[Federal Register: March 25, 1996 (Rules and Regulations)]
[Page 12964-13014]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[[pp. 12964-13014]] Export Administration Regulation; Simplification of Export
Administration Regulations
[[Continued from page 12963]]
[[Page 12964]]
d.2. A horizontal straightness of less (better) than 2
micrometer per 300 mm length; and
d.3. A vertical straightness of less (better) than 2 micrometer
per 300 mm length;
e. Single point diamond cutting tool inserts, having all of the
following characteristics:
e.1. Flawless and chip-free cutting edge when magnified 400
times in any direction;
e.2. Cutting radius from 0.1 to 5 mm inclusive; and
e.3. Cutting radius out-of-roundness less (better) than 0.002 mm
TIR.
2B009 Specially designed printed circuit boards with mounted
components, or ``compound rotary tables'' or ``tilting spindles'',
capable of upgrading, according to the manufacturer's specifications,
``numerical control'' units, machine tools or feed-back devices to or
above the levels specified in ECCNs 2B001, 2B002, 2B003, 2B004, 2B005,
2B006, 2B007, or 2B008.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B018 Equipment on the International Munitions List.
License Requirements
Reason for Control: NS, MT, RS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
MT applies to specialized machinery, MT Column 1.
equipment, and gear for producing
rocket systems (including ballistic
missile systems, space launch
vehicles, and sounding rockets) and
unmanned air vehicle systems
(including cruise missile systems,
target drones, and reconnaissance
drones) usable in systems that are
controlled for MT reasons including
their propulsion systems and
components, and pyrolytic deposition
and densification equipment.
RS applies to entire entry............. RS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000
GBS: Yes for Advisory Note in this entry to 2B018
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in Sec. value
Related Controls: N/A
Related Definitions: N/A
Items:
Specialized machinery, equipment, gear, and specially designed
parts and accessories therefor, including but not limited to the
following, that are specially designed for the examination,
manufacture, testing, and checking of arms, appliances, machines,
and implements of war:
a. Armor plate drilling machines, other than radial drilling
machines;
b. Armor plate planing machines;
c. Armor plate quenching presses;
d. Centrifugal casting machines capable of casting tubes 6 feet
(183 cm) or more in length, with a wall thickness of 2 inches (5 cm)
and over;
e. Gun barrel rifling and broaching machines, and tools
therefor;
f. Gun barrel rifling machines;
g. Gun barrel trepanning machines;
h. Gun boring and turning machines;
i. Gun honing machines of 6 feet (183 cm) stroke or more;
j. Gun jump screw lathes;
k. Gun rifling machines;
l. Gun straightening presses;
m. Induction hardening machines for tank turret rings and
sprockets;
n. Jigs and fixtures and other metal-working implements or
accessories of the kinds exclusively designed for use in the
manufacture of firearms, ordnance, and other stores and appliances
for land, sea, or aerial warfare;
o. Small arms chambering machines;
p. Small arms deep hole drilling machines and drills therefor;
q. Small arms rifling machines;
r. Small arms spill boring machines;
s. Tank turret bearing grinding machines.
Advisory Note: Licenses are likely to be approved, as
administrative exceptions, for export and reexport to Country Group
D:1 of equipment used to determine the safety data of explosives, as
required by the International Convention on the Transport of
Dangerous Goods (C.I.M.) articles 3 and 4 in Annex 1 RID, provided
that such equipment will be used only by the railway authorities of
current C.I.M. members, or by the Government-accredited testing
facilities in those countries, for the testing of explosives to
transport safety standards, of the following description:
a. Equipment for determining the ignition and deflagration
temperatures;
b. Equipment for steel-shell tests;
c. Drophammers not exceeding 20 kg in weight for determining the
sensitivity of explosives to shock;
d. Equipment for determining the friction sensitivity of
explosives when exposed to charges not exceeding 36 kg in weight.
2B104 Equipment and process controls designed or modified for
densification and pyrolysis of structural composite rocket nozzles and
reentry vehicle nose tips.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
NP applies to 2B104.a.................. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Isostatic presses'' other than those controlled by
2B004 having all of the following characteristics:
a.1. Capable of achieving a maximum working pressure of 10,000
psi (69 MPa) or greater;
a.2. Designed to achieve and maintain a controlled thermal
environment of 873 K (600 deg. C) or greater; and
a.3. Possessing a chamber cavity with an inside diameter of 254
mm or greater;
b. Chemical vapor deposition furnaces designed or modified for
the densification of carbon-carbon composites.
2B115 Flow forming machines, and specially designed components
therefor.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
NP applies to 2B115.a.................. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definition: This entry controls only spin-forming
machines combining the functions of spin-forming and flow-forming.
Items: a. Flow-forming and spin-forming machines, and specially
designed components therefor, that according to the manufacturer's
technical specifications, can be equipped with ``numerical control''
units or a computer control; and
b. Having more than two axes that can be coordinated
simultaneously for ``contouring control''.
[[Page 12965]]
2B116 Vibration test systems, equipment, and components therefor.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3,000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: NOTE: The term ``digital control'' refers
to equipment, the functions of which are, partly or entirely,
automatically controlled by stored and digitally coded electrical
signals.
Items: a. Vibration test systems employing feedback or closed
loop techniques and incorporating a digital controler, capable of
vibrating a system at 10 g RMS or more over the entire range 20 Hz
to 2,000 Hz and imparting forces of 50 kN (11,250 lbs.), measured
``bare table'', or greater;
Note: NP controls in 2B116.a apply to electrodynamic vibration
test systems, employing feedback or closed loop control techniques
and incorporating a digital controller, capable of vibrating at 10 g
RMS or more between 20 Hz and 2000 Hz and imparting forces of 50 kN
(11,250 lbs.) measured ``bare table,'' or greater.
b. Digital controllers, combined with specially designed
vibration test ``software'', with a real-time bandwidth greater than
5 kHz and designed for use with vibration test systems described in
2B116.a;
c. Vibration thrusters (shaker units), with or without
associated amplifiers, capable of imparting a force of 50 kN (11,250
lbs.), measured ``bare table'', or greater, and usable in vibration
test systems described in 2B116.a;
d. Test piece support structures and electronic units designed
to combine multiple shaker units into a complete shaker system
capable of providing an effective combined force of 50 kN, measured
``bare table'', or greater, and usable in vibration test systems
described in 2B116.a.
2B204 ``Isostatic presses,'' not controlled by 2B004 or 2B104, capable
of achieving a maximum working pressure of 10,000 psi (69 MPa) or
greater and having a chamber cavity with an inside diameter in excess
of 152 mm (6 inches) and specially designed dies and moulds, and
controls therefor.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B207 ``Robots'', and ``end-effectors'', other than those controlled
by 2B007, specially designed to comply with safety standards applicable
to handling explosives (i.e., meeting electrical code ratings for high
explosives) and specially designed controllers therefor.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B215 Flow-forming and spin-forming machines other than those
controlled by 2B115, and rotor-forming mandrels.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definition: This entry controls only spin-forming
machines combining the functions of spin-forming and flow-forming.
Items: a. Having three or more rollers (active or guiding); and
a.1. According to the manufacturer's technical specifications,
can be equipped with ``numerical control'' units or a computer
control;
b. Rotor-forming mandrels designed to form cylindrical rotors of
inside diameter between 75 mm (3 in.) and 400 mm (16 in.).
Note: This entry includes machines which have only a single
roller designed to deform metal plus two auxiliary rollers which
support the mandrel, but do not participate directly in the
deformation process.
2B225 Remote manipulators that can be used to provide remote actions
in radiochemical separation operations and hot cells.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: Remote manipulators provide translation of
human operator actions to a remote operating arm and terminal
fixture. They may be of a `master/slave' type or operated by
joystick or keypad.
Items:
a. Having a capability of penetrating 0.6 m or more of hot cell
wall (through-the-wall operation); or
b. Having a capability of bridging over the top of a hot cell
wall with a thickness of 0.6 m or more (over-the-wall operation)
2B226 Vacuum and controlled environment (inert gas) induction)
furnaces capable of operating above 1,123 K (850'C) and having
induction coils 600 mm or less in diameter and designed for power
inputs of 5 kW or more, and power supplies specially designed therefor
with a specified power output of 5 kW or more.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: This entry does not control furnaces
designed for semiconductor wafer manufacturing or processing.
Items: The list of items controlled is contained in the ECCN
heading.
[[Page 12966]]
2B227 Vacuum and controlled atmosphere metallurgical melting and
casting furnaces, and specially configured computer control and
monitoring systems therefor.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: Related Definition: This entry does not
control furnaces designed for semiconductor wafer manufacturing or
processing.
Items:
a. Arc remelt and casting furnaces with consumable electrode
capacities between 1,000 cm<SUP>3 and 20,000 cm<SUP>3, and capable
of operating with melting temperatures above 1,973 K (1,700 deg. C);
b. Electron beam melting and plasma atomization and melting
furnaces with a power of 50 kW or greater and capable of operating
with melting temperatures above 1,473 K (1,200 deg. C).
2B228 Rotor fabrication and assembly equipment and bellows-forming
mandrels and dies.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: N/A
Items:
a. Rotor assembly equipment (e.g., precision mandrels, clamps,
and shrink fit machines) for assembly of gas centrifuge rotor tube
sections, baffles, and end caps.
b. Rotor straightening equipment for alignment of gas centrifuge
rotor tube sections to a common axis;
Technical Note: Normally such equipment will consist of
precision measuring probes linked to a computer that subsequently
controls the action of, for example, pneumatic rams used for
aligning the rotor tube sections.
c. Bellows-forming mandrels and dies for producing single-
convolution bellows (bellows made of high-strength aluminum alloys,
maraging steel, or high-strength filamentary materials) that have
all of the following dimensions:
c.1. 75 mm to 400 mm (3 in. to 6 in.) inside diameter;
c.2. 12.7 mm (0.5 in) or more in length; and
c.3. Single convolution depth more than 2 mm (0.08 in.).
2B229 Centrifugal balancing machines, fixed or portable, horizontal or
vertical.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Designed for balancing flexible rotors having a length
of 600 mm (24 in.) or more and having all of the following
characteristics:
a.1. A swing or journal diameter of 75 mm (3 in.) or more;
a.2. Mass capability for 0.9 kg (2 lb.) to 23 kg (50 lb.); and
a.3. Capable of balancing speed of more than 5,000 rpm;
b. Designed for balancing hollow cylindrical rotor components,
and having all of the following characteristics:
b.1. A journal diameter of 75 mm (3 in.) or more;
b.2. Mass capability from 0.9 kg (2 lb.) to 23 kg (50 lb.);
b.3. Capable of balancing to a residual imbalance of 0.010 kg-
mm/kg per plane or better; and
b.4. Belt drive type.
2B230 Pressure transducers which are capable of measuring absolute
pressure at any point in the range 0 to 13 kPa, with pressure sensing
elements made of or protected by nickel, nickel alloys with more than
60% nickel by weight, aluminum or aluminum alloys.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: (1.)Pressure transducers are devices that
convert pressure measurements into an electrical signal. (2.) For
the purposes of this entry, ``accuracy'' includes non-linearity,
hysteresis and repeatability at ambient temperature.
Items:
a. Transducers with a full scale of less than 13 kPa and an
accuracy of better than <plus-minus> 1% of full scale;
b. Transducers with a full scale of 13 kPa or greater and an
accuracy of better than <plus-minus> 130 Pa.
2B231 Vacuum pumps with an input throat size of 38 cm (15 in.) or
greater with a pumping speed of 15,000 liters/second or greater and
capable of producing an ultimate vacuum better than 10\4\ Torr
(1.33 x 10<SUP>-4 mbar).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Vacuum pumps for gaseous diffusion separation
process are subject to the export licensing authority of the Nuclear
Regulatory Commission. (See 10 CFR part 110.)
Related Definition: (1.) The ultimate vacuum is determined at
the input of the pump with the input of the pump blocked off. (2.)
The pumping speed is determined at the measurement point with
nitrogen gas or air.
Items: The list of items controlled is contained in the ECCN
heading.
2B232 Multistage light gas guns or other high-velocity gun systems
(coil, electromagnetic, electrothermal, or other advanced systems)
capable of accelerating projectiles to 2 km/s or greater and
specialized components therefor.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
[[Page 12967]]
Items: The list of items controlled is contained in the ECCN
heading.
2B290 ``Numerically controlled'' machine tools not controlled by
2B001.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in Sec. value
Related Controls: N/A
Related Definition: N/A
Items:
a. Turning machines or combination turning/milling machines that
are capable of machining diameters greater than 2.5 meters.
b. Reserved.
2B350 Chemical manufacturing facilities and equipment.
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CB applies to entire entry............. CB Column 3.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: The controls in this entry do not apply to
equipment that is; a.) specially designed for use in civil
applications (e.g., food processing, pulp and paper processing, or
water purification); AND b.) inappropriate, by the nature of its
design, for use in storing, processing, producing or conducting and
controlling the flow of chemical weapons precursors controlled by
1C350.
Related Definition: For purposes of this entry the term
``chemical warfare agents'' are those agents subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. (See 22 CFR Part 121, Category XIV)
Items:
a. Chemical processing equipment described in paragraph a.1
having any of the flow contact surfaces described in paragraph a.2:
a.1. Chemical processing equipment, as follows:
a.1.a. Reaction vessels or reactors, with or without agitators,
with a total internal (geometric) volume greater than 0.1 m<SUP>3
(100 liters) and less than 20 m<SUP>3 (20,000 liters);
a.1.b Agitators for use in reaction vessels or reactors
described in 2B350.a.1.a;
a.1.c. Storage tanks, containers or receivers with a total
internal (geometric) volume greater than 0.1 m<SUP>3 (100 1);
a.1.d. Heat exchangers or condensers with a heat transfer
surface area less than 20 m<SUP>2;
a.1.e. Distillation or absorption columns having a diameter
greater than 0.1 m;
a.1.f. Multiple seal valves incorporating a leak detection port,
bellows-seal valves, non-return (check) valves or diaphragm valves;
or
a.1.g. Multi-walled piping incorporating a leak detection port;
a.2. Where all surfaces that come into direct contact with the
chemical(s) being processed or contained are made from any of the
following materials:
a.2.a. Nickel, or alloys with more than 40% nickel by weight;
a.2.b. Alloys with more than 25% nickel and 20% chromium by
weight;
a.2.c. Fluoropolymers;
a.2.d. Glass or glass-lined (including vitrified or enamelled
coating);
a.2.e. Graphite (for heat exchangers or condensers, distillation
or absorption columns, or multi-walled piping only);
a.2.f. Tantalum or tantalum alloys;
a.2.g. Titanium or titanium alloys; or
a.2.h. Zirconium or zirconium alloys.
b. Remotely operated filling equipment in which all surfaces
that come into direct contact with the chemical(s) being processed
are made from any of the following materials:
b.1. Nickel, or alloys with more than 40% nickel by weight; or
b.2. Alloys with more than 25% nickel and 20% chromium by
weight.
c. Multi-seal, canned drive, magnetic, bellows, or diaphragm
pumps, with manufacturer's specified maximum flow-rate greater than
0.6m<SUP>3/h, or vacuum pumps with the manufacturer's specified
maximum flow-rate greater than 5 m<SUP>3/h (under standard
temperature (0 deg.C) and pressure (101.30 kPa) conditions) in which
all surfaces that come into direct contact with the chemical(s)
being processed are made from any of the following materials:
c.1. Nickel, or alloys with more than 40% nickel by weight;
c.2. Alloys with more than 25% nickel and 20% chromium by
weight;
c.3. Fluoropolymers;
c.4. Glass or glass-lined (including vitrified or enamelled
coating);
c.5. Graphite;
c.6. Tantalum or tantalum alloys;
c.7. Titanium or titanium alloys;
c.8. Zirconium or zirconium alloys;
c.9. Ceramics; or
c.10. Ferrosilicon.
d. Incinerators that are designed to destroy chemical warfare
agents, or chemical weapons precursors controlled by ECCN 1C350,
having specially designed waste supply systems, special handling
facilities with an average combustion chamber temperature greater
than 1000 deg.C in which all surfaces in the waste supply system
that come into direct contact with the waste products are made from
or lined with any of the following materials:
d.1. Nickel, or alloys with more than 40% nickel by weight;
d.2. Alloys with more than 25% nickel and 20% chromium by
weight; or
d.3. Ceramics.
2B351 Toxic gas monitoring system; and dedicated detectors therefor.
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CB applies to entire entry............. CB Column 3.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Designed for continuous operation and usable for detecting
chemical warfare agents controlled on the U.S. Munitions List (See
22 CFR part 121) or chemical weapons precursors controlled by ECCN
1C350, or detecting organic compounds containing phosphorus,
sulphur, fluorine, or chlorine, or their compounds, at a
concentration less than 0.3 mg/m<SUP>3; and
b. Designed for the detection of chemical compounds having a
cholinesterase-inhibiting activity.
2B352 Biological equipment.
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CB applies to entire entry............. CB Column 3.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Complete containment facilities at P3 or P4 containment
level;
Technical Note: P3 or P4 (BL3, BL4, L3, L4) containment levels
are as specified in the WHO Laboratory Biosafety Manual (Geneva,
1983).
b. Fermenters capable of cultivation of pathogenic micro-
organisms, viruses or for toxin production, without the propagation
of aerosols, having a capacity equal to or greater than 100 liters.
Technical Note: Fermenters include bioreactors, chemostats, and
continuous-flow systems.
[[Page 12968]]
c. Centrifugal separators capable of the continuous separation
of pathogenic microorganisms, without the propagation of aerosols,
and having all of the following characteristics:
c.1. A flow rate greater than 100 liters per hour;
c.2. Components of polished stainless steel or titanium;
c.3. Double or multiple sealing joints within the stream
containment area;
c.4. Capable of in situ stream sterilization in a closed state.
Technical Note: Centifugal separators include decanters.
d. Cross-flow filtration equipment capable of continuous
separation of pathogenic microorganisms, viruses, toxins, and cell
cultures without the propagation of aerosols, having all of the
following characteristics:
d.1. Equal to or greater than 5 square meters;
d.2. Capable of in situ sterilization.
e. Steam sterilizable freeze-drying equipment with a condenser
capacity greater than 50 kgs. but less than 1,000 kgs. of ice in 24
hours.
f. Equipment that incorporates or is contained in P3 or P4
containment housing, as follows:
f.1. Independently ventilated protective full or half suits; and
f.2. Class III biological safety cabinets or isolators with
similar performance standards;
Note: In this entry, isolators include flexible isolators, dry
boxes, anaerobic chambers and glove boxes.
g. Chambers designed for aerosol challenge testing with
microorganisms, viruses, or toxins and having a capacity of 1
m<SUP>3 or greater.
2B985 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.
Note: Exports from the U.S. and transhipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See to 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.
2B991 Numerical control units for machine tools and ``numerically
controlled'' machine tools, n.e.s
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Numerical control'' units for machine tools:
a.1. Having four interpolating axes that can be coordinated
simultaneously for ``contouring control''; or
a.2. Having two or more axes that can be coordinated
simultaneously for ``contouring control'' and a minimum programmable
increment better (less) than 0.001 mm;
b. ``Numerically controlled'' machine tools that, according to
the manufacturer's technical specifications, can be equipped with
electronic devices for simultaneous ``contouring control'' in two or
more axes and that have both of the following characteristics:
b.1. Two or more axes that can be coordinated simultaneously for
contouring control; and
b.2. ``Positioning accuracies'', with all compensations
available:
b.2.a. Better than 0.020 mm, but no better than 0.004 mm along
any linear axis (overall positioning) for grinding machines;
b.2.b. Better than 0.020 mm, but no better than 0.006 mm along
any linear axis (overall positioning) for milling machines; or
b.2.c. Better than 0.020 mm, but no better than 0.010 mm along
any linear axis (overall positioning) for turning machines.
2B992 Manual dimensional inspection machines with two or more axes,
and measurement uncertainty equal to or less (better) than (3 + L/300)
micrometer in any axes (L measured length in mm).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled:
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B993 Gearmaking and/or finishing machinery not controlled by 2B003
capable of producing gears to a quality level of better than AGMA 11.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
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.
2B994 ``Robots'' not controlled by 2B007 or 2B207 that are capable of
employing feedback information in real-time processing from one or more
sensors to generate or modify ``programs'' or to generate or modify
numerical program data.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
C. Materials [Reserved]
D. Software
2D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
2A001 to 2A007 or 2B001 to 2B009.
License Requirements
Reason for Control: NS, MT, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
MT applies to ``software'' for MT Column 1.
equipment controlled by 2B004.
NP applies to ``software'' for NP Column 1.
equipment controlled by 2B001, 2B004,
2B006, 2B007 for NP reasons.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
[[Page 12969]]
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D002 Specific ``software.''
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
NP applies to 2D002.b.................. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: Sec. value
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Software'' to provide ``adaptive control'' and having both
of the following characteristics:
a.1. For ``flexible manufacturing units'' (FMUs) which consist
at least of equipment described in b.1 and b.2 of the definition of
``flexible manufacturing unit'' contained in part 772 of the EAR;
and
a.2. Capable of generating or modifying, in ``real time
processing'', programs or data by using the signals obtained
simultaneously by means of at least two detection techniques, such
as:
a.2.a. Machine vision (optical ranging);
a.2.b. Infrared imaging;
a.2.c. Acoustical imaging (acoustical ranging);
a.2.d. Tactile measurement;
a.2.e. Inertial positioning;
a.2.f. Force measurement;
a.2.g. Torque measurement;
Note: 2D002.a does not control ``software'' which only provides
rescheduling of functionally identical equipment within ``flexible
manufacturing units'' using pre-stored part programs and a pre-
stored strategy for the distribution of the part programs.
b. ``Software'' for electronic devices other than those
described in 2B001.a or b, which provides the ``numerical control''
capability of the equipment controlled by 2B001.
2D018 ``Software'' for the ``development'', ``production'' or ``use''
of equipment controlled by 2B018.
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
MT applies to ``software'' for MT Column 1.
equipment controlled by 2B018 for MT
reasons.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D101 ``Software'' for the ``development'', ``production'', or
``use'' of items controlled by 2B104, 2B115 or 2B116.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D201 ``Software'' specially designed for the ``development'',
``production'' or ``use'' of items controlled by 2B204, 2B207, 2B215,
2B227 or 2B229.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D290 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of items controlled by
2A290, 2A291 or 2B290.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to ``software'' for NP Column 1.
equipment controlled by 2A291 or 2B290.
NP applies to ``software'' for NP Column 2.
equipment controlled by 2A290.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D992 ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 2B992.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D993 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of equipment controlled by 2B991, 2B993, or
2B994.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D994 ``Software'' specially designed for the ``development'' or
``production'' of portable electric generators controlled by 2A994.
License Requirements
Reason for Control: AT
[[Page 12970]]
Control(s)
AT applies to entire entry. A license is required for items
controlled by this entry to Cuba, Iran, Libya, and North Korea. The
Commerce Country Chart is not designed to determine licensing
requirements for this entry. See part 746 of the EAR for additional
information.
Note: Exports from the U.S. and transhipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See Sec. 742.8 and Sec. 746.7 for additional information
on this requirement.)
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
2E001 ``Technology'' according to the General Technology Note for the
``development'' of items controlled by 2A (except 2A993 and 2A994) or
2B (except 2B018, 2B991 to 2B994) 2D (except 2D018, 2D992 to 2D994)
License Requirements
Reason for Control: NS, MT, NP, CB, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1.
controlled by 2A001 to 2A006, 2B001 to
2B009, 2D001 or 2D002.
MT applies to ``technology'' for items MT Column 1.
controlled by 2B004, 2B018 or 2B116,
2D001 or 2D101 for MT reasons.
NP applies to ``technology'' for items NP Column 1.
controlled by 2A292, 2A293, 2B001,
2B004, 2B006, 2B007, 2B104, 2B215,
2B225, 2B226, 2B228, 2B229, 2B231,
2B290, 2D001, 2D002 or 2D201 for NP
reasons.
NP applies to ``technology'' for NP Column 2.
equipment controlled by 2A290.
CB applies to ``technology'' for CB Column 3.
equipment controlled by 2B350 to 2B352.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License 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.
2E002 ``Technology'' according to the General Technology Note for the
``production'' of items controlled by 2A (except 2A993 and 2A994) or 2B
(except 2B018, 2B991 to 2B994).
License Requirements
Reason for Control: NS, MT, NP, CB, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to ``technology'' for NS Column 1.
equipment controlled by 2A001 to
2A006, 2B001 to 2B009.
MT applies to ``technology'' for MT Column 1.
equipment controlled by 2B004, 2B018,
and 2B116 for MT reasons.
NP applies to ``technology'' for NP Column 1.
equipment controlled by 2A292, 2A293,
2B001, 2B004, 2B006, 2B007, 2B104,
2B215, 2B225, 2B226, 2B228, 2B229,
2B231, 2B290 NP reasons.
NP applies to ``technology'' for NP Column 2.
equipment controlled by 2A290.
CB applies to ``technology'' for CB Column 3.
equipment controlled by 2B350 to 2b352.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License 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.
2E003 Other ``technology''.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
NP applies to ``technology'' controlled NP Column 1.
by 2E003.a.1 or a.3..
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes, except 2E003.a.1, a.3, .b, and .d
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Technology'':
a.1 For the ``development'' of interactive graphics as an
integrated part in ``numerical control'' units for preparation or
modification of part programs;
a.2 For the ``development'' of generators of machine tool
instructions (e.g., part programs) from design data residing inside
``numerical control'' units;
a.3 For the ``development'' of integration ``software'' for
incorporation of expert systems for advanced decision support of
shop floor operations into ``numerical control'' units;
b. ``Technology'' for metal-working manufacturing processes, as
follows:
b.1. ``Technology'' for the design of tools, dies or fixtures
specially designed for the following processes:
b.1.a. ``Superplastic forming'';
b.1.b. ``Diffusion bonding'';
b.1.c. ``Direct-acting hydraulic pressing'';
b.2. ``Technology'' consisting of process methods or parameters
as listed below used to control:
b.2.a. ``Superplastic forming'' of aluminium alloys, titanium
alloys or ``superalloys'':
b.2.a.1. Surface preparation;
b.2.a.2. Strain rate;
b.2.a.3. Temperature;
b.2.a.4. Pressure;
b.2.b. ``Diffusion bonding'' of ``superalloys'' or titanium
alloys:
b.2.b.1. Surface preparation;
b.2.b.2. Temperature;
b.2.b.3. Pressure;
b.2.c. ``Direct-acting hydraulic pressing'' of aluminium alloys
or titanium alloys:
b.2.c.1. Pressure;
b.2.c.2. Cycle time;
b.2.d. ``Hot isostatic densification'' of titanium alloys,
aluminium alloys or ``superalloys'':
b.2.d.1. Temperature;
b.2.d.2. Pressure;
b.2.d.3. Cycle time;
c. ``Technology'' for the ``development'' or ``production'' of
hydraulic stretch-forming machines and dies therefor, for the
manufacture of airframe structures;
d. ``Technology'' for:
d.1 The application of inorganic overlay coatings or inorganic
surface modification coatings, specified in column 3 of the
following Table;
d.2 To non-electronic substrates, specified in column 2 of the
following Table;
d.3 By processes specified in column 1 of the following Table
and defined in the Technical Note;
Category 2E--Materials Processing Table; Deposition Techniques
------------------------------------------------------------------------
1. Coating Process (1) 2. Substrate 3. Resultant Coating
------------------------------------------------------------------------
A. Chemical Vapor Deposition ``Superalloys''..... Aluminides for
(CDV). internal passages.
[[Page 12971]]
Ceramics and Low- Silicides.
expansion glasses Carbides.
(14). Dielectric layers
(15).
Carbon-carbon, Silicides.
Ceramic, and Metal Carbides.
matrix composites. Refractory metals.
Mixtures thereof
(4).
Dielectric layers
(15).
Aluminides
Alloyed aluminides
(2).
Cemented tungsten Carbides.
carbide (16), Tungsten.
Silicon carbide. Mixtures thereof.
(4)
Dielectric layers
(15).
Molybdenum and Dielectric layers
Molybdenum alloys. (15).
Beryllium and Dielectric layers
Beryllium alloys. (15).
Sensor window Dielectric layers
materials (9). (15).
B. Thermal-Evaporation
Physical Vapor Deposition
(TE-PVD).
1. Physical Vapor ``Superalloys''..... Alloyed silicides.
Deposition (PVD): Alloyed aluminides
Electron-Beam (EB-PVB). (2).
MCrAlx (5).
Modified zirconia
(12).
Silicides.
Aluminides.
Mixtures thereof
(4).
Ceramics and Low- Dielectric layers
expansion glasses (15).
(14).
Corrosion resistant MCrAlx (5).
steel (7). Modified zirconia
(12).
Mixtures thereof
(4).
Carbon-carbon, Silicides.
Ceramic and Metal Carbides.
matrix composites. Refractory metals.
Mixtures thereof
(4).
Dielectric layers
(15).
Cemented tungsten Carbides.
carbide (16), Tungsten.
Silicon carbide. Mixtures thereof (4)
Dielectric layers
(15).
Molybdenum and Dielectric layers
Molybdenum alloys. (15).
Beryllium and Dielectric layers
Beryllium alloys. (15).
Borides.
Sensor window Dielectric layers
materials (9). (15).
Titanium alloys (13) Borides.
Nitrides.
2. Ion assisted Ceramics and Low- Dielectric layers
resistive heating expansion glasses (15).
Physical Vapor (14).
Deposition (Ion
Plating).
Carbon-carbon, Dielectric layers
Ceramic and Metal (15).
matrix composites.
Cemented tungsten Dielectric layers
carbide (16), (15).
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15).
Beryllium and Dielectric layers
Beryllium alloys. (15).
Sensor window Dielectric layers
materials (9). (15).
3. Physical Vapor Ceramics and Low- Silicides.
Deposition: ``laser'' expansion glasses Dielectric layers
evaporation. (14). (15).
Carbon-carbon, Dielectric layers
Ceramic and Metal (15).
matrix composites.
Cemented tungsten Dielectric layers
carbide (16), (15).
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15).
Beryllium and Dielectric layers
Beryllium alloys. (15).
Sensor window Dielectric layers
materials (9). (15).
4. Physical Vapor ``Superalloys''..... Alloyed silicides.
Deposition: cathodic Alloyed aluminides
arc discharge. (2).
MCrAlx (5).
Polymers (11) and Borides.
Organic matrix Carbides.
composites. Nitrides.
C. Pack cementation (see A Carbon-carbon, Silicides.
above for out-of-pack Ceramic and Metal Carbides.
cementation) (10). matrix composites. Mixtures thereof
(4).
[[Page 12972]]
Titanium alloys (13) Silicides.
Aluminides.
Alloyed aluminides
(2).
Refractory metals
and alloys (8).
D. Plasma spraying.......... Superalloys......... MCrAlx (5).
Modified zirconia
(12).
Mixtures thereof
(4).
Abradable.
Nickel-Graphite.
Abradable.
Ni-Cr-Al-.
Bentonite.
Abradable.
Al-Si-Polyester.
Alloyed aluminides
(2).
Aluminum alloys (6). MCrAlx (5).
Modified zirconia
(12).
Silicides.
Mixtures thereof
(4).
Refractory metals Aluminides.
and alloys (8). Silicides.
Carbides.
Corrosion resistant Modified zirconia
steel (7). (12).
Mixtures thereof
(4).
Titanium alloys (13) Carbides.
Aluminides.
Silicides.
Alloyed aluminides
(2).
Abradable.
Nickel-Graphite.
Abradable.
Ni-Cr-Al-.
Bentonite.
Abradable.
Al-Si-Polyester.
E. Slurry Deposition........ Refractory metals Fused silicides.
and alloys (8). Fused aluminides
except for
resistance heating
elements.
Carbon-carbon, Silicides.
Ceramic and Metal Carbides.
matrix composites. Mixtures thereof
(4).
F. Sputter Deposition....... ``Superalloys''..... Alloyed silicides.
Alloyed aluminides
(2).
Noble metal modified
aluminides (3).
MCrAlx (5).
Modified zirconia
(12).
Platinum.
Mixtures thereof
(4).
Ceramics and Low- Silicides.
expansion glasses Platinum.
(14). Mixtures thereof.
(4)
Dielectric layers
(15).
Titanium alloys (13) Borides.
Nitrides.
Oxides.
Silicides.
Aluminides.
Alloyed aluminides
(2).
Carbides.
Carbon-carbon, Silicides.
Ceramic and Metal Carbides.
matrix composites. Refractory metals.
Mixtures thereof
(4).
Dielectric layers
(15).
Cemented tungsten Carbides.
carbide (16), Tungsten.
Silicon carbide. Mixtures thereof
(4).
Dielectric layers
(15).
Molybdenum and Dielectric layers
Molybdenum alloys. (15).
Beryllium and Borides.
Beryllium alloys. Dielectric layers
(15).
Sensor window Dielectric layers
materials (9). (15).
[[Page 12973]]
Refractory metals Aluminides.
and alloys (8). Silicides.
Oxides.
Carbides.
G. Ion Implantation......... High temperature Additions of
bearing steels. Chromium, Tantalum,
or Niobium
(Columbium).
Titanium alloys (15) Borides.
Nitrides.
Beryllium and Borides.
Beryllium alloys.
Cemented tungsten Carbides.
carbide (16). Nitrides.
------------------------------------------------------------------------
Notes to Table on Deposition Techniques
1. The term ``coating process'' includes coating repair and
refurbishing as well as original coating.
2. The term ``alloyed aluminide'' coating includes single or
multiple-step coatings in which an element or elements are deposited
prior to or during application of the aluminide coating, even if
these elements are deposited by another coating process. It does
not, however, include the multiple use of single-step pack
cementation processes to achieve alloyed aluminides.
3. The term `noble metal modified aluminide' coating includes
multiple-step coatings in which the noble metal or noble metals are
laid down by some other coating process prior to application of the
aluminide coating.
4. Mixtures consist of infiltrated material, graded
compositions, co-deposits and multilayer deposits and are obtained
by one or more of the coating processes specified in the Table.
5. MCrAlX refers to a coating alloy where M equals cobalt, iron,
nickel or combinations thereof and X equals hafnium, yttrium,
silicon, tantalum in any amount or other intentional additions over
0.01 weight percent in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22 weight percent of
chromium, less than 7 weight percent of aluminium and less than 2
weight percent of yttrium;
b. CoCrAlY coatings which contain 22 to 24 weight percent of
chromium, 10 to 12 weight percent of aluminium and 0.5 to 0.7 weight
percent of yttrium; or
c. NiCrAlY coatings which contain 21 to 23 weight percent of
chromium, 10 to 12 weight percent of aluminium and 0.9 to 1.1 weight
percent of yttrium.
6. The term ``aluminium alloys'' refers to alloys having an
ultimate tensile strength of 190 MPa or more measured at 293 K
(20 deg. C).
7. The term `corrosion resistant steel' refers to AISI (American
Iron and Steel Institute) 300 series or equivalent standard steels.
8. Refractory metals consist of the following metals and their
alloys: niobium (columbium), molybdenum, tungsten and tantalum.
9. Sensor window materials, as follows: alumina, silicon,
germanium, zinc sulphide, zinc selenide, gallium arsenide and the
following metal halides: potassium iodide, potassium fluoride, or
sensor window materials of more than 40 mm diameter for thallium
bromide and thallium chlorobromide.
10. ``Technology'' for single-step pack cementation of solid
airfoils is not controlled by this Category.
11. Polymers, as follows: polyimide, polyester, polysulfide,
polycarbonates and polyurethanes.
12. Modified zirconia refers to additions of other metal oxides,
e.g., calcia, magnesia, yttria, hafnia, rare earth oxides, etc., to
zirconia in order to stabilize certain crystallographic phases and
phase compositions. Thermal barrier coatings made of zirconia,
modified with calcia or magnesia by mixing or fusion, are not
controlled.
13. Titanium alloys refers to aerospace alloys having an
ultimate tensile strength of 900 MPa or more measured at 293 K
(20 deg. C).
14. Low-expansion glasses refers to glasses which have a
coefficient of thermal expansion of 1 x 10<SUP>-7 K<SUP>-1 or less
measured at 293 K (20 deg. C).
15. Dielectric layers are coatings constructed of multi-layers
of insulator materials in which the interference properties of a
design composed of materials of various refractive indices are used
to reflect, transmit or absorb various wavelength bands. Dielectric
layers refers to more than four dielectric layers or dielectric/
metal composite layers.
16. Cemented tungsten carbide does not include cutting and
forming tool materials consisting of tungsten carbide/(cobalt,
nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-
chromium and chromium arbide/nickel.
Technical Note to Table on Deposition Techniques
Processes specified in Column 1 of the Table are defined as
follows:
a. Chemical Vapor Deposition (CVD) is an overlay coating or
surface modification coating process wherein a metal, alloy,
composite, dielectric or ceramic is deposited upon a heated
substrate. Gaseous reactants are decomposed or combined in the
vicinity of a substrate resulting in the deposition of the desired
elemental, alloy or compound material on the substrate. Energy for
this decomposition or chemical reaction process may be provided by
the heat of the substrate, a glow discharge plasma, or ``laser''
irradiation.
Note 1: CVD includes the following processes: directed gas flow
out-of-pack deposition, pulsating CVD, controlled nucleation thermal
decomposition (CNTD), plasma enhanced or plasma assisted CVD
processes.
Note 2: Pack denotes a substrate immersed in a powder mixture.
Note 3: The gaseous reactants used in the out-of-pack process
are produced using the same basic reactions and parameters as the
pack cementation process, except that the substrate to be coated is
not in contact with the powder mixture.
b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an
overlay coating process conducted in a vacuum with a pressure less
than 0.1 Pa wherein a source of thermal energy is used to vaporize
the coating material. This process results in the condensation, or
deposition, of the evaporated species onto appropriately positioned
substrates. The addition of gases to the vacuum chamber during the
coating process to synthesize compound coatings is an ordinary
modification of the process. The use of ion or electron beams, or
plasma, to activate or assist the coating's deposition is also a
common modification in this technique. The use of monitors to
provide in-process measurement of optical characteristics and
thickness of coatings can be a feature of these processes. Specific
TE-PVD processes are as follows:
1. Electron Beam PVD uses an electron beam to heat and evaporate
the material which forms the coating;
2. Resistive Heating PVD employs electrically resistive heating
sources capable of producing a controlled and uniform flux of
evaporated coating species;
3. ``Laser'' Evaporation uses either pulsed or continuous wave
``laser'' beams to heat the material which forms the coating;
4. Cathodic Arc Deposition employs a consumable cathode of the
material which forms the coating and has an arc discharge
established on the surface by a momentary contact of a ground
trigger. Controlled motion of arcing erodes the cathode surface
creating a highly ionized plasma. The anode can be either a cone
attached to the periphery of the cathode, through an insulator, or
the chamber. Substrate biasing is used for non line-of-sight
deposition.
Note: This definition does not include random cathodic arc
deposition with non-biased substrates.
c. Ion Plating is a special modification of a general TE-PVD
process in which a plasma
[[Page 12974]]
or an ion source is used to ionize the species to be deposited, and
a negative bias is applied to the substrate in order to facilitate
the extraction of the species to be deposited from the plasma. The
introduction of reactive species, evaporation of solids within the
process chamber, and the use of monitors to provide in-process
measurement of optical characteristics and thicknesses of coatings
are ordinary modifications of the process.
d. Pack Cementation is a surface modification coating or overlay
coating process wherein a substrate is immersed in a powder mixture
(a pack), that consists of:
1. The metallic powders that are to be deposited (usually
aluminum, chromium, silicon or combinations thereof);
2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina. The substrate and
powder mixture is contained within a retort which is heated to
between 1,030 K (757 deg. C) to 1,375 K (1,102 deg. C) for
sufficient time to deposit the coating.
e. Plasma Spraying is an overlay coating process wherein a gun
(spray torch) which produces and controls a plasma accepts powder or
wire coating materials, melts them and propels them towards a
substrate, whereon an integrally bonded coating is formed. Plasma
spraying constitutes either low pressure plasma spraying or high
velocity plasma spraying carried out underwater.
Note 1: Low pressure means less than ambient atmospheric
pressure.
Note 2: High velocity refers to nozzle-exit gas velocity
exceeding 750 m/s calculated at 293 K (20 deg. C) at 0.1 MPa.
f. Slurry Deposition is a surface modification coating or
overlay coating process wherein a metallic or ceramic powder with an
organic binder is suspended in a liquid and is applied to a
substrate by either spraying, dipping or painting, subsequent air or
oven drying, and heat treatment to obtain the desired coating.
g. Sputter Deposition is an overlay coating process based on a
momentum transfer phenomenon, wherein positive ions are accelerated
by an electric field towards the surface of a target (coating
material). The kinetic energy of the impacting ions is sufficient to
cause target surface atoms to be released and deposited on an
appropriately positioned substrate.
Note 1: The Table refers only to triode, magnetron or reactive
sputter deposition which is used to increase adhesion of the coating
and rate of deposition and to radio frequency (RF) augmented sputter
deposition used to permit vaporization of non-metallic coating
materials.
Note 2: Low-energy ion beams (less than 5 keV) can be used to
activate the deposition.
h. Ion Implantation is a surface modification coating process in
which the element to be alloyed is ionized, accelerated through a
potential gradient and implanted into the surface region of the
substrate. This includes processes in which ion implantation is
performed simultaneously with electron beam physical vapor
deposition or sputter deposition.
Accompanying Technical Information to Table on Deposition Techniques
1. ``Technology'' for pretreatments of the substrates listed in
the Table, as follows:
a. Chemical stripping and cleaning bath cycle parameters, as
follows:
1. Bath composition;
a. For the removal of old or defective coating corrosion product
or foreign deposits;
b. For preparation of virgin substrates;
2. Time in bath;
3. Temperature of bath;
4. Number and sequences of wash cycles;
b. Visual and macroscopic criteria for acceptance of the cleaned
part;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Temperature for heat treatment;
3. Time of heat treatment;
d. Substrate surface preparation parameters, as follows:
1. Grit blasting parameters, as follows:
a. Grit composition;
b. Grit size and shape;
c. Grit velocity;
2. Time and sequence of cleaning cycle after grit blast;
3. Surface finish parameters;
e. Masking technique parameters, as follows:
1. Material of mask;
2. Location of mask;
2. ``Technology'' for in situ quality assurance techniques for
evaluation of the coating processes listed in the Table, as follows:
a. Atmosphere parameters, as follows:
1. Composition of the atmosphere;
2. Pressure of the atmosphere;
b. Time parameters;
c. Temperature parameters;
d. Thickness parameters;
e. Index of refraction parameters;
3. ``Technology'' for post deposition treatments of the coated
substrates listed in the Table, as follows:
a. Shot peening parameters, as follows:
1. Shot composition;
2. Shot size;
3. Shot velocity;
b. Post shot peening cleaning parameters;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Time-temperature cycles;
d. Post heat treatment visual and macroscopic criteria for
acceptance of the coated substrates;
4. ``Technology'' for quality assurance techniques for the
evaluation of the coated substrates listed in the Table, as follows:
a. Statistical sampling criteria;
b. Microscopic criteria for:
1. Magnification;
2. Coating thickness uniformity;
3. Coating integrity;
4. Coating composition;
5. Coating and substrates bonding;
6. Microstructural uniformity.
c. Criteria for optical properties assessment:
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. ``Technology'' and parameters related to specific coating and
surface modification processes listed in the Table, as follows:
a. For Chemical Vapor Deposition:
1. Coating source composition and formulation;
2. Carrier gas composition;
3. Substrate temperature;
4. Time-temperature-pressure cycles;
5. Gas control and part manipulation;
b. For Thermal Evaporation--Physical Vapor Deposition:
1. Ingot or coating material source composition;
2. Substrate temperature;
3. Reactive gas composition;
4. Ingot feed rate or material vaporization rate;
5. Time-temperature-pressure cycles;
6. Beam and part manipulation;
7. ``Laser'' parameters, as follows:
a. Wave length;
b. Power density;
c. Pulse length;
d. Repetition ratio;
e. Source;
f. Substrate orientation;
c. For Pack Cementation:
1. Pack composition and formulation;
2. Carrier gas composition;
3. Time-temperature-pressure cycles;
d. For Plasma Spraying:
1. Powder composition, preparation and size distributions;
2. Feed gas composition and parameters;
3. Substrate temperature;
4. Gun power parameters;
5. Spray distance;
6. Spray angle;
7. Cover gas composition, pressure and flow rates;
8. Gun control and part manipulation;
e. For Sputter Deposition:
1. Target composition and fabrication;
2. Geometrical positioning of part and target;
3. Reactive gas composition;
4. Electrical bias;
5. Time-temperature-pressure cycles;
6. Triode power;
7. Part manipulation;
f. For Ion Implantation:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate
parameters;
4. Time-temperature-pressure cycles.
g. For Ion Plating:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate
parameters;
4. Time-temperature-pressure cycles;
5. Coating material feed rate and vaporization rate;
6. Substrate temperature;
7. Substrate bias parameters.
2E018 ``Technology'' for the ``use'' of equipment controlled by 2B018.
License Requirements
Reason for Control: NS, MT, AT
[[Page 12975]]
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
MT applies to ``technology'' for MT Column 1.
equipment controlled by 2B018 for MT
reasons.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2E101 ``Technology'' according to the General Technology Note for the
``use'' of items or ``software'' controlled by 2B004, 2B104, 2B115,
2B116 or 2D101.
License Requirements
Reason for Control: MT, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
NP applies to 2B004 and 2B104.a........ NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2E201 ``Technology'' according to the General Technology Note for the
``use'' of items or ``software'' controlled by 2A225, 2A226, 2B001,
2B006, 2B007, 2B204, 2B207, 2B215, 2B225 to 2B232 or 2D201 for NP
reasons.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2E290 ``Technology'' according to the General Technology Note for the
``use'' of items controlled by 2A290, 2A291, 2A292, 2A293, 2A294, 29295
and 2B290.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to ``technology'' for NP Column 1.
equipment controlled by 2A291 to 2A295
or 2B290.
NP applies to ``technology'' for NP Column 2.
equipment controlled by 2A290.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2E301 ``Technology'' for ``use'' of items controlled by 2B350, 2B351
and 2B352.
License Requirements
Reason for Control: CB, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CB applies to entire entry............. CB Column 3.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The lists of items controlled are contained in the ECCN
headings.
2E993 ``Technology'' for the ``use'' of equipment controlled by 2B991,
2B992, 2B993, or 2B994.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2E994 ``Technology'' for the ``use'' of portable electric generators
controlled by 2A994.
License Requirements
Reason for Control: AT
Control(s): AT applies to entire entry. A license is required
for items controlled by this entry to Cuba, Iran, Libya, and North
Korea. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information.
Note: Exports from the U.S. and transshipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See Sec. 742.8 and Sec. 746.7 of the EAR for additional
information on this requirement.)
License Exceptions
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.
Advisory Notes for Category 2
Advisory Note 1: Licenses are likely to be approved, as
administrative exceptions, to satisfactory end-users in the People's
Republic of China of machine tools for milling controlled by
2B001.c.1 to civil end-users other than nuclear and aerospace,
provided that they are not controlled by 2B001.c.1.b.1, c.1.b.4,
c.1.b.5, or c.1.b.6.
Advisory Note 2: Licenses are likely to be approved, as
administrative exceptions, to satisfactory end-users in Country
Group D:1 of equipment controlled by 2B006.b.1 to civil end-users
not engaged in aerospace or nuclear activities.
Category 3--Electronics Design, Development and Production
A. Equipment, Assemblies and Components
Note 1: The control status of equipment, devices and components
described in Category 3A, other than those described in 3A001.a.3 to
a.10, or 3A001.a.12, that are specially designed for or that have
the same functional characteristics as other equipment are
determined by the control status of the other equipment.
Note 2: The control status of integrated circuits described in
3A001.a.3 to a.9 or 3A001.a.12 that are unalterably programmed or
designed for a specific function for other equipment is determined
by the control status of the other equipment.
N.B.: When the manufacturer or applicant cannot determine the
control status of the other equipment, the control status of the
integrated circuits is determined in 3A001.a.3 to a.9 or 3A001.a.12.
If the
[[Page 12976]]
integrated circuit is a silicon-based ``microcomputer microcircuit''
or a microcontroller microcircuit described in 3A001.a.3 having an
operand (data) word length of 8 bits or less, the control status of
the integrated circuit is determined in 3A001.a.3.
3A001 Electronic devices and components.
License Requirements
Reason for Control: NS, MT, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
MT applies to 3A001.a.1.a.............. MT Column 1.
NP applies to 3A001.e.5................ NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $1500: 3A001.c; $3000: 3A001.b.1, b.2, b.3, .d, .e and .f;
$5000: 3A001.a, and .b.4 to b.7
GBS: Yes, except 3A001.a.1, b.1, b.3 to b.7, c to f
CIV: Yes, except 3A001.a.1, a.2, a.5, a.6, a.9, a.10, and a.12,
.b, .c, .d, .e, and .f
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: a. General purpose integrated circuits, as follows:
Notes: 1. The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
2. Integrated circuits include the following types:
``Monolithic integrated circuits'';
``Hybrid integrated circuits'';
``Multichip integrated circuits'';
``Film type integrated circuits'', including silicon-on-sapphire
integrated circuits;
``Optical integrated circuits''.
a.1. Integrated circuits, designed or rated as radiation
hardened to withstand either of the following:
a.1.a. A total dose of 5 x 10\5\ Rads (Si), or higher; or
a.1.b. A dose rate upset of 5 x 10\8\ Rads (Si)/s or higher;
a.2. Integrated circuits described in 3A00l.a.3 to a.10 or
3A00l.a.12, as follow:
a.2.a. Rated for operation at an ambient temperature above 398 K
(+125 deg. C);
a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 deg. C); or
a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 deg. C) to 398 K (+125 deg. C);
Note: 3A00l.a.2 does not apply to integrated circuits for civil
automobile or railway train applications.
a.3. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'' and microcontroller microcircuits, having any of the
following:
Note: 3A00l.a.3 includes digital signal processors, digital
array processors and digital coprocessors.
a.3.a An arithmetic logic unit with an access width of 32 bit or
more and a ``composite theoretical performance'' (``CTP'') of 80
million theoretical operations per second (Mtops) or more;
a.3.b. Manufactured from a compound semiconductor and operating
a clock frequency exceeding 40 MHz; or
a.3.c. More than one data or instruction bus or serial
communication port for external interconnection in a parallel
processor with a transfer rate exceeding 2.5 Mbyte/s;
a.4. Electrically erasable programmable read-only memories
(EEPROMs), static random-access memories (SRAMs), and storage
integrated circuits manufactured from a compound semiconductor, as
follows:
a.4.a. Electrically erasable programmable read-only memories
(EEPROMs) with a storage capacity:
a.4.a.1. Exceeding 16 Mbit per package for flash memory types;
or
a.4.a.2. Exceeding either of the following limits for all other
EEPROM types:
a.4.a.2.a. 4 Mbit per package; or
a.4.a.2.b. 1 Mbit per package and having a maximum access time
of less than 80 ns;
a.4.b. Static random-access memories (SRAMs) with a storage
capacity:
a.4.b.1. Exceeding 4 Mbit per package; or
b.4.b.2. Exceeding 1 Mbit per package and having a maximum
access time of less than 20 ns;
a.4.c. Storage integrated circuits manufactured from a compound
semiconductor;
a.5. Analog-to-digital and digital-to-analog converter
integrated circuits, as follows:
a.5.a. Analog-to-digital converters having any of the following:
a.5.a.1. A resolution of 8 bits or more, but less than 12 bits,
with a total conversion time to maximum resolution of less than 10
ns;
a.5.a.2. A resolution of 12 bits with a total conversion time to
maximum resolution of less than 200 ns; or
a.5.a.3. A resolution of more than 12 bits with a total
conversion time to maximum resolution of less than 2 microseconds;
a.5.b. Digital-to-analog converters with a resolution of 12 bits
or more, and a ``settling time'' of less than 10 ns;
a.6. Electro-optical or ``optical integrated circuits'' for
``signal processing'' having all of the following:
a.6.a. One or more internal ``laser'' diodes;
a.6.b. One or more internal light detecting elements; and
a.6.c. Optical waveguides;
a.7. Field programmable gate arrays having either of the
following:
a.7.a. An equivalent usable gate count of more than 30,000 (2
input gates); or
a.7.b. A typical ``basic gate propagation delay time'' of less
than 0.4 ns;
a.8. Field programmable logic arrays having either of the
following:
a.8.a. An equivalent usable gate count of more than 30,000 (2
input gates); or
b. A toggle frequency exceeding 133 MHz;
a.9. Neural network integrated circuits;
a.10. Custom integrated circuits for which either the function
is unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
a.10.a. More than 144 terminals;
a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.4 ns; or
a.10.c. An operating frequency exceeding 3 GHz;
a.11. Digital integrated circuits, other than those described in
3A001.a.3 to a.l0 or 3A001.a.12, based upon any compound
semiconductor and having either of the following:
a.11.a. An equivalent gate count of more than 300 (2 input
gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having any of the
following characteristics:
a.12.a. A rated execution time for a 1,024 point complex FFT of
less than 1 ms;
a.12.b. A rated execution time for an N-point complex FFT of
other than 1,024 points of less than N log<INF>2 N/10,240 ms, where
N is the number of points; or
a.12.c. A butterfly throughput of more than 5.12 MHz;
b. Microwave or millimeter wave devices:
b.1. Electronic vacuum tubes and cathodes, as follows:
(Frequency agile magnetron tubes are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121, Category XI.)
Note: 3A001.b.1 does not control tubes designed or rated to
operate in the Standard Civil Telecommunications Bands at
frequencies not exceeding 31 GHz.
b.1.a. Traveling wave tubes, pulsed or continuous wave, as
follows:
b.1.a.1 Operating at frequencies higher than 31 GHz;
b.1.a.2. Having a cathode heater element with a turn on time to
rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity tubes, or derivatives thereof, with an
``instantaneous bandwidth'' of more than 7% or a peak power
exceeding 2.5 kW;
b.1.a.4. Helix tubes, or derivatives thereof, with any of the
following characteristics:
b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1; or
b.1.a.4.c. ``Space qualified'';
b.1.b. Crossed-field amplifier tubes with a gain of more than 17
dB;
b.1.c. Impregnated cathodes for electronic tubes, with either of
the following:
b.1.c.1. Having a turn on time to rated emission of less than 3
seconds; or
b.1.c.2. Producing a continuous emission current density at
rated operating conditions exceeding 5 A/cm<SUP>2;
b.2. Microwave integrated circuits or modules containing
``monolithic integrated circuits'' operating at frequencies
exceeding 3 GHz;
Note: 3A001.b.2 does not control circuits or modules for
equipment designed or rated to operate in the Standard Civil
[[Page 12977]]
Telecommunications Bands at frequencies not exceeding 31 GHz.
b.3. Microwave transistors rated for operation at frequencies
exceeding 31 GHz;
b.4. Microwave solid state amplifiers, as follows:
b.4.a. Operating at frequencies exceeding 10.5 GHz and having an
``instantaneous bandwidth'' of more than half an octave; or
b.4.b. Operating at frequencies exceeding 31 GHz;
b.5. Electronically or magnetically tunable band-pass or band-
stop filters having more than 5 tunable resonators capable of tuning
across a 1.5:1 frequency band (f<INF>max/f<INF>min) in less than 10
microseconds with either:
b.5.a. A band-pass bandwidth of more than 0.5 % of center
frequency; or
b.5.b. A band-stop bandwidth of less than 0.5 percent of center
frequency;
b.6. Microwave assemblies capable of operating at frequencies
exceeding 31 GHz;
b.7. Mixers and converters designed to extend the frequency
range of equipment described in 3A002.c, 3A002.e or 3A002.f beyond
the control limits stated therein;
c. Acoustic wave devices, as follows, and specially designed
components therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having any of the following:
c.1.a. A carrier frequency exceeding 2.5 GHz;
c.1.b. A carrier frequency 2.5 GHz or less, and:
c.1.b.1. A frequency side-lobe rejection exceeding 55 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth
(time in microseconds and bandwidth in MHz) of more than 100; or
c.1.b.3. A dispersive delay of more than 10 microseconds; or
c.1.c. A carrier frequency exceeding 1 GHz and a bandwidth of
250 MHz or more;
c.2. Bulk (volume) acoustic wave devices (i.e., ``signal
processing'' devices employing elastic waves) that permit the direct
processing of signals at frequencies exceeding 1 GHz;
c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;
d. Electronic devices or circuits containing components,
manufactured from ``superconductive'' materials specially designed
for operation at temperatures below the ``critical temperature'' of
at least one of the ``superconductive'' constituents, with any of
the following:
d.1. Electromagnetic amplification:
d.1.a. At frequencies equal to or less than 31 GHz with a noise
figure of less than 0.5 dB; or
d.1.b. At frequencies exceeding 31 GHz;
d.2. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10<SUP>-14 J; or
d.3. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
e. High energy devices, as follows:
e.1. Batteries, as follows:
Note: 3A001.e.1 does not control batteries with volumes equal to
or less than 27 cm<SUP>3 (e.g., standard C-cells or R 14 batteries).
e.1.a. Primary cells and batteries having an energy density
exceeding 480 Wh/kg and rated for operation in the temperature range
from below 243 K (-30 deg. C) to above 343 K (70 deg. C);
e.1.b. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (C being the nominal capacity in ampere
hours) when operating in the temperature range from below 253 K
(-20 deg. C) to above 333 K (60 deg. C);
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75%
of the open circuit voltage divided by the total mass of the cell
(or battery) in kg.
e.1.c. ``Space qualified'' and radiation hardened photovoltaic
arrays with a specific power exceeding 160 W/m<SUP>2 at an operating
temperature of 301 K (28 deg. C) under a tungsten illumination of 1
kW/m<SUP>2 at 2,800 K (2,527 deg. C);
e.2. High energy storage capacitors, as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) having all of the following:
e.2.a.1. A voltage rating equal, to or more than 5 kV;
e.2.a.2. An energy density equal to or more than 250 J/kg; and
e.2.a.3. A total energy equal to or more than 25 kJ;
e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) having all of the following:
e.2.b.1. A voltage rating equal to or more than 5 kv;
e.2.b.2. An energy density equal to or more than 50 J/kg;
e.2.b.3. A total energy equal to or more than 100 J; and
e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
e.3. ``Superconductive'' electromagnets or solenoids specially
designed to be fully charged or discharged in less than one second,
having all of the following:
e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/
mm<SUP>2;
Note: 3A001.e.3. does not control ``superconductive''
electromagnets or solenoids specially designed for Magnetic
Resonance Imaging (MRI) medical equipment.
e.4. Circuits or systems for electromagnetic energy storage,
containing components manufactured from ``superconductive''
materials specially designed for operation at temperatures below the
``critical temperature of at least one of their ``superconductive''
constituents, having all of the following:
e.4.a. Resonant operating frequencies exceeding 1 MHz;
e.4.b. A stored energy density of 1 MJ/m <SUP>3 or more; and
3.4.c. A discharge time of less than 1 ms; e.5. Flash discharge
type X-ray systems, and tubes therefor, having all of the following:
e.5.a. A peak power exceeding 500 MW;
e.5.b. An output voltage exceeding 500 kV; and
e.5.c. A pulse width of less than 0.2 microsecond;
f. Rotary input type shaft absolute position encoders having
either of the following:
f.1. A resolution of better than 1 part in 265,000 (18 bit
resolution) of full scale; or
f.2. An accuracy better than <plus-minus> 2.5 seconds of arc.
3A002 General purpose electronic equipment.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000: 3A002.a, .e, .f, .g; $5000: 3A002.b to d, and
3A002.h
GBS: Yes for 3A002.a.1. 3A002.h and a.2, .b, d.2, as described
in Advisory Note 1 to Category 3
CIV: Yes for 3A002.h, and a.1, a.2, .b, d.2, as described in
Advisory Note 1 to Category 3
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Recording equipment, as follows, and specially designed test
tape therefor:
a.1. Analog instrumentation magnetic tape recorders, including
those permitting the recording of digital signals (e.g., using a
high density digital recording (HDDR) module), having any of the
following:
a.1.a. A bandwidth exceeding 4 MHz per electronic channel or
track;
a.1.b. A bandwidth exceeding 2 MHz per electronic channel or
track and having more than 42 tracks; or
a.1.c. A time displacement (base) error, measured in accordance
with applicable Inter Range Instrumentation Group (IRIG) or
Electronic Industries Association (EIA) documents, of less than #0.1
microsecond;
a.2. Digital video magnetic tape recorders having a maximum
digital interface transfer rate exceeding 180 Mbit/s, except those
specially designed for television recording using a signal format as
standardized or recommended by the International Radio Consultative
Committee (CCIR) or the International Technical Commission (IEC) for
civil television applications;
[[Page 12978]]
a.3. Digital instrumentation magnetic tape data recorders
employing helical scan techniques or fixed head techniques, having
either of the following characteristics:
a.3.a. A maximum digital interface transfer rate exceeding 175
Mbits/s; or
a.3. b. ``Space qualified'';
Note: 3A002.a.3 does not control analog magnetic tape recorders
equipped with HDDR conversion electronics and configured to record
only digital data.
a.4. Equipment, with a maximum digital interface transfer rate
exceeding 175 Mbit/s, designed to convert digital video magnetic
tape recorders for use as digital instrumentation data recorders;
a.5. Waveform digitizers and transient recorders with both of
the following characteristics:
a.5.a. Digitizing rates equal to or more than 200 million
samples per second and a resolution of 10 bits or more; and
a.5.b. A continuous throughput of 2 Gbits/s or more;
Technical Note: For those instruments with a parallel bus
architecture, the continuous throughput rates the highest word rate
multiplied by the number of bits in a word. Continuous throughput is
the fastest data rate the instrument can output to mass storage
without the loss of any information while sustaining the sampling
rate and analog-to-digital conversion.
b. ``Frequency synthesizer'' ``electronic assemblies'' having a
``frequency switching time'' from one selected frequency to another
of less than 1 ms;
c. ``Signal analyzers'', as follows:
c.1. Capable of analyzing frequencies exceeding 31 GHz;
c.2. ``Dynamic signal analyzers'' with a ``real-time bandwidth''
exceeding 25.6 kHz, except those using only constant percentage
bandwidth filters (also known as octave or fractional octave
filters);
d. Frequency synthesized signal generators producing output
frequencies, the accuracy and short term and long term stability of
which are controlled, derived from or disciplined by the internal
master frequency, and having any of the following:
d.1. A maximum synthesized frequency exceeding 31 GHz;
d.2. A ``frequency switching time'' from one selected frequency
to another of less than 1 ms; or
d.3. A single sideband (SSB) phase noise better than
-(126+20log<INF>10F-20 log<INF>10f) in dBc/Hz, where F is the off-
set from the operating frequency in Hz and f is the operating
frequency in MHz;
Note: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.
e. Network analyzers with a maximum operating frequency
exceeding 31 GHz;
Note: 3A002.e does not control ``swept frequency network
analyzers'' with a maximum operating frequency not exceeding 40 GHz
and that do not contain a data bus for remote control interfacing.
f. Microwave test receivers with both of the following:
f.1. A maximum operating frequency exceeding 31 GHz; and
f.2. Capable of measuring amplitude and phase simultaneously;
g. Atomic frequency standards having either of the following
characteristics:
g.1. Long term stability (aging) less (better) than 1 x 10
<SUP>-11/month; or
g.2. ``Space qualified'';
Note: 3A002.g.1 does not control non-``space qualified''
rubidium standards.
h. Emulators for microcircuits controlled by 3A001.a.3 or
3A001.a.9.
Note: 3A002.h does not control emulators designed for a
``family'' that contains at least one device not controlled by
3A001.a.3 or 3A001.a.9.
3A101 Electronic equipment, devices and components, other than those
specified in 3A001.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $5,000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: The corresponding EU list number controls
analog-to-digital converters, usable in ``missiles'', designed to
meet military specifications for ruggedized equipment in 1A101.a.
These items are not controlled by this CCL entry. These items are
subject to the export licensing authority of the U.S. Departement of
State, Office of Defense Trade Controls (See 22 CFR 121.16, Item
14--Category II).
Related Definitions: N/A
Items:
a. Reserved.
b. Accelerators capable of delivering electromagnetic radiation
produced by bremsstrahlung from accelerated electrons of 2Mev or
greater, and systems containing those accelerators, excluding that
equipment specially designed for medical purposes.
3A201 Electronic components, other than those specified in 3A001.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls:
Related Definition: This entry does not control magnets that are
specially designed for and exported as parts of medical nuclear
magnetic resonance (NMR) imaging systems. Such parts may be exported
in separate shipments from different sources, provided that the
related export control documents clearly specify that the parts are
for medical NMR imaging systems that are being exported.
Items:
a. Capacitors with the following characteristics:
a.1. Voltage rating greater than 1.4 kV, energy storage greater
than 10J, capacitance greater than 500 nF and series inductance less
than 50 nH; or
a.2. Voltage rating greater than 750 V, capacitance greater than
250 nF and series inductance less than 10 nH;
b. Superconducting solenoidal electromagnets with all of the
following characteristics:
b.1. Capable of creating magnetic fields of more than 2 teslas
(20 kilogauss);
b.2. With an L/D ratio (length divided by inner diameter)
greater than 2;
b.3. With an inner diameter of more than 300 mm; and
b.4. With a magnetic field uniform to better than 1% over the
central 50% of the inner volume;
c. Flash X-ray generators or pulsed electron accelerators with
peak energy of 500 keV or greater, as follows; except: Accelerators
that are component parts of devices designed for purposes other than
electron beam or X-ray radiation (electron microscopy, for example)
and those designed for medical purposes:
c.1. Having an accelerator peak electron energy of 500 keV or
greater but less than 25 MeV and with a figure of merit (K) of 0.25
or greater, where K is defined as: K=1.7 x 10<SUP>3V<SUP>2.65Q,
where V is the peak electron energy in million electron volts and Q
is the total accelerated charge in coulombs if the accelerator beam
pulse duration is less than or equal to 1 microsecond; if the
accelerator beam pulse duration is greater than 1 microsecond, Q is
the maximum accelerated charge in 1 microsecond [Q equals the
integral of i with respect to t, over the lesser of 1 microsecond or
the time duration of the beam pulse (Q=[integral] idt), where i is
beam current in amperes and t is time in seconds]; or
c.2. Having an accelerator peak electron energy of 25 MeV or
greater and a peak power greater than 50 MW. [Peak power=(peak
potential in volts) x (peak beam current in amperes)].
Technical Notes: a. Time duration of the beam pulse - In
machines, based on microwave accelerating cavities, the time
duration of the beam pulse is the lesser of 1 microsecond or the
duration of the bunched beam packet resulting from one microwave
modulator pulse.
b. Peak beam current--In machines based on microwave
accelerating cavities, the peak beam current is the average current
in the time duration of a bunched beam packet.
[[Page 12979]]
3A202 Oscilloscopes and transient recorders other than those
controlled by 3A002.a.5, and specially designed components therefor.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: Specially designed components specified in
this item are the following, for analog oscilloscopes:
1. Plug-in units;
2. External amplifiers;
3. pre-amplifiers;
4. Sampling devices;
5. Cathode ray tubes.
Items:
a. Non-modular analog oscilloscopes having a bandwidth of 1 GHz
or greater;
Technical Note: ``Bandwidth'' is defined as the band of
frequencies over which the deflection on the cathode ray tube does
not fall below 70.7% of that at the maximum point measured with a
constant input voltage to the oscilloscope amplifier.
b. Modular analog oscilloscope systems having either of the
following characteristics:
b.1. A mainframe with a bandwidth of 1 GHz or greater; or
b.2. Plug-in modules with an individual bandwidth of 4 GHz or
greater;
c. Analog sampling oscilloscopes for the analysis of recurring
phenomena with an effective bandwidth greater than 4 GHz;
d. Digital oscilloscopes and transient recorders using analog-
to-digital conversion techniques, capable of storing transients by
sequentially sampling one-shot input signals at successive intervals
of less than 1 ns (greater than 1 giga-sample per second),
digitizing to 8 bits or greater resolution, and storing 256 or more
samples.
3A225 Frequency changers (also known as converters or inverters) or
generators, having all of the following characteristics.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: Frequency changers (also known as converters
or inverters) especially designed or prepared to supply motor
stators and having the characteristics described in 3A225.b and .d,
together with a total harmonic distortion of less than 2 percent and
an efficiency of greater than 80 percent are subject to the export
licensing authority of the Nuclear Regulatory Commission. (See 10
CFR part 110.)
Related Definition: Motor stators are especially designed or
prepared ring-shaped stators for high-speed multiphase AC hysteresis
(or reluctance) motors for synchronous operation within a vacuum in
the frequency range of 600 Hz to 2,000 Hz, and a power range of 50
VA to 1,000 VA. The stators consist of multiphase windings on a
laminated low-loss iron core comprising thin layers typically to 2.0
mm (.008 in) thick or less.
Items:
a. A multisphase output capable of providing power of 40 W or
more;
b. Capable of operating in the frequency range between 600 and
2,000 Hz;
c. Total harmonic distortion below 10%; and
d. Frequency control better than 0.1%.
3A226 Direct current high-power supplies capable of continuously
producing, over a time period of 8 hours, 100 V or greater with a
current output of 500 A or greater and with a current or voltage
regulation better than 0.1%.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A227 High-voltage direct current power supplies capable of
continuously producing, over a time period of 8 hours, 20,000 V or
greater with a current output of 1 A or greater and with a current or
voltage regulation better than 0.1%.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A228 Switching devices.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Cold-cathode tubes (including gas krytron tubes and vacuum
sprytron tubes), whether gas filled or not, operating similarly to a
spark gap, containing three or more electrodes, and having all of
the following characteristics:
a.1. Anode peak voltage rating of 2,500 V or more;
a.2. Anode peak current rating of 100 A or more; and
a.3. Anode delay time of 10 microseconds or less;
b. Triggered spark-gaps having an anode delay time of 15
microseconds or less and rated for a peak current of 500 A or more;
c. Modules or assemblies with a fast switching function having
all of the following characteristics:
c.1. Anode peak voltage rating greater than 2,000 V;
c.2. Anode peak current rating of 500 A or more; and
c.3. Turn-on time of 1 microseconds or less.
3A229 Firing sets and equivalent high-current pulse generators (for
detonators controlled by 3A232).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
[[Page 12980]]
a. Explosive detonator firing sets designed to drive multiple
detonators of the type controlled by ECCN 3A232;
b. Modular electrical pulse generators (pulsers) designed for
portable, mobile, or ruggedized use (including xenon flash-lamp
drivers) having all the following characteristics:
b.1. Capable of delivering their energy in less than 15
microseconds;
b.2. Having an output greater than 100 A; and
b.3. Having a ``rise time'' of less than 10 microseconds into
loads of less than 40 ohms.
Technical Note: ``Rise time'' is defined as the time interval
from 10% to 90% current amplitude when driving a resistive load.
b.4. Enclosed in a dust-tight enclosure;
b.5. No dimension greater than 254 mm (10 in.);
b.6. Weight less than 25 kg (55 lb.); and
b.7. Specified for use over an extended temperature range (223 K
[-50 deg. C] to 373 K [100 deg. C]) or specified as suitable for
aerospace use.
3A230 High-speed pulse generators with output voltages greater than 6
volts into a less than 55 ohm resistive load, and with pulse transition
times less than 500 picoseconds (defined as the time interval between
10% and 90% voltage amplitude).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A231 Neutron generator systems, including tubes, designed for
operation without an external vacuum system, and utilizing
electrostatic acceleration to induce a tritium-deuterium nuclear
reaction.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number, parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A232 Detonators and multipoint initiation systems (exploding bridge
wire, slapper, etc.).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definition: Detonators using only primary explosives,
such as lead azide, are not controlled by this entry.
Items:
a. Electrically driven explosive detonators, as follows:
a.1. Exploding bridge (EB);
a.2. Exploding bridge wire (EBW);
a.3. Slapper;
a.4. Exploding foil initiators (EFI)
b. Arrangements using single or multiple detonators designed to
nearly simultaneously initiate an expolsive surface (over greater
than 5,000 mm\2\) from a single firing signal (with an initiation
timing spread over the surface of less than 2.5 microseconds).
Technical Note: The detonators controlled by 3A232 utilize a
small electrical conductor (bridge, bridgewire, or foil) that
explosively vaporizes when a fast, high-current electrical pulse is
passed through it. In nonslapper types, the exploding conductor
starts a chemical detonation in a contacting high-explosive material
such as PETN (pentaerythritoltetranitrate). In slapper detonators,
the explosive vaporization of the electrical conductor drives a
flyer or slapper across a gap, and the impact of the slapper on an
explosive starts a chemical detonation. The slapper in some designs
is driven by magnetic force. The term exploding foil detonator may
refer to either an EB or a slapper-type detonator. Also, the word
initiator is sometimes used in place of the word detonator.
3A233 Mass spectrometers capable of measuring ions of 230 atomic mass
units or greater and having a resolution of better than 2 parts in 230,
and ion sources therefor.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: Specially designed or prepared magnetic or
quadruple mass spectrometers that have the following characteristics
and are capable of taking on-line samples of feed, product, or tails
from UF<INF>6 gas streams are subject to the export licensing
authority of the Nuclear Regulatory Commission. (See 10 CFR part
110.): (a) Unit resolution for mass greater than 320; (b) Ion
sources that are constructed of or lined with nichrome or that are
monel or nickel-plated; (c) Electron bombardment ionization sources;
(d) Having a collector system suitable for isotopic analysis.
Related Definitions: N/A
Items:
a. Inductively coupled plasma mass spectrometers (ICP/MS);
b. Glow discharge mass spectrometers (GDMS);
c. Thermal ionization mass spectrometers (TIMS);
d. Electron bombardment mass spectrometers that have a source
chamber constructed from, or lined with or plated with materials
resistent to UF<INF>6;
e. Molecular beam mass spectrometers that:
e.1. Have a source chamber constructed from, or lined with or
plated with stainless steel or molybdenum and have a cold trap
capable of cooling to 193 K (-80 deg. C) or less; or
e.2. Have a source chamber constructed from, or lined with or
plated with materials resistant to UF<INF>6; or
f. Mass spectrometers equipped with a microfluorination ion
source designed for use with actinides or actinide fluorides.
3A980 Voice print identification and analysis equipment and parts,
n.e.s.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CC applies to entire entry............. CC Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
[[Page 12981]]
3A981 Polygraphs (except biomedical recorders designed for use in
medical facilities for monitoring biological and neurophysical
responses); fingerprint analyzers, cameras and equipment, n.e.s.;
automated fingerprint and identification retrieval systems, n.e.s.;
psychological stress analysis equipment; electronic monitoring
restraint devices; and specially designed parts and accessories, n.e.s.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CC applies to entire entry............. CC Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A992 Electronic devices and components not controlled by 3A001.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having a clock
frequency exceeding 25 MHz;
b. Storage integrated circuits not controlled by 3A001, as
follows:
b.1. Electrical erasable programmable read-only memories
(EEPROMs) with a storage capacity;
b.1.a. Exceeding 1 Mbit per package; or
b.1.b. Exceeding 256 kbit per package and a maximum access time
of less than 80 ns;
b.2. Static random access memories (SRAMs) with a storage
capacity:
b.2.a. Exceeding 1 Mbit per package; or
b.2.b. Exceeding 256 kbit per package and a maximum access time
of less than 25 ns;
c. Field programmable logic arrays not controlled by 3A001
having either of the following:
c.1. An equivalent gate count of more than 5,000 (2 input
gates); or
c.2. A toggle frequency exceeding 100 MHz;
d. Travelling wave tubes, pulsed or continuous wave, not
controlled by 3A001, as follows:
d.1. Coupled cavity tubes, or derivatives thereof;
d.2. Helix tubes, or derivatives thereof, with any of the
following:
d.a.1. An ``instantaneous bandwidth'' of half an octave or more;
and
d.a.2. The product of the rated average output power (expressed
in kW) and the maximum operating frequency (expressed in GHz) of
more than 0.2;
d.2.b.1 An ``instantaneous bandwidth'' of less than half an
octave; and
d.2.b.2. The product of the rated average output power
(expressed in kW) and the maximum operating frequency (expressed in
GHz) of more than 0.4;
e. Flexible waveguides designed for use at frequencies exceeding
40 GHz;
f. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), not controlled by 3A001, having either
of the following:
f.1. A carrier frequency exceeding 1 GHz; or
f.2. A carrier frequency of 1 GHz or less, and
f.2.a. A frequency side-lobe rejection exceeding 55 dB;
f.2.b. A product of the maximum delay time and bandwidth (time
in microseconds and bandwidth in MHz) of more than 100; or
f.2.c. A dispersive delay of more than 10 microseconds.
g. Batteries not controlled by 3A001, as follows:
Note: 3A992.g does not control batteries with volumes equal to
or less than 26 cm<SUP>3 (e.g., standard C-cells or UM-2 batteries).
g.1. Primary cells and batteries having an energy density
exceeding 350 Wh/kg and rated for operation in the temperature range
from below 243 K (-30 deg. C) to above 343 K (70 deg. C);
g.2. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (C being the nominal capacity in ampere
hours) when operating in the temperature range from below 253 K
(-20 deg. C) to above 333 K (60 deg. C);
Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75
percent of the open circuit voltage divided by the total mass of the
cell (or battery) in kg.
g.3. ``Space qualified'' or radiation hardened photovoltaic
arrays with a specific power exceeding 160 W/m\2\ at an operating
temperature of 301 K (28 deg. C) under a tungsten illumination of 1
kW/m\2\ at 2,800 K (2,527 deg. C);
h. ``Superconductive'' electromagnets or solenoids specially
designed to be fully charged or discharged in less than one minute,
not controlled by 3A001, having all of the following:
Note: 3A992.h does not control ``superconductive''
electromagnets or solenoids designed for Magnetic Resonance Imaging
(MRI) medical equipment.
h.1. Maximum energy delivered during the discharge divided by
the duration of the discharge of more than 500 kJ per minute;
h.2. Inner diameter of the current carrying windings of more
than 250 mm; and
h.3. Rated for a magnetic induction of more than 8T or ``overall
current density'' in the winding of more than 300 A/mm \2\.
3A993 Electronic test equipment in Category 3A n.e.s.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $1000 for Syria only
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3A994 General purpose electronic equipment not controlled by 3A002.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Digital instrumentation magnetic tape data recorders not
controlled by 3A002 having any of the following characteristics;
a.1. A maximum digital interface transfer rate exceeding 60
Mbit/s and employing helical scan techniques;
a.2. A maximum digital interface transfer rate exceeding 120
Mbit/s and employing fixed head techniques; or
a.3. ``Space qualified'';
b. Equipment, not controlled by 3A002, with a maximum digital
interface transfer rate exceeding 60 Mbit/s, designed to convert
digital video magnetic tape recorders for use as digital
instrumentation data recorders;
c. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal
construction and rate for a peak current of 500A or more.
[[Page 12982]]
B. TEST, INSPECTION AND PRODUCTION EQUIPMENT
3B001 ``Stored program controlled'' equipment for epitaxial growth.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $500
GBS: Yes, except 3B001 .b and .c
CIV: Yes for equipment controlled by 3B001.a as described in
Advisory Note 1.d
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Capable of producing a layer thickness uniform to less than
<plus-minus> 2.5% across a distance of 75 mm or more;
b. Metal organic chemical vapour deposition (MOCVD) reactors
specially designed for compound semiconductor crystal growth by the
chemical reaction between materials controlled by 3C003 or 3C004;
c. Molecular beam epitaxial growth equipment using gas sources.
3B002 ``Stored program controlled'' equipment designed for ion
implanation, having the following characteristics.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $500
GBS: Yes
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. An accelerating voltage exceeding 200 keV;
b. Specially designed and optimized to operate at accelerating
voltages of less than 10 keV;
c. Direct write capability; or
d. Capable of high energy oxygen implant into a heated
semiconductor material ``substrate''.
3B003 ``Stored program controlled'' anisotropic plasma dry etching
equipment.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $500
GBS: Yes
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. With cassette-to-cassette operation and load-locks, and
having either of the following:
a.1. Magnetic confinement; or
a.1. Electron cyclotron resonance (ECR);
b. Specially designed for equipment controlled by 3B005 and
having either of the following:
b.1. Magnetic confinement; or
b.2. Electron cyclotron resonance (ECR).
3B004 ``Stored program controlled'' plasma enchanced CVD equipment.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $500
GBS: Yes
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. With cassette-to-cassette operation and load-locks, and
having either of the following:
a.1. Magnetic confinement; or
a.2. Electron cyclotron resonance (ECR);
b. Specially designed for equipment controlled by 3B005 and
having either of the following:
b.1. Magnetic confinement; or
b.2. Electron cyclotron resonance (ECR);
3B005 ``Stored program controlled'' automatic loading multi-chamber
central wafer handling systems, having interfaces for wafer input and
output, to which more than two pieces of semiconductor processing
equipment are to be connected, to form an integrated system in a vacuum
environment for sequential multiple wafer processing.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $500
GBS: Yes, except when connected with equipment controlled by
3B001.b and .c or 3B006
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: This entry does not control automatic
robotic wafer handling systems not designed to operate in a vacuum
environment.
Items: The list of items controlled is contained in the ECCN
heading.
3B006 ``Stored program controlled'' lithography equipment.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $500
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Align and expose step and repeat equipment for wafer
processing using photo-optical or X-ray methods, having either of
the following:
a.1. A light source wavelength shorter than 400 nm;
a.2. Capable of producing a pattern with a minimum resolvable
feature size of 0.7 micrometers or less when calculated by the
following formula:
[GRAPHIC] [TIFF OMITTED] TR25MR96.025
[[Page 12983]]
where:
MRF is the minimum resolvable feature size; the K factor = 0.7; and
wavlength is the exposure light source wavelength;
b. Equipment specially designed for mask making or semiconductor
device processing using deflected focussed electron beam, ion beam
or ``laser'' beam, with any of the following:
b.1. A spot size smaller than 0.2 micrometer;
b.2. Capable of producing a pattern with a feature size of less
than 1 micrometer; or
b.3. An overlay accuracy of better than <plus-minus> 0.20
micrometer (3 sigma).
3B007 Masks or reticles.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $500
GBS: Yes
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. For integrated circuits controlled by 3A001;
b. Multi-layer masks with a phase shift layer.
3B008 ``Stored program controlled'' test equipment, specially designed
for testing semiconductor devices and unencapsulated dice.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $500
GBS: Yes
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
a. For testing S-parameters of transistor devices at frequencies
exceeding 31 GHz;
b. For testing integrated circuits, capable of performing
functional (truth table) testing at a pattern rate of more than 40
MHz;
Note: 3B008.b does not control test equipment specially designed
for testing:
1. ``Electronic assemblies'' or a class of ``electronic
assemblies'' for home or entertainment applications;
2. Non-controlled electronic components, ``electronic
assemblies'' or integrated circuits.
c. For testing microwave integrated circuits at frequencies
exceeding 3 GHz;
Note: 3B008.c does not control test equipment specially designed
for testing microwave integrated circuits operating solely in the
Standard Civil Telecommunication Bands at frequencies not exceeding
31 GHz.
d. Electron beam systems designed for operation at or below 3
keV, or ``laser'' beam systems, for the non-contactive probing of
powered-up semiconductor devices, with both of the following:
d.1. Stroboscopic capability with either beam-blanking or
detector strobing; and
d.2. An electron spectrometer for voltage measurement with a
resolution of less than 0.5 V.
Note: 3B008.d does not control scanning electron microscopes,
except when specially designed and instrumented for the non-
contactive probing of powered-up semiconductor devices.
3B991 Equipment not controlled by 3B001 for the manufacture or testing
of electronic components and materials, and specially designed
components and accessories therefor.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Equipment specially designed for the manufacture or testing
of electron tubes, optical elements and specially designed
components therefor controlled by 3A001;
b. Equipment specially designed for the manufacture or testing
of semiconductor devices, integrated circuits and ``assemblies'', as
follows, and systems incorporating or having the characteristics of
such equipment:
Note: 3B991.b also controls equipment used or modified for use
in the manufacture or testing of other devices, such as imaging
devices, electro-optical devices, acoustic-wave devices.
b.1. Equipment for the processing of materials for the
manufacture of devices and components as specified in the heading of
3B991.b, as follows:
Note: 3B991 does not control quartz furnace tubes, furnace
liners, paddles, boats (except specially designed caged boats),
bubblers, cassettes or crucibles specially designed for the
processing equipment controlled by 3B991.b.1.
b.1.a. Equipment for producing polycrystalline silicon and
materials controlled by 3C001;
b.1.b. Equipment specially designed for purifying or processing
III/V and II/VI semiconductor materials controlled by 3C001, 3C002,
3C003, or 3C004, except crystal pullers, for which see 3B991.b.1.c
below;
b.1.c. Crystal pullers and furnaces, as follows:
Note: 3B991.b.1.c does not control diffusion and oxidation
furnaces.
b.1.c.1. Annealing or recrystallizing equipment other than
constant temperature furnaces employing high rates of energy
transfer capable of processing wafers at a rate exceeding 0.005
m<SUP>2 per minute;
b.1.c.2. ``Stored programme controlled'' crystal pullers having
any of the following characteristics:
b.1.c.2.a. Rechargeable without replacing the crucible
container;
b.1.c.2.b. Capable of operation at pressures above 2.5 x 105 Pa;
or
b.1.c.2.c. Capable of pulling crystals of a diameter exceeding
100 mm;
b.1.d. ``Stored program controlled'' equipment for epitaxial
growth having any of the following characteristics:
b.1.d.1. Capable of producing a layer thickness uniformity
across the wafer of equal to or better than +3.5%;
b.1.d.2. Rotation of individual wafers during processing; or
b.1.e. Molecular beam epitaxial growth equipment;
b.1.f. ``Magnetically enhanced'' ``sputtering'' equipment with
specially designed integral load locks capable of transferring
wafers in an isolated vacuum environment;
b.1.g. Equipment specially designed for ion implantation, ion-
enhanced or photo-enhanced diffusion, having any of the following
characteristics:
b.1.g.1. Patterning capability;
b.1.g.2. Accelerating voltage for more than 200 keV; or
b.1.g.3. Capable of high energy oxygen implant into a heated
``substrate'';
b.1.h. ``Stored program controlled'' equipment for the selective
removal (etching) by means of anisotropic dry methods (e.g.,
plasma), as follows:
b.1.h.1. Batch types having either of the following:
b.1.h.1.a. End-point detection, other than optical emission
spectroscopy types; or
b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or
less;
b.1.h.2. Single wafer types having any of the following:
b.1.h.2.a. End-point detection, other than optical emission
spectroscopy types;
b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or
less; or
b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;
Notes: 1. ``Batch types'' refers to machines not specially
designed for production processing of single wafers. Such machines
can process two or more wafers simultaneously with common process
parameters, e.g., RF power, temperature, etch gas species, flow
rates.
[[Page 12984]]
2. ``Single wafer types'' refers to machines specially designed
for production processing of single wafers. These machines may use
automatic wafer handling techniques to load a single wafer into the
equipment for processing. The definition includes equipment that can
load and process several wafers but where the etching parameters,
e.g., RF power or end point, can be independently determined for
each individual wafer.
b.1.i. ``Chemical vapor deposition'' (CVD) equipment, e.g.,
plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor
device manufacturing, having either of the following capabilities,
for deposition of oxides, nitrides, metals or polysilicon:
b.1.i.1. ``Chemical vapor deposition'' equipment operating below
105 Pa; or
b.1.i.2. PECVD equipment operating either below 60 Pa (450
millitorr) or having automatic cassette-to-cassette and load lock
wafer handling;
Note: 3B991.b.1.i does not control low pressure ``chemical vapor
deposition'' (LPCVD) systems or reactive ``sputtering'' equipment.
b.1.j. Electron beam systems specially designed or modified for
mask making or semiconductor device processing having any of the
following characteristics:
b.1.j.1. Electrostatic beam deflection;
b.1.j.2. Shaped, non-Gaussian beam profile;
b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit;
or
b.1.j.5. Target-to-beam position feedback control precision of 1
micrometer or finer;
Note: 3B991.b.1.j does not control electron beam deposition
systems or general purpose scanning electron microscopes.
b.1.k. Surface finishing equipment for the processing of
semiconductor wafers as follows:
b.1.k.1. Specially designed equipment for backside processing of
wafers thinner than 100 micrometer and the subsequent separation
thereof; or
b.1.k.2. Specially designed equipment for achieving a surface
roughness of the active surface of a processed wafer with a two-
sigma value of 2 micrometer or less, total indicator reading (TIR);
Note: 3B991.b.1.k does not control single-side lapping and
polishing equipment for wafer surface finishing.
b.1.l. Interconnection equipment which includes common single or
multiple vacuum chambers specially designed to permit the
integration of any equipment controlled by 3B991 into a complete
system;
b.1.m. ``Stored program controlled'' equipment using ``lasers''
for the repair or trimming of ``monolithic integrated circuits''
with either of the following characteristics:
b.1.m.1. Positioning accuracy less than <plus-minus>1
micrometer; or
b.1.m.2. Spot size (kerf width) less than 3 micrometer.
b.2. Masks, mask ``substrates'', mask-making equipment and image
transfer equipment for the manufacture of devices and components as
specified in the heading of 3B991, as follows:
Note: The term ``masks'' refers to those used in electron beam
lithography, X-ray lithography, and ultraviolet lithography, as well
as the usual ultraviolet and visible photo-lithography.
b.2.a. Finished masks, reticles and designs therefor, except:
b.2.a.1. Finished masks or reticles for the production of
unembargoed integrated circuits; or
b.2.a.2. Masks or reticles, having both of the following
characteristics:
b.2.a.2.a. Their design is based on geometries of 2.5 micrometer
or more; and
b.2.a.2.b. The design does not include special features to alter
the intended use by means of production equipment or ``software'';
b.2.b. Mask ``substrates'' as follows:
b.2.b.1. Hard surface (e.g., chromium, silicon, molybdenum)
coated ``substrates'' (e.g., glass, quartz, sapphire) for the
preparation of masks having dimensions exceeding 125 mm x 125 mm; or
b.2.b.2. ``Substrates'' specially designed for X-ray masks;
b.2.c. Equipment, other than general purpose computers,
specially designed for computer aided design (CAD) of semiconductor
devices or integrated circuits;
b.2.d. Equipment or machines, as follows, for mask or reticle
fabrication:
b.2.d.1. Photo-optical step and repeat cameras capable of
producing arrays larger than 100 mm x 100 mm, or capable of
producing a single exposure larger than 6 mm x 6 mm in the image
(i.e., focal) plane, or capable of producing line widths of less
than 2.5 micrometer in the photoresist on the ``substrate'';
b.2.d.2. Mask or reticle fabrication equipment using ion or
``laser'' beam lithography capable of producing line widths of less
than 2.5 micrometer; or
b.2.d.3. Equipment or holders for altering masks or reticles or
adding pellicles to remove defects;
Note: 3B991.b.2.d.1 and b.2.d.2 do not control mask fabrication
equipment using photo-optical methods which was either commercially
available before the 1st January, 1980, or has a performance no
better than such equipment.
b.2.e. ``Stored program controlled'' equipment for the
inspection of masks, reticles or pellicles with:
b.2.e.1. A resolution of 0.25 micrometer or finer; and
b.2.e.2. A precision of 0.75 micrometer or finer over a distance
in one or two coordinates of 63.5 mm or more;
Note: 3B991.b.2.e does not control general purpose scanning
electron microscopes except when specially designed and instrumented
for automatic pattern inspection.
b.2.f. Align and expose equipment for wafer production using
photo-optical methods, including both projection image transfer
equipment and step and repeat equipment, capable of performing any
of the following functions:
Note: 3B991.b.2.f does not control photo-optical contact and
proximity mask align and expose equipment or contact image transfer
equipment.
b.2.f.1. Production of a pattern size of less than 2.5
micrometer;
b.2.f.2. Alignment with a precision finer than <plus-minus>0.25
micrometer (3 sigma); or
b.2.f.3. Machine-to-machine overlay no better than + 0.3
micrometer;
b.2.g. Electron beam, ion beam or X-ray equipment for projection
image transfer capable of producing patterns less than 2.5
micrometer;
Note: For focussed, deflected-beam systems (direct write
systems), see 3B91.b.1.j or b.10.
b.2.h. Equipment using ``lasers'' for direct write on wafers
capable of producing patterns less than 2.5 micrometer.
b.3. ``Stored program controlled'' inspection equipment for the
automatic detection of defects, errors or contaminants of 0.6
micrometer or less in or on processed wafers, ``substrates'', other
than printed circuit boards or chips, using optical image
acquisition techniques for pattern comparison;
Note: 3B991.b.3 does not control general purpose scanning
electron microscopes, except when specially designed and
instrumented for automatic pattern inspection.
b.4. Specially designed ``stored program controlled'' measuring
and analysis equipment, as follows:
b.4.a. Specially designed for the measurement of oxygen or
carbon content in semiconductor materials;
b.4.b. Equipment for line width measurement with a resolution of
1 micrometer or finer;
b.4.c. Specially designed flatness measurement instruments
capable of measuring deviations from flatness of 10 micrometer or
less with a resolution of 1 micrometer or finer.
b.5. Equipment for the assembly of integrated circuits, as
follows:
b.5.a. ``Stored program controlled'' die bonders having all of
the following characteristics:
b.5.a.1. Specially designed for ``hybrid integrated circuits'';
b.5.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm;
and
b.5.a.3. Placement accuracy in the X-Y plane of finer than + 10
micrometer;
b.5.b. ``Stored program controlled'' equipment for producing
multiple bonds in a single operation (e.g., beam lead bonders, chip
carrier bonders, tape bonders);
b.5.c. Semi-automatic or automatic hot cap sealers, in which the
cap is heated locally to a higher temperature than the body of the
package, specially designed for ceramic microcircuit packages
controlled by 3A001 and that have a throughput equal to or more than
one package per minute.
Note: 3B991.b.5. does not control general purpose resistance
type spot welders.
b.6. ``Stored program controlled'' wafer probing equipment
having any of the following characteristics:
b.6.a. Positioning accuracy finer than 3.5 micrometer;
b.6.b. Capable of testing devices having more than 68 terminals;
or
b.6.c. Capable of testing at a frequency exceeding 1 GHz;
[[Page 12985]]
b.7. Test equipment as follows:
b.7.a. ``Stored program controlled'' equipment specially
designed for testing discrete semiconductor devices and
unencapsulated dice, capable of testing at frequencies exceeding 18
GHz;
Technical Note: Discrete semiconductor devices include
photocells and solar cells.
b.7.b. ``Stored program controlled'' equipment specially
designed for testing integrated circuits and ``assemblies'' thereof,
capable of functional testing:
b.7.b.1. At a pattern rate exceeding 20 MHz; or
b.7.b.2. At a pattern rate exceeding 10 MHz but not exceeding 20
MHz and capable of testing packages of more than 68 terminals;
Note: 3B991.b.7.b. does not control equipment specially designed
for testing integrated circuits not controlled by 3A001 or 3A991.
Notes: 1. 3B991.b.7.b does not control test equipment specially
designed for testing ``assemblies'' or a class of ``assemblies'' for
home and entertainment applications.
2. 3B991.b.7.b does not control test equipment specially
designed for testing electronic components, ``assemblies'' and
integrated circuits not controlled by 3A001 or 3A991 provided such
test equipment does not incorporate computing facilities with ``user
accessible programmability''.
b.7.c. Equipment specially designed for determining the
performance of focal-plane arrays at wavelengths of more than 1,200
nm, using ``stored program controlled'' measurements or computer
aided evaluation and having any of the following characteristics:
b.7.c.1. Using scanning light spot diameters of less than 0.12
mm;
b.7.c.2. Designed for measuring photosensitive performance
parameters and for evaluating frequency response, modulation
transfer function, uniformity of responsivity or noise; or
b.7.c.3. Designed for evaluating arrays capable of creating
images with more than 32 x 32 line elements;
b.8. Filters for clean rooms capable of providing an air
environment of 10 or less particles of 0.3 micrometer or smaller per
0.02832 m 3 and filter materials therefor;
b.9. Electron beam test systems, capable of operating at or
below 3,000 eV, for non-contactive probing of powered-up
semiconductor devices having any of the following:
b.9.a. Stroboscopic capability with either beam blanking or
detector strobing;
b.9.b. An electron spectrometer for voltage measurements with a
resolution of less than 0.5 V; or
b.9.c. Electrical tests fixtures for performance analysis of
integrated circuits;
Note: 3B991.b.9 does not control scanning electron microscopes,
except when specially designed and instrumented for non-contactive
probing of a powered-up semiconductor device.
b.10. ``Stored program controlled'' multifunctional focused ion
beam systems specially designed for manufacturing, repairing,
physical layout analysis and testing of masks or semiconductor
devices and having either of the following characteristics:
b.10.a. Target-to-beam position feedback control precision of 1
micrometer or finer; or
b.10.b. Digital-to-analog conversion accuracy exceeding 12 bit;
b.11. Particle measuring systems employing ``lasers'' designed
for measuring particle size and concentration in air having both of
the following characteristics:
b.11.a. Capable of measuring particle sizes of 0.2 micrometer or
less at a flow rate of 0.02832 m3 per minute or more; and
b.11.b. Capable of characterizing Class 10 clean air or better.
C. Materials
3C001 Hetero-epitaxial materials consisting of a ``substrate'' with
stacked epitaxially grown multiple layers.
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: $3,000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Silicon;
b. Germanium; or
c. III/V compounds of gallium or indium.
Technical Note: III/V compounds are polycrystalline or binary or
complex monocrystalline products consisting of elements of groups
IIIA and VA of Mendeleyev's periodic classification table (gallium
arsenide, gallium-aluminium arsenide, indium phosphide, etc.).
3C002 Resist materials, and ``substrates'' coated with controlled
resists.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000
GBS: Yes for 3C002.a as described in Advisory Note 1.e
CIV: Yes for 3C002.a as described in Advisory Note 1.e
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Positive resists for semiconductor lithography specially
adjusted (optimized) for use at wavelengths below 370 nm;
b. All resists, for use with electron beams or ion beams, with a
sensitivity of 0.01 microcoulomb/mm2 or better;
c. All resists, for use with X-rays, with a sensitivity of 2.5
mJ/mm2 or better;
d. All resists optimized for surface imaging technologies,
including silyated resists.
Technical Note: Silyation techniques are defined as processes
incorporating oxidation of the resist surface to enhance performance
for both wet and dry developing.
3C003 Organo-inorganic compounds.
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: $3,000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: This entry controls only compounds whose
metallic, partly metallic or non-metallic element is directly linked
to carbon in the organic part of the molecule.
Items:
a. Organo-metallic compounds of aluminum, gallium or indium
having a purity (metal basis) better than 99.999%; or
b. Organo-arsenic, organo-antimony and organo-phosphorus
compounds having a purity (inorganic element basis) better than
99.999% percent.
3C004 Hydrides of phosphorus, arsenic or antimony, having a purity
better than 99.999%, even diluted in inert gases or hydrogen.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: This entry does not control hydrides
containing less than 20% molar or more of inert gases or hydrogen.
Items: The list of items controlled is contained in the ECCN
heading.
[[Page 12986]]
D. Software
3D001 ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 3A001.a.1.a, 3A001.b to
3A001.f, 3A002, 3A101 or 3B (except 3B991).
License Requirements
Reason for Control: NS, MT, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to ``software'' for NS Column 1.
equipment controlled by 3A001.b to
3A001.f, 3A002, and 3B001 to 3B008.
MT applies to ``software'' for MT Column 1.
equipment controlled by 3A001.a.1.a or
3A101.
NP applies to ``software'' for NP Column 1.
equipment controlled by 3A001.e.5.
At applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes, except 3A001.e.5
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.
3D002 ``Software'' specially designed for the ``use'' of ``stored
program controlled'' items controlled by 3B (except 3B991).
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A Items: The list of items controlled is
contained in the ECCN heading.
3D003 Computer-aided-design (CAD) ``software'' for semiconductor
device or integrated circuits, having any of the following.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: (a) This entry does not control
``software'' specially designed for schematic entry, logic
simulation, placing and routing, layout verification or pattern
generation tape. (b) Libraries, design attributes or associated data
for the design of semiconductor devices or integrated circuits are
considered as ``technology''.
Items:
a. Design rules or circuit verification rules;
b. Simulation of the physically laid out circuits; or
c. Lithographic processing simulators for design.
Technical Note: A lithographic processing simulator is a
``software'' package used in the design phase to define the sequence
of lithographic, etching and deposition steps for translating
masking patterns into specific topographical patterns in conductors,
dielectrics or semiconductor material.
3D101 ``Software'' specially designed for the ``use'' of items
controlled by 3A101.b.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
AT applies to entire entry............. AT Column 1
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A Items: The list of items controlled is
contained in the ECCN heading.
3D980 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of items controlled by 3A980 and 3A981.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CC applies to entire entry............. CC Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3D994 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of electronic devices or components
controlled by 3A992, electronic test equipment controlled by 3A993,
general purpose electronic equipment controlled by 3A994, or
manufacturing and test equipment controlled by 3B991.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
3E001 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of items controlled by 3A (except
3A980, 3A981, and 3A992 to 3A994), 3B (except 3B991) or 3C.
License Requirements
Reason for Control: NS, MT, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1.
controlled by 3A001, 3A002, 3B001 to
3B008 or 3C001 to 3C004.
MT applies to ``technology'' for MT Column 1.
equipment controlled by 3A001 or 3A101
for MT reasons.
NP applies to ``technology'' for NP Column 1.
equipment controlled by 3A001, 3A201,
3A202, 3A225 to 3A233 for NP reasons.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes, except 3A001.a.1.a and e.5
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definition: This entry does not control ``technology''
for the ``development'' or ``production'' of: (a) Microwave
transistors operating at frequencies below 31 GHz; (b) Integrated
circuits controlled by 3A001.a.3 to a.12, having both of the
following characteristics using ``technology'' of one micrometer or
more, AND not incorporating multi-layer structures. This does not
preclude the export and reexport of multilayer ``technology'' for
devices incorporating a maximum of two metal layers and two
polysilicon layers.
[[Page 12987]]
Items: The list of items controlled is contained in the ECCN
heading.
3E002 Other ``technology'' for the ``development'' or ``production''
of items described in this entry.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items:
a. Vacuum microelectronic devices;
b. Hetero-structure semiconductor devices such as high electron
mobility transistors (HEMT), hetero-bipolar transistors (HBT),
quantum well or super lattice devices;
c. ``Superconductive'' electronic devices;
d. ``Substrates'' of films of diamond for electronic components.
3E101 ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 3A001.a.1.a or 3A101.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3E201 ``Technology'' according to the General Technology Note for the
``use'' of items controlled by 3A001.e.2, e.3, and e.5, 3A201, 3A202,
3A225 to 3A233.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3E980 ``Technology'' specially designed for ``development'',
``production'', or ``use'' of items controlled by 3A980 and 3A981.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CC applies to entire entry............. CC Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
3E994 ``Technology'' for the ``development'', ``production'', or
``use'' of electronic devices or components controlled by 3A992,
electronic test equipment controlled by 3A993, general purpose
electronic equipment controlled by 3A994, or manufacturing and test
equipment controlled by 3B991.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Advisory Notes for Category 3
Advisory Note 1: Licenses are likely to be approved, as
administrative exceptions, for exports to satisfactory end-users in
the People's Republic of China of:
a. Analog instrumentation magnetic tape recorders controlled by
3A002.a.1, provided that all of the following conditions are met:
1. Bandwidths do not exceed:
a. 4 MHz per track and have up to 28 tracks; or
b. 2 MHz per track and have up to 42 tracks;
2. Tape speed does not exceed 6.1 m/s;
3. They are not designed for underwater use;
4. They are not ruggedized for military use; and
5. Recording density does not exceed 653.2 magnetic flux sine
waves per mm;
b. Video magnetic tape recorders specially designed for civil
television recording;
c. Instrument ``frequency synthesizers'' or synthesized signal
generators controlled by 3A002.b or 3A002.d.2, and specially
designed components or accessories therefor, having:
1. A synthesized output frequency of 2.6 GHz or less; and
2. A ``frequency switching time'' of 0.3 ms or more;
d. Epitaxial reactors controlled by 3B001.a, except those also
controlled by 3B001.b or 3B001.c;
e. Positive resists not optimized for photolithography at a
wavelength of less than 365 nm, provided that they are not
controlled by 3C002.b to 3C002.d.
Advisory Note 2: Licenses are likely to be approved, as
administrative exceptions, for exports to satisfactory end-users in
Country Group D:1 of items controlled by 3A001.a.4.a or a.4.b.
Advisory Note 3: Licenses are likely to be approved for exports
and reexports to satisfactory end-uses in Country Group D:1 of items
controlled by 3A231, including tubes, provided that they are for
civil use.
N.B.: The provisions of this Advisory Note notwithstanding,
current law prohibits approval to nuclear production or utilization
facilities in the People's Republic of China.
Category 4--Computers
Note 1: Computers, related equipment or ``software'' performing
telecommunications or ``local area network'' functions must also be
evaluated against the performance characteristics in Category 5
(Part I. Telecommunications).
N.B. 1: Control units that directly interconnect the buses or
channels of central processing units, ``main storage'' or disk
controllers, are not regarded as telecommunications equipment
described in Category 5 (Part I. Telecommunications).
N.B. 2: For the control status of ``software'' that provides
routing or switching of ``datagram'' or ``fast select'' packets
(i.e., packet by packet route selection) or for ``software''
specially designed for packet switching, see Category 5 (Part I.
Telecommunications).
Note 2: Computers, related equipment or ``software'' performing
cryptographic, cryptanalytic, certifiable multi-level security or
certifiable user isolation functions, or that limit electronmagnetic
compatibility (EMC), must also be evaluated against the performance
characteristics in Category 5 (Part II. ``Information Security'').
A. Equipment, Assemblies and Components
4A001 Electronic computers and related equipment, and ``electronic
assemblies'' and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, AT, NP, XP
[[Page 12988]]
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
MT applies to 4A001.a.................. MT Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
NP applies to all equipment controlled by this entry unless a
License Exception is available. See Sec. 742.3(b) of the EAR for
information on applicable licensing review policies.
XP applies to all equipment controlled by this entry unless a
License Exception is available. XP controls vary according to
destination and end-user and end-use.
See Sec. 742.12 of the EAR for additional information.
License Exceptions
LVS: $5,000 for 4A001.a; N/A for 4A001.b
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: Equipment designed or rated for transient
ionizing radiation is subject to the export licensing authority of
the U.S. Department of State, Office of Defense Trade Controls. (See
22 CFR part 121, Category XI.)
Related Definitions: N/A
Items:
a. Specially designed to have either of the following
characteristics:
a.1. Rated for operation at an ambient temperature below 228 K
(-45 deg.C) or above 358 K (85 deg.C);
Note: The temperature limits in 4A001.a.1. do not apply to
computers specially designed for civil automobile and railway train
applications.
a.2. Radiation-hardened to exceed any of the following
specifications:
a.2.a. Total Dose: 5 x 10<SUP>5 Rads (Si);
a.2.b. Dose Rate Upset: 5 x 10<SUP>8 Rads (Si)/sec;
a.2.c. Single Event Upse: 1 x 10<SUP>-7 Error/bit/day; or
b. Having characteristics or performing functions exceeding the
limits in Category 5 (Part II. ``Information Security'').
4A002 ``Hybrid computers'', and ``electronic assemblies'' and
specially designed components therefor.
License Requirements
Reason for Control: NS, MT, AT, NP, XP
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
MT applies to hybrid computers combined MT Column 1.
with specially designed ``software'',
for modeling, simulation, or design
integration of complete rocket systems
and unmanned air vehicle systems that
are usable in systems controlled for
MT reasons.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
NP applies to all equipment controlled by this entry unless a
License Exception is available. See Sec. 742.3(b) of the EAR for
information on applicable licensing review policies.
XP applies to all equipment controlled by this entry unless a
License Exception is available. XP controls vary according to
destination and end-user and end-use. See Sec. 742.12 of the EAR for
additional information.
License Exceptions
LVS: $,5,000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Containing ``digital computers'' controlled by 4A003;
b. Containing analog-to-digital converters having both of the
following characteristics:
b.1. 32 channels or more; and
b.2. A resolution of 14 bits (plus sign bit) or more with a
conversion rate of 200,000 conversions/s or more.
4A003 ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, and specially designed components therefor.
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
MT applies to digital computers used as MT Column 1.
ancillary equipment for test
facilities and equipment that are
controlled by 9B005 or 9B006.
CC applies to computers for CC Column 1.
computerized fingerprint equipment.
AT applies to entire entry (refer to AT Column 1.
4A994 for controls on computers with a
CTP <gr-thn-eq> 6 but <ls-thn-eq> to
260 Mtops).
------------------------------------------------------------------------
NP applies to all equipment controlled by this entry unless a
License Exception is available. See Sec. 742.3(b) of the EAR for
information on applicable licensing review policies.
XP applies to all equipment controlled by this entry unless a
License Exception is available. XP controls vary according to
destination and end-user and end-use. See Sec. 742.12 of the EAR for
additional information.
License Exceptions
LVS: $5,000
GBS: Yes, for computers with a CTP not exceeding 1,000 Mtops
(500 Mtops for eligible countries in Country Group D:2) and
specially designed components therefor, exported separately or as
part of a system; and related equipment therefor when exported with
these computers as part of a system. (GBS is not available for the
export or reexport of items controlled by 4A003 if you know they
will be used to: enhance the performance capability [i.e., CTP] of a
computer to 2,000 Mtops. or greater, or enhance the performance
capability of a computer with a CTP <gr-thn-eq>2,000 Mtops.)
CTP: Yes
CIV: Yes, for 4A03.d (having a 3-D vector rate less that 3M
vectors/sec) and .f (see Advisory Notes 2, 3 and 4 to Category 4)
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items:
Note 1: 4A003 includes vector processors, array processors,
digital signal processors, logic processors, and equipment for
``image enhancement'' or ``signal processing''.
Note 2: The control status of the ``digital computers'' or
related equipment described in 4A003 is governed by the control
status of other equipment or systems provided:
a. The ``digital computers'' or related equipment are essential
for the operation of the other equipment or systems;
b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
N.B.1: The control status of ``signal processing'' or ``image
enhancement'' equipment specially designed for other equipment with
functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
N.B.2: For the control status of ``digital computers'' or
related equipment for telecommunications equipment, see the
telecommunications entries in Category 5.
c. The ``technology'' for the ``digital computers'' and related
equipment is governed by 4E.
a. Designed or modified for ``fault tolerance'';
Note: For the purposes of 4A003.a, ``digital computers'' and
related equipment are not considered to be designed or modified for
``fault tolerance'', if they use:
1. Error detection or correction algorithms in ``main storage'';
2. The interconnection of two ``digital computers'' so that, if
the active central processing unit fails, an idling but mirroring
central processing unit can continue the system's functioning;
3. The interconnection of two central processing units by data
channels or by use of shared storage to permit one central
processing unit to perform other work until the second central
processing unit fails, at
[[Page 12989]]
which time the first central processing unit takes over in order to
continue the system's functioning; or
4. The synchronization of two central processing units by
``software'' so that one central processing unit recognizes when the
other central processing unit fails and recovers tasks from the
failing unit.
b. ``Digital computers'' having a ``Composite Theoretical
Performance'' (``CTP'') exceeding 260 million composite theoretical
operations per second (Mtops);
c. ``Electronic assemblies'' specially designed or modified to
be capable of enhancing performance by aggregation of ``computing
elements'', so that the ``CTP'' of the aggregation exceeds the limit
in 4A003.b.
Note 1: 4A003.c applies only to ``electronic assemblies'' and
programmable interconnections not exceeding the limits in 4A003.b,
when shipped as unintegrated ``electronic assemblies''. It does not
apply to ``electronic assemblies'' inherently limited by nature of
their design for use as related equipment controlled by 4A003.d to
4A003.f.
Note 2: 4A003.c does not control ``electronic assemblies''
specially designed for a product or family of products whose maximum
configuration does not exceed the limits of 4A003.b.
d. Graphics accelerators or graphics coprocessors exceeding a
``3-D Vector Rate'' of 1,600,000;
e. Equipment performing analog-to-digital conversions exceeding
the limits in 3A001.a.5;
f. Equipment containing ``terminal interface equipment''
exceeding the limits in 5A001.b.3;
Note: For the purposes of 4A003.f, ``terminal interface
equipment'' includes ``local area network'' interfaces, modems and
other communications interfaces. ``Local area network'' interfaces
are evaluated as ``network access controllers''.
g. Equipment, specially designed to provide for the external
interconnection of ``digital computers'' or associated equipment,
that allows communications at data rates exceeding 80 Mbytes/s.
Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) or passive interconnection
equipment.
4A004 Computers, and specially designed related equipment,
``electronic assemblies'' and components therefor.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $5,000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Systolic array computers'';
b. ``Neural computers''; and
c. ``Optical computers''.
4A101 Analog computers, ``digital computers'', or digital differential
analyzers, other than those controlled by 4A001.a.1, designed or
modified for use in missiles, having either of the following
characteristics.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items:
a. Rated for continuous operation at temperatures from below
-45 deg. C to above +55 deg. C; or
b. Designed as ruggedized or ``radiation hardened''.
4A980 Computers for fingerprint equipment, n.e.s.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CC applies to entire entry............. CC Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4A994 Computers, ``electronic assemblies'', and related equipment not
controlled by 4A001, 4A002, or 4A003, and specially designed components
therefor.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Electronic computers and related equipment, and ``electronic
assemblies'' and specially designed components therefor, rated for
operation at an ambient temperature above 343 K (70 deg. C);
b. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') equal to or greater than 6 million
theoretical operations per second (Mtops);
c. ``Assemblies'' not controlled by 4A003 that are specially
designed or modified to enhance performance by aggregation of
``computing elements'' (``CEs''), as follows:
c.1. Designed to be capable of aggregation in configurations of
16 or more ``computing elements'' (``CEs''); or
c.2. Having a sum of maximum data rates on all channels
available for connection to associated processors exceeding 40
million Bytes/s;
Note 1: 4A994.c applies only to ``electronic assemblies'' and
programmable interconnections with a ``CTP'' not exceeding the
limits in 4A994.b, when shipped as unintegrated ``electronic
assemblies''. It does not apply to ``electronic assemblies''
inherently limited by nature of their design for use as related
equipment controlled by 4A994.
Note 2: 4A994.c does not control any ``electronic assembly''
specially designed for a product or family of products whose maximum
configuration does not exceed the limits of 4A994.b.
d. Disk drives and solid state storage equipment:
d.1. Magnetic, erasable optical or magneto-optical disk drives
with a ``maximum bit transfer rate'' exceeding 25 million bit/s;
d.2. Solid state storage equipment, other than ``main storage''
(also known as solid state disks or RAM disks), with a ``maximum bit
transfer rate'' exceeding 36 million bit/s;
e. Input/output control units designed for use with equipment
controlled by 4A994.d;
f. Equipment for ``signal processing'' or ``image enhancement'',
not controlled by 4A003, having a ``composite theoretical
performance'' (``CTP'') exceeding 8.5 million theoretical operations
per second (Mtops);
g. Graphics accelerators or graphics coprocessors, not
controlled by 4A003, that exceeds a ``3-D vector rate'' of 400,000
or, if supported by 2-D vectors only, a ``2-D vector rate'' of
600,000;
Note 1: The provisions of 4A994.g do not apply to work stations
designed for and limited to:
a. Graphic arts (e.g., printing, publishing); and
b. The display of two-dimensional vectors.
h. Color displays or monitors having more than 120 resolvable
elements per cm in the direction of the maximum pixel density;
Note 1: 4A994.h does not control displays or monitors not
specially designed for electronic computers.
[[Page 12990]]
Note 2: Displays specially designed for air traffic control
(ATC) systems are treated as specially designed components for ATC
systems under Category 6.
i. Equipment containing ``terminal interface equipment''
exceeding the limits in 5A991.
Note: For the purposes of 4A994.i, ``terminal interface
equipment'' includes ``local area network'' interfaces, modems and
other communications interfaces. ``Local area network'' interfaces
are evaluated as ``network access controllers''.
B. Test, Inspection and Production Equipment
4B994 Equipment for the ``development'' and ``production'' of magnetic
and optical storage equipment.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: This entry does not control general-purpose
sputtering equipment.
Items:
a. Equipment specially designed for the application of magnetic
coating to controlled non-flexible (rigid) magnetic or magneto-
optical media;
b. ``Stored program controlled'' equipment specially designed
for monitoring, grading, exercising or testing controlled rigid
magnetic media;
c. Equipment specially designed for the ``production'' or
alignment of heads or head/disk assemblies for controlled rigid
magnetic and magneto-optical storage, and electro-mechanical or
optical components therefor.
C. Materials
4C994 Materials specially formulated for and required for the
fabrication of head/disk assemblies for controlled magnetic and
magneto-optical hard disk drives.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
D. Software
4D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
4A001 to 4A004, 4A101, or ``software'' controlled by 4D001 to 4D003.
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to ``software'' for items NS Column 1.
controlled by 4A001 to 4A004, 4D001 or
4D003.
MT applies to ``software'' for MT Column 1.
equipment controlled by 4A001 to 4A003
or 4A101 for MT reasons.
CC applies to ``software'' for CC Column 1.
equipment controlled by 4A003 for CC
reasons.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
NP applies to all ``software'' controlled by this entry unless a
License Exception is available. See Sec. 742.3(b) of the EAR for
information on applicable licensing review policies.
XP applies to all ``software'' controlled by this entry unless a
License Exception is available. XP controls vary according to
destination and end-user and end-use. See Sec. 742.12 of the EAR for
additional information.
License Exceptions
CIV: Yes, (see Advisory Notes 2 and 3 to Category 4)
TSR: Yes, except for computers requiring a license.
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D002 ``Software'' specially designed or modified to support
``technology'' controlled by 4E001 or 4E002.
License Requirements
Reason for Control: NS, MT, AT, NP, XP
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
MT applies to ``software'' for MT Column 1.
equipment controlled by 4A001 to 4A003
or 4A101 for MT reasons.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
NP applies to all ``software'' controlled by this entry unless a
License Exception is available. See Sec. 742.3(b) of the EAR for
information on applicable licensing review policies.
XP applies to all ``software'' controlled by this entry unless a
License Exception is available. XP controls vary according to
destination and end-user and end-use. See Sec. 742.12 of the EAR for
additional information.
License Exceptions
CIV: N/A
TSR: Yes, except ``software'' specifically designed or modified
to support ``technology'' for computers requiring a license.
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D003 Specific ``software'', as described in this entry.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes, except 4D003.c
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Operating system ``software'', ``software'' ``development''
tools and compilers specially designed for ``multi-data-stream
processing'' equipment, in ``source code'';
b. ``Expert systems'' or ``software'' for ``expert system''
inference engines providing both:
b.1. Time dependent rules; and
b.2. Primitives to handle the time characteristics of the rules
and the facts;
c. ``Software'' having characteristics or performing functions
exceeding the limits in the ``information security'' entries in
Category 5;
d. Operating systems specially designed for ``real time
processing'' equipment that guarantees a ``global interrupt latency
time'' of less than 20 microseconds.
4D980 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of items controlled by 4A980.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CC applies to entire entry............. CC Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
[[Page 12991]]
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4D993 ``Program'' proof and validation ``software'', ``software''
allowing the automatic generation of ``source codes'', and operating
systems not controlled by 4D003 that are specially designed for real
time processing equipment.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Program'' proof and validation ``software'' using
mathematical and analytical techniques and designed or modified for
``programs'' having more than 500,000 ``source code'' instructions;
b. ``Software'' allowing the automatic generation of ``source
codes'' from data acquired on line from external sensors described
in the Commerce Control List;
c. Operating systems not controlled by 4D003 that are specially
designed for ``real time processing'' equipment that guarantees a
``global interrupt latency time'' of less than 30 microseconds.
4D994 ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of equipment controlled by
4A994, 4B994 and materials controlled by 4C994.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
4E001 ``Technology'' according to the General Technology Note, for the
``development'', ``production'' or ``use'' of equipment controlled by
4A001 to 4A004, 4A101 or ``software'' controlled by 4D (except 4A980,
4A993 or 4A994).
License Requirements
Reason for Control: NS, MT, CC, AT, NP, XP
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to ``technology'' for items NS Column 1.
controlled by 4A001 to 4A004, 4D001 or
4D002.
MT applies to ``technology'' for items MT Column 1.
controlled by 4A001 to 4A003, 4A101
4D001 or 4D002 for MT reasons.
CC applies to ``technology'' for CC Column 1.
equipment controlled by 4A003 for CC
reasons.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
NP applies to all ``technology'' controlled by this entry unless
a License Exception is available. See Sec. 742.3(b) of the EAR for
information on applicable licensing review policies.
XP applies to all ``technology'' controlled by this entry unless
a License Exception is available. XP controls vary according to
destination and end-user and end-use. See Sec. 742.12 of the EAR for
additional information.
License Exceptions
CIV: N/A
TSR: Yes, except ``technology'' for computers with a CTP > 2,000
Mtops.
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4E002 Other ``technology''.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Technology'' for the ``development'' or ``production'' of
equipment designed for ``multi-data-stream processing'' where the
``CTP'' exceeds 120 Mtops;
b. ``Technology'' ``required'' for the ``development'' or
``production'' of magnetic hard disk drives with a Maximum Bit
Transfer Rate (``MBTR'') exceeding 47 Mbits/s.
4E980 ``Technology'' for the ``development'', ``production'', or
``use'' of items controlled by 4A980.
License Requirements
Reason for Control: CC
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
CC applies to entire entry............. CC Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4E992 ``Technology'' for the ``development'', ``production'', or
``use'' of equipment controlled by 4A994 and 4B994, materials
controlled by 4C994, or ``software'' controlled by 4D992, 4D993, or
4D994.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
4E993 ``Technology'' for the ``development'' or ``production'' of
graphics accelerators or equipment designed for ``multi-data-stream
processing'' and ``technology'' ``required'' for the ``development'' or
``production'' of magnetic hard disk drives.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
[[Page 12992]]
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Technology'' for the ``development'' or ``production'' of
graphics accelerators not controlled by 4A003.d or 4A994.g;
b. ``Technology'', not controlled by 4E002.a, for the
``development'' or ``production'' of equipment designed for ``multi-
data-stream processing'';
c. ``Technology'', not controlled by 4E002.b, ``required'' for
the ``development'' or ``production'' of magnetic hard disk drives
with a ``maximum bit transfer rate'' (``MBTR'') exceeding 11 Mbit/s.
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Advisory Notes for Category 4
Advisory Note 1: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Romania of the items controlled by Category 4 for
national security reasons, except:
a. Computers controlled by 4A001 or 4A002;
b. ``Digital computers'' controlled by 4A003.b having a
``composite theoretical performance (``CPT'') exceeding 100 million
theoretical operations per second (Mtops);
c. Computers controlled by 4A004, and specially related
equipment, ``electronic assemblies'' and components therefor;
d. ``Software'' specially designed and ``technology''
``required'' for the equipment described in this Advisory Note 1 .a,
.b, or .c that are controlled by 4D or 4E.
Advisory Note 2: Licenses are likely to be approved, as
administrative exceptions, for export and reexport to satisfactory
end-users in the People's Republic of China of ``digital
computers'', specially designed components and related equipment
therefor, controlled by 4A003.b, .d, .e, .f, or ``software''
controlled by 4D001, provided that:
a. They will be operated by civil end-users for civil
applications;
b. They are exported or reexported as complete systems or
enhancements to previously exported systems up to the limits in this
Advisory Note 2.d;
c. They have been primarily designed and used for non-strategic
applications;
d. The ``CTP'' of the ``digital computers'' does not exceed 20
Mtops;
e. Equipment containing ``terminal interface equipment'' does
not exceed:
1. The limits of Advisory Note 3 to Category 5, Section I
(Telecommunications);
2. The limits of 5A002.c.2; or
3. A ``digital transfer rate'' of 100 Mbits/s on the common
media for ``network access controllers'' and related equipment
controlled by 5A002.c.3; and
f. Any controlled ``software'' is the minimum required for the
``use'' of the approved ``digital computers'' and related equipment.
Advisory Note 3: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Country Group D:1 of ``digital computers'',
``electronic assemblies'' or related equipment controlled by 4A003,
or specially designed components therefor, and ``software''
controlled by 4D001, provided that:
a. They will be operated by civil end-users for civil
applications;
b. They have been primarily designed and used for non-strategic
applications;
c. They do not exceed any of the following limits:
1. The ``CTP'' of the ``digital computers'' does not exceed
1,000 Mtops;
2. The ``3-D vector rate'' does not exceed 3 million;
3. The total data transfer rate of equipment controlled by
4A003.g does not exceed 400 MB/second;
d. When exported as enhancements, the enhanced ``digital
computer'' does not exceed the limit in this Advisory Note 3.c;
e. Exports of items covered by this Advisory Note 3 shall be
subject to the following restrictions:
1. The equipment will be used primarily for the specific non-
strategic application for which the export or reexport has been
approved; and
2. The equipment will not be used for the design,
``development'', or ``production'' of items controlled for national
security reasons; and
3. The exporter or reexporter shall report promptly any evidence
of the removal or diversion of the equipment from authorized
purposes related to the specific license;
f. For systems where the ``CTP'' exceeds 520 Mtops, the
following conditions apply:
1. The licensee or the designated representative of the
licensee, who must be from a country other than that listed in
Country Group D:1, must have the right of access to all the
equipment and may carry out inspections;
2. The licensee, upon the request of the BXA, must carry out
inspections to establish that all the equipment and systems exported
or reexported under the provisions of this Advisory Note:
a. Are being used for the intended civil purposes; and
b. Are still located at the installation sites. The licensee
shall report the findings from the inspection to the BXA (at P.O.
Box 273, Washington, D.C. 20044) within one month after completing
the inspection.
Advisory Note 4: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Country Group D:1 of equipment controlled by 4A003.g,
provided that it is exported or reexported for ``use'' in
interconnecting peripheral equipment to ``digital computers'' not
controlled by 4A003.b.
Information on How to Calculate ``Composite Theoretical
Performance'' (``CTP''):
Technical Note: ``Composite Theoretical Performance'' (CTP).
Abbreviations Used in This Technical Note
CE ``computing element'' (typically an arithmetic logical unit)
FP floating point
XP fixed point
t execution time
XOR exclusive OR
CPU central processing unit
TP theoretical performance (of a single CE)
CTP ``composite theoretical performance'' (multiple CEs)
R effective calculating rate
WL word length
L word length adjustment
* multiply
Execution time `t' is expressed in microseconds, TP and ``CTP''
are expressed in Mtops (millions of theoretical operations per
second) and WL is expressed in bits.
Outline of ``CTP'' Calculation Method
``CTP'' is a measure of computational performance given in
millions of theoretical operations per second (Mtops). In
calculating the ``Composite Theoretical Performance'' (``CTP'') of
an aggregation of ``Computing Elements'' (``CEs''), the following
three steps are required:
1. Calculate the effective calculating rate (R) for each
``computing element'' (``CE'');
2. Apply the word length adjustment (L) to the effective
calculating rate (R), resulting in a Theoretical Performance (TP)
for each ``computing element'' (``CE'');
3. If there is more than one ``computing element'' (``CE''),
combine the Theoretical Performances (TPs), resulting in a
``Composite Theoretical Performance'' (``CTP'') for the aggregation.
Details for these steps are given in the following section.
Note 1: For aggregations of multiple ``computing elements''
(``CEs'') that have both shared and unshared memory subsystems, the
calculation of ``CTP'' is completed hierarchically, in two steps:
first, aggregate the group of ``computing elements'' (``CEs'')
sharing memory, second calculate the ``CTP'' of the groups using the
calculation method for multiple ``computing elements'' (``CEs'') not
sharing memory.
Note 2: ``Computing elements'' (``CEs'') that are limited to
input/output and peripheral functions (e.g., disk drive,
communication and video display controllers) are not aggregated into
the ``CTP'' calculation.
The following table shows the method of calculating the
``Effective Calculating Rate'' (R) for each ``Computing Element''
(``CE''):
Step 1: The effective calculating rate R. For Computing Elements
(CEs) Implementing: Effective calculating Rate, R
Note: Every ``CE'' must be evaluated independently
[[Page 12993]]
[GRAPHIC] [TIFF OMITTED] TR25MR96.014
If no add is implemented use:
[GRAPHIC] [TIFF OMITTED] TR25MR96.015
If neither add nor multiply is implemented use the fastest
available arithmetic operation as follows:
[GRAPHIC] [TIFF OMITTED] TR25MR96.016
See Notes X and Y.
[GRAPHIC] [TIFF OMITTED] TR25MR96.017
See Notes X and Y.
Both FP and XP (R).
Calculate both R<INF>xp, R<INF>fp.
For simple logic processors not implementing any of the
specified arithmetic operations.
[GRAPHIC] [TIFF OMITTED] TR25MR96.018
Where t<INF>log is the execute time of the XOR, or for logic
hardware not implementing the XOR, the fastest simple logic
operation.
See Notes X and Z.
For special logic processors not using any of the specified
arithmetic or logic operations. R = R<SUP>t x WL/64
Where R is the number of results per second, WL is the number of
bits upon which the logic operation occurs, and 64 is a factor to
normalize to a 64 bit operation.
Note W: For a pipelined ``CE'' capable of executing up to one
arithmetic or logic operation every clock cycle after the pipeline
is full, a pipelined rate can be established. The effective
calculating rate (R) for such a ``CE'' is the faster of the
pipelined rate or non-pipelined execution rate.
Note X: For a ``CE'' that performs multiple operations of a
specific type in a single cycle (e.g., two additions per cycle or
two identical logic operations per cycle), the execution time t is
given by:
[GRAPHIC] [TIFF OMITTED] TR25MR96.019
``Computing elements'' (``CEs'') that perform different types of
arithmetic or logic operations in a single machine cycle are to be
treated as multiple separate ``computing elements'' (``CEs'')
performing simultaneously (e.g., a ``CE'' performing an addition and
a multiplication in one cycle is to be treated as two ``CEs'', the
first performing an addition in one cycle and the second performing
a multiplication in one cycle).
If a single ``Computing element'' (``CE'') has both scalar
function and vector function, use the shorter execution time value.
Note Y: For the ``CE'' that does not implement FP add or FP
multiply, but that performs FP divide:
[[Page 12994]]
[GRAPHIC] [TIFF OMITTED] TR25MR96.020
If the ``CE'' implements FP reciprocal, but not FP add, FP
multiply or FP divide, then:
[GRAPHIC] [TIFF OMITTED] TR25MR96.021
If the divide is not implemented, the fp reciprocal should be
used.
If none of the specified instructions is implemented, the
effective floating point (FP) rate is 0.
Note Z: In simple logic operations, a single instruction
performs a single logic manipulation of no more than two operands of
given lengths. In complex logic operations, a single instruction
performs multiple logic manipulations to produce one or more results
from two or more operands.
Rates should be calculated for all supported operand lengths
considering both pipelined operations (if supported), and non-
pipelined operations, using the fastest executing instruction for
each operand length based on:
1. Pipelined or register-to-register operations. Exclude
extraordinarily short execution times generated for operations on a
predetermined operand or operands (for example, multiplication by 0
or 1). If no register-to-register operations are implemented,
continue with (2).
2. The faster of register-to-memory or memory-to-register
operations; if these also do not exist, then continue with (3).
3. Memory-to-memory.
In each case above, use the shortest execution time certified by
the manufacturer.
Step 2: TP for each supported operand length WL:
Adjust the effective rate R (or R<SUP>t) by the word length
adjustment L as follows:
[GRAPHIC] [TIFF OMITTED] TR25MR96.022
Note: The word length WL used in these calculations is the
operand length in bits. (If an operation uses operands of different
lengths, select the largest word length.)
The combination of a mantissa ALU and an exponent ALU of a
floating point processor or unit is considered to be one ``computing
Element'' (``CE'') with a Word Length (WL) equal to the number of
bits in the data representation (typically 32 or 64) for purposes of
the ``Composite Theoretical Performance'' (``CTP'') calculations.
This adjustment is not applied to specialized logic processors
that do not use XOR instructions. In this case TP = R.
Select the maximum resulting value of TP for:
Each XP-only ``CE'' (R<INF>xp);
Each FP-only ``CE'' (R<INF>fp);
Each combined FP and XP ``CE'' (R);
Each simple logic processor not implementing any of the
specified arithmetic operations; and
Each special logic processor not using any of the specified
arithmetic or logic operations.
Step 3: ``CTP'' for aggregations of ``CEs'', including CPU's:
For a CPU with a single ``CE'', ``CTP'' = TP (for CEs performing
both fixed and floating point operations, TP = max (TP<INF>fp,
TP<INF>xp)).
``CTP'' for aggregations of multiple ``CEs'' operating
simultaneously is calculated as follows:
Note 1: For aggregations that do not allow all of the ``CEs'' to
run simultaneously, the possible combination of ``CEs'' that
provides the largest ``CTP'' should be used. The TP of each
contributing ``CE'' is to be calculated at its maximum value
theoretically possible before the ``CTP'' of the combination is
derived.
N.B.: To determine the possible combinations of simultaneously
operating ``CEs'', generate an instruction sequence that initiates
operations in multiple ``CEs'', beginning with the slowest ``CE''
(the one needing the largest number of cycles to complete its
operation) and ending with the fastest ``CE''. At each cycle of the
sequence, the combination of ``CEs'' that are in operation during
that cycle is a possible combination. The instruction sequence must
take into account all hardware and/or architectural constraints on
overlapping operations.
Note 2: A single integrated circuit chip or board assembly may
contain multiple ``CEs''.
Note 3: Simultaneous operations are assumed to exist when the
computer manufacturer claims concurrent, parallel or simultaneous
operation or execution in a manual or brochure for the computer.
Note 4: ``CTP'' values are not to be aggregated for ``CE''-
combinations (inter)connected by ``Local Area Networks'', Wide Area
Networks, Input/Output shared connections/devices, I/O controllers
and any communication interconnection implemented by ``software''.
Note 5: ``CTP'' values must be aggregated for multiple ``CEs''
specially designed to enhance performance by aggregation, operating
simultaneously and sharing memory,-- or multiple memory/``CE''--
combinations operating simultaneously utilizing specially designed
hardware. This aggregation does not apply to ``electronic
assemblies'' controlled by 4A003.c.
``CTP'' = TP<INF>1 + C<INF>2 * TP<INF>2 + . . . + C<INF>n *
TP<INF>n, where the TPs are ordered by value, with TP<INF>1, being
the highest, TP<INF>2 being the second highest, . . . and TP<INF>n
being the lowest. C<INF>i is a coefficient determined by the
strength of the interconnection between ``CEs'', as follows:
For multiple ``CEs'' operating simultaneously and sharing
memory:
[GRAPHIC] [TIFF OMITTED] TR25MR96.023
Note 1: When the ``CTP'' calculated by the above method does not
exceed 194 Mtops, the following formula may be used to calculate
C<INF>i:
[GRAPHIC] [TIFF OMITTED] TR25MR96.024
where m = the number of ``CEs'' or groups of ``CEs'' sharing
access.
Provided:
1. The TP<INF>i of each ``CE'' or group of ``CEs'' does not
exceed 30 Mtops;
2. The ``CEs'' or groups of ``CEs'' share access to main memory
(excluding cache memory) over a single channel; and
3. Only one ``CE'' or group of ``CEs'' can have use of the
channel at any given time.
N.B.: This does not apply to items controlled under Category 3.
Note 2: ``CEs'' share memory if they access a common segment of
solid state memory. This memory may include cache memory, main
memory, or other internal memory. Peripheral memory devices such as
disk drives, tape drives, or RAM disks are not included.
For multiple ``CEs'' or groups of ``CEs'' not sharing memory,
interconnected by one or more data channels:
C<INF>i=0.75*k<INF>i (i=2, . . ., 32) (see NOTE on k<INF>i factor)
=0.60*k<INF>i (i=33, . . ., 64)
=0.45*k<INF>i (i=65, . . ., 256)
=0.30*k<INF>i (i>256)
The value of C<INF>i is based on the number of ``CEs'', not the
number of nodes.
where k<INF>i=min (S<INF>i/K<INF>r, 1), and
K<INF>r=normalizing factor of 20 MByte/s.
S<INF>i=sum of the maximum data rates (in units of MBytes/s) for
all data channels connected to the i<INF>th ``CE'' or group of
``CEs'' sharing memory.
When calculating a C<INF>i for a group of ``CEs'', the number of
the first ``CE'' in a group determines the proper limit for C<INF>i.
For example, in an aggregation of groups consisting of 3 ``CEs''
each, the 22nd group will contain ``CE''<INF>64, ``CE''<INF>65 and
``CE''<INF>66 . The proper limit for C<INF>i for this group is 0.60.
Aggregation (of ``CEs'' or groups of ``CEs'') should be from the
fastest-to-slowest; i.e.:
[[Page 12995]]
TP<INF>1<gr-thn-eq>TP<INF>2<gr-thn-eq>TP<INF>3; and in the case
of TP<INF>i=TP<INF>i+<INF>1, from the largest to smallest, i.e.:
C<INF>i<gr-thn-eq>C<INF>i+<INF>1
Note: The k<INF>i factor is not to be applied to ``CEs'' to 2 to
12 if the TP i / of the ``CE'' or group of ``CEs'' is more than 50
Mtops; i.e., C<INF>i for ``CEs'' 2 to 12 is 0.75.
Category 5--Telecommunications and Information Security
Notice: Category 5 entries are divided into two sections. (I)
Telecommunications and (II) Information Security.
I. Telecommnications
Notes: 1. The control status of components, ``lasers'', test and
``production'' equipment, materials and ``software'' therefor that
are specially designed for telecommunications equipment or systems
is defined in the telecommunications entries in this Category.
2. ``Digital computers'', related equipment or ``software'',
when essential for the operation and support of telecommunications
equipment described by the telecommunications equipment in this
Category, are regarded as specially designed components, provided
they are the standard models customarily supplied by the
manufacturer. This includes operation, administration, maintenance,
engineering or billing computer systems.
A. Equipment, Assemblies and Components
5A001 Any type of telecommunications equipment having any of the
following characteristics, functions or features:
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to 5A001.a.................. NS Column 1.
NS applies to 5A001.b., c., d., .e, or NS Column 2.
.f.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A for 5A001.a;
$5000 for 5A001.b, .c, .d, and .f;
$3000 for 5A001.e
GBS: Yes, except 5A001.a, b.8, and b.9
CIV: Yes, except 5A001.a, b.8, and b.9
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. Specially designed to withstand transitory electronic
effects or electromagnetic pulse arising from a nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation;
a.3. Specially designed to operate outside the temperature range
from 218 K (-55 deg. C) to 397 K (124 deg. C).
Note: 5A001.a.3 applies only to electronic equipment.
Note: 5A001.a.2 and a.3 do not apply to equipment on board
satellites.
b. Telecommunication transmission equipment or systems and
specially designed components and accessories therefor, having any
of the characteristics, functions or features:
Note: Telecommunication transmission equipment:
a. Categorized as follows, or combinations thereof:
1. Radio equipment (e.g., transmitters, receivers and
transceivers);
2. Line terminating equipment;
3. Intermediate amplifier equipment;
4. Repeater equipment;
5. Regenerator equipment;
6. Translation encoders (transcoders);
7. Multiplex equipment (statistical multiplex included);
8. Modulators/demodulators (modems);
9. Transmultiplex equipment (see CCITT Rec. G.7Ol);
10. ``Stored program controlled'' digital crossconnection
equipment;
11. ``Gateways'' and bridges;
12. ``Media access units''; and
b. Designed for use in single or multi-channel communication
via:
1. Wire (line);
2. Coaxial cable;
3. Optical fiber cable;
4. Electromagnetic radiation; or
5. Underwater acoustic wave propagation.
b.1. Employing digital techniques, including digital processing
of analog signals, and designed to operate at a ``digital transfer
rate'' at the highest multiplex level exceeding 45 Mbit/s or a
``total digital transfer rate'' exceeding 90 Mbit/s.
Note: 5A001.b.1. does not control equipment specially designed
to be integrated and operated in any satellite system for civil use.
b.2. Being ``stored program controlled'' digital cross connect
equipment with a ``digital transfer rate'' exceeding 8.5 Mbit/s per
port.
b.3. Being equipment containing:
b.3.a. Modems using the ``bandwidth of one voice channel'' with
a ``data signalling rate'' exceeding 28,800 bits/s;
b.3.b. ``Communication channel controllers'' with a digital
output having a ``data signalling rate'' exceeding 2.1 Mbit/s per
channel; or
b.3.c. ``Network access controllers'' and their related common
medium having a ``digital transfer rate'' exceeding 156 Mbit/s;
Note: If any non-controlled equipment contains a ``network
access controller'', it cannot have any type of telecommunications
interface except those described in, but not controlled by,
5A001.b.3.
b.4 Employing a ``laser'' and having any of the following
characteristics:
b.4.a. Having a transmission wavelength exceeding 1,000 nm;
b.4.b. Employing analog techniques and having a bandwidth
exceeding 45 MHz;
b.4.c. Employing coherent optical transmission or coherent
optical detection techniques (also called optical heterodyne or
homodyne techniques);
b.4.d. Employing wavelength division multiplexing techniques; or
b.4.e. Performing ``optical amplification''.
b.5. Radio equipment operating at input or output frequencies
exceeding:
b.5.a. 31 GHz for satellite-earth station applications; or
b.5.b. 26.5 GHz for other applications;
Note: 5A001.b.5.b. does not control equipment for civil use when
conforming with an International Telecommunicatios Union (ITU)
allocated band between 26.5 GHz and 31 GHz.
b.6. Being radio equipment:
b.6.a. Employing quadrature-amplitude-modulation (QAM)
techniques above level 4 if the ``total digital transfer rate''
exceeds 8.5 Mbit/s;
b.6.b. Employing quadrature-amplitude-modulation (QAM)
techniques above level 16 if the ``total digital transfer rate'' is
equal to or less than 8.5 Mbit/s; or
b.6.c. Employing other digital modulation techniques and having
a ``spectral efficiency'' greater than 3 bit/sec/Hz;
Note 1: 5A001.b.6 does not control equipment specially designed
to be integrated and operated in any satellite system for civil use.
Note 2: 5A001.b.6. does not control radio relay equipment for
operation in an ITU allocated band:
a.1. Not exceeding 960 MHz; or
a.2. With a ``total digital transfer rate'' not exceeding 8.5
Mbit/s; and
b. Having a ``spectral efficiency'' not exceeding 4 bit/sec/Hz.
b.7 Being radio equipment operating in the 1.5 to 87.5 MHz band
and having either of the following characteristics:
b.7.a.1. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
b.7.a.2. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the 1.5 to 30 Mhz frequency range or
250 W or more in the 30 to 87.5 MHz frequency range, over an
``instantaneous bandwidth'' of one octave or more and with an output
harmonic and distortion content of better than -80 dB; or
b.7.b. Incorporating adaptive techniques providing more than 15
dB suppression of an interfering signal.
b.8. Being radio equipment employing ``spread spectrum'' or
``frequency agility'' (frequency hopping) techniques having any of
the following characteristics:
b.8.a. User programmable spreading codes; or
b.8.b. A total transmitted bandwidth that is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz.
b.9. Being digitally controlled radio receivers having more than
1,000 channels, that:
b.9.a. Search or scan automatically a part of the
electromagnetic spectrum;
b.9.b. Identify the received signals or the type of transmitter;
and
b.9.c. Have a ``frequency switching time'' of less than 1 ms;
b.10. Providing functions of digital ``signal processing'' as
follows:
b.10.a. Voice coding at rates less than 2,400 bit/s;
[[Page 12996]]
b.10.b. Employing circuitry that incorporates ``user-accessible
programmability'' of digital ``signal processing'' circuits
exceeding the limits of 4A003.b;
b.11. Being underwater communications systems having any of the
following characteristics:
b.11.a. An acoustic carrier frequency outside the range of 20 to
60 kHz;
b.11.b. Using an electromagnetic carrier frequency below 30 kHz;
or
b.11.c. Using electronic beam steering techniques.
c. ``Stored program controlled'' switching equipment and related
signalling systems having any of the following characteristics,
functions or features; and specially designed components and
accessories therefor:
Note: Statistical multiplexers with digital input and digital
output that provide switching are treated as ``stored program
controlled'' switches.
c.1. ``Common channel signalling'',
Note: Signalling systems in which the signalling channel is
carried in and refers to no more than 32 multiplexed channels
forming a trunk line of no more than 2.1 Mbit/s, and in which the
signalling information is carried in a fixed, time division
multiplexed channel without the use of labelled messages, are not
considered to be ``common channel signalling'' systems.
c.2. Containing ``Integrated Services Digital Network'' (ISDN)
functions and having either of the following:
c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a
``digital transfer rate'' at the highest multiplex level exceeding
192,000 bit/s, including the associated signalling channel (e.g.,
2B+D); or
c.2.b. The capability that a signalling message received by a
switch on a given channel that is related to a communication on
another channel may be passed through to another switch.
Note: 5A001.c.2. does not preclude:
a. The evaluation and appropriate actions taken by the receiving
switch.
b. Unrelated user message traffic on a D channel of ISDN.
c.3. Multi-level priority and pre-emption for circuit switching;
Note: 5A001.c.3. does not control single-level call preemption.
c.4. ``Dynamic adaptive routing'';
c.5. Routing or switching of ``datagram'' packets;
c.6. Routing or switching of ``fast select'' packets;
Note: The restrictions in 5A001.c.5. and c.6. do not apply to
networks restricted to using only ``network access controllers'' or
to ``network access controllers'' themselves.
c.7. Designed for automatic hand-off of cellular radio calls to
other cellular switches or automatic connection to a centralized
subscriber data base common to more than one switch;
c.8. Being packet switches, circuit switches and routers with
ports or lines exceeding either:
c.8.a. A ``data signalling rate'' of 64,000 bit/s per channel
for a ``communications channel controller''; or
Note: 5A001.c.8.a. does not preclude the multiplexing over a
composite link of communications channels not controlled by
5A001.b.1.
c.8.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network
access controller'' and related common media.
c.9. ``Optical switching'';
c.10. Employing ``Asynchronous Transfer Mode'' (ATM) techniques;
c.11. Containing ``stored program controlled'' digital
crossconnect equipment with ``digital transfer rate'' exceeding 8.5
Mbit/s per port;
d. Centralized network control having both of the following
characteristics:
d.1. Receives data from the nodes; and
d.2. Processes these data in order to provide control of traffic
not requiring operator decisions, and thereby performing ``dynamic
adaptive routing'';
Note: 5A001.d. does not preclude control of traffic as a
function of predictable statistical traffic conditions.
e. Optical fiber communication cables, optical fibers and
accessories therefor, as follows:
e.1. Optical fiber or cable of more than 50 m in length having
either of the following characteristics:
e.1.a. Designed for single mode operation; or
e.1.b. For optical fibers, specified by the manufacturer as
being capable of withstanding a Proof Test tensile stress of
2. x 10<SUP>9 N/m<SUP>2 or more;
Technical Note: Proof Test: On-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20 deg. C) and relative
humidity of 40%.
N.B.: Equivalent national standards may be used for executing
the Proof Test.
e.2. Optical fiber cables and accessories designed for
underwater use (for fiber-optic hull penetrators or connectors, see
8A002.c);
f. Phased array antennae, operating above 10.5 GHz, containing
active elements and distributed components, and designed to permit
electronic control of beam shaping and pointing, except for landing
systems with instruments meeting International Civil Aviation
Organization (ICAO) standards (microwave landing systems (MLS)).
5A101 Telemetering and telecontrol equipment usable for ``missiles''.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5A980 Communications intercepting devices; and parts and accessories
therefor.
License Requirements
Reason for Control:
Controls on equipment described in this entry are maintained in
accordance with the Omnibus Crime Control and Safe Streets Act of
1968 (Pub. L. 90-351). A license is required for ALL destinations,
regardless of end-use. Accordingly, a column specific to this
control does not appear on the Commerce Country Chart. (See
Sec. 742.13 of the EAR for additional information on the scope of
this control.)
Note: These items are subject to the United Nations Security
Council arms embargo against Rwanda described in Sec. 746.8 of the
EAR.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5A990 Any type of telecommunications equipment, not controlled by
5A001.a, specially designed to operate outside the temperature range
from 219 K (-54 deg. C) to 397 K (124 deg. C).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5A991 Transmission equipment, not controlled by 5A001.b.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
[[Page 12997]]
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Modems using the ``bandwidth of one voice channel'' with a
``data signalling rate'' exceeding 9,600 bits per second;
b. ``Communication channel controllers'' with a digital output
having a ``data signalling rate'' exceeding 64,000 bit/s per
channel; or
c. ``Network access controller'' and their related common medium
having a ``digital transfer rate'' exceeding 33 Mbit/s.
5A992 Mobile communications equipment, n.e.s., and assemblies and
components therefor.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5A993 Radio relay communications equipment designed for use at
frequencies equal to or exceeding 19.7 GHz and assemblies and
components therefor, n.e.s.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5A994 ``Data (message) switching'' equipment or systems designed for
``packet-mode operation'' and assemblies and components therefor,
n.e.s.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: Data (message) switching is defined as the
technique for: (a) Accepting data groups (including messages,
packets, or other digital or telegraphic information groups
transmitted as a composite whole); (b) Storing (buffering) data
groups as necessary; (c) Processing part of all the data groups, as
necessary, for the purpose of: (1) Control (routing, priority,
formatting, code conversion, error control, retransmission or
journaling); (2) Transmission; or (3) Multiplexing; and (d)
Retransmitting (processed) data groups when transmission or
receiving facilities are available.
Items: The list of items controlled is contained in the ECCN
heading.
B. Test, Inspection and Production Equipment
License Requirements
5B001 Equipment, and specially designed components and accessories
therefor.
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: Yes
CIV: Yes
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definition: This entry does not control optical fibers
and ``optical fiber preform'' characterization equipment not using
semiconductor ``lasers''.
Items:
a. Equipment and specially designed components and accessories
therefor, specially designed for:
a.1. ``Development'' of equipment, materials, functions, or
features controlled by 5A001, 5B001, 5C001, 5D001 or 5E001,
including measuring or test equipment;
a.2. ``Production'' of equipment, materials, functions, or
features controlled by 5A001, 5B001, 5C001, 5D001 or 5E001,
including measuring, test or repair equipment;
a.3. ``Use'' of equipment, materials, functions, or features
exceeding any of the least stringent control criteria applicable in
5A001, 5B001, 5C001, 5D001 or 5E001, including measuring, repair or
test equipment.
b. Other equipment as follows:
b.1. Bit error rate (BER) test equipment designed or modified to
test the equipment controlled by 5A001.b.1.;
b.2. Data communication protocol analyzers, testers and
simulators for functions controlled by 5A001;
b.3. Stand alone ``stored program controlled'' radio
transmission media simulators/channel estimators specially designed
for testing equipment controlled by 5A001.b.5.
5B994 Telecommunications test equipment, n.e.s.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $1,000 for Syria; N/A to Iran
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
C. Materials
5C001 Preforms of glass or of any other material optimized for the
manufacture of optical fibers controlled by 5A001.e.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000
GBS: Yes
CIV: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
D. Software
5D001: Telecommunications ``Software''.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: Yes
TSR: Yes
[[Page 12998]]
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or materials
controlled by 5A001, 5B001, or 5C001.
b. ``Software'' specially designed or modified to support
``technology'' controlled by 5E001.
c. Specific ``software'' as follows:
c.1. ``Generic software'', other than in machine-executable
form, specially designed or modified for the ``use'' of ``stored
program controlled'' digital switching equipment or systems;
c.2. ``Software'', other than in machine-executable form,
specially designed or modified for the ``use'' of digital cellular
radio equipment or systems;
c.3. ``Software'' specially designed or modified to provide
characteristics, functions or features of equipment controlled by
5A001 or 5B001;
c.4. ``Software'' that provides capability of recovering
``source code'' of telecommunications ``software'' controlled by
this Category.
c.5. ``Software'' specially designed for the ``development'' or
``production'' of ``software'' controlled by 5D001;
5D101 ``Software'' designed or modified for the ``development'',
``production'' or ``use'' of items controlled by 5A101.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5D990 ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of equipment controlled by
5A990 and 5A991.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 2.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5D991 ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of telecommunications test
equipment controlled by 5B994.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5D992 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of mobile communications
equipment controlled by 5A992.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5D993 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of radio relay communication
equipment controlled by 5A993.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5D994 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of data (message) switching
equipment controlled by 5A994.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
5E001 Telecommunications ``technology''.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. ``Technology'' according to the General Technology Note for
the ``development'', ``production'' or ``use'' (excluding operation)
of equipment, systems, materials or ``software'' controlled by
5A001, 5B001, 5C001, or 5D001.
b. Specific technologies, as follows:
b.1. ``Required'' technology for the ``development'' or
``production'' of telecommunications equipment specially designed to
be used on board satellites.
b.2. ``Technology'' for the ``development'' or ``use'' of laser
communication techniques with the capability of automatically
acquiring and tracking signals and maintaining communications
through exoatmosphere or sub-surface (water) media;
b.3. ``Technology'' for the processing and application of
coatings to optical fiber specially designed to make it suitable for
underwater use;
b.4. ``Technology'' for the ``development'' or ``production'' of
equipment employing ``Synchronous Digital Hierarchy'' (SDH) or
``Synchronous Optical Network'' (SONET) techniques;
b.5. ``Technology'' for the ``development'' or ``production'' of
``switch fabric'' exceeding 64,000 bits per second per information
channel other than for digital cross connect integrated in the
switch;
[[Page 12999]]
b.6. ``Technology'' for the ``development'' or ``production'' of
centralized network control;
b.7. ``Technology'' for the ``development'' or ``production'' of
digital cellular radio systems;
b.8. ``Technology'' for the ``development'' or ``production'' of
``Integrated Services Digital Network'' (ISDN).
b.9. ``Technology'' for the ``development'' of QAM techniques,
for radio equipment, above level 4.
5E101 ``Technology'' according to the General Technology Note for the
``development'', ``production'' or ``use'' of equipment controlled by
5A101 or ``software'' controlled by 5D101.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
AT applies to entire entry............. AT Column 1 .
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5E990 Technology for the ``development'', ``production'' or ``use'' of
equipment controlled by 5A990 or 5A991 or ``software'' controlled by
5D990.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5E991 ``Technology'' for the ``development'', ``production'', or
``use'' of telecommunications test equipment controlled by 5B994, or
``software'' controlled by 5D991.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5E992 ``Technology'' for the ``development'', ``production'', or
``use'' of mobile communications equipment controlled by 5A992 or
``software'' controlled by 5D992.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5E993 ``Technology'' for the ``development'', ``production'', or
``use'' of radio relay communication equipment controlled by 5A993, or
``software'' controlled by 5D993.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
5E994 ``Technology'' for the ``development'', ``production'' or
``use'' of data (message) switching equipment controlled by 5A994, or
``software'' controlled by 5D994.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Advisory Notes for Telecommnications
Advisory Note 1: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Estonia, Latvia and Lithuania of equipment or systems
controlled by 5A001.b, .c, .d, .e, and .f, and test equipment,
``software'' and ``use'' technology therefor, provided that:
a. The equipment or systems:
1. Are designed for and will be used for specific civil
applications; and
2. Will be operated in the importing country by a civil end-user
who has furnished to the supplier a Statement by Ultimate Consignee
and Purchaser (Form BXA-711), or a statement on company letterhead
described in Sec. 748.11(e) of the EAR certifying that the equipment
or systems will used only for the specific end-use;
b. The information to accompany each application will include:
1. End-use assurances provided by the importer and backed by the
importing country;
2. Acceptance of on-site inspection of the equipment or system
by the licensee or the designated representative of the licensee
from a country other than that listed in Country Group D:1;
3. A full description of the equipment or systems to be
provided; and
4. The end-use information clearly stated including the
installation site and intended application.
Advisory Note 2: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in the People's Republic of China of the following
communications, measuring or test equipment:
a. ``Telecommunications transmission equipment'' controlled by
5A001.b.1, b.2, b.4 provided that:
1. It is intended for general commercial traffic in a civil
communication system;
2. It is designed for operation at a ``digital transfer rate''
at the highest multiplex level of 140 Mbit/s or less and at a
``total digital transfer rate'' of 168 Mbit/s or less;
N.B.: An additional 2 Mbit/s for operation, maintenance and
service communications may be added to the ``total digital transfer
rate'' of 168 Mbit/s.
3. For equipment controlled by 5A001.b.4, the transmission
wavelength must not exceed 1,370 nm and optical fiber must be used
as the communication medium;
4. It is to be installed under the supervision of the seller in
a permanent circuit; and
5. It is to be operated by the civilian authorities of the
importing country;
b. Measuring or test equipment controlled by 5B001.a.3,
5B001.b.1, 5B001.b.2, that is necessary for the ``use'' (i.e.,
installation, operation and maintenance) of equipment
[[Page 13000]]
exported under the conditions of this Advisory Note, provided that:
1. It is designed for ``use'' with communication transmission
equipment operating at a ``digital transfer rate'' of 140 Mbit/s or
less, and at a ``total digital transfer rate'' of 168 Mbit/s or
less; and
2. It will be supplied in the minimum quantity required for the
transmission equipment eligible for administrative exception
treatment.
N.B.1: Where possible, built-in test equipment (BITE) will be
provided for installation or maintenance of transmission equipment
eligible for administrative exception treatment under this Advisory
Note rather than individual test equipment.
N.B.2: The license application must include the locations of the
connection points, types of equipment being connected and
transmission rates.
Advisory Note 3: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in the People's Republic of China of ``network access
controllers'' controlled by 5A001.b.3.c, when exported under the
conditions of Advisory Note 2 to Category 4, with a ``digital
transfer rate'' not exceeding 100 Mbits/s.
Advisory Note 4: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in the People's Republic of China of the following,
provided that the associated multiplex equipment is designed for
operation at a ``digital transfer rate'' at the highest multiplex
level of 140 Mbit/s or less:
a. Digital microwave radio relay equipment controlled by
5A001.b.1 or 5B001.b.6, for fixed civil installations, operating at
fixed frequencies not exceeding 23.6 GHz, with a ``total digital
transfer rate'' not exceeding 168 Mbit/s;
b. Ground communication radio equipment for use with temporarily
fixed services operated by civil authorities and designed to be used
at fixed frequencies not exceeding 23.6 GHz;
c. Radio transmission media simulators/channel estimators
controlled by 5B001.b.3, designed for testing equipment described in
this Advisory Note 4.a or .b.
Advisory Note 5: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in the People's Republic of China of equipment controlled
by 5A001.c.1 or ``software'' for ``common channel signalling''
controlled by 5D001.a or 5D001.c.3, provided that:
a. The ``common channel signalling'' is restricted to quasi-
associated or associated mode of operation according to CCITT Red
Book, Volume X, fascicle X.1;
b. No functions, other than those described in the following
recommendations in the Red Book of CCITT: Q.701 to Q.709, Q.721 to
Q.725, Q.791 and Q.795, are included;
N.B.: Only functions described in paragraph 2 of Q.795 are to be
included. These Q.795 functions may not provide centralized network
control having all of the following characteristics:
a. Is based on a network management protocol; and
b. Does both of the following:
1. Receives data from the nodes; and
2. Processes these data in order to:
a. Control traffic; and
b. Directionalize paths;
c. No form of ``Integrated Services Digital Network'' (ISDN) is
provided;
d. Equipment or ``software'' is restricted to that necessary for
the operation within a city or, for ``Private Automatic Branch
Exchanges'', within a radius of 100 km;
N.B.1: Where a recognized city contains more than one
subordinate entity or city, the larger unified boundary prevails. In
no case is the boundary larger than that of Beijing.
N.B.2: A suburban entity that does not belong to a city, but is
located within a circle with a diameter of 50 km and with a city in
the middle, can be considered as part of a city.
e. No means are provided that will allow ``common channel
signalling'' via analog transmission links;
f. All the applicable conditions enumerated in this Advisory
Note 5.a to .e are accomplished by:
1. Omission or physical removal of equipment or coding;
2. Over-writing with non-functioning statements; or
3. Reasonably non-reversible modifications.
Advisory Note 6: Licenses are likely to be approved, as
administrative exceptions, for export to satisfactory end-users in
the People's Republic of China of equipment controlled by 5B001.a.2,
as follows:
a. Optical fiber or ``optical fiber preform'' characterization
equipment using semiconductor ``laser'' with a wavelength not
exceeding 1,370 nm;
b. Equipment for the manufacture of silica-based ``optical fiber
preforms'', optical fibers or cables.
Advisory Note 7: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in the People's Republic of China of test and inspection
equipment and specially designed components and accessories therefor
controlled by 5B001.a or 5B001.b and ``software'' and technology for
such equipment, components and accessories, for the repair of
telecommunications equipment, provided that:
a. Such equipment, components, accessories, ``software'' and
technology:
1. Are specially designed for repair;
2. Are to be used to repair controlled equipment authorized for
export or equipment that is not controlled for national security
reasons;
3. Are shipped in reasonable quantities necessary for the types
and quantities of exported equipment being serviced;
4. Do not provide local production facilities;
5. Do not provide for testing of individual electronic
components; and
6. Do not include ``software'' in ``source code'' controlled by
5D001.c.1;
b. The repair does not upgrade the equipment or ``software'';
c. All the records of repair activity are kept by a
representative of the supplier located in a country other than that
listed in Country Group D:1; and
d. The information to accompany each license application shall
include:
1. A complete list of equipment to be provided; and
2. A clear identification of the users and their activities.
N.B.: Nothing in this Advisory Note 7 shall be construed as
overriding controls in other ECCNs contained in the Commerce Control
List.
Advisory Note 8: Licenses are likely to be approved, as
administrative exceptions, for export to satisfactory end-users in
the People's Republic of China of ``optical fiber preforms''
controlled by 5C001, specially designed for the manufacture of
silica-based optical fibers, provided they are specially designed to
produce non-militarized silica-based optical fibers that are
optimized to operate at a wavelength not exceeding 1,370 nm.
Advisory Note 9: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to the People's
Republic of China of minimum quantities of semiconductor ``lasers''
designed and intended for use with a civil fiber optic communication
system that would be either not controlled for national security
reasons or eligible for administrative exceptions treatment under
Advisory Note 2 (Notes for Telecommunications), having an output
wavelength not exceeding 1,370 nm and a CW power output not
exceeding 100 mW.
Advisory Note 10: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Albania, Bulgaria, the People's Republic of China,
Mongolia, Romania or Vietnam of telecommunication equipment for
optical fibers controlled by 5A001.b.4.a, provided that the
transmission wavelength does not exceed 1,370 nm.
Advisory Note 11: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Albania, Bulgaria, the People's Republic of China,
Mongolia, Romania or Vietnam of cables or fibers controlled by
5A001.e, provided that:
a. Quantities are normal for the envisaged end-use; and
b. They are for a specified civil end-use.
Advisory Note 12: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Albania, Bulgaria, the People's Republic of China,
Mongolia, Romania or Vietnam of optical fiber test equipment
controlled by 5B001.a.3 using a transmission wavelength not
exceeding 1,370 nm.
Advisory Note 13: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Country Group D:1 of digital radio equipment or systems
controlled by 5A001.b.1 or 5A001.b.6, provided that:
a. The equipment or system is intended for general commercial
international traffic in an international civil telecommunication
system, one end of which is in a country listed in Country Group
A:1;
[[Page 13001]]
b. It is to be installed in a permanent circuit under the
supervision of the licensee;
c. No means are to be provided for the transmission of traffic
between points in a single country listed in Country Group D:1 other
than Romania;
d. The ``digital transfer rate'' at the highest multiplex level
does not exceed 156 Mbit/s;
e. The equipment does not employ either of the following:
1. Quadrature Amplitude Modulation (QAM) techniques above level
64; or
2. Other digital modulation techniques with a ``spectral
efficiency'' exceeding 6 bit/s/Hz;
f. The equipment is not controlled by 5A001.b.4 or b.7 or by the
``Information Security'' entries in Category 5;
g. Spare parts shall remain under the control of the licensee or
the licensee's designated representative;
Note: The supervision of the spare parts by the licensee may be
effected by stock inventory procedures and does not require the
permanent on-site presence of a representative of the licensee.
h. The licensee or the licensee's designated representative who
shall be from a country other than that listed in Country Group D:1,
shall have the right of access to all the equipment;
i. There will be no transfer of technology controlled for
national security reasons;
j. Supervision of systems installation, operation and
maintenance shall be performed by the licensee or the licensee's
designated representative, who shall be from a country other than
that listed in Country Group D:1, using only personnel from
countries other than those listed in Country Group D:1;
N.B.1: Supervision of maintenance includes preventive
maintenance at periodic intervals and intervention for major
functions.
N.B.2: This does not mean that only nationals from the exporting
country should install the system.
k. Upon request, the licensee shall carry out an inspection to
establish that:
1. The system is being used for the intended civil purpose; and
2. All the equipment exported under the provisions of this
Advisory Note is being used for the stated purpose and is still
located at the installation sites. The licensee shall report the
findings from the inspection to the BXA within one month after
completing the inspection.
Advisory Note 14: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Country Groups D:1 of fiber optic telecommunication
transmission system or equipment controlled by 5A001.b.1 and
5A001.b.4.a, fiber optic cables controlled by 5A001.e, or coaxial
cable telecommunications transmission systems controlled by
5A001.b.1, and the test equipment, specially designed components,
accessories, ``software'' and technology, necessary for the ``use''
thereof, provided that:
a. They are intended for international telecommunications links
dedicated to international civil traffic between the following
locations:
1.a. From the following countries: Austria, Belgium, the Czech
Republic, Denmark, Estonia, Finland, France, Germany, Greece,
Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Netherlands,
Norway, Poland, Portugal, the Slovak Republic, Spain, Sweden,
Switzerland, Turkey, or the United Kingdom;
b. To the following cities as listed by country: Albania
(Tirana), Armenia (Yerevan), Azerbaijan (Baku), Bulgaria (Sophia,
Varna), Belarus (Minsk), Georgia (Tbilissi), Kazakhstan (Alma-Ata),
Kyrgyzstan (Bishkek), Moldova (Chisinau), Romania (Bucharest,
Constanza), Russia (Moscow, Novorossiisk, Rostov-on-Don, St.
Petersburg, Volgograd), Tajikistan (Dushanbe), Turkmenistan
(Ashgabat), Ukraine (Kiev, Odessa, Sebastopol), Uzbekistan
(Tashkent) or:
2.a. From the following countries: Australia, Canada, Hong Kong,
Japan, New Zealand, South Korea, or the United States;
b. To the following cities as listed by country: People's
Republic of China (Shanghai, Guangzhou), Russia (Khabarovsk,
Nakhodka, Vladivostok, Yuzhno-Sadhalinsk), Vietnam (Hanoi, Ho Chi
Minh City);
N.B.: No traffic shall be carried between points in countries
listed in Country Group D:1, except in Estonia, Latvia, and
Lithuania.
b. [Reserved]
c. They are designed to operate at a ``digital transfer rate''
at the highest multiplex level of 623 Mbit/s or less;
d. The ``laser'' transmission wavelength does not exceed 1,590
nm;
e. The equipment, if employing synchronous transmission
techniques, must conform to one of the approved SONET or SDH
standards or recommendations (i.e. ANSI or CCITT);
f. Supervision of systems installation and maintenance of
controlled transmission equipment must be performed by the licensee
or the licensee's designated representative, who must be from a
country other than that listed in Country Group D:1. Any portion of
the installation of controlled transmission equipment which would
require the transfer of controlled technology must be performed by
the licensee or the licensee's designated representative using only
personnel from countries other than those listed in Country Group
D:1;
N.B.1: Supervision of maintenance includes preventive
maintenance at periodic intervals and intervention for major
malfunctions.
N.B.2: This is not meant to require that only nationals from the
exporting country should install the system.
g. Controlled test equipment and controlled spare parts must
remain under the supervision of the licensee or the licensee's
designated representative, who shall be from a country other than
that listed in Country Group D:1;
N.B.: The supervision of the test equipment and spare parts by
the licensee may be effected by stock inventory procedures and does
not require the permanent on-site presence of a representative of
the licensee.
h. The licensee or the licensee's designated representative who
shall be from a country other than that listed in Country Group D:1,
must have the right of access to all the equipment;
i. Upon request of the government of the exporting country, the
licensee must carry out an inspection to establish that:
1. The system is being used for the intended civil purpose; and
2. All the equipment exported under the provisions of this
Advisory Note is being used for the stated end purpose and is still
located at the installation sites. The licensee shall report the
findings from the inspection to the BXA (at P.O. Box 273, Washington
D.C. 20044) within one month after completing the inspection.
j. The license application must include a system plan containing
equipment quantities and approximate locations for the proposed
system. After final installation, unless already provided, the
applicant must provide to its licensing authorities the final
location of the installed equipment to the greatest degree of
precision available and a map of the final cable route.
Advisory Note 15: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Country Group D:1 of fiber optic telecommunication
transmission systems or equipment controlled by 5A001.b.1 and
5A001.b.4.a, digital radio equipment or systems controlled by
5A001.b.1 and 5A001.b.6.a, coaxial cable telecommunications
transmission equipment or systems controlled by 5A001.b.1, or fiber
optic cables controlled by 5A001.e and the test equipment, specially
designed components, accessories, ``software'' and technology,
necessary for the ``use thereof, provided that:
a. They are intended for:
1. Intra-city or inter-city links within Albania, Armenia,
Azerbaijan, Bulgaria, Belarus, Georgia, Kazakhstan, Kyrgyzstan,
Moldova, Mongolia, Romania, Russia, Tajikistan, Turkmenistan,
Ukraine, Uzbekistan, or Vietnam.
N.B.: Intra-city links provide service within a local service
area which must not extend beyond a circle with a diameter of 50 km
and with the city in the middle.
2. Inter-city links between cities in Albania, Armenia,
Azerbaijan, Bulgaria, Belarus, Georgia, Kazakhstan, Kyrgyzstan,
Moldova, Mongolia, Romania, Russia, Tajikistan, Turkmenistan,
Ukraine, or Uzbekistan;
b. They are designed to operate at a ``digital transfer rate''
at the highest multiplex level of 156 Mbit/s or less;
c. The ``laser'' transmission wavelength does not exceed 1,590
nm;
d. The radio transmission system does not employ Quadrature
Amplitude Modulation (QAM) techniques above level 16;
e. The equipment or systems are designed and intended to be used
for fixed civil applications directly connected to the civilian
network;
f. The equipment, if employing synchronous transmission
techniques, must conform to one of the approved SONET or
[[Page 13002]]
SDH standards or recommendations (i.e., ANSI or CCITT);
g. Supervision of systems installation and of maintenance of
controlled transmission equipment must be performed by the licensee
or the licensee's designated representative, who must be from a
country other than that listed in Country Group D:1. Any portion of
the installation of controlled transmission equipment which would
require the transfer of controlled technology must be performed by
the licensee or the licensee's designated representative using only
personnel from countries other than those listed in Country Group
D:1;
N.B.1: Supervision of maintenance includes preventive
maintenance at period intervals and intervention for major
malfunctions.
N.B.2: This is not meant to require that only nationals from the
exporting country should install the system.
h. Controlled test equipment and controlled spare parts must
remain under the supervision of the Country Group A:1 member country
licensee;
N.B.: The supervision of the test equipment and spare parts by
the licensee may be effected by stock inventory procedures and does
not require the permanent on-site presence of a representative of
the licensee.
i. The Country Group A:1 country licensee or his designated
representative, who must be from a country other than that listed in
Country Group D:1, must have the right of access to all the
equipment;
j. Upon request of the government of the exporting country, the
licensee must carry out an inspection to establish that:
1. The system is being used for the intended civil purpose; and
2. All the equipment exported under the provisions of this
Advisory Note is being used for the stated end purpose and is still
located at the installation sites. The licensee shall report the
findings from the inspection to the Bureau of Export Administration
within one month after completing the inspection.
k. The license application must include a system plan containing
equipment quantities and approximate locations for the proposed
system. After final installation, unless already provided, the
applicant must provide to its licensing authorities the final
location of the installed equipment to the greatest degree of
precision available and a map of the final cable route.
Advisory Note 16: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Country Group D:1 of systems or equipment controlled by
5A001.c.1 or 5A001.c.2, or ``software'' for ``common channel
signalling'' controlled by 5D001.a or 5D001.c.3, and test equipment,
specially designed components, accessories and technology necessary
for the ``use'' thereof, provided that:
a. They are intended for fiber optic, radio, or coaxial cable
international telecommunication links fulfilling the provisions of
Advisory Note l4.a and b.;
b. The ``common channel signalling'' (CCS) is restricted to
associated mode of operation. Signalling channels and all related
traffic channels must be carried on the same transmission system.
Only international traffic between the locations listed in Advisory
Note l4.a is permitted (i.e. calls originating in a country listed
in Country Group D:1 will not be rerouted to any country listed in
Country Group D:1;
c. No general service of ``Integrated Service Digital Network''
(ISDN) is provided by the country listed in Country Group D:1
gateway switch, except:
1. The ISDN user part (ISP) may be used on the international
signalling link;
2. ISDN service may be provided for specified subscribers on the
Country Group D:1 countries gateway switch;
d. Supervision of systems installation and of maintenance of
controlled equipment and ``software'' must be performed by the
licensee or the licensee's designated representative, who must be
from a country other than that listed in Country Group D:1. Any
portion of the installation of controlled equipment and ``software''
that would require the transfer of controlled technology must be
performed by the licensee or the licensee's designated
representative using only personnel from countries other than those
listed in Country Group D:1;
N.B.1: Supervision of maintenance includes preventive
maintenance at periodic intervals and intervention for major
malfunctions.
N.B.2: This is not meant to require that only nationals from the
exporting country should install the system.
e. Controlled test equipment and controlled spare parts must
remain under the supervision of the Country Group A:1 country
licensee;
N.B: The supervision of the test equipment and spare parts by
the licensee may be effected by stock inventory procedures and does
not require the permanent on-site presence of a representative of
the licensee.
f. All ``common channel signalling'' equipment including spares,
is operational in such a form that any removal from or manipulation
on the end in a country listed in Country Group D:1 is immediately
recognized (e.g. through remote maintenance and monitoring
procedures) by the operator (i.e., an operator from one of the
countries listed in Advisory Note l4.a.1.a or a.2.a);
g. The licensee or operator (i.e., an operator from one of the
countries listed in Advisory Note l4.a.1.a or a.2.a) takes immediate
action to ensure that non-operational equipment is repaired or
replaced within a week of the failure;
h. The Country Group A:1 country licensee or the designated
representative of the licensee, who must be from a country other
than that listed in Country Group D:1, must have the right of access
to all the equipment;
i. Nationals from countries listed in Country Group D:1 are not
given tools or training allowing them to modify the approved
configuration or divert equipment or ``software'' to non-approved
uses;
j. Upon request of the government of the exporting country, the
licensee or operator (i.e., an operator from one of the countries
listed in Advisory Note l4.a.1.a or a.2.a) must carry out an
inspection to establish that:
1. The system is being used for the intended civil purpose; and
2. All the equipment exported under the provisions of this
Advisory Note is being used for the stated end purpose and is still
located at the installation sites. The licensee shall report the
findings from the inspection to the BXA (at P.O. Box 273,
Washington, D.C. 20044) within one month after completing the
inspection.
k. The operator (i.e., an operator from one of the countries
listed in Advisory Note l4.a.1.a or a.2.a) informs the exporting
government immediately of any sign of misuse or diversion of
``common channel signalling'' hardware or ``software'' on the other
end of the international link, or of any failure of the operator at
the other end (i.e, the operator from one of the countries) listed
in Advisory Note l4.a.l.b or a.2.b) to allow the operator to comply
with the terms of the license;
l. Contractual agreements between the licensee and the operators
on both ends of the link require that the operator at the other end
of the international link (i.e., the operator from one of the
countries listed in Advisory Note l4.a.1.b or a.2.b) complies fully
with all the conditions stipulated in the license and that, in the
event of failure by the latter to comply, the operator who is from
one of the countries listed in Advisory Note l4.a.l.a or a.2.a will
inform the authorities of such country and the government of the
exporting country.
Advisory Note 17: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Country Group D:1 of equipment controlled by 5A001.c.4,
5A001.c.5 or 5A001.c.6, ``software'' controlled by 5D001.c.3 that
provides features described in 5A001.c.4, 5A001.c.5, or 5A001.c.6,
specially designed components and accessories therefor, and test
equipment, ``software'' and technology necessary for the ``use''
thereof, provided that:
a. The equipment or ``software'' will be used for a specified
civil end-use by a civil end-user only;
b. The equipment or ``software'' does not perform circuit
switching or circuit switching functions;
c. Supervision of systems installation and of maintenance of
controlled equipment or ``software'' must be performed by the
licensee or the licensee's designated representative, who must be
from a country other than that listed in Country Group D:1. Any
portion of the installation of controlled equipment or ``software''
that would require the transfer of controlled technology must be
performed by the licensee or the licensee's designated
representative using only personnel from countries other than those
listed in Country Group D:1.
N.B.1: Supervision of maintenance includes preventative
maintenance at periodic intervals and intervention for major
malfunctions.
N.B.2: This is not meant to require that only exporting country
should install the system.
N.B.3: This does not apply if the equipment or ``software'' is
designed for
[[Page 13003]]
installation by the user without further substantial support by the
supplier.
d. The Country Group A:1 country licensee or the designated
representative of the licensee, who must be from a country other
than that listed in Country Group D:1, must have the right of access
to all the equipment and may carry out inspections;
e. Upon request of the government of the exporting country, the
licensee must carry out an inspection to establish that:
1. The system is being used for the intended civil purpose; and
2. All the equipment exported under the provisions of this
Advisory Note is being used for the stated end purpose and is still
located at the installation site. The licensee shall report the
findings from the inspection to the BXA (at P.O. Box 273,
Washington, D.C. 20044) within one month after completing the
inspection.
Advisory Note 18: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Country Group D:1 of ``software'' controlled by
5D001.c.1, and related technology, ``software'' tools and test
equipment necessary for the ``development'', ``production'' or
``use'' thereof, provided that:
a. The ``software'', technology, ``software'' tools and test
equipment will be limited to those necessary for problem analysis
and reporting or for local adaptation of the switching equipment
such as for subscriber terminal interface, network interface,
billing, administration or similar adaptations for local civilian
telecommunications requirements, by a civil end-user;
b. No ``software'' or technology ``required'' for the
``development'', ``production'' or ``use'' of functions, features or
equipment controlled by the telecommunications entries in 5A, 5B or
5E of Subcategory I to Category 5 shall be included;
Note: This Advisory Note does not release from control the
``software'' in ``source code'' comprising that ``software'' that
controls the management and execution of programs, commonly referred
to as the operating system.
c. Such ``software'', technology, ``software'' tools or test
equipment do not provide the capability to decompile, disassemble or
perform similar activities to ``software'' in ``object code'' or
similar format and thereby reverse-engineer controlled
characteristics, functions or features;
d. The licensee or the licensee's designated representative, who
shall be from a country other than that listed in Country Group D:1,
shall have the right of access to the site of, and computing
equipment being used to perform, such adaptations so as to have
access to:
1. The ``software'', technology, ``software'' tools and test
equipment referred to in this Advisory Note; and
2. All ``software'' developed or derived from the ``software''
technology, ``software'' tools and test equipment licensed under
this Advisory Note;
e. Upon request of the BXA, the licensee must carry out an
inspection to establish that:
1. The ``software'', technology, ``software'' tools and test
equipment referred to in this Advisory Note are being used for the
intended civil purpose; and
2. All the ``software'', technology, ``software'' tools and test
equipment exported under the provisions of this Advisory Note are
being used for the stated end purpose and are still located at the
installation sites. The licensee shall report the findings from the
inspection to the Bureau of Export Administration within one month
after completing the inspection.
Advisory Note 19: Licenses are likely to be approved, as
Administrative exceptions, for exports and reexports to satisfactory
end-users in Country Group D:1 of components, parts and materials,
controlled for national security reasons by entries on the Commerce
Control List, necessary for the ``production'' of telecommunication
equipment or systems, provided that:
a. The ``production'' equipment and technology for the equipment
concerned has been previously legally exported;
b. The quantity of components, parts and materials exported is
normal for the stated end-use;
c. Authorization under this Advisory Note will cover a program
of supplies up to two calendar years for the ``production'' by the
same licensee of equipment authorized under this Advisory Note 19.a;
d. No technology or ``software'' ``required'' for
``development'', ``production'' or ``use'' shall be included;
e. The components, parts and materials exported will not be
permitted to exceed the performance threshold or features of the
equipment previously authorized;
f. The contract includes explicit conditions to ensure that:
1. The equipment manufactured with the exported components,
parts and materials is not exported or reexported, either directly
or indirectly, to another country listed in Country Group D:1;
2. The supplier or licensor may appoint a representative who is
entitled to verify that the ``production'' technology and
``production'' equipment or systems serve their intended use;
3. Any modification of the capabilities or functions of the
equipment produced must be approved by the supplier or licensor;
4. The supplier's or licensor's personnel have right of access
to all the facilities directly involved in the production of the
equipment or systems;
5. The equipment or systems produced will be for civil end-use
only.
Advisory Note 20: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to Albania,
Armenia, Azerbaijan, Bulgaria, Belarus, Estonia, Georgia,
Kazakhstan, Kyrgyzstan, Latvia, Lithuania, Moldova, Mongolia, the
People's Republic of China, Romania, Russia, Tajikistan,
Turkmenistan, kraine, zbekistan, and Vietnam of telecommunications
equipment or systems controlled by 5A001.b.1, 5A001.b.7, 5A001.c,
5A001.d or 5A001.e, measuring, test or repair equipment controlled
by 5B001.a.3 or 5B001.b, and specially designed components and
accessories, ``software'' and technology necessary for the ``use''
thereof, provided that:
a. Optical fiber telecommunication transmission equipment or
systems:
1. Are designed to operate at a ``digital transfer rate'' of 623
Mbit/s or less at the highest multiplex level; and
2. Are designed to operate on a ``laser'' transmission
wavelength not exceeding 1,590 nm.
b. Digital radio equipment or systems:
1. Are designed to operate at a ``digital transfer rate'' of 623
Mbit/s or less at the highest multiplex level;
2. Do not employ QAM techniques exceeding level 512 or other
digital modulation techniques having a ``spectral efficiency''
exceeding 9 bit/s/Hz;
c. ``CCS'':
1. Is limited to the associated mode of operation;
2. Signalling and related speech/data channels are limited to
two signalling points and must not be routed via different
transmission media or different routes;
N.B.: A single route consists of one or more consecutive serial
connection links that may use different transmission media.
3. Message Transfer Part (MTP) level 3 signalling routes are
limited to two signalling points;
N.B.: MTP Level 3 is found in Q.704 and related recommendations
of the IT-T Q series for ``CCS''.
4. For point-to-point inter-city ``CCS'' connectivity between
two signalling points, where permitted by this Advisory Note 20.c.1,
c.2, or c.3, the Originating Point Codes (OPC) and Destination Point
Codes (DPC) for all signalling messages over such signalling links
cannot be reinstalled or changed following the vendor's initial
software installation without prior authorization, being available
in object code only; all compilation mechanisms and administrative
tools that allow for modification of the Point Codes are removed
following installation;
d. The equipment or systems are designed and intended to be used
for fixed civil applications directly connected to a civilian
network;
e. The equipment or systems, if employing synchronous
transmission techniques, conform to one of the ANSI or IT-T approved
standards or recommendations for ``SONET'' or ``SDH'';
f. Measuring, test or repair equipment controlled by 5B001.a.3
or 5B001.b and controlled spare parts remain under the supervision
of the licensee or the licensee's designated representative;
g. The licensee or the licensee's designated representative have
the right of access to all the equipment or systems and may carry
out inspections;
h. Upon the request of the BXA, the licensee must carry out
inspections to establish that:
1. All the equipment or systems exported under the provisions of
this Advisory Note are being used for the intended civil purpose;
and
2. Are still located at the installation sites. The licensee
shall report the findings from the inspection to the BXA (at P.O.
Box 273, Washington DC 20044) within one month after completing the
inspection;
[[Page 13004]]
i. Supervision of systems installation and maintenance of
controlled transmission equipment is performed by the licensee or
the licensee's designated representative. Any portion of the
installation of controlled transmission equipment that would require
the transfer of controlled technology is performed by the licensee
or the licensee's designated representative;
N.B.1: Supervision of maintenance includes prevention
maintenance at periodic intervals and intervention for major
malfunctions.
j. License applications to export systems or equipment for
``common channel signalling'' identify the intended system routes
and locations of signalling points.
II. Information Security
Note: The control status of ``information security'' equipment,
``software'', systems, application specific ``electronic
assemblies'', modules, integrated circuits, components, or functions
is defined in the ``information security'' entries in this Category
even if they are components or ``electronic assemblies'' of other
equipment.
Note: ``Information security'' equipment, ``software'', systems,
application specific ``assemblies'', modules, integrated circuits,
components, technology or functions that are excepted from control,
not controlled, or eligible for licensing under an Advisory Note are
under the licensing jurisdiction of the Department of Commerce. In
addition, anti-virus software controlled under 5D002.c is also under
the licensing jurisdiction of the Department of Commerce. For all
other items, exporters requesting a license from the Bureau of
Export Administration must provide a statement from the Department
of State, Office of Defense Trade Controls, verifying that the
equipment intended for export is under the licensing jurisdiction of
the Department of Commerce.
A. Equipment, Assemblies and Components
5A002 Systems, equipment, application specific ``electronic
assemblies'', modules or integrated circuits for ``information
security'', and specially designed components therefor.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: Yes as described in Advisory Note 1 to Category 5--
Information Security
CIV: Yes as described in Advisory Note 1 to Category 5--
Information Security
List of Items Controlled
Unit: $value
a. Designed or modified to use ``cryptography'' employing
digital techniques to ensure ``information security'';
b. Designed or modified to perform cryptanalytic functions;
c. Designed or modified to use ``cryptography'' employing analog
techniques to ensure ``information security'', except:
c.1. Equipment using ``fixed'' band scrambling not exceeding 8
bands and in which the transpositions change not more frequently
than once every second;
c.2. Equipment using ``fixed'' band scrambling exceeding 8 bands
and in which the transpositions change not more frequently than once
every ten seconds;
c.3. Equipment using ``fixed'' frequency inversion and in which
the transpositions change not more frequently than once every
second;
c.4. Facsimile equipment;
c.5. Restricted audience broadcast equipment;
c.6. Civil television equipment;
d. Designed or modified to suppress the compromising emanations
of information-bearing signals;
Note: 5A002.d does not control equipment specially designed to
suppress emanations for health or safety reasons.
e. Designed or modified to use cryptographic techniques to
generate the spreading code for ``spread spectrum'' or hopping code
for ``frequency agility'' systems;
f. Designed or modified to provide certified or certifiable
``multilevel security'' or user isolation at a level exceeding Class
B2 of the Trusted Computer System Evaluation Criteria (TCSEC) or
equivalent;
g. Communications cable systems designed or modified using
mechanical, electrical or electronic means to detect surreptitious
intrusion.
Note: 5A002 does not control:
a. ``Personalized smart cards'' using ``cryptography''
restricted for use only in equipment or systems, as follows:
1. Excluded from control under 5A002.c.1 to c.6;
2. Excluded from control under paragraphs b., c., or e. of this
Note;
3.a. Access control equipment, such as automatic teller
machines, self-service statement printers or point of sale
terminals, that protects password or personal identification numbers
(PIN) or similar data to prevent unauthorized access to facilities
but does not allow for encryption of files or text, except as
directly related to the password or PIN protection;
b. Data authentication equipment that calculates a Message
Authentication Code (MAC) or similar result to ensure no alteration
of text has taken place, or to authenticate users, but does not
allow for encryption of data, text or other media other than that
needed for the authentication;
c. Cryptographic equipment specially designed, developed or
modified for use in machines for banking or money transactions, such
as automatic teller machines, self-service statement printers, point
of sale terminals, or equipment for the encryption of interbanking
transactions, and intended for use only in such applications;
d. Portable (personal) or mobile radiotelephones for civil use
(e.g., for use with commercial civil cellular radiocommunications
systems, containing encryption;
b. Equipment containing ``fixed'' data compression or coding
techniques;
c. Receiving equipment for radio broadcast, pay television or
similar restricted audience television of the consumer type, without
digital encryption and where digital decryption is limited to the
video, audio or management functions;
d. Portable (personal) or mobile radiotelephones for civil use
(e.g., for use with commercial civil cellular radiocommunications
systems, containing encryption, when accompanying their users;
e. Decryption functions specially designed to allow the
execution of copy-protected ``software'', provided the decryption
functions are not user-accessible.
5A995: ``Information security'' equipment, n.e.s.; (e.g.,
cryptographic, cryptoanalytic, and cryptologic equipment, n.e.s.), and
components therefor.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 2.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
The list of items controlled is contained in the ECCN heading.
B. Test, Inspection and Production Equipment
5B002: Information Security--test, inspection and ``production''
equipment.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
a. Equipment specially designed for:
a.1. The ``development'' of equipment or functions controlled by
5A002, 5B002, 5D002 or 5E002, including measuring or test equipment;
a.2. The ``production'' of equipment or functions controlled by
5A002, 5B002, 5D002, or 5E002, including measuring, test, repair or
production equipment;
b. Measuring equipment specially designed to evaluate and
validate the ``information security'' functions controlled by 5A002
or 5D002.
[[Page 13005]]
C. Materials
[Reserved]
D. Software
5D002: Information Security--``Software''.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: Yes as described in Advisory Note 2 to Category 5--
Information Security
TSR: Yes for 5D002.a and .c as described in Advisory Note 2 to
Category 5--Information Security
List of Items Controlled
Unit: $ value
a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or
``software'' controlled by 5A002, 5B002 or 5D002.
b. ``Software'' specially designed or modified to support
``technology'' controlled by 5E002.
c. Specific ``software'' as follows:
c.1. ``Software'' having the characteristics, or performing or
simulating the functions of the equipment controlled by 5A002 or
5B002;
c.2. ``Software'' to certify ``software'' controlled by
5D002.c.1;
c.3. ``Software'' designed or modified to protect against
malicious computer damage, e.g., viruses;
Note: 5D002 does not control:
a. ``Software'' ``required'' for the ``use'' of equipment
excluded from control under the Note to 5A002;
b. ``Software'' providing any of the functions of equipment
excluded from control under the Note to 5A002.
5D995: ``Software'', n.e.s., specially designed or modified for the
``development'', ``production'', or use of information security or
cryptologic equipment (e.g., equipment controlled by 5A995).
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 2.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
The list of items controlled is contained in the ECCN heading.
E. Technology
5E002: ``Technology'' according to the General Technology Note for the
``development'', ``production'' or use of equipment controlled by 5A002
or 5B002 or ``software'' controlled by 5D11, 5D12, or entry 5D002.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
The list of items controlled is contained in the ECCN heading.
5E995: ``Technology'', n.e.s., for the ``development'',
``production'', or ``use'' of ``information security'' or cryptologic
equipment (e.g., equipment controlled by 5A995), or software controlled
by 5D995.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 2.
------------------------------------------------------------------------
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
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.
Advisory Notes For ``Information Security''
Advisory Note 1: Licenses are likely to be approved, as
administrative exceptions, for exports and reexports to satisfactory
end-users in Country Group D:1 of the following cryptographic
equipment, provided that the equipment is intended for civil use:
a. Access control equipment, such as automatic teller machines,
self-service statement printers or point of sale terminals, that
protects password or personal identification numbers (PIN) or
similar data to prevent unauthorized access to facilities, but does
not allow for encryption of files or text, except as directly
related to the password of PIN protection;
b. Data authentication equipment that calculates a Message
Authentication Code (MAC) or similar result to ensure no alteration
of text has taken place, or to authenticate users, but does not
allow for encryption of data, text or other media other than that
needed for the authentication;
c. Cryptographic equipment specially designed, developed or
modified for use in machines for banking or money transactions, such
as automatic teller machines, self-service statement printers, point
of sale terminals or equipment for the encryption of interbanking
transactions, and intended for use only in such applications.
Advisory Note 2: (Eligible for TSR). Licenses are likely to be
approved, as administrative exceptions, for exports and reexports to
satisfactory end-users in Country Group D:1 of the following
cryptographic ``software'':
a. ``Software'' required for the ``use'' of equipment eligible
for administrative exceptions treatment under Advisory Note 1 (Notes
for ``Information Security'').
b. ``Software'' providing any of the functions of equipment
eligible for administrative exceptions treatment under Advisory Note
1 (Notes for ``Information Security'').
Category 6--Sensors
A. Equipment, Assemblies and Components
6A001 Acoustics.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000
GBS: Yes for 6A001.a.1.b.4 and 6A001.b
CIV: Yes for 6A001.a.1.b.4 and 6A001.b
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Marine acoustic systems, equipment and specially designed
components therefor, as follows:
a.1. Active (transmitting or transmitting-and-receiving)
systems, equipment or specially designed components therefor, as
follows:
Note: 6A001.a.1 does not control:
a.1.a Depth sounders operating vertically below the apparatus,
not including a scanning function exceeding <plus-minus>10 deg., and
limited to measuring the depth of water, the distance of submerged
or buried objects or fish finding.
a.1.b. Acoustic beacons, as follows:
a.1.b.1. Acoustic emergency beacons; or
a.1.b.2. Pingers specially designed for relocating or returning
to an underwater position.
a.1.a. Wide-swath bathymetric survey systems for sea bed
topographic mapping:
a.1.a.1. Designed:
a.1.a.1.a. To take measurements at an angle exceeding 10 deg.
from the vertical; and
a.1.a.1.b. To measure depths exceeding 600 m below the water
surface; and
[[Page 13006]]
a.1.a.2. Designed:
a.1.a.2.a. To incorporate multiple beams any of which is less
than 2 deg.; or
a.1.a.2.b. To provide data accuracies of better than 0.5% of
water depth across the swath averaged over the individual
measurements within the swath;
a.1.b. Object detection or location systems having any of the
following:
a.1.b.1. A transmitting frequency below 10 kHz;
a.1.b.2. Sound pressure level exceeding 224 dB (reference 1
micropascal at 1 m) for equipment with an operating frequency in the
band from 10 kHz to 24 kHz inclusive;
a.1.b.3. Sound pressure level exceeding 235 dB (reference 1
micropascal at 1 m) for equipment with an operating frequency in the
band between 24 kHz and 30 kHz;
a.1.b.4. Forming beams of less than 1 deg. on any axis and
having an operating frequency of less than 100 kHz;
a.1.b.5. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m and having transducers:
a.1.b.5.a. Dynamically compensated for pressure; or
a.1.b.5.b. Incorporating other than lead zirconate titanate as
the transduction element; or
a.1.b.6. Designed to operate with an unambiguous display range
exceeding 5,120 m;
a.1.c. Acoustic projectors, including transducers, incorporating
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or
hydraulic elements operating individually or in a designed
combination, having any of the following characteristics:
Note 1: The control status of acoustic projectors, including
transducers, specially designed for other equipment is determined by
the control status of the other equipment.
Note 2: 6A001.a.1.c does not control electronic sources that
direct the sound vertically only, or mechanical (e.g., air gun or
vapor-shock gun) or chemical (e.g., explosive) sources.
a.1.c.1. An instantaneous radiated acoustic power density
exceeding 0.01 mW/mm \2\/Hz for devices operating at frequencies
below 10 kHz;
a.1.c.2. A continuously radiated acoustic power density
exceeding 0.001 mW/mm \2\/Hz for devices operating at frequencies
below 10 kHz;
a.1.c.3. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m; or
a.1.c.4. Side-lobe suppression exceeding 22 dB.
Technical Note: Acoustic power density is obtained by dividing
the output acoustic power by the product of the area of the
radiating surface and the frequency of operation.
a.1.d. Acoustic systems, equipment and specially designed
components for determining the position of surface vessels or
underwater vehicles designed:
a.1.d.1. To operate at a range exceeding 1,000 m with a
positioning accuracy of less than 10 m rms (root mean square) when
measured at a range of 1,000 m; or
a.1.d.2. To withstand pressure at depths exceeding 1,000 m;
Note: 6A001.a.1.d.1 includes equipment using coherent ``signal
processing'' between two or more beacons and the hydrophone unit
carried by the surface vessel or underwater vehicle, or capable of
automatically correcting speed-of-sound propagation errors for
calculation of a point.
a.2. Passive (receiving, whether or not related in normal
application to separate active equipment) systems, equipment or
specially designed components therefor, as follows:
a.2.a. Hydrophones (transducers) with any of the following
characteristics:
a.2.a.1. Incorporating continuous flexible sensors or assemblies
of discrete sensor elements with either a diameter or length less
than 20 mm and with a separation between elements of less than 20
mm;
a.2.a.2. Having any of the following sensing elements:
a.2.a.2.a. Optical fibers;
a.2.a.2.b. Piezoelectric polymers; or
a.2.a.2.c. Flexible piezoelectric ceramic materials;
a.2.a.3. Hydrophone sensitivity better than--180 dB at any depth
with no acceleration compensation;
a.2.a.4. When designed to operate at depths not exceeding 35 m,
hydrophone sensitivity better than--186 dB with acceleration
compensation;
a.2.a.5. When designed for normal operation at depths exceeding
35 m hydrophone sensitivity better than--192 dB with acceleration
compensation;
a.2.a.6. When designed for normal operation at depths exceeding
100 m hydrophone sensitivity better than--204 dB; or
a.2.a.7. Designed for operation at depths exceeding 1,000 m;
Technical Note: Hydrophone sensitivity is defined as twenty
times the logarithm to the base 10 of the ratio of rms output
voltage to a 1 V rms reference, when the hydrophone sensor, without
a pre-amplifier, is placed in a plane wave acoustic field with an
rms pressure of 1 micropascal. For example, a hydrophone of -160 dB
(reference 1 V per micropascal) would yield an output voltage of
10<SUP>-8 V in such a field, while one of -180 dB sensitivity would
yield only 10<SUP>-9 V output. Thus, -160 dB is better than -180 dB.
a.2.b. Towed acoustic hydrophone arrays with any of the
following:
a.2.b.1. Hydrophone group spacing of less than 12.5 m;
a.2.b.2. Hydrophone group spacing of 12.5 m to less than 25 m
and designed or able to be modified to operate at depths exceeding
35 m; or
Technical Note: ``Able to be modified'' in 6A001.a.2.b.2 means
having provisions to allow a change of the wiring or
interconnections to alter hydrophone group spacing or operating
depth limits. These provisions are: spare wiring exceeding 10% of
the number of wires, hydrophone group spacing adjustment blocks or
internal depth limiting devices that are adjustable or that control
more than one hydrophone group.
a.2.b.3. Hydrophone group spacing of 25 m or more and designed
to operate at depths exceeding 100 m;
a.2.b.4. Heading sensors controlled by 6A001a.2.d;
a.2.b.5. Non-metallic strength members or longitudinally
reinforced array hoses;
a.2.b.6. An assembled array of less than 40 mm in diameter;
a.2.b.7. Multiplexed hydrophone group signals; or
a.2.b.8. Hydrophone characteristics specified in 6A001.a.2.a;
a.2.c. Processing equipment specially designed for towed
acoustic hydrophone arrays with either of the following:
a.2.c.1. A Fast Fourier or other transform of 1,024 or more
complex points in less than 20 ms with no ``user-accessible
programmability''; or
a.2.c.2. Time or frequency domain processing and correlation,
including spectral analysis, digital filtering and beamforming using
Fast Fourier or other transforms or processes with ``user accessible
programmability'';
a.2.d. Heading sensors having an accuracy of better than
<plus-minus>0.5 deg.; and
a.2.d.1. Designed to be incorporated within the array hosing and
to operate at depths exceeding 35 m or having an adjustable or
removable depth sensing device in order to operate at depths
exceeding 35 m; or
a.2.d.2. Designed to be mounted external to the array hosing and
having a sensor unit capable of operating with 360o roll at depths
exceeding 35 m;
b. Terrestrial geophones capable of conversion for use in marine
systems, equipment or specially designed components controlled by
6A001.a.2.a;
c. Correlation-velocity sonar log equipment designed to measure
the horizontal speed of the equipment carrier relative to the sea
bed at distances between the carrier and the sea bed exceeding 500
m.
6A002 Optical sensors.
License Requirements
Reason for Control: NS, MT, CC, RS, AT, UN
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
MT applies to optical detectors in MT Column 1.
6A002.a.1, a.3, and a.4 that are
specially designed or rated as
electromagnetic (including ``lasers'')
and ionizedparticle radiation
resistant..
RS applies to 6A002.a.1, a.2, a.3 and RS Column 1.
.c.
CC applies to police-model infrared CC Column 1.
viewers in 6A002.c.
AT applies to entire entry............. AT Column 1.
UN applies to 6A002.a.1, a.2 a.3 and c. Rwanda.
------------------------------------------------------------------------
License Exceptions
LVS: $3000, except N/A for 6A002.a.1, a.2, a.3, and c
[[Page 13007]]
GBS: Yes, for 6A002.a.4
CIV: Yes, for 6A002.a.4
List of Items Controlled
Unit: parts and accessories in $ value
Related Controls: N/A
Related Definitions: Image intensifiers defined in 6A002.a.2 and
focal plane arrays defined in 6A002.a.3 specially designed,
modified, or configured for military use and not part of civil
equipment are subject to the export licensing authority of U.S.
Department of State, Office of Defense Trade Controls. (See 22 CFR
part 121 )
Items:
a. Optical detectors, as follows:
Note: 6A002.a does not control germanium or silicon
photodevices.
a.1. ``Space-qualified'' solid-state detectors having any of the
following:
a.1.a.1. A peak response in the wavelength range exceeding 10 nm
but not exceeding 300nm; and
a.1.a.2. A response of less than 0.1% relative to the peak
response at a wavelength exceeding 400 nm;
a.1.b.1. A peak response in the wavelength range exceeding 900
nm but not exceeding 1,200 nm; and
a.1.b.2. A response ``time constant'' of 95 ns or less; or
a.1.c. A peak response in the wavelength range exceeding 1,200
nm but not exceeding 30,000 nm;
a.2. Image intensifier tubes and specially designed components
therefor, as follows:
a.2.a. Image intensifier tubes having all the following:
a.2.a.1. A peak response in wavelength range exceeding 400 nm,
but not exceeding 1,050 nm;
a.2.a.2. A microchannel plate for electron image amplification
with a hole pitch (center-to-center spacing) of less than 25
micrometers; and
a.2.a.3.a. An S-20, S-25 or multialkali photocathode; or
a.2.a.3.b. A GaAs or GaInAs photocathode;
a.2.b. Specially designed components as follows:
a.2.b.1. Fiber optic image inverters;
a.2.b.2. Microchannel plates having both of the following
characteristics:
a.2.b.2.a. 15,000 or more hollow tubes per plate; and
a.2.b.2.b. Hole pitch (center-to-center spacing) of less than 25
micrometers; or
a.2.b.3. GaAs or GaInAs photocathodes;
a.3. Non-``space-qualified'' ``focal plane arrays'', having any
of the following:
Technical Note: Linear or two-dimensional multi-element detector
arrays are referred to as ``focal plane arrays''.
a.3.a.1. Individual elements with a peak response within the
wavelength range exceeding 900 nm, but not exceeding 1,050 nm; and
a.3.a.2. A response ``time constant'' of less than 0.5 ns;
a.3.b.1. Individual elements with a peak response in the
wavelength range exceeding 1,050 nm, but not exceeding 1,200 nm; and
a.3.b.2. A response ``time constant'' of 95 ns or less; or
a.3.c. Individual elements with a peak response in the
wavelength range exceeding 1,200 nm, but not exceeding 30,000 nm;
Note 1: 6A002.a.3 includes photoconductive arrays and
photovoltaic arrays.
Note 2: 6A002.a.3 does not control silicon ``focal plane
arrays'', multi-element (not to exceed 16 elements) encapsulated
photoconductive cells or pyroelectric detectors using any of the
following:
a. Lead sulphide;
b. Triglycine sulphate and variants;
c. Lead-lanthanum-zirconium titanate and variants;
d. Lithium tantalate;
e. Polyvinylidene fluoride and variants;
f. Strontium barium niobate and variants; or
g. Lead selenide.
a.4. Non-``space-qualified'' single-element or non-focal-plane
multi-element semiconductor photodiodes or phototransistors having
both of the following:
a.4.a. A peak response at a wavelength exceeding 1,200 nm, but
not exceeding 30,000 nm; and
a.4.b. A response ``time constant'' of 0.5 ns or less;
b. ``Multispectral Imaging Sensors'' designed for remote sensing
applications, having either of the following characteristics:
b.1. An Instantaneous-Field-Of-View (IFOV) of less than 200
microradians; or
b.2. Specified for operation in the wavelength range exceeding
400 nm, but not exceeding 30,000 nm; and
b.2.a. Providing output imaging data in digital format; and
b.2.b.1. ``Space-qualified''; or
b.2.b.2. Designed for airborne operation and using other than
silicon detectors;
c. Direct view imaging equipment operating in the visible or
infrared spectrum, incorporating either of the following:
c.1. Image intensifier tubes controlled by 6A002.a.2 or
c.2. ``Focal plane arrays'' controlled by 6A002.a.3;
Technical Note: Direct view refers to imaging equipment
operating in the visible or infrared spectrum, that presents a
visual image to a human observer without converting the image into
an electronic signal for television display, and that cannot record
or store the image photographically, electronically, or by any other
means.
Note: 6A002.c does not control the following equipment
incorporating other than GaAs or GaInAs photocathodes:
a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
b. Medical equipment;
c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
d. Flame detectors for industrial furnaces;
e. Equipment specially designed for laboratory use.
d. Special support components for optical sensors, as follows:
d.1. ``Space-qualified'' cryocoolers;
d.2. Non-``space-qualified'' cryocoolers, with a cooling source
temperature below 218 K (-55 deg.C), as follows:
d.2.a. Closed cycle with a specified Mean-Time-To-Failure
(MTTF), or Mean-Time-Between-Failures (MTBF), exceeding 2,500 hours;
d.2.b. Joule-Thomson (JT) self-regulating minicoolers with bore
(outside) diameters of less than 8 mm;
d.3. Optical sensing fibers:
d.3.a. Specially fabricated either compositionally or
structurally, or modified by coating, to be acoustically, thermally,
inertially, electromagnetically or nuclear radiation sensitive; or
d.3.b. Modified structurally to have a ``beat length'' of less
than 50 mm (high birefringence).
6A003 Cameras.
License Requirements
Reason for Control: NS, NP, RS, AT, UN
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
NP applies to items controlled in NP Column 1.
paragraphs 6A003.a.2, a.3 and a.4.
RS applies to items controlled in RS Column 1.
6A003.b.3 and b.4.
AT applies to entire entry............. AT Column 1.
UN applies to items controlled in Rwanda.
6A003.b.3 and b.4.
------------------------------------------------------------------------
License Exceptions
LVS: $1500, except N/A for 6A003.a.2 through a.5, b.1, b.3 and
b.4
GBS: Yes for 6A003.a.1 and a.2 (see Advisory Note 3 to Category
6)
CIV: Yes for 6A003.a.1 and a.2 (see Advisory Note 3 to Category
6)
List of Items Controlled
Unit: Number
Related Controls: Reference ECCNs 8A002.d and .e for cameras
specially designed for underwater use.
Related Definitions: N/A
Items:
a. Instrumentation cameras, as follows:
a.1. High-speed cinema recording cameras using any film format
from 8 mm to 16 mm inclusive, in which the film is continuously
advanced throughout the recording period, and that are capable of
recording at framing rates exceeding 13,150 frames per second;
Note: 6A003.a.1 does not control cinema recording cameras for
normal civil purposes.
a.2. Mechanical high speed cameras, in which the film does not
move, capable of recording at rates exceeding 1,000,000 frames per
second for the full framing height of 35 mm film, or at
proportionately higher rates for lesser frame heights, or at
proportionately lower rates for greater frame heights;
a.3. Mechanical or electronic streak cameras with writing speeds
exceeding 10 mm/microsecond;
a.4. Electronic framing cameras having a speed exceeding
1,000,000 frames per second;
a.5. Electronic cameras having:
[[Page 13008]]
a.5.a. An electronic shutter speed (gating capability) of less
than 1 microsecond per full frame; and
a.5.b. A read out time allowing a framing rate of more than 125
full frames per second;
b. Imaging cameras, as follows:
Note: 6A003.b does not control television or video cameras
specially designed for television broadcasting.
b.1. Video cameras incorporating solid state sensors, having any
of the following:
b.1.a. More than 4 x 10\6\ ``active pixels'' per solid state
array for monochrome (black and white) cameras;
b.1.b. More than 4 x 10\6\ ``active pixels'' per solid state
array for color cameras incorporating three solid state arrays; or
b.1.c. More than 12 x 10\6\ ``active pixels'' for solid state
array color cameras incorporating one solid state array;
b.2. Scanning cameras and scanning camera systems:
b.2.a. Incorporating linear detector arrays with more than 8,192
elements per array; and
b.2.b. Having mechanical scanning in one direction;
b.3. Incorporating image intensifiers controlled by 6A002.a.2.a;
b.4. Incorporating focal plane arrays controlled by 6A002.a.3.
6A004 Optics.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000
GBS: Yes for 6A004.a.1, a.2, a.4, b, d.1.a, e.2, e.4 and .f (See
Advisory Note 4.1 to Category 6)
CIV: Yes for 6A004.f and items in Advisory Note 4.1 to Category
6
List of Items Controlled
Unit: Equipment in number; cable in meters/feet; components in $
value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Optical mirrors (reflectors), as follows:
a.1. ``Deformable mirrors'' with either continuous or multi-
element surfaces, and specially designed components therefor,
capable of dynamically repositioning portions of the surface of the
mirror at rates exceeding 100 Hz;
a.2. Lightweight monolithic mirrors with an average ``equivalent
density'' of less than 30 kg/m\2\, and a total weight exceeding 10
kg;
a.3. Lightweight ``composite'' or foam mirror structures with an
average ``equivalent density'' of less than 30 kg/m\2\, and a total
weight exceeding 2 kg;
a.4. Beam steering mirrors more than 100 mm in diameter or
length of major axis that maintain a flatness of lambda/2 or better
(lambda is equal to 663nm) with a control bandwidth exceeding 100
Hz;
b. Optical components made from zinc selenide (ZnSe) or zinc
sulphide (ZnS) with transmission in the wavelength range exceeding
3,000 nm but not exceeding 25,000 nm and either of the following:
b.1. Exceeding 100 cm \3\ in volume; or
b.2. Exceeding 80 mm in diameter or length of major axis and 20
mm in thickness (depth);
c. ``Space-qualified'' components for optical systems, as
follows:
c.1. Lightweighted to less than 20% ``equivalent density''
compared with a solid blank of the same aperture and thickness;
c.2. Substrates, substrates with surface coatings (single-layer
or multi-layer, metallic or dielectric, conducting, semiconducting
or insulating) or with protective films;
c.3. Elements or assemblies of mirrors designed to be assembled
in space into an optical system with a collecting aperture
equivalent to or larger than a single optic 1 meter in diameter;
c.4. Manufactured from ``composite'' materials having a
coefficient of linear thermal expansion equal to or less than
5 x 10<SUP>-6 in any coordinate direction;
d. Optical filters, as follows:
d.1. For wavelengths longer than 250 nm, comprised of multi-
layer optical coatings and having either of the following:
d.1.a. Bandwidths equal to or less than 1 nm Full Width Half
Intensity (FWHI) and peak transmission of 90% or more; or
d.1.b. Bandwidths equal to or less than 0.1 nm FWHI and peak
transmission of 50% or more;
Note: 6A004.d.1 does not control optical filters with fixed air
gaps or Lyot-type filters.
d.2. For wavelengths longer than 250 nm, and having all of the
following:
d.2.a. Tunable over a spectral range of 500 nm or more;
d.2.b. Instantaneous optical bandpass of 1.25 nm or less;
d.2.c. Wavelength resettable within 0.1 ms to an accuracy of 1
nm or better within the tunable spectral range; and
d.2.d. A single peak transmission of 91% or more;
d.3. Optical opacity switches (filters) with a field of view of
30 deg. or wider and a response time equal to or less than 1 ns;
e. Optical control equipment, as follows:
e.1. Specially designed to maintain the surface figure or
orientation of the ``space-qualified'' components controlled by
6A004.c.1 or c.3;
e.2. Having steering, tracking, stabilization or resonator
alignment bandwidths equal to or more than 100 Hz and an accuracy of
10 microradians or less;
e.3. Gimbals having a maximum slew exceeding 5 deg., a bandwidth
equal to or more than 100 Hz and either of the following:
e.3.a.1. Exceeding 0.15 m but not exceeding 1 m in diameter or
major axis length;
e.3.a.2. Capable of angular accelerations exceeding 2 radians/
s\2\; and
e.3.a.3. Having angular pointing errors equal to or less than
200 microradians; or
e.3.b.1. Exceeding 1 m in diameter or major axis length;
e.3.b.2. Capable of angular accelerations exceeding 0.5 radians/
s\2\; and
e.3.b.3. Having angular pointing errors equal to or less than
200 microradians;
e.4. Specially designed to maintain the alignment of phased
array or phased segment mirror systems consisting of mirrors with a
segment diameter or major axis length of 1 m or more;
f. ``Fluoride fiber'' cable, or optical fibers therefor, having
an attenuation of less than 4 dB/km in the wavelength range
exceeding 1,000 nm but not exceeding 3,000 nm.
6A005 Lasers, components and optical equipment.
License Requirements
Reason for Control: NS, NP, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
NP applies to 6A005.a.1.c, a.2.a (with NP Column 1.
an output power > 40W), a.4.c, a.6,
(argon ion lasers only), c.1.b (with
an output power > 30W), c.2.c.2.a
(with an output power > 40W),
c.2.c.2.b (with an output power >
40W), c.2.d.2.b (with an output power
> 40W), and d.2.c.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000 for all other items; N/A for NP items
GBS: Yes, for items in Advisory Notes 5.1, 5.2 and 5.3 to
Category 6
CIV: Yes, except for 6A005.c.2.a, .d (except d.2.c), .e and for
items in Advisory Notes 5.1, 5.2 and 5.3 to Category 6
List of Items Controlled
Unit: Equipment in number; parts and accessories in Sec. value
Related Controls: Shared aperture optical elements, capable of
operating in super-high power laser applications are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls. (See 22 CFR part 121, Category XII.)
Related Definitions: 1. Pulsed ``lasers'' include those that run
in a continuous wave (CW) mode with pulses superimposed. 2. Pulse-
excited ``lasers'' include those that run in a continuously excited
mode with pulse excitation superimposed. 3. The control status of
Raman ``lasers'' is determined by the parameters of the pumping
source ``lasers''. The pumping source ``lasers'' can be any of the
``lasers'' described below.
Items:
a. Gas ``lasers'', as follows:
a.1. Excimer ``lasers'' having any of the following:
a.1.a. An output wavelength not exceeding 150 nm and:
a.1.a.1. An output energy exceeding 50 mJ per pulse; or
a.1.a.2. An average or CW output power exceeding 1 W;
a.1.b. An output wavelength exceeding 150 nm but not exceeding
190 nm and:
[[Page 13009]]
a.1.b.1. An output energy exceeding 1.5 J per pulse; or
a.1.b.2. An average or CW output power exceeding 120 W;
a.1.c. An output wavelength exceeding 190 nm but not exceeding
360 nm and:
a.1.c.1. An output energy exceeding 10 J per pulse; or
a.1.c.2. An average or CW output power exceeding 500 W; or
a.1.d. An output wavelength exceeding 360 nm and:
a.1.d.1. An output energy exceeding 1.5 J per pulse; or
a.1.d.2. An average or CW output power exceeding 30 W;
a.2. Metal vapour ``lasers'', as follows:
a.2.a. Copper (Cu) ``lasers'' with an average or CW output power
exceeding 20 W;
a.2.b. Gold (Au) ``lasers'' with an average or CW output power
exceeding 5 W;
a.2.c. Sodium (Na) ``lasers'' with an output power exceeding 5
W;
a.2.d. Barium (Ba) ``lasers'' with an average or CW output power
exceeding 2 W;
a.3. Carbon monoxide (CO) ``lasers'' having either:
a.3.a. An output energy exceeding 2 J per pulse and a pulsed
``peak power'' exceeding 5 kW; or
a.3.b. An average or CW output power exceeding 5 kW;
a.4. Carbon dioxide (CO<INF>2) ``lasers'' having any of the
following:
a.4.a. A CW output power exceeding 10 kW;
a.4.b. A pulsed output with a ``pulse duration'' exceeding 10
microseconds and:
a.4.b.1. An average output power exceeding 10 kW; or
a.4.b.2. A pulsed ``peak power'' exceeding 100 kW; or
a.4.c. A pulsed output with a ``pulse duration'' equal to or
less than 10 microseconds and:
a.4.c.1. A pulse energy exceeding 5 J per pulse and ``peak
power'' exceeding 2.5 kW; or
a.4.c.2. An average output power exceeding 2.5 kW;
a.5. ``Chemical lasers'', as follows:
a.5.a. Hydrogen Fluoride (HF) ``lasers'';
a.5.b. Deuterium Fluoride (DF) ``lasers'';
a.5.c. ``Transfer lasers'':
a.5.c.1. Oxygen Iodine (O<INF>2-I) ``lasers'';
a.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO<INF>2)
``lasers'';
a.6. Gas discharge and ion ``lasers'', i.e., krypton ion or
argon ion ``lasers'', as follows:
a.6.a. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 50 W; or
a.6.b. An average or CW output power exceeding 50 W; or
a.7. Other gas ``lasers'', except nitrogen ``lasers'', having
any of the following:
a.7.a. An output wavelength not exceeding 150 nm and:
a.7.a.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
a.7.a.2. An average or CW output power exceeding 1 W;
a.7.b. An output wavelength exceeding 150 nm but not exceeding
800 nm and:
a.7.b.1. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 30 W; or
a.7.b.2. An average or CW output power exceeding 30 W;
a.7.c. An output wavelength exceeding 800 nm but not exceeding
1,400 nm and:
a.7.c.1. An output energy exceeding 0.25 J per pulse and a
pulsed ``peak power'' exceeding 10 W; or
a.7.c.2. An average or CW output power exceeding 10 W; or
a.7.d. An output wavelength exceeding 1,400 nm and an average or
CW output power exceeding 1 W;
b. Semiconductor ``lasers'', as follows:
Technical Note: Semiconductor ``lasers'' are commonly called
``laser'' diodes.
Note: The control status of semiconductor ``lasers'' specially
designed for other equipment is determined by the control status of
the other equipment.
b.1. Individual, single-transverse mode semiconductor ``lasers''
having:
b.1.a. An average output power exceeding 100 mW; or
b.1.b. A wavelength exceeding 1,050 nm;
b.2. Individual, multiple-transverse mode semiconductor
``lasers'', or arrays of individual semiconductor ``lasers'',
having:
b.2.a. An output energy exceeding 500 microjoules per pulse and
a pulsed ``peak power'' exceeding 10 W;
b.2.b. An average or CW output power exceeding 10 W; or
b.2.c. A wavelength exceeding 1,050 nm;
c. Solid state ``lasers'', as follows:
c.1. ``Tunable'' ``lasers'' having any of the following:
Note: 6A005.c.1. includes titanium-sapphire (Ti:
Al<INF>2O<INF>3), thulium-YAG (Tm: YAG), thulium-YSGG (Tm: YSGG),
alexandrite (Cr: BeAl<INF>2O<INF>4) and color center ``lasers''.
c.1.a. An output wavelength less than 600 nm and:
c.1.a.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
c.1.a.2. An average or CW output power exceeding 1 W;
c.1.b. An output wavelength of 600 nm or more but not exceeding
1,400 nm and:
c.1.b.1. An output energy exceeding 1 J per pulse and a pulsed
``peak power'' exceeding 20 W; or
c.1.b.2. An average or CW output power exceeding 20 W; or
c.1.c. An output wavelength exceeding 1,400 nm and:
c.1.c.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
c.1.c.2.An average or CW output power exceeding 1 W;
c.2. Non-''tunable'' ``lasers'', as follows:
Note: 6A005.c.2. includes atomic transition solid state
``lasers''.
c.2.a. Ruby ``lasers'' having an output energy exceeding 20 J
per pulse;
c.2.b. Neodymium glass ``lasers'', as follows:
c.2.b.1. ``Q-switched lasers'' having:
c.2.b.1.a. An output energy exceeding 20 J but not exceeding 50
J per pulse and an average output power exceeding 10 W; or
c.2.b.1.b. An output energy exceeding 50 J per pulse;
c.2.b.2. Non-''Q-switched lasers'' having:
c.2.b.2.a. An output energy exceeding 50 J but not exceeding 100
J per pulse and an average output power exceeding 20 W; or
c.2.b.2.b. An output energy exceeding 100 J per pulse;
c.2.c. Neodymium-doped (other than glass) ``lasers'', as
follows, with an output wavelength exceeding 1,000 nm but not
exceeding 1,100 nm:
Note: For Neodymium-doped (other than glass) ``lasers'' having
an output wavelength not exceeding 1,000 nm or exceeding 1,100 nm,
see 6A005.c.2.d.
c.2.c.1. Pulse excited, mode-locked, ``Q-switched lasers'' with
a ``pulse duration'' of less than 1 ns and:
c.2.c.1.a. A ``peak power'' exceeding 5 GW;
c.2.c.1.b. An average output power exceeding 10 W; or
c.2.c.1.c. A pulsed energy exceeding 0.1 J;
c.2.c.2. Pulse-excited, ``Q-switched lasers'', with a pulse
duration equal to or more than 1 ns, and:
c.2.c.2.a. A single-transverse mode output with:
c.2.c.2.a.1. A ``peak power'' exceeding 100 MW;
c.2.c.2.a.2. An average output power exceeding 20 W; or
c.2.c.2.a.3. A pulsed energy exceeding 2 J; or
c.2.c.2.b. A multiple-transverse mode output with:
c.2.c.2.b.1. A ``peak power'' exceeding 200 MW;
c.2.c.2.b.2. An average output power exceeding 50 W; or
c.2.c.2.b.3. A pulsed energy exceeding 2 J;
c.2.c.3. Pulse-excited, non-``Q-switched lasers'', having:
c.2.c.3.a. A single-transverse mode output with:
c.2.c.3.a.1. A ``peak power'' exceeding 500 kW; or
c.2.c.3.a.2. An average output power exceeding 150 W; or
c.2.c.3.b. A multiple-transverse mode output with:
c.2.c.3.b.1. A ``peak power'' exceeding 1 MW; or
c.2.c.3.b.2. An average power exceeding 500 W;
c.2.c.4. Continuously excited ``lasers'' having:
c.2.c.4.a. A single-transverse mode output with:
c.2.c.4.a.1. A ``peak power'' exceeding 500 kW; or
c.2.c.4.a.2. An average or CW output power exceeding 150 W; or
c.2.c.4.b. A multiple-transverse mode output with:
c.2.c.4.b.1. A ``peak power'' exceeding 1 MW; or
c.2.c.4.b.2. An average or CW output power exceeding 500 W;
c.2.d. Other non-''tunable'' ``lasers'', having any of the
following:
c.2.d.1. A wavelength less than 150 nm and:
c.2.d.1.a. An output energy exceeding 50 mJ per pulse and a
pulsed ``peak power'' exceeding 1 W; or
[[Page 13010]]
c.2.d.1.b. An average or CW output power exceeding 1 W;
c.2.d.2. A wavelength of 150 nm or more but not exceeding 800 nm
and:
c.2.d.2.a. An output energy exceeding 1.5 J per pulse and a
pulsed ``peak power'' exceeding 30 W; or
c.2.d.2.b. An average or CW output power exceeding 30 W;
c.2.d.3. A wavelength exceeding 800 nm but not exceeding 1,400
nm, as follows:
c.2.d.3.a. ``Q-switched lasers'' with:
c.2.d.3.a.1. An output energy exceeding 0.5 J per pulse and a
pulsed ``peak power'' exceeding 50 W; or
c.2.d.3.a.2. An average output power exceeding:
c.2.d.3.a.2.a. 10 W for single-mode ``lasers'';
c.2.d.3.a.2.b. 30 W for multimode ``lasers'';
c.2.d.3.b. Non-``Q-switched lasers'' with:
c.2.d.3.b.1. An output energy exceeding 2 J per pulse and a
pulsed ``peak power'' exceeding 50 W; or
c.2.d.3.b.2. An average or CW output power exceeding 50 W; or
c.2.d.4. A wavelength exceeding 1,400 nm and:
c.2.d.4.a. An output energy exceeding 100 mJ per pulse and a
pulsed ``peak power'' exceeding 1 W; or
c.2.d.4.b. An average or CW output power exceeding 1 W;
d. Dye and other liquid ``lasers'', having any of the following:
d.1. A wavelength less than 150 nm and:
d.1.a. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
d.1.b. An average or CW output power exceeding 1 W;
d.2. A wavelength of 150 nm or more but not exceeding 800 nm
and:
d.2.a. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 20 W;
d.2.b. An average or CW output power exceeding 20 W; or
d.2.c. A pulsed single longitudinal mode oscillator with an
average output power exceeding 1 W and a repetition rate exceeding 1
kHz if the ``pulse duration'' is less than 100 ns;
d.3. A wavelength exceeding 800 nm but not exceeding 1,400 nm
and:
d.3.a. An output energy exceeding 0.5 J per pulse and a pulsed
``peak power'' exceeding 10 W; or
d.3.b. An average or CW output power exceeding 10 W; or
d.4. A wavelength exceeding 1,400 nm and:
d.4.a. An output energy exceeding 100 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
d.4.b. An average or CW output power exceeding 1 W;
e. Free electron ``lasers'';
f. Components, as follows:
f.1. Mirrors cooled either by active cooling or by heat pipe
cooling;
Technical Note: Active cooling is a cooling technique for
optical components using flowing fluids within the subsurface
(nominally less than 1 mm below the optical surface) of the optical
component to remove heat from the optic.
f.2. Optical mirrors or transmissive or partially transmissive
optical or electro-optical components specially designed for use
with controlled ``lasers'';
g. Optical equipment, as follows:
g.1. Dynamic wavefront (phase) measuring equipment capable of
mapping at least 50 positions on a beam wavefront with:
g.1.a. Frame rates equal to or more than 100 Hz and phase
discrimination of at least 5% of the beam's wavelength; or
g.1.b. Frame rates equal to or more than 1,000 Hz and phase
discrimination of at least 20% of the beam's wavelength;
g.2. ``Laser'' diagnostic equipment capable of measuring
``Super-High Power Laser'' (SHPL) system angular beam steering
errors of equal to or less than 10 microradians;
g.3. Optical equipment, assemblies or components specially
designed for a phased-array SHPL system for coherent beam
combination to an accuracy of Lambda/10 at the designed wavelength,
or 0.1 micrometer, whichever is the smaller;
g.4. Projection telescopes specially designed for use with SHPL
systems.
6A006 ``Magnetometers'', ``magnetic gradiometers'', ``intrinsic
magnetic gradiometers'' and compensation systems and specially designed
components.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $1500
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Sec. value
Related Controls: N/A
Related Definition: This entry does not control instruments
specially designed for biomagnetic measurements for medical
diagnostics, unless they incorporate unembedded sensors controlled
by 6A006.h.
Items:
a. ``Magnetometers'' using ``superconductive'', optically pumped
or nuclear precession (proton/Overhauser) technology having a
``noise level'' (sensitivity) lower (better) than 0.05 nT rms per
square root Hz;
b. Induction coil ``magnetometers'' having a ``noise level''
(sensitivity) lower (better) than:
b.1. 0.05 nT rms per square root Hz at frequencies of less than
1 Hz;
b.2. 1 x 10<SUP>-3 nT rms per square root Hz at frequencies of 1
Hz or more but not exceeding 10 Hz; or
b.3. 1 x 10<SUP>-4 nT rms per square root Hz at frequencies
exceeding 10 Hz;
c. Fiber optic ``magnetometers'' having a ``noise level''
(sensitivity) lower (better) than 1 nT rms per square root Hz;
d. ``Magnetic gradiometers'' using multiple ``magnetometers''
controlled by 6A006.a, .b or .c;
e. Fiber optic ``intrinsic magnetic gradiometers'' having a
magnetic gradient field ``noise level'' (sensitivity) lower (better)
than 0.3 nT/m rms per square root Hz;
f. ``Intrinsic magnetic gradiometers'', using technology other
than fiber-optic technology, having a magnetic gradient field
``noise level'' (sensitivity) lower (better) than 0.015 nT/m rms per
square root Hz;
g. Magnetic compensation systems for magnetic sensors designed
for operation on mobile platforms;
h. ``Superconductive'' electromagnetic sensors, containing
components manufactured from ``superconductive'' materials, as
follows:
h.1. Designed for operation at temperatures below the ``critical
temperature'' of at least one of their ``superconductive''
constituents (including Josephson effect devices or
``superconductive'' quantum interference devices (SQUIDS));
h.2. Designed for sensing electromagnetic field variations at
frequencies of 1 KHz or less, and:
h.3. Having any of the following characteristics:
h.3.a. Incorporating thin-film SQUIDS with a minimum feature
size of less than 2 micrometers and with associated input and output
coupling circuits;
h.3.b. Designed to operate with a magnetic field slew rate
exceeding 1 x 10<SUP>6 magnetic flux quanta per second;
h.3.c. Designed to function without magnetic shielding in the
earth's ambient magnetic field; or
h.3.d. Having a temperature coefficient less (smaller) than 0.1
magnetic flux quantum/K;
6A007 Gravity meters (gravimeters) and gravity gradiometers.
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
MT applies to 6A07.b and c when the MT Column 1.
accuracies in 6A07.b.1 and b.2 are met
or exceeded.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: N/A
Items:
a. Gravity meters for ground use having a static accuracy of
less (better) than 10 microgal;
Note: 6A007.a does not control ground gravity meters of the
quartz element (Worden) type.
[[Page 13011]]
b. Gravity meters for mobile platforms for ground, marine,
submersible, space or airborne use having:
b.1. A static accuracy of less (better) than 0.7 milligal; and
b.2. An in-service (operational) accuracy of less (better) than
0.7 milligal with a time-to-steady-state registration of less than 2
minutes under any combination of attendant corrective compensations
and motional influences;
c. Gravity gradiometers.
6A008 Radar systems, equipment and assemblies and specially designed
components therefor.
License Requirements
Reason for Control: NS, MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
MT applies to items that are designed MT Column 1.
for airborne applications and that are
usable in systems controlled for MT
reasons..
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $5000
GBS: Yes, for 6A008.b, .c, and l.1 only
CIV: Yes, for 6A008.b, .c, and l.1 only
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: This entry does not control: 1.) Secondary
surveillance radar (SSR); 2.) Car radar designed for collision
prevention; 3.) Displays or monitors used for Air Traffic Control
(ATC) having no more than 12 resolvable elements per mm; 4.)
Meteorological (weather) radar.
Items:
a. Operating at frequencies from 40 GHz to 230 GHz and having an
average output power exceeding 100mW;
b. Having a tunable bandwidth exceeding <plus-minus>6.25% of the
center operating frequency;
Technical Note: The center operating frequency equals one half
of the sum of the highest plus the lowest specified operating
frequencies.
c. Capable of operating simultaneously on more than two carrier
frequencies;
d. Capable of operating in synthetic aperture (SAR), inverse
synthetic aperture (ISAR) or sidelooking airborne (SLAR) radar mode;
e. Incorporating ``electronically steerable phased array
antennae'';
f. Capable of heightfinding non-cooperative targets;
Note: 6A008.f does not control precision approach radar
equipment (PAR) conforming to ICAO standards;
g. Designed specially for airborne (balloon or airframe mounted)
operation and having Doppler signal processing for the detection of
moving targets;
h. Employing processing of radar signals using:
h.1. ``Radar spread spectrum'' techniques; or
h.2. ``Radar frequency agility'' techniques;
i. Providing ground-based operation with a maximum
``instrumented range'' exceeding 185 km;
Note: 6A008.i does not control:
a. Fishing ground surveillance radar;
b. Ground radar equipment specially designed for enroute air
traffic control and ``software'' specially designed for ``use''
thereof, provided:
1. It has a maximum ``instrumented range'' of 500 km or less
2. It is configured so that radar target data can be transmitted
only one way from the radar site to one or more civil ATC centers;
3. It contains no provisions for remote control of the radar
scan rate from the enroute ATC center; and
4. It is to be permanently installed;
N.B.: The ``use'' ``software'' must be limited to ``object
code'' and the minimum amount of ``source code'' necessary for
installation, operation or maintenance.
j. ``Laser'' radar or Light Detection and Ranging (LIDAR)
equipment, having either of the following:
j.1. ``Space-qualified''; or
j.2. Employing coherent heterodyne or homodyne detection
techniques and having an angular resolution of less (better) than 20
microradians;
Note: 6A008.j does not control LIDAR equipment specially
designed for surveying or for meteorological observation.
k. Having signal processing sub-systems using ``pulse
compression'' with:
k.1. A ``pulse compression'' ratio exceeding 150; or
k.2. A pulse width of less than 200 ns;
l. Having data processing sub-systems with:
l.1. ``Automatic target tracking'' providing, at any antenna
rotation, the predicted target position beyond the time of the next
antenna beam passage;
Note: 6A008.l.1 does not control conflict alert capability in
air traffic control systems, or marine or harbor radar.
l.2. Calculation of target velocity from primary radar having
non-periodic (variable) scanning rates;
l.3. Processing for automatic pattern recognition (feature
extraction) and comparison with target characteristic data bases
(waveforms or imagery) to identify or classify targets; or
l.4. Superposition and correlation, or fusion, of target data
from two or more ``geographically dispersed'' and ``interconnected
radar'' sensors to enhance and discriminate targets.
Note: 6A008.l.4 does not control systems, equipment and
assemblies used for marine traffic control.
6A018 Magnetic, pressure, and acoustic underwater detection devices
specially designed for military purposes and controls and components
therefor.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; components in $ value
Related Controls: N/A
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6A102 Radiation hardened detectors, other than those specified in
6A002, for use in protecting against nuclear effects (e.g.,
electromagnetic pulse (EMP), X-rays, combined blast and thermal
effects) and usable for ``missiles'', designed or rated to withstand
radiation levels which meet or exceed a total irradiation dose of 5 X
10<SUP>5 rads (Si).
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Components in number
Related Controls: N/A
Related Definition: In 6A102, a detector is defined as a
mechanical, electrical, optical or chemical device that
automatically identifies and records, or registers a stimulus such
as an environmental change in pressure or temperature, an electrical
or electromagnetic signal or radiation from a radioactive material.
Items: The list of items controlled is contained in the ECCN
heading.
6A107 Specially designed components for gravity meters and gravity
gradiometers specified in 6A007.b. and c.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
[[Page 13012]]
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6A108 Radar systems and tracking systems, other than those controlled
by 6A008.
License Requirements
Reason for Control: MT, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
MT applies to entire entry............. MT Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: This entry does not control airborne civil
weather radar conforming to international standards for civil
weather radars provided that they do not incorporate any of the
following: (a) Phased array antennas; (b) Frequency agility; (c)
Spread spectrum; or (d) Signal processing specially designed for the
tracking of vehicles.
Laser radar systems are defined as those that embody specialized
transmission, scanning, receiving and signal processing techniques
for utilization of lasers for echo ranging, direction finding and
discrimination of targets by location, radial speed and body
reflection characteristics.
a. Radar and laser radar systems designed or modified for use in
systems controlled by 9A004 (as provided in the Commerce Control
List) and 9A104.
b. Precision tracking systems usable for ``missiles'', as
follows:
b.1. Tracking systems that use a code translator in conjunction
with either surface or airborne references or navigation satellite
systems to provide real-time measurements of in-flight position and
velocity;
b.2. Range instrumentation radars including associated optical/
infrared trackers with all of the following capabilities:
b.2.a. Angular resolution better than 3 milliradians (0.5 mils);
b.2.b. Range of 30 km or greater, with a range resolution better
than 10 meters rms; and
b.2.c. Velocity resolution better than 3 meters per second.
6A202 Photomultiplier tubes with a photocathode area of greater than
20cm<SUP>2 having an anode pulse rise time of less than 1 ns.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6A203 Cameras and components not controlled by ECCN 6A003.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment and components in number; parts and accessories
in $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Mechanical rotating mirror cameras, as follows; and specially
designed components therefor:
a.1 Framing cameras with recording rates greater than 225,000
frames per second;
a.2. Streak cameras with writing speeds greater than 0.5 mm per
microsecond;
Technical Note: Components of such cameras include their
synchronizing electronics units and rotor assemblies consisting of
turbines, mirrors and bearings.
b. Electronic streak and framing cameras and tubes, as follows:
b.1. Electronic streak cameras capable of 50 ns or less time
resolution and streak tubes therefor;
b.2. Electronic (or electrically shuttered) framing cameras
capable of 50 ns or less frame exposure time;
b.3. Framing tubes and solid state imaging devices for use with
cameras described in 6A203.b.2, as follows:
b.3.a. Proximity focused image intensifier tubes having a
photocathode deposited on a transparent conductive coating to
decrease photocathode sheet resistance;
b.3.b. Gated silicon intensifier target (SIT) vidicon tubes,
where a fast system allows gating the photoelectrons from the
photocathode before they impinge on the SIT plate;
b.3.c. Kerr or pockel cell electro-optical shuttering; or
b.3.d. Other framing tubes and solid-state imaging devices
having a fast-image gating time of less than 50 ns specially
designed for cameras controlled by 6A203.b.2;
c. Radiation-hardended television cameras, or lenses therefor,
specially designed or rated as radiation-hardened to withstand
greater than 5 x 10\4\ grays (Silicon) (5 x 10\6\ rad (Silicon))
without operational degradation.
6A205 Lasers, other than those specified in 6A005.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Argon ion lasers with greater than 40 W average output power
operating at wavelengths between 400 nm and 515 nm;
b. Tunable pulsed single-mode dye oscillators capable of an
average power output of greater than 1 W, a repetition rate greater
than 1 kHz, a pulse less than 100 ns, and a wavelength between 300
nm and 800 nm;
c. Tunable pulsed dye laser amplifiers and oscillators with an
average power output of greater than 30 W, a repetition rate greater
than 1 kHz, a pulse width less than 100 ns, and a wavelength between
300 nm and 800 nm; except: Single mode oscillators;
d. Pulsed carbon dioxide lasers with a repetition rate greater
than 250 Hz, an average power output of greater than 500 W, and a
pulse of less than 200 ns operating at wavelengths between 9,000 nm
and 11,000 nm;
Note: This specification is not intended to control the higher
power (typically 1 to 5kW) industrial CO<INF>2 lasers used in
applications such as cutting and welding, as those latter lasers are
either continuous wave or are pulsed with a pulse width more than
200 ns.
e. Para-hydrogen Raman shifters designed to operate at 16
micrometer output wavelength and at a repetition rate greater than
250 Hz.
6A225 Velocity interferometers for measuring velocities in excess of 1
km per second during time intervals less than 10 microseconds (e.g.
VISAR's, Doppler laser interferometers, DLI's, etc.).
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
[[Page 13013]]
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
6A226 Pressure sensors.
License Requirements
Reason for Control: NP, AT
------------------------------------------------------------------------
Control(s) Country chart
------------------------------------------------------------------------
NP applies to entire entry............. NP Column 1.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Manganin gauges for pressures greater than 100 kilobars; or
b. Quartz pressure transducers for pressures greater than 100
kilobars.
6A990 Airborne radar equipment, n.e.s., and specially designed
components therefor.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
6A992 Gravity meters (gravimeters) for ground use, n.e.s.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. Having a static accuracy of less (better) than 100 microgal;
or
b. Being of the quartz element (Worden) type.
6A993 ``Magnetometers'', n.e.s., having a ``noise level''
(sensitivity) lower (better) than 1.0 nT rms per square root Hz.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
6A994 Marine or terrestrial acoustic equipment, n.e.s., capable of
detecting or locating underwater objects or features or positioning
surface vessels or underwater vehicles; and specially designed
components, n.e.s.
License Requirements
Reason for Control: AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
AT applies to entire entry............. AT Column 2.
------------------------------------------------------------------------
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
B. Test, Inspection and Production Equipment
6B004 Optics.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $5000
GBS: Yes for Advisory Note 4.2 to Category 6
CIV: Yes for Advisory Note 4.2 to Category 6
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definition: This entry does not control microscopes.
a. Equipment for measuring absolute reflectance to an accuracy
of <plus-minus>0.1% of the reflectance value;
b. Equipment other than optical surface scattering measurement
equipment, having an unobscured aperture of more than 10 cm,
specially designed for the non-contact optical measurement of a non-
planar optical surface figure (profile) to an ``accuracy'' of 2 nm
or less (better) against the required profile.
6B005 Specially designed or modified equipment, including tools, dies,
fixtures or gauges, and other specially designed components and
accessories therefor.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $5000
GBS: Yes
CIV: Yes
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items:
a. For the manufacture or inspection of:
a.1. Free electron ``laser'' magnet wigglers;
a.2. Free electron ``laser'' photo injectors;
b. For the adjustment, to required tolerances, of the
longitudinal magnetic field of free electron ``lasers''.
6B007 Equipment to produce, align and calibrate land-based gravity
meters with a static accuracy of better than 0.1 milligal.
License Requirements
Reason for Control: NS, AT
------------------------------------------------------------------------
Control(s) Country Chart
------------------------------------------------------------------------
NS applies to entire entry............. NS Column 2.
AT applies to entire entry............. AT Column 1.
------------------------------------------------------------------------
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items:
The list of items controlled is contained in the ECCN heading.
[[Continued on page 13014]]