[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]]