[Federal Register: January 15, 1998 (Volume 63, Number 10)]
[Rules and Regulations]
[Page 2451-2500]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15ja98-12]
[[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
[[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
[[Page 2454]]
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 UF<INF>6</INF> (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
m<SUP>3</SUP>/min or more of UF<INF>6</INF>, and discharge pressure
up to 666.7 kPa, made of or protected by materials resistant to
UF<INF>6</INF> (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 cm<SUP>3</SUP>/min.;
b.3. Gaseous diffusion barriers made of porous metallic,
polymer or ceramic materials resistant to corrosion by
UF<INF>6</INF> 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 UF<INF>6</INF>;
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 10<SUP>6</SUP> m and a ``specific
tensile strength'' greater than 76.2 x 10<SUP>3</SUP> m;
c.4. Magnetic suspension bearings consisting of an annular
magnet suspended within a housing made of UF<INF>6</INF> 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 10<SUP>6</SUP> m and a ``specific
tensile strength'' greater than 76.2 x 10<SUP>3</SUP> 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 10<SUP>6</SUP> m and a ``specific
tensile strength'' greater than 76.2 x 10<SUP>3</SUP> 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 10<SUP>6</SUP> m and a ``specific
tensile strength'' greater than 76.2 x 10<SUP>3</SUP> 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 UF<INF>6</INF> resistant materials;
c.13. Scoops consisting of tubes of up to 12 mm internal
diameter for the extraction of UF<INF>6</INF> gas from within a
centrifuge rotor tube by a Pitot tube action, made of or protected
by UF<INF>6</INF> 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 UF<INF>6</INF> 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
m<SUP>3</SUP>/min, made of or protected by materials resistant to
UF<INF>6</INF> (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 UF<INF>6</INF> 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 UF<INF>6</INF>
resistant materials with a diameter of 40 to 1500 mm;
d.7. Process systems for separating UF<INF>6</INF> from carrier
gas (hydrogen or helium) to 1 ppm UF<INF>6</INF> 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 UF<INF>6</INF> from carrier gas;
d.7.d. UF<INF>6</INF> 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<SUP>+4</SUP> 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<SUP>+6</SUP> or U<SUP>+4</SUP> to
U<SUP>+3</SUP>;
e.6. Uranium oxidation systems for oxidation of U<SUP>+3</SUP>
to U<SUP>+4</SUP>;
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
UF<INF>6</INF> and carrier gas to 150 K or less and made from
UF<INF>6</INF> resistant materials;
h.2. Uranium fluoride (UF<INF>5</INF>) product collectors
consisting of filter, impact, or cyclone-type collectors or
combinations thereof, and made of UF<INF>5</INF>/UF<INF>6</INF>
resistant materials (e.g. aluminum, aluminum alloys, nickel or
alloys containing 60 weight percent of nickel and UF<INF>6</INF>
resistant fully fluorinated hydrocarbon polymers);
h.3. Equipment for fluorinating UF<INF>5</INF> to
UF<INF>6</INF>;
h.4. Compressors made of or protected by materials resistant to
UF<INF>6</INF> (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 UF<INF>6</INF> 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
UF<INF>6</INF> 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
UF<INF>6</INF> to the enrichment process;
b. Desublimers or cold traps, used to remove UF<INF>6</INF> from
the enrichment process for subsequent transfer upon heating;
c. Product and tails stations for transferring UF<INF>6</INF>
into containers;
d. Liquefaction or solidification stations used to remove
UF<INF>6</INF> from the enrichment process by compressing and
converting UF<INF>6</INF> to a liquid or solid form;
e. Piping systems and header systems specially designed for
handling UF<INF>6</INF> within gaseous diffusion, centrifuge or
aerodynamic cascades made of or protected by UF<INF>6</INF>
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 UF<INF>6</INF>
bearing atmospheres;
g. UF<INF>6</INF> mass spectrometers/ion sources specially
designed or prepared for taking on-line samples of feed, product or
tails from UF<INF>6</INF> 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
(UF<INF>6</INF>) 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 UF<INF>6</INF>;
b. Equipment and components, as follows, specially designed of
prepared for UF<INF>6</INF> production:
b.1. Fluorination and hydrofluorination screw and fluid bed
reactors and flame towers;
b.2. Distillation equipment for the purification of
UF<INF>6</INF>.
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
UO<INF>3</INF>;
b. Systems for the conversion of UO<INF>3</INF> to
UF<INF>6</INF>;
c. Systems for the conversion of UO<INF>3</INF> to
UO<INF>2</INF>;
d. Systems for the conversion of UO<INF>2</INF> to
UF<INF>4</INF>;
e. Systems for the conversion of UF<INF>4</INF> to
UF<INF>6</INF>;
f. Systems for the conversion of UF<INF>4</INF> to uranium
metal;
g. Systems for the conversion of UF<INF>6</INF> to
UO<INF>2</INF>;
h. Systems for the conversion of UF<INF>6</INF> to
UF<INF>4</INF>.
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 UF<INF>6</INF> (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 <greek-m>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
m<SUP>2</SUP>)
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 10<SUP>6</SUP>
m; and
b.1.b. A ``specific tensile strength'' exceeding 17.7 x
10<SUP>4</SUP> m; or
b.2. Materials controlled by 1C010.c.
Technical Notes: (1) Specific modulus: Young's modulus in
pascals, equivalent to N/m<SUP>2</SUP> divided by specific weight in
N/m<SUP>3</SUP>, measured at a temperature of (296<plus-minus>2) K
((23<plus-minus>2) C) and a relative humidity of (50<plus-minus>5)%.
(2) Specific tensile strength: ultimate tensile strength in pascals,
equivalent to N/m<SUP>2</SUP> divided by specific weight in N/
m<SUP>3</SUP>, measured at a temperature of (296<plus-minus>2) K
((23<plus-minus>2) C) and a relative humidity of (50<plus-minus>5)%.
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
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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
