[Federal Register Volume 63, Number 10 (Thursday, January 15, 1998)]
[Rules and Regulations]
[Pages 2452-2555]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-1]
[[Page 2451]]
_______________________________________________________________________
Part II
Department of Commerce
_______________________________________________________________________
Bureau of Export Administration
_______________________________________________________________________
15 CFR Parts 732, 740, 742, 743, 744, 746, 762, and 774
Implementation of the Wassenaar Arrangement List of Dual-Use Items:
Revisions to the Commerce Control List and Reporting Under the
Wassenaar Arrangement; Rule
Federal Register / Vol. 63, No. 10 / Thursday, January 15, 1998 /
Rules and Regulations
[[Page 2452]]
DEPARTMENT OF COMMERCE
Bureau of Export Administration
15 CFR Parts 732, 740, 742, 743, 744, 746, 762, and 774
[Docket No. 971006239-7239-01]
RIN 0694-AB35
Implementation of the Wassenaar Arrangement List of Dual-Use
Items: Revisions to the Commerce Control List and Reporting Under the
Wassenaar Arrangement
AGENCY: Bureau of Export Administration, Commerce.
ACTION: Interim rule with request for comments.
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SUMMARY: Representatives of thirty-three countries gave final approval
July 12-13, 1996 in Vienna, Austria to establish the Wassenaar
Arrangement on Export Controls for Conventional Arms and Dual-Use Goods
and Technologies. The thirty-three countries agreed to control all
items in the List of Dual-Use Goods and Technologies with the objective
of preventing unauthorized transfers. They further agreed on a target
date of November 1, 1996, for implementation of the Wassenaar Lists.
The purpose of this interim rule is to make the changes to the
Commerce Control List necessary to implement the Wassenaar List. In
addition, this interim rule imposes new reporting requirements on
persons that export certain items controlled under the Wassenaar
Arrangement to non-member countries in order to fulfill the information
exchange requirements of the Wassenaar Arrangement. The Department of
Commerce, with other concerned agencies, is reviewing the Export
Administration Regulations to determine whether further changes will be
required to implement the information sharing provisions of the
Wassenaar Arrangement and to make the necessary adjustments to existing
country groups.
This rule also revises part 740 of the EAR by removing License
Exception availability for certain items controlled for missile
technology reasons.
Although the Export Administration Act (EAA) expired on August 20,
1994, the President invoked the International Emergency Economic Powers
Act and continued in effect, to the extent permitted by law, the
provisions of the EAA and the EAR in Executive Order 12924 of August
19, 1994, as extended by the President's notices of August 15, 1995,
August 14, 1996 and August 15, 1997.
DATES: This rule is effective January 15, 1998. Comments on this rule
must be received on or before February 17, 1998.
ADDRESSES: Written comments should be sent to Patricia Muldonian,
Regulatory Policy Division, Bureau of Export Administration, Department
of Commerce, P.O. Box 273, Washington, DC 20044.
FOR FURTHER INFORMATION CONTACT: James Lewis, Director, Office of
Strategic Trade and Foreign Policy Controls, Bureau of Export
Administration, Telephone: (202) 482-0092.
SUPPLEMENTARY INFORMATION:
Background
In July 1996, the United States and thirty-two other countries gave
final approval to the establishment of a new multilateral export
control arrangement, called the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies
(Wassenaar Arrangement). The Wassenaar Arrangement contributes to
regional and international security and stability by promoting
transparency and greater responsibility in transfers of conventional
arms and dual-use goods and technologies, thus preventing destabilizing
accumulations of such items. Participating states have committed to
exchange information on exports of dual-use goods and technologies to
non-participating states for the purposes of enhancing transparency and
assisting in developing common understandings of the risks associated
with the transfers of these items.
To fulfill U.S. commitments to the Wassenaar Arrangement with
regard to dual-use items, this rule amends the Export Administration
Regulations (EAR) by imposing new reporting requirements for exports of
certain items controlled under the Wassenaar Arrangement. Reports are
not required for reexports. These new requirements appear in newly
added part 743 of the EAR. Information from exporters will be
consolidated by BXA for an aggregate data submission to the
participating states.
With respect to certain dual-use commodities, software, and
technology, participating states have undertaken commitments to notify
each other preferably within 30 days, but no later than 60 days, of an
approval of a license that has been denied by another participating
state for an essentially identical transaction during the preceding
three years. Certain of these items are eligible for License Exceptions
authorized by part 740 of the EAR. Therefore, in order to meet
Wassenaar Arrangement requirements, exporters on occasion may be
informed that the export of a certain item to a specific end-user under
a License Exception is not authorized or alternatively, may be
requested to provide prior written notification to BXA of an export of
a certain item to a specific end-user under a License Exception.
Reports are required to be submitted to BXA semiannually for
specified items controlled under the Wassenaar Arrangement exported
under License Exceptions LVS, GBS, CIV, CTP, TSR, and GOV. BXA must
receive such reports no later than August 1 for exports during the
reporting period January 1 through June 30, and no later than February
1 for exports during the reporting period July 1 through December 31.
The Export Control Classification Number and paragraph reference as
identified on the Commerce Control List, number of units in each
shipment, and the country of ultimate destination must be included in
each report for each export during the reporting period. Although the
exporter must be identified on all reports to BXA, names of exporters
will not be released to participating states. Certain additional
information requirements apply to digital computers.
Exporters should note that the first report must be submitted to
and received by BXA no later than August 1, 1998 for the partial
reporting period beginning January 15, 1998 and ending June 30, 1998.
Thereafter, reports are required semiannually according to the
provisions of new Sec. 743.1(f) of the EAR.
This rule also amends Sec. 742.12 of the EAR (High Performance
Computers) to clarify the reporting and recordkeeping requirements for
certain computer and software exports.
This rule also amends part 740 of the EAR by adding appropriate
cross-references to reporting requirements under License Exceptions
LVS, GBS, CIV, TSR, CTP, and GOV. The major changes in the Commerce
Control List (CCL) necessary to implement the Wassenaar Arrangement are
summarized below.
In addition, based on interagency agreement, particularly
consultations with the Department of State, this rule revises part 740
of the EAR by removing License Exception availability for missile
technology (MT) controlled items, except that items described in ECCNs
6A008, 7A001, 7A002, 7A004, 7A101, 7A102, 7A103, 7A104, 7D001, 7D002,
7D003, 7D101, 7D102, 7E003, or 7E101, may be exported as part of a
manned aircraft, satellite, land vehicle, or marine vehicle or in
quantities
[[Page 2453]]
appropriate for replacement parts under License Exceptions TMP, RPL,
TSU, or AVS. This action is based on a U.S. Government policy to
restrict the proliferation of missile capability and is consistent with
the Missile Technology Control Regime (MTCR) multilateral guidelines.
Also, in an effort to comply with our international commitments of
the Wassenaar Arrangement, the U.S. has also committed to exercise
extreme vigilance for certain items controlled for national security
reasons (NS), which are considered most critical to military
applications. This rule removes License Exception eligibility for
License Exceptions LVS, CIV, TSR, and GOV for certain commodities,
technologies, and software controlled for national security reasons for
which the U.S. has agreed to license with extreme vigilance.
Category 1--Materials
Additional controls have been added for body armor (1A005), certain
fluorocarbon electronic cooling fluids (1C006), certain ``ceramic-
ceramic'' materials with oxide or glass matrix (1C007), certain metals
and compounds (1C011), and certain material for nuclear heat sources.
In addition, controls for ``stress'' limits for metal alloys (1C002),
have been modified. Additional clarification of controls are specific
for the transition temperature limits on certain ``fibrous or
filamentary materials'' (1C010)
Category 2--Material Processing
A significant number of changes have been implemented for machine
tools. Specifically, the machine tool entry has been modified to
separate the controls on turning, milling and grinding machines. In
particular, such machines will no longer be controlled under the
Wassenaar Arrangement on the basis of ``tilting spindles'',
``camming'', or ``run-out''. Also, detailed test procedures, as
specified by the International Standards Organization (ISO), will no
longer be reiterated in the list. This revision will allow the
regulations to remain effective while keeping the procedures under
which the equipment is measured, current with industry practice. In
addition, controls have been removed for ``numerical control'' units
and ``motion control boards'', wire feed type electrical discharge
machines (2B001), manual machines specially designed for bevel gears
(2B003), systems for inspection of hemishells (2B006), and software for
``flexible manufacturing units'' (2D002). Two additional items have
been added under 2B001. They include ``specialty machines'' (i.e. deep
hole drilling machines) and spin-forming/flow-forming machines. Lastly,
controls on spindle assemblies and slide assemblies have been moved
from 2B008 to 2B992 as specially designed components therefore.
Category 3--Electronics
A number of controls have been removed for components under
Category 3, including microprocessors up to a composite theoretical
performance (CTP) value of 260 Mtops, most storage devices (i.e. memory
circuits), and on custom integrated circuits (3A001). In addition, the
frequency parameter for network analyzers and microwave test receivers
have been relaxed, and controls on emulators (3A002) have been removed
entirely. The most significant change is in the entries under Category
3B dealing with semiconductor manufacturing equipment. Specifically,
these entries have been combined and divided into two ECCNs. In
addition, the limit for control of integrated circuits testers have
been raised from 50 MHZ to 60 MHZ (3B002).
Category 4--Computers
Under category 4, the CTP value for computers has been raised from
260 Mtops to 2,000 Mtops. The limit on graphic accelerators and
graphics coprocessors has been relaxed to a 3-D vector rate of
3,000,000 (4A003). The technology for ``multi-data-stream processing''
has been revised to the control level defined in 4A003.b. (4E002). The
technology for magnetic hard disk drives (4E002) has been removed.
Category 5--Telecommunications, Part I
Several sections of Part I, Telecommunication have been removed
creating a significant number of changes to the controls on
telecommunication equipment. The majority of changes are identified in
the following entries.
All controls on telecommunication transmission equipment or
systems, having digital cross connect equipment and modems (5A001.b.),
have been removed. In addition, controls have been removed on certain
communication channel controllers, certain network access controllers,
certain radio equipment operating at frequencies of 31 GHz or less, and
certain digital signal processing equipment based upon ``user-
accessible programmability'' by raising the control parameters in each
instance (5A001.b.).
Also, controls have been removed on ``stored program controlled''
switching equipment containing any of the following characteristics,
functions or features (5A001.c.):
--``Integrated Services Digital Network'' (ISDN) functions;
--Multi-level priority and pre-emption for circuit switching;
--Routing or switching of ``datagram'' packets;
--Routing for switching of fast select packets;
--Automatic hand-off of cellular radio calls; and
--Digital cross connect equipment.
Additionally, the control parameters for the ``data signaling
rate'' for ``communications channel controllers'' and the digital
transfer rate for ``network access controllers'' have been modified to
relax controls on packet switches, circuit switches and routers.
Controls on all general purpose test equipment (e.g. bit error rate
testers and protocol analyzers) have been removed (5B001). Controls on
software for use of digital switching equipment (5D001) have been
removed and controls on development technology for spread spectrum and
frequency hopping techniques (5E001.b.) have been added.
Category 5--``Information Security'', Part II
Under Part II, ``Information Security'', certain items have been
decontrolled through an expansion of ``Notes'' within the entry of
5A002. These notes state that certain access control equipment (e.g.
equipment to protect personal identification numbers [PIN]), data
authentication equipment (e.g. equipment which calculates a Message
Authentication Code [MAC]) and cryptographic equipment specially
designed and limited for use in machines for banking or money
transactions are not controlled. In addition, all software for virus
protection (5D002) has been removed.
Category 6--Sensors and Lasers
Under the acoustics section, controls for certain wide-swath
bathymetric survey systems and terrestrial geophones have been removed.
In addition, controls for towed acoustic hydrophone arrays and
processing equipment for hydrophone arrays have been modified. Controls
for bottom or bay cable systems (6A001) have been added. Under optical
sensors, controls for specially designed components of image
intensifier tubes (6A002) have been modified. Controls for monospectral
imaging sensors have been added. Under optics, controls on certain
optical filters and ``fluoride fiber'' cable (6A004) have been removed.
Under lasers, certain carbon dioxide lasers, semiconductor lasers, ruby
lasers, neodymium doped lasers and free electron lasers (6A005) have
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been removed. Under radar, weather balloon tracking radars (6A008) have
been removed. For production equipment, equipment for test, inspection
and production of lasers (6B005) have been removed. In addition,
controls on materials for optical fiber preforms for the manufacture of
high birefringence fibers (6C002), materials for certain low optical
absorption materials, and materials for optical fiber preforms for the
manufacture of fluoride fibers (6C004) have been removed. Controls on
software specially designed for bottom or bay cables have been added
and controls on certain primary radar target data software (6D003) have
been removed. Finally, controls for certain optical fabrication
technology and technology for certain optical fibers (6E003) have been
removed.
Category 7--Navigation and Avionics
Controls on inertial navigation systems certified for use on
``civil aircraft'' (7A003) have been removed. Also, controls for
direction finder equipment (7A007), computer aided design (CAD)
software (7D003), and technology for electric actuators for primary
flight control and flight control optical sensor arrays (7E004) have
been added.
Category 8--Marine
Controls for certain underwater vision systems, certain
photographic still cameras and certain light systems (8A002) have been
relaxed. Controls on stirling cycle engine air independent power
systems (8A002) have been clarified.
Category 9--Propulsion
Under the section dealing with Test, Inspection and Production
Equipment, several items have been removed, including automated
equipment for measuring airfoil wall thickness, tooling/fixtures, and
measuring equipment for hole drilling processing, ceramic core leaching
equipment and ceramic shell burn out or firing equipment (9B001).
Controls on brush seals have been narrowed by adding a control for a
temperature limit (9B003) and expanded by adding tools, dies or
fixtures for solid state joining of intermetallic airfoil-to-disk
combinations for gas turbine engines (9B004). Transducers/strain
gauges/accelerometers/thermocouples for vibration equipment (9B006)
have also been removed. Accordingly, under software, controls for
certain software for vibration test equipment as well as certain
development/production software of test facilities for engines (9D004)
have been removed. Finally, a few modifications have been made under
technology for gas turbine engine components or systems and controls on
helicopter power transfer systems or tilt rotor or tilt wing aircraft
(9E003). Specifically, controls have been narrowed on technology for
multiple domed combustors (9E003.a.2), the technology for gas bearing
for gas turbine engine rotor assemblies (9E003.a.12), and the
technology for helicopter, tilt rotor or tilt wing aircraft power
transfer systems.
All items removed from national security (NS) controls as a result
of the Wassenaar List of Dual-Use Goods and Technologies will continue
to be controlled for antiterrorism (AT) reasons.
Numerous entries that are contained on the Wassenaar List of Dual-
Use Goods and Technologies are subject to the export licensing
authority of the Office of Defense Trade Controls, Department of State.
This rule will list all entries that are controlled on the Wassenaar
List of Dual-Use Goods and Technologies, but will specify that those
entries are under the licensing authority of the Office of Defense
Trade Controls, Department of State.
On March 25, 1996 (61 FR 12714), BXA revised the Commerce Control
List by adopting the European Union (EU) numbering system and converted
our former ECCNs to correspond accordingly. The changes adopted by this
rule attempts to further harmonize the CCL with the EU List. This
ensures that identical ECCNs on the CCL and the EU List will identify
the same item(s). From an enforcement or customs perspective, this
common numbering system simplifies export controls for all countries
that harmonize to this control list. As a result of this harmonization
exercise, it was discovered that certain differences exist between the
EU List and the CCL and among agencies within the U.S., in terms of
MTCR related controls. These differences predominately exist in the
area of technology and software controls. For most of the entries, the
EU text was adopted or modified to ensure that it comported to the
intent of the MTCR Annex. For those technology and software entries
where differences could not be resolved at the interagency level, it
was agreed to maintain the control text for those entries as published
in the March 25 rule, until these differences are resolved.
To ensure that no overlap in controls exists among the regimes and
that the Wassenaar Arrangement list did not decontrol items that are
currently controlled on the MTCR Annex, references to certain missile
technology controlled entries were included and clarification notes
were added to aid the exporter.
In addition, this rule will include ECCN entries for those MTCR
items that are under the licensing authority of the Department of
State, Office of Defense Trade Controls. Those items are specifically
listed on the CCL to inform the exporter that the corresponding EU list
entry for such items are under the licensing authority of the
Department of State, Office of Defense Trade Controls.
BXA is continuing a comprehensive review of the Commerce Control
List (CCL) to account for items controlled by the Nuclear Suppliers
Group (NSG), the Missile Technology Control Regime (MTCR), and the
Australia Group (AG) and to correct errors published on March 25, 1996,
and unavoidably reprinted in this version of the CCL. The review will
be based in large part upon the comments received in response to the
March 25 rule and upon ongoing efforts to harmonize the CCL with the
EU's control list.
Saving Clause
This rule revises the numbering and structure of certain entries on
the Commerce Control List. For items under such entries and for April
15, 1998, BXA will accept license applications for items described
either by the entries in effect immediately before January 15, 1998 or
the entries described in this rule. In addition, shipments of items
removed from eligibility for export or reexport under a particular
License Exception authorization or the designator NLR, as a result of
this regulatory action, may continue to be exported or reexported under
that License Exception authorization or designator until February 17,
1998.
Rulemaking Requirements
1. This interim rule has been determined to be significant for
purposes of E.O. 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with a collection of information, subject to the
requirements of the Paperwork Reduction Act (PRA), unless that
collection of information displays a currently valid OMB Control
Number. This rule involves collections of information subject to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) These
collections has been approved by the Office of Management and Budget
under control numbers 0694-0073, 0694-0086, and 0694-0088. This rule
also contains a new collection-of-information requirement subject to
[[Page 2455]]
the PRA that has received emergency approval under OMB control number
0694-xxxx. The new information requirement and estimated public burden
hours include: recording responses (5 minutes each); filing responses
(1 minute each); and transmitting responses to BXA (10 minutes per
exporter). These estimates include the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collections of information.
Send comments regarding these burden estimates or any other aspect of
these collections of information, including suggestions for reducing
the burden, to OMB Desk Officer, New Executive Office Building,
Washington, DC 20503.
3. This rule does not contain policies with Federalism implications
sufficient to warrant preparation of a Federalism assessment under
Executive Order 12612.
4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (Sec. 5 U.S.C. 553(a)(1)). Further, no
other law requires that a notice of proposed rulemaking and an
opportunity for public comment be given for this interim rule. Because
a notice of proposed rulemaking and an opportunity for public comment
are not required to be given for this rule under 5 U.S.C. or by any
other law, the analytical requirements of the Regulatory Flexibility
Act (5 U.S.C. 601 et seq.) are not applicable.
However, because of the importance of the issues raised by these
regulations, this rule is issued in interim form and comments will be
considered in the development of final regulations.
Accordingly, the Department encourages interested persons who wish
to comment to do so at the earliest possible time to permit the fullest
consideration of their views.
The period for submission of comments will close February 17, 1998.
The Department will consider all comments received before the close of
the comment period in developing final regulations. Comments received
after the end of the comment period will be considered if possible, but
their consideration cannot be assured. The Department will not accept
public comments accompanied by a request that a part or all of the
material be treated confidentially because of its business proprietary
nature or for any other reason. The Department will return such
comments and materials to the person submitting the comments and will
not consider them in the development of final regulations. All public
comments on these regulations will be a matter of public record and
will be available for public inspection and copying. In the interest of
accuracy and completeness, the Department requires comments in written
form.
Oral comments must be followed by written memoranda, which will
also be a matter of public record and will be available for public
review and copying. Communications from agencies of the United States
Government or foreign governments will not be made available for public
inspection.
The public record concerning these regulations will be maintained
in the Bureau of Export Administration Freedom of Information Records
Inspection Facility, Room 4525, Department of Commerce, 14th Street and
Pennsylvania Avenue, N.W., Washington, D.C. 20230. Records in this
facility, including written public comments and memoranda summarizing
the substance of oral communications, may be inspected and copied in
accordance with regulations published in Part 4 of Title 15 of the Code
of Federal Regulations. Information about the inspection and copying of
records at the facility may be obtained from Margaret Cornejo, Bureau
of Export Administration Freedom of Information Officer, at the above
address or by calling (202) 482-5653.
List of Subjects
15 CFR Part 732
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Part 740
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Part 742
Exports, Foreign Trade.
15 CFR Part 743
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Part 744
Exports, Foreign Trade, Reporting and recordkeeping requirements.
15 CFR Part 746
Embargoes, Exports, Foreign Trade, Reporting and recordkeeping
requirements.
15 CFR Part 762
Administrative practice and procedure, Business and Industry,
Exports, Foreign trade, Reporting and recordkeeping requirements.
15 CFR Part 774
Exports, Foreign Trade.
Accordingly, parts 732, 740, 742, 744, 746, 762, and 774 of the
Export Administration Regulations (15 CFR parts 730 through 799) are
amended as follows:
1. The authority citation for parts 732 and 762 is revised to read
as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; E.O. 13026, 3
CFR, 1995 Comp., p. 228; Notice of August 15, 1995, 3 CFR, 1995
Comp., p. 501; Notice of August 14, 1996, 3 CFR, 1996 Comp., p. 298;
and Notice of August 13, 1997 (62 FR 43629, August 15, 1997).
2. The authority citation for part 740 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; Notice of August
15, 1995, 3 CFR, 1995 Comp., p. 501; Notice of August 14, 1996, 3
CFR, 1996 Comp., p. 289; and Notice of August 13, 1997 (62 FR 43629,
August 15, 1997).
3. The authority citation for part 742 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
18 U.S.C. 2510 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a;
E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58
FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12924, 59 FR 43437, 3 CFR,
1994 Comp., p, 917; E.O. 12938, 59 FR 59099, 3 CFR, 1995 Comp., p.
950; Notice of August 15, 1995, 3 CFR, 1995 Comp., p. 501; Notice of
August 14, 1996, 3 CFR, 1996 Comp., p. 289; and Notice of August 13,
1997 (62 FR 43629, August 15, 1997).
4-5. The authority citation for part 744 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C 1701 et seq.;
22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; E.O. 12058, 43 FR 20947, 3
CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp.,
p. 608; E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 915; E.O.
12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; Notice of August 14,
1996, 3 CFR, 1996 Comp., p. 298; and Notice of August 13, 1997 (62
FR 43629, August 15, 1997).
6. The authority citation for part 746 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 287c; 22 U.S.C. 6004; E.O. 12918, 59 FR 28205, 3 CFR, 1994
[[Page 2456]]
Comp., p. 899; E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917;
Notice of August 14, 1996, 3 CFR, 1996 Comp., p. 298; and Notice of
August 13, 1997 (62 FR 43629, August 15, 1997).
7. The authority citation for part 774 continues to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 720; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C.
287c; 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; Sec. 201, Pub. L. 104-
58, 109 Stat. 557 (30 U.S.C. 185(s)); 30 U.S.C. 185(u); 42 U.S.C.
2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. 466c; 50
U.S.C. app. 5; E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917;
Notice of August 15, 1995, 3 CFR, 1995 Comp., p. 501; Notice of
August 14, 1996, 3 CFR, 1996 Comp., p. 298; and Notice of August 13,
1997 (62 FR 43629, August 15, 1997).
PART 732--[AMENDED]
8. Section 732.4 of the EAR is amended by adding a new paragraph
(b)(3)(iv) to read as follows:
Sec. 732.4 Steps regarding License Exceptions.
* * * * *
(b) * * *
(3) * * *
(iv) If you are exporting under License Exceptions GBS, CIV, LVS,
CTP, TSR, or GOV, you should review Sec. 743.1 of the EAR to determine
the applicability of certain reporting requirements.
* * * * *
PART 740--[AMENDED]
9. Section 740.2 is amended:
a. By adding a new paragraph (a)(5); and
b. By adding a new paragraph (c) to read as follows:
Sec. 740.2 Restrictions on all License Exceptions.
(a) * * *
(5) The item is controlled for missile technology (MT) reasons,
except that the items described in ECCNs 6A008, 7A001, 7A002, 7A004,
7A101, 7A102, 7A103, 7A104, 7B001, 7D001, 7D002, 7D003, 7D101, 7D102,
7E003, or 7E101, may be exported as part of a manned aircraft,
satellite, land vehicle or marine vehicle or in quantities appropriate
for replacement parts for such applications under Sec. 740.9(a)(2)(ii)
(License Exception TMP for kits consisting of replacement parts),
Sec. 740.10 (License Exception RPL), Sec. 740.13 (License Exception
TSU), or Sec. 740.15(c) (License Exception AVS for equipment and spare
parts for permanent use on a vessel or aircraft).
* * * * *
(c) BXA may by informing the exporter, suspend or revoke any
License Exception in order to comply with U.S. Wassenaar obligations.
In addition, BXA may inform an exporter, that before using any License
Exception, a notice be submitted with BXA concerning the proposed
export.
10. Section 740.3 is amended by adding a new paragraph (f) to read
as follows:
Sec. 740.3 Shipments of Limited Value (LVS).
* * * * *
(f) Reporting requirements. See Sec. 743.1 of the EAR for reporting
requirements for exports of certain commodities under License Exception
LVS.
11. Section 740.4 is revised to read as follows:
Sec. 740.4 Shipments to Country Group B countries (GBS).
License Exception GBS authorizes exports and reexports to Country
Group B (see Supplement No. 1 to part 740) of those commodities
controlled to the ultimate destination for national security reasons
only and identified by ``GBS--Yes'' on the CCL. See Sec. 743.1 of the
EAR for reporting requirements for exports of certain commodities under
License Exception GBS.
12. Section 740.5 is amended by adding a new sentence at the end to
read as follows:
Sec. 740.5 Civil end-users (CIV).
* * * See Sec. 743.1 of the EAR for reporting requirements for
exports of certain commodities under License Exception CIV.
13. Section 740.6 is amended by adding paragraph (b) to read as
follows:
Sec. 740.6 Technology and software under restriction (TSR).
* * * * *
(b) Reporting requirements. See Sec. 743.1 of the EAR for reporting
requirements for exports of certain commodities under License Exception
TSR.
14. Section 740.7 is amended by revising paragraph (f) to read as
follows:
Sec. 740.7 Computers (CTP).
* * * * *
(f) Reporting requirements. See Sec. 743.1 of the EAR for reporting
requirements for exports of certain commodities under License Exception
CTP.
15. Section 740.11 is amended:
a. By revising paragraph (a)(2);
b. By revising paragraph (b)(2)(iii);
c. By revising paragraph (b)(2)(iv), and
d. By adding a new Supplement No. 1, as follows:
Sec. 740.11 Governments and international organizations (GOV).
* * * * *
(a) * * *
(2) The following items controlled for national security (NS)
reasons under Export Control Classification Numbers (ECCNs) identified
on the Commerce Control List may not be exported or reexported under
this License Exception to destinations other than Austria, Belgium,
Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy,
Luxembourg, the Netherlands, Portugal, Spain, Sweden, and the United
Kingdom: 1C001, 1C012, 5A001.b.9, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.7, 6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c,
6A008.l.3., 6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
(i) ``Composite'' structures or laminates controlled by 1A002.a.,
having an organic ``matrix'' and made from materials listed under
1C010.c. or 1C010.d.; and
(ii) ``Digital'' computers controlled by 4A003.b. and having a CTP
exceeding 10,000 MTOPS; and
(iii) ``Electronic assemblies'' controlled by 4A003.c. and capable
of enhancing performance by aggregation of ``computing elements'' so
that the CTP of the aggregation exceeds 10,000 MTOPS; and
(iv) Processing equipment controlled by 6A001.a.2.c. and specially
designed for real time application with towed acoustic hydrophone
arrays; and
(v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and
having processing equipment specially designed for real time
application with bottom or bay cable systems; and
(vi) ``Software'', as follows:
(A) Controlled by 4D001, specially designed for the ``development''
or ``production'' for items controlled by 4A003.b or .c, as defined by
paragraphs (a)(2)(ii) and (iii) of this section; and
(B) Controlled by 5D001.a, specially designed for items controlled
by 5A001.b.9; and
(C) Controlled by 6D001 for items controlled by 6A008.l.3 or 6B008;
and
(D) Controlled by 6D003.a; and
(E) Controlled by 7D003.a or 7D003.b; and
(F) Controlled by 8D001, specially designed for the ``development''
or ``production'' of equipment controlled by 8A001.b, 8A001.d, or
8A002.o.3.b; and
(G) Controlled by 9D001, specially designed for the ``development''
of equipment or ``technology'' controlled by 9A011, 9E003.a.1, or by
9E003.a.3, for items controlled by 1A002.a, as
[[Page 2457]]
described in paragraph (a)(2)(i) of this section; and
(H) Controlled by 9D002 for ``software'' specially designed for the
``production'' of equipment controlled by 9A011; and
(I) Controlled by 9D004.a or .c.
(b) * * *
(2) * * *
(iii) (A) Items for official use within national territory by
agencies of the U.S. Government. This License Exception is available
for all items consigned to and for the official use of any agency of a
cooperating government within the territory of any cooperating
government, except items described in paragraph (a) to Supplement No. 1
of this section:
(B) Reporting requirements. See Sec. 743.1 of the EAR for reporting
requirements for exports of certain items under this paragraph
(b)(2)(iii).
(iv) (A) Diplomatic and consular missions of a cooperating
government. This License Exception is available for all items consigned
to and for the official use of a diplomatic or consular mission of a
cooperating government located in any country in Country Group B (see
Supplement No. 1 to part 740), except items described in paragraph (b)
of Supplement No. 1 of this section.
(B) Reporting requirements. See Sec. 743.1 of the EAR for reporting
requirements for exports of certain items under this paragraph
(b)(2)(iv).
* * * * *
Supplement No. 1 to Sec. 740.11--Additional Restrictions on Use of
License Exception GOV
(a) Items for official use within national territory by agencies
of the U.S. Government. License Exception GOV is available for all
items consigned to and for the official use of any agency of a
cooperating government within the territory of any cooperating
government, except:
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
1C012, 5A001.b.9, 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c, 6A008.l.3.,
6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
(i) ``Composite'' structures or laminates controlled by
1A002.a., having an organic ``matrix'' and made from materials
listed under 1C010.c. or 1C010.d.; and
(ii) ``Digital'' computers controlled by 4A003.b. and having a
CTP exceeding 10,000 MTOPS; and
(iii) ``Electronic assemblies'' controlled by 4A003.c. and
capable of enhancing performance by aggregation of ``computing
elements'' so that the CTP of the aggregation exceeds 10,000 MTOPS;
and
(iv) Processing equipment controlled by 6A001.a.2.c. and
specially designed for real time application with towed acoustic
hydrophone arrays; and
(v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and
having processing equipment specially designed for real time
application with bottom or bay cable systems;
(vi) ``Software'', as follows:
(A) Controlled by 4D001, specially designed for the
``development'' or ``production'' for items controlled by 4A003.b or
.c, as defined by paragraphs (a)(1)(ii) and (iii) of this
Supplement; and
(B) Controlled by 5D001.a, specially designed for items
controlled by 5A001.b.9; and
(C) Controlled by 6D001 for items controlled by 6A008.l.3 or
6B008; and
(D) Controlled by 6D003.a; and
(E) Controlled by 7D003.a or 7D003.b; and
(F) Controlled by 8D001, specially designed for the
``development'' or ``production'' of equipment controlled by
8A001.b, 8A001.d, or 8A002.o.3.b; and
(G) Controlled by 9D001, specially designed for the
``development'' of equipment or ``technology'' controlled by 9A011,
9E003.a.1, or by 9E003.a.3, for items controlled by 1A002.a, as
described in paragraph (a)(1)(i) of this Supplement; and
(H) Controlled by 9D002 for ``software'' specially designed for
the ``production'' of equipment controlled by 9A011; and
(I) Controlled by 9D004.a or .c.
(vii) ``Technology'', as follows:
(A) Controlled by 5E001.a for items controlled by 5A001.b.9 or
5D001.a; and
(B) Controlled by 1E001 for items controlled by 1A002.a, 1C001,
or 1C102 as described by paragraph (a)(1)(i) of this Supplement; and
(C) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
(D) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
(E) Controlled by 8E001 for items controlled by 8A001.b,
8A002.o.3.b, or 8A001.d; and
(F) Controlled by 9E001 for items controlled by 9A011, 9D001, or
9D002; and
(G) Controlled by 9E002 for items controlled by 9A011; and
(H) Controlled by 9E003.a.1; and
(I) Controlled by 9E003.a.3 for items controlled by 1A002.a as
described in paragraph (a)(1) of this Supplement.
(2) Items identified on the Commerce Control List as controlled
for missile technology (MT), chemical and biological warfare (CB),
or nuclear nonproliferation (NP) reasons;
(3) Regional stability items controlled under Export Control
Classification Numbers (ECCNs) 6A002, 6A003, 6E001, 6E002, 7D001,
7E001, 7E002, and 7E101 as described in Sec. 742.6(a)(1) of the EAR;
or
(4) Encryption items controlled for EI reasons as described in
the Commerce Control List.
(b) Diplomatic and consular missions of a cooperating
government. License Exception GOV is available for all items
consigned to and for the official use of a diplomatic or consular
mission of a cooperating government located in any country in
Country Group B (see Supplement No. 1 to part 740), except:
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
1C012, 5A001.b.9, 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c, 6A008.l.3.,
6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
(i) ``Composite'' structures or laminates controlled by
1A002.a., having an organic ``matrix'' and made from materials
listed under 1C010.c. or 1C010.d.; and
(ii) ``Digital'' computers controlled by 4A003.b. and having a
CTP exceeding 10,000 MTOPS; and
(iii) ``Electronic assemblies'' controlled by 4A003.c. and
capable of enhancing performance by aggregation of ``computing
elements'' so that the CTP of the aggregation exceeds 10,000 MTOPS;
and
(iv) Processing equipment controlled by 6A001.a.2.c. and
specially designed for real time application with towed acoustic
hydrophone arrays; and
(v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and
having processing equipment specially designed for real time
application with bottom or bay cable systems;
(vi) ``Software'', as follows:
(A) Controlled by 4D001, specially designed for the
``development'' or ``production'' for items controlled by 4A003 .b
or .c, as defined by paragraphs (b)(1) (ii) or (iii) of this
Supplement; and
(B) Controlled by 5D001.a, specially designed for items
controlled by 5A001.b.9; and
(C) Controlled by 6D001 for items controlled by 6A008.l.3 or
6B008; and
(D) Controlled by 6D003.a; and
(E) Controlled by 7D003.a or 7D003.b; and
(F) Controlled by 8D001, specially designed for the
``development'' or ``production'' of equipment controlled by
8A001.b, 8A001.d, or 8A002.o.3.b; and
(G) Controlled by 9D001, specially designed for the
``development'' of equipment or ``technology'' controlled by 9A011,
9E003.a.1, or by 9E003.a.3, for items controlled by 1A002.a, as
described in paragraph (b)(1)(i) of this Supplement; and
(H) Controlled by 9D002 for ``software'' specially designed for
the ``production'' of equipment controlled by 9A011; and
[[Page 2458]]
(I) Controlled by 9D004 .a or .c.
(vii) ``Technology'', as follows:
(A) Controlled by 5E001.a for items controlled by 5A001.b.9 or
5D001.a; and
(B) Controlled by 1E001 for items controlled by 1A002.a, 1C001,
or 1C102 as described by paragraph (b)(1) of this Supplement; and
(C) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (b)(1) of this Supplement; and
(D) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (b)(1) of this Supplement; and
(E) Controlled by 8E001 for items controlled by 8A001.b,
8A002.o.3.b, or 8A001.d; and
(F) Controlled by 9E001 for items controlled by 9A011, 9D001, or
9D002; and
(G) Controlled by 9E002 for items controlled by 9A011; and
(H) Controlled by 9E003.a.1; and
(I) Controlled by 9E003.a.3 for items controlled by 1A002.a as
described in paragraph (b)(1)(i) of this Supplement.
(2) Items identified on the Commerce Control List as controlled
for missile technology (MT), chemical and biological warfare (CB),
or nuclear nonproliferation (NP) reasons;
(3) Regional stability items controlled under Export Control
Classification Numbers (ECCNs) 6A002, 6A003, 6E001, 6E002, 7D001,
7E001, 7E002, and 7E101 as described in Sec. 742.6(a)(1) of the EAR;
or
(4) Encryption items controlled for EI reasons as described in
the Commerce Control List.
PART 742--[AMENDED]
16. Section 742.6(a)(1) is amended:
a. By removing the phrase ``6D102 (only software for development of
items in 6A002.a.1, a.2, a.3, or .c);'' and
b. By revising the phrase ``7E002 (only technology for the
production of inertial navigation systems, inertial equipment, and
specially designed components therefor for civil aircraft).'' to read
``7E002 (only technology for the production of inertial navigation
systems, inertial equipment, and specially designed components therefor
for civil aircraft); 7E101 (only technology for the use of inertial
navigation systems, inertial equipment, and specially designed
components for civil aircraft).''
17. Section 742.12 is amended by revising paragraph (a)(3) and by
removing paragraph (a)(4) to read as follows:
Sec. 742.12 High performance computers.
(a) * * *
(3) Exporters must keep accurate records of each export to
countries not included in Country Group A:1 (see Supplement No. 1 to
part 740 of the EAR) of a computer with a CTP greater than 4,000 MTOPS.
These records must be submitted semiannually to BXA and must contain
the information as described in Sec. 743.1 of the EAR.
* * * * *
18. A new part 743 is added to read as follows:
PART 743--SPECIAL REPORTING
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; Notice of August
15, 1995, 3 CFR, 1995 Comp., p. 501; Notice of August 14, 1996, 3
CFR, 1996 Comp., p. 289; and Notice of August 13, 1997 (62 FR 43629,
August 15, 1997).
Sec. 743.1 Wassenaar Arrangement.
(a) Scope. This section outlines special reporting requirements for
exports of certain commodities, software and technology controlled
under the Wassenaar Arrangement. Such reports must be submitted to BXA
semiannually in accordance with the provisions of paragraph (f) of this
section, and records of all exports subject to the reporting
requirements of this section must be kept in accordance with part 762
of the EAR. This section does not require reports for reexports.
(b) Requirements. You must submit two (2) copies of each report
required under the provisions of this section and maintain accurate
supporting records (see Sec. 762.2(b) of the EAR) for all exports of
items specified in paragraph (c) of this section under any of the
following License Exceptions authorized by part 740 of the EAR: License
Exceptions GBS, CIV, TSR, LVS, CTP, and GOV. For purposes of this part
743, ``you'' has the same meaning as ``U.S. exporter'', as defined in
part 772 of the EAR.
(c) Items for which reports are required. (1) You must submit
reports to BXA under the provisions of this section only for exports of
items controlled under the following ECCNs:
(i) Category 1: 1A002, 1C007.c and .d, 1C010.c and .d, 1D002,
1E001, 1E002.e, and 1E002.f.;
(ii) Category 2: 2B001.a or .b (certain items only; see Note to
this paragraph) 2B001.f, 2B003, 2D001, 2E001, and 2E002;
Note to paragraph (c)(1)(ii): The following are not controlled
for NP reasons: turning machines controlled by 2B001.a with a
capacity equal to or less than 35 mm diameter; bar machines
(Swissturn), limited to machining only bar feed through, if maximum
bar diameter is equal to or less than 42 mm and there is no
capability of mounting chucks (machines may have drilling and/or
milling capabilities for machining parts with diameters less than 42
mm); or milling machines controlled by 2B001.b with x-axis travel
greater than two meters and overall ``positioning accuracy'' on the
x-axis more (worse) than 0.030 mm. Therefore, exports of such items
under License Exception GOV are subject to reporting requirements.
(iii) Category 3: 3A002.g.2, 3B001.a.2, 3D001, and 3E001;
(iv) Category 4: 4A001.a.2 and .b, 4A003.b and .c (see paragraph
(c)(2) of this section), 4D001, 4D003.c, and 4E001;
(v) Category 5: 5A001.b.8, 5B001 (items specially designed for
5A001.b.8), 5D001.a and .b, 5E001.a, 5A002, 5B002, 5D002, and 5E002;
(vi) Category 6: 6A001.a.1.b, .a.2.c, .a.2.d, and .a.2.e; 6A002.b,
6A004.c and d, 6A006.g and h, 6A008.d, .h, and .k; 6D001, 6D003.a,
6E001, and 6E002;
(vii) Category 8: 8A001.c; 8A002.b, .h, .j, .o.3.a, and .p; 8D001,
8D002, 8E001, and 8E002.a; and
(viii) Category 9: 9B001.b, 9D001, 9D002, 9D004.a and .c, 9E001,
9E002, 9E003.a.1, 9E003.a.2, .a.3, .a.4, .a.5, .a.8, and .a.9.
(2) Reports for ``digital computers'' and ``electronic assemblies''
controlled under ECCN 4A003.b and .c are required only for computers
with a composite theoretical performance (CTP) exceeding 4,000 MTOPS or
computer enhancements thereof such that the CTP exceeds 4,000 MTOPS.
Records for software controlled by 4D001 are required for software
specially designed for the development or production of computers
having a CTP exceeding 4,000 MTOPS. For the calculation of CTP, see the
Technical Note for Category 4 in the Commerce Control List (Supplement
No. 2 to part 774 of the EAR).
(d) Country Exceptions. You must report each export subject to the
provisions of this section, except for exports to countries identified
in Country Group A:1 (see Supplement No. 1 to part 740 of the EAR).
(e) Information that must be included in each report. (1) Each
report submitted to BXA for items other than those identified in
paragraph (e)(2) of this section must include the following information
for each export during the time periods specified in paragraph (f) of
this section:
(i) Export Control Classification Number and paragraph reference as
identified on the Commerce Control List;
(ii) Number of units in the shipment; and
[[Page 2459]]
(iii) Country of ultimate destination.
(2) Reports for ``digital computers'' and ``electronic assemblies''
controlled under ECCN 4A003.b and .c must include the following
information:
(i) Date of shipment;
(ii) Name and address of the end-user and each intermediate
consignee;
(iii) CTP of each computer or aggregation of computing elements in
shipment;
(iv) Quantity shipped; and
(v) End-use.
(f) Frequency and timing of reports. You must submit reports
subject to the provisions of this section semiannually. The reports
must be labeled with the exporting company's name and address at the
top of each page and must include for each such export all the
information specified in paragraph (e) of this section. The reports
shall cover exports made during six month time periods spanning from
January 1 through June 30 and July 1 through December 31.
(1) The first report must be submitted to and received by BXA no
later than August 1, 1998 for the partial reporting period beginning
January 15, 1998 and ending June 30, 1998. Thereafter, reports are due
according to the provisions of paragraphs (f)(2) and (f)(3) of this
section.
(2) Reports for the reporting period ending June 30 must be
submitted to and received by BXA no later than August 1.
(3) Reports for the reporting period ending December 31 must be
submitted to and received by BXA no later than February 1.
(g) Mailing address and facsimile number: (1) Two (2) copies of
reports required under this section shall be delivered to one of the
following addresses. BXA will not accept reports sent C.O.D.
(i) For deliveries by U.S. postal service:
Bureau of Export Administration, U.S. Department of Commerce, P.O.
Box 273, Attn: ``Wassenaar Reports'', Washington, D.C. 20044
(ii) For courier deliveries:
Bureau of Export Administration, U.S. Department of Commerce, Attn:
``Wassenaar Reports'', Room 2705, 14th Street and Pennsylvania Ave.,
N.W., Washington, D.C. 20230
(2) Reports may also be sent by facsimile to: (202) 482-3345, Attn:
``Wassenaar Reports''.
(h) Contacts. General information concerning the Wassenaar
Arrangement and reporting obligations thereof is available from the
Office of Strategic Trade and Foreign Policy Controls, Tel. (202) 482-
0092, Fax: (202) 482-4094.
Sec. 743.2 [Reserved]
PART 744--[AMENDED]
19. Section 744.8(b) is amended by revising the phrase ``7A006,
7A106, 7A115, 7A994,'' to read ``7A006, 7A994''.
PART 746--[AMENDED]
20. Section 746.8(b)(1)(ii) is amended by revising the phrase
``6E002, 9A115, 9A991.a,'' to read ``6E002, 9A991.a,''.
PART 762--[AMENDED]
21. Section 762.2 is amended by revising paragraphs (b)(35) and
(b)(36) and by adding a new paragraph (b)(37) to read as follows:
Sec. 762.2 Records to be retained.
* * * * *
(b) * * *
(35) Sec. 764.5, Voluntary self-disclosure;
(36) Sec. 766.10, Subpoenas; and
(37) Sec. 743.1, Wassenaar reports.
PART 774--[AMENDED]
22. Supplement No. 1 to part 774 is revised to read as follows:
Supplement No. 1 to Part 774--the Commerce Control List
Category 0--Nuclear Materials, Facilities, and Equipment [and
Miscellaneous Items]
A. Systems, Equipment and Components
0A001 ``Nuclear reactors'', i.e., reactors capable of operation so as
to maintain a controlled, self-sustaining fission chain reaction, and
equipment and components specially designed or prepared for use in
connection with a ``nuclear reactor'', including (see List of Items
Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 0A001 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A.
Related Controls: N/A
Related Definitions: N/A
Items: a. Pressure vessels, i.e. metal vessels as complete units or
X parts therefor, which are specially designed or prepared to
contain the core of a ``nuclear reactor'' and are capable of
withstanding the operating pressure of the primary coolant,
including the top plate for a reactor pressure vessel;
b. Fuel element handling equipment, including reactor fuel
charging and discharging machines;
c. Control rods specially designed or prepared for the control
of the reaction rate in a ``nuclear reactor'', including the neutron
absorbing part and the support or suspension structures therefore,
and control rod guide tubes;
d. Electronic controls for controlling the power levels in
``nuclear reactors'', including reactor control rod drive mechanisms
and radiation detection and measuring instruments to determine
neutron flux levels;
e. Pressure tubes specially designed or prepared to contain fuel
elements and the primary coolant in a ``nuclear reactor'' at an
operating pressure in excess of 5.1 MPa;
f. Tubes or assemblies of tubes, made from zirconium metal or
alloy in which the ratio of hafnium to zirconium is less than 1:500
parts by weight, specially designed or prepared for use in a
``nuclear reactor'';
g. Coolant pumps specially designed or prepared for circulating
the primary coolant of ``nuclear reactors'';
h. Internal components specially designed or prepared for the
operation of a ``nuclear reactor'', including core support
structures, thermal shields, baffles, core grid plates and diffuser
plates;
i. Heat exchangers.
0A002 Power generating or propulsion equipment specially designed for
use with space, marine or mobile ``nuclear reactors''. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)
0A018 Items on the International Munitions List.
License Requirements
Reason for Control: NS, RS, AT, UN
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
RS applies to 0A018.c.................. RS Column 2
AT applies to entire entry............. AT Column 1
UN applies to entire entry............. Rwanda
License Exceptions
LVS: $5000 for 0A018.a and b; $3000 for 0A018.c; $1500 for 0A018.d
through .f; $0 for entire entry for Rwanda
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: 0A018.a, .b, and .c in $ value; 0A018.d, .e, and .f in number.
Related Controls: N/A
Related Definitions: N/A
Items: a. Power controlled searchlights and control units therefor,
designed for military use, and equipment mounting such units; and
specially designed parts and accessories therefor;
b. Construction equipment built to military specifications,
specially designed for airborne transport; and specially designed
parts and accessories therefor;
c. Specially designed components and parts for ammunition,
except cartridge cases, powder bags, bullets, jackets, cores,
shells, projectiles, boosters, fuses and components, primers, and
other detonating devices and ammunition belting and linking machines
(all of which are subject to the export licensing authority of the
U.S. Department of
[[Page 2460]]
State, Office of Defense Trade Controls. (See 22 CFR parts 120
through 130.)
d. Bayonets;
e. Muzzle-loading (black powder) firearms;
Note: Antique small arms dating prior to 1890 and their
reproductions are not controlled by this ECCN 0A018.
f. Military helmets, except:
f.1. Conventional steel helmets other than those described by
0A018.f.2 of this entry.
f.2. Helmets, made of any material, equipped with communications
hardware, optional sights, slewing devices or mechanisms to protect
against thermal flash or lasers.
Note: Helmets described in 0A018.f.1 are controlled by 0A988.
Helmets described in 0A018.f.2 are controlled by the U.S. Department
of State, Office of Defense Trade Controls (See 22 CFR part 121,
Category X).
0A980 Horses by sea.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements
(and possible License Exceptions) proceed directly to part 754 of
the EAR. The Commerce Country Chart is not designed to determine
licensing requirements for items controlled for SS reasons
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A982 Saps; thumbcuffs, leg irons, shackles, and handcuffs; straight
jackets, plastic handcuffs, machetes, conventional steel military
helmets, police helmets and shields; and parts and accessories, n.e.s.
License Requirements
Reason for Control: CC, UN
Control(s) Country Chart
CC applies to entire entry except CC Column 1
machetes.
UN applies to machetes................. Rwanda
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A983 Specially designed implements of torture and thumbscrews; and
parts and accessories, n.e.s.
License Requirements
Reason for Control: CC
Control(s): CC applies to entire entry. A license is required for
ALL destinations, regardless of end-use. Accordingly, a column
specific to this control does not appear on the Commerce Country
Chart. (See part 742 of the EAR for additional information.)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A984 Shotguns, barrel length 18 inches (45.72 cm) inches or over;
buckshot shotgun shells; except equipment used exclusively to treat or
tranquilize animals, and except arms designed solely for signal, flare,
or saluting use; and parts, n.e.s.
License Requirements
Reason for Control: CC, UN
Control(s) Country Chart
CC applies to shotguns with a barrel CC Column 1
length over 18 in. (45.72 cm) but less
than 24 in. (60.96 cm) or buckshot
shotgun shells controlled by this
entry, regardless of end-user.
CC applies to shotguns with a barrel CC Column 2
length greater than or equal to 24 in.
(60.96 cm), regardless of end-user.
CC applies to shotguns with a barrel CC Column 3
length greater than or equal to 24 in.
(60.96 cm) if for sale or resale to
police or law enforcement.
UN applies to entire entry............. Rwanda
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control shotguns with a barrel
length of less than 18 inches (45.72 cm). (See 22 CFR part 121.)
These items are subject to the export licensing authority of the
Department of State, Office of Defense Trade Controls
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A985 Optical sighting devices for firearms (including shotguns
controlled by 0A984); discharge type arms (for example, stun guns,
shock batons, electric cattle prods, immobilization guns and
projectiles, etc.) except equipment used exclusively to treat or
tranquilize animals, and except arms designed solely for signal, flare,
or saluting use; and parts, n.e.s.
License Requirements
Reason for Control: CC, UN
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
UN applies to entire entry............. Rwanda
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A986 Shotgun shells, except buckshot shotgun shells, and parts.
License Requirements
Reason for Control: UN
Control(s): UN applies to entire entry. A license is required for
items controlled by this entry to Cuba, Libya, North Korea and
Rwanda. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A988 Conventional military steel helmets as described by 0A018.f.1;
and machetes.
License Requirements
Reason for Control: UN
Control(s): UN applies to entire entry. A license is required for
items controlled by this entry to Cuba, Libya, North Korea and
Rwanda. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information
Note: Exports from the U.S. and transhipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See Sec. 746.7 of the EAR for additional information on
this requirement.)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
B. Test, Inspection and Production Equipment
0B001 Plant for the separation of isotopes of ``natural uranium'' and
``depleted uranium'', ``special fissile materials'' and ``other fissile
materials'', and specially designed or prepared equipment and
components therefor, as follows (see List of Items Controlled).
License Requirements
Reason for Control:
[[Page 2461]]
Control(s): Items described in 0B001 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110).
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Plant specially designed for separating isotopes of
``natural uranium'' and ``depleted uranium'', ``special fissile
materials'' and ``other fissile materials'', as follows:
a.1. Gaseous diffusion separation plant;
a.2. Gas centrifuge separation plant;
a.3. Aerodynamic separation plant;
a.4. Chemical exchange separation plant;
a.5. Ion-exchange separation plant;
a.6. Atomic vapor ``laser'' isotopic separation plant;
a.7. Molecular ``laser'' isotopic separation plant;
a.8. Plasma separation plant;
a.9. Electro magnetic separation plant;
b. Equipment and components, specially designed or prepared for
gaseous diffusion separation process, as follows:
b.1. Bellow valves made of or protected by materials resistant
to UF6 (e.g., aluminum, aluminum alloys, nickel or alloy
containing 60 weight percent or more nickel), with a diameter of 40
mm to 1500 mm;
b.2.a. Compressors (positive displacement, centrifugal and axial
flowtypes) or gas blowers with a suction volume capacity of 1
m3/min or more of UF6, and discharge pressure
up to 666.7 kPa, made of or protected by materials resistant to
UF6 (e.g. aluminum, aluminum alloys, nickel or alloy
containing 60 weight percent or more nickel);
b.2.b. Rotary shaft seals for compressors or blowers specified
in 0B001.b.2.a. and designed for a buffer gas in-leakage rate of
less than 1,000 cm3/min.;
b.3. Gaseous diffusion barriers made of porous metallic,
polymer or ceramic materials resistant to corrosion by
UF6 with a pore size of 10 to 100 nm, a thickness of 5 mm
or less, and, for tubular forms, a diameter of 25 mm or less;
b.4. Gaseous diffuser housings made of or protected by
materials resistant to corrosion by UF6;
b.5. Heat exchangers made of aluminum, copper, nickel, or
alloys containing more than 60 weight percent nickel, or
combinations of these metals as clad tubes, designed to operate at
sub-atmospheric pressure with a leak rate that limits the pressure
rise to less than 10 Pa per hour under a pressure differential of
100 kPa;
c. Equipment and components, specially designed or prepared for
gas centrifuge separation process, as follows:
c.1. Gas centrifuges;
c.2. Complete rotor assemblies consisting of one or more rotor
tube cylinders;
c.3. Rotor tube cylinders with a thickness of 12 mm or less, a
diameter of between 75 mm and 400 mm, made from any of the following
high strength-to-density ratio materials:
c.3.a. Maraging steel capable of an ultimate tensile strength of
2,050 MPa or more;
c.3.b. Aluminum alloys capable of an ultimate tensile strength
of 460 MPa or more; or
c.3.c. ``Fibrous or filamentary materials'' with a ``specific
modulus'' of more than 3.18 x 106 m and a ``specific
tensile strength'' greater than 76.2 x 103 m;
c.4. Magnetic suspension bearings consisting of an annular
magnet suspended within a housing made of UF6 resistant
materials (e.g. aluminum, aluminum alloys, nickel or alloy
containing 60 weight percent or more nickel) containing a damping
medium and having the magnet coupling with a pole piece or second
magnet fitted to the top cap of the rotor;
c.5. Specially prepared bearings comprising a pivot-cup assembly
mounted on a damper;
c.6. Rings or bellows with a wall thickness of 3 mm or less and
a diameter of between 75 mm and 400 mm and designed to give local
support to a rotor tube or to join a number together, made from any
of the following high strength-to-density ratio materials;
c.6.a. Maraging steel capable of an ultimate tensile strength of
2050 MPa or more;
c.6.b. Aluminum alloys capable of an ultimate tensile strength
of 460 MPa or more; or
c.6.c. ``Fibrous or filamentary materials'' with a ``specific
modulus'' of more than 3.18 x 106 m and a ``specific
tensile strength'' greater than 76.2 x 103 m;''.
c.7. Baffles of between 75 mm and 400 mm diameter for mounting
inside a rotor tube, made from any of the following high strength-
to-density ratio materials:
c.7.a. Maraging steel capable of an ultimate tensile strength of
2050 MPa or more;
c.7.b. Aluminum alloys capable of an ultimate tensile strength
of 460 MPa or more; or
c.7.c. ``Fibrous or filamentary materials'' with a ``specific
modulus'' of more than 3.18 x 106 m and a ``specific
tensile strength'' greater than 76.2 x 103 m;''.
c.8. Top and bottom caps of between 75 mm and 400 mm diameter to
fit the ends of a rotor tube, made from any of the following high
strength-to-density ratio materials:
c.8.a. Maraging steel capable of an ultimate tensile strength of
2050 MPa or more; or
c.8.b. Aluminum alloys capable of an ultimate tensile strength
of 460 MPa or more;
c.8.c. ``Fibrous or filamentary materials'' with a ``specific
modulus'' of more than 3.18 x 106 m and a ``specific
tensile strength'' greater than 76.2 x 103 m.
c.9. Molecular pumps comprised of cylinders having internally
machined or extruded helical grooves and internally machined bores;
c.10. Ring-shaped motor stators for multiphase AC hysteresis (or
reluctance) motors for synchronous operation within a vacuum in the
frequency range of 600 to 2,000 Hz and a power range of 50 to 1,000
Volt-Amps;
c.11. Frequency changers (converters or inverters) specially
designed or prepared to supply motor stators for gas centrifuge
enrichment, having all of the following characteristics, and
specially designed components therefor:
c.11.a. Multiphase output of 600 to 2000 Hz;
c.11.b. Frequency control better than 0.1%;
c.11.c. Harmonic distortion of less than 2%; and
c.11.d. An efficiency greater than 80%;
c.12. Centrifuge housing/recipients to contain the rotor tube
assembly of a gas centrifuge, consisting of a rigid cylinder of wall
thickness up to 30 mm with precision machined ends and made of or
protected by UF6 resistant materials;
c.13. Scoops consisting of tubes of up to 12 mm internal
diameter for the extraction of UF6 gas from within a
centrifuge rotor tube by a Pitot tube action, made of or protected
by UF6 resistant materials;
d. Equipment and components, specially designed or prepared for
aerodynamic separation process, as follows:
d.1. Separation nozzles consisting of slit-shaped, curved
channels having a radius of curvature less than 1 mm and having a
knife-edge contained within the nozzle which separates the gas
flowing through the nozzle into two streams;
d.2. Tangential inlet flow-driven cylindrical or conical tubes
(vortex tubes), made of or protected by UF6 resistant
materials with a diameter of between 0.5 cm and 4 cm and a length to
diameter ratio of 20:1 or less and with one or more tangential
inlets;
d.3. Compressors (positive displacement, centrifugal and axial
flow types) or gas blowers with a suction volume capacity of 2
m3/min, made of or protected by materials resistant to
UF6 (e.g., aluminum, aluminum alloys, nickel or alloy
containing 60 weight percent or more nickel), and rotary shaft seals
therefor;
d.4. Aerodynamic separation element housings, made of or
protected by materials resistant to UF6 to contain vortex
tubes or separation nozzles;
d.5. Heat exchangers made of aluminum, copper, nickel, or alloy
containing more than 60 weight percent nickel, or combinations of
these metals as clad tubes, designed to operate at pressures of 600
kPa or less;
d.6. Bellows valves made of or protected by UF6
resistant materials with a diameter of 40 to 1500 mm;
d.7. Process systems for separating UF6 from carrier
gas (hydrogen or helium) to 1 ppm UF6 content or less,
including:
d.7.a. Cryogenic heat exchangers and cryoseparators capable of
temperatures of -120 deg. C or less;
d.7.b. Cryogenic refrigeration units capable of temperatures of
-120 deg. C or less;
d.7.c. Separation nozzle or vortex tube units for the separation
of UF6 from carrier gas;
d.7.d. UF6 cold traps capable of temperatures of
-20 deg. C or less;
e. Equipment and components, specially designed or prepared for
chemical exchange separation process, as follows:
e.1. Fast-exchange liquid-liquid centrifugal contactors with
stage residence time of 30 seconds or less and resistant to
concentrated hydrochloric acid (e.g., made of or lined with suitable
plastic materials such as fluorocarbon polymers or lined with
glass);
[[Page 2462]]
e.2. Fast-exchange liquid-liquid pulse columns with stage
residence time of 30 seconds or less and resistant to concentrated
hydrochloric acid (e.g., made of or lined with suitable plastic
materials such as fluorocarbon polymers or lined with glass);
e.3. Electrochemical reduction cells designed to reduce uranium
from one valence state to another;
e.4. Electrochemical reduction cells feed equipment to take
U+4 from the organic stream and, for those parts in
contact with the process stream, made of or protected by suitable
materials (e.g., glass, fluorocarbon polymers, polyphenyl sulphate,
polyether sulfone and resin-impregnated graphite);
e.5. Feed preparation systems for producing high purity uranium
chloride solution consisting of dissolution, solvent extraction and/
or ion exchange equipment for purification and electrolytic cells
for reducing the uranium U+6 or U+4 to
U+3;
e.6. Uranium oxidation systems for oxidation of U+3
to U+4;
f. Equipment and components, specially designed or prepared for
ion-exchange separation process, as follows:
f.1. Fast reacting ion-exchange resins, pellicular or porous
macro-reticulated resins in which the active chemical exchange
groups are limited to a coating on the surface of an inactive porous
support structure, and other composite structures in any suitable
form, including particles or fibers, with diameters of 0.2 mm or
less, resistant to concentrated hydrochloric acid and designed to
have an exchange rate half-time of less than 10 seconds and capable
of operating at temperatures in the range of 100 deg. C to 200 deg.
C;
f.2. Ion exchange columns (cylindrical) with a diameter greater
than 1000 mm, made of or protected by materials resistant to
concentrated hydrochloric acid (e.g., titanium or fluorocarbon
plastics) and capable of operating at temperatures in the range of
100 deg. C to 200 deg. C and pressures above 0.7 MPa;
f.3. Ion exchange reflux systems (chemical or electrochemical
oxidation or reduction systems) for regeneration of the chemical
reducing or oxidizing agents used in ion exchange enrichment
cascades;
g. Equipment and components, specially designed or prepared for
atomic vapor ``laser'' isotopic separation process, as follows:
g.1. High power electron beam guns with total power of more than
50 kW and strip or scanning electron beam guns with a delivered
power of more than 2.5 kW/cm for use in uranium vaporization
systems;
g.2. Trough shaped crucibles and cooling equipment made of or
protected by materials resistant to heat and corrosion of molten
uranium or uranium alloy's (e.g., tantalum, yttria-coated graphite,
graphite coated with other rare earth oxides or mixtures thereof);
N.B: See also 2A225.
g.3. Product and tails collector systems made of or lined with
materials resistant to the heat and corrosion of uranium vapor, such
as yttria-coated graphite or tantalum;
g.4. Separator module housings (cylindrical or rectangular
vessels) for containing the uranium metal vapor source, the electron
beam gun and the product and tails collectors;
g.5. ``Lasers'' or ``laser'' systems for the separation of
uranium isotopes with a spectrum frequency stabilizer for operation
over extended periods of time;
N.B.: See also 6A005 and 6A205.
h. Equipment and components, specially designed or prepared for
molecular ``laser'' isotopic separation process, as follows:
h.1. Supersonic expansion nozzles for cooling mixtures of
UF6 and carrier gas to 150 K or less and made from
UF6 resistant materials;
h.2. Uranium fluoride (UF5) product collectors
consisting of filter, impact, or cyclone-type collectors or
combinations thereof, and made of UF5/UF6
resistant materials (e.g. aluminum, aluminum alloys, nickel or
alloys containing 60 weight percent of nickel and UF6
resistant fully fluorinated hydrocarbon polymers);
h.3. Equipment for fluorinating UF5 to
UF6;
h.4. Compressors made of or protected by materials resistant to
UF6 (e.g., aluminum, aluminum alloys, nickel or alloy
containing 60 weight percent or more nickel), and rotary shaft seals
therefor;
h.5. Process systems for separating UF6 from carrier
gas (e.g., nitrogen or argon) including:
h.5.a. Cryogenic heat exchangers and cryoseparators capable of
temperatures of -120 deg.C or less;
h.5.b. Cryogenic refrigeration units capable of temperatures of
-120 deg.C or less;
h.5.c. UF6 cold traps capable of temperatures of -20 deg.C or
less;
h.6. ``Lasers'' or ``laser'' systems for the separation of
uranium isotopes with a spectrum frequency stabilizer for operation
over extended periods of time;
N.B.: See also 6A005 and 6A205.
i. Equipment and components, specially designed or prepared for
plasma separation process, as follows:
i.1. Product and tails collectors made of or protected by
materials resistant to the heat and corrosion of uranium vapor such
as yttria-coated graphite or tantalum;
i.2. Radio frequency ion excitation coils for frequencies of
more than 100 kHz and capable of handling more than 40 kW mean
power;
i.3. Microwave power sources and antennae for producing or
accelerating ions, with an output frequency greater than 30 GHz and
mean power output greater than 50 kW;
i.4. Uranium plasma generation systems;
i.5. Liquid uranium metal handling systems consisting of
crucibles, made of or protected by suitable corrosion and heat
resistant materials (e.g., tantalum, yttria-coated graphite,
graphite coated with other rare earth oxides or mixtures thereof),
and cooling equipment for the crucibles;
N.B.: See also 2A225.
i.6. Separator module housings (cylindrical) for containing the
uranium plasma source, radio-frequency drive coil and the product
and tails collectors and made of a suitable non-magnetic material
(e.g. stainless steel);
j. Equipment and components, specially designed or prepared for
electromagnetic separation process, as follows:
j.1. Ion sources, single or multiple, consisting of a vapor
source, ionizer, and beam accelerator made of suitable materials
(e.g., graphite, stainless steel, or copper) and capable of
providing a total ion beam current of 50 mA or greater;
j.2. Ion collector plates for collection of enriched or depleted
uranium ion beams, consisting of two or more slits and pockets and
made of suitable non-magnetic materials (e.g., graphite or stainless
steel);
j.3. Vacuum housings for uranium electromagnetic separators made
of non-magnetic materials (e.g. graphite or stainless steel) and
designed to operate at pressures of 0.1 Pa or lower;
j.4. Magnet pole pieces with a diameter greater than 2 m;
j.5. High voltage power supplies for ion sources, having all of
the following characteristics:
j.5.a. Capable of continuous operation;
j.5.b. Output voltage of 20,000 V or greater;
j.5.c. Output current of 1 A or greater;
j.5.d. Voltage regulation of better than 0.01% over a period of
8 hours;
N.B.: See also 3A227.
j.6. Magnet power supplies (high power, direct current) having
all of the following characteristics:
j.6.a. Capable of continuous operation with a current output of
500 A or greater at a voltage of 100 V or greater;
j.6.b. Current or voltage regulation better than 0.01% over a
period of 8 hours.
N.B.: See also 3A226.
0B002 Specially designed or prepared auxiliary systems, equipment and
components, as follows, (see List of Items Controlled) for isotope
separation plant specified in 0B001, made of or protected by
UF6 resistant materials.
License Requirements
Reason for Control:
Control(s): Items described in 0B002 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Feed autoclaves, ovens or systems used for passing
UF6 to the enrichment process;
b. Desublimers or cold traps, used to remove UF6 from
the enrichment process for subsequent transfer upon heating;
c. Product and tails stations for transferring UF6
into containers;
d. Liquefaction or solidification stations used to remove
UF6 from the enrichment process by compressing and
converting UF6 to a liquid or solid form;
e. Piping systems and header systems specially designed for
handling UF6 within gaseous diffusion, centrifuge or
aerodynamic cascades made of or protected by UF6
resistant materials;
[[Page 2463]]
f.1. Vacuum manifolds or vacuum headers having a suction
capacity of 5 m\3\/minute or more; or
f.2. Vacuum pumps specially designed for use in UF6
bearing atmospheres;
g. UF6 mass spectrometers/ion sources specially
designed or prepared for taking on-line samples of feed, product or
tails from UF6 gas streams and having all of the
following characteristics:
g.1. Unit resolution for mass of more than 320 amu;
g.2. Ion sources constructed of or lined with nichrome or monel,
or nickel plated;
g.3. Electron bombardment ionization sources; and
g.4. Collector system suitable for isotopic analysis.
0B003 Plant for the production of uranium hexafluoride
(UF6) and specially designed or prepared equipment and
components therefor, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $ value
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Plant for the production of UF6;
b. Equipment and components, as follows, specially designed of
prepared for UF6 production:
b.1. Fluorination and hydrofluorination screw and fluid bed
reactors and flame towers;
b.2. Distillation equipment for the purification of
UF6.
0B004 Plant for the production of heavy water, deuterium or deuterium
compounds, and specially designed or prepared equipment and components
therefor, as follows (see List of Items Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 0B004 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Plant for the production of heavy water, deuterium or
deuterium compounds, as follows:
a.1. Hydrogen sulphide-water exchange plants;
a.2. Ammonia-hydrogen exchange plants;
a.3. Hydrogen distillation plants;
b. Equipment and components, as follows, designed for:
b.1. Hydrogen sulphide-water exchange process:
b.1.a. Tray exchange towers;
b.1.b. Hydrogen sulphide gas compressors;
b.2. Ammonia-hydrogen exchange process:
b.2.a. High-pressure ammonia-hydrogen exchange towers;
b.2.b. High-efficiency stage contactors;
b.2.c. Submersible stage recirculation pumps;
b.2.d. Ammonia crackers designed for pressures of more than 3
MPa;
b.3. Hydrogen distillation process:
b.3.a. Hydrogen cryogenic distillation towers and cold boxes
designed for operation below 35 K (-238 deg. C);
b.3.b. Turboexpanders or turboexpander-compressor sets designed
for operation below 35 K (-238 deg. C);
b.4. Heavy water concentration process to reactor grade level
(99.75 weight percent deuterium oxide):
b.4.a. Water distillation towers containing specially designed
packings;
b.4.b. Ammonia distillation towers containing specially designed
packings;
b.4.c. Catalytic burners for conversion of fully enriched
deuterium to heavy water;
b.4.d. Infrared absorption analyzers capable of on-line
hydrogen-deuterium ratio analysis where deuterium concentrations are
equal to or more than 90 weight percent.
0B005 Plant specially designed for the fabrication of ``nuclear
reactor'' fuel elements and specially designed equipment therefor.
License Requirements
Reason for Control:
Control(s): Items described in 0B005 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: A plant for the fabrication of ``nuclear
reactor'' fuel elements includes equipment which: (a) Normally comes
into direct contact with or directly processes or controls the
production flow of nuclear materials; (b) Seals the nuclear
materials within the cladding; (c) Checks the integrity of the
cladding or the seal; and (d) Checks the finish treatment of the
solid fuel
Items: The List of Items Controlled is contained in the ECCN heading
0B006 Plant for the reprocessing of irradiated ``nuclear reactor''
fuel elements, and specially designed or prepared equipment and
components therefor, including (see List of Items Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 0B006 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Fuel element chopping or shredding machines, i.e. remotely
operated equipment to cut, chop, shred or shear irradiated ``nuclear
reactor'' fuel assemblies, bundles or rods;
b. Dissolvers, critically safe tanks (e.g. small diameter,
annular or slab tanks) specially designed or prepared for the
dissolution of irradiated ``nuclear reactor'' fuel, which are
capable of withstanding hot, highly corrosive liquids, and which can
be remotely loaded and maintained;
c. Counter-current solvent extractors and ion-exchange
processing equipment specially designed or prepared for use in a
plant for the reprocessing of irradiated ``natural uranium'',
``depleted uranium'' or ``special fissile materials'' and ``other
fissile materials'';
d. Process control instrumentation specially designed or
prepared for monitoring or controlling the reprocessing of
irradiated ``natural uranium'', ``depleted uranium'' or ``special
fissile materials'' and ``other fissile materials'';
e. Holding or storage vessels specially designed to be
critically safe and resistant to the corrosive effects of nitric
acid;
Note: Critically safe tanks may have the following features:
1. Walls or internal structures with a boron equivalent of at
least two percent;
2. A maximum diameter or 175 mm for cylindrical vessels; or
3. A maximum width of 75 mm for either a slab or annular vessel.
f. Complete systems specially designed or prepared for the
conversion of plutonium nitrate to plutonium oxide;
g. Complete systems specially designed or prepared for the
production of plutonium metal.
Note: Plant for the reprocessing of irradiated ``nuclear
reactor'' fuel elements includes equipment and components which
normally come into direct contact with and directly control the
irradiated fuel and the major nuclear material and fission product
processing streams.
0B008 Equipment for ``nuclear reactors''.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $ value
GBS: N/A
CIV: N/A
[[Page 2464]]
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Simulators specially designed for ``nuclear reactors'';
b. Ultrasonic or eddy current test equipment specially designed
for ``nuclear reactors''.
0B009 Plant for the conversion of uranium and equipment specially
designed or prepared therefor, as follows (see List of Items
Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 0B009 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Systems for the conversion of uranium ore concentrates to
UO3;
b. Systems for the conversion of UO3 to
UF6;
c. Systems for the conversion of UO3 to
UO2;
d. Systems for the conversion of UO2 to
UF4;
e. Systems for the conversion of UF4 to
UF6;
f. Systems for the conversion of UF4 to uranium
metal;
g. Systems for the conversion of UF6 to
UO2;
h. Systems for the conversion of UF6 to
UF4.
0B986 Equipment specially designed for manufacturing shotgun shells;
and ammunition hand-loading equipment for both cartridges and shotgun
shells.
License Requirements
Reason for Control: UN
Control(s): UN applies to entire entry. A license is required for
items controlled by this entry to Cuba, Libya, North Korea and
Rwanda. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
C. Materials
0C001 ``Natural uranium'' or ``depleted uranium'' or thorium in the
form of metal, alloy, chemical compound or concentrate and any other
material containing one or more of the foregoing.
License Requirements
Reason for Control:
Control(s): Items described in 0C001 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 1A290. (2) This entry does not
control: (a) Four grams or less of ``natural uranium'' or ``depleted
uranium'' when contained in a sensing component in instruments (see
10 CFR part 110); or (b) ``Depleted uranium'' specially fabricated
for the following civil non-nuclear applications: Shielding;
Packaging; Ballasts; or Counter-weights
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0C002 ``Special fissile materials'' and ``other fissile materials'';
except, four ``effective grams'' or less when contained in a sensing
component in instruments.
License Requirements
Reason for Control:
Control(s): Items described in 0C002 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: 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
0C004 Deuterium, heavy water, deuterated paraffins and other compounds
of deuterium, and mixtures and solutions containing deuterium, in which
the isotopic ratio of deuterium to hydrogen exceeds 1:5000.
License Requirements
Reason for Control:
Control(s): Items described in 0C004 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: 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
0C005 Graphite, nuclear-grade, having a purity level of less than 5
parts per million ``boron equivalent'' and with a density greater than
1.5 g/cm \3\.
License Requirements
Reason for Control:
Control(s): Items described in 0C005 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: 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
0C006 Nickel powder or porous nickel metal, specially prepared for the
manufacture of gaseous diffusion barriers, as follows (see List of
Items Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 0C006 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: See also 1C240
Related Definitions: N/A
Items: a. Powder with a nickel purity content of 99.9 weight percent
or more and a mean particle size of less than 10 micrometers
measured by American Society for Testing and Materials (ASTM) B330
standard and a high degree of particle size uniformity; or
b. Porous nickel metal produced from materials specified in
0C006.a.
0C201 Specially prepared compounds or powders, other than nickel,
resistant to corrosion by UF6 (e.g. aluminum oxide and fully
fluorinated hydrocarbon polymers), for the manufacture of gaseous
diffusion barriers, having a purity of 99.9 weight percent or more and
a mean particle size of less than 10 micrometers measured by American
Society for Testing and Materials (ASTM) B330 standard and a high
degree of particle size uniformity.
License Requirements
Reason for Control:
Control(s): Items described in 0C201 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
[[Page 2465]]
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
D. Software
0D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of goods controlled by this
Category.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to ``software'' for items NP Column 1
controlled by 0B003.
NP applies to ``software'' for items NP Column 2
controlled by 0B008.
AT applies to entire entry AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) ``Software'' for items controlled by 0A001,
0A002, 0B001, 0B002, 0B004, 0B005, 0B006, 0B009, 0C001, 0C002,
0C004, 0C005, 0C006, and 0C201 are subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part
110). (2) ``Software'' for items controlled by 0A002 are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls (see 22 CFR part 121)
.Related Definitions: N/A
Items: The List of Items Controlled is contained in the ECCN heading
E. Technology
0E001 ``Technology'' according to the Nuclear Technology Note for the
``development'', ``production'' or ``use'' of items controlled by this
Category.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to ``technology'' for items NP Column 1
controlled by 0B003.
NP applies to ``technology'' for items NP Column 2
controlled by 0B008.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: ``Technology'' for items controlled by 0A001,
0A002, 0B001, 0B002, 0B004, 0B005, 0B006, 0B009, 0C001, 0C002,
0C004, 0C005, 0C006, and 0C201 are subject to the export licensing
authority of the Department of Energy (see 10 CFR part 810)
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.b through 0A018.e.
License Requirements
Reason for Control: NS, AT, UN
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
UN applies to entire entry............. Rwanda
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0E984 ``Technology'' for the ``development'' or ``production'' of
shotguns controlled by 0A984 and buckshot shotgun shells.
License Requirements
Reason for Control: CC, UN
Control(s) Country Chart
CC applies to ``technology'' for CC Column 1
shotguns with a barrel length over 18
in. (45.72 cm) but less than 24 in.
(60.96 cm) and shotgun shells,
regardless of end-user.
CC applies to ``technology'' for CC Column 2
shotguns with a barrel length over 24
in. (60.96 cm), regardless of end-user.
CC applies to ``technology'' for CC Column 3
shotguns with a barrel length over 24
in. (60.96 cm) if for sale or resale
to police or law enforcement.
UN applies to entire entry............. Rwanda
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
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Category 1--Materials, Chemicals, ``Microorganisms'' & ``Toxins''
A. Systems, Equipment and Components
1A001 Components made from fluorinated compounds, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: Items specially designed or modified for missiles
or for items on the U.S. Munitions List are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls (see 22 CFR part 121.)
Related Definitions: N/A
Items: a. Seals, gaskets, sealants or fuel bladders specially
designed for ``aircraft'' or aerospace use made from more than 50%
by weight of any of the materials controlled by 1C009.b or 1C009.c;
b. Piezoelectric polymers and copolymers made from vinylidene
fluoride materials controlled by 1C009.a:
b.1. In sheet or film form; and
b.2. With a thickness exceeding 200 m;
c. Seals, gaskets, valve seats, bladders or diaphragms made from
fluoroelastomers containing at least one vinylether monomer,
specially designed for ``aircraft'', aerospace or missile use.
1A002 ``Composite'' structures or laminates, having any of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry except NS Column 2
finished or semi-finished items
specially designed for purely civilian
applications as follows: sporting
goods, automotive industry, machine
tool industry, and medical
applications.
NP applies to 1A002.b.1 in the form of NP Column 1
tubes with an inside diameter between
75 mm and 400 mm.
AT applies to entire entry............. AT Column 1
[[Page 2466]]
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $1500; N/A for ``composite'' structures or laminates controlled
by 1A002.a, having an organic ``matrix'' and made from materials
controlled by 1C010.c or 1C010.d
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: (1) See also 1A202, 9A010, and 9A110. (2) This
entry does not control ``composite'' structures or laminates made
from epoxy resin impregnated carbon ``fibrous or filamentary
materials'' for the repair of aircraft structures of laminates,
provided that the size does not exceed one square meter (1
m2)
Related Definitions: N/A
Items: a. An organic ``matrix'' and made from materials controlled
by 1C010.c, 1C010.d or 1C010.e; or
b. A metal or carbon ``matrix'' and made from:
b.1. Carbon ``fibrous or filamentary materials'' with:
b.1.a. A ``specific modulus'' exceeding 10.15 x 106
m; and
b.1.b. A ``specific tensile strength'' exceeding 17.7 x
104 m; or
b.2. Materials controlled by 1C010.c.
Technical Notes: (1) Specific modulus: Young's modulus in
pascals, equivalent to N/m2 divided by specific weight in
N/m3, measured at a temperature of (2962) K
((232) C) and a relative humidity of (505)%.
(2) Specific tensile strength: ultimate tensile strength in pascals,
equivalent to N/m2 divided by specific weight in N/
m3, measured at a temperature of (2962) K
((232) C) and a relative humidity of (505)%.
1A003 Manufactures of non-fluorinated polymeric substances controlled
by 1C008.a.3 in film, sheet, tape or ribbon form with either of the
following characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $200
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: This entry does not control manufactures when
coated or laminated with copper and designed for the production of
electronic printed circuit boards
Related Definitions: N/A
Items: a. With a thickness exceeding 0.254 mm; or
b. Coated or laminated with carbon, graphite, metals or magnetic
substances'
1A004 Protective and detection equipment and components, not specially
designed for military use. (These items are subject to the export
licensing authority of the U.S. Department of State, Office of Defense
Trade Controls. See 22 CFR part 121.)
1A005 Body armor, and specially designed components therefor, not
manufactured to military standards or specifications, nor to their
equivalents in performance.
License Requirements
Reason for Control: NS, UN, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
UN applies to entire entry. A license is required for items controlled
by this entry to Cuba, Libya, North Korea and Rwanda. The Commerce
Country Chart is not designed to determine licensing requirements for
this entry. See part 746 of the EAR for additional information.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) Bulletproof and bullet resistant vests (body
armor) NIJ levels III and IV, are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. (See 22 CFR part 121.) (2) This entry does not control
individual suits of body armor and accessories therefor, when
accompanying their users for his/her own personal protection. (3)
This entry does not control body armor designed to provide frontal
protection only from both fragment and blast from non-military
explosive devices
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1A102 Resaturated pyrolized carbon-carbon materials designed for
``missiles''. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)
1A202 Composite structures, other than those controlled by 1A002, in
the form of tubes with an inside diameter of between 75 mm and 400 mm
made with any of the ``fibrous or filamentary materials'' specified in
1C210.a or with carbon prepreg materials controlled by 1C210.c.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 9A010 and 9A110
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1A225 Platinized catalysts specially designed or prepared for
promoting the hydrogen isotope exchange reaction between hydrogen and
water for the recovery of tritium from heavy water or for the
production of heavy water.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1A226 Specialized packings for use in separating heavy water from
ordinary water and made of phosphor bronze mesh (chemically treated to
improve wettability) and designed for use in vacuum distillation
towers.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1A227 High-density (lead glass or other) radiation shielding windows
greater than 0.09 m\2\ on cold area and with a density greater than 3
g/cm\3\ and a thickness of 100 mm or greater; and specially designed
frames therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
[[Page 2467]]
List of Items Controlled
Unit: $ value
Related Controls: Nuclear equipment is also subject to the export
licensing authority of the Nuclear Regulatory Commission. (See 10
CFR part 110.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1A290 Depleted uranium (any uranium containing less than 0.711% of the
isotope U-235) in shipments of more than 1,000 kilograms in the form of
shielding contained in X-ray units, radiographic exposure or
teletherapy devices, radioactive thermoelectric generators, or
packaging for the transportation of radioactive materials.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: (1) This entry does not control depleted uranium
in fabricated forms for use in munitions. See 22 CFR part 121 for
depleted uranium subject to the export licensing authority of the
U.S. Department of State, Office of Defense Trade Controls. (2)
Depleted uranium that is not fabricated for use in munitions or
fabricated into commodities solely to take advantage of its high
density (e.g., aircraft, ship, or other counterweights) or in the
forms listed in this entry are subject to the export licensing
authority of the Nuclear Regulatory Commission. (See 10 CFR part
110.) (3) See also 0C001
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1A984 Chemical agents, including tear gas formulation containing 1
percent or less of orthochlorobenzalmalononitrile (CS), or 1 percent or
less of chloroacetophenone (CN), except in individual containers with a
net weight of 20 grams or less; smoke bombs; non-irritant smoke flares,
canisters, grenades and charges; other pyrotechnic articles having dual
military and commercial use; and fingerprinting powders, dyes and inks.
License Requirements
Reason for Control: CC
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
B. Test, Inspection and Production Equipment
1B001 Equipment for the production of fibers, prepregs, preforms or
``composites'' controlled by 1A002 or 1C010, and specially designed
components and accessories therefor.
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to entire entry, except MT Column 1
1B001.d.4 and .f.
NP applies to filament winding machines NP Column 1
described in 1B001.a that are capable
of winding cylindrical rotors having a
diameter between 75 mm (3 in) and 400
mm (16 in) and lengths of 600 mm (24
in) or greater; and coordinating and
programming controls and precision
mandrels for these filament winding
machines.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A for MT and for 1B001.a; $5,000 for all other items
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 1B101 and 1B201; and for accelerators and
systems containing accelerators see 3A101
Related Definitions: N/A
Items: a. Filament winding machines of which the motions for
positioning, wrapping and winding fibers are coordinated and
programmed in three or more axes, specially designed for the
manufacture of ``composite'' structures or laminates from ``fibrous
or filamentary materials'';
b. Tape-laying or tow-placement machines of which the motions
for positioning and laying tape, tows or sheets are coordinated and
programmed in two or more axes, specially designed for the
manufacture of ``composite'' airframe or ``missile'' structures;
c. Multidirectional, multidimensional weaving machines or
interlacing machines, including adapters and modification kits, for
weaving, interlacing or braiding fibers to manufacture ``composite''
structures;
Note: 1B001.c does not control textile machinery not modified
for the above end-uses.
d. Equipment specially designed or adapted for the production of
reinforcement fibers, as follows:
d.1. Equipment for converting polymeric fibers (such as
polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon
fibers or silicon carbide fibers, including special equipment to
strain the fiber during heating;
d.2. Equipment for the chemical vapor deposition of elements or
compounds on heated filamentary substrates to manufacture silicon
carbide fibers;
d.3. Equipment for the wet-spinning of refractory ceramics (such
as aluminum oxide);
d.4. Equipment for converting aluminum containing precursor
fibers into alumina fibers by heat treatment;
e. Equipment for producing prepregs controlled by 1C010.e by the
hot melt method;
f. Non-destructive inspection equipment capable of inspecting
defects three dimensionally, using ultrasonic or X-ray tomography
and specially designed for ``composite'' materials.
1B002 Systems and components therefor, specially designed to avoid
contamination and specially designed for producing metal alloys, metal
alloy powder or alloyed materials controlled by 1C002.a.2, 1C002.b or
1C002.c.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B003 Tools, dies, molds or fixtures, for ``superplastic forming'' or
``diffusion bonding'' titanium or aluminum or their alloys, specially
designed for the manufacture of (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; components in $ value
Related Controls: For specially designed production equipment of
systems, sub-systems and components controlled by 9A005 to 9A009,
9A011, 9A101, 9A105 to 9A109, 9A111, and 9A116 to 9A120 usable in
``missiles'', see 9B115.
Related Definitions: N/A
Items: a. Airframe or aerospace structures;
b. ``Aircraft'' or aerospace engines; or
[[Page 2468]]
c. Specially designed components for those structures or
engines.
1B018 Equipment on the International Munitions List.
License Requirements
Reason for Control: NS, MT, RS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to equipment for the MT Column 1
``production'' of rocket propellants.
RS applies to 1B018.a.................. RS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000 for 1B018.a for countries WITHOUT an ``X'' in RS; Column
2 on the Country Chart contained in Supplement No. 1 to part 738 of
the EAR; $5000 for 1B018.b
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Equipment for the ``production'' of military explosives
and solid propellants.
a.1. Complete installations;
a.2. Specialized components (for example, dehydration presses;
extrusion presses for the extrusion of small arms, cannon and rocket
propellants; cutting machines for the sizing of extruded
propellants; sweetie barrels (tumblers) 6 feet and over in diameter
and having over 500 pounds product capacity; and continuous mixers
for solid propellants); or
a.3. Nitrators, continuous types; and
a.4. Specially designed parts and accessories therefor.
b. Environmental chambers capable of pressures below
(10-4) Torr, and specially designed components therefor.
1B101 Equipment, other than that controlled by 1B001, for the
``production'' of structural composites, and specially designed
components and accessories therefor.
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to 1B101.a only............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 1B201
Related Definitions: Components and accessories controlled by this
entry include molds, mandrels, dies, fixtures and tooling for the
preform processing, curing, casting, sintering or bonding of
composite structures, laminates and manufactures thereof
Items: a. Filament winding machines of which the motions for
positioning, wrapping and winding fibers can be coordinated and
programmed in three or more axes, designed to fabricate composite
structures or laminates from fibrous or filamentary materials, and
coordinating and programming controls;
b. Tape-laying machines of which the motions for positioning and
laying tape and sheets can be coordinated and programmed in two or
more axes, designed for the manufacture of composite airframe and
``missile'' structures;
c. Equipment designed or modified for the ``production'' of
``fibrous or filamentary materials'' as follows:
c.1. Equipment for converting polymeric fibers (such as
polyacrylonitrile, rayon or polycarbosilane) including special
provision to strain the fiber during heating;
c.2. Equipment for the vapor deposition of elements or compounds
on heated filament substrates; and
c.3. Equipment for the wet-spinning of refractory ceramics (such
as aluminum oxide);
d. Equipment designed or modified for special fiber surface
treatment or for producing prepregs and preforms controlled by
9A110.
Note: Equipment covered in 1B101.d includes but is not limited
to, rollers, tension stretchers, coating equipment, cutting
equipment and clicker dies.
1B115 Equipment for the ``production'', handling and acceptance
testing of propellants or propellant constituents controlled by 1C011,
1C111 or on the U.S. Munitions List, and specially designed components
therefor.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; components in $ value
Related Controls: (1) The only batch or continuous mixers controlled
by this entry are those which have provision for mixing under vacuum
in the range of zero to 13.326 kPa and with a temperature control
capacity of the mixing chamber: (a) Batch mixers having a total
volumetric capacity of 110 liters or more and at least one mixing/
kneeding shaft mounted off center; (b) Continuous mixers having two
or more mixing/kneeding shafts and capability to open the mixing
chamber. (2) For equipment specially designed for the production of
military propellants or propellant consistuents, see the U.S.
Munitions List. (3) This entry does control equipment for the
``production'', handling and acceptance testing of boron carbide
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN heading
1B116 Specially designed nozzles for producing pyrolitically derived
materials formed on a mold, mandrel or other substrate from precursor
gases which decompose in the 1,573 K (1,300 deg.C) to 3,173 K (2,900
deg.C) temperature range at pressures of 130 Pa to 20 kPa.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B201 Filament winding machines, other than those controlled by 1B001
or 1B101, in which the motions for positioning, wrapping, and winding
fibers are coordinated and programmed in two or more axes, specially
designed to fabricate composite structures or laminates from ``fibrous
or filamentary materials'' and capable of winding cylindrical rotors of
diameter between 75 mm and 400 mm and lengths of 600 mm or greater and
coordinating and programming controls and precision mandrels therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B225 Electrolytic cells for fluorine production with a production
capacity greater than 250 g of fluorine per hour.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
[[Page 2469]]
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B226 Electromagnetic isotope separators, designed for or equipped
with, single or multiple ion sources capable of providing a total ion
beam current of 50 mA or greater.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry includes separators capable of
enriching stable isotopes and separators with the ion sources and
collections both in the magnetic field and those configurations in
which they are external to the field
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B227 Ammonia synthesis converters or ammonia synthesis units in which
the synthesis gas (nitrogen and hydrogen) is withdrawn from an ammonia/
hydrogen high-pressure exchange column and the synthesized ammonia is
returned to that column.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1B228 Hydrogen-cryogenic distillation columns having all of the
characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Heavy water production equipment is also subject
to the export licensing authority of the Nuclear Regulatory
Commission. (See 10 CFR part 110.)
Related Definitions: ``Fine-grain stainless steels'' in this entry
are defined to be fine-grain austenitic stainless steels with an
ASTM (or equivalent standard) grain size number of 5 or greater
Items: a. Designed to operate with internal temperatures of 35 K
(-238 deg.C) or less;
b. Designed to operate at an internal pressure of 0.5 to 5 MPa
(5 to 50 atmospheres);
c. Constructed of ``fine-grain stainless steels'' of the 300
series with low sulphur content or equivalent cryogenic and
H2-compatible materials; and
d. With internal diameters of 1 m or greater and effective
lengths of 5 m or greater.
1B229 Water-hydrogen sulphide exchange tray columns constructed from
fine carbon steel with a diameter of 1.8 m or greater, which can
operate at a nominal pressure of 2 MPa or greater, and internal
contactors therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) See 0B004 for columns which are specially
designed or prepared for the production of heavy water. These items
are controlled on the NSG Trigger List (INFCIRC/254/part (2) See 10
CFR part 110 for heavy water production equipment subject to the
export licensing authority of the Nuclear Regulatory Commission
Related Definition: (1) This entry includes internal contactors of
the columns are segmented trays with an effective assembled diameter
of 1.8 m (6 ft.) or greater, are designed to facilitate
countercurrent contacting and constructed of materials resistant to
corrosion by hydrogen sulfide/water mixtures. These may be sieve
trays, valve trays, bubble cap trays or turbogrid trays. (2) Fine
carbon steel in this entry is defined to be steel with the
austenitic ASTM (or equivalent standard) grain size number of 5 or
greater. (3) Materials resistant to corrosion by hydrogen sulfide/
water mixtures in this entry are defined to be stainless steels with
a carbon content of 0.03% or less
Items: The list of items controlled is contained in the ECCN heading
1B230 Pumps circulating solutions of diluted or concentrated potassium
amide catalyst in liquid ammonia (KNH2/NH3), with
all of the characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Heavy water production equipment is also subject
to the export licensing authority of the Nuclear Regulatory
Commission. (See 10 CFR part 110.)
Related Definitions: N/A
Items: a. Airtight (i.e., hermetically sealed);
b. For concentrated potassium amide solutions (1% or greater),
operating pressure of 1.5-60 MPa (15-600 atmospheres); for dilute
potassium amide solutions (less than 1%), operating pressure of 20-
60 MPa (200-600 atmospheres); and
c. A capacity greater than 8.5 m3/hr.
1B231 Tritium facilities, plant or equipment, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control tritium, tritium
compounds, and mixtures containing tritium, or products or devices
thereof. See 10 CFR part 110 for tritium subject to the export
licensing authority of the Nuclear Regulatory Commission
Related Definitions: N/A
Items: a. Facilities or plant for the production, recovery,
extraction, concentration, or handling of tritium;
b. Equipment for tritium facilities or plant, as follows:
b.1. Hydrogen or helium refrigeration units capable of cooling
to 23 K (-250 C) or less, with heat removal capacity greater than
150 watts; or
b.2. Hydrogen isotope storage and purification systems using
metal hydrides as the storage, or purification medium.
1B232 Turboexpanders or turboexpander-compressor sets designed for
operation below 35 K (-238 deg. C) and a throughput of hydrogen gas of
1000 kg/hr or greater.
License Requirements
[[Page 2470]]
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B233 Lithium isotope separation facilities, plant or equipment, as
follows (see List of Items Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 1B233 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Facilities or plant for the separation of lithium
isotopes;
b. Equipment for the separation of lithium isotopes, as follows:
b.1. Packed liquid-liquid exchange columns specially designed
for lithium amalgams;
b.2. Mercury and/or lithium amalgam pumps;
b.3. Lithium amalgam electrolysis cells;
b.4. Evaporators for concentrated lithium hydroxide solution.
C. Materials
Technical Note: Metals and alloys: Unless provision to the
contrary is made, the words ``metals'' and ``alloys'' in 1C001 to
1C012 cover crude and semi-fabricated forms, as follows:
Crude forms: Anodes, balls, bars (including notched bars and
wire bars), billets, blocks, blooms, brickets, cakes, cathodes,
crystals, cubes, dice, grains, granules, ingots, lumps, pellets,
pigs, powder, rondelles, shot, slabs, slugs, sponge, sticks;
Semi-fabricated forms (whether or not coated, plated, drilled or
punched):
a. Wrought or worked materials fabricated by rolling, drawing,
extruding, forging, impact extruding, pressing, graining, atomizing,
and grinding, i.e.: angles, channels, circles, discs, dust, flakes,
foils and leaf, forging, plate, powder, pressings and stampings,
ribbons, rings, rods (including bare welding rods, wire rods, and
rolled wire), sections, shapes, sheets, strip, pipe and tubes
(including tube rounds, squares, and hollows), drawn or extruded
wire;
b. Cast material produced by casting in sand, die, metal,
plaster or other types of molds, including high pressure castings,
sintered forms, and forms made by powder metallurgy.
The object of the control should not be defeated by the export
of non-listed forms alleged to be finished products but representing
in reality crude forms or semi-fabricated forms.
1C001 Materials specially designed for use as absorbers of
electromagnetic waves, or intrinsically conductive polymers, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 1C101
Related Definitions: N/A
Items: a. Materials for absorbing frequencies exceeding 2 x 10\8\ Hz
but less than 3 x 10\12\ Hz.
Notes: 1. 1C001.a does not control:
a. Hair type absorbers, constructed of natural or synthetic
fibers, with non-magnetic loading to provide absorption;
b. Absorbers having no magnetic loss and whose incident surface
is non-planar in shape, including pyramids, cones, wedges and
convoluted surfaces;
c. Planar absorbers, having all of the following
characteristics:
1. Made from any of the following:
a. Plastic foam materials (flexible or non-flexible) with
carbon-loading, or organic materials, including binders, providing
more than 5% echo compared with metal over a bandwidth exceeding
15% of the center frequency of the incident energy, and
not capable of withstanding temperatures exceeding 450 K (177 deg.
C); or
b. Ceramic materials providing more than 20% echo compared with
metal over a bandwidth exceeding 15% of the center
frequency of the incident energy, and not capable of withstanding
temperatures exceeding 800 K (527 deg. C);
Technical Note: Absorption test samples for 1C001.a. Note 1.c.1
should be a square at least 5 wavelengths of the center frequency on
a side and positioned in the far field of the radiating element.
2. Tensile strength less than 7 x 10\6\ N/m\2\; and
3. Compressive strength less than 14 x 10\6\ N/m\2\;
d. Planar absorbers made of sintered ferrite, having:
1. A specific gravity exceeding 4.4; and
2. A maximum operating temperature of 548 K (275 deg. C).
Note 2: Nothing in 1C001.a releases magnetic materials to
provide absorption when contained in paint.
b. Materials for absorbing frequencies exceeding 1.5 x 10\14\ Hz
but less than 3.7 x 10 \14\ Hz and not transparent to visible light;
c. Intrinsically conductive polymeric materials with a bulk
electrical conductivity exceeding 10,000 S/m (Siemens per meter) or
a sheet (surface) resistivity of less than 100 ohms/square, based on
any of the following polymers:
c.1. Polyaniline;
c.2. Polypyrrole;
c.3. Polythiophene;
c.4. Poly phenylene-vinylene; or
c.5. Poly thienylene-vinylene.
Technical Note: Bulk electrical conductivity and sheet (surface)
resistivity should be determined using ASTM D-257 or national
equivalents.
1C002 Metal alloys, metal alloy powder and alloyed materials, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to 1C002.a.2.c or a.2.d if NP Column 1
they exceed the parameters stated in
1C202.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 1C202. This entry does not control metal
alloys, metal alloy powder or alloyed materials for coating
substrates
Related Definition: N/A
Items: a. Metal alloys, as follows:
a.1. Nickel or titanium-based alloys in the form of aluminides,
as follows, in crude or semi-fabricated forms:
a.1.a. Nickel aluminides containing a minimum of 15 weight
percent aluminum, a maximum of 38 weight percent aluminum and at
least one additional alloying element;
a.1.b. Titanium aluminides containing 10 weight percent or more
aluminum and at least one additional alloying element;
a. 2. Metal alloys, as follows, made from metal alloy powder or
particulate material controlled by 1C002.b:
a.2.a. Nickel alloys with:
a.2.a.1. A stress-rupture life of 10,000 hours or longer at 923
K (650 deg. C) at a stress of 676 MPa; or
a.2.a.2. A low cycle fatigue life of 10,000 cycles or more at
823 K (550 deg. C) at a maximum stress of 1,095 MPa;
a.2.b. Niobium alloys with:
a.2.b.1. A stress-rupture life of 10,000 hours or longer at
1,073 K (800 deg. C) at a stress of 400 MPa; or
a.2.b.2. A low cycle fatigue life of 10,000 cycles or more at
973 K (700 deg. C) at a maximum stress of 700 MPa;
a.2.c. Titanium alloys with:
[[Page 2471]]
a.2.c.1. A stress-rupture life of 10,000 hours or longer at 723
K (450 deg. C) at a stress of 200 MPa; or
a.2.c.2. A low cycle fatigue life of 10,000 cycles or more at
723 K (450 deg. C) at a maximum stress of 400 MPa;
a.2.d. Aluminum alloys with a tensile strength of:
a.2.d.1. 240 MPa or more at 473 K (200 deg. C); or
a.2.d.2. 415 MPa or more at 298 K (25 deg. C);
a.2.e. Magnesium alloys with a tensile strength of 345 MPa or
more and a corrosion rate of less than 1 mm/year in 3% sodium
chloride aqueous solution measured in accordance with ASTM standard
G-31 or national equivalents;
Technical Note 1: The metal alloys in 1C002.a are those
containing a higher percentage by weight of the stated metal than of
any other element.
Technical Note 2: Stress-rupture life should be measured in
accordance with ASTM standard E-139 or national equivalents.
Technical Note 3: Low cycle fatigue life should be measured in
accordance with ASTM Standard E-606 ``Recommended Practice for
Constant-Amplitude Low-Cycle Fatigue Testing'' or national
equivalents. Testing should be axial with an average stress ratio
equal to 1 and a stress-concentration factor (Kt) equal
to 1. The average stress is defined as maximum stress minus minimum
stress divided by maximum stress.
b. Metal alloy powder or particulate material for materials
controlled by 1C002.a, as follows:
b.1. Made from any of the following composition systems:
Technical Note: X in the following equals one or more alloying
elements.
b.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine
engine parts or components, i.e. with less than 3 non-metallic
particles (introduced during the manufacturing process) larger than
100 m in 10\9\ alloy particles;
b.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si,
Nb-Ti-X or Nb-X-Ti);
b.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
b.1.d. Aluminum alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn,
Al-Fe-X or Al-X-Fe); or
b.1.e. Magnesium alloys (Mg-Al-X or Mg-X-Al); and
b.2. Made in a controlled environment by any of the following
processes:
b.2.a. ``Vacuum atomization'';
b.2.b. ``Gas atomization'';
b.2.c. ``Rotary atomization'';
b.2.d. ``Splat quenching'';
b.2.e. ``Melt spinning'' and ``comminution'';
b.2.f. ``Melt extraction'' and ``comminution''; or
b.2.g. ``Mechanical alloying'';
c. Alloyed materials, in the form of uncomminuted flakes,
ribbons or thin rods produced in a controlled environment by ``splat
quenching'', ``melt spinning'' or ``melt extraction'', used in the
manufacture of metal alloy powder or particulate material controlled
by 1C002.b.
1C003 Magnetic metals, of all types and of whatever form, having any
of the characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Initial relative permeability of 120,000 or more and a
thickness of 0.05 mm or less;
Technical Note: Measurement of initial permeability must be
performed on fully annealed materials.
b. Magnetostrictive alloys, having any of the following
characteristics:
b.1. A saturation magnetostriction of more than 5 x 10
-4; or
b.2. A magnetomechanical coupling factor (k) of more than 0.8;
or
c. Amorphous or nanocrystalline alloy strips, having all of the
following characteristics:
c.1. A composition having a minimum of 75 weight percent of
iron, cobalt or nickel;
c.2. A saturation magnetic induction (Bs) of 1.6 T or
more; and
c.3. Any of the following:
c.3.a. A strip thickness of 0.02 mm or less; or
c.3.b. An electrical resistivity of 2 x 10 -4; ohm
cm or more.
Technical Note: Nanocrystalline materials in 1C003.c are those
materials having a crystal grain size of 50 nm or less, as
determined by X-ray diffraction.
1C004 Uranium titanium alloys or tungsten alloys with a ``matrix''
based on iron, nickel or copper, having all of the characteristics (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. A density exceeding 17.5 g/cm \3\;
b. An elastic limit exceeding 1,250 MPa;
c. An ultimate tensile strength exceeding 1,270 Mpa; and
d. An elongation exceeding 8%.
1C005 ``Superconductive'' ``composite'' conductors in lengths
exceeding 100 m or with a mass exceeding 100 g, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $1500
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Multifilamentary ``superconductive'' ``composite''
conductors containing one or more niobium-titanium filaments:
a.1. Embedded in a ``matrix'' other than a copper or copper-
based mixed ``matrix''; or
a.2. Having a cross-section area less than 0.28 x
10-4 mm2 (6 m in diameter for
circular filaments);
b. ``Superconductive'' ``composite'' conductors consisting of
one or more ``superconductive'' filaments other than niobium-
titanium, having all of the following:
b.1. A ``critical temperature'' at zero magnetic induction
exceeding 9.85 K (-263.31 deg. C) but less than 24 K (-249.16 deg.
C);
b.2. A cross-section area less than 0.28 x 10-4
mm2; and
b.3. Remaining in the ``superconductive'' state at a temperature
of 4.2 K (-268.96 deg. C) when exposed to a magnetic field
corresponding to a magnetic induction of 12 T.
1C006 Fluids and lubricating materials, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Barrels (55 U.S. gallons/ 209 liters)
Related Controls: N/A
Related Definitions: N/A
Items: a. Hydraulic fluids containing, as their principal
ingredients, any of the following compounds or materials:
a.1. Synthetic hydrocarbon oils or silahydrocarbon oils, having
all of the following:
Note: For the purpose of 1C006.a.1, silahydrocarbon oils contain
exclusively silicon, hydrogen and carbon.
a.1.a. A flash point exceeding 477 K (204 deg. C);
[[Page 2472]]
a.1.b. A pour point at 239 K (-34 deg. C) or less;
a.1.c. A viscosity index of 75 or more; and
a.1.d. A thermal stability at 616 K (343 deg. C); or
a.2. Chlorofluorocarbons, having all of the following:
Note: For the purpose of 1C006.a.2, chlorofluorocarbons contain
exclusively carbon, fluorine and chlorine.
a.2.a. No flash point;
a.2.b. An autogenous ignition temperature exceeding 977 K
(704 deg. C);
a.2.c. A pour point at 219 K (-54 deg. C) or less;
a.2.d. A viscosity index of 80 or more; and
a.2.e. A boiling point at 473 K (200 deg. C) or higher;
b. Lubricating materials containing, as their principal
ingredients, any of the following compounds or materials:
b.1. Phenylene or alkylphenylene ethers or thio-ethers, or their
mixtures, containing more than two ether or thio-ether functions or
mixtures thereof; or
b.2. Fluorinated silicone fluids with a kinematic viscosity of
less than 5,000 mm2/s (5,000 centistokes) measured at 298
K (25 deg. C);
c. Damping or flotation fluids with a purity exceeding 99.8%,
containing less than 25 particles of 200 m or larger in
size per 100 ml and made from at least 85% of any of the following
compounds or materials:
c.1. Dibromotetrafluoroethane;
c.2. Polychlorotrifluoroethylene (oily and waxy modifications
only); or
c.3. Polybromotrifluoroethylene;
d. Fluorocarbon electronic cooling fluids, having all of the
following characteristics:
d.1. Containing 85% by weight or more of any of the following,
or mixtures thereof:
d.1.a. Monomeric forms of perfluoropolyalkylether-triazines or
perfluoroaliphatic-ethers;
d.1.b. Perfluoroalkylamines;
d.1.c. Perfluorocycloalkanes; or
d.1.d. Perfluoroalkanes;
d.2. Density at 298 K (25 deg. C) of 1.5 g/ml or more;
d.3. In a liquid state at 273 K (0 deg. C); and
d.4. Containing 60% or more by weight of fluorine.
Technical Note: For the purpose of 1C006:
a. Flash point is determined using the Cleveland Open Cup Method
described in ASTM D-92 or national equivalents;
b. Pour point is determined using the method described in ASTM
D-97 or national equivalents;
c. Viscosity index is determined using the method described in
ASTM D-2270 or national equivalents;
d. Thermal stability is determined by the following test
procedure or national equivalents:
Twenty ml of the fluid under test is placed in a 46 ml type 317
stainless steel chamber containing one each of 12.5 mm (nominal)
diameter balls of M-10 tool steel, 52100 steel and naval bronze (60%
Cu, 39% Zn, 0.75% Sn);
The chamber is purged with nitrogen, sealed at atmospheric
pressure and the temperature raised to and maintained at 644
6 K (371 6 deg. C) for six hours;
The specimen will be considered thermally stable if, on
completion of the above procedure, all of the following conditions
are met:
1. The loss in weight of each ball is less than 10 mg/mm2 of
ball surface;
2. The change in original viscosity as determined at 311 K
(38 deg. C) is less than 25%; and
3. The total acid or base number is less than 0.40;
e. Autogenous ignition temperature is determined using the
method described in ASTM E-659 or national equivalents.
1C007 Ceramic base materials, non-``composite'' ceramic materials,
ceramic-``matrix'' ``composite'' materials and precursor materials, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2.
MT applies to items in 1C007.d and .f MT Column 1.
when the dielectric constant is less
than 6 at frequencies from 100 Hz to
10,000 MHz for use in missile radomes.
AT applies to entire entry............. AT Column 1.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000, except N/A for MT and for 1C007.e
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 1C107
Related Definitions: N/A
Items: a. Base materials of single or complex borides of titanium
having total metallic impurities, excluding intentional additions,
of less than 5,000 ppm, an average particle size equal to or less
than 5 m and no more than 10% of the particles larger than
10 m;
b. Non-``composite'' ceramic materials in crude or semi-
fabricated form, composed of borides of titanium with a density of
98% or more of the theoretical density;
Note: 1C007.b does not control abrasives.
c. Ceramic-ceramic ``composite'' materials with a glass or
oxide-``matrix'' and reinforced with fibers made from any of the
following systems:
c.1. Si-N;
c.2. Si-C;
c.3. Si-Al-O-N; or
c.4. Si-O-N; having a ``specific tensile strength'' exceeding
12.7 x 103 m;
d. Ceramic-ceramic ``composite'' materials, with or without a
continuous metallic phase, incorporating particles, whiskers or
fibers, where carbides or nitrides of silicon, zirconium or boron
form the ``matrix'';
e. Precursor materials (i.e., special purpose polymeric or
metallo-organic materials) for producing any phase or phases of the
materials controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes (for producing silicon carbide);
e.2. Polysilazanes (for producing silicon nitride);
e.3. Polycarbosilazanes (for producing ceramics with silicon,
carbon and nitrogen components);
f. Ceramic-ceramic ``composite'' materials with an oxide or
glass ``matrix'' reinforced with continuous fibers from any of the
following systems:
f.1. Al2O3; or
f.2. Si-C-N.
Note: 1C007.f does not control ``composites'' containing fibers
from these systems with a fiber tensile strength of less than 700
MPa at 1,273 K (1,000 deg. C) or fiber tensile creep resistance of
more than 1% creep strain at 100 MPa load and 1,273 K (1,000 deg. C)
for 100 hours.
1C008 Non-fluorinated polymeric substances, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $200
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Non-fluorinated polymeric substances, as follows:
a.1. Bismaleimides;
a.2. Aromatic polyamide-imides;
a.3. Aromatic polyimides;
a.4. Aromatic polyetherimides having a glass transition
temperature (Tg) exceeding 513 K (240 deg. C) determined
using the dry method described in ASTM D 3418;
Note: 1C008.a does not control non-fusible compression molding
powders or molded forms.
b. Thermoplastic liquid crystal copolymers having a heat
distortion temperature exceeding 523 K (250 deg. C) measured
according to ASTM D-648, method A, or national equivalents, with a
load of 1.82 N/mm2 and composed of:
b.1. Any of the following:
b.1.a. Phenylene, biphenylene or naphthalene; or
b.1.b. Methyl, tertiary-butyl or phenyl substituted phenylene,
biphenylene or naphthalene; and
b.2. Any of the following acids:
b.2.a. Terephthalic acid;
b.2.b. 6-hydroxy-2 naphthoic acid; or
b.2.c. 4-hydroxybenzoic acid;
c. Polyarylene ether ketones, as follows:
c.1. Polyether ether ketone (PEEK)
c.2. Polyether ketone ketone (PEKK);
c.3. Polyether ketone (PEK);
c.4. Polyether ketone ether ketone ketone (PEKEKK);
d. Polyarylene ketones;
[[Page 2473]]
e. Polyarylene sulphides, where the arylene group is
biphenylene, triphenylene or combinations thereof;
f. Polybiphenylenethersulphone.
Technical Note: The glass transition temperature (Tg)
for 1C008 materials is determined using the method described in ASTM
D 3418 using the dry method.
1C009 Unprocessed fluorinated compounds, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Copolymers of vinylidene fluoride having 75% or more beta
crystalline structure without stretching;
b. Fluorinated polyimides containing 10% by weight or more of
combined fluorine;
c. Fluorinated phosphazene elastomers containing 30% by weight
or more of combined fluorine.
1C010 ``Fibrous or filamentary materials'' which may be used in
organic ``matrix'', metallic ``matrix'' or carbon ``matrix''
``composite'' structures or laminates, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to 1C010.a (aramid ``fibrous NP Column 1
or filamentary materials'', .b (carbon
``fibrous and filamentary
materials''), and e.1 for ``fibrous
and filamentary materials'' that meet
or exceed the control criteria of ECCN
1C210.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $1500, N/A for NP
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 1C210, 1C990, and 9A110 for material not
controlled by 1C010.e, as defined by technical notes 1 or 2. Note
that some items in 1C010.e are also controlled under 9A110
Related Definitions: (1) Specific modulus: Young's modulus in
pascals, equivalent to N/m2 divided by specific weight in
N/m3, measured at a temperature of (2962) K
((23+2) C) and a relative humidity of (505)%. (2)
Specific tensile strength: ultimate tensile strength in pascals,
equivalent to N/m2 divided by specific weight in N/
m3, measured at a temperature of (2962) K
((232) C) and a relative humidity of (505)%
Items: a. Organic ``fibrous or filamentary materials'', having all
of the following:
a.1. A specific modulus exceeding 12.7 x 106 m; and
a.2. A specific tensile strength exceeding 23.5 x 104
m;
Note: 1C010.a does not control polyethylene.
b. Carbon ``fibrous or filamentary materials'', having all of
the following:
b.1. A specific modulus exceeding 12.7 x 106 m; and
b.2. A specific tensile strength exceeding 23.5 x 104
m;
Technical Note: Properties for materials described in 1C010.b
should be determined using SACMA recommended methods SRM 12 to 17,
or national equivalent tow tests, such as Japanese Industrial
Standard JIS-R-7601, Paragraph 6.6.2, and based on lot average.
Note: 1C010.b does not control fabric made from ``fibrous or
filamentary materials'' for the repair of aircraft structures or
laminates, in which the size of individual sheets does not exceed 50
cm x 90 cm.
c. Inorganic ``fibrous or filamentary materials'', having all of
the following:
c.1. A specific modulus exceeding 2.54 x 106 m; and
c.2. A melting, softening, decomposition or sublimation point
exceeding 1,922 K (1,649 deg.C) in an inert environment;
Note: 1C010.c does not control:
1. Discontinuous, multiphase, polycrystalline alumina fibers in
chopped fiber or random mat form, containing 3 weight percent or
more silica, with a specific modulus of less than
10 x 106 m;
2. Molybdenum and molybdenum alloy fibers;
3. Boron fibers;
4. Discontinuous ceramic fibers with a melting, softening,
decomposition or sublimation point lower than 2,043 K (1,770 deg.C)
in an inert environment.
d. ``Fibrous or filamentary materials'':
d.1. Composed of any of the following:
d.1.a. Polyetherimides controlled by 1C008.a; or
d.1.b. Materials controlled by 1C008.b to 1C008.f; or
d.2. Composed of materials controlled by 1C010.d.1.a or
1C010.d.1.b and ``commingled'' with other fibers controlled by
1C010.a, 1C010.b or 1C010.c;
e. Resin-impregnated or pitch-impregnated fibers (prepregs),
metal or carbon-coated fibers (preforms) or ``carbon fiber
preforms'', as follows:
e.1. Made from ``fibrous or filamentary materials'' controlled
by 1C010.a, 1C010.b or 1C010.c;
e.2. Made from organic or carbon ``fibrous or filamentary
materials'':
e.2.a. With a ``specific tensile strength'' exceeding
17.7x104 m;
e.2.b. With a ``specific modulus'' exceeding
10.15 x 106 m;
e.2.c. Not controlled by 1C010.a or 1C010.b; and
e.2.d. When impregnated with materials controlled by 1C008 or
1C009.b, having a glass transition temperature (Tg)
exceeding 383 K (110 deg.C) or with phenolic or epoxy resins,
having a glass transition temperature (Tg) equal to or
exceeding 418 K (145 deg.C).
Notes: 1C010.e does not control:
1. Epoxy resin ``matrix'' impregnated carbon ``fibrous or
filamentary materials'' (prepregs) for the repair of aircraft
structures or laminates, in which the size of individual sheets of
prepreg does not exceed 50 cm x 90 cm;
2. Prepregs when impregnated with phenolic or epoxy resins
having a glass transition temperature (Tg) less than 433
K (160 deg.C) and a cure temperature lower than the glass
transition temperature.
Technical Note: The glass transition temperature (Tg)
for 1C010.e materials is determined using the method described in
ASTM D 3418 using the dry method. The glass transition temperature
for phenolic and epoxy resins is determined using the method
described in ASTM D 4065 at a frequency of 1 Hz and a heating rate
of 2 K per minute using the dry method.
1C011 Metals and compounds, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to 1C011.a and .b........... MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 1C111. (2) Items controlled by
1C011.a, and metal fuels in particle form, whether spherical,
atomized, spheroidal, flaked or ground, manufactured from material
consisting of 99 percent or more of items controlled by 1C011.b. are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls (see 22 CFR part 121)
Related Definitions: N/A
Items: a. Metals in particle sizes of less than 60 m
whether spherical, atomized, spheroidal, flaked or ground,
manufactured from material consisting of 99% or more of zirconium,
magnesium and alloys of these;
N.B.: The metals or alloys listed in 1C011.a are controlled
whether or not the metals or alloys are encapsulated in aluminum,
magnesium, zirconium or beryllium.
b. Boron or boron carbide of 85% purity or higher and a particle
size of 60 m or less;
[[Page 2474]]
N.B.: The metals or alloys listed in 1C011.b are controlled
whether or not the metals or alloys are encapsulated in aluminum,
magnesium, zirconium or beryllium.
c. Guanidine nitrate.
1C012 Materials for nuclear heat sources, as follows (see List of
Items Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 1C012 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Plutonium in any form with a plutonium isotopic assay of
plutonium-238 of more than 50% by weight;
Note: 1C012.a does not control:
1. Shipments with a plutonium content of 1 g or less;
2. Shipments of 3 effective grams or less when contained in a
sensing component in instruments.
b. Previously separated neptunium-237 in any form.
Note: 1C012.b does not control shipments with a neptunium-237
content of 1 g or less.
1C018 Materials on the International Munitions List.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: Yes for items listed in Advisory Note to 1C018
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Ethyl and Methyl centralites.
b. NN-Diphenylurea (unsymmetrical diphenylurea).
c. Methyl-NN-diphenylurea (methyl unsymmetrical diphenylurea).
d. Ethyl-NN-diphenylurea (ethyl unsymmetrical diphenylurea).
e. Ethyl phenyl urethane.
f. Diphenyl urethane.
g. Diortho tolyl-urethane.
h. 2-Nitrodiphenylamine.
i. p-Nitromethylaniline.
j. 2,2' Dinitropropanol.
k. Bis(2,2' dinitropropyl) formal and acetal.
l. 3-Nitraza-1,5 pentane diisocyanate.
m. Guanidine nitrate.
n. Hydrogen peroxide in concentrations of 85%.
o. Charges specially designed for civilian applications,
containing military explosives, except those items described in
1C992.
Technical Note: Military high explosives are solid, liquid or
gaseous substances or mixtures of substances that, in their
application as primary, booster, or main charges in warheads,
demolition and other military applications, are required to
detonate.
Advisory Note: Licenses are likely to be approved for export and
reexport to satisfactory end-users in Country Group D:1 of certain
explosive substances and mixtures in reasonable quantities for
civilian or industrial purposes when made into cartridges or charges
of an exclusively civilian or industrial nature, such as propellants
for sporting purposes or shooting gallery practice; cartridges for
riveting guns; and explosive charges for agricultural purposes,
public works, mines, quarries or oil-well drilling. The following
are the substances or mixtures to which this procedure applies:
a. Nitrate-based (40 percent or more) and provided they do not
contain more than 40 percent nitroglycol/nitroglycerin or no more
than 16 percent TNT;
b. Nitrocellulose with a nitrogen content of over 12.2 percent;
c. Nitroglycerin;
d. Single base nitrocellulose;
e. Sodium azide and other inorganic azides.
1C101 Materials and devices for reduced observables such as radar
reflectivity, ultraviolet/infrared signatures and acoustic signatures,
other than those controlled by 1C001, usable in ``missiles'' and their
subsystems.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: Materials controlled by this entry include: (a)
structural materials and coatings specially designed for reduced
radar reflectivity; (b) coatings, including paints, specially
designed for reduced or tailored reflectivity or emissivity in the
microwave, infrared or ultraviolet spectra. This entry does not
control coatings when specially used for the thermal control of
satellites.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C107 Graphite and ceramic materials, other than those controlled by
1C007, as follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT.
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Fine grain recrystallized bulk graphites having a bulk
density of 1.72 g/cm\3\ or greater, measured at 288 K (15 deg. C),
and having a particle size of 100 micrometers or less, pyrolytic or
fibrous reinforced graphites, usable for rocket nozzles and reentry
vehicle nose tips;
b. Ceramic composite materials (dielectric constant less than 6
at frequencies from 100 Hz to 10,000 MHz), also usable for
``missile'' radomes, and bulk machinable silicon-carbide reinforced
unfired ceramic, usable for nose tips.
1C111 Propellants and constituent chemicals for propellants, other
than those controlled by 1C011, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: The following materials, whether or not
encapsulated in aluminum, beryllium, magnesium, or zirconium are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls: (See 22 CFR part 121): (a)
Spherical aluminum powder with particles of uniform diameter 60 x
10-6 m (60 micrometers) or less and an aluminum content
of 97 percent or greater; (b) Metals in particle sizes less than 60
x 10-6 m (60 microns), whether spherical, atomized,
spheroidal, flaked or ground, manufactured from material consisting
of 99 percent or more of: boron; magnesium; zirconium; alloys of
boron, magnesium or zirconium; beryllium; or iron powder with
average particle size of 3 x 10-6 m (3 microns) or less
produced by hydrogen reduction of iron oxide.
Related Definitions: N/A
Items: a. Propulsive substances:
a.1. Spherical aluminum powder, other than that specified on the
U.S. Munitions List, with particles of uniform diameter of less than
500 micrometer and an aluminum content of 97% by weight or greater;
a.2. Metals, other than that controlled by the U.S. Munitions
List, in particle sizes of less than 500 micrometers, whether
spherical, atomized, spheroidal, flaked or
[[Page 2475]]
ground, consisting 97% or more by weight of any of the following:
a.2.a. Zirconium;
a.2.b. Beryllium;
a.2.c. Boron;
a.2.d. Magnesium; or
a.2.e. Alloys of the metals specified by a.2.a to a.2.d above;
a.3. Liquid oxidizers, the following:
a.3.a. Dinitrogen trioxide;
a.3.b. Nitrogen dioxide/dinitrogen tetroxide;
a.3.c. Dinitrogen pentoxide;
b. Polymeric substances:
b.1. Carboxy-terminated polybutadiene (CTPB);
b.2. Hydroxy-terminated polybutadiene (HTPB), other than that
controlled by the U.S. Munitions List;
b.3. Polybutadiene-acrylic acid (PBAA);
b.4. Polybutadiene-acrylic acid-acrylonitrile (PBAN);
c. Other propellant additives and agents:
c.1. Butacene;
c.2. Triethylene glycol dinitrate (TEGDN);
c.3. 2-Nitrodiphenylamine;
c.4. Trimethylolethane trinitrate (TMETN);
c.5. Diethylene glycol dinitrate (DEGDN).
Note: For propellants and constituent chemicals for propellants
not controlled by 1C111, see the U.S. Munitions List.
1C116 Maraging steels (steels generally characterized by high nickel,
very low carbon content and the use of substitutional elements or
precipitates to produce age-hardening) having an ultimate tensile
strength of 1,500 MPa or greater, measured at 293 K (20 deg. C), in the
form of sheet, plate or tubing with a wall or plate thickness equal to
or less than 5 mm.
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to items that meet or exceed NP Column 1
the parameters of 1C216.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 1C216
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C117 Tungsten, molybdenum and alloys of these metals in the form of
uniform, spherical or atomized particles of 500 micrometer diameter or
less with a purity of 97% or greater for fabrication of rocket motor
components, i.e., heat shields, nozzle substrates, nozzle throats and
thrust vector control surfaces.
License Requirements
Reason for Control: MT, AT
Control(s) Country chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C202 Alloys, other than those controlled by 1C002.a.2.c or .d, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: The phrase ``alloys capable of'' encompasses
before and after heat treatment.
Items: a. Aluminum ``alloys capable of'' an ultimate tensile
strength of 460 Mpa or more at 293 K (20 deg. C), in the form of
tubes or cylindrical solid forms (including forgings) with an
outside diameter of more than 75 mm;
b. Titanium ``alloys capable of'' an ultimate tensile strength
of 900 MPa or more at 293 K (20 deg. C) in the form of tubes or
cylindrical solid forms (including forgings) with an outside
diameter of more than 75 mm.
1C210 ``Fibrous or filamentary materials'' or prepregs, other than
those controlled by 1C010.a, .b or .e, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See 9A110 for fiber prepregs.
Related Definitions: For the purpose of this entry, the term
``fibrous or filamentary materials'' is restricted to continuous
``monofilaments'', ``yarns'', ``rovings'', ``tows'' or ``tapes''.
Definitions for other terms used in this entry:
Filament or Monofilament is the smallest increment of fiber, usually
several m in diameter.
Strand is a bundle of filaments (typically over 200) arranged
approximately parallel.
Roving is a bundle (typically 12-120) of approximately parallel
strands.
Yarn is a bundle of twisted strands.
Tow is a bundle of filaments, usually approximately parallel.
Tape is a material constructed of interlaced or unidirectional
filaments, strands, rovings, tows or yarns, etc., usually
preimpregnated with resin.
Specific modulus is the Young's modulus in N/m2 divided
by the specific weight in N/m3, measured at a temperature
of 23 2 deg.C and a relative humidity of 50
5 percent.
Specific tensile strength is the ultimate tensile strength in N/
m2 divided by specific weight in N/m3,
measured at a temperature of 23 2 deg.C and a relative
humidity of 50 5 percent.
Items: a. Carbon or aramid ``fibrous or filamentary materials''
having a ``specific modulus'' of 12.7 x 106 m or greater
or a ``specific tensile strength'' of 235 x 103 m or
greater except Aramid ``fibrous or filamentary materials'' having
0.25 percent or more by weight of an ester based fibre surface
modifier;
b. Glass ``fibrous or filamentary materials'' having a
``specific modulus'' of 3.18 x 106 m or greater and a
``specific tensile strength'' of 76.2 x 103 m or greater;
or
c. Thermoset resin impregnated continuous ``yarns'',
``rovings'', ``tows'' or ``tapes'' with a width no greater than 15
mm (prepregs), made from carbon or glass ``fibrous or filamentary
materials'' controlled by 1C210.a or .b.
Technical Note: The resin forms the matrix of the composite.
1C216 Maraging steel, other than that controlled by 1C116, capable of
an ultimate tensile strength of 2,050 MPa or more, at 293 K (20 deg.
C), except forms in which no linear dimension exceeds 75 mm.
License Requirements
Reason for Control: NP, MT, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: The phrase ``maraging steel capable of''
encompasses maraging steel before or after heat treatment.
Items: The list of items controlled is contained in the ECCN
heading.
1C225 Boron and boron compounds, mixtures and loaded materials in
which the boron-10 isotope is more than 20% by weight of the total
boron content.
License Requirements
Reason for Control: NP, AT
[[Page 2476]]
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C226 Parts made of tungsten, tungsten carbide, or tungsten alloys
(greater than 90% tungsten) having a mass greater than 20 kg and a
hollow cylindrical symmetry (including cylinder segments) with an
inside diameter greater than 100 mm but less than 300 mm, except parts
specially designed for use as weights or gamma-ray collimators.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C227 Calcium (high purity) containing both less than 1,000 parts per
million by weight of metallic impurities other than magnesium and less
than 10 parts per million of boron.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C228 Magnesium (high purity) containing both less than 200 parts per
million by weight of metallic impurities other than calcium and less
than 10 parts per million of boron.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C229 High purity (99.99% or greater) bismuth with very low silver
content (less than 10 parts per million).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C230 Beryllium metal, alloys containing more than 50% of beryllium by
weight, beryllium compounds, or manufactures thereof, including waste
and scrap containing beryllium metal, alloys, or compounds.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: (1) This entry includes waste and scrap containing
beryllium metal, alloys, or compounds. (2) This entry does not
control: (a) Metal windows for X-ray machines, or for bore-hole
logging devices; (b) Oxide shapes in fabricated or semi-fabricated
forms specially designed for electronic component parts or as
substrates for electronic circuits; and, (c) Beryl (silicate of
beryllium and aluminum) in the form of emeralds or aquamarines.
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN
heading.
1C231 Hafnium metal, alloys and compounds of hafnium containing more
than 60% hafnium by weight and manufactures thereof.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controsl: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C232 Helium-3 or helium isotopically enriched in the helium-3
isotope, mixtures containing helium-3, or products or devices
containing any of the foregoing, except a product or device containing
less than 1 g of helium-3.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Liters
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C233 Lithium enriched in the 6 isotope (\6\Li) to greater than 7.5
atom percent, alloys, compounds or mixtures containing lithium enriched
in the 6 isotope, or products or devices containing any of the
foregoing except thermoluminescent dosimeters.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: The natural occurrence of the 6 isotope in
lithium is 7.5 atom percent.
[[Page 2477]]
Items: The list of items controlled is contained in the ECCN
heading.
1C234 Zirconium with a hafnium content of less than 1 part hafnium to
500 parts zirconium by weight, in the form of metal, alloys containing
more than 50% zirconium by weight, or compounds, or manufactures wholly
thereof; except zirconium in the form of foil having a thickness not
exceeding 0.10 mm.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: Zirconium metal and alloys in the form of tubes or
assemblies of tubes, specially designed or prepared for use in a
reactor are subject to the export licensing authority of the Nuclear
Regulatory Commission. (See 10 CFR part 110.) This entry includes
waste and scrap containing zirconium. This entry does not control
zirconium in the form of foil or strip having a thickness not
exceeding 0.10 mm (0.004 in.).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C235 Tritium, tritium compounds, mixtures containing tritium in which
the ratio of tritium to hydrogen by atoms exceeds 1 part in 1000, or
products or devices containing any of the foregoing; except, a product
or device containing not more than 1.48 x 10\3\ GBq (40 Ci) of tritium
in any form.
License Requirements
Reason for Control:
Control(s): Items described in 1C235 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110).
License Exceptions
LVS: N/A
GBS: N/A
CIV: 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.
1C236 Alpha-emitting radionuclides having an alpha half-life of 10
days or greater but less than 200 years, compounds or mixtures
containing any of these radionuclides with a total alpha activity of 37
GBq/kg (1 Ci/kg) or greater, or products or devices containing any of
the foregoing, except a product or device containing less than 3.7 GBq
(100 millicuries) of alpha activity.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Millicuries
Related Controls: Certain alpha emitting radionuclides are subject
to the export licensing authority of the Nuclear Regulatory
Commission. (See also 10 CFR part 110.)
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C237 Radium-226, radium-226 compounds, mixtures containing radium-
226, or products or devices containing any of the foregoing, except
medical applicators, or products or devices containing not more than
0.37 GBq (10 millicuries) of radium-226 in any form.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C238 Chlorine trifluoride (ClF3).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C239 High explosives, other than those controlled by the U.S.
Munitions List, or substances or mixtures containing more than 2%
thereof, with a crystal density greater than 1.8 gm per cm3
and having a detonation velocity greater than 8,000 m/s.
License Requirements
Reason for Control:
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 22 CFR part 12
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C240 Nickel powder or porous nickel metal, other than those
controlled by 0C006, as follows (see List of Items Controlled).
License Requirements
Reason for Control:
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Powder with a nickel purity content of 99.0% by weight or
greater and a mean particle size of less than 10 micrometers
measured by American Society for Testing and Materials (ASTM) B330
standard, except filamentary nickel powders;
b. Porous nickel powder produced from materials controlled by
1C240.a, except single porous nickel sheets not exceeding 1,000
cm\2\ per sheet.
Note: 1C240.b refers to porous metal formed by compacting and
sintering the materials in 1C240.a to form a metal material with
fine pores interconnected throughout the structure.
1C350 Chemicals that may be used as precursors for toxic chemical
agents, as follows (see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 2
AT applies to entire entry............. AT Column 1
[[Page 2478]]
License Requirement Notes
1. SAMPLE SHIPMENTS: Certain sample shipments of chemicals
controlled under ECCN 1C350 may be made without a license, as
provided by the following:
a. Chemicals Not Eligible: The following chemicals are not
eligible for sample shipments: 0-Ethyl-2-diisopropylaminoethyl
methylphosphonite (QL) (C.A.S. #57856-11-8), Ethylphosphonyl
difluoride (C.A.S. #753-98-0), and Methylphosphonyl difluoride
(C.A.S. #676-99-3).
b. Countries Not Eligible: The following countries are not
eligible to receive sample shipments: Cuba, Iran, Iraq, Libya, North
Korea, Sudan, Syria.
c. Sample Shipments: A license is not required for sample
shipments when the cumulative total of these shipments does not
exceed a 55-gallon container or 200 kg of each chemical to any one
consignee per calendar year. Multiple sample shipments, in any
quantity, not exceeding the totals indicated in this paragraph may
be exported without a license, in accordance with the provisions of
this Note 1. A consignee that receives a sample shipment under this
exclusion may not resell, transfer or reexport the sample shipment,
but may use the sample shipment for any other legal purpose
unrelated to the chemical weapons. However, a sample shipment
received under this exclusion remains subject to all General
Prohibitions including the end-use restriction described in
Sec. 744.4 of the EAR.
d. The exporter is required to submit a quarterly written report
for shipments of samples made under this Note 1. The report must be
on company letterhead stationery (titled ``Report of Sample
Shipments of Chemical Precursors'' at the top of the first page) and
identify the chemical(s), Chemical Abstract Service Registry
(C.A.S.) number(s), quantity(ies), the ultimate consignee's name and
address, and the date exported. The report must be sent to the U.S.
Department of Commerce, Bureau of Export Administration, P.O. Box
273, Washington, DC 20044, Attn: ``Report of Sample Shipments of
Chemical Precursors''.
2. MIXTURES: Mixtures controlled by this entry that contain
certain concentrations of precursor and intermediate chemicals are
subject to the following licensing requirements:
a. A license is required, regardless of the concentrations in
the mixture, for the following chemicals: 0-Ethyl-2-
diisopropylaminoethyl methylphosphonite (QL) (C.A.S.#57856-11-8),
Ethylphosphonyl difluoride (C.A.S.#753-98-0) and Methylphosphonyl
difluoride (C.A.S.#676-99-3);
b. A license is required when at least one of the following
chemicals constitutes more than 10 percent of the weight of the
mixture on a solvent free basis: Arsenic trichloride (C.A.S.#7784-
34-1), Benzilic acid (C.A.S.#76-93-7), Diethyl ethylphosphonate
(C.A.S.#78-38-6), Diethyl methylphosphonite (C.A.S.#15715-41-0),
Diethyl-N,N-dimethylphosphoroamidate (C.A.S. #2404-03-7), N,N-
Diisopropyl-beta-aminoethane thiol (C.A.S.#5842-07-9), N,N-
Diisopropyl-2-aminoethyl chloride hydrochloride (C.A.S.#4261-68-1),
N,N-Diisopropyl-beta-aminoethanol (C.A.S.#96-80-0), N,N-Diisopropyl-
beta-aminoethyl chloride (C.A.S.#96-79-7), Dimethyl ethylphosphonate
(C.A.S.#6163-75-3), Dimethyl methylphosphonate (C.A.S.#756-79-6),
Ethylphosphonous dichloride [Ethylphosphinyl dichloride]
(C.A.S.#1498-40-4), Ethylphosphonus difluoride [Ethylphosphinyl
difluoride] (C.A.S.#430-78-4), Ethylphosphonyl dichloride
(C.A.S.#1066-50-8), Methylphosphonous dichloride [Methylphosphinyl
dichloride] (C.A.S.#676-83-5), Methylphosphonous difluoride
[Methylphosphinyl difluoride] (C.A.S.#753-59-3), Methylphosphonyl
dichloride (C.A.S.#676-97-1), Pinacolyl alcohol (C.A.S.#464-07-3),
3-Quinuclidinol (C.A.S.#1619-34-7), and Thiodiglycol (C.A.S.#111-48-
8); (Related ECCN: 1C995)
c. A license is required when at least one of all other
chemicals in the List of Items Controlled constitutes more than 25
percent of the weight of the mixture on a solvent free basis
(related ECCN: 1C995); and
d. A license is not required under this entry for mixtures when
the controlled chemical is a normal ingredient in consumer goods
packaged for retail sale for personal use. Such consumer goods are
controlled by ECCN EAR99.
e. Calculation of concentrations of AG-controlled chemicals.
1. Usual Commercial Purposes. In calculating the percentage of
an AG controlled chemical in a mixture (solution), any other
chemical must be excluded if it was not added for usual commercial
purposes, but was added for the sole purpose of circumventing the
Export Administration Regulations.
2. ``Solvent Free Basis Requirement.'' When calculating the
percentage, by weight, of components in a chemical mixture, you must
exclude from the calculation any component of the mixture that acts
as a solvent.
3. Solvent--For purposes of this ECCN ``A substance capable of
dissolving another substance to form a uniformly dispersed mixture
(solution)''.
Solvents are liquids at standard temperature and
pressure (STP).
In no instance is an AG controlled chemical considered
a ``solvent''.
All ingredients of mixtures are expressed in terms of
weight.
The solvent component of the mixture converts it into a
solution.
3. TRACE QUANTITIES: a. A license is required for mixtures
containing any amount (including trace quantities) for the following
chemicals: 0-Ethyl-2-diisopropylaminoethyl methyl phosphonite (QL)
(C.A.S. #57856-11-8), Ethyl phosphonyl difluoride (C.A.S. #753-98-
0), and Methyl phosphonyl difluoride (C.A.S. #676-99-3).
b. Except as noted in paragraph (3)(a) of the License
Requirements Note, a license is not required under this entry for
mixtures that contain a cumulative total concentration of no more
than 10,000 parts by weight (pbw) per million of all precursor or
intermediate chemicals listed in this entry. The calculation for
this paragraph (3)(b) should not be done on a solvent-free basis
(related ECCN: 1C995).
c. Countries Not Eligible: The following countries are not
eligible for exports under this Trace Quantities Note: Cuba, Iran,
Iraq, Libya, North Korea, Sudan, and Syria.
4. COMPOUNDS: A license is not required under this entry for
chemical compounds created with any chemicals identified in this
ECCN 1C350, unless those compounds are also identified in this
entry.
Technical Notes: 1. For purposes of this entry, a ``mixture'' is
defined as a solid, liquid or gaseous product made up of two or more
components that do not react together under normal storage
conditions.
2. The scope of this control applicable to Hydrogen Fluoride
(Item 25 in List of Items Controlled) includes its liquid, gaseous,
and aqueous phases, and hydrates.
3. All de minimis exclusions of this entry extend to all
mixtures including those that contain no solvents.
4. A Solvent is defined as a substance capable of dissolving
another substance to form a uniformly dispersed mixture (solution).
For examples and clarification of the term ``solvent free'' basis,
see Sec. 770.4 of the EAR.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Liters or kilograms, as appropriate
Related Controls: See also 1C995
Related Definition: See Sec. 770.2(k) of the EAR for synonyms for
the chemicals listed in this entry.
Items: a. Precursor Chemicals, as follows:
a.1. (C.A.S. #1341-49-7) Ammonium hydrogen fluoride;
a.2. (C.A.S. #7784-34-1) Arsenic trichloride;
a.3. (C.A.S. #76-93-7) Benzilic acid;
a.4. (C.A.S. #107-07-3) 2-Chloroethanol;
a.5. (C.A.S. #78-38-6) Diethyl ethylphosphonate;
a.6. (C.A.S. #15715-41-0) Diethyl methylphosphonite;
a.7. (C.A.S. S.#2404-03-7) Diethyl-N,N-dimethylphosphoroamidate;
a.8. (C.A.S. #762-04-9) Diethyl phosphite;
a.9. (C.A.S. #100-37-8) N,N-Diethylaminoethanol;
a.10. (C.A.S. #5842-07-9) N,N-Diisopropyl-beta-aminoethane
thiol;
a.11. (C.A.S. #4261-68-1) N,N-Diisopropyl-beta-aminoethyl
chloride hydrochloride;
a.12. (C.A.S. #96-80-0) N,N-Diisopropyl-beta-aminoethanol;
a.13. (C.A.S. #96-79-7), N,N-Diisopropyl-beta-aminoethyl
chloride;
a.14. (C.A.S. #108-18-9) Di-isopropylamine;
a.15. (C.A.S. #6163-75-3) Dimethyl ethylphosphonate;
a.16. (C.A.S. #756-79-6) Dimethyl methylphosphonate;
a.17. (C.A.S. #868-85-9) Dimethyl phosphite (dimethyl hydrogen
phosphite);
a.18. (C.A.S. #124-40-3) Dimethylamine;
a.19. (C.A.S. #506-59-2) Dimethylamine hydrochloride;
a.20. (C.A.S. #57856-11-8) 0-Ethyl-2-diisopropylaminoethyl
methyl phosphonite (QL);
[[Page 2479]]
a.21. (C.A.S. #1498-40-4) Ethyl phosphonous dichloride [Ethyl
phosphinyl dichloride];
a.22. (C.A.S. #430-78-4) Ethyl phosphonus difluoride [Ethyl
phosphinyl difluoride];
a.23. (C.A.S. #1066-50-8) Ethyl phosphonyl dichloride;
a.24. (C.A.S. #753-98-0) Ethyl phosphonyl difluoride;
a.25. (C.A.S. #7664-39-3) Hydrogen fluoride;
a.26. (C.A.S. #3554-74-3) 3-Hydroxyl-1-methylpiperidine;
a.27. (C.A.S. #76-89-1) Methyl benzilate;
a.28. (C.A.S. #676-83-5) Methyl phosphonous dichloride [Methyl
phosphinyl dicloride];
a.29. (C.A.S. #753-59-3) Methyl phosphonous difluoride [Methyl
phosphinyl difluoride];
a.30. (C.A.S. #676-97-1) Methyl phosphonyl dichloride;
a.31. (C.A.S. #676-99-3) Methyl phosphonyl difluoride;
a.32. (C.A.S. #10025-87-3) Phosphorus oxychloride;
a.33. (C.A.S. #10026-13-8) Phosphorus pentachloride;
a.34. (C.A.S. #1314-80-3) Phosphorus pentasulfide;
a.35. (C.A.S. #7719-12-2) Phosphorus trichloride;
a.36. (C.A.S. #75-97-8) Pinacolone;
a.37. (C.A.S. #464-07-3) Pinacolyl alcohol;
a.38. (C.A.S. #151-50-8) Potassium cyanide;
a.39. (C.A.S. #7789-23-3) Potassium fluoride;
a.40. (C.A.S. #7789-29-9) Potassium bifluoride;
a.41. (C.A.S. #1619-34-7) 3-Quinuclidinol;
a.42. (C.A.S. #3731-38-2) 3-Quinuclidone;
a.43. (C.A.S. #1333-83-1) Sodium bifluoride;
a.44. (C.A.S. #143-33-9) Sodium cyanide;
a.45. (C.A.S. #7681-49-4) Sodium fluoride;
a.46. (C.A.S. #1313-82-2) Sodium sulfide;
a.47. (C.A.S. #10025-67-9) Sulfur monochloride;
a.48. (C.A.S. #10545-99-0) Sulfur dichloride;
a.49. (C.A.S. #111-48-8) Thiodiglycol;
a.50. (C.A.S. #7719-09-7) Thionyl chloride;
a.51. (C.A.S. #102-71-6) Triethanolamine;
a.52. (C.A.S. #637-39-8) Triethanolamine hydrochloride;
a.53. (C.A.S. #122-52-1) Triethyl phosphite; and
a.54. (C.A.S. #121-45-9) Trimethyl phosphite.
b. Reserved.
1C351 Human pathogens, zoonoses, and ``toxins'', as follows (see List
of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: All vaccines and ``immunotoxins'' are excluded
from the scope of this entry. See also 1C991.
Related Definition: (1) For the purposes of this entry
``immunotoxin'' is defined as an antibody-toxin conjugate intended
to destroy specific target cells (e.g., tumor cells) that bear
antigens homologous to the antibody. (2) For the purposes of this
entry ``subunit'' is defined as a portion of the ``toxin''.
Items: a. Viruses, as follows:
a.1. Chikungunya virus;
a.2. Congo-Crimean haemorrhagic fever virus;
a.3. Dengue fever virus;
a.4. Eastern equine encephalitis virus;
a.5. Ebola virus;
a.6. Hantaan virus;
a.7. Japanese encephalitis virus;
a.8. Junin virus;
a.9. Lassa fever virus
a.10. Lymphocytic choriomeningitis virus;
a.11. Machupo virus;
a.12. Marburg virus;
a.13. Monkey pox virus;
a.14. Rift Valley fever virus;
a.15. Tick-borne encephalitis virus (Russian Spring-Summer
encephalitis virus);
a.16. Variola virus;
a.17. Venezuelan equine encephalitis virus;
a.18. Western equine encephalitis virus;
a.19. White pox; or
a.20. Yellow fever virus.
b. Rickettsiae, as follows:
b.1. Bartonella quintana (Rochalimea quintana, Rickettsia
quintana);
b.2. Coxiella burnetii;
b.3. Rickettsia prowasecki; or
b.4. Rickettsia rickettsii.
c. Bacteria, as follows:
c.1. Bacillus anthracis;
c.2. Brucella abortus;
c.3. Brucella melitensis;
c.4. Brucella suis;
c.5. Burkholderia mallei (Pseudomonas mallei);
c.6. Burkholderia pseudomallei (Pseudomonas pseudomallei);
c.7. Chlamydia psittaci;
c.8. Clostridium botulinum;
c.9. Francisella tularensis;
c.10. Salmonella typhi;
c.11. Shigella dysenteriae;
c.12. Vibrio cholerae;
c.13. Yersinia pestis.
d. ``Toxins'', as follows: and subunits thereof:
d.1. Botulinum toxins;
d.2. Clostridium perfringens toxins;
d.3. Conotoxin;
d.4. Microcystin (cyanginosin);
d.5. Ricin;
d.6. Saxitoxin;
d.7. Shiga toxin;
d.8. Staphylococcus aureus toxins;
d.9. Tetrodotoxin;
d.10. Verotoxin; or
d.11. Aflatoxins.
1C352 Animal pathogens, as follows (see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: All vaccines are excluded from the scope of this
entry. See also 1C991.
Related Definition: N/A
Items: a. Viruses, as follows:
a.1. African swine fever virus;
a.2. Avian influenza virus that are:
a.2.a. Defined in EC Directive 92/40/EC (O.J. L.16 23.1.92 p.19)
as having high pathogenicity, as follows:
a.2.a.1. Type A viruses with an IVPI (intravenous pathogenicity
index) in 6 week old chickens of greater than 1.2; or
a.2.a.2. Type A viruses H5 or H7 subtype for which nucleotide
sequencing has demonstrated multiple basic amino acids at the
cleavage site of haemagglutinin;
a.3. Bluetongue virus;
a.4. Foot and mouth disease virus;
a.5. Goat pox virus;
a.6. Porcine herpes virus (Aujeszky's disease);
a.7. Swine fever virus (Hog cholera virus);
a.8. Lyssa virus;
a.9. Newcastle disease virus;
a.10. Peste des petits ruminants virus;
a.11. Porcine enterovirus type 9 (swine vesicular disease
virus);
a.12. Rinderpest virus;
a.13. Sheep pox virus;
a.14. Teschen disease virus;
a.15. Vesicular stomatitis virus;
b. Bacteria, as follows:
b.1. Mycoplasma mycoides.
b.2. Reserved.
1C353 Genetically-modified ``microorganisms'', as follows (see List of
Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: All vaccines are excluded from the scope of this
entry. See also 1C991
Related Definition: N/A
Items: a. Genetically modified ``microorganisms'' or genetic
elements that
[[Page 2480]]
contain nucleic acid sequences associated with pathogenicity of
organisms controlled by 1C351.a to .c or 1C352 or 1C354;
b. Genetically modified ``microorganisms'' or genetic elements
that contain nucleic acid sequences coding for any of the ``toxins''
controlled by 1C351.d or ``sub-units of toxins'' thereof.
1C354 Plant pathogens, as follows (see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: All vaccines are excluded from the scope of this
entry. See also 1C991
Related Definitions: N/A
Items: a. Bacteria, as follows:
a.1. Xanthomonas albilineans;
a.2. Xanthomonas campestris pv. citri including strains referred
to as Xanthomonas campestris pv. citri types A,B,C,D,E or otherwise
classified as Xanthomonas citri, Xanthomonas campestris pv.
aurantifolia or Xanthomonas campestris pv. citrumelo;
b. Fungi, as follows:
b.1. Colletotrichum coffeanum var. virulans (Colletotrichum
kahawae);
b.2. Cochliobolus miyabeanus (Helminthosporium oryzae);
b.3. Microcyclus ulei (syn. Dothidella ulei);
b.4. Puccinia graminis (syn. Puccinia graminis f. sp. tritici);
b.5. Puccinia striiformis (syn. Puccinia glumarum);
b.6. Magnaporthe grisea (pyricularia grisea/pyricularia oryzae).
1C980 Inorganic chemicals listed in Supplement No. 1 to part 754 of
the EAR that were produced or derived from the Naval Petroleum Reserves
(NPR) or became available for export as a result of an exchange of any
NPR produced or derived commodities.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements
(and possible License Exceptions) proceed directly to part 754 of
the EAR. The Commerce Country Chart is not designed to determine
licensing requirements for items controlled for SS reasons
List of Items Controlled
Unit: Barrels/Liters
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C981 Crude petroleum including reconstituted crude petroleum, tar
sands & crude shale oil listed in Supplement No. 1 to part 754 of the
EAR.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements
(and possible License Exceptions) proceed directly to part 754 of
the EAR. The Commerce Country Chart is not designed to determine
licensing requirements for items controlled for SS reasons
List of Items Controlled
Unit: Barrels/Liters
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C982 Other petroleum products listed in Supplement No. 1 to part 754
of the EAR that were produced or derived from the Naval Petroleum
Reserves (NPR) or became available for export as a result of an
exchange of any NPR produced or derived commodities.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements
(and possible License Exceptions) proceed directly to part 754 of
the EAR. The Commerce Country Chart is not designed to determine
licensing requirements for items controlled for SS reasons
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C983 Natural gas liquids and other natural gas derivatives listed in
Supplement No. 1 to part 754 of the EAR that were produced or derived
from the Naval Petroleum Reserves (NPR) or became available for export
as a result of an exchange of any NPR produced or derived commodities.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements
(and possible License Exceptions) proceed directly to part 754 of
the EAR. The Commerce Country Chart is not designed to determine
licensing requirements for items controlled for SS reasons.
List of Items Controlled
Unit: Barrels/Liters
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C984 Manufactured gas and synthetic natural gas (except when
commingled with natural gas and thus subject to export authorization
from the Department of Energy) listed in Supplement No. 1 to part 754
of the EAR that were produced or derived from the Naval Petroleum
Reserves (NPR) or became available for export as a result of an
exchange of any NPR produced or derived commodities.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements
(and possible License Exceptions) proceed directly to part 754 of
the EAR. The Commerce Country Chart is not designed to determine
licensing requirements for items controlled for SS reasons
List of Items Controlled
Unit: Millions of cubic feet
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C988 Western red cedar (thuja plicata), logs and timber, and rough,
dressed and worked lumber containing wane listed in Supplement No. 2 to
part 754 of the EAR.
License Requirements
Reason for Control: SS
Control(s): SS applies to entire entry. For licensing requirements
(and possible License Exceptions) proceed directly to part 754 of
the EAR. The Commerce Country Chart is not designed to determine
licensing requirements for items controlled for SS reasons
List of Items Controlled
Unit: Million board feet scribner
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C990 Fibrous and filamentary materials, not controlled by 1C010 or
1C210, for use in ``composite'' structures and with a specific modulus
of 3.18 x 10 \6\ m or greater and a specific tensile strength of
7.62 x 10 \4\ m or greater.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C991 Vaccines containing items controlled by ECCNs 1C351, 1C352,
1C353, and 1C354; and immunotoxins.
License Requirements
[[Page 2481]]
Reason for Control: AT
AT applies to entire entry. A license is required for items
controlled by this entry to Cuba, Iran, Libya and North Korea. The
Commerce Country Chart is not designed to determine licensing
requirements for this entry. See part 746 of the EAR for additional
information
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: For the purpose of this entry ``immunotoxin''
is defined as an antibody-toxin conjugate intended to destroy
specific target cells (e.g., tumor cells) that bear antigens
homologous to the antibody
Items: The list of items controlled is contained in the ECCN heading
1C992 Oil well perforators.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Materials in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Shaped charges specially designed for oil well operations,
utilizing one charge functioning along a single axis, that upon
detonation produce a hole, and:
a.1. Contain any formulation of RDX, PYX, PETN, HNS, or HMX; and
a.2. Have only a uniformly shaped conical liner with an included
angle of 90 degrees or less; and
a.3. Have a total explosive mass of no more than 90 grams; and
a.4. Have a diameter not exceeding three inches.
b. Reserved.
1C995 Mixtures containing precursor and intermediate chemicals used in
the ``production'' of chemical warfare agents that are not controlled
by ECCN 1C350.
License Requirements
Reason for Control: AT
AT applies to entire entry. A license is required for items
controlled by this entry to Cuba, Iran, Libya and North Korea. The
Commerce Country Chart is not designed to determine licensing
requirements for this entry. See part 746 of the EAR for additional
information
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definition: For calculation of de minimis quantities of
controlled chemicals in mixtures, see the License Requirements Notes
2 and 3 under ECCN 1C350 and Sec. 770.4 of the EAR
Items: The list of items controlled is contained in the ECCN heading
D. Software
1D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
1B001 to 1B003.
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for the MT Column 1
``development'', ``production'', or
``use'' of items controlled by 1B001
for MT reasons.
NP applies to ``software'' for the NP Column 1
``development'', ``production'' or
``use'' of items controlled by 1B001
for NP reasons.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: Yes, except N/A for MT
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: See also 1D101 and 1D102
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D002 ``Software'' for the ``development'' of organic ``matrix'',
metal ``matrix'' or carbon ``matrix'' laminates or ``composites''.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' specially MT Column 1
designed or modified for the
``development'' of ``composites''
controlled by 1A, 1B or 1C entries for
MT reasons.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under Exceptions.
License Exceptions
CIV: Yes, except N/A for MT
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: ``Software'' for items controlled by 1A102 are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls (see 22 CFR part 121).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D018 ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of items controlled by
1B018.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for the MT Column 1
``development'', ``production'', or
``use'' of items controlled by 1B018
for MT reasons.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D101 ``Software'' specially designed for the ``use'' of goods
controlled by 1B101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D102 Other ``software'' not controlled by 1D001, 1D002, and 1D103,
specially designed for the ``development'', ``production'' or ``use''
of items controlled by 1A, 1B, and 1C for MT reasons.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
[[Page 2482]]
1D103 ``Software'' specially designed for analysis of reduced
observables such as radar reflectivity, ultraviolet/infrared signatures
and acoustic signatures.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D201 ``Software'' specially designed for the ``use'' of goods
controlled by 1B201.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D390 ``Software'' for process control that is specifically configured
to control or initiate ``production'' of chemicals controlled by 1C350.
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D993 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of equipment or materials controlled by
1C210.b, 1C990, or 1C994.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
E. Technology
1E001 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of items controlled by 1A001.b,
1A001.c, 1A002, 1A003, 1A004, 1A005, 1A102, 1B or 1C (except 1C980 to
1C984, 1C988, 1C990, 1C991, 1C992, 1C994 and 1C995).
License Requirements
Reason for Control: NS, MT, NP, CB, AT
Control(s) Country Chart
NS applies to ``technology'' for items NS Column 1
controlled by 1A001.b and .c, 1A002,
1A003, 1B001 to 1B003, 1B018, 1B225,
1C001 to 1C010, 1C018, 1C230, 1C231,
1C233, or 1C234.
MT applies to ``technology'' 1 for MT Column 1
items controlled by 1B001, 1B101,
1B115, 1B116, 1C001, 1C007, 1C101,
1C107, 1C011, 1C111, 1C116, or 1C117
for MT reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 1A002, 1B001, 1B101,
1B201, 1B225 to 1B232, 1C001, 1C010,
1C202, 1C210, 1C216, 1C225 to 1C234,
1C236 to 1C238 for NP reasons.
CB applies to ``technology'' for items CB Column 1
controlled by 1C351, 1C352, 1C353, or
1C354.
CB applies to ``technology'' for CB Column 2
materials controlled by 1C350.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for MT and for exports and reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom of
``technology'' for items controlled by 1C001 or 1C012; or 1A002.a,
having an organic ``matrix'' and made from materials listed under
1C010.c or 1C010.d.
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 1E101 and 1E210. (2) ``Technology''
for items controlled by 1C235 are subject to the export licensing
authority of the Department of Energy (see 10 CFR part 810). (3)
``Technology'' for items described in 1C012 are subject to the
export licensing authority of the Nuclear Regulatory Commission (see
10 CFR part 110). (4) ``Technology'' for items controlled by 1A102
are subject to the export licensing authority of the U.S. Department
of State, Office of Defense Trade Controls (see 22 CFR part 121).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E002 Other ``technology'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to 1E002.e.................. MT Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for 1E002.e
List of Items Controlled
Unit: N/A
Related Controls: See also 1E102, 1E202, and 1E101 for
``technology'' related to 1E002.e
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'' or ``production''
of polybenzothiazoles or polybenzoxazoles;
b. ``Technology'' for the ``development'' or ``production'' of
fluoroelastomer compounds containing at least one vinylether
monomer;
c. ``Technology'' for the design or ``production'' of the
following base materials or non-``composite'' ceramic materials:
c.1. Base materials having all of the following characteristics:
c.1.a. Any of the following compositions:
c.1.a.1. Single or complex oxides of zirconium and complex
oxides of silicon or aluminum;
c.1.a.2. Single nitrides of boron (cubic crystalline forms);
c.1.a.3. Single or complex carbides of silicon or boron; or
c.1.a.4. Single or complex nitrides of silicon;
c.1.b. Total metallic impurities, excluding intentional
additions, of less than:
c.1.b.1. 1,000 ppm for single oxides or carbides; or
c.1.b.2. 5,000 ppm for complex compounds or single nitrides; and
c.1.c. Having any of the following:
c.1.c.1. Average particle size equal to or less than 5
m and no more than 10% of the particles larger than 10
m; or
Note: For zirconia, these limits are 1 m and 5
m respectively.
c.1.c.2. Having all of the following:
c.1.c.2.a. Platelets with a length to thickness ratio exceeding
5;
[[Page 2483]]
c.1.c.2.b. Whiskers with a length to diameter ratio exceeding 10
for diameters less than 2 m; and
c.1.c.2.c. Continuous or chopped fibers less than 10 m
in diameter;
c.2. Non-``composite'' ceramic materials composed of the
materials described in 1E002.c.1;
Note: 1E002.c.2 does not control technology for the design or
production of abrasives.
d. ``Technology'' for the ``production'' of aromatic polyamide
fibers;
e. ``Technology'' for the installation, maintenance or repair of
materials controlled by 1C001;
f. ``Technology'' for the repair of ``composite'' structures,
laminates or materials controlled by 1A002, 1C007.c or 1C007.d.
Note: 1E002.f does not control ``technology'' for the repair of
``civil aircraft'' structures using carbon ``fibrous or filamentary
materials'' and epoxy resins, contained in aircraft manufacturers'
manuals.
1E101 ``Technology'' according to the General Technology Note for the
``use'' of goods controlled by 1A102, 1B001, 1B101, 1B115, 1B116,
1C001, 1C007, 1C011, 1C101, 1C107, 1C111, 1C116, 1C117, 1D101 or 1D103.
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to 1B001.a and 1B101........ NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: ``Technology'' for items controlled by 1A102 are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls (see 22 CFR part 121).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E102 ``Technology'' according to the General Technology Note for the
``development'' of ``software'' controlled by 1D001, 1D101 or 1D103.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
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.
1E103 ``Technical data'' (including processing conditions) for the
regulation of temperature, pressure or atmosphere in autoclaves or
hydroclaves, when used for the ``production'' of ``composites'' or
partially processed ``composites''.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: See also 1E203
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E104 ``Technology'' relating to the ``production'' of pyrolitically
derived materials formed on a mold, mandrel or other substrate from
precursor gases which decompose in the 1,573 K (1,300 deg. C) to 3,173
K (2,900 deg. C) temperature range at pressures of 130 Pa to 20 kPa.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: This entry includes ``technology'' for the
composition of precursor gases, flow-rates and process control
schedules and parameters.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E201 ``Technology'' according to the General Technology Note for the
``use'' of goods controlled by 1A002, 1A202, 1A225 to 1A227, 1B201,
1B225 to 1B233, 1C002.a.2.c or .d, 1C010.b, 1C202, 1C210, 1C216, 1C225
to 1C240 or 1D201.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
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.
1E202 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of goods controlled by 1A202 or 1A225
to 1A227.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
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.
1E203 ``Technology'' according to the General Technology Note for the
``development'' of ``software'' controlled by 1D201.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
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.
1E350 ``Technology'' according to the ``General Technology Note'' for
facilities designed or intended to produce chemicals controlled by
1C350.
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 2
AT applies to entire entry............. AT Column 1
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.
[[Page 2484]]
1E351 ``Technology'' according to the ``General Technology Note'' for
the disposal of chemicals or microbiological materials controlled by
1C350, 1C351, 1C352, 1C353, or 1C354.
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to ``technology'' for the CB Column 1
disposal of items controlled by 1C351,
1C352, 1C353, or 1C354.
CB applies to ``technology'' for the CB Column 2
disposal of items controlled by 1C350.
AT applies to entire entry............. AT Column 1
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.
1E994 ``Technology'' for the ``development'', ``production'', or
``use'' of fibrous and filamentary materials controlled by 1C990 or
fluorocarbon electronic cooling fluids controlled by 1C994.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
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.
EAR99 Items subject to the EAR that are not elsewhere controlled by
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Category 2--Materials Processing
Note: For quiet running bearings, see the U.S. Munitions List.
A. Equipment, Assemblies and Components
2A001 Anti-friction bearings and bearing systems, as follows, (see
List of Items Controlled) and components therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: Yes, for 2A001.a and 2A001.b
CIV: Yes, for 2A001.a and 2A001.b
List of Items Controlled
Unit: $ value
Related Controls: (1) See also 2A991. (2) This entry does not
control balls with tolerance specified by the manufacturer in
accordance with ISO 3290 as grade 5 or worse. (3) Quiet running
bearings are subject to the export licensing authority of the
Department of State, Office of Defense Trade Controls. (See 22 CFR
part 121.)
Related Definitions: Annular Bearing Engineers Committee (ABEC).
Items: a. Ball bearings and solid roller bearings having tolerances
specified by the manufacturer in accordance with ABEC 7, ABEC 7P,
ABEC 7T or ISO Standard Class 4 or better (or national equivalents),
and having rings, balls or rollers made from monel or beryllium;
Note: 2A001.a does not control tapered roller bearings.
b. Other ball bearings and solid roller bearings having
tolerances specified by the manufacturer in accordance with ABEC 9,
ABEC 9P or ISO Standard Class 2 or better (or national equivalents);
Note: 2A001.b does not control tapered roller bearings.
c. Active magnetic bearing systems using any of the following:
c.1. Materials with flux densities of 2.0 T or greater and yield
strengths greater than 414 MPa;
c.2. All-electromagnetic 3D homopolar bias designs for
actuators; or
c.3. High temperature (450 K (177 deg.C) and above) position
sensors.
2A225 Crucibles made of materials resistant to liquid actinide metals,
as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Crucibles with a volume of between 150 ml and 8 liters and
made of or coated with any of the following materials having a
purity of 98% or greater:
a.1. Calcium fluoride (CaF2);
a.2. Calcium zirconate (metazirconate)
(Ca2ZrO3);
a.3. Cerium sulphide (Ce2S3);
a.4. Erbium oxide (erbia) (Er2O3);
a.5. Hafnium oxide (hafnia) (HfO2);
a.6. Magnesium oxide (MgO);
a.7. Nitrided niobium-titanium-tungsten alloy (approximately 50%
Nb, 30% Ti, 20% W);
a.8. Yttrium oxide (yttria) (Y2O3); or
a.9. Zirconium oxide (zirconia) (ZrO2);
b. Crucibles with a volume of between 50 ml and 2 liters and
made of or lined with tantalum, having a purity of 99.9% or greater;
c. Crucibles with a volume of between 50 ml and 2 liters and
made of or lined with tantalum (having a purity of 98% or greater)
coated with tantalum carbide, nitride or boride (or any combination
of these).
2A226 Valves 5 mm or greater in ``nominal size'', with a bellows seal,
wholly made of or lined with aluminum, aluminum alloy, nickel, or alloy
containing 60% or more nickel, either manually or automatically
operated.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Valves are also subject to the export licensing
authority of the Nuclear Regulatory Commission. (See 10 CFR part
110.)
Related Definition: For valves with different inlet and outlet
diameter, the ``nominal size'' parameter described in the entry
refers to the smallest diameter.
Items: The list of items controlled is contained in the ECCN
heading.
2A290 Generators and other equipment specially designed, prepared, or
intended for use with nuclear plants.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Nuclear equipment is also subject to the export
licensing authority of the Nuclear Regulatory Commission. (See 10
CFR part 110.)
Related Definitions: N/A
Items:
a. Generators, turbine-generator sets, steam turbines, heat
exchangers, and heat exchanger type condensers designed or intended
for use in a nuclear reactor;
b. Process control systems intended for use with the equipment
controlled by 2A290.a.
2A291 Equipment related to nuclear material handling and processing
and to nuclear reactors.
License Requirements
[[Page 2485]]
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: Nuclear equipment is also subject to the export
licensing authority of the Nuclear Regulatory Commission. (See 10
CFR part 110.)
Related Definitions: N/A
Items: a. Process control systems, except those controlled by
2A290.b, intended for use with nuclear reactors.
b. Casks that are specially designed for transportation of high-
level radioactive material and that weigh more than 1,000 kg.
c. Commodities, parts and accessories specially designed or
prepared for use with nuclear plants (e.g., snubbers, airlocks,
reactor and fuel inspection equipment) except items licensed by the
Nuclear Regulatory Commission, pursuant to 10 CFR part 110.
2A292 Piping, fittings and valves made of, or lined with, stainless
steel, copper-nickel alloy or other alloy steel containing 10% or more
nickel and/or chromium.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Pressure tubes, pipes, and fittings in kilograms; valves in
number; parts and accessories in $ value
Related Controls: Piping, fittings, and valves are also subject to
the export licensing authority of the Nuclear Regulatory Commission.
(See 10 CFR part 110.)
Related Definitions: N/A
Items: a. Pressure tube, pipe, and fittings of 200 mm (8 inches) or
more inside diameter, and suitable for operation at pressures of 3.4
Mpa (500 psi) or greater;
b. Pipe valves having all of the following characteristics:
b.1. A pipe size connection of 8 inches or more inside diameter;
b.2. Rated at 1,500 psi or more;
c. Parts, n.e.s.
2A293 Pumps designed to move molten metals by electromagnetic forces.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
2A991 Bearings and bearing systems not controlled by 2A001.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) This entry does not control balls with
tolerance specified by the manufacturer in accordance with ISO 3290
as grade 5 or worse. (2) Quiet running bearings are subject to the
export licensing authority of the Department of State, Office of
Defense Trade Controls. (See 22 CFR part 121)
Related Definitions: (1) (a) DN is the product of the bearing bore
diameter in mm and the bearing rotational velocity in rpm. (b)
Operating temperatures include those temperatures obtained when a
gas turbine engine has stopped after operation. (2) Annular Bearing
Engineers Committee (ABEC); American National Standards Institute
(ANSI); Anti-Friction Bearing Manufacturers Association (AFBMA)
Items: a. Ball bearings or Solid ball bearings (except tapered
roller bearings), having tolerances specified by the manufacturer in
accordance with ABEC 7, ABEC 7P, or ABEC 7T or ISO Standard Class 4
or better (or equivalents) and having any of the following
characteristics.
a.1. Manufactured for use at operating temperatures above 573 K
(300 deg. C) either by using special materials or by special heat
treatment; or
a.2. With lubricating elements or component modifications that,
according to the manufacturer's specifications, are specially
designed to enable the bearings to operate at speeds exceeding 2.3
million DN.
b. Solid tapered roller bearings, having tolerances specified by
the manufacturer in accordance with ANSI/AFBMA Class 00 (inch) or
Class A (metric) or better (or equivalents) and having either of the
following characteristics.
b.1. With lubricating elements or component modifications that,
according to the manufacturer's specifications, are specially
designed to enable the bearings to operate at speeds exceeding 2.3
million DN; or
b.2. Manufactured for use at operating temperatures below 219 K
(-54 deg. C) or above 423 K (150 deg. C).
c. Gas-lubricated foil bearing manufactured for use at operating
temperatures of 561 K (288 deg. C) or higher and a unit load
capacity exceeding 1 MPa.
d. Active magnetic bearing systems.
e. Fabric-lined self-aligning or fabric-lined journal sliding
bearings manufactured for use at operating temperatures below 219 K
(-54 deg. C) or above 423 K (150 deg. C).
2A993 Explosive detection systems, consisting of an automated device,
or combination of devices, with the ability to detect the presence of
different types of explosives, in passenger checked baggage, without
need for human skill, vigilance, or judgment.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
2A994 Portable electric generators and specially designed parts.
License Requirements
Reason for Control: AT
Control(s): AT applies to entire entry. A license is required for
items controlled by this entry to Cuba, Iran, Libya, and North
Korea. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information
Note: Exports from the U.S. and transshipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See Sec. 742.8 and Sec. 746.7 of the EAR for additional
information on this requirement.)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
B. Test, Inspection and Production Equipment
Notes for Category 2B: 1. Secondary parallel contouring axes
(e.g., the w-axis on horizontal boring mills or a secondary rotary
axis the center line of which is parallel to the
[[Page 2486]]
primary rotary axis) are not counted in the total number of
contouring axes.
N.B. Rotary axes need not rotate over 360 deg.. A rotary axis
can be driven by a linear device (e.g., a screw or a rack-and-
pinion).
2. Axis nomenclature shall be in accordance with International
Standard ISO 841, ``Numerical Control Machines--Axis and Motion
Nomenclature''.
3. For the purposes of 2B001 to 2B009 a ``tilting spindle'' is
counted as a rotary axis.
4. Guaranteed positioning accuracy levels instead of individual
test protocols may be used for each machine tool model using the
agreed ISO test procedure.
5. The positioning accuracy of ``numerically controlled''
machine tools is to be determined and presented in accordance with
ISO 230/2.
2B001 Machine tools and any combination thereof, for removing (or
cutting) metals, ceramics or ``composites'', which, according to the
manufacturer's technical specification, can be equipped with electronic
devices for ``numerical control''.
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to 2B001.a,b,c, and d, NP Column 1
EXCEPT: (1) turning machines under
2B001.a with a capacity equal to or
less than 35 mm diameter; (2) bar
machines (Swissturn), limited to
machining only bar feed through, if
maximum bar diameter is equal to or
less than 42 mm and there is no
capability of mounting chucks.
(Machines may have drilling and/or
milling capabilities for machining
parts with diameters less than 42 mm);
or (3) milling machines under 2B001.b.
with x-axis travel greater than two
meters and overall ``positioning
accuracy'' on the x-axis more (worse)
than 0.030 mm.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 2B290 and 2B991
Related Definitions: N/A
Items: a. Machine tools for turning, having all of the following
characteristics:
a.1. Positioning accuracy with all compensations available of
less (better) than 6 m along any linear axis (overall
positioning); and
a.2. Two or more axes which can be coordinated simultaneously
for ``contouring control'';
Note: 2B001.a does not control turning machines specially
designed for the production of contact lenses.
b. Machine tools for milling, having any of the following
characteristics:
b.1.a. Positioning accuracy with all compensations available of
less (better) than 6 m along any linear axis (overall
positioning); and
b.1.b. Three linear axes plus one rotary axis which can be
coordinated simultaneously for ``contouring control'';
b.2. Five or more axes which can be coordinated simultaneously
for ``contouring control''; or
b.3. A positioning accuracy for jig boring machines, with all
compensations available, of less (better) than 4 m along
any linear axis (overall positioning);
c. Machine tools for grinding, having any of the following
characteristics:
c.1.a. Positioning accuracy with all compensations available of
less (better) than 4 m along any linear axis (overall
positioning); and
c.1.b. Three or more axes which can be coordinated
simultaneously for ``contouring control''; or
c.2. Five or more axes which can be coordinated simultaneously
for ``contouring control'';
Notes: 2B001.c does not control grinding machines, as follows:
1. Cylindrical external, internal, and external-internal
grinding machines having all the following characteristics:
a. Limited to cylindrical grinding; and
b. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length.
2. Machines designed specifically as jig grinders having any of
the following characteristics:
a. The c-axis is used to maintain the grinding wheel normal to
the work surface; or
b. The a-axis is configured to grind barrel cams.
3. Tool or cutter grinding machines shipped as complete systems
with ``software'' specially designed for the production of tools or
cutters.
4. Crank shaft or cam shaft grinding machines.
5. Surface grinders.
d. Electrical discharge machines (EDM) of the non-wire type
which have two or more rotary axes which can be coordinated
simultaneously for ``contouring control'';
e. Machine tools for removing metals, ceramics or
``composites'':
e.1. By means of:
e.1.a. Water or other liquid jets, including those employing
abrasive additives;
e.1.b. Electron beam; or
e.1.c. ``Laser'' beam; and
e.2. Having two or more rotary axes which:
e.2.a. Can be coordinated simultaneously for ``contouring
control''; and
e.2.b. Have a positioning accuracy of less (better) than
0.003 deg.;
f. Deep-hole-drilling machines and turning machines modified for
deep-hole-drilling, having a maximum depth-of-bore capability
exceeding 5,000 mm and specially designed components therefor.
2B003 ``Numerically controlled'' or manual machine tools, and
specially designed components, controls and accessories therefor,
specially designed for the shaving, finishing, grinding or honing of
hardened (Rc = 40 or more) spur, helical and double-helical
gears with a pitch diameter exceeding 1,250 mm and a face width of 15%
of pitch diameter or larger finished to a quality of AGMA 14 or better
(equivalent to ISO 1328 class 3).
License Requirements
Reason for Control: NS, AT
Control(s) County Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 2B993
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B004 Hot ``isostatic presses'', having all of the following
characteristics described in the List of Items Controlled, and
specially designed dies, molds, components, accessories and controls
therefor.
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to entire entry............. MT Column 1
NP applies to entire entry, except NP Column 1
2B004.b.3 and presses with
temperatures exceeding 1,733K, and
pressure below 69 MPa.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 2B104 and 2B204
Related Definitions: N/A
Items: a. A controlled thermal environment within the closed cavity
and possessing a chamber cavity with an inside diameter of 406 mm or
more; and
[[Page 2487]]
b. Any of the following:
b.1. A maximum working pressure exceeding 207 MPa;
b.2. A controlled thermal environment exceeding 1,773 K
(1,500 deg. C); or
b.3. A facility for hydrocarbon impregnation and removal of
resultant gaseous degradation products.
Technical Note: The inside chamber dimension is that of the
chamber in which both the working temperature and the working
pressure are achieved and does not include fixtures. That dimension
will be the smaller of either the inside diameter of the pressure
chamber or the inside diameter of the insulated furnace chamber,
depending on which of the two chambers is located inside the other.
2B005 Equipment specially designed for the deposition, processing and
in-process control of inorganic overlays, coatings and surface
modifications for non-electronic substrates, by processes shown in the
Table and associated Notes following 2E003.f, and specially designed
automated handling, positioning, manipulation and control components
therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry AT Column 1
License Exceptions
LVS: $1000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control chemical vapor
deposition, cathodic arc, sputter deposition, ion plating or ion
implantation equipment specially designed for cutting or machining
tools.
Related Definitions: N/A
Items: a. ``Stored program controlled'' chemical vapor deposition
(CVD) production equipment having all of the following:
a.1. Process modified for one of the following:
a.1.a. Pulsating CVD;
a.1.b. Controlled nucleation thermal decomposition (CNTD); or
a.1.c. Plasma enhanced or plasma assisted CVD; and
a.2. Any of the following:
a.2.a. Incorporating high vacuum (equal to or less than 0.01 Pa)
rotating seals; or
a.2.b. Incorporating in situ coating thickness control;
b. ``Stored program controlled'' ion implantation production
equipment having beam currents of 5 mA or more;
c. ``Stored program controlled'' electron beam physical vapor
(EB-PVD) production equipment incorporating all of the following:
c.1. Power systems rated for over 80 kW;
c.2. A liquid pool level ``laser'' control system which
regulates precisely the ingots feed rate; and
c.3. A computer controlled rate monitor operating on the
principle of photo-luminescence of the ionized atoms in the
evaporant stream to control the deposition rate of a coating
containing two or more elements;
d. ``Stored program controlled'' plasma spraying production
equipment having any of the following characteristics:
d.1. Operating at reduced pressure controlled atmosphere (equal
or less than 10 kPa measured above and within 300 mm of the gun
nozzle exit) in a vacuum chamber capable of evacuation down to 0.01
Pa prior to the spraying process; or
d.2. Incorporating in situ coating thickness control;
e. ``Stored program controlled'' sputter deposition production
equipment capable of current densities of 0.1 mA/mm\2\ or higher at
a deposition rate 15 m/h or more;
f. ``Stored program controlled'' cathodic arc deposition
equipment incorporating a grid of electromagnets for steering
control of the arc spot on the cathode;
g. ``Stored program controlled'' ion plating production
equipment allowing for the in situ measurement of any of the
following:
g.1. Coating thickness on the substrate and rate control; or
g.2. Optical characteristics.
2B006 Dimensional inspection or measuring systems and equipment, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to 2B006.a and .b........... NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: See also 2B206 and 2B996.
Related Definition: (1) Machine tools which can be used as measuring
machines are controlled if they meet or exceed the criteria
specified for the machine tool function or the measuring machine
function. (2) A machine described by this entry is controlled if it
exceeds the control threshold anywhere within its operating range.
Items: a. Computer controlled, ``numerically controlled'' or
``stored program controlled'' dimensional inspection machines,
having a three dimensional length (volumetric) ``measurement
uncertainty'' equal to or less (better) than (1.7 + L/1,000)
m (L is the measured length in mm) tested according to ISO
10360-2;
b. Linear and angular displacement measuring instruments, as
follows:
b.1. Linear measuring instruments having any of the following:
b.1.a. Non-contact type measuring systems with a ``resolution''
equal to or less (better) than 0.2 m within a measuring
range up to 0.2 mm;
b.1.b. Linear voltage differential transformer systems having
all of the following characteristics:
b.1.b.1. ``Linearity'' equal to or less (better) than 0.1%
within a measuring range up to 5 mm; and
b.1.b.2. Drift equal to or less (better) than 0.1% per day at a
standard ambient test room temperature 1 K; or
b.1.c. Measuring systems having all of the following:
b.1.c.1. Containing a ``laser''; and
b.1.c.2. Maintaining, for at least 12 hours, over a temperature
range of 1 K around a standard temperature and at a
standard pressure, all of the following:
b.1.c.2.a. A ``resolution'' over their full scale of 0.1
m or less (better); and
b.1.c.2.b. A ``measurement uncertainty'' equal to or less
(better) than (0.2 + L/2,000) m (L is the measured length
in mm);
Note: 2B006.b.1 does not control measuring interferometer
systems, without closed or open loop feedback, containing a
``laser'' to measure slide movement errors of machine-tools,
dimensional inspection machines or similar equipment.
b.2. Angular measuring instruments having an ``angular position
deviation'' equal to or less (better) than 0.00025 deg.;
Note: 2B006.b.2 does not control optical instruments, such as
autocollimators, using collimated light to detect angular
displacement of a mirror.
c. Equipment for measuring surface irregularities, by measuring
optical scatter as a function of angle, with a sensitivity of 0.5 nm
or less (better).
2B007 ``Robots'' having any of the following characteristics described
in the List of Items Controlled and specially designed controllers and
``end-effectors'' therefor.
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to 2B007.c if specially NP Column 1
designed or rated as radiation
hardened to withstand greater than 5 X
10\4\ grays(Si) without operational
degradation; to 2B007.b; and to
specially designed controllers and
``end-effectors'' therefor.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000, except 2B007.b and .c
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 2B207 and 2B997
Related Definitions: N/A
Items: a. Capable in real time of full three-dimensional image
processing or three-dimensional scene analysis to generate or modify
``programs'' or to generate or modify numerical program data;
[[Page 2488]]
Note: The scene analysis limitation does not include
approximation of the third dimension by viewing at a given angle, or
limited grey scale interpretation for the perception of depth or
texture for the approved tasks (2\1/2\ D).
b. Specially designed to comply with national safety standards
applicable to explosive munitions environments;
c. Specially designed or rated as radiation-hardened to
withstand greater than 5 x 10\3\ Gy (Si) without operational
degradation; or
d. Specially designed to operate at altitudes exceeding 30,000
m.
2B008 Assemblies, units or inserts specially designed for machine
tools, or for equipment controlled by 2B006 or 2B007, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 2B998
Related Definition: N/A
Items: a. Linear position feedback units (e.g., inductive type
devices, graduated scales, infrared systems or ``laser'' systems)
having an overall ``accuracy'' less (better) than (800 + (600 x L
x 10-\3\)) nm (L equals the effective length in mm);
Note: For ``laser'' systems see also Note to 2B006.b.1.
b. Rotary position feedback units (e.g., inductive type devices,
scales, infrared systems or ``laser'' systems) having an
``accuracy'' less (better) than 0.00025 deg.;
Note: For ``laser'' systems see also Note to 2B006.b.1.
c. ``Compound rotary tables'' and ``tilting spindles'', capable
of upgrading, according to the manufacturer's specifications,
machine tools to or above the levels controlled by 2B001 to 2B009.
2B009 Spin-forming machines and flow-forming machines, which,
according to the manufacturer's technical specifications, can be
equipped with ``numerical control'' units or a computer control and
having all the characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to spin-forming machines the MT Column 1
machines combining the functions of
spin-forming and flow-forming; and
flow-forming machines.
NP applies to flow-forming machines; NP Column 1
and spin-forming machines capable of
flow-forming functions.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 2B109 for additional flow-forming
machines for MT and NP reasons. See also 2B209 for additional flow-
forming machines controlled for NP reasons.
Related Definitions: Machines combining the function of spin-forming
and flow-forming are for the purpose of 2B009 regarded as flow-
forming machines.
Items: a. Two or more controlled axes of which at least two can be
coordinated simultaneously for ``contouring control''; and
b. A roller force more than 60 kN.
2B018 Equipment on the International Munitions List.
License Requirements
Reason for Control: NS, MT, RS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to specialized machinery, MT Column 1
equipment, and gear for producing
rocket systems (including ballistic
missile systems, space launch
vehicles, and sounding rockets) and
unmanned air vehicle systems
(including cruise missile systems,
target drones, and reconnaissance
drones) usable in systems that are
controlled for MT reasons including
their propulsion systems and
components, and pyrolytic deposition
and densification equipment.
RS applies to entire entry............. RS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: Yes for Advisory Note in this entry to 2B018
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: Specialized machinery, equipment, gear, and specially
designed parts and accessories therefor, including but not limited
to the following, that are specially designed for the examination,
manufacture, testing, and checking of arms, appliances, machines,
and implements of war: a. Armor plate drilling machines, other than
radial drilling machines;
b. Armor plate planing machines;
c. Armor plate quenching presses;
d. Centrifugal casting machines capable of casting tubes 6 feet
(183 cm) or more in length, with a wall thickness of 2 inches (5 cm)
and over;
e. Gun barrel rifling and broaching machines, and tools
therefor;
f. Gun barrel rifling machines;
g. Gun barrel trepanning machines;
h. Gun boring and turning machines;
i. Gun honing machines of 6 feet (183 cm) stroke or more;
j. Gun jump screw lathes;
k. Gun rifling machines;
l. Gun straightening presses;
m. Induction hardening machines for tank turret rings and
sprockets;
n. Jigs and fixtures and other metal-working implements or
accessories of the kinds exclusively designed for use in the
manufacture of firearms, ordnance, and other stores and appliances
for land, sea, or aerial warfare;
o. Small arms chambering machines;
p. Small arms deep hole drilling machines and drills therefor;
q. Small arms rifling machines;
r. Small arms spill boring machines;
s. Tank turret bearing grinding machines.
Advisory Note: Licenses are likely to be approved, as
administrative exceptions, for export and reexport to Country Group
D:1 of equipment used to determine the safety data of explosives, as
required by the International Convention on the Transport of
Dangerous Goods (C.I.M.) articles 3 and 4 in Annex 1 RID, provided
that such equipment will be used only by the railway authorities of
current C.I.M. members, or by the Government-accredited testing
facilities in those countries, for the testing of explosives to
transport safety standards, of the following description:
a. Equipment for determining the ignition and deflagration
temperatures;
b. Equipment for steel-shell tests;
c. Drophammers not exceeding 20 kg in weight for determining
the sensitivity of explosives to shock;
d. Equipment for determining the friction sensitivity of
explosives when exposed to charges not exceeding 36 kg in weight.
2B104 Equipment and process controls designed or modified for
densification and pyrolysis of structural composite rocket nozzles and
reentry vehicle nose tips.
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to 2B104.a NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
[[Page 2489]]
Related Controls: The only ``isostatic presses'' and furnaces
controlled by 2B104 are: (a) ``Isostatic presses'', other than those
controlled by 2B004, having all the following characteristics: (1)
Maximum working pressure of 69 MPa or greater; (2) Designed to
achieve and maintain a thermal environment of 873 K (600 deg. C) or
greater; and (3) Possessing a chamber cavity with an diameter of 254
mm or greater; (b) CVD Furnaces designed or modified for the
densification of carbon-carbon composites.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B109 Flow-forming machines, other than those controlled by 2B009, and
specially designed components therefor.
License Requirements
Reason for Control: MT, NP, AT
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
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: See also 2B009 and 2B209.
Related Definition: This entry controls only spin-forming machines
combining the functions of spin-forming and flow-forming and flow
forming machines.
Items: a. According to the manufacturer's technical specification,
can be equipped with ``numerical control'' units or a computer
control, even when not equipped with such units; and
b. With more than two axes which can be coordinated
simultaneously for ``contouring control.''
Technical Notes: 1. Machines combining the function of spin-
forming and flow-forming are for the purpose of 2B109 regarded as
flow-forming machines.
2. 2B109 does not control machines that are not usable in the
production of propulsion components and equipment (e.g. motor cases)
for systems in 9A005, 9A007.a, or 9A105.
2B116 Vibration test systems, equipment and components therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to electrodynamic vibration NP Column 1
test systems, employing feedback or
closed loop control techniques and
incorporating a digital controller,
capable of vibrating at 10 g RMS or
more between 20 Hz and 2000 Hz and
imparting forces of 50 kN (11,250
lbs.) measured ``bare table'', or
greater.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 9B990
Related Definitions: (1) The term ``digital control'' refers to
equipment, the functions of which are, partly or entirely,
automatically controlled by stored and digitally coded electrical
signals. (2) The term ``bare table'' means a flat table, or surface,
with no fixture or fitting.
Items: a. Vibration test systems employing feedback or closed loop
techniques and incorporating a digital controller, capable of
vibrating a system at 10 g RMS or more over the entire range 20 Hz
to 2,000 Hz and imparting forces of 50 kN (11,250 lbs.), measured
``bare table'', or greater;
b. Digital controllers, combined with specially designed
vibration test ``software'', with a real-time bandwidth greater than
5 kHz and designed for use with vibration test systems described in
2B116.a;
c. Vibration thrusters (shaker units), with or without
associated amplifiers, capable of imparting a force of 50 kN (11,250
lbs.), measured ``bare table'', or greater, and usable in vibration
test systems described in 2B116.a;
d. Test piece support structures and electronic units designed
to combine multiple shaker units into a complete shaker system
capable of providing an effective combined force of 50 kN, measured
``bare table'', or greater, and usable in vibration test systems
described in 2B116.a.
2B201 Machine tools, other than those controlled by 2B001 for removing
or cutting metals, ceramics or ``composites'', which, according to
manufacturer's technical specification, can be equipped with electronic
for simultaneous ``contouring control'' in two or more axes.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 2B290, 2B991, and 2D002 ``Numerical
control'' units are controlled by their associated ``software''.
Related Definition: N/A
Items: a. Machine tools for milling, having any of the following
characteristics:
a.1. ``Positioning accuracies'' with all compensations available
less (better) than 0.006 mm along any linear axis (positioning); or
a.2. Two or more contouring rotary axes.
Note: 2B201.a. does not control milling having the following
characteristics:
a. X-axis travel greater than 2 m;
b. Overall ``positioning accuracy'' on the x-axis more (worse)
than 0.030 mm.
b. Machine tools for grinding, having any of the following
characteristics:
b.1. ``Positioning accuracies'' with all compensations available
less (better) than 0.004 mm along any linear axis (positioning); or
b.2. Two or more contouring rotary axes.
Note: 2B201.b does not control the following grinding machines:
a. Cylindrical external, internal, and external-internal
grinding machines having all of the following characteristics:
1. Limited to cylindrical grinding;
2. A maximum workpiece outside diameter or length of 150 mm;
3. Not more than two axes that can be simultaneously for
``contouring control''; and
4. No contouring c axis;
b. Jig grinders with axes limited to x, y, c and a where c-axis
is used to maintain the grinding wheel normal to the work surface,
and the a axis is configured to grind barrel cams;
c. Tool or cutter grinding machines with ``software'' specially
designed for the production of tools or cutters; or
d. Crankshaft or camshaft grinding machines.
c. Machines for turning, that have ``positioning accuracies''
with all compensations available less (better) than 0.006 mm along
any linear axis (overall positioning) for machines capable of
machining diameters greater than 35 mm.
Note: Bar machines (Swissturn), limited to machining only bar
feed thru, are excluded if maximum bar diameter is equal to or less
than 42 mm and there is no capability of mounting chucks. Machines
may have drilling and/or milling capabilities for machining parts
with diameters less than 42 mm.
2B204 ``Isostatic presses,'' not controlled by 2B004 or 2B104, capable
of achieving a maximum working pressure of 69 Mpa (10,000 psi) or
greater and having a chamber cavity with an inside diameter in excess
of 152 mm (6 inches) and specially designed dies, molds, and controls
therefor.
License Requirements
Reason for Control: NP, AT
[[Page 2490]]
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definition: The inside chamber dimension is that of the
chamber in which both the working temperature and working pressure
are achieved and does not include fixtures. That dimension will be
the smaller either the inside diameter of the pressure chamber or
the inside diameter of the insulated chamber, depending on which of
the two chambers is located inside the other.
Items: The list of items controlled is contained in the ECCN
heading.
2B206 Dimensional inspection machines, devices or systems, other than
those controlled by 2B006, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: See also 2B992.
Related Definition: (1) Machine tools that can be used as measuring
machines are controlled if they meet or exceed the criteria
specified for the machine function or the measuring machine
function. (2) A machine controlled by 2B206 is controlled if it
exceeds the control threshold anywhere within its operating range.
(3) The probe used in determining the measurement uncertainty of a
dimensional inspection system shall be described in VDI/VDE 2617
parts 2, 3 and 4.
Items: a. Computer controlled or numerically controlled dimensional
inspection machines having both of the following characteristics:
a.1. Two or more axes; and
a.2. A one-dimensional length ``measurement uncertainty'' equal
to or less (better) than (1.25 + L/1000) m tested with a
probe of ``accuracy'' of less (better) than 0.2 m (L is the
measured length millimeters) (Ref.:VDI/VDE 2617 Parts 1 and 2);
b. Systems for simultaneously linear-angular inspection of
hemishells having both of the following characteristics:
b.1. ``Measurement uncertainty'' along any linear axis equal to
less (better) than 3.5 m per 5 mm; and
b.2. ``Angular position deviation'' equal to or less than
0.02 deg..
2B207 ``Robots'' or ``end-effectors'', other than those controlled by
2B007, specially designed to comply with national safety standards
applicable to handling high explosives (for example, meeting code
ratings for high explosives) and specially designed controllers
therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B209 Flow forming machines, or spin forming machines capable of flow
forming functions, other than those controlled by 2B009 or 2B109, or
mandrels, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: N/A.
Related Definition: This entry includes machines which have only a
single roller designed to deform metal plus two auxiliary rollers
which support the mandrel, but do not participate directly in the
deformation process.
Items: a. Machines having any of the following:
a.1. Having three or more rollers (active or guiding); and
a.2. According to the manufacturer's technical specification can
be equipped with ``numerical control'' units or a computer control.
b. Rotor-forming mandrels designed to form cylindrical rotors of
inside diameter between 75 mm (3 in.) and 400 mm (16 in.).
2B225 Remote manipulators that can be used to provide remote actions
in radiochemical separation operations and hot cells, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: N/A.
Related Definition: Remote manipulators provide translation of human
operator actions to a remote operating arm and terminal fixture.
They may be of a ``master/slave'' type or operated by joystick or
keypad.
Items: a. Having a capability of penetrating 0.6 m or more of hot
cell wall (operation); or
b. Having a capability of bridging over the top of a hot cell
wall with a thickness of 0.6 m or more (over-the-wall operation).
2B226 Vacuum or controlled environment (inert gas) induction furnaces
capable of operation above 1,123 K (850 deg. C) and having induction
coils 600 mm or less in diameter, and designed for power inputs of 5 kW
or more, and power supplies specially designed therefor with a
specified power output of 5 kW or more.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: See also Category 3B. This entry does not control
furnaces designed for the processing of semiconductor wafers.
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B227 Vacuum and controlled atmosphere metallurgical melting and
casting furnaces and specially configured computer control and
monitoring systems therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: N/A
Items: a. Arc remelt and casting furnaces with consumable electrode
capacities
[[Page 2491]]
between 1000 cm\3\ and 20,000 cm\3\, capable of operating with
melting temperatures above 1,973 K (1,700 deg. C);
b. Electron beam melting and plasma atomization and furnaces,
with a power of 50 kW or greater, capable of operating melting
temperatures above 1,473 K (1,200 deg. C).
2B228 Rotor fabrication and assembly equipment and bellows-forming
mandrels and dies, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Rotor assembly equipment for assembly of gas centrifuge
rotor sections, baffles and end caps, including associated precision
mandrels, clamps and shrink fit machines;
b. Rotor straightening equipment for alignment of gas centrifuge
rotor sections to a common axis;
Technical Note: Normally such equipment will consist of
precision measuring probes linked to a computer that subsequently
controls the action of, for example, pneumatic rams used for
aligning the rotor tube sections.
c. Bellows-forming mandrels and dies for producing single-
convolution bellows (bellows made of high-strength aluminum alloys,
maraging steel or high strength filamentary materials). The bellows
have all of the following dimensions:
c.1. 75 mm to 400 mm inside diameter;
c.2. 12.7 mm or more in length; and
c.3. Single convolution depth more than 2 mm.
2B229 Centrifugal multiplane balancing machines, fixed or portable,
horizontal or vertical, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Centrifugal balancing machines designed for balancing
flexible rotors having a length of 600 mm or more and having all of
the following characteristics:
a.1. A swing or journal diameter of 75 mm or more;
a.2. Mass capability of from 0.9 to 23 kg; and
a.3. Capable of balancing speed of revolution more than 5000
r.p.m.;
b. Centrifugal balancing machines designed for balancing hollow
cylindrical rotor components and having all of the following
characteristics:
b.1. A journal diameter of 75 mm or more;
b.2. Mass capability of from 0.9 to 23 kg;
b.3. Capable of balancing to a residual imbalance of 0.01 kg mm/
kg per plane or better; and
b.4. Belt drive type.
2B230 ``Pressure transducers'' which are capable of measuring absolute
pressure at any point in the range 0 to 13 kPa, with pressure sensing
elements made of or protected by nickel, nickel alloys with more than
60% nickel by weight, aluminum or aluminum alloys, having any of the
characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: N/A
Related Definitions: (1) Pressure transducers are devices that
convert pressure measurements into an electrical signal. (2) For the
purposes of this entry, ``accuracy'' includes non-linearity,
hysteresis and repeatability at ambient temperature.
Items: a. A full scale of less than 13 kPa and an ``accuracy'' of
better than +/-1% (full-scale); or
b. A full scale of 13 kPa or greater and an ``accuracy'' of
better than +/-130 Pa.
2B231 Vacuum pumps with an input throat size of 380 mm or greater with
a pumping speed of 15,000 liters/s or greater and capable of producing
an ultimate vacuum better than 10-4 Torr
(1.33 x 10-4 mbar).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Vacuum pumps for gaseous diffusion separation
process are subject to the export licensing authority of the Nuclear
Regulatory Commission. (See 10 CFR part 110.)
Related Definition: (1) The ultimate vacuum is determined at the
input of the pump with the input of the pump blocked off. (2) The
pumping speed is determined at the measurement point with nitrogen
gas or air.
Items: The list of items controlled is contained in the ECCN
heading.
2B232 Multistage light gas guns or other high-velocity gun systems
(coil, electromagnetic, electrothermal, or other advanced systems)
capable of accelerating projectiles to 2 km/s or greater.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: N/A.
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN
heading.
2B290 ``Numerically controlled'' machine tools not controlled by
2B001.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definition: N/A
Items: a. Turning machines or combination turning/milling machines
that are capable of machining diameters greater than 2.5 meters.
b. Reserved.
2B350 Chemical manufacturing facilities and equipment, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 3
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
[[Page 2492]]
Unit: Equipment in number.
Related Controls: The controls in this entry do not apply to
equipment that is: (a) specially designed for use in civil
applications (e.g., food processing, pulp and paper processing, or
water purification); and (b) inappropriate, by the nature of its
design, for use in storing, processing, producing or conducting and
controlling the flow of chemical weapons precursors controlled by
1C350.
Related Definitions: For purposes of this entry the term ``chemical
warfare agents'' are those agents subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. (See 22 CFR part 121)
Items: a. Reaction vessels or reactors, with or without agitators,
with total internal (geometric) volume greater than 0.1
m3 (100 liters) and less than 20 m3 (20,000
liters), where all surfaces that come in direct contact with the
chemical(s) being processed or contained are made from any of the
following materials:
a.1. Alloys with more than 25% nickel and 20% chromium by
weight;
a.2. Fluoropolymers;
a.3. Glass (including vitrified or enamelled coating or glass
lining);
a.4. Nickel or alloys with more than 40% nickel by weight;
a.5. Tantalum or tantalum alloys;
a.6. Titanium or titanium alloys; or
a.7. Zirconium or zirconium alloys;
b. Agitators for use in reaction vessels or reactors where all
surfaces of the agitator that come in direct contact with the
chemical(s) being processed or contained are made from any of the
following materials:
b.1. Alloys with more than 25% nickel and 20% chromium by
weight;
b.2. Fluoropolymers;
b.3. Glass (including vitrified or enamelled coatings or glass
lining);
b.4. Nickel or alloys with more than 40% nickel by weight;
b.5. Tantalum or tantalum alloys;
b.6. Titanium or titanium alloys; or
b.7. Zirconium or zirconium alloys;
c. Storage tanks, containers or receivers with a total internal
(geometric) volume greater than 0.1 m3 (100 liters) where
all surfaces that come in direct contact with the chemical(s) being
processed or contained are made from any of the following materials:
c.1. Alloys with more than 25% nickel and 20% chromium by
weight;
c.2. Fluoropolymers;
c.3. Glass (including vitrified or enamelled coatings or glass
lining);
c.4. Nickel or alloys with more than 40% nickel by weight;
c.5. Tantalum or tantalum alloys;
c.6. Titanium or titanium alloys; or
c.7. Zirconium or zirconium alloys;
d. Heat exchangers or condensers with a heat transfer surface
area of less than 20 m2, where all surfaces that comes in
direct contact with the chemical(s) being processed are made from
any of the following materials:
d.1. Alloys with more than 25% nickel and 20% chromium by
weight;
d.2. Fluoropolymers;
d.3. Glass (including vitrified or enamelled coatings or glass
lining);
d.4. Graphite;
d.5. Nickel or alloys with more than 40% nickel by weight;
d.6. Tantalum or tantalum alloys;
d.7. Titanium or titanium alloys; or
d.8. Zirconium or zirconium alloys;
e. Distillation or absorption columns of internal diameter
greater than 0.1 m, where all surfaces that come in direct contact
with the chemical(s) being processed are made from any of the
following materials:
e.1. Alloys with more than 25% nickel and 20% chromium by
weight;
e.2. Fluoropolymers;
e.3. Glass (including vitrified or enamelled coatings or glass
lining);
e.4. Graphite;
e.5. Nickel or alloys with more than 40% nickel by weight;
e.6. Tantalum or tantalum alloys;
e.7. Titanium or titanium alloys; or
e.8. Zirconium or zirconium alloys;
f. Remotely operated filling equipment in which all surfaces
that come in direct contact with the chemical(s) being processed are
made from any of the following materials:
f.1. Alloys with more than 25% nickels and 20% chromium by
weight, or
f.2. Nickel or alloys with more than 40% nickel by weight;
g. Multiple seal valves incorporating a leak detection port,
bellows-seal valves, non-return (check) valves or diaphragm valves,
in which all surfaces that come in to direct contact with the
chemical(s) being processed or contained are made from any of the
following materials:
g.1. Alloys with more than 25% nickel and 20% chromium by
weight;
g.2. Fluoropolymers;
g.3. Glass (including vitrified or enamelled coatings or glass
lining);
g.4. Nickel or alloys with more than 40% nickel by weight;
g.5. Tantalum or tantalum alloys;
g.6. Titanium or titanium alloys; or
g.7. Zirconium or zirconium alloys;
h. Multi-walled piping incorporating a leak detection port, in
which all surfaces that come in direct contact with the chemical(s)
being processed or contained are made from any of the following
materials:
h.1. Alloys with more than 25% nickel and 20% chromium by
weight;
h.2. Fluoropolymers;
h.3. Glass (including vitrified or enamelled coatings or glass
lining);
h.4. Graphite;
h.5. Nickel or alloys with more than 40% nickel by weight;
h.6. Tantalum or tantalum alloys;
h.7. Titanium or titanium alloys; or
h.8. Zirconium or zirconium alloys;
i. Multiple-seal, canned drive, magnetic drive, bellows or
diaphragm pumps, with manufacturer's specified maximum flow-rate
greater than 0.6 m3/hour, or vacuum pumps with
manufacturer's specified maximum flow-rate greater than 5
m3/hour (under standard temperature (273 K (0 deg.C)) and
pressure (101.3 kPa) conditions), in which all surfaces that come
into direct contact with the chemical(s) being processed are made
from any of the following materials:
i.1. Alloys with more than 25% nickel and 20% chromium by
weight;
i.2. Ceramics;
i.3. Ferrosilicon;
i.4. Fluoropolymers;
i.5. Glass (including vitrified or enamelled coatings or glass
lining);
i.6. Graphite;
i.7. Nickel or alloys with more than 40% nickel by weight;
i.8. Tantalum or tantalum alloys;
i.9. Titanium or titanium alloys, or
i.10. Zirconium or zirconium alloys;
j. Incinerators designed to destroy chemical warfare agents, or
chemical weapons precursors controlled by 1C350, having specially
designed waste supply systems, special handling facilities and an
average combustion chamber temperature greater than 1000 deg.C in
which all surfaces in the waste supply system that come into direct
contact with the waste products are made from or lined with any of
the following materials:
j.1. Alloys with more than 25% nickel and 20% chromium by
weight;
j.2. Ceramics; or
j.3. Nickel or alloys with more than 40% nickel by weight.
2B351 Toxic gas monitoring systems and dedicated detectors therefor.
License Requirements
Reason for Control: CB, AT.
Control(s) Country Chart
CB applies to entire entry............. CB Column 3
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Designed for continuous operation and usable for the
detection of chemical warfare agents, chemicals controlled by 1C350
or organic compounds containing phosphorus, sulphur, fluorine or
chlorine, at concentrations of less than 0.3 mg/m3; or
b. Designed for the detection of cholinesterase-inhibiting
activity.
2B352 Equipment capable of use in handling biological materials, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 3
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: For purposes of this entry, isolators include
flexible isolators,
[[Page 2493]]
dry boxes, anaerobic chambers and glove boxes.
Items: a. Complete containment facilities at P3 or P4 containment
level;
Technical Note: P3 or P4 (BL3, BL4, L3, L4) containment levels
are as specified in the WHO Laboratory Biosafety Manual (Geneva,
1983).
b. Fermenters capable of cultivation of pathogenic
microorganisms, viruses, or for toxin production, without the
propagation of aerosols, having a capacity equal to or greater than
100 liters.
Technical Note: Fermenters include bioreactors, chemostats, and
continuous-flow systems.
c. Centrifugal separators capable of the continuous separation
of pathogenic microorganisms, without the propagation of aerosols,
and having all of the following characteristics:
c.1. A flow rate greater than 100 liters per hour;
c.2. Components of polished stainless steel or titanium;
c.3. Double or multiple sealing joints within the steam
containment area; and
c.4. Capable of in situ steam sterilization in a closed state.
Technical Note: Centrifugal separators include decanters.
d. Cross-flow filtration equipment capable of continuous
separation of pathogenic microorganisms, viruses, toxins, and cell
cultures without the propagation of aerosols, having all of the
following characteristics:
d.1. Equal to or greater than 5 square meters;
d.2. Capable of in situ sterilization.
e. Steam sterilizable freeze-drying equipment with a condenser
capacity greater than 50 kgs of ice in 24 hours but less than 1,000
kgs;
f. Equipment that incorporates or is contained in P3 or P4
containment housing, as follows:
f.1. Independently ventilated protective full or half suits;
f.2. Class III biological safety cabinets or isolators with
similar performance standards;
g. Chambers designed for aerosol challenge testing with
microorganisms, viruses, or toxins and having a capacity of 1
m3 or greater.
2B991 Numerical control units for machine tools and ``numerically
controlled'' machine tools, n.e.s.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Numerical control'' units for machine tools:
a.1. Having four interpolating axes that can be coordinated
simultaneously for ``contouring control''; or
a.2. Having two or more axes that can be coordinated
simultaneously for ``contouring control'' and a minimum programmable
increment better (less) than 0.001 mm;
a.3. ``Numerical control'' units for machine tools having two,
three or four interpolating axes that can be coordinated
simultaneously for ``contouring control'', and capable of receiving
directly (on-line) and processing computer-aided-design (CAD) data
for internal preparation of machine instructions; or
b. ``Motion control boards'' specially designed for machine
tools and having any of the following characteristics:
b.1. Interpolation in more than four axes;
b.2. Capable of ``real time processing'' of data to modify tool
path, feed rate and spindle data, during the machining operation, by
any of the following:
b.2.a. Automatic calculation and modification of part program
data for machining in two or more axes by means of measuring cycles
and access to source data; or
b.2.b. ``Adaptive control'' with more than one physical variable
measured and processed by means of a computing model (strategy) to
change one or more machining instructions to optimize the process.
b.3. Capable of receiving and processing CAD data for internal
preparation of machine instructions; or
c. ``Numerically controlled'' machine tools that, according to
the manufacturer's technical specifications, can be equipped with
electronic devices for simultaneous ``contouring control'' in two or
more axes and that have both of the following characteristics:
c.1. Two or more axes that can be coordinated simultaneously for
contouring control; and
c.2. ``Positioning accuracies'', with all compensations
available:
c.2.a. Better than 0.020 mm along any linear axis (overall
positioning) for grinding machines;
c.2.b. Better than 0.020 mm along any linear axis (overall
positioning) for milling machines; or
c.2.c. Better than 0.020 mm along any linear axis (overall
positioning) for turning machines; or
d. Machine tools, as follows, for removing or cutting metals,
ceramics or composites, that, according to the manufacturer's
technical specifications, can be equipped with electronic devices
for simultaneous ``contouring control'' in two or more axes:
d.1. Machine tools for turning, grinding, milling or any
combination thereof, having two or more axes that can be coordinated
simultaneously for ``contouring control'' and having any of the
following characteristics:
d.1.a. One or more contouring ``tilting spindles'';
Note: 2B991.d.1.a. applies to machine tools for grinding or
milling only.
d.1.b. ``Camming'' (axial displacement) in one revolution of the
spindle less (better) than 0.0006 mm total indicator reading (TIR);
Note: 2B991.d.1.b. applies to machine tools for turning only.
d.1.c. ``Run out'' (out-of-true running) in one revolution of
the spindle less (better) than 0.0006 mm total indicator reading
(TIR);
d.1.d. The ``positioning accuracies'', with all compensations
available, are less (better) than: 0.001 deg. on any rotary axis;
d.2. Electrical discharge machines (EDM) of the wire feed type
that have five or more axes that can be coordinated simultaneously
for ``contouring control''.
2B992 Non-``numerically controlled'' machine tools for generating
optical quality surfaces, and specially designed components therefor.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Turning machines using a single point cutting tool and
having all of the following characteristics:
a.1. Slide positioning accuracy less (better) than 0.0005 mm per
300 mm of travel;
a.2. Bidirectional slide positioning repeatability less (better)
than 0.00025 mm per 300 mm of travel;
a.3. Spindle ``run out'' and ``camming'' less (better) than
0.0004 mm total indicator reading (TIR);
a.4. Angular deviation of the slide movement (yaw, pitch and
roll) less (better) than 2 seconds of arc, TIR, over full travel;
and
a.5. Slide perpendicularity less (better) than 0.001 mm per 300
mm of travel;
Technical Note: The bidirectional slide positioning
repeatability (R) of an axis is the maximum value of the
repeatability of positioning at any position along or around the
axis determined using the procedure and under the conditions
specified in part 2.11 of ISO 230/2: 1988.
b. Fly cutting machines having all of the following
characteristics:
b.1. Spindle ``run out'' and ``camming'' less (better) than
0.0004 mm TIR; and
b.2. Angular deviation of slide movement (yaw, pitch and roll)
less (better) than 2 seconds of arc, TIR, over full travel.
2B993 Gearmaking and/or finishing machinery not controlled by 2B003
capable of producing gears to a quality level of better than AGMA 11.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
[[Page 2494]]
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B996 Dimensional inspection or measuring systems or equipment not
controlled by 2B006.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Manual dimensional inspection machines, having both of the
following characteristics:
a.1. Two or more axes; and
a.2. A measurement uncertainty equal to or less (better) than (3
+ L/300) micrometer in any axes (L measured length in mm);
b. Systems for simultaneous linear-angular inspection of
hemishells, having both of the following characteristics:
b.1. ``Measurement uncertainty'' along any linear axis equal to
or less (better) than 3.5 micrometer per 5 mm; and
b.2. ``Angular position deviation'' equal to or less (better)
than 0.02 deg.;
2B997 ``Robots'' not controlled by 2B007 or 2B207 that are capable of
employing feedback information in real-time processing from one or more
sensors to generate or modify ``programs'' or to generate or modify
numerical program data.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B998 Assemblies, units or inserts specially designed for machine
tools controlled by 2B991, or for equipment controlled by 2B993, 2B996
or 2B997.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control measuring
interferometer systems, without closed or open loop feedback,
containing a laser to measure slide movement errors of machine-
tools, dimensional inspection machines or similar equipment.
Related Definition: N/A
Items: a. Spindle assemblies, consisting of spindles and bearings as
a minimal assembly, with radial (``run out'') or axial (``camming'')
axis motion in one revolution of the spindle less (better) than
0.0006 mm total indicator reading (TIR);
b. Single point diamond cutting tool inserts, having all of the
following characteristics:
b.1. Flawless and chip-free cutting edge when magnified 400
times in any direction;
b.2. Cutting radius from 0.1 to 5 mm inclusive; and
b.3. Cutting radius out-of-roundness less (better) than 0.002 mm
TIR.
c. Specially designed printed circuit boards with mounted
components capable of upgrading, according to the manufacturer's
specifications, ``numerical control'' units, machine tools or
feedback devices to or above the levels specified in ECCNs 2B991,
2B993, 2B996, 2B997, or 2B998.
C. Materials [Reserved]
D. Software
2D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
2A001 or 2B001 to 2B009.
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for MT Column 1
equipment controlled by 2B004 and
2B009 for MT reasons.
NP applies to specially designed or NP Column 1
modified ``software'' for equipment
controlled by 2B001 for NP reasons,
and to specially designed ``software''
for equipment controlled by 2B004,
2B006, 2B007, or 2B009 for NP reasons.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: See also 2D101 and 2D201
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D002 ``Software'' for electronic devices, even when residing in an
electronic device or system, enabling such devices or systems to
function as a ``numerical control'' unit, capable of any of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
NP applies to entire entry, except NP Column 1
2D002.b.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: (1) See also 2D202. (2) This entry does not
control ``software'' specially designed or modified for the
operation of machine tools not controlled by Category 2.
Related Definitions: N/A
Items: a. Coordinating simultaneously more than 4 axes for
``contouring control''; or
b. ``Real time processing'' of data to modify tool path, feed rate
and spindle data, during the machining operation, by any of the
following:
b.1. Automatic calculation and modification of part program data for
machining in two or more axes by means of measuring cycles and
access to source data; or
b.2. ``Adaptive control'' with more than one physical variable
measured and processed by means of a computing model (strategy) to
change one or more machining instructions to optimize the process.
2D018 ``Software'' for the ``development'', ``production'' or ``use''
of equipment controlled by 2B018.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for MT Column 1
equipment controlled by 2B018 for MT
reasons.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
[[Page 2495]]
2D101 ``Software'' specially designed for the ``use'' of equipment
controlled by 2B104, 2B109 or 2B116.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 9D004
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D201 ``Software'' specially designed for the ``use'' of equipment
controlled by 2B204, 2B206, 2B207, 2B209, 2B227 or 2B229.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D202 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
2B201.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D290 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of items controlled by
2A290, 2A291, 2A292, 2A293, or 2B290.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D991 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of equipment controlled by 2B991, 2B993, or
2B996, 2B997, and 2B998.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D992. Specific ``software'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Software'' to provide ``adaptive control'' and having
both of the following characteristics:
a.1. For ``flexible manufacturing units'' (FMUs) which consist
at least of equipment described in b.1 and b.2 of the definition of
``flexible manufacturing unit'' contained in part 772 of the EAR;
and
a.2. Capable of generating or modifying, in ``real time
processing'', programs or data by using the signals obtained
simultaneously by means of at least two detection techniques, such
as:
a.2.a. Machine vision (optical ranging);
a.2.b. Infrared imaging;
a.2.c. Acoustical imaging (acoustical ranging);
a.2.d. Tactile measurement;
a.2.e. Inertial positioning;
a.2.f. Force measurement; and
a.2.g. Torque measurement.
Note: 2D992.a does not control ``software'' which only provides
rescheduling of functionally identical equipment within ``flexible
manufacturing units'' using pre-stored part programs and a pre-
stored strategy for the distribution of the part programs.
b. Reserved.
2D994 ``Software'' specially designed for the ``development'' or
``production'' of portable electric generators controlled by 2A994.
License Requirements
Reason for Control: AT
Control(s)
AT applies to entire entry. A license is required for items
controlled by this entry to Cuba, Iran, Libya, and North Korea. The
Commerce Country Chart is not designed to determine licensing
requirements for this entry. See part 746 of the EAR for additional
information.
Note: Exports from the U.S. and transhipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See Sec. 742.8 and Sec. 746.7 for additional information
on this requirement.)
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
2E001 ``Technology'' according to the General Technology Note for the
``development'' of equipment or ``software'' controlled by 2A (except
2A991, 2A993, or 2A994), 2B (except 2B991, 2B993, 2B996, 2B997, or
2B998), or 2D (except 2D991, 2D992, or 2D994).
License Requirements
Reason for Control: NS, MT, NP, CB, AT
Control(s) Country Chart
NS applies to ``technology'' for items NS Column 1
controlled by 2A001, 2B001 to 2B009,
2D001 or 2D002
MT applies to ``technology'' for items MT Column 1
controlled by 2B004, 2B009, 2B018,
2B104, 2B109, 2B116, 2D001 or 2D101
for MT reasons
NP applies to ``technology'' for items NP Column 1
controlled by 2B001, 2B004, 2B006,
2B007 2B009, 2B104, 2B109, 2B204
2B206, 2B207, 2B209, 2B225, 2B226,
2B228, 2B229, 2B231, 2D001, 2D002, or
2D201 for NP reasons
NP applies to ``technology'' for NP Column 2
equipment controlled by 2A290
[[Page 2496]]
CB applies to ``technology'' for CB Column 3
equipment controlled by 2B350 to 2B352
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: N/A
Related Controls: See also 2E101, 2E201, and 2E301
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2E002 ``Technology'' according to the General Technology Note for the
``production'' of equipment controlled by 2A (except 2A991, 2A993, or
2A994), or 2B (except 2B991, 2B993, 2B996, 2B997, or 2B998).
License Requirements
Reason for Control: NS, MT, NP, CB, AT
Control(s) Country Chart
NS applies to ``technology'' for NS Column 1
equipment controlled by 2A001, 2B001
to 2B009
MT applies to ``technology'' for MT Column 1
equipment controlled by 2B004, 2B009,
2B018, 2B104, 2B109, and 2B116 for MT
reasons
NP applies to ``technology'' for NP Column 1
equipment controlled by 2B001, 2B004,
2B006, 2B007, 2B009, 2B104, 2B109,
2B204, 2B206, 2B207, 2B209, 2B225,
2B226, 2B228, 2B229, or 2B231 for NP
reasons
NP applies to ``technology'' for NP Column 2
equipment controlled by 2A290
CB applies to ``technology'' for CB Column 3
equipment controlled by 2B350 to 2B352
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT
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.
2E003 Other ``technology'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes, except 2E003.a, .b, .e and .f
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'' of interactive
graphics as an integrated part in ``numerical control'' units for
preparation or modification of part programs;
b. ``Technology'' for metal-working manufacturing processes, as
follows:
b.1. ``Technology'' for the design of tools, dies or fixtures
specially designed for any of the following processes:
b.1.a. ``Superplastic forming'';
b.1.b. ``Diffusion bonding''; or
b.1.c. ``Direct-acting hydraulic pressing'';
b.2. Technical data consisting of process methods or parameters
as listed below used to control:
b.2.a. ``Superplastic forming'' of aluminum alloys, titanium
alloys or ``superalloys'':
b.2.a.1. Surface preparation;
b.2.a.2. Strain rate;
b.2.a.3. Temperature;
b.2.a.4. Pressure;
b.2.b. ``Diffusion bonding'' of ``superalloys'' or titanium
alloys:
b.2.b.1. Surface preparation;
b.2.b.2. Temperature;
b.2.b.3. Pressure;
b.2.c. ``Direct-acting hydraulic pressing'' of aluminum alloys
or titanium alloys:
b.2.c.1. Pressure;
b.2.c.2. Cycle time;
b.2.d. ``Hot isostatic densification'' of titanium alloys,
aluminum alloys or ``superalloys'':
b.2.d.1. Temperature;
b.2.d.2. Pressure;
b.2.d.3. Cycle time;
c. ``Technology'' for the ``development'' or ``production'' of
hydraulic stretch-forming machines and dies therefor, for the
manufacture of airframe structures;
d. ``Technology'' for the ``development'' of generators of
machine tool instructions (e.g., part programs) from design data
residing inside ``numerical control'' units;
e. ``Technology for the development'' of integration
``software'' for incorporation of expert systems for advanced
decision support of shop floor operations into ``numerical control''
units;
f. ``Technology'' for the application of inorganic overlay
coatings or inorganic surface modification coatings (specified in
column 3 of the following table) to non-electronic substrates
(specified in column 2 of the following table), by processes
specified in column 1 of the following table and defined in the
Technical Note.
Category 2E--Materials Processing Table; Deposition Techniques
[The numbers in parentheses refer to the Notes following this Table]
------------------------------------------------------------------------
1. Coating Process (1) 2. Substrate 3. Resultant Coating
------------------------------------------------------------------------
A. Chemical Vapor Deposition ``Superalloys''..... Aluminides for
(CVD). internal passages
Ceramics and Low- Silicides
expansion glasses Carbides
(14). Dielectric layers
(15)
Carbon-carbon, Silicides
Ceramic, and Metal Carbides
``matrix'' Refractory metals
``composites''. Mixtures thereof (4)
Dielectric layers
(15)
Aluminides
Alloyed aluminides
(2)
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide. Mixtures thereof (4)
Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
[[Page 2497]]
Sensor window Dielectric layers
materials (9). (15)
B. Thermal-Evaporation
Physical Vapor Deposition
(TE-PVD)
1. Physical Vapor ``Superalloys''..... Alloyed silicides
Deposition (PVD): Alloyed aluminides
Electron-Beam (EB-PVD). (2)
MCrAlX (5)
Modified zirconia
(12)
Silicides
Aluminides
Mixtures thereof (4)
Ceramics and Low- Dielectric layers
expansion glasses (15)
(14).
Corrosion resistant MCrAlX (5)
steel (7). Modified zirconia
(12)
Mixtures thereof (4)
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``composites''. Mixtures thereof (4)
Dielectric layers
(15)
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide. Mixtures thereof (4)
Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Borides
Sensor window Dielectric layers
materials (9). (15)
Titanium alloys (13) Borides
Nitrides
2. Ion assisted Ceramics and Low- Dielectric layers
resistive heating expansion glasses (15)
Physical Vapor (14).
Deposition (Ion
Plating).
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16) (15)
Silicon carbide.
Molybdenum and Dielectric Layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric Layers
materials (9). (15)
3. Physical Vapor Ceramics and Low- Silicides
Deposition: ``laser'' expansion glasses Dielectric layers
evaporation. (14). (15)
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16), (15)
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
4. Physical Vapor ``Superalloys''..... Alloyed silicides
Deposition: cathodic Alloyed
arc discharge. Aluminides (2)
MCrAlX (5)
Polymers (11) and Borides
Organic ``matrix'' Carbides
``composites''. Nitrides
C. Pack cementation (see A Carbon-carbon, Silicides
above for out-of-pack Ceramic and Metal Carbides
cementation) (10). ``matrix'' Mixtures thereof (4)
``composites''.
Titanium alloys (13) Silicides
Aluminides
Alloyed aluminides
(2)
Refractory metals Silicides
and alloys (8). Oxides
[[Page 2498]]
D. Plasma spraying.......... ``Superalloys''..... MCrAlX (5)
Modified zirconia
(12)
Mixtures Thereof (4)
Abradable
Nickel-Graphite
Abradable
Ni-Cr-Al-
Bentonite
Abradable
Al-Si-Polyester
Alloyed aluminides
(2)
Aluminum alloys (6). MCrAlX (5)
Modified zirconia
(12)
Silicides
Mixtures thereof (4)
Refractory metals Aluminides
and alloys (8). Silicides
Carbides
Corrosion resistant Modified zirconia
steel (7). (12)
Mixtures thereof (4)
Titanium alloys (13) Carbides
Aluminides
Silicides
Alloyed aluminides
(2)
Abradable
Nickel-Graphite
Abradable
Ni-Cr-Al-
Bentonite
Abradable
Al-Si-Polyester
E. Slurry Deposition........ Refractory metals Fused silicides
alloys (8). Fused aluminides
except for
resistance heating
elements
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Mixtures thereof (4)
``composites''.
F. Sputter Deposition....... ``Superalloys''..... Alloyed silicides
Alloyed aluminides
(2)
Noble metal modified
aluminides (3)
MCrAlX (5)
Modified zirconia
(12)
Platinum
Mixtures thereof (4)
Ceramics and Low- Silicides
expansion glasses Platinum
(14). Mixtures thereof (4)
Dielectric layers
(15)
Titanium alloys (13) Borides
Nitrides
Oxides
Silicides
Aluminides
Alloyed aluminides
(2)
Carbides
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``Composites''. Mixtures thereof (4)
Dielectric layers
(15)
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide. Mixtures thereof (4)
Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Borides
Beryllium alloys. Dielectric layers
(15)
Sensor window Dielectric layers
materials (9). (15)
[[Page 2499]]
Refractory metals Aluminides
and alloys (8). Silicides
Oxides
Carbides
G. Ion Implantation......... High temperature Additions of
bearing steels. Chromium, Tantalum,
or Niobium
(Columbium)
Titanium alloys (13) Borides
Nitrides
Beryllium and Borides
Beryllium alloys.
Cemented tungsten Carbides
carbide (16). Nitrides
------------------------------------------------------------------------
Notes to Table on Deposition Techniques
1. The term `coating process' includes coating repair and
refurbishing as well as original coating.
2. The term `alloyed aluminide coating' includes single or
multiple-step coatings in which an element or elements are deposited
prior to or during application of the aluminide coating, even if
these elements are deposited by another coating process. It does
not, however, include the multiple use of single-step pack
cementation processes to achieve alloyed aluminides.
3. The term `noble metal modified aluminide' coating includes
multiple-step coatings in which the noble metal or noble metals are
laid down by some other coating process prior to application of the
aluminide coating.
4. Mixtures consist of infiltrated material, graded
compositions, co-deposits and multilayer deposits and are obtained
by one or more of the coating processes specified in the Table.
5. MCrAlX refers to a coating alloy where M equals cobalt, iron,
nickel or combinations thereof and X equals hafnium, yttrium,
silicon, tantalum in any amount or other intentional additions over
0.01 weight percent in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22 weight percent of
chromium, less than 7 weight percent of aluminum and less than 2
weight percent of yttrium;
b. CoCrAlY coatings which contain 22 to 24 weight percent of
chromium, 10 to 12 weight percent of aluminum and 0.5 to 0.7 weight
percent of yttrium; or
c. NiCrAlY coatings which contain 21 to 23 weight percent of
chromium, 10 to 12 weight percent of aluminum and 0.9 to 1.1 weight
percent of yttrium.
6. The term `aluminum alloys' refers to alloys having an
ultimate tensile strength of 190 MPa or more measured at 293 K
(20 deg. C).
7. The term `corrosion resistant steel' refers to AISI (American
Iron and Steel Institute) 300 series or equivalent national standard
steels.
8. Refractory metals consist of the following metals and their
alloys: niobium (columbium), molybdenum, tungsten and tantalum.
9. Sensor window materials, as follows: alumina, silicon,
germanium, zinc sulphide, zinc selenide, gallium arsenide and the
following metal halides: potassium iodide, potassium fluoride, or
sensor window materials of more than 40 mm diameter for thallium
bromide and thallium chlorobromide.
10. ``Technology'' for single-step pack cementation of solid
airfoils is not controlled by this Category.
11. Polymers, as follows: polyimide, polyester, polysulfide,
polycarbonates and polyurethanes.
12. Modified zirconia refers to additions of other metal oxides,
(e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) to
zirconia in order to stabilize certain crystallographic phases and
phase compositions. Thermal barrier coatings made of zirconia,
modified with calcia or magnesia by mixing or fusion, are not
controlled.
13. Titanium alloys refers to aerospace alloys having an
ultimate tensile strength of 900 MPa or more measured at 293 K
(20 deg. C).
14. Low-expansion glasses refers to glasses which have a
coefficient of thermal expansion of 1 x 10 -7 K
-1 or less measured at 293 K (20 deg. C).
15. Dielectric layers are coatings constructed of multi-layers
of insulator materials in which the interference properties of a
design composed of materials of various refractive indices are used
to reflect, transmit or absorb various wavelength bands. Dielectric
layers refers to more than four dielectric layers or dielectric/
metal ``composite'' layers.
16. Cemented tungsten carbide does not include cutting and
forming tool materials consisting of tungsten carbide/(cobalt,
nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-
chromium and chromium carbide/nickel.
Technical Note to Table on Deposition Techniques
Processes specified in Column 1 of the Table are defined as
follows:
a. Chemical Vapor Deposition (CVD) is an overlay coating or
surface modification coating process wherein a metal, alloy,
``composite'', dielectric or ceramic is deposited upon a heated
substrate. Gaseous reactants are decomposed or combined in the
vicinity of a substrate resulting in the deposition of the desired
elemental, alloy or compound material on the substrate. Energy for
this decomposition or chemical reaction process may be provided by
the heat of the substrate, a glow discharge plasma, or ``laser''
irradiation.
Note 1: CVD includes the following processes: directed gas flow
out-of-pack deposition, pulsating CVD, controlled nucleation thermal
decomposition (CNTD), plasma enhanced or plasma assisted CVD
processes.
Note 2: Pack denotes a substrate immersed in a powder mixture.
Note 3: The gaseous reactants used in the out-of-pack process
are produced using the same basic reactions and parameters as the
pack cementation process, except that the substrate to be coated is
not in contact with the powder mixture.
b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an
overlay coating process conducted in a vacuum with a pressure less
than 0.1 Pa wherein a source of thermal energy is used to vaporize
the coating material. This process results in the condensation, or
deposition, of the evaporated species onto appropriately positioned
substrates. The addition of gases to the vacuum chamber during the
coating process to synthesize compound coatings is an ordinary
modification of the process. The use of ion or electron beams, or
plasma, to activate or assist the coating's deposition is also a
common modification in this technique. The use of monitors to
provide in-process measurement of optical characteristics and
thickness of coatings can be a feature of these processes. Specific
TE-PVD processes are as follows:
1. Electron Beam PVD uses an electron beam to heat and evaporate
the material which forms the coating;
2. Resistive Heating PVD employs electrically resistive heating
sources capable of producing a controlled and uniform flux of
evaporated coating species;
3. ``Laser'' Evaporation uses either pulsed or continuous wave
``laser'' beams to heat the material which forms the coating;
4. Cathodic Arc Deposition employs a consumable cathode of the
material which forms the coating and has an arc discharge
established on the surface by a momentary contact of a ground
trigger. Controlled motion of arcing erodes the cathode surface
creating a highly ionized plasma. The anode can be either a cone
attached to the periphery of the cathode, through an insulator, or
the chamber. Substrate biasing is used for non line-of-sight
deposition.
[[Page 2500]]
Note: This definition does not include random cathodic arc
deposition with non-biased substrates.
c. Ion Plating is a special modification of a general TE-PVD
process in which a plasma or an ion source is used to ionize the
species to be deposited, and a negative bias is applied to the
substrate in order to facilitate the extraction of the species to be
deposited from the plasma. The introduction of reactive species,
evaporation of solids within the process chamber, and the use of
monitors to provide in-process measurement of optical
characteristics and thicknesses of coatings are ordinary
modifications of the process.
d. Pack Cementation is a surface modification coating or overlay
coating process wherein a substrate is immersed in a powder mixture
(a pack), that consists of:
1. The metallic powders that are to be deposited (usually
aluminum, chromium, silicon or combinations thereof);
2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina. The substrate and
powder mixture is contained within a retort which is heated to
between 1,030 K (757 deg. C) to 1,375 K (1,102 deg. C) for
sufficient time to deposit the coating.
e. Plasma Spraying is an overlay coating process wherein a gun
(spray torch) which produces and controls a plasma accepts powder or
wire coating materials, melts them and propels them towards a
substrate, whereon an integrally bonded coating is formed. Plasma
spraying constitutes either low pressure plasma spraying or high
velocity plasma spraying carried out underwater.
Note 1: Low pressure means less than ambient atmospheric
pressure.
Note 2: High velocity refers to nozzle-exit gas velocity
exceeding 750 m/s calculated at 293 K (20 deg. C) at 0.1 MPa.
f. Slurry Deposition is a surface modification coating or
overlay coating process wherein a metallic or ceramic powder with an
organic binder is suspended in a liquid and is applied to a
substrate by either spraying, dipping or painting, subsequent air or
oven drying, and heat treatment to obtain the desired coating.
g. Sputter Deposition is an overlay coating process based on a
momentum transfer phenomenon, wherein positive ions are accelerated
by an electric field towards the surface of a target (coating
material). The kinetic energy of the impacting ions is sufficient to
cause target surface atoms to be released and deposited on an
appropriately positioned substrate.
Note 1: The Table refers only to triode, magnetron or reactive
sputter deposition which is used to increase adhesion of the coating
and rate of deposition and to radio frequency (RF) augmented sputter
deposition used to permit vaporization of non-metallic coating
materials.
Note 2: Low-energy ion beams (less than 5 keV) can be used to
activate the deposition.
h. Ion Implantation is a surface modification coating process in
which the element to be alloyed is ionized, accelerated through a
potential gradient and implanted into the surface region of the
substrate. This includes processes in which ion implantation is
performed simultaneously with electron beam physical vapor
deposition or sputter deposition.
Accompanying Technical Information to Table on Deposition Techniques
1. ``Technology'' for pretreatments of the substrates listed in
the Table, as follows:
a. Chemical stripping and cleaning bath cycle parameters, as
follows:
1. Bath composition;
a. For the removal of old or defective coating corrosion product
or foreign deposits;
b. For preparation of virgin substrates;
2. Time in bath;
3. Temperature of bath;
4. Number and sequences of wash cycles;
b. Visual and macroscopic criteria for acceptance of the cleaned
part;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Temperature for heat treatment;
3. Time of heat treatment;
d. Substrate surface preparation parameters, as follows:
1. Grit blasting parameters, as follows:
a. Grit composition;
b. Grit size and shape;
c. Grit velocity;
2. Time and sequence of cleaning cycle after grit blast;
3. Surface finish parameters;
e. Masking technique parameters, as follows:
1. Material of mask;
2. Location of mask;
2. ``Technology'' for in situ quality assurance techniques for
evaluation of the coating processes listed in the Table, as follows:
a. Atmosphere parameters, as follows:
1. Composition of the atmosphere;
2. Pressure of the atmosphere;
b. Time parameters;
c. Temperature parameters;
d. Thickness parameters;
e. Index of refraction parameters;
3. ``Technology'' for post deposition treatments of the coated
substrates listed in the Table, as follows:
a. Shot peening parameters, as follows:
1. Shot composition;
2. Shot size;
3. Shot velocity;
b. Post shot peening cleaning parameters;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Time-temperature cycles;
d. Post heat treatment visual and macroscopic criteria for
acceptance of the coated substrates;
4. ``Technology'' for quality assurance techniques for the
evaluation of the coated substrates listed in the Table, as follows:
a. Statistical sampling criteria;
b. Microscopic criteria for:
1. Magnification;
2. Coating thickness, uniformity;
3. Coating integrity;
4. Coating composition;
5. Coating and substrates bonding;
6. Microstructural uniformity.
c. Criteria for optical properties assessment:
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. ``Technology'' and parameters related to specific coating and
surface modification processes listed in the Table, as follows:
a. For Chemical Vapor Deposition:
1. Coating source composition and formulation;
2. Carrier gas composition;
3. Substrate temperature;
4. Time-temperature-pressure cycles;
5. Gas control and part manipulation;
b. For Thermal Evaporation--Physical Vapor Deposition:
1. Ingot or coating material source composition;
2. Substrate temperature;
3. Reactive gas composition;
4. Ingot feed rate or material vaporization rate;
5. Time-temperature-pressure cycles;
6. Beam and part manipulation;
7. ``Laser'' parameters, as follows:
a. Wave length;
b. Power density;
c. Pulse length;
d. Repetition ratio;
e. Source;
f. Substrate orientation;
c. For Pack Cementation:
1. Pack composition and formulation;
2. Carrier gas composition;
3. Time-temperature-pressure cycles;
d. For Plasma Spraying:
1. Powder composition, preparation and size distribution;
2. Feed gas composition and parameters;
3. Substrate temperature;
4. Gun power parameters;
5. Spray distance;
6. Spray angle;
7. Cover gas composition, pressure and flow rates;
8. Gun control and part manipulation;
e. For Sputter Deposition:
1. Target composition and fabrication;
2. Geometrical positioning of part and target;
3. Reactive gas composition;
4. Electrical bias;
5. Time-temperature-pressure cycles;
6. Triode power;
7. Part manipulation;
f. For Ion Implantation:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate
parameters;
4. Time-temperature-pressure cycles.
g. For Ion Plating:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate
parameters;
4. Time-temperature-pressure cycles;
5. Coating material feed rate and vaporization rate;
6. Substrate temperature;
[[Page 2501]]
7. Substrate bias parameters.
2E018 ``Technology'' for the ``use'' of equipment controlled by 2B018.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``technology'' for MT Column 1
equipment controlled by 2B018 for MT
reasons.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2E101 ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 2B004, 2B009, 2B104,
2B109, 2B116, or 2D101.
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to 2B004, 2B104, 2B109, and NP Column 1
2B116.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: This entry controls only ``technology'' for 2B009
for spin forming machines combining the functions of spin forming
and flow forming, and flow forming machines.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2E201 ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 2A225, 2A226, 2B001,
2B006, 2B007.b, 2B007.c, 2B008, 2B009, 2B201, 2B204, 2B207, 2B209,
2B225 to 2B232, 2D201 or 2D202.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
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.
2E290 ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 2A290, 2A291, 2A292, 2A293, and
2B290.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
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.
2E301 ``Technology'' according to the ``General Technology Note'' for
``use'' of items controlled by 2B350, 2B351 and 2B352.
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 3
AT applies to entire entry............. AT Column1
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 lists of items controlled are contained in the ECCN
headings.
2E991 ``Technology'' for the ``use'' of equipment controlled by 2B991,
2B993, 2B996, or 2B997.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
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.
2E994 ``Technology'' for the ``use'' of portable electric generators
controlled by 2A994.
License Requirements
Reason for Control: AT
Control(s): AT applies to entire entry. A license is required for
items controlled by this entry to Cuba, Iran, Libya, and North
Korea. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information
Note: Exports from the U.S. and transhipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See Sec. 742.8 and Sec. 746.7 of the EAR for additional
information on this requirement.)
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.
EAR99 Items subject to the EAR that are not elsewhere controlled by
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Category 3--Electronics
A. Systems, Equipment and Components
Note 1: The control status of equipment and components described
in 3A001 or 3A002, other than those described in 3A001.a.3 to
3A001.a.10 or 3A001.a.12, which are specially designed for or which
have the same functional characteristics as other equipment is
determined by the control status of the other equipment.
Note 2: The control status of integrated circuits described in
3A001.a.3 to 3A001.a.9 or 3A001.a.12 that are unalterably programmed
or designed for a specific function for other equipment is
determined by the control status of the other equipment.
N.B.: When the manufacturer or applicant cannot determine the
control status of the other equipment, the control status of the
integrated circuits is determined in 3A001.a.3 to 3A001.a.9 and
3A001.a.12. If the integrated circuit is a silicon-based
``microcomputer microcircuit'' or microcontroller microcircuit
described in 3A001.a.3 having an operand (data) word length of 8 bit
or less, the control status of the integrated circuit is determined
in 3A001.a.3.
3A001 Electronic components, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to 3A001.a.1.a.............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A for MT; $1500: 3A001.c;$3000: 3A001.b.1, b.2, b.3, .d, .e
and .f; $5000: 3A001.a, and .b.4 to b.7
GBS: Yes, except 3A001.a.1.a, b.1, b.3 to b.7, .c to .f
[[Page 2502]]
CIV: Yes, except 3A001.a.1, a.2, a.3.a (for processors with a CTP
greater than 500 Mtops), a.5, a.6, a.9, a.10, and a.12, .b, .c, .d,
.e, and .f
List of Items Controlled
Unit: Number
Related Controls: See also 3A101, 3A201, and 3A991
Related Definitions: For the purposes of integrated circuits in
3A001.a.1, 5 x 103 Gy(Si)=5 x 105 Rads (Si); 5 x 106 Gy (Si)/
s=5 x 108 Rads (Si)/s.
Items: a. General purpose integrated circuits, as follows:
Note 1: The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
Note 2: Integrated circuits include the following types:
``Monolithic integrated circuits''; ``Hybrid integrated circuits'';
``Multichip integrated circuits''; ``Film type integrated
circuits'', including silicon-on-sapphire integrated circuits;
``Optical integrated circuits''.
a.1. Integrated circuits, designed or rated as radiation
hardened to withstand any of the following:
a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher; or
a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher;
a.2. Integrated circuits described in 3A001.a.3 to 3A001.a.10 or
3A001.a.12, electrical erasable programmable read-only memories
(EEPROMs), flash memories and static random-access memories (SRAMs),
having any of the following:
a.2.a. Rated for operation at an ambient temperature above 398 K
(125 deg. C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 deg. C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 deg. C) to 398 K (125 deg. C);
Note: 3A001.a.2 does not apply to integrated circuits for civil
automobiles or railway train applications.
a.3. ``Microprocessor microcircuits'', ``micro-computer
microcircuits'' and microcontroller microcircuits, having any of the
following characteristics:
Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.3.a. A ``composite theoretical performance'' (``CTP'') of 260
million theoretical operations per second (Mtops) or more and an
arithmetic logic unit with an access width of 32 bit or more;
a.3.b. Manufactured from a compound semiconductor and operating
at a clock frequency exceeding 40 MHz; or
a.3.c. More than one data or instruction bus or serial
communication port for external interconnection in a parallel
processor with a transfer rate exceeding 2.5 Mbyte/s;
a.4. Storage integrated circuits manufactured from a compound
semiconductor;
a.5. Analog-to-digital and digital-to-analog converter
integrated circuits, as follows:
a.5.a. Analog-to-digital converters having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 12 bit,
with a total conversion time to maximum resolution of less than 10
ns;
a.5.a.2. A resolution of 12 bit with a total conversion time to
maximum resolution of less than 200 ns; or
a.5.a.3. A resolution of more than 12 bit with a total
conversion time to maximum resolution of less than 2 s;
a.5.b. Digital-to-analog converters with a resolution of 12 bit
or more, and a ``settling time'' of less than 10 ns;
a.6. Electro-optical and ``optical integrated circuits''
designed for ``signal processing'' having all of the following:
a.6.a. One or more than one internal ``laser'' diode;
a.6.b. One or more than one internal light detecting element;
and
a.6.c. Optical waveguides;
a.7. Field programmable gate arrays having any of the following:
a.7.a. An equivalent usable gate count of more than 30,000 (2
input gates); or
a.7.b. A typical ``basic gate propagation delay time'' of less
than 0.4 ns;
a.8. Field programmable logic arrays having any of the
following:
a.8.a. An equivalent usable gate count of more than 30,000 (2
input gates); or
a.8.b. A toggle frequency exceeding 133 MHz;
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 208 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.35 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
a.11.a. An equivalent gate count of more than 300 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having any of the
following:
a.12.a. A rated execution time for a 1,024 point complex FFT of
less than 1 ms;
a.12.b. A rated execution time for an N-point complex FFT of
other than 1,024 points of less than N log2 N /10,240 ms, where N is
the number of points; or
a.12.c. A butterfly throughput of more than 5.12 MHz;
b. Microwave or millimeter wave components, as follows:
b.1. Electronic vacuum tubes and cathodes, as follows:
Note: 3A001.b.1 does not control tubes designed or rated to
operate in the ITU allocated bands at frequencies not exceeding 31
GHz.
b.1.a. Travelling wave tubes, pulsed or continuous wave, as
follows:
b.1.a.1. Operating at frequencies higher than 31 GHz;
b.1.a.2. Having a cathode heater element with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity tubes, or derivatives thereof, with an
``instantaneous bandwidth'' of more than 7% or a peak power
exceeding 2.5 kW;
b.1.a.4. Helix tubes, or derivatives thereof, with any of the
following characteristics:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1; or
b.1.a.4.c. Being ``space qualified'';
b.1.b. Crossed-field amplifier tubes with a gain of more than 17
dB;
b.1.c. Impregnated cathodes designed for electronic tubes, with
any of the following:
b.1.c.1. A turn on time to rated emission of less than 3
seconds; or
b.1.c.2. Producing a continuous emission current density at
rated operating conditions exceeding 5 A/cm2;
b.2. Microwave integrated circuits or modules containing
``monolithic integrated circuits'' operating at frequencies
exceeding 3 GHz;
Note: 3A001.b.2 does not control circuits or modules for
equipment designed or rated to operate in the ITU allocated bands at
frequencies not exceeding 31 GHz.
b.3. Microwave transistors rated for operation at frequencies
exceeding 31 GHz;
b.4. Microwave solid state amplifiers, having any of the
following:
b.4.a. Operating frequencies exceeding 10.5 GHz and an
``instantaneous bandwidth'' of more than half an octave; or
b.4.b. Operating frequencies exceeding 31 GHz;
b.5. Electronically or magnetically tunable band-pass or band-
stop filters having more than 5 tunable resonators capable of tuning
across a 1.5:1 frequency band (Fmax/Fmin) in
less than 10 s having any of the following:
b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
b.6. Microwave ``assemblies'' capable of operating at
frequencies exceeding 31 GHz;
b.7. Mixers and converters designed to extend the frequency
range of equipment described in 3A002.c, 3A002.e or 3A002.f beyond
the limits stated therein;
b.8. Microwave power amplifiers containing tubes controlled by
3A001.b and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power density exceeding 80 W/kg; and
b.8.c. A volume of less than 400 cm3;
Note: 3A001.b.8 does not control equipment designed or rated for
operation in an ITU allocated band.
c. Acoustic wave devices, as follows, and specially designed
components therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having any of the following:
[[Page 2503]]
c.1.a. A carrier frequency exceeding 2.5 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding
2.5 GHz, and having any of the following:
c.1.b.1. A frequency side-lobe rejection exceeding 55 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth
(time in s and bandwidth in MHz) of more than 100;
c.1.b.3. A bandwidth greater than 250 MHz; or
c.1.b.4. A dispersive delay of more than 10 s; or
c.1.c. A carrier frequency of 1 GHz or less, having any of the
following:
c.1.c.1. A product of the maximum delay time and the bandwidth
(time in s and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 s; or
c.1.c.3. A frequency side-lobe rejection exceeding 55 dB and a
bandwidth greater than 50 MHz;
c.2. Bulk (volume) acoustic wave devices (i.e., ``signal
processing'' devices employing elastic waves) that permit the direct
processing of signals at frequencies exceeding 1 GHz;
c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;
d. Electronic devices and circuits containing components,
manufactured from ``superconductive'' materials specially designed
for operation at temperatures below the ``critical temperature'' of
at least one of the ``superconductive'' constituents, with any of
the following:
d.1. Electromagnetic amplification:
d.1.a. At frequencies equal to or less than 31 GHz with a noise
figure of less than 0.5 dB; or
d.1.b. At frequencies exceeding 31 GHz;
d.2. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10-14 J; or
d.3. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices, as follows:
e.1. Batteries and photovoltaic arrays, as follows:
Note: 3A001.e.1 does not control batteries with volumes equal to
or less than 27 cm\3\ (e.g., standard C-cells or R14 batteries).
e.1.a. Primary cells and batteries having an energy density
exceeding 480 Wh/kg and rated for operation in the temperature range
from below 243 K (-30 deg. C) to above 343 K (70 deg. C);
e.1.b. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (C being the nominal capacity in ampere
hours) when operating in the temperature range from below 253 K (-
20 deg. C) to above 333 K (60 deg. C);
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75%
of the open circuit voltage divided by the total mass of the cell
(or battery) in kg.
e.1.c. ``Space qualified'' and radiation hardened photovoltaic
arrays with a specific power exceeding 160 W/m\2\ at an operating
temperature of 301 K (28 deg. C) under a tungsten illumination of 1
kW/m\2\ at 2,800 K (2,527 deg. C);
e.2. High energy storage capacitors, as follows:
N.B.: See also 3A201.a.
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) having all of the following:
e.2.a.1. A voltage rating equal to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kV;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets and solenoids specially
designed to be fully charged or discharged in less than one second,
having all of the following:
N.B.: See also 3A201.b.
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm
\2\;
Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids specially designed for Magnetic
Resonance Imaging (MRI) medical equipment.
f. Rotary input type shaft absolute position encoders having any
of the following:
f.1. A resolution of better than 1 part in 265,000 (18 bit
resolution) of full scale; or
f.2. An accuracy better than 2.5 seconds of arc.
3A002 General purpose electronic equipment, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $3000: 3A002.a, .e, .f, .g; $5000: 3A002.b to .d
GBS: Yes for 3A002.a.1.; 3A002.b (synthesized output frequency of
2.6 GHz or less and a ``frequency switching time'' of 0.3 ms or
more); and 3A002.d (synthesized output frequency of 2.6 GHz or less
and a ``frequency switching time'' of 0.3 ms or more)
CIV: Yes for 3A002.a.1 (provided all of the following conditions are
met: (1) Bandwidths do not exceed: 4 MHz per track and have up to 28
tracks or 2 MHz per track and have up to 42 tracks; (2) Tape speed
does not exceed 6.1 m/s; (3) They are not designed for underwater
use; (4) They are not ruggedized for military use; and (5) Recording
density does not exceed 653.2 magnetic flux sine waves per mm);
3A002.b (synthesized output frequency of 2.6 GHz or less; and a
``frequency switching time'' of 0.3 ms or more), 3A002.d
(synthesized output frequency of 2.6 GHz or less; and a ``frequency
switching time'' of 0.3 ms or more).
List of Items Controlled
Unit: Number
Related Controls: See also 3A202 and 3A992
Related Definitions: N/A
Items: a. Recording equipment, as follows, and specially designed
test tape therefor:
a.1. Analog instrumentation magnetic tape recorders, including
those permitting the recording of digital signals (e.g., using a
high density digital recording (HDDR) module), having any of the
following:
a.1.a. A bandwidth exceeding 4 MHz per electronic channel or
track;
a.1.b. A bandwidth exceeding 2 MHz per electronic channel or
track and having more than 42 tracks; or
a.1.c. A time displacement (base) error, measured in accordance
with applicable IRIG or EIA documents, of less than 0.1
s;
Note: Analog magnetic tape recorders specially designed for
civilian video purposes are not considered to be instrumentation
tape recorders.
a.2. Digital video magnetic tape recorders having a maximum
digital interface transfer rate exceeding 180 Mbit/s;
Note: 3A002.a.2 does not control digital video magnetic tape
recorders specially designed for television recording using a signal
format standardized or recommended by the CCIR or the IEC for civil
television applications.
a.3. Digital instrumentation magnetic tape data recorders
employing helical scan techniques or fixed head techniques, having
any of the following:
a.3.a. A maximum digital interface transfer rate exceeding 175
Mbit/s; or
a.3.b. Being ``space qualified'';
Note: 3A002.a.3 does not control analog magnetic tape recorders
equipped with HDDR conversion electronics and configured to record
only digital data.
a.4. Equipment, having a maximum digital interface transfer rate
exceeding 175 Mbit/s, designed to convert digital video magnetic
tape recorders for use as digital instrumentation data recorders;
a.5. Waveform digitizers and transient recorders having all of
the following:
N.B.: See also 3A202.
a.5.a. Digitizing rates equal to or more than 200 million
samples per second and a resolution of 10 bits or more; and
[[Page 2504]]
a.5.b. A continuous throughput of 2 Gbit/s or more;
Technical Note: For those instruments with a parallel bus
architecture, the continuous throughput rate is the highest word
rate multiplied by the number of bits in a word. Continuous
throughput is the fastest data rate the instrument can output to
mass storage without the loss of any information while sustaining
the sampling rate and analog-to-digital conversion.
b. ``Frequency synthesizer'', ``assemblies'' having a
``frequency switching time'' from one selected frequency to another
of less than 1 ms;
c. ``Signal analyzers'', as follows:
c.1. ``Signal analyzers'' capable of analyzing frequencies
exceeding 31 GHz;
c.2. ``Dynamic signal analyzers'' having a ``real-time
bandwidth'' exceeding 25.6 Khz;
Note: 3A002.c.2 does not control those ``dynamic signal
analyzers'' using only constant percentage bandwidth filters.
Technical Note: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.
d. Frequency synthesized signal generators producing output
frequencies, the accuracy and short term and long term stability of
which are controlled, derived from or disciplined by the internal
master frequency, and having any of the following:
d.1. A maximum synthesized frequency exceeding 31 GHz;
d.2. A ``frequency switching time'' from one selected frequency
to another of less than 1 ms; or
d.3. A single sideband (SSB) phase noise better than -(126+20
log10F-20 log10f) in dBc/Hz, where F is the
off-set from the operating frequency in Hz and f is the operating
frequency in MHz;
Note: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.
e. Network analyzers with a maximum operating frequency
exceeding 40 GHz;
f. Microwave test receivers having all of the following:
f.1. A maximum operating frequency exceeding 40 GHz; and
f.2. Being capable of measuring amplitude and phase
simultaneously;
g. Atomic frequency standards having any of the following:
g.1. Long-term stability (aging) less (better) than
1 x 10-11/month; or
g.2. Being ``space qualified''.
Note: 3A002.g.1 does not control non-''space qualified''
rubidium standards.
3A101 Electronic equipment, devices and components, other than those
controlled by 3A001, as follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: Items controlled in 3A101.a are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls (See 22 CFR part 121).
Related Definitions: N/A
Items: a. Analog-to-digital converters, usable in ``missiles'',
designed to meet military specifications for ruggedized equipment;
b. Accelerators capable of delivering electromagnetic radiation
produced by bremsstrahlung from accelerated electrons of 2 MeV or
greater, and systems containing those accelerators.
Note: 3A101.b above does not include equipment specially
designed for medical purposes.
3A201 Electronic components, other than those controlled by 3A001, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: This entry does not control magnets that are
specially designed for and exported as parts of medical nuclear
magnetic resonance (NMR) imaging systems. Such parts may be exported
in separate shipments from different sources, provided that the
related export control documents clearly specify that the parts are
for medical NMR imaging systems that are being exported.
Related Definition: N/A
Items: a. Capacitors with the following characteristics:
a.1. Voltage rating greater than 1.4 kV, energy storage greater
than 10 J, capacitance greater than 0.5 F and series
inductance less than 50 Nh; or
a.2. Voltage rating greater than 750 V, capacitance greater than
0.25 F and series inductance less than 10 Nh;
b. Superconducting solenoidal electromagnets with all of the
following characteristics:
b.1. Capable of creating magnetic fields of more than 2 teslas
(20 kilogauss);
b.2. With an L/D ratio (length divided by inner diameter)
greater than 2;
b.3. With an inner diameter of more than 300 mm; and
b.4. With a magnetic field uniform to better than 1% over the
central 50% of the inner volume;
Note: 3A201.b does not specify magnets specially designed for
and exported as parts of medical nuclear magnetic resonance (NMR)
imaging systems. The phrase ``as part of'' does not necessarily mean
physical part in the same shipment; separate shipments from
different sources are allowed, provided the related export documents
clearly specify that the shipments are dispatched ``as part of'' the
imaging systems.
c. Flash X-ray generators or pulsed electron accelerators with
peak energy of 500 keV or greater, as follows, except accelerators
that are component parts of devices designed for purposes other than
electron beam or X-ray radiation (electron microscopy, for example)
and those designed for medical purposes:
c.1. Having an accelerator peak electron energy of 500 keV or
greater but less than 25 MeV and with a figure of merit (K) of 0.25
or greater, where K is defined as:
K=1.7 x 103V2.65Q, where V is the peak electron energy in
million electron volts and Q is the total accelerated charge in
coulombs if the accelerator beam pulse duration is less than or
equal to 1 microsecond; if the accelerator beam pulse duration is
greater than 1 microsecond, Q is the maximum accelerated charge in 1
microsecond {Q equals the integral of i with respect to t, over the
lesser of 1 microsecond or the time duration of the beam pulse
(Q={integral} idt), where i is beam current in amperes and t is time
in seconds}; or
c.2. Having an accelerator peak electron energy of 25 MeV or
greater and a peak power greater than 50 MW. {Peak power = (peak
potential in volts) x (peak beam current in amperes)}.
Technical Notes: a. Time duration of the beam pulse--In
machines, based on microwave accelerating cavities, the time
duration of the beam pulse is the lesser of 1 microsecond or the
duration of the bunched beam packet resulting from one microwave
modulator pulse.
b. Peak beam current--In machines based on microwave
accelerating cavities, the peak beam current is the average current
in the time duration of a bunched beam packet.
3A225 Frequency changers (also known as converters or inverters) or
generators, other than those controlled by 0B001.c.11, having all of
the characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: Frequency changers (also known as converters or
inverters)
[[Page 2505]]
especially designed or prepared to supply motor stators and having
the characteristics described in 3A225.b and .d, together with a
total harmonic distortion of less than 2 percent and an efficiency
of greater than 80 percent are subject to the export licensing
authority of the Nuclear Regulatory Commission. (See 10 CFR part
110.)
Related Definition: Motor stators are especially designed or
prepared ring-shaped stators for high-speed multiphase AC hysteresis
(or reluctance) motors for synchronous operation within a vacuum in
the frequency range of 600 Hz to 2,000 Hz, and a power range of 50
VA to 1,000 VA. The stators consist of multiphase windings on a
laminated low-loss iron core comprising thin layers typically to 2.0
mm (.008 in) thick or less.
Items: a. A multiphase output capable of providing a power of 40 W
or more;
b. Capable of operating in the frequency range between 600 and
2000 Hz;
c. Total harmonic distortion below 10%; and
d. Frequency control better than 0.1%.
3A226 Direct current high-power supplies, other than those controlled
by 0B001.j.6, capable of continuously producing, over a time period of
8 hours, 100 V or greater with current output of 500 A or greater and
with current or voltage regulation better than 0.1%.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A227 High-voltage direct current power supplies, other than those
controlled by 0B001.j.5, capable of continuously producing, over a time
period of 8 hours, 20,000 V or greater with current output of 1 A or
greater and with current or voltage regulation better than 0.1%.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A228 Switching devices, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: a. Cold-cathode tubes (including gas krytron tubes and vacuum
sprytron tubes), whether gas filled or not, operating similarly to a
spark gap, containing three or more electrodes, and having all of
the following characteristics:
a.1. Anode peak voltage rating of 2,500 V or more;
a.2. Anode peak current rating of 100 A or more; and
a.3. Anode delay time of 10 microsecond or less;
b. Triggered spark-gaps having an anode delay time of 15
microsecond or less and rated for a peak current of 500 A or more;
c. Modules or assemblies with a fast switching function having
all of the following characteristics:
c.1. Anode peak voltage rating greater than 2,000 V;
c.2. Anode peak current rating of 500 A or more; and
c.3. Turn-on time of 1 microsecond or less.
3A229 Firing sets and equivalent high-current pulse generators (for
detonators controlled by 3A232), as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: See also U.S. Munitions List
Related Definitions: N/A
Items: a. Explosive detonator firing sets designed to drive multiple
controlled detonators controlled by 3A232;
b. Modular electrical pulse generators (pulsers) designed for
portable, mobile or ruggedized use (including xenon flash-lamp
drivers) having all the following characteristics:
b.1. Capable of delivering their energy in less than 15
microsecond;
b.2. Having an output greater than 100 A;
b.3. Having a rise time of less than 10 microsecond into loads
of less than 40 ohms (rise time is the time interval from 10% to 90%
current amplitude when driving a resistive load);
b.4. Enclosed in a dust-tight enclosure;
b.5. No dimension greater than 254 mm;
b.6. Weight less than 25 kg; and
b.7. Specified for use over an extended temperature range 223 K
(-50 deg. C) to 373 K (100 deg. C) or specified as suitable for
aerospace use.
3A230 High-speed pulse generators with output voltages greater than 6
volts into a less than 55 ohm resistive load, and with pulse transition
times less than 500 picoseconds.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: In this entry, ``pulse transition time'' is
defined as the time interval between 10% and 90% voltage amplitude.
Items: The list of items controlled is contained in the ECCN
heading.
3A231 Neutron generator systems, including tubes, designed for
operation without an external vacuum system and utilizing electrostatic
acceleration to induce a tritium-deuterium nuclear reaction.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number, parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A232 Detonators and multipoint initiation systems, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
[[Page 2506]]
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: This entry does not control detonators using only
primary explosives, such as lead azide.
Related Definition: The detonators of concern all utilize a small
electrical conductor (bridge, bridge wire or foil) that explosively
vaporizes when a fast, high-current electrical pulse is passed
through it. In nonslapper types, the exploding conductor starts a
chemical detonation in a contacting high-explosive material such as
PETN (Pentaerythritoltetranitrate). In slapper detonators, the
explosive vaporization of the electrical conductor drives a flyer or
slapper across a gap and the impact of the slapper on an explosive
starts a chemical detonation. The slapper in some designs is driven
by a magnetic force. The term exploding foil detonator may refer to
either an EB or a slapper-type detonator. Also, the word initiator
is sometimes used in place of the word detonator.
Items: a. Electrically driven explosive detonators, the following:
a.1. Exploding bridge (EB);
a.2. Exploding bridge wire (EBW);
a.3. Slapper;
a.4. Exploding foil initiators (EFI);
b. Arrangements using single or multiple detonators designed to
nearly simultaneously initiate an explosive surface (over greater
than 5000 mm\2\) from a single firing signal (with an initiation
timing spread over the surface of less than 2.5 microseconds).
3A233 Mass spectrometers, other than those controlled by 0B002.g,
capable of measuring ions of 230 atomic mass units or greater and
having a resolution of better than 2 parts in 230, and ion sources
therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: Specially designed or prepared magnetic or
quadruple mass spectrometers that have the following characteristics
and are capable of taking on-line samples of feed, product, or tails
from UF6 gas streams are subject to the export licensing
authority of the Nuclear Regulatory Commission. (See 10 CFR part
110.): (a) Unit resolution for mass greater than 320; (b) Ion
sources that are constructed of or lined with nichrome or that are
monel or nickel-plated; (c) Electron bombardment ionization sources;
(d) Having a collector system suitable for isotopic analysis.
Related Definitions: N/A
Items: a. Inductively coupled plasma mass spectrometers (ICP/MS);
b. Glow discharge mass spectrometers (GDMS);
c. Thermal ionization mass spectrometers (TIMS);
d. Electron bombardment mass spectrometers that have a source
chamber constructed from, lined with or plated with materials
resistant to UF6;
e. Molecular beam mass spectrometers as follows:
e.1. Having a source chamber constructed from, lined with or
plated with stainless steel or molybdenum and have a cold trap
capable of cooling to 193 K (-80 deg. C) or less; or
e.2. Having a source chamber constructed from, lined with or
plated with materials resistant to UF6; or
f. Mass spectrometers equipped with a microfluorination ion
source designed for use with actinides or actinide fluorides.
3A292 Oscilloscopes and transient recorders other than those
controlled by 3A002.a.5, and specially designed components therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: ``Bandwidth'' is defined as the band of
frequencies over which the deflection on the cathode ray tube does
not fall below 70.7% of that at the maximum point measured with a
constant input voltage to the oscilloscope amplifier.
Items: a. Non-modular analog oscilloscopes having a bandwidth of 1
GHz or greater;
b. Modular analog oscilloscope systems having either of the
following characteristics:
b.1. A mainframe with a bandwidth of 1 GHz or greater; or
b.2. Plug-in modules with an individual bandwidth of 4 GHz or
greater;
c. Analog sampling oscilloscopes for the analysis of recurring
phenomena with an effective bandwidth greater than 4 GHz;
d. Digital oscilloscopes and transient recorders, using analog-
to-digital conversion techniques, capable of storing transients by
sequentially sampling single-shot inputs at successive intervals of
less than 1 ns (greater than 1 giga-sample per second), digitizing
to 8 bits or greater resolution and storing 256 or more samples.
Note: Specially designed components controlled by this item are
the following, for analog oscilloscopes:
1. Plug-in units;
2. External amplifiers;
3. Pre-amplifiers;
4. Sampling devices;
5. Cathode ray tubes.
3A980 Voice print identification and analysis equipment and parts,
n.e.s.
License Requirements
Reason for Control: CC
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A981 Polygraphs (except biomedical recorders designed for use in
medical facilities for monitoring biological and neurophysical
responses); fingerprint analyzers, cameras and equipment, n.e.s.;
automated fingerprint and identification retrieval systems, n.e.s.;
psychological stress analysis equipment; electronic monitoring
restraint devices; and specially designed parts and accessories, n.e.s.
License Requirements
Reason for Control: CC
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A991 Electronic devices and components not controlled by 3A001.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having a clock
frequency exceeding 25 MHz;
b. Storage integrated circuits, as follows:
[[Page 2507]]
b.1. Electrical erasable programmable read-only memories
(EEPROMs) with a storage capacity;
b.1.a. Exceeding 16 Mbits per package for flash memory types; or
b.1.b. Exceeding either of the following limits for all other
EEPROM types:
b.1.b.1. Exceeding 1 Mbit per package; or
b.1.b.2. Exceeding 256 kbit per package and a maximum access
time of less than 80 ns;
b.2. Static random access memories (SRAMs) with a storage
capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and a maximum access time
of less than 25 ns;
c. Field programmable logic arrays having either of the
following:
c.1. An equivalent gate count of more than 5000 (2 input gates);
or
c.2. A toggle frequency exceeding 100 MHz;
d. Custom integrated circuits for which either the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
d.1. More than 144 terminals; or
d.2. A typical ``basic propagation delay time'' of less than 0.4
ns.
e. Travelling wave tubes, pulsed or continuous wave, as follows:
e.1. Coupled cavity tubes, or derivatives thereof;
e.2. Helix tubes, or derivatives thereof, with any of the
following:
e.2.a.1. An ``instantaneous bandwidth'' of half an octave or
more; and
e.2.a.2. The product of the rated average output power
(expressed in kW) and the maximum operating frequency (expressed in
GHz) of more than 0.2;
e.2.b.1 An ``instantaneous bandwidth'' of less than half an
octave; and
e.2.b.2. The product of the rated average output power
(expressed in kW) and the maximum operating frequency (expressed in
GHz) of more than 0.4;
f. Flexible waveguides designed for use at frequencies exceeding
40 GHz;
g. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having either of the following:
g.1. A carrier frequency exceeding 1 GHz; or
g.2. A carrier frequency of 1 GHz or less; and
g.2.a. A frequency side-lobe rejection exceeding 55 dB;
g.2.b. A product of the maximum delay time and bandwidth (time
in microseconds and bandwidth in MHz) of more than 100; or
g.2.c. A dispersive delay of more than 10 microseconds.
h. Batteries, as follows:
Note: 3A991.h does not control batteries with volumes equal to
or less than 26 cm3 (e.g., standard C-cells or UM-2
batteries).
h.1. Primary cells and batteries having an energy density
exceeding 350 Wh/kg and rated for operation in the temperature range
from below 243 K (-30 deg. C) to above 343 K (70 deg. C);
h.2. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (C being the nominal capacity in ampere
hours) when operating in the temperature range from below 253 K
(-20 deg. C) to above 333 K (60 deg. C);
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75
percent of the open circuit voltage divided by the total mass of the
cell (or battery) in kg.
i. ``Superconductive'' electromagnets or solenoids specially
designed to be fully charged or discharged in less than one minute,
having all of the following:
Note: 3A991.i does not control ``superconductive''
electromagnets or solenoids designed for Magnetic Resonance Imaging
(MRI) medical equipment.
i.1. Maximum energy delivered during the discharge divided by
the duration of the discharge of more than 500 kJ per minute;
i.2. Inner diameter of the current carrying windings of more
than 250 mm; and
i.3. Rated for a magnetic induction of more than 8T or ``overall
current density'' in the winding of more than 300 A/mm2.
j. Circuits or systems for electromagnetic energy storage,
containing components manufactured from ``superconductive''
materials specially designed for operation at temperatures below the
``critical temperature'' of at least one of their
``superconductive'' constituents, having all of the following:
j.1. Resonant operating frequencies exceeding 1 MHz;
j.2. A stored energy density of 1 MJ/M3 or more; and
j.3. A discharge time of less than 1 ms;
k. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal
construction and rate for a peak current of 500 A or more.
3A992 General purpose electronic equipment not controlled by 3A002.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $1000 for Syria for .a only
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Electronic test equipment, n.e.s.
b. Digital instrumentation magnetic tape data recorders having
any of the following characteristics;
b.1. A maximum digital interface transfer rate exceeding 60
Mbit/s and employing helical scan techniques;
b.2. A maximum digital interface transfer rate exceeding 120
Mbit/s and employing fixed head techniques; or
b.3. ``Space qualified'';
c. Equipment, with a maximum digital interface transfer rate
exceeding 60 Mbit/s, designed to convert digital video magnetic tape
recorders for use as digital instrumentation data recorders;
B. Test, Inspection and Production Equipment
3B001 Equipment for the manufacturing of semiconductor devices or
materials and specially designed components and accessories therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $500
GBS: Yes, except 3B001. a.2 and a.3; and for equipment controlled
under 3B001.e, they cannot be connected to equipment controlled by
3B001.a.2, a.3, and .f.
CIV: Yes for equipment controlled by 3B001.a.1
List of Items Controlled
Unit: Number
Related Controls: See also 3B991
Related Definitions: N/A
Items: a. ``Stored program controlled'' equipment designed for
epitaxial growth, as follows:
a.1. Equipment capable of producing a layer thickness uniform to
less than 2.5% across a distance of 75 mm or more;
a.2. Metal organic chemical vapor deposition (MOCVD) reactors
specially designed for compound semiconductor crystal growth by the
chemical reaction between materials controlled by 3C003 or 3C004;
a.3. Molecular beam epitaxial growth equipment using gas
sources;
b. ``Stored program controlled'' equipment designed for ion
implantation, having any of the following:
b.1. An accelerating voltage exceeding 200 keV;
b.2. Being specially designed and optimized to operate at an
accelerating voltage of less than 10 keV;
b.3. Direct write capability; or
b.4. Being capable of high energy oxygen implant into a heated
semiconductor material ``substrate'';
c. ``Stored program controlled'' anisotropic plasma dry etching
equipment, as follows:
c.1. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
c.1.a. Magnetic confinement; or
c.1.b. Electron cyclotron resonance (ECR);
c.2. Equipment specially designed for equipment controlled by
3B001.e. and having any of the following:
c.2.a. Magnetic confinement; or
c.2.b. ECR;
d. ``Stored program controlled'' plasma enhanced CVD equipment,
as follows:
[[Page 2508]]
d.1. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
d.1.a. Magnetic confinement; or
d.1.b. ECR;
d.2. Equipment specially designed for equipment controlled by
3B001.e. and having any of the following:
d.2.a. Magnetic confinement; or
d.2.b. ECR;
e. ``Stored program controlled'' automatic loading multi-chamber
central wafer handling systems, having all of the following:
e.1. Interfaces for wafer input and output, to which more than
two pieces of semiconductor processing equipment are to be
connected; and
e.2. Designed to form an integrated system in a vacuum
environment for sequential multiple wafer processing;
Note: 3B001.e. does not control automatic robotic wafer handling
systems not designed to operate in a vacuum environment.
f. ``Stored program controlled'' lithography equipment, as
follows:
f.1. Align and expose step and repeat equipment for wafer
processing using photo-optical or X-ray methods, having any of the
following:
f.1.a. A light source wavelength shorter than 400 nm; or
f.1.b. Capable of producing a pattern with a minimum resolvable
feature size of 0.7 m or less;
Note: The minimum resolvable feature size is calculated by the
following formula:
(an exposure light source wavelength in m) x (K factor)
MRF = ----------------------------------
numerical aperture
Where the K factor = 0.7.
MRF = minimum resolvable feature size.
f.2. Equipment specially designed for mask making or
semiconductor device processing using deflected focussed electron
beam, ion beam or ``laser'' beam, having any of the following:
f.2.a. A spot size smaller than 0.2 m;
f.2.b. Being capable of producing a pattern with a feature size
of less than 1 m; or
f.2.c. An overlay accuracy of better than 0.20
m (3 sigma);
g. Masks and reticles designed for integrated circuits
controlled by 3A001;
h. Multi-layer masks with a phase shift layer.
3B002 ``Stored program controlled'' test equipment, specially
designed for testing finished or unfinished semiconductor devices and
specially designed components and accessories therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $500
GBS: Yes
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: See also 3B992
Related Definitions: N/A
Items: a. For testing S-parameters of transistor devices at
frequencies exceeding 31 GHz;
b. For testing integrated circuits capable of performing
functional (truth table) testing at a pattern rate of more than 60
MHz;
Note: 3B002.b does not control test equipment specially designed
for testing:
1. ``Assemblies'' or a class of ``assemblies'' for home or
entertainment applications;
2. Uncontrolled electronic components, ``assemblies'' or
integrated circuits.
c. For testing microwave integrated circuits at frequencies
exceeding 3 GHz;
Note: 3B002.c does not control test equipment specially designed
for testing microwave integrated circuits for equipment designed or
rated to operate in the ITU allocated bands at frequencies not
exceeding 31 GHz.
d. Electron beam systems designed for operation at 3 keV or
below, or ``laser'' beam systems, for the non-contactive probing of
powered-up semiconductor devices, having all of the following:
d.1. Stroboscopic capability with either beam-blanking or
detector strobing; and
d.2. An electron spectrometer for voltage measurement with a
resolution of less than 0.5 V.
Note: 3B002.d does not control scanning electron microscopes,
except when specially designed and instrumented for the non-
contactive probing of powered-up semiconductor devices.
3B991 Equipment not controlled by 3B001 for the manufacture of
electronic components and materials, and specially designed components
and accessories therefor.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Equipment specially designed for the manufacture of
electron tubes, optical elements and specially designed components
therefor controlled by 3A001 or 3A991;
b. Equipment specially designed for the manufacture of
semiconductor devices, integrated circuits and ``assemblies'', as
follows, and systems incorporating or having the characteristics of
such equipment:
Note: 3B991.b also controls equipment used or modified for use
in the manufacture of other devices, such as imaging devices,
electro-optical devices, acoustic-wave devices.
b.1. Equipment for the processing of materials for the
manufacture of devices and components as specified in the heading of
3B991.b, as follows:
Note: 3B991 does not control quartz furnace tubes, furnace
liners, paddles, boats (except specially designed caged boats),
bubblers, cassettes or crucibles specially designed for the
processing equipment controlled by 3B991.b.1.
b.1.a. Equipment for producing polycrystalline silicon and
materials controlled by 3C001;
b.1.b. Equipment specially designed for purifying or processing
III/V and II/VI semiconductor materials controlled by 3C001, 3C002,
3C003, or 3C004, except crystal pullers, for which see 3B991.b.1.c
below;
b.1.c. Crystal pullers and furnaces, as follows:
Note: 3B991.b.1.c does not control diffusion and oxidation
furnaces.
b.1.c.1. Annealing or recrystallizing equipment other than
constant temperature furnaces employing high rates of energy
transfer capable of processing wafers at a rate exceeding 0.005
m2 per minute;
b.1.c.2. ``Stored program controlled'' crystal pullers having
any of the following characteristics:
b.1.c.2.a. Rechargeable without replacing the crucible
container;
b.1.c.2.b. Capable of operation at pressures above 2.5 x
105 Pa; or
b.1.c.2.c. Capable of pulling crystals of a diameter exceeding
100 mm;
b.1.d. ``Stored program controlled'' equipment for epitaxial
growth having any of the following characteristics:
b.1.d.1. Capable of producing a layer thickness uniformity
across the wafer of equal to or better than 3.5%;
b.1.d.2. Rotation of individual wafers during processing; or
b.1.e. Molecular beam epitaxial growth equipment;
b.1.f. ``Magnetically enhanced'' ``sputtering'' equipment with
specially designed integral load locks capable of transferring
wafers in an isolated vacuum environment;
b.1.g. Equipment specially designed for ion implantation, ion-
enhanced or photo-enhanced diffusion, having any of the following
characteristics:
b.1.g.1. Patterning capability;
b.1.g.2. Accelerating voltage for more than 200 keV; or
b.1.g.3. Capable of high energy oxygen implant into a heated
``substrate'';
b.1.h. ``Stored program controlled'' equipment for the selective
removal (etching) by means of anisotropic dry methods (e.g.,
plasma), as follows:
b.1.h.1. Batch types having either of the following:
b.1.h.1.a. End-point detection, other than optical emission
spectroscopy types; or
b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or
less;
b.1.h.2. Single wafer types having any of the following:
b.1.h.2.a. End-point detection, other than optical emission
spectroscopy types;
b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or
less; or
[[Page 2509]]
b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;
Notes: 1. ``Batch types'' refers to machines not specially
designed for production processing of single wafers. Such machines
can process two or more wafers simultaneously with common process
parameters, e.g., RF power, temperature, etch gas species, flow
rates.
2. ``Single wafer types'' refers to machines specially designed
for production processing of single wafers. These machines may use
automatic wafer handling techniques to load a single wafer into the
equipment for processing. The definition includes equipment that can
load and process several wafers but where the etching parameters,
e.g., RF power or end point, can be independently determined for
each individual wafer.
b.1.i. ``Chemical vapor deposition'' (CVD) equipment, e.g.,
plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor
device manufacturing, having either of the following capabilities,
for deposition of oxides, nitrides, metals or polysilicon:
b.1.i.1. ``Chemical vapor deposition'' equipment operating below
105 Pa; or
b.1.i.2. PECVD equipment operating either below 60 Pa (450
millitorr) or having automatic cassette-to-cassette and load lock
wafer handling;
Note: 3B991.b.1.i does not control low pressure ``chemical vapor
deposition'' (LPCVD) systems or reactive ``sputtering'' equipment.
b.1.j. Electron beam systems specially designed or modified for
mask making or semiconductor device processing having any of the
following characteristics:
b.1.j.1. Electrostatic beam deflection;
b.1.j.2. Shaped, non-Gaussian beam profile;
b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit;
or
b.1.j.5. Target-to-beam position feedback control precision of 1
micrometer or finer;
Note: 3B991.b.1.j does not control electron beam deposition
systems or general purpose scanning electron microscopes.
b.1.k. Surface finishing equipment for the processing of
semiconductor wafers as follows:
b.1.k.1. Specially designed equipment for backside processing of
wafers thinner than 100 micrometer and the subsequent separation
thereof; or
b.1.k.2. Specially designed equipment for achieving a surface
roughness of the active surface of a processed wafer with a two-
sigma value of 2 micrometer or less, total indicator reading (TIR);
Note: 3B991.b.1.k does not control single-side lapping and
polishing equipment for wafer surface finishing.
b.1.l. Interconnection equipment which includes common single or
multiple vacuum chambers specially designed to permit the
integration of any equipment controlled by 3B991 into a complete
system;
b.1.m. ``Stored program controlled'' equipment using ``lasers''
for the repair or trimming of ``monolithic integrated circuits''
with either of the following characteristics:
b.1.m.1. Positioning accuracy less than 1
micrometer; or
b.1.m.2. Spot size (kerf width) less than 3 micrometer.
b.2. Masks, mask ``substrates'', mask-making equipment and image
transfer equipment for the manufacture of devices and components as
specified in the heading of 3B991, as follows:
Note: The term ``masks'' refers to those used in electron beam
lithography, X-ray lithography, and ultraviolet lithography, as well
as the usual ultraviolet and visible photo-lithography.
b.2.a. Finished masks, reticles and designs therefor, except:
b.2.a.1. Finished masks or reticles for the production of
unembargoed integrated circuits; or
b.2.a.2. Masks or reticles, having both of the following
characteristics:
b.2.a.2.a. Their design is based on geometries of 2.5 micrometer
or more; and
b.2.a.2.b. The design does not include special features to alter
the intended use by means of production equipment or ``software'';
b.2.b. Mask ``substrates'' as follows:
b.2.b.1. Hard surface (e.g., chromium, silicon, molybdenum)
coated ``substrates'' (e.g., glass, quartz, sapphire) for the
preparation of masks having dimensions exceeding 125 mm x 125 mm; or
b.2.b.2. ``Substrates'' specially designed for X-ray masks;
b.2.c. Equipment, other than general purpose computers,
specially designed for computer aided design (CAD) of semiconductor
devices or integrated circuits;
b.2.d. Equipment or machines, as follows, for mask or reticle
fabrication:
b.2.d.1. Photo-optical step and repeat cameras capable of
producing arrays larger than 100 mm x 100 mm, or capable of
producing a single exposure larger than 6 mm x 6 mm in the image
(i.e., focal) plane, or capable of producing line widths of less
than 2.5 micrometer in the photoresist on the ``substrate'';
b.2.d.2. Mask or reticle fabrication equipment using ion or
``laser'' beam lithography capable of producing line widths of less
than 2.5 micrometer; or
b.2.d.3. Equipment or holders for altering masks or reticles or
adding pellicles to remove defects;
Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication
equipment using photo-optical methods which was either commercially
available before the 1st January, 1980, or has a performance no
better than such equipment.
b.2.e. ``Stored program controlled'' equipment for the
inspection of masks, reticles or pellicles with:
b.2.e.1. A resolution of 0.25 micrometer or finer; and
b.2.e.2. A precision of 0.75 micrometer or finer over a distance
in one or two coordinates of 63.5 mm or more;
Note: 3B991.b.2.e does not control general purpose scanning
electron microscopes except when specially designed and instrumented
for automatic pattern inspection.
b.2.f. Align and expose equipment for wafer production using
photo-optical methods, including both projection image transfer
equipment and step and repeat equipment, capable of performing any
of the following functions:
Note: 3B991.b.2.f does not control photo-optical contact and
proximity mask align and expose equipment or contact image transfer
equipment.
b.2.f.1. Production of a pattern size of less than 2.5
micrometer;
b.2.f.2. Alignment with a precision finer than 0.25
micrometer (3 sigma); or
b.2.f.3. Machine-to-machine overlay no better than
0.3 micrometer;
b.2.g. Electron beam, ion beam or X-ray equipment for projection
image transfer capable of producing patterns less than 2.5
micrometer;
Note: For focussed, deflected-beam systems (direct write
systems), see 3B991.b.1.j or b.10.
b.2.h. Equipment using ``lasers'' for direct write on wafers
capable of producing patterns less than 2.5 micrometer.
b.3. Equipment for the assembly of integrated circuits, as
follows:
b.3.a. ``Stored program controlled'' die bonders having all of
the following characteristics:
b.3.a.1. Specially designed for ``hybrid integrated circuits'';
b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm;
and
b.3.a.3. Placement accuracy in the X-Y plane of finer than
10 micrometer;
b.3.b. ``Stored program controlled'' equipment for producing
multiple bonds in a single operation (e.g., beam lead bonders, chip
carrier bonders, tape bonders);
b.3.c. Semi-automatic or automatic hot cap sealers, in which the
cap is heated locally to a higher temperature than the body of the
package, specially designed for ceramic microcircuit packages
controlled by 3A001 and that have a throughput equal to or more than
one package per minute.
Note: 3B991.b.3 does not control general purpose resistance type
spot welders.
b.4. Filters for clean rooms capable of providing an air
environment of 10 or less particles of 0.3 micrometer or smaller per
0.02832 m3 and filter materials therefor;
3B992 Equipment not controlled by 3B002 for the inspection or testing
of electronic components and materials, and specially designed
components and accessories therefor;
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
[[Page 2510]]
Items: a. Equipment specially designed for the inspection or testing
of electron tubes, optical elements and specially designed
components therefor controlled by 3A001 or 3A991;
b. Equipment specially designed for the inspection or testing of
semiconductor devices, integrated circuits and ``assemblies'', as
follows, and systems incorporating or having the characteristics of
such equipment:
Note: 3B992.b also controls equipment used or modified for use
in the inspection or testing of other devices, such as imaging
devices, electro-optical devices, acoustic-wave devices.
b.1. ``Stored program controlled'' inspection equipment for the
automatic detection of defects, errors or contaminants of 0.6
micrometer or less in or on processed wafers, ``substrates'', other
than printed circuit boards or chips, using optical image
acquisition techniques for pattern comparison;
Note: 3B992.b.1 does not control general purpose scanning
electron microscopes, except when specially designed and
instrumented for automatic pattern inspection.
b.2. Specially designed ``stored program controlled'' measuring
and analysis equipment, as follows:
b.2.a. Specially designed for the measurement of oxygen or
carbon content in semiconductor materials;
b.2.b. Equipment for line width measurement with a resolution of
1 micrometer or finer;
b.2.c. Specially designed flatness measurement instruments
capable of measuring deviations from flatness of 10 micrometer or
less with a resolution of 1 micrometer or finer.
b.3. ``Stored program controlled'' wafer probing equipment
having any of the following characteristics:
b.3.a. Positioning accuracy finer than 3.5 micrometer;
b.3.b. Capable of testing devices having more than 68 terminals;
or
b.3.c. Capable of testing at a frequency exceeding 1 GHz;
b.4. Test equipment as follows:
b.4.a. ``Stored program controlled'' equipment specially
designed for testing discrete semiconductor devices and
unencapsulated dice, capable of testing at frequencies exceeding 18
GHz;
Technical Note: Discrete semiconductor devices include
photocells and solar cells.
b.4.b. ``Stored program controlled'' equipment specially
designed for testing integrated circuits and ``assemblies'' thereof,
capable of functional testing:
b.4.b.1. At a pattern rate exceeding 20 MHz; or
b.4.b.2. At a pattern rate exceeding 10 MHz but not exceeding 20
MHz and capable of testing packages of more than 68 terminals;
Note: 3B992.b.4.b does not control equipment specially designed
for testing integrated circuits not controlled by 3A001 or 3A991.
Notes: 1. 3B992.b.4.b does not control test equipment specially
designed for testing ``assemblies'' or a class of ``assemblies'' for
home and entertainment applications.
2. 3B992.b.4.b does not control test equipment specially
designed for testing electronic components, ``assemblies'' and
integrated circuits not controlled by 3A001 or 3A991 provided such
test equipment does not incorporate computing facilities with ``user
accessible programmability''.
b.4.c. Equipment specially designed for determining the
performance of focal-plane arrays at wavelengths of more than 1,200
nm, using ``stored program controlled'' measurements or computer
aided evaluation and having any of the following characteristics:
b.4.c.1. Using scanning light spot diameters of less than 0.12
mm;
b.4.c.2. Designed for measuring photosensitive performance
parameters and for evaluating frequency response, modulation
transfer function, uniformity of responsivity or noise; or
b.4.c.3. Designed for evaluating arrays capable of creating
images with more than 32 x 32 line elements;
b.5. Electron beam test systems, capable of operating at or
below 3,000 eV, for non-contactive probing of powered-up
semiconductor devices having any of the following:
b.5.a. Stroboscopic capability with either beam blanking or
detector strobing;
b.5.b. An electron spectrometer for voltage measurements with a
resolution of less than 0.5 V; or
b.5.c. Electrical tests fixtures for performance analysis of
integrated circuits;
Note: 3B992.b.5 does not control scanning electron microscopes,
except when specially designed and instrumented for non-contactive
probing of a powered-up semiconductor device.
b.6. ``Stored program controlled'' multifunctional focused ion
beam systems specially designed for manufacturing, repairing,
physical layout analysis and testing of masks or semiconductor
devices and having either of the following characteristics:
b.6.a. Target-to-beam position feedback control precision of 1
micrometer or finer; or
b.6.b. Digital-to-analog conversion accuracy exceeding 12 bit;
b.7. Particle measuring systems employing ``lasers'' designed
for measuring particle size and concentration in air having both of
the following characteristics:
b.7.a. Capable of measuring particle sizes of 0.2 micrometer or
less at a flow rate of 0.02832 m\3\ per minute or more; and
b.7.b. Capable of characterizing Class 10 clean air or better.
C. Materials
3C001 Hetero-epitaxial materials consisting of a ``substrate'' having
stacked epitaxially grown multiple layers of any of the following (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: III/V compounds are polycrystalline or binary
or complex monocrystalline products consisting of elements of groups
IIIA and VA of Mendeleyev's periodic classification table (e.g.,
gallium arsenide, gallium-aluminium arsenide, indium phosphide).
Items: a. Silicon;
b. Germanium; or
c. III/V compounds of gallium or indium.
3C002 Resist material and ``substrates'' coated with controlled
resists.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: Silylation techniques are defined as processes
incorporating oxidation of the resist surface to enhance performance
for both wet and dry developing.
Items: a. Positive resists designed for semiconductor lithography
specially adjusted (optimized) for use at wavelengths below 370 nm;
b. All resists designed for use with electron beams or ion
beams, with a sensitivity of 0.01 coulomb/mm\2\ or better;
c. All resists designed for use with X-rays, with a sensitivity
of 2.5 mJ/mm\2\ or better;
d. All resists optimized for surface imaging technologies,
including silylated resists.
3C003 Organo-inorganic compounds, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry controls only compounds whose metallic,
partly metallic or non-metallic element is directly linked
[[Page 2511]]
to carbon in the organic part of the molecule.
Related Definition: N/A
Items: a. Organo-metallic compounds of aluminium, gallium or indium
having a purity (metal basis) better than 99.999%;
b. Organo-arsenic, organo-antimony and organo-phosphorus
compounds having a purity (inorganic element basis) better than
99.999%.
3C004 Hydrides of phosphorus, arsenic or antimony, having a purity
better than 99.999%, even diluted in inert gases or hydrogen.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control hydrides containing
less than 20% molar or more of inert gases or hydrogen.
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
D. Software
3D001 ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 3A001.b to 3A002.g or 3B
(except 3B991 and 3B992).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to ``software'' for NS Column 1
equipment controlled by 3A001.b to
3A001.f, 3A002, and 3B.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: See also 3D101
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3D002 ``Software'' specially designed for the ``use'' of ``stored
program controlled'' equipment controlled by 3B (except 3B991 and
3B992).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3D003 Computer-aided-design (CAD) ``software'' designed for
semiconductor devices or integrated circuits, having any of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control ``software'' specially
designed for schematic entry, logic simulation, placing and routing,
layout verification or pattern generation tape.
Related Definitions: (1) Libraries, design attributes or associated
data for the design of semiconductor devices or integrated circuits
are considered as ``technology''. (2) A lithographic processing
simulator is a ``software'' package used in the design phase to
define the sequence of lithographic, etching and deposition steps
for translating masking patterns into specific topographical
patterns in conductors, dielectrics or semiconductor material.
Items: a. Design rules or circuit verification rules;
b. Simulation of the physically laid out circuits; or
c. Lithographic processing simulators for design.
3D101 ``Software'' specially designed for the ``use'' of equipment
controlled by 3A101.b.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3D102 ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 3A001.a.1.a or 3A101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3D980 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of items controlled by 3A980 and 3A981.
License Requirements
Reason for Control: CC, AT
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3D991 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of electronic devices or components
controlled by 3A991, general purpose electronic equipment controlled by
3A992, or manufacturing and test equipment controlled by 3B991 and
3B992.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
[[Page 2512]]
E. Technology
3E001 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment or materials controlled
by 3A (except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B (except 3B991
and 3B992) or 3C.
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to ``technology'' for items NS Column 1
controlled by 3A001, 3A002, 3B001 and
3B002 or 3C001 to 3C004.
MT applies to ``technology'' for MT Column 1
equipment controlled by 3A001 or 3A101
for MT reasons.
NP applies to ``technology'' for NP Column 1
equipment controlled by 3A201, 3A225
to 3A233 for NP reasons.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 3E101 and 3E201. (2) 3E001 does not
control ``technology'' for the ``development'' or ``production'' of:
(a) Microwave transistors operating at frequencies below 31 GHz; (b)
Integrated circuits controlled by 3A001.a.3 to a.12, having all of
the following: 1. Using ``technology'' of one micrometer or more,
AND 2. Not incorporating multi-layer structures. (3) The term multi-
layer structures in this entry does not include devices
incorporating a maximum of two metal layers and two polysilicon
layers.
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3E002 Other ``technology'' for the ``development'' or ``production''
of items described in the List of Items Controlled.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Vacuum microelectronic devices;
b. Hetero-structure semiconductor devices such as high electron
mobility transistors (HEMT), hetero-bipolar transistors (HBT),
quantum well and super lattice devices;
c. ``Superconductive'' electronic devices;
d. Substrates of films of diamond for electronic components.
3E101 ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 3A001.a.1.a. or
3A101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
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.
3E102 ``Technology'' according to the General Technology Note for the
``development'' of ``software'' controlled by 3D101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
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.
3E201 ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 3A201, 3A225 to 3A233.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
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.
3E292 ``Technology'' according to the General Technology Note for the
``development'', ``production'', or ``use'' of equipment controlled by
3A292.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
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.
3E980 ``Technology'' specially designed for ``development'',
``production'', or ``use'' of items controlled by 3A980 and 3A981.
License Requirements
Reason for Control: CC, AT
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
AT applies to entire entry............. AT Column 1
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.
3E991 ``Technology'' for the ``development'', ``production'', or
``use'' of electronic devices or components controlled by 3A991,
general purpose electronic equipment controlled by 3A992, or
manufacturing and test equipment controlled by 3B991 or 3B992.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
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.
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Category 4--Computers
Note 1: Computers, related equipment and ``software'' performing
telecommunications
[[Page 2513]]
or ``local area network'' functions must also be evaluated against
the performance characteristics of Category 5, Part 1
(Telecommunications).
N.B. 1: Control units that directly interconnect the buses or
channels of central processing units, ``main storage'' or disk
controllers are not regarded as telecommunications equipment
described in Category 5, Part 1 (Telecommunications).
N.B. 2: For the control status of ``software'' specially
designed for packet switching, see ECCN 5D001 (Telecommunications).
Note 2: Computers, related equipment and ``software'' performing
cryptographic, cryptoanalytic, certifiable multi-level security or
certifiable user isolation functions, or that limit electromagnetic
compatibility (EMC), must also be evaluated against the performance
characteristics in Category 5, Part 2 (``Information Security'').
A. Systems, Equipment and Components
4A001 Electronic computers and related equipment, and ``electronic
assemblies'' and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, AT, NP, XP
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to items in 4A001.a when the MT Column 1
parameters in 4A101 are met or
exceeded.
AT applies to entire entry............. AT Column 1
NP applies to electronic computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. See Sec. 742.3(b) of
the EAR for information on applicable licensing review policies.
XP applies to electronic computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. XP controls vary
according to destination and end-user and end-use. See Sec. 742.12
of the EAR for additional information.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000 for 4A001.a; N/A for MT and 4A001.b
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A101 and 4A994. Equipment designed or
rated for transient ionizing radiation is subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. (See 22 CFR part 121.) See also 4A101.
Related Definitions: For the purposes of integrated circuits in
4A001.a.2, 5 x 103 Gy(Si) = 5 x 105 Rads (Si); 5 x 106 Gy (Si)/s = 5
x 108 Rads (Si)/s.
Items: a. Specially designed to have either of the following
characteristics:
a.1. Rated for operation at an ambient temperature below 228 K
(-45 deg.C) or above 358 K (85 deg.C);
Note: 4A001.a.1. does not apply to computers specially designed
for civil automobile or railway train applications.
a.2. Radiation hardened to exceed any of the following
specifications:
a.2.a. A total dose of 5 x 10 \3\ Gy (Si); or
a.2.b. A dose rate upset of 5 x 10 \6\ Gy (Si)/s;
a.2.c. Single Event Upset of 1 x 10 -7 Error/bit/
day;
b. Having characteristics or performing functions exceeding the
limits in Category 5, Part 2 (``Information Security'').
4A002 ``Hybrid computers'' and ``electronic assemblies'' and specially
designed components therefor.
License Requirements
Reason for Control: NS, MT, AT, NP, XP
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to hybrid computers combined MT Column 1
with specially designed ``software'',
for modeling, simulation, or design
integration of complete rocket systems
and unmanned air vehicle systems that
are usable in systems controlled for
MT reasons.
AT applies to entire entry............. AT Column 1
NP applies to hybrid computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. See Sec. 742.3(b) of
the EAR for information on applicable licensing review policies.
XP applies to hybrid computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. XP controls vary
according to destination and end-user and end-use. See Sec. 742.12
of the EAR for additional information.
License Exceptions
LVS: $5000; N/A for MT
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A102 and 4A994
Related Definitions: N/A
Items: a. Containing ``digital computers'' controlled by 4A003;
b. Containing analog-to-digital converters having all of the
following characteristics:
b.1. 32 channels or more; and
b.2. A resolution of 14 bits (plus sign bit) or more with a
conversion rate of 200,000 conversions/s or more.
4A003 ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
Control(s) Country Chart
NS applies to 4A003.b and .c........... NS Column 1
NS applies to 4A003.a, d, .e, .f, and NS Column 2
.g.
MT applies to digital computers used as MT Column 1
ancillary equipment for test
facilities and equipment that are
controlled by 9B005 or 9B006.
CC applies to digital computers for CC Column 1
computerized finger-print equipment.
AT applies to entire entry (refer to AT Column 1
4A994 for controls on digital
computers with a CTP 6 but
to 2,000 Mtops).
NP applies to digital computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. See Sec. 742.3(b) of
the EAR for information on applicable licensing review policies.
XP applies to digital computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. XP controls vary
according to destination and end-user and end-use. See Sec. 742.12
of the EAR for additional information.
Note: For all destinations, except Cuba, Iran, Iraq, Libya,
North Korea, Sudan, and Syria, no license is required (NLR) for
computers with a CTP of 2,000 Mtops, and for assemblies described in
4A003.c that are not capable of exceeding a CTP of 2,000 Mtops in
aggregation. Computers controlled in this entry for MT reasons are
not eligible for NLR.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000; N/A for MT and ``digital'' computers controlled by
4A003.b and having a CTP exceeding 10,000 MTOPS; or ``electronic
assemblies'' controlled by 4A003.c and capable of enhancing
performance by aggregation of ``computing elements'' so that the CTP
of the aggregation exceeds 10,000 MTOPS.
GBS: Yes, for 4A003.d, .e, .f, and .g and specially designed
components therefor, exported separately or as part of a system.
CTP: Yes, for computers controlled by 4A003.a, .b and .c, to the
exclusion of other technical parameters, with the exception of
parameters specified as controlled for Missile Technology (MT)
concerns and 4A003.e (equipment performing analog-to-digital or
digital-to-analog conversions exceeding the limits of 3A001.a.5.a).
See Sec. 740.7 of the EAR.
CIV: Yes, for 4A003.d (having a 3-D vector rate less that 10 M
vectors/sec), .e, .f and .g.
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A994
Related Definitions: N/A
Items:
Note 1: 4A003 includes the following:
[[Page 2514]]
a. Vector processors;
b. Array processors;
c. Digital signal processors;
d. Logic processors;
e. Equipment designed for ``image enhancement'';
f. Equipment designed for ``signal processing''.
Note 2: The control status of the ``digital computers'' and
related equipment described in 4A003 is determined by the control
status of other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential
for the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment specially designed for other equipment with
functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B. 2: For the control status of ``digital computers'' or
related equipment for telecommunications equipment, see Category 5,
Part 1 (Telecommunications).
c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
a. Designed or modified for ``fault tolerance'';
Note: For the purposes of 4A003.a., ``digital computers'' and
related equipment are not considered to be designed or modified for
``fault tolerance'' if they utilize any of the following:
1. Error detection or correction algorithms in ``main storage'';
2. The interconnection of two ``digital computers'' so that, if
the active central processing unit fails, an idling but mirroring
central processing unit can continue the system's functioning;
3. The interconnection of two central processing units by data
channels or by use of shared storage to permit one central
processing unit to perform other work until the second central
processing unit fails, at which time the first central processing
unit takes over in order to continue the system's functioning; or
4. The synchronization of two central processing units by
``software'' so that one central processing unit recognizes when the
other central processing unit fails and recovers tasks from the
failing unit.
b. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') exceeding 2,000 million theoretical
operations per second (Mtops);
c. ``Electronic assemblies'' specially designed or modified to
be capable of enhancing performance by aggregation of ``computing
elements'' (``CEs'') so that the ``CTP'' of the aggregation exceeds
the limit in 4A003.b.;
Note 1: 4A003.c applies only to ``electronic assemblies'' and
programmable interconnections not exceeding the limit in 4A003.b.
when shipped as unintegrated ``electronic assemblies''. It does not
apply to ``electronic assemblies'' inherently limited by nature of
their design for use as related equipment controlled by 4A003.d,
4A003.e or 4A003.f.
Note 2: 4A003.c does not control ``electronic assemblies''
specially designed for a product or family of products whose maximum
configuration does not exceed the limit of 4A003.b.
d. Graphics accelerators and graphics coprocessors exceeding a
``three dimensional Vector Rate'' of 3,000,000;
e. Equipment performing analog-to-digital conversions exceeding
the limits in 3A001.a.5;
f. Equipment containing ``terminal interface equipment''
exceeding the limits in 5A001.b.3;
Note: For the purposes of 4A003.f, ``terminal interface
equipment'' includes ``local area network'' interfaces and other
communications interfaces. ``Local area network'' interfaces are
evaluated as ``network access controllers''.
g. Equipment specially designed to provide external
interconnection of ``digital computers'' or associated equipment
that allows communications at data rates exceeding 80 Mbyte/s.
Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) or passive interconnection
equipment.
4A004 Computers, as follows (see List of Items Controlled) and
specially designed related equipment, ``electronic assemblies'' and
components therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Systolic array computers'';
b. ``Neural computers'';
c. ``Optical computers''.
4A101 Analog computers, ``digital computers'' or digital differential
analyzers, other than those controlled by 4A001 designed or modified
for use in ``missiles'', having any of the following (see List of Items
Controlled).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Rated for continuous operation at temperatures from below
228 K (-45 deg. C) to above 328 K (+55 deg. C); or
b. Designed as ruggedized or ``radiation hardened''.
4A102 ``Hybrid computers'' specially designed for modelling,
simulation or design integration of ``missiles''. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)
4A980 Computers for fingerprint equipment, n.e.s.
License Requirements
Reason for Control: CC, AT
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4A994 Computers, ``electronic assemblies'', and related equipment not
controlled by 4A001, 4A002, or 4A003, and specially designed components
therefor.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Electronic computers and related equipment, and
``electronic assemblies'' and specially designed components
therefor, rated for operation at an ambient temperature above 343 K
(70 deg. C);
b. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') equal to or greater than 6 million
theoretical operations per second (Mtops);
c. ``Assemblies'' not controlled by 4A003 that are specially
designed or modified to enhance performance by aggregation of
``computing elements'' (``Ces''), as follows:
c.1. Designed to be capable of aggregation in configurations of
16 or more ``computing elements'' (``Ces''); or
[[Page 2515]]
c.2. Having a sum of maximum data rates on all channels
available for connection to associated processors exceeding 40
million Bytes/s;
Note 1: 4A994.c applies only to ``electronic assemblies'' and
programmable interconnections with a ``CTP'' not exceeding the
limits in 4A994.b, when shipped as unintegrated ``electronic
assemblies''. It does not apply to ``electronic assemblies''
inherently limited by nature of their design for use as related
equipment controlled by 4A994.
Note 2: 4A994.c does not control any ``electronic assembly''
specially designed for a product or family of products whose maximum
configuration does not exceed the limits of 4A994.b.
d. Disk drives and solid state storage equipment:
d.1. Magnetic, erasable optical or magneto-optical disk drives
with a ``maximum bit transfer rate'' exceeding 25 million bit/s;
d.2. Solid state storage equipment, other than ``main storage''
(also known as solid state disks or RAM disks), with a ``maximum bit
transfer rate'' exceeding 36 million bit/s;
e. Input/output control units designed for use with equipment
controlled by 4A994.d;
f. Equipment for ``signal processing'' or ``image enhancement'',
not controlled by 4A003, having a ``composite theoretical
performance'' (``CTP'') exceeding 8.5 million theoretical operations
per second (Mtops);
g. Graphics accelerators or graphics coprocessors, not
controlled by 4A003, that exceeds a ``3-D vector rate'' of 400,000
or, if supported by 2-D vectors only, a ``2-D vector rate'' of
600,000;
Note: The provisions of 4A994.g do not apply to work stations
designed for and limited to:
a. Graphic arts (e.g., printing, publishing); and
b. The display of two-dimensional vectors.
h. Color displays or monitors having more than 120 resolvable
elements per cm in the direction of the maximum pixel density;
Note 1: 4A994.h does not control displays or monitors not
specially designed for electronic computers.
Note 2: Displays specially designed for air traffic control
(ATC) systems are treated as specially designed components for ATC
systems under Category 6.
i. Equipment containing ``terminal interface equipment''
exceeding the limits in 5A991.
Note: For the purposes of 4A994.i, ``terminal interface
equipment'' includes ``local area network'' interfaces, modems and
other communications interfaces. ``Local area network'' interfaces
are evaluated as ``network access controllers''.
B. Test, Inspection and Production Equipment
4B994 Equipment for the ``development'' and ``production'' of magnetic
and optical storage equipment.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control general-purpose
sputtering equipment.
Related Definition: N/A
Items: a. Equipment specially designed for the application of
magnetic coating to controlled non-flexible (rigid) magnetic or
magneto-optical media;
b. ``Stored program controlled'' equipment specially designed
for monitoring, grading, exercising or testing controlled rigid
magnetic media;
c. Equipment specially designed for the ``production'' or
alignment of heads or head/disk assemblies for controlled rigid
magnetic and magneto-optical storage, and electro-mechanical or
optical components therefor.
C. Materials
4C994 Materials specially formulated for and required for the
fabrication of head/disk assemblies for controlled magnetic and
magneto-optical hard disk drives.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
D. Software
Note: The control status of ``software'' for the
``development'', ``production'', or ``use'' of equipment described
in other Categories is dealt with in the appropriate Category. The
control status of ``software'' for equipment described in this
Category is dealt with herein.
4D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or ``software''
controlled by 4A001 to 4A004, or 4D (except 4D993 or 4D994).
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
Control(s) Country Chart
NS applies to ``software'' for NS Column 1
equipment controlled by 4A001 to
4A004, 4D001 to 4D003.
MT applies to ``software'' for MT Column 1
equipment controlled by 4A001 to 4A003
for MT reasons.
CC applies to ``software'' for CC Column 1
equipment controlled by 4A003 for CC
reasons.
AT applies to entire entry............. AT Column 1
NP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
XP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT and for ``software'' for equipment or
``software'' requiring a license and except for ``software''
specially designed for the ``development'', or ``production'' of
equipment controlled as follows, for exports and reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: (a)
``Digital'' computers controlled by 4A003.b and having a CTP
exceeding 10,000 MTOPS; or (b) ``Electronic assemblies'' controlled
by 4A003.c and capable of enhancing performance by aggregation of
``computing elements'' so that the CTP of the aggregation exceeds
10,000 MTOPS.
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D002 ``Software'' specially designed or modified to support
``technology'' controlled by 4E (except 4E980, 4E992, and 4E993).
License Requirements
Reason for Control: NS, MT, AT, NP, XP
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for MT Column 1
equipment controlled by 4E for MT
reasons.
AT applies to entire entry............. AT Column 1
NP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
XP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless
[[Page 2516]]
a License Exception is available. See Sec. 742.3(b) of the EAR for
information on applicable licensing review policies.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT and for ``software'' specifically
designed or modified to support ``technology'' for computers
requiring a license.
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D003 Specific ``software'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exception.
License Exceptions
CIV: N/A
TSR: Yes, except 4D003.c
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Operating system ``software'', ``software'' development
tools and compilers specially designed for ``multi-data-stream
processing'' equipment, in ``source code'';
b. ``Expert systems'' or ``software'' for ``expert system''
inference engines providing both:
b.1. Time dependent rules; and
b.2. Primitives to handle the time characteristics of the rules
and the facts;
c. ``Software'' having characteristics or performing functions
exceeding the limits in Category 5, Part 2 (``Information
Security'');
d. Operating systems specially designed for ``real time
processing'' equipment that guarantees a ``global interrupt latency
time'' of less than 20 s.
4D102 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
4A101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D980 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of items controlled by 4A980.
License Requirements
Reason for Control: CC, AT
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D993 ``Program'' proof and validation ``software'', ``software''
allowing the automatic generation of ``source codes'', and operating
system ``software'' not controlled by 4D003 that are specially designed
for real time processing equipment.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Program'' proof and validation ``software'' using
mathematical and analytical techniques and designed or modified for
``programs'' having more than 500,000 ``source code'' instructions;
b. ``Software'' allowing the automatic generation of ``source
codes'' from data acquired on line from external sensors described
in the Commerce Control List;
c. Operating system ``software'' not controlled by 4D003 that
are specially designed for ``real time processing'' equipment that
guarantees a ``global interrupt latency time'' of less than 30
microseconds.
4D994 ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of equipment controlled by
4A994, 4B994 and materials controlled by 4C994.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
4E001 ``Technology'' according to the General Technology Note, for the
``development'', ``production'' or ``use'' of equipment or ``software''
controlled by 4A or 4D (except 4A980, 4A993 or 4A994).
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
Control(s) Country Chart
NS applies to ``technology'' for NS Column 1
equipment controlled by 4A001 to
4A004, 4D001 to 4D003.
MT applies to ``technology'' for items MT Column 1
controlled by 4A001 to 4A003, 4A101,
4D001, 4D102 or 4D002 for MT reasons.
CC applies to ``technology'' for CC Column 1
equipment controlled by 4A003 for CC
reasons.
AT applies to entire entry............. AT Column 1
NP applies to ``technology'' for computers with a CTP greater
than 2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
XP applies to ``technology'' for computers with a CTP greater
than 2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes for ``technology'' directly related for hardware under a
License Exception. N/A for MT and for ``technology'' for the
``development'' or ``production'' of equipment or ``software'' for
export and reexport to destinations outside of Austria, Belgium,
Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy,
Luxembourg, the Netherlands, Portugal, Spain, Sweden, or the United
Kingdom of ``technology'' for: (a) ``Digital'' computers controlled
by 4A003.b and having a CTP exceeding 10,000 MTOPS; or (b)
``Electronic assemblies'' controlled by 4A003.c and capable of
enhancing performance by aggregation of ``computing elements'' so
that the CTP of the aggregation exceeds 10,000 MTOPS.
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.
4E980 ``Technology'' for the ``development'', ``production'', or
``use'' of items controlled by 4A980.
License Requirements
[[Page 2517]]
Reason for Control: CC, AT
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
AT applies to entire entry............. AT Column 1
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.
4E992 ``Technology'' for the ``development'', ``production'', or
``use'' of equipment controlled by 4A994 and 4B994, materials
controlled by 4C994, or ``software'' controlled by 4D993 or 4D994.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: See also 4E994
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4E993 Other ``Technology'' for the ``development'' or ``production''
of graphics accelerators or equipment designed for ``multi-data-stream
processing'' and ``technology'' ``required'' for the ``development'' or
``production'' of magnetic hard disk drives.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'' or ``production''
of graphics accelerators;
b. ``Technology'', for the ``development'' or ``production'' of
equipment designed for ``multi-data-stream processing'';
c. ``Technology'', ``required'' for the ``development'' or
``production'' of magnetic hard disk drives with a ``maximum bit
transfer rate'' (``MBTR'') exceeding 11 Mbit/s.
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Technical Note: ``COMPOSITE THEORETICAL PERFORMANCE'' (``CTP'').
Abbreviations used in this Technical Note
``CE'' ``computing element'' (typically an arithmetic logical unit)
FP floating point
XP fixed point
t execution time
XOR exclusive OR
CPU central processing unit
TP theoretical performance (of a single ``CE'')
``CTP'' ``composite theoretical performance'' (multiple ``CEs'')
R effective calculating rate
WL word length
L word length adjustment
* multiply
Execution time t is expressed in microseconds, TP and ``CTP''
are expressed in millions of theoretical operations per second
(Mtops) and WL is expressed in bits.
Outline of ``CTP'' Calculation Method
``CTP'' is a measure of computational performance given in
Mtops. In calculating the ``CTP'' of an aggregation of ``CEs'' the
following three steps are required:
1. Calculate the effective calculating rate R for each ``CE'';
2. Apply the word length adjustment (L) to the effective
calculating rate (R), resulting in a Theoretical Performance (TP)
for each ``CE'';
3. If there is more than one ``CE'', combine the TPs, resulting
in a ``CTP'' for the aggregation.
Details for these steps are given in the following sections.
Note 1: For aggregations of multiple ``CEs'' that have both
shared and unshared memory subsystems, the calculation of ``CTP'' is
completed hierarchically, in two steps: first, aggregate the groups
of ``CEs'' sharing memory; second, calculate the ``CTP'' of the
groups using the calculation method for multiple ``CEs'' not sharing
memory.
Note 2: ``CEs'' that are limited to input/output and peripheral
functions (e.g., disk drive, communication and video display
controllers) are not aggregated into the ``CTP'' calculation.
The following table shows the method of calculating the
Effective Calculating Rate R for each ``CE'':
Step 1: The effective calculating rate R
------------------------------------------------------------------------
Effective calculating Rate, R
------------------------------------------------------------------------
XP only................................ 13 * (txp add), if no
add is implemented use:
(Rxp).................................. 1 (txp mult) If neither
add nor multiply is
implemented use the fastest
available arithmetic operation
as follows: 13 * txp.
See Notes X & Z.
FP only (Rfp).......................... max 1tfp add,
1tfp mult, See Notes X
& Y.
Both FP and XP (R)..................... Calculate both Rxp, Rfp.
For simple logic processors not 13 * tlog. Where tlog
implementing any of the specified is the execute time of the
arithmetic operations. XOR, or for logic hardware not
implementing the XOR, the
fastest simple logic
operation. See Notes X & Z.
For special logic processors not using R = R' * WL/64. Where R' is the
any of the specified arithmetic or number of results per second,
logic operations. WL is the number of bits upon
which the logic operation
occurs, and 64 is a factor to
normalize to a 64 bit
operation.
------------------------------------------------------------------------
Note W: For a pipelined ``CE'' capable of executing up to one
arithmetic or logic operation every clock cycle after the pipeline
is full, a pipelined rate can be established. The effective
calculating rate (R) for such a ``CE'' is the faster of the
pipelined rate or non-pipelined execution rate.
Note X: For a ``CE'' that performs multiple operations of a
specific type in a single cycle (e.g., two additions per cycle or
two identical logic operations per cycle), the execution time t is
given by:
[GRAPHIC] [TIFF OMITTED] TR15JA98.000
``CEs'' that perform different types of arithmetic or logic
operations in a single machine cycle are to be treated as multiple
separate ``CEs'' performing simultaneously (e.g., a ``CE''
performing an addition and a multiplication in one cycle is to be
treated as two ``CEs'', the first performing an addition in one
cycle and the second performing a multiplication in one cycle). If a
single ``CE'' has both scalar function and vector function, use the
shorter execution time value.
Note Y: For the ``CE'' that does not implement FP add or FP
multiply, but that performs FP divide:
[[Page 2518]]
[GRAPHIC] [TIFF OMITTED] TR15JA98.001
If the ``CE'' implements FP reciprocal but not FP add, FP
multiply or FP divide, then
[GRAPHIC] [TIFF OMITTED] TR15JA98.002
If none of the specified instructions is implemented, the
effective FP rate is 0.
Note Z: In simple logic operations, a single instruction
performs a single logic manipulation of no more than two operands of
given lengths. In complex logic operations, a single instruction
performs multiple logic manipulations to produce one or more results
from two or more operands.
Rates should be calculated for all supported operand lengths
considering both pipelined operations (if supported), and non-
pipelined operations using the fastest executing instruction for
each operand length based on:
1. Pipelined or register-to-register operations. Exclude
extraordinarily short execution times generated for operations on a
predetermined operand or operands (for example, multiplication by 0
or 1). If no register-to-register operations are implemented,
continue with (2).
2. The faster of register-to-memory or memory-to-register
operations; if these also do not exist, then continue with (3).
3. Memory-to-memory.
In each case above, use the shortest execution time certified by
the manufacturer.
Step 2: TP for each supported operand length WL.
Adjust the effective rate R (or R') by the word length
adjustment L as follows:
TP = R * L, where L = (1/3 + WL/96)
Note: The word length WL used in these calculations is the
operand length in bits. (If an operation uses operands of different
lengths, select the largest word length.) The combination of a
mantissa ALU and an exponent ALU of a floating point processor or
unit is considered to be one ``CE'' with a Word Length (WL) equal to
the number of bits in the data representation (typically 32 or 64)
for purposes of the ``CTP'' calculation.
This adjustment is not applied to specialized logic processors
that do not use XOR instructions. In this case TP = R.
Select the maximum resulting value of TP for:
Each XP-only ``CE'' (Rxp);
Each FP-only ``CE'' (Rfp);
Each combined FP and XP ``CE'' (R);
Each simple logic processor not implementing any of the specified
arithmetic operations; and
Each special logic processor not using any of the specified
arithmetic or logic operations.
Step 3: ``CTP'' for aggregations of ``CEs'', including CPUs.
For a CPU with a single ``CE'', ``CTP'' = TP (for ``CEs''
performing both fixed and floating point operations TP = max
(TPfp, TPxp))
``CTP'' for aggregations of multiple ``CEs'' operating
simultaneously is calculated as follows:
Note 1: For aggregations that do not allow all of the ``CEs'' to
run simultaneously, the possible combination of ``CEs'' that
provides the largest ``CTP'' should be used. The TP of each
contributing ``CE'' is to be calculated at its maximum value
theoretically possible before the ``CTP'' of the combination is
derived.
N.B.: To determine the possible combinations of simultaneously
operating ``CEs'', generate an instruction sequence that initiates
operations in multiple ``CEs'', beginning with the slowest ``CE''
(the one needing the largest number of cycles to complete its
operation) and ending with the fastest ``CE''. At each cycle of the
sequence, the combination of ``CEs'' that are in operation during
that cycle is a possible combination. The instruction sequence must
take into account all hardware and/or architectural constraints on
overlapping operations.
Note 2: A single integrated circuit chip or board assembly may
contain multiple ``CEs''.
Note 3: Simultaneous operations are assumed to exist when the
computer manufacturer claims concurrent, parallel or simultaneous
operation or execution in a manual or brochure for the computer.
Note 4: ``CTP'' values are not to be aggregated for ``CE''
combinations (inter) connected by ``Local Area Networks'', Wide Area
Networks, I/O shared connections/devices, I/O controllers and any
communication interconnection implemented by ``software''.
Note 5: ``CTP'' values must be aggregated for multiple ``CEs''
specially designed to enhance performance by aggregation, operating
simultaneously and sharing memory,--or multiple memory/''CE''--
combinations operating simultaneously utilizing specially designed
hardware.
This aggregation does not apply to ``electronic assemblies''
described by 4A003.d.
``CTP''=TP1+C2 * TP2+* *
*+Cn * TPn,
where the TPs are ordered by value, with TP1 being the
highest, TP2 being the second highest, * * *, and
TPn being the lowest. Ci is a coefficient
determined by the strength of the interconnection between ``CEs'',
as follows:
For multiple ``CEs'' operating simultaneously and sharing
memory:
C2=C3=C4=* * *=Cn=0.75
Note 1: When the ``CTP'' calculated by the above method does not
exceed 194 Mtops, the following formula may be used to calculate
Ci:
[GRAPHIC] [TIFF OMITTED] TR15JA98.003
where m=the number of ``CEs'' or groups of ``CEs'' sharing access.
Provided:
1. The TP1 of each ``CE'' or group of ``CEs'' does
not exceed 30 Mtops;
2. The ``CEs'' or groups of ``CEs'' share access to main memory
(excluding cache memory) over a single channel; and
3. Only one ``CE'' or group of ``CEs'' can have use of the
channel at any given time.
N.B.: This does not apply to items controlled under Category 3.
Note 2: ``CEs'' share memory if they access a common segment of
solid state memory. This memory may include cache memory, main
memory or other internal memory. Peripheral memory devices such as
disk drives, tape drives or RAM disks are not included.
For Multiple ``CEs'' or groups of ``CEs'' not sharing memory,
interconnected by one or more data channels:
Ci=0.75 * ki (i=2, * * * , 32) (see Note
below)
=0.60 * ki (i=33, * * *, 64)
=0.45 * ki (i=65, * * *, 256)
=0.30 * ki (i >256)
The value of Ci is based on the number of ``CE''s,
not the number of nodes.
where
ki=min (Si/Kr, 1), and
Kr=normalizing factor of 20 MByte/s.
Si=sum of the maximum data rates (in units of MByte/
s) for all data channels connected to the ith ``CE'' or
group of ``CEs'' sharing memory.
When calculating a Ci for a group of ``CEs'', the
number of the first ``CE'' in a group determines the proper limit
for Ci. For example, in an aggregation of groups
consisting of 3 ``CEs'' each, the 22nd group will contain
``CE''64, ``CE''65 and ``CE''66.
The proper limit for Ci for this group is 0.60.
Aggregation (of ``CEs'' or groups of ``CEs'') should be from the
fastest-to-slowest; i.e.:
TP1 TP2 * * * .
>TPn, and
in the case of TPi=TPi+1, from the
largest to smallest; i.e.:
Ci Ci+1
Note: The ki factor is not to be applied to ``CEs'' 2
to 12 if the TPi of the ``CE'' or group of ``CEs'' is
more than 50 Mtops; i.e., Ci for ``CEs'' 2 to 12 is 0.75.
Category 5--Telecommunications and ``Information Security''
I. Telecommunications
Notes: 1. The control status of components, ``lasers'', test and
``production'' equipment, materials and ``software'' therefor which
are specially designed for telecommunications equipment or systems
is determined in Category 5, Part 1.
2. ``Digital computers'', related equipment or ``software'',
when essential for the operation and support of telecommunications
equipment described in this Category, are regarded as specially
designed components, provided they are the standard models
customarily supplied by the manufacturer. This includes operation,
administration, maintenance, engineering or billing computer
systems.
A. Systems, Equipment and Components
5A001 Telecommunications systems, equipment, and components.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to 5A001.a.................. NS Column 1
NS applies to 5A001.b, .c, .d, or .e... NS Column 2
[[Page 2519]]
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: N/A for 5A001.a and b.9;
$5000 for 5A001.b.1 to b.8 and b.10, .c, and .e
$3000 for 5A001.d
GBS: Yes, except 5A001.a and b.9
CIV: Yes, except 5A001.a, b.8, and b.9
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 5A101 and 5A991
Related Definitions: N/A
Items: a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. Specially designed to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation; or
a.3. Specially designed to operate outside the temperature range
from 218 K (-55 deg.C) to 397 K (124 deg.C).
Note: 5A001.a.3 applies only to electronic equipment.
Note: 5A001.a.2 and 5A001.a.3 do not apply to equipment on board
satellites.
b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any
of the following characteristics, functions or features:
Note: Telecommunication transmission equipment:
a. Categorized as follows, or combinations thereof:
1. Radio equipment (e.g., transmitters, receivers and
transceivers);
2. Line terminating equipment;
3. Intermediate amplifier equipment;
4. Repeater equipment;
5. Regenerator equipment;
6. Translation encoders (transcoders);
7. Multiplex equipment (statistical mutiplex included);
8. Modulators/demodulators (modems);
9. Transmultiplex equipment (see CCITT Rec. G701);
10. ``Stored program controlled'' digital crossconnection
equipment;
11. ``Gateways'' and bridges;
12. ``Media access units''; and
b. Designed for use in single or multi-channel communication via
any of the following:
1. Wire (line);
2. Coaxial cable;
3. Optical fiber cable;
4. Electromagnetic radiation; or
5. Underwater acoustic wave propagation.
b.1. Employing digital techniques, including digital processing
of analog signals, and designed to operate at a ``digital transfer
rate'' at the highest multiplex level exceeding 45 Mbit/s or a
``total digital transfer rate'' exceeding 90 Mbit/s;
Note: 5A001.b.1 does not control equipment specially designed to
be integrated and operated in any satellite system for civil use.
b.2. Being underwater communications systems having any of the
following characteristics:
b.2.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
b.2.b. Using an electromagnetic carrier frequency below 30 kHz;
or
b.2.c. Using electronic beam steering techniques;
b.3. Being equipment containing any of the following:
b.3.a. ``Network access controllers'' and their related common
medium having a ``digital transfer rate'' exceeding 156 Mbit/s; or
b.3.b. ``Communication channel controllers'' with a digital
output having a ``data signalling rate'' exceeding 2.1 Mbit/s per
channel;
Note: If any uncontrolled equipment contains a ``network access
controller'', it cannot have any type of telecommunications
interface, except those described in, but not controlled by
5A001.b.3.
b.4. Employing a ``laser'' and having any of the following
characteristics:
b.4.a. A transmission wavelength exceeding 1,000 nm; or
b.4.b. Employing analog techniques and having a bandwidth
exceeding 45 MHz;
Note: 5A001.b.4.b does not control commercial TV systems.
b.4.c. Employing coherent optical transmission or coherent
optical detection techniques (also called optical heterodyne or
homodyne techniques);
b.4.d. Employing wavelength division multiplexing techniques; or
b.4.e. Performing ``optical amplification'';
b.5. Being radio equipment operating at input or output
frequencies exceeding 31 GHz;
Note: 5A001.b.5 does not control equipment designed or modified
for operation in any ITU allocated band.
b.6. Being radio equipment employing any of the following:
b.6.a. Quadrature-amplitude-modulation (QAM) techniques above
level 4 if the ``total digital transfer rate'' exceeds 8.5 Mbit/s;
b. QAM techniques above level 16 if the ``total digital transfer
rate'' is equal to or less than 8.5 Mbit/s; or
c. Other digital modulation techniques and having a ``spectral
efficiency'' exceeding 3 bit/sec/Hz;
Notes: 1. 5A001.b.6 does not control equipment specially
designed to be integrated and operated in any satellite system for
civil use.02
2. 5A001.b.6 does not control radio relay equipment for
operation in an ITU allocated band:
a. Having any of the following:
a.1. Not exceeding 960 MHz; or
a.2. With a ``total digital transfer rate'' not exceeding 8.5
Mbit/s; and
b. Having a ``spectral efficiency'' not exceeding 4 bit/sec/Hz.
b.7. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having any of the following characteristics:
b.7.a. Incorporating adaptive techniques providing more than 15
dB suppression of an interfering signal; or
b.7.b. Having all of the following:
b.7.b.1. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.7.b.2. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the 1.5 MHz to 30 MHz frequency
range or 250 W or more in the 30 MHz to 87.5 MHz frequency range,
over an ``instantaneous bandwidth'' of one octave or more and with
an output harmonic and distortion content of better than -80 dB;
b.8. Being radio equipment employing ``spread spectrum'' or
``frequency agility'' (frequency hopping) techniques having any of
the following characteristics:
b.8.a. User programmable spreading codes; or
b.8.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;
Note: 5A001.b.8.b does not control cellular radio equipment
operating in civil bands.
Note: 5A001.b.8 does not control equipment operating at an
output power of 1.0 Watt or less.
b.9. Being digitally controlled radio receivers having all of
the following:
b.9.a. More than 1,000 channels;
b.9.b. A ``frequency switching time'' of less than 1 ms;
b.9.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
b.9.d. Identification of the received signals or the type of
transmitter; or
Note: 5A001.b.9 does not control cellular radio equipment
operating in civil bands.
b.10. Employing functions of digital ``signal processing'' to
provide voice coding at rates of less than 2,400 bit/s.
c. ``Stored program controlled'' switching equipment and related
signalling systems, having any of the following characteristics,
functions or features, and specially designed components and
accessories therefor:
Note: Statistical multiplexers with digital input and digital
output which provide switching are treated as ``stored program
controlled'' switches.
c.1. ``Common channel signalling'' operating in either non-
associated or quasi-associated mode of operation;
c.2. ``Dynamic adaptive routing'';
Note: 5A001.c.2 does not control packet switches or routers with
ports or lines not exceeding the limits in 5A001.c.3.
c.3. Being packet switches, circuit switches and routers with
ports or lines exceeding any of the following:
c.3.a. A ``data signalling rate'' of 2.1 Mbit/s per channel for
a ``communications channel controller''; or
Note: 5A001.c.3.a does not control multiplexed composite links
composed only of communication channels not individually controlled
by 5A001.c.3.a.
[[Page 2520]]
c.3.b. A ``digital transfer rate'' of 156 Mbit/s for a ``network
access controller'' and related common medium;
c.4. ``Optical switching'';
c.5. Employing ``Asynchronous Transfer Mode'' (``ATM'')
techniques.
d. Optical fiber communication cables, optical fibers and
accessories, as follows:
d.1. Optical fibers and optical fiber cables of more than 50 m
in length having any of the following characteristics:
d.1.a. Designed for single mode operation; or
d.1.b. For optical fibers, specified by the manufacturer as
being capable of withstanding a proof test tensile stress of
2 x 10\9\ N/m\2\ or more;
Technical Note: Proof Test: on-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20 deg. C) and relative
humidity 40%.
N.B.: Equivalent national standards may be used for executing
the proof test.
d.2. Optical fiber cables and accessories designed for
underwater use.
Note: 5A001.d.2 does not control standard civil
telecommunication cables and accessories.
N.B.: For fiber-optic hull penetrators or connectors, see
8A002.c.
e. ``Electronically steerable phased array antennae'' operating
above 31 GHz.
Note: 5A001.e does not control ``electronically steerable phased
array antennae'' for landing systems with instruments meeting ICAO
standards covering microwave landing systems (MLS).
5A101 Telemetering and telecontrol equipment usable for ``missiles''.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5A980 Communications intercepting devices; and parts and accessories
therefor.
License Requirements
Reason for Control: Controls on equipment described in this entry
are maintained in accordance with the Omnibus Crime Control and Safe
Streets Act of 1968 (Public Law 90-351). A license is required for
ALL destinations, regardless of end-use. Accordingly, a column
specific to this control does not appear on the Commerce Country
Chart. (See Sec. 742.13 of the EAR for additional information on the
scope of this control.)
Note: These items are subject to the United Nations Security
Council arms embargo against Rwanda described in Sec. 746.8 of the
EAR.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5A991 Telecommunication equipment, not controlled by 5A001.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Any type of telecommunications equipment, not controlled
by 5A001.a, specially designed to operate outside the temperature
range from 219 K (-54 deg. C) to 397 K (124 deg. C).
b. Transmission equipment, as follows:
b.1. Modems using the ``bandwidth of one voice channel'' with a
``data signalling rate'' exceeding 9,600 bits per second;
b.2. ``Communication channel controllers'' with a digital output
having a ``data signalling rate'' exceeding 64,000 bit/s per
channel; or
b.3. ``Network access controller'' and their related common
medium having a ``digital transfer rate'' exceeding 33 Mbit/s.
b.4. Being ``stored program controlled'' digital cross connect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per
port.
b.5. Radio equipment operating at input or output frequencies
exceeding:
b.5.1. 31 GHz for satellite-earth station applications; or
b.5.2. 26.5 GHz for other applications;
Note: 5A991.b.5. does not control equipment for civil use when
conforming with an International Telecommunications Union (ITU)
allocated band between 26.5 GHz and 31 GHz.
b.6. Providing functions of digital ``signal processing'' as
follows:
b.6.a. Voice coding at rates less than 2,400 bit/s;
b.6.b. Employing circuitry that incorporates ``user-accessible
programmability'' of digital ``signal processing'' circuits
exceeding the limits of 4A003.b.
c. ``Stored program controlled'' switching equipment and related
signalling systems as follows:
c.1. ``Data (message) switching'' equipment or systems designed
for ``packet-mode operation'' and assemblies and components
therefor, n.e.s.
c.2. Containing ``Integrated Services Digital Network'' (ISDN)
functions and having any of the following:
c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a
``digital transfer rate'' at the highest multiplex level exceeding
192,000 bit/s, including the associated signalling channel (e.g.,
2B+D); or
c.2.b. The capability that a signalling message received by a
switch on a given channel that is related to a communication on
another channel may be passed through to another switch.
Note: 5A991.b. does not preclude the evaluation and appropriate
actions taken by the receiving switch or unrelated user message
traffic on a D channel of ISDN.
c.3. Routing or switching of ``datagram'' packets;
c.4. Routing or switching of ``fast select'' packets;
Note: The restrictions in 5A991.c.3 and c.4 do not apply to
networks restricted to using only ``network access controllers'' or
to ``network access controllers'' themselves.
c.5. Multi-level priority and pre-emption for circuit switching;
Note: 5A991.c.5. does not control single-level call preemption.
c.6. Designed for automatic hand-off of cellular radio calls to
other cellular switches or automatic connection to a centralized
subscriber data base common to more than one switch;
c.7. Containing ``stored program controlled'' digital
crossconnect equipment with ``digital transfer rate'' exceeding 8.5
Mbit/s per port.
c.8. Being packet switches, circuit switches and routers with
ports or lines exceeding any of the following:
c.8.a. A ``data signalling rate'' of 64,000 bit/s per channel
for a ``communications channel controller''; or
Note: 5A991.c.8.a. does not control multiplex composite links
composed only of communication channels not individually controlled
by 5A001.b.1.
c.8.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network
cess controller'' and related common media;
d. Centralized network control having all of the following
characteristics:
d.1. Receives data from the nodes; and
d.2. Process these data in order to provide control of traffic
not requiring operator decisions, and thereby performing ``dynamic
adaptive routing'';
Note: 5A991.d. does not preclude control of traffic as a
function of predictable statistical traffic conditions.
e. Phased array antennae, operating above 10.5 GHz, containing
active elements and distributed components, and designed to permit
electronic control of beam shaping and pointing, except for landing
systems with instruments meeting International Civil
[[Page 2521]]
Aviation Organization (ICAO) standards (microwave landing systems
(MLS)).
f. Mobile communications equipment, n.e.s., and assemblies and
components therefor; or
g. Radio relay communications equipment designed for use at
frequencies equal to or exceeding 19.7 GHz and assemblies and
components therefor, n.e.s.
B. Test, Inspection and Production Equipment
5B001 Equipment and specially designed components or accessories
therefor, specially designed for the ``development'', ``production'' or
``use'' of equipment, materials, functions or features controlled by
5A001, 5B001, 5C001, 5D001 or 5E001.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000
GBS: Yes
CIV: Yes
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 5B991. This entry does not control
optical fibers and ``optical fiber preform'' characterization
equipment not using semiconductor ``lasers''.
Related Definition: N/A
Items: The List of Items Controlled is contained in the ECCN
heading.
5B991 Telecommunications test equipment, n.e.s.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $1,000 for Syria; N/A to Iran
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
C. Materials
5C001 Preforms of glass or of any other material optimized for the
manufacture of optical fibers controlled by 5A001.d.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: Yes
CIV: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
D. Software
5D001 ``Software'', as described in the List of Items Controlled.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: Yes, except for ``software'' controlled by 5D001.b or .c, when
specially designed or modified for equipment, functions or features
controlled by 5A001.b.9
TSR: Yes, except for exports and reexports to destinations outside
of Austria, Belgium, Canada, Denmark, Finland, France, Germany,
Greece, Ireland, Italy, Luxembourg, the Netherlands, Portugal,
Spain, Sweden, or the United Kingdom of ``software'' controlled by
5D001.a and specially designed for items controlled by 5A001.b.9
List of Items Controlled
Unit: $ value
Related Controls: See also 5D991
Related Definitions: N/A
Items: a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment, functions
or features controlled by 5A001, 5B001 or 5C001.
b. ``Software'' specially designed or modified to support
``technology'' controlled by 5E001.
c. Specific ``software'' as follows:
c.1. ``Software'', other than in machine-executable form,
specially designed or modified for the ``use'' of digital cellular
radio equipment or systems;
c.2. ``Software'' specially designed or modified to provide
characteristics, functions or features of equipment controlled by
5A001 or 5B001;
c.3. ``Software'' which provides the capability of recovering
``source code'' of telecommunications ``software'' controlled by
5A001, 5B001, or 5C001;
c.4. ``Software'', other than in machine-executable form,
specially designed for ``dynamic adaptive routing''.
N.B.: For ``software'' for ``signal processing'' see also 4D and
6D.
5D101 ``Software'' designed or modified for the ``development'',
``production'' or ``use of items controlled by 5A101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5D991 ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of equipment controlled by
5A991 and 5B991.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
5E001 ``Technology'', (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain,
Sweden, or the United Kingdom of ``technology'' controlled by
5E001.a for the ``development'' or ``production'' of items
controlled by 5A001.b.9 or 5D001.a.
List of Items Controlled
Unit: $ value
Related Controls: See also 5E101 and 5E991
Related Definitions: N/A
Items: a. ``Technology'' according to the General Technology Note
for the ``development'', ``production'' or ``use''
[[Page 2522]]
(excluding operation) of equipment, functions or features, materials
or ``software'' controlled by 5A001, 5B001, 5C001 or 5D001.
b. Specific ``technologies'', as follows:
b.1. ``Required'' ``technology'' for the ``development'' or
``production'' of telecommunications equipment specially designed to
be used on board satellites;
b.2. ``Technology'' for the ``development'' or ``use'' of
``laser'' communication techniques with the capability of
automatically acquiring and tracking signals and maintaining
communications through exoatmosphere or sub-surface (water) media;
b.3. ``Technology'' for the processing and application of
coatings to optical fiber specially designed to make it suitable for
underwater use;
b.4. ``Technology'' for the ``development'' of equipment
employing ``Synchronous Digital Hierarchy'' (``SDH'') or
``Synchronous Optical Network'' (``SONET'') techniques;
b.5. ``Technology'' for the ``development'' of ``switch fabric''
exceeding 64,000 bit/s per information channel other than for
digital cross connect integrated in the switch;
b.6. ``Technology'' for the ``development'' of centralized
network control or ``dynamic adaptive routing'';
b.7. ``Technology'' for the ``development'' of digital cellular
radio systems;
b.8. ``Technology'' for the ``development'' of broadband
``Integrated Services Digital Network'' (``ISDN'');
b.9. ``Technology'' for the ``development'' of QAM techniques,
for radio equipment, above level 4;
b.10. ``Technology'' for the ``development'' of ``spread
spectrum'' or ``frequency agility'' (frequency hopping) techniques.
5E101 ``Technology'' according to the General Technology Note for the
``development'', ``production'' or ``use'' of equipment controlled by
5A101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5E111 ``Technology'' according to the General Technology Note for the
``development'', ``production'', or ``use'' of ``software'' controlled
by 5D101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
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.
5E991 ``Technology'' for the ``development'', ``production'' or
``use'' of equipment controlled by 5A991 or 5B991, or ``software''
controlled by 5D991.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Part 2--``Information Security''
Note: The control status of ``information security'' equipment,
``software'', systems, application specific ``electronic
assemblies'', modules, integrated circuits, components, or functions
is determined in Category 5, Part 2 even if they are components or
``electronic assemblies'' of other equipment.
A. Systems, Equipment and Components
5A002 Systems, equipment, application specific ``assemblies'',
modules or integrated circuits for ``information security'', and
specially designed components therefor.
License Requirements
Reason for Control: NS, AT, EI
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
EI applies to encryption items transferred from the U.S.
Munitions List to the Commerce Control List consistent with E.O.
13026 of November 15, 1996 (61 FR 58767) and pursuant to the
Presidential Memorandum of that date. Refer to Sec. 742.15 of the
EAR.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 5A992. This entry does not control: (a)
``Personalized smart cards'' or specially designed components
therefor, with any of the following characteristics: (1) Not capable
of message traffic encryption or encryption of user-supplied data or
related key management functions therefor; or (2) When restricted
for use in equipment or systems excluded from control under the note
to 5A002.c, or under paragraphs b through h of this note. (b)
Equipment containing ``fixed'' data compression or coding
techniques; (c) Receiving equipment for radio broadcast, pay
television or similar restricted audience television of the consumer
type, without digital encryption and where digital decryption is
limited to the video, audio or management functions; (d) Portable or
mobile radiotelephones for civil use (e.g., for use with commercial
civil cellular radiocommunications systems) that are not capable of
end-to-end encryption; (e) Decryption functions specially designed
to allow the execution of copy-protected ``software'', provided the
decryption functions are not user-accessible; (f) Access control
equipment, such as automatic teller machines, self-service statement
printers or point of sale terminals, that protects password or
personal identification numbers (PIN) or similar data to prevent
unauthorized access to facilities but does not allow for encryption
of files or text, except as directly related to the password or PIN
protection; (g) Data authentication equipment that calculates a
Message Authentication Code (MAC) or similar result to ensure no
alteration of text has taken place, or to authenticate users, but
does not allow for encryption of data, text or other media other
than that needed for the authentication; (h) Cryptographic equipment
specially designed and limited for use in machines for banking or
money transactions, such as automatic teller machines, self-service
statement printers or point of sale terminals.
Related Definitions: For the control of global navigation satellite
systems receiving equipment containing or employing decryption
(i.e., GPS or GLONASS see 7A005)
Items: a. Systems, equipment, application specific ``assemblies'',
modules or integrated circuits for ``information security'', and
specially designed components therefor:
a.1. Designed or modified to use ``cryptography'' employing
digital techniques to ensure ``information security'';
a.2. Designed or modified to perform cryptoanalytic functions;
a.3. Designed or modified to use ``cryptography'' employing
analog techniques to ensure ``information security'';
Note: 5A002.a.3 does not control the following:
1. Equipment using ``fixed'' band scrambling not exceeding 8
bands and in which the transpositions change not more frequently
than once every second;
2. Equipment using ``fixed'' band scrambling exceeding 8 bands
and in which the transpositions change not more frequently than once
every ten seconds;
[[Page 2523]]
3. Equipment using ``fixed'' frequency inversion and in which
the transpositions change not more frequently than once every
second;
4. Facsimile equipment;
5. Restricted audience broadcast equipment; and
6. Civil television equipment;
a.4. Designed or modified to suppress the compromising
emanations of information-bearing signals;
Note: 5A002.a.4 does not control equipment specially designed to
suppress emanations for reasons of health and safety.
a.5. Designed or modified to use cryptographic techniques to
generate the spreading code for ``spread spectrum'' or the hopping
code for ``frequency agility'' systems;
a.6. Designed or modified to provide certified or certifiable
``multilevel security'' or user isolation at a level exceeding Class
B2 of the Trusted Computer System Evaluation Criteria (TCSEC) or
equivalent;
a.7. Communications cable systems designed or modified using
mechanical, electrical or electronic means to detect surreptitious
intrusion.
5A992 ``Information security'' equipment, n.e.s.; (e.g.,
cryptographic, cryptoanalytic, and cryptologic equipment, n.e.s.), and
components therefor.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
B. Test, Inspection and Production Equipment
5B002 Information Security--test, inspection and ``production''
equipment.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Equipment specially designed for:
a.1. The ``development'' of equipment or functions controlled by
5A002, 5B002, 5D002 or 5E002, including measuring or test equipment;
a.2. The ``production'' of equipment or functions controlled by
5A002, 5B002, 5D002, or 5E002, including measuring, test, repair or
production equipment;
b. Measuring equipment specially designed to evaluate and
validate the ``information security'' functions controlled by 5A002
or 5D002.
C. Materials [Reserved]
D. Software
5D002 Information Security--``Software''.
License Requirements
Reason for Control: NS, AT, EI
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
EI applies to encryption items transferred from the U.S.
Munitions List to the Commerce Control List consistent with E.O.
13026 of November 15, 1996 (61 FR 58767) and pursuant to the
Presidential Memorandum of that date. Refer to Sec. 742.15 of the
EAR.
Note: Encryption software is controlled because of its
functional capacity, and not because of any informational value of
such software; such software is not accorded the same treatment
under the EAR as other ``software''; and for the export licensing
purposes encryption software is treated under the EAR in the same
manner as a commodity included in ECCN 5A002. License Exceptions for
commodities are not applicable.
Note: Encryption software controlled for EI reasons under this
entry remains subject to the EAR even when made publicly available
in accordance with part 734 of the EAR, and it is not eligible for
the General Software Note (``mass market'' treatment under License
Exception TSU for mass market software). After a one-time BXA
review, certain encryption software may be released from EI controls
and made eligible for the General Software Note treatment as well as
other provisions of the EAR applicable to software. Refer to
Sec. 742.15(b)(1) of the EAR and Supplement No. 6 to part 742 of the
EAR.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 5D992. This entry does not control
``software'' ``required'' for the ``use'' of equipment excluded from
control under 5A002 or ``software'' providing any of the functions
of equipment excluded from control under 5A002
Related Definitions: N/A
Items: a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or
``software'' controlled by 5A002, 5B002 or 5D002.
b. ``Software'' specially designed or modified to support
``technology'' controlled by 5E002.
c. Specific ``software'' as follows:
c.1. ``Software'' having the characteristics, or performing or
simulating the functions of the equipment controlled by 5A002 or
5B002;
c.2. ``Software'' to certify ``software'' controlled by
5D002.c.1.
5D992 ``Software'' not controlled by 5D002.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to 5D992.a and .b........... AT Column 1
AT applies to 5D992.c.................. AT Column 2
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Software'', specially designed or modified for the
``development'', ``production'', or ``use'' of information security
or cryptologic equipment (e.g., equipment controlled by 5A992)
b. ``Software'' having the characteristics, or performing or
simulating the functions of the equipment controlled by 5A992.
c. ``Software'' designed or modified to protect against
malicious computer damage, e.g., viruses.
E. Technology
5E002 ``Technology'' according to the General Technology Note for the
``development'', ``production'' or ``use'' of equipment controlled by
5A002 or 5B002 or ``software'' controlled by 5D002.
License Requirements
Reason for Control: NS, AT, EI
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
EI applies to encryption items transferred from the U.S.
Munitions List to the Commerce Control List consistent with E.O.
13026 of November 15, 1996 (61 FR 58767) and pursuant to the
Presidential Memorandum of that date.
Refer to Sec. 742.15 of the EAR
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: See also 5E992
[[Page 2524]]
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5E992 ``Technology'', n.e.s., for the ``development'', ``production'',
or ``use'' of ``information security'' or cryptologic equipment (e.g.,
equipment controlled by 5A992), or ``software'' controlled by 5D992.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
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.
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Category 6--Sensors and Lasers
A. Systems, Equipment and Components
6A001 Acoustics.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $3000; N/A for 6A001.a.2.a.1, a.2.a.2, a.2.a.7, a.2.b;
processing equipment controlled by 6A002.a.2.c, and specially
designed for real time application with towed acoustic hydrophone
arrays; a.2.e.1, a.2.e.2; and bottom or bay cable systems controlled
by 6A002.a.2.e.3 and having processing equipment specially designed
for real time application with bottom or bay cable systems
GBS: Yes for 6A001.a.1.b.4
CIV: Yes for 6A001.a.1.b.4
List of Items Controlled
Unit: $ value
Related Controls: See also 6A991
Related Definitions: N/A
Items: a. Marine acoustic systems, equipment and specially designed
components therefor, as follows: a.1. Active (transmitting or
transmitting-and-receiving) systems, equipment and specially
designed components therefor, as follows:
Note: 6A001.a.1 does not control:
a. Depth sounders operating vertically below the apparatus, not
including a scanning function exceeding 20 deg., and
limited to measuring the depth of water, the distance of submerged
or buried objects or fish finding;
b. Acoustic beacons, as follows:
1. Acoustic emergency beacons;
2. Pingers specially designed for relocating or returning to an
underwater position.
a.1.a. Wide-swath bathymetric survey systems designed for sea
bed topographic mapping, having all of the following:
a.1.a.1. Being designed to take measurements at an angle
exceeding 20 deg. from the vertical;
a.1.a.2. Being designed to measure depths exceeding 600 m below
the water surface; and
a.1.a.3. Being designed to provide any of the following:
a.1.a.3.a. Incorporation of multiple beams any of which is less
than 1.9 deg.; or
a.1.a.3.b. Data accuracies of better than 0.3% of water depth
across the swath averaged over the individual measurements within
the swath;
a.1.b. Object detection or location systems having any of the
following:
a.1.b.1. A transmitting frequency below 10 Khz;
a.1.b.2. Sound pressure level exceeding 224 Db (reference 1
Pa at 1 m) for equipment with an operating frequency in the
band from 10 Khz to 24 Khz inclusive;
a.1.b.3. Sound pressure level exceeding 235 Db (reference 1
Pa at 1 m) for equipment with an operating frequency in the
band between 24 Khz and 30 Khz;
a.1.b.4. Forming beams of less than 1 deg. on any axis and
having an operating frequency of less than 100 Khz;
a.1.b.5. Designed to operate with an unambiguous display range
exceeding 5,120 m; or
a.1.b.6. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m and having transducers with any of the
following:
a.1.b.6.a. Dynamic compensation for pressure; or
a.1.b.6.b. Incorporating other than lead zirconate titanate as
the transduction element;
a.1.c. Acoustic projectors, including transducers, incorporating
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or
hydraulic elements operating individually or in a designed
combination, having any of the following:
Notes: 1. The control status of acoustic projectors, including
transducers, specially designed for other equipment is determined by
the control status of the other equipment.
2. 6A001.a.1.c does not control electronic sources that direct
the sound vertically only, or mechanical (e.g., air gun or vapor-
shock gun) or chemical (e.g., explosive) sources.
a.1.c.1. An instantaneous radiated acoustic power density
exceeding 0.01 mW/mm2/Hz for devices operating at
frequencies below 10 Khz;
a.1.c.2. A continuously radiated acoustic power density
exceeding 0.001 Mw/mm2/Hz for devices operating at
frequencies below 10 Khz;
Technical Note: Acoustic power density is obtained by dividing
the output acoustic power by the product of the area of the
radiating surface and the frequency of operation.
a.1.c.3. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m; or
a.1.c.4. Side-lobe suppression exceeding 22 Db;
a.1.d. Acoustic systems, equipment and specially designed
components for determining the position of surface vessels or
underwater vehicles having any of the following:
Note: 6A001.a.1.d includes:
a. Equipment using coherent ``signal processing'' between two or
more beacons and the hydrophone unit carried by the surface vessel
or underwater vehicle;
b. Equipment capable of automatically correcting speed-of-sound
propagation errors for calculation of a point.
a.1.d.1. Designed to operate at a range exceeding 1,000 m with a
positioning accuracy of less than 10 m rms (root mean square) when
measured at a range of 1,000 m; or
a.1.d.2. Designed to withstand pressure at depths exceeding
1,000 m;
a.2. Passive (receiving, whether or not related in normal
application to separate active equipment) systems, equipment and
specially designed components therefor, as follows:
a.2.a. Hydrophones (transducers) having any of the following
characteristics:
a.2.a.1. Incorporating continuous flexible sensors or assemblies
of discrete sensor elements with either a diameter or length less
than 20 mm and with a separation between elements of less than 20
mm;
a.2.a.2. Having any of the following sensing elements:
a.2.a.2.a. Optical fibers;
a.2.a.2.b. Piezoelectric polymers; or
a.2.a.2.c. Flexible piezoelectric ceramic materials;
a.2.a.3. A hydrophone sensitivity better than -180 Db at any
depth with no acceleration compensation;
a.2.a.4. When designed to operate at depths not exceeding 35 m,
a hydrophone sensitivity better than -186 Db with acceleration
compensation;
a.2.a.5. When designed for normal operation at depths exceeding
35 m, a hydrophone sensitivity better than -192 Db with acceleration
compensation;
a.2.a.6. When designed for normal operation at depths exceeding
100 m, a hydrophone sensitivity better than -204 Db; or
a.2.a.7. Designed for operation at depths exceeding 1,000 m;
Technical Note: Hydrophone sensitivity is defined as twenty
times the logarithm to the base 10 of the ratio of rms output
voltage to a 1 V rms reference, when the hydrophone sensor, without
a pre-amplifier, is placed in a plane wave acoustic field with an
rms pressure of 1 Pa. For example, a hydrophone of -160 Db
(reference 1 V per Pa) would yield an output voltage of
10-8 V in such a field, while one of -180 Db sensitivity
would yield only 10-9 V output. Thus, -160 Db is better
than -180 Db.
a.2.b. Towed acoustic hydrophone arrays having any of the
following:
a.2.b.1. Hydrophone group spacing of less than 12.5 m;
[[Page 2525]]
a.2.b.2. Hydrophone group spacing of 12.5 m to less than 25 m
and designed or able to be modified to operate at depths exceeding
35 m;
Technical Note: ``Able to be modified'' in 6A001.a.2.b.2 means
having provisions to allow a change of the wiring or
interconnections to alter hydrophone group spacing or operating
depth limits. These provisions are: spare wiring exceeding 10% of
the number of wires, hydrophone group spacing adjustment blocks or
internal depth limiting devices that are adjustable or that control
more than one hydrophone group.
a.2.b.3. Hydrophone group spacing of 25 m or more and designed
to operate at depths exceeding 100 m;
a.2.b.4. Heading sensors controlled by 6A001.a.2.d;
a.2.b.5. Longitudinally reinforced array hoses;
a.2.b.6. An assembled array of less than 40 mm in diameter;
a.2.b.7. Multiplexed hydrophone group signals designed to
operate at depths exceeding 35 m or having an adjustable or
removable depth sensing device in order to operate at depths
exceeding 35 m; or
a.2.b.8. Hydrophone characteristics controlled by 6A001.a.2.a;
a.2.c. Processing equipment, specially designed for towed
acoustic hydrophone arrays, having ``user accessible
programmability'' and time or frequency domain processing and
correlation, including spectral analysis, digital filtering and
beamforming using Fast Fourier or other transforms or processes;
a.2.d. Heading sensors having all of the following:
a.2.d.1. An accuracy of better than 0.5 deg.; and
a.2.d.2. Any of the following:
a.2.d.2.a. Designed to be incorporated within the array hosing
and to operate at depths exceeding 35 m or having an adjustable or
removable depth sensing device in order to operate at depths
exceeding 35 m; or
a.2.d.2.b. Designed to be mounted external to the array hosing
and having a sensor unit capable of operating with 360 deg. roll at
depths exceeding 35 m;
a.2.e. Bottom or bay cable systems having any of the following:
a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a;
a.2.e.2. Incorporating multiplexed hydrophone group signals
designed to operate at depths exceeding 35 m or having an adjustable
or removable depth sensing device in order to operate at depths
exceeding 35 m; or
a.2.e.3. Processing equipment, specially designed for bottom or
bay cable systems, having ``user accessible programmability'' and
time or frequency domain processing and correlation, including
spectral analysis, digital filtering and beamforming using Fast
Fourier or other transforms or processes;
b. Correlation-velocity sonar log equipment designed to measure
the horizontal speed of the equipment carrier relative to the sea
bed at distances between the carrier and the sea bed exceeding 500
m.
6A002 Optical sensors.
License Requirements
Reason for Control: NS, MT, CC, RS, AT, UN
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to optical detectors in MT Column 1
6A002.a.1, a.3, and .e that are
specially designed or rated as
electomagnetic (including ``lasers'')
and ionized particle radiation
resistant.
RS applies to 6A002.a.1, a.2, a.3 and RS Column 1
.c.
CC applies to police-model infrared CC Column 1
viewers in 6A002.c.
AT applies to entire entry............. AT Column 1
UN applies to 6A002.a.1, a.2, a.3 and c Rwanda
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $3000, except N/A for MT and for 6A002.a.1, a.2, a.3, .c, and
.e
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Parts and accessories in $ value
Related Controls: See also 6A102, 6A202, and 6A992
Related Definitions: (1) ``Image intensifiers'' defined in 6A002.a.2
and ``focal plane arrays'' defined in 6A002.a.3 specially designed,
modified, or configured for military use and not part of civil
equipment are subject to the export licensing authority of U.S.
Department of State, Office of Defense Trade Controls (22 CFR part
121). (2) ``Space qualified'' ``monospectral imaging sensors'', and
``multispectral imaging sensors'' defined in 6A002.b, and ``space-
qualified'' ``focal plane arrays'' defined in 6A002.e, specially
designed or modified for items on the U.S. Munitions List are
subject to the export licensing authority of the Department of
State, Office of Defense Trade Controls (22 CFR part 121)
Items: a. Optical detectors, as follows:
Note: 6A002.a does not control germanium or silicon
photodevices.
a.1. ``Space-qualified'' solid-state detectors, as follows:
a.1.a. ``Space-qualified'' solid-state detectors, having all of
the following:
a.1.a.1. A peak response in the wavelength range exceeding 10 nm
but not exceeding 300 nm; and
a.1.a.2. A response of less than 0.1% relative to the peak
response at a wavelength exceeding 400 nm;
a.1.b. ``Space-qualified'' solid-state detectors, having all of
the following:
a.1.b.1. A peak response in the wavelength range exceeding 900
nm but not exceeding 1,200 nm; and
a.1.b.2. A response ``time constant'' of 95 ns or less;
a.1.c. ``Space-qualified'' solid-state detectors having a peak
response in the wavelength range exceeding 1,200 nm but not
exceeding 30,000 nm;
a.2. Image intensifier tubes and specially designed components
therefor, as follows:
a.2.a. Image intensifier tubes having all of the following:
a.2.a.1. A peak response in the wavelength range exceeding 400
nm but not exceeding 1,050 nm;
a.2.a.2. A microchannel plate for electron image amplification
with a hole pitch (center-to-center spacing) of 15 m or
less; and
a.2.a.3. Photocathodes, as follows:
a.2.a.3.a. S-20, S-25 or multialkali photocathodes with a
luminous sensitivity exceeding 240 A/lm;
a.2.a.3.b. GaAs or GaInAs photocathodes; or
a.2.a.3.c. Other III-V compound semiconductor photocathodes;
Note: 6A002.a.2.a.3.c does not control compound semiconductor
photocathodes with a maximum radiant sensitivity of 10 mA/W or less.
a.2.b. Specially designed components, as follows:
a.2.b.1. Microchannel plates having a hole pitch (center-to-
center spacing) of 15 m or less;
a.2.b.2. GaAs or GaInAs photocathodes;
a.2.b.3. Other III-V compound semiconductor photocathodes;
Note: 6A002.a.2.b.3 does not control compound semiconductor
photocathodes with a maximum radiant sensitivity of 10 mA/W or less.
a.3. Non-''space-qualified'' ``focal plane arrays'', as follows:
Technical Note: Linear or two-dimensional multi-element detector
arrays are referred to as ``focal plane arrays''.
Notes: 1. 6A002.a.3 includes photoconductive arrays and
photovoltaic arrays.
2. 6A002.a.3 does not control silicon ``focal plane arrays'',
multi-element (not to exceed 16 elements) encapsulated
photoconductive cells or pyroelectric detectors using any of the
following:
a. Lead sulphide;
b. Triglycine sulphate and variants;
c. Lead-lanthanum-zirconium titanate and variants;
d. Lithium tantalate;
e. Polyvinylidene fluoride and variants;
f. Strontium barium niobate and variants; or
g. Lead selenide.
a.3.a. Non-``space-qualified'' ``focal plane arrays'', having
all of the following:
a.3.a.1. Individual elements with a peak response within the
wavelength range exceeding 900 nm but not exceeding 1,050 nm; and
a.3.a.2. A response ``time constant'' of less than 0.5 ns;
a.3.b. Non-``space-qualified'' ``focal plane arrays'', having
all of the following:
a.3.b.1. Individual elements with a peak response in the
wavelength range exceeding 1,050 nm but not exceeding 1,200 nm; and
a.3.b.2. A response ``time constant'' of 95 ns or less;
[[Page 2526]]
a.3.c. Non-``space-qualified'' ``focal plane arrays'', having
individual elements with a peak response in the wavelength range
exceeding 1,200 nm but not exceeding 30,000 nm.
b. ``Monospectral imaging sensors'' and ``multispectral imaging
sensors'' designed for remote sensing applications, having any of
the following:
b.1. An Instantaneous-Field-Of-View (IFOV) of less than 200
r (microradians); or
b.2. Being specified for operation in the wavelength range
exceeding 400 nm but not exceeding 30,000 nm and having all the
following;
b.2.a. Providing output imaging data in digital format; and
b.2.b. Being any of the following:
b.2.b.1. ``Space-qualified''; or
b.2.b.2. Designed for airborne operation, using other than
silicon detectors, and having an IFOV of less than 2.5 mr
(milliradians).
c. Direct view imaging equipment operating in the visible or
infrared spectrum, incorporating any of the following:
c.1. Image intensifier tubes having the characteristics listed
in 6A002.a.2.a; or
c.2. ``Focal plane arrays'' having the characteristics listed in
6A002.a.3.
Technical Note: ``Direct view'' refers to imaging equipment,
operating in the visible or infrared spectrum, that presents a
visual image to a human observer without converting the image into
an electronic signal for television display, and that cannot record
or store the image photographically, electronically or by any other
means.
Note: 6A002.c does not control the following equipment
incorporating other than GaAs or GaInAs photocathodes:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Medical equipment;
c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
d. Flame detectors for industrial furnaces;
e. Equipment specially designed for laboratory use.
d. Special support components for optical sensors, as follows:
d.1. ``Space-qualified'' cryocoolers;
d.2. Non-''space-qualified'' cryocoolers, having a cooling
source temperature below 218 K (-55 deg. C), as follows:
d.2.a. Closed cycle type with a specified Mean-Time-To-Failure
(MTTF), or Mean-Time-Between-Failures (MTBF), exceeding 2,500 hours;
d.2.b. Joule-Thomson (JT) self-regulating minicoolers having
bore (outside) diameters of less than 8 mm;
d.3. Optical sensing fibers specially fabricated either
compositionally or structurally, or modified by coating, to be
acoustically, thermally, inertially, electromagnetically or nuclear
radiation sensitive.
e. ``Space qualified'' ``focal plane arrays'' having more than
2,048 elements per array and having a peak response in the
wavelength range exceeding 300 nm but not exceeding 900 nm.
6A003 Cameras.
License Requirements
Reason for Control: NS, NP, RS, AT, UN
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to items controlled in NP Column 1
paragraphs 6A003.a.2, a.3 and a.4.
RS applies to items controlled in RS Column 1
6A003.b.3 and b.4.
AT applies to entire entry............. AT Column 1
UN applies to items controlled in Rwanda
6A003.b.3 and b.4.
License Exceptions
LVS: $1500, except N/A for 6A003.a.2 through a.5, b.1, b.3 and b.4
GBS: Yes for 6A003.a.1
CIV: Yes for 6A003.a.1
List of Items Controlled
Unit: Number
Related Controls: See also 6A203. See 8A002.d and .e for cameras
specially designed or modified for underwater use.
Related Definitions: N/A
Items: a. Instrumentation cameras, as follows:
a.1. High-speed cinema recording cameras using any film format
from 8 mm to 16 mm inclusive, in which the film is continuously
advanced throughout the recording period, and that are capable of
recording at framing rates exceeding 13,150 frames/s;
Note: 6A003.a.1 does not control cinema recording cameras for
normal civil purposes.
a.2. Mechanical high speed cameras, in which the film does not
move, capable of recording at rates exceeding 1,000,000 frames/s for
the full framing height of 35 mm film, or at proportionately higher
rates for lesser frame heights, or at proportionately lower rates
for greater frame heights;
a.3. Mechanical or electronic streak cameras having writing
speeds exceeding 10 mm/s;
a.4. Electronic framing cameras having a speed exceeding
1,000,000 frames/s;
a.5. Electronic cameras, having all of the following:
a.5.a. An electronic shutter speed (gating capability) of less
than 1 s per full frame; and
a.5.b. A read out time allowing a framing rate of more than 125
full frames per second.
b. Imaging cameras, as follows:
Note: 6A003.b does not control television or video cameras
specially designed for television broadcasting.
b.1. Video cameras incorporating solid state sensors, having any
of the following:
b.1.a. More than 4 x 106 ``active pixels'' per
solid state array for monochrome (black and white) cameras;
b.1.b. More than 4 x 106 ``active pixels'' per
solid state array for color cameras incorporating three solid state
arrays; or
b.1.c. More than 12 x 106 ``active pixels'' for
solid state array color cameras incorporating one solid state array;
b.2. Scanning cameras and scanning camera systems, having all of
the following:
b.2.a. Linear detector arrays with more than 8,192 elements per
array; and
b.2.b. Mechanical scanning in one direction;
b.3. Imaging cameras incorporating image intensifiers having the
characteristics listed in 6A002.a.2.a;
b.4. Imaging cameras incorporating ``focal plane arrays'' having
the characteristics listed in 6A002.a.3.
6A004 Optics.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $3000
GBS: Yes for 6A004.a.1, a.2, a.4, b, d.2, and d.4
CIV: Yes for 6A004.a.1, a.2, a.4, b, d.2, and d.4
List of Items Controlled
Unit: Equipment in number; cable in meters/feet; components in $
value
Related Controls: See also 6A994
Related Definitions: N/A
Items: a. Optical mirrors (reflectors), as follows:
a.1. ``Deformable mirrors'' having either continuous or multi-
element surfaces, and specially designed components therefor,
capable of dynamically repositioning portions of the surface of the
mirror at rates exceeding 100 Hz;
a.2. Lightweight monolithic mirrors having an average
``equivalent density'' of less than 30 kg/m2 and a total
mass exceeding 10 kg;
a.3. Lightweight ``composite'' or foam mirror structures having
an average ``equivalent density'' of less than 30 kg/m2
and a total mass exceeding 2 kg;
a.4. Beam steering mirrors more than 100 mm in diameter or
length of major axis, that maintain a flatness of lambda/2 or better
(lambda is equal to 633 nm) having a control bandwidth exceeding 100
Hz.
b. Optical components made from zinc selenide (ZnSe) or zinc
sulphide (ZnS) with transmission in the wavelength range exceeding
3,000 nm but not exceeding 25,000 nm and having any of the
following:
b.1. Exceeding 100 cm3 in volume; or
b.2. Exceeding 80 mm in diameter or length of major axis and 20
mm in thickness (depth).
c. ``Space-qualified'' components for optical systems, as
follows:
c.1. Lightweighted to less than 20% ``equivalent density''
compared with a solid blank of the same aperture and thickness;
c.2. Substrates, substrates having surface coatings (single-
layer or multi-layer, metallic or dielectric, conducting,
semiconducting or insulating) or having protective films;
c.3. Segments or assemblies of mirrors designed to be assembled
in space into an optical system with a collecting aperture
[[Page 2527]]
equivalent to or larger than a single optic 1 m in diameter;
c.4. Manufactured from ``composite'' materials having a
coefficient of linear thermal expansion equal to or less than 5 x
10-6 in any coordinate direction.
d. Optical control equipment, as follows:
d.1. Specially designed to maintain the surface figure or
orientation of the ``space-qualified'' components controlled by
6A004.c.1 or 6A004.c.3;
d.2. Having steering, tracking, stabilization or resonator
alignment bandwidths equal to or more than 100 Hz and an accuracy of
10 r (microradians) or less;
d.3. Gimbals having all of the following:
d.3.a. A maximum slew exceeding 5 deg.;
d.3.b. A bandwidth of 100 Hz or more;
d.3.c. Angular pointing errors of 200 r (microradians)
or less; and
d.3.d. Having any of the following:
d.3.d.1. Exceeding 0.15 m but not exceeding 1 m in diameter or
major axis length and capable of angular accelerations exceeding 2 r
(radians)/s\2\; or
d.3.d.2. Exceeding 1 m in diameter or major axis length and
capable of angular accelerations exceeding 0.5 r (radians)/s\2\;
d.4. Specially designed to maintain the alignment of phased
array or phased segment mirror systems consisting of mirrors with a
segment diameter or major axis length of 1 m or more.
6A005 ``Lasers'', components and optical equipment, as follows (see
List of Items Controlled).
License Requirements.
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to 6A005.a.1.c, a.2.a (with NP Column 1
an output power > 40W), a.4.c, a.6,
(argon ion lasers only), c.1.b (with
an output power > 30W), c.2.c.2.a
(with an output power > 40W),
c.2.c.2.b (with an output power >
40W), c.2.d.2.b (with an output power
> 40W), and d.2.c.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A for NP items
$3000 for all other items
GBS: Yes, for 6A005.d (except d.2.c), CO2 or CO/
CO2 ``lasers'' having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J
per pulse and a maximum rated average single or multimode output
power not exceeding 5 Kw; CO ``lasers'' having a CW maximum rated
single or multimode output power not exceeding 10 Kw; CO2
``lasers'' controlled by 6A005.a.4 that operate in CW multiple-
transverse mode; and having a CW output power not exceeding 15 Kw;
Neodymium-doped (other than glass), pulse-excited, ``Q-switched
lasers'' controlled by 6A005.c.2.b.2.b having a pulse duration equal
to or more than 1 ns; and a multiple-transverse mode output with a
``peak power'' not exceeding 400 MW; Neodymium-doped (other than
glass) ``lasers'' controlled by 6A005.c.2.b.3.b or 6A005.c.2.b.4.b
that have an output wavelength exceeding 1,000 nm, but not exceeding
1,100 nm; and an average or CW output power not exceeding 2 Kw; and
operate in a pulse-excited, non-''Q-switched'' multiple-transverse
mode; or in a continuously excited, multiple-transverse mode; and
6A005.g.1.
CIV: Yes, for 6A005..d (except d.2.c), CO2 or CO/
CO2 ``lasers'' having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J
per pulse and a maximum rated average single or multimode output
power not exceeding 5 Kw; CO ``lasers'' having a CW maximum rated
single or multimode output power not exceeding 10 Kw; CO2
``lasers'' controlled by 6A005.a.4 that operate in CW multiple-
transverse mode; and having a CW output power not exceeding 15 Kw;
Neodymium-doped (other than glass), pulse-excited, ``Q-switched
lasers'' controlled by 6A005.c.2.b.2.b having a pulse duration equal
to or more than 1 ns; and a multiple-transverse mode output with a
``peak power'' not exceeding 400 MW; Neodymium-doped (other than
glass) ``lasers'' controlled by 6A005.c.2.b.3.b or 6A005.c.2.b.4.b
that have an output wavelength exceeding 1,000 nm, but not exceeding
1,100 nm; and an average or CW output power not exceeding 2 Kw; and
operate in a pulse-excited, non-``Q-switched'' multiple-transverse
mode; or in a continuously excited, multiple-transverse mode; and
6A005.g.1.
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 6A205, 6A995, 0B001.g.5 and 0B001.b.6.
Shared aperture optical elements, capable of operating in ``super-
high power laser'' applications are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. (See 22 CFR part 121.)
Related Definitions: (1) Pulsed ``lasers'' include those that run in
a continuous wave (CW) mode with pulses superimposed. (2) Pulse-
excited ``lasers'' include those that run in a continuously excited
mode with pulse excitation superimposed. (3) The control status of
Raman ``lasers'' is determined by the parameters of the pumping
source ``lasers''. The pumping source ``lasers'' can be any of the
``lasers'' described as follows:
Items: a. Gas ``lasers'', as follows:
a.1. Excimer ``lasers'', having any of the following:
a.1.a. An output wavelength not exceeding 150 nm and having any
of the following:
a.1.a.1. An output energy exceeding 50 mJ per pulse; or
a.1.a.2. An average or CW output power exceeding 1 W;
a.1.b. An output wavelength exceeding 150 nm but not exceeding
190 nm and having any of the following:
a.1.b.1. An output energy exceeding 1.5 J per pulse; or
a.1.b.2. An average or CW output power exceeding 120 W;
a.1.c. An output wavelength exceeding 190 nm but not exceeding
360 nm and having any of the following:
a.1.c.1. An output energy exceeding 10 J per pulse; or
a.1.c.2. An average or CW output power exceeding 500 W; or
a.1.d. An output wavelength exceeding 360 nm and having any of
the following:
a.1.d.1. An output energy exceeding 1.5 J per pulse; or
a.1.d.2. An average or CW output power exceeding 30 W;
a.2. Metal vapor ``lasers'', as follows:
a.2.a. Copper (Cu) ``lasers'' having an average or CW output
power exceeding 20 W;
a.2.b. Gold (Au) ``lasers'' having an average or CW output power
exceeding 5 W;
a.2.c. Sodium (Na) ``lasers'' having an output power exceeding 5
W;
a.2.d. Barium (Ba) ``lasers'' having an average or CW output
power exceeding 2 W;
a.3. Carbon monoxide (CO) ``lasers'' having any of the
following:
a.3.a. An output energy exceeding 2 J per pulse and a pulsed
``peak power'' exceeding 5 Kw; or
a.3.b. An average or CW output power exceeding 5 Kw;
a.4. Carbon dioxide (CO2) ``lasers'' having any of
the following:
a.4.a. A CW output power exceeding 15 Kw;
a.4.b. A pulsed output having a ``pulse duration'' exceeding 10
s and having any of the following:
a.4.b.1. An average output power exceeding 10 Kw; or
a.4.b.2. A pulsed ``peak power'' exceeding 100 Kw; or
a.4.c. A pulsed output having a ``pulse duration'' equal to or
less than 10 s; and having any of the following:
a.4.c.1. A pulse energy exceeding 5 J per pulse; or
a.4.c.2. An average output power exceeding 2.5 Kw;
a.5. ``Chemical lasers'', as follows:
a.5.a. Hydrogen Fluoride (HF) ``lasers'';
a.5.b. Deuterium Fluoride (DF) ``lasers'';
a.5.c. ``Transfer lasers'', as follows:
a.5.c.1. Oxygen Iodine (O2-I) ``lasers'';
a.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO2)
``lasers'';
a.6. Gas discharge and ion ``lasers'' (i.e., krypton ion or
argon ion ``lasers'') having any of the following:
a.6.a. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 50 W; or
a.6.b. An average or CW output power exceeding 50 W;
a.7. Other gas ``lasers'', having any of the following:
Note: 6A005.a.7 does not control nitrogen ``lasers''.
a.7.a. An output wavelength not exceeding 150 nm and having any
of the following:
a.7.a.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
a.7.a.2. An average or CW output power exceeding 1 W;
[[Page 2528]]
a.7.b. An output wavelength exceeding 150 nm but not exceeding
800 nm and having any of the following:
a.7.b.1. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 30 W; or
a.7.b.2. An average or CW output power exceeding 30 W;
a.7.c. An output wavelength exceeding 800 nm but not exceeding
1,400 nm and having any of the following:
a.7.c.1. An output energy exceeding 0.25 J per pulse and a
pulsed ``peak power'' exceeding 10 W; or
a.7.c.2. An average or CW output power exceeding 10 W; or
a.7.d. An output wavelength exceeding 1,400 nm and an average or
CW output power exceeding 1 W.
b. Individual, multiple-transverse mode semiconductor ``lasers''
and arrays of individual semiconductor ``lasers'', having any of the
following:
b.1. An output energy exceeding 500 J per pulse and a
pulsed ``peak power'' exceeding 10 W; or
b.2. An average or CW output power exceeding 10 W.
Technical Note: Semiconductor ``lasers'' are commonly called
``laser'' diodes.
Note 1: 6A005.b includes semiconductor ``lasers'' having optical
output connectors (e.g. fiber optic pigtails).
Note 2: The control status of semiconductor ``lasers'' specially
designed for other equipment is determined by the control status of
the other equipment.
c. Solid state ``lasers'', as follows:
c.1. ``Tunable'' ``lasers'' having any of the following:
Note: 6A005.c.1 includes titanium--sapphire (Ti:
Al2O3), thulium--YAG (Tm: YAG), thulium--YSGG
(Tm: YSGG), alexandrite (Cr: BeAl2O4) and
color center ``lasers''.
c.1.a. An output wavelength less than 600 nm and having any of
the following:
c.1.a.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
c.1.a.2. An average or CW output power exceeding 1 W;
c.1.b. An output wavelength of 600 nm or more but not exceeding
1,400 nm and having any of the following:
c.1.b.1. An output energy exceeding 1 J per pulse and a pulsed
``peak power'' exceeding 20 W; or
c.1.b.2. An average or CW output power exceeding 20 W; or
c.1.c. An output wavelength exceeding 1,400 nm and having any of
the following:
c.1.c.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
c.1.c.2. An average or CW output power exceeding 1 W;
c.2. Non-``tunable'' ``lasers'', as follows:
Note: 6A005.c.2 includes atomic transition solid state
``lasers''.
c.2.a. Neodymium glass ``lasers'', as follows:
c.2.a.1. ``Q-switched lasers'' having any of the following:
c.2.a.1.a. An output energy exceeding 20 J but not exceeding 50
J per pulse and an average output power exceeding 10 W; or
c.2.a.1.b. An output energy exceeding 50 J per pulse;
c.2.a.2. Non-``Q-switched lasers'' having any of the following:
c.2.a.2.a. An output energy exceeding 50 J but not exceeding 100
J per pulse and an average output power exceeding 20 W; or
c.2.a.2.b. An output energy exceeding 100 J per pulse;
c.2.b. Neodymium-doped (other than glass) ``lasers'', having an
output wavelength exceeding 1,000 nm but not exceeding 1,100 nm, as
follows:
N.B.: For neodymium-doped (other than glass) ``lasers'' having
an output wavelength not exceeding 1,000 nm or exceeding 1,100 nm,
see 6A005.c.2.d.
c.2.b.1. Pulse-excited, mode-locked, ``Q-switched lasers''
having a ``pulse duration'' of less than 1 ns and having any of the
following:
c.2.b.1.a. A ``peak power'' exceeding 5 GW;
c.2.b.1.b. An average output power exceeding 10 W; or
c.2.b.1.c. A pulsed energy exceeding 0.1 J;
c.2.b.2. Pulse-excited, ``Q-switched lasers'' having a pulse
duration equal to or more than 1 ns, and having any of the
following:
c.2.b.2.a. A single-transverse mode output having:
c.2.b.2.a.1. A ``peak power'' exceeding 100 MW;
c.2.b.2.a.2. An average output power exceeding 20 W; or
c.2.b.2.a.3. A pulsed energy exceeding 2 J; or
c.2.b.2.b. A multiple-transverse mode output having:
c.2.b.2.b.1. A ``peak power'' exceeding 400 MW;
c.2.b.2.b.2. An average output power exceeding 2 kW; or
c.2.b.2.b.3. A pulsed energy exceeding 2 J;
c.2.b.3. Pulse-excited, non-``Q-switched lasers'', having:
c.2.b.3.a. A single-transverse mode output having:
c.2.b.3.a.1. A ``peak power'' exceeding 500 kW; or
c.2.b.3.a.2. An average output power exceeding 150 W; or
c.2.b.3.b. A multiple-transverse mode output having:
c.2.b.3.b.1. A ``peak power'' exceeding 1 MW; or
c.2.b.3.b.2. An average power exceeding 2 kW;
c.2.b.4. Continuously excited ``lasers'' having:
c.2.b.4.a. A single-transverse mode output having:
c.2.b.4.a.1. A ``peak power'' exceeding 500 kW; or
c.2.b.4.a.2. An average or CW output power exceeding 150 W; or
c.2.b.4.b. A multiple-transverse mode output having:
c.2.b.4.b.1. A ``peak power'' exceeding 1 MW; or
c.2.b.4.b.2. An average or CW output power exceeding 2 kW;
c.2.c. Other non-``tunable'' ``lasers'', having any of the
following:
c.2.c.1. A wavelength less than 150 nm and having any of the
following:
c.2.c.1.a. An output energy exceeding 50 mJ per pulse and a
pulsed ``peak power'' exceeding 1 W; or
c.2.c.1.b. An average or CW output power exceeding 1 W;
c.2.c.2. A wavelength of 150 nm or more but not exceeding 800 nm
and having any of the following:
c.2.c.2.a. An output energy exceeding 1.5 J per pulse and a
pulsed ``peak power'' exceeding 30 W; or
c.2.c.2.b. An average or CW output power exceeding 30 W;
c.2.c.3. A wavelength exceeding 800 nm but not exceeding 1,400
nm, as follows:
c.2.c.3.a. ``Q-switched lasers'' having:
c.2.c.3.a.1. An output energy exceeding 0.5 J per pulse and a
pulsed ``peak power'' exceeding 50 W; or
c.2.c.3.a.2. An average output power exceeding:
c.2.c.3.a.2.a. 10 W for single-mode ``lasers'';
c.2.c.3.a.2.b. 30 W for multimode ``lasers'';
c.2.c.3.b. Non-''Q-switched lasers'' having:
c.2.c.3.b.1. An output energy exceeding 2 J per pulse and a
pulsed ``peak power'' exceeding 50 W; or
c.2.c.3.b.2. An average or CW output power exceeding 50 W; or
c.2.c.4. A wavelength exceeding 1,400 nm and having any of the
following:
c.2.c.4.a. An output energy exceeding 100 mJ per pulse and a
pulsed ``peak power'' exceeding 1 W; or
c.2.c.4.b. An average or CW output power exceeding 1 W;
d. Dye and other liquid ``lasers'', having any of the following:
d.1. A wavelength less than 150 nm and:
d.1.a. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
d.1.b. An average or CW output power exceeding 1 W;
d.2. A wavelength of 150 nm or more but not exceeding 800 nm and
having any of the following:
d.2.a. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 20 W;
d.2.b. An average or CW output power exceeding 20 W; or
d.2.c. A pulsed single longitudinal mode oscillator having an
average output power exceeding 1 W and a repetition rate exceeding 1
Khz if the ``pulse duration'' is less than 100 ns;
d.3. A wavelength exceeding 800 nm but not exceeding 1,400 nm
and having any of the following:
d.3.a. An output energy exceeding 0.5 J per pulse and a pulsed
``peak power'' exceeding 10 W; or
d.3.b. An average or CW output power exceeding 10 W; or
d.4. A wavelength exceeding 1,400 nm and having any of the
following:
d.4.a. An output energy exceeding 100 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
d.4.b. An average or CW output power exceeding 1 W;
e. Components, as follows:
e.1. Mirrors cooled either by active cooling or by heat pipe
cooling;
[[Page 2529]]
Technical Note: Active cooling is a cooling technique for
optical components using flowing fluids within the subsurface
(nominally less than 1 mm below the optical surface) of the optical
component to remove heat from the optic.
e.2. Optical mirrors or transmissive or partially transmissive
optical or electro-optical components specially designed for use
with controlled ``lasers'';
f. Optical equipment, as follows:
(For shared aperture optical elements, capable of operating in
``Super-High Power Laser'' (``SHPL'') applications, see the U.S.
Munitions List.)
f.1. Dynamic wavefront (phase) measuring equipment capable of
mapping at least 50 positions on a beam wavefront having any of the
following:
f.1.a. Frame rates equal to or more than 100 Hz and phase
discrimination of at least 5% of the beam's wavelength; or
f.1.b. Frame rates equal to or more than 1,000 Hz and phase
discrimination of at least 20% of the beam's wavelength;
f.2. ``Laser'' diagnostic equipment capable of measuring
``SHPL'' system angular beam steering errors of equal to or less
than 10 rad;
f.3. Optical equipment and components specially designed for a
phased-array ``SHPL'' system for coherent beam combination to an
accuracy of lambda/10 at the designed wavelength, or 0.1 m,
whichever is the smaller;
f.4. Projection telescopes specially designed for use with
``SHPL'' systems.
6A006 ``Magnetometers'', ``magnetic gradiometers'', ``intrinsic
magnetic gradiometers'' and compensation systems, and specially
designed components therefor, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $1500
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 6A996. This entry does not control
instruments specially designed for biomagnetic measurements for
medical diagnostics.
Related Definitions: N/A
Items: a. ``Magnetometers'' using ``superconductive'', optically
pumped or nuclear precession (proton/Overhauser) ``technology''
having a ``noise level'' (sensitivity) lower (better) than 0.05 nT
rms per square root Hz;
b. Induction coil ``magnetometers'' having a ``noise level''
(sensitivity) lower (better) than any of the following:
b.1. 0.05 nT rms/square root Hz at frequencies of less than 1
Hz;
b.2. 1 x 10-3 nT rms/square root Hz at frequencies
of 1 Hz or more but not exceeding 10 Hz; or
b.3. 1 x 10-4 nT rms/square root Hz at frequencies
exceeding 10 Hz;
c. Fiber optic ``magnetometers'' having a ``noise level''
(sensitivity) lower (better) than 1 nT rms per square root Hz;
d. ``Magnetic gradiometers'' using multiple ``magnetometers''
controlled by 6A006.a, 6A006.b or 6A006.c;
e. Fiber optic ``intrinsic magnetic gradiometers'' having a
magnetic gradient field ``noise level'' (sensitivity) lower (better)
than 0.3 nT/m rms per square root Hz;
f. ``Intrinsic magnetic gradiometers'', using ``technology''
other than fiber-optic ``technology'', having a magnetic gradient
field ``noise level'' (sensitivity) lower (better) than 0.015 nT/m
rms per square root Hz;
g. Magnetic compensation systems for magnetic sensors designed
for operation on mobile platforms;
h. ``Superconductive'' electromagnetic sensors, components
manufactured from ``superconductive'' materials:
h.1. Designed for operation at temperatures below the ``critical
temperature'' of at least one of their ``superconductive''
constituents (including Josephson effect devices or
``superconductive'' quantum interference devices (SQUIDS));
h.2. Designed for sensing electromagnetic field variations at
frequencies of 1 kHz or less; and
h.3. Having any of the following characteristics:
h.3.a. Incorporating thin-film SQUIDS with a minimum feature
size of less than 2 m and with associated input and output
coupling circuits;
h.3.b. Designed to operate with a magnetic field slew rate
exceeding 1 x 106 magnetic flux quanta per second;
h.3.c. Designed to function without magnetic shielding in the
earth's ambient magnetic field; or
h.3.d. Having a temperature coefficient less (smaller) than 0.1
magnetic flux quantum/K.
6A007 Gravity meters (gravimeters) and gravity gradiometers, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to 6A007.b and .c when the MT Column 1
accuracies in 6A007.b.1 and b.2 are
met or exceeded.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000; N/A for MT
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 6A107 and 6A997
Related Definitions: N/A
Items: a. Gravity meters for ground use having a static accuracy of
less (better) than 10 gal;
Note: 6A007.a does not control ground gravity meters of the
quartz element (Worden) type.
b. Gravity meters for mobile platforms for ground, marine,
submersible, space or airborne use, having all of the following:
b.1. A static accuracy of less (better) than 0.7 mgal; and
b.2. An in-service (operational) accuracy of less (better) than
0.7 mgal having a time-to-steady-state registration of less than 2
minutes under any combination of attendant corrective compensations
and motional influences;
c. Gravity gradiometers.
6A008 Radar systems, equipment and assemblies having any of the
characteristics (see List of Items Controlled), and specially designed
components therefor.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to items that are designed MT Column 1
for airborne applications and that are
usable in systems controlled for MT
reasons.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000; N/A for MT and 6A008.l.3
GBS: Yes, for 6A008.b, .c, and l.1 only
CIV: Yes, for 6A008.b, .c, and l.1 only
List of Items Controlled
Unit: $ value
Related Controls: See also 6A108 and 6A998. This entry does not
control: (1) Secondary surveillance radar (SSR); (2) Car radar
designed for collision prevention; (3) Displays or monitors used for
Air Traffic Control (ATC) having no more than 12 resolvable elements
per mm; (4) Meteorological (weather) radar.
Related Definitions: N/A
Items: a. Operating at frequencies from 40 GHz to 230 GHz and having
an average output power exceeding 100 mW;
b. Having a tunable bandwidth exceeding 6.25% of
the center operating frequency;
Technical Note: The center operating frequency equals one half
of the sum of the highest plus the lowest specified operating
frequencies.
c. Capable of operating simultaneously on more than two carrier
frequencies;
d. Capable of operating in synthetic aperture (SAR), inverse
synthetic aperture (ISAR) radar mode, or sidelooking airborne (SLAR)
radar mode;
e. Incorporating ``electronically steerable phased array
antennae'';
f. Capable of heightfinding non-cooperative targets;
[[Page 2530]]
Note: 6A008.f does not control precision approach radar (PAR)
equipment conforming to ICAO standards.
g. Specially designed for airborne (balloon or airframe mounted)
operation and having Doppler ``signal processing'' for the detection
of moving targets;
h. Employing processing of radar signals using any of the
following:
h.1. ``Radar spread spectrum'' techniques; or
h.2. ``Radar frequency agility'' techniques;
i. Providing ground-based operation with a maximum
``instrumented range'' exceeding 185 km;
Note: 6A008.i does not control:
a. Fishing ground surveillance radar;
b. Ground radar equipment specially designed for enroute air
traffic control, provided that all the following conditions are met:
1. It has a maximum ``instrumented range'' of 500 km or less;
2. It is configured so that radar target data can be transmitted
only one way from the radar site to one or more civil ATC centers;
3. It contains no provisions for remote control of the radar
scan rate from the enroute ATC center; and
4. It is to be permanently installed;
c. Weather balloon tracking radars.
j. Being ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment, having any of the following:
j.1. ``Space-qualified''; or
j.2. Employing coherent heterodyne or homodyne detection
techniques and having an angular resolution of less (better) than 20
r (microradians);
Note: 6A008.j does not control LIDAR equipment specially
designed for surveying or for meteorological observation.
k. Having ``signal processing'' sub-systems using ``pulse
compression'', with any of the following:
k.1. A ``pulse compression'' ratio exceeding 150; or
k.2. A pulse width of less than 200 ns; or
l. Having data processing sub-systems with any of the following:
l.1. ``Automatic target tracking'' providing, at any antenna
rotation, the predicted target position beyond the time of the next
antenna beam passage;
Note: 6A008.l.1 does not control conflict alert capability in
ATC systems, or marine or harbor radar.
l.2. Calculation of target velocity from primary radar having
non-periodic (variable) scanning rates;
l.3. Processing for automatic pattern recognition (feature
extraction) and comparison with target characteristic data bases
(waveforms or imagery) to identify or classify targets; or
l.4. Superposition and correlation, or fusion, of target data
from two or more ``geographically dispersed'' and ``interconnected
radar sensors'' to enhance and discriminate targets.
Note: 6A008.l.4 does not control systems, equipment and
assemblies used for marine traffic control.
6A018 Magnetic, pressure, and acoustic underwater detection devices
specially designed for military purposes and controls and components
therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number;components in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6A102 Radiation hardened detectors, other than those controlled by
6A002, for use in protecting against nuclear effects (e.g.
electromagnetic pulse (EMP), X-rays, combined blast and thermal
effects) and usable for ``missiles'', designed or rated to withstand
radiation levels that meet or exceed a total irradiation dose of 5 x
105 rads (Si).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Components in number
Related Controls: N/A
Related Definitions: In this entry, a detector is defined as a
mechanical, electrical, optical or chemical device that
automatically identifies and records, or registers a stimulus such
as an environmental change in pressure or temperature, an electrical
or electromagnetic signal or radiation from a radioactive material.
Items: The list of items controlled is contained in the ECCN
heading.
6A107 Gravity meters (gravimeters), gravity gradiometers, and
specially designed components therefore, other than those controlled by
6A007.b and .c, designed or modified for airborne or marine use, having
a static or operational accuracy of 7 x 10 -6 m/sec\2\ (0.7
milligal) or better, and a time to steady-state registration of two
minutes or less.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6A108 Radar systems and tracking systems, other than those controlled
by 6A008, as follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) This entry does not control airborne civil
weather radar conforming to international standards for civil
weather radars provided that they do not incorporate any of the
following: (a) Phased array antennas; (b) Frequency agility; (c)
Spread spectrum; or (d) Signal processing specially designed for the
tracking of vehicles. (2) Items in 6A108.a that are specially
designed or modified for ``missiles'' or for items on the U.S.
Munitions List are subject to the export licensing authority of the
U.S. Department of State, Defense Trade Controls (see 22 CFR part
121).
Related Definitions: Laser radar systems are defined as those that
embody specialized transmission, scanning, receiving and signal
processing techniques for utilization of lasers for echo ranging,
direction finding and discrimination of targets by location, radial
speed and body reflection characteristics.
Items: a. Radar and laser radar systems designed or modified for use
in ``missiles'';
b. Precision tracking systems, usable for ``missiles'', as
follows:
b.1. Tracking systems that use a code translator in conjunction
with either surface or airborne references or navigation satellite
systems to provide real-time measurements of in-flight position and
velocity;
b.2. Range instrumentation radars including associated optical/
infrared trackers with all of the following capabilities:
b.2.a. Angular resolution better than 3 milliradians (0.5 mils);
b.2.b. Range of 30 km or greater with a range resolution better
than 10 m rms;
b.2.c. Velocity resolution better than
3 m/s.
[[Page 2531]]
6A202 Photomultiplier tubes with a photocathode area of greater than
20 cm2 having an anode pulse rise time of less than 1 ns.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6A203 Cameras and components, other than those controlled by 6A003, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment and components in number; parts and accessories in $
value
Related Controls: N/A
Related Definitions: N/A
Items: a. Mechanical rotating mirror cameras, as follows, and
specially designed components therefor:
a.1. Framing cameras with recording rates greater than 225,000
frames per second; or
a.2. Streak cameras with writing speeds greater than 0.5 mm per
microsecond;
Note: Components of such cameras include their synchronizing
electronic units and rotor assemblies consisting of turbines,
mirrors and bearings.
b. Electronic streak and framing cameras and tubes, as follows:
b.1. Electronic streak cameras capable of 50 ns or less time
resolution and streak tubes therefor;
b.2. Electronic (or electronically shuttered) framing cameras
capable of 50 ns or less frame exposure time;
b.3. Framing tubes and solid-state imaging devices for use with
cameras controlled by 6A203.b.2, as follows:
b.3.a. Proximity focused image intensifier tubes having the
photocathode deposited on a transparent conductive coating to
decrease photocathode sheet resistance;
b.3.b. Gate silicon intensifier target (SIT) videcon tubes,
where a fast system allows gating the photoelectrons from the
photocathode before they impinge on the SIT plate;
b.3.c. Kerr or pocket cell electro-optical shuttering; or
b.3.d. Other framing tubes and solid-state imaging devices
having a fast-image gating time of less than 50 ns specially
designed for cameras controlled by 6A203.b.2;
c. Radiation-hardened TV cameras, or lenses therefor, specially
designed or rated as radiation hardened to withstand greater than 50
x 103 grays (Silicon) (5 x 106 rad
(Silicon)) without operational degradation.
6A205 ``Lasers'', other than those controlled 6A005, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 0B001.g.5 and 0B001.h.6
Related Definitions: N/A
Items: a. Argon ion ``lasers'' with greater than 40 W average output
power operating at wavelengths between 400 nm and 515 nm;
b. Tunable pulsed single-mode dye oscillators capable of an
average power output of greater than 1 W, a repetition rate greater
than 1 kHz, a pulse less than 100 ns, and a wavelength between 300
nm and 800 nm;
c. Tunable pulsed dye laser amplifiers and oscillators, with an
average power output of greater than 30 W, a repetition rate greater
than 1 kHz, a pulse width less than 100 ns, and a wavelength between
300 nm and 800 nm, except single mode oscillators;
d. Pulsed carbon dioxide ``lasers'' with a repetition rate
greater than 250 Hz, an average power output of greater than 500 W,
and a pulse of less than 200 ns operating at wavelengths between
9,000 nm and 11,000 nm;
e. Para-hydrogen Raman shifters designed to operate at 16
micrometer output wavelength and at a repetition rate greater than
250 Hz;
f. Pulse-excited, Q-switched Neodymium-doped (other than glass)
``lasers'', having all of the following:
f.1. An output wavelength exceeding 1,000 nm but not exceeding
1,100 nm;
f.2. A pulse duration equal to or more than 1 ns; and
f.3. A multiple-transverse mode output having an average power
exceeding 50 W.
6A225 Velocity interferometers for measuring velocities in excess of
1 km/s during time intervals of less than 10 microsecond (VISARs,
Doppler laser interferometers (DLIs), etc.).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6A226 Pressure sensors, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Manganin gauges for pressures greater than 100 kilobars;
or
b. Quartz pressure transducers for pressures greater than 100
kilobars.
6A991 Marine or terrestrial acoustic equipment, n.e.s., capable of
detecting or locating underwater objects or features or positioning
surface vessels or underwater vehicles; and specially designed
components, n.e.s.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 2
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6A992 Optical Sensors, not controlled by 6A002.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
[[Page 2532]]
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Image intensifier tubes and specially designed components
therefor, as follows:
a.1. Image intensifier tubes having all the following:
a.1.a. A peak response in wavelength range exceeding 400 nm, but
not exceeding 1,050 nm;
a.1.b. A microchannel plate for electron image amplification
with a hole pitch (center-to-center spacing) of less than 25
micrometers; and
a.1.c. Having any of the following:
a.1.c.1. An S-20, S-25 or multialkali photocathode; or
a.1.c.2. A GaAs or GaInAs photocathode;
a.2. Specially designed microchannel plates having both of the
following characteristics:
a.2.a. 15,000 or more hollow tubes per plate; and
a.2.b. Hole pitch (center-to-center spacing) of less than 25
micrometers.
6A994 Optics, not controlled by 6A004.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Optical filters:
a.1. For wavelengths longer than 250 nm, comprised of multi-
layer optical coatings and having either of the following:
a.1.a. Bandwidths equal to or less than 1 nm Full Width Half
Intensity (FWHI) and peak transmission of 90% or more; or
a.1.b. Bandwidths equal to or less than 0.1 nm FWHI and peak
transmission of 50% or more;
Note: 6A994 does not control optical filters with fixed air gaps
or Lyot-type filters.
a.2. For wavelengths longer than 250 nm, and having all of the
following:
a.2.a. Tunable over a spectral range of 500 nm or more;
a.2.b. Instantaneous optical bandpass of 1.25 nm or less;
a.2.c. Wavelength resettable within 0.1 ms to an accuracy of 1
nm or better within the tunable spectral range; and
a.2.d. A single peak transmission of 91% or more;
a.3. Optical opacity switches (filters) with a field of view of
30 deg. or wider and a response time equal to or less than 1 ns;
b. ``Fluoride fiber'' cable, or optical fibers therefor, having
an attenuation of less than 4 dB/km in the wavelength range
exceeding 1,000 nm but not exceeding 3,000 nm.
6A995 ``Lasers'', not controlled by 6A005 or 6A205.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Carbon dioxide (CO2) ``lasers'' having any of
the following:
a.1. A CW output power exceeding 10 kW;
a.2. A pulsed output with a ``pulse duration'' exceeding 10
microseconds; and
a.2.a. An average output power exceeding 10 kW; or
a.2.b. A pulsed ``peak power'' exceeding 100 kW; or
a.3. A pulsed output with a ``pulse duration'' equal to or less
than 10 microseconds; and
a.3.a. A pulse energy exceeding 5 J per pulse and ``peak power''
exceeding 2.5 kW; or
a.3.b. An average output power exceeding 2.5 kW;
b. Semiconductor lasers, as follows:
b.1. Individual, single-transverse mode semiconductor ``lasers''
having:
b.1.a. An average output power exceeding 100 mW; or
b.1.b. A wavelength exceeding 1,050 nm;
b.2. Individual, multiple-transverse mode semiconductor
``lasers'', or arrays of individual semiconductor ``lasers'', having
a wavelength exceeding 1,050 nm;
c. Solid state, non-``tunable'' ``lasers'', as follows:
c.1. Ruby ``lasers'' having an output energy exceeding 20 J per
pulse;
c.2. Neodymium-doped (other than glass) ``lasers'', as follows,
with an output wavelength exceeding 1,000 nm but not exceeding 1,100
nm:
c.2.a. Pulse-excited, ``Q-switched lasers'', with a pulse
duration equal to or more than 1 ns, and a multiple-transverse mode
output with any of the following:
c.2.a.1. A ``peak power'' exceeding 200 mW; or
c.2.a.2. An average output power exceeding 50 W;
c.2.b. Pulse-excited, non-``Q-switched lasers'', having a
multiple-transverse mode output with an average power exceeding 500
W; or
c.2.c. Continuously excited ``lasers'' having a multiple-
transverse mode output with an average or CW output power exceeding
500 W;
d. Free electron ``lasers''.
6A996 ``Magnetometers'', n.e.s., having a ``noise level''
(sensitivity) lower (better) than 1.0 nT rms per square root Hz.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6A997 Gravity meters (gravimeters) for ground use, n.e.s.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Having a static accuracy of less (better) than 100
microgal; or
b. Being of the quartz element (Worden) type.
6A998 Airborne radar equipment, n.e.s., and specially designed
components therefor.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
B. Test, Inspection and Production Equipment
6B004 Optical equipment, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
[[Page 2533]]
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: Yes for 6B004.b
CIV: Yes for 6B004.b
List of Items Controlled
Unit: Number
Related Controls: This entry does not control microscopes.
Related Definitions: N/A
Items: a. Equipment for measuring absolute reflectance to an
accuracy of 0.1% of the reflectance value;
b. Equipment other than optical surface scattering measurement
equipment, having an unobscured aperture of more than 10 cm,
specially designed for the non-contact optical measurement of a non-
planar optical surface figure (profile) to an ``accuracy'' of 2 nm
or less (better) against the required profile.
6B007 Equipment to produce, align and calibrate land-based gravity
meters with a static accuracy of better than 0.1 mgal.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6B008 Pulse radar cross-section measurement systems having transmit
pulse widths of 100 ns or less and specially designed components
therefor.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: See also 6B108
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6B108 Systems, other than those controlled by 6B008, specially
designed for radar cross section measurement usable for ``missiles''
and other subsystems.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6B995 Specially designed or modified equipment, including tools, dies,
fixtures or gauges, and other specially designed components and
accessories therefor:
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. For the manufacture or inspection of:
a.1. Free electron ``laser'' magnet wigglers;
a.2. Free electron ``laser'' photo injectors;
b. For the adjustment, to required tolerances, of the
longitudinal magnetic field of free electron ``lasers''.
C. Materials
6C002 Optical sensor materials, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: See also 6C992
Related Definitions: N/A
Items: a. Elemental tellurium (Te) of purity levels of 99.9995% or
more;
b. Single crystals of cadmium telluride (CdTe), cadmium zinc
telluride (CdZnTe) or mercury cadmium telluride (HgCdTe) of any
purity level, including epitaxial wafers thereof.
6C004 Optical materials, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $1500
GBS: Yes for 6C004.a and .e
CIV: Yes for 6C004.a and .e
List of Items Controlled
Unit: $ value
Related Controls: See also 6C994
Related Definitions: N/A
Items: a. Zinc selenide (ZnSe) and zinc sulphide (ZnS) ``substrate
blanks'' produced by the chemical vapor deposition process, having
any of the following:
a.1. A volume greater than 100 cm3; or
a.2. A diameter greater than 80 mm having a thickness of 20 mm
or more;
b. Boules of the following electro-optic materials:
b.1. Potassium titanyl arsenate (KTA);
b.2. Silver gallium selenide (AgGaSe2);
b.3. Thallium arsenic selenide (Tl3AsSe3,
also known as TAS;
c. Non-linear optical materials, having all of the following:
c.1. Third order susceptibility (chi 3) of 10-6
m2/V2 or more; and
c.2. A response time of less than 1 ms;
d. ``Substrate blanks'' of silicon carbide or beryllium
beryllium (Be/Be) deposited materials exceeding 300 mm in diameter
or major axis length;
e. Glass, including fused silica, phosphate glass,
fluorophosphate glass, zirconium fluoride (ZrF4) and
hafnium fluoride (HfF4), having all of the following:
e.1. A hydroxyl ion (OH-) concentration of less than 5 ppm;
e.2. Integrated metallic purity levels of less than 1 ppm; and
e.3. High homogeneity (index of refraction variance) less than 5
x 10-6;
f. Synthetically produced diamond material with an absorption of
less than 10-5 cm-1 for wavelengths exceeding
200 nm but not exceeding 14,000 nm.
6C005 Synthetic crystalline ``laser'' host material in unfinished
form, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $1500
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Titanium doped sapphire;
[[Page 2534]]
b. Alexandrite.
6C992 Optical sensing fibers not controlled by 6A002.d.3 which are
modified structurally to have a ``beat length'' of less than 500 mm
(high birefringence).
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled in contained in the ECCN
heading.
6C994 Optical materials.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Low optical absorption materials, as follows:
a.1. Bulk fluoride compounds containing ingredients with a
purity of 99.999% or better; or
Note: 6C994.a.1 controls fluorides of zirconium or aluminum and
variants.
a.2. Bulk fluoride glass made from compounds controlled by
6C004.e.1;
b. ``Optical fiber preforms'' made from bulk fluoride compounds
containing ingredients with a purity of 99.999% or better, specially
designed for the manufacture of ``fluoride fibers'' controlled by
6A994.b.
D. Software
6D001 ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 6A004, 6A005, 6A008 or 6B008.
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to ``software'' for NS Column 1
equipment controlled by 6A004, 6A005,
6A008 or 6B008.
MT applies to ``software'' for MT Column 1
equipment controlled by 6A008 or 6B008
for MT reasons.
NP applies to ``software'' for NP Column 1
equipment controlled by 6A005 for NP
reasons.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT and for exports or reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom of
``software'' for items controlled by 6A008.l.3 or 6B008.
List of Items Controlled
Unit: $ value
Related Controls: See also 6D991
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6D002 ``Software'' specially designed for the ``use'' of equipment
controlled by 6A002.b, 6A008 or 6B008.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for MT Column 1
equipment controlled by 6A008 or 6B008
for MT reasons.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: See also 6D102 and 6D992
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6D003 Other ``software'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: Yes for 6D003.h.1
TSR: Yes, except for exports or reexports to destinations outside of
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain,
Sweden, or the United Kingdom of ``software'' for items controlled
by 6D003.a.
List of Items Controlled
Unit: $ value
Related Controls: See also 6D103 and 6D993
Related Definitions: N/A
Items: a. Acoustics ``software'', as follows:
a.1. ``Software'' specially designed for acoustic beam forming
for the ``real time processing'' of acoustic data for passive
reception using towed hydrophone arrays;
a.2. ``Source code'' for the ``real time processing'' of
acoustic data for passive reception using towed hydrophone arrays;
a.3. ``Software'' specially designed for bottom or bay cable
systems and having beamforming or ``source code'' for ``real time
processing'' of acoustic data for passive reception;
b. Optical sensors. None.
c. Cameras. None.
d. Optics. None.
e. Lasers. None
f. Magnetometers.
f.1. ``Software'' specially designed for magnetic compensation
systems for magnetic sensors designed to operate on mobile
platforms;
f.2. ``Software'' specially designed for magnetic anomaly
detection on mobile platforms;
g. Gravimeters. ``Software'' specially designed to correct
motional influences of gravity meters or gravity gradiometers;
h. Radar ``software'', as follows:
h.1. Air Traffic Control ``software'' application ``programs''
hosted on general purpose computers located at Air Traffic Control
centers and capable of any of the following:
h.1.a. Processing and displaying more than 150 simultaneous
``system tracks''; or
h.1.b. Accepting radar target data from more than four primary
radars;
h.2. ``Software'' for the design or ``production'' of radomes
which:
h.2.a. Are specially designed to protect the ``electronically
steerable phased array antennae'' controlled by 6A008.e.; and
h.2.b. Result in an antenna pattern having an ``average side
lobe level'' more than 40 dB below the peak of the main beam level.
Technical Note: ``Average side lobe level'' in 6D003.h.2.b is
measured over the entire array excluding the angular extent of the
main beam and the first two side lobes on either side of the main
beam.
6D102 ``Software'' specially designed for the ``use'' of goods
controlled by 6A108.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
[[Page 2535]]
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
6D103 ``Software'' that processes post-flight, recorded data, obtained
from the systems controlled by 6A108.b, enabling determination of
vehicle position throughout its flight path.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
The list of items controlled is contained in the ECCN heading.
6D104 ``Software'' specially designed for the ``use'' of equipment
controlled by 6A002, 6A003, 6A007, 6A102, and 6B108, for MT reasons.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6D991 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of equipment controlled by 6A991, 6A996,
6A997, or 6A998.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry, except AT Column 1
``software'' for equipment controlled
by 6A991.
AT applies to ``software'' for AT Column 2
equipment controlled by 6A991.
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6D992 ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 6A992, 6A994, or 6A995.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6D993 Other ``software'' not controlled by 6D003.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Air Traffic Control (ATC) ``software'' application
``programs'' hosted on general purpose computers located at Air
Traffic Control centers, and capable of automatically handing over
primary radar target data (if not correlated with secondary
surveillance radar (SSR) data) from the host ATC center to another
ATC center;
E. Technology
6E001 ``Technology'' according to the General Technology Note for the
``development'' of equipment, materials or ``software'' controlled by
6A (except 6A018, 6A991, 6A992, 6A994, 6A995, 6A996, 6A997 or 6A998),
6B, (except 6B995) 6C (6C992 or 6C994) or 6D (except 6D991, 6D992, or
6D993).
License Requirements
Reason for Control: NS, MT, NP, RS, CC, AT, UN
Control(s) Country Chart
NS applies to ``technology'' for items NS Column 1
controlled by 6A001 to 6A008, 6B004 to
6B008, 6C002 to 6C005, or 6D001 to
6D003.
MT applies to ``technology'' for items MT Column 1
controlled by 6A002, 6A007, 6A008,
6A102, 6A107, 6A108, 6B008, 6B108,
6D001, 6D002, 6D102 or 6D103 for MT
reasons.
NP applies to ``technology'' for NP Column 2
equipment controlled by 6A003, 6A005,
6A202, 6A203, 6A205, 6A225 or 6A226
for NP reasons.
RS applies to ``technology'' for RS Column 1
equipment controlled by 6A002 or 6A003
for RS reasons.
CC applies to ``technology'' for CC Column 1
equipment controlled by 6A002 for CC
reasons.
AT applies to entire entry............. AT Column 1
UN applies to ``technology'' for Rwanda
equipment controlled by 6A002 or 6A003
for UN reasons.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT and for exports or reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom of
``technology'' for the ``development'' of equipment or ``software''
in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7, 6A001.a.2.b,
6A001.a.2.c and 6A001.a.2.e when specially designed for real time
application, 6A002.a.1.c, 6A008.l.3, 6B008, 6D003.a, or 6D001 when
specially designed for the ``development'' or ``production'' of
equipment controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, and 6A001.a.2.e as set forth above.
List of Items Controlled
Unit: N/A
Related Controls: See also 6E101, 6E201, and 6E991
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6E002 ``Technology'' according to the General Technology Note for the
``production'' of equipment or materials controlled by 6A (except
6A018, 6A991, 6A992, 6A994, 6A995, 6A996, 6A997 or 6A998), 6B, (except
6B995), or 6C (6C992 or 6C994).
License Requirements
Reason for Control: NS, MT, NP, RS, AT, CC, UN
[[Page 2536]]
Control(s) Country Chart
NS applies to ``technology'' for NS Column 1
equipment controlled by 6A001 to
6A008, 6B004 to 6B008, or 6C002 to
6C005.
MT applies to ``technology'' for MT Column 1
equipment controlled by 6A002, 6A007,
6A008, 6A102, 6A107, 6A108, 6B008, or
6B108 for MT reasons.
NP applies to ``technology'' for NP Column 1
equipment controlled by 6A003, 6A005,
6A202, 6A203, 6A205, 6A225 or 6A226
for NP reasons.
RS applies to ``technology'' for RS Column 1
equipment controlled by 6A002 or 6A003
for RS reasons.
CC applies to ``technology'' for CC Column 1
equipment controlled by 6A002 for CC
reasons.
AT applies to entire entry............. AT Column 1
UN applies to ``technology'' for Rwanda
equipment controlled by 6A002 or 6A003
for UN reasons.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT and for exports or reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom of
``technology'' for the ``development'' of equipment in
6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7, 6A001.a.2.b,
6A001.a.2.c and 6A001.a.2.e when specially designed for real time
application, 6A002.a.1.c, 6A008.l.3, or 6B008.
List of Items Controlled
Unit: N/A
Related Controls: See also 6E992
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6E003 Other ``technology'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: N/A
Related Controls: See also 6E993
Related Definitions: N/A
Items: a. Acoustics. None.
b. Optical sensors. None.
c. Cameras. None.
d. Optics, ``technology'', as follows:
d.1. Optical surface coating and treatment ``technology''
``required'' to achieve uniformity of 99.5% or better for optical
coatings 500 mm or more in diameter or major axis length and with a
total loss (absorption and scatter) of less than 5 x
10-3;
N.B.: See also 2E003.f.
d.2. Optical fabrication ``technology'' using single point
diamond turning techniques to produce surface finish accuracies of
better than 10 nm rms on non-planar surfaces exceeding 0.5
m2;
e. Lasers. ``Technology'' ``required'' for the ``development'',
``production'' or ``use'' of specially designed diagnostic
instruments or targets in test facilities for ``SHPL'' testing or
testing or evaluation of materials irradiated by ``SHPL'' beams;
f. Magnetometers. ``Technology'' ``required'' for the
``development'' or ``production'' of fluxgate ``magnetometers'' or
fluxgate ``magnetometer'' systems, having any of the following:
f.1. A ``noise level'' of less than 0.05 nT rms per square root
Hz at frequencies of less than 1 Hz; or
f.2. A ``noise level'' of less than 1 x 10-3 nT rms
per square root Hz at frequencies of 1 Hz or more.
6E101 ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 6A002, 6A007.b and
.c, 6A008, 6A102, 6A107, 6A108, 6B108, 6D102 or 6D103.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: (1) This entry only controls ``technology'' for
equipment controlled by 6A008 when it is designed for airborne
applications and is usable in ``missiles''. (2) This entry only
controls ``technology'' for items in 6A002.a.1, a.3, and e that are
specially designed or rated as electromagnetic (including ``laser'')
and ionized-particle radiation resistant. (3) This entry only
controls ``technology'' for items in 6A007.b and .c when the
accuracies in 6A007.b.1 and b.2 are met or exceeded.
Items: The list of items controlled is contained in the ECCN
heading.
6E102 ``Technology'' according to the General Technology Note for the
``use'' of ``software'' controlled by 6D001 and 6D002, for MT reasons.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
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.
6E201 ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 6A003.a.2, 6A003.a.3, 6A003.a.4,
6A005.a.1.c, 6A005.a.2.a, 6A005.c.1.b, 6A005.c.2.c.2, 6A005.c.2.d.2.b,
6A202, 6A203, 6A205, 6A225 or 6A226.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: This entry only controls ``technology'' for
items in 6A005.a.2.a with an output power >40 W, 6A005.a.6 argon
``lasers'' only, 6A005.c.1.b with an output power >30 W,
6A005.c.2.c.2.a with an output power >40 W, 6A005.c.2.c.2.b with an
output power >40 W, and 6A005.c.2.d.2.b with an output power >40 W.
Items: The list of items controlled is contained in the ECCN
heading.
6E991 ``Technology'' for the ``development'', ``production'' or
``use'' equipment controlled by 6A991, 6A996, 6A997, or 6A998.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry except AT Column 1
``technology'' for equipment
controlled by 6A991.
AT applies to ``technology'' for AT Column 2
equipment controlled by 6A991.
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.
[[Page 2537]]
6E992 ``Technology'' for the ``development'' or ``production'' of
equipment, materials or ``software'' controlled by 6A992, 6A994, or
6A995, 6B995, 6C992, 6C994, or 6D993.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6E993 Other ``technology'', not controlled by 6E003.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Optical fabrication technologies for serially producing
optical components at a rate exceeding 10 m2 of surface
area per year on any single spindle and with:
a.1. An area exceeding 1 m2; and
a.2. A surface figure exceeding lambda/10 rms at the designed
wavelength;
b. ``Technology'' for optical filters with a bandwidth equal to
or less than 10 nm, a field of view (FOV) exceeding 40 deg. and a
resolution exceeding 0.75 line pairs per milliradian;
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Category 7--Navigation and Avionics
A. Systems, Equipment and Components
N.B.: For automatic pilots for underwater vehicles, see Category
8. For radar, see Category 6.
Note to Category 7A: For inertial navigation equipment for ships
or submersibles see item 9.e on the Wassenaar Munitions List.
7A001 Accelerometers designed for use in inertial navigation or
guidance systems and having any of the following characteristics (see
List of Items Controlled), and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 7A101 and 7A994. MT controls do not apply
to accelerometers that are specially designed and developed as
Measurement While Drilling (MWD) sensors for use in downhole well
service applications.
Related Definitions: N/A
Items: a. A ``bias'' ``stability'' of less (better) than 130 micro g
with respect to a fixed calibration value over a period of one year;
b. A ``scale factor'' ``stability'' of less (better) than 130
ppm with respect to a fixed calibration value over a period of one
year; or
c. Specified to function at linear acceleration levels exceeding
100 g.
7A002 Gyros having any of the following characteristics (see List of
Items Controlled), and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 7A102 and 7A994
Related Definitions: N/A
Items: a. A ``drift rate'' ``stability'', when measured in a 1 g
environment over a period of three months and with respect to a
fixed calibration value, of:
a.1. Less (better) than 0.1 deg. per hour when specified to
function at linear acceleration levels below 10 g; or
a.2. Less (better) than 0.5 deg. per hour when specified to
function at linear acceleration levels from 10 g to 100 g inclusive;
or
b. Specified to function at linear acceleration levels exceeding
100 g.
7A003 Inertial navigation systems (gimballed or strapdown) and
inertial equipment designed for ``aircraft'', land vehicle or
``spacecraft'' for attitude, guidance or control, having any of the
following characteristics (see List of Items Controlled), and specially
designed components therefor.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 7A103 and 7A994. Inertial navigation
systems and inertial equipment, and specially designed components
therefor specifically designed, modified or configured for military
use are subject to the export licensing authority of the U.S.
Department of State, Office of Defense Trade Controls. (See 22 CFR
part 121.)
Related Definitions: N/A
Items: a. Navigation error (free inertial) subsequent to normal
alignment of 0.8 nautical mile per hour (50% Circular Error Probable
(CEP)) or less (better); or
b. Specified to function at linear acceleration levels exceeding
10 g.
Note: The parameters of 7A003.a are applicable with any of the
following environmental conditions:
1. Input random vibration with an overall magnitude of 7.7 g rms
in the first half hour and a total test duration of one and one half
hour per axis in each of the three perpendicular axes, when the
random vibration meets the following:
a. A constant power spectral density (PSD) value of 0.04
g2/Hz over a frequency interval of 15 to 1,000 Hz; and
b. The PSD attenuates with frequency from 0.04 g2/Hz
to 0.01 g2/Hz over a frequency interval from 1,000 to
2,000 Hz; or
2. A roll and yaw rate of equal to or more than +2.62 radian/s
(150 deg/s); or
3. According to national standards equivalent to 1. or 2. of
this note.
Note: 7A003 does not control inertial navigation systems that
are certified for use on ``civil aircraft'' by civil authorities of
a ``participating state'' in Country Group A:1.
7A004 Gyro-astro compasses, and other devices which derive position or
orientation by means of automatically tracking celestial bodies or
satellites, with an azimuth accuracy of equal to or less (better) than
5 seconds of arc.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 7A104 and 7A994
Related Definitions: N/A
[[Page 2538]]
Items: The list of items controlled is contained in the ECCN
heading.
7A005 Global navigation satellite systems (i.e. GPS or GLONASS)
receiving equipment, and specially designed components therefor. (These
items are subject to the export licensing authority of the U.S.
Department of State, Office of Defense Trade Controls. See 22 CFR part
121.)
7A006 Airborne altimeters operating at frequencies other than 4.2 to
4.4 GHz inclusive, having any of the following characteristics (see
List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
S applies to entire entry.............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 7A106, 7A994 and Category 6 for controls
on radar.
Related Definitions: N/A
Items: a. ``Power management''; or
b. Using phase shift key modulation.
7A007 Direction finding equipment operating at frequencies above 30
MHz and specially designed components therefor. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)
7A101 Accelerometers, other than those controlled by 7A001, with a
threshold of 0.05 g or less, or a linearity error within 0.25% of full
scale output, or both, which are designed for use in inertial
navigation systems or in guidance systems of all types and specially
designed components therefor.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control accelerometers which
are specially designed and developed as MWD (Measurement While
Drilling) sensors for use in downhole well service operations.
Related Definitions: N/A
Items: The list of items is included in the entry heading.
7A102 All types of gyros, other than those controlled by 7A002, usable
in ``missiles'', with a rated ``drift rate'' ``stability'' of less than
0.5 deg. (1 sigma or rms) per hour in a 1 g environment and specially
designed components therefor.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: (1) Drift rate is defined as the time rate of
output deviation from the desired output. It consists of random and
systematic components and is expressed as an equivalent angular
displacement per unit time with respect to inertial space. (2)
Stability is defined as standard deviation (1 sigma) of the
variation of a particular parameter from its calibrated value
measured under stable temperature conditions. This can be expressed
as a function of time.
Items: The list of items controlled is contained in the ECCN
heading.
7A103 Instrumentation, navigation equipment and systems, other than
those controlled by 7A003, and specially designed components therefor.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) Items described in 7A103.b are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls (See 22 CFR part 121). (2) Inertial
navigation systems and inertial equipment, and specially designed
components therefor specifically designed, modified or configured
for military use are subject to the export licensing authority of
the U.S. Department of State, Office of Defense Trade Controls. (See
22 CFR part 121.)
Related Definitions: N/A
Items: a. Inertial or other equipment using accelerometers or gyros
controlled by 7A001, 7A002, 7A101 or 7A102 and systems incorporating
such equipment;
Note: 7A103.a does not control equipment containing
accelerometers specially designed and developed as MWD (Measurement
While Drilling) sensors for use in down-hole well services
operations.
b. Integrated flight instrument systems, which include
gyrostabilizers or automatic pilots, designed or modified for use in
``missiles''.
7A104 Gyro-astro compasses and other devices, other than those
controlled by 7A004, which derive position or orientation by means of
automatically tracking celestial bodies or satellites and specially
designed components therefor.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry controls specially designed components
for gyro-astro compasses and other devices controlled by 7A004
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
7A105 Global Positioning Systems (GPS) or similar satellite
receivers, other than those controlled by 7A005, and designed or
modified for use in ``missiles''. (These items are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls. See 22 CFR part 121.)
7A106 Altimeters, other than those controlled by 7A006, of radar or
laser radar type, designed or modified for use in ``missiles''.
(These items are subject to the export licensing authority of the
U.S. Department of State, Office of Defense Trade Controls. See 22
CFR part 121.)
7A115 Passive sensors for determining bearing to specific
electromagnetic source (direction finding equipment) or terrain
characteristics, designed or modified for use in ``missiles''.
(These items are subject to the export licensing authority of the
U.S. Department of State, Office of Defense Trade Controls. See 22
CFR part 121.)
7A116 Flight control systems (hydraulic, mechanical, electro-
optical, or electro-mechanical flight control systems (including
fly-by-wire systems) and attitude control equipment) designed or
modified for ``missiles''. (These items are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121.)
[[Page 2539]]
7A117 ``Guidance sets'' capable of achieving system accuracy of
3.33% or less of the range (e.g., a ``CEP'' of 10 km or less at a
range of 300 km). (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)
7A994 Other navigation direction finding equipment, airborne
communication equipment, all aircraft inertial navigation systems
not controlled under 7A003 or 7A103, and other avionic equipment,
including parts and components, n.e.s.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) Global Positioning Satellite receivers having
the following characteristics are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls (22 CFR part 121): (a) Designed for encryption or
decryption (e.g., Y-code) of GPS precise positioning service (PPS)
signal; (b) Designed for producing navigation results above 60,000
feet altitude and at 1,000 knots velocity or greater; (c)
Specifically designed or modified for use with a null-steering
antenna or including a null-steering antenna designed to reduce or
avoid jamming signals; or (d) Designed or modified for use with
unmanned air vehicle systems capable of delivering at least a 500 kg
payload to a range of at least 300 km. (GPS receivers designed or
modified for use with military unmanned air vehicle systems with
less capability are considered to be specially designed, modified or
configured for military use are controlled by 22 CFR part 121. (2)
This entry controls direction finding equipment that is not subject
to the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls (22 CFR part 121).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
B. Test, Inspection and Production Equipment
7B001 Test, calibration or alignment equipment specially designed for
equipment controlled by 7A (except 7A994).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) See also 7B102 and 7B994. (2) This entry does
not control test, calibration or alignment equipment for Maintenance
level I.
Related Definition: (1) Maintenance Level I: The failure of an
inertial navigation unit is detected on the aircraft by indications
from the Control and Display Unit (CDU) or by the status message
from the corresponding sub-system. By following the manufacturer's
manual, the cause of the failure may be localized at the level of
the malfunctioning line replaceable unit (LRU). The operator then
removes the LRU and replaces it with a spare. (2) Maintenance Level
II: The defective LRU is sent to the maintenance workshop (the
manufacturer's or that of the operator responsible for level II
maintenance). At the maintenance workshop, the malfunctioning LRU is
tested by various appropriate means to verify and localize the
defective shop replaceable assembly (SRA) module responsible for the
failure. This SRA is removed and replaced by an operative spare. The
defective SRA (or possibly the complete LRU) is then shipped to the
manufacturer. Maintenance Level II does not include the removal of
controlled accelerometers or gyro sensors from the SRA.
Items: The list of items controlled is contained in the ECCN
heading.
7B002 Equipment, as follows (see List of Items Controlled), specially
designed to characterize mirrors for ring ``laser'' gyros.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 7B102 and 7B994
Related Definitions: N/A
Items: a. Scatterometers having a measurement accuracy of 10 ppm or
less (better);
b. Profilometers having a measurement accuracy of 0.5 nm (5
angstrom) or less (better).
7B003 Equipment specially designed for the ``production'' of equipment
controlled by 7A (except 7A994).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) See also 7B103 and 7B994. 2.) This entry
includes: inertial measurement unit tester (IMU module); IMU
platform tester; IMU stable element handling fixture; IMU platform
balance fixture; gyro tuning test stations; gyro dynamic balance
stations; gyro run-in/motor test stations; gyro evacuation and fill
stations; centrifuge fixtures for gyro bearings; accelerometer axis
align station; and accelerometer test station
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7B102 Equipment, as follows (see List of Items Controlled), other
than those controlled by 7B002, specially designed to characterize
mirrors, for laser gyro equipment.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Scatterometers having a measurement accuracy of 10 ppm or
less (better).
b. Reflectometers having a measurement accuracy of 50 ppm or
less (better).
c. Prolifometers having a measurement accuracy of 0.5nm (5
angstrom) or less (better).
7B103 Specially designed ``production facilities'' for equipment
controlled by 7A117. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)
7B994 Other equipment for the test, inspection, or ``production'' of
navigation and avionics equipment.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
[[Page 2540]]
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
C. Materials [Reserved]
D. Software
7D001 ``Software'' specially designed or modified for the
``development'' or ``production'' of equipment controlled by 7A (except
7A994) or 7B (except 7B994).
License Requirements
Reason for Control: NS, MT, RS, AT
Control(s) Country Chart
NS applies to ``software'' for NS Column 1
equipment controlled by 7A001 to
7A004, 7A006, 7B001, 7B002 or 7B003.
MT applies to entire entry............. MT Column 1
RS applies to ``software'' for inertial
navigation systems inertial equipment,
and specially designed components
therefor, for ``civil aircraft'' DRS
Column 1.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) See also 7D101 and 7D994. (2) The ``software''
related to 7A003.b, 7A005, 7A007, 7A103.b, 7A105, 7A106, 7A115,
7A116, 7A117, or 7B103 are subject to the export licensing authority
of the U.S. Department of State, Office of Defense Trade Controls.
(See 22 CFR part 121.) (3) ``Software'' for inertial navigation
systems and inertial equipment, and specially designed components
therefor, not for use on civil aircraft are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7D002 ``Source code'' for the ``use'' of any inertial navigation
equipment or Attitude and Heading Reference Systems (AHRS) (except
gimballed AHRS) including inertial equipment not controlled by 7A003 or
7A004.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) See also 7D102 and 7D994. (2) This entry does
not control ``source code'' for the ``use'' of gimballed AHRS
Related Definition: AHRS generally differ from inertial navigation
systems (INS) in that an AHRS provides attitude and heading
information and normally does not provide the acceleration, velocity
and position information associated with an INS
Items: The list of items controlled is contained in the ECCN heading
7D003 Other ``software'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
List of Items Controlled
Unit: $ value
Related Controls: See also 7D103 and 7D994
Related Definitions: N/A
Items: a. ``Software'' specially designed or modified to improve the
operational performance or reduce the navigational error of systems
to the levels controlled by 7A003 or 7A004;
b. ``Source code'' for hybrid integrated systems that improves
the operational performance or reduces the navigational error of
systems to the level controlled by 7A003 by continuously combining
inertial data with any of the following navigation data:
b.1. Doppler radar velocity;
b.2. Global navigation satellite systems (i.e., GPS or GLONASS)
reference data; or
b.3. Terrain data from data bases;
c. ``Source code'' for integrated avionics or mission systems
that combine sensor data and employ ``expert systems'';
d. ``Source code'' for the ``development'' of any of the
following:
d.1. Digital flight management systems for ``total control of
flight'';
d.2. Integrated propulsion and flight control systems;
d.3. Fly-by-wire or fly-by-light control systems;
d.4. Fault-tolerant or self-reconfiguring ``active flight
control systems'';
d.5. Airborne automatic direction finding equipment;
d.6. Air data systems based on surface static data; or
d.7. Raster-type head-up displays or three dimensional displays;
e. Computer-aided-design (CAD) ``software'' specially designed
for the ``development'' of ``active flight control systems'',
helicopter multi-axis fly-by-wire or fly-by-light controllers or
helicopter ``circulation controlled anti-torque or circulation-
controlled direction control systems'' whose ``technology'' is
controlled by 7E004.b, 7E004.c.1 or 7E004.c.2.
7D101 ``Software'' specially designed for the ``use'' of equipment
controlled by 7A001 to 7A006, 7A101 to 7A106, 7A115, 7B001, 7B002,
7B003, 7B102 or 7B103.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) The ``software'' related to 7A003.b, 7A005,
7A103.b, 7A105, 7A106, 7A115, 7A116, 7A117, or 7B103 are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. (See 22 CFR part 121.) (2)
``Software'' for inertial navigation systems and inertial equipment,
and specially designed components therefor, not designed for use on
civil aircraft by civil aviation authorities of a country listed in
Country Group A:1 is subject to the export licensing authority of
the U.S. Department of State, Office of Defense Trade Controls. (See
22 CFR part 121.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7D102 Integration ``software'' for the equipment controlled by 7A003
or 7A103.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: The ``software'' related to 7A003.b or 7A103.b are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7D103 ``Software'' specially designed for modelling or simulation of
the ``guidance sets'' controlled by 7A117 or for their design
integration with ``missiles''. (This entry is subject to the export
licensing authority of the U.S. Department of State, Office of Defense
Trade Controls. See 22 CFR part 121.)
7D994 ``Software'', n.e.s., for the ``development'', ``production'',
or ``use'' of navigation, airborne communication and other avionics.
License Requirements
Reason for Control: AT
[[Page 2541]]
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
7E001 ``Technology'' according to the General Technology Note for the
``development'' of equipment or ``software'' controlled by 7A (except
7A994), 7B (except 7B994) or 7D (except 7D994).
License Requirements
Reason for Control: MT, NS, RS, AT
Control(s) Country Chart
NS applies to ``technology'' for items NS Column 1
controlled by 7A001 to 7A004, 7A006,
7B001 to 7B003, 7D001 to 7D003.
MT applies to entire entry............. MT Column 1
RS applies to ``technology'' for RS Column 1
inertial navigation systems, inertial
equipment and specially designed
components therefor, for civil
aircraft.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 7E101 and 7E994. (2.) The
``technology'' related to 7A003.b, 7A005, 7A007, 7A103.b, 7A105,
7a106, 7A115, 7A116, 7A117, or 7B103 are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Control (see 22 CFR part 121)
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7E002 ``Technology'' according to the General Technology Note for the
``production'' of equipment controlled by 7A (except 7A994) or 7B
(except 7B994).
License Requirements
Reason for Control: NS, MT, RS, AT
Control(s) Country Chart
NS applies to ``technology'' for NS Column 1
equipment controlled by 7A001 to
7A004, 7A006 or 7B001 to 7B003.
MT applies to entire entry............. MT Column 1
RS applies to ``technology'' for RS Column 1
inertial navigation systems, inertial
equipment and specially designed
components therefor, for civil
aircraft.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 7E102 and 7E994. (2) The
``technology'' related to 7A003.b, 7A005, 7A007, 7A103.b, 7A105,
7A106, 7A115, 7A116, 7A117, or 7B103 are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls (see 22 CFR part 121)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7E003 ``Technology'' according to the General Technology Note for the
repair, refurbishing or overhaul of equipment controlled by 7A001 to
7A004.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: See also 7E994. This entry does not control
maintenance ``technology'' directly associated with calibration,
removal or replacement of damaged or unserviceable LRUs and SRAs of
a ``civil aircraft'' as described in Maintenance Level I or
Maintenance Level II
Related Definition: Refer to the Related Definitions for 7B001
Items: The list of items controlled is contained in the ECCN heading
7E004 Other ``technology'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: See also 7E104 and 7E994
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'' or ``production''
of:
a.1. Airborne automatic direction finding equipment operating at
frequencies exceeding 5 MHz;
a.2. Air data systems based on surface static data only, i.e.,
that dispense with conventional air data probes;
a.3. Raster-type head-up displays or three dimensional displays
for ``aircraft'';
a.4. Inertial navigation systems or gyro-astro compasses
containing accelerometers or gyros controlled by 7A001 or 7A002;
a.5. Electric actuators (i.e., electromechanical,
electrohydrostatic and integrated actuator package) specially
designed for ``primary flight control'';
a.6. ``Flight control optical sensor array'' specially designed
for implementing ``active flight control systems'';
b. ``Development'' ``technology'', as follows, for ``active
flight control systems'' (including fly-by-wire or fly-by-light):
b.1. Configuration design for interconnecting multiple
microelectronic processing elements (on-board computers) to achieve
``real time processing'' for control law implementation;
b.2. Control law compensation for sensor location or dynamic
airframe loads, i.e., compensation for sensor vibration environment
or for variation of sensor location from the center of gravity;
b.3. Electronic management of data redundancy or systems
redundancy for fault detection, fault tolerance, fault isolation or
reconfiguration;
Note: 7E004.b.3. does not control ``technology'' for the design
of physical redundancy.
b.4. Flight controls that permit inflight reconfiguration of
force and moment controls for real time autonomous air vehicle
control;
b.5. Integration of digital flight control, navigation and
propulsion control data into a digital flight management system for
``total control of flight'';
Note: 7E004.b.5 does not control:
1. ``Development'' ``technology'' for integration of digital
flight control, navigation and propulsion control data into a
digital flight management system for ``flight path optimization'';
2. ``Development'' ``technology'' for ``aircraft'' flight
instrument systems integrated solely for VOR, DME, ILS or MLS
navigation or approaches.
b.6. Full authority digital flight control or multisensor
mission management systems employing ``expert systems'';
N.B.: For ``technology'' for Full Authority Digital Engine
Control (``FADEC''), see 9E003.a.9.
c. ``Technology'' for the ``development'' of helicopter systems,
as follows:
c.1. Multi-axis fly-by-wire or fly-by-light controllers that
combine the functions of at least two of the following into one
controlling element:
c.1.a. Collective controls;
c.1.b. Cyclic controls;
c.1.c. Yaw controls;
[[Page 2542]]
c.2. ``Circulation-controlled anti-torque or circulation-
controlled directional control systems'';
c.3. Rotor blades incorporating ``variable geometry airfoils''
for use in systems using individual blade control.
7E101 ``Technology'', other than ``technology'' controlled by 7E003,
according to the General Technology Note for the ``use'' of equipment
controlled by 7A001 to 7A006, 7A101 to 7A106, 7A115 to 7A117, 7B001,
7B002, 7B003, 7B102, 7B103, 7D101 to 7D103.
License Requirements
Reason for Control: MT, RS, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
RS applies to ``use'' of inertial RS Column 1
navigation systems, inertial equipment
and specially designed components
therefor, for civil aircraft.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: 1.) The ``technology'' related to 7A003.b, 7A005,
7A103.b, 7A105, 7A016, 7A115, 7A116, 7A117, 7B103, or 7D103 are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. (See 22 CFR part 121.) 2.)
``Technology'' for inertial navigation systems and inertial
equipment, and specially designed components therefor, not for use
on civil aircraft are subject to the export licensing authority of
the U.S. Department of State, Office of Defense Trade Controls. (See
22 CFR part 121.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
7E102 ``Technology'' for protection of avionics and electrical
subsystems against electromagnetic pulse (EMP) and electromagnetic
interference (EMI) hazards, from external sources, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Design ``technology'' for shielding systems;
b. Design ``technology'' for the configuration of hardened
electrical circuits and subsystems;
c. Design ``technology'' for the determination of hardening
criteria of .a and .b of this entry.
7E104 ``Technology'' for the integration of the flight control,
guidance, and propulsion data into a flight management system for
optimization of rocket system trajectory. (This entry is subject to the
export licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121.)
7E994 ``Technology'', n.e.s., for the ``development'', ``production'',
or ``use'' of navigation, airborne communication, and other avionics
equipment.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
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
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Category 8--Marine
A. Systems, Equipment and Components
8A001 Submersible vehicles and surface vessels, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000; N/A for 8A001.b and .d
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: For the control status of equipment for
submersible vehicles, see: Category 5, Part 2 ``Information
Security'' for encrypted communication equipment; Category 6 for
sensors; Categories 7 and 8 for navigation equipment; Category 8A
for underwater equipment.
Related Definitions: N/A
Items: a. Manned, tethered submersible vehicles designed to operate
at depths exceeding 1,000 m;
b. Manned, untethered submersible vehicles, having any of the
following:
b.1. Designed to operate autonomously and having a lifting
capacity of all the following:
b.1.a. 10% or more of their weight in air; and
b.1.b. 15 kN or more;
b.2. Designed to operate at depths exceeding 1,000 m; or
b.3. Having all of the following:
b.3.a. Designed to carry a crew of 4 or more;
b.3.b. Designed to operate autonomously for 10 hours or more;
b.3.c. Having a range of 25 nautical miles or more; and
b.3.d. Having a length of 21 m or less;
Technical Notes:
1. For the purposes of 8A001.b, ``operate autonomously'' means
fully submerged, without snorkel, all systems working and cruising
at minimum speed at which the submersible can safely control its
depth dynamically by using its depth planes only, with no need for a
support vessel or support base on the surface, sea-bed or shore, and
containing a propulsion system for submerged or surface use.
2. For the purposes of 8A001.b, ``range'' means half the maximum
distance a submersible vehicle can cover.
c. Unmanned, tethered submersible vehicles designed to operate
at depths exceeding 1,000 m, having any of the following:
c.1. Designed for self-propelled manoeuvre using propulsion
motors or thrusters controlled by 8A002.a.2; or
c.2. Having a fiber optic data link;
d. Unmanned, untethered submersible vehicles, having any of the
following:
d.1. Designed for deciding a course relative to any geographical
reference without real-time human assistance;
d.2. Having an acoustic data or command link; or
d.3. Having a fiber optic data or command link exceeding 1,000
m;
e. Ocean salvage systems with a lifting capacity exceeding 5 MN
for salvaging objects from depths exceeding 250 m and having any of
the following:
e.1. Dynamic positioning systems capable of position keeping
within 20 m of a given point provided by the navigation system; or
e.2. Seafloor navigation and navigation integration systems for
depths exceeding 1,000 m with positioning accuracies to within 10 m
of a predetermined point;
f. Surface-effect vehicles (fully skirted variety) having all of
the following characteristics:
f.1. A maximum design speed, fully loaded, exceeding 30 knots in
a significant wave height of 1.25 m (Sea State 3) or more;
f.2. A cushion pressure exceeding 3,830 Pa; and
f.3. A light-ship-to-full-load displacement ratio of less than
0.70;
g. Surface-effect vehicles (rigid sidewalls) with a maximum
design speed, fully loaded, exceeding 40 knots in a significant wave
height of 3.25 m (Sea State 5) or more;
[[Page 2543]]
h. Hydrofoil vessels with active systems for automatically
controlling foil systems, with a maximum design speed, fully loaded,
of 40 knots or more in a significant wave height of 3.25 m (Sea
State 5) or more;
i. Small waterplane area vessels having any of the following:
i.1. A full load displacement exceeding 500 tons with a maximum
design speed, fully loaded, exceeding 35 knots in a significant wave
height of 3.25 m (Sea State 5) or more; or
i.2. A full load displacement exceeding 1,500 tons with a
maximum design speed, fully loaded, exceeding 25 knots in a
significant wave height of 4 m (Sea State 6) or more.
Technical Note: A small waterplane area vessel is defined by the
following formula: waterplane area at an operational design draught
less than 2 x (displaced volume at the operational design draught)
2/3.
8A002 Systems and equipment, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000; N/A for 8A002.o.3.b
GBS: Yes for 8A002.e.2 and manipulators for civil end-uses (e.g.,
underwater oil, gas or mining operations) controlled by 8A002.i.2
and having 5 degrees of freedom of movement
CIV: Yes for 8A002.e.2 and manipulators for civil end-uses (e.g.,
underwater oil, gas or mining operations) controlled by 8A002.i.2
and having 5 degrees of freedom of movement
List of Items Controlled
Unit: Equipment in number
Related Controls: See also 8A992 and for underwater communications
systems, see Category 5, Part I--Telecommunications.
Related Definitions: N/A
Items: a. Systems and equipment, specially designed or modified for
submersible vehicles, designed to operate at depths exceeding 1,000
m, as follows:
a.1. Pressure housings or pressure hulls with a maximum inside
chamber diameter exceeding 1.5 m;
a.2. Direct current propulsion motors or thrusters;
a.3. Umbilical cables, and connectors therefor, using optical
fiber and having synthetic strength members;
b. Systems specially designed or modified for the automated
control of the motion of equipment for submersible vehicles
controlled by 8A001 using navigation data and having closed loop
servo-controls:
b.1. Enabling a vehicle to move within 10 m of a predetermined
point in the water column;
b.2. Maintaining the position of the vehicle within 10 m of a
predetermined point in the water column; or
b.3. Maintaining the position of the vehicle within 10 m while
following a cable on or under the seabed;
c. Fiber optic hull penetrators or connectors;
d. Underwater vision systems, as follows:
d.1. Television systems and television cameras, as follows:
d.1.a. Television systems (comprising camera, monitoring and
signal transmission equipment) having a limiting resolution when
measured in air of more than 800 lines and specially designed or
modified for remote operation with a submersible vehicle;
d.1.b. Underwater television cameras having a limiting
resolution when measured in air of more than 1,100 lines;
d.1.c. Low light level television cameras specially designed or
modified for underwater use containing all of the following:
d.1.c.1. Image intensifier tubes controlled by 6A002.a.2.a; and
d.1.c.2. More than 150,000 ``active pixels'' per solid state
area array;
Technical Note: Limiting resolution in television is a measure
of horizontal resolution usually expressed in terms of the maximum
number of lines per picture height discriminated on a test chart,
using IEEE Standard 208/1960 or any equivalent standard.
d.2. Systems, specially designed or modified for remote
operation with an underwater vehicle, employing techniques to
minimize the effects of back scatter, including range-gated
illuminators or ``laser'' systems;
e. Photographic still cameras specially designed or modified for
underwater use below 150 m having a film format of 35 mm or larger,
and having any of the following:
e.1. Annotation of the film with data provided by a source
external to the camera;
e.2. Automatic back focal distance correction; or
e.3. Automatic compensation control specially designed to permit
an underwater camera housing to be usable at depths exceeding 1,000
m;
f. Electronic imaging systems, specially designed or modified
for underwater use, capable of storing digitally more than 50
exposed images;
g. Light systems, as follows, specially designed or modified for
underwater use:
g.1. Stroboscopic light systems capable of a light output energy
of more than 300 J per flash and a flash rate of more than 5 flashes
per second;
g.2. Argon arc light systems specially designed for use below
1,000 m;
h. ``Robots'' specially designed for underwater use, controlled
by using a dedicated ``stored program controlled'' computer, having
any of the following:
h.1. Systems that control the ``robot'' using information from
sensors which measure force or torque applied to an external object,
distance to an external object, or tactile sense between the
``robot'' and an external object; or
h.2. The ability to exert a force of 250 N or more or a torque
of 250 Nm or more and using titanium based alloys or ``fibrous or
filamentary'' ``composite'' materials in their structural members;
i. Remotely controlled articulated manipulators specially
designed or modified for use with submersible vehicles, having any
of the following:
i.1. Systems which control the manipulator using the information
from sensors which measure the torque or force applied to an
external object, or tactile sense between the manipulator and an
external object; or
i.2. Controlled by proportional master-slave techniques or by
using a dedicated ``stored program controlled'' computer, and having
5 degrees of freedom of movement or more;
Note: Only functions having proportional control using
positional feedback or by using a dedicated ``stored program
controlled'' computer are counted when determining the number of
degrees of freedom of movement.
j. Air independent power systems, specially designed for
underwater use, as follows:
j.1. Brayton or Rankine cycle engine air independent power
systems having any of the following:
j.1.a. Chemical scrubber or absorber systems specially designed
to remove carbon dioxide, carbon monoxide and particulates from
recirculated engine exhaust;
j.1.b. Systems specially designed to use a monoatomic gas;
j.1.c. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz, or special mounting
devices for shock mitigation; or
j.1.d. Systems specially designed:
j.1.d.1. To pressurize the products of reaction or for fuel
reformation;
j.1.d.2. To store the products of the reaction; and
j.1.d.3. To discharge the products of the reaction against a
pressure of 100 kPa or more;
j.2. Diesel cycle engine air independent systems, having all of
the following:
j.2.a. Chemical scrubber or absorber systems specially designed
to remove carbon dioxide, carbon monoxide and particulates from
recirculated engine exhaust;
j.2.b. Systems specially designed to use a monoatomic gas;
j.2.c. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; and
j.2.d. Specially designed exhaust systems that do not exhaust
continuously the products of combustion;
j.3. Fuel cell air independent power systems with an output
exceeding 2 kW having any of the following:
j.3.a. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; or
j.3.b. Systems specially designed:
j.3.b.1. To pressurize the products of reaction or for fuel
reformation;
j.3.b.2. To store the products of the reaction; and
j.3.b.3. To discharge the products of the reaction against a
pressure of 100 kPa or more;
[[Page 2544]]
j.4. Stirling cycle engine air independent power systems, having
all of the following:
j.4.a. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; and
j.4.b. Specially designed exhaust systems which discharge the
products of combustion against a pressure of 100 kPa or more;
k. Skirts, seals and fingers, having any of the following:
k.1. Designed for cushion pressures of 3,830 Pa or more,
operating in a significant wave height of 1.25 m (Sea State 3) or
more and specially designed for surface effect vehicles (fully
skirted variety) controlled by 8A001.f; or
k.2. Designed for cushion pressures of 6,224 Pa or more,
operating in a significant wave height of 3.25 m (Sea State 5) or
more and specially designed for surface effect vehicles (rigid
sidewalls) controlled by 8A001.g;
l. Lift fans rated at more than 400 kW specially designed for
surface effect vehicles controlled by 8A001.f or 8A001.g;
m. Fully submerged subcavitating or supercavitating hydrofoils
specially designed for vessels controlled by 8A001.h;
n. Active systems specially designed or modified to control
automatically the sea-induced motion of vehicles or vessels
controlled by 8A001.f, 8A001.g, 8A001.h or 8A001.i;
o. Propellers, power transmission systems, power generation
systems and noise reduction systems, as follows:
o.1. Water-screw propeller or power transmission systems, as
follows, specially designed for surface effect vehicles (fully
skirted or rigid sidewall variety), hydrofoils or small waterplane
area vessels controlled by 8A001.f, 8A001.g, .8A001.h or 8A001.i:
o.1.a. Supercavitating, super-ventilated, partially-submerged or
surface piercing propellers rated at more than 7.5 MW;
o.1.b. Contrarotating propeller systems rated at more than 15
MW;
o.1.c. Systems employing pre-swirl or post-swirl techniques for
smoothing the flow into a propeller;
o.1.d. Light-weight, high capacity (K factor exceeding 300)
reduction gearing;
o.1.e. Power transmission shaft systems, incorporating
``composite'' material components, capable of transmitting more than
1 MW;
o.2. Water-screw propeller, power generation systems or
transmission systems designed for use on vessels, as follows:
o.2.a. Controllable-pitch propellers and hub assemblies rated at
more than 30 MW;
o.2.b. Internally liquid-cooled electric propulsion engines with
a power output exceeding 2.5 MW;
o.2.c. ``Superconductive'' propulsion engines, or permanent
magnet electric propulsion engines, with a power output exceeding
0.1 MW;
o.2.d. Power transmission shaft systems, incorporating
``composite'' material components, capable of transmitting more than
2 MW;
o.2.e. Ventilated or base-ventilated propeller systems rated at
more than 2.5 MW;
o.3. Noise reduction systems designed for use on vessels of
1,000 tons displacement or more, as follows:
o.3.a. Systems that attenuate underwater noise at frequencies
below 500 Hz and consist of compound acoustic mounts for the
acoustic isolation of diesel engines, diesel generator sets, gas
turbines, gas turbine generator sets, propulsion motors or
propulsion reduction gears, specially designed for sound or
vibration isolation, having an intermediate mass exceeding 30% of
the equipment to be mounted;
o.3.b. Active noise reduction or cancellation systems, or
magnetic bearings, specially designed for power transmission
systems, and incorporating electronic control systems capable of
actively reducing equipment vibration by the generation of anti-
noise or anti-vibration signals directly to the source;
p. Pumpjet propulsion systems having a power output exceeding
2.5 MW using divergent nozzle and flow conditioning vane techniques
to improve propulsive efficiency or reduce propulsion-generated
underwater-radiated noise;
8A018 Items on the International Munitions List.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Closed and semi-closed circuit (rebreathing) apparatus for
diving and underwater swimming, and specially designed components
for use in the conversion of open-circuit apparatus to military use;
b. Naval equipment, as follows:
b.1. Diesel engines of 1,500 hp and over with rotary speed of
700 rpm or over specially designed for submarines;
b.2. Electric motors specially designed for submarines, i.e.,
over 1,000 hp, quick reversing type, liquid cooled, and totally
enclosed;
b.3. Nonmagnetic diesel engines, 50 hp and over, specially
designed for military purposes. (An engine shall be presumed to be
specially designed for military purposes if it has nonmagnetic parts
other than crankcase, block, head, pistons, covers, end plates,
valve facings, gaskets, and fuel, lubrication and other supply
lines, or its nonmagnetic content exceeds 75 percent of total
weight.);
b.4. Marine boilers designed to have any of the following
characteristics:
b.4.a. Heat release rate (at maximum rating) equal to or in
excess of 190,000 BTU per hour per cubic foot of furnace volume; or
b.4.b. Ratio of steam generated in pounds per hour (at maximum
rating) to the dry weight of the boiler in pounds equal to or in
excess of 0.83;
b.5. Submarine and torpedo nets; and
b.6. Components, parts, accessories, and attachments for the
above.
8A992 Underwater systems or equipment, not controlled by 8A002, and
specially designed parts therefor.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Underwater vision systems, as follows:
a.1. Television systems (comprising camera, lights, monitoring
and signal transmission equipment) having a limiting resolution when
measured in air of more than 500 lines and specially designed or
modified for remote operation with a submersible vehicle; or
a.2. Underwater television cameras having a limiting resolution
when measured in air of more than 700 lines;
Technical Note: Limiting resolution in television is a measure
of horizontal resolution usually expressed in terms of the maximum
number of lines per picture height discriminated on a test chart,
using IEEE Standard 208/1960 or any equivalent standard.
b. Photographic still cameras specially designed or modified for
underwater use, having a film formate of 35 mm or larger, and having
autofocussing or remote focussing specially designed for underwater
use;
c. Stroboscopic light systems, specially designed or modified
for underwater use, capable of a light output energy of more than
300 J per flash;
d. Other underwater camera equipment, n.e.s.;
e. Other submersible systems, n.e.s.;
f. Boats, n.e.s., including inflatable boats, and specially
designed components therefor, n.e.s.;
g. Marine engines (both inboard and outboard) and submarine
engines, n.e.s; and specially designed parts therefor, n.e.s.;
h. Other self-contained underwater breathing apparatus (scuba
gear) and related equipment, n.e.s.;
i. Pressure regulators, air cylinders, hoses, valves and
backpacks for the apparatus described in paragraph 8A002.q;
j. Life jackets, inflation cartridges, compasses, wetsuits,
masks, fins, weight belts, and dive computers;
k. Underwater lights and propulsion equipment;
l. Air compressors and filtration systems specially designed for
filling air cylinders.
[[Page 2545]]
B. Test, Inspection and Production Equipment
8B001 Water tunnels, having a background noise of less than 100 dB
(reference 1 Pa, 1 Hz) in the frequency range from 0 to 500
Hz, designed for measuring acoustic fields generated by a hydro-flow
around propulsion system models.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
C. Materials
8C001 Syntactic foam designed for underwater use, having all of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: Syntactic foam consists of hollow spheres of
plastic or glass embedded in a resin matrix
Items: a. Designed for marine depths exceeding 1,000 m; and
b. A density less than 561 kg/m\3\.
D. Software
8D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or materials
controlled by 8A (except 8A018 or 8A992), 8B or 8C.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain,
Sweden, or the United Kingdom of ``software'' specially designed for
the ``development'' or ``production'' of equipment controlled by
8A001.b, 8A001.d, or 8A002.o.3.b
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
8D002 Specific ``software'' specially designed or modified for the
``development'', ``production'', repair, overhaul or refurbishing (re-
machining) of propellers specially designed for underwater noise
reduction.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: See also 8D992
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
8D992 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
8A992.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
E. Technology
8E001 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment or materials controlled
by 8A (except 8A018 or 8A992), 8B or 8C.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain,
Sweden, or the United Kingdom of ``technology'' for items controlled
by 8A001.b, 8A001.d, or 8A002.o.3.b
TSR: Yes
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
8E002 Other ``technology'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: N/A
Related Controls: See also 8E992
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'', ``production'',
repair, overhaul or refurbishing (re-machining) of propellers
specially designed for underwater noise reduction;
b. ``Technology'' for the overhaul or refurbishing of equipment
controlled by 8A001, 8A002.b, 8A002.j, 8A002.o or 8A002.p.
8E992 ``Technology'' for the ``development'', ``production'' or
``use'' of equipment controlled by 8A992.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
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`
[[Page 2546]]
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Category 9--Propulsion Systems, Space Vehicles and Related Equipment
A. Systems, Equipment and Components
(For propulsion systems designed or rated against neutron or
transient ionizing radiation, see the U.S. Munitions List, 22 CFR
part 121.)
9A001 Aero gas turbine engines incorporating any of the
``technologies'' controlled by 9E003.a, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to only to those engines MT Column 1
that meet the characteristics listed
in 9A101.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 9A101 and 9A991
Related Definitions: N/A
Items: a. Not certified for the specific ``civil aircraft'' for
which they are intended;
Note: For the purpose of the ``civil aircraft'' certification
process, a number of up to 16 civil certified engines, assemblies,
or components including spares is considered appropriate.
b. Not certified for civil use by the aviation authorities in
Country Group A:1;
c. Designed to cruise at speeds exceeding Mach 1.2 for more than
thirty minutes.
9A002 Marine gas turbine engines with an ISO standard continuous power
rating of 24,245 kW or more and a specific fuel consumption not
exceeding 0.219 kg/kWh in the power range from 35 to 100%, and
specially designed assemblies and components therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definition: The term ``marine gas turbine engines'' includes
those industrial, or aero-derivative, gas turbine engines adapted
for a ship's electric power generation or propulsion
Items: The list of items controlled is contained in the ECCN heading
9A003 Specially designed assemblies and components, incorporating any
of the ``technologies'' controlled by 9E003.a, for gas turbine engine
propulsion systems, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definition: N/A
Items: a. Controlled by 9A001;
b. Whose design or production origins are either countries in
Country Group D:1 or unknown to the manufacturer.
9A004 Space launch vehicles and ``spacecraft''.
License Requirements
Reason for Control: NS, SI, AT
Control(s) Country Chart
NS applies to entire entry NS Column 1
SI applies to commercial communications satellites controlled by 9A004
that include the individual munitions list systems, components, or
parts identified on the United States Munitions List (USML). 22 CFR
part 121. See Sec. 742.14 of the EAR for additional information.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; components, parts and accessories in $
value
Related Controls: (1) See also 9A104 (2) This entry describes space
launch vehicles (not including their payloads) and other
``spacecraft''. (3) Commercial communications satellites are subject
to Commerce licensing jurisdiction even if they include the
individual munitions list systems, components, or parts identified
on the United States Munitions List (USML). In all other cases,
these systems, components, or parts remain on the USML, except that
satellite fuel, ground support equipment, test equipment, payload
adapter/interface hardware, replacement parts for the preceding
items, and non-embedded, solid propellant orbit transfer orbit
transfer engines (``kick motors'') are subject to Commerce licensing
jurisdiction (and not controlled on the USML) when they are to be
utilized for the specific commercial communications satellite
launch, provided the solid propellant ``kick motor'' being utilized
is not specifically designed or modified for military use or capable
of being restarted after achievement of mission orbit (such orbit
transfer engines are always controlled on USML). Technical data (as
defined in 120.10 of the International Traffic in Arms Regulations
(ITAR)) and defense services (as defined in 120.9 of the ITAR)
related to the systems, components, or parts on the USML are always
controlled under the USML, even when the satellite itself is
licensed by the Department of Commerce. (4) Military communications
satellites or multi-mission satellites, including commercial
communications satellites having additional non-communication
mission(s) or payload(s) are under the jurisdiction of the
Department of State. (5) Other ``spacecraft'' not subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls under 22 CFR part 121. This entry includes
the international space station being developed, launched and
operated under the supervision of the U.S. National Aeronautics and
Space Administration. Exporters requesting a license from the
Department of Commerce for spacecraft other than the international
space station or a commercial communications satellite specified in
9A004 must provide a statement from the Department of State, Office
of Defense Trade Controls, verifying that the item intended for
export is under the licensing jurisdiction of the Department of
Commerce. (6) All other spacecraft, including all other satellites
not controlled under 9A004 and components, parts, accessories,
attachments, associated equipment, and ground support equipment
therefor are subject to the export licensing authority of the
Department of State. (7) Items on the USML that are included in a
commercial communications satellite to be exported under a Commerce
license must be specifically listed on the Commerce license
application. Such items when not included in a specific commercial
communications satellite are under the jurisdiction of the
Department of State. (8) Technical data provided to the launch
provider (form, fit, function, mass, electrical, mechanical,
dynamic/environmental, telemetry, safety, facility, launch pad
access, and launch parameters) for commercial communications
satellites that describe the interfaces for mating of the satellite
to the launch vehicle and parameters for launch (e.g. orbit, timing)
of the satellite, are under Commerce jurisdiction. Other technical
data and all defense services and technical assistance for satellite
and/or launch vehicles, including compatibility, integration, or
processing data are controlled and subject to licensing by the
Department of State, in accordance with 22 CFR parts 120 through
130. Approval for such technical assistance will require a Technical
Assistance Agreement (TAA) and may require U.S. Government
oversight. (9) Once a satellite is launched, items remaining
unlaunched are required to be returned immediately to
[[Page 2547]]
the United States. If the satellite launch is canceled or unduly
delayed, the satellite and all support equipment must be returned
immediately to the United States. (10) Detailed design, development,
production, or manufacturing data for all spacecraft, including
satellites, regardless of which agency has jurisdiction over the
export, and all systems components, parts, accessories, attachments,
and associated equipment (including ground support equipment)
specifically designed or modified for articles on the USML
(including software source code and operating algorithms) are
subject to licensing by the Department of State. This does not
include that level of technical data (including marketing data)
necessary and reasonable for a purchaser to have assurance that a
U.S.-built item intended to operate in space has been designed,
manufactured and tested in conformance with specified contract
requirements (e.g., operational performance, reliability, lifetime,
product quality, or delivery expectations) as well as data necessary
for normal in-orbit satellite operations, to evaluate in-orbit
anomalies, and to operate and maintain associated ground station
equipment (except encryption hardware). (11) For the control status
of products contained in ``spacecraft'' payloads, see the
appropriate categories
Related Definitions: Transferring registration or operational
control to any foreign person of any commercial communications
satellite controlled by this entry must be authorized on a license
issued by the Bureau of Export Administration. This requirement
applies whether the commercial communications satellite is
physically located in the United States or abroad
Items: The list of items controlled is contained in the ECCN heading
9A005 Liquid rocket propulsion systems containing any of the
systems or components controlled by 9A006. (These items are subject
to the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. See 22 CFR part 121.)
9A006 Systems and components specially designed for liquid rocket
propulsion systems. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)
9A007 Solid rocket propulsion systems. (These items are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. See 22 CFR part 121.)
9A008 Components specially designed for solid rocket propulsion
systems. (These items are subject to the export licensing authority
of the U.S. Department of State, Office of Defense Trade Controls.
See 22 CFR part 121.)
9A009 Hybrid rocket propulsion systems. (These items are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. See 22 CFR part 121.)
9A010 Specially designed components, systems and structures for
launch vehicles, launch vehicle propulsion systems or
``spacecraft''. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)
9A011 Ramjet, scramjet or combined cycle engines and specially
designed components therefor. (These items are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121.)
9A018 Equipment on the International Munitions List.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
RS applies to 9A018.a and b............ RS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $1500
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: (a) Parachute systems designed for use in dropping
military equipment, braking military aircraft, slowing spacecraft
descent, or retarding weapons delivery; AND (b) Instrument flight
trainers for combat simulation are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. (See 22 CFR part 121, Category VIII.)
Related Definition: This entry controls parachute systems designed
for use in dropping personnel only.
Items: a. Military trainer aircraft bearing ``T'' designations:
a.1. Using reciprocating engines; or
a.2. Turbo prop engines with less than 600 horse power (h.p.);
a.3. T-37 model jet trainer aircraft; and
a.4. Specially designed component parts.
b. Vehicles specially designed or modified for military
purposes. (See Sec. 770, Interpretation 8)
c. Pressure refuelers, pressure refueling equipment, and
equipment specially designed to facilitate operations in confined
areas; and ground equipment, n.e.s, developed specially for military
aircraft and helicopters, and specially designed parts and
accessories, n.e.s.;
d. Pressurized breathing equipment specially designed for use in
military aircraft and helicopters;
e. Military parachutes and complete canopies, harnesses, and
platforms and electronic release mechanisms therefor, except such
types as are in normal sporting use;
f. Military instrument flight trainers, except for combat
simulation; and components, parts, attachments and accessories
specially designed for such equipment.
9A018 Equipment on the International Munitions List.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
RS applies to 9A018. a and b........... RS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $1500
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: (1) This entry controls parachute systems designed
for use in dropping personnel only. (2) Parachute systems designed
for use in dropping military equipment, braking military aircraft,
slowing spacecraft descent, or retarding weapons delivery; AND
Instrument flight trainers for combat simulation are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: N/A
Items: a. Military trainer aircraft bearing ``T'' designations:
a.1. Using reciprocating engines; or
a.2. Turbo prop engines with less than 600 horse power (h.p.);
a.3. T-37 model jet trainer aircraft; and
a.4. Specially designed component parts.
b. Ground vehicles and components therefor, specially designed
or modified for military purposes. (See part 770 of the EAR,
Interpretation 8)
c. Pressurized breathing equipment specially designed for use in
military aircraft and helicopters;
d. Military parachutes;
e. Military instrument flight trainers, except for combat
simulation; and components, parts, attachments and accessories
specially designed for such equipment.
9A101 Lightweight turbojet and turbofan engines (including
turbocompound engines) usable in ``missiles'', other than those
controlled by 9A001, as follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
[[Page 2548]]
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: (1) Items controlled in 9A101.b are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls (see 22 CFR part 121). (2) Engines
designed or modified for missiles (except engines for non-military
unmanned air vehicles [UAVs] or remotely piloted vehicles [RPVs]),
regardless of thrust or specific fuel consumption, are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: N/A
Items: a. Engines having both of the following characteristics:
a.1. Maximum thrust value greater than 1000 N (achieved un-
installed) excluding civil certified engines with a maximum thrust
value greater than 8,890 N (achieved un-installed), and
a.2. Specific fuel consumption of 0.13 kg/N/hr or less (at sea
level static and standard conditions); or
b. Engines designed or modified for use in ``missiles''.
9A104 Sounding rockets, capable of a range of at least 300 km.
(These items are subject to the export licensing authority of the
U.S. Department of State, Office of Defense Trade Controls. See 22
CFR part 121.)
9A105 Liquid propellant rocket engines. (These items are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. See 22 CFR part 121.)
9A106 Liquid rocket propulsion systems or components, other than
those controlled by 9A006, usable in rockets with a range capability
of 30 Km or greater, as follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment and components in number; parts and accessories in $
value
Related Controls: Items described in 9A106.a, .b, and .c are subject
to the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls (See 22 CFR part 121)
Related Definitions: N/A
Items: a. Ablative liners for thrust or combustion chambers;
b. Rocket nozzles;
c. Thrust vector control sub-systems;
Technical Note: Examples of methods of achieving thrust vector
control controlled by 9A106.c includes:
1. Flexible nozzle;
2. Fluid or secondary gas injection;
3. Movable engine or nozzle;
4. Deflection of exhaust gas steam (jet vanes or probes); or
5. Thrust tabs.
d. Liquid and slurry propellant (including oxidizers) control
systems, and specially designed components therefor, designed or
modified to operate in vibration environments of more than 10 g rms
between 20 Hz and 2000 Hz.
Note: The only servo valves and pumps controlled by 9A106.d, are
the following:
a. Servo valves designed for flow rates of 24 liters per minute
or greater, at an absolute pressure of 7 Mpa or greater, that have
an actuator response time of less than 100 ms;
b. Pumps, for liquid propellants, with shaft speeds equal to or
greater than 8,000 rpm or with discharge pressures equal to or
greater than 7 Mpa.
9A107 Solid propellant rocket engines, usable in rockets with a
range capability of 300 Km or greater, other than those controlled
by 9A007, having total impulse capacity of 0.841 Mns or greater.
(These items are subject to the export licensing authority of the
U.S. Department of State, Office of Defense Trade Controls. See 22
CFR part 121.)
9A108 Solid rocket propulsion components, other than those
controlled by 9A008, usable in rockets with a range capability of
300 Km or greater. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)
9A109 Hybrid rocket motors, usable in rockets with a range
capability of 300 Km or greater, other than those controlled by
9A009, and specially designed components therefor. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)
9A110 Composite structures, laminates and manufactures thereof,
other than those controlled by entry 9A010, specially designed for
use in ``missiles'' or the subsystems controlled by entries 9A005,
9A007, 9A105.a, 9A106 to 9A108, 9A116 or 9A119, and resin
impregnated fiber prepregs and metal coated fiber preforms therefor,
made either with organic matrix or metal matrix utilizing fibrous or
filamentary reinforcements having a specific tensile strength
greater than 7.62 x 10\4\ m and a specific modulus greater than
3.18 x 10\6\ m.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: (1) See also 1A002, 1C010, and 1C210. (2) The only
resin impregnated fiber prepregs controlled by entry 9A110 are those
using resins with a glass transition temperature (Tg),
after cure, exceeding 418 K (145 deg. C) as determined by ASTM D4065
or equivalents. (3) ``Composite structures, laminates, and
manufactures thereof, specially designed for use in missile systems
are under the licensing authority of the Office of Defense Trade
Controls, U.S. Department of State, except those specially designed
for non-military unmanned air vehicles controlled in 9A120
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9A111 Pulse jet engines, usable in ``missiles'', and specially
designed components therefor. (These items are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121.)
9A115 Launch support equipment, designed or modified for
``missiles''. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)
9A116 Reentry vehicles, usable in ``missiles'', and equipment
designed or modified therefor. (These items are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls. See 22 CFR part 121.)
9A117 Staging mechanisms, separation mechanisms, and interstages,
usable in ``missiles''. (These items are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121.)
9A118 Devices to regulate combustion usable in engines which are
usable in rockets with a range capability greater than 300 Km or
[[Page 2549]]
greater, controlled by 9A011 or 9A111. (These items are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. See 22 CFR part 121.)
9A119 Individual rocket stages, usable in rockets with a range
capability greater than 300 Km or greater, other than those
controlled by 9A005, 9A007, 9A009, 9A105, 9A107 and 9A109. (These
items are subject to the export licensing authority of the U.S.
Department of State, Office of Defense Trade Controls. See 22 CFR
part 121.)
9A120 Non-military unmanned air vehicle systems (UAVs) and remotely
piloted vehicles (RPVs) that are capable of a maximum range of at
least 300 kilometers (km), regardless of payload.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9A980 Nonmilitary mobile crime science laboratories; and parts and
accessories, n.e.s.
License Requirements
Reason for Control: CC
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9A990 Diesel engines, n.e.s., and tractors and specially designed
parts therefor, n.e.s.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry except AT Column 1
9A990.a.
AT applies to 9A990.a only............. AT Column 2
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Diesel engines, n.e.s., for trucks, tractors, and
automotive applications of continuous brake horsepower of 400 BHP
(298 kW) or greater (performance based on SAE J1349 standard
conditions of 100 Kpa and 25 deg.)
b. Off highway wheel tractors of carriage capacity 9 mt (20,000
lbs) or more; and parts and accessories, n.e.s.
c. On-Highway tractors, with single or tandem rear axles rated
for 9 mt per axel (20,000 lbs.) or greater and specially designed
parts.
9A991 ``Aircraft'', n.e.s., and gas turbine engines not controlled by
9A001 or 9A101 and parts and components, n.e.s.
License Requirements
Reason for Control: AT, UN
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
UN applies to 9A991.a.................. Rwanda
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: a. Military aircraft, demilitarized (not specifically
equipped or modified for military operation), as follows:
a.1. Cargo, ``C-45 through C-118'' inclusive, and ``C-121,''
a.2. Trainers, bearing a ``T'' designation and using piston
engines,
a.3. Utility, bearing a ``U'' designation and using piston
engines,
a.4. Liaison, bearing an ``L'' designation, and
a.5. Observation, bearing an ``O'' designation and using piston
engines;
b. Civil aircraft; and
Note: Specify make and model of aircraft and type of avionic
equipment on aircraft.
c. Aero gas turbine engines, and specially designed parts
therefor.
Note: 9A991.c does not control aero gas turbine engines that are
destined for use in civil ``aircraft'' and that have been in use in
bona fide civil ``aircraft'' for more than eight years.
d. Aircraft parts and components, n.e.s.
e. Pressurized aircraft breathing equipment, n.e.s.; and
specially designed parts therefor, n.e.s.
9A992 Complete canopies, harnesses, and platforms and electronic
release mechanisms therefor, except such types as are in normal
sporting use.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The List of Items Controlled is contained in the ECCN heading
B. Test, Inspection and Production Equipment
9B001 Specially designed equipment, tooling and fixtures, as follows
(see List of Items Controlled), for manufacturing or measuring gas
turbine blades, vanes or tip shroud castings.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies only to equipment for MT Column 1
engines that meet the characteristics
described in 9A001.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: For specially designed production equipment of
systems, sub-systems and components controlled by 9A005 to 9A009,
9A011, 9A101, 9A105 to 9A109, 9A111, and 9A116 to 9A119 usable in
``missiles'' see 9B115. See also 9B991
Related Definitions: N/A
Items: a. Directional solidification or single crystal casting
equipment;
b. Ceramic cores or shells;
c. Ceramic core manufacturing equipment or tools;
d. Ceramic shell wax pattern preparation equipment.
9B002 On-line (real time) control systems, instrumentation (including
sensors) or automated data acquisition and processing equipment,
specially designed for the ``development'' of gas turbine engines,
assemblies or components incorporating ``technologies'' controlled by
9E003.a.
License Requirements
Reason for Control: NS, MT, AT
[[Page 2550]]
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies only to equipment for MT Column 1
engines that meet the characteristics
described in 9A001.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9B003 Equipment specially designed for the ``production'' or test of
gas turbine brush seals designed to operate at tip speeds exceeding 335
m/s, and temperatures in excess of 773 K (500 deg.C), and specially
designed components or accessories therefor.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies only to equipment for MT Column 1
engines that meet the characteristics
described in 9A001.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: See also 9B115
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9B004 Tools, dies or fixtures for the solid state joining of
``superalloy'', titanium or intermetallic airfoil-to-disk combinations
described in 9E003.a.3 or 9E003.a.6 for gas turbines.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies only to equipment for MT Column 1
engines that meet the characteristics
described in 9A001.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9B005 On-line (real time) control systems, instrumentation (including
sensors) or automated data acquisition and processing equipment,
specially designed for use with any of the following wind tunnels or
devices (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 9B105
Related Definitions: N/A
Items: a. Wind tunnels designed for speeds of Mach 1.2 or more,
except those specially designed for educational purposes and having
a test section size (measured laterally) of less than 250 mm;
Technical Note: Test section size in 9B005.a means the diameter
of the circle, or the side of the square, or the longest side of the
rectangle, at the largest test section location.
b. Devices for simulating flow-environments at speeds exceeding
Mach 5, including hot-shot tunnels, plasma arc tunnels, shock tubes,
shock tunnels, gas tunnels and light gas guns; or
c. Wind tunnels or devices, other than two-dimensional sections,
capable of simulating Reynolds number flows exceeding
25 x 106.
9B006 Acoustic vibration test equipment capable of producing sound
pressure levels of 160 Db or more (referenced to 20 uPa) with a rated
output of 4 kW or more at a test cell temperature exceeding 1,273 K
(1,000 deg.C), and specially designed quartz heaters therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: Yes
CIV: Yes
List of Items Controlled
Unit: Number
Related Controls: See also 9B106. Note that some items in 9B006 may
also be controlled under 9B106
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9B007 Equipment specially designed for inspecting the integrity of
rocket motors using non-destructive test (NDT) techniques other than
planar X-ray or basic physical or chemical analysis.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GSB N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9B008 Transducers specially designed for the direct measurement of the
wall skin friction of the test flow with a stagnation temperature
exceeding 833 K (560 deg.C).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GSB N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9B009 Tooling specially designed for producing turbine engine powder
metallurgy rotor components capable of operating at stress levels of
60% of ultimate tensile strength (UTS) or more and metal temperatures
of 873 K (600 deg.C) or more.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
[[Page 2551]]
9B105 Wind tunnels for speeds of Mach 0.9 or more, usable for
``missiles'' and their subsystems.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 9B005
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9B106 Environmental chambers and anechoic chambers, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Environmental chambers capable of simulating the following
flight conditions:
a.1. Altitudes of 15,000 m or greater; or
a.2. Temperature of at least 223 K (-50 deg. C) to 398 K (+
125 deg. C) and vibration environments of 10 g rms or greater
between 20 Hz and 2,000 Hz and imparting forces of 5 Kn or greater.
b. Anechoic chambers capable of simulating the following flight
conditions:
b.1. Altitudes of 15,000 m or greater; or
b.2. Temperature of at least 223 K (50 deg. C) to 398 K (+
125 deg. C) and acoustic environments at an overall sound pressure
level of 140 Db or greater (referenced to 20 microPa) or with a
rated power output of 4 kW or greater.
9B115 Specially designed ``production equipment'' for the systems,
sub-systems and components controlled by 9A005 to 9A009, 9A011,
9A101, 9A105 to 9A109, 9A111, 9A116 to 9A119. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)
9B116 Specially designed ``production facilities'' for the systems,
sub-systems, and components controlled by 9A004 to 9A009, 9A011,
9A101, 9A104 to 9A109, 9A111, 9A116 to 9A119. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)
9B117 Test benches and test stands for solid or liquid propellant
rockets or rocket motors, having either of the following
characteristics (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 9B990
Related Definitions: N/A
Items: a. The capacity to handle more than 90 Kn of thrust; or
b. Capable of simultaneously measuring the three axial thrust
components.
9B990 Vibration test equipment and specially designed parts and
components, n.e.s.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9B991 Specially designed equipment, tooling or fixtures, not
controlled by 9B001, as described in the List of Items Controlled, for
manufacturing or measuring gas turbine blades, vanes or tip shroud
castings.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Automated equipment using non-mechanical methods for
measuring airfoil wall thickness;
b. Tooling, fixtures or measuring equipment for the ``laser'',
water jet or ECM/EDM hole drilling processes controlled by 9E003.c;
c. Ceramic core leaching equipment;
d. Ceramic shell burn out or firing equipment.
C. Materials [Reserved]
D. Software
9D001 ``Software'' required for the ``development'' of equipment or
``technology'' controlled by 9A (except 9A018, 9A990 or 9A991), 9B
(except 9B990 or 9B991) or 9E003.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to ``software'' for items NS Column 1
controlled by 9A001 to 9A003, 9B001 to
9B009, 9E003.
MT applies to ``software'' for MT Column 1
equipment controlled by 9A001, 9A101,
9A106, 9A110, 9A120, 9B001, 9B002,
9B003, 9B004, 9B005, 9B007, 9B105,
9B106, 9B116, and 9B117 for MT reasons.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) See also 9D101. (2) ``Software'' ``required''
for the ``development'' of items controlled by 9A004 is subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. (See 22 CFR part 121.) (3)
``Software'' ``required'' for the ``development'' of equipment or
``technology'' subject to the export licensing authority of the U.S.
Department of State, Office of Defense Trade Controls is also
subject to the same licensing jurisdiction. (See 22 CFR part 121.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9D002 ``Software'' required for the ``production'' of equipment
controlled by 9A (except 9A018, 9A990 or 9A991) or 9B (except 9B990 or
9B991).
License Requirements
Reason for Control: NS, MT, AT
[[Page 2552]]
Control(s) Country Chart
NS applies to ``software'' for NS Column 1
equipment controlled by 9A001 to 9A003
or 9B001 to 9B009.
MT applies to ``software'' for MT Column 1
equipment controlled by 9A001, 9A101,
9A106, 9A110, 9A120, 9B001, 9B002,
9B003, 9B004, 9B005, 9B007 9B105,
9B106, 9B116, and 9B117 for MT reasons.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) ``Software'' ``required'' for the
``production'' of items controlled by 9A004 is subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. (See 22 CFR part 121.) (2) ``Software''
``required'' for the ``production'' of equipment or ``technology''
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls is also subject to the same
licensing jurisdiction. (See 22 CFR part 121.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9D003 ``Software'' required for the ``use'' of full authority digital
electronic engine controls (FADEC) for propulsion systems controlled by
9A (except 9A018, 9A990 or 9A991) or equipment controlled by 9B (except
9B990 or 9B991), as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to ``software'' for ``use'' NS Column 1
of FADEC for equipment controlled by
9A001 to 9A003.
MT applies to ``software'' required for MT Column 1
the ``use'' of FADEC for gas turbine
engines controlled by 9A101, 9A106, or
9A110.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: Yes, except N/A for MT
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: (1) See also 9D103. (2) ``Software'' ``required''
for the ``use'' of items controlled by 9A004 is subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls. (See 22 CFR part 121.) (3) ``Software''
``required'' for the ``use'' of equipment or ``technology'' subject
to the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls is also subject to the same
licensing jurisdiction. (See 22 CFR part 121.)
Related Definitions: N/A
Items: a. ``Software'' in digital electronic controls for propulsion
systems, aerospace test facilities or air breathing aero-engine test
facilities;
b. Fault-tolerant ``software'' used in ``FADEC'' systems for
propulsion systems and associated test facilities.
9D004 Other ``software'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. 2D or 3D viscous ``software'' validated with wind tunnel
or flight test data required for detailed engine flow modelling;
b. ``Software'' for testing aero gas turbine engines, assemblies
or components, specially designed to collect, reduce and analyze
data in real time, and capable of feedback control, including the
dynamic adjustment of test articles or test conditions, as the test
is in progress;
c. ``Software'' specially designed to control directional
solidification or single crystal casting;
d. ``Software'' in ``source code'', ``object code'' or machine
code required for the ``use'' of active compensating systems for
rotor blade tip clearance control.
Note: 9D004.d does not control ``software'' embedded in
uncontrolled equipment or required for maintenance activities
associated with the calibration or repair or updates to the active
compensating clearance control system.
9D018 ``Software'' for the ``use'' of equipment controlled by 9A018.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
RS applies to 9A018.a and .b........... RS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes for Australia, Japan, New Zealand, and NATO only
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9D101 ``Software'' specially designed for the ``use'' of goods
controlled by 9B105, 9B106, 9B116 or 9B117.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9D102 ``Software'' specially designed for the ``use'' of items
controlled by 9A101, 9A106, 9A110, and 9A120.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: ``Software'' for items controlled by 9A115 are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls (see 22 CFR part 121)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9D103 ``Software'' specially designed for modelling, simulation or
design integration of ``missiles'', or the subsystems controlled by
9A005, 9A007, 9A105.a, 9A106, 9A108, 9A116 or 9A119. (This entry is
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)
9D990 ``Software'', n.e.s., for the ``development'' or ``production''
of equipment controlled by 9A990 or 9B990.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to ``software'' for AT Column 1
equipment under 9A990 except 9A990.a.
[[Page 2553]]
AT applies to ``software'' for AT Column 2
equipment under 9A990.a only.
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9D991 ``Software'', for the ``development'' or ``production'' of
equipment controlled by 9A991 or 9B991.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
E. Technology
Note: ``Development'' or ``production'' ``technology''
controlled by 9E001 to 9E003 for gas turbine engines remains
controlled when used as ``use'' ``technology'' for repair, rebuild
and overhaul. Excluded from control are: technical data, drawings or
documentation for maintenance activities directly associated with
calibration, removal or replacement of damaged or unserviceable line
replaceable units, including replacement of whole engines or engine
modules.
9E001 ``Technology'' according to the General Technology Note for the
``development'' of equipment or ``software'' controlled by 9A001.c,
9A004 to 9A011, 9B (except 9B990 or 9B991), or 9D (except 9D990 or
9D991).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to ``technology'' for items NS Column 1
controlled by 9A001.c, 9B001 to 9B009,
9D001 to 9D004.
MT applies to ``technology'' for items MT Column 1
controlled by 9B001, 9B002, 9B003,
9B004 9B005, 9B007, 9B105, 9B106,
9B116, 9B117, 9D001, 9D002, 9D003, and
9D004 for MT reasons.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 9E101 and 1E002.f (for controls on
``technology'' for the repair of controlled structures, laminates or
materials). (2) The ``technology'' required for the ``development''
of equipment controlled by 9A004 is subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. (See 22 CFR part 121.) (3) ``Technology'', required for
the ``development'' of equipment or ``software'' subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls, is also subject to the same licensing
jurisdiction. (See 22 CFR part 121)
Related Definitions: ``Development'' or ``production''
``technology'' controlled by 9E for gas turbine engines remains
controlled when used as ``use'' ``technology'' for repair, rebuild
and overhaul. Excluded from control are: technology, drawings or
documentation for maintenance activities directly associated with
calibration, removal or replacement of damaged or unserviceable line
replaceable units, including replacement of whole engines or engine
modules
Items: The list of items controlled is contained in the ECCN heading
9E002 ``Technology'' according to the General Technology Note for the
``production'' of equipment controlled by 9A001.c, 9A004 to 9A011 or 9B
(except 9B990 or 9B991).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``technology'' for MT Column 1
equipment controlled by 9B001, 9B002,
9B003, 9B004, 9B005, 9B007, 9B105,
9B106, 9B116, and 9B117 for MT reasons.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 9E102. (2) The ``technology''
required for the ``development'' of equipment controlled by 9A004 is
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. (See 22 CFR part 121.) (3)
``Technology'', required for the ``development'' of equipment or
``software'' subject to the export licensing authority of the U.S.
Department of State, Office of Defense Trade Controls, is also
subject to the same licensing jurisdiction. (See 22 CFR part 121)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9E003 Other ``technology'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, SI, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
SI applies to 9E003.a.1 through a.12 and f. See Sec. 742.14 of the EAR
for additional information..
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) Hot section ``technology'' specifically
designed, modified, or equipped for military uses or purposes, or
developed principally with U.S. Department of Defense funding, is
subject to the licensing authority of the U.S. Department of State.
(2) ``Technology'' is subject to the EAR when actually applied to a
commercial aircraft engine program. Exporters may seek to establish
commercial application either on a case-by-case basis through
submission of documentation demonstrating application to a
commercial program in requesting an export license from the
Department Commerce in respect to a specific export, or in the case
of use for broad categories of aircraft, engines, or components, a
commodity jurisdiction determination from the Department of State.
Related Definitions: N/A
Items: a. ``Technology'' ``required'' for the ``development'',
``production'', or overhaul of the following commercial aircraft
engines, components or systems:
a.1. Gas turbine blades, vanes or tip shrouds made from
directionally solidified (DS) or single crystal (SC) alloys having
(in the 001 Miller Index Direction) a stress-rupture life exceeding
400 hours at 1,273 K (1,000 deg. C) at a stress of 200 MPa, based on
the average property values;
a.2. Multiple domed combustors operating at average burner
outlet temperatures exceeding 1,643 K (1,370 deg. C) or combustors
incorporating thermally decoupled combustion liners, non-metallic
liners or non-metallic shells;
a.3. Components manufactured from organic ``composite''
materials designed to operate above 588 K (315 deg. C), or from
metal ``matrix'' ``composite'', ceramic ``matrix'', intermetallic or
intermetallic reinforced materials controlled by 1A002 or 1C007;
a.4. Uncooled turbine blades, vanes, tip-shrouds or other
components designed to
[[Page 2554]]
operate at gas path temperatures of 1,323 K (1,050 deg. C) or more;
a.5. Cooled turbine blades, vanes or tip-shrouds, other than
those described in 9E003.a.1, exposed to gas path temperatures of
1,643 K (1,370 deg.C) or more;
a.6. Airfoil-to-disk blade combinations using solid state
joining;
a.7. Gas turbine engine components using ``diffusion bonding''
``technology'' controlled by 2E003.b;
a.8. Damage tolerant gas turbine engine rotating components
using powder metallurgy materials controlled by 1C002.b;
a.9. Full authority digital electronic engine control (FADEC)
for gas turbine and combined cycle engines and their related
diagnostic components, sensors and specially designed components;
a.10. Adjustable flow path geometry and associated control
systems for:
a.10.a. Gas generator turbines;
a.10.b. Fan or power turbines;
a.10.c. Propelling nozzles;
Notes: 1. Adjustable flow path geometry and associated control
systems do not include inlet guide vanes, variable pitch fans,
variable stators or bleed valves for compressors.
2. 9E003.a.10 does not control ``development'' or ``production''
``technology'' for adjustable flow path geometry for reverse thrust.
a.11. Rotor blade tip clearance control systems employing active
compensating casing ``technology'' limited to a design and
development data base; or
a.12 Gas bearing for gas turbine engine rotor assemblies;
a.13. Wide chord hollow fan blades without part-span support;
b. ``Technology'' ``required'' for the ``development'' or
``production'' of any of the following:
b.1. Wind tunnel aero-models equipped with non-intrusive sensors
capable of transmitting data from the sensors to the data
acquisition system; or
b.2. ``Composite'' propeller blades or propfans capable of
absorbing more than 2,000 kW at flight speeds exceeding Mach 0.55;
c. ``Technology'' ``required'' for the ``development'' or
``production'' of gas turbine engine components using ``laser'',
water jet, ECM or EDM hole drilling processes to produce holes
having any of the following sets of characteristics:
c.1. All of the following:
c.1.a. Depths more than four times their diameter;
c.1.b. Diameters less than 0.76 mm; and
c.1.c. Incidence angles equal to or less than 25 deg.; or
c.2. All of the following:
c.2.a. Depths more than five times their diameter;
c.2.b. Diameters less than 0.4 mm; and
c.2.c. Incidence angles of more than 25 deg.;
Technical Note: For the purposes of 9E003.c, incidence angle is
measured from a plane tangential to the airfoil surface at the point
where the hole axis enters the airfoil surface.
d. ``Technology'' ``required'' for the ``development'' or
``production'' of helicopter power transfer systems or tilt rotor or
tilt wing ``aircraft'' power transfer systems:
d.1. Capable of loss-of-lubrication operation for 30 minutes or
more; or
d.2. Having an input power-to-weight ratio equal to or more than
8.87 kW/kg;
e.1. ``Technology'' for the ``development'' or ``production'' of
reciprocating diesel engine ground vehicle propulsion systems having
all of the following:
e.1.a. A box volume of 1.2 m\3\ or less;
e.1.b. An overall power output of more than 750 kW based on 80/
1269/EEC, ISO 2534 or national equivalents; and
e.1.c. A power density of more than 700 kW/m\3\ of box volume;
Technical Note: Box volume: the product of three perpendicular
dimensions measured in the following way:
Length: The length of the crankshaft from front flange to
flywheel face;
Width: The widest of the following:
a. The outside dimension from valve cover to valve cover;
b. The dimensions of the outside edges of the cylinder heads; or
c. The diameter of the flywheel housing;
Height: The largest of the following:
a. The dimension of the crankshaft center-line to the top plane
of the valve cover (or cylinder head) plus twice the stroke; or
b. The diameter of the flywheel housing.
e.2. ``Technology'' ``required'' for the ``production'' of
specially designed components, as follows, for high output diesel
engines:
e.2.a. ``Technology'' ``required'' for the ``production'' of
engine systems having all of the following components employing
ceramics materials controlled by 1C007:
e.2.a.1. Cylinder liners;
e.2.a.2. Pistons;
e.2.a.3. Cylinder heads; and
e.2.a.4. One or more other components (including exhaust ports,
turbochargers, valve guides, valve assemblies or insulated fuel
injectors);
e.2.b. ``Technology'' ``required'' for the ``production'' of
turbocharger systems, with single-stage compressors having all of
the following:
e.2.b.1. Operating at pressure ratios of 4:1 or higher;
e.2.b.2. A mass flow in the range from 30 to 130 kg per minute;
and
e.2.b.3. Variable flow area capability within the compressor or
turbine sections;
e.2.c. ``Technology'' ``required'' for the ``production'' of
fuel injection systems with a specially designed multifuel (e.g.,
diesel or jet fuel) capability covering a viscosity range from
diesel fuel (2.5 cSt at 310.8 K (37.8 deg.C)) down to gasoline fuel
(0.5 cSt at 310.8 K (37.8 deg.C)), having both of the following:
e.2.c.1. Injection amount in excess of 230 mm3 per
injection per cylinder; and
e.2.c.2. Specially designed electronic control features for
switching governor characteristics automatically depending on fuel
property to provide the same torque characteristics by using the
appropriate sensors;
e.3. ``Technology'' ``required'' for the ``development'' or
``production'' of high output diesel engines for solid, gas phase or
liquid film (or combinations thereof) cylinder wall lubrication,
permitting operation to temperatures exceeding 723 K (450 deg.C),
measured on the cylinder wall at the top limit of travel of the top
ring of the piston.
f. ``Technology'' not otherwise controlled in 9E003.a.1 through
a.12 and currently used in the ``development'', ``production'', or
overhaul of hot section parts and components of civil derivatives of
military engines controlled on the U.S. Munitions List.
9E018 ``Technology'' for the ``development'', ``production'', or
``use'' of equipment controlled by 9A018.
License Requirements
Reason for Control: NS, RS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
RS applies to 9A018.a and .b........... RS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes for Australia, Japan, New Zealand, and NATO only
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
9E101 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of goods controlled by 9A101, 9A104
to 9A111 or 9A115 to 9A120.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: ``Technology'' controlled by 9E101 for items in
9A101.b, 9A104, 9A105, to 9A109, 9A110 that are specially designed
for use in missile systems and subsystems, 9A111, 9A115, and 9A116
to 9A120 are subject to the export licensing authority of the U.S.
Department of State, Office of Defense Trade Controls (see 22 CFR
part 121)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9E102 ``Technology'' according to the General Technology Note for the
``use'' of goods controlled by 9A004 to 9A011, 9A101, 9A104 to 9A111,
9A115 to 9A120, 9B105, 9B106, 9B115, 9B116, 9B117, 9D101 or 9D103.
License Requirements
Reason for Control: MT, AT
[[Page 2555]]
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) For the purpose of this entry, ``use''
``technology'' is limited to items controlled for MT reasons. (2)
``Technology'' controlled by 9E102 for items subject to the export
licensing jurisdiction of the Department of State in 9A004 to 9A011,
9A101.b, 9A104 to 9A109, 9A110 that are specially designed for use
in missile systems and subsystems, 9A111, 9A115, 9A116 to 9A120, and
9D103 are subject to the export licensing authority of the U.S.
Department of State, Office of Defense Trade Controls (see 22 CFR
part 121)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9E990 ``Technology'', n.e.s., for the ``development'' or
``production'' or ``use'' of equipment controlled by 9A990 or 9B990.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to ``technology'' for AT Column 1
equipment under 9A990 and 9B990 except
9A990.a.
AT applies to ``technology'' for AT Column 2
equipment under 9A990.a only.
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
9E991 ``Technology'', for the ``development'', ``production'' or
``use'' of equipment controlled by 9A991 or 9B991.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Dated: December 23, 1997.
R. Roger Majak,
Assistant Secretary for Export Administration.
[FR Doc. 98-1 Filed 1-14-98; 8:45 am]
BILLING CODE 3510-33-P
