[Federal Register: January 15, 1998 (Rules and Regulations)]
[Page 2501-2550]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15ja98-13]

[[pp. 2501-2550]] Implementation of the Wassenaar Arrangement List of Dual-Use
Items: Revisions to the Commerce Control List and Reporting Under the
Wassenaar Arrangement

[[Continued from page 2500]]

[[Page 2501]]

    7. Substrate bias parameters.

2E018  ``Technology'' for the ``use'' of equipment controlled by 2B018.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 1
MT applies to ``technology'' for         MT Column 1
 equipment controlled by 2B018 for MT
 reasons.
AT applies to entire entry.............  AT Column 1


License Exceptions

CIV: N/A
TSR: Yes

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

2E101  ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 2B004, 2B009, 2B104,
2B109, 2B116, or 2D101.

License Requirements

Reason for Control: MT, NP, AT


               Control(s)                         Country Chart

MT applies to entire entry.............  MT Column 1
NP applies to 2B004, 2B104, 2B109, and   NP Column 1
 2B116.
AT applies to entire entry.............  AT Column 1


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: This entry controls only ``technology'' for 2B009
for spin forming machines combining the functions of spin forming
and flow forming, and flow forming machines.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

2E201  ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 2A225, 2A226, 2B001,
2B006, 2B007.b, 2B007.c, 2B008, 2B009, 2B201, 2B204, 2B207, 2B209,
2B225 to 2B232, 2D201 or 2D202.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

2E290  ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 2A290, 2A291, 2A292, 2A293, and
2B290.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

NP applies to entire entry.............  NP Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

2E301  ``Technology'' according to the ``General Technology Note'' for
``use'' of items controlled by 2B350, 2B351 and 2B352.

License Requirements

Reason for Control: CB, AT


               Control(s)                         Country Chart

CB applies to entire entry.............  CB Column 3
AT applies to entire entry.............  AT Column1


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The lists of items controlled are contained in the ECCN
headings.

2E991  ``Technology'' for the ``use'' of equipment controlled by 2B991,
2B993, 2B996, or 2B997.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A.
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN
heading.

2E994  ``Technology'' for the ``use'' of portable electric generators
controlled by 2A994.

License Requirements

Reason for Control: AT
Control(s): AT applies to entire entry. A license is required for
items controlled by this entry to Cuba, Iran, Libya, and North
Korea. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information

    Note: Exports from the U.S. and transhipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See Sec. 742.8 and Sec. 746.7 of the EAR for additional
information on this requirement.)

License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A.
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN
heading.

EAR99  Items subject to the EAR that are not elsewhere controlled by
this CCL Category or in any other category in the CCL are designated by
the number EAR99.

Category 3--Electronics

A. Systems, Equipment and Components

    Note 1: The control status of equipment and components described
in 3A001 or 3A002, other than those described in 3A001.a.3 to
3A001.a.10 or 3A001.a.12, which are specially designed for or which
have the same functional characteristics as other equipment is
determined by the control status of the other equipment.
    Note 2: The control status of integrated circuits described in
3A001.a.3 to 3A001.a.9 or 3A001.a.12 that are unalterably programmed
or designed for a specific function for other equipment is
determined by the control status of the other equipment.

    N.B.: When the manufacturer or applicant cannot determine the
control status of the other equipment, the control status of the
integrated circuits is determined in 3A001.a.3 to 3A001.a.9 and
3A001.a.12. If the integrated circuit is a silicon-based
``microcomputer microcircuit'' or microcontroller microcircuit
described in 3A001.a.3 having an operand (data) word length of 8 bit
or less, the control status of the integrated circuit is determined
in 3A001.a.3.

3A001  Electronic components, as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
MT applies to 3A001.a.1.a..............  MT Column 1
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: N/A for MT; $1500: 3A001.c;$3000: 3A001.b.1, b.2, b.3, .d, .e
and .f; $5000: 3A001.a, and .b.4 to b.7
GBS: Yes, except 3A001.a.1.a, b.1, b.3 to b.7, .c to .f

[[Page 2502]]

CIV: Yes, except 3A001.a.1, a.2, a.3.a (for processors with a CTP
greater than 500 Mtops), a.5, a.6, a.9, a.10, and a.12, .b, .c, .d,
.e, and .f

List of Items Controlled

Unit: Number
Related Controls: See also 3A101, 3A201, and 3A991
Related Definitions: For the purposes of integrated circuits in
3A001.a.1, 5 x 103 Gy(Si)=5 x 105 Rads (Si); 5 x 106 Gy (Si)/
s=5 x 108 Rads (Si)/s.
Items: a. General purpose integrated circuits, as follows:

    Note 1: The control status of wafers (finished or unfinished),
in which the function has been determined, is to be evaluated
against the parameters of 3A001.a.
    Note 2: Integrated circuits include the following types:
``Monolithic integrated circuits''; ``Hybrid integrated circuits'';
``Multichip integrated circuits''; ``Film type integrated
circuits'', including silicon-on-sapphire integrated circuits;
``Optical integrated circuits''.

    a.1. Integrated circuits, designed or rated as radiation
hardened to withstand any of the following:
    a.1.a. A total dose of 5 x 10\3\ Gy (Si), or higher; or
    a.1.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s, or higher;
    a.2. Integrated circuits described in 3A001.a.3 to 3A001.a.10 or
3A001.a.12, electrical erasable programmable read-only memories
(EEPROMs), flash memories and static random-access memories (SRAMs),
having any of the following:
    a.2.a. Rated for operation at an ambient temperature above 398 K
(125 deg. C);
    a.2.b. Rated for operation at an ambient temperature below 218 K
(-55 deg. C); or
    a.2.c. Rated for operation over the entire ambient temperature
range from 218 K (-55 deg. C) to 398 K (125 deg. C);

    Note: 3A001.a.2 does not apply to integrated circuits for civil
automobiles or railway train applications.

    a.3. ``Microprocessor microcircuits'', ``micro-computer
microcircuits'' and microcontroller microcircuits, having any of the
following characteristics:

    Note: 3A001.a.3 includes digital signal processors, digital
array processors and digital coprocessors.

    a.3.a. A ``composite theoretical performance'' (``CTP'') of 260
million theoretical operations per second (Mtops) or more and an
arithmetic logic unit with an access width of 32 bit or more;
    a.3.b. Manufactured from a compound semiconductor and operating
at a clock frequency exceeding 40 MHz; or
    a.3.c. More than one data or instruction bus or serial
communication port for external interconnection in a parallel
processor with a transfer rate exceeding 2.5 Mbyte/s;
    a.4. Storage integrated circuits manufactured from a compound
semiconductor;
    a.5. Analog-to-digital and digital-to-analog converter
integrated circuits, as follows:
    a.5.a. Analog-to-digital converters having any of the following:
    a.5.a.1. A resolution of 8 bit or more, but less than 12 bit,
with a total conversion time to maximum resolution of less than 10
ns;
    a.5.a.2. A resolution of 12 bit with a total conversion time to
maximum resolution of less than 200 ns; or
    a.5.a.3. A resolution of more than 12 bit with a total
conversion time to maximum resolution of less than 2 <greek-m>s;
    a.5.b. Digital-to-analog converters with a resolution of 12 bit
or more, and a ``settling time'' of less than 10 ns;
    a.6. Electro-optical and ``optical integrated circuits''
designed for ``signal processing'' having all of the following:
    a.6.a. One or more than one internal ``laser'' diode;
    a.6.b. One or more than one internal light detecting element;
and
    a.6.c. Optical waveguides;
    a.7. Field programmable gate arrays having any of the following:
    a.7.a. An equivalent usable gate count of more than 30,000 (2
input gates); or
    a.7.b. A typical ``basic gate propagation delay time'' of less
than 0.4 ns;
    a.8. Field programmable logic arrays having any of the
following:
    a.8.a. An equivalent usable gate count of more than 30,000 (2
input gates); or
    a.8.b. A toggle frequency exceeding 133 MHz;
    a.9. Neural network integrated circuits;
    a.10. Custom integrated circuits for which the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
    a.10.a. More than 208 terminals;
    a.10.b. A typical ``basic gate propagation delay time'' of less
than 0.35 ns; or
    a.10.c. An operating frequency exceeding 3 GHz;
    a.11. Digital integrated circuits, other than those described in
3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound
semiconductor and having any of the following:
    a.11.a. An equivalent gate count of more than 300 (2 input
gates); or
    a.11.b. A toggle frequency exceeding 1.2 GHz;
    a.12. Fast Fourier Transform (FFT) processors having any of the
following:
    a.12.a. A rated execution time for a 1,024 point complex FFT of
less than 1 ms;
    a.12.b. A rated execution time for an N-point complex FFT of
other than 1,024 points of less than N log2 N /10,240 ms, where N is
the number of points; or
    a.12.c. A butterfly throughput of more than 5.12 MHz;
    b. Microwave or millimeter wave components, as follows:
    b.1. Electronic vacuum tubes and cathodes, as follows:

    Note: 3A001.b.1 does not control tubes designed or rated to
operate in the ITU allocated bands at frequencies not exceeding 31
GHz.

    b.1.a. Travelling wave tubes, pulsed or continuous wave, as
follows:
    b.1.a.1. Operating at frequencies higher than 31 GHz;
    b.1.a.2. Having a cathode heater element with a turn on time to
rated RF power of less than 3 seconds;
    b.1.a.3. Coupled cavity tubes, or derivatives thereof, with an
``instantaneous bandwidth'' of more than 7% or a peak power
exceeding 2.5 kW;
    b.1.a.4. Helix tubes, or derivatives thereof, with any of the
following characteristics:
    b.1.a.4.a. An ``instantaneous bandwidth'' of more than one
octave, and average power (expressed in kW) times frequency
(expressed in GHz) of more than 0.5;
    b.1.a.4.b. An ``instantaneous bandwidth'' of one octave or less,
and average power (expressed in kW) times frequency (expressed in
GHz) of more than 1; or
    b.1.a.4.c. Being ``space qualified'';
    b.1.b. Crossed-field amplifier tubes with a gain of more than 17
dB;
    b.1.c. Impregnated cathodes designed for electronic tubes, with
any of the following:
    b.1.c.1. A turn on time to rated emission of less than 3
seconds; or
    b.1.c.2. Producing a continuous emission current density at
rated operating conditions exceeding 5 A/cm<SUP>2</SUP>;
    b.2. Microwave integrated circuits or modules containing
``monolithic integrated circuits'' operating at frequencies
exceeding 3 GHz;

    Note: 3A001.b.2 does not control circuits or modules for
equipment designed or rated to operate in the ITU allocated bands at
frequencies not exceeding 31 GHz.

    b.3. Microwave transistors rated for operation at frequencies
exceeding 31 GHz;
    b.4. Microwave solid state amplifiers, having any of the
following:
    b.4.a. Operating frequencies exceeding 10.5 GHz and an
``instantaneous bandwidth'' of more than half an octave; or
    b.4.b. Operating frequencies exceeding 31 GHz;
    b.5. Electronically or magnetically tunable band-pass or band-
stop filters having more than 5 tunable resonators capable of tuning
across a 1.5:1 frequency band (F<INF>max</INF>/F<INF>min</INF>) in
less than 10 <greek-m>s having any of the following:
    b.5.a. A band-pass bandwidth of more than 0.5% of center
frequency; or
    b.5.b. A band-stop bandwidth of less than 0.5% of center
frequency;
    b.6. Microwave ``assemblies'' capable of operating at
frequencies exceeding 31 GHz;
    b.7. Mixers and converters designed to extend the frequency
range of equipment described in 3A002.c, 3A002.e or 3A002.f beyond
the limits stated therein;
    b.8. Microwave power amplifiers containing tubes controlled by
3A001.b and having all of the following:
    b.8.a. Operating frequencies above 3 GHz;
    b.8.b. An average output power density exceeding 80 W/kg; and
    b.8.c. A volume of less than 400 cm<INF>3</INF>;

    Note: 3A001.b.8 does not control equipment designed or rated for
operation in an ITU allocated band.

    c. Acoustic wave devices, as follows, and specially designed
components therefor:
    c.1. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having any of the following:

[[Page 2503]]

    c.1.a. A carrier frequency exceeding 2.5 GHz;
    c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding
2.5 GHz, and having any of the following:
    c.1.b.1. A frequency side-lobe rejection exceeding 55 dB;
    c.1.b.2. A product of the maximum delay time and the bandwidth
(time in <greek-m>s and bandwidth in MHz) of more than 100;
    c.1.b.3. A bandwidth greater than 250 MHz; or
    c.1.b.4. A dispersive delay of more than 10 <greek-m>s; or
    c.1.c. A carrier frequency of 1 GHz or less, having any of the
following:
    c.1.c.1. A product of the maximum delay time and the bandwidth
(time in <greek-m>s and bandwidth in MHz) of more than 100;
    c.1.c.2. A dispersive delay of more than 10 <greek-m>s; or
    c.1.c.3. A frequency side-lobe rejection exceeding 55 dB and a
bandwidth greater than 50 MHz;
    c.2. Bulk (volume) acoustic wave devices (i.e., ``signal
processing'' devices employing elastic waves) that permit the direct
processing of signals at frequencies exceeding 1 GHz;
    c.3. Acoustic-optic ``signal processing'' devices employing
interaction between acoustic waves (bulk wave or surface wave) and
light waves that permit the direct processing of signals or images,
including spectral analysis, correlation or convolution;
    d. Electronic devices and circuits containing components,
manufactured from ``superconductive'' materials specially designed
for operation at temperatures below the ``critical temperature'' of
at least one of the ``superconductive'' constituents, with any of
the following:
    d.1. Electromagnetic amplification:
    d.1.a. At frequencies equal to or less than 31 GHz with a noise
figure of less than 0.5 dB; or
    d.1.b. At frequencies exceeding 31 GHz;
    d.2. Current switching for digital circuits using
``superconductive'' gates with a product of delay time per gate (in
seconds) and power dissipation per gate (in watts) of less than
10<SUP>-14</SUP> J; or
    d.3. Frequency selection at all frequencies using resonant
circuits with Q-values exceeding 10,000;
    e. High energy devices, as follows:
    e.1. Batteries and photovoltaic arrays, as follows:

    Note: 3A001.e.1 does not control batteries with volumes equal to
or less than 27 cm\3\ (e.g., standard C-cells or R14 batteries).

    e.1.a. Primary cells and batteries having an energy density
exceeding 480 Wh/kg and rated for operation in the temperature range
from below 243 K (-30 deg. C) to above 343 K (70 deg. C);
    e.1.b. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (C being the nominal capacity in ampere
hours) when operating in the temperature range from below 253 K (-
20 deg. C) to above 333 K (60 deg. C);

    Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75%
of the open circuit voltage divided by the total mass of the cell
(or battery) in kg.

    e.1.c. ``Space qualified'' and radiation hardened photovoltaic
arrays with a specific power exceeding 160 W/m\2\ at an operating
temperature of 301 K (28 deg. C) under a tungsten illumination of 1
kW/m\2\ at 2,800 K (2,527 deg. C);
    e.2. High energy storage capacitors, as follows:
    N.B.: See also 3A201.a.
    e.2.a. Capacitors with a repetition rate of less than 10 Hz
(single shot capacitors) having all of the following:
    e.2.a.1. A voltage rating equal to or more than 5 kV;
    e.2.a.2. An energy density equal to or more than 250 J/kg; and
    e.2.a.3. A total energy equal to or more than 25 kJ;
    e.2.b. Capacitors with a repetition rate of 10 Hz or more
(repetition rated capacitors) having all of the following:
    e.2.b.1. A voltage rating equal to or more than 5 kV;
    e.2.b.2. An energy density equal to or more than 50 J/kg;
    e.2.b.3. A total energy equal to or more than 100 J; and
    e.2.b.4. A charge/discharge cycle life equal to or more than
10,000;
    e.3. ``Superconductive'' electromagnets and solenoids specially
designed to be fully charged or discharged in less than one second,
having all of the following:
    N.B.: See also 3A201.b.
    e.3.a. Energy delivered during the discharge exceeding 10 kJ in
the first second;
    e.3.b. Inner diameter of the current carrying windings of more
than 250 mm; and
     e.3.c. Rated for a magnetic induction of more than 8 T or
``overall current density'' in the winding of more than 300 A/mm
\2\;

    Note: 3A001.e.3 does not control ``superconductive''
electromagnets or solenoids specially designed for Magnetic
Resonance Imaging (MRI) medical equipment.

    f. Rotary input type shaft absolute position encoders having any
of the following:
    f.1. A resolution of better than 1 part in 265,000 (18 bit
resolution) of full scale; or
    f.2. An accuracy better than <plus-minus> 2.5 seconds of arc.

3A002  General purpose electronic equipment, as follows (see List of
Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $3000: 3A002.a, .e, .f, .g; $5000: 3A002.b to .d
GBS: Yes for 3A002.a.1.; 3A002.b (synthesized output frequency of
2.6 GHz or less and a ``frequency switching time'' of 0.3 ms or
more); and 3A002.d (synthesized output frequency of 2.6 GHz or less
and a ``frequency switching time'' of 0.3 ms or more)
CIV: Yes for 3A002.a.1 (provided all of the following conditions are
met: (1) Bandwidths do not exceed: 4 MHz per track and have up to 28
tracks or 2 MHz per track and have up to 42 tracks; (2) Tape speed
does not exceed 6.1 m/s; (3) They are not designed for underwater
use; (4) They are not ruggedized for military use; and (5) Recording
density does not exceed 653.2 magnetic flux sine waves per mm);
3A002.b (synthesized output frequency of 2.6 GHz or less; and a
``frequency switching time'' of 0.3 ms or more), 3A002.d
(synthesized output frequency of 2.6 GHz or less; and a ``frequency
switching time'' of 0.3 ms or more).

List of Items Controlled

Unit: Number
Related Controls: See also 3A202 and 3A992
Related Definitions: N/A
Items: a. Recording equipment, as follows, and specially designed
test tape therefor:
    a.1. Analog instrumentation magnetic tape recorders, including
those permitting the recording of digital signals (e.g., using a
high density digital recording (HDDR) module), having any of the
following:
    a.1.a. A bandwidth exceeding 4 MHz per electronic channel or
track;
    a.1.b. A bandwidth exceeding 2 MHz per electronic channel or
track and having more than 42 tracks; or
    a.1.c. A time displacement (base) error, measured in accordance
with applicable IRIG or EIA documents, of less than <plus-minus> 0.1
<greek-m>s;

    Note: Analog magnetic tape recorders specially designed for
civilian video purposes are not considered to be instrumentation
tape recorders.

    a.2. Digital video magnetic tape recorders having a maximum
digital interface transfer rate exceeding 180 Mbit/s;

    Note: 3A002.a.2 does not control digital video magnetic tape
recorders specially designed for television recording using a signal
format standardized or recommended by the CCIR or the IEC for civil
television applications.

    a.3. Digital instrumentation magnetic tape data recorders
employing helical scan techniques or fixed head techniques, having
any of the following:
    a.3.a. A maximum digital interface transfer rate exceeding 175
Mbit/s; or
    a.3.b. Being ``space qualified'';

     Note: 3A002.a.3 does not control analog magnetic tape recorders
equipped with HDDR conversion electronics and configured to record
only digital data.

    a.4. Equipment, having a maximum digital interface transfer rate
exceeding 175 Mbit/s, designed to convert digital video magnetic
tape recorders for use as digital instrumentation data recorders;
    a.5. Waveform digitizers and transient recorders having all of
the following:
    N.B.: See also 3A202.
    a.5.a. Digitizing rates equal to or more than 200 million
samples per second and a resolution of 10 bits or more; and

[[Page 2504]]

    a.5.b. A continuous throughput of 2 Gbit/s or more;

    Technical Note: For those instruments with a parallel bus
architecture, the continuous throughput rate is the highest word
rate multiplied by the number of bits in a word. Continuous
throughput is the fastest data rate the instrument can output to
mass storage without the loss of any information while sustaining
the sampling rate and analog-to-digital conversion.

    b. ``Frequency synthesizer'', ``assemblies'' having a
``frequency switching time'' from one selected frequency to another
of less than 1 ms;
    c. ``Signal analyzers'', as follows:
    c.1. ``Signal analyzers'' capable of analyzing frequencies
exceeding 31 GHz;
    c.2. ``Dynamic signal analyzers'' having a ``real-time
bandwidth'' exceeding 25.6 Khz;

    Note: 3A002.c.2 does not control those ``dynamic signal
analyzers'' using only constant percentage bandwidth filters.
    Technical Note: Constant percentage bandwidth filters are also
known as octave or fractional octave filters.

    d. Frequency synthesized signal generators producing output
frequencies, the accuracy and short term and long term stability of
which are controlled, derived from or disciplined by the internal
master frequency, and having any of the following:
    d.1. A maximum synthesized frequency exceeding 31 GHz;
    d.2. A ``frequency switching time'' from one selected frequency
to another of less than 1 ms; or
    d.3. A single sideband (SSB) phase noise better than -(126+20
log<INF>10</INF>F-20 log<INF>10</INF>f) in dBc/Hz, where F is the
off-set from the operating frequency in Hz and f is the operating
frequency in MHz;

    Note: 3A002.d does not control equipment in which the output
frequency is either produced by the addition or subtraction of two
or more crystal oscillator frequencies, or by an addition or
subtraction followed by a multiplication of the result.

    e. Network analyzers with a maximum operating frequency
exceeding 40 GHz;
    f. Microwave test receivers having all of the following:
    f.1. A maximum operating frequency exceeding 40 GHz; and
    f.2. Being capable of measuring amplitude and phase
simultaneously;
    g. Atomic frequency standards having any of the following:
    g.1. Long-term stability (aging) less (better) than
1 x 10<SUP>-11</SUP>/month; or
    g.2. Being ``space qualified''.

    Note: 3A002.g.1 does not control non-''space qualified''
rubidium standards.

3A101  Electronic equipment, devices and components, other than those
controlled by 3A001, as follows (see List of Items Controlled).

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: Items controlled in 3A101.a are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls (See 22 CFR part 121).
Related Definitions: N/A
Items: a. Analog-to-digital converters, usable in ``missiles'',
designed to meet military specifications for ruggedized equipment;
    b. Accelerators capable of delivering electromagnetic radiation
produced by bremsstrahlung from accelerated electrons of 2 MeV or
greater, and systems containing those accelerators.

    Note: 3A101.b above does not include equipment specially
designed for medical purposes.

3A201  Electronic components, other than those controlled by 3A001, as
follows (see List of Items Controlled).

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: This entry does not control magnets that are
specially designed for and exported as parts of medical nuclear
magnetic resonance (NMR) imaging systems. Such parts may be exported
in separate shipments from different sources, provided that the
related export control documents clearly specify that the parts are
for medical NMR imaging systems that are being exported.
Related Definition: N/A
Items: a. Capacitors with the following characteristics:
    a.1. Voltage rating greater than 1.4 kV, energy storage greater
than 10 J, capacitance greater than 0.5 <greek-m>F and series
inductance less than 50 Nh; or
    a.2. Voltage rating greater than 750 V, capacitance greater than
0.25 <greek-m>F and series inductance less than 10 Nh;
    b. Superconducting solenoidal electromagnets with all of the
following characteristics:
    b.1. Capable of creating magnetic fields of more than 2 teslas
(20 kilogauss);
    b.2. With an L/D ratio (length divided by inner diameter)
greater than 2;
    b.3. With an inner diameter of more than 300 mm; and
    b.4. With a magnetic field uniform to better than 1% over the
central 50% of the inner volume;

    Note: 3A201.b does not specify magnets specially designed for
and exported as parts of medical nuclear magnetic resonance (NMR)
imaging systems. The phrase ``as part of'' does not necessarily mean
physical part in the same shipment; separate shipments from
different sources are allowed, provided the related export documents
clearly specify that the shipments are dispatched ``as part of'' the
imaging systems.

    c. Flash X-ray generators or pulsed electron accelerators with
peak energy of 500 keV or greater, as follows, except accelerators
that are component parts of devices designed for purposes other than
electron beam or X-ray radiation (electron microscopy, for example)
and those designed for medical purposes:
    c.1. Having an accelerator peak electron energy of 500 keV or
greater but less than 25 MeV and with a figure of merit (K) of 0.25
or greater, where K is defined as:
    K=1.7 x 103V2.65Q, where V is the peak electron energy in
million electron volts and Q is the total accelerated charge in
coulombs if the accelerator beam pulse duration is less than or
equal to 1 microsecond; if the accelerator beam pulse duration is
greater than 1 microsecond, Q is the maximum accelerated charge in 1
microsecond {Q equals the integral of i with respect to t, over the
lesser of 1 microsecond or the time duration of the beam pulse
(Q={integral} idt), where i is beam current in amperes and t is time
in seconds}; or
    c.2. Having an accelerator peak electron energy of 25 MeV or
greater and a peak power greater than 50 MW. {Peak power = (peak
potential in volts)  x  (peak beam current in amperes)}.

    Technical Notes: a. Time duration of the beam pulse--In
machines, based on microwave accelerating cavities, the time
duration of the beam pulse is the lesser of 1 microsecond or the
duration of the bunched beam packet resulting from one microwave
modulator pulse.
    b. Peak beam current--In machines based on microwave
accelerating cavities, the peak beam current is the average current
in the time duration of a bunched beam packet.

3A225  Frequency changers (also known as converters or inverters) or
generators, other than those controlled by 0B001.c.11, having all of
the characteristics (see List of Items Controlled).

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: Frequency changers (also known as converters or
inverters)

[[Page 2505]]

especially designed or prepared to supply motor stators and having
the characteristics described in 3A225.b and .d, together with a
total harmonic distortion of less than 2 percent and an efficiency
of greater than 80 percent are subject to the export licensing
authority of the Nuclear Regulatory Commission. (See 10 CFR part
110.)
Related Definition: Motor stators are especially designed or
prepared ring-shaped stators for high-speed multiphase AC hysteresis
(or reluctance) motors for synchronous operation within a vacuum in
the frequency range of 600 Hz to 2,000 Hz, and a power range of 50
VA to 1,000 VA. The stators consist of multiphase windings on a
laminated low-loss iron core comprising thin layers typically to 2.0
mm (.008 in) thick or less.
Items: a. A multiphase output capable of providing a power of 40 W
or more;
    b. Capable of operating in the frequency range between 600 and
2000 Hz;
    c. Total harmonic distortion below 10%; and
    d. Frequency control better than 0.1%.

3A226  Direct current high-power supplies, other than those controlled
by 0B001.j.6, capable of continuously producing, over a time period of
8 hours, 100 V or greater with current output of 500 A or greater and
with current or voltage regulation better than 0.1%.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3A227  High-voltage direct current power supplies, other than those
controlled by 0B001.j.5, capable of continuously producing, over a time
period of 8 hours, 20,000 V or greater with current output of 1 A or
greater and with current or voltage regulation better than 0.1%.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3A228  Switching devices, as follows (see List of Items Controlled).

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: a. Cold-cathode tubes (including gas krytron tubes and vacuum
sprytron tubes), whether gas filled or not, operating similarly to a
spark gap, containing three or more electrodes, and having all of
the following characteristics:
    a.1. Anode peak voltage rating of 2,500 V or more;
    a.2. Anode peak current rating of 100 A or more; and
    a.3. Anode delay time of 10 microsecond or less;
    b. Triggered spark-gaps having an anode delay time of 15
microsecond or less and rated for a peak current of 500 A or more;
    c. Modules or assemblies with a fast switching function having
all of the following characteristics:
    c.1. Anode peak voltage rating greater than 2,000 V;
    c.2. Anode peak current rating of 500 A or more; and
    c.3. Turn-on time of 1 microsecond or less.

3A229  Firing sets and equivalent high-current pulse generators (for
detonators controlled by 3A232), as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: See also U.S. Munitions List
Related Definitions: N/A
Items: a. Explosive detonator firing sets designed to drive multiple
controlled detonators controlled by 3A232;
    b. Modular electrical pulse generators (pulsers) designed for
portable, mobile or ruggedized use (including xenon flash-lamp
drivers) having all the following characteristics:
    b.1. Capable of delivering their energy in less than 15
microsecond;
    b.2. Having an output greater than 100 A;
    b.3. Having a rise time of less than 10 microsecond into loads
of less than 40 ohms (rise time is the time interval from 10% to 90%
current amplitude when driving a resistive load);
    b.4. Enclosed in a dust-tight enclosure;
    b.5. No dimension greater than 254 mm;
    b.6. Weight less than 25 kg; and
    b.7. Specified for use over an extended temperature range 223 K
(-50 deg. C) to 373 K (100 deg. C) or specified as suitable for
aerospace use.

3A230  High-speed pulse generators with output voltages greater than 6
volts into a less than 55 ohm resistive load, and with pulse transition
times less than 500 picoseconds.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: In this entry, ``pulse transition time'' is
defined as the time interval between 10% and 90% voltage amplitude.
Items: The list of items controlled is contained in the ECCN
heading.

3A231   Neutron generator systems, including tubes, designed for
operation without an external vacuum system and utilizing electrostatic
acceleration to induce a tritium-deuterium nuclear reaction.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number, parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3A232   Detonators and multipoint initiation systems, as follows (see
List of Items Controlled).

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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

[[Page 2506]]


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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: This entry does not control detonators using only
primary explosives, such as lead azide.
Related Definition: The detonators of concern all utilize a small
electrical conductor (bridge, bridge wire or foil) that explosively
vaporizes when a fast, high-current electrical pulse is passed
through it. In nonslapper types, the exploding conductor starts a
chemical detonation in a contacting high-explosive material such as
PETN (Pentaerythritoltetranitrate). In slapper detonators, the
explosive vaporization of the electrical conductor drives a flyer or
slapper across a gap and the impact of the slapper on an explosive
starts a chemical detonation. The slapper in some designs is driven
by a magnetic force. The term exploding foil detonator may refer to
either an EB or a slapper-type detonator. Also, the word initiator
is sometimes used in place of the word detonator.
Items: a. Electrically driven explosive detonators, the following:
    a.1. Exploding bridge (EB);
    a.2. Exploding bridge wire (EBW);
    a.3. Slapper;
    a.4. Exploding foil initiators (EFI);
    b. Arrangements using single or multiple detonators designed to
nearly simultaneously initiate an explosive surface (over greater
than 5000 mm\2\) from a single firing signal (with an initiation
timing spread over the surface of less than 2.5 microseconds).

3A233   Mass spectrometers, other than those controlled by 0B002.g,
capable of measuring ions of 230 atomic mass units or greater and
having a resolution of better than 2 parts in 230, and ion sources
therefor.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: Specially designed or prepared magnetic or
quadruple mass spectrometers that have the following characteristics
and are capable of taking on-line samples of feed, product, or tails
from UF<INF>6</INF> gas streams are subject to the export licensing
authority of the Nuclear Regulatory Commission. (See 10 CFR part
110.): (a) Unit resolution for mass greater than 320; (b) Ion
sources that are constructed of or lined with nichrome or that are
monel or nickel-plated; (c) Electron bombardment ionization sources;
(d) Having a collector system suitable for isotopic analysis.
Related Definitions: N/A
Items: a. Inductively coupled plasma mass spectrometers (ICP/MS);
    b. Glow discharge mass spectrometers (GDMS);
    c. Thermal ionization mass spectrometers (TIMS);
    d. Electron bombardment mass spectrometers that have a source
chamber constructed from, lined with or plated with materials
resistant to UF6;
    e. Molecular beam mass spectrometers as follows:
    e.1. Having a source chamber constructed from, lined with or
plated with stainless steel or molybdenum and have a cold trap
capable of cooling to 193 K (-80 deg. C) or less; or
    e.2. Having a source chamber constructed from, lined with or
plated with materials resistant to UF<INF>6</INF>; or
    f. Mass spectrometers equipped with a microfluorination ion
source designed for use with actinides or actinide fluorides.

3A292   Oscilloscopes and transient recorders other than those
controlled by 3A002.a.5, and specially designed components therefor.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

NP applies to entire entry.............  NP Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: ``Bandwidth'' is defined as the band of
frequencies over which the deflection on the cathode ray tube does
not fall below 70.7% of that at the maximum point measured with a
constant input voltage to the oscilloscope amplifier.
Items: a. Non-modular analog oscilloscopes having a bandwidth of 1
GHz or greater;
    b. Modular analog oscilloscope systems having either of the
following characteristics:
    b.1. A mainframe with a bandwidth of 1 GHz or greater; or
    b.2. Plug-in modules with an individual bandwidth of 4 GHz or
greater;
    c. Analog sampling oscilloscopes for the analysis of recurring
phenomena with an effective bandwidth greater than 4 GHz;
    d. Digital oscilloscopes and transient recorders, using analog-
to-digital conversion techniques, capable of storing transients by
sequentially sampling single-shot inputs at successive intervals of
less than 1 ns (greater than 1 giga-sample per second), digitizing
to 8 bits or greater resolution and storing 256 or more samples.

    Note: Specially designed components controlled by this item are
the following, for analog oscilloscopes:
    1. Plug-in units;
    2. External amplifiers;
    3. Pre-amplifiers;
    4. Sampling devices;
    5. Cathode ray tubes.

3A980  Voice print identification and analysis equipment and parts,
n.e.s.

License Requirements

Reason for Control: CC


               Control(s)                         Country Chart

CC applies to entire entry.............  CC Column 1


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3A981  Polygraphs (except biomedical recorders designed for use in
medical facilities for monitoring biological and neurophysical
responses); fingerprint analyzers, cameras and equipment, n.e.s.;
automated fingerprint and identification retrieval systems, n.e.s.;
psychological stress analysis equipment; electronic monitoring
restraint devices; and specially designed parts and accessories, n.e.s.

License Requirements

Reason for Control: CC


               Control(s)                         Country Chart

CC applies to entire entry.............  CC Column 1


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3A991  Electronic devices and components not controlled by 3A001.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Microprocessor microcircuits'', ``microcomputer
microcircuits'', and microcontroller microcircuits having a clock
frequency exceeding 25 MHz;
    b. Storage integrated circuits, as follows:

[[Page 2507]]

    b.1. Electrical erasable programmable read-only memories
(EEPROMs) with a storage capacity;
    b.1.a. Exceeding 16 Mbits per package for flash memory types; or
    b.1.b. Exceeding either of the following limits for all other
EEPROM types:
    b.1.b.1. Exceeding 1 Mbit per package; or
    b.1.b.2. Exceeding 256 kbit per package and a maximum access
time of less than 80 ns;
    b.2. Static random access memories (SRAMs) with a storage
capacity:
    b.2.a. Exceeding 1 Mbit per package; or
    b.2.b. Exceeding 256 kbit per package and a maximum access time
of less than 25 ns;
    c. Field programmable logic arrays having either of the
following:
    c.1. An equivalent gate count of more than 5000 (2 input gates);
or
    c.2. A toggle frequency exceeding 100 MHz;
    d. Custom integrated circuits for which either the function is
unknown, or the control status of the equipment in which the
integrated circuits will be used is unknown to the manufacturer,
having any of the following:
    d.1. More than 144 terminals; or
    d.2. A typical ``basic propagation delay time'' of less than 0.4
ns.
    e. Travelling wave tubes, pulsed or continuous wave, as follows:
    e.1. Coupled cavity tubes, or derivatives thereof;
    e.2. Helix tubes, or derivatives thereof, with any of the
following:
    e.2.a.1. An ``instantaneous bandwidth'' of half an octave or
more; and
    e.2.a.2. The product of the rated average output power
(expressed in kW) and the maximum operating frequency (expressed in
GHz) of more than 0.2;
    e.2.b.1 An ``instantaneous bandwidth'' of less than half an
octave; and
    e.2.b.2. The product of the rated average output power
(expressed in kW) and the maximum operating frequency (expressed in
GHz) of more than 0.4;
    f. Flexible waveguides designed for use at frequencies exceeding
40 GHz;
    g. Surface acoustic wave and surface skimming (shallow bulk)
acoustic wave devices (i.e., ``signal processing'' devices employing
elastic waves in materials), having either of the following:
    g.1. A carrier frequency exceeding 1 GHz; or
    g.2. A carrier frequency of 1 GHz or less; and
    g.2.a. A frequency side-lobe rejection exceeding 55 dB;
    g.2.b. A product of the maximum delay time and bandwidth (time
in microseconds and bandwidth in MHz) of more than 100; or
    g.2.c. A dispersive delay of more than 10 microseconds.
    h. Batteries, as follows:

    Note: 3A991.h does not control batteries with volumes equal to
or less than 26 cm<SUP>3</SUP> (e.g., standard C-cells or UM-2
batteries).

    h.1. Primary cells and batteries having an energy density
exceeding 350 Wh/kg and rated for operation in the temperature range
from below 243 K (-30 deg. C) to above 343 K (70 deg. C);
    h.2. Rechargeable cells and batteries having an energy density
exceeding 150 Wh/kg after 75 charge/discharge cycles at a discharge
current equal to C/5 hours (C being the nominal capacity in ampere
hours) when operating in the temperature range from below 253 K
(-20 deg. C) to above 333 K (60 deg. C);

    Technical Note: Energy density is obtained by multiplying the
average power in watts (average voltage in volts times average
current in amperes) by the duration of the discharge in hours to 75
percent of the open circuit voltage divided by the total mass of the
cell (or battery) in kg.

    i. ``Superconductive'' electromagnets or solenoids specially
designed to be fully charged or discharged in less than one minute,
having all of the following:

    Note: 3A991.i does not control ``superconductive''
electromagnets or solenoids designed for Magnetic Resonance Imaging
(MRI) medical equipment.

    i.1. Maximum energy delivered during the discharge divided by
the duration of the discharge of more than 500 kJ per minute;
    i.2. Inner diameter of the current carrying windings of more
than 250 mm; and
    i.3. Rated for a magnetic induction of more than 8T or ``overall
current density'' in the winding of more than 300 A/mm<SUP>2</SUP>.
    j. Circuits or systems for electromagnetic energy storage,
containing components manufactured from ``superconductive''
materials specially designed for operation at temperatures below the
``critical temperature'' of at least one of their
``superconductive'' constituents, having all of the following:
    j.1. Resonant operating frequencies exceeding 1 MHz;
    j.2. A stored energy density of 1 MJ/M<SUP>3</SUP> or more; and
    j.3. A discharge time of less than 1 ms;
    k. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal
construction and rate for a peak current of 500 A or more.

3A992  General purpose electronic equipment not controlled by 3A002.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: $1000 for Syria for .a only
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Electronic test equipment, n.e.s.
    b. Digital instrumentation magnetic tape data recorders having
any of the following characteristics;
    b.1. A maximum digital interface transfer rate exceeding 60
Mbit/s and employing helical scan techniques;
    b.2. A maximum digital interface transfer rate exceeding 120
Mbit/s and employing fixed head techniques; or
    b.3. ``Space qualified'';
    c. Equipment, with a maximum digital interface transfer rate
exceeding 60 Mbit/s, designed to convert digital video magnetic tape
recorders for use as digital instrumentation data recorders;

B. Test, Inspection and Production Equipment

3B001   Equipment for the manufacturing of semiconductor devices or
materials and specially designed components and accessories therefor.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $500
GBS: Yes, except 3B001. a.2 and a.3; and for equipment controlled
under 3B001.e, they cannot be connected to equipment controlled by
3B001.a.2, a.3, and .f.
CIV: Yes for equipment controlled by 3B001.a.1

List of Items Controlled

Unit: Number
Related Controls: See also 3B991
Related Definitions: N/A
Items: a. ``Stored program controlled'' equipment designed for
epitaxial growth, as follows:
    a.1. Equipment capable of producing a layer thickness uniform to
less than <plus-minus> 2.5% across a distance of 75 mm or more;
    a.2. Metal organic chemical vapor deposition (MOCVD) reactors
specially designed for compound semiconductor crystal growth by the
chemical reaction between materials controlled by 3C003 or 3C004;
    a.3. Molecular beam epitaxial growth equipment using gas
sources;
    b. ``Stored program controlled'' equipment designed for ion
implantation, having any of the following:
    b.1. An accelerating voltage exceeding 200 keV;
    b.2. Being specially designed and optimized to operate at an
accelerating voltage of less than 10 keV;
    b.3. Direct write capability; or
    b.4. Being capable of high energy oxygen implant into a heated
semiconductor material ``substrate'';
    c. ``Stored program controlled'' anisotropic plasma dry etching
equipment, as follows:
    c.1. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
    c.1.a. Magnetic confinement; or
    c.1.b. Electron cyclotron resonance (ECR);
    c.2. Equipment specially designed for equipment controlled by
3B001.e. and having any of the following:
    c.2.a. Magnetic confinement; or
    c.2.b. ECR;
    d. ``Stored program controlled'' plasma enhanced CVD equipment,
as follows:

[[Page 2508]]

    d.1. Equipment with cassette-to-cassette operation and load-
locks, and having any of the following:
    d.1.a. Magnetic confinement; or
    d.1.b. ECR;
    d.2. Equipment specially designed for equipment controlled by
3B001.e. and having any of the following:
    d.2.a. Magnetic confinement; or
    d.2.b. ECR;
    e. ``Stored program controlled'' automatic loading multi-chamber
central wafer handling systems, having all of the following:
    e.1. Interfaces for wafer input and output, to which more than
two pieces of semiconductor processing equipment are to be
connected; and
    e.2. Designed to form an integrated system in a vacuum
environment for sequential multiple wafer processing;

    Note: 3B001.e. does not control automatic robotic wafer handling
systems not designed to operate in a vacuum environment.

    f. ``Stored program controlled'' lithography equipment, as
follows:
    f.1. Align and expose step and repeat equipment for wafer
processing using photo-optical or X-ray methods, having any of the
following:
    f.1.a. A light source wavelength shorter than 400 nm; or
    f.1.b. Capable of producing a pattern with a minimum resolvable
feature size of 0.7 <greek-m>m or less;

    Note: The minimum resolvable feature size is calculated by the
following formula:

(an exposure light source wavelength in <greek-m>m)  x  (K factor)

MRF = ----------------------------------
              numerical aperture

Where the K factor = 0.7.
MRF = minimum resolvable feature size.

    f.2. Equipment specially designed for mask making or
semiconductor device processing using deflected focussed electron
beam, ion beam or ``laser'' beam, having any of the following:
    f.2.a. A spot size smaller than 0.2 <greek-m>m;
    f.2.b. Being capable of producing a pattern with a feature size
of less than 1 <greek-m>m; or
     f.2.c. An overlay accuracy of better than <plus-minus> 0.20
<greek-m>m (3 sigma);
    g. Masks and reticles designed for integrated circuits
controlled by 3A001;
    h. Multi-layer masks with a phase shift layer.

3B002   ``Stored program controlled'' test equipment, specially
designed for testing finished or unfinished semiconductor devices and
specially designed components and accessories therefor.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $500
GBS: Yes
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: See also 3B992
Related Definitions: N/A
Items: a. For testing S-parameters of transistor devices at
frequencies exceeding 31 GHz;
    b. For testing integrated circuits capable of performing
functional (truth table) testing at a pattern rate of more than 60
MHz;

    Note: 3B002.b does not control test equipment specially designed
for testing:

    1. ``Assemblies'' or a class of ``assemblies'' for home or
entertainment applications;
    2. Uncontrolled electronic components, ``assemblies'' or
integrated circuits.
    c. For testing microwave integrated circuits at frequencies
exceeding 3 GHz;

    Note: 3B002.c does not control test equipment specially designed
for testing microwave integrated circuits for equipment designed or
rated to operate in the ITU allocated bands at frequencies not
exceeding 31 GHz.

    d. Electron beam systems designed for operation at 3 keV or
below, or ``laser'' beam systems, for the non-contactive probing of
powered-up semiconductor devices, having all of the following:
    d.1. Stroboscopic capability with either beam-blanking or
detector strobing; and
    d.2. An electron spectrometer for voltage measurement with a
resolution of less than 0.5 V.

    Note: 3B002.d does not control scanning electron microscopes,
except when specially designed and instrumented for the non-
contactive probing of powered-up semiconductor devices.

3B991   Equipment not controlled by 3B001 for the manufacture of
electronic components and materials, and specially designed components
and accessories therefor.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Equipment specially designed for the manufacture of
electron tubes, optical elements and specially designed components
therefor controlled by 3A001 or 3A991;
    b. Equipment specially designed for the manufacture of
semiconductor devices, integrated circuits and ``assemblies'', as
follows, and systems incorporating or having the characteristics of
such equipment:

    Note: 3B991.b also controls equipment used or modified for use
in the manufacture of other devices, such as imaging devices,
electro-optical devices, acoustic-wave devices.

    b.1. Equipment for the processing of materials for the
manufacture of devices and components as specified in the heading of
3B991.b, as follows:

    Note: 3B991 does not control quartz furnace tubes, furnace
liners, paddles, boats (except specially designed caged boats),
bubblers, cassettes or crucibles specially designed for the
processing equipment controlled by 3B991.b.1.

    b.1.a. Equipment for producing polycrystalline silicon and
materials controlled by 3C001;
    b.1.b. Equipment specially designed for purifying or processing
III/V and II/VI semiconductor materials controlled by 3C001, 3C002,
3C003, or 3C004, except crystal pullers, for which see 3B991.b.1.c
below;
    b.1.c. Crystal pullers and furnaces, as follows:

    Note: 3B991.b.1.c does not control diffusion and oxidation
furnaces.

    b.1.c.1. Annealing or recrystallizing equipment other than
constant temperature furnaces employing high rates of energy
transfer capable of processing wafers at a rate exceeding 0.005
m<SUP>2</SUP> per minute;
    b.1.c.2. ``Stored program controlled'' crystal pullers having
any of the following characteristics:
    b.1.c.2.a. Rechargeable without replacing the crucible
container;
    b.1.c.2.b. Capable of operation at pressures above 2.5 x
10<SUP>5</SUP> 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 <plus-minus>3.5%;
    b.1.d.2. Rotation of individual wafers during processing; or
    b.1.e. Molecular beam epitaxial growth equipment;
    b.1.f. ``Magnetically enhanced'' ``sputtering'' equipment with
specially designed integral load locks capable of transferring
wafers in an isolated vacuum environment;
    b.1.g. Equipment specially designed for ion implantation, ion-
enhanced or photo-enhanced diffusion, having any of the following
characteristics:
    b.1.g.1. Patterning capability;
    b.1.g.2. Accelerating voltage for more than 200 keV; or
    b.1.g.3. Capable of high energy oxygen implant into a heated
``substrate'';
    b.1.h. ``Stored program controlled'' equipment for the selective
removal (etching) by means of anisotropic dry methods (e.g.,
plasma), as follows:
    b.1.h.1. Batch types having either of the following:
    b.1.h.1.a. End-point detection, other than optical emission
spectroscopy types; or
    b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or
less;
    b.1.h.2. Single wafer types having any of the following:
    b.1.h.2.a. End-point detection, other than optical emission
spectroscopy types;
    b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or
less; or

[[Page 2509]]

    b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;

    Notes: 1. ``Batch types'' refers to machines not specially
designed for production processing of single wafers. Such machines
can process two or more wafers simultaneously with common process
parameters, e.g., RF power, temperature, etch gas species, flow
rates.
    2. ``Single wafer types'' refers to machines specially designed
for production processing of single wafers. These machines may use
automatic wafer handling techniques to load a single wafer into the
equipment for processing. The definition includes equipment that can
load and process several wafers but where the etching parameters,
e.g., RF power or end point, can be independently determined for
each individual wafer.
    b.1.i. ``Chemical vapor deposition'' (CVD) equipment, e.g.,
plasma-enhanced CVD (PECVD) or photo-enhanced CVD, for semiconductor
device manufacturing, having either of the following capabilities,
for deposition of oxides, nitrides, metals or polysilicon:
    b.1.i.1. ``Chemical vapor deposition'' equipment operating below
105 Pa; or
    b.1.i.2. PECVD equipment operating either below 60 Pa (450
millitorr) or having automatic cassette-to-cassette and load lock
wafer handling;

    Note: 3B991.b.1.i does not control low pressure ``chemical vapor
deposition'' (LPCVD) systems or reactive ``sputtering'' equipment.

    b.1.j. Electron beam systems specially designed or modified for
mask making or semiconductor device processing having any of the
following characteristics:
    b.1.j.1. Electrostatic beam deflection;
    b.1.j.2. Shaped, non-Gaussian beam profile;
    b.1.j.3. Digital-to-analog conversion rate exceeding 3 MHz;
    b.1.j.4. Digital-to-analog conversion accuracy exceeding 12 bit;
or
    b.1.j.5. Target-to-beam position feedback control precision of 1
micrometer or finer;

    Note: 3B991.b.1.j does not control electron beam deposition
systems or general purpose scanning electron microscopes.

    b.1.k. Surface finishing equipment for the processing of
semiconductor wafers as follows:
    b.1.k.1. Specially designed equipment for backside processing of
wafers thinner than 100 micrometer and the subsequent separation
thereof; or
    b.1.k.2. Specially designed equipment for achieving a surface
roughness of the active surface of a processed wafer with a two-
sigma value of 2 micrometer or less, total indicator reading (TIR);

    Note: 3B991.b.1.k does not control single-side lapping and
polishing equipment for wafer surface finishing.

    b.1.l. Interconnection equipment which includes common single or
multiple vacuum chambers specially designed to permit the
integration of any equipment controlled by 3B991 into a complete
system;
    b.1.m. ``Stored program controlled'' equipment using ``lasers''
for the repair or trimming of ``monolithic integrated circuits''
with either of the following characteristics:
    b.1.m.1. Positioning accuracy less than <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 <plus-minus>
0.3 micrometer;
    b.2.g. Electron beam, ion beam or X-ray equipment for projection
image transfer capable of producing patterns less than 2.5
micrometer;

    Note: For focussed, deflected-beam systems (direct write
systems), see 3B991.b.1.j or b.10.

    b.2.h. Equipment using ``lasers'' for direct write on wafers
capable of producing patterns less than 2.5 micrometer.
    b.3. Equipment for the assembly of integrated circuits, as
follows:
    b.3.a. ``Stored program controlled'' die bonders having all of
the following characteristics:
    b.3.a.1. Specially designed for ``hybrid integrated circuits'';
    b.3.a.2. X-Y stage positioning travel exceeding 37.5 x 37.5 mm;
and
    b.3.a.3. Placement accuracy in the X-Y plane of finer than
<plus-minus> 10 micrometer;
    b.3.b. ``Stored program controlled'' equipment for producing
multiple bonds in a single operation (e.g., beam lead bonders, chip
carrier bonders, tape bonders);
    b.3.c. Semi-automatic or automatic hot cap sealers, in which the
cap is heated locally to a higher temperature than the body of the
package, specially designed for ceramic microcircuit packages
controlled by 3A001 and that have a throughput equal to or more than
one package per minute.

    Note: 3B991.b.3 does not control general purpose resistance type
spot welders.
    b.4. Filters for clean rooms capable of providing an air
environment of 10 or less particles of 0.3 micrometer or smaller per
0.02832 m<SUP>3</SUP> and filter materials therefor;

3B992  Equipment not controlled by 3B002 for the inspection or testing
of electronic components and materials, and specially designed
components and accessories therefor;

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A

[[Page 2510]]

Items: a. Equipment specially designed for the inspection or testing
of electron tubes, optical elements and specially designed
components therefor controlled by 3A001 or 3A991;
    b. Equipment specially designed for the inspection or testing of
semiconductor devices, integrated circuits and ``assemblies'', as
follows, and systems incorporating or having the characteristics of
such equipment:

    Note: 3B992.b also controls equipment used or modified for use
in the inspection or testing of other devices, such as imaging
devices, electro-optical devices, acoustic-wave devices.

    b.1. ``Stored program controlled'' inspection equipment for the
automatic detection of defects, errors or contaminants of 0.6
micrometer or less in or on processed wafers, ``substrates'', other
than printed circuit boards or chips, using optical image
acquisition techniques for pattern comparison;

    Note: 3B992.b.1 does not control general purpose scanning
electron microscopes, except when specially designed and
instrumented for automatic pattern inspection.

    b.2. Specially designed ``stored program controlled'' measuring
and analysis equipment, as follows:
    b.2.a. Specially designed for the measurement of oxygen or
carbon content in semiconductor materials;
    b.2.b. Equipment for line width measurement with a resolution of
1 micrometer or finer;
    b.2.c. Specially designed flatness measurement instruments
capable of measuring deviations from flatness of 10 micrometer or
less with a resolution of 1 micrometer or finer.
    b.3. ``Stored program controlled'' wafer probing equipment
having any of the following characteristics:
    b.3.a. Positioning accuracy finer than 3.5 micrometer;
    b.3.b. Capable of testing devices having more than 68 terminals;
or
    b.3.c. Capable of testing at a frequency exceeding 1 GHz;
    b.4. Test equipment as follows:
    b.4.a. ``Stored program controlled'' equipment specially
designed for testing discrete semiconductor devices and
unencapsulated dice, capable of testing at frequencies exceeding 18
GHz;

    Technical Note: Discrete semiconductor devices include
photocells and solar cells.
    b.4.b. ``Stored program controlled'' equipment specially
designed for testing integrated circuits and ``assemblies'' thereof,
capable of functional testing:
    b.4.b.1. At a pattern rate exceeding 20 MHz; or
    b.4.b.2. At a pattern rate exceeding 10 MHz but not exceeding 20
MHz and capable of testing packages of more than 68 terminals;

    Note: 3B992.b.4.b does not control equipment specially designed
for testing integrated circuits not controlled by 3A001 or 3A991.

    Notes: 1. 3B992.b.4.b does not control test equipment specially
designed for testing ``assemblies'' or a class of ``assemblies'' for
home and entertainment applications.
    2. 3B992.b.4.b does not control test equipment specially
designed for testing electronic components, ``assemblies'' and
integrated circuits not controlled by 3A001 or 3A991 provided such
test equipment does not incorporate computing facilities with ``user
accessible programmability''.
    b.4.c. Equipment specially designed for determining the
performance of focal-plane arrays at wavelengths of more than 1,200
nm, using ``stored program controlled'' measurements or computer
aided evaluation and having any of the following characteristics:
    b.4.c.1. Using scanning light spot diameters of less than 0.12
mm;
    b.4.c.2. Designed for measuring photosensitive performance
parameters and for evaluating frequency response, modulation
transfer function, uniformity of responsivity or noise; or
    b.4.c.3. Designed for evaluating arrays capable of creating
images with more than 32 x 32 line elements;
    b.5. Electron beam test systems, capable of operating at or
below 3,000 eV, for non-contactive probing of powered-up
semiconductor devices having any of the following:
    b.5.a. Stroboscopic capability with either beam blanking or
detector strobing;
    b.5.b. An electron spectrometer for voltage measurements with a
resolution of less than 0.5 V; or
    b.5.c. Electrical tests fixtures for performance analysis of
integrated circuits;

    Note: 3B992.b.5 does not control scanning electron microscopes,
except when specially designed and instrumented for non-contactive
probing of a powered-up semiconductor device.

    b.6. ``Stored program controlled'' multifunctional focused ion
beam systems specially designed for manufacturing, repairing,
physical layout analysis and testing of masks or semiconductor
devices and having either of the following characteristics:
    b.6.a. Target-to-beam position feedback control precision of 1
micrometer or finer; or
    b.6.b. Digital-to-analog conversion accuracy exceeding 12 bit;
    b.7. Particle measuring systems employing ``lasers'' designed
for measuring particle size and concentration in air having both of
the following characteristics:
    b.7.a. Capable of measuring particle sizes of 0.2 micrometer or
less at a flow rate of 0.02832 m\3\ per minute or more; and
    b.7.b. Capable of characterizing Class 10 clean air or better.

C. Materials

3C001  Hetero-epitaxial materials consisting of a ``substrate'' having
stacked epitaxially grown multiple layers of any of the following (see
List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: III/V compounds are polycrystalline or binary
or complex monocrystalline products consisting of elements of groups
IIIA and VA of Mendeleyev's periodic classification table (e.g.,
gallium arsenide, gallium-aluminium arsenide, indium phosphide).
Items: a. Silicon;
     b. Germanium; or
    c. III/V compounds of gallium or indium.

3C002  Resist material and ``substrates'' coated with controlled
resists.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: Silylation techniques are defined as processes
incorporating oxidation of the resist surface to enhance performance
for both wet and dry developing.
Items: a. Positive resists designed for semiconductor lithography
specially adjusted (optimized) for use at wavelengths below 370 nm;
    b. All resists designed for use with electron beams or ion
beams, with a sensitivity of 0.01 <greek-m>coulomb/mm\2\ or better;
    c. All resists designed for use with X-rays, with a sensitivity
of 2.5 mJ/mm\2\ or better;
    d. All resists optimized for surface imaging technologies,
including silylated resists.

3C003  Organo-inorganic compounds, as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: This entry controls only compounds whose metallic,
partly metallic or non-metallic element is directly linked

[[Page 2511]]

to carbon in the organic part of the molecule.
Related Definition: N/A
Items: a. Organo-metallic compounds of aluminium, gallium or indium
having a purity (metal basis) better than 99.999%;
    b. Organo-arsenic, organo-antimony and organo-phosphorus
compounds having a purity (inorganic element basis) better than
99.999%.

3C004  Hydrides of phosphorus, arsenic or antimony, having a purity
better than 99.999%, even diluted in inert gases or hydrogen.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: This entry does not control hydrides containing
less than 20% molar or more of inert gases or hydrogen.
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.

D. Software

3D001  ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 3A001.b to 3A002.g or 3B
(except 3B991 and 3B992).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to ``software'' for           NS Column 1
 equipment controlled by 3A001.b to
 3A001.f, 3A002, and 3B.
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes

List of Items Controlled

Unit: $ value
Related Controls: See also 3D101
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3D002  ``Software'' specially designed for the ``use'' of ``stored
program controlled'' equipment controlled by 3B (except 3B991 and
3B992).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: Yes

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3D003  Computer-aided-design (CAD) ``software'' designed for
semiconductor devices or integrated circuits, having any of the
following (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: Yes

List of Items Controlled

Unit: $ value
Related Controls: This entry does not control ``software'' specially
designed for schematic entry, logic simulation, placing and routing,
layout verification or pattern generation tape.
Related Definitions: (1) Libraries, design attributes or associated
data for the design of semiconductor devices or integrated circuits
are considered as ``technology''. (2) A lithographic processing
simulator is a ``software'' package used in the design phase to
define the sequence of lithographic, etching and deposition steps
for translating masking patterns into specific topographical
patterns in conductors, dielectrics or semiconductor material.
Items: a. Design rules or circuit verification rules;
    b. Simulation of the physically laid out circuits; or
    c. Lithographic processing simulators for design.

3D101  ``Software'' specially designed for the ``use'' of equipment
controlled by 3A101.b.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3D102  ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 3A001.a.1.a or 3A101.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3D980  ``Software'' specially designed for the ``development'',
``production'', or ``use'' of items controlled by 3A980 and 3A981.

License Requirements

Reason for Control: CC, AT


              Control(s)                          Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3D991  ``Software'' specially designed for the ``development'',
``production'', or ``use'' of electronic devices or components
controlled by 3A991, general purpose electronic equipment controlled by
3A992, or manufacturing and test equipment controlled by 3B991 and
3B992.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

[[Page 2512]]

E. Technology

3E001  ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment or materials controlled
by 3A (except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B (except 3B991
and 3B992) or 3C.

License Requirements

Reason for Control: NS, MT, NP, AT


               Control(s)                         Country Chart

NS applies to ``technology'' for items   NS Column 1
 controlled by 3A001, 3A002, 3B001 and
 3B002 or 3C001 to 3C004.
MT applies to ``technology'' for         MT Column 1
 equipment controlled by 3A001 or 3A101
 for MT reasons.
NP applies to ``technology'' for         NP Column 1
 equipment controlled by 3A201, 3A225
 to 3A233 for NP reasons.
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes, except N/A for MT

List of Items Controlled

Unit: N/A
Related Controls: (1) See also 3E101 and 3E201. (2) 3E001 does not
control ``technology'' for the ``development'' or ``production'' of:
(a) Microwave transistors operating at frequencies below 31 GHz; (b)
Integrated circuits controlled by 3A001.a.3 to a.12, having all of
the following: 1. Using ``technology'' of one micrometer or more,
AND 2. Not incorporating multi-layer structures. (3) The term multi-
layer structures in this entry does not include devices
incorporating a maximum of two metal layers and two polysilicon
layers.
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3E002  Other ``technology'' for the ``development'' or ``production''
of items described in the List of Items Controlled.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: Yes

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Vacuum microelectronic devices;
    b. Hetero-structure semiconductor devices such as high electron
mobility transistors (HEMT), hetero-bipolar transistors (HBT),
quantum well and super lattice devices;
    c. ``Superconductive'' electronic devices;
    d. Substrates of films of diamond for electronic components.

3E101  ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 3A001.a.1.a. or
3A101.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3E102  ``Technology'' according to the General Technology Note for the
``development'' of ``software'' controlled by 3D101.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3E201  ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 3A201, 3A225 to 3A233.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3E292  ``Technology'' according to the General Technology Note for the
``development'', ``production'', or ``use'' of equipment controlled by
3A292.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

NP applies to entire entry.............  NP Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3E980  ``Technology'' specially designed for ``development'',
``production'', or ``use'' of items controlled by 3A980 and 3A981.

License Requirements

Reason for Control: CC, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

3E991  ``Technology'' for the ``development'', ``production'', or
``use'' of electronic devices or components controlled by 3A991,
general purpose electronic equipment controlled by 3A992, or
manufacturing and test equipment controlled by 3B991 or 3B992.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

EAR99  Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.

Category 4--Computers

    Note 1: Computers, related equipment and ``software'' performing
telecommunications

[[Page 2513]]

or ``local area network'' functions must also be evaluated against
the performance characteristics of Category 5, Part 1
(Telecommunications).

    N.B. 1: Control units that directly interconnect the buses or
channels of central processing units, ``main storage'' or disk
controllers are not regarded as telecommunications equipment
described in Category 5, Part 1 (Telecommunications).
    N.B. 2: For the control status of ``software'' specially
designed for packet switching, see ECCN 5D001 (Telecommunications).

    Note 2: Computers, related equipment and ``software'' performing
cryptographic, cryptoanalytic, certifiable multi-level security or
certifiable user isolation functions, or that limit electromagnetic
compatibility (EMC), must also be evaluated against the performance
characteristics in Category 5, Part 2 (``Information Security'').

A. Systems, Equipment and Components

4A001  Electronic computers and related equipment, and ``electronic
assemblies'' and specially designed components therefor.

License Requirements

Reason for Control: NS, MT, AT, NP, XP


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
MT applies to items in 4A001.a when the  MT Column 1
 parameters in 4A101 are met or
 exceeded.
AT applies to entire entry.............  AT Column 1


    NP applies to electronic computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. See Sec. 742.3(b) of
the EAR for information on applicable licensing review policies.
    XP applies to electronic computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. XP controls vary
according to destination and end-user and end-use. See Sec. 742.12
of the EAR for additional information.

    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $5000 for 4A001.a; N/A for MT and 4A001.b
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A101 and 4A994. Equipment designed or
rated for transient ionizing radiation is subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. (See 22 CFR part 121.) See also 4A101.
Related Definitions: For the purposes of integrated circuits in
4A001.a.2, 5 x 103 Gy(Si) = 5 x 105 Rads (Si); 5 x 106 Gy (Si)/s = 5
x 108 Rads (Si)/s.
Items: a. Specially designed to have either of the following
characteristics:
    a.1. Rated for operation at an ambient temperature below 228 K
(-45  deg.C) or above 358 K (85  deg.C);

    Note: 4A001.a.1. does not apply to computers specially designed
for civil automobile or railway train applications.
    a.2. Radiation hardened to exceed any of the following
specifications:
    a.2.a. A total dose of 5  x  10 \3\ Gy (Si); or
    a.2.b. A dose rate upset of 5  x  10 \6\ Gy (Si)/s;
    a.2.c. Single Event Upset of 1  x  10 <SUP>-7</SUP> Error/bit/
day;
    b. Having characteristics or performing functions exceeding the
limits in Category 5, Part 2 (``Information Security'').

4A002  ``Hybrid computers'' and ``electronic assemblies'' and specially
designed components therefor.

License Requirements

Reason for Control: NS, MT, AT, NP, XP


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
MT applies to hybrid computers combined  MT Column 1
 with specially designed ``software'',
 for modeling, simulation, or design
 integration of complete rocket systems
 and unmanned air vehicle systems that
 are usable in systems controlled for
 MT reasons.
AT applies to entire entry.............  AT Column 1


    NP applies to hybrid computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. See Sec. 742.3(b) of
the EAR for information on applicable licensing review policies.
    XP applies to hybrid computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. XP controls vary
according to destination and end-user and end-use. See Sec. 742.12
of the EAR for additional information.

License Exceptions

LVS: $5000; N/A for MT
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A102 and 4A994
Related Definitions: N/A
Items: a. Containing ``digital computers'' controlled by 4A003;
    b. Containing analog-to-digital converters having all of the
following characteristics:
    b.1. 32 channels or more; and
    b.2. A resolution of 14 bits (plus sign bit) or more with a
conversion rate of 200,000 conversions/s or more.

4A003  ``Digital computers'', ``electronic assemblies'', and related
equipment therefor, and specially designed components therefor.

License Requirements

Reason for Control: NS, MT, CC, AT, NP, XP


               Control(s)                         Country Chart

NS applies to 4A003.b and .c...........  NS Column 1
NS applies to 4A003.a, d, .e, .f, and    NS Column 2
 .g.
MT applies to digital computers used as  MT Column 1
 ancillary equipment for test
 facilities and equipment that are
 controlled by 9B005 or 9B006.
CC applies to digital computers for      CC Column 1
 computerized finger-print equipment.
AT applies to entire entry (refer to     AT Column 1
 4A994 for controls on digital
 computers with a CTP <gr-thn-eq> 6 but
 <ls-thn-eq> to 2,000 Mtops).


    NP applies to digital computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. See Sec. 742.3(b) of
the EAR for information on applicable licensing review policies.
    XP applies to digital computers with a CTP greater than 2,000
Mtops, unless a License Exception is available. XP controls vary
according to destination and end-user and end-use. See Sec. 742.12
of the EAR for additional information.

    Note: For all destinations, except Cuba, Iran, Iraq, Libya,
North Korea, Sudan, and Syria, no license is required (NLR) for
computers with a CTP of 2,000 Mtops, and for assemblies described in
4A003.c that are not capable of exceeding a CTP of 2,000 Mtops in
aggregation. Computers controlled in this entry for MT reasons are
not eligible for NLR.

    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $5000; N/A for MT and ``digital'' computers controlled by
4A003.b and having a CTP exceeding 10,000 MTOPS; or ``electronic
assemblies'' controlled by 4A003.c and capable of enhancing
performance by aggregation of ``computing elements'' so that the CTP
of the aggregation exceeds 10,000 MTOPS.
GBS: Yes, for 4A003.d, .e, .f, and .g and specially designed
components therefor, exported separately or as part of a system.
CTP: Yes, for computers controlled by 4A003.a, .b and .c, to the
exclusion of other technical parameters, with the exception of
parameters specified as controlled for Missile Technology (MT)
concerns and 4A003.e (equipment performing analog-to-digital or
digital-to-analog conversions exceeding the limits of 3A001.a.5.a).
See Sec. 740.7 of the EAR.
CIV: Yes, for 4A003.d (having a 3-D vector rate less that 10 M
vectors/sec), .e, .f and .g.

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 4A994
Related Definitions: N/A
Items:

    Note 1: 4A003 includes the following:

[[Page 2514]]

    a. Vector processors;
    b. Array processors;
    c. Digital signal processors;
    d. Logic processors;
    e. Equipment designed for ``image enhancement'';
    f. Equipment designed for ``signal processing''.
    Note 2: The control status of the ``digital computers'' and
related equipment described in 4A003 is determined by the control
status of other equipment or systems provided:

    a. The ``digital computers'' or related equipment are essential
for the operation of the other equipment or systems;
    b. The ``digital computers'' or related equipment are not a
``principal element'' of the other equipment or systems; and
    N.B. 1: The control status of ``signal processing'' or ``image
enhancement'' equipment specially designed for other equipment with
functions limited to those required for the other equipment is
determined by the control status of the other equipment even if it
exceeds the ``principal element'' criterion.
    N.B. 2: For the control status of ``digital computers'' or
related equipment for telecommunications equipment, see Category 5,
Part 1 (Telecommunications).
    c. The ``technology'' for the ``digital computers'' and related
equipment is determined by 4E.
    a. Designed or modified for ``fault tolerance'';

    Note: For the purposes of 4A003.a., ``digital computers'' and
related equipment are not considered to be designed or modified for
``fault tolerance'' if they utilize any of the following:

    1. Error detection or correction algorithms in ``main storage'';
    2. The interconnection of two ``digital computers'' so that, if
the active central processing unit fails, an idling but mirroring
central processing unit can continue the system's functioning;
    3. The interconnection of two central processing units by data
channels or by use of shared storage to permit one central
processing unit to perform other work until the second central
processing unit fails, at which time the first central processing
unit takes over in order to continue the system's functioning; or
    4. The synchronization of two central processing units by
``software'' so that one central processing unit recognizes when the
other central processing unit fails and recovers tasks from the
failing unit.
    b. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') exceeding 2,000 million theoretical
operations per second (Mtops);
    c. ``Electronic assemblies'' specially designed or modified to
be capable of enhancing performance by aggregation of ``computing
elements'' (``CEs'') so that the ``CTP'' of the aggregation exceeds
the limit in 4A003.b.;

    Note 1: 4A003.c applies only to ``electronic assemblies'' and
programmable interconnections not exceeding the limit in 4A003.b.
when shipped as unintegrated ``electronic assemblies''. It does not
apply to ``electronic assemblies'' inherently limited by nature of
their design for use as related equipment controlled by 4A003.d,
4A003.e or 4A003.f.

    Note 2: 4A003.c does not control ``electronic assemblies''
specially designed for a product or family of products whose maximum
configuration does not exceed the limit of 4A003.b.

    d. Graphics accelerators and graphics coprocessors exceeding a
``three dimensional Vector Rate'' of 3,000,000;
    e. Equipment performing analog-to-digital conversions exceeding
the limits in 3A001.a.5;
    f. Equipment containing ``terminal interface equipment''
exceeding the limits in 5A001.b.3;

    Note: For the purposes of 4A003.f, ``terminal interface
equipment'' includes ``local area network'' interfaces and other
communications interfaces. ``Local area network'' interfaces are
evaluated as ``network access controllers''.

    g. Equipment specially designed to provide external
interconnection of ``digital computers'' or associated equipment
that allows communications at data rates exceeding 80 Mbyte/s.

    Note: 4A003.g does not control internal interconnection
equipment (e.g., backplanes, buses) or passive interconnection
equipment.

4A004  Computers, as follows (see List of Items Controlled) and
specially designed related equipment, ``electronic assemblies'' and
components therefor.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $5000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Systolic array computers'';
    b. ``Neural computers'';
    c. ``Optical computers''.

4A101  Analog computers, ``digital computers'' or digital differential
analyzers, other than those controlled by 4A001 designed or modified
for use in ``missiles'', having any of the following (see List of Items
Controlled).

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Rated for continuous operation at temperatures from below
228 K (-45 deg. C) to above 328 K (+55 deg. C); or
    b. Designed as ruggedized or ``radiation hardened''.

4A102  ``Hybrid computers'' specially designed for modelling,
simulation or design integration of ``missiles''. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)

4A980  Computers for fingerprint equipment, n.e.s.

License Requirements

Reason for Control: CC, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

4A994  Computers, ``electronic assemblies'', and related equipment not
controlled by 4A001, 4A002, or 4A003, and specially designed components
therefor.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Electronic computers and related equipment, and
``electronic assemblies'' and specially designed components
therefor, rated for operation at an ambient temperature above 343 K
(70 deg. C);
    b. ``Digital computers'' having a ``composite theoretical
performance'' (``CTP'') equal to or greater than 6 million
theoretical operations per second (Mtops);
    c. ``Assemblies'' not controlled by 4A003 that are specially
designed or modified to enhance performance by aggregation of
``computing elements'' (``Ces''), as follows:
    c.1. Designed to be capable of aggregation in configurations of
16 or more ``computing elements'' (``Ces''); or

[[Page 2515]]

    c.2. Having a sum of maximum data rates on all channels
available for connection to associated processors exceeding 40
million Bytes/s;

    Note 1: 4A994.c applies only to ``electronic assemblies'' and
programmable interconnections with a ``CTP'' not exceeding the
limits in 4A994.b, when shipped as unintegrated ``electronic
assemblies''. It does not apply to ``electronic assemblies''
inherently limited by nature of their design for use as related
equipment controlled by 4A994.
    Note 2: 4A994.c does not control any ``electronic assembly''
specially designed for a product or family of products whose maximum
configuration does not exceed the limits of 4A994.b.

    d. Disk drives and solid state storage equipment:
    d.1. Magnetic, erasable optical or magneto-optical disk drives
with a ``maximum bit transfer rate'' exceeding 25 million bit/s;
    d.2. Solid state storage equipment, other than ``main storage''
(also known as solid state disks or RAM disks), with a ``maximum bit
transfer rate'' exceeding 36 million bit/s;
    e. Input/output control units designed for use with equipment
controlled by 4A994.d;
    f. Equipment for ``signal processing'' or ``image enhancement'',
not controlled by 4A003, having a ``composite theoretical
performance'' (``CTP'') exceeding 8.5 million theoretical operations
per second (Mtops);
    g. Graphics accelerators or graphics coprocessors, not
controlled by 4A003, that exceeds a ``3-D vector rate'' of 400,000
or, if supported by 2-D vectors only, a ``2-D vector rate'' of
600,000;

    Note: The provisions of 4A994.g do not apply to work stations
designed for and limited to:

    a. Graphic arts (e.g., printing, publishing); and
    b. The display of two-dimensional vectors.
    h. Color displays or monitors having more than 120 resolvable
elements per cm in the direction of the maximum pixel density;

    Note 1: 4A994.h does not control displays or monitors not
specially designed for electronic computers.
    Note 2: Displays specially designed for air traffic control
(ATC) systems are treated as specially designed components for ATC
systems under Category 6.

    i. Equipment containing ``terminal interface equipment''
exceeding the limits in 5A991.

    Note: For the purposes of 4A994.i, ``terminal interface
equipment'' includes ``local area network'' interfaces, modems and
other communications interfaces. ``Local area network'' interfaces
are evaluated as ``network access controllers''.

B. Test, Inspection and Production Equipment

4B994  Equipment for the ``development'' and ``production'' of magnetic
and optical storage equipment.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: This entry does not control general-purpose
sputtering equipment.
Related Definition: N/A
Items: a. Equipment specially designed for the application of
magnetic coating to controlled non-flexible (rigid) magnetic or
magneto-optical media;
    b. ``Stored program controlled'' equipment specially designed
for monitoring, grading, exercising or testing controlled rigid
magnetic media;
    c. Equipment specially designed for the ``production'' or
alignment of heads or head/disk assemblies for controlled rigid
magnetic and magneto-optical storage, and electro-mechanical or
optical components therefor.

C. Materials

4C994  Materials specially formulated for and required for the
fabrication of head/disk assemblies for controlled magnetic and
magneto-optical hard disk drives.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

D. Software

    Note: The control status of ``software'' for the
``development'', ``production'', or ``use'' of equipment described
in other Categories is dealt with in the appropriate Category. The
control status of ``software'' for equipment described in this
Category is dealt with herein.

4D001  ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or ``software''
controlled by 4A001 to 4A004, or 4D (except 4D993 or 4D994).

License Requirements

Reason for Control: NS, MT, CC, AT, NP, XP


               Control(s)                         Country Chart

NS applies to ``software'' for           NS Column 1
 equipment controlled by 4A001 to
 4A004, 4D001 to 4D003.
MT applies to ``software'' for           MT Column 1
 equipment controlled by 4A001 to 4A003
 for MT reasons.
CC applies to ``software'' for           CC Column 1
 equipment controlled by 4A003 for CC
 reasons.
AT applies to entire entry.............  AT Column 1


    NP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
    XP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.

    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes, except N/A for MT and for ``software'' for equipment or
``software'' requiring a license and except for ``software''
specially designed for the ``development'', or ``production'' of
equipment controlled as follows, for exports and reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: (a)
``Digital'' computers controlled by 4A003.b and having a CTP
exceeding 10,000 MTOPS; or (b) ``Electronic assemblies'' controlled
by 4A003.c and capable of enhancing performance by aggregation of
``computing elements'' so that the CTP of the aggregation exceeds
10,000 MTOPS.

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

4D002  ``Software'' specially designed or modified to support
``technology'' controlled by 4E (except 4E980, 4E992, and 4E993).

License Requirements

Reason for Control: NS, MT, AT, NP, XP


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 1
MT applies to ``software'' for           MT Column 1
 equipment controlled by 4E for MT
 reasons.
AT applies to entire entry.............  AT Column 1


    NP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
    XP applies to ``software'' for computers with a CTP greater than
2,000 Mtops, unless

[[Page 2516]]

a License Exception is available. See Sec. 742.3(b) of the EAR for
information on applicable licensing review policies.

License Exceptions

CIV: N/A
TSR: Yes, except N/A for MT and for ``software'' specifically
designed or modified to support ``technology'' for computers
requiring a license.

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

4D003  Specific ``software'', as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exception.

    License Exceptions

CIV: N/A
TSR: Yes, except 4D003.c

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Operating system ``software'', ``software'' development
tools and compilers specially designed for ``multi-data-stream
processing'' equipment, in ``source code'';
    b. ``Expert systems'' or ``software'' for ``expert system''
inference engines providing both:
    b.1. Time dependent rules; and
    b.2. Primitives to handle the time characteristics of the rules
and the facts;
    c. ``Software'' having characteristics or performing functions
exceeding the limits in Category 5, Part 2 (``Information
Security'');
    d. Operating systems specially designed for ``real time
processing'' equipment that guarantees a ``global interrupt latency
time'' of less than 20 <greek-m>s.

4D102  ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
4A101.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

4D980  ``Software'' specially designed for the ``development'',
``production'', or ``use'' of items controlled by 4A980.

License Requirements

Reason for Control: CC, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

4D993  ``Program'' proof and validation ``software'', ``software''
allowing the automatic generation of ``source codes'', and operating
system ``software'' not controlled by 4D003 that are specially designed
for real time processing equipment.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Program'' proof and validation ``software'' using
mathematical and analytical techniques and designed or modified for
``programs'' having more than 500,000 ``source code'' instructions;
    b. ``Software'' allowing the automatic generation of ``source
codes'' from data acquired on line from external sensors described
in the Commerce Control List;
    c. Operating system ``software'' not controlled by 4D003 that
are specially designed for ``real time processing'' equipment that
guarantees a ``global interrupt latency time'' of less than 30
microseconds.

4D994  ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of equipment controlled by
4A994, 4B994 and materials controlled by 4C994.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

E. Technology

4E001  ``Technology'' according to the General Technology Note, for the
``development'', ``production'' or ``use'' of equipment or ``software''
controlled by 4A or 4D (except 4A980, 4A993 or 4A994).

License Requirements

Reason for Control: NS, MT, CC, AT, NP, XP


               Control(s)                         Country Chart

NS applies to ``technology'' for         NS Column 1
 equipment controlled by 4A001 to
 4A004, 4D001 to 4D003.
MT applies to ``technology'' for items   MT Column 1
 controlled by 4A001 to 4A003, 4A101,
 4D001, 4D102 or 4D002 for MT reasons.
CC applies to ``technology'' for         CC Column 1
 equipment controlled by 4A003 for CC
 reasons.
AT applies to entire entry.............  AT Column 1


    NP applies to ``technology'' for computers with a CTP greater
than 2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.
    XP applies to ``technology'' for computers with a CTP greater
than 2,000 Mtops, unless a License Exception is available. See
Sec. 742.3(b) of the EAR for information on applicable licensing
review policies.

    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes for ``technology'' directly related for hardware under a
License Exception. N/A for MT and for ``technology'' for the
``development'' or ``production'' of equipment or ``software'' for
export and reexport to destinations outside of Austria, Belgium,
Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy,
Luxembourg, the Netherlands, Portugal, Spain, Sweden, or the United
Kingdom of ``technology'' for: (a) ``Digital'' computers controlled
by 4A003.b and having a CTP exceeding 10,000 MTOPS; or (b)
``Electronic assemblies'' controlled by 4A003.c and capable of
enhancing performance by aggregation of ``computing elements'' so
that the CTP of the aggregation exceeds 10,000 MTOPS.

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

4E980  ``Technology'' for the ``development'', ``production'', or
``use'' of items controlled by 4A980.

License Requirements

[[Page 2517]]

Reason for Control: CC, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

4E992  ``Technology'' for the ``development'', ``production'', or
``use'' of equipment controlled by 4A994 and 4B994, materials
controlled by 4C994, or ``software'' controlled by 4D993 or 4D994.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: See also 4E994
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

4E993  Other ``Technology'' for the ``development'' or ``production''
of graphics accelerators or equipment designed for ``multi-data-stream
processing'' and ``technology'' ``required'' for the ``development'' or
``production'' of magnetic hard disk drives.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'' or ``production''
of graphics accelerators;
    b. ``Technology'', for the ``development'' or ``production'' of
equipment designed for ``multi-data-stream processing'';
    c. ``Technology'', ``required'' for the ``development'' or
``production'' of magnetic hard disk drives with a ``maximum bit
transfer rate'' (``MBTR'') exceeding 11 Mbit/s.

EAR99  Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.

    Technical Note: ``COMPOSITE THEORETICAL PERFORMANCE'' (``CTP'').

Abbreviations used in this Technical Note

``CE''  ``computing element'' (typically an arithmetic logical unit)
FP  floating point
XP  fixed point
t  execution time
XOR  exclusive OR
CPU  central processing unit
TP  theoretical performance (of a single ``CE'')
``CTP''  ``composite theoretical performance'' (multiple ``CEs'')
R  effective calculating rate
WL  word length
L  word length adjustment
*  multiply

    Execution time t is expressed in microseconds, TP and ``CTP''
are expressed in millions of theoretical operations per second
(Mtops) and WL is expressed in bits.

Outline of ``CTP'' Calculation Method

    ``CTP'' is a measure of computational performance given in
Mtops. In calculating the ``CTP'' of an aggregation of ``CEs'' the
following three steps are required:
    1. Calculate the effective calculating rate R for each ``CE'';
    2. Apply the word length adjustment (L) to the effective
calculating rate (R), resulting in a Theoretical Performance (TP)
for each ``CE'';
    3. If there is more than one ``CE'', combine the TPs, resulting
in a ``CTP'' for the aggregation.
    Details for these steps are given in the following sections.

    Note 1: For aggregations of multiple ``CEs'' that have both
shared and unshared memory subsystems, the calculation of ``CTP'' is
completed hierarchically, in two steps: first, aggregate the groups
of ``CEs'' sharing memory; second, calculate the ``CTP'' of the
groups using the calculation method for multiple ``CEs'' not sharing
memory.
    Note 2: ``CEs'' that are limited to input/output and peripheral
functions (e.g., disk drive, communication and video display
controllers) are not aggregated into the ``CTP'' calculation.

    The following table shows the method of calculating the
Effective Calculating Rate R for each ``CE'':
    Step 1: The effective calculating rate R

------------------------------------------------------------------------
                                          Effective calculating Rate, R
------------------------------------------------------------------------
XP only................................  1<divide>3 * (t<INF>xp <INF>add), if no
                                          add is implemented use:
(R<INF>xp)..................................  1<divide> (t<INF>xp <INF>mult) If neither
                                          add nor multiply is
                                          implemented use the fastest
                                          available arithmetic operation
                                          as follows: 1<divide>3 * t<INF>xp.
                                          See Notes X & Z.
FP only (R<INF>fp)..........................  max 1<divide>t<INF>fp <INF>add,
                                          1<divide>t<INF>fp <INF>mult, See Notes X
                                          & Y.
Both FP and XP (R).....................  Calculate both R<INF>xp, R<INF>fp.
For simple logic processors not          1<divide>3 * t<INF>log. Where t<INF>log
 implementing any of the specified        is the execute time of the
 arithmetic operations.                   XOR, or for logic hardware not
                                          implementing the XOR, the
                                          fastest simple logic
                                          operation. See Notes X & Z.
For special logic processors not using   R = R' * WL/64. Where R' is the
 any of the specified arithmetic or       number of results per second,
 logic operations.                        WL is the number of bits upon
                                          which the logic operation
                                          occurs, and 64 is a factor to
                                          normalize to a 64 bit
                                          operation.
------------------------------------------------------------------------

    Note W: For a pipelined ``CE'' capable of executing up to one
arithmetic or logic operation every clock cycle after the pipeline
is full, a pipelined rate can be established. The effective
calculating rate (R) for such a ``CE'' is the faster of the
pipelined rate or non-pipelined execution rate.
    Note X: For a ``CE'' that performs multiple operations of a
specific type in a single cycle (e.g., two additions per cycle or
two identical logic operations per cycle), the execution time t is
given by:
[GRAPHIC] [TIFF OMITTED] TR15JA98.000

    ``CEs'' that perform different types of arithmetic or logic
operations in a single machine cycle are to be treated as multiple
separate ``CEs'' performing simultaneously (e.g., a ``CE''
performing an addition and a multiplication in one cycle is to be
treated as two ``CEs'', the first performing an addition in one
cycle and the second performing a multiplication in one cycle). If a
single ``CE'' has both scalar function and vector function, use the
shorter execution time value.

    Note Y: For the ``CE'' that does not implement FP add or FP
multiply, but that performs FP divide:

[[Page 2518]]

[GRAPHIC] [TIFF OMITTED] TR15JA98.001

    If the ``CE'' implements FP reciprocal but not FP add, FP
multiply or FP divide, then
[GRAPHIC] [TIFF OMITTED] TR15JA98.002

    If none of the specified instructions is implemented, the
effective FP rate is 0.

    Note Z: In simple logic operations, a single instruction
performs a single logic manipulation of no more than two operands of
given lengths. In complex logic operations, a single instruction
performs multiple logic manipulations to produce one or more results
from two or more operands.
    Rates should be calculated for all supported operand lengths
considering both pipelined operations (if supported), and non-
pipelined operations using the fastest executing instruction for
each operand length based on:
    1. Pipelined or register-to-register operations. Exclude
extraordinarily short execution times generated for operations on a
predetermined operand or operands (for example, multiplication by 0
or 1). If no register-to-register operations are implemented,
continue with (2).
    2. The faster of register-to-memory or memory-to-register
operations; if these also do not exist, then continue with (3).
    3. Memory-to-memory.
    In each case above, use the shortest execution time certified by
the manufacturer.
    Step 2: TP for each supported operand length WL.
    Adjust the effective rate R (or R') by the word length
adjustment L as follows:

TP = R * L, where L = (1/3 + WL/96)

    Note: The word length WL used in these calculations is the
operand length in bits. (If an operation uses operands of different
lengths, select the largest word length.) The combination of a
mantissa ALU and an exponent ALU of a floating point processor or
unit is considered to be one ``CE'' with a Word Length (WL) equal to
the number of bits in the data representation (typically 32 or 64)
for purposes of the ``CTP'' calculation.

    This adjustment is not applied to specialized logic processors
that do not use XOR instructions. In this case TP = R.
    Select the maximum resulting value of TP for:

Each XP-only ``CE'' (R<INF>xp</INF>);
Each FP-only ``CE'' (R<INF>fp</INF>);
Each combined FP and XP ``CE'' (R);
Each simple logic processor not implementing any of the specified
arithmetic operations; and
Each special logic processor not using any of the specified
arithmetic or logic operations.

    Step 3: ``CTP'' for aggregations of ``CEs'', including CPUs.
    For a CPU with a single ``CE'', ``CTP'' = TP (for ``CEs''
performing both fixed and floating point operations TP = max
(TP<INF>fp</INF>, TP<INF>xp</INF>))
    ``CTP'' for aggregations of multiple ``CEs'' operating
simultaneously is calculated as follows:

    Note 1: For aggregations that do not allow all of the ``CEs'' to
run simultaneously, the possible combination of ``CEs'' that
provides the largest ``CTP'' should be used. The TP of each
contributing ``CE'' is to be calculated at its maximum value
theoretically possible before the ``CTP'' of the combination is
derived.
    N.B.: To determine the possible combinations of simultaneously
operating ``CEs'', generate an instruction sequence that initiates
operations in multiple ``CEs'', beginning with the slowest ``CE''
(the one needing the largest number of cycles to complete its
operation) and ending with the fastest ``CE''. At each cycle of the
sequence, the combination of ``CEs'' that are in operation during
that cycle is a possible combination. The instruction sequence must
take into account all hardware and/or architectural constraints on
overlapping operations.

    Note 2: A single integrated circuit chip or board assembly may
contain multiple ``CEs''.
    Note 3: Simultaneous operations are assumed to exist when the
computer manufacturer claims concurrent, parallel or simultaneous
operation or execution in a manual or brochure for the computer.
    Note 4: ``CTP'' values are not to be aggregated for ``CE''
combinations (inter) connected by ``Local Area Networks'', Wide Area
Networks, I/O shared connections/devices, I/O controllers and any
communication interconnection implemented by ``software''.
    Note 5: ``CTP'' values must be aggregated for multiple ``CEs''
specially designed to enhance performance by aggregation, operating
simultaneously and sharing memory,--or multiple memory/''CE''--
combinations operating simultaneously utilizing specially designed
hardware.

    This aggregation does not apply to ``electronic assemblies''
described by 4A003.d.

``CTP''=TP<INF>1</INF>+C<INF>2</INF> * TP<INF>2</INF>+* *
*+C<INF>n</INF> * TP<INF>n</INF>,

where the TPs are ordered by value, with TP<INF>1</INF> being the
highest, TP<INF>2</INF> being the second highest, * * *, and
TP<INF>n</INF> being the lowest. C<INF>i</INF> is a coefficient
determined by the strength of the interconnection between ``CEs'',
as follows:
    For multiple ``CEs'' operating simultaneously and sharing
memory:

C<INF>2</INF>=C<INF>3</INF>=C<INF>4</INF>=* * *=C<INF>n</INF>=0.75

    Note 1: When the ``CTP'' calculated by the above method does not
exceed 194 Mtops, the following formula may be used to calculate
C<INF>i</INF>:
[GRAPHIC] [TIFF OMITTED] TR15JA98.003

where m=the number of ``CEs'' or groups of ``CEs'' sharing access.
    Provided:
    1. The TP<INF>1</INF> 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</INF>=0.75 * k<INF>i</INF> (i=2, * * *  , 32) (see Note
below)
    =0.60 * k<INF>i</INF> (i=33, * * *, 64)
    =0.45 * k<INF>i</INF> (i=65, * * *, 256)
    =0.30 * k<INF>i</INF> (i >256)
    The value of C<INF>i</INF> is based on the number of ``CE''s,
not the number of nodes.

where
    k<INF>i</INF>=min (S<INF>i</INF>/K<INF>r</INF>, 1), and
    K<INF>r</INF>=normalizing factor of 20 MByte/s.
    S<INF>i</INF>=sum of the maximum data rates (in units of MByte/
s) for all data channels connected to the i<SUP>th</SUP> ``CE'' or
group of ``CEs'' sharing memory.

    When calculating a C<INF>i</INF> for a group of ``CEs'', the
number of the first ``CE'' in a group determines the proper limit
for C<INF>i</INF>. For example, in an aggregation of groups
consisting of 3 ``CEs'' each, the 22nd group will contain
``CE''<INF>64</INF>, ``CE''<INF>65</INF> and ``CE''<INF>66</INF>.
The proper limit for C<INF>i</INF> for this group is 0.60.
    Aggregation (of ``CEs'' or groups of ``CEs'') should be from the
fastest-to-slowest; i.e.:

TP<INF>1</INF> <gr-thn-eq>TP<INF>2</INF><gr-thn-eq> * * * .
>TP<INF>n</INF>, and

in the case of TP<INF>i</INF>=TP<INF>i</INF>+<INF>1</INF>, from the
largest to smallest; i.e.:

    C<INF>i</INF> <gr-thn-eq> C<INF>i</INF>+<INF>1</INF>

    Note: The k<INF>i</INF> factor is not to be applied to ``CEs'' 2
to 12 if the TP<INF>i</INF> of the ``CE'' or group of ``CEs'' is
more than 50 Mtops; i.e., C<INF>i</INF> for ``CEs'' 2 to 12 is 0.75.

Category 5--Telecommunications and ``Information Security''

I. Telecommunications

    Notes: 1. The control status of components, ``lasers'', test and
``production'' equipment, materials and ``software'' therefor which
are specially designed for telecommunications equipment or systems
is determined in Category 5, Part 1.
    2. ``Digital computers'', related equipment or ``software'',
when essential for the operation and support of telecommunications
equipment described in this Category, are regarded as specially
designed components, provided they are the standard models
customarily supplied by the manufacturer. This includes operation,
administration, maintenance, engineering or billing computer
systems.

A. Systems, Equipment and Components

5A001  Telecommunications systems, equipment, and components.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to 5A001.a..................  NS Column 1
NS applies to 5A001.b, .c, .d, or .e...  NS Column 2

[[Page 2519]]


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


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: N/A for 5A001.a and b.9;
$5000 for 5A001.b.1 to b.8 and b.10, .c, and .e
$3000 for 5A001.d
GBS: Yes, except 5A001.a and b.9
CIV: Yes, except 5A001.a, b.8, and b.9

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 5A101 and 5A991
Related Definitions: N/A
Items: a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
    a.1. Specially designed to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
    a.2. Specially hardened to withstand gamma, neutron or ion
radiation; or
    a.3. Specially designed to operate outside the temperature range
from 218 K (-55 deg.C) to 397 K (124 deg.C).

    Note: 5A001.a.3 applies only to electronic equipment.
    Note: 5A001.a.2 and 5A001.a.3 do not apply to equipment on board
satellites.

    b. Telecommunication transmission equipment and systems, and
specially designed components and accessories therefor, having any
of the following characteristics, functions or features:

    Note: Telecommunication transmission equipment:
    a. Categorized as follows, or combinations thereof:
    1. Radio equipment (e.g., transmitters, receivers and
transceivers);
    2. Line terminating equipment;
    3. Intermediate amplifier equipment;
    4. Repeater equipment;
    5. Regenerator equipment;
    6. Translation encoders (transcoders);
    7. Multiplex equipment (statistical mutiplex included);
    8. Modulators/demodulators (modems);
    9. Transmultiplex equipment (see CCITT Rec. G701);
    10. ``Stored program controlled'' digital crossconnection
equipment;
    11. ``Gateways'' and bridges;
    12. ``Media access units''; and
    b. Designed for use in single or multi-channel communication via
any of the following:
    1. Wire (line);
    2. Coaxial cable;
    3. Optical fiber cable;
    4. Electromagnetic radiation; or
    5. Underwater acoustic wave propagation.
    b.1. Employing digital techniques, including digital processing
of analog signals, and designed to operate at a ``digital transfer
rate'' at the highest multiplex level exceeding 45 Mbit/s or a
``total digital transfer rate'' exceeding 90 Mbit/s;

    Note: 5A001.b.1 does not control equipment specially designed to
be integrated and operated in any satellite system for civil use.

    b.2. Being underwater communications systems having any of the
following characteristics:
    b.2.a. An acoustic carrier frequency outside the range from 20
kHz to 60 kHz;
    b.2.b. Using an electromagnetic carrier frequency below 30 kHz;
or
    b.2.c. Using electronic beam steering techniques;
    b.3. Being equipment containing any of the following:
    b.3.a. ``Network access controllers'' and their related common
medium having a ``digital transfer rate'' exceeding 156 Mbit/s; or
    b.3.b. ``Communication channel controllers'' with a digital
output having a ``data signalling rate'' exceeding 2.1 Mbit/s per
channel;

    Note: If any uncontrolled equipment contains a ``network access
controller'', it cannot have any type of telecommunications
interface, except those described in, but not controlled by
5A001.b.3.

    b.4. Employing a ``laser'' and having any of the following
characteristics:
    b.4.a. A transmission wavelength exceeding 1,000 nm; or
    b.4.b. Employing analog techniques and having a bandwidth
exceeding 45 MHz;

    Note: 5A001.b.4.b does not control commercial TV systems.

    b.4.c. Employing coherent optical transmission or coherent
optical detection techniques (also called optical heterodyne or
homodyne techniques);
    b.4.d. Employing wavelength division multiplexing techniques; or
    b.4.e. Performing ``optical amplification'';
    b.5. Being radio equipment operating at input or output
frequencies exceeding 31 GHz;

    Note: 5A001.b.5 does not control equipment designed or modified
for operation in any ITU allocated band.

    b.6. Being radio equipment employing any of the following:
    b.6.a. Quadrature-amplitude-modulation (QAM) techniques above
level 4 if the ``total digital transfer rate'' exceeds 8.5 Mbit/s;
    b. QAM techniques above level 16 if the ``total digital transfer
rate'' is equal to or less than 8.5 Mbit/s; or
    c. Other digital modulation techniques and having a ``spectral
efficiency'' exceeding 3 bit/sec/Hz;

    Notes: 1. 5A001.b.6 does not control equipment specially
designed to be integrated and operated in any satellite system for
civil use.02
    2. 5A001.b.6 does not control radio relay equipment for
operation in an ITU allocated band:
    a. Having any of the following:
    a.1. Not exceeding 960 MHz; or
    a.2. With a ``total digital transfer rate'' not exceeding 8.5
Mbit/s; and
    b. Having a ``spectral efficiency'' not exceeding 4 bit/sec/Hz.
    b.7. Being radio equipment operating in the 1.5 MHz to 87.5 MHz
band and having any of the following characteristics:
    b.7.a. Incorporating adaptive techniques providing more than 15
dB suppression of an interfering signal; or
    b.7.b. Having all of the following:
    b.7.b.1. Automatically predicting and selecting frequencies and
``total digital transfer rates'' per channel to optimize the
transmission; and
    b.7.b.2. Incorporating a linear power amplifier configuration
having a capability to support multiple signals simultaneously at an
output power of 1 kW or more in the 1.5 MHz to 30 MHz frequency
range or 250 W or more in the 30 MHz to 87.5 MHz frequency range,
over an ``instantaneous bandwidth'' of one octave or more and with
an output harmonic and distortion content of better than -80 dB;
    b.8. Being radio equipment employing ``spread spectrum'' or
``frequency agility'' (frequency hopping) techniques having any of
the following characteristics:
    b.8.a. User programmable spreading codes; or
    b.8.b. A total transmitted bandwidth which is 100 or more times
the bandwidth of any one information channel and in excess of 50
kHz;

    Note: 5A001.b.8.b does not control cellular radio equipment
operating in civil bands.

    Note: 5A001.b.8 does not control equipment operating at an
output power of 1.0 Watt or less.

    b.9. Being digitally controlled radio receivers having all of
the following:
    b.9.a. More than 1,000 channels;
    b.9.b. A ``frequency switching time'' of less than 1 ms;
    b.9.c. Automatic searching or scanning of a part of the
electromagnetic spectrum; and
    b.9.d. Identification of the received signals or the type of
transmitter; or

    Note: 5A001.b.9 does not control cellular radio equipment
operating in civil bands.

    b.10. Employing functions of digital ``signal processing'' to
provide voice coding at rates of less than 2,400 bit/s.
    c. ``Stored program controlled'' switching equipment and related
signalling systems, having any of the following characteristics,
functions or features, and specially designed components and
accessories therefor:

    Note: Statistical multiplexers with digital input and digital
output which provide switching are treated as ``stored program
controlled'' switches.

    c.1. ``Common channel signalling'' operating in either non-
associated or quasi-associated mode of operation;
    c.2. ``Dynamic adaptive routing'';

    Note: 5A001.c.2 does not control packet switches or routers with
ports or lines not exceeding the limits in 5A001.c.3.

    c.3. Being packet switches, circuit switches and routers with
ports or lines exceeding any of the following:
    c.3.a. A ``data signalling rate'' of 2.1 Mbit/s per channel for
a ``communications channel controller''; or

    Note: 5A001.c.3.a does not control multiplexed composite links
composed only of communication channels not individually controlled
by 5A001.c.3.a.

[[Page 2520]]

    c.3.b. A ``digital transfer rate'' of 156 Mbit/s for a ``network
access controller'' and related common medium;
    c.4. ``Optical switching'';
    c.5. Employing ``Asynchronous Transfer Mode'' (``ATM'')
techniques.
    d. Optical fiber communication cables, optical fibers and
accessories, as follows:
    d.1. Optical fibers and optical fiber cables of more than 50 m
in length having any of the following characteristics:
    d.1.a. Designed for single mode operation; or
    d.1.b. For optical fibers, specified by the manufacturer as
being capable of withstanding a proof test tensile stress of
2 x 10\9\ N/m\2\ or more;

    Technical Note: Proof Test: on-line or off-line production
screen testing that dynamically applies a prescribed tensile stress
over a 0.5 to 3 m length of fiber at a running rate of 2 to 5 m/s
while passing between capstans approximately 150 mm in diameter. The
ambient temperature is a nominal 293 K (20 deg. C) and relative
humidity 40%.

    N.B.: Equivalent national standards may be used for executing
the proof test.
    d.2. Optical fiber cables and accessories designed for
underwater use.

    Note: 5A001.d.2 does not control standard civil
telecommunication cables and accessories.

    N.B.: For fiber-optic hull penetrators or connectors, see
8A002.c.
    e. ``Electronically steerable phased array antennae'' operating
above 31 GHz.

    Note: 5A001.e does not control ``electronically steerable phased
array antennae'' for landing systems with instruments meeting ICAO
standards covering microwave landing systems (MLS).

5A101  Telemetering and telecontrol equipment usable for ``missiles''.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

5A980  Communications intercepting devices; and parts and accessories
therefor.

License Requirements

Reason for Control: Controls on equipment described in this entry
are maintained in accordance with the Omnibus Crime Control and Safe
Streets Act of 1968 (Public Law 90-351). A license is required for
ALL destinations, regardless of end-use. Accordingly, a column
specific to this control does not appear on the Commerce Country
Chart. (See Sec. 742.13 of the EAR for additional information on the
scope of this control.)

    Note: These items are subject to the United Nations Security
Council arms embargo against Rwanda described in Sec. 746.8 of the
EAR.

License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

5A991  Telecommunication equipment, not controlled by 5A001.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Any type of telecommunications equipment, not controlled
by 5A001.a, specially designed to operate outside the temperature
range from 219 K (-54 deg. C) to 397 K (124 deg. C).
    b. Transmission equipment, as follows:
    b.1. Modems using the ``bandwidth of one voice channel'' with a
``data signalling rate'' exceeding 9,600 bits per second;
    b.2. ``Communication channel controllers'' with a digital output
having a ``data signalling rate'' exceeding 64,000 bit/s per
channel; or
    b.3. ``Network access controller'' and their related common
medium having a ``digital transfer rate'' exceeding 33 Mbit/s.
    b.4. Being ``stored program controlled'' digital cross connect
equipment with ``digital transfer rate'' exceeding 8.5 Mbit/s per
port.
    b.5. Radio equipment operating at input or output frequencies
exceeding:
    b.5.1. 31 GHz for satellite-earth station applications; or
    b.5.2. 26.5 GHz for other applications;

    Note: 5A991.b.5. does not control equipment for civil use when
conforming with an International Telecommunications Union (ITU)
allocated band between 26.5 GHz and 31 GHz.

    b.6. Providing functions of digital ``signal processing'' as
follows:
    b.6.a. Voice coding at rates less than 2,400 bit/s;
    b.6.b. Employing circuitry that incorporates ``user-accessible
programmability'' of digital ``signal processing'' circuits
exceeding the limits of 4A003.b.
    c. ``Stored program controlled'' switching equipment and related
signalling systems as follows:
    c.1. ``Data (message) switching'' equipment or systems designed
for ``packet-mode operation'' and assemblies and components
therefor, n.e.s.
    c.2. Containing ``Integrated Services Digital Network'' (ISDN)
functions and having any of the following:
    c.2.a. Switch-terminal (e.g., subscriber line) interfaces with a
``digital transfer rate'' at the highest multiplex level exceeding
192,000 bit/s, including the associated signalling channel (e.g.,
2B+D); or
    c.2.b. The capability that a signalling message received by a
switch on a given channel that is related to a communication on
another channel may be passed through to another switch.

    Note: 5A991.b. does not preclude the evaluation and appropriate
actions taken by the receiving switch or unrelated user message
traffic on a D channel of ISDN.

    c.3. Routing or switching of ``datagram'' packets;
    c.4. Routing or switching of ``fast select'' packets;

    Note: The restrictions in 5A991.c.3 and c.4 do not apply to
networks restricted to using only ``network access controllers'' or
to ``network access controllers'' themselves.

    c.5. Multi-level priority and pre-emption for circuit switching;

    Note: 5A991.c.5. does not control single-level call preemption.

    c.6. Designed for automatic hand-off of cellular radio calls to
other cellular switches or automatic connection to a centralized
subscriber data base common to more than one switch;
    c.7. Containing ``stored program controlled'' digital
crossconnect equipment with ``digital transfer rate'' exceeding 8.5
Mbit/s per port.
    c.8. Being packet switches, circuit switches and routers with
ports or lines exceeding any of the following:
    c.8.a. A ``data signalling rate'' of 64,000 bit/s per channel
for a ``communications channel controller''; or

    Note: 5A991.c.8.a. does not control multiplex composite links
composed only of communication channels not individually controlled
by 5A001.b.1.

    c.8.b. A ``digital transfer rate'' of 33 Mbit/s for a ``network
cess controller'' and related common media;
    d. Centralized network control having all of the following
characteristics:
    d.1. Receives data from the nodes; and
    d.2. Process these data in order to provide control of traffic
not requiring operator decisions, and thereby performing ``dynamic
adaptive routing'';

    Note: 5A991.d. does not preclude control of traffic as a
function of predictable statistical traffic conditions.

    e. Phased array antennae, operating above 10.5 GHz, containing
active elements and distributed components, and designed to permit
electronic control of beam shaping and pointing, except for landing
systems with instruments meeting International Civil

[[Page 2521]]

Aviation Organization (ICAO) standards (microwave landing systems
(MLS)).
    f. Mobile communications equipment, n.e.s., and assemblies and
components therefor; or
    g. Radio relay communications equipment designed for use at
frequencies equal to or exceeding 19.7 GHz and assemblies and
components therefor, n.e.s.
    B. Test, Inspection and Production Equipment

5B001  Equipment and specially designed components or accessories
therefor, specially designed for the ``development'', ``production'' or
``use'' of equipment, materials, functions or features controlled by
5A001, 5B001, 5C001, 5D001 or 5E001.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $5000
GBS: Yes
CIV: Yes

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 5B991. This entry does not control
optical fibers and ``optical fiber preform'' characterization
equipment not using semiconductor ``lasers''.
Related Definition: N/A
Items: The List of Items Controlled is contained in the ECCN
heading.

5B991  Telecommunications test equipment, n.e.s.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: $1,000 for Syria; N/A to Iran
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

C. Materials

5C001  Preforms of glass or of any other material optimized for the
manufacture of optical fibers controlled by 5A001.d.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000
GBS: Yes
CIV: Yes

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

D. Software

5D001  ``Software'', as described in the List of Items Controlled.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: Yes, except for ``software'' controlled by 5D001.b or .c, when
specially designed or modified for equipment, functions or features
controlled by 5A001.b.9
TSR: Yes, except for exports and reexports to destinations outside
of Austria, Belgium, Canada, Denmark, Finland, France, Germany,
Greece, Ireland, Italy, Luxembourg, the Netherlands, Portugal,
Spain, Sweden, or the United Kingdom of ``software'' controlled by
5D001.a and specially designed for items controlled by 5A001.b.9

List of Items Controlled

Unit: $ value
Related Controls: See also 5D991
Related Definitions: N/A
Items: a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment, functions
or features controlled by 5A001, 5B001 or 5C001.
    b. ``Software'' specially designed or modified to support
``technology'' controlled by 5E001.
    c. Specific ``software'' as follows:
    c.1. ``Software'', other than in machine-executable form,
specially designed or modified for the ``use'' of digital cellular
radio equipment or systems;
    c.2. ``Software'' specially designed or modified to provide
characteristics, functions or features of equipment controlled by
5A001 or 5B001;
    c.3. ``Software'' which provides the capability of recovering
``source code'' of telecommunications ``software'' controlled by
5A001, 5B001, or 5C001;
    c.4. ``Software'', other than in machine-executable form,
specially designed for ``dynamic adaptive routing''.
    N.B.: For ``software'' for ``signal processing'' see also 4D and
6D.

5D101  ``Software'' designed or modified for the ``development'',
``production'' or ``use of items controlled by 5A101.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

5D991  ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of equipment controlled by
5A991 and 5B991.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

E. Technology

5E001  ``Technology'', (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain,
Sweden, or the United Kingdom of ``technology'' controlled by
5E001.a for the ``development'' or ``production'' of items
controlled by 5A001.b.9 or 5D001.a.

List of Items Controlled

Unit: $ value
Related Controls: See also 5E101 and 5E991
Related Definitions: N/A
Items: a. ``Technology'' according to the General Technology Note
for the ``development'', ``production'' or ``use''

[[Page 2522]]

(excluding operation) of equipment, functions or features, materials
or ``software'' controlled by 5A001, 5B001, 5C001 or 5D001.
    b. Specific ``technologies'', as follows:
    b.1. ``Required'' ``technology'' for the ``development'' or
``production'' of telecommunications equipment specially designed to
be used on board satellites;
    b.2. ``Technology'' for the ``development'' or ``use'' of
``laser'' communication techniques with the capability of
automatically acquiring and tracking signals and maintaining
communications through exoatmosphere or sub-surface (water) media;
    b.3. ``Technology'' for the processing and application of
coatings to optical fiber specially designed to make it suitable for
underwater use;
    b.4. ``Technology'' for the ``development'' of equipment
employing ``Synchronous Digital Hierarchy'' (``SDH'') or
``Synchronous Optical Network'' (``SONET'') techniques;
    b.5. ``Technology'' for the ``development'' of ``switch fabric''
exceeding 64,000 bit/s per information channel other than for
digital cross connect integrated in the switch;
    b.6. ``Technology'' for the ``development'' of centralized
network control or ``dynamic adaptive routing'';
    b.7. ``Technology'' for the ``development'' of digital cellular
radio systems;
    b.8. ``Technology'' for the ``development'' of broadband
``Integrated Services Digital Network'' (``ISDN'');
    b.9. ``Technology'' for the ``development'' of QAM techniques,
for radio equipment, above level 4;
    b.10. ``Technology'' for the ``development'' of ``spread
spectrum'' or ``frequency agility'' (frequency hopping) techniques.

5E101   ``Technology'' according to the General Technology Note for the
``development'', ``production'' or ``use'' of equipment controlled by
5A101.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

5E111   ``Technology'' according to the General Technology Note for the
``development'', ``production'', or ``use'' of ``software'' controlled
by 5D101.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

5E991   ``Technology'' for the ``development'', ``production'' or
``use'' of equipment controlled by 5A991 or 5B991, or ``software''
controlled by 5D991.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

EAR99   Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.

Part 2--``Information Security''

    Note: The control status of ``information security'' equipment,
``software'', systems, application specific ``electronic
assemblies'', modules, integrated circuits, components, or functions
is determined in Category 5, Part 2 even if they are components or
``electronic assemblies'' of other equipment.

A. Systems, Equipment and Components

5A002   Systems, equipment, application specific ``assemblies'',
modules or integrated circuits for ``information security'', and
specially designed components therefor.

License Requirements

Reason for Control: NS, AT, EI


               Control(s)                         Country Chart

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


    EI applies to encryption items transferred from the U.S.
Munitions List to the Commerce Control List consistent with E.O.
13026 of November 15, 1996 (61 FR 58767) and pursuant to the
Presidential Memorandum of that date. Refer to Sec. 742.15 of the
EAR.

    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 5A992. This entry does not control: (a)
``Personalized smart cards'' or specially designed components
therefor, with any of the following characteristics: (1) Not capable
of message traffic encryption or encryption of user-supplied data or
related key management functions therefor; or (2) When restricted
for use in equipment or systems excluded from control under the note
to 5A002.c, or under paragraphs b through h of this note. (b)
Equipment containing ``fixed'' data compression or coding
techniques; (c) Receiving equipment for radio broadcast, pay
television or similar restricted audience television of the consumer
type, without digital encryption and where digital decryption is
limited to the video, audio or management functions; (d) Portable or
mobile radiotelephones for civil use (e.g., for use with commercial
civil cellular radiocommunications systems) that are not capable of
end-to-end encryption; (e) Decryption functions specially designed
to allow the execution of copy-protected ``software'', provided the
decryption functions are not user-accessible; (f) Access control
equipment, such as automatic teller machines, self-service statement
printers or point of sale terminals, that protects password or
personal identification numbers (PIN) or similar data to prevent
unauthorized access to facilities but does not allow for encryption
of files or text, except as directly related to the password or PIN
protection; (g) Data authentication equipment that calculates a
Message Authentication Code (MAC) or similar result to ensure no
alteration of text has taken place, or to authenticate users, but
does not allow for encryption of data, text or other media other
than that needed for the authentication; (h) Cryptographic equipment
specially designed and limited for use in machines for banking or
money transactions, such as automatic teller machines, self-service
statement printers or point of sale terminals.
Related Definitions: For the control of global navigation satellite
systems receiving equipment containing or employing decryption
(i.e., GPS or GLONASS see 7A005)
Items: a. Systems, equipment, application specific ``assemblies'',
modules or integrated circuits for ``information security'', and
specially designed components therefor:
    a.1. Designed or modified to use ``cryptography'' employing
digital techniques to ensure ``information security'';
    a.2. Designed or modified to perform cryptoanalytic functions;
    a.3. Designed or modified to use ``cryptography'' employing
analog techniques to ensure ``information security'';

    Note: 5A002.a.3 does not control the following:

    1. Equipment using ``fixed'' band scrambling not exceeding 8
bands and in which the transpositions change not more frequently
than once every second;
    2. Equipment using ``fixed'' band scrambling exceeding 8 bands
and in which the transpositions change not more frequently than once
every ten seconds;

[[Page 2523]]

    3. Equipment using ``fixed'' frequency inversion and in which
the transpositions change not more frequently than once every
second;
    4. Facsimile equipment;
    5. Restricted audience broadcast equipment; and
    6. Civil television equipment;
    a.4. Designed or modified to suppress the compromising
emanations of information-bearing signals;

    Note: 5A002.a.4 does not control equipment specially designed to
suppress emanations for reasons of health and safety.

    a.5. Designed or modified to use cryptographic techniques to
generate the spreading code for ``spread spectrum'' or the hopping
code for ``frequency agility'' systems;
    a.6. Designed or modified to provide certified or certifiable
``multilevel security'' or user isolation at a level exceeding Class
B2 of the Trusted Computer System Evaluation Criteria (TCSEC) or
equivalent;
    a.7. Communications cable systems designed or modified using
mechanical, electrical or electronic means to detect surreptitious
intrusion.

5A992  ``Information security'' equipment, n.e.s.; (e.g.,
cryptographic, cryptoanalytic, and cryptologic equipment, n.e.s.), and
components therefor.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

B. Test, Inspection and Production Equipment

5B002   Information Security--test, inspection and ``production''
equipment.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Equipment specially designed for:
    a.1. The ``development'' of equipment or functions controlled by
5A002, 5B002, 5D002 or 5E002, including measuring or test equipment;
    a.2. The ``production'' of equipment or functions controlled by
5A002, 5B002, 5D002, or 5E002, including measuring, test, repair or
production equipment;
    b. Measuring equipment specially designed to evaluate and
validate the ``information security'' functions controlled by 5A002
or 5D002.

C. Materials [Reserved]

D. Software

5D002   Information Security--``Software''.

License Requirements

Reason for Control: NS, AT, EI


               Control(s)                         Country Chart

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


    EI applies to encryption items transferred from the U.S.
Munitions List to the Commerce Control List consistent with E.O.
13026 of November 15, 1996 (61 FR 58767) and pursuant to the
Presidential Memorandum of that date. Refer to Sec. 742.15 of the
EAR.

    Note: Encryption software is controlled because of its
functional capacity, and not because of any informational value of
such software; such software is not accorded the same treatment
under the EAR as other ``software''; and for the export licensing
purposes encryption software is treated under the EAR in the same
manner as a commodity included in ECCN 5A002. License Exceptions for
commodities are not applicable.

    Note: Encryption software controlled for EI reasons under this
entry remains subject to the EAR even when made publicly available
in accordance with part 734 of the EAR, and it is not eligible for
the General Software Note (``mass market'' treatment under License
Exception TSU for mass market software). After a one-time BXA
review, certain encryption software may be released from EI controls
and made eligible for the General Software Note treatment as well as
other provisions of the EAR applicable to software. Refer to
Sec. 742.15(b)(1) of the EAR and Supplement No. 6 to part 742 of the
EAR.

    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

    License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 5D992. This entry does not control
``software'' ``required'' for the ``use'' of equipment excluded from
control under 5A002 or ``software'' providing any of the functions
of equipment excluded from control under 5A002
Related Definitions: N/A
Items: a. ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or
``software'' controlled by 5A002, 5B002 or 5D002.
    b. ``Software'' specially designed or modified to support
``technology'' controlled by 5E002.
    c. Specific ``software'' as follows:
    c.1. ``Software'' having the characteristics, or performing or
simulating the functions of the equipment controlled by 5A002 or
5B002;
    c.2. ``Software'' to certify ``software'' controlled by
5D002.c.1.

5D992  ``Software'' not controlled by 5D002.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

AT applies to 5D992.a and .b...........  AT Column 1
AT applies to 5D992.c..................  AT Column 2


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Software'', specially designed or modified for the
``development'', ``production'', or ``use'' of information security
or cryptologic equipment (e.g., equipment controlled by 5A992)
    b. ``Software'' having the characteristics, or performing or
simulating the functions of the equipment controlled by 5A992.
    c. ``Software'' designed or modified to protect against
malicious computer damage, e.g., viruses.

E. Technology

5E002  ``Technology'' according to the General Technology Note for the
``development'', ``production'' or ``use'' of equipment controlled by
5A002 or 5B002 or ``software'' controlled by 5D002.

License Requirements

Reason for Control: NS, AT, EI


               Control(s)                         Country Chart

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


    EI applies to encryption items transferred from the U.S.
Munitions List to the Commerce Control List consistent with E.O.
13026 of November 15, 1996 (61 FR 58767) and pursuant to the
Presidential Memorandum of that date.

Refer to Sec. 742.15 of the EAR

    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions
License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: See also 5E992

[[Page 2524]]

Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

5E992  ``Technology'', n.e.s., for the ``development'', ``production'',
or ``use'' of ``information security'' or cryptologic equipment (e.g.,
equipment controlled by 5A992), or ``software'' controlled by 5D992.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

EAR99  Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.

Category 6--Sensors and Lasers

A. Systems, Equipment and Components

6A001  Acoustics.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $3000; N/A for 6A001.a.2.a.1, a.2.a.2, a.2.a.7, a.2.b;
processing equipment controlled by 6A002.a.2.c, and specially
designed for real time application with towed acoustic hydrophone
arrays; a.2.e.1, a.2.e.2; and bottom or bay cable systems controlled
by 6A002.a.2.e.3 and having processing equipment specially designed
for real time application with bottom or bay cable systems
GBS: Yes for 6A001.a.1.b.4
CIV: Yes for 6A001.a.1.b.4

List of Items Controlled

Unit: $ value
Related Controls: See also 6A991
Related Definitions: N/A
Items: a. Marine acoustic systems, equipment and specially designed
components therefor, as follows: a.1. Active (transmitting or
transmitting-and-receiving) systems, equipment and specially
designed components therefor, as follows:

    Note: 6A001.a.1 does not control:

    a. Depth sounders operating vertically below the apparatus, not
including a scanning function exceeding <plus-minus>20 deg., and
limited to measuring the depth of water, the distance of submerged
or buried objects or fish finding;
    b. Acoustic beacons, as follows:
    1. Acoustic emergency beacons;
    2. Pingers specially designed for relocating or returning to an
underwater position.
    a.1.a. Wide-swath bathymetric survey systems designed for sea
bed topographic mapping, having all of the following:
    a.1.a.1. Being designed to take measurements at an angle
exceeding 20 deg. from the vertical;
    a.1.a.2. Being designed to measure depths exceeding 600 m below
the water surface; and
    a.1.a.3. Being designed to provide any of the following:
    a.1.a.3.a. Incorporation of multiple beams any of which is less
than 1.9 deg.; or
    a.1.a.3.b. Data accuracies of better than 0.3% of water depth
across the swath averaged over the individual measurements within
the swath;
    a.1.b. Object detection or location systems having any of the
following:
    a.1.b.1. A transmitting frequency below 10 Khz;
    a.1.b.2. Sound pressure level exceeding 224 Db (reference 1
<greek-m>Pa at 1 m) for equipment with an operating frequency in the
band from 10 Khz to 24 Khz inclusive;
    a.1.b.3. Sound pressure level exceeding 235 Db (reference 1
<greek-m>Pa at 1 m) for equipment with an operating frequency in the
band between 24 Khz and 30 Khz;
    a.1.b.4. Forming beams of less than 1 deg. on any axis and
having an operating frequency of less than 100 Khz;
    a.1.b.5. Designed to operate with an unambiguous display range
exceeding 5,120 m; or
    a.1.b.6. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m and having transducers with any of the
following:
    a.1.b.6.a. Dynamic compensation for pressure; or
    a.1.b.6.b. Incorporating other than lead zirconate titanate as
the transduction element;
    a.1.c. Acoustic projectors, including transducers, incorporating
piezoelectric, magnetostrictive, electrostrictive, electrodynamic or
hydraulic elements operating individually or in a designed
combination, having any of the following:

    Notes: 1. The control status of acoustic projectors, including
transducers, specially designed for other equipment is determined by
the control status of the other equipment.
    2. 6A001.a.1.c does not control electronic sources that direct
the sound vertically only, or mechanical (e.g., air gun or vapor-
shock gun) or chemical (e.g., explosive) sources.

    a.1.c.1. An instantaneous radiated acoustic power density
exceeding 0.01 mW/mm<SUP>2</SUP>/Hz for devices operating at
frequencies below 10 Khz;
    a.1.c.2. A continuously radiated acoustic power density
exceeding 0.001 Mw/mm<SUP>2</SUP>/Hz for devices operating at
frequencies below 10 Khz;

    Technical Note: Acoustic power density is obtained by dividing
the output acoustic power by the product of the area of the
radiating surface and the frequency of operation.

    a.1.c.3. Designed to withstand pressure during normal operation
at depths exceeding 1,000 m; or
    a.1.c.4. Side-lobe suppression exceeding 22 Db;
    a.1.d. Acoustic systems, equipment and specially designed
components for determining the position of surface vessels or
underwater vehicles having any of the following:

    Note: 6A001.a.1.d includes:

    a. Equipment using coherent ``signal processing'' between two or
more beacons and the hydrophone unit carried by the surface vessel
or underwater vehicle;
    b. Equipment capable of automatically correcting speed-of-sound
propagation errors for calculation of a point.
    a.1.d.1. Designed to operate at a range exceeding 1,000 m with a
positioning accuracy of less than 10 m rms (root mean square) when
measured at a range of 1,000 m; or
    a.1.d.2. Designed to withstand pressure at depths exceeding
1,000 m;
    a.2. Passive (receiving, whether or not related in normal
application to separate active equipment) systems, equipment and
specially designed components therefor, as follows:
    a.2.a. Hydrophones (transducers) having any of the following
characteristics:
    a.2.a.1. Incorporating continuous flexible sensors or assemblies
of discrete sensor elements with either a diameter or length less
than 20 mm and with a separation between elements of less than 20
mm;
    a.2.a.2. Having any of the following sensing elements:
    a.2.a.2.a. Optical fibers;
    a.2.a.2.b. Piezoelectric polymers; or
    a.2.a.2.c. Flexible piezoelectric ceramic materials;
    a.2.a.3. A hydrophone sensitivity better than -180 Db at any
depth with no acceleration compensation;
    a.2.a.4. When designed to operate at depths not exceeding 35 m,
a hydrophone sensitivity better than -186 Db with acceleration
compensation;
    a.2.a.5. When designed for normal operation at depths exceeding
35 m, a hydrophone sensitivity better than -192 Db with acceleration
compensation;
    a.2.a.6. When designed for normal operation at depths exceeding
100 m, a hydrophone sensitivity better than -204 Db; or
    a.2.a.7. Designed for operation at depths exceeding 1,000 m;

    Technical Note: Hydrophone sensitivity is defined as twenty
times the logarithm to the base 10 of the ratio of rms output
voltage to a 1 V rms reference, when the hydrophone sensor, without
a pre-amplifier, is placed in a plane wave acoustic field with an
rms pressure of 1 <greek-m>Pa. For example, a hydrophone of -160 Db
(reference 1 V per <greek-m>Pa) would yield an output voltage of
10<SUP>-8</SUP> V in such a field, while one of -180 Db sensitivity
would yield only 10<SUP>-9</SUP> V output. Thus, -160 Db is better
than -180 Db.
    a.2.b. Towed acoustic hydrophone arrays having any of the
following:
    a.2.b.1. Hydrophone group spacing of less than 12.5 m;

[[Page 2525]]

    a.2.b.2. Hydrophone group spacing of 12.5 m to less than 25 m
and designed or able to be modified to operate at depths exceeding
35 m;

    Technical Note: ``Able to be modified'' in 6A001.a.2.b.2 means
having provisions to allow a change of the wiring or
interconnections to alter hydrophone group spacing or operating
depth limits. These provisions are: spare wiring exceeding 10% of
the number of wires, hydrophone group spacing adjustment blocks or
internal depth limiting devices that are adjustable or that control
more than one hydrophone group.

    a.2.b.3. Hydrophone group spacing of 25 m or more and designed
to operate at depths exceeding 100 m;
    a.2.b.4. Heading sensors controlled by 6A001.a.2.d;
    a.2.b.5. Longitudinally reinforced array hoses;
    a.2.b.6. An assembled array of less than 40 mm in diameter;
    a.2.b.7. Multiplexed hydrophone group signals designed to
operate at depths exceeding 35 m or having an adjustable or
removable depth sensing device in order to operate at depths
exceeding 35 m; or
    a.2.b.8. Hydrophone characteristics controlled by 6A001.a.2.a;
    a.2.c. Processing equipment, specially designed for towed
acoustic hydrophone arrays, having ``user accessible
programmability'' and time or frequency domain processing and
correlation, including spectral analysis, digital filtering and
beamforming using Fast Fourier or other transforms or processes;
    a.2.d. Heading sensors having all of the following:
    a.2.d.1. An accuracy of better than <plus-minus>0.5 deg.; and
    a.2.d.2. Any of the following:
    a.2.d.2.a. Designed to be incorporated within the array hosing
and to operate at depths exceeding 35 m or having an adjustable or
removable depth sensing device in order to operate at depths
exceeding 35 m; or
    a.2.d.2.b. Designed to be mounted external to the array hosing
and having a sensor unit capable of operating with 360 deg. roll at
depths exceeding 35 m;
    a.2.e. Bottom or bay cable systems having any of the following:
    a.2.e.1. Incorporating hydrophones controlled by 6A001.a.2.a;
    a.2.e.2. Incorporating multiplexed hydrophone group signals
designed to operate at depths exceeding 35 m or having an adjustable
or removable depth sensing device in order to operate at depths
exceeding 35 m; or
    a.2.e.3. Processing equipment, specially designed for bottom or
bay cable systems, having ``user accessible programmability'' and
time or frequency domain processing and correlation, including
spectral analysis, digital filtering and beamforming using Fast
Fourier or other transforms or processes;
    b. Correlation-velocity sonar log equipment designed to measure
the horizontal speed of the equipment carrier relative to the sea
bed at distances between the carrier and the sea bed exceeding 500
m.

6A002  Optical sensors.

License Requirements

Reason for Control: NS, MT, CC, RS, AT, UN


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
MT applies to optical detectors in       MT Column 1
 6A002.a.1, a.3, and .e that are
 specially designed or rated as
 electomagnetic (including ``lasers'')
 and ionized particle radiation
 resistant.
RS applies to 6A002.a.1, a.2, a.3 and    RS Column 1
 .c.
CC applies to police-model infrared      CC Column 1
 viewers in 6A002.c.
AT applies to entire entry.............  AT Column 1
UN applies to 6A002.a.1, a.2, a.3 and c  Rwanda


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $3000, except N/A for MT and for 6A002.a.1, a.2, a.3, .c, and
.e
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Parts and accessories in $ value
Related Controls: See also 6A102, 6A202, and 6A992
Related Definitions: (1) ``Image intensifiers'' defined in 6A002.a.2
and ``focal plane arrays'' defined in 6A002.a.3 specially designed,
modified, or configured for military use and not part of civil
equipment are subject to the export licensing authority of U.S.
Department of State, Office of Defense Trade Controls (22 CFR part
121). (2) ``Space qualified'' ``monospectral imaging sensors'', and
``multispectral imaging sensors'' defined in 6A002.b, and ``space-
qualified'' ``focal plane arrays'' defined in 6A002.e, specially
designed or modified for items on the U.S. Munitions List are
subject to the export licensing authority of the Department of
State, Office of Defense Trade Controls (22 CFR part 121)
Items: a. Optical detectors, as follows:

    Note: 6A002.a does not control germanium or silicon
photodevices.

     a.1. ``Space-qualified'' solid-state detectors, as follows:
    a.1.a. ``Space-qualified'' solid-state detectors, having all of
the following:
    a.1.a.1. A peak response in the wavelength range exceeding 10 nm
but not exceeding 300 nm; and
    a.1.a.2. A response of less than 0.1% relative to the peak
response at a wavelength exceeding 400 nm;
    a.1.b. ``Space-qualified'' solid-state detectors, having all of
the following:
    a.1.b.1. A peak response in the wavelength range exceeding 900
nm but not exceeding 1,200 nm; and
    a.1.b.2. A response ``time constant'' of 95 ns or less;
    a.1.c. ``Space-qualified'' solid-state detectors having a peak
response in the wavelength range exceeding 1,200 nm but not
exceeding 30,000 nm;
    a.2. Image intensifier tubes and specially designed components
therefor, as follows:
    a.2.a. Image intensifier tubes having all of the following:
    a.2.a.1. A peak response in the wavelength range exceeding 400
nm but not exceeding 1,050 nm;
    a.2.a.2. A microchannel plate for electron image amplification
with a hole pitch (center-to-center spacing) of 15 <greek-m>m or
less; and
    a.2.a.3. Photocathodes, as follows:
    a.2.a.3.a. S-20, S-25 or multialkali photocathodes with a
luminous sensitivity exceeding 240 <greek-m>A/lm;
    a.2.a.3.b. GaAs or GaInAs photocathodes; or
    a.2.a.3.c. Other III-V compound semiconductor photocathodes;

    Note: 6A002.a.2.a.3.c does not control compound semiconductor
photocathodes with a maximum radiant sensitivity of 10 mA/W or less.

    a.2.b. Specially designed components, as follows:
    a.2.b.1. Microchannel plates having a hole pitch (center-to-
center spacing) of 15 <greek-m>m or less;
    a.2.b.2. GaAs or GaInAs photocathodes;
    a.2.b.3. Other III-V compound semiconductor photocathodes;

    Note: 6A002.a.2.b.3 does not control compound semiconductor
photocathodes with a maximum radiant sensitivity of 10 mA/W or less.

    a.3. Non-''space-qualified'' ``focal plane arrays'', as follows:

    Technical Note: Linear or two-dimensional multi-element detector
arrays are referred to as ``focal plane arrays''.

    Notes: 1. 6A002.a.3 includes photoconductive arrays and
photovoltaic arrays.
    2. 6A002.a.3 does not control silicon ``focal plane arrays'',
multi-element (not to exceed 16 elements) encapsulated
photoconductive cells or pyroelectric detectors using any of the
following:
    a. Lead sulphide;
    b. Triglycine sulphate and variants;
    c. Lead-lanthanum-zirconium titanate and variants;
    d. Lithium tantalate;
    e. Polyvinylidene fluoride and variants;
    f. Strontium barium niobate and variants; or
    g. Lead selenide.

    a.3.a. Non-``space-qualified'' ``focal plane arrays'', having
all of the following:
    a.3.a.1. Individual elements with a peak response within the
wavelength range exceeding 900 nm but not exceeding 1,050 nm; and
    a.3.a.2. A response ``time constant'' of less than 0.5 ns;
    a.3.b. Non-``space-qualified'' ``focal plane arrays'', having
all of the following:
    a.3.b.1. Individual elements with a peak response in the
wavelength range exceeding 1,050 nm but not exceeding 1,200 nm; and
    a.3.b.2. A response ``time constant'' of 95 ns or less;

[[Page 2526]]

    a.3.c. Non-``space-qualified'' ``focal plane arrays'', having
individual elements with a peak response in the wavelength range
exceeding 1,200 nm but not exceeding 30,000 nm.
    b. ``Monospectral imaging sensors'' and ``multispectral imaging
sensors'' designed for remote sensing applications, having any of
the following:
    b.1. An Instantaneous-Field-Of-View (IFOV) of less than 200
<greek-m>r (microradians); or
    b.2. Being specified for operation in the wavelength range
exceeding 400 nm but not exceeding 30,000 nm and having all the
following;
    b.2.a. Providing output imaging data in digital format; and
    b.2.b. Being any of the following:
    b.2.b.1. ``Space-qualified''; or
    b.2.b.2. Designed for airborne operation, using other than
silicon detectors, and having an IFOV of less than 2.5 mr
(milliradians).
    c. Direct view imaging equipment operating in the visible or
infrared spectrum, incorporating any of the following:
    c.1. Image intensifier tubes having the characteristics listed
in 6A002.a.2.a; or
    c.2. ``Focal plane arrays'' having the characteristics listed in
6A002.a.3.

    Technical Note: ``Direct view'' refers to imaging equipment,
operating in the visible or infrared spectrum, that presents a
visual image to a human observer without converting the image into
an electronic signal for television display, and that cannot record
or store the image photographically, electronically or by any other
means.

    Note: 6A002.c does not control the following equipment
incorporating other than GaAs or GaInAs photocathodes:

    a. Industrial or civilian intrusion alarm, traffic or industrial
movement control or counting systems;
    b. Medical equipment;
    c. Industrial equipment used for inspection, sorting or analysis
of the properties of materials;
    d. Flame detectors for industrial furnaces;
    e. Equipment specially designed for laboratory use.
    d. Special support components for optical sensors, as follows:
    d.1. ``Space-qualified'' cryocoolers;
    d.2. Non-''space-qualified'' cryocoolers, having a cooling
source temperature below 218 K (-55 deg. C), as follows:
    d.2.a. Closed cycle type with a specified Mean-Time-To-Failure
(MTTF), or Mean-Time-Between-Failures (MTBF), exceeding 2,500 hours;
    d.2.b. Joule-Thomson (JT) self-regulating minicoolers having
bore (outside) diameters of less than 8 mm;
    d.3. Optical sensing fibers specially fabricated either
compositionally or structurally, or modified by coating, to be
acoustically, thermally, inertially, electromagnetically or nuclear
radiation sensitive.
    e. ``Space qualified'' ``focal plane arrays'' having more than
2,048 elements per array and having a peak response in the
wavelength range exceeding 300 nm but not exceeding 900 nm.

6A003  Cameras.

License Requirements
Reason for Control: NS, NP, RS, AT, UN


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
NP applies to items controlled in        NP Column 1
 paragraphs 6A003.a.2, a.3 and a.4.
RS applies to items controlled in        RS Column 1
 6A003.b.3 and b.4.
AT applies to entire entry.............  AT Column 1
UN applies to items controlled in        Rwanda
 6A003.b.3 and b.4.


License Exceptions

LVS: $1500, except N/A for 6A003.a.2 through a.5, b.1, b.3 and b.4
GBS: Yes for 6A003.a.1
CIV: Yes for 6A003.a.1

List of Items Controlled

Unit: Number
Related Controls: See also 6A203. See 8A002.d and .e for cameras
specially designed or modified for underwater use.
Related Definitions: N/A
Items: a. Instrumentation cameras, as follows:
    a.1. High-speed cinema recording cameras using any film format
from 8 mm to 16 mm inclusive, in which the film is continuously
advanced throughout the recording period, and that are capable of
recording at framing rates exceeding 13,150 frames/s;

    Note: 6A003.a.1 does not control cinema recording cameras for
normal civil purposes.

    a.2. Mechanical high speed cameras, in which the film does not
move, capable of recording at rates exceeding 1,000,000 frames/s for
the full framing height of 35 mm film, or at proportionately higher
rates for lesser frame heights, or at proportionately lower rates
for greater frame heights;
    a.3. Mechanical or electronic streak cameras having writing
speeds exceeding 10 mm/<greek-m>s;
    a.4. Electronic framing cameras having a speed exceeding
1,000,000 frames/s;
    a.5. Electronic cameras, having all of the following:
    a.5.a. An electronic shutter speed (gating capability) of less
than 1 <greek-m>s per full frame; and
    a.5.b. A read out time allowing a framing rate of more than 125
full frames per second.
    b. Imaging cameras, as follows:

    Note: 6A003.b does not control television or video cameras
specially designed for television broadcasting.

    b.1. Video cameras incorporating solid state sensors, having any
of the following:
    b.1.a. More than 4  x  10<SUP>6</SUP> ``active pixels'' per
solid state array for monochrome (black and white) cameras;
    b.1.b. More than 4  x  10<SUP>6</SUP> ``active pixels'' per
solid state array for color cameras incorporating three solid state
arrays; or
    b.1.c. More than 12  x  10<SUP>6</SUP> ``active pixels'' for
solid state array color cameras incorporating one solid state array;
    b.2. Scanning cameras and scanning camera systems, having all of
the following:
    b.2.a. Linear detector arrays with more than 8,192 elements per
array; and
    b.2.b. Mechanical scanning in one direction;
    b.3. Imaging cameras incorporating image intensifiers having the
characteristics listed in 6A002.a.2.a;
    b.4. Imaging cameras incorporating ``focal plane arrays'' having
the characteristics listed in 6A002.a.3.

6A004  Optics.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $3000
GBS: Yes for 6A004.a.1, a.2, a.4, b, d.2, and d.4
CIV: Yes for 6A004.a.1, a.2, a.4, b, d.2, and d.4

List of Items Controlled

Unit: Equipment in number; cable in meters/feet; components in $
value
Related Controls: See also 6A994
Related Definitions: N/A
Items: a. Optical mirrors (reflectors), as follows:
    a.1. ``Deformable mirrors'' having either continuous or multi-
element surfaces, and specially designed components therefor,
capable of dynamically repositioning portions of the surface of the
mirror at rates exceeding 100 Hz;
    a.2. Lightweight monolithic mirrors having an average
``equivalent density'' of less than 30 kg/m<SUP>2</SUP> and a total
mass exceeding 10 kg;
    a.3. Lightweight ``composite'' or foam mirror structures having
an average ``equivalent density'' of less than 30 kg/m<SUP>2</SUP>
and a total mass exceeding 2 kg;
    a.4. Beam steering mirrors more than 100 mm in diameter or
length of major axis, that maintain a flatness of lambda/2 or better
(lambda is equal to 633 nm) having a control bandwidth exceeding 100
Hz.
    b. Optical components made from zinc selenide (ZnSe) or zinc
sulphide (ZnS) with transmission in the wavelength range exceeding
3,000 nm but not exceeding 25,000 nm and having any of the
following:
    b.1. Exceeding 100 cm<SUP>3</SUP> in volume; or
    b.2. Exceeding 80 mm in diameter or length of major axis and 20
mm in thickness (depth).
    c. ``Space-qualified'' components for optical systems, as
follows:
    c.1. Lightweighted to less than 20% ``equivalent density''
compared with a solid blank of the same aperture and thickness;
    c.2. Substrates, substrates having surface coatings (single-
layer or multi-layer, metallic or dielectric, conducting,
semiconducting or insulating) or having protective films;
    c.3. Segments or assemblies of mirrors designed to be assembled
in space into an optical system with a collecting aperture

[[Page 2527]]

equivalent to or larger than a single optic 1 m in diameter;
    c.4. Manufactured from ``composite'' materials having a
coefficient of linear thermal expansion equal to or less than 5  x
10<SUP>-6</SUP> in any coordinate direction.
    d. Optical control equipment, as follows:
    d.1. Specially designed to maintain the surface figure or
orientation of the ``space-qualified'' components controlled by
6A004.c.1 or 6A004.c.3;
    d.2. Having steering, tracking, stabilization or resonator
alignment bandwidths equal to or more than 100 Hz and an accuracy of
10 <greek-m>r (microradians) or less;
    d.3. Gimbals having all of the following:
    d.3.a. A maximum slew exceeding 5 deg.;
    d.3.b. A bandwidth of 100 Hz or more;
    d.3.c. Angular pointing errors of 200 <greek-m>r (microradians)
or less; and
    d.3.d. Having any of the following:
    d.3.d.1. Exceeding 0.15 m but not exceeding 1 m in diameter or
major axis length and capable of angular accelerations exceeding 2 r
(radians)/s\2\; or
    d.3.d.2. Exceeding 1 m in diameter or major axis length and
capable of angular accelerations exceeding 0.5 r (radians)/s\2\;
    d.4. Specially designed to maintain the alignment of phased
array or phased segment mirror systems consisting of mirrors with a
segment diameter or major axis length of 1 m or more.

6A005  ``Lasers'', components and optical equipment, as follows (see
List of Items Controlled).

License Requirements.

Reason for Control: NS, NP, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
NP applies to 6A005.a.1.c, a.2.a (with   NP Column 1
 an output power > 40W), a.4.c, a.6,
 (argon ion lasers only), c.1.b (with
 an output power > 30W), c.2.c.2.a
 (with an output power > 40W),
 c.2.c.2.b (with an output power >
 40W), c.2.d.2.b (with an output power
 > 40W), and d.2.c.
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: N/A for NP items
$3000 for all other items

GBS: Yes, for 6A005.d (except d.2.c), CO<INF>2</INF> or CO/
CO<INF>2</INF> ``lasers'' having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J
per pulse and a maximum rated average single or multimode output
power not exceeding 5 Kw; CO ``lasers'' having a CW maximum rated
single or multimode output power not exceeding 10 Kw; CO<INF>2</INF>
``lasers'' controlled by 6A005.a.4 that operate in CW multiple-
transverse mode; and having a CW output power not exceeding 15 Kw;
Neodymium-doped (other than glass), pulse-excited, ``Q-switched
lasers'' controlled by 6A005.c.2.b.2.b having a pulse duration equal
to or more than 1 ns; and a multiple-transverse mode output with a
``peak power'' not exceeding 400 MW; Neodymium-doped (other than
glass) ``lasers'' controlled by 6A005.c.2.b.3.b or 6A005.c.2.b.4.b
that have an output wavelength exceeding 1,000 nm, but not exceeding
1,100 nm; and an average or CW output power not exceeding 2 Kw; and
operate in a pulse-excited, non-''Q-switched'' multiple-transverse
mode; or in a continuously excited, multiple-transverse mode; and
6A005.g.1.
CIV: Yes, for 6A005..d (except d.2.c), CO<INF>2</INF> or CO/
CO<INF>2</INF> ``lasers'' having an output wavelength in the range
from 9,000 to 11,000 nm and having a pulsed output not exceeding 2 J
per pulse and a maximum rated average single or multimode output
power not exceeding 5 Kw; CO ``lasers'' having a CW maximum rated
single or multimode output power not exceeding 10 Kw; CO<INF>2</INF>
``lasers'' controlled by 6A005.a.4 that operate in CW multiple-
transverse mode; and having a CW output power not exceeding 15 Kw;
Neodymium-doped (other than glass), pulse-excited, ``Q-switched
lasers'' controlled by 6A005.c.2.b.2.b having a pulse duration equal
to or more than 1 ns; and a multiple-transverse mode output with a
``peak power'' not exceeding 400 MW; Neodymium-doped (other than
glass) ``lasers'' controlled by 6A005.c.2.b.3.b or 6A005.c.2.b.4.b
that have an output wavelength exceeding 1,000 nm, but not exceeding
1,100 nm; and an average or CW output power not exceeding 2 Kw; and
operate in a pulse-excited, non-``Q-switched'' multiple-transverse
mode; or in a continuously excited, multiple-transverse mode; and
6A005.g.1.

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 6A205, 6A995, 0B001.g.5 and 0B001.b.6.
Shared aperture optical elements, capable of operating in ``super-
high power laser'' applications are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. (See 22 CFR part 121.)
Related Definitions: (1) Pulsed ``lasers'' include those that run in
a continuous wave (CW) mode with pulses superimposed. (2) Pulse-
excited ``lasers'' include those that run in a continuously excited
mode with pulse excitation superimposed. (3) The control status of
Raman ``lasers'' is determined by the parameters of the pumping
source ``lasers''. The pumping source ``lasers'' can be any of the
``lasers'' described as follows:
Items: a. Gas ``lasers'', as follows:
    a.1. Excimer ``lasers'', having any of the following:
    a.1.a. An output wavelength not exceeding 150 nm and having any
of the following:
    a.1.a.1. An output energy exceeding 50 mJ per pulse; or
    a.1.a.2. An average or CW output power exceeding 1 W;
    a.1.b. An output wavelength exceeding 150 nm but not exceeding
190 nm and having any of the following:
    a.1.b.1. An output energy exceeding 1.5 J per pulse; or
    a.1.b.2. An average or CW output power exceeding 120 W;
    a.1.c. An output wavelength exceeding 190 nm but not exceeding
360 nm and having any of the following:
    a.1.c.1. An output energy exceeding 10 J per pulse; or
    a.1.c.2. An average or CW output power exceeding 500 W; or
    a.1.d. An output wavelength exceeding 360 nm and having any of
the following:
    a.1.d.1. An output energy exceeding 1.5 J per pulse; or
    a.1.d.2. An average or CW output power exceeding 30 W;
    a.2. Metal vapor ``lasers'', as follows:
    a.2.a. Copper (Cu) ``lasers'' having an average or CW output
power exceeding 20 W;
    a.2.b. Gold (Au) ``lasers'' having an average or CW output power
exceeding 5 W;
    a.2.c. Sodium (Na) ``lasers'' having an output power exceeding 5
W;
    a.2.d. Barium (Ba) ``lasers'' having an average or CW output
power exceeding 2 W;
    a.3. Carbon monoxide (CO) ``lasers'' having any of the
following:
    a.3.a. An output energy exceeding 2 J per pulse and a pulsed
``peak power'' exceeding 5 Kw; or
    a.3.b. An average or CW output power exceeding 5 Kw;
    a.4. Carbon dioxide (CO<INF>2</INF>) ``lasers'' having any of
the following:
    a.4.a. A CW output power exceeding 15 Kw;
    a.4.b. A pulsed output having a ``pulse duration'' exceeding 10
<greek-m>s and having any of the following:
    a.4.b.1. An average output power exceeding 10 Kw; or
    a.4.b.2. A pulsed ``peak power'' exceeding 100 Kw; or
    a.4.c. A pulsed output having a ``pulse duration'' equal to or
less than 10 <greek-m>s; and having any of the following:
    a.4.c.1. A pulse energy exceeding 5 J per pulse; or
    a.4.c.2. An average output power exceeding 2.5 Kw;
    a.5. ``Chemical lasers'', as follows:
    a.5.a. Hydrogen Fluoride (HF) ``lasers'';
    a.5.b. Deuterium Fluoride (DF) ``lasers'';
    a.5.c. ``Transfer lasers'', as follows:
    a.5.c.1. Oxygen Iodine (O<INF>2</INF>-I) ``lasers'';
    a.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO<INF>2</INF>)
``lasers'';
    a.6. Gas discharge and ion ``lasers'' (i.e., krypton ion or
argon ion ``lasers'') having any of the following:
    a.6.a. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 50 W; or
    a.6.b. An average or CW output power exceeding 50 W;
    a.7. Other gas ``lasers'', having any of the following:
    Note: 6A005.a.7 does not control nitrogen ``lasers''.
    a.7.a. An output wavelength not exceeding 150 nm and having any
of the following:
    a.7.a.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
    a.7.a.2. An average or CW output power exceeding 1 W;

[[Page 2528]]

    a.7.b. An output wavelength exceeding 150 nm but not exceeding
800 nm and having any of the following:
    a.7.b.1. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 30 W; or
    a.7.b.2. An average or CW output power exceeding 30 W;
    a.7.c. An output wavelength exceeding 800 nm but not exceeding
1,400 nm and having any of the following:
    a.7.c.1. An output energy exceeding 0.25 J per pulse and a
pulsed ``peak power'' exceeding 10 W; or
    a.7.c.2. An average or CW output power exceeding 10 W; or
    a.7.d. An output wavelength exceeding 1,400 nm and an average or
CW output power exceeding 1 W.
    b. Individual, multiple-transverse mode semiconductor ``lasers''
and arrays of individual semiconductor ``lasers'', having any of the
following:
    b.1. An output energy exceeding 500 <greek-m>J per pulse and a
pulsed ``peak power'' exceeding 10 W; or
    b.2. An average or CW output power exceeding 10 W.

    Technical Note: Semiconductor ``lasers'' are commonly called
``laser'' diodes.

    Note 1: 6A005.b includes semiconductor ``lasers'' having optical
output connectors (e.g. fiber optic pigtails).
    Note 2: The control status of semiconductor ``lasers'' specially
designed for other equipment is determined by the control status of
the other equipment.
    c. Solid state ``lasers'', as follows:
    c.1. ``Tunable'' ``lasers'' having any of the following:

    Note: 6A005.c.1 includes titanium--sapphire (Ti:
Al<INF>2</INF>O<INF>3</INF>), thulium--YAG (Tm: YAG), thulium--YSGG
(Tm: YSGG), alexandrite (Cr: BeAl<INF>2</INF>O<INF>4</INF>) and
color center ``lasers''.

    c.1.a. An output wavelength less than 600 nm and having any of
the following:
    c.1.a.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
    c.1.a.2. An average or CW output power exceeding 1 W;
    c.1.b. An output wavelength of 600 nm or more but not exceeding
1,400 nm and having any of the following:
    c.1.b.1. An output energy exceeding 1 J per pulse and a pulsed
``peak power'' exceeding 20 W; or
    c.1.b.2. An average or CW output power exceeding 20 W; or
    c.1.c. An output wavelength exceeding 1,400 nm and having any of
the following:
    c.1.c.1. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
    c.1.c.2. An average or CW output power exceeding 1 W;
    c.2. Non-``tunable'' ``lasers'', as follows:

    Note: 6A005.c.2 includes atomic transition solid state
``lasers''.

    c.2.a. Neodymium glass ``lasers'', as follows:
    c.2.a.1. ``Q-switched lasers'' having any of the following:
    c.2.a.1.a. An output energy exceeding 20 J but not exceeding 50
J per pulse and an average output power exceeding 10 W; or
    c.2.a.1.b. An output energy exceeding 50 J per pulse;
    c.2.a.2. Non-``Q-switched lasers'' having any of the following:
    c.2.a.2.a. An output energy exceeding 50 J but not exceeding 100
J per pulse and an average output power exceeding 20 W; or
    c.2.a.2.b. An output energy exceeding 100 J per pulse;
    c.2.b. Neodymium-doped (other than glass) ``lasers'', having an
output wavelength exceeding 1,000 nm but not exceeding 1,100 nm, as
follows:
    N.B.: For neodymium-doped (other than glass) ``lasers'' having
an output wavelength not exceeding 1,000 nm or exceeding 1,100 nm,
see 6A005.c.2.d.
    c.2.b.1. Pulse-excited, mode-locked, ``Q-switched lasers''
having a ``pulse duration'' of less than 1 ns and having any of the
following:
    c.2.b.1.a. A ``peak power'' exceeding 5 GW;
    c.2.b.1.b. An average output power exceeding 10 W; or
    c.2.b.1.c. A pulsed energy exceeding 0.1 J;
    c.2.b.2. Pulse-excited, ``Q-switched lasers'' having a pulse
duration equal to or more than 1 ns, and having any of the
following:
    c.2.b.2.a. A single-transverse mode output having:
    c.2.b.2.a.1. A ``peak power'' exceeding 100 MW;
    c.2.b.2.a.2. An average output power exceeding 20 W; or
    c.2.b.2.a.3. A pulsed energy exceeding 2 J; or
    c.2.b.2.b. A multiple-transverse mode output having:
    c.2.b.2.b.1. A ``peak power'' exceeding 400 MW;
    c.2.b.2.b.2. An average output power exceeding 2 kW; or
    c.2.b.2.b.3. A pulsed energy exceeding 2 J;
    c.2.b.3. Pulse-excited, non-``Q-switched lasers'', having:
    c.2.b.3.a. A single-transverse mode output having:
    c.2.b.3.a.1. A ``peak power'' exceeding 500 kW; or
    c.2.b.3.a.2. An average output power exceeding 150 W; or
    c.2.b.3.b. A multiple-transverse mode output having:
    c.2.b.3.b.1. A ``peak power'' exceeding 1 MW; or
    c.2.b.3.b.2. An average power exceeding 2 kW;
    c.2.b.4. Continuously excited ``lasers'' having:
    c.2.b.4.a. A single-transverse mode output having:
    c.2.b.4.a.1. A ``peak power'' exceeding 500 kW; or
    c.2.b.4.a.2. An average or CW output power exceeding 150 W; or
    c.2.b.4.b. A multiple-transverse mode output having:
    c.2.b.4.b.1. A ``peak power'' exceeding 1 MW; or
    c.2.b.4.b.2. An average or CW output power exceeding 2 kW;
    c.2.c. Other non-``tunable'' ``lasers'', having any of the
following:
    c.2.c.1. A wavelength less than 150 nm and having any of the
following:
    c.2.c.1.a. An output energy exceeding 50 mJ per pulse and a
pulsed ``peak power'' exceeding 1 W; or
    c.2.c.1.b. An average or CW output power exceeding 1 W;
    c.2.c.2. A wavelength of 150 nm or more but not exceeding 800 nm
and having any of the following:
    c.2.c.2.a. An output energy exceeding 1.5 J per pulse and a
pulsed ``peak power'' exceeding 30 W; or
    c.2.c.2.b. An average or CW output power exceeding 30 W;
    c.2.c.3. A wavelength exceeding 800 nm but not exceeding 1,400
nm, as follows:
    c.2.c.3.a. ``Q-switched lasers'' having:
    c.2.c.3.a.1. An output energy exceeding 0.5 J per pulse and a
pulsed ``peak power'' exceeding 50 W; or
    c.2.c.3.a.2. An average output power exceeding:
    c.2.c.3.a.2.a. 10 W for single-mode ``lasers'';
    c.2.c.3.a.2.b. 30 W for multimode ``lasers'';
    c.2.c.3.b. Non-''Q-switched lasers'' having:
    c.2.c.3.b.1. An output energy exceeding 2 J per pulse and a
pulsed ``peak power'' exceeding 50 W; or
    c.2.c.3.b.2. An average or CW output power exceeding 50 W; or
    c.2.c.4. A wavelength exceeding 1,400 nm and having any of the
following:
    c.2.c.4.a. An output energy exceeding 100 mJ per pulse and a
pulsed ``peak power'' exceeding 1 W; or
    c.2.c.4.b. An average or CW output power exceeding 1 W;
    d. Dye and other liquid ``lasers'', having any of the following:
    d.1. A wavelength less than 150 nm and:
    d.1.a. An output energy exceeding 50 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
    d.1.b. An average or CW output power exceeding 1 W;
    d.2. A wavelength of 150 nm or more but not exceeding 800 nm and
having any of the following:
    d.2.a. An output energy exceeding 1.5 J per pulse and a pulsed
``peak power'' exceeding 20 W;
    d.2.b. An average or CW output power exceeding 20 W; or
    d.2.c. A pulsed single longitudinal mode oscillator having an
average output power exceeding 1 W and a repetition rate exceeding 1
Khz if the ``pulse duration'' is less than 100 ns;
    d.3. A wavelength exceeding 800 nm but not exceeding 1,400 nm
and having any of the following:
    d.3.a. An output energy exceeding 0.5 J per pulse and a pulsed
``peak power'' exceeding 10 W; or
    d.3.b. An average or CW output power exceeding 10 W; or
    d.4. A wavelength exceeding 1,400 nm and having any of the
following:
    d.4.a. An output energy exceeding 100 mJ per pulse and a pulsed
``peak power'' exceeding 1 W; or
    d.4.b. An average or CW output power exceeding 1 W;
    e. Components, as follows:
    e.1. Mirrors cooled either by active cooling or by heat pipe
cooling;

[[Page 2529]]

    Technical Note: Active cooling is a cooling technique for
optical components using flowing fluids within the subsurface
(nominally less than 1 mm below the optical surface) of the optical
component to remove heat from the optic.

    e.2. Optical mirrors or transmissive or partially transmissive
optical or electro-optical components specially designed for use
with controlled ``lasers'';
    f. Optical equipment, as follows:

(For shared aperture optical elements, capable of operating in
``Super-High Power Laser'' (``SHPL'') applications, see the U.S.
Munitions List.)
    f.1. Dynamic wavefront (phase) measuring equipment capable of
mapping at least 50 positions on a beam wavefront having any of the
following:
    f.1.a. Frame rates equal to or more than 100 Hz and phase
discrimination of at least 5% of the beam's wavelength; or
    f.1.b. Frame rates equal to or more than 1,000 Hz and phase
discrimination of at least 20% of the beam's wavelength;
    f.2. ``Laser'' diagnostic equipment capable of measuring
``SHPL'' system angular beam steering errors of equal to or less
than 10 <greek-m>rad;
    f.3. Optical equipment and components specially designed for a
phased-array ``SHPL'' system for coherent beam combination to an
accuracy of lambda/10 at the designed wavelength, or 0.1 <greek-m>m,
whichever is the smaller;
    f.4. Projection telescopes specially designed for use with
``SHPL'' systems.

6A006  ``Magnetometers'', ``magnetic gradiometers'', ``intrinsic
magnetic gradiometers'' and compensation systems, and specially
designed components therefor, as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $1500
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 6A996. This entry does not control
instruments specially designed for biomagnetic measurements for
medical diagnostics.
Related Definitions: N/A
Items: a. ``Magnetometers'' using ``superconductive'', optically
pumped or nuclear precession (proton/Overhauser) ``technology''
having a ``noise level'' (sensitivity) lower (better) than 0.05 nT
rms per square root Hz;
    b. Induction coil ``magnetometers'' having a ``noise level''
(sensitivity) lower (better) than any of the following:
    b.1. 0.05 nT rms/square root Hz at frequencies of less than 1
Hz;
    b.2. 1  x  10<SUP>-3</SUP> nT rms/square root Hz at frequencies
of 1 Hz or more but not exceeding 10 Hz; or
    b.3. 1  x  10<SUP>-4</SUP> nT rms/square root Hz at frequencies
exceeding 10 Hz;
    c. Fiber optic ``magnetometers'' having a ``noise level''
(sensitivity) lower (better) than 1 nT rms per square root Hz;
    d. ``Magnetic gradiometers'' using multiple ``magnetometers''
controlled by 6A006.a, 6A006.b or 6A006.c;
    e. Fiber optic ``intrinsic magnetic gradiometers'' having a
magnetic gradient field ``noise level'' (sensitivity) lower (better)
than 0.3 nT/m rms per square root Hz;
    f. ``Intrinsic magnetic gradiometers'', using ``technology''
other than fiber-optic ``technology'', having a magnetic gradient
field ``noise level'' (sensitivity) lower (better) than 0.015 nT/m
rms per square root Hz;
    g. Magnetic compensation systems for magnetic sensors designed
for operation on mobile platforms;
    h. ``Superconductive'' electromagnetic sensors, components
manufactured from ``superconductive'' materials:
    h.1. Designed for operation at temperatures below the ``critical
temperature'' of at least one of their ``superconductive''
constituents (including Josephson effect devices or
``superconductive'' quantum interference devices (SQUIDS));
    h.2. Designed for sensing electromagnetic field variations at
frequencies of 1 kHz or less; and
    h.3. Having any of the following characteristics:
    h.3.a. Incorporating thin-film SQUIDS with a minimum feature
size of less than 2 <greek-m>m 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</SUP> magnetic flux quanta per second;
    h.3.c. Designed to function without magnetic shielding in the
earth's ambient magnetic field; or
    h.3.d. Having a temperature coefficient less (smaller) than 0.1
magnetic flux quantum/K.

6A007  Gravity meters (gravimeters) and gravity gradiometers, as
follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
MT applies to 6A007.b and .c when the    MT Column 1
 accuracies in 6A007.b.1 and b.2 are
 met or exceeded.
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000; N/A for MT
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 6A107 and 6A997
Related Definitions: N/A
Items: a. Gravity meters for ground use having a static accuracy of
less (better) than 10 <greek-m>gal;

    Note: 6A007.a does not control ground gravity meters of the
quartz element (Worden) type.

    b. Gravity meters for mobile platforms for ground, marine,
submersible, space or airborne use, having all of the following:
    b.1. A static accuracy of less (better) than 0.7 mgal; and
    b.2. An in-service (operational) accuracy of less (better) than
0.7 mgal having a time-to-steady-state registration of less than 2
minutes under any combination of attendant corrective compensations
and motional influences;
    c. Gravity gradiometers.

6A008  Radar systems, equipment and assemblies having any of the
characteristics (see List of Items Controlled), and specially designed
components therefor.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
MT applies to items that are designed    MT Column 1
 for airborne applications and that are
 usable in systems controlled for MT
 reasons.
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $5000; N/A for MT and 6A008.l.3
GBS: Yes, for 6A008.b, .c, and l.1 only
CIV: Yes, for 6A008.b, .c, and l.1 only

List of Items Controlled

Unit: $ value
Related Controls: See also 6A108 and 6A998. This entry does not
control: (1) Secondary surveillance radar (SSR); (2) Car radar
designed for collision prevention; (3) Displays or monitors used for
Air Traffic Control (ATC) having no more than 12 resolvable elements
per mm; (4) Meteorological (weather) radar.
Related Definitions: N/A
Items: a. Operating at frequencies from 40 GHz to 230 GHz and having
an average output power exceeding 100 mW;
    b. Having a tunable bandwidth exceeding <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) radar mode, or sidelooking airborne (SLAR)
radar mode;
    e. Incorporating ``electronically steerable phased array
antennae'';
    f. Capable of heightfinding non-cooperative targets;

[[Page 2530]]

    Note: 6A008.f does not control precision approach radar (PAR)
equipment conforming to ICAO standards.

    g. Specially designed for airborne (balloon or airframe mounted)
operation and having Doppler ``signal processing'' for the detection
of moving targets;
    h. Employing processing of radar signals using any of the
following:
    h.1. ``Radar spread spectrum'' techniques; or
    h.2. ``Radar frequency agility'' techniques;
    i. Providing ground-based operation with a maximum
``instrumented range'' exceeding 185 km;

    Note: 6A008.i does not control:
    a. Fishing ground surveillance radar;
    b. Ground radar equipment specially designed for enroute air
traffic control, provided that all the following conditions are met:
    1. It has a maximum ``instrumented range'' of 500 km or less;
    2. It is configured so that radar target data can be transmitted
only one way from the radar site to one or more civil ATC centers;
    3. It contains no provisions for remote control of the radar
scan rate from the enroute ATC center; and
    4. It is to be permanently installed;
    c. Weather balloon tracking radars.

    j. Being ``laser'' radar or Light Detection and Ranging (LIDAR)
equipment, having any of the following:
    j.1. ``Space-qualified''; or
    j.2. Employing coherent heterodyne or homodyne detection
techniques and having an angular resolution of less (better) than 20
<greek-m>r (microradians);

    Note: 6A008.j does not control LIDAR equipment specially
designed for surveying or for meteorological observation.

    k. Having ``signal processing'' sub-systems using ``pulse
compression'', with any of the following:
    k.1. A ``pulse compression'' ratio exceeding 150; or
    k.2. A pulse width of less than 200 ns; or
    l. Having data processing sub-systems with any of the following:
    l.1. ``Automatic target tracking'' providing, at any antenna
rotation, the predicted target position beyond the time of the next
antenna beam passage;

    Note: 6A008.l.1 does not control conflict alert capability in
ATC systems, or marine or harbor radar.

    l.2. Calculation of target velocity from primary radar having
non-periodic (variable) scanning rates;
    l.3. Processing for automatic pattern recognition (feature
extraction) and comparison with target characteristic data bases
(waveforms or imagery) to identify or classify targets; or
    l.4. Superposition and correlation, or fusion, of target data
from two or more ``geographically dispersed'' and ``interconnected
radar sensors'' to enhance and discriminate targets.

    Note: 6A008.l.4 does not control systems, equipment and
assemblies used for marine traffic control.

6A018  Magnetic, pressure, and acoustic underwater detection devices
specially designed for military purposes and controls and components
therefor.

License Requirements

Reason for Control: NS, AT


               Control(s)                          Country Chart

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


License Exceptions

LVS: $5000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number;components in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6A102  Radiation hardened detectors, other than those controlled by
6A002, for use in protecting against nuclear effects (e.g.
electromagnetic pulse (EMP), X-rays, combined blast and thermal
effects) and usable for ``missiles'', designed or rated to withstand
radiation levels that meet or exceed a total irradiation dose of 5 x
10<SUP>5</SUP> rads (Si).

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Components in number
Related Controls: N/A
Related Definitions: In this entry, a detector is defined as a
mechanical, electrical, optical or chemical device that
automatically identifies and records, or registers a stimulus such
as an environmental change in pressure or temperature, an electrical
or electromagnetic signal or radiation from a radioactive material.
Items: The list of items controlled is contained in the ECCN
heading.

6A107  Gravity meters (gravimeters), gravity gradiometers, and
specially designed components therefore, other than those controlled by
6A007.b and .c, designed or modified for airborne or marine use, having
a static or operational accuracy of 7  x 10 <SUP>-6</SUP> m/sec\2\ (0.7
milligal) or better, and a time to steady-state registration of two
minutes or less.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6A108  Radar systems and tracking systems, other than those controlled
by 6A008, as follows (see List of Items Controlled).

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: (1) This entry does not control airborne civil
weather radar conforming to international standards for civil
weather radars provided that they do not incorporate any of the
following: (a) Phased array antennas; (b) Frequency agility; (c)
Spread spectrum; or (d) Signal processing specially designed for the
tracking of vehicles. (2) Items in 6A108.a that are specially
designed or modified for ``missiles'' or for items on the U.S.
Munitions List are subject to the export licensing authority of the
U.S. Department of State, Defense Trade Controls (see 22 CFR part
121).
Related Definitions: Laser radar systems are defined as those that
embody specialized transmission, scanning, receiving and signal
processing techniques for utilization of lasers for echo ranging,
direction finding and discrimination of targets by location, radial
speed and body reflection characteristics.
Items: a. Radar and laser radar systems designed or modified for use
in ``missiles'';
    b. Precision tracking systems, usable for ``missiles'', as
follows:
    b.1. Tracking systems that use a code translator in conjunction
with either surface or airborne references or navigation satellite
systems to provide real-time measurements of in-flight position and
velocity;
    b.2. Range instrumentation radars including associated optical/
infrared trackers with all of the following capabilities:
    b.2.a. Angular resolution better than 3 milliradians (0.5 mils);
    b.2.b. Range of 30 km or greater with a range resolution better
than 10 m rms;
    b.2.c. Velocity resolution better than
3 m/s.

[[Page 2531]]

6A202  Photomultiplier tubes with a photocathode area of greater than
20 cm<SUP>2</SUP> having an anode pulse rise time of less than 1 ns.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6A203  Cameras and components, other than those controlled by 6A003, as
follows (see List of Items Controlled).

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment and components in number; parts and accessories in $
value
Related Controls: N/A
Related Definitions: N/A
Items: a. Mechanical rotating mirror cameras, as follows, and
specially designed components therefor:
    a.1. Framing cameras with recording rates greater than 225,000
frames per second; or
    a.2. Streak cameras with writing speeds greater than 0.5 mm per
microsecond;

    Note: Components of such cameras include their synchronizing
electronic units and rotor assemblies consisting of turbines,
mirrors and bearings.

    b. Electronic streak and framing cameras and tubes, as follows:
    b.1. Electronic streak cameras capable of 50 ns or less time
resolution and streak tubes therefor;
    b.2. Electronic (or electronically shuttered) framing cameras
capable of 50 ns or less frame exposure time;
    b.3. Framing tubes and solid-state imaging devices for use with
cameras controlled by 6A203.b.2, as follows:
    b.3.a. Proximity focused image intensifier tubes having the
photocathode deposited on a transparent conductive coating to
decrease photocathode sheet resistance;
    b.3.b. Gate silicon intensifier target (SIT) videcon tubes,
where a fast system allows gating the photoelectrons from the
photocathode before they impinge on the SIT plate;
    b.3.c. Kerr or pocket cell electro-optical shuttering; or
    b.3.d. Other framing tubes and solid-state imaging devices
having a fast-image gating time of less than 50 ns specially
designed for cameras controlled by 6A203.b.2;
    c. Radiation-hardened TV cameras, or lenses therefor, specially
designed or rated as radiation hardened to withstand greater than 50
 x  10<SUP>3</SUP> grays (Silicon) (5  x  10<SUP>6</SUP> rad
(Silicon)) without operational degradation.

6A205  ``Lasers'', other than those controlled 6A005, as follows (see
List of Items Controlled).

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 0B001.g.5 and 0B001.h.6
Related Definitions: N/A
Items: a. Argon ion ``lasers'' with greater than 40 W average output
power operating at wavelengths between 400 nm and 515 nm;
    b. Tunable pulsed single-mode dye oscillators capable of an
average power output of greater than 1 W, a repetition rate greater
than 1 kHz, a pulse less than 100 ns, and a wavelength between 300
nm and 800 nm;
    c. Tunable pulsed dye laser amplifiers and oscillators, with an
average power output of greater than 30 W, a repetition rate greater
than 1 kHz, a pulse width less than 100 ns, and a wavelength between
300 nm and 800 nm, except single mode oscillators;
    d. Pulsed carbon dioxide ``lasers'' with a repetition rate
greater than 250 Hz, an average power output of greater than 500 W,
and a pulse of less than 200 ns operating at wavelengths between
9,000 nm and 11,000 nm;
    e. Para-hydrogen Raman shifters designed to operate at 16
micrometer output wavelength and at a repetition rate greater than
250 Hz;
    f. Pulse-excited, Q-switched Neodymium-doped (other than glass)
``lasers'', having all of the following:
    f.1. An output wavelength exceeding 1,000 nm but not exceeding
1,100 nm;
    f.2. A pulse duration equal to or more than 1 ns; and
    f.3. A multiple-transverse mode output having an average power
exceeding 50 W.

6A225   Velocity interferometers for measuring velocities in excess of
1 km/s during time intervals of less than 10 microsecond (VISARs,
Doppler laser interferometers (DLIs), etc.).

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6A226   Pressure sensors, as follows (see List of Items Controlled).

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Manganin gauges for pressures greater than 100 kilobars;
or
    b. Quartz pressure transducers for pressures greater than 100
kilobars.

6A991   Marine or terrestrial acoustic equipment, n.e.s., capable of
detecting or locating underwater objects or features or positioning
surface vessels or underwater vehicles; and specially designed
components, n.e.s.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

AT applies to entire entry.............  AT Column 2


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6A992   Optical Sensors, not controlled by 6A002.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A

[[Page 2532]]

GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Image intensifier tubes and specially designed components
therefor, as follows:
    a.1. Image intensifier tubes having all the following:
    a.1.a. A peak response in wavelength range exceeding 400 nm, but
not exceeding 1,050 nm;
    a.1.b. A microchannel plate for electron image amplification
with a hole pitch (center-to-center spacing) of less than 25
micrometers; and
    a.1.c. Having any of the following:
    a.1.c.1. An S-20, S-25 or multialkali photocathode; or
    a.1.c.2. A GaAs or GaInAs photocathode;
    a.2. Specially designed microchannel plates having both of the
following characteristics:
    a.2.a. 15,000 or more hollow tubes per plate; and
    a.2.b. Hole pitch (center-to-center spacing) of less than 25
micrometers.

6A994   Optics, not controlled by 6A004.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Optical filters:
    a.1. For wavelengths longer than 250 nm, comprised of multi-
layer optical coatings and having either of the following:
    a.1.a. Bandwidths equal to or less than 1 nm Full Width Half
Intensity (FWHI) and peak transmission of 90% or more; or
    a.1.b. Bandwidths equal to or less than 0.1 nm FWHI and peak
transmission of 50% or more;

    Note: 6A994 does not control optical filters with fixed air gaps
or Lyot-type filters.

    a.2. For wavelengths longer than 250 nm, and having all of the
following:
    a.2.a. Tunable over a spectral range of 500 nm or more;
    a.2.b. Instantaneous optical bandpass of 1.25 nm or less;
    a.2.c. Wavelength resettable within 0.1 ms to an accuracy of 1
nm or better within the tunable spectral range; and
    a.2.d. A single peak transmission of 91% or more;
    a.3. Optical opacity switches (filters) with a field of view of
30 deg. or wider and a response time equal to or less than 1 ns;
    b. ``Fluoride fiber'' cable, or optical fibers therefor, having
an attenuation of less than 4 dB/km in the wavelength range
exceeding 1,000 nm but not exceeding 3,000 nm.

6A995  ``Lasers'', not controlled by 6A005 or 6A205.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Carbon dioxide (CO<INF>2</INF>) ``lasers'' having any of
the following:
    a.1. A CW output power exceeding 10 kW;
    a.2. A pulsed output with a ``pulse duration'' exceeding 10
microseconds; and
    a.2.a. An average output power exceeding 10 kW; or
    a.2.b. A pulsed ``peak power'' exceeding 100 kW; or
    a.3. A pulsed output with a ``pulse duration'' equal to or less
than 10 microseconds; and
    a.3.a. A pulse energy exceeding 5 J per pulse and ``peak power''
exceeding 2.5 kW; or
    a.3.b. An average output power exceeding 2.5 kW;
    b. Semiconductor lasers, as follows:
    b.1. Individual, single-transverse mode semiconductor ``lasers''
having:
    b.1.a. An average output power exceeding 100 mW; or
    b.1.b. A wavelength exceeding 1,050 nm;
    b.2. Individual, multiple-transverse mode semiconductor
``lasers'', or arrays of individual semiconductor ``lasers'', having
a wavelength exceeding 1,050 nm;
    c. Solid state, non-``tunable'' ``lasers'', as follows:
    c.1. Ruby ``lasers'' having an output energy exceeding 20 J per
pulse;
    c.2. Neodymium-doped (other than glass) ``lasers'', as follows,
with an output wavelength exceeding 1,000 nm but not exceeding 1,100
nm:
    c.2.a. Pulse-excited, ``Q-switched lasers'', with a pulse
duration equal to or more than 1 ns, and a multiple-transverse mode
output with any of the following:
    c.2.a.1. A ``peak power'' exceeding 200 mW; or
    c.2.a.2. An average output power exceeding 50 W;
    c.2.b. Pulse-excited, non-``Q-switched lasers'', having a
multiple-transverse mode output with an average power exceeding 500
W; or
    c.2.c. Continuously excited ``lasers'' having a multiple-
transverse mode output with an average or CW output power exceeding
500 W;
    d. Free electron ``lasers''.

6A996  ``Magnetometers'', n.e.s., having a ``noise level''
(sensitivity) lower (better) than 1.0 nT rms per square root Hz.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6A997  Gravity meters (gravimeters) for ground use, n.e.s.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Having a static accuracy of less (better) than 100
microgal; or
    b. Being of the quartz element (Worden) type.

6A998  Airborne radar equipment, n.e.s., and specially designed
components therefor.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

AT applies to entire entry               AT Column 1


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

B. Test, Inspection and Production Equipment

6B004  Optical equipment, as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2

[[Page 2533]]


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


License Exceptions

LVS: $5000
GBS: Yes for 6B004.b
CIV: Yes for 6B004.b

List of Items Controlled

Unit: Number
Related Controls: This entry does not control microscopes.
Related Definitions: N/A
Items: a. Equipment for measuring absolute reflectance to an
accuracy of <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.

6B007  Equipment to produce, align and calibrate land-based gravity
meters with a static accuracy of better than 0.1 mgal.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $5000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6B008  Pulse radar cross-section measurement systems having transmit
pulse widths of 100 ns or less and specially designed components
therefor.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
MT applies to entire entry.............  MT Column 1
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: See also 6B108
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6B108  Systems, other than those controlled by 6B008, specially
designed for radar cross section measurement usable for ``missiles''
and other subsystems.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6B995  Specially designed or modified equipment, including tools, dies,
fixtures or gauges, and other specially designed components and
accessories therefor:

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. For the manufacture or inspection of:
    a.1. Free electron ``laser'' magnet wigglers;
    a.2. Free electron ``laser'' photo injectors;
    b. For the adjustment, to required tolerances, of the
longitudinal magnetic field of free electron ``lasers''.

C. Materials

6C002  Optical sensor materials, as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: See also 6C992
Related Definitions: N/A
Items: a. Elemental tellurium (Te) of purity levels of 99.9995% or
more;
    b. Single crystals of cadmium telluride (CdTe), cadmium zinc
telluride (CdZnTe) or mercury cadmium telluride (HgCdTe) of any
purity level, including epitaxial wafers thereof.

6C004  Optical materials, as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $1500
GBS: Yes for 6C004.a and .e
CIV: Yes for 6C004.a and .e

List of Items Controlled

Unit: $ value
Related Controls: See also 6C994
Related Definitions: N/A
Items: a. Zinc selenide (ZnSe) and zinc sulphide (ZnS) ``substrate
blanks'' produced by the chemical vapor deposition process, having
any of the following:
    a.1. A volume greater than 100 cm3; or
    a.2. A diameter greater than 80 mm having a thickness of 20 mm
or more;
    b. Boules of the following electro-optic materials:
    b.1. Potassium titanyl arsenate (KTA);
    b.2. Silver gallium selenide (AgGaSe<INF>2</INF>);
    b.3. Thallium arsenic selenide (Tl<INF>3</INF>AsSe<INF>3</INF>,
also known as TAS;
    c. Non-linear optical materials, having all of the following:
    c.1. Third order susceptibility (chi 3) of 10-<SUP>6</SUP>
m<SUP>2</SUP>/V<SUP>2</SUP> or more; and
    c.2. A response time of less than 1 ms;
    d. ``Substrate blanks'' of silicon carbide or beryllium
beryllium (Be/Be) deposited materials exceeding 300 mm in diameter
or major axis length;
    e. Glass, including fused silica, phosphate glass,
fluorophosphate glass, zirconium fluoride (ZrF<INF>4</INF>) and
hafnium fluoride (HfF<INF>4</INF>), having all of the following:
    e.1. A hydroxyl ion (OH-) concentration of less than 5 ppm;
    e.2. Integrated metallic purity levels of less than 1 ppm; and
    e.3. High homogeneity (index of refraction variance) less than 5
 x  10-<SUP>6</SUP>;
    f. Synthetically produced diamond material with an absorption of
less than 10-<SUP>5</SUP> cm-<SUP>1</SUP> for wavelengths exceeding
200 nm but not exceeding 14,000 nm.

6C005   Synthetic crystalline ``laser'' host material in unfinished
form, as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $1500
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Titanium doped sapphire;

[[Page 2534]]

    b. Alexandrite.

6C992   Optical sensing fibers not controlled by 6A002.d.3 which are
modified structurally to have a ``beat length'' of less than 500 mm
(high birefringence).

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled in contained in the ECCN
heading.

6C994   Optical materials.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Low optical absorption materials, as follows:
    a.1. Bulk fluoride compounds containing ingredients with a
purity of 99.999% or better; or

    Note: 6C994.a.1 controls fluorides of zirconium or aluminum and
variants.

    a.2. Bulk fluoride glass made from compounds controlled by
6C004.e.1;
    b. ``Optical fiber preforms'' made from bulk fluoride compounds
containing ingredients with a purity of 99.999% or better, specially
designed for the manufacture of ``fluoride fibers'' controlled by
6A994.b.

D. Software

6D001   ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 6A004, 6A005, 6A008 or 6B008.

License Requirements

Reason for Control: NS, MT, NP, AT


               Control(s)                         Country Chart

NS applies to ``software'' for           NS Column 1
 equipment controlled by 6A004, 6A005,
 6A008 or 6B008.
MT applies to ``software'' for           MT Column 1
 equipment controlled by 6A008 or 6B008
 for MT reasons.
NP applies to ``software'' for           NP Column 1
 equipment controlled by 6A005 for NP
 reasons.
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes, except N/A for MT and for exports or reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom of
``software'' for items controlled by 6A008.l.3 or 6B008.

List of Items Controlled

Unit: $ value
Related Controls: See also 6D991
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6D002   ``Software'' specially designed for the ``use'' of equipment
controlled by 6A002.b, 6A008 or 6B008.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 1
MT applies to ``software'' for           MT Column 1
 equipment controlled by 6A008 or 6B008
 for MT reasons.
AT applies to entire entry.............  AT Column 1


License Exceptions

CIV: N/A
TSR: Yes, except N/A for MT

List of Items Controlled

Unit: $ value
Related Controls: See also 6D102 and 6D992
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6D003  Other ``software'', as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: Yes for 6D003.h.1
TSR: Yes, except for exports or reexports to destinations outside of
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain,
Sweden, or the United Kingdom of ``software'' for items controlled
by 6D003.a.

List of Items Controlled

Unit: $ value
Related Controls: See also 6D103 and 6D993
Related Definitions: N/A
Items: a. Acoustics ``software'', as follows:
    a.1. ``Software'' specially designed for acoustic beam forming
for the ``real time processing'' of acoustic data for passive
reception using towed hydrophone arrays;
    a.2. ``Source code'' for the ``real time processing'' of
acoustic data for passive reception using towed hydrophone arrays;
    a.3. ``Software'' specially designed for bottom or bay cable
systems and having beamforming or ``source code'' for ``real time
processing'' of acoustic data for passive reception;
    b. Optical sensors. None.
    c. Cameras. None.
    d. Optics. None.
    e. Lasers. None
    f. Magnetometers.
    f.1. ``Software'' specially designed for magnetic compensation
systems for magnetic sensors designed to operate on mobile
platforms;
    f.2. ``Software'' specially designed for magnetic anomaly
detection on mobile platforms;
    g. Gravimeters. ``Software'' specially designed to correct
motional influences of gravity meters or gravity gradiometers;
    h. Radar ``software'', as follows:
    h.1. Air Traffic Control ``software'' application ``programs''
hosted on general purpose computers located at Air Traffic Control
centers and capable of any of the following:
    h.1.a. Processing and displaying more than 150 simultaneous
``system tracks''; or
    h.1.b. Accepting radar target data from more than four primary
radars;
    h.2. ``Software'' for the design or ``production'' of radomes
which:
    h.2.a. Are specially designed to protect the ``electronically
steerable phased array antennae'' controlled by 6A008.e.; and
    h.2.b. Result in an antenna pattern having an ``average side
lobe level'' more than 40 dB below the peak of the main beam level.

    Technical Note: ``Average side lobe level'' in 6D003.h.2.b is
measured over the entire array excluding the angular extent of the
main beam and the first two side lobes on either side of the main
beam.

6D102  ``Software'' specially designed for the ``use'' of goods
controlled by 6A108.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value

[[Page 2535]]

Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

6D103  ``Software'' that processes post-flight, recorded data, obtained
from the systems controlled by 6A108.b, enabling determination of
vehicle position throughout its flight path.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value

    The list of items controlled is contained in the ECCN heading.

6D104  ``Software'' specially designed for the ``use'' of equipment
controlled by 6A002, 6A003, 6A007, 6A102, and 6B108, for MT reasons.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6D991  ``Software'' specially designed for the ``development'',
``production'', or ``use'' of equipment controlled by 6A991, 6A996,
6A997, or 6A998.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

AT applies to entire entry, except       AT Column 1
 ``software'' for equipment controlled
 by 6A991.
AT applies to ``software'' for            AT Column 2
 equipment controlled by 6A991.


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6D992  ``Software'' specially designed for the ``development'' or
``production'' of equipment controlled by 6A992, 6A994, or 6A995.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6D993  Other ``software'' not controlled by 6D003.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Air Traffic Control (ATC) ``software'' application
``programs'' hosted on general purpose computers located at Air
Traffic Control centers, and capable of automatically handing over
primary radar target data (if not correlated with secondary
surveillance radar (SSR) data) from the host ATC center to another
ATC center;

E. Technology

6E001  ``Technology'' according to the General Technology Note for the
``development'' of equipment, materials or ``software'' controlled by
6A (except 6A018, 6A991, 6A992, 6A994, 6A995, 6A996, 6A997 or 6A998),
6B, (except 6B995) 6C (6C992 or 6C994) or 6D (except 6D991, 6D992, or
6D993).

License Requirements

Reason for Control: NS, MT, NP, RS, CC, AT, UN


               Control(s)                         Country Chart

NS applies to ``technology'' for items   NS Column 1
 controlled by 6A001 to 6A008, 6B004 to
 6B008, 6C002 to 6C005, or 6D001 to
 6D003.
MT applies to ``technology'' for items   MT Column 1
 controlled by 6A002, 6A007, 6A008,
 6A102, 6A107, 6A108, 6B008, 6B108,
 6D001, 6D002, 6D102 or 6D103 for MT
 reasons.
NP applies to ``technology'' for         NP Column 2
 equipment controlled by 6A003, 6A005,
 6A202, 6A203, 6A205, 6A225 or 6A226
 for NP reasons.
RS applies to ``technology'' for         RS Column 1
 equipment controlled by 6A002 or 6A003
 for RS reasons.
CC applies to ``technology'' for         CC Column 1
 equipment controlled by 6A002 for CC
 reasons.
AT applies to entire entry.............  AT Column 1
UN applies to ``technology'' for          Rwanda
 equipment controlled by 6A002 or 6A003
 for UN reasons.


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes, except N/A for MT and for exports or reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom of
``technology'' for the ``development'' of equipment or ``software''
in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7, 6A001.a.2.b,
6A001.a.2.c and 6A001.a.2.e when specially designed for real time
application, 6A002.a.1.c, 6A008.l.3, 6B008, 6D003.a, or 6D001 when
specially designed for the ``development'' or ``production'' of
equipment controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, and 6A001.a.2.e as set forth above.

List of Items Controlled

Unit: N/A
Related Controls: See also 6E101, 6E201, and 6E991
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6E002  ``Technology'' according to the General Technology Note for the
``production'' of equipment or materials controlled by 6A (except
6A018, 6A991, 6A992, 6A994, 6A995, 6A996, 6A997 or 6A998), 6B, (except
6B995), or 6C (6C992 or 6C994).

License Requirements

Reason for Control: NS, MT, NP, RS, AT, CC, UN

[[Page 2536]]


               Control(s)                         Country Chart

NS applies to ``technology'' for         NS Column 1
 equipment controlled by 6A001 to
 6A008, 6B004 to 6B008, or 6C002 to
 6C005.
MT applies to ``technology'' for         MT Column 1
 equipment controlled by 6A002, 6A007,
 6A008, 6A102, 6A107, 6A108, 6B008, or
 6B108 for MT reasons.
NP applies to ``technology'' for         NP Column 1
 equipment controlled by 6A003, 6A005,
 6A202, 6A203, 6A205, 6A225 or 6A226
 for NP reasons.
RS applies to ``technology'' for         RS Column 1
 equipment controlled by 6A002 or 6A003
 for RS reasons.
CC applies to ``technology'' for         CC Column 1
 equipment controlled by 6A002 for CC
 reasons.
AT applies to entire entry.............  AT Column 1
UN applies to ``technology'' for         Rwanda
 equipment controlled by 6A002 or 6A003
 for UN reasons.


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes, except N/A for MT and for exports or reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom of
``technology'' for the ``development'' of equipment in
6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7, 6A001.a.2.b,
6A001.a.2.c and 6A001.a.2.e when specially designed for real time
application, 6A002.a.1.c, 6A008.l.3, or 6B008.

List of Items Controlled

Unit: N/A
Related Controls: See also 6E992
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6E003  Other ``technology'', as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: Yes

List of Items Controlled

Unit: N/A
Related Controls: See also 6E993
Related Definitions: N/A
Items: a. Acoustics. None.
    b. Optical sensors. None.
    c. Cameras. None.
    d. Optics, ``technology'', as follows:
    d.1. Optical surface coating and treatment ``technology''
``required'' to achieve uniformity of 99.5% or better for optical
coatings 500 mm or more in diameter or major axis length and with a
total loss (absorption and scatter) of less than 5 x
10<SUP>-3</SUP>;
    N.B.: See also 2E003.f.
    d.2. Optical fabrication ``technology'' using single point
diamond turning techniques to produce surface finish accuracies of
better than 10 nm rms on non-planar surfaces exceeding 0.5
m<SUP>2</SUP>;
    e. Lasers. ``Technology'' ``required'' for the ``development'',
``production'' or ``use'' of specially designed diagnostic
instruments or targets in test facilities for ``SHPL'' testing or
testing or evaluation of materials irradiated by ``SHPL'' beams;
    f. Magnetometers. ``Technology'' ``required'' for the
``development'' or ``production'' of fluxgate ``magnetometers'' or
fluxgate ``magnetometer'' systems, having any of the following:
    f.1. A ``noise level'' of less than 0.05 nT rms per square root
Hz at frequencies of less than 1 Hz; or
    f.2. A ``noise level'' of less than 1 x 10-<SUP>3</SUP> nT rms
per square root Hz at frequencies of 1 Hz or more.

6E101  ``Technology'' according to the General Technology Note for the
``use'' of equipment or ``software'' controlled by 6A002, 6A007.b and
.c, 6A008, 6A102, 6A107, 6A108, 6B108, 6D102 or 6D103.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: (1) This entry only controls ``technology'' for
equipment controlled by 6A008 when it is designed for airborne
applications and is usable in ``missiles''. (2) This entry only
controls ``technology'' for items in 6A002.a.1, a.3, and e that are
specially designed or rated as electromagnetic (including ``laser'')
and ionized-particle radiation resistant. (3) This entry only
controls ``technology'' for items in 6A007.b and .c when the
accuracies in 6A007.b.1 and b.2 are met or exceeded.
Items: The list of items controlled is contained in the ECCN
heading.

6E102  ``Technology'' according to the General Technology Note for the
``use'' of ``software'' controlled by 6D001 and 6D002, for MT reasons.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6E201  ``Technology'' according to the General Technology Note for the
``use'' of equipment controlled by 6A003.a.2, 6A003.a.3, 6A003.a.4,
6A005.a.1.c, 6A005.a.2.a, 6A005.c.1.b, 6A005.c.2.c.2, 6A005.c.2.d.2.b,
6A202, 6A203, 6A205, 6A225 or 6A226.

License Requirements

Reason for Control: NP, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: This entry only controls ``technology'' for
items in 6A005.a.2.a with an output power >40 W, 6A005.a.6 argon
``lasers'' only, 6A005.c.1.b with an output power >30 W,
6A005.c.2.c.2.a with an output power >40 W, 6A005.c.2.c.2.b with an
output power >40 W, and 6A005.c.2.d.2.b with an output power >40 W.
Items: The list of items controlled is contained in the ECCN
heading.

6E991  ``Technology'' for the ``development'', ``production'' or
``use'' equipment controlled by 6A991, 6A996, 6A997, or 6A998.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

AT applies to entire entry except        AT Column 1
 ``technology'' for equipment
 controlled by 6A991.
AT applies to ``technology'' for         AT Column 2
 equipment controlled by 6A991.


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

[[Page 2537]]

6E992  ``Technology'' for the ``development'' or ``production'' of
equipment, materials or ``software'' controlled by 6A992, 6A994, or
6A995, 6B995, 6C992, 6C994, or 6D993.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

6E993  Other ``technology'', not controlled by 6E003.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Optical fabrication technologies for serially producing
optical components at a rate exceeding 10 m<SUP>2</SUP> of surface
area per year on any single spindle and with:
    a.1. An area exceeding 1 m<SUP>2</SUP>; and
    a.2. A surface figure exceeding lambda/10 rms at the designed
wavelength;
    b. ``Technology'' for optical filters with a bandwidth equal to
or less than 10 nm, a field of view (FOV) exceeding 40 deg. and a
resolution exceeding 0.75 line pairs per milliradian;

EAR99  Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.

Category 7--Navigation and Avionics

A. Systems, Equipment and Components

    N.B.: For automatic pilots for underwater vehicles, see Category
8. For radar, see Category 6.

    Note to Category 7A: For inertial navigation equipment for ships
or submersibles see item 9.e on the Wassenaar Munitions List.

7A001  Accelerometers designed for use in inertial navigation or
guidance systems and having any of the following characteristics (see
List of Items Controlled), and specially designed components therefor.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 7A101 and 7A994. MT controls do not apply
to accelerometers that are specially designed and developed as
Measurement While Drilling (MWD) sensors for use in downhole well
service applications.
Related Definitions: N/A
Items: a. A ``bias'' ``stability'' of less (better) than 130 micro g
with respect to a fixed calibration value over a period of one year;
    b. A ``scale factor'' ``stability'' of less (better) than 130
ppm with respect to a fixed calibration value over a period of one
year; or
    c. Specified to function at linear acceleration levels exceeding
100 g.

7A002  Gyros having any of the following characteristics (see List of
Items Controlled), and specially designed components therefor.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 7A102 and 7A994
Related Definitions: N/A
Items: a. A ``drift rate'' ``stability'', when measured in a 1 g
environment over a period of three months and with respect to a
fixed calibration value, of:
    a.1. Less (better) than 0.1 deg. per hour when specified to
function at linear acceleration levels below 10 g; or
    a.2. Less (better) than 0.5 deg. per hour when specified to
function at linear acceleration levels from 10 g to 100 g inclusive;
or
    b. Specified to function at linear acceleration levels exceeding
100 g.

7A003  Inertial navigation systems (gimballed or strapdown) and
inertial equipment designed for ``aircraft'', land vehicle or
``spacecraft'' for attitude, guidance or control, having any of the
following characteristics (see List of Items Controlled), and specially
designed components therefor.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 7A103 and 7A994. Inertial navigation
systems and inertial equipment, and specially designed components
therefor specifically designed, modified or configured for military
use are subject to the export licensing authority of the U.S.
Department of State, Office of Defense Trade Controls. (See 22 CFR
part 121.)
Related Definitions: N/A
Items: a. Navigation error (free inertial) subsequent to normal
alignment of 0.8 nautical mile per hour (50% Circular Error Probable
(CEP)) or less (better); or
    b. Specified to function at linear acceleration levels exceeding
10 g.

    Note: The parameters of 7A003.a are applicable with any of the
following environmental conditions:
    1. Input random vibration with an overall magnitude of 7.7 g rms
in the first half hour and a total test duration of one and one half
hour per axis in each of the three perpendicular axes, when the
random vibration meets the following:
    a. A constant power spectral density (PSD) value of 0.04
g<SUP>2</SUP>/Hz over a frequency interval of 15 to 1,000 Hz; and
    b. The PSD attenuates with frequency from 0.04 g<SUP>2</SUP>/Hz
to 0.01 g<SUP>2</SUP>/Hz over a frequency interval from 1,000 to
2,000 Hz; or
    2. A roll and yaw rate of equal to or more than +2.62 radian/s
(150 deg/s); or
    3. According to national standards equivalent to 1. or 2. of
this note.
    Note: 7A003 does not control inertial navigation systems that
are certified for use on ``civil aircraft'' by civil authorities of
a ``participating state'' in Country Group A:1.

7A004  Gyro-astro compasses, and other devices which derive position or
orientation by means of automatically tracking celestial bodies or
satellites, with an azimuth accuracy of equal to or less (better) than
5 seconds of arc.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                          Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 7A104 and 7A994
Related Definitions: N/A

[[Page 2538]]

Items: The list of items controlled is contained in the ECCN
heading.

7A005  Global navigation satellite systems (i.e. GPS or GLONASS)
receiving equipment, and specially designed components therefor. (These
items are subject to the export licensing authority of the U.S.
Department of State, Office of Defense Trade Controls. See 22 CFR part
121.)

7A006  Airborne altimeters operating at frequencies other than 4.2 to
4.4 GHz inclusive, having any of the following characteristics (see
List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

S applies to entire entry..............  NS Column 1
MT applies to entire entry.............  MT Column 1
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 7A106, 7A994 and Category 6 for controls
on radar.
Related Definitions: N/A
Items: a. ``Power management''; or
    b. Using phase shift key modulation.

7A007  Direction finding equipment operating at frequencies above 30
MHz and specially designed components therefor. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)

7A101  Accelerometers, other than those controlled by 7A001, with a
threshold of 0.05 g or less, or a linearity error within 0.25% of full
scale output, or both, which are designed for use in inertial
navigation systems or in guidance systems of all types and specially
designed components therefor.

License Requirements

Reason for Control: MT, AT


               Control(s)                          Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: This entry does not control accelerometers which
are specially designed and developed as MWD (Measurement While
Drilling) sensors for use in downhole well service operations.
Related Definitions: N/A
Items: The list of items is included in the entry heading.

7A102  All types of gyros, other than those controlled by 7A002, usable
in ``missiles'', with a rated ``drift rate'' ``stability'' of less than
0.5 deg. (1 sigma or rms) per hour in a 1 g environment and specially
designed components therefor.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: (1) Drift rate is defined as the time rate of
output deviation from the desired output. It consists of random and
systematic components and is expressed as an equivalent angular
displacement per unit time with respect to inertial space. (2)
Stability is defined as standard deviation (1 sigma) of the
variation of a particular parameter from its calibrated value
measured under stable temperature conditions. This can be expressed
as a function of time.
Items: The list of items controlled is contained in the ECCN
heading.

7A103  Instrumentation, navigation equipment and systems, other than
those controlled by 7A003, and specially designed components therefor.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: (1) Items described in 7A103.b are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls (See 22 CFR part 121). (2) Inertial
navigation systems and inertial equipment, and specially designed
components therefor specifically designed, modified or configured
for military use are subject to the export licensing authority of
the U.S. Department of State, Office of Defense Trade Controls. (See
22 CFR part 121.)
Related Definitions: N/A
Items: a. Inertial or other equipment using accelerometers or gyros
controlled by 7A001, 7A002, 7A101 or 7A102 and systems incorporating
such equipment;

     Note: 7A103.a does not control equipment containing
accelerometers specially designed and developed as MWD (Measurement
While Drilling) sensors for use in down-hole well services
operations.

    b. Integrated flight instrument systems, which include
gyrostabilizers or automatic pilots, designed or modified for use in
``missiles''.

7A104  Gyro-astro compasses and other devices, other than those
controlled by 7A004, which derive position or orientation by means of
automatically tracking celestial bodies or satellites and specially
designed components therefor.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: This entry controls specially designed components
for gyro-astro compasses and other devices controlled by 7A004
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

7A105  Global Positioning Systems (GPS) or similar satellite
receivers, other than those controlled by 7A005, and designed or
modified for use in ``missiles''. (These items are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls. See 22 CFR part 121.)
7A106  Altimeters, other than those controlled by 7A006, of radar or
laser radar type, designed or modified for use in ``missiles''.
(These items are subject to the export licensing authority of the
U.S. Department of State, Office of Defense Trade Controls. See 22
CFR part 121.)

7A115  Passive sensors for determining bearing to specific
electromagnetic source (direction finding equipment) or terrain
characteristics, designed or modified for use in ``missiles''.
(These items are subject to the export licensing authority of the
U.S. Department of State, Office of Defense Trade Controls. See 22
CFR part 121.)

7A116  Flight control systems (hydraulic, mechanical, electro-
optical, or electro-mechanical flight control systems (including
fly-by-wire systems) and attitude control equipment) designed or
modified for ``missiles''. (These items are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121.)

[[Page 2539]]

7A117  ``Guidance sets'' capable of achieving system accuracy of
3.33% or less of the range (e.g., a ``CEP'' of 10 km or less at a
range of 300 km). (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)

7A994  Other navigation direction finding equipment, airborne
communication equipment, all aircraft inertial navigation systems
not controlled under 7A003 or 7A103, and other avionic equipment,
including parts and components, n.e.s.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: (1) Global Positioning Satellite receivers having
the following characteristics are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls (22 CFR part 121): (a) Designed for encryption or
decryption (e.g., Y-code) of GPS precise positioning service (PPS)
signal; (b) Designed for producing navigation results above 60,000
feet altitude and at 1,000 knots velocity or greater; (c)
Specifically designed or modified for use with a null-steering
antenna or including a null-steering antenna designed to reduce or
avoid jamming signals; or (d) Designed or modified for use with
unmanned air vehicle systems capable of delivering at least a 500 kg
payload to a range of at least 300 km. (GPS receivers designed or
modified for use with military unmanned air vehicle systems with
less capability are considered to be specially designed, modified or
configured for military use are controlled by 22 CFR part 121. (2)
This entry controls direction finding equipment that is not subject
to the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls (22 CFR part 121).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

B. Test, Inspection and Production Equipment

7B001  Test, calibration or alignment equipment specially designed for
equipment controlled by 7A (except 7A994).

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: (1) See also 7B102 and 7B994. (2) This entry does
not control test, calibration or alignment equipment for Maintenance
level I.
Related Definition: (1) Maintenance Level I: The failure of an
inertial navigation unit is detected on the aircraft by indications
from the Control and Display Unit (CDU) or by the status message
from the corresponding sub-system. By following the manufacturer's
manual, the cause of the failure may be localized at the level of
the malfunctioning line replaceable unit (LRU). The operator then
removes the LRU and replaces it with a spare. (2) Maintenance Level
II: The defective LRU is sent to the maintenance workshop (the
manufacturer's or that of the operator responsible for level II
maintenance). At the maintenance workshop, the malfunctioning LRU is
tested by various appropriate means to verify and localize the
defective shop replaceable assembly (SRA) module responsible for the
failure. This SRA is removed and replaced by an operative spare. The
defective SRA (or possibly the complete LRU) is then shipped to the
manufacturer. Maintenance Level II does not include the removal of
controlled accelerometers or gyro sensors from the SRA.
Items: The list of items controlled is contained in the ECCN
heading.

7B002  Equipment, as follows (see List of Items Controlled), specially
designed to characterize mirrors for ring ``laser'' gyros.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 7B102 and 7B994
Related Definitions: N/A
Items: a. Scatterometers having a measurement accuracy of 10 ppm or
less (better);
    b. Profilometers having a measurement accuracy of 0.5 nm (5
angstrom) or less (better).

7B003  Equipment specially designed for the ``production'' of equipment
controlled by 7A (except 7A994).

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: (1) See also 7B103 and 7B994. 2.) This entry
includes: inertial measurement unit tester (IMU module); IMU
platform tester; IMU stable element handling fixture; IMU platform
balance fixture; gyro tuning test stations; gyro dynamic balance
stations; gyro run-in/motor test stations; gyro evacuation and fill
stations; centrifuge fixtures for gyro bearings; accelerometer axis
align station; and accelerometer test station
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

7B102   Equipment, as follows (see List of Items Controlled), other
than those controlled by 7B002, specially designed to characterize
mirrors, for laser gyro equipment.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Scatterometers having a measurement accuracy of 10 ppm or
less (better).
    b. Reflectometers having a measurement accuracy of 50 ppm or
less (better).
    c. Prolifometers having a measurement accuracy of 0.5nm (5
angstrom) or less (better).

7B103   Specially designed ``production facilities'' for equipment
controlled by 7A117. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)

7B994   Other equipment for the test, inspection, or ``production'' of
navigation and avionics equipment.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

[[Page 2540]]

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

C. Materials [Reserved]

D. Software

7D001   ``Software'' specially designed or modified for the
``development'' or ``production'' of equipment controlled by 7A (except
7A994) or 7B (except 7B994).

License Requirements

Reason for Control: NS, MT, RS, AT


               Control(s)                         Country Chart

NS applies to ``software'' for           NS Column 1
 equipment controlled by 7A001 to
 7A004, 7A006, 7B001, 7B002 or 7B003.
MT applies to entire entry.............  MT Column 1
RS applies to ``software'' for inertial
 navigation systems inertial equipment,
 and specially designed components
 therefor, for ``civil aircraft'' DRS
 Column 1.
AT applies to entire entry.............  AT Column 1


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: (1) See also 7D101 and 7D994. (2) The ``software''
related to 7A003.b, 7A005, 7A007, 7A103.b, 7A105, 7A106, 7A115,
7A116, 7A117, or 7B103 are subject to the export licensing authority
of the U.S. Department of State, Office of Defense Trade Controls.
(See 22 CFR part 121.) (3) ``Software'' for inertial navigation
systems and inertial equipment, and specially designed components
therefor, not for use on civil aircraft are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

7D002   ``Source code'' for the ``use'' of any inertial navigation
equipment or Attitude and Heading Reference Systems (AHRS) (except
gimballed AHRS) including inertial equipment not controlled by 7A003 or
7A004.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: (1) See also 7D102 and 7D994. (2) This entry does
not control ``source code'' for the ``use'' of gimballed AHRS
Related Definition: AHRS generally differ from inertial navigation
systems (INS) in that an AHRS provides attitude and heading
information and normally does not provide the acceleration, velocity
and position information associated with an INS
Items: The list of items controlled is contained in the ECCN heading

7D003  Other ``software'', as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


List of Items Controlled

Unit: $ value
Related Controls: See also 7D103 and 7D994
Related Definitions: N/A
Items: a. ``Software'' specially designed or modified to improve the
operational performance or reduce the navigational error of systems
to the levels controlled by 7A003 or 7A004;
    b. ``Source code'' for hybrid integrated systems that improves
the operational performance or reduces the navigational error of
systems to the level controlled by 7A003 by continuously combining
inertial data with any of the following navigation data:
    b.1. Doppler radar velocity;
    b.2. Global navigation satellite systems (i.e., GPS or GLONASS)
reference data; or
    b.3. Terrain data from data bases;
    c. ``Source code'' for integrated avionics or mission systems
that combine sensor data and employ ``expert systems'';
    d. ``Source code'' for the ``development'' of any of the
following:
    d.1. Digital flight management systems for ``total control of
flight'';
    d.2. Integrated propulsion and flight control systems;
    d.3. Fly-by-wire or fly-by-light control systems;
    d.4. Fault-tolerant or self-reconfiguring ``active flight
control systems'';
    d.5. Airborne automatic direction finding equipment;
    d.6. Air data systems based on surface static data; or
    d.7. Raster-type head-up displays or three dimensional displays;
    e. Computer-aided-design (CAD) ``software'' specially designed
for the ``development'' of ``active flight control systems'',
helicopter multi-axis fly-by-wire or fly-by-light controllers or
helicopter ``circulation controlled anti-torque or circulation-
controlled direction control systems'' whose ``technology'' is
controlled by 7E004.b, 7E004.c.1 or 7E004.c.2.

7D101  ``Software'' specially designed for the ``use'' of equipment
controlled by 7A001 to 7A006, 7A101 to 7A106, 7A115, 7B001, 7B002,
7B003, 7B102 or 7B103.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: (1) The ``software'' related to 7A003.b, 7A005,
7A103.b, 7A105, 7A106, 7A115, 7A116, 7A117, or 7B103 are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. (See 22 CFR part 121.) (2)
``Software'' for inertial navigation systems and inertial equipment,
and specially designed components therefor, not designed for use on
civil aircraft by civil aviation authorities of a country listed in
Country Group A:1 is subject to the export licensing authority of
the U.S. Department of State, Office of Defense Trade Controls. (See
22 CFR part 121.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

7D102  Integration ``software'' for the equipment controlled by 7A003
or 7A103.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: The ``software'' related to 7A003.b or 7A103.b are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

7D103  ``Software'' specially designed for modelling or simulation of
the ``guidance sets'' controlled by 7A117 or for their design
integration with ``missiles''. (This entry is subject to the export
licensing authority of the U.S. Department of State, Office of Defense
Trade Controls. See 22 CFR part 121.)

7D994  ``Software'', n.e.s., for the ``development'', ``production'',
or ``use'' of navigation, airborne communication and other avionics.

License Requirements

Reason for Control: AT

[[Page 2541]]


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.

E. Technology

7E001   ``Technology'' according to the General Technology Note for the
``development'' of equipment or ``software'' controlled by 7A (except
7A994), 7B (except 7B994) or 7D (except 7D994).

License Requirements

Reason for Control: MT, NS, RS, AT


               Control(s)                         Country Chart

NS applies to ``technology'' for items   NS Column 1
 controlled by 7A001 to 7A004, 7A006,
 7B001 to 7B003, 7D001 to 7D003.
MT applies to entire entry.............  MT Column 1
RS applies to ``technology'' for         RS Column 1
 inertial navigation systems, inertial
 equipment and specially designed
 components therefor, for civil
 aircraft.
AT applies to entire entry.............  AT Column 1


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: (1) See also 7E101 and 7E994. (2.) The
``technology'' related to 7A003.b, 7A005, 7A007, 7A103.b, 7A105,
7a106, 7A115, 7A116, 7A117, or 7B103 are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Control (see 22 CFR part 121)
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

7E002   ``Technology'' according to the General Technology Note for the
``production'' of equipment controlled by 7A (except 7A994) or 7B
(except 7B994).

License Requirements

Reason for Control: NS, MT, RS, AT


               Control(s)                         Country Chart

NS applies to ``technology'' for         NS Column 1
 equipment controlled by 7A001 to
 7A004, 7A006 or 7B001 to 7B003.
MT applies to entire entry.............  MT Column 1
RS applies to ``technology'' for         RS Column 1
 inertial navigation systems, inertial
 equipment and specially designed
 components therefor, for civil
 aircraft.
AT applies to entire entry.............  AT Column 1


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: (1) See also 7E102 and 7E994. (2) The
``technology'' related to 7A003.b, 7A005, 7A007, 7A103.b, 7A105,
7A106, 7A115, 7A116, 7A117, or 7B103 are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls (see 22 CFR part 121)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

7E003   ``Technology'' according to the General Technology Note for the
repair, refurbishing or overhaul of equipment controlled by 7A001 to
7A004.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: See also 7E994. This entry does not control
maintenance ``technology'' directly associated with calibration,
removal or replacement of damaged or unserviceable LRUs and SRAs of
a ``civil aircraft'' as described in Maintenance Level I or
Maintenance Level II
Related Definition: Refer to the Related Definitions for 7B001
Items: The list of items controlled is contained in the ECCN heading

7E004   Other ``technology'', as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: See also 7E104 and 7E994
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'' or ``production''
of:
    a.1. Airborne automatic direction finding equipment operating at
frequencies exceeding 5 MHz;
    a.2. Air data systems based on surface static data only, i.e.,
that dispense with conventional air data probes;
    a.3. Raster-type head-up displays or three dimensional displays
for ``aircraft'';
    a.4. Inertial navigation systems or gyro-astro compasses
containing accelerometers or gyros controlled by 7A001 or 7A002;
    a.5. Electric actuators (i.e., electromechanical,
electrohydrostatic and integrated actuator package) specially
designed for ``primary flight control'';
    a.6. ``Flight control optical sensor array'' specially designed
for implementing ``active flight control systems'';
    b. ``Development'' ``technology'', as follows, for ``active
flight control systems'' (including fly-by-wire or fly-by-light):
    b.1. Configuration design for interconnecting multiple
microelectronic processing elements (on-board computers) to achieve
``real time processing'' for control law implementation;
    b.2. Control law compensation for sensor location or dynamic
airframe loads, i.e., compensation for sensor vibration environment
or for variation of sensor location from the center of gravity;
    b.3. Electronic management of data redundancy or systems
redundancy for fault detection, fault tolerance, fault isolation or
reconfiguration;

    Note: 7E004.b.3. does not control ``technology'' for the design
of physical redundancy.

    b.4. Flight controls that permit inflight reconfiguration of
force and moment controls for real time autonomous air vehicle
control;
    b.5. Integration of digital flight control, navigation and
propulsion control data into a digital flight management system for
``total control of flight'';

    Note: 7E004.b.5 does not control:
    1. ``Development'' ``technology'' for integration of digital
flight control, navigation and propulsion control data into a
digital flight management system for ``flight path optimization'';
    2. ``Development'' ``technology'' for ``aircraft'' flight
instrument systems integrated solely for VOR, DME, ILS or MLS
navigation or approaches.

    b.6. Full authority digital flight control or multisensor
mission management systems employing ``expert systems'';
    N.B.: For ``technology'' for Full Authority Digital Engine
Control (``FADEC''), see 9E003.a.9.
    c. ``Technology'' for the ``development'' of helicopter systems,
as follows:
    c.1. Multi-axis fly-by-wire or fly-by-light controllers that
combine the functions of at least two of the following into one
controlling element:
    c.1.a. Collective controls;
    c.1.b. Cyclic controls;
    c.1.c. Yaw controls;

[[Page 2542]]

    c.2. ``Circulation-controlled anti-torque or circulation-
controlled directional control systems'';
    c.3. Rotor blades incorporating ``variable geometry airfoils''
for use in systems using individual blade control.

7E101  ``Technology'', other than ``technology'' controlled by 7E003,
according to the General Technology Note for the ``use'' of equipment
controlled by 7A001 to 7A006, 7A101 to 7A106, 7A115 to 7A117, 7B001,
7B002, 7B003, 7B102, 7B103, 7D101 to 7D103.

License Requirements

Reason for Control: MT, RS, AT


               Control(s)                         Country Chart

MT applies to entire entry.............  MT Column 1
RS applies to ``use'' of inertial        RS Column 1
 navigation systems, inertial equipment
 and specially designed components
 therefor, for civil aircraft.
AT applies to entire entry.............  AT Column 1


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: 1.) The ``technology'' related to 7A003.b, 7A005,
7A103.b, 7A105, 7A016, 7A115, 7A116, 7A117, 7B103, or 7D103 are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. (See 22 CFR part 121.) 2.)
``Technology'' for inertial navigation systems and inertial
equipment, and specially designed components therefor, not for use
on civil aircraft are subject to the export licensing authority of
the U.S. Department of State, Office of Defense Trade Controls. (See
22 CFR part 121.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

7E102  ``Technology'' for protection of avionics and electrical
subsystems against electromagnetic pulse (EMP) and electromagnetic
interference (EMI) hazards, from external sources, as follows (see List
of Items Controlled).

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Design ``technology'' for shielding systems;
    b. Design ``technology'' for the configuration of hardened
electrical circuits and subsystems;
    c. Design ``technology'' for the determination of hardening
criteria of .a and .b of this entry.

7E104  ``Technology'' for the integration of the flight control,
guidance, and propulsion data into a flight management system for
optimization of rocket system trajectory. (This entry is subject to the
export licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121.)

7E994  ``Technology'', n.e.s., for the ``development'', ``production'',
or ``use'' of navigation, airborne communication, and other avionics
equipment.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

EAR99  Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.

Category 8--Marine

A. Systems, Equipment and Components

8A001  Submersible vehicles and surface vessels, as follows (see List
of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $5000; N/A for 8A001.b and .d
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: For the control status of equipment for
submersible vehicles, see: Category 5, Part 2 ``Information
Security'' for encrypted communication equipment; Category 6 for
sensors; Categories 7 and 8 for navigation equipment; Category 8A
for underwater equipment.
Related Definitions: N/A
Items: a. Manned, tethered submersible vehicles designed to operate
at depths exceeding 1,000 m;
    b. Manned, untethered submersible vehicles, having any of the
following:
    b.1. Designed to operate autonomously and having a lifting
capacity of all the following:
    b.1.a. 10% or more of their weight in air; and
    b.1.b. 15 kN or more;
    b.2. Designed to operate at depths exceeding 1,000 m; or
    b.3. Having all of the following:
    b.3.a. Designed to carry a crew of 4 or more;
    b.3.b. Designed to operate autonomously for 10 hours or more;
    b.3.c. Having a range of 25 nautical miles or more; and
    b.3.d. Having a length of 21 m or less;

    Technical Notes:
    1. For the purposes of 8A001.b, ``operate autonomously'' means
fully submerged, without snorkel, all systems working and cruising
at minimum speed at which the submersible can safely control its
depth dynamically by using its depth planes only, with no need for a
support vessel or support base on the surface, sea-bed or shore, and
containing a propulsion system for submerged or surface use.
    2. For the purposes of 8A001.b, ``range'' means half the maximum
distance a submersible vehicle can cover.

    c. Unmanned, tethered submersible vehicles designed to operate
at depths exceeding 1,000 m, having any of the following:
    c.1. Designed for self-propelled manoeuvre using propulsion
motors or thrusters controlled by 8A002.a.2; or
    c.2. Having a fiber optic data link;
    d. Unmanned, untethered submersible vehicles, having any of the
following:
    d.1. Designed for deciding a course relative to any geographical
reference without real-time human assistance;
    d.2. Having an acoustic data or command link; or
    d.3. Having a fiber optic data or command link exceeding 1,000
m;
    e. Ocean salvage systems with a lifting capacity exceeding 5 MN
for salvaging objects from depths exceeding 250 m and having any of
the following:
    e.1. Dynamic positioning systems capable of position keeping
within 20 m of a given point provided by the navigation system; or
    e.2. Seafloor navigation and navigation integration systems for
depths exceeding 1,000 m with positioning accuracies to within 10 m
of a predetermined point;
    f. Surface-effect vehicles (fully skirted variety) having all of
the following characteristics:
    f.1. A maximum design speed, fully loaded, exceeding 30 knots in
a significant wave height of 1.25 m (Sea State 3) or more;
    f.2. A cushion pressure exceeding 3,830 Pa; and
    f.3. A light-ship-to-full-load displacement ratio of less than
0.70;
    g. Surface-effect vehicles (rigid sidewalls) with a maximum
design speed, fully loaded, exceeding 40 knots in a significant wave
height of 3.25 m (Sea State 5) or more;

[[Page 2543]]

    h. Hydrofoil vessels with active systems for automatically
controlling foil systems, with a maximum design speed, fully loaded,
of 40 knots or more in a significant wave height of 3.25 m (Sea
State 5) or more;
    i. Small waterplane area vessels having any of the following:
    i.1. A full load displacement exceeding 500 tons with a maximum
design speed, fully loaded, exceeding 35 knots in a significant wave
height of 3.25 m (Sea State 5) or more; or
    i.2. A full load displacement exceeding 1,500 tons with a
maximum design speed, fully loaded, exceeding 25 knots in a
significant wave height of 4 m (Sea State 6) or more.

    Technical Note: A small waterplane area vessel is defined by the
following formula: waterplane area at an operational design draught
less than 2  x  (displaced volume at the operational design draught)
<SUP>2/3</SUP>.

8A002  Systems and equipment, as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $5000; N/A for 8A002.o.3.b
GBS: Yes for 8A002.e.2 and manipulators for civil end-uses (e.g.,
underwater oil, gas or mining operations) controlled by 8A002.i.2
and having 5 degrees of freedom of movement
CIV: Yes for 8A002.e.2 and manipulators for civil end-uses (e.g.,
underwater oil, gas or mining operations) controlled by 8A002.i.2
and having 5 degrees of freedom of movement

List of Items Controlled

Unit: Equipment in number
Related Controls: See also 8A992 and for underwater communications
systems, see Category 5, Part I--Telecommunications.
Related Definitions: N/A
Items: a. Systems and equipment, specially designed or modified for
submersible vehicles, designed to operate at depths exceeding 1,000
m, as follows:
    a.1. Pressure housings or pressure hulls with a maximum inside
chamber diameter exceeding 1.5 m;
    a.2. Direct current propulsion motors or thrusters;
    a.3. Umbilical cables, and connectors therefor, using optical
fiber and having synthetic strength members;
    b. Systems specially designed or modified for the automated
control of the motion of equipment for submersible vehicles
controlled by 8A001 using navigation data and having closed loop
servo-controls:
    b.1. Enabling a vehicle to move within 10 m of a predetermined
point in the water column;
    b.2. Maintaining the position of the vehicle within 10 m of a
predetermined point in the water column; or
    b.3. Maintaining the position of the vehicle within 10 m while
following a cable on or under the seabed;
    c. Fiber optic hull penetrators or connectors;
    d. Underwater vision systems, as follows:
    d.1. Television systems and television cameras, as follows:
    d.1.a. Television systems (comprising camera, monitoring and
signal transmission equipment) having a limiting resolution when
measured in air of more than 800 lines and specially designed or
modified for remote operation with a submersible vehicle;
    d.1.b. Underwater television cameras having a limiting
resolution when measured in air of more than 1,100 lines;
    d.1.c. Low light level television cameras specially designed or
modified for underwater use containing all of the following:
    d.1.c.1. Image intensifier tubes controlled by 6A002.a.2.a; and
    d.1.c.2. More than 150,000 ``active pixels'' per solid state
area array;

    Technical Note: Limiting resolution in television is a measure
of horizontal resolution usually expressed in terms of the maximum
number of lines per picture height discriminated on a test chart,
using IEEE Standard 208/1960 or any equivalent standard.

    d.2. Systems, specially designed or modified for remote
operation with an underwater vehicle, employing techniques to
minimize the effects of back scatter, including range-gated
illuminators or ``laser'' systems;
    e. Photographic still cameras specially designed or modified for
underwater use below 150 m having a film format of 35 mm or larger,
and having any of the following:
    e.1. Annotation of the film with data provided by a source
external to the camera;
    e.2. Automatic back focal distance correction; or
    e.3. Automatic compensation control specially designed to permit
an underwater camera housing to be usable at depths exceeding 1,000
m;
    f. Electronic imaging systems, specially designed or modified
for underwater use, capable of storing digitally more than 50
exposed images;
    g. Light systems, as follows, specially designed or modified for
underwater use:
    g.1. Stroboscopic light systems capable of a light output energy
of more than 300 J per flash and a flash rate of more than 5 flashes
per second;
    g.2. Argon arc light systems specially designed for use below
1,000 m;
    h. ``Robots'' specially designed for underwater use, controlled
by using a dedicated ``stored program controlled'' computer, having
any of the following:
    h.1. Systems that control the ``robot'' using information from
sensors which measure force or torque applied to an external object,
distance to an external object, or tactile sense between the
``robot'' and an external object; or
    h.2. The ability to exert a force of 250 N or more or a torque
of 250 Nm or more and using titanium based alloys or ``fibrous or
filamentary'' ``composite'' materials in their structural members;
    i. Remotely controlled articulated manipulators specially
designed or modified for use with submersible vehicles, having any
of the following:
    i.1. Systems which control the manipulator using the information
from sensors which measure the torque or force applied to an
external object, or tactile sense between the manipulator and an
external object; or
    i.2. Controlled by proportional master-slave techniques or by
using a dedicated ``stored program controlled'' computer, and having
5 degrees of freedom of movement or more;

    Note: Only functions having proportional control using
positional feedback or by using a dedicated ``stored program
controlled'' computer are counted when determining the number of
degrees of freedom of movement.

    j. Air independent power systems, specially designed for
underwater use, as follows:
    j.1. Brayton or Rankine cycle engine air independent power
systems having any of the following:
    j.1.a. Chemical scrubber or absorber systems specially designed
to remove carbon dioxide, carbon monoxide and particulates from
recirculated engine exhaust;
    j.1.b. Systems specially designed to use a monoatomic gas;
    j.1.c. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz, or special mounting
devices for shock mitigation; or
    j.1.d. Systems specially designed:
    j.1.d.1. To pressurize the products of reaction or for fuel
reformation;
    j.1.d.2. To store the products of the reaction; and
    j.1.d.3. To discharge the products of the reaction against a
pressure of 100 kPa or more;
    j.2. Diesel cycle engine air independent systems, having all of
the following:
    j.2.a. Chemical scrubber or absorber systems specially designed
to remove carbon dioxide, carbon monoxide and particulates from
recirculated engine exhaust;
    j.2.b. Systems specially designed to use a monoatomic gas;
    j.2.c. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; and
    j.2.d. Specially designed exhaust systems that do not exhaust
continuously the products of combustion;
    j.3. Fuel cell air independent power systems with an output
exceeding 2 kW having any of the following:
    j.3.a. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; or
    j.3.b. Systems specially designed:
    j.3.b.1. To pressurize the products of reaction or for fuel
reformation;
    j.3.b.2. To store the products of the reaction; and
    j.3.b.3. To discharge the products of the reaction against a
pressure of 100 kPa or more;

[[Page 2544]]

    j.4. Stirling cycle engine air independent power systems, having
all of the following:
    j.4.a. Devices or enclosures specially designed for underwater
noise reduction in frequencies below 10 kHz or special mounting
devices for shock mitigation; and
    j.4.b. Specially designed exhaust systems which discharge the
products of combustion against a pressure of 100 kPa or more;
    k. Skirts, seals and fingers, having any of the following:
    k.1. Designed for cushion pressures of 3,830 Pa or more,
operating in a significant wave height of 1.25 m (Sea State 3) or
more and specially designed for surface effect vehicles (fully
skirted variety) controlled by 8A001.f; or
    k.2. Designed for cushion pressures of 6,224 Pa or more,
operating in a significant wave height of 3.25 m (Sea State 5) or
more and specially designed for surface effect vehicles (rigid
sidewalls) controlled by 8A001.g;
    l. Lift fans rated at more than 400 kW specially designed for
surface effect vehicles controlled by 8A001.f or 8A001.g;
    m. Fully submerged subcavitating or supercavitating hydrofoils
specially designed for vessels controlled by 8A001.h;
    n. Active systems specially designed or modified to control
automatically the sea-induced motion of vehicles or vessels
controlled by 8A001.f, 8A001.g, 8A001.h or 8A001.i;
    o. Propellers, power transmission systems, power generation
systems and noise reduction systems, as follows:
    o.1. Water-screw propeller or power transmission systems, as
follows, specially designed for surface effect vehicles (fully
skirted or rigid sidewall variety), hydrofoils or small waterplane
area vessels controlled by 8A001.f, 8A001.g, .8A001.h or 8A001.i:
    o.1.a. Supercavitating, super-ventilated, partially-submerged or
surface piercing propellers rated at more than 7.5 MW;
    o.1.b. Contrarotating propeller systems rated at more than 15
MW;
    o.1.c. Systems employing pre-swirl or post-swirl techniques for
smoothing the flow into a propeller;
    o.1.d. Light-weight, high capacity (K factor exceeding 300)
reduction gearing;
    o.1.e. Power transmission shaft systems, incorporating
``composite'' material components, capable of transmitting more than
1 MW;
    o.2. Water-screw propeller, power generation systems or
transmission systems designed for use on vessels, as follows:
    o.2.a. Controllable-pitch propellers and hub assemblies rated at
more than 30 MW;
    o.2.b. Internally liquid-cooled electric propulsion engines with
a power output exceeding 2.5 MW;
    o.2.c. ``Superconductive'' propulsion engines, or permanent
magnet electric propulsion engines, with a power output exceeding
0.1 MW;
    o.2.d. Power transmission shaft systems, incorporating
``composite'' material components, capable of transmitting more than
2 MW;
    o.2.e. Ventilated or base-ventilated propeller systems rated at
more than 2.5 MW;
    o.3. Noise reduction systems designed for use on vessels of
1,000 tons displacement or more, as follows:
    o.3.a. Systems that attenuate underwater noise at frequencies
below 500 Hz and consist of compound acoustic mounts for the
acoustic isolation of diesel engines, diesel generator sets, gas
turbines, gas turbine generator sets, propulsion motors or
propulsion reduction gears, specially designed for sound or
vibration isolation, having an intermediate mass exceeding 30% of
the equipment to be mounted;
    o.3.b. Active noise reduction or cancellation systems, or
magnetic bearings, specially designed for power transmission
systems, and incorporating electronic control systems capable of
actively reducing equipment vibration by the generation of anti-
noise or anti-vibration signals directly to the source;
    p. Pumpjet propulsion systems having a power output exceeding
2.5 MW using divergent nozzle and flow conditioning vane techniques
to improve propulsive efficiency or reduce propulsion-generated
underwater-radiated noise;

8A018  Items on the International Munitions List.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: $5000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Closed and semi-closed circuit (rebreathing) apparatus for
diving and underwater swimming, and specially designed components
for use in the conversion of open-circuit apparatus to military use;
    b. Naval equipment, as follows:
    b.1. Diesel engines of 1,500 hp and over with rotary speed of
700 rpm or over specially designed for submarines;
    b.2. Electric motors specially designed for submarines, i.e.,
over 1,000 hp, quick reversing type, liquid cooled, and totally
enclosed;
    b.3. Nonmagnetic diesel engines, 50 hp and over, specially
designed for military purposes. (An engine shall be presumed to be
specially designed for military purposes if it has nonmagnetic parts
other than crankcase, block, head, pistons, covers, end plates,
valve facings, gaskets, and fuel, lubrication and other supply
lines, or its nonmagnetic content exceeds 75 percent of total
weight.);
    b.4. Marine boilers designed to have any of the following
characteristics:
    b.4.a. Heat release rate (at maximum rating) equal to or in
excess of 190,000 BTU per hour per cubic foot of furnace volume; or
    b.4.b. Ratio of steam generated in pounds per hour (at maximum
rating) to the dry weight of the boiler in pounds equal to or in
excess of 0.83;
    b.5. Submarine and torpedo nets; and
    b.6. Components, parts, accessories, and attachments for the
above.

8A992  Underwater systems or equipment, not controlled by 8A002, and
specially designed parts therefor.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Underwater vision systems, as follows:
    a.1. Television systems (comprising camera, lights, monitoring
and signal transmission equipment) having a limiting resolution when
measured in air of more than 500 lines and specially designed or
modified for remote operation with a submersible vehicle; or
    a.2. Underwater television cameras having a limiting resolution
when measured in air of more than 700 lines;

    Technical Note: Limiting resolution in television is a measure
of horizontal resolution usually expressed in terms of the maximum
number of lines per picture height discriminated on a test chart,
using IEEE Standard 208/1960 or any equivalent standard.

    b. Photographic still cameras specially designed or modified for
underwater use, having a film formate of 35 mm or larger, and having
autofocussing or remote focussing specially designed for underwater
use;
    c. Stroboscopic light systems, specially designed or modified
for underwater use, capable of a light output energy of more than
300 J per flash;
    d. Other underwater camera equipment, n.e.s.;
    e. Other submersible systems, n.e.s.;
    f. Boats, n.e.s., including inflatable boats, and specially
designed components therefor, n.e.s.;
    g. Marine engines (both inboard and outboard) and submarine
engines, n.e.s; and specially designed parts therefor, n.e.s.;
    h. Other self-contained underwater breathing apparatus (scuba
gear) and related equipment, n.e.s.;
    i. Pressure regulators, air cylinders, hoses, valves and
backpacks for the apparatus described in paragraph 8A002.q;
    j. Life jackets, inflation cartridges, compasses, wetsuits,
masks, fins, weight belts, and dive computers;
    k. Underwater lights and propulsion equipment;
    l. Air compressors and filtration systems specially designed for
filling air cylinders.

[[Page 2545]]

B. Test, Inspection and Production Equipment

8B001  Water tunnels, having a background noise of less than 100 dB
(reference 1 <greek-m>Pa, 1 Hz) in the frequency range from 0 to 500
Hz, designed for measuring acoustic fields generated by a hydro-flow
around propulsion system models.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

C. Materials

8C001  Syntactic foam designed for underwater use, having all of the
following (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definition: Syntactic foam consists of hollow spheres of
plastic or glass embedded in a resin matrix
Items: a. Designed for marine depths exceeding 1,000 m; and
    b. A density less than 561 kg/m\3\.

D. Software

8D001  ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment or materials
controlled by 8A (except 8A018 or 8A992), 8B or 8C.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain,
Sweden, or the United Kingdom of ``software'' specially designed for
the ``development'' or ``production'' of equipment controlled by
8A001.b, 8A001.d, or 8A002.o.3.b

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

8D002  Specific ``software'' specially designed or modified for the
``development'', ``production'', repair, overhaul or refurbishing (re-
machining) of propellers specially designed for underwater noise
reduction.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes

List of Items Controlled

Unit: $ value
Related Controls: See also 8D992
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

8D992  ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
8A992.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

E. Technology

8E001  ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of equipment or materials controlled
by 8A (except 8A018 or 8A992), 8B or 8C.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes, except for exports or reexports to destinations outside of
Austria, Belgium, Canada, Denmark, Finland, France, Germany, Greece,
Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain,
Sweden, or the United Kingdom of ``technology'' for items controlled
by 8A001.b, 8A001.d, or 8A002.o.3.b
TSR: Yes

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

8E002  Other ``technology'', as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

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


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

CIV: N/A
TSR: Yes

List of Items Controlled

Unit: N/A
Related Controls: See also 8E992
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'', ``production'',
repair, overhaul or refurbishing (re-machining) of propellers
specially designed for underwater noise reduction;
    b. ``Technology'' for the overhaul or refurbishing of equipment
controlled by 8A001, 8A002.b, 8A002.j, 8A002.o or 8A002.p.

8E992  ``Technology'' for the ``development'', ``production'' or
``use'' of equipment controlled by 8A992.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

CIV: N/A
TSR: N/A

List of Items Controlled

Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading`

[[Page 2546]]

EAR99  Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.

Category 9--Propulsion Systems, Space Vehicles and Related Equipment

A. Systems, Equipment and Components

(For propulsion systems designed or rated against neutron or
transient ionizing radiation, see the U.S. Munitions List, 22 CFR
part 121.)

9A001  Aero gas turbine engines incorporating any of the
``technologies'' controlled by 9E003.a, as follows (see List of Items
Controlled).

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 1
MT applies to only to those engines      MT Column 1
 that meet the characteristics listed
 in 9A101.
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 9A101 and 9A991
Related Definitions: N/A
Items: a. Not certified for the specific ``civil aircraft'' for
which they are intended;

    Note: For the purpose of the ``civil aircraft'' certification
process, a number of up to 16 civil certified engines, assemblies,
or components including spares is considered appropriate.
    b. Not certified for civil use by the aviation authorities in
Country Group A:1;
    c. Designed to cruise at speeds exceeding Mach 1.2 for more than
thirty minutes.

9A002  Marine gas turbine engines with an ISO standard continuous power
rating of 24,245 kW or more and a specific fuel consumption not
exceeding 0.219 kg/kWh in the power range from 35 to 100%, and
specially designed assemblies and components therefor.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $5000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definition: The term ``marine gas turbine engines'' includes
those industrial, or aero-derivative, gas turbine engines adapted
for a ship's electric power generation or propulsion
Items: The list of items controlled is contained in the ECCN heading

9A003  Specially designed assemblies and components, incorporating any
of the ``technologies'' controlled by 9E003.a, for gas turbine engine
propulsion systems, as follows (see List of Items Controlled).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $5000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definition: N/A
Items: a. Controlled by 9A001;
    b. Whose design or production origins are either countries in
Country Group D:1 or unknown to the manufacturer.

9A004  Space launch vehicles and ``spacecraft''.

License Requirements

Reason for Control: NS, SI, AT


               Control(s)                         Country Chart

                 NS applies to entire entry NS Column 1
SI applies to commercial communications satellites controlled by 9A004
 that include the individual munitions list systems, components, or
 parts identified on the United States Munitions List (USML). 22 CFR
 part 121. See Sec.  742.14 of the EAR for additional information.
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; components, parts and accessories in $
value
Related Controls: (1) See also 9A104 (2) This entry describes space
launch vehicles (not including their payloads) and other
``spacecraft''. (3) Commercial communications satellites are subject
to Commerce licensing jurisdiction even if they include the
individual munitions list systems, components, or parts identified
on the United States Munitions List (USML). In all other cases,
these systems, components, or parts remain on the USML, except that
satellite fuel, ground support equipment, test equipment, payload
adapter/interface hardware, replacement parts for the preceding
items, and non-embedded, solid propellant orbit transfer orbit
transfer engines (``kick motors'') are subject to Commerce licensing
jurisdiction (and not controlled on the USML) when they are to be
utilized for the specific commercial communications satellite
launch, provided the solid propellant ``kick motor'' being utilized
is not specifically designed or modified for military use or capable
of being restarted after achievement of mission orbit (such orbit
transfer engines are always controlled on USML). Technical data (as
defined in 120.10 of the International Traffic in Arms Regulations
(ITAR)) and defense services (as defined in 120.9 of the ITAR)
related to the systems, components, or parts on the USML are always
controlled under the USML, even when the satellite itself is
licensed by the Department of Commerce. (4) Military communications
satellites or multi-mission satellites, including commercial
communications satellites having additional non-communication
mission(s) or payload(s) are under the jurisdiction of the
Department of State. (5) Other ``spacecraft'' not subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls under 22 CFR part 121. This entry includes
the international space station being developed, launched and
operated under the supervision of the U.S. National Aeronautics and
Space Administration. Exporters requesting a license from the
Department of Commerce for spacecraft other than the international
space station or a commercial communications satellite specified in
9A004 must provide a statement from the Department of State, Office
of Defense Trade Controls, verifying that the item intended for
export is under the licensing jurisdiction of the Department of
Commerce. (6) All other spacecraft, including all other satellites
not controlled under 9A004 and components, parts, accessories,
attachments, associated equipment, and ground support equipment
therefor are subject to the export licensing authority of the
Department of State. (7) Items on the USML that are included in a
commercial communications satellite to be exported under a Commerce
license must be specifically listed on the Commerce license
application. Such items when not included in a specific commercial
communications satellite are under the jurisdiction of the
Department of State. (8) Technical data provided to the launch
provider (form, fit, function, mass, electrical, mechanical,
dynamic/environmental, telemetry, safety, facility, launch pad
access, and launch parameters) for commercial communications
satellites that describe the interfaces for mating of the satellite
to the launch vehicle and parameters for launch (e.g. orbit, timing)
of the satellite, are under Commerce jurisdiction. Other technical
data and all defense services and technical assistance for satellite
and/or launch vehicles, including compatibility, integration, or
processing data are controlled and subject to licensing by the
Department of State, in accordance with 22 CFR parts 120 through
130. Approval for such technical assistance will require a Technical
Assistance Agreement (TAA) and may require U.S. Government
oversight. (9) Once a satellite is launched, items remaining
unlaunched are required to be returned immediately to

[[Page 2547]]

the United States. If the satellite launch is canceled or unduly
delayed, the satellite and all support equipment must be returned
immediately to the United States. (10) Detailed design, development,
production, or manufacturing data for all spacecraft, including
satellites, regardless of which agency has jurisdiction over the
export, and all systems components, parts, accessories, attachments,
and associated equipment (including ground support equipment)
specifically designed or modified for articles on the USML
(including software source code and operating algorithms) are
subject to licensing by the Department of State. This does not
include that level of technical data (including marketing data)
necessary and reasonable for a purchaser to have assurance that a
U.S.-built item intended to operate in space has been designed,
manufactured and tested in conformance with specified contract
requirements (e.g., operational performance, reliability, lifetime,
product quality, or delivery expectations) as well as data necessary
for normal in-orbit satellite operations, to evaluate in-orbit
anomalies, and to operate and maintain associated ground station
equipment (except encryption hardware). (11) For the control status
of products contained in ``spacecraft'' payloads, see the
appropriate categories
Related Definitions: Transferring registration or operational
control to any foreign person of any commercial communications
satellite controlled by this entry must be authorized on a license
issued by the Bureau of Export Administration. This requirement
applies whether the commercial communications satellite is
physically located in the United States or abroad
Items: The list of items controlled is contained in the ECCN heading

9A005  Liquid rocket propulsion systems containing any of the
systems or components controlled by 9A006. (These items are subject
to the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. See 22 CFR part 121.)

9A006  Systems and components specially designed for liquid rocket
propulsion systems. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)

9A007  Solid rocket propulsion systems. (These items are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. See 22 CFR part 121.)

9A008  Components specially designed for solid rocket propulsion
systems. (These items are subject to the export licensing authority
of the U.S. Department of State, Office of Defense Trade Controls.
See 22 CFR part 121.)

9A009  Hybrid rocket propulsion systems. (These items are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. See 22 CFR part 121.)

9A010  Specially designed components, systems and structures for
launch vehicles, launch vehicle propulsion systems or
``spacecraft''. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)

9A011  Ramjet, scramjet or combined cycle engines and specially
designed components therefor. (These items are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121.)

9A018  Equipment on the International Munitions List.

License Requirements

Reason for Control: NS, RS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 1
RS applies to 9A018.a and b............  RS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $1500
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value

Related Controls: (a) Parachute systems designed for use in dropping
military equipment, braking military aircraft, slowing spacecraft
descent, or retarding weapons delivery; AND (b) Instrument flight
trainers for combat simulation are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. (See 22 CFR part 121, Category VIII.)
Related Definition: This entry controls parachute systems designed
for use in dropping personnel only.
Items: a. Military trainer aircraft bearing ``T'' designations:
    a.1. Using reciprocating engines; or
    a.2. Turbo prop engines with less than 600 horse power (h.p.);
    a.3. T-37 model jet trainer aircraft; and
    a.4. Specially designed component parts.
    b. Vehicles specially designed or modified for military
purposes. (See Sec. 770, Interpretation 8)
    c. Pressure refuelers, pressure refueling equipment, and
equipment specially designed to facilitate operations in confined
areas; and ground equipment, n.e.s, developed specially for military
aircraft and helicopters, and specially designed parts and
accessories, n.e.s.;
    d. Pressurized breathing equipment specially designed for use in
military aircraft and helicopters;
    e. Military parachutes and complete canopies, harnesses, and
platforms and electronic release mechanisms therefor, except such
types as are in normal sporting use;
    f. Military instrument flight trainers, except for combat
simulation; and components, parts, attachments and accessories
specially designed for such equipment.

9A018  Equipment on the International Munitions List.

License Requirements

Reason for Control: NS, RS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 1
RS applies to 9A018. a and b...........  RS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $1500
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: (1) This entry controls parachute systems designed
for use in dropping personnel only. (2) Parachute systems designed
for use in dropping military equipment, braking military aircraft,
slowing spacecraft descent, or retarding weapons delivery; AND
Instrument flight trainers for combat simulation are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: N/A
Items: a. Military trainer aircraft bearing ``T'' designations:
    a.1. Using reciprocating engines; or
    a.2. Turbo prop engines with less than 600 horse power (h.p.);
    a.3. T-37 model jet trainer aircraft; and
    a.4. Specially designed component parts.
    b. Ground vehicles and components therefor, specially designed
or modified for military purposes. (See part 770 of the EAR,
Interpretation 8)
    c. Pressurized breathing equipment specially designed for use in
military aircraft and helicopters;
    d. Military parachutes;
    e. Military instrument flight trainers, except for combat
simulation; and components, parts, attachments and accessories
specially designed for such equipment.

9A101  Lightweight turbojet and turbofan engines (including
turbocompound engines) usable in ``missiles'', other than those
controlled by 9A001, as follows (see List of Items Controlled).

License Requirements

Reason for Control: MT, AT

[[Page 2548]]


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: (1) Items controlled in 9A101.b are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls (see 22 CFR part 121). (2) Engines
designed or modified for missiles (except engines for non-military
unmanned air vehicles [UAVs] or remotely piloted vehicles [RPVs]),
regardless of thrust or specific fuel consumption, are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. (See 22 CFR part 121.)
Related Definitions: N/A
Items: a. Engines having both of the following characteristics:
    a.1. Maximum thrust value greater than 1000 N (achieved un-
installed) excluding civil certified engines with a maximum thrust
value greater than 8,890 N (achieved un-installed), and
    a.2. Specific fuel consumption of 0.13 kg/N/hr or less (at sea
level static and standard conditions); or
    b. Engines designed or modified for use in ``missiles''.

9A104  Sounding rockets, capable of a range of at least 300 km.
(These items are subject to the export licensing authority of the
U.S. Department of State, Office of Defense Trade Controls. See 22
CFR part 121.)

9A105  Liquid propellant rocket engines. (These items are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. See 22 CFR part 121.)

9A106  Liquid rocket propulsion systems or components, other than
those controlled by 9A006, usable in rockets with a range capability
of 30 Km or greater, as follows (see List of Items Controlled).

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment and components in number; parts and accessories in $
value
Related Controls: Items described in 9A106.a, .b, and .c are subject
to the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls (See 22 CFR part 121)
Related Definitions: N/A
Items: a. Ablative liners for thrust or combustion chambers;
    b. Rocket nozzles;
    c. Thrust vector control sub-systems;

    Technical Note: Examples of methods of achieving thrust vector
control controlled by 9A106.c includes:
    1. Flexible nozzle;
    2. Fluid or secondary gas injection;
    3. Movable engine or nozzle;
    4. Deflection of exhaust gas steam (jet vanes or probes); or
    5. Thrust tabs.

    d. Liquid and slurry propellant (including oxidizers) control
systems, and specially designed components therefor, designed or
modified to operate in vibration environments of more than 10 g rms
between 20 Hz and 2000 Hz.

    Note: The only servo valves and pumps controlled by 9A106.d, are
the following:
    a. Servo valves designed for flow rates of 24 liters per minute
or greater, at an absolute pressure of 7 Mpa or greater, that have
an actuator response time of less than 100 ms;
    b. Pumps, for liquid propellants, with shaft speeds equal to or
greater than 8,000 rpm or with discharge pressures equal to or
greater than 7 Mpa.

9A107  Solid propellant rocket engines, usable in rockets with a
range capability of 300 Km or greater, other than those controlled
by 9A007, having total impulse capacity of 0.841 Mns or greater.
(These items are subject to the export licensing authority of the
U.S. Department of State, Office of Defense Trade Controls. See 22
CFR part 121.)

9A108  Solid rocket propulsion components, other than those
controlled by 9A008, usable in rockets with a range capability of
300 Km or greater. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)

9A109  Hybrid rocket motors, usable in rockets with a range
capability of 300 Km or greater, other than those controlled by
9A009, and specially designed components therefor. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)

9A110  Composite structures, laminates and manufactures thereof,
other than those controlled by entry 9A010, specially designed for
use in ``missiles'' or the subsystems controlled by entries 9A005,
9A007, 9A105.a, 9A106 to 9A108, 9A116 or 9A119, and resin
impregnated fiber prepregs and metal coated fiber preforms therefor,
made either with organic matrix or metal matrix utilizing fibrous or
filamentary reinforcements having a specific tensile strength
greater than 7.62  x  10\4\ m and a specific modulus greater than
3.18 x 10\6\ m.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Kilograms
Related Controls: (1) See also 1A002, 1C010, and 1C210. (2) The only
resin impregnated fiber prepregs controlled by entry 9A110 are those
using resins with a glass transition temperature (T<INF>g</INF>),
after cure, exceeding 418 K (145 deg. C) as determined by ASTM D4065
or equivalents. (3) ``Composite structures, laminates, and
manufactures thereof, specially designed for use in missile systems
are under the licensing authority of the Office of Defense Trade
Controls, U.S. Department of State, except those specially designed
for non-military unmanned air vehicles controlled in 9A120
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

9A111  Pulse jet engines, usable in ``missiles'', and specially
designed components therefor. (These items are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121.)

9A115  Launch support equipment, designed or modified for
``missiles''. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)

9A116  Reentry vehicles, usable in ``missiles'', and equipment
designed or modified therefor. (These items are subject to the
export licensing authority of the U.S. Department of State, Office
of Defense Trade Controls. See 22 CFR part 121.)

9A117  Staging mechanisms, separation mechanisms, and interstages,
usable in ``missiles''. (These items are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls. See 22 CFR part 121.)

9A118  Devices to regulate combustion usable in engines which are
usable in rockets with a range capability greater than 300 Km or

[[Page 2549]]

greater, controlled by 9A011 or 9A111. (These items are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls. See 22 CFR part 121.)

9A119  Individual rocket stages, usable in rockets with a range
capability greater than 300 Km or greater, other than those
controlled by 9A005, 9A007, 9A009, 9A105, 9A107 and 9A109. (These
items are subject to the export licensing authority of the U.S.
Department of State, Office of Defense Trade Controls. See 22 CFR
part 121.)

9A120  Non-military unmanned air vehicle systems (UAVs) and remotely
piloted vehicles (RPVs) that are capable of a maximum range of at
least 300 kilometers (km), regardless of payload.

License Requirements

Reason for Control: MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

9A980  Nonmilitary mobile crime science laboratories; and parts and
accessories, n.e.s.

License Requirements

Reason for Control: CC


               Control(s)                         Country Chart

CC applies to entire entry.............  CC Column 1


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

9A990  Diesel engines, n.e.s., and tractors and specially designed
parts therefor, n.e.s.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

AT applies to entire entry except        AT Column 1
 9A990.a.
AT applies to 9A990.a only.............  AT Column 2


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Diesel engines, n.e.s., for trucks, tractors, and
automotive applications of continuous brake horsepower of 400 BHP
(298 kW) or greater (performance based on SAE J1349 standard
conditions of 100 Kpa and 25 deg.)
    b. Off highway wheel tractors of carriage capacity 9 mt (20,000
lbs) or more; and parts and accessories, n.e.s.
    c. On-Highway tractors, with single or tandem rear axles rated
for 9 mt per axel (20,000 lbs.) or greater and specially designed
parts.

9A991   ``Aircraft'', n.e.s., and gas turbine engines not controlled by
9A001 or 9A101 and parts and components, n.e.s.

License Requirements

Reason for Control: AT, UN


               Control(s)                         Country Chart

AT applies to entire entry.............  AT Column 1
UN applies to 9A991.a..................  Rwanda


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: a. Military aircraft, demilitarized (not specifically
equipped or modified for military operation), as follows:
    a.1. Cargo, ``C-45 through C-118'' inclusive, and ``C-121,''
    a.2. Trainers, bearing a ``T'' designation and using piston
engines,
    a.3. Utility, bearing a ``U'' designation and using piston
engines,
    a.4. Liaison, bearing an ``L'' designation, and
    a.5. Observation, bearing an ``O'' designation and using piston
engines;
    b. Civil aircraft; and

    Note: Specify make and model of aircraft and type of avionic
equipment on aircraft.

    c. Aero gas turbine engines, and specially designed parts
therefor.

    Note: 9A991.c does not control aero gas turbine engines that are
destined for use in civil ``aircraft'' and that have been in use in
bona fide civil ``aircraft'' for more than eight years.

    d. Aircraft parts and components, n.e.s.
    e. Pressurized aircraft breathing equipment, n.e.s.; and
specially designed parts therefor, n.e.s.

9A992   Complete canopies, harnesses, and platforms and electronic
release mechanisms therefor, except such types as are in normal
sporting use.

License Requirements

Reason for Control: AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The List of Items Controlled is contained in the ECCN heading

B. Test, Inspection and Production Equipment

9B001   Specially designed equipment, tooling and fixtures, as follows
(see List of Items Controlled), for manufacturing or measuring gas
turbine blades, vanes or tip shroud castings.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 1
MT applies only to equipment for         MT Column 1
 engines that meet the characteristics
 described in 9A001.
AT applies to entire entry.............  AT Column 1


    License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.

License Exceptions

LVS: $5000, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT

List of Items Controlled

Unit: $ value
Related Controls: For specially designed production equipment of
systems, sub-systems and components controlled by 9A005 to 9A009,
9A011, 9A101, 9A105 to 9A109, 9A111, and 9A116 to 9A119 usable in
``missiles'' see 9B115. See also 9B991
Related Definitions: N/A
Items: a. Directional solidification or single crystal casting
equipment;
    b. Ceramic cores or shells;
    c. Ceramic core manufacturing equipment or tools;
    d. Ceramic shell wax pattern preparation equipment.

9B002   On-line (real time) control systems, instrumentation (including
sensors) or automated data acquisition and processing equipment,
specially designed for the ``development'' of gas turbine engines,
assemblies or components incorporating ``technologies'' controlled by
9E003.a.

License Requirements

Reason for Control: NS, MT, AT

[[Page 2550]]


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 1
MT applies only to equipment for         MT Column 1
 engines that meet the characteristics
 described in 9A001.
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT

List of Items Controlled

Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

9B003   Equipment specially designed for the ``production'' or test of
gas turbine brush seals designed to operate at tip speeds exceeding 335
m/s, and temperatures in excess of 773 K (500 deg.C), and specially
designed components or accessories therefor.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 1
MT applies only to equipment for         MT Column 1
 engines that meet the characteristics
 described in 9A001.
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $5000, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT

List of Items Controlled

Unit: $ value
Related Controls: See also 9B115
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

9B004  Tools, dies or fixtures for the solid state joining of
``superalloy'', titanium or intermetallic airfoil-to-disk combinations
described in 9E003.a.3 or 9E003.a.6 for gas turbines.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 1
MT applies only to equipment for         MT Column 1
 engines that meet the characteristics
 described in 9A001.
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000, except N/A for MT
GBS: Yes, except N/A for MT
CIV: Yes, except N/A for MT

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

9B005  On-line (real time) control systems, instrumentation (including
sensors) or automated data acquisition and processing equipment,
specially designed for use with any of the following wind tunnels or
devices (see List of Items Controlled).

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: $ value
Related Controls: See also 9B105
Related Definitions: N/A
Items: a. Wind tunnels designed for speeds of Mach 1.2 or more,
except those specially designed for educational purposes and having
a test section size (measured laterally) of less than 250 mm;

    Technical Note: Test section size in 9B005.a means the diameter
of the circle, or the side of the square, or the longest side of the
rectangle, at the largest test section location.

    b. Devices for simulating flow-environments at speeds exceeding
Mach 5, including hot-shot tunnels, plasma arc tunnels, shock tubes,
shock tunnels, gas tunnels and light gas guns; or
    c. Wind tunnels or devices, other than two-dimensional sections,
capable of simulating Reynolds number flows exceeding
25 x 10<SUP>6</SUP>.

9B006  Acoustic vibration test equipment capable of producing sound
pressure levels of 160 Db or more (referenced to 20 uPa) with a rated
output of 4 kW or more at a test cell temperature exceeding 1,273 K
(1,000  deg.C), and specially designed quartz heaters therefor.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $3000
GBS: Yes
CIV: Yes

List of Items Controlled

Unit: Number
Related Controls: See also 9B106. Note that some items in 9B006 may
also be controlled under 9B106
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

9B007  Equipment specially designed for inspecting the integrity of
rocket motors using non-destructive test (NDT) techniques other than
planar X-ray or basic physical or chemical analysis.

License Requirements

Reason for Control: NS, MT, AT


               Control(s)                         Country Chart

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


License Exceptions

LVS: N/A
GSB N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

9B008  Transducers specially designed for the direct measurement of the
wall skin friction of the test flow with a stagnation temperature
exceeding 833 K (560  deg.C).

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $5000
GSB N/A
CIV: N/A

List of Items Controlled

Unit: Number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

9B009  Tooling specially designed for producing turbine engine powder
metallurgy rotor components capable of operating at stress levels of
60% of ultimate tensile strength (UTS) or more and metal temperatures
of 873 K (600  deg.C) or more.

License Requirements

Reason for Control: NS, AT


               Control(s)                         Country Chart

NS applies to entire entry.............  NS Column 2
AT applies to entire entry.............  AT Column 1


License Exceptions

LVS: $5000
GBS: N/A
CIV: N/A

List of Items Controlled

Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading

[[Continued on page 2551]]
