[Federal Register Volume 85, Number 177 (Friday, September 11, 2020)]
[Rules and Regulations]
[Pages 56294-56335]
[FR Doc No: 2020-16286]

Vol. 85

Friday,

No. 177

September 11, 2020

Part II

Department of Commerce

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Bureau of Industry and Security

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15 CFR Parts 743, 772, and 774

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

Federal Register / Vol. 85, No. 177 / Friday, September 11, 2020 /
Rules and Regulations

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DEPARTMENT OF COMMERCE

Bureau of Industry and Security

15 CFR Parts 743, 772, and 774

[Docket No.<PHONE_NUMBER>]
RIN 0694-AH77

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

AGENCY: Bureau of Industry and Security, Commerce.

ACTION: Final rule.

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

DATES: This rule is effective September 11, 2020.

FOR FURTHER INFORMATION CONTACT: For general questions, contact Sharron
Cook, Office of Exporter Services, Bureau of Industry and Security,
U.S. Department of Commerce at<PHONE_NUMBER> or by email:
<EMAIL_ADDRESS>    For technical questions contact:
    Categories 0, 1 & 2: Joseph Giunta at<PHONE_NUMBER> or
<EMAIL_ADDRESS>    Category 3: Brian Baker at<PHONE_NUMBER> or<EMAIL_ADDRESS>    Categories 4 & 5: Aaron Amundson or Anita Zinzuvadia<PHONE_NUMBER>
or<EMAIL_ADDRESS>or 6e2f00071a0f40340700141b180f0a070f2e0c071d400a010d40090118.
    Category 6 (optics): John Varesi<PHONE_NUMBER> or
<EMAIL_ADDRESS>    Category 6 (lasers and radar): Michael Rithmire<PHONE_NUMBER> or
<EMAIL_ADDRESS>    Category 6 (sensors and cameras): John Varesi<PHONE_NUMBER> or
<EMAIL_ADDRESS>    Categories 7 & 9: Michael Rithmire<PHONE_NUMBER> or Michael Tu 202-
482-6462 or<EMAIL_ADDRESS>or b6fbdfd5ded7d3da98e2c3f6d4dfc598d2d9d598d1d9c0.
    Category 8: Michael Tu 202-6462 or<EMAIL_ADDRESS>    Category 9x515 (Satellites): Michael Tu<PHONE_NUMBER> or
<EMAIL_ADDRESS>    Category ``600 Series'' (Munitions Items): Jeffrey Leitz at 202-
482-7417 or<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Background

    The Wassenaar Arrangement on Export Controls for Conventional Arms
and Dual-Use Goods and Technologies (Wassenaar or WA) (https://www.wassenaar.org) is a group of 42 like-minded Participating States
committed to promoting transparency and greater responsibility in
transfers of conventional arms and dual-use goods and technologies,
thus preventing destabilizing accumulations of those items. As a
Participating State, the United States has committed to controlling for
export all items on the WA Lists. The lists were first established in
1996 and have been revised annually thereafter. Proposals for changes
to the WA Lists that achieve consensus are approved by Participating
States at annual plenary meetings. Participating States are charged
with implementing the list changes as soon as possible after approval.
The United States' implementation of changes to the WA Lists ensures
U.S. companies have a level playing field with competitors in other WA
Participating States.
    By a final rule published on May 23, 2019 (84 FR 23886), BIS
implemented changes decided at the December 2018 Plenary Meeting
concerning five emerging technologies essential to the national
security of the United States, specifically, discrete microwave
transistors, continuity of operation software, post-quantum
cryptography, underwater transducers designed to operate as
hydrophones, and air-launch platforms. The changes in this rule, which
reflect the remaining changes to the WA Lists that were approved at the
December 2018 Plenary meeting, update the corresponding items listed in
the EAR and reflect the most recent changes in technologies and
conditions. Unless explicitly discussed below, the revisions made by
this rule will not impact the number of license applications submitted
to BIS.

Revisions to ECCNs in the Commerce Control List To Implement WA 2018
Plenary Decisions

    Following are lists of the ECCNs in the CCL that are revised or
added by this rule in order to implement the WA 2018 Plenary decisions.
Each change is further described below, by category.
    Revisions to (28) ECCNs: 0A617, 1C001, 2A001, 2B003, 2B006, 3A001,
3A002, 3B001, 3E003, 5E001, 5A002, 5D002, 5E002, 5E992, 6A003, 6A005,
7A002, 7A003, 7A005, 7D003, 7D005, 8A001, 8A002, 8B001, 9A010, 9A610,
9B001, and 9E003.
    License Exception Revisions to ECCNs: 1C004: GBS; 8A001: LVS, STA;
8D001: TSR, STA; 8E001: TSR, STA.
    New ECCNs: 6B002 (masks and reticles for optical sensors specified
in 6A002.a.1.b or 6A002.a.1.d).
    Conforming Changes to Eight ECCNs: 0A606, 1A008, 3A991, 6A002,
6E001, 6E002, 8D001, 8E001.

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

0A606 Ground Vehicles and Related Commodities

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

0A617 Miscellaneous ``Equipment,'' Materials, and Related Commodities

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

Category 1--Special Materials and Related Equipment, Chemicals,
``Microorganisms'', and ``Toxins''

1A004 Protective and Detection Equipment and ``Components,'' not
``Specially Designed'' for Military Use

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

1A008 Charges, Devices and ``Components''

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

1C001 Materials ``Specially Designed'' for Absorbing Electromagnetic
Radiation, or Intrinsically Conductive Polymers

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

ANNEX to Category 1, ``List of Explosives (See ECCNs 1A004 and 1A008)''

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

Category 2--Materials Processing

2A001 Anti-Friction Bearings and Bearing Systems

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

2B003 ``Numerically Controlled'' Machine Tools

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

2B006 Dimensional Inspection or Measuring Systems, Equipment, Position
Feedback Units and ``Electronic Assemblies''

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

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

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

Category 3--Electronics

Product Group A. ``End Items'', ``Equipment'', ``Accessories'',
``Attachments'', ``Parts'', ``Components'', and ``Systems''

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

3A001 Electronic Items

    In the license exception section, under the License Exception GBS
paragraph, this rule replaces the term ``vacuum electronic device
amplifiers'' with ``vacuum electronic devices'' to reflect the correct
name of the devices. This term is also added to part 772 ``Definitions
of Terms Used in the EAR''.
    Note 1 under 3A001.a is removed, because the note has been expanded
and placed as Note 3 at the beginning of Category 3, Product Group A.
Note 2 under 3A001.a is now designated as Note 1.
    The Note under Item paragraph 3A001.a.2.c is amended by adding the
word ``designed'', which narrows the decontrol note to apply only to
integrated circuits of 3A001.a.2 that are designed for civil automobile
or railway train applications.
    The parameters for digital-to-analog converters (DAC) in
3A001.a.5.b are amended by revising 3A001.a.5.b.1 and 3A001.a.5.b.2 to
fix the overlapping controls between the two subparagraphs.
Specifically, ``but less than 12-bit'' is added to Item paragraph
a.5.b.1, ``but not exceeding 3,500 MSPS'' is added to Item paragraph
a.5.b.2, and a new subparagraph a.5.b.2.b is added to read ``An
`adjusted update rate' exceeding 3,500 MSPS.''
    Technical Note 2, located below the introductory text of Item
paragraph .b, is removed because the definition of ``vacuum electronic
devices'' is moved to part 772 ``Definitions of Terms Used in the
EAR''. As a result of this change, all of the single quotes around this
term found in 3A001, 3A991.g, 3E003.g are replaced with double quotes
to indicate it is a defined term located in part 772.

3A002 General Purpose ``Electronic Assemblies'', Modules and Equipment

    Item paragraph a.6.b is amended by replacing the phrase ``A
processor that performs analysis of the radio frequency signal data
while it is being recorded'' with ````Signal processing'' of the radio
frequency signal data while it is being recorded;''. Including the
defined term ``signal processing,'' the definition of which is found in
Part 772, more clearly sets out details of the processing done to the
data.
    Item paragraph 3A002.d.5 ``maximum frequency exceeding 90 GHz'' is
re-designated as Item paragraph 3A002.d.6. New Item paragraph d.5 adds
a control parameter for signal generators having the ability of
frequency switching by means of a `Radio Frequency (RF) modulation
bandwidth' of digital baseband signals within specified frequency
ranges. Three subparagraphs are added (subparagraphs d.5.a through
d.5.c) to specify bandwidth and frequency ranges. Also, a Technical
Note is added to define `RF modulation bandwidth'. Signal generators
meeting any of the parameters in 3A002.d.5 are subject to national
security controls to

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

3A991 Electronic Devices, and ``Components'' Not Controlled by 3A001

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

3B001 Equipment for the Manufacturing of Semiconductor Devices or
Materials

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

3E003 Other ``Technology'' for the ``Development'' or ``Production'' of
Specified Electronics

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

Category 5--Part 1--``Telecommunications''

5E001 ``Technology''

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

Category 5--Part 2--``Information Security''

5A002 ``Information Security'' Systems, Equipment and ``Components''

    The Related Control Note 3 is amended by replacing the term
``Global Navigation Satellite Systems (GNSS)'' with the EAR defined
term ``satellite navigation system,'' which includes Global Navigation
Satellite Systems (GNSS) and Regional Navigation Satellite Systems
(RNSS), see part 772.
    Exclusion Note 2 of 5A002 is amended by adding a new paragraph j.
that lists ``items specially designed for a `connected civil industry
application'''. Paragraph j. also includes 2 Technical Notes that
define `connected civil industry application' and `non-arbitrary data'.
    Paragraph 5A002.b is amended by replacing the existing text with
``Being a `cryptographic activation token', i.e., ``information
security'' systems, equipment and ``components,'' that are
`cryptographic activation tokens' are controlled. A Technical Note is
included to explain more about converting by means of ``cryptographic
activation'' and enabling by means of ``cryptographic activation''.

5D002 ``Software''

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

5E002 ``Technology''

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

Category 6--Sensors and Lasers

6A002 Optical Sensors and Equipment, and ``Components'' Therefor

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

6A003 Cameras, Systems or Equipment, and ``Components'' Therefor

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

6A005 ``Lasers,'' ``Components'' and Optical Equipment

    The terms `single transverse mode' and `multiple transverse mode'
are not defined in 6A005, but are used to distinguish between
parameters for control. This rule adds Note 6 to 6A005 to define these
terms using easily identifiable and measurable characteristics of
lasers in order for the laser controls to be applied consistently.
Therefore, single quotes are added around each of these terms
throughout 6A005 to indicate these terms are defined within a Note in
6A005.
    Paragraph 6A005.a.6.a is amended by adding a spectral bandwidth
parameter for the control of single transverse mode non-tunable
continuous wave lasers. This change is being made because the simplest
way to characterize scalability of a laser is to specify the laser
linewidth, which is essentially a measure of the spectral purity of the
laser.
    Paragraph 6A005.a.6.b.1 is amended by raising the output power from
500 W to 1000 W because the market for these single-mode lasers has
matured substantially in recent years, resulting in increased demand
for higher power and beam quality. Also, the lasers with lower power
and beam quality have become more available in countries outside the WA
membership.
    Exclusion Note 2 to 6A005.a.6.b is amended by removing and
reserving paragraph a., which stated ``having to do with output power
exceeding 500 W but not exceeding 1 kW and all of the following: Beam
Parameter Product (BPP) exceeding 0.7 mmmrad.'' The
associated Technical Note to paragraph a. is also removed. In addition,
paragraph e. of the Note is amended by raising the upper limit of the
output power range from 4 kW to 6 kW, in order to narrow the controls
of solid state lasers to the performance of lasers that are available
from outside the WA countries. Paragraphs f. and g. of the Note are
removed and reserved because of technological advancement of multiple
transverse mode industrial lasers.

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

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

6A002.a.1.b or 6A002.a.1.d because the inferred design of these masks
and reticles would allow the reproduction and/or the retro-engineering
of such circuits. ECCN 6B002 items require a license for national
security reasons for all countries that have an ``X'' under NS Column 2
and for anti-terrorism reasons for all countries that have an ``X''
under AT Column 1 on the Commerce Country Chart in supplement no. 1 to
part 738. Adding masks and reticles to ECCN 6B002 will ensure they are
controlled to these sensitive destinations.
    As indicated under the list-based license exception section of ECCN
6B002, these items are eligible for license exceptions LVS ($5000), and
GBS, so long as all the criteria of these license exceptions are met
and none of the restrictions of Sec.  740.2 apply. Other license
exceptions, e.g., RPL, GOV, and STA, may be available depending on the
transaction details and eligibility criteria of the license exceptions
in part 740.

6E001 and 6E002 ``Technology''

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

Category 7--Navigation and Avionics

7A002 Gyros or Angular Rate Sensors

    ECCN 7A002 is being amended by removing the parenthetical phrase
(see list of items controlled) in the Heading because the list of items
controlled section of the ECCN contains a list of characteristics
instead of a list of items.
    Paragraphs 7A002.a.1 and a.2 are amended by replacing ``A rate
range'' with ``An angular rate range'' in order to more accurately
describe the parameter that applies to the change rate of angle.

7A003 `Inertial Measurement Equipment or Systems'

    ECCN 7A003 is amended by removing the parenthetical phrase (see
list of items controlled) in the Heading because the list of items
controlled section of the ECCN contains a list of characteristics
instead of a list of items.
    Paragraph a. of the Technical Note at the beginning of the Items
paragraph is amended by replacing ``Global Navigation Satellite Systems
(GNSS)'' with ``satellite navigation system'' in order to clarify that
the control applies to all satellite navigation systems, not just those
that have global coverage. The term ``satellite navigation system'' is
added to Sec.  772.1, thus the term is in double quotes.

7A005 ``Satellite Navigation System'' Receiving Equipment

    ECCN 7A005 is amended by removing the parenthetical phrase (see
list of items controlled) in the Heading, because the list of items
controlled section of the ECCN contains a list of characteristics
instead of a list of items.
    The Heading, Related Controls, and the Note below Item paragraph
7A005.b are amended by replacing the term ``Global Navigation Satellite
Systems (GNSS)'' with the newly defined term ``satellite navigation
system'' for reasons stated in the explanation under ECCN 7A003 above.

7D003 Other ``Software''

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

7D005 ``Software'' ``Specially Designed'' to Decrypt ``Satellite
Navigation System'' Ranging Signals Designed for Government Use

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

Category 8--Marine

8A001 Submersible Vehicles and Surface Vessels

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

8A002 Marine Systems, Equipment, ``Parts'' and ``Components''

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

8B001 Water Tunnels

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

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

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

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

Category 9--Aerospace and Propulsion

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

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

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

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

9B001 Manufacturing Equipment, Tooling or Fixtures

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

9E003 Other ``Technology''

    Paragraph 9E003.a.7 (gas turbine engine ``parts'' or ``components''
using ``diffusion bonding'' ``technology'' controlled by 2D003.b) is
removed and reserved, because it is redundant to other controls for
such parts and components. Paragraph 9E003.a.7 is not necessary for
several reasons. First, diffusion bonding is a subset of solid-state
joining. Second, 9E003.a.6 presently controls diffusion bonding and
other solid-state joining techniques when applied to the components of
concern, i.e., airfoil-to-disk blade combinations. Third, 9E003.a.1-5
also presently controls ``development'' and ``production''
``technology'' for components of concern, regardless of construction
method. Fourth, ECCN 1B003 covers the control of tools, dies, molds or
fixtures for diffusion bonding of specified alloys in aircraft/
aerospace applications, and ECCN 1E001 controls the ``technology''
``required'' for the ``development'' or ``production'' of items
controlled by ECCN 1B003. All of these other controls cover what was
already controlled in paragraph 9E003.a.7, and therefore to end this
redundancy, this paragraph is being removed.

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

    The definition of ``cryptography'' is amended by adding Note 2 to
alert the public that ``cryptography'' includes decryption.
    The definition of ``radiant sensitivity'' is amended by adding a
period to the end of the definition.
    The definition of ``satellite navigation system'' is added to Sec.
772.1 in order to clarify that the term applies to all satellite
navigation systems, not just those that have global coverage.
    The definition of ``stability'' is amended by revising the Note to
the definition to add accelerometers. The term ``stability'' is used in
ECCN 7A001 (accelerometers), specifically in 7A001.a.1.a and a.1.b.
    The definition of ``vacuum electronic devices'' is added to Sec.
772.1. The term was defined in Technical Note 2 under 3A001.b, however,
because it is used in two separate ECCNs 3A001.b.1 and 3E003, the
definition is removed from 3A001 and added (unchanged) to Sec.  772.1.

Supplement No. 6 to Part 774 ``Sensitive List''

    Paragraph (3) is amended by re-designating paragraphs (3)(i)
through (iii) as paragraphs (3)(iii) through (v) and adding new
paragraph (3)(i) 3A001.b.2--``Monolithic Microwave Integrated Circuit''
(``MMIC'') amplifiers and new paragraph (3)(ii) 3A001.b.3--Discrete
microwave transistors, because these items warrant higher levels of
control and monitoring. New paragraphs (iv) 3D001and (v) 3E001 are
amended by adding reference to 3A001.b.2 and 3A001.b.3. Items on the
Sensitive List tend to be ineligible for license exceptions by WA
Participating States or are subject to reporting requirements.
    Paragraph (6)(xiii) is amended by merging Note 7 and Note 8.
Therefore, Note 8 is removed.
    Paragraphs (8)(i) ``8A001.b'' and introductory paragraphs (ii)
``8A002.b'', (vi) ``8D001'' and (viii) ``8E001'' are amended by
replacing ``8A001.b to .d'' with ``8A001.b. to .c'' because the Item
paragraph specifying unmanned submersible vehicles is moved from
8A001.d to 8A001.c.1.

Supplement No. 7 to Part 774--Very Sensitive List

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

Other National Security Revisions

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

Export Control Reform Act of 2018

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

Saving Clause

    Shipments of items removed from license exception eligibility or
eligibility for export, reexport or transfer (in-country) without a
license as a result of this regulatory action that were on dock for
loading, on lighter, laden aboard an exporting carrier, or en route
aboard a carrier to a port of export, on September 11, 2020, pursuant
to actual orders for exports, reexports and transfers (in-country) to a
foreign destination, may proceed to that destination under the previous
license exception eligibility or without a license so long as they have
been exported, reexported or transferred (in-country) before November
10, 2020. Any such items not actually exported, reexported or
transferred (in-country) before midnight, on November 10, 2020, require
a license in accordance with this final rule.

Executive Order Requirements

    Executive Orders 13563 and 12866 direct agencies to assess all
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits (including potential economic, environmental, public
health and safety effects, distributive impacts, and equity). Executive
Order 13563 emphasizes the importance of quantifying both costs and
benefits, of reducing costs, of harmonizing rules, and of promoting
flexibility.
    This rule has been designated a ``significant regulatory action''
under Executive Order 12866. The Wassenaar Arrangement (WA) has been
established in order to contribute to regional and international
security and stability, by promoting transparency and greater
responsibility in transfers of conventional arms and dual-use goods and
technologies, thus preventing destabilizing accumulations. The aim is
also to prevent the acquisition of these items by terrorists. There are
presently 42 Participating States, including the United States, that
seek through their national policies to ensure that transfers

of these items do not contribute to the development or enhancement of
military capabilities that undermine these goals, and to ensure that
these items are not diverted to support such military capabilities that
undermine these goals. Implementation of the WA consensus decisions in
a timely manner enhances the national security of the United States and
global international trade.
    This rule does not contain policies with Federalism implications as
that term is defined under Executive Order 13132.
    This rule is not subject to the requirements of E.O. 13771 (82 FR
9339, February 3, 2017) because it is issued with respect to a national
security function of the United States.

Paperwork Reduction Act Requirements

    Notwithstanding any other provision of law, no person is required
to respond to, nor shall any person be subject to a penalty for failure
to comply with a collection of information subject to the requirements
of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (PRA),
unless that collection of information displays a currently valid Office
of Management and Budget (OMB) Control Number.
    This rule involves the following OMB approved collections of
information subject to the PRA: 0694-0088, ``Multi-Purpose
Application'', which carries a burden hour estimate of 29.6 minutes for
a manual or electronic submission; 0694-0106, ``Reporting and
Recordkeeping Requirements under the Wassenaar Arrangement,'' which
carries a burden hour estimate of 21 minutes for a manual or electronic
submission; 0694-0096 ``Five Year Records Retention Period,'' which
carries a burden hour estimate of less than 1 minute; and 0607-0152
``Automated Export System (AES) Program, which carries a burden hour
estimate of 3 minutes per electronic submission. Specific license
application submission estimates are discussed further in the preamble
of this rule where the revision is explained. BIS estimates that
revisions that are editorial, moving the location of control text on
the Commerce Control List, or clarifications will result in no change
in license application submissions. This rule revises Section 743.3
``Thermal Imaging Reporting Requirements'' by narrowing the reporting
requirement, which carried a burden hour estimate of 60 minutes per
submission and 60 submissions per year under collection 0694-0137
``License Exceptions and Exclusions.'' Because collection 0694-0137
applies to a group of collections with a burden hour estimate average
based upon the burden hours and responses for a large total number of
collections, the current burden hour estimate average for collection
0694-0137 is not affected by this rule's revision of the Section 743.3
``Thermal Imaging Reporting Requirements,'' and therefore remains at
1.5 hours per submission.
    Any comments regarding these collections of information, including
suggestions for reducing the burden, may be sent to OMB Desk Officer,
New Executive Office Building, Washington, DC 20503; and to Jasmeet K.
Seehra, Office of Management and Budget (OMB), by email to
<EMAIL_ADDRESS>or by fax to<PHONE_NUMBER>.

Administrative Procedure Act and Regulatory Flexibility Act
Requirements

    Pursuant to Section 4821 of ECRA, this action is exempt from the
Administrative Procedure Act (5 U.S.C. 553) requirements for notice of
proposed rulemaking, opportunity for public participation and delay in
effective date.
    Further, no other law requires that a notice of proposed rulemaking
and an opportunity for public comment be given for this final rule.
Because a notice of proposed rulemaking and an opportunity for public
comment are not required to be given for this rule under the
Administrative Procedure Act or by any other law, the analytical
requirements of the Regulatory Flexibility Act (5 U.S.C. 601 et seq.)
are not applicable. Accordingly, no regulatory flexibility analysis is
required, and none has been prepared.

List of Subjects

15 CFR Part 743

    Administrative practice and procedure, Reporting and recordkeeping
requirements.

15 CFR Part 772

    Exports.

15 CFR Part 774

    Exports, Reporting and recordkeeping requirements.

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

PART 743--[AMENDED]

0
1. The authority citation for part 743 is revised to read as follows:

    Authority: 50 U.S.C. 4801 et seq.; 50 U.S.C. 1701 et seq.; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13637, 78 FR
16129, 3 CFR, 2014 Comp., p. 223; 78 FR 16129; Notice of May 7,
2020, 85 FR 27639.

0
2. Section 743.3 is amended by revising paragraph (b) to read as
follows:

Sec.  743.3  Thermal imaging camera reporting.

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

PART 772--[AMENDED]

0
3. The authority citation for part 772 is continues to read as follows:

    Authority: 50 U.S.C. 4801 et seq.; 50 U.S.C. 1701 et seq.; E.O.
13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.

0
4. Section 772.1 is amended by:
0
a. Revising the definitions of ``cryptography'' and ``radiant
sensitivity'';
0
b. Adding a definition for ``satellite navigation system'' in
alphabetical order;
0
c. Revising the definition of ``stability''; and
0
d. Adding a definition for ``vacuum electronic devices'' in
alphabetical order.
    The revisions and additions read as follows:

Sec.  772.1  Definitions of terms as used in the Export Administration
Regulations (EAR).

* * * * *
    Cryptography (Cat 5P2)--The discipline that embodies principles,
means and methods for the transformation of data in order to hide its
information content, prevent its undetected modification or prevent its
unauthorized use. ``Cryptography'' is limited to the transformation of
information using one or more `secret parameters' (e.g., crypto
variables) and/or associated key management.
    Notes:
    1. ``Cryptography'' does not include `fixed' data compression or
coding techniques.
    2. ``Cryptography'' includes decryption.
    Technical Notes:
    1. `Secret parameter': A constant or key kept from the knowledge of
others or shared only within a group.
    2. `Fixed': The coding or compression algorithm cannot accept
externally

supplied parameters (e.g., cryptographic or key variables) and cannot
be modified by the user.
* * * * *
    Radiant sensitivity (Cat 6)--Radiant sensitivity (mA/W) = 0.807 x
(wavelength in nm) x `Quantum Efficiency (QE)'.

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

* * * * *
    Satellite navigation system (Cat 5P2, 7)--A system consisting of
ground stations, a constellation of satellites, and receivers, that
enables receiver locations to be calculated on the basis of signals
received from the satellites. It includes Global Navigation Satellite
Systems (GNSS) and Regional Navigation Satellite Systems (RNSS).
* * * * *
    Stability (Cat 7) Standard deviation (1 sigma) of the variation of
a particular parameter from its calibrated value measured under stable
temperature conditions. This can be expressed as a function of time.

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

* * * * *
    Vacuum electronic devices (Cat 3) Electronic devices based on the
interaction of an electron beam with an electromagnetic wave
propagating in a vacuum circuit or interacting with radio-frequency
vacuum cavity resonators. ``Vacuum electronic devices'' include
klystrons, travelling-wave tubes, and their derivatives.
* * * * *

PART 774--[AMENDED]

0
5. The authority citation for part 774 continues to read as follows:

    Authority: 50 U.S.C. 4801 et seq.; 10 U.S.C. 7420; 10 U.S.C.
7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42
U.S.C. 2139a; 15 U.S.C. 1824a; 50 U.S.C. 4305; 22 U.S.C. 7201 et
seq.; 22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p.
228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783.

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

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

* * * * *
0A606 Ground Vehicles and Related Commodities, as Follows (See List
of Items Controlled).

License Requirements

Reason for Control: NS, RS, AT, UN

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

NS applies to entire entry, except 0A606.b  NS Column 1
 and .y.
NS applies to 0A606.b.....................  NS Column 2
RS applies to entire entry, except 0A606.b  RS Column 1
 and .y.
RS applies to 0A606.b.....................  RS Column 2
RS applies to 0A606.y.....................  China, Russia, or Venezuela
                                             (see Sec.   742.6(a)(7))
AT applies to entire entry................  AT Column 1
UN applies to entire entry, except 0A606.y  See Sec.   746.1(b)
                                            for UN controls

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

LVS: $1,500
GBS: N/A

Special Conditions for STA

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

List of Items Controlled

Related Controls: (1) The ground vehicles, other articles, technical
data (including software) and services described in 22 CFR part 121,
Category VII are subject to the jurisdiction of the International
Traffic in Arms Regulations. (2) See ECCN 0A919 for foreign-made
``military commodities'' that incorporate more than a de minimis
amount of U.S.-origin ``600 series'' controlled content.

Related Definitions: N/A
Items:

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

    Note 1 to paragraph .a: For purposes of paragraph .a, ``ground
vehicles'' include (i) tanks and armored vehicles manufactured prior
to 1956 that have not been modified since 1955 and that do not
contain a functional weapon or a weapon capable of becoming
functional through repair; (ii) military railway trains except those
that are armed or are ``specially designed'' to launch missiles;
(iii) unarmored military recovery and other support vehicles; (iv)
unarmored, unarmed vehicles with mounts or hard points for firearms
of .50 caliber or less; and (v) trailers ``specially designed'' for
use with other ground vehicles enumerated in USML Category VII or
ECCN 0A606.a, and not separately enumerated or otherwise described
in USML Category VII. For purposes of this note, the term
``modified'' does not include incorporation of safety features
required by law, cosmetic changes (e.g., different paint or
repositioning of bolt holes) or addition of ``parts'' or
``components'' available prior to 1956.

    Note 2 to paragraph .a: A ground vehicle's being ``specially
designed'' for military use for purposes of determining controls
under paragraph .a. entails a structural, electrical or mechanical
feature involving one or more ``components'' that are ``specially
designed'' for military use. Such ``components'' include:
    a. Pneumatic tire casings of a kind ``specially designed'' to be
bullet-proof;
    b. Armored protection of vital ``parts'' (e.g., fuel tanks or
vehicle cabs);
    c. Special reinforcements or mountings for weapons;
    d. Black-out lighting.

    b. Other ground vehicles, ``parts'' and ``components,'' as
follows:
    b.1. Unarmed vehicles that are derived from civilian vehicles
and that have all of the following:
    b.1.a. Manufactured or fitted with materials or ``components''
other than reactive or electromagnetic armor to provide ballistic
protection to level III (National Institute of Justice standard
0108.01, September 1985) or better;
    b.1.b. A transmission to provide drive to both front and rear
wheels simultaneously, including those vehicles having additional
wheels for load bearing purposes whether driven or not;
    b.1.c. Gross vehicle weight rating (GVWR) greater than 4,500 kg;
and
    b.1.d. Designed or modified for off-road use.
    b.2. ``Parts'' and ``components'' having all of the following:
    b.2.a. ``Specially designed'' for vehicles specified in
paragraph .b.1 of this entry; and
    b.2.b. Providing ballistic protection to level III (National
Institute of Justice standard 0108.01, September 1985) or better.

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

    Note 2 to paragraph b: ECCN 0A606.b.1 does not control civilian
vehicles ``specially designed'' for transporting money or valuables.

    Note 3 to paragraph b: ``Unarmed'' means not having installed
weapons, installed mountings for weapons, or special reinforcements
for mounts for weapons.

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

    d. Fully automatic continuously variable transmissions for
tracked combat vehicles.
    e. Deep water fording kits ``specially designed'' for ground
vehicles controlled by ECCN 0A606.a or USML Category VII.
    f. Self-launching bridge ``components'' not enumerated in USML
Category VII(g) ``specially designed'' for deployment by ground
vehicles enumerated in USML Category VII or this ECCN.
    g. through w. [Reserved]
    x. ``Parts,'' ``components,'' ``accessories,'' and
``attachments'' that are ``specially designed'' for a commodity
enumerated or otherwise described in ECCN 0A606 (other than 0A606.b
or 0A606.y) or a defense article enumerated in USML Category VII and
not elsewhere specified on the USML or in 0A606.y.

    Note 1:  Forgings, castings, and other unfinished products, such
as extrusions and machined bodies, that have reached a stage in
manufacture where they are clearly identifiable by mechanical
properties, material composition, geometry, or function as
commodities controlled by ECCN 0A606.x are controlled by ECCN
0A606.x.

    Note 2:  ``Parts,'' ``components,'' ``accessories'' and
``attachments'' enumerated in USML paragraph VII(g) are subject to
the controls of that paragraph. ``Parts,'' ``components,''
``accessories'' and ``attachments'' described in ECCN 0A606.y are
subject to the controls of that paragraph.

    y. Specific ``parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' for a commodity enumerated or
otherwise described in this ECCN (other than ECCN 0A606.b) or for a
defense article in USML Category VII and not elsewhere specified on
the USML or the CCL, as follows, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed''
therefor:
    y.1. Brake discs, rotors, drums, calipers, cylinders, pads,
shoes, lines, hoses, vacuum boosters, and parts therefor;
    y.2. Alternators and generators;
    y.3. Axles;
    y.4. Batteries;
    y.5. Bearings (e.g., ball, roller, wheel);
    y.6. Cables, cable assembles, and connectors;
    y.7. Cooling system hoses;
    y.8. Hydraulic, fuel, oil, and air filters, not controlled by
ECCN 1A004;
    y.9. Gaskets and o-rings;
    y.10. Hydraulic system hoses, fittings, couplings, adapters, and
valves;
    y.11. Latches and hinges;
    y.12. Lighting systems, fuses, and ``components;''
    y.13. Pneumatic hoses, fittings, adapters, couplings, and
valves;
    y.14. Seats, seat assemblies, seat supports, and harnesses;
    y.15 Tires, except run flat; and
    y.16 Windows, except those for armored vehicles.

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

0A617 Miscellaneous ``Equipment,'' Materials, and Related
Commodities (See List of Items Controlled).

License Requirements

Reason for Control: NS, RS, AT, UN

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

NS applies to entire entry, except 0A617.y  NS Column 1
RS applies to entire entry, except 0A617.y  RS Column 1
RS applies to 0A617.y.....................  China, Russia, or Venezuela
                                             (see Sec.   742.6(a)(7))
AT applies to entire entry................  AT Column 1
UN applies to entire......................  See Sec.   764.1(b) for UN
entry, except 0A617.y.....................   controls

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

LVS: $1500
GBS: N/A

Special Conditions for STA

STA: Paragraph (c)(2) of License Exception STA (Sec.  740.20(c)(2)
of the EAR) may not be used for any item in 0A617.

List of Items Controlled

Related Controls: (1) Defense articles, such as materials made from
classified information, that are controlled by USML Category XIII,
and technical data (including software) directly related thereto,
are subject to the ITAR. (2) See ECCN 0A919 for foreign-made
``military commodities'' that incorporate more than a de minimis
amount of U.S.-origin ``600 series'' controlled content. (3) For
controls on self-contained diving and underwater swimming apparatus
and related commodities, see ECCN 8A620.f. (4) For controls on
robots, robot controllers, and robot end-effectors, see USML
Category VII and ECCNs 0A606 and 2B007. (5) ``Libraries,'' i.e.,
parametric technical databases, ``specially designed'' for military
use with equipment controlled by the USML or a ``600 series'' ECCN
are controlled by the technical data and technology controls
pertaining to such items. (6) For controls on nuclear power
generating equipment or propulsion equipment, including ``nuclear
reactors,'' ``specially designed'' for military use, and ``parts''
and ``components'' ``specially designed'' therefor, see USML
Categories VI, XIII, XV, and XX. (7) Simulators ``specially
designed'' for military ``nuclear reactors'' are controlled by USML
Category IX(b). (8) See USML Categories X, XI and XII for ``laser''
protection equipment (e.g., eye and sensor protection) ``specially
designed'' for military use. (9) ``Fuel cells'' ``specially
designed'' for a defense article on the USML or a commodity
controlled by a ``600 series'' ECCN are controlled according to the
corresponding ``600 series'' ECCN for such end items. (10) See USML
Category XV for controls on fuel cells ``specially designed'' for
satellite or spacecraft.
Related Definitions: N/A
Items:

    a. [Reserved]
    b. Concealment and deception equipment ``specially designed''
for military application, including special paints, decoys, smoke or
obscuration equipment and simulators, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed''
therefor, not controlled by USML Category XIII.
    c. Ferries, bridges not described in ECCN 0A606 or USML Category
VII, and pontoons, ``specially designed'' for military use.
    d. Test models ``specially designed'' for the ``development'' of
defense articles controlled by USML Categories IV, VI, VII and VIII.
    e. [Reserved]
    f. ``Metal embrittlement agents.''
    g. through x. [Reserved]
    y. Other commodities as follows, and ``parts,'' ``components,''
``accessories,'' and ``attachments'' ``specially designed''
therefore:
    y.1. Construction equipment ``specially designed'' for military
use, including such equipment ``specially designed'' for transport
in aircraft controlled by USML VIII(a) or ECCN 9A610.a.
    y.2. ``Parts,'' ``components,'' ``accessories,'' and
``attachments'' ``specially designed'' for commodities in paragraph
.y.1 of this entry, including crew protection kits used as
protective cabs.
    y.3. ISO intermodal containers or demountable vehicle bodies
(i.e., swap bodies), n.e.s., ``specially designed'' or `modified'
for shipping or packing defense articles or items controlled by a
``600 series'' ECCN.

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

    y.4. Field generators ``specially designed'' for military use.
    y.5. Power controlled searchlights and control units therefor,
``specially designed'' for military use, and ``equipment'' mounting
such units.

0
8. In Supplement No. 1 to part 774, Category 1, ECCN 1A004 is revised
to read as follow:

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

License Requirements

Reason for Control: NS, CB, RS, AT

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

NS applies to entire entry................  NS Column 2
CB applies to chemical detection systems    CB Column 2
 and dedicated detectors therefor, in
 1A004.c, that also have the technical
 characteristic.
RS apply to 1A004.d.......................  RS Column 2

AT applies to entire entry................  AT Column 1

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

LVS: N/A

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

List of Items Controlled

Related Controls: (1) See ECCNs 1A995, 2B351, and 2B352. (2) See
ECCN 1D003 for ``software'' ``specially designed'' or modified to
enable equipment to perform the functions of equipment controlled
under section 1A004.c (Nuclear, biological and chemical (NBC)
detection systems). (3) See ECCN 1E002.g for control libraries
(parametric technical databases) ``specially designed'' or modified
to enable equipment to perform the functions of equipment controlled
under 1A004.c (Nuclear, biological and chemical (NBC) detection
systems). (4) Chemical and biological protective and detection
equipment specifically designed, developed, modified, configured, or
adapted for military applications is ``subject to the ITAR'' (see 22
CFR parts 120 through 130, including USML Category XIV(f)), as is
commercial equipment that incorporates ``parts'' or ``components''
controlled under that category except for domestic preparedness
devices for individual protection that integrate ``components'' and
``parts'' identified in USML Category XIV(f)(4) when such ``parts''
or ``components'' are: (1) Integral to the device; (2) inseparable
from the device; and (3) incapable of replacement without
compromising the effectiveness of the device, in which case the
equipment is subject to the export licensing jurisdiction of the
Department of Commerce under ECCN 1A004. (5) This entry does not
control radionuclides incorporated in equipment listed in this
entry--such materials are subject to the licensing jurisdiction of
the Nuclear Regulatory Commission (See 10 CFR part 110).
Related Definitions: (1) `Biological agents' means: Pathogens or
toxins, selected or modified (such as altering purity, shelf life,
virulence, dissemination characteristics, or resistance to UV
radiation) to produce casualties in humans or animals, degrade
equipment or damage crops or the environment. (2) `Riot control
agents' are substances which, under the expected conditions of use
for riot control purposes, produce rapidly in humans sensory
irritation or disabling physical effects which disappear within a
short time following termination of exposure. (Tear gases are a
subset of `riot control agents.')
Items:

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

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

    Technical Notes:  For the purpose of 1A004.a:
    1. Full face masks are also known as gas masks.
    2. Filter canisters include filter cartridges.

    a.1. `Biological agents';
    a.2. `Radioactive materials;'
    a.3. Chemical warfare (CW) agents; or
    a.4. `Riot control agents', as follows:
    a.4.a. [alpha]-Bromobenzeneacetonitrile, (Bromobenzyl cyanide)
(CA) (CAS 5798-79-8);
    a.4.b. [(2-chlorophenyl) methylene] propanedinitrile, (o-
Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);
    a.4.c. 2-Chloro-1-phenylethanone, Phenylacyl chloride ([omega]-
chloroacetophenone) (CN) (CAS 532-27-4);
    a.4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);
    a.4.e. 10-Chloro-5, 10-dihydrophenarsazine, (Phenarsazine
chloride), (Adamsite), (DM) (CAS 578-94-9);
    a.4.f. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
    b. Protective suits, gloves and shoes, ``specially designed'' or
modified for defense against any of the following:
    b.1. `Biological agents';
    b.2. `Radioactive materials;' or
    b.3. Chemical warfare (CW) agents;
    c. Detection systems, ``specially designed'' or modified for
detection or identification of any of the following, and ``specially
designed'' ``components'' therefor:
    c.1. `Biological agents';
    c.2. `Radioactive materials;' or
    c.3. Chemical warfare (CW) agents;
    d. Electronic equipment designed for automatically detecting or
identifying the presence of ``explosives'' (as listed in the annex
at the end of Category 1) residues and utilizing `trace detection'
techniques (e.g., surface acoustic wave, ion mobility spectrometry,
differential mobility spectrometry, mass spectrometry).

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

    Note 1:  1A004.d does not apply to equipment ``specially
designed'' for laboratory use.

    Note 2:  1A004.d does not apply to non-contact walk-through
security portals.

    Note:  1A004 does not control:
    a. Personal radiation monitoring dosimeters;
    b. Occupational health or safety equipment limited by design or
function to protect against hazards specific to residential safety
or civil industries, including:
    1. Mining;
    2. Quarrying;
    3. Agriculture;
    4. Pharmaceutical;
    5. Medical;
    6. Veterinary;
    7. Environmental;
    8. Waste management;
    9. Food industry.

    Technical Notes:

    1. 1A004 includes equipment, ``components'' that have been
`identified,' successfully tested to national standards or otherwise
proven effective, for the detection of or defense against
`radioactive materials' `biological agents,' chemical warfare
agents, `simulants' or ``riot control agents,'' even if such
equipment or ``components'' are used in civil industries such as
mining, quarrying, agriculture, pharmaceuticals, medical,
veterinary, environmental, waste management, or the food industry.
    2. `Simulant': A substance or material that is used in place of
toxic agent (chemical or biological) in training, research, testing
or evaluation.
    3. For the purposes of 1A004, `radioactive materials' are those
selected or modified to increase their effectiveness in producing
casualties in humans or animals, degrading equipment or damaging
crops or the environment.

0
9. In Supplement No. 1 to part 774, Category 1, ECCN 1A008 is revised
to read as follow:

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

License Requirements

Reason for Control: NS, UN, AT

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

NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1
UN applies to entire entry................  See Sec.   746.1(b) for UN
                                             controls

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

LVS: $3,000 for .a through .c; $6,000 for .d.
GBS: N/A

List of Items Controlled

Related Controls: (1) All of the following are ``subject to the
ITAR'' (see 22 CFR parts 120 through 130):

    a. High explosives and related equipment ``specially designed''
for military use;
    b. Explosive devices or charges in this entry that utilize USML
controlled energetic materials (See 22 CFR 121.1 Category V), if
they have been specifically designed, developed, configured,
adapted, or modified for a military application;
    c. Shaped charges that have all of the following a uniform
shaped conical liner with an included angle of 90 degrees or less,
more than 2.0 kg of controlled materials, and a diameter exceeding
4.5 inches;
    d. Detonating cord containing greater than 0.1 kg per meter (470
grains per foot) of controlled materials;
    e. Cutters and severing tools containing greater than 10 kg of
controlled materials;
    f. With the exception of cutters and severing tools, devices or
charges controlled by this entry where the USML controlled materials
can be easily extracted without destroying the device or charge; and

    g. Individual USML controlled energetic materials in this entry,
even when compounded with other materials, when not incorporated
into explosive devices or charges controlled by this entry or 1C992.
    (2) See also ECCNs 1C011, 1C018, 1C111, 1C239, and 1C608 for
additional controlled energetic materials. See ECCN 1E001 for the
``development'' or ``production'' ``technology'' for the commodities
controlled by ECCN 1A008, but not for explosives or commodities that
are ``subject to the ITAR'' (see 22 CFR parts 120 through 130).

Related Definitions: N/A
Items:

    a. `Shaped charges' having all of the following:
    a.1. Net Explosive Quantity (NEQ) greater than 90 g; and
    a.2. Outer casing diameter equal to or greater than 75 mm;
    b. Linear shaped cutting charges having all of the following,
and ``specially designed'' ``components'' therefor:
    b.1. An explosive load greater than 40 g/m; and
    b.2. A width of 10 mm or more;
    c. Detonating cord with explosive core load greater than 64 g/m;
    d. Cutters, not specified by 1A008.b, and severing tools, having
a NEQ greater than 3.5 kg.

    Technical Note: `Shaped charges' are explosive charges shaped to
focus the effects of the explosive blast.

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

0
10. In Supplement No. 1 to part 774, Category 1, ECCN 1C001 is revised
to read as follow:

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

License Requirements

Reason for Control: NS, MT, AT

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

NS applies to entire entry................  NS Column 1
MT applies to entire entry................  MT Column 1
AT applies to entire entry................  AT Column 1

Reporting Requirements

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

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

LVS: N/A
GBS: N/A

Special Conditions for STA

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

List of Items Controlled

Related Controls: See also 1C101
Related Definitions: N/A
Items:

    a. Materials for absorbing frequencies exceeding 2 x 10\8\ Hz
but less than 3 x 10\12\ Hz.

    Note 1:  1C001.a does not control:
    a. Hair type absorbers, constructed of natural or synthetic
fibers, with non-magnetic loading to provide absorption;
    b. Absorbers having no magnetic loss and whose incident surface
is non-planar in shape, including pyramids, cones, wedges and
convoluted surfaces;
    c. Planar absorbers, having all of the following:
    1. Made from any of the following:
    a. Plastic foam materials (flexible or non-flexible) with
carbon-loading, or organic materials, including binders, providing
more than 5% echo compared with metal over a bandwidth exceeding
15% of the center frequency of the incident
energy, and not capable of withstanding temperatures exceeding 450 K
(177 [deg]C); or
    b. Ceramic materials providing more than 20% echo compared with
metal over a bandwidth exceeding 15% of the
center frequency of the incident energy, and not capable of
withstanding temperatures exceeding 800 K (527 [deg]C);

    Technical Note:  Absorption test samples for 1C001.a. Note 1.c.1
should be a square at least 5 wavelengths of the center frequency on
a side and positioned in the far field of the radiating element.
    2. Tensile strength less than 7 x 106 N/m2; and
    3. Compressive strength less than 14 x 106 N/m2;
    d. Planar absorbers made of sintered ferrite, having all of the
following:
    1. A specific gravity exceeding 4.4; and
    2. A maximum operating temperature of 548 K (275 [deg]C);
    e. Planar absorbers having no magnetic loss and fabricated from
`open-cell foams' plastic material with a density of 0.15 grams/cm3
or less.

    Technical Note:  `Open-cell foams' are flexible and porous
materials, having an inner structure open to the atmosphere. `Open-
cell foams' are also known as reticulated foams.

    Note 2:  Nothing in Note 1 releases magnetic materials to
provide absorption when contained in paint.

    b. Materials not transparent to visible light and specially
designed for absorbing near-infrared radiation having a wavelength
exceeding 810 nm but less than 2,000 nm (frequencies exceeding 150
THz but less than 370 THz);

    Note:  1C001.b does not apply to materials, ``specially
designed'' or formulated for any of the following applications:
    a. ``Laser'' marking of polymers; or
    b. ``Laser'' welding of polymers.

    c. Intrinsically conductive polymeric materials with a `bulk
electrical conductivity' exceeding 10,000 S/m (Siemens per meter) or
a `sheet (surface) resistivity' of less than 100 ohms/square, based
on any of the following polymers:
    c.1. Polyaniline;
    c.2. Polypyrrole;
    c.3. Polythiophene;
    c.4. Poly phenylene-vinylene; or
    c.5. Poly thienylene-vinylene.

    Note:  1C001.c does not apply to materials in a liquid form.

    Technical Note:  `Bulk electrical conductivity' and `sheet
(surface) resistivity' should be determined using ASTM D-257 or
national equivalents.

0
11. In Supplement No. 1 to part 774, ``ANNEX to Category 1, List of
Explosives (See ECCNs 1A004 and 1A008)'' is amended by revising
paragraph 6 to read as follows:

ANNEX to Category 1, ``List of Explosives (See ECCNs 1A004 and 1A008)''

* * * * *
    6. DADE (1,1-diamino-2,2-dinitroethylene, FOX-7) (CAS 145250-81-
3);
* * * * *

0
12. In Supplement No. 1 to part 774, Category 2, ECCN 2A001 is revised
to read as follows:

2A001 Anti-Friction Bearings and Bearing Systems, as Follows, (See
List of Items Controlled) and ``Components'' Therefor.

License Requirements

Reason for Control: NS, MT, AT

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

NS applies to entire entry................  NS Column 2
MT applies to radial ball bearings having   MT Column 1
 all tolerances specified in accordance
 with ISO 492 Tolerance Class 2 (or ANSI/
 ABMA Std 20 Tolerance Class ABEC-9, or
 other national equivalents) or better and
 having all the following characteristics:
 an inner ring bore diameter between 12
 and 50 mm; an outer ring outside diameter
 between 25 and 100 mm; and a width
 between 10 and 20 mm.
AT applies to entire entry................  AT Column 1

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

LVS: $3,000, N/A for MT
GBS: Yes, for 2A001.a, N/A for MT

List of Items Controlled

Related Controls: (1) See also 2A991. (2) Quiet running bearings are
``subject to the ITAR'' (see 22 CFR parts 120 through 130.)
Related Definitions: Annular Bearing Engineers Committee (ABEC).
Items:

    Note 1:  2A001.a includes ball bearing and roller elements
``specially designed'' for the items specified therein.

    Note 2:  2A001 does not control balls with tolerances specified
by the manufacturer in accordance with ISO 3290:2001 as grade G5 (or
national equivalents) or worse.

    a. Ball bearings and solid roller bearings, having all
tolerances specified by the manufacturer in accordance with ISO 492
Tolerance Class 2 or Class 4 (or national equivalents), or better,
and having both `rings' and `rolling elements', made from monel or
beryllium;

    Note:  2A001.a does not control tapered roller bearings.

    Technical Notes:

    1. `Ring'--annular part of a radial rolling bearing
incorporating one or more raceways (ISO 5593:1997).
    2. `Rolling element'--ball or roller which rolls between
raceways (ISO 5593:1997).
    b. [Reserved]
    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.

0
13. In Supplement No. 1 to part 774, Category 2, ECCN 2B003 is revised
to read as follows:

2B003 ``Numerically Controlled'' Machine Tools, ``Specially
Designed'' for the Shaving, Finishing, Grinding or Honing of
Hardened (Rc = 40 or More) Spur, Helical and Double-
Helical Gears Having all of the Following.

License Requirements

Reason for Control: NS, AT

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

NS applies to entire entry................  NS Column 2
AT applies to entire entry................  AT Column 1

Reporting Requirements

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

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

LVS: $5,000
GBS: N/A

List of Items Controlled

Related Controls: See also 2B993
Related Definitions: N/A
Items:

    a. A pitch diameter exceeding 1,250 mm;
    b. A face width of 15% of pitch diameter or larger; and
    c. A finished quality of AGMA 14 or better (equivalent to ISO
1328 class 3).

0
14. Supplement No. 1 to part 774, Category 2, ECCN 2B006 is revised to
read as follows:

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

License Requirements

Reason for Control: NS, NP, AT

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

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

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

LVS: N/A
GBS: N/A

List of Items Controlled

Related Controls: (1) See ECCNs 2D001 and 2D002 for ``software'' for
items controlled under this entry. (2) See ECCNs 2E001
(``development''), 2E002 (``production''), and 2E201 (``use'') for
technology for items controlled under this entry. (3) Also see ECCNs
2B206 and 2B996.
Related Definitions: N/A
Items:

    a. Computer controlled or ``numerically controlled'' Coordinate
Measuring Machines (CMM), having a three dimensional length
(volumetric) maximum permissible error of length measurement
(E0,MPE) at any point within the operating range of the
machine (i.e., within the length of axes) equal to or less (better)
than (1.7 + L/1,000) [mu]m (L is the measured length in mm)
according to ISO 10360-2 (2009);

    Technical Note: The E0,MPE of the most accurate
configuration of the CMM specified by the manufacturer (e.g., best
of the following: Probe, stylus length, motion parameters,
environment) and with ``all compensations available'' shall be
compared to the 1.7 + L/1,000 [mu]m threshold.

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

    Note:  Interferometer and optical-encoder measuring systems
containing a ``laser'' are only specified by 2B006.b.3.

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

    Technical Notes:

    1. For the purposes of 2B006.b.1, `non-contact type measuring
systems' are designed to measure the distance between the probe and
measured object along a single vector, where the probe or measured
object is in motion.
    2. For the purposes of 2B006.b.1, `measuring range' means the
distance between the minimum and maximum working distance.
    b.2. Linear position feedback units ``specially designed'' for
machine tools and having an overall ``accuracy'' less (better) than
(800 + (600 x L/1,000)) nm (L equals effective length in mm);
    b.3. Measuring systems having all of the following:
    b.3.a. Containing a ``laser'';
    b.3.b. A `resolution' over their full scale of 0.200 nm or less
(better); and
    b.3.c. Capable of achieving a ``measurement uncertainty'' equal
to or less (better) than (1.6 + L/2,000) nm (L is the measured
length in mm) at any point within a measuring range, when
compensated for the refractive index of air and measured over a
period of 30 seconds at a temperature of 200.01 [deg]C;
or

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

    b.4. ``Electronic assemblies'' ``specially designed'' to provide
feedback capability in systems controlled by 2B006.b.3;
    c. Rotary position feedback units ``specially designed'' for
machine tools or angular displacement measuring instruments, having
an angular position ``accuracy'' equal to or less (better) than 0.9
second of arc;

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

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

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

0
15. In Supplement No. 1 to part 774, Category 2, under ``Category 2E--
Materials Processing Table; Deposition Techniques,'' the Technical Note
to Table on Deposition Techniques is revised to read as follows:

Category 2--Materials Processing

* * * * *

Category 2E--Materials Processing Table; Deposition Techniques

* * * * *

    Technical Note to Table on Deposition Techniques: Processes
specified in Column 1 of the Table are defined as follows:
    a. Chemical Vapor Deposition (CVD) is an overlay coating or
surface modification coating process wherein a metal, alloy,
``composite'', dielectric or ceramic is deposited upon a heated
substrate. Gaseous reactants are decomposed or combined in the
vicinity of a substrate resulting in the deposition of the desired
elemental, alloy or compound material on the substrate. Energy for
this decomposition or chemical reaction process may be provided by
the heat of the substrate, a glow discharge plasma, or ``laser''
irradiation.

    Note 1:  CVD includes the following processes: Directed gas flow
out-of-pack deposition, pulsating CVD, controlled nucleation thermal
decomposition (CNTD), plasma enhanced or plasma assisted CVD
processes.

    Note 2:  Pack denotes a substrate immersed in a powder mixture.

    Note 3:  The gaseous reactants used in the out-of-pack process
are produced using the same basic reactions and parameters as the
pack cementation process, except that the substrate to be coated is
not in contact with the powder mixture.

    b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an
overlay coating process conducted in a vacuum with a pressure less
than 0.1 Pa wherein a source of thermal energy is used to vaporize
the coating material. This process results in the condensation, or
deposition, of the evaporated species onto appropriately positioned
substrates. The addition of gases to the vacuum chamber during the
coating process to synthesize compound coatings is an ordinary
modification of the process. The use of ion or electron beams, or
plasma, to activate or assist the coating's deposition is also a
common modification in this technique. The use of monitors to
provide in-process measurement of optical characteristics and
thickness of coatings can be a feature of these processes. Specific
TE-PVD processes are as follows:
    1. Electron Beam PVD uses an electron beam to heat and evaporate
the material which forms the coating;
    2. Ion Assisted Resistive Heating PVD employs electrically
resistive heating sources in combination with impinging ion beam(s)
to produce a controlled and uniform flux of evaporated coating
species;
    3. ``Laser'' Vaporization uses either pulsed or continuous wave
``laser'' beams to vaporize the material which forms the coating;
    4. Cathodic Arc Deposition employs a consumable cathode of the
material which forms the coating and has an arc discharge
established on the surface by a momentary contact of a ground
trigger. Controlled motion of arcing erodes the cathode surface
creating a highly ionized plasma. The anode can be either a cone
attached to the periphery of the cathode, through an insulator, or
the chamber. Substrate biasing is used for non line-of-sight
deposition;

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

    5. Ion Plating is a special modification of a general TE-PVD
process in which a plasma or an ion source is used to ionize the
species to be deposited, and a negative bias is applied to the
substrate in order to facilitate the extraction of the species from
the plasma. The introduction of reactive species, evaporation of
solids within the process chamber, and the use of monitors to
provide in-process measurement of optical characteristics and
thicknesses of coatings are ordinary modifications of the process.
    c. Pack Cementation is a surface modification coating or overlay
coating process wherein a substrate is immersed in a powder mixture
(a pack), that consists of:
    1. The metallic powders that are to be deposited (usually
aluminum, chromium, silicon or combinations thereof);
    2. An activator (normally a halide salt); and
    3. An inert powder, most frequently alumina.

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

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

    Note 1:  Low pressure means less than ambient atmospheric
pressure.

    Note 2:  High velocity refers to nozzle-exit gas velocity
exceeding 750 m/s calculated at 293 K (20 [deg]C) at 0.1 MPa.

    e. Slurry Deposition is a surface modification coating or
overlay coating process wherein a metallic or ceramic powder with an
organic binder is suspended in a liquid and is applied to a
substrate by either spraying, dipping or painting, subsequent air or
oven drying, and heat treatment to obtain the desired coating.
    f. Sputter Deposition is an overlay coating process based on a
momentum transfer phenomenon, wherein positive ions are accelerated
by an electric field towards the surface of a target (coating
material). The kinetic energy of the impacting ions is sufficient to
cause target surface atoms to be released and deposited on an
appropriately positioned substrate.

    Note 1: The Table refers only to triode, magnetron or reactive
sputter deposition which is used to increase adhesion of the coating
and rate of deposition and to radio frequency (RF) augmented sputter
deposition used to permit vaporization of non-metallic coating
materials.

    Note 2:  Low-energy ion beams (less than 5 keV) can be used to
activate the deposition.

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

0
16. In Supplement No. 1 to part 774, the introductory text for Category
3 is revised to read as follows:

Category 3--Electronics

A. ``End Items,'' ``Equipment,'' ``Accessories,'' ``Attachments,''
``Parts,'' ``Components,'' and ``Systems''

    Note 1:  The control status of equipment and ``components''
described in 3A001 or 3A002, other than those described in 3A001.a.3
to 3A001.a.10, or 3A001.a.12 to 3A001.a.14, which are ``specially
designed'' for or which have the same functional characteristics as
other equipment is determined by the control status of the other
equipment.

    Note 2:  The control status of integrated circuits described in
3A001.a.3 to 3A001.a.9, or 3A001.a.12 to 3A001.a.14 that are
unalterably programmed or designed for a specific function for other
equipment is determined by the control status of the other
equipment.
    N.B.: When the manufacturer or applicant cannot determine the
control status of the other equipment, the control status of the
integrated circuits is determined in 3A001.a.3 to 3A001.a.9, or
3A001.a.12 to 3A001.a.14.

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

* * * * *

0
17. In Supplement No. 1 to part 774, Category 3, ECCN 3A001 is revised
to read as follows:

3A001 Electronic Items as Follows (See List of Items Controlled).

Reason for Control: NS, RS, MT, NP, AT

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

NS applies to ``Monolithic Microwave        NS Column 1
 Integrated Circuit'' (``MMIC'')
 amplifiers in 3A001.b.2 and discrete
 microwave transistors in 3A001.b.3,
 except those 3A001.b.2 and b.3 items
 being exported or reexported for use in
 civil telecommunications applications.
NS applies to entire entry................  NS Column 2
RS applies ``Monolithic Microwave           RS Column 1
 Integrated Circuit'' (``MMIC'')
 amplifiers in 3A001.b.2 and discrete
 microwave transistors in 3A001.b.3,
 except those 3A001.b.2 and b.3 items
 being exported or reexported for use in
 civil telecommunications applications.
MT applies to 3A001.a.1.a when usable in    MT Column 1
 ``missiles''; and to 3A001.a.5.a when
 ``designed or modified'' for military
 use, hermetically sealed and rated for
 operation in the temperature range from
 below-54 [deg]C to above +125 [deg]C.
NP applies to pulse discharge capacitors    NP Column 1
 in in 3A001.e.2 and superconducting
 solenoidal electromagnets in 3A001.e.3
 that meet or exceed the technical
 parameters in 3A201.a and 3A201.b,
 respectively.
AT applies to entire entry................  AT Column 1

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

    License Requirements Note: See Sec.  744.17 of the EAR for
additional license requirements for microprocessors having a
processing speed of 5 GFLOPS or more and an arithmetic logic unit
with an access width of 32 bit or more, including those
incorporating ``information security'' functionality, and associated
``software'' and ``technology'' for the ``production'' or
``development'' of such microprocessors.

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

LVS: N/A for MT or NP; N/A for ``Monolithic Microwave Integrated
Circuit'' (``MMIC'') amplifiers in 3A001.b.2 and discrete microwave
transistors in 3A001.b.3, except those that are being exported or
reexported for use in civil telecommunications applications.

    Yes for:
    $1,500: 3A001.c.
    $3,000: 3A001.b.1, b.2 (exported or reexported for use in civil
telecommunications applications), b.3 (exported or reexported for
use in civil telecommunications applications), b.9, .d, .e, .f, and
.g.
    $5,000: 3A001.a (except a.1.a and a.5.a when controlled for MT),
.b.4 to b.7, and b.12.

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

Special Conditions for STA

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

List of Items Controlled

Related Controls: (1) See Category XV of the USML for certain
``space-qualified'' electronics and Category XI of the USML for
certain ASICs, `transmit/receive modules,' or `transmit modules'
``subject to the ITAR'' (see 22 CFR parts 120 through 130). (2) See
also 3A101, 3A201, 3A611, 3A991, and 9A515.
Related Definitions: `Microcircuit' means a device in which a number
of passive or active elements are considered as indivisibly
associated on or within a continuous structure to perform the
function of a circuit. For the purposes of integrated circuits in
3A001.a.1, 5 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: Integrated circuits include the following types:
    --Monolithic integrated circuits;
    --Hybrid integrated circuits;
    --Multichip integrated circuits;
    --Film type integrated circuits, including silicon-on-sapphire
integrated circuits;
    --Optical integrated circuits;
    --``Three dimensional integrated circuits'';
    --``Monolithic Microwave Integrated Circuits'' (``MMICs'').

    a.1. Integrated circuits designed or rated as radiation hardened
to withstand any of the following:
    a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher;
    a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher; or
    a.1.c. A fluence (integrated flux) of neutrons (1 MeV
equivalent) of 5 x 10\13\ n/cm\2\ or higher on silicon, or its
equivalent for other materials;

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

    a.2. ``Microprocessor microcircuits,'' ``microcomputer
microcircuits,'' microcontroller microcircuits, storage integrated
circuits manufactured from a compound semiconductor, analog-to-
digital converters, integrated circuits that contain analog-to-
digital converters and store or process the digitized data, digital-
to-analog converters, electro-optical or ``optical integrated
circuits'' designed for ``signal processing,'' field programmable
logic devices, custom integrated circuits for which either the
function is unknown or the control status of the equipment in which
the integrated circuit will be used in unknown, Fast Fourier
Transform (FFT) processors, Electrical Erasable Programmable Read-
Only Memories (EEPROMs), flash memories, Static Random-Access
Memories (SRAMs), or Magnetic Random Access Memories (MRAMs), having
any of the following:
    a.2.a. Rated for operation at an ambient temperature above 398 K
(+125 [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 designed
for civil automobile or railway train applications.

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

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

    a.4. [Reserved]
    a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog
Converter (DAC) integrated circuits, as follows:
    a.5.a. ADCs having any of the following:
    a.5.a.1. A resolution of 8 bit or more, but less than 10 bit,
with an output rate greater than 1.3 Giga Samples Per Second (GSPS);
    a.5.a.2. A resolution of 10 bit or more, but less than 12 bit,
with an output rate greater than 600 Mega Samples Per Second (MSPS);
    a.5.a.3. A resolution of 12 bit or more, but less than 14 bit,
with an output rate greater than 400 Mega Samples Per Second (MSPS);
    a.5.a.4. A resolution of 14 bit or more, but less than 16 bit,
with an output rate greater than 250 Mega Samples Per Second (MSPS);
or
    a.5.a.5. A resolution of 16 bit or more with an output rate
greater than 65 Mega Samples Per Second (MSPS);

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

    Technical Notes:

    1. A resolution of n bit corresponds to a quantization of 2\n\
levels.
    2. The number of bits in the output word is equal to the
resolution of the ADC.
    3. The output rate is the maximum output rate of the converter,
regardless of architecture or oversampling.
    4. For `multiple channel ADCs', the outputs are not aggregated
and the output rate is the maximum output rate of any single
channel.
    5. For `interleaved ADCs' or for `multiple channel ADCs' that
are specified to have an interleaved mode of operation, the outputs
are aggregated and the output rate is the maximum combined total
output rate of all of the outputs.
    6. Vendors may also refer to the output rate as sampling rate,
conversion rate or throughput rate. It is often specified in
megahertz (MHz) mega words per second or Mega Samples Per Second
(MSPS).
    7. For the purpose of measuring output rate, one sample per
second is equivalent to one Hertz or one output word per second.
    8. `Multiple channel ADCs' are defined as devices which
integrate more than one ADC, designed so that each ADC has a
separate analog input.
    9. `Interleaved ADCs' are defined as devices which have multiple
ADC units that sample the same analog input at different times such
that when the outputs are aggregated, the analog input has been
effectively sampled and converted at a higher sampling rate.
    a.5.b. Digital-to-Analog Converters (DAC) having any of the
following:
    a.5.b.1. A resolution of 10-bit or more but less than 12-
bit,with an `adjusted update rate' of exceeding 3,500 MSPS; or
    a.5.b.2. A resolution of 12-bit or more and having any of the
following:
    a.5.b.2.a. An `adjusted update rate' exceeding 1,250 MSPS but
not exceeding 3,500 MSPS, and having any of the following:
    a.5.b.2.a.1. A settling time less than 9 ns to 0.024% of full
scale from a full scale step; or
    a.5.b.2.a.2. A `Spurious Free Dynamic Range' (SFDR) greater than
68 dBc (carrier) when synthesizing a full scale analog signal of 100
MHz or the highest full scale analog signal frequency specified
below 100 MHz; or
    a.5.b.2.b. An `adjusted update rate' exceeding 3,500 MSPS;

    Technical Notes:

    1. `Spurious Free Dynamic Range' (SFDR) is defined as the ratio
of the RMS value of the carrier frequency (maximum signal component)
at the input of the DAC to the RMS value of the next largest noise
or harmonic distortion component at its output.
    2. SFDR is determined directly from the specification table or
from the characterization plots of SFDR versus frequency.
    3. A signal is defined to be full scale when its amplitude is
greater than -3 dBfs (full scale).
    4. `Adjusted update rate' for DACs is:
    a. For conventional (non-interpolating) DACs, the `adjusted
update rate' is the rate at which the digital signal is converted to
an analog signal and the output analog values are changed by the
DAC. For DACs where the interpolation mode may be bypassed
(interpolation factor of one), the DAC should be considered as a
conventional (non-interpolating) DAC.
    b. For interpolating DACs (oversampling DACs), the `adjusted
update rate' is defined as the DAC update rate divided by the
smallest interpolating factor. For interpolating DACs, the `adjusted
update rate' may be referred to by different terms including:

 Input data rate
 input word rate
 input sample rate
 maximum total input bus rate
 maximum DAC clock rate for DAC clock input

    a.6. Electro-optical and ``optical integrated circuits'',
designed for ``signal processing'' and having all of the following:
    a.6.a. One or more than one internal ``laser'' diode;
    a.6.b. One or more than one internal light detecting element;
and
    a.6.c. Optical waveguides;
    a.7. `Field programmable logic devices' having any of the
following:
    a.7.a. A maximum number of single-ended digital input/outputs of
greater than 700; or
    a.7.b. An `aggregate one-way peak serial transceiver data rate'
of 500 Gb/s or greater;

    Note: 3A001.a.7 includes:
    --Simple Programmable Logic Devices (SPLDs);
    --Complex Programmable Logic Devices (CPLDs);
    --Field Programmable Gate Arrays (FPGAs);
    --Field Programmable Logic Arrays (FPLAs);
    --Field Programmable Interconnects (FPICs).

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

    Technical Notes:

    1. Maximum number of digital input/outputs in 3A001.a.7.a is
also referred to as maximum user input/outputs or maximum available
input/outputs, whether the integrated circuit is packaged or bare
die.
    2. `Aggregate one-way peak serial transceiver data rate' is the
product of the peak serial one-way transceiver data rate times the
number of transceivers on the FPGA.
    a.8. [Reserved]
    a.9. Neural network integrated circuits;
    a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
    a.10.a. More than 1,500 terminals;
    a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.02 ns; 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 [micro]s.

    a.13. Direct Digital Synthesizer (DDS) integrated circuits
having any of the following:
    a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of
3.5 GHz or more and a DAC resolution of 10 bit or more, but less
than 12 bit; or
    a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC
resolution of 12 bit or more;

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

    a.14. Integrated circuits that perform all of the following:
    a.14.a. Analog-to-digital conversions meeting any of the
following:
    a.14.a.1. A resolution of 8 bit or more, but less than 10 bit,
with an input sample rate greater than 1.3 Giga Samples Per Second
(GSPS);
    a.14.a.2. A resolution of 10 bit or more, but less than 12 bit,
with an input sample rate greater than 1.0 Giga Samples Per Second
(GSPS);
    a.14.a.3. A resolution of 12 bit or more, but less than 14 bit,
with an input sample rate greater than 1.0 Giga Samples Per Second
(GSPS);
    a.14.a.4. A resolution of 14 bit or more, but less than 16 bit,
with an input sample rate greater than 400 Mega Samples Per Second
(MSPS); or
    a.14.a.5. A resolution of 16 bit or more with an input sample
rate greater than 180 Mega Samples Per Second (MSPS); and
    a.14.b. Any of the following:
    a.14.b.1. Storage of digitized data; or
    a.14.b.2. Processing of digitized data;
    N.B. 1: For analog-to-digital converter integrated circuits see
3A001.a.5.a.
    N.B. 2: For field programmable logic devices see 3A001.a.7.
    b. Microwave or millimeter wave items, as follows:

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

    b.1. ``Vacuum electronic devices'' and cathodes, as follows:

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

    a. Does not exceed 31.8 GHz; and

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

    Note 2:  3A001.b.1 does not control non-``space-qualified''
``vacuum electronic devices'' having all the following:
    a. An average output power equal to or less than 50 W; and
    b. Designed or rated for operation in any frequency band and
having all of the following:
    1. Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
    2. Is ``allocated by the ITU'' for radio-communications
services, but not for radio-determination.

    b.1.a. Traveling-wave ``vacuum electronic devices,'' pulsed or
continuous wave, as follows:
    b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
    b.1.a.2. Devices having a cathode heater with a turn on time to
rated RF power of less than 3 seconds;
    b.1.a.3. Coupled cavity devices, or derivatives thereof, with a
``fractional bandwidth'' of more than 7% or a peak power exceeding
2.5 kW;
    b.1.a.4. Devices based on helix, folded waveguide, or serpentine
waveguide circuits, or derivatives thereof, having any of the
following:
    b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
    b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1;
    b.1.a.4.c. Being ``space-qualified''; or
    b.1.a.4.d. Having a gridded electron gun;
    b.1.a.5. Devices with a ``fractional bandwidth'' greater than or
equal to 10%, with any of the following:
    b.1.a.5.a. An annular electron beam;
    b.1.a.5.b. A non-axisymmetric electron beam; or
    b.1.a.5.c. Multiple electron beams;
    b.1.b. Crossed-field amplifier ``vacuum electronic devices''
with a gain of more than 17 dB;
    b.1.c. Thermionic cathodes, designed for ``vacuum electronic
devices,'' producing an emission current density at rated operating
conditions exceeding 5 A/cm\2\ or a pulsed (non-continuous) current
density at rated operating conditions exceeding 10 A/cm\2\;
    b.1.d. ``Vacuum electronic devices'' with the capability to
operate in a `dual mode.'

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

    b.2. ``Monolithic Microwave Integrated Circuit'' (``MMIC'')
amplifiers that are any of the following:
    N.B.: For ``MMIC'' amplifiers that have an integrated phase
shifter see 3A001.b.12.
    b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz with a ``fractional bandwidth'' greater
than 15%, and having any of the following:
    b.2.a.1. A peak saturated power output greater than 75 W (48.75
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    b.2.a.2. A peak saturated power output greater than 55 W (47.4
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    b.2.a.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
    b.2.a.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 16 GHz with a ``fractional bandwidth'' greater than
10%, and having any of the following:
    b.2.b.1. A peak saturated power output greater than 10 W (40
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
or
    b.2.b.2. A peak saturated power output greater than 5 W (37 dBm)
at any frequency exceeding 8.5 GHz up to and including 16 GHz;
    b.2.c. Rated for operation with a peak saturated power output
greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to
and including 31.8 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
    b.2.d. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
    b.2.e. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
    b.2.f. Rated for operation with a peak saturated power output
greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz
up to and including 75 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
    b.2.g. Rated for operation with a peak saturated power output
greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to
and including 90 GHz, and with a ``fractional bandwidth'' of greater
than 5%; or
    b.2.h. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;

    Note 1:  [Reserved]

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

    Note 3:  Notes 1 and 2 following the Category 3 heading for
product group A. Systems, Equipment, and Components mean that
3A001.b.2 does not control ``MMICs'' if they are ``specially
designed'' for other applications, e.g., telecommunications, radar,
automobiles.

    b.3. Discrete microwave transistors that are any of the
following:
    b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8 GHz and having any of the following:
    b.3.a.1. A peak saturated power output greater than 400 W (56
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    b.3.a.2. A peak saturated power output greater than 205 W (53.12
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    b.3.a.3. A peak saturated power output greater than 115 W (50.61
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
    b.3.a.4. A peak saturated power output greater than 60 W (47.78
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz and having any of the following:
    b.3.b.1. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
    b.3.b.2. A peak saturated power output greater than 15 W (41.76
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
    b.3.b.3. A peak saturated power output greater than 40 W (46
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
    b.3.b.4. A peak saturated power output greater than 7 W (38.45
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
    b.3.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
    b.3.d. Rated for operation with a peak saturated power output
greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz;
    b.3.e. Rated for operation with a peak saturated power output
greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz;
or
    b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e
and rated for operation with a peak saturated power output greater
than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and
including 31.8 GHz;

    Note 1:  The control status of a transistor in 3A001.b.3.a
through 3A001.b.3.e, whose rated operating frequency includes
frequencies listed in more than one frequency range, as defined by
3A001.b.3.a through 3A001.b.3.e, is determined by the lowest peak
saturated power output control threshold.

    Note 2:  3A001.b.3 includes bare dice, dice mounted on carriers,
or dice mounted in packages. Some discrete transistors may also be
referred to as power amplifiers, but the status of these discrete
transistors is determined by 3A001.b.3.

    b.4. Microwave solid state amplifiers and microwave assemblies/
modules containing microwave solid state amplifiers, that are any of
the following:
    b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up
to and including 6.8

GHz with a ``fractional bandwidth'' greater than 15%, and having any
of the following:
    b.4.a.1. A peak saturated power output greater than 500 W (57
dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
    b.4.a.2. A peak saturated power output greater than 270 W (54.3
dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
    b.4.a.3. A peak saturated power output greater than 200 W (53
dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz;
or
    b.4.a.4. A peak saturated power output greater than 90 W (49.54
dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
    b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up
to and including 31.8 GHz with a ``fractional bandwidth'' greater
than 10%, and having any of the following:
    b.4.b.1. A peak saturated power output greater than 70 W (48.54
dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
    b.4.b.2. A peak saturated power output greater than 50 W (47
dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
    b.4.b.3. A peak saturated power output greater than 30 W (44.77
dBm) at any frequency exceeding 12 GHz up to and including 16 GHz;
or
    b.4.b.4. A peak saturated power output greater than 20 W (43
dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
    b.4.c. Rated for operation with a peak saturated power output
greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up
to and including 37 GHz;
    b.4.d. Rated for operation with a peak saturated power output
greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to
and including 43.5 GHz, and with a ``fractional bandwidth'' of
greater than 10%;
    b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and
having any of the following:
    b.4.e.1. A peak saturated power output greater than 0.2 W (23
dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz,
and with a ``fractional bandwidth'' of greater than 10%;
    b.4.e.2. A peak saturated power output greater than 20 mW (13
dBm) at any frequency exceeding 75 GHz up to and including 90 GHz,
and with a ``fractional bandwidth'' of greater than 5%; or
    b.4.e.3. A peak saturated power output greater than 0.1 nW (-70
dBm) at any frequency exceeding 90 GHz; or
    b.4.f. [Reserved]
    N.B.:
    1. For ``MMIC'' amplifiers see 3A001.b.2.
    2. For `transmit/receive modules' and `transmit modules' see
3A001.b.12.

    Note 1:  [Reserved]

    Note 2:  The control status of an item whose rated operating
frequency includes frequencies listed in more than one frequency
range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined
by the lowest peak saturated power output control threshold.

    b.5. Electronically or magnetically tunable band-pass or band-
stop filters, having more than 5 tunable resonators capable of
tuning across a 1.5:1 frequency band (fmax/
fmin) in less than 10 [mu]s and 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. [Reserved]
    b.7. Converters and harmonic mixers, that are any of the
following:
    b.7.a. Designed to extend the frequency range of ``signal
analyzers'' beyond 90 GHz;
    b.7.b. Designed to extend the operating range of signal
generators as follows:
    b.7.b.1. Beyond 90 GHz;
    b.7.b.2. To an output power greater than 100 mW (20 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
    b.7.c. Designed to extend the operating range of network
analyzers as follows:
    b.7.c.1. Beyond 110 GHz;
    b.7.c.2. To an output power greater than 31.62 mW (15 dBm)
anywhere within the frequency range exceeding 43.5 GHz but not
exceeding 90 GHz;
    b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere
within the frequency range exceeding 90 GHz but not exceeding 110
GHz; or
    b.7.d. Designed to extend the frequency range of microwave test
receivers beyond 110 GHz;
    b.8. Microwave power amplifiers containing ``vacuum electronic
devices'' controlled by 3A001.b.1 and having all of the following:
    b.8.a. Operating frequencies above 3 GHz;
    b.8.b. An average output power to mass ratio exceeding 80 W/kg;
and
    b.8.c. A volume of less than 400 cm\3\;

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

    b.9. Microwave Power Modules (MPM) consisting of, at least, a
traveling-wave ``vacuum electronic device,'' a ``Monolithic
Microwave Integrated Circuit'' (``MMIC'') and an integrated
electronic power conditioner and having all of the following:
    b.9.a. A `turn-on time' from off to fully operational in less
than 10 seconds;
    b.9.b. A volume less than the maximum rated power in Watts
multiplied by 10 cm\3\/W; and
    b.9.c. An ``instantaneous bandwidth'' greater than 1 octave
(fmax. > 2fmin,) and having any of the
following:
    b.9.c.1. For frequencies equal to or less than 18 GHz, an RF
output power greater than 100 W; or
    b.9.c.2. A frequency greater than 18 GHz;

    Technical Notes:

    1. To calculate the volume in 3A001.b.9.b., the following
example is provided: For a maximum rated power of 20 W, the volume
would be: 20 W x 10 cm\3\/W = 200 cm\3\.
    2. The `turn-on time' in 3A001.b.9.a. refers to the time from
fully-off to fully operational, i.e., it includes the warm-up time
of the MPM.
    b.10. Oscillators or oscillator assemblies, specified to operate
with a single sideband (SSB) phase noise, in dBc/Hz, less (better)
than -(126 + 20log10F-20log10f) anywhere
within the range of 10 Hz <= F <= 10 kHz;

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

    b.11. ``Frequency synthesizer'' ``electronic assemblies'' having
a ``frequency switching time'' as specified by any of the following:
    b.11.a. Less than 143 ps;
    b.11.b. Less than 100 [mu]s for any frequency change exceeding
2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but
not exceeding 31.8 GHz;
    b.11.c. [Reserved]
    b.11.d. Less than 500 [micro]s for any frequency change
exceeding 550 MHz within the synthesized frequency range exceeding
31.8 GHz but not exceeding 37 GHz; or
    b.11.e. Less than 100 [micro]s for any frequency change
exceeding 2.2 GHz within the synthesized frequency range exceeding
37 GHz but not exceeding 90 GHz; or
    b.11.f. [Reserved]
    b.11.g. Less than 1 ms within the synthesized frequency range
exceeding 90 GHz;
    N.B.: For general purpose ``signal analyzers'', signal
generators, network analyzers and microwave test receivers, see
3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.
    b.12. `Transmit/receive modules,' `transmit/receive MMICs,'
`transmit modules,' and `transmit MMICs,' rated for operation at
frequencies above 2.7 GHz and having all of the following:
    b.12.a. A peak saturated power output (in watts),
Psat, greater than 505.62 divided by the maximum
operating frequency (in GHz) squared [Psat>505.62
W*GHz\2\/fGHz\2\] for any channel;
    b.12.b. A ``fractional bandwidth'' of 5% or greater for any
channel;
    b.12.c. Any planar side with length d (in cm) equal to or less
than 15 divided by the lowest operating frequency in GHz [d <=
15cm*GHz*N/fGHz] where N is the number of transmit or
transmit/receive channels; and
    b.12.d. An electronically variable phase shifter per channel.

    Technical Notes:

    1. A `transmit/receive module' is a multifunction ``electronic
assembly'' that provides bi-directional amplitude and phase control
for transmission and reception of signals.
    2. A `transmit module' is an ``electronic assembly'' that
provides amplitude and phase control for transmission of signals.
    3. A `transmit/receive MMIC' is a multifunction ``MMIC'' that
provides bi-directional amplitude and phase control for transmission
and reception of signals.
    4. A `transmit MMIC' is a ``MMIC'' that provides amplitude and
phase control for transmission of signals.
    5. 2.7 GHz should be used as the lowest operating frequency
(fGHz) in the formula in 3A001.b.4.12.c for transmit/
receive or transmit modules that have a rated operation range
extending downward to 2.7 GHz and below [d<=15cm*GHz*N/2.7 GHz].

    6. 3A001.b.12 applies to `transmit/receive modules' or `transmit
modules' with or without a heat sink. The value of d in 3A001.b.12.c
does not include any portion of the `transmit/receive module' or
`transmit module' that functions as a heat sink.
    7. `Transmit/receive modules' or `transmit modules,' `transmit/
receive MMICs' or `transmit MMICs' may or may not have N integrated
radiating antenna elements where N is the number of transmit or
transmit/receive channels.
    c. Acoustic wave devices as follows and ``specially designed''
``components'' therefor:
    c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices, having any of the following:
    c.1.a. A carrier frequency exceeding 6 GHz;
    c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6
GHz and having any of the following:
    c.1.b.1. A `frequency side-lobe rejection' exceeding 65 dB;
    c.1.b.2. A product of the maximum delay time and the bandwidth
(time in [mu]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 [micro]s; or
    c.1.c. A carrier frequency of 1 GHz or less and having any of
the following:
    c.1.c.1. A product of the maximum delay time and the bandwidth
(time in [micro]s and bandwidth in MHz) of more than 100;
    c.1.c.2. A dispersive delay of more than 10 [micro]s; or
    c.1.c.3. A `frequency side-lobe rejection' exceeding 65 dB and a
bandwidth greater than 100 MHz;

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

    c.2. Bulk (volume) acoustic wave devices that permit the direct
processing of signals at frequencies exceeding 6 GHz;
    c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;

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

    d. Electronic devices and circuits containing ``components,''
manufactured from ``superconductive'' materials, ``specially
designed'' for operation at temperatures below the ``critical
temperature'' of at least one of the ``superconductive''
constituents and having any of the following:
    d.1. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 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. `Cells' as follows:
    e.1.a. `Primary cells' having an `energy density' exceeding 550
Wh/kg at 293 K (20 [deg]C);
    e.1.b. `Secondary cells' having an `energy density' exceeding
350 Wh/kg at 293 K (20 [deg]C);

    Technical Notes:

    1. For the purpose of 3A001.e.1, `energy density' (Wh/kg) is
calculated from the nominal voltage multiplied by the nominal
capacity in ampere-hours (Ah) divided by the mass in kilograms. If
the nominal capacity is not stated, energy density is calculated
from the nominal voltage squared then multiplied by the discharge
duration in hours divided by the discharge load in Ohms and the mass
in kilograms.
    2. For the purpose of 3A001.e.1, a `cell' is defined as an
electrochemical device, which has positive and negative electrodes,
an electrolyte, and is a source of electrical energy. It is the
basic building block of a battery.
    3. For the purpose of 3A001.e.1.a, a `primary cell' is a `cell'
that is not designed to be charged by any other source.
    4. For the purpose of 3A001.e.1.b, a `secondary cell' is a
`cell' that is designed to be charged by an external electrical
source.

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

    e.2. High energy storage capacitors as follows:
    e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) and having all of the following:
    e.2.a.1. A voltage rating equal to or more than 5 kV;
    e.2.a.2. An energy density equal to or more than 250 J/kg; and
    e.2.a.3. A total energy equal to or more than 25 kJ;
    e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) and having all of the following:
    e.2.b.1. A voltage rating equal to or more than 5 kV;
    e.2.b.2. An energy density equal to or more than 50 J/kg;
    e.2.b.3. A total energy equal to or more than 100 J; and
    e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
    e.3. ``Superconductive'' electromagnets and solenoids,
``specially designed'' to be fully charged or discharged in less
than one second and having all of the following:

    Note:  3A001.e.3 does not control ``superconductive''
electromagnets or solenoids ``specially designed'' for Magnetic
Resonance Imaging (MRI) medical equipment.

    e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
    e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
    e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm\2\;
    e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies,
solar panels, and solar arrays, which are ``space-qualified,''
having a minimum average efficiency exceeding 20% at an operating
temperature of 301 K (28 [deg]C) under simulated `AM0' illumination
with an irradiance of 1,367 Watts per square meter (W/m\2\);

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

    f. Rotary input type absolute position encoders having an
``accuracy'' equal to or less (better) than  1.0 second
of arc and ``specially designed'' encoder rings, discs or scales
therefor;
    g. Solid-state pulsed power switching thyristor devices and
`thyristor modules', using either electrically, optically, or
electron radiation controlled switch methods and having any of the
following:
    g.1. A maximum turn-on current rate of rise (di/dt) greater than
30,000 A/[micro]s and off-state voltage greater than 1,100 V; or
    g.2. A maximum turn-on current rate of rise (di/dt) greater than
2,000 A/[micro]s and having all of the following:
    g.2.a. An off-state peak voltage equal to or greater than 3,000
V; and
    g.2.b. A peak (surge) current equal to or greater than 3,000 A;

    Note 1:  3A001.g. includes:
    --Silicon Controlled Rectifiers (SCRs);
    --Electrical Triggering Thyristors (ETTs);
    --Light Triggering Thyristors (LTTs);
    --Integrated Gate Commutated Thyristors (IGCTs);
    --Gate Turn-off Thyristors (GTOs);
    --MOS Controlled Thyristors (MCTs);
    --Solidtrons.

    Note 2: 3A001.g. does not control thyristor devices and
`thyristor modules' incorporated into equipment designed for civil
railway or ``civil aircraft'' applications.

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

    h. Solid-state power semiconductor switches, diodes, or
`modules', having all of the following:
    h.1. Rated for a maximum operating junction temperature greater
than 488 K (215 [deg]C);
    h.2. Repetitive peak off-state voltage (blocking voltage)
exceeding 300 V; and
    h.3. Continuous current greater than 1 A.

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