(1) Adding silicon carbide to the list of controlled hetero-
epitaxtial materials. Like silicon and germanium, silicon carbide is a
Group IV material capable of producing strategic items (3C001.c); and
(2) Adding a note to clarify that equipment or material whose
functionality has been unalterably disabled are not controlled by
3C001.
3D003--amended by modifying the control language to clarify the
intent of computer-aided-design (CAD) software controls in order to
remove any ambiguities in interpretation whether CAD software supplied
without design rule libraries are subject to control under 3D003.
Exports of CAD software with or without design rule libraries are both
subject to national security controls.
3E001--amended by moving the Notes in the Related Controls
paragraph to the List of Items Controlled to be consistent with the
Wassenaar List.
3E002 and 3E003--amended by:
(1) Redesignating 3E002.a through 3E002.f as new ECCN 3E003;
(2) In the new ECCN 3E003, expanding eligibility under License
Exception TSR to include silicon-on-insulator (SOI) technology as
described in the new 3E003.e;
(3) Adding a Note to describe what 3E002 does not control to the
List of Items Controlled in 3E002; and
(4) Redesignating 3E002.g as new ECCN 3E002.
[[Page 460]]
Category 4--Computers
4D003--amended by removing national security controls for expert
system software as described by 4D003.b.
Category 5--Telecommunications, Part I
5D001--amended by removing national security controls for software
which provides the capability of recovering ``source code'' of
telecommunications ``software'' controlled by 5D001 (5D001.c).
5E001--amended by adding a decontrol note to 5E001.c.4.b specifying
that this entry does not control ``technology'' for the ``development''
or ``production'' of equipment designed or modified for operation in
any frequency band which is ``allocated by the ITU'' for radio-
communications services, but not for radio-determination.
Category 6--Sensors and Lasers
6A003--amended by:
(1) Revising the controls on instrumentation cameras specified in
6A003.a to include specially designed components therefor and by
revising the note to 6A003.a to replace the term ``electronic
assemblies'' with ``plug-ins''. This change is necessary to make the
controls for instrumental cameras more complete, as plug-in modules are
specially designed components of controlled cameras. Complementing this
revision to 6A003.a, a new subparagraph 6A003.a.6 has been added to
describe the control parameters for ``plug-ins''. In addition, License
Exception LVS has been modified to exclude the new control for
6A003.a.6 ``plug-ins'' from eligibility; and
(2) Adding a new technical note to 6A003.b.1 to clarify that
digital video cameras should be evaluated by the maximum number of
``active pixels'' used for capturing moving images.
6A005--amended by:
(1) Removing the phrase ``or CW'' from the control parameter for
excimer lasers and metal vapor lasers, as described in 6A005.a.1 and
6A005.a.2. The deletion of the term ``CW'' from these subparagraphs
more accurately describes the technical nature of control, as both
excimer and metal vapor lasers are not physically capable of working
the CW mode;
(2) Revising the control text for semiconductor lasers described by
6A005.b. Previously in 6A005.b.2, individual multiple-transverse mode
semiconductor lasers and individual arrays of individual semiconductor
lasers were controlled using the same threshold. However, since the
output power of an array of semiconductor laser is greater than that of
an individual semiconductor lasers it should be subject to a different
control threshold. Therefore, a new subparagraph 6A005.b.3 has been
added describing the control threshold for individual arrays of
individual semiconductor lasers.
6A995--amended by correcting an abbreviation for a parameter for
semiconductor lasers in b.1.a by revising ``MW'' to read ``mW'.
6C002--amended by revising 6C002.b to adopt the term ``percent by
mole fraction'' rather than the term ``percent by weight'' for the
control of zinc in cadmium zinc telluride (CdZnTe) substrates. The
previous control language in 6C002.b incorrectly referred to the zinc
percentage by weight. The formula for CdZnTe is an atomic formula which
specifies the number of atoms of each constituent. Therefore,
specifying the zinc percentage in terms of mole fraction percentage
correctly relates the concentration of zinc to the concentration of
cadmium in CdZnTe. In addition, a technical note is added to paragraph
6C002.b to define ``mole fraction''. Also, in 6C002.b text is added to
clarify that Single crystals includes epitaxial wafers.
6C992--amended by revising the heading to adopt the term ``percent
by mole fraction'' rather than the term ``percent by weight'' and
adding the definition of ``mole fraction'' to the Related Definitions
paragraph, to conform with changes to ECCN 6C002.
Category 7--Avionics
7A001--amended by:
(1) Revising the entry heading to limit control of this entry to
certain linear accelerometers, rather than a broad category of
accelerometers; and
(2) Adding a reference specifying that angular or rotational
accelerometers are controlled under 7A002 in the Related Controls
section.
7A002--amended by:
(1) Revising the entry heading to control certain angular or
rotational accelerometers. Previously, accelerometers were controlled
under 7A001; and
(2) Adding a reference specifying that linear accelerometers are
controlled under 7A001 to the Related Controls section.
Category 9--Propulsion Systems, Space Vehicles and Related
Equipment
9B001--amended by:
(1) Revising the entry heading to remove the phrase ``or
measuring''. In 1999, the subparagraph that specifically referenced
measuring equipment was deleted; and
(2) Removing the corresponding reference in the entry heading.
9E003--amended by:
(1) Removing the control for ``overhaul'' technology for gas
turbine engine components or systems described in 9E003.a; and
(2) Revising the phrase ``of the following commercial aircraft
engines, components or systems'' to read ``of any of the following gas
turbine engine components or systems'' to more accurately describe the
controls of paragraph a.
Reformatting and conforming revisions to the structure of the
entries on the CCL This final rule makes a number of reformatting
revisions to the CCL in order to conform certain entries and
subparagraphs to the new Wassenaar Automated Information System (WAIS).
These conforming revisions do not affect or change the scope of
control, but merely provide standard consistency in structure within
the CCL. Specific revisions on the CCL include: ECCNs 2B001.b.1,
2B001.c.1, 2B001.e, 2B001.e.1, 9E003.d and 9E003.e.
Items placed under control by this rule will be subject to both
national security (NS) and antiterrorism (AT) controls. 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 changes to the Wassenaar List of Dual-Use Goods and Technologies
will continue to be controlled for antiterrorism (AT) reasons.
This final rule also revises the reporting and recordkeeping
provisions of the Wassenaar Arrangement in Sec. 743.1 by requiring
reports for exports of sensitive list items made under the Special
Comprehensive License Procedure. Conforming revisions are also made to
the recordkeeping provisions in Sec. 752.12. Extending Wassenaar
Arrangement reporting requirements to the Special Comprehensive
Licensing Procedure is necessary in order for the U.S. to fulfill its
obligations in complying with the objectives of the regime.
This final rule also amends part 772 by adding two new definitions
to Sec. 772.1, they are ``Allocated by the ITU'' and ``Fractional
bandwidth.'' These definitions are added pursuant to agreements reached
in the Wassenaar Arrangement.
Although the Export Administration Act expired on August 20, 2001,
the
[[Page 461]]
President, through Executive Order 13222 of August 17, 2001 (66 Fed.
Reg. 44025 (August 22, 2001)), has continued the Export Administration
Regulations in effect under the International Emergency Economic Powers
Act.
Saving Clause
Shipments of items removed from eligibility for export or reexport
without a license, 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 February 4, 2002. In addition, this
rule revises the numbering and structure of certain entries on the
Commerce Control List. For items under such entries and for April 3,
2002, BXA will accept license applications for items described either
by the entries in effect immediately before January 3, 2002 or the
entries described in this rule.
Rulemaking Requirements
1. This final 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 0694-0106, ``Reporting and Recordkeeping
Requirements under the Wassenaar Arrangement,'' which carries a burden
hour estimate of 5 minutes to record the information for each export
and 1 minute to submit the report twice a year to BXA; and 0694-0088,
``Multi-Purpose Application,'' which carries a burden hour estimate of
40 minutes to prepare and submit electronically and 45 minutes to
submit manually on form BXA-748P. Send comments regarding these burden
estimates or any other aspect of these collections of information,
including suggestions for reducing the burden, to OMB Desk Officer, New
Executive Office Building, Washington, DC 20503; and to the Regulatory
Policy Division, Bureau of Export Administration, Department of
Commerce, P.O. Box 273, Washington, DC 20044
3. This rule does not contain policies with Federalism implications
as this term is defined in Executive Order 13132.
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 final 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 Parts 743 and 752
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Part 772
Exports, Foreign trade.
15 CFR Part 774
Exports, Foreign Trade, Reporting and recordkeeping requirements.
Accordingly, parts 743, 752, 772 and 774 of the Export
Administration Regulations (15 CFR parts 730 through 799) are amended
as follows:
1. The authority citation for part 743 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq; Pub.L. 106-508; 50 U.S.C.
1701 et seq; E.O. 13206, 66 FR 18397, April 9, 2001.
2. The authority citation for parts 752 and 772 are revised to read
as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 13020, 61 FR 54079, 3 CFR, 1996 Comp. p. 219; E.O. 13222, 66 FR
44025, August 22, 2001.
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. 7420; 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. 13026, 61 FR 58767, 3 CFR, 1996
Comp., p. 228; E.O. 13222, 66 FR 44025, August 22, 2001.
PART 743--[AMENDED]
4. Section 743.1 is amended by adding a note immediately following
paragraph (a) and by revising paragraph (b) to read as follows:
Sec. 743.1 Wassenaar Arrangement.
(a) * * *
Note to paragraph (a) of this section: For purposes of part 743,
the term ``you'' has the same meaning as the term ``exporter'', as
defined in part 772 of the EAR.
(b) Requirements. You must submit two (2) copies of each report
required under the provisions of this section and maintain accurate
supporting records (see Sec. 762.2(b) of the EAR) for all exports of
items specified in paragraph (c) of this section for the following:
(1) Exports authorized under License Exceptions GBS, CIV, TSR, LVS,
CTP and GOV (see part 740 of the EAR). Note that exports of technology
and source code under License Exception TSR to foreign nationals
located in the U.S. should not be reported; and
(2) Exports authorized under the Special Comprehensive License
procedure (see part 752 of the EAR).
* * * * *
PART 752--[AMENDED]
5. Section 752.12 is amended by redesignating paragraph (b) as
paragraph (c) and by adding a new paragraph (b) to read as follows:
Sec. 752.12 Recordkeeping requirements.
* * * * *
(b) SCL holder. The SCL holder is responsible for complying with
the special reporting requirements for exports of certain commodities,
software and technology under the Wassenaar Arrangement as described in
Sec. 743.1 of the EAR.
* * * * *
PART 772--[AMENDED]
6. Part 772 is amended by adding a new definition ``Allocated by
the ITU'' and a new definition ``Fractional bandwidth'' in alphabetical
order to Sec. 772.1, to read as follows:
Sec. 772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).
* * * * *
``Allocated by the ITU''. (Cat 3 and Cat 5 part 1)--The allocation
of frequency bands according to the ITU Radio Regulations (Edition
1998) for primary, permitted and secondary services.
N.B. Additional and alternative allocations are not included.
* * * * *
``Fractional bandwidth''. (Cat 3)--The ``instantaneous bandwidth''
divided by
[[Page 462]]
the center frequency, expressed as a percentage.
* * * * *
PART 774--[AMENDED]
7. 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 License Requirements section and the List of
Items Controlled section for ECCNs 1A002 and 1C002;
b. By revising the entry heading for ECCN 1B002; and
c. By revising the List of Items Controlled section for ECCN 1C007,
to read as follows:
1A002 ``Composite'' Structures or Laminates, Having Any of the
Following (See List of Items Controlled)
License Requirements
Reason for Control: NS, NP, AT.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 2.
NP applies to 1A002.b.1 in the form of NP Column 1.
tubes with an inside diameter between
75 mm and 400 mm.
1 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.
* * * * *
List of Items Controlled
Unit: Kilograms.
Related Controls: (1) See also 1A202, 9A010, and 9A110. (2)
Composite structures that are specially designed for missile
application (including specially designed subsystems and components)
are controlled by 9A110.
Related Definitions: N/A.
Items:
a. An organic ``matrix'' and made from materials controlled by
1C010.c, 1C010.d or 1C010.e; or
Note: 1A002.a does not control finished or semifinished items
specially designed for purely civilian applications as follows:
a. Sporting goods;
b. Automotive industry;
c. Machine tool industry; and
d. Medical applications.
b. A metal or carbon ``matrix'' and made from:
b.1. Carbon ``fibrous or filamentary materials'' with:
b.1.a. A ``specific modulus'' exceeding 10.15 x 10\6\ m; and
b.1.b. A ``specific tensile strength'' exceeding 17.7 x 10\4\ m; or
b.2. Materials controlled by 1C010.c.
Note: 1A002.b does not control finished or semifinished items
specially designed for purely civilian applications as follows:
a. Sporting goods;
b. Automotive industry;
c. Machine tool industry; and
d. Medical applications.
Technical Notes: (1) Specific modulus: Young's modulus in
pascals, equivalent to
N/m\2\ divided by specific weight in N/m\3\, measured at a
temperature of (2962) K ((232) deg.C) and a
relative humidity of (505)%. (2) Specific tensile
strength: ultimate tensile strength in pascals, equivalent to N/m\2\
divided by specific weight in N/m\3\, measured at a temperature of
(2962) K ((232) deg.C) and a relative humidity of
(505)%.
Note: 1A002 does not control composite structures or laminates
made from epoxy resin impregnated carbon ``fibrous or filamentary
materials'' for the repair of aircraft structures of laminates,
provided that the size does not exceed one square meter (1 m\2\).
1B002 Equipment for Producing Metal Alloys, Metal Alloy Powder or
Alloyed Materials, Specially Designed to Avoid Contamination and
Specially Designed for Use in One of the Processes Specified in
1C002.c.2
* * * * *
1C002 Metal Alloys, Metal Alloy Powder and Alloyed Materials, As
Follows (See List of Items Controlled)
License Requirements
Reason for Control: NS, NP, AT.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 2.
NP applies to 1C002.b.3 or b.4 if they NP Column 1.
exceed the parameters stated in 1C202.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
* * * * *
List of Items Controlled
Unit: Kilograms.
Related Controls: See also 1C202.
Related Definition: N/A.
Items:
Note: 1C002 does not control metal alloys, metal alloy powder or
alloyed materials for coating substrates.
Technical Note 1: The metal alloys in 1C002 are those containing
a higher percentage by weight of the stated metal than of any other
element.
Technical Note 2: Stress-rupture life should be measured in
accordance with ASTM standard E-139 or national equivalents.
Technical Note 3: Low cycle fatigue life should be measured in
accordance with ASTM Standard E-606 ``Recommended Practice for
Constant-Amplitude Low-Cycle Fatigue Testing'' or national
equivalents. Testing should be axial with an average stress ratio
equal to 1 and a stress-concentration factor (Kt) equal
to 1. The average stress is defined as maximum stress minus minimum
stress divided by maximum stress.
a. Aluminides, as follows:
a.1. Nickel aluminides containing a minimum of 15 weight percent
aluminum, a maximum of 38 weight percent aluminum and at least one
additional alloying element;
a.2. Titanium aluminides containing 10 weight percent or more
aluminum and at least one additional alloying element;
b. Metal alloys, as follows, made from material controlled by
1C002.c:
b.1. Nickel alloys with:
b.1.a. A stress-rupture life of 10,000 hours or longer at 923 K
(650 deg.C) at a stress of 676 MPa; or
b.1.b. A low cycle fatigue life of 10,000 cycles or more at 823 K
(550 deg.C) at a maximum stress of 1,095 MPa;
b.2. Niobium alloys with:
b.2.a. A stress-rupture life of 10,000 hours or longer at 1,073 K
(800 deg.C) at a stress of 400 MPa; or
b.2.b. A low cycle fatigue life of 10,000 cycles or more at 973 K
(700 deg.C) at a maximum stress of 700 MPa;
b.3. Titanium alloys with:
b.3.a. A stress-rupture life of 10,000 hours or longer at 723 K
(450 deg.C) at a stress of 200 MPa; or
b.3.b. A low cycle fatigue life of 10,000 cycles or more at 723 K
(450 deg.C) at a maximum stress of 400 MPa;
b.4 Aluminum alloys with a tensile strength of:
b.4.a. 240 MPa or more at 473 K (200 deg.C); or
b.4.b. 415 MPa or more at 298 K (25 deg.C);
b.5. Magnesium alloys with:
b.5.a. A tensile strength of 345 MPa or more; and
b.5.b. A corrosion rate of less than 1 mm/year in 3% sodium
chloride aqueous solution measured in accordance with ASTM standard G-
31 or national equivalents;
c. Metal alloy powder or particulate material, having all of the
following characteristics:
c.1. Made from any of the following composition systems:
Technical Note: X in the following equals one or more alloying
elements.
c.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine
engine parts or components, i.e. with less than 3 non-metallic
particles (introduced during the manufacturing process) larger than 100
in 10\9\ alloy particles;
c.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si, Nb-
Ti-X or Nb-X-Ti);
[[Page 463]]
c.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
c.1.d. Aluminum alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn, Al-
Fe-X or Al-X-Fe); or
c.1.e. Magnesium alloys (Mg-Al-X or Mg-X-Al); and
c.2. Made in a controlled environment by any of the following
processes:
c.2.a. ``Vacuum atomization'';
c.2.b. ``Gas atomization'';
c.2.c. ``Rotary atomization'';
c.2.d. ``Splat quenching'';
c.2.e. ``Melt spinning'' and ``comminution'';
c.2.f. ``Melt extraction'' and ``comminution''; or
c.2.g. ``Mechanical alloying'';
d. Alloyed materials, having all the following characteristics:
d.1. Made from any of the composition systems specified in
1C002.c.1;
d.2. In the form of uncomminuted flakes, ribbons or thin rods; and
d.3. Produced in a controlled environment by any of the following:
d.3.a. ``Splat quenching'';
d.3.b. ``Melt spinning''; or
d.3.c. ``Melt extraction''.
* * * * *
1C007 Ceramic Base Materials, Non-''Composite'' Ceramic Materials,
Ceramic-''Matrix'' ``Composite'' Materials and Precursor Materials,
As Follows (See List of Items Controlled)
* * * * *
List of Items Controlled
Unit: Kilograms.
Related Controls: See also 1C107.
Related Definitions: N/A.
Items:
a. Base materials of single or complex borides of titanium having
total metallic impurities, excluding intentional additions, of less
than 5,000 ppm, an average particle size equal to or less than 5
m and no more than 10% of the particles larger than 10
m;
b. Non-``composite'' ceramic materials in crude or semi-fabricated
form, composed of borides of titanium with a density of 98% or more of
the theoretical density;
Note: 1C007.b does not control abrasives.
c. Ceramic-ceramic ``composite'' materials with a glass or oxide-
``matrix'' and reinforced with fibers having all the following:
c.1 Made from any of the following materials:
c.1.a. Si-N;
c.1.b. Si-C;
c.1.c. Si-Al-O-N; or
c.1.d. Si-O-N; and
c.2. Having a ``specific tensile strength'' exceeding 12.7 x 10\3\
m;
d. Ceramic-ceramic ``composite'' materials, with or without a
continuous metallic phase, incorporating particles, whiskers or fibers,
where carbides or nitrides of silicon, zirconium or boron form the
``matrix'';
e. Precursor materials (i.e., special purpose polymeric or metallo-
organic materials) for producing any phase or phases of the materials
controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes (for producing silicon carbide);
e.2. Polysilazanes (for producing silicon nitride);
e.3. Polycarbosilazanes (for producing ceramics with silicon,
carbon and nitrogen components);
f. Ceramic-ceramic ``composite'' materials with an oxide or glass
``matrix'' reinforced with continuous fibers from any of the following
systems:
f.1. Al2O3; or
f.2. Si-C-N.
Note: 1C007.f does not control ``composites'' containing fibers
from these systems with a fiber tensile strength of less than 700
MPa at 1,273 K (1,000 deg.C) or fiber tensile creep resistance of
more than 1% creep strain at 100 MPa load and 1,273 K (1,000 deg.C)
for 100 hours.
* * * * *
8. 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 the List of Items Controlled section for ECCNs 2A001
and 2B001;
b. By adding the entry heading and Notes for Category 2B--Test,
Inspection and Production Equipment immediately following ECCN 2A999;
c. By revising the entry heading for ECCN 2B008;
d. By revising the entry heading, the License Requirements section
and the List of Items Controlled section for ECCN 2D002; and
e. By revising Note 17 of the Notes to ``Category 2E--Materials
Processing Table; Deposition Techniques'', that follows ECCN 2E003, to
read as follows:
2A001 Anti-Friction Bearings and Bearing Systems, As Follows, (See
List of Items Controlled) and Components Therefor
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: (1) See also 2A991. (2) Quiet running bearings
are subject to the export licensing authority of the Department of
State, Office of Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: Annular Bearing Engineers Committee (ABEC).
Items:
Note: 2A001 does not control balls with tolerance specified by
the manufacturer in accordance with ISO 3290 as grade 5 or worse.
a. Ball bearings and solid roller bearings having tolerances
specified by the manufacturer in accordance with ISO 492 Tolerance
Class 4 (or ANSI/ABMA Std 20 Tolerance Class ABEC-7 or RBEC-7, or other
national equivalents), or better, and having rings, balls or rollers
made from monel or beryllium;
Note: 2A001.a does not control tapered roller bearings.
b. Other ball bearings and solid roller bearings having tolerances
specified by the manufacturer in accordance with ISO 492 Tolerance
Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9 or RBEC-9, or other
national equivalents), or better;
Note: 2A001.b does not control tapered roller bearings.
c. Active magnetic bearing systems using any of the following:
c.1. Materials with flux densities of 2.0 T or greater and yield
strengths greater than 414 MPa;
c.2. All-electromagnetic 3D homopolar bias designs for actuators;
or
c.3. High temperature (450 K (177 deg.C) and above) position
sensors.
B. Test, Inspection and Production Equipment
Technical Notes for 2B001 to 2B009:
1. Secondary parallel contouring axes, (e.g., the w-axis on
horizontal boring mills or a secondary rotary axis the center line of
which is parallel to the primary rotary axis) are not counted in the
total number of contouring axes. Rotary axes need not rotate over 360o.
A rotary axis can be driven by a linear device (e.g., a screw or a
rack-and-pinion).
2. The number of axes which can be co-ordinated simultaneously for
``contouring control'' is the number of axes which affect relative
movement between any one workpiece and a tool, cutting head or grinding
wheel which is cutting or removing material from the workpiece. This
does not include any additional axes which affect other relative
movement within the machine. Such axes include:
2.a. Wheel-dressing systems in grinding machines;
2.b. Parallel rotary axes designed for mounting of separate
workpieces;
2.c. Co-linear rotary axes designed for manipulating the same
workpiece by holding it in a chuck from different ends.
3. Axis nomenclature shall be in accordance with International
Standard
[[Page 464]]
ISO 841, ``Numerical Control Machines--Axis and Motion Nomenclature''.
4. A''tilting spindle'' is counted as a rotary axis.
5. Guaranteed ``positioning accuracy'' levels instead of individual
test protocols may be used for each machine tool model using the agreed
ISO test procedure.
6. The positioning accuracy of ``numerically controlled'' machine
tools is to be determined and presented in accordance with ISO 230/2
(1988).
2B001 Machine Tools 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''
* * * * *
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:
Note 1: 2B001 does not control special purpose machine tools
limited to the manufacture of gears. For such machines, see 2B003.
Note 2: 2B001 does not control special purpose machine tools
limited to the manufacture of any of the following parts:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
d. Engraved or facetted jewellery parts.
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. Having all of the following:
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'';
b.3. A positioning accuracy for jig boring machines, with ``all
compensations available'', of less (better) than 4 m along any
linear axis; or
b.4. Fly cutting machines, having all of the following
characteristics: b.4.a. Spindle ``run-out'' and ``camming'' less
(better) than 0.0004 mm TIR; and
b.4.b. Angular deviation of slide movement (yaw, pitch and roll)
less (better) than 2 seconds of arc, TIR, over 300 mm of travel.
c. Machine tools for grinding, having any of the following
characteristics:
c.1. Having all of the following:
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:
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''
having all of the following characteristics:
e.1. Removing material by means of any of the following:
e.1.a. Water or other liquid jets, including those employing
abrasive additives;
e.1.b. Electron beam; or
e.1.c. ``Laser'' beam; and
e.2. 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.
2B008 Assemblies or Units, Specially Designed for Machine Tools,
or Dimensional Inspection or Measuring Systems and Equipment, as
Follows (See List of Items Controlled)
* * * * *
2D002 ``Software'' for Electronic Devices, Even When Residing in
an Electronic Device or System, Enabling Such Devices or Systems to
Function as a ``Numerical Control'' Unit, Capable of Coordinating
Simultaneously More Than 4 Axes for ``Contouring Control''
License Requirements
Reason for Control: NS, NP, AT.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 1.
NP applies to entire entry.............. NP Column 1.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: See also 2D202.
Related Definitions: N/A.
Items:
Note: 2D002 does not control ``software'' specially designed or
modified for the operation of machine tools not controlled by
Category 2.
The list of items controlled is contained in the ECCN heading.
* * * * *
Category 2E--Materials Processing Table; Deposition Techniques
* * * * *
Notes to Table on Deposition Techniques
* * * * *
17. ``Technology'' specially designed to deposit diamond-like
carbon on any of the following is not controlled: magnetic disk drives
and heads, equipment for the manufacture of disposables valves for
faucets, acoustic diaphragms for speakers, engine parts for
automobiles, cutting tools, punching-pressing dies, office automation
equipment, microphones or medical devices.
* * * * *
[[Page 465]]
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, 3B991, 3B992, 3C001, and 3E001;
b. By revising the entry heading and the List of Items Controlled
section for ECCNs 3B002 and 3D003;
c. By revising the entire entry for ECCN 3E002; and
d. By adding a new entry for ECCN 3E003, 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. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-digital
converters, digital-to-analog converters, electro-optical or ``optical
integrated circuits'' designed for ``signal processing'', field
programmable logic devices, neural network integrated circuits, custom
integrated circuits for which either the function is unknown or the
control status of the equipment in which the integrated circuit will be
used in unknown, Fast Fourier Transform (FFT) processors, electrical
erasable programmable read-only memories (EEPROMs), flash memories or
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);
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
automobile 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 6,500
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 that provides a direct external interconnection
between parallel ``microprocessor microcircuits'' with a transfer rate
exceeding 150 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 of less than 5 ns;
a.5.a.2. A resolution of 12 bit with a total conversion time of
less than 200 ns; or
a.5.a.3. A resolution of more than 12 bit with a total conversion
time 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;
Technical Note:
1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
2. Total conversion time is the inverse of the sample rate.
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 logic devices having any of the following:
a.7.a. An equivalent usable gate count of more than 30,000 (2 input
gates);
a.7.b. A typical ``basic gate propagation delay time'' of less than
0.4 ns; or
a.7.c. A toggle frequency exceeding 133 MHz;
Note: 3A001.a.7 includes: Simple Programmable Logic Devices
(SPLDs), Complex Programmable Logic Devices (CPLDs), Field
Programmable Gate Arrays (FPGAs), Field Programmable Logic Arrays
(FPLAs), and Field Programmable Interconnects (FPICs).
N.B.: Field programmable logic devices are also known as field
programmable gate or field programmable logic arrays.
a.8. Reserved.
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is unknown,
or the control status of the equipment in which the integrated circuits
will be used is unknown to the manufacturer, having any of the
following:
a.10.a. More than 1,000 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.1 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 3,000 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated
execution time for an N-point complex FFT of less than (N
log2 N)/20,480 ms, where N is the number of points;
Technical Note: When N is equal to 1,024 points, the formula in
3A001.a.12 gives an execution time of 500 s.
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 for
operation in any frequency band which meets all of the following
characteristics:
(a) Does not exceed 31 GHz; and
(b) Is ``allocated by the ITU'' for radio-communications services,
but not for radio-determination.
b.1.a. Traveling wave tubes, pulsed or continuous wave, as follows:
b.1.a.1. Operating at frequencies exceeding 31 GHz;
[[Page 466]]
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 a
``fractional 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 producing
a continuous emission current density at rated operating conditions
exceeding 5 A/cm2;
b.2. Microwave integrated circuits or modules having all of the
following:
b.2.a. Containing ``monolithic integrated circuits'' having one or
more active circuit elements; and
b.2.b. Operating at frequencies above 3 GHz;
Note 1: 3A001.b.2 does not control circuits or modules for
equipment designed or rated to operate in any frequency band which
meets all of the following characteristics: (a.) Does not exceed 31
GHz; and (b.) Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.
Note 2: 3A001.b.2 does not control broadcast satellite equipment
designed or rated to operate in the frequency range of 40.5 to 42.5
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 cm3;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in any frequency band which is ``allocated by the ITU''
for radio-communications services, but not for radio-determination.
c. Acoustic wave devices, as follows, and specially designed
components therefor:
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 bandwith 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. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.2. 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/m\2\ at an operating
temperature of 301 K (28 deg.C) under a tungsten illumination of 1 kW/
m\2\ at 2,800 K (2,527 deg.C);
e.2. High energy storage capacitors, as follows:
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
[[Page 467]]
designed to be fully charged or discharged in less than one second,
having all of the following:
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids specially designed for Magnetic
Resonance Imaging (MRI) medical equipment.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in the
first second;
e.3.b. Inner diameter of the current carrying windings of more than
250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or ``overall
current density'' in the winding of more than 300 A/mm\2\;
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 3A292 and 3A992.
Related Definitions: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.
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 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 3A292.
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'', ``electronic 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 500 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).
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 any of the
following:
a.1. A clock frequency rate exceeding 25 MHz; or
a.2. More than one date or instruction bus or serial communication
port that provides a direct external interconnection between parallel
``microprocessor microcircuits'' with a transfer rate of 2.5 Mbyte/s.
b. Storage integrated circuits, as follows:
b.1. Electrical erasable programmable read-only memories (EEPROMs)
with a storage capacity;
b.1.a. Exceeding 16 Mbits per package for flash memory types; 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. Analog-to-digital converters having a resolution of 8 bit or
more, but less
[[Page 468]]
than 12 bit, with a total conversion time of less than 10 ns;
d. Field programmable logic devices having either of the following:
d.1. An equivalent gate count of more than 5000 (2 input gates); or
d.2. A toggle frequency exceeding 100 MHz;
e. Fast Fourier Transform (FFT) processors having a rated execution
time for a 1,024 point complex FFT of less than 1 ms.
f. Custom integrated circuits for which either the function is
unknown, or the control status of the equipment in which the integrated
circuits will be used is unknown to the manufacturer, having any of the
following:
f.1. More than 144 terminals; or
f.2. A typical ``basic propagation delay time'' of less than 0.4
ns.
g. Travelling wave tubes, pulsed or continuous wave, as follows:
g.1. Coupled cavity tubes, or derivatives thereof;
g.2. Helix tubes, or derivatives thereof, with any of the
following:
g.2.a. An ``instantaneous bandwidth'' of half an octave or more;
and
g.2.b. The product of the rated average output power (expressed in
kW) and the maximum operating frequency (expressed in GHz) of more than
0.2;
g.2.c. An ``instantaneous bandwidth'' of less than half an octave;
and
g.2.d. The product of the rated average output power (expressed in
kW) and the maximum operating frequency (expressed in GHz) of more than
0.4;
h. Flexible waveguides designed for use at frequencies exceeding 40
GHz;
i. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having either of the following:
i.1. A carrier frequency exceeding 1 GHz; or
i.2. A carrier frequency of 1 GHz or less; and
i.2.a. A frequency side-lobe rejection exceeding 55 Db;
i.2.b. A product of the maximum delay time and bandwidth (time in
microseconds and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10 microseconds.
j. Batteries, as follows:
Note: 3A991.j does not control batteries with volumes equal to
or less than 26 cm\3\ (e.g., standard C-cells or UM-2 batteries).
j.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);
j.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.
k. ``Superconductive'' electromagnets or solenoids specially
designed to be fully charged or discharged in less than one minute,
having all of the following:
Note: 3A991.k does not control ``superconductive''
electromagnets or solenoids designed for Magnetic Resonance Imaging
(MRI) medical equipment.
k.1. Maximum energy delivered during the discharge divided by the
duration of the discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying windings of more than
250 mm; and
k.3. Rated for a magnetic induction of more than 8T or ``overall
current density'' in the winding of more than 300 A/mm\2\.
l. Circuits or systems for electromagnetic energy storage,
containing components manufactured from ``superconductive'' materials
specially designed for operation at temperatures below the ``critical
temperature'' of at least one of their ``superconductive''
constituents, having all of the following:
l.1. Resonant operating frequencies exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/M\3\ or more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal
construction and rate for a peak current of 500 A or more;
n. Digital integrated circuits based on any compound semiconductor
having an equivalent gate count of more than 300 (2 input gates).
3B002 ``Stored Program Controlled'' Test Equipment, Specially
Designed for Testing Finished or Unfinished Semiconductor Devices,
As Follows (See List of Items Controlled), and Specially Designed
Components and Accessories Therefor
* * * * *
List of Items Controlled
Unit: Number.
Related Controls: See also 3B992.
Related Definitions: N/A.
Items:
a. For testing S-parameters of transistor devices at frequencies
exceeding 31 GHz;
b. For testing integrated circuits capable of performing functional
(truth table) testing at a pattern rate of more than 333 MHz;
Note: 3B002.b does not control test equipment specially designed
for testing:
1. ``Electronic assemblies'' or a class of ``electronic
assemblies'' for home or entertainment applications;
2. Uncontrolled electronic components, ``electronic assemblies'' or
integrated circuits;
3. Memories.
Technical Note: For purposes of 3B002.b, pattern rate is
defined as the maximum frequency of digital operation of a tester.
It is therefore equivalent to the highest data rate that a tester
can provide in non-multiplexed mode. It is also referred to as test
speed, maximum digital frequency or maximum digital speed.
c. For testing microwave integrated circuits controlled by
3A001.b.2.
* * * * *
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 ``electronic
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,
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;
[[Page 469]]
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 m2 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
105 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%; or
b.1.d.2. Rotation of individual wafers during processing;
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
105 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
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
[[Page 470]]
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; or
b.2.f.4. A light source wavelength shorter than 400 nm;
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 m3 and filter materials therefor.
3B992 Equipment Not Controlled by 3B002 for the Inspection or
Testing 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 inspection or testing of
electron tubes, optical elements and specially designed components
therefor controlled by 3A001 or 3A991;
b. Equipment specially designed for the inspection or testing of
semiconductor devices, integrated circuits and ``electronic
assemblies'', as follows, and systems incorporating or having the
characteristics of such equipment:
Note: 3B992.b also controls equipment used or modified for use
in the inspection or testing of other devices, such as imaging
devices, electro-optical devices, acoustic-wave devices.
b.1. ``Stored program controlled'' inspection equipment for the
automatic detection of defects, errors or contaminants of 0.6
micrometer or less in or on processed wafers, ``substrates'', other
than printed circuit boards or chips, using optical image acquisition
techniques for pattern comparison;
Note: 3B992.b.1 does not control general purpose scanning
electron microscopes, except when specially designed and
instrumented for automatic pattern inspection.
b.2. Specially designed ``stored program controlled'' measuring and
analysis equipment, as follows:
b.2.a. Specially designed for the measurement of oxygen or carbon
content in semiconductor materials;
b.2.b. Equipment for line width measurement with a resolution of 1
micrometer or finer;
b.2.c. Specially designed flatness measurement instruments capable
of measuring deviations from flatness of 10 micrometer or less with a
resolution of 1 micrometer or finer.
b.3. ``Stored program controlled'' wafer probing equipment having
any of the following characteristics:
b.3.a. Positioning accuracy finer than 3.5 micrometer;
b.3.b. Capable of testing devices having more than 68 terminals; or
b.3.c. Capable of testing at a frequency exceeding 1 GHz;
b.4. Test equipment as follows:
b.4.a. ``Stored program controlled'' equipment specially designed
for testing discrete semiconductor devices and unencapsulated dice,
capable of testing at frequencies exceeding 18 GHz;
Technical Note: Discrete semiconductor devices include
photocells and solar cells.
b.4.b. ``Stored program controlled'' equipment specially designed
for testing integrated circuits and ``electronic assemblies'' thereof,
capable of functional testing:
b.4.b.1. At a pattern rate exceeding 20 MHz; or
b.4.b.2. At a pattern rate exceeding 10 MHz but not exceeding 20
MHz and capable of testing packages of more than 68 terminals;
Note: 3B992.b.4.b does not control equipment specially designed
for testing integrated circuits not controlled by 3A001 or 3A991.
Notes: 1. 3B992.b.4.b does not control test equipment specially
designed for testing ``assemblies'' or a class of ``electronic
assemblies'' for home and entertainment applications.
2. 3B992.b.4.b does not control test equipment specially
designed for testing electronic components, ``assemblies'' and
integrated circuits not controlled by 3A001 or 3A991 provided such
test equipment does not incorporate computing facilities with ``user
accessible programmability''.
b.4.c. Equipment specially designed for determining the performance
of focal-plane arrays at wavelengths of more than 1,200 nm, using
``stored program controlled'' measurements or computer aided evaluation
and having any of the following characteristics:
b.4.c.1. Using scanning light spot diameters of less than 0.12 mm;
b.4.c.2. Designed for measuring photosensitive performance
parameters and for evaluating frequency response, modulation transfer
function, uniformity of responsivity or noise; or
b.4.c.3. Designed for evaluating arrays capable of creating images
with more than 32 x 32 line elements;
b.5. Electron beam test systems designed for operation at 3 keV or
below, or ``laser'' beam systems, for non-
[[Page 471]]
contactive probing of powered-up semiconductor devices having any of
the following:
b.5.a. Stroboscopic capability with either beam blanking or
detector strobing;
b.5.b. An electron spectrometer for voltage measurements with a
resolution of less than 0.5 V; or
b.5.c. Electrical tests fixtures for performance analysis of
integrated circuits;
Note: 3B992.b.5 does not control scanning electron microscopes,
except when specially designed and instrumented for non-contactive
probing of a powered-up semiconductor device.
b.6. ``Stored program controlled'' multifunctional focused ion beam
systems specially designed for manufacturing, repairing, physical
layout analysis and testing of masks or semiconductor devices and
having either of the following characteristics:
b.6.a. Target-to-beam position feedback control precision of 1
micrometer or finer; or
b.6.b. Digital-to-analog conversion accuracy exceeding 12 bit;
b.7. Particle measuring systems employing ``lasers'' designed for
measuring particle size and concentration in air having both of the
following characteristics:
b.7.a. Capable of measuring particle sizes of 0.2 micrometer or
less at a flow rate of 0.02832 m3 per minute or more; and
b.7.b. Capable of characterizing Class 10 clean air or better.
3C001 Hetero-Epitaxial Materials Consisting of a ``Substrate''
Having Stacked Epitaxially Grown Multiple Layers of Any of the
Following (See List of Items Controlled)
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: This entry does not control equipment or material
whose functionality has been unalterably disabled are not controlled.
Related Definitions: III/V compounds are polycrystalline or binary
or complex monocrystalline products consisting of elements of groups
IIIA and VA of Mendeleyev's periodic classification table (e.g.,
gallium arsenide, gallium-aluminium arsenide, indium phosphide).
Items:
a. Silicon;
b. Germanium;
c. Silicon Carbide; or
d. III/V compounds of gallium or indium.
3D003 Computer-Aided-Design (CAD) ``Software'', Having all of the
Following (See List of Items Controlled)
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: 3D003 does not control ``software'' specially
designed for schematic entry, logic simulation, placing and routing,
layout verification or pattern generation tape.
Related Definitions: (1.) Libraries, design attributes or
associated data for the design of semiconductor devices or integrated
circuits are considered as ``technology''. (2.) A lithographic
processing simulator is a ``software'' package used in the design phase
to define the sequence of lithographic, etching and deposition steps
for translating masking patterns into specific topographical patterns
in conductors, dielectrics or semiconductor material.
Items:
a. Designed for the ``development'' of semiconductor devices or
integrated circuits; and
b. Designed to perform or use any of the following:
b.1. Design rules or circuit verification rules;
b.2. Simulation of the physically laid out circuits; or
b.3. Lithographic processing simulators for design.
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: See also 3E101 and 3E201.
Related Definition: N/A.
Items:
The list of items controlled is contained in the ECCN heading.
Note: 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:
(b.1) Using ``technology'' of 0.7 micrometer or more; and
(b.2) Not incorporating multi-layer structures.
Technical Note: The term multi-layer structures in Note b.2 does
not include devices incorporating a maximum of two metal layers and
two polysilicon layers.
3E002 ``Technology'' According to the General Technology Note
Other Than That Controlled in 3E001 for the ``Development'' or
``Production'' of ``Microprocessor Microcircuits'', ``Micro-
Computer Microcircuits'' and Microcontroller Microcircuits Having a
``Composite Theoretical Performance'' (``CTP'') of 530 Million
Theoretical Operations Per Second (MTOPS) or More and an Arithmetic
Logic Unit With an Access Width of 32 Bits or More
License Requirements
Reason for Control: NS, AT.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 1.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A.
TSR: Yes.
List of Items Controlled
Unit: N/A.
Related Controls: N/A.
Related Definitions: N/A.
Items:
The list of items controlled is contained in the ECCN heading.
Note: 3E002 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:
(b.1) Using ``technology'' of 0.7 micrometer or more; and
(b.2) Not incorporating multi-layer structures.
Technical Note: The term multi-layer structures in Note b.2 does
not include devices incorporating a maximum of two metal layers and
two polysilicon layers.
3E003 Other ``Technology'' for the ``Development'' or
``Production'' of Items Described in the List of Items Controlled
License Requirements
Reason for Control: NS, AT.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 1.
AT applies to entire entry.............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A.
TSR: Yes, except .f.
List of Items Controlled
Unit: N/A.
Related Controls: See 3E001 for silicon-on-insulation (SOI)
technology for the ``development'' or ``production''
[[Page 472]]
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, Export Control Classification Number (ECCN)
4D003 is amended by revising the List of Items Controlled Section, to
read as follows:
4D003 Specific ``Software'', As Follows (See List of Items
Controlled)
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: N/A.
Related Definitions: N/A.
Items:
a. Operating system ``software'', ``software'' development tools
and compilers specially designed for ``multi-data-stream processing''
equipment, in ``source code'';
b. [Reserved]
c. ``Software'' having characteristics or performing functions
exceeding the limits in Category 5, Part 2 (``Information Security'');
d. Operating systems specially designed for ``real time
processing'' equipment that guarantees a ``global interrupt latency
time'' of less than 20 s.
11. 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 List of Items Controlled
section for Export Control Classification Numbers (ECCNs) 5D001 and
5E001, to read as follows:
5D001 ``Software'', As Described in the List of Items Controlled
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: See also 5D991.
Related Definitions: N/A.
Items:
a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment, functions or
features controlled by 5A001 or 5B001.
b. ``Software'' specially designed or modified to support
``technology'' controlled by 5E001.
c. Specific ``software'' as follows:
c.1. ``Software'' specially designed or modified to provide
characteristics, functions or features of equipment controlled by 5A001
or 5B001;
c.2. [Reserved];
c.3. ``Software'', other than in machine-executable form, specially
designed for ``dynamic adaptive routing''.
d. ``Software'' specially designed or modified for the
``development'' of any of the following telecommunication transmission
or ``stored program controlled'' switching equipment:
d.1. Equipment employing digital techniques, including
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a
``total digital transfer rate'' exceeding 1.5 Gbit/s;
d.2. Equipment employing a ``laser'' and having any of the
following:
d.2.a. A transmission wavelength exceeding 1750 nm; or
d.2.b. Employing analog techniques and having a bandwidth exceeding
2.5 GHz;
Note: 5D001.d.2.b. does not control ``software'' specially
designed or modified for the ``development'' of commercial TV
systems.
d.3. Equipment employing ``optical switching''; or
d.4. Radio equipment employing quadrature-amplitude-modulation
(QAM) techniques above level 128;
5E001 ``Technology'', (See List of Items Controlled)
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: See also 5E101 and 5E991.
Related Definitions: N/A.
Items:
a. ``Technology'' according to the General Technology Note for the
``development'', ``production'' or ``use'' (excluding operation) of
equipment, functions or features or ``software'' controlled by 5A001,
5B001 or 5D001.
b. Specific ``technologies'', as follows:
b.1. ``Required'' ``technology'' for the ``development'' or
``production'' of telecommunications equipment specially designed to be
used on board satellites;
b.2. ``Technology'' for the ``development'' or ``use'' of ``laser''
communication techniques with the capability of automatically acquiring
and tracking signals and maintaining communications through
exoatmosphere or sub-surface (water) media;
b.3. ``Technology'' for the ``development'' of digital cellular
radio systems;
b.4. ``Technology'' for the ``development'' of ``spread spectrum''
techniques, including ``frequency hopping'' techniques.
c. ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of any of the following
telecommunication transmission or ``stored program controlled''
switching equipment, functions or features:
c.1. Equipment employing digital techniques, including
``Asynchronous Transfer Mode'' (``ATM''), designed to operate at a
``total digital transfer rate'' exceeding 1.5 Gbit/s;
c.2. Equipment employing a ``laser'' and having any of the
following:
c.2.a. A transmission wavelength exceeding 1750 nm;
c.2.b. Performing ``optical amplification'' using praseodymium-
doped fluoride fiber amplifiers (PDFFA);
c.2.c. Employing coherent optical transmission or coherent optical
detection techniques (also called optical heterodyne or homodyne
techniques);
c.2.d. Employing wavelength division multiplexing techniques
exceeding 8 optical carriers in a single optical window; or
c.2.e. Employing analog techniques and having a bandwidth exceeding
2.5 GHz;
Note: 5E001. c.2.e. does not control ``technology'' for the
``development'' or ``production'' of commercial TV systems.
c.3. Equipment employing ``optical switching'';
c.4. Radio equipment having any of the following:
c.4.a. Quadrature-amplitude-modulation (QAM) techniques above level
128; or
c.4.b. Operating at input or output frequencies exceeding 31 GHz;
or
Note: 5E001.c.4.b. does not control ``technology'' for the
``development'' or ``production'' of equipment designed or modified
for operation in any frequency band which is ``allocated by the
ITU'' for radio-communications services, but not for radio-
determination.
c.5. Equipment employing ``common channel signalling'' operating in
either non-associated or quasi-associated mode of operation.
12. In Supplement No. 1 to part 774 (the Commerce Control List),
Category
[[Page 473]]
6--Sensors, the following Export Control Classification Numbers (ECCNs)
are amended:
a. By revising the License Exception and List of Items Controlled
sections for ECCNs 6A003 and 6A005;
b. By revising the List of Items Controlled section for ECCNs 6A995
and 6C002; and
c. By revising the Heading and the List of Items Controlled section
for ECCN 6C992, to read as follows:
6A003 Cameras
* * * * *
License Exceptions
LVS: $1500, except N/A for 6A003.a.2 through a.6, b.1, b.3 and b.4.
GBS: Yes for 6A003.a.1.
CIV: Yes for 6A003.a.1.
List of Items Controlled
Unit: Number.
Related Controls: See also 6A203. See 8A002.d and .e for cameras
specially designed or modified for underwater use.
Related Definitions: N/A.
Items:
a. Instrumentation cameras and specially designed components
therefor, as follows:
Note: Instrumentation cameras, controlled by 6A003.a.3 to
6A003.a.5, with modular structures should be evaluated by their
maximum capability, using plug-ins available according to the camera
manufacturer's specifications.
a.1. High-speed cinema recording cameras using any film format from
8 mm to 16 mm inclusive, in which the film is continuously advanced
throughout the recording period, and that are capable of recording at
framing rates exceeding 13,150 frames/s;
Note: 6A003.a.1 does not control cinema recording cameras
designed for civil purposes.
a.2. Mechanical high speed cameras, in which the film does not
move, capable of recording at rates exceeding 1,000,000 frames/s for
the full framing height of 35 mm film, or at proportionately higher
rates for lesser frame heights, or at proportionately lower rates for
greater frame heights;
a.3. Mechanical or electronic streak cameras having writing speeds
exceeding 10 mm/s;
a.4. Electronic framing cameras having a speed exceeding 1,000,000
frames/s;
a.5. Electronic cameras, having all of the following:
a.5.a. An electronic shutter speed (gating capability) of less than
1 s per full frame; and
a.5.b. A read out time allowing a framing rate of more than 125
full frames per second.
a.6. Plug-ins, having all of the following characteristics:
a.6.a. Specially designed for instrumentation cameras which have
modular structures and that are controlled by 6A003.a; and
a.6.b. Enabling these cameras to meet the characteristics specified
in 6A003.a.3, 6A003.a.4 or 6A003.a.5, according to the manufacturer's
specifications.
b. Imaging cameras, as follows:
Note: 6A003.b does not control television or video cameras
specially designed for television broadcasting.
b.1. Video cameras incorporating solid state sensors, having any of
the following:
b.1.a. More than 4 x 106 ``active pixels'' per solid state array
for monochrome (black and white) cameras;
b.1.b. More than 4 x 106 ``active pixels'' per solid state array
for color cameras incorporating three solid state arrays; or
b.1.c. More than 12 x 106 ``active pixels'' for solid state array
color cameras incorporating one solid state array;
Technical Note: For the purposes of this entry, digital video
cameras should be evaluated by the maximum number of ``active
pixels'' used for capturing moving images.
b.2. Scanning cameras and scanning camera systems, having all of
the following:
b.2.a. Linear detector arrays with more than 8,192 elements per
array; and
b.2.b. Mechanical scanning in one direction;
b.3. Imaging cameras incorporating image intensifier tubes having
the characteristics listed in 6A002.a.2.a;
b.4. Imaging cameras incorporating ``focal plane arrays'' having
the characteristics listed in 6A002.a.3.
Note: 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 any of the following:
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.
6A005 ``Lasers'', Components and Optical Equipment, As Follows
(See List of Items Controlled)
* * * * *
License Exceptions
LVS: N/A for NP items. $3000 for all other items.
GBS: Yes, for 6A005.d (except d.2.c), CO2 or CO/
CO2 ``lasers'' having an output wavelength in the range from
9,000 to 11,000 nm and having a pulsed output not exceeding 2 J per
pulse and a maximum rated average single or multimode output power not
exceeding 5 kW; CO ``lasers'' having a CW maximum rated single or
multimode output power not exceeding 10 kW; CO2 ``lasers''
controlled by 6A005.a.4 that operate in CW multiple-transverse mode;
and having a CW output power not exceeding 15 kW; Neodymium-doped
(other than glass), pulse-excited, ``Q-switched lasers'' controlled by
6A005.c.2.b.2.b having a pulse duration equal to or more than 1 ns; and
a multiple-transverse mode output with a ``peak power'' not exceeding
400 MW; Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.c.2.b.3.b or 6A005.c.2.b.4.b that have an output wavelength
exceeding 1,000 nm, but not exceeding 1,100 nm; and an average or CW
output power not exceeding 2 kW; and operate in a pulse-excited, non-
``Q-switched'' multiple-transverse mode; or in a continuously excited,
multiple-transverse mode; and 6A005.f.1.
CIV: Yes, for 6A005.d (except d.2.c), CO2 or CO/
CO2 ``lasers'' having an output wavelength in the range from
9,000 to 11,000 nm and having a pulsed output not exceeding 2 J per
pulse and a maximum rated average single or multimode output power not
exceeding 5 kW; CO ``lasers'' having a CW maximum rated single or
multimode output power not exceeding 10 kW; CO2 ``lasers''
controlled by 6A005.a.4 that operate in CW multiple-transverse mode;
and having a CW output power not exceeding 15 kW; Neodymium-doped
(other than glass), pulse-excited, ``Q-switched lasers'' controlled by
6A005.c.2.b.2.b having a pulse duration equal to or more than 1 ns; and
a multiple-transverse mode output with a ``peak power'' not exceeding
400 MW; Neodymium-doped (other than glass) ``lasers'' controlled by
6A005.c.2.b.3.b or 6A005.c.2.b.4.b that have an output wavelength
exceeding 1,000 nm, but not exceeding 1,100 nm; and an average or CW
output power not exceeding 2 kW; and operate in a pulse-excited, non-
``Q-switched'' multiple-transverse mode; or in a continuously excited,
multiple-transverse mode; and 6A005.f.1.
[[Page 474]]
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: (1.) See also 6A205, 6A995, 0B001.g.5 and
0B001.b.6. (2.) Shared aperture optical elements, capable of operating
in ``super-high power laser'' applications are subject to the export
licensing authority of the U.S. Department of State, Office of Defense
Trade Controls. (See 22 CFR part 121.)
Related Definitions: (1.) Pulsed ``lasers'' include those that run
in a continuous wave (CW) mode with pulses superimposed. (2.) Pulse-
excited ``lasers'' include those that run in a continuously excited
mode with pulse excitation superimposed. (3.) The control status of
Raman ``lasers'' is determined by the parameters of the pumping source
``lasers''. The pumping source ``lasers'' can be any of the ``lasers''
described as follows:
Items:
a. Gas ``lasers'', as follows:
a.1. Excimer ``lasers'', having any of the following:
a.1.a. An output wavelength not exceeding 150 nm and having any of
the following:
a.1.a.1. An output energy exceeding 50 mJ per pulse; or
a.1.a.2. An average output power exceeding 1 W;
a.1.b. An output wavelength exceeding 150 nm but not exceeding 190
nm and having any of the following:
a.1.b.1. An output energy exceeding 1.5 J per pulse; or
a.1.b.2. An average output power exceeding 120 W;
a.1.c. An output wavelength exceeding 190 nm but not exceeding 360
nm and having any of the following:
a.1.c.1. An output energy exceeding 10 J per pulse; or
a.1.c.2. An average output power exceeding 500 W; or
a.1.d. An output wavelength exceeding 360 nm and having any of the
following:
a.1.d.1. An output energy exceeding 1.5 J per pulse; or
a.1.d.2. An average output power exceeding 30 W;
N.B. For excimer ``lasers'' specially designed for lithography
equipment, see 3B001.
a.2. Metal vapor ``lasers'', as follows:
a.2.a. Copper (Cu) ``lasers'' having an average output power
exceeding 20 W;
a.2.b. Gold (Au) ``lasers'' having an average output power
exceeding 5 W;
a.2.c. Sodium (Na) ``lasers'' having an output power exceeding 5 W;
a.2.d. Barium (Ba) ``lasers'' having an average output power
exceeding 2 W;
a.3. Carbon monoxide (CO) ``lasers'' having any of the following:
a.3.a. An output energy exceeding 2 J per pulse and a pulsed ``peak
power'' exceeding 5 kW; or
a.3.b. An average or CW output power exceeding 5 kW;
a.4. Carbon dioxide (CO2) ``lasers'' having any of the
following:
a.4.a. A CW output power exceeding 15 kW;
a.4.b. A pulsed output having a ``pulse duration'' exceeding 10
s and having any of the following:
a.4.b.1. An average output power exceeding 10 kW; or
a.4.b.2. A pulsed ``peak power'' exceeding 100 kW; or
a.4.c. A pulsed output having a ``pulse duration'' equal to or less
than 10 s; and having any of the following:
a.4.c.1. A pulse energy exceeding 5 J per pulse; or
a.4.c.2. An average output power exceeding 2.5 kW;
a.5. ``Chemical lasers'', as follows:
a.5.a. Hydrogen Fluoride (HF) ``lasers'';
a.5.b. Deuterium Fluoride (DF) ``lasers'';
a.5.c. ``Transfer lasers'', as follows:
a.5.c.1. Oxygen Iodine (O2-I) ``lasers'';
a.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO2)
``lasers'';
a.6. Krypton ion or argon ion ``lasers'' having any of the
following:
a.6.a. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 50 W; or
a.6.b. An average or CW output power exceeding 50 W;
a.7. Other gas ``lasers'', having any of the following:
Note: 6A005.a.7 does not control nitrogen ``lasers''.
a.7.a. An output wavelength not exceeding 150 nm and having any of
the following:
a.7.a.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
a.7.a.2. An average or CW output power exceeding 1 W;
a.7.b. An output wavelength exceeding 150 nm but not exceeding 800
nm and having any of the following:
a.7.b.1. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 30 W; or
a.7.b.2. An average or CW output power exceeding 30 W;
a.7.c. An output wavelength exceeding 800 nm but not exceeding
1,400 nm and having any of the following:
a.7.c.1. An output energy exceeding 0.25 J per pulse and a pulsed
``peak power'' exceeding 10 W; or
a.7.c.2. An average or CW output power exceeding 10 W; or
a.7.d. An output wavelength exceeding 1,400 nm and an average or CW
output power exceeding 1 W.
b. Semiconductor ``lasers'', as follows:
b.1. Individual single-transverse mode semiconductor ``lasers''
having all of the following:
b.1.a. A wavelength of less than 950 nm or more than 2000 nm; and
b.1.b. An average or CW output power exceeding 100 mW;
b.2. Individual, multiple-transverse mode semiconductor ``lasers'',
having all of the following:
b.2.a. A wavelength of less than 950 nm or more than 2000 nm; and
b.2.b. An average or CW output power exceeding 10 W.
b.3. Individual arrays of individual semiconductor ``lasers'',
having any of the following:
b.3.a. A wavelength of less than 950 nm and an average or CW output
power exceeding 60 W; or
b.3.b. A wavelength equal to or greater than 2000 nm and an average
or CW output power exceeding 10 W;
Technical Note: Semiconductor ``lasers'' are commonly called
``laser'' diodes.
Note 1: 6A005.b includes semiconductor ``lasers'' having optical
output connectors (e.g. fiber optic pigtails).
Note 2: The control status of semiconductor ``lasers'' specially
designed for other equipment is determined by the control status of
the other equipment.
c. Solid state ``lasers'', as follows:
c.1. ``Tunable'' ``lasers'' having any of the following:
Note: 6A005.c.1 includes titanium--sapphire (Ti:
Al2O3), thulium--YAG (Tm: YAG), thulium--YSGG
(Tm: YSGG), alexandrite (Cr: BeAl2O4) and
color center ``lasers''.
c.1.a. An output wavelength less than 600 nm and having any of the
following:
c.1.a.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
c.1.a.2. An average or CW output power exceeding 1 W;
c.1.b. An output wavelength of 600 nm or more but not exceeding
1,400 nm and having any of the following:
c.1.b.1. An output energy exceeding 1 J per pulse and a pulsed
``peak power'' exceeding 20 W; or
c.1.b.2. An average or CW output power exceeding 20 W; or
c.1.c. An output wavelength exceeding 1,400 nm and having any of
the following:
c.1.c.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
c.1.c.2. An average or CW output power exceeding 1 W;
[[Page 475]]
c.2. Non-``tunable'' ``lasers'', as follows:
Note: 6A005.c.2 includes atomic transition solid state
``lasers''.
c.2.a. Neodymium glass ``lasers'', as follows:
c.2.a.1. ``Q-switched lasers'' having any of the following:
c.2.a.1.a. An output energy exceeding 20 J but not exceeding 50 J
per pulse and an average output power exceeding 10 W; or
c.2.a.1.b. An output energy exceeding 50 J per pulse;
c.2.a.2. Non-``Q-switched lasers'' having any of the following:
c.2.a.2.a. An output energy exceeding 50 J but not exceeding 100 J
per pulse and an average output power exceeding 20 W; or
c.2.a.2.b. An output energy exceeding 100 J per pulse;
c.2.b. Neodymium-doped (other than glass) ``lasers'', having an
output wavelength exceeding 1,000 nm but not exceeding 1,100 nm, as
follows:
N.B.: For neodymium-doped (other than glass) ``lasers'' having an
output wavelength not exceeding 1,000 nm or exceeding 1,100 nm, see
6A005.c.2.c.
c.2.b.1. Pulse-excited, mode-locked, ``Q-switched lasers'' having a
``pulse duration'' of less than 1 ns and having any of the following:
c.2.b.1.a. A ``peak power'' exceeding 5 GW;
c.2.b.1.b. An average output power exceeding 10 W; or
c.2.b.1.c. A pulsed energy exceeding 0.1 J;
c.2.b.2. Pulse-excited, ``Q-switched lasers'' having a pulse
duration equal to or more than 1 ns, and having any of the following:
c.2.b.2.a. A single-transverse mode output having:
c.2.b.2.a.1. A ``peak power'' exceeding 100 MW;
c.2.b.2.a.2. An average output power exceeding 20 W; or
c.2.b.2.a.3. A pulsed energy exceeding 2 J; or
c.2.b.2.b. A multiple-transverse mode output having:
c.2.b.2.b.1. A ``peak power'' exceeding 400 MW;
c.2.b.2.b.2. An average output power exceeding 2 kW; or
c.2.b.2.b.3. A pulsed energy exceeding 2 J;
c.2.b.3. Pulse-excited, non-''Q-switched lasers'', having:
c.2.b.3.a. A single-transverse mode output having:
c.2.b.3.a.1. A ``peak power'' exceeding 500 kW; or
c.2.b.3.a.2. An average output power exceeding 150 W; or
c.2.b.3.b. A multiple-transverse mode output having:
c.2.b.3.b.1. A ``peak power'' exceeding 1 MW; or
c.2.b.3.b.2. An average power exceeding 2 kW;
c.2.b.4. Continuously excited ``lasers'' having:
c.2.b.4.a. A single-transverse mode output having:
c.2.b.4.a.1. A ``peak power'' exceeding 500 kW; or
c.2.b.4.a.2. An average or CW output power exceeding 150 W; or
c.2.b.4.b. A multiple-transverse mode output having:
c.2.b.4.b.1. A ``peak power'' exceeding 1 MW; or
c.2.b.4.b.2. An average or CW output power exceeding 2 kW;
c.2.c. Other non-``tunable'' ``lasers'', having any of the
following:
c.2.c.1. A wavelength less than 150 nm and having any of the
following:
c.2.c.1.a. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
c.2.c.1.b. An average or CW output power exceeding 1 W;
c.2.c.2. A wavelength of 150 nm or more but not exceeding 800 nm
and having any of the following:
c.2.c.2.a. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 30 W; or
c.2.c.2.b. An average or CW output power exceeding 30 W;
c.2.c.3. A wavelength exceeding 800 nm but not exceeding 1,400 nm,
as follows:
c.2.c.3.a. ``Q-switched lasers'' having:
c.2.c.3.a.1. An output energy exceeding 0.5 J per pulse and a
pulsed ``peak power'' exceeding 50 W; or
c.2.c.3.a.2. An average output power exceeding:
c.2.c.3.a.2.a. 10 W for single-mode ``lasers'';
c.2.c.3.a.2.b. 30 W for multimode ``lasers'';
c.2.c.3.b. Non-``Q-switched lasers'' having:
c.2.c.3.b.1. An output energy exceeding 2 J per pulse and a pulsed
``peak power'' exceeding 50 W; or
c.2.c.3.b.2. An average or CW output power exceeding 50 W; or
c.2.c.4. A wavelength exceeding 1,400 nm and having any of the
following:
c.2.c.4.a. An output energy exceeding 100 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
c.2.c.4.b. An average or CW output power exceeding 1 W;
d. Dye and other liquid ``lasers'', having any of the following:
d.1. A wavelength less than 150 nm and:
d.1.a. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
d.1.b. An average or CW output power exceeding 1 W;
d.2. A wavelength of 150 nm or more but not exceeding 800 nm and
having any of the following:
d.2.a. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 20 W;
d.2.b. An average or CW output power exceeding 20 W; or
d.2.c. A pulsed single longitudinal mode oscillator having an
average output power exceeding 1 W and a repetition rate exceeding 1
kHz if the ``pulse duration'' is less than 100 ns;
d.3. A wavelength exceeding 800 nm but not exceeding 1,400 nm and
having any of the following:
d.3.a. An output energy exceeding 0.5 J per pulse and a pulsed
``peak power'' exceeding 10 W; or
d.3.b. An average or CW output power exceeding 10 W; or
d.4. A wavelength exceeding 1,400 nm and having any of the
following:
d.4.a. An output energy exceeding 100 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
d.4.b. An average or CW output power exceeding 1 W;
e. Components, as follows:
e.1. Mirrors cooled either by active cooling or by heat pipe
cooling;
Technical Note: Active cooling is a cooling technique for
optical components using flowing fluids within the subsurface
(nominally less than 1 mm below the optical surface) of the optical
component to remove heat from the optic.
e.2. Optical mirrors or transmissive or partially transmissive
optical or electro-optical components specially designed for use with
controlled ``lasers'';
f. Optical equipment, as follows:
N.B. For shared aperture optical elements, capable of operating in
``Super-High Power Laser'' (``SHPL'') applications, see the U.S.
Munitions List (22 CFR part 121).
f.1. Dynamic wavefront (phase) measuring equipment capable of
mapping at least 50 positions on a beam wavefront having any the
following:
f.1.a. Frame rates equal to or more than 100 Hz and phase
discrimination of at least 5% of the beam's wavelength; or
f.1.b. Frame rates equal to or more than 1,000 Hz and phase
discrimination of at least 20% of the beam's wavelength;
f.2. ``Laser'' diagnostic equipment capable of measuring ``SHPL''
system angular beam steering errors of equal to or less than 10
rad;
f.3. Optical equipment and components specially designed for a
phased-array ``SHPL'' system for coherent beam combination to an
[[Page 476]]
accuracy of lambda/10 at the designed wavelength, or 0.1 m,
whichever is the smaller;
f.4. Projection telescopes specially designed for use with ``SHPL''
systems.
6A995 ``Lasers'', Not Controlled by 6A005 or 6A205
* * * * *
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: N/A.
Related Definitions: N/A.
Items:
a. Carbon dioxide (CO2) ``lasers'' having any of the
following:
a.1. A CW output power exceeding 10 kW;
a.2. A pulsed output with a ``pulse duration'' exceeding 10
microseconds; and
a.2.a. An average output power exceeding 10 kW; or
a.2.b. A pulsed ``peak power'' exceeding 100 kW; or
a.3. A pulsed output with a ``pulse duration'' equal to or less
than 10 microseconds; and
a.3.a. A pulse energy exceeding 5 J per pulse and ``peak power''
exceeding 2.5 kW; or
a.3.b. An average output power exceeding 2.5 kW;
b. Semiconductor lasers, as follows:
b.1. Individual, single-transverse mode semiconductor ``lasers''
having:
b.1.a. An average output power exceeding 100 mW; or
b.1.b. A wavelength exceeding 1,050 nm;
b.2. Individual, multiple-transverse mode semiconductor ``lasers'',
or arrays of individual semiconductor ``lasers'', having a wavelength
exceeding 1,050 nm;
c. Solid state, non-``tunable'' ``lasers'', as follows:
c.1. Ruby ``lasers'' having an output energy exceeding 20 J per
pulse;
c.2. Neodymium-doped (other than glass) ``lasers'', as follows,
with an output wavelength exceeding 1,000 nm but not exceeding 1,100
nm:
c.2.a. Pulse-excited, ``Q-switched lasers'', with a pulse duration
equal to or more than 1 ns, and a multiple-transverse mode output with
any of the following:
c.2.a.1. A ``peak power'' exceeding 200 MW; or
c.2.a.2. An average output power exceeding 50 W;
c.2.b. Pulse-excited, non-``Q-switched lasers'', having a multiple-
transverse mode output with an average power exceeding 500 W; or
c.2.c. Continuously excited ``lasers'' having a multiple-transverse
mode output with an average or CW output power exceeding 500 W;
d. Free electron ``lasers''.
C. Materials
6C002 Optical Sensor Materials, As Follows (See List of Items
Controlled)
* * * * *
List of Items Controlled
Unit: Number.
Related Controls: See also 6C992.
Related Definitions: N/A.
Items:
a. Elemental tellurium (Te) of purity levels of 99.9995% or more;
b. Single crystals (including epitaxial wafers) of any of the
following:
b.1. Cadmium zinc telluride (CdZnTe), with zinc content less than
6% by mole fraction;
b.2. Cadmium telluride (CdTe) of any purity level; or
b.3. Mercury cadmium telluride (HgCdTe) of any purity level.
Technical Note: Mole fraction is defined as the ratio of moles
of ZnTe to the sum of the moles of CdTe and ZnTe present in the
crystal.
6C992 Optical Sensing Fibers Not Controlled by 6A002.d.3 Which Are
Modified Structurally To Have a ``Beat Length'' of Less Than 500 mm
(High Birefringence) or Optical Sensor Materials Not Described in
6C002.b and Having a Zinc Content of Equal to or More Than 6% by
Mole Fraction
* * * * *
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: N/A.
Related Definitions: Mole fraction is defined as the ratio of moles
of ZnTe to the sum of the moles of CdTe and ZnTe present in the
crystal.
Items:
The list of items controlled is contained in the ECCN heading.
13. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 7--Navigation and Avionics, is amended by revising the entry
heading and the List of Items Controlled section for ECCNs 7A001 and
7A002, to read as follows:
7A001 Linear Accelerometers Designed for Use in Inertial
Navigation or Guidance Systems and Having Any of the Following
Characteristics (See List of Items Controlled), and Specially
Designed Components Therefor
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: See also 7A101 and 7A994. For angular or
rotational accelerometers, see 7A002. MT controls do not apply to
accelerometers that are specially designed and developed as Measurement
While Drilling (MWD) sensors for use in downhole well service
applications.
Related Definitions: N/A.
Items:
a. A ``bias'' ``stability'' of less (better) than 130 micro g with
respect to a fixed calibration value over a period of one year;
b. A ``scale factor'' ``stability'' of less (better) than 130 ppm
with respect to a fixed calibration value over a period of one year; or
c. Specified to function at linear acceleration levels exceeding
100 g.
7A002 Gyros, and Angular or Rotational Accelerometers, Having Any
of the Following Characteristics (See List of Items Controlled),
and Specially Designed Components Therefor
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: See also 7A102 and 7A994. For linear
accelerometers, see 7A001.
Related Definitions: N/A.
Items:
a. A ``drift rate'' ``stability'', when measured in a 1 g
environment over a period of three months and with respect to a fixed
calibration value, of:
a.1. Less (better) than 0.1 deg. per hour when specified to
function at linear acceleration levels below 10 g; or
a.2. Less (better) than 0.5 deg. per hour when specified to
function at linear acceleration levels from 10 g to 100 g inclusive; or
b. Specified to function at linear acceleration levels exceeding
100 g.
14. In Supplement No. 1 to part 774 (the Commerce Control List),
Category 9--Propulsion Systems, Space Vehicles and Related Equipment,
the following Export Control Classification numbers (ECCNs) are
amended:
a. By revising the entry heading for ECCN 9B001; and
b. By revising the License Requirement section and the List of
Items Controlled section for ECCN 9E003, to read as follows:
9B001 Specially Designed Equipment, Tooling and Fixtures, As
Follows (See List of Items Controlled), for Manufacturing Gas
Turbine Blades, Vanes or Tip Shroud Castings
* * * * *
[[Page 477]]
9E003 Other ``Technology'', As Follows (See List of Items
Controlled)
License Requirements
Reason for Control: NS, SI, AT.
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NS applies to entire entry.............. NS Column 1.
SI applies to 9E003.a.1 through a.11, ..............................
and h. See Sec. 742.14 of the EAR for
additional information..
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.
* * * * *
List of Items Controlled
Unit: N/A.
Related Controls: (1.) Hot section ``technology'' specifically
designed, modified, or equipped for military uses or purposes, or
developed principally with U.S. Department of Defense funding, is
subject to the licensing authority of the U.S. Department of State.
(2.) ``Technology'' is subject to the EAR when actually applied to a
commercial aircraft engine program. Exporters may seek to establish
commercial application either on a case-by-case basis through
submission of documentation demonstrating application to a commercial
program in requesting an export license from the Department Commerce in
respect to a specific export, or in the case of use for broad
categories of aircraft, engines, or components, a commodity
jurisdiction determination from the Department of State.
Related Definitions: N/A.
Items:
a. ``Technology'' ``required'' for the ``development'',
``production''of any of the following gas turbine engine components or
systems:
a.1. Gas turbine blades, vanes or tip shrouds made from
directionally solidified (DS) or single crystal (SC) alloys having (in
the 001 Miller Index Direction) a stress-rupture life exceeding 400
hours at 1,273 K (1,000 deg.C) at a stress of 200 MPa, based on the
average property values;
a.2. Multiple domed combustors operating at average burner outlet
temperatures exceeding 1,813 K (1,540 deg. C) or combustors
incorporating thermally decoupled combustion liners, non-metallic
liners or non-metallic shells;
a.3. Components manufactured from any of the following:
a.3.a. Organic ``composite'' materials designed to operate above
588 K (315 deg.C);
a.3.b. Metal ``matrix'' ``composite'', ceramic ``matrix'',
intermetallic or intermetallic reinforced materials controlled by
1C007; or
a.3.c. ``Composite'' material controlled by 1C010 and manufactured
with resins controlled by 1C008.
a.4. Uncooled turbine blades, vanes, tip-shrouds or other
components designed to operate at gas path temperatures of 1,323 K
(1,050 deg.C) or more;
a.5. Cooled turbine blades, vanes or tip-shrouds, other than those
described in 9E003.a.1, exposed to gas path temperatures of 1,643 K
(1,370 deg.C) or more;
a.6. Airfoil-to-disk blade combinations using solid state joining;
a.7. Gas turbine engine components using ``diffusion bonding''
``technology'' controlled by 2E003.b;
a.8. Damage tolerant gas turbine engine rotating components using
powder metallurgy materials controlled by 1C002.b;
a.9. Full authority digital electronic engine control (FADEC) for
gas turbine and combined cycle engines and their related diagnostic
components, sensors and specially designed components;
a.10. Adjustable flow path geometry and associated control systems
for:
a.10.a. Gas generator turbines;
a.10.b. Fan or power turbines;
a.10.c. Propelling nozzles; or
Note 1: Adjustable flow path geometry and associated control
systems in 9E003.a.10 do not include inlet guide vanes, variable
pitch fans, variable stators or bleed valves for compressors.
Note 2: 9E003.a.10 does not control ``development'' or
``production'' ``technology'' for adjustable flow path geometry for
reverse thrust.
a.11. Wide chord hollow fan blades without part-span support;
b. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following:
b.1. Wind tunnel aero-models equipped with non-intrusive sensors
capable of transmitting data from the sensors to the data acquisition
system; or
b.2. ``Composite'' propeller blades or propfans capable of
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
c. ``Technology'' ``required'' for the ``development'' or
``production'' of gas turbine engine components using ``laser'', water
jet, ECM or EDM hole drilling processes to produce holes having any of
the following sets of characteristics:
c.1. All of the following:
c.1.a. Depths more than four times their diameter;
c.1.b. Diameters less than 0.76 mm; and
c.1.c. Incidence angles equal to or less than 25 deg.; or
c.2. All of the following:
c.2.a. Depths more than five times their diameter;
c.2.b. Diameters less than 0.4 mm; and
c.2.c. Incidence angles of more than 25 deg.;
Technical Note: For the purposes of 9E003.c, incidence angle is
measured from a plane tangential to the airfoil surface at the point
where the hole axis enters the airfoil surface.
d. ``Technology'' ``required'' for the ``development'' or
``production'' of helicopter power transfer systems or tilt rotor or
tilt wing ``aircraft'' power transfer systems;
e. ``Technology'' for the ``development'' or ``production'' of
reciprocating diesel engine ground vehicle propulsion systems having
all of the following:
e.1. A box volume of 1.2 m3 or less;
e.2. An overall power output of more than 750 kW based on 80/1269/
EEC, ISO 2534 or national equivalents; and
e.3. A power density of more than 700 kW/m\3\ of box volume;
Technical Note: Box volume: the product of three perpendicular
dimensions measured in the following way:
Length: The length of the crankshaft from front flange to flywheel
face;
Width: The widest of the following:
a. The outside dimension from valve cover to valve cover;
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of the following:
a. The dimension of the crankshaft center-line to the top plane of
the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
f. ``Technology'' ``required'' for the ``production'' of specially
designed components, as follows, for high output diesel engines:
f.1. ``Technology'' ``required'' for the ``production'' of engine
systems having all of the following components employing ceramics
materials controlled by 1C007:
f.1.a Cylinder liners;
f.1.b. Pistons;
f.1.c. Cylinder heads; and
f.1.d. One or more other components (including exhaust ports,
turbochargers, valve guides, valve assemblies or insulated fuel
injectors);
[[Page 478]]
f.2. ``Technology'' ``required'' for the ``production'' of
turbocharger systems, with single-stage compressors having all of the
following:
f.2.a. Operating at pressure ratios of 4:1 or higher;
f.2.b. A mass flow in the range from 30 to 130 kg per minute; and
f.2.c. Variable flow area capability within the compressor or
turbine sections;
f.3. ``Technology'' ``required'' for the ``production'' of fuel
injection systems with a specially designed multifuel (e.g., diesel or
jet fuel) capability covering a viscosity range from diesel fuel (2.5
cSt at 310.8 K (37.8 deg.C)) down to gasoline fuel (0.5 cSt at 310.8 K
(37.8 deg.C)), having both of the following:
f.3.a. Injection amount in excess of 230 mm3 per
injection per cylinder; and
f.3.b. Specially designed electronic control features for switching
governor characteristics automatically depending on fuel property to
provide the same torque characteristics by using the appropriate
sensors;
g. ``Technology'' ``required'' for the development'' or
``production'' of high output diesel engines for solid, gas phase or
liquid film (or combinations thereof) cylinder wall lubrication,
permitting operation to temperatures exceeding 723 K (450 deg.C),
measured on the cylinder wall at the top limit of travel of the top
ring of the piston.
h. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.10 and currently used in the ``development'', ``production'', or
overhaul of hot section parts and components of civil derivatives of
military engines controlled on the U.S. Munitions List.
Dated: December 17, 2001.
James J. Jochum,
Assistant Secretary for Export Administration.
[FR Doc. 02-10 Filed 1-2-02; 8:45 am]
BILLING CODE 3510-33-P
