Supplement No. 2 to Part 742 - Anti-Terrorism Controls: North Korea, Syria Contract Sanctity Dates and Related Policies
15:2.1.3.4.27.0.1.20.37 :
Supplement No. 2 to Part 742 - Anti-Terrorism Controls: North
Korea, Syria Contract Sanctity Dates and Related Policies Note:
Exports and reexports of items in performance of contracts
entered into before the applicable contract sanctity date(s) will
be eligible for review on a case-by-case basis or other applicable
licensing policies that were in effect prior to the contract
sanctity date. The contract sanctity dates set forth in this
Supplement are for the guidance of exporters. Contract sanctity
dates are established in the course of the imposition of foreign
policy controls on specific items and are the relevant dates for
the purpose of licensing determinations involving such items. If
you believe that a specific contract sanctity date is applicable to
your transaction, you should include all relevant information with
your license application. BIS will determine any applicable
contract sanctity date at the time an application with relevant
supporting documents is submitted.
(a) Terrorist-supporting countries. The Secretary of
State has designated North Korea, and Syria as countries whose
governments have repeatedly provided support for acts of
international terrorism under section 6(j) of the Export
Administration Act (EAA).
(b) Items controlled under EAA sections 6(j) and 6(a).
Whenever the Secretary of State determines that an export or
reexport to any of these countries could make a significant
contribution to the military potential of such country, including
its military logistics capability, or could enhance the ability of
such country to support acts of international terrorism, the item
is subject to mandatory control under EAA section 6(j) and the
Secretaries of Commerce and State are required to notify
appropriate Committees of the Congress 30 days before a license for
such an item may be issued.
(1) On December 28, 1993, the Secretary of State determined that
the export to North Korea, or Syria of items described in
paragraphs (c)(1) through (c)(5) of this Supplement, if destined to
military, police, intelligence or other sensitive end-users, are
controlled under EAA section 6(j). Therefore, the 30-day advance
Congressional notification requirement applies to the export or
reexport of these items to sensitive end-users in any of these
countries.
(2) License applications for items controlled to designated
terrorist-supporting countries under EAA section 6(a) will also be
reviewed to determine whether the Congressional notification
requirements of EAA section 6(j) apply.
(3) Items controlled for anti-terrorism reasons under section
6(a) to North Korea, and Syria are:
(i) Items described in paragraphs (c)(1) through (c)(5) to
non-sensitive end-users, and
(ii) The following items to all end-users: for North Korea,
items in paragraph (c)(6) through (c)(45) of this Supplement; and
for Syria, items in paragraphs (c)(6) through (c)(8), (c)(10)
through (c)(14), (c)(16) through (c)(19), and (c)(22) through
(c)(44) of this Supplement.
(c) The license requirements and licensing policies for items
controlled for anti-terrorism reasons to Syria and North Korea are
generally described in §§ 742.9 and 742.19 of this part,
respectively. This Supplement provides guidance on licensing
policies for North Korea and Syria and related contract sanctity
dates that may be available for transactions benefiting from
pre-existing contracts involving Syria.
(1) All items subject to national security controls.
(i) [Reserved]
(ii) Syria. Applications for military end-users or
military end-uses in Syria will generally be denied. Applications
for non-military end-users or end-uses will be considered on a
case-by-case basis, unless otherwise specified in paragraphs (c)(2)
through (c)(42) of this Supplement. No contract sanctity date is
available for items valued at $7 million or more to military
end-users or end-uses. The contract sanctity date for all other
items for all end-users: December 16, 1986.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of such equipment will generally be denied.
(2) All items subject to chemical and biological weapons
proliferation controls. Applications for all end-users in North
Korea and Syria of these items will generally be denied. See
Supplement No. 1 to part 742 for contract sanctity dates for
Syria.
(3) All items subject to missile proliferation controls
(MTCR). Applications for all end-users in North Korea and Syria
will generally be denied. Contract sanctity provisions for Syria
are not available.
(4) All items subject to nuclear weapons proliferation
controls (NRL). (i) [Reserved]
(ii) Syria. Applications for military end-users or
end-uses to Syria will generally be denied. Applications for
non-military end-users or end-uses will be considered on a
case-by-case basis unless otherwise specified in paragraphs (c)(2)
through (c)(42) of this Supplement. No contract sanctity date is
available.
(iii) Sudan. Applications for military end-users or
end-uses in Sudan will generally be denied. Applications for export
and reexport to non-military end-users or end-uses will be
considered on a case-by-case basis unless otherwise specified in
paragraphs (c)(2) through (c)(42) of this Supplement. No contract
sanctity date is available.
(iv) North Korea. Applications for all end-users in North
Korea will generally be denied.
(5) All military-related items, i.e., applications for export
and reexport of items controlled by CCL entries ending with the
number “18”.
(i) [Reserved]
(ii) Syria. Applications for all end-users in Syria will
generally be denied. Contract sanctity date: see paragraph
(c)(1)(ii) of this Supplement.
(iii) Sudan. Applications for all end-users in Sudan will
generally be denied. Contract sanctity date for Sudan: January 19,
1996, unless a prior contract sanctity date applies (e.g., items
first controlled to Sudan for foreign policy reasons under EAA
section 6(j) have a contract sanctity date of December 28,
1993).
(iv) North Korea. Applications for all end-users in North
Korea will generally be denied.
(6) All aircraft (powered and unpowered), helicopters,
engines, and related spare parts and components. (i)
[Reserved]
(ii) Syria. Applications for all end-users in Syria will
generally be denied.
(A) There is no contract sanctity for helicopters exceeding
10,000 lbs. empty weight or fixed wing aircraft valued at $3
million or more; except that passenger aircraft, regardless of
value, have a contract sanctity date of December 16, 1986, if
destined for a regularly scheduled airline with assurance against
military use.
(B) Contract sanctity date for helicopters with 10,000 lbs.
empty weight or less: April 28, 1986.
(C) Contract sanctity date for other aircraft and gas turbine
engines therefor: December 16, 1986.
(D) Contract sanctity date for helicopter or aircraft parts and
components controlled by ECCN 9A991.d: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea will generally be denied.
(7) Heavy duty, on-highway tractors (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria will generally be denied. Applications
for non-military end-users or for non-military end-uses in Syria
will be considered on a case-by-case basis. Contract sanctity date:
August 28, 1991.
(iii) Sudan. Applications for military end-users or for
military end-uses in Sudan will generally be denied. Applications
for non-military end-users or for non-military end-uses in Sudan
will be considered on a case-by-case basis. Contract sanctity date:
January 19, 1996.
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea will generally be denied.
Applications for non-military end-users or for non-military
end-uses in North Korea will be considered on a case-by-case
basis.
(8) Off-highway wheel tractors of carriage capacity 9t (10
tons) or more. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria will generally be denied. Applications
for non-military end-users or for non-military end-uses in Syria
will be considered on a case-by-case basis. Contract sanctity date:
August 28, 1991.
(iii) Sudan. Applications for military end-users or for
military end-uses in Sudan will generally be denied. Applications
for non-military end-users or for non-military end-uses in Sudan
will be considered on a case-by-case basis. Contract sanctity date:
January 19, 1996.
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea will generally be denied.
Applications for non-military end-users or for non-military
end-uses in North Korea will be considered on a case-by-case
basis.
(9) Large diesel engines (greater than 400 horsepower) and
parts to power tank transporters. (i) [Reserved]
(ii) Sudan. Applications for military end-users or for
military end-uses in Sudan will generally be denied. Applications
for non-military end-users or for non-military end-uses in Sudan
will be considered on a case-by-case basis. Contract sanctity date:
January 19, 1996.
(iii) North Korea. Applications for military end-users or
for military end-uses in North Korea will generally be denied.
Applications for non-military end-users or for non-military
end-uses in North Korea will be considered on a case-by-case
basis.
(10) Cryptographic, cryptoanalytic, and cryptologic
equipment. (i) [Reserved]
(ii) Syria. A license is required for all national
security-controlled cryptographic, cryptoanalytic, and cryptologic
equipment to all end-users. Applications for all end-users in Syria
will generally be denied. Contract sanctity date for cryptographic,
cryptoanalytic, and cryptologic equipment that was subject to
national security controls on August 28, 1991: see paragraph
(c)(1)(ii) of this Supplement.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of any such equipment will generally be denied.
(11) Navigation, direction finding, and radar equipment.
(i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for exports of navigation, direction
finding, and radar equipment that was subject to national security
controls on August 28, 1991: see paragraph (c)(1)(ii) of this
Supplement.
(B) Contract sanctity date for all other navigation, direction
finding, and radar equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of such equipment will
generally be denied. Applications for non-military end-users or for
non-military end-uses in North Korea will be considered on a
case-by-case basis.
(12) Electronic test equipment. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for electronic test equipment that
was subject to national security controls on August 28, 1991: see
paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other electronic test
equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses, or for nuclear end-users or nuclear
end-uses, in North Korea of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses, or for non-nuclear end-users or non-nuclear end-uses, in
North Korea will be considered on a case-by-case basis.
(13) Mobile communications equipment. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for mobile communications equipment
that was subject to national security controls on August 28, 1991:
see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other mobile
communications equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of such equipment will
generally be denied. Applications for non-military end-users or for
non-military end-uses in North Korea will be considered on a
case-by-case basis.
(14) Acoustic underwater detection equipment. (i)
[Reserved]
(ii) Syria. A license is required for acoustic underwater
detection equipment that was subject to national security controls
on August 28, 1991, to all end-users. Applications for military
end-users or for military end-uses in Syria will generally be
denied. Applications for non-military end-users or for non-military
end-uses in Syria will be considered on a case-by-case basis.
Contract sanctity date for acoustic underwater detection equipment
that was subject to national security controls on August 28, 1991:
see paragraph (c)(1)(ii) of this Supplement.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of such equipment of these
items will generally be denied. Applications for non-military
end-users or for non-military end-uses in North Korea of such
equipment will be considered on a case-by-case basis.
(15) Portable electric power generator. (i)
[Reserved]
(ii) North Korea. Applications for military end-users or
for military end-uses in North Korea of such equipment will
generally be denied. Applications for non-military end-users or for
non-military end-uses in North Korea of such equipment will be
considered on a case-by-case basis.
(16) Vessels and boats, including inflatable boats. (i)
[Reserved]
(ii) Syria. A license is required for national
security-controlled vessels and boats. Applications for military
end-users or for military end-uses in Syria of these items will
generally be denied. Applications for non-military end-users or for
non-military end-uses in Syria will be considered on a case-by-case
basis. Contract sanctity date for vessels and boats that were
subject to national security controls on August 28, 1991: see
paragraph (c)(1)(ii) of this Supplement.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of these items will generally
be denied. Applications for non-military end-users or for
non-military end-uses in North Korea of these items will be
considered on a case-by-case basis.
(17) Marine and submarine engines (outboard/inboard,
regardless of horsepower). (i) [Reserved]
(ii) Syria. A license is required for all marine and
submarine engines subject to national security controls to all
end-users. Applications for military end-users or for military
end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses in Syria will be considered on a case-by-case basis.
Contract sanctity date for marine and submarine engines that were
subject to national security controls on August 28, 1991: see
paragraph (c)(1)(ii) of this Supplement.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of these items will generally
be denied. Applications for non-military end-users or for
non-military end-uses in North Korea of these items will be
considered on a case-by-case basis.
(18) Underwater photographic equipment. (i)
[Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for underwater photographic equipment
that was subject to national security controls on August 28, 1991:
see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other underwater photographic
equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of such equipment will generally be denied.
(19) Submersible systems. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such systems will generally be
denied. Applications for non-military end-users or for non-military
end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for submersible systems that were
subject to national security controls on August 28, 1991: see
paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other submersible systems:
August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of such equipment will generally be denied.
(20) Scuba gear and related equipment. (i) [Reserved]
(ii) [Reserved]
(iii) North Korea. Applications for all end-users in
North Korea of such equipment will generally be denied.
(21) Pressurized aircraft breathing equipment. (i)
[Reserved]
(ii) [Reserved]
(iii) North Korea. Applications for all end-users in
North Korea of such equipment will generally be denied.
(22) Computer numerically controlled machine tools. (i)
[Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for computer numerically controlled
machine tools that were subject to national security controls on
August 28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other computer
numerically controlled machine tools: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of such equipment will generally be denied.
(23) Vibration test equipment. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for vibration test equipment that was
subject to national security controls on August 28, 1991: see
paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other vibration
test equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of these items will generally
be denied. Applications for non-military end-users or for
non-military end-uses will be considered on a case-by-case
basis.
(24) Digital computers with an APP of .00001 WT or above,
assemblies, related equipment, equipment for development or
production of magnetic and optical storage equipment, and materials
for fabrication of head/disk assemblies. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity dates for items that were subject to
national security controls on August 28, 1991: see paragraph
(c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other items: August 28,
1991.
(iii) [Reserved]
(iv) North Korea. (A) Computers with an APP exceeding
0.0004 WT: Applications for all end-users will generally be
denied.
(B) Computers with an APP equal to or less than 0.0004 WT:
Applications for military end-users or for military end-uses, or
for nuclear end-users or nuclear end-uses, will generally be
denied. Applications for non-military end-users or for non-military
end-uses, or for non-nuclear end-users or non-nuclear end-uses,
will be considered on a case-by-case basis.
(25) Telecommunications equipment. (i) A license is
required for the following telecommunications equipment:
(A) Radio relay systems or equipment operating at a frequency
equal to or greater than 19.7 GHz or “spectral efficiency” greater
than 3 bit/s/Hz; (B) Fiber optic systems or equipment operating at
a wavelength greater than 1000 nm; (C) “Telecommunications
transmission systems” or equipment with a “digital transfer rate”
at the highest multiplex level exceeding 45 Mb/s.
(ii) [Reserved]
(iii) Syria. Applications for military end-users or for
military end-uses in Syria of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for exports of telecommunications
equipment that was subject to national security controls on August
28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other
telecommunications equipment: August 28, 1991.
(iv) [Reserved]
(v) North Korea. Applications for military end-users or
for military end-uses in North Korea of such equipment will
generally be denied. Applications for non-military end-users or for
non-military end-uses will be considered on a case-by-case
basis.
(26) Microprocessors - (i) Operating at a clock speed
over 25 MHz.
(A) [Reserved]
(B) Syria. Applications for military end-users or for
military end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(1) Contract sanctity date for microprocessors that were
subject to national security controls on August 28, 1991: see
paragraph (c)(1)(ii) of this supplement.
(2) Contract sanctity date for all other microprocessors:
August 28, 1991.
(C) [Reserved]
(ii) With a processing speed of 0.5 GFLOPS or above.
(A) North Korea. Applications for all end-users in North
Korea of these items will generally be denied.
(B) [Reserved]
(27) Semiconductor manufacturing equipment. For Syria,
Sudan, or North Korea, a license is required for all such equipment
described in ECCNs 3B001 and 3B991.
(i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for semiconductor manufacturing
equipment that was subject to national security controls on August
28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other semiconductor
manufacturing equipment: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of such equipment will generally be denied.
(28) Software specially designed for the computer-aided
design and manufacture of integrated circuits. (i)
[Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such software will generally be
denied. Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for such software that was subject to
national security controls on August 28, 1991: see paragraph
(c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other such software: August
28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of such software will
generally be denied. Applications for non-military end-users or for
non-military end-uses will be considered on a case-by-case
basis.
(29) Packet switches. Equipment described in ECCN
5A991.c. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for packet switches that were subject
to national security controls on August 28, 1991: see paragraph
(c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other packet switches: August
28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of these items will generally
be denied. Applications for non-military end-users or for
non-military end-uses will be considered on a case-by-case
basis.
(30) Specially designed software for air traffic control
applications that uses any digital signal processing techniques for
automatic target tracking or that has a facility for electronic
tracking. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such software will generally be
denied. Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for such software that was subject to
national security controls on August 28, 1991: see paragraph
(c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other such
software: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of such software will
generally be denied. Applications for non-military end-users or for
non-military end-uses will be considered on a case-by-case
basis.
(31) Gravity meters having static accuracy of less (better)
than 100 microgal, or gravity meters of the quartz element (worden)
type. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for gravity meters that were subject
to national security controls on August 28, 1991: see paragraph
(c)(1)(ii) of this Supplement.
(B) Contract sanctity date for exports of all other such gravity
meters: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of these items will generally
be denied. Applications for non-military end-users or for
non-military end-uses will be considered on a case-by-case
basis.
(32) Magnetometers with a sensitivity lower (better) than 1.0
nt rms per square root Hertz. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for such magnetometers that were
subject to national security controls on August 28, 1991: see
paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other such magnetometers:
August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of these items will generally
be denied. Applications for non-military end-users or for
non-military end-uses will be considered on a case-by-case
basis.
(33) Fluorocarbon compounds described in ECCN 1C006.d for
cooling fluids for radar. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such compounds will generally be
denied. Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for such fluorocarbon compounds that
were subject to national security controls on August 28, 1991: see
paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other such fluorocarbon
compounds: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of these items will generally
be denied. Applications for non-military end-users or for
non-military end-uses will be considered on a case-by-case
basis.
(34) High strength organic and inorganic fibers (kevlar)
described in ECCN 1C210. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of such fibers will generally be denied.
Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for high strength organic and
inorganic fibers (kevlar) described in ECCN 1C210 that were subject
to national security controls on August 28, 1991: see paragraph
(c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other high strength organic
and inorganic fibers (kevlar) described in ECCN 1C210: August 28,
1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses, or for nuclear end-users or nuclear
end-uses, in North Korea of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses, or for non-nuclear end-users or non-nuclear end-uses, in
North Korea will be considered on a case-by-case basis.
(35) Machines described in ECCNs 2B003 and 2B993 for cutting
gears up to 1.25 meters in diameter. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for machines that were subject to
national security controls on August 28, 1991: see paragraph
(c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other machines: August 28,
1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of these items will generally
be denied. Applications for non-military end-users or for
non-military end-uses will be considered on a case-by-case
basis.
(36) Aircraft skin and spar milling machines. (i)
[Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses will be considered on a case-by-case basis.
(A) Contract sanctity date for aircraft skin and spar milling
machines that were subject to national security controls on August
28, 1991: see paragraph (c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other aircraft skin and spar
milling machines: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of such equipment will generally be denied.
(37) Manual dimensional inspection machines described in ECCN
2B996. (i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses in Syria will be considered on a case-by-case basis.
(A) Contract sanctity date for such manual dimensional
inspection machines that were subject to national security controls
on August 28, 1991: see paragraph (c)(1)(ii) of this
Supplement.
(B) Contract sanctity date for all other such manual dimensional
inspection machines: August 28, 1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses, or for nuclear end-users or nuclear
end-uses, in North Korea of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses, or for non-nuclear end-users or non-nuclear end-uses, in
North Korea will be considered on a case-by-case basis.
(38) Robots capable of employing feedback information in real
time processing to generate or modify programs. (i)
[Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses in Syria will be considered on a case-by case basis.
(A) Contract sanctity date for such robots that were subject to
national security controls on August 28, 1991: see paragraph
(c)(1)(ii) of this Supplement.
(B) Contract sanctity date for all other such robots: August 28,
1991.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses, or for nuclear end-users or nuclear
end-uses, in North Korea of such equipment will generally be
denied. Applications for non-military end-users or for non-military
end-uses, or for non-nuclear end-users or non-nuclear end-uses, in
North Korea will be considered on a case-by-case basis.
(39) Explosives detection equipment described in ECCN
2A983 - (i) Explosives detection equipment described in ECCN
2A983, controlled prior to April 3, 2003 under ECCN 2A993.
(A) [Reserved]
(B) Syria. Applications for all end-users in Syria of
these items will generally be denied. Contract sanctity date:
January 19, 1996.
(C) [Reserved]
(D) North Korea. Applications for all end-users in North
Korea of these items will generally be denied.
(ii) Explosives detection equipment described in ECCN 2A983, not
controlled prior to April 3, 2003 under ECCN 2A993.
(A) [Reserved]
(B) Syria. Applications for all end-users in Syria of
these items will generally be denied. Contract sanctity date: March
21, 2003.
(C) Sudan. Applications for all end-users in Sudan of
these items will generally be denied. Contract sanctity date for
reexports by non-U.S. persons: March 21, 2003.
(D) North Korea. Applications for all end-users in North
Korea of these items will generally be denied. Contract sanctity
date: March 21, 2003.
(40) “Software” described in ECCN 2D983 specially designed or
modified for the “development”, “production” or “use” of explosives
detection equipment. (i) [Reserved]
(ii) Syria. Applications for all end-users in Syria of
these items will generally be denied. Contract sanctity date: March
21, 2003.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of these items will generally be denied. Contract sanctity
date: March 21, 2003.
(41) “Technology” described in ECCN 2E983 specially designed
or modified for the “development”, “production” or “use” of
explosives detection equipment. (i) [Reserved]
(ii) Syria. Applications for all end-users in Syria of
these items will generally be denied. Contract sanctity date: March
21, 2003.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of these items will generally be denied. Contract sanctity
date: March 21, 2003.
(42) Production technology controlled under ECCN 1C355 on the
CCL -
(i) [Reserved]
(ii) Syria. Applications for military end-users or for
military end-uses in Syria of these items will generally be denied.
Applications for non-military end-users or for non-military
end-uses in Syria will be considered on a case-by-case basis.
(iii) [Reserved]
(iv) North Korea. Applications for military end-users or
for military end-uses in North Korea of these items will generally
be denied. Applications for non-military end-users or for
non-military end-uses will be considered on a case-by-case
basis.
(43) Commercial Charges and devices controlled under ECCN
1C992 on the CCL. (i) [Reserved]
(ii) Syria. Applications for all end-users in Syria of
these items will generally be denied.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of these items will generally be denied.
(44) Ammonium nitrate, including certain fertilizers
containing ammonium nitrate, under ECCN 1C997 on the CCL (i)
[Reserved]
(ii) Syria. Applications for all end-users in Syria of
these items will generally be denied. Contract sanctity date: June
15, 2001.
(iii) [Reserved]
(iv) North Korea. Applications for all end-users in North
Korea of these items will generally be denied. Contract sanctity
date: June 15, 2001.
(45) Specific processing equipment, materials and software
controlled under ECCNs 0A999, 0B999, 0D999, 1A999, 1C999, 1D999,
2A999, 2B999, 3A999, and 6A999 on the CCL. (i) North
Korea. Applications for military end-users or for military
end-uses, or for nuclear end-users or nuclear end-uses, in North
Korea of such equipment will generally be denied. Applications for
non-military end-users or for non-military end-uses, or for
non-nuclear end-users or non-nuclear end-uses, in North Korea will
be considered on a case-by-case basis.
(ii) [Reserved]
(46) Concealed object detection equipment described in ECCN
2A984. (i) Syria. Applications for all end-users in
Syria of these commodities will generally be denied. Contract
sanctity date: March 19, 2010.
(ii) [Reserved]
(iii) North Korea. Applications for all end-users in
North Korea of these commodities will generally be denied. Contract
sanctity date: March 19, 2010.
(47) “Software” described in ECCN 2D984 “required” for the
“development”, “production” or “use” of concealed object detection
equipment controlled by 2A984. (i) Syria. Applications
for all end-users in Syria of these software will generally be
denied. Contract sanctity date: March 19, 2010.
(ii) [Reserved]
(iii) North Korea. Applications for all end-users in
North Korea of these software will generally be denied. Contract
sanctity date: March 19, 2010.
(48) “Technology” described in ECCN 2E984 “required” for the
“development”, “production” or “use” of concealed object detection
equipment controlled by 2A984, or the “development” of “software”
controlled by 2D984. (i) Syria. Applications for all
end-users in Syria of these items will generally be denied.
Contract sanctity date: March 19, 2010.
(ii) [Reserved]
(iii) North Korea. Applications for all end-users in
North Korea of these items will generally be denied. Contract
sanctity date: March 19, 2010.
[69 FR 23630, Apr. 29, 2004, as amended at 69 FR 46076, July 30,
2004; 70 FR 14391, Mar. 22, 2005; 71 FR 20885, Apr. 24, 2006; 71 FR
51718, Aug. 31, 2006; 72 FR 20223, Apr. 24, 2007; 72 FR 62532, Nov.
5, 2007; 74 FR 2357, Jan. 15, 2009; 75 FR 14340, Mar. 25, 2010; 80
FR 43318, July 22, 2015; 82 FR 4783, Jan. 17, 2017; 86 FR 4933,
Jan. 19, 2021]
Supplement No. 6 to Part 742 - Technical Questionnaire for Encryption and Other “Information Security” Items
15:2.1.3.4.27.0.1.20.39 :
Supplement No. 6 to Part 742 - Technical Questionnaire for
Encryption and Other “Information Security” Items
(a) For all items:
(1) State the name(s) of each product being submitted for
classification or other consideration (as a result of a request by
BIS) and provide a brief non-technical description of the type of
product (e.g., routers, disk drives, cell phones, and chips) being
submitted, and provide brochures, data sheets, technical
specifications or other information that describes the item(s).
(2) Indicate whether there have been any prior classifications
of the product(s), if they are applicable to the current
submission. For products with minor changes in encryption
functionality, you must include a cover sheet with complete
reference to the previous review (Commodity Classification
Automated Tracking System (CCATS) number, Export Control
Classification Number (ECCN), authorization paragraph) along with a
clear description of the changes.
(3) Describe how encryption is used in the product and the
categories of encrypted data (e.g., stored data, communications,
management data, and internal data).
(4) For ‘mass market’ encryption products, describe specifically
to whom and how the product is being marketed and state how this
method of marketing and other relevant information (e.g., cost of
product and volume of sales) are described by the Cryptography Note
(Note 3 to Category 5, Part 2).
(5) Is any “encryption source code” being provided (shipped or
bundled) as part of this offering? If yes, is this source code
publicly available source code, unchanged from the code obtained
from an open source Web site, or is it proprietary “encryption
source code?”
(b) For classification requests and other submissions, provide
the following information
(1) Description of all the symmetric and asymmetric encryption
algorithms and key lengths and how the algorithms are used,
including relevant parameters, inputs and settings. Specify which
encryption modes are supported (e.g., cipher feedback mode or
cipher block chaining mode).
(2) Describe how encryption keys are generated or managed by
your product, including algorithms and modulus sizes supported.
(3) Describe whether the products incorporate or use
“non-standard cryptography” defined as incorporating or using
proprietary, unpublished cryptographic functionality, including
encryption algorithms or protocols that have not been adopted or
approved by a duly recognized international standards body. Provide
a textual description and the source code of the algorithm.
(4) Describe the pre-processing methods (e.g., data compression
or data interleaving) that are applied to the plaintext data prior
to encryption.
(5) Describe the post-processing methods (e.g., packetization,
encapsulation) that are applied to the cipher text data after
encryption.
(6) State all communication protocols (e.g., X.25,
Telnet, TCP, IEEE 802.11, IEEE 802.16, SIP . . .) and cryptographic
protocols and methods (e.g., SSL, TLS, SSH, IPSEC, IKE,
SRTP, ECC, MD5, SHA, X.509, PKCS standards . . .), including
application programming interfaces (APIs), that are supported and
describe how they are used.
(7) State how the product is written to preclude user
modification of the encryption algorithms, key management and key
space.
(8) Describe the cryptographic functionality that is provided by
third-party hardware or software encryption components (if any).
Identify the manufacturers of the hardware or software components,
including specific part numbers and version information as needed
to describe the product. Describe whether the encryption software
components (if any) are statically or dynamically linked.
(9) Identify the version(s) and type(s) of compilers, runtime
interpreters or code assemblers used, as applicable.
(10) With respect to your company's encryption products, are any
of the products (or its encryption components) manufactured outside
the United States? If yes, provide manufacturing locations (city
and country).
(11) See § 740.17(b)(2) of the EAR. Describe whether the item
meets any of the § 740.17(b)(2) criteria. Provide a comparison of
your item against the criteria listed in each paragraph of §
740.17(b)(2). Give specific data for each of the parameters listed,
as applicable (e.g., maximum aggregate encrypted throughput,
maximum number of encrypted endpoints, maximum satellite or
terrestrial wireless transmission rates, terrestrial wireless
operating range, customized cryptography, network penetration
capability, cryptanalytic capability and “non-standard
cryptography”).
(12) See § 740.17(b)(3) of the EAR. Describe whether the product
meets any of the criteria described under each of the paragraphs in
§ 740.17(b)(3) (e.g., chip, chipset, electronic assembly,
programmable logic device, cryptographic library, cryptographic
development kit, “non-standard cryptography,” digital forensics,
and “cryptographic activation”).
(13) See § 740.17(b)(2)(iii) of the EAR. For products which
incorporate an “open cryptographic interface” as defined in part
772 of the EAR, describe the cryptographic interface.
(14) For products with IPsec capabilities:
(i) Please describe your product's implementation of IKE vendor
IDs, including vendor specific and capability IDs; and
(ii) Please specify which version of IKE you use (IKEv1 or
IKEv2).
(c) For classification requests for hardware or software
“encryption components” other than source code (i.e., chips,
toolkits, executable or linkable modules intended for use in or
production of another encryption item) provide the following
additional information:
(1) Reference the application for which the components are used
in, if known;
(2) State if there is a general programming interface to the
component;
(3) State whether the component is constrained by function;
and
(4) Identify the encryption component and include the name of
the manufacturer, component model number or other identifier.
(d) For classification requests for “encryption source code”
provide the following information:
(1) If applicable, reference the executable (object code)
product that was previously classified by BIS;
(2) Include whether the source code has been modified, and the
technical details on how the source code was modified; and
(3) Upon request, include a copy of the sections of the source
code that contain the encryption algorithm, key management routines
and their related calls.
[75 FR 36497, June 25, 2010, as amended at 81 FR 64674, Sept. 20,
2016]
Supplement No. 8 to Part 742 - Self-Classification Report for Encryption Items
15:2.1.3.4.27.0.1.20.41 :
Supplement No. 8 to Part 742 - Self-Classification Report for
Encryption Items
This supplement provides certain instructions and requirements
for self-classification reporting to BIS and the ENC Encryption
Request Coordinator (Ft. Meade, MD) of encryption commodities,
software and components exported or reexported pursuant to §
740.17(b)(1) of the EAR. See § 740.17(e)(3) of the EAR for
additional instructions and requirements pertaining to this
supplement, including when to report and how to report.
(a) Information to report. The following information is
required in the file format as described in paragraph (b) of this
supplement, for each encryption item subject to the requirements of
this supplement and §§ 740.17(b)(1) and 740.17(e)(3) of the
EAR:
(1) Name of product (50 characters or less).
(2) Model/series/part number (50 characters or less.) If
necessary, enter ‘NONE’ or ‘N/A’.
(3) Primary manufacturer (50 characters or less). Enter ‘SELF’
if you are the primary manufacturer of the item. If there are
multiple manufacturers for the item but none is clearly primary,
either enter the name of one of the manufacturers or else enter
‘MULTIPLE’. If necessary, enter ‘NONE’ or ‘N/A’.
(4) Export Control Classification Number (ECCN), selected from
one of the following:
(i) 5A002
(ii) 5B002
(iii) 5D002
(iv) 5A992
(v) 5D992
(5) Encryption authorization type identifier, selected from
one of the following, which denote eligibility under License
Exception ENC § 740.17(b)(1):
(i) ENC
(ii) MMKT
(6) Item type descriptor, selected from one of the
following:
(i) Access point;
(ii) Cellular;
(iii) Computer or computing platforms;
(iv) Computer forensics;
(v) Cryptographic accelerator;
(vi) Data backup and recovery;
(vii) Database;
(viii) Disk/drive encryption;
(ix) Distributed computing;
(x) Email communications;
(xi) Fax communications;
(xii) File encryption;
(xiii) Firewall;
(xiv) Gateway;
(xv) Intrusion detection;
(xvi) Identity management;
(xvii) Key exchange;
(xviii) Key management;
(xix) Key storage;
(xx) Link encryption;
(xxi) Local area networking (LAN);
(xxii) Metropolitan area networking (MAN);
(xxiii) Mobility and mobile applications n.e.s.;
(xxiv) Modem;
(xxv) Multimedia n.e.s.;
(xxvi) Network convergence or infrastructure n.e.s.;
(xxvii) Network forensics;
(xxviii) Network intelligence;
(xxix) Network or systems management (OAM/OAM&P);
(xxx) Network security monitoring;
(xxxi) Network vulnerability and penetration testing;
(xxxii) Operating system;
(xxxiii) Optical networking;
(xxxiv) Radio communications;
(xxxv) Router;
(xxxvi) Satellite communications;
(xxxvii) Short range wireless n.e.s.;
(xxxviii) Storage Area Networking (SAN);
(xxxix) 3G/4G/5G/LTE/WiMAX;
(xl) Trusted computing;
(xli) Videoconferencing;
(xlii) Virtual private networking (VPN);
(xliii) Voice communications n.e.s.;
(xliv) Voice over Internet Protocol (VoIP);
(xlv) Wide Area Networking (WAN);
(xlvi) Wireless Local Area Networking (WLAN);
(xlvii) Wireless Personal Area Networking (WPAN);
(xlviii) Test equipment n.e.s.; or
(xlix) Other (please specify).
(7) Name of company or individual submitting the report (50
characters or less).
(8) Telephone number (50 characters or less).
(9) Email address (50 characters or less).
(10) Mailing address (50 characters or less).
(11) With respect to your company's encryption products, do they
incorporate encryption components produced or furnished by non-U.S.
sources or vendors? Enter 'YES', 'NO', or if necessary, 'N/A' (250
characters or less).
(12) With respect to your company's encryption products, are any
of them manufactured in non-U.S. locations?” If yes, list the
non-U.S. manufacturing locations by city and country. If necessary,
enter 'NONE' or 'N/A' (250 characters or less).
(b) File format requirements. (1) The information
described in paragraph (a) of this supplement must be provided in
tabular or spreadsheet form, as an electronic file in comma
separated values format (.csv), only. No file formats other than
.csv will be accepted, as your encryption self-classification
report must be directly convertible to tabular or spreadsheet
format, where each row (and all entries within a row) properly
correspond to the appropriate encryption item.
Note to paragraph (b)(1):
An encryption self-classification report data table created and
stored in spreadsheet format (e.g., file extension .xls, .numbers,
.qpw, .wb*, .wrk, and .wks) can be converted and saved into a comma
delimited file format directly from the spreadsheet program. This
.csv file is then ready for submission.
(2) Each line of your encryption self-classification report
(.csv file) must consist of twelve entries as further described in
this supplement.
(3) The first line of the .csv file must consist of the
following twelve entries (i.e., match the following) without
alteration or variation: PRODUCT NAME, MODEL NUMBER, MANUFACTURER,
ECCN, AUTHORIZATION TYPE, ITEM TYPE, SUBMITTER NAME, TELEPHONE
NUMBER, E-MAIL ADDRESS, MAILING ADDRESS, NON-U.S. COMPONENTS,
NON-U.S. MANUFACTURING LOCATIONS.
Note to paragraph (b)(3):
These first twelve entries (i.e., first row) of an
encryption self-classification report in .csv format correspond to
the twelve column headers of a spreadsheet data file. The responses
provided under column headers 7 through 12 (SUBMITTER NAME through
NON-U.S. MANUFACTURING LOCATIONS) relate to the company as a whole,
and thus should be entered the same for each product (i.e.,
only one point of contact, one 'YES' or 'NO' answer to whether any
of the reported products incorporate non-U.S. sourced encryption
components, and one list of non-U.S. manufacturing locations, is
required for the report). However, even though the information is
the same for each product, please duplicate this information into
each row of the spreadsheet, leaving no entry blank, so each
product has the same identifying company information.
(4) Each subsequent line of the .csv file must correspond to a
single encryption item (or a distinguished series of products) as
described in paragraph (c) of this supplement.
(5) Each line must consist of six entries as described in
paragraph (a)(1), (a)(2), (a)(3), (a)(4), (a)(5), and (a)(6) of
this supplement. No entries may be left blank. Each entry must be
separated by a comma (,). Certain additional instructions are as
follows:
(i) Line entries (a)(1) (‘PRODUCT NAME’) and (a)(4) (‘ECCN’)
must be completed with relevant information.
(ii) For entries (a)(2) (‘MODEL NUMBER’) and (a)(3)
(‘MANUFACTURER’), if these entries do not apply to your item or
situation you may enter ‘NONE’ or ‘N/A’.
(iii) For entries (a)(5) (‘AUTHORIZATION TYPE’), if none of the
provided choices apply to your situation, you may enter
‘OTHER’.
(6) Because of .csv file format requirements, the only permitted
use of a comma is as the necessary separator between line entries.
You may not use a comma for any other reason in your encryption
self-classification report.
(c) Other instructions. (1) The information provided in
accordance with this supplement and §§ 740.17(b)(1) and
740.17(e)(3) of the EAR must identify product offerings as they are
typically distinguished in inventory, catalogs, marketing brochures
and other promotional materials.
(2) For families of products where all the information described
in paragraph (a) of this supplement is identical except for the
model/series/part number (entry (a)(2)), you may list and describe
these products with a single line in your .csv file using an
appropriate model/series/part number identifier (e.g., ‘300’
or ‘3xx’) for entry (a)(2), provided each line in your .csv file
corresponds to a single product series (or product type) within an
overall product family.
(3) For example, if Company A produces, markets and sells both a
‘100’ (‘1xx’) and a ‘300’ (‘3xx’) series of product, in its
encryption self-classification report (.csv file) Company A must
list the ‘100’ product series in one line (with entry (a)(2)
completed as ‘100’ or ‘1xx’) and the ‘300’ product series in
another line (with entry (a)(2) completed as ‘300’ or ‘3xx’), even
if the other required information is common to all products in the
‘100’ and ‘300’ series.
(4) Only products self-classified by the exporter or reexporter
must be reported. Products submitted for classification by the
Bureau of Industry and Security for which a CCATS is issued do not
need to be reported.
[75 FR 36498, June 25, 2010, as amended at 81 FR 64675, Sept. 20,
2016]