661 Part 774—The Commerce Control List

Home , Bromobenzyl cyanide, Krytron, Quinuclidone

Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

EDITORIAL NOTE: For FEDERAL REGISTER ci- § 774.2 [Reserved] tations affecting § 772.1, see the List of CFR Sections Affected, which appears in the SUPPLEMENT NO. 1 TO PART 774—THE Finding Aids section of the printed volume COMMERCE CONTROL LIST and at www.fdsys.gov. CATEGORY 0—NUCLEAR MATERIALS, FACILI- PART 774—THE COMMERCE TIES, AND EQUIPMENT [AND MISCELLANEOUS CONTROL LIST ITEMS] A. SYSTEMS, EQUIPMENT AND COMPONENTS Sec. 0A001 ‘‘Nuclear reactors’’, i.e., reactors capa- 774.1 Introduction. ble of operation so as to maintain a con- 774.2 [Reserved] trolled, self-sustaining fission chain reac- SUPPLEMENT NO. 1 TO PART 774—THE COM- tion, and equipment and components spe- MERCE CONTROL LIST cially designed or prepared for use in SUPPLEMENT NO. 2 TO PART 774—GENERAL connection with a ‘‘nuclear reactor’’, in- TECHNOLOGY AND SOFTWARE NOTES cluding (see List of Items Controlled). SUPPLEMENT NO. 3 TO PART 774—STATEMENT LICENSE REQUIREMENTS OF UNDERSTANDING Reason for Control: Control(s): Items described in 0A001 are sub- AUTHORITY: 50 U.S.C. app. 2401 et seq.; 50 ject to the export licensing authority of U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. the Nuclear Regulatory Commission (see 10 7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 et seq.; 22 CFR part 110) U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 42 U.S.C. LICENSE EXCEPTIONS 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 15 U.S.C. LVS: N/A 1824a; 50 U.S.C. app. 5; 22 U.S.C. 7201 et seq.; GBS: N/A 22 U.S.C. 7210; E.O. 13026, 61 FR 58767, 3 CFR, CIV: N/A 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 LIST OF ITEMS CONTROLLED CFR, 2001 Comp., p. 783; Notice of August 12, Unit: N/A 2011, 76 FR 50661 (August 16, 2011). Related Controls: N/A SOURCE: 61 FR 12937, Mar. 25, 1996, unless Related Definitions: N/A otherwise noted. Items: a. Pressure vessels, i.e. metal vessels as complete units or X parts therefor, which § 774.1 Introduction. are specially designed or prepared to contain the core of a ‘‘nuclear reactor’’ and are capa- In this part, references to the EAR ble of withstanding the operating pressure of are references to 15 CFR chapter VII, the primary coolant, including the top plate subchapter C. The Bureau of Industry for a reactor pressure vessel; and Security (BIS) maintains the Com- b. Fuel element handling equipment, in- merce Control List (CCL) that includes cluding reactor fuel charging and dis- items (commodities, software, and charging machines; technology) subject to the authority of c. Control rods specially designed or pre- BIS. The CCL does not include those pared for the control of the reaction rate in a ‘‘nuclear reactor’’, including the neutron items exclusively controlled for export absorbing part and the support or suspension by another department or agency of structures therefore, and control rod guide the U.S. Government. In instances tubes; where other agencies administer con- d. Electronic controls for controlling the trols over related items, entries in the power levels in ‘‘nuclear reactors’’, including CCL will contain a reference to these reactor control rod drive mechanisms and ra- controls. Those items subject to the diation detection and measuring instruments EAR but not specified on the CCL are to determine neutron flux levels; e. Pressure tubes specially designed or pre- identified by the designator ‘‘EAR99’’. pared to contain fuel elements and the pri- See § 734.2(a) of the EAR for items that mary coolant in a ‘‘nuclear reactor’’ at an are ‘‘subject to the EAR’’. You should operating pressure in excess of 5.1 MPa; consult part 738 of the EAR for an ex- f. Tubes or assemblies of tubes, made from planation of the organization of the zirconium metal or alloy in which the ratio CCL and its relationship to the Coun- of hafnium to zirconium is less than 1:500 try Chart. parts by weight, specially designed or pre- The CCL is contained in Supplement pared for use in a ‘‘nuclear reactor’’; g. Coolant pumps specially designed or pre- No. 1 to this part, and Supplement No. pared for circulating the primary coolant of 2 to this part contains the General ‘‘nuclear reactors’’; Technology and Software Notes rel- h. Internal components specially designed evant to entries contained in the CCL. or prepared for the operation of a ‘‘nuclear

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reactor’’, including core support structures, fully automatic type, but see 0A984 con- thermal shields, baffles, core grid plates and cerning shotguns. diffuser plates; d. Military helmets, except: i. Heat exchangers. d.1. Conventional steel helmets other than 0A002 Power generating or propulsion those described by 0A018.d.2 of this entry. equipment specially designed for use d.2. Helmets, made of any material, with space, marine or mobile ‘‘nuclear re- equipped with communications hardware, actors’’. (These items are subject to the optional sights, slewing devices or mecha- export licensing authority of the U.S. De- nisms to protect against thermal flash or la- partment of State, Directorate of Defense sers. Trade Controls. See 22 CFR part 121.) NOTE: Helmets described in 0A018.d.1 are controlled by 0A988. Helmets described in 0A018 Items on the Wassenaar Munitions 0A018.d.2 are controlled by the U.S. Depart- List. ment of State, Directorate of Defense Trade LICENSE REQUIREMENTS Controls (See 22 CFR part 121, Category X). Reason for Control: NS, AT, UN 0A918 Miscellaneous Military Equipment Control(s) Country chart Not on the Wassenaar Munitions List NS applies to entire entry ...... NS Column 1. LICENSE REQUIREMENTS AT applies to entire entry ...... AT Column 1. Reason for Control: RS, AT, UN UN applies to entire entry ...... Iraq, North Korea, and Rwanda. Control(s) Country chart

LICENSE EXCEPTIONS RS applies to entire entry ...... RS Column 2. LVS: $5000 for 0A018.a AT applies to entire entry ...... AT Column 1. $3000 for 0A018.b UN applies to entire entry ...... Iraq, North Korea, and $1500 for 0A018.c and .d Rwanda. $0 for Rwanda GBS: N/A LICENSE EXCEPTIONS CIV: N/A LVS: $5000 for 0A918.a LIST OF ITEMS CONTROLLED $1500 for 0A918.b Unit: 0A018.a, and .b in $ value; 0A018.c and .d $0 for Rwanda in number. GBS: N/A Related Controls: (1) See § 746.8(b)(1) for addi- CIV: N/A tional BIS licensing requirements for LIST OF ITEMS CONTROLLED Rwanda concerning this entry. (2) See also 0A979, 0A988, and 22 CFR 121.1 Categories Unit: 0A918.a in $ value; 0A918.b in number. I(a), III(b-d), and X(a). Related Controls: N/A Related Definitions: N/A Related Definitions: N/A Items: a. Construction equipment built to Items: a. Power controlled searchlights and military specifications, including equip- control units therefor, designed for military ment specially designed for airborne trans- use, and equipment mounting such units; port; and specially designed parts and ac- and specially designed parts and accessories cessories for such construction equipment, therefor; including crew protection kits used as pro- b. Bayonets. tective cabs; b. Specially designed components and parts 0A919 ‘‘Military commodities’’ as follows for ammunition, except cartridge cases, pow- (see list of items controlled). der bags, bullets, jackets, cores, shells, projectiles, boosters, fuses and components, License Requirements primers, and other detonating devices and Reasons for Control: RS, AT, UN. ammunition belting and linking machines (all of which are subject to the export licens- Control(s) Country chart ing authority of the U.S. Department of State, Directorate of Defense Trade Con- RS applies to entire entry ...... RS Column 1. trols). (See 22 CFR parts 120 through 130); AT applies to entire entry ...... AT Column 1. UN applies to entire entry ...... Rwanda § 746.7 of c. Muzzle loading (black powder) firearms the EAR. with a caliber less than 20 mm that were manufactured later than 1937 and that are License Exceptions not reproductions of firearms manufactured earlier than 1890; LVS: N/A. GBS: N/A. NOTE: 0A018.c does not control weapons used for hunting or sporting purposes that CIV: N/A. were not specifically designed for hunting or List of Items Controlled sporting purposes that were not specially designed for military use and are not of the Unit: $ value.

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Related Controls: (1) Military commodities Items: The list of items controlled is con- are subject to the export licensing jurisdic- tained in the ECCN heading. tion of the Department of State if they incorporate items that are subject to the 0A979 Police helmets and shields; and parts, International Traffic in Arms Regulations n.e.s. (ITAR) (22 CFR Parts 120–130). (2) Military LICENSE REQUIREMENTS commodities described in this paragraph are Reason for Control: CC subject to the export licensing jurisdiction Control(s) Country chart of the Department of State if such commodities are described on the United States Mu- CC applies to entire entry ...... CC Column 1 nitions List (22 CFR Part 121) and are in the United States. (3) The furnishing of assist- LICENSE EXCEPTIONS ance (including training) to foreign persons, LVS: N/A whether in the United States or abroad in GBS: N/A the design, development, engineering, manu- CIV: N/A facture, production, assembly, testing, re- LIST OF ITEMS CONTROLLED pair, maintenance, modification, operation, Unit: $ value demilitarization, destruction, processing, or Related Controls: N/A use of defense articles that are subject to the Related Definitions: N/A ITAR; or the furnishing to foreign persons of Items: The list of items controlled is con- any technical data controlled under 22 CFR tained in the ECCN heading. 121.1 whether in the United States or abroad are under the licensing jurisdiction of the 0A980 Horses by sea. Department of State. (4) Brokering activities LICENSE REQUIREMENTS (as defined in 22 CFR 129.9) of military com- Reason for Control: SS modities that are subject to the ITAR are Control(s): SS applies to entire entry. For li- under the licensing jurisdiction of the De- censing requirements (and possible License partment of State. Exceptions) proceed directly to part 754 of Related Definitions: N/A. the EAR. The Commerce Country Chart is Items: ‘‘Military commodities’’ with all of not designed to determine licensing re- the following characteristics: quirements for items controlled for SS rea- a. Described on either the United States sons Munitions List (22 CFR Part 121) or the Mu- LIST OF ITEMS CONTROLLED $ value nitions List that is published by the Unit: Related Controls: N/A Wassenaar Arrangement on Export Controls Related Definitions: N/A for Conventional Arms and Dual-Use Goods Items: The list of items controlled is con- and Technologies (as set out on its Web site tained in the ECCN heading at http://www.wassenaar.org), but not any item listed in any Export Control Classifica- 0A981 Equipment designed for the execution Number for which the last three char- tion of human beings (See list of items acters are 018; controlled). b. Produced outside the United States; LICENSE REQUIREMENTS c. Not subject to the International Traffic Reason for Control: CC. in Arms Regulations (22 CFR Parts 120–130) Control(s): CC applies to entire entry. A li- for a reason other than presence in the cense is required for ALL destinations re- United States; and gardless of end-use. Accordingly, a column d. Incorporate one or more cameras con- specific to this control does not appear on trolled under ECCN 6A003.b.4.b. the Commerce Country Chart. (See § 742.7 0A978 Law enforcement striking weapons, of the EAR for additional information.) including saps, police batons, side handle LICENSE EXCEPTIONS batons, tonfas, sjamboks, and whips. LVS: LICENSE REQUIREMENTS GBS: N/A Reason for Control: CC CIV: N/A LIST OF ITEMS CONTROLLED Control(s) Country chart Unit: $ value Related Controls: N/A. CC applies to entire entry ...... CC Column 1 Related Definitions: N/A. Items: a. Gallows and guillotines. LICENSE EXCEPTIONS b. Electric chairs for the purpose of exe- LVS: N/A cuting human beings. GBS: N/A c. Air tight vaults designed for the execu- CIV: N/A tion of human beings by the administration LIST OF ITEMS CONTROLLED of a lethal gas or substance. Unit: $ value d. Automatic drug injection systems de- Related Controls: N/A signed for the execution of human beings by Related Definitions: N/A administration of a lethal substance.

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0A982 Law enforcement restraint devices, 0A983 Specially designed implements of tor- including leg irons, shackles, and hand- ture, including thumbscrews, thumbcuffs, cuffs; straight jackets; stun cuffs; shock fingercuffs, spiked batons, and parts and belts; shock sleeves; multipoint restraint accessories, n.e.s. devices such as restraint chairs; and LICENSE REQUIREMENTS parts and accessories, n.e.s. Reason for Control: CC LICENSE REQUIREMENTS Control(s): CC applies to entire entry. A li- Reason for Control: CC cense is required for ALL destinations, re- Control(s) gardless of end-use. Accordingly, a column CC applies to entire entry. A license is re- specific to this control does not appear on quired for ALL destinations, except Canada, the Commerce Country Chart. (See part 742 regardless of end-use. Accordingly, a column of the EAR for additional information.) specific to this control does not appear on the Commerce Country Chart. (See part 742 LICENSE EXCEPTIONS of the EAR for additional information.) LVS: N/A LICENSE EXCEPTIONS GBS: N/A LVS: N/A CIV: N/A GBS: N/A LIST OF ITEMS CONTROLLED CIV: N/A Unit: $ value LIST OF ITEMS CONTROLLED Related Controls: N/A Unit: $ value Related Definitions: N/A Related Controls:Thumbcuffs and fingercuffs are classified under ECCN 0A983, specially Items: The list of items controlled is con- designed implements of torture. Restraint tained in the ECCN heading devices that electronically monitor or re- NOTE TO ECCN 0A983. In this ECCN, ‘‘tor- port the location of confined persons for ture’’ has the meaning set forth in Section law enforcement or penal reasons are con- 2340(1) of Title 18, United States Code. trolled under ECCN 3A981. Related Definitions: N/A 0A984 Shotguns with barrel length 18 Items: The list of items controlled is con- inches (45.72 cm) or over; receivers; bar- tained in the ECCN heading. rels of 18 inches (45.72 cm) or longer but NOTE TO ECCN 0A982. This ECCN applies to not longer than 24 inches (60.96 cm); com- restraint devices used in law enforcement ac- plete trigger mechanisms; magazines and tivities. It does not apply to medical devices magazine extension tubes; complete that are equipped to restrain patient move- breech mechanisms; buckshot shotgun ment during medical procedures. It does not shells; except equipment used exclusively apply to devices that confine memory im- to treat or tranquilize animals, and ex- paired patients to appropriate medical facili- cept arms designed solely for signal, ties. It does not apply to safety equipment flare, or saluting use. such as safety belts or child automobile safe- LICENSE REQUIREMENTS ty seats. Reason for Control: CC, FC, UN

Control(s) Country chart

FC applies to entire entry ...... FC Column 1. CC applies to shotguns with a barrel length greater than or equal to 18 in. CC Column 1. (45.72 cm), but less than 24 in. (60.96 cm), shotgun parts controlled by this entry, and buckshot shotgun shells controlled by this entry, regardless of end-user. CC applies to shotguns with a barrel length greater than or equal to 24 in. CC Column 2. (60.96 cm), regardless of end-user. CC applies to shotguns with a barrel length greater than or equal to 24 in. CC Column 3. (60.96 cm) if for sale or resale to police or law enforcement. UN applies to entire entry ...... Iraq, North Korea, and Rwanda.

LICENSE EXCEPTIONS State, Directorate of Defense Trade Con- LVS: N/A trols. GBS: N/A Related Definitions: N/A CIV: N/A Items: The list of items controlled is con- LIST OF ITEMS CONTROLLED tained in the ECCN heading. Unit: $ value. Related Controls: This entry does not control 0A985 Discharge type arms and devices to shotguns with a barrel length of less than administer electric shock, for example, 18 inches (45.72 cm). (See 22 CFR part 121.) stun guns, shock batons, shock shields, These items are subject to the export li- electric cattle prods, immobilization guns censing authority of the Department of and projectiles; except equipment used

664 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

exclusively to treat or tranquilize ani- Reason for Control: FC, CC, UN mals, and except arms designed solely for signal, flare, or saluting use; and parts, Control(s) Country chart n.e.s. FC applies to optical sights for fire- FC Column 1. Reason for Control: CC, UN arms, including shotguns described in ECCN 0A984, and re- Control(s) Country chart lated parts. CC applies to entire entry ...... CC Column 1. CC applies to entire entry. A license UN applies to entire entry ...... Iraq, North Korea, and is required for ALL destinations, Rwanda. except Canada, regardless of end- use. Accordingly, a column specific to this control does not appear on LICENSE EXCEPTIONS the Commerce Country Chart. LVS: N/A (See part 742 of the EAR for addi- GBS: N/A tional information.) CIV: N/A UN applies to entire entry ...... Iraq, North Korea, and LIST OF ITEMS CONTROLLED Rwanda. Unit: $ value Related Controls: N/A LICENSE EXCEPTIONS Related Definitions: N/A LVS: N/A Items: GBS: N/A CIV: N/A a. Telescopic sights. b. Holographic sights. LIST OF ITEMS CONTROLLED Unit: $ value c. Reflex or ‘‘red dot’’ sights. Related Controls: Law enforcement restraint d. Reticle sights. devices that administer an electric shock e. Other sighting devices that contain opti- are controlled under ECCN 0A982. Elec- cal elements. tronic devices that monitor and report a f. Laser pointing devices designed for use person’s location to enforce restrictions on on firearms. movement for law enforcement or penal g. Lenses, other optical elements and ad- reasons are controlled under ECCN 3A981. justment mechanisms for articles in para- Related Definitions: N/A graphs a, b, c, d or e. Items: The list of items controlled is con- 0A988 Conventional military steel helmets tained in the ECCN heading. as described by 0A018.d.1; and machetes. 0A986 Shotgun shells, except buckshot shot- LICENSE REQUIREMENTS gun shells, and parts. Reason for Control: UN LICENSE REQUIREMENTS Reason for Control: AT, FC, UN Control(s) UN applies to entire entry. A license is required for conven- Control(s) tional military steel helmets as described by 0A018.d.1 and for machetes to Iraq, North Korea, and Rwanda. The AT applies to entire entry. A license is required for items Commerce Country Chart is not designed to determine li- controlled by this entry to North Korea for anti-terrorism censing requirements for this entry. See part 746 of the reasons. The Commerce Country Chart is not designed to EAR for additional information. determine AT licensing requirements for this entry. See § 742.19 of the EAR for additional information. NOTE: Exports from the U.S. and FC applies to entire entry.FC Column 1 transhipments to Iran must be licensed by UN applies to entire entry. A license is required for items the Department of Treasury, Office of For- controlled by this entry to Iraq, North Korea, and Rwanda. eign Assets Control. (See § 746.7 of the EAR The Commerce Country Chart is not designed to deter- for additional information on this require- mine licensing requirements for this entry. See part 746 of the EAR for additional information. ment.) LICENSE EXCEPTIONS LICENSE EXCEPTIONS LVS: N/A LVS: N/A GBS: N/A GBS: N/A CIV: N/A CIV: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: $ value Unit: $ value Related Controls: N/A Related Controls: N/A Related Definitions: N/A Related Definitions: N/A Items: The list of items controlled is con- Items: The list of items controlled is contained in the ECCN heading tained in the ECCN heading 0A999 Specific Processing Equipment, as 0A987 Optical sighting devices for firearms Follows (See List of Items Controlled). (including shotguns controlled by 0A984); LICENSE REQUIREMENTS and parts (See list of items controlled). Reason for Control: AT. LICENSE REQUIREMENTS Control(s).

665 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Country Chart. b. Equipment and components, specially AT applies to entire entry. A license is re- designed or prepared for gaseous diffusion quired for items controlled by this entry to separation process, as follows: North Korea for anti-terrorism reasons. The b.1. Bellow valves made of or protected by Commerce Country Chart is not designed to materials resistant to UF6 (e.g., aluminum, determine AT licensing requirements for aluminum alloys, nickel or alloy containing this entry. See § 742.19 of the EAR for addi- 60 weight percent or more nickel), with a di- tional information. ameter of 40 mm to 1500 mm; LICENSE EXCEPTIONS b.2.a. Compressors (positive displacement, LVS: N/A centrifugal and axial flowtypes) or gas blow- GBS: N/A ers with a suction volume capacity of 1 m3/ CIV: N/A min or more of UF6, and discharge pressure up to 666.7 kPa, made of or protected by ma- LIST OF ITEMS CONTROLLED terials resistant to UF (e.g. aluminum, alu- Unit: $ value. 6 minum alloys, nickel or alloy containing 60 Related Controls: N/A weight percent or more nickel); Related Definitions: N/A b.2.b. Rotary shaft seals for compressors or Items: a. Ring Magnets; blowers specified in 0B001.b.2.a. and designed b. Reserved. for a buffer gas in-leakage rate of less than 1,000 cm3/min.; B. TEST, INSPECTION AND PRODUCTION b.3. Gaseous diffusion barriers made of po- EQUIPMENT rous metallic, polymer or ceramic materials 0B001 Plant for the separation of isotopes of resistant to corrosion by UF6 with a pore size ‘‘natural uranium’’ and ‘‘depleted ura- of 10 to 100 nm, a thickness of 5 mm or less, nium’’, ‘‘special fissile materials’’ and and, for tubular forms, a diameter of 25 mm ‘‘other fissile materials’’, and specially de- or less; signed or prepared equipment and com- b.4. Gaseous diffuser housings made of or ponents therefor, as follows (see List of protected by materials resistant to corrosion Items Controlled). by UF6; LICENSE REQUIREMENTS b.5. Heat exchangers made of aluminum, Reason for Control: copper, nickel, or alloys containing more Control(s): Items described in 0B001 are sub- than 60 weight percent nickel, or combina- ject to the export licensing authority of tions of these metals as clad tubes, designed the Nuclear Regulatory Commission (see 10 to operate at sub-atmospheric pressure with CFR part 110). a leak rate that limits the pressure rise to LICENSE EXCEPTIONS, less than 10 Pa per hour under a pressure dif- LVS: N/A ferential of 100 kPa; GBS: N/A c. Equipment and components, specially CIV: N/A designed or prepared for gas centrifuge separation process, as follows: LIST OF ITEMS CONTROLLED c.1. Gas centrifuges; Unit: N/A c.2. Complete rotor assemblies consisting Related Controls: N/A of one or more rotor tube cylinders; Related Definitions: ‘‘Materials resistant to cor- c.3. Rotor tube cylinders with a thickness rosion by UF6’’ may be copper, stainless of 12 mm or less, a diameter of between 75 steel, aluminum, aluminum oxide, alu- mm and 400 mm, made from any of the fol- minum alloys, nickel or alloy containing lowing high strength-to-density ratio mate- 60 weight percent or more nickel and UF6- rials: resistant fluorinated hydrocarbon poly- c.3.a. Maraging steel capable of an ulti- mers, as appropriate for the type of separa- mate tensile strength of 2,050 MPa or more; tion process. c.3.b. Aluminum alloys capable of an ulti- Items: a. Plant specially designed for sepa- mate tensile strength of 460 MPa or more; or rating isotopes of ‘‘natural uranium’’ and c.3.c. ‘‘Fibrous or filamentary materials’’ ‘‘depleted uranium’’, ‘‘special fissile mate- with a ‘‘specific modulus’’ of more than 3.18 rials’’ and ‘‘other fissile materials’’, as fol- × 106 m and a ‘‘specific tensile strength’’ lows: greater than 76.2 × 103 m; a.1. Gaseous diffusion separation plant; c.4. Magnetic suspension bearings con- a.2. Gas centrifuge separation plant; sisting of an annular magnet suspended a.3. Aerodynamic separation plant; within a housing made of UF6 resistant ma- a.4. Chemical exchange separation plant; terials (e.g. aluminum, aluminum alloys, a.5. Ion-exchange separation plant; nickel or alloy containing 60 weight percent a.6. Atomic vapor ‘‘laser’’ isotopic separa- or more nickel) containing a damping me- tion plant; dium and having the magnet coupling with a a.7. Molecular ‘‘laser’’ isotopic separation pole piece or second magnet fitted to the top plant; cap of the rotor; a.8. Plasma separation plant; c.5. Specially prepared bearings comprising a.9. Electro magnetic separation plant; a pivot-cup assembly mounted on a damper;

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c.6. Rings or bellows with a wall thickness by a Pitot tube action, made of or protected of 3 mm or less and a diameter of between 75 by UF6 resistant materials; mm and 400 mm and designed to give local d. Equipment and components, specially support to a rotor tube or to join a number designed or prepared for aerodynamic sepa- together, made from any of the following ration process, as follows: high strength-to-density ratio materials; d.1. Separation nozzles consisting of slit- c.6.a. Maraging steel capable of an ulti- shaped, curved channels having a radius of mate tensile strength of 2050 MPa or more; curvature less than 1 mm and having a knife- c.6.b. Aluminum alloys capable of an ulti- edge contained within the nozzle which sepa- mate tensile strength of 460 MPa or more; or rates the gas flowing through the nozzle into c.6.c. ‘‘Fibrous or filamentary materials’’ two streams; with a ‘‘specific modulus’’ of more than 3.18 d.2. Tangential inlet flow-driven cylin- × 106 m and a ‘‘specific tensile strength’’ drical or conical tubes (vortex tubes), made greater than 76.2 × 103 m;’’. of or protected by UF resistant materials c.7. Baffles of between 75 mm and 400 mm 6 with a diameter of between 0.5 cm and 4 cm diameter for mounting inside a rotor tube, and a length to diameter ratio of 20:1 or less made from any of the following high and with one or more tangential inlets; strength-to-density ratio materials: c.7.a. Maraging steel capable of an ulti- d.3. Compressors (positive displacement, mate tensile strength of 2050 MPa or more; centrifugal and axial flow types) or gas blow- 3 c.7.b. Aluminum alloys capable of an ulti- ers with a suction volume capacity of 2 m / mate tensile strength of 460 MPa or more; or min, made of or protected by materials re- c.7.c. ‘‘Fibrous or filamentary materials’’ sistant to UF6 (e.g., aluminum, aluminum al- with a ‘‘specific modulus’’ of more than 3.18 loys, nickel or alloy containing 60 weight × 106 m and a ‘‘specific tensile strength’’ percent or more nickel), and rotary shaft greater than 76.2 × 103 m;’’. seals therefor; c.8. Top and bottom caps of between 75 mm d.4. Aerodynamic separation element and 400 mm diameter to fit the ends of a housings, made of or protected by materials rotor tube, made from any of the following resistant to UF6 to contain vortex tubes or high strength-to-density ratio materials: separation nozzles; c.8.a. Maraging steel capable of an ulti- d.5. Heat exchangers made of aluminum, mate tensile strength of 2050 MPa or more; or copper, nickel, or alloy containing more c.8.b. Aluminum alloys capable of an ulti- than 60 weight percent nickel, or combina- mate tensile strength of 460 MPa or more; tions of these metals as clad tubes, designed c.8.c. ‘‘Fibrous or filamentary materials’’ to operate at pressures of 600 kPa or less; with a ‘‘specific modulus’’ of more than 3.18 d.6. Bellows valves made of or protected by × 6 10 m and a ‘‘specific tensile strength’’ UF6 resistant materials with a diameter of 40 greater than 76.2 × 103 m. to 1500 mm;

c.9. Molecular pumps comprised of cyl- d.7. Process systems for separating UF6 inders having internally machined or ex- from carrier gas (hydrogen or helium) to 1 truded helical grooves and internally ma- ppm UF6 content or less, including: chined bores; d.7.a. Cryogenic heat exchangers and c.10. Ring-shaped motor stators for multi- cryoseparators capable of temperatures of phase AC hysteresis (or reluctance) motors ¥120 °C or less; for synchronous operation within a vacuum d.7.b. Cryogenic refrigeration units capable in the frequency range of 600 to 2,000 Hz and of temperatures of ¥120 °C or less; a power range of 50 to 1,000 Volt-Amps; d.7.c. Separation nozzle or vortex tube c.11. Frequency changers (converters or in- units for the separation of UF from carrier verters) specially designed or prepared to 6 gas; supply motor stators for gas centrifuge enrichment, having all of the following charac- d.7.d. UF6 cold traps capable of tempera- ¥ ° teristics, and specially designed components tures of 20 C or less; therefor: e. Equipment and components, specially c.11.a. Multiphase output of 600 to 2000 Hz; designed or prepared for chemical exchange c.11.b. Frequency control better than 0.1%; separation process, as follows: c.11.c. Harmonic distortion of less than 2%; e.1. Fast-exchange liquid-liquid centrifugal and contactors with stage residence time of 30 c.11.d. An efficiency greater than 80%; seconds or less and resistant to concentrated c.12. Centrifuge housing/recipients to con- hydrochloric acid (e.g., made of or lined with tain the rotor tube assembly of a gas cen- suitable plastic materials such as fluoro- trifuge, consisting of a rigid cylinder of wall carbon polymers or lined with glass); thickness up to 30 mm with precision ma- e.2. Fast-exchange liquid-liquid pulse col- chined ends and made of or protected by UF6 umns with stage residence time of 30 seconds resistant materials; or less and resistant to concentrated hydro- c.13. Scoops consisting of tubes of up to 12 chloric acid (e.g., made of or lined with suit- mm internal diameter for the extraction of able plastic materials such as fluorocarbon UF6 gas from within a centrifuge rotor tube polymers or lined with glass); 667 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

e.3. Electrochemical reduction cells de- the uranium metal vapor source, the elec- signed to reduce uranium from one valence tron beam gun and the product and tails col- state to another; lectors; e.4. Electrochemical reduction cells feed g.5. ‘‘Lasers’’ or ‘‘laser’’ systems for the equipment to take U∂4 from the organic separation of uranium isotopes with a spec- stream and, for those parts in contact with trum frequency stabilizer for operation over the process stream, made of or protected by extended periods of time; suitable materials (e.g., glass, fluorocarbon N.B.: See also 6A005 and 6A205. polymers, polyphenyl sulphate, polyether h. Equipment and components, specially sulfone and resin-impregnated graphite); designed or prepared for molecular ‘‘laser’’ e.5. Feed preparation systems for pro- isotopic separation process, as follows: ducing high purity uranium chloride solu- h.1. Supersonic expansion nozzles for cool- tion consisting of dissolution, solvent ex- ing mixtures of UF and carrier gas to 150 K traction and/or ion exchange equipment for 6 or less and made from UF6 resistant mate- purification and electrolytic cells for reduc- rials; ing the uranium U∂6 or U∂4 to U∂3; h.2. Uranium fluoride (UF ) product collec- e.6. Uranium oxidation systems for oxida- 5 tors consisting of filter, impact, or cyclone- tion of U∂3 to U∂4; type collectors or combinations thereof, and f. Equipment and components, specially made of UF /UF resistant materials (e.g. designed or prepared for ion-exchange sepa- 5 6 aluminum, aluminum alloys, nickel or alloys ration process, as follows: f.1. Fast reacting ion-exchange resins, containing 60 weight percent of nickel and pellicular or porous macro-reticulated resins UF6 resistant fully fluorinated hydrocarbon in which the active chemical exchange polymers); groups are limited to a coating on the sur- h.3. Equipment for fluorinating UF5 to face of an inactive porous support structure, UF6; and other composite structures in any suit- h.4. Compressors made of or protected by able form, including particles or fibers, with materials resistant to UF6 (e.g., aluminum, diameters of 0.2 mm or less, resistant to con- aluminum alloys, nickel or alloy containing centrated hydrochloric acid and designed to 60 weight percent or more nickel), and rotary have an exchange rate half-time of less than shaft seals therefor; 10 seconds and capable of operating at tem- h.5. Process systems for separating UF6 peratures in the range of 100 °C to 200 °C; from carrier gas (e.g., nitrogen or argon) in- f.2. Ion exchange columns (cylindrical) cluding: with a diameter greater than 1000 mm, made h.5.a. Cryogenic heat exchangers and of or protected by materials resistant to con- cryoseparators capable of temperatures of centrated hydrochloric acid (e.g., titanium ¥120 °C or less; or fluorocarbon plastics) and capable of oper- h.5.b. Cryogenic refrigeration units capable ating at temperatures in the range of 100 °C of temperatures of ¥120 °C or less; to 200 °C and pressures above 0.7 MPa; h.5.c. UF6 cold traps capable of tempera- f.3. Ion exchange reflux systems (chemical tures of ¥20 °C or less; or electrochemical oxidation or reduction h.6. ‘‘Lasers’’ or ‘‘laser’’ systems for the systems) for regeneration of the chemical re- separation of uranium isotopes with a spec- ducing or oxidizing agents used in ion ex- trum frequency stabilizer for operation over change enrichment cascades; extended periods of time; g. Equipment and components, specially N.B.: See also 6A005 and 6A205. designed or prepared for atomic vapor ‘‘laser’’ isotopic separation process, as fol- i. Equipment and components, specially lows: designed or prepared for plasma separation g.1. High power electron beam guns with process, as follows: total power of more than 50 kW and strip or i.1. Product and tails collectors made of or scanning electron beam guns with a deliv- protected by materials resistant to the heat ered power of more than 2.5 kW/cm for use in and corrosion of uranium vapor such as uranium vaporization systems; yttria-coated graphite or tantalum; g.2. Trough shaped crucibles and cooling i.2. Radio frequency ion excitation coils for equipment made of or protected by materials frequencies of more than 100 kHz and capable resistant to heat and corrosion of molten of handling more than 40 kW mean power; uranium or uranium alloy’s (e.g., tantalum, i.3. Microwave power sources and antennae yttria-coated graphite, graphite coated with for producing or accelerating ions, with an other rare earth oxides or mixtures thereof); output frequency greater than 30 GHz and N.B: See also 2A225. mean power output greater than 50 kW; g.3. Product and tails collector systems i.4. Uranium plasma generation systems; made of or lined with materials resistant to i.5. Liquid uranium metal handling sys- the heat and corrosion of uranium vapor, tems consisting of crucibles, made of or pro- such as yttria-coated graphite or tantalum; tected by suitable corrosion and heat resist- g.4. Separator module housings (cylin- ant materials (e.g., tantalum, yttria-coated drical or rectangular vessels) for containing graphite, graphite coated with other rare

668 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

earth oxides or mixtures thereof), and cool- Unit: N/A ing equipment for the crucibles; Related Controls: N/A N.B.: See also 2A225. Related Definitions: N/A Items: a. Feed autoclaves, ovens or systems i.6. Separator module housings (cylin- used for passing UF to the enrichment proc- drical) for containing the uranium plasma 6 ess; source, radio-frequency drive coil and the b. Desublimers or cold traps, used to re- product and tails collectors and made of a move UF from the enrichment process for suitable non-magnetic material (e.g. stain- 6 subsequent transfer upon heating; less steel); c. Product and tails stations for transfer- j. Equipment and components, specially ring UF into containers; designed or prepared for electromagnetic 6 d. Liquefaction or solidification stations separation process, as follows: used to remove UF from the enrichment j.1. Ion sources, single or multiple, con- 6 process by compressing and converting UF sisting of a vapor source, ionizer, and beam 6 to a liquid or solid form; accelerator made of suitable materials (e.g., e. Piping systems and header systems spe- graphite, stainless steel, or copper) and capa- cially designed for handling UF within gas- ble of providing a total ion beam current of 6 eous diffusion, centrifuge or aerodynamic 50 mA or greater; cascades made of or protected by UF resist- j.2. Ion collector plates for collection of en- 6 ant materials; riched or depleted uranium ion beams, con- e.1. Vacuum manifolds or vacuum headers sisting of two or more slits and pockets and having a suction capacity of 5 m3/minute or made of suitable non-magnetic materials more; or (e.g., graphite or stainless steel); e.2. Vacuum pumps specially designed for j.3. Vacuum housings for uranium electro- use in UF bearing atmospheres; magnetic separators made of non-magnetic 6 f. UF mass spectrometers/ion sources spe- materials (e.g. graphite or stainless steel) 6 cially designed or prepared for taking on-line and designed to operate at pressures of 0.1 Pa samples of feed, product or tails from UF or lower; 6 gas streams and having all of the following j.4. Magnet pole pieces with a diameter characteristics: greater than 2 m; f.1. Unit resolution for mass of more than j.5. High voltage power supplies for ion 320 amu; sources, having all of the following charac- f.2. Ion sources constructed of or lined with teristics: nichrome or monel, or nickel plated; j.5.a. Capable of continuous operation; f.3. Electron bombardment ionization j.5.b. Output voltage of 20,000 V or greater; sources; and j.5.c. Output current of 1 A or greater; f.4. Collector system suitable for isotopic j.5.d. Voltage regulation of better than analysis. 0.01% over a period of 8 hours; N.B.: See also 3A227. 0B003 Plant for the conversion of uranium j.6. Magnet power supplies (high power, di- and equipment specially designed or pre- rect current) having all of the following pared therefor, as follows (see List of characteristics: Items Controlled). j.6.a. Capable of continuous operation with LICENSE REQUIREMENTS a current output of 500 A or greater at a volt- Reason for Control age of 100 V or greater; Control(s): Items described in 0B003 are sub- j.6.b. Current or voltage regulation better ject to the export licensing authority of than 0.01% over a period of 8 hours. the Nuclear Regulatory Commission (see 10 N.B.: See also 3A226. CFR part 110). LICENSE EXCEPTIONS 0B002 Specially designed or prepared auxil- LVS: N/A iary systems, equipment and components, GBS: N/A as follows, (see List of Items Controlled) CIV: N/A for isotope separation plant specified in LIST OF ITEMS CONTROLLED 0B001, made of or protected by UF6 re- Unit: N/A sistant materials. Related Controls: N/A LICENSE REQUIREMENTS Related Definitions: N/A Reason for Control: Items: a. Systems for the conversion of ura- Control(s): Items described in 0B002 are sub- nium ore concentrates to UO3; ject to the export licensing authority of b. Systems for the conversion of UO3 to the Nuclear Regulatory Commission (see 10 UF6; CFR part 110) c. Systems for the conversion of UO3 to LICENSE EXCEPTIONS UO2; LVS: N/A d. Systems for the conversion of UO2 to GBS: N/A UF4; CIV: N/A e. Systems for the conversion of UF4 to LIST OF ITEMS CONTROLLED UF6; 669 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

f. Systems for the conversion of UF4 to b.4.d. Infrared absorption analyzers capable uranium metal; of on-line hydrogen-deuterium ratio analysis g. Systems for the conversion of UF6 to where deuterium concentrations are equal to UO2; or more than 90 weight percent. h. Systems for the conversion of UF6 to UF ; 0B005 Plant specially designed for the fab- 4 rication of ‘‘nuclear reactor’’ fuel ele- i. Systems for the conversion of UO2 to UCl . ments and specially designed equipment 4 therefor. 0B004 Plant for the production of heavy LICENSE REQUIREMENTS water, deuterium or deuterium com- Reason for Control: pounds, and specially designed or pre- Control(s): Items described in 0B005 are sub- pared equipment and components there- ject to the export licensing authority of for, as follows (see List of Items Con- the Nuclear Regulatory Commission (see 10 trolled). CFR part 110) ICENSE XCEPTIONS LICENSE REQUIREMENTS L E Reason for Control: LVS: N/A GBS: N/A Control(s): Items described in 0B004 are sub- CIV: N/A ject to the export licensing authority of LIST OF ITEMS CONTROLLED the Nuclear Regulatory Commission (see 10 Unit: N/A CFR part 110) Related Controls: N/A LICENSE EXCEPTIONS Related Definitions: A plant for the fabrica- LVS: N/A tion of ‘‘nuclear reactor’’ fuel elements in- GBS: N/A cludes equipment which: (a) Normally CIV: N/A comes into direct contact with or directly LIST OF ITEMS CONTROLLED processes or controls the production flow Unit: N/A of nuclear materials; (b) Seals the nuclear Related Controls: N/A materials within the cladding; (c) Checks Related Definitions: N/A the integrity of the cladding or the seal; Items: a. Plant for the production of heavy and (d) Checks the finish treatment of the water, deuterium or deuterium compounds, solid fuel as follows: Items: The List of Items Controlled is con- a.1. Hydrogen sulphide-water exchange tained in the ECCN heading plants; a.2. Ammonia-hydrogen exchange plants; 0B006 Plant for the reprocessing of irradi- a.3. Hydrogen distillation plants; ated ‘‘nuclear reactor’’ fuel elements, and b. Equipment and components, as follows, specially designed or prepared equip- designed for: ment and components therefor, including b.1. Hydrogen sulphide-water exchange (see List of Items Controlled). process: LICENSE REQUIREMENTS b.1.a. Tray exchange towers; Reason for Control: b.1.b. Hydrogen sulphide gas compressors; Control(s): Items described in 0B006 are subject to the export licensing authority of b.2. Ammonia-hydrogen exchange process: the Nuclear Regulatory Commission (see 10 b.2.a. High-pressure ammonia-hydrogen ex- CFR part 110) change towers; LICENSE EXCEPTIONS b.2.b. High-efficiency stage contactors; LVS: N/A b.2.c. Submersible stage recirculation GBS: N/A pumps; CIV: N/A b.2.d. Ammonia crackers designed for pres- LIST OF ITEMS CONTROLLED sures of more than 3 MPa; Unit: N/A b.3. Hydrogen distillation process: Related Controls: N/A b.3.a. Hydrogen cryogenic distillation tow- Related Definitions: N/A ers and cold boxes designed for operation Items: a. Fuel element chopping or shredding below 35 K (¥238 °C); machines, i.e. remotely operated equipment b.3.b. Turboexpanders or turboexpander- to cut, chop, shred or shear irradiated ‘‘nu- compressor sets designed for operation below clear reactor’’ fuel assemblies, bundles or 35 K (¥238 °C); rods; b.4. Heavy water concentration process to b. Dissolvers, critically safe tanks (e.g. reactor grade level (99.75 weight percent deu- small diameter, annular or slab tanks) spe- terium oxide): cially designed or prepared for the dissolu- b.4.a. Water distillation towers containing tion of irradiated ‘‘nuclear reactor’’ fuel, specially designed packings; which are capable of withstanding hot, high- b.4.b. Ammonia distillation towers con- ly corrosive liquids, and which can be re- taining specially designed packings; motely loaded and maintained; b.4.c. Catalytic burners for conversion of c. Counter-current solvent extractors and fully enriched deuterium to heavy water; ion-exchange processing equipment specially

670 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

designed or prepared for use in a plant for 0B999 Specific Processing Equipment, as the reprocessing of irradiated ‘‘natural ura- Follows (See List of Items Controlled). nium’’, ‘‘depleted uranium’’ or ‘‘special LICENSE REQUIREMENTS fissile materials’’ and ‘‘other fissile mate- Reason for Control: AT, RS. rials’’; d. Process control instrumentation spe- Control(s) Country chart cially designed or prepared for monitoring or AT applies to entire entry...... A license is required controlling the reprocessing of irradiated for items controlled ‘‘natural uranium’’, ‘‘depleted uranium’’ or by this entry to ‘‘special fissile materials’’ and ‘‘other fissile North Korea for materials’’; anti-terrorism rea- e. Holding or storage vessels specially de- sons. The Com- signed to be critically safe and resistant to merce Country Chart is not de- the corrosive effects of nitric acid; signed to determine NOTE: Critically safe tanks may have the AT license require- following features: ments for this entry. 1. Walls or internal structures with a boron See § 742.19 of the equivalent of at least two percent; EAR for additional 2. A maximum diameter or 175 mm for cy- information. RS applies to entire entry...... A license is required lindrical vessels; or for items controlled 3. A maximum width of 75 mm for either a by this entry for ex- slab or annular vessel. port or reexport to f. Complete systems specially designed or Iraq or transfer prepared for the conversion of plutonium ni- within Iraq for re- gional stability rea- trate to plutonium oxide; sons. The Com- g. Complete systems specially designed or merce Country prepared for the production of plutonium Chart is not de- metal. signed to determine RS license require- NOTE: Plant for the reprocessing of irradi- ments for this entry. ated ‘‘nuclear reactor’’ fuel elements in- See §§ 742.6 and cludes equipment and components which 746.3 of the EAR normally come into direct contact with and for additional infor- directly control the irradiated fuel and the mation. major nuclear material and fission product processing streams. LICENSE EXCEPTIONS LVS: N/A 0B986 Equipment specially designed for GBS: N/A manufacturing shotgun shells; and am- CIV: N/A munition hand-loading equipment for LIST OF ITEMS CONTROLLED both cartridges and shotgun shells. Unit: $ value. LICENSE REQUIREMENTS Related Controls: N/A Reason for Control: AT, UN. Related Definitions: N/A Control(s): AT applies to entire entry. A li- Items: a. Hot cells; cense is required for items controlled by b. Glove boxes suitable for use with radio- this entry to North Korea for anti-ter- active materials. rorism reasons. The Commerce Country Chart is not designed to determine AT li- C. MATERIALS censing requirements for this entry. See 0C001 ‘‘Natural uranium’’ or ‘‘depleted ura- § 742.19 of the EAR for additional informa- nium’’ or thorium in the form of metal, tion. alloy, chemical compound or concentrate UN applies to entire entry. A license is re- and any other material containing one or quired for items controlled by this entry to more of the foregoing. Iraq and Rwanda. The Commerce Country LICENSE REQUIREMENTS Chart is not designed to determine licensing Reason for Control: requirements for this entry. See part 746 of Control(s): Items described in 0C001 are sub- the EAR for additional information. ject to the export licensing authority of LICENSE EXCEPTIONS the Nuclear Regulatory Commission (see 10 LVS: N/A CFR part 110) GBS: N/A LICENSE EXCEPTIONS CIV: N/A LVS: N/A LIST OF ITEMS CONTROLLED GBS: N/A Unit: $ value CIV: N/A Related Controls: N/A LIST OF ITEMS CONTROLLED Related Definitions: N/A Unit: N/A Items: The list of items controlled is con- Related Controls: (1) See also 1A290. (2) This tained in the ECCN heading entry does not control: (a) Four grams or

671 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

less of ‘‘natural uranium’’ or ‘‘depleted GBS: N/A uranium’’ when contained in a sensing CIV: N/A component in instruments (see 10 CFR part LIST OF ITEMS CONTROLLED 110); or (b) ‘‘Depleted uranium’’ specially Unit: N/A fabricated for the following civil non-nu- Related Controls: Graphite intended for a use clear applications: Shielding; Packaging; other than in a nuclear reactor, and that Ballasts; or Counter-weights meets certain density parameters, is clas- Related Definitions: N/A sified under ECCN 1C107.High-purity graph- Items: The list of items controlled is con- ite with a boron content of less than 5 tained in the ECCN heading parts per million and a density greater than 1.5 grams per cubic centimeter, is 0C002 ‘‘Special fissile materials’’ and ‘‘other classified under ECCN 1C298. fissile materials’’; except, four ‘‘effective Related Definitions: N/A grams’’ or less when contained in a sens- Items: The list of items controlled is con- ing component in instruments. tained in the ECCN heading. LICENSE REQUIREMENTS Reason for Control: 0C006 Nickel powder or porous nickel Control(s): Items described in 0C002 are sub- metal, specially prepared for the manu- ject to the export licensing authority of facture of gaseous diffusion barriers, as the Nuclear Regulatory Commission (see 10 follows (see List of Items Controlled). CFR part 110) LICENSE REQUIREMENTS LICENSE EXCEPTIONS Reason for Control: LVS: N/A Control(s): Items described in 0C006 are sub- GBS: N/A ject to the export licensing authority of CIV: N/A the Nuclear Regulatory Commission (see 10 LIST OF ITEMS CONTROLLED CFR part 110) Unit: N/A LICENSE EXCEPTIONS Related Controls: N/A LVS: N/A Related Definitions: N/A GBS: N/A Items: The List of Items Controlled is Con- CIV: N/A tained in the ECCN heading LIST OF ITEMS CONTROLLED Unit: N/A 0C004 Deuterium, heavy water, deuterated Related Controls: See also 1C240 paraffins and other compounds of deute- Related Definitions: N/A rium, and mixtures and solutions con- Items: a. Powder with a nickel purity content taining deuterium, in which the isotopic of 99.9 weight percent or more and a mean ratio of deuterium to hydrogen exceeds particle size of less than 10 micrometers 1:5000. measured by American Society for Testing LICENSE REQUIREMENTS Reason for Control: and Materials (ASTM) B330 standard and a Control(s): Items described in 0C004 are sub- high degree of particle size uniformity; or ject to the export licensing authority of b. Porous nickel metal produced from ma- the Nuclear Regulatory Commission (see 10 terials specified in 0C006.a. CFR part 110) 0C201 Specially prepared compounds or LICENSE EXCEPTIONS powders, other than nickel, resistant to LVS: N/A corrosion by UF (e.g. aluminum oxide GBS: N/A 6 and fully fluorinated hydrocarbon poly- CIV: N/A mers), for the manufacture of gaseous dif- LIST OF ITEMS CONTROLLED Unit: N/A fusion barriers, having a purity of 99.9 Related Controls: N/A weight percent or more and a mean par- Related Definitions: N/A ticle size of less than 10 micrometers Items: The list of items controlled is con- measured by American Society for Test- tained in the ECCN heading ing and Materials (ASTM) B330 standard and a high degree of particle size uni- 0C005 Graphite, having a purity level of less formity. than 5 parts per million ‘‘boron equiva- LICENSE REQUIREMENTS lent’’ as measured according to ASTM Reason for Control: standard C–1233–98 and intended for use Control(s): Items described in 0C201 are sub- in a nuclear reactor. ject to the export licensing authority of LICENSE REQUIREMENTS the Nuclear Regulatory Commission (see 10 Reason for Control: CFR part 110) Control(s): Items described in 0C005 are sub- LICENSE EXCEPTIONS ject to the export licensing authority of LVS: N/A the Nuclear Regulatory Commission (see 10 GBS: N/A CFR part 110). CIV: N/A LICENSE EXCEPTIONS LIST OF ITEMS CONTROLLED LVS: N/A Unit: N/A

672 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Related Controls: N/A Control(s) Country chart Related Definitions: N/A Items: The list of items controlled is con- RS applies to entire entry...... A license is required for items controlled tained in the ECCN heading by this entry for export or reexport to D. SOFTWARE Iraq or transfer within Iraq for re- 0D001 ‘‘Software’’ specially designed or gional stability rea- modified for the ‘‘development’’, ‘‘produc- sons. The Com- tion’’, or ‘‘use’’ of items described in merce Country 0A001, 0A002, 0B (except 0B986 and Chart is not de- 0B999), or 0C. signed to determine RS license require- LICENSE REQUIREMENTS ments for this entry. Reason for Control See §§ 742.6 and Control(s): ‘‘Software’’ for items described in 746.3 of the EAR 0A001, 0B001, 0B002, 0B003, 0B004, 0B005, for additional infor- 0B006, 0C001, 0C002, 0C004, 0C005, 0C006, or mation. 0C201 is subject to the export licensing au- LICENSE EXCEPTIONS thority of the Nuclear Regulatory Commis- CIV: N/A sion (see 10 CFR part 110). TSR: N/A ‘‘Software’’ for items described in 0A002 is LIST OF ITEMS CONTROLLED subject to the export licensing authority of Unit: $ value. the U.S. Department of State, Directorate of Related Controls: N/A Defense Trade Controls (see 22 CFR part 121). Related Definitions: N/A License Exceptions Items: a. Software for neutronic calculations/ CIV: N/A modeling; TSR: N/A b. Software for radiation transport calculations/modeling; List of Items Controlled c. Software for hydrodynamic calculations/ Unit: N/A modeling. Related Controls: N/A Related Definitions: N/A E. TECHNOLOGY Items: The List of Items Controlled is con- 0E001 ‘‘Technology,’’ according to the Nu- tained in the ECCN heading. clear Technology Note, for the ‘‘development’’, ‘‘production’’, or ‘‘use’’ of items de- 0D999 Specific Software, as Follows (See scribed in 0A001, 0A002, 0B (except 0B986 List of Items Controlled). and 0B999), 0C, or 0D001. LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: AT, RS. Reason for Control Control(s): ‘‘Technology’’ for items described Control(s) Country chart in 0A001, 0B001, 0B002, 0B003, 0B004, 0B005, 0B006, 0C001, 0C002, 0C004, 0C005, 0C006, AT applies to entire entry ...... A license is required 0C201, or 0D001 (applies to ‘‘software’’ in for items controlled by this entry to 0D001 for all items except those described North Korea for in 0A002) is subject to the export licensing anti-terrorism rea- authority of the Department of Energy sons. The Com- (see 10 CFR part 810). merce Country ‘‘Technology’’ for items described in 0A002 Chart is not de- and 0D001 (applies to ‘‘software’’ in 0D001 for signed to determine items described in 0A002 only) is subject to AT license requirements for this entry. the export licensing authority of the U.S. See § 742.19 of the Department of State, Directorate of Defense EAR for additional Trade Controls (see 22 CFR part 121). information. License Exceptions CIV: N/A TSR: N/A List of Items Controlled Unit: N/A Related Controls: N/A Related Definitions: N/A Items: The List of Items Controlled is contained in the ECCN heading.

0E018 ‘‘Technology’’ for the ‘‘development’’, ‘‘production’’, or ‘‘use’’ of items controlled by 0A018.

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LICENSE REQUIREMENTS Related Controls: N/A Reason for Control: NS, UN, AT. Related Definitions: N/A Items: Control(s) Country chart The list of items controlled is contained in NS applies to entire entry ...... NS Column 1. the ECCN heading. UN applies to entire entry ...... Iraq, North Korea, and Rwanda. 0E982 ‘‘Technology’’ exclusively for the ‘‘de- AT applies to entire entry ...... AT Column 1. velopment’’ or ‘‘production’’ of equipment controlled by 0A982 or 0A985. LICENSE EXCEPTIONS LICENSE REQUIREMENTS CIV: N/A Reason for Control: CC TSR: Yes, except N/A for Rwanda Control(s) LIST OF ITEMS CONTROLLED CC applies to ‘‘technology’’ for items con- Unit: N/A trolled by 0A982 or 0A985. A license is re- Related Controls: N/A quired for ALL destinations, except Canada, Related Definitions: N/A regardless of end-use. Accordingly, a column Items: The list of items controlled is con- specific to this control does not appear on tained in the ECCN heading the Commerce Country Chart. (See part 742 0E918 ‘‘Technology’’ for the ‘‘Development’’, of the EAR for additional information.) ‘‘Production’’, or ‘‘Use’’ of Bayonets. LICENSE EXCEPTIONS LICENSE REQUIREMENTS CIV: N/A Reason for Control: RS, UN, AT. TSR: N/A LIST OF ITEMS CONTROLLED Control(s) Country chart Unit: N/A RS applies to entire entry ...... RS Column 2. Related Controls: N/A UN applies to entire entry ...... Iraq, North Korea, and Related Definitions: N/A Rwanda. Items: The list of items controlled is con- AT applies to entire entry ...... AT Column 1. tained in the ECCN heading.

LICENSE EXCEPTIONS 0E984 ‘‘Technology’’ for the ‘‘development’’ CIV: N/A or ‘‘production’’ of shotguns controlled by TSR: N/A 0A984 and buckshot shotgun shells. LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: N/A Reason for Control: CC, UN

Control(s) Country chart

CC applies to ‘‘technology’’ for shotguns with a barrel length over 18 in. CC Column 1. (45.72 cm), and for shotgun shells controlled by ECCN 0A984.. UN applies to entire entry ...... Iraq, North Korea, and Rwanda.

LICENSE EXCEPTIONS to these other agency controls for conven- CIV: N/A ience only. Therefore, please consult rel- TSR: N/A evant FDA and DEA regulations for guidance LIST OF ITEMS CONTROLLED related to the item you wish to export and Unit: N/A do not rely solely on the EAR for informa- Related Controls: N/A tion about other agency export control re- Related Definitions: N/A quirements. See Supplement No. 3 to part 730 Items: The list of items controlled is con- (Other U.S. Government Departments and tained in the ECCN heading Agencies with Export Control Responsibil- ities) for more information. EAR99 Items subject to the EAR that are not elsewhere specified in this CCL Cat- A. SYSTEMS, EQUIPMENT AND COMPONENTS egory or in any other category in the CCL 1A001 Components made from fluorinated are designated by the number EAR99. compounds, as follows (see List of Items Controlled). CATEGORY 1—SPECIAL MATERIALS AND RE- LICENSE REQUIREMENTS LATED EQUIPMENT, CHEMICALS, ‘‘MICRO- Reason for Control: NS, AT ORGANISMS,’’ AND ‘‘TOXINS’’ Control(s) Country chart NOTE: The Food and Drug Administration (FDA) and the Drug Enforcement Adminis- NS applies to entire entry ...... NS Column 2 tration (DEA) may control exports of items AT applies to entire entry ...... AT Column 1 subject to the EAR and on the Commerce Control List. BIS provides cross references LICENSE EXCEPTIONS

674 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LVS: $5000 1C010, 1C210, 9A010, and 9A110. (3) ‘‘Com- GBS: N/A posite’’ structures specially designed for CIV: N/A missile applications (including specially LIST OF ITEMS CONTROLLED designed subsystems and components) are Unit: Kilograms. controlled by ECCN 9A110. (4) ‘‘Composite’’ Related Controls: (1) Items specially designed structures or laminates specially designed or modified for missiles or for items on the or prepared for use in separating uranium U.S. Munitions List are subject to the ex- isotopes are subject to the export licensing port licensing authority of the U.S. De- authority of the Nuclear Regulatory Com- partment of State, Directorate of Defense mission (see 10 CFR part 110). Trade Controls (see 22 CFR 121.1 Category Related Definitions: N/A XXI). (2) See also 1C009. Items: Related Definitions: N/A a. Consisting of an organic ‘‘matrix’’ and Items: materials controlled by 1C010.c 1C010.d, or a. Seals, gaskets, sealants or fuel bladders, 1C010.e or specially designed for ‘‘aircraft’’ or aero- b. Consisting of a metal or carbon ‘‘ma- space use, made from more than 50% by trix’’, and any of the following: weight of any of the materials controlled by b.1. Carbon ‘‘fibrous or filamentary mate- 1C009.b or 1C009.c; rials’’ having all of the following: b. Piezoelectric polymers and copolymers, b.1.a. A ‘‘specific modulus’’ exceeding 10.15 made from vinylidene fluoride (CAS 75–38–7) × 106 m; and materials, controlled by 1C009.a, having all b.1.b. A ‘‘specific tensile strength’’ exceed- of the following: ing 17.7 × 104 m; or b.1. In sheet or film form; and b.2. Materials controlled by 1C010.c. b.2. With a thickness exceeding 200 μm; NOTE 1: 1A002 does not control composite c. Seals, gaskets, valve seats, bladders or structures or laminates made from epoxy diaphragms, having all of the following: resin impregnated carbon ‘‘fibrous or fila- c.1. Made from fluoroelastomers con- mentary materials,’’ for the repair of ‘‘civil taining at least one vinylether group as a aircraft’’ structures or laminates, having all constitutional unit; and of the following: c.2. Specially designed for ‘‘aircraft’’, aero- a. An area not exceeding 1 m2; space or missile use. b. A length not exceeding 2.5 m; and 1A002 ‘‘Composite’’ structures or laminates, c. A width exceeding 15 mm. having any of the following (see List of NOTE 2: 1A002 does not control semi-fin- Items Controlled). ished items, specially designed for purely ci- LICENSE REQUIREMENTS vilian applications as follows: Reason for Control: NS, NP, AT. a. Sporting goods; b. Automotive industry; Control(s) Country chart c. Machine tool industry; d. Medical applications. NS applies to entire entry ...... NS Column 2. NOTE 3: 1A002.b.1 does not apply to semi- NP applies to 1A002.b.1 in the form NP Column 1. finished items containing a maximum of two of tubes with an inside diameter between 75 mm and 400 mm. dimensions of interwoven filaments and spe- 1 AT applies to entire entry ...... AT Column 1. cially designed for applications as follows: a. Metal heat-treatment furnaces for tem- LICENSE REQUIREMENT NOTES: See § 743.1 of pering metals; the EAR for reporting requirements for ex- b. Silicon boule production equipment. ports under License Exceptions. NOTE 4: 1A002 does not apply to finished License Exceptions items specially designed for a specific appli- LVS: $1,500; N/A for NP; N/A for ‘‘composite’’ cation. structures or laminates controlled by 1A002.a, having an organic ‘‘matrix’’ and 1A003 Manufactures of non-‘‘fusible’’ aro- made from materials controlled by 1C010.c matic polyimides in film, sheet, tape or or 1C010.d. ribbon form having any of the following GBS: N/A (see List of Items Controlled). CIV: N/A LICENSE REQUIREMENTS STA: License Exception STA may not be Reason for Control: NS, AT used to ship any item in this entry to any Control(s) Country chart of the eight destinations listed in § 740.20(c)(2) of the EAR. NS applies to entire entry ...... NS Column 2 LIST OF ITEMS CONTROLLED AT applies to entire entry ...... AT Column 1 Unit: Kilograms. Related Controls: (1) See ECCNs 1E001 (‘‘de- LICENSE EXCEPTIONS velopment’’ and ‘‘production’’) and 1E201 LVS: $200 (‘‘use’’) for technology for items controlled GBS: N/A by this entry. (2) Also see ECCNs 1A202, CIV: N/A

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LIST OF ITEMS CONTROLLED Related Definitions: ‘Adapted for use in war’ Unit: Kilograms means: Any modification or selection (such Related Controls: This entry does not control as altering purity, shelf life, virulence, dis- manufactures when coated or laminated semination characteristics, or resistance with copper and designed for the produc- to UV radiation) designed to increase the tion of electronic printed circuit boards. effectiveness in producing casualties in hu- For ‘‘fusible’’ aromatic polyimides in any mans or animals, degrading equipment or form, see 1C008.a.3. damaging crops or the environment. (2) Related Definitions: N/A ‘Riot control agents’ are substances which, Items: a. A thickness exceeding 0.254 mm; or under the expected conditions of use for b. Coated or laminated with carbon, graph- riot control purposes, produce rapidly in ite, metals or magnetic substances. humans sensory irritation or disabling physical effects which disappear within a 1A004 Protective and detection equipment short time following termination of expo- and components, not specially designed sure. (Tear gases are a subset of ‘riot con- for military use, as follows (see List of trol agents’.) . Items Controlled). Items: LICENSE REQUIREMENTS a. Gas masks, filter canisters and decon- Reason for Control: NS, CB, RS, AT. tamination equipment therefor, designed or Control(s) Country chart modified for defense against any of the following, and specially designed components NS applies to entire entry ...... NS Column 2. therefor: CB applies to chemical detec- CB Column 2. a.1. Biological agents ‘adapted for use in tion systems and. dedicated detectors therefor, in war’; 1A004.c, that also have the a.2. Radioactive materials ‘adapted for use technical characteristics de- in war’; scribed in 2B351.a. a.3. Chemical warfare (CW) agents; or RS apply to 1A004.d ...... RS Column 2. a.4. ‘Riot control agents’, as follows: AT applies to entire entry ...... AT Column 1. a.4.a. a-Bromobenzeneacetonitrile, LICENSE EXCEPTIONS (Bromobenzyl cyanide) (CA) (CAS 5798–79–8); LVS: N/A a.4.b. [(2-chlorophenyl) methylene] GBS: N/A propanedinitrile, (o- CIV: N/A Chlorobenzylidenemalononitrile) (CS) (CAS LIST OF ITEMS CONTROLLED 2698–41–1); Unit: $ value a.4.c. 2-Chloro-1-phenylethanone, Related Controls: (1) See ECCNs 1A995, 2B351, Phenylacyl chloride (w-chloroacetophenone) and 2B352. (2) See ECCN 1D003 for ‘‘soft- (CN) (CAS 532–27–4); ware’’ specially designed or modified to en- a.4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) able equipment to perform the functions of (CAS 257–07–8); equipment controlled under section 1A004.c a.4.e. 10-Chloro-5,10-dihydrophenarsazine, (Nuclear, biological and chemical (NBC) (Phenarsazine chloride), (Adamsite), (DM) detection systems). (3) See ECCN 1E002.g (CAS 578–94–9); for control libraries (parametric technical a.4.f. N-Nonanoylmorpholine, (MPA) (CAS databases) specially designed or modified 5299–64–9); to enable equipment to perform the func- b. Protective suits, gloves and shoes, spe- tions of equipment controlled under cially designed or modified for defense 1A004.c (Nuclear, biological and chemical against any of the following: (NBC) detection systems).(4) Chemical and b.1. Biological agents ‘adapted for use in biological protective and detection equip- war’; ment specifically designed, developed, b.2. Radioactive materials ‘adapted for use modified, configured, or adapted for mili- in war’; or tary applications is subject to the export b.3. Chemical warfare (CW) agents; licensing jurisdiction of the Department of State, Directorate of Defense Trade Con- c. Detection systems, specially designed or trols (see 22 CFR part 121, category XIV(f)), modified for detection or identification of as is commercial equipment that incor- any of the following, and specially designed porates components or parts controlled components therefor: under that category unless those compo- c.1. Biological agents ‘adapted for use in nents or parts are: (1) Integral to the de- war’; vice; (2) inseparable from the device; and c.2. Radioactive materials ‘adapted for use (3) incapable of replacement without com- in war’; or promising the effectiveness of the device, c.3. Chemical warfare (CW) agents; in which case the equipment is subject to d. Electronic equipment designed for auto- the export licensing jurisdiction of the De- matically detecting or identifying the pres- partment of Commerce under ECCN 1A004. ence of ‘‘explosives’’ (as listed in the annex

676 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

at the end of Category 1) residues and uti- and IV, are subject to the export licensing lizing ‘trace detection’ techniques (e.g., sur- authority of the U.S. Department of State, face acoustic wave, ion mobility spectrom- Directorate of Defense Trade Controls (see etry, differential mobility spectrometry, 22 CFR 121.1 Categories X(a) and XIV(f, h)). mass spectrometry). (2) For ‘‘fibrous or filamentary materials’’ used in the manufacture of body armor, see TECHNICAL NOTES: 1. 1A004 includes equipment and compo- ECCN 1C010. (3) See § 746.8(b)(1) for addi- nents that have been identified, successfully tional licensing requirements concerning tested to national standards or otherwise this entry. proven effective, for the detection of or de- Related Definitions: NA fense against radioactive materials ‘‘adapted Items: The list of items controlled is con- for use in war’’, biological agents ‘‘adapted tained in the ECCN heading. for use in war’’, chemical warfare agents, NOTE TO ECCN 1A005: 1. This entry does not ’simulants’ or ‘‘riot control agents’’, even if control body armor or protective garments such equipment or components are used in when accompanying their user for the user’s civil industries such as mining, quarrying, own personal protection. agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, 2. This entry does not control body armor or the food industry. designed to provide frontal protection only 2. ’Simulant’: A substance or material that from both fragment and blast from non-mili- is used in place of toxic agent (chemical or tary explosive devices. biological) in training, research, testing or 1A006 Equipment, specially designed or evaluation. modified for the disposal of improvised TECHNICAL NOTE: ‘Trace detection’ is de- explosive devices, as follows (see List of fined as the capability to detect less than 1 Items Controlled), and specially designed ppm vapor, or 1 mg solid or liquid. components and accessories therefor. NOTE 1: 1A004.d. does not apply to equipment specially designed for laboratory use. LICENSE REQUIREMENTS NOTE 2: 1A004.d. does not apply to non-con- Reason for Control: NS, AT tact walk-through security portals. Control(s) Country chart NOTE: 1A004 does not control: a. Personal radiation monitoring NS applies to entire entry ...... NS Column 2. dosimeters; AT applies to entire entry ...... AT Column 1. b. Equipment limited by design or function to protect against hazards specific to resi- LICENSE REQUIREMENT NOTE: 1A006 does not dential safety or civil industries, including: apply to equipment when accompanying its 1. Mining; operator. 2. Quarrying; 3. Agriculture; LICENSE EXCEPTIONS 4. Pharmaceutical; LVS: N/A 5. Medical; GBS: N/A 6. Veterinary; CIV: N/A 7. Environmental; LIST OF ITEMS CONTROLLED 8. Waste management; Unit: $ value 9. Food industry. Related Controls: Equipment specially designed for military use for the disposal of im- 1A005 Body armor, and specially designed provised explosive devices is subject to the components therefor, not manufactured export licensing jurisdiction of the Depart- to military standards or specifications, ment of State, Directorate of Defense Trade nor to their equivalents in performance. Controls (see 22 CFR part 121, Category IV). LICENSE REQUIREMENTS Reason for Control: NS, UN, AT. Related Definitions: ’Disruptors’—Devices specially designed for the purpose of pre- Control(s) Country chart venting the operation of an explosive device by projecting a liquid, solid or fran- NS applies to entire entry ...... NS Column 2. gible projectile. UN applies to entire entry ...... Iraq, North Korea, and Items: Rwanda. AT applies to entire entry ...... AT Column 1. a. Remotely operated vehicles; b. ’Disruptors’ LICENSE EXCEPTIONS LVS: N/A 1A007 Equipment and devices, specially de- GBS: Yes, except UN signed to initiate charges and devices CIV: N/A containing energetic materials, by elec- LIST OF ITEMS CONTROLLED trical means, as follows (see List of Items Unit: $ value Controlled). Related Controls: (1) Bulletproof and bullet LICENSE REQUIREMENTS resistant vests (body armor) NIJ levels III Reason for Control: NS, NP, AT

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Control(s) Country chart LICENSE EXCEPTIONS LVS: $3,000 for .a through .c, except N/A for NS applies to entire entry ...... NS Column 2. Rwanda $6,000 for .d, except N/A for Rwanda. NP applies to 1A007.b, as well as NP Column 1. GBS: N/A. 1A007.a when the detonator firing set CIV: N/A. meets or exceeds the parameters of LIST OF ITEMS CONTROLLED 3A229. AT applies to entire entry ...... AT Column 1. Unit: $ value. Related Controls: (1) All of the following are LICENSE EXCEPTIONS subject to the export licensing jurisdiction LVS: N/A of the Department of State, Directorate of GBS: N/A Defense Trade Controls (see 22 CFR part 121): CIV: N/A a. High explosives and related equipment LIST OF ITEMS CONTROLLED specially designed for military use; Unit: $ value b. Explosive devices or charges in this Related Controls: High explosives and related entry that utilize USML controlled energetic equipment specially designed for military materials (See 22 CFR 121.1 Category V), if use is subject to the export licensing juris- they have been specifically designed, devel- diction of the Department of State, Direc- oped, configured, adapted, or modified for a torate of Defense Trade Controls (see 22 CFR military application; part 121). This entry does not control deto- c. Shaped charges that have all of the fol- nators using only primary explosives, such lowing a uniform shaped conical liner with as lead azide. See also 3A229. See 1E001 for an included angle of 90 degrees or less, more ‘‘development’’ and ‘‘production’’ technology than 2.0 kg of controlled materials, and a di- controls, and 1E201 for ‘‘use’’ technology ameter exceeding 4.5 inches; controls. d. Detonating cord containing greater than Related Definitions: N/A 0.1 kg per meter (470 grains per foot) of con- Items: trolled materials; a. Explosive detonator firing sets designed e. Cutters and severing tools containing to drive explosive detonators specified by greater than 10 kg of controlled materials; 1A007.b; f. With the exception of cutters and sev- b. Electrically driven explosive detonators ering tools, devices or charges controlled by as follows: this entry where the USML controlled mate- b.1. Exploding bridge (EB); rials can be easily extracted without de- b.2. Exploding bridge wire (EBW); stroying the device or charge; and b.3. Slapper; g. Individual USML controlled energetic b.4. Exploding foil initiators (EFI). materials in this entry, even when com- TECHNICAL NOTES pounded with other materials, when not in- 1. The word initiator or igniter is sometimes corporated into explosive devices or charges used in place of the word detonator. controlled by this entry or 1C992. 2. For the purpose of 1A007.b the detonators (2) See also ECCNs 1C011, 1C018, 1C111, and of concern all utilize a small electrical con- 1C239 for additional controlled energetic ma- ductor (bridge, bridge wire, or foil) that ex- terials. See ECCN1E001 for the ‘‘develop- plosively vaporizes when a fast, high-current ment’’ or ‘‘production’’ ‘‘technology’’ for the electrical pulse is passed through it. In commodities controlled by ECCN 1A008, but nonslapper types, the exploding conductor not for explosives or commodities that are starts a chemical detonation in a contacting under the jurisdiction of U.S. Department of high explosive material such as PETN State, Directorate of Defense Trade Con- (pentaerythritoltetranitrate). In slapper det- trols. onators, the explosive vaporization of the Related Definitions: N/A. electrical conductor drives a flyer or slapper Items: across a gap, and the impact of the slapper a. ‘Shaped charges’ having all of the fol- on an explosive starts a chemical detonation. lowing: The slapper in some designs is driven by a.1. Net Explosive Quantity (NEQ) greater magnetic force. The term exploding foil det- than 90 g; and onator may refer to either an EB or a a.2. Outer casing diameter equal to or slapper-type detonator. greater than 75 mm; 1A008 Charges, devices and components, as b. Linear shaped cutting charges having all follows (see List of Items Controlled). of the following, and specially designed com- LICENSE REQUIREMENTS ponents therefor: Reason for Control: NS, AT, UN. b.1. An explosive load greater than 40 g/m; and Control(s) Country chart b.2. A width of 10 mm or more; c. Detonating cord with explosive core load NS applies to entire entry ...... NS Column 2. greater than 64 g/m; AT applies to entire entry ...... AT Column 1. d. Cutters, other than those specified by UN applies to entire entry ...... Iraq, North Korea, and Rwanda. 1A008.b, and severing tools, having a NEQ greater than 3.5 kg.

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TECHNICAL NOTE: ‘Shaped charges’ are ex- Related Controls: (1) See ECCNs 1E201 (‘‘use’’) plosive charges shaped to focus the effects of and 1E202 (‘‘development’’ and ‘‘produc- the explosive blast. tion’’) for technology for items controlled NOTE: The only charges and devices speci- by this entry. (2) Also see ECCNs 1A002, fied in 1A008 are those containing ‘‘explo- 1C010, 1C210, 9A010, and 9A110. (3) ‘‘Com- sives’’ (see list of explosives in the Annex at posite’’ structures specially designed or the end of Category 1) and mixtures thereof. prepared for use in separating uranium isotopes are subject to the export licensing 1A101 Devices for reduced observables such authority of the Nuclear Regulatory Com- as radar reflectivity, ultraviolet/infrared mission (see 10 CFR part 110). signatures and acoustic signatures, for Related Definitions: N/A applications usable in ‘‘missiles’’ and Items: a. An inside diameter of between 75 their subsystems. mm and 400 mm; and LICENSE REQUIREMENTS b. Made with any of the ‘‘fibrous or fila- Reason for Control: MT, AT mentary materials’’ specified in 1C010.a or .b or 1C210.a or with carbon prepreg materials Control(s) Country chart specified in 1C210.c. MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 1A225 Platinized catalysts specially designed or prepared for promoting the hy- LICENSE EXCEPTIONS drogen isotope exchange reaction be- LVS: N/A tween hydrogen and water for the recov- GBS: N/A ery of tritium from heavy water or for CIV: N/A the production of heavy water. LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: $ value Reason for Control: NP, AT Related Controls: See also 1C101. For commod- Control(s) Country chart ities that meet the definition of defense articles under 22 CFR 120.3 of the Inter- NP applies to entire entry ...... NP Column 1 national Traffic in Arms Regulations AT applies to entire entry ...... AT Column 1 (ITAR), see also 22 CFR 121.16, Item 17-Cat- egory II of the (ITAR), which describes LICENSE EXCEPTIONS similar commodities under the jurisdiction LVS: N/A of the Department of State, Directorate of GBS: N/A Defense Trade Controls. CIV: N/A Related Definitions: N/A LIST OF ITEMS CONTROLLED Items: The list of items controlled is con- Unit: Kilograms tained in the ECCN heading. Related Controls: (1) See ECCNs 1E201 (‘‘use’’) and 1E202 (‘‘development’’ and ‘‘produc- 1A102 Resaturated pyrolized carbon-carbon tion’’) for technology for items controlled components designed for rockets, mis- by this entry. (2) Equipment specially de- siles, or unmanned aerial vehicles capa- signed or prepared for the production of ble of achieving a ‘‘range’’ equal to or heavy water is subject to the export licens- greater than 300km. (These items are sub- ing authority of the Nuclear Regulatory ject to the export licensing authority of Commission (see 10 CFR part 110). the U.S. Department of State, Directorate Related Definitions: N/A of Defense Trade Controls. See 22 CFR Items: The list of items controlled is con- part 121). tained in the ECCN heading.

1A202 Composite structures, other than 1A226 Specialized packings, which may be those controlled by 1A002, in the form of used in separating heavy water from or- tubes and having both of the following dinary water, having both of the fol- characteristics (see List of Items Con- lowing characteristics (see List of Items trolled). Controlled). LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: NP, AT Reason for Control: NP, AT

Control(s) Country chart Control(s) Country chart

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

LICENSE EXCEPTIONS LICENSE EXCEPTIONS LVS: N/A LVS: N/A GBS: N/A GBS: N/A CIV: N/A CIV: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: Kilograms Unit: $ value

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Related Controls: (1) See ECCNs 1E201 (‘‘use’’) GBS: N/A and 1E202 (‘‘development’’ and ‘‘produc- CIV: N/A tion’’) for technology for items controlled LIST OF ITEMS CONTROLLED by this entry. (2) Equipment specially de- Unit: Kilograms signed or prepared for the production of Related Controls: (1) This entry does not con- heavy water is subject to the export licens- trol depleted uranium in fabricated forms ing authority of the Nuclear Regulatory for use in munitions. See 22 CFR part 121 Commission (see 10 CFR part 110). for depleted uranium subject to the export Related Definitions: N/A licensing authority of the U.S. Department Items: a. Made of phosphor bronze mesh of State, Directorate of Defense Trade Con- chemically treated to improve wettability; trols. (2) Depleted uranium that is not fab- and ricated for use in munitions or fabricated b. Designed to be used in vacuum distilla- into commodities solely to take advantage tion towers. of its high density (e.g., aircraft, ship, or other counterweights) or in the forms list- 1A227 High-density (lead glass or other) ra- ed in this entry are subject to the export diation shielding windows, having all of licensing authority of the Nuclear Regu- the following characteristics (see List of latory Commission. (See 10 CFR part 110.) Items Controlled), and specially designed (3) See also 0C001 frames therefor. Related Definitions: N/A LICENSE REQUIREMENTS Items: The list of items controlled is con- Reason for Control: NP, AT tained in the ECCN heading Control(s) Country chart 1A984 Chemical agents, including tear gas NP applies to entire entry ...... NP Column 1 formulation containing 1 percent or less AT applies to entire entry ...... AT Column 1 of orthochlorobenzalmalononitrile (CS), or 1 percent or less of LICENSE EXCEPTIONS chloroacetophenone (CN) except in indi- LVS: N/A vidual containers with a net weight of 20 GBS: N/A grams or less; liquid pepper except when CIV: N/A packaged in individual containers with a LIST OF ITEMS CONTROLLED net weight of 3 ounces (85.05 grams) or Unit: $ value less; smoke bombs; non-irritant smoke Related Controls: (1) See ECCNs 1E201 (‘‘use’’) flares, canisters, grenades and charges; and 1E202 (‘‘development’’ and ‘‘produc- and other pyrotechnic articles having tion’’) for technology for items controlled dual military and commercial use. by this entry. (2) Equipment specially de- LICENSE REQUIREMENTS signed or prepared for nuclear reactors and Reason for Control: CC reprocessing facilities is subject to the export licensing authority of the Nuclear Control(s) Country chart Regulatory Commission (see 10 CFR part 110). CC applies to entire entry ...... CC Column 1 Related Definitions: In 1A227.a, the term ‘‘cold area’’ means the viewing area of the win- LICENSE EXCEPTIONS dow exposed to the lowest level of radi- LVS: N/A ation in the design application. GBS: N/A Items: a. A ‘‘cold area’’ greater than 0.09 m2; CIV: N/A b. A density greater than 3 g/cm3; and LIST OF ITEMS CONTROLLED c. A thickness of 100 mm or greater. Unit: $ value Related Controls: N/A 1A290 Depleted uranium (any uranium con- Related Definitions: N/A taining less than 0.711% of the isotope U– Items: The list of items controlled is con- 235) in shipments of more than 1,000 kilo- tained in the ECCN heading. grams in the form of shielding contained in X-ray units, radiographic exposure or 1A985 Fingerprinting powders, dyes, and teletherapy devices, radioactive thermo- inks. electric generators, or packaging for the LICENSE REQUIREMENTS transportation of radioactive materials. Reason for Control: CC LICENSE REQUIREMENTS Reason for Control: NP, AT Control(s) Country chart CC applies to entire entry ...... CC Column 1 Control(s) Country chart

NP applies to entire entry ...... NP Column 2 LICENSE EXCEPTIONS AT applies to entire entry ...... AT Column 1 LVS: N/A GBS: N/A LICENSE EXCEPTIONS CIV: N/A LVS: N/A LIST OF ITEMS CONTROLLED

680 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Unit: $ value b. Radiographic detection equipment such Related Controls: N/A as x-ray converters, and storage phosphor Related Definitions: N/A image plates. Items: The list of items controlled is contained in the ECCN heading. B. TEST, INSPECTION AND PRODUCTION EQUIPMENT 1A995 Protective and detection equipment 1B001 Equipment for the production or in- and components not specially designed for spection of ‘‘composite’’ structures or military use and not controlled by ECCN laminates controlled by 1A002 or ‘‘fibrous 1A004 or ECCN 2B351, as follows (see List of or filamentary materials’’ controlled by Items Controlled). 1C010, as follows (see List of Items Con- LICENSE REQUIREMENTS Reason for Control: AT trolled), and specially designed components and accessories therefor. Control(s) Country chart LICENSE REQUIREMENTS Reason for Control: NS, MT, NP, AT AT applies to entire entry ...... AT Column 1 Control(s) Country chart LICENSE EXCEPTIONS LVS: N/A NS applies to entire entry ...... NS Column 2. MT applies to entire entry, except MT Column 1. GBS: N/A 1B001.d.4, e and f. CIV: N/A NOTE: MT applies to equipment in LIST OF ITEMS CONTROLLED 1B001.d that meet or exceed the Unit: $ value parameters of 1B101. Related controls: See ECCNs 1A004, 2B351, and NP applies to filament winding ma- NP Column 1. 2B352. chines described in 1B001.a that Related Definitions: N/A are capable of winding cylindrical Items: a. Personal radiation monitoring rotors having a diameter between dosimeters; 75 mm (3 in) and 400 mm (16 in) b. Equipment limited by design or function and lengths of 600 mm (24 in) or greater; AND coordinating and pro- to protect against hazards specific to civil gramming controls and precision industries, such as mining, quarrying, agri- mandrels for these filament wind- culture, pharmaceuticals, medical, veteri- ing machines. nary, environmental, waste management, or AT applies to entire entry ...... AT Column 1. to the food industry. NOTE: This entry (1A995) does not control LICENSE EXCEPTIONS items for protection against chemical or bio- LVS: N/A for MT and for 1B001.a; $5,000 for all logical agents that are consumer goods, other items packaged for retail sale or personal use, or GBS: N/A medical products, such as latex exam gloves, CIV: N/A LIST OF ITEMS CONTROLLED latex surgical gloves, liquid disinfectant Unit: $ value soap, disposable surgical drapes, surgical Related Controls: (1) See ECCN 1D001 for soft- gowns, surgical foot covers, and surgical ware for items controlled by this entry and masks. Such items are classified as EAR99. see ECCNs 1E001 (‘‘development’’ and 1A999 Specific Processing Equipment, n.e.s., ‘‘production’’) and 1E101 (‘‘use’’) for tech- as Follows (See List of Items Controlled). nology for items controlled by this entry. LICENSE REQUIREMENTS (2) Also see ECCNs 1B101 and 1B201. Reason for Control: AT. Related Definitions: N/A Control(s). Items: Country Chart. a. Filament winding machines, of which AT applies to entire entry. A license is re- the motions for positioning, wrapping and quired for items controlled by this entry to winding fibers are coordinated and pro- North Korea for anti-terrorism reasons. The grammed in three or more ‘primary servo po- Commerce Country Chart is not designed to sitioning’ axes, specially designed for the determine AT licensing requirements for manufacture of ‘‘composite’’ structures or this entry. See § 742.19 of the EAR for addi- laminates, from ‘‘fibrous or filamentary ma- tional information. terials’’; LICENSE EXCEPTIONS b. Tape-laying machines, of which the mo- LVS: N/A tions for positioning and laying tape or GBS: N/A sheets are coordinated and programmed in CIV: N/A five or more ‘primary servo positioning’ LIST OF ITEMS CONTROLLED axes, specially designed for the manufacture Unit: $ value. of ‘‘composite’’ airframe or ‘‘missile’’ struc- Related Controls: N/A tures; Related Definitions: N/A c. Multidirectional, multidimensional Items: a. Radiation detection, monitoring and weaving machines or interlacing machines, measurement equipment, n.e.s.; including adapters and modification kits,

681 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

specially designed or modified for weaving, LICENSE EXCEPTIONS interlacing or braiding fibers for ‘‘com- LVS: $5000 posite’’ structures; GBS: N/A TECHNICAL NOTE: For the purposes of CIV: N/A 1B001.c the technique of interlacing includes LIST OF ITEMS CONTROLLED knitting. Unit: $ value NOTE: 1B001.c does not control textile ma- Related Controls: N/A chinery not modified for the above end-uses. Related Definitions: N/A d. Equipment specially designed or adapted Items: The list of items controlled is con- for the production of reinforcement fibers, as tained in the ECCN heading follows: 1B003 Tools, dies, molds or fixtures, for d.1. Equipment for converting polymeric fi- ‘‘superplastic forming’’ or ‘‘diffusion bers (such as polyacrylonitrile, rayon, pitch bonding’’ titanium, aluminum or their al- or polycarbosilane) into carbon fibers or sil- loys, specially designed for the manufac- icon carbide fibers, including special equip- ture of any of the following (see List of ment to strain the fiber during heating; d.2. Equipment for the chemical vapor dep- Items Controlled). LICENSE REQUIREMENTS osition of elements or compounds, on heated Reason for Control: NS, AT filamentary substrates, to manufacture silicon carbide fibers; Control(s) Country chart d.3. Equipment for the wet-spinning of refractory ceramics (such as aluminum oxide); NS applies to entire entry ...... NS Column 2 d.4. Equipment for converting aluminum AT applies to entire entry ...... AT Column 1 containing precursor fibers into alumina fibers by heat treatment; LICENSE EXCEPTIONS e. Equipment for producing prepregs con- LVS: $5000 trolled by 1C010.e by the hot melt method; GBS: N/A f. Non-destructive inspection equipment CIV: N/A specially designed for ‘‘composite’’ mate- LIST OF ITEMS CONTROLLED rials, as follows: Unit: Tools in number; dies, molds, or fix- f.1. X-ray tomography systems for three di- tures in $ value mensional defect inspection; Related Controls: For specially designed pro- f.2. Numerically controlled ultrasonic test- duction equipment of systems, sub-systems ing machines of which the motions for posi- and components controlled by 9A005 to tioning transmitters or receivers are simul- 9A009, 9A011, 9A101, 9A105 to 9A109, 9A111, taneously coordinated and programmed in and 9A116 to 9A120 usable in ‘‘missiles’’, see four or more axes to follow the three dimen- 9B115. sional contours of the component under in- Related Definitions: N/A spection. Items: a. Airframe or aerospace structures; g. Tow-placement machines, of which the b. ‘‘Aircraft’’ or aerospace engines; or motions for positioning and laying tows or c. Specially designed components for struc- sheets are coordinated and programmed in tures specified by 1B003.a or for engines spec- two or more ‘primary servo positioning’ ified by 1B003.b. axes, specially designed for the manufacture of ‘‘composite’’ airframe or missile struc- 1B018 Equipment on the Wassenaar Ar- tures. rangement Munitions List. TECHNICAL NOTE: For the purpose of 1B001, LICENSE REQUIREMENTS ‘primary servo positioning’ axes control, Reason for Control: NS, MT, RS, AT, UN under computer program direction, the posi- Control(s) Country chart tion of the end effector (i.e., head) in space relative to the work piece at the correct ori- NS applies to entire entry ...... NS Column 1. entation and direction to achieve the desired MT applies to equipment for the MT Column 1. process. ‘‘production’’ of rocket propellants. RS applies to 1B018.a ...... RS Column 2. 1B002 Equipment for Producing Metal Al- AT applies to entire entry ...... AT Column 1. loys, Metal Alloy Powder or Alloyed Mate- UN applies to entire entry ...... Iraq, North Korea, and rials, Specially Designed to Avoid Con- Rwanda. tamination and Specially Designed for Use in One of the Processes Specified in LICENSE EXCEPTIONS 1C002.c.2 LVS: $3000 for 1B018.a for countries WITH- LICENSE REQUIREMENTS OUT an ‘‘X’’ in RS Column 2 on the Coun- Reason for Control: NS, AT try Chart contained in Supplement No. 1 to part 738 of the EAR; $5000 for 1B018.b; N/A Control(s) Country chart for Rwanda. GBS: N/A NS applies to entire entry ...... NS Column 2 CIV: N/A AT applies to entire entry ...... AT Column 1 LIST OF ITEMS CONTROLLED

682 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Unit: Equipment in number; parts and acces- bonding of composite structures, laminates sories in $ value and manufactures thereof. Related Controls: N/A Items: a. Filament winding machines or fiber Related Definitions: N/A placement machines, of which the motions Items: a. Equipment for the ‘‘production’’ of for positioning, wrapping and winding fibers military explosives and solid propellants. can be coordinated and programmed in three a.1. Complete installations; or more axes, designed to fabricate com- a.2. Specialized components (for example, posite structures or laminates from fibrous dehydration presses; extrusion presses for or filamentary materials, and coordinating the extrusion of small arms, cannon and and programming controls; rocket propellants; cutting machines for the b. Tape-laying machines of which the mo- sizing of extruded propellants; sweetie bar- tions for positioning and laying tape and rels (tumblers) 6 feet and over in diameter sheets can be coordinated and programmed and having over 500 pounds product capacity; in two or more axes, designed for the manu- and continuous mixers for solid propellants); facture of composite airframe and ‘‘missile’’ or structures; a.3. Nitrators, continuous types; and c. Equipment designed or modified for the a.4. Specially designed parts and acces- ‘‘production’’ of ‘‘fibrous or filamentary ma- sories therefor. terials’’ as follows: b. Environmental chambers capable of c.1. Equipment for converting polymeric fi- pressures below (10¥4) Torr, and specially de- bers (such as polyacrylonitrile, rayon or signed components therefor. polycarbosilane) including special provision to strain the fiber during heating; 1B101 Equipment, other than that con- c.2. Equipment for the vapor deposition of trolled by 1B001, for the ‘‘production’’ of elements or compounds on heated filament structural composites, fibers, prepregs or substrates; and preforms, usable for rockets, missiles, or c.3. Equipment for the wet-spinning of re- unmanned aerial vehicles capable of fractory ceramics (such as aluminum oxide); achieving a ‘‘range’’ equal to or greater d. Equipment designed or modified for spe- than 300 km and their subsystems, as fol- cial fiber surface treatment or for producing lows (see List of Items Controlled); and prepregs and preforms controlled by 9A110. specially designed components, and ac- NOTE: Equipment covered in 1B101.d in- cessories therefor. cludes but is not limited to, rollers, tension LICENSE REQUIREMENTS stretchers, coating equipment, cutting Reason for Control:MT, NP, AT equipment and clicker dies. Control(s) Country Chart 1B102 Metal powder ‘‘production equip- MT applies to entire entry ...... MT Column 1. ment,’’ other than that specified in 1B002, NP applies to filament winding ma- NP Column 1. and components as follows (see List of chines described in 1B101.a that Items Controlled). are capable of winding cylindrical LICENSE REQUIREMENTS rotors having a diameter between Reason for Control: MT, AT 75 mm (3 in.) and 400 mm (16 in.) and lengths of 600 mm (24 in.) or Control(s) Country Chart greater AND to coordinating and programming controls and preci- MT applies to entire entry ...... MT Column 1 sion mandrels for these filament AT applies to entire entry ...... AT Column 1 winding machines. AT applies to entire entry ...... AT Column 1. LICENSE EXCEPTIONS LVS: N/A LICENSE EXCEPTIONS LVS: N/A GBS: N/A GBS: N/A CIV: N/A CIV: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: Equipment in number; components in $ Unit: $ value value Related Controls: See ECCN 1D101 for software Related Controls: 1.) See also 1B115.b. for items controlled by this entry and see Related Definitions: N/A ECCNs 1E001 (‘‘development’’ and ‘‘produc- Items: a. Metal power ‘‘production equipment tion’’) and 1E101 (‘‘use’’) for technology for usable for the ‘‘production,’’ in a controlled items controlled by this entry. Also see environment, of spherical or atomized mate- 1B201. rials specified in 1C011.a, 1C011.b, 1C111.a.1, Related Definitions: Examples of components 1C111.a.2, or on the U.S. Munitions List. and accessories for the machines con- b. Specially designed components for trolled by this entry are molds, mandrels, ‘‘production equipment’’ specified in 1B002 or dies, fixtures and tooling for the preform 1B102.a. pressing, curing, casting, sintering or NOTE: 1B102 includes:

683 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

a. Plasma generators (high frequency arc- Control(s) Country chart jet) usable for obtaining sputtered or spherical metallic powders with organization of MT applies to entire entry ...... MT Column 1 the process in an argon-water environment; AT applies to entire entry ...... AT Column 1 b. Electroburst equipment usable for obtaining sputtered or spherical metallic pow- LICENSE EXCEPTIONS ders with organization of the process in an LVS: N/A argon-water environment; GBS: N/A CIV: N/A c. Equipment usable for the ‘‘production’’ LIST OF ITEMS CONTROLLED of spherical aluminum powders by powdering Unit: Equipment in number a melt in an inert medium (e.g., nitrogen). Related Controls: N/A 1B115 ‘‘Equipment, other than that con- Related Definitions: N/A trolled in 1B002 or 1B102, for the ‘‘pro- Items: The list of items controlled is con- duction’’ of propellant or propellant contained in the ECCN heading stituents, and specially designed compo- 1B117 ‘‘Batch mixers with provision for mix- nents therefor. ing under vacuum in the range from zero LICENSE REQUIREMENTS to 13.326 kPa and with temperature con- Reason for Control: MT, AT trol capability of the mixing chamber and Control(s) Country chart having all of the following characteristics (see List of Items Controlled), and spe- MT applies to entire entry ...... MT Column 1 cially designed components therefor. AT applies to entire entry ...... AT Column 1 LICENSE REQUIREMENTS Reason for Control: MT, AT. LICENSE EXCEPTIONS LVS: N/A Control(s) Country chart GBS: N/A MT applies to entire entry ...... MT Column 1. CIV: N/A AT applies to entire entry ...... AT Column 1. LIST OF ITEMS CONTROLLED Unit: Equipment in number; components in $ LICENSE EXCEPTIONS value LVS: N/A Related Controls: For the control of batch GBS: N/A mixers, continuous mixers and fluid energy CIV: N/A mills, see 1B117, 1B118 and 1B119. LIST OF ITEMS CONTROLLED Related Definitions: N/A Unit: Equipment in number; components in $ Items: a. ‘‘Production equipment’’ for the value ‘‘production’’, handling or acceptance test- Related Controls: N/A ing of liquid propellants or propellant con- Related Definitions: N/A stituents controlled by 1C011.a, 1C011.b, 1C111 Items: a. A total volumetric capacity of 110 or on the U.S. Munitions List; liters (30 gallons) or more; and b. ‘‘Production equipment,’’ for the produc- b. At least one mixing/kneading shaft tion, handling, mixing, curing, casting, mounted off center. pressing, machining, extruding or acceptance testing of solid propellants or propel- 1B118 Continuous mixers with provision for lant constituents described in 1C011.a, mixing under vacuum in the range from 1C011.b or 1C111, or on the U.S. Munitions zero to 13.326 kPa and with temperature List. control capability of the mixing chamber and having all of the following character- NOTE: 1B115.b does not control batch mix- istics (see List of Items Controlled), and ers, continuous mixers or fluid energy mills. specially designed components therefor. For the control of batch mixers, continuous LICENSE REQUIREMENTS mixers and fluid energy mills see 1B117, Reason for Control: MT, AT 1B118, and 1B119. NOTE 1: [Reserved] Control(s) Country chart NOTE 2: 1B115 does not control equipment for the ‘‘production,’’ handling and accept- MT applies to entire entry ...... MT Column 1 ance testing of boron carbide. AT applies to entire entry ...... AT Column 1

1B116 Specially designed nozzles for pro- LICENSE EXCEPTIONS ducing pyrolitically derived materials LVS: N/A formed on a mold, mandrel or other sub- GBS: N/A strate from precursor gases which de- CIV: N/A compose in the 1,573 K (1,300 ≥C) to 3,173 LIST OF ITEMS CONTROLLED K (2,900 ≥C) temperature range at pres- Unit: Equipment in number; components in $ sures of 130 Pa to 20 kPa. value LICENSE REQUIREMENTS Related Controls: N/A Reason for Control: MT, AT Related Definitions: N/A

684 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Items: a. Two or more mixing/kneading a.3. Capable of winding cylindrical rotors shafts; or of diameter between 75 mm (3 in.) and 400 b. A single rotating shaft which oscillates mm (16 in.) and lengths of 600 mm (24 in.) or and has kneading teeth/pins on the shaft as greater; well as inside the casing of the mixing cham- b. Coordinating and programming controls ber. for filament winding machines controlled by 1B201.a; 1B119 Fluid energy mills usable for grind- c. Precision mandrels for filament winding ing or milling propellant or propellant machines controlled by 1B201.a. constituents specified in 1C011.a, 1C011.b or 1C111, or on the U.S. Munitions List, 1B225 Electrolytic cells for fluorine produc- and specially designed components there- tion with a production capacity greater for. than 250 g of fluorine per hour. LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: MT, AT Reason for Control: NP, AT

Control(s) Country chart Control(s) Country chart

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

LICENSE EXCEPTIONS LICENSE EXCEPTIONS LVS: N/A LVS: N/A GBS: N/A GBS: N/A CIV: N/A CIV: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: Equipment in number; components in $ Unit: $ value value Related Controls: See ECCNs 1E001 (‘‘develop- Related Controls: N/A ment’’ and ‘‘production’’) and 1E201 (‘‘use’’) Related Definitions: N/A for technology for items controlled by this Items: The list of items controlled is con- entry. tained in the ECCN heading. Related Definitions: N/A Items: The list of items controlled is con- 1B201 Filament winding machines, other tained in the ECCN heading. than those controlled by ECCN 1B001 or 1B101, and related equipment, as follows 1B226 Electromagnetic isotope separators (see List of Items Controlled). designed for, or equipped with, single or LICENSE REQUIREMENTS multiple ion sources capable of providing Reason for Control: NP, AT a total ion beam current of 50 mA or greater. Control(s) Country chart LICENSE REQUIREMENTS Reason for Control: NP, AT NP applies to entire entry ...... NP Column 1 AT applies to entire entry ...... AT Column 1 Control(s) Country chart

685 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

those configurations in which they are ex- Items: a. Designed to operate with internal ternal to the field. temperatures of 35 K (¥238 °C) or less; Items: The list of items controlled is con- b. Designed to operate at an internal pres- tained in the ECCN heading. sure of 0.5 to 5 MPa (5 to 50 atmospheres); c. Constructed of ‘‘fine-grain stainless 1B227 Ammonia synthesis converters or am- steels’’ of the 300 series with low sulphur monia synthesis units in which the syn- content or equivalent cryogenic and H2-com- thesis gas (nitrogen and hydrogen) is patible materials; and withdrawn from an ammonia/hydrogen d. With internal diameters of 1 m or great- high-pressure exchange column and the er and effective lengths of 5 m or greater. synthesized ammonia is returned to that column. 1B229 Water-hydrogen sulphide exchange LICENSE REQUIREMENTS tray columns and ‘‘internal contactors’’, Reason for Control: NP, AT as follows (see List of Items Controlled). LICENSE REQUIREMENTS Control(s) Country chart Reason for Control: NP, AT NP applies to entire entry ...... NP Column 1 AT applies to entire entry ...... AT Column 1 Control(s) Country chart

NP applies to entire entry ...... NP Column 1 LICENSE EXCEPTIONS AT applies to entire entry ...... AT Column 1 LVS: N/A GBS: N/A LICENSE EXCEPTIONS CIV: N/A LVS: N/A LIST OF ITEMS CONTROLLED Unit: $ value GBS: N/A Related Controls: (1) Equipment specially de- CIV: N/A signed or prepared for the production of LIST OF ITEMS CONTROLLED heavy water is subject to the export licens- Unit: $ value ing authority of the Nuclear Regulatory Related Controls: (1) Equipment specially de- Commission (see 10 CFR part 110). (2) See signed or prepared for the production of ECCNs 1E001 (‘‘development’’ and ‘‘produc- heavy water is subject to the export licens- tion’’) and 1E201 (‘‘use’’) for technology for ing authority of the Nuclear Regulatory items controlled by this entry. Commission (see 10 CFR part 110). (2) See Related Definitions: N/A ECCNs 1E001 (‘‘development’’ and ‘‘produc- Items: The list of items controlled is con- tion’’) and 1E201 (‘‘use’’) for technology for tained in the ECCN heading. items controlled by this entry. Related Definitions: The ‘‘internal 1B228 Hydrogen-cryogenic distillation col- contactors’’ controlled by 1B229.b are seg- umns having all of the following charac- mented trays that have an effective assem- teristics (see List of Items Controlled). bled diameter of 1.8 m (6 ft.) or greater, are LICENSE REQUIREMENTS designed to facilitate countercurrent con- Reason for Control: NP, AT tacting, and are constructed of stainless steels with a carbon content of 0.03% or Control(s) Country chart less. These may be sieve trays, valve trays, NP applies to entire entry ...... NP Column 1 bubble cap trays, or turbogrid trays. AT applies to entire entry ...... AT Column 1 Items: a. Water-hydrogen sulphide exchange tray columns, having all of the following LICENSE EXCEPTIONS characteristics: LVS: N/A a.1. Can operate at pressures of 2 MPa or GBS: N/A greater; CIV: N/A a.2. Constructed of carbon steel having an LIST OF ITEMS CONTROLLED austenitic ASTM (or equivalent standard) Unit: $ value grain size number of 5 or greater; and Related Controls: (1) Equipment specially de- a.3. With a diameter of 1.8 m (6 ft.) or signed or prepared for the production of greater; heavy water is subject to the export licens- b. ‘‘Internal contactors’’ for the water-hy- ing authority of the Nuclear Regulatory drogen sulphide exchange tray columns con- Commission (see 10 CFR part 110). (2) See trolled by 1B229.a. ECCNs 1E001 (‘‘development’’ and ‘‘production’’) and 1E201 (‘‘use’’) for technology for 1B230 Pumps capable of circulating solu- items controlled by this entry. tions of concentrated or dilute potassium Related Definitions: ‘‘Fine-grain stainless amide catalyst in liquid ammonia (KNH2/ steels’’ in this entry are defined to be fine- NH3), having all of the following charac- grain austenitic stainless steels with an teristics (see List of Items Controlled). ASTM (or equivalent standard) grain size LICENSE REQUIREMENTS number of 5 or greater Reason for Control: NP, AT

686 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Control(s) Country chart 1B232 Turboexpanders or turboexpander- compressor sets having both of the fol- NP applies to entire entry ...... NP Column 1 lowing characteristics (see List of Items AT applies to entire entry ...... AT Column 1 Controlled). LICENSE REQUIREMENTS LICENSE EXCEPTIONS Reason for Control: NP, AT LVS: N/A GBS: N/A Control(s) Country chart CIV: N/A LIST OF ITEMS CONTROLLED NP applies to entire entry ...... NP Column 1 Unit: $ value AT applies to entire entry ...... AT Column 1 Related Controls: (1) Equipment specially designed or prepared for the production of LICENSE EXCEPTIONS heavy water is subject to the export licens- LVS: N/A ing authority of the Nuclear Regulatory GBS: N/A N/A Commission (see 10 CFR part 110). (2) See CIV: LIST OF ITEMS CONTROLLED ECCNs 1E001 (‘‘development’’ and ‘‘produc- Unit: $ value tion’’) and 1E201 (‘‘use’’) for technology for Related Controls: (1) Equipment specially de- items controlled by this entry. signed or prepared for the production of Related Definitions: N/A heavy water is subject to the export licens- Items: a. Airtight (i.e., hermetically sealed); ing authority of the Nuclear Regulatory b. A capacity greater than 8.5 m3/h; and Commission (see 10 CFR part 110). (2) See c. Either of the following characteristics: ECCNs 1E001 (‘‘development’’ and ‘‘produc- c.1. For concentrated potassium amide so- tion’’) and 1E201 (‘‘use’’) for technology for lutions (1% or greater), an operating pres- items controlled by this entry. sure of 1.5 to 60 MPa (15–600 atmospheres); or Related Definitions: N/A c.2. For dilute potassium amide solutions Items: a. Designed for operation with an out- (less than 1%), an operating pressure of 20 to let temperature of 35 K (¥238 °C) or less; and 60 MPa (200–600 atmospheres). b. Designed for a throughput of hydrogen 1B231 Tritium facilities or plants, and gas of 1,000 kg/h or greater. equipment therefor, as follows (see List of 1B233 Lithium isotope separation facilities Items Controlled). or plants, and equipment therefor, as fol- LICENSE REQUIREMENTS lows (see List of Items Controlled). Reason for Control: NP, AT LICENSE REQUIREMENTS Reason for Control: NP, AT Control(s) Country chart

NP applies to entire entry ...... NP Column 1 Control(s) Country Chart AT applies to entire entry ...... AT Column 1 NP applies to 1B233.b ...... NP Column 1 AT applies to 1B233.b ...... AT Column 1 LICENSE EXCEPTIONS LVS: N/A LICENSE EXCEPTIONS GBS: N/A LVS: N/A CIV: N/A GBS: N/A LIST OF ITEMS CONTROLLED CIV: N/A Unit: $ value LIST OF ITEMS CONTROLLED Related Controls: (1) Tritium, tritium com- Unit: $ value pounds, and mixtures containing tritium Related Controls: (1) See ECCN 1E001 (‘‘devel- are subject to the export licensing author- opment’’ and ‘‘production’’) and ECCN ity of the Nuclear Regulatory Commission 1E201 (‘‘use’’) for technology for items de- (see 10 CFR part 110). (2) See ECCNs 1E001 scribed in this entry. (2) Facilities and (‘‘development’’ and ‘‘production’’) and plants described in 1B233.a are subject to 1E201 (‘‘use’’) for technology for items con- the export licensing authority of the Nu- trolled by this entry. clear Regulatory Commission (see 10 CFR Related Definitions: N/A part 110). Items: a. Facilities or plant for the produc- Related Definitions: N/A tion, recovery, extraction, concentration, or Items: a. Facilities or plants for the separa- handling of tritium; tion of lithium isotopes; b. Equipment for tritium facilities or b. Equipment for the separation of lithium plant, as follows: isotopes, as follows: b.1. Hydrogen or helium refrigeration units b.1. Packed liquid-liquid exchange columns capable of cooling to 23 K (¥250 C) or less, specially designed for lithium amalgams; with heat removal capacity greater than 150 b.2. Mercury and/or lithium amalgam watts; or pumps; b.2. Hydrogen isotope storage and purifi- b.3. Lithium amalgam electrolysis cells; cation systems using metal hydrides as the b.4. Evaporators for concentrated lithium storage, or purification medium. hydroxide solution.

687 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

1B999 Specific Processing Equipment, n.e.s., pellets, pigs, powder, rondelles, shot, slabs, as Follows (See List of Items Controlled). slugs, sponge, sticks; LICENSE REQUIREMENTS Semi-fabricated forms (whether or not Reason for Control: AT, RS. coated, plated, drilled or punched): a. Wrought or worked materials fabricated Control(s) Country chart by rolling, drawing, extruding, forging, impact extruding, pressing, graining, atom- AT applies to entire entry ...... A license is required izing, and grinding, i.e.: angles, channels, for items controlled circles, discs, dust, flakes, foils and leaf, by this entry to North Korea for forging, plate, powder, pressings and anti-terrorism rea- stampings, ribbons, rings, rods (including sons. The Com- bare welding rods, wire rods, and rolled merce Country wire), sections, shapes, sheets, strip, pipe and Chart is not de- tubes (including tube rounds, squares, and signed to determine hollows), drawn or extruded wire; AT license require- b. Cast material produced by casting in ments for this entry. sand, die, metal, plaster or other types of See § 742.19 of the EAR for additional molds, including high pressure castings, sin- information. tered forms, and forms made by powder met- RS applies to entire entry...... A license is required allurgy. for items controlled The object of the control should not be de- by this entry for ex- feated by the export of non-listed forms al- port or reexport to leged to be finished products but rep- Iraq or transfer resenting in reality crude forms or semi-fab- within Iraq for re- gional stability rea- ricated forms. sons. The Com- merce Country 1C001 Materials specially designed for use Chart is not de- as absorbers of electromagnetic waves, or signed to determine intrinsically conductive polymers, as fol- RS license require- lows (see List of Items Controlled). ments for this entry. LICENSE REQUIREMENTS See §§ 742.6 and Reason for Control: NS, MT, AT 746.3 of the EAR for additional infor- Control(s) Country chart mation. NS applies to entire entry ...... NS Column 1 LICENSE EXCEPTIONS MT applies to entire entry ...... MT Column 1 LVS: N/A AT applies to entire entry ...... AT Column 1 GBS: N/A LICENSE EXCEPTIONS CIV: N/A LVS: N/A LIST OF ITEMS CONTROLLED GBS: N/A Unit: $ value. CIV: N/A Related Controls: See also 1B001, 1B101, 1B201, STA: License Exception STA may not be 1B225 and 1D999. used to ship any item in this entry to any Related Definitions: N/A of the eight destinations listed in Items: a. Electrolytic cells for flourine pro- § 740.20(c)(2) of the EAR. duction, n.e.s.; LIST OF ITEMS CONTROLLED b. Particle accelerators; Unit: Kilograms. c. Industrial process control hardware/sys- Related Controls: See also 1C101. tems designed for power industries, n.e.s.; Related Definitions: N/A d. Freon and chilled water cooling systems Items: a. Materials for absorbing frequencies capable of continuous cooling duties of exceeding 2×108 Hz but less than 3×1012 Hz. 100,000 BTU/hr (29.3 kW) or greater; NOTE 1: 1C001.a does not control: e. Equipment for the production of struc- a. Hair type absorbers, constructed of nat- tural composites, fibers, prepregs and ural or synthetic fibers, with non-magnetic preforms, n.e.s. loading to provide absorption; b. Absorbers having no magnetic loss and C. MATERIALS whose incident surface is non-planar in TECHNICAL NOTE: Metals and alloys: Unless shape, including pyramids, cones, wedges and provision to the contrary is made, the words convoluted surfaces; ‘‘metals’’ and ‘‘alloys’’ in 1C001 to 1C012 c. Planar absorbers, having all of the fol- cover crude and semi-fabricated forms, as lowing: follows: 1. Made from any of the following: Crude forms: Anodes, balls, bars (including a. Plastic foam materials (flexible or non- notched bars and wire bars), billets, blocks, flexible) with carbon-loading, or organic ma- blooms, brickets, cakes, cathodes, crystals, terials, including binders, providing more cubes, dice, grains, granules, ingots, lumps, than 5% echo compared with metal over a

688 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

bandwidth exceeding ±15% of the center fre- (‘‘use’’) for technology for items controlled quency of the incident energy, and not capa- by this entry. (2) Also see ECCN 1C202. (3) ble of withstanding temperatures exceeding Aluminum alloys and titanium alloys in 450 K (177 °C); or physical forms and finished products spe- b. Ceramic materials providing more than cially designed or prepared for use in sepa- 20% echo compared with metal over a band- rating uranium isotopes are subject to the width exceeding ±15% of the center frequency export licensing authority of the Nuclear of the incident energy, and not capable of Regulatory Commission (see 10 CFR part withstanding temperatures exceeding 800 K 110). (527 °C); Related Definition: N/A TECHNICAL NOTE: Absorption test samples Items: for 1C001.a. Note 1.c.1 should be a square at NOTE: 1C002 does not control metal alloys, least 5 wavelengths of the center frequency metal alloy powder and alloyed materials, on a side and positioned in the far field of for coating substrates. the radiating element. TECHNICAL NOTE 1: The metal alloys in 2. Tensile strength less than 7×106 N/m2; 1C002 are those containing a higher percent- and age by weight of the stated metal than of 3. Compressive strength less than 14×106 N/ any other element. m2; TECHNICAL NOTE 2: ‘Stress-rupture life’ d. Planar absorbers made of sintered fer- should be measured in accordance with rite, having all of the following: ASTM standard E–139 or national equiva- 1. A specific gravity exceeding 4.4; and lents. 2. A maximum operating temperature of TECHNICAL NOTE 3: ‘Low cycle fatigue life’ 548 K (275 °C). should be measured in accordance with NOTE 2: Nothing in Note 1 releases mag- ASTM Standard E–606 ‘Recommended Prac- netic materials to provide absorption when tice for Constant-Amplitude Low-Cycle Fa- contained in paint. tigue Testing’ or national equivalents. Test- b. Materials for absorbing frequencies ex- ing should be axial with an average stress ceeding 1.5×1014 Hz but less than 3.7×1014 Hz ratio equal to 1 and a stress-concentration and not transparent to visible light; factor (Kt) equal to 1. The average stress is c. Intrinsically conductive polymeric ma- defined as maximum stress minus minimum terials with a ‘bulk electrical conductivity’ stress divided by maximum stress. exceeding 10,000 S/m (Siemens per meter) or a. Aluminides, as follows: a ‘sheet (surface) resistivity’ of less than 100 a.1. Nickel aluminides containing a min- ohms/square, based on any of the following imum of 15% by weight aluminum, a max- polymers: imum of 38% by weight aluminum and at c.1. Polyaniline; least one additional alloying element; c.2. Polypyrrole; a.2. Titanium aluminides containing 10% c.3. Polythiophene; by weight or more aluminum and at least c.4. Poly phenylene-vinylene; or one additional alloying element; c.5. Poly thienylene-vinylene. b. Metal alloys, as follows, made from the powder or particulate material controlled by TECHNICAL NOTE: ‘Bulk electrical conductivity’ and ‘sheet (surface) resistivity’ should 1C002.c: be determined using ASTM D–257 or national b.1. Nickel alloys having any of the fol- equivalents. lowing: b.1.a. A ‘stress-rupture life’ of 10,000 hours 1C002 Metal alloys, metal alloy powder and or longer at 923 K (650 °C) at a stress of 676 alloyed materials, as follows (see List of MPa; or Items Controlled). b.1.b. A ‘low cycle fatigue life’ of 10,000 cy- LICENSE REQUIREMENTS cles or more at 823 K (550 °C) at a maximum Reason for Control: NS, NP, AT. stress of 1,095 MPa; b.2. Niobium alloys having any of the fol- Control(s) Country chart lowing: b.2.a. A ‘stress-rupture life’ of 10,000 hours NS applies to entire entry ...... NS Column 2. or longer at 1,073 K (800 °C) at a stress of 400 NP applies to 1C002.b.3 or b.4 if NP Column 1. they exceed the parameters stated MPa; or in 1C202. b.2.b. A ‘low cycle fatigue life’ of 10,000 cy- AT applies to entire entry ...... AT Column 1. cles or more at 973 K (700 °C) at a maximum stress of 700 MPa; LICENSE EXCEPTIONS b.3. Titanium alloys having any of the fol- LVS: $3,000; N/A for NP lowing: GBS: N/A b.3.a. A ‘stress-rupture life’ of 10,000 hours CIV: N/A or longer at 723 K (450 °C) at a stress of 200 LIST OF ITEMS CONTROLLED MPa; or Unit: Kilograms. b.3.b. A ‘low cycle fatigue life’ of 10,000 cy- Related Controls: (1) See ECCNs 1E001 (‘‘de- cles or more at 723 K (450 °C) at a maximum velopment’’ and ‘‘production’’) and 1E201 stress of 400 MPa;

689 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

b.4 Aluminum alloys having any of the fol- Control(s) Country chart lowing: b.4.a. A tensile strength of 240 MPa or more AT applies to entire entry ...... AT Column 1 at 473 K (200 °C); or b.4.b. A tensile strength of 415 MPa or more LICENSE EXCEPTIONS at 298 K (25 °C); LVS: $3000 b.5. Magnesium alloys having all the fol- GBS: N/A lowing: CIV: N/A b.5.a. A tensile strength of 345 MPa or LIST OF ITEMS CONTROLLED more; and Unit: Kilograms b.5.b. A corrosion rate of less than 1 mm/ Related Controls: N/A year in 3% sodium chloride aqueous solution Related Definitions: N/A Items: measured in accordance with ASTM standard a. Initial relative permeability of 120,000 or G–31 or national equivalents; more and a thickness of 0.05 mm or less; c. Metal alloy powder or particulate mate- TECHNICAL NOTE: Measurement of initial rial, having all of the following: relative permeability must be performed on c.1. Made from any of the following com- fully annealed materials. position systems: b. Magnetostrictive alloys having any of TECHNICAL NOTE: X in the following equals the following: one or more alloying elements. b.1. A saturation magnetostriction of more c.1.a. Nickel alloys (Ni-Al-X, Ni-X–Al) than 5 × 10¥4; or qualified for turbine engine parts or compo- b.2. A magnetomechanical coupling factor nents, i.e. with less than 3 non-metallic par- (k) of more than 0.8; or ticles (introduced during the manufacturing c. Amorphous or ‘nanocrystalline‘ alloy μ 9 process) larger than 100 m in 10 alloy par- strips, having all of the following: ticles; c.1. A composition having a minimum of c.1.b. Niobium alloys (Nb-Al-X or Nb-X–Al, 75% by weight of iron, cobalt or nickel; Nb-Si-X or Nb-X–Si, Nb-Ti-X or Nb-X–Ti); c.2. A saturation magnetic induction (Bs) c.1.c. Titanium alloys (Ti-Al-X or Ti-X–Al); of 1.6 T or more; and c.1.d. Aluminum alloys (Al-Mg-X or Al-X– c.3. Any of the following: Mg, Al-Zn-X or Al-X–Zn, Al-Fe-X or Al-X– c.3.a. A strip thickness of 0.02 mm or less; Fe); or or c.1.e. Magnesium alloys (Mg-Al-X or Mg-X– c.3.b. An electrical resistivity of 2 × 10¥4; Al); ohm cm or more. c.2. Made in a controlled environment by TECHNICAL NOTE: ‘Nanocrystalline‘‘ mate- any of the following processes: rials in 1C003.c are those materials having a c.2.a. ‘‘Vacuum atomization’’; crystal grain size of 50 nm or less, as deter- c.2.b. ‘‘Gas atomization’’; mined by X-ray diffraction. c.2.c. ‘‘Rotary atomization’’; c.2.d. ‘‘Splat quenching’’; 1C004 Uranium titanium alloys or tungsten c.2.e. ‘‘Melt spinning’’ and ‘‘comminution’’; alloys with a ‘‘matrix’’ based on iron, c.2.f. ‘‘Melt extraction’’ and nickel or copper, having all of the fol- ‘‘comminution’’; or lowing (see List of Items Controlled). c.2.g. ‘‘Mechanical alloying’’; and LICENSE REQUIREMENTS c.3. Capable of forming materials con- Reason for Control: NS, AT trolled by 1C002.a or 1C002.b; d. Alloyed materials, having all the fol- Control(s) Country chart lowing: d.1. Made from any of the composition sys- NS applies to entire entry ...... NS Column 2 tems specified by 1C002.c.1; AT applies to entire entry ...... AT Column 1 d.2. In the form of uncomminuted flakes, LICENSE EXCEPTIONS ribbons or thin rods; and LVS: $3000 d.3. Produced in a controlled environment GBS: N/A by any of the following: CIV: N/A d.3.a. ‘‘Splat quenching’’; LIST OF ITEMS CONTROLLED d.3.b. ‘‘Melt spinning’’; or Unit: Kilograms d.3.c. ‘‘Melt extraction’’. Related Controls: See also 1C117 and 1C226. 1C003 Magnetic metals, of all types and of Related Definitions: N/A 3 whatever form, having any of the fol- Items: a. A density exceeding 17.5 g/cm ; lowing (see List of Items Controlled). b. An elastic limit exceeding 880 MPa; LICENSE REQUIREMENTS c. An ultimate tensile strength exceeding Reason for Control: NS, AT 1,270 MPa; and d. An elongation exceeding 8%. Control(s) Country chart 1C005 ‘‘Superconductive’’ ‘‘composite’’ con- NS applies to entire entry ...... NS Column 2 ductors in lengths exceeding 100 m or

690 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

with a mass exceeding 100 g, as follows Items: (see List of Items Controlled). a. Hydraulic fluids containing, as their LICENSE REQUIREMENTS principal ingredients, any of the following: Reason for Control: NS, AT a.1. Synthetic ‘silahydrocarbon oils’, having all of the following: Control(s) Country chart TECHNICAL NOTE: For the purpose of NS applies to entire entry ...... NS Column 2 1C006.a.1, ‘silahydrocarbon oils’ contain ex- AT applies to entire entry ...... AT Column 1 clusively silicon, hydrogen and carbon. a.1.a. A ‘flash point’ exceeding 477 K (204 LICENSE EXCEPTIONS °C); LVS: $1500 a.1.b. A ‘pour point’ at 239 K (¥34 °C) or GBS: N/A less; CIV: N/A a.1.c. A ‘viscosity index’ of 75 or more; and LIST OF ITEMS CONTROLLED a.1.d. A ‘thermal stability’ at 616 K (343 °C); Unit: Kilograms or Related Controls: N/A a.2. ‘Chlorofluorocarbons’, having all of the Related Definitions: N/A following: Items: TECHNICAL NOTE: For the purpose of a. ‘‘Superconductive’’ ‘‘composite’’ conduc- 1C006.a.2, ‘chlorofluorocarbons’ contain ex- tors containing one or more niobium-tita- clusively carbon, fluorine and chlorine. nium ‘filaments’, having all of the following: a.2.a. No ‘flash point’; a.1. Embedded in a ‘‘matrix’’ other than a a.2.b. An ‘autogenous ignition tempera- copper or copper-based mixed ‘‘matrix’’; and ture’ exceeding 977 K (704 °C); a.2. Having a cross-section area less than a.2.c. A ‘pour point’ at 219 K (¥54 °C) or 0.28 × 10¥4 mm 2 (6 μm in diameter for circular less; ‘filaments’); a.2.d. A ‘viscosity index’ of 80 or more; and b. ‘‘Superconductive’’ ‘‘composite’’ conduc- a.2.e. A boiling point at 473 K (200 °C) or tors consisting of one or more ‘‘super- higher; conductive’’ ‘filaments’ other than niobium- TECHNICAL NOTE: For the purpose of 1C006.a titanium, having all of the following: the following determinations apply: b.1. A ‘‘critical temperature’’ at zero mag- 1. ‘Flash point’ is determined using the netic induction exceeding 9.85 K (¥263.31 °C); Cleveland Open Cup Method described in and ASTM D–92 or national equivalents; b.2. Remaining in the ‘‘superconductive’’ 2. ‘Pour point’ is determined using the state at a temperature of 4.2 K (¥268.96 °C) method described in ASTM D–97 or national when exposed to a magnetic field oriented in equivalents; any direction perpendicular to the longitu- 3. ‘Viscosity index’ is determined using the dinal axis of conductor and corresponding to method described in ASTM D–2270 or na- a magnetic induction of 12 T with critical tional equivalents; current density exceeding 1750 A/mm 2 on 4. ‘Thermal stability’ is determined by the overall cross-section of the conductor. following test procedure or national equiva- c. ‘‘Superconductive’’ ‘‘composite’’ conduc- lents: tors consisting of one or more ‘‘super- Twenty ml of the fluid under test is placed conductive’’ ‘filaments’ which remain in a 46 ml type 317 stainless steel chamber ‘‘superconductive’’ above 115 K (¥158.16 °C). containing one each of 12.5 mm (nominal) di- TECHNICAL NOTE: For the purpose of 1C005, ameter balls of M–10 tool steel, 52100 steel ‘filaments’ may be in wire, cylinder, film, and naval bronze (60% Cu, 39% Zn, 0.75% Sn); tape or ribbon form. The chamber is purged with nitrogen, sealed at atmospheric pressure and the tem- 1C006 Fluids and lubricating materials, as perature raised to and maintained at 644 ± 6 follows (see List of Items Controlled). K (371 ± 6 °C) for six hours; LICENSE REQUIREMENTS The specimen will be considered thermally Reason for Control: NS, AT stable if, on completion of the above procedure, all of the following conditions are met: Control(s) Country chart a. The loss in weight of each ball is less NS applies to entire entry ...... NS Column 2 than 10 mg/mm2 of ball surface; AT applies to entire entry ...... AT Column 1 b. The change in original viscosity as determined at 311 K (38 °C) is less than 25%; and LICENSE EXCEPTIONS c. The total acid or base number is less LVS: $3000 than 0.40; GBS: Yes for 1C006.d 5. ‘Autogenous ignition temperature’ is de- CIV: Yes for 1C006.d termined using the method described in LIST OF ITEMS CONTROLLED ASTM E–659 or national equivalents. Unit: Barrels (55 U.S. gallons/209 liters). b. Lubricating materials containing, as Related Controls: See also 1C996. their principal ingredients, any of the fol- Related Definitions: N/A lowing:

691 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

b.1. Phenylene or alkylphenylene ethers or Items: thio-ethers, or their mixtures, containing a. Base materials of single or complex more than two ether or thio-ether functions borides of titanium, having total metallic or mixtures thereof; or impurities, excluding intentional additions, b.2. Fluorinated silicone fluids with a kine- of less than 5,000 ppm, an average particle matic viscosity of less than 5,000 mm 2/s (5,000 size equal to or less than 5 μm and no more centistokes) measured at 298 K (25 °C); than 10% of the particles larger than 10 μm; c. Damping or flotation fluids having all of b. Non-‘‘composite’’ ceramic materials in the following: crude or semi-fabricated form, composed of c.1. Purity exceeding 99.8%; borides of titanium with a density of 98% or c.2. Containing less than 25 particles of 200 more of the theoretical density; μm or larger in size per 100 ml; and NOTE: 1C007.b does not control abrasives. c.3. Made from at least 85% of any of the c. Ceramic-ceramic ‘‘composite’’ materials following: with a glass or oxide-‘‘matrix’’ and rein- c.3.a. Dibromotetrafluoroethane (CAS 25497 forced with fibers having all the following: 30-7, 124-73-2, 27336-23- 8); c.1 Made from any of the following mate- c.3.b. Polychlorotrifluoroethylene (oily rials: and waxy modifications only); or c.1.a. Si-N; c.3.c. Polybromotrifluoroethylene; c.1.b. Si-C; d. Fluorocarbon electronic cooling fluids c.1.c. Si-Al-O-N; or having all of the following: c.1.d. Si-O-N; and d.1. Containing 85% by weight or more of c.2. Having a ‘‘specific tensile strength’’ any of the following, or mixtures thereof: exceeding 12.7 × 103 m; d.1.a. Monomeric forms of d. Ceramic-ceramic ‘‘composite’’ mate- perfluoropolyalkylether- triazines or rials, with or without a continuous metallic perfluoroaliphatic-ethers; phase, incorporating particles, whiskers or d.1.b. Perfluoroalkylamines; fibers, where carbides or nitrides of silicon, d.1.c. Perfluorocycloalkanes; or zirconium or boron form the ‘‘matrix’’; d.1.d. Perfluoroalkanes; e. Precursor materials (i.e., special purpose ° d.2. Density at 298 K (25 C) of 1.5 g/ml or polymeric or metallo-organic materials) for more; producing any phase or phases of the mate- ° d.3. In a liquid state at 273 K (0 C); and rials controlled by 1C007.c, as follows: d.4. Containing 60% or more by weight of e.1. Polydiorganosilanes (for producing sil- fluorine; icon carbide); e.2. Polysilazanes (for producing silicon 1C007 Ceramic base materials, non-‘‘com- nitride); posite’’ ceramic materials, ceramic-‘‘ma- e.3. Polycarbosilazanes (for producing ce- trix’’ ‘‘composite’’ materials and precursor ramics with silicon, carbon and nitrogen materials, as follows (see List of Items components); Controlled). f. Ceramic-ceramic ‘‘composite’’ materials LICENSE REQUIREMENTS with an oxide or glass ‘‘matrix’’ reinforced Reason for Control: NS, MT, AT with continuous fibers from any of the fol- Control(s) Country chart lowing systems: f.1. Al2O3 (CAS 1344–28–1); or NS applies to entire entry ...... NS Column 2. f.2. Si-C-N. MT applies to items in 1C007.d and MT Column 1. NOTE: 1C007.f does not control ‘‘compos- .f when the dielectric constant is less than 6 at any frequency from ites’’ containing fibers from these systems 100 MHz to 100 GHz for use in with a fiber tensile strength of less than 700 ‘‘missile’’ radomes. MPa at 1,273 K (1,000 °C) or fiber tensile creep AT applies to entire entry ...... AT Column 1. resistance of more than 1% creep strain at 100 MPa load and 1,273 K (1,000 °C) for 100 LICENSE REQUIREMENT NOTES: See § 743.1 of hours. the EAR for reporting requirements for exports under License Exceptions. 1C008 Non-fluorinated polymeric substances LICENSE EXCEPTIONS as follows (see List of Items Controlled). LVS: $5000, except N/A for MT and for 1C007.e LICENSE REQUIREMENTS GBS: N/A Reason for Control: NS, AT CIV: N/A STA: License Exception STA may not be Control(s) Country chart used to ship any item in 1C007.c or d to any NS applies to entire entry ...... NS Column 2 of the eight destinations listed in AT applies to entire entry ...... AT Column 1 § 740.20(c)(2) of the EAR. LIST OF ITEMS CONTROLLED LICENSE EXCEPTIONS Unit: Kilograms. LVS: $200 Related Controls: See also 1C107. GBS: N/A Related Definitions: N/A CIV: N/A

692 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LIST OF ITEMS CONTROLLED LVS: $5000 Unit: Kilograms GBS: N/A Related Controls: See also 1A003. CIV: N/A Related Definitions: N/A LIST OF ITEMS CONTROLLED Items: a. Non-fluorinated polymeric sub- Unit: Kilograms stances, as follows: Related Controls: See also 1A001. a. Imides as follows: Related Definitions: N/A a.1. Bismaleimides; Items: a. Copolymers of vinylidene fluoride a.2. Aromatic polyamide-imides (PAI) hav- having 75% or more beta crystalline struc- ing a ‘glass transition temperature (Tg)’ ex- ture without stretching; ° ceeding 563 K (290 C); b. Fluorinated polyimides containing 10% a.3. Aromatic polyimides; by weight or more of combined fluorine; a.4. Aromaticpolyetherimides having a c. Fluorinated phosphazene elastomers ‘glass transition temperature (T )’ exceeding g containing 30% by weight or more of com- 513K (240 °C). bined fluorine. NOTE: 1C008.a controls the substances in liquid or solid ‘‘fusible’’ form, including 1C010 ‘‘Fibrous or filamentary materials’’ as resin, powder, pellet, film, sheet, tape, or rib- follows (see List of Items Controlled). bon. LICENSE REQUIREMENTS N.B.: For non-‘‘fusible’’ aromatic Reason for Control: NS, NP, AT polyimides in film, sheet, tape, or ribbon form, see ECCN 1A003. Control(s) Country chart b. Thermoplastic liquid crystal copolymers having a heat distortion temperature exceed- NS applies to entire entry ...... NS Column 2 ing 523 K (250 °C) measured according to ISO NP applies to 1C010.a (aramid ‘‘fi- NP Column 1 75–2 (2004), method A, or national equiva- brous or filamentary materials’’, .b 2 (carbon ‘‘fibrous and filamentary lents, with a load of 1.80 N/mm and com- materials’’), and e.1 for ‘‘fibrous posed of: and filamentary materials’’ that b.1. Any of the following compounds: meet or exceed the control criteria b.1.a. Phenylene, biphenylene or naph- of ECCN 1C210. thalene; or AT applies to entire entry ...... AT Column 1 b.1.b. Methyl, tertiary-butyl or phenyl sub- stituted phenylene, biphenylene or naph- LICENSE REQUIREMENT NOTES: See § 743.1 of thalene; and the EAR for reporting requirements for ex- b.2. Any of the following acids: ports under License Exceptions. b.2.a. Terephthalic acid (CAS 100–21–0); b.2.b. 6-hydroxy-2 naphthoic acid (CAS LICENSE EXCEPTIONS 16712–64–4); or LVS: $1500, N/A for NP b.2.c. 4-hydroxybenzoic acid (CAS 99–96–7); GBS: N/A c. [Reserved] CIV: N/A d. Polyarylene ketones; STA: License Exception STA may not be e. Polyarylene sulphides, where the aryl- used to ship any item in 1C010.c or d to any ene group is biphenylene, triphenylene or of the eight destinations listed in combinations thereof; § 740.20(c)(2) of the EAR. f. Polybiphenylenethersulphone having a LIST OF ITEMS CONTROLLED ‘glass transition temperature (Tg)’ exceeding Unit: Kilograms 513 K (240 °C). Related Controls: (1) See ECCNs 1E001 (‘‘de- TECHNICAL NOTE: The ‘glass transition velopment’’ and ‘‘production’’) and 1E201 temperature (Tg)’ for 1C008 materials is de- (‘‘use’’) for technology for items controlled termined using the method described in ISO by this entry. (2) Also see ECCNs 1C210 and 11357–2 (1999) or national equivalents. In ad- 1C990. (3) See also 9C110 for material not dition, for 1C008.a.2 materials,‘glass transi- controlled by 1C010.e, as defined by notes 1 tion temperature (Tg)’ is determined on a or 2. PAI test specimen having initially been Related Definitions: (1) Specific modulus: cured at a minimum temperature of 310 °C Young’s modulus in pascals, equivalent to for a minimum of 15 minutes. N/m2 divided by specific weight in N/m3, measured at a temperature of (296±2) K 1C009 Unprocessed fluorinated compounds ((23+2) C) and a relative humidity of as follows (see List of Items Controlled). (50±5)%. (2) Specific tensile strength: ulti- LICENSE REQUIREMENTS mate tensile strength in pascals, equiva- Reason for Control: NS, AT lent to N/m2 divided by specific weight in N/m3, measured at a temperature of (296±2) Control(s) Country chart K ((23±2) C) and a relative humidity of NS applies to entire entry ...... NS Column 2 (50±5)% AT applies to entire entry ...... AT Column 1 Items: a. Organic ‘‘fibrous or filamentary mate- LICENSE EXCEPTIONS rials’’, having all of the following:

693 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

a.1. ‘‘Specific modulus’’ exceeding 12.7 x 106 e.1.a. Inorganic ‘‘fibrous or filamentary m; and materials’’ controlled by 1C010.c; or a.2. ‘‘Specific tensile strength’’ exceeding e.1.b. Organic or carbon ‘‘fibrous or fila- 23.5 x 104 m; mentary materials’’, having all of the fol- NOTE: 1C010.a does not control poly- lowing: ethylene. e.1.b.1. ‘‘Specific modulus’’ exceeding 10.15 b. Carbon ‘‘fibrous or filamentary mate- x 106 m; and rials’’, having all of the following: e.1.b.2 ‘‘Specific tensile strength’’ exceed- b.1. ‘‘Specific modulus’’ exceeding 14.65 x ing 17.7 x 104 m; and 106 m; and e.2. Having any of the following: b.2. ‘‘Specific tensile strength’’ exceeding e.2.a. Resin or pitch controlled by 1C008 or 26.82 x 104 m; 1C009.b; NOTE: 1C010.b does not control: e.2.b. ’Dynamic Mechanical Analysis glass ′ a. ‘‘Fibrous or filamentary materials’’, for transition temperature (DMA Tg) equal to or ° the repair of ‘‘civil aircraft’’ structures or exceeding 453 K (180 C) and having a phe- laminates, having all of the following: nolic resin; or e.2.c. ’Dynamic Mechanical Analysis glass 1. An area not exceeding 1 m2; transition temperature (DMA T )′ equal to or 2. A length not exceeding 2.5 m; and g exceeding 505 K (232 °C) and having a resin or 3. A width exceeding 15 mm. pitch, not specified by 1C008 or 1C009.b, and b. Mechanically chopped, milled or cut car- not being a phenolic resin; bon ‘‘fibrous or filamentary materials’’ 25.0 NOTE 1: Metal or carbon-coated ‘‘fibrous or mm or less in length. filamentary materials’’ (preforms) or ‘‘car- TECHNICAL NOTE: Properties for materials bon fiber preforms’’, not impregnated with described in 1C010.b should be determined resin or pitch, are specified by ‘‘fibrous or using SACMA recommended methods SRM 12 filamentary materials’’ in 1C010.a, 1C010.b or to 17, ISO 10618 (2004) 10.2.1 Method A or na- 1C010.c. tional equivalent tow tests, and based on lot NOTE 2: 1C010.e does not apply to: average. a. Epoxy resin ‘‘matrix’’ impregnated car- c. Inorganic ‘‘fibrous or filamentary mate- bon ‘‘fibrous or filamentary materials’’ rials’’, having all of the following: (prepregs) for the repair of ‘‘civil aircraft’’ c.1. ‘‘Specific modulus’’ exceeding 2.54 x 106 structures or laminates, having all of the fol- m; and lowing: c.2. Melting, softening, decomposition or 1. An area not exceeding 1 m2; sublimation point exceeding 1,922 K (1,649 °C) 2. A length not exceeding 2.5 m; and in an inert environment; 3. A width exceeding 15 mm; NOTE: 1C010.c does not control: b. Fully or partially resin-impregnated or a. Discontinuous, multiphase, pitch-impregnated mechanically chopped, polycrystalline alumina fibers in chopped milled or cut carbon ‘‘fibrous or filamentary fiber or random mat form, containing 3% by materials’’ 25.0 mm or less in length when weight or more silica, with a ‘‘specific mod- using a resin or pitch other than those speci- ulus’’ of less than 10 x 106 m; fied by 1C008 or 1C009.b. b. Molybdenum and molybdenum alloy fi- TECHNICAL NOTE: The ‘Dynamic Mechan- bers; ical Analysis glass transition temperature c. Boron fibers; (DMA Tg)’ for materials controlled by 1C010.e d. Discontinuous ceramic fibers with a is determined using the method described in melting, softening, decomposition or sub- ASTM D 7028–07, or equivalent national limation point lower than 2,043 K (1,770 °C) in standard, on a dry test specimen. In the case an inert environment. of thermoset materials, degree of cure of a d. ‘‘Fibrous or filamentary materials’’, dry test specimen shall be a minimum of 90% having any of the following: as defined by ASTM E 2160 04 or equivalent d.1. Composed of any of the following: national standard. d.1.a. Polyetherimides controlled by 1C008.a; or 1C011 Metals and compounds, as follows d.1.b. Materials controlled by 1C008.b to (see List of Items Controlled). 1C008.f; or LICENSE REQUIREMENTS d.2. Composed of materials controlled by Reason for Control: NS, MT, AT 1C010.d.1.a or 1C010.d.1.b and ‘‘commingled’’ Control(s) Country chart with other fibers controlled by 1C010.a, 1C010.b or 1C010.c; NS applies to entire entry ...... NS Column 1 e. Fully or partially resin-impregnated or MT applies to 1C011.a ...... MT Column 1.b pitch-impregnated ‘‘fibrous or filamentary AT applies to entire entry ...... AT Column 1. materials’’ (prepregs), metal or carbon-coat- LICENSE EXCEPTIONS ed ‘‘fibrous or filamentary materials’’ LVS: N/A (preforms) or ‘‘carbon fiber preforms’’, hav- GBS: N/A ing all of the following: CIV: N/A e.1. Having any of the following: LIST OF ITEMS CONTROLLED

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Unit: N/A a. Shipments with a plutonium content of Related Controls: (1) See also 1C018 and 1C111. 1 g or less; (2.) The following are subject to the export b. Shipments of 3 ‘‘effective grams’’ or less licensing authority of the U.S. Department when contained in a sensing component in of State, Directorate of Defense Trade Con- instruments. trols (see 22 CFR 121.1 Category V): a) Ma- b. ‘‘Previously separated’’ neptunium-237 terials controlled by 1C011.a, and metal in any form. fuels in particle form, whether spherical, atomized, spheroidal, flaked or ground, NOTE: 1C012.b does not control shipments manufactured from material consisting of with a neptunium-237 content of 1 g or less. 99 percent or more of items controlled by 1C018 Commercial Charges and Devices 1C011.b; and b) Metal powders mixed with Containing Energetic Materials on the other substances to form a mixture formu- Wassenaar Arrangement Munitions List lated for military purposes. and Certain Chemicals as Follows (see Related Definitions: N/A List of Items Controlled). Items: LICENSE REQUIREMENTS a. Metals in particle sizes of less than 60 Reason for Control: NS, MT, AT, UN μm whether spherical, atomized, spheroidal, flaked or ground, manufactured from mate- Control(s) Country chart rial consisting of 99% or more of zirconium, magnesium and alloys thereof; NS applies to entire entry, except as NS Column 1. TECHNICAL NOTE: The natural content of noted in 1C018.m. hafnium in the zirconium (typically 2% to MT applies to 1C018.m, except as MT Column 1. 7%) is counted with the zirconium. noted therein. AT applies to entire entry ...... AT Column 1. NOTE: The metals or alloys specified by UN applies to entire entry ...... Iraq, North Korea, and 1C011.a also refer to metals or alloys encap- Rwanda. sulated in aluminum, magnesium, zirconium or beryllium. LICENSE EXCEPTIONS b. Boron or boron alloys, with a particle LVS: $3000, except N/A for Rwanda size of 60 μm or less, as follows: GBS: N/A b.1. Boron with a purity of 85% by weight CIV: N/A or more; LIST OF ITEMS CONTROLLED b.2. Boron alloys with a boron content of Unit: Number. 85% by weight or more; Related Controls: (1) Explosive devices or NOTE: The metals or alloys specified by 1C011.b also refer to metals or alloys encap- charges in paragraphs .c through .k of this sulated in aluminum, magnesium, zirconium entry that utilize USML controlled ener- or beryllium. getic materials (See 22 CFR 121.1 Category c. Guanidine nitrate (CAS 506–93–4); V) are subject to the licensing authority of d. Nitroguanidine (NQ) (CAS 556–88–7). the U.S. Department of State, Directorate of Defense Trade Controls if they have 1C012 Materials, as Follows (See List of been specifically designed, developed, con- Items Controlled) figured, adapted, or modified for a military LICENSE REQUIREMENTS application. (2) With the exception of Reason for Control: slurries if the USML controlled materials Control(s): Items described in 1C012 are sub- utilized in devices and charges controlled ject to the export licensing authority of by paragraphs .c through .k of this entry the Nuclear Regulatory Commission (see 10 can be easily extracted without destroying CFR part 110, item 9A)). the device or charge, then they are subject LICENSE EXCEPTIONS to the export licensing authority of the LVS: N/A U.S. Department of State, Directorate of GBS: N/A Defense Trade Controls. (3) Commercial CIV: N/A prefabricated slurries and emulsions con- STA: License Exception STA may not be taining greater than 35% of USML con- used to ship any item in this entry to any trolled energetic materials are subject to of the eight destinations listed in the export licensing authority of the U.S. § 740.20(c)(2) of the EAR. Department of State, Directorate of De- LIST OF ITEMS CONTROLLED fense Trade Controls. (4) The individual Unit: N/A USML controlled energetic materials in Related Controls: See also 0C002. paragraphs .c through .k of this entry, Related Definitions: These materials are typi- even when compounded with other mate- cally used for nuclear heat sources. rials, remain subject to the export licens- Items: ing authority of the Department of State a. Plutonium in any form with a pluto- when not incorporated into explosive de- nium isotopic assay of plutonium-238 of more vices or charges controlled by this entry or than 50% by weight; 1C992. (5) The chemicals in paragraphs .l NOTE: 1C012.a does not control: and .m of this entry, when incorporated

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into items listed on the United States Mu- l. Propyleneimine (2-methylaziridine) (CAS nitions List, become subject to the licens- 75–55–8); or ing jurisdiction of the U.S. Department of m. Any oxidizer or mixture thereof that is State, Directorate of Defense Trade Con- a compound composed of fluorine and one or trols. (6) See also ECCNs 1C011, 1C111, and more of the following—other halogens, oxy- 1C239 for additional controlled energetic gen, or nitrogen. materials. (7) See ECCN 1C238 for addi- NOTE: Nitrogen trifluoride (NF3) in a gas- tional controls on chlorine trifluoride eous state is controlled by ECCN 1C992 and (ClF3). (8) See ECCN 1A008 for shaped not by 1C018. charges, detonating cord, and cutters and NOTE: National security is not a reason for severing tools. (9) See ECCN1E001 for the control for chlorine trifluoride. ‘‘development’’ or ‘‘production’’ ‘‘tech- NOTE: If a chemical in paragraphs .1 or .m nology’’ for the commodities controlled by of 1C018 is incorporated into a commercial ECCN 1C018, but not explosives or ener- charge or device described in paragraphs .c getic materials that are under the jurisdic- through .k of ECCN 1C018 or in 1C992, the tion of U.S. Department of State, Direc- classification of the commercial charge or torate of Defense Trade Controls. device applies to the item. Related Definitions: (1) For purposes of this entry, the term ‘‘controlled materials’’ 1C101 Materials for Reduced Observables means controlled energetic materials (see such as Radar Reflectivity, Ultraviolet/In- ECCNs 1C011, 1C111, 1C239 and 22 CFR 121.1 frared Signatures and Acoustic Signa- Category V). (2) For purposes of this entry, tures (i.e., Stealth Technology), Other the mass of aluminum powder, potassium than Those Controlled by 1C001, for ap- perchlorate, and any of the substances list- plications usable in rockets, missiles, or ed in the note to the USML (see 22 CFR unmanned aerial vehicles capable of 121.1 Category V) (such as ammonium achieving a ‘‘range’’ equal to or greater pictrate, black powder, etc.) contained in than 300km, and their subsystems. commercial explosive devices and in the LICENSE REQUIREMENTS charges are omitted when determining the Reason for Control: MT, AT total mass of controlled material. Items: a. [Reserved] Control(s) Country chart b. Shock tubes containing greater than MT applies to entire entry ...... MT Column 1 0.064 kg per meter (300 grains per foot), but AT applies to entire entry ...... AT Column 1 not more than 0.1 kg per meter (470 grains per foot) of controlled materials; LICENSE EXCEPTIONS c. Cartridge power devices containing LVS: N/A greater than 0.70 kg, but not more than 1.0 GBS: N/A kg of controlled materials; CIV: N/A d. Detonators (electric or nonelectric) and LIST OF ITEMS CONTROLLED assemblies thereof containing greater than Unit: $ value 0.01 kg, but not more than 0.1 kg of con- Related Controls: (1) Materials controlled by trolled materials; this entry include structural materials and e. Igniters containing greater than 0.01 kg, coatings (including paints), specially de- but not more than 0.1 kg of controlled mate- signed for reduced or tailored reflectivity rials; or emissivity in the microwave, infrared or f. Oil well cartridges containing greater ultraviolet spectra. (2) This entry does not than 0.015 kg, but not more than 0.1 kg of control coatings (including paints) when controlled materials; specially used for the thermal control of g. Commercial cast or pressed boosters satellites. (3) For commodities that meet containing greater than 1.0 kg, but not more the definition of defense articles under 22 than 5.0 kg of controlled materials; CFR 120.3 of the International Traffic in h. Commercial prefabricated slurries and Arms Regulations (ITAR), see 22 CFR emulsions containing greater than 10 kg and 121.16, Item 17-Category II of the (ITAR), less than or equal to thirty-five percent by which describes similar commodities under weight of USML controlled materials; the jurisdiction of the Department of i. [Reserved] State, Directorate of Defense Trade Con- j. Pyrotechnic devices when designed ex- trols. clusively for commercial purposes (e.g., the- Related Definitions: N/A atrical stages, motion picture special effects, Items: The list of items controlled is con- and fireworks displays), and containing tained in the ECCN heading. greater than 3.0 kg, but not more than 5.0 kg of controlled materials; or 1C102 Resaturated pyrolized carbon-carbon k. Other commercial explosive devices and materials designed for space launch vehi- charges, not controlled by 1C018.c through .g cles specified in 9A004 or sounding rock- above, when used for commercial applica- ets specified in 9A104. tions and containing greater than 1.0 kg, but (These items are subject to the export li- not more than 5.0 kg of controlled materials. censing authority of the U.S. Department of

696 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

State, Directorate of Defense Trade Con- Reason for Control: MT, AT trols. See 22 CFR part 121.) Control(s) Country chart 1C107 Graphite and Ceramic Materials, Other Than Those Controlled by 1C007, MT applies to entire entry ...... MT Column 1 Which Can be Machined to Any of the AT applies to entire entry ...... AT Column 1 Following Products as Follows (See List of Items Controlled) LICENSE EXCEPTIONS LICENSE REQUIREMENTS LVS: N/A Reason for Control: MT, AT GBS: N/A CIV: N/A Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: Kilograms. MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 Related Controls: (1) Butacene as defined by 1C111.c.1 is subject to the export licensing LICENSE EXCEPTIONS authority of the U.S. Department of State, LVS: N/A Directorate of Defense Trade Controls. GBS: N/A (See 22 CFR 121.12(b)(6), other ferrocene de- CIV: N/A rivatives). (2) See 1C018 for controls on LIST OF ITEMS CONTROLLED oxidizers that are composed of fluorine and Unit: Kilograms. one or more of the following—other Related Controls: (1) See also 0C005, 1C004, and halogens, oxygen, or nitrogen. Solid oxi- 1C298. (2) For commodities that meet the dizer substances are subject to the export definition of defense articles under 22 CFR licensing authority of the U.S. Department 120.3 of the ITAR, see 22 CFR 121.16, Item 8- of State, Directorate of Defense Trade Con- Category II of the International Traffic in trols (See 22 CFR 121.1 Category V). (3) See Arms Regulations (ITAR), which describes 1C011.b for controls on boron and boron al- similar commodities under the jurisdiction loys. of the Department of State, Directorate of Related Definitions: N/A Defense Trade Controls. Items: Related Definitions: N/A a. Propulsive substances: Items: a. Fine grain graphites with a bulk a.1. Spherical aluminum powder, other density of 1.72 g/cm3 or greater, measured at than that specified on the U.S. Munitions 15 °C, and having a grain size of 100 microm- List, with particles of uniform diameter of eters or less, usable for rocket nozzles and less than 200 micrometer and an aluminum reentry vehicle nose tips as follows: content of 97% by weight or more, if at least a.1. Cylinders having a diameter of 120 mm 10 percent of the total weight is made up of or greater and a length of 50 mm or greater; particles of less than 63 micrometer, accord- a.2. Tubes having an inner diameter of 65 ing to ISO 2591:1988 or national equivalents mm or greater and a wall thickness of 25 mm such as JIS Z8820. or greater and a length of 50 mm or greater; TECHNICAL NOTE: A particle size of 63 mi- a.3. Blocks having a size of 120 mm × 120 crometer (ISO R–565) corresponds to 250 mesh mm × 50 mm or greater. (Tyler) or 230 mesh (ASTM standard E–11). b. Pyrolytic or fibrous reinforced graphites, usable for rocket nozzles and re- a.2. Metal fuels, other than that controlled entry vehicle nose tips; by the U.S. Munitions List, in particle sizes ¥ c. Ceramic composite materials (dielectric of less than 60 × 10 6 m (60 micrometers), constant is less than 6 at any frequency from whether spherical, atomized, spheroidal, 100 MHz to 100 GHz) for use in radomes use- flaked or ground, as follows: able in rockets, missiles, and unmanned aer- a.2.a. Consisting of 97% by weight or more ial vehicles capable of achieving a ‘‘range’’ of any of the following: equal to or greater than 300 km; or a.2.a.1. Zirconium; d. Silicon-Carbide materials, useable in a.2.a.2. Beryllium; rockets, missiles, and unmanned aerial vehi- a.2.a.3. Magnesium; or cles capable of achieving a ‘‘range’’ equal to a.2.a.4. Alloys of the metals specified by or greater than 300 km, as follows: a.2.a.1 to a.2.a.3 above. d.1. Bulk machinable silicon-carbide rein- TECHNICAL NOTE: The natural content of forced unfired ceramic, usable for nose tips. hafnium in the zirconium (typically 2% to d.2. Reinforced silicon-carbide ceramic 7%) is counted with the zirconium. composites usable for nose tips, re-entry vehicles, nozzle flaps. a.3. Oxidizer substances usable in liquid propellant rocket engines, as follows: 1C111 Propellants and constituent chemi- a.3.a. Dinitrogen trioxide; cals for propellants, other than those a.3.b. Nitrogendioxide/dinitrogen tetroxide; specified in 1C011, as follows (see List of a.3.c. Dinitrogen pentoxide; Items Controlled). a.3.d Mixed oxides of nitrogen (MON); a.3.e LICENSE REQUIREMENTS Inhibited red fuming nitric acid (IRFNA);

697 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

TECHNICAL NOTE: Mixed oxides of nitrogen ished products and specially designed or (MON) are solutions of nitric oxide (NO) in prepared for use in separating uranium iso- dinitrogen tetroxide/nitrogen diox- topes, is subject to the export licensing au- ide(N2O4NO2-) that can be used in missile sys- thority of the Nuclear Regulatory Commis- tems. There are a range of compositions that sion (see 10 CFR part 110). can be denoted as MONi or MONij, where i Related Definitions: N/A and j are integers representing the percent- Items: The list of items controlled is con- age of nitric oxide in the mixture (e.g., MON3 tained in the ECCN heading. contains 3% nitric oxide, MON25 25% nitric oxide. An upper limit is MON40, 40% by 1C117 Materials for the Fabrication of Mis- weight). sile Components for Rockets or Missiles Capable of Achieving a ‘‘Range’’ Equal to b. Polymeric substances: or Greater Than 300 km, as Follows (See b.1. Carboxy—terminated polybutadiene List of Items Controlled) (including carboxyl—terminated LICENSE REQUIREMENTS polybutadiene) (CTPB); Reason for Control: MT, AT b.2. Hydroxy—terminated polybutadiene (including hydroxyl—terminated Control(s) Country chart polybutadiene) (HTPB); b.3. Polybutadiene-acrylic acid (PBAA); MT applies to entire entry ...... MT Column 1 b.4. Polybutadiene-acrylic acid -acrylo- AT applies to entire entry ...... AT Column 1 nitrile (PBAN); b.5 Polytetrahydrofuran polyethylene gly- LICENSE EXCEPTIONS col (TPEG). LVS: N/A GBS: N/A TECHNICAL NOTE: Polytetrahydrofuran pol- CIV: N/A yethylene glycol (TPEG) is a block co-poly- LIST OF ITEMS CONTROLLED mer of poly 1,4-Butanediol and polyethylene Unit: Kilograms glycol (PEG). Related Controls: N/A c. Other propellant additives and agents: Related Definitions: N/A c.1. Butacene; Items: c.2. Triethylene glycol dinitrate (TEGDN); a. Tungsten and alloys in particulate form c.3. 2-Nitrodiphenylamine; with a tungsten content of 97% by weight or c.4. Trimethylolethane trinitrate more and a particle size of 50 × 10¥6 m (50 (TMETN); μm) or less; c.5. Diethylene glycol dinitrate (DEGDN). b. Molybdenum and alloys in particulate form with a molybdenum content of 97% by 1C116 Maraging steels (iron alloys generally weight or more and a particle size of 50 × 10¥6 characterized by high nickel, very low m (50 μm) or less; carbon content and the use of substi- c. Tungsten materials in the solid form tutional elements or precipitates to having all of the following: produce strengthening and age-hard- c.1. Any of the following material composi- ening of the alloy) having an ultimate tions: tensile strength equal to or greater than c.1.a. Tungsten and alloys containing 97% ≥ 1.5 GPa, measured at 293 K (20 C), in the by weight or more of tungsten; form of sheet, plate or tubing with a wall c.1.b. Copper infiltrated tungsten con- or plate thickness equal to or less than 5 taining 80% by weight or more of tungsten; mm. or LICENSE REQUIREMENTS c.1.c. Silver infiltrated tungsten con- Reason for Control: MT, NP, AT taining 80% by weight or more of tungsten; and Control(s) Country chart c.2. Able to be machined to any of the fol- MT applies to entire entry ...... MT Column 1 lowing products: NP applies to items that meet or ex- NP Column 1 c.2.a. Cylinders having a diameter of 120 ceed the parameters of 1C216. mm or greater and a length of 50 mm or AT applies to entire entry ...... AT Column 1 greater; c.2.b. Tubes having an inner diameter of 65 LICENSE EXCEPTIONS mm or greater and a wall thickness of 25 mm LVS: N/A or greater and a length of 50 mm or greater; GBS: N/A or CIV: N/A c.2.c. Blocks having a size of 120 mm × 120 LIST OF ITEMS CONTROLLED mm × 50 mm or greater. Unit: Kilograms Related Controls: (1) See ECCNs 1E001 (‘‘de- 1C118 Titanium-stabilized duplex stainless velopment’’ and ‘‘production’’) and 1E101 steel (Ti-DSS), having all of the following (‘‘use’’) for technology for items controlled characteristics (see List of Items Con- by this entry. (2) Also see ECCN 1C216. (3) trolled). Maraging steel, in physical forms and fin- LICENSE REQUIREMENTS

698 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Reason for Control: MT, AT a.1. ‘‘Capable of’’ an ultimate tensile strength of 460 MPa or more at 293 K (20 °C); Control(s) Country chart and a.2. In the form of tubes or cylindrical MT applies to entire entry...... MT Column 1. 1AT applies to entire entry...... AT Column 1. solid forms (including forgings) with an outside diameter of more than 75 mm; LICENSE EXCEPTIONS b. Titanium alloys having both of the fol- LVS: N/A lowing characteristics: GBS: N/A b.1. ‘‘Capable of’’ an ultimate tensile ° CIV: N/A strength of 900 MPa or more at 293 K (20 C); LIST OF ITEMS CONTROLLED and Unit: Kilograms. b.2. In the form of tubes or cylindrical Related Controls: N/A solid forms (including forgings) with an out- Related Definitions: N/A side diameter of more than 75 mm. Items: 1C210 ‘‘Fibrous or filamentary materials’’ or a. Having all of the following characteristics: prepregs, other than those controlled by a.1. Containing 17.0–23.0 weight percent 1C010.a, .b or .e, as follows (see List of chromium and 4.5–7.0 weight percent nickel; Items Controlled). ICENSE REQUIREMENTS a.2. Having a titanium content of greater L Reason for Control: NP, AT than 0.10 weight percent; and a.3. A ferritic-austenitic microstructure Control(s) Country chart (also referred to as a two-phase microstructure) of which at least 10 percent is austenite NP applies to entire entry ...... NP Column 1 by volume (according to ASTM E–1181–87 or AT applies to entire entry ...... AT Column 1 national equivalents), and b. Having any of the following forms: LICENSE EXCEPTIONS b.1. Ingots or bars having a size of 100 mm LVS: N/A or more in each dimension; GBS: N/A b.2. Sheets having a width of 600 mm or CIV: N/A more and a thickness of 3 mm or less; or LIST OF ITEMS CONTROLLED b.3. Tubes having an outer diameter of 600 Unit: Kilograms mm or more and a wall thickness of 3 mm or Related Controls: (1) See ECCNs 1E001 (‘‘de- less. velopment’’ and ‘‘production’’) and 1E201 (‘‘use’’) for technology for items controlled 1C202 Alloys other than those controlled by by this entry. (2) Also see ECCNs 1C010 and 1C002.b.3 or 1C002.b.4 as follows (see List 1C990. of Items Controlled). Related Definitions: For the purpose of this LICENSE REQUIREMENTS entry, the term ‘‘fibrous or filamentary Reason for Control: NP, AT materials’’ is restricted to continuous ‘‘monofilaments’’, ‘‘yarns’’, ‘‘rovings’’, Control(s) Country chart ‘‘tows’’, or ‘‘tapes’’. Definitions for other NP applies to entire entry ...... NP Column 1 terms used in this entry: AT applies to entire entry ...... AT Column 1 Filament or Monofilament is the smallest in- crement of fiber, usually several μm in di- LICENSE EXCEPTIONS ameter. LVS: N/A Strand is a bundle of filaments (typically GBS: N/A over 200) arranged approximately parallel. CIV: N/A Roving is a bundle (typically 12–120) of ap- LIST OF ITEMS CONTROLLED proximately parallel strands. Unit: Kilograms Yarn is a bundle of twisted strands. Related Controls: (1) See ECCNs 1E001 (‘‘devel- Tow is a bundle of filaments, usually ap- opment’’ and ‘‘production’’) and 1E201 proximately parallel. (‘‘use’’) for technology for items controlled Tape is a material constructed of inter- by this entry. (2) Also see ECCN 1C002. (3) laced or unidirectional filaments, strands, Aluminum alloys and titanium alloys, in rovings, tows, or yarns, etc., usually physical forms and finished products and preimpregnated with resin. specially designed or prepared for use in Specific modulus is the Young’s modulus in separating uranium isotopes, are subject to N/m2 divided by the specific weight in N/m3, the export licensing authority of the Nu- measured at a temperature of (296 ± 2) K ((23 clear Regulatory Commission (see 10 CFR ± 2) °C) and a relative humidity of 50 ± 5 per- part 110). cent. Related Definitions: The phrase ‘‘capable of’’ Specific tensile strength is the ultimate ten- refers to aluminum alloys and titanium al- sile strength in N/m2 divided by specific loys either before or after heat treatment. weight in N/m3, measured at a temperature Items: a. Aluminum alloys having both of the of (296 ± 2) K ((23 ± 2) °C) and a relative hu- following characteristics: midity of 50 ± 5 percent.

699 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Items: a. Carbon or aramid ‘‘fibrous or fila- Control(s) Country chart mentary materials’’ having a ‘‘specific modulus’’ of 12.7 × 106 m or greater or a ‘‘specific NP applies to entire entry ...... NP Column 1 tensile strength’’ of 235 × 103 m or greater ex- AT applies to entire entry ...... AT Column 1 cept Aramid ‘‘fibrous or filamentary materials’’ having 0.25 percent or more by weight LICENSE EXCEPTIONS N/A of an ester based fiber surface modifier; LVS: GBS: N/A b. Glass ‘‘fibrous or filamentary materials’’ CIV: N/A having a ‘‘specific modulus’’ of 3.18 × 106 m or LIST OF ITEMS CONTROLLED greater and a ‘‘specific tensile strength’’ of Unit: Kilograms × 3 76.2 10 m or greater; or Related Controls: See ECCNs 1E001 (‘‘develop- c. Thermoset resin impregnated contin- ment’’ and ‘‘production’’) and 1E201 (‘‘use’’) uous ‘‘yarns’’, ‘‘rovings’’, ‘‘tows’’ or ‘‘tapes’’ for technology for items controlled by this with a width no greater than 15 mm entry. (prepregs), made from carbon or glass ‘‘fi- Related Definitions: In this entry, mixtures brous or filamentary materials’’ controlled containing boron include boron-loaded ma- by 1C210.a or .b. terials. TECHNICAL NOTE: The resin forms the ma- Items: The list of items controlled is con- trix of the composite. tained in the ECCN heading. TECHNICAL NOTE: The natural isotopic 1C216 Maraging steel, other than that con- abundance of boron-10 is approximately 18.5 trolled by 1C116, ‘‘capable of’’ an ultimate weight percent (20 atom percent). tensile strength of 2,050 MPa or more, at 293 K (20 ≥C). 1C226 Tungsten, tungsten carbide, and al- LICENSE REQUIREMENTS loys containing more than 90% tungsten Reason for Control: NP, AT. by weight, having both of the following characteristics (see List of Items Con- Control(s) Country chart trolled). LICENSE REQUIREMENTS NP applies to entire entry ...... NP Column 1. Reason for Control: NP, AT AT applies to entire entry ...... AT Column 1. Control(s) Country chart

LICENSE EXCEPTIONS NP applies to entire entry ...... NP Column 1 LVS: N/A AT applies to entire entry ...... AT Column 1 GBS: N/A CIV: N/A LICENSE EXCEPTIONS LIST OF ITEMS CONTROLLED LVS: N/A Unit: Kilograms GBS: N/A CIV: N/A Related Controls: (1) See ECCNs 1E001 (‘‘de- LIST OF ITEMS CONTROLLED velopment’’ and ‘‘production’’) and 1E201 Unit: Kilograms (‘‘use’’) for technology for items controlled Related Controls: See ECCNs 1E001 (‘‘develop- by this entry. (2) Also see ECCN 1C116. (3) ment’’ and ‘‘production’’) and 1E201 (‘‘use’’) Maraging steel, in physical form and fin- for technology for items controlled by this ished products specially designed or pre- entry. pared for use in separating uranium iso- Related Definitions: N/A topes, is subject to the export licensing au- ECCN Controls: This entry does not control thority of the Nuclear Regulatory Commis- manufactures specially designed as sion (see 10 CFR part 110). weights or gamma-ray collimators. Related Definitions: The phrase ‘‘capable of’’ Items: a. In forms with a hollow cylindrical in the ECCN heading refers to maraging symmetry (including cylinder segments) steel either before or after heat treatment. with an inside diameter between 100 and 300 ECCN Controls: This entry does not control mm; and forms in which all linear dimensions are 75 b. A mass greater than 20 kg. mm or less. Items: The list of items controlled is con- 1C227 Calcium having both of the following tained in the ECCN heading. characteristics (see List of Items Con- trolled). 1C225 Boron enriched in the boron-10 (10B) LICENSE REQUIREMENTS isotope to greater than its natural iso- Reason for Control: NP, AT topic abundance, as follows: elemental boron, compounds, mixtures containing Control(s) Country chart boron, manufactures thereof, waste or NP applies to entire entry ...... NP Column 1 scrap of any of the foregoing. AT applies to entire entry ...... AT Column 1 LICENSE REQUIREMENTS Reason for Control: NP, AT LICENSE EXCEPTIONS

700 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LVS: N/A b. Containing less than 10 parts per million GBS: N/A by weight of silver. CIV: N/A LIST OF ITEMS CONTROLLED 1C230 Beryllium metal, alloys containing Unit: Kilograms more than 50% beryllium by weight, be- Related Controls: See ECCNs 1E001 (‘‘develop- ryllium compounds, manufactures there- ment’’ and ‘‘production’’) and 1E201 (‘‘use’’) of, and waste or scrap of any of the fore- for technology for items controlled by this going. entry. LICENSE REQUIREMENTS Related Definitions: N/A Reason for Control: NP, AT Items: a. Containing less than 1,000 parts per million by weight of metallic impurities Control(s) Country chart other than magnesium; and NP applies to entire entry ...... NP Column 1 b. Containing less than 10 parts per million AT applies to entire entry ...... AT Column 1 by weight of boron. LICENSE EXCEPTIONS 1C228 Magnesium having both of the fol- LVS: N/A lowing characteristics (see List of Items GBS: N/A Controlled). CIV: N/A LICENSE REQUIREMENTS Reason for Control: NP, AT LIST OF ITEMS CONTROLLED Unit: Kilograms Control(s) Country chart Related Controls: See ECCNs 1E001 (‘‘development’’ and ‘‘production’’) and 1E201 (‘‘use’’) NP applies to entire entry ...... NP Column 1 for technology for items controlled by this AT applies to entire entry ...... AT Column 1 entry. Related Definitions: N/A LICENSE EXCEPTIONS ECCN Controls: This entry does not control N/A LVS: the following: GBS: N/A a. Metal windows for X-ray machines, or CIV: N/A for bore-hole logging devices; LIST OF ITEMS CONTROLLED b. Oxide shapes in fabricated or semi-fab- Unit: Kilogram ricated forms specially designed for elec- Related Controls: See ECCNs 1E001 (‘‘develop- tronic component parts or as substrates for ment’’ and ‘‘production’’) and 1E201 (‘‘use’’) electronic circuits; for technology for items controlled by this c. Beryl (silicate of beryllium and alu- entry. minum) in the form of emeralds or Related Definitions: N/A aquamarines. Items: a. Containing less than 200 parts per million by weight of metallic impurities Items: The list of items controlled is con- other than calcium; and tained in the ECCN heading. b. Containing less than 10 parts per million 1C231 Hafnium metal, hafnium alloys and by weight of boron. compounds containing more than 60% 1C229 Bismuth having both of the following hafnium by weight, manufactures there- characteristics (see List of Items Con- of, and waste or scrap of any of the fore- trolled) going. LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: NP, AT Reason for Control: NP, AT

Control(s) Country chart Control(s) Country chart

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

LICENSE EXCEPTIONS LICENSE EXCEPTIONS LVS: N/A LVS: N/A GBS: N/A GBS: N/A CIV: N/A CIV: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: Kilograms Unit: Kilograms Related Controls: See ECCNs 1E001 (‘‘develop- Related Controls: See ECCNs 1E001 (‘‘development’’ and ‘‘production’’) and 1E201 (‘‘use’’) ment’’ and ‘‘production’’) and 1E201 (‘‘use’’) for technology for items controlled by this for technology for items controlled by this entry. entry. Related Definitions: N/A Related Definitions: N/A Items: a. A purity of 99.99% or greater by Items: The list of items controlled is con- weight; and tained in the ECCN heading.

701 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

1C232 Helium-3 (3He), mixtures containing conium by weight, as follows: metal, al- helium-3, and products or devices con- loys containing more than 50% zirconium taining any of the foregoing. by weight, compounds, manufactures LICENSE REQUIREMENTS thereof, and waste or scrap of any of the Reason for Control: NP, AT foregoing. LICENSE REQUIREMENTS Control(s) Country chart Reason for Control: NP, AT NP applies to entire entry ...... NP Column 1 AT applies to entire entry ...... AT Column 1 Control(s) Country chart NP applies to entire entry ...... NP Column 1 LICENSE EXCEPTIONS AT applies to entire entry ...... AT Column 1 LVS: N/A GBS: N/A LICENSE EXCEPTIONS CIV: N/A LVS: N/A LIST OF ITEMS CONTROLLED Unit: Liters GBS: N/A Related Controls: See ECCNs 1E001 (‘‘develop- CIV: N/A ment’’ and ‘‘production’’) and 1E201 (‘‘use’’) LIST OF ITEMS CONTROLLED for technology for items controlled by this Unit: Kilograms entry. Related Controls: (1) See ECCNs 1E001 (‘‘de- Related Definitions: N/A velopment’’ and ‘‘production’’) and 1E201 ECCN Controls: This entry does not control a (‘‘use’’) for technology for items controlled product or device containing less than 1 g by this entry. (2) Zirconium metal and al- of helium-3. loys in the form of tubes or assemblies of Items: The list of items controlled is con- tubes, specially designed or prepared for tained in the ECCN heading. use in a reactor, are subject to the export licensing authority of the Nuclear Regu- 1C233 Lithium enriched in the lithium-6 latory Commission (see 10 CFR part 110). (6 Li) isotope to greater than its natural Related Definitions: N/A isotopic abundance, and products or de- ECCN Controls: This entry does not control vices containing enriched lithium, as fol- zirconium in the form of foil having a lows: elemental lithium, alloys, com- thickness of 0.10 mm (0.004 in.) or less. pounds, mixtures containing lithium, Items: The list of items controlled is con- manufactures thereof, and waste or scrap tained in the ECCN heading. of any of the foregoing. LICENSE REQUIREMENTS 1C235 Tritium, tritium compounds, mix- Reason for Control: NP, AT tures containing tritium in which the ratio of tritium to hydrogen atoms ex- Control(s) Country chart ceeds 1 part in 1,000, and products or de- NP applies to entire entry ...... NP Column 1 vices containing any of the foregoing. AT applies to entire entry ...... AT Column 1 LICENSE REQUIREMENTS Reason for Control: NP, AT LICENSE EXCEPTIONS LVS: N/A Control(s) Country chart GBS: N/A NP applies to entire entry ...... NP Column 1. CIV: N/A AT applies to entire entry ...... AT Column 1. LIST OF ITEMS CONTROLLED Unit: Kilograms LICENSE EXCEPTIONS Related Controls: (1) See ECCNs 1E001 (‘‘de- LVS: N/A velopment’’ and ‘‘production’’) and 1E201 GBS: N/A (‘‘use’’) for technology for items controlled CIV: N/A by this entry. (2) Facilities or plants spe- LIST OF ITEMS CONTROLLED cially designed or prepared for the separation of lithium isotopes are subject to the Unit: Kilograms export licensing authority of the Nuclear Related Controls: (1) See ECCNs 1E001 (‘‘de- Regulatory Commission (see 10 CFR part velopment’’ and ‘‘production’’) and 1E201 110). (‘‘use’’) for technology for items controlled Related Definitions: The natural isotopic by this entry. (2) Also see ECCN 1B231. (3) abundance of lithium-6 is approximately Tritium that is byproduct material (e.g., 6.5 weight percent (7.5 atom percent). produced in a nuclear reactor) is subject to ECCN Controls: This entry does not control the export licensing authority of the Nu- thermoluminescent dosimeters. clear Regulatory Commission (see 10 CFR Items: The list of items controlled is con- part 110). tained in the ECCN heading. Related Definitions: N/A ECCN Controls: (1) This entry does not con- 1C234 Zirconium with a hafnium content of trol tritium, tritium compounds, and mix- less than 1 part hafnium to 500 parts zir- tures that are byproduct material (e.g.,

702 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

produced in a nuclear reactor)—such mate- for technology for items controlled by this rials are subject to the licensing jurisdic- entry. tion of the Nuclear Regulatory Commis- Related Definitions: N/A sion (see Related Controls paragraph for ECCN Controls: This entry does not control this entry). (2) This entry does not control the following: a product or device containing less than a. Medical applicators; 1.48 × 103 GBq (40 Ci) of tritium. b. A product or device containing less than Items: The list of items controlled is con- 0.37 GBq (10 millicuries) of radium-226. tained in the ECCN heading. Items: The list of items controlled is contained in the ECCN heading. 1C236 Alpha-emitting radionuclides having

an alpha half-life of 10 days or greater, 1C238 Chlorine trifluoride (ClF3). but less than 200 years, in the following LICENSE REQUIREMENTS forms (see List of Items Controlled). Reason for Control: NP, AT LICENSE REQUIREMENTS Reason for Control: NP, AT Control(s) Country chart

Control(s) Country chart NP applies to entire entry ...... NP Column 1 AT applies to entire entry ...... AT Column 1 NP applies to entire entry ...... NP Column 1 AT applies to entire entry ...... AT Column 1 LICENSE EXCEPTIONS LVS: N/A LICENSE EXCEPTIONS GBS: N/A LVS: N/A CIV: N/A GBS: N/A LIST OF ITEMS CONTROLLED CIV: N/A Unit: Kilograms LIST OF ITEMS CONTROLLED Related Controls: See ECCNs 1E001 (‘‘develop- Unit: Gigabecquerels ment’’ and ‘‘production’’) and 1E201 (‘‘use’’) Related Controls: (1) See ECCNs 1E001 (‘‘de- for technology for items controlled by this velopment’’ and ‘‘production’’) and 1E201 entry. See 1C018 for additional controls on (‘‘use’’) for technology for items controlled Chlorine trifluoride (ClF ). by this entry. (2) Certain alpha-emitting 3 Related Definitions: N/A radionuclides are subject to the export li- Items: The list of items controlled is con- censing authority of the Nuclear Regu- tained in the ECCN heading. latory Commission (see 10 CFR part 110). Related Definitions: N/A 1C239 High explosives, other than those ECCN Controls: This entry does not control a controlled by the U.S. Munitions List, or product or device containing less than 3.7 substances or mixtures containing more GBq (100 millicuries) of alpha activity. than 2% by weight thereof, with a crystal Items: density greater than 1.8 g/cm3 and having a. Elemental; a detonation velocity greater than 8,000 b. Compounds having a total alpha activity m/s. of 37 GBq/kg (1 Ci/kg) or greater; LICENSE REQUIREMENTS c. Mixtures having a total alpha activity of Reason for Control: NP, AT 37 GBq/kg (1 Ci/kg) or greater; d. Products or devices containing any of Control(s) Country chart the items in 1C236.a, .b., or .c. NP applies to entire entry ...... NP Column 1 1C237 Radium-226 (226Ra), radium-226 al- AT applies to entire entry ...... AT Column 1 loys, radium-226 compounds, mixtures containing radium-226, manufactures LICENSE EXCEPTIONS thereof, and products or devices con- LVS: N/A taining any of the foregoing. GBS: N/A LICENSE REQUIREMENTS CIV: N/A Reason for Control: NP, AT LIST OF ITEMS CONTROLLED Unit: Kilograms Control(s) Country chart Related Controls: (1) See ECCNs 1E001 (‘‘de- NP applies to entire entry ...... NP Column 1 velopment’’ and ‘‘production’’) and 1E201 AT applies to entire entry ...... AT Column 1 (‘‘use’’) for technology for items controlled by this entry. (2) See ECCNs 1C018 (com- LICENSE EXCEPTIONS mercial charges and devices containing en- LVS: N/A ergetic materials on the Wassenaar Ar- GBS: N/A rangement Munitions List and certain CIV: N/A chemicals as follows) and 1C992 (commer- LIST OF ITEMS CONTROLLED cial charges and devices containing ener- Unit: Gigabecquerels getic materials, n.e.s and nitrogen Related Controls: See ECCNs 1E001 (‘‘develop- trifluoride in a gaseous state). (3) High ex- ment’’ and ‘‘production’’) and 1E201 (‘‘use’’) plosives for military use are subject to the

703 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

export licensing authority of the U.S. De- License Requirement Note: This entry does not partment of State, Directorate of Defense control graphite intended for use in a nu- Trade Controls (see 22 CFR part 121.12). clear reactor. Such graphite is subject to Related Definitions: N/A the export licensing authority of the Nu- Items: The list of items controlled is con- clear Regulatory Commission (see ECCN tained in the ECCN heading. 0C005 and 10 CFR part 110). LICENSE EXCEPTIONS 1C240 Nickel powder or porous nickel LVS: N/A metal, other than those described in GBS: N/A 0C006, as follows (see List of Items Con- CIV: N/A trolled). LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: N/A Reason for Control: NP, AT Related Controls: See also 1C107 and 0C005. Related Definitions: For the purpose of this Control(s) Country chart entry, graphite with a purity level better NP applies to entire entry ...... NP Column 1 than 5 parts per million boron equivalent AT applies to entire entry ...... AT Column 1 is determined according to ASTM standard C1233–98. In applying ASTM standard LICENSE EXCEPTIONS C1233–98, the boron equivalence of the ele- LVS: N/A ment carbon is not included in the boron GBS: N/A equivalence calculation, since carbon is CIV: N/A not considered an impurity. LIST OF ITEMS CONTROLLED Items: The list of items controlled is con- Unit: Kilograms tained in the ECCN heading. Related Controls: (1) See ECCNs 1E001 (‘‘development’’ and ‘‘production’’) and 1E201 1C350 Chemicals that may be used as pre- (‘‘use’’) for technology for items controlled cursors for toxic chemical agents. by this entry. (2) Nickel powder and porous LICENSE REQUIREMENTS nickel metal, specially designed or pre- Reason for Control: CB, CW, AT pared for use in separating uranium iso- Control(s) Country chart topes, are subject to the export licensing authority of the Nuclear Regulatory Com- CB applies to entire entry ...... CB Column 2. mission (see 10 CFR part 110). Related Definitions: N/A CW applies to 1C350 .b, and .c. The Com- ECCN Controls: This entry does not control merce Country Chart is not designed to de- the following: termine licensing requirements for items a. Filamentary nickel powders; controlled for CW reasons. A license is re- b. Single porous nickel sheets with an area quired, for CW reasons, to export or reexport of 1,000 cm2 per sheet or less. Schedule 2 chemicals and mixtures identified Items: a. Nickel powder having both of the in 1C350.b to States not Party to the CWC following characteristics: (destinations not listed in Supplement No. 2 a.1. A nickel purity content of 99.0% or to part 745 of the EAR). A license is required, greater by weight; and for CW reasons, to export Schedule 3 chemi- a.2. A mean particle size of less than 10 mi- cals and mixtures identified in 1C350.c to crometers measured by American Society for States not Party to the CWC, unless an End- Testing and Materials (ASTM) B330 stand- Use Certificate issued by the government of ard; the importing country has been obtained by b. Porous nickel metal produced from ma- the exporter prior to export. A license is re- terials controlled by 1C240.a. quired, for CW reasons, to reexport Schedule TECHNICAL NOTE: 1C240.b refers to porous 3 chemicals and mixtures identified in metal formed by compacting and sintering 1C350.c from a State not Party to the CWC to the materials in 1C240.a to form a metal ma- any other State not Party to the CWC. (See terial with fine pores interconnected § 742.18 of the EAR for license requirements throughout the structure. and policies for toxic and precursor chemicals controlled for CW reasons. See § 745.2 of 1C298 Graphite with a boron content of less the EAR for End-Use Certificate require- than 5 parts per million and a density ments that apply to exports of Schedule 3 greater than 1.5 grams per cubic centi- chemicals to countries not listed in Supple- meter that is intended for use other than ment No. 2 to part 745 of the EAR.) in a nuclear reactor. AT applies to entire entry. The Commerce LICENSE REQUIREMENTS Country Chart is not designed to determine Reason for Control: NP. licensing requirements for items controlled for AT reasons in 1C350. A license is required, Control(s) Country chart for AT reasons, to export or reexport items controlled by 1C350 to a country in Country NP applies to entire entry ...... NP Column 2 Group E:1 of Supplement No. 1 to part 740 of

704 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

the EAR. (See part 742 of the EAR for addi- port of Sample Shipments of Chemical Pre- tional information on the AT controls that cursors’’. apply to Iran, North Korea, Sudan, and 2. Mixtures: Syria. See part 746 of the EAR for additional a. Mixtures that contain precursor chemi- information on sanctions that apply to Cuba, cals identified in ECCN 1C350, in concentra- Iran, North Korea, and Syria.) tions that are below the levels indicated in LICENSE REQUIREMENT NOTES 1. Sample Ship- 1C350.b through .d, are controlled by ECCN ments: Subject to the following requirements 1C395 or 1C995 and are subject to the licens- and restrictions, a license is not required for ing requirements specified in those ECCNs. sample shipments when the cumulative total b. A license is not required under this of these shipments does not exceed a 55-gal- ECCN for a mixture, when the controlled lon container or 200 kg of a single chemical chemical in the mixture is a normal ingre- to any one consignee during a calendar year. dient in consumer goods packaged for retail A consignee that receives a sample shipment sale for personal use. Such consumer goods under this exclusion may not resell, transfer, are designated EAR99. However, a license or reexport the sample shipment, but may may be required for reasons set forth else- use the sample shipment for any other legal where in the EAR. purpose unrelated to chemical weapons. Note to Mixtures: Calculation of con- a. Chemicals Not Eligible: centrations of AG-controlled chemicals: a. Exclusion. No chemical may be added to A. [Reserved] the mixture (solution) for the sole purpose of B. CWC Schedule 2 chemicals (States not circumventing the Export Administration Party to the CWC). No CWC Schedule 2 chem- Regulations; ical or mixture identified in 1C350.b is eligi- b. Percent Weight Calculation.When calcu- ble for sample shipment to States not Party to lating the percentage, by weight, of compo- the CWC (destinations not listed in Supple- nents in a chemical mixture, include all ment No. 2 to part 745 of the EAR) without components of the mixture, including those a license. that act as solvents. b. Countries Not Eligible: Countries in Coun- 3. Compounds. Compounds created with any try Group E:1 of Supplement No. 1 to part 740 chemicals identified in this ECCN 1C350 may of the EAR are not eligible to receive sample be shipped NLR (No License Required), with- shipments of any chemicals controlled by out obtaining an End-Use Certificate, unless this ECCN without a license. those compounds are also identified in this c. Sample shipments that require an End-Use entry or require a license for reasons set Certificate for CW reasons: No CWC Schedule 3 forth elsewhere in the EAR. chemical or mixture identified in 1C350.c is 4. Testing Kits: Certain medical, analytical, eligible for sample shipment to States not diagnostic, and food testing kits containing Party to the CWC (destinations not listed in small quantities of chemicals identified in Supplement No. 2 to part 745 of the EAR) this ECCN 1C350, are excluded from the scope without a license, unless an End-Use Certifi- of this ECCN and are controlled under ECCN cate issued by the government of the import- 1C395 or 1C995. (Note that replacement re- ing country is obtained by the exporter prior agents for such kits are controlled by this to export (see § 745.2 of the EAR for End-Use ECCN 1C350 if the reagents contain one or Certificate requirements). more of the precursor chemicals identified in d. Sample shipments that require a license for 1C350 in concentrations equal to or greater reasons set forth elsewhere in the EAR: Sample than the control levels for mixtures indi- shipments, as described in this Note 1, may cated in 1C350.) require a license for reasons set forth else- TECHNICAL NOTES: 1. For purposes of this where in the EAR. See, in particular, the entry, a ‘‘mixture’’ is defined as a solid, liq- end-use/end-user restrictions in part 744 of uid or gaseous product made up of two or the EAR, and the restrictions that apply to more components that do not react together embargoed countries in part 746 of the EAR. under normal storage conditions. e. Quarterly report requirement. The ex- 2. The scope of this control applicable to porter is required to submit a quarterly writ- Hydrogen Fluoride (see 1C350.d.7 in the List ten report for shipments of samples made of Items Controlled) includes its liquid, gas- under this Note 1. The report must be on eous, and aqueous phases, and hydrates. company letterhead stationery (titled ‘‘Re- LICENSE EXCEPTIONS port of Sample Shipments of Chemical Pre- LVS: N/A cursors’’ at the top of the first page) and GBS: N/A identify the chemical(s), Chemical Abstract CIV: N/A Service Registry (C.A.S.) number(s), quan- List of Items Controlled tity(ies), the ultimate consignee’s name and Unit: Liters or kilograms, as appropriate. address, and the date exported. The report Related Controls: The chemicals 0-Ethyl-2- must be sent, via courier, to the U.S. Depart- diisopropylaminoethyl methyl phosphonite ment of Commerce, Bureau of Industry and (QL) (C.A.S. #57856–11–8); Ethyl phosphonyl Security, 14th and Pennsylvania Ave., NW., difluoride (C.A.S. #753–98–0); and Methyl Room 2705, Washington, DC 20230, Attn: ‘‘Re- phosphonyl difluoride. (C.A.S. #676–99–3);

705 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

methylphosphinyl dichloride (C.A.S. 676– c.3. (C.A.S. #10025–87–3) Phosphorus 83–5); methylphosphinyl difluoride (C.A.S. oxychloride; #753–59–3); and methylphosphonyl dichlo- c.4. (C.A.S. #10026–13–8) Phosphorus ride (C.A.S. #676–97–1) are subject to the li- pentachloride; censing jurisdiction of the Directorate of c.5. (C.A.S. #7719–12–2) Phosphorus tri- Defense Trade Controls, U.S. Department chloride; of State. c.6. (C.A.S. #10025–67–9) Sulfur Related Definitions: See § 770.2(k) of the EAR monochloride; for synonyms for the chemicals listed in c.7. (C.A.S. #10545–99–0) Sulfur dichloride; this entry. c.8. (C.A.S. #7719–09–7) Thionyl chloride; Items: a. [Reserved] c.9. (C.A.S. #102–71–6) Triethanolamine; b. Australia Group-controlled precursor c.10. (C.A.S. #122–52–1) Triethyl phosphite; chemicals also identified as Schedule 2 chemicals under the CWC, as follows, and c.11. (C.A.S. #121–45–9) Trimethyl mixtures in which at least one of the fol- phosphite; lowing chemicals constitutes 30 percent or c.12. (C.A.S. #139–87–7) Ethyldiethan- more of the weight of the mixture: olamine. b.1. (C.A.S. #7784–34–1) Arsenic trichloride; d. Other Australia Group-controlled pre- b.2. (C.A.S. #76–93–7) Benzilic acid; cursor chemicals not also identified as b.3. (C.A.S. #78–38–6) Diethyl Schedule 1, 2, or 3 chemicals under the CWC, ethylphosphonate; as follows, and mixtures in which at least b.4. (C.A.S. #15715–41–0) Diethyl one of the following chemicals constitutes 30 methylphosphonite; percent or more of the weight of the mix- b.5. (C.A.S. #2404–03–7) Diethyl-N,N- ture: dimethylphosphoroamidate; d.1. (C.A.S. #1341–49–7) Ammonium hydro- b.6. (C.A.S. #5842–07–9) N,N-Diisopropyl- gen fluoride; beta-aminoethane thiol; d.2. (C.A.S. #107–07–3) 2-Chloroethanol; b.7. (C.A.S. #4261–68–1) N,N-Diisopropyl- d.3. (C.A.S. #100–37–8) N,N- beta-aminoethyl chloride hydrochloride; Diethylaminoethanol; b.8. (C.A.S. #96–80–0) N,N-Diisopropyl-beta- d.4. (C.A.S. #108–18–9) Di-isopropylamine; aminoethanol; d.5. (C.A.S. #124–40–3) Dimethylamine; b.9. (C.A.S. #96–79–7), N,N-Diisopropyl-beta- d.6. (C.A.S. #506–59–2) Dimethylamine hy- aminoethyl chloride; drochloride; b.10. (C.A.S. #6163–75–3) Dimethyl d.7. (C.A.S. #7664–39–3) Hydrogen fluoride; ethylphosphonate; d.8. (C.A.S. #3554–74–3) 3-Hydroxyl-1- b.11. (C.A.S. #756–79–6) Dimethyl methylpiperidine; methylphosphonate; d.9. (C.A.S. #76–89–1) Methyl benzilate; b.12. (C.A.S. #1498–40–4) Ethyl phosphonous d.10. (C.A.S. #1314–80–3) Phosphorus dichloride [Ethyl phosphinyl dichloride]; pentasulfide; b.13. (C.A.S. #430–78–4) Ethyl phosphonus d.11. (C.A.S. #75–97–8) Pinacolone; difluoride [Ethyl phosphinyl difluoride]; d.12. (C.A.S. #151–50–8) Potassium cyanide; b.14. (C.A.S. #1066–50–8) Ethyl phosphonyl d.13. (C.A.S. #7789–23–3) Potassium fluoride; dichloride; b.15. [Reserved] d.14. (C.A.S. #7789–29–9) Potassium b.16. [Reserved] bifluoride; b.17. [Reserved] d.15. (C.A.S. #3731–38–2) 3-Quinuclidone; b.18. (C.A.S. #464–07–3) Pinacolyl alcohol; d.16. (C.A.S. #1333–83–1) Sodium bifluoride; b.19. (C.A.S. #1619–34–7) 3-Quinuclidinol; d.17. (C.A.S. #143–33–9) Sodium cyanide; b.20. (C.A.S. #111–48–8) Thiodiglycol; d.18. (C.A.S. #7681–49–4) Sodium fluoride; b.21. (C.A.S. #993–13–5) Methylphosphonic d.19. (C.A.S. #1313–82–2) Sodium sulfide; acid; d.20. (C.A.S. #637–39–8) Triethanolamine b.22. (C.A.S. #683–08–9) Diethyl hydrochloride; methylphosphonate; d.21. (C.A.S. #116–17–6) Tri-isopropyl b.23. (C.A.S. #677–43–0) N,N-dimethylamino- phosphite; phosphoryl dichloride; d.22. (C.A.S. #2465–65–8) O,O-diethyl b.24. (C.A.S. #676–98–2) Methylphos- phosphorothioate; phonothioic dichloride. d.23. (C.A.S. #298–06–6) O,O-diethyl c. Australia Group-controlled precursor phosphorodithioate; chemicals also identified as Schedule 3 d.24. (C.A.S. #16893–85–9) Sodium chemicals under the CWC, as follows, and hexafluorosilicate. mixtures in which at least one of the following chemicals constitutes 30 percent or 1C351 Human and zoonotic pathogens and more of the weight of the mixture: ‘‘toxins’’, as follows (seeList of Items Con- c.1. (C.A.S. #762–04–9) Diethyl phosphite; trolled). c.2. (C.A.S. #868–85–9) Dimethyl phosphite LICENSE REQUIREMENTS (dimethyl hydrogen phosphite); Reason for Control: CB, CW, AT

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Control(s) Country chart and Plant Health Inspection Service (APHIS), U.S. Department of Agriculture, CB applies to entire entry ...... CB Column 1. and the Centers for Disease Control and Prevention (CDC), U.S. Department of CW applies to 1C351.d.11 and d.12 and a li- Health and Human Services, maintain con- cense is required for CW reasons for all des- trols on the possession, use, and transfer tinations, including Canada, as follows: CW within the United States of certain items applies to 1C351.d.11 for ricin in the form of controlled by this ECCN (for APHIS, see 7 (1) Ricinus Communis AgglutininII (RCAII), CFR 331.3(b), 9 CFR 121.3(b), and 9 CFR also known as ricin D or Ricinus Communis 121.4(b); for CDC, see 42 CFR 73.3(b) and 42 LectinIII (RCLIII) and (2) Ricinus Communis CFR 73.4(b)). LectinIV (RCLIV), also known as ricin E. CW Related Definitions: *** applies to 1C351.d.12 for saxitoxin identified Items: by C.A.S. #35523–89–8. See § 742.18 of the EAR a. Viruses, as follows: for licensing information pertaining to a.1. Andes virus; chemicals subject to restriction pursuant to a.2. Chapare virus; the Chemical Weapons Convention (CWC). a.3. Chikungunya virus; The Commerce Country Chart is not de- a.4. Choclo virus; signed to determine licensing requirements a.5. Congo-Crimean haemorrhagic fever for items controlled for CW reasons. virus (a.k.a. Crimean-Congo haemorrhagic fever virus); Control(s) Country chart a.6. Dengue fever virus; . a.7. Dobrava-Belgrade virus; AT applies to entire entry ...... AT Column 1. a.8. Eastern equine encephalitis virus; a.9. Ebola virus; LICENSE REQUIREMENT NOTES a.10. Guanarito virus; a.11. Hantaan virus; 1. All vaccines and ‘‘immunotoxins’’ are ex- a.12. Hendra virus (Equine morbillivirus); cluded from the scope of this entry. Cer- a.13. Japanese encephalitis virus; tain medical products and diagnostic and a.14. Junin virus; food testing kits that contain biological a.15. Kyasanur Forest virus; toxins controlled under paragraph (d) of a.16. Laguna Negra virus; this entry, with the exception of toxins a.17. Lassa fever virus; controlled for CW reasons under d.11 and a.18. Louping ill virus; d.12, are excluded from the scope of this a.19. Lujo virus; entry. Vaccines, ‘‘immunotoxins’’, certain a.20. Lymphocytic choriomeningitis virus; medical products, and diagnostic and food a.21. Machupo virus; testing kits excluded from the scope of this a.22. Marburg virus; entry are controlled under ECCN 1C991. a.23. Monkey pox virus; 2. For the purposes of this entry, only a.24. Murray Valley encephalitis virus; saxitoxin is controlled under paragraph d.12; a.25. Nipah virus; other members of the paralytic shellfish poi- a.26. Omsk haemorrhagic fever virus; son family (e.g. neosaxitoxin) are designated a.27. Oropouche virus; EAR99. a.28. Powassan virus; 3. Clostridium perfringens strains, other a.29. Rift Valley fever virus; than the epsilon toxin-producing strains of a.30. Rocio virus; Clostridium perfringens described in c.9, are a.31. Sabia virus; excluded from the scope of this entry, since a.32. Seoul virus; they may be used as positive control cul- a.33. Sin nombre virus; tures for food testing and quality control. a.34. St. Louis encephalitis virus; LICENSE EXCEPTIONS a.35. Tick-borne encephalitis virus (Rus- LVS: N/A sian Spring-Summer encephalitis virus); GBS: N/A a.36. Variola virus; CIV: N/A a.37. Venezuelan equine encephalitis virus; LIST OF ITEMS CONTROLLED a.38. Western equine encephalitis virus; or Unit: $ value. a.39. Yellow fever virus. Related Controls: (1) Certain forms of ricin b. Rickettsiae, as follows: and saxitoxin in 1C351.d.11. and d.12 are b.1. Bartonella quintana (Rochalimea quin- CWC Schedule 1 chemicals (see § 742.18 of tana, Rickettsia quintana); the EAR). The U.S. Government must pro- b.2. Coxiella burnetii; vide advance notification and annual re- b.3. Rickettsia prowasecki (a.k.a. Rick- ports to the OPCW of all exports of Sched- ettsia prowazekii); or ule 1 chemicals. See § 745.1 of the EAR for b.4. Rickettsia rickettsii. notification procedures. See 22 CFR part c. Bacteria, as follows: 121, Category XIV and § 121.7 for additional c.1. Bacillus anthracis; CWC Schedule 1 chemicals controlled by c.2. Brucella abortus; the Department of State. (2) The Animal c.3. Brucella melitensis;

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c.4. Brucella suis; Human Services, maintain controls on the c.5. Burkholderia mallei (Pseudomonas possession, use, and transfer within the mallei); United States of certain items controlled c.6. Burkholderia pseudomallei by this ECCN (for APHIS, see 7 CFR (Pseudomonas pseudomallei); 331.3(b), 9 CFR 121.3(b), and 9 CFR 121.4(b); c.7. Chlamydophila psittaci (formerly for CDC, see 42 CFR 73.3(b) and 42 CFR known as Chlamydia psittaci); 73.4(b)). c.8. Clostridium botulinum; Related Definitions: N/A c.9. Clostridium perfringens, epsilon toxin Items: a. Viruses, as follows: producing types; a.1. African swine fever virus; c.10. Enterohaemorrhagic Escherichia coli, a.2. Avian influenza (AI) viruses identified serotype O157 and other verotoxin producing as having high pathogenicity (HP), as fol- serotypes; lows: c.11. Francisella tularensis; a.2.a. AI viruses that have an intravenous c.12. Salmonella typhi; pathogenicity index (IVPI) in 6-week-old c.13. Shigella dysenteriae; chickens greater than 1.2; or c.14. Vibrio cholerae; or a.2.b. AI viruses that cause at least 75% c.15. Yersinia pestis. mortality in 4- to 8-week-old chickens in- d. ‘‘Toxins’’, as follows, and ‘‘subunits’’ fected intravenously. thereof: NOTE: Avian influenza (AI) viruses of the d.1. Abrin; H5 or H7 subtype that do not have either of d.2. Aflatoxins; the characteristics described in 1C352.a.2 d.3. Botulinum toxins; (specifically, 1C352.a.2.a or a.2.b) should be d.4. Cholera toxin; sequenced to determine whether multiple d.5. Clostridium perfringens toxins; basic amino acids are present at the cleavage d.6. Conotoxin; site of the haemagglutinin molecule (HA0). If d.7. Diacetoxyscirpenol toxin; the amino acid motif is similar to that ob- d.8. HT–2 toxin; served for other HPAI isolates, then the iso- d.9. Microcystin (Cyanginosin); late being tested should be considered as d.10. Modeccin toxin; HPAI and the virus is controlled under d.11. Ricin; 1C352.a.2. d.12. Saxitoxin; d.13. Shiga toxin; a.3. Bluetongue virus; d.14. Staphylococcus aureus toxins; a.4. Foot and mouth disease virus; d.15. T–2 toxin; a.5. Goat pox virus; d.16. Tetrodotoxin; a.6. Porcine herpes virus (Aujeszky’s dis- d.17. Verotoxin and other Shiga-like ease); ribosome inactivating proteins; a.7. Swine fever virus (Hog cholera virus); d.18. Viscum Album Lectin 1 (Viscumin); or a.8. Lyssa virus (a.k.a. Rabies); d.19. Volkensin toxin. a.9. Newcastle disease virus; e. ‘‘Fungi’’, as follows: a.10. Peste des petits ruminants virus; e.1. Coccidioides immitis; or a.11. Porcine enterovirus type 9 (swine ve- e.2. Coccidioides posadasii. sicular disease virus); a.12. Rinderpest virus; 1C352 Animal pathogens, as follows (see List a.13. Sheep pox virus; of Items Controlled). a.14. Teschen disease virus; LICENSE REQUIREMENTS a.15. Vesicular stomatitis virus; Reason for Control: CB, AT a.16. Lumpy skin disease virus; a.17. African horse sickness virus. Control(s) Country chart b. Bacteria, as follows: b.1. Mycoplasma mycoides, as follows: CB applies to entire entry ...... CB Column 1 b.1.a. Mycoplasma mycoides subspecies AT applies to entire entry ...... AT Column 1 mycoides SC (small colony) (a.k.a. con- tagious bovine pleuropneumonia); LICENSE REQUIREMENT NOTE b.1.b. Mycoplasma capricolum subspecies All vaccines are excluded from the scope of capripneumoniae (‘‘strain F38’’). this ECCN. See ECCN 1C991 for vaccines. b.2. [Reserved] LICENSE EXCEPTIONS LVS: N/A 1C353 Genetic elements and genetically GBS: N/A modified organisms, as follows (see List CIV: N/A of Items Controlled). LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: $ value Reason for Control: CB, AT Related Controls: The Animal and Plant Health Inspection Service (APHIS), U.S. Control(s) Country chart Department of Agriculture, and the Cen- ters for Disease Control and Prevention CB applies to entire entry ...... CB Column 1 AT applies to entire entry ...... AT Column 1 (CDC), U.S. Department of Health and

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LICENSE REQUIREMENT NOTE b. Is known to enhance the ability of a Vaccines that contain genetic elements or microorganism controlled by 1C351.a to .c, genetically modified organisms identified 1C352, 1C354, or 1C360, or any other organism in this ECCN are controlled by ECCN into which it may be inserted or otherwise 1C991. integrated, to cause serious harm to human, LICENSE EXCEPTIONS animal or plant health. LVS: N/A GBS: N/A 1C354 Plant pathogens, as follows (see List CIV: N/A of Items Controlled). LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: $ value Reason for Control: CB, AT Related Controls: The Animal and Plant Health Inspection Service (APHIS), U.S. Control(s) Country chart Department of Agriculture, and the Cen- ters for Disease Control and Prevention CB applies to entire entry ...... CB Column 1 (CDC), U.S. Department of Health and AT applies to entire entry ...... AT Column 1 Human Services, maintain controls on the possession, use, and transfer within the LICENSE REQUIREMENT NOTE United States of certain items controlled All vaccines are excluded from the scope of by this ECCN, including (but not limited this ECCN. See ECCN 1C991 for vaccines. to) genetic elements, recombinant nucleic LICENSE EXCEPTIONS acids, and recombinant organisms associ- LVS: N/A ated with the agents or toxins in ECCN GBS: N/A 1C360 (for APHIS, see 7 CFR 331.3(c), 9 CFR CIV: N/A 121.3(c), and 9 CFR 121.4(c); for CDC, see 42 LIST OF ITEMS CONTROLLED CFR 73.3(c) and 42 CFR 73.4(c)). Unit: $ value Related Definition: N/A Related Controls: The Animal and Plant Items: a. Genetic elements, as follows: Health Inspection Service (APHIS), U.S. a.1. Genetic elements that contain nucleic Department of Agriculture, maintains con- acid sequences associated with the pathoge- trols on the possession, use, and transfer nicity of microorganisms controlled by within the United States of certain items 1C351.a to .c, 1C352, 1C354, or 1C360; controlled by this ECCN (see 7 CFR a.2. Genetic elements that contain nucleic 331.3(c), 9 CFR 121.3(c), and 9 CFR 121.4(c)). acid sequences coding for any of the ‘‘toxins’’ Related Definitions: N/A controlled by 1C351.d or ‘‘sub-units of tox- Items a. Bacteria, as follows: ins’’ thereof. a.1. Xanthomonas albilineans; b. Genetically modified organisms, as fol- a.2. Xanthomonas campestris pv. citri includ- lows: ing strains referred to as Xanthomonas b.1. Genetically modified organisms that campestris pv. citri types A,B,C,D,E or other- contain nucleic acid sequences associated wise classified as Xanthomonas citri, with the pathogenicity of microorganisms Xanthomonas campestris pv. aurantifolia or controlled by 1C351.a to .c, 1C352, 1C354, or Xanthomonas campestris pv. citrumelo; 1C360; b.2. Genetically modified organisms that a.3. Xanthomonas oryzae pv. oryzae (syn. contain nucleic acid sequences coding for Pseudomonas campestris pv. oryzae); any of the ‘‘toxins’’ controlled by 1C351.d or a.4. Clavibacter michiganensis subspecies ‘‘sub-units of toxins’’ thereof. sepedonicus (syn. Corynebacterium michiganensis subspecies sepedonicum or TECHNICAL NOTE: 1. ‘‘Genetic elements’’ in- Corynebacterium sepedonicum); clude, inter alia, chromosomes, genomes, a.5. Ralstonia solanacearum Races 2 and 3 plasmids, transposons, and vectors, whether (syn. Pseudomonas solanacearum Races 2 and 3 genetically modified or unmodified. or Burkholderia solanacearum Races 2 and 3); 2. This ECCN does not control nucleic acid sequences associated with the pathogenicity b. Fungi, as follows: of enterohaemorrhagic Escherichia coli, b.1. Colletotrichum coffeanum var. virulans serotype O157 and other verotoxin producing (Colletotrichum kahawae); strains, except those nucleic acid sequences b.2. Cochliobolus miyabeanus that contain coding for the verotoxin or its (Helminthosporium oryzae); sub-units. b.3. Microcyclus ulei (syn. Dothidella ulei); 3. ‘‘Nucleic acid sequences associated with b.4. Puccinia graminis (syn. Puccinia the pathogenicity of any of the microorga- graminis f. sp. tritici); nisms controlled by 1C351.a to .c, 1C352, b.5. Puccinia striiformis (syn. Puccinia 1C354, or 1C360’’ means any sequence specific glumarum); to the relevant controlled microorganism b.6. Magnaporthe grisea (pyricularia grisea/ that: pyricularia oryzae); a. In itself or through its transcribed or c. Viruses, as follows: translated products represents a significant c.1. Potato Andean latent tymovirus; hazard to human, animal or plant health; or c.2. Potato spindle tuber viroid.

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1C355 Chemical Weapons Convention (CWC) nents in a chemical mixture, include all Schedule 2 and 3 chemicals and families components of the mixture, including those of chemicals not controlled by ECCN that act as solvents. 1C350 or by the Department of State 2. Compounds: Compounds created with any under the ITAR. chemicals identified in this ECCN 1C355 may LICENSE REQUIREMENTS be shipped NLR (No License Required), with- Reason for Control: CW, AT out obtaining an End-Use Certificate, unless Control(s): CW applies to entire entry. The those compounds are also identified in this Commerce Country Chart is not designed entry or require a license for reasons set to determine licensing requirements for forth elsewhere in the EAR. items controlled for CW reasons. A license TECHNICAL NOTES: For purposes of this is required to export or reexport CWC entry, a ‘‘mixture’’ is defined as a solid, liq- Schedule 2 chemicals and mixtures identi- uid or gaseous product made up of two or fied in 1C355.a to States not Party to the more components that do not react together CWC (destinations not listed in Supple- under normal storage conditions. ment No. 2 to part 745 of the EAR). A li- LICENSE EXCEPTIONS cense is required to export CWC Schedule 3 LVS: N/A chemicals and mixtures identified in GBS: N/A 1C355.b to States not Party to the CWC, CIV: N/A unless an End-Use Certificate issued by the LIST OF ITEMS CONTROLLED government of the importing country is obtained by the exporter, prior to export. Unit: Liters or kilograms, as appropriate. A license is required to reexport CWC Related Controls: See also ECCNs 1C350 1C351, Schedule 3 chemicals and mixtures identi- 1C395, and 1C995. See §§ 742.18 and 745.2 of fied in 1C355.b from a State not Party to the EAR for End-Use Certification require- the CWC to any other State not Party to ments. the CWC. (See § 742.18 of the EAR for li- Related Definitions: N/A cense requirements and policies for toxic Items: a. CWC Schedule 2 chemicals and mix- and precursor chemicals controlled for CW tures containing Schedule 2 chemicals: reasons.) a.1. Toxic chemicals, as follows, and mix- AT applies to entire entry. The Commerce tures containing toxic chemicals: Country Chart is not designed to deter- a.1.a. PFIB: 1,1,3,3,3-Pentafluoro-2- mine licensing requirements for items con- (trifluoromethyl)-1-propene (C.A.S. 382–21–8) trolled for AT reasons in 1C355. A license is and mixtures in which PFIB constitutes required, for AT reasons, to export or reex- more than 1 percent of the weight of the port items controlled by 1C355 to a country mixture; in Country Group E:1 of Supplement No. 1 a.1.b. [Reserved] to part 740 of the EAR. (See part 742 of the a.2. Precursor chemicals, as follows, and EAR for additional information on the AT mixtures in which at least one of the fol- controls that apply to Iran, North Korea, lowing precursor chemicals constitutes more Sudan, and Syria. See part 746 of the EAR than 10 percent of the weight of the mixture: for additional information on sanctions a.2.a. Chemicals, except for those listed in that apply to Cuba, Iran, North Korea, and Schedule 1, containing a phosphorus atom to Syria.) which is bonded one methyl, ethyl, or propyl LICENSE REQUIREMENTS NOTES (normal or iso) group but not further carbon 1. Mixtures: atoms. a. Mixtures containing toxic and precursor NOTE: 1C355.a.2.a does not control Fonofos: chemicals identified in ECCN 1C355, in con- O-Ethyl S-phenyl centrations that are below the control levels ethylphosphonothiolothionate (C.A.S. 944–22– indicated in 1C355.a and .b, are controlled by 9). ECCN 1C995 and are subject to the license re- a.2.b. FAMILY: N,N-Dialkyl (Me, Et, n-Pr quirements specified in that ECCN. b. Mixtures containing chemicals identi- or i-Pr) phosphoramidic dihalides; fied in this entry are not controlled by ECCN a.2.c. FAMILY: Dialkyl (Me, Et, n-Pr or i- 1C355 when the controlled chemical is a nor- Pr) N,N-Dialkyl (Me, Et, n-Pr, or i-Pr)- mal ingredient in consumer goods packaged phosphoramidates; for retail sale for personal use or packaged a.2.d. FAMILY: N,N-Dialkyl (Me, Et, n-Pr for individual use. Such consumer goods are or i-Pr) aminoethyl-2-chlorides and cor- classified as EAR99. responding protonated salts; Note to mixtures: Calculation of con- a.2.e. FAMILY: N,N-Dialkyl (Me, Et, n-Pr centrations of CW-controlled chemicals: or i-Pr) aminoethane-2-ols and corresponding a. Exclusion. No chemical may be added to protonated salts; the mixture (solution) for the sole purpose of NOTE: 1C355.a.2.e. does not control N,N- circumventing the Export Administration Dimethylaminoethanol and corresponding Regulations; protonated salts (C.A.S. 108–01–0) or N,N- b. Percent Weight Calculation. When calcu- Diethylaminoethanol and corresponding lating the percentage, by weight, of compo- protonated salts (C.A.S. 100–37–8).

710 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

a.2.f. FAMILY: N,N-Dialkyl (Me, Et, n-Pr a. Human and zoonotic pathogens, as fol- or i-Pr) aminoethane-2-thiols and cor- lows: responding protonated salts. a.1. Viruses, as follows: b. CWC Schedule 3 chemicals and mixtures a.1.a. Central European tick-borne enceph- containing Schedule 3 chemicals: alitis viruses, as follows: b.1. Toxic chemicals, as follows, and mix- a.1.a.1. Absettarov; tures in which at least one of the following a.1.a.2. Hanzalova; toxic chemicals constitutes 30 percent or a.1.a.3. Hypr; more of the weight of the mixture: a.1.a.4. Kumlinge; b.1.a. Phosgene: Carbonyl dichloride a.1.b. Cercopithecine herpesvirus 1 (Herpes (C.A.S. 75–44–5); B virus); b.1.b. Cyanogen chloride (C.A.S. 506–77–4); a.1.c. Flexal virus; b.1.c. Hydrogen cyanide (C.A.S. 74–90–8); a.1.d. Reconstructed replication competent b.1.d. Chloropicrin: Trichloronitromethane forms of the 1918 pandemic influenza virus (C.A.S. 76–06–2). containing any portion of the coding regions b.2. Precursor chemicals, as follows, and of all eight gene segments; mixtures in which at least one of the fol- a.2. [RESERVED]; lowing precursor chemicals constitutes 30 b. Animal pathogens, as follows: percent or more of the weight of the mix- b.1. Viruses, as follows: ture: b.1.a. Akabane virus; b.2.a. [Reserved]; b.1.b. Bovine spongiform encephalopathy b.2.b. Methyldiethanolamine (C.A.S. 105–59– agent; 9). b.1.c. Camel pox virus; b.1.d. Malignant catarrhal fever virus; 1C360 Select agents not controlled under b.1.e. Menangle virus; ECCN 1C351, 1C352, or 1C354. b.2. Mycoplasma, as follows: LICENSE REQUIREMENTS b.2.a. Mycoplasma capricolum, except sub- Reason for Control: CB, AT species capripneumoniae (see ECCN 1C352.b.1.b); Controls Country chart b.2.b. Mycoplasma mycoides capri; b.3. Rickettsia, as follows: CB applies to entire entry ...... CB Column 1 AT applies to entire entry ...... AT Column 1 b.3.a. Erhlichia ruminantium (a.k.a. Cowdria ruminantium); b.3.b. [Reserved] LICENSE REQUIREMENT NOTE All vaccines are excluded from the scope of c. Plant pathogens, as follows: this ECCN. See ECCN 1C991 for vaccines. c.1. Bacteria, as follows: c.1.a. Rathayibacter toxicus; LICENSE EXCEPTIONS LVS: N/A c.1.b. Xylella fastidiosa pv. citrus varie- GBS: N/A gated chlorosis (CVC); c.2. Fungi, as follows: CIV: N/A c.2.a. Peronosclerospora philippinensis List of Items Controlled (a.k.a. Peronosclerospora sacchari); Unit: $ value. c.2.b. Sclerophthora rayssiae var. zeae; Related Controls: (1) Also see ECCNs 1C351 c.2.c. Synchytrium endobioticum; (AG-controlled human and zoonotic patho- c.2.d. Phoma glycinicola (formerly gens and ‘‘toxins’’), 1C352 (AG-controlled Pyrenochaeta glycines). animal pathogens), and 1C354 (AG-controlled plant pathogens). (2) The Animal 1C395 Mixtures and Medical, Analytical, Di- and Plant Health Inspection Service agnostic, and Food Testing Kits Not Con- (APHIS), U.S. Department of Agriculture, trolled by ECCN 1C350, as follows (See and the Centers for Disease Control and List of Items Controlled). Prevention (CDC), U.S. Department of LICENSE REQUIREMENTS Health and Human Services, maintain con- Reason for Control: CB, CW, AT trols on the possession, use, and transfer Control(s): CB applies to entire entry. The within the United States of items con- Commerce Country Chart is not designed trolled by this ECCN (for APHIS, see 7 CFR to determine licensing requirements for 331.3(b), 9 CFR 121.3(b), and 9 CFR 121.4(b); items controlled for CB reasons in 1C395. A for CDC, see 42 CFR 73.3(b) and 42 CFR license is required, for CB reasons, to ex- 73.4(b)). port or reexport mixtures controlled by Related Definitions: N/A 1C395.a and test kits controlled by 1C395.b Items: to States not Party to the CWC (destina- NOTE: The control status of items listed in tions not listed in Supplement No. 2 to this ECCN is not affected by the exemptions part 745 of the EAR). or exclusions contained in the domestic pos- CW applies to entire entry. The Commerce session, use, and transfer regulations main- Country Chart is not designed to determine tained by APHIS (at 7 CFR part 331 and 9 licensing requirements for items controlled CFR part 121) and/or CDC (at 42 CFR part 73). for CW reasons. A license is required for CW

711 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

reasons, as follows, to States not Party to 1C350.b, .c, or .d exceeds 300 grams by the CWC (destinations not listed in Supple- weight. ment No. 2 to part 745 of the EAR): (1) Ex- Related Definitions: For the purpose of this ports and reexports of mixtures controlled entry, ‘‘medical, analytical, diagnostic, by 1C395.a, (2) exports and reexports of test and food testing kits’’ are pre-packaged kits controlled by 1C395.b that contain CWC materials of defined composition that are Schedule 2 chemicals controlled by ECCN specifically developed, packaged and mar- 1C350, (3) exports of test kits controlled by keted for medical, analytical, diagnostic, 1C395.b that contain CWC Schedule 3 chemi- or public health purposes. Replacement re- cals controlled by ECCN 1C350, except that a agents for medical, analytical, diagnostic, license is not required, for CW reasons, to ex- and food testing kits described in 1C395.b port test kits containing CWC Schedule 3 are controlled by ECCN 1C350 if the re- chemicals if an End-Use Certificate issued by agents contain at least one of the pre- the government of the importing country is cursor chemicals identified in that ECCN obtained by the exporter prior to export, and in concentrations equal to or greater than (4) reexports from States not Party to the the control levels for mixtures indicated in CWC of test kits controlled by 1C395.b that 1C350.b. or .c. contain CWC Schedule 3 chemicals. (See Items: a. Mixtures containing more than 10 § 742.18 of the EAR for license requirements percent, but less than 30 percent, by weight and policies for toxic and precursor chemi- of any single CWC Schedule 2 chemical iden- cals controlled for CW reasons.) tified in ECCN 1C350.b (For controls on other AT applies to entire entry. The Commerce mixtures containing these chemicals, see Country Chart is not designed to determine Note 1 in the Related Controls paragraph of licensing requirements for items controlled this ECCN.). for AT reasons in 1C395. A license is required, b. ‘‘Medical, analytical, diagnostic, and for AT reasons, to export or reexport items food testing kits’’ (as defined in the Related controlled by 1C395 to a country in Country Definitions for this ECCN) that contain CWC Group E:1 of Supplement No. 1 to part 740 of Schedule 2 or 3 chemicals controlled by the EAR. (See part 742 of the EAR for addi- ECCN 1C350.b or .c in an amount not exceed- tional information on the AT controls that ing 300 grams per chemical. (For controls on apply to Iran, North Korea, Sudan, and other such test kits containing these and Syria. See part 746 of the EAR for additional other controlled chemicals, see Note 2 in the information on sanctions that apply to Cuba, Related Controls paragraph of this ECCN.) Iran, North Korea, and Syria.) LICENSE REQUIREMENTS NOTES 1. 1C395.b does 1C980 Inorganic chemicals listed in Supple- not control mixtures that contain precursor ment No. 1 to part 754 of the EAR that chemicals identified in ECCN 1C350.b or .c in were produced or derived from the Naval concentrations below the control levels for Petroleum Reserves (NPR) or became mixtures indicated in 1C350.b or .c. 1C395.a available for export as a result of an ex- and 1C995.a.1 and a.2.a control such mixtures, change of any NPR produced or derived unless they are consumer goods, as described commodities. in License Requirements Note 2 of this LICENSE REQUIREMENTS ECCN. Reason for Control: SS 2. This ECCN does not control mixtures Control(s): SS applies to entire entry. For li- when the controlled chemicals are normal censing requirements (and possible License ingredients in consumer goods packaged for Exceptions) proceed directly to part 754 of retail sale for personal use. Such consumer the EAR. The Commerce Country Chart is goods are classified as EAR99. not designed to determine licensing re- LICENSE EXCEPTIONS quirements for items controlled for SS rea- LVS: N/A sons GBS: N/A LIST OF ITEMS CONTROLLED CIV: N/A Unit: Barrels/Liters LIST OF ITEMS CONTROLLED Related Controls: N/A Unit: $ value Related Definitions: N/A Related Controls: 1. ECCN 1C350 controls mix- Items: The list of items controlled is con- tures containing 30 percent or higher contained in the ECCN heading. centrations, by weight, of any single CWC Schedule 2 chemical identified in ECCN 1C981 Crude petroleum including reconsti- 1C350.b; ECCN 1C995 controls such mixtures tuted crude petroleum, tar sands & crude containing concentrations of 10 percent or shale oil listed in Supplement No. 1 to less. 2. ECCN 1C995 controls ‘‘medical, ana- part 754 of the EAR. lytical, diagnostic, and food testing kits’’ LICENSE REQUIREMENTS (as defined in the Related Definitions para- Reason for Control: SS graph of this ECCN) that contain precursor Control(s): SS applies to entire entry. For li- chemicals listed in ECCN 1C350.d. ECCN censing requirements (and possible License 1C350 controls any such kits in which the Exceptions) proceed directly to part 754 of amount of any single chemical listed in the EAR. The Commerce Country Chart is

712 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

not designed to determine licensing re- Reason for Control: SS quirements for items controlled for SS rea- Control(s): SS applies to entire entry. For li- sons censing requirements (and possible License LIST OF ITEMS CONTROLLED Exceptions) proceed directly to part 754 of Unit: Barrels/Liters the EAR. The Commerce Country Chart is Related Controls: N/A not designed to determine licensing re- Related Definitions: N/A quirements for items controlled for SS rea- Items: The list of items controlled is con- sons tained in the ECCN heading LIST OF ITEMS CONTROLLED Unit: Millions of cubic feet 1C982 Other petroleum products listed in Related Controls: N/A Supplement No. 1 to part 754 of the EAR Related Definitions: N/A that were produced or derived from the Items: The list of items controlled is con- Naval Petroleum Reserves (NPR) or be- tained in the ECCN heading came available for export as a result of an exchange of any NPR produced or de- 1C988 Western red cedar (thuja plicata), rived commodities. logs and timber, and rough, dressed and LICENSE REQUIREMENTS worked lumber containing wane listed in Reason for Control: SS Supplement No. 2 to part 754 of the EAR. Control(s): SS applies to entire entry. For li- LICENSE REQUIREMENTS censing requirements (and possible License Reason for Control: SS Exceptions) proceed directly to part 754 of Control(s): SS applies to entire entry. For li- the EAR. The Commerce Country Chart is censing requirements (and possible License not designed to determine licensing re- Exceptions) proceed directly to part 754 of quirements for items controlled for SS rea- the EAR. The Commerce Country Chart is sons not designed to determine licensing re- LIST OF ITEMS CONTROLLED quirements for items controlled for SS rea- Unit: $ value sons Related Controls: N/A LIST OF ITEMS CONTROLLED Related Definitions: N/A Unit: Million board feet scribner Items: The list of items controlled is con- Related Controls: N/A tained in the ECCN heading Related Definitions: N/A Items: The list of items controlled is con- 1C983 Natural gas liquids and other natural tained in the ECCN heading gas derivatives listed in Supplement No. 1 to part 754 of the EAR that were pro- 1C990 Fibrous and filamentary materials, duced or derived from the Naval Petro- not controlled by 1C010 or 1C210, for use leum Reserves (NPR) or became available in ‘‘composite’’ structures and with a spe- for export as a result of an exchange of cific modulus of 3.18μ10 6 m or greater any NPR produced or derived commod- and a specific tensile strength of ities. 7.62μ10 4 m or greater. LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: SS Reason for Control: AT Control(s): SS applies to entire entry. For licensing requirements (and possible License Control(s) Country chart Exceptions) proceed directly to part 754 of the EAR. The Commerce Country Chart is AT applies to entire entry ...... AT Column 1 not designed to determine licensing requirements for items controlled for SS rea- LICENSE EXCEPTIONS sons. LVS: N/A GBS: N/A LIST OF ITEMS CONTROLLED Unit: Barrels/Liters CIV: N/A Related Controls: N/A LIST OF ITEMS CONTROLLED Related Definitions: N/A Unit: Kilograms Items: The list of items controlled is con- Related Controls: N/A tained in the ECCN heading Related Definitions: N/A Items: The list of items controlled is con- 1C984 Manufactured gas and synthetic nat- tained in the ECCN heading ural gas (except when commingled with 1C991 Vaccines, immunotoxins, medical natural gas and thus subject to export au- products, diagnostic and food testing thorization from the Department of En- kits, as follows (see List of Items con- ergy) listed in Supplement No. 1 to part trolled). 754 of the EAR that were produced or de- LICENSE REQUIREMENTS rived from the Naval Petroleum Reserves Reason for Control: CB, AT. (NPR) or became available for export as a result of an exchange of any NPR pro- Control(s) Country Chart duced or derived commodities. LICENSE REQUIREMENTS CB applies to 1C991.d ...... CB Column 3

713 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Control(s) Country Chart those to whom or to which it is administered. AT applies to entire entry ...... AT Column 1 Items: a. Vaccines against items controlled by LICENSE EXCEPTIONS ECCN 1C351, 1C352, 1C353, 1C354, or 1C360; LVS: N/A b. Immunotoxins containing items con- GBS: N/A trolled by 1C351.d; CIV: N/A c. Medical products containing botulinum LIST OF ITEMS CONTROLLED toxins controlled by ECCN 1C351.d.3 or Unit: $ value conotoxins controlled by ECCN 1C351.d.6; Related Controls: (1) Medical products con- d. Medical products containing items containing ricin or saxitoxin, as follows, are trolled by ECCN 1C351.d (except botulinum controlled for CW reasons under ECCN toxins controlled by ECCN 1C351.d.3, 1C351: conotoxins controlled by ECCN 1C351.d.6, and (a) Ricinus Communis AgglutininII (RCAII), items controlled for CW reasons under also known as ricin D, or Ricinus Communis 1C351.d.11 or .d.12); LectinIII (RCLIII); e. Diagnostic and food testing kits con- (b) Ricinus Communis LectinIV (RCLIV), taining items controlled by ECCN 1C351.d also known as ricin E; or (except items controlled for CW reasons (c) Saxitoxin identified by C.A.S. #35523–89– under ECCN 1C351.d.11 or .d.12). 8. (2) The export of a ‘‘medical product’’ that 1C992 Commercial charges and devices con- is an ‘‘Investigational New Drug’’ (IND), as taining energetic materials, n.e.s and ni- defined in 21 CFR 312.3, is subject to certain trogen trifluoride in a gaseous state U.S. Food and Drug Administration (FDA) LICENSE REQUIREMENTS requirements that are independent of the ex- Reason for Control: AT, RS. port requirements specified in this ECCN or elsewhere in the EAR. These FDA require- Control(s) Country chart ments are described in 21 CFR 312.110 and AT applies to entire entry ...... AT Column 1. must be satisfied in addition to any require- RS applies to entire entry...... A license is required ments specified in the EAR. for items controlled (3) Also see 21 CFR 314.410 for FDA require- by this entry for ex- ments concerning exports of new drugs and port or reexport to new drug substances. Iraq and transfer Related Definitions: For the purpose of this within Iraq for re- gional stability rea- entry, ‘‘immunotoxin’’ is defined as an sons. The Com- antibody-toxin conjugate intended to de- merce Country stroy specific target cells (e.g., tumor Chart is not de- cells) that bear antigens homologous to signed to determine the antibody. For the purpose of this RS license require- entry, ‘‘medical products’’ are: (1) Pharma- ments for this entry. ceutical formulations designed for testing See §§ 742.6 and 746.3 of the EAR and human administration in the treat- for additional infor- ment of medical conditions, (2) pre- mation. packaged for distribution as clinical or medical products, and (3) approved by the LICENSE EXCEPTIONS U.S. Food and Drug Administration either LVS: N/A to be marketed as clinical or medical prod- GBS: N/A ucts or for use as an ‘‘Investigational New CIV: N/A Drug’’ (IND) (see 21 CFR part 312). For the LIST OF ITEMS CONTROLLED purpose of this entry, ‘‘diagnostic and food Unit: $ value. testing kits’’ are specifically developed, Related Controls: (1) Commercial charges and packaged and marketed for diagnostic or devices containing USML controlled ener- public health purposes. Biological toxins in getic materials that exceed the quantities any other configuration, including bulk noted or that are not covered by this entry shipments, or for any other end-uses are are controlled under 1C018. (2) Nitrogen controlled by ECCN 1C351 or ECCN 1C360. trifluoride when not in a gaseous state is For the purpose of this entry, ‘‘vaccine’’ is controlled under 1C018. defined as a medicinal (or veterinary) prod- Related Definitions: (1) Items controlled by uct in a pharmaceutical formulation, ap- this entry 1C992 are those materials not proved by the U.S. Food and Drug Admin- subject to the licensing authority of the istration or the U.S. Department of Agri- U.S. Department of State, Directorate of culture to be marketed as a medical (or Defense Trade Controls (see 22 CFR part veterinary) product or for use in clinical 121) or controlled by ECCN 1C018. (2) For trials, that is intended to stimulate a pro- purposes of this entry, the term ‘‘con- tective immunological response in humans trolled materials’’ means controlled ener- or animals in order to prevent disease in getic materials (see ECCNs 1C011, 1C111,

714 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

1C239 and 22 CFR 121.1, Category V). (3) The and fireworks displays) and containing less individual USML controlled energetic ma- than or equal to 3.0 kg of controlled mate- terials, even when compounded with other rials; or materials, remain subject to the export li- l. Other commercial explosive devices and censing authority of the Department of charges not controlled by 1C992.a through .k State when not incorporated into explosive containing less than or equal to 1.0 kg of devices or charges controlled by this entry. controlled materials. (4) Commercial prefabricated slurries and NOTE: 1C992.l includes automotive safety emulsions containing greater than 35% of devices; extinguishing systems; cartridges USML controlled energetic materials are for riveting guns; explosive charges for agri- subject to the export licensing authority of cultural, oil and gas operations, sporting the U.S. Department of State, Directorate goods, commercial mining, or public works of Defense Trade Controls. (5) For purposes purposes; and delay tubes used in the assem- of this entry, the mass of aluminum pow- bly of commercial explosive devices. der, potassium perchlorate, and any of the substances listed in the note to the USML m. Nitrogen trifluoride (NF3) in a gaseous (see 22 CFR 121.12) (such as ammonium state. pictrate, black powder, etc.) contained in 1C995 Mixtures not controlled by ECCN commercial explosive devices and in the 1C350, ECCN 1C355 or ECCN 1C395 that charges are omitted when determining the contain chemicals controlled by ECCN total mass of controlled material. 1C350 or ECCN 1C355 and medical, ana- Items: a. Shaped charges specially designed lytical, diagnostic, and food testing kits for oil well operations, utilizing one charge not controlled by ECCN 1C350 or ECCN functioning along a single axis, that upon 1C395 that contain chemicals controlled detonation produce a hole, and by ECCN 1C350.d, as follows (see List of a.1. Contain any formulation of controlled Items controlled). materials; LICENSE REQUIREMENTS a.2. Have only a uniform shaped conical Reason for Control: AT, RS liner with an included angle of 90 degrees or less; Control(s) Country chart a.3. Contain more than 0.010 kg but less than or equal to 0.090 kg of controlled mate- AT applies to entire entry ...... AT Column 1. rials; and RS applies to entire entry...... A license is required a.4. Have a diameter not exceeding 4.5 for items controlled by this entry for ex- inches; port or reexport to b. Shaped charges specially designed for oil Iraq or transfer well operations containing less than or equal within Iraq for re- to 0.010 kg of controlled materials; gional stability rea- c. Detonation cord or shock tubes con- sons. The Com- taining less than or equal to 0.064 kg per merce Country meter (300 grains per foot) of controlled ma- Chart is not de- terials; signed to determine RS license require- d. Cartridge power devices, that contain ments for this entry. less than or equal to 0.70 kg of controlled See §§ 742.6 and materials in the deflagration material; 746.3 of the EAR e. Detonators (electric or nonelectric) and for additional infor- assemblies thereof, that contain less than or mation. equal to 0.01 kg of controlled materials; f. Igniters, that contain less than or equal LICENSE REQUIREMENT NOTES 1. This ECCN to 0.01 kg of controlled materials; does not control mixtures containing less g. Oil well cartridges, that contain less than 0.5% of any single toxic or precursor than or equal to 0.015 kg of controlled ener- chemical controlled by ECCN 1C350.b, .c, or getic materials; .d or ECCN 1C355 as unavoidable by-products h. Commercial cast or pressed boosters or impurities. Such mixtures are classified containing less than or equal to 1.0 kg of as EAR99. controlled materials; 2. 1C995.c does not control mixtures that i. Commercial prefabricated slurries and contain precursor chemicals identified in emulsions containing less than or equal to 1C350.d in concentrations below the levels for 10.0 kg and less than or equal to thirty-five mixtures indicated in 1C350.d. 1C995.a.2.b percent by weight of USML controlled mate- controls such mixtures, unless they are con- rials; sumer goods as described in License Require- j. Cutters and severing tools containing ments Note 3 of this ECCN. less than or equal to 3.5 kg of controlled ma- 3. This ECCN does not control mixtures terials; when the controlled chemicals are normal k. Pyrotechnic devices when designed ex- ingredients in consumer goods packaged for clusively for commercial purposes (e.g., the- retail sale for personal use. Such consumer atrical stages, motion picture special effects, goods are classified as EAR99.

715 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

LICENSE EXCEPTIONS b.1. Mixtures containing the following con- LVS: N/A centrations of CWC Schedule 2 chemicals GBS: N/A controlled by ECCN 1C355.a: CIV: N/A b.1.a. Mixtures containing 1 percent or LIST OF ITEMS CONTROLLED less, by weight, of any single CWC Schedule Unit: $ value 2 chemical controlled by ECCN 1C355.a.1 (i.e., Related Controls: 1. ECCN 1C350 controls mix- mixtures containing PFIB); or tures containing 30 percent or higher con- b.1.b. Mixtures containing 10 percent or centrations of any single CWC Schedule 2 less, by weight, of any single CWC Schedule chemical identified in ECCN 1C350.b. ECCN 2 chemical controlled by 1C355.a.2; 1C395 controls mixtures containing con- b.2. Mixtures containing less than 30 per- centrations of more than 10 percent, but cent, by weight, of any single CWC Schedule less than 30 percent, of any single CWC 3 chemical controlled by ECCN 1C355.b. Schedule 2 chemical identified in ECCN 1C350.b. 2. ECCN 1C350 controls mixtures c. ‘‘Medical, analytical, diagnostic, and containing chemicals identified in ECCN food testing kits’’ (as defined in the Related 1C350.c or .d that exceed the concentration Definitions for this ECCN) that contain pre- levels indicated in 1C995.a.2. 3. ECCN 1C355 cursor chemicals controlled by ECCN 1C350.d controls mixtures containing chemicals in an amount not exceeding 300 grams per identified in ECCN 1C355 that exceed the chemical. (For controls on other such test concentration levels indicated in 1C995.b. 4. kits containing these and other controlled ECCN 1C395 controls ‘‘medical, analytical, chemicals, see Note 4 in the Related Controls diagnostic, and food testing kits’’ (as de- paragraph of this ECCN.) fined in the Related Controls paragraph of this ECCN) that contain CWC Schedule 2 or 1C996 Hydraulic fluids containing synthetic 3 chemicals listed in 1C350.b or .c. ECCN hydrocarbon oils, having all the following 1C350 controls any such testing kits in characteristics (see List of Items Con- which the amount of any single chemical trolled). listed in 1C350.b, .c., or .d exceeds 300 LICENSE REQUIREMENTS grams by weight. Reason for Control:AT Related Definitions: For the purpose of this entry, ‘‘medical, analytical, diagnostic, Control(s) Country chart and food testing kits’’ are pre-packaged materials of defined composition that are AT applies to entire entry ...... AT Column 1 specifically developed, packaged and marketed for medical, analytical, diagnostic, LICENSE EXCEPTIONS or public health purposes. Replacement re- LVS: N/A agents for medical, analytical, diagnostic, GBS: N/A and food testing kits described in 1C995.c CIV: N/A are controlled by ECCN 1C350 if the re- LIST OF ITEMS CONTROLLED agents contain at least one of the pre- Unit: Barrels (55 U.S. gallons/209 liters) cursor chemicals identified in that ECCN in concentrations equal to or greater than Related Controls: N/A the control levels for mixtures indicated in Related Definitions: N/A 1C350.d. Items: a. A flash point exceeding 477 K (204 Items: a. Mixtures containing the following °C); concentrations of precursor chemicals con- b. A pour point at 239 K (¥-34 °C) or less; trolled by ECCN 1C350 (For controls on other c. A viscosity index of 75 or more; and mixtures containing these chemicals, see d. A thermal stability at 616 K (343 °C). Notes 1 and 2 in the Related Controls paragraph of this ECCN.): 1C997 Ammonium Nitrate, Including Fer- a.1. Mixtures containing 10 percent or less, tilizers and Fertilizer Blends Containing by weight, of any single CWC Schedule 2 More Than 15% by Weight Ammonium Ni- chemical controlled by ECCN 1C350.b; trate, Except Liquid Fertilizers (Con- a.2. Mixtures containing less than 30 pertaining Any Amount of Ammonium Ni- cent, by weight, of: trate) or Dry Fertilizers Containing Less a.2.a. Any single CWC Schedule 3 chemical Than 15% by Weight Ammonium Nitrate controlled by ECCN 1C350.c; or LICENSE REQUIREMENTS a.2.b. Any single precursor chemical con- Reason for Control: AT, RS. trolled by ECCN 1C350.d. b. Mixtures containing the following con- Control(s) Country chart centrations of toxic or precursor chemicals controlled by ECCN 1C355 (For controls on AT applies to entire entry ...... AT Column 1. other mixtures containing these chemicals, see Note 3 in the Related Controls paragraph of this ECCN.):

716 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Control(s) Country chart Control(s) Country chart

RS applies to entire entry...... A license is required AT applies to entire entry ...... A license is required for items controlled for items controlled by this entry for ex- by this entry to port or reexport to North Korea for Iraq or transfer anti-terrorism rea- within Iraq for re- sons. The Com- gional stability rea- merce Country sons. The Com- Chart is not de- merce Country signed to determine Chart is not de- AT license require- signed to determine ments for this entry. RS license require- See § 742.19 of the ments for this entry. EAR for additional See §§ 742.6 and information. 746.3 of the EAR RS applies to entire entry...... A license is required for additional infor- for items controlled mation. by this entry for export or reexport to Iraq or transfer LICENSE EXCEPTIONS within Iraq for re- LVS: N/A gional stability rea- GBS: N/A sons. The Com- CIV: N/A merce Country Chart is not de- LIST OF ITEMS CONTROLLED signed to determine Unit: Kilograms. RS license require- Related Controls: N/A ments for this entry. Related Definitions: N/A See §§ 742.6 and Items: The list of items controlled is con- 746.3 of the EAR for additional infor- tained in the ECCN heading. mation.

1C998 Non-fluorinated polymeric sub- LICENSE EXCEPTIONS stances, not controlled by 1C008, as fol- LVS: N/A lows (see List of Items Controlled). GBS: N/A LICENSE REQUIREMENTS CIV: N/A Reason for Control: AT LIST OF ITEMS CONTROLLED Unit: $ value. Control(s) Country chart Related Controls: See also 1C236. Related Definitions: N/A AT applies to entire entry ...... AT Column 1. Items: a. Hardened steel and tungsten carbide precision ball bearings (3mm or greater di- LICENSE EXCEPTIONS ameter); LVS: N/A b. 304 and 316 stainless steel plate, n.e.s.; GBS: N/A c. Monel plate; CIV: N/A d. Tributyl phosphate; LIST OF ITEMS CONTROLLED e. Nitric acid in concentrations of 20 Unit: Kilograms weight percent or greater; f. Flourine; Related Controls: N/A g. Alpha-emitting radionuclides, n.e.s. Related Definitions: N/A Items: a. Polyarylene ether ketones, as fol- 1D001 ‘‘Software’’ specially designed or lows: modified for the ‘‘development’’, ‘‘produc- a.1 Polyether ether ketone (PEEK); tion’’ or ‘‘use’’ of equipment controlled by a.2. Polyether ketone ketone (PEKK); 1B001 to 1B003. a.3. Polyether ketone (PEK); LICENSE REQUIREMENTS a.4. Polyether ketone ether ketone ketone Reason for Control: NS, MT, NP, AT (PEKEKK); Control(s) Country chart b. [Reserved] NS applies to entire entry ...... NS Column 1 1C999 Specific Materials, n.e.s., as Follows MT applies to ‘‘software’’ for the ‘‘de- MT Column 1 (See List of Items Controlled). velopment’’, ‘‘production’’, or ‘‘use’’ of items controlled by 1B001 for LICENSE REQUIREMENTS MT reasons. Reason for Control: AT, RS. NP applies to ‘‘software’’ for the ‘‘de- NP Column 1 velopment’’, ‘‘production’’ or ‘‘use’’ of items controlled by 1B001 for NP reasons. AT applies to entire entry ...... AT Column 1

717 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

LICENSE EXCEPTIONS Related Definitions: N/A CIV: Yes, except N/A for MT Items: TSR: Yes, except N/A for MT The list of items controlled is contained in LIST OF ITEMS CONTROLLED the ECCN heading. Unit: $ value Related Controls: (1) See ECCNs 1E101 (‘‘use’’) 1D018 ‘‘Software’’ specially designed or and 1E102 (‘‘development’’ and ‘‘produc- modified for the ‘‘development’’, ‘‘production’’) for technology for items controlled tion’’, or ‘‘use’’ of items controlled by by this entry. (2) Also see 1D002, 1D101, 1B018. 1D201, and 1D999. LICENSE REQUIREMENTS Related Definitions: N/A Reason for Control: NS, MT, AT, UN Items: The list of items controlled is contained in the ECCN heading. Control(s) Country chart NS applies to entire entry ...... NS Column 1. 1D002 ‘‘Software’’ for the ‘‘development’’ of MT applies to ‘‘software’’ for the ‘‘de- MT Column 1. organic ‘‘matrix’’, metal ‘‘matrix’’ or car- velopment’’, ‘‘production’’, or ‘‘use’’ bon ‘‘matrix’’ laminates or ‘‘composites’’. of items controlled by 1B018 for LICENSE REQUIREMENTS MT reasons. Reason for Control: NS, AT AT applies to entire entry ...... AT Column 1. UN applies to entire entry ...... Iraq, North Korea, and Control(s) Country chart Rwanda.

NS applies to entire entry ...... NS Column 1 LICENSE EXCEPTIONS AT applies to entire entry ...... AT Column 1 CIV: N/A TSR: N/A LICENSE REQUIREMENT NOTES: See § 743.1 of LIST OF ITEMS CONTROLLED the EAR for reporting requirements for ex- Unit: $ value ports under Exceptions. Related Controls: See § 746.8(b)(1) for addi- LICENSE EXCEPTIONS tional BIS licensing requirements for CIV: Yes Rwanda concerning this entry. TSR: Yes Related Definitions: N/A STA: License Exception STA may not be Items: The list of items controlled is con- used to ship or transmit ‘‘software’’ for the tained in the ECCN heading ‘‘development’’ of organic ‘‘matrix’’, metal ‘‘matrix’’ or carbon ‘‘matrix’’ laminates or 1D101 ‘‘Software’’ specially designed or ‘‘composites’’ specified in ECCN 1A002 to modified for the ‘‘use’’ of commodities any of the eight destinations listed in controlled by 1B101, 1B102, 1B115, 1B117, § 740.20(c)(2) of the EAR. 1B118, or 1B119. LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: $ value Reason for Control: MT, NP, AT Related Controls: ‘‘Software’’ for items controlled by 1A102 are subject to the export Control(s) Country chart licensing authority of the U.S. Department of State, Directorate of Defense Trade Con- MT applies to entire entry ...... MT Column 1. NP applies to ‘‘software’’ for the NP Column 1. trols (see 22 CFR part 121). ‘‘use’’ of items controlled by Related Definitions: N/A 1B101.a. Items: The list of items controlled is con- AT applies to entire entry ...... AT Column 1. tained in the ECCN heading LICENSE EXCEPTIONS 1D003 ‘‘Software’’ specially designed or CIV: N/A modified to enable equipment to perform TSR: N/A the functions of equipment controlled LIST OF ITEMS CONTROLLED under 1A004.c or 1A004.d. Unit: $ value LICENSE REQUIREMENTS Related Controls: See ECCNs 1E101 (‘‘use’’) and Reason for Control: NS, RS, AT 1E102 (‘‘development’’ and ‘‘production’’) for technology for items controlled by this Control(s) Country chart entry. NS applies to entire entry ...... NS Column 2. Related Definitions: N/A RS applies to software for equipment RS Column 2. Items: The list of items controlled is con- controlled by 1A004.d. tained in the ECCN heading. AT applies to entire entry ...... AT Column 1. 1D103 ‘‘Software’’ specially designed for re- LICENSE EXCEPTIONS duced observables such as radar reflec- CIV: N/A tivity, ultraviolet/infrared signatures and TSR: N/A acoustic signatures, for applications usa- LIST OF ITEMS CONTROLLED ble in ‘‘missiles’’ or their subsystems. Unit: $ value LICENSE REQUIREMENTS Related Controls: N/A Reason for Control: MT, AT

718 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Control(s) Country chart Related Definitions: See Section 772.1 of the EAR for the definitions of ‘‘software,’’ MT applies to entire entry ...... MT Column 1 ‘‘program,’’ and ‘‘microprogram.’’ AT applies to entire entry ...... AT Column 1 Items: The list of items controlled is contained in the ECCN heading LICENSE EXCEPTIONS CIV: N/A 1D993 ‘‘Software’’ specially designed for the TSR: N/A ‘‘development’’, ‘‘production’’, or ‘‘use’’ of LIST OF ITEMS CONTROLLED equipment or materials controlled by Unit: $ value 1C210.b or 1C990. Related Controls: (1) This entry includes LICENSE REQUIREMENTS ‘‘software’’ specially designed for analysis Reason for Control: AT of signature reduction. (2) For software that meets the definition of defense arti- Control(s) Country Chart cles under 22 CFR 120.3 of the International AT applies to entire entry ...... AT Column 1 Traffic in Arms Regulations (ITAR), see 22 CFR 121.16, Item 17-Category II of the LICENSE EXCEPTIONS (ITAR), which describes similar software CIV: N/A that are under the jurisdiction of the De- TSR: N/A partment of State, Directorate of Defense LIST OF ITEMS CONTROLLED Trade Controls. Unit: $ value Related Definitions: N/A Related Controls: N/A Items: The list of items controlled is con- Related Definitions: N/A tained in the ECCN heading Items: The list of items controlled is contained in the ECCN heading 1D201 ‘‘Software’’ specially designed or modified for the ‘‘use’’ of items controlled 1D999 Specific Software, n.e.s., as Follows by 1B201. (See List of Items Controlled). LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: NP, AT Reason for Control: AT. Control(s). Control(s) Country chart Country Chart. NP applies to entire entry ...... NP Column 1 AT applies to entire entry. A license is re- AT applies to entire entry ...... AT Column 1 quired for items controlled by this entry to North Korea for anti-terrorism reasons. The LICENSE EXCEPTIONS Commerce Country Chart is not designed to CIV: N/A determine AT licensing requirements for TSR: N/A this entry. See § 742.19 of the EAR for addi- LIST OF ITEMS CONTROLLED tional information. Unit: $ value LICENSE EXCEPTIONS Related Controls: See ECCNs 1E201 (‘‘use’’) and CIV: N/A 1E203 (‘‘development’’ and ‘‘production’’) TSR: N/A for technology for items controlled by this LIST OF ITEMS CONTROLLED entry. Unit: $ value. Related Definitions: N/A Related Controls: See also 1B999. Items: The list of items controlled is con- Related Definitions: N/A tained in the ECCN heading. Items: a. Software specially designed for industrial process control hardware/systems 1D390 ‘‘Software’’ for process control that is controlled by 1B999, n.e.s.; specifically configured to control or ini- b. Software specially designed for equip- tiate ‘‘production’’ of chemicals controlled ment for the production of structural com- by 1C350. posites, fibers, prepregs and preforms con- LICENSE REQUIREMENTS trolled by 1B999, n.e.s. Reason for Control: CB, AT E. TECHNOLOGY Control(s) Country chart 1E001 ‘‘Technology’’ According to the Gen- CB applies to entire entry ...... CB Column 2 eral Technology Note for the ‘‘Develop- AT applies to entire entry ...... AT Column 1 ment’’ or ‘‘Production’’ of Items Con- trolled by 1A001.b, 1A001.c, 1A002, 1A003, LICENSE EXCEPTIONS 1A004, 1A005, 1A006.b, 1A007, 1A008, CIV: N/A 1A101, 1B (except 1B999), or 1C (except TSR: N/A 1C355, 1C980 to 1C984, 1C988, 1C990, LIST OF ITEMS CONTROLLED 1C991, 1C995 to 1C999). Unit: $ value LICENSE REQUIREMENTS Related Controls: N/A Reason for Control: NS, MT, NP, CB, RS, AT

719 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Control(s) Country chart tions of equipment controlled under 1A004.c (Nuclear, biological and chemical NS applies to ‘‘technology’’ for items NS Column 1. (NBC) detection systems). (3) ‘‘Tech- controlled by 1A001.b and .c, nology’’ for lithium isotope separation (see 1A002, 1A003, 1A005, 1A006.b, related ECCN 1B233) and ‘‘technology’’ for 1A007, 1A008, 1B001 to 1B003, items described in ECCN 1C012 are subject 1B018, 1C001 to 1C011, or 1C018. NS applies to ‘‘technology’’ for items NS Column 2 to the export licensing authority of the controlled by 1A004. Nuclear Regulatory Commission (see 10 MT applies to ‘‘technology’’ for items MT Column 1. CFR part 110). (4) ‘‘Technology’’ for items controlled by 1A101, 1B001, described in ECCN 1A102 is subject to the 1B101, 1B102, 1B115 to 1B119, export licensing authority of the U.S. De- 1C001, 1C007, 1C011, 1C101, partment of State, Directorate of Defense 1C102, 1C107, 1C111, 1C116, Trade Controls (see 22 CFR part 121). 1C117, or 1C118 for MT reasons. Related Definitions: N/A NP applies to ‘‘technology’’ for items NP Column 1. controlled by 1A002, 1A007, Items: The list of items controlled is con- 1B001, 1B101, 1B201, 1B225 to tained in the ECCN heading. 1B233, 1C002, 1C010, 1C116, 1C202, 1C210, 1C216, 1C225 to 1E002 Other ‘‘technology’’ as follows (see 1C240 for NP reasons. List of Items Controlled). CB applies to ‘‘technology’’ for items CB Column 1. LICENSE REQUIREMENTS controlled by 1C351, 1C352, Reason for Control: NS, MT, NP, AT 1C353, 1C354, or 1C360. CB applies to ‘‘technology’’ for mate- CB Column 2. Control(s) Country Chart rials controlled by 1C350 and for chemical detection systems and NS applies to entire entry, except NS Column 1. dedicated detectors therefor, in 1E002.g. 1A004.c, that also have the tech- NS applies to 1E002.g ...... NS Column 2. nical characteristics described in MT applies to 1E002.e ...... MT Column 1. 2B351.a. NP applies to ‘‘technology’’ for items NP Column 1. RS applies to technology for equip- RS Column 2. controlled by 1A002 for NP rea- ment controlled in 1A004.d. sons. AT applies to entire entry ...... AT Column 1. AT applies to entire entry ...... AT Column 1.

LICENSE REQUIREMENTS NOTE: See § 743.1 of LICENSE REQUIREMENT NOTE the EAR for reporting requirements for ex- See § 743.1 of the EAR for reporting require- ports under License Exceptions. ments for exports under License Excep- tions. LICENSE EXCEPTIONS LICENSE EXCEPTIONS CIV: N/A CIV: N/A TSR: Yes, except for the following: TSR: Yes, except for 1E002.e (1) Items controlled for MT reasons; or STA: License Exception STA may not be (2) Exports and reexports to destinations used to ship or transmit any item in outside of Australia, Austria, Belgium, Can- 1E002.e or .f to any of the eight destina- ada, Denmark, Finland, France, Germany, tions listed in § 740.20(c)(2) of the EAR. Greece, Ireland, Italy, Japan, Luxembourg, LIST OF ITEMS CONTROLLED the Netherlands, Norway, Portugal, Spain, Unit: N/A Sweden, or the United Kingdom of ‘‘tech- Related Controls: See also 1E001, 1E101,1E102, nology’’ for the ‘‘development’’ or produc- 1E202, and 1E994 for ‘‘technology’’ related tion’’ of the following: to 1E002.e or .f. (a) Items controlled by 1C001; or Related Definitions: N/A (b) Items controlled by 1A002.a which are Items: a. ‘‘Technology’’ for the ‘‘develop- composite structures or laminates having an ment’’ or ‘‘production’’ of polybenzothiazoles organic ‘‘matrix’’ and being made from ma- or polybenzoxazoles; terials listed under 1C010.c or 1C010.d. b. ‘‘Technology’’ for the ‘‘development’’ or STA: License Exception STA may not be ‘‘production’’ of fluoroelastomer compounds used to ship or transmit ‘‘technology’’ ac- containing at least one vinylether monomer; cording to the General Technology Note c. ‘‘Technology’’ for the design or ‘‘pro- for the ‘‘development’’ or ‘‘production’’ of duction’’ of the following base materials or equipment and materials specified by non-‘‘composite’’ ceramic materials: ECCNs 1A002, 1C001, 1C007.c or d, 1C010.c or c.1. Base materials having all of the fol- d or 1C012 to any of the eight destinations lowing: listed in § 740.20(c)(2) of the EAR. c.1.a. Any of the following compositions: LIST OF ITEMS CONTROLLED c.1.a.1. Single or complex oxides of zir- Unit: N/A conium and complex oxides of silicon or alu- Related Controls: (1) Also see ECCNs 1E101, minum; 1E201, and 1E202. (2) See ECCN 1E002.g for c.1.a.2. Single nitrides of boron (cubic crys- control libraries (parametric technical talline forms); databases) specially designed or modified c.1.a.3. Single or complex carbides of sil- to enable equipment to perform the func- icon or boron; or

720 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

c.1.a.4. Single or complex nitrides of sil- Control(s) Country chart icon; c.1.b. Any of the following total metallic MT applies to entire entry ...... MT Column 1. impurities (excluding intentional additions): NP applies to ‘‘technology’’ for items NP Column 1. controlled by 1B001, 1B101, c.1.b.1. Less than 1,000 ppm for single ox- 1C116, 1D001, and 1D101 for NP ides or carbides; or reasons. c.1.b.2. Less than 5,000 ppm for complex AT applies to entire entry ...... AT Column 1. compounds or single nitrides; and c.1.c. Being any of the following: LICENSE EXCEPTIONS c.1.c.1. Zirconia (CAS 1314–23–4) with an av- CIV: N/A erage particle size equal to or less than 1 μm TSR: N/A and no more than 10% of the particles larger LIST OF ITEMS CONTROLLED than 5 μm; Unit: N/A Related Controls: ‘‘Technology’’ for items c.1.c.2. Other base materials with an aver- controlled by 1A102 are subject to the ex- age particle size equal to or less than 5 μm port licensing authority of the U.S. De- and no more than 10% of the particles larger partment of State, Directorate of Defense than 10 μm; or Trade Controls (see 22 CFR part 121). c.1.c.3. Having all of the following: Related Definitions: N/A c.1.c.3.a. Platelets with a length to thick- Items: The list of items controlled is con- ness ratio exceeding 5; tained in the ECCN heading. c.1.c.3.b. Whiskers with a length to diameter ratio exceeding 10 for diameters less than 1E102 ‘‘Technology’’ according to the Gen- 2 μm; and eral Technology Note for the ‘‘develop- c.1.c.3.c. Continuous or chopped fibers less ment’’ of software controlled by 1D001, than 10 μm in diameter; 1D101 or 1D103. c.2. Non-‘‘composite’’ ceramic materials LICENSE REQUIREMENTS composed of the materials described in Reason for Control: MT, NP, AT 1E002.c.1; Control(s) Country chart NOTE: 1E002.c.2 does not control technology for the design or production of abrasives. MT applies to entire entry ...... MT Column 1. NP applies to ‘‘technology’’ for items NP Column 1. d. ‘‘Technology’’ for the ‘‘production’’ of controlled by 1D001 and 1D101 for aromatic polyamide fibers; NP reasons. e. ‘‘Technology’’ for the installation, main- AT applies to entire entry ...... AT Column 1. tenance or repair of materials controlled by 1C001; LICENSE EXCEPTIONS f. ‘‘Technology’’ for the repair of ‘‘com- CIV: N/A posite’’ structures, laminates or materials TSR: N/A controlled by 1A002, 1C007.c or 1C007.d; LIST OF ITEMS CONTROLLED Unit: N/A NOTE: 1E002.f does not control ‘‘tech- Related Controls: This entry includes data- nology’’ for the repair of ‘‘civil aircraft’’ bases specially designed for analysis of sig- structures using carbon ‘‘fibrous or filamen- nature reduction. tary materials’’ and epoxy resins, contained Related Definitions: N/A in aircraft manufacturers’ manuals. Items: The list of items controlled is con- g. ’Libraries’ (parametric technical data- tained in the ECCN heading. bases) specially designed or modified to enable equipment to perform the functions of 1E103 ‘‘Technical data’’ (including proc- equipment controlled under 1A004.c or essing conditions) and procedures for the 1A004.d. regulation of temperature, pressure or at- TECHNICAL NOTE: For the purpose of mosphere in autoclaves or hydroclaves, 1E002.g, ‘library’ (parametric technical data- when used for the ‘‘production’’ of ‘‘com- base) means a collection of technical infor- posites’’ or partially processed ‘‘compos- mation, reference to which may enhance the ites’’, usable for equipment or materials performance of relevant equipment or sys- specified in 1C007, 1C102, 1C107, 1C116, tems. 1C117, 1C118, 9A110, and 9C110. LICENSE REQUIREMENTS 1E101 ‘‘Technology’’, in accordance with the Reason for Control: MT, AT General Technology Note, for the ‘‘use’’ of Control(s) Country chart commodities and software controlled by 1A101, 1A102, 1B001, 1B101, 1B102, 1B115 MT applies to entire entry ...... MT Column 1 to 1B119, 1C001, 1C007, 1C011, 1C101, AT applies to entire entry ...... AT Column 1 1C107, 1C111, 1C116, 1C117, 1C118, 1D001, 1D101, or 1D103. LICENSE EXCEPTIONS LICENSE REQUIREMENTS CIV: N/A Reason for Control: MT, NP, AT TSR: N/A

721 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

LIST OF ITEMS CONTROLLED Control(s) Country chart Unit: N/A Related Controls: See also 1E203 NP applies to entire entry ...... NP Column 1 Related Definitions: N/A AT applies to entire entry ...... AT Column 1 Items: The list of items controlled is contained in the ECCN heading. LICENSE EXCEPTIONS CIV: N/A 1E104 ‘‘Technology’’ for the ‘‘production’’ of TSR: N/A pyrolytically derived materials formed on LIST OF ITEMS CONTROLLED a mold, mandrel or other substrate from Unit: N/A precursor gases which decompose in the Related Controls: N/A ≥ ≥ 1,573 K (1,300 C) to 3,173 K (2,900 C) tem- Related Definitions: N/A perature range at pressures of 130 Pa (1 Items: The list of items controlled is con- mm Hg) to 20 kPa (150 mm Hg), including tained in the ECCN heading. ‘‘technology’’ for the composition of precursor gases, flow-rates and process con- 1E203 ‘‘Technology’’ according to the Gen- trol schedules and parameters. eral Technology Note for the ‘‘develop- LICENSE REQUIREMENTS ment’’ or ‘‘production’’ of ‘‘software’’ con- Reason for Control: MT, AT trolled by 1D201. LICENSE REQUIREMENTS Control(s) Country chart Reason for Control: NP, AT MT applies to entire entry ...... MT Column 1 Control(s) Country chart AT applies to entire entry ...... AT Column 1 NP applies to entire entry ...... NP Column 1 LICENSE EXCEPTIONS AT applies to entire entry ...... AT Column 1 CIV: N/A TSR: N/A LICENSE EXCEPTIONS LIST OF ITEMS CONTROLLED CIV: N/A Unit: N/A TSR: N/A Related Controls: N/A LIST OF ITEMS CONTROLLED Related Definitions: N/A Unit: N/A Items: The list of items controlled is con- Related Controls: N/A tained in the ECCN heading. Related Definitions: N/A 1E201 ‘‘Technology’’ according to the Gen- Items: The list of items controlled is con- eral Technology Note for the ‘‘use’’ of tained in the ECCN heading. items controlled by 1A002, 1A007, 1A202, 1E350 ‘‘Technology’’ according to the ‘‘Gen- 1A225 to 1A227, 1B201, 1B225 to 1B232, eral Technology Note’’ for facilities de- 1B233.b, 1C002.b.3 and b.4, 1C010.a, signed or intended to produce chemicals 1C010.b, 1C010.e.1, 1C202, 1C210, 1C216, controlled by 1C350. 1C225 to 1C240 or 1D201. LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: CB, AT Reason for Control: NP, AT Control(s) Country chart Control(s) Country chart CB applies to entire entry ...... CB Column 2 NP applies to entire entry, for items NP Column 1. AT applies to entire entry ...... AT Column 1 controlled for NP reasons. AT applies to entire entry ...... AT Column 1 LICENSE EXCEPTIONS LICENSE EXCEPTIONS CIV: N/A CIV: N/A TSR: N/A TSR: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: N/A Unit: N/A Related Controls: N/A Related Controls: N/A Related Definitions: N/A Related Definitions: N/A Items: The list of items controlled is con- Items: The list of items controlled is contained in the ECCN heading. tained in the ECCN heading. 1E351 ‘‘Technology’’ according to the ‘‘Gen- 1E202 ‘‘Technology’’ according to the Gen- eral Technology Note’’ for the disposal of eral Technology Note for the ‘‘develop- chemicals or microbiological materials ment’’ or ‘‘production’’ of goods con- controlled by 1C350, 1C351, 1C352, 1C353, trolled by 1A202 or 1A225 to 1A227. 1C354 or 1C360. LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: NP, AT Reason for Control: CB, AT

722 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Control(s) Country chart Control(s) Country Chart

CB applies to ‘‘technology’’ for the CB Column 1. AT applies to entire entry ...... AT Column 1 disposal of items controlled by 1C351, 1C352, 1C353, 1C354, or LICENSE EXCEPTIONS 1C360. CIV: N/A CB applies to ‘‘technology’’ for the CB Column 2. TSR: N/A disposal of items controlled by 1C350. LIST OF ITEMS CONTROLLED AT applies to entire entry ...... AT Column 1. Unit: N/A Related Controls: N/A LICENSE EXCEPTIONS Related Definitions: N/A CIV: N/A Items: The list of items controlled is contained in the ECCN heading. TSR: N/A LIST OF ITEMS CONTROLLED 1E998 ‘‘Technology’’ for the ‘‘development’’ Unit: N/A or ‘‘production’’ of processing equipment Related Controls: N/A controlled by 1B999, and materials con- Related Definitions: N/A trolled by 1C996, 1C997, 1C998, or 1C999. Items: The list of items controlled is con- LICENSE REQUIREMENTS tained in the ECCN heading. Reason for Control: AT

1E355 Technology for the production of Control(s) Country chart Chemical Weapons Convention (CWC) Schedule 2 and 3 chemicals, as follows AT applies to entire entry ...... AT Column 1. (see List of Items Controlled): LICENSE EXCEPTIONS LICENSE REQUIREMENTS CIV: N/A Reason for Control: CW, AT. TSR: N/A Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: N/A CW applies to entire entry. A license Related Controls: N/A is required for CW reasons to Related Definitions: N/A CWC non-States Parties (destina- Items: The list of items controlled is con- tions not listed in Supplement No. tained in the ECCN heading. 2 to part 745), except for Israel and Taiwan. See § 742.18 of the EAR99 Items subject to the EAR that are EAR. The Commerce Country Chart is not designed to determine not elsewhere controlled by this CCL Cat- licensing requirements for items egory or in any other category in the CCL controlled for CW reasons. are designated by the number EAR99. AT applies to the entire entry ...... AT Column 1 ANNEX TO CATEGORY 1

LICENSE EXCEPTIONS List of Explosives (See ECCNs 1A004 and 1A008) TSR: N/A CIV: N/A 1. ADNBF (aminodinitrobenzofuroxan or 7- amino-4,6-dinitrobenzofurazane-1-oxide) LIST OF ITEMS CONTROLLED (CAS 97096–78–1); Unit: N/A 2. BNCP (cis-bis (5-nitrotetrazolato) tetra Related Controls: N/A amine-cobalt (III) perchlorate) (CAS 117412– Related Definitions: N/A 28–9); Items: a. Technology for the production of 3. CL–14 (diamino dinitrobenzofuroxan or the following CWC Schedule 2 toxic chemi- 5,7-diamino-4,6-dinitrobenzofurazane-1-oxide) cals: (CAS 117907–74–1); a.1. PFIB: 1,1,3,3,3-Pentafluoro-2- 4. CL–20 (HNIW or (trifluoromethyl)-1-propene (382–21–8); Hexanitrohexaazaisowurtzitane) (CAS 135285– a.2. [Reserved] 90–4); chlathrates of CL–20; b. Technology for the production of the fol- 5. CP (2-(5-cyanotetrazolato) penta amine- lowing CWC Schedule 3 toxic chemicals: cobalt (III) perchlorate) (CAS 70247–32–4); b.1. Phosgene: Carbonyl dichloride (75–44– 6. DADE (1,1-diamino-2,2-dinitroethylene, 5); FOX7) (CAS 145250–81–3); b.2. Cyanogen chloride (506–77–4); 7. DATB (diaminotrinitrobenzene) (CAS b.3. Hydrogen cyanide (74–90–8). 1630–08–6); 8. DDFP (1,4-dinitrodifurazanopiperazine); 1E994 ‘‘Technology’’ for the ‘‘development’’, 9. DDPO (2,6-diamino-3,5-dinitropyrazine-1- ‘‘production’’, or ‘‘use’’ of fibrous and fila- oxide, PZO) (CAS 194486–77–6); mentary materials controlled by 1C990. 10. DIPAM (3,3′-diamino-2,2′,4,4′,6,6′- LICENSE REQUIREMENTS hexanitrobiphenyl or dipicramide) (CAS Reason for Control: AT 17215–44–0);

723 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

11. DNGU (DINGU or dinitroglycoluril) a. DNAM (2-oxy-4,6-dinitroamino-s-tri- (CAS 55510–04–8); azine) (CAS 19899–80–0); 12. Furazans as follows: b. NNHT (2-nitroimino-5-nitro-hexahydro- a. DAAOF (diaminoazoxyfurazan); 1,3,5-triazine) (CAS 130400–13–4); b. DAAzF (diaminoazofurazan) (CAS 78644– 32. Triazoles as follows: 90–3); a. 5-azido-2-nitrotriazole; 13. HMX and derivatives, as follows: a. HMX b. ADHTDN (4-amino-3,5-dihydrazino-1,2,4- (Cyclotetramethylenetetranitramine, triazole dinitramide) (CAS 1614–08–0); octahydro-1,3,5,7-tetranitro-1,3,5,7-tetrazine, c. ADNT (1-amino-3,5-dinitro-1,2,4-tri- 1,3,5,7-tetranitro-1,3,5,7-tetraza-cyclooctane, azole); octogen or octogene) (CAS 2691–41–0); d. BDNTA ([bis-dinitrotriazole]amine); b. difluoroaminated analogs of HMX; e. DBT (3,3′-dinitro-5,5-bi-1,2,4-triazole) c. K–55 (2,4,6,8-tetranitro-2,4,6,8- (CAS 30003–46–4); tetraazabicyclo [3,3,0]-octanone-3, f. DNBT (dinitrobistriazole) (CAS 70890–46– tetranitrosemiglycouril or keto-bicyclic 9); HMX) (CAS 130256–72–3); g. NTDNA (2-nitrotriazole 5-dinitramide) 14. HNAD (hexanitroadamantane) (CAS (CAS 75393–84–9); 143850–71–9); 15. HNS (hexanitrostilbene) (CAS 20062–22– h. NTDNT (1-N-(2-nitrotriazolo) 3,5- 0); dinitrotriazole); 16. Imidazoles as follows: i. PDNT (1-picryl-3,5-dinitrotriazole); a. BNNII (Octahydro-2,5- j. TACOT bis(nitroimino)imidazo [4,5-d]imidazole); (tetranitrobenzotriazolobenzotriazole) (CAS b. DNI (2,4-dinitroimidazole) (CAS 5213–49– 25243–36–1); 0); 33. ‘‘Explosives’’ not listed elsewhere in c. FDIA (1-fluoro-2,4-dinitroimidazole); this list having a detonation velocity exceed- d. NTDNIA (N-(2-nitrotriazolo)-2,4- ing 8,700 m/s, at maximum density, or a deto- dinitroimidazole); nation pressure exceeding 34 GPa (340 kbar); e. PTIA (1-picryl-2,4,5-trinitroimidazole); 34. Organic ‘‘explosives’’ not listed else- 17. NTNMH (1-(2-nitrotriazolo)-2- where in this list yielding detonation pres- dinitromethylene hydrazine); sures of 25 GPa (250 kbar) or more that will 18. NTO (ONTA or 3-nitro-1,2,4-triazol-5- remain stable at temperatures of 523 K (250 one) (CAS 932–64–9); ° 19. Polynitrocubanes with more than four C) or higher, for periods of 5 minutes or nitro groups; longer; 20. PYX (2,6-Bis(picrylamino)-3,5- 35. Nitrocellulose (containing more than dinitropyridine) (CAS 38082–89–2); 12.5% nitrogen) (CAS 9004–70–0); 21. RDX and derivatives, as follows: 36. Nitroglycol (CAS 628–96–6); a. RDX (cyclotrimethylenetrinitramine, 37. Pentaerythritol tetranitrate (PETN) cyclonite, T4, hexahydro-1,3,5-trinitro-1,3,5- (CAS 78–11–5); triazine, 1,3,5-trinitro-1,3,5-triaza- 38. Picryl chloride (CAS 88–88–0); cyclohexane, hexogen or hexogene) (CAS 121– 39. 2,4,6–Trinitrotoluene (TNT) (CAS 118– 82–4); 96–7); b. Keto-RDX (K–6 or 2,4,6-trinitro-2,4,6- 40. Nitroglycerine (NG) (CAS 55–63–0); triazacyclohexanone) (CAS 115029–35–1); 41. Triacetone Triperoxide (TATP) (CAS 22. TAGN (triaminoguanidinenitrate) (CAS 17088–37–8); 4000–16–2); 23. TATB (triaminotrinitrobenzene) (CAS 42. Guanidine nitrate (CAS 506–93–4); 3058–38–6); 43. Nitroguanidine (NQ) (CAS 556–88–7). 24. TEDDZ (3,3,7,7-tetrabis(difluoroamine) octahydro-1,5-dinitro-1,5-diazocine); CATEGORY 2—MATERIALS PROCESSING 25. Tetrazoles as follows: a. NTAT (nitrotriazol aminotetrazole); NOTE: For quiet running bearings, see the b. NTNT (1-N-(2-nitrotriazolo)-4- U.S. Munitions List. nitrotetrazole); 26. Tetryl (trinitrophenylmethylnitramine) A. SYSTEMS, EQUIPMENT AND COMPONENTS (CAS 479–45–8); 27. TNAD (1,4,5,8-tetranitro-1,4,5,8- 2A001 Anti-friction bearings and bearing tetraazadecalin) (CAS 135877–16–6); systems, as follows, (see List of Items 28. TNAZ (1,3,3-trinitroazetidine) (CAS Controlled) and components therefor. 97645–24–4); LICENSE REQUIREMENTS 29. TNGU (SORGUYL or Reason for Control: NS, MT, AT tetranitroglycoluril) (CAS 55510–03–7); 30. TNP (1,4,5,8-tetranitro-pyridazino[4,5- Control(s) Country chart d]pyridazine) (CAS 229176–04–9); 31. Triazines as follows: NS applies to entire entry ...... NS Column 2.

724 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Control(s) Country chart LICENSE EXCEPTIONS

MT applies to radial ball bearings MT Column 1. LVS: N/A having all tolerances specified in GBS: N/A accordance with ISO 492 Toler- CIV: N/A ance Class 2 (or ANSI/ABMA Std List of Items Controlled 20 Tolerance Class ABEC–9, or Unit: $ value other national equivalents) or bet- Related Controls: See ECCN 2A001. ter and having all the following Related Definitions: N/A characteristics: An inner ring bore Items: diameter between 12 and 50 mm; a. An inner ring bore diameter between 12 an outer ring outside diameter between 25 and 100 mm; and a and 50 mm; width between 10 and 20 mm.. b. An outer ring outside diameter between AT applies to entire entry ...... AT Column 1. 25 and 100 mm; and c. A width between 10 and 20 mm. LICENSE EXCEPTIONS 2A225 Crucibles made of materials resistant LVS: $3000, N/A for MT to liquid actinide metals, as follows (see GBS: Yes, for 2A001.a, N/A for MT List of Items Controlled). CIV: Yes, for 2A001.a, N/A for MT LICENSE REQUIREMENTS LIST OF ITEMS CONTROLLED Reason for Control: NP, AT Unit: $ value. Related Controls: (1) See also 2A991. (2) Quiet Control(s) Country chart running bearings are subject to the export licensing authority of the Department of NP applies to entire entry ...... NP Column 1 State, Directorate of Defense Trade Con- AT applies to entire entry ...... AT Column 1 trols. (See 22 CFR part 121.) LICENSE EXCEPTIONS Related Definitions: Annular Bearing Engi- LVS: N/A neers Committee (ABEC). GBS: N/A Items: CIV: N/A NOTE: 2A001 does not control balls with tol- LIST OF ITEMS CONTROLLED erances specified by the manufacturer in ac- Unit: $ value cordance with ISO 3290 as grade 5 or worse. Related Controls: See ECCNs 2E001 (‘‘develop- a. Ball bearings and solid roller bearings, ment’’), 2E002 (‘‘production’’), and 2E201 having all tolerances specified by the manu- (‘‘use’’) for technology for items controlled facturer in accordance with ISO 492 Toler- under this entry. ance Class 4 (or national equivalents), or bet- Related Definitions: N/A ter, and having both rings and rolling ele- Items: a. Crucibles having both of the fol- ments (ISO 5593), made from monel or beryl- lowing characteristics: lium; a.1. A volume of between 150 cm3 and 8,000 cm3; and NOTE: 2A001.a does not control tapered roll- a.2. Made of or coated with any of the fol- er bearings. lowing materials, having a purity of 98% or b. [Reserved] greater by weight: c. Active magnetic bearing systems using a.2.a. Calcium fluoride (CaF2); any of the following: a.2.b. Calcium zirconate (metazirconate) c.1. Materials with flux densities of 2.0 T or (CaZrO3); greater and yield strengths greater than 414 a.2.c. Cerium sulphide (Ce2S3); MPa; a.2.d. Erbium oxide (erbia) (Er2O3); c.2. All-electromagnetic 3D homopolar bias a.2.e. Hafnium oxide (hafnia) (HfO2); designs for actuators; or a.2.f. Magnesium oxide (MgO); c.3. High temperature (450 K (177 °C) and a.2.g. Nitrided niobium-titanium-tungsten above) position sensors. alloy (approximately 50% Nb, 30% Ti, 20% W); 2A101 Radial Ball Bearings Having all Tol- a.2.h. Yttrium oxide (yttria) (Y2O3); or erances Specified in Accordance With a.2.i. Zirconium oxide (zirconia) (ZrO2); ISO 492 Tolerance Class 2 (or ANSI/ABMA b. Crucibles having both of the following Std 20 Tolerance Class ABEC-9 or Other characteristics: National Equivalents), or Better and Hav- b.1. A volume of between 50 cm3 and 2,000 ing all the Following Characteristics (see cm3; and List of Items Controlled). b.2. Made of or lined with tantalum, having LICENSE REQUIREMENTS a purity of 99.9% or greater by weight; Reason for Control: MT, AT c. Crucibles having all of the following characteristics: Control(s) Country chart c.1. A volume of between 50 cm3 and 2,000 cm3; MT applies to entire entry ...... MT Column 1. c.2. Made of or lined with tantalum, having AT applies to entire entry ...... AT Column 1. a purity of 98% or greater by weight; and

725 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

c.3. Coated with tantalum carbide, nitride, the Nuclear Regulatory Commission (see 10 boride, or any combination thereof. CFR part 110). Related Definitions: N/A 2A226 Valves having all of the following Items: a. Generators, turbine-generator sets, characteristics (see List of Items Con- steam turbines, heat exchangers, and heat trolled). exchanger type condensers designed or in- LICENSE REQUIREMENTS tended for use in a nuclear reactor; Reason for Control:NP, CB, AT b. Process control systems intended for use with the equipment controlled by 2A290.a. Control(s) Country chart

NP applies to entire entry ...... NP Column 1. 2A291 Equipment, except items controlled CB applies to valves that also meet CB Column 2. by 2A290, related to nuclear material or exceed the technical param- handling and processing and to nuclear eters in 2B350.g. reactors. AT applies to entire entry ...... AT Column 1. LICENSE REQUIREMENTS Reason for Control: NP, AT LICENSE EXCEPTIONS LVS: N/A Control(s) Country chart GBS: N/A CIV: N/A NP applies to entire entry ...... NP Column 2 LIST OF ITEMS CONTROLLED AT applies to entire entry ...... AT Column 1 Unit: $ value Related Controls: (1) See ECCNs 2E001 (‘‘devel- LICENSE EXCEPTIONS opment’’), 2E002 (‘‘production’’), and 2E201 LVS: N/A (‘‘use’’) for technology for items controlled GBS: N/A under this entry. (2) Also see ECCNs 2A292 CIV: N/A and 2B350.g. (3) Valves specially designed LIST OF ITEMS CONTROLLED or prepared for certain nuclear uses are Unit: Equipment in number; parts and acces- subject to the export licensing authority of sories in $ value the Nuclear Regulatory Commission (see 10 Related Controls: (1) See ECCN 2D290 for soft- CFR part 110). ware for items controlled under this entry. Related Definitions: For valves with different (2) See ECCNs 2E001 (‘‘development’’), 2E002 inlet and outlet diameters, the ‘‘nominal (‘‘production’’), and 2E290 (‘‘use’’) for tech- size’’ in 2A226 refers to the smallest diame- nology for items controlled under this ter. entry. (3) Also see ECCN 2A290. (4) Certain Items: a. A ‘‘nominal size’’ of 5 mm or great- equipment specially designed or prepared er; for use in a nuclear reactor or in nuclear b. Having a bellows seal; and material handling is subject to the export c. Wholly made of or lined with aluminum, licensing authority of the Nuclear Regu- aluminum alloy, nickel, or nickel alloy con- latory Commission (see 10 CFR part 110). (5) taining more than 60% nickel by weight. Nuclear radiation detection and measurement devices specially designed or modi- 2A290 Generators and other equipment spe- fied for military purposes are subject to cially designed, prepared, or intended for the export licensing authority of the De- use with nuclear plants. partment of State (see 22 CFR parts 120 LICENSE REQUIREMENTS through 130). Reason for Control: NP, AT Related Definitions: N/A Items: a. Process control systems intended Control(s) Country chart for use with nuclear reactors. NP applies to entire entry ...... NP Column 2 b. Simulators specially designed for ‘‘nu- AT applies to entire entry ...... AT Column 1 clear reactors’’. c. Casks that are specially designed for LICENSE EXCEPTIONS transportation of high-level radioactive ma- LVS: N/A terial and that weigh more than 1,000 kg. GBS: N/A d. Commodities, parts and accessories spe- CIV: N/A cially designed or prepared for use with nu- LIST OF ITEMS CONTROLLED clear plants (e.g., snubbers, airlocks, pumps, Unit: $ value reactor fuel charging and discharging equip- Related Controls: (1) See ECCN 2D290 for soft- ment, containment equipment such as hy- ware for items controlled under this entry. drogen recombiner and penetration seals, (2) See ECCNs 2E001 (‘‘development’’), 2E002 and reactor and fuel inspection equipment, (‘‘production’’), and 2E290 (‘‘use’’) for tech- including ultrasonic or eddy current test nology for items controlled under this equipment). entry. (3) Also see ECCN 2A291. (4) Certain e. Radiation detectors and monitors spe- nuclear equipment specially designed or cially designed for detecting or measuring prepared for use in nuclear plants is sub- ‘‘special nuclear material’’ (as defined in 10 ject to the export licensing authority of CFR part 110) or for nuclear reactors.

726 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Technical Notes: 1. 2A291.e does not control CIV: N/A neutron flux detectors and monitors. These LIST OF ITEMS CONTROLLED are subject to the export licens ing authority Unit: Equipment in number of the Nuclear Regulatory Commission, pur- Related Controls: (1) See ECCN 2D290 for soft- suant to 10 CFR part 110. ware for items controlled under this entry. 2. 2A291.e does not control general purpose (2) See ECCNs 2E001 (‘‘development’’), 2E002 radiation detection equipment, such as gei- (‘‘production’’), and 2E290 (‘‘use’’) for tech- ger counters and dosimeters. These items are nology for items controlled under this controlled by ECCN 1A999. entry. (3) Pumps for use in liquid-metal- cooled reactors are subject to the export li- 2A292 Piping, fittings and valves made of, or censing authority of the Nuclear Regu- lined with, stainless steel, copper-nickel latory Commission (see 10 CFR part 110). alloy or other alloy steel containing 10% Related Definitions: N/A or more nickel and/or chromium. Items: The list of items controlled is con- LICENSE REQUIREMENTS tained in the ECCN heading. Reason for Control:NP, CB, AT 2A983 Explosives or detonator detection Control(s) Country chart equipment, both bulk and trace based, NP applies to entire entry ...... NP Column 2. consisting of an automated device, or CB applies to valves that meet or ex- CB Column 2. combination of devices for automated de- ceed the technical parameters decision making to detect the presence of scribed in 2B350.g. different types of explosives, explosive AT applies to entire entry ...... AT Column 1. residue, or detonators; and parts and components, n.e.s. LICENSE EXCEPTIONS LICENSE REQUIREMENTS LVS: N/A Reason for Control:RS, AT GBS: N/A CIV: N/A Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: Pressure tubes, pipes, and fittings in RS applies to entire entry ...... RS Column 2 kilograms; valves in number; parts and ac- AT applies to entire entry ...... AT Column 1 cessories in $ value LICENSE EXCEPTIONS Related Controls: (1) See ECCN 2D290 for soft- LVS: N/A ware for items controlled under this GBS: N/A entry. (2) See ECCNs 2E001 (‘‘develop- CIV: N/A ment’’), 2E002 (‘‘production’’), and 2E290 LIST OF ITEMS CONTROLLED (‘‘use’’) for technology for items con- Unit: Equipment in number trolled under this entry. (3) Also see Related Controls: Also see 1A004 and 1A995. ECCN 2A226. (4) Piping, fittings, and Related Definitions: (1) For the purpose of this valves specially designed or prepared for entry, automated decision making is the certain nuclear uses are subject to the ability of the equipment to detect explo- export licensing authority of the Nuclear sives or detonators at the design or oper- Regulatory Commission (see 10 CFR part ator-selected level of sensitivity and pro- 110). vide an automated alarm when explosives Related Definitions: N/A or detonators at or above the sensitivity Items: a. Pressure tube, pipe, and fittings of level are detected. This entry does not con- 200 mm (8 in.) or more inside diameter, and trol equipment that depends on operator suitable for operation at pressures of 3.4 MPa interpretation of indicators such as inor- (500 psi) or greater; ganic/organic color mapping of the items(s) b. Pipe valves having all of the following being scanned. characteristics: (2) Explosives and detonators include com- b.1. A pipe size connection of 200 mm (8 in.) mercial charges and devices controlled by or more inside diameter; and 1C018 and 1C992 and energetic materials con- b.2. Rated at 10.3 MPa (1,500 psi) or more. trolled by ECCNs 1C011, 1C111, 1C239 and 22 2A293 Pumps designed to move molten met- CFR 121.1 Category V. als by electromagnetic forces. Items: LICENSE REQUIREMENTS NOTE: Explosives or detonation detection Reason for Control: NP, AT equipment in 2A983 includes equipment for screening people, documents, baggage, other Control(s) Country chart personal effects, cargo and/or mail. NP applies to entire entry ...... NP Column 2 a. Explosives detection equipment for AT applies to entire entry ...... AT Column 1 automated decision making to detect and identify bulk explosives utilizing, but not LICENSE EXCEPTIONS limited to, x-ray (e.g., computed tomog- LVS: N/A raphy, dual energy, or coherent scattering), GBS: N/A nuclear (e.g., thermal neutron analysis, pulse

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fast neutron analysis, pulse fast neutron Control(s) Country chart transmission spectroscopy, and gamma resonance absorption), or electromagnetic tech- AT applies to entire entry ...... AT Column 1 niques (e.g., quadropole resonance and dielectrometry). LICENSE EXCEPTIONS b. [Reserved] LVS: N/A c. Detonator detection equipment for auto- GBS: N/A mated decision making to detect and iden- CIV: N/A tify initiation devices (e.g. detonators, blast- LIST OF ITEMS CONTROLLED ing caps) utilizing, but not limited to, x-ray Unit: $ value (e.g. dual energy or computed tomography) Related Controls: (1) This entry does not con- or electromagnetic techniques. trol balls with tolerance specified by the manufacturer in accordance with ISO 3290 2A984 Concealed object detection equip- as grade 5 or worse. (2) Quiet running bear- ment operating in the frequency range ings are subject to the export licensing au- from 30 GHz to 3000 GHz and having a thority of the Department of State, Direc- spatial resolution of 0.5 milliradian up to torate of Defense Trade Controls. (See 22 and including 1 milliradian at a standoff CFR part 121) distance of 100 meters; and parts and Related Definitions: (1) (a) DN is the product components, n.e.s. of the bearing bore diameter in mm and LICENSE REQUIREMENTS the bearing rotational velocity in rpm. (b) Reason for Control: RS, AT Operating temperatures include those temperatures obtained when a gas turbine en- Control(s) Country chart gine has stopped after operation. (2) Annu- RS applies to entire entry ...... RS Column 2. lar Bearing Engineers Committee (ABEC); AT applies to entire entry ...... AT Column 1. American National Standards Institute (ANSI); Anti-Friction Bearing Manufactur- LICENSE EXCEPTIONS ers Association (AFBMA) LVS:N/A Items: a. Ball bearings or Solid ball bearings GBS:N/A (except tapered roller bearings), having tol- CIV:N/A erances specified by the manufacturer in ac- LIST OF ITEMS CONTROLLED Unit: $ value cordance with ABEC 7, ABEC 7P, or ABEC 7T Related Controls: (1) Concealed object detec- or ISO Standard Class 4 or better (or equiva- tion equipment operating in the frequency lents) and having any of the following char- range from 30 GHz to 3000 GHz and having a acteristics. spatial resolution less than 0.5 milliradian (a a.1. Manufactured for use at operating ° lower milliradian number means a more ac- temperatures above 573 K (300 C) either by curate image resolution) at a standoff dis- using special materials or by special heat tance of 100 meters is under the export li- treatment; or censing authority of the U.S. Department of a.2. With lubricating elements or compo- State (22 CFR parts 120 through 130). (2) Con- nent modifications that, according to the cealed object detection equipment operating manufacturer’s specifications, are specially in the frequency range from 30 GHz to 3000 designed to enable the bearings to operate at GHz and having a spatial resolution greater speeds exceeding 2.3 million DN. than 1 milliradian (a higher milliradian b. Solid tapered roller bearings, having tol- number means a less accurate image resolu- erances specified by the manufacturer in action) at a standoff distance of 100 meters is cordance with ANSI/AFBMA Class 00 (inch) designated as EAR99. (3) See ECCNs 2D984 or Class A (metric) or better (or equivalents) and 2E984 for related software and tech- and having either of the following character- nology controls. istics. Related Definitions: N/A b.1. With lubricating elements or compo- Items: The list of items controlled is con- nent modifications that, according to the tained in the ECCN heading. manufacturer’s specifications, are specially NOTE: Concealed object detection equip- designed to enable the bearings to operate at ment includes but is not limited to equip- speeds exceeding 2.3 million DN; or ment for screening people, documents, bag- b.2. Manufactured for use at operating ¥ ° gage, other personal effects, cargo and/or temperatures below 219 K ( 54 C) or above ° mail. 423 K (150 C). TECHNICAL NOTE: The range of frequencies c. Gas-lubricated foil bearing manufac- span what is generally considered as the mil- tured for use at operating temperatures of ° limeter-wave, submillimeter-wave and 561 K (288 C) or higher and a unit load capac- terahertz frequency regions. ity exceeding 1 MPa. d. Active magnetic bearing systems. 2A991 Bearings and bearing systems not e. Fabric-lined self-aligning or fabric-lined controlled by 2A001. journal sliding bearings manufactured for LICENSE REQUIREMENTS use at operating temperatures below 219 K Reason for Control: AT (¥54 °C) or above 423 K (150 °C).

728 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

2A994 Portable electric generators and spe- used for each machine tool model using the cially designed parts. agreed ISO test procedure. LICENSE REQUIREMENTS 5. The positioning accuracy of ‘‘numeri- Reason for Control: AT. cally controlled’’ machine tools is to be de- Control(s). termined and presented in accordance with AT applies to entire entry. A license is re- ISO 230/2 (1988). quired for items controlled by this entry to TECHNICAL NOTES FOR 2B001 TO 2B009: 1. Cuba, Iran and North Korea. The Commerce Secondary parallel contouring axes, (e.g., the Country Chart is not designed to determine w-axis on horizontal boring mills or a sec- licensing requirements for this entry. See ondary rotary axis the center line of which is part 746 of the EAR for additional informa- parallel to the primary rotary axis) are not tion on Cuba and Iran. See § 742.19 of the EAR counted in the total number of contouring for additional information on North Korea. axes. Rotary axes need not rotate over 360°. LICENSE EXCEPTIONS A rotary axis can be driven by a linear de- LVS: N/A vice (e.g., a screw or a rack-and-pinion). GBS: N/A 2. The number of axes which can be co- CIV: N/A ordinated simultaneously for ‘‘contouring LIST OF ITEMS CONTROLLED control’’ is the number of axes along or Unit: $ value around which, during processing of the Related Controls: See also 2D994 and 2E994. workpiece, simultaneous and interrelated Related Definitions: N/A motions are performed between the Items: The list of items controlled is con- workpiece and a tool. This does not include tained in the ECCN heading any additional axes along or around which 2A999 Specific Processing Equipment, n.e.s., other relative motions within the machine as Follows (See List of Items Controlled). are performed, such as: LICENSE REQUIREMENTS 2.a. Wheel-dressing systems in grinding Reason for Control: AT. machines; Control(s). 2.b. Parallel rotary axes designed for Country Chart. mounting of separate workpieces; AT applies to entire entry. A license is re- 2.c. Co-linear rotary axes designed for ma- quired for items controlled by this entry to nipulating the same workpiece by holding it North Korea for anti-terrorism reasons. The in a chuck from different ends. Commerce Country Chart is not designed to 3. Axis nomenclature shall be in accord- determine AT licensing requirements for ance with International Standard ISO 841, this entry. See § 742.19 of the EAR for addi- ‘‘Numerical Control Machines—Axis and Mo- tional information. tion Nomenclature’. LICENSE EXCEPTIONS 4. A ‘‘tilting spindle’’ is counted as a ro- LVS: N/A tary axis. GBS: N/A 5. The positioning accuracy of ‘‘numeri- CIV: N/A cally controlled’’ machine tools is to be de- LIST OF ITEMS CONTROLLED termined and presented in accordance with Unit: $ value. ISO 230/2 (1988). Related Controls: See also 2A226, 2B350. 6. ’Stated positioning accuracy’ levels de- Related Definitions: N/A rived from measurements made according to Items: a. Bellows sealed valves; ISO 230/2 (1988) may be used for each specific b. Reserved. machine model as an alternative to individual machine tests. ’Stated positioning ac- B. TEST, INSPECTION AND PRODUCTION curacy’ means the accuracy value provided EQUIPMENT to BIS as representative of the accuracy of a NOTES FOR CATEGORY 2B: 1. Secondary par- specific machine model. allel contouring axes, (e.g., the w-axis on Determination of ’Stated Positioning Ac- horizontal boring mills or a secondary rotary curacy’ axis the center line of which is parallel to a. Select five machines of a model to be the primary rotary axis) are not counted in evaluated; the total number of contouring axes. Rotary b. Measure the linear axis accuracies ac- axes need not rotate over 360°. A rotary axis cording to ISO 230/2 (1988); can be driven by a linear device (e.g., a screw c. Determine the A-values for each axis of or a rack-and-pinion). each machine. The method of calculating the 2. Axis nomenclature shall be in accord- A-value is described in the ISO standard; ance with International Standard ISO 841, d. Determine the mean value of the A- ‘‘Numerical Control Machines—Axis and Mo- value of each axis. This mean value A be- tion Nomenclature’’. comes the stated value of each axis for the 3. For the purposes of 2B001 to 2B009 a model (Ax Ay * * *); ‘‘tilting spindle’’ is counted as a rotary axis. e. Since the Category 2 list refers to each 4. Guaranteed positioning accuracy levels linear axis there will be as many stated val- instead of individual test protocols may be ues as there are linear axes;

729 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

f. If any axis of a machine model not con- d. Engraved or faceted jewellery parts. trolled by 2B001.a. to 2B001.c. has a stated ac- NOTE 3: curacy A of 6 microns for grinding machines A machine tool having at least two of the and 8 microns for milling and turning ma- three turning, milling or grinding capabili- chines or better, the builder should be re- ties (e.g., a turning machine with milling ca- quired to reaffirm the accuracy level once pability), must be evaluated against each ap- every eighteen months. plicable entry 2B001.a., b. or c. a. Machine tools for turning having all of 2B001 Machine tools and any combination the following: thereof, for removing (or cutting) metals, a.1. Positioning accuracy with ‘‘all com- ceramics or ‘‘composites’’, which, accord- pensations available’’ of less (better) than 6 ing to the manufacturer’s technical speci- μm along any linear axis; and fications, can be equipped with electronic a.2. Two or more axes which can be coordi- devices for ‘‘numerical control’’; and spe- nated simultaneously for ‘‘contouring con- cially designed components as follows trol’’; (see List of Items Controlled). NOTE: 2B001.a does not control turning ma- LICENSE REQUIREMENTS chines specially designed for producing con- Reason for Control: NS, NP, AT tact lenses, having all of the following: a. Machine controller limited to using oph- Control(s) Country Chart thalmic based software for part program- NS applies to entire entry ...... NS Column 2 ming data input; and NP applies to 2B001.a, .b, .c, and .d, NP Column 1 b. No vacuum chucking. EXCEPT: (1) Turning machines b. Machine tools for milling having any of under 2B001.a with a capacity no the following: greater than 35 mm diameter; (2) b.1. Having all of the following: bar machines (Swissturn), limited b.1.a. Positioning accuracy with ‘‘all com- to machining only bar feed pensations available’’ of less (better) than 6 through, if maximum bar diameter μ is equal to or less than 42 mm and m along any linear axis; and there is no capability of mounting b.1.b. Three linear axes plus one rotary chucks. (Machines may have drill- axis which can be coordinated simulta- ing and/or milling capabilities for neously for ‘‘contouring control’’; machining parts with diameters b.2. Five or more axes which can be coordi- less than 42 mm); or (3) milling nated simultaneously for ‘‘contouring con- machines under 2B001.b.with x- trol’’; axis travel greater than two meters b.3. A positioning accuracy for jig boring and overall ‘‘positioning accuracy’’ on the x-axis more (worse) than machines, with ‘‘all compensations avail- 0.030 mm able’’, of less (better) than 4 μm along any AT applies to entire entry ...... AT Column 1 linear axis; or b.4. Fly cutting machines having all of the LICENSE EXCEPTIONS following: LVS: N/A b.4.a. Spindle ‘‘run-out’’ and ‘‘camming’’ GBS: N/A less (better) than 0.0004 mm TIR; and CIV: N/A b.4.b. Angular deviation of slide movement LIST OF ITEMS CONTROLLED (yaw, pitch and roll) less (better) than 2 sec- Unit: Machine tools in number; components onds of arc, TIR, over 300 mm of travel. in $ value c. Machine tools for grinding having any of Related Controls: (1) See ECCN 2B002 for opti- the following: cal finishing machines. (2) See ECCNs c.1. Having all of the following: 2D001 and 2D002 for software for items con- c.1.a. Positioning accuracy with ‘‘all com- trolled under this entry. (3) See ECCNs pensations available’’ of less (better) than 4 2E001 (‘‘development’’), 2E002 (‘‘produc- μm along any linear axis; and tion’’), and 2E201 (‘‘use’’) for technology for c.1.b. Three or more axes which can be co- items controlled under this entry. (4) Also ordinated simultaneously for ‘‘contouring see ECCNs 2B201, 2B290, and 2B991. control’’; or Related Definitions: N/A c.2. Five or more axes which can be coordi- Items: nated simultaneously for ‘‘contouring con- NOTE 1: trol’’; 2B001 does not control special purpose ma- NOTES: 2B001.c does not control grinding chine tools limited to the manufacture of machines as follows: gears. For such machines, see 2B003. a. Cylindrical external, internal, and exter- NOTE 2: nal-internal grinding machines, having all of 2B001 does not control special purpose ma- the following: chine tools limited to the manufacture of 1. Limited to cylindrical grinding; and any of the following: 2. Limited to a maximum workpiece capac- a. Crank shafts or cam shafts; ity of 150 mm outside diameter or length. b. Tools or cutters; b. Machines designed specifically as jig c. Extruder worms; or grinders that do not have a z-axis or a w-

730 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

axis, with a positioning accuracy with ‘‘all b. Finishing to a roughness less (better) compensations available’’ less (better) than 4 than 100 nm rms; μm. c. Four or more axes which can be coordi- c. Surface grinders. nated simultaneously for ‘‘contouring con- d. Electrical discharge machines (EDM) of trol’’; and the non-wire type which have two or more d. Using any of the following processes: rotary axes which can be coordinated simul- d.1. ’Magnetorheological finishing (MRF)’; taneously for ‘‘contouring control’’; d.2. ’Electrorheological finishing (ERF)’; e. Machine tools for removing metals, ce- d.3. ’Energetic particle beam finishing’; ramics or ‘‘composites’’, having all of the d.4. ’Inflatable membrane tool finishing’; following: or e.1. Removing material by means of any of d.5. ’Fluid jet finishing’. the following: e.1.a. Water or other liquid jets, including 2B003 ‘‘Numerically controlled’’ or manual those employing abrasive additives; machine tools, and specially designed e.1.b. Electron beam; or components, controls and accessories e.1.c. ‘‘Laser’’ beam; and therefor, specially designed for the shav- e.2. At least two rotary axes having all of ing, finishing, grinding or honing of hard- the following: ened (Rc = 40 or more) spur, helical and e.2.a. Can be coordinated simultaneously double-helical gears with a pitch diame- for ‘‘contouring control’’; and ter exceeding 1,250 mm and a face width e.2.b. A positioning accuracy of less (bet- of 15% of pitch diameter or larger fin- ter) than 0.003°; ished to a quality of AGMA 14 or better (equivalent to ISO 1328 class 3). f. Deep-hole-drilling machines and turning LICENSE REQUIREMENTS machines modified for deep-hole-drilling, Reason for Control: NS, AT having a maximum depth-of-bore capability exceeding 5 m and specially designed compo- Control(s) Country chart nents therefor. NS applies to entire entry ...... NS Column 2 2B002 Numerically controlled optical fin- AT applies to entire entry ...... AT Column 1 ishing machine tools equipped for selective material removal to produce non- LICENSE REQUIREMENT NOTES: See § 743.1 of spherical optical surfaces having all of the EAR for reporting requirements for ex- the following characteristics (See List of ports under License Exceptions. Items Controlled). LICENSE EXCEPTIONS LICENSE REQUIREMENTS LVS: $5000 Reason for Control: NS, AT GBS: N/A CIV: N/A Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: Machine Tools in number; components, NS applies to entire entry ...... NS Column 2 controls and accessories in $ value AT applies to entire entry ...... AT Column 1 Related Controls: See also 2B993 Related Definitions: N/A LICENSE EXCEPTIONS Items: The list of items controlled is con- LVS: N/A tained in the ECCN heading. GBS: N/A CIV: N/A 2B004 Hot ‘‘isostatic presses’’ having all of LIST OF ITEMS CONTROLLED the characteristics described in the List Unit: Equipment in number. of Items Controlled, and specially de- Related Controls: See also 2B001. signed components and accessories there- Related Definitions: For the purposes of 2B002, for. ’MRF’ is a material removal process using LICENSE REQUIREMENTS an abrasive magnetic fluid whose viscosity Reason for Control:NS, MT NP, AT is controlled by a magnetic field. ’ERF’ is a removal process using an abrasive fluid Control(s) Country chart whose viscosity is controlled by an electric field. ’Energetic particle beam finishing’ NS applies to entire entry ...... NS Column 2. uses Reactive Atom Plasmas (RAP) or ion- MT applies to entire entry ...... MT Column 1. NP applies to entire entry, except NP Column 1. beams to selectively remove material. ’In- 2B004.b.3 and presses with max- flatable membrane tool finishing’ is a proc- imum working pressures below 69 ess that uses a pressurized membrane that MPa. deforms to contact the workpiece over a AT applies to entire entry ...... AT Column 1. small area.’Fluid jet finishing’ makes use of a fluid stream for material removal. LICENSE EXCEPTIONS Items: LVS: N/A a. Finishing the form to less (better) than GBS: N/A 1.0 μm; CIV: N/A

731 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

LIST OF ITEMS CONTROLLED duction of filamentary materials are con- Unit: Presses in number; components and ac- trolled by 1B001 or 1B101. (3) Chemical cessories in $ value Vapor Deposition furnaces designed or Related Controls: (1) See ECCN 2D001 for soft- modified for densification of carbon-carbon ware for items controlled under this entry. composites are controlled by 2B105. (4) See (2) See ECCNs 2E001 (‘‘development’’), also 2B999.i. 2E002 (‘‘production’’), and 2E101 (‘‘use’’) for Related Definitions: N/A technology for items controlled under this Items: entry. (3) For specially designed dies, a. Chemical vapor deposition (CVD) pro- molds and tooling, see ECCNs 1B003, 2B018, duction equipment having all of the fol- 9B004, and 9B009. (4) For additional con- lowing: trols on dies, molds and tooling, see ECCNs a.1. A process modified for one of the fol- 1B101.d, 2B104 and 2B204. (5) Also see ECCNs lowing: 2B117 and 2B999.a. a.1.a. Pulsating CVD; Related Definitions: N/A a.1.b. Controlled nucleation thermal depo- Items: a. A controlled thermal environment sition (CNTD); or within the closed cavity and possessing a a.1.c. Plasma enhanced or plasma assisted chamber cavity with an inside diameter of CVD; and 406 mm or more; and a.2. Having any of the following: b. Having any of the following: a.2.a. Incorporating high vacuum (equal to b.1. A maximum working pressure exceed- or less than 0.01 Pa) rotating seals; or ing 207 MPa; a.2.b. Incorporating in situ coating thick- b.2. A controlled thermal environment ex- ness control; ceeding 1,773 K (1,500 °C); or b. Ion implantation production equipment b.3. A facility for hydrocarbon impregna- having beam currents of 5 mA or more; tion and removal of resultant gaseous deg- c. Electron beam physical vapor deposition radation products. (EB–PVD) production equipment incorporating power systems rated for over 80 kW TECHNICAL NOTE: The inside chamber di- and having any of the following: mension is that of the chamber in which c.1. A liquid pool level ‘‘laser’’ control sys- both the working temperature and the work- tem which regulates precisely the ingots ing pressure are achieved and does not in- feed rate; or clude fixtures. That dimension will be the c.2. A computer controlled rate monitor smaller of either the inside diameter of the operating on the principle of photo-lumines- pressure chamber or the inside diameter of cence of the ionized atoms in the evaporant the insulated furnace chamber, depending on stream to control the deposition rate of a which of the two chambers is located inside coating containing two or more elements; the other. d. Plasma spraying production equipment having any of the following: 2B005 Equipment specially designed for the d.1. Operating at reduced pressure con- deposition, processing and in-process trolled atmosphere (equal or less than 10 kPa control of inorganic overlays, coatings measured above and within 300 mm of the and surface modifications, as follows, for gun nozzle exit) in a vacuum chamber capa- non-electronic substrates, by processes ble of evacuation down to 0.01 Pa prior to the shown in the Table and associated Notes spraying process; or following 2E003.f, and specially designed d.2. Incorporating in situ coating thickness automated handling, positioning, manipu- control; lation and control components therefor. e. Sputter deposition production equip- LICENSE REQUIREMENTS ment capable of current densities of 0.1 mA/ Reason for Control: NS, AT mm2 or higher at a deposition rate 15 μm/h or Control(s) Country chart more; f. Cathodic arc deposition production NS applies to entire entry ...... NS Column 2 equipment incorporating a grid of AT applies to entire entry AT Column 1 electromagnets for steering control of the arc spot on the cathode; LICENSE EXCEPTIONS g. Ion plating production equipment capa- LVS: $1000 ble of in situ measurement of any of the fol- GBS: N/A lowing: CIV: N/A g.1. Coating thickness on the substrate and LIST OF ITEMS CONTROLLED rate control; or Unit: $ value g.2. Optical characteristics. Related Controls: (1) This entry does not control chemical vapor deposition, cathodic 2B006 Dimensional inspection or measuring arc, sputter deposition, ion plating or ion systems, equipment, and ‘‘electronic as- implantation equipment, specially de- semblies’’, as follows (see List of Items signed for cutting or machining tools. (2) Controlled). Vapor deposition equipment for the pro- LICENSE REQUIREMENTS

732 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Reason for Control: NS, NP, AT b.1.b.1. ‘‘Linearity’’ equal to or less (better) than 0.1% within a measuring range up Control(s) Country chart to 5 mm; and b.1.b.2. Drift equal to or less (better) than NS applies to entire entry ...... NS Column 2. 0.1% per day at a standard ambient test NP applies to 2B006.a and .b, ex- NP Column 1. room temperature ±1 K; cept 2B006.b.1.d. AT applies to entire entry ...... AT Column 1. b.1.c. Measuring systems having all of the following: b.1.c.1. Containing a ‘‘laser’’; and NOTE: NP applies to measuring systems in b.1.c.2. Maintaining, for at least 12 hours, 2B006.b.1.c that maintain, for at least 12 at a temperature of 20 ± 1 °C, all of the fol- hours, over a temperature range of ±1 K lowing: around a standard temperature and at a b.1.c.2.a. A ‘‘resolution’’ over their full standard pressure, all of the following: a scale of 0.1 μm or less (better); and ‘‘resolution’’ over their full scale of 0.1 μm or b.1.c.2.b. Capable of achieving a ‘‘measure- less (better); and a ‘‘measurement uncer- ment uncertainty’’, when compensated for tainty’’ equal to or less (better) than (0.2 + L/ the refractive index of air, equal to or less 2,000) μm (L is the measured length in mm). (better) than (0.2 + L/2,000) μm (L is the LICENSE EXCEPTIONS measured length in mm); or LVS: N/A b.1.d ‘‘Electronic assemblies’’ specially de- GBS: N/A signed to provide feedback capability in sys- CIV: N/A tems controlled by 2B006.b.1.c; LIST OF ITEMS CONTROLLED NOTE: Unit: Equipment in number, electronic as- 2B006.b.1 does not control measuring inter- semblies in $ value ferometer systems, with an automatic con- Related Controls: (1) See ECCNs 2D001 and trol system that is designed to use no feed- 2D002 for ‘‘software’’ for items controlled back techniques, containing a ‘‘laser’’ to under this entry. (2) See ECCNs 2E001 (‘‘de- measure slide movement errors of machine- velopment’’), 2E002 (‘‘production’’), and tools, dimensional inspection machines or 2E201 (‘‘use’’) for technology for items con- similar equipment. trolled under this entry. (3) Also see ECCNs b.2. Angular displacement measuring in- 2B206 and 2B996. struments having an ‘‘angular position devi- Related Definitions: N/A ation’’ equal to or less (better) than 0.00025°; Items: NOTE: a. Computer controlled or ‘‘numerically 2B006.b.2 does not control optical instru- controlled’’ Coordinate Measuring Machines ments, such as autocollimators, using col- (CMM), having a three dimensional length limated light (e.g., laser light) to detect an- (volumetric) maximum permissible error of gular displacement of a mirror. c. Equipment for measuring surface irreg- length measurement (E0,MPE) at any point within the operating range of the machine ularities, by measuring optical scatter as a (i.e., within the length of axes) equal to or function of angle, with a sensitivity of 0.5 less (better) than (1.7 + L/1,000) μm (L is the nm or less (better). measured length in mm) according to ISO NOTE: 2B006 includes machine tools, other 10360–2 (2009); than those specified by 2B001, that can be used as measuring machines, if they meet or TECHNICAL NOTE: The E0,MPE of the most accurate configuration of the CMM specified by exceed the criteria specified for the meas- the manufacturer (e.g., best of the following: uring machine function. Probe, stylus length, motion parameters, en- 2B007 ‘‘Robots’’ having any of the following vironment) and with ‘‘all compensations characteristics described in the List of available’’ shall be compared to the 1.7 + L/ Items Controlled and specially designed 1,000 μm threshold. controllers and ‘‘end-effectors’’ therefor. LICENSE REQUIREMENTS b. Linear and angular displacement meas- Reason for Control: NS, NP, AT uring instruments, as follows: b.1. ’Linear displacement’ measuring in- Control(s) Country chart struments having any of the following: TECHNICAL NOTE: NS applies to entire entry ...... NS Column 2. For the purpose of 2B006.b.1 ’linear dis- NP applies to equipment that meets NP Column 1. or exceeds the criteria in ECCNs placement’ means the change of distance be- 2B207. tween the measuring probe and the measured AT applies to entire entry ...... AT Column 1. object. b.1.a. Non-contact type measuring systems LICENSE EXCEPTIONS with a ‘‘resolution’’ equal to or less (better) LVS: $5000, except 2B007.b and .c than 0.2 μm within a measuring range up to GBS: N/A 0.2 mm; CIV: N/A b.1.b. Linear voltage differential trans- LIST OF ITEMS CONTROLLED former systems having all of the following: Unit: $ value

733 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Related Controls: (1) See ECCN 2D001 for b. Rotary position feedback units (e.g., in- ‘‘software’’ for items controlled under this ductive type devices, graduated scales, infra- entry. (2) See ECCNs 2E001 (‘‘develop- red systems or ‘‘laser’’ systems) having an ment’’), 2E002 (‘‘production’’), and 2E201 ‘‘accuracy’’ less (better) than 0.00025°; (‘‘use’’) for technology for items controlled N.B.: For ‘‘laser’’ systems see also under this entry. (3) Also see ECCNs 2B207, 2B006.b.2. 2B225 and 2B997. c. ‘‘Compound rotary tables’’ and ‘‘tilting Related Definitions: N/A spindles’’, capable of upgrading, according to Items: the manufacturer’s specifications, machine a. Capable in real time of full three-dimen- tools to or above the levels controlled by sional image processing or full three-dimen- 2B001 to 2B009. sional ’scene analysis’ to generate or modify ‘‘programs’’ or to generate or modify numer- 2B009 Spin-forming machines and flow- ical program data; forming machines, which, according to the manufacturer’s technical specifica- TECHNICAL NOTE: tions, can be equipped with ‘‘numerical The ’scene analysis’ limitation does not in- control’’ units or a computer control and clude approximation of the third dimension having all of the following characteristics by viewing at a given angle, or limited grey (see List of Items Controlled). scale interpretation for the perception of LICENSE REQUIREMENTS depth or texture for the approved tasks (21⁄2 Reason for Control: NS, MT, NP, AT D). b. Specially designed to comply with na- Control(s) Country chart tional safety standards applicable to poten- tially explosive munitions environments; NS applies to entire entry ...... NS Column 2 NOTE: 2B007.b does not apply to ‘‘robots’’ MT applies to: spin-forming ma- MT Column 1 specially designed for paint-spraying booths. chines combining the functions of spin-forming and flow-forming; and c. Specially designed or rated as radiation- flow-forming machines that meet hardened to withstand a total radiation dose or exceed the parameters of greater than 5 × 103 Gy (silicon) without 2B009.a and 2B109. operational degradation; or NP applies to flow-forming machines, NP Column 1 TECHNICAL NOTE: The term Gy (silicon) refers and spin-forming machines capa- to the energy in Joules per kilogram absorbed by ble of flow-forming functions, that meet or exceed the parameters of an unshielded silicon sample when exposed to 2B209. ionizing radiation. AT applies to entire entry ...... AT Column 1 d. Specially designed to operate at alti- tudes exceeding 30,000m. LICENSE EXCEPTIONS 2B008 Assemblies or Units, Specially De- LVS: N/A signed for Machine Tools, or Dimensional GBS: N/A Inspection or Measuring Systems and CIV: N/A Equipment, as Follows (See List of Items LIST OF ITEMS CONTROLLED Controlled). Unit: $ value LICENSE REQUIREMENTS Related Controls: (1) See ECCN 2D001 for Reason for Control: NS, AT ‘‘software’’ for items controlled under this entry. (2) See ECCNs 2E001 (‘‘develop- Control(s) Country chart ment’’), 2E002 (‘‘production’’), and 2E101 (‘‘use’’) for technology for items controlled NS applies to entire entry ...... NS Column 2 under this entry. (3) Also see ECCNs 2B109 AT applies to entire entry ...... AT Column 1 and 2B209 for additional flow-forming machines for MT and NP reasons. LICENSE EXCEPTIONS Related Definitions: Machines combining the LVS: N/A function of spin-forming and flow-forming GBS: N/A are for the purpose of 2B009 regarded as CIV: N/A flow-forming machines. LIST OF ITEMS CONTROLLED Items: a. Two or more controlled axes of Unit: $ value. which at least two can be coordinated simul- Related Controls: See also 2B998. taneously for ‘‘contouring control’’; and Related Definition: N/A b. A roller force more than 60 kN. Items: TECHNICAL NOTE: Machines combining the a. Linear position feedback units (e.g., in- function of spin-forming and flow-forming ductive type devices, graduated scales, infra- are for the purpose of 2B009 regarded as flow- red systems or ‘‘laser’’ systems) having an forming machines. overall ‘‘accuracy’’ less (better) than (800 + (600 × L × 10¥3)) nm (L equals the effective 2B018 Equipment on the Wassenaar Ar- length in mm); rangement Munitions List. N.B.: For ‘‘laser’’ systems see also LICENSE REQUIREMENTS 2B006.b.1.c and d. Reason for Control: NS, MT, RS, AT, UN

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Control(s) Country chart f. Gun barrel rifling machines; g. Gun barrel trepanning machines; NS applies to entire entry ...... NS Column 1. h. Gun boring and turning machines; MT applies to specialized machinery, MT Column 1. equipment, and gear for producing i. Gun honing machines of 6 feet (183 cm) rocket systems (including ballistic stroke or more; missile systems, space launch ve- j. Gun jump screw lathes; hicles, and sounding rockets) and k. Gun rifling machines; unmanned air vehicle systems (in- l. Gun straightening presses; cluding cruise missile systems, tar- m. Induction hardening machines for tank get drones, and reconnaissance drones) usable in systems that are turret rings and sprockets; controlled for MT reasons including n. Jigs and fixtures and other metal-work- their propulsion systems and com- ing implements or accessories of the kinds ponents, and pyrolytic deposition exclusively designed for use in the manufac- and densification equipment. ture of firearms, ordnance, and other stores RS applies to entire entry ...... RS Column 2. and appliances for land, sea, or aerial war- AT applies to entire entry ...... AT Column 1. UN applies to entire entry ...... Iraq, North Korea, and fare; Rwanda. o. Small arms chambering machines; p. Small arms deep hole drilling machines LICENSE EXCEPTIONS and drills therefor; LVS: $3,000, except N/A for Rwanda. q. Small arms rifling machines; GBS: Yes, as follows, except N/A for Rwanda, r. Small arms spill boring machines; MT-controlled items, or destinations for s. Tank turret bearing grinding machines. which a license is required for RS reasons: Equipment used to determine the safety 2B104 ‘‘Isostatic presses’’, other than those data of explosives as required by the Inter- controlled by 2B004, having all of the fol- national Convention on the Transport of lowing characteristics (see List of Items Dangerous Goods (C.I.M.) Articles 3 and 4 Controlled). in Annex 1 RID, provided that such equip- LICENSE REQUIREMENTS ment will be used only by the railway au- Reason for Control: MT, NP, AT thorities of current C.I.M. members, or by the Government-accredited testing facili- Control(s) Country chart ties in those countries, for the testing of explosives to transport safety standards, of MT applies to entire entry ...... MT Column 1. NP applies to entire entry ...... NP Column 1. the following description: AT applies to entire entry ...... AT Column 1. a. Equipment for determining the ignition and deflagration temperatures; LICENSE EXCEPTIONS b. Equipment for steel-shell tests; LVS: N/A c. Drophammers not exceeding 20 kg in GBS: N/A weight for determining the sensitivity of explosives to shock; CIV: N/A d. Equipment for determining the friction LIST OF ITEMS CONTROLLED sensitivity of explosives when exposed to Unit: Equipment in number charges not exceed 36 kg in weight. Related Controls: (1) See ECCN 2D101 for CIV: N/A ‘‘software’’ for items controlled under this LIST OF ITEMS CONTROLLED entry. (2) See ECCNs 2E001 (‘‘develop- Unit: Equipment in number; parts and acces- ment’’), 2E002 (‘‘production’’), and 2E101 sories in $ value (‘‘use’’) for technology for items controlled Related Controls: N/A under this entry. (3) Also see ECCNs 2B004, Related Definitions: N/A 2B204, and 2B117. Items: Specialized machinery, equipment, Related Definitions: The inside chamber di- gear, and specially designed parts and acces- mension is that of the chamber in which sories therefor, including but not limited to both the working temperature and the the following, that are specially designed for working pressure are achieved and does not the examination, manufacture, testing, and include fixtures. That dimension will be checking of arms, appliances, machines, and the smaller of either the inside diameter of implements of war: the pressure chamber or the inside diame- a. Armor plate drilling machines, other ter of the insulated chamber, depending on than radial drilling machines; which of the two chambers is located in- b. Armor plate planing machines; side the other. c. Armor plate quenching presses; Items: a. Maximum working pressure equal to d. Centrifugal casting machines capable of or greater than 69 MPa; casting tubes 6 feet (183 cm) or more in b. Designed to achieve and maintain a con- length, with a wall thickness of 2 inches (5 trolled thermal environment of 873 K (600 °C) cm) and over; or greater; and e. Gun barrel rifling and broaching ma- c. Possessing a chamber cavity with an in- chines, and tools therefor; side diameter of 254 mm or greater.

735 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

2B105 Chemical vapor deposition (CVD) fur- b. Specially designed components for flow- naces, other than those controlled by forming machines controlled in 2B009 or 2B005.a, designed or modified for the 2B109.a. densification of carbon-carbon composites. TECHNICAL NOTES: 1. Machines combining LICENSE REQUIREMENTS the function of spin-forming and flow-form- Reason for Control:MT, AT ing are for the purpose of 2B109 regarded as flow-forming machines. Control(s) Country chart 2. 2B109 does not control machines that are MT applies to entire entry ...... MT Column 1. not usable in the ‘‘production’’ of propulsion AT applies to entire entry ...... AT Column 1. components and equipment (e.g. motor cases) for systems in 9A005, 9A007.a, or 9A105.a. License Exceptions 2B116 Vibration test systems and equip- LVS: N/A ment, usable for rockets, missiles, or un- GBS: N/A manned aerial vehicles capable of achiev- CIV: N/A ing a ‘‘range’’ equal to or greater than 300 List of Items Controlled km and their subsystems, and compo- Unit: Equipment in number nents therefor, as follows (see List of Related Controls: (1) See ECCN 2D101 for Items Controlled). ‘‘software’’ for items controlled under this LICENSE REQUIREMENTS entry. (2) See ECCNs 2E001 (‘‘develop- Reason for Control: MT, NP, AT ment’’), 2E002 (‘‘production’’), and 2E101 (‘‘use’’) for technology for items controlled Control(s) Country chart under this entry. (3) Also see ECCNs 2B005 and 2B117. MT applies to entire entry ...... MT Column 1. Related Definitions: N/A NP applies to electrodynamic vibra- NP Column 1. tion test systems in 2B116.a and Items: The list of items controlled in con- to all items in 2B116.b, .c, and .d. tained in the ECCN heading. AT applies to entire entry ...... AT Column 1.

2B109 Flow-forming machines, other than LICENSE EXCEPTIONS those controlled by 2B009, and specially LVS: N/A designed components therefor. GBS: N/A LICENSE REQUIREMENTS CIV: N/A Reason for Control: MT, NP, AT LIST OF ITEMS CONTROLLED Unit: $ value Control(s) Country chart Related Controls: (1) See ECCN 2D101 for MT applies to entire entry ...... MT Column 1. ‘‘software’’ for items controlled under this NP applies to items controlled by this NP Column 1. entry. (2) See ECCNs 2E001 (‘‘develop- entry that meet or exceed the ment’’), 2E002 (‘‘production’’), and 2E101 technical parameters in 2B209. (‘‘use’’) for technology for items controlled AT applies to entire entry ...... AT Column 1. under this entry. (3) Also see ECCN 9B990. Related Definitions: Vibration test systems LICENSE EXCEPTIONS incorporating a digital controller are those LVS: N/A systems, the functions of which are, partly GBS: N/A or entirely, automatically controlled by CIV: N/A stored and digitally coded electrical sig- LIST OF ITEMS CONTROLLED nals. Unit: Equipment in number; components in $ Items: value a. Vibration test systems employing feed- Related Controls: (1) See ECCN 2D101 for back or closed loop techniques and incor- ‘‘software’’ for items controlled under this porating a digital controller, capable of vi- entry. (2) See ECCNs 2E001 (‘‘develop- brating a system at an acceleration equal to ment’’), 2E002 (‘‘production’’), and 2E101 or greater than 10 g rms between 20 Hz to (‘‘use’’) for technology for items controlled 2,000 Hz while imparting forces equal to or under this entry. (3) Also see ECCNs 2B009 greater than 50 kN (11,250 lbs.), measured and 2B209. ’bare table’; Related Definitions: N/A b. Digital controllers, combined with spe- Items: a. Flow-forming machines having all cially designed vibration test ‘‘software’’, of the following: with a ‘real-time control bandwidth’ greater a.1. According to the manufacturer’s tech- than 5 kHz and designed for use with vibra- nical specification, can be equipped with tion test systems described in 2B116.a; ‘‘numerical control’’ units or a computer c. Vibration thrusters (shaker units), with control, even when not equipped with such or without associated amplifiers, capable of units at delivery; and imparting a force equal to or greater than 50 a.2. Have more than two axes which can be kN (11,250 lbs.), measured ‘bare table’, and coordinated simultaneously for ‘‘contouring usable in vibration test systems described in control.’’ 2B116.a;

736 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

d. Test piece support structures and elec- a.2. Capable of balancing rotors/assemblies tronic units designed to combine multiple at speeds greater than 12,500 rpm; shaker units into a complete shaker system a.3. Capable of correcting unbalance in two capable of providing an effective combined planes or more; and force equal to or greater than 50 kN, meas- a.4. Capable of balancing to a residual spe- ured ‘bare table’, and usable in vibration test cific unbalance of 0.2 g mm per kg of rotor systems described in 2B116.a. mass. TECHNICAL NOTES: (1) ‘Bare table’ means a NOTE: 2B119.a. does not control balancing flat table, or surface, with no fixture or fitting. machines designed or modified for dental or (2) ‘Real-time control bandwidth’ is defined as other medical equipment. the maximum rate at which a controller can exe- b. Indicator heads designed or modified for cute complete cycles of sampling, processing use with machines specified in 2B119.a. data and transmitting control signals. NOTE: Indicator heads are sometimes 2B117 Equipment and process controls, known as balancing instrumentation. other than those controlled by 2B004, 2B005.a, 2B104 or 2B105, designed or modi- 2B120 Motion simulators or rate tables fied for the densification and pyrolysis of (equipment capable of simulating mo- structural composite rocket nozzles and re- tion), having all of the following charac- entry vehicle nose tips. teristics (see List of Items Controlled). ICENSE EQUIREMENTS LICENSE REQUIREMENTS L R Reason for Control:MT, AT Reason for Control: MT, AT

Control(s) Country chart Control(s) Country chart

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

LICENSE EXCEPTIONS LICENSE EXCEPTIONS LVS: N/A LVS: N/A GBS: N/A GBS: N/A CIV: N/A CIV: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: Equipment in number Unit: $ value Related Controls: (1) See ECCN 2D101 for Related Controls: (1) Rate tables not con- ‘‘software’’ for items controlled under this trolled by 2B120 and providing the charac- entry. (2) See ECCNs 2E001 (‘‘develop- teristics of a positioning table are to be ment’’), 2E002 (‘‘production’’), and 2E101 evaluated according to 2B121. (2) Equip- (‘‘use’’) for technology for items controlled ment that has the characteristics specified under this entry. (3) Also see ECCN s 2B004, in 2B121, which also meets the characteris- 2B005, 2B104, 2B105, and 2B204. tics of 2B120 will be treated as equipment Related Definitions: N/A specified in 2B120. (3) See also 2B008, 2B121, Items: The list of items controlled in con- 7B101 and 7B994. tained in the ECCN heading. Related Definitions: N/A Items: a. Two axes or more; 2B119 Balancing machines and related b. Designed or modified to incorporate equipment, as follows (see List of Items sliprings or integrated non-contact devices Controlled). capable of transferring electrical power, sig- LICENSE REQUIREMENTS nal information, or both; and Reason for Control: MT, AT c. Having any of the following characteristics: Control(s) Country chart c.1. For any single axis having all of the MT applies to entire entry ...... MT Column 1 following: AT applies to entire entry ...... AT Column 1 c.1.a. Capable of rates of rotation of 400 degrees/s or more, or 30 degrees/s or less, and LICENSE EXCEPTIONS c.1.b. A rate resolution equal to or less LVS: N/A than 6 degrees/s and an accuracy equal to or GBS: N/A less than 0.6 degrees/s; or CIV: N/A c.2. Having a worst-case rate stability LIST OF ITEMS CONTROLLED equal to or better (less) than plus or minus Unit: $ value 0.05% averaged over 10 degrees or more; or Related Controls: See also 7B101. c.3. A positioning ‘‘accuracy’’ equal to or Related Definitions: N/A better than 5 arc-second. Items: a. Balancing machines having all the NOTE: 2B120 does not control rotary tables following characteristics: designed or modified for machine tools or for a.1. Not capable of balancing rotors/assem- medical equipment. For controls on machine blies having a mass greater than 3 kg; tool rotary tables see 2B008.

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2B121 Positioning tables (equipment capa- Control(s) Country chart ble of precise rotary position in any axis), other than those controlled in 2B120, hav- NP applies to entire entry ...... NP Column 1 ing all the following characteristics (See AT applies to entire entry ...... AT Column 1 List of Items Controlled). LICENSE REQUIREMENTS LICENSE EXCEPTIONS Reason for Control: MT, AT LVS: N/A GBS: N/A Control(s) Country chart CIV: N/A MT applies to entire entry ...... MT Column 1 LIST OF ITEMS CONTROLLED AT applies to entire entry ...... AT Column 1 Unit: Equipment in number; parts and accessories in $ value LICENSE EXCEPTIONS Related Controls: (1) See ECCNs 2D002 and LVS: N/A 2D202 for ‘‘software’’ for items controlled GBS: N/A by this entry. ‘‘Numerical control’’ units CIV: N/A are controlled by their associated ‘‘soft- LIST OF ITEMS CONTROLLED ware’’. (2) See ECCNs 2E001 (‘‘develop- Unit: $ value ment’’), 2E002 (‘‘production’’), and 2E201 Related Controls: (‘‘use’’) for technology for items controlled (1) Equipment that has the characteristics under this entry. (3) Also see ECCNs 2B001, specified in 2B121, which also meets the 2B290, and 2B991. characteristics of 2B120 will be treated as Related Definitions: N/A equipment specified in 2B120. Items: a. Machine tools for turning, that have (2) See also 2B008, 2B120, 7B101 and 7B994. ‘‘positioning accuracies’’ with all compensa- Related Definitions: N/A tions available better (less) than 6 μm ac- Items: a. Two axes or more; and cording to ISO 230/2 (1988) along any linear b. A positioning ‘‘accuracy’’ equal to or axis (overall positioning) for machines capa- better than 5 arc-second. ble of machining diameters greater than 35 NOTE: 2B121 does not control rotary tables mm; designed or modified for machine tools or for NOTE: Item 2B201.a. does not control bar medical equipment. For controls on machine machines (Swissturn), limited to machining tool rotary tables see 2B008. only bar feed thru, if maximum bar diameter is equal to or less than 42 mm and there is no 2B122 Centrifuges capable of imparting ac- capability of mounting chucks. Machines celerations above 100 g and designed or may have drilling and/or milling capabilities modified to incorporate sliprings or inte- for machining parts with diameters less than grated non-contact devices capable of 42 mm. transferring electrical power, signal information, or both. b. Machine tools for milling, having any of LICENSE REQUIREMENTS the following characteristics: Reason for Control: MT, AT b.1. Positioning accuracies with ‘‘all compensations available’’ equal to or less (bet- Control(s) Country chart ter) than 6 μm along any linear axis (overall positioning); or MT applies to entire entry ...... MT Column 1 b.2. Two or more contouring rotary axes. AT applies to entire entry ...... AT Column 1 NOTE: 2B201.b does not control milling ma- LICENSE EXCEPTIONS chines having the following characteristics: LVS: N/A a. X-axis travel greater than 2 m; and GBS: N/A b. Overall positioning accuracy on the x- CIV: N/A axis more (worse) than 30 μm. LIST OF ITEMS CONTROLLED c. Machine tools for grinding, having any Unit: $ value of the following characteristics: Related Controls: See also 7B101. c.1. Positioning accuracies with ‘‘all com- Related Definitions: N/A pensations available’’ equal to or less (bet- Items: The list of items controlled is con- ter) than 4 μm along any linear axis (overall tained in the ECCN heading. positioning); or c.2. Two or more contouring rotary axes. 2B201 Machine tools, other than those controlled by 2B001, for removing or cutting NOTE: 2B201.c does not control the fol- metals, ceramics or ‘‘composites’’, which, lowing grinding machines: according to the manufacturer’s technical a. Cylindrical external, internal, and exter- specifications, can be equipped with elec- nal-internal grinding machines having all of tronic devices for simultaneous the following characteristics: ‘‘contouring control’’ in two or more axes. 1. Limited to cylindrical grinding; LICENSE REQUIREMENTS 2. A maximum workpiece outside diameter Reason for Control: NP, AT or length of 150 mm;

738 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

3. Not more than two axes that can be co- Control(s) Country chart ordinated simultaneously for ‘‘contouring control’’; and NP applies to entire entry ...... NP Column 1 4. No contouring c-axis. AT applies to entire entry ...... AT Column 1 b. Jig grinders with axes limited to x, y, c LICENSE EXCEPTIONS and a where c axis is used to maintain the LVS: N/A grinding wheel normal to the work surface, GBS: N/A and the a axis is configured to grind barrel CIV: N/A cams; LIST OF ITEMS CONTROLLED c. Tool or cutter grinding machines with Unit: Equipment in number; parts and acces- ‘‘software’’ specially designed for the produc- sories in $ value tion of tools or cutters; or Related Controls: (1) See ECCNs 2D002 and d. Crankshaft or camshaft grinding ma- 2D201 for ‘‘software’’ for items controlled chines. under this entry. (2) See ECCNs 2E001 (‘‘development’’), 2E002 (‘‘production’’), and 2B204 ‘‘Isostatic presses’’, other than those 2E201 (‘‘use’’) for technology for items con- controlled by 2B004 or 2B104, and related trolled under this entry. (3) Also see ECCNs equipment, as follows (see List of Items 2B006 and 2B996. Controlled). Related Definitions: N/A LICENSE REQUIREMENTS ECCN Controls: (1) Machine tools that can be Reason for Control: NP, AT used as measuring machines are controlled by this entry if they meet or exceed the Control(s) Country chart criteria specified for the machine tool function or the measuring machine func- NP applies to entire entry ...... NP Column 1 tion. (2) A machine described in this entry AT applies to entire entry ...... AT Column 1 is controlled if it exceeds the control threshold anywhere within its operating LICENSE EXCEPTIONS range. LVS: N/A Items: a. Computer controlled or numerically GBS: N/A controlled dimensional inspection machines CIV: N/A having both of the following characteristics: LIST OF ITEMS CONTROLLED a.1. Two or more axes; and Unit: Equipment in number a.2. A one-dimensional length ‘‘measure- Related Controls: (1) See ECCN 2D201 for ment uncertainty’’ equal to or less (better) ‘‘software’’ for items controlled under this than (1.25 + L/1000) μm tested with a probe of entry. (2) See ECCNs 2E001 (‘‘develop- an ‘‘accuracy’’ of less (better) than 0.2 μm (L ment’’), 2E002 (‘‘production’’), and 2E201 is the measured length in millimeters) (Ref.: (‘‘use’’) for technology for items controlled VDI/VDE 2617 Parts 1 and 2); under this entry. (3) Also see ECCNs 2B004 b. Systems for simultaneously linear-angu- and 2B104. lar inspection of hemishells, having both of Related Definitions: The inside chamber di- the following characteristics: mension is that of the chamber in which b.1. ‘‘Measurement uncertainty’’ along any both the working temperature and working linear axis equal to or less (better) than 3.5 pressure are achieved and does not include μm per 5 mm; and fixtures. That dimension will be the small- b.2. ‘‘Angular position deviation’’ equal to er of either the inside diameter of the pres- or less than 0.02°. sure chamber or the inside diameter of the TECHNICAL NOTES: (1) The probe used in de- insulated chamber, depending on which of termining the measurement uncertainty of a the two chambers is located inside the dimensional inspection system shall be de- other. scribed in VDI/VDE 2617 parts 2, 3 and 4. Items: a. ‘‘Isostatic presses’’ having both of (2) All parameters of measurement values the following characteristics: in this entry represent plus/minus, i.e., not a.1. Capable of achieving a maximum total band. working pressure of 69 MPa or greater; and c. Angular displacement measuring instru- a.2. A chamber cavity with an inside di- ments having an ‘‘angular position devi- ameter in excess of 152 mm; ation’’ equal to or less (better) than 0.00025°; b. Dies, molds and controls, specially de- NOTE: 2B206.c does not control optical in- signed for ‘‘isostatic presses’’ controlled by struments, such as autocollimators, using 2B204.a. collimated light to detect angular displacement of a mirror. 2B206 Dimensional inspection machines, instruments or systems, other than those 2B207 ‘‘Robots’’, ‘‘end-effectors’’ and control described in 2B006, as follows (see List of units, other than those controlled by Items Controlled). 2B007, as follows (see List of Items Con- LICENSE REQUIREMENTS trolled). Reason for Control: NP, AT LICENSE REQUIREMENTS

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Reason for Control: NP, AT ‘‘numerical control’’ units or a computer control; Control(s) Country chart NOTE: 2B209.a includes machines that have NP applies to entire entry ...... NP Column 1 only a single roller designed to deform AT applies to entire entry ...... AT Column 1 metal, plus two auxiliary rollers that support the mandrel, but do not participate di- LICENSE EXCEPTIONS rectly in the deformation process. LVS: N/A b. Rotor-forming mandrels designed to GBS: N/A form cylindrical rotors of inside diameter be- CIV: N/A tween 75 mm and 400 mm. LIST OF ITEMS CONTROLLED Unit: $ value 2B225 Remote manipulators that can be Related Controls: (1) See ECCN 2D201 for used to provide remote actions in ‘‘software’’ for items controlled under this radiochemical separation operations or entry. (2) See ECCNs 2E001 (‘‘develop- hot cells, having either of the following ment’’), 2E002 (‘‘production’’), and 2E201 characteristics (see List of Items Con- (‘‘use’’) for technology for items controlled trolled). under this entry. (3) Also see ECCNs 2B007, LICENSE REQUIREMENTS 2B225, and 2B997. Reason for Control: NP, AT Related Definitions: N/A ECCN Controls: This entry does not control Control(s) Country chart ‘‘robots’’ specially designed for non-nu- NP applies to entire entry ...... NP Column 1 clear industrial applications, such as auto- AT applies to entire entry ...... AT Column 1 mobile paint-spraying booths. Items: a. ‘‘Robots’’ or ‘‘end-effectors’’ spe- LICENSE EXCEPTIONS cially designed to comply with national safe- LVS: N/A ty standards applicable to handling high ex- GBS: N/A plosives (for example, meeting electrical CIV: N/A code ratings for high explosives); LIST OF ITEMS CONTROLLED b. Control units specially designed for any Unit: $ value of the ‘‘robots’’ or ‘‘end-effectors’’ controlled Related Controls: (1) See ECCNs 2E001 (‘‘devel- by 2B207.a. opment’’), 2E002 (‘‘production’’), and 2E201 (‘‘use’’) for technology for items controlled 2B209 Flow forming machines, spin forming under this entry. (2) Also see ECCNs 2B007 machines capable of flow forming func- and 2B207. (3) Remote manipulators spe- tions, other than those controlled by cially designed or prepared for use in fuel 2B009 or 2B109, and mandrels, as follows reprocessing or for use in a reactor are sub- (see List of Items Controlled). ject to the export licensing authority of LICENSE REQUIREMENTS the Nuclear Regulatory Commission (see 10 Reason for Control: NP, AT CFR part 110). Related Definitions: N/A Control(s) Country chart Items: a. A capability of penetrating 0.6 m or NP applies to entire entry ...... NP Column 1 more of hot cell wall (through-the-wall oper- AT applies to entire entry ...... AT Column 1 ation); or b. A capability of bridging over the top of LICENSE EXCEPTIONS a hot cell wall with a thickness of 0.6 m or LVS: N/A more (over-the-wall operation). GBS: N/A TECHNICAL NOTE: Remote manipulators CIV: N/A provide translation of human operator ac- LIST OF ITEMS CONTROLLED tions to a remote operating arm and ter- Unit: Equipment in number; parts and acces- minal fixture. They may be of ‘‘master/ sories in $ value slave’’ type or operated by joystick or key- Related Controls: (1) See ECCN 2D201 for pad. ‘‘software’’ for items controlled under this entry. (2) See ECCNs 2E001 (‘‘develop- 2B226 Controlled atmosphere (vacuum or ment’’), 2E002 (‘‘production’’), and 2E201 inert gas) induction furnaces, and power (‘‘use’’) for technology for items controlled supplies therefor, as follows (see List of under this entry. (3) Also see ECCNs 2B009 Items Controlled). and 2B109. LICENSE REQUIREMENTS Related Definitions: N/A Reason for Control: NP, AT Items: a. Machines having both of the fol- Control(s) Country chart lowing characteristics: a.1. Three or more rollers (active or guid- NP applies to entire entry ...... NP Column 1 ing); and AT applies to entire entry ...... AT Column 1 a.2. According to the manufacturer’s technical specifications, can be equipped with LICENSE EXCEPTIONS

740 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LVS: N/A 2B228 Rotor fabrication and assembly GBS: N/A equipment, rotor straightening equip- CIV: N/A ment, bellows-forming mandrels and dies, LIST OF ITEMS CONTROLLED as follows (see List of Items Controlled). Unit: $ value LICENSE REQUIREMENTS Related Controls: (1) See ECCNs 2E001 (‘‘de- Reason for Control: NP, AT velopment’’), 2E002 (‘‘production’’), and 2E201 (‘‘use’’) for technology for items con- Control(s) Country chart trolled under this entry. (2) Also see ECCN NP applies to entire entry ...... NP Column 1 2B227 and Category 3B. AT applies to entire entry ...... AT Column 1 Related Definitions: N/A ECCN Controls: 2B226.a does not control fur- LICENSE EXCEPTIONS naces designed for the processing of semi- LVS: N/A conductor wafers. GBS: N/A Items: a. Furnaces having all of the following CIV: N/A characteristics: LIST OF ITEMS CONTROLLED a.1. Capable of operation above 1,123 K (850 Unit: $ value °C); Related Controls: See ECCNs 2E001 (‘‘develop- a.2. Induction coils 600 mm or less in di- ment’’), 2E002 (‘‘production’’), and 2E201 ameter; and (‘‘use’’) for technology for items controlled a.3. Designed for power inputs of 5 kW or under this entry. more; Related Definitions: N/A b. Power supplies, with a specified power Items: a. Rotor assembly equipment for as- output of 5 kW or more, specially designed sembly of gas centrifuge rotor tube sections, for furnaces controlled by 2B226.a. baffles, and end-caps; NOTE: 2B228.a includes precision mandrels, 2B227 Vacuum or other controlled atmos- clamps, and shrink fit machines. phere metallurgical melting and casting b. Rotor straightening equipment for furnaces and related equipment, as fol- alignment of gas centrifuge rotor tube sec- lows (see List of Items Controlled). tions to a common axis; LICENSE REQUIREMENTS TECHNICAL NOTE: The rotor straightening Reason for Control: NP, AT equipment in 2B228.b normally consists of Control(s) Country chart precision measuring probes linked to a computer that subsequently controls the action NP applies to entire entry ...... NP Column 1 of, for example, pneumatic rams used for AT applies to entire entry ...... AT Column 1 aligning the rotor tube sections. c. Bellows-forming mandrels and dies for LICENSE EXCEPTIONS producing single-convolution bellows. LVS: N/A TECHNICAL NOTE: In 2B228.c, the bellows GBS: N/A have all of the following characteristics: CIV: N/A 1. Inside diameter between 75 mm and 400 LIST OF ITEMS CONTROLLED mm; Unit: $ value 2. Length equal to or greater than 12.7 mm; Related Controls: (1) See ECCN 2D201 for 3. Single convolution depth greater than 2 ‘‘software’’ for items controlled under this mm; and entry. (2) See ECCNs 2E001 (‘‘develop- 4. Made of high-strength aluminum alloys, ment’’), 2E002 (‘‘production’’), and 2E201 maraging steel or high strength ‘‘fibrous or (‘‘use’’) for technology for items controlled filamentary materials’’. under this entry. (2) Also see ECCN 2B226. Related Definitions: N/A 2B229 Centrifugal multiplane balancing ma- Items: a. Arc remelt and casting furnaces chines, fixed or portable, horizontal or having both of the following characteristics: vertical, as follows (see List of Items Con- a.1. Consumable electrode capabilities be- trolled). tween 1,000 cm3 and 20,000 cm3; and LICENSE REQUIREMENTS a.2. Capable of operating with melting tem- Reason for Control: NP, AT peratures above 1,973 K (1,700 °C); b. Electron beam melting furnaces and Control(s) Country chart plasma atomization and melting furnaces, NP applies to entire entry ...... NP Column 1 having both of the following characteristics: AT applies to entire entry ...... AT Column 1 b.1. A power of 50 kW or greater; and b.2. Capable of operating with melting tem- LICENSE EXCEPTIONS peratures above 1,473 K (1,200 °C); LVS: N/A c. Computer control and monitoring sys- GBS: N/A tems specially configured for any of the fur- CIV: N/A naces controlled by 2B227.a or .b. LIST OF ITEMS CONTROLLED

741 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Unit: $ value b.2. A full scale of 13 kPa or greater and an Related Controls: (1) See ECCN 2D201 for ‘‘accuracy’’ of better than ± 130 Pa. ‘‘software’’ for items controlled under this entry. (2) See ECCNs 2E001 (‘‘develop- 2B231 Vacuum pumps having all of the fol- ment’’), 2E002 (‘‘production’’), and 2E201 lowing characteristics (see List of Items (‘‘use’’) for technology for items controlled Controlled). under this entry. LICENSE REQUIREMENTS Related Definitions: N/A Reason for Control: NP, AT Items: a. Centrifugal balancing machines designed for balancing flexible rotors having a Control(s) Country chart length of 600 mm or more and having all of NP applies to entire entry ...... NP Column 1 the following characteristics: AT applies to entire entry ...... AT Column 1 a.1. Swing or journal diameter greater than 75 mm; LICENSE EXCEPTIONS a.2. Mass capability of from 0.9 to 23 kg; LVS: N/A and GBS: N/A a.3. Capable of balancing speed of revolu- CIV: N/A tion greater than 5,000 r.p.m.; LIST OF ITEMS CONTROLLED b. Centrifugal balancing machines designed Unit: $ value for balancing hollow cylindrical rotor com- Related Controls: (1) See ECCNs 2E001 (‘‘devel- ponents and having all of the following char- opment’’), 2E002 (‘‘production’’), and 2E201 acteristics: (‘‘use’’) for technology for items controlled b.1. Journal diameter greater than 75 mm; under this entry. (2) Vacuum pumps spe- b.2. Mass capability of from 0.9 to 23 kg; cially designed or prepared for the separa- b.3. Capable of balancing to a residual im- tion of uranium isotopes are subject to the balance equal to or less than 0.01 kg × mm/kg export licensing authority of the Nuclear per plane; and Regulatory Commission (see 10 CFR part b.4. Belt drive type. 110). 2B230 ‘‘Pressure transducers’’ capable of Related Definitions: (1) The pumping speed is measuring absolute pressures at any determined at the measurement point with point in the range 0 to 13 kPa and having nitrogen gas or air. (2) The ultimate vacu- both of the following characteristics (see um is determined at the input of the pump List of Items Controlled). with the input of the pump blocked off. LICENSE REQUIREMENTS Items: a. Input throat size equal to or greater Reason for Control: NP, AT than 380 mm; b. Pumping speed equal to or greater than Control(s) Country chart 15 m3/s; and c. Capable of producing an ultimate vacu- NP applies to entire entry ...... NP Column 1 um better than 13.3 mPa. AT applies to entire entry ...... AT Column 1 2B232 Multistage light gas guns or other LICENSE EXCEPTIONS high-velocity gun systems (coil, electro- LVS: N/A magnetic, and electrothermal types, and GBS: N/A other advanced systems) capable of accel- CIV: N/A erating projectiles to 2 km/s or greater. LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: $ value Reason for Control: NP, AT Related Controls: See ECCNs 2E001 (‘‘development’’), 2E002 (‘‘production’’), and 2E201 Control(s) Country chart (‘‘use’’) for technology for items controlled under this entry. NP applies to entire entry ...... NP Column 1 Related Definitions: (1) Pressure transducers AT applies to entire entry ...... AT Column 1 are devices that convert pressure measurements into an electrical signal. (2) For pur- LICENSE EXCEPTIONS poses of this entry, ‘‘accuracy’’ includes LVS: N/A non-linearity, hysteresis and repeatability GBS: N/A at ambient temperature. CIV: N/A Items: a. Pressure sensing elements made of LIST OF ITEMS CONTROLLED or protected by aluminum, aluminum alloy, Unit: $ value nickel or nickel alloy with more than 60% Related Controls: See ECCNs 2E001 (‘‘develop- nickel by weight; and ment’’), 2E002 (‘‘production’’), and 2E201 b. Having either of the following character- (‘‘use’’) for technology for items controlled istics: under this entry. b.1. A full scale of less than 13 kPa and an Related Definitions: N/A ‘‘accuracy’’ of better than ± 1% of full-scale; Items: The list of items controlled is con- or tained in the ECCN heading.

742 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

2B290 ‘‘Numerically controlled’’ machine metric) volume greater than 0.1 m3 (100 li- tools not controlled by 2B001 or 2B201. ters) and less than 20 m3 (20,000 liters), where LICENSE REQUIREMENTS all surfaces that come in direct contact with Reason for Control: NP, AT the chemical(s) being processed or contained are made from any of the following mate- Control(s) Country chart rials: NP applies to entire entry ...... NP Column 2 a.1. Alloys with more than 25% nickel and AT applies to entire entry ...... AT Column 1 20% chromium by weight; a.2. Nickel or alloys with more than 40% LICENSE EXCEPTIONS nickel by weight; LVS: N/A a.3. Fluoropolymers (polymeric or elas- GBS: N/A tomeric materials with more than 35% fluo- CIV: N/A rine by weight); LIST OF ITEMS CONTROLLED a.4. Glass (including vitrified or enameled Unit: Equipment in number; parts and acces- coating or glass lining); sories in $ value a.5. Tantalum or tantalum alloys; Related Controls: (1) See ECCNs 2D002 and a.6. Titanium or titanium alloys; 2D290 for ‘‘software’’ for items controlled a.7. Zirconium or zirconium alloys; or under this entry. (2) See ECCNs 2E001 (‘‘de- a.8. Niobium (columbium) or niobium al- velopment’’), 2E002 (‘‘production’’), and loys. 2E290 (‘‘use’’) for technology for items con- b. Agitators for use in reaction vessels or trolled under this entry. (3) Also see ECCNs reactors described in 2B350.a, and impellers, 2B001, 2B201, and 2B991. blades or shafts designed for such agitators, Related Definition: N/A where all surfaces that come in direct con- Items: a. Turning machines or combination tact with the chemical(s) being processed or turning/milling machines that are capable of contained are made from any of the fol- machining diameters greater than 2.5 me- lowing materials: ters. b.1. Alloys with more than 25% nickel and b. Reserved. 20% chromium by weight; b.2. Nickel or alloys with more than 40% 2B350 Chemical manufacturing facilities nickel by weight; and equipment, except valves controlled b.3. Fluoropolymers (polymeric or elas- by 2A226 or 2A292, as follows (see List of tomeric materials with more than 35% fluo- Items Controlled). rine by weight); LICENSE REQUIREMENTS b.4. Glass (including vitrified or enameled Reason for Control: CB, AT coatings or glass lining); b.5. Tantalum or tantalum alloys; Control(s) Country chart b.6. Titanium or titanium alloys; CB applies to entire entry ...... CB Column 2. b.7. Zirconium or zirconium alloys; or AT applies to entire entry ...... AT Column 1. b.8. Niobium (columbium) or niobium alloys. LICENSE REQUIREMENT NOTE: c. Storage tanks, containers or receivers This ECCN does not control equipment that with a total internal (geometric) volume is both: (1) Specially designed for use in greater than 0.1 m3 (100 liters) where all sur- civil applications (e.g., food processing, faces that come in direct contact with the pulp and paper processing, or water purifi- chemical(s) being processed or contained are cation) and (2) inappropriate, by the nature made from any of the following materials: of its design, for use in storing, processing, c.1. Alloys with more than 25% nickel and producing or conducting and controlling 20% chromium by weight; the flow of the chemical weapons precur- c.2. Nickel or alloys with more than 40% sors controlled by 1C350. nickel by weight; LICENSE EXCEPTIONS c.3. Fluoropolymers (polymeric or elas- LVS: N/A tomeric materials with more than 35% fluo- GBS: N/A rine by weight); CIV: N/A c.4. Glass (including vitrified or enameled LIST OF ITEMS CONTROLLED coatings or glass lining); Unit: Equipment in number. c.5. Tantalum or tantalum alloys; Related Controls: N/A c.6. Titanium or titanium alloys; Related Definitions: For purposes of this entry c.7. Zirconium or zirconium alloys; or the term ‘‘chemical warfare agents’’ are c.8. Niobium (columbium) or niobium al- those agents subject to the export licens- loys. ing authority of the U.S. Department of d. Heat exchangers or condensers with a State, Directorate of Defense Trade Con- heat transfer surface area of less than 20 m2, trols. (See 22 CFR part 121.) but greater than 0.15 m2, and tubes, plates, Items: a. Reaction vessels or reactors, with or coils or blocks (cores) designed for such heat without agitators, with total internal (geo- exchangers or condensers, where all surfaces

743 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

that come in direct contact with the chem- g.5. Tantalum or tantalum alloys; ical(s) being processed are made from any of g.6. Titanium or titanium alloys; the following materials: g.7. Zirconium or zirconium alloys; d.1. Alloys with more than 25% nickel and g.8. Niobium (columbium) or niobium al- 20% chromium by weight; loys; or d.2. Nickel or alloys with more than 40% g.9. Ceramic materials, as follows: nickel by weight; g.9.a. Silicon carbide with a purity of 80% d.3. Fluoropolymers (polymeric or elas- or more by weight; tomeric materials with more than 35% fluorine by weight); g.9.b. Aluminum oxide (alumina) with a pu- d.4. Glass (including vitrified or enameled rity of 99.9% or more by weight; or coatings or glass lining); g.9.c. Zirconium oxide (zirconia). d.5. Tantalum or tantalum alloys; TECHNICAL NOTE TO 2B350.G: The ‘nominal d.6. Titanium or titanium alloys; size’ is defined as the smaller of the inlet and d.7. Zirconium or zirconium alloys; outlet port diameters d.8. Niobium (columbium) or niobium al- h. Multi-walled piping incorporating a leak loys; detection port, in which all surfaces that d.9. Graphite or carbon-graphite; come in direct contact with the chemical(s) d.10. Silicon carbide; or being processed or contained are made from d.11. Titanium carbide. any of the following materials: e. Distillation or absorption columns of in- h.1. Alloys with more than 25% nickel and ternal diameter greater than 0.1 m, and liq- 20% chromium by weight; uid distributors, vapor distributors or liquid h.2. Nickel or alloys with more than 40% collectors designed for such distillation or nickel by weight; absorption columns, where all surfaces that h.3. Fluoropolymers (polymeric or elas- come in direct contact with the chemical(s) tomeric materials with more than 35% fluo- being processed are made from any of the rine by weight); following materials: h.4. Glass (including vitrified or enameled e.1. Alloys with more than 25% nickel and coatings or glass lining); 20% chromium by weight; h.5. Tantalum or tantalum alloys; e.2. Nickel or alloys with more than 40% nickel by weight; h.6. Titanium or titanium alloys; e.3. Fluoropolymers (polymeric or elas- h.7. Zirconium or zirconium alloys; tomeric materials with more than 35% fluo- h.8. Niobium (columbium) or niobium al- rine by weight); loys; or e.4. Glass (including vitrified or enameled h.9. Graphite or carbon-graphite. coatings or glass lining); i. Multiple-seal and seal-less pumps with e.5. Tantalum or tantalum alloys; manufacturer’s specified maximum flow-rate e.6. Titanium or titanium alloys; greater than 0.6 m 3/hour, or vacuum pumps e.7. Zirconium or zirconium alloys; with manufacturer’s specified maximum e.8. Niobium (columbium) or niobium al- flow-rate greater than 5 m 3/hour (under loys; or standard temperature (273 K (0 °C)) and pres- e.9. Graphite or carbon-graphite. sure (101.3 kPa) conditions), and casings f. Remotely operated filling equipment in (pump bodies), preformed casing liners, im- which all surfaces that come in direct con- pellers, rotors or jet pump nozzles designed tact with the chemical(s) being processed are for such pumps, in which all surfaces that made from any of the following materials: come into direct contact with the chem- f.1. Alloys with more than 25% nickel and ical(s) being processed are made from any of 20% chromium by weight; or the of the following materials: f.2. Nickel or alloys with more than 40% i.1. Alloys with more than 25% nickel and nickel by weight. 20% chromium by weight; g. Valves with nominal sizes greater than i.2. Nickel or alloys with more than 40% 1.0 cm (3⁄8 in.), and casings (valve bodies) or nickel by weight; preformed casing liners designed for such i.3. Fluoropolymers (polymeric or elas- valves, in which all surfaces that come in di- tomeric materials with more than 35% fluo- rect contact with the chemical(s) being pro- rine by weight); duced, processed, or contained are made i.4. Glass (including vitrified or enameled from any of the following materials: coatings or glass lining); g.1. Alloys with more than 25% nickel and i.5. Tantalum or tantalum alloys; 20% chromium by weight; g.2. Nickel or alloys with more than 40% i.6. Titanium or titanium alloys; nickel by weight; i.7. Zirconium or zirconium alloys; g.3. Fluoropolymers (polymeric or elas- i.8. Niobium (columbium) or niobium al- tomeric materials with more than 35% fluo- loys. rine by weight); i.9. Graphite or carbon-graphite; g.4. Glass (including vitrified or enameled i.10. Ceramics; or coating or glass lining); and i.11. Ferrosilicon (high silicon iron alloys).

744 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

j. Incinerators designed to destroy chem- the capability of the equipment to operate ical warfare agents, chemical weapons pre- on line without human intervention. The cursors controlled by 1C350, or chemical mu- intent of this entry is to control toxic gas nitions having specially designed waste sup- monitoring systems capable of collection ply systems, special handling facilities and and detection of samples in environments an average combustion chamber temperature such as chemical plants, rather than those greater than 1000 °C in which all surfaces in used for batch-mode operation in labora- the waste supply system that come into di- tories. rect contact with the waste products are Items a. Designed for continuous operation made from or lined with any of the following and usable for the detection of chemical war- materials: fare agents or chemicals controlled by 1C350 j.1. Alloys with more than 25% nickel and at concentrations of less than 0.3 mg/m3; or 20% chromium by weight; b. Designed for the detection of cholin- j.2. Nickel or alloys with more than 40% esterase-inhibiting activity. nickel by weight; or j.3. Ceramics. 2B352 Equipment capable of use in handling TECHNICAL NOTE 1: Carbon-graphite is a com- biological materials, as follows (see List position consisting primarily of graphite and of Items Controlled). amorphous carbon, in which the graphite is 8 LICENSE REQUIREMENTS percent or more by weight of the composi- Reason for Control: CB, AT tion. TECHNICAL NOTE 2: For the items listed in Control(s) Country chart 2B350, the term ‘alloy,’ when not accompanied by a specific elemental concentra- CB applies to entire entry ...... CB Column 2. tion, is understood as identifying those al- AT applies to entire entry ...... AT Column 1. loys where the identified metal is present in a higher percentage by weight than any LICENSE EXCEPTIONS other element. LVS: N/A GBS: N/A 2B351 Toxic gas monitoring systems and CIV: N/A their dedicated detecting components LIST OF ITEMS CONTROLLED (i.e., detectors, sensor devices, and re- Unit: Equipment in number placeable sensor cartridges), as follows, Related Controls: See ECCNs 1A004 and 1A995 except those systems and detectors con- for protective equipment that is not covered trolled by ECCN 1A004.c (see List of by this entry. Also see ECCN 9A120 for con- Items Controlled). trols on certain ‘‘UAV’’ systems designed or LICENSE REQUIREMENTS modified to dispense an aerosol and capable Reason for Control: CB, AT. of carrying elements of a payload in the form of a particulate or liquid, other than fuel Control(s) Country chart components of such vehicles, of a volume greater than 20 liters. CB applies to entire entry ...... CB Column 2. AT applies to entire entry ...... AT Column 1. Related Definitions: (1) ‘‘Lighter than air vehicles’’—balloons and airships that rely on LICENSE EXCEPTIONS hot air or on lighter-than-air gases, such as LVS: N/A helium or hydrogen, for their lift. (2) GBS: N/A ‘‘UAVs’’—Unmanned Aerial Vehicles. (3) CIV: N/A ‘‘VMD’’—Volume Median Diameter. LIST OF ITEMS CONTROLLED Items: a. Complete containment facilities at Unit: Equipment in number. P3 or P4 containment level. Related Controls: See ECCN 2D351 for ‘‘soft- TECHNICAL NOTE: P3 or P4 (BL3, BL4, L3, ware’’ for toxic gas monitoring systems L4) containment levels are as specified in the and their dedicated detecting components WHO Laboratory Biosafety Manual (3rd edi- controlled by this ECCN. Also see ECCN tion, Geneva, 2004). 1A004, which controls chemical detection b. Fermenters capable of cultivation of systems and specially designed compo- pathogenic microorganisms, viruses, or for nents therefor that are specially designed toxin production, without the propagation of or modified for detection or identification aerosols, having a capacity equal to or great- of chemical warfare agents, but not spe- er than 20 liters. cially designed for military use, and ECCN 1A995, which controls certain detection TECHNICAL NOTE: Fermenters include bio- equipment and components not controlled reactors, chemostats, and continuous-flow by ECCN 1A004 or by this ECCN. systems. Related Definitions: (1) For the purposes of c. Centrifugal separators capable of the this entry, the term ‘‘dedicated’’ means continuous separation of pathogenic micro- committed entirely to a single purpose or organisms, without the propagation of device. (2) For the purposes of this entry, aerosols, and having all of the following the term ‘‘continuous operation’’ describes characteristics:

745 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

c.1. One or more sealing joints within the obic chambers, glove boxes or laminar flow steam containment area; hoods (closed with vertical flow). c.2. A flow rate greater than 100 liters per g. Chambers designed for aerosol challenge hour; testing with microorganisms, viruses, or tox- c.3. Components of polished stainless steel ins and having a capacity of 1 m3 or greater. or titanium; and h. Spraying or fogging systems and compo- c.4. Capable of in-situ steam sterilization nents therefor, as follows: in a closed state. h.1. Complete spraying or fogging systems, TECHNICAL NOTE: Centrifugal separators in- specially designed or modified for fitting to clude decanters. aircraft, ‘‘lighter than air vehicles,’’ or d. Cross (tangential) flow filtration equip- ‘‘UAVs,’’ capable of delivering, from a liquid ment and accessories, as follows: suspension, an initial droplet ‘‘VMD’’ of less d.1. Cross (tangential) flow filtration than 50 microns at a flow rate of greater equipment capable of separation of patho- than 2 liters per minute; genic microorganisms, viruses, toxins or cell h.2. Spray booms or arrays of aerosol gen- cultures, without the propagation of erating units, specially designed or modified aerosols, having all of the following charac- for fitting to aircraft, ‘‘lighter than air vehi- teristics: cles,’’ or ‘‘UAVs,’’ capable of delivering, from d.1.a. A total filtration area equal to or a liquid suspension, an initial droplet greater than 1 square meter (1 m2); and ‘‘VMD’’ of less than 50 microns at a flow rate d.1.b. Having any of the following charac- of greater than 2 liters per minute; teristics: h.3. Aerosol generating units specially de- d.1.b.1. Capable of being sterilized or dis- signed for fitting to the systems specified in infected in-situ; or paragraphs h.1 and h.2 of this ECCN. d.1.b.2. Using disposable or single-use fil- TECHNICAL NOTES: 1. Aerosol generating tration components. units are devices specially designed or modi- N.B.: 2B352.d.1 does not control reverse os- fied for fitting to aircraft and include noz- mosis equipment, as specified by the manu- zles, rotary drum atomizers and similar de- facturer. vices. d.2. Cross (tangential) flow filtration com- 2. This ECCN does not control spraying or ponents (e.g., modules, elements, cassettes, fogging systems and components, as speci- cartridges, units or plates) with filtration fied in 2B352.h., that are demonstrated not to area equal to or greater than 0.2 square me- be capable of delivering biological agents in ters (0.2 m2) for each component and de- the form of infectious aerosols. signed for use in cross (tangential) flow fil- 3. Droplet size for spray equipment or noz- tration equipment controlled by 2B352.d.1. zles specially designed for use on aircraft or TECHNICAL NOTE: In this ECCN, ‘‘steri- ‘‘UAVs’’ should be measured using either of lized’’ denotes the elimination of all viable the following methods (pending the adoption microbes from the equipment through the of internationally accepted standards): use of either physical (e.g., steam) or chem- a. Doppler laser method, ical agents. ‘‘Disinfected’’ denotes the de- b. Forward laser diffraction method. struction of potential microbial infectivity in the equipment through the use of chem- 2B991 Numerical control units for machine ical agents with a germicidal effect. ‘‘Dis- tools and ‘‘numerically controlled’’ ma- infection’’ and ‘‘sterilization’’ are distinct chine tools, n.e.s. from ‘‘sanitization’’, the latter referring to LICENSE REQUIREMENTS cleaning procedures designed to lower the Reason for Control: AT microbial content of equipment without necessarily achieving elimination of all micro- Control(s) Country chart bial infectivity or viability. AT applies to entire entry ...... AT Column 1 e. Steam sterilizable freeze-drying equipment with a condenser capacity of 10 kgs of LICENSE EXCEPTIONS ice or greater in 24 hours, but less than 1,000 LVS: N/A kgs of ice in 24 hours. GBS: N/A f. Protective and containment equipment, CIV: N/A as follows: LIST OF ITEMS CONTROLLED f.1. Protective full or half suits, or hoods Unit: Equipment in number dependant upon a tethered external air sup- Related Controls: Also see ECCNs 2B001, 2B201, ply and operating under positive pressure; and 2B290. TECHNICAL NOTE: This entry does not con- Related Definitions: N/A trol suits designed to be worn with self-con- Items: a. ‘‘Numerical control’’ units for ma- tained breathing apparatus. chine tools: f.2. Class III biological safety cabinets or a.1. Having four interpolating axes that isolators with similar performance stand- can be coordinated simultaneously for ards, e.g., flexible isolators, dry boxes, anaer- ‘‘contouring control’’; or

746 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

a.2. Having two or more axes that can be d.1.b. ‘‘Camming’’ (axial displacement) in coordinated simultaneously for ‘‘contouring one revolution of the spindle less (better) control’’ and a minimum programmable in- than 0.0006 mm total indicator reading (TIR); crement better (less) than 0.001 mm; NOTE: 2B991.d.1.b. applies to machine tools a.3. ‘‘Numerical control’’ units for machine for turning only. tools having two, three or four interpolating axes that can be coordinated simultaneously d.1.c. ‘‘Run out’’ (out-of-true running) in for ‘‘contouring control’’, and capable of re- one revolution of the spindle less (better) ceiving directly (on-line) and processing than 0.0006 mm total indicator reading (TIR); computer-aided-design (CAD) data for inter- d.1.d. The ‘‘positioning accuracies’’, with nal preparation of machine instructions; or all compensations available, are less (better) b. ‘‘Motion control boards’’ specially de- than: 0.001° on any rotary axis; signed for machine tools and having any of d.2. Electrical discharge machines (EDM) the following characteristics: of the wire feed type that have five or more b.1. Interpolation in more than four axes; axes that can be coordinated simultaneously b.2. Capable of ‘‘real time processing’’ of for ‘‘contouring control’’. data to modify tool path, feed rate and spindle data, during the machining operation, by 2B992 Non-‘‘numerically controlled’’ ma- any of the following: chine tools for generating optical quality b.2.a. Automatic calculation and modifica- surfaces, and specially designed compo- tion of part program data for machining in nents therefor. two or more axes by means of measuring cy- LICENSE REQUIREMENTS cles and access to source data; or Reason for Control: AT b.2.b. ‘‘Adaptive control’’ with more than one physical variable measured and proc- Control(s) Country chart essed by means of a computing model (strategy) to change one or more machining in- AT applies to entire entry ...... AT Column 1 structions to optimize the process. b.3. Capable of receiving and processing LICENSE EXCEPTIONS CAD data for internal preparation of ma- LVS: N/A chine instructions; or GBS: N/A c. ‘‘Numerically controlled’’ machine tools CIV: N/A that, according to the manufacturer’s tech- LIST OF ITEMS CONTROLLED nical specifications, can be equipped with Unit: Equipment in number electronic devices for simultaneous Related Controls: N/A ‘‘contouring control’’ in two or more axes Related Definitions: N/A and that have both of the following charac- Items: a. Turning machines using a single teristics: point cutting tool and having all of the fol- c.1. Two or more axes that can be coordi- lowing characteristics: nated simultaneously for contouring control; a.1. Slide positioning accuracy less (better) and than 0.0005 mm per 300 mm of travel; c.2. ‘‘Positioning accuracies’’, with all a.2. Bidirectional slide positioning repeat- compensations available: ability less (better) than 0.00025 mm per 300 c.2.a. Better than 0.020 mm along any lin- mm of travel; ear axis (overall positioning) for grinding a.3. Spindle ‘‘run out’’ and ‘‘camming’’ less machines; (better) than 0.0004 mm total indicator read- c.2.b. Better than 0.020 mm along any lining (TIR); ear axis (overall positioning) for milling ma- a.4. Angular deviation of the slide move- chines; or ment (yaw, pitch and roll) less (better) than c.2.c. Better than 0.020 mm along any lin- 2 seconds of arc, TIR, over full travel; and ear axis (overall positioning) for turning ma- a.5. Slide perpendicularity less (better) chines; or than 0.001 mm per 300 mm of travel; d. Machine tools, as follows, for removing or cutting metals, ceramics or composites, TECHNICAL NOTE: The bidirectional slide that, according to the manufacturer’s tech- positioning repeatability (R) of an axis is the nical specifications, can be equipped with maximum value of the repeatability of posi- electronic devices for simultaneous tioning at any position along or around the ‘‘contouring control’’ in two or more axes: axis determined using the procedure and d.1. Machine tools for turning, grinding, under the conditions specified in part 2.11 of milling or any combination thereof, having ISO 230/2: 1988. two or more axes that can be coordinated si- b. Fly cutting machines having all of the multaneously for ‘‘contouring control’’ and following characteristics: having any of the following characteristics: b.1. Spindle ‘‘run out’’ and ‘‘camming’’ less d.1.a. One or more contouring ‘‘tilting (better) than 0.0004 mm TIR; and spindles’’; b.2. Angular deviation of slide movement NOTE: 2B991.d.1.a. applies to machine tools (yaw, pitch and roll) less (better) than 2 sec- for grinding or milling only. onds of arc, TIR, over full travel.

747 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

2B993 Gearmaking and/or finishing machin- Items: The list of items controlled is con- ery not controlled by 2B003 capable of tained in the ECCN heading. producing gears to a quality level of better than AGMA 11. 2B998 Assemblies, units or inserts specially LICENSE REQUIREMENTS designed for machine tools controlled by Reason for Control: AT 2B991, or for equipment controlled by 2B993, 2B996 or 2B997. Control(s) Country chart LICENSE REQUIREMENTS Reason for Control: AT AT applies to entire entry ...... AT Column 1 Control(s) Country chart LICENSE EXCEPTIONS LVS: N/A AT applies to entire entry ...... AT Column 1 GBS: N/A CIV: N/A LICENSE EXCEPTIONS LIST OF ITEMS CONTROLLED LVS: N/A Unit: $ value GBS: N/A Related Controls: N/A CIV: N/A Related Definitions: N/A LIST OF ITEMS CONTROLLED Items: The list of items controlled is con- Unit: $ value tained in the ECCN heading. Related Controls: This entry does not control measuring interferometer systems, with- 2B996 Dimensional inspection or measuring out closed or open loop feedback, con- systems or equipment not controlled by taining a laser to measure slide movement 2B006. errors of machine-tools, dimensional in- LICENSE REQUIREMENTS spection machines or similar equipment. Reason for Control: AT Related Definition: N/A Items: a. Spindle assemblies, consisting of Control(s) Country chart spindles and bearings as a minimal assembly, with radial (‘‘run out’’) or axial (‘‘camming’’) AT applies to entire entry ...... AT Column 1 axis motion in one revolution of the spindle less (better) than 0.0006 mm total indicator LICENSE EXCEPTIONS reading (TIR); LVS: N/A b. Single point diamond cutting tool in- GBS: N/A serts, having all of the following characteris- CIV: N/A tics: LIST OF ITEMS CONTROLLED b.1. Flawless and chip-free cutting edge Unit: Equipment in number when magnified 400 times in any direction; Related Controls: N/A b.2. Cutting radius from 0.1 to 5 mm inclu- Related Definitions: N/A sive; and Items: a. Manual dimensional inspection ma- b.3. Cutting radius out-of-roundness less chines, having both of the following char- (better) than 0.002 mm TIR. acteristics: c. Specially designed printed circuit boards a.1. Two or more axes; and with mounted components capable of upgrad- a.2. A measurement uncertainty equal to ing, according to the manufacturer’s speci- or less (better) than (3 + L/300) micrometer in fications, ‘‘numerical control’’ units, ma- any axes (L measured length in mm). chine tools or feedback devices to or above 2B997 ‘‘Robots’’ not controlled by 2B007 or the levels specified in ECCNs 2B991, 2B993, 2B207 that are capable of employing feed- 2B996, 2B997, or 2B998. back information in real-time processing 2B999 Specific Processing Equipment, n.e.s., from one or more sensors to generate or as Follows (See List of Items Controlled). modify ‘‘programs’’ or to generate or mod- LICENSE REQUIREMENTS ify numerical program data. Reason for Control: AT. LICENSE REQUIREMENTS Control(s). Reason for Control: AT Country Chart. Control(s) Country chart AT applies to entire entry. A license is required for items controlled by this entry to AT applies to entire entry ...... AT Column 1 North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to LICENSE EXCEPTIONS determine AT licensing requirements for LVS: N/A this entry. See § 742.19 of the EAR for addi- GBS: N/A tional information. CIV: N/A LICENSE EXCEPTIONS LIST OF ITEMS CONTROLLED LVS: N/A Unit: $ value GBS: N/A Related Controls: N/A CIV: N/A Related Definitions: N/A LIST OF ITEMS CONTROLLED

748 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Unit: $ value. LICENSE EXCEPTIONS Related Controls: See also 0B001, 0B002, 0B004, CIV: N/A 1B233, 2A293, 2B001.f, 2B004, 2B009, 2B104, TSR: Yes, except N/A for MT 2B109, 2B204, 2B209, 2B228, 2B229, 2B231, STA: License Exception STA may not be 2B350. used to ship or transmit ‘‘software’’, other Related Definitions: N/A than that specified by ECCN 2D002, spe- Items: a. Isostatic presses, n.e.s.; cially designed for the ‘‘development’’ or b. Bellows manufacturing equipment, in- ‘‘production’’ of equipment as follows: cluding hydraulic forming equipment and ECCN 2B001 entire entry; or ‘‘Numerically bellows forming dies; controlled’’ or manual machine tools as c. Laser welding machines; specified in 2B003 to any of the eight des- d. MIG welders; tinations listed in § 740.20(c)(2) of the EAR. e. E-beam welders; LIST OF ITEMS CONTROLLED f. Monel equipment, including valves, pip- Unit: $ value ing, tanks and vessels; Related Controls: (1) See ECCNs 2E001 (‘‘devel- g. 304 and 316 stainless steel valves, piping, opment’’) and 2E101 (‘‘use’’) for technology tanks and vessels; for ‘‘software’’ controlled under this entry. h. Mining and drilling equipment, as fol- (2) Also see ECCNs 2D101 and 2D201. lows: Related Definitions: N/A h.1. Large boring equipment capable of Items: The list of items controlled is con- drilling holes greater than two feet in diame- tained in the ECCN heading. ter; h.2. Large earth-moving equipment used in 2D002 ‘‘Software’’ for electronic devices, the mining industry; even when residing in an electronic de- i. Electroplating equipment designed for vice or system, enabling such devices or coating parts with nickel or aluminum; systems to function as a ‘‘numerical con- j. Pumps designed for industrial service trol’’ unit, capable of coordinating simul- and for use with an electrical motor of 5 HP taneously more than 4 axes for or greater; ‘‘contouring control’’. k. Vacuum valves, piping, flanges, gaskets LICENSE REQUIREMENTS and related equipment specially designed for Reason for Control: NS, NP, AT use in high-vacuum service, n.e.s.; l. Spin forming and flow forming machines, Control(s) Country chart n.e.s.; NS applies to entire entry ...... NS Column 1. m. Centrifugal multiplane balancing ma- NP applies to entire entry ...... NP Column 1. chines, n.e.s.; AT applies to entire entry ...... AT Column 1. n. Austenitic stainless steel plate, valves, piping, tanks and vessels. LICENSE EXCEPTIONS CIV: N/A C. MATERIALS [RESERVED] TSR: Yes D. SOFTWARE LIST OF ITEMS CONTROLLED Unit: $ value. Related Controls: (1) See ECCNs 2E001 (‘‘devel- 2D001 ‘‘Software’’, other than that con- opment’’) and 2E201 (‘‘use’’) for technology trolled by 2D002, specially designed or for ‘‘software’’ controlled under this entry. modified for the ‘‘development’’, ‘‘produc- (2) Also see ECCN 2D202. tion’’ or ‘‘use’’ of equipment controlled by Related Definitions: N/A 2A001 or 2B001 to 2B009. Items: The list of items controlled is con- LICENSE REQUIREMENTS tained in the ECCN heading. Reason for Control: NS, MT, NP, AT NOTE 1: 2D002 does not control ‘‘software’’ Control(s) Country chart specially designed or modified for the operation of machine tools not controlled by Cat- NS applies to entire entry ...... NS Column 1 egory 2. MT applies to ‘‘software’’ for equip- MT Column 1 ment controlled by 2B004 and NOTE 2: 2D002 does not control ‘‘software’’ 2B009 for MT reasons. for items controlled by 2B002. See 2D001 for NP applies to specially designed or NP Column 1 control of ‘‘software’’ for items controlled by modified ‘‘software’’ for equipment 2B002. controlled by 2B001 for NP reasons, and to specially designed 2D018 ‘‘Software’’ for the ‘‘development’’, ‘‘software’’ for equipment con- ‘‘production’’ or ‘‘use’’ of equipment controlled by 2B004, 2B006, 2B007, trolled by 2B018. or 2B009 for NP reasons. LICENSE REQUIREMENTS AT applies to entire entry ...... AT Column 1 Reason for Control: NS, MT, AT, UN

LICENSE REQUIREMENT NOTES: See § 743.1 of Control(s) Country chart the EAR for reporting requirements for exports under License Exceptions. NS applies to entire entry ...... NS Column 1.

749 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Control(s) Country chart ECCN Controls: ‘‘Software’’ specially designed for systems controlled by 2B206.b in- MT applies to ‘‘software’’ for equip- MT Column 1. cludes software for simultaneous measurement controlled by 2B018 for MT ments of wall thickness and contour. reasons. AT applies to entire entry ...... AT Column 1. Items: The list of items controlled is con- UN applies to entire entry ...... Iraq, North Korea, and tained in the ECCN heading. Rwanda. 2D202 ‘‘Software’’ specially designed or LICENSE EXCEPTIONS modified for the ‘‘development’’, ‘‘produc- CIV: N/A tion’’ or ‘‘use’’ of equipment controlled by TSR: Yes, except N/A for Rwanda 2B201. LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: $ value Reason for Control: NP, AT Related Controls: N/A Related Definitions: N/A Control(s) Country chart Items: The list of items controlled is contained in the ECCN heading. NP applies to entire entry ...... NP Column 1 AT applies to entire entry ...... AT Column 1 2D101 ‘‘Software’’ specially designed or modified for the ‘‘use’’ of equipment con- LICENSE EXCEPTIONS trolled by 2B104, 2B105, 2B109, 2B116, CIV: N/A 2B117, or 2B119 to 2B122. TSR: N/A LICENSE REQUIREMENTS LIST OF ITEMS CONTROLLED Reason for Control: MT, NP, AT Unit: $ value Related Controls: N/A Control(s) Country chart Related Definitions: N/A MT applies to entire entry ...... MT Column 1. Items: The list of items controlled is con- NP applies to ‘‘software’’ specially NP Column 1. tained in the ECCN heading. designed for the use’’ of items controlled by 2B104, 2B109, or 2D290 ‘‘Software’’ specially designed or 2B116 for NP reasons. modified for the ‘‘development’’, ‘‘produc- AT applies to entire entry ...... AT Column 1. tion’’ or ‘‘use’’ of items controlled by 2A290, 2A291, 2A292, 2A293, or 2B290. LICENSE EXCEPTIONS LICENSE REQUIREMENTS CIV: N/A Reason for Control: NP, AT TSR: N/A LIST OF ITEMS CONTROLLED Control(s) Country chart Unit: $ value Related Controls: (1) See ECCNs 2E001 (‘‘devel- NP applies to entire entry ...... NP Column 2 opment’’) and 2E101 (‘‘use’’) for technology AT applies to entire entry ...... AT Column 1 for ‘‘software’’ controlled under this entry. (2) Also see ECCN 9D004. LICENSE EXCEPTIONS Related Definitions: N/A CIV: N/A Items: The list of items controlled is con- TSR: N/A tained in the ECCN heading. LIST OF ITEMS CONTROLLED 2D201 ‘‘Software’’ specially designed for the Unit: $ value ‘‘use’’ of equipment controlled by 2B204, Related Controls: See ECCN 2E001 (‘‘develop- 2B206, 2B207, 2B209, 2B227 or 2B229. ment’’) for technology for ‘‘software’’ con- LICENSE REQUIREMENTS trolled under this entry. Reason for Control: NP, AT Related Definitions: N/A Items: The list of items controlled is con- Control(s) Country chart tained in the ECCN heading.

NP applies to entire entry ...... NP Column 1 2D351 Dedicated ‘‘software’’ for toxic gas AT applies to entire entry ...... AT Column 1 monitoring systems and their dedicated detecting components controlled by LICENSE EXCEPTIONS ECCN 2B351. CIV: N/A License Requirements TSR: N/A Reason for Control: CB, AT LIST OF ITEMS CONTROLLED Unit: $ value Control(s) Country Related Controls: (1) See ECCNs 2E001 (‘‘de- chart velopment’’) and 2E201 (‘‘use’’) for technology for ‘‘software’’ controlled under CB applies to entire entry ...... CB Col- this entry. (2) Also see ECCNs 2D002 and umn 2. 2D202. AT applies to entire entry ...... AT Col- umn 1. Related Definitions: N/A

750 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LICENSE EXCEPTIONS GHz and having a spatial resolution greater than 1 milliradian spatial resolution (a CIV: N/A. higher milliradian number means a less ac- TSR: N/A. curate image resolution) at a standoff dis- LIST OF ITEMS CONTROLLED Unit: $ value. tance of 100 meters is designated as EAR99. Related Controls: N/A. (3) See ECCNs 2A984 and 2E984 for related Related Definitions: (1) For the purposes of commodity and technology controls. this entry, the term ‘‘dedicated’’ means Related Definitions: N/A. committed entirely to a single purpose or Items: The list of items controlled is con- device. (2) See Section 772.1 of the EAR for tained in the ECCN heading. the definitions of ‘‘software,’’ ‘‘program,’’ 2D991 ‘‘Software’’ specially designed for the and ‘‘microprogram.’’ ‘‘development’’, ‘‘production’’, or ‘‘use’’ of Items: The list of items controlled is con- equipment controlled by 2B991, 2B993, or tained in the ECCN heading. 2B996, 2B997, and 2B998. 2D983 ‘‘Software’’ specially designed or LICENSE REQUIREMENTS modified for the ‘‘development’’, ‘‘produc- Reason for Control: AT tion’’ or ‘‘use’’ of equipment controlled by Control(s) Country chart 2A983. LICENSE REQUIREMENTS AT applies to entire entry ...... AT Column 1 Reason for Control:RS, AT LICENSE EXCEPTIONS Control(s) Country chart CIV: N/A RS applies to entire entry ...... RS Column 2 TSR: N/A AT applies to entire entry ...... AT Column 1 LIST OF ITEMS CONTROLLED Unit: $ value LICENSE EXCEPTIONS Related Controls: N/A CIV: N/A Related Definitions: N/A TSR: N/A Items: The list of items controlled is con- LIST OF ITEMS CONTROLLED tained in the ECCN heading. Unit: $ value Related Controls: N/A 2D992 Specific ‘‘software’’, as follows (see Related Definitions: N/A List of Items Controlled). Items: The list of items controlled is con- LICENSE REQUIREMENTS tained in the ECCN heading. Reason for Control: AT

2D984 ‘‘Software’’ ‘‘required’’ for the ‘‘devel- Control(s) Country chart opment’’, ‘‘production’’ or ‘‘use’’ of con- AT applies to entire entry ...... AT Column 1 cealed object detection equipment controlled by 2A984. LICENSE EXCEPTIONS LICENSE REQUIREMENTS N/A Reason for Control: RS, AT CIV: TSR: N/A Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: $ value RS applies to entire entry ...... RS Column 2. Related Controls: N/A AT applies to entire entry ...... AT Column 1. Related Definitions: N/A LICENSE EXCEPTIONS Items: a. ‘‘Software’’ to provide ‘‘adaptive CIV: N/A control’’ and having both of the following TSR: N/A characteristics: LIST OF ITEMS CONTROLLED a.1. For ‘‘flexible manufacturing units’’ Unit: $ value (FMUs) which consist at least of equipment Related Controls: (1) ‘‘Software’’ ‘‘required’’ described in b.1 and b.2 of the definition of for the ‘‘development’’, ‘‘production’’ or ‘‘flexible manufacturing unit’’ contained in ‘‘use’’ of concealed object detection equip- part 772 of the EAR; and ment operating in the frequency range a.2. Capable of generating or modifying, in from 30 GHz to 3000 GHz and having a spa- ‘‘real time processing’’, programs or data by tial resolution less than 0.5 milliradian (a using the signals obtained simultaneously by lower milliradian number means a more means of at least two detection techniques, accurate image resolution) at a standoff such as: distance of 100 meters is under the export a.2.a. Machine vision (optical ranging); licensing authority of the U.S. Department a.2.b. Infrared imaging; of State (22 CFR parts 120 through 130). (2) a.2.c. Acoustical imaging (acoustical rang- ‘‘Software’’ ‘‘required’’ for the ‘‘developing); ment’’, ‘‘production’’ or ‘‘use’’ of concealed a.2.d. Tactile measurement; object detection equipment operating in a.2.e. Inertial positioning; the frequency range from 30 GHz to 3000 a.2.f. Force measurement; and

751 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

a.2.g. Torque measurement. Control(s) Country chart NOTE: 2D992.a does not control ‘‘software’’ CB applies to ‘‘technology’’ for equip- CB Column 2. which only provides rescheduling of func- ment controlled by 2B350 to tionally identical equipment within ‘‘flexible 2B352, valves controlled by 2A226 manufacturing units’’ using pre-stored part or 2A292 having the characteris- programs and a pre-stored strategy for the tics of those controlled by distribution of the part programs. 2B350.g, and software controlled by 2D351. b. Reserved. AT applies to entire entry ...... AT Column 1. 2D994 ‘‘Software’’ specially designed for the ‘‘development’’ or ‘‘production’’ of port- LICENSE REQUIREMENT NOTES: See § 743.1 of able electric generators controlled by the EAR for reporting requirements for ex- 2A994. ports under License Exceptions. LICENSE REQUIREMENTS LICENSE EXCEPTIONS Reason for Control: AT. CIV: N/A Control(s): AT applies to entire entry. A li- TSR: Yes, except N/A for MT cense is required for items controlled by STA: License Exception STA may not be this entry to Cuba, Iran and North Korea used to ship or transmit ‘‘technology’’ ac- for anti-terrorism reasons. The Commerce cording to the General Technology Note Country Chart is not designed to deter- for the ‘‘development’’ of ‘‘software’’ speci- mine licensing requirements for this entry. fied in the License Exception STA para- See part 746 of the EAR for additional in- graph in the License Exception section of formation on Cuba and Iran. See § 742.19 of ECCN 2D001 or for the ‘‘development’’ of the EAR for additional information on equipment as follows: ECCN 2B001 entire North Korea. entry; or ‘‘Numerically controlled’’ or LICENSE EXCEPTIONS manual machine tools as specified in 2B003 CIV: N/A to any of the eight destinations listed in TSR: N/A § 740.20(c)(2) of the EAR. LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: $ value Unit: N/A Related Controls: N/A Related Controls: See also 2E101, 2E201, and Related Definitions: N/A 2E301 Items: The list of items controlled is con- Related Definitions: N/A tained in the ECCN heading. Items: The list of items controlled is con- E. TECHNOLOGY tained in the ECCN heading. 2E001 ‘‘Technology’’ according to the Gen- 2E002 ‘‘Technology’’ according to the Gen- eral Technology Note for the ‘‘develop- eral Technology Note for the ‘‘produc- ment’’ of equipment or ‘‘software’’ con- tion’’ of equipment controlled by 2A (ex- trolled by 2A (except 2A983, 2A984, 2A991, cept 2A983, 2A984, 2A991, or 2A994), or 2B or 2A994), 2B (except 2B991, 2B993, (except 2B991, 2B993, 2B996, 2B997, or 2B996, 2B997, or 2B998), or 2D (except 2B998). 2D983, 2D984, 2D991, 2D992, or 2D994). LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: NS, MT, NP, CB, AT Reason for Control: NS, MT, NP, CB, AT Control(s) Country chart Control(s) Country chart NS applies to ‘‘technology’’ for equip- NS Column 1. NS applies to ‘‘technology’’ for items NS Column 1. ment controlled by 2A001, 2B001 controlled by 2A001, 2B001 to to 2B009. 2B009, 2D001 or 2D002. MT applies to ‘‘technology’’ for equip- MT Column 1. MT applies to ‘‘technology’’ for items MT Column 1. ment controlled by 2B004, 2B009, controlled by 2B004, 2B009, 2B018, 2B104, 2B105, 2B109, 2B018, 2B104, 2B105, 2B109, 2B116, 2B117, or 2B119 to 2B122 2B116, 2B117, 2B119 to 2B122, for MT reasons. 2D001, or 2D101 for MT reasons. NP applies to ‘‘technology’’ for equip- NP Column 1. NP applies to ‘‘technology’’ for items NP Column 1. ment controlled by 2A225, 2A226, controlled by 2A225, 2A226, 2B001, 2B004, 2B006, 2B007, 2B001, 2B004, 2B006, 2B007, 2B009, 2B104, 2B109, 2B116, 2B009, 2B104, 2B109, 2B116, 2B201, 2B204, 2B206, 2B207, 2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B232 for NP 2B209, 2B225 to 2B232, 2D001, reasons. 2D002, 2D101, 2D201 or 2D202 NP applies to ‘‘technology’’ for equip- NP Column 2. for NP reasons. ment controlled by 2A290 to NP applies to ‘‘technology’’ for items NP Column 2. 2A293, 2B290 for NP reasons. controlled by 2A290 to 2A293, 2B290, or 2D290 for NP reasons.

752 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Control(s) Country chart b.2. Technical data consisting of process methods or parameters as listed below used CB applies to ‘‘technology’’ for equip- CB Column 2. to control: ment controlled by 2B350 to b.2.a. ‘‘Superplastic forming’’ of aluminum 2B352 and for valves controlled by alloys, titanium alloys or ‘‘superalloys’’: 2A226 or 2A292 having the characteristics of those controlled by b.2.a.1. Surface preparation; 2B350.g. b.2.a.2. Strain rate; AT applies to entire entry ...... AT Column 1. b.2.a.3. Temperature; b.2.a.4. Pressure; LICENSE REQUIREMENT NOTES: See § 743.1 of b.2.b. ‘‘Diffusion bonding’’ of ‘‘superalloys’’ the EAR for reporting requirements for ex- or titanium alloys: ports under License Exceptions. b.2.b.1. Surface preparation; LICENSE EXCEPTIONS b.2.b.2. Temperature; CIV: N/A b.2.b.3. Pressure; TSR: Yes, except N/A for MT STA: License Exception STA may not be b.2.c. ‘‘Direct-acting hydraulic pressing’’ of used to ship or transmit ‘‘technology’’ ac- aluminum alloys or titanium alloys: cording to the General Technology Note b.2.c.1. Pressure; for the ‘‘production’’ of equipment as fol- b.2.c.2. Cycle time; lows: ECCN 2B001 entire entry; or ‘‘Nu- b.2.d. ‘‘Hot isostatic densification’’ of tita- merically controlled’’ or manual machine nium alloys, aluminum alloys or ‘‘super- tools as specified in 2B003 to any of the alloys’’: eight destinations listed in § 740.20(c)(2) of b.2.d.1. Temperature; the EAR. b.2.d.2. Pressure; LIST OF ITEMS CONTROLLED b.2.d.3. Cycle time; Unit: N/A c. ‘‘Technology’’ for the ‘‘development’’ or Related Controls: N/A ‘‘production’’ of hydraulic stretch-forming Related Definitions: N/A machines and dies therefor, for the manufac- Items: The list of items controlled is con- ture of airframe structures; tained in the ECCN heading. d. ‘‘Technology’’ for the ‘‘development’’ of generators of machine tool instructions (e.g., 2E003 Other ‘‘technology’’, as follows (see part programs) from design data residing in- List of Items Controlled). side ‘‘numerical control’’ units; LICENSE REQUIREMENTS Reason for Control: NS, AT e. ‘‘Technology for the development’’ of integration ‘‘software’’ for incorporation of ex- Control(s) Country chart pert systems for advanced decision support of shop floor operations into ‘‘numerical con- NS applies to entire entry ...... NS Column 1 trol’’ units; AT applies to entire entry ...... AT Column 1 f. ‘‘Technology’’ for the application of inorganic overlay coatings or inorganic surface LICENSE EXCEPTIONS modification coatings (specified in column 3 CIV: N/A of the following table) to non-electronic sub- TSR: Yes, except 2E003.a, .b, .e and .f strates (specified in column 2 of the fol- LIST OF ITEMS CONTROLLED lowing table), by processes specified in col- Unit: N/A Related Controls: See 2E001, 2E002, and 2E101 umn 1 of the following table and defined in for ‘‘development’’ and ‘‘use’’ technology the Technical Note. for equipment that are designed or modi- N.B. This table should be read to control fied for densification of carbon-carbon the technology of a particular ‘Coating Proc- composites, structural composite rocket ess’ only when the resultant coating in col- nozzles and reentry vehicle nose tips. umn 3 is in a paragraph directly across from Related Definitions: N/A the relevant ‘Substrate’ under column 2. For Items: a. ‘‘Technology’’ for the ‘‘develop- example, Chemical Vapor Deposition (CVD) ment’’ of interactive graphics as an inte- ‘coating process’ technical data are con- grated part in ‘‘numerical control’’ units for trolled for the application of ‘silicides’ to preparation or modification of part pro- ‘Carbon-carbon, Ceramic and Metal ‘‘ma- grams; trix’’ ‘‘composites’’ substrates, but are not b. ‘‘Technology’’ for metal-working manu- controlled for the application of ‘silicides’ to facturing processes, as follows: ‘Cemented tungsten carbide (16), Silicon car- b.1. ‘‘Technology’’ for the design of tools, bide (18)’ substrates. In the second case, the dies or fixtures specially designed for any of resultant coating is not listed in the para- the following processes: graph under column 3 directly across from b.1.a. ‘‘Superplastic forming’’; the paragraph under column 2 listing ‘Ce- b.1.b. ‘‘Diffusion bonding’’; or mented tungsten carbide (16), Silicon carbide b.1.c. ‘‘Direct-acting hydraulic pressing’’; (18) ’.

753 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

CATEGORY 2E—MATERIALS PROCESSING TABLE; DEPOSITION TECHNIQUES

1. Coating process (1) 1 2. Substrate 3. Resultant coating

A. Chemical Vapor Deposition (CVD) ‘‘Superalloys’’ ...... Aluminides for internal passages Ceramics (19) and Low-expansion glass- Silicides Carbides es (14). Dielectric layers (15) Diamond Diamond- like carbon (17) Carbon-carbon, Ceramic, and Metal Silicides ‘‘matrix’’ ‘‘composites’’. Carbides Refractory metals, Mixtures thereof (4) Dielectric layers (15) Aluminides Alloyed aluminides (2) Boron nitride Cemented tungsten carbide (16), Silicon Carbides Carbide (18). Tungsten Mixtures thereof (4) Dielectric layers (15) Molybdenum and Molybdenum alloys ..... Dielectric Players (15) Beryllium and Beryllium alloys ...... Dielectric layers (15) Diamond Diamond-like carbon (17) Sensor window materials (9) ...... Dielectric layers (15) Diamond Diamond-like carbon (17) B. Thermal Evaportation Physical Vapor 1. Physical Vapor Deposition ‘‘Superalloys’’ ...... Alloyed silicides (PVD): Deposition (TE-PVD) Alloyed aluminides (2) Electron-Beam (EB-PVD). McrAlX (5) Modified zirconia (12) Silicides Aluminides Mixtures thereof (4) Ceramics (19) and Low-expansion glass- Dielectric layers (15) es (14). Corrosion resistant steel (7) ...... MCrAIX (5) Modified zirconia (12) Mixtures thereof (4) Carbon-carbon, Ceramic and Metal Silicides ‘‘matrix’’ ‘‘composites’’. Carbides Refractory metals Mixtures thereof (4) Dielectric layers (15) Boron nitride Cemented tungsten carbide (16), Silicon Carbides carbide (18). Tungsten Mixtures thereof (4) Dielectric layers (15) Molybdenum and Molybdenum alloys ..... Dielectric layers (15) Beryllium and Beryllium alloys ...... Dielectric layers (15) Borides Beryllium Sensor window materials (9) ...... Dielectric layers (15) Titanium alloys (13) ...... Borides Nitrides 2. Ion assisted resistive heating. Ceramics (19) and Low-expansion glass- Dielectric layers (15) Physical Vapor Deposition es (14). Diamond-like carbon (17) (PVD) (Ion Plating). Carbon-carbon, Ceramic and Metal Dielectric layers (15) ‘‘matrix’’ ‘‘composites’’. Cemented tungsten carbide (16), Silicon Dielectric layers (15) carbide. Molybdenum and Molybdenum alloys ..... Dielectric layers (15) Beryllium and Beryllium alloys ...... Dielectric layers (15) Sensor window materials (9) ...... Dielectric layers (15) Diamond-like carbon (17) 3. Physical Vapor Deposition (PVD): Ceramics (19) and Low-expansion glass- Silicides ‘‘Laser’’ Vaporization. es (14). Dielectric layers (15) Diamond-like carbon (17) Carbon-carbon, Ceramic and Metal Dielectric layers (15) ‘‘matrix’’ ‘‘composites’’. Cemented tungsten carbide (16), Silicon Dielectric layers (15) carbide. Molybdenum and Molybdenum alloys ..... Dielectric layers (15) Beryllium and Beryllium alloys ...... Dielectric layers (15)

754 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

CATEGORY 2E—MATERIALS PROCESSING TABLE; DEPOSITION TECHNIQUES—Continued

1. Coating process (1) 1 2. Substrate 3. Resultant coating

Sensor window materials (9) ...... Dielectric layers (15) Diamond-like carbon 4. Physical Vapor Deposition (PVD): ‘‘Superalloys’’ ...... Alloyed silicides Cathodic Arc Discharge. Alloyed Aluminides (2) MCrAlX (5) Polymers (11) and Organic ‘‘matrix’’ Borides ‘‘composites’’. Carbides Nitrides Diamond-like carbon (17) C. Pack cementation (see A above for Carbon-carbon, Ceramic and Metal Silicides out-of-pack cementation) (10). ‘‘matrix’’ ‘‘composites’’. Carbides Mixtures thereof (4) Titanium alloys (13) ...... Silicides Aluminides Alloyed aluminides (2) Refractory metals and alloys (8) ...... Silicides Oxides D. Plasma spraying ...... ‘‘Superalloys’’ ...... MCrAlX (5) Modified zirconia (12) Mixtures thereof (4) Abradable Nickel-Graphite Abradable materials containing Ni-Cr-Al Abradable Al-Si-Polyester Alloyed aluminides (2) Aluminum alloys (6) ...... MCrAIX (5) Modified zirconia (12) Silicides Mixtures thereof (4) Refractory metals and alloys (8), Car- Aluminides bides, Corrosion resistant steel (7). Silicides MCrAIX (5) Modified zirconia (12) Mixtures thereof (4) Titanium alloys (13) ...... Carbides Aluminides Silicides Alloyed aluminides (2) Abradable, Nickel-Graphite ...... Abradable materials containing Ni-Cr-Al Abradable Al-Si-Polyester E. Slurry Deposition ...... Refractory metals and alloys (8) ...... Fused silicides Fused aluminides except for resistance heating elements Carbon-carbon, Ceramic and Metal Silicides ‘‘matrix’’ ‘‘composites’’. Carbides Mixtures thereof (4) F. Sputter Deposition ...... ‘‘Superalloys’’ ...... Alloyed silicides Alloyed aluminides (2) Noble metal modified aluminides (3) McrAlX (5) Modified zirconia (12) Platinum Mixtures thereof (4) Ceramics and Low-expansion glasses Silicides (14). Platinum Mixtures thereof (4) Dielectric layers (15) Diamond-like carbon (17) Titanium alloys (13) ...... Borides Nitrides Oxides Silicides Aluminides Alloyed aluminides (2) Carbides Carbon-carbon, Ceramic and Metal Silicides ‘‘matrix’’ ‘‘Composites’’. Carbides Refractory metals Mixtures thereof (4) Dielectric layers (15) Boron nitride

755 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

CATEGORY 2E—MATERIALS PROCESSING TABLE; DEPOSITION TECHNIQUES—Continued

1. Coating process (1) 1 2. Substrate 3. Resultant coating

Cemented tungsten carbide (16), Silicon Carbides carbide (18). Tungsten Mixtures thereof (4) Dielectric layers (15) Boron nitride Molybdenum and Molybdenum alloys ..... Dielectric layers (15) Beryllium and Beryllium alloys ...... Borides Dielectric layers (15) Beryllium Sensor window materials (9) ...... Dielectric layers (15) Diamond-like carbon (17) Refractory metals and alloys (8) ...... Aluminides Silicides Oxides Carbides G. Ion Implantation ...... High temperature bearing steels ...... Additions of Chromium, Tantalum, or Ni- obium (Columbium) Titanium alloys (13) ...... Borides Nitrides Beryllium and Beryllium alloys ...... Borides Cemented tungsten carbide (16) ...... Carbides Nitrides 1 The numbers in parenthesis refer to the Notes following this Table.

Notes to Table on Deposition Techniques c. NiCrAlY coatings which contain 21 to 1. The term ‘coating process’ includes coat- 23% by weight of chromium, 10 to 12% by ing repair and refurbishing as well as origi- weight of aluminum and 0.9 to 1.1% by nal coating. weight of yttrium. 2. The term ‘alloyed aluminide coating’ in- 6. The term ‘aluminum alloys’ refers to al- cludes single or multiple-step coatings in loys having an ultimate tensile strength of which an element or elements are deposited 190 MPa or more measured at 293 K (20 °C). prior to or during application of the 7. The term ‘corrosion resistant steel’ re- aluminide coating, even if these elements fers to AISI (American Iron and Steel Insti- are deposited by another coating process. It tute) 300 series or equivalent national stand- does not, however, include the multiple use ard steels. of single-step pack cementation processes to 8. ‘Refractory metals and alloys’ include achieve alloyed aluminides. the following metals and their alloys: niobium (columbium), molybdenum, tungsten 3. The term ‘noble metal modified and tantalum. aluminide’ coating includes multiple-step 9. ‘Sensor window materials’, as follows: coatings in which the noble metal or noble alumina, silicon, germanium, zinc sulphide, metals are laid down by some other coating zinc selenide, gallium arsenide, diamond, process prior to application of the aluminide gallium phosphide, sapphire and the fol- coating. lowing metal halides: sensor window mate- 4. The term ‘mixtures thereof’ includes in- rials of more than 40 mm diameter for zir- filtrated material, graded compositions, co- conium fluoride and hafnium fluoride. deposits and multilayer deposits and are ob- 10. ‘‘Technology’’ for single-step pack ce- tained by one or more of the coating proc- mentation of solid airfoils is not controlled esses specified in the Table. by Category 2. 5. MCrAlX refers to a coating alloy where 11. ‘Polymers’, as follows: polyimide, poly- M equals cobalt, iron, nickel or combina- ester, polysulfide, polycarbonates and tions thereof and X equals hafnium, yttrium, polyurethanes. silicon, tantalum in any amount or other in- 12. ‘Modified zirconia’ refers to additions of tentional additions over 0.01% by weight in other metal oxides, (e.g., calcia, magnesia, various proportions and combinations, ex- yttria, hafnia, rare earth oxides) to zirconia cept: in order to stabilize certain crystallographic a. CoCrAlY coatings which contain less phases and phase compositions. Thermal bar- than 22% by weight of chromium, less than rier coatings made of zirconia, modified with 7% by weight of aluminum and less than 2% calcia or magnesia by mixing or fusion, are by weight of yttrium; not controlled. b. CoCrAlY coatings which contain 22 to 13. ‘Titanium alloys’ refers only to aero- 24% by weight of chromium, 10 to 12% by space alloys having an ultimate tensile weight of aluminum and 0.5 to 0.7% by strength of 900 MPa or more measured at 293 weight of yttrium; or K (20 °C).

756 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

14. ‘Low-expansion glasses’ refers to glass- b. Thermal Evaporation-Physical Vapor es which have a coefficient of thermal expan- Deposition (TE-PVD) is an overlay coating sion of 1 × 10¥7 K¥1 or less measured at 293 process conducted in a vacuum with a pres- K (20 °C). sure less than 0.1 Pa wherein a source of 15. ‘Dielectric layers’ coatings constructed thermal energy is used to vaporize the coat- of multi-layers of insulator materials in ing material. This process results in the con- which the interference properties of a design densation, or deposition, of the evaporated composed of materials of various refractive species onto appropriately positioned sub- indices are used to reflect, transmit or ab- strates. The addition of gases to the vacuum sorb various wavelength bands. Dielectric chamber during the coating process to syn- layers refers to more than four dielectric thesize compound coatings is an ordinary layers or dielectric/metal ‘‘composite’’ lay- modification of the process. The use of ion or ers. electron beams, or plasma, to activate or as- 16. ‘Cemented tungsten carbide’ does not sist the coating’s deposition is also a com- include cutting and forming tool materials mon modification in this technique. The use consisting of tungsten carbide/(cobalt, nick- of monitors to provide in-process measure- el), titanium carbide/(cobalt, nickel), chro- ment of optical characteristics and thick- mium carbide/nickel-chromium and chro- ness of coatings can be a feature of these mium carbide/nickel. processes. Specific TE-PVD processes are as 17. ‘‘Technology’’ specially designed to de- follows: posit diamond-like carbon on any of the fol- 1. Electron Beam PVD uses an electron lowing is not controlled: magnetic disk beam to heat and evaporate the material drives and heads, equipment for the manu- which forms the coating; facture of disposables, valves for faucets, 2. Ion Assisted Resistive Heating PVD em- acoustic diaphragms for speakers, engine ploys electrically resistive heating sources parts for automobiles, cutting tools, punch- in combination with impinging ion beam(s) ing-pressing dies, office automation equip- to produce a controlled and uniform flux of ment, microphones, medical devices or evaporated coating species; molds, for casting or molding of plastics, 3. ‘‘Laser’’ Vaporization uses either pulsed manufactured from alloys containing less or continuous wave ‘‘laser’’ beams to vapor- than 5% beryllium. ize the material which forms the coating; 18. ‘Silicon carbide’ does not include cut- 4. Cathodic Arc Deposition employs a ting and forming tool materials. consumable cathode of the material which 19. Ceramic substrates, as used in this forms the coating and has an arc discharge entry, does not include ceramic materials established on the surface by a momentary containing 5% by weight, or greater, clay or contact of a ground trigger. Controlled mo- cement content, either as separate constitu- tion of arcing erodes the cathode surface cre- ents or in combination. ating a highly ionized plasma. The anode can TECHNICAL NOTE TO TABLE ON DEPOSITION be either a cone attached to the periphery of TECHNIQUES: Processes specified in Column 1 the cathode, through an insulator, or the of the Table are defined as follows: chamber. Substrate biasing is used for non a. Chemical Vapor Deposition (CVD) is an line-of-sight deposition. overlay coating or surface modification coat- NOTE: This definition does not include ran- ing process wherein a metal, alloy, ‘‘com- dom cathodic arc deposition with non-biased posite’’, dielectric or ceramic is deposited upon a heated substrate. Gaseous reactants substrates. are decomposed or combined in the vicinity 5. Ion Plating is a special modification of a of a substrate resulting in the deposition of general TE-PVD process in which a plasma the desired elemental, alloy or compound or an ion source is used to ionize the species material on the substrate. Energy for this to be deposited, and a negative bias is ap- decomposition or chemical reaction process plied to the substrate in order to facilitate may be provided by the heat of the sub- the extraction of the species from the plas- strate, a glow discharge plasma, or ‘‘laser’’ ma. The introduction of reactive species, irradiation. evaporation of solids within the process NOTE 1: CVD includes the following proc- chamber, and the use of monitors to provide esses: directed gas flow out-of-pack deposi- in-process measurement of optical character- tion, pulsating CVD, controlled nucleation istics and thicknesses of coatings are ordi- thermal decomposition (CNTD), plasma en- nary modifications of the process. hanced or plasma assisted CVD processes. c. Pack Cementation is a surface modifica- NOTE 2: Pack denotes a substrate immersed tion coating or overlay coating process in a powder mixture. wherein a substrate is immersed in a powder NOTE 3: The gaseous reactants used in the mixture (a pack), that consists of: out-of-pack process are produced using the 1. The metallic powders that are to be de- same basic reactions and parameters as the posited (usually aluminum, chromium, sil- pack cementation process, except that the icon or combinations thereof); substrate to be coated is not in contact with 2. An activator (normally a halide salt); the powder mixture. and

757 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

3. An inert powder, most frequently alu- 2. Time in bath; mina. 3. Temperature of bath; NOTE: The substrate and powder mixture is 4. Number and sequences of wash cycles; contained within a retort which is heated to b. Visual and macroscopic criteria for ac- between 1,030 K (757 °C) to 1,375 K (1,102 °C) ceptance of the cleaned part; for sufficient time to deposit the coating. c. Heat treatment cycle parameters, as fol- d. Plasma Spraying is an overlay coating lows: process wherein a gun (spray torch) which 1. Atmosphere parameters, as follows: produces and controls a plasma accepts pow- a. Composition of the atmosphere; der or wire coating materials, melts them b. Pressure of the atmosphere; and propels them towards a substrate, 2. Temperature for heat treatment; whereon an integrally bonded coating is 3. Time of heat treatment; formed. Plasma spraying constitutes either d. Substrate surface preparation param- low pressure plasma spraying or high veloc- eters, as follows: ity plasma spraying. 1. Grit blasting parameters, as follows: a. Grit composition; NOTE 1: Low pressure means less than am- b. Grit size and shape; bient atmospheric pressure. c. Grit velocity; NOTE 2: High velocity refers to nozzle-exit 2. Time and sequence of cleaning cycle gas velocity exceeding 750 m/s calculated at after grit blast; 293 K (20 °C) at 0.1 MPa. 3. Surface finish parameters; e. Slurry Deposition is a surface modifica- 4. Application of binders to promote adhe- tion coating or overlay coating process sion; wherein a metallic or ceramic powder with e. Masking technique parameters, as fol- an organic binder is suspended in a liquid lows: and is applied to a substrate by either spray- 1. Material of mask; ing, dipping or painting, subsequent air or 2. Location of mask; oven drying, and heat treatment to obtain 2. ‘‘Technology’’ for in situ quality assur- the desired coating. ance techniques for evaluation of the coating f. Sputter Deposition is an overlay coating processes listed in the Table, as follows: process based on a momentum transfer phe- a. Atmosphere parameters, as follows: nomenon, wherein positive ions are acceler- 1. Composition of the atmosphere; ated by an electric field towards the surface 2. Pressure of the atmosphere; of a target (coating material). The kinetic b. Time parameters; energy of the impacting ions is sufficient to c. Temperature parameters; cause target surface atoms to be released d. Thickness parameters; and deposited on an appropriately positioned e. Index of refraction parameters; substrate. f. Control of composition; NOTE 1: The Table refers only to triode, 3. ‘‘Technology’’ for post deposition treat- magnetron or reactive sputter deposition ments of the coated substrates listed in the which is used to increase adhesion of the Table, as follows: coating and rate of deposition and to radio a. Shot peening parameters, as follows: frequency (RF) augmented sputter deposi- 1. Shot composition; tion used to permit vaporization of non-me- 2. Shot size; tallic coating materials. 3. Shot velocity; NOTE 2: Low-energy ion beams (less than 5 b. Post shot peening cleaning parameters; keV) can be used to activate the deposition. c. Heat treatment cycle parameters, as fol- g. Ion Implantation is a surface modifica- lows: tion coating process in which the element to 1. Atmosphere parameters, as follows: be alloyed is ionized, accelerated through a a. Composition of the atmosphere; potential gradient and implanted into the b. Pressure of the atmosphere; surface region of the substrate. This includes 2. Time-temperature cycles; processes in which ion implantation is per- d. Post heat treatment visual and macro- formed simultaneously with electron beam scopic criteria for acceptance of the coated physical vapor deposition or sputter deposi- substrates; tion. 4. ‘‘Technology’’ for quality assurance Accompanying Technical Information to techniques for the evaluation of the coated Table on Deposition Techniques: substrates listed in the Table, as follows: 1. ‘‘Technology’’ for pretreatments of the a. Statistical sampling criteria; substrates listed in the Table, as follows: b. Microscopic criteria for: a. Chemical stripping and cleaning bath 1. Magnification; cycle parameters, as follows: 2. Coating thickness, uniformity; 1. Bath composition; 3. Coating integrity; a. For the removal of old or defective coat- 4. Coating composition; ings corrosion product or foreign deposits; 5. Coating and substrates bonding; b. For preparation of virgin substrates; 6. Microstructural uniformity.

758 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

c. Criteria for optical properties assess- 3. Control techniques for ion beam and dep- ment (measured as a function of wave- osition rate parameters; length): 4. Time-temperature-pressure cycles; 1. Reflectance; 5. Coating material feed rate and vaporiza- 2. Transmission; tion rate; 3. Absorption; 6. Substrate temperature; 4. Scatter; 7. Substrate bias parameters. 5. ‘‘Technology’’ and parameters related to specific coating and surface modification 2E018 ‘‘Technology’’ for the ‘‘use’’ of equip- processes listed in the Table, as follows: ment controlled by 2B018. a. For Chemical Vapor Deposition (CVD): LICENSE REQUIREMENTS 1. Coating source composition and formula- Reason for Control: NS, MT, CC, RS, AT, UN tion; Control(s) Country chart 2. Carrier gas composition; 3. Substrate temperature; NS applies to entire entry ...... NS Column 1. 4. Time-temperature-pressure cycles; MT applies to ‘‘technology’’ for equip- MT Column 1. 5. Gas control and part manipulation; ment controlled by 2B018 for MT b. For Thermal Evaporation-Physical reasons. AT applies to entire entry ...... AT Column 1. Vapor Deposition (PVD): UN applies to entire entry ...... Iraq, North Korea, and 1. Ingot or coating material source com- Rwanda. position; 2. Substrate temperature; LICENSE REQUIREMENT NOTES: See § 743.1 of 3. Reactive gas composition; the EAR for reporting requirements for ex- 4. Ingot feed rate or material vaporization ports under License Exceptions. rate; CIV: N/A 5. Time-temperature-pressure cycles; TSR: Yes, except N/A for Rwanda 6. Beam and part manipulation; LIST OF ITEMS CONTROLLED 7. ‘‘Laser’’ parameters, as follows: Unit: N/A a. Wave length; Related Controls: N/A b. Power density; Related Definitions: N/A c. Pulse length; Items: The list of items controlled is con- d. Repetition ratio; tained in the ECCN heading. e. Source; c. For Pack Cementation: 2E101 ‘‘Technology’’ according to the Gen- 1. Pack composition and formulation; eral Technology Note for the ‘‘use’’ of 2. Carrier gas composition; equipment or ‘‘software’’ controlled by 3. Time-temperature-pressure cycles; 2B004, 2B009, 2B104, 2B105, 2B109, 2B116, d. For Plasma Spraying: 2B117, 2B119 to 2B122, 2D001, 2D002 or 1. Powder composition, preparation and 2D101. size distributions; LICENSE REQUIREMENTS 2. Feed gas composition and parameters; Reason for Control: MT, NP, AT 3. Substrate temperature; Control(s) Country chart 4. Gun power parameters; 5. Spray distance; MT applies to ‘‘technology’’ for items MT Column 1 6. Spray angle; controlled by 2B004, 2B009, 7. Cover gas composition, pressure and flow 2B104, 2B105, 2B109, 2B116, rates; 2B117, 2B119 to 2B122, 2D001, 8. Gun control and part manipulation; or 2D101 for MT reasons. NP applies to ‘‘technology’’ for items NP Column 1 e. For Sputter Deposition: controlled by 2B004, 2B009, 1. Target composition and fabrication; 2B104, 2B109, 2B116, 2D001, 2. Geometrical positioning of part and tar- 2D002 or 2D101 for NP reasons. get; AT applies to entire entry...... AT Column 1 3. Reactive gas composition; 4. Electrical bias; LICENSE EXCEPTIONS 5. Time-temperature-pressure cycles; CIV: N/A 6. Triode power; TSR: N/A 7. Part manipulation; LIST OF ITEMS CONTROLLED f. For Ion Implantation: Unit: N/A 1. Beam control and part manipulation; Related Controls: This entry controls only 2. Ion source design details; ‘‘technology’’ for 2B009 and 2B109 for spin 3. Control techniques for ion beam and dep- forming machines combining the functions osition rate parameters; of spin forming and flow forming, and flow 4. Time-temperature-pressure cycles. forming machines. (2) Also see 2E201. g. For Ion Plating: Related Definitions: N/A 1. Beam control and part manipulation; Items: The list of items controlled is con- 2. Ion source design details; tained in the ECCN heading.

759 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

2E201 ‘‘Technology’’ according to the Gen- LIST OF ITEMS CONTROLLED eral Technology Note for the ‘‘use’’ of Unit: N/A equipment or ‘‘software’’ controlled by Related Controls: N/A 2A225, 2A226, 2B001, 2B006, 2B007.b, Related Definitions: N/A 2B007.c, 2B201, 2B204, 2B206, 2B207, Items: The lists of items controlled are con- 2B209, 2B225 to 2B232, 2D002, 2D201 or tained in the ECCN headings. 2D202 for NP reasons. LICENSE REQUIREMENTS 2E983 ‘‘Technology’’ specially designed or Reason for Control: NP, CB, AT modified for the ‘‘development’’, ‘‘production’’ or ‘‘use’’ of equipment controlled by Control(s) Country chart 2A983, or the ‘‘development’’ of software controlled by 2D983. NP applies to entire entry ...... NP Column 1. LICENSE REQUIREMENTS CB applies to ‘‘technology’’ for valves CB Column 2. Reason for Control:RS, AT controlled by 2A226 that meet or exceed the technical parameters in Control(s) Country chart 2B350.g. AT applies to entire entry ...... AT Column 1. RS applies to entire entry ...... RS Column 2 AT applies to entire entry ...... AT Column 1 LICENSE EXCEPTIONS CIV: N/A LICENSE EXCEPTIONS TSR: N/A CIV: N/A LIST OF ITEMS CONTROLLED TSR: N/A Unit: N/A LIST OF ITEMS CONTROLLED Related Controls: Also see 2E290 and 2E991. Unit: N/A Related Definitions: N/A Related Controls: N/A Items: The list of items controlled is con- Related Definitions: N/A tained in the ECCN heading. Items: The list of items controlled is contained in the ECCN heading. 2E290 ‘‘Technology’’ according to the Gen- eral Technology Note for the ‘‘use’’ of 2E984 ‘‘Technology’’ ‘‘required’’ for the ‘‘de- equipment controlled by 2A290, 2A291, velopment’’, ‘‘production’’ or ‘‘use’’ of 2A292, 2A293, or 2B290. equipment controlled by 2A984 or ‘‘re- LICENSE REQUIREMENTS quired’’ for the ‘‘development’’ of ‘‘soft- Reason for Control: NP, CB, AT ware’’ controlled by 2D984. LICENSE REQUIREMENTS Control(s) Country chart Reason for Control: RS, AT NP applies to entire entry ...... NP Column 2. CB applies to ‘‘technology’’ for valves CB Column 2. Control(s) Country chart controlled by 2A292 that meet or RS applies to entire entry ...... RS Column 2. exceed the technical parameters in AT applies to entire entry ...... AT Column 1. 2B350.g. AT applies to entire entry ...... AT Column 1. LICENSE EXCEPTIONS CIV: N/A LICENSE EXCEPTIONS TSR: N/A CIV: N/A LIST OF ITEMS CONTROLLED TSR: N/A Unit: $ value LIST OF ITEMS CONTROLLED Related Controls: (1) ‘‘Technology’’ ‘‘re- Unit: N/A quired’’ for the ‘‘development’’, ‘‘produc- Related Controls: N/A tion’’ or ‘‘use’’ of concealed object detec- Related Definitions: N/A tion equipment operating in the frequency Items: The list of items controlled is con- range from 30 GHz to 3000 GHz and having tained in the ECCN heading. a spatial resolution less than 0.5 milliradian (a lower milliradian number 2E301 ‘‘Technology’’ according to the ‘‘Gen- means a more accurate image resolution) eral Technology Note’’ for the ‘‘use’’ of at a standoff distance of 100 meters or ‘‘re- items controlled by 2B350, 2B351 and quired’’ for the ‘‘development’’ of ‘‘soft- 2B352. ware’’ ‘‘required’’ for the ‘‘development’’, LICENSE REQUIREMENTS ‘‘production’’ or ‘‘use’’ of concealed object Reason for Control: CB, AT detection equipment operating in the fre- Control(s) Country chart quency range from 30 GHz to 3000 GHz and having a spatial resolution less than 0.5 CB applies to entire entry ...... CB Column 2. milliradian at a standoff distance of 100 AT applies to entire entry ...... AT Column 1. meters is under the export licensing authority of the U.S. Department of State (22 LICENSE EXCEPTIONS CFR parts 120 through 130). (2) ‘‘Tech- CIV: N/A nology’’ ‘‘required’’ for the ‘‘development’’, TSR: N/A ‘‘production’’ or ‘‘use’’ of concealed object

760 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

detection equipment operating in the fre- EAR99 Items subject to the EAR that are quency range from 30 GHz to 3000 GHz and not elsewhere controlled by this CCL Cat- having a spatial resolution greater than 1 egory or in any other category in the CCL milliradian spatial resolution (a higher are designated by the number EAR99. milliradian number means a less accurate image resolution) at a standoff distance of CATEGORY 3—ELECTRONICS 100 meters or ‘‘required’’ for the ‘‘development’’ of ‘‘software’’ ‘‘required’’ for the A. SYSTEMS, EQUIPMENT AND COMPONENTS ‘‘development’’, ‘‘production’’ or ‘‘use’’ of NOTE 1: The control status of equipment concealed object detection equipment oper- and components described in 3A001 or 3A002, ating in the frequency range from 30 GHz other than those described in 3A001.a.3 to to 3000 GHz and having a spatial resolution 3A001.a.10 or 3A001.a.12, which are specially greater than 1 milliradian spatial resolu- designed for or which have the same function (a higher milliradian number means a tional characteristics as other equipment is less accurate image resolution) at a stand- determined by the control status of the off distance of 100 meters is designated as other equipment. EAR99. (3) See ECCNs 2A984 and 2D984 for NOTE 2: The control status of integrated related commodity and software controls. circuits described in 3A001.a.3 to 3A001.a.9 or Related Definitions: N/A 3A001.a.12 that are unalterably programmed Items: The list of items controlled is con- or designed for a specific function for other tained in the ECCN heading. equipment is determined by the control status of the other equipment. 2E991 ‘‘Technology’’ for the ‘‘use’’ of equip- N.B.: When the manufacturer or applicant ment controlled by 2B991, 2B993, 2B996, cannot determine the control status of the or 2B997. other equipment, the control status of the LICENSE REQUIREMENTS integrated circuits is determined in 3A001.a.3 Reason for Control: AT to 3A001.a.9 and 3A001.a.12.

Control(s) Country chart 3A001 Electronic components and specially designed components therefor, as follows AT applies to entire entry ...... AT Column 1 (see List of Items Controlled). LICENSE REQUIREMENTS LICENSE EXCEPTIONS Reason for Control: NS, MT, NP, AT CIV: N/A TSR: N/A Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: N/A NS applies to entire entry ...... NS Column 2 Related Controls: N/A MT applies to 3A001.a.1.a when us- MT Column 1 able in ‘‘missiles’’; and to Related Definitions: N/A 3A001.a.5.a when ‘‘designed or Items: The list of items controlled is con- modified’’ for military use, hermeti- tained in the ECCN heading. cally sealed and rated for operation in the temperature range 2E994 ‘‘Technology’’ for the ‘‘use’’ of port- from below ¥54 °C to above +125 able electric generators controlled by °C. 2A994. NP applies to pulse discharge ca- NP Column 1 pacitors in 3A001.e.2 and super- LICENSE REQUIREMENTS conducting solenoidal Reason for Control: AT electromagnets in 3A001.e.3 that Control(s): AT applies to entire entry. A li- meet or exceed the technical pa- cense is required for items controlled by rameters in 3A201.a and 3A201.b, this entry to Cuba, Iran and North Korea respectively. for anti-terrorism reasons. The Commerce AT applies to entire entry ...... AT Column 1 Country Chart is not designed to determine licensing requirements for this entry. LICENSE EXCEPTIONS See part 746 of the EAR for additional in- LVS: N/A for MT or NP formation on Cuba and Iran. See § 742.19 of Yes for: the EAR for additional information on $1500: 3A001.c North Korea. $3000: 3A001.b.1, b.2, b.3, b.9, .d, .e, .f, and .g LICENSE EXCEPTIONS $5000: 3A001.a (except a.1.a and a.5.a when CIV: N/A controlled for MT), and .b.4 to b.7 TSR: N/A GBS: Yes for 3A001.a.1.b, a.2 to a.12 (except LIST OF ITEMS CONTROLLED .a.5.a when controlled for MT), b.2, b.8 ex- Unit: N/A cept for TWTAs exceeding 18 GHz), b.9., Related Controls: N/A b.10, .g, and .h. Related Definitions: N/A CIV: Yes for 3A001.a.3, a.7, and a.11. Items: The list of items controlled is con- LIST OF ITEMS CONTROLLED tained in the ECCN heading. Unit: Number.

761 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Related Controls: (1) The following commod- a.1.a. A total dose of 5 × 103 Gy (Si), or ities are under the export licensing author- higher; ity of the Department of State, Direc- a.1.b. A dose rate upset of 5 × 106 Gy (Si)/s, torate of Defense Trade Controls (22 CFR or higher; or part 121) when ‘‘space qualified’’ and oper- a.1.c. A fluence (integrated flux) of neu- ating at frequencies higher than 31.8 GHz: trons (1 MeV equivalent) of 5 × 1013 n/cm2 or helix tubes (traveling wave tubes (TWT)) higher on silicon, or its equivalent for other defined in 3A001.b.1.a.4.c; microwave solid materials; state amplifiers defined in 3A001.b.4.b traveling wave tube amplifiers (TWTA) defined NOTE: 3A001.a.1.c does not apply to Metal in 3A001.b.8; and derivatives thereof; (2) Insulator Semiconductors (MIS). The following commodities are also under a.2. ‘‘Microprocessor microcircuits’’, the export licensing authority of the De- ‘‘microcomputer microcircuits’’, micro- partment of State, Directorate of Defense controller microcircuits, storage integrated Trade Controls (22 CFR part 121): (a) circuits manufactured from a compound ‘‘Space qualified’’ solar cells, coverglass- semiconductor, analog-to-digital converters, interconnect-cells or covered-interconnect- digital-to-analog converters, electro-optical cells (CIC) assemblies, solar arrays and/or or ‘‘optical integrated circuits’’ designed for solar panels, with a minimum average effi- ‘‘signal processing’’, field programmable ciency of 31% or greater measured at an logic devices, custom integrated circuits for ° operating temperature of 301 K (28 C) which either the function is unknown or the under simulated ’AM0’ illumination with control status of the equipment in which the an irradiance of 1,367 Watts per square integrated circuit will be used is unknown, 2 meter (W/m ), and associated solar con- Fast Fourier Transform (FFT) processors, centrators, power conditioners and/or con- electrical erasable programmable read-only trollers, bearing and power transfer assem- memories (EEPROMs), flash memories or blies, and deployment hardware/systems; static random-access memories (SRAMs), (b) Radiation-hardened microelectronic having any of the following: circuits controlled by Category XV (d) of a.2.a. Rated for operation at an ambient the United States Munitions List (USML); temperature above 398 K (125 °C); and (c) All specifically designed or modified systems or subsystems, components, a.2.b. Rated for operation at an ambient ¥ ° parts, accessories, attachments, and asso- temperature below 218 K ( 55 C); or ciated equipment controlled by Category a.2.c. Rated for operation over the entire ¥ XV (e) of the USML. See also 3A101, 3A201, ambient temperature range from 218 K ( 55 ° ° and 3A991. C) to 398 K (125 C); Related Definitions: For the purposes of inte- NOTE: 3A001.a.2 does not apply to integrated circuits in 3A001.a.1, 5 × 103 Gy(Si) = grated circuits for civil automobile or rail- 5 × 105 Rads (Si); 5 × 106 Gy (Si)/s = 5 × 108 way train applications. Rads (Si)/s. Spacecraft/satellite: solar con- a.3. ‘‘Microprocessor microcircuits’’, centrators, power conditioners and or con- ‘‘microcomputer microcircuits’’ and micro- trollers, bearing and power transfer assem- controller microcircuits, manufactured from bly, and or deployment hardware/systems a compound semiconductor and operating at are controlled under the export licensing a clock frequency exceeding 40 MHz; authority of the Department of State, Di- rectorate of Defense Trade Controls (22 NOTE: 3A001.a.3 includes digital signal CFR part 121). processors, digital array processors and dig- Items: ital coprocessors. a. General purpose integrated circuits, as a.4. [Reserved] follows: a.5. Analog-to-Digital Converter (ADC) and NOTE 1: Digital-to-Analog Converter (DAC) inte- The control status of wafers (finished or grated circuits, as follows: unfinished), in which the function has been a.5.a. ADCs having any of the following: determined, is to be evaluated against the a.5.a.1. A resolution of 8 bit or more, but parameters of 3A001.a. less than 10 bit, with an output rate greater NOTE 2: than 500 million words per second; Integrated circuits include the following types: a.5.a.2 A resolution of 10 bit or more, but —‘‘Monolithic integrated circuits’’; less than 12 bit, with an output rate greater —‘‘Hybrid integrated circuits’’; than 300 million words per second; —‘‘Multichip integrated circuits’’; a.5.a.3. A resolution of 12 bit with an out- —‘‘Film type integrated circuits’’, includ- put rate greater than 200 million words per ing silicon-on-sapphire integrated circuits; second; —‘‘Optical integrated circuits’’. a.5.a.4. A resolution of more than 12 bit but a.1. Integrated circuits designed or rated as equal to or less than 14 bit with an output radiation hardened to withstand any of the rate greater than 125 million words per sec- following: ond; or

762 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

a.5.a.5. A resolution of more than 14 bit 3. A signal is defined to be full scale when with an output rate greater than 20 million its amplitude is greater than –3 dBfs (full words per second; scale). TECHNICAL NOTES: 4. ‘Adjusted update rate’ for DACs is: 1. A resolution of n bit corresponds to a a. For conventional (non-interpolating) quantization of 2n levels. DACs, the ‘adjusted update rate’ is the rate 2. The number of bits in the output word is at which the digital signal is converted to an equal to the resolution of the ADC. analog signal and the output analog values 3. The output rate is the maximum output are changed by the DAC.For DACs where the rate of the converter, regardless of architec- interpolation mode may be bypassed (inter- ture or oversampling. polation factor of one), the DAC should be 4. For ‘multiple channel ADCs’, the out- considered as a conventional (non-inter- puts are not aggregated and the output rate polating) DAC. is the maximum output rate of any single b. For interpolating DACs (oversampling channel. DACs), the ‘adjusted update rate’ is defined 5. For ‘interleaved ADCs’ or for ‘multiple as the DAC update rate divided by the small- channel ADCs’ that are specified to have an est interpolating factor. For interpolating interleaved mode of operation, the outputs DACs, the ‘adjusted update rate’ may be re- are aggregated and the output rate is the ferred to by different terms including: maximum combined total output rate of all • Input data rate of the outputs. • Input word rate 6. Vendors may also refer to the output • Input sample rate rate as sampling rate, conversion rate or • Maximum total input bus rate throughput rate. It is often specified in • Maximum DAC clock rate for DAC clock megahertz (MHz) or mega samples per second input. (MSPS). a.6. Electro-optical and ‘‘optical integrated 7. For the purpose of measuring output circuits’’, designed for ‘‘signal processing’’ rate, one output word per second is equiva- and having all of the following: lent to one Hertz or one sample per second. a.6.a. One or more than one internal 8. ‘Multiple channel ADCs’ are defined as ‘‘laser’’ diode; devices which integrate more than one ADC, a.6.b. One or more than one internal light designed so that each ADC has a separate detecting element; and analog input. a.6.c. Optical waveguides; 9. ‘Interleaved ADCs’ are defined as devices a.7. ‘Field programmable logic devices’ which have multiple ADC units that sample having any of the following: the same analog input at different times a.7.a. A maximum number of digital input/ such that when the outputs are aggregated, outputs greater than 200; or the analog input has been effectively sam- a.7.b. A system gate count of greater than pled and converted at a higher sampling 230,000; rate. NOTE: 3A001.a.7 includes: a.5.b. Digital-to-Analog Converters (DAC) —Simple Programmable Logic Devices having any of the following: (SPLDs), a.5.b.1. A resolution of 10 bit or more with —Complex Programmable Logic Devices an ‘adjusted update rate’ of 3,500 MSPS or (CPLDs), greater; or —Field Programmable Gate Arrays a.5.b.2. A resolution of 12-bit or more with (FPGAs), an ‘adjusted update rate’ of equal to or —Field Programmable Logic Arrays greater than 1,250 MSPS and having any of (FPLAs), and the following: —Field Programmable Interconnects a.5.b.2.a. A settling time less than 9 ns to (FPICs). 0.024% of full scale from a full scale step; or TECHNICAL NOTES: 1. ‘Field programmable a.5.b.2.b. A ‘Spurious Free Dynamic Range’ logic devices’ are also known as field pro- (SFDR) greater than 68 dBc (carrier) when grammable gate or field programmable logic synthesizing a full scale analog signal of 100 arrays. MHz or the highest full scale analog signal 2. Maximum number of digital input/out- frequency specified below 100 MHz. puts in 3A001.a.7.a is also referred to as max- TECHNICAL NOTES: imum user input/outputs or maximum avail- 1. ‘Spurious Free Dynamic Range’ (SFDR) able input/outputs, whether the integrated is defined as the ratio of the RMS value of circuit is packaged or bare die. the carrier frequency (maximum signal com- a.8. [Reserved] ponent) at the input of the DAC to the RMS a.9. Neural network integrated circuits; value of the next largest noise or harmonic a.10. Custom integrated circuits for which distortion component at its output. the function is unknown, or the control sta- 2. SFDR is determined directly from the tus of the equipment in which the integrated specification table or from the characteriza- circuits will be used is unknown to the man- tion plots of SFDR versus frequency. ufacturer, having any of the following:

763 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

a.10.a. More than 1,500 terminals; b.1.a.4.c. Being ‘‘space-qualified’’; a.10.b. A typical ‘‘basic gate propagation b.1.b. Crossed-field amplifier tubes with a delay time’’ of less than 0.02 ns; or gain of more than 17 dB; a.10.c. An operating frequency exceeding 3 b.1.c. Impregnated cathodes designed for GHz; electronic tubes producing a continuous a.11. Digital integrated circuits, other than emission current density at rated operating those described in 3A001.a.3 to 3A001.a.10 and conditions exceeding 5 A/cm2; 3A001.a.12, based upon any compound semi- b.2. Microwave ‘‘Monolithic Integrated Cir- conductor and having any of the following: cuits’’ (MMIC) power amplifiers having any a.11.a. An equivalent gate count of more of the following: than 3,000 (2 input gates); or b.2.a. Rated for operation at frequencies a.11.b. A toggle frequency exceeding 1.2 exceeding 3.2 GHz up to and including 6.8 GHz; GHz and with an average output power great- a.12. Fast Fourier Transform (FFT) proc- er than 4W (36 dBm) with a ‘‘fractional band- essors having a rated execution time for an width’’ greater than 15%; N-point complex FFT of less than (N log2 N)/ b.2.b. Rated for operation at frequencies 20,480 ms, where N is the number of points; exceeding 6.8 GHz up to and including 16 GHz TECHNICAL NOTE: When N is equal to 1,024 and with an average output power greater points, the formula in 3A001.a.12 gives an than 1W (30 dBm) with a ‘‘fractional band- execution time of 500 μs. width’’ greater than 10%; b. Microwave or millimeter wave compo- b.2.c. Rated for operation at frequencies nents, as follows: exceeding 16 GHz up to and including 31.8 b.1. Electronic vacuum tubes and cathodes, GHz and with an average output power great- as follows: er than 0.8W (29 dBm) with a ‘‘fractional NOTE 1: 3A001.b.1 does not control tubes de- bandwidth’’ greater than 10%; signed or rated for operation in any fre- b.2.d. Rated for operation at frequencies quency band and having all of the following: exceeding 31.8 GHz up to and including 37.5 a. Does not exceed 31.8 GHz; and GHz and with an average output power great- b. Is ‘‘allocated by the ITU’’ for radio-com- er than 0.1 nW; munications services, but not for radio-de- b.2.e. Rated for operation at frequencies termination. exceeding 37.5 GHz up to and including 43.5 GHz and with an average output power great- NOTE 2: 3A001.b.1 does not control non- er than 0.25W (24 dBm) with a ‘‘fractional ‘‘space-qualified’’ tubes having all the fol- bandwidth’’ greater than 10%; or lowing: b.2.f. Rated for operation at frequencies ex- (a) An average output power equal to or ceeding 43.5 GHzand with an average output less than 50 W; and power greater than 0.1 nW. (b) Designed or rated for operation in any NOTE 1: [RESERVED] frequency band and having all of the fol- NOTE 2: The control status of the MMIC lowing: whose rated operating frequency includes (1) Exceeds 31.8 GHz but does not exceed frequencies listed in more than one fre- 43.5 GHz; and quency range, as defined by 3A001.b.2.a (2) Is ‘‘allocated by the ITU’’ for radio- through 3A001.b.2.f, is determined by the communications services, but not for radio- lowest average output power control thresh- determination. old. b.1.a. Traveling wave tubes, pulsed or con- NOTE 3: Notes 1 and 2 following the Cat- tinuous wave, as follows: egory 3 heading for product group A. Sys- b.1.a.1. Tubes operating at frequencies ex- tems, Equipment, and Components mean ceeding 31.8 GHz; that 3A001.b.2 does not control MMICs if they b.1.a.2. Tubes having a cathode heater ele- are specially designed for other applications, ment with a turn on time to rated RF power e.g., telecommunications, radar, auto- of less than 3 seconds; mobiles. b.1.a.3. Coupled cavity tubes, or derivatives b.3. Discrete microwave transistors having thereof, with a ‘‘fractional bandwidth’’ of any of the following: more than 7% or a peak power exceeding 2.5 b.3.a. Rated for operation at frequencies kW; exceeding 3.2 GHz up to and including 6.8 b.1.a.4. Helix tubes, or derivatives thereof, GHz and having an average output power having any of the following: greater than 60W (47.8 dBm); b.1.a.4.a. An ‘‘instantaneous bandwidth’’ of b.3.b. Rated for operation at frequencies more than one octave, and average power exceeding 6.8 GHz up to and including 31.8 (expressed in kW) times frequency (expressed GHz and having an average output power in GHz) of more than 0.5; greater than 20W (43 dBm); b.1.a.4.b. An ‘‘instantaneous bandwidth’’ of b.3.c. Rated for operation at frequencies one octave or less, and average power (ex- exceeding 31.8 GHz up to and including 37.5 pressed in kW) times frequency (expressed in GHz and having an average output power GHz) of more than 1; or greater than 0.5W (27 dBm);

764 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

b.3.d. Rated for operation at frequencies lowest average output power control thresh- exceeding 37.5 GHz up to and including 43.5 old. GHz and having an average output power b.5. Electronically or magnetically tunable greater than 1W (30 dBm); or band-pass or band-stop filters, having more b.3.e. Rated for operation at frequencies than 5 tunable resonators capable of tuning exceeding 43.5 GHz and with an average out- across a 1.5:1 frequency band (fmax/fmin) in less put power greater than 0.1 nW; than 10 μs and having any of the following: NOTE: The control status of a transistor b.5.a. A band-pass bandwidth of more than whose rated operating frequency includes 0.5% of center frequency; or frequencies listed in more than one fre- b.5.b. A band-stop bandwidth of less than quency range, as defined by 3A001.b.3.a 0.5% of center frequency; through 3A001.b.3.e, is determined by the b.6. [Reserved] lowest average output power control thresh- b.7. Converters and harmonic mixers, de- old. signed to extend the frequency range of b.4. Microwave solid state amplifiers and equipment described in 3A002.c, 3A002.d, microwave assemblies/modules containing 3A002.e or 3A002.f beyond the limits stated microwave solid state amplifiers, having any therein; of the following: b.8. Microwave power amplifiers con- b.4.a. Rated for operation at frequencies taining tubes controlled by 3A001.b.1 and exceeding 3.2 GHz up to and including 6.8 having all of the following: GHz and with an average output power great- b.8.a. Operating frequencies above 3 GHz; er than 60W (47.8 dBm) with a ‘‘fractional b.8.b. An average output power to mass bandwidth’’ greater than 15%; ratio exceeding 80 W/kg; and b.4.b. Rated for operation at frequencies b.8.c. A volume of less than 400 cm3; exceeding 6.8 GHz up to and including 31.8 NOTE: 3A001.b.8 does not control equipment GHz and with an average output power great- designed or rated for operation in any fre- er than 15W (42 dBm) with a ‘‘fractional quency band which is ‘‘allocated by the ITU’’ bandwidth’’ greater than 10%; for radio-communications services, but not b.4.c. Rated for operation at frequencies for radio-determination. exceeding 31.8 GHz up to and including 37.5 b.9. Microwave power modules (MPM) con- GHz and with an average output power great- sisting of, at least, a traveling wave tube, a er than 0.1 nW; microwave ‘‘monolithic integrated circuit’’ b.4.d. Rated for operation at frequencies and an integrated electronic power condi- exceeding 37.5 GHz up to and including 43.5 tioner and having all of the following: GHz and with an average output power great- b.9.a. A ’turn-on time’ from off to fully er than 1W (30 dBm) with a ‘‘fractional band- operational in less than 10 seconds; width’’ greater than 10%; b.9.b. A volume less than the maximum b.4.e. Rated for operation at frequencies rated power in Watts multiplied by 10 cm3/W; exceeding 43.5 GHz and with an average out- and put power greater than 0.1 nW; or b.9.c. An ‘‘instantaneous bandwidth’’ great- b.4.f. Rated for operation at frequencies er than 1 octave (fmax. > 2fmin,) and having any above 3.2 GHz and all of the following: of the following: b.4.f.1. An average output power (in watts), b.9.c.1. For frequencies equal to or less P, greater than 150 divided by the maximum than 18 GHz, an RF output power greater operating frequency (in GHz) squared [P > than 100 W; or 2 2 150 W*GHz /fGHz ]; b.9.c.2. A frequency greater than 18 GHz; b.4.f.2. A ‘‘fractional bandwidth’’ of 5% or TECHNICAL NOTES: 1. To calculate the vol- greater; and ume in 3A001.b.9.b., the following example is b.4.f.3. Any two sides perpendicular to one provided: for a maximum rated power of 20 another with length d (in cm) equal to or less W, the volume would be: 20 W × 10 cm3/W = than 15 divided by the lowest operating fre- 200 cm3. quency in GHz [d ≤ 15 cm*GHz/fGHz]; 2. The ’turn-on time’ in 3A001.b.9.a. refers TECHNICAL NOTE: 3.2 GHz should be used as to the time from fully-off to fully oper- the lowest operating frequency (fGHz) in the ational, i.e., it includes the warm-up time of formula in 3A001.b.4.f.3., for amplifiers that the MPM. have a rated operation range extending b.10. Oscillators or oscillator assemblies, downward to 3.2 GHz and below [d≤15cm*GHz/ designed to operate with all of the following: 3.2 fGHz]. b.10.a. A single sideband (SSB) phase noise, N.B.: MMIC power amplifiers should be in dBc/Hz, better than ¥(126+20 log10F–20 evaluated against the criteria in 3A001.b.2. log10f) for 10 Hz

765 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

b.11. ‘‘Frequency synthesizer’’ ‘‘electronic NOTE: 3A001.c does not control acoustic assemblies’’ having a ‘‘frequency switching wave devices that are limited to a single time’’ as specified by any of the following: band pass, low pass, high pass or notch fil- b.11.a. Less than 312 ps; tering, or resonating function. b.11.b. Less than 100 μs for any frequency d. Electronic devices and circuits con- change exceeding 1.6 GHz within the syn- taining components, manufactured from thesized frequency range exceeding 3.2 GHz ‘‘superconductive’’ materials, specially de- but not exceeding 10.6 GHz; signed for operation at temperatures below b.11.c. Less than 250 μs for any frequency the ‘‘critical temperature’’ of at least one of change exceeding 550 MHz within the syn- the ‘‘superconductive’’ constituents and hav- thesized frequency range exceeding 10.6 GHz ing any of the following: but not exceeding 31.8 GHz; d.1. Current switching for digital circuits b.11.d. Less than 500 μs for any frequency using ‘‘superconductive’’ gates with a prod- change exceeding 550 MHz within the syn- uct of delay time per gate (in seconds) and thesized frequency range exceeding 31.8 GHz power dissipation per gate (in watts) of less but not exceeding 43.5 GHz; or than 10¥14 J; or b.11.e. Less than 1 ms within the syn- d.2. Frequency selection at all frequencies thesized frequency range exceeding 43.5 GHz. using resonant circuits with Q-values exceeding 10,000; N.B.: For general purpose ‘‘signal e. High energy devices as follows: analysers,’’ signal generators, network e.1. ‘Cells’ as follows: analysers and microwave test receivers, see e.1.a. ’Primary cells’ having an ’energy 3A002.c, 3A002.d, 3A002.e and 3A002.f, respec- density’ exceeding 550 Wh/kg at 293 K (20 °C); tively. e.1.b. ‘Secondary cells’ having an ‘energy c. Acoustic wave devices as follows and density’ exceeding 250 Wh/kg at 293 K (20 °C); specially designed components therefor: TECHNICAL NOTES: 1. For the purpose of c.1. Surface acoustic wave and surface 3A001.e.1., ’energy density’ (Wh/kg) is cal- skimming (shallow bulk) acoustic wave de- culated from the nominal voltage multiplied vices, having any of the following: by the nominal capacity in ampere-hours c.1.a. A carrier frequency exceeding 6 GHz; (Ah) divided by the mass in kilograms. If the c.1.b. A carrier frequency exceeding 1 GHz, nominal capacity is not stated, energy den- but not exceeding 6 GHz and having any of sity is calculated from the nominal voltage the following: squared then multiplied by the discharge du- c.1.b.1. A ‘frequency side-lobe rejection’ ex- ration in hours divided by the discharge load ceeding 65 dB; in Ohms and the mass in kilograms. c.1.b.1. A frequency side-lobe rejection ex- 2. For the purpose of 3A001.e.1., a ’cell’ is ceeding 55 dB; defined as an electrochemical device, which c.1.b.2. A product of the maximum delay has positive and negative electrodes, an elec- time and the bandwidth (time in μs and trolyte, and is a source of electrical energy. bandwidth in MHz) of more than 100; It is the basic building block of a battery. c.1.b.3. A bandwidth greater than 250 MHz; 3. For the purpose of 3A001.e.1.a., a ’pri- or mary cell’ is a ’cell’ that is not designed to c.1.b.4. A dispersive delay of more than 10 be charged by any other source. μs; or 4. For the purpose of 3A001.e.1.b., a ’sec- c.1.c. A carrier frequency of 1 GHz or less ondary cell’ is a ’cell’ that is designed to be and having any of the following: charged by an external electrical source. c.1.c.1. A product of the maximum delay NOTE: 3A001.e. does not control batteries, time and the bandwidth (time in μs and including single-cell batteries. bandwidth in MHz) of more than 100; e.2. High energy storage capacitors as fol- c.1.c.2. A dispersive delay of more than 10 lows: μs; or e.2.a. Capacitors with a repetition rate of c.1.c.3. A ‘frequency side-lobe rejection’ ex- less than 10 Hz (single shot capacitors) and ceeding 65 dB and a bandwidth greater than having all of the following: 100 MHz; e.2.a.1. A voltage rating equal to or more TECHNICAL NOTE: ‘Frequency side-lobe re- than 5 kV; jection’ is the maximum rejection value e.2.a.2. An energy density equal to or more specified in data sheet. than 250 J/kg; and c.2. Bulk (volume) acoustic wave devices e.2.a.3. A total energy equal to or more that permit the direct processing of signals than 25 kJ; at frequencies exceeding 6 GHz; e.2.b. Capacitors with a repetition rate of c.3. Acoustic-optic ‘‘signal processing’’ de- 10 Hz or more (repetition rated capacitors) vices employing interaction between acous- and having all of the following: tic waves (bulk wave or surface wave) and e.2.b.1. A voltage rating equal to or more light waves that permit the direct processing than 5 kV; of signals or images, including spectral anal- e.2.b.2. An energy density equal to or more ysis, correlation or convolution; than 50 J/kg;

766 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

e.2.b.3. A total energy equal to or more TECHNICAL NOTE: For the purposes of than 100 J; and 3A001.g, a ‘‘thyristor module’’ contains one e.2.b.4. A charge/discharge cycle life equal or more thyristor devices. to or more than 10,000; h. Solid-state power semiconductor switch- e.3. ‘‘Superconductive’’ electromagnets and es, diodes, or ‘modules’, having all of the fol- solenoids, specially designed to be fully lowing: charged or discharged in less than one sec- h.1. Rated for a maximum operating junc- ond and having all of the following: tion temperature greater than 488 K (215 °C); NOTE: 3A001.e.3 does not control ‘‘super- h.2. Repetitive peak off-state voltage conductive’’ electromagnets or solenoids spe- (blocking voltage) exceeding 300 V; and cially designed for Magnetic Resonance Im- h.3. Continuous current greater than 1 A. aging (MRI) medical equipment. TECHNICAL NOTE: For the purposes of e.3.a. Energy delivered during the dis- 3A001.h, ‘modules’ contain one or more solid- charge exceeding 10 kJ in the first second; state power semiconductor switches or di- e.3.b. Inner diameter of the current car- odes. rying windings of more than 250 mm; and NOTE 1: Repetitive peak off-state voltage e.3.c. Rated for a magnetic induction of in 3A001.h includes drain to source voltage, more than 8 T or ‘‘overall current density’’ collector to emitter voltage, repetitive peak in the winding of more than 300 A/mm2; e.4. Solar cells, cell-interconnect- reverse voltage and peak repetitive off-state coverglass (CIC) assemblies, solar panels, blocking voltage. and solar arrays, which are ‘‘space-quali- NOTE 2: 3A001.h. includes: fied,’’ having a minimum average efficiency —Junction Field Effect Transistors (JFETs) exceeding 20% at an operating temperature —Vertical Junction Field Effect Transistors of 301 K (28 °C) under simulated ‘AM0’ illu- (VJFETs) mination with an irradiance of 1,367 Watts —Metal Oxide Semiconductor Field Effect per square meter (W/m2); Transistors (MOSFETs) TECHNICAL NOTE: ‘AM0,’ or ‘Air Mass Zero,’ —Double Diffused Metal Oxide Semicon- refers to the spectral irradiance of sunlight ductor Field Effect Transistor (DMOSFET) in the earth’s outer atmosphere when the —Insulated Gate Bipolar Transistor (IGBT) distance between the earth and sun is one as- —High Electron Mobility Transistors tronomical unit (AU). (HEMTs) f. Rotary input type absolute position —Bipolar Junction Transistors (BJTs) encoders having an accuracy equal to or less —Thyristors and Silicon Controlled Recti- (better) than ± 1.0 second of arc; fiers (SCRs) f.1. A resolution of better than 1 part in —Gate Turn-Off Thyristors (GTOs) 265,000 (18 bit resolution) of full scale; or —Emitter Turn-Off Thyristors (ETOs) f.2. An accuracy better than ± 2.5 seconds —PiN Diodes of arc; —Schottky Diodes g. Solid-state pulsed power switching NOTE 3: 3A001.h. does not apply to switches, thyristor devices and ’thyristor modules’, diodes, or ‘modules’ incorporated into equip- using either electrically, optically, or elec- ment designed for civil automobile, civil tron radiation controlled switch methods railway, or ‘‘civil aircraft’’ applications. and having any of the following: g.1. A maximum turn-on current rate of 3A002 General purpose electronic equip- rise (di/dt) greater than 30,000 A/μs and off- ment and accessories therefor, as follows (see state voltage greater than 1,100 V; or List of Items Controlled). g.2. A maximum turn-on current rate of LICENSE REQUIREMENTS rise (di/dt) greater than 2,000 A/μs and having Reason for Control: NS, AT all of the following: g.2.a. An off-state peak voltage equal to or Control(s) Country chart greater than 3,000 V; and g.2.b. A peak (surge) current equal to or NS applies to entire entry ...... NS Column 2 greater than 3,000 A; AT applies to entire entry ...... AT Column 1 NOTE 1: 3A001.g. includes: —Silicon Controlled Rectifiers (SCRs) LICENSE REQUIREMENT NOTES: See § 743.1 of —Electrical Triggering Thyristors (ETTs) the EAR for reporting requirements for ex- —Light Triggering Thyristors (LTTs) ports under License Exceptions. —Integrated Gate Commutated Thyristors LICENSE EXCEPTIONS (IGCTs) LVS: $3000: 3A002.a, .e, .f, .g; $5000: 3A002.c to —Gate Turn-off Thyristors (GTOs) .d. —MOS Controlled Thyristors (MCTs) GBS: Yes for 3A002.a.1. —Solidtrons CIV: Yes for 3A002.a.1 (provided all of the fol- NOTE 2: 3A001.g. does not control thyristor de- lowing conditions are met: (1) Bandwidths vices and ’thyristor modules’ incorporated into do not exceed: 4 MHz per track and have up equipment designed for civil railway or ‘‘civil to 28 tracks or 2 MHz per track and have up aircraft’’ applications. to 42 tracks; (2) Tape speed does not exceed

767 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

6.1 m/s; (3) They are not designed for under- a.3. Digital instrumentation magnetic tape water use; (4) They are not ruggedized for data recorders employing helical scan tech- military use; and (5) Recording density niques or fixed head techniques and having does not exceed 653.2 magnetic flux sine any of the following: waves per mm). a.3.a. A maximum digital interface trans- CIV: Yes for 3A002.a.1 (provided all of the fol- fer rate exceeding 175 Mbit/s; or lowing conditions are met: (1) Bandwidths a.3.b. Being ‘‘space-qualified’’; do not exceed: 4 MHz per track and have up NOTE: 3A002.a.3 does not control analog mag- to 28 tracks or 2 MHz per track and have up netic tape recorders equipped with HDDR con- to 42 tracks; (2) Tape speed does not exceed version electronics and configured to record 6.1 m/s; (3) They are not designed for under- only digital data. water use; (4) They are not ruggedized for a.4. Equipment having a maximum digital military use; and (5) Recording density interface transfer rate exceeding 175 Mbit/s does not exceed 653.2 magnetic flux sine and designed to convert digital video mag- waves per mm); and 3A002.b (synthesized netic tape recorders for use as digital instru- output frequency of 2.6 GHz or less; and a mentation data recorders; ‘‘frequency switching time’’ of 0.3 ms or a.5. Waveform digitizers and transient re- more). corders, having all of the following: N.B.: See also 3A292. STA: License Exception STA may not be a.5.a. Digitizing rates equal to or more used to ship any item in 3A002.g.1 to any of than 200 million samples per second and a the eight destinations listed in § 740.20(c)(2) resolution of 10 bits or more; and of the EAR. a.5.b. A ’continuous throughput’ of 2 Gbit/ LIST OF ITEMS CONTROLLED s or more; Unit: Number TECHNICAL NOTES: 1. For those instruments Related Controls: ‘‘Space-qualified’’ atomic with a parallel bus architecture, the ’contin- frequency standards defined in 3A002.g.1 uous throughput’ rate is the highest word are subject to the export licensing author- rate multiplied by the number of bits in a ity of the Department of State, Direc- word. torate of Defense Trade Controls (22 CFR 2. ’Continuous throughput’ is the fastest part 121.1, Category XV). See also 3A292 data rate the instrument can output to mass and 3A992. storage without the loss of any information Related Definitions: Constant percentage while sustaining the sampling rate and ana- bandwidth filters are also known as octave log-to-digital conversion. or fractional octave filters. Items: a.6. Digital instrumentation data recorders a. Recording equipment as follows and spe- using magnetic disk storage technique and cially designed test tape therefor: having all of the following: a.1. Analog instrumentation magnetic tape a.6.a. Digitizing rate equal to or more than recorders, including those permitting the re- 100 million samples per second and a resolu- cording of digital signals (e.g., using a high tion of 8 bits or more; and density digital recording (HDDR) module), a.6.b. A ’continuous throughput’ of 1 Gbit/ having any of the following: s or more; a.1.a. A bandwidth exceeding 4 MHz per b. [Reserved] electronic channel or track; c. Radio-frequency ‘‘signal analyzers’’ as a.1.b. A bandwidth exceeding 2 MHz per follows: electronic channel or track and having more c.1. ‘‘Signal analyzers’’ having a 3 dB reso- than 42 tracks; or lution bandwidth (RBW) exceeding 10 MHz a.1.c. A time displacement (base) error, anywhere within the frequency range exceed- measured in accordance with applicable IRIG ing 31.8 GHz but not exceeding 37.5 GHz; or EIA documents, of less than ± 0.1 μs; c.2. ‘‘Signal analyzers’’ having Displayed NOTE: Analog magnetic tape recorders spe- Average Noise Level (DANL) less (better) cially designed for civilian video purposes than ¥150 dBm/Hz anywhere within the fre- are not considered to be instrumentation quency range exceeding 43.5 GHz but not ex- tape recorders. ceeding 70 GHz; a.2. Digital video magnetic tape recorders c.3. ‘‘Signal analysers’’having a frequency having a maximum digital interface transfer exceeding 70 GHz; rate exceeding 360 Mbit/s; c.4. ‘‘Dynamic signal analyzers’’ having a NOTE: 3A002.a.2 does not control digital ‘‘real-time bandwidth’’ exceeding 40 MHz; video magnetic tape recorders specially de- NOTE: 3A002.c.4 does not control those signed for television recording using a signal ‘‘dynamic signal analyzers’’ using only con- format, which may include a compressed sig- stant percentage bandwidth filters (also nal format, standardized or recommended by known as octave or fractional octave filters). the ITU, the IEC, the SMPTE, the EBU , the d. Frequency synthesized signal generators ETSI, or the IEEE for civil television appli- producing output frequencies, the accuracy cations. and short term and long term stability of

768 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

which are controlled, derived from or dis- 2. For the purposes of 3A002.d.1, ’pulse du- ciplined by the internal master reference os- ration’ is defined as the time interval be- cillator, and having any of the following: tween the leading edge of the pulse achieving d.1. Specified to generate a ‘pulse duration’ 90% of the peak and the trailing edge of the of less than 100 ns anywhere within the syn- pulse achieving 10% of the peak. thesized frequency range exceeding 31.8 GHz e. Network analyzers having any of the fol- but not exceeding 70 GHz; lowing: d.2. An output power exceeding 100 mW (20 e.1. Maximum operating frequency exceed- dBm) anywhere within the synthesized fre- ing 43.5 GHz and output power exceeding quency range exceeding 43.5 GHz but not ex- 31.62 mW (15 dBm); or ceeding 70 GHz; e.2. Maximum operating frequency exceed- d.3. A ‘‘frequency switching time’’ as speci- ing 70 GHz; fied by any of the following: f. Microwave test receivers having all of d.3.a. Less than 312 ps; the following: d.3.b. Less than 100 μs for any frequency f.1. A maximum operating frequency exchange exceeding 1.6 GHz within the syn- ceeding 43.5 GHz; and thesized frequency range exceeding 3.2 GHz f.2. Being capable of measuring amplitude but not exceeding 10.6 GHz; and phase simultaneously; d.3.c. Less than 250 μs for any frequency g. Atomic frequency standards being any of change exceeding 550 MHz within the syn- the following: thesized frequency range exceeding 10.6 GHz g.1. ‘‘Space-qualified’’; but not exceeding 31.8 GHz; g.2. Non-rubidium and having a long-term μ d.3.d. Less than 500 s for any frequency stability less (better) than 1 × 10¥11/month; or change exceeding 550 MHz within the syn- g.3. Non-’’space-qualified’’ and having all thesized frequency range exceeding 31.8 GHz of the following: but not exceeding 43.5 GHz; g.3.a. Being a rubidium standard; d.3.e. Less than 1 ms for any frequency g.3.b. Long-term stability less (better) change exceeding 550 MHz within the syn- than 1 × 10¥11/month; and thesized frequency range exceeding 43.5 GHz g.3.c. Total power consumption of less than but not exceeding 56 GHz; or 1 Watt. d.3.f. Less than 1 ms for any frequency change exceeding 2.2 GHz within the syn- 3A003 Spray cooling thermal management thesized frequency range exceeding 56 GHz systems employing closed loop fluid han- but not exceeding 70 GHz; dling and reconditioning equipment in a d.4. At synthesized frequencies exceeding sealed enclosure where a dielectric fluid 3.2 GHz but not exceeding 70 GHz, and having is sprayed onto electronic components all of the following: using specially designed spray nozzles d.4.a. A single sideband (SSB) phase noise, that are designed to maintain electronic in dBc/Hz, better than—(126+20 log10F–20 components within their operating tem- log10f) for 10 Hz < F < 10 kHz; and perature range, and specially designed d.4.b. A single sideband (SSB) phase noise, components therefore. in dBc/Hz, better than—(114+20 log10F–20 LICENSE REQUIREMENTS ≤ log10f) for 10 kHz F < 500 kHz; or Reason for Control: NS, AT TECHNICAL NOTE: In 3A002.d.4, F is the off- set from the operating frequency in Hz and f Control(s) Country chart is the operating frequency in MHz. d.5. A maximum synthesized frequency ex- NS applies to entire entry ...... NS Column 2. ceeding 70 GHz; AT applies to entire entry ...... AT Column 1. NOTE 1: For the purpose of 3A002.d, frequency synthesized signal generators include LICENSE EXCEPTIONS arbitrary waveform and function generators. LVS: N/A NOTE 2: 3A002.d. does not control equip- GBS: N/A ment in which the output frequency is either CIV: N/A produced by the addition or subtraction of LIST OF ITEMS CONTROLLED two or more crystal oscillator frequencies, or Unit: Number of systems, components in $ by an addition or subtraction followed by a Related Controls: N/A multiplication of the result. Related Definitions: N/A TECHNICAL NOTES: 1. Arbitrary waveform Items: The list of items controlled is con- and function generators are normally speci- tained in the ECCN heading. fied by sample rate (e.g., GSample/s), which is converted to the RF domain by the 3A101 Electronic equipment, devices and Nyquist factor of two. Thus, a 1 GSample/s components, other than those controlled arbitrary waveform has a direct output capa- by 3A001, as follows (see List of Items bility of 500 MHz. Or, when oversampling is Controlled). used, the maximum direct output capability LICENSE REQUIREMENTS is proportionately lower. Reason for Control: MT, AT

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Control(s) Country chart a.2. Voltage rating greater than 750 V, capacitance greater than 0.25 μF, and series in- MT applies to entire entry ...... MT Column 1 ductance less than 10 nH; AT applies to entire entry ...... AT Column 1 b. Superconducting solenoidal electromagnets having all of the following LICENSE EXCEPTIONS characteristics: LVS: N/A b.1. Capable of creating magnetic fields GBS: N/A greater than 2 T; CIV: N/A b.2. A ratio of length to inner diameter LIST OF ITEMS CONTROLLED greater than 2; Unit: Number b.3. Inner diameter greater than 300 mm; Related Controls: Items controlled in 3A101.a and are subject to the export licensing author- b.4. Magnetic field uniform to better than ity of the U.S. Department of State, Direc- 1% over the central 50% of the inner volume; torate of Defense Trade Controls (See 22 CFR part 121). NOTE: 3A201.b does not control magnets Related Definitions: N/A specially designed for and exported ‘‘as parts Items: a. Analog-to-digital converters, usable of’’ medical nuclear magnetic resonance in ‘‘missiles’’, designed to meet military (NMR) imaging systems. The phrase ‘‘as part specifications for ruggedized equipment; of’’ does not necessarily mean physical part b. Accelerators capable of delivering elec- in the same shipment; separate shipments tromagnetic radiation produced by brems- from different sources are allowed, provided strahlung from accelerated electrons of 2 the related export documents clearly specify MeV or greater, and systems containing that the shipments are dispatched ‘‘as part those accelerators, usable for the ‘‘missiles’’ of’’ the imaging systems. or the subsystems of ‘‘missiles’’. c. Flash X-ray generators or pulsed elec- NOTE: 3A101.b above does not include equip- tron accelerators having either of the fol- ment specially designed for medical pur- lowing sets of characteristics: poses. c.1. An accelerator peak electron energy of 500 keV or greater, but less than 25 MeV, and 3A201 Electronic components, other than with a ‘‘figure of merit’’ (K) of 0.25 or great- those controlled by 3A001, as follows (see er; or List of Items Controlled). c.2. An accelerator peak electron energy of LICENSE REQUIREMENTS 25 MeV or greater, and a ‘‘peak power’’ Reason for Control: NP, AT greater than 50 MW;

Control(s) Country chart NOTE: 3A201.c does not control accelerators that are component parts of devices designed NP applies to entire entry ...... NP Column 1 for purposes other than electron beam or X- AT applies to entire entry ...... AT Column 1 ray radiation (electron microscopy, for example) nor those designed for medical pur- LICENSE EXCEPTIONS poses. LVS: N/A TECHNICAL NOTES: (1) The ‘‘figure of merit’’ GBS: N/A K is defined as: K = 1.7 × 103V2.65Q. V is the CIV: N/A peak electron energy in million electron LIST OF ITEMS CONTROLLED volts. If the accelerator beam pulse duration Unit: Number is less than or equal to 1 μs, then Q is the Related Controls: (1) See ECCNs 3E001 (‘‘devel- total accelerated charge in Coulombs. If the opment’’ and ‘‘production’’) and 3E201 accelerator beam pulse duration is greater (‘‘use’’) for technology for items controlled than 1 μs, then Q is the maximum acceler- under this entry. (2) Also see 3A001.e.2 (ca- ated charge in 1 μs. Q equals the intergral of pacitors) and 3A001.e.3 (superconducting i with respect to t, over the lesser of 1 μs or electromagnets). (3) Superconducting the time duration of the beam pulse Q= ∫ idt), electromagnets specially designed or pre- where i is beam current in amperes and t is pared for use in separating uranium iso- time in seconds. topes are subject to the export licensing (2) ‘‘Peak power’’ = (peak potential in authority of the Nuclear Regulatory Com- volts) × (peak beam current in amperes). mission (see 10 CFR part 110). (3) In machines based on microwave accel- Related Definitions: N/A erating cavities, the time duration of the Items: a. Pulse discharge capacitors having beam pulse is the lesser of 1 μs or the dura- either of the following sets of characteris- tion of the bunched beam packet resulting tics: from one microwave modulator pulse. a.1. Voltage rating greater than 1.4 kV, en- (4) In machines based on microwave accel- ergy storage greater than 10 J, capacitance erating cavities, the peak beam current is greater than 0.5 μF, and series inductance the average current in the time duration of less than 50 nH; or a bunched beam packet.

770 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

3A225 Frequency changers (also known as er with current output of 500 A or greater; converters or inverters) or generators, and other than those described in 0B001.c.11, b. Current or voltage stability better than having all of the following characteristics 0.1% over a time period of 8 hours. (see List of Items Controlled). LICENSE REQUIREMENTS 3A227 High-voltage direct current power Reason for Control: NP, AT supplies, other than those described in 0B001.j.5, having both of the following Control(s) Country chart characteristics (see List of Items Con- trolled). NP applies to entire entry ...... NP Column 1 LICENSE REQUIREMENTS AT applies to entire entry ...... AT Column 1 Reason for Control: NP, AT

LICENSE EXCEPTIONS Control(s) Country chart LVS: N/A GBS: N/A NP applies to entire entry ...... NP Column 1 CIV: N/A AT applies to entire entry ...... AT Column 1 LIST OF ITEMS CONTROLLED Unit: Number LICENSE EXCEPTIONS Related Controls: (1) See ECCNs 3E001 (‘‘devel- LVS: N/A opment’’ and ‘‘production’’) and 3E201 GBS: N/A (‘‘use’’) for technology for items controlled CIV: N/A under this entry. (2) Frequency changers LIST OF ITEMS CONTROLLED (also known as converters or inverters) Unit: $ value specially designed or prepared for use in Related Controls: (1) See ECCNs 3E001 (‘‘devel- separating uranium isotopes are subject to opment’’ and ‘‘production’’) and 3E201 the export licensing authority of the Nu- (‘‘use’’) for technology for items controlled clear Regulatory Commission (see 10 CFR under this entry. (2) Also see ECCN 3A226. part 110). (3) Direct current power supplies specially Related Definitions: N/A designed or prepared for use in separating Items: a. A multiphase output capable of pro- uranium isotopes are subject to the export viding a power of 40 W or more; licensing authority of the Nuclear Regu- b. Capable of operating in the frequency latory Commission (see 10 CFR part 110). range between 600 and 2000 Hz; Related Definitions: N/A c. Total harmonic distortion below 10%; Items: a. Capable of continuously producing, and over a time period of 8 hours, 20 kV or great- d. Frequency control better than 0.1%. er with current output of 1 A or greater; and b. Current or voltage stability better than 3A226 High-power direct current power 0.1% over a time period of 8 hours. supplies, other than those described in 0B001.j.6, having both of the following 3A228 Switching devices, as follows (see List characteristics (see List of Items Con- of Items Controlled). trolled). LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: NP, AT Reason for Control: NP, AT Control(s) Country chart Control(s) Country chart NP applies to entire entry ...... NP Column 1 NP applies to entire entry ...... NP Column 1 AT applies to entire entry ...... AT Column 1 AT applies to entire entry ...... AT Column 1 LICENSE EXCEPTIONS LICENSE EXCEPTIONS LVS: N/A LVS: N/A GBS: N/A GBS: N/A CIV: N/A CIV: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: Number Unit: $ value Related Controls: (1) See ECCNs 3E001 (‘‘devel- Related Controls: (1) See ECCNs 3E001 (‘‘development’’ and ‘‘production’’) and 3E201 opment’’ and ‘‘production’’) and 3E201 (‘‘use’’) for technology for items controlled (‘‘use’’) for technology for items controlled under this entry. under this entry. (2) Also see ECCN 3A227. (2) Also see ECCN 3A991.k. (3) Direct current power supplies specially Related Definitions: N/A designed or prepared for use in separating Items: a. Cold-cathode tubes, whether gas uranium isotopes are subject to the export filled or not, operating similarly to a spark licensing authority of the Nuclear Regu- gap, having all of the following characteris- latory Commission (see 10 CFR part 110). tics: Related Definitions: N/A a.1. Containing three or more electrodes; Items: a. Capable of continuously producing, a.2. Anode peak voltage rating of 2.5 kV or over a time period of 8 hours, 100 V or great- more;

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a.3. Anode peak current rating of 100 A or b.6. No dimension greater than 254 mm; more; and b.7. Weight less than 25 kg; and a.4. Anode delay time of 10 μs or less. b.8. Specified for use over an extended tem- TECHNICAL NOTE: 3A228.a includes gas perature range 223 K (¥50 °C) to 373 K (100 °C) krytron tubes and vacuum sprytron tubes. or specified as suitable for aerospace applica- b. Triggered spark-gaps having both of the tions. following characteristics: 3A230 High-speed pulse generators having μ b.1. An anode delay time of 15 s or less; both of the following characteristics (see and List of Items Controlled). b.2. Rated for a peak current of 500 A or LICENSE REQUIREMENTS more. Reason for Control: NP, AT c. Modules or assemblies with a fast switching function having all of the fol- Control(s) Country chart lowing characteristics: c.1. Anode peak voltage rating greater NP applies to entire entry ...... NP Column 1 than 2 kV; AT applies to entire entry ...... AT Column 1 c.2. Anode peak current rating of 500 A or more; and LICENSE EXCEPTIONS c.3. Turn-on time of 1 μs or less. LVS: N/A GBS: N/A 3A229 Firing sets and equivalent high-cur- CIV: N/A rent pulse generators (for detonators con- LIST OF ITEMS CONTROLLED trolled by 3A232), as follows (see List of Unit: Number Items Controlled). Related Controls: See ECCNs 3E001 (‘‘develop- LICENSE REQUIREMENTS ment’’ and ‘‘production’’) and 3E201 (‘‘use’’) Reason for Control: NP, AT for technology for items controlled under this entry. Control(s) Country chart Related Definitions: In 3A230.b, ‘‘pulse transi- NP applies to entire entry ...... NP Column 1 tion time’’ is defined as the time interval AT applies to entire entry ...... AT Column 1 between 10% and 90% voltage amplitude. Items: a. Output voltage greater than 6 V into LICENSE EXCEPTIONS a resistive load of less than 55 ohms; and LVS: N/A b. ‘‘Pulse transition time’’ less than 500 ps. GBS: N/A CIV: N/A 3A231 Neutron generator systems, including LIST OF ITEMS CONTROLLED tubes, having both of the following char- Unit: Number acteristics (see List of Items Controlled). Related Controls: (1) See ECCNs 3E001 and LICENSE REQUIREMENTS 1E001(’’development’’ and ‘‘production’’) Reason for Control: NP, AT and 3E201 and 1E201 (‘‘use’’) for technology for items controlled under this entry. (2) Control(s) Country chart High explosives and related equipment for NP applies to entire entry ...... NP Column 1 military use are subject to the export li- AT applies to entire entry ...... AT Column 1 censing authority of the U.S. Department of State, Directorate of Defense Trade Con- LICENSE EXCEPTIONS trols (see 22 CFR part 121). LVS: N/A Related Definitions: In 3A229.b.5, ‘‘rise time’’ GBS: N/A is defined as the time interval from 10% to CIV: N/A 90% current amplitude when driving a re- LIST OF ITEMS CONTROLLED sistive load. Unit: Number; parts and accessories in $ ECCN Controls: 3A229.b includes xenon flash- value lamp drivers. Related Controls: See ECCNs 3E001 (‘‘develop- Items: a. Explosive detonator firing sets de- ment’’ and ‘‘production’’) and 3E201 (‘‘use’’) signed to drive multiple controlled deto- for technology for items controlled under nators controlled by 3A232; this entry. b. Modular electrical pulse generators Related Definitions: N/A (pulsers) having all of the following charac- Items: a. Designed for operation without an teristics: external vacuum system; and b.1. Designed for portable, mobile, or b. Utilizing electrostatic acceleration to ruggedized use; induce a tritium-deuterium nuclear reaction. b.2. Enclosed in a dust-tight enclosure; b.3. Capable of delivering their energy in 3A232 Detonators and multipoint initiation less than 15 μs; systems, as follows (see List of Items Con- b.4. Having an output greater than 100 A; trolled). b.5. Having a ‘‘rise time’’ of less than 10 μs LICENSE REQUIREMENTS into loads of less than 40 ohms; Reason for Control: NP, AT

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Control(s) Country chart Items: a. Inductively coupled plasma mass spectrometers (ICP/MS); NP applies to entire entry ...... NP Column 1 b. Glow discharge mass spectrometers AT applies to entire entry ...... AT Column 1 (GDMS); c. Thermal ionization mass spectrometers LICENSE EXCEPTIONS (TIMS); LVS: N/A d. Electron bombardment mass spectrom- GBS: N/A eters that have a source chamber con- CIV: N/A structed from, lined with or plated with ma- LIST OF ITEMS CONTROLLED terials resistant to UF6; Unit: Number e. Molecular beam mass spectrometers Related Controls: (1) See 1A007 for electrically having either of the following characteris- driven explosive detonators. (2) See ECCNs tics: 3E001 (‘‘development’’ and ‘‘production’’) e.1. A source chamber constructed from, and 3E201 (‘‘use’’) for technology for items lined with or plated with stainless steel or controlled under this entry. (3) High explo- molybdenum and equipped with a cold trap sives and related equipment for military capable of cooling to 193 K (¥80 °C) or less; use are subject to the export licensing au- or thority of the U.S. Department of State, e.2. A source chamber constructed from, Directorate of Defense Trade Controls (see lined with or plated with materials resistant 22 CFR part 121). to UF6; Related Definitions: N/A f. Mass spectrometers equipped with a ECCN Controls: This entry does not control microfluorination ion source designed for detonators using only primary explosives, actinides or actinide fluorides. such as lead azide. 3A292 Oscilloscopes and transient recorders Items: other than those controlled by 3A002.a.5, a. [Reserved] and specially designed components there- b. Arrangements using single or multiple for. detonators designed to nearly simulta- LICENSE REQUIREMENTS neously initiate an explosive surface over an Reason for Control: NP, AT area greater than 5,000 mm2 from a single firing signal with an initiation timing spread Control(s) Country chart over the surface of less than 2.5 μs. TECHNICAL NOTE: The word initiator is NP applies to entire entry ...... NP Column 2 sometimes used in place of the word deto- AT applies to entire entry ...... AT Column 1 nator. LICENSE EXCEPTIONS 3A233 Mass spectrometers, other than those LVS: N/A described in 0B002.g, capable of meas- GBS: N/A uring ions of 230 atomic mass units or CIV: N/A greater and having a resolution of better LIST OF ITEMS CONTROLLED than 2 parts in 230, and ion sources Unit: Number therefor. Related Controls: See ECCN 3E292 (‘‘develop- LICENSE REQUIREMENTS ment’’, ‘‘production’’, and ‘‘use’’) for tech- Reason for Control: NP, AT nology for items controlled under this entry. Control(s) Country chart Related Definitions: ‘‘Bandwidth’’ is defined as the band of frequencies over which the NP applies to entire entry ...... NP Column 1 deflection on the cathode ray tube does not AT applies to entire entry ...... AT Column 1 fall below 70.7% of that at the maximum point measured with a constant input volt- LICENSE EXCEPTIONS age to the oscilloscope amplifier. LVS: N/A Items: a. Non-modular analog oscilloscopes GBS: N/A having a bandwidth of 1 GHz or greater; CIV: N/A b. Modular analog oscilloscope systems LIST OF ITEMS CONTROLLED having either of the following characteris- Unit: Number tics: Related Controls: (1) See ECCNs 3E001 (‘‘devel- b.1. A mainframe with a bandwidth of 1 opment’’ and ‘‘production’’) and 3E201 GHz or greater; or (‘‘use’’) for technology for items controlled b.2. Plug-in modules with an individual under this entry. (2) Mass spectrometers bandwidth of 4 GHz or greater; specially designed or prepared for ana- c. Analog sampling oscilloscopes for the lyzing on-line samples of UF6 gas streams analysis of recurring phenomena with an ef- are subject to the export licensing author- fective bandwidth greater than 4 GHz; ity of the Nuclear Regulatory Commission d. Digital oscilloscopes and transient re- (see 10 CFR part 110). corders, using analog-to-digital conversion Related Definitions: N/A techniques, capable of storing transients by

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sequentially sampling single-shot inputs at vices that confine memory impaired patents successive intervals of less than 1 ns (greater to appropriate medical facilities. than 1 giga-sample per second), digitizing to 8 bits or greater resolution and storing 256 or 3A991 Electronic devices and components more samples. not controlled by 3A001. LICENSE REQUIREMENTS NOTE: Specially designed components con- Reason for Control: AT. trolled by this item are the following, for analog oscilloscopes: Control(s) Country chart 1. Plug-in units; 2. External amplifiers; AT applies to entire entry ...... AT Column 1. 3. Pre-amplifiers; 4. Sampling devices; LICENSE REQUIREMENTS NOTES: See 744.17 of 5. Cathode ray tubes. the EAR for additional license requirements for commodities classified as 3A991.a.1. 3A980 Voice print identification and anal- LICENSE EXCEPTIONS ysis equipment and parts, n.e.s. LVS: N/A LICENSE REQUIREMENTS GBS: N/A Reason for Control: CC CIV: N/A LIST OF ITEMS CONTROLLED Control(s) Country chart Unit: Equipment in number. Related Controls: N/A CC applies to entire entry ...... CC Column 1 Related Definitions: N/A Items: a. ‘‘Microprocessor microcircuits’’, LICENSE EXCEPTIONS ‘‘microcomputer microcircuits’’, and micro- LVS: N/A controller microcircuits having any of the GBS: N/A following: CIV: N/A a.1. A performance speed of 5 GFLOPS or LIST OF ITEMS CONTROLLED more and an arithmetic logic unit with an Unit: Equipment in number access width of 32 bit or more; Related Controls: N/A a.2. A clock frequency rate exceeding 25 Related Definitions: N/A MHz; or Items: The list of items controlled is con- a.3. More than one data or instruction bus tained in the ECCN heading. or serial communication port that provides a 3A981 Polygraphs (except biomedical re- direct external interconnection between par- corders designed for use in medical facili- allel ‘‘microprocessor microcircuits’’ with a ties for monitoring biological and transfer rate of 2.5 Mbyte/s. neurophysical responses); fingerprint b. Storage integrated circuits, as follows: analyzers, cameras and equipment, n.e.s.; b.1. Electrical erasable programmable automated fingerprint and identification read-only memories (EEPROMs) with a stor- retrieval systems, n.e.s.; psychological age capacity; stress analysis equipment; electronic b.1.a. Exceeding 16 Mbits per package for monitoring restraint devices; and spe- flash memory types; or cially designed parts and accessories, b.1.b. Exceeding either of the following n.e.s. limits for all other EEPROM types: b.1.b.1. Exceeding 1 Mbit per package; or LICENSE REQUIREMENTS Reason for Control: CC b.1.b.2. Exceeding 256 kbit per package and a maximum access time of less than 80 ns; Control(s) Country chart b.2. Static random access memories (SRAMs) with a storage capacity: CC applies to entire entry ...... CC Column 1 b.2.a. Exceeding 1 Mbit per package; or b.2.b. Exceeding 256 kbit per package and a LICENSE EXCEPTIONS maximum access time of less than 25 ns; LVS: N/A c. Analog-to-digital converters having any GBS: N/A of the following: CIV: N/A c.1. A resolution of 8 bit or more, but less LIST OF ITEMS CONTROLLED than 12 bit, with an output rate greater than Unit: Equipment in number 200 million words per second; Related Controls: See ECCN 0A982 for other c.2. A resolution of 12 bit with an output types of restraint devices. rate greater than 105 million words per sec- Related Definitions: N/A ond; Items: The list of items controlled is con- c.3. A resolution of more than 12 bit but tained in the ECCN heading. equal to or less than 14 bit withan output NOTE TO ECCN 3A981. In this ECCN, elec- rate greater than 10 million words per sec- tronic monitoring restraint devices are de- ond; or vices used to record or report the location of c.4. A resolution of more than 14 bit with confined persons for law enforcement or an output rate greater than 2.5 million words penal reasons. The term does not include de- per second.

774 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

d. Field programmable logic devices having hours divided by the discharge load in Ohms either of the following: and the mass in kilograms. d.1. An equivalent gate count of more than 2. For the purpose of 3A991.j, a ’cell’ is de- 5000 (2 input gates); or fined as an electrochemical device, which d.2. A toggle frequency exceeding 100 MHz; has positive and negative electrodes, and e. Fast Fourier Transform (FFT) proc- electrolyte, and is a source of electrical en- essors having a rated execution time for a ergy. It is the basic building block of a bat- 1,024 point complex FFT of less than 1 ms. tery. f. Custom integrated circuits for which ei- 3. For the purpose of 3A991.j.1, a ’primary ther the function is unknown, or the control cell’ is a ’cell’ that is not designed to be status of the equipment in which the inte- charged by any other source. grated circuits will be used is unknown to 4. For the purpose of 3A991.j.2., a ’sec- the manufacturer, having any of the fol- ondary cell’ is a ’cell’ that is designed to be lowing: charged by an external electrical source. f.1. More than 144 terminals; or k. ‘‘Superconductive’’ electromagnets or f.2. A typical ‘‘basic propagation delay solenoids specially designed to be fully time’’ of less than 0.4 ns. charged or discharged in less than one g. Traveling wave tubes, pulsed or contin- minute, having all of the following: uous wave, as follows: g.1. Coupled cavity tubes, or derivatives NOTE: 3A991.k does not control ‘‘super- thereof; conductive’’ electromagnets or solenoids de- g.2. Helix tubes, or derivatives thereof, signed for Magnetic Resonance Imaging with any of the following: (MRI) medical equipment. g.2.a. An ‘‘instantaneous bandwidth’’ of k.1. Maximum energy delivered during the half an octave or more; and discharge divided by the duration of the dis- g.2.b. The product of the rated average out- charge of more than 500 kJ per minute; put power (expressed in kW) and the max- k.2. Inner diameter of the current carrying imum operating frequency (expressed in windings of more than 250 mm; and GHz) of more than 0.2; k.3. Rated for a magnetic induction of g.2.c. An ‘‘instantaneous bandwidth’’ of more than 8T or ‘‘overall current density’’ in less than half an octave; and the winding of more than 300 A/mm2. g.2.d. The product of the rated average out- l. Circuits or systems for electromagnetic put power (expressed in kW) and the max- energy storage, containing components man- imum operating frequency (expressed in ufactured from ‘‘superconductive’’ materials GHz) of more than 0.4; specially designed for operation at tempera- h. Flexible waveguides designed for use at tures below the ‘‘critical temperature’’ of at frequencies exceeding 40 GHz; least one of their ‘‘superconductive’’ con- i. Surface acoustic wave and surface skim- stituents, having all of the following: ming (shallow bulk) acoustic wave devices l.1. Resonant operating frequencies exceed- (i.e., ‘‘signal processing’’ devices employing ing 1 MHz; elastic waves in materials), having either of l.2. A stored energy density of 1 MJ/M3 or the following: more; and i.1. A carrier frequency exceeding 1 GHz; or l.3. A discharge time of less than 1 ms; i.2. A carrier frequency of 1 GHz or less; m. Hydrogen/hydrogen-isotope thyratrons and of ceramic-metal construction and rate for a i.2.a. A frequency side-lobe rejection ex- peak current of 500 A or more; ceeding 55 Db; n. Digital integrated circuits based on any i.2.b. A product of the maximum delay compound semiconductor having an equiva- time and bandwidth (time in microseconds lent gate count of more than 300 (2 input and bandwidth in MHz) of more than 100; or gates). i.2.c. A dispersive delay of more than 10 o. Solar cells, cell-interconnect-coverglass microseconds. (CIC) assemblies, solar panels, and solar ar- j. Cells as follows: rays, which are ‘‘space qualified’’ and not j.1. Primary cells having an energy density controlled by 3A001.e.4. of 550 Wh/kg or less at 293 K (20 °C); j.2. Secondary cells having an energy den- 3A992 General purpose electronic equip- sity of 250 Wh/kg or less at 293 K (20 °C). ment not controlled by 3A002. NOTE: 3A991.j. does not control batteries, LICENSE REQUIREMENTS including single cell batteries. Reason for Control: AT Technical Notes: 1. For the purpose of Control(s) Country chart 3A991.j energy density (Wh/kg) is calculated from the nominal voltage multiplied by the AT applies to entire entry ...... AT Column 1. nominal capacity in ampere-hours divided by the mass in kilograms. If the nominal capac- LICENSE EXCEPTIONS ity is not stated, energy density is cal- LVS: N/A culated from the nominal voltage squared GBS: N/A then multiplied by the discharge duration in CIV: N/A

775 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

LIST OF ITEMS CONTROLLED f. Chromatography and spectrometry ana- Unit: Equipment in number lytical instruments. Related Controls: N/A Related Definitions: N/A B. TEST, INSPECTION AND PRODUCTION Items: a. Electronic test equipment, n.e.s. EQUIPMENT b. Digital instrumentation magnetic tape 3B001 Equipment for the manufacturing of data recorders having any of the following semiconductor devices or materials, as characteristics; follows (see List of Items Controlled) and b.1. A maximum digital interface transfer specially designed components and acces- rate exceeding 60 Mbit/s and employing hel- sories therefor. ical scan techniques; LICENSE REQUIREMENTS b.2. A maximum digital interface transfer Reason for Control: NS, AT rate exceeding 120 Mbit/s and employing fixed head techniques; or Control(s) Country chart b.3. ‘‘Space qualified’’; c. Equipment, with a maximum digital NS applies to entire entry ...... NS Column 2 interface transfer rate exceeding 60 Mbit/s, AT applies to entire entry ...... AT Column 1 designed to convert digital video magnetic tape recorders for use as digital instrumen- LICENSE REQUIREMENT NOTES: See § 743.1 of tation data recorders; the EAR for reporting requirements for exports under License Exceptions. 3A999 Specific Processing Equipment, n.e.s., LICENSE EXCEPTIONS as Follows (See List of Items Controlled). LVS: $500 LICENSE REQUIREMENTS GBS: Yes, except 3B001.a.2 (metal organic Reason for Control: AT. chemical vapor deposition reactors), a.3 Control(s). (molecular beam epitaxial growth equip- Country Chart. ment using gas sources), .e (automatic AT applies to entire entry. A license is re- loading multi-chamber central wafer han- quired for items controlled by this entry to dling systems only if connected to equip- North Korea for anti-terrorism reasons. The ment controlled by 3B001.a.2, a.3, or .f), and Commerce Country Chart is not designed to .f (lithography equipment). determine AT licensing requirements for CIV: Yes for equipment controlled by this entry. See § 742.19 of the EAR for addi- 3B001.a.1 tional information. STA: License Exception STA may not be LICENSE EXCEPTIONS used to ship any item in 3B001.a.2 to any of LVS: N/A the eight destinations listed in § 740.20(c)(2) GBS: N/A of the EAR. CIV: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: Number. Unit: $ value. Related Controls: See also 3B991. Related Controls: See also 0B002, 3A225 (for Related Definitions: N/A frequency changes capable of operating in Items: the frequency range of 600 Hz and above), a. Equipment designed for epitaxial growth 3A233. as follows: Related Definitions: N/A a.1. Equipment capable of producing a Items: a. Frequency changers capable of oper- layer of any material other than silicon with ating in the frequency range from 300 up to a thickness uniform to less than ±2.5% across 600 Hz, n.e.s; a distance of 75 mm or more; b. Mass spectrometers n.e.s; NOTE: 3B001.a.1 includes atomic layer c. All flash x-ray machines, and compo- epitaxy (ALE) equipment. nents of pulsed power systems designed thereof, including Marx generators, high a.2. Metal Organic Chemical Vapor Deposi- power pulse shaping networks, high voltage tion (MOCVD) reactors specially designed for capacitors, and triggers; compound semiconductor crystal growth by d. Pulse amplifiers, n.e.s.; the chemical reaction between materials e. Electronic equipment for time delay controlled by 3C003 or 3C004; generation or time interval measurement, as a.3. Molecular beam epitaxial growth follows: equipment using gas or solid sources; e.1. Digital time delay generators with a b. Equipment designed for ion implanta- resolution of 50 nanoseconds or less over tion and having any of the following: time intervals of 1 microsecond or greater; or b.1. A beam energy (accelerating voltage) e.2. Multi-channel (three or more) or mod- exceeding 1MeV; ular time interval meter and chronometry b.2. Being specially designed and optimized equipment with resolution of 50 nanoseconds to operate at a beam energy (accelerating or less over time intervals of 1 microsecond voltage) of less than 2 keV; or greater; b.3. Direct write capability; or

776 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

b.4. A beam energy of 65 keV or more and e.2. Designed to form an integrated system a beam current of 45 mA or more for high en- in a vacuum environment for ′sequential ergy oxygen implant into a heated semicon- multiple wafer processing′; ductor material ‘‘substrate’’; NOTE: 3B001.e does not control automatic c. Anisotropic plasma dry etching equip- robotic wafer handling systems specially de- ment having all of the following: signed for parallel wafer processing. c.1. Designed or optimized to produce crit- TECHNICAL NOTES: 1. For the purpose of ical dimensions of 65 nm or less; and 3B001.e, ’semiconductor process tools’ refers c.2. Within-wafer non-uniformity equal to to modular tools that provide physical processes for semiconductor production that are or less than 10% 3s measured with an edge exclusion of 2 mm or less; functionally different, such as deposition, etch, implant or thermal processing. d. Plasma enhanced Chemical Vapor Depo- 2. For the purpose of 3B001.e, ’sequential sition (CVD) equipment as follows: multiple wafer processing’ means the capa- d.1. Equipment with cassette-to-cassette bility to process each wafer in different operation and load-locks, and designed ac- ’semiconductor process tools’, such as by cording to the manufacturer’s specifications transferring each wafer from one tool to a or optimized for use in the production of second tool and on to a third tool with the semiconductor devices with critical dimen- automatic loading multi-chamber central sions of 65 nm or less; wafer handling systems. d.2. Equipment specially designed for f. Lithography equipment as follows: equipment controlled by 3B001.e. and de- f.1. Align and expose step and repeat (di- signed according to the manufacturer’s spec- rect step on wafer) or step and scan (scanner) ifications or optimized for use in the produc- equipment for wafer processing using photo- tion of semiconductor devices with critical optical or X-ray methods and having any of dimensions of 65 nm or less; the following: e. Automatic loading multi-chamber cen- f.1.a. A light source wavelength shorter tral wafer handling systems having all of the than 245 nm; or following: f.1.b. Capable of producing a pattern with a e.1. Interfaces for wafer input and output, ‘‘Minimum Resolvable Feature size’’ (MRF) to which more than twofunctionally dif- of 95 nm or less; ferent ’semiconductor process tools’ con- TECHNICAL NOTE: The ‘Minimum Resolv- trolled by 3B001.a, 3B001.b, 3B001.c or 3B001.d able Feature size’ (MRF) is ca llculated by are designed to be connected; and the following formula:

where the K factor = 0.35 f.3.b.2. Being capable of producing a pattern with a feature size of less than 1 μm; or f.2 Imprint lithography equipment capa- f.3.b.3. An overlay accuracy of better than ble of production features of 95 nm or less; ±0.20 μm (3 sigma); NOTE: 3B001.f.2 includes: g. Masks and reticles, designed for inte- —Micro contact printing tools grated circuits controlled by 3A001; —Hot embossing tools h. Multi-layer masks with a phase shift —Nano-imprint lithography tools layer; —Step and flash imprint lithography (S–FIL) NOTE: 3B001.h. does not control multi-layer tools masks with a phase shift layer designed for f.3. Equipment specially designed for mask the fabrication of memory devices not con- making or semiconductor device processing trolled by 3A001. using direct writing methods, having all of i. Imprint lithography templates designed the following: for integrated circuits by 3A001. f.3.a. Using deflected focused electron beam, ion beam or ‘‘laser’’ beam; and 3B002 ‘‘Test equipment specially designed f.3.b. Having any of the following: for testing finished or unfinished semi- f.3.b.1. A spot size smaller than 0.2 μm; conductor devices as follows (see List of

777 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Items Controlled) and specially designed electro-optical devices, acoustic-wave de- components and accessories therefor. vices. LICENSE REQUIREMENTS b.1. Equipment for the processing of mate- Reason for Control: NS, AT rials for the manufacture of devices and components as specified in the heading of Control(s) Country chart 3B991.b, as follows: NS applies to entire entry ...... NS Column 2 NOTE: 3B991 does not control quartz fur- AT applies to entire entry ...... AT Column 1 nace tubes, furnace liners, paddles, boats (except specially designed caged boats), bub- LICENSE EXCEPTIONS blers, cassettes or crucibles specially de- LVS: $500 signed for the processing equipment con- GBS: Yes trolled by 3B991.b.1. N/A CIV: b.1.a. Equipment for producing LIST OF ITEMS CONTROLLED polycrystalline silicon and materials con- Number. Unit: trolled by 3C001; Related Controls: See also 3A999.a and 3B992. b.1.b. Equipment specially designed for pu- Related Definitions: N/A rifying or processing III/V and II/VI semicon- Items: a. For testing S-parameters of tran- ductor materials controlled by 3C001, 3C002, sistor devices at frequencies exceeding 31.8 3C003, 3C004, or 3C005 except crystal pullers, GHz; for which see 3B991.b.1.c below; b. [Reserved] b.1.c. Crystal pullers and furnaces, as fol- c. For testing microwave integrated cir- lows: cuits controlled by 3A001.b.2. NOTE: 3B991.b.1.c does not control diffusion 3B991 Equipment not controlled by 3B001 and oxidation furnaces. for the manufacture of electronic compo- b.1.c.1. Annealing or recrystallizing equip- nents and materials, and specially de- ment other than constant temperature fur- signed components and accessories there- naces employing high rates of energy trans- for. fer capable of processing wafers at a rate ex- LICENSE REQUIREMENTS ceeding 0.005 m2 per minute; Reason for Control: AT b.1.c.2. ‘‘Stored program controlled’’ crystal pullers having any of the following char- Control(s) Country chart acteristics: b.1.c.2.a. Rechargeable without replacing AT applies to entire entry ...... AT Column 1 the crucible container; b.1.c.2.b. Capable of operation at pressures LICENSE EXCEPTIONS above 2.5 × 105 Pa; or LVS: N/A b.1.c.2.c. Capable of pulling crystals of a di- GBS: N/A ameter exceeding 100 mm; CIV: N/A b.1.d. ‘‘Stored program controlled’’ equip- LIST OF ITEMS CONTROLLED ment for epitaxial growth having any of the Unit: Equipment in number, and components following characteristics: and accessories in $ value b.1.d.1. Capable of producing a silicon layer Related Controls: N/A with a thickness uniform to less than ±2.5% Related Definitions: ‘Sputtering’ is an overlay across a distance of 200 mm or more; coating process wherein positively charged b.1.d.2. Capable of producing a layer of any ions are accelerated by an electric field to- material other than silicon with a thickness wards the surface of a target (coating ma- uniformity across the wafer of equal to or terial). The kinetic energy of the impact- better than ±3.5%; or ing ions is sufficient to cause target sur- b.1.d.3. Rotation of individual wafers dur- face atoms to be released and deposited on ing processing; the substrate. (NOTE: Triode, magnetron or b.1.e. Molecular beam epitaxial growth radio frequency sputtering to increase ad- equipment; hesion of coating and rate of deposition are b.1.f. Magnetically enhanced ‘sputtering’ ordinary modifications of the process.) equipment with specially designed integral Items: a. Equipment specially designed for load locks capable of transferring wafers in the manufacture of electron tubes, optical an isolated vacuum environment; elements and specially designed components b.1.g. Equipment specially designed for ion therefor controlled by 3A001 or 3A991; implantation, ion-enhanced or photo-en- b. Equipment specially designed for the hanced diffusion, having any of the following manufacture of semiconductor devices, inte- characteristics: grated circuits and ‘‘electronic assemblies’’, b.1.g.1. Patterning capability; as follows, and systems incorporating or hav- b.1.g.2. Beam energy (accelerating voltage) ing the characteristics of such equipment: exceeding 200 keV; NOTE: 3B991.b also controls equipment used b.1.g.3 Optimized to operate at a beam en- or modified for use in the manufacture of ergy (accelerating voltage) of less than 10 other devices, such as imaging devices, keV; or

778 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

b.1.g.4. Capable of high energy oxygen im- NOTE: 3B991.b.1.j does not control electron plant into a heated ‘‘substrate’’; beam deposition systems or general purpose b.1.h. ‘‘Stored program controlled’’ equip- scanning electron microscopes. ment for the selective removal (etching) by b.1.k. Surface finishing equipment for the means of anisotropic dry methods (e.g., plas- processing of semiconductor wafers as fol- ma), as follows: lows: b.1.h.1. Batch types having either of the b.1.k.1. Specially designed equipment for following: backside processing of wafers thinner than b.1.h.1.a. End-point detection, other than 100 micrometer and the subsequent separa- optical emission spectroscopy types; or tion thereof; or b.1.h.1.b. Reactor operational (etching) b.1.k.2. Specially designed equipment for pressure of 26.66 Pa or less; achieving a surface roughness of the active b.1.h.2. Single wafer types having any of surface of a processed wafer with a two- the following: sigma value of 2 micrometer or less, total in- b.1.h.2.a. End-point detection, other than dicator reading (TIR); optical emission spectroscopy types; NOTE: 3B991.b.1.k does not control single- b.1.h.2.b. Reactor operational (etching) side lapping and polishing equipment for pressure of 26.66 Pa or less; or wafer surface finishing. b.1.h.2.c. Cassette-to-cassette and load b.1.l. Interconnection equipment which in- locks wafer handling; cludes common single or multiple vacuum NOTES: 1. ‘‘Batch types’’ refers to machines chambers specially designed to permit the not specially designed for production proc- integration of any equipment controlled by essing of single wafers. Such machines can 3B991 into a complete system; process two or more wafers simultaneously b.1.m. ‘‘Stored program controlled’’ equip- with common process parameters, e.g., RF ment using ‘‘lasers’’ for the repair or trim- power, temperature, etch gas species, flow ming of ‘‘monolithic integrated circuits’’ rates. with either of the following characteristics: ± 2. ‘‘Single wafer types’’ refers to machines b.1.m.1. Positioning accuracy less than 1 specially designed for production processing micrometer; or b.1.m.2. Spot size (kerf width) less than 3 of single wafers. These machines may use micrometer. automatic wafer handling techniques to load b.2. Masks, mask ‘‘substrates’’, mask-mak- a single wafer into the equipment for proc- ing equipment and image transfer equipment essing. The definition includes equipment for the manufacture of devices and compo- that can load and process several wafers but nents as specified in the heading of 3B991, as where the etching parameters, e.g., RF power follows: or end point, can be independently determined for each individual wafer. NOTE: The term ‘‘masks’’ refers to those b.1.i. ‘‘Chemical vapor deposition’’ (CVD) used in electron beam lithography, X-ray li- equipment, e.g., plasma-enhanced CVD thography, and ultraviolet lithography, as (PECVD) or photo-enhanced CVD, for semi- well as the usual ultraviolet and visible conductor device manufacturing, having ei- photo-lithography. ther of the following capabilities, for deposi- b.2.a. Finished masks, reticles and designs tion of oxides, nitrides, metals or therefor, except: polysilicon: b.2.a.1. Finished masks or reticles for the b.1.i.1. ‘‘Chemical vapor deposition’’ equip- production of unembargoed integrated cir- ment operating below 105 Pa; or cuits; or b.1.i.2. PECVD equipment operating either b.2.a.2. Masks or reticles, having both of below 60 Pa (450 millitorr) or having auto- the following characteristics: matic cassette-to-cassette and load lock b.2.a.2.a. Their design is based on geome- wafer handling; tries of 2.5 micrometer or more; and b.2.a.2.b. The design does not include spe- NOTE: 3B991.b.1.i does not control low pres- cial features to alter the intended use by sure ‘‘chemical vapor deposition’’ (LPCVD) means of production equipment or ‘‘soft- systems or reactive ‘‘sputtering’’ equipment. ware’’ b.1.j. Electron beam systems specially de- b.2.b. Mask ‘‘substrates’’ as follows: signed or modified for mask making or semi- b.2.b.1. Hard surface (e.g., chromium, sil- conductor device processing having any of icon, molybdenum) coated ‘‘substrates’’ (e.g., the following characteristics: glass, quartz, sapphire) for the preparation of b.1.j.1. Electrostatic beam deflection; masks having dimensions exceeding 125 mm b.1.j.2. Shaped, non-Gaussian beam profile; × 125 mm; or b.1.j.3. Digital-to-analog conversion rate b.2.b.2. ‘‘Substrates’’ specially designed for exceeding 3 MHz; X-ray masks; b.1.j.4. Digital-to-analog conversion accu- b.2.c. Equipment, other than general pur- racy exceeding 12 bit; or pose computers, specially designed for com- b.1.j.5. Target-to-beam position feedback puter aided design (CAD) of semiconductor control precision of 1 micrometer or finer; devices or integrated circuits;

779 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

b.2.d. Equipment or machines, as follows, b.3. Equipment for the assembly of inte- for mask or reticle fabrication: grated circuits, as follows: b.2.d.1. Photo-optical step and repeat cam- b.3.a. ‘‘Stored program controlled’’ die eras capable of producing arrays larger than bonders having all of the following charac- 100 mm × 100 mm, or capable of producing a teristics: single exposure larger than 6 mm × 6 mm in b.3.a.1. Specially designed for ‘‘hybrid inte- the image (i.e., focal) plane, or capable of grated circuits’; producing line widths of less than 2.5 mi- b.3.a.2. X-Y stage positioning travel ex- crometer in the photoresist on the ‘‘sub- ceeding 37.5 × 37.5 mm; and strate’; b.3.a.3. Placement accuracy in the X-Y b.2.d.2. Mask or reticle fabrication equip- plane of finer than ±10 micrometer; ment using ion or ‘‘laser’’ beam lithography b.3.b. ‘‘Stored program controlled’’ equip- capable of producing line widths of less than ment for producing multiple bonds in a sin- 2.5 micrometer; or gle operation (e.g., beam lead bonders, chip b.2.d.3. Equipment or holders for altering carrier bonders, tape bonders); masks or reticles or adding pellicles to re- b.3.c. Semi-automatic or automatic hot move defects; cap sealers, in which the cap is heated lo- cally to a higher temperature than the body NOTE: 3B991.b.2.d.1 and b.2.d.2 do not con- of the package, specially designed for ce- trol mask fabrication equipment using ramic microcircuit packages controlled by photo-optical methods which was either 3A001 and that have a throughput equal to or commercially available before the 1st Janu- more than one package per minute. ary, 1980, or has a performance no better NOTE: 3B991.b.3 does not control general than such equipment. purpose resistance type spot welders. b.2.e. ‘‘Stored program controlled’’ equip- b.4. Filters for clean rooms capable of pro- ment for the inspection of masks, reticles or viding an air environment of 10 or less par- pellicles with: ticles of 0.3 micrometer or smaller per 0.02832 b.2.e.1. A resolution of 0.25 micrometer or m3 and filter materials therefor. finer; and b.2.e.2. A precision of 0.75 micrometer or 3B992 Equipment not controlled by 3B002 finer over a distance in one or two coordi- for the inspection or testing of electronic nates of 63.5 mm or more; components and materials, and specially NOTE: 3B991.b.2.e does not control general designed components and accessories purpose scanning electron microscopes ex- therefor; cept when specially designed and instru- LICENSE REQUIREMENTS mented for automatic pattern inspection. Reason for Control: AT

b.2.f. Align and expose equipment for wafer Control(s) Country chart production using photo-optical or X-ray methods, e.g., lithography equipment, in- AT applies to entire entry ...... AT Column 1. cluding both projection image transfer equipment and step and repeat (direct step LICENSE EXCEPTIONS on wafer) or step and scan (scanner) equip- LVS: N/A ment, capable of performing any of the fol- GBS: N/A lowing functions: CIV: N/A LIST OF ITEMS CONTROLLED NOTE: 3B991.b.2.f does not control photo-op- Unit: Equipment in number. tical contact and proximity mask align and Related Controls: See also 3A992.a. expose equipment or contact image transfer Related Definitions: N/A equipment. Items: a. Equipment specially designed for b.2.f.1. Production of a pattern size of less the inspection or testing of electron tubes, than 2.5 micrometer; optical elements and specially designed com- b.2.f.2. Alignment with a precision finer ponents therefor controlled by 3A001 or than ±0.25 micrometer (3 sigma); 3A991; b.2.f.3. Machine-to-machine overlay no bet- b. Equipment specially designed for the inter than ±0.3 micrometer; or spection or testing of semiconductor devices, b.2.f.4. A light source wavelength shorter integrated circuits and ‘‘electronic assem- than 400 nm; blies’’, as follows, and systems incorporating b.2.g. Electron beam, ion beam or X-ray or having the characteristics of such equip- equipment for projection image transfer ca- ment: pable of producing patterns less than 2.5 mi- NOTE: 3B992.b also controls equipment used crometer; or modified for use in the inspection or test- NOTE: For focused, deflected-beam systems ing of other devices, such as imaging devices, (direct write systems), see 3B991.b.1.j or b.10. electro-optical devices, acoustic-wave de- b.2.h. Equipment using ‘‘lasers’’ for direct vices. write on wafers capable of producing pat- b.1. ‘‘Stored program controlled’’ inspec- terns less than 2.5 micrometer. tion equipment for the automatic detection

780 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

of defects, errors or contaminants of 0.6 mi- as test speed, maximum digital frequency or crometer or less in or on processed wafers, maximum digital speed. ‘‘substrates’’, other than printed circuit b.4.c. Equipment specially designed for de- boards or chips, using optical image acquisi- termining the performance of focal-plane ar- tion techniques for pattern comparison; rays at wavelengths of more than 1,200 nm, NOTE: 3B992.b.1 does not control general using ‘‘stored program controlled’’ measure- purpose scanning electron microscopes, ex- ments or computer aided evaluation and hav- cept when specially designed and instru- ing any of the following characteristics: mented for automatic pattern inspection. b.4.c.1. Using scanning light spot diameters b.2. Specially designed ‘‘stored program of less than 0.12 mm; controlled’’ measuring and analysis equip- b.4.c.2. Designed for measuring photosensi- ment, as follows: tive performance parameters and for evalu- b.2.a. Specially designed for the measure- ating frequency response, modulation trans- ment of oxygen or carbon content in semi- fer function, uniformity of responsivity or conductor materials; noise; or b.2.b. Equipment for line width measure- b.4.c.3. Designed for evaluating arrays ca- ment with a resolution of 1 micrometer or pable of creating images with more than 32 × finer; 32 line elements; b.2.c. Specially designed flatness measure- b.5. Electron beam test systems designed ment instruments capable of measuring devi- for operation at 3 keV or below, or ‘‘laser’’ ations from flatness of 10 micrometer or less beam systems, for non-contactive probing of with a resolution of 1 micrometer or finer. powered-up semiconductor devices having b.3. ‘‘Stored program controlled’’ wafer any of the following: probing equipment having any of the fol- b.5.a. Stroboscopic capability with either lowing characteristics: beam blanking or detector strobing; b.3.a. Positioning accuracy finer than 3.5 micrometer; b.5.b. An electron spectrometer for voltage b.3.b. Capable of testing devices having measurements with a resolution of less than more than 68 terminals; or 0.5 V; or b.3.c. Capable of testing at a frequency ex- b.5.c. Electrical tests fixtures for perform- ceeding 1 GHz; ance analysis of integrated circuits; b.4. Test equipment as follows: NOTE: 3B992.b.5 does not control scanning b.4.a. ‘‘Stored program controlled’’ equip- electron microscopes, except when specially ment specially designed for testing discrete designed and instrumented for non- semiconductor devices and unencapsulated contactive probing of a powered-up semicon- dice, capable of testing at frequencies ex- ductor device. ceeding 18 GHz; b.6. ‘‘Stored program controlled’’ multi- TECHNICAL NOTE: Discrete semiconductor functional focused ion beam systems spe- devices include photocells and solar cells. cially designed for manufacturing, repairing, b.4.b. ‘‘Stored program controlled’’ equip- physical layout analysis and testing of ment specially designed for testing inte- masks or semiconductor devices and having grated circuits and ‘‘electronic assemblies’’ either of the following characteristics: thereof, capable of functional testing: b.6.a. Target-to-beam position feedback b.4.b.1. At a ‘pattern rate’ exceeding 20 control precision of 1 micrometer or finer; or MHz; or b.6.b. Digital-to-analog conversion accu- b.4.b.2. At a ‘pattern rate’ exceeding 10 racy exceeding 12 bit; MHz but not exceeding 20 MHz and capable of b.7. Particle measuring systems employing testing packages of more than 68 terminals. ‘‘lasers’’ designed for measuring particle size NOTES: 3B992.b.4.b does not control test and concentration in air having both of the equipment specially designed for testing: following characteristics: 1. memories; b.7.a. Capable of measuring particle sizes of 2. ‘‘Assemblies’’ or a class of ‘‘electronic 0.2 micrometer or less at a flow rate of assemblies’’ for home and entertainment ap- 0.02832 m3 per minute or more; and plications; and b.7.b. Capable of characterizing Class 10 3. Electronic components, ‘‘assemblies’’ clean air or better. and integrated circuits not controlled by 3A001 or 3A991 provided such test equipment C. MATERIALS does not incorporate computing facilities with ‘‘user accessible programmability’’. 3C001 Hetero-epitaxial materials consisting TECHNICAL NOTE: For purposes of of a ‘‘substrate’’ having stacked 3B992.b.4.b, ‘pattern rate’ is defined as the epitaxially grown multiple layers of any maximum frequency of digital operation of a of the following (see List of Items Con- tester. It is therefore equivalent to the high- trolled). est data rate that a tester can provide in LICENSE REQUIREMENTS non-multiplexed mode. It is also referred to Reason for Control: NS, AT

781 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Control(s) Country chart Reason for Control: NS, AT

NS applies to entire entry ...... NS Column 2 Control(s) Country chart AT applies to entire entry ...... AT Column 1 NS applies to entire entry ...... NS Column 2 LICENSE EXCEPTIONS AT applies to entire entry ...... AT Column 1 LVS: $3000 GBS: N/A LICENSE EXCEPTIONS CIV: N/A LVS: $3000 LIST OF ITEMS CONTROLLED GBS: N/A Unit: $ value. CIV: N/A Related Controls: This entry does not control LIST OF ITEMS CONTROLLED equipment or material whose functionality Unit: $ value has been unalterably disabled are not con- Related Controls: This entry controls only trolled. compounds whose metallic, partly metallic Related Definitions: N/A or non-metallic element is directly linked Items: a. Silicon; to carbon in the organic part of the mol- a. Silicon (Si); ecule. b. Germanium (Ge); Related Definition: N/A c. Silicon Carbide (SiC); or Items: d. ‘‘III/V compounds’’ of gallium or indium. a. Organo-metallic compounds of aluminum, gallium or indium, having a purity 3C002 Resist materials as follows (see List (metal basis) better than 99.999%; of Items Controlled) and ‘‘substrates’’ b. Organo-arsenic, organo-antimony and coated with the following resists. organo-phosphorus compounds, having a pu- Reason for Control: NS, AT rity (inorganic element basis) better than 99.999%. Control(s) Country chart 3C004 Hydrides of phosphorus, arsenic or NS applies to entire entry ...... NS Column 2 antimony, having a purity better than AT applies to entire entry ...... AT Column 1 99.999%, even diluted in inert gases or hydrogen. LICENSE EXCEPTIONS LICENSE REQUIREMENTS LVS: $3000 Reason for Control: NS, AT GBS: Yes for positive resists not optimized for photolithography at a wavelength of Control(s) Country chart less than 365 nm, provided that they are not controlled by 3C002.b through .e. NS applies to entire entry ...... NS Column 2 CIV: Yes for positive resists not optimized AT applies to entire entry ...... AT Column 1 for photolithography at a wavelength of less than 365 nm, provided that they are LICENSE EXCEPTIONS not controlled by 3C002.b through .e. LVS: $3000 LIST OF ITEMS CONTROLLED GBS: N/A Unit: $ value CIV: N/A Related Controls: N/A LIST OF ITEMS CONTROLLED Related Definitions: Silylation techniques are Unit: $ value defined as processes incorporating oxida- Related Controls: N/A tion of the resist surface to enhance per- Related Definition: N/A formance for both wet and dry developing. Items: The list of items controlled is con- Items: a. Positive resists designed for semi- tained in the ECCN heading. conductor lithography specially adjusted NOTE: This entry does not control hydrides (optimized) for use at wavelengths below 245 containing 20% molar or more of inert gases nm; or hydrogen. b. All resists designed for use with electron beams or ion beams, with a sensitivity of 0.01 3C005 Silicon carbide (SiC), gallium nitride μcoulomb/mm 2 or better; (GaN), aluminum nitride (AlN) or alu- c. All resists designed for use with X-rays, minum gallium nitride (AlGaN) ‘‘sub- with a sensitivity of 2.5 mJ/mm 2 or better; strates’’, or ingots, boules, or other d. All resists optimized for surface imaging preforms of those materials, having technologies, including silylated resists. resistivities greater than 10,000 ohm-cm e. All resists designed or optimized for use at 20 ≥C. with imprint lithography equipment speci- LICENSE REQUIREMENTS fied by 3B001.f.2. that use either a thermal or Reason for Control: NS, AT photo-curable process. Control(s) Country chart 3C003 Organo-inorganic compounds as follows (see List of Items Controlled). NS applies to entire entry ...... NS Column 2. AT applies to entire entry ...... AT Column 1. LICENSE REQUIREMENTS

782 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LICENSE EXCEPTIONS ment controlled by 3A001.b to 3A002.g or LVS: $3000 3B (except 3B991 and 3B992). GBS: Yes LICENSE REQUIREMENTS CIV: Yes Reason for Control: NS, AT LIST OF ITEMS CONTROLLED Unit: $ value Control(s) Country chart Related Controls: See ECCN 3E001 for related development and production technology, NS applies to ‘‘software’’ for equip- NS Column 1 and ECCN 3B991.b.1.b for related produc- ment controlled by 3A001.b to 3A001.f, 3A002, and 3B. tion equipment. AT applies to entire entry ...... AT Column 1 Related Definition: N/A Items: LICENSE REQUIREMENT NOTES: See § 743.1 of The list of items controlled is contained in the EAR for reporting requirements for ex- the ECCN heading. ports under License Exceptions. 3C006 ‘‘Substrates’’ specified in 3C005 with LICENSE EXCEPTIONS at least one epitaxial layer of silicon car- CIV: N/A bide, gallium nitride, aluminum nitride TSR: Yes, except for ‘‘software’’ specially de- or aluminum gallium nitride. signed for the ‘‘development’’ or ‘‘produc- LICENSE REQUIREMENTS tion’’ of Traveling Wave Tube Amplifiers Reason for Control: NS, AT described in 3A001.b.8 having operating frequencies exceeding 18 GHz. Control(s) Country Chart STA: License Exception STA may not be used to ship or transmit ‘‘software’’ spe- NS applies to entire entry ...... NS Column 2. cially designed for the ‘‘development’’ or AT applies to entire entry ...... AT Column 1. ‘‘production’’ of equipment specified by 3A002.g.1 or 3B001.a.2 to any of the eight LICENSE EXCEPTIONS destinations listed in § 740.20(c)(2) of the LVS: $3000 EAR. GBS: Yes LIST OF ITEMS CONTROLLED CIV: Yes Unit: $ value. LIST OF ITEMS CONTROLLED Unit: $ value Related Controls: ‘‘Software’’ specially de- Related Controls: See ECCN 3D001 for related signed for the ‘‘development’’ or ‘‘produc- ‘‘development’’ or ‘‘production’’ ‘‘soft- tion’’ of the following equipment is under ware’’, ECCN 3E001 for related ‘‘develop- the export licensing authority of the De- ment’’ and ‘‘production’’ ‘‘technology’’, partment of State, Directorate of Defense and ECCN 3B991.b.1.b for related ‘‘produc- Trade Controls (22 CFR part 121): (1.) When tion’’ equipment. operating at frequencies higher than 31.8 Related Definition: N/A GHz and ‘‘space qualified’’: Helix tubes Items: The list of items controlled is con- (traveling wave tubes (TWT)) defined in tained in the ECCN heading. 3A001.b.1.a.4.c; microwave solid state am- 3C992 Positive resists designed for semicon- plifiers defined in 3A001.b.4.b; and traveling ductor lithography specially adjusted (op- wave tube amplifiers (TWTA) defined in timized) for use at wavelengths between 3A001.b.8; (2.) ‘‘Space qualified’’ solar cells, 370 and 245 nm. coverglass-interconnect-cells or covered- interconnect-cells (CIC) assemblies, solar LICENSE REQUIREMENTS Reason for Control: AT arrays, and/or solar panels, with a minimum average efficiency of 31% or greater Control(s) Country chart at an operating temperature of 301 °K (28 °C) under simulated ’AM0’ illumination AT applies to entire entry ...... AT Column 1 with an irradiance of 1,367 Watts per square meter (W/m2), and associated solar con- LICENSE EXCEPTIONS centrators, power conditioners, and/or con- LVS: N/A trollers, bearing and power transfer assem- GBS: N/A blies, and deployment hardware/systems. CIV: N/A (3.) ‘‘Space qualified’’ atomic frequency LIST OF ITEMS CONTROLLED standards defined in 3A002.g.2. See also Unit: $ value 3D101. Related Controls: N/A Related Definitions: N/A Related Definitions: N/A Items: The list of items controlled is con- Items: The list of items controlled is contained in the ECCN heading. tained in the ECCN heading. 3D002 ‘‘ Software’’ specially designed for the ‘‘use’’ of equipment controlled by 3B001.a D. SOFTWARE to .f, or 3B002. 3D001 ‘‘Software’’ specially designed for the LICENSE REQUIREMENTS ‘‘development’’ or ‘‘production’’ of equip- Reason for Control: NS, AT

783 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Control(s) Country chart 3D101 ‘‘Software’’ specially designed or modified for the ‘‘use’’ of equipment con- NS applies to entire entry ...... NS Column 1 trolled by 3A101.b. AT applies to entire entry ...... AT Column 1 LICENSE REQUIREMENTS Reason for Control: MT, AT LICENSE EXCEPTIONS CIV: N/A Control(s) Country chart TSR: Yes LIST OF ITEMS CONTROLLED MT applies to entire entry ...... MT Column 1 Unit: $ value AT applies to entire entry ...... AT Column 1 Related Controls: Also see 3D991. Related Definitions: N/A LICENSE EXCEPTIONS Items: The list of items controlled is con- CIV: N/A tained in the ECCN heading. TSR: N/A LIST OF ITEMS CONTROLLED 3D003 ‘Physics-based’ simulation ‘‘software’’ specially designed for the ‘‘development’’ Unit: $ value of lithographic, etching or deposition Related Controls: N/A processes for translating masking pat- Related Definitions: N/A terns into specific topographical patterns Items: The list of items controlled is con- in conductors, dielectrics or semicon- tained in the ECCN heading. ductor materials.. 3D980 ‘‘Software’’ specially designed for the LICENSE REQUIREMENTS Reason for Control: NS, AT ‘‘development’’, ‘‘production’’, or ‘‘use’’ of items controlled by 3A980 and 3A981. Control(s) Country chart LICENSE REQUIREMENTS Reason for Control: CC, AT NS applies to entire entry ...... NS Column 1 AT applies to entire entry ...... AT Column 1 Control(s) Country chart

LICENSE EXCEPTIONS CC applies to entire entry ...... CC Column 1 CIV: N/A AT applies to entire entry ...... AT Column 1 TSR: Yes LIST OF ITEMS CONTROLLED LICENSE EXCEPTIONS Unit: $ value. CIV: N/A Related Controls: N/A TSR: N/A Related Definitions: (1) Libraries, design at- LIST OF ITEMS CONTROLLED tributes or associated data for the design Unit: $ value of semiconductor devices or integrated cir- Related Controls: N/A cuits are considered as ‘‘technology’’. (2) Related Definitions: N/A ‘Physics-based’ in 3D003 means using com- Items: The list of items controlled is con- putations to determine a sequence of phys- tained in the ECCN heading. ical cause and effect events based on physical properties (e.g., temperature, pressure, 3D991 ‘‘Software’’ specially designed for the diffusion constants and semiconductor ma- ‘‘development’’, ‘‘production’’, or ‘‘use’’ of terials properties). electronic devices or components con- Items: The list of items controlled is controlled by 3A991, general purpose elec- tained in the ECCN heading. tronic equipment controlled by 3A992, or manufacturing and test equipment con- 3D004 ‘‘Software’’ specially designed for the trolled by 3B991 and 3B992; or ‘‘software’’ ‘‘development’’ of equipment controlled specially designed for the ‘‘use’’ of equip- by 3A003. ment controlled by 3B001.g and .h. LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: NS, AT Reason for Control: AT Control(s) Country chart Control(s) Country chart NS applies to entire entry ...... NS Column 1 AT applies to entire entry ...... AT Column 1 AT applies to entire entry ...... AT Column 1

LICENSE EXCEPTIONS LICENSE EXCEPTIONS CIV: N/A CIV: N/A TSR: Yes TSR: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: $ value Unit: $ value Related Controls: N/A Related Controls: N/A Related Definitions: N/A Related Definitions: N/A Items: The list of items controlled is con- Items: The list of items controlled is contained in the ECCN heading. tained in the ECCN heading.

784 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

E. TECHNOLOGY greater at an operating temperature of 301 °K (28 °C) under simulated ’AM0’ illumina- 3E001 ‘‘Technology’’ according to the Gen- tion with an irradiance of 1,367 Watts per eral Technology Note for the ‘‘develop- square meter (W/m2), and associated solar ment’’ or ‘‘production’’ of equipment or concentrators, power conditioners, and/or materials controlled by 3A (except 3A292, controllers, bearing and power transfer as- 3A980, 3A981, 3A991 3A992, or 3A999), 3B semblies, and deployment hardware/sys- (except 3B991 or 3B992) or 3C (except tems. and (c) ‘‘Space qualified’’ atomic fre- 3C992). quency standards defined in 3A002.g.2. LICENSE REQUIREMENTS Reason for Control: NS, MT, NP, AT Related Definition: N/A Items: The list of items controlled is con- Control(s) Country chart tained in the ECCN heading. NOTE 1: 3E001 does not control ‘‘tech- NS applies to ‘‘technology’’ for items NS Column 1. controlled by 3A001, 3A002, nology’’ for the ‘‘production’’ of equipment 3B001,3B002, or 3C001 to 3C006. or components controlled by 3A003. MT applies to ‘‘technology’’ for equip- MT Column 1. NOTE 2: 3E001 does not control ‘‘tech- ment controlled by 3A001 or nology’’ for the ‘‘development’’ or ‘‘produc- 3A101 for MT reasons. tion’’ of integrated circuits controlled by NP applies to ‘‘technology’’ for equip- NP Column 1. 3A001.a.3 to a.12, having all of the following: ment controlled by 3A001, 3A201, (a) Using ‘‘technology’’ at or above 0.130 or 3A225 to 3A233 for NP reasons. μ AT applies to entire entry ...... AT Column 1. m; and (b) Incorporating multi-layer structures License Requirement Note: See § 743.1 of with three or fewer metal layers. the EAR for reporting requirements for ex- 3E002 ‘‘Technology’’ according to the Gen- ports under License Exceptions. eral Technology Note other than that LICENSE EXCEPTIONS CIV: N/A controlled in 3E001 for the ‘‘development’’ TSR: Yes, except N/A for MT, and ‘‘tech- or ‘‘production’’ of a ‘‘microprocessor nology’’ specially designed for the ‘‘devel- microcircuit’’, ‘‘micro-computer micro- opment’’ or ‘‘production’’ of: (a) Traveling circuit’’ and microcontroller microcircuit Wave Tube Amplifiers described in core, having an arithmetic logic unit with 3A001.b.8, having operating frequencies ex- an access width of 32 bits or more and ceeding 19 Ghz; and (b) solar cells, any of the following features or charac- coverglass-interconnect-cells or covered- teristics (see List of Items Controlled). ICENSE REQUIREMENTS interconnect-cells (CIC) assemblies, solar L NS, AT. arrays and/or solar panels, which are Reason for Control: ‘‘space qualified,’’ having a minimum aver- Control(s) Country chart age efficiency exceeding 20% but less than 31% described in 3A001.e.4. NS applies to entire entry ...... NS Column 1. STA: License Exception STA may not be AT applies to entire entry ...... AT Column 1. used to ship or transmit ‘‘technology’’ according to the General Technology Note LICENSE EXCEPTIONS for the ‘‘development’’ or ‘‘production’’ of CIV: Yes, for deemed exports, as described in equipment specified by ECCNs 3A002.g.1 or § 734.2(b)(2)(ii) of the EAR, of ‘‘technology’’ 3B001.a.2 to any of the eight destinations for the ‘‘development’’ or ‘‘production’’ of listed in § 740.20(c)(2) of the EAR. general purpose microprocessors with a LIST OF ITEMS CONTROLLED vector processor unit with operand length Unit: N/A of 64-bit or less, 64-bit floating operations Related Controls: (1) See also 3E101 and 3E201. not exceeding 32 GFLOPS, or 16-bit or (2)’’Technology’’ according to the General more floating-point operations not exceed- Technology Note for the ‘‘development’’ or ing 32 GMACS (billions of 16-bit fixed-point ‘‘production’’ of the following commodities multiply-accumulate operations per sec- is under the export licensing authority of ond). Deemed exports under License Excep- the Department of State, Directorate of tion CIV are subject to a Foreign National Defense Trade Controls (22 CFR part 121): Review (FNR) requirement, see § 740.5 of (a) When operating at frequencies higher the EAR for more information about the than 31.8 GHz and ‘‘space qualified’’: helix FNR. License Exception CIV does not tubes (traveling wave tubes (TWT)) defined apply to ECCN 3E002 technology also rein 3A001.b.1.a.4.c; microwave solid state quired for the development or production amplifiers defined in 3A001.b.4.b; or trav- of items controlled under ECCNs beginning eling wave tube amplifiers (TWTA) defined with 3A, 3B, or 3C, or to ECCN 3E002 tech- in 3A001.b.8; (b) ‘‘Space qualified’’ solar nology also controlled under ECCN 3E003. cells, coverglass-interconnect-cells or cov- TSR: Yes. ered-interconnect-cells (CIC) assemblies, LIST OF ITEMS CONTROLLED solar arrays, and/or solar panels, with a Unit: N/A minimum average efficiency of 31% or Related Controls: N/A

785 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Related Definitions: N/A b. Hetero-structure semiconductor devices Items: such as high electron mobility transistors a. A ‘vector processor unit’ designed to (HEMT), hetero-bipolar transistors (HBT), perform more than two calculations on float- quantum well and super lattice devices; ing-point vectors (one dimensional arrays of NOTE: 3E003.b does not control ‘‘tech- 32-bit or larger numbers) simultaneously; nology’’ for high electron mobility transis- TECHNICAL NOTE: A ‘vector processor unit’ tors (HEMT) operating at frequencies lower is a processor element with built-in instruc- than 31.8 GHz and hetero-junction bipolar tions that perform multiple calculations on transistors (HBT) operating at frequencies floating-point vectors (one-dimensional ar- lower than 31.8 GHz. rays of 32-bit or larger numbers) simulta- c. ‘‘Superconductive’’ electronic devices; neously, having at least one vector arith- d. Substrates of films of diamond for elec- metic logic unit. tronic components; e. Substrates of silicon-on-insulator (SOI) b. Designed to perform more than two 64- for integrated circuits in which the insulator bit or larger floating-point operation results is silicon dioxide; per cycle; or f. Substrates of silicon carbide for elec- c. Designed to perform more than four 16- tronic components; bit fixed-point multiply-accumulate results g. Electronic vacuum tubes operating at per cycle (e.g., digital manipulation of ana- frequencies of 31.8 GHz or higher. log information that has been previously converted into digital form, also known as 3E101 ‘‘Technology’’ according to the Gen- digital ‘‘signal processing’’). eral Technology Note for the ‘‘use’’ of NOTE: 3E002.c does not control ‘‘tech- equipment or ‘‘software’’ controlled by nology’’ for multimedia extensions. 3A001.a.1 or .2, 3A101, or 3D101. LICENSE REQUIREMENTS NOTES: 1. 3E002 does not control ‘‘technology’’ for the ‘‘development’’ or ‘‘produc- Reason for Control: MT, AT tion’’ of microprocessor cores, having all of Control(s) Country chart the following: a. Using ‘‘technology’’ at or above 0.130 μm; MT applies to entire entry ...... MT Column 1 and AT applies to entire entry ...... AT Column 1 b. Incorporating multi-layer structures with five or fewer metal layers. LICENSE EXCEPTIONS 2. 3E002 includes ‘‘technology’’ for digital CIV: N/A signal processors and digital array proc- TSR: N/A essors. LIST OF ITEMS CONTROLLED Unit: N/A 3E003 Other ‘‘technology’’ for the ‘‘develop- Related Controls: N/A ment’’ or ‘‘production’’ of the following Related Definitions: N/A (see List of Items Controlled). Items: The list of items controlled is con- LICENSE REQUIREMENTS tained in the ECCN heading. Reason for Control: NS, AT 3E102 ‘‘Technology’’ according to the Gen- Control(s) Country chart eral Technology Note for the ‘‘development’’ of ‘‘software’’ controlled by 3D101. NS applies to entire entry ...... NS Column 1. LICENSE REQUIREMENTS AT applies to entire entry ...... AT Column 1. Reason for Control: MT, AT

LICENSE EXCEPTIONS Control(s) Country chart CIV: N/A TSR: Yes, except .f. and .g MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 LIST OF ITEMS CONTROLLED Unit: N/A LICENSE EXCEPTIONS Related Controls: (1) Technology for the ‘‘de- CIV: N/A velopment’’ or ‘‘production’’ of ‘‘space TSR: N/A qualified’’ electronic vacuum tubes oper- LIST OF ITEMS CONTROLLED ating at frequencies of 31.8 GHz or higher, Unit: N/A described in 3E003.g, is under the export li- Related Controls: N/A cense authority of the Department of Related Definitions: N/A State, Directorate of Defense Trade Con- Items: The list of items controlled is controls (22 CFR part 121); (2) See 3E001 for sil- tained in the ECCN heading. icon-on-insulation (SOI) technology for the ‘‘development’’ or ‘‘production’’ related to 3E201 ‘‘Technology’’ according to the Gen- radiation hardening of integrated circuits. eral Technology Note for the ‘‘use’’ of Related Definitions: N/A equipment controlled by 3A001.e.2 or .e.3, Items: 3A201 or 3A225 to 3A233. a. Vacuum microelectronic devices; LICENSE REQUIREMENTS

786 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Reason for Control: NP, AT or 3B992, or materials controlled by 3C992. Control(s) Country chart LICENSE REQUIREMENTS NP applies to ‘‘technology’’ for equip- NP Column 1. Reason for Control: AT ment controlled by 3A001.e.2, or .e.3, 3A201 or 3A225 to 3A233 for Control(s) Country chart NP reasons. AT applies to entire entry ...... AT Column 1. AT applies to entire entry ...... AT Column 1

LICENSE EXCEPTIONS LICENSE EXCEPTIONS CIV: N/A CIV: N/A TSR: N/A TSR: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: N/A Unit: N/A Related Controls: N/A Related Controls: N/A Related Definitions: N/A Related Definitions: N/A Items: The list of items controlled is con- Items: The list of items controlled is contained in the ECCN heading. tained in the ECCN heading. 3E292 ‘‘Technology’’ according to the Gen- EAR99 Items subject to the EAR that are eral Technology Note for the ‘‘develop- not elsewhere specified in this CCL Cat- ment’’, ‘‘production’’, or ‘‘use’’ of equip- egory or in any other category in the CCL ment controlled by 3A292. are designated by the number EAR99. LICENSE REQUIREMENTS Reason for Control: NP, AT CATEGORY 4—COMPUTERS

Control(s) Country chart NOTE 1: Computers, related equipment and ‘‘software’’ performing telecommunications NP applies to entire entry ...... NP Column 2 or ‘‘local area network’’ functions must also AT applies to entire entry ...... AT Column 1 be evaluated against the performance characteristics of Category 5, Part 1 (Tele- LICENSE EXCEPTIONS communications). CIV: N/A NOTE 2: Control units that directly inter- TSR: N/A connect the buses or channels of central LIST OF ITEMS CONTROLLED processing units, ‘‘main storage’’ or disk Unit: N/A controllers are not regarded as telecommuni- Related Controls: N/A cations equipment described in Category 5, Related Definitions: N/A Part 1 (Telecommunications). Items: The list of items controlled is con- N.B: For the control status of ‘‘software’’ tained in the ECCN heading. specially designed for packet switching, see 3E980 ‘‘Technology’’ specially designed for ECCN 5D001. (Telecommunications). ‘‘development’’, ‘‘production’’, or ‘‘use’’ of NOTE 3: Computers, related equipment and items controlled by 3A980 and 3A981. ‘‘software’’ performing cryptographic, LICENSE REQUIREMENTS cryptoanalytic, certifiable multi-level secu- Reason for Control: CC, AT rity or certifiable user isolation functions, or that limit electromagnetic compatibility Control(s) Country chart (EMC), must also be evaluated against the performance characteristics in Category 5, CC applies to entire entry ...... CC Column 1 Part 2 (‘‘Information Security’’). AT applies to entire entry ...... AT Column 1 A. SYSTEMS, EQUIPMENT AND COMPONENTS LICENSE EXCEPTIONS CIV: N/A 4A001 Electronic computers and related TSR: N/A equipment, having any of the following LIST OF ITEMS CONTROLLED (see List of Items Controlled), and ‘‘elec- Unit: N/A tronic assemblies’’ and specially designed Related Controls: N/A components therefor. Related Definitions: N/A LICENSE REQUIREMENTS Items: The list of items controlled is con- Reason for Control: NS, MT, AT, NP tained in the ECCN heading. Control(s) Country chart 3E991 ‘‘Technology’’ for the ‘‘development’’, ‘‘production’’, or ‘‘use’’ of electronic de- NS applies to entire entry ...... NS Column 2. vices or components controlled by 3A991, MT applies to items in 4A001.a when MT Column 1. general purpose electronic equipment the parameters in 4A101 are met controlled by 3A992, or manufacturing or exceeded. AT applies to entire entry ...... AT Column 1. and test equipment controlled by 3B991

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NP applies, unless a License Exception is Control(s) Country chart available. See § 742.3(b) of the EAR for information on applicable licensing review CC applies to ‘‘digital computers’’ for CC Column 1. policies. computerized finger-print equipment. LICENSE REQUIREMENT NOTES: See § 743.1 of AT applies to entire entry ...... AT Column 1. the EAR for reporting requirements for ex- (refer to 4A994 for controls on ‘‘dig- ports under License Exceptions for 4A001.a.2. ital computers’’. LICENSE EXCEPTIONS with a APP > 0.0128 but ≤ to 1.5 LVS: $5000 for 4A001.a; N/A for MT. WT). GBS: N/A CIV: N/A NP applies, unless a License Exception is STA: License Exception STA may not be available. See § 742.3(b) of the EAR for in- used to ship any commodity in 4A001.a.2 to formation on applicable licensing review any of the eight destinations listed in policies. § 740.20(c)(2) of the EAR. NOTE 1: For all destinations, except those LIST OF ITEMS CONTROLLED countries in Country Group E:1 of Supple- Unit: Computers and related equipment in ment No. 1 to part 740 of the EAR, no license number; ‘‘electronic assemblies’’ and com- is required (NLR) for computers with an ponents in $ value ‘‘Adjusted Peak Performance’’ (‘‘APP’’) not Related Controls: See also 4A101 and 4A994. exceeding 1.5 Weighted TeraFLOPS (WT) and See Category 5—Part 2 for electronic com- for ‘‘electronic assemblies’’ described in puters and related equipment performing 4A003.c that are not capable of exceeding an or incorporating ‘‘information security’’ ‘‘Adjusted Peak Performance’’ (‘‘APP’’) ex- functions as the primary function. Equip- ceeding 1.5 Weighted TeraFLOPS (WT) in ag- ment designed or rated for transient ion- gregation, except certain transfers as set izing radiation is subject to the export li- forth in § 746.3 (Iraq). censing authority of the U.S. Department NOTE 2: Special Post Shipment of State, Directorate of Defense Trade Con- Verification reporting and recordkeeping re- trols. (See 22 CFR part 121.) quirements for exports of computers to des- Related Definitions: For the purposes of inte- tinations in Computer Tier 3 may be found in grated circuits in 4A001.a.2, 5 × 103 Gy(Si) = § 743.2 of the EAR. 5 × 105 Rads (Si); 5 × 106 Gy (Si)/s = 5 × 108 LICENSE EXCEPTIONS Rads (Si)/s. LVS: $5000; N/A for 4A003.b and .c. Items: GBS: Yes, for 4A003.e, and .g and specially de- a. Specially designed to have any of the signed components therefor, exported sepa- following: rately or as part of a system. a.1. Rated for operation at an ambient APP: Yes, for computers controlled by temperature below 228 K (¥45 °C) or above 4A003.a or .b, and ‘‘electronic assemblies’’ 358 K (85 °C); or controlled by 4A003.c, to the exclusion of NOTE: 4A001.a.1 does not apply to com- other technical parameters, with the ex- puters specially designed for civil auto- ception of 4A003.e (equipment performing mobile, railway train or ‘‘civil aircraft’’ ap- analog-to-digital conversions exceeding plications. the limits of 3A001.a.5.a). See § 740.7 of the a.2. Radiation hardened to exceed any of EAR. the following specifications: CIV: Yes, for 4A003.e, and .g. a.2.a. A total dose of 5 x 103 Gy (Si); LIST OF ITEMS CONTROLLED a.2.b. A dose rate upset of 5 x 106 Gy (Si)/ Unit: Computers and related equipment in s; or number; ‘‘electronic assemblies’’ and com- a.2.c. Single Event Upset of 1 x 10M8 ponents in $ value Error/bit/day; Related Controls: See also 4A994 and 4A980 NOTE: 4A001.a.2 does not apply to com- Related Definitions: N/A puters specially designed for ‘‘civil aircraft’’ Items: applications. NOTE 1: 4A003 includes the following: b. [Reserved] —‘Vector processors’ (as defined in Note 7 of the ‘‘Technical Note on ‘‘Adjusted Peak 4A003 ‘‘Digital computers’’, ‘‘electronic as- Performance’’ (‘‘APP’’)’’); semblies’’, and related equipment there- —Array processors; for, as follows and specially designed —Digital signal processors; components therefor. —Logic processors; LICENSE REQUIREMENTS —Equipment designed for ‘‘image enhance- Reason for Control: NS, CC, AT, NP. ment’’; —Equipment designed for ‘‘signal proc- Control(s) Country chart essing’’. NS applies to 4A003.b and .c ...... NS Column 1. NOTE 2: The control status of the ‘‘digital NS applies to 4A003.a, .e, and .g ..... NS Column 2. computers’’ and related equipment described

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in 4A003 is determined by the control status NOTE 2: 4A003.c does not control ‘‘elec- of other equipment or systems provided: tronic assemblies’’ specially designed for a a. The ‘‘digital computers’’ or related product or family of products whose max- equipment are essential for the operation of imum configuration does not exceed the the other equipment or systems; limit of 4A003.b. b. The ‘‘digital computers’’ or related d. [Reserved] equipment are not a ‘‘principal element’’ of e. Equipment performing analog-to-digital the other equipment or systems; and conversions exceeding the limits in 3A001.a.5; N.B. 1: The control status of ‘‘signal proc- f. [Reserved] essing’’ or ‘‘image enhancement’’ equipment g. Equipment specially designed for aggre- specially designed for other equipment with gating the performance of ‘‘digital com- functions limited to those required for the puters’’ by providing external interconnec- other equipment is determined by the con- tions which allow communications at trol status of the other equipment even if it unidirectonal data rates exceeding 2.0 Gbyte/ exceeds the ‘‘principal element’’ criterion. s per link. N.B. 2: For the control status of ‘‘digital NOTE: 4A003.g does not control internal computers’’ or related equipment for tele- interconnection equipment (e.g., backplanes, communications equipment, see Category 5, buses) passive interconnection equipment, Part 1 (Telecommunications). ‘‘network access controllers’’ or ‘‘commu- c. The ‘‘technology’’ for the ‘‘digital com- nication channel controllers’’. puters’’ and related equipment is determined 4A004 Computers as follows (see List of by 4E. Items Controlled) and specially designed a. Designed or modified for ‘‘fault toler- related equipment, ‘‘electronic assem- ance’’; blies’’ and components therefor. NOTE: For the purposes of 4A003.a., ‘‘digital LICENSE REQUIREMENTS computers’’ and related equipment are not Reason for Control: NS, AT considered to be designed or modified for ‘‘fault tolerance’’ if they utilize any of the Control(s) Country chart following: NS applies to entire entry ...... NS Column 2 1. Error detection or correction algorithms AT applies to entire entry ...... AT Column 1 in ‘‘main storage’’; 2. The interconnection of two ‘‘digital com- LICENSE EXCEPTIONS puters’’ so that, if the active central proc- LVS: $5000 essing unit fails, an idling but mirroring cen- GBS: N/A tral processing unit can continue the sys- CIV: N/A tem’s functioning; LIST OF ITEMS CONTROLLED 3. The interconnection of two central proc- Unit: Computers and related equipment in essing units by data channels or by use of number; ‘‘electronic assemblies’’ and com- shared storage to permit one central proc- ponents in $ value essing unit to perform other work until the Related Controls: N/A second central processing unit fails, at which Related Definitions: N/A time the first central processing unit takes Items: a. ‘‘Systolic array computers’’; over in order to continue the system’s func- b. ‘‘Neural computers’’; tioning; or c. ‘‘Optical computers’’. 4. The synchronization of two central processing units by ‘‘software’’ so that one cen- 4A101 Analog computers, ‘‘digital com- tral processing unit recognizes when the puters’’ or digital differential analyzers, other central processing unit fails and recov- other than those controlled by 4A001 de- ers tasks from the failing unit. signed or modified for use in ‘‘missiles’’, b. ‘‘Digital computers’’ having an ‘‘Ad- having any of the following (see List of justed Peak Performance’’ (‘‘APP’’) exceed- Items Controlled). ing 1.5 weighted TeraFLOPS (WT); LICENSE REQUIREMENTS c. ‘‘Electronic assemblies’’ specially de- Reason for Control: MT, AT signed or modified to be capable of enhancing performance by aggregation of processors Control(s) Country Chart so that the ‘‘APP’’ of the aggregation ex- MT applies to entire entry ...... MT Column 1 ceeds the limit in 4A003.b.; AT applies to entire entry ...... AT Column 1 NOTE 1: 4A003.c applies only to ‘‘electronic assemblies’’ and programmable interconnec- LICENSE EXCEPTIONS tions not exceeding the limit in 4A003.b. LVS: N/A when shipped as unintegrated ‘‘electronic as- GBS: N/A semblies’’. It does not apply to ‘‘electronic CIV: N/A assemblies’’ inherently limited by nature of LIST OF ITEMS CONTROLLED their design for use as related equipment Unit: Equipment in number controlled by 4A003.e. Related Controls: N/A

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Related Definitions: N/A a. The ‘‘digital computers’’ or related Items: a. Rated for continuous operation at equipment are essential for the operation of temperatures from below 228 K (¥45 °C) to the other equipment or systems; above 328 K (+55 °C); or b. The ‘‘digital computers’’ or related b. Designed as ruggedized or ’radiation equipment are not a ‘‘principal element’’ of hardened’. the other equipment or systems; and, NOTE: ’Radiation hardened’ means that the N.B. 1: The control status of ‘‘signal proc- component or equipment is designed or rated essing’’ or ‘‘image enhancement’’ equipment to withstand radiation levels which meet or specially designed for other equipment with exceed a total irradiation dose of 5 × 105 rads functions limited to those required for the (Si). other equipment is determined by the control status of the other equipment even if it 4A102 ‘‘Hybrid computers’’ specially de- exceeds the ‘‘principal element’’ criterion. signed for modelling, simulation or de- N.B. 2: For the control status of ‘‘digital sign integration of ‘‘missiles’’. (These computers’’ or related equipment for tele- items are subject to the export licensing communications equipment, see Category 5, authority of the U.S. Department of State, Part 1 (Telecommunications). Directorate of Defense Trade Controls. c. The ‘‘technology’’ for the ‘‘digital com- See 22 CFR part 121.) puters’’ and related equipment is determined by 4E. 4A980 Computers for fingerprint equipment, a. Electronic computers and related equip- n.e.s. ment, and ‘‘electronic assemblies’’ and spe- LICENSE REQUIREMENTS cially designed components therefor, rated Reason for Control: CC, AT for operation at an ambient temperature above 343 K (70 °C); Control(s) Country chart b. ‘‘Digital computers’’, including equip- CC applies to entire entry ...... CC Column 1 ment of ‘‘signal processing’’ or image en- AT applies to entire entry ...... AT Column 1 hancement’’, having an ‘‘Adjusted Peak Per- formance’’ (‘‘APP’’) equal to or greater than LICENSE EXCEPTIONS 0.0128 Weighted TeraFLOPS (WT); LVS: N/A c. ‘‘Electronic assemblies’’ that are spe- GBS: N/A cially designed or modified to enhance per- CIV: N/A formance by aggregation of processors, as LIST OF ITEMS CONTROLLED follows: Unit: Equipment in number c.1. Designed to be capable of aggregation Related Controls: N/A in configurations of 16 or more processors; Related Definitions: N/A c.2. [Reserved]; Items: The list of items controlled is con- NOTE 1: 4A994.c applies only to ‘‘electronic tained in the ECCN heading. assemblies’’ and programmable interconnec- NOTE: 4A980 does not control equipment tions with a ‘‘APP’’ not exceeding the limits limited to one finger and designed for user in 4A994.b, when shipped as unintegrated authentication or access control. ‘‘electronic assemblies’’. It does not apply to ‘‘electronic assemblies’’ inherently limited 4A994 Computers, ‘‘electronic assemblies’’, by nature of their design for use as related and related equipment not controlled by equipment controlled by 4A994.k. 4A001, or 4A003, and specially designed NOTE 2: 4A994.c does not control any ‘‘elec- components therefore. tronic assembly’’ specially designed for a LICENSE REQUIREMENTS product or family of products whose max- Reason for Control: AT imum configuration does not exceed the lim- Control(s) Country chart its of 4A994.b. d. [Reserved]; AT applies to entire entry ...... AT Column 1. e. [Reserved]; f. Equipment for ‘‘signal processing’’ or LICENSE EXCEPTIONS ‘‘image enhancement’’ having an ‘‘Adjusted LVS: N/A Peak Performance’’ (‘‘APP’’) equal to or GBS: N/A greater than [0.0128] Weighted TeraFLOPS CIV: N/A WT]; LIST OF ITEMS CONTROLLED g. [Reserved]; Unit: Equipment in number; parts and acces- h. [Reserved]; sories in $ value i. Equipment containing ‘‘terminal inter- Related Controls: N/A face equipment’’ exceeding the limits in Related Definitions: N /A 5A991; Items: j. Equipment specially designed to provide NOTE 1: The control status of the ‘‘digital external interconnection of ‘‘digital com- computers’’ and related equipment described puters’’ or associated equipment that allows in 4A994 is determined by the control status communications at data rates exceeding 80 of other equipment or systems provided: Mbyte/s.

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NOTE: 4A994.j does not control internal controlled by 4A001 to 4A004, or 4D (except interconnection equipment (e.g., backplanes, 4D980, 4D993 or 4D994). buses) passive interconnection equipment, b. ‘‘Software’’, other than that controlled ‘‘network access controllers’’ or ‘‘commu- by 4D001.a, specially designed or modified for nication channel controllers’’. the ‘‘development’’ or ‘‘production’’ of equip- k. ‘‘Hybrid computers’’ and ‘‘electronic as- ment as follows: semblies’’ and specially designed components b.1. ‘‘Digital computers’’ having an ‘‘Ad- therefor containing analog-to-digital con- justed Peak Performance’’ (‘‘APP’’) exceed- verters having all of the following character- ing 0.25 Weighted TeraFLOPS (WT); istics: b.2. ‘‘Electronic assemblies’’ specially de- k.1. 32 channels or more; and, signed or modified for enhancing perform- k.2. A resolution of 14 bit (plus sign bit) or ance by aggregation of processors so that the more with a conversion rate of 200,000 con- ‘‘APP’’ of the aggregation exceeds the limit versions/s or more. in 4D001.b.1.

B. TEST, INSPECTION AND PRODUCTION 4D002 ‘‘Software’’ specially designed or EQUIPMENT [RESERVED] modified to support ‘‘technology’’ controlled by 4E (except 4E980, 4E992, and C. MATERIALS [RESERVED] 4E993). ICENSE EQUIREMENTS D. SOFTWARE L R Reason for Control: NS, AT, NP NOTE: The control status of ‘‘software’’ for the ‘‘development’’, ‘‘production’’, or ‘‘use’’ Control(s) Country chart of equipment described in other Categories is dealt with in the appropriate Category. NS applies to entire entry ...... NS Column 1. AT applies to entire entry ...... AT Column 1. 4D001 Software’’ as follows (see List of Items Controlled). NP applies, unless a License Exception is LICENSE REQUIREMENTS available. See § 742.3(b) of the EAR for in- Reason for Control: NS, CC, AT, NP. formation on applicable licensing review policies. Control(s) Country chart LICENSE EXCEPTIONS CIV: N/A NS applies to entire entry ...... NS Column 1. TSR: Yes, except N/A for ‘‘software’’ specifi- CC applies to ‘‘software’’ for comput- CC Column 1. erized finger-print equipment con- cally designed or modified to support trolled by 4A003 for CC reasons. ‘‘technology’’ for computers requiring a li- AT applies to entire entry ...... AT Column 1. cense. LIST OF ITEMS CONTROLLED NP applies, unless a License Exception is Unit: $ value available. See § 742.3(b) of the EAR for infor- Related Controls: N/A mation on applicable licensing review poli- Related Definitions: N/A cies. Items: The list of items controlled is con- LICENSE EXCEPTIONS tained in the ECCN heading. CIV: N/A TSR: Yes, except for ‘‘software’’ for the ‘‘de- 4D980 ‘‘Software’’ specially designed for the velopment’’ or ‘‘production’’ of commod- ‘‘development’’, ‘‘production’’, or ‘‘use’’ of ities with an ‘‘Adjusted Peak Perform- items controlled by 4A980. ance’’ (‘‘APP’’) exceeding 0.5 WT. LICENSE REQUIREMENTS APP: Yes to specific countries (see § 740.7 of Reason for Control: CC, AT the EAR for eligibility criteria). STA: License Exception STA may not be Control(s) Country chart used to ship or transmit ‘‘software’’ spe- CC applies to entire entry ...... CC Column 1 cially designed for the ‘‘development’’ or AT applies to entire entry ...... AT Column 1 ‘‘production’’ of equipment specified by ECCN 4A001.a.2 or for the ‘‘development’’ LICENSE EXCEPTIONS or ‘‘production’’ of ‘‘digital computers’’ CIV: N/A having an ‘Adjusted Peak Performance’ TSR: N/A (‘APP’) exceeding 0.5 Weighted TeraFLOPS LIST OF ITEMS CONTROLLED (WT) to any of the eight destinations listed Unit: $ value in § 740.20(c)(2) of the EAR. Related Controls: N/A LIST OF ITEMS CONTROLLED Related Definitions: N/A Unit: $ value Items: The list of items controlled is con- Related Controls: N/A tained in the ECCN heading. Related Definitions: N/A Items: a. ‘‘Software’’ specially designed or 4D993 ‘‘Program’’ proof and validation modified for the ‘‘development’’, ‘‘produc- ‘‘software’’, ‘‘software’’ allowing the auto- tion’’ or ‘‘use’’ of equipment or ‘‘software’’ matic generation of ‘‘source codes’’, and

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operating system ‘‘software’’ that are spe- Control(s) Country chart cially designed for real time processing equipment (see List of Items Controlled). MT applies to ‘‘technology’’ for items MT Column 1. LICENSE REQUIREMENTS controlled by 4A001.a and 4A101 Reason for Control: AT for MT reasons. CC applies to ‘‘technology’’ for com- CC Column 1. puterized fingerprint equipment Control(s) Country chart controlled by 4A003 for CC rea- AT applies to entire entry ...... AT Column 1 sons. AT applies to entire entry ...... AT Column 1. LICENSE EXCEPTIONS CIV: N/A NP applies, unless a License Exception is TSR: N/A available. See § 742.3(b) of the EAR for infor- LIST OF ITEMS CONTROLLED mation on applicable licensing review poli- Unit: $ value cies. Related Controls: N/A LICENSE REQUIREMENT NOTES: See § 743.1 of Related Definitions: ‘‘Global interrupt latency the EAR for reporting requirements for ex- time’’ is the time taken by the computer ports under License Exceptions. system to recognize an interrupt due to LICENSE EXCEPTIONS the event, service the interrupt and per- CIV: N/A form a context switch to an alternate TSR: Yes, except for ‘‘technology’’ for the memory-resident task waiting on the in- ‘‘development’’ or ‘‘production’’ of com- terrupt. modities with an ‘‘Adjusted Peak Perform- Items: a. ‘‘Program’’ proof and validation ance’’ (‘‘APP’’) exceeding 0.5 WT. ‘‘software’’ using mathematical and analyt- APP: Yes to specific countries (see § 740.7 of ical techniques and designed or modified for the EAR for eligibility criteria). ‘‘programs’’ having more than 500,000 STA: License Exception STA may not be ‘‘source code’’ instructions; used to ship or transmit ‘‘technology’’ ac- b. ‘‘Software’’ allowing the automatic gen- cording to the General Technology Note eration of ‘‘source codes’’ from data acquired for the ‘‘development’’ or ‘‘production’’ of on line from external sensors described in any of the following equipment or ‘‘soft- the Commerce Control List; or ware’’: a. Equipment specified by ECCN c. Operating system ‘‘software’’ specially 4A001.a.2; b. ‘‘Digital computers’’ having an designed for ‘‘real time processing’’ equip- ‘Adjusted Peak Performance’ (‘APP’) ex- ment that guarantees a ‘‘global interrupt la- ceeding 0.5 Weighted TeraFLOPS (WT); or tency time’’ of less than 20 microseconds. c. ‘‘software’’ specified in the License Ex- ception STA paragraph found in the Li- 4D994 ‘‘Software’’ other than that controlled cense Exception section of ECCN 4D001 to in 4D001 specially designed or modified any of the eight destinations listed in for the ‘‘development’’, ‘‘production’’, or § 740.20(c)(2) of the EAR. ‘‘use’’ of equipment controlled by 4A101, LIST OF ITEMS CONTROLLED 4A994, 4B994, and materials controlled by Unit: N/A 4C994. Related Controls: N/A LICENSE REQUIREMENTS Related Definitions: N/A Reason for Control: AT Items: a. ‘‘Technology’’ according to the Gen- eral Technology Note, for the ‘‘develop- Control(s) Country chart ment’’, ‘‘production’’, or ‘‘use’’ of equip- AT applies to entire entry ...... AT Column 1 ment or ‘‘software’’ controlled by 4A (except 4A980 or 4A994) or 4D (except 4D980, LICENSE EXCEPTIONS 4D993, 4D994). CIV: N/A b. ‘‘Technology’’, other than that con- TSR: N/A trolled by 4E001.a, specially designed or LIST OF ITEMS CONTROLLED modified for the ‘‘development’’ or ‘‘produc- Unit: $ value tion’’ of equipment as follows: Related Controls: N/A b.1. ‘‘Digital computers’’ having an ‘‘Ad- Related Definitions: N/A justed Peak Performance’’ (‘‘APP’’) exceed- Items: The list of items controlled is con- ing 0.25 Weighted TeraFLOPS (WT); tained in the ECCN heading. b.2. ‘‘Electronic assemblies’’ specially designed or modified for enhancing perform- E. TECHNOLOGY ance by aggregation of processors so that the 4E001 Technology’’ as follows (see List of ‘‘APP’’ of the aggregation exceeds the limit Items Controlled). in 4E001.b.1. LICENSE REQUIREMENTS 4E980 ‘‘Technology’’ for the ‘‘development’’, Reason for Control: NS, MT, CC, AT, NP. ‘‘production’’, or ‘‘use’’ of items controlled Control(s) Country chart by 4A980. LICENSE REQUIREMENTS NS applies to entire entry ...... NS Column 1. Reason for Control: CC, AT

792 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Control(s) Country chart Technical Note on ‘‘Adjusted Peak Performance’’ (‘‘APP’’) CC applies to entire entry ...... CC Column 1 ‘‘APP’’ is an adjusted peak rate at which AT applies to entire entry ...... AT Column 1 ‘‘digital computers’’ perform 64-bit or larger floating point additions and multiplications. LICENSE EXCEPTIONS CIV: N/A ABBREVIATIONS USED IN THIS TECHNICAL NOTE TSR: N/A n number of processors in the ‘‘digital com- LIST OF ITEMS CONTROLLED puter’’ Unit: N/A I processor number (i,....n) Related Controls: N/A ti processor cycle time (ti = 1/Fi) Related Definitions: N/A Fi processor frequency Items: The list of items controlled is con- Ri peak floating point calculating rate tained in the ECCN heading. Wi architecture adjustment factor ‘‘APP’’ is expressed in Weighted 4E992 ‘‘ Technology’’ other than that con- TeraFLOPS (WT) in units of 1012 adjusted trolled in 4E001 for the ‘‘development,’’ floating point operations per second. ‘‘production,’’ or ‘‘use’’ of equipment controlled by 4A994, or ‘‘software’’ controlled OUTLINE OF ‘‘APP’’ CALCULATION METHOD by 4D993 or 4D994. 1. For each processor i, determine the peak LICENSE REQUIREMENTS number of 64-bit or larger floating-point op- Reason for Control: AT erations, FPOi, performed per cycle for each processor in the ‘‘digital computer’’. Control(s) Country chart NOTE: In determining FPO, include only 64- bit or larger floating point additions and/or AT applies to entire entry ...... AT Column 1 multiplications. All floating point operations must be expressed in operations per LICENSE EXCEPTIONS processor cycle; operations requiring mul- CIV: N/A tiple cycles may be expressed in fractional TSR: N/A results per cycle. For processors not capable LIST OF ITEMS CONTROLLED of performing calculations on floating-point Unit: N/A operands of 64-bits or more the effective cal- Related Controls: N/A culating rate R is zero. Related Definitions: N/A 2. Calculate the floating point rate R for Items: The list of items controlled is con- each processor. tained in the ECCN heading. Ri = FPOi/ti. 3. Calculate ‘‘APP’’ as 4E993 ‘‘ Technology’’ for the ‘‘development’’ ‘‘APP’’ = W × R + W × R + * * * + W × R . or ‘‘production’’ of equipment designed 1 1 2 2 n n for ‘‘multi-data-stream processing.’’ 4. For ‘vector processors’, Wi = 0.9. For non- ‘vector processors’, W = 0.3. LICENSE REQUIREMENTS i NOTE 1: For processors that perform com- Reason for Control: AT pound operations in a cycle, such as an addition and multiplication, each operation is Control(s) Country chart counted. AT applies to entire entry ...... AT Column 1 NOTE 2: For a pipelined processor the effective calculating rate R is the faster of the LICENSE EXCEPTIONS pipelined rate, once the pipeline is full, or CIV: N/A the non-pipelined rate. NOTE 3: The calculating rate R of each con- TSR: N/A tributing processor is to be calculated at its IST OF ITEMS CONTROLLED L maximum value theoretically possible before Unit: N/A the ‘‘APP’’ of the combination is derived. Si- Related Controls: N/A multaneous operations are assumed to exist Related Definitions: N/A when the computer manufacturer claims Items:The list of items controlled is con- concurrent, parallel, or simultaneous oper- tained in the ECCN heading. ation or execution in a manual or brochure c. ‘‘Technology’’, ‘‘required’’ for the ‘‘de- for the computer. velopment’’ or ‘‘production’’ of magnetic NOTE 4: Do not include processors that are hard disk drives with a ‘‘maximum bit trans- limited to input/output and peripheral func- fer rate’’ (‘‘MBTR’’) exceeding 11 Mbit/s. tions (e.g., disk drive, communication and video display) when calculating ‘‘APP’’. EAR99 Items subject to the EAR that are NOTE 5: ‘‘APP’’ values are not to be cal- not elsewhere specified in this CCL Cat- culated for processor combinations egory or in any other category in the CCL (inter)connected by ‘‘Local Area Networks’’, are designated by the number EAR99. Wide Area Networks, I/O shared connections/

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devices, I/O controllers and any communica- CIV: Yes, except 5A001.a, b.3, b.5, e, and h. tion interconnection implemented by ‘‘soft- STA: License Exception STA may not be ware’’. used to ship any commodity in 5A001.b.3, NOTE 6: ‘‘APP’’ values must be calculated .b.5 or .h to any of the eight destinations for (1) processor combinations containing listed in § 740.20(c)(2) of the EAR. processors specially designed to enhance per- LIST OF ITEMS CONTROLLED formance by aggregation, operating simulta- Unit: Equipment in number; cable and fiber neously and sharing memory; or (2) multiple in meters/feet, components and accessories memory/processor combinations operating in $ value. simultaneously utilizing specially designed Related Controls: Telecommunications equip- hardware. ment defined in 5A001.a.1 through A001.a.3 NOTE 7: A ‘vector processor’ is defined as a for use on board satellites is subject to the processor with built-in instructions that per- export licensing authority of the Depart- form multiple calculations on floating-point ment of State, Directorate of Defense vectors (one-dimensional arrays of 64-bit or Trade Controls (22 CFR part 121). Direction larger numbers) simultaneously, having at finding equipment defined in 5A001.e is sub- least 2 vector functional units and at least 8 ject to the export licensing authority of vector registers of at least 64 elements each. the Department of State, Directorate of Defense Trade Controls (22 CFR part 121). CATEGORY 5—TELECOMMUNICATIONS AND See also 5A101 and 5A991. ‘‘INFORMATION SECURITY’’ Related Definitions: N/A I. TELECOMMUNICATIONS Items: a. Any type of telecommunications equipment having any of the following char- NOTES: 1. The control status of compo- acteristics, functions or features: nents, test and ‘‘production’’ equipment, and a.1. Specially designed to withstand transi- ‘‘software’’ therefor which are specially de- tory electronic effects or electromagnetic signed for telecommunications equipment or pulse effects, both arising from a nuclear ex- systems is determined in Category 5, Part 1. plosion; N.B.1.: For ‘‘lasers’’ specially designed for a.2. Specially hardened to withstand telecommunications equipment or systems, gamma, neutron or ion radiation; or see ECCN 6A005. a.3. Specially designed to operate outside N.B.2.: See also Category 5, Part 2 for the temperature range from 218 K (¥55 °C) to equipment, components, and ‘‘software’’ per- 397 K (124 °C); forming or incorporating ‘‘information secu- NOTE: 5A001.a.3 applies only to electronic rity’’ functions. equipment. OTE N 2. ‘‘Digital computers’’, related NOTE: 5A001.a.2 and 5A001.a.3 do not apply to equipment or ‘‘software’’, when essential for equipment designed or modified for use on board the operation and support of telecommuni- satellites. cations equipment described in this Cat- b. Telecommunication systems and equip- egory, are regarded as specially designed ment, and specially designed components components, provided they are the standard and accessories therefor, having any of the models customarily supplied by the manu- following characteristics, functions or fea- facturer. This includes operation, adminis- tures: tration, maintenance, engineering or billing b.1 Being underwater untethered commu- computer systems. nications systems having any of the fol- A. SYSTEMS, EQUIPMENT AND COMPONENTS lowing: b.1.a. An acoustic carrier frequency outside 5A001 Telecommunications systems, equip- the range from 20 kHz to 60 kHz; ment, components and accessories, as fol- b.1.b. Using an electromagnetic carrier fre- lows (see List of Items Controlled). quency below 30 kHz; or LICENSE REQUIREMENTS b.1.c. Using electronic beam steering tech- Reason for Control: NS, AT niques; or b.1.d. Using ‘‘lasers’’ or light-emitting di- Control(s) Country chart odes (LEDs) with an output wavelength NS applies to 5A001.a, .e, and .h ...... NS Column 1. greater than 400 nm and less than 700 nm, in NS applies to 5A001.b, .c, .d, .f, and .g NS Column 2. a ‘‘local area network’’; AT applies to entire entry ...... AT Column 1. b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz band and having all of LICENSE REQUIREMENT NOTES: See § 743.1 of the following: the EAR for reporting requirements for ex- b.2.a. Automatically predicting and select- ports under License Exceptions. ing frequencies and ‘‘total digital transfer LICENSE EXCEPTIONS rates’’ per channel to optimize the trans- LVS: N/A for 5A001.a, b.5, e, and h; $5000 for mission; and 5A001b.1, b.2, b.3, b.6, d, f, and g; $3000 for b.2.b. Incorporating a linear power ampli- 5A001.c. fier configuration having a capability to sup- GBS: Yes, except 5A001.a, b.5, e, and h. port multiple signals simultaneously at an

794 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

output power of 1 kW or more in the fre- The ambient temperature is a nominal 293 K quency range of 1.5 MHz or more but less (20 °C) and relative humidity 40%. Equivalent than 30 MHz, or 250 W or more in the fre- national standards may be used for exe- quency range of 30 MHz or more but not ex- cuting the proof test. ceeding 87.5 MHz, over an ‘‘instantaneous d. ‘‘Electronically steerable phased array bandwidth’’ of one octave or more and with antennae’’ operating above 31.8 GHz; an output harmonic and distortion content NOTE: 5A001.d does not control ‘‘electronically of better than ¥80 dB; steerable phased array antennae’’ for landing b.3. Being radio equipment employing systems with instruments meeting ICAO stand- ‘‘spread spectrum’’ techniques, including ards covering Microwave Landing Systems ‘‘frequency hopping’’ techniques, not con- (MLS). trolled in 5A001.b.4 and having any of the fol- e. Radio direction finding equipment oper- lowing: ating at frequencies above 30 MHz and hav- b.3.a. User programmable spreading codes; ing all of the following, and specially de- or signed components therefor: b.3.b. A total transmitted bandwidth which e.1. ‘‘Instantaneous bandwidth’’ of 10 MHz is 100 or more times the bandwidth of any or more; and one information channel and in excess of 50 e.2. Capable of finding a Line Of Bearing kHz; (LOB) to non-cooperating radio transmitters NOTE: 5A001.b.3.b does not control radio with a signal duration of less than 1 ms; equipment specially designed for use with civil f. Jamming equipment specially designed cellular radio-communications systems. or modified to intentionally and selectively NOTE: 5A001.b.3 does not control equipment interfere with, deny, inhibit, degrade or se- operating at an output power of 1 W or less. duce mobile telecommunication services and b.4. Being radio equipment employing perform any of the following, and specially ultra-wideband modulation techniques, hav- designed components therefore: ing user programmable channelizing codes, f.1. Simulate the functions of Radio Access scrambling codes, or network identification Network (RAN) equipment; codes and having any of the following: f.2. Detect and exploit specific characteris- b.4.a. A bandwidth exceeding 500 MHz; or tics of the mobile telecommunications pro- b.4.b. A ‘‘fractional bandwidth’’ of 20% or tocol employed (e.g., GSM); or more; f.3. Exploit specific characteristics of the b.5. Being digitally controlled radio receiv- mobile telecommunications protocol em- ers having all of the following: ployed (e.g., GSM); b.5.a. More than 1,000 channels; N.B.: For GNSS jamming equipment see b.5.b. A ‘‘frequency switching time’’ of less the International Traffic in Arms Regula- than 1 ms; tions (ITAR) (22 CFR Parts 120–130). b.5.c. Automatic searching or scanning of a g. Passive Coherent Location (PCL) sys- part of the electromagnetic spectrum; and tems or equipment, specially designed for de- b.5.d. Identification of the received signals tecting and tracking moving objects by or the type of transmitter; or measuring reflections of ambient radio fre- NOTE: 5A001.b.5 does not control radio equip- quency emissions, supplied by non-radar ment specially designed for use with civil cel- transmitters. lular radio-communications systems. TECHNICAL NOTE: Non-radar transmitters b.6. Employing functions of digital ‘‘signal may include commercial radio, television or processing’’ to provide ’voice coding’ output cellular telecommunications base stations. at rates of less than 2,400 bit/s. NOTE: 5A001.g does not control: TECHNICAL NOTES: 1. For variable rate ’voice a. Radio-astronomical equipment; or coding’, 5A001.b.6 applies to the ’voice coding’ b. Systems or equipment, that require any output of continuous speech. radio transmission from the target. 2. For the purpose of 5A001.b.6, ‘voice coding’ h. Radio Frequency (RF) transmitting is defined as the technique to take samples of equipment designed or modified for pre- human voice and then convert these samples of maturely activating or preventing the initi- human voice into a digital signal taking into ac- ation of Improvised Explosive Devices count specific characteristics of human speech. (IEDs). c. Optical fibers of more than 500 m in N.B.: See also ECCN 5A001.f and Category length and specified by the manufacturer as XI of the International Traffic in Arms Reg- being capable of withstanding a ’proof test’ ulations (ITAR) (22 CFR Parts 120–130). tensile stress of 2 × 109 N/m2 or more; 5A101 Telemetering and telecontrol equip- N.B.: For underwater umbilical cables, see ment, including ground equipment, de- 8A002.a.3. signed or modified for unmanned aerial TECHNICAL NOTE: ’Proof Test’: on-line or vehicles or rocket systems (including bal- off-line production screen testing that dy- listic missile systems, space launch vehi- namically applies a prescribed tensile stress cles, sounding rockets, cruise missile sys- over a 0.5 to 3 m length of fiber at a running tems, target drones, and reconnaissance rate of 2 to 5 m/s while passing between cap- drones) capable of a maximum ‘‘range’’ stans approximately 150 mm in diameter. equal to or greater than 300km.

795 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

LICENSE REQUIREMENTS LVS: N/A Reason for Control: MT, AT GBS: N/A CIV: N/A Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: $ value MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 Related Controls: N/A Related Definitions: N/A Items: The list of items controlled is con- LICENSE EXCEPTIONS LVS: N/A tained in the ECCN heading. GBS: N/A 5A991 Telecommunication equipment, not CIV: N/A controlled by 5A001. LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: Number Reason for Control: AT Related Controls: N/A Related Definitions: N/A Control(s) Country chart Items: The list of items controlled is contained in the ECCN heading. AT applies to entire entry ...... AT Column 1. NOTE: 5A101 does not control: 1. Telecon- trol equipment specially designed to be used LICENSE EXCEPTIONS for remote control of recreational model LVS: N/A planes, boats or vehicles and having an elec- GBS: N/A CIV: N/A tric field strength of not more than 200 LIST OF ITEMS CONTROLLED microvolts per meter at a distance of 500 me- Unit: $ value. ters; Related Controls: Telecommunication equip- 2. Equipment designed or modified for ment defined in 5A991 for use on board sat- manned aircraft or satellites; ellites is subject to the export licensing au- 3. Ground based equipment designed or thority of the Department of State, Direc- modified for terrestrial or marine applica- torate of Defense Trade Controls (22 CFR tions; part 121). See also 5E101 and 5E991. 4. Equipment designed for commercial, Related Definitions: (1) ‘‘Asynchronous trans- civil, or safety of life (e.g., data integrity or fer mode’’ (‘‘ATM’’) is a transfer mode in flight safety) Global Navigation Satellite which the information is organized into System services. cells; it is asynchronous in the sense that NOTE: Item 5A101 does not include items the recurrence of cells depends on the re- not designed or modified for unmanned aer- quired or instantaneous bit rate. (2) ial vehicles or rocket systems (including bal- ‘‘Bandwidth of one voice channel’’ is data listic missile systems, space launch vehicles, communication equipment designed to op- sounding rockets, cruise missile systems, erate in one voice channel of 3,100 Hz, as target drones, and reconnaissance drones) defined in CCITT Recommendation G.151. capable of a maximum ‘‘range’’ equal to or (3) ‘‘Communications channel controller’’ greater than 300km (e.g., telemetry circuit is the physical interface that controls the cards limited by design to reception only and flow of synchronous or asynchronous dig- designed for use in personal computers). ital information. It is an assembly that can be integrated into computer or tele- 5A980 Devices primarily useful for the sur- communications equipment to provide reptitious interception of wire, oral, or communications access. (4) ‘‘Datagram’’ is electronic communications; and parts a self-contained, independent entity of and accessories therefor. data carrying sufficient information to be LICENSE REQUIREMENTS routed from the source to the destination Reason for Control: SL, AT. data terminal equipment without reliance Control(s): SL and AT apply to entire entry. on earlier exchanges between this source A license is required for all destinations, as and destination data terminal equipment specified in § 742.13 of the EAR. Accordingly, and the transporting network. (5) ‘‘Fast se- a column specific to this control does not ap- lect’’ is a facility applicable to virtual pear on the Commerce Country Chart (Sup- calls that allows data terminal equipment plement No. 1 to Part 738 of the EAR). to expand the possibility to transmit data NOTE: This licensing requirement does not in call set-up and clearing ‘‘packets’’ be- supersede, nor does it implement, construe yond the basic capabilities of a virtual or limit the scope of any criminal statute, call. (6) ‘‘Gateway’’ is the function, real- including, but not limited to the Omnibus ized by any combination of equipment and Safe Streets Act of 1968, as amended. ‘‘software’’, to carry out the conversion of NOTE: These items are subject to the conventions for representing, processing or United Nations Security Council arms em- communicating information used on one bargo against Rwanda described in § 746.8 of system into the corresponding, but dif- the EAR. ferent conventions used in another system. LICENSE EXCEPTIONS (7) ‘‘Integrated Services Digital Network’’

796 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

(ISDN) is a unified end-to-end digital net- b.4.a. ‘‘Network access controllers’’ and work, in which data originating from all their related common medium having a types of communication (e.g., voice, text, ‘‘digital transfer rate’’ exceeding 33 Mbit/s; data, still and moving pictures) are trans- or mitted from one port (terminal) in the ex- b.4.b. ‘‘Communication channel control- change (switch) over one access line to and lers’’ with a digital output having a ‘‘data from the subscriber. (8) ‘‘Packet’’ is a signaling rate’’ exceeding 64,000 bit/s per group of binary digits including data and channel; call control signals that is switched as a NOTE: If any uncontrolled equipment con- composite whole. The data, call control tains a ‘‘network access controller’’, it can- signals, and possible error control informa- not have any type of telecommunications tion are arranged in a specified format. interface, except those described in, but not Items: a. Any type of telecommunications controlled by 5A991.b.4. equipment, not controlled by 5A001.a, specially designed to operate outside the tem- b.5. Employing a ‘‘laser’’ and having any of perature range from 219 K (¥54 °C) to 397 K the following characteristics: (124 °C). b.5.a. A transmission wavelength exceeding b. Telecommunication transmission equip- 1,000 nm; or ment and systems, and specially designed b.5.b. Employing analog techniques and components and accessories therefor, having having a bandwidth exceeding 45 MHz; any of the following characteristics, func- NOTE: 5A991.b.5.b does not control commer- tions or features: cial TV systems. NOTE: Telecommunication transmission b.5.c. Employing coherent optical trans- equipment: mission or coherent optical detection tech- a. Categorized as follows, or combinations niques (also called optical heterodyne or thereof: homodyne techniques); 1. Radio equipment (e.g., transmitters, re- b.5.d. Employing wavelength division mul- ceivers and transceivers); tiplexing techniques; or 2. Line terminating equipment; b.5.e. Performing ‘‘optical amplification’’; 3. Intermediate amplifier equipment; b.6. Radio equipment operating at input or 4. Repeater equipment; output frequencies exceeding: 5. Regenerator equipment; b.6.a. 31 GHz for satellite-earth station ap- 6. Translation encoders (transcoders); plications; or 7. Multiplex equipment (statistical b.6.b. 26.5 GHz for other applications; mutiplex included); 8. Modulators/demodulators (modems); NOTE: 5A991.b.6. does not control equip- 9. Transmultiplex equipment (see CCITT ment for civil use when conforming with an Rec. G701); International Telecommunications Union 10. ‘‘Stored program controlled’’ digital (ITU) allocated band between 26.5 GHz and 31 crossconnection equipment; GHz. 11. ‘‘Gateways’’ and bridges; b.7. Being radio equipment employing any 12. ‘‘Media access units’’; and of the following: b. Designed for use in single or multi-chan- b.7.a. Quadrature-amplitude-modulation nel communication via any of the following: (QAM) techniques above level 4 if the ‘‘total 1. Wire (line); digital transfer rate’’ exceeds 8.5 Mbit/s; 2. Coaxial cable; b.7.b. QAM techniques above level 16 if the 3. Optical fiber cable; ‘‘total digital transfer rate’’ is equal to or 4. Electromagnetic radiation; or less than 8.5 Mbit/s; 5. Underwater acoustic wave propagation. b.7.c. Other digital modulation techniques b.1. Employing digital techniques, includ- and having a ‘‘spectral efficiency’’ exceeding ing digital processing of analog signals, and 3 bit/s/Hz; or designed to operate at a ‘‘digital transfer b.7.d. Operating in the 1.5 MHz to 87.5 MHz rate’’ at the highest multiplex level exceed- band and incorporating adaptive techniques ing 45 Mbit/s or a ‘‘total digital transfer providing more than 15 dB suppression of an rate’’ exceeding 90 Mbit/s; interfering signal. NOTE: 5A991.b.1 does not control equipment NOTES: 1. 5A991.b.7 does not control equip- specially designed to be integrated and oper- ment specially designed to be integrated and ated in any satellite system for civil use. operated in any satellite system for civil b.2. Modems using the ‘‘bandwidth of one use. voice channel’’ with a ‘‘data signaling rate’’ 2. 5A991.b.7 does not control radio relay exceeding 9,600 bits per second; equipment for operation in an ITU allocated b.3. Being ‘‘stored program controlled’’ dig- band: ital cross connect equipment with ‘‘digital a. Having any of the following: transfer rate’’ exceeding 8.5 Mbit/s per port. a.1. Not exceeding 960 MHz; or b.4. Being equipment containing any of the a.2. With a ‘‘total digital transfer rate’’ not following: exceeding 8.5 Mbit/s; and

797 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

b. Having a ‘‘spectral efficiency’’ not ex- d. Optical fibers and optical fiber cables of ceeding 4 bit/s/Hz. more than 50 m in length designed for single c. ‘‘Stored program controlled’’ switching mode operation; equipment and related signaling systems, e. Centralized network control having all having any of the following characteristics, of the following characteristics: functions or features, and specially designed e.1. Receives data from the nodes; and components and accessories therefor: e.2. Process these data in order to provide control of traffic not requiring operator deci- NOTE: Statistical multiplexers with digital sions, and thereby performing ‘‘dynamic input and digital output which provide adaptive routing’’; switching are treated as ‘‘stored program controlled’’ switches. NOTE: 5A991.e does not preclude control of traffic as a function of predictable statistical c.1. ‘‘Data (message) switching’’ equipment traffic conditions. or systems designed for ‘‘packet-mode operation’’ and assemblies and components f. Phased array antennae, operating above therefor, n.e.s. 10.5 GHz, containing active elements and dis- c.2. [Reserved] tributed components, and designed to permit electronic control of beam shaping and NOTE: 5A991.c does not preclude the evalua- pointing, except for landing systems with in- tion and appropriate actions taken by the re- struments meeting International Civil Avia- ceiving switch or unrelated user message tion Organization (ICAO) standards (micro- traffic on a D channel of ISDN. wave landing systems (MLS)). c.3. Routing or switching of ‘‘datagram’’ g. Mobile communications equipment, packets; n.e.s., and assemblies and components there- c.4. [Reserved] for; or NOTE: The restrictions in 5A991.c.3 do not h. Radio relay communications equipment apply to networks restricted to using only designed for use at frequencies equal to or ‘‘network access controllers’’ or to ‘‘network exceeding 19.7 GHz and assemblies and com- access controllers’’ themselves. ponents therefor, n.e.s. c.5. Multi-level priority and pre-emption B. TEST, INSPECTION AND PRODUCTION for circuit switching; EQUIPMENT NOTE: 5A991.c.5 does not control single- level call preemption. 5B001 Telecommunication test, inspection and production equipment, components c.6. Designed for automatic hand-off of cel- and accessories, as follows (See List of lular radio calls to other cellular switches or Items Controlled). automatic connection to a centralized sub- LICENSE REQUIREMENTS scriber data base common to more than one Reason for Control: NS, AT switch; c.7. Containing ‘‘stored program con- Control(s) Country chart trolled’’ digital cross connect equipment with ‘‘digital transfer rate’’ exceeding 8.5 NS applies to entire entry ...... NS Column 2 Mbit/s per port. AT applies to entire entry ...... AT Column 1 c.8. ‘‘Common channel signaling’’ operating in either non-associated or quasi-asso- LICENSE REQUIREMENT NOTES: See § 743.1 of ciated mode of operation; the EAR for reporting requirements for ex- c.9. ‘‘Dynamic adaptive routing’’; ports under License Exceptions. NOTE: 5A991.c.10 does not control packet LICENSE EXCEPTIONS switches or routers with ports or lines not LVS: $5000 exceeding the limits in 5A991.c.10. GBS: Yes CIV: Yes c.10. Being packet switches, circuit switch- STA: License Exception STA may not be es and routers with ports or lines exceeding used to ship 5B001.a equipment and spe- any of the following: cially designed components or accessories c.10.a. A ‘‘data signaling rate’’ of 64,000 bit/ therefor, specially designed for the ‘‘devel- s per channel for a ‘‘communications channel opment’’, ‘‘production’’ or ‘‘use’’ of equip- controller’’; or ment, functions or features specified by in NOTE: 5A991.c.10.a does not control multi- ECCN 5A001.b.3, .b.5 or .h to any of the plex composite links composed only of com- eight destinations listed in § 740.20(c)(2) of munication channels not individually con- the EAR. trolled by 5A991.b.1. LIST OF ITEMS CONTROLLED c.10.b. A ‘‘digital transfer rate’’ of 33 Mbit/ Unit: Equipment in number; components and s for a ‘‘network access controller’’ and re- accessories in $ value lated common media; Related Controls: See also 5B991. c.11. ‘‘Optical switching’’; Related Definition: N/A c.12. Employing ‘‘Asynchronous Transfer Items: a. Equipment and specially designed Mode’’ (‘‘ATM’’) techniques. components or accessories therefor, specially

798 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

designed for the ‘‘development’’, ‘‘produc- LVS: N/A tion’’ or ‘‘use’’ of equipment, functions or GBS: N/A features, controlled by 5A001; CIV: N/A NOTE: 5B001.a does not control optical fiber LIST OF ITEMS CONTROLLED characterization equipment. Unit: $ value b. Equipment and specially designed com- Related Controls: N/A ponents or accessories therefor, specially de- Related Definitions: N/A signed for the ‘‘development’’ of any of the following telecommunication transmission Items: The list of items controlled is con- or switching equipment: tained in the ECCN heading. b.1. [Reserved] D. SOFTWARE b.2. Equipment employing a ‘‘laser’’ and having any of the following: 5D001 ‘‘Software’’ as follows (see List of b.2.a. A transmission wavelength exceeding Items Controlled). 1750 nm; LICENSE REQUIREMENTS b.2.b. Performing ‘‘optical amplification’’ Reason for Control: NS, AT using praseodymium-doped fluoride fiber amplifiers (PDFFA); Control(s) Country chart b.2.c. Employing coherent optical transmission or coherent optical detection tech- NS applies to entire entry ...... NS Column 1 niques (also called optical heterodyne or AT applies to entire entry ...... AT Column 1 homodyne techniques); or b.2.d. Employing analog techniques and LICENSE REQUIREMENT NOTES: See § 743.1 of having a bandwidth exceeding 2.5 GHz; the EAR for reporting requirements for ex- NOTE: 5B001.b.2.d. does not include equip- ports under License Exceptions. ment specially designed for the ‘‘develop- LICENSE EXCEPTIONS ment’’ of commercial TV systems. CIV: Yes, except for ‘‘software’’ controlled by b.3. [Reserved] 5D001.a and specially designed for the ‘‘de- b.4. Radio equipment employing Quad- velopment’’ or ‘‘production’’ of items con- rature-Amplitude-Modulation (QAM) tech- trolled by 5A001.b.5 and 5A001.h. niques above level 256; or TSR: Yes, except for exports and reexports to b.5. Equipment employing ‘‘common chan- destinations outside of Austria, Belgium, nel signaling’’ operating in non-associated Canada, Denmark, Finland, France, Ger- mode of operation. many, Greece, Ireland, Italy, Japan, Lux- embourg, the Netherlands, Portugal, 5B991 Telecommunications test equipment, Spain, Sweden, or the United Kingdom of n.e.s. ‘‘software’’ controlled by 5D001.a and spe- LICENSE REQUIREMENTS cially designed for items controlled by Reason for Control: AT 5A001.b.5 and 5A001.h. Control(s) Country chart STA: License Exception STA may not be used to ship or transmit 5D001.a ‘‘soft- AT applies to entire entry ...... AT Column 1. ware’’ specially designed for the ‘‘development’’ or ‘‘production’’ of equipment, func- License Exceptions tions or features, specified by ECCN LVS: N/A 5A001.b.3, .b.5 or .h; and for 5D001.b. for GBS: N/A ‘‘software’’ specially designed or modified CIV: N/A to support ‘‘technology’’ specified by the LIST OF ITEMS CONTROLLED STA paragraph in the License Exception Unit: $ value section of ECCN 5E001 to any of the eight Related Controls: N/A destinations listed in § 740.20(c)(2) of the Related Definitions: N/A EAR. Items: The list of items controlled is con- LIST OF ITEMS CONTROLLED tained in the ECCN heading. Unit: $ value. Related Controls: See also 5D991. C. MATERIALS Related Definitions: N/A Items: a. ‘‘Software’’ specially designed or 5C991 Preforms of glass or of any other ma- modified for the ‘‘development’’, ‘‘produc- terial optimized for the manufacture of tion’’ or ‘‘use’’ of equipment, functions or optical fibers controlled by 5A991. features, controlled by 5A001; LICENSE REQUIREMENTS b. ‘‘Software’’ specially designed or modi- Reason for Control: AT fied to support ‘‘technology’’ controlled by 5E001; Control(s) Country chart c. Specific ‘‘software’’ specially designed or AT applies to entire entry ...... AT Column 1 modified to provide characteristics, functions or features of equipment, controlled by LICENSE EXCEPTIONS 5A001 or 5B001;

799 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

d. ‘‘Software’’ specially designed or modi- Items: a. ‘‘Software’’ primarily useful for the fied for the ‘‘development’’ of any of the fol- surreptitious interception of wire, oral, and lowing telecommunication transmission or electronic communications. switching equipment: b. ‘‘Software’’ primarily useful for the d.1. [Reserved] ‘‘development’’, ‘‘production’’, or ‘‘use’’ of d.2. Equipment employing a ‘‘laser’’ and equipment controlled by 5A980. having any of the following: d.2.a. A transmission wavelength exceeding 5D991 ‘‘Software’’ specially designed or 1,750 nm; or modified for the ‘‘development’’, ‘‘produc- d.2.b. Employing analog techniques and tion’’ or ‘‘use’’ of equipment controlled by having a bandwidth exceeding 2.5 GHz; or 5A991 and 5B991, and dynamic adaptive NOTE: 5D001.d.2.b does not control ‘‘soft- routing software as described in the List ware’’ specially designed or modified for the of Items Controlled. ‘‘development’’ of commercial TV systems. LICENSE REQUIREMENTS d.3. [Reserved] Reason for Control: AT d.4. Radio equipment employing Quad- Control(s) Country chart rature-Amplitude-Modulation (QAM) techniques above level 256. AT applies to entire entry ...... AT Column 1

5D101 ‘‘Software’’ specially designed or LICENSE EXCEPTIONS modified for the ‘‘use’’ of items controlled CIV: N/A by 5A101. TSR: N/A LICENSE REQUIREMENTS LIST OF ITEMS CONTROLLED Reason for Control: MT, AT Unit: $ value Related Controls: N/A Control(s) Country chart Related Definitions: N/A MT applies to entire entry ...... MT Column 1 Items: a. ‘‘Software’’, other than in machine- AT applies to entire entry ...... AT Column 1 executable form, specially designed for ‘‘dynamic adaptive routing’’. LICENSE EXCEPTIONS b. [Reserved] CIV: N/A E. TECHNOLOGY TSR: N/A LIST OF ITEMS CONTROLLED 5E001 ‘‘Technology’’ as follows (see List of Unit: $ value Items Controlled).. Related Controls: N/A LICENSE REQUIREMENTS Related Definitions: N/A Reason for Control: NS, AT Items: The list of items controlled is contained in the ECCN heading. Control(s) Country chart

5D980 Other ‘‘software’’, as follows (see List NS applies to entire entry ...... NS Column 1 AT applies to entire entry ...... AT Column 1 of Items Controlled). LICENSE REQUIREMENTS LICENSE REQUIREMENT NOTES: See § 743.1 of Reason for Control: SL, AT. the EAR for reporting requirements for ex- Controls: SL and AT apply to entire entry. A ports under License Exceptions. license is required for all destinations, as LICENSE EXCEPTIONS specified in § 742.13 of the EAR. Accord- CIV:N/A. ingly, a column specific to this control TSR:Yes, except for exports or reexports to does not appear on the Commerce Country destinations outside of Austria, Belgium, Chart (Supplement No. 1 to Part 738 of the Canada, Denmark, Finland, France, Ger- EAR). many, Greece, Ireland, Italy, Japan, Lux- NOTE: This licensing requirement does not embourg, the Netherlands, Portugal, supersede, nor does it implement, construe Spain, Sweden, or the United Kingdom of or limit the scope of any criminal statute, ‘‘technology’’ controlled by 5E001.a for the including, but not limited to the Omnibus ‘‘development’’ or ‘‘production’’ of the fol- Safe Streets Act of 1968, as amended. lowing: NOTE: These items are subject to the (1) Items controlled by 5A001.b.5 or 5A001.h; United Nations Security Council arms em- or bargo against Rwanda described in § 746.8 of (2) ‘‘Software’’ controlled by 5D001.a that the EAR. is specially designed for the ‘‘development’’ LICENSE EXCEPTIONS or ‘‘production’’ of equipment, functions or CIV: N/A features controlled by 5A001.b.5 or 5A001.h. TSR: N/A STA: License Exception STA may not be LIST OF ITEMS CONTROLLED used to ship or transmit ‘‘technology’’ ac- Unit: $ value. cording to the General Technology Note Related Controls: N/A for the ‘‘development’’ or ‘‘production’’ of Related Definitions: N/A equipment, functions or features specified

800 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

by 5A001.b.3, .b.5 or .h; or for ‘‘software’’ in c.2.d. Employing wavelength division mul- 5D001.a that is specified in the STA para- tiplexing techniques of optical carriers at graph in the License Exception section of less than 100 GHz spacing; or ECCN 5D001 to any of the eight destina- c.2.e. Employing analog techniques and tions listed in § 740.20(c)(2) of the EAR. having a bandwidth exceeding 2.5 GHz; LIST OF ITEMS CONTROLLED NOTE: 5E001.c.2.e. does not control ‘‘tech- Unit: $ value. nology’’ for the ‘‘development’’ or ‘‘produc- Related Controls: Technology defined in tion’’ of commercial TV systems. 5E001.b.1, 5E001.b.2, 5E001.b.4, or 5E001.c for N.B.: For ‘‘technology’’ for the ‘‘develop- use on board satellites is subject to the ex- ment’’ or ‘‘production’’ of non-telecommuni- port licensing authority of the Department cations equipment employing a ‘‘laser’’, see of State, Directorate of Defense Trade Con- Product Group E of Category 6, e.g., 6E00x. trols (22 CFR part 121). See also 5E101 and c.3. Equipment employing ‘‘optical switch- 5E991 ing’’ and having a switching time less than 1 Related Definitions: N/A ms; or Items: a. ‘‘Technology’’ according to the Gen- c.4. Radio equipment having any of the fol- eral Technology Note for the ‘‘develop- lowing: ment’’, ‘‘production’’ or ‘‘use’’ (excluding c.4.a. Quadrature-Amplitude-Modulation operation) of equipment, functions or fea- (QAM) techniques above level 256; or tures, controlled by 5A001 or ‘‘software’’ c.4.b. Operating at input or output fre- controlled by 5D001.a. quencies exceeding 31.8 GHz; or b. Specific ‘‘technology’’ as follows: NOTE: 5E001.c.4.b. does not control ‘‘tech- b.1. ‘‘Required’’ ‘‘technology’’ for the ‘‘de- nology’’ for the ‘‘development’’ or ‘‘produc- velopment’’ or ‘‘production’’ of tele- tion’’ of equipment designed or modified for communications equipment specially de- operation in any frequency band which is signed to be used on board satellites; ‘‘allocated by the ITU’’ for radio-commu- b.2. ‘‘Technology’’ for the ‘‘development’’ nications services, but not for radio-deter- or ‘‘use’’ of ‘‘laser’’ communication tech- mination. niques with the capability of automatically c.4.c. Operating in the 1.5 MHz to 87.5 MHz acquiring and tracking signals and maintain- band and incorporating adaptive techniques ing communications through exoatmosphere providing more than 15 dB suppression of an or sub-surface (water) media; interfering signal; b.3. ‘‘Technology’’ for the ‘‘development’’ c.5. Equipment employing ‘‘common chan- of digital cellular radio base station receiv- nel signaling’’ operating in non-associated ing equipment whose reception capabilities mode of operation; or that allow multi-band, multi-channel, multi- c.6. Mobile equipment having all of the fol- mode, multi-coding algorithm or multi-pro- lowing: tocol operation can be modified by changes c.6.a. Operating at an optical wavelength in ‘‘software’’; greater than or equal to 200 nm and less than b.4. ‘‘Technology’’ for the ‘‘development’’ or equal to 400 nm; and of ‘‘spread spectrum’’ techniques, including c.6.b. Operating as a ‘‘local area network’’; ‘‘frequency hopping’’ techniques. d. ‘‘Technology’’ according to the General NOTE: 5E001.b.4 does not apply to ‘‘tech- Technology Note for the ‘‘development’’ or nology’’ for the ‘‘development’’ of civil cel- ‘‘production’’ of Microwave Monolithic Inte- lular radio-communications systems. grated Circuit (MMIC) power amplifiers spe- c. ‘‘Technology’’ according the General cially designed for telecommunications and Technology Note for the ‘‘development’’ or having any of the following: ‘‘production’’ of any of the following: d.1. Rated for operation at frequencies ex- c.1. Equipment employing digital tech- ceeding 3.2 GHz up to and including 6.8 GHz niques designed to operate at a ‘‘total digital and with an average output power greater transfer rate’’ exceeding 50 Gbit/s; than 4 W (36 dBm) with a ‘‘fractional band- TECHNICAL NOTE: For telecommunication width’’ greater than 15%; switching equipment the ‘‘total digital d.2. Rated for operation at frequencies ex- transfer rate’’ is the unidirectional speed of ceeding 6.8 GHz up to and including 16 GHz a single interface, measured at the highest and with an average output power greater speed port or line. than 1 W (30 dBm) with a ‘‘fractional band- c.2. Equipment employing a ‘‘laser’’ and width’’ greater than 10%; having any of the following: d.3. Rated for operation at frequencies ex- c.2.a. A transmission wavelength exceeding ceeding 16 GHz up to and including 31.8 GHz 1,750 nm; and with an average output power greater c.2.b. Performing ‘‘optical amplification’’ than 0.8 W (29 dBm) with a ‘‘fractional band- using Praseodymium-Doped Fluoride Fiber width’’ greater than 10%; Amplifiers (PDFFA); d.4. Rated for operation at frequencies ex- c.2.c. Employing coherent optical trans- ceeding 31.8 GHz up to and including 37.5 mission or coherent optical detection tech- GHz; niques (also called optical heterodyne or d.5. Rated for operation at frequencies ex- homodyne techniques); ceeding 37.5 GHz up to and including 43.5 GHz

801 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

and with an average output power greater Unit: $ value. than 0.25 W (24 dBm) with a ‘‘fractional band- Related Controls: N/A width’’ greater than 10%; or Related Definitions: N/A d.6. Rated for operation at frequencies ex- Items: ceeding 43.5 GHz; The list of items controlled is contained in e. ‘‘Technology’’ according to the General the ECCN heading. Technology Note for the ‘‘development’’ or ‘‘production’’ of electronic devices and cir- 5E991 ‘‘Technology’’ for the ‘‘Development’’, cuits, specially designed for telecommuni- ‘‘Production’’ or ‘‘Use’’ of Equipment Con- cations and containing components manu- trolled by 5A991 or 5B991, or ‘‘Software’’ factured from ‘‘superconductive’’ materials, Controlled by 5D991, and Other ‘‘Tech- specially designed for operation at tempera- nologies’’ as Follows (see List of Items tures below the ‘‘critical temperature’’ of at Controlled) LICENSE REQUIREMENTS least one of the ‘‘superconductive’’ constitu- Reason for Control: AT ents and having any of the following: e.1. Current switching for digital circuits Control(s) Country chart using ‘‘superconductive’’ gates with a product of delay time per gate (in seconds) and AT applies to entire entry ...... AT Column 1 power dissipation per gate (in watts) of less than 10¥14 J; or LICENSE EXCEPTIONS e.2. Frequency selection at all frequencies CIV: N/A using resonant circuits with Q-values exceed- TSR: N/A ing 10,000. LIST OF ITEMS CONTROLLED Unit: $ value. 5E101 ‘‘Technology’’ according to the Gen- Related Controls: N/A eral Technology Note for the ‘‘develop- Related Definitions: (1) ‘‘Synchronous digital ment,’’ ‘‘production’’ or ‘‘use’’ of equip- hierarchy’’ (SDH) is a digital hierarchy ment or software controlled by 5A101 or providing a means to manage, multiplex, 5D101. and access various forms of digital traffic LICENSE REQUIREMENTS using a synchronous transmission format Reason for Control: MT, AT on different types of media. The format is based on the Synchronous Transport Mod- Control(s) Country chart ule (STM) that is defined by CCITT Rec- ommendation G.703, G.707, G.708, G.709 and MT applies to entire entry ...... MT Column 1 others yet to be published. The first level AT applies to entire entry ...... AT Column 1 rate of ‘SDH’ is 155.52 Mbits/s. (2) ‘Syn- chronous optical network’ (SONET) is a LICENSE EXCEPTIONS network providing a means to manage, CIV: N/A multiplex and access various forms of dig- TSR: N/A ital traffic using a synchronous trans- LIST OF ITEMS CONTROLLED mission format on fiber optics. The format Unit: $ value is the North America version of ‘SDH’ and N/A Related Controls: also uses the Synchronous Transport Mod- Related Definitions: N/A ule (STM). However, it uses the Syn- Items: The list of items controlled is con- chronous Transport Signal (STS) as the tained in the ECCN heading. basic transport module with a first level 5E980 ‘‘Technology’’ primarily useful for the rate of 51.81 Mbits/s. The SONET standards ‘‘development’’, ‘‘production’’, or ‘‘use’’ of are being integrated into those of ‘SDH’. equipment controlled by 5A980. Items: a. Specific ‘‘technologies’’ as follows: a.1. ‘‘Technology’’ for the processing and LICENSE REQUIREMENTS Reason for Control: SL, AT. application of coatings to optical fiber spe- Controls: SL and AT apply to entire entry. A cially designed to make it suitable for under- license is required for all destinations, as water use; specified in § 742.13 of the EAR. Accord- a.2. ‘‘Technology’’ for the ‘‘development’’ ingly, a column specific to this control of equipment employing ‘Synchronous Dig- does not appear on the Commerce Country ital Hierarchy’ (‘SDH’) or ‘Synchronous Op- Chart (Supplement No. 1 to Part 738 of the tical Network’ (‘SONET’) techniques. EAR). EAR99 Items subject to the EAR that are NOTE: These items are subject to the not elsewhere specified in this CCL Cat- United Nations Security Council arms em- egory or in any other category in the CCL bargo against Rwanda described in § 746.8 of are designated by the number EAR99. the EAR. II. ‘‘INFORMATION SECURITY’’ LICENSE EXCEPTIONS CIV: N/A NOTE 1: The control status of ‘‘information TSR: N/A security’’ equipment, ‘‘software’’, systems, LIST OF ITEMS CONTROLLED application specific ‘‘electronic assemblies’’,

802 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

modules, integrated circuits, components, or 4. Networking (includes operation, admin- functions is determined in Category 5, Part 2 istration, management and provisioning); even if they are components or ‘‘electronic b. The cryptographic functionality is lim- assemblies’’ of other equipment. ited to supporting their primary function or N.B. TO NOTE 1: Commodities and software set of functions; and specially designed for medical end-use that c. When necessary, details of the items are incorporate an item in Category 5, part 2 are accessible and will be provided, upon re- not classified in any ECCN in Category 5, quest, to the appropriate authority in the ex- part 2. porter’s country in order to ascertain com- NOTE 2: Category 5, part 2, encryption pliance with conditions described in para- products, when accompanying their user for graphs a. and b. above. the user’s personal use or as tools of trade, TECHNICAL NOTE: Parity bits are not in- are eligible for License Exceptions TMP or cluded in the key length. BAG, subject to the terms and conditions of these License Exceptions. A. SYSTEMS, EQUIPMENT AND COMPONENTS NOTE 3: Cryptography Note: ECCNs 5A002 and 5D002 do not control items that meet all 5A002 ‘‘Information security’’ systems, of the following: equipment and components therefor, as a. Generally available to the public by follows (see List of Items Controlled). being sold, without restriction, from stock LICENSE REQUIREMENTS at retail selling points by means of any of Reason for Control: NS, AT, EI the following: 1. Over-the-counter transactions; Control(s) Country chart 2. Mail order transactions; 3. Electronic transactions; or NS applies to entire entry ...... NS Column 1. AT applies to entire entry ...... AT Column 1. 4. Telephone call transactions; EI applies to 5A002.a.1, .a.2, .a.5, Refer to § 742.15 of b. The cryptographic functionality cannot .a.6, .a.9 and .b.. the EAR. be easily changed by the user; c. Designed for installation by the user LICENSE EXCEPTIONS without further substantial support by the LVS: Yes: $500 for components and spare supplier; and parts only. N/A for equipment. d. When necessary, details of the items are GBS: N/A accessible and will be provided, upon re- CIV: N/A quest, to the appropriate authority in the ex- ENC: Yes for certain EI controlled commod- porter’s country in order to ascertain com- ities, see § 740.17 of the EAR for eligibility. pliance with conditions described in para- LIST OF ITEMS CONTROLLED graphs (a) through (c) of this note. Unit: $ value. N.B. TO NOTE 3 (CRYPTOGRAPHY NOTE): You Related Controls: (1) 5A002 does not control must submit a classification request or the commodities listed in paragraphs (a), encryption registration to BIS for mass mar- (d), (e), (f), (g), (i) and (j) in the Note in the ket encryption commodities and software el- items paragraph of this entry. These com- igible for the Cryptography Note employing modities are instead classified under a key length greater than 64 bits for the ECCN5A992, and related software and tech- symmetric algorithm (or, for commodities nology are classified under ECCNs 5D992 and software not implementing any sym- and 5E992 respectively. (2) After encryption metric algorithms, employing a key length registration to or classification by BIS, greater than 768 bits for asymmetric algo- mass market encryption commodities that rithms or greater than 128 bits for elliptic meet eligibility requirements are released curve algorithms) in accordance with the re- from ‘‘EI’’ and ‘‘NS’’ controls. These com- quirements of § 742.15(b) of the EAR in order modities are classified under ECCN 5A992.c. to be released from the ‘‘EI’’ and ‘‘NS’’ con- See § 742.15(b) of the EAR. trols of ECCN 5A002 or 5D002. Related Definitions: N/A

NOTE 4: Category 5, Part 2 does not apply Items: to items incorporating or using ‘‘cryptog- NOTE: 5A002 does not control any of the fol- raphy’’ and meeting all of the following: lowing. However, these items are instead a. The primary function or set of functions controlled under 5A992: is not any of the following: (a) Smart cards and smart card ‘readers/ 1. ‘‘Information security’’; writers’ as follows: 2. A computer, including operating sys- (1) A smart card or an electronically read- tems, parts and components therefor; able personal document (e.g., token coin, e- 3. Sending, receiving or storing informa- passport) that meets any of the following: tion (except in support of entertainment, a. The cryptographic capability is re- mass commercial broadcasts, digital rights stricted for use in equipment or systems ex- management or medical records manage- cluded from 5A002 by Note 4 in Category 5— ment); or Part 2 or entries (b) to (i) of this Note, and

803 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition) cannot be reprogrammed for any other use; (i) Wireless ‘‘personal area network’’ equip- or ment that implement only published or com- b. Having all of the following: mercial cryptographic standards and where 1. It is specially designed and limited to the cryptographic capability is limited to a allow protection of ‘personal data’ stored nominal operating range not exceeding 30 within; meters according to the manufacturer’s spec- 2. Has been, or can only be, personalized ifications; or for public or commercial transactions or in- (j) Equipment, having no functionality dividual identification; and specified by 5A002.a.2, 5A002.a.4, 5A002.a.7, or 3. Where the cryptographic capability is 5A002.a.8, where all cryptographic capability not user-accessible; specified by 5A002.a meets any of the fol- Technical Note: ‘Personal data’ includes lowing: any data specific to a particular person or 1. It cannot be used; or entity, such as the amount of money stored and data necessary for authentication. 2. It can only be made useable by means of (2) ‘Readers/writers’ specially designed or ‘‘cryptographic activation’’. modified, and limited, for items specified by N.B.: See 5A002.a for equipment that has (a)(1) of this Note; undergone ‘‘cryptographic activation’’. Technical Note: ‘Readers/writers’ include a. Systems, equipment, application specific equipment that communicates with smart ‘‘electronic assemblies’’, modules and inte- cards or electronically readable documents grated circuits for ‘‘information security’’, through a network. as follows, and components therefor spe- (b) [Reserved] cially designed for ‘‘information security’’: N.B.: See Note 4 in Category 5—Part 2 for N.B.: For the control of Global Navigation items previously specified in 5A002 Note (b). Satellite Systems (GNSS) receiving equip- (c) [Reserved] ment containing or employing decryption, N.B.: See Note 4 in Category 5—Part 2 for see ECCN 7A005. items previously specified in 5A002 Note (c). a.1. Designed or modified to use ‘‘cryptog- (d) Cryptographic equipment specially de- raphy’’ employing digital techniques per- signed and limited for banking use or ‘money forming any cryptographic function other transactions’; than authentication or digital signature and Technical Note: The term ‘money trans- having any of the following: actions’ includes the collection and settle- TECHNICAL NOTES: 1. Authentication and ment of fares or credit functions. digital signature functions include their as- (e) Portable or mobile radiotelephones for sociated key management function. civil use (e.g., for use with commercial civil 2. Authentication includes all aspects of cellular radio communication systems) that access control where there is no encryption are not capable of transmitting encrypted of files or text except as directly related to data directly to another radiotelephone or the protection of passwords, Personal Identi- equipment (other than Radio Access Net- fication Numbers (PINs) or similar data to work (RAN) equipment), nor of passing prevent unauthorized access. encrypted data through RAN equipment 3. ‘‘Cryptography’’ does not include ‘‘fixed’’ (e.g., Radio Network Controller (RNC) or data compression or coding techniques. Base Station Controller (BSC)); NOTE: 5A002.a.1 includes equipment de- (f) Cordless telephone equipment not capa- signed or modified to use ‘‘cryptography’’ ble of end-to-end encryption where the max- employing analog principles when imple- imum effective range of unboosted cordless mented with digital techniques. operation (i.e., a single, unrelayed hop between terminal and home base station) is a.1.a. A ‘‘symmetric algorithm’’ employing less than 400 meters according to the manu- a key length in excess of 56-bits; or facturer’s specifications; a.1.b. An ‘‘asymmetric algorithm’’ where (g) Portable or mobile radiotelephones and the security of the algorithm is based on any similar client wireless devices for civil use, of the following: that implement only published or commer- a.1.b.1. Factorization of integers in excess cial cryptographic standards (except for of 512 bits (e.g., RSA); anti-piracy functions, which may be non- a.1.b.2. Computation of discrete logarithms published) and also meet the provisions of in a multiplicative group of a finite field of paragraphs b. to d. of the Cryptography Note size greater than 512 bits (e.g., Diffie- (Note 3 in Category 5—Part 2), that have Hellman over Z/pZ); or been customized for a specific civil industry a.1.b.3. Discrete logarithms in a group application with features that do not affect other than mentioned in 5A002.a.1.b.2 in ex- the cryptographic functionality of these cess of 112 bits (e.g., Diffie-Hellman over an original non-customized devices; elliptic curve); (h) [Reserved] a.2. Designed or modified to perform N.B.: See Note 4 in Category 5—Part 2 for cryptanalytic functions; items previously specified in 5A002 Note (h). a.3. [Reserved]

804 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

a.4. Specially designed or modified to re- Items: a. Telecommunications and other induce the compromising emanations of infor- formation security equipment containing mation-bearing signals beyond what is nec- encryption. essary for health, safety or electromagnetic b. ‘‘Information security’’ equipment, interference standards; n.e.s., (e.g., cryptographic, cryptanalytic, a.5. Designed or modified to use cryp- and cryptologic equipment, n.e.s.) and com- tographic techniques to generate the spread- ponents therefor. ing code for ‘‘spread spectrum’’ systems, not c. Commodities that BIS has received an controlled in 5A002.a.6., including the hop- encryption registration or that have been ping code for ‘‘frequency hopping’’ systems; classified as mass market encryption com- a.6. Designed or modified to use cryp- modities in accordance with § 742.15(b) of the tographic techniques to generate channel- EAR. izing codes, scrambling codes or network identification codes, for systems using ultra- B. TEST, INSPECTION AND PRODUCTION wideband modulation techniques and having EQUIPMENT any of the following: a.6.a. A bandwidth exceeding 500 MHz; or a.6.b. A ‘‘fractional bandwidth’’ of 20% or 5B002 ‘‘Information Security’’ test, inspec- more; tion and ‘‘production’’ equipment, as follows (see List of Items Controlled). a.7. Non-cryptographic information and LICENSE REQUIREMENTS communications technology (ICT) security Reason for Control: NS, AT systems and devices evaluated to an assurance level exceeding class EAL–6 (evaluation Control(s) Country chart assurance level) of the Common Criteria (CC) or equivalent; NS applies to entire entry ...... NS Column 1 a.8. Communications cable systems de- AT applies to entire entry ...... AT Column 1 signed or modified using mechanical, electrical or electronic means to detect surrep- LICENSE EXCEPTIONS titious intrusion; LVS: N/A a.9. Designed or modified to use ‘quantum GBS: N/A cryptography.’ CIV: N/A TECHNICAL NOTES: 1. ‘Quantum cryptog- ENC: Yes for certain EI controlled equip- raphy’ A family of techniques for the estab- ment, see § 740.17 of the EAR for eligibility. lishment of a shared key for ‘‘cryptography’’ LIST OF ITEMS CONTROLLED by measuring the quantum-mechanical prop- Unit: $ value erties of a physical system (including those Related Controls: N/A physical properties explicitly governed by Related Definitions: N/A quantum optics, quantum field theory, or Items: a. Equipment specially designed for quantum electrodynamics). the ‘‘development’’ or ‘‘production’’ of equip- 2. ‘Quantum cryptography’ is also known ment controlled by 5A002 or 5B002.b; as Quantum Key Distribution (QKD). b. Measuring equipment specially designed b. Systems, equipment, application specific to evaluate and validate the ‘‘information ‘‘electronic assemblies’’, modules and inte- security’’ functions of equipment controlled grated circuits, designed or modified to en- by 5A002 or ‘‘software’’ controlled by 5D002.a able an item to achieve or exceed the con- or 5D002.c. trolled performance levels for functionality 5D002 Software’’ as follows (see List of specified by 5A002.a that would not otherwise Items Controlled) be enabled. LICENSE REQUIREMENTS Reason for Control: NS, AT, EI 5A992 Equipment not controlled by 5A002. LICENSE REQUIREMENTS Control(s) Country chart NS applies to entire entry ...... NS Column 1. AT applies to entire entry ...... AT Column 1. Control(s) Country chart EI applies to ‘‘software’’ in Refer to § 742.15 of 5D002.a,.c.1, or .d for equipment the EAR. AT applies to entire entry ...... AT Column 1. controlled for EI reasons in ECCN 5A002.. LICENSE EXCEPTIONS LVS: N/A NOTE: Encryption software is controlled GBS: N/A because of its functional capacity, and not CIV: N/A because of any informational value of such LIST OF ITEMS CONTROLLED software; such software is not accorded the Unit: $ value same treatment under the EAR as other Related Controls: N/A ‘‘software’; and for export licensing purposes, Related Definitions: N/A encryption software is treated under the

805 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

EAR in the same manner as a commodity in- LICENSE EXCEPTIONS cluded in ECCN 5A002. CIV: N/A NOTE: Encryption source code classified TSR: N/A under this entry remains subject to the EAR LIST OF ITEMS CONTROLLED even when made publicly available in accord- Unit: $ value ance with part 734 of the EAR. However, pub- Related Controls: This entry does not control licly available encryption object code soft- ‘‘software’’ designed or modified to protect ware classified under ECCN 5D002 is not sub- against malicious computer damage, e.g., ject to the EAR when the corresponding viruses, where the use of ‘‘cryptography’’ is source code meets the criteria specified in limited to authentication, digital signa- § 740.13(e), see also § 734.3(b)(3) of the EAR. ture and/or the decryption of data or files. LICENSE EXCEPTIONS Related Definitions: N/A CIV: N/A Items: TSR: N/A a. ‘‘Software’’ specially designed or modi- ENC: Yes for certain EI controlled software, fied for the ‘‘development,’’ ‘‘production,’’ or see § 740.17 of the EAR for eligibility. ‘‘use’’ of equipment controlled by ECCN LIST OF ITEMS CONTROLLED 5A992.a or 5A992.b. Unit: $ value. b. ‘‘Software’’ having the characteristics, Related Controls: (1) This entry does not con- or performing or simulating the functions of trol ‘‘software’’ ‘‘required’’ for the ‘‘use’’ of the equipment controlled by ECCN 5A992.a or equipment excluded from control under the 5A992.b. Related Controls paragraph or the Tech- c. ‘‘Software’’ that BIS has received an nical Notes in ECCN 5A002 or ‘‘software’’ encryption registration or that have been providing any of the functions of equip- classified as mass market encryption soft- ment excluded from control under ECCN ware in accordance with § 742.15(b) of the 5A002. This software is classified as ECCN EAR. 5D992. E. TECHNOLOGY (2) After an encryption registration has been submitted to BIS or classification by BIS, mass market encryption software that 5E002 ‘‘Technology’’ as follows (see List of meet eligibility requirements are released Items Controlled). from ‘‘EI’’ and ‘‘NS’’ controls. This software LICENSE REQUIREMENTS is classified under ECCN 5D992.c. See Reason for Control: NS, AT, EI § 742.15(b) of the EAR. Control(s) Country chart Related Definitions: 5D002.a controls ‘‘software’’ designed or modified to use ‘‘cryp- NS applies to entire entry ...... NS Column 1 tography’’ employing digital or analog AT applies to entire entry ...... AT Column 1 techniques to ensure ‘‘information security’. EI applies to ‘‘technology’’ for the ‘‘devel- Items: a. ‘‘Software’’ specially designed or opment,’’ ‘‘production,’’ or ‘‘use’’ of com- modified for the ‘‘development’’, ‘‘produc- modities or ‘‘software’’ controlled for EI rea- tion’’ or ‘‘use’’ of equipment controlled by sons in ECCNs 5A002 or 5D002. Refer to 5A002 or ‘‘software’’ controlled by 5D002.c; § 742.15 of the EAR. b. ‘‘Software’’ specially designed or modi- LICENSE REQUIREMENT NOTE: When a per- fied to support ‘‘technology’’ controlled by son performs or provides technical assistance 5E002; that incorporates, or otherwise draws upon, c. Specific ‘‘software’’ as follows: ‘‘technology’’ that was either obtained in the c.1. ‘‘Software’’ having the characteristics, United States or is of US-origin, then a re- or performing or simulating the functions of lease of the ‘‘technology’’ takes place. Such the equipment, controlled by 5A002; technical assistance, when rendered with the c.2. ‘‘Software’’ to certify ‘‘software’’ con- intent to aid in the ‘‘development’’ or ‘‘pro- trolled by 5D002.c.1. duction’’ of encryption commodities or soft- d. ‘‘Software’’ designed or modified to en- ware that would be controlled for ‘‘EI’’ rea- able an item to achieve or exceed the con- sons under ECCN 5A002 or 5D002.a or 5D002.c, trolled performance levels for functionality may require authorization under the EAR specified by 5A002.a that would not otherwise even if the underlying encryption algorithm be enabled. to be implemented is from the public domain or is not of U.S. origin. 5D992 ‘‘Information Security’’ ‘‘software’’ not Refer to § 742.15 of the EAR controlled by 5D002. LICENSE EXCEPTIONS LICENSE REQUIREMENTS CIV: N/A TSR: N/A ENC: Yes for certain EI controlled tech- Control(s) Country chart nology, see § 740.17 of the EAR for eligibility. AT applies to entire entry ...... AT Column 1. LIST OF ITEMS CONTROLLED

806 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Unit: N/A LICENSE REQUIREMENT NOTES: See § 743.1 of Related Controls: See also 5E992. This entry the EAR for reporting requirements for ex- does not control ‘‘technology’’ ‘‘required’’ ports under License Exceptions. for the ‘‘use’’ of equipment excluded from LICENSE EXCEPTIONS control under the Related Controls para- LVS: $3000; N/A for 6A001.a.1.b.1 object detec- graph or the Technical Notes in ECCN tion and location systems having a trans- 5A002 or ‘‘technology’’ related to equip- mitting frequency below 5 kHz or a sound ment excluded from control under ECCN pressure level exceeding 210 dB (reference 1 5A002. This ‘‘technology’’ is classified as μPa at 1 m) for equipment with an oper- ECCN 5E992. ating frequency in the band from 30 kHz to Items: 2 kHz inclusive; 6A001.a.1.e, 6A001.a.2.a.1, a. ‘‘Technology’’ according to the General a.2.a.2, 6A001.a.2.a.3, a.2.a.5, a.2.a.6, Technology Note for the ‘‘development’’, 6A001.a.2.b; processing equipment con- ‘‘production’’ or ‘‘use’’ of equipment controlled by 6A001.a.2.c, and specially de- trolled by 5A002 or 5B002 or ‘‘software’’ con- signed for real time application with towed trolled by 5D002.a or 5D002.c. acoustic hydrophone arrays; a.2.e.1, a.2.e.2; b. ‘‘Technology’’ to enable an item to and bottom or bay cable systems con- achieve or exceed the controlled performance trolled by 6A001.a.2.f and having processing levels for functionality specified by 5A002.a equipment specially designed for real time that would not otherwise be enabled. application with bottom or bay cable systems. 5E992 ‘‘Information Security’’ ‘‘technology’’ GBS:Yes for 6A001.a.1.b.4. according to the General Technology CIV:Yes for 6A001.a.1.b.4. Note, not controlled by 5E002. STA: License Exception STA may not be LICENSE REQUIREMENTS used to ship commodities in 6A001.a.1.b, 6A001.a.1.e or 6A001.a.2 (except .a.2.a.4) to any of the eight destinations listed in Control(s) Country chart § 740.20(c)(2) of the EAR. LIST OF ITEMS CONTROLLED AT applies to entire entry ...... AT Column 1. Unit: $ value. Related Controls: See also 6A991. LICENSE EXCEPTIONS Related Definitions: N/A CIV: N/A Items: a. Marine acoustic systems, equipment TSR: N/A and specially designed components therefor, LIST OF ITEMS CONTROLLED as follows: Unit: N/A a.1. Active (transmitting or transmitting- Related Controls: N/A and-receiving) systems, equipment and spe- Related Definitions: N/A cially designed components therefor, as fol- Items: a. ‘‘Technology’’ n.e.s., for the ‘‘devel- lows: opment’’, ‘‘production’’ or ‘‘use’’ of equip- NOTE: 6A001.a.1 does not control: ment controlled by 5A992.a, ‘‘information a. Depth sounders operating vertically security’’or cryptologic equipment con- below the apparatus, not including a scan- trolled by 5A992.b or ‘‘software’’ controlled ning function exceeding ±20°, and limited to by 5D992.a or b. measuring the depth of water, the distance b. ‘‘Technology’’, n.e.s., for the ‘‘use’’ of of submerged or buried objects or fish find- mass market commodities controlled by ing; 5A992.c or mass market ‘‘software’’ con- b. Acoustic beacons, as follows: trolled by 5D992.c. 1. Acoustic emergency beacons; 2. Pingers specially designed for relocating EAR99 Items subject to the EAR that are or returning to an underwater position. not elsewhere specified in this CCL Cat- a.1.a. Acoustic seabed survey equipment as egory or in any other category in the CCL follows: are designated by the number EAR99. a.1.a.1. Surface vessel survey equipment designed for sea bed topographic mapping CATEGORY 6—SENSORS AND LASERS and having all of the following: A. SYSTEMS, EQUIPMENT AND COMPONENTS a.1.a.1.a. Designed to take measurements at an angle exceeding 20 from the vertical; 6A001 Acoustic systems, equipment and a.1.a.1.b. Designed to measure seabed to- components, as follows (see List of Items pography at seabed depths exceeding 600 m; Controlled). a.1.a.1.c.‘Sounding resolution’ less than 2; LICENSE REQUIREMENTS and Reason for Control: NS, AT a.1.a.1.d. ‘Enhancement’ of the depth accuracy through compensation for all the fol- Control(s) Country chart lowing: a.1.a.1.d.1. Motion of the acoustic sensor; NS applies to entire entry ...... NS Column 2 a.1.a.1.d.2. In-water propagation from sen- AT applies to entire entry ...... AT Column 1 sor to the seabed and back; and

807 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

a.1.a.1.d.3. Sound speed at the sensor; NOTES: 1. The control status of acoustic TECHNICAL NOTES: 1. ‘Sounding resolution’ projectors, including transducers, specially is the swath width (degrees) divided by the designed for other equipment is determined maximum number of soundings per swath. by the control status of the other equipment. 2. ‘Enhancement’ includes the ability to 2. 6A001.a.1.c does not control electronic compensate by external means. sources that direct the sound vertically only, a.1.a.2. Underwater survey equipment de- or mechanical (e.g., air gun or vapor-shock signed for seabed topographic mapping and gun) or chemical (e.g., explosive) sources. having all of the following: a.1.c.1. An instantaneous radiated ’acoustic a.1.a.2.a. Designed or modified to operate power density’ exceeding 0.01 mW/mm2/Hz for at depths exceeding 300 m; and devices operating at frequencies below 10 a.1.a.2.b. ‘Sounding rate’ greater than 3,800; kHz; TECHNICAL NOTE: ‘Sounding rate’ is the product of the max- a.1.c.2. A continuously radiated ’acoustic 2 imum speed (m/s) at which the sensor can op- power density’ exceeding 0.001 mW/mm /Hz erate and the maximum number of soundings for devices operating at frequencies below 10 per swath. kHz; or a.1.a.3. Side Scan Sonar (SSS) or Synthetic TECHNICAL NOTE: Acoustic power density’ Aperture Sonar (SAS), designed for seabed is obtained by dividing the output acoustic imaging and having all of the following: power by the product of the area of the radi- a.1.a.3.a. Designed or modified to operate ating surface and the frequency of operation. at depths exceeding 500 m; and a.1.c.3. Side-lobe suppression exceeding 22 a.1.a.3.b. An ‘area coverage rate’ of greater dB; than 570 m2/s while operating with both an a.1.d. Acoustic systems and equipment, de- ‘along track resolution’ and ‘across track signed to determine the position of surface resolution’ of less than 15 cm. vessels or underwater vehicles and having all TECHNICAL NOTES: 1. ‘Area coverage rate’ of the following, and specially designed com- (m2/s) is twice the product of the maximum ponents therefor: sonar range (m) and the maximum speed (m/ a.1.d.1. Detection range exceeding 1,000 m; s) at which the sensor can operate. and 2. ‘Along track resolution’ (cm), for SSS a.1.d.2. Positioning accuracy of less than 10 only, is the product of azimuth (horizontal) m rms (root mean square) when measured at beamwidth (degrees) and maximum sonar a range of 1,000 m; range (m) and 0.873. NOTE: 6A001.a.1.d includes: 3. ‘Across track resolution’ (cm) is 75 divided by the signal bandwidth (kHz). a. Equipment using coherent ‘‘signal proc- a.1.b. Object detection or location systems, essing’’ between two or more beacons and having any of the following: the hydrophone unit carried by the surface a.1.b.1. A transmitting frequency below 10 vessel or underwater vehicle; kHz; b. Equipment capable of automatically a.1.b.2. Sound pressure level exceeding correcting speed-of-sound propagation errors 224dB (reference 1μPa at 1 m) for equipment for calculation of a point. with an operating frequency in the band a.1.e. Active individual sonars, specially from 10 kHz to 24 kHz inclusive; designed or modified to detect, locate and a.1.b.3. Sound pressure level exceeding 235 automatically classify swimmers or divers, dB (reference 1 μPa at 1 m) for equipment having all of the following: with an operating frequency in the band be- a.1.e.1. Detection range exceeding 530 m; tween 24 kHz and 30 kHz; a.1.e.2. Positioning accuracy of less than 15 a.1.b.4. Forming beams of less than 1° on m rms (root mean square) when measured at any axis and having an operating frequency a range of 530 m; and of less than 100 kHz; a.1.e.3. Transmitted pulse signal bandwidth a.1.b.5. Designed to operate with an unam- exceeding 3 kHz; biguous display range exceeding 5,120 m; or a.1.b.6. Designed to withstand pressure dur- N.B.: For diver detection systems specially ing normal operation at depths exceeding designed or modified for military use, see the 1,000 m and having transducers with any of U.S. Munitions List in the International the following: Traffic in Arms Regulations (ITAR) (22 CFR a.1.b.6.a. Dynamic compensation for pres- part 121). sure; or NOTE: For 6A001.a.1.e, where multiple de- a.1.b.6.b. Incorporating other than lead zir- tection ranges are specified for various envi- conate titanate as the transduction element; ronments, the greatest detection range is a.1.c. Acoustic projectors, including trans- used. ducers, incorporating piezoelectric, a.2. Passive systems, equipment and spe- magnetostrictive, electrostrictive, electro- cially designed components therefor, as fol- dynamic or hydraulic elements operating in- lows: dividually or in a designed combination and a.2.a. Hydrophones having any of the fol- having any of the following: lowing:

808 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

NOTE: The control status of hydrophones or internal depth limiting devices that are specially designed for other equipment is de- adjustable or that control more than one hy- termined by the control status of the other drophone group. equipment. a.2.b.3. Heading sensors controlled by a.2.a.1. Incorporating continuous flexible 6A001.a.2.d; sensing elements; a.2.b.4. Longitudinally reinforced array a.2.a.2. Incorporating flexible assemblies of hoses; discrete sensing elements with either a di- a.2.b.5. An assembled array of less than 40 ameter or length less than 20 mm and with a mm in diameter; separation between elements of less than 20 a.2.b.6. [Reserved]; or mm; a.2.b.7. Hydrophone characteristics con- a.2.a.3. Having any of the following sensing trolled by 6A001.a.2.a; elements: a.2.c. Processing equipment, specially de- a.2.a.3.a. Optical fibers; signed for towed acoustic hydrophone arrays, a.2.a.3.b. ’Piezoelectric polymer films’ having ‘‘user accessible programmability’’ other than polyvinylidene-fluoride (PVDF) and time or frequency domain processing and and its co-polymers {P(VDF-TrFE) and correlation, including spectral analysis, dig- P(VDF-TFE)}; or ital filtering and beamforming using Fast a.2.a.3.c. ’Flexible piezoelectric compos- Fourier or other transforms or processes; ites’; a.2.d. Heading sensors having all of the fol- a.2.a.4. A ’hydrophone sensitivity’ better lowing: than ¥180dB at any depth with no accelera- a.2.d.1. An accuracy of better than ±0.5°; tion compensation; and a.2.a.5. Designed to operate at depths ex- a.2.d.2. Designed to operate at depths exceeding 35 m with acceleration compensa- ceeding 35 m or having an adjustable or re- tion; or movable depth sensing device in order to op- a.2.a.6. Designed for operation at depths erate at depths exceeding 35 m; exceeding 1,000 m; a.2.e. Bottom or bay cable systems, having TECHNICAL NOTES: 1. ’Piezoelectric polymer any of the following: film’ sensing elements consist of polarized a.2.e.1. Incorporating hydrophones con- polymer film that is stretched over and at- trolled by 6A001.a.2.a; or tached to a supporting frame or spool (man- a.2.e.2. Incorporating multiplexed hydro- drel). phone group signal modules having all of the 2. ’Flexible piezoelectric composite’ sens- following characteristics: ing elements consist of piezoelectric ceramic a.2.e.2.a. Designed to operate at depths ex- particles or fibers combined with an elec- ceeding 35 m or having an adjustable or re- trically insulating, acoustically transparent movable depth sensing device in order to op- rubber, polymer or epoxy compound, where erate at depths exceeding 35 m; and the compound is an integral part of the sens- a.2.e.2.b. Capable of being operationally ing elements. interchanged with towed acoustic hydro- 3. ’Hydrophone sensitivity’ is defined as phone array modules; twenty times the logarithm to the base 10 of a.2.f. Processing equipment, specially de- the ratio of rms output voltage to a 1 V rms signed for bottom or bay cable systems, hav- reference, when the hydrophone sensor, with- ing ‘‘user accessible programmability’’ and out a pre-amplifier, is placed in a plane wave time or frequency domain processing and acoustic field with an rms pressure of 1 μPa. correlation, including spectral analysis, dig- For example, a hydrophone of ¥160 dB (ref- ital filtering and beamforming using Fast erence 1 V per μPa) would yield an output Fourier or other transforms or processes; voltage of 10¥8 V in such a field, while one of NOTE: 6A001.a.2 also applies to receiving ¥180 dB sensitivity would yield only 10¥9 V equipment, whether or not related in normal output. Thus, ¥160 dB is better than ¥180 application to separate active equipment, dB. and specially designed components therefor. a.2.b. Towed acoustic hydrophone arrays b. Correlation-velocity and Doppler-veloc- having any of the following: ity sonar log equipment designed to measure a.2.b.1. Hydrophone group spacing of less the horizontal speed of the equipment carrier than 12.5 m or ’able to be modified’ to have relative to the sea bed, as follows: hydrophone group spacing of less than 12.5 b.1. Correlation-velocity sonar log equip- m; ment having any of the following character- a.2.b.2. Designed or ’able to be modified’ to istics: operate at depths exceeding 35m; b.1.a. Designed to operate at distances be- TECHNICAL NOTE: ’Able to be modified’ in tween the carrier and the sea bed exceeding 6A001.a.2.b means having provisions to allow 500 m; or a change of the wiring or interconnections to b.1.b. Having speed accuracy better than alter hydrophone group spacing or operating 1% of speed; depth limits. These provisions are: spare wir- b.2. Doppler-velocity sonar log equipment ing exceeding 10% of the number of wires, having speed accuracy better than 1% of hydrophone group spacing adjustment blocks speed;

809 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

NOTE: 6A001.b does not apply to depth NOTE: 6A001.a.2 also applies to receiving sounders limited to any of the following: equipment, whether or not related in normal a. Measuring the depth of water; application to separate active equipment, b. Measuring the distance of submerged or and specially designed components therefor. buried objects; or c. Fish finding. 6A002 Optical sensors or equipment and NOTE: 6A001.b. does not apply to equipment components therefore, as follows (see List specially designed for installation on surface of Items Controlled). vessels. LICENSE REQUIREMENTS c. [Reserved] Reason for Control: NS, MT, CC, RS, AT, UN. N.B.: For diver deterrent acoustic systems, see 8A002.r.

Control(s) Country chart

NS applies to entire entry ...... NS Column 2. MT applies to optical detectors in 6A002.a.1, a.3, or .e that are specially designed or modified to protect MT Column 1. ‘‘missiles’’ against nuclear effects (e.g., Electromagnetic Pulse (EMP), X-rays, combined blast and thermal effects), and usable for ‘‘missiles’’. RS applies to 6A002.a.1, a.2, a.3 (except a.3.d.2.a and a.3.e for lead selenide based focal plane arrays RS Column 1. (FPAs)), .c, and .e. CC applies to police-model infrared viewers in 6A002.c ...... CC Column 1. AT applies to entire entry ...... AT Column 1. UN applies to 6A002.a.1, a.2, a.3 and c ...... Iraq, North Korea, and Rwanda.

LICENSE REQUIREMENT NOTES: See § 743.1 of and ‘‘multispectral imaging sensors’’) de- the EAR for reporting requirements for ex- fined in 6A002.b.2.b.1, and ‘‘space qualified’’ ports under License Exceptions. cryocoolers defined in 6A002.d.1, unless, on LICENSE EXCEPTIONS or after September 23, 2002, the Depart- LVS: $3000, except N/A for MT and for ment of State issues a commodity jurisdic- 6A002.a.1, a.2, a.3, .c, and .e tion determination assigning the export li- GBS: N/A censing authority to the Department of CIV: N/A Commerce, Bureau of Industry and Secu- STA: License Exception STA may not be rity. See also 6A102, 6A202, and 6A992 used to ship any commodity in: 6A002.a.1.a, b. or c; or 6A002.a.2.a in which the NOTE: Exporters may apply for a com- photocathode in described in 6A002.a.2.a 3.a modity jurisdiction request with the Depart- is a Multialkali photocathode (e.g., S–20 and ment of State, Directorate of Defense Trade S–25) having a luminous sensitivity exceed- Controls for ‘‘space qualified’’ solid-state de- ing 700 μA/lm; or tectors defined in 6A002.a.1 and imaging sen- 6A002.a.3; or sors (e.g., ‘‘monospectral imaging sensors’’ 6A002.b; or and ‘‘multispectral imaging sensors’’) de- 6A002.c ‘‘Direct view’’ imaging equipment fined in 6A002.b.2.b.1 that may have predomi- incorporating any of the following: nant civil application(s). 1. Image intensifier tubes having the char- Related Definitions: N/A acteristics listed in the description of Items: a. Optical detectors, as follows: 6A002.a.2.a earlier in this STA paragraph of License Exception section to this ECCN; or NOTE: 6A002.a does not control germanium 2. ‘‘Focal plane arrays’’ having the charac- or silicon photodevices. teristics listed in the description of N.B. Silicon and other material based 6A002.a.3; or 6A002.e to any of the eight des- ‘‘microbolometer’’ non ‘‘space-qualified’’ tinations listed in § 740.20(c)(2) of the EAR ‘‘focal plane arrays’’ are only specified under LIST OF ITEMS CONTROLLED 6A002.a.3.f. Unit: Number a.1. ‘‘Space-qualified’’ solid-state detec- Related Controls: The following commodities tors, as follows: are subject to the export licensing authority of U.S. Department of State, Direc- a.1.a. ‘‘Space-qualified’’ solid-state detec- torate of Defense Trade Controls (22 CFR tors, having all of the following: part 121): 1.) ‘‘Image intensifiers’’ defined a.1.a.1. A peak response in the wavelength in 6A002.a.2 and ‘‘focal plane arrays’’ de- range exceeding 10 nm but not exceeding 300 fined in 6A002.a.3 specially designed, modi- nm; and fied, or configured for military use and not a.1.a.2. A response of less than 0.1% rel- part of civil equipment; 2.) ‘‘Space quali- ative to the peak response at a wavelength fied’’ solid-state detectors defined in exceeding 400 nm; 6A002.a.1, ‘‘space qualified’’ imaging sen- a.1.b. ‘‘Space-qualified’’ solid-state detec- sors (e.g., ‘‘monospectral imaging sensors’’ tors, having all of the following:

810 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

a.1.b.1. A peak response in the wavelength b.1. Triglycine sulphate and variants; range exceeding 900 nm but not exceeding b.2. Lead-lanthanum-zirconium titanate 1,200 nm; and and variants; a.1.b.2. A response ‘‘time constant’’ of 95 ns b.3. Lithium tantalate; or less; b.4. Polyvinylidene fluoride and variants; a.1.c. ‘‘Space-qualified’’ solid-state detec- or tors having a peak response in the wave- b.5. Strontium barium niobate and length range exceeding 1,200 nm but not ex- variants. ceeding 30,000 nm; a.3.a. Non-‘‘space-qualified’’ ‘‘focal plane a.2. Image intensifier tubes and specially arrays’’, having all of the following: designed components therefor, as follows: a.3.a.1. Individual elements with a peak re- a.2.a. Image intensifier tubes having all of sponse within the wavelength range exceed- the following: ing 900 nm but not exceeding 1,050 nm; and a.2.a.1. A peak response in the wavelength a.3.a.2. A response ‘‘time constant’’ of less range exceeding 400 nm but not exceeding than 0.5 ns; 1,050 nm; a.3.b. Non-‘‘space-qualified’’ ‘‘focal plane a.2.a.2. A microchannel plate for electron arrays’’, having all of the following: image amplification with a hole pitch (cen- a.3.b.1. Individual elements with a peak re- ter-to-center spacing) of 12 μm or less; and sponse in the wavelength range exceeding a.2.a.3. Any of the following 1,050 nm but not exceeding 1,200 nm; and photocathodes: a.3.b.2. A response ‘‘time constant’’ of 95 ns a.2.a.3.a. S-20, S-25 or multialkali or less; photocathodes with a luminous sensitivity a.3.c. Non-‘‘space-qualified’’ non-linear (2- exceeding 350 μA/lm; dimensional) ‘‘focal plane arrays’’, having a.2.a.3.b. GaAs or GaInAs photocathodes; or individual elements with a peak response in a.2.a.3.c. Other III–V compound semicon- the wavelength range exceeding 1,200 nm but ductor photocathodes; not exceeding 30,000 nm; NOTE: 6A002.a.2.a.3.c does not apply to com- N.B. Silicon and other material based pound semiconductor photocathodes with a ‘microbolometer’ non-‘‘space-qualified’’ maximum radiant sensitivity of 10 mA/W or ‘‘focal plane arrays’’ are only specified in less. 6A002.a.3.f. a.2.b. Specially designed components, as a.3.d. Non-‘‘space-qualified’’ linear (1-di- follows: mensional) ‘‘focal plane arrays’’, having all a.2.b.1. Microchannel plates having a hole of the following : μ pitch (center-to-center spacing) of 12 m or a.3.d.1. Individual elements with a peak re- less; sponse in the wavelength range exceeding a.2.b.2. GaAs or GaInAs photocathodes; 1,200 nm but not exceeding 3,000 nm; and a.2.b.3. Other III–V compound semicon- a.3.d.2. Any of the following: ductor photocathodes; a.3.d.2.a. A ratio of scan direction dimen- NOTE: 6A002.a.2.b.3 does not control com- sion of the detector element to the cross- pound semiconductor photocathodes with a scan direction dimension of the detector ele- maximum radiant sensitivity of 10 mA/W or ment of less than 3.8; or less. a.3.d.2.b. Signal processing in the element a.3. Non-‘‘space-qualified’’ ‘‘focal plane ar- (SPRITE); rays’’, as follows: a.3.e. Non-‘‘space-qualified’’ linear (1-di- N.B. Silicon and other material based mensional) ‘‘focal plane arrays’’, having in- ‘microbolometer’ non ‘‘space-qualified’’ dividual elements with a peak response in ‘‘focal plane arrays’’ are only specified in the wavelength range exceeding 3,000 nm but 6A002.a.3.f. not exceeding 30,000 nm. TECHNICAL NOTES: 1. Linear or two-dimen- a.3.f. Non-‘‘space-qualified’’ non-linear (2- sional multi-element detector arrays are re- dimensional) infrared ‘‘focal plane arrays’’ ferred to as ‘‘focal plane arrays’’. based on ‘microbolometer’ material having 2. For the purposes of 6A002.a.3. ‘cross scan individual elements with an unfiltered re- direction’ is defined as the axis parallel to sponse in the wavelength range equal to or the linear array of detector elements and the exceeding 8,000 nm but not exceeding 14,000 ‘scan direction’ is defined as the axis perpen- nm. dicular to the linear array of detector ele- TECHNICAL NOTES: 1. For the purposes of ments. 6A002.a.3.f. ‘microbolometer’ is defined as a NOTE 1: 6A002.a.3 includes photoconductive thermal imaging detector that, as a result of arrays and photovoltaic arrays. a temperature change in the detector caused NOTE 2: 6A002.a.3 does not control: by the absorption of infrared radiation, is a. Multi-element (not to exceed 16 ele- used to generate any usable signal. ments) encapsulated photoconductive cells 2. Non-imaging thermal detectors are not using either lead sulphide or lead selenide; controlled by 6A002.a.3. Imaging thermal de- b. Pyroelectric detectors using any of the tectors are a multi-element array of thermal following: detectors with the capacity to form a visual,

811 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

electronic or other representation of an ob- d.2.a. Closed cycle type with a specified ject with sufficient fidelity to enable under- Mean-Time-To-Failure (MTTF), or Mean- standing of its shape or other spatial charac- Time-Between-Failures (MTBF), exceeding teristics, such as height, width, or area. A 2,500 hours; multi-element array of thermal detectors d.2.b. Joule-Thomson (JT) self-regulating without the capacity to form spatial rep- minicoolers having bore (outside) diameters resentation of an object is non-imaging. of less than 8 mm; 3. 6A002.a.3.f captures all non-‘‘space-quali- d.3. Optical sensing fibers specially fab- fied’’ non-linear (2-dimensional) infrared ricated either compositionally or struc- ‘‘focal plane arrays’’ based on microbolom- turally, or modified by coating, to be acous- eter material having individual elements tically, thermally, inertially, electro- with any unfiltered response between 8,000 magnetically or nuclear radiation sensitive. nm and 14,000 nm. NOTE: 6A002.d.3 does not apply to encap- b. ‘‘Monospectral imaging sensors’’ and sulated optical sensing fibers specially de- ‘‘multispectral imaging sensors’’ designed signed for bore hole sensing applications. for remote sensing applications, having any e. ‘‘Space qualified’’ ‘‘focal plane arrays’’ of the following: having more than 2,048 elements per array b.1. An Instantaneous-Field-Of-View and having a peak response in the wave- (IFOV) of less than 200 μrad (microradians); length range exceeding 300 nm but not ex- or ceeding 900 nm. b.2. Being specified for operation in the wavelength range exceeding 400 nm but not 6A003 Cameras. exceeding 30,000 nm and having all the fol- LICENSE REQUIREMENTS lowing; Reason for Control: NS, NP, RS, AT, UN. b.2.a. Providing output imaging data in digital format; and Control(s) Country chart b.2.b. Being any of the following: NS applies to entire entry ...... NS Column 2. b.2.b.1. ‘‘Space-qualified’; or NP applies to items controlled in NP Column 1. b.2.b.2. Designed for airborne operation, paragraphs 6A003.a.2, a.3 and a.4. using other than silicon detectors, and hav- RS applies to items controlled in RS Column 1. ing an IFOV of less than 2.5 mrad 6A003.b.3, to items controlled in (milliradians). 6A003.b.4.a, and to items con- c. Direct view imaging equipment oper- trolled in 6A003.b.4.b that have a frame rate greater than 60 Hz or ating in the visible or infrared spectrum, in- that incorporate a focal plane array corporating any of the following: with more than 111,000 elements, c.1. Image intensifier tubes having the or to items in 6A003.b.4.b when characteristics listed in 6A002.a.2.a; or being exported or reexported to be c.2. ‘‘Focal plane arrays’’ having the char- embedded in a civil product. (But acteristics listed in 6A002.a.3. see § 742.6(a)(2)(iii) and (v) for certain exemptions). TECHNICAL NOTE: ‘‘Direct view’’ refers to RS applies to items controlled in RS Column 2. imaging equipment, operating in the visible 6A003.b.4.b that have a frame rate or infrared spectrum, that presents a visual of 60 Hz or less and that incor- image to a human observer without con- porate a focal plane array with not verting the image into an electronic signal more than 111,000 elements if not for television display, and that cannot record being exported or reexported to be embedded in a civil product. or store the image photographically, elec- RS applies to items controlled in A license is required tronically or by any other means. 6A003.b.4.b. to export or reex- NOTE: 6A002.c does not control the fol- port these items to lowing equipment incorporating other than Hong Kong. This li- GaAs or GaInAs photocathodes: cense requirement a. Industrial or civilian intrusion alarm, does not appear in traffic or industrial movement control or the Commerce Country Chart. counting systems; AT applies to entire entry ...... AT Column 1. b. Medical equipment; UN applies to items controlled in Iraq and Rwanda. c. Industrial equipment used for inspec- 6A003.b.3 and b.4. tion, sorting or analysis of the properties of materials; LICENSE EXCEPTIONS d. Flame detectors for industrial furnaces; LVS: $1500, except N/A for 6A003.a.2 through e. Equipment specially designed for labora- a.6, b.1, b.3 and b.4. tory use. GBS: Yes for 6A003.a.1. d. Special support components for optical CIV: Yes for 6A003.a.1. sensors, as follows: STA: License Exception STA may not be d.1. ‘‘Space-qualified’’ cryocoolers; used to ship any commodity in 6A003.b.3 or d.2. Non-‘‘space-qualified’’ cryocoolers, b.4 to any of the eight destinations listed having a cooling source temperature below in § 740.20(c)(2) of the EAR. 218 K (¥55 °C), as follows: LIST OF ITEMS CONTROLLED

812 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Unit: Number. b.1. Video cameras incorporating solid Related Controls: (1) See ECCNs 6E001 (‘‘de- state sensors, having a peak response in the velopment’’), 6E002 (‘‘production’’), and wavelength range exceeding 10nm, but not 6E201 (‘‘use’’) for technology for items con- exceeding 30,000 nm and having all of the fol- trolled under this entry. (2) Also see ECCN lowing: 6A203. (3) See ECCN 8A002.d and .e for cam- b.1.a. Having any of the following: eras specially designed or modified for un- b.1.a.1. More than 4 × 106 ‘‘active pixels’’ derwater use. (4) See ECCN 0A919 for for- per solid state array for monochrome (black eign made military commodities that in- and white) cameras; corporate cameras described in 6A003.b.4.b. b.1.a.2. More than 4 × 106 ‘‘active pixels’’ (5) Section 744.9 imposes license require- per solid state array for color cameras incor- ments on cameras described in 6A003.b.4.b porating three solid state arrays; or if being exported for incorporation into an b.1.a.3. More than 12 × 106 ‘‘active pixels’’ item controlled by ECCN 0A919 or for a for solid state array color cameras incor- military end-user. porating one solid state array; and Related Definitions: N/A b.1.b. Having any of the following: Items: a. Instrumentation cameras and spe- b.1.b.1. Optical mirrors controlled by cially designed components therefor, as fol- 6A004.a.; lows: b.1.b.2. Optical control equipment con- NOTE: Instrumentation cameras, controlled trolled by 6A004.d.; or by 6A003.a.3 to 6A003.a.5, with modular struc- b.1.b.3. The capability for annotating inter- tures should be evaluated by their maximum nally generated camera tracking data. capability, using plug-ins available accord- TECHNICAL NOTES: 1. For the purposes of ing to the camera manufacturer’s specifica- this entry, digital video cameras should be tions. evaluated by the maximum number of ‘‘ac- a.1. High-speed cinema recording cameras tive pixels’’ used for capturing moving im- using any film format from 8 mm to 16 mm ages. inclusive, in which the film is continuously 2. For the purpose of this entry, camera advanced throughout the recording period, tracking data is the information necessary and that are capable of recording at framing to define camera line of sight orientation rates exceeding 13,150 frames/s; with respect to the earth. This includes: (1) NOTE: 6A003.a.1 does not control cinema re- the horizontal angle the camera line of sight cording cameras designed for civil purposes. makes with respect to the earth’s magnetic field direction and; (2) the vertical angle be- a.2. Mechanical high speed cameras, in tween the camera line of sight and the which the film does not move, capable of re- earth’s horizon. cording at rates exceeding 1,000,000 frames/s for the full framing height of 35 mm film, or b.2. Scanning cameras and scanning cam- at proportionately higher rates for lesser era systems, having all of the following: frame heights, or at proportionately lower b.2.a. A peak response in the wavelength rates for greater frame heights; range exceeding 10 nm, but not exceeding a.3. Mechanical or electronic streak cam- 30,000 nm; eras having writing speeds exceeding 10 mm/ b.2.b. Linear detector arrays with more μs; than 8,192 elements per array; and a.4. Electronic framing cameras having a b.2.c. Mechanical scanning in one direc- speed exceeding 1,000,000 frames/s; tion; a.5. Electronic cameras, having all of the b.3. Imaging cameras incorporating image following: intensifier tubes having the characteristics a.5.a. An electronic shutter speed (gating listed in 6A002.a.2.a; capability) of less than 1 μs per full frame; b.4. Imaging cameras incorporating ‘‘focal and plane arrays’’ having any of the following: a.5.b. A read out time allowing a framing b.4.a. Incorporating ‘‘focal plane arrays’’ rate of more than 125 full frames per second. controlled by 6A002.a.3.a. to 6A002.a.3.e.; or a.6. Plug-ins, having all of the following b.4.b. Incorporating ‘‘focal plane arrays’’ characteristics: controlled by 6A002.a.3.f. a.6.a. Specially designed for instrumenta- NOTE 1: ‘‘Imaging cameras’’ described in tion cameras which have modular structures 6A003.b.4 include ‘‘focal plane arrays’’ com- and that are controlled by 6A003.a; and bined with sufficient signal processing elec- a.6.b. Enabling these cameras to meet the tronics, beyond the read out integrated cir- characteristics specified in 6A003.a.3, cuit, to enable as a minimum the output of 6A003.a.4 or 6A003.a.5, according to the manu- an analog or digital signal once power is sup- facturer’s specifications. plied. b. Imaging cameras, as follows: NOTE 2: 6A003.b.4.a does not control imag- NOTE: 6A003.b does not control television ing cameras incorporating linear ‘‘focal or video cameras specially designed for tele- plane arrays’’ with twelve elements or fewer, vision broadcasting. not employing time-delay-and-integration

813 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

within the element, designed for any of the scribed in Note 3.b.4. and Note 3.c. in this following: Note to 6A003.b.4.b. a. Industrial or civilian intrusion alarm, traffic or industrial movement control or 6A004 Optical equipment and components, counting systems; as follows (see List of Items Controlled). b. Industrial equipment used for inspection LICENSE REQUIREMENTS or monitoring of heat flows in buildings, Reason for Control: NS, AT equipment or industrial processes; Control(s) Country chart c. Industrial equipment used for inspection, sorting or analysis of the properties of NS applies to entire entry ...... NS Column 2. materials; AT applies to entire entry ...... AT Column 1. d. Equipment specially designed for laboratory use; or LICENSE REQUIREMENT NOTES: See § 743.1 of e. Medical equipment. the EAR for reporting requirements for ex- NOTE 3: 6A003.b.4.b. does not control imag- ports under License Exceptions. ing cameras having any of the following LICENSE EXCEPTIONS characteristics: LVS: $3000 a. A maximum frame rate equal to or less GBS: Yes for 6A004.a.1, a.2, a.4, b, d.2, and d.4 than 9 Hz; CIV: Yes for 6A004.a.1, a.2, a.4, b, d.2, and d.4 b. Having all of the following: STA: Paragraph (c)(2) of License Exception 1. Having a minimum horizontal or STA may not be used to ship any com- vertical Instantaneous-Field-of-View (IFOV) modity in 6A004.c or .d to any of the eight of at least 10 mrad/pixel (milliradians/pixel); destinations in § 740.20(c)(2) of the EAR. 2. Incorporating a fixed focal-length lens LIST OF ITEMS CONTROLLED that is not designed to be removed; Unit: Number 3. Not incorporating a direct view display, Related Controls: (1) For optical mirrors or and ‘aspheric optical elements’ specially de- TECHNICAL NOTE: ‘‘Direct view’’ refers to signed for lithography equipment, see an imaging camera operating in the infrared ECCN 3B001. (2) ‘‘Space qualified’’ compo- spectrum that presents a visual image to a nents for optical systems defined in 6A004.c human observer using a near-to-eye micro and optical control equipment defined in display incorporating any light-security 6A004.d.1 are subject to the export licens- mechanism. ing authority of the Department of State, 4. Having any of the following: Directorate of Defense Trade Controls (22 a. No facility to obtain a viewable image of CFR part 121). (3) See also 6A994. the detected field-of-view, or Related Definitions: An ‘aspheric optical ele- b. The camera is designed for a single kind ment’ is any element used in an optical of application and designed not to be user system whose imaging surface or surfaces modified, or are designed to depart from the shape of an TECHNICAL NOTE: ideal sphere. Instantaneous Field of View (IFOV) speci- Items: a. Optical mirrors (reflectors) as fol- fied in Note 3.b is the lesser figure of the lows: Horizontal IFOV or the Vertical IFOV. a.1. ‘‘Deformable mirrors’’ having either Horizontal IFOV = horizontal Field of View continuous or multi-element surfaces, and (FOV)/number of horizontal detector ele- specially designed components therefor, ca- ments pable of dynamically repositioning portions Vertical IFOV = vertical Field of View of the surface of the mirror at rates exceed- (FOV)/number of vertical detector elements. ing 100 Hz; a.2. Lightweight monolithic mirrors hav- c. Where the camera is specially designed ing an average ‘‘equivalent density’’ of less for installation into a civilian passenger than 30 kg/m2 and a total mass exceeding 10 land vehicle of less than three tons (gross ve- kg; hicle weight) and having all of the following: a.3. Lightweight ‘‘composite’’ or foam mir- 1. Is operable only when installed in any of ror structures having an average ‘‘equivalent the following: density’’ of less than 30 kg/m2 and a total a. The civilian passenger land vehicle for mass exceeding 2 kg; which it was intended; or a.4. Beam steering mirrors more than 100 b. A specially designed, authorized mainte- mm in diameter or length of major axis, that nance test facility; and maintain a flatness of λ/2 or better (λ is equal 2. Incorporates an active mechanism that to 633 nm) having a control bandwidth ex- forces the camera not to function when it is ceeding 100 Hz; removed from the vehicle for which it was b. Optical components made from zinc sele- intended. nide (ZnSe) or zinc sulphide (ZnS) with NOTE: When necessary, details of the items transmission in the wavelength range ex- will be provided, upon request, to the Bureau ceeding 3,000 nm but not exceeding 25,000 nm of Industry and Security in order to ascer- and having any of the following: tain compliance with the conditions de- b.1. Exceeding 100 cm3 in volume; or

814 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

b.2. Exceeding 80 mm in diameter or length d.4. Specially designed to maintain the of major axis and 20 mm in thickness alignment of phased array or phased segment (depth); mirror systems consisting of mirrors with a c. ‘‘Space-qualified’’ components for opti- segment diameter or major axis length of 1 cal systems, as follows: m or more; c.1. Components lightweighted to less than e. ‘Aspheric optical elements’ having all of 20% ‘‘equivalent density’’ compared with a the following: solid blank of the same aperture and thick- e.1. Largest dimension of the optical-aper- ness; ture greater than 400 mm; c.2. Raw substrates, processed substrates e.2. Surface roughness less than 1 nm (rms) having surface coatings (single-layer or for sampling lengths equal to or greater than multi-layer, metallic or dielectric, con- 1 mm; and ducting, semiconducting or insulating) or e.3. Coefficient of linear thermal expan- having protective films; sion’s absolute magnitude less than 3 × 10¥6/ c.3. Segments or assemblies of mirrors de- K at 25 °C. signed to be assembled in space into an opti- TECHNICAL NOTE: cal system with a collecting aperture equiva- 1. [See Related Definitions section of this lent to or larger than a single optic 1 m in ECCN] diameter; 2. Manufacturers are not required to meas- c.4. Components manufactured from ure the surface roughness listed in 6A004.e.2 ‘‘composite’’ materials having a coefficient unless the optical element was designed or of linear thermal expansion equal to or less manufactured with the intent to meet, or ex- than 5 × 10¥6 in any coordinate direction; ceed, the control parameter. d. Optical control equipment as follows: NOTE: 6A004.e does not control ‘aspheric d.1. Equipment specially designed to main- optical elements’ having any of the fol- tain the surface figure or orientation of the lowing: ‘‘space-qualified’’ components controlled by a. Largest optical-aperture dimension less 6A004.c.1 or 6A004.c.3; than 1 m and focal length to aperture ratio d.2. Equipment having steering, tracking, equal to or greater than 4.5:1; stabilization or resonator alignment b. Largest optical-aperture dimension bandwidths equal to or more than 100 Hz and equal to or greater than 1 m and focal length an accuracy of 10 μrad (microradians) or less; to aperture ratio equal to or greater than 7:1; c. Designed as Fresnel, flyeye, stripe, d.3. Gimbals having all of the following: prism or diffractive optical elements; d.3.a. A maximum slew exceeding 5°; d. Fabricated from borosilicate glass hav- d.3.b. A bandwidth of 100 Hz or more; ing a coefficient of linear thermal expansion d.3.c. Angular pointing errors of 200 μrad greater than 2.5 × 10¥6/K at 25 °C; or (microradians) or less; and e. An x-ray optical element having inner d.3.d. Having any of the following: mirror capabilities (e.g., tube-type mirrors). d.3.d.1. Exceeding 0.15 m but not exceeding 1 m in diameter or major axis length and ca- 6A005 ‘‘Lasers’’ (other than those described pable of angular accelerations exceeding 2 in 0B001.g.5 or .h.6), components and op- rad (radians)/s2; or tical equipment, as follows (see List of d.3.d.2. Exceeding 1 m in diameter or major Items Controlled). axis length and capable of angular accelera- License Requirements tions exceeding 0.5 rad (radians)/s2; Reason for Control: NS, NP, AT

Control(s) Country chart

NS applies to entire entry ...... NS Column 2. NP applies to ‘‘lasers’’ controlled by 6A005.a.2, b.2.b, b.3.a, b.4.b, b.6.b., c.1.b, c.2.b, d.3.c, and d.4.c, NP Column 1. as described in the following License Requirements Note. AT applies to entire entry ...... AT Column 1.

LICENSE REQUIREMENTS NOTE: NP controls (b) Copper vapor ‘‘lasers’’ controlled by apply to the following ‘‘lasers’’ controlled by 6A005.b.4.b having all of the following char- 6A005: acteristics: (a) Pulsed excimer ‘‘lasers’’ controlled by (1) Operating at wavelengths between 500 6A005.d.4.c having all of the following char- and 600 nm; and acteristics: (2) An average output power ≥ 40 W; (1) Operating at wavelengths between 240 (c) Pulsed carbon dioxide ‘‘lasers’’ con-

and 360 nm; trolled by 6A005.d.3.c (except industrial CO2 (2) A repetition rate > 250 Hz; and lasers used in applications such as cutting (3) An average output power > 500 W; and welding), having all of the following characteristics:

815 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

(1) Operating at wavelengths between 9,000 6A005.b.6.c.2.b) that have an output wave- and 11,000 nm; length exceeding 1,000 nm, but not exceed- (2)A repetition rate > 250 Hz; ing 1,100 nm, and an average or CW output (3) An average output power > 2.5kW; and power not exceeding 2kW, and operate in a (4) A pulse width < 200ns; pulse-excited, non-‘‘Q-switched’’ multiple- (d) Argon ion ‘‘lasers’’ controlled by transverse mode, or in a continuously ex- 6A005.a.2 having all of the following charac- cited, multiple-transverse mode; Dye and teristics: Liquid Lasers controlled by 6A005.c.1, c.2 (1) Operating at wavelengths between 400 and c.3, except for a pulsed single longitu- and 515 nm; and dinal mode oscillator having an average (2) An average output power ≥ 50 W; output power exceeding 1 W and a repeti- (e) Alexandrite ‘‘lasers’’ controlled by tion rate exceeding 1 kHz if the ‘‘pulse du- 6A005.c.2.b having all of the following char- ration’’ is less than 100 ns; CO ‘‘lasers’’ acteristics: controlled by 6A005.d.2 having a CW max- (1) Operating at wavelengths between 720 imum rated single or multimode output and 800 nm; power not exceeding 10 kW; CO or CO/CO ≤ 2 2 (2) A bandwidth 0.005 nm; ‘‘lasers’’ controlled by 6A005.d.3 having an (3) A repetition rate > 125 Hz; and output wavelength in the range from 9,000 (4) Average output power > 30 W; to 11,000 nm and having a pulsed output (f) Pulse-excited, Q-switched neodymium- not exceeding 2 J per pulse and a maximum doped (other than glass) ‘‘lasers’’ controlled rated average single or multimode output by 6A005.b.6.b having all of the following power not exceeding 5 kW; CO2 ‘‘lasers’’ characteristics: controlled by 6A005.d.3 that operate in CW (1) An output wavelength exceeding 1,000 multiple-transverse mode, and having a nm, but not exceeding 1,100 nm; CW output power not exceeding 15kW; and (2) A pulse duration equal to or more than 6A005.f.1. 1 ns; and (3) A single-transverse mode output having CIV: Neodymium-doped (other than glass) an average power exceeding 40 W or a mul- ‘‘lasers’’ controlled by 6A005.b.6.c.2 (except tiple-transverse mode output having an aver- 6A005.b.6.c.2.b) that have an output wave- age power exceeding 50 W; length exceeding 1,000 nm, but not exceed- (g) Neodymium-doped (other than glass) ing 1,100 nm, and an average or CW output ‘‘lasers’’ controlled by 6A005.a.4, b.2, b.3, b.4, power not exceeding 2kW, and operate in a having all of the following characteristics: pulse-excited, non-‘‘Q-switched’’ multiple- (1) Incorporating frequency doubling for transverse mode, or in a continuously ex- output wavelength between 500 and 550 nm; cited, multiple-transverse mode; Dye and and Liquid Lasers controlled by 6A005.c.1, c.2 (2) Average output power > 40 W; and c.3, except for a pulsed single longitu- (h) Tunable pulsed single-mode dye laser dinal mode oscillator having an average oscillators controlled by 6A005.c.1.b or output power exceeding 1 W and a repeti- 6A005.c.2.b having all of the following char- tion rate exceeding 1 kHz if the ‘‘pulse du- acteristics: ration’’ is less than 100 ns; CO ‘‘lasers’’ (1) Operating at wavelengths between 300 controlled by 6A005.d.2 having a CW max- nm and 800 nm; imum rated single or multimode output (2) An average output power greater than 1 power not exceeding 10 kW; CO2 or CO/CO2 W; ‘‘lasers’’ controlled by 6A005.d.3 having an (3) A repetition rate greater than 1 kHz; output wavelength in the range from 9,000 and to 11,000 nm and having a pulsed output (4) Pulse width less than 100 ns; not exceeding 2 J per pulse and a maximum (i) Tunable pulsed dye laser amplifiers and rated average single or multimode output oscillators controlled by 6A005.c.1.b or power not exceeding 5 kW; CO2 ‘‘lasers’’ 6A005.c.2.b having all of the following char- controlled by 6A005.d.3 that operate in CW acteristics: multiple-transverse mode, and having a (1) Operating at wavelengths between 300 CW output power not exceeding 15kW; and nm and 800 nm; 6A005.f.1. (2) An average output power greater than LIST OF ITEMS CONTROLLED 30 W; Unit: Number (3) A repetition rate greater than 1 kHz; Related Controls: (1) See ECCN 6D001 for and ‘‘software’’ for items controlled under this (4) Pulse width less than 100 ns; entry. (2) See ECCNs 6E001 (‘‘develop- NOTE: NP controls do not apply to single ment’’), 6E002 (‘‘production’’), and 6E201 mode oscillators. (‘‘use’’) for technology for items controlled LICENSE EXCEPTIONS under this entry. (3) Also see ECCNs 6A205 LVS: N/A for NP items $3000 for all other and 6A995. (4) See ECCN 3B001 for excimer items ‘‘lasers’’ specially designed for lithography GBS: Neodymium-doped (other than glass) equipment. (5) ‘‘Lasers’’ specially designed ‘‘lasers’’ controlled by 6A005.b.6.c.2 (except or prepared for use in isotope separation

816 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

are subject to the export licensing author- a.6. Output wavelength exceeding 975 nm ity of the Nuclear Regulatory Commission but not exceeding 1,150 nm and any of the (see 10 CFR part 110). (6) Shared aperture following; optical elements, capable of operating in a.6.a. Single transverse mode output and ‘‘super-high power laser’’ applications, and any of the following: ‘‘lasers’’ specifically designed, modified, or a.6.a.1. ‘Wall-plug efficiency’ exceeding 12% configured for military application are and output power exceeding 100 W; or subject to the export licensing authority of a.6.a.2. Output power exceeding 150 W; or the U.S. Department of State, Directorate a.6.b. Multiple transverse mode output and of Defense Trade Controls (see 22 CFR part any of the following: 121). a.6.b.1. ‘Wall-plug efficiency’ exceeding 18% Related Definitions: ’Wall-plug efficiency’ is and output power exceeding 500 W; defined as the ratio of laser output power or (or ‘‘average output power’’) to total elec- a.6.b.2. Output power exceeding 2 kW; trical input power required to operate the NOTE: 6A005.a.6.b does not control multiple ‘‘laser’’, including the power supply/condi- transverse mode, industrial ‘‘lasers’’ with tioning and thermal conditioning/heat ex- output power exceeding 2kW and not exceed- changer. ing 6 kW with a total mass greater than 1,200 Items: kg. For the purpose of this note, total mass NOTE: includes all components required to operate 1. Pulsed ‘‘lasers’’ include those that run in the ‘‘laser’’, e.g., ‘‘laser’’, power supply, heat a continuous wave (CW) mode with pulses su- exchanger, but excludes external optics for perimposed. beam conditioning and/or delivery. 2. Eximer, semiconductor, chemical, CO, a.7. Output wavelength exceeding 1,150 nm CO 2, and non-repetitive pulsed Nd:glass ‘‘la- but not exceeding 1,555 nm and any of the sers’’ are only specified by 6A005.d. following: 3. 6A005 includes fiber ‘‘lasers’’. a.7.a. Single transverse mode and output 4. The control status of ‘‘lasers’’ incor- power exceeding 50 W; or porating frequency conversion (i.e., wave- a.7.b. Multiple transverse mode and output length change) by means other than one power exceeding 80 W; or ‘‘laser’’ pumping another ‘‘laser’’ is deter- a.8. Output wavelength exceeding 1,555 nm mined by applying the control parameters and output power exceeding 1 W; for both the output of the source ‘‘laser’’ and b. Non-‘‘tunable’’ ‘‘pulsed lasers’’ having the frequency-converted optical output. any of the following; 5. 6A005 does not control ‘‘lasers’’ as fol- b.1. Output wavelength less than 150 nm lows: and any of the following: a. Ruby with output energy below 20 J; b.1.a. Output energy exceeding 50 mJ per b. Nitrogen; pulse and ‘‘peak power’’ exceeding 1 W; or c. Krypton. b.1.b. ‘‘Average output power’’ exceeding 1 a. Non-‘‘tunable’’ continuous wave ‘‘(CW) W; lasers’’ having any of the following: b.2. Output wavelength of 150 nm or more a.1. Output wavelength less than 150 nm but not exceeding 520 nm and any of the fol- and output power exceeding 1W; lowing: a.2. Output wavelength of 150 nm or more b.2.a. Output energy exceeding 1.5 J per but not exceeding 520 nm and output power pulse and ‘‘peak power’’ exceeding 30 W; or exceeding 30 W; b.2.b. ‘‘Average output power’’ exceeding 30 NOTE: 6A005.a.2 does not control Argon W; ‘‘lasers’’ having an output power equal to or NOTE: 6A005.b.2.b does not control Argon less than 50 W. ‘‘lasers’’ having an ‘‘average output power’’ a.3. Output wavelength exceeding 520 nm equal to or less than 50 W. but not exceeding 540 nm and any of the fol- b.3. Output wavelength exceeding 520 nm, lowing: but not exceeding 540 nm and any of the fol- a.3.a. Single transverse mode output and lowing: output power exceeding 50 W; or b.3.a. Single transverse mode output and a.3.b. Multiple transverse mode output and any of the following: output power exceeding 150 W; b.3.a.1. Output energy exceeding 1.5 J per a.4. Output wavelength exceeding 540 nm pulse and ‘‘peak power’’ exceeding 50 W; or but not exceeding 800 nm and output power b.3.a.2. ‘‘Average output power’’ exceeding exceeding 30 W; 50 W; or a.5. Output wavelength exceeding 800 nm b.3.b. Multiple transverse mode output and but not exceeding 975 nm and any of the fol- any of the following: lowing: b.3.b.1. Output energy exceeding 1.5 J per a.5.a. Single transverse mode output and pulse and ‘‘peak power’’ exceeding 150 W; output power exceeding 50 W; or or a.5.b. Multiple transverse mode output and b.3.b.2. ‘‘Average output power’’ exceeding output power exceeding 80 W; 150 W;

817 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

b.4. Output wavelength exceeding 540 nm b.6.b.2.d. Output energy exceeding 4 J per but not exceeding 800 nm and any of the fol- pulse; or lowing: b.6.c. ‘‘Pulse duration’’ exceeding 1 μs and b.4.a. Output energy exceeding 1.5 J per any of the following: pulse and ‘‘peak power’’ exceeding 30 W; or b.6.c.1. Single transverse mode output and b.4.b. ‘‘Average output power’’ exceeding 30 any of the following: W; b.6.c.1.a. ‘‘Peak power’’ exceeding 500 kW; b.5. Output wavelength exceeding 800 nm b.6.c.1.b. ‘Wall-plug efficiency’ exceeding but not exceeding 975 nm and any of the fol- 12% and ‘‘average output power’’ exceeding lowing: 100 W; or b.5.a. ‘‘Pulse duration’’ not exceeding 1 μs b.6.c.1.c. ‘‘Average output power’’ exceed- and any of the following: ing 150 W; or b.5.a.1. Output energy exceeding 0.5 J per b.6.c.2. Multiple transverse mode output pulse and ‘‘peak power’’ exceeding 50 W; and any of the following: b.5.a.2. Single transverse mode output and b.6.c.2.a. ‘‘Peak power’’ exceeding 1 MW; ‘‘average output power’’ exceeding 20 W; b.6.c.2.b. ‘Wall-plug efficiency’ exceeding or 18% and ‘‘average output power’’ exceeding b.5.a.3. Multiple transverse mode output 500 W; or and ‘‘average output power’’ exceeding 50 W; b.6.c.2.c. ‘‘Average output power’’ exceed- or ing 2 kW; b.5.b. ‘‘Pulse duration’’ exceeding 1 μs and b.7. Output wavelength exceeding 1,150 nm any of the following: but not exceeding 1,555 nm and any of the b.5.b.1. Output energy exceeding 2 J per following: μ pulse and ‘‘peak power’’ exceeding 50 W; b.7.a. ‘‘Pulse duration’’ not exceeding 1 s b.5.b.2. Single transverse mode output and and any of the following: b.7.a.1. Output energy exceeding 0.5 J per ‘‘average output power’’ exceeding 50 W; or pulse and ‘‘peak power’’ exceeding 50 W; b.5.b.3. Multiple transverse mode output b.7.a.2. Single transverse mode output and and ‘‘average output power’’ exceeding 80 W. ‘‘average output power’’ exceeding 20 W; or b.6. Output wavelength exceeding 975 nm b.7.a.3. Multiple transverse mode output but not exceeding 1,150 nm and any of the and ‘‘average output power’’ exceeding 50 W; following: or b.6.a. ‘‘Pulse duration’’ of less than 1 ns b.7.b. ‘‘Pulse duration’’ exceeding 1 μs and and any of the following: any of the following: b.6.a.1. Output ‘‘peak power’’ exceeding 5 b.7.b.1. Output energy exceeding 2 J per GW per pulse; pulse and ‘‘peak power’’ exceeding 50 W; b.6.a.2. ‘‘Average output power’’ exceeding b.7.b.2. Single transverse mode output and 10 W; or ‘‘average output power’’ exceeding 50 W; or b.6.a.3. Output energy exceeding 0.1 J per b.7.b.3. Multiple transverse mode output pulse; and ‘‘average output power’’ exceeding 80 W; b.6.b. ‘‘Pulse duration’’ equal to or exceed- or ing 1 ns but not exceeding 1 μs and any of the b.8. Output wavelength exceeding 1,555 nm following: and any of the following: b.6.b.1. Single transverse mode output and b.8.a. Output energy exceeding 100 mJ per any of the following: pulse and ‘‘peak power’’ exceeding 1 W; or b.6.b.1.a. ‘‘Peak power’’ exceeding 100 MW; b.8.b. ‘‘Average output power’’ exceeding 1 b.6.b.1.b. ‘‘Average output power’’ exceed- W; ing 20 W limited by design to a maximum c. ‘‘Tunable’’ lasers having any of the fol- pulse repetition frequency less than or equal lowing: to 1 kHz; NOTE: 6A005.c includes titanium-sapphire b.6.b.1.c. ‘Wall-plug efficiency’ exceeding (Ti: Al203), thulium-YAG (Tm: YAG), thu- 12%, ‘‘average output power’’ exceeding 100 lium-YSGG (Tm:YSGG), alexandrite W and capable of operating at a pulse repeti- (Cr:BeAl204), color center ‘‘lasers’’, dye ‘‘lation frequency greater than 1 kHz; sers’’, and liquid ‘‘lasers’’. b.6.b.1.d. ‘‘Average output power’’ exceed- c.1. Output wavelength less than 600 nm ing 150 W and capable of operating at a pulse and any of the following: repetition frequency greater than 1 kHz; or NOTE: 6A005.c.1 does not apply to dye lasers b.6.b.1.e. Output energy exceeding 2 J per or other liquid lasers, having a multimode pulse; or output and a wavelength of 150 nm or more b.6.b.2. Multiple transverse mode output but not exceeding 600 nm and all of the fol- and any of the following: lowing: b.6.b.2.a. ‘‘Peak power’’ exceeding 400 MW; 1. Output energy less than 1.5 J per pulse b.6.b.2.b. ‘Wall-plug efficiency’ exceeding or a ‘‘peak power’’ less than 20 W; and 18% and ‘‘average output power’’ exceeding 2. Average or CW output power less than 20 500 W; W. b.6.b.2.c. ‘‘Average output power’’ exceed- c.1.a. Output energy exceeding 50 mJ per ing 2 kW; or pulse and ‘‘peak power’’ exceeding 1 W; or

818 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

c.1.b. Average or CW output power exceed- output ’power density’ greater than 500 W/ ing 1W; cm2; c.2. Output wavelength of 600 nm or more d.1.d.1.b. Average or CW total output power but not exceeding 1,400 nm, and any of the equal to or exceeding 3 kW but less than or following: equal to 5 kW, and having average or CW c.2.a. Output energy exceeding 1 J per output ‘power density’ greater than 350W/ pulse and ‘‘peak power’’ exceeding 20 W; or cm2; c.2.b. Average or CW output power exceed- d.1.d.1.c. Average or CW total output power ing 20 W; or exceeding 5 kW; c.3. Output wavelength exceeding 1,400 nm d.1.d.1.d. Peak pulsed ‘power density’ ex- and any of the following: ceeding 2,500 W/cm2; or c.3.a. Output energy exceeding 50 mJ per d.1.d.1.e. Spatially coherent average or CW pulse and ‘‘peak power’’ exceeding 1 W; or total output power, greater than 150 W; c.3.b. Average or CW output power exceed- d.1.d.2. Wavelength greater than or equal ing 1 W; to 1,400 nm but less than 1,900 nm, and hav- d. Other ‘‘lasers’’, not controlled by ing any of the following: 6A005.a, 6A005.b, or 6A005.c as follows: d.1.d.2.a. Average or CW total output power d.1. Semiconductor ‘‘lasers’’ as follows: less than 250 W and average or CW output ‘power density’ greater than 150 W/cm2; NOTE: 1. 6A005.d.1 includes semiconductor ‘‘lasers’’ having optical output connectors d.1.d.2.b. Average or CW total output power (e.g., fiber optic pigtails). equal to or exceeding 250 W but less than or 2. The control status of semiconductor equal to 500 W, and having average or CW 2 ‘‘lasers’’ specially designed for other equip- output ‘power density’ greater than 50W/cm ; d.1.d.2.c. Average or CW total output power ment is determined by the control status of exceeding 500 W; the other equipment. d.1.d.2.d. Peak pulsed ‘power density’ ex- d.1. Semiconductor ‘‘lasers’’ as follows: ceeding 500 W/cm2; or d.1.a. Individual single-transverse mode d.1.d.2.e. Spatially coherent average or CW semiconductor ‘‘lasers’’ having any of the total output power, exceeding 15 W; following: d.1.d.3. Wavelength greater than or equal d.1.a.1. Wavelength equal to or less than to 1,900 nm and having any of the following: 1,510 nm and average or CW output power, d.1.d.3.a. Average or CW output ‘power den- exceeding 1.5 W; or sity’ greater than 50 W/cm2; d.1.a.2. Wavelength greater than 1,510 nm d.1.d.3.b. Average or CW output power and average or CW output power, exceeding greater than 10 W; or 500 mW; d.1.d.3.c. Spatially coherent average or CW d.1.b. Individual, multiple-transverse mode total output power, exceeding 1.5 W; or semiconductor ‘‘lasers’’ having any of the d.1.d.4. At least one ‘‘laser’’ ‘bar’ specified following: by 6A005.d.1.c; d.1.b.1. Wavelength of less than 1,400 nm TECHNICAL NOTE: For the purposes of and average or CW output power, exceeding 6A005.d.1.d, ‘power density’ means the total 15 W; ‘‘laser’’ output power divided by the emitter d.1.b.2. Wavelength equal to or greater surface area of the ‘stacked array’. than 1,400 nm and less than 1,900 nm and av- d.1.e. Semiconductor ‘‘laser’’ ‘stacked ar- erage or CW output power, exceeding 2.5 W; rays’, other than those specified by or 6A005.d.1.d, having all of the following: d.1.b.3. Wavelength equal to or greater d.1.e.1. Specially designed or modified to be than 1,900 nm and average or CW output combined with other ‘stacked arrays’ to power, exceeding 1 W; form a larger ‘stacked array’; and d.1.c. Individual semiconductor ‘‘laser’’ d.1.e.2. Integrated connections, common ‘bars’ having any of the following: for both electronics and cooling; d.1.c.1. Wavelength of less than 1,400 nm NOTE 1: ‘Stacked arrays’, formed by com- and average or CW output power, exceeding bining semiconductor ‘‘laser’’ ‘stacked ar- 100 W; rays’ specified by 6A005.d.1.e, that are not de- d.1.c.2. Wavelength equal to or greater signed to be further combined or modified than 1,400 nm and less than 1,900 nm and av- are specified by 6A005.d.1.d. erage or CW output power, exceeding 25 W; or NOTE 2: ‘Stacked arrays’, formed by com- d.1.c.3. Wavelength equal to or greater bining semiconductor ‘‘laser’’ ‘stacked ar- than 1,900 nm and average or CW output rays’ specified by 6A005.d.1.e, that are de- power, exceeding 10 W; signed to be further combined or modified d.1.d. Semiconductor ‘‘laser’’ ‘stacked ar- are specified by 6A005.d.1.e. rays’ (two-dimensional arrays) having any of NOTE 3: 6A005.d.1.e does not apply to mod- the following: ular assemblies of single ‘bars’ designed to be d.1.d.1. Wavelength less than 1,400 nm and fabricated into end-to-end stacked linear ar- having any of the following: rays. d.1.d.1.a. Average or CW total output power TECHNICAL NOTES: 1. Semiconductor ‘‘la- less than 3 kW and having average or CW sers’’ are commonly called ‘‘laser’’ diodes.

819 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

2. A ‘bar’ (also called a semiconductor ing 1 μs and an output energy exceeding 50 J ‘‘laser’’ ‘bar’, a ‘‘laser’’ diode ‘bar’ or diode per pulse; ord.6.b. A ‘‘pulse duration’’ exceed- ‘bar’) consists of multiple semiconductor ing 1 μs and an output energy exceeding 100 ‘‘lasers’’ in a one-dimensional array. J per pulse; 3. A ‘stacked array’ consists of multiple NOTE: Note: ‘bars’ forming a two-dimensional array of ‘‘Non-repetitive pulsed’’ refers to ‘‘lasers’’ semiconductor ‘‘lasers’’. that produce either a single output pulse or d.2. Carbon monoxide (CO) ‘‘lasers’’ having that have a time interval between pulses ex- any of the following: ceeding one minute. d.2.a. Output energy exceeding 2 J per e. Components, as follows: pulse and ‘‘peak power’’ exceeding 5 kW; or e.1. Mirrors cooled either by active cooling d.2.b. Average or CW output power, exceed- or by heat pipe cooling; ing 5 kW; TECHNICAL NOTE: Active cooling is a cool- d.3. Carbon dioxide (CO2) ‘‘lasers’’ having ing technique for optical components using any of the following: flowing fluids within the subsurface (nomi- d.3.a. CW output power exceeding 15 kW; nally less than 1 mm below the optical sur- d.3.b. Pulsed output with ‘‘pulse duration’’ face) of the optical component to remove exceeding 10 μs and any of the following: heat from the optic. d.3.b.1. ‘‘Average output power’’ exceeding e.2. Optical mirrors or transmissive or par- 10 kW; or tially transmissive optical or electro-optical d.3.b.2. ‘‘Peak power’’ exceeding 100 kW; or components specially designed for use with d.3.c. Pulsed output with a ‘‘pulse dura- controlled ‘‘lasers’’; tion’’ equal to or less than 10 μs and any of f. Optical equipment, as follows: N.B.: For the following: shared aperture optical elements, capable of d.3.c.1. Pulse energy exceeding 5 J per operating in ‘‘Super-High Power Laser’’ pulse; or (‘‘SHPL’’) applications, see the U.S. Muni- d.3.c.2. ‘‘Average output power’’ exceeding tions List (22 CFR part 121). 2.5 kW; f.1. Dynamic wavefront (phase) measuring d.4. Excimer ‘‘lasers’’ having any of the fol- equipment capable of mapping at least 50 po- lowing: sitions on a beam wavefront having any the d.4.a. Output wavelength not exceeding 150 following:f.1.a. Frame rates equal to or more nm and any of the following: than 100 Hz and phase discrimination of at d.4.a.1. Output energy exceeding 50 mJ per least 5% of the beam’s wavelength; orf.1.b. pulse; or Frame rates equal to or more than 1,000 Hz d.4.a.2. ‘‘Average output power’’ exceeding and phase discrimination of at least 20% of 1 W; the beam’s wavelength; d.4.b. Output wavelength exceeding 150 nm f.2. ‘‘Laser’’ diagnostic equipment capable but not exceeding 190 nm and any of the fol- of measuring ‘‘SHPL’’ system angular beam lowing: steering errors of equal to or less than 10 d.4.b.1. Output energy exceeding 1.5 J per μrad; pulse; or f.3. Optical equipment and components spe- d.4.b.2. ‘‘Average output power’’ exceeding cially designed for a phased-array ‘‘SHPL’’ 120 W; system for coherent beam combination to an d.4.c. Output wavelength exceeding 190 nm accuracy of lambda/10 at the designed wave- but not exceeding 360 nm and any of the fol- length, or 0.1 μm, whichever is the smaller; lowing: f.4. Projection telescopes specially de- d.4.c.1. Output energy exceeding 10 J per signed for use with ‘‘SHPL’’ systems; pulse; or g. ‘‘Laser acoustic detection equipment’’ d.4.c.2. ‘‘Average output power’’ exceeding having all of the following: 500 W; or g.1. CW laser output power greater than or d.4.d. Output wavelength exceeding 360 nm equal to 20 mW; and any of the following: g.2. Laser frequency stability equal to or d.4.d.1. Output energy exceeding 1.5 J per better (less) than 10 MHz; pulse; or g.3. Laser wavelengths equal to or exceed- d.4.d.2. ‘‘Average output power’’ exceeding ing 1,000 nm but not exceeding 2,000 nm; 30 W; g.4. Optical system resolution better (less) NOTE: For excimer ‘‘lasers’’ specially de- than 1 nm; and signed for lithography equipment, see 3B001. g.5. Optical Signal to Noise ratio equal or d.5. ‘‘Chemical lasers’’, as follows:d.5.a. Hy- exceeding to 103. drogen Fluoride (HF) ‘‘lasers’’;d.5.b. Deute- TECHNICAL NOTE: ‘‘Laser acoustic detection rium Fluoride (DF) ‘‘lasers’’;d.5.c. ‘‘Transfer equipment’’ is sometimes referred to as a lasers’’, as follows:d.5.c.1. Oxygen Iodine (O2- Laser Microphone or Particle Flow Detec- I) ‘‘lasers’’;d.5.c.2. Deuterium Fluoride-Car- tion Microphone. bon dioxide (DF-CO2) ‘‘lasers’’; d.6. ‘‘Non-repetitive pulsed’’ Neodymium 6A006 ‘‘Magnetometers’’, ‘‘magnetic (Nd) glass ‘‘lasers’’, having any of the fol- gradiometers’’, ‘‘intrinsic magnetic lowing:d.6.a. A ‘‘pulse duration’’ not exceed- gradiometers’’, underwater electric field

820 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

sensors, ‘‘compensation systems’’, and or lower (better) than 10 pT (rms) per square specially designed components therefor, root Hz at a frequency of 1 Hz; as follows (see List of Items Controlled). a.4. Induction coil ‘‘magnetometers’’ hav- LICENSE REQUIREMENTS ing a ‘sensitivity’ lower (better) than any of Reason for Control: NS, AT the following: a.4.a. 0.05 nT (rms)/square root Hz at fre- Control(s) Country chart quencies of less than 1 Hz; a.4.b. 1 × 10¥3 nT (rms)/square root Hz at NS applies to entire entry ...... NS Column 2 frequencies of 1 Hz or more but not exceeding AT applies to entire entry ...... AT Column 1 10 Hz; or a.4.c. 1 × 10¥4 nT (rms)/square root Hz at LICENSE REQUIREMENT NOTES: See § 743.1 of the EAR for reporting requirements for ex- frequencies exceeding 10 Hz; ports under License Exceptions. a.5. Fiber optic ‘‘magnetometers’’ having a ‘sensitivity’ lower (better) than 1 nT (rms) LICENSE EXCEPTIONS per square root Hz; LVS: $1500, N/A for 6A006.a.1; b. Underwater electric field sensors having ‘‘Magnetometers’’ and subsystems defined a ‘sensitivity’ lower (better) than 8 nanovolt in 6A006.a.2 using optically pumped or nu- per meter per square root Hz when measured clear precession (proton/Overhauser) hav- at 1 Hz; ing a ‘‘sensitivity’’ lower (better) than 2 pT c. ‘‘Magnetic gradiometers’’ as follows: (rms) per square root Hz; 6A006.d, and c.1. ‘‘Magnetic gradiometers’’ using mul- 6A006.e. tiple ‘‘magnetometers’’ controlled by GBS: N/A 6A006.a; CIV: N/A c.2. Fiber optic ‘‘intrinsic magnetic gradiometers’’ having a magnetic gradient STA: License Exception STA may not be field ‘sensitivity’ lower (better) than 0.3 nT/ used to ship any commodity in: m (rms) per square root Hz; 6A006.a.1; or c.3. ‘‘Intrinsic magnetic gradiometers’’, 6A006.a.2; or using ‘‘technology’’ other than fiber-optic 6A006.c.1 ‘‘Magnetic gradiometers’’ using ‘‘technology’’, having a magnetic gradient multiple ‘‘magnetometers’’ specified by field ‘sensitivity’ lower (better) than 0.015 6A006.a.1 or 6.A006.a.2; or 6A006.d or .e (only nT/m (rms) per square root Hz; for underwater receivers incorporating d. ‘‘Compensation systems’’ for magnetic magnetometers specified in 6A006.a.1 or and underwater electric field sensors result- 6A006.a.2) to any of the eight destinations ing in a performance equal to or better than listed in § 740.20(c)(2) of the EAR the control parameters of 6A006.a, 6A006.b, LIST OF ITEMS CONTROLLED and 6A006.c; and Unit: $ value e. Underwater electromagnetic receivers Related Controls: See also 6A996. This entry incorporating magnetic field sensors speci- does not control instruments specially de- fied by 6A006.a or underwater electric field signed for fishery applications or biomag- sensors specified by 6A006.b. netic measurements for medical TECHNICAL NOTE: For the purposes of 6A006, diagnostics. ’sensitivity’ (noise level) is the root mean Related Definitions: N/A square of the device-limited noise floor Items: a. ‘‘Magnetometers’’ and subsystems, which is the lowest signal that can be meas- as follows: ured. a.1. ‘‘Magnetometers’’ using ‘‘superconductive’’ (SQUID) ‘‘technology’’ and hav- 6A007 Gravity meters (gravimeters) and ing any of the following: gravity gradiometers, as follows (see List a.1.a. SQUID systems designed for sta- of Items Controlled). tionary operation, without specially de- LICENSE REQUIREMENTS signed subsystems designed to reduce in-mo- Reason for Control: NS, MT, AT tion noise, and having a ‘sensitivity’ equal to or lower (better) than 50 fT (rms) per square Control(s) Country chart root Hz at a frequency of 1 Hz; or a.1.b. SQUID systems having an in-motion- NS applies to entire entry ...... NS Column 2 MT applies to 6A007.b and .c when MT Column 1 magnetometer ‘sensitivity’ lower (better) the accuracies in 6A007.b.1 and than 20 pT (rms) per square root Hz at a fre- b.2 are met or exceeded. quency of 1 Hz and specially designed to re- AT applies to entire entry ...... AT Column 1 duce in-motion noise; a.2. ‘‘Magnetometers’’ using optically LICENSE EXCEPTIONS pumped or nuclear precession (proton/ LVS: $3000; N/A for MT Overhauser) ‘‘technology’’ having a ‘sensi- GBS: N/A tivity’ lower (better) than 20 pT (rms) per CIV: N/A square root Hz at a frequency of 1 Hz; LIST OF ITEMS CONTROLLED a.3. ‘‘Magnetometers’’ using fluxgate Unit: $ value ‘‘technology’’ having a ‘sensitivity’ equal to Related Controls: See also 6A107 and 6A997

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Related Definitions: N/A —Precision Approach Radar (PAR) equip- Items: ment conforming to ICAO standards and em- a. Gravity meters designed or modified for ploying electronically steerable linear (1-di- ground use and having a static accuracy of mensional) arrays or mechanically posi- less (better) than 10 μgal; tioned passive antennae. NOTE: 6A007.a does not control ground a. Operating at frequencies from 40 GHz to gravity meters of the quartz element 230 GHz and having any of the following: (Worden) type. a.1. An ‘‘average output power’’ exceeding b. Gravity meters designed for mobile plat- 100 mW; or forms and having all of the following: a.2. Locating accuracy of 1 m or less (bet- b.1. A static accuracy of less (better) than ter) in range and 0.2 degree or less (better) in 0.7 mgal; and azimuth; b.2. An in-service (operational) accuracy of b. A tunable bandwidth exceeding ±6.25% of less (better) than 0.7 mgal having a time-to- the ‘center operating frequency’; steady-state registration of less than 2 min- TECHNICAL NOTE: The ‘center operating fre- utes under any combination of attendant quency’ equals one half of the sum of the corrective compensations and motional in- highest plus the lowest specified operating fluences; frequencies c. Gravity gradiometers. c. Capable of operating simultaneously on more than two carrier frequencies; 6A008 Radar systems, equipment and assem- d. Capable of operating in synthetic aper- blies, having any of the following (see ture (SAR), inverse synthetic aperture List of Items Controlled), and specially (ISAR) radar mode, or sidelooking airborne designed components therefor. (SLAR) radar mode; LICENSE REQUIREMENTS e. Incorporating electronically steerable Reason for Control: NS, MT, RS, AT array antennae; f. Capable of heightfinding non-cooperative Control(s) Country chart targets; g. Specially designed for airborne (balloon NS applies to entire entry ...... NS Column 2. MT applies to items that are de- MT Column 1. or airframe mounted) operation and having signed for airborne applications Doppler ‘‘signal processing’’ for the detec- and that are usable in systems tion of moving targets; controlled for MT reasons. h. Employing processing of radar signals RS applies to 6A008.j.1 ...... RS Column 1. and using any of the following: AT applies to entire entry ...... AT Column 1. h.1. ‘‘Radar spread spectrum’’ techniques; or LICENSE REQUIREMENT NOTES: See § 743.1 of h.2. ‘‘Radar frequency agility’’ techniques; the EAR for reporting requirements for ex- i. Providing ground-based operation with a ports under License Exceptions. maximum ‘‘instrumented range’’ exceeding LICENSE EXCEPTIONS 185 km; LVS: $5000; N/A for MT and for 6A008.j.1. NOTE: 6A008.i does not control: GBS: Yes, for 6A008.b, .c, and l.1 only. a. Fishing ground surveillance radar; CIV: Yes, for 6A008.b, .c, and l.1 only. b. Ground radar equipment specially de- STA: License Exception STA may not be signed for en route air traffic control, and used to ship any commodity in 6A008.d, having all of the following: 6A008.h or 6A008.k to any of the eight des- 1. A maximum ‘‘instrumented range’’ of 500 tinations listed in § 740.20(c)(2) of the EAR. km or less; LIST OF ITEMS CONTROLLED 2. Configured so that radar target data can Unit: $ value. be transmitted only one way from the radar Related Controls: This entry does not control: site to one or more civil ATC centers; Secondary surveillance radar (SSR); Car 3. Contains no provisions for remote con- radar designed for collision prevention; trol of the radar scan rate from the en route Displays or monitors used for Air Traffic ATC center; and Control (ATC) having no more than 12 re- 4. Permanently installed; solvable elements per mm; Meteorological c. Weather balloon tracking radars. (weather) radar. See also 6A108 and 6A998. j. Being ‘‘laser’’ radar or Light Detection ECCN 6A998 controls, inter alia, the LIDAR and Ranging (LIDAR) equipment and having equipment excluded by the note to para- any of the following: graph j of this ECCN (6A008). j.1. ‘‘Space-qualified’’; Related Definitions: N/A j.2. Employing coherent heterodyne or Items: homodyne detection techniques and having NOTE: 6A008 does not control: an angular resolution of less (better) than 20 —Secondary surveillance radar (SSR); μrad (microradians); or —Civil Automotive Radar; j.3. Designed for carrying out airborne —Displays or monitors used for air traffic bathymetric littoral surveys to Inter- control (ATC); national Hydrographic Organization (IHO) —Meteorological (weather) radar; Order 1a Standard (5th Edition February

822 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

2008) for Hydrographic Surveys or better, and Control(s) Country chart using one or more lasers with a wavelength exceeding 400 nm but not exceeding 600 nm; MT applies to entire entry ...... MT Column 1 NOTE 1: LIDAR equipment specially de- AT applies to entire entry ...... AT Column 1 signed for surveying is only specified by 6A008.j.3. LICENSE EXCEPTIONS NOTE 2: 6A008.j does not apply to LIDAR LVS: N/A equipment specially designed for meteoro- GBS: N/A logical observation. CIV: N/A NOTE 3: Parameters in the IHO Order 1a LIST OF ITEMS CONTROLLED Standard 5th Edition February 2008 are sum- Unit: Components in number marized as follows: Related Controls: N/A Horizontal Accuracy (95% Confidence Related Definitions: In this entry, a detector Level) = 5 m + 5% of depth. is defined as a mechanical, electrical, opti- Depth Accuracy for Reduced Depths (95% cal or chemical device that automatically Confidence Level) = ±√(a2+(b*d)2) where: identifies and records, or registers a stim- a = 0.5 m = constant depth error, i.e. the sum ulus such as an environmental change in of all constant depth errors pressure or temperature, an electrical or b = 0.013 = factor of depth dependant error electromagnetic signal or radiation from a b*d = depth dependant error, i.e. the sum of radioactive material. all depth dependant errors Items: The list of items controlled is con- d = depth tained in the ECCN heading. Feature Detection = Cubic features > 2 m in depths up to 40 m; 10% of depth beyond 40 6A103 Radomes designed to withstand a m. combined thermal shock greater than 100 k. Having ‘‘signal processing’’ sub-systems cal/sq cm accompanied by a peak over using ‘‘pulse compression’’ and having any of pressure of greater than 50 kPa, usable in the following: protecting ‘‘missiles’’ against nuclear ef- k.1. A ‘‘pulse compression’’ ratio exceeding fects (e.g., Electromagnetic Pulse (EMP), 150; or X-rays, combined blast and thermal ef- k.2. A pulse width of less than 200 ns; or fects), and usable for ‘‘missiles.’’ (These l. Having data processing sub-systems and items are subject to the export licensing having any of the following: authority of the U.S. Department of State, l.1. ‘‘Automatic target tracking’’ pro- Directorate of Defense Trade Controls. viding, at any antenna rotation, the pre- See 22 CFR part 121.) dicted target position beyond the time of the next antenna beam passage; or 6A107 Gravity meters (gravimeters) and spe- NOTE: 6A008.l.1 does not control conflict cially designed components for gravity alert capability in ATC systems, or marine meters and gravity gradiometers, as fol- or harbor radar. lows (see List of Items Controlled). l.2. [RESERVED] LICENSE REQUIREMENTS l.3. [RESERVED] Reason for Control: MT, AT l.4. Configured to provide superposition and correlation, or fusion, of target data Control(s) Country chart within six seconds from two or more ‘‘geo- MT applies to entire entry ...... MT Column 1 graphically dispersed’’ radar sensors to im- AT applies to entire entry ...... AT Column 1 prove the aggregate performance beyond that of any single sensor specified by 6A008.f, LICENSE EXCEPTIONS or 6A008.i. LVS: N/A N.B.: See also the U.S. Munitions List (22 GBS: N/A CFR part 121). CIV: N/A NOTE: 6A008.l.4 does not apply to systems, LIST OF ITEMS CONTROLLED equipment and assemblies designed for ma- Unit: $ value rine traffic control. Related Controls: N/A 6A102 Radiation hardened detectors, other Related Definitions: N/A than those controlled by 6A002, specially Items: a. Gravity meters (gravimeters), other designed or modified for protecting than those controlled by 6A007.b, designed or against nuclear effects (e.g., Electro- modified for airborne or marine use, and hav- ¥ magnetic Pulse (EMP), X-rays, combined ing a static or operational accuracy of 7×10 6 blast and thermal effects) and usable for m/s2 (0.7 milligal) or better, and having a ‘‘missiles,’’ designed or rated to withstand time to steady-state registration of two min- radiation levels which meet or exceed a utes or less, usable for ‘‘missiles’’; total irradiation dose of 5μ105 rads (sil- b. Specially designed components for grav- icon). ity meters controlled in 6A007. b or 6A107.a LICENSE REQUIREMENTS and gravity gradiometers controlled in Reason for Control: MT, AT 6A007.c.

823 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

6A108 Radar systems and tracking systems, b.2.c. Velocity resolution better than 3 m/ other than those controlled by 6A008, as s. follows (see List of Items Controlled). LICENSE REQUIREMENTS 6A202 Photomultiplier tubes having both of Reason for Control: MT, AT the following characteristics (see List of Items Controlled). Control(s) Country chart LICENSE REQUIREMENTS Reason for Control: NP, AT MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 Control(s) Country Chart

LICENSE EXCEPTIONS NP applies to entire entry ...... NP Column 1 LVS: N/A AT applies to entire entry ...... AT Column 1 GBS: N/A CIV: N/A LICENSE EXCEPTIONS LIST OF ITEMS CONTROLLED LVS: N/A Unit: $ value GBS: N/A Related Controls: (1) This entry does not con- CIV: N/A trol airborne civil weather radar con- LIST OF ITEMS CONTROLLED forming to international standards for Unit: Number civil weather radars provided that they do Related Controls: See ECCNs 6E001 (‘‘develop- not incorporate any of the following: (a) ment’’), 6E002 (‘‘production’’), and 6E201 Phased array antennas; (b) Frequency agil- (‘‘use’’) for technology for items controlled ity; (c) Spread spectrum; or (d) Signal under this entry. processing specially designed for the track- Related Definitions: N/A ing of vehicles. (2) Items in 6A108.a that Items: a. Photocathode area of greater than are specially designed or modified for 20 cm2; and ‘‘missiles’’ or for items on the U.S. Muni- b. Anode pulse rise time of less than 1 ns. tions List are subject to the export licensing authority of the U.S. Department of 6A203 Cameras and components, other than State, Defense Trade Controls (see 22 CFR those controlled by 6A003, as follows (see part 121). List of Items Controlled). Related Definitions: Laser radar systems are LICENSE REQUIREMENTS defined as those that embody specialized Reason for Control: NP, AT transmission, scanning, receiving and signal processing techniques for utilization of Control(s) Country Chart lasers for echo ranging, direction finding and discrimination of targets by location, NP applies to entire entry ...... NP Column 1 radial speed and body reflection character- AT applies to entire entry ...... AT Column 1 istics. Items: LICENSE EXCEPTIONS a. Radar and laser radar systems designed LVS: N/A or modified for use in ‘‘missiles’’; GBS: N/A CIV: N/A NOTE: 6A108.a includes the following: LIST OF ITEMS CONTROLLED a. Terrain contour mapping equipment; Unit: Equipment and components in number; b. Imaging sensor equipment; parts and accessories in $ value c. Scene mapping and correlation (both (1) See ECCNs 6E001 (‘‘de- digital and analog) equipment; Related Controls: d. Doppler navigation radar equipment. velopment’’), 6E002 (‘‘production’’), and 6E201 (‘‘use’’) for technology for items con- b. Precision tracking systems, usable for trolled under this entry. (2) Also see ECCN rockets, missiles, or unmanned aerial vehi- 6A003.a.2, a.3, and a.4. cles capable of achieving a ‘‘range’’ equal to Related Definitions: N/A or greater than 300 km, as follows: Items: a. Mechanical rotating mirror cam- b.1. Tracking systems which use a code eras, as follows, and specially designed com- translator installed on the rocket or un- ponents therefor: manned aerial vehicle in conjunction with a.1. Framing cameras with recording rates either surface or airborne references or navi- greater than 225,000 frames per second; gation satellite systems to provide real-time a.2. Streak cameras with writing speeds measurements of in-flight position and ve- greater than 0.5 mm per microsecond; locity; b.2. Range instrumentation radars includ- NOTE: Components of cameras controlled ing associated optical/infrared trackers with by 6A203.a include their synchronizing elec- all of the following capabilities: tronics units and rotor assemblies consisting b.2.a. Angular resolution better than 1.5 of turbines, mirrors and bearings. milliradians; b. Electronic streak cameras, electronic b.2.b. Range of 30 km or greater with a framing cameras, tubes and devices, as fol- range resolution better than 10 m rms; lows:

824 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

b.1. Electronic streak cameras capable of Related Definitions: N/A 50 ns or less time resolution; Items: a. Argon ion ‘‘lasers’’ having both of b.2. Streak tubes for cameras controlled by the following characteristics: 6A203.b.1; a.1. Operating at wavelengths between 400 b.3. Electronic (or electronically shut- nm and 515 nm; and tered) framing cameras capable of 50 ns or a.2. An average output power greater than less frame exposure time; 40 W; b.4. Framing tubes and solid-state imaging b. Tunable pulsed single-mode dye laser os- devices for use with cameras controlled by cillators having all of the following charac- 6A203.b.3, as follows: teristics: b.4.a. Proximity focused image intensifier b.1. Operating at wavelengths between 600 tubes having the photocathode deposited on nm and 800 nm; a transparent conductive coating to decrease b.2. Having an average output greater than photocathode sheet resistance; 1 W; b.4.b. Gated silicon intensifier target (SIT) b.3 A repetition rate greater than 1 kHz; videcon tubes, where a fast system allows and gating the photoelectrons from the b.4. Pulse width less than 100 ns; photocathode before they impinge on the SIT c. [Reserved] plate; d. Pulsed carbon dioxide ‘‘lasers’’ having b.4.c. Kerr or Pockels cell electro-optical all of the following characteristics: shuttering; d.1. Operating at wavelengths between 9,000 b.4.d. Other framing tubes and solid-state nm and 11,000 nm; imaging devices having a fast-image gating d.2. A repetition rate greater than 250 Hz; time of less than 50 ns specially designed for d.3. An average output power greater than cameras controlled by 6A203.b.3. 500 W; and c. Radiation-hardened TV cameras, or d.4. Pulse width of less than 200 ns; lenses therefor, specially designed or rated e. Para-hydrogen Raman shifters designed as radiation hardened to withstand a total to operate at 16 micrometer output wave- radiation dose greater than 50 × 103 Gy (sil- length and at a repetition rate greater than icon) (5 × 106 rad (silicon)) without oper- 250 Hz.; ational degradation. f. Neodymium-doped (other than glass) lasers with an output wavelength between 1000 TECHNICAL NOTE: The term Gy (silicon) re- and 1100 nm having either of the following: fers to the energy in Joules per kilogram ab- f.1. Pulse-excited and Q-switched with a sorbed by an unshielded silicon sample when pulse duration equal to or greater than 1 ns, exposed to ionizing radiation. and having either of the following: f.1.a. A single-transverse mode output with 6A205 ‘‘Lasers’’, ‘‘laser’’ amplifiers and oscil- an average output power greater than 40 W; lators, other than those controlled by or 0B001.g.5, 0B001.h.6, or 6A005, as follows f.1.b. A multiple-transverse mode output (see List of Items Controlled). with an average output power greater than LICENSE REQUIREMENTS 50 W; or Reason for Control: NP, AT f.2. Incorporating frequency doubling to Control(s) Country chart give an output wavelength between 500 and 550 nm with an average output power of NP applies to entire entry ...... NP Column 1 greater than 40 W. AT applies to entire entry ...... AT Column 1 6A225 Velocity interferometers for meas- LICENSE EXCEPTIONS uring velocities exceeding 1 km/s during LVS: N/A time intervals of less than 10 microsec- GBS: N/A onds. CIV: N/A LICENSE REQUIREMENTS LIST OF ITEMS CONTROLLED Reason for Control: NP, AT Unit: Equipment in number Related Controls: (1) See ECCNs 6E001 (‘‘de- Control(s) Country chart velopment’’), 6E002 (‘‘production’’), and NP applies to entire entry ...... NP Column 1 6E201 (‘‘use’’) for technology for items con- AT applies to entire entry ...... AT Column 1 trolled under this entry. (2) Also see ECCNs 6A005 and 6A995. (3) See ECCN LICENSE EXCEPTIONS 6A005.a.2 for additional controls on argon LVS: N/A ion lasers; See ECCN 6A005.b.6.b for addi- GBS: N/A tional controls on neodymium-doped la- CIV: N/A sers. (4) ‘‘Lasers’’ specially designed or pre- LIST OF ITEMS CONTROLLED pared for use in isotope separation are sub- Unit: Equipment in number; parts and acces- ject to the export licensing authority of sories in $ value the Nuclear Regulatory Commission (see 10 Related Controls: See ECCNs 6E001 (‘‘develop- CFR part 110). ment’’), 6E002 (‘‘production’’), and 6E201

825 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

(‘‘use’’) for technology for items controlled Control(s) Country chart under this entry. Related Definitions: N/A RS applies to entire entry...... A license is required ECCN Controls: 6A225 includes velocity for items controlled interferometers, such as VISARs (Velocity by this entry for export or reexport to interferometer systems for any reflector) Iraq or transfer and DLIs (Doppler laser interferometers). within Iraq for re- Items: The list of items controlled is con- gional stability rea- tained in the ECCN heading. sons. The Com- merce Country 6A226 Pressure sensors, as follows (see List Chart is not de- of Items Controlled). signed to determine LICENSE REQUIREMENTS RS license require- Reason for Control: NP, AT ments for this entry. See §§ 742.6 and Control(s) Country chart 746.3 of the EAR for additional infor- NP applies to entire entry ...... NP Column 1 mation. AT applies to entire entry ...... AT Column 1 LICENSE EXCEPTIONS LICENSE EXCEPTIONS LVS: N/A LVS: N/A GBS: N/A GBS: N/A CIV: N/A CIV: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: Equipment in number; parts and acces- Unit: Equipment in number; parts and accessories in $ value sories in $ value Related Controls: N/A Related Controls: See ECCNs 6E001 (‘‘develop- Related Definitions: N/A ment’’), 6E002 (‘‘production’’), and 6E201 Items: a. Image intensifier tubes and spe- (‘‘use’’) for technology for items controlled cially designed components therefor, as fol- under this entry. lows: Related Definitions: N/A a.1. Image intensifier tubes having all the Items: a. Manganin gauges for pressures following: greater than 100 kilobars; or a.1.a. A peak response in wavelength range b. Quartz pressure transducers for pres- exceeding 400 nm, but not exceeding 1,050 sures greater than 100 kilobars. nm; a.1.b. A microchannel plate for electron 6A991 Marine or terrestrial acoustic equip- image amplification with a hole pitch (cen- ment, n.e.s., capable of detecting or locat- ter-to-center spacing) of less than 25 mi- ing underwater objects or features or po- crometers; and sitioning surface vessels or underwater a.1.c. Having any of the following: vehicles; and specially designed compo- a.1.c.1. An S–20, S–25 or multialkali nents, n.e.s. photocathode; or LICENSE REQUIREMENTS a.1.c.2. A GaAs or GaInAs photocathode; Reason for Control: AT a.2. Specially designed microchannel plates having both of the following characteristics: Control(s) Country chart a.2.a. 15,000 or more hollow tubes per plate; and AT applies to entire entry ...... AT Column 2 a.2.b. Hole pitch (center-to-center spacing) of less than 25 micrometers. LICENSE EXCEPTIONS b. Direct view imaging equipment oper- LVS: N/A ating in the visible or infrared spectrum, in- GBS: N/A corporating image intensifier tubes having CIV: N/A the characteristics listed in 6A992.a.1. LIST OF ITEMS CONTROLLED Unit: $ value 6A993 Cameras, not controlled by 6A003 or Related Controls: N/A 6A203, as follows (see List of Items Con- Related Definitions: N/A trolled). Items: The list of items controlled is con- LICENSE REQUIREMENTS tained in the ECCN heading. Reason for Control: AT

6A992 Optical Sensors, not controlled by Control(s) Country chart 6A002. AT applies to entire entry ...... AT Column 1. LICENSE REQUIREMENTS Reason for Control: AT, RS LICENSE EXCEPTIONS Control(s) Country chart LVS: N/A GBS: N/A AT applies to entire entry ...... AT Column 1. CIV: N/A

826 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LIST OF ITEMS CONTROLLED CIV: N/A Unit: Number LIST OF ITEMS CONTROLLED Related Controls: N/A Unit: Equipment in number; parts and acces- Related Definitions: N/A sories in $ value. Items: a. Cameras that meet the criteria of Related Controls: N/A Note 3 to 6A003.b.4. Related Definitions: N/A b. [Reserved] Items: a. Carbon dioxide (CO2) ‘‘lasers’’ having any of the following: 6A994 Optics, not controlled by 6A004. a.1. A CW output power exceeding 10 kW; LICENSE REQUIREMENTS a.2. A pulsed output with a ‘‘pulse dura- Reason for Control: AT tion’’ exceeding 10 microseconds; and Control(s) Country chart a.2.a. An average output power exceeding 10 kW; or AT applies to entire entry ...... AT Column 1 a.2.b. A pulsed ‘‘peak power’’ exceeding 100 kW; or LICENSE EXCEPTIONS a.3. A pulsed output with a ‘‘pulse dura- LVS: N/A tion’’ equal to or less than 10 microseconds; GBS: N/A and CIV: N/A a.3.a. A pulse energy exceeding 5 J per LIST OF ITEMS CONTROLLED pulse and ‘‘peak power’’ exceeding 2.5 kW; or Unit: Equipment in number; parts and acces- a.3.b. An average output power exceeding sories in $ value 2.5 kW; Related Controls: N/A b. Semiconductor lasers, as follows: Related Definitions: N/A b.1. Individual, single-transverse mode Items: a. Optical filters: semiconductor ‘‘lasers’’ having: a.1. For wavelengths longer than 250 nm, b.1.a. An average output power exceeding comprised of multi-layer optical coatings 100 mW; or and having either of the following: b.1.b. A wavelength exceeding 1,050 nm; a.1.a. Bandwidths equal to or less than 1 b.2. Individual, multiple-transverse mode nm Full Width Half Intensity (FWHI) and semiconductor ‘‘lasers’’, or arrays of indi- peak transmission of 90% or more; or vidual semiconductor ‘‘lasers’’, having a a.1.b. Bandwidths equal to or less than 0.1 wavelength exceeding 1,050 nm; nm FWHI and peak transmission of 50% or c. Ruby ‘‘lasers’’ having an output energy more; exceeding 20 J per pulse; NOTE: 6A994 does not control optical filters d. Non-‘‘tunable’’ ‘‘pulsed lasers’’ having with fixed air gaps or Lyot-type filters. an output wavelength exceeding 975 nm but a.2. For wavelengths longer than 250 nm, not exceeding 1,150 nm and having any of the and having all of the following: following: a.2.a. Tunable over a spectral range of 500 d.1. A ‘‘pulse duration’’ equal to or exceed- nm or more; ing 1 ns but not exceeding 1 μs, and having a.2.b. Instantaneous optical bandpass of any of the following: 1.25 nm or less; d.1.a. A single transverse mode output and a.2.c. Wavelength resettable within 0.1 ms having any of the following: to an accuracy of 1 nm or better within the d.1.a.1. A ’wall-plug efficiency’ exceeding tunable spectral range; and 12% and an ‘‘average output power’’ exceed- a.2.d. A single peak transmission of 91% or ing 10 W and capable of operating at a pulse more; repetition frequency greater than 1kHz; or a.3. Optical opacity switches (filters) with d.1.a.2. An ‘‘average output power’’ exceed- a field of view of 30° or wider and a response ing 20 W; or time equal to or less than 1 ns; d.1.b. A multiple transverse mode output b. ‘‘Fluoride fiber’’ cable, or optical fibers and having any of the following: therefor, having an attenuation of less than d.1.b.1. A ’wall-plug efficiency’ exceeding 4 dB/km in the wavelength range exceeding 18% and an ‘‘average output power’’ exceed- 1,000 nm but not exceeding 3,000 nm. ing 30 W; d.1.b.2. A ‘‘peak power’’ exceeding 200 MW; 6A995 ‘‘Lasers’’ (see List of Items Con- or trolled). d.1.b.3. An ‘‘average output power’’ exceed- LICENSE REQUIREMENTS ing 50 W; or Reason for Control: AT d.2. A ‘‘pulse duration’’ exceeding 1 μs and Control(s) Country chart having any of the following: d.2.a. A single transverse mode output and AT applies to entire entry ...... AT Column 1 having any of the following: d.2.a.1. A ’wall-plug efficiency’ exceeding LICENSE EXCEPTIONS 12% and an ‘‘average output power’’ exceed- LVS: N/A ing 10 W and capable of operating at a pulse GBS: N/A repetition frequency greater than 1 kHz; or

827 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

d.2.a.2. An ‘‘average output power’’ exceed- Items: a. ‘‘Magnetometers’’, n.e.s., having a ing 20 W; or ‘sensitivity’ lower (better) than 1.0 nT (rms) d.2.b. A multiple transverse mode output per square root Hz. and having any of the following: TECHNICAL NOTE: For the purposes of 6A996, d.2.b.1. A ’wall-plug efficiency’ exceeding ‘sensitivity’ (noise level) is the root mean 18% and an ‘‘average output power’’ exceed- square of the device-limited noise floor ing 30 W; or which is the lowest signal that can be meas- d.2.b.2. An ‘‘average output power’’ exceed- ured. ing 500 W; b. ‘‘Superconductive’’ electromagnetic sen- e. Non-‘‘tunable’’ continuous wave ‘‘(CW) sors, components manufactured from lasers’’, having an output wavelength ex- ‘‘superconductive’’ materials: ceeding 975 nm but not exceeding 1,150 nm b.1. Designed for operation at temperatures and having any of the following: below the ‘‘critical temperature’’ of at least e.1. A single transverse mode output and one of their ‘‘superconductive’’ constituents having any of the following: (including Josephson effect devices or e.1.a. A ’wall-plug efficiency’ exceeding ‘‘superconductive’’ quantum interference de- 12% and an ‘‘average output power’’ exceed- vices (SQUIDS)); ing 10 W and capable of operating at a pulse b.2. Designed for sensing electromagnetic repetition frequency greater than 1 kHz; or field variations at frequencies of 1 KHz or e.1.b. An ‘‘average output power’’ exceed- less; and ing 50 W; or b.3. Having any of the following character- e.2. A multiple transverse mode output and istics: having any of the following: b.3.a. Incorporating thin-film SQUIDS with e.2.a. A ’wall-plug efficiency’ exceeding a minimum feature size of less than 2 μm and 18% and an ‘‘average output power’’ exceed- with associated input and output coupling ing 30 W; or circuits; e.2.b. An ‘‘average output power’’ exceed- b.3.b. Designed to operate with a magnetic ing 500 W; field slew rate exceeding 1 × 106 magnetic NOTE: 6A995.e.2.b does not control multiple flux quanta per second; transverse mode, industrial ‘‘lasers’’ with b.3.c. Designed to function without mag- output power less than or equal to 2kW with netic shielding in the earth’s ambient mag- a total mass greater than 1,200kg. For the netic field; or purpose of this note, total mass includes all b.3.d. Having a temperature coefficient less components required to operate the ‘‘laser,’’ (smaller) than 0.1 magnetic flux quantum/K. e.g., ‘‘laser,’’ power supply, heat exchanger, 6A997 Gravity meters (gravimeters) for but excludes external optics for beam condi- ground use, n.e.s. tioning and/or delivery. LICENSE REQUIREMENTS f. Non-‘‘tunable’’ ‘‘lasers’’, having a wave- Reason for Control: AT length exceeding 1,400 nm, but not exceeding 1555 nm and having any of the following: Control(s) Country chart f.1. An output energy exceeding 100 mJ per pulse and a pulsed ‘‘peak power’’ exceeding 1 AT applies to entire entry ...... AT Column 1 W; or f.2. An average or CW output power exceed- LICENSE EXCEPTIONS ing 1 W. LVS: N/A g. Free electron ‘‘lasers’’. GBS: N/A CIV: N/A 6A996 ‘‘Magnetometers’’ not controlled by LIST OF ITEMS CONTROLLED ECCN 6A006, ‘‘Superconductive’’ electro- Unit: $ value magnetic sensors, and specially designed Related Controls: N/A components therefor, as follows (see List Related Definitions: N/A of Items Controlled). Items: a. Having a static accuracy of less LICENSE REQUIREMENTS (better) than 100 microgal; or Reason for Control: AT b. Being of the quartz element (Worden) type. Control(s) Country chart 6A998 Radar Systems, Equipment and As- AT applies to entire entry ...... AT Column 1 semblies, n.e.s., (See List of Items Con- trolled), and Specially Designed Compo- LICENSE EXCEPTIONS nents Therefor. LVS: N/A LICENSE REQUIREMENTS GBS: N/A Reason for Control: RS, AT CIV: N/A LIST OF ITEMS CONTROLLED Control(s) Country chart Unit: $ value Related Controls: N/A RS applies to paragraph .b ...... RS Column 1. AT applies to entire entry ...... AT Column 1. Related Definitions: N/A

828 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LICENSE EXCEPTIONS specially designed for the non-contact opti- LVS: N/A cal measurement of a non-planar optical sur- GBS: N/A face figure (profile) to an ‘‘accuracy’’ of 2 nm CIV: N/A or less (better) against the required profile. LIST OF ITEMS CONTROLLED Unit: $ value. 6B007 Equipment to produce, align and cali- Related Controls: N/A brate land-based gravity meters with a Related Definitions: N/A static accuracy of better than 0.1 mgal. Items: a. Airborne radar equipment, n.e.s., LICENSE REQUIREMENTS and specially designed components there- Reason for Control: NS, AT for. b. ‘‘Space-qualified’’ ‘‘laser’’ radar or Light Control(s) Country chart Detection and Ranging (LIDAR) equipment NS applies to entire entry ...... NS Column 2 specially designed for surveying or for mete- AT applies to entire entry ...... AT Column 1 orological observation. LICENSE EXCEPTIONS 6A999 Specific Processing Equipment, as LVS: $5000 Follows (See List of Items Controlled). GBS: N/A LICENSE REQUIREMENTS CIV: N/A Reason for Control: AT. LIST OF ITEMS CONTROLLED Control(s). Unit: Number Country Chart. Related Controls: N/A AT applies to entire entry. A license is re- Related Definitions: N/A quired for items controlled by this entry to Items: The list of items controlled is con- North Korea for anti-terrorism reasons. The tained in the ECCN heading. Commerce Country Chart is not designed to determine AT licensing requirements for 6B008 Pulse radar cross-section measure- this entry. See § 742.19 of the EAR for addi- ment systems having transmit pulse tional information. widths of 100 ns or less, and specially de- LICENSE EXCEPTIONS signed components therefor. LVS: N/A LICENSE REQUIREMENTS GBS: N/A Reason for Control: NS, MT, AT CIV: N/A LIST OF ITEMS CONTROLLED Control(s) Country chart Unit: $ value. Related Controls: See also 6A203. NS applies to entire entry ...... NS Column 2 MT applies to entire entry ...... MT Column 1 Related Definitions: N/A AT applies to entire entry ...... AT Column 1 Items: a. Seismic detection equipment; b. Radiation hardened TV cameras, n.e.s. LICENSE EXCEPTIONS LVS: N/A B. TEST, INSPECTION AND PRODUCTION GBS: N/A EQUIPMENT CIV: N/A 6B004 Optical equipment, as follows (see List of Items Controlled). STA: License Exception STA may not be LICENSE REQUIREMENTS used to ship any commodity in this entry to Reason for Control: NS, AT any of the eight destinations listed in § 740.20(c)(2) of the EAR. Control(s) Country chart LIST OF ITEMS CONTROLLED NS applies to entire entry ...... NS Column 2 Unit: Number AT applies to entire entry ...... AT Column 1 Related Controls: See also 6B108 Related Definitions: N/A LICENSE EXCEPTIONS Items: The list of items controlled is con- LVS: $5000 tained in the ECCN heading. GBS: Yes for 6B004.b 6B108 Systems, other than those controlled CIV: Yes for 6B004.b by 6B008, specially designed for radar LIST OF ITEMS CONTROLLED cross section measurement usable for Unit: Number rockets, missiles, or unmanned aerial ve- Related Controls: This entry does not control hicles capable of achieving a ‘‘range’’ microscopes. equal to or greater than 300 km and their Related Definitions: N/A subsystems. Items: a. Equipment for measuring absolute LICENSE REQUIREMENTS reflectance to an accuracy of ±0.1% of the re- Reason for Control: MT, AT flectance value; b. Equipment other than optical surface Control(s) Country chart scattering measurement equipment, having an unobscured aperture of more than 10 cm, MT applies to entire entry ...... MT Column 1

829 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Control(s) Country chart b.1. Cadmium zinc telluride (CdZnTe), with zinc content less than 6% by ‘mole fraction’; AT applies to entire entry ...... AT Column 1 b.2. Cadmium telluride (CdTe) of any purity level; or LICENSE EXCEPTIONS b.3. Mercury cadmium telluride (HgCdTe) LVS: N/A of any purity level. GBS: N/A TECHNICAL NOTE: ‘Mole fraction’ is defined CIV: N/A as the ratio of moles of ZnTe to the sum of LIST OF ITEMS CONTROLLED the moles of CdTe and ZnTe present in the Unit: r crystal. Related Controls: N/A Related Definitions: N/A 6C004 Optical materials as follows (see List Items: The list of items controlled is con- of Items Controlled). tained in the ECCN heading. LICENSE REQUIREMENTS Reason for Control: NS, AT 6B995 Specially designed or modified equipment, including tools, dies, fixtures or Control(s) Country chart gauges, and other specially designed components and accessories therefor: NS applies to entire entry ...... NS Column 2 AT applies to entire entry ...... AT Column 1 LICENSE REQUIREMENTS Reason for Control: AT LICENSE EXCEPTIONS Control(s) Country chart LVS: $1500 GBS: Yes for 6C004.a and .e AT applies to entire entry ...... AT Column 1 CIV: Yes for 6C004.a and .e LIST OF ITEMS CONTROLLED LICENSE EXCEPTIONS Unit: $ value LVS: N/A Related Controls: See also 6C994 GBS: N/A Related Definitions: N/A CIV: N/A Items: LIST OF ITEMS CONTROLLED a. Zinc selenide (ZnSe) and zinc sulphide Unit: Equipment in number; parts and acces- (ZnS) ‘‘substrate blanks’’, produced by the sories in $ value chemical vapor deposition process and hav- Related Controls: N/A ing any of the following: Related Definitions: N/A a.1. A volume greater than 100 cm3; or Items: a. For the manufacture or inspection a.2. A diameter greater than 80 mm and a of: thickness of 20 mm or more; a.1. Free electron ‘‘laser’’ magnet wigglers; b. Boules of any of the following electro- a.2. Free electron ‘‘laser’’ photo injectors; optic materials: b. For the adjustment, to required toler- b.1. Potassium titanyl arsenate (KTA) ances, of the longitudinal magnetic field of (CAS 59400–80–5); free electron ‘‘lasers’’. b.2. Silver gallium selenide (AgGaSe2) (CAS 12002–67–4); or C. MATERIALS b.3. Thallium arsenic selenide (Tl3AsSe3, 6C002 Optical sensor materials as follows also known as TAS) (CAS 16142–89–5); (see List of Items Controlled). c. Non-linear optical materials having all of the following: LICENSE REQUIREMENTS Reason for Control: NS, AT c.1. Third order susceptibility (chi 3) of 10¥6 m2/V2 or more; and Control(s) Country chart c.2. A response time of less than 1 ms; d. ‘‘Substrate blanks’’ of silicon carbide or NS applies to entire entry ...... NS Column 2 beryllium beryllium (Be/Be) deposited mate- AT applies to entire entry ...... AT Column 1 rials, exceeding 300 mm in diameter or major axis length; LICENSE EXCEPTIONS e. Glass, including fused silica, phosphate LVS: $3000 glass, fluorophosphate glass, zirconium fluo- GBS: N/A ride (ZrF4) (CAS 7783–64–4) and hafnium fluo- CIV: N/A ride (HfF4) (CAS 13709–52–9) and having all of LIST OF ITEMS CONTROLLED the following: Unit: Number. e.1. A hydroxyl ion (OH-) concentration of Related Controls: See also 6C992. less than 5 ppm; Related Definitions: N/A e.2. Integrated metallic purity levels of Items: less than 1 ppm; and a. Elemental tellurium (Te) of purity lev- e.3. High homogeneity (index of refraction els of 99.9995% or more; variance) less than 5 × 10¥6; b. Single crystals (including epitaxial wa- f. Synthetically produced diamond mate- fers) of any of the following: rial with an absorption of less than 10¥5

830 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

cm¥1 for wavelengths exceeding 200 nm but LIST OF ITEMS CONTROLLED not exceeding 14,000 nm. Unit: Equipment in number; parts and accessories in $ value 6C005 Synthetic crystalline ‘‘laser’’ host ma- Related Controls: N/A terial in unfinished form as follows (see Related Definitions: (1) ‘Fluoride fibers’ are fi- List of Items Controlled). bers manufactured from bulk fluoride com- Reason for Control: NS, AT pounds. (2) ‘Optical fiber preforms’ are bars, ingots, or rods of glass, plastic or Control(s) Country chart other materials that have been specially NS applies to entire entry ...... NS Column 2 processed for use in fabricating optical fi- AT applies to entire entry ...... AT Column 1 bers. The characteristics of the preform determine the basic parameters of the result- LICENSE EXCEPTIONS ant drawn optical fibers. LVS: $1500 Items: a. Low optical absorption materials, as GBS: N/A follows: CIV: N/A a.1. Bulk fluoride compounds containing LIST OF ITEMS CONTROLLED ingredients with a purity of 99.999% or bet- Unit: Kilograms ter; or Related Controls: N/A NOTE: 6C994.a.1 controls fluorides of zir- Related Definitions: N/A conium or aluminum and variants. Items: a. Titanium doped sapphire; a.2. Bulk fluoride glass made from com- b. Alexandrite. pounds controlled by 6C004.e.1; 6C992 Optical sensing fibers not controlled b. ‘Optical fiber preforms’ made from bulk by 6A002.d.3 which are modified struc- fluoride compounds containing ingredients turally to have a ‘beat length’ of less than with a purity of 99.999% or better, specially 500 mm (high birefringence) or optical designed for the manufacture of ‘fluoride fi- sensor materials not described in 6C002.b bers’ controlled by 6A994.b. and having a zinc content of equal to or D. SOFTWARE more than 6% by ‘mole fraction’. LICENSE REQUIREMENTS 6D001 ‘‘Software’’ specially designed for the Reason for Control: AT ‘‘development’’ or ‘‘production’’ of equipment controlled by 6A004, 6A005, 6A008, Control(s) Country chart or 6B008. LICENSE REQUIREMENTS AT applies to entire entry ...... AT Column 1 Reason for Control: NS, MT, NP, RS, AT

LICENSE EXCEPTIONS Control(s) Country chart LVS: N/A GBS: N/A NS applies to ‘‘software’’ for equip- NS Column 1. CIV: N/A ment controlled by 6A004, 6A005, 6A008 or 6B008. LIST OF ITEMS CONTROLLED MT applies to ‘‘software’’ for equip- MT Column 1. Unit: Equipment in number; parts and acces- ment controlled by 6A008 or sories in $ value. 6B008 for MT reasons. Related Controls: N/A NP applies to ‘‘software’’ for equip- NP Column 1. Related Definitions: (1) ‘Mole fraction’ is de- ment controlled by 6A005 for NP fined as the ratio of moles of ZnTe to the reasons. sum of the moles of CdTe and ZnTe present RS applies to ‘‘software’’ for equip- RS Column 1. ment controlled by 6A008.j.1. in the crystal. (2) ‘Beat length’ is the dis- AT applies to entire entry ...... AT Column 1. tance over which two orthogonally polarized signals, initially in phase, must pass LICENSE REQUIREMENT NOTES: See § 743.1 of in order to achieve a 2 Pi radian(s) phase the EAR for reporting requirements for ex- difference. ports under License Exceptions. Items: The list of items controlled is con- LICENSE EXCEPTIONS tained in the ECCN heading. CIV:*** TSR:Yes, except for the following: 6C994 Optical materials. (1) Items controlled for MT reasons; LICENSE REQUIREMENTS (2) ‘‘Software’’ specially designed for the Reason for Control: AT ‘‘development’’ or ‘‘production’’ of ‘‘space Control(s) Country chart qualified’’ ‘‘laser’’ radar or Light Detection and Ranging (LIDAR) equipment defined in AT applies to entire entry ...... AT Column 1 6A008.j.1; or (3) Exports or reexports to destinations LICENSE EXCEPTIONS outside of Austria, Belgium, Canada, Den- LVS: N/A mark, Finland, France, Germany, Greece, GBS: N/A Ireland, Italy, Japan, Luxembourg, the Neth- CIV: N/A erlands, Portugal, Spain, Sweden, or the

831 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

United Kingdom of ‘‘software’’ specially de- rity. ‘‘Software’’ specially designed for the signed for the ‘‘development’’ or ‘‘produc- ‘‘use’’ of ‘‘space qualified’’ LIDAR equip- tion’’ of equipment controlled by 6A004.c or ment specially designed for surveying or d, 6A008.d, h, or k, or 6B008. for meteorological observation, released STA: License Exception STA may not be from control under the note in 6A008.j, is used to ship or transmit ‘‘software’’ spe- controlled in 6D991. See also 6D102, 6D991, cially designed for the ‘‘development’’ or and 6D992 ‘‘production’’ of equipment specified by Related Definitions: N/A ECCNs 6A004.c, 6A004.d, 6A008.d, 6A008.h, Items: The list of items controlled is con- 6A008.k, or 6B008 to any of the eight des- tained in the ECCN heading. tinations listed in § 740.20(c)(2) of the EAR LIST OF ITEMS CONTROLLED 6D003 Other ‘‘software’’ as follows (see List Unit: $ value. of Items Controlled) Related Controls: ‘‘Software’’ specially de- LICENSE REQUIREMENTS signed for the ‘‘development’’ or ‘‘produc- Reason for Control: NS, AT tion’’ of ‘‘space qualified’’ components for optical systems defined in 6A004.c and Control(s) Country chart ‘‘space qualified’’ optical control equip- NS applies to entire entry ...... NS Column 1 ment defined in 6A004.d.1 is subject to the RS applies to paragraph c ...... RS Column 1. export licensing authority of the Depart- AT applies to entire entry ...... AT Column 1 ment of State, Directorate of Defense Trade Controls (22 CFR part 121). See also LICENSE REQUIREMENT NOTES: See § 743.1 of 6D991, and ECCN 6E001 (‘‘development’’) for the EAR for reporting requirements for ex- ‘‘technology’’ for items controlled under ports under License Exceptions. this entry. LICENSE EXCEPTIONS Related Definitions: N/A CIV: Yes, for 6D003.h.1 Items: The list of items controlled is con- TSR: Yes, except for exports or reexports to tained in the ECCN heading. destinations outside of Austria, Belgium, Canada, Denmark, Finland, France, Ger- 6D002 ‘‘Software’’ specially designed for the many, Greece, Ireland, Italy, Japan, Lux- ‘‘use’’ of equipment controlled by 6A002.b, embourg, the Netherlands, Portugal, 6A008, or 6B008. Spain, Sweden, or the United Kingdom of LICENSE REQUIREMENTS ‘‘software’’ for items controlled by 6D003.a. Reason for Control: NS, MT, RS, AT STA: License Exception STA may not be Control(s) Country chart used to ship transmit software in 6D003.a to any of the eight destinations listed in NS applies to entire entry ...... NS Column 1. § 740.20(c)(2) of the EAR. MT applies to ‘‘software’’ for equip- MT Column 1. LIST OF ITEMS CONTROLLED ment controlled by 6A008 or Unit: $ value 6B008 for MT reasons. RS applies to ‘‘software’’ for equip- RS Column 1. Related Controls: See also 6D103 and 6D993 ment controlled by 6A008.j.1. Related Definitions: N/A AT applies to entire entry ...... AT Column 1. Items: ACOUSTICS LICENSE EXCEPTIONS a. ‘‘Software’’ as follows: CIV: N/A a.1. ‘‘Software’’ specially designed for TSR: Yes, except N/A for the following acoustic beam forming for the ‘‘real time (1) Items controlled for MT reasons; or processing’’ of acoustic data for passive re- (2) ‘‘Software’’ specially designed for the ception using towed hydrophone arrays; ‘‘use’’ of ‘‘space qualified’’ ‘‘laser’’ radar or a.2. ‘‘Source code’’ for the ‘‘real time proc- Light Detection and Ranging (LIDAR) equip- essing’’ of acoustic data for passive reception ment defined in 6A008.j.1. using towed hydrophone arrays; LIST OF ITEMS CONTROLLED a.3. ‘‘Software’’ specially designed for Unit: $ value. acoustic beam forming for the ‘‘real time Related Controls: ‘‘Software’’ specially de- processing’’ of acoustic data for passive re- signed for the ‘‘use’’ of ‘‘space qualified’’ ception using bottom or bay cable systems; imaging sensors (e.g., ‘‘monospectral imag- a.4. ‘‘Source code’’ for the ‘‘real time proc- ing sensors’’ and ‘‘multispectral imaging essing’’ of acoustic data for passive reception sensors’’) defined in 6A002.b.2.b.1 is subject using bottom or bay cable systems; to the export licensing authority of the De- a.5. ‘‘Software’’ or ‘‘source code’’, specially partment of State, Directorate of Defense designed for all of the following: Trade Controls (22 CFR part 121), unless, on a.5.a. ‘‘Real time processing’’ of acoustic or after September 23, 2002, the Depart- data from sonar systems controlled by ment of State issues a commodity jurisdic- 6A001.a.1.e; and tion determination assigning the export li- a.5.b. Automatically detecting, classifying censing authority to the Department of and determining the location of divers or Commerce, Bureau of Industry and Secu- swimmers;

832 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

N.B.: For diver detection ‘‘software’’ or LICENSE REQUIREMENTS ‘‘source code’’, specially designed or modi- Reason for Control: MT, AT fied for military use, see the U.S. Munitions List of the International Traffic in Arms Control(s) Country chart Regulations (ITAR) (22 CFR part 121). b. Optical sensors. None. MT applies to entire entry ...... MT Column 1 CAMERAS AT applies to entire entry ...... AT Column 1 c. ‘‘Software’’ designed or modified for cameras incorporating ‘‘focal plane arrays’’ LICENSE EXCEPTIONS specified by 6A002.a.3.f and designed or modi- CIV: N/A fied to remove a frame rate restriction and TSR: N/A allow the camera to exceed the frame rate LIST OF ITEMS CONTROLLED specified in 6A003.b.4 Note 3.a; Unit: $ value d. Optics. None. Related Controls: N/A e. Lasers. None MAGNETIC AND ELECTRIC FIELD SEN- Related Definitions: N/A SORS Items: The list of items controlled is con- f. ‘‘Software’’ as follows: tained in the ECCN heading f.1. ‘‘Software’’ specially designed for magnetic and electric field ‘‘compensation sys- 6D103 Software’’ that processes post-flight, tems’’ for magnetic sensors designed to oper- recorded data, enabling determination of ate on mobile platforms; vehicle position throughout its flight f.2. ‘‘Software’’ specially designed for mag- path, specially designed or modified for netic and electric field anomaly detection on ‘‘missiles’’. mobile platforms; LICENSE REQUIREMENTS f.3. ‘‘Software’’ specially designed for ‘‘real Reason for Control: MT, AT time processing’’ of electromagnetic data using underwater electromagnetic receivers Control(s) Country chart specified by 6A006.e; MT applies to entire entry ...... MT Column 1 f.4. ‘‘Source code’’ for ‘‘real time proc- AT applies to entire entry ...... AT Column 1 essing’’ of electromagnetic data using underwater electromagnetic receivers specified by LICENSE EXCEPTIONS 6A006.e; GRAVIMETERS CIV: N/A g. ‘‘Software’’ specially designed to correct TSR: N/A motional influences of gravity meters or LIST OF ITEMS CONTROLLED gravity gradiometers; Unit: $ value RADAR Items: The list of items controlled is con- h. ‘‘Software’’ as follows: tained in the ECCN heading. h.1. Air Traffic Control (ATC) ‘‘software’’ application ‘‘programs’’ designed to be 6D991 ‘‘Software’’ Specially Designed for the hosted on general purpose computers located ‘‘Development’’, ‘‘Production’’, or ‘‘Use’’ of at Air Traffic Control centers and capable of Equipment Controlled by 6A002.e, 6A991, accepting radar target data from more than 6A996, 6A997, or 6A998. four primary radars; LICENSE REQUIREMENTS h.1.a. Processing and displaying more than Reason for Control: RS, AT 150 simultaneous ‘‘system tracks’’; or h.1.b. Accepting radar target data from Control(s) Country chart more than four primary radars; h.2. ‘‘Software’’ for the design or ‘‘produc- RS applies to ‘‘software’’ for equip- RS Column 1. tion’’ of radomes and having all of the fol- ment controlled by 6A002.e or lowing: 6A998.b. h.2.a. Specially designed to protect the AT applies to entire entry, except AT Column 1. ‘‘software’’ for equipment con- ‘‘electronically steerable phased array an- trolled by 6A991. tennae’’ controlled by 6A008.e.; and AT applies to ‘‘software’’ for equip- AT Column 2. h.2.b. Resulting in an antenna pattern hav- ment controlled by 6A991. ing an ‘average side lobe level’ more than 40 dB below the peak of the main beam level. LICENSE EXCEPTIONS TECHNICAL NOTE: ‘Average side lobe level’ CIV: N/A in 6D003.h.2.b is measured over the entire TSR: N/A array excluding the angular extent of the LIST OF ITEMS CONTROLLED main beam and the first two side lobes on ei- Unit: $ value. ther side of the main beam. Related Controls: N/A 6D102 ‘‘Software’’ specially designed or Related Definitions: N/A modified for the ‘‘use’’ of goods controlled Items: The list of items controlled is con- by 6A108. tained in the ECCN heading.

833 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

6D992 ‘‘Software’’ specially designed for the Items: The list of Items Controlled is in the ‘‘development’’ or ‘‘production’’ of equip- ECCN heading. ment controlled by 6A992, 6A994, or 6E001 ‘‘Technology’’ according to the Gen- 6A995. eral Technology Note for the ‘‘develop- LICENSE REQUIREMENTS ment’’ of equipment, materials or ‘‘soft- Reason for Control: AT ware’’ controlled by 6A (except 6A991, 6A992, 6A994, 6A995, 6A996, 6A997, or Control(s) Country chart 6A998), 6B (except 6B995), 6C (except AT applies to entire entry ...... AT Column 1 6C992 or 6C994), or 6D (except 6D991, 6D992, or 6D993). LICENSE EXCEPTIONS Reason for Control: NS, MT, NP, RS, CC, AT, CIV: N/A UN TSR: N/A LIST OF ITEMS CONTROLLED Control(s) Country chart Unit: $ value NS applies to ‘‘technology’’ for items NS Column 1. Related Controls: N/A controlled by 6A001 to 6A008, Related Definitions: N/A 6B004 to 6B008, 6C002 to 6C005, Items: The list of items controlled is con- or 6D001 to 6D003. tained in the ECCN heading. MT applies to ‘‘technology’’ for items MT Column 1. controlled by 6A002, 6A007, 6D993 Other ‘‘software’’ not controlled by 6A008,6A102, 6A107, 6A108, 6D003. 6B008, 6B108, 6D001, 6D002, LICENSE REQUIREMENTS 6D102 or 6D103 for MT reasons. Reason for Control: AT NP applies to ‘‘technology’’ for equip- NP Column 1. ment controlled by 6A003, 6A005, Control(s) Country chart 6A202,6A203, 6A205, 6A225, 6A226 or 6D001 for NP reasons. AT applies to entire entry ...... AT Column 1 RS applies to ‘‘technology’’ for equip- RS Column 1. ment controlled by 6A002.a.1, .a.2, LICENSE EXCEPTIONS .a.3, .c, or .e, 6A003.b.3 or .b.4, or CIV: N/A 6A008.j.1. TSR: N/A CC applies to ‘‘technology’’ for equip- CC Column 1. ment controlled by 6A002 for CC LIST OF ITEMS CONTROLLED reasons. Unit: $ value AT applies to entire entry ...... AT Column 1. Related Controls: N/A UN applies to ‘‘technology’’ for equip- Iraq, North Korea, and Related Definitions: N/A ment controlled by 6A002 or Rwanda. Items: a. Air Traffic Control (ATC) ‘‘soft- 6A003 for UN reasons. ware’’ application ‘‘programs’’ hosted on general purpose computers located at Air LICENSE REQUIREMENT NOTES: See § 743.1 of Traffic Control centers, and capable of auto- the EAR for reporting requirements for ex- matically handing over primary radar target ports under License Exceptions. data (if not correlated with secondary sur- LICENSE EXCEPTIONS veillance radar (SSR) data) from the host CIV: N/A ATC center to another ATC center; TSR:Yes, except for the following: (1) Items controlled for MT reasons; E. TECHNOLOGY (2) ‘‘Technology’’ for commodities con- 6D994 ‘‘Software’’ designed or modified for trolled by 6A002.e, 6A004.e, or 6A008.j.1; cameras incorporating ‘‘focal plane ar- (3) ‘‘Technology’’ for ‘‘software’’ specially rays’’ specified by 6A002.a.3.f and de- designed for ‘‘space qualified’’ ‘‘laser’’ radar signed or modified to remove a frame or Light Detection and Ranging (LIDAR) rate restriction and allow the camera to equipment defined in 6A008.j.1 and controlled exceed the frame rate specified in by 6D001 or 6D002; 6A003.b.4. Note 3.a. (4) Exports or reexports to destinations outside of Austria, Belgium, Canada, Den- License Requirements mark, Finland, France, Germany, Greece, Reason for Control: RS. Ireland, Italy, Japan, Luxembourg, the Neth- erlands, Portugal, Spain, Sweden, or the Control(s) Country chart United Kingdom of ‘‘technology’’ for the ‘‘development’’ of the following: (a) Items RS applies to entire entry ...... RS Column 1. controlled by 6A001.a.1.b, 6A001.a.1.e, License Exceptions 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.3, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b, CIV: N/A. 6A001.a.2.d, 6A001.a.2.e., 6A002.a.1.a, TSR: N/A. 6A002.a.1.b, 6A002.a.1.c, 6A002.a.2.a, 6A002.a.2.b, 6A002.a.3, 6A002.b, 6A002.c, List of Items Controlled 6A003.b.3, 6A003.b.4, 6A004.c, 6A004.d, Unit: $ value. 6A006.a.2, 6A006.c.1, 6A006.d, 6A006.e, 6A008.d,

834 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

6A008.h, 6A008.k, 6B008, 6D003.a; (b) Equip- Control(s) Country chart ment controlled by 6A001.a.2.c or 6A001.a.2.f when specially designed for real time appli- UN applies to ‘‘technology’’ for equip- Iraq, North Korea, and cations; or (c) ‘‘Software’’ controlled by ment controlled by 6A002 or Rwanda. 6D001 and specially designed for the ‘‘devel- 6A003 for UN reasons. opment’’ or ‘‘production’’ of equipment con- LICENSE REQUIREMENT NOTES: See § 743.1 of trolled by 6B008, or 6D003.a; or the EAR for reporting requirements for ex- (5) Exports or reexports to Rwanda. ports under License Exceptions. STA: License Exception STA may not be LICENSE EXCEPTIONS used to ship or transmit any technology in CIV: N/A this entry to any of the eight destinations TSR: Yes, except for the following: listed in § 740.20(c)(2) of the EAR. (1) Items controlled for MT reasons; LIST OF ITEMS CONTROLLED (2) ‘‘Technology’’ for commodities con- Unit: N/A trolled by 6A002.e, 6A004.e, 6A008.j.1; Related Controls: ‘‘Technology’’ according to (3) Exports or reexports to destinations the General Technology Note for the ‘‘de- outside of Austria, Belgium, Canada, Den- velopment’’ of the following commodities mark, Finland, France, Germany, Greece, is subject to the export licensing authority Ireland, Italy, Japan, Luxembourg, the Neth- of the Department of State, Directorate of erlands, Portugal, Spain, Sweden, or the Defense Trade Controls (22 CFR part 121): United Kingdom of ‘‘technology’’ for the ‘‘Space qualified’’ (1.) Components for opti- ‘‘production’’ of the following: (a) Items con- cal systems defined in 6A004.c and optical trolled by 6A001.a.1.b, 6A001.a.1.e, control equipment defined in 6A004.d.1.; (2.) 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.3, Solid-state detectors defined in 6A002.a.1, 6A001.a.2.a.5, 6A001.a.2.a.6, 6A001.a.2.b, ‘‘imaging sensors’’ (e.g., ‘‘monospectral im- 6A002.a.3, 6A002.b, 6A002.c, 6A003.b.3, aging sensors’’ and ‘‘multispectral imaging 6A003.b.4, 6A004.c, 6A004.d, 6A006.a.2, sensors’’) defined in 6A002.b.2.b.1, and 6A006.c.1, 6A006.d, 6A006.e, 6A008.d, 6A008.h, cryocoolers defined in 6A002.d.1 unless on 6A008.k, 6B008; and (b) Equipment controlled or after September 23, 2002, the Depart- by 6A001.a.2.c and 6A001.a.2.f when specially ment of State issues a commodity jurisdic- designed for real time applications; or tion determination assigning the export li- (4) Exports or reexports to Rwanda. censing authority to the Department of STA: License Exception STA may not be Commerce, Bureau of Industry and Secu- used to ship or transmit ‘‘technology’’ ac- rity. See also 6E101, 6E201, and 6E991. cording to the General Technology Note Related Definitions: N/A for the ‘‘production’’ of equipment speci- Items: The list of items controlled is con- fied in the STA exclusion paragraphs found tained in the ECCN heading. in the License Exception sections of by ECCNs 6A001, 6A002, 6A003, 6A004, 6A006, 6E002 ‘‘Technology’’ according to the Gen- 6A008, or 6B008 to any of the eight destina- eral Technology Note for the ‘‘produc- tions listed in § 740.20(c)(2) of the EAR. tion’’ of equipment or materials con- LIST OF ITEMS CONTROLLED trolled by 6A (except 6A991, 6A992, 6A994, Unit: N/A 6A995, 6A996, 6A997 or 6A998), 6B (except Related Controls: ‘‘Technology’’ according to 6B995) or 6C (except 6C992 or 6C994). the General Technology Note for the ‘‘pro- Reason for Control: NS, MT, NP, RS, CC, AT, duction’’ of the following commodities is UN subject to the export licensing authority of the Department of State, Directorate of Control(s) Country chart Defense Trade Controls (22 CFR part 121) NS applies to ‘‘technology’’ for equip- NS Column 1. when intended for use on a satellite: ment controlled by 6A001 to ‘‘Space qualified’’ (1.) Components for opti- 6A008, 6B004 to 6B008, or 6C002 cal systems defined in 6A004.c and optical to 6C005. control equipment defined in 6A004.d.1.; (2.) MT applies to ‘‘technology’’ for equip- MT Column 1. Solid-state detectors defined in 6A002.a.1, ment controlled by 6A002, 6A007, ‘‘imaging sensors’’ (e.g., ‘‘monospectral im- 6A008, 6A102, 6A107, 6A108, aging sensors’’ and ‘‘multispectral imaging 6B008, or 6B108 for MT reasons. NP applies to ‘‘technology’’ for equip- NP Column 1. sensors’’) defined in 6A002.b.2.b.1, and ment controlled by 6A003, 6A005, cryocoolers defined in 6A002.d.1 unless on 6A202, 6A203, 6A205, 6A225 or or after September 23, 2002, the Depart- 6A226 for NP reasons. ment of State issues a commodity jurisdic- RS applies to ‘‘technology’’ for equip- RS Column 1. tion determination assigning the export li- ment controlled by 6A002.a.1, .a.2, censing authority to the Department of .a.3, .c or .e, 6A003.b.3 or .b.4, or Commerce, Bureau of Industry and Secu- 6A008.j.1. CC applies to ‘‘technology’’ for equip- CC Column 1. rity. See also 6E992. ment controlled by 6A002 for CC Related Definitions: N/A reasons. Items: The list of items controlled is con- AT applies to entire entry ...... AT Column 1. tained in the ECCN heading.

835 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

6E003 Other ‘‘technology’’ as follows (see LIST OF ITEMS CONTROLLED List of Items Controlled). Unit: N/A LICENSE REQUIREMENTS Related Controls: N/A Reason for Control: NS, AT Related Definitions: (1) This entry only controls ‘‘technology’’ for equipment con- Control(s) Country chart trolled by 6A008 when it is designed for airborne applications and is usable in ‘‘mis- NS applies to entire entry ...... NS Column 1 AT applies to entire entry ...... AT Column 1 siles’’. (2) This entry only controls ‘‘technology’’ for items in 6A002.a.1, a.3, and .e LICENSE EXCEPTIONS that are specially designed or modified to CIV: N/A protect ‘‘missiles’’ against nuclear effects TSR: Yes (e.g., Electromagnetic Pulse (EMP), X- LIST OF ITEMS CONTROLLED rays, combined blast and thermal effects), Unit: N/A and usable for ‘‘missiles.’’ (3) This entry Related Controls: See also 6E993 only controls ‘‘technology’’ for items in Related Definitions: N/A 6A007.b and .c when the accuracies in Items: 6A007.b.1 and b.2 are met or exceeded. a. Acoustics. None. Items: The list of items controlled is con- b. Optical sensors. None. tained in the ECCN heading. c. Cameras. None. 6E201 ‘‘Technology’’ according to the Gen- OPTICS eral Technology Note for the ‘‘use’’ of equipment controlled by 6A003.a.2. d. ‘‘Technology’’ as follows: 6A003.a.3, 6A003.a.4; 6A005.a.2, d.1. Optical surface coating and treatment 6A005.b.2.b, 6A005.b.3.a, 6A005.b.4.b, ‘‘technology’’, ‘‘required’’ to achieve an ‘op- 6A005.b.6.b, 6A005.c.1.b, 6A005.c.2.b, tical thickness’ uniformity of 99.5% or better 6A005.d.3.c, or 6A005.d.4.c (as described for optical coatings 500 mm or more in di- in the license requirement note to 6A005); ameter or major axis length and with a total 6A202, 6A203, 6A205, 6A225 or 6A226. loss (absorption and scatter) of less than 5 x ICENSE EQUIREMENTS ¥ L R 10 3; Reason for Control: NP, AT N.B.:See also 2E003.f. TECHNICAL NOTE: ‘Optical thickness’ is the Control(s) Country chart mathematical product of the index of refraction and the physical thickness of the coat- NP applies to entire entry ...... NP Column 1 ing. AT applies to entire entry ...... AT Column 1 d.2. Optical fabrication ‘‘technology’’ using single point diamond turning techniques to LICENSE EXCEPTIONS produce surface finish accuracies of better CIV: N/A than 10 nm rms on non-planar surfaces ex- TSR: N/A ceeding 0.5 m2; LIST OF ITEMS CONTROLLED e. Lasers. ‘‘Technology’’ ‘‘required’’ for the Unit: N/A ‘‘development’’, ‘‘production’’ or ‘‘use’’ of Related Controls: N/A specially designed diagnostic instruments or Related Definitions: N/A This entry only controls targets in test facilities for ‘‘SHPL’’ testing ECCN Controls: ‘‘technology’’ for ‘‘lasers’’ in 6A005 that are or testing or evaluation of materials irradi- controlled for NP reasons. ated by ‘‘SHPL’’ beams; The list of items controlled is con- f. Magnetic and Electric Field Sensors. Items: tained in the ECCN heading. None g. Gravimeters. None 6E991 ‘‘Technology’’ for the ‘‘development’’, h. Radar. None ‘‘production’’ or ‘‘use’’ of equipment con- 6E101 ‘‘Technology’’ according to the Gen- trolled by 6A991, 6A996, 6A997, or 6A998. LICENSE REQUIREMENTS eral Technology Note for the ‘‘use’’ of Reason for Control: RS, AT equipment or ‘‘software’’ controlled by 6A002, 6A007.b and .c, 6A008, 6A102, Control(s) Country chart 6A107, 6A108, 6B108, 6D102 or 6D103. LICENSE REQUIREMENTS RS applies to ‘‘technology’’ for equip- RS Column 1. Reason for Control: MT, AT ment controlled by 6A998.b. AT applies to entire entry except AT Column 1. Control(s) Country chart ‘‘technology’’ for equipment controlled by 6A991. MT applies to entire entry ...... MT Column 1 AT applies to ‘‘technology’’ for equip- AT Column 2. AT applies to entire entry ...... AT Column 1 ment controlled by 6A991.

LICENSE EXCEPTIONS LICENSE EXCEPTIONS CIV: N/A CIV: N/A TSR: N/A TSR: N/A

836 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LIST OF ITEMS CONTROLLED d.2. ‘Sensitivity’ lower (better) than 1 × Unit: N/A 10¥3 nT (rms) per square root Hz at fre- Related Controls: N/A quencies of 1 Hz or more. Related Definitions: N/A TECHNICAL NOTE: For the purposes of 6E993, Items: The list of items controlled is con- ‘sensitivity’ (or noise level) is the root mean tained in the ECCN heading. square of the device-limited noise floor which is the lowest signal that can be meas- 6E992 ‘‘Technology’’ for the ‘‘development’’ ured. or ‘‘production’’ of equipment, materials or ‘‘software’’ controlled by 6A992, 6A994, EAR99 Items subject to the EAR that are or 6A995, 6B995, 6C992, 6C994, or 6D993. not elsewhere specified in this CCL Cat- LICENSE REQUIREMENTS egory or in any other category in the CCL Reason for Control: AT are designated by the number EAR99.

Control(s) Country chart CATEGORY 7—NAVIGATION AND AVIONICS

AT applies to entire entry ...... AT Column 1 A. SYSTEMS, EQUIPMENT AND COMPONENTS N.B. 1: For automatic pilots for under- LICENSE EXCEPTIONS CIV: N/A water vehicles, see Category 8. For radar, see TSR: N/A Category 6. LIST OF ITEMS CONTROLLED 7A001 Accelerometers as follows (see List of Unit: $ value Items Controlled) and specially designed Related Controls: N/A components therefor. Related Definitions: N/A LICENSE REQUIREMENTS Items: The list of items controlled is con- Reason for Control: NS, MT, AT tained in the ECCN heading. Control(s) Country chart 6E993 Other ‘‘technology’’, not controlled by 6E003, as follows (see List of Items Con- NS applies to entire entry ...... NS Column 1. trolled). MT applies to commodities that meet MT Column 1. LICENSE REQUIREMENTS or exceed the parameters of Reason for Control: AT 7A101. AT applies to entire entry ...... AT Column 1. Control(s) Country chart LICENSE EXCEPTIONS AT applies to entire entry ...... AT Column 1 LVS: N/A GBS: N/A LICENSE EXCEPTIONS CIV: N/A CIV: N/A LIST OF ITEMS CONTROLLED TSR: N/A Unit: $ value. LIST OF ITEMS CONTROLLED Related Controls: See also 7A101 and 7A994. Unit: N/A For angular or rotational accelerometers, Related Controls: N/A see 7A001.b. MT controls do not apply to Related Definitions: N/A accelerometers that are specially designed Items: a. Optical fabrication technologies for and developed as Measurement While Drill- serially producing optical components at a ing (MWD) sensors for use in downhole well 2 rate exceeding 10 m of surface area per year service applications. on any single spindle and having all of the Related Definitions: N/A following: Items: 2 a.1. Area exceeding 1 m ; and a. Linear accelerometers having any of the λ a.2. Surface figure exceeding /10 (rms) at following: the designed wavelength; a.1. Specified to function at linear accel- b. ‘‘Technology’’ for optical filters with a eration levels less than or equal to 15 g and bandwidth equal to or less than 10 nm, a field having any of the following: of view (FOV) exceeding 40° and a resolution a.1.a. A ‘‘bias’’ ‘‘stability’’ of less (better) exceeding 0.75 line pairs per milliradian; than 130 micro g with respect to a fixed cali- c. ‘‘Technology’’ for the ‘‘development’’ or bration value over a period of one year; or ‘‘production’’ of cameras controlled by 6A993; a.1.b. A ‘‘scale factor’’ ‘‘stability’’ of less d. ‘‘Technology’’ ‘‘required’’ for the ‘‘de- (better) than 130 ppm with respect to a fixed velopment’’ or ‘‘production’’ of non-triaxial calibration value over a period of one year; fluxgate ‘‘magnetometers’’ or non-triaxial a.2. Specified to function at linear accel- fluxgate ‘‘magnetometer’’ systems, having eration levels exceeding 15 g but less than or any of the following: equal to 100 g and having all of the following: d.1. ‘Sensitivity’ lower (better) than 0.05 a.2.a.A ‘‘bias’’ ‘‘repeatability’’ of less (bet- nT (rms) per square root Hz at frequencies of ter) than 5,000 micro g over a period of one less than 1 Hz; or year; and

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a.2.b.A ‘‘scale factor’’ ‘‘repeatability’’ of a.2.b. An ‘‘angle random walk’’ of less (bet- less (better) than 2,500 ppm over a period of ter) than or equal to 0.2 degree per square one year; or root hour; or a.3. Designed for use in inertial navigation NOTE: 7A002.a.2.b does not apply to ‘spin- or guidance systems and specified to func- ning mass gyros’. tion at linear acceleration levels exceeding b. Specified to function at linear accelera- 100 g; tion levels exceeding 100 g. NOTE: 7A001.a.1 and 7A001.a.2 do not apply to accelerometers limited to measurement of 7A003 Inertial systems and specially de- only vibration or shock. signed components, as follows. LICENSE REQUIREMENTS b. Angular or rotational accelerometers, Reason for Control: NS, MT, AT specified to function at linear acceleration levels exceeding 100 g. Control(s) Country chart

7A002 Gyros or angular rate sensors, having NS applies to entire entry ...... NS Column 1. any of the following (see List of Items MT applies to commodities in MT Column 1. Controlled) and specially designed com- 7A003.d that meet or exceed the ponents therefor. parameters of 7A103. AT applies to entire entry ...... AT Column 1. LICENSE REQUIREMENTS Reason for Control: NS, MT, AT LICENSE EXCEPTIONS LVS: N/A Control(s) Country chart GBS: N/A NS applies to entire entry ...... NS Column 1. CIV: N/A MT applies to commodities that meet MT Column 1. LIST OF ITEMS CONTROLLED or exceed the parameters of Unit: $ value 7A102. Related Controls: See also 7A103 and 7A994. In- AT applies to entire entry ...... AT Column 1. ertial Navigation Systems (INS) and inertial equipment, and specially designed LICENSE EXCEPTIONS components therefor specifically designed, LVS: N/A modified or configured for military use are GBS: N/A subject to the export licensing authority of CIV: N/A the U.S. Department of State, Directorate LIST OF ITEMS CONTROLLED of Defense Trade Controls. (See 22 CFR part Unit: $ value. 121.) Related Controls: See also 7A102 and 7A994. Related Definitions: ‘‘Data-Based Referenced For angular or rotational accelerometers, Navigation’’ (‘‘DBRN’’) systems are sys- see 7A001.b. tems which use various sources of previously measured geo-mapping data inte- Related Definitions: N/A grated to provide accurate navigation in- Items: formation under dynamic conditions. Data a. Specified to function at linear accelera- sources include bathymetric maps, stellar tion levels less than or equal to 100 g and maps, gravity maps, magnetic maps or 3–D having any of the following: digital terrain maps. a.1. A rate range of less than 500 degrees Items: a. Inertial Navigation Systems (INS) per second and having any of the following: (gimballed or strapdown) and inertial equip- a.1.a. A ‘‘bias’’ ‘‘stability’’ of less (better) ment, designed for ‘‘aircraft’’, land vehicles, than 0.5 degree per hour,when measured in a vessels (surface or underwater) or ‘‘space- 1 g environment over a period of one month, craft’’, for navigation, attitude, guidance or and with respect to a fixed calibration value; control and having any of the following and or specially designed components therefor: a.1.b. An ‘‘angle random walk’’ of less (bet- a.1. Navigation error (free inertial) subse- ter) than or equal to 0.0035 degree per square quent to normal alignment of 0.8 nautical root hour; or mile per hour (nm/hr) ‘‘Circular Error Prob- NOTE: 7A002.a.1.b does not control ‘spin- able’’ (‘‘CEP’’) or less (better); or ning mass gyros’. a.2. Specified to function at linear accel- TECHNICAL NOTE: ‘Spinning mass gyros’ are eration levels exceeding 10 g; gyros which use a continually rotating mass b. Hybrid Inertial Navigation Systems em- to sense angular motion. bedded with Global Navigation Satellite Sys- a.2. A rate range greater than or equal to tem(s) (GNSS) or with ‘‘Data-Based Ref- 500 degrees per second and having any of the erenced Navigation’’ (‘‘DBRN’’) System(s) following: for navigation, attitude, guidance or control, a.2.a. A ‘‘bias’’ ‘‘stability’’ of less (better) subsequent to normal alignment and having than 40 degrees per hour, when measured in an INS navigation position accuracy, after a 1 g environment over a period of three min- loss of GNSS or ‘‘DBRN’’ for a period of up utes, and with respect to a fixed calibration to 4 minutes, of less (better) than 10 meters value; or ‘‘Circular Error Probable’’ (‘‘CEP’’);

838 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

c. Inertial measurement equipment for LVS: N/A heading or True North determination and GBS: N/A having any of the following, and specially de- CIV: N/A signed components therefor: LIST OF ITEMS CONTROLLED c.1. Designed to have heading or True Unit: $ value North determination accuracy equal to, or Related Controls: See also 7A104 and 7A994 less (better) than 0.07 deg sec (Lat) (equiva- Related Definitions: N/A lent to 6 arc minutes (rms) at 45 degrees lati- Items: The list of items controlled is con- tude); or tained in the ECCN heading. c.2. Designed to have a non-operating shock level of 900 g or greater at a duration 7A005 Global Navigation Satellite Systems of 1 msec, or greater; (GNSS) receiving equipment having any d. Inertial measurement equipment includ- of the following and specially designed ing Inertial Measurement Units (IMU) and components therefor. Inertial Reference Systems (IRS), incor- NOTE TO 7A005: See also 7A105 and 7A994. porating accelerometers or gyros controlled LICENSE REQUIREMENTS by 7A001 or 7A002. These items are subject to the export li- NOTE 1: The parameters of 7A003.a and censing authority of the U.S. Department of 7A003.b are applicable with any of the fol- State, Directorate of Defense Trade Con- lowing environmental conditions: trols. See 22 CFR part 121. a. Input random vibration with an overall LIST OF ITEMS CONTROLLED magnitude of 7.7 g (rms) in the first 0.5 hour Unit: N/A and a total test duration of 1.5 hour per axis Related Controls: See also 7A105 and 7A994. in each of the 3 perpendicular axes, when the For equipment specially designed for mili- random vibration meets all of the following: tary use, see Categories XI and XV of the 1. A constant Power Spectral Density U.S. Munitions List (22 CFR 121). (PSD) value of 0.04 g2/Hz over a frequency in- Related Definitions: N/A terval of 15 to 1,000 Hz; and Items: 2. The PSD attenuates with frequency from a. Employing a decryption algorithm spe- 0.04 g2/Hz to 0.01 g2/Hz over a frequency inter- cially designed or modified for government val from 1,000 to 2,000 Hz; use to access the ranging code for position b. An angular rate capability about one or and time; or more axes of equal to or more than +2.62 rad/ b. Employing ‘adaptive antenna systems’. s (150 deg/s); or NOTE: 7A005.b does not apply to GNSS re- c. According to national standards equiva- ceiving equipment that only uses compo- lent to a. or b. of this note. nents designed to filter, switch, or combine NOTE 2: 7A003 does not control inertial signals from multiple omni-directional an- navigation systems which are certified for tennae that do not implement adaptive an- use on ‘‘civil aircraft’’ by civil authorities of tenna techniques. a Wassenaar Arrangement Participating TECHNICAL NOTE: For the purposes of State, see Supplement No. 1 to Part 743 for a 7A005.b ‘adaptive antenna systems’ dynami- list of these countries. cally generate one or more spatial nulls in NOTE 3: 7A003.c.1 does not control theodo- an antenna array pattern by signal proc- lite systems incorporating inertial equip- essing in the time domain or frequency do- ment specially designed for civil surveying main. purposes. TECHNICAL NOTE: 7A003.b refers to systems 7A006 Airborne altimeters operating at fre- in which an INS and other independent navi- quencies other than 4.2 to 4.4 GHz inclu- gation aids are built into a single unit (em- sive and having any of the following (see bedded) in order to achieve improved per- List of Items Controlled). formance. LICENSE REQUIREMENTS Reason for Control: NS, MT, AT 7A004 Gyro-astro compasses and other devices which derive position or orienta- Control(s) Country chart tion by means of automatically tracking NS applies to entire entry ...... NS Column 1 celestial bodies or satellites, with an azi- MT applies to entire entry ...... MT Column 1 muth accuracy of equal to or less (better) AT applies to entire entry ...... AT Column 1 than 5 seconds of arc. LICENSE REQUIREMENTS LICENSE EXCEPTIONS Reason for Control: NS, MT, AT LVS: N/A GBS: N/A Control(s) Country chart CIV: N/A NS applies to entire entry ...... NS Column 1 LIST OF ITEMS CONTROLLED MT applies to entire entry ...... MT Column 1 Unit: $ value AT applies to entire entry ...... AT Column 1 Related Controls: See also 7A106, 7A994 and Category 6 for controls on radar. LICENSE EXCEPTIONS Related Definitions: N/A

839 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Items: a. ‘‘Power management’’; or 2. ’Bias’ ‘‘repeatability’’ less (better) than b. Using phase shift key modulation. 1250 micro g. NOTE: The measurement of ’bias’ and ’scale 7A008 Underwater sonar navigation systems factor’ refers to one sigma standard devi- using Doppler velocity or correlation ve- ation with respect to a fixed calibration over locity logs integrated with a heading a period of one year. source and having a positioning accuracy of equal to or less (better) than 3% of dis- b. Accelerometers of any type, designed for tance traveled ‘‘Circular Error Probable’’ use in inertial navigation systems or in guid- (‘‘CEP’’) and specially designed compo- ance systems of all types, specified to func- nents therefor. tion at acceleration levels greater than 100 g. Reason for Control: NS, AT NOTE TO PARAGRAPH (b): This paragraph (b) does not include accelerometers that are de- Control(s) Country chart signed to measure vibration or shock.

NS applies to entire entry ...... NS Column 2. 7A102 Gyros, other than those controlled by AT applies to entire entry ...... AT Column 1. 7A002 (see List of Items Controlled), and specially designed components therefor. LICENSE EXCEPTIONS LICENSE REQUIREMENTS LVS: N/A Reason for Control: MT, AT GBS: N/A CIV: N/A Control(s) Country chart LIST OF ITEMS CONTROLLED MT applies to entire entry ...... MT Column 1 Unit: $ value AT applies to entire entry ...... AT Column 1 Related Controls: 7A008 does not control systems specially designed for installation on LICENSE EXCEPTIONS surface vessels or systems requiring acous- LVS: N/A tic beacons or buoys to provide positioning GBS: N/A data. See 6A001.a for acoustic systems, and CIV: N/A 6A001.b for correlation-velocity and Dopp- LIST OF ITEMS CONTROLLED ler-velocity sonar log equipment. See 8A002 Unit: $ value for other marine systems. Related Controls: N/A Related Definitions: N/A Related Definitions: (1) Drift rate is defined as Items: the time rate of output deviation from the The list of items controlled is contained in desired output. It consists of random and the ECCN heading. systematic components and is expressed as 7A101 Accelerometers, other than those an equivalent angular displacement per controlled by 7A001 (see List of Items unit time with respect to inertial space. (2) Controlled), and specially designed com- Stability is defined as standard deviation ponents therefor. (1 sigma) of the variation of a particular LICENSE REQUIREMENTS parameter from its calibrated value meas- Reason for Control: MT, AT ured under stable temperature conditions. This can be expressed as a function of Control(s) Country Chart time. Items: MT applies to entire entry ...... MT Column 1 a. All types of gyros, usable in rockets, AT applies to entire entry ...... AT Column 1 missiles, or unmanned aerial vehicles capable of achieving a ‘‘range’’ equal to or great- LICENSE EXCEPTIONS er than 300 km, with a rated ‘‘drift rate’’ ’sta- LVS: N/A bility’ of less than 0.5 degrees (1 sigma or GBS: N/A rms) per hour in a 1 g environment. CIV: N/A b. Gyros of any type, designed for use in in- LIST OF ITEMS CONTROLLED ertial navigation systems or in guidance sys- Unit: $ value tems of all types, specified to function at ac- Related Controls: This entry does not control celeration levels greater than 100 g. accelerometers which are specially de- TECHNICAL NOTE: In this entry, the term signed and developed as MWD (Measure- ’stability’ is defined as a measure of the abil- ment While Drilling) sensors for use in ity of a specific mechanism or performance downhole well service operations. coefficient to remain invariant when con- Related Definitions: N/A tinuously exposed to a fixed operating condi- Items: a. Linear accelerometers designed for tion. (This definition does not refer to dy- use in inertial navigation systems or in guid- namic or servo stability.) (IEEE STD 528–2001 ance systems of all types, usable in ‘‘mis- paragraph 2.247). siles’’ having all of the following characteristics, and specially designed components 7A103 Instrumentation, navigation equip- therefore: ment and systems, other than those con- 1. ’Scale factor’ ‘‘repeatability’’ less (bet- trolled by 7A003, and specially designed ter) than 1250 ppm; and components therefor.

840 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LICENSE REQUIREMENTS flight (e.g., satellite navigation receiver, Reason for Control: MT, AT radar altimeter, and/or Doppler radar); and 3. Integration hardware and software. Control(s) Country chart 7A104 Gyro-astro compasses and other de- MT applies to entire entry ...... MT Column 1 vices, other than those controlled by AT applies to entire entry ...... AT Column 1 7A004, which derive position or orientation by means of automatically tracking LICENSE EXCEPTIONS celestial bodies or satellites and specially LVS: N/A designed components therefor. GBS: N/A LICENSE REQUIREMENTS CIV: N/A Reason for Control: MT, AT LIST OF ITEMS CONTROLLED Unit: $ value Control(s) Country chart Related Controls: (1) For rockets, missiles, or unmanned aerial vehicles controlled under MT applies to entire entry ...... MT Column 1 the U.S. Munitions List (22 CFR part 121), AT applies to entire entry ...... AT Column 1 items described in 7A103.b are subject to the export licensing authority of the U.S. LICENSE EXCEPTIONS Department of State, Directorate of De- LVS: N/A fense Trade Controls (See 22 CFR part 121). GBS: N/A (2) Inertial navigation systems and inertial CIV: N/A equipment, and specially designed compo- LIST OF ITEMS CONTROLLED nents therefor specifically designed, modi- Unit: $ value fied or configured for military use are sub- Related Controls: This entry controls spe- ject to the export licensing authority of cially designed components for gyro-astro the U.S. Department of State, Directorate compasses and other devices controlled by of Defense Trade Controls. (See 22 CFR 7A004 part 121.) Related Definitions: N/A Related Definitions: N/A Items: a. Inertial or other equipment using Items: The list of items controlled is con- accelerometers or gyros controlled by 7A001, tained in the ECCN heading. 7A002, 7A101 or 7A102 and systems incor- 7A105 Receiving equipment for Global Navi- porating such equipment; gation Satellite Systems (GNSS) (e.g. GPS, NOTE 1: 7A103.a does not control equipment GLONASS, or Galileo) having any of the containing accelerometers specially designed following characteristics, and specially and developed as MWD (Measurement While designed components therefor. (These Drilling) sensors for use in down-hole well items are subject to the export licensing services operations. authority of the U.S. Department of State, NOTE 2: 7A103.a does not control inertial or Directorate of Defense Trade Controls. other equipment using accelerometers or See 22 CFR part 121.) gyros controlled by 7A001 or 7A002 that are 1. Designed or modified for use in ‘‘mis- only NS controlled. siles’’; or b. Integrated flight instrument systems, 2. Designed or modified for airborne appli- which include gyrostabilizers or automatic cations and having any of the following: pilots, designed or modified for use in rock- a. Capable of providing navigation infor- ets, missiles, or unmanned aerial vehicles ca- mation at speeds in excess of 600 m/s (1,165 pable of achieving a ‘‘range’’ equal to or nautical mph). greater than 300 km. b. Employing decryption, designed or c. Integrated Navigation Systems, designed modified for military or governmental serv- or modified for use in rockets, missiles, or ices, to gain access to GNSS secured signal/ unmanned aerial vehicles capable of achiev- data; or ing a ‘‘range’’ equal to or greater than 300 c. Being specially designed to employ anti- km and capable of providing a navigational jam features (e.g. null steering antenna or accuracy of 200m Circular Error Probable electronically steerable antenna) to function (CEP) or less. in an environment of active or passive coun- TECHNICAL NOTE: An ’integrated navigation termeasures. system’ typically incorporates the following NOTE TO 7A105: See also 7A005 and 7A994. components: 1. An inertial measurement device (e.g., an 7A106 Altimeters, other than those con- attitude and heading reference system, iner- trolled by 7A006, of radar or laser radar tial reference unit, or inertial navigation type, designed or modified for use in system); ‘‘missiles’’. (These items are subject to the 2. One or more external sensors used to up- export licensing authority of the U.S. De- date the position and/or velocity, either peri- partment of State, Directorate of Defense odically or continuously throughout the Trade Controls. See 22 CFR part 121.)

841 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

7A107 Three axis magnetic heading sensors LICENSE REQUIREMENTS having all of the following characteris- Reason for Control: RS, AT tics, and specially designed components therefor. Control(s) Country chart LICENSE REQUIREMENTS RS applies to QRS11–00100–100/ RS Column 1. Reason for Control: MT, AT. 101 and QRS11–00050–443/569 Micromachined Angular Rate Sen- Control(s) Country chart sors. See Related Controls. AT applies to entire entry ...... AT Column 1. MT applies to entire entry ...... MT Column 1. AT applies to entire entry ...... AT Column 1. LICENSE REQUIREMENT NOTES: There is no de minimis level for foreign-made commercial LICENSE EXCEPTIONS primary or standby instrument systems that LVS: N/A integrate QRS11–00100–100/101 or commercial GBS: N/A automatic flight control systems that inte- CIV: N/A grate QRS11–00050–443/569 Micromachined An- LIST OF ITEMS CONTROLLED gular Rate Sensors (see § 734.4(a) of the EAR). Unit: $ value. LICENSE EXCEPTIONS Related Controls: N/A. LVS: N/A Related Definitions: N/A. GBS: N/A Items: CIV: N/A a. Internal tilt compensation in pitch (±90 LIST OF ITEMS CONTROLLED degrees) and roll (±180 degrees) axes; Unit: $ value b. Capable of providing azimuthal accuracy Related Controls: QRS11 Micromachined An- better (less) than 0.5 degrees rms at latitudes gular Rate Sensors are subject to the ex- of ±80 degrees, referenced to local magnetic port licensing jurisdiction of the U.S. De- field; and partment of State, Directorate of Defense c. Designed or modified to be integrated Trade Controls, unless the QRS11–00100–100/ with flight control and navigation systems. 101 is integrated into and included as an in- NOTE: Flight control and navigation sys- tegral part of a commercial primary or tems in 7A107 include gyrostabilizers, auto- standby instrument system of the type de- matic pilots and inertial navigation systems. scribed in ECCN 7A994, or aircraft of the type described in ECCN 9A991 that incor- 7A115 Passive sensors for determining bear- porates such systems, or is exported solely ing to specific electromagnetic source (di- for integration into such a system; or the rection finding equipment) or terrain QRS11–00050–443/569 is integrated into an characteristics, designed or modified for automatic flight control system of the use in ‘‘missiles’’. (These items are subject type described in ECCN 7A994, or aircraft to the export licensing authority of the of the type described in ECCN 9A991 that U.S. Department of State, Directorate of incorporates such systems, or are exported Defense Trade Controls. See 22 CFR part solely for integration into such a system. 121.) (See Commodity Jurisdiction requirements 7A116 Flight control systems (hydraulic, me- in 22 CFR Parts 121; Category VIII(e), chanical, electro-optical, or electro-me- Note(1)) In the latter case, such items are chanical flight control systems (including subject to the licensing jurisdiction of the fly-by-wire systems) and attitude control Department of Commerce. Technology spe- equipment) designed or modified for cific to the development and production of ‘‘missiles’’. (These items are subject to the QRS11 sensors remains subject to the li- export licensing authority of the U.S. De- censing jurisdiction of the Department of partment of State, Directorate of Defense State. Trade Controls. See 22 CFR part 121.) Related Definitions: N/A Items: The list of items controlled is con- 7A117 ‘‘Guidance sets’’ capable of achieving tained in the ECCN heading. system accuracy of 3.33% or less of the range (e.g., a ‘‘CEP’’ of 10 km or less at a B. TEST, INSPECTION AND PRODUCTION range of 300 km). (These items are sub- EQUIPMENT ject to the export licensing authority of 7B001 Test, calibration or alignment equip- the U.S. Department of State, Directorate ment, specially designed for equipment of Defense Trade Controls. See 22 CFR controlled by 7A (except 7A994). part 121.) LICENSE REQUIREMENTS Reason for Control: NS, MT, AT 7A994 Other navigation direction finding equipment, airborne communication Control(s) Country chart equipment, all aircraft inertial navigation systems not controlled under 7A003 or NS applies to entire entry ...... NS Column 1 7A103, and other avionic equipment, in- MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 cluding parts and components, n.e.s.

842 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LICENSE EXCEPTIONS 7B003 Equipment specially designed for the LVS: N/A ‘‘production’’ of equipment controlled by GBS: N/A 7A (except 7A994). CIV: N/A LICENSE REQUIREMENTS LIST OF ITEMS CONTROLLED Reason for Control: NS, MT, AT Unit: $ value Control(s) Country chart Related Controls: (1) See also 7B101, 7B102 and 7B994. NS applies to entire entry ...... NS Column 1 (2) This entry does not control test, cali- MT applies to entire entry ...... MT Column 1 bration or alignment equipment for ‘Mainte- AT applies to entire entry ...... AT Column 1 nance level I’ or ‘Maintenance Level II’. Related Definition: (1) ‘‘Maintenance Level I’’: LICENSE EXCEPTIONS The failure of an inertial navigation unit is LVS: N/A detected on the aircraft by indications GBS: N/A from the Control and Display Unit (CDU) CIV: N/A or by the status message from the cor- LIST OF ITEMS CONTROLLED responding sub-system. By following the Unit: $ value. manufacturer’s manual, the cause of the Related Controls: (1) See also 7B103, (this failure may be localized at the level of the entry is subject to the licensing authority malfunctioning Line Replaceable Unit of the U.S. Department of State, Direc- (LRU). The operator then removes the torate of Defense Trade Controls (see 22 LRU and replaces it with a spare. CFR part 121)) and 7B994. (2) This entry in- (2) ‘‘Maintenance Level II’’: The defective cludes: Inertial Measurement Unit (IMU LRU is sent to the maintenance workshop module) tester; IMU platform tester; IMU (the manufacturer’s or that of the operator stable element handling fixture; IMU plat- responsible for level II maintenance). At the form balance fixture; gyro tuning test sta- maintenance workshop, the malfunctioning tion; gyro dynamic balance station; gyro LRU is tested by various appropriate means run-in/motor test station; gyro evacuation to verify and localize the defective Shop Re- and fill station; centrifuge fixtures for placeable Assembly (SRA) module respon- gyro bearings; accelerometer axis align sible for the failure. This SRA is removed stations; accelerometer test station; and and replaced by an operative spare. The de- fiber optic gyro coil winding machines. fective SRA (or possibly the complete LRU) Related Definitions: N/A is then shipped to the manufacturer. ‘Main- Items: The list of items controlled is con- tenance Level II’ does not include the dis- tained in the ECCN heading. assembly or repair of controlled accelerometers or gyro sensors. 7B101 Production equipment’’, and other Items: The list of items controlled is con- test, calibration, and alignment equip- tained in the ECCN heading. ment, other than that described in 2B119 to 2B122, 7B003, and 7B102, designed or 7B002 Equipment specially designed to modified to be used with equipment con- characterize mirrors for ring ‘‘laser’’ trolled by 7A001 to 7A004 or 7A101 to gyros, as follows (see List of Items Con- 7A104. trolled). LICENSE REQUIREMENTS LICENSE REQUIREMENTS Reason for Control: MT, AT. Reason for Control: NS, MT, AT Control(s) Country chart Control(s) Country chart MT applies to entire entry ...... MT Column 1. NS applies to entire entry ...... NS Column 1 AT applies to entire entry ...... AT Column 1. MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 LICENSE EXCEPTIONS LVS: N/A LICENSE EXCEPTIONS GBS: N/A LVS: N/A CIV: N/A GBS: N/A LIST OF ITEMS CONTROLLED CIV: N/A Unit: $ value. LIST OF ITEMS CONTROLLED Related Controls: (1) See also 2B119 to 2B122, Unit: $ value 7B003, 7B102, and 7B994. Related Controls: See also 7B102 and 7B994 (2) This entry includes: inertial measure- Related Definitions: N/A ment unit (IMU module) tester; IMU plat- Items: a. Scatterometers having a measure- form tester; IMU stable element handling ment accuracy of 10 ppm or less (better); fixture; IMU platform balance fixture; gyro b. Profilometers having a measurement ac- tuning test station; gyro dynamic balance curacy of 0.5 nm (5 angstrom) or less (better). stations; gyro run-in/motor test stations;

843 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

gyro evacuation and filling stations; cen- duction’’ of equipment controlled by 7A trifuge fixtures for gyro bearings; acceler- (except 7A994) or 7B (except 7B994). ometer axis align stations; and acceler- LICENSE REQUIREMENTS ometer test stations. Reason for Control: NS, MT, RS, AT Related Definitions: N/A Items: The list of items controlled is con- Control(s) Country chart tained in the ECCN heading. NS applies to ‘‘software’’ for equip- NS Column 1. 7B102 Equipment, other than those con- ment controlled by 7A001 to trolled by 7B002, designed or modified to 7A004, 7A006, 7A008, 7B001, characterize mirrors, for laser gyro 7B002 or 7B003. MT applies to ‘‘software’’ for equip- MT Column 1. equipment, as follows (see List of Items ment controlled for MT reasons. Controlled). MT does not apply to ‘‘software’’ LICENSE REQUIREMENTS for equipment controlled by 7A008. Reason for Control: MT, AT RS applies to ‘‘software’’ for inertial RS Column 1 navigation systems, inertial equip- Control(s) Country chart ment, and specially designed components therefor, for ‘‘civil aircraft.’’. MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1. AT applies to entire entry ...... AT Column 1

LICENSE EXCEPTIONS LICENSE EXCEPTIONS LVS: N/A CIV: N/A GBS: N/A TSR: N/A CIV: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: $ value Unit: $ value. Related Controls: (1) See also 7D101 and 7D994. Related Controls: N/A (2) The ‘‘software’’ related to 7A003.b, Related Definitions: N/A 7A005, 7A103.b, 7A105, 7A106, 7A115, 7A116, Items: a. Scatterometers having a threshold 7A117, or 7B103 are subject to the export li- accuracy of 10 ppm or less (better). censing authority of the U.S. Department b. Reflectometers having a threshold accu- of State, Directorate of Defense Trade Con- racy of 50 ppm or less (better). trols. (See 22 CFR part 121.) (3) ‘‘Software’’ c. Prolifometers having a threshold accu- for inertial navigation systems and iner- racy of 0.5nm (5 angstrom) or less (better). tial equipment, and specially designed components therefor, not for use on civil 7B103 Specially designed ‘‘production facili- aircraft are subject to the export licensing ties’’ for equipment controlled by 7A117. authority of the U.S. Department of State, (These items are subject to the export li- Directorate of Defense Trade Controls. censing authority of the U.S. Department (See 22 CFR part 121.) of State, Directorate of Defense Trade Related Definitions: N/A Controls. See 22 CFR part 121.) Items: The list of items controlled is con- 7B994 Other equipment for the test, inspec- tained in the ECCN heading tion, or ‘‘production’’ of navigation and 7D002 ‘‘Source code’’ for the ‘‘use’’ of any in- avionics equipment. ertial navigation equipment, including in- LICENSE REQUIREMENTS ertial equipment not controlled by 7A003 Reason for Control: AT or 7A004, or Attitude and Heading Ref- Control(s) Country chart erence Systems (‘AHRS’). LICENSE REQUIREMENTS AT applies to entire entry ...... AT Column 1 Reason for Control: NS, MT, AT

LICENSE EXCEPTIONS Control(s) Country chart LVS: N/A GBS: N/A NS applies to entire entry ...... NS Column 1 CIV: N/A MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 LIST OF ITEMS CONTROLLED Unit: $ value Related Controls: N/A LICENSE EXCEPTIONS Related Definitions: N/A CIV: N/A Items: The list of items controlled is con- TSR: N/A tained in the ECCN heading LIST OF ITEMS CONTROLLED Unit: $ value C. MATERIALS [RESERVED] Related Controls: (1) See also 7D102 and 7D994. (2) This entry does not control ‘‘source D. SOFTWARE code’’ for the ‘‘use’’ of gimballed ‘AHRS’. 7D001 ‘‘Software’’ specially designed or Related Definition: ‘AHRS’ generally differ modified for the ‘‘development’’ or ‘‘pro- from Inertial Navigation Systems (INS) in

844 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

that an ‘AHRS’ provides attitude and head- d.3. Fly-by-wire or fly-by-light control sys- ing information and normally does not pro- tems; vide the acceleration, velocity and position d.4. Fault-tolerant or self-reconfiguring information associated with an INS. ‘‘active flight control systems’’; Items: The list of items controlled is con- d.5. Airborne automatic direction finding tained in the ECCN heading equipment; d.6. Air data systems based on surface stat- 7D003 Other ‘‘software’’ as follows (see List ic data; or of Items Controlled). d.7. Raster-type head-up displays or three LICENSE REQUIREMENTS dimensional displays; Reason for Control: NS, MT, AT e. Computer-Aided-Design (CAD) ‘‘software’’ specially designed for the ‘‘develop- Control(s) Country chart ment’’ of ‘‘active flight control systems’’, helicopter multi-axis fly-by-wire or fly-by- NS applies to entire entry ...... NS Column 1. light controllers or helicopter ‘‘circulation MT applies to ‘‘software’’ for equip- MT Column 1. controlled anti-torque or circulation-con- ment controlled for MT reasons. MT does not apply to ‘‘software’’ trolled direction control systems’’, whose for equipment controlled by 7A008. ‘‘technology’’ is controlled by 7E004.b, AT applies to entire entry ...... AT Column 1. 7E004.c.1 or 7E004.c.2. 7D101 ‘‘Software’’ specially designed or LICENSE EXCEPTIONS modified for the ‘‘use’’ of equipment con- CIV: N/A trolled by 7A001 to 7A006, 7A101 to 7A107, TSR: N/A 7A115, 7A116, 7B001, 7B002, 7B003, 7B101, STA: License Exception STA may not be 7B102, or 7B103. used to ship or transmit software in LICENSE REQUIREMENTS 7D003.a, b, c, d.1 to d.4 or d.7 to any of the Reason for Control: MT, AT eight destinations listed in § 740.20(c)(2) of the EAR. Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: $ value MT applies to entire entry ...... MT Column 1 Related Controls: See also 7D103 and 7D994 AT applies to entire entry ...... AT Column 1 Related Definitions: ‘Data-Based Referenced LICENSE EXCEPTIONS Navigation’ (‘DBRN’) systems are systems CIV: N/A which use various sources of previously TSR: N/A measured geo-mapping data integrated to LIST OF ITEMS CONTROLLED provide accurate navigation information Unit: $ value under dynamic conditions. Data sources in- Related Controls: (1) The ‘‘software’’ related clude bathymetric maps, stellar maps, to 7A003.b, 7A005, 7A103.b, 7A105, 7A106, gravity maps, magnetic maps or 3–D dig- 7A115, 7A116, 7A117, or 7B103 are subject to ital terrain maps. the export licensing authority of the U.S. Items: Department of State, Directorate of De- a. ‘‘Software’’ specially designed or modi- fense Trade Controls. (See 22 CFR part 121.) fied to improve the operational performance (2) ‘‘Software’’ for inertial navigation sys- or reduce the navigational error of systems tems and inertial equipment, and specially to the levels controlled by 7A003, 7A004 or designed components therefor, not de- 7A008; signed for use on civil aircraft by civil b. ‘‘Source code’’ for hybrid integrated sys- aviation authorities of a country listed in tems which improves the operational per- Country Group A:1 is subject to the export formance or reduces the navigational error licensing authority of the U.S. Department of systems to the level controlled by 7A003 or of State, Directorate of Defense Trade Con- 7A008 by continuously combining heading trols. (See 22 CFR part 121.) data with any of the following: Related Definitions: N/A b.1. Doppler radar or sonar velocity data; Items: The list of items controlled is con- b.2. Global Navigation Satellite Systems tained in the ECCN heading (GNSS) reference data; or b.3. Data from ‘Data-Based Referenced 7D102 Integration ‘‘software’’, as follows Navigation’ (‘DBRN’’) systems; (See List of Items Controlled). c. ‘‘Source code’’ for integrated avionics or LICENSE REQUIREMENTS mission systems which combine sensor data Reason for Control: MT, AT and employ ‘‘expert systems’’; d. ‘‘Source code’’ for the ‘‘development’’ of Control(s) Country chart any of the following: MT applies to entire entry ...... MT Column 1 d.1. Digital flight management systems for AT applies to entire entry ...... AT Column 1 ‘‘total control of flight’’; d.2. Integrated propulsion and flight con- LICENSE EXCEPTIONS trol systems; CIV: N/A

845 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

TSR: N/A Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: $ value RS applies to ‘‘technology’’ for iner- RS Column 1. Related Controls: The ‘‘software’’ related to tial navigation systems, inertial 7A003.b or 7A103.b are subject to the export equipment and specially designed components therefor, for civil air- licensing authority of the U.S. Department craft. of State, Directorate of Defense Trade Con- AT applies to entire entry ...... AT Column 1. trols. (See 22 CFR part 121.) Related Definitions: N/A LICENSE EXCEPTIONS Items: a. Integration ‘‘software’’ for the CIV: N/A equipment controlled by 7A103.b. TSR: N/A b. Integration ‘‘software’’ specially de- STA: License Exception STA may not be signed for the equipment controlled by 7A003 used to ship or transmit any technology in or 7A103.a. this entry to any of the eight destinations listed in § 740.20(c)(2) of the EAR. 7D103 ‘‘Software’’ specially designed for LIST OF ITEMS CONTROLLED modelling or simulation of the ‘‘guidance Unit: N/A sets’’ controlled by 7A117 or for their de- Related Controls: (1) See also 7E101 and 7E994. sign integration with ‘‘missiles’’. (This (2) The ‘‘technology’’ related to 7A003.b, entry is subject to the export licensing 7A005, 7A103.b, 7A105, 7A106, 7A115, 7A116, authority of the U.S. Department of State, 7A117, 7B103, software in 7D101 specified in Directorate of Defense Trade Controls. the Related Controls paragraph of ECCN See 22 CFR part 121.) 7D101, 7D102.a, or 7D103 are subject to the 7D994 ‘‘Software’’, n.e.s., for the ‘‘develop- export licensing authority of the U.S. De- ment’’, ‘‘production’’, or ‘‘use’’ of naviga- partment of State, Directorate of Defense tion, airborne communication and other Trade Controls (see 22 CFR part 121). avionics. Related Definitions: Refer to the Related Defi- LICENSE REQUIREMENTS nitions for 7B001 for ‘Maintenance Level I’ Reason for Control: AT or ‘Maintenance Level II’. Items: The list of items controlled is con- Control(s) Country chart tained in the ECCN heading

AT applies to entire entry ...... AT Column 1 7E002 ‘‘Technology’’ according to the Gen- eral Technology Note for the ‘‘produc- LICENSE EXCEPTIONS tion’’ of equipment controlled by 7A (ex- CIV: N/A cept 7A994) or 7B (except 7B994). TSR: N/A LICENSE REQUIREMENTS LIST OF ITEMS CONTROLLED Reason for Control: NS, MT, RS, AT Unit: $ value Related Controls: N/A Control(s) Country chart Related Definitions: N/A NS applies to ‘‘technology’’ for equip- NS Column 1. Items: The list of items controlled is con- ment controlled by 7A001 to tained in the ECCN heading. 7A004, 7A006, 7A008 or 7B001 to 7B003. E. TECHNOLOGY MT applies to technology for equip- MT Column 1. ment controlled for MT reasons. 7E001 ‘‘Technology’’ according to the Gen- MT does not apply to ‘‘technology’’ eral Technology Note for the ‘‘develop- for equipment controlled by 7A008. ment’’ of equipment or ‘‘software’’, con- MT does apply to ‘‘technology’’ for trolled by 7A (except 7A994), 7B (except equipment specified in 7A001, 7B994) or 7D (except 7D994). 7A002 or 7A003.d that meets or LICENSE REQUIREMENTS exceeds parameters of 7A101, Reason for Control: NS, MT, RS, AT 7A102 or 7A103. RS applies to ‘‘technology’’ for iner- RS Column 1. Control(s) Country chart tial navigation systems, inertial equipment and specially designed NS applies to ‘‘technology’’ for items NS Column 1. components therefor, for civil air- controlled by 7A001 to 7A004, craft. 7A006, 7A008, 7B001 to 7B003, AT applies to entire entry ...... AT Column 1. 7D001 to 7D003. MT applies to technology for equip- MT Column 1. LICENSE EXCEPTIONS ment controlled for MT reasons. CIV: N/A MT does not apply to ‘‘technology’’ TSR: N/A for equipment controlled by 7A008. STA: License Exception STA may not be MT does apply to ‘‘technology’’ for used to ship or transmit any technology in equipment specified in 7A001, 7A002 or 7A003.d that meets or this entry to any of the eight destinations exceeds parameters of 7A101, listed in § 740.20(c)(2) of the EAR. 7A102 or 7A103. LIST OF ITEMS CONTROLLED

846 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Unit: N/A a.1. Airborne automatic direction finding Related Controls: (1) See also 7E102 and 7E994. equipment operating at frequencies exceed- (2) The ‘‘technology’’ related to 7A003.b, ing 5 MHZ; 7A005, 7A103.b, 7A105, 7A106, 7A115, 7A116, a.2. Air data systems based on surface stat- 7A117, or 7B103 are subject to the export li- ic data only, i.e., which dispense with con- censing authority of the U.S. Department ventional air data probes; of State, Directorate of Defense Trade Con- a.3. Three dimensional displays for ‘‘air- trols (see 22 CFR part 121) craft’’; Related Definitions: N/A a.4. [Reserved] Items: The list of items controlled is con- a.5. Electric actuators (i.e., tained in the ECCN heading electromechanical, electrohydrostatic and integrated actuator package) specially de- 7E003 ‘‘Technology’’ according to the Gen- signed for ‘‘primary flight control’’; eral Technology Note for the repair, re- a.6. ‘‘Flight control optical sensor array’’ furbishing or overhaul of equipment con- specially designed for implementing ‘‘active trolled by 7A001 to 7A004. flight control systems’’; or LICENSE REQUIREMENTS a.7. ‘‘DBRN’’ systems designed to navigate Reason for Control: NS, MT, AT underwater, using sonar or gravity databases, that provide a positioning accuracy Control(s) Country chart equal to or less (better) than 0.4 nautical NS applies to entire entry ...... NS Column 1 miles; MT applies to entire entry ...... MT Column 1 b. ‘‘Development’’ ‘‘technology’’, as fol- AT applies to entire entry ...... AT Column 1 lows, for ‘‘active flight control systems’’ (including fly-by-wire or fly-by-light): LICENSE EXCEPTIONS b.1. Configuration design for inter- CIV: N/A connecting multiple microelectronic proc- TSR: N/A essing elements (on-board computers) to LIST OF ITEMS CONTROLLED achieve ‘‘real time processing’’ for control Unit: N/A law implementation; Related Controls: See also 7E994. This entry b.2. Control law compensation for sensor does not control maintenance ‘‘tech- location or dynamic airframe loads, i.e., nology’’ directly associated with calibra- compensation for sensor vibration environ- tion, removal or replacement of damaged ment or for variation of sensor location from or unserviceable LRUs and SRAs of a the center of gravity; ‘‘civil aircraft’’ as described in Mainte- b.3. Electronic management of data redun- nance Level I or Maintenance Level II dancy or systems redundancy for fault detec- Related Definition: Refer to the Related Defi- tion, fault tolerance, fault isolation or re- nitions for 7B001 configuration; Items: The list of items controlled is con- NOTE: 7E004.b.3. does not control ‘‘tech- tained in the ECCN heading nology’’ for the design of physical redundancy. 7E004 Other ‘‘technology’’ as follows (see b.4. Flight controls that permit inflight re- List of Items Controlled). configuration of force and moment controls LICENSE REQUIREMENTS for real time autonomous air vehicle control; Reason for Control: NS, MT, AT b.5. Integration of digital flight control, navigation and propulsion control data, into Control(s) Country chart a digital flight management system for NS applies to entire entry ...... NS Column 1. ‘‘total control of flight’’; MT applies to entire entry, except MT Column 1. NOTE: 7E004.b.5 does not control: 7E004.a.7. 1. ‘‘Development’’ ‘‘technology’’ for inte- AT applies to entire entry ...... AT Column 1. gration of digital flight control, navigation and propulsion control data, into a digital LICENSE EXCEPTIONS flight management system for ‘‘flight path CIV: N/A optimization’’; TSR: N/A 2. ‘‘Development’’ ‘‘technology’’ for ‘‘air- LIST OF ITEMS CONTROLLED craft’’ flight instrument systems integrated Unit: N/A solely for VOR, DME, ILS or MLS navigation Related Controls: See also 7E104 and 7E994 or approaches. Related Definitions: ‘‘Primary flight control’’ b.6. Full authority digital flight control or means an ‘‘aircraft’’ stability or maneu- multisensor mission management systems, vering control using force/moment genera- employing ‘‘expert systems’’; tors, i.e., aerodynamic control surfaces or N.B.: For ‘‘technology’’ for ‘‘Full Author- propulsive thrust vectoring. ity Digital Engine Control Systems’’ Items: (‘‘FADEC Systems’’), see ECCN 9E003.h. a. ‘‘Technology’’ for the ‘‘development’’ or c. ‘‘Technology’’ for the ‘‘development’’ of ‘‘production’’ of any of the following: helicopter systems, as follows:

847 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

c.1. Multi-axis fly-by-wire or fly-by-light Related Definitions: N/A controllers, which combine the functions of Items: a. Design ‘‘technology’’ for shielding at least two of the following into one con- systems; trolling element: b. Design ‘‘technology’’ for the configura- c.1.a. Collective controls; tion of hardened electrical circuits and sub- c.1.b. Cyclic controls; systems; c.1.c. Yaw controls; c. Design ‘‘technology’’ for the determina- c.2. ‘‘Circulation-controlled anti-torque or tion of hardening criteria of .a and .b of this circulation-controlled directional control entry. systems’’; c.3. Rotor blades incorporating ‘‘variable 7E104 Design ‘‘Technology’’ for the integra- geometry airfoils’’, for use in systems using tion of the flight control, guidance, and individual blade control. propulsion data into a flight management system, designed or modified for ‘‘mis- 7E101 ‘‘Technology’’, according to the Gen- siles’’, for optimization of rocket system eral Technology Note for the ‘‘use’’ of trajectory. (This entry is subject to the equipment controlled by 7A001 to 7A006, export licensing authority of the U.S. De- 7A101 to 7A107, 7A115 to 7A117, 7B001, partment of State, Directorate of Defense 7B002, 7B003, 7B101, 7B102, 7B103, or Trade Controls. See 22 CFR part 121.) 7D101 to 7D103. LICENSE REQUIREMENTS 7E994 ‘‘Technology’’, n.e.s., for the ‘‘develop- Reason for Control: MT, RS, AT ment’’, ‘‘production’’, or ‘‘use’’ of navigation, airborne communication, and other Control(s) Country chart avionics equipment. LICENSE REQUIREMENTS MT applies to entire entry ...... MT Column 1 Reason for Control: AT RS applies to ‘‘use’’ of inertial navi- RS Column 1 gation systems, inertial equipment Control(s) Country chart and specially designed components therefor, for civil aircraft. AT applies to entire entry ...... AT Column 1 AT applies to entire entry ...... AT Column 1 LICENSE EXCEPTIONS LICENSE EXCEPTIONS CIV: N/A CIV: N/A TSR: N/A TSR: N/A LIST OF ITEMS CONTROLLED LIST OF ITEMS CONTROLLED Unit: N/A Unit: N/A Related Controls: Technology specific to the Related Controls: The ‘‘technology’’ related to development and production of QRS11 sen- 7A003.b, 7A005, 7A103.b, 7A105, 7A106, 7A115, sors remains subject to the licensing juris- 7A116, 7A117, 7B103, software specified in diction of the Department of State (see the Related Controls paragraph of ECCN ECCN 7A994, Related Controls). 7D101, 7D102.a, or 7D103 are subject to the Related Definitions: N/A export licensing authority of the U.S. De- Items: The list of items controlled is con- partment of State, Directorate of Defense tained in the ECCN heading Trade Controls. (See 22 CFR part 121.) Related Definitions: N/A EAR99 Items subject to the EAR that are Items: The list of items controlled is con- not elsewhere specified in this CCL Cat- tained in the ECCN heading egory or in any other category in the CCL are designated by the number EAR99. 7E102 ‘‘Technology’’ for protection of avionics and electrical subsystems against CATEGORY 8—MARINE electromagnetic pulse (EMP) and electromagnetic interference (EMI) hazards, A. SYSTEMS, EQUIPMENT AND COMPONENTS from external sources, as follows (see List 8A001 Submersible vehicles and surface ves- of Items Controlled). sels, as follows (see List of Items Con- LICENSE REQUIREMENTS trolled). Reason for Control: MT, AT LICENSE REQUIREMENTS Reason for Control: NS, AT Control(s) Country chart Control(s) Country chart MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 NS applies to entire entry ...... NS Column 2 AT applies to entire entry ...... AT Column 1 LICENSE EXCEPTIONS CIV: N/A LICENSE REQUIREMENT NOTES: See § 743.1 of TSR: N/A the EAR for reporting requirements for ex- LIST OF ITEMS CONTROLLED ports under License Exceptions. Unit: N/A LICENSE EXCEPTIONS Related Controls: N/A LVS: $5000; N/A for 8A001.b and .d

848 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

GBS: N/A e.1. Dynamic positioning systems capable CIV: N/A of position keeping within 20 m of a given STA: License Exception STA may not be point provided by the navigation system; or used to ship any commodity in 8A001.b, e.2. Seafloor navigation and navigation in- 8A001.c or 8A001.d to any of the eight des- tegration systems, for depths exceeding 1,000 tinations listed in § 740.20(c)(2) of the EAR. m and with positioning accuracies to within LIST OF ITEMS CONTROLLED 10 m of a predetermined point; Unit: Number f. Surface-effect vehicles (fully skirted va- Related Controls: For the control status of riety) having all of the following: equipment for submersible vehicles, see: f.1. Maximum design speed, fully loaded, Category 5, Part 2 ‘‘Information Security’’ exceeding 30 knots in a significant wave for encrypted communication equipment; height of 1.25 m (Sea State 3) or more; Category 6 for sensors; Categories 7 and 8 f.2. Cushion pressure exceeding 3,830 Pa; for navigation equipment; Category 8A for and underwater equipment. f.3. Light-ship-to-full-load displacement Related Definitions: N/A ratio of less than 0.70; Items: g. Surface-effect vehicles (rigid sidewalls) a. Manned, tethered submersible vehicles with a maximum design speed, fully loaded, exceeding 40 knots in a significant wave designed to operate at depths exceeding 1,000 height of 3.25 m (Sea State 5) or more; m; h. Hydrofoil vessels with active systems b. Manned, untethered submersible vehi- for automatically controlling foil systems, cles having any of the following: with a maximum design speed, fully loaded, b.1. Designed to ‘operate autonomously’ of 40 knots or more in a significant wave and having a lifting capacity of all the fol- height of 3.25 m (Sea State 5) or more; lowing: i. ‘Small waterplane area vessels’ having b.1.a. 10% or more of their weight in air; any of the following: and i.1. Full load displacement exceeding 500 b.1.b. 15 kN or more; tonnes with a maximum design speed, fully b.2. Designed to operate at depths exceed- loaded, exceeding 35 knots in a significant ing 1,000 m; or wave height of 3.25 m (Sea State 5) or more; b.3. Having all of the following: or b.3.a. Designed to continuously ‘operate i.2. Full load displacement exceeding 1,500 autonomously’ for 10 hours or more; and tonnes with a maximum design speed, fully b.3.b. ‘Range’ of 25 nautical miles or more; loaded, exceeding 25 knots in a significant TECHNICAL NOTES: 1. For the purposes of wave height of 4 m (Sea State 6) or more. 8A001.b, ‘operate autonomously’ means fully TECHNICAL NOTE: A ‘small waterplane area submerged, without snorkel, all systems vessel’ is defined by the following formula: working and cruising at minimum speed at Waterplane area at an operational design which the submersible can safely control its draft less than 2 × (displaced volume at the depth dynamically by using its depth planes operational design draft)2/3. only, with no need for a support vessel or support base on the surface, sea-bed or shore, 8A002 Marine systems, equipment and com- and containing a propulsion system for sub- ponents, as follows (see List of Items Con- merged or surface use. trolled). 2. For the purposes of 8A001.b, ‘range’ LICENSE REQUIREMENTS means half the maximum distance a sub- Reason for Control: NS, AT mersible vehicle can ‘operate autonomously’. c. Unmanned, tethered submersible vehi- Control(s) Country chart cles designed to operate at depths exceeding NS applies to entire entry ...... NS Column 2 1,000 m and having any of the following: AT applies to entire entry ...... AT Column 1 c.1. Designed for self-propelled maneuver using propulsion motors or thrusters con- LICENSE REQUIREMENT NOTES: See § 743.1 of trolled by 8A002.a.2; or the EAR for reporting requirements for ex- c.2. Fiber optic data link; ports under License Exceptions. d. Unmanned, untethered submersible vehi- LICENSE EXCEPTIONS cles having any of the following: LVS:$5000; N/A for 8A002.o.3.b d.1. Designed for deciding a course relative GBS:Yes for 8A002.e.2 and manipulators for to any geographical reference without real- civil end-uses (e.g., underwater oil, gas or time human assistance; mining operations) controlled by 8A002.i.2 d.2. Acoustic data or command link; or and having 5 degrees of freedom of move- d.3. Optical data or command link exceed- ment; and 8A002.r. ing 1,000 m; CIV:Yes for 8A002.e.2 and manipulators for e. Ocean salvage systems with a lifting ca- civil end-uses (e.g., underwater oil, gas or pacity exceeding 5 MN for salvaging objects mining operations) controlled by 8A002.i.2 from depths exceeding 250 m and having any and having 5 degrees of freedom of move- of the following: ment; and 8A002.r.

849 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

STA: License Exception STA may not be d.1.c. Low light level television cameras used to ship any commodity in 8A002.b, h, specially designed or modified for under- j, o.3, or p to any of the eight destinations water use and having all of the following: listed in § 740.20(c)(2) of the EAR. d.1.c.1. Image intensifier tubes controlled LIST OF ITEMS CONTROLLED by 6A002.a.2.a; and Unit: Systems and equipment in number, d.1.c.2. More than 150,000 ‘‘active pixels’’ components in $ value per solid state area array; Related Controls: See also 8A992 and for un- TECHNICAL NOTE: ‘Limiting resolution’ is a derwater communications systems, see measure of horizontal resolution usually ex- Category 5, Part I—Telecommunications). pressed in terms of the maximum number of 8A002 does not control closed and semi- lines per picture height discriminated on a closed circuit (rebreathing) apparatus that test chart, using IEEE Standard 208/1960 or is controlled under 8A018.a. See also 8A992 any equivalent standard. for self-contained underwater breathing d.2. Systems specially designed or modified apparatus that is not controlled by 8A002 for remote operation with an underwater ve- or released for control by the 8A002.q Note. hicle, employing techniques to minimize the Related Definitions: N/A effects of back scatter and including range- Items: a. Systems, equipment and compo- gated illuminators or ‘‘laser’’ systems; nents, specially designed or modified for sub- e. Photographic still cameras specially de- mersible vehicles and designed to operate at signed or modified for underwater use below depths exceeding 1,000 m, as follows: 150 m, with a film format of 35 mm or larger and having any of the following: a.1. Pressure housings or pressure hulls e.1. Annotation of the film with data pro- with a maximum inside chamber diameter vided by a source external to the camera; exceeding 1.5 m; e.2. Automatic back focal distance correc- a.2. Direct current propulsion motors or tion; or thrusters; e.3. Automatic compensation control spe- a.3. Umbilical cables, and connectors cially designed to permit an underwater therefor, using optical fiber and having syn- camera housing to be usable at depths ex- thetic strength members; ceeding 1,000 m; a.4. Components manufactured from mate- f. Electronic imaging systems, specially rial specified by ECCN 8C001; designed or modified for underwater use, ca- TECHNICAL NOTE: The objective of 8A002.a.4 pable of storing digitally more than 50 ex- should not be defeated by the export of ‘syn- posed images; tactic foam’ controlled by 8C001 when an in- NOTE: 8A002.f does not control digital cam- termediate stage of manufacture has been eras specially designed for consumer pur- performed and it is not yet in its final com- poses, other than those employing electronic ponent form. image multiplication techniques. b. Systems specially designed or modified g. Light systems specially designed or for the automated control of the motion of modified for underwater use, as follows: submersible vehicles controlled by 8A001, g.1. Stroboscopic light systems capable of a using navigation data, having closed loop light output energy of more than 300 J per servo-controls and having any of the fol- flash and a flash rate of more than 5 flashes lowing: per second; b.1. Enabling a vehicle to move within 10 m g.2. Argon arc light systems specially de- of a predetermined point in the water col- signed for use below 1,000 m; umn; h. ‘‘Robots’’ specially designed for under- b.2. Maintaining the position of the vehicle water use, controlled by using a dedicated within 10 m of a predetermined point in the computer and having any of the following: water column; or h.1. Systems that control the ‘‘robot’’ b.3. Maintaining the position of the vehicle using information from sensors which meas- within 10 m while following a cable on or ure force or torque applied to an external ob- under the seabed; ject, distance to an external object, or tac- c. Fiber optic hull penetrators or connec- tile sense between the ‘‘robot’’ and an exter- tors; nal object; or d. Underwater vision systems as follows: h.2. The ability to exert a force of 250 N or d.1. Television systems and television cam- more or a torque of 250 Nm or more and eras, as follows: using titanium based alloys or ‘‘composite’’ d.1.a. Television systems (comprising cam- ‘‘fibrous or filamentary materials’’ in their era, monitoring and signal transmission structural members; equipment) having a ‘limiting resolution’ i. Remotely controlled articulated manipu- when measured in air of more than 800 lines lators specially designed or modified for use and specially designed or modified for re- with submersible vehicles and having any of mote operation with a submersible vehicle; the following: d.1.b. Underwater television cameras hav- i.1. Systems which control the manipulator ing a ‘limiting resolution’ when measured in using information from sensors which meas- air of more than 1,100 lines; ure any of the following:

850 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

i.1.a. Torque or force applied to an external j.4. Stirling cycle engine air independent object; or power systems having all of the following: i.1.b. Tactile sense between the manipu- j.4.a. Devices or enclosures, specially de- lator and an external object; or signed for underwater noise reduction in fre- i.2. Controlled by proportional master- quencies below 10 kHz, or special mounting slave techniques or by using a dedicated devices for shock mitigation; and computer and having 5 degrees of ‘freedom of j.4.b. Specially designed exhaust systems movement’ or more; which discharge the products of combustion TECHNICAL NOTE: Only functions having against a pressure of 100 kPa or more; proportional control using positional feed- k. Skirts, seals and fingers, having any of back or by using a dedicated computer are the following: counted when determining the number of de- k.1. Designed for cushion pressures of 3,830 grees of ‘freedom of movement’. Pa or more, operating in a significant wave j. Air independent power systems specially height of 1.25 m (Sea State 3) or more and designed for underwater use, as follows: specially designed for surface effect vehicles j.1. Brayton or Rankine cycle engine air (fully skirted variety) controlled by 8A001.f; independent power systems having any of or the following: k.2. Designed for cushion pressures of 6,224 j.1.a. Chemical scrubber or absorber sys- Pa or more, operating in a significant wave tems, specially designed to remove carbon height of 3.25 m (Sea State 5) or more and dioxide, carbon monoxide and particulates specially designed for surface effect vehicles from recirculated engine exhaust; (rigid sidewalls) controlled by 8A001.g; j.1.b. Systems specially designed to use a monoatomic gas; l. Lift fans rated at more than 400 kW and j.1.c. Devices or enclosures, specially de- specially designed for surface effect vehicles signed for underwater noise reduction in fre- controlled by 8A001.f or 8A001.g; quencies below 10 kHz, or special mounting m. Fully submerged subcavitating or devices for shock mitigation; or supercavitating hydrofoils, specially de- j.1.d. Systems having all of the following: signed for vessels controlled by 8A001.h; j.1.d.1. Specially designed to pressurize the n. Active systems specially designed or products of reaction or for fuel reformation; modified to control automatically the sea- j.1.d.2. Specially designed to store the induced motion of vehicles or vessels, con- products of the reaction; and trolled by 8A001.f, 8A001.g, 8A001.h or 8A001.i; j.1.d.3. Specially designed to discharge the o. Propellers, power transmission systems, products of the reaction against a pressure of power generation systems and noise reduc- 100 kPa or more; tion systems, as follows: j.2. Diesel cycle engine air independent sys- o.1. Water-screw propeller or power trans- tems having all of the following: mission systems, specially designed for sur- j.2.a. Chemical scrubber or absorber sys- face effect vehicles (fully skirted or rigid tems, specially designed to remove carbon sidewall variety), hydrofoils or ‘small dioxide, carbon monoxide and particulates waterplane area vessels’ controlled by from recirculated engine exhaust; 8A001.f, 8A001.g, .8A001.h or 8A001.i, as fol- j.2.b. Systems specially designed to use a lows: monoatomic gas; o.1.a. Supercavitating, super-ventilated, j.2.c. Devices or enclosures, specially de- partially-submerged or surface piercing pro- signed for underwater noise reduction in fre- pellers, rated at more than 7.5 MW; quencies below 10 kHz, or special mounting o.1.b. Contrarotating propeller systems devices for shock mitigation; and rated at more than 15 MW; j.2.d. Specially designed exhaust systems o.1.c. Systems employing pre-swirl or post- that do not exhaust continuously the prod- swirl techniques, for smoothing the flow into ucts of combustion; a propeller; j.3. Fuel cell air independent power sys- o.1.d. Light-weight, high capacity (K factor tems with an output exceeding 2 kW and exceeding 300) reduction gearing; having any of the following: j.3.a. Devices or enclosures, specially de- o.1.e. Power transmission shaft systems in- signed for underwater noise reduction in fre- corporating ‘‘composite’’ material compo- quencies below 10 kHz, or special mounting nents and capable of transmitting more than devices for shock mitigation; or 1 MW; j.3.b. Systems having all of the following: o.2. Water-screw propeller, power genera- j.3.b.1. Specially designed to pressurize the tion systems or transmission systems, de- products of reaction or for fuel reformation; signed for use on vessels, as follows: j.3.b.2. Specailly designed to store the o.2.a. Controllable-pitch propellers and hub products of the reaction; and assemblies, rated at more than 30 MW; j.3.b.3. Specially designed to discharge the o.2.b. Internally liquid-cooled electric pro- products of the reaction against a pressure of pulsion engines with a power output exceed- 100 kPa or more; ing 2.5 MW;

851 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

o.2.c. ‘‘Superconductive’’ propulsion en- Control(s) Country chart gines or permanent magnet electric propulsion engines, with a power output exceeding UN applies to entire entry ...... Iraq, North Korea, and 0.1 MW; Rwanda. o.2.d. Power transmission shaft systems incorporating ‘‘composite’’ material compo- LICENSE EXCEPTIONS nents and capable of transmitting more than LVS: $5000, except N/A for Rwanda 2 MW; GBS: N/A o.2.e. Ventilated or base-ventilated pro- CIV: N/A peller systems, rated at more than 2.5 MW; LIST OF ITEMS CONTROLLED o.3. Noise reduction systems designed for Unit: $ value use on vessels of 1,000 tonnes displacement or Related Controls: See also 8A002 and 8A992. more, as follows: Related Definitions: N/A o.3.a. Systems that attenuate underwater Items: a. Closed and semi-closed circuit (re- noise at frequencies below 500 Hz and consist breathing) apparatus specially designed for of compound acoustic mounts for the acous- military use, and specially designed compo- tic isolation of diesel engines, diesel gener- nents for use in the conversion of open-cir- ator sets, gas turbines, gas turbine generator cuit apparatus to military use; sets, propulsion motors or propulsion reduc- b. Naval equipment, as follows: tion gears, specially designed for sound or vi- b.1. Diesel engines of 1,500 hp and over with bration isolation and having an intermediate rotary speed of 700 rpm or over specially de- mass exceeding 30% of the equipment to be signed for submarines, and specially de- mounted; signed components therefor; o.3.b. ‘Active noise reduction or cancella- b.2. Electric motors specially designed for tion systems’ or magnetic bearings, specially submarines, i.e., over 1,000 hp, quick revers- designed for power transmission systems; ing type, liquid cooled, and totally enclosed, and specially designed components therefor; TECHNICAL NOTE: ‘Active noise reduction or cancellation systems’ incorporate electronic b.3. Nonmagnetic diesel engines, 50 hp and control systems capable of actively reducing over, specially designed for military pur- equipment vibration by the generation of poses with nonmagnetic content in excess of anti-noise or anti-vibration signals directly 75 percent of total mass and specially de- to the source. signed components therefor; p. Pumpjet propulsion systems having all b.4. Submarine and torpedo nets and spe- of the following: cially designed components therefor. p.1. Power output exceeding 2.5 MW; and 8A918 Marine Boilers. p.2. Using divergent nozzle and flow condi- LICENSE REQUIREMENTS tioning vane techniques to improve propul- Reason for Control: RS, AT, UN sive efficiency or reduce propulsion-generated underwater-radiated noise; Controls Country chart q. Underwater swimming and diving equipment as follows; RS applies to entire entry ...... RS Column 2. q.1. Closed circuit rebreathers; AT applies to entire entry ...... AT Column 1. UN applies to entire entry ...... Iraq, North Korea, and q.2. Semi-closed circuit rebreathers; Rwanda. NOTE: 8A002.q does not control individual rebreathers for personal use when accom- LICENSE EXCEPTIONS panying their users. LVS: $5000, except N/A for Rwanda r. Diver deterrent acoustic systems spe- GBS: N/A cially designed or modified to disrupt divers CIV: N/A and having a sound pressure level equal to or LIST OF ITEMS CONTROLLED μ exceeding 190 dB (reference 1 Pa at 1 m) at Unit: $ value frequencies of 200 Hz and below. Related Controls: N/A NOTE 1: 8A002.r does not apply to diver de- Related Definitions: N/A terrent systems based on under-water-explo- Items: a. Marine boilers designed to have any sive devices, air guns or combustible sources. of the following characteristics: NOTE 2: 8A002.r includes diver deterrent a.1. Heat release rate (at maximum rating) acoustic systems that use spark gap equal to or in excess of 190,000 BTU per hour sources,alsoknown as plasma sound sources. per cubic foot of furnace volume; or a.2. Ratio of steam generated in pounds per 8A018 Items on the Wassenaar Arrange- hour (at maximum rating) to the dry weight ment Munitions List. of the boiler in pounds equal to or in excess LICENSE REQUIREMENTS of 0.83. Reason for Control: NS, AT, UN b. Components, parts, accessories, and at- Control(s) Country chart tachments for the above.

NS applies to entire entry ...... NS Column 1. 8A992 Vessels, marine systems or equip- AT applies to entire entry ...... AT Column 1. ment, not controlled by 8A001, 8A002 or

852 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

8A018, and specially designed parts B. TEST, INSPECTION AND PRODUCTION therefor. EQUIPMENT LICENSE REQUIREMENTS 8B001 Water tunnels having a background Reason for Control: AT noise of less than 100 dB (reference 1 μPa, 1 Hz) in the frequency range from 0 Control(s) Country chart to 500 Hz and designed for measuring AT applies to entire entry ...... AT Column 1 acoustic fields generated by a hydro-flow around propulsion system models. LICENSE REQUIREMENTS LICENSE EXCEPTIONS Reason for Control: NS, AT LVS: N/A GBS: N/A Control(s) Country chart CIV: N/A LIST OF ITEMS CONTROLLED NS applies to entire entry ...... NS Column 2 AT applies to entire entry ...... AT Column 1 Unit: $ value Related Controls: See also 8A002 and 8A018 LICENSE EXCEPTIONS Related Definitions: N/A LVS: $3000 Items: a. Underwater vision systems, as fol- GBS: N/A lows: CIV: N/A a.1. Television systems (comprising cam- LIST OF ITEMS CONTROLLED era, lights, monitoring and signal trans- Unit: $ value mission equipment) having a limiting resolu- Related Controls: N/A tion when measured in air of more than 500 Related Definitions: N/A lines and specially designed or modified for Items: The list of items controlled is con- remote operation with a submersible vehicle; tained in the ECCN heading or a.2. Underwater television cameras having C. MATERIALS a limiting resolution when measured in air 8C001 ‘Syntactic foam’ designed for under- of more than 700 lines; water use and having all of the following TECHNICAL NOTE: Limiting resolution in (see List of Items Controlled). television is a measure of horizontal resolu- LICENSE REQUIREMENTS tion usually expressed in terms of the max- Reason for Control: NS, AT imum number of lines per picture height discriminated on a test chart, using IEEE Control(s) Country chart Standard 208/1960 or any equivalent standard. NS applies to entire entry ...... NS Column 2 b. Photographic still cameras specially de- AT applies to entire entry ...... AT Column 1 signed or modified for underwater use, having a film formate of 35 mm or larger, and LICENSE EXCEPTIONS having autofocussing or remote focussing LVS: N/A specially designed for underwater use; GBS: N/A c. Stroboscopic light systems, specially de- CIV: N/A signed or modified for underwater use, capa- LIST OF ITEMS CONTROLLED ble of a light output energy of more than 300 Unit: $ value J per flash; Related Controls: See also 8A002.a.4. d. Other underwater camera equipment, Related Definition: ‘Syntactic foam’ consists n.e.s.; of hollow spheres of plastic or glass embedded in a resin matrix. e. Other submersible systems, n.e.s.; Items: a. Designed for marine depths exceed- f. Vessels, n.e.s., including inflatable boats, ing 1,000 m; and and specially designed components therefor, b. A density less than 561 kg/m3. n.e.s. g. Marine engines (both inboard and out- D. SOFTWARE board) and submarine engines, n.e.s.; and specially designed parts therefor, n.e.s.; 8D001 ‘‘Software’’ specially designed or modified for the ‘‘development’’, ‘‘produc- h. Other self-contained underwater breath- tion’’ or ‘‘use’’ of equipment or materials, ing apparatus (scuba gear) and related equip- controlled by 8A (except 8A018 or 8A992), ment, n.e.s.; 8B or 8C. i. Life jackets, inflation cartridges, com- LICENSE REQUIREMENTS passes, wetsuits, masks, fins, weight belts, Reason for Control: NS, AT and dive computers; j. Underwater lights and propulsion equip- Control(s) Country chart ment; k. Air compressors and filtration systems NS applies to entire entry ...... NS Column 1 AT applies to entire entry ...... AT Column 1 specially designed for filling air cylinders.

853 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

LICENSE REQUIREMENT NOTES: See § 743.1 of Control(s) Country chart the EAR for reporting requirements for exports under License Exceptions. AT applies to entire entry ...... AT Column 1 LICENSE EXCEPTIONS CIV: N/A LICENSE EXCEPTIONS TSR: Yes, except for exports or reexports to CIV: N/A destinations outside of Austria, Belgium, TSR: N/A Canada, Denmark, Finland, France, Ger- LIST OF ITEMS CONTROLLED many, Greece, Ireland, Italy, Japan, Lux- Unit: $ value embourg, the Netherlands, Portugal, Related Controls: N/A Spain, Sweden, or the United Kingdom of Related Definitions: N/A ‘‘software’’ specially designed for the ‘‘de- Items: The list of items controlled is con- velopment’’ or ‘‘production’’ of equipment tained in the ECCN heading controlled by 8A001.b, 8A001.d, or 8A002.o.3.b. E. TECHNOLOGY STA: License Exception STA may not be 8E001 ‘‘Technology’’ according to the Gen- used to ship or transmit ‘‘software’’ spe- eral Technology Note for the ‘‘develop- cially designed for the ‘‘development’’ or ment’’ or ‘‘production’’ of equipment or ‘‘production’’ of equipment in 8A001.b, materials, controlled by 8A (except 8A018 8A001.c, 8A001.d, 8A002.b, 8A002.h, 8A002.j, or 8A992), 8B or 8C. 8A002.o.3 or 8A002.p to any of the eight destinations listed in § 740.20(c)(2) of the EAR. LICENSE REQUIREMENTS Reason for Control: NS, AT LIST OF ITEMS CONTROLLED Unit: $ value Control(s) Country chart Related Controls: N/A Related Definitions: N/A NS applies to entire entry ...... NS Column 1 Items: The list of items controlled is con- AT applies to entire entry ...... AT Column 1 tained in the ECCN heading LICENSE REQUIREMENT NOTES: See § 743.1 of 8D002 Specific ‘‘software’’ specially designed the EAR for reporting requirements for ex- or modified for the ‘‘development’’, ‘‘pro- ports under License Exceptions. duction’’, repair, overhaul or refurbishing LICENSE EXCEPTIONS (re-machining) of propellers specially de- CIV: N/A signed for underwater noise reduction. TSR: Yes, except for exports or reexports to LICENSE REQUIREMENTS destinations outside of Austria, Bel- Reason for Control: NS, AT gium,Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Japan, Control(s) Country chart Luxembourg, the Netherlands, Portugal, Spain, Sweden, or the United Kingdom of NS applies to entire entry ...... NS Column 1 ‘‘technology’’ for items controlled by AT applies to entire entry ...... AT Column 1 8A001.b, 8A001.d or 8A002.o.3.b. STA: License Exception STA may not be LICENSE REQUIREMENT NOTES: See § 743.1 of used to ship or transmit ‘‘technology’’ ac- the EAR for reporting requirements for ex- cording to the General Technology Note ports under License Exceptions. for the ‘‘development’’ or ‘‘production’’ of LICENSE EXCEPTIONS equipment specified by 8A001.b, 8A001.c, CIV: N/A 8A001.d, 8A002.b, 8A002.h, 8A002.j, 8A002.o.3 TSR: Yes or 8A002.p to any of the eight destinations STA: License Exception STA may not be listed in § 740.20(c)(2) of the EAR. used to ship or transmit any software in LIST OF ITEMS CONTROLLED this entry to any of the eight destinations Unit: N/A listed in § 740.20(c)(2) of the EAR. Related Controls: N/A LIST OF ITEMS CONTROLLED Related Definitions: N/A Unit: $ value Items: The list of items controlled is con- Related Controls: See also 8D992 tained in the ECCN heading Related Definitions: N/A Items: The list of items controlled is con- 8E002 Other ‘‘technology’’ as follows (see tained in the ECCN heading List of Items Controlled). LICENSE REQUIREMENTS 8D992 ‘‘Software’’ specially designed or Reason for Control: NS, AT modified for the ‘‘development’’, ‘‘production’’ or ‘‘use’’ of equipment controlled by Control(s) Country chart 8A992. NS applies to entire entry ...... NS Column 1 LICENSE REQUIREMENTS AT applies to entire entry ...... AT Column 1 Reason for Control: AT

854 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

LICENSE REQUIREMENT NOTES: See § 743.1 of LICENSE EXCEPTIONS the EAR for reporting requirements for ex- LVS: N/A ports under License Exceptions. GBS: N/A LICENSE EXCEPTIONS CIV: N/A CIV: N/A LIST OF ITEMS CONTROLLED TSR: Yes Unit: Number STA: License Exception STA may not be Related Controls: See also 9A101 and 9A991 used to ship or transmit technology in Related Definitions: N/A 8E002.a to any of the eight destinations Items: listed in § 740.20(c)(2) of the EAR. a. Incorporating any of the technologies LIST OF ITEMS CONTROLLED controlled by 9E003.a, 9E003.h, or 9E003.i; or Unit: N/A NOTE: 9A001.a. does not control aero gas Related Controls: See also 8E992 turbine engines which meet all of the fol- Related Definitions: N/A lowing: Items: a. ‘‘Technology’’ for the ‘‘develop- a. Certified by the civil aviation authority ment’’, ‘‘production’’, repair, overhaul or rein a country listed in Supplement No. 1 to furbishing (re-machining) of propellers spe- Part 743; and cially designed for underwater noise reduc- b. Intended to power non-military manned tion; aircraft for which any of the following has b. ‘‘Technology’’ for the overhaul or refur- been issued by a Participating State listed in bishing of equipment controlled by 8A001, Supplement No. 1 to Part 743 for the aircraft 8A002.b, 8A002.j, 8A002.o or 8A002.p. with this specific engine type: 8E992 ‘‘Technology’’ for the ‘‘development’’, b.1. A civil type certificate; or ‘‘production’’ or ‘‘use’’ of equipment con- b.2. An equivalent document recognized by trolled by 8A992. the International Civil Aviation Organiza- LICENSE REQUIREMENTS tion (ICAO). Reason for Control: AT b. Designed to power an aircraft designed to cruise at Mach 1 or higher, for more than Control(s) Country chart 30 minutes.

AT applies to entire entry ...... AT Column 1 9A002 ‘Marine gas turbine engines’ with an ISO standard continuous power rating of LICENSE EXCEPTIONS 24,245 kW or more and a specific fuel con- CIV: N/A sumption not exceeding 0.219 kg/kWh in TSR: N/A the power range from 35 to 100%, and LIST OF ITEMS CONTROLLED Unit: N/A specially designed assemblies and compo- Related Controls: N/A nents therefor. Related Definitions: N/A LICENSE REQUIREMENTS Items: The list of items controlled is con- Reason for Control: NS, AT tained in the ECCN heading Control(s) Country chart

EAR99 Items subject to the EAR that are NS applies to entire entry ...... NS Column 2 not elsewhere specified in this CCL Cat- AT applies to entire entry ...... AT Column 1 egory or in any other category in the CCL are designated by the number EAR99. LICENSE EXCEPTIONS LVS: $5000 CATEGORY 9—AEROSPACE AND PROPULSION GBS: N/A A. SYSTEMS, EQUIPMENT AND COMPONENTS CIV: N/A LIST OF ITEMS CONTROLLED N.B.: For propulsion systems designed or Unit: Number rated against neutron or transient ionizing Related Controls: N/A radiation, see the U.S. Munitions List, 22 Related Definition: The term ‘marine gas tur- CFR part 121. bine engines’ includes those industrial, or aero-derivative, gas turbine engines adapt- 9A001 Aero gas turbine engines having any ed for a ship’s electric power generation or of the following (see List of Items Con- propulsion. trolled). Items: The list of items controlled is con- LICENSE REQUIREMENTS Reason for Control: NS, MT, AT tained in the ECCN heading.

Control(s) Country chart 9A003 Specially designed assemblies and components, incorporating any of the NS applies to entire entry ...... NS Column 1 ‘‘technologies’’ controlled by 9E003.a, MT applies to only to those engines MT Column 1 9E003.h or 9E003.i, for any of the fol- that meet the characteristics listed lowing gas turbine engine propulsion sys- in 9A101. tems (see List of Items Controlled). AT applies to entire entry ...... AT Column 1 LICENSE REQUIREMENTS

855 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Reason for Control: NS, AT cense. Effective March 15, 1999, Department of State jurisdiction shall apply to any in- Control(s) Country chart stance where a replacement license would normally be required from the Department NS applies to entire entry ...... NS Column 2 AT applies to entire entry ...... AT Column 1 of Commerce. Transferring registration or operational control to any foreign person LICENSE EXCEPTIONS of any item controlled by this entry must LVS: $5000 be authorized on a license issued by the GBS: N/A Department of State, Directorate of De- CIV: N/A fense Trade Controls. This requirement ap- LIST OF ITEMS CONTROLLED plies whether the item is physically lo- Unit: Number cated in the United States or abroad. Related Controls: N/A (4) All other ‘‘spacecraft’’ not controlled Related Definition: N/A under 9A004 and their payloads, and spe- Items: cifically designed or modified components, a. Controlled by 9A001; or parts, accessories, attachments, and asso- b. Whose design or production origins are ciated equipment, including ground sup- either countries in Country Group D:1 or un- port equipment, are subject to the export licensing authority of the Department of known to the manufacturer. State unless otherwise transferred to the 9A004 Space launch vehicles and ‘‘space- Department of Commerce via a commodity craft’’. jurisdiction determination by the Depart- LICENSE REQUIREMENTS ment of State. Reason for Control: NS and AT (5) Exporters requesting a license from the Department of Commerce for ‘‘spacecraft’’ Control(s) Country chart and their associated parts and components, other than the international space station, NS applies to entire entry ...... NS Column 1 must provide a statement from the Depart- AT applies to entire entry ...... AT Column 1 ment of State, Directorate of Defense Trade Controls, verifying that the item in- LICENSE EXCEPTIONS tended for export is under the licensing ju- LVS: N/A risdiction of the Department of Commerce. GBS: N/A All specially designed or modified compo- CIV: N/A nents, parts, accessories, attachments, and LIST OF ITEMS CONTROLLED associated equipment for ‘‘spacecraft’’ that Unit: Number have been determined by the Department Related Controls: of State through the commodity jurisdic- (1) See also 9A104. tion process to be under the licensing juris- (2) Space launch vehicles are under the jurisdiction of the Department of Commerce diction of the Department of State. and that are not controlled by any other (3) Effective March 15, 1999, all satellites, in- ECCN on the Commerce Control List will cluding commercial communications sat- be assigned a classification under this ellites, are subject to the ITAR. Effective ECCN 9A004. March 15, 1999, all license applications for (6) Technical data required for the detailed the export of commercial communications design, development, manufacturing, or satellites will be processed by the State production of the international space sta- Department, Directorate of Defense Trade tion (to include specifically designed parts Controls. Retransfer of jurisdiction for and components) remains under the juris- commercial communications satellites and diction of the Department of State. This related items shall not affect the validity control by the ITAR of detailed design, de- of any export license issued by the Depart- velopment, manufacturing or production ment of Commerce prior to March 15, 1999, technology for NASA’s international space or of any export license application filed station does not include that level of tech- under the Export Administration Regula- nical data necessary and reasonable for as- tions on or before March 14, 1999, and sub- surance that a U.S.-built item intended to sequently issued by the Department of operate on NASA’s international space sta- Commerce. Commercial communications tion has been designed, manufactured, and satellites licensed by the Department of tested in conformance with specified re- Commerce, including those already ex- quirements (e.g., operational performance, ported, remain subject to the EAR and all reliability, lifetime, product quality, or de- terms and conditions of issued export li- livery expectations). All technical data censes until their stated expiration date. and all defense services, including all tech- All licenses issued by the Department of nical assistance, for launch of the inter- Commerce for commercial communica- national space station, including launch tions satellites, including licenses issued vehicle compatibility, integration, or proc- after March 15, 1999, remain subject to SI essing data, are controlled and subject to controls throughout the validity of the li- the jurisdiction of the Department of

856 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

State, in accordance with 22 CFR parts 120 ment and components, as follows (see List through 130. of Items Controlled). Items: a. The international space station LICENSE REQUIREMENTS being developed, launched and operated Reason for Control: NS, MT, AT under the supervision of the U.S. National Aeronautics and Space Administration. Control(s) Country Chart Hardware specific to the international space station transferred to the Depart- NS applies to entire entry ...... NS Column 1 MT applies to non-military unmanned MT Column 1 ment of Commerce by commodity jurisdic- air vehicle systems (UAVs) and re- tion action is also included. motely piloted vehicles (RPVs) that b. Specific items as may be determined to are capable of a maximum range be not subject to the ITAR through the com- of at least 300 kilometers (km), re- modity jurisdiction procedure administered gardless of payload. by the Department of State after March 15, AT applies to entire entry ...... AT Column 1 1999. LICENSE EXCEPTIONS 9A005 Liquid rocket propulsion systems LVS: N/A containing any of the systems or compo- GBS: N/A nents, controlled by 9A006.(These items CIV: N/A are subject to the export licensing au- LIST OF ITEMS CONTROLLED thority of the U.S. Department of State, Unit: Equipment in number; parts and acces- Directorate of Defense Trade Controls. sories in $ value See 22 CFR part 121). Related Controls: See the U.S. Munitions List Category VIII (22 CFR part 121). Also see 9A006 Systems and components, specially section 744.3 of the EAR. designed for liquid rocket propulsion sys- Related Definitions: N/A tems. (These items are subject to the ex- Items: a. ‘‘UAVs’’ having any of the fol- port licensing authority of the U.S. De- lowing: partment of State, Directorate of Defense a.1. An autonomous flight control and See Trade Controls. 22 CFR part 121). navigation capability (e.g., an autopilot with 9A007 Solid rocket propulsion systems. an Inertial Navigation System); or (These items are subject to the export li- a.2. Capability of controlled flight out of censing authority of the U.S. Department the direct visual range involving a human of State, Directorate of Defense Trade operator (e.g., televisual remote control); Controls. See 22 CFR part 121.) b. Associated systems, equipment and components, as follows: 9A008 Components specially designed for b.1. Equipment specially designed for re- solid rocket propulsion systems. (These motely controlling the ‘‘UAVs’’ controlled items are subject to the export licensing by 9A012.a.; authority of the U.S. Department of State, b.2. Systems for navigation, attitude, guid- Directorate of Defense Trade Controls. ance or control, other than those controlled See 22 CFR part 121.) in Category 7 and specially designed to provide autonomous flight control or navigation 9A009 Hybrid rocket propulsion systems. capability to ‘‘UAVs’’ controlled by 9A012.a.; (These items are subject to the export li- b.3. Equipment and components, specially censing authority of the U.S. Department designed to convert a manned ‘‘aircraft’’ to a of State, Directorate of Defense Trade ‘‘UAV’’ controlled by 9A012.a; Controls. See 22 CFR part 121.) b.4. Air breathing reciprocating or rotary 9A010 Specially designed components, sys- internal combustion type engines, specially tems and structures, for launch vehicles, designed or modified to propel ‘‘UAVs’’ at al- launch vehicle propulsion systems or titudes above 50,000 feet (15,240 meters). ‘‘spacecraft’’. (These items are subject to NOTE: 9A012 does not control model air- the export licensing authority of the U.S. craft. Department of State, Directorate of De- 9A018 Equipment on the Wassenaar Ar- fense Trade Controls. See 22 CFR part rangement Munitions List 121). LICENSE REQUIREMENTS 9A011 Ramjet, scramjet or combined cycle Reason for Control: NS, RS, AT, UN engines, and specially designed compo- Control(s) Country chart nents therefor. (These items are subject to the export licensing authority of the NS applies to entire entry ...... NS Column 1. U.S. Department of State, Directorate of RS applies to 9A018.a and b ...... RS Column 2. Defense Trade Controls.See 22 CFR part AT applies to entire entry ...... AT Column 1. 121). UN applies to entire entry ...... Iraq, North Korea, and Rwanda. 9A012 Non-military ‘‘unmanned aerial vehicles,’’ (‘‘UAVs’’), associated systems, equip- LICENSE EXCEPTIONS

857 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

LVS: $1500, except N/A for Rwanda Control(s) Country chart GBS: N/A CIV: N/A MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 LIST OF ITEMS CONTROLLED Unit: Equipment in number; parts and acces- LICENSE EXCEPTIONS sories in $ value LVS: N/A Related Controls: (a) Parachute systems de- GBS: N/A signed for use in dropping military equip- CIV: N/A ment, braking military aircraft, slowing LIST OF ITEMS CONTROLLED spacecraft descent, or retarding weapons Unit: Equipment in number delivery; (b) Instrument flight trainers for Related Controls: 9A101.b controls only en- combat simulation; and (c) military gines for non-military unmanned air vehi- ground armed or armored vehicles and cles [UAVs] or remotely piloted vehicles parts and components specific thereto de- [RPVs], and does not control other engines scribed in 22 CFR part 121, Category VII; designed or modified for use in ‘‘missiles’’, and all-wheel drive vehicles capable of off- which are subject to the export licensing road use that have been armed or armored authority of the U.S. Department of State, with articles described in 22 CFR part 121, Directorate of Defense Trade Controls (see Category XIII (See § 770.2(h)—Interpreta- 22 CFR part 121). tion 8) are all subject to the export licens- Related Definitions: N/A ing jurisdiction of the U.S. Department of Items: a. Engines having both of the fol- State, Directorate of Defense Trade Con- lowing characteristics: trols. a.1. Maximum thrust value greater than Related Definition: This entry controls para- 400 N (achieved un-installed) excluding civil chute systems designed for use in dropping certified engines with a maximum thrust personnel only. value greater than 8,890 N (achieved un-in- Items: a. Military trainer aircraft bearing stalled), and ‘‘T’’ designations: a.2. Specific fuel consumption of 0.15 kg/N/ a.1. Using reciprocating engines; or hr or less (at maximum continuous power at a.2. Turbo prop engines with less than 600 sea level static and standard conditions); or horse power (h.p.); and b. Engines designed or modified for use in a.3. Specially designed component parts. ‘‘missiles’’, regardless of thrust or specific b. Ground transport vehicles (including fuel consumption. trailers) and parts and components therefor designed or modified for non-combat mili- 9A103 Liquid Propellant Tanks Specially tary use and unarmed all-wheel drive vehi- Designed for the Propellants Controlled cles capable of off-road use which have been in ECCNs 1C011, 1C111 or Other Liquid manufactured or fitted with materials to Propellants Used in ‘‘Missiles.’’ (These provide ballistic protection to level III (Na- Items Are Subject to the Export Licens- tional Institute of Justice standard 0108.01, ing Authority of the U.S. Department of September 1985) or better. (See § 770.2(h)—In- State, Directorate of Defense Trade Con- terpretation 8). trols. See 22 CFR part 121.) c. Pressure refuelers, pressure refueling 9A104 Sounding rockets, capable of a range equipment, equipment specially designed to of at least 300 km. (These items are sub- facilitate operations in confined areas; and ject to the export licensing authority of ground equipment, developed specially for the U.S. Department of State, Directorate military ‘‘aircraft’’, and specially designed of Defense Trade Controls. See 22 CFR parts and accessories, n.e.s.; part 121.) d. Pressurized breathing equipment specially designed for use in military ‘‘air- 9A105 Liquid propellant rocket engines. craft’’; (These items are subject to the export li- e. Military parachutes and complete can- censing authority of the U.S. Department opies, harnesses, and platforms and elec- of State, Directorate of Defense Trade tronic release mechanisms therefor, except Controls. See 22 CFR part 121.) such types as are in normal sporting use; 9A106 Systems or components, other than f. Military instrument flight trainers, ex- those controlled by 9A006, usable in cept for combat simulation; and components ‘‘missiles’’, as follows (see List of Items and accessories specially designed for such Controlled), and specially designed for equipment. liquid rocket propulsion systems. 9A101 Turbojet and Turbofan Engines, LICENSE REQUIREMENTS Other Than Those Controlled by 9A001, Reason for Control: MT, AT as Follows (See List of Items Controlled) Control(s) Country chart LICENSE REQUIREMENTS Reason for Control: MT, AT MT applies to entire entry ...... MT Column 1

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Control(s) Country chart able in rockets with a range capability of 300 Km or greater. (These items are sub- AT applies to entire entry ...... AT Column 1 ject to the export licensing authority of the U.S. Department of State, Directorate LICENSE EXCEPTIONS of Defense Trade Controls. See 22 CFR LVS: N/A part 121.) GBS: N/A CIV: N/A 9A109 Hybrid rocket motors, usable in rock- LIST OF ITEMS CONTROLLED ets with a range capability of 300 Km or Unit: Equipment and components in number; greater, other than those controlled by parts and accessories in $ value 9A009, and specially designed compo- Related Controls: Items described in 9A106.a, nents therefor. (These items are subject .b, and .c are subject to the export licens- to the export licensing authority of the ing authority of the U.S. Department of U.S. Department of State, Directorate of State, Directorate of Defense Trade Con- Defense Trade Controls. See 22 CFR part trols (See 22 CFR part 121) 121.) Related Definitions: N/A Items: a. Ablative liners for thrust or com- 9A110 Composite structures, laminates and bustion chambers; manufactures thereof, other than those b. Rocket nozzles; controlled by entry 9A010, specially de- c. Thrust vector control sub-systems; signed for use in ‘‘missiles’’ or the subsystems controlled by entries 9A005, TECHNICAL NOTE: Examples of methods of 9A007, 9A105.a, 9A106 to 9A108, 9A116, or achieving thrust vector control controlled by 9A119. 9A106.c includes: LICENSE REQUIREMENTS 1. Flexible nozzle; Reason for Control: MT, AT 2. Fluid or secondary gas injection; 3. Movable engine or nozzle; Control(s) Country chart 4. Deflection of exhaust gas steam (jet vanes or probes); or MT applies to entire entry ...... MT Column 1 5. Thrust tabs. AT applies to entire entry ...... AT Column 1 d. Liquid and slurry propellant (including LICENSE EXCEPTIONS oxidizers) control systems, and specially de- LVS: N/A signed components therefor, designed or GBS: N/A modified to operate in vibration environ- CIV: N/A ments greater than 10 g rms between 20 Hz LIST OF ITEMS CONTROLLED and 2000 Hz. Unit: Kilograms NOTE: The only servo valves and pumps Related Controls: (1) See also 1A002. (2) ‘‘Com- controlled by 9A106.d, are the following: posite structures, laminates, and manufac- a. Servo valves designed for flow rates tures thereof, specially designed for use in equal to or greater than 24 liters per minute, missile systems are under the licensing au- at an absolute pressure equal to or greater thority of the Directorate of Defense Trade than 7 MPa, that have an actuator response Controls, U.S. Department of State, except time of less than 100 ms; those specially designed for non-military b. Pumps, for liquid propellants, with shaft unmanned air vehicles controlled in 9A012. speeds equal to or greater than 8,000 rpm or Related Definitions: N/A with discharge pressures equal to or greater Items: The list of items controlled is con- than 7 MPa. tained in the ECCN heading e. Flight control servo valves designed or modified for use in ‘‘missiles’’ and designed 9A111 Pulse jet engines, usable in rockets, or modified to operate in a vibration envi- missiles, or unmanned aerial vehicles ca- ronment greater than 10g rms over the entire pable of achieving a ‘‘range’’ equal to or range between 20Hz and 2 kHz. greater than 300km, and specially designed components therefor. (These items 9A107 Solid Propellant Rocket Engines, Usa- are subject to the export licensing au- ble in Rockets With a Range Capability of thority of the U.S. Department of State, 300 Km or Greater, Other Than Those Directorate of Defense Trade Controls. Controlled by 9A007, Having Total Im- See 22 CFR part 121.) pulse Capacity Equal to or Greater Than 8.41 μ 105 Ns, but less than 1.1 μ 106 9A115 Apparatus, devices and vehicles, de- (These Items are Subject to the Export Li- signed or modified for the transport, han- censing Authority of the U.S. Department dling, control, activation and launching of State, Directorate of Defense Trade of rockets, missiles, and unmanned aerial Controls. See 22 CFR part 121.) vehicles capable of achieving a ‘‘range’’ equal to or greater than 300 km. (These 9A108 Solid rocket propulsion components, items are subject to the export licensing other than those controlled by 9A008, us- authority of the U.S. Department of State,

859 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Directorate of Defense Trade Controls. a.2. Capability of controlled-flight out of See 22 CFR part 121.) the direct vision range involving a human operator; and 9A116 Reentry vehicles, usable in ‘‘missiles’’, b. Having any of the following: and equipment designed or modified b.1. Incorporating an aerosol dispensing therefor. (These items are subject to the system/mechanism with a capacity greater export licensing authority of the U.S. De- than 20 liters; or partment of State, Directorate of Defense b.2. Designed or modified to incorporate an Trade Controls. See 22 CFR part 121.) aerosol dispensing system/mechanism with a capacity of greater than 20 liters. 9A117 Staging mechanisms, separation NOTE: 9A120 does not control model air- mechanisms, and interstages therefor, us- craft, specially designed for recreational or able in ‘‘missiles’’. (These items are sub- competition purposes. ject to the export licensing authority of TECHNICAL NOTES: 1. An aerosol consists of the U.S. Department of State, Directorate particulate or liquids other than fuel compo- of Defense Trade Controls. See 22 CFR nents, by—products or additives, as part of part 121.) the ‘‘payload’’ to be dispersed in the atmos- 9A118 Devices to regulate combustion usa- phere. Examples of aerosols include pes- ble in engines which are usable in rock- ticides for crop dusting and dry chemicals ets with a range capability greater than for cloud seeding. 300 Km or greater, controlled by 9A011 or 2. An aerosol dispensing system/mechanism 9A111. (These items are subject to the ex- contains all above devices (mechanical, elec- port licensing authority of the U.S. De- trical, hydraulic, etc.), which are necessary partment of State, Directorate of Defense for storage and dispersion of an aerosol into Trade Controls. See 22 CFR part 121.) the atmosphere. This includes the possibility of aerosol injection into the combustion ex- 9A119 Individual rocket stages, usable in haust vapor and into the propeller slip rockets with a range capability greater stream. than 300 Km or greater, other than those controlled by 9A005, 9A007, 9A009, 9A105, 9A980 Nonmilitary mobile crime science lab- 9A107 and 9A109. (These items are sub- oratories; and parts and accessories, ject to the export licensing authority of n.e.s. the U.S. Department of State, Directorate LICENSE REQUIREMENTS of Defense Trade Controls. See 22 CFR Reason for Control: CC part 121.) Control(s) Country chart

9A120 Complete unmanned aerial vehicles, CC applies to entire entry ...... CC Column 1 not specified in 9A012, having all of the following: LICENSE EXCEPTIONS LICENSE REQUIREMENTS LVS: N/A Reason for Control: MT, AT GBS: N/A CIV: N/A Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: $ value MT applies to entire entry ...... MT Column 1. AT applies to entire entry ...... AT Column 1. Related Controls: N/A Related Definitions: N/A Items: The list of items controlled is con- LICENSE EXCEPTIONS tained in the ECCN heading LVS: N/A GBS: N/A 9A990 Diesel engines, n.e.s., and tractors CIV: N/A and specially designed parts therefor, LIST OF ITEMS CONTROLLED n.e.s. Unit: Equipment in number; parts and acces- LICENSE REQUIREMENTS sories in $ value. Reason for Control: AT Related Controls: See ECCN 9A012 or the U.S. Munitions List Category VIII (22 CFR part Control(s) Country chart 121). Also see ECCN 2B352.h for controls on AT applies to entire entry except AT Column 1. certain spraying or fogging systems, and 9A990.a. components therefor, specially designed or AT applies to 9A990.a only ...... AT Column 2. modified for fitting to aircraft, ‘‘lighter than air vehicles,’’ or ‘‘UAVs.’’ LICENSE EXCEPTIONS Related Definitions: N/A LVS: N/A Items: GBS: N/A a. Having any of the following: CIV: N/A a.1. An autonomous flight control and LIST OF ITEMS CONTROLLED navigation capability; or Unit: $ value

860 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Related Controls: N/A Related Definitions: N/A Related Definitions: N/A Items: a. Military aircraft, demilitarized (not Items: a. Diesel engines, n.e.s., for trucks, specifically equipped or modified for mili- tractors, and automotive applications of con- tary operation), as follows: tinuous brake horsepower of 400 BHP (298 a.1 Cargo aircraft bearing ‘‘C’’ designations kW) or greater (performance based on SAE and numbered C–45 through C–118 inclusive, J1349 standard conditions of 100 Kpa and 25°) C–121 through C–125 inclusive, and C–131, b. Off highway wheel tractors of carriage using reciprocating engines only. capacity 9 mt (20,000 lbs) or more; and parts a.2 Trainer aircraft bearing ‘‘T’’ designa- and accessories, n.e.s. tions and using reciprocating engines or tur- c. On-Highway tractors, with single or tan- boprop engines with less than 600 horsepower dem rear axles rated for 9 mt per axel (20,000 (s.h.p.). lbs.) or greater and specially designed parts. a.3 Utility aircraft bearing ‘‘U’’ designations and using reciprocating engines only. 9A991 ‘‘Aircraft’’, n.e.s., and gas turbine en- a.4 All liaison aircraft bearing an ‘‘L’’ des- gines not controlled by 9A001 or 9A101 ignation. and parts and components, n.e.s. a.5 All observation aircraft bearing ‘‘O’’ LICENSE REQUIREMENTS designations and using reciprocating en- Reason for Control: AT, UN gines. b. ‘‘Civil aircraft’’; Control(s) Country chart NOTE: Specify make and model of aircraft AT applies to entire entry ...... AT Column 1. and type of avionic equipment on aircraft. UN applies to 9A991.a ...... Iraq, North Korea, and c. Aero gas turbine engines, and specially Rwanda. designed parts therefor. NOTE: 9A991.c does not control aero gas LICENSE REQUIREMENT NOTES: There is no de minimis level for foreign-made aircraft turbine engines that are destined for use in described by this entry that incorporate civil ‘‘aircraft’’ and that have been in use in commercial primary or standby instrument bona fide civil ‘‘aircraft’’ for more than eight systems that integrate QRS11–00100–100/101 or years. If they have been in use in bona fide commercial automatic flight control sys- civil ‘‘aircraft’’ for more than eight years, tems that integrate QRS11–00050–443/569 such engines are controlled under 9A991.d. Micromachined Angular Rate Sensors (see d. Aircraft parts and components, n.e.s. § 734.4(a) of the EAR). e. Pressurized aircraft breathing equip- LICENSE EXCEPTIONS ment, n.e.s.; and specially designed parts LVS: N/A therefor, n.e.s. GBS: N/A CIV: N/A 9A992 Complete canopies, harnesses, and LIST OF ITEMS CONTROLLED platforms and electronic release mecha- Unit: Number nisms therefor, except such types as are Related Controls: QRS11 Micromachined An- in normal sporting use. gular Rate Sensors are subject to the ex- LICENSE REQUIREMENTS port licensing jurisdiction of the U.S. De- Reason for Control: AT partment of State, Directorate of Defense Control(s) Country chart Trade Controls, unless the QRS11–00100–100/ 101 is integrated into and included as an in- AT applies to entire entry ...... AT Column 1 tegral part of a commercial primary or standby instrument system of the type de- LICENSE EXCEPTIONS scribed in ECCN 7A994, or aircraft of the LVS: N/A type described in ECCN 9A991 that incor- GBS: N/A porates such a system, or is exported sole- CIV: N/A ly for integration into such a system; or LIST OF ITEMS CONTROLLED the QRS11–00050–443/569 is integrated into Unit: Number an automatic flight control system of the Related Controls: N/A type described in ECCN 7A994, or aircraft Related Definitions: N/A of the type described in ECCN 9A991 that Items: The list of items controlled is con- incorporates such a system, or are ex- tained in the ECCN heading ported solely for integration into such a system. (See Commodity Jurisdiction re- B. TEST, INSPECTION AND PRODUCTION quirements in 22 CFR Part 121; Category EQUIPMENT VIII(e), Note(1)) In the latter case, such 9B001 Equipment, tooling and fixtures, spe- items are subject to the licensing jurisdic- cially designed for manufacturing gas tion of the Department of Commerce. turbine blades, vanes or ‘‘tip shroud’’ Technology specific to the development castings, as follows (See List of Items Con- and production of QRS11 sensors remains trolled). subject to the licensing jurisdiction of the LICENSE REQUIREMENTS Department of State. Reason for Control: NS, MT, AT

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Control(s) Country chart LICENSE REQUIREMENTS Reason for Control: NS, MT, AT NS applies to entire entry ...... NS Column 1 MT applies only to equipment for en- MT Column 1 Control(s) Country chart gines that meet the characteristics described in 9A001. NS applies to entire entry ...... NS Column 1 AT applies to entire entry ...... AT Column 1 MT applies only to equipment for en- MT Column 1 gines that meet the characteristics LICENSE REQUIREMENT NOTES: See § 743.1 of described in 9A001. the EAR for reporting requirements for ex- AT applies to entire entry ...... AT Column 1 ports under License Exceptions. LICENSE EXCEPTIONS LICENSE EXCEPTIONS LVS: $5000, except N/A for MT LVS: $5000, except N/A for MT GBS: Yes, except N/A for MT GBS: Yes, except N/A for MT CIV: Yes, except N/A for MT CIV: Yes, except N/A for MT STA: License Exception STA may not be LIST OF ITEMS CONTROLLED used to ship commodities in 9B001.b to any Unit: $ value of the eight destinations listed in Related Controls: See also 9B115 § 740.20(c)(2) of the EAR. Related Definitions: N/A LIST OF ITEMS CONTROLLED Items: The list of items controlled is con- Unit: $ value. tained in the ECCN heading Related Controls: For specially designed pro- 9B004 Tools, dies or fixtures, for the solid duction equipment of systems, sub-systems state joining of ‘‘superalloy’’, titanium or and components controlled by 9A005 to intermetallic airfoil-to-disk combinations 9A009, 9A011, 9A101, 9A105 to 9A109, 9A111, described in 9E003.a.3 or 9E003.a.6 for and 9A116 to 9A119 usable in ‘‘missiles’’ see gas turbines. 9B115. See also 9B991. Reason for Control: NS, MT, AT Related Definitions: N/A Items: a. Directional solidification or single Control(s) Country chart crystal casting equipment; b. Ceramic cores or shells. NS applies to entire entry ...... NS Column 1 MT applies only to equipment for en- MT Column 1 9B002 On-line (real time) control systems, gines that meet the characteristics instrumentation (including sensors) or described in 9A001. automated data acquisition and proc- AT applies to entire entry ...... AT Column 1 essing equipment, having all of the following (See List of Items Controlled). LICENSE EXCEPTIONS LICENSE REQUIREMENTS LVS: $3000, except N/A for MT Reason for Control: NS, MT, AT GBS: Yes, except N/A for MT CIV: Yes, except N/A for MT Control(s) Country chart LIST OF ITEMS CONTROLLED Unit: Number NS applies to entire entry ...... NS Column 1 Related Controls: N/A MT applies only to equipment for en- MT Column 1 Related Definitions: N/A gines that meet the characteristics described in 9A001. Items: The list of items controlled is con- AT applies to entire entry ...... AT Column 1 tained in the ECCN heading 9B005 On-line (real time) control systems, LICENSE EXCEPTIONS LVS: $3000, except N/A for MT instrumentation (including sensors) or GBS: Yes, except N/A for MT automated data acquisition and proc- CIV: Yes, except N/A for MT essing equipment, specially designed for LIST OF ITEMS CONTROLLED use with any of the following (see List of Unit: $ value Items Controlled). Related Controls: N/A LICENSE REQUIREMENTS Related Definitions: N/A Reason for Control: NS, AT Items: Control(s) Country chart a. Specially designed for the ‘‘development’’ of gas turbine engines, assemblies or NS applies to entire entry ...... NS Column 1 components; and AT applies to entire entry ...... AT Column 1 b. Incorporating ‘‘technologies’’ controlled by 9E003.h or 9E003.i. LICENSE EXCEPTIONS 9B003 Equipment specially designed for the LVS: N/A ‘‘production’’ or test of gas turbine brush GBS: N/A seals designed to operate at tip speeds ex- CIV: N/A ceeding 335 m/s, and temperatures in ex- LIST OF ITEMS CONTROLLED cess of 773 K (500≥C), and specially de- Unit: $ value signed components or accessories there- Related Controls: See also 9B105 for. Related Definitions: N/A

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Items: Related Controls: N/A a. Wind tunnels designed for speeds of Related Definitions: N/A Mach 1.2 or more; Items: The list of items controlled is con- NOTE: 9B005.a does not control wind tun- tained in the ECCN heading nels specially designed for educational purposes and having a ‘test section size’ (meas- 9B008 Direct measurement wall skin fric- ured laterally) of less than 250 mm. tion transducers specially designed to op- TECHNICAL NOTE: ‘Test section size’ in erate at a test flow total (stagnation) tem- 9B005.a means the diameter of the circle, or perature exceeding 833 K (560 ≥C)). the side of the square, or the longest side of LICENSE REQUIREMENTS the rectangle, at the largest test section lo- Reason for Control: NS, AT cation. b. Devices for simulating flow-environ- Control(s) Country chart ments at speeds exceeding Mach 5, including NS applies to entire entry ...... NS Column 2 hot-shot tunnels, plasma arc tunnels, shock AT applies to entire entry ...... AT Column 1 tubes, shock tunnels, gas tunnels and light gas guns; or LICENSE EXCEPTIONS c. Wind tunnels or devices, other than two- LVS: $5000 dimensional sections, capable of simulating GBS: N/A Reynolds number flows exceeding 25 × 10 6. CIV: N/A LIST OF ITEMS CONTROLLED 9B006 Acoustic vibration test equipment ca- Unit: Number pable of producing sound pressure levels Related Controls: N/A of 160 Db or more (referenced to 20 uPa) Related Definitions: N/A with a rated output of 4 kW or more at a Items: The list of items controlled is con- test cell temperature exceeding 1,273 K tained in the ECCN heading (1,000 ≥C), and specially designed quartz heaters therefor. 9B009 Tooling specially designed for pro- LICENSE REQUIREMENTS ducing turbine engine powder metallurgy Reason for Control: NS, AT rotor components capable of operating at stress levels of 60% of Ultimate Tensile Control(s) Country chart Strength (UTS) or more and metal tem- NS applies to entire entry ...... NS Column 2 peratures of 873 K (600 ≥C) or more. AT applies to entire entry ...... AT Column 1 LICENSE REQUIREMENTS Reason for Control: NS, AT LICENSE EXCEPTIONS LVS: $3000 Control(s) Country chart GBS: Yes CIV: Yes NS applies to entire entry ...... NS Column 2 AT applies to entire entry ...... AT Column 1 LIST OF ITEMS CONTROLLED Unit: Number LICENSE EXCEPTIONS Related Controls: See also 9B106. Note that LVS: $5000 some items in 9B006 may also be controlled GBS: N/A under 9B106 CIV: N/A Related Definitions: N/A Items: The list of items controlled is con- LIST OF ITEMS CONTROLLED tained in the ECCN heading Unit: Number Related Controls: N/A 9B007 Equipment specially designed for in- Related Definitions: N/A specting the integrity of rocket motors Items: The list of items controlled is con- and using Non-Destructive Test (NDT) tained in the ECCN heading techniques other than planar x-ray or basic physical or chemical analysis. 9B010 Equipment specially designed for the LICENSE REQUIREMENTS production of ‘‘UAVs’’ and associated sys- Reason for Control: NS, MT, AT tems, equipment and components, controlled by 9A012. Control(s) Country chart LICENSE REQUIREMENTS Reason for Control: NS, AT NS applies to entire entry ...... NS Column 1 MT applies to entire entry ...... MT Column 1 Control(s) Country chart AT applies to entire entry ...... AT Column 1 NS applies to entire entry ...... NS Column 1. LICENSE EXCEPTIONS AT applies to entire entry ...... AT Column 1. LVS: N/A GBS: N/A LICENSE EXCEPTIONS CIV: N/A LVS: N/A LIST OF ITEMS CONTROLLED GBS: N/A Unit: Number CIV: N/A

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LIST OF ITEMS CONTROLLED TECHNICAL NOTES: 1. Item 9B106.a.2 de- Unit: Equipment in number; parts and acces- scribes systems that are capable of gener- sories in $ value ating a vibration environment with a single Related Controls: N/A wave (e.g., a sine wave) and systems capable Related Definitions: N/A of generating a broad band random vibration Items: The list of items controlled is con- (i.e., power spectrum). tained in the ECCN heading. 2. The term ’bare table’ means a flat table, or surface, with no fixture or fittings. 9B105 Wind tunnels for speeds of Mach 0.9 3. In Item 9B106.a.2, designed or modified or more, usable for rockets, missiles, or means the environmental chamber provides unmanned aerial vehicles capable of appropriate interfaces (e.g., sealing devices) achieving a ‘‘range’’ equal to or greater to incorporate a shaker unit or other vibra- than 300 km and their subsystems. tion test equipment as specified in this Item. LICENSE REQUIREMENTS Reason for Control: MT, AT b. Environmental chambers capable of simulating all of the following flight conditions: Control(s) Country chart b.1. Acoustic environments at an overall sound pressure level of 140 dB or greater (ref- MT applies to entire entry ...... MT Column 1 erenced to 2 × 10¥5 N/m2) or with a total AT applies to entire entry ...... AT Column 1 rated acoustic power output of 4kW or greater; and LICENSE EXCEPTIONS b.2. Any of the following: LVS: N/A b.2.a. Altitude equal to or greater than GBS: N/A CIV: N/A 15,000 m; or b.2.b. Temperature range of at least ¥50 °C LIST OF ITEMS CONTROLLED ° Unit: $ value to +125 C. Related Controls: See also 9B005 9B115 Specially designed ‘‘production Related Definitions: N/A equipment’’ for the systems, sub-systems Items: The list of items controlled is con- and components controlled by 9A004 to tained in the ECCN heading 9A009, 9A011, 9A101, 9A104 to 9A109, 9B106 Environmental chambers usable for 9A111, 9A116 to 9A119. rockets, missiles, or unmanned aerial ve- LICENSE REQUIREMENTS hicles capable of achieving a ‘‘range’’ Reason for Control: MT, AT equal to or greater than 300 km and their subsystems, as follows (see List of Items Control(s) Country chart Controlled). MT applies to entire entry ...... MT Column 1 LICENSE REQUIREMENTS AT applies to entire entry ...... AT Column 1 Reason for Control: MT, AT LICENSE EXCEPTIONS Control(s) Country chart LVS: N/A MT applies to entire entry ...... MT Column 1 GBS: N/A AT applies to entire entry ...... AT Column 1 CIV: N/A LIST OF ITEMS CONTROLLED LICENSE EXCEPTIONS Unit: Equipment in number; components in $ LVS: N/A value GBS: N/A Related Controls: Although items described in CIV: N/A ECCNs 9A004 to 9A009, 9A011, 9A101, 9A104 LIST OF ITEMS CONTROLLED to 9A109; 9A111, 9A116 to 9A119 are subject Unit: $ value to the export licensing authority of the De- Related Controls: N/A partment of State, Directorate of Defense Related Definitions: N/A Trade Controls (22 CFR part 121), the ‘‘pro- Items: duction equipment’’ controlled in this a. Environmental chambers capable of sim- entry that is related to these items is sub- ulating all of the following flight conditions: ject to the export licensing authority of a.1. Having any of the following: BIS. a.1.a. Altitude equal to or greater than Related Definitions: NA. 15,000 m; or Items: The list of items controlled is con- a.1.b. Temperature range of at least ¥50 °C tained in the ECCN heading. to +125 °C; and a.2. Incorporating, or designed or modified 9B116 Specially designed ‘‘production facili- to incorporate, a shaker unit or other vibra- ties’’ for the systems, sub-systems, and tion test equipment to produce vibration en- components controlled by 9A004 to 9A009, vironments equal to or greater than 10 g 9A011, 9A012, 9A101, 9A104 to 9A109, rms, measured ’bare table’, between 20 Hz 9A111, 9A116 to 9A119. and 2 kHz imparting forces equal to or great- LICENSE REQUIREMENTS er than 5 kN; Reason for Control: MT, AT

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Control(s) Country chart Unit: $ value Related Controls: N/A MT applies to entire entry ...... MT Column 1 Related Definitions: N/A AT applies to entire entry ...... AT Column 1 Items: The list of items controlled is contained in the ECCN heading LICENSE EXCEPTIONS LVS: N/A 9B991 Specially designed equipment, tooling GBS: N/A or fixtures, not controlled by 9B001, as CIV: N/A described in the List of Items Controlled, LIST OF ITEMS CONTROLLED for manufacturing or measuring gas tur- Unit: Equipment in number; components in $ bine blades, vanes or tip shroud castings. value LICENSE REQUIREMENTS Related Controls: Although items described in Reason for Control: AT ECCNs 9A004 to 9A009, 9A011, 9A101, 9A104 to 9A109; 9A111, 9A116 to 9A119 are subject Control(s) Country chart to the export licensing authority of the De- partment of State, Directorate of Defense AT applies to entire entry ...... AT Column 1 Trade Controls (22 CFR part 121), the ‘‘production equipment’’ controlled in this LICENSE EXCEPTIONS N/A entry that is related to these items is sub- LVS: GBS: N/A ject to the export licensing authority of CIV: N/A BIS. LIST OF ITEMS CONTROLLED Related Definitions: NA. Unit: $ value. Items: The list of items controlled is con- Related Controls: N/A tained in the ECCN heading. Related Definitions: N/A 9B117 Test Benches and Test Stands for Items: a. Automated equipment using non- Solid or Liquid Propellant Rockets, Mo- mechanical methods for measuring airfoil tors or Rocket Engines, Having Either of wall thickness; the Following Characteristics (see List of b. Tooling, fixtures or measuring equip- Items Controlled). ment for the ‘‘laser’’, water jet or ECM/EDM LICENSE REQUIREMENTS hole drilling processes controlled by 9E003.c; Reason for Control: MT, AT c. Ceramic core leaching equipment; d. Ceramic core manufacturing equipment Control(s) Country chart or tools; e. Ceramic shell wax pattern preparation MT applies to entire entry ...... MT Column 1 equipment; AT applies to entire entry ...... AT Column 1 f. Ceramic shell burn out or firing equipment. LICENSE EXCEPTIONS LVS: N/A C. MATERIALS GBS: N/A CIV: N/A 9C110 Resin impregnated fiber prepregs LIST OF ITEMS CONTROLLED and metal coated fiber preforms therefor, Unit: $ value for composite structures, laminates and Related Controls: See also 9B990 manufactures specified in 9A110, made ei- Related Definitions: N/A ther with organic matrix or metal matrix Items: utilizing fibrous or filamentary reinforce- a. The capacity to handle solid or liquid ments having a ‘‘specific tensile strength’’ propellant rocket motors or rocket engines greater than 7.62 μ 104 m and a ‘‘specific having a thrust greater than 68 kN; or modulus’’ greater than 3.18 μ 106 m. b. Capable of simultaneously measuring LICENSE REQUIREMENTS the three axial thrust components. Reason for Control: MT, AT

9B990 Vibration test equipment and spe- Control(s) Country chart cially designed parts and components, n.e.s. MT applies to entire entry ...... MT Column 1 AT applies to entire entry ...... AT Column 1 LICENSE REQUIREMENTS Reason for Control: AT LICENSE EXCEPTIONS Control(s) Country chart LVS: N/A GBS: N/A AT applies to entire entry ...... AT Column 1 CIV: N/A LIST OF ITEMS CONTROLLED LICENSE EXCEPTIONS Unit: Kilograms LVS: N/A Related Controls: (1) See also 1C010 and GBS: N/A 1C210.c. CIV: N/A (2) The only resin impregnated fiber LIST OF ITEMS CONTROLLED prepregs controlled by entry 9C110 are those

865 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

using resins with a glass transition tempera- Reason for Control: NS, MT, AT ture (Tg), after cure, exceeding 418 K (145 °C) as determined by ASTM D4065 or national Control(s) Country chart equivalents. NS applies to ‘‘software’’ for equip- NS Column 1 Related Definitions: N/A ment controlled by 9A001 to Items: The list of items controlled is con- 9A003, 9A012, 9B001 to 9B010, tained in the ECCN heading. and technology controlled by 9E003. D. SOFTWARE MT applies to ‘‘software’’ for equip- MT Column 1. ment controlled by 9B116 for MT 9D001 Software’’ specially designed or modi- reasons. fied for the ‘‘development’’ of equipment AT applies to entire entry ...... AT Column 1. or ‘‘technology’’, controlled by 9A (except 9A018, 9A990 or 9A991), 9B (except 9B990 LICENSE REQUIREMENT NOTES: See § 743.1 of or 9B991) or 9E003. the EAR for reporting requirements for ex- LICENSE REQUIREMENTS ports under License Exceptions. Reason for Control: NS, MT, AT LICENSE EXCEPTIONS CIV: N/A Control(s) Country chart TSR: N/A STA: License Exception STA may not be NS applies to ‘‘software’’ for equip- NS Column 1 used to ship or transmit ‘‘software’’ spe- ment controlled by 9A001 to cially designed or modified for the ‘‘pro- 9A003, 9A012, 9B001 to 9B010, and technology controlled by duction’’ of equipment specified by 9B001.b 9E003. to any of the eight destinations listed in MT applies to ‘‘software’’ for equip- MT Column 1. § 740.20(c)(2) of the EAR. ment controlled by 9A106.a and .b, LIST OF ITEMS CONTROLLED or 9B116 for MT reasons. Unit: $ value AT applies to entire entry ...... AT Column 1. Related Controls: (1) ‘‘Software’’ ‘‘required’’ for the ‘‘production’’ of items controlled by LICENSE REQUIREMENT NOTES: See § 743.1 of 9A004 is subject to the export licensing au- the EAR for reporting requirements for ex- thority of the U.S. Department of State, ports under License Exceptions. Directorate of Defense Trade Controls. LICENSE EXCEPTIONS (See 22 CFR part 121.) (2) ‘‘Software’’ ‘‘re- CIV: N/A quired’’ for the ‘‘production’’ of equipment TSR: N/A or ‘‘technology’’ subject to the export li- STA: License Exception STA may not be censing authority of the U.S. Department used to ship or transmit ‘‘software’’ spe- of State, Directorate of Defense Trade Con- cially designed or modified for the ‘‘devel- trols is also subject to the same licensing opment’’ of equipment or ‘‘technology’’, jurisdiction. (See 22 CFR part 121.) specified by ECCNs 9B001.b. or 9E003.a.1, Related Definitions: N/A 9E003.a.2 to a.5, 9E003.a.8, or 9E003.h to any Items: The list of items controlled is con- of the eight destinations listed in tained in the ECCN heading § 740.20(c)(2) of the EAR. LIST OF ITEMS CONTROLLED 9D003 ‘‘Software’’ incorporating ‘‘tech- Unit: $ value nology’’ specified by 9E003.h and used in Related Controls: (1) ‘‘Software’’ ‘‘required’’ ‘‘FADEC Systems’’ for propulsion systems for the ‘‘development’’ of items controlled controlled by 9A (except 9A018, 9A990 or by 9A004 is subject to the export licensing 9A991) or equipment controlled by 9B (ex- authority of the U.S. Department of State, cept 9B990 or 9B991). Directorate of Defense Trade Controls. (See LICENSE REQUIREMENTS 22 CFR part 121.) Reason for Control: NS, MT, AT (2) ‘‘Software’’ ‘‘required’’ for the ‘‘development’’ of equipment or ‘‘technology’’ sub- Control(s) Country chart ject to the export licensing authority of the NS applies to ‘‘software’’ for NS Column 1. U.S. Department of State, Directorate of De- ‘‘use’’ of ‘‘FADEC systems’’ fense Trade Controls is also subject to the for equipment controlled by same licensing jurisdiction. (See 22 CFR part 9A001 to 9A003. 121.) MT applies to ‘‘software’’ re- MT Column 1. Related Definitions: N/A quired for the ‘‘use’’ of Items: The list of items controlled is con- ‘‘FADEC systems’’ for gas tained in the ECCN heading turbine engines controlled by 9A101, or 9A106.. 9D002 ‘‘Software’’ specially designed or AT applies to entire entry ...... AT Column 1. modified for the ‘‘production’’ of equip- LICENSE EXCEPTIONS ment controlled by 9A (except 9A018, CIV: Yes, except N/A for MT 9A990, or 9A991) or 9B (except 9B990 or TSR: Yes, except N/A for MT 9B991). LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: $ value

866 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

Related Controls: (1) See also 9D103. (2) ‘‘Soft- g. ‘‘Software’’ having all of the following: ware’’ ‘‘required’’ for the ‘‘use’’ of equip- g.1. Specially designed to predict aero ment or ‘‘technology’’ subject to the ex- thermal, aeromechanical and combustion port licensing authority of the U.S. De- conditions in aero gas turbine engines; and partment of State, Directorate of Defense g.2. Theoretical modeling predictions of Trade Controls is also subject to the same the aero thermal, aeromechanical and com- licensing jurisdiction. (See 22 CFR part bustion conditions, which have been vali- 121.) dated with actual turbine engine (experi- Related Definitions: N/A mental or production) performance data. Items: The list of items controlled is contained in 9D018 ‘‘Software’’ for the ‘‘use’’ of equipment the ECCN heading. controlled by 9A018. LICENSE REQUIREMENTS 9D004 Other ‘‘software’’ as follows (see List Reason for Control: NS, RS, AT, UN of Items Controlled). LICENSE REQUIREMENTS Control(s) Country chart Reason for Control: NS, MT, AT NS applies to entire entry ...... NS Column 1. Control(s) Country chart RS applies to 9A018.a and .b ...... RS Column 2. AT applies to entire entry ...... AT Column 1. NS applies to entire entry ...... NS Column 1. MT applies to entire entry, except MT Column 1. UN applies to entire entry ...... Iraq, North Korea, and 9D004.g and .f. Rwanda. AT applies to entire entry ...... AT Column 1. LICENSE EXCEPTIONS LICENSE EXCEPTIONS CIV: N/A CIV: N/A TSR: Yes for Australia, Japan, New Zealand, TSR: N/A and NATO countries that are also listed in STA: License Exception STA may not be Country Group B of Supplement No. 1 to used to ship or transmit software in part 740 of the EAR. 9D004.a and 9D004.c to any of the eight des- LIST OF ITEMS CONTROLLED tinations listed in § 740.20(c)(2) of the EAR. Unit: $ value LIST OF ITEMS CONTROLLED Related Controls: N/A Unit: $ value Related Definitions: N/A Related Controls: N/A Items: The list of items controlled is con- Related Definitions: N/A tained in the ECCN heading Items: a. 2D or 3D viscous ‘‘software’’, validated 9D101 ‘‘Software’’ specially designed or with wind tunnel or flight test data required modified for the ‘‘use’’ of commodities for detailed engine flow modelling; controlled by 9B105, 9B106, 9B116, or b. ‘‘Software’’ for testing aero gas turbine 9B117. engines, assemblies or components, specially LICENSE REQUIREMENTS designed to collect, reduce and analyze data Reason for Control: MT, AT in real time and capable of feedback control, including the dynamic adjustment of test ar- Control(s) Country chart ticles or test conditions, as the test is in progress; MT applies to entire entry ...... MT Column 1 c. ‘‘Software’’ specially designed to control AT applies to entire entry ...... AT Column 1 directional solidification or single crystal casting; LICENSE EXCEPTIONS d. ‘‘Software’’ in ‘‘source code’’, ‘‘object CIV: N/A code’’ or machine code, required for the TSR: N/A ‘‘use’’ of active compensating systems for LIST OF ITEMS CONTROLLED rotor blade tip clearance control; Unit: $ value NOTE: 9D004.d does not control ‘‘software’’ Related Controls: N/A embedded in equipment not controlled in the Related Definitions: N/A Commerce Control List (Supplement No. 1 to Items: The list of items controlled is con- Part 774) or required for maintenance activi- tained in the ECCN heading ties associated with the calibration or repair or updates to the active compensating clear- 9D103 ‘‘Software’’ specially designed for ance control system. modelling, simulation or design integra- e. ‘‘Software’’ specially designed or modi- tion of ‘‘missiles’’, or the subsystems con- fied for the ‘‘use’’ of ‘‘UAVs’’ and associated trolled by 9A005, 9A007, 9A105.a, 9A106, systems, equipment and components, con- 9A108, 9A116 or 9A119. (This entry is sub- trolled by 9A012; ject to the export licensing authority of f. ‘‘Software’’ specially designed to design the U.S. Department of State, Directorate the internal cooling passages of aero gas tur- of Defense Trade Controls. See 22 CFR bine engine blades, vanes and ‘‘tip shrouds’’; part 121.)

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9D104 ‘‘Software’’ specially designed and Control(s) Country chart modified for the ‘‘use’’ of equipment controlled by 9A001, 9A005, 9A006.d, 9A006.g, AT applies to entire entry ...... AT Column 1 9A007.a, 9A008.d, 9A009.a, 9A010.d, 9A011, 9A012 (for MT controlled items only), LICENSE EXCEPTIONS 9A101, 9A105, 9A106.c and .d, 9A107, CIV: N/A 9A108.c, 9A109, 9A111, 9A115.a, 9A116.d, TSR: N/A 9A117, or 9A118. LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: $ value Reason for Control: MT, AT Related Controls: N/A Related Definitions: N/A Control(s) Country chart Items: The list of items controlled is con- MT applies to entire entry ...... MT Column 1 tained in the ECCN heading AT applies to entire entry ...... AT Column 1 E. TECHNOLOGY License Exceptions NOTE: ‘‘Development’’ or ‘‘production’’ CIV: N/A ‘‘technology’’ controlled by 9E001 to 9E003 TSR: N/A for gas turbine engines remains controlled LIST OF ITEMS CONTROLLED when used as ‘‘use’’ ‘‘technology’’ for repair, Unit: $ value rebuild and overhaul. Excluded from 9E001 to Related Controls: ‘‘Software’’ for commodities 9E003 control are: technical data, drawings controlled by 9A005 to 9A011, 9A105, or documentation for maintenance activities 9A106.c, 9A107 to 9A109, 9A111, 9A115, 9A116, directly associated with calibration, removal 9A117, and 9A118 are subject to the export or replacement of damaged or unserviceable licensing authority of the U.S. Department line replaceable units, including replacement of State, Directorate of Defense Trade Con- of whole engines or engine modules. trols (see 22 CFR part 121). Related Definitions: N/A 9E001 ‘‘Technology’’ according to the Gen- Items: The list of items controlled is con- eral Technology Note for the ‘‘develop- tained in the ECCN heading. ment’’ of equipment or ‘‘software’’, controlled by 9A001.b, 9A004 to 9A012, 9B (ex- 9D105 ‘‘Software’’ that coordinates the func- cept 9B990 or 9B991), or 9D (except 9D990 tion of more than one subsystem, spe- or 9D991) cially designed or modified for ‘‘use’’ in LICENSE REQUIREMENTS ‘‘missiles.’’ (These items are subject to the Reason for Control: NS, MT, AT export licensing authority of the U.S. De- partment of State, Directorate of Defense Control(s) Country chart Trade Controls. See 22 CFR part 121.) NS applies to ‘‘technology’’ for items NS Column 1. 9D990 ‘‘Software’’, n.e.s., for the ‘‘develop- controlled by 9A001.b, 9A012, 9B001 ment’’ or ‘‘production’’ of equipment con- to 9B010, 9D001 to 9D004 for NS trolled by 9A990 or 9B990. reasons. LICENSE REQUIREMENTS MT applies to ‘‘technology’’ for items MT Column 1. Reason for Control: AT controlled by 9B001, 9B002, 9B003, 9B004, 9B005, 9B007, 9B105, 9B106, 9B116, 9B117, 9D001, Control(s) Country chart 9D002, 9D003, and 9D004 for MT reasons.. AT applies to ‘‘software’’ for equip- AT Column 1 ment under 9A990 except 9A990.a. AT applies to entire entry ...... AT Column 1. AT applies to ‘‘software’’ for equip- AT Column 2 ment under 9A990.a only. LICENSE REQUIREMENT NOTES: See § 743.1 of the EAR for reporting requirements for ex- LICENSE EXCEPTIONS ports under License Exceptions. CIV: N/A LICENSE EXCEPTIONS TSR: N/A CIV: N/A LIST OF ITEMS CONTROLLED Unit: $ value TSR: N/A Related Controls: N/A STA: License Exception STA may not be Related Definitions: N/A used to ship or transmit any technology in Items: The list of items controlled is con- this entry to any of the eight destinations tained in the ECCN heading listed in § 740.20(c)(2) of the EAR. LIST OF ITEMS CONTROLLED 9D991 ‘‘Software’’, for the ‘‘development’’ or Unit: N/A ‘‘production’’ of equipment controlled by Related Controls: (1) See also 9E101 and 1E002.f 9A991 or 9B991. (for controls on ‘‘technology’’ for the re- LICENSE REQUIREMENTS pair of controlled structures, laminates or Reason for Control: AT materials). (2) The ‘‘technology’’ required

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for the ‘‘development’’ of equipment con- Control(s) Country Chart trolled by 9A004 is subject to the export licensing authority of the U.S. Department NS applies to entire entry ..... NS Column 1 of State, Directorate of Defense Trade Con- SI applies to 9E003.a.1 trols. (See 22 CFR part 121.) (3) ‘‘Tech- through a.8,.h, .i, and .j. See § 742.14 of the EAR nology’’, required for the ‘‘development’’ of for additional information.. equipment or ‘‘software’’ subject to the ex- AT applies to entire entry ...... AT Column 1 port licensing authority of the U.S. De- partment of State, Directorate of Defense License Requirement Notes: See § 743.1 of the Trade Controls, is also subject to the same EAR for reporting requirements for ex- licensing jurisdiction. (See 22 CFR part 121) ports under License Exceptions. Related Definitions: N/A LICENSE EXCEPTIONS Items: The list of items controlled is con- CIV: N/A tained in the ECCN heading TSR: N/A STA: License Exception STA may not be 9E002 ‘‘Technology’’ according to the Gen- used to ship or transmit any technology in eral Technology Note for the ‘‘produc- 9E003.a.1, 9E003.a.2 to a.5, 9E003.a.8, or tion’’ of equipment controlled by 9A001.b, 9E003.h to any of the eight destinations 9A004 to 9A011 or 9B (except 9B990 or listed in § 740.20(c)(2) of the EAR. 9B991). LIST OF ITEMS CONTROLLED LICENSE REQUIREMENTS Unit: N/A Reason for Control: NS, MT, AT Related Controls: (1.) Hot section ‘‘technology’’ specifically designed, modified, or Control(s) Country chart equipped for military uses or purposes, or NS applies to entire entry ...... NS Column 1 developed principally with U.S. Depart- MT applies to ‘‘technology’’ for equip- MT Column 1 ment of Defense funding, is subject to the ment controlled by 9B001, 9B002, licensing authority of the U.S. Department 9B003, 9B004, 9B005, 9B007, of State. (2.) ‘‘Technology’’ is subject to 9B105, 9B106, 9B116, and 9B117 the EAR when actually applied to a com- for MT reasons. mercial aircraft engine program. Exporters AT applies to entire entry ...... AT Column 1 may seek to establish commercial application either on a case-by-case basis through LICENSE REQUIREMENT NOTES: See § 743.1 of submission of documentation dem- the EAR for reporting requirements for ex- onstrating application to a commercial ports under License Exceptions. program in requesting an export license LICENSE EXCEPTIONS from the Department Commerce in respect CIV: N/A to a specific export, or in the case of use TSR: N/A for broad categories of aircraft, engines, or STA: License Exception STA may not be used to ship or transmit any technology in components, a commodity jurisdiction de- this entry to any of the eight destinations termination from the Department of State. listed in § 740.20(c)(2) of the EAR. Related Definitions: N/A Items: LIST OF ITEMS CONTROLLED Unit: N/A a. ‘‘Technology’’ ‘‘required’’ for the ‘‘de- Related Controls: (1) See also 9E102. (2) See velopment’’ or ‘‘production’’ of any of the also 1E002.f for ‘‘technology’’ for the repair following gas turbine engine components or of controlled structures, laminates or ma- systems: terials. (3) The ‘‘technology’’ required for a.1. Gas turbine blades, vanes or ‘‘tip the ‘‘development’’ of equipment con- shrouds’’, made from directionally solidified trolled by 9A004 is subject to the export li- (DS) or single crystal (SC) alloys and having censing authority of the U.S. Department (in the 001 Miller Index Direction) a stress- of State, Directorate of Defense Trade Con- rupture life exceeding 400 hours at 1,273 K trols. (See 22 CFR part 121.) (4) ‘‘Tech- (1,000 °C) at a stress of 200 MPa, based on the nology’’, required for the ‘‘development’’ of average property values; equipment or ‘‘software’’ subject to the ex- a.2. Multiple domed combustors operating port licensing authority of the U.S. De- at average burner outlet temperatures ex- ° partment of State, Directorate of Defense ceeding 1,813 K (1,540 C) or combustors in- Trade Controls, is also subject to the same corporating thermally decoupled combustion licensing jurisdiction. (See 22 CFR part liners, non-metallic liners or non-metallic 121). shells; Related Definitions: N/A a.3. Components manufactured from any of Items: The list of items controlled is con- the following: tained in the ECCN heading. a.3.a. Organic ‘‘composite’’ materials designed to operate above 588 K (315 °C); 9E003 Other ‘‘technology’’ as follows (see a.3.b. Metal ‘‘matrix’’ ‘‘composite’’, ce- List of Items Controlled). ramic ‘‘matrix’’, intermetallic or inter- LICENSE REQUIREMENTS metallic reinforced materials, controlled by Reason for Control: NS, SI, AT 1C007; or

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a.3.c. ‘‘Composite’’ material controlled by c.1.a. Depths more than four times their di- 1C010 and manufactured with resins con- ameter; trolled by 1C008; c.1.b. Diameters less than 0.76 mm; and a.4. Uncooled turbine blades, vanes, ‘‘tip c.1.c. ‘Incidence angles’ equal to or less shrouds’’ or other components, designed to than 25°; or operate at gas path total (stagnation) tem- c.2. All of the following: peratures of 1,323 K (1,050 °C) or more at sea- c.2.a. Depths more than five times their di- level static take-off (ISA) in a ‘‘steady state ameter; mode’’ of engine operation; c.2.b. Diameters less than 0.4 mm; and a.5. Cooled turbine blades, vanes or ‘‘tip c.2.c. ‘Incidence angles’ of more than 25°; shrouds’’, other than those described in TECHNICAL NOTE: For the purposes of 9E003.a.1, exposed to gas path total (stagna- 9E003.c, ‘incidence angle’ is measured from a tion) temperatures of 1,643 K (1,370 °C) or plane tangential to the airfoil surface at the more at sea-level static take-off (ISA) in a point where the hole axis enters the airfoil ‘steady state mode’ of engine operation; surface. TECHNICAL NOTE: The term ‘steady state d. ‘‘Technology’’ ‘‘required’’ for the ‘‘de- mode’ defines engine operation conditions, velopment’’ or ‘‘production’’ of helicopter where the engine parameters, such as thrust/ power transfer systems or tilt rotor or tilt power, rpm and others, have no appreciable wing ‘‘aircraft’’ power transfer systems; fluctuations, when the ambient air tempera- e. ‘‘Technology’’ for the ‘‘development’’ or ture and pressure at the engine inlet are con- ‘‘production’’ of reciprocating diesel engine stant. ground vehicle propulsion systems having all a.6. Airfoil-to-disk blade combinations of the following: using solid state joining; e.1. ‘Box volume’ of 1.2 m3 or less; a.7. Gas turbine engine components using e.2. An overall power output of more than ‘‘diffusion bonding’’ ‘‘technology’’ controlled 750 kW based on 80/1269/EEC, ISO 2534 or na- by 2E003.b; tional equivalents; and a.8. ‘‘Damage tolerant’’ gas turbine engine e.3. Power density of more than 700 kW/m3 rotor components using powder metallurgy of ‘box volume’; materials controlled by 1C002.b; or TECHNICAL NOTE: ‘Box volume’ is the prod- TECHNICAL NOTE: ‘‘Damage toler- uct of three perpendicular dimensions meas- ant’’components are designed using method- ured in the following way: ology and substantiation to predict and limit Length: The length of the crankshaft from crack growth. front flange to flywheel face; a.9. [Reserved] Width: The widest of any of the following: N.B.: For ‘‘FADEC systems’’, see 9E003.h. a. The outside dimension from valve cover a.10. [Reserved] to valve cover; N.B.: For adjustable flow path geometry, b. The dimensions of the outside edges of see 9E003.i. the cylinder heads; or NOTE 1: Adjustable flow path geometry and c. The diameter of the flywheel housing; associated control systems in 9E003.a.10 do Height: The largest of any of the following: not include inlet guide vanes, variable pitch a. The dimension of the crankshaft center- fans, variable stators or bleed valves, for line to the top plane of the valve cover (or compressors. cylinder head) plus twice the stroke; or NOTE 2: 9E003.a.10 does not control ‘‘devel- b. The diameter of the flywheel housing. opment’’ or ‘‘production’’ ‘‘technology’’ for f. ‘‘Technology’’ ‘‘required’’ for the ‘‘pro- adjustable flow path geometry for reverse duction’’ of specially designed components thrust. for high output diesel engines, as follows: a.11. Hollow fan blades; f.1. ‘‘Technology’’ ‘‘required’’ for the ‘‘pro- b. ‘‘Technology’’ ‘‘required’’ for the ‘‘de- duction’’ of engine systems having all of the velopment’’ or ‘‘production’’ of any of the following components employing ceramics following: materials controlled by 1C007: b.1. Wind tunnel aero-models equipped with f.1.a Cylinder liners; non-intrusive sensors capable of transmit- f.1.b. Pistons; ting data from the sensors to the data acqui- f.1.c. Cylinder heads; and sition system; or f.1.d. One or more other components (in- b.2. ‘‘Composite’’ propeller blades or cluding exhaust ports, turbochargers, valve propfans, capable of absorbing more than guides, valve assemblies or insulated fuel 2,000 kW at flight speeds exceeding Mach 0.55; injectors); c. ‘‘Technology’’ ‘‘required’’ for the ‘‘de- f.2. ‘‘Technology’’ ‘‘required’’ for the ‘‘pro- velopment’’ or ‘‘production’’ of gas turbine duction’’ of turbocharger systems with sin- engine components using ‘‘laser’’, water jet, gle-stage compressors and having all of the Electro-Chemical Machining (ECM) or Elec- following: trical Discharge Machines (EDM) hole drill- f.2.a. Operating at pressure ratios of 4:1 or ing processes to produce holes having any of higher; the following: f.2.b. Mass flow in the range from 30 to 130 c.1. All of the following: kg per minute; and

870 Bureau of Industry and Security, Commerce Pt. 774, Supp. 1

f.2.c. Variable flow area capability within adjustable flow path system and that main- the compressor or turbine sections; tain engine stability; f.3. ‘‘Technology’’ ‘‘required’’ for the ‘‘pro- i.3. ‘‘Development’’ ‘‘technology’’ for the duction’’ of fuel injection systems with a control law algorithms, including ‘‘source specially designed multifuel (e.g., diesel or code’’, unique to the adjustable flow path jet fuel) capability covering a viscosity system and that maintain engine stability; range from diesel fuel (2.5 cSt at 310.8 K (37.8 NOTE: 9E003.i does not apply to ‘‘develop- °C)) down to gasoline fuel (0.5 cSt at 310.8 K ment’’ or ‘‘production’’ ‘‘technology’’ for any (37.8 °C)) and having all of the following: of the following: f.3.a. Injection amount in excess of 230 mm3 a. Inlet guide vanes; per injection per cylinder; and b. Variable pitch fans or prop-fans; f.3.b. Electronic control features specially c. Variable compressor vanes; designed for switching governor characteris- d. Compressor bleed valves; or tics automatically depending on fuel prop- e. Adjustable flow path geometry for re- erty to provide the same torque characteris- verse thrust. tics by using the appropriate sensors; j. ‘‘Technology’’ not otherwise controlled g. ‘‘Technology’’ ‘‘required’’ for the devel- in 9E003.a.1 through a.8, a.10, and .h and used opment’’ or ‘‘production’’ of ‘high output in the ‘‘development’’, ‘‘production’’, or diesel engines’ for solid, gas phase or liquid overhaul of hot section parts and compo- film (or combinations thereof) cylinder wall nents of civil derivatives of military engines lubrication and permitting operation to tem- controlled on the U.S. Munitions List. peratures exceeding 723 K (450 °C), measured on the cylinder wall at the top limit of trav- 9E018 ‘‘Technology’’ for the ‘‘development’’, el of the top ring of the piston; ‘‘production’’, or ‘‘use’’ of equipment con- TECHNICAL NOTE: ‘High output diesel en- trolled by 9A018. gines’ are diesel engines with a specified LICENSE REQUIREMENTS brake mean effective pressure of 1.8 MPa or Reason for Control: NS, RS, AT, UN more at a speed of 2,300 r.p.m., provided the rated speed is 2,300 r.p.m. or more. Control(s) Country chart h. ‘‘Technology’’ for gas turbine engine NS applies to entire entry ...... NS Column 1. ‘‘FADEC systems’’ as follows: RS applies to 9A018.a and .b ...... RS Column 2. h.1. ‘‘Development’’ ‘‘technology’’ for de- AT applies to entire entry ...... AT Column 1. riving the functional requirements for the UN applies to entire entry ...... Iraq, North Korea, and components necessary for the ‘‘FADEC sys- Rwanda. tem’’ to regulate engine thrust or shaft power (e.g., feedback sensor time constants LICENSE EXCEPTIONS and accuracies, fuel valve slew rate); CIV: N/A h.2. ‘‘Development’’ or ‘‘production’’ TSR: Yes for Australia, Japan, New Zealand, ‘‘technology’’ for control and diagnostic and NATO countries that are also listed in components unique to the ‘‘FADEC system’’ Country Group B of Supplement No. 1 to and used to regulate engine thrust or shaft part 740 of the EAR. power; LIST OF ITEMS CONTROLLED h.3. ‘‘Development’’ ‘‘technology’’ for the Unit: N/A control law algorithms, including ‘‘source Related Controls: N/A code’’, unique to the ‘‘FADEC system’’ and Related Definitions: N/A used to regulate engine thrust or shaft Items: The list of items controlled is con- power. tained in the ECCN heading NOTE: 9E003.h does not apply to technical data related to engine-aircraft integration 9E101 ‘‘Technology’’ according to the Gen- required by the civil aviation certification eral Technology Note for the ‘‘develop- authorities to be published for general air- ment’’, ‘‘production’’, or ‘‘use’’ of commod- line use (e.g., installation manuals, oper- ities or software controlled by 9A012, ating instructions, instructions for contin- 9A101, 9A104 to 9A111, 9A115 to 9A119, ued airworthiness) or interface functions 9C110, 9D101, 9D103, 9D104 or 9D105. LICENSE REQUIREMENTS (e.g., input/output processing, airframe MT, AT thrust or shaft power demand). Reason for Control: i. ‘‘Technology’’ for adjustable flow path Control(s) Country chart systems designed to maintain engine stability for gas generator turbines, fan or MT applies to entire entry ...... MT Column 1 power turbines, or propelling nozzles, as fol- AT applies to entire entry ...... AT Column 1 lows: i.1. ‘‘Development’’ ‘‘technology’’ for deriv- LICENSE EXCEPTIONS ing the functional requirements for the com- CIV: N/A ponents that maintain engine stability; TSR: N/A i.2. ‘‘Development’’ or ‘‘production’’ LIST OF ITEMS CONTROLLED ‘‘technology’’ for components unique to the Unit: N/A

871 Pt. 774, Supp. 1 15 CFR Ch. VII (1–1–12 Edition)

Related Controls: ‘‘Technology’’ controlled by CIV: N/A 9E101 for items in 9A012, 9A101.b, 9A104, TSR: N/A 9A105, to 9A109, 9A110 that are specially de- LIST OF ITEMS CONTROLLED signed for use in missile systems and sub- Unit: $ value systems, 9A111, 9A115, 9A116 to 9A119, Related Controls: N/A 9D103, and 9D105 are subject to the export Related Definitions: N/A licensing authority of the U.S. Department of State, Directorate of Defense Trade Con- Items: The list of items controlled is controls (see 22 CFR part 121). tained in the ECCN heading Related Definitions: N/A Items: The list of items controlled is con- 9E991 ‘‘Technology’’, for the ‘‘development’’, tained in the ECCN heading ‘‘production’’ or ‘‘use’’ of equipment controlled by 9A991 or 9B991. 9E102 ‘‘Technology’’ according to the Gen- LICENSE REQUIREMENTS eral Technology Note for the ‘‘use’’ of Reason for Control: AT space launch vehicles specified in 9A004, or commodities or software controlled by Control(s) Country chart 9A005 to 9A012, 9A101, 9A104 to 9A111, 9A115 to 9A119, 9B105, 9B106, 9B115, AT applies to entire entry ...... AT Column 1 9B116, 9B117, 9D101, 9D103, 9D104 or 9D105. LICENSE EXCEPTIONS LICENSE REQUIREMENTS CIV: N/A Reason for Control: MT, AT TSR: N/A LIST OF ITEMS CONTROLLED Control(s) Country chart Unit: $ value MT applies to entire entry ...... MT Column 1 Related Controls: N/A AT applies to entire entry ...... AT Column 1 Related Definitions: N/A Items: The list of items controlled is con- LICENSE EXCEPTIONS tained in the ECCN heading CIV: N/A TSR: N/A 9E993 Other ‘‘technology’’, not described by LIST OF ITEMS CONTROLLED 9E003, as follows (see List of Items Con- Unit: N/A trolled) Related Controls: (1) For the purpose of this LICENSE REQUIREMENTS entry, ‘‘use’’ ‘‘technology’’ is limited to items controlled for MT and their sub- Reason for Control: AT systems. (2) ‘‘Technology’’ controlled by 9E102 for Control(s) Country chart commodities or software subject to the ex- AT applies to entire entry ...... AT Column 1. port licensing jurisdiction of the Department of State in 9A004 to 9A012, 9A101.b, 9A104, LICENSE EXCEPTIONS 9A105, 9A106.a to .c, 9A107 to 9A109, 9A110 CIV: N/A that are specially designed for use in missile systems and subsystems, 9A111, 9A115 to TSR: N/A 9A119, 9B115, 9B116, 9D103, specified software LIST OF ITEMS CONTROLLED in 9D104, and 9D105 are subject to the export Unit: $ value. licensing authority of the U.S. Department Related Controls: N/A of State, Directorate of Defense Trade Con- Related Definitions: N/A trols (see 22 CFR part 121). Items: a. Rotor blade tip clearance control Related Definitions: N/A systems employing active compensating cas- Items: The list of items controlled is con- ing ‘‘technology’’ limited to a design and de- tained in the ECCN heading velopment data base; or 9E990 ‘‘Technology’’, n.e.s., for the ‘‘develop- b. Gas bearing for turbine engine rotor as- ment’’ or ‘‘production’’ or ‘‘use’’ of equip- semblies. ment controlled by 9A990 or 9B990. EAR99 Items subject to the EAR that are LICENSE REQUIREMENTS Reason for Control: AT not elsewhere specified in this CCL Cat- egory or in any other category in the CCL Control(s) Country chart are designated by the number EAR99.

AT applies to ‘‘technology’’ for equip- AT Column 1 [63 FR 2459, Jan. 15, 1998] ment under 9A990 and 9B990 except 9A990.a. EDITORIAL NOTE: For FEDERAL REGISTER ci- AT applies to ‘‘technology’’ for equip- AT Column 2 tations affecting supplement no. 1 to part ment under 9A990.a only. 774, see the List of CFR Sections Affected, which appears in the Finding Aids section of LICENSE EXCEPTIONS the printed volume and at www.fdsys.gov.

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