Title 15
PART 774 APPENDIX
| Control(s) | Country chart (see supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry except 0A501.y | NS Column 1 |
| RS applies to entire entry except 0A501.y | RS Column 1 |
| FC applies to entire entry except 0A501.y | FC Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls. |
| AT applies to entire entry | AT Column 1 |
In addition to using the Commerce Country Chart to determine license requirements, a license is required for exports and reexports of ECCN 0A501.y.7 firearms to the People's Republic of China.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: $500 for 0A501.c, .d, and .x. $500 for 0A501.c, .d, .e, and .x if the ultimate destination is Canada. GBS: N/A Special Conditions for STA STA: Paragraph (c)(2) of License Exception STA (§ 740.20(c)(2) of the EAR) may not be used for any item in this entry. List of Items Controlled Related Controls: (1) Firearms that are fully automatic, and magazines with a capacity of greater than 50 rounds, are “subject to the ITAR.” (2) See ECCN 0A502 for shotguns and their “parts” and “components” that are subject to the EAR. Also see ECCN 0A502 for shot-pistols. (3) See ECCN 0A504 and USML Category XII for controls on optical sighting devices. Related Definitions: N/A. Items:a. Non-automatic and semi-automatic firearms equal to .50 caliber (12.7 mm) or less.
Note 1 to paragraph 0A501.a:‘Combination pistols’ are controlled under ECCN 0A501.a. A ‘combination pistol’ (a.k.a., a combination gun) has at least one rifled barrel and at least one smoothbore barrel (generally a shotgun style barrel).
b. Non-automatic and non-semi-automatic rifles, carbines, revolvers or pistols with a caliber greater than .50 inches (12.7 mm) but less than or equal to .72 inches (18.0 mm).
c. The following types of “parts” and “components” if “specially designed” for a commodity controlled by paragraph .a or .b of this entry, or USML Category I (unless listed in USML Category I(g) or (h)): Barrels, cylinders, barrel extensions, mounting blocks (trunnions), bolts, bolt carriers, operating rods, gas pistons, trigger housings, triggers, hammers, sears, disconnectors, pistol grips that contain fire control “parts” or “components” (e.g., triggers, hammers, sears, disconnectors) and buttstocks that contain fire control “parts” or “components.”
d. Detachable magazines with a capacity of greater than 16 rounds “specially designed” for a commodity controlled by paragraph .a or .b of this entry.
Note 2 to paragraph 0A501.d:Magazines with a capacity of 16 rounds or less are controlled under 0A501.x.
e. Receivers (frames) and “complete breech mechanisms,” including castings, forgings stampings, or machined items thereof, “specially designed” for a commodity controlled by paragraph .a or .b of this entry.
f. through w. [Reserved]
x. “Parts” and “components” that are “specially designed” for a commodity classified under paragraphs .a through .c of this entry or the USML and not elsewhere specified on the USML or CCL.
y. Specific “parts,” “components,” “accessories” and “attachments” “specially designed” for a commodity subject to control in this ECCN or common to a defense article in USML Category I and not elsewhere specified in the USML or CCL as follows, and “parts,” “components,” “accessories,” and “attachments” “specially designed” therefor.
y.1. Stocks or grips, that do not contain any fire control “parts” or “components” (e.g., triggers, hammers, sears, disconnectors);”
y.2. Scope mounts or accessory rails;
y.3. Iron sights;
y.4. Sling swivels;
y.5. Butt plates or recoil pads;
y.6. Bayonets; and
y.7. Firearms manufactured from 1890 to 1898 and reproductions thereof.
Technical Note 1 to 0A501:The controls on “parts” and “components” in ECCN 0A501 include those “parts” and “components” that are common to firearms described in ECCN 0A501 and to those firearms “subject to the ITAR.”
Note 3 to 0A501:Antique firearms (i.e., those manufactured before 1890) and reproductions thereof, muzzle loading black powder firearms except those designs based on centerfire weapons of a post 1937 design, BB guns, pellet rifles, paint ball, and all other air rifles are EAR99 commodities.
Note 4 to 0A501:Muzzle loading (black powder) firearms with a caliber less than 20 mm that were manufactured later than 1937 that are used for hunting or sporting purposes that were not “specially designed” for military use and are not “subject to the ITAR” nor controlled as shotguns under ECCN 0A502 are EAR99 commodities.
0A502 Shotguns; shotguns “parts” and “components,” consisting of complete trigger mechanisms; magazines and magazine extension tubes; “complete breech mechanisms;” except equipment used exclusively to treat or tranquilize animals, and except arms designed solely for signal, flare, or saluting use. License Requirements Reason for Control: RS, CC, FC, UN, AT, NS| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to shotguns with a barrel length less than 18 inches (45.72 cm) | NS Column 1 |
| RS applies to shotguns with a barrel length less than 18 inches (45.72 cm) | RS Column 1 |
| FC applies to entire entry | FC Column 1 |
| CC applies to shotguns with a barrel length less than 24 in. (60.96 cm) and shotgun “components” controlled by this entry regardless of end user | CC Column 1 |
| CC applies to shotguns with a barrel length greater than or equal to 24 in. (60.96 cm), regardless of end user | CC Column 2 |
| CC applies to
shotguns with a barrel length greater than or equal to 24 in. (60.96 cm) if for sale or resale to police or law enforcement |
CC Column 3 |
| UN applies to entire entry | See § 746.1(b) of the EAR for UN controls |
| AT applies to shotguns with a barrel length less than 18 inches (45.72 cm) | AT Column 1 |
Shotguns made in or before 1898 are considered antique shotguns and designated as EAR99.
Technical Note:Shot pistols or shotguns that have had the shoulder stock removed and a pistol grip attached are controlled by ECCN 0A502. Slug guns are also controlled under ECCN 0A502.
0A503 Discharge type arms; non-lethal or less-lethal grenades and projectiles, and “specially designed” “parts” and “components” of those projectiles; and devices to administer electric shock, for example, stun guns, shock batons, shock shields, electric cattle prods, immobilization guns and projectiles; except equipment used exclusively to treat or tranquilize animals, and except arms designed solely for signal, flare, or saluting use; and “specially designed” “parts” and “components,” n.e.s. License Requirements Reason for Control: CC, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | A license is required for ALL destinations, except Canada, regardless of end use. Accordingly, a column specific to this control does not appear on the Commerce Country Chart. (See part 742 of the EAR for additional information) |
| UN applies to entire entry | See § 746.1(b) of the EAR for UN controls |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| RS applies to paragraph .i | RS Column 1 |
| FC applies to paragraphs .a, .b, .c, .d, .e, .g, and .i of this entry | FC Column 1 |
| CC applies to entire entry | CC Column 1 |
| UN applies to entire entry | See § 746.1(b) of the EAR for UN controls |
a. Telescopic sights.
b. Holographic sights.
c. Reflex or “red dot” sights.
d. Reticle sights.
e. Other sighting devices that contain optical elements.
f. Laser aiming devices or laser illuminators “specially designed” for use on firearms, and having an operational wavelength exceeding 400 nm but not exceeding 710 nm.
Note 1 to 0A504.f:0A504.f does not control laser boresighting devices that must be placed in the bore or chamber to provide a reference for aligning the firearms sights.
g. Lenses, other optical elements and adjustment mechanisms for articles in paragraphs .a, .b, .c, .d, .e, or .i.
h. [Reserved]
i. Riflescopes that were not “subject to the EAR” as of March 8, 2020 and are “specially designed” for use in firearms that are “subject to the ITAR.”
Note 2 to paragraph i:For purpose of the application of “specially designed” for the riflescopes controlled under 0A504.i, paragraph (a)(1) of the definition of “specially designed” in § 772.1 of the EAR is what is used to determine whether the riflescope is “specially designed.”
0A505 Ammunition as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, CC, FC, UN, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to 0A505.a and .x | NS Column 1 |
| RS applies to 0A505.a and .x | RS Column 1 |
| CC applies to 0A505.b | CC Column 1 |
| FC applies to entire entry except 0A505.d | FC Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| AT applies to 0A505.a, .d, and .x | AT Column 1 |
| AT applies to 0A505.c | A license is required for items controlled by paragraph .c of this entry to North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to determine AT licensing requirements for this entry. See § 742.19 of the EAR for additional information. |
a. Ammunition for firearms controlled by ECCN 0A501 or USML Category I and not enumerated in paragraph .b, .c, or .d of this entry or in USML Category III.
b. Buckshot (No. 4 .24” diameter and larger) shotgun shells.
c. Shotgun shells (including less than lethal rounds) that do not contain buckshot; and “specially designed” “parts” and “components” of shotgun shells.
Note 1 to 0A505.c:Shotgun shells that contain only chemical irritants are controlled under ECCN 1A984.
d. Blank ammunition for firearms controlled by ECCN 0A501 and not enumerated in USML Category III.
e. through w. [Reserved]
x. “Parts” and “components” that are “specially designed” for a commodity subject to control in this ECCN or a defense article in USML Category III and not elsewhere specified on the USML, the CCL or paragraph .d of this entry.
Note 2 to 0A505.x:The controls on “parts” and “components” in this entry include Berdan and boxer primers, metallic cartridge cases, and standard metallic projectiles such as full metal jacket, lead core, and copper projectiles.
Note 3 to 0A505.x:The controls on “parts” and “components” in this entry include those “parts” and “components” that are common to ammunition and ordnance described in this entry and to those enumerated in USML Category III.
Note 4 to 0A505:Lead shot smaller than No. 4 Buckshot, empty and unprimed shotgun shells, shotgun wads, smokeless gunpowder, ‘Dummy rounds’ and blank rounds (unless linked or belted), not incorporating a lethal or non-lethal projectile(s) are designated EAR99. A “dummy round or drill round” is a round that is completely inert, i.e., contains no primer, propellant, or explosive charge. It is typically used to check weapon function and for crew training.
0A521 Any commodity subject to the EAR that is not listed elsewhere in the CCL, but which is controlled for export because it provides at least a significant military or intelligence advantage to the United States or for foreign policy reasons.0A521 commodities are subject to RS1 controls with no license exception eligibility other than License Exception GOV for U.S. Government personnel and agencies under § 740.11(b)(2)(ii) of the EAR, or an item-specific license exception identified in Supplement No. 5 to part 774 particular to an item covered under ECCN 0A521. The list of commodities determined to be classified under ECCN 0A521 controls is published in Supplement No. 5 to part 774. The license requirements and licensing policy relating to ECCN 0A521 are set forth in § 742.6(a)(8) of the EAR.
0A602 Guns and Armament as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, UN, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| AT applies to entire entry | AT Column 1 |
a. Guns and armament manufactured between 1890 and 1919.
b. Military flame throwers with an effective range less than 20 meters.
c. through w. [Reserved]
x. “Parts” and “components” that are “specially designed” for a commodity subject to control in paragraphs .a or .b of this ECCN or a defense article in USML Category II and not elsewhere specified on the USML or the CCL.
Note 1 to 0A602.x:Engines that are “specially designed” for a self-propelled gun or howitzer subject to control under paragraph .a of this ECCN or a defense article in USML Category VII are controlled under ECCN 0A606.x.
Note 2 to 0A602:“Parts,” “components,” “accessories,” and “attachments” specified in USML subcategory II(j) are subject to the controls of that paragraph.
Note 3 to 0A602:Black powder guns and armament manufactured in or prior to 1890 and replicas thereof designed for use with black powder propellants are designated EAR99.
0A604 Commodities related to military explosive devices and charges (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. Military explosive excavating devices.
Note to 0A604.a and .b:This entry does not control the detonators and other items described in ECCN 1A007 or ECCN 3A232.
c. Smoke hand grenades and stun hand grenades (e.g., “flashbangs”) not controlled by ECCN 1A984.
d. through w. [Reserved]
x. “Parts,” “components,” “accessories,” and “attachments” that are “specially designed” for a commodity subject to control in paragraphs .a through .c of this ECCN, or for a defense article controlled under USML Category IV, and not specified elsewhere on the USML.
Note to 0A604.x:“Parts,” “components,” “accessories,” and “attachments” specified in USML Category IV(h) are subject to the controls of that paragraph
0A606 Ground Vehicles and Related Commodities, as Follows (See List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No.
1 to part 738) |
|---|---|
| NS applies to entire entry, except 0A606.b and .y | NS Column 1 |
| NS applies to 0A606.b | NS Column 2 |
| RS applies to entire entry, except 0A606.b and .y | RS Column 1 |
| RS applies to 0A606.b | RS Column 2 |
| RS applies to 0A606.y | China, Russia, or Venezuela (see § 742.6(a)(7)) |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry, except 0A606.y | See § 746.1(b) for UN controls |
a. Ground vehicles, whether manned or unmanned, “specially designed” for a military use and not enumerated or otherwise described in USML Category VII.
Note 1 to paragraph .a:For purposes of paragraph .a, “ground vehicles” include (i) tanks and armored vehicles manufactured prior to 1956 that have not been modified since 1955 and that do not contain a functional weapon or a weapon capable of becoming functional through repair; (ii) military railway trains except those that are armed or are “specially designed” to launch missiles; (iii) unarmored military recovery and other support vehicles; (iv) unarmored, unarmed vehicles with mounts or hard points for firearms of .50 caliber or less; and (v) trailers “specially designed” for use with other ground vehicles enumerated in USML Category VII or ECCN 0A606.a, and not separately enumerated or otherwise described in USML Category VII. For purposes of this note, the term “modified” does not include incorporation of safety features required by law, cosmetic changes (e.g., different paint or repositioning of bolt holes) or addition of “parts” or “components” available prior to 1956.
Note 2 to paragraph .a:A ground vehicle's being “specially designed” for military use for purposes of determining controls under paragraph .a. entails a structural, electrical or mechanical feature involving one or more “components” that are “specially designed” for military use. Such “components” include:
a. Pneumatic tire casings of a kind “specially designed” to be bullet-proof;
b. Armored protection of vital “parts” (e.g., fuel tanks or vehicle cabs);
c. Special reinforcements or mountings for weapons;
d. Black-out lighting.
b. Other ground vehicles, “parts” and “components,” as follows:
b.1. Unarmed vehicles that are derived from civilian vehicles and that have all of the following:
b.1.a. Manufactured or fitted with materials or “components” other than reactive or electromagnetic armor to provide ballistic protection to level III (National Institute of Justice standard 0108.01, September 1985) or better;
b.1.b. A transmission to provide drive to both front and rear wheels simultaneously, including those vehicles having additional wheels for load bearing purposes whether driven or not;
b.1.c. Gross vehicle weight rating (GVWR) greater than 4,500 kg; and
b.1.d. Designed or modified for off-road use.
b.2. “Parts” and “components” having all of the following:
b.2.a. “Specially designed” for vehicles specified in paragraph .b.1 of this entry; and
b.2.b. Providing ballistic protection to level III (National Institute of Justice standard 0108.01, September 1985) or better.
Note 1 to paragraph b:Ground vehicles otherwise controlled by 0A606.b.1 that contain reactive or electromagnetic armor are subject to the controls of USML Category VII.
Note 2 to paragraph b:ECCN 0A606.b.1 does not control civilian vehicles “specially designed” for transporting money or valuables.
Note 3 to paragraph b:“Unarmed” means not having installed weapons, installed mountings for weapons, or special reinforcements for mounts for weapons.
c. Air-cooled diesel engines and engine blocks for armored vehicles that weigh more than 40 tons.
d. Fully automatic continuously variable transmissions for tracked combat vehicles.
e. Deep water fording kits “specially designed” for ground vehicles controlled by ECCN 0A606.a or USML Category VII.
f. Self-launching bridge “components” not enumerated in USML Category VII(g) “specially designed” for deployment by ground vehicles enumerated in USML Category VII or this ECCN.
g. through w. [Reserved]
x. “Parts,” “components,” “accessories,” and “attachments” that are “specially designed” for a commodity enumerated or otherwise described in ECCN 0A606 (other than 0A606.b or 0A606.y) or a defense article enumerated in USML Category VII and not elsewhere specified on the USML or in 0A606.y.
Note 1:Forgings, castings, and other unfinished products, such as extrusions and machined bodies, that have reached a stage in manufacture where they are clearly identifiable by mechanical properties, material composition, geometry, or function as commodities controlled by ECCN 0A606.x are controlled by ECCN 0A606.x.
Note 2:“Parts,” “components,” “accessories” and “attachments” enumerated in USML paragraph VII(g) are subject to the controls of that paragraph. “Parts,” “components,” “accessories” and “attachments” described in ECCN 0A606.y are subject to the controls of that paragraph.
y. Specific “parts,” “components,” “accessories,” and “attachments” “specially designed” for a commodity enumerated or otherwise described in this ECCN (other than ECCN 0A606.b) or for a defense article in USML Category VII and not elsewhere specified on the USML or the CCL, as follows, and “parts,” “components,” “accessories,” and “attachments” “specially designed” therefor:
y.1. Brake discs, rotors, drums, calipers, cylinders, pads, shoes, lines, hoses, vacuum boosters, and parts therefor;
y.2. Alternators and generators;
y.3. Axles;
y.4. Batteries;
y.5. Bearings (e.g., ball, roller, wheel);
y.6. Cables, cable assembles, and connectors;
y.7. Cooling system hoses;
y.8. Hydraulic, fuel, oil, and air filters, not controlled by ECCN 1A004;
y.9. Gaskets and o-rings;
y.10. Hydraulic system hoses, fittings, couplings, adapters, and valves;
y.11. Latches and hinges;
y.12. Lighting systems, fuses, and “components;”
y.13. Pneumatic hoses, fittings, adapters, couplings, and valves;
y.14. Seats, seat assemblies, seat supports, and harnesses;
y.15 Tires, except run flat; and
y.16 Windows, except those for armored vehicles.
0A614 Military training “equipment,” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
This entry includes operational flight trainers, radar target trainers, flight simulators for aircraft classified under ECCN 9A610.a, human-rated centrifuges, radar trainers for radars classified under ECCN 3A611, instrument flight trainers for military aircraft, navigation trainers for military items, target equipment, armament trainers, military pilotless aircraft trainers, mobile training units and training “equipment” for ground military operations.
Note 2 to 0A614:This entry does not apply to “equipment” “specially designed” for training in the use of hunting or sporting weapons.
b. through w. [Reserved]
x. “Parts,” “components,” “accessories” “attachments” that are “specially designed” for a commodity controlled by this entry or an article enumerated or otherwise described in USML Category IX, and not specified elsewhere on the USML.
0A617 Miscellaneous “Equipment,” Materials, and Related Commodities (See List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No.
1 to part 738) |
|---|---|
| NS applies to entire entry, except 0A617.y | NS Column 1 |
| RS applies to entire entry, except 0A617.y | RS Column 1 |
| RS applies to 0A617.y | China, Russia, or Venezuela (see § 742.6(a)(7)) |
| AT applies to entire entry | AT Column 1 |
| UN applies to
entire entry, except 0A617.y. |
See § 764.1(b) for UN controls |
a. [Reserved]
b. Concealment and deception equipment “specially designed” for military application, including special paints, decoys, smoke or obscuration equipment and simulators, and “parts,” “components,” “accessories,” and “attachments” “specially designed” therefor, not controlled by USML Category XIII.
c. Ferries, bridges not described in ECCN 0A606 or USML Category VII, and pontoons, “specially designed” for military use.
d. Test models “specially designed” for the “development” of defense articles controlled by USML Categories IV, VI, VII and VIII.
e. [Reserved]
f. “Metal embrittlement agents.”
g. through x. [Reserved]
y. Other commodities as follows, and “parts,” “components,” “accessories,” and “attachments” “specially designed” therefore:
y.1. Construction equipment “specially designed” for military use, including such equipment “specially designed” for transport in aircraft controlled by USML VIII(a) or ECCN 9A610.a.
y.2. “Parts,” “components,” “accessories,” and “attachments” “specially designed” for commodities in paragraph .y.1 of this entry, including crew protection kits used as protective cabs.
y.3. ISO intermodal containers or demountable vehicle bodies (i.e., swap bodies), n.e.s., “specially designed” or 'modified' for shipping or packing defense articles or items controlled by a “600 series” ECCN.
Technical Note:For the purpose of 0A617.y.3, 'modified' means any structural, electrical, mechanical, or other change that provides a non-military item with military capabilities equivalent to an item which is “specially designed” for military use.
y.4. Field generators “specially designed” for military use.
y.5. Power controlled searchlights and control units therefor, “specially designed” for military use, and “equipment” mounting such units.
0A919 “Military commodities” located and produced outside the United States as follows (see list of items controlled). License Requirements Reasons for Control: RS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| RS applies to entire entry | RS Column 1, See § 742.6(a)(3) of the EAR for license requirements. |
| AT applies to entire entry | AT Column 1. |
a.1. Incorporate more than a de minimis amount of U.S.-origin controlled content classified under ECCNs 6A002, 6A003, or 6A993.a (having a maximum frame rate equal to or less than 9 Hz and thus meeting the criterion of Note 3.a to 6A003.b.4);
a.2. Incorporate more than a de minimis amount of U.S.-origin “600 series” controlled content (see § 734.4 of the EAR); or
a.3. Are direct products of U.S.-origin “600 series” technology or software (see § 736.2(b)(3) of the EAR).
b. [Reserved]
0A977 Water cannon systems for riot or crowd control, and “parts” and “components” “specially designed” therefor. License Requirements Reason for Control: CC 1| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1. |
0A977 water cannon systems include, for example: vehicles or fixed stations equipped with remotely operated water cannon that are designed to protect the operator from an outside riot with features such as armor, shatter resistant windows, metal screens, bull-bars, or run-flat tires. Components “specially designed” for water cannons may include, for example: deck gun water nozzles, pumps, reservoirs, cameras, and lights that are hardened or shielded against projectiles, elevating masts for those items, and teleoperation systems for those items.
0A978 Law enforcement striking weapons, including saps, police batons, side handle batons, tonfas, sjamboks, and whips. License Requirements Reason for Control: CC| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
b. Electric chairs for the purpose of executing human beings.
c. Air tight vaults designed for the execution of human beings by the administration of a lethal gas or substance.
d. Automatic drug injection systems designed for the execution of human beings by administration of a lethal substance.
0A982 Law enforcement restraint devices, including leg irons, shackles, and handcuffs; straight jackets; stun cuffs; shock belts; shock sleeves; multipoint restraint devices such as restraint chairs; and “specially designed” “parts,” “components” and “accessories,” n.e.s. License Requirements Reason for Control: CC Control(s): CC applies to entire entry. A license is required for ALL destinations, except Canada, regardless of end-use. Accordingly, a column specific to this control does not appear on the Commerce Country Chart. (See part 742 of the EAR for additional information.) List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls:Thumbcuffs and fingercuffs are classified under ECCN 0A983, “specially designed” implements of torture. Restraint devices that electronically monitor or report the location of confined persons for law enforcement or penal reasons are controlled under ECCN 3A981. Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading. Note to ECCN 0A982.This ECCN applies to restraint devices used in law enforcement activities. It does not apply to medical devices that are equipped to restrain patient movement during medical procedures. It does not apply to devices that confine memory impaired patients to appropriate medical facilities. It does not apply to safety equipment such as safety belts or child automobile safety seats.
0A983 “Specially designed” implements of torture, including thumbscrews, thumbcuffs, fingercuffs, spiked batons, and “specially designed” “parts,” “components” and “accessories,” n.e.s. License Requirements Reason for Control: CC Control(s): CC applies to entire entry. A license is required for ALL destinations, regardless of end-use. Accordingly, a column specific to this control does not appear on the Commerce Country Chart. (See part 742 of the EAR for additional information.) List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading Note to ECCN 0A983.In this ECCN, “torture” has the meaning set forth in Section 2340(1) of Title 18, United States Code.
0A988 Conventional military steel helmets.No items currently are in this ECCN. See ECCN 1A613.y.1 for conventional steel helmets that, immediately prior to July 1, 2014, were classified under 0A988.
0A998 Oil and gas exploration equipment, software, and data, as follows (see List of Items Controlled). License Requirements Reason for Control: Foreign policy| Control(s): | Country chart |
|---|---|
| Russian industry sector sanction applies to entire entry | See § 746.5 for specific license requirements and license review policy. |
b. Hydraulic fracturing items, as follows:
b.1. Hydraulic fracturing design and analysis software and data.
b.2. Hydraulic fracturing 'proppant,' 'fracking fluid,' and chemical additives therefor.
Technical Note:A 'proppant' is a solid material, typically treated sand or man-made ceramic materials, designed to keep an induced hydraulic fracture open, during or following a fracturing treatment. It is added to a 'fracking fluid' which may vary in composition depending on the type of fracturing used, and can be gel, foam or slickwater-based.
b.3. High pressure pumps.
0A999 Specific Processing Equipment, as Follows (See List of Items Controlled). License Requirements Reason for Control: AT Control(s): Country Chart. AT applies to entire entry. A license is required for items controlled by this entry to North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to determine AT licensing requirements for this entry. See § 742.19 of the EAR for additional information. List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: a. Ring Magnets;b. Reserved.
B. “Test”, “Inspection” and “Production Equipment” 0B501 Test, inspection, and production “equipment” and related commodities for the “development” or “production” of commodities enumerated or otherwise described in ECCN 0A501 or USML Category I as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, UN, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry except equipment for ECCN 0A501.y | NS Column 1 |
| RS applies to entire entry except equipment for ECCN 0A501.y | RS Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| AT applies to entire entry | AT Column 1 |
a. Small arms chambering machines.
b. Small arms deep hole drilling machines and drills therefor.
c. Small arms rifling machines.
d. Small arms spill boring machines.
e. Production equipment (including dies, fixtures, and other tooling) “specially designed” for the “production” of the items controlled in 0A501.a through .x. or USML Category I.
0B505 Test, inspection, and production “equipment” and related commodities “specially designed” for the “development” or “production” of commodities enumerated or otherwise described in ECCN 0A505 or USML Category III, except equipment for the hand loading of cartridges and shotgun shells, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, UN, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to paragraphs .a and .x | NS Column 1 |
| RS applies to paragraphs .a and .x | RS Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| AT applies to paragraphs .a, .d, and .x | AT Column 1 |
| AT applies to paragraph .c | A license is required for export or reexport of these items to North Korea for anti-terrorism reasons |
a. Production equipment (including tooling, templates, jigs, mandrels, molds, dies, fixtures, alignment mechanisms, and test equipment), not enumerated in USML Category III that are “specially designed” for the “production” of commodities controlled by ECCN 0A505.a or .x or USML Category III.
b. Equipment “specially designed” for the “production” of commodities in ECCN 0A505.b.
c. Equipment “specially designed” for the “production” of commodities in ECCN 0A505.c.
d. Equipment “specially designed” for the “production” of commodities in ECCN 0A505.d.
e. through .w [Reserved]
x. “Parts” and “components” “specially designed” for a commodity subject to control in paragraph .a of this entry.
0B521 Any commodity subject to the EAR that is not listed elsewhere in the CCL, but which is controlled for export because it provides at least a significant military or intelligence advantage to the United States or for foreign policy reasons.0B521 commodities are subject to RS1 controls with no license exception eligibility other than License Exception GOV for U.S. Government personnel and agencies under § 740.11(b)(2)(ii) of the EAR, or an item-specific license exception identified in Supplement No. 5 to part 774 particular to an item covered under ECCN 0B521. The list of commodities determined to be classified under ECCN 0B521 controls is published in Supplement No. 5 to part 774. The license requirements and licensing policy relating to ECCN 0B521 are set forth in § 742.6(a)(8) of the EAR.
0B602 Test, inspection, and production “equipment” and related commodities “specially designed” for the “development” or “production” of commodities enumerated or otherwise described in ECCN 0A602 or USML Category II as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, UN, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| AT applies to entire entry | AT Column 1 |
a. The following commodities if “specially designed” for the “development” or “production” of commodities enumerated in ECCN 0A602.a or USML Category II:
a.1. Gun barrel rifling and broaching machines and tools therefor;
a.2. Gun barrel rifling machines;
a.3. Gun barrel trepanning machines;
a.4. Gun boring and turning machines;
a.5. Gun honing machines of 6 feet (183 cm) stroke or more;
a.6. Gun jump screw lathes;
a.7. Gun rifling machines; and
a.8. Barrel straightening presses.
b. Jigs and fixtures and other metal-working implements or accessories of the kinds exclusively designed for use in the manufacture of items in ECCN 0A602 or USML Category II.
c. Other tooling and equipment, “specially designed” for the “production” of items in ECCN 0A602 or USML Category II.
d. Test and evaluation equipment and test models, including diagnostic instrumentation and physical test models, “specially designed” for items in ECCN 0A602 or USML Category II.
0B604 Test, inspection, and production “equipment” and related commodities “specially designed” for the “development,” “production,” repair, overhaul, or refurbishing of commodities in ECCN 0A604 or related defense articles in USML Category IV (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. through w. [Reserved]
x. “Parts,” “components,” “accessories,” and “attachments” that are “specially designed” for a commodity subject to control in paragraph .a of this ECCN.
0B606 Test, inspection, and production “equipment” and related commodities, not enumerated on the USML, “specially designed” for the “development,” “production,” repair, overhaul, or refurbishing of commodities enumerated or otherwise described in ECCN 0A606 or USML Category VII (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
ECCN 0B606 includes (i) armor plate drilling machines, other than radial drilling machines, (ii) armor plate planing machines, (iii) armor plate quenching presses; and (iv) tank turret bearing grinding machines.
b. Environmental test facilities “specially designed” for the certification, qualification, or testing of commodities enumerated or otherwise described in ECCN 0A606 (except for 0A606.b or 0A606.y) or in USML Category VII, and “equipment” “specially designed” therefor.
0B614 Test, inspection, and production “equipment” for military training “equipment” and “specially designed” “parts,” “components,” “accessories” and “attachments” therefor, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. through .w [Reserved]
x. “Parts,” “components,” “accessories” and “attachments” that are “specially designed” for a commodity controlled by ECCN 0B614.
0B617 Test, inspection, and production “equipment” and related commodities “specially designed” for the “development,” “production,” repair, overhaul, or refurbishing of commodities enumerated or otherwise described in ECCN 0A617 or USML Category XIII, and “parts,” “components,” “accessories,” and “attachments” “specially designed” therefor (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. [Reserved]
Note:Field engineer equipment “specially designed” for use in a combat zone, identified in the Wassenaar Arrangement Munitions List 17.d, and mobile repair shops “specially designed” or modified to service military equipment, identified in Wassenaar Arrangement Munitions List 17.j, are controlled by 0B617 to the extent that the items are not included in USML Category XIII(k).
0B999 Specific Processing Equipment, as Follows (See List of Items Controlled). License Requirements Reason for Control: AT, RS| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry. | A license is required for items controlled by this entry to North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to determine AT license requirements for this entry. See § 742.19 of the EAR for additional information. |
| RS applies to entire entry. | A license is required for items controlled by this entry for export or reexport to Iraq or transfer within Iraq for regional stability reasons. The Commerce Country Chart is not designed to determine RS license requirements for this entry. See §§ 742.6 and 746.3 of the EAR for additional information. |
b. Glove boxes suitable for use with radioactive materials.
C. “Materials” 0C521 Any material subject to the EAR that is not listed elsewhere in the CCL, but which is controlled for export because it provides at least a significant military or intelligence advantage to the United States or for foreign policy reasons.0C521 materials are subject to RS1 controls with no license exception eligibility other than License Exception GOV for U.S. Government personnel and agencies under § 740.11(b)(2)(ii) of the EAR, or an item-specific license exception identified in Supplement No. 5 to part 774 particular to an item covered under ECCN 0C521. The list of materials determined to be classified under ECCN 0C521 controls is published in Supplement No. 5 to part 774. The license requirements and licensing policy relating to ECCN 0C521 are set forth in § 742.6(a)(8) of the EAR.
0C606 Materials “specially designed” for commodities controlled by ECCN 0A606 not elsewhere specified in the USML (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
Materials “specially designed” for both ground vehicles enumerated or otherwise described in USML Category VII and ground vehicles enumerated or otherwise described in ECCN 0A606 are subject to the controls of this ECCN unless identified in USML Category VII(g) as being subject to the controls of that paragraph.
0C617 Miscellaneous Materials “Specially Designed” for Military Use (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. [Reserved]
D. “Software” 0D001 “Software” “specially designed” or modified for the “development,” “production,” or “use” of commodities described in 0A002. (These items are “subject to the ITAR.” See 22 CFR parts 120 through 130.) Heading Note:Certain “software” for the “development,” “production,” or “use” of nuclear related commodities is subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
License Requirements Control(s): “Software” for items described in 0A002 is “subject to the ITAR” (see 22 CFR parts 120 through 130). List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: N/A List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: The List of Items Controlled is contained in the ECCN heading. 0D501 “Software” “specially designed” for the “development,” “production,” operation, or maintenance of commodities controlled by 0A501 or 0B501. License Requirements Reason for Control: NS, RS, UN, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry except “software” for commodities in ECCN 0A501.y or equipment in ECCN 0B501 for commodities in ECCN 0A501.y | NS Column 1 |
| RS applies to entire entry except “software” for commodities in ECCN 0A501.y or equipment in ECCN 0B501 for commodities in ECCN 0A501.y | RS Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to “software” for commodities in ECCN 0A505.a and .x and equipment in ECCN 0B505.a .and .x | NS Column 1 |
| RS applies to “software” for commodities in ECCN 0A505.a and .x and equipment in ECCN 0B505.a and .x | RS Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| AT applies to “software” for commodities in ECCN 0A505.a, .d, or .x and equipment in ECCN 0B505.a, .d, or .x | AT Column 1 |
0D521 software is subject to RS1 controls with no license exception eligibility other than License Exception GOV for U.S. Government personnel and agencies under § 740.11(b)(2)(ii) of the EAR, or an item-specific license exception identified in Supplement No. 5 to part 774 particular to an item covered under ECCN 0D521. The list of software determined to be classified under ECCN 0D521 controls is published in Supplement No. 5 to part 774. The license requirements and licensing policy relating to ECCN 0D521 are set forth in § 742.6(a)(8) of the EAR.
0D602 “Software” “specially designed” for the “development,” “production,” operation or maintenance of commodities controlled by 0A602 or 0B602 as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, UN, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. [Reserved]
0D606 “Software” “specially designed” for the “development,” “production,” operation, or maintenance of ground vehicles and related commodities controlled by 0A606, 0B606, or 0C606 (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry, except 0D606.y | NS Column 1. |
| RS applies to entire entry, except 0D606.y | RS Column 1. |
| RS applies to 0D606.y | China, Russia, or Venezuela (see § 742.6(a)(7)). |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry, except 0D606.y | See § 746.1(b) for UN controls. |
a. “Software” “specially designed” for the “development,” “production,” operation, or maintenance of commodities controlled by ECCNs 0A606 (except for ECCNs 0A606.b or 0A606.y), 0B606, or 0C606.
b. through x. [Reserved]
y. “Specific software” “specially designed” for the “production,” “development,” operation, or maintenance of commodities described in ECCN 0A606.y.
0D614 “Software” related to military training “equipment,” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. [Reserved]
0D617 “Software” “specially designed” for the “development,” “production,” operation, or maintenance of commodities controlled by 0A617, “equipment” controlled by 0B617, or materials controlled by 0C617 (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry, except 0D606.y | NS Column 1. |
| RS applies to entire entry, except 0D606.y | RS Column 1. |
| RS applies to 0D606.y | China, Russia, or Venezuela (see § 742.6(a)(7)). |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry, except 0D606.y | See § 746.1(b) for UN controls. |
a. “Software” “specially designed” for the “development,” “production,” operation, or maintenance of commodities controlled by ECCNs 0A606 (except for ECCNs 0A606.b or 0A606.y), 0B606, or 0C606.
b. through x. [Reserved]
y. “Specific software” “specially designed” for the “production,” “development,” operation, or maintenance of commodities described in ECCN 0A606.y.
0D977 “Software” “specially designed” for the “development,” “production” or “use” of commodities controlled by 0A977. License Requirements Reason for Control: CC1| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | A license is required for items controlled by this entry to North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to determine AT license requirements for this entry. See § 742.19 of the EAR for additional information. |
| RS applies to entire entry. | A license is required for items controlled by this entry for export or reexport to Iraq or transfer within Iraq for regional stability reasons. The Commerce Country Chart is not designed to determine RS license requirements for this entry. See §§ 742.6 and 746.3 of the EAR for additional information. |
b. Software for radiation transport calculations/modeling;
c. Software for hydrodynamic calculations/modeling.
E. “Technology” 0E001 “Technology,” according to the Nuclear Technology Note, for the “development,” “production,” or “use” of items described in 0A002, or 0D001. Heading Note:“Technology” for certain items subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110) is subject to the export licensing authority of the Department of Energy (see 10 CFR part 810).
License Requirements Reason for Control: Control(s): “Technology” for items described in 0A002 and 0D001 (applies to “software” in 0D001 for items described in 0A002 only) is subject to the export licensing authority of the U.S. Department of State, Directorate of Defense Trade Controls (see 22 CFR part 121). List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: N/A List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: The List of Items Controlled is contained in the ECCN heading. 0E501 “Technology” “required” for the “development,” “production,” operation, installation, maintenance, repair, or overhaul of commodities controlled by 0A501 or 0B501 as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, UN, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| AT applies to entire entry | AT Column 1 |
a. “Technology” “required” for the “development” or “production” of commodities controlled by ECCN 0A501 (other than 0A501.y) or 0B501.
b. “Technology” “required” for the operation, installation, maintenance, repair, or overhaul of commodities controlled by ECCN 0A501 (other than 0A501.y) or 0B501.
0E502 “Technology” “required” for the “development” or “production” of commodities controlled by 0A502. License Requirements Reason for Control: CC, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
| UN applies to entire entry | See § 746.1(b) of the EAR for UN controls |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| RS applies to entire entry | RS Column 1 |
| UN applies to entire entry | See § 746.1(b) of the EAR for UN controls |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to “technology” for “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing commodities in 0A505.a and .x; for equipment for those commodities in 0B505; and for “software” for that equipment and those commodities in 0D505 | NS Column 1 |
| RS applies to entire entry except “technology” for “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing commodities in 0A505.a and .x; for equipment for those commodities in 0B505 and for “software” for those commodities and that equipment in 0D505 | RS Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| CC applies to “technology” for the “development” or “production” of commodities in 0A505.b | CC Column 1 |
| AT applies to “technology” for “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing commodities in 0A505.a, .d, and .x | AT Column 1 |
0E521 technology is subject to RS1 controls with no license exception eligibility other than License Exception GOV for U.S. Government personnel and agencies under § 740.11(b)(2)(ii) of the EAR, or an item-specific license exception identified in Supplement No. 5 to part 774 particular to an item covered under ECCN 0E521. The list of technologies determined to be classified under ECCN 0E521 controls is published in Supplement No. 5 to part 774. The license requirements and licensing policy relating to ECCN 0E521 are set forth in § 742.6(a)(8) of the EAR.
0E602 “Technology” “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of commodities controlled by 0A602 or 0B602, or “software” controlled by 0D602 as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, UN, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| UN applies to entire entry | See § 746.1 of the EAR for UN controls |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. [Reserved]
0E606 “Technology” “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbushing of ground vehicles and related commodities in 0A606, 0B606, 0C606, or software in 0D606 (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry, except 0E606.y | NS Column 1. |
| RS applies to entire entry, except 0E606.y | RS Column 1. |
| RS applies to 0E606.y | China, Russia, or Venezuela (see § 742.6(a)(7)). |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry, except 0E606.y | See § 746.1(b) for UN controls. |
a. “Technology” “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of commodities enumerated or otherwise described in ECCN 0A606 (except for ECCNs 0A606.b or 0A606.y), 0B606, or 0C606.
b. through x. [Reserved]
y. Specific “technology” “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul or refurbishing of commodities or software in ECCN 0A606.y or 0D606.y.
0E614 “Technology,” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. [Reserved]
0E617 “Technology” “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of commodities controlled by ECCN 0A617, “equipment” controlled by 0B617, or materials controlled by 0C617, or “software” controlled by ECCN 0D617 (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry, except 0E617.y | NS Column 1. |
| RS applies to entire entry, except 0E617.y | RS Column 1. |
| RS applies to 0E617.y | China, Russia, or Venezuela (see § 742.6(a)(7)). |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry, except 0E617.y | See § 746.1(b) for UN controls. |
a. “Technology” (other than “technology” controlled by paragraph .y of this entry) “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of commodities or “software” controlled by ECCN 0A617 (except 0A617.y), 0B617, 0C617, or 0D617 (except 0D617.y).
b. through x. [Reserved].
y. Specific “technology” “required” for the “production,” “development,” operation, installation, maintenance, repair, overhaul, or refurbishing of commodities controlled by ECCN 0A617.y or “software” controlled by 0D617.y.
0E977 “Technology” “required” for the “development” or “production” of commodities controlled by 0A977. License Requirements Reason for Control: CC1| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1. |
| Control(s) |
|---|
| CC applies to “technology” for items controlled by 0A982 or 0A503. A license is required for ALL destinations, except Canada, regardless of end use. Accordingly, a column specific to this control does not appear on the Commerce Country Chart. (See part 742 of the EAR for additional information.) |
The list of items controlled is contained in the ECCN heading.
EAR99 Items subject to the EAR that are not elsewhere specified in this CCL Category or in any other category in the CCL are designated by the number EAR99. Category 1 - Special Materials and Related Equipment, Chemicals, “Microorganisms,” and “Toxins” Note:The Food and Drug Administration (FDA) and the Drug Enforcement Administration (DEA) may control exports of items subject to the EAR and on the Commerce Control List. BIS provides cross references to these other agency controls for convenience only. Therefore, please consult relevant FDA and DEA regulations for guidance related to the item you wish to export and do not rely solely on the EAR for information about other agency export control requirements. See Supplement No. 3 to part 730 (Other U.S. Government Departments and Agencies with Export Control Responsibilities) for more information.
A. “End Items”, “Equipment”, “Accessories”, “Attachments”, “Parts”, “Components”and “Systems” 1A001 “Parts” and “components” made from fluorinated compounds, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. [Reserved]
1A002 “Composite” structures or laminates, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2. |
| NP applies to 1A002.b.1 in the form of tubes with an inside diameter between 75 mm and 400 mm | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
a.1. An organic “matrix” and “fibrous or filamentary materials” specified by 1C010.c or 1C010.d; or
a.2. Prepregs or preforms specified by 1C010.e;
b. Made from a metal or carbon “matrix”, and any of the following:
b.1. Carbon “fibrous or filamentary materials” having all of the following:
b.1.a. A “specific modulus” exceeding 10.15 × 10 6
b.1.b. A “specific tensile strength” exceeding 17.7 × 10 4 m; or
b.2. Materials controlled by 1C010.c.
Note 1:1A002 does not control “composite” structures or laminates made from epoxy resin impregnated carbon “fibrous or filamentary materials”, for the repair of “civil aircraft” structures or laminates, having all of the following:
a. An area not exceeding 1 m 2;
b. A length not exceeding 2.5 m; and
c. A width exceeding 15 mm.
Note 2:1A002 does not control semi-finished items, “specially designed” for civilian applications as follows:
a. Sporting goods;
b. Automotive industry;
c. Machine tool industry;
d. Medical applications.
Note 3:1A002.b.1 does not apply to semi-finished items containing a maximum of two dimensions of interwoven filaments and “specially designed” for applications as follows:
a. Metal heat-treatment furnaces for tempering metals;
b. Silicon boule production equipment.
Note 4:1A002 does not apply to finished items “specially designed” for a specific application.
1A003 Manufactures of non-“fusible” aromatic polyimides in film, sheet, tape or ribbon form having any of the following (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. Coated or laminated with carbon, graphite, metals or magnetic substances.
1A004 Protective and Detection Equipment and “Components,” Not “Specially Designed” for Military Use, as Follows (See List of Items Controlled). License Requirements Reason for Control: NS, CB, RS, AT| Control(s) | Country chart (see Supp. No.
1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| CB applies to chemical detection systems and dedicated detectors therefor, in 1A004.c, that also have the technical characteristic | CB Column 2 |
| RS apply to 1A004.d | RS Column 2 |
| AT applies to entire entry | AT Column 1 |
a. Full face masks, filter canisters and decontamination equipment therefor, designed or modified for defense against any of the following, and “specially designed” “components” therefor:
Note:1A004.a includes Powered Air Purifying Respirators (PAPR) that are designed or modified for defense against agents or materials, listed in 1A004.a.
Technical Notes:For the purpose of 1A004.a:
1. Full face masks are also known as gas masks.
2. Filter canisters include filter cartridges.
a.1. 'Biological agents';
a.2. 'Radioactive materials;'
a.3. Chemical warfare (CW) agents; or
a.4. 'Riot control agents', as follows:
a.4.a. α-Bromobenzeneacetonitrile, (Bromobenzyl cyanide) (CA) (CAS 5798-79-8);
a.4.b. [(2-chlorophenyl) methylene] propanedinitrile, (o-Chlorobenzylidenemalononitrile) (CS) (CAS 2698-41-1);
a.4.c. 2-Chloro-1-phenylethanone, Phenylacyl chloride (ω-chloroacetophenone) (CN) (CAS 532-27-4);
a.4.d. Dibenz-(b,f)-1,4-oxazephine, (CR) (CAS 257-07-8);
a.4.e. 10-Chloro-5, 10-dihydrophenarsazine, (Phenarsazine chloride), (Adamsite), (DM) (CAS 578-94-9);
a.4.f. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
b. Protective suits, gloves and shoes, “specially designed” or modified for defense against any of the following:
b.1. 'Biological agents';
b.2. 'Radioactive materials;' or
b.3. Chemical warfare (CW) agents;
c. Detection systems, “specially designed” or modified for detection or identification of any of the following, and “specially designed” “components” therefor:
c.1. 'Biological agents';
c.2. 'Radioactive materials;' or
c.3. Chemical warfare (CW) agents;
d. Electronic equipment designed for automatically detecting or identifying the presence of “explosives” (as listed in the annex at the end of Category 1) residues and utilizing 'trace detection' techniques (e.g., surface acoustic wave, ion mobility spectrometry, differential mobility spectrometry, mass spectrometry).
Technical Note:'Trace detection' is defined as the capability to detect less than 1 ppm vapor, or 1 mg solid or liquid.
Note 1:1A004.d does not apply to equipment “specially designed” for laboratory use.
Note 2:1A004.d does not apply to non-contact walk-through security portals.
Note:1A004 does not control:
a. Personal radiation monitoring dosimeters;
b. Occupational health or safety equipment limited by design or function to protect against hazards specific to residential safety or civil industries, including:
1. Mining;
2. Quarrying;
3. Agriculture;
4. Pharmaceutical;
5. Medical;
6. Veterinary;
7. Environmental;
8. Waste management;
9. Food industry.
Technical Notes:1. 1A004 includes equipment, “components” that have been 'identified,' successfully tested to national standards or otherwise proven effective, for the detection of or defense against 'radioactive materials' 'biological agents,' chemical warfare agents, 'simulants' or “riot control agents,” even if such equipment or “components” are used in civil industries such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or the food industry.
2. 'Simulant': A substance or material that is used in place of toxic agent (chemical or biological) in training, research, testing or evaluation.
3. For the purposes of 1A004, 'radioactive materials' are those selected or modified to increase their effectiveness in producing casualties in humans or animals, degrading equipment or damaging crops or the environment.
1A005 Body armor and “specially designed” “components” therefor, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, UN, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2. |
| UN applies to entire entry | See § 746.1(b) for UN controls. |
| AT applies to entire entry | AT Column 1. |
b. Hard body armor plates that provide ballistic protection less than NIJ level III (NIJ 0101.06, July 2008) or national equivalents.
Notes to ECCN 1A005:1. This entry does not control body armor when accompanying its user for the user's own personal protection.
2. This entry does not control body armor designed to provide frontal protection only from both fragment and blast from non-military explosive devices.
3. This entry does not apply to body armor designed to provide protection only from knife, spike, needle or blunt trauma.
1A006 Equipment, “specially designed” or modified for the disposal of improvised explosive devices, as follows (see List of Items Controlled), and “specially designed” “components” and “accessories” therefor. License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2. |
| AT applies to entire entry | AT Column 1. |
1A006 does not apply to equipment when accompanying its operator.
List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: Equipment “specially designed” for military use for the disposal of improvised explosive devices is “subject to the ITAR” (see 22 CFR parts 120 through 130, including USML Category IV). Related Definitions: ‘Disruptors’ - Devices “specially designed” for the purpose of preventing the operation of an explosive device by projecting a liquid, solid or frangible projectile. Items: a. Remotely operated vehicles; b. ‘Disruptors’ 1A007 Equipment and devices, “specially designed” to initiate charges and devices containing “energetic materials,” by electrical means, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, NP, AT| Control(s) | Country chart (See Supp. No.1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| NP applies to 1A007.b, as well as 1A007.a when the detonator firing set meets or exceeds the parameters of 3A229 | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Electrically driven explosive detonators as follows:
b.1. Exploding bridge (EB);
b.2. Exploding bridge wire (EBW);
b.3. Slapper;
b.4. Exploding foil initiators (EFI).
Technical Notes1. The word initiator or igniter is sometimes used in place of the word detonator.
2. For the purpose of 1A007.b 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 magnetic force. The term exploding foil detonator may refer to either an EB or a slapper-type detonator.
1A008 Charges, Devices and “Components,” as Follows (See List of Items Controlled). License Requirements Reason for Control: NS, UN, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
a. High explosives and related equipment “specially designed” for military use;
b. Explosive devices or charges in this entry that utilize USML controlled energetic materials (See 22 CFR 121.1 Category V), if they have been specifically designed, developed, configured, adapted, or modified for a military application;
c. Shaped charges that have all of the following a uniform shaped conical liner with an included angle of 90 degrees or less, more than 2.0 kg of controlled materials, and a diameter exceeding 4.5 inches;
d. Detonating cord containing greater than 0.1 kg per meter (470 grains per foot) of controlled materials;
e. Cutters and severing tools containing greater than 10 kg of controlled materials;
f. With the exception of cutters and severing tools, devices or charges controlled by this entry where the USML controlled materials can be easily extracted without destroying the device or charge; and
g. Individual USML controlled energetic materials in this entry, even when compounded with other materials, when not incorporated into explosive devices or charges controlled by this entry or 1C992.
(2) See also ECCNs 1C011, 1C018, 1C111, 1C239, and 1C608 for additional controlled energetic materials. See ECCN 1E001 for the “development” or “production” “technology” for the commodities controlled by ECCN 1A008, but not for explosives or commodities that are “subject to the ITAR” (see 22 CFR parts 120 through 130).
Related Definitions: N/A Items:a. 'Shaped charges' having all of the following:
a.1. Net Explosive Quantity (NEQ) greater than 90 g; and
a.2. Outer casing diameter equal to or greater than 75 mm;
b. Linear shaped cutting charges having all of the following, and “specially designed” “components” therefor:
b.1. An explosive load greater than 40 g/m; and
b.2. A width of 10 mm or more;
c. Detonating cord with explosive core load greater than 64 g/m;
d. Cutters, not specified by 1A008.b, and severing tools, having a NEQ greater than 3.5 kg.
Technical Note:'Shaped charges' are explosive charges shaped to focus the effects of the explosive blast.
Note:The only charges and devices specified in 1A008 are those containing “explosives” (see list of explosives in the Annex at the end of Category 1) and mixtures thereof.
1A101 Devices for reduced observables such as radar reflectivity, ultraviolet/infrared signatures and acoustic signatures, for applications usable in rockets, missiles, or unmanned aerial vehicles capable of achieving a “range” equal to or greater than 300 km or their complete subsystems. License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Made with any of the “fibrous or filamentary materials” specified in 1C010.a or .b or 1C210.a or with carbon prepreg materials specified in 1C210.c.
1A225 Platinized catalysts “specially designed” or prepared for promoting the hydrogen isotope exchange reaction between hydrogen and water for the recovery of tritium from heavy water or for the production of heavy water. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Designed to be used in vacuum distillation towers.
1A227 High-density (lead glass or other) radiation shielding windows, having all of the following characteristics (see List of Items Controlled), and “specially designed” frames therefor. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. A density greater than 3 g/cm 3; and
c. A thickness of 100 mm or greater.
1A231 Target assemblies and components for the production of tritium as follows (See List of Items Controlled): License Requirements Reason for Control: NP, AT| Control(s) | Country chart (see supplement No. 1 to part 738) |
|---|---|
| NP applies to
entire entry AT applies to entire entry |
NP Column 1 AT Column 1 |
b. Components “specially designed” for the target assemblies specified in item a.
Technical Note to ECCN 1A231.b.:Components “specially designed” for target assemblies for the “production” of tritium may include lithium pellets, tritium getters, and specially-coated cladding.
1A290 Depleted uranium (any uranium containing less than 0.711% of the isotope U-235) in shipments of more than 1,000 kilograms in the form of shielding contained in X-ray units, radiographic exposure or teletherapy devices, radioactive thermoelectric generators, or packaging for the transportation of radioactive materials. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 2 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to Part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| RS applies to entire entry | RS Column 1. |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry | See § 746.1(b) for UN controls. |
e. “Equipment” “specially designed” for military use and for the dissemination of any of the riot control agents controlled in ECCN 1C607.a.
f. Protection “equipment” (including air conditioning units, protective coatings, and protective clothing):
f.1. Not controlled by USML Category XIV(f); and
f.2. “Specially designed” for military use and for defense against:
f.2.1. Materials specified by USML Category XIV (a) or (b); or
f.2.2. Riot control agents controlled in 1C607.a.
g. Decontamination “equipment”:
g.1. Not controlled by USML Category XIV(f); and
g.2. “Specially designed” for military use and for decontamination of objects contaminated with materials controlled by USML Category XIV(a) or (b).
h. “Equipment”:
h.1. Not controlled by USML Category XIV(f); and
h.2. “Specially designed” for military use and for the detection or identification of:
h.2.1. Materials specified by USML Category XIV(a) or (b); or
h.2.2. Riot control agents controlled by ECCN 1C607.a.
i. [Reserved]
j. “Equipment” “specially designed” to:
j.1. Interface with a detector, shelter, vehicle, vessel, or aircraft controlled by the USML or a “600 series” ECCN; and
j.2. Collect and process samples of articles controlled in USML Category XIV(a) or (b).
k. Medical countermeasures that are “specially designed” for military use (including pre- and post-treatments, antidotes, and medical diagnostics) and “specially designed” to counter chemical agents controlled by the USML Category XIV(a).
Note:Examples of “equipment” controlled by this entry are barrier and non-barrier creams and filled autoinjectors (e.g., combopens where one injector contains 2-PAM and the other atropine) if “specially designed” to counter such agents.
l. through w. [Reserved]
x. “Parts,” “components,” “accessories,” and “attachments” that are “specially designed” for a commodity controlled by ECCN 1A607.e, .f, .g, .h, or .j or for a defense article controlled by USML Category XIV(f) and that are not enumerated or otherwise described elsewhere in the USML.
1A613 Armored and protective “equipment” and related commodities, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry except 1A613.y | NS Column 1. |
| RS applies to entire entry except 1A613.y | RS Column 1. |
| RS applies to 1A613.y | China, Russia, or Venezuela (see § 742.6(a)(7)). |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry, except 1A613.y | See § 746.1(b) for UN controls. |
a. Metallic or non-metallic armored plate “specially designed” for military use and not controlled by the USML.
Note to paragraph a:For controls on body armor plates, see ECCN 1A613.d.2 and USML Category X(a)(1).
b. Shelters “specially designed” to:
b.1. Provide ballistic protection for military systems; or
b.2. Protect against nuclear, biological, or chemical contamination.
c. Military helmets (other than helmets controlled under 1A613.y.1) providing less than NIJ Type IV protection and “specially designed” helmet shells, liners, or comfort pads therefor.
Note 1:See ECCN 0A979 for controls on police helmets.
Note 2:See USML Category X(a)(5) and (a)(6) for controls on other military helmets.
d. Body armor and protective garments, as follows:
d.1. Soft body armor and protective garments manufactured to military standards or specifications, or to their equivalents, that provide ballistic protection equal to or less than NIJ level III (NIJ 0101.06, July 2008); or
Note:For 1A613.d.1, military standards or specifications include, at a minimum, specifications for fragmentation protection.
d.2. Hard body armor plates that provide ballistic protection equal to NIJ level III (NIJ 0101.06, July 2008) or national equivalents.
Note:See ECCN 1A005 for controls on soft body armor not manufactured to military standards or specifications and hard body armor plates providing less than NIJ level III protection. For body armor providing NIJ Type IV protection or greater, see USML Category X(a)(1).
e. Atmospheric diving suits “specially designed” for rescue operations for submarines controlled by the USML or the CCL.
f. Other personal protective “equipment” “specially designed” for military applications not controlled by the USML, not elsewhere controlled on the CCL.
g. to w. [Reserved]
x. “Parts,” “components,” “accessories,” and “attachments” that are “specially designed” for a commodity controlled by ECCN 1A613 (except for 1A613.y) or an article enumerated in USML Category X, and not controlled elsewhere in the USML.
Note:Forgings, castings, and other unfinished products, such as extrusions and machined bodies, that have reached a stage in manufacturing where they are clearly identifiable by mechanical properties, material composition, geometry, or function as commodities controlled by ECCN 1A613.x are controlled by ECCN 1A613.x.
y. Other commodities as follows:
y.1 Conventional military steel helmets.
N.B. to paragraph y.1:For other military helmet “components” or “accessories,” see the relevant ECCN in the CCL or USML Entry.
y.2 [Reserved]
1A984 Chemical agents, including tear gas formulation containing 1 percent or less of orthochlorobenzalmalononitrile (CS), or 1 percent or less of chloroacetophenone (CN), except in individual containers with a net weight of 20 grams or less; liquid pepper except when packaged in individual containers with a net weight of 3 ounces (85.05 grams) or less; smoke bombs; non-irritant smoke flares, canisters, grenades and charges; and other pyrotechnic articles (excluding shotgun shells, unless the shotgun shells contain only chemical irritants) having dual military and commercial use, and “parts” and “components” “specially designed” therefor, n.e.s. License Requirements Reason for Control: CC| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
The list of items controlled is contained in the ECCN heading.
1A985 Fingerprinting powders, dyes, and inks. License Requirements Reason for Control: CC| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
b. Equipment limited by design or function to protect against hazards specific to civil industries, such as mining, quarrying, agriculture, pharmaceuticals, medical, veterinary, environmental, waste management, or to the food industry.
Note:This entry (1A995) does not control items for protection against chemical or biological agents that are consumer goods, packaged for retail sale or personal use, or medical products, such as latex exam gloves, latex surgical gloves, liquid disinfectant soap, disposable surgical drapes, surgical gowns, surgical foot covers, and surgical masks. Such items are classified as EAR99.
1A999 Specific Processing Equipment, n.e.s., as Follows (See List of Items Controlled). License Requirements Reason for Control: AT Control(s): Country Chart. AT applies to entire entry. A license is required for items controlled by this entry to North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to determine AT licensing requirements for this entry. See § 742.19 of the EAR for additional information. List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: a. Radiation detection, monitoring and measurement equipment, n.e.s.;b. Radiographic detection equipment such as x-ray converters, and storage phosphor image plates.
B. “Test”, “Inspection” and “Production Equipment” 1B001 Equipment for the production or inspection of “composite” structures or laminates controlled by 1A002 or “fibrous or filamentary materials” controlled by 1C010, as follows (see List of Items Controlled), and “specially designed” “components” and “accessories” therefor. License Requirements Reason for Control: NS, MT, NP, AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| MT applies to
entire entry, except 1B001.d.4, e and f Note: MT applies to equipment in 1B001.d that meet or exceed the parameters of 1B101 |
MT Column 1 |
| NP applies to filament winding machines described in 1B001.a that are capable of winding cylindrical rotors having a diameter between 75 mm (3 in) and 400 mm (16 in) and lengths of 600 mm (24 in) or greater; AND coordinating and programming controls and precision mandrels for these filament winding machines | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a. Filament winding machines, of which the motions for positioning, wrapping and winding fibers are coordinated and programmed in three or more 'primary servo positioning' axes, “specially designed” for the manufacture of “composite” structures or laminates, from “fibrous or filamentary materials”;
b. 'Tape laying machines', of which the motions for positioning and laying tape are coordinated and programmed in five or more 'primary servo positioning' axes, “specially designed” for the manufacture of “composite” airframe or missile structures;
Technical Note:For the purposes of 1B001.b, 'tape-laying machines' have the ability to lay one or more 'filament bands' limited to widths greater than 25.4 mm and less than or equal to 304.8 mm, and to cut and restart individual 'filament band' courses during the laying process.
c. Multidirectional, multidimensional weaving machines or interlacing machines, including adapters and modification kits, “specially designed” or modified for weaving, interlacing or braiding fibers for “composite” structures;
Technical Note:For the purposes of 1B001.c the technique of interlacing includes knitting.
d. Equipment “specially designed” or adapted for the production of reinforcement fibers, as follows:
d.1. Equipment for converting polymeric fibers (such as polyacrylonitrile, rayon, pitch or polycarbosilane) into carbon fibers or silicon carbide fibers, including special equipment to strain the fiber during heating;
d.2. Equipment for the chemical vapor deposition of elements or compounds, on heated filamentary substrates, to manufacture silicon carbide fibers;
d.3. Equipment for the wet-spinning of refractory ceramics (such as aluminum oxide);
d.4. Equipment for converting aluminum containing precursor fibers into alumina fibers by heat treatment;
e. Equipment for producing prepregs controlled by 1C010.e by the hot melt method;
f. Non-destructive inspection equipment “specially designed” for “composite” materials, as follows:
f.1. X-ray tomography systems for three dimensional defect inspection;
f.2. Numerically controlled ultrasonic testing machines of which the motions for positioning transmitters or receivers are simultaneously coordinated and programmed in four or more axes to follow the three dimensional contours of the “part” or “component” under inspection;
g. Tow-placement machines, of which the motions for positioning and laying tows are coordinated and programmed in two or more 'primary servo positioning' axes, “specially designed” for the manufacture of “composite” airframe or missile structures.
Technical Note to 1B001.g:For the purposes of 1B001.g, 'tow-placement machines' have the ability to place one or more 'filament bands' having widths less than or equal to 25.4 mm, and to cut and restart individual 'filament band' courses during the placement process.
Technical Notes for 1B001:1. For the purpose of 1B001, 'primary servo positioning' axes control, under computer program direction, the position of the end effector (i.e., head) in space relative to the work piece at the correct orientation and direction to achieve the desired process.
2. For the purposes of 1B001, a 'filament band' is a single continuous width of fully or partially resin-impregnated tape, tow or fiber. Fully or partially resin-impregnated 'filament bands' include those coated with dry powder that tacks upon heating.
1B002 Equipment for Producing Metal Alloys, Metal Alloy Powder or Alloyed Materials, “Specially Designed” to Avoid Contamination and “Specially Designed” for Use in One of the Processes Specified in 1C002.c.2. License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. “Aircraft” or aerospace engines; or
c. “Specially designed” “parts” and “components” for structures specified by 1B003.a or for engines specified by 1B003.b.
1B018 Items on the Wassenaar Arrangement Munitions List (see List of Items Controlled). License Requirements Reason for Control: NS, MT, RS, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| MT applies to equipment for the “production” of rocket propellants | MT Column 1. |
| RS applies to 1B018.a | RS Column 2. |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry | See § 746.1(b) for UN controls. |
b. [Reserved]
1B101 Equipment, other than that controlled by 1B001, for the “production” of structural composites, fibers, prepregs or preforms, usable for rockets, missiles, or unmanned aerial vehicles capable of achieving a “range” equal to or greater than 300 km and their subsystems, as follows (see List of Items Controlled); and “specially designed” “parts,” “components” and “accessories” therefor. License Requirements Reason for Control:MT, NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1. |
| NP applies to filament winding machines described in 1B101.a that are capable of winding cylindrical rotors having a diameter between 75 mm (3 in.) and 400 mm (16 in.) and lengths of 600 mm (24 in.) or greater AND to coordinating and programming controls and precision mandrels for these filament winding machines | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
b. 'Tape-laying machines' of which the motions for positioning and laying tape can be coordinated and programmed in two or more axes, designed for the manufacture of composite airframe and missile structures;
Technical Notes for paragraphs a and b:For the purposes of 1B101.a. and 1B101.b., the following definitions apply:
1. 'Fiber/tow-placement machines' and 'tape-laying machines' are machines that perform similar processes that use computer-guided heads to lay one or several 'filament bands' onto a mold to create a part or a structure. These machines have the ability to cut and restart individual 'filament band' courses during the laying process.
2. A 'filament band' is a single continuous width of fully or partially resin-impregnated tape, tow, or fiber. Fully or partially resin-impregnated 'filament bands' include those coated with dry powder that tacks upon heating.
3. 'Fiber/tow-placement machines' have the ability to place one or more 'filament bands' having widths less than or equal to 25.4 mm. This refers to the minimum width of material the machine can place, regardless of the upper capability of the machine.
4. 'Tape-laying machines' have the ability to place one or more 'filament bands' having widths less than or equal to 304.8 mm, but cannot place 'filament bands' with a width equal to or less than 25.4 mm. This refers to the minimum width of material the machine can place, regardless of the upper capability of the machine.
c. Equipment designed or modified for the “production” of “fibrous or filamentary materials” as follows:
c.1. Equipment for converting polymeric fibers (such as polyacrylonitrile, rayon or polycarbosilane) including special provision to strain the fiber during heating;
c.2. Equipment for the vapor deposition of elements or compounds on heated filament substrates; and
c.3. Equipment for the wet-spinning of refractory ceramics (such as aluminum oxide);
d. Equipment designed or modified for special fiber surface treatment or for producing prepregs and preforms controlled by 9A110.
Note:Equipment covered in 1B101.d includes but is not limited to, rollers, tension stretchers, coating equipment, cutting equipment and clicker dies.
1B102 Metal powder “production equipment,” other than that specified in 1B002, and “parts” and “components” as follows (see List of Items Controlled). License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
b. “Specially designed” “parts” and “components” for “production equipment” specified in 1B002 or 1B102.a.
Note:1B102 includes:
a. Plasma generators (high frequency arc-jet) usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment;
b. Electroburst equipment usable for obtaining sputtered or spherical metallic powders with organization of the process in an argon-water environment;
c. Equipment usable for the “production” of spherical aluminum powders by powdering a melt in an inert medium (e.g., nitrogen).
1B115 “Equipment, other than that controlled in 1B002 or 1B102, for the “production” of propellant or propellant constituents (see List of Items Controlled), and “specially designed” “parts” and “components” therefor. License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
b. “Production equipment,” for the production, handling, mixing, curing, casting, pressing, machining, extruding or acceptance testing of solid propellants or propellant constituents described in 1C011.a, 1C011.b or 1C111, or on the U.S. Munitions List.
Note:1B115.b does not control batch mixers, continuous mixers or fluid energy mills. For the control of batch mixers, continuous mixers and fluid energy mills see 1B117, 1B118, and 1B119.
Note 1:[Reserved]
Note 2:1B115 does not control equipment for the “production,” handling and acceptance testing of boron carbide.
1B116 “Specially Designed” nozzles for producing pyrolitically derived materials formed on a mold, mandrel or other substrate from precursor gases which decompose in the 1,573 K (1,300 °C) to 3,173 K (2,900 °C) temperature range at pressures of 130 Pa to 20 kPa. License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Capable of controlling the temperature of the mixing chamber;
c. A total volumetric capacity of 110 liters (30 gallons) or more; and
d. At least one 'mixing/kneading shaft' mounted off center.
Note to paragraph d:In 1B117.d. the term 'mixing/kneading shaft' does not refer to deagglomerators or knife-spindles.
1B118 Continuous mixers having all of the following (see List of Items Controlled), and “specially designed” “parts” and “components” therefor. License Requirements Reason for Control: MT, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Capable of controlling the temperature of the mixing chamber; and
c. Either of the following:
c.1. Two or more mixing/kneading shafts; or
c.2. A single rotating and oscillating shaft with kneading teeth/pins as well as kneading teeth/pins inside the casing of the mixing chamber.
1B119 Fluid energy mills usable for grinding or milling propellant or propellant constituents specified in 1C011.a, 1C011.b or 1C111, or on the U.S. Munitions List, and “specially designed” “parts” and “components” therefor. License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Having motions for positioning, wrapping, and winding fibers coordinated and programmed in two or more axes;
a.2. “Specially Designed” to fabricate composite structures or laminates from “fibrous or filamentary materials”; and
a.3. Capable of winding cylindrical tubes with an internal diameter between 75 mm and 650 mm and lengths of 300 mm or greater;
b. Coordinating and programming controls for filament winding machines controlled by 1B201.a;
c. Precision mandrels for filament winding machines controlled by 1B201.a.
1B225 Electrolytic cells for fluorine production with a production capacity greater than 250 g of fluorine per hour. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Designed to operate at an internal pressure of 0.5 to 5 MPa (5 to 50 atmospheres);
c. Constructed of “fine-grain stainless steels” of the 300 series with low sulphur content or equivalent cryogenic and H2-compatible materials; and
d. With internal diameters of 30 cm or greater and “effective lengths” of 4 m or greater.
1B229 Water-hydrogen sulfide exchange tray columns and “internal contactors”, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Can operate at pressures of 2 MPa or greater;
a.2. Constructed of carbon steel having an austenitic ASTM (or equivalent standard) grain size number of 5 or greater; and
a.3. With a diameter of 1.8 m (6 ft.) or greater;
b. “Internal contactors” for the water-hydrogen sulfide exchange tray columns controlled by 1B229.a.
1B230 Pumps capable of circulating solutions of concentrated or dilute potassium amide catalyst in liquid ammonia (KNH2/NH3), having all of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. A capacity greater than 8.5 m 3/h; and
c. Either of the following characteristics:
c.1. For concentrated potassium amide solutions (1% or greater), an operating pressure of 1.5 to 60 MPa (15-600 atmospheres); or
c.2. For dilute potassium amide solutions (less than 1%), an operating pressure of 20 to 60 MPa (200-600 atmospheres).
1B231 Tritium facilities or plants, and equipment therefor, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Equipment for tritium facilities or plant, as follows:
b.1. Hydrogen or helium refrigeration units capable of cooling to 23 K (−250 C) or less, with heat removal capacity greater than 150 watts; or
b.2. Hydrogen isotope storage and purification systems using metal hydrides as the storage, or purification medium.
1B232 Turboexpanders or turboexpander-compressor sets having both of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Designed for a throughput of hydrogen gas of 1,000 kg/h or greater.
1B233 Lithium isotope separation facilities or plants, and systems and equipment therefor (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to 1B233.b | NP Column 1 |
| AT applies to 1B233.b | AT Column 1 |
b. Equipment for the separation of lithium isotopes based on the lithium-mercury amalgam process, as follows:
b.1. Packed liquid-liquid exchange columns “specially designed” for lithium amalgams;
b.2. Mercury and/or lithium amalgam pumps;
b.3. Lithium amalgam electrolysis cells;
b.4. Evaporators for concentrated lithium hydroxide solution.
c. Ion exchange systems “specially designed” for lithium isotope separation, and “specially designed” component parts therefor;
d. Chemical exchange systems (employing crown ethers, cryptands, or lariat ethers) “specially designed” for lithium isotope separation, and “specially designed” component parts therefor.
1B234 High explosive containment vessels, chambers, containers, and other similar containment devices, not enumerated in ECCN 1B608 or in USML Category IV or V of the ITAR, designed for the testing of high explosives or explosive devices and having both of the characteristics described in this ECCN (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Having design elements or features enabling real time or delayed transfer of diagnostic or measurement information.
1B607 Military test, inspection, and production “equipment” and related commodities “specially designed” for the “development,” “production,” repair, overhaul, or refurbishing of commodities identified in ECCN 1A607 or 1C607, or defense articles enumerated or otherwise described in USML Category XIV (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to Part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| RS applies to entire entry | RS Column 1. |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry | See § 746.1(b) for UN controls. |
ECCN 1B607.a includes controls over facilities “specially designed” for destruction operations. This paragraph .a does not control incinerators and “specially designed” handling facilities or “specially designed” waste supply systems therefor.
b. Test facilities and “equipment” “specially designed” for military certification, qualification, or testing of commodities controlled by ECCN 1A607.e, .f, .g, .h, or .j or by USML Category XIV(f), except for XIV(f)(1).
c. Tooling and “equipment” “specially designed” for the “development,” “production,” repair, overhaul, or refurbishing of commodities controlled by ECCN 1A607.e, .f .g, .h, or .j or USML Category XIV(f).
d. through w. [Reserved]
x. “Parts,” “components,” “accessories,” and “attachments” that are “specially designed” for a commodity controlled by ECCN 1B607.b or .c, or for a defense article controlled by USML Category XIV(f), and that are not enumerated or otherwise described elsewhere in the USML.
1B608 Test, inspection, and production “equipment” and related commodities “specially designed” for the “development,” “production,” repair, overhaul, or refurbishing of commodities enumerated in ECCN 1C608 or USML Category V (see List of Items Controlled). License Requirements Reason for Control: NS, RS, MT, AT, UN| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| MT applies to equipment “specially designed” for MT-controlled commodities in ECCN 1C608 or MT articles in USML Category V | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
ECCN 1B608.a. includes: (1) Continuous nitrators; (2) dehydration presses;
(3) cutting machines for the sizing of extruded propellants; (4) sweetie barrels (tumblers) 6 feet or more in diameter and having over 500 pounds product capacity; (5) convection current converters for the conversion of materials listed in USML Category V(c)(2); and (6) extrusion presses for the extrusion of small arms, cannon and rocket propellants.
b. Complete installations “specially designed” for the “development,” “production,” repair, overhaul, or refurbishing of items controlled by ECCN 1C608 or USML Category V and not elsewhere specified on the USML.
c. Environmental test facilities “specially designed” for the certification, qualification, or testing of items controlled by ECCN 1C608 or USML Category V.
d. through w. [Reserved]
x. “Parts,” “components,” “accessories” and “attachments” that are “specially designed” for a commodity subject to control in this ECCN or a defense article in USML Category V and not elsewhere specified on the USML.
1B613 Test, inspection, and “production” “equipment” and related commodities “specially designed” for the “development,” “production,” repair, overhaul, or refurbishing of commodities controlled by ECCN 1A613 or USML Category X, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. Plasma pressure compaction (P2C) “equipment” “specially designed” for the “production” of ceramic or composite body armor plates controlled by ECCN 1A613 or USML Category X.
1B999 Specific Processing Equipment, n.e.s., as Follows (See List of Items Controlled). License Requirements Reason for Control: AT, RS.| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | A license is required for items controlled by this entry to North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to determine AT license requirements for this entry. See § 742.19 of the EAR for additional information. |
| RS applies to entire entry. | A license is required for items controlled by this entry for export or reexport to Iraq or transfer within Iraq for regional stability reasons. The Commerce Country Chart is not designed to determine RS license requirements for this entry. See §§ 742.6 and 746.3 of the EAR for additional information. |
b. Particle accelerators;
c. Industrial process control hardware/systems designed for power industries, n.e.s.;
d. Freon and chilled water cooling systems capable of continuous cooling duties of 100,000 BTU/hr (29.3 kW) or greater;
e. Equipment for the production of structural composites, fibers, prepregs and preforms, n.e.s.
C. “Materials” Technical Note:Metals and alloys: Unless provision to the contrary is made, the words “metals” and “alloys” in 1C001 to 1C011 cover crude and semi-fabricated forms, as follows:
Crude forms: Anodes, balls, bars (including notched bars and wire bars), billets, blocks, blooms, brickets, cakes, cathodes, crystals, cubes, dice, grains, granules, ingots, lumps, pellets, pigs, powder, rondelles, shot, slabs, slugs, sponge, sticks;
Semi-fabricated forms (whether or not coated, plated, drilled or punched):
a. Wrought or worked materials fabricated by rolling, drawing, extruding, forging, impact extruding, pressing, graining, atomizing, and grinding, i.e.: angles, channels, circles, discs, dust, flakes, foils and leaf, forging, plate, powder, pressings and stampings, ribbons, rings, rods (including bare welding rods, wire rods, and rolled wire), sections, shapes, sheets, strip, pipe and tubes (including tube rounds, squares, and hollows), drawn or extruded wire;
b. Cast material produced by casting in sand, die, metal, plaster or other types of molds, including high pressure castings, sintered forms, and forms made by powder metallurgy.
The object of the control should not be defeated by the export of non-listed forms alleged to be finished products but representing in reality crude forms or semi-fabricated forms.
1C001 Materials “Specially Designed” for Absorbing Electromagnetic Radiation, or Intrinsically Conductive Polymers, as Follows (See List of Items Controlled). License Requirements Reason for Control: NS, MT, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: N/A GBS: N/A Special Conditions for STA STA: License Exception STA may not be used to ship any item in this entry to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR). List of Items Controlled Related Controls: See also 1C101 Related Definitions: N/A Items:a. Materials for absorbing frequencies exceeding 2 × 10 8 Hz but less than 3 × 10 12 Hz.
Note 1:1C001.a does not control:
a. Hair type absorbers, constructed of natural or synthetic fibers, with non-magnetic loading to provide absorption;
b. Absorbers having no magnetic loss and whose incident surface is non-planar in shape, including pyramids, cones, wedges and convoluted surfaces;
c. Planar absorbers, having all of the following:
1. Made from any of the following:
a. Plastic foam materials (flexible or non-flexible) with carbon-loading, or organic materials, including binders, providing more than 5% echo compared with metal over a bandwidth exceeding ±15% of the center frequency of the incident energy, and not capable of withstanding temperatures exceeding 450 K (177 °C); or
b. Ceramic materials providing more than 20% echo compared with metal over a bandwidth exceeding ±15% of the center frequency of the incident energy, and not capable of withstanding temperatures exceeding 800 K (527 °C);
Technical Note:Absorption test samples for 1C001.a. Note 1.c.1 should be a square at least 5 wavelengths of the center frequency on a side and positioned in the far field of the radiating element.
2. Tensile strength less than 7 × 106 N/m2; and
3. Compressive strength less than 14 × 106 N/m2;
d. Planar absorbers made of sintered ferrite, having all of the following:
1. A specific gravity exceeding 4.4; and
2. A maximum operating temperature of 548 K (275 °C);
e. Planar absorbers having no magnetic loss and fabricated from 'open-cell foams' plastic material with a density of 0.15 grams/cm3 or less.
Technical Note:'Open-cell foams' are flexible and porous materials, having an inner structure open to the atmosphere. 'Open-cell foams' are also known as reticulated foams.
Note 2:Nothing in Note 1 releases magnetic materials to provide absorption when contained in paint.
b. Materials not transparent to visible light and specially designed for absorbing near-infrared radiation having a wavelength exceeding 810 nm but less than 2,000 nm (frequencies exceeding 150 THz but less than 370 THz);
Note:1C001.b does not apply to materials, “specially designed” or formulated for any of the following applications:
a. “Laser” marking of polymers; or
b. “Laser” welding of polymers.
c. Intrinsically conductive polymeric materials with a `bulk electrical conductivity' exceeding 10,000 S/m (Siemens per meter) or a 'sheet (surface) resistivity' of less than 100 ohms/square, based on any of the following polymers:
c.1. Polyaniline;
c.2. Polypyrrole;
c.3. Polythiophene;
c.4. Poly phenylene-vinylene; or
c.5. Poly thienylene-vinylene.
Note:1C001.c does not apply to materials in a liquid form.
Technical Note:'Bulk electrical conductivity' and 'sheet (surface) resistivity' should be determined using ASTM D-257 or national equivalents.
1C002 Metal alloys, metal alloy powder and alloyed materials, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2. |
| NP applies to
1C002.b.3 or b.4 if they exceed the parameters stated in 1C202 |
NP Column 1. |
| AT applies to entire entry | AT Column 1. |
1C002 does not control metal alloys, metal alloy powder and alloyed materials, specially formulated for coating purposes.
Technical Note 1:The metal alloys in 1C002 are those containing a higher percentage by weight of the stated metal than of any other element.
Technical Note 2:'Stress-rupture life' should be measured in accordance with ASTM standard E-139 or national equivalents.
Technical Note 3:'Low cycle fatigue life' should be measured in accordance with ASTM Standard E-606 'Recommended Practice for Constant-Amplitude Low-Cycle Fatigue Testing' or national equivalents. Testing should be axial with an average stress ratio equal to 1 and a stress-concentration factor (Kt) equal to 1. The average stress is defined as maximum stress minus minimum stress divided by maximum stress.
a. Aluminides, as follows:
a.1. Nickel aluminides containing a minimum of 15% by weight aluminum, a maximum of 38% by weight aluminum and at least one additional alloying element;
a.2. Titanium aluminides containing 10% by weight or more aluminum and at least one additional alloying element;
b. Metal alloys, as follows, made from the powder or particulate material controlled by 1C002.c:
b.1. Nickel alloys having any of the following:
b.1.a. A 'stress-rupture life' of 10,000 hours or longer at 923 K (650 °C) at a stress of 676 MPa; or
b.1.b. A 'low cycle fatigue life' of 10,000 cycles or more at 823 K (550 °C) at a maximum stress of 1,095 MPa;
b.2. Niobium alloys having any of the following:
b.2.a. A 'stress-rupture life' of 10,000 hours or longer at 1,073 K (800 °C) at a stress of 400 MPa; or
b.2.b. A 'low cycle fatigue life' of 10,000 cycles or more at 973 K (700 °C) at a maximum stress of 700 MPa;
b.3. Titanium alloys having any of the following:
b.3.a. A 'stress-rupture life' of 10,000 hours or longer at 723 K (450 °C) at a stress of 200 MPa; or
b.3.b. A 'low cycle fatigue life' of 10,000 cycles or more at 723 K (450 °C) at a maximum stress of 400 MPa;
b.4 Aluminum alloys having any of the following:
b.4.a. A tensile strength of 240 MPa or more at 473 K (200 °C); or
b.4.b. A tensile strength of 415 MPa or more at 298 K (25 °C);
b.5. Magnesium alloys having all the following:
b.5.a. A tensile strength of 345 MPa or more; and
b.5.b. A corrosion rate of less than 1 mm/year in 3% sodium chloride aqueous solution measured in accordance with ASTM standard G-31 or national equivalents;
c. Metal alloy powder or particulate material, having all of the following:
c.1. Made from any of the following composition systems:
Technical Note:X in the following equals one or more alloying elements.
c.1.a. Nickel alloys (Ni-Al-X, Ni-X-Al) qualified for turbine engine “parts” or “components”, i.e., with less than 3 non-metallic particles (introduced during the manufacturing process) larger than 100 µm in 10 9 alloy particles;
c.1.b. Niobium alloys (Nb-Al-X or Nb-X-Al, Nb-Si-X or Nb-X-Si, Nb-Ti-X or Nb-X-Ti);
c.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
c.1.d. Aluminum alloys (Al-Mg-X or Al-X-Mg, Al-Zn-X or Al-X-Zn, Al-Fe-X or Al-X-Fe); or
c.1.e. Magnesium alloys (Mg-Al-X or Mg-X-Al);
c.2. Made in a controlled environment by any of the following processes:
c.2.a. 'Vacuum atomization';
c.2.b. 'Gas atomization';
c.2.c. 'Rotary atomization';
c.2.d. 'Splat quenching';
c.2.e. 'Melt spinning' and 'comminution';
c.2.f. 'Melt extraction' and 'comminution';
c.2.g. 'Mechanical alloying'; or
c.2.h. 'Plasma atomization'; and
c.3. Capable of forming materials controlled by 1C002.a or 1C002.b;
d. Alloyed materials, having all the following:
d.1. Made from any of the composition systems specified by 1C002.c.1;
d.2. In the form of uncomminuted flakes, ribbons or thin rods; and
d.3. Produced in a controlled environment by any of the following:
d.3.a. 'Splat quenching';
d.3.b. 'Melt spinning'; or
d.3.c. 'Melt extraction'.
Technical Notes:1. 'Vacuum atomisation' is a process to reduce a molten stream of metal to droplets of a diameter of 500 µm or less by the rapid evolution of a dissolved gas upon exposure to a vacuum.
2. 'Gas atomisation' is a process to reduce a molten stream of metal alloy to droplets of 500 µm diameter or less by a high pressure gas stream.
3. 'Rotary atomisation' is a process to reduce a stream or pool of molten metal to droplets to a diameter of 500 µm or less by centrifugal force.
4. 'Splat quenching' is a process to 'solidify rapidly' a molten metal stream impinging upon a chilled block, forming a flake-like product.
5. 'Melt spinning' is a process to 'solidify rapidly' a molten metal stream impinging upon a rotating chilled block, forming a flake, ribbon or rod-like product.
6. 'Comminution' is a process to reduce a material to particles by crushing or grinding.
7. 'Melt extraction' is a process to 'solidify rapidly' and extract a ribbon-like alloy product by the insertion of a short segment of a rotating chilled block into a bath of a molten metal alloy.
8. 'Mechanical alloying' is an alloying process resulting from the bonding, fracturing and rebonding of elemental and master alloy powders by mechanical impact. Non-metallic particles may be incorporated in the alloy by addition of the appropriate powders.
9. 'Plasma atomisation' is a process to reduce a molten stream or solid metal to droplets of 500 µm diameter or less, using plasma torches in an inert gas environment.
10. 'Solidify rapidly' is a process involving the solidification of molten material at cooling rates exceeding 1000 K/sec.
1C003 Magnetic metals, of all types and of whatever form, having any of the following (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
Measurement of initial relative permeability must be performed on fully annealed materials.
b. Magnetostrictive alloys having any of the following:
b.1. A saturation magnetostriction of more than 5 × 10−4; or
b.2. A magnetomechanical coupling factor (k) of more than 0.8; or
c. Amorphous or ‘nanocrystalline’ alloy strips, having all of the following:
c.1. A composition having a minimum of 75% by weight of iron, cobalt or nickel;
c.2. A saturation magnetic induction (Bs) of 1.6 T or more; and
c.3. Any of the following:
c.3.a. A strip thickness of 0.02 mm or less; or
c.3.b. An electrical resistivity of 2 × 10−4; ohm cm or more.
Technical Note:‘Nanocrystalline’ materials in 1C003.c are those materials having a crystal grain size of 50 nm or less, as determined by X-ray diffraction.
1C004 Uranium titanium alloys or tungsten alloys with a “matrix” based on iron, nickel or copper, having all of the following (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. An elastic limit exceeding 880 MPa;
c. An ultimate tensile strength exceeding 1,270 MPa; and
d. An elongation exceeding 8%.
1C005 “Superconductive” “composite” conductors in lengths exceeding 100 m or with a mass exceeding 100 g, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
a.1. Embedded in a “matrix” other than a copper or copper-based mixed “matrix”; and
a.2. Having a cross-section area less than 0.28 × 10−4 mm 2 (6 µm in diameter for circular ‘filaments’);
b. “Superconductive” “composite” conductors consisting of one or more “superconductive” ‘filaments’ other than niobium-titanium, having all of the following:
b.1. A “critical temperature” at zero magnetic induction exceeding 9.85 K (−263.31 °C); and
b.2. Remaining in the “superconductive” state at a temperature of 4.2 K (−268.96 °C) when exposed to a magnetic field oriented in any direction perpendicular to the longitudinal axis of conductor and corresponding to a magnetic induction of 12 T with critical current density exceeding 1750 A/mm 2 on overall cross-section of the conductor.
c. “Superconductive” “composite” conductors consisting of one or more “superconductive” ‘filaments’ which remain “superconductive” above 115 K (−158.16 °C).
Technical Note:For the purpose of 1C005, ‘filaments’ may be in wire, cylinder, film, tape or ribbon form.
1C006 Fluids and lubricating materials, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. Lubricating materials containing, as their principal ingredients, any of the following:
b.1. Phenylene or alkylphenylene ethers or thio-ethers, or their mixtures, containing more than two ether or thio-ether functions or mixtures thereof; or
b.2. Fluorinated silicone fluids with a kinematic viscosity of less than 5,000 mm 2/s (5,000 centistokes) measured at 298 K (25 °C);
c. Damping or flotation fluids having all of the following:
c.1. Purity exceeding 99.8%;
c.2. Containing less than 25 particles of 200 µm or larger in size per 100 ml; and
c.3. Made from at least 85% of any of the following:
c.3.a. Dibromotetrafluoroethane (CAS 25497 30-7, 124-73-2, 27336-23- 8);
c.3.b. Polychlorotrifluoroethylene (oily and waxy modifications only); or
c.3.c. Polybromotrifluoroethylene;
d. Fluorocarbon electronic cooling fluids having all of the following:
Note:1C006.d does not apply to materials specified and packaged as medical products.
d.1. Containing 85% by weight or more of any of the following, or mixtures thereof:
d.1.a. Monomeric forms of perfluoropolyalkylether- triazines or perfluoroaliphatic-ethers;
d.1.b. Perfluoroalkylamines;
d.1.c. Perfluorocycloalkanes; or
d.1.d. Perfluoroalkanes;
d.2. Density at 298 K (25 °C) of 1.5 g/ml or more;
d.3. In a liquid state at 273 K (0 °C); and
d.4. Containing 60% or more by weight of fluorine;
1C007 Ceramic powders, ceramic “matrix” “composite” materials and `precursor materials,' as follows (see List of Items Controlled). License Requirements Reason for Control: NS, MT, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| MT applies to items in 1C007.c when the dielectric constant is less than 6 at any frequency from 100 MHz to 100 GHz for use in “missile” radomes | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
b. [Reserved]
c. Ceramic “matrix” “composite” materials as follows:
c.1. Ceramic-ceramic “composite” materials with a glass or oxide-“matrix” and reinforced with any of the following:
c.1.a. Continuous fibers made from any of the following materials:
c.1.a.1. Al2O3 (CAS 1344-28-1); or
c.1.a.2. Si-C-N; or
Note:1C007.c.1.a does not apply to “composites” containing fibers with a tensile strength of less than 700 MPa at 1,273 K (1,000 °C) or tensile creep resistance of more than 1% creep strain at 100 MPa load and 1,273 K (1,000 °C) for 100 hours.
c.1.b. Fibers being all of the following:
c.1.b.1. Made from any of the following materials:
c.1.b.1.a. Si-N;
c.1.b.1.b. Si-C;
c.1.b.1.c. Si-Al-O-N; or
c.1.b.1.d. Si-O-N; and
c.1.b.2. Having a “specific tensile strength” exceeding 12.7 × 10 3 m;
c.2. Ceramic “matrix” “composite” materials with a “matrix” formed of carbides or nitrides of silicon, zirconium or boron;
N.B.:For items previously specified by 1C007.c see 1C007.c.1.b.
d. [Reserved]
N.B.:For items previously specified by 1C007.d see 1C007.c.2.
e. 'Precursor materials' “specially designed” for the “production” of materials controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes;
e.2. Polysilazanes;
e.3. Polycarbosilazanes;
Technical Note:For the purposes of 1C007, 'precursor materials' are special purpose polymeric or metallo-organic materials used for the “production” of silicon carbide, silicon nitride, or ceramics with silicon, carbon and nitrogen.
f. [Reserved]
N.B.:For items previously specified by 1C007.f see 1C007.c.1.a.
1C008 Non-fluorinated polymeric substances as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
a. Imides as follows:
a.1. Bismaleimides;
a.2. Aromatic polyamide-imides (PAI) having a ‘glass transition temperature (Tg)’ exceeding 563 K (290 °C);
a.3. Aromatic polyimides having a 'glass transition temperature (Tg)' exceeding 505 K (232 °C);
a.4. Aromatic polyetherimides having a 'glass transition temperature (Tg)' exceeding 563 K (290 °C);
Note:1C008.a controls the substances in liquid or solid “fusible” form, including resin, powder, pellet, film, sheet, tape, or ribbon.
N.B.:For non-“fusible” aromatic polyimides in film, sheet, tape, or ribbon form, see ECCN 1A003.
b. [Reserved]
c. [Reserved]
d. Polyarylene ketones;
e. Polyarylene sulfides, where the arylene group is biphenylene, triphenylene or combinations thereof;
f. Polybiphenylenethersulphone having a 'glass transition temperature (Tg)' exceeding 563 K (290 °C).
Technical Notes:1. The 'glass transition temperature (Tg)' for 1C008.a.2 thermoplastic materials, 1C008.a.4 materials and 1C008.f materials is determined using the method described in ISO 11357-2 (1999) or national equivalents.
2. The 'glass transition temperature (Tg)' for 1C008.a.2 thermosetting materials and 1C008.a.3 materials is determined using the 3-point bend method described in ASTM D 7028-07 or equivalent national standard. The test is to be performed using a dry test specimen which has attained a minimum of 90% degree of cure as specified by ASTM E 2160-04 or equivalent national standard, and was cured using the combination of standard- and post-cure processes that yield the highest Tg.
1C009 Unprocessed fluorinated compounds as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. Fluorinated polyimides containing 10% by weight or more of combined fluorine;
c. Fluorinated phosphazene elastomers containing 30% by weight or more of combined fluorine.
1C010 “Fibrous or filamentary materials” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| NP applies to 1C010.a (aramid “fibrous or filamentary materials”, b (carbon “fibrous and filamentary materials”), and e.1 for “fibrous and filamentary materials” that meet or exceed the control criteria of ECCN 1C210 | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
STA: License Exception STA may not be used to ship any item in 1C010.c to any of the destinations listed in Country Group A:6 (See Supplement No. 1 to part 740 of the EAR).
List of Items Controlled Related Controls: (1) See ECCNs 1E001 (“development” and “production”) and 1E201 (“use”) for technology for items controlled by this entry. (2) Also see ECCNs 1C210 and 1C990. (3) See also 9C110 for material not controlled by 1C010.e, as defined by notes 1 or 2. Related Definitions: (1) “Specific modulus”: Young's modulus in pascals, equivalent to N/m 2 divided by specific weight in N/m 3, measured at a temperature of (296 + 2) K ((23 + 2) °C) and a relative humidity of (50 + 5)%. (2) “Specific tensile strength”: ultimate tensile strength in pascals, equivalent to N/m 2 divided by specific weight in N/m 3, measured at a temperature of (296 + 2) K ((23 + 2) °C) and a relative humidity of (50 + 5)%. Items: Technical Notes:1. For the purpose of calculating “specific tensile strength”, “specific modulus” or specific weight of “fibrous or filamentary materials” in 1C010.a, 1C010.b or 1C010.c, the tensile strength and modulus should be determined by using Method A described in ISO 10618 (2004) or national equivalents.
2. Assessing the “specific tensile strength”, “specific modulus” or specific weight of non-unidirectional “fibrous or filamentary materials” (e.g., fabrics, random mats or braids) in 1C010 is to be based on the mechanical properties of the constituent unidirectional monofilaments (e.g., monofilaments, yarns, rovings or tows) prior to processing into the non-unidirectional “fibrous or filamentary materials”.
a. Organic “fibrous or filamentary materials”, having all of the following:
a.1. “Specific modulus” exceeding 12.7 × 10 6 m; and
a.2. “Specific tensile strength” exceeding 23.5 × 10 4 m;
Note:1C010.a does not control polyethylene.
b. Carbon “fibrous or filamentary materials”, having all of the following:
b.1. “Specific modulus” exceeding 14.65 × 10 6 m; and
b.2. “Specific tensile strength” exceeding 26.82 × 10 4 m;
Note:1C010.b does not control:
a. “Fibrous or filamentary materials”, for the repair of “civil aircraft” structures or laminates, having all of the following:
1. An area not exceeding 1 m 2;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm.
b. Mechanically chopped, milled or cut carbon “fibrous or filamentary materials” 25.0 mm or less in length.
c. Inorganic “fibrous or filamentary materials”, having all of the following:
c.1. “Specific modulus” exceeding 2.54 x 10 6 m; and
c.2. Melting, softening, decomposition or sublimation point exceeding 1,922 K (1,649 °C) in an inert environment;
Note:1C010.c does not control:
a. Discontinuous, multiphase, polycrystalline alumina fibers in chopped fiber or random mat form, containing 3% by weight or more silica, with a “specific modulus” of less than 10 × 10 6 m;
b. Molybdenum and molybdenum alloy fibers;
c. Boron fibers;
d. Discontinuous ceramic fibers with a melting, softening, decomposition or sublimation point lower than 2,043 K (1,770 °C) in an inert environment.
d. “Fibrous or filamentary materials”, having any of the following:
d.1. Composed of any of the following:
d.1.a. Polyetherimides controlled by 1C008.a; or
d.1.b. Materials controlled by 1C008.b to 1C008.f; or
d.2. Composed of materials controlled by 1C010.d.1.a or 1C010.d.1.b and 'commingled' with other fibers controlled by 1C010.a, 1C010.b or 1C010.c.
Technical Note:'Commingled' is filament to filament blending of thermoplastic fibers and reinforcement fibers in order to produce a fiber reinforcement “matrix” mix in total fiber form.
e. Fully or partially resin impregnated or pitch impregnated “fibrous or filamentary materials” (prepregs), metal or carbon coated “fibrous or filamentary materials” (preforms) or 'carbon fiber preforms', having all of the following:
e.1. Having any of the following:
e.1.a. Inorganic “fibrous or filamentary materials” controlled by 1C010.c; or
e.1.b. Organic or carbon “fibrous or filamentary materials”, having all of the following:
e.1.b.1. “Specific modulus” exceeding 10.15 × 10 6 m; and
e.1.b.2 “Specific tensile strength” exceeding 17.7 × 10 4 m; and
e.2. Having any of the following:
e.2.a. Resin or pitch, controlled by 1C008 or 1C009.b;
e.2.b. 'Dynamic Mechanical Analysis glass transition temperature (DMA Tg)' equal to or exceeding 453 K (180 °C) and having a phenolic resin; or
e.2.c. 'Dynamic Mechanical Analysis glass transition temperature (DMA Tg)' equal to or exceeding 505 K (232 °C) and having a resin or pitch, not specified by 1C008 or 1C009.b, and not being a phenolic resin;
Note 1:Metal or carbon coated “fibrous or filamentary materials” (preforms) or 'carbon fiber preforms', not impregnated with resin or pitch, are specified by “fibrous or filamentary materials” in 1C010.a, 1C010.b or 1C010.c.
Note 2:1C010.e does not apply to:
a. Epoxy resin “matrix” impregnated carbon “fibrous or filamentary materials” (prepregs) for the repair of “civil aircraft” structures or laminates, having all of the following:
1. An area not exceeding 1 m 2;
2. A length not exceeding 2.5 m; and
3. A width exceeding 15 mm;
b. Fully or partially resin-impregnated or pitch-impregnated mechanically chopped, milled or cut carbon “fibrous or filamentary materials” 25.0 mm or less in length when using a resin or pitch other than those specified by 1C008 or 1C009.b.
Technical Notes:1. 'Carbon fiber preforms' are an ordered arrangement of uncoated or coated fibers intended to constitute a framework of a part before the “matrix” is introduced to form a “composite”.
2. The 'Dynamic Mechanical Analysis glass transition temperature (DMA Tg)' for materials controlled by 1C010.e is determined using the method described in ASTM D 7028-07, or equivalent national standard, on a dry test specimen. In the case of thermoset materials, degree of cure of a dry test specimen shall be a minimum of 90% as defined by ASTM E 2160 04 or equivalent national standard.
1C011 Metals and compounds, other than those specified in 1C111, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| MT applies to 1C011.a and .b for items that meet or exceed the parameters in 1C111 | MT Column 1. |
| AT applies to entire entry | AT Column 1. |
The natural content of hafnium in the zirconium (typically 2% to 7%) is counted with the zirconium.
Note:The metals or alloys specified by 1C011.a also refer to metals or alloys encapsulated in aluminum, magnesium, zirconium or beryllium.
b. Boron or boron alloys, with a particle size of 60 µm or less, as follows:
b.1. Boron with a purity of 85% by weight or more;
b.2. Boron alloys with a boron content of 85% by weight or more;
Note:The metals or alloys specified by 1C011.b also refer to metals or alloys encapsulated in aluminum, magnesium, zirconium or beryllium.
c. Guanidine nitrate (CAS 506-93-4);
d. Nitroguanidine (NQ) (CAS 556-88-7).
1C018 Commercial charges and devices containing energetic materials on the Wassenaar Arrangement Munitions List and certain chemicals.No items currently are in this ECCN. (1) See ECCN 1C608.b. through .m for items that, immediately prior to July 1, 2014 were classified under 1C018.b through .m. (2) See ECCNs 1C011, 1C111, and 1C239 for additional controlled energetic materials, including chlorine trifluoride (ClF3), which is controlled under ECCN 1C111.a.3.f. (3) See ECCN 1A008 for shaped charges, detonating cord, and cutters and severing tools.
1C101 Materials for Reduced Observables such as Radar Reflectivity, Ultraviolet/Infrared Signatures and Acoustic Signatures (i.e., Stealth Technology), Other than Those Controlled by 1C001, for applications usable in rockets, missiles, or unmanned aerial vehicles capable of achieving a “range” equal to or greater than 300km, and their subsystems. License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Cylinders having a diameter of 120 mm or greater and a length of 50 mm or greater;
a.2. Tubes having an inner diameter of 65 mm or greater and a wall thickness of 25 mm or greater and a length of 50 mm or greater;
a.3. Blocks having a size of 120 mm × 120 mm × 50 mm or greater.
b. Pyrolytic or fibrous reinforced graphites, usable for rocket nozzles and reentry vehicle nose tips;
c. Ceramic composite materials (dielectric constant is less than 6 at any frequency from 100 MHz to 100 GHz) for use in radomes useable in rockets, missiles, and unmanned aerial vehicles capable of achieving a “range” equal to or greater than 300 km; or
d. High-temperature ceramic materials, useable in rockets, missiles, and unmanned aerial vehicles capable of achieving a “range” equal to or greater than 300 km, as follows:
d.1. Bulk machinable silicon-carbide reinforced unfired ceramic, usable for nose tips.
d.2. Reinforced silicon-carbide ceramic composites usable for nose tips, re-entry vehicles, nozzle flaps.
d.3. Bulk machinable ceramic composite materials consisting of an 'Ultra High Temperature Ceramic (UHTC)' matrix with a melting point equal to or greater than 3000 °C and reinforced with fibers or filaments, usable for missile components (such as nose tips, re-entry vehicles, leading edges, jet vanes, control surfaces, or rocket motor throat inserts).
Note:ECCN 1C107.d.3. does not control 'Ultra High Temperature Ceramic (UHTC)' materials in non-composite form.
Technical Note:'Ultra High Temperature Ceramics (UHTC)' includes: Titanium diboride (TiB2), zirconium diboride (ZrB2), niobium diboride (NbB2), hafnium diboride (HfB2), tantalum diboride (TaB2), titanium carbide (TiC), zirconium carbide (ZrC), niobium carbide (NbC), hafnium carbide (HfC), tantalum carbide (TaC).
1C111 Propellants and constituent chemicals for propellants, other than those specified in 1C011, as follows (see List of Items Controlled). License Requirements Reason for Control: MT, NP, RS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| NP applies to 1C111.a.3.f only | NP Column 1 |
| RS applies to 1C111.d.3 only | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Spherical or spheroidal aluminum powder (C.A.S. 7429-90-5) in particle size of less than 200 × 10−6 m (200 µm) and an aluminum content of 97% by weight or more, if at least 10% of the total weight is made up of particles of less than 63 µm, according to ISO 2591-1:1988 or national equivalents.
Technical Note:A particle size of 63 µm (ISO R-565) corresponds to 250 mesh (Tyler) or 230 mesh (ASTM standard E-11).
a.2. Metal powders and alloys where at least 90% of the total particles by particle volume or weight are made up of particles of less than 60 µ (determined by measurement techniques such as using a sieve, laser diffraction or optical scanning), whether spherical, atomized, spheroidal, flaked or ground, as follows:
a.2.a. Consisting of 97% by weight or more of any of the following:
a.2.a.1. Zirconium (C.A.S. #7440-67-7);
a.2.a.2. Beryllium (C.A.S. #7440-41-7); or
a.2.a.3. Magnesium (C.A.S. #7439-95-4);.
a.2.b. Boron or boron alloys with a boron content of 85% or more by weight.
Technical Note:The natural content of hafnium in the zirconium (typically 2% to 7%) is counted with the zirconium.
Note:In a multimodal particle distribution (e.g., mixtures of different grain sizes) in which one or more modes are controlled, the entire powder mixture is controlled.
a.3. Oxidizer substances usable in liquid propellant rocket engines, as follows:
a.3.a. Dinitrogen trioxide (CAS 10544-73-7);
a.3.b. Nitrogen dioxide (CAS 10102-44-0)/dinitrogen tetroxide (CAS
10544-72-6);
a.3.c. Dinitrogen pentoxide (CAS 10102-03-1);
a.3.d. Mixed oxides of nitrogen (MON);
a.3.e. [Reserved];
a.3.f. Chlorine trifluoride (ClF3).
Technical Note:Mixed oxides of nitrogen (MON) are solutions of nitric oxide (NO) in dinitrogen tetroxide/nitrogen dioxide (N2O4/NO2) that can be used in missile systems. There are a range of compositions that can be denoted as MONi or MONij, where i and j are integers representing the percentage of nitric oxide in the mixture (e.g., MON3 contains 3% nitric oxide, MON25 25% nitric oxide. An upper limit is MON40, 40% by weight).
b. Polymeric substances:
b.1. Carboxy-terminated polybutadiene (including carboxyl-terminated polybutadiene) (CTPB);
b.2. Hydroxy-terminated polybutadiene (including hydroxyl-terminated polybutadiene) (HTPB) (CAS 69102-90-5), except for hydroxyl-terminated polybutadiene as specified in USML Category V (see 22 CFR 121.1) (also see Related Controls Note #1 for this ECCN);
b.3. Polybutadiene acrylic acid (PBAA);
b.4. Polybutadiene acrylic acid acrylonitrile (PBAN) (CAS 25265-19-4/CAS 68891-50-9);
b.5. Polytetrahydrofuran polyethylene glycol (TPEG).
Technical Note:Polytetrahydrofuran polyethylene glycol (TPEG) is a block copolymer of poly 1,4-Butanediol (CAS 110-63-4) and polyethylene glycol (PEG) (CAS 25322-68-3).
c. Other propellant energetic materials, additives, or agents:
c.1. [Reserved]
c.2. Triethylene glycol dinitrate (TEGDN);
c.3. 2 Nitrodiphenylamine (2-NDPA);
c.4. Trimethylolethane trinitrate (TMETN);
c.5. Diethylene glycol dinitrate (DEGDN).
d. Hydrazine and derivatives as follows:
d.1. Hydrazine (C.A.S. #302-01-2) in concentrations of 70% or more;
d.2. Monomethyl hydrazine (MMH) (C.A.S. #60-34-4);
d.3. Symmetrical dimethyl hydrazine (SDMH) (C.A.S. #540-73-8);
d.4. Unsymmetrical dimethyl hydrazine (UDMH) (C.A.S. #57-14-7);
d.5. Trimethylhydrazine (C.A.S. #1741-01-1);
d.6. Tetramethylhydrazine (C.A.S. #6415-12-9);
d.7. N,N diallylhydrazine (CAS 5164-11-4);
d.8. Allylhydrazine (C.A.S. #7422-78-8);
d.9. Ethylene dihydrazine (CAS 6068-98-0);
d.10. Monomethylhydrazine dinitrate;
d.11. Unsymmetrical dimethylhydrazine nitrate;
d.12. 1,1-Dimethylhydrazinium azide (CAS 227955-52-4)/1,2-Dimethylhydrazinium azide (CAS 299177-50-7);
d.13. Hydrazinium azide (C.A.S. #14546-44-2);
d.14. Hydrazinium dinitrate (CAS 13464-98-7);
d.15. Diimido oxalic acid dihydrazine (C.A.S. #3457-37-2);
d.16. 2-hydroxyethylhydrazine nitrate (HEHN);
d.17. Hydrazinium diperchlorate (C.A.S. #13812-39-0);
d.18. Methylhydrazine nitrate (MHN) (CAS 29674-96-2);
d.19. 1,1-Diethylhydrazine nitrate (DEHN)/1,2-Diethylhydrazine nitrate (DEHN) (CAS 363453-17-2);
d.20. 3,6-dihydrazino tetrazine nitrate (DHTN), also referred to as 1,4-dihydrazine nitrate.
1C116 Maraging steels having both of the following (see List of Items Controlled). License Requirements Reason for Control: MT, NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| NP applies to items that meet or exceed the parameters of 1C216 | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. 0.9 GPa in the solution annealed stage; or
a.2. 1.5 GPa in the precipitation hardened stage; and
b. Any of the following forms:
b.1 Sheet, plate or tubing with a wall or plate thickness equal to or less than 5.0 mm;
orb.2 Tubular forms with a wall thickness equal to or less than 50 mm and having an inner diameter equal to or greater than 270 mm.
Technical Note:Maraging steels are iron alloys that are generally:
a. Characterized by high nickel, very low carbon content and use substitutional elements or precipitates to produce strengthening and age-hardening of the alloy; and
b. Subjected to heat treatment cycles to facilitate the martensitic transformation process (solution annealed stage) and subsequently age hardened (precipitation hardened stage).
1C117 Materials for the fabrication of missile “parts” or “components” for rockets or missiles capable of achieving a “range” equal to or greater than 300 km, as follows (see List of Items Controlled). License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Molybdenum and alloys in particulate form with a molybdenum content of 97% by weight or more and a particle size of 50 × 10−6 m (50 µm) or less;
c. Tungsten materials in the solid form having all of the following:
c.1. Any of the following material compositions:
c.1.a. Tungsten and alloys containing 97% by weight or more of tungsten;
c.1.b. Copper infiltrated tungsten containing 80% by weight or more of tungsten; or
c.1.c. Silver infiltrated tungsten containing 80% by weight or more of tungsten; and
c.2. Able to be machined to any of the following products:
c.2.a. Cylinders having a diameter of 120 mm or greater and a length of 50 mm or greater;
c.2.b. Tubes having an inner diameter of 65 mm or greater and a wall thickness of 25 mm or greater and a length of 50 mm or greater; or
c.2.c. Blocks having a size of 120 mm × 120 mm × 50 mm or greater.
1C118 Titanium-stabilized duplex stainless steel (Ti-DSS), having all of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: MT, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Containing 17.0-23.0% by weight of chromium and 4.5-7.0% by weight of nickel;
a.2. Having a titanium content of greater than 0.10% by weight; and
a.3. A ferritic-austenitic microstructure (also referred to as a two-phase microstructure) of which at least 10% by volume (according to ASTM E-1181-87 or national equivalents) is austenite; and
b. Having any of the following forms:
b.1. Ingots or bars having a size of 100 mm or more in each dimension;
b.2. Sheets having a width of 600 mm or more and a thickness of 3 mm or less; or
b.3. Tubes having an outer diameter of 600 mm or more and a wall thickness of 3 mm or less.
1C202 Alloys other than those controlled by 1C002.b.3 or 1C002.b.4 as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. “Capable of” an ultimate tensile strength of 460 MPa or more at 293 K (20 °C); and
a.2. In the form of tubes or cylindrical solid forms (including forgings) with an outside diameter of more than 75 mm;
b. Titanium alloys having both of the following characteristics:
b.1. “Capable of” an ultimate tensile strength of 900 MPa or more at 293 K (20 °C); and
b.2. In the form of tubes or cylindrical solid forms (including forgings) with an outside diameter of more than 75 mm.
1C210 “Fibrous or filamentary materials” or prepregs, other than those controlled by 1C010.a, .b or .e, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
Filament or Monofilament is the smallest increment of fiber, usually several µm in diameter.
Strand is a bundle of filaments (typically over 200) arranged approximately parallel.
Roving is a bundle (typically 12-120) of approximately parallel strands.
Yarn is a bundle of twisted strands.
Tow is a bundle of filaments, usually approximately parallel.
Tape is a material constructed of interlaced or unidirectional filaments, strands, rovings, tows, or yarns, etc., usually preimpregnated with resin.
Specific modulus is the Young's modulus in N/m 2 divided by the specific weight in N/m 3, measured at a temperature of (296 ±2) K ((23 ±2) °C) and a relative humidity of 50 ±5 percent.
Specific tensile strength is the ultimate tensile strength in N/m 2 divided by specific weight in N/m 3, measured at a temperature of (296 ±2) K ((23 ±2) °C) and a relative humidity of 50 ±5 percent.
Items: a. Carbon or aramid “fibrous or filamentary materials” having a “specific modulus” of 12.7 × 10 6 m or greater or a “specific tensile strength” of 235 × 10 3 m or greater except Aramid “fibrous or filamentary materials” having 0.25 percent or more by weight of an ester based fiber surface modifier;b. Glass “fibrous or filamentary materials” having a “specific modulus” of 3.18 × 10 6 m or greater and a “specific tensile strength” of 76.2 × 10 3 m or greater; or
c. Thermoset resin impregnated continuous “yarns”, “rovings”, “tows” or “tapes” with a width no greater than 15 mm (prepregs), made from carbon or glass “fibrous or filamentary materials” controlled by 1C210.a or .b.
Technical Note:The resin forms the matrix of the composite.
1C216 Maraging steel, other than that controlled by 1C116, “capable of” an ultimate tensile strength of 1,950 MPa or more, at 293 K (20 °C). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
(2) Also see ECCN 1C116.
(3) Maraging steel, in physical form and finished products “specially designed” or prepared for use in separating uranium isotopes, is subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
Related Definitions: The phrase “capable of” in the ECCN heading refers to maraging steel either before or after heat treatment. ECCN Controls: This entry does not control forms in which all linear dimensions are 75 mm or less. Items: The list of items controlled is contained in the ECCN heading. 1C225 Boron enriched in the boron-10 ( 10B) isotope to greater than its natural isotopic abundance, as follows: elemental boron, compounds, mixtures containing boron, manufactures thereof, waste or scrap of any of the foregoing. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
The natural isotopic abundance of boron-10 is approximately 18.5 weight percent (20 atom percent).
1C226 Tungsten, tungsten carbide, and alloys containing more than 90% tungsten by weight, having both of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. A mass greater than 20 kg.
1C227 Calcium having both of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Containing less than 10 parts per million by weight of boron.
1C228 Magnesium having both of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Containing less than 10 parts per million by weight of boron.
1C229 Bismuth having both of the following characteristics (see List of Items Controlled) License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Containing less than 10 parts per million by weight of silver.
1C230 Beryllium metal, alloys containing more than 50% beryllium by weight, beryllium compounds, manufactures thereof, and waste or scrap of any of the foregoing. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a. Metal windows for X-ray machines, or for bore-hole logging devices;
b. Oxide shapes in fabricated or semi-fabricated forms “specially designed” for electronic component parts or as substrates for electronic circuits;
c. Beryl (silicate of beryllium and aluminum) in the form of emeralds or aquamarines.
Items: The list of items controlled is contained in the ECCN heading. 1C231 Hafnium metal, hafnium alloys and compounds containing more than 60% hafnium by weight, manufactures thereof, and waste or scrap of any of the foregoing. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Radionuclides, as follows, appropriate for making neutron sources based on alpha-n reactions:
a.1.a. Actinium 225;
a.1.b. Actinium 227;
a.1.c. Californium 253;
a.1.d. Curium 240;
a.1.e. Curium 241;
a.1.f. Curium 242;
a.1.g. Curium 243;
a.1.h. Curium 244;
a.1.i. Einsteinium 253;
a.1.j. Einsteinium 254;
a.1.k. Gadolinium 148;
a.1.l. Plutonium 236;
a.1.m. Plutonium 238;
a.1.n. Polonium 208;
a.1.o. Polonium 209;
a.1.p. Polonium 210;
a.1.q. Radium 223;
a.1.r. Thorium 227;
a.1.s. Thorium 228;
a.1.t. Uranium 230;
a.1.u. Uranium 232; and
a.2. In any of the following forms:
a.2.a. Elemental;
a.2.b. Compounds having a total activity of 37 GBq (1 curie) per kg or greater; or
a.2.c. Mixtures having a total activity of 37 GBq (1 curie) per kg or greater.
b. Products or devices containing radionuclides identified in 1C236.a.1 in any of the forms described in 1C236.a.2.
1C237 Radium-226 ( 226Ra), radium-226 alloys, radium-226 compounds, mixtures containing radium-226, manufactures thereof, and products or devices containing any of the foregoing. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a. Medical applicators;
b. A product or device containing less than 0.37 GBq (10 millicuries) of radium-226.
Items: The list of items controlled is contained in the ECCN heading. 1C239 High explosives, other than those controlled by the U.S. Munitions List, or substances or mixtures containing more than 2% by weight thereof, with a crystal density greater than 1.8 g/cm 3 and having a detonation velocity greater than 8,000 m/s. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a. Filamentary nickel powders;
b. Single porous nickel sheets with an area of 1,000 cm 2 per sheet or less.
Items: a. Nickel powder having both of the following characteristics:a.1. A nickel purity content of 99.0% or greater by weight; and
a.2. A mean particle size of less than 10 micrometers measured by American Society for Testing and Materials (ASTM) B330 standard;
b. Porous nickel metal produced from materials controlled by 1C240.a.
Technical Note:1C240.b refers to porous metal formed by compacting and sintering the materials in 1C240.a to form a metal material with fine pores interconnected throughout the structure.
1C241 Rhenium and alloys containing rhenium (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Alloys containing 90% by weight or more of rhenium;
a.2. Alloys containing 90% by weight or more of any combination of rhenium and tungsten; and
b. Having both of the following characteristics:
b.1. In forms with a hollow cylindrical symmetry (including cylinder segments) with an inside diameter between 100 mm and 300 mm; and
b.2. A mass greater than 20 kg.
1C298 Graphite with a boron content of less than 5 parts per million and a density greater than 1.5 grams per cubic centimeter that is intended for use other than in a nuclear reactor. License Requirements Reason for Control: NP| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 2 |
Some graphite intended for use in a nuclear reactor is subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: (1) See also 1C107. (2) Graphite having a purity level of less than 5 parts per million “boron equivalent” as measured according to ASTM standard C-1233-98 and intended for use in a nuclear reactor is subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110). Related Definitions: For the purpose of this entry, graphite with a purity level better than 5 parts per million boron equivalent is determined according to ASTM standard C1233-98. In applying ASTM standard C1233-98, the boron equivalence of the element carbon is not included in the boron equivalence calculation, since carbon is not considered an impurity. Items: The list of items controlled is contained in the ECCN heading. 1C350 Chemicals that may be used as precursors for toxic chemical agents (see List of Items Controlled). License Requirements Reason for Control: CB, CW, AT.| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 2 |
CW applies to 1C350 .b, and .c. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for CW reasons. A license is required, for CW reasons, to export or reexport Schedule 2 chemicals and mixtures identified in 1C350.b to States not Party to the CWC (destinations not listed in Supplement No. 2 to part 745 of the EAR). A license is required, for CW reasons, to export Schedule 3 chemicals and mixtures identified in 1C350.c to States not Party to the CWC, unless an End-Use Certificate issued by the government of the importing country has been obtained by the exporter prior to export. A license is required, for CW reasons, to reexport Schedule 3 chemicals and mixtures identified in 1C350.c from a State not Party to the CWC to any other State not Party to the CWC. (See § 742.18 of the EAR for license requirements and policies for toxic and precursor chemicals controlled for CW reasons. See § 745.2 of the EAR for End-Use Certificate requirements that apply to exports of Schedule 3 chemicals to countries not listed in Supplement No. 2 to part 745 of the EAR.)
AT applies to entire entry. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for AT reasons in 1C350. A license is required, for AT reasons, to export or reexport items controlled by 1C350 to a country in Country Group E:1 of Supplement No. 1 to part 740 of the EAR. (See part 742 of the EAR for additional information on the AT controls that apply to Iran, North Korea, and Syria. See part 746 of the EAR for additional information on sanctions that apply to Iran, North Korea, and Syria.)
License Requirement Notes1. SAMPLE SHIPMENTS: Subject to the following requirements and restrictions, a license is not required for sample shipments when the cumulative total of these shipments does not exceed a 55-gallon container or 200 kg of a single chemical to any one consignee during a calendar year. A consignee that receives a sample shipment under this exclusion may not resell, transfer, or reexport the sample shipment, but may use the sample shipment for any other legal purpose unrelated to chemical weapons.
a. Chemicals Not Eligible:
A. [Reserved]
B. CWC Schedule 2 chemicals (States not Party to the CWC). No CWC Schedule 2 chemical or mixture identified in 1C350.b is eligible for sample shipment to States not Party to the CWC (destinations not listed in Supplement No. 2 to part 745 of the EAR) without a license.
b. Countries Not Eligible: Countries in Country Group E:1 of Supplement No. 1 to part 740 of the EAR are not eligible to receive sample shipments of any chemicals controlled by this ECCN without a license.
c. Sample shipments that require an End-Use Certificate for CW reasons: No CWC Schedule 3 chemical or mixture identified in 1C350.c is eligible for sample shipment to States not Party to the CWC (destinations not listed in Supplement No. 2 to part 745 of the EAR) without a license, unless an End-Use Certificate issued by the government of the importing country is obtained by the exporter prior to export (see § 745.2 of the EAR for End-Use Certificate requirements).
d. Sample shipments that require a license for reasons set forth elsewhere in the EAR: Sample shipments, as described in this Note 1, may require a license for reasons set forth elsewhere in the EAR. See, in particular, the end-use/end-user restrictions in part 744 of the EAR, and the restrictions that apply to embargoed countries in part 746 of the EAR.
e. Annual report requirement. The exporter is required to submit an annual written report for shipments of samples made under this Note 1. The report must be on company letterhead stationery (titled “Report of Sample Shipments of Chemical Precursors” at the top of the first page) and identify the chemical(s), Chemical Abstract Service Registry (C.A.S.) number(s), quantity(ies), the ultimate consignee's name and address, and the date of export for all sample shipments that were made during the previous calendar year. The report must be submitted no later than February 28 of the year following the calendar year in which the sample shipments were made, to: U.S. Department of Commerce, Bureau of Industry and Security, 14th Street and Pennsylvania Ave., NW, Room 2099B, Washington, DC 20230, Attn: “Report of Sample Shipments of Chemical Precursors.”
2. MIXTURES:
a. Mixtures that contain precursor chemicals identified in ECCN 1C350, in concentrations that are below the levels indicated in 1C350.b through .d, are controlled by ECCN 1C395 or 1C995 and are subject to the licensing requirements specified in those ECCNs.
b. A license is not required under this ECCN for a mixture, when the controlled chemical in the mixture is a normal ingredient in consumer goods packaged for retail sale for personal use. Such consumer goods are designated EAR99. However, a license may be required for reasons set forth elsewhere in the EAR.
Note to Mixtures:Calculation of concentrations of AG-controlled chemicals:
a. Exclusion. No chemical may be added to the mixture (solution) for the sole purpose of circumventing the Export Administration Regulations;
b. Percent Weight Calculation. When calculating the percentage, by weight, of ingredients in a chemical mixture, include all ingredients of the mixture, including those that act as solvents.
3. COMPOUNDS. Compounds created with any chemicals identified in this ECCN 1C350 may be shipped NLR (No License Required), without obtaining an End-Use Certificate, unless those compounds are also identified in this entry or require a license for reasons set forth elsewhere in the EAR.
4. TESTING KITS: Certain medical, analytical, diagnostic, and food testing kits containing small quantities of chemicals identified in this ECCN 1C350, are excluded from the scope of this ECCN and are controlled under ECCN 1C395 or 1C995. (Note that replacement reagents for such kits are controlled by this ECCN 1C350 if the reagents contain one or more of the precursor chemicals identified in 1C350 in concentrations equal to or greater than the control levels for mixtures indicated in 1C350.)
Technical Notes:1. For purposes of this entry, a “mixture” is defined as a solid, liquid or gaseous product made up of two or more ingredients that do not react together under normal storage conditions.
2. The scope of this control applicable to Hydrogen Fluoride (see 1C350.d.14 in the List of Items Controlled) includes its liquid, gaseous, and aqueous phases, and hydrates.
3. Precursor chemicals in ECCN 1C350 are listed by name, Chemical Abstract Service (CAS) number and CWC Schedule (where applicable). Precursor chemicals of the same structural formula (e.g., hydrates) are controlled by ECCN 1C350, regardless of name or CAS number. CAS numbers are shown to assist in identifying whether a particular precursor chemical or mixture is controlled under ECCN 1C350, irrespective of nomenclature. However, CAS numbers cannot be used as unique identifiers in all situations because some forms of the listed precursor chemical have different CAS numbers, and mixtures containing a precursor chemical listed in ECCN 1C350 may also have different CAS numbers.
List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: See USML Category XIV(c) for related chemicals “subject to the ITAR” (see 22 CFR parts 120 through 130). Related Definitions: See § 770.2(k) of the EAR for synonyms for the chemicals listed in this entry. Items:a. [Reserved]
b. Australia Group-controlled precursor chemicals also identified as Schedule 2 chemicals under the CWC, as follows, and mixtures in which at least one of the following chemicals constitutes 30 percent or more of the weight of the mixture:
b.1. (C.A.S. #7784-34-1) Arsenic trichloride;
b.2. (C.A.S. #76-93-7) Benzilic acid;
b.3. (C.A.S. #78-38-6) Diethyl ethylphosphonate;
b.4. (C.A.S. #683-08-9) Diethyl methylphosphonate;
b.5. (C.A.S. #15715-41-0) Diethyl methylphosphonite;
b.6. (C.A.S. #2404-03-7) Diethyl-N,N-dimethylphosphoroamidate;
b.7. (C.A.S. #41480-75-5) N,N-Diisopropylaminoethanethiol hydrochloride;
b.8. (C.A.S. #5842-07-9) N,N-Diisopropyl-beta-aminoethane thiol;
b.9. (C.A.S. #96-80-0) N,N-Diisopropyl-beta-aminoethanol;
b.10. (C.A.S. #96-79-7), N,N-Diisopropyl-beta-aminoethyl chloride;
b.11. (C.A.S. #4261-68-1) N,N-Diisopropyl-beta-aminoethyl chloride hydrochloride;
b.12. (C.A.S. #6163-75-3) Dimethyl ethylphosphonate;
b.13. (C.A.S. #756-79-6) Dimethyl methylphosphonate;
b.14. (C.A.S. #677-43-0) N,N-dimethylamino-phosphoryl dichloride;
b.15. (C.A.S. #1498-40-4) Ethyl phosphonous dichloride [Ethyl phosphinyl dichloride];
b.16. (C.A.S. #430-78-4) Ethyl phosphonus difluoride [Ethyl phosphinyl difluoride];
b.17. (C.A.S. #1066-50-8) Ethyl phosphonyl dichloride;
b.18. (C.A.S. #993-13-5) Methylphosphonic acid;
b.19. (C.A.S. #676-98-2) Methylphosphonothioic dichloride.
b.20. (C.A.S. #464-07-3) Pinacolyl alcohol;
b.21. (C.A.S. #1619-34-7) 3-Quinuclidinol;
b.22. (C.A.S. #111-48-8) Thiodiglycol.
c. Australia Group-controlled precursor chemicals also identified as Schedule 3 chemicals under the CWC, as follows, and mixtures in which at least one of the following chemicals constitutes 30 percent or more of the weight of the mixture:
c.1. (C.A.S. #762-04-9) Diethyl phosphite;
c.2. (C.A.S. #868-85-9) Dimethyl phosphite (dimethyl hydrogen phosphite);
c.3. (C.A.S. #139-87-7) Ethyldiethanolamine;
c.4. (C.A.S. #10025-87-3) Phosphorus oxychloride;
c.5. (C.A.S. #10026-13-8) Phosphorus pentachloride;
c.6. (C.A.S. #7719-12-2) Phosphorus trichloride;
c.7. (C.A.S. #10545-99-0) Sulfur dichloride;
c.8. (C.A.S. #10025-67-9) Sulfur monochloride;
c.9. (C.A.S. #7719-09-7) Thionyl chloride;
c.10. (C.A.S. #102-71-6) Triethanolamine;
c.11. (C.A.S. #122-52-1) Triethyl phosphite;
c.12. (C.A.S. #121-45-9) Trimethyl phosphite.
d. Other Australia Group-controlled precursor chemicals not also identified as Schedule 1, 2, or 3 chemicals under the CWC, as follows, and mixtures in which at least one of the following chemicals constitutes 30 percent or more of the weight of the mixture:
d.1. (C.A.S. #1341-49-7) Ammonium hydrogen fluoride;
d.2. (C.A.S. #107-07-3) 2-Chloroethanol;
d.3. (C.A.S. #109-89-7) Diethylamine;
d.4. (C.A.S. #100-37-8) N,N-Diethylaminoethanol;
d.5. (C.A.S. #589-57-1) Diethyl chlorophosphite;
d.6. (C.A.S. #298-06-6) O,O-Diethyl phosphorodithioate;
d.7. (C.A.S. #2465-65-8) O,O-Diethyl phosphorothioate;
d.8. (C.A.S. #108-18-9) Di-isopropylamine;
d.9. (C.A.S. #124-40-3) Dimethylamine;
d.10. (C.A.S. #506-59-2) Dimethylamine hydrochloride;
d.11. (C.A.S. #762-77-6) Ethyl chlorofluorophosphate;
d.12. (C.A.S. #1498-51-7) Ethyl dichlorophosphate;
d.13. (C.A.S. #460-52-6) Ethyl difluorophosphate;
d.14. (C.A.S. #7664-39-3) Hydrogen fluoride;
d.15. (C.A.S. #3554-74-3) 3-Hydroxyl-1-methylpiperidine;
d.16. (C.A.S. #76-89-1) Methyl benzilate;
d.17. (C.A.S. #754-01-8) Methyl chlorofluorophosphate;
d.18. (C.A.S. #677-24-7) Methyl dichlorophosphate;
d.19. (C.A.S. #22382-13-4) Methyl difluorophosphate;
d.20. (C.A.S. #14277-06-6) N,N Diethylacetamidine;
d.21. (C.A.S. #53510-30-8) N,N-Diethylbutanamidine;
d.22. (C.A.S. #90324-67-7) N,N-Diethylformamidine;
d.23. (C.A.S. #1342789-47-2) N,N Diethylisobutanamidine;
d.24. (C.A.S. #84764-73-8) N,N-Diethylpropanamidine;
d.25. (C.A.S. #1315467-17-4) N,N-Diisopropylbutanamidine;
d.26. (C.A.S. #857522-08-8) N,N-Diisopropylformamidine;
d.27. (C.A.S. #2909-14-0) N,N-Dimethylacetamidine;
d.28. (C.A.S. #1340437-35-5) N,N-Dimethylbutanamidine;
d.29. (C.A.S. #44205-42-7) N,N-Dimethylformamidine;
d.30. (C.A.S. #321881-25-8) N,N-Dimethylisobutanamidine;
d.31. (C.A.S. #56776-14-8) N,N-Dimethylpropanamidine;
d.32. (C.A.S. #1339586-99-0) N,N-Dipropylacetamidine;
d.33. C.A.S. #1342422-35-8) N,N-Dipropylbutanamidine;
d.34. (C.A.S. #48044-20-8) N,N-Dipropylformamidine;
d.35. (C.A.S. #1342700-45-1) N,N-Dipropylisobutanamidine;
d.36. (C.A.S. #1341496-89-6) N,N-Dipropylpropanamidine;
d.37. (C.A.S. #1314-80-3) Phosphorus pentasulfide;
d.38. (C.A.S. #75-97-8) Pinacolone;
d.39. (C.A.S. #7789-29-9) Potassium bifluoride;
d.40. (C.A.S. #151-50-8) Potassium cyanide;
d.41. (C.A.S. #7789-23-3) Potassium fluoride;
d.42. (C.A.S. #3731-38-2) 3-Quinuclidone;
d.43. (C.A.S. #1333-83-1) Sodium bifluoride;
d.44. (C.A.S. #143-33-9) Sodium cyanide;
d.45. (C.A.S. #7681-49-4) Sodium fluoride;
d.46. (C.A.S. #16893-85-9) Sodium hexafluorosilicate;
d.47. (C.A.S. #1313-82-2) Sodium sulfide;
d.48. (C.A.S. #637-39-8) Triethanolamine hydrochloride;
d.49. (C.A.S. #116-17-6) Tri-isopropyl phosphite.
1C351 Human and animal pathogens and “toxins,” as follows (see List of Items Controlled). License Requirements Reason for Control: CB, CW, AT| Control(s) | Country chart (see supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 1. |
CW applies to 1C351.d.11 and d.12 and a license is required for CW reasons for all destinations, including Canada, as follows: CW applies to 1C351.d.11 for ricin in the form of (1) Ricinus communis AgglutininII (RCAII), also known as ricin D or Ricinus Communis LectinIII (RCLIII) and (2) Ricinus communis LectinIV (RCLIV), also known as ricin E. CW applies to 1C351.d.12 for saxitoxin identified by C.A.S. #35523-89-8. See § 742.18 of the EAR for licensing information pertaining to chemicals subject to restriction pursuant to the Chemical Weapons Convention (CWC). The Commerce Country Chart is not designed to determine licensing requirements for items controlled for CW reasons.
| Control(s) | Country chart (see supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
License Requirement Notes: 1. All vaccines and 'immunotoxins' are excluded from the scope of this entry. Certain medical products and diagnostic and food testing kits that contain biological toxins controlled under paragraph (d) of this entry, with the exception of toxins controlled for CW reasons under d.11 and d.12, are excluded from the scope of this entry. Vaccines, 'immunotoxins,' certain medical products, and diagnostic and food testing kits excluded from the scope of this entry are controlled under ECCN 1C991.
2. For the purposes of this entry, only saxitoxin is controlled under paragraph d.12; other members of the paralytic shellfish poison family (e.g., neosaxitoxin) are designated EAR99.
3. Clostridium perfringens strains, other than the epsilon toxin-producing strains of Clostridium perfringens described in c.12, are excluded from the scope of this entry, since they may be used as positive control cultures for food testing and quality control.
4. Unless specified elsewhere in this ECCN 1C351 (e.g., in License Requirement Notes 1-3), this ECCN controls all biological agents and “toxins,” regardless of quantity or attenuation, that are identified in the List of Items Controlled for this ECCN, including small quantities or attenuated strains of select biological agents or “toxins” that are excluded from the lists of select biological agents or “toxins” by the Animal and Plant Health Inspection Service (APHIS), U.S. Department of Agriculture (USDA), or the Centers for Disease Control and Prevention (CDC), U.S. Department of Health and Human Services (HHS), in accordance with their regulations in 9 CFR part 121 and 42 CFR part 73, respectively.
5. Biological agents and pathogens are controlled under this ECCN 1C351 when they are an isolated live culture of a pathogen agent, or a preparation of a toxin agent that has been isolated or extracted from any source or material, including living material that has been deliberately inoculated or contaminated with the agent. Isolated live cultures of a pathogen agent include live cultures in dormant form or in dried preparations, whether the agent is natural, enhanced or modified.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: N/A GBS: N/A Special Conditions for STA STA: (1) Paragraph (c)(1) of License Exception STA (§ 740.20(c)(1)) may be used for items in 1C351.d.1 through 1C351.d.10 and 1C351.d.13 through 1C351.d.18. See § 740.20(b)(2)(vi) for restrictions on the quantity of any one toxin that may be exported in a single shipment and the number of shipments that may be made to any one end user in a single calendar year. Also see the Automated Export System (AES) requirements in § 758.1(b)(4) of the EAR. (2) Paragraph (c)(2) of License Exception STA (§ 740.20(c)(2) of the EAR) may not be used for any items in 1C351. List of Items Controlled Related Controls: (1) Certain forms of ricin and saxitoxin in 1C351.d.11. and d.12 are CWC Schedule 1 chemicals (see § 742.18 of the EAR). The U.S. Government must provide advance notification and annual reports to the OPCW of all exports of Schedule 1 chemicals. See § 745.1 of the EAR for notification procedures. See 22 CFR part 121, Category XIV and § 121.7 for CWC Schedule 1 chemicals that are “subject to the ITAR.” (2) The Animal and Plant Health Inspection Service (APHIS), U.S. Department of Agriculture, and the Centers for Disease Control and Prevention (CDC), U.S. Department of Health and Human Services, maintain controls on the possession, use, and transfer within the United States of certain items controlled by this ECCN (for APHIS, see 7 CFR 331.3(b), 9 CFR 121.3(b), and 9 CFR 121.4(b); for CDC, see 42 CFR 73.3(b) and 42 CFR 73.4(b)). (3) See 22 CFR part 121, Category XIV(b), for modified biological agents and biologically derived substances that are “subject to the ITAR.” Related Definitions: For the purposes of this entry, 'immunotoxins' are monoclonal antibodies linked to a toxin with the intention of destroying a specific target cell while leaving adjacent cells intact. Items:a. Viruses identified on the Australia Group (AG) “List of Human and Animal Pathogens and Toxins for Export Control,” as follows:
a.1. African horse sickness virus;
a.2. African swine fever virus;
a.3. Andes virus;
a.4. Avian influenza (AI) viruses identified as having high pathogenicity (HP), as follows:
a.4.a. AI viruses that have an intravenous pathogenicity index (IVPI) in 6-week-old chickens greater than 1.2; or
a.4.b. AI viruses that cause at least 75% mortality in 4- to 8-week-old chickens infected intravenously.
Note:Avian influenza (AI) viruses of the H5 or H7 subtype that do not have either of the characteristics described in 1C351.a.4 (specifically, 1C351.a.4.a or a.4.b) should be sequenced to determine whether multiple basic amino acids are present at the cleavage site of the haemagglutinin molecule (HA0). If the amino acid motif is similar to that observed for other HPAI isolates, then the isolate being tested should be considered as HPAI and the virus is controlled under 1C351.a.4.
a.5. Bluetongue virus;
a.6. Chapare virus;
a.7. Chikungunya virus;
a.8. Choclo virus;
a.9. Classical swine fever virus (Hog cholera virus);
a.10. Crimean-Congo hemorrhagic fever virus;
a.11. Dobrava-Belgrade virus;
a.12. Eastern equine encephalitis virus;
a.13. Ebolavirus (includes all members of the Ebolavirus genus);
a.14. Foot-and-mouth disease virus;
a.15. Goatpox virus;
a.16. Guanarito virus;
a.17. Hantaan virus;
a.18. Hendra virus (Equine morbillivirus);
a.19. Japanese encephalitis virus;
a.20. Junin virus;
a.21. Kyasanur Forest disease virus;
a.22. Laguna Negra virus;
a.23. Lassa virus;
a.24. Louping ill virus;
a.25. Lujo virus;
a.26. Lumpy skin disease virus;
a.27. Lymphocytic choriomeningitis virus;
a.28. Machupo virus;
a.29. Marburgvirus (includes all members of the Marburgvirus genus);
a.30. Middle East respiratory syndrome-related coronavirus (MERS-related coronavirus);
a.31. Monkeypox virus;
a.32. Murray Valley encephalitis virus;
a.33. Newcastle disease virus;
a.34. Nipah virus;
a.35. Omsk hemorrhagic fever virus;
a.36. Oropouche virus;
a.37. Peste-des-petits ruminants virus;
a.38. Porcine Teschovirus;
a.39. Powassan virus;
a.40. Rabies virus and all other members of the Lyssavirus genus;
a.41. Reconstructed 1918 influenza virus;
Technical Note:1C351.a.41 includes reconstructed replication competent forms of the 1918 pandemic influenza virus containing any portion of the coding regions of all eight gene segments.
a.42. Rift Valley fever virus;
a.43. Rinderpest virus;
a.44. Rocio virus;
a.45. Sabia virus;
a.46. Seoul virus;
a.47. Severe acute respiratory syndrome-related coronavirus (SARS-related coronavirus);
a.48. Sheeppox virus;
a.49. Sin Nombre virus;
a.50. St. Louis encephalitis virus;
a.51. Suid herpesvirus 1 (Pseudorabies virus; Aujeszky's disease);
a.52. Swine vesicular disease virus;
a.53. Tick-borne encephalitis virus (Far Eastern subtype, formerly known as Russian Spring-Summer encephalitis virus - see 1C351.b.3 for Siberian subtype);
a.54. Variola virus;
a.55. Venezuelan equine encephalitis virus;
a.56. Vesicular stomatitis virus;
a.57. Western equine encephalitis virus; or
a.58. Yellow fever virus.
b. Viruses identified on the APHIS/CDC “select agents” lists (see Related Controls paragraph #2 for this ECCN), but not identified on the Australia Group (AG) “List of Human and Animal Pathogens and Toxins for Export Control,” as follows:
b.1. [Reserved];
b.2. [Reserved]; or
b.3. Tick-borne encephalitis virus (Siberian subtype, formerly West Siberian virus - see 1C351.a.53 for Far Eastern subtype).
c. Bacteria identified on the Australia Group (AG) “List of Human and Animal Pathogens and Toxins for Export Control,” as follows:
c.1. Bacillus anthracis;
c.2. Brucella abortus;
c.3. Brucella melitensis;
c.4. Brucella suis;
c.5. Burkholderia mallei (Pseudomonas mallei);
c.6. Burkholderia pseudomallei (Pseudomonas pseudomallei);
c.7. Chlamydia psittaci (Chlamydophila psittaci);
c.8. Clostriduim argentinense (formerly known as Clostridium botulinum Type G), botulinum neurotoxin producing strains;
c.9. Clostridium baratii, botulinum neurotoxin producing strains;
c.10. Clostridium botulinum;
c.11. Clostridium butyricum, botulinum neurotoxin producing strains;
c.12. Clostridium perfringens, epsilon toxin producing types;
c.13. Coxiella burnetii;
c.14. Francisella tularensis;
c.15. Mycoplasma capricolum subspecies capripneumoniae (“strain F38”);
c.16. Mycoplasma mycoides subspecies mycoides SC (small colony) (a.k.a. contagious bovine pleuropneumonia);
c.17. Rickettsia prowazekii;
c.18. Salmonella enterica subspecies enterica serovar Typhi (Salmonella typhi);
c.19. Shiga toxin producing Escherichia coli (STEC) of serogroups O26, O45, O103, O104, O111, O121, O145, O157, and other shiga toxin producing serogroups;
Note: Shiga toxin producing Escherichia coli (STEC) includes, inter alia, enterohaemorrhagic E. coli (EHEC), verotoxin producing E. coli (VTEC) or verocytotoxin producing E. coli (VTEC).
c.20. Shigella dysenteriae;
c.21. Vibrio cholerae; or
c.22. Yersinia pestis.
d. “Toxins” identified on the Australia Group (AG) “List of Human and Animal Pathogens and Toxins for Export Control,” as follows, or their subunits:
d.1. Abrin;
d.2. Aflatoxins;
d.3. Botulinum toxins;
d.4. Cholera toxin;
d.5. Clostridium perfringens alpha, beta 1, beta 2, epsilon and iota toxins;
d.6. Conotoxins;
d.7. Diacetoxyscirpenol;
d.8. HT-2 toxin;
d.9. Microcystins (Cyanginosins);
d.10. Modeccin;
d.11. Ricin;
d.12. Saxitoxin;
d.13. Shiga toxins (shiga-like toxins, verotoxins, and verocytotoxins);
d.14. Staphylococcus aureus enterotoxins, hemolysin alpha toxin, and toxic shock syndrome toxin (formerly known as Staphylococcus enterotoxin F);
d.15. T-2 toxin;
d.16. Tetrodotoxin;
d.17. Viscumin (Viscum album lectin 1); or
d.18. Volkensin.
e. “Fungi”, as follows:
e.1. Coccidioides immitis; or
e.2. Coccidioides posadasii.
1C353 Genetic elements and genetically modified organisms, as follows (see List of Items Controlled). License Requirements Reason for Control: CB, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 1 |
| AT applies to entire entry | AT Column 1 |
1. Vaccines that contain genetic elements or genetically modified organisms identified in this ECCN are controlled by ECCN 1C991.
2. Unless specified elsewhere in this ECCN 1C353 (e.g., in License Requirement Note 1), this ECCN controls genetic elements or genetically modified organisms for all biological agents and “toxins,” regardless of quantity or attenuation, that are identified in the List of Items Controlled for this ECCN, including genetic elements or genetically modified organisms for attenuated strains of select biological agents or “toxins” that are excluded from the lists of select biological agents or “toxins” by the Animal and Plant Health Inspection Service (APHIS), U.S. Department of Agriculture, or the Centers for Disease Control and Prevention (CDC), U.S. Department of Health and Human Services, in accordance with the APHIS regulations in 7 CFR part 331 and 9 CFR part 121 and the CDC regulations in 42 CFR part 73.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: (1) The Animal and Plant Health Inspection Service (APHIS), U.S. Department of Agriculture, and the Centers for Disease Control and Prevention (CDC), U.S. Department of Health and Human Services, maintain controls on the possession, use, and transfer within the United States of certain items controlled by this ECCN, including (but not limited to) certain genetic elements, recombinant nucleic acids, and recombinant organisms associated with the agents or toxins in ECCN 1C351 or 1C354 (for APHIS, see 7 CFR 331.3(c), 9 CFR 121.3(c), and 9 CFR 121.4(c); for CDC, see 42 CFR 73.3(c) and 42 CFR 73.4(c)). (2) See 22 CFR part 121, Category XIV(b), for modified biological agents and biologically derived substances that are subject to the export licensing jurisdiction of the U.S. Department of State, Directorate of Defense Trade Controls. Related Definition: N/A Items: a. Any genetically modified organism that contains, or any genetic element that codes for, any of the following:a.1. Any gene or genes specific to any virus controlled by 1C351.a or .b or 1C354.c;
a.2. Any gene or genes specific to any bacterium controlled by 1C351.c or 1C354.a, or any fungus controlled by 1C351.e or 1C354.b, and which;
a.2.a. In itself or through its transcribed or translated products represents a significant hazard to human, animal or plant health; or
a.2.b. Could endow or enhance pathogenicity; or
a.3. Any toxins, or their subunits, controlled by 1C351.d.
b. [Reserved].
Technical Notes:1. Genetically modified organisms include organisms in which the nucleic acid sequences have been created or altered by deliberate molecular manipulation.
2. “Genetic elements” include, inter alia, chromosomes, genomes, plasmids, transposons, vectors, and inactivated organisms containing recoverable nucleic acid fragments, whether genetically modified or unmodified, or chemically synthesized in whole or in part. For the purposes of this ECCN 1C353, nucleic acids from an inactivated organism, virus, or sample are considered to be 'recoverable' if the inactivation and preparation of the material is intended or known to facilitate isolation, purification, amplification, detection, or identification of nucleic acids.
3. This ECCN does not control nucleic acid sequences of shiga toxin producing Escherichia coli of serogroups O26, O45, O103, O104, O111, O121, O145, O157, and other shiga toxin producing serogroups, other than those genetic elements coding for shiga toxin, or for its subunits.
4. 'Endow or enhance pathogenicity' is defined as when the insertion or integration of the nucleic acid sequence or sequences is/are likely to enable or increase a recipient organism's ability to be used to deliberately cause disease or death. This might include alterations to, inter alia: virulence, transmissibility, stability, route of infection, host range, reproducibility, ability to evade or suppress host immunity, resistance to medical countermeasures, or detectability.
1C354 Plant pathogens, as follows (see List of Items Controlled). License Requirements Reason for Control: CB, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 1 |
| AT applies to entire entry | AT Column 1 |
1. All vaccines are excluded from the scope of this ECCN. See ECCN 1C991 for vaccines.
2. Unless specified elsewhere in this ECCN 1C354 (e.g., in License Requirement Note 1), this ECCN controls all biological agents, regardless of quantity or attenuation, that are identified in the List of Items Controlled for this ECCN, including small quantities or attenuated strains of select biological agents that are excluded from the list of PPQ select agents and “toxins” by the Animal and Plant Health Inspection Service (APHIS), U.S. Department of Agriculture, in accordance with their regulations in 7 CFR part 331.
List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: (1) The Animal and Plant Health Inspection Service (APHIS), U.S. Department of Agriculture, maintains controls on the possession, use, and transfer within the United States of certain items controlled by this ECCN (see 7 CFR 331.3(c), 9 CFR 121.3(c), and 9 CFR 121.4(c)). (2) See 22 CFR part 121, Category XIV(b), for modified biological agents and biologically derived substances that are subject to the export licensing jurisdiction of the U.S. Department of State, Directorate of Defense Trade Controls. Related Definitions: N/A Items: a. Bacteria, as follows:a.1. Xanthomonas albilineans;
a.2. Xanthomonas axonopodis pv. citri (Xanthomonas campestris pv. citri A) (Xanthomonas campestris pv. citri);
a.3. Xanthomonas oryzae [this species of proteobacteria is identified on the APHIS “select agents” list (see Related Controls paragraph for this ECCN), but only the pathovar Xanthomonas oryzae pv. oryzae (syn. Pseudomonas campestris pv. oryzae) is identified on the Australia Group (AG) “List of Plant Pathogens for Export Control”];
a.4. Clavibacter michiganensis subspecies sepedonicus (syn. Corynebacterium michiganensis subspecies sepedonicum or Corynebacterium sepedonicum);
a.5. Ralstonia solanacearum, race 3, biovar 2;
a.6. Raythayibactor toxicus [this bacterium is identified on the APHIS “select agents” list (see the Related Controls paragraph for this ECCN), but is not identified on the Australia Group (AG) “List of Plant Pathogens for Export Control”].
b. Fungi, as follows:
b.1. Colletotrichum kahawae (Colletotrichum coffeanum var. virulans);
b.2. Cochliobolus miyabeanus (Helminthosporium oryzae);
b.3. Microcyclus ulei (syn. Dothidella ulei);
b.4. Puccinnia graminis ssp. graminis var. graminis/Puccinia graminis ssp. graminis var. stakmanii (Puccinia graminis [syn. Puccinia graminis f. sp. tritici]);
b.5. Puccinia striiformis (syn. Puccinia glumarum);
b.6. Magnaporthe oryzae (Pyricularia oryzae);
b.7. Peronosclerospora philippinensis (Peronosclerospora sacchari);
b.8. Sclerophthora rayssiae var. zeae;
b.9. Synchytrium endobioticum;
b.10. Tilletia indica;
b.11. Thecaphora solani;
b.12. Phoma glycinicola (formerly Pyrenochaeta glycines) [this fungus is identified on the APHIS “select agents” list (see the Related Controls paragraph for this ECCN), but is not identified on the Australia Group (AG) “List of Plant Pathogens for Export Control”].
c. Viruses, as follows:
c.1. Andean potato latent virus (Potato Andean latent tymovirus);
c.2. Potato spindle tuber viroid.
1C355 Chemical Weapons Convention (CWC) Schedule 2 and 3 chemicals and families of chemicals not controlled by ECCN 1C350 or “subject to the ITAR” (see 22 CFR parts) (see List of Items Controlled). License Requirements Reason for Control: CW, AT. Control(s)CW applies to entire entry. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for CW reasons. A license is required to export or reexport CWC Schedule 2 chemicals and mixtures identified in 1C355.a to States not Party to the CWC (destinations not listed in Supplement No. 2 to part 745 of the EAR). A license is required to export CWC Schedule 3 chemicals and mixtures identified in 1C355.b to States not Party to the CWC, unless an End Use Certificate issued by the government of the importing country is obtained by the exporter, prior to export. A license is required to reexport CWC Schedule 3 chemicals and mixtures identified in 1C355.b from a State not Party to the CWC to any other State not Party to the CWC. (See § 742.18 of the EAR for license requirements and policies for toxic and precursor chemicals controlled for CW reasons.)
AT applies to entire entry. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for AT reasons in 1C350. A license is required, for AT reasons, to export or reexport items controlled by 1C350 to a country in Country Group E:1 of Supplement No. 1 to part 740 of the EAR. (See part 742 of the EAR for additional information on the AT controls that apply to Iran, North Korea, and Syria. See part 746 of the EAR for additional information on sanctions that apply to Iran, North Korea, and Syria.)
License Requirements Notes:1. MIXTURES:
a. Mixtures containing toxic and precursor chemicals identified in ECCN 1C355, in concentrations that are below the control levels indicated in 1C355.a and .b, are controlled by ECCN 1C995 and are subject to the license requirements specified in that ECCN.
b. Mixtures containing chemicals identified in this entry are not controlled by ECCN 1C355 when the controlled chemical is a normal ingredient in consumer goods packaged for retail sale for personal use or packaged for individual use. Such consumer goods are classified as EAR99.
Note to mixtures:Calculation of concentrations of CW-controlled chemicals:
a. Exclusion. No chemical may be added to the mixture (solution) for the sole purpose of circumventing the Export Administration Regulations;
b. Percent Weight Calculation. When calculating the percentage, by weight, of ingredients in a chemical mixture, include all ingredients of the mixture, including those that act as solvents.
2. COMPOUNDS: Compounds created with any chemicals identified in this ECCN 1C355 may be shipped NLR (No License Required), without obtaining an End-Use Certificate, unless those compounds are also identified in this entry or require a license for reasons set forth elsewhere in the EAR.
Technical Notes:For purposes of this entry, a “mixture” is defined as a solid, liquid or gaseous product made up of two or more ingredients that do not react together under normal storage conditions.
List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: See also ECCNs 1C350 1C351, 1C395, and 1C995. See §§ 742.18 and 745.2 of the EAR for End-Use Certification requirements. Related Definitions: N/A Items:a. CWC Schedule 2 chemicals and mixtures containing Schedule 2 chemicals:
a.1. Toxic chemicals, as follows, and mixtures containing toxic chemicals:
a.1.a. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene (C.A.S. 382-21-8) and mixtures in which PFIB constitutes more than 1 percent of the weight of the mixture;
a.1.b. [Reserved]
a.2. Precursor chemicals, as follows, and mixtures in which at least one of the following precursor chemicals constitutes more than 10 percent of the weight of the mixture:
a.2.a. Chemicals, except for those listed in Schedule 1, containing a phosphorus atom to which is bonded one methyl, ethyl, or propyl (normal or iso) group but not further carbon atoms.
Note:1C355.a.2.a does not control Fonofos: O-Ethyl S-phenyl ethylphosphonothiolothionate (C.A.S. 944-22-9).
a.2.b. FAMILY: N,N-Dialkyl (Me, Et, n-Pr or i-Pr) phosphoramidic dihalides;
a.2.c. FAMILY: Dialkyl (Me, Et, n-Pr or i-Pr) N,N-dialkyl (Me, Et, n-Pr, or i-Pr)-phosphoramidates;
a.2.d. FAMILY: N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethyl-2-chlorides and corresponding protonated salts;
a.2.e. FAMILY: N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethane-2-ols and corresponding protonated salts;
Note:1C355.a.2.e. does not control N,N-Dimethylaminoethanol and corresponding protonated salts (C.A.S. 108-01-0) or N,N-Diethylaminoethanol and corresponding protonated salts (C.A.S. 100-37-8).
a.2.f. FAMILY: N,N-Dialkyl (Me, Et, n-Pr or i-Pr) aminoethane-2-thiols and corresponding protonated salts.
b. CWC Schedule 3 chemicals and mixtures containing Schedule 3 chemicals:
b.1. Toxic chemicals, as follows, and mixtures in which at least one of the following toxic chemicals constitutes 30 percent or more of the weight of the mixture:
b.1.a. Phosgene: Carbonyl dichloride (C.A.S. 75-44-5);
b.1.b. Cyanogen chloride (C.A.S. 506-77-4);
b.1.c. Hydrogen cyanide (C.A.S. 74-90-8);
b.1.d. Chloropicrin: Trichloronitromethane (CAS 76-06-2).
b.2. Precursor chemicals, as follows, and mixtures in which at least one of the following precursor chemicals constitutes 30 percent or more of the weight of the mixture:
b.2.a. [Reserved];
b.2.b. Methyldiethanolamine (C.A.S. 105-59-9).
1C395 Mixtures and Medical, Analytical, Diagnostic, and Food Testing Kits Not Controlled by ECCN 1C350, as follows (See List of Items Controlled). License Requirements Reason for Control: CB, CW, AT Control(s): CB applies to entire entry. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for CB reasons in 1C395. A license is required, for CB reasons, to export or reexport mixtures controlled by 1C395.a and test kits controlled by 1C395.b to States not Party to the CWC (destinations not listed in Supplement No. 2 to part 745 of the EAR).CW applies to entire entry. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for CW reasons. A license is required for CW reasons, as follows, to States not Party to the CWC (destinations not listed in Supplement No. 2 to part 745 of the EAR): (1) Exports and reexports of mixtures controlled by 1C395.a, (2) exports and reexports of test kits controlled by 1C395.b that contain CWC Schedule 2 chemicals controlled by ECCN 1C350, (3) exports of test kits controlled by 1C395.b that contain CWC Schedule 3 chemicals controlled by ECCN 1C350, except that a license is not required, for CW reasons, to export test kits containing CWC Schedule 3 chemicals if an End-Use Certificate issued by the government of the importing country is obtained by the exporter prior to export, and (4) reexports from States not Party to the CWC of test kits controlled by 1C395.b that contain CWC Schedule 3 chemicals. (See § 742.18 of the EAR for license requirements and policies for toxic and precursor chemicals controlled for CW reasons.)
AT applies to entire entry. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for AT reasons in 1C395. A license is required, for AT reasons, to export or reexport items controlled by 1C395 to a country in Country Group E:1 of Supplement No. 1 to part 740 of the EAR. (See part 742 of the EAR for additional information on the AT controls that apply to Iran, North Korea, Sudan, and Syria. See part 746 of the EAR for additional information on sanctions that apply to Iran, North Korea, and Syria.)
License Requirements Notes:1. 1C395.b does not control mixtures that contain precursor chemicals identified in ECCN 1C350.b or .c in concentrations below the control levels for mixtures indicated in 1C350.b or .c. 1C395.a and 1C995.a.1 and a.2.a control such mixtures, unless they are consumer goods, as described in License Requirements Note 2 of this ECCN.
2. This ECCN does not control mixtures when the controlled chemicals are normal ingredients in consumer goods packaged for retail sale for personal use. Such consumer goods are classified as EAR99.
List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: 1. ECCN 1C350 controls mixtures containing 30 percent or higher concentrations, by weight, of any single CWC Schedule 2 chemical identified in ECCN 1C350.b; ECCN 1C995 controls such mixtures containing concentrations of 10 percent or less. 2. ECCN 1C995 controls “medical, analytical, diagnostic, and food testing kits” (as defined in the Related Definitions paragraph of this ECCN) that contain precursor chemicals listed in ECCN 1C350.d. ECCN 1C350 controls any such kits in which the amount of any single chemical listed in 1C350.b, .c, or .d exceeds 300 grams by weight. Related Definitions: For the purpose of this entry, “medical, analytical, diagnostic, and food testing kits” are pre-packaged materials of defined composition that are specifically developed, packaged and marketed for medical, analytical, diagnostic, or public health purposes. Replacement reagents for medical, analytical, diagnostic, and food testing kits described in 1C395.b are controlled by ECCN 1C350 if the reagents contain at least one of the precursor chemicals identified in that ECCN in concentrations equal to or greater than the control levels for mixtures indicated in 1C350.b. or .c. Items: a. Mixtures containing more than 10 percent, but less than 30 percent, by weight of any single CWC Schedule 2 chemical identified in ECCN 1C350.b (For controls on other mixtures containing these chemicals, see Note 1 in the Related Controls paragraph of this ECCN.).b. “Medical, analytical, diagnostic, and food testing kits” (as defined in the Related Definitions for this ECCN) that contain CWC Schedule 2 or 3 chemicals controlled by ECCN 1C350.b or .c in an amount not exceeding 300 grams per chemical. (For controls on other such test kits containing these and other controlled chemicals, see Note 2 in the Related Controls paragraph of this ECCN.)
1C607 Tear Gases, Riot Control Agents and materials for the detection and decontamination of chemical warfare agents (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to Part 738) |
|---|---|
| NS applies to entire entry, except 1C607.a.10, .a.11, .a.12, and .a.14 | NS Column 1. |
| RS applies to entire entry | RS Column 1. |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry | See § 746.1(b) for UN controls. |
a.1. CA (Bromobenzyl cyanide) (CAS 5798-79-8);
a.2. CS (o-Chlorobenzylidenemalononitrile or o-Chlorobenzalmalononitrile) (CAS 2698-41-1);
a.3. CN (Phenylacyl chloride or w-Chloroacetophenone) (CAS 532-27-4);
a.4. CR (Dibenz-(b,f)-1,4-oxazephine) (CAS 257-07-8);
a.5. Adamsite (Diphenylamine chloroarsine or DM) (CAS 578-94-9);
a.6. N-Nonanoylmorpholine, (MPA) (CAS 5299-64-9);
a.7. Dibromodimethyl ether (CAS 4497-29-4);
a.8. Dichlorodimethyl ether (ClCi) (CAS 542-88-1);
a.9. Ethyldibromoarsine (CAS 683-43-2);
a.10. Bromo acetone (CAS 598-31-2);
a.11. Bromo methylethylketone (CAS 816-40-0);
a.12. Iodo acetone (CAS 3019-04-3);
a.13. Phenylcarbylamine chloride (CAS 622-44-6);
a.14. Ethyl iodoacetate (CAS 623-48-3);
Note to 1C607.a:ECCN 1C607.a. does not control the following: formulations containing 1% or less of CN or CS; individually packaged tear gases or riot control agents for personal self-defense purposes that are controlled by ECCN 1A984; or active constituent chemicals, and combinations thereof, identified and packaged for food production or medical purposes.
b. “Biopolymers,” not controlled by USML Category XIV(g) “specially designed” or processed for the detection or identification of chemical warfare agents specified by USML Category XIV(a), and the cultures of specific cells used to produce them.
c. “Biocatalysts,” and biological systems therefor, not controlled by USML Category XIV(g) “specially designed” for the decontamination or degradation of chemical warfare agents controlled in USML Category XIV (a), as follows:
c.1. “Biocatalysts” “specially designed” for the decontamination or degradation of chemical warfare agents controlled in USML Category XIV(a) resulting from directed laboratory selection or genetic manipulation of biological systems;
c.2. Biological systems containing the genetic information specific to the production of “biocatalysts” specified by 1C607.c.1, as follows:
c.2.a. “Expression vectors;”
c.2.b. Viruses; or
c.2.c. Cultures of cells.
Note to 1C607.b and .c:The cultures of cells and biological systems are exclusive and these sub-items do not apply to cells or biological systems for civil purposes, such as agricultural, pharmaceutical, medical, veterinary, environmental, waste management, or in the food industry.
d. Chemical mixtures not controlled by USML Category XIV(f) “specially designed” for military use for the decontamination of objects contaminated with materials specified by USML Category XIV(a) or (b).
1C608 “Energetic materials” and related commodities (see List of Items Controlled). License Requirements Reason for Control: NS, RS, MT, AT, UN| Control(s) | Country chart (see Supp. no. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| MT applies to 1C608.m | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) of the EAR for UN controls |
a.1. 'Sheetstock' or 'carpet rolls'; or
a.2. Grains with diameter greater than 0.10 inches.
Note:This entry does not control 'propellant' grains used in shotgun shells, small arms cartridges, or rifle cartridges.
Technical Notes:1. 'Sheetstock' is 'propellant' that has been manufactured in the form of a sheet suitable for further processing.
2. A 'carpet roll' is 'propellant' that has been manufactured as a sheet, often cut to a desired width, and subsequently rolled up (like a carpet).
3. 'Single base' is 'propellant' which consists mostly of nitrocellulose.
4. 'Double base' 'propellant' consist mostly of nitrocellulose and nitroglycerine.
5. 'Triple base' consists mostly of nitrocellulose, nitroglycerine, and nitroguanidine. Such 'propellants' contain other materials, such as resins or stabilizers, that could include carbon, salts, burn rate modifiers, nitrodiphenylamine, wax, polyethylene glycol (PEG), polyglycol adipate (PGA).
b. Shock tubes containing greater than 0.064 kg per meter (300 grains per foot), but not more than 0.1 kg per meter (470 grains per foot) of 'controlled materials.'
c. Cartridge power devices containing greater than 0.70 kg, but not more than 1.0 kg of 'controlled materials.'
d. Detonators (electric or nonelectric) and “specially designed” assemblies therefor containing greater than 0.01 kg, but not more than 0.1 kg of 'controlled materials'.
e. Igniters not controlled by USML Categories III or IV that contain greater than 0.01 kg, but not more than 0.1 kg of 'controlled materials'.
f. Oil well cartridges containing greater than 0.015 kg, but not more than 0.1 kg of 'controlled materials'.
g. Commercial cast or pressed boosters containing greater than 1.0 kg, but not more than 5.0 kg of 'controlled materials'.
h. Commercial prefabricated slurries and emulsions containing greater than 10 kg and less than or equal to thirty-five percent by weight of USML 'controlled materials'.
i. [Reserved]
j. “Pyrotechnic” devices “specially designed” for commercial purposes (e.g., theatrical stages, motion picture special effects, and fireworks displays), and containing greater than 3.0 kg, but not more than 5.0 kg of 'controlled materials'.
k. Other commercial explosive devices or charges “specially designed” for commercial applications, not controlled by 1C608.c through .g above, containing greater than 1.0 kg, but not more than 5.0 kg of 'controlled materials'.
l. Propyleneimine (2 methylaziridine) (C.A.S. #75-55-8).
m. Any oxidizer or 'mixture' thereof that is a compound composed of fluorine and any of the following: other halogens, oxygen, or nitrogen.
Note 1 to 1C608.m:Nitrogen trifluoride (NF3) (CAS 7783-54-2) in a gaseous state is controlled under ECCN 1C992 and not under ECCN 1C608.m.
Note 2 to 1C608.m:Chlorine trifluoride (ClF3) (CAS 7790-91-2) is controlled under ECCN 1C111.a.3.f and not under ECCN 1C608.m.
Note 3 to 1C608.m:Oxygen difluoride (OF2) is controlled under USML Category V.d.10 (see 22 CFR 121.1) and not under ECCN 1C608.m.
Note to 1C608.l and m:If a chemical in ECCN 1C608.l or .m is incorporated into a commercial charge or device described in ECCN 1C608.c through .k or in ECCN 1C992, the classification of the commercial charge or device applies to the item.
Technical Note to 1C608.m:'Mixture' refers to a composition of two or more substances with at least one substance being enumerated in 1C011, 1C111, 1C239, 1C608, USML Category V, or elsewhere on the USML.
n. Any explosives, 'propellants', oxidizers, “pyrotechnics”, fuels, binders, or additives that are “specially designed” for military application and not enumerated or otherwise described in USML Category V or elsewhere on the USML.
Note 1:1C608.n does not apply to the following “aircraft” fuels: JP-4, JP-5, and JP-8.
Note 2:“Aircraft” fuels specified by 1C608.n, Note 1 are finished products, not their constituents.
1C980 Inorganic chemicals listed in Supplement No. 1 to part 754 of the EAR that were produced or derived from the Naval Petroleum Reserves (NPR) or became available for export as a result of an exchange of any NPR produced or derived commodities. License Requirements Reason for Control: SS Control(s): SS applies to entire entry. For licensing requirements (and possible License Exceptions) proceed directly to part 754 of the EAR. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for SS reasons List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading. 1C982 Other petroleum products listed in Supplement No. 1 to part 754 of the EAR that were produced or derived from the Naval Petroleum Reserves (NPR) or became available for export as a result of an exchange of any NPR produced or derived commodities. License Requirements Reason for Control: SS Control(s): SS applies to entire entry. For licensing requirements (and possible License Exceptions) proceed directly to part 754 of the EAR. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for SS reasons List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading 1C983 Natural gas liquids and other natural gas derivatives listed in Supplement No. 1 to part 754 of the EAR that were produced or derived from the Naval Petroleum Reserves (NPR) or became available for export as a result of an exchange of any NPR produced or derived commodities. License Requirements Reason for Control: SS Control(s): SS applies to entire entry. For licensing requirements (and possible License Exceptions) proceed directly to part 754 of the EAR. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for SS reasons. List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading 1C984 Manufactured gas and synthetic natural gas (except when commingled with natural gas and thus subject to export authorization from the Department of Energy) listed in Supplement No. 1 to part 754 of the EAR that were produced or derived from the Naval Petroleum Reserves (NPR) or became available for export as a result of an exchange of any NPR produced or derived commodities. License Requirements Reason for Control: SS Control(s): SS applies to entire entry. For licensing requirements (and possible License Exceptions) proceed directly to part 754 of the EAR. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for SS reasons List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading 1C988 Unprocessed western red cedar (thuja plicata) logs and timber, and rough, dressed and worked lumber containing wane, as described in § 754.4 of the EAR. License Requirements Reason for Control: SS Control(s): SS applies to entire entry. For licensing requirements (and possible License Exceptions) proceed directly to part 754 of the EAR. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for SS reasons List of Items Controlled Related Controls: N/A Related Definitions: For a non-exhaustive list of 10-digit Harmonized System-based Schedule B commodity numbers that may apply to unprocessed Western Red Cedar products subject to § 754.4 and related definitions, see Supplement No. 2 to part 754 of the EAR. Items: The list of items controlled is contained in the ECCN heading 1C990 Fibrous and filamentary materials, not controlled by 1C010 or 1C210, for use in “composite” structures and with a specific modulus of 3.18 × 10 6 m or greater and a specific tensile strength of 7.62 × 10 4 m or greater. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see supp. No. 1 to part 738) |
|---|---|
| CB applies to 1C991.c | CB Column 3. |
| AT applies to entire entry | AT Column 1. |
(a) Ricinus communis AgglutininII (RCAII), also known as ricin D, or Ricinus Communis LectinIII (RCLIII);
(b) Ricinus communis LectinIV (RCLIV), also known as ricin E; or
(c) Saxitoxin identified by C.A.S. #35523-89-8.
(2) The export of a “medical product” that is an “Investigational New Drug” (IND), as defined in 21 CFR 312.3, is subject to certain U.S. Food and Drug Administration (FDA) requirements that are independent of the export requirements specified in this ECCN or elsewhere in the EAR. These FDA requirements are described in 21 CFR 312.110 and must be satisfied in addition to any requirements specified in the EAR.
(3) Also see 21 CFR 314.410 for FDA requirements concerning exports of new drugs and new drug substances.
Related Definitions: For the purpose of this entry, 'immunotoxins' are monoclonal antibodies linked to a toxin with the intention of destroying a specific target cell while leaving adjacent cells intact. For the purpose of this entry, 'medical products' are: (1) Pharmaceutical formulations designed for testing and human (or veterinary) administration in the treatment of medical conditions, (2) prepackaged for distribution as clinical or medical products, and (3) approved by the U.S. Food and Drug Administration either to be marketed as clinical or medical products or for use as an “Investigational New Drug” (IND) (see 21 CFR part 312). For the purpose of this entry, 'diagnostic and food testing kits' are specifically developed, packaged and marketed for diagnostic or public health purposes. Biological toxins in any other configuration, including bulk shipments, or for any other end-uses are controlled by ECCN 1C351. For the purpose of this entry, 'vaccine' is defined as a medicinal (or veterinary) product in a pharmaceutical formulation, approved by the U.S. Food and Drug Administration or the U.S. Department of Agriculture to be marketed as a medical (or veterinary) product or for use in clinical trials, that is intended to stimulate a protective immunological response in humans or animals in order to prevent disease in those to whom or to which it is administered. Items: Technical Note:For purposes of the controls described in this ECCN, 'toxins' refers to those toxins, or their subunits, controlled under ECCN 1C351.d.
a. Vaccines containing, or designed for use against, items controlled by ECCN 1C351, 1C353 or 1C354.
b. Immunotoxins containing toxins controlled by 1C351.d;
c. Medical products that contain any of the following:
c.1. Toxins controlled by ECCN 1C351.d (except for botulinum toxins controlled by ECCN 1C351.d.3, conotoxins controlled by ECCN 1C351.d.6, or items controlled for CW reasons under ECCN 1C351.d.11 or .d.12); or
c.2. Genetically modified organisms or genetic elements controlled by ECCN 1C353.a.3 (except for those that contain, or code for, botulinum toxins controlled by ECCN 1C351.d.3 or conotoxins controlled by ECCN 1C351.d.6);
d. Medical products not controlled by 1C991.c that contain any of the following:
d.1. Botulinum toxins controlled by ECCN 1C351.d.3;
d.2. Conotoxins controlled by ECCN 1C351.d.6; or
d.3. Genetically modified organisms or genetic elements controlled by ECCN 1C353.a.3 that contain, or code for, botulinum toxins controlled by ECCN 1C351.d.3 or conotoxins controlled by ECCN 1C351.d.6;
e. Diagnostic and food testing kits containing toxins controlled by ECCN 1C351.d (except for items controlled for CW reasons under ECCN 1C351.d.11 or .d.12).
1C992 Commercial charges and devices containing energetic materials, n.e.s. and nitrogen trifluoride in a gaseous state (see List of Items Controlled). License Requirements Reason for Control: AT, RS, foreign policy| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| RS applies to entire entry | A license is required for items controlled by this entry for export or reexport to Iraq and transfer within Iraq for regional stability reasons. The Commerce Country Chart is not designed to determine RS license requirements for this entry. See §§ 742.6 and 746.3 of the EAR for additional information. |
| Russian industry sector sanctions apply to entire entry | See § 746.5 for specific license requirements and license review policy. |
a.1. Contain any formulation of controlled materials;
a.2. Have only a uniform shaped conical liner with an included angle of 90 degrees or less;
a.3. Contain more than 0.010 kg but less than or equal to 0.090 kg of controlled materials; and
a.4. Have a diameter not exceeding 4.5 inches;
b. Shaped charges “specially designed” for oil well operations containing less than or equal to 0.010 kg of controlled materials;
c. Detonation cord or shock tubes containing less than or equal to 0.064 kg per meter (300 grains per foot) of controlled materials;
d. Cartridge power devices, that contain less than or equal to 0.70 kg of controlled materials in the deflagration material;
e. Detonators (electric or nonelectric) and assemblies thereof, that contain less than or equal to 0.01 kg of controlled materials;
f. Igniters, that contain less than or equal to 0.01 kg of controlled materials;
g. Oil well cartridges, that contain less than or equal to 0.015 kg of controlled energetic materials;
h. Commercial cast or pressed boosters containing less than or equal to 1.0 kg of controlled materials;
i. Commercial prefabricated slurries and emulsions containing less than or equal to 10.0 kg and less than or equal to thirty-five percent by weight of USML controlled materials;
j. Cutters and severing tools containing less than or equal to 3.5 kg of controlled materials;
k. Pyrotechnic devices when designed exclusively for commercial purposes (e.g., theatrical stages, motion picture special effects, and fireworks displays) and containing less than or equal to 3.0 kg of controlled materials; or
l. Other commercial explosive devices and charges not controlled by 1C992.a through .k containing less than or equal to 1.0 kg of controlled materials.
Note:1C992.l includes automotive safety devices; extinguishing systems; cartridges for riveting guns; explosive charges for agricultural, oil and gas operations, sporting goods, commercial mining, or public works purposes; and delay tubes used in the assembly of commercial explosive devices.
m. Nitrogen trifluoride (NF3) in a gaseous state.
1C995 Mixtures not controlled by ECCN 1C350, ECCN 1C355 or ECCN 1C395 that contain chemicals controlled by ECCN 1C350 or ECCN 1C355 and medical, analytical, diagnostic, and food testing kits not controlled by ECCN 1C350 or ECCN 1C395 that contain chemicals controlled by ECCN 1C350.d, as follows (see List of Items controlled). License Requirements Reason for Control: AT, RS| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
| RS applies to entire entry. | A license is required for items controlled by this entry for export or reexport to Iraq or transfer within Iraq for regional stability reasons. The Commerce Country Chart is not designed to determine RS license requirements for this entry. See §§ 742.6 and 746.3 of the EAR for additional information. |
1. This ECCN does not control mixtures containing less than 0.5% of any single toxic or precursor chemical controlled by ECCN 1C350.b, .c, or .d or ECCN 1C355 as unavoidable by-products or impurities. Such mixtures are classified as EAR99.
2. 1C995.c does not control mixtures that contain precursor chemicals identified in 1C350.d in concentrations below the levels for mixtures indicated in 1C350.d. 1C995.a.2.b controls such mixtures, unless they are consumer goods as described in License Requirements Note 3 of this ECCN.
3. This ECCN does not control mixtures when the controlled chemicals are normal ingredients in consumer goods packaged for retail sale for personal use. Such consumer goods are classified as EAR99.
List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: 1. ECCN 1C350 controls mixtures containing 30 percent or higher concentrations of any single CWC Schedule 2 chemical identified in ECCN 1C350.b. ECCN 1C395 controls mixtures containing concentrations of more than 10 percent, but less than 30 percent, of any single CWC Schedule 2 chemical identified in ECCN 1C350.b. 2. ECCN 1C350 controls mixtures containing chemicals identified in ECCN 1C350.c or .d that exceed the concentration levels indicated in 1C995.a.2. 3. ECCN 1C355 controls mixtures containing chemicals identified in ECCN 1C355 that exceed the concentration levels indicated in 1C995.b. 4. ECCN 1C395 controls “medical, analytical, diagnostic, and food testing kits” (as defined in the Related Controls paragraph of this ECCN) that contain CWC Schedule 2 or 3 chemicals listed in 1C350.b or .c. ECCN 1C350 controls any such testing kits in which the amount of any single chemical listed in 1C350.b, .c., or .d exceeds 300 grams by weight. Related Definitions: For the purpose of this entry, “medical, analytical, diagnostic, and food testing kits” are pre-packaged materials of defined composition that are specifically developed, packaged and marketed for medical, analytical, diagnostic, or public health purposes. Replacement reagents for medical, analytical, diagnostic, and food testing kits described in 1C995.c are controlled by ECCN 1C350 if the reagents contain at least one of the precursor chemicals identified in that ECCN in concentrations equal to or greater than the control levels for mixtures indicated in 1C350.d. Items: a. Mixtures containing the following concentrations of precursor chemicals controlled by ECCN 1C350 (For controls on other mixtures containing these chemicals, see Notes 1 and 2 in the Related Controls paragraph of this ECCN.):a.1. Mixtures containing 10 percent or less, by weight, of any single CWC Schedule 2 chemical controlled by ECCN 1C350.b;
a.2. Mixtures containing less than 30 percent, by weight, of:
a.2.a. Any single CWC Schedule 3 chemical controlled by ECCN 1C350.c; or
a.2.b. Any single precursor chemical controlled by ECCN 1C350.d.
b. Mixtures containing the following concentrations of toxic or precursor chemicals controlled by ECCN 1C355 (For controls on other mixtures containing these chemicals, see Note 3 in the Related Controls paragraph of this ECCN.):
b.1. Mixtures containing the following concentrations of CWC Schedule 2 chemicals controlled by ECCN 1C355.a:
b.1.a. Mixtures containing 1 percent or less, by weight, of any single CWC Schedule 2 chemical controlled by ECCN 1C355.a.1 (i.e., mixtures containing PFIB); or
b.1.b. Mixtures containing 10 percent or less, by weight, of any single CWC Schedule 2 chemical controlled by 1C355.a.2;
b.2. Mixtures containing less than 30 percent, by weight, of any single CWC Schedule 3 chemical controlled by ECCN 1C355.b.
c. “Medical, analytical, diagnostic, and food testing kits” (as defined in the Related Definitions for this ECCN) that contain precursor chemicals controlled by ECCN 1C350.d in an amount not exceeding 300 grams per chemical. (For controls on other such test kits containing these and other controlled chemicals, see Note 4 in the Related Controls paragraph of this ECCN.)
1C996 Hydraulic fluids containing synthetic hydrocarbon oils, not controlled by 1C006, having all the following characteristics (see List of Items Controlled). License Requirements Reason for Control:AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
b. A pour point at 239 K (−-34 °C) or less;
c. A viscosity index of 75 or more; and
d. A thermal stability at 616 K (343 °C).
1C997 Ammonium Nitrate, Including Fertilizers and Fertilizer Blends Containing More Than 15% by Weight Ammonium Nitrate, Except Liquid Fertilizers (Containing Any Amount of Ammonium Nitrate) or Dry Fertilizers Containing Less Than 15% by Weight Ammonium Nitrate. License Requirements Reason for Control: AT, RS| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
| RS applies to entire entry. | A license is required for items controlled by this entry for export or reexport to Iraq or transfer within Iraq for regional stability reasons. The Commerce Country Chart is not designed to determine RS license requirements for this entry. See §§ 742.6 and 746.3 of the EAR for additional information. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
a.1 Polyether ether ketone (PEEK);
a.2. Polyether ketone ketone (PEKK);
a.3. Polyether ketone (PEK);
a.4. Polyether ketone ether ketone ketone (PEKEKK);
b. [Reserved]
1C999 Specific Materials, n.e.s., as Follows (See List of Items Controlled). License Requirements Reason for Control: AT, RS| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | A license is required for items controlled by this entry to North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to determine AT license requirements for this entry. See § 742.19 of the EAR for additional information. |
| RS applies to entire entry. | A license is required for items controlled by this entry for export or reexport to Iraq or transfer within Iraq for regional stability reasons. The Commerce Country Chart is not designed to determine RS license requirements for this entry. See §§ 742.6 and 746.3 of the EAR for additional information. |
b. 304 and 316 stainless steel plate, n.e.s.;
c. Monel plate;
d. Tributyl phosphate;
e. Nitric acid in concentrations of 20 weight percent or greater;
f. Fluorine;
g. Alpha-emitting radionuclides, n.e.s.
D. “Software” 1D001 “Software” “specially designed” or modified for the “development”, “production” or “use” of equipment controlled by 1B001 to 1B003. License Requirements Reason for Control: NS, MT, NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| MT applies to “software” for the “development,” “production,” operation, or maintenance of items controlled by 1B001 for MT reasons | MT Column 1 |
| NP applies to “software” for the “development”, “production” or “use” of items controlled by 1B001 for NP reasons | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2. |
| RS applies to software for equipment controlled by 1A004.d | RS Column 2. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| MT applies to “software” for the “development”, “production”, operation, or maintenance of items controlled by 1B018 for MT reasons | |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry | See § 746.1(b) for UN controls. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1. |
| NP applies to “software” for the “use” of items controlled by 1B101.a | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 2 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to Part 738) |
|---|---|
| NS applies to entire entry, except “software” for 1C607.a.10, .a.11, .a.12, and .a.14 | NS Column 1. |
| RS applies to entire entry | RS Column 1. |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry | See § 746.1(b) for UN controls. |
b. [Reserved]
1D608 “Software” “specially designed” for the “development,” “production,” operation, or maintenance of commodities controlled by 1B608 or 1C608 (see List of Items Controlled). License Requirements Reason for Control: NS, RS, MT, AT, UN| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| MT applies to “software” “specially designed” for the “use” of 1B608 equipment in the “production” and handling of materials controlled by 1C608.m or MT articles in USML Category V | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. [Reserved]
1D613 “Software” “specially designed” for the “development,” “production,” operation, or maintenance of commodities controlled by 1A613 or 1B613, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry except 1D613.y | NS Column 1. |
| RS applies to entire entry except 1D613.y | RS Column 1. |
| RS applies to 1D613.y | China, Russia, or Venezuela (see § 742.6(a)(7)). |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry, except 1D613.y | See § 746.1(b) for UN controls. |
a. “Software” (other than “software” controlled in paragraph .y of this entry) “specially designed” for the “development,” “production,” operation, or maintenance of commodities controlled by ECCNs 1A613 (except 1A613.y) or 1B613 (except 1B613.y).
b. to x. [Reserved]
y. Specific “software” “specially designed” for the “production,” “development,” operation, or maintenance of commodities controlled by ECCN 1A613.y.
1D993 “Software” “specially designed” for the “development,” “production” or “use” of materials controlled by 1C210.b, or 1C990. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
b. Software “specially designed” for equipment for the production of structural composites, fibers, prepregs and preforms controlled by 1B999, n.e.s.
E. “Technology” 1E001 “Technology” according to the General Technology Note for the “development” or “production” of items controlled by 1A002, 1A003, 1A004, 1A005, 1A006.b, 1A007, 1A008, 1A101, 1A231, 1B (except 1B608, 1B613 or 1B999), or 1C (except 1C355, 1C608, 1C980 to 1C984, 1C988, 1C990, 1C991, 1C995 to 1C999). License Requirements Reason for Control: NS, MT, NP, CB, RS, AT| Control(s) | Country chart (see supp. No. 1 to part 738) |
|---|---|
| NS applies to “technology” for items controlled by 1A002, 1A003, 1A005, 1A006.b, 1A007, 1B001 to 1B003, 1B018, 1C001 to 1C011, or 1C018 | NS Column 1 |
| NS applies to “technology” for items controlled by 1A004 | NS Column 2 |
| MT applies to “technology” for items controlled by 1A101, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001, 1C007, 1C011, 1C101, 1C102, 1C107, 1C111, 1C116, 1C117, or 1C118 for MT reasons | MT Column 1 |
| NP applies to “technology” for items controlled by 1A002, 1A007, 1A231, 1B001, 1B101, 1B201, 1B225, 1B226, 1B228 to 1B234, 1C002, 1C010, 1C111, 1C116, 1C202, 1C210, 1C216, 1C225 to 1C237, or 1C239 to 1C241 for NP reasons | NP Column 1 |
| CB applies to “technology” for items controlled by 1C351, 1C353, or 1C354 | CB Column 1 |
| CB applies to “technology” for materials controlled by 1C350 and for chemical detection systems and dedicated detectors therefor, in 1A004.c, that also have the technical characteristics described in 2B351.a | CB Column 2 |
| RS applies to technology for equipment controlled in 1A004.d | RS Column 2 |
| AT applies to entire entry | AT Column 1 |
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) TSR: Yes, except for the following:(1) Items controlled for MT reasons; or
(2) Exports and reexports to destinations outside of those countries listed in Country Group A:5 (See Supplement No. 1 to part 740 of the EAR) of “technology” for the “development” or production” of the following:
(a) Items controlled by 1C001; or
(b) Items controlled by 1A002.a which are composite structures or laminates having an organic “matrix” and being made from materials listed under 1C010.c or 1C010.d.
Special Conditions for STA STA: License Exception STA may not be used to ship or transmit “technology” according to the General Technology Note for the “development” or “production” of equipment and materials specified by ECCNs 1A002, 1C001, 1C007.c or d, 1C010.c or d or 1C012 to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR). List of Items Controlled Related Controls (1) Also see ECCNs 1E101, 1E201, and 1E202. (2) See ECCN 1E608 for “technology” for items classified under ECCN 1B608 or 1C608 that, immediately prior to July 1, 2014, were classified under ECCN 1B018.a or 1C018.b through .m (note that ECCN 1E001 controls “development” and “production” “technology” for chlorine trifluoride controlled by ECCN 1C111.a.3.f - see ECCN 1E101 for controls on “use” “technology” for chlorine trifluoride). (3) See ECCN 1E002.g for control libraries (parametric technical databases) “specially designed” or modified to enable equipment to perform the functions of equipment controlled under ECCN 1A004.c (Nuclear, biological and chemical (NBC) detection systems) or ECCN 1A004.d (Equipment for detecting or identifying explosives residues). (4) “Technology” for lithium isotope separation (see related ECCN 1B233) and “technology” for items described in ECCN 1C012 are subject to the export licensing authority of the Department of Energy (see 10 CFR part 810). (5) “Technology” for items described in ECCN 1A102 is “subject to the ITAR” (see 22 CFR parts 120 through 130). Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading. 1E002 Other “technology” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, MT, NP, AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry, except 1E002.g | NS Column 1 |
| NS applies to 1E002.g | NS Column 2 |
| MT applies to 1E002.e | MT Column 1 |
| NP applies to “technology” for items controlled by 1A002 for NP reasons | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
License Exception TSU is not applicable for the repair “technology” controlled by 1E002.e or .f, see supplement no. 2 to this part.
Special Conditions for STA STA: License Exception STA may not be used to ship or transmit any item in 1E002.e or .f to any of the destinations listed in Country Group A:6 (See Supplement No. 1 to part 740 of the EAR). List of Items Controlled Related Controls: See also 1E001, 1E101,1E102, 1E202, and 1E994 for “technology” related to 1E002.e or .f. Related Definitions: N/A Items: a. “Technology” for the “development” or “production” of polybenzothiazoles or polybenzoxazoles;b. “Technology” for the “development” or “production” of fluoroelastomer compounds containing at least one vinylether monomer;
c. “Technology” for the design or “production” of the following ceramic powders or non-“composite” ceramic materials:
c.1. Ceramic powders having all of the following:
c.1.a. Any of the following compositions:
c.1.a.1. Single or complex oxides of zirconium and complex oxides of silicon or aluminum;
c.1.a.2. Single nitrides of boron (cubic crystalline forms);
c.1.a.3. Single or complex carbides of silicon or boron; or
c.1.a.4. Single or complex nitrides of silicon;
c.1.b. Any of the following total metallic impurities (excluding intentional additions):
c.1.b.1. Less than 1,000 ppm for single oxides or carbides; or
c.1.b.2. Less than 5,000 ppm for complex compounds or single nitrides; and
c.1.c. Being any of the following:
c.1.c.1. Zirconia (CAS 1314-23-4) with an average particle size equal to or less than 1 µm and no more than 10% of the particles larger than 5 µm; or
c.1.c.2. Other ceramic powders with an average particle size equal to or less than 5 µm and no more than 10% of the particles larger than 10 µm;
c.2. Non-“composite” ceramic materials composed of the materials described in 1E002.c.1;
Note:1E002.c.2 does not control “technology” for abrasives.
d. [Reserved]
e. “Technology” for the installation, maintenance or repair of materials controlled by 1C001;
f. “Technology” for the repair of “composite” structures, laminates or materials controlled by 1A002 or 1C007.c;
Note:1E002.f does not control “technology” for the repair of “civil aircraft” structures using carbon “fibrous or filamentary materials” and epoxy resins, contained in “aircraft” manufacturers' manuals.
g. “Libraries” “specially designed” or modified to enable equipment to perform the functions of equipment controlled under 1A004.c or 1A004.d.
1E101 “Technology”, in accordance with the General Technology Note, for the “use” of commodities and “software” controlled by 1A101, 1A102, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001, 1C007, 1C011, 1C101, 1C107, 1C111, 1C116, 1C117, 1C118, 1D001, 1D101, or 1D103. License Requirements Reason for Control: MT, NP, AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to “technology” for commodities and software controlled by 1A101, 1A102, 1B001, 1B101, 1B102, 1B115 to 1B119, 1C001, 1C007, 1C011, 1C101, 1C107, 1C111, 1C116, 1C117, 1C118, 1D001, 1D101, or 1D103 for MT reasons | MT Column 1 |
| NP applies to “technology” for items controlled by 1B001, 1B101, 1C111, 1C116, 1D001, or 1D101 for NP reasons | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1. |
| NP applies to “technology” for items controlled by 1D001 and 1D101 for NP reasons | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry, for items controlled for NP reasons | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 2 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CB applies to “technology” for items controlled by 1C351, 1C353, or 1C354 | CB Column 1. |
| CB applies to “technology” for the disposal of items controlled by 1C350 | CB Column 2. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CW applies to entire entry. A license is required for CW reasons to CWC non-States Parties (destinations not listed in Supplement No. 2 to part 745), except for Israel and Taiwan. See § 742.18 of the EAR. The Commerce Country Chart is not designed to determine licensing requirements for items controlled for CW reasons | |
| AT applies to the entire entry | AT Column 1 |
a.1. PFIB: 1,1,3,3,3-Pentafluoro-2-(trifluoromethyl)-1-propene (382-21-8);
a.2. [Reserved]
b. Technology for the production of the following CWC Schedule 3 toxic chemicals:
b.1. Phosgene: Carbonyl dichloride (75-44-5);
b.2. Cyanogen chloride (506-77-4);
b.3. Hydrogen cyanide (74-90-8).
1E607 “Technology” “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of items controlled by ECCN 1A607, 1B607, 1C607, or 1D607 (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to Part 738) |
|---|---|
| NS applies to entire entry, except “technology” for 1C607.a.10, .a.11, .a.12, and .a.14 and for 1D607 “software” therefor | NS Column 1. |
| RS applies to entire entry | RS Column 1. |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry | See § 746.1(b) for UN controls. |
ECCN 1E607.a includes “technology” “required” exclusively for the incorporation of “biocatalysts” controlled by ECCN 1C607.c.1 into military carrier substances or military material.
b. [Reserved]
1E608 “Technology” “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of equipment controlled in 1B608 or materials controlled by 1C608 (see List of Items Controlled). License Requirements Reason for Control: NS, RS, MT, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| MT applies to “technology” “required” for 1C608.m | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. “Technology” “required” for the “development” or “production” of nitrocellulose with nitrogen content over 12.6% and at rates greater than 2000 pounds per hour.
c. “Technology” “required” for the “development” or “production” of nitrate esters (e.g., nitroglycerine) at rates greater than 2000 pounds per hour.
1E613 “Technology” “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of commodities controlled by 1A613 or 1B613 or “software” controlled by 1D613, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry except 1E613.y | NS Column 1. |
| RS applies to entire entry except 1E613.y | RS Column 1. |
| RS applies to 1E613.y | China, Russia, or Venezuela (see § 742.6(a)(7)). |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry, except 1E613.y | See § 746.1(b) for UN controls. |
a. “Technology” (other than “technology” controlled by paragraph .y of this entry) “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of commodities or “software” controlled by ECCNs 1A613 (except 1A613.y), 1B613 or 1D613 (except 1D613.y).
b. through x. [Reserved]
y. Specific “technology” “required” for the “production,” “development,” operation, installation, maintenance, repair, overhaul, or refurbishing of commodities or software controlled by ECCN 1A613.y or 1D613.y.
1E994 “Technology” for the “development”, “production”, or “use” of fibrous and filamentary materials controlled by 1C990. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
1. ADNBF (aminodinitrobenzofuroxan or 7-amino-4,6-dinitrobenzofurazane-1-oxide) (CAS 97096-78-1);
2. BNCP (cis-bis (5-nitrotetrazolato) tetra amine-cobalt (III) perchlorate) (CAS 117412-28-9);
3. CL-14 (diamino dinitrobenzofuroxan or 5,7-diamino-4,6-dinitrobenzofurazane-1-oxide) (CAS 117907-74-1);
4. CL-20 (HNIW or Hexanitrohexaazaisowurtzitane) (CAS 135285-90-4); chlathrates of CL-20;
5. CP (2-(5-cyanotetrazolato) penta amine-cobalt (III) perchlorate) (CAS 70247-32-4);
6. DADE (1,1-diamino-2,2-dinitroethylene, FOX-7) (CAS 145250-81-3);
7. DATB (diaminotrinitrobenzene) (CAS 1630-08-6);
8. DDFP (1,4-dinitrodifurazanopiperazine);
9. DDPO (2,6-diamino-3,5-dinitropyrazine-1-oxide, PZO) (CAS 194486-77-6);
10. DIPAM (3,3′-diamino-2,2′,4,4′,6,6′-hexanitrobiphenyl or dipicramide) (CAS 17215-44-0);
11. DNGU (DINGU or dinitroglycoluril) (CAS 55510-04-8);
12. Furazans as follows:
a. DAAOF (diaminoazoxyfurazan);
b. DAAzF (diaminoazofurazan) (CAS 78644-90-3);
13. HMX and derivatives, as follows:
a. HMX (Cyclotetramethylenetetranitramine, octahydro-1,3,5,7-tetranitro-1,3,5,7-tetrazine, 1,3,5,7-tetranitro-1,3,5,7-tetraza-cyclooctane, octogen or octogene) (CAS 2691-41-0);
b. difluoroaminated analogs of HMX;
c. K-55 (2,4,6,8-tetranitro-2,4,6,8-tetraazabicyclo [3,3,0]-octanone-3, tetranitrosemiglycouril or keto-bicyclic HMX) (CAS 130256-72-3);
14. HNAD (hexanitroadamantane) (CAS 143850-71-9);
15. HNS (hexanitrostilbene) (CAS 20062-22-0);
16. Imidazoles as follows:
a. BNNII (Octahydro-2,5-bis(nitroimino)imidazo [4,5-d]imidazole);
b. DNI (2,4-dinitroimidazole) (CAS 5213-49-0);
c. FDIA (1-fluoro-2,4-dinitroimidazole);
d. NTDNIA (N-(2-nitrotriazolo)-2,4-dinitroimidazole);
e. PTIA (1-picryl-2,4,5-trinitroimidazole);
17. NTNMH (1-(2-nitrotriazolo)-2-dinitromethylene hydrazine);
18. NTO (ONTA or 3-nitro-1,2,4-triazol-5-one) (CAS 932-64-9);
19. Polynitrocubanes with more than four nitro groups;
20. PYX (2,6-Bis(picrylamino)-3,5-dinitropyridine) (CAS 38082-89-2);
21. RDX and derivatives, as follows:
a. RDX (cyclotrimethylenetrinitramine, cyclonite, T4, hexahydro-1,3,5-trinitro-1,3,5-triazine, 1,3,5-trinitro-1,3,5-triaza-cyclohexane, hexogen or hexogene) (CAS 121-82-4);
b. Keto-RDX (K-6 or 2,4,6-trinitro-2,4,6-triazacyclohexanone) (CAS 115029-35-1);
22. TAGN (triaminoguanidinenitrate) (CAS 4000-16-2);
23. TATB (triaminotrinitrobenzene) (CAS 3058-38-6);
24. TEDDZ (3,3,7,7-tetrabis(difluoroamine) octahydro-1,5-dinitro-1,5-diazocine);
25. Tetrazoles as follows:
a. NTAT (nitrotriazol aminotetrazole);
b. NTNT (1-N-(2-nitrotriazolo)-4-nitrotetrazole);
26. Tetryl (trinitrophenylmethylnitramine) (CAS 479-45-8);
27. TNAD (1,4,5,8-tetranitro-1,4,5,8-tetraazadecalin) (CAS 135877-16-6);
28. TNAZ (1,3,3-trinitroazetidine) (CAS 97645-24-4);
29. TNGU (SORGUYL or tetranitroglycoluril) (CAS 55510-03-7);
30. TNP (1,4,5,8-tetranitro-pyridazino[4,5-d]pyridazine) (CAS 229176-04-9);
31. Triazines as follows:
a. DNAM (2-oxy-4,6-dinitroamino-s-triazine) (CAS 19899-80-0);
b. NNHT (2-nitroimino-5-nitro-hexahydro-1,3,5-triazine) (CAS 130400-13-4);
32. Triazoles as follows:
a. 5-azido-2-nitrotriazole;
b. ADHTDN (4-amino-3,5-dihydrazino-1,2,4-triazole dinitramide) (CAS 1614-08-0);
c. ADNT (1-amino-3,5-dinitro-1,2,4-triazole);
d. BDNTA ((bis-dinitrotriazole)amine);
e. DBT (3,3′-dinitro-5,5-bi-1,2,4-triazole) (CAS 30003-46-4);
f. DNBT (dinitrobistriazole) (CAS 70890-46-9);
g. [Reserved]
h. NTDNT (1-N-(2-nitrotriazolo) 3,5-dinitrotriazole);
i. PDNT (1-picryl-3,5-dinitrotriazole);
j. TACOT (tetranitrobenzotriazolobenzotriazole) (CAS 25243-36-1);
33. “Explosives” not listed elsewhere in this list having a detonation velocity exceeding 8,700 m/s, at maximum density, or a detonation pressure exceeding 34 GPa (340 kbar);
34. [Reserved]
35. Nitrocellulose (containing more than 12.5% nitrogen) (CAS 9004-70-0);
36. Nitroglycol (CAS 628-96-6);
37. Pentaerythritol tetranitrate (PETN) (CAS 78-11-5);
38. Picryl chloride (CAS 88-88-0);
39. 2,4,6 Trinitrotoluene (TNT) (CAS 118-96-7);
40. Nitroglycerine (NG) (CAS 55-63-0);
41. Triacetone Triperoxide (TATP) (CAS 17088-37-8);
42. Guanidine nitrate (CAS 506-93-4);
43. Nitroguanidine (NQ) (CAS 556-88-7);
44. DNAN (2,4-dinitroanisole) (CAS 119-27-7);
45. TEX (4,10-Dinitro-2,6,8,12-tetraoxa-4,10-diazaisowurtzitane);
46. GUDN (Guanylurea dinitramide) FOX-12 (CAS 217464-38-5);
47. Tetrazines as follows:
a. BTAT (Bis(2,2,2-trinitroethyl)-3,6-diaminotetrazine);
b. LAX-112 (3,6-diamino-1,2,4,5-tetrazine-1,4-dioxide);
48. Energetic ionic materials melting between 343 K (70 °C) and 373 K (100 °C) and with detonation velocity exceeding 6,800 m/s or detonation pressure exceeding 18 GPa (180 kbar);
49. BTNEN (Bis(2,2,2-trinitroethyl)-nitramine) (CAS 19836-28-3);
50. FTDO (5,6-(3′,4′-furazano)-1,2,3,4-tetrazine-1,3-dioxide).
Category 2 - Materials Processing Note:For quiet running bearings, see the U.S. Munitions List.
A. “End Items”, “Equipment”, “Accessories”, “Attachments”, “Parts”, “Components” and “Systems” 2A001 Anti-Friction Bearings and Bearing Systems, as Follows, (See List of Items Controlled) and “Components” Therefor. License Requirements Reason for Control: NS, MT, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| MT applies to radial ball bearings having all tolerances specified in accordance with ISO 492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9, or other national equivalents) or better and having all the following characteristics: an inner ring bore diameter between 12 and 50 mm; an outer ring outside diameter between 25 and 100 mm; and a width between 10 and 20 mm | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
2A001.a includes ball bearing and roller elements “specially designed” for the items specified therein.
Note 2:2A001 does not control balls with tolerances specified by the manufacturer in accordance with ISO 3290:2001 as grade G5 (or national equivalents) or worse.
a. Ball bearings and solid roller bearings, having all tolerances specified by the manufacturer in accordance with ISO 492 Tolerance Class 2 or Class 4 (or national equivalents), or better, and having both 'rings' and 'rolling elements', made from monel or beryllium;
Note:2A001.a does not control tapered roller bearings.
Technical Notes:1. 'Ring' - annular part of a radial rolling bearing incorporating one or more raceways (ISO 5593:1997).
2. 'Rolling element' - ball or roller which rolls between raceways (ISO 5593:1997).
b. [Reserved]
c. Active magnetic bearing systems using any of the following:
c.1. Materials with flux densities of 2.0 T or greater and yield strengths greater than 414 MPa;
c.2. All-electromagnetic 3D homopolar bias designs for actuators; or
c.3. High temperature (450 K (177 °C) and above) position sensors.
2A101 Radial Ball Bearings Having all Tolerances Specified in Accordance With ISO 492 Tolerance Class 2 (or ANSI/ABMA Std 20 Tolerance Class ABEC-9 or Other National Equivalents), or Better and Having all the Following Characteristics (see List of Items Controlled). License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1. |
| AT applies to entire entry | AT Column 1. |
b. An outer ring outside diameter between 25 and 100 mm; and
c. A width between 10 and 20 mm.
2A225 Crucibles made of materials resistant to liquid actinide metals (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. A volume of between 150 cm 3 (150 ml) and 8,000 cm 3 (8 liters); and
a.2. Made of, or coated with, any of the following materials, or combination of the following materials, having an overall impurity level of 2% or less by weight:
a.2.a. Calcium fluoride (CaF2);
a.2.b. Calcium zirconate (metazirconate) (CaZrO3);
a.2.c. Cerium sulfide (Ce2S3);
a.2.d. Erbium oxide (erbia) (Er2O3);
a.2.e. Hafnium oxide (hafnia) (HfO2);
a.2.f. Magnesium oxide (MgO);
a.2.g. Nitrided niobium-titanium-tungsten alloy (approximately 50% Nb, 30% Ti, 20% W);
a.2.h. Yttrium oxide (yttria) (Y2O3); or
a.2.i. Zirconium oxide (zirconia) (ZrO2);
b. Crucibles having both of the following characteristics:
b.1. A volume of between 50 cm 3 (50 ml) and 2,000 cm 3 (2 liters); and
b.2. Made of or lined with tantalum, having a purity of 99.9% or greater by weight;
c. Crucibles having all of the following characteristics:
c.1. A volume of between 50 cm 3 (50 ml) and 2,000 cm 3 (2 liters);
c.2. Made of or lined with tantalum, having a purity of 98% or greater by weight; and
c.3. Coated with tantalum carbide, nitride, boride, or any combination thereof.
2A226 Valves having all of the following characteristics (see List of Items Controlled). License Requirements Reason for Control:NP, CB, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1. |
| CB applies to valves that also meet or exceed the technical parameters in 2B350.g | CB Column 2. |
| AT applies to entire entry | AT Column 1. |
b. Having a bellows seal; and
c. Wholly made of or lined with aluminum, aluminum alloy, nickel, or nickel alloy containing more than 60% nickel by weight.
2A290 Generators and other equipment “specially designed”, prepared, or intended for use with nuclear plants. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 2 |
| AT applies to entire entry | AT Column 1 |
b. Process control systems intended for use with the equipment controlled by 2A290.a.
2A291 Equipment, except items controlled by 2A290, related to nuclear material handling and processing and to nuclear reactors, and “parts,” “components” and “accessories” therefor (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 2 |
| AT applies to entire entry | AT Column 1 |
b. Simulators “specially designed” for “nuclear reactors”.
c. Casks that are “specially designed” for transportation of high-level radioactive material and that weigh more than 1,000 kg.
d. Commodities, “parts,” “components” and “accessories” “specially designed” or prepared for use with nuclear plants (e.g., snubbers, airlocks, pumps, reactor fuel charging and discharging equipment, containment equipment such as hydrogen recombiner and penetration seals, and reactor and fuel inspection equipment, including ultrasonic or eddy current test equipment).
e. Radiation detectors and monitors “specially designed” for detecting or measuring “special nuclear material” (as defined in 10 CFR part 110) or for nuclear reactors.
Technical Notes:1. 2A291.e does not control neutron flux detectors and monitors. These are subject to the export licens ing authority of the Nuclear Regulatory Commission, pursuant to 10 CFR part 110.
2. 2A291.e does not control general purpose radiation detection equipment, such as geiger counters and dosimeters. These items are controlled by ECCN 1A999.
2A983 Explosives or detonator detection equipment, both bulk and trace based, consisting of an automated device, or combination of devices for automated decision making to detect the presence of different types of explosives, explosive residue, or detonators; and “parts” and “components,” n.e.s. License Requirements Reason for Control:RS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| RS applies to entire entry | RS Column 2 |
| AT applies to entire entry | AT Column 1 |
(2) Explosives and detonators include commercial charges and devices controlled by 1C018 and 1C992 and energetic materials controlled by ECCNs 1C011, 1C111, 1C239 and 22 CFR 121.1 Category V.
Items: Note:Explosives or detonation detection equipment in 2A983 includes equipment for screening people, documents, baggage, other personal effects, cargo and/or mail.
a. Explosives detection equipment for automated decision making to detect and identify bulk explosives utilizing, but not limited to, x-ray (e.g., computed tomography, dual energy, or coherent scattering), nuclear (e.g., thermal neutron analysis, pulse fast neutron analysis, pulse fast neutron transmission spectroscopy, and gamma resonance absorption), or electromagnetic techniques (e.g., quadropole resonance and dielectrometry).
b. [Reserved]
c. Detonator detection equipment for automated decision making to detect and identify initiation devices (e.g. detonators, blasting caps) utilizing, but not limited to, x-ray (e.g. dual energy or computed tomography) or electromagnetic techniques.
2A984 Concealed object detection equipment operating in the frequency range from 30 GHz to 3000 GHz and having a spatial resolution of 0.1 milliradian up to and including 1 milliradian at a standoff distance of 100 meters; and “parts” and “components,” n.e.s. License Requirements Reason for Control: RS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| RS applies to entire entry | RS Column 2. |
| AT applies to entire entry | AT Column 1. |
Concealed object detection equipment includes but is not limited to equipment for screening people, documents, baggage, other personal effects, cargo and/or mail.
Technical Note:The range of frequencies span what is generally considered as the millimeter-wave, submillimeter-wave and terahertz frequency regions.
2A991 Bearings and bearing systems not controlled by 2A001 (see List of Items Controlled). License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
a.1. Manufactured for use at operating temperatures above 573 K (300 °C) either by using special materials or by special heat treatment; or
a.2. With lubricating elements or “part” or “component” modifications that, according to the manufacturer's specifications, are “specially designed” to enable the bearings to operate at speeds exceeding 2.3 million DN.
b. Solid tapered roller bearings, having tolerances specified by the manufacturer in accordance with ANSI/AFBMA Class 00 (inch) or Class A (metric) or better (or equivalents) and having either of the following characteristics.
b.1. With lubricating elements or “part” or “component” modifications that, according to the manufacturer's specifications, are “specially designed” to enable the bearings to operate at speeds exceeding 2.3 million DN; or
b.2. Manufactured for use at operating temperatures below 219 K (−54 °C) or above 423 K (150 °C).
c. Gas-lubricated foil bearing manufactured for use at operating temperatures of 561 K (288 °C) or higher and a unit load capacity exceeding 1 MPa.
d. Active magnetic bearing systems.
e. Fabric-lined self-aligning or fabric-lined journal sliding bearings manufactured for use at operating temperatures below 219 K (−54 °C) or above 423 K (150 °C).
2A992 Piping, fittings and valves made of, or lined with stainless, copper-nickel alloy or other alloy steel containing 10% or more nickel and/or chromium. License Requirements Reason for Control: AT| Control(s) | Country chart (see supp. no. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
b. Pipe valves having all of the following characteristics that are not controlled by ECCN 2B350.g:
b.1. A pipe size connection of 200 mm (8 in.) or more inside diameter; and
b.2. Rated at 10.3 MPa (1,500 psi) or more.
2A993 Pumps designed to move molten metals by electromagnetic forces. License Requirements Reason for Control: AT| Control(s) | Country chart (see supp. no. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
b. Reserved.
B. “Test”, “Inspection” and “Production Equipment” Technical Notes for 2B001 to 2B009, 2B201, and 2B991 to 2B999:1. Secondary parallel contouring axes, (e.g., the w-axis on horizontal boring mills or a secondary rotary axis the center line of which is parallel to the primary rotary axis) are not counted in the total number of contouring axes. Rotary axes need not rotate over 360°. A rotary axis can be driven by a linear device (e.g., a screw or a rack-and-pinion).
2. The number of axes which can be coordinated simultaneously for “contouring control” is the number of axes along or around which, during processing of the workpiece, simultaneous and interrelated motions are performed between the workpiece and a tool. This does not include any additional axes along or around which other relative motions within the machine are performed, such as:
2.a. Wheel-dressing systems in grinding machines;
2.b. Parallel rotary axes designed for mounting of separate workpieces;
2.c. Co-linear rotary axes designed for manipulating the same workpiece by holding it in a chuck from different ends.
3. Axis nomenclature shall be in accordance with International Standard ISO 841:2001, Industrial automation systems and integration - Numerical control of machines - Coordinate system and motion nomenclature.
4. A “tilting spindle” is counted as a rotary axis.
5. 'Stated “unidirectional positioning repeatability” ' may be used for each specific machine model as an alternative to individual machine tests, and is determined as follows:
5.a. Select five machines of a model to be evaluated;
5.b. Measure the linear axis repeatability (R↑,R↓) according to ISO 230-2:2014 and evaluate “unidirectional positioning repeatability” for each axis of each of the five machines;
5.c. Determine the arithmetic mean value of the ”unidirectional positioning repeatability”-values for each axis of all five machines together. These arithmetic mean values “unidirectional positioning repeatability” (UPR) become the stated value of each axis for the model...) (UPRX, UPRy, . . .);
5.d. Since the Category 2 list refers to each linear axis there will be as many 'stated “unidirectional positioning repeatability” ' values as there are linear axes;
5.e. If any axis of a machine model not controlled by 2B001.a. to 2B001.c. has a 'stated “unidirectional positioning repeatability” ' equal to or less than the specified “unidirectional positioning repeatability” of each machine tool model plus 0.7 µm, the builder should be required to reaffirm the accuracy level once every eighteen months.
6. For the purpose of 2B, measurement uncertainty for the “unidirectional positioning repeatability” of machine tools, as defined in the International Standard ISO 230-2:2014, shall not be considered.
7. For the purpose of 2B, the measurement of axes shall be made according to test procedures in 5.3.2. of ISO 230-2:2014. Tests for axes longer than 2 meters shall be made over 2 m segments. Axes longer than 4 m require multiple tests (e.g., two tests for axes longer than 4 m and up to 8 m, three tests for axes longer than 8 m and up to 12 m), each over 2 m segments and distributed in equal intervals over the axis length. Test segments are equally spaced along the full axis length, with any excess length equally divided at the beginning, in between, and at the end of the test segments. The smallest “unidirectional positioning repeatability”-value of all test segments is to be reported.
2B001 Machine tools and any combination thereof, for removing (or cutting) metals, ceramics or “composites”, which, according to the manufacturer's technical specifications, can be equipped with electronic devices for “numerical control”; as follows (see List of Items Controlled). License Requirements Reason for Control: NS, NP, AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2. |
| NP applies to 2B001.a, .b, .c, and .d, EXCEPT: | NP Column 1. |
| (1) turning
machines under 2B001.a with a capacity no greater than 35 mm
diameter; (2) bar machines (Swissturn), limited to machining only
bar feed through, if maximum bar diameter is equal to or less than
42 mm and there is no capability of mounting chucks. (Machines may
have drilling and/or milling capabilities for machining “parts” or
“components” with diameters less than 42 mm); or (3) milling machines under 2B001.b with x-axis travel greater than two meters and overall positioning accuracy according to ISO 230/2 (2006) on the x-axis more (worse) than 22.5 µm. |
|
| AT applies to entire entry | AT Column 1. |
2B001 does not control special purpose machine tools limited to the manufacture of gears. For such machines, see 2B003.
Note 2:2B001 does not control special purpose machine tools limited to the manufacture of any of the following:
a. Crank shafts or cam shafts;
b. Tools or cutters;
c. Extruder worms;
d. Engraved or faceted jewelry parts; or
e. Dental prostheses.
Note 3:A machine tool having at least two of the three turning, milling or grinding capabilities (e.g., a turning machine with milling capability), must be evaluated against each applicable entry 2B001.a, .b or .c.
Note 4:A machine tool having an additive manufacturing capability in addition to a turning, milling or grinding capability must be evaluated against each applicable entry 2B001.a, .b or .c.
a. Machine tools for turning having two or more axes which can be coordinated simultaneously for “contouring control” having any of the following:
a.1. “Unidirectional positioning repeatability” equal to or less (better) than 0.9 µm along one or more linear axis with a travel length less than 1.0 m; or
a.2. “Unidirectional positioning repeatability” equal to or less (better) than 1.1 µm along one or more linear axis with a travel length equal to or greater than 1.0 m;
Note 1:2B001.a does not control turning machines “specially designed” for producing contact lenses, having all of the following:
a. Machine controller limited to using ophthalmic based “software” for part programming data input; and
b. No vacuum chucking.
Note 2:2B001.a does not apply to bar machines (Swissturn), limited to machining only bar feed thru, if maximum bar diameter is equal to or less than 42 mm and there is no capability of mounting chucks. Machines may have drilling or milling capabilities for machining parts with diameters less than 42 mm.
b. Machine tools for milling having any of the following:
b.1. Three linear axes plus one rotary axis which can be coordinated simultaneously for “contouring control” having any of the following:
b.1.a. “Unidirectional positioning repeatability” equal to or less (better) than 0.9 µm along one or more linear axis with a travel length less than 1.0 m; or
b.1.b. “Unidirectional positioning repeatability” equal to or less (better) than 1.1 µm along one or more linear axis with a travel length equal to or greater than 1.0 m;
b.2. Five or more axes which can be coordinated simultaneously for “contouring control” having any of the following:
b.2.a. “Unidirectional positioning repeatability” equal to or less (better) than 0.9 µm along one or more linear axis with a travel length less than 1.0 m;
b.2.b. “Unidirectional positioning repeatability” equal to or less (better) than 1.4 µm along one or more linear axis with a travel length equal to or greater than 1 m and less than 4 m; or
b.2.c. “Unidirectional positioning repeatability” equal to or less (better) than 6.0 µm along one or more linear axis with a travel length equal to or greater than 4 m;
b.3. A “unidirectional positioning repeatability” for jig boring machines, equal to or less (better) than 1.1 µm along one or more linear axis; or
b.4. Fly cutting machines having all of the following:
b.4.a. Spindle “run-out” and “camming” less (better) than 0.0004 mm TIR; and
b.4.b. Angular deviation of slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over 300 mm of travel;
c. Machine tools for grinding having any of the following:
c.1. Having all of the following:
c.1.a. “Unidirectional positioning repeatability” equal to or less (better) than 1.1 µm along one or more linear axis; and
c.1.b. Three or four axes which can be coordinated simultaneously for “contouring control”; or
c.2. Five or more axes which can be coordinated simultaneously for “contouring control” having any of the following:
c.2.a. “Unidirectional positioning repeatability” equal to or less (better) than 1.1 µm along one or more linear axis with a travel length less than 1m;
c.2.b. “Unidirectional positioning repeatability” equal to or less (better) than 1.4 µm along one or more linear axis with a travel length equal to or greater than 1 m and less than 4 m; or
c.2.c. “Unidirectional positioning repeatability” equal to or less (better) than 6.0 µm along one or more linear axis with a travel length equal to or greater than 4 m.
Notes:2B001.c does not control grinding machines as follows:
a. Cylindrical external, internal, and external-internal grinding machines, having all of the following:
a.1. Limited to cylindrical grinding; and
a.2. Limited to a maximum workpiece capacity of 150 mm outside diameter or length.
b. Machines designed specifically as jig grinders that do not have a z-axis or a w-axis, with a “unidirectional positioning repeatability” less (better) than 1.1 µm.
c. Surface grinders.
d. Electrical discharge machines (EDM) of the non-wire type which have two or more rotary axes which can be coordinated simultaneously for “contouring control”;
e. Machine tools for removing metals, ceramics or “composites”, having all of the following:
e.1. Removing material by means of any of the following:
e.1.a. Water or other liquid jets, including those employing abrasive additives;
e.1.b. Electron beam; or
e.1.c. “Laser” beam; and
e.2. At least two rotary axes having all of the following:
e.2.a. Can be coordinated simultaneously for “contouring control”; and
e.2.b. A positioning “accuracy” of less (better) than 0.003°;
f. Deep-hole-drilling machines and turning machines modified for deep-hole-drilling, having a maximum depth-of-bore capability exceeding 5m.
2B002 Numerically controlled optical finishing machine tools equipped for selective material removal to produce non-spherical optical surfaces having all of the following characteristics (See List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. Finishing to a roughness less (better) than 100 nm rms;
c. Four or more axes which can be coordinated simultaneously for “contouring control”; and
d. Using any of the following processes:
d.1. ‘Magnetorheological finishing (MRF)’;
d.2. ‘Electrorheological finishing (ERF)’;
d.3. ‘Energetic particle beam finishing’;
d.4. ‘Inflatable membrane tool finishing’; or
d.5. ‘Fluid jet finishing’.
2B003 “Numerically Controlled” Machine Tools, “Specially Designed” for the Shaving, Finishing, Grinding or Honing of Hardened (Rc = 40 or More) Spur, Helical and Double-Helical Gears Having all of the Following. License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: $5,000 GBS: N/A List of Items Controlled Related Controls: See also 2B993 Related Definitions: N/A Items:a. A pitch diameter exceeding 1,250 mm;
b. A face width of 15% of pitch diameter or larger; and
c. A finished quality of AGMA 14 or better (equivalent to ISO 1328 class 3).
2B004 Hot “isostatic presses” having all of the characteristics described in the list of items controlled, and “specially designed” “components” and “accessories” therefor. License Requirements Reason for Control: NS, MT NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| MT applies to entire entry | MT Column 1 |
| NP applies to entire entry, except 2B004.b.3 and presses with maximum working pressures below 69 MPa | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a. A controlled thermal environment within the closed cavity and possessing a chamber cavity with an inside diameter of 406 mm or more; and
b. Having any of the following:
b.1. A maximum working pressure exceeding 207 MPa;
b.2. A controlled thermal environment exceeding 1,773 K (1,500 °C); or
b.3. A facility for hydrocarbon impregnation and removal of resultant gaseous degradation products.
Technical Note:The inside chamber dimension is that of the chamber in which both the working temperature and the working pressure are achieved and does not include fixtures. That dimension will be the smaller of either the inside diameter of the pressure chamber or the inside diameter of the insulated furnace chamber, depending on which of the two chambers is located inside the other.
2B005 Equipment “specially designed” for the deposition, processing and in-process control of inorganic overlays, coatings and surface modifications, as follows, for substrates specified in column 2, by processes shown in column 1 in the “Materials Processing Table; Deposition Techniques” following 2E003.f (see List of Items Controlled), and “specially designed” automated handling, positioning, manipulation and control “components” therefor. License Requirements Reason for Control: NS, AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
a.1. A process modified for one of the following:
a.1.a. Pulsating CVD;
a.1.b. Controlled nucleation thermal deposition (CNTD); or
a.1.c. Plasma enhanced or plasma assisted CVD; and
a.2. Having any of the following:
a.2.a. Incorporating high vacuum (equal to or less than 0.01 Pa) rotating seals; or
a.2.b. Incorporating in situ coating thickness control;
b. Ion implantation “production equipment” having beam currents of 5 mA or more;
c. Electron beam physical vapor deposition (EB-PVD) “production equipment” incorporating power systems rated for over 80 kW and having any of the following:
c.1. A liquid pool level “laser” control system which regulates precisely the ingots feed rate; or
c.2. A computer controlled rate monitor operating on the principle of photo-luminescence of the ionized atoms in the evaporant stream to control the deposition rate of a coating containing two or more elements;
d. Plasma spraying “production equipment” having any of the following:
d.1. Operating at reduced pressure controlled atmosphere (equal or less than 10 kPa measured above and within 300 mm of the gun nozzle exit) in a vacuum chamber capable of evacuation down to 0.01 Pa prior to the spraying process; or
d.2. Incorporating in situ coating thickness control;
e. Sputter deposition “production equipment” capable of current densities of 0.1 mA/mm 2 or higher at a deposition rate 15 µm/h or more;
f. Cathodic arc deposition “production equipment” incorporating a grid of electromagnets for steering control of the arc spot on the cathode;
g. Ion plating “production equipment” capable of in situ measurement of any of the following:
g.1. Coating thickness on the substrate and rate control; or
g.2. Optical characteristics.
2B006 Dimensional Inspection or Measuring Systems, Equipment, Position Feedback Units and “Electronic Assemblies”, as Follows (See List of Items Controlled). License Requirements Reason for Control: NS, NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| NP applies to those items in 2B006.a, .b.1, b.3, and .c (angular displacement measuring instruments) that meet or exceed the technical parameters in 2B206 | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a. Computer controlled or “numerically controlled” Coordinate Measuring Machines (CMM), having a three dimensional length (volumetric) maximum permissible error of length measurement (E0,MPE) at any point within the operating range of the machine (i.e., within the length of axes) equal to or less (better) than (1.7 + L/1,000) µm (L is the measured length in mm) according to ISO 10360-2 (2009);
Technical Note:The E0,MPE of the most accurate configuration of the CMM specified by the manufacturer (e.g., best of the following: Probe, stylus length, motion parameters, environment) and with “all compensations available” shall be compared to the 1.7 + L/1,000 µm threshold.
b. Linear displacement measuring instruments or systems, linear position feedback units, and “electronic assemblies”, as follows:
Note:Interferometer and optical-encoder measuring systems containing a “laser” are only specified by 2B006.b.3.
b.1. 'Non-contact type measuring systems' with a 'resolution' equal to or less (better) than 0.2 µm within 0 to 0.2 mm of the 'measuring range';
Technical Notes:1. For the purposes of 2B006.b.1, 'non-contact type measuring systems' are designed to measure the distance between the probe and measured object along a single vector, where the probe or measured object is in motion.
2. For the purposes of 2B006.b.1, `measuring range' means the distance between the minimum and maximum working distance.
b.2. Linear position feedback units “specially designed” for machine tools and having an overall “accuracy” less (better) than (800 + (600 × L/1,000)) nm (L equals effective length in mm);
b.3. Measuring systems having all of the following:
b.3.a. Containing a “laser”;
b.3.b. A 'resolution' over their full scale of 0.200 nm or less (better); and
b.3.c. Capable of achieving a “measurement uncertainty” equal to or less (better) than (1.6 + L/2,000) nm (L is the measured length in mm) at any point within a measuring range, when compensated for the refractive index of air and measured over a period of 30 seconds at a temperature of 20±0.01 °C; or
Technical Note:For the purposes of 2B006.b, 'resolution' is the least increment of a measuring device; on digital instruments, the least significant bit.
b.4. “Electronic assemblies” “specially designed” to provide feedback capability in systems controlled by 2B006.b.3;
c. Rotary position feedback units “specially designed” for machine tools or angular displacement measuring instruments, having an angular position “accuracy” equal to or less (better) than 0.9 second of arc;
Note:2B006.c does not control optical instruments, such as autocollimators, using collimated light (e.g., “laser” light) to detect angular displacement of a mirror.
d. Equipment for measuring surface roughness (including surface defects), by measuring optical scatter with a sensitivity of 0.5 nm or less (better).
Note:2B006 includes machine tools, other than those specified by 2B001, that can be used as measuring machines, if they meet or exceed the criteria specified for the measuring machine function.
2B007 “Robots” having any of the following characteristics described in the List of Items Controlled and “specially designed” controllers and “end-effectors” therefor. License Requirements Reason for Control: NS, NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| NP applies to equipment that meets or exceeds the criteria in ECCNs 2B207 | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. “Specially designed” to comply with national safety standards applicable to potentially explosive munitions environments;
Note:2B007.b does not apply to “robots” “specially designed” for paint-spraying booths.
c. “Specially designed” or rated as radiation-hardened to withstand a total radiation dose greater than 5 × 10 3 Gy (silicon) without operational degradation; or
Technical Note:The term Gy (silicon) refers to the energy in Joules per kilogram absorbed by an unshielded silicon sample when exposed to ionizing radiation.
d. “Specially designed” to operate at altitudes exceeding 30,000 m.
2B008 'Compound rotary tables' and “tilting spindles”, “specially designed” for machine tools, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. [Reserved]
c. 'Compound rotary tables' having all of the following:
c.1. Designed for machine tools for turning, milling or grinding; and
c.2. Two rotary axes designed to be coordinated simultaneously for “contouring control”.
Technical Note:A 'compound rotary table' is a table allowing the workpiece to rotate and tilt about two non-parallel axes.
d. “Tilting spindles” having all of the following:
d.1. Designed for machine tools for turning, milling or grinding; and
d.2. Designed to be coordinated simultaneously for “contouring control”.
2B009 Spin-forming machines and flow-forming machines, which, according to the manufacturer's technical specifications, can be equipped with “numerical control” units or a computer control and having all of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: NS, MT, NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| MT applies to: spin-forming machines combining the functions of spin-forming and flow-forming; and flow-forming machines that meet or exceed the parameters of 2B009.a and 2B109 | MT Column 1 |
| NP applies to flow-forming machines, and spin-forming machines capable of flow-forming functions, that meet or exceed the parameters of 2B209 | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. A roller force more than 60 kN.
Technical Note:For the purpose of 2B009, machines combining the function of spin-forming and flow-forming are regarded as flow-forming machines.
2B018 Equipment on the Wassenaar Arrangement Munitions List.No commodities currently are controlled by this entry. Commodities formerly controlled by paragraphs .a through .d, .m, and .s of this entry are controlled in ECCN 0B606. Commodities formerly controlled by paragraphs .e through .l of this entry are controlled by ECCN 0B602. Commodities formerly controlled by paragraphs .o through .r of this entry are controlled by ECCN 0B501. Commodities formerly controlled by paragraph .n of this entry are controlled in ECCN 0B501 if they are “specially designed” for the “production” of the items controlled in ECCN 0A501.a through .x or USML Category I and controlled in ECCN 0B602 if they are of the kind exclusively designed for use in the manufacture of items in ECCN 0A602 or USML Category II.
2B104 “Isostatic presses”, other than those controlled by 2B004, having all of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: MT, NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1. |
| NP applies to entire entry | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
b. Designed to achieve and maintain a controlled thermal environment of 873 K (600 °C) or greater; and
c. Possessing a chamber cavity with an inside diameter of 254 mm or greater.
2B105 Chemical vapor deposition (CVD) furnaces, other than those controlled by 2B005.a, designed or modified for the densification of carbon-carbon composites. License Requirements Reason for Control:MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| NP applies to items controlled by this entry that meet or exceed the technical parameters in 2B209 | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Equipped with, or according to the manufacturer's technical specification are capable of being equipped with, “numerical control” units or a computer control, even when not equipped with such units at delivery; and
a.2. More than two axes which can be coordinated simultaneously for “contouring control.”
b. “Specially designed” “parts” and “components” for flow-forming machines controlled in 2B009 for MT reasons or 2B109.a.
Technical Note:1. Machines combining the function of spin-forming and flow-forming are for the purpose of 2B109 regarded as flow-forming machines.
2B116 Vibration test systems and equipment, usable for rockets, missiles, or unmanned aerial vehicles capable of achieving a “range” equal to or greater than 300 km and their subsystems, and “parts” and “components” therefor, as follows (see List of Items Controlled). License Requirements Reason for Control: MT, NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1. |
| NP applies to electrodynamic vibration test systems in 2B116.a and to all items in 2B116.b, .c, and .d | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
b. Digital controllers, combined with “specially designed” vibration test “software”, with a ‘real-time control bandwidth’ greater than 5 kHz and designed for use with vibration test systems described in 2B116.a;
c. Vibration thrusters (shaker units), with or without associated amplifiers, capable of imparting a force equal to or greater than 50 kN (11,250 lbs.), measured ‘bare table’, and usable in vibration test systems described in 2B116.a;
d. Test piece support structures and electronic units designed to combine multiple shaker units into a complete shaker system capable of providing an effective combined force equal to or greater than 50 kN, measured ‘bare table’, and usable in vibration test systems described in 2B116.a.
Technical Notes:(1) ‘Bare table’ means a flat table, or surface, with no fixture or fitting.
(2) ‘Real-time control bandwidth’ is defined as the maximum rate at which a controller can execute complete cycles of sampling, processing data and transmitting control signals.
2B117 Equipment and process controls, other than those controlled by 2B004, 2B005.a, 2B104 or 2B105, designed or modified for the densification and pyrolysis of structural composite rocket nozzles and reentry vehicle nose tips. License Requirements Reason for Control:MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Not capable of balancing rotors/assemblies having a mass greater than 3 kg;
a.2. Capable of balancing rotors/assemblies at speeds greater than 12,500 rpm;
a.3. Capable of correcting unbalance in two planes or more; and
a.4. Capable of balancing to a residual specific unbalance of 0.2 g mm per kg of rotor mass.
Note:2B119.a. does not control balancing machines designed or modified for dental or other medical equipment.
b. Indicator heads designed or modified for use with machines specified in 2B119.a.
Note:Indicator heads are sometimes known as balancing instrumentation.
2B120 Motion simulators or rate tables (equipment capable of simulating motion), having all of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: MT, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Designed or modified to incorporate sliprings or integrated non-contact devices capable of transferring electrical power, signal information, or both; and
c. Having any of the following characteristics:
c.1. For any single axis having all of the following:
c.1.a. Capable of rates of rotation of 400 degrees/s or more, or 30 degrees/s or less, and
c.1.b. A rate resolution equal to or less than 6 degrees/s and an accuracy equal to or less than 0.6 degrees/s; or
c.2. Having a worst-case rate stability equal to or better (less) than plus or minus 0.05% averaged over 10 degrees or more; or
c.3. A positioning “accuracy” equal to or better than 5 arc-second.
Note:2B120 does not control rotary tables designed or modified for machine tools or for medical equipment. For controls on machine tool rotary tables see 2B008.
2B121 Positioning tables (equipment capable of precise rotary position in any axis), other than those controlled in 2B120, having all the following characteristics (See List of Items Controlled). License Requirements Reason for Control: MT, AT| Control(s) | Country chart (see supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
b. A positioning “accuracy” equal to or better than 5 arc-second.
Note:2B121 does not control rotary tables designed or modified for machine tools or for medical equipment. For controls on machine tool rotary tables see 2B008.
2B122 Centrifuges capable of imparting accelerations greater than 100 g and designed or modified to incorporate sliprings or integrated non-contact devices capable of transferring electrical power, signal information, or both. License Requirements Reason for Control: MT, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
2B201 does not control special purpose machine tools limited to the manufacture of any of the following parts:
a. Gears;
b. Crank shafts or cam shafts;
c. Tools or cutters;
d. Extruder worms;
Technical Note:The identified positioning accuracy values in this entry are based on ISO 230/2 (2006), which equates to the values based on ISO 230/2 (1988) that are used by the Nuclear Supplier's Group (NSG). In 2B201.a and .b.1, this results in a change from 6 µm to 4.5 µm. In paragraph .b of the Note to 2B201.b, the resulting change is from 30 µm to 22.5 µm, In 2B201.c, the resulting change is from 4 µm to 3 µm.
a. Machine tools for turning, that have positioning accuracies according to ISO 230/2 (2006) with all compensations available better (less) than 4.5 µm along any linear axis (overall positioning) for machines capable of machining diameters greater than 35 mm;
Note to 2B201.a:2B201.a does not control bar machines (Swissturn), limited to machining only bar feed thru, if maximum bar diameter is equal to or less than 42 mm and there is no capability of mounting chucks. Machines may have drilling and/or milling capabilities for machining parts with diameters less than 42 mm.
b. Machine tools for milling, having any of the following characteristics:
b.1. Positioning accuracies according to ISO 230/2 (2006) with “all compensations available” equal to or less (better) than 4.5 µm along any linear axis (overall positioning);
b.2. Two or more contouring rotary axes; or
b.3. Five or more axes which can be coordinated simultaneously for “contouring control.”
Note to 2B201.b:2B201.b does not control milling machines having the following characteristics:
a. X-axis travel greater than 2 m; and
b. Overall positioning accuracy according to ISO 230/2 (2006) on the x-axis more (worse) than 22.5 µm.
c. Machine tools for grinding, having any of the following characteristics:
c.1. Positioning accuracies according to ISO 230/2 (2006) with “all compensations available” equal to or less (better) than 3 µm along any linear axis (overall positioning);
c.2. Two or more contouring rotary axes; or
c.3. Five or more axes which can be coordinated simultaneously for “contouring control.”
Note to 2B201.c:2B201.c does not control the following grinding machines:
a. Cylindrical external, internal, and external-internal grinding machines having all of the following characteristics:
1. Limited to a maximum workpiece capacity of 150 mm outside diameter or length; and
2. Axes limited to x, z and c.
b. Jig grinders that do not have a z-axis or a w-axis with an overall positioning accuracy less (better) than 3 microns. Positioning accuracy is according to ISO 230/2 (2006).
Technical Note:2B201.b.3 and c.3 include machines based on a parallel linear kinematic design (e.g. hexapods) that have 5 or more axes none of which are rotary axes.
2B204 “Isostatic presses”, other than those controlled by 2B004 or 2B104, and related equipment, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Capable of achieving a maximum working pressure of 69 MPa or greater; and
a.2. A chamber cavity with an inside diameter in excess of 152 mm;
b. Dies, molds and controls, “specially designed” for “isostatic presses” controlled by 2B204.a.
2B206 Dimensional inspection machines, instruments or systems, other than those described in 2B006, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
(1) Machine tools that can be used as measuring machines are controlled by ECCN 2B206 if they meet or exceed the control parameters specified in this entry for the measuring machine function. (2) The machines described in ECCN 2B206 are controlled by this entry if they exceed the specified control threshold anywhere in their operating range.
Technical Note to ECCN 2B206:All parameters of measurement values in this entry represent plus/minus, i.e., not total band.
a. Computer controlled or numerically controlled coordinate measuring machines (CMM) with either of the following characteristics:
a.1. Having only two axes with a maximum permissible error of length measurement along any axis (one dimension), identified as any combination of E0x MPE, E0y MPE or E0z MPE, equal to or less (better) than (1.25 + L/1,000) µm (where L is the measured length in mm) at any point within the operating range of the machine (i.e., within the length of the axis), according to ISO 10360-2 (2009); or
a.2. Having three or more axes with a three dimensional (volumetric) maximum permissible error of length measurement, identified as E0, MPE, equal to or less (better) than (1.7 + L/800) µm (where L is the measured length in mm) at any point within the operating range of the machine (i.e., within the length of the axis), according to ISO 10360-2 (2009).
Technical Note to 2B206.a.2:The E0, MPE of the most accurate configuration of the CMM specified according to ISO 10360-2 (2009) by the manufacturer (e.g., best of the following: Probe, stylus length, motion parameters, environment) and with all compensations available shall be compared to the 1.7 + L/800 µm threshold.
b. Systems for simultaneous linear-angular inspection of hemishells, having both of the following characteristics:
b.1. “Measurement uncertainty” along any linear axis equal to or less (better) than 3.5 µm per 5 mm; and
b.2. “Angular position deviation” equal to or less than 0.02°.
c. Linear displacement measuring systems having both of the following characteristics:
c.1. Containing a “laser;” and
c.2. Capable of maintaining, for at least 12 hours over a temperature range of ± 1 K around a standard temperature and a standard pressure, both:
c.2.a. A “resolution” over their full scale of 0.1 µm or better; and
c.2.b. A “measurement uncertainty” equal to or better (less) than (0.2 + L/2,000) µm (L is the measured length in millimeters).
Control Note to 2B206.c:2B206.c does not control measuring interferometer systems, without closed or open loop feedback, containing a “laser” to measure slide movement errors of machine tools, dimensional inspection machines, or similar equipment.
Technical Note to 2B206.c:In 2B206.c, “linear displacement” means the change of distance between the measuring probe and the measured object.
d. Linear Variable Differential Transformer (LVDT) systems having all of the following:
d.1. Having any of the following:
d.1.a. “Linearity” equal to or less (better) than 0.1% measured from 0 to the full operating range, for LVDTs with a full operating range up to and including ±5 mm; or
d.1.b. “Linearity” equal to or less (better) than 0.1% measured from 0 to 5 mm for LVDTs with a 'full operating range' greater than ±5 mm; and
d.2. Drift equal to or less (better) than 0.1% per day at a standard ambient test room temperature ±1 K.
2B207 “Robots”, “end-effectors” and control units, other than those controlled by 2B007, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Control units “specially designed” for any of the “robots” or “end-effectors” controlled by 2B207.a.
2B209 Flow forming machines, spin forming machines capable of flow forming functions, other than those controlled by 2B009 or 2B109, and mandrels, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Three or more rollers (active or guiding); and
a.2. According to the manufacturer's technical specifications, can be equipped with “numerical control” units or a computer control;
Note:2B209.a includes machines that have only a single roller designed to deform metal, plus two auxiliary rollers that support the mandrel, but do not participate directly in the deformation process.
b. Rotor-forming mandrels designed to form cylindrical rotors of inside diameter between 75 mm and 400 mm.
2B225 Remote manipulators that can be used to provide remote actions in radiochemical separation operations or hot cells, having either of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. A capability of bridging over the top of a hot cell wall with a thickness of 0.6 m or more (over-the-wall operation).
Technical Note:Remote manipulators provide translation of human operator actions to a remote operating arm and terminal fixture. They may be of “master/slave” type or operated by joystick or keypad.
2B226 Controlled atmosphere (vacuum or inert gas) induction furnaces, and power supplies therefor, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Capable of operation above 1,123 K (850 °C);
a.2. Induction coils 600 mm or less in diameter; and
a.3. Designed for power inputs of 5 kW or more;
b. Power supplies, with a specified power output of 5 kW or more, “specially designed” for furnaces controlled by 2B226.a.
2B227 Vacuum or other controlled atmosphere metallurgical melting and casting furnaces and related equipment, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Consumable electrode capabilities between 1,000 cm 3 and 20,000 cm 3; and
a.2. Capable of operating with melting temperatures above 1,973 K (1,700 °C);
b. Electron beam melting furnaces and plasma atomization and melting furnaces, having both of the following characteristics:
b.1. A power of 50 kW or greater; and
b.2. Capable of operating with melting temperatures above 1,473 K (1,200 °C);
c. Computer control and monitoring systems specially configured for any of the furnaces controlled by 2B227.a or .b.
2B228 Rotor fabrication and assembly equipment, rotor straightening equipment, bellows-forming mandrels and dies, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
2B228.a includes precision mandrels, clamps, and shrink fit machines.
b. Rotor straightening equipment for alignment of gas centrifuge rotor tube sections to a common axis;
Technical Note:The rotor straightening equipment in 2B228.b normally consists of precision measuring probes linked to a computer that subsequently controls the action of, for example, pneumatic rams used for aligning the rotor tube sections.
c. Bellows-forming mandrels and dies for producing single-convolution bellows.
Technical Note:In 2B228.c, the bellows have all of the following characteristics:
1. Inside diameter between 75 mm and 400 mm;
2. Length equal to or greater than 12.7 mm;
3. Single convolution depth greater than 2 mm; and
4. Made of high-strength aluminum alloys, maraging steel or high strength “fibrous or filamentary materials”.
2B229 Centrifugal multiplane balancing machines, fixed or portable, horizontal or vertical, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Swing or journal diameter greater than 75 mm;
a.2. Mass capability of from 0.9 to 23 kg; and
a.3. Capable of balancing speed of revolution greater than 5,000 r.p.m.;
b. Centrifugal balancing machines designed for balancing hollow cylindrical rotor “parts” or “components” and having all of the following characteristics:
b.1. Journal diameter greater than 75 mm;
b.2. Mass capability of from 0.9 to 23 kg;
b.3. A minimum achievable residual specific unbalance equal to or less than 10 g-mm/kg per plane; and
b.4. Belt drive type.
2B230 All types of “pressure transducers” capable of measuring absolute pressures and having all of the characteristics described in this ECCN (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Seals, if any, essential for sealing the pressure sensing element, and in direct contact with the process medium, made of or protected by aluminum, aluminum alloy, aluminum oxide (alumina or sapphire), nickel, nickel alloy with more than 60% nickel by weight, or fully fluorinated hydrocarbon polymers; and
c. Either of the following characteristics:
c.1. A full scale of less 13 kPa and an “accuracy” of better than ±1% of full scale; or
c.2. A full scale of 13 kPa or greater and an “accuracy” of better than ±130 Pa when measuring at 13 kPa.
2B231 Vacuum pumps having all of the characteristics described in this ECCN (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Pumping speed equal to or greater than 15 m 3/s; and
c. Capable of producing an ultimate vacuum better than 13.3 mPa.
2B232 High-velocity gun systems (propellant, gas, coil, electromagnetic, and electrothermal types, and other advanced systems) capable of accelerating projectiles to 1.5 km/s or greater. License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Capable of a pressure ratio of 2:1 or greater; and
c. Having all surfaces that come in contact with the process gas made from any of the following:
c.1. Aluminum or aluminum alloy;
c.2. Aluminum oxide;
c.3. Stainless steel;
c.4. Nickel or nickel alloy;
c.5. Phosphor bronze; or
c.6. Fluoropolymers.
Technical Notes:1. In a scroll compressor or vacuum pump, crescent-shaped pockets of gas are trapped between one or more pairs of intermeshed spiral vanes, or scrolls, one of which moves while the other remains stationary. The moving scroll orbits the stationary scroll; it does not rotate. As the moving scroll orbits the stationary scroll, the gas pockets diminish in size (i.e., they are compressed) as they move toward the outlet port of the machine.
2. In a bellows-sealed scroll compressor or vacuum pump, the process gas is totally isolated from the lubricated parts of the pump and from the external atmosphere by a metal bellows. One end of the bellows is attached to the moving scroll and the other end is attached to the stationary housing of the pump.
3. Fluoropolymers include, but are not limited to, the following materials:
a. Polytetrafluoroethylene (PTFE);
b. Fluorinated Ethylene Propylene (FEP);
c. Perfluoroalkoxy (PFA);
d. Polychlorotrifluoroethylene (PCTFE); and
e. Vinylidene fluoride-hexafluoropropylene copolymer.
2B350 Chemical manufacturing facilities and equipment, except valves controlled by 2A226, as follows (see List of Items Controlled). License Requirements Reason for Control: CB, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 2 |
| AT applies to entire entry | AT Column 1 |
a.1. Reaction vessels or reactors, with or without agitators, with total internal (geometric) volume greater than 0.1 m 3 (100 liters) and less than 20 m 3 (20,000 liters), where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
a.1.a Alloys with more than 25% nickel and 20% chromium by weight;
a.1.b. Nickel or alloys with more than 40% nickel by weight;
a.1.c. Fluoropolymers (polymeric or elastomeric materials with more than 35% fluorine by weight);
a.1.d. Glass (including vitrified or enameled coating or glass lining);
a.1.e. Tantalum or tantalum alloys;
a.1.f. Titanium or titanium alloys;
a.1.g. Zirconium or zirconium alloys; or
a.1.h. Niobium (columbium) or niobium alloys;
a.2. Prefabricated repair assemblies, and their specially designed components, that:
a.2.a. Are designed for mechanical attachment to glass-lined reaction vessels or reactors described in 2B350.a.1; and
a.2.b. Have metallic surfaces that are made from tantalum or tantalum alloys and come in direct contact with the chemical(s) being processed.
b. Agitators designed for use in reaction vessels or reactors described in 2B350.a.1, and impellers, blades or shafts designed for such agitators, where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
b.1. Alloys with more than 25% nickel and 20% chromium by weight;
b.2. Nickel or alloys with more than 40% nickel by weight;
b.3. Fluoropolymers (polymeric or elastomeric materials with more than 35% fluorine by weight);
b.4. Glass (including vitrified or enameled coatings or glass lining);
b.5. Tantalum or tantalum alloys;
b.6. Titanium or titanium alloys;
b.7. Zirconium or zirconium alloys; or
b.8. Niobium (columbium) or niobium alloys.
c. Storage tanks, containers, receivers and prefabricated repair assemblies therefor, as follows:
c.1. Storage tanks, containers or receivers with a total internal (geometric) volume greater than 0.1 m 3 (100 liters) where all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
c.1.a. Alloys with more than 25% nickel and 20% chromium by weight;
c.1.b. Nickel or alloys with more than 40% nickel by weight;
c.1.c. Fluoropolymers (polymeric or elastomeric materials with more than 35% fluorine by weight);
c.1.d. Glass (including vitrified or enameled coatings or glass lining);
c.1.e. Tantalum or tantalum alloys;
c.1.f. Titanium or titanium alloys;
c.1.g. Zirconium or zirconium alloys; or
c.1.h. Niobium (columbium) or niobium alloys;
c.2. Prefabricated repair assemblies, and their specially designed components, that:
c.2.a. Are designed for mechanical attachment to glass-lined storage tanks, containers or receivers described in 2B350.c.1; and
c.2.b. Have metallic surfaces that are made from tantalum or tantalum alloys and come in direct contact with the chemical(s) being processed.
d. Heat exchangers or condensers with a heat transfer surface area of less than 20 m 2, but greater than 0.15 m 2, and tubes, plates, coils or blocks (cores) designed for such heat exchangers or condensers, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:
d.1. Alloys with more than 25% nickel and 20% chromium by weight;
d.2. Nickel or alloys with more than 40% nickel by weight;
d.3. Fluoropolymers (polymeric or elastomeric materials with more than 35% fluorine by weight);
d.4. Glass (including vitrified or enameled coatings or glass lining);
d.5. Tantalum or tantalum alloys;
d.6. Titanium or titanium alloys;
d.7. Zirconium or zirconium alloys;
d.8. Niobium (columbium) or niobium alloys;
d.9. Graphite or carbon-graphite;
d.10. Silicon carbide; or
d.11. Titanium carbide.
e. Distillation or absorption columns of internal diameter greater than 0.1 m, and liquid distributors, vapor distributors or liquid collectors designed for such distillation or absorption columns, where all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:
e.1. Alloys with more than 25% nickel and 20% chromium by weight;
e.2. Nickel or alloys with more than 40% nickel by weight;
e.3. Fluoropolymers (polymeric or elastomeric materials with more than 35% fluorine by weight);
e.4. Glass (including vitrified or enameled coatings or glass lining);
e.5. Tantalum or tantalum alloys;
e.6. Titanium or titanium alloys;
e.7. Zirconium or zirconium alloys;
e.8. Niobium (columbium) or niobium alloys; or
e.9. Graphite or carbon-graphite.
f. Remotely operated filling equipment in which all surfaces that come in direct contact with the chemical(s) being processed are made from any of the following materials:
f.1. Alloys with more than 25% nickel and 20% chromium by weight; or
f.2. Nickel or alloys with more than 40% nickel by weight.
g. Valves, as follows:
g.1. Valves having both of the following characteristics:
g.1.a. A nominal size greater than 1.0 cm ( 3/8 in.); and
g.1.b. All surfaces that come in direct contact with the chemical(s) being produced, processed, or contained are made from materials identified in Technical Note 1 to 2B350.g.
g.2. Valves, except for valves controlled by 2B350.g.1, having all of the following characteristics:
g.2.a. A nominal size equal to or greater than 2.54 cm (1 inch) and equal to or less than 10.16 cm (4 inches);
g.2.b. Casings (valve bodies) or preformed casing liners controlled by 2B350.g.3, in which all surfaces that come in direct contact with the chemical(s) being produced, processed, or contained are made from materials identified in Technical Note 1 to 2B350.g; and
g.2.c. A closure element designed to be interchangeable.
g.3. Casings (valve bodies) and preformed casing liners having both of the following characteristics:
g.3.a. Designed for valves in 2B350.g.1 or .g.2; and
g.3.b. All surfaces that come in direct contact with the chemical(s) being produced, processed, or contained are made from materials identified in Technical Note 1 to 2B350.g.
Technical Note 1 to 2B350.g:All surfaces of the valves controlled by 2B350.g.1, and the casings (valve bodies) and preformed casing liners controlled by 2B350.g.3, that come in direct contact with the chemical(s) being produced, processed, or contained are made from the following materials:
a. Alloys with more than 25% nickel and 20% chromium by weight;
b. Nickel or alloys with more than 40% nickel by weight;
c. Fluoropolymers (polymeric or elastomeric materials with more than 35% fluorine by weight);
d. Glass (including vitrified or enameled coating or glass lining);
e. Tantalum or tantalum alloys;
f. Titanium or titanium alloys;
g. Zirconium or zirconium alloys;
h. Niobium (columbium) or niobium alloys; or
i. Ceramic materials, as follows:
i.1. Silicon carbide with a purity of 80% or more by weight;
i.2. Aluminum oxide (alumina) with a purity of 99.9% or more by weight; or
i.3. Zirconium oxide (zirconia).
Technical Note 2 to 2B350.g:The 'nominal size' is defined as the smaller of the inlet and outlet port diameters.
h. Multi-walled piping incorporating a leak detection port, in which all surfaces that come in direct contact with the chemical(s) being processed or contained are made from any of the following materials:
h.1. Alloys with more than 25% nickel and 20% chromium by weight;
h.2. Nickel or alloys with more than 40% nickel by weight;
h.3. Fluoropolymers (polymeric or elastomeric materials with more than 35% fluorine by weight);
h.4. Glass (including vitrified or enameled coatings or glass lining);
h.5. Tantalum or tantalum alloys;
h.6. Titanium or titanium alloys;
h.7. Zirconium or zirconium alloys;
h.8. Niobium (columbium) or niobium alloys; or
h.9. Graphite or carbon-graphite.
i. Multiple-seal and seal-less pumps with manufacturer's specified maximum flow-rate greater than 0.6 m 3/hour (600 liters/hour), or vacuum pumps with manufacturer's specified maximum flow-rate greater than 5 m 3/hour (5,000 liters/hour) (under standard temperature (273 K (0 °C)) and pressure (101.3 kPa) conditions), and casings (pump bodies), preformed casing liners, impellers, rotors or jet pump nozzles designed for such pumps, in which all surfaces that come into direct contact with the chemical(s) being processed are made from any of the following materials:
i.1. Alloys with more than 25% nickel and 20% chromium by weight;
i.2. Nickel or alloys with more than 40% nickel by weight;
i.3. Fluoropolymers (polymeric or elastomeric materials with more than 35% fluorine by weight);
i.4. Glass (including vitrified or enameled coatings or glass lining);
i.5. Tantalum or tantalum alloys;
i.6. Titanium or titanium alloys;
i.7. Zirconium or zirconium alloys;
i.8. Niobium (columbium) or niobium alloys.
i.9. Graphite or carbon-graphite;
i.10. Ceramics; or
i.11. Ferrosilicon (high silicon iron alloys).
Technical Note to 2B350.i:The seals referred to in 2B350.i come into direct contact with the chemical(s) being processed (or are designed to do so), and provide a sealing function where a rotary or reciprocating drive shaft passes through a pump body.
j. Incinerators designed to destroy chemical warfare agents, chemical weapons precursors controlled by 1C350, or chemical munitions having “specially designed” waste supply systems, special handling facilities and an average combustion chamber temperature greater than 1000 °C in which all surfaces in the waste supply system that come into direct contact with the waste products are made from or lined with any of the following materials:
j.1. Alloys with more than 25% nickel and 20% chromium by weight;
j.2. Nickel or alloys with more than 40% nickel by weight; or
j.3. Ceramics.
Technical Note 1:Carbon-graphite is a composition consisting primarily of graphite and amorphous carbon, in which the graphite is 8 percent or more by weight of the composition.
Technical Note 2:For the items listed in 2B350, the term 'alloy,' when not accompanied by a specific elemental concentration, is understood as identifying those alloys where the identified metal is present in a higher percentage by weight than any other element.
Technical Note 3:The materials used for gaskets, packing, seals, screws or washers, or other materials performing a sealing function, do not determine the control status of the items in this ECCN, provided that such components are designed to be interchangeable.
Note:See Categories V and XIV of the United States Munitions List for all chemicals that are “subject to the ITAR” (see 22 CFR parts 120 through 130).
2B351 Toxic gas monitors and monitoring systems, and their dedicated detecting “parts” and “components” (i.e., detectors, sensor devices, and replaceable sensor cartridges), as follows, except those systems and detectors controlled by ECCN 1A004.c (see List of Items Controlled). License Requirements Reason for Control: CB, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 2 |
| AT applies to entire entry | AT Column 1 |
b. Designed for the detection of cholinesterase-inhibiting activity.
2B352 Equipment Capable of Use in Handling Biological Materials, as Follows (See List of Items Controlled). License Requirements Reason for Control: CB, AT.| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 2. |
| AT applies to entire entry | AT Column 1. |
a. Containment facilities and related equipment, as follows:
a.1. Complete containment facilities at P3 or P4 containment level.
Technical Note to 2B352.a.1:P3 or P4 (BL3, BL4, L3, L4) containment levels are as specified in the WHO Laboratory Biosafety Manual (3rd edition, Geneva, 2004).
a.2. Equipment designed for fixed installation in containment facilities specified in paragraph a.1 of this ECCN, as follows:
a.2.a. Double-door pass-through decontamination autoclaves;
a.2.b. Breathing air suit decontamination showers;
a.2.c. Mechanical-seal or inflatable-seal walkthrough doors.
b. Fermenters and components as follows:
b.1. Fermenters capable of cultivation of micro-organisms or of live cells for the production of viruses or toxins, without the propagation of aerosols, having a total internal volume of 20 liters or greater.
b.2. Components designed for such fermenters, as follows:
b.2.a. Cultivation chambers designed to be sterilized or disinfected in situ;
b.2.b. Cultivation chamber holding devices; or
b.2.c. Process control units capable of simultaneously monitoring and controlling two or more fermentation system parameters (e.g., temperature, pH, nutrients, agitation, dissolved oxygen, air flow, foam control).
Technical Notes to 2B352.b:1. Fermenters include bioreactors (including single-use (disposable) bioreactors), chemostats and continuous-flow systems.
2. Cultivation chamber holding devices controlled by 2B352.b.2.b include single-use cultivation chambers with rigid walls.
c. Centrifugal separators capable of the continuous separation of pathogenic microorganisms, without the propagation of aerosols, and having all of the following characteristics:
c.1. One or more sealing joints within the steam containment area;
c.2. A flow rate greater than 100 liters per hour;
c.3. “Parts” or “components” of polished stainless steel or titanium; and
c.4. Capable of in-situ steam sterilization in a closed state.
Technical Note to 2B352.c:Centrifugal separators include decanters.
d. Cross (tangential) flow filtration equipment and “accessories”, as follows:
d.1. Cross (tangential) flow filtration equipment capable of separation of microorganisms, viruses, toxins or cell cultures having all of the following characteristics:
d.1.a. A total filtration area equal to or greater than 1 square meter (1 m 2); and
d.1.b. Having any of the following characteristics:
d.1.b.1. Capable of being sterilized or disinfected in-situ; or
d.1.b.2. Using disposable or single-use filtration “parts” or “components”.
N.B.: 2B352.d.1 does not control reverse osmosis and hemodialysis equipment, as specified by the manufacturer.
d.2. Cross (tangential) flow filtration “parts” or “components” (e.g., modules, elements, cassettes, cartridges, units or plates) with filtration area equal to or greater than 0.2 square meters (0.2 m 2) for each “part” or “component” and designed for use in cross (tangential) flow filtration equipment controlled by 2B352.d.1.
Technical Note:In this ECCN, “sterilized” denotes the elimination of all viable microbes from the equipment through the use of either physical (e.g., steam) or chemical agents. “Disinfected” denotes the destruction of potential microbial infectivity in the equipment through the use of chemical agents with a germicidal effect. “Disinfection” and “sterilization” are distinct from “sanitization”, the latter referring to cleaning procedures designed to lower the microbial content of equipment without necessarily achieving elimination of all microbial infectivity or viability.
e. Steam, gas or vapor sterilizable freeze-drying equipment with a condenser capacity of 10 kg of ice or greater in 24 hours (10 liters of water or greater in 24 hours) and less than 1000 kg of ice in 24 hours (less than 1,000 liters of water in 24 hours).
f. Spray-drying equipment capable of drying toxins or pathogenic microorganisms having all of the following characteristics:
f.1. A water evaporation capacity of ≥0.4 kg/h and ≤400 kg/h;
f.2. The ability to generate a typical mean product particle size of ≤10 micrometers with existing fittings or by minimal modification of the spray-dryer with atomization nozzles enabling generation of the required particle size; and
f.3. Capable of being sterilized or disinfected in situ.
g. Protective and containment equipment, as follows:
g.1. Protective full or half suits, or hoods dependent upon a tethered external air supply and operating under positive pressure.
Technical Note to 2B352.g.1:2B352.g.1 does not control suits designed to be worn with self-contained breathing apparatus.
g.2. Biocontainment chambers, isolators, or biological safety cabinets having all of the following characteristics, for normal operation:
g.2.a. Fully enclosed workspace where the operator is separated from the work by a physical barrier;
g.2.b. Able to operate at negative pressure;
g.2.c. Means to safely manipulate items in the workspace; and
g.2.d. Supply and exhaust air to and from the workspace is high-efficiency particulate air (HEPA) filtered.
Note 1 to 2B352.g.2:2B352.g.2 controls class III biosafety cabinets, as specified in the WHO Laboratory Biosafety Manual (3rd edition, Geneva, 2004) or constructed in accordance with national standards, regulations or guidance.
Note 2 to 2B352.g.2:2B352.g.2 does not control isolators “specially designed” for barrier nursing or transportation of infected patients.
h. Aerosol inhalation equipment designed for aerosol challenge testing with microorganisms, viruses or toxins, as follows:
h.1. Whole-body exposure chambers having a capacity of 1 cubic meter or greater;
h.2. Nose-only exposure apparatus utilizing directed aerosol flow and having a capacity for the exposure of 12 or more rodents, or two or more animals other than rodents, and closed animal restraint tubes designed for use with such apparatus.
i. Spraying or fogging systems and “parts” and “components” therefor, as follows:
i.1. Complete spraying or fogging systems, “specially designed” or modified for fitting to aircraft, “lighter than air vehicles,” or “UAVs,” capable of delivering, from a liquid suspension, an initial droplet “VMD” of less than 50 microns at a flow rate of greater than 2 liters per minute;
i.2. Spray booms or arrays of aerosol generating units, “specially designed” or modified for fitting to aircraft, “lighter than air vehicles,” or “UAVs,” capable of delivering, from a liquid suspension, an initial droplet “VMD” of less than 50 microns at a flow rate of greater than 2 liters per minute;
i.3. Aerosol generating units “specially designed” for fitting to the systems as specified in paragraphs i.1 and i.2 of this ECCN.
Technical Notes to 2B352.i:1. Aerosol generating units are devices “specially designed” or modified for fitting to aircraft and include nozzles, rotary drum atomizers and similar devices.
2. This ECCN does not control spraying or fogging systems, “parts” and “components,” as specified in 2B352.i, that are demonstrated not to be capable of delivering biological agents in the form of infectious aerosols.
3. Droplet size for spray equipment or nozzles “specially designed” for use on aircraft or “UAVs” should be measured using either of the following methods (pending the adoption of internationally accepted standards):
a. Doppler laser method,
b. Forward laser diffraction method.
j. Nucleic acid assemblers and synthesizers that are both:
j.1 Partly or entirely automated; and
j.2. Designed to generate continuous nucleic acids greater than 1.5 kilobases in length with error rates less than 5% in a single run.
2B991 Numerical control units for machine tools and “numerically controlled” machine tools, n.e.s. (see List of Items Controlled). License Requirements Reason for Control: AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
a.1. Having four interpolating axes that can be coordinated simultaneously for “contouring control;” or
a.2. Having two or more axes that can be coordinated simultaneously for “contouring control” and a minimum programmable increment better (less) than 0.001 mm;
a.3. “Numerical control” units for machine tools having two, three or four interpolating axes that can be coordinated simultaneously for “contouring control,” and capable of receiving directly (on-line) and processing computer-aided-design (CAD) data for internal preparation of machine instructions; or
b. “Motion control boards” “specially designed” for machine tools and having any of the following characteristics:
b.1. Interpolation in more than four axes;
b.2. Capable of “real-time processing” of data to modify tool path, feed rate and spindle data, during the machining operation, by any of the following:
b.2.a. Automatic calculation and modification of part program data for machining in two or more axes by means of measuring cycles and access to source data; or
b.2.b. “Adaptive control” with more than one physical variable measured and processed by means of a computing model (strategy) to change one or more machining instructions to optimize the process.
b.3. Capable of receiving and processing CAD data for internal preparation of machine instructions; or
c. “Numerically controlled” machine tools that, according to the manufacturer's technical specifications, can be equipped with electronic devices for simultaneous “contouring control” in two or more axes and that have both of the following characteristics:
c.1. Two or more axes that can be coordinated simultaneously for contouring control; and
c.2. Positioning accuracies according to ISO 230/2 (2006), with all compensations available:
c.2.a. Better than 15 µm along any linear axis (overall positioning) for grinding machines;
c.2.b. Better than 15 µm along any linear axis (overall positioning) for milling machines; or
c.2.c. Better than 15 µm along any linear axis (overall positioning) for turning machines; or
d. Machine tools, as follows, for removing or cutting metals, ceramics or composites, that, according to the manufacturer's technical specifications, can be equipped with electronic devices for simultaneous “contouring control” in two or more axes:
d.1. Machine tools for turning, grinding, milling or any combination thereof, having two or more axes that can be coordinated simultaneously for “contouring control” and having any of the following characteristics:
d.1.a. One or more contouring “tilting spindles;”
Note:2B991.d.1.a. applies to machine tools for grinding or milling only.
d.1.b. “Camming” (axial displacement) in one revolution of the spindle less (better) than 0.0006 mm total indicator reading (TIR);
Note:2B991.d.1.b. applies to machine tools for turning only.
d.1.c. “Run out” (out-of-true running) in one revolution of the spindle less (better) than 0.0006 mm total indicator reading (TIR);
d.1.d. The “positioning accuracies”, with all compensations available, are less (better) than: 0.001° on any rotary axis;
d.2. Electrical discharge machines (EDM) of the wire feed type that have five or more axes that can be coordinated simultaneously for “contouring control.”
2B992 Non-“numerically controlled” machine tools for generating optical quality surfaces, (see List of Items Controlled) and “specially designed” “parts” and “components” therefor. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
a.1. Slide positioning accuracy less (better) than 0.0005 mm per 300 mm of travel;
a.2. Bidirectional slide positioning repeatability less (better) than 0.00025 mm per 300 mm of travel;
a.3. Spindle “run out” and “camming” less (better) than 0.0004 mm total indicator reading (TIR);
a.4. Angular deviation of the slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel; and
a.5. Slide perpendicularity less (better) than 0.001 mm per 300 mm of travel;
Technical Note:The bidirectional slide positioning repeatability (R) of an axis is the maximum value of the repeatability of positioning at any position along or around the axis determined using the procedure and under the conditions specified in part 2.11 of ISO 230/2: 1988.
b. Fly cutting machines having all of the following characteristics:
b.1. Spindle “run out” and “camming” less (better) than 0.0004 mm TIR; and
b.2. Angular deviation of slide movement (yaw, pitch and roll) less (better) than 2 seconds of arc, TIR, over full travel.
2B993 Gearmaking and/or finishing machinery not controlled by 2B003 capable of producing gears to a quality level of better than AGMA 11. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
a.1. Two or more axes; and
a.2. A measurement uncertainty equal to or less (better) than (3 + L/300) micrometer in any axes (L measured length in mm).
2B997 “Robots” not controlled by 2B007 or 2B207 that are capable of employing feedback information in real-time processing from one or more sensors to generate or modify “programs” or to generate or modify numerical program data. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
b. Single point diamond cutting tool inserts, having all of the following characteristics:
b.1. Flawless and chip-free cutting edge when magnified 400 times in any direction;
b.2. Cutting radius from 0.1 to 5 mm inclusive; and
b.3. Cutting radius out-of-roundness less (better) than 0.002 mm TIR.
c. “Specially designed” printed circuit boards with mounted “parts” or “components” capable of upgrading, according to the manufacturer's specifications, “numerical control” units, machine tools or feed-back devices to or above the levels specified in ECCNs 2B991, 2B993, 2B996, 2B997, or 2B998.
2B999 Specific Processing Equipment, n.e.s., as Follows (See List of Items Controlled). License Requirements Reason for Control: AT Control(s): Country Chart. AT applies to entire entry. A license is required for items controlled by this entry to North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to determine AT licensing requirements for this entry. See § 742.19 of the EAR for additional information. List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: (1) See also 1B233, 2A992, 2A993, 2B001.f, 2B004, 2B009, 2B104, 2B109, 2B204, 2B209, 2B228, 2B229, 2B231, and 2B350. (2) Certain nuclear related processing equipment is subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110). Related Definitions: N/A Items: a. Isostatic presses, n.e.s.;b. Bellows manufacturing equipment, including hydraulic forming equipment and bellows forming dies;
c. Laser welding machines;
d. MIG welders;
e. E-beam welders;
f. Monel equipment, including valves, piping, tanks and vessels;
g. 304 and 316 stainless steel valves, piping, tanks and vessels;
Note:Fittings are considered part of “piping” for purposes of 2B999.g.
h. Mining and drilling equipment, as follows:
h.1. Large boring equipment capable of drilling holes greater than two feet in diameter;
h.2. Large earth-moving equipment used in the mining industry;
i. Electroplating equipment designed for coating parts with nickel or aluminum;
j. Pumps designed for industrial service and for use with an electrical motor of 5 HP or greater;
k. Vacuum valves, piping, flanges, gaskets and related equipment “specially designed” for use in high-vacuum service, n.e.s.;
l. Spin forming and flow forming machines, n.e.s.;
m. Centrifugal multiplane balancing machines, n.e.s.;
n. Austenitic stainless steel plate, valves, piping, tanks and vessels.
C. “Materials” [Reserved] D. “Software” 2D001 “Software”, other than that controlled by 2D002, as follows (See list of Items Controlled). License Requirements Reason for Control: NS, MT, NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| MT applies to “software” for equipment controlled by 2B004 and 2B009 for MT reasons | MT Column 1 |
| NP applies to “specially designed” or modified “software” for equipment controlled by 2B001 for NP reasons, and to “specially designed” “software” for equipment controlled by 2B004, 2B006, 2B007, or 2B009 for NP reasons | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. “Software” “specially designed” or modified for the “use” of equipment specified by 2A001.c., 2B001, or 2B003 to 2B009.
Note:2D001 does not apply to part programming “software” that generates “numerical control” codes for machining various parts.
2D002 “Software” for electronic devices, even when residing in an electronic device or system, enabling such devices or systems to function as a “numerical control” unit, capable of coordinating simultaneously more than 4 axes for “contouring control”. License Requirements Reason for Control: NS, NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| NP applies to entire entry | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
2D002 does not control “software” “specially designed” or modified for the operation of items not specified by Category 2.
Note 2:2D002 does not control “software” for items specified by 2B002. See 2D001 and 2D003 for “software” for items specified by 2B002.
Note 3:2D002 does not apply to “software” that is exported with, and the minimum necessary for the operation of, items not specified by Category 2.
The list of items controlled is contained in the ECCN heading.
2D003 “Software”, designed or modified for the operation of equipment specified by 2B002, that converts optical design, workpiece measurements and material removal functions into “numerical control” commands to achieve the desired workpiece form. License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2. |
| AT applies to entire entry | AT Column 1. |
No software is currently controlled under this entry. See ECCNs 0D501, 0D602, and 0D606 for software formerly controlled under this entry.
2D101 “Software” “specially designed” or modified for the “use” of equipment controlled by 2B104, 2B105, 2B109, 2B116, 2B117, or 2B119 to 2B122. License Requirements Reason for Control: MT, NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1. |
| NP applies to “software” “specially designed” for the use” of items controlled by 2B104, 2B109, or 2B116 for NP reasons | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 2 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 2 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| RS applies to entire entry | RS Column 2 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| RS applies to entire entry | RS Column 2. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
a.1. For “flexible manufacturing units” (FMUs) which consist at least of equipment described in b.1 and b.2 of the definition of “flexible manufacturing unit” contained in part 772 of the EAR; and
a.2. Capable of generating or modifying, in “real-time processing”, programs or data by using the signals obtained simultaneously by means of at least two detection techniques, such as:
a.2.a. Machine vision (optical ranging);
a.2.b. Infrared imaging;
a.2.c. Acoustical imaging (acoustical ranging);
a.2.d. Tactile measurement;
a.2.e. Inertial positioning;
a.2.f. Force measurement; and
a.2.g. Torque measurement.
Note:2D992.a does not control “software” which only provides rescheduling of functionally identical equipment within “flexible manufacturing units” using pre-stored part programs and a pre-stored strategy for the distribution of the part programs.
b. Reserved.
2D993 “Software” “specially designed” or modified for the “development,” “production,” or “use” of items controlled by 2A992 or 2A993. License Requirements Reason for Control: AT| Control(s) | Country chart (see supp. no. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to “technology” for items controlled by 2A001, 2B001 to 2B009, 2D001 or 2D002 | NS Column 1 |
| MT applies to “technology” for items controlled by 2B004, 2B009, 2B104, 2B105, 2B109, 2B116, 2B117, 2B119 to 2B122, 2D001, or 2D101 for MT reasons | MT Column 1 |
| NP applies to “technology” for items controlled by 2A225, 2A226, 2B001, 2B004, 2B006, 2B007, 2B009, 2B104, 2B109, 2B116, 2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B233, 2D001, 2D002, 2D101, 2D201, or 2D202 for NP reasons | NP Column 1 |
| NP applies to “technology” for items controlled by 2A290, 2A291, or 2D290 for NP reasons | NP Column 2 |
| CB applies to “technology” for equipment controlled by 2B350 to 2B352, valves controlled by 2A226 having the characteristics of those controlled by 2B350.g, and software controlled by 2D351 | CB Column 2 |
| AT applies to entire entry | AT Column 1 |
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) TSR: Yes, except N/A for MT Special Conditions for STA STA: License Exception STA may not be used to ship or transmit “technology” according to the General Technology Note for the “development” of “software” specified in the License Exception STA paragraph in the License Exception section of ECCN 2D001 or for the “development” of equipment as follows: ECCN 2B001 entire entry; or “Numerically controlled” or manual machine tools as specified in 2B003 to any of the destinations listed in Country Group A:6 (See Supplement No. 1 to part 740 of the EAR). List of Items Controlled Related Controls: See also 2E101, 2E201, and 2E301 Related Definitions: N/A Items:The list of items controlled is contained in the ECCN heading.
Note 1 to 2E001:ECCN 2E001 includes “technology” for the integration of probe systems into coordinate measurement machines specified by 2B006.a.
2E002 “Technology” according to the General Technology Note for the “production” of equipment controlled by 2A (except 2A983, 2A984, 2A991, or 2A994), or 2B (except 2B991, 2B993, 2B996, 2B997, 2B998, or 2B999). License Requirements Reason for Control: NS, MT, NP, CB, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to “technology” for equipment controlled by 2A001, 2B001 to 2B009 | NS Column 1 |
| MT applies to “technology” for equipment controlled by 2B004, 2B009, 2B104, 2B105, 2B109, 2B116, 2B117, or 2B119 to 2B122 for MT reasons | MT Column 1 |
| NP applies to “technology” for equipment controlled by 2A225, 2A226, 2B001, 2B004, 2B006, 2B007, 2B009, 2B104, 2B109, 2B116, 2B201, 2B204, 2B206, 2B207, 2B209, 2B225 to 2B233 for NP reasons | NP Column 1 |
| NP applies to “technology” for equipment controlled by 2A290 or 2A291 for NP reasons | NP Column 2 |
| CB applies to “technology” for equipment Controlled by 2B350 to 2B352 and for valves controlled by 2A226 having the characteristics of those controlled by 2B350.g | CB Column 2 |
| AT applies to entire entry | AT Column 1 |
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) TSR: Yes, except N/A for MT Special Conditions for STA STA: License Exception STA may not be used to ship or transmit “technology” according to the General Technology Note for the “production” of equipment as follows: ECCN 2B001 entire entry; or “Numerically controlled” or manual machine tools as specified in 2B003 to any of the destinations listed in Country Group A:6 (See Supplement No. 1 to part 740 of the EAR). List of Items Controlled Related Controls: N/A Related Definitions: N/A Items:The list of items controlled is contained in the ECCN heading.
2E003 Other “technology”, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| AT applies to entire entry | AT Column 1. |
b. “Technology” for metal-working manufacturing processes, as follows:
b.1. “Technology” for the design of tools, dies or fixtures “specially designed” for any of the following processes:
b.1.a. “Superplastic forming”;
b.1.b. “Diffusion bonding”; or
b.1.c. 'Direct-acting hydraulic pressing';
b.2. Technical data consisting of process methods or parameters as listed below used to control:
b.2.a. “Superplastic forming” of aluminum alloys, titanium alloys or “superalloys:”
b.2.a.1. Surface preparation;
b.2.a.2. Strain rate;
b.2.a.3. Temperature;
b.2.a.4. Pressure;
b.2.b. “Diffusion bonding” of “superalloys” or titanium alloys:
b.2.b.1. Surface preparation;
b.2.b.2. Temperature;
b.2.b.3. Pressure;
b.2.c. 'Direct-acting hydraulic pressing' of aluminum alloys or titanium alloys:
b.2.c.1. Pressure;
b.2.c.2. Cycle time;
b.2.d. 'Hot isostatic densification' of titanium alloys, aluminum alloys or “superalloys”:
b.2.d.1. Temperature;
b.2.d.2. Pressure;
b.2.d.3. Cycle time;
Technical Notes:1. 'Direct-acting hydraulic pressing' is a deformation process which uses a fluid-filled flexible bladder in direct contact with the workpiece.
2. 'Hot isostatic densification' is a process of pressurizing a casting at temperatures exceeding 375 K (102 °C) in a closed cavity through various media (gas, liquid, solid particles, etc.) to create equal force in all directions to reduce or eliminate internal voids in the casting.
c. “Technology” for the “development” or “production” of hydraulic stretch-forming machines and dies therefor, for the manufacture of airframe structures;
d. [Reserved]
e. “Technology” for the “development” of integration “software” for incorporation of expert systems for advanced decision support of shop floor operations into “numerical control” units;
f. “Technology” for the application of inorganic overlay coatings or inorganic surface modification coatings (specified in column 3 of the following table) to non-electronic substrates (specified in column 2 of the following table), by processes specified in column 1 of the following table and defined in the Technical Note.
N.B.:This table should be read to control the technology of a particular 'Coating Process' only when the resultant coating in column 3 is in a paragraph directly across from the relevant 'Substrate' under column 2. For example, Chemical Vapor Deposition (CVD) 'coating process' control the “technology” for a particular application of 'silicides' to 'Carbon-carbon, Ceramic and Metal “matrix” “composites” substrates, but are not controlled for the application of 'silicides' to 'Cemented tungsten carbide (16), Silicon carbide (18)' substrates. In the second case, the resultant coating is not listed in the paragraph under column 3 directly across from the paragraph under column 2 listing 'Cemented tungsten carbide (16), Silicon carbide (18).'
Category 2E - Materials Processing Table; Deposition Techniques
| 1. Coating process (1) 1 | 2. Substrate | 3. Resultant coating |
|---|---|---|
| A. Chemical Vapor Deposition (CVD) | “Superalloys” | Aluminides for internal passages |
| Ceramics (19) and Low-expansion glasses (14) | Silicides Carbides Dielectric layers (15) Diamond Diamond-like carbon (17) |
|
| Carbon-carbon, Ceramic, and Metal “matrix” “composites” | Silicides Carbides Refractory metals, Mixtures thereof (4) Dielectric layers (15) Aluminides Alloyed aluminides (2) Boron nitride |
|
| Cemented tungsten carbide (16), Silicon Carbide (18) | Carbides Tungsten Mixtures thereof (4) Dielectric layers (15) |
|
| Molybdenum and Molybdenum alloys | Dielectric layers (15) | |
| Beryllium and Beryllium alloys | Dielectric layers (15) Diamond Diamond-like carbon (17) |
|
| Sensor window materials (9) | Dielectric layers (15) Diamond Diamond-like carbon (17) |
|
| B. Thermal Evaportation Physical Vapor | ||
| 1. Physical Vapor Deposition (PVD): Deposition (TE-PVD) Electron-Beam (EB-PVD) | “Superalloys” | Alloyed silicides Alloyed aluminides (2) McrAlX (5) |
| Modified zirconia (12) Silicides | ||
| Aluminides | ||
| Mixtures thereof (4) | ||
| Ceramics (19) and Low-expansion glasses (14) | Dielectric layers (15) | |
| Corrosion resistant steel (7) | MCrAIX (5) Modified zirconia (12) |
|
| Mixtures thereof (4) | ||
| Carbon-carbon, Ceramic and Metal “matrix” “composites” | Silicides Carbides Refractory metals Mixtures thereof (4) |
|
| Dielectric layers (15) Boron nitride |
||
| Cemented tungsten carbide (16), Silicon carbide (18) | Carbides Tungsten Mixtures thereof (4) Dielectric layers (15) |
|
| Molybdenum and Molybdenum alloys | Dielectric layers (15) | |
| Beryllium and Beryllium alloys | Dielectric layers (15) Borides Beryllium |
|
| Sensor window materials (9) | Dielectric layers (15) | |
| Titanium alloys (13) | Borides Nitrides |
|
| 2. Ion assisted resistive heating. Physical Vapor Deposition (PVD) (Ion Plating) | Ceramics (19) and Low-expansion glasses (14) | Dielectric layers (15) Diamond-like carbon (17) |
| Carbon-carbon, Ceramic and Metal “matrix” “composites” | Dielectric layers (15) | |
| Cemented tungsten carbide (16), Silicon carbide | Dielectric layers (15) | |
| Molybdenum and Molybdenum alloys | Dielectric layers (15) | |
| Beryllium and Beryllium alloys | Dielectric layers (15) | |
| Sensor window materials (9) | Dielectric layers (15) Diamond-like carbon (17) |
|
| 3. Physical Vapor Deposition (PVD): “Laser” Vaporization | Ceramics (19) and Low-expansion glasses (14) | Silicides Dielectric layers (15) Diamond-like carbon (17) |
| Carbon-carbon, Ceramic and Metal “matrix” “composites” | Dielectric layers (15) | |
| Cemented tungsten carbide (16), Silicon carbide | Dielectric layers (15) | |
| Molybdenum and Molybdenum alloys | Dielectric layers (15) | |
| Beryllium and Beryllium alloys | Dielectric layers (15) | |
| Sensor window materials (9) | Dielectric layers (15) Diamond-like carbon |
|
| 4. Physical Vapor Deposition (PVD): Cathodic Arc Discharge | “Superalloys” | Alloyed silicides Alloyed Aluminides (2) MCrAlX (5) |
| Polymers (11) and Organic “matrix” “composites” | Borides Carbides Nitrides Diamond-like carbon (17) |
|
| C. Pack cementation (see A above for out-of-pack cementation) (10) | Carbon-carbon, Ceramic and Metal “matrix” “composites” | Silicides Carbides Mixtures thereof (4) |
| Titanium alloys (13) | Silicides Aluminides Alloyed aluminides (2) |
|
| Refractory metals and alloys (8) | Silicides Oxides |
|
| D. Plasma spraying | “Superalloys” | MCrAlX (5) Modified zirconia (12) Mixtures thereof (4) Abradable Nickel-Graphite Abradable materials containing Ni-Cr-Al |
| Abradable Al-Si-Polyester Alloyed aluminides (2) |
||
| Aluminum alloys (6) | MCrAIX (5) Modified zirconia (12) Silicides Mixtures thereof (4) |
|
| Refractory metals and alloys (8), Carbides, Corrosion resistant steel (7) | Aluminides Silicides MCrAIX (5) Modified zirconia (12) Mixtures thereof (4) |
|
| Titanium alloys (13) | Carbides Aluminides Silicides Alloyed aluminides (2) |
|
| Abradable, Nickel-Graphite | Abradable materials containing
Ni-Cr-Al Abradable Al-Si-Polyester |
|
| E. Slurry Deposition | Refractory metals and alloys (8) | Fused silicides Fused aluminides except for resistance heating elements |
| Carbon-carbon, Ceramic and Metal “matrix” “composites” | Silicides Carbides Mixtures thereof (4) |
|
| F. Sputter Deposition | “Superalloys” | Alloyed silicides Alloyed aluminides (2) Noble metal modified aluminides (3) McrAlX (5) Modified zirconia (12) Platinum Mixtures thereof (4) |
| Ceramics and Low-expansion glasses (14) | Silicides Platinum Mixtures thereof (4) Dielectric layers (15) Diamond-like carbon (17) |
|
| Titanium alloys (13) | Borides Nitrides Oxides Silicides Aluminides Alloyed aluminides (2) Carbides |
|
| Carbon-carbon, Ceramic and Metal “matrix” “Composites” | Silicides Carbides Refractory metals Mixtures thereof (4) Dielectric layers (15) Boron nitride |
|
| Cemented tungsten carbide (16), Silicon carbide (18) | Carbides Tungsten Mixtures thereof (4) Dielectric layers (15) Boron nitride |
|
| Molybdenum and Molybdenum alloys | Dielectric layers (15) | |
| Beryllium and Beryllium alloys | Borides Dielectric layers (15) Beryllium |
|
| Sensor window materials (9) | Dielectric layers (15) Diamond-like carbon (17) |
|
| Refractory metals and alloys (8) | Aluminides Silicides Oxides Carbides |
|
| G. Ion Implantation | High temperature bearing steels | Additions of Chromium, Tantalum, or Niobium (Columbium) |
| Titanium alloys (13) | Borides Nitrides |
|
| Beryllium and Beryllium alloys | Borides | |
| Cemented tungsten carbide (16) | Carbides Nitrides |
1 The numbers in parenthesis refer to the Notes following this Table.
2. The term 'alloyed aluminide coating' includes single or multiple-step coatings in which an element or elements are deposited prior to or during application of the aluminide coating, even if these elements are deposited by another coating process. It does not, however, include the multiple use of single-step pack cementation processes to achieve alloyed aluminides.
3. The term 'noble metal modified aluminide' coating includes multiple-step coatings in which the noble metal or noble metals are laid down by some other coating process prior to application of the aluminide coating.
4. The term 'mixtures thereof' includes infiltrated material, graded compositions, co-deposits and multilayer deposits and are obtained by one or more of the coating processes specified in the Table.
5. MCrAlX refers to a coating alloy where M equals cobalt, iron, nickel or combinations thereof and X equals hafnium, yttrium, silicon, tantalum in any amount or other intentional additions over 0.01% by weight in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22% by weight of chromium, less than 7% by weight of aluminum and less than 2% by weight of yttrium;
b. CoCrAlY coatings which contain 22 to 24% by weight of chromium, 10 to 12% by weight of aluminum and 0.5 to 0.7% by weight of yttrium; or
c. NiCrAlY coatings which contain 21 to 23% by weight of chromium, 10 to 12% by weight of aluminum and 0.9 to 1.1% by weight of yttrium.
6. The term 'aluminum alloys' refers to alloys having an ultimate tensile strength of 190 MPa or more measured at 293 K (20 °C).
7. The term 'corrosion resistant steel' refers to AISI (American Iron and Steel Institute) 300 series or equivalent national standard steels.
8. 'Refractory metals and alloys' include the following metals and their alloys: niobium (columbium), molybdenum, tungsten and tantalum.
9. 'Sensor window materials', as follows: alumina, silicon, germanium, zinc sulfide, zinc selenide, gallium arsenide, diamond, gallium phosphide, sapphire and the following metal halides: sensor window materials of more than 40 mm diameter for zirconium fluoride and hafnium fluoride.
10. Category 2 does not include “technology” for single-step pack cementation of solid airfoils.
11. 'Polymers', as follows: Polyimide, polyester, polysulfide, polycarbonates and polyurethanes.
12. 'Modified zirconia' refers to additions of other metal oxides, (e.g., calcia, magnesia, yttria, hafnia, rare earth oxides) to zirconia in order to stabilize certain crystallographic phases and phase compositions. Thermal barrier coatings made of zirconia, modified with calcia or magnesia by mixing or fusion, are not controlled.
13. 'Titanium alloys' refers only to aerospace alloys having an ultimate tensile strength of 900 MPa or more measured at 293 K (20 °C).
14. 'Low-expansion glasses' refers to glasses which have a coefficient of thermal expansion of 1 × 10−7 K−1 or less measured at 293 K (20 °C).
15. 'Dielectric layers' are coatings constructed of multi-layers of insulator materials in which the interference properties of a design composed of materials of various refractive indices are used to reflect, transmit or absorb various wavelength bands. Dielectric layers refers to more than four dielectric layers or dielectric/metal “composite” layers.
16. 'Cemented tungsten carbide' does not include cutting and forming tool materials consisting of tungsten carbide/(cobalt, nickel), titanium carbide/(cobalt, nickel), chromium carbide/nickel-chromium and chromium carbide/nickel.
17. “Technology” for depositing diamond-like carbon on any of the following is not controlled: magnetic disk drives and heads, equipment for the manufacture of disposables, valves for faucets, acoustic diaphragms for speakers, engine parts for automobiles, cutting tools, punching-pressing dies, office automation equipment, microphones, medical devices or molds, for casting or molding of plastics, manufactured from alloys containing less than 5% beryllium.
18. 'Silicon carbide' does not include cutting and forming tool materials.
19. Ceramic substrates, as used in this entry, does not include ceramic materials containing 5% by weight, or greater, clay or cement content, either as separate constituents or in combination.
Technical Note to Table on Deposition Techniques:Processes specified in Column 1 of the Table are defined as follows:
a. Chemical Vapor Deposition (CVD) is an overlay coating or surface modification coating process wherein a metal, alloy, “composite”, dielectric or ceramic is deposited upon a heated substrate. Gaseous reactants are decomposed or combined in the vicinity of a substrate resulting in the deposition of the desired elemental, alloy or compound material on the substrate. Energy for this decomposition or chemical reaction process may be provided by the heat of the substrate, a glow discharge plasma, or “laser” irradiation.
Note 1:CVD includes the following processes: Directed gas flow out-of-pack deposition, pulsating CVD, controlled nucleation thermal decomposition (CNTD), plasma enhanced or plasma assisted CVD processes.
Note 2:Pack denotes a substrate immersed in a powder mixture.
Note 3:The gaseous reactants used in the out-of-pack process are produced using the same basic reactions and parameters as the pack cementation process, except that the substrate to be coated is not in contact with the powder mixture.
b. Thermal Evaporation-Physical Vapor Deposition (TE-PVD) is an overlay coating process conducted in a vacuum with a pressure less than 0.1 Pa wherein a source of thermal energy is used to vaporize the coating material. This process results in the condensation, or deposition, of the evaporated species onto appropriately positioned substrates. The addition of gases to the vacuum chamber during the coating process to synthesize compound coatings is an ordinary modification of the process. The use of ion or electron beams, or plasma, to activate or assist the coating's deposition is also a common modification in this technique. The use of monitors to provide in-process measurement of optical characteristics and thickness of coatings can be a feature of these processes. Specific TE-PVD processes are as follows:
1. Electron Beam PVD uses an electron beam to heat and evaporate the material which forms the coating;
2. Ion Assisted Resistive Heating PVD employs electrically resistive heating sources in combination with impinging ion beam(s) to produce a controlled and uniform flux of evaporated coating species;
3. “Laser” Vaporization uses either pulsed or continuous wave “laser” beams to vaporize the material which forms the coating;
4. Cathodic Arc Deposition employs a consumable cathode of the material which forms the coating and has an arc discharge established on the surface by a momentary contact of a ground trigger. Controlled motion of arcing erodes the cathode surface creating a highly ionized plasma. The anode can be either a cone attached to the periphery of the cathode, through an insulator, or the chamber. Substrate biasing is used for non line-of-sight deposition;
Note:This definition does not include random cathodic arc deposition with non-biased substrates.
5. Ion Plating is a special modification of a general TE-PVD process in which a plasma or an ion source is used to ionize the species to be deposited, and a negative bias is applied to the substrate in order to facilitate the extraction of the species from the plasma. The introduction of reactive species, evaporation of solids within the process chamber, and the use of monitors to provide in-process measurement of optical characteristics and thicknesses of coatings are ordinary modifications of the process.
c. Pack Cementation is a surface modification coating or overlay coating process wherein a substrate is immersed in a powder mixture (a pack), that consists of:
1. The metallic powders that are to be deposited (usually aluminum, chromium, silicon or combinations thereof);
2. An activator (normally a halide salt); and
3. An inert powder, most frequently alumina.
Note:The substrate and powder mixture is contained within a retort which is heated to between 1,030 K (757 °C) to 1,375 K (1,102 °C) for sufficient time to deposit the coating.
d. Plasma Spraying is an overlay coating process wherein a gun (spray torch) which produces and controls a plasma accepts powder or wire coating materials, melts them and propels them towards a substrate, whereon an integrally bonded coating is formed. Plasma spraying constitutes either low pressure plasma spraying or high velocity plasma spraying.
Note 1:Low pressure means less than ambient atmospheric pressure.
Note 2:High velocity refers to nozzle-exit gas velocity exceeding 750 m/s calculated at 293 K (20 °C) at 0.1 MPa.
e. Slurry Deposition is a surface modification coating or overlay coating process wherein a metallic or ceramic powder with an organic binder is suspended in a liquid and is applied to a substrate by either spraying, dipping or painting, subsequent air or oven drying, and heat treatment to obtain the desired coating.
f. Sputter Deposition is an overlay coating process based on a momentum transfer phenomenon, wherein positive ions are accelerated by an electric field towards the surface of a target (coating material). The kinetic energy of the impacting ions is sufficient to cause target surface atoms to be released and deposited on an appropriately positioned substrate.
Note 1:The Table refers only to triode, magnetron or reactive sputter deposition which is used to increase adhesion of the coating and rate of deposition and to radio frequency (RF) augmented sputter deposition used to permit vaporization of non-metallic coating materials.
Note 2:Low-energy ion beams (less than 5 keV) can be used to activate the deposition.
g. Ion Implantation is a surface modification coating process in which the element to be alloyed is ionized, accelerated through a potential gradient and implanted into the surface region of the substrate. This includes processes in which ion implantation is performed simultaneously with electron beam physical vapor deposition or sputter deposition.
Accompanying Technical Information to Table on Deposition Techniques:
1. Technical information for pretreatments of the substrates listed in the Table, as follows:
a. Chemical stripping and cleaning bath cycle parameters, as follows:
1. Bath composition;
a. For the removal of old or defective coatings corrosion product or foreign deposits;
b. For preparation of virgin substrates;
2. Time in bath;
3. Temperature of bath;
4. Number and sequences of wash cycles;
b. Visual and macroscopic criteria for acceptance of the cleaned part;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Temperature for heat treatment;
3. Time of heat treatment;
d. Substrate surface preparation parameters, as follows:
1. Grit blasting parameters, as follows:
a. Grit composition;
b. Grit size and shape;
c. Grit velocity;
2. Time and sequence of cleaning cycle after grit blast;
3. Surface finish parameters;
4. Application of binders to promote adhesion;
e. Masking technique parameters, as follows:
1. Material of mask;
2. Location of mask;
2. Technical information for in situ quality assurance techniques for evaluation of the coating processes listed in the Table, as follows:
a. Atmosphere parameters, as follows:
1. Composition of the atmosphere;
2. Pressure of the atmosphere;
b. Time parameters;
c. Temperature parameters;
d. Thickness parameters;
e. Index of refraction parameters;
f. Control of composition;
3. Technical information for post deposition treatments of the coated substrates listed in the Table, as follows:
a. Shot peening parameters, as follows:
1. Shot composition;
2. Shot size;
3. Shot velocity;
b. Post shot peening cleaning parameters;
c. Heat treatment cycle parameters, as follows:
1. Atmosphere parameters, as follows:
a. Composition of the atmosphere;
b. Pressure of the atmosphere;
2. Time-temperature cycles;
d. Post heat treatment visual and macroscopic criteria for acceptance of the coated substrates;
4. Technical information for quality assurance techniques for the evaluation of the coated substrates listed in the Table, as follows:
a. Statistical sampling criteria;
b. Microscopic criteria for:
1. Magnification;
2. Coating thickness, uniformity;
3. Coating integrity;
4. Coating composition;
5. Coating and substrates bonding;
6. Microstructural uniformity.
c. Criteria for optical properties assessment (measured as a function of wavelength):
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. Technical information and parameters related to specific coating and surface modification processes listed in the Table, as follows:
a. For Chemical Vapor Deposition (CVD):
1. Coating source composition and formulation;
2. Carrier gas composition;
3. Substrate temperature;
4. Time-temperature-pressure cycles;
5. Gas control and part manipulation;
b. For Thermal Evaporation-Physical Vapor Deposition (PVD):
1. Ingot or coating material source composition;
2. Substrate temperature;
3. Reactive gas composition;
4. Ingot feed rate or material vaporization rate;
5. Time-temperature-pressure cycles;
6. Beam and part manipulation;
7. “Laser” parameters, as follows:
a. Wave length;
b. Power density;
c. Pulse length;
d. Repetition ratio;
e. Source;
c. For Pack Cementation:
1. Pack composition and formulation;
2. Carrier gas composition;
3. Time-temperature-pressure cycles;
d. For Plasma Spraying:
1. Powder composition, preparation and size distributions;
2. Feed gas composition and parameters;
3. Substrate temperature;
4. Gun power parameters;
5. Spray distance;
6. Spray angle;
7. Cover gas composition, pressure and flow rates;
8. Gun control and part manipulation;
e. For Sputter Deposition:
1. Target composition and fabrication;
2. Geometrical positioning of part and target;
3. Reactive gas composition;
4. Electrical bias;
5. Time-temperature-pressure cycles;
6. Triode power;
7. Part manipulation;
f. For Ion Implantation:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate parameters;
4. Time-temperature-pressure cycles.
g. For Ion Plating:
1. Beam control and part manipulation;
2. Ion source design details;
3. Control techniques for ion beam and deposition rate parameters;
4. Time-temperature-pressure cycles;
5. Coating material feed rate and vaporization rate;
6. Substrate temperature;
7. Substrate bias parameters.
2E018 “Technology” for the “use” of equipment controlled by 2B018. License Requirements Reason for Control: NS, MT, AT, UN| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| MT applies to “technology” for equipment controlled by 2B018 for MT reasons | MT Column 1. |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry. | See § 746.1(b) for UN controls. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to “technology” for items controlled by 2B004, 2B009, 2B104, 2B105, 2B109, 2B116, 2B117, 2B119 to 2B122, 2D001, or 2D101 for MT reasons | MT Column 1 |
| NP applies to “technology” for items controlled by 2B004, 2B009, 2B104, 2B109, 2B116, 2D001, 2D002 or 2D101 for NP reasons | NP Column 1 |
| AT applies to entire entry. | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1. |
| CB applies to “technology” for valves controlled by 2A226 that meet or exceed the technical parameters in 2B350.g | CB Column 2. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country chart (see supp. no. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 2 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CB applies to entire entry | CB Column 2. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| RS applies to entire entry | RS Column 2 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| RS applies to entire entry | RS Column 2. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see supp. no. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 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 to 3A001.a.14, 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 to 3A001.a.14 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, or 3A001.a.12 to 3A001.a.14.
Note 3:The status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3A001.a, 3A001.b, 3A001.d, 3A001.e.4, 3A001.g, 3A001.h, or 3A001.i.
3A001 Electronic items as follows (see List of Items Controlled). Reason for Control: NS, RS, MT, NP, AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers in 3A001.b.2 and discrete microwave transistors in 3A001.b.3, except those 3A001.b.2 and b.3 items being exported or reexported for use in civil telecommunications applications | NS Column 1 |
| NS applies to entire entry | NS Column 2 |
| RS applies “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers in 3A001.b.2 and discrete microwave transistors in 3A001.b.3, except those 3A001.b.2 and b.3 items being exported or reexported for use in civil telecommunications applications | RS Column 1 |
| MT applies to 3A001.a.1.a when usable in “missiles”; and to 3A001.a.5.a when “designed or modified” for military use, hermetically sealed and rated for operation in the temperature range from below -54 °C to above +125 °C | MT Column 1 |
| NP applies to pulse discharge capacitors in 3A001.e.2 and superconducting solenoidal electromagnets in 3A001.e.3 that meet or exceed the technical parameters in 3A201.a and 3A201.b, respectively | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: N/A for MT or NP; N/A for “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers in 3A001.b.2 and discrete microwave transistors in 3A001.b.3, except those that are being exported or reexported for use in civil telecommunications applications. Yes for: $1500: 3A001.c $3000: 3A001.b.1, b.2 (exported or reexported for use in civil telecommunications applications), b.3 (exported or reexported for use in civil telecommunications applications), b.9, .d, .e, .f, and .g. $5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), .b.4 to b.7, and b.12. GBS: Yes for 3A001.a.1.b, a.2 to a.14 (except .a.5.a when controlled for MT), b.2 (exported or reexported for use in civil telecommunications applications), b.8 (except for “vacuum electronic devices” exceeding 18 GHz), b.9., b.10, .g, and .h, and .i. Special Conditions for STA STA: License Exception STA may not be used to ship any item in 3A001.b.2 or b.3, except those that are being exported or reexported for use in civil telecommunications applications, to any of the destinations listed in Country Group A:5 or A:6 (See Supplement No.1 to part 740 of the EAR). List of Items Controlled Related Controls: (1) See Category XV of the USML for certain “space-qualified” electronics and Category XI of the USML for certain ASICs, 'transmit/receive modules,' or 'transmit modules' “subject to the ITAR” (see 22 CFR parts 120 through 130). (2) See also 3A101, 3A201, 3A611, 3A991, and 9A515. Related Definitions: 'Microcircuit' means a device in which a number of passive or active elements are considered as indivisibly associated on or within a continuous structure to perform the function of a circuit. For the purposes of integrated circuits in 3A001.a.1, 5 × 10 3 Gy (Si) = 5 × 10 5 Rads (Si); 5 × 10 6 Gy (Si)/s = 5 × 10 8 Rads (Si)/s. Items:a. General purpose integrated circuits, as follows:
Note 1: 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”; - “Three dimensional integrated circuits”; - “Monolithic Microwave Integrated Circuits” (“MMICs”).a.1. Integrated circuits designed or rated as radiation hardened to withstand any of the following:
a.1.a. A total dose of 5 × 10 3 Gy (Si), or higher;
a.1.b. A dose rate upset of 5 × 10 6 Gy (Si)/s, or higher; or
a.1.c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 10 13 n/cm 2 or higher on silicon, or its equivalent for other materials;
Note: 3A001.a.1.c does not apply to Metal Insulator Semiconductors (MIS).
a.2. “Microprocessor microcircuits,” “microcomputer microcircuits,” microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analog-to-digital converters, integrated circuits that contain analog-to-digital converters and store or process the digitized data, digital-to-analog converters, electro-optical or “optical integrated circuits” designed for “signal processing”, field programmable logic devices, custom integrated circuits for which either the function is unknown or the control status of the equipment in which the integrated circuit will be used in unknown, Fast Fourier Transform (FFT) processors, Static Random-Access Memories (SRAMs), or 'non-volatile memories,' having any of the following:
Technical Note: 'Non-volatile memories' are memories with data retention over a period of time after a power shutdown.
a.2.a. Rated for operation at an ambient temperature above 398 K (+125 °C);
a.2.b. Rated for operation at an ambient temperature below 218 K (−55 °C); or
a.2.c. Rated for operation over the entire ambient temperature range from 218 K (−55 °C) to 398 K (+125 °C);
Note: 3A001.a.2 does not apply to integrated circuits designed for civil automobile or railway train applications.
a.3. “Microprocessor microcircuits”, “microcomputer microcircuits” and microcontroller microcircuits, manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz;
Note: 3A001.a.3 includes digital signal processors, digital array processors and digital coprocessors.
a.4. [Reserved]
a.5. Analog-to-Digital Converter (ADC) and Digital-to-Analog Converter (DAC) integrated circuits, as follows:
a.5.a. ADCs having any of the following:
a.5.a.1. A resolution of 8 bit or more, but less than 10 bit, with a “sample rate” greater than 1.3 Giga Samples Per Second (GSPS);
a.5.a.2. A resolution of 10 bit or more, but less than 12 bit, with a “sample rate” greater than 600 Mega Samples Per Second (MSPS);
a.5.a.3. A resolution of 12 bit or more, but less than 14 bit, with a “sample rate” greater than 400 MSPS;
a.5.a.4. A resolution of 14 bit or more, but less than 16 bit, with a “sample rate” greater than 250 MSPS; or
a.5.a.5. A resolution of 16 bit or more with a “sample rate” greater than 65 MSPS;
N.B.: For integrated circuits that contain analog-to-digital converters and store or process the digitized data see 3A001.a.14.
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2 n levels.
2. The resolution of the ADC is the number of bits of the digital output that represents the measured analog input. Effective Number of Bits (ENOB) is not used to determine the resolution of the ADC.
3. For “multiple channel ADCs”, the “sample rate” is not aggregated and the “sample rate” is the maximum rate of any single channel.
4. For “interleaved ADCs” or for “multiple channel ADCs” that are specified to have an interleaved mode of operation, the “sample rates” are aggregated and the “sample rate” is the maximum combined total rate of all of the interleaved channels.
a.5.b. Digital-to-Analog Converters (DAC) having any of the following:
a.5.b.1. A resolution of 10-bit or more but less than 12-bit,with an 'adjusted update rate' of exceeding 3,500 MSPS; or
a.5.b.2. A resolution of 12-bit or more and having any of the following:
a.5.b.2.a. An 'adjusted update rate' exceeding 1,250 MSPS but not exceeding 3,500 MSPS, and having any of the following:
a.5.b.2.a.1. A settling time less than 9 ns to arrive at or within 0.024% of full scale from a full scale step; or
a.5.b.2.a.2. A ' Spurious Free Dynamic Range' (SFDR) greater than 68 dBc (carrier) when synthesizing a full scale analog signal of 100 MHz or the highest full scale analog signal frequency specified below 100 MHz; or
a.5.b.2.b. An 'adjusted update rate' exceeding 3,500 MSPS;
Technical Notes:
1. 'Spurious Free Dynamic Range' (SFDR) is defined as the ratio of the RMS value of the carrier frequency (maximum signal component) at the input of the DAC to the RMS value of the next largest noise or harmonic distortion component at its output.
2. SFDR is determined directly from the specification table or from the characterization plots of SFDR versus frequency.
3. A signal is defined to be full scale when its amplitude is greater than -3 dBfs (full scale).
4. 'Adjusted update rate' for DACs is:
a. For conventional (non-interpolating) DACs, the 'adjusted update rate' is the rate at which the digital signal is converted to an analog signal and the output analog values are changed by the DAC. For DACs where the interpolation mode may be bypassed (interpolation factor of one), the DAC should be considered as a conventional (non-interpolating) DAC.
b. For interpolating DACs (oversampling DACs), the 'adjusted update rate' is defined as the DAC update rate divided by the smallest interpolating factor. For interpolating DACs, the 'adjusted update rate' may be referred to by different terms including:
• input data rate • input word rate • input sample rate • maximum total input bus rate • maximum DAC clock rate for DAC clock input.a.6. Electro-optical and “optical integrated circuits”, designed for “signal processing” and 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 logic devices' having any of the following:
a.7.a. A maximum number of single-ended digital input/outputs of greater than 700; or
a.7.b. An 'aggregate one-way peak serial transceiver data rate' of 500 Gb/s or greater;
Note: 3A001.a.7 includes:
- Complex Programmable Logic Devices (CPLDs); - Field Programmable Gate Arrays (FPGAs); - Field Programmable Logic Arrays (FPLAs); - Field Programmable Interconnects (FPICs).N.B.: For integrated circuits having field programmable logic devices that are combined with an analog-to-digital converter, see 3A001.a.14.
Technical Notes:
1. Maximum number of digital input/outputs in 3A001.a.7.a is also referred to as maximum user input/outputs or maximum available input/outputs, whether the integrated circuit is packaged or bare die.
2. 'Aggregate one-way peak serial transceiver data rate' is the product of the peak serial one-way transceiver data rate times the number of transceivers on the FPGA.
a.8. [Reserved]
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 1,500 terminals;
a.10.b. A typical “basic gate propagation delay time” of less than 0.02 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 3,000 (2 input gates); or
a.11.b. A toggle frequency exceeding 1.2 GHz;
a.12. Fast Fourier Transform (FFT) processors having a rated execution time for an N-point complex FFT of less than (N log2 N)/20,480 ms, where N is the number of points;
Technical Note: When N is equal to 1,024 points, the formula in 3A001.a.12 gives an execution time of 500 µs.
a.13. Direct Digital Synthesizer (DDS) integrated circuits having any of the following:
a.13.a. A Digital-to-Analog Converter (DAC) clock frequency of 3.5 GHz or more and a DAC resolution of 10 bit or more, but less than 12 bit; or
a.13.b. A DAC clock frequency of 1.25 GHz or more and a DAC resolution of 12 bit or more;
Technical Note: The DAC clock frequency may be specified as the master clock frequency or the input clock frequency.
a.14. Integrated circuits that perform or are programmable to perform all of the following:
a.14.a. Analog-to-digital conversions meeting any of the following:
a.14.a.1. A resolution of 8 bit or more, but less than 10 bit, with a “sample rate” greater than 1.3 Giga Samples Per Second (GSPS);
a.14.a.2. A resolution of 10 bit or more, but less than 12 bit, with a “sample rate” greater than 1.0 GSPS;
a.14.a.3. A resolution of 12 bit or more, but less than 14 bit, with a “sample rate” greater than 1.0 GSPS;
A.14.a.4. A resolution of 14 bit or more, but less than 16 bit, with a “sample rate” greater than 400 Mega Samples Per Second (MSPS); or
a.14.a.5. A resolution of 16 bit or more with a “sample rate” greater than 180 MSPS; and
a.14.b. Any of the following:
a.14.b.1. Storage of digitized data; or
a.14.b.2. Processing of digitized data;
N.B. 1: For analog-to-digital converter integrated circuits see 3A001.a.5.a.
N.B. 2: For field programmable logic devices see 3A001.a.7.
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2 n levels.
2. The resolution of the ADC is the number of bits of the digital output of the ADC that represents the measured analog input. Effective Number of Bits (ENOB) is not used to determine the resolution of the ADC.
3. For integrated circuits with non- interleaving “multiple channel ADCs”, the “sample rate” is not aggregated and the “sample rate” is the maximum rate of any single channel.
4. For integrated circuits with “interleaved ADCs” or with “multiple channel ADCs” that are specified to have an interleaved mode of operation, the “sample rates” are aggregated and the “sample rate” is the maximum combined total rate of all of the interleaved channels.
b. Microwave or millimeter wave items, as follows:
Technical Note: For purposes of 3A001.b, the parameter peak saturated power output may also be referred to on product data sheets as output power, saturated power output, maximum power output, peak power output, or peak envelope power output.
b.1. “Vacuum electronic devices” and cathodes, as follows:
Note 1: 3A001.b.1 does not control “vacuum electronic devices” designed or rated for operation in any frequency band and having all of the following:
a. Does not exceed 31.8 GHz; and
b. Is “allocated by the ITU” for radio-communications services, but not for radio-determination.
Note 2: 3A001.b.1 does not control non-“space-qualified” “vacuum electronic devices” having all the following:
a. An average output power equal to or less than 50 W; and
b. Designed or rated for operation in any frequency band and having all of the following:
1. Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
2. Is “allocated by the ITU” for radio-communications services, but not for radio-determination.
b.1.a. Traveling-wave “vacuum electronic devices,” pulsed or continuous wave, as follows:
b.1.a.1. Devices operating at frequencies exceeding 31.8 GHz;
b.1.a.2. Devices having a cathode heater with a turn on time to rated RF power of less than 3 seconds;
b.1.a.3. Coupled cavity devices, or derivatives thereof, with a “fractional bandwidth” of more than 7% or a peak power exceeding 2.5 kW;
b.1.a.4. Devices based on helix, folded waveguide, or serpentine waveguide circuits, or derivatives thereof, having any of the following:
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;
b.1.a.4.c. Being “space-qualified”; or
b.1.a.4.d. Having a gridded electron gun;
b.1.a.5. Devices with a “fractional bandwidth” greater than or equal to 10%, with any of the following:
b.1.a.5.a. An annular electron beam;
b.1.a.5.b. A non-axisymmetric electron beam; or
b.1.a.5.c. Multiple electron beams;
b.1.b. Crossed-field amplifier “vacuum electronic devices” with a gain of more than 17 dB;
b.1.c. Thermionic cathodes, designed for “vacuum electronic devices,” producing an emission current density at rated operating conditions exceeding 5 A/cm 2 or a pulsed (non-continuous) current density at rated operating conditions exceeding 10 A/cm 2;
b.1.d. “Vacuum electronic devices” with the capability to operate in a 'dual mode.'
Technical Note: 'Dual mode' means the “vacuum electronic device” beam current can be intentionally changed between continuous-wave and pulsed mode operation by use of a grid and produces a peak pulse output power greater than the continuous-wave output power.
b.2. “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers that are any of the following:
N.B.: For “MMIC” amplifiers that have an integrated phase shifter see 3A001.b.12.
b.2.a. Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz with a “fractional bandwidth” greater than 15%, and having any of the following:
b.2.a.1. A peak saturated power output greater than 75 W (48.75 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.2.a.2. A peak saturated power output greater than 55 W (47.4 dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.2.a.3. A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
b.2.a.4. A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.2.b. Rated for operation at frequencies exceeding 6.8 GHz up to and including 16 GHz with a “fractional bandwidth” greater than 10%, and having any of the following:
b.2.b.1. A peak saturated power output greater than 10 W (40 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or
b.2.b.2. A peak saturated power output greater than 5 W (37 dBm) at any frequency exceeding 8.5 GHz up to and including 16 GHz;
b.2.c. Rated for operation with a peak saturated power output greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz, and with a “fractional bandwidth” of greater than 10%;
b.2.d. Rated for operation with a peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz;
b.2.e. Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz, and with a “fractional bandwidth” of greater than 10%;
b.2.f. Rated for operation with a peak saturated power output greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz, and with a “fractional bandwidth” of greater than 10%;
b.2.g. Rated for operation with a peak saturated power output greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a “fractional bandwidth” of greater than 5%; or
b.2.h. Rated for operation with a peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz;
Note 1: [Reserved]
Note 2: The control status of the “MMIC” whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.2.a through 3A001.b.2.h, is determined by the lowest peak saturated power output control threshold.
Note 3: Notes 1 and 2 following the Category 3 heading for product group A. Systems, Equipment, and Components mean that 3A001.b.2 does not control “MMICs” if they are “specially designed” for other applications, e.g., telecommunications, radar, automobiles.
b.3. Discrete microwave transistors that are any of the following:
b.3.a. Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz and having any of the following:
b.3.a.1. A peak saturated power output greater than 400 W (56 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.3.a.2. A peak saturated power output greater than 205 W (53.12 dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.3.a.3. A peak saturated power output greater than 115 W (50.61 dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
b.3.a.4. A peak saturated power output greater than 60 W (47.78 dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.3.b. Rated for operation at frequencies exceeding 6.8 GHz up to and including 31.8 GHz and having any of the following:
b.3.b.1. A peak saturated power output greater than 50 W (47 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.3.b.2. A peak saturated power output greater than 15 W (41.76 dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.3.b.3. A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; or
b.3.b.4. A peak saturated power output greater than 7 W (38.45 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.3.c. Rated for operation with a peak saturated power output greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz;
b.3.d. Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz;
b.3.e. Rated for operation with a peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 43.5 GHz; or
b.3.f. Other than those specified by 3A001.b.3.a to 3A001.b.3.e and rated for operation with a peak saturated power output greater than 5 W (37.0 dBm) at all frequencies exceeding 8.5 GHz up to and including 31.8 GHz;
Note 1: The control status of a transistor in 3A001.b.3.a through 3A001.b.3.e, whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.3.a through 3A001.b.3.e, is determined by the lowest peak saturated power output control threshold.
Note 2: 3A001.b.3 includes bare dice, dice mounted on carriers, or dice mounted in packages. Some discrete transistors may also be referred to as power amplifiers, but the status of these discrete transistors is determined by 3A001.b.3.
b.4. Microwave solid state amplifiers and microwave assemblies/modules containing microwave solid state amplifiers, that are any of the following:
b.4.a. Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz with a “fractional bandwidth” greater than 15%, and having any of the following:
b.4.a.1. A peak saturated power output greater than 500 W (57 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
b.4.a.2. A peak saturated power output greater than 270 W (54.3 dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
b.4.a.3. A peak saturated power output greater than 200 W (53 dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
b.4.a.4. A peak saturated power output greater than 90 W (49.54 dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
b.4.b. Rated for operation at frequencies exceeding 6.8 GHz up to and including 31.8 GHz with a “fractional bandwidth” greater than 10%, and having any of the following:
b.4.b.1. A peak saturated power output greater than 70 W (48.54 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz;
b.4.b.2. A peak saturated power output greater than 50 W (47 dBm) at any frequency exceeding 8.5 GHz up to and including 12 GHz;
b.4.b.3. A peak saturated power output greater than 30 W (44.77 dBm) at any frequency exceeding 12 GHz up to and including 16 GHz; or
b.4.b.4. A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz;
b.4.c. Rated for operation with a peak saturated power output greater than 0.5 W (27 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz;
b.4.d. Rated for operation with a peak saturated power output greater than 2 W (33 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz, and with a “fractional bandwidth” of greater than 10%;
b.4.e. Rated for operation at frequencies exceeding 43.5 GHz and having any of the following:
b.4.e.1. A peak saturated power output greater than 0.2 W (23 dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz, and with a “fractional bandwidth” of greater than 10%;
b.4.e.2. A peak saturated power output greater than 20 mW (13 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a “fractional bandwidth” of greater than 5%; or
b.4.e.3. A peak saturated power output greater than 0.1 nW (-70 dBm) at any frequency exceeding 90 GHz; or
b.4.f. [Reserved]
N.B.:
1. For “MMIC” amplifiers see 3A001.b.2.
2. For 'transmit/receive modules' and 'transmit modules' see 3A001.b.12.
3. For converters and harmonic mixers, designed to extend the operating or frequency range of signal analyzers, signal generators, network analyzers or microwave test receivers, see 3A001.b.7.
Note 1: [Reserved]
Note 2: The control status of an item whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined by the lowest peak saturated power output control threshold.
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 (fmax/fmin) in less than 10 µs and 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. [Reserved]
b.7. Converters and harmonic mixers, that are any of the following:
b.7.a. Designed to extend the frequency range of “signal analyzers” beyond 90 GHz;
b.7.b. Designed to extend the operating range of signal generators as follows:
b.7.b.1. Beyond 90 GHz;
b.7.b.2. To an output power greater than 100 mW (20 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
b.7.c. Designed to extend the operating range of network analyzers as follows:
b.7.c.1. Beyond 110 GHz;
b.7.c.2. To an output power greater than 31.62 mW (15 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
b.7.c.3. To an output power greater than 1 mW (0 dBm) anywhere within the frequency range exceeding 90 GHz but not exceeding 110 GHz; or
b.7.d. Designed to extend the frequency range of microwave test receivers beyond 110 GHz;
b.8. Microwave power amplifiers containing “vacuum electronic devices” controlled by 3A001.b.1 and having all of the following:
b.8.a. Operating frequencies above 3 GHz;
b.8.b. An average output power to mass ratio exceeding 80 W/kg; and
b.8.c. A volume of less than 400 cm 3;
Note: 3A001.b.8 does not control equipment designed or rated for operation in any frequency band which is “allocated by the ITU” for radio-communications services, but not for radio-determination.
b.9. Microwave Power Modules (MPM) consisting of, at least, a traveling-wave “vacuum electronic device,” a “Monolithic Microwave Integrated Circuit” (“MMIC”) and an integrated electronic power conditioner and having all of the following:
b.9.a. A 'turn-on time' from off to fully operational in less than 10 seconds;
b.9.b. A volume less than the maximum rated power in Watts multiplied by 10 cm 3/W; and
b.9.c. An “instantaneous bandwidth” greater than 1 octave (fmax > 2fmin) and having any of the following:
b.9.c.1. For frequencies equal to or less than 18 GHz, an RF output power greater than 100 W; or
b.9.c.2. A frequency greater than 18 GHz;
Technical Notes:
1. To calculate the volume in 3A001.b.9.b, the following example is provided: For a maximum rated power of 20 W, the volume would be: 20 W × 10 cm 3/W = 200 cm 3.
2. The 'turn-on time' in 3A001.b.9.a refers to the time from fully-off to fully operational, i.e., it includes the warm-up time of the MPM.
b.10. Oscillators or oscillator assemblies, specified to operate with a single sideband (SSB) phase noise, in dBc/Hz, less (better) than -(126 + 20log10F−20log10f) anywhere within the range of 10 Hz ≤ F ≤ 10 kHz;
Technical Note: In 3A001.b.10, F is the offset from the operating frequency in Hz and f is the operating frequency in MHz.
b.11. 'Frequency synthesizer' “electronic assemblies” having a “frequency switching time” as specified by any of the following:
b.11.a. Less than 143 ps;
b.11.b. Less than 100 µs for any frequency change exceeding 2.2 GHz within the synthesized frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz;
b.11.c. [Reserved]
b.11.d. Less than 500 µs for any frequency change exceeding 550 MHz within the synthesized frequency range exceeding 31.8 GHz but not exceeding 37 GHz;
b.11.e. Less than 100 µs for any frequency change exceeding 2.2 GHz within the synthesized frequency range exceeding 37 GHz but not exceeding 90 GHz; or
b.11.f. [Reserved]
b.11.g. Less than 1 ms within the synthesized frequency range exceeding 90 GHz;
Technical Note: A 'frequency synthesizer' is any kind of frequency source, regardless of the actual technique used, providing a multiplicity of simultaneous or alternative output frequencies, from one or more outputs, controlled by, derived from or disciplined by a lesser number of standard (or master) frequencies.
N.B.: For general purpose “signal analyzers”, signal generators, network analyzers and microwave test receivers, see 3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.
b.12. 'Transmit/receive modules,' 'transmit/receive MMICs,' 'transmit modules,' and 'transmit MMICs,' rated for operation at frequencies above 2.7 GHz and having all of the following:
b.12.a. A peak saturated power output (in watts), Psat, greater than 505.62 divided by the maximum operating frequency (in GHz) squared [Psat>505.62 W*GHz 2/fGHz 2] for any channel;
b.12.b. A “fractional bandwidth” of 5% or greater for any channel;
b.12.c. Any planar side with length d (in cm) equal to or less than 15 divided by the lowest operating frequency in GHz [d ≤ 15cm*GHz*N/fGHz] where N is the number of transmit or transmit/receive channels; and
b.12.d. An electronically variable phase shifter per channel.
Technical Notes:
1. A 'transmit/receive module' is a multifunction “electronic assembly” that provides bi-directional amplitude and phase control for transmission and reception of signals.
2. A 'transmit module' is an “electronic assembly” that provides amplitude and phase control for transmission of signals.
3. A 'transmit/receive MMIC' is a multifunction “MMIC” that provides bi-directional amplitude and phase control for transmission and reception of signals.
4. A 'transmit MMIC' is a “MMIC” that provides amplitude and phase control for transmission of signals.
5. 2.7 GHz should be used as the lowest operating frequency (fGHz) in the formula in 3A001.b.12.c for transmit/receive or transmit modules that have a rated operation range extending downward to 2.7 GHz and below [d≤15cm*GHz*N/2.7 GHz].
6. 3A001.b.12 applies to 'transmit/receive modules' or 'transmit modules' with or without a heat sink. The value of d in 3A001.b.12.c does not include any portion of the 'transmit/receive module' or 'transmit module' that functions as a heat sink.
7. 'Transmit/receive modules' or 'transmit modules,' 'transmit/receive MMICs' or 'transmit MMICs' may or may not have N integrated radiating antenna elements where N is the number of transmit or transmit/receive channels.
c. Acoustic wave devices as follows and “specially designed” “components” therefor:
c.1. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices, having any of the following:
c.1.a. A carrier frequency exceeding 6 GHz;
c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 6 GHz and having any of the following:
c.1.b.1. A 'frequency side-lobe rejection' exceeding 65 dB;
c.1.b.2. A product of the maximum delay time and the bandwidth (time in µs 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 µs; or
c.1.c. A carrier frequency of 1 GHz or less and having any of the following:
c.1.c.1. A product of the maximum delay time and the bandwidth (time in µs and bandwidth in MHz) of more than 100;
c.1.c.2. A dispersive delay of more than 10 µs; or
c.1.c.3. A 'frequency side-lobe rejection' exceeding 65 dB and a bandwidth greater than 100 MHz;
Technical Note: 'Frequency side-lobe rejection' is the maximum rejection value specified in data sheet.
c.2. Bulk (volume) acoustic wave devices that permit the direct processing of signals at frequencies exceeding 6 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;
Note: 3A001.c does not control acoustic wave devices that are limited to a single band pass, low pass, high pass or notch filtering, or resonating function.
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 and having any of the following:
d.1. 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 10−14 J; or
d.2. Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10,000;
e. High energy devices as follows:
e.1. 'Cells' as follows:
e.1.a 'Primary cells' having any of the following at 20 °C:
e.1.a.1. 'Energy density' exceeding 550 Wh/kg and a 'continuous power density' exceeding 50 W/kg; or
e.1.a.2. 'Energy density' exceeding 50 Wh/kg and a 'continuous power density' exceeding 350 W/kg;
e.1.b. 'Secondary cells' having an 'energy density' exceeding 350 Wh/kg at 20 °C;
Technical Notes:
1. For the purpose of 3A001.e.1, 'energy density' (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours (Ah) divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in Ohms and the mass in kilograms.
2. For the purpose of 3A001.e.1, a 'cell' is defined as an electrochemical device, which has positive and negative electrodes, an electrolyte, and is a source of electrical energy. It is the basic building block of a battery.
3. For the purpose of 3A001.e.1.a, a 'primary cell' is a 'cell' that is not designed to be charged by any other source.
4. For the purpose of 3A001.e.1.b, a 'secondary cell' is a 'cell' that is designed to be charged by an external electrical source.
5. For the purpose of 3A001.e.1.a, 'continuous power density' (W/kg) is calculated from the nominal voltage multiplied by the specified maximum continuous discharge current in ampere (A) divided by the mass in kilograms. 'Continuous power density' is also referred to as specific power.
Note: 3A001.e does not control batteries, including single-cell batteries.
e.2. High energy storage capacitors as follows:
e.2.a. Capacitors with a repetition rate of less than 10 Hz (single shot capacitors) and 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) and 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 and having all of the following:
Note: 3A001.e.3 does not control “superconductive” electromagnets or solenoids “specially designed” for Magnetic Resonance Imaging (MRI) medical equipment.
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;
e.4. Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are “space-qualified,” having a minimum average efficiency exceeding 20% at an operating temperature of 301 K (28 °C) under simulated 'AM0' illumination with an irradiance of 1,367 Watts per square meter (W/m 2);
Technical Note: 'AM0', or 'Air Mass Zero', refers to the spectral irradiance of sun light in the earth's outer atmosphere when the distance between the earth and sun is one astronomical unit (AU).
f. Rotary input type absolute position encoders having an “accuracy” equal to or less (better) than 1.0 second of arc and “specially designed” encoder rings, discs or scales therefor;
g. Solid-state pulsed power switching thyristor devices and 'thyristor modules', using either electrically, optically, or electron radiation controlled switch methods and having any of the following:
g.1. A maximum turn-on current rate of rise (di/dt) greater than 30,000 A/µs and off-state voltage greater than 1,100 V; or
g.2. A maximum turn-on current rate of rise (di/dt) greater than 2,000 A/µs and having all of the following:
g.2.a. An off-state peak voltage equal to or greater than 3,000 V; and
g.2.b. A peak (surge) current equal to or greater than 3,000 A;
Note 1: 3A001.g. includes:
- Silicon Controlled Rectifiers (SCRs) - Electrical Triggering Thyristors (ETTs) - Light Triggering Thyristors (LTTs) - Integrated Gate Commutated Thyristors (IGCTs) - Gate Turn-off Thyristors (GTOs) - MOS Controlled Thyristors (MCTs) - SolidtronsNote 2: 3A001.g does not control thyristor devices and 'thyristor modules' incorporated into equipment designed for civil railway or “civil aircraft” applications.
Technical Note: For the purposes of 3A001.g, a 'thyristor module' contains one or more thyristor devices.
h. Solid-state power semiconductor switches, diodes, or 'modules', having all of the following:
h.1. Rated for a maximum operating junction temperature greater than 488 K (215 °C);
h.2. Repetitive peak off-state voltage (blocking voltage) exceeding 300 V; and
h.3. Continuous current greater than 1 A.
Technical Note: For the purposes of 3A001.h, 'modules' contain one or more solid-state power semiconductor switches or diodes.
Note 1: Repetitive peak off-state voltage in 3A001.h includes drain to source voltage, collector to emitter voltage, repetitive peak reverse voltage and peak repetitive off-state blocking voltage.
Note 2: 3A001.h includes:
- Junction Field Effect Transistors (JFETs) - Vertical Junction Field Effect Transistors (VJFETs) - Metal Oxide Semiconductor Field Effect Transistors (MOSFETs) - Double Diffused Metal Oxide Semiconductor Field Effect Transistor (DMOSFET) - Insulated Gate Bipolar Transistor (IGBT) - High Electron Mobility Transistors (HEMTs) - Bipolar Junction Transistors (BJTs) - Thyristors and Silicon Controlled Rectifiers (SCRs) - Gate Turn-Off Thyristors (GTOs) - Emitter Turn-Off Thyristors (ETOs) - PiN Diodes - Schottky DiodesNote 3: 3A001.h does not apply to switches, diodes, or 'modules', incorporated into equipment designed for civil automobile, civil railway, or “civil aircraft” applications.
i. Intensity, amplitude, or phase electro-optic modulators, designed for analog signals and having any of the following:
i.1. A maximum operating frequency of more than 10 GHz but less than 20 GHz, an optical insertion loss equal to or less than 3 dB and having any of the following:
i.1.a. A 'half-wave voltage' ('Vπ') less than 2.7 V when measured at a frequency of 1 GHz or below; or
i.1.b. A 'Vπ' of less than 4 V when measured at a frequency of more than 1 GHz; or
i.2. A maximum operating frequency equal to or greater than 20 GHz, an optical insertion loss equal to or less than 3 dB and having any of the following:
i.2.a. A 'Vπ' less than 3.3 V when measured at a frequency of 1 GHz or below; or
i.2.b. A 'Vπ' less than 5 V when measured at a frequency of more than 1 GHz.
Note: 3A001.i includes electro-optic modulators having optical input and output connectors (e.g., fiber-optic pigtails).
Technical Note: For the purposes of 3A001.i, a 'half-wave voltage' ('Vπ') is the applied voltage necessary to make a phase change of 180 degrees in the wavelength of light propagating through the optical modulator.
3A002 General purpose “electronic assemblies,” modules and equipment, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, MT, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| MT applies to 3A002.h when the parameters in 3A101.a.2.b are met or exceeded | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
a. Recording equipment and oscilloscopes, as follows:
a.1. to a.5. [Reserved]
N.B.: For waveform digitizers and transient recorders, see 3A002.h.
a.6. Digital data recorders having all of the following:
a.6.a. A sustained 'continuous throughput' of more than 6.4 Gbit/s to disk or solid-state drive memory; and
a.6.b. “Signal processing” of the radio frequency signal data while it is being recorded;
Technical Notes:
1. For recorders with a parallel bus architecture, the 'continuous throughput' rate is the highest word rate multiplied by the number of bits in a word.
2. 'Continuous throughput' is the fastest data rate the instrument can record to disk or solid-state drive memory without the loss of any information while sustaining the input digital data rate or digitizer conversion rate.
a.7. Real-time oscilloscopes having a vertical root-mean-square (rms) noise voltage of less than 2% of full-scale at the vertical scale setting that provides the lowest noise value for any input 3dB bandwidth of 60 GHz or greater per channel;
Note: 3A002.a.7 does not apply to equivalent-time sampling oscilloscopes.
b. [Reserved]
c. “Signal analyzers” as follows:
c.1. “Signal analyzers” having a 3 dB resolution bandwidth (RBW) exceeding 40 MHz anywhere within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz;
c.2. “Signal analyzers” having Displayed Average Noise Level (DANL) less (better) than −150 dBm/Hz anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
c.3. “Signal analyzers” having a frequency exceeding 90 GHz;
c.4. “Signal analyzers” having all of the following:
c.4.a. 'Real-time bandwidth' exceeding 170 MHz; and
c.4.b. Having any of the following:
c.4.b.1. 100% probability of discovery, with less than a 3 dB reduction from full amplitude due to gaps or windowing effects, of signals having a duration of 15 µs or less; or
c.4.b.2. A 'frequency mask trigger' function, with 100% probability of trigger (capture) for signals having a duration of 15 µs or less;
Technical Notes:
1. 'Real-time bandwidth' is the widest frequency range for which the analyzer can continuously transform time-domain data entirely into frequency-domain results, using a Fourier or other discrete time transform that processes every incoming time point, without a reduction of measured amplitude of more than 3 dB below the actual signal amplitude caused by gaps or windowing effects, while outputting or displaying the transformed data.
2. Probability of discovery in 3A002.c.4.b.1 is also referred to as probability of intercept or probability of capture.
3. For the purposes of 3A002.c.4.b.1, the duration for 100% probability of discovery is equivalent to the minimum signal duration necessary for the specified level measurement uncertainty.
4. A 'frequency mask trigger' is a mechanism where the trigger function is able to select a frequency range to be triggered on as a subset of the acquisition bandwidth while ignoring other signals that may also be present within the same acquisition bandwidth. A 'frequency mask trigger' may contain more than one independent set of limits.
Note: 3A002.c.4 does not apply to those “signal analyzers” using only constant percentage bandwidth filters (also known as octave or fractional octave filters).
c.5. [Reserved]
d. Signal generators having any of the following:
d.1. Specified to generate pulse-modulated signals having all of the following, anywhere within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz:
d.1.a. 'Pulse duration' of less than 25 ns; and
d.1.b. On/off ratio equal to or exceeding 65 dB;
d.2. An output power exceeding 100 mW (20 dBm) anywhere within the frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
d.3. A “frequency switching time” as specified by any of the following:
d.3.a. [Reserved]
d.3.b. Less than 100 µs for any frequency change exceeding 2.2 GHz within the frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz;
d.3.c. [Reserved]
d.3.d. Less than 500 µs for any frequency change exceeding 550 MHz within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz; or
d.3.e. Less than 100 µs for any frequency change exceeding 2.2 GHz within the frequency range exceeding 37 GHz but not exceeding 90 GHz;
d.3.f. [Reserved]
d.4. Single sideband (SSB) phase noise, in dBc/Hz, specified as being any of the following:
d.4.a. Less (better) than −(126 + 20 log10 F−20log10f) for anywhere within the range of 10 Hz ≤ F ≤ 10 kHz anywhere within the frequency range exceeding 3.2 GHz but not exceeding 90 GHz; or
d.4.b. Less (better) than −(206−20log10f) for anywhere within the range of 10 kHz < F ≤ 100 kHz anywhere within the frequency range exceeding 3.2 GHz but not exceeding 90 GHz;
Technical Note: In 3A002.d.4, F is the offset from the operating frequency in Hz and f is the operating frequency in MHz.
d.5. An 'RF modulation bandwidth' of digital baseband signals as specified by any of the following:
d.5.a. Exceeding 2.2 GHz within the frequency range exceeding 4.8 GHz but not exceeding 31.8 GHz;
d.5.b. Exceeding 550 MHz within the frequency range exceeding 31.8 GHz but not exceeding 37 GHz; or
d.5.c. Exceeding 2.2 GHz within the frequency range exceeding 37 GHz but not exceeding 90 GHz; or
Technical Note: 'RF modulation bandwidth' is the Radio Frequency (RF) bandwidth occupied by a digitally encoded baseband signal modulated onto an RF signal. It is also referred to as information bandwidth or vector modulation bandwidth. I/Q digital modulation is the technical method for producing a vector-modulated RF output signal, and that output signal is typically specified as having an 'RF modulation bandwidth'.
d.6. A maximum frequency exceeding 90 GHz;
Note 1: For the purpose of 3A002.d, signal generators include arbitrary waveform and function generators.
Note 2: 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.
Technical Notes:
1. The maximum frequency of an arbitrary waveform or function generator is calculated by dividing the sample rate, in samples/second, by a factor of 2.5.
2. For the purposes of 3A002.d.1.a, 'pulse duration' is defined as the time interval from the point on the leading edge that is 50% of the pulse amplitude to the point on the trailing edge that is 50% of the pulse amplitude.
e. Network analyzers having any of the following:
e.1. An output power exceeding 31.62 mW (15 dBm) anywhere within the operating frequency range exceeding 43.5 GHz but not exceeding 90 GHz;
e.2. An output power exceeding 1 mW (0 dBm) anywhere within the operating frequency range exceeding 90 GHz but not exceeding 110 GHz;
e.3. 'Nonlinear vector measurement functionality' at frequencies exceeding 50 GHz but not exceeding 110 GHz; or
Technical Note: 'Nonlinear vector measurement functionality' is an instrument's ability to analyze the test results of devices driven into the large-signal domain or the non-linear distortion range.
e.4. A maximum operating frequency exceeding 110 GHz;
f. Microwave test receivers having all of the following:
f.1. Maximum operating frequency exceeding 110 GHz; and
f.2. Being capable of measuring amplitude and phase simultaneously;
g. Atomic frequency standards being any of the following:
g.1. “Space-qualified”;
g.2. Non-rubidium and having a long-term stability less (better) than 1 × 10− 11/month; or
g.3. Non-“space-qualified” and having all of the following:
g.3.a. Being a rubidium standard;
g.3.b. Long-term stability less (better) than 1 × 10− 11/month; and
g.3.c. Total power consumption of less than 1 Watt.
h. “Electronic assemblies,” modules or equipment, specified to perform all of the following:
h.1. Analog-to-digital conversions meeting any of the following:
h.1.a. A resolution of 8 bit or more, but less than 10 bit, with a “sample rate” greater than 1.3 Giga Samples Per Second (GSPS);
h.1.b. A resolution of 10 bit or more, but less than 12 bit, with a “sample rate” greater than 1.0 GSPS;
h.1.c. A resolution of 12 bit or more, but less than 14 bit, with a “sample rate” greater than 1.0 GSPS;
h.1.d. A resolution of 14 bit or more but less than 16 bit, with a “sample rate” greater than 400 Mega Samples Per Second (MSPS); or
h.1.e. A resolution of 16 bit or more with a “sample rate” greater than 180 MSPS; and
h.2. Any of the following:
h.2.a. Output of digitized data;
h.2.b. Storage of digitized data; or
h.2.c. Processing of digitized data;
N.B.: Digital data recorders, oscilloscopes, “signal analyzers,” signal generators, network analyzers and microwave test receivers, are specified by 3A002.a.6, 3A002.a.7, 3A002.c, 3A002.d, 3A002.e and 3A002.f, respectively.
Technical Notes:
1. A resolution of n bit corresponds to a quantization of 2 n levels.
2. The resolution of the ADC is the number of bits in of the digital output of the ADC that represents the measured analog input word. Effective Number of Bits (ENOB) is not used to determine the resolution of the ADC.
3. For non-interleaved multiple-channel “electronic assemblies”, modules, or equipment, the “sample rate” is not aggregated and the “sample rate” is the maximum rate of any single channel.
4. For interleaved channels on multiple- channel “electronic assemblies”, modules, or equipment, the “sample rates” are aggregated and the “sample rate” is the maximum combined total rate of all the interleaved channels.
Note: 3A002.h includes ADC cards, waveform digitizers, data acquisition cards, signal acquisition boards and transient recorders.
3A003 Spray cooling thermal management systems employing closed loop fluid handling and reconditioning equipment in a sealed enclosure where a dielectric fluid is sprayed onto electronic “components” using “specially designed” spray nozzles that are designed to maintain electronic “components” within their operating temperature range, and “specially designed” “components” therefore. License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. “Specially designed” to meet military specifications for ruggedized equipment;
a.2. “Specially designed” for military use and being any of the following types:
a.2.a. Analog-to-digital converter microcircuits which are radiation-hardened or have all of the following characteristics:
a.2.a.1. Rated for operation in the temperature range from below −54 °C to above +125 °C; and
a.2.a.2. Hermetically sealed; or
a.2.b. Electrical input type analog-to-digital converter printed circuit boards or modules, having all of the following characteristics:
a.2.b.1. Rated for operation in the temperature range from below −45 °C to above +80 °C; and
a.2.b.2. Incorporating microcircuits identified in 3A101.a.2 .a;
b. Accelerators capable of delivering electromagnetic radiation produced by bremsstrahlung from accelerated electrons of 2 MeV or greater, and systems containing those accelerators, usable for the “missiles” or the subsystems of “missiles”.
Note:3A101.b above does not include equipment “specially designed” for medical purposes.
3A201 Electronic “parts” and “components,” other than those controlled by 3A001, as follows (see List of Items Controlled). Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
a.1. Voltage rating greater than 1.4 kV, energy storage greater than 10 J, capacitance greater than 0.5 µF, and series inductance less than 50 nH; or
a.2. Voltage rating greater than 750 V, capacitance greater than 0.25 µF, and series inductance less than 10 nH;
b. Superconducting solenoidal electromagnets having all of the following characteristics:
b.1. Capable of creating magnetic fields greater than 2 T;
b.2. A ratio of length to inner diameter greater than 2;
b.3. Inner diameter greater than 300 mm; and
b.4. Magnetic field uniform to better than 1% over the central 50% of the inner volume;
Note:3A201.b does not control 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 having either of the following sets of characteristics:
c.1. 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; or
c.2. An accelerator peak electron energy of 25 MeV or greater, and a “peak power” greater than 50 MW;
Note:3A201.c does not control accelerators that are “parts” or “components” of devices designed for purposes other than electron beam or X-ray radiation (electron microscopy, for example) nor those designed for medical purposes.
Technical Notes:(1) The “figure of merit” K is defined as: K = 1.7 × 10 3V 2.65Q. V is the peak electron energy in million electron volts. If the accelerator beam pulse duration is less than or equal to 1 µs, then Q is the total accelerated charge in Coulombs. If the accelerator beam pulse duration is greater than 1 µs, then Q is the maximum accelerated charge in 1 µs. Q equals the intergral of i with respect to t, over the lesser of 1 µs or the time duration of the beam pulse Q= ∫ idt), where i is beam current in amperes and t is time in seconds.
(2) “Peak power” = (peak potential in volts) × (peak beam current in amperes).
(3) In machines based on microwave accelerating cavities, the time duration of the beam pulse is the lesser of 1 µs or the duration of the bunched beam packet resulting from one microwave modulator pulse.
(4) 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 (a.k.a. converters or inverters) and generators, except those subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110), that are usable as a variable frequency or fixed frequency motor drive and have all of the characteristics described in this ECCN (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Operating at a frequency of 600 Hz or more; and
c. Frequency control better (less) than 0.2%.
Notes:1. This ECCN controls frequency changers intended for use in specific industrial machinery and/or consumer goods (machine tools, vehicles, etc.) only if the frequency changers can meet the performance characteristics described in this entry when removed from the machinery and/or goods. This Note does not exclude from control under this entry any frequency changer described herein that is the principal element of a non-controlled item and can feasibly be removed or used for other purposes.
2. To determine whether a particular frequency changer meets or exceeds the performance characteristics described in this entry, both hardware and “software” performance constraints must be considered.
Technical Notes:1. Frequency changers controlled by this ECCN are also known as converters or inverters.
2. The performance characteristics described in this ECCN also may be met by certain equipment marketed as: Generators, electronic test equipment, AC power supplies, variable speed motor drives, variable speed drives (VSDs), variable frequency drives (VFDs), adjustable frequency drives (AFDs), or adjustable speed drives (ASDs).
3A226 High-power direct current power supplies having both of the following characteristics (see List of Items Controlled), excluding items that are subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Current or voltage stability better than 0.1% over a time period of 8 hours.
3A227 High-voltage direct current power supplies, having both of the following characteristics (see List of Items Controlled), excluding items that are subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Current or voltage stability better than 0.1% over a time period of 8 hours.
3A228 Switching devices, as follows (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
(2) Also see ECCN 3A991.k.
Related Definitions: N/A Items: a. Cold-cathode tubes, whether gas filled or not, operating similarly to a spark gap, having all of the following characteristics:a.1. Containing three or more electrodes;
a.2. Anode peak voltage rating of 2.5 kV or more;
a.3. Anode peak current rating of 100 A or more; and
a.4. Anode delay time of 10 µs or less.
Technical Note:3A228.a includes gas krytron tubes and vacuum sprytron tubes.
b. Triggered spark-gaps having both of the following characteristics:
b.1. An anode delay time of 15 µs or less; and
b.2. 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 kV;
c.2. Anode peak current rating of 500 A or more; and
c.3. Turn-on time of 1 µs or less.
3A229 Firing sets and equivalent high-current pulse generators for detonators controlled by 3A232 (see List of Items Controlled). License Requirements Reason for Control: NP, AT, foreign policy| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Russian industry sector sanctions apply to entire entry | See § 746.5 for specific license requirements and license review policy. |
b. Modular electrical pulse generators (pulsers) having all of the following characteristics:
b.1. Designed for portable, mobile, or ruggedized use;
b.2. Capable of delivering their energy in less than 15 µs into loads of less than 40 Ω (ohms);
b.3. Having an output greater than 100 A;
b.4. No dimension greater than 30 cm;
b.5. Weight less than 30 kg; and
b.6. Specified for use over an extended temperature range 223 K (−50 °C) to 373 K (100 °C) or specified as suitable for aerospace applications.
c. Micro-firing units having all of the following characteristics:
c.1. No dimension greater than 35 mm;
c.2. Voltage rating of equal to or greater than 1 kV; and
c.3. Capacitance of equal to or greater than 100 nF.
3A230 High-speed pulse generators, and pulse heads therefor, having both of the following characteristics (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. “Pulse transition time” less than 500 ps.
3A231 Neutron generator systems, including tubes, having both of the characteristics described in this ECCN (see List of Items Controlled). License Requirements Reason for Control: NP, AT, foreign policy| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Russian industry sector sanctions apply to entire entry | See § 746.5 for specific license requirements and license review policy. |
b. Utilizing electrostatic acceleration to induce:
b.1. A tritium-deuterium nuclear reaction; or
b.2. A deuterium-deuterium nuclear reaction and capable of an output of 3 × 10 9 neutrons/s or greater.
3A232 Detonators and multipoint initiation systems, as follows (see List of Items Controlled). License Requirements Reason for Control: AT, RS, foreign policy| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Russian industry sector sanctions apply to entire entry | See § 746.5 for specific license requirements and license review policy. |
b. Arrangements using single or multiple detonators designed to nearly simultaneously initiate an explosive surface over an area greater than 5,000 mm 2 from a single firing signal with an initiation timing spread over the surface of less than 2.5 µs.
Technical Note:The word initiator is sometimes used in place of the word detonator.
3A233 Mass spectrometers, capable of measuring ions of 230 atomic mass units or greater and having a resolution of better than 2 parts in 230, and ion sources therefor, excluding items that are subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110). License Requirements Reason for Control: NP, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Glow discharge mass spectrometers (GDMS);
c. Thermal ionization mass spectrometers (TIMS);
d. Electron bombardment mass spectrometers having both of the following features:
d.1. A molecular beam inlet system that injects a collimated beam of analyte molecules into a region of the ion source where the molecules are ionized by an electron beam; and
d.2. One or more cold traps that can be cooled to a temperature of 193 K (−80 °C) or less in order to trap analyte molecules that are not ionized by the electron beam;
e. Mass spectrometers equipped with a microfluorination ion source designed for actinides or actinide fluorides.
Technical Notes:1. ECCN 3A233.d controls mass spectrometers that are typically used for isotopic analysis of UF6 gas samples.
2. Electron bombardment mass spectrometers in ECCN 3A233.d are also known as electron impact mass spectrometers or electron ionization mass spectrometers.
3. In ECCN 3A233.d.2, a “cold trap” is a device that traps gas molecules by condensing or freezing them on cold surfaces. For the purposes of this ECCN, a closed-loop gaseous helium cryogenic vacuum pump is not a cold trap.
3A234 Striplines to provide low inductance path to detonators with the following characteristics (see List of Items Controlled). License Requirements Reason for Control: NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Inductance of less than 20 nH.
3A611 Military electronics, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry except 3A611.y | NS Column 1. |
| RS applies to entire entry except 3A611.y | RS Column 1. |
| RS applies to 3A611.y | China, Russia, or Venezuela (see § 742.6(a)(7)) |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry except 3A611.y | See § 746.1(b) for UN controls. |
a. Electronic “equipment,” “end items,” and “systems” “specially designed” for a military application that are not enumerated or otherwise described in either a USML category or another “600 series” ECCN.
Note to 3A611.a:ECCN 3A611.a includes any radar, telecommunications, acoustic or computer equipment, end items, or systems “specially designed” for military application that are not enumerated or otherwise described in any USML category or controlled by another “600 series” ECCN.
b. [Reserved]
c. [Reserved]
d. [Reserved]
e. High frequency (HF) surface wave radar that maintains the positional state of maritime surface or low altitude airborne objects of interest in a received radar signal through time.
Note to 3A611.e:ECCN 3A611.e does not apply to systems, equipment, and assemblies “specially designed” for marine traffic control.
f. Application specific integrated circuits (ASICs) and programmable logic devices (PLD) that are not controlled by paragraph .y of this entry and that are programmed for “600 series” items.
Note to paragraph .f:In this paragraph, the term 'application specific integrated circuit' means an integrated circuit developed and produced for a specific application or function regardless of number of customers for which the integrated circuit is developed or produced.
g. Printed circuit boards and populated circuit card assemblies that are not controlled by paragraph .y of this entry and for which the layout is “specially designed” for “600 series” items.
h. Multichip modules that are not controlled by paragraph .y of this entry and for which the pattern or layout is “specially designed” for “600 series” items.
i. through w. [Reserved]
x. “Parts,” “components,” “accessories,” and “attachments” that are “specially designed” for a commodity controlled by this entry or for an article controlled by USML Category XI, and not enumerated or described in any USML category or in any paragraph other than the .x paragraph of another 600 series ECCN or in paragraph .y of this entry.
Note 1 to ECCN 3A611.x:ECCN 3A611.x includes “parts,” “components,” “accessories,” and “attachments” “specially designed” for a radar, telecommunications, acoustic system or equipment or computer “specially designed” for military application that are neither controlled in any USML category nor controlled in any paragraph other than the .x paragraph of another “600 series” ECCN.
Note 2 to ECCN 3A611.x:ECCN 3A611.x controls “parts” and “components” “specially designed” for underwater sensors or projectors controlled by USML Category XI(c)(12) containing single-crystal lead magnesium niobate lead titanate (PMN-PT) based piezoelectrics.
Note 3 to ECCN 3A611.x:“Parts,” “components,” “accessories,” and “attachments” subject to the EAR and within the scope of any 600 series .x entry that are of a type that are or would potentially be for use in or with multiple platforms (e.g., military electronics, military vehicles, and military aircraft) may be classified under 3A611.x.
y. Specific “parts,” “components,” “accessories,” and “attachments” “specially designed” for a commodity subject to control in a “600 series” ECCN or a defense article and not elsewhere specified in any paragraph other than the .y paragraph of a “600 series” ECCN or the USML as follows, and “parts,” “components,” “accessories,” and “attachments” “specially designed” therefor:
y.1. Electrical connectors;
y.2. Electric fans;
y.3. Heat sinks;
y.4. Joy sticks;
y.5. Mica paper capacitors;
y.6. Microphones;
y.7. Potentiometers;
y.8. Rheostats;
y.9. Electric connector backshells;
y.10. Solenoids;
y.11. Speakers;
y.12. Trackballs;
y.13. Electric transformers;
y.14. Application specific integrated circuits (ASICs) and programmable logic devices (PLD) that are programmed for commodities controlled in the .y paragraph of any “600 series” ECCN;
y.15. Printed circuit boards and populated circuit card assemblies for which the layout is “specially designed” for an item controlled by the .y paragraph of any “600 series” ECCN;
y.16. Multichip modules for which the pattern or layout is “specially designed” for an item in the .y paragraph of a “600 series” ECCN;
y.17. Circuit breakers;
y.18. Ground fault circuit interrupters;
y.19. Electrical contacts;
y.20. Electrical guide pins;
y.21. Filtered and unfiltered mechanical switches;
y.22. Thumbwheels;
y.23. Fixed resistors;
y.24. Electrical jumpers;
y.25. Grounding straps;
y.26. Indicator dials;
y.27. Contactors;
y.28. Touchpads;
y.29. Mechanical caps;
y.30. Mechanical plugs;
y.31. Finger barriers;
y.32. Flip-guards;
y.33. Identification plates and nameplates;
y.34. Knobs;
y.35. Hydraulic, pneumatic, fuel and lubrication gauges.
Note to ECCN 3A611:When applying the “specially designed” definition to determine whether a printed circuit board, populated circuit card assembly or multichip module is controlled by paragraph .g, .h, .y.15 or .y.16 of this entry, the layout of the board or assembly and the pattern and layout of the module are the only characteristics that need be evaluated under the “specially designed” definition.
3A980 Voice print identification and analysis equipment and “specially designed” “components” therefor, n.e.s. License Requirements Reason for Control: CC| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
In this ECCN, electronic monitoring restraint devices are devices used to record or report the location of confined persons for law enforcement or penal reasons. The term does not include devices that confine memory impaired patents to appropriate medical facilities.
3A991 Electronic devices, and “components” not controlled by 3A001. License Requirements Reason for Control: AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
a. “Microprocessor microcircuits”, “microcomputer microcircuits”, and microcontroller microcircuits having any of the following:
a.1. A performance speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more;
a.2. A clock frequency rate exceeding 25 MHz; or
a.3. More than one data or instruction bus or serial communication port that provides a direct external interconnection between parallel “microprocessor microcircuits” with a transfer rate of 2.5 Mbyte/s;
b. Storage integrated circuits, as follows:
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. Analog-to-digital converters having any of the following:
c.1. A resolution of 8 bit or more, but less than 12 bit, with an output rate greater than 200 million words per second;
c.2. A resolution of 12 bit with an output rate greater than 105 million words per second;
c.3. A resolution of more than 12 bit but equal to or less than 14 bit with an output rate greater than 10 million words per second; or
c.4. A resolution of more than 14 bit with an output rate greater than 2.5 million words per second;
d. Field programmable logic devices having a maximum number of single-ended digital input/outputs between 200 and 700;
e. Fast Fourier Transform (FFT) processors having a rated execution time for a 1,024 point complex FFT of less than 1 ms;
f. 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:
f.1. More than 144 terminals; or
f.2. A typical “basic propagation delay time” of less than 0.4 ns;
g. Traveling-wave “vacuum electronic devices,” pulsed or continuous wave, as follows:
g.1. Coupled cavity devices, or derivatives thereof;
g.2. Helix devices based on helix, folded waveguide, or serpentine waveguide circuits, or derivatives thereof, with any of the following:
g.2.a. An “instantaneous bandwidth” of half an octave or more; and
g.2.b. The product of the rated average output power (expressed in kW) and the maximum operating frequency (expressed in GHz) of more than 0.2;
g.2.c. An “instantaneous bandwidth” of less than half an octave; and
g.2.d. The product of the rated average output power (expressed in kW) and the maximum operating frequency (expressed in GHz) of more than 0.4;
h. Flexible waveguides designed for use at frequencies exceeding 40 GHz;
i. 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:
i.1. A carrier frequency exceeding 1 GHz; or
i.2. A carrier frequency of 1 GHz or less; and
i.2.a. A frequency side-lobe rejection exceeding 55 Db;
i.2.b. A product of the maximum delay time and bandwidth (time in microseconds and bandwidth in MHz) of more than 100; or
i.2.c. A dispersive delay of more than 10 microseconds;
j. Cells as follows:
j.1. Primary cells having an energy density of 550 Wh/kg or less at 293 K (20 °C);
j.2. Secondary cells having an energy density of 350 Wh/kg or less at 293 K (20 °C);
Note: 3A991.j does not control batteries, including single cell batteries.
Technical Notes:
1. For the purpose of 3A991.j energy density (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in Ohms and the mass in kilograms.
2. For the purpose of 3A991.j, a 'cell' is defined as an electrochemical device, which has positive and negative electrodes, and electrolyte, and is a source of electrical energy. It is the basic building block of a battery.
3. For the purpose of 3A991.j.1, a 'primary cell' is a 'cell' that is not designed to be charged by any other source.
4. For the purpose of 3A991.j.2, a 'secondary cell' is a 'cell' that is designed to be charged by an external electrical source.
k. “Superconductive” electromagnets or solenoids “specially designed” to be fully charged or discharged in less than one minute, having all of the following:
Note: 3A991.k does not control “superconductive” electromagnets or solenoids designed for Magnetic Resonance Imaging (MRI) medical equipment.
k.1. Maximum energy delivered during the discharge divided by the duration of the discharge of more than 500 kJ per minute;
k.2. Inner diameter of the current carrying windings of more than 250 mm; and
k.3. Rated for a magnetic induction of more than 8T or “overall current density” in the winding of more than 300 A/mm 2;
l. 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:
l.1. Resonant operating frequencies exceeding 1 MHz;
l.2. A stored energy density of 1 MJ/M 3 or more; and
l.3. A discharge time of less than 1 ms;
m. Hydrogen/hydrogen-isotope thyratrons of ceramic-metal construction and rate for a peak current of 500 A or more;
n. Digital integrated circuits based on any compound semiconductor having an equivalent gate count of more than 300 (2 input gates);
o. Solar cells, cell-interconnect-coverglass (CIC) assemblies, solar panels, and solar arrays, which are “space qualified” and not controlled by 3A001.e.4.
3A992 General purpose electronic equipment not controlled by 3A002. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
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;
d. Non-modular analog oscilloscopes having a bandwidth of 1 GHz or greater;
e. Modular analog oscilloscope systems having either of the following characteristics:
e.1. A mainframe with a bandwidth of 1 GHz or greater; or
e.2. Plug-in modules with an individual bandwidth of 4 GHz or greater;
f. Analog sampling oscilloscopes for the analysis of recurring phenomena with an effective bandwidth greater than 4 GHz;
g. 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:This ECCN controls the following “specially designed” “parts” and “components” for analog oscilloscopes:
1. Plug-in units;
2. External amplifiers;
3. Pre-amplifiers;
4. Sampling devices;
5. Cathode ray tubes.
3A999 Specific Processing Equipment, n.e.s., as Follows (See List of Items Controlled). License Requirements Reason for Control: AT Control(s): Country Chart. AT applies to entire entry. A license is required for items controlled by this entry to North Korea for anti-terrorism reasons. The Commerce Country Chart is not designed to determine AT licensing requirements for this entry. See § 742.19 of the EAR for additional information. List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: (1) See also 3A225 (for frequency changers capable of operating in the frequency range of 600 Hz and above), and 3A233. (2) Certain auxiliary systems, equipment, “parts” and “components” for isotope separation plants, made of or protected by UF6 resistant materials are subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110). Related Definitions: N/A Items: a. Frequency changers capable of operating in the frequency range from 300 up to 600 Hz, n.e.s;b. Mass spectrometers n.e.s;
c. All flash x-ray machines, and “parts” or “components” of pulsed power systems designed thereof, including Marx generators, high power pulse shaping networks, high voltage capacitors, and triggers;
d. Pulse amplifiers, n.e.s.;
e. Electronic equipment for time delay generation or time interval measurement, as follows:
e.1. Digital time delay generators with a resolution of 50 nanoseconds or less over time intervals of 1 microsecond or greater; or
e.2. Multi-channel (three or more) or modular time interval meter and chronometry equipment with resolution of 50 nanoseconds or less over time intervals of 1 microsecond or greater;
f. Chromatography and spectrometry analytical instruments.
B. “Test”, “Inspection” and “Production Equipment” 3B001 Equipment for the Manufacturing of Semiconductor Devices or Materials, as Follows (See List of Items Controlled) and “Specially Designed” “Components” and “Accessories” Therefor. License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
a. Equipment designed for epitaxial growth as follows:
a.1. Equipment designed or modified to produce a layer of any material other than silicon with a thickness uniform to less than ± 2.5% across a distance of 75 mm or more;
Note:3B001.a.1 includes atomic layer epitaxy (ALE) equipment.
a.2. Metal Organic Chemical Vapor Deposition (MOCVD) reactors designed for compound semiconductor epitaxial growth of material having two or more of the following elements: Aluminum, gallium, indium, arsenic, phosphorus, antimony, or nitrogen;
a.3. Molecular beam epitaxial growth equipment using gas or solid sources;
b. Equipment designed for ion implantation and having any of the following:
b.1. [Reserved]
b.2. Being designed and optimized to operate at a beam energy of 20 keV or more and a beam current of 10 mA or more for hydrogen, deuterium, or helium implant;
b.3. Direct write capability;
b.4. A beam energy of 65 keV or more and a beam current of 45 mA or more for high energy oxygen implant into a heated semiconductor material “substrate”; or
b.5. Being designed and optimized to operate at beam energy of 20 keV or more and a beam current of 10mA or more for silicon implant into a semiconductor material “substrate” heated to 600 °C or greater;
c. [Reserved]
d. [Reserved]
e. 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 functionally different 'semiconductor process tools' controlled by 3B001.a.1, 3B001.a.2, 3B001.a.3 or 3B001.b are designed 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 “specially designed” for parallel wafer processing.
Technical Notes:1. For the purpose of 3B001.e, 'semiconductor process tools' refers to modular tools that provide physical processes for semiconductor production that are functionally different, such as deposition, implant or thermal processing.
2. For the purpose of 3B001.e, 'sequential multiple wafer processing' means the capability to process each wafer in different 'semiconductor process tools', such as by transferring each wafer from one tool to a second tool and on to a third tool with the automatic loading multi-chamber central wafer handling systems.
f. Lithography equipment as follows:
f.1. Align and expose step and repeat (direct step on wafer) or step and scan (scanner) equipment for wafer processing using photo-optical or X-ray methods and having any of the following:
f.1.a. A light source wavelength shorter than 193 nm; or
f.1.b. Capable of producing a pattern with a “Minimum Resolvable Feature size” (MRF) of 45 nm or less;
Technical Note:The 'Minimum Resolvable Feature size' (MRF) is calculated by the following formula:
MRF = (an exposure light source wavelength in nm) × (K factor) numerical aperture
where the K factor = 0.35
f.2. Imprint lithography equipment capable of production features of 45 nm or less;
Note:3B001.f.2 includes:
- Micro contact printing tools;
- Hot embossing tools;
- Nano-imprint lithography tools;
- Step and flash imprint lithography (S-FIL) tools.
f.3. Equipment “specially designed” for mask making having all of the following:
f.3.a. A deflected focused electron beam, ion beam or “laser” beam; and
f.3.b. Having any of the following:
f.3.b.1. A Full-Width Half-Maximum (FWHM) spot size smaller than 65 nm and an image placement less than 17 nm (mean + 3 sigma); or
f.3.b.2. [Reserved]
f.3.b.3. A second-layer overlay error of less than 23 nm (mean + 3 sigma) on the mask;
f.4. Equipment designed for device processing using direct writing methods, having all of the following:
f.4.a. A deflected focused electron beam; and
f.4.b. Having any of the following:
f.4.b.1. A minimum beam size equal to or smaller than 15 nm; or
f.4.b.2. An overlay error less than 27 nm (mean + 3 sigma);
g. Masks and reticles, designed for integrated circuits controlled by 3A001;
h. Multi-layer masks with a phase shift layer not specified by 3B001.g and designed to be used by lithography equipment having a light source wavelength less than 245 nm;
Note:3B001.h. does not control multi-layer masks with a phase shift layer designed for the fabrication of memory devices not controlled by 3A001.
i. Imprint lithography templates designed for integrated circuits by 3A001;
j. Mask “substrate blanks” with multilayer reflector structure consisting of molybdenum and silicon, and having all of the following:
j.1. “Specially designed” for 'Extreme Ultraviolet (EUV)' lithography; and
j.2. Compliant with SEMI Standard P37.
Technical Note:'Extreme Ultraviolet (EUV)' refers to electromagnetic spectrum wavelengths greater than 5 nm and less than 124 nm.
3B002 Test equipment “specially designed” for testing finished or unfinished semiconductor devices as follows (see List of Items Controlled) and “specially designed” “components” and “accessories” therefor. License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. [Reserved]
c. For testing microwave integrated circuits controlled by 3A001.b.2.
3B611 Test, inspection, and production commodities for military electronics, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| RS applies to entire entry | RS Column 1 |
| AT applies to entire entry | AT Column 1 |
| UN applies to entire entry | See § 746.1(b) for UN controls |
b. through w. [Reserved]
x. “Parts,” “components,” “accessories” and “attachments” that are “specially designed” for a commodity listed in this entry and that are not enumerated on the USML or controlled by another “600 series” ECCN.
3B991 Equipment not controlled by 3B001 for the manufacture of electronic “parts,” “components” and materials (see List of Items Controlled), and “specially designed” “parts,” “components” and “accessories” therefor. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
b. Equipment “specially designed” for the manufacture of semiconductor devices, integrated circuits and “electronic 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, “parts” 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, 3C004, or 3C005 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 2 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 × 10 5 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 silicon layer with a thickness uniform to less than ±2.5% across a distance of 200 mm or more;
b.1.d.2. Capable of producing a layer of any material other than silicon with a thickness uniformity across the wafer of equal to or better than ±3.5%; or
b.1.d.3. Rotation of individual wafers during processing;
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. Beam energy (accelerating voltage) exceeding 200 keV;
b.1.g.3 Optimized to operate at a beam energy (accelerating voltage) of less than 10 keV; or
b.1.g.4. Capable of high energy oxygen implant into a heated “substrate”;
b.1.h. “Stored program controlled” equipment for the selective removal (etching) by means of anisotropic dry methods (e.g., plasma), as follows:
b.1.h.1. Batch types having either of the following:
b.1.h.1.a. End-point detection, other than optical emission spectroscopy types; or
b.1.h.1.b. Reactor operational (etching) pressure of 26.66 Pa or less;
b.1.h.2. Single wafer types having any of the following:
b.1.h.2.a. End-point detection, other than optical emission spectroscopy types;
b.1.h.2.b. Reactor operational (etching) pressure of 26.66 Pa or less; or
b.1.h.2.c. Cassette-to-cassette and load locks wafer handling;
Notes:1. “Batch types” refers to machines not “specially designed” for production processing of single wafers. Such machines can process two or more wafers simultaneously with common process parameters, e.g., RF power, temperature, etch gas species, flow rates.
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 10 5 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 ±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, “parts” 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 × 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 × 100 mm, or capable of producing a single exposure larger than 6 mm × 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 or X-ray methods, e.g., lithography equipment, including both projection image transfer equipment and step and repeat (direct step on wafer) or step and scan (scanner) 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 ±0.25 micrometer (3 sigma);
b.2.f.3. Machine-to-machine overlay no better than ±0.3 micrometer; or
b.2.f.4. A light source wavelength shorter than 400 nm;
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 focused, 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 × 37.5 mm; and
b.3.a.3. Placement accuracy in the X-Y plane of finer than ±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 3 and filter materials therefor.
3B992 Equipment not controlled by 3B002 for the inspection or testing of electronic “components” and materials, (see List of Items Controlled) and “specially designed” “parts,” “components” and “accessories” therefor. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
b. Equipment “specially designed” for the inspection or testing of semiconductor devices, integrated circuits and “electronic 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 “electronic 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.
Notes:3B992.b.4.b does not control test equipment “specially designed” for testing:
1. memories;
2. “Assemblies” or a class of “electronic assemblies” for home and entertainment applications; and
3. Electronic “parts,” “components,” “assemblies” and integrated circuits not controlled by 3A001 or 3A991 provided such test equipment does not incorporate computing facilities with “user accessible programmability”.
Technical Note:For purposes of 3B992.b.4.b, ‘pattern rate’ is defined as the maximum frequency of digital operation of a tester. It is therefore equivalent to the highest data rate that a tester can provide in non-multiplexed mode. It is also referred to as test speed, maximum digital frequency or maximum digital speed.
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 × 32 line elements;
b.5. Electron beam test systems designed for operation at 3 keV or below, or “laser” beam systems, 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 (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. Germanium (Ge);
c. Silicon Carbide (SiC); or
d. “III/V compounds” of gallium or indium.
Note:3C001.d does not apply to a “substrate” having one or more P-type epitaxial layers of GaN, InGaN, AlGaN, InAlN, InAlGaN, GaP, GaAs, AlGaAs, InP, InGaP, AlInP or InGaAlP, independent of the sequence of the elements, except if the P-type epitaxial layer is between N-type layers.
3C002 Resist materials as follows (see List of Items Controlled) and “substrates” coated with the following resists. License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
a.1. Positive resists adjusted (optimized) for use at wavelengths less than 193 nm but equal to or greater than 15 nm;
a.2. Resists adjusted (optimized) for use at wavelengths less than 15 nm but greater than 1 nm;
b. All resists designed for use with electron beams or ion beams, with a sensitivity of 0.01 µcoulomb/mm 2 or better;
c. [Reserved]
d. All resists optimized for surface imaging technologies;
e. All resists designed or optimized for use with imprint lithography equipment specified by 3B001.f.2 that use either a thermal or photo-curable process.
3C003 Organo-inorganic compounds as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
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 (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
This entry does not control hydrides containing 20% molar or more of inert gases or hydrogen.
3C005 High resistivity materials as follows (See List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. Polycrystalline “substrates” or polycrystalline ceramic “substrates”, having resistivities greater than 10,000 ohm-cm at 20 °C and having at least one non-epitaxial single-crystal layer of silicon (Si), silicon carbide (SiC), gallium nitride (GaN), aluminum nitride (AlN), or aluminum gallium nitride (AlGaN) on the surface of the “substrate”.
3C006 Materials, not specified by 3C001, consisting of a “substrate” specified by 3C005 with at least one epitaxial layer of silicon carbide, gallium nitride, aluminum nitride or aluminum gallium nitride. License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to “software” for equipment controlled by 3A001.b to 3A001.h, 3A002, and 3B | NS Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| AT applies to entire entry | AT Column 1 |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
Reporting Requirements See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: Yes List of Items Controlled Related Controls: Also see 3D991. Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading. 3D003 'Computational lithography' “software” “specially designed” for the “development” of patterns on EUV-lithography masks or reticles. License Requirements Reason for Control: NS, AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| AT applies to entire entry | AT Column 1. |
The list of items controlled is contained in the ECCN heading.
3D004 “Software” “specially designed” for the “development” of equipment controlled by 3A003. License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| AT applies to entire entry | AT Column 1 |
The list of items controlled is contained in the ECCN heading.
3D101 “Software” “specially designed” or modified for the “use” of equipment controlled by 3A101.b. License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
b. “Software” “specially designed” to enhance or release the performance characteristics of equipment controlled by ECCN 3A225.
3D611 “Software” “specially designed” for military electronics, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, RS, AT, UN| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry except 3D611.y | NS Column 1. |
| RS applies to entire entry except 3D611.y | RS Column 1. |
| RS applies to 3D611.y | China, Russia, or Venezuela (see § 742.6(a)(7)). |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry except 3D611.y | See § 746.1(b) for UN controls. |
a. “Software” “specially designed” for the “development,” “production,” operation, or maintenance of commodities controlled by ECCN 3A611 (other than 3A611.y) and 3B611.
b. “Software” “specially designed” for the “development,” “production,” operation or maintenance of technology in ECCN 3E611.b.
c. through x. [Reserved]
y. “Software” “specially designed” for the “production,” “development,” operation or maintenance of commodities enumerated in ECCNs 3A611.y.
3D980 “Software” “specially designed” for the “development,” “production” or “use” of commodities controlled by 3A980 and 3A981. License Requirements Reason for Control: CC, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: N/A List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading. E. “Technology” 3E001 “Technology” according to the General Technology Note for the “development” or “production” of equipment or materials controlled by 3A (except 3A980, 3A981, 3A991, 3A992, or 3A999), 3B (except 3B991 or 3B992) or 3C (except 3C992). License Requirements Reason for Control: NS, MT, NP, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to “technology” for items controlled by 3A001, 3A002, 3A003, 3B001, 3B002, or 3C001 to 3C006 | NS Column 1 |
| MT applies to “technology” for equipment controlled by 3A001 or 3A101 for MT reasons | MT Column 1 |
| NP applies to “technology” for equipment controlled by 3A001, 3A201, or 3A225 to 3A234 for NP reasons | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
Reporting Requirements See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, Special Comprehensive Licenses, and Validated End-User authorizations. List Based License Exceptions (See Part 740 for a Description of All License Exceptions) TSR: Yes, except N/A for MT, and “technology” for the “development” or “production” of: (a) Vacuum electronic device amplifiers described in 3A001.b.8, having operating frequencies exceeding 19 GHz; (b) solar cells, coverglass-interconnect-cells or covered-interconnect-cells (CIC) “assemblies”, solar arrays and/or solar panels described in 3A001.e.4; (c) “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers in 3A001.b.2; and (d) discrete microwave transistors in 3A001.b.3. Special Conditions for STA STA: License Exception STA may not be used to ship or transmit “technology” according to the General Technology Note for the “development” or “production” of equipment specified by ECCNs 3A002.g.1 or 3B001.a.2 to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR). License Exception STA may not be used to ship or transmit “technology” according to the General Technology Note for the “development” or “production” of components specified by ECCN 3A001.b.2 or b.3 to any of the destinations listed in Country Group A:5 or A:6 (See Supplement No.1 to part 740 of the EAR). List of Items Controlled Related Controls: (1) “Technology” according to the General Technology Note for the “development” or “production” of certain “space-qualified” atomic frequency standards described in Category XV(e)(9), MMICs described in Category XV(e)(14), and oscillators described in Category XV(e)(15) of the USML are “subject to the ITAR” (see 22 CFR parts 120 through 130). See also 3E101, 3E201 and 9E515. (2) “Technology” for “development” or “production” of “Microwave Monolithic Integrated Circuits” (“MMIC”) amplifiers in 3A001.b.2 is controlled in this ECCN 3E001; 5E001.d refers only to that additional “technology” “required” for telecommunications. Related Definition: N/A Items: The list of items controlled is contained in the ECCN heading. Note 1:3E001 does not control “technology” for equipment or “components” controlled by 3A003.
Note 2:3E001 does not control “technology” for integrated circuits controlled by 3A001.a.3 to a.14, having all of the following:
(a) Using “technology” at or above 0.130 µm; and
(b) Incorporating multi-layer structures with three or fewer metal layers.
Note 3:3E001 does not apply to 'Process Design Kits' ('PDKs') unless they include libraries implementing functions or technologies for items specified by 3A001.
Technical Note:A 'Process Design Kit' ('PDK') is a software tool provided by a semiconductor manufacturer to ensure that the required design practices and rules are taken into account in order to successfully produce a specific integrated circuit design in a specific semiconductor process, in accordance with technological and manufacturing constraints (each semiconductor manufacturing process has its particular 'PDK').
3E002 “Technology” according to the General Technology Note other than that controlled in 3E001 for the “development” or “production” of a “microprocessor microcircuit,” “micro-computer microcircuit” and microcontroller microcircuit core, having an arithmetic logic unit with an access width of 32 bits or more and any of the following features or characteristics (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| AT applies to entire entry | AT Column 1 |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) TSR: Yes. List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: a. A 'vector processor unit' designed to perform more than two calculations on floating-point vectors (one dimensional arrays of 32-bit or larger numbers) simultaneously; Technical Note:A 'vector processor unit' is a processor element with built-in instructions that perform multiple calculations on floating-point vectors (one-dimensional arrays of 32-bit or larger numbers) simultaneously, having at least one vector arithmetic logic unit and vector registers of at least 32 elements each.
b. Designed to perform more than four 64-bit or larger floating-point operation results per cycle; or
c. Designed to perform more than eight 16-bit fixed-point multiply-accumulate results per cycle (e.g., digital manipulation of analog information that has been previously converted into digital form, also known as digital “signal processing”).
Note 1:3E002 does not control “technology” for multimedia extensions.
Note 2:3E002 does not control “technology” for microprocessor cores, having all of the following:
a. Using “technology” at or above 0.130 µm; and
b. Incorporating multi-layer structures with five or fewer metal layers.
Note 3:3E002 includes “technology” for the “development” or “production” of digital signal processors and digital array processors.
3E003 Other “Technology” for the “Development” or “Production” of the Following (See List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| AT applies to entire entry | AT Column 1 |
a. Vacuum microelectronic devices;
b. Hetero-structure semiconductor electronic devices such as high electron mobility transistors (HEMT), hetero-bipolar transistors (HBT), quantum well and super lattice devices;
Note:3E003.b does not control “technology” for high electron mobility transistors (HEMT) operating at frequencies lower than 31.8 GHz and hetero-junction bipolar transistors (HBT) operating at frequencies lower than 31.8 GHz.
c. “Superconductive” electronic devices;
d. Substrates of films of diamond for electronic components;
e. Substrates of silicon-on-insulator (SOI) for integrated circuits in which the insulator is silicon dioxide;
f. Substrates of silicon carbide for electronic components;
g. “Vacuum electronic devices” operating at frequencies of 31.8 GHz or higher.
3E004 “Technology” “required” for the slicing, grinding and polishing of 300 mm diameter silicon wafers to achieve a 'Site Front least sQuares Range' ('SFQR') less than or equal to 20 nm at any site of 26 mm x 8 mm on the front surface of the wafer and an edge exclusion less than or equal to 2 mm. License Requirements Reason for Control: NS, AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| AT applies to entire entry | AT Column 1. |
The list of items controlled is contained in the ECCN heading.
3E101 “Technology” according to the General Technology Note for the “use” of equipment or “software” controlled by 3A001.a.1 or .2, 3A101, or 3D101. License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NP applies to “technology” for equipment controlled by 3A001.e.2, or .e.3, 3A201 or 3A225 to 3A234 for NP reasons | NP Column 1. |
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NP applies to entire entry | NP Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry except 3E611.y | NS Column 1. |
| RS applies to entire entry except 3E611.y | RS Column 1. |
| RS applies to 3E611.y | China, Russia, or Venezuela (see § 742.6(a)(7)). |
| AT applies to entire entry | AT Column 1. |
| UN applies to entire entry except 3E611.y | See § 746.1(b) for UN controls. |
2. Except for “build-to-print technology,” License Exception STA is not eligible for “technology” enumerated in ECCN 3E611.b.
List of Items Controlled Related Controls: Technical data directly related to articles enumerated in USML Category XI is controlled in USML Category XI(d). Related Definitions: N/A Items:a. “Technology” (other than that controlled by 3E611.b or 3E611.y) “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of commodities or software controlled by ECCN 3A611, 3B611 or 3D611.
b. “Technology” “required” for the “development,” “production,” operation, installation, maintenance, repair, overhaul, or refurbishing of the following if controlled by ECCN 3A611, including 3A611.x:
b.1. Helix traveling wave tubes (TWTs);
b.2. Transmit/receive or transmit modules.
c. through x. [Reserved]
y. “Technology” “required” for the “production,” “development,” operation, installation, maintenance, repair, overhaul, or refurbishing of commodities or software enumerated in ECCNs 3A611.y or 3D611.y.
3E980 “Technology” “specially designed” for “development,” “production” or “use” of commodities controlled by 3A980 and 3A981. License Requirements Reason for Control: CC, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: N/A List of Items Controlled 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 or “local area network” functions must also be evaluated against the performance characteristics of Category 5, Part 1 (Telecommunications).
Note 2: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.:For the control status of “software” “specially designed” for packet switching, see ECCN 5D001. (Telecommunications).
Technical Note:'Main storage' is the primary storage for data or instructions for rapid access by a central processing unit. It consists of the internal storage of a “digital computer” and any hierarchical extension thereto, such as cache storage or non-sequentially accessed extended storage.
A. “End Items”, “Equipment”, “Accessories”, “Attachments”, “Parts”, “Components” and “Systems” 4A001 Electronic computers and related equipment, having any of the following (see List of Items Controlled), and “electronic assemblies” and “specially designed” “components” therefore. License Requirements Reason for Control: NS, MT, AT, NP| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2. |
| MT applies to items in 4A001.a when the parameters in 4A101 are met or exceeded | MT Column 1. |
| AT applies to entire entry | AT Column 1. |
a.1. Rated for operation at an ambient temperature below 228 K (−45 °C) or above 358 K (85 °C); or
Note:4A001.a.1 does not apply to computers “specially designed” for civil automobile, railway train or “civil aircraft” applications.
a.2. Radiation hardened to exceed any of the following specifications:
a.2.a. A total dose of 5 × 10 3 Gy (Si);
a.2.b. A dose rate upset of 5 × 10 6 Gy (Si)/s; or
a.2.c. Single Event Upset of 1 × 10− Error/bit/day;
Note:4A001.a.2 does not apply to computers “specially designed” for “civil aircraft” applications.
b. [Reserved]
4A003 “Digital computers”, “electronic assemblies”, and related equipment therefor, as follows (see List of Items Controlled) and “specially designed” “components” therefor. License Requirements Reason for Control: NS, CC, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to 4A003.b and .c | NS Column 1 |
| NS applies to 4A003.e and .g | NS Column 2 |
| CC applies to “digital computers” for computerized finger-print equipment | CC Column 1 |
| AT applies to entire entry (refer to 4A994 for controls on “digital computers” with a APP > 0.0128 but ≤ 29 WT) | AT Column 1 |
For all destinations, except those countries in Country Group E:1 or E:2 of Supplement No. 1 to part 740 of the EAR, no license is required (NLR) for computers with an “Adjusted Peak Performance” (“APP”) not exceeding 29 Weighted TeraFLOPS (WT) and for “electronic assemblies” described in 4A003.c that are not capable of exceeding an “Adjusted Peak Performance” (“APP”) exceeding 29 Weighted TeraFLOPS (WT) in aggregation, except certain transfers as set forth in § 746.3 of the EAR (Iraq).
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: $5000; N/A for 4A003.b and .c. GBS: Yes, for 4A003.g and “specially designed” “parts” and “components” therefor, exported separately or as part of a system. APP: Yes, for computers controlled by 4A003.b, and “electronic assemblies” controlled by 4A003.c, to the exclusion of other technical parameters. See § 740.7 of the EAR. List of Items Controlled Related Controls: See also 4A994 and 4A980 Related Definitions: N/A Items: Note 1:4A003 includes the following:
- 'Vector processors' (as defined in Note 7 of the “Technical Note on “Adjusted Peak Performance” (“APP”)”); - Array processors; - Digital signal processors; - Logic processors; - Equipment designed for “image enhancement”. 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. [Reserved]
b. “Digital computers” having an “Adjusted Peak Performance” (“APP”) exceeding 29 Weighted TeraFLOPS (WT);
c. “Electronic assemblies” “specially designed” or modified to be capable of enhancing performance by aggregation of processors so that the “APP” 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”.
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. to f. [Reserved]
N.B.:For “electronic assemblies”, modules or equipment, performing analog-to-digital conversions, see 3A002.h.
g. Equipment “specially designed” for aggregating the performance of “digital computers” by providing external interconnections which allow communications at unidirectonal data rates exceeding 2.0 Gbyte/s per link.
Note:4A003.g does not control internal interconnection equipment (e.g., backplanes, buses) passive interconnection equipment, “network access controllers” or “communication channel controllers”.
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 (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
b. 'Neural computers';
c. 'Optical computers'.
Technical Notes:1. 'Systolic array computers' are computers where the flow and modification of the data is dynamically controllable at the logic gate level by the user.
2. 'Neural computers' are computational devices designed or modified to mimic the behaviour of a neuron or a collection of neurons, i.e., computational devices which are distinguished by their hardware capability to modulate the weights and numbers of the interconnections of a multiplicity of computational components based on previous data.
3. 'Optical computers' are computers designed or modified to use light to represent data and whose computational logic elements are based on directly coupled optical devices.
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 (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Designed as ruggedized or ‘radiation hardened’.
Note:‘Radiation hardened’ means that the “part,” “component” or equipment is designed or rated to withstand radiation levels which meet or exceed a total irradiation dose of 5 × 10 5 rads (Si).
4A102 “Hybrid computers” “specially designed” for modelling, simulation or design integration of “missiles” or their subsystems. (These items are “subject to the ITAR.” See 22 CFR parts 120 through 130.) 4A611 Computers, and “parts,” “components,” “accessories,” and “attachments” “specially designed” therefor, “specially designed” for a military application that are not enumerated in any USML category are controlled by ECCN 3A611. 4A980 Computers for fingerprint equipment, n.e.s. License Requirements Reason for Control: CC, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
| AT applies to entire entry | AT Column 1 |
4A980 does not control equipment limited to one finger and designed for user authentication or access control.
4A994 Computers, “electronic assemblies” and related equipment not controlled by 4A001 or 4A003, and “specially designed” “parts” and “components” therefor (see List of Items Controlled). License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
The control status of the “digital computers” and related equipment described in 4A994 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. Electronic computers and related equipment, and “electronic assemblies” and “specially designed” “parts” and “components” therefor, rated for operation at an ambient temperature above 343 K (70 °C);
b. “Digital computers”, including equipment of “signal processing” or image enhancement”, having an “Adjusted Peak Performance” (“APP”) equal to or greater than 0.0128 Weighted TeraFLOPS (WT);
c. “Electronic assemblies” that are “specially designed” or modified to enhance performance by aggregation of processors, as follows:
c.1. Designed to be capable of aggregation in configurations of 16 or more processors;
c.2. [Reserved];
Note 1:4A994.c applies only to “electronic assemblies” and programmable interconnections with a “APP” 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.k.
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-e. [Reserved];
f. Equipment for “signal processing” or “image enhancement” having an “Adjusted Peak Performance” (“APP”) equal to or greater than [0.0128] Weighted TeraFLOPS WT];
g-h. [Reserved];
i. Equipment containing “terminal interface equipment” exceeding the limits in 5A991;
j. Equipment “specially designed” to provide external interconnection of “digital computers” or associated equipment that allows communications at data rates exceeding 80 Mbyte/s.
Note:4A994.j does not control internal interconnection equipment (e.g., backplanes, buses) passive interconnection equipment, “network access controllers” or “communication channel controllers”.
k. “Hybrid computers” and “electronic assemblies” and “specially designed” “parts” and “components” therefor containing analog-to-digital converters having all of the following characteristics:
k.1. 32 channels or more; and,
k.2. A resolution of 14 bit (plus sign bit) or more with a conversion rate of 200,000 conversions/s or more.
B. “Test”, “Inspection” and “Production Equipment” [Reserved] C. “Materials” [Reserved] D. “Software” Note:The control status of “software” for equipment described in other Categories is dealt with in the appropriate Category.
4D001 “Software” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, CC, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| CC applies to “software” for computerized finger-print equipment controlled by 4A003 for CC reasons | CC Column 1 |
| AT applies to entire entry | AT Column 1 |
b. “Software”, other than that controlled by 4D001.a, “specially designed” or modified for the “development” or “production” of equipment as follows:
b.1. “Digital computers” having an “Adjusted Peak Performance” (“APP”) exceeding 15 Weighted TeraFLOPS (WT);
b.2. “Electronic assemblies” “specially designed” or modified for enhancing performance by aggregation of processors so that the “APP” of the aggregation exceeds the limit in 4D001.b.1.
4D980 “Software” “specially designed” for the “development,” “production” or “use” of commodities controlled by 4A980. License Requirements Reason for Control: CC, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
b. “Software” allowing the automatic generation of “source codes” from data acquired online from external sensors described in the Commerce Control List; or
c. Operating system “software” “specially designed” for “real-time processing” equipment that guarantees a “global interrupt latency time” of less than 20 microseconds.
4D994 “Software” Other Than That Controlled in 4D001 “Specially Designed” or Modified for the “Development”, “Production”, or “Use” of Equipment Controlled by 4A101 and 4A994. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| MT applies to “technology” for items controlled by 4A001.a and 4A101 for MT reasons | MT Column 1 |
| CC applies to “software” for computerized finger-print equipment controlled by 4A003 for CC reasons | CC Column 1 |
| AT applies to entire entry | AT Column 1 |
b. “Technology” according to the General Technology Note, other than that controlled by 4E001.a, for the “development” or “production” of equipment as follows:
b.1. “Digital computers” having an “Adjusted Peak Performance” (“APP”) exceeding 15 Weighted TeraFLOPS (WT);
b.2. “Electronic assemblies” “specially designed” or modified for enhancing performance by aggregation of processors so that the “APP” of the aggregation exceeds the limit in 4E001.b.1.
4E980 “Technology” for the “development,” “production” or “use” of commodities controlled by 4A980. License Requirements Reason for Control: CC, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| CC applies to entire entry | CC Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
“APP” is an adjusted peak rate at which “digital computers” perform 64-bit or larger floating point additions and multiplications.
Abbreviations used in this Technical Noten number of processors in the “digital computer”
I processor number (i . . . . n)
ti processor cycle time (ti = 1/Fi)
Fi processor frequency
Ri peak floating point calculating rate
Wi architecture adjustment factor
“APP” is expressed in Weighted TeraFLOPS (WT), in units of 10 12 adjusted floating point operations per second.
Outline of “APP” calculation method1. For each processor i, determine the peak number of 64-bit or larger floating-point operations, FPOi, performed per cycle for each processor in the “digital computer”.
NoteIn determining FPO, include only 64-bit or larger floating point additions or multiplications. All floating point operations must be expressed in operations per processor cycle; operations requiring multiple cycles may be expressed in fractional results per cycle. For processors not capable of performing calculations on floating-point operands of 64-bits or more the effective calculating rate R is zero.
2. Calculate the floating point rate R for each processor
Ri = FPOi/ti.
3. Calculate “APP” as
“APP” = W1 × R1 + W2 × R2 + . . . + Wn × Rn.
4. For 'vector processors', Wi = 0.9. For non-'vector processors', Wi = 0.3.
Note 1:For processors that perform compound operations in a cycle, such as an addition and multiplication, each operation is counted.
Note 2:For a pipelined processor the effective calculating rate R is the faster of the pipelined rate, once the pipeline is full, or the non-pipelined rate.
Note 3:The calculating rate R of each contributing processor is to be calculated at its maximum value theoretically possible before the “APP” of the combination is derived. 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:Do not include processors that are limited to input/output and peripheral functions (e.g., disk drive, communication and video display) when calculating “APP”.
Note 5:“APP” values are not to be calculated for processor 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 6:“APP” values must be calculated for processor combinations containing processors “specially designed” to enhance performance by aggregation, operating simultaneously and sharing memory.
Technical Notes1. Aggregate all processors and accelerators operating simultaneously and located on the same die.
2. Processor combinations share memory when any processor is capable of accessing any memory location in the system through the hardware transmission of cache lines or memory words, without the involvement of any software mechanism, which may be achieved using “electronic assemblies” specified in 4A003.c.
Note 7:A 'vector processor' is defined as a processor with built-in instructions that perform multiple calculations on floating-point vectors (one-dimensional arrays of 64-bit or larger numbers) simultaneously, having at least 2 vector functional units and at least 8 vector registers of at least 64 elements each.
Category 5 - Telecommunications and “Information Security” Part 1 - Telecommunications Notes: 1.The control status of “components”, test and “production” equipment, and “software” therefor which are “specially designed” for telecommunications equipment or systems is determined in Category 5, Part 1.
N.B.:For “lasers” “specially designed” for telecommunications equipment or systems, see ECCN 6A005.
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. “End Items”, “Equipment”, “Accessories”, “Attachments”, “Parts”, “Components” and “Systems” 5A001 Telecommunications systems, equipment, “components” and “accessories”, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, SL, AT| Control(s) | Country chart (see Supp. No. 1 to part 738). |
|---|---|
| NS applies to 5A001.a, .b.5, .e, f.3 and .h | NS Column 1 |
| NS applies to 5A001.b (except .b.5), .c, .d, .f (except f.3), and .g | NS Column 2 |
| SL applies to 5A001.f.1 | A license is required for all destinations, as specified in § 742.13 of the EAR. Accordingly, a column specific to this control does not appear on the Commerce Country Chart (Supplement No. 1 to part 738 of the EAR). |
| Note to SL paragraph: This licensing requirement does not supersede, nor does it implement, construe or limit the scope of any criminal statute, including, but not limited to the Omnibus Safe Streets Act of 1968, as amended. | |
| AT applies to entire entry | AT Column 1 |
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;
a.3. “Specially designed” to operate below 218 K (−55 °C); or
a.4. “Specially designed” to operate above 397 K (124 °C);
Note:5A001.a.3 and 5A001.a.4 apply only to electronic equipment.
b. Telecommunication systems and equipment, and “specially designed” “components” and “accessories” therefor, having any of the following characteristics, functions or features:
b.1. Being underwater untethered communications systems having any of the following:
b.1.a. An acoustic carrier frequency outside the range from 20 kHz to 60 kHz;
b.1.b. Using an electromagnetic carrier frequency below 30 kHz; or
b.1.c. Using electronic beam steering techniques; or
b.1.d. Using “lasers” or light-emitting diodes (LEDs), with an output wavelength greater than 400 nm and less than 700 nm, in a “local area network”;
b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz band and having all of the following:
b.2.a. Automatically predicting and selecting frequencies and “total digital transfer rates” per channel to optimize the transmission; and
b.2.b. 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 frequency range of 1.5 MHz or more but less than 30 MHz, or 250 W or more in the frequency range of 30 MHz or more but not exceeding 87.5 MHz, over an “instantaneous bandwidth” of one octave or more and with an output harmonic and distortion content of better than −80 dB;
b.3. Being radio equipment employing “spread spectrum” techniques, including “frequency hopping” techniques, not controlled in 5A001.b.4 and having any of the following:
b.3.a. User programmable spreading codes; or
b.3.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.3.b does not control radio equipment “specially designed” for use with any of the following:
a. Civil cellular radio-communications systems; or
b. Fixed or mobile satellite Earth stations for commercial civil telecommunications.
Note:5A001.b.3 does not control equipment operating at an output power of 1 W or less.
b.4. Being radio equipment employing ultra-wideband modulation techniques, having user programmable channelizing codes, scrambling codes, or network identification codes and having any of the following:
b.4.a. A bandwidth exceeding 500 MHz; or
b.4.b. A “fractional bandwidth” of 20% or more;
b.5. Being digitally controlled radio receivers having all of the following:
b.5.a. More than 1,000 channels;
b.5.b. A 'channel switching time' of less than 1 ms;
b.5.c. Automatic searching or scanning of a part of the electromagnetic spectrum; and
b.5.d. Identification of the received signals or the type of transmitter; or
Note:5A001.b.5 does not control radio equipment “specially designed” for use with civil cellular radio-communications systems.
Technical Note:'Channel switching time': The time (i.e., delay) to change from one receiving frequency to another, to arrive at or within ±0.05% of the final specified receiving frequency. Items having a specified frequency range of less than ±0.05% around their center frequency are defined to be incapable of channel frequency switching.
b.6. Employing functions of digital “signal processing” to provide 'voice coding' output at rates of less than 700 bit/s.
Technical Notes:1. For variable rate 'voice coding', 5A001.b.6 applies to the 'voice coding' output of continuous speech.
2. For the purpose of 5A001.b.6, 'voice coding' is defined as the technique to take samples of human voice and then convert these samples of human voice into a digital signal taking into account specific characteristics of human speech.
c. Optical fibers of more than 500 m in length and specified by the manufacturer as being capable of withstanding a 'proof test' tensile stress of 2 × 10 9 N/m 2 or more;
N.B.:For underwater umbilical cables, see 8A002.a.3.
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 °C) and relative humidity 40%. Equivalent national standards may be used for executing the proof test.
d. 'Electronically steerable phased array antennae' as follows:
d.1. Rated for operation above 31.8 GHz, but not exceeding 57 GHz, and having an Effective Radiated Power (ERP) equal to or greater than +20 dBm (22.15 dBm Effective Isotropic Radiated Power (EIRP));
d.2. Rated for operation above 57 GHz, but not exceeding 66 GHz, and having an ERP equal to or greater than +24 dBm (26.15 dBm EIRP);
d.3. Rated for operation above 66 GHz, but not exceeding 90 GHz, and having an ERP equal to or greater than +20 dBm (22.15 dBm EIRP);
d.4. Rated for operation above 90 GHz;
Note 1:5A001.d does not control 'electronically steerable phased array antennae' for landing systems with instruments meeting ICAO standards covering Microwave Landing Systems (MLS).
Note 2:5A001.d does not apply to antennae specially designed for any of the following:
a. Civil cellular or WLAN radio-communications systems;
b. IEEE 802.15 or wireless HDMI; or
c. Fixed or mobile satellite earth stations for commercial civil telecommunications.
Technical Note:For the purposes of 5A001.d 'electronically steerable phased array antenna' is an antenna which forms a beam by means of phase coupling, (i.e., the beam direction is controlled by the complex excitation coefficients of the radiating elements) and the direction of that beam can be varied (both in transmission and reception) in azimuth or in elevation, or both, by application of an electrical signal.
e. Radio direction finding equipment operating at frequencies above 30 MHz and having all of the following, and “specially designed” “components” therefor:
e.1. “Instantaneous bandwidth” of 10 MHz or more; and
e.2. Capable of finding a Line Of Bearing (LOB) to non-cooperating radio transmitters with a signal duration of less than 1 ms;
f. Mobile telecommunications interception or jamming equipment, and monitoring equipment therefor, as follows, and “specially designed” “components” therefor:
f.1. Interception equipment designed for the extraction of voice or data, transmitted over the air interface;
f.2. Interception equipment not specified in 5A001.f.1, designed for the extraction of client device or subscriber identifiers (e.g., IMSI, TIMSI or IMEI), signaling, or other metadata transmitted over the air interface;
f.3. Jamming equipment “specially designed” or modified to intentionally and selectively interfere with, deny, inhibit, degrade or seduce mobile telecommunication services and performing any of the following:
f.3.a. Simulate the functions of Radio Access Network (RAN) equipment;
f.3.b. Detect and exploit specific characteristics of the mobile telecommunications protocol employed (e.g., GSM); or
f.3.c. Exploit specific characteristics of the mobile telecommunications protocol employed (e.g., GSM);
f.4. Radio Frequency (RF) monitoring equipment designed or modified to identify the operation of items specified in 5A001.f.1, 5A001.f.2 or 5A001.f.3.
Note:5A001.f.1 and 5A001.f.2 do not apply to any of the following:
a. Equipment “specially designed” for the interception of analog Private Mobile Radio (PMR), IEEE 802.11 WLAN;
b. Equipment designed for mobile telecommunications network operators; or
c. Equipment designed for the “development” or “production” of mobile telecommunications equipment or systems.
N.B. 1:See also the International Traffic in Arms Regulations (ITAR) (22 CFR parts 120 through 130). For items specified by 5A001.f.1 (including as previously specified by 5A001.i), see also5A980 and the U.S. Munitions List (22 CFR part 121).
N.B. 2:For radio receivers see 5A001.b.5.
g. Passive Coherent Location (PCL) systems or equipment, “specially designed” for detecting and tracking moving objects by measuring reflections of ambient radio frequency emissions, supplied by non-radar transmitters.
Technical Note:Non-radar transmitters may include commercial radio, television or cellular telecommunications base stations.
Note:5A001.g. does not control:
a. Radio-astronomical equipment; or
b. Systems or equipment, that require any radio transmission from the target.
h. Counter Improvised Explosive Device (IED) equipment and related equipment, as follows:
h.1. Radio Frequency (RF) transmitting equipment, not specified by 5A001.f, designed or modified for prematurely activating or preventing the initiation of Improvised Explosive Devices (IEDs);
h.2. Equipment using techniques designed to enable radio communications in the same frequency channels on which co-located equipment specified by 5A001.h.1 is transmitting.
N.B.:See also Category XI of the International Traffic in Arms Regulations (ITAR) (22 CFR parts 120 through 130).
i. [Reserved]
N.B.:See 5A001.f.1 for items previously specified by 5A001.i.
5A101 Telemetering and telecontrol equipment, including ground equipment, designed or modified for unmanned aerial vehicle (including cruise missiles, target drones, and reconnaissance drones) or rocket systems (including ballistic missiles, space launch vehicles, and sounding rockets) capable of a maximum “range” equal to or greater than 300 km. License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
5A101 does not control:
1. Telecontrol equipment “specially designed” to be used for remote control of recreational model planes, boats or vehicles and having an electric field strength of not more than 200 microvolts per meter at a distance of 500 meters;
2. Equipment designed or modified for manned aircraft or satellites;
3. Ground based equipment designed or modified for terrestrial or marine applications;
4. Equipment designed for commercial, civil, or safety of life (e.g., data integrity or flight safety) Global Navigation Satellite System services.
Note:ECCN 5A101 does not include items not designed or modified for unmanned aerial vehicles (including cruise missiles, target drones, and reconnaissance drones) or rocket systems (including ballistic missiles, space launch vehicles and sounding rockets) capable of a maximum “range” equal to or greater than 300km (e.g., telemetry circuit cards limited by design to reception only and designed for use in personal computers).
5A611 Telecommunications equipment, and “parts,” “components,” “accessories,” and “attachments” “specially designed” therefor, “specially designed” for a military application that are not enumerated in any USML category are controlled by ECCN 3A611. 5A980 Devices primarily useful for the surreptitious interception of wire, oral, or electronic communications, other than those controlled under 5A001.f.1; and “parts,” “components” and “accessories” therefor. License Requirements Reason for Control: SL, AT Control(s): SL and AT apply to entire entry. A license is required for all destinations, as specified in § 742.13 of the EAR. Accordingly, a column specific to this control does not appear on the Commerce Country Chart (Supplement No. 1 to Part 738 of the EAR). Note:This licensing requirement does not supersede, nor does it implement, construe or limit the scope of any criminal statute, including, but not limited to the Omnibus Safe Streets Act of 1968, as amended.
List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Unit: $ value. Related Controls: (1) See ECCN 5A001.f.1 for systems or equipment, “specially designed” or modified to intercept and process the air interface of 'mobile telecommunications', and “specially designed” components therefor. (2) See ECCN 5D980 for “software” for the “development”, “production” or “use” of equipment controlled by 5A980. (3) See ECCN 5E980 for the “technology” for the “development”, “production”, and “use” of equipment controlled by 5A980. Related Definitions: N/A Items: The list of items controlled is contained in the ECCN heading. 5A991 Telecommunication equipment, not controlled by 5A001 (see List of Items Controlled). License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
b. Telecommunication transmission equipment and systems, and “specially designed” “parts,” “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:5A991.b.1 does not control equipment “specially designed” to be integrated and operated in any satellite system for civil use.
b.2. Modems using the “bandwidth of one voice channel” with a “data signaling rate” exceeding 9,600 bits per second;
b.3. Being “stored program controlled” digital cross connect equipment with “digital transfer rate” exceeding 8.5 Mbit/s per port.
b.4. Being equipment containing any of the following:
b.4.a. “Network access controllers” and their related common medium having a “digital transfer rate” exceeding 33 Mbit/s; or
b.4.b. “Communication channel controllers” with a digital output having a “data signaling rate” exceeding 64,000 bit/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 5A991.b.4.
b.5. Employing a “laser” and having any of the following characteristics:
b.5.a. A transmission wavelength exceeding 1,000 nm; or
b.5.b. Employing analog techniques and having a bandwidth exceeding 45 MHz;
Note:5A991.b.5.b does not control commercial TV systems.
b.5.c. Employing coherent optical transmission or coherent optical detection techniques (also called optical heterodyne or homodyne techniques);
b.5.d. Employing wavelength division multiplexing techniques; or
b.5.e. Performing “optical amplification”;
b.6. Radio equipment operating at input or output frequencies exceeding:
b.6.a. 31 GHz for satellite-earth station applications; or
b.6.b. 26.5 GHz for other applications;
Note:5A991.b.6. 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.7. Being radio equipment employing any of the following:
b.7.a. Quadrature-amplitude-modulation (QAM) techniques above level 4 if the “total digital transfer rate” exceeds 8.5 Mbit/s;
b.7.b. QAM techniques above level 16 if the “total digital transfer rate” is equal to or less than 8.5 Mbit/s;
b.7.c. Other digital modulation techniques and having a “spectral efficiency” exceeding 3 bit/s/Hz; or
b.7.d. Operating in the 1.5 MHz to 87.5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal.
Notes:1. 5A991.b.7 does not control equipment “specially designed” to be integrated and operated in any satellite system for civil use.
2. 5A991.b.7 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/s/Hz.
c. “Stored program controlled” switching equipment and related signaling systems, having any of the following characteristics, functions or features, and “specially designed” “parts,” “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. “Data (message) switching” equipment or systems designed for “packet-mode operation” and “parts,” electronic assemblies and “components” therefor, n.e.s.
c.2. [Reserved]
c.3. Routing or switching of “datagram” packets;
c.4. [Reserved]
Note:The restrictions in 5A991.c.3 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 cross connect equipment with “digital transfer rate” exceeding 8.5 Mbit/s per port.
c.8. “Common channel signaling” operating in either non-associated or quasi-associated mode of operation;
c.9. “Dynamic adaptive routing”;
c.10. Being packet switches, circuit switches and routers with ports or lines exceeding any of the following:
c.10.a. A “data signaling rate” of 64,000 bit/s per channel for a “communications channel controller”; or
Note:5A991.c.10.a does not control multiplex composite links composed only of communication channels not individually controlled by 5A991.b.1.
c.10.b. A “digital transfer rate” of 33 Mbit/s for a “network access controller” and related common media;
Note:5A991.c.10 does not control packet switches or routers with ports or lines not exceeding the limits in 5A991.c.10.
c.11. “Optical switching”;
c.12. Employing “Asynchronous Transfer Mode” (“ATM”) techniques.
d. Optical fibers and optical fiber cables of more than 50 m in length designed for single mode operation;
e. Centralized network control having all of the following characteristics:
e.1. Receives data from the nodes; and
e.2. Process these data in order to provide control of traffic not requiring operator decisions, and thereby performing “dynamic adaptive routing”;
Note:5A991.e does not preclude control of traffic as a function of predictable statistical traffic conditions.
f. Phased array antennas, operating above 10.5 GHz, containing active elements and distributed “parts” or “components,” and designed to permit electronic control of beam shaping and pointing, except for landing systems with instruments meeting International Civil Aviation Organization (ICAO) standards (microwave landing systems (MLS)).
g. Mobile communications equipment, n.e.s., and “parts,” electronic assemblies and “components” therefor; or
h. Radio relay communications equipment designed for use at frequencies equal to or exceeding 19.7 GHz and “parts” and “components” therefor, n.e.s.
B. “Test”, “Inspection” and “Production Equipment” 5B001 Telecommunication test, inspection and production equipment, “components” and “accessories,” as follows (See List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
5B001.a does not apply to optical fiber characterization equipment.
b. Equipment and “specially designed” “components” or “accessories” therefor, “specially designed” for the “development” of any of the following telecommunication transmission or switching equipment:
b.1. [Reserved]
b.2. Equipment employing a “laser” and having any of the following:
b.2.a. A transmission wavelength exceeding 1750 nm; or
b.2.b. [Reserved]
b.2.c. [Reserved]
b.2.d. Employing analog techniques and having a bandwidth exceeding 2.5 GHz; or
Note:5B001.b.2.d. does not include equipment “specially designed” for the “development” of commercial TV systems.
b.3. [Reserved]
b.4. Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 1,024.
5B991 Telecommunications test equipment, n.e.s. License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| SL applies to the entire entry as applicable for equipment, functions, features, or characteristics controlled by 5A001.f.1 | A license is required for all
destinations, as specified in § 742.13 of the EAR. Accordingly, a
column specific to this control does not appear on the Commerce
Country Chart (Supplement No. 1 to Part 738 of the EAR). Note to SL paragraph: This licensing requirement does not supersede, implement, construe or limit the scope of any criminal statute, including, but not limited to, the Omnibus Safe Streets Act of 1968, as amended. |
| AT applies to entire entry | AT Column 1. |
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: Yes, except for exports and reexports to destinations outside of those countries listed in Country Group A:5 (See Supplement No. 1 to part 740 of the EAR) of the following:(1) “Software” controlled by 5D001.a and “specially designed” for items controlled by 5A001.b.5 and 5A001.h. or
(2) “Software” controlled by 5D001.e.
Special Conditions for STA STA: License Exception STA may not be used to ship or transmit 5D001.a “software” “specially designed” for the “development” or “production” of equipment, functions or features, specified by ECCN 5A001.b.3, .b.5 or .h. for “software” “specially designed” or modified to support “technology” specified by the STA paragraph in the License Exception section of ECCN 5E001 to any of the destinations listed in Country Group A:6 (See Supplement No. 1 to part 740 of the EAR). List of Items Controlled Related Controls: See also 5D980 and 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;
b. [Reserved]
c. Specific “software” “specially designed” or modified to provide characteristics, functions or features of equipment, controlled by 5A001 or 5B001;
d. “Software” “specially designed” or modified for the “development” of any of the following telecommunication transmission or switching equipment:
d.1. [Reserved]
d.2. Equipment employing a “laser” and having any of the following:
d.2.a. A transmission wavelength exceeding 1,750 nm; or
d.2.b. Employing analog techniques and having a bandwidth exceeding 2.5 GHz; or
Note:5D001.d.2.b does not control “software” “specially designed” or modified for the “development” of commercial TV systems.
d.3. [Reserved]
d.4. Radio equipment employing Quadrature-Amplitude-Modulation (QAM) techniques above level 1,024;
e. “Software”, other than that specified by 5D001.a or 5D001.c, “specially designed” or modified for monitoring or analysis by law enforcement, providing all of the following:
e.1. Execution of searches on the basis of “hard selectors” of either the content of communication or metadata acquired from a communications service provider using a 'handover interface'; and
Technical Notes:
1. For the purposes of 5D001.e, a 'handover interface' is a physical and logical interface, designed for use by an authorised law enforcement authority, across which targeted interception measures are requested from a communications service provider and the results of interception are delivered from a communications service provider to the requesting authority. The 'handover interface' is implemented within systems or equipment (e.g., mediation devices) that receive and validate the interception request, and deliver to the requesting authority only the results of interception that fulfil the validated request.
2. 'Handover interfaces' may be specified by international standards (including but not limited to ETSI TS 101 331, ETSI TS 101 671, 3GPP TS 33.108) or national equivalents.
e.2. Mapping of the relational network or tracking the movement of targeted individuals based on the results of searches on content of communication or metadata or searches as described in 5D001.e.1.
Note:5D001.e does not apply to “software” “specially designed” or modified for any of the following:
a. Billing purposes;
b. Network Quality of Service (QoS);
c. Quality of Experience (QoE);
d. Mediation devices; or
e. Mobile payment or banking use.
5D101 “Software” “specially designed” or modified for the “use” of equipment controlled by 5A101. License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
This licensing requirement does not supersede, nor does it implement, construe or limit the scope of any criminal statute, including, but not limited to the Omnibus Safe Streets Act of 1968, as amended.
List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: N/A List of Items Controlled Related Controls: See also 5D001.a and .c for software controls for equipment, functions, features or characteristics controlled by 5A001.f.1 and also 5D001.b for controls on “software” “specially designed” or modified to support “technology” controlled by 5E001.a (for 5A001.f.1 equipment, functions or features, and for 5D001.a “software” for 5A001.f.1 equipment). See 5E980 for “technology” for the “development”, “production”, and “use” of equipment controlled by 5A980 or “software” controlled by 5D980. Related Definitions: N/A Items: a. “Software” primarily useful for the surreptitious interception of wire, oral, and electronic communications.b. “Software” primarily useful for the “development”, “production”, or “use” of equipment controlled by 5A980.
5D991 “Software” “specially designed” or modified for the “development,” “production” or “use” of equipment controlled by 5A991 and 5B991, and dynamic adaptive routing software as described as follows (see List of Items Controlled). License Requirements Reason for Control: AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
b. [Reserved]
E. “Technology” 5E001 “Technology” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, SL, AT| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| SL applies to “technology” for the “development” or “production” of equipment, functions or features controlled by 5A001.f.1, or for the “development” or “production” of “software” controlled by ECCN 5D001.a (for 5A001.f.1) | A license is required for all
destinations, as specified in § 742.13 of the EAR. Accordingly, a
column specific to this control does not appear on the Commerce
Country Chart (Supplement No. 1 to Part 738 of the EAR). Note to SL paragraph: This licensing requirement does not supersede, implement, construe or limit the scope of any criminal statute, including, but not limited to, the Omnibus Safe Streets Act of 1968, as amended. |
| AT applies to entire entry | AT Column 1. |
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: Yes, except for exports or reexports to destinations outside of those countries listed in Country Group A:5 (See Supplement No. 1 to part 740 of the EAR) of “technology” controlled by 5E001.a for the “development” or “production” of the following:(1) Items controlled by 5A001.b.5 or 5A001.h;
(2) “Software” controlled by 5D001.a that is “specially designed” for the “development” or “production” of equipment, functions or features controlled by 5A001.b.5 or 5A001.h.; or
(3) “Software” controlled by 5D001.e.
Special Conditions for STA STA: License Exception STA may not be used to ship or transmit “technology” according to the General Technology Note for the “development” or “production” of equipment, functions or features specified by 5A001.b.3, .b.5 or .h; or for “software” in 5D001.a that is specified in the STA paragraph in the License Exception section of ECCN 5D001 to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR). List of Items Controlled Related Controls: (1) See also 5E101, 5E980 and 5E991. (2) “Technology” for “development” or “production” of “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers that meet the control criteria given at 3A001.b.2 is controlled in 3E001; 5E001.d refers only to that additional “technology” “required” for telecommunications. Related Definitions: N/A Items:a. “Technology” according to the General Technology Note for the “development”, “production” or “use” (excluding operation) of equipment, functions or features, controlled by 5A001 or “software” controlled by 5D001.a or 5D001.e.
b. Specific “technology”, as follows:
b.1. “Technology” “required” 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 “development” of digital cellular radio base station receiving equipment whose reception capabilities that allow multi-band, multi-channel, multi-mode, multi-coding algorithm or multi-protocol operation can be modified by changes in “software”;
b.4. “Technology” for the “development” of “spread spectrum” techniques, including “frequency hopping” techniques.
Note:5E001.b.4 does not apply to “technology” for the “development” of any of the following:
a. Civil cellular radio-communications systems; or
b. Fixed or mobile satellite Earth stations for commercial civil telecommunications.
c. “Technology” according the General Technology Note for the “development” or “production” of any of the following:
c.1. [Reserved]
c.2. Equipment employing a “laser” and having any of the following:
c.2.a. A transmission wavelength exceeding 1,750 nm;
c.2.b. [Reserved]
c.2.c. [Reserved]
c.2.d. Employing wavelength division multiplexing techniques of optical carriers at less than 100 GHz spacing; or
c.2.e. Employing analog techniques and having a bandwidth exceeding 2.5 GHz;
Note:5E001.c.2.e does not control “technology” for commercial TV systems.
N.B.:For “technology” for the “development” or “production” of non-telecommunications equipment employing a “laser”, see Product Group E of Category 6, e.g., 6E00x.
c.3. Equipment employing “optical switching” and having a switching time less than 1 ms; or
c.4. Radio equipment having any of the following:
c.4.a. Quadrature-Amplitude-Modulation (QAM) techniques above level 1,024; or
c.4.b. Operating at input or output frequencies exceeding 31.8 GHz; or
Note:5E001.c.4.b does not control “technology” for equipment designed or modified for operation in any frequency band which is “allocated by the ITU” for radio-communications services, but not for radio-determination.
c.4.c. Operating in the 1.5 MHz to 87.5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal; or
c.5. [Reserved]
c.6. Mobile equipment having all of the following:
c.6.a. Operating at an optical wavelength greater than or equal to 200nm and less than or equal to 400nm; and
c.6.b. Operating as a “local area network”;
d. “Technology” according to the General Technology Note for the “development” or “production” of “Monolithic Microwave Integrated Circuit” (“MMIC”) amplifiers “specially designed” for telecommunications and that are any of the following:
Technical Note:For purposes of 5E001.d, the parameter peak saturated power output may also be referred to on product data sheets as output power, saturated power output, maximum power output, peak power output, or peak envelope power output.
d.1. Rated for operation at frequencies exceeding 2.7 GHz up to and including 6.8 GHz with a “fractional bandwidth” greater than 15%, and having any of the following:
d.1.a. A peak saturated power output greater than 75 W (48.75 dBm) at any frequency exceeding 2.7 GHz up to and including 2.9 GHz;
d.1.b. A peak saturated power output greater than 55 W (47.4 dBm) at any frequency exceeding 2.9 GHz up to and including 3.2 GHz;
d.1.c. A peak saturated power output greater than 40 W (46 dBm) at any frequency exceeding 3.2 GHz up to and including 3.7 GHz; or
d.1.d. A peak saturated power output greater than 20 W (43 dBm) at any frequency exceeding 3.7 GHz up to and including 6.8 GHz;
d.2. Rated for operation at frequencies exceeding 6.8 GHz up to and including 16 GHz with a “fractional bandwidth” greater than 10%, and having any of the following:
d.2.a. A peak saturated power output greater than 10W (40 dBm) at any frequency exceeding 6.8 GHz up to and including 8.5 GHz; or
d.2.b. A peak saturated power output greater than 5W (37 dBm) at any frequency exceeding 8.5 GHz up to and including 16 GHz;
d.3. Rated for operation with a peak saturated power output greater than 3 W (34.77 dBm) at any frequency exceeding 16 GHz up to and including 31.8 GHz, and with a “fractional bandwidth” of greater than 10%;
d.4. Rated for operation with a peak saturated power output greater than 0.1 nW (−70 dBm) at any frequency exceeding 31.8 GHz up to and including 37 GHz;
d.5. Rated for operation with a peak saturated power output greater than 1 W (30 dBm) at any frequency exceeding 37 GHz up to and including 43.5 GHz, and with a “fractional bandwidth” of greater than 10%;
d.6. Rated for operation with a peak saturated power output greater than 31.62 mW (15 dBm) at any frequency exceeding 43.5 GHz up to and including 75 GHz, and with a “fractional bandwidth” of greater than 10%;
d.7. Rated for operation with a peak saturated power output greater than 10 mW (10 dBm) at any frequency exceeding 75 GHz up to and including 90 GHz, and with a “fractional bandwidth” of greater than 5%; or
d.8. Rated for operation with a peak saturated power output greater than 0.1 nW (−70 dBm) at any frequency exceeding 90 GHz;
e. “Technology” according to the General Technology Note for the “development” or “production” of electronic devices and circuits, “specially designed” for telecommunications and containing “components” manufactured from “superconductive” materials, “specially designed” for operation at temperatures below the “critical temperature” of at least one of the “superconductive” constituents and having any of the following:
e.1. 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− 14 J; or
e.2. Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10,000.
5E101 “Technology” according to the General Technology Note for the “development,” “production” or “use” of equipment or software controlled by 5A101 or 5D101. License Requirements Reason for Control: MT, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| MT applies to entire entry | MT Column 1 |
| AT applies to entire entry | AT Column 1 |
| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1 |
a.1. “Technology” for the processing and application of coatings to optical fiber “specially designed” to make it suitable for underwater use;
a.2. “Technology” for the “development” of equipment employing ‘Synchronous Digital Hierarchy’ (‘SDH’) or ‘Synchronous Optical Network’ (‘SONET’) techniques.
Part 2 - “Information Security” Note 1:[Reserved]
Note 2:Category 5 - Part 2, “information security” products, when accompanying their user for the user's personal use or as tools of trade, are eligible for License Exceptions TMP or BAG, subject to the terms and conditions of these license exceptions.
Note 3:Cryptography Note: ECCNs 5A002, 5D002.a.1, .b, and .c.1, do not control items as follows:
a. Items meeting all of the following:
1. Generally available to the public by being sold, without restriction, from stock at retail selling points by means of any of the following:
a. Over-the-counter transactions;
b. Mail order transactions;
c. Electronic transactions; or
d. Telephone call transactions;
2. The cryptographic functionality cannot be easily changed by the user;
3. Designed for installation by the user without further substantial support by the supplier; and
4. When necessary, details of the items are accessible and will be provided, upon request, to the appropriate authority in the exporter's country in order to ascertain compliance with conditions described in paragraphs a.1 through a.3 of this Note;
b. Hardware components or 'executable software', of existing items described in paragraph a. of this Note, that have been designed for these existing items, and meeting all of the following:
1. “Information security” is not the primary function or set of functions of the component or 'executable software';
2. The component or 'executable software' does not change any cryptographic functionality of the existing items, or add new cryptographic functionality to the existing items;
3. The feature set of the component or 'executable software' is fixed and is not designed or modified to customer specification; and
4. When necessary, as determined by the appropriate authority in the exporter's country, details of the component or 'executable software', and details of relevant end-items are accessible and will be provided to the authority upon request, in order to ascertain compliance with conditions described above.
Technical Note:For the purpose of the Cryptography Note, 'executable software' means “software” in executable form, from an existing hardware component excluded from 5A002, by the Cryptography Note.
Note:'Executable software' does not include complete binary images of the “software” running on an end-item.
Note to the Cryptography Note:1. To meet paragraph a. of Note 3, all of the following must apply:
a. The item is of potential interest to a wide range of individuals and businesses; and
b. The price and information about the main functionality of the item are available before purchase without the need to consult the vendor or supplier. A simple price inquiry is not considered to be a consultation.
2. In determining eligibility of paragraph a. of Note 3, BIS may take into account relevant factors such as quantity, price, required technical skill, existing sales channels, typical customers, typical use or any exclusionary practices of the supplier.
N.B. to Note 3 (Cryptography Note):You must submit a classification request or self-classification report to BIS for mass market encryption commodities and software eligible for the Cryptography Note employing a key length greater than 64 bits for the symmetric algorithm (or, for commodities and software not implementing any symmetric algorithms, employing a key length greater than 768 bits for asymmetric algorithms described by Technical note 2.b to 5A002.a or greater than 128 bits for elliptic curve algorithms, or any asymmetric algorithm described by Technical Note 2.c to 5A002.a) in accordance with the requirements of § 740.17(b) of the EAR in order to be released from the “EI” and “NS” controls of ECCN 5A002 or 5D002.
A. “End Items,” “Equipment,” “Accessories,” “Attachments,” “Parts,” “Components,” and “Systems” I. Cryptographic “Information Security” 5A002 “Information security” systems, equipment and “components,” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT, EI| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| AT applies to entire entry | AT Column 1 |
| EI applies to entire entry | Refer to § 742.15 of the EAR |
a. Designed or modified to use 'cryptography for data confidentiality' having a 'described security algorithm', where that cryptographic capability is useable, has been activated, or can be activated by means of “cryptographic activation” not employing a secure mechanism, as follows:
a.1. Items having “information security” as a primary function;
a.2. Digital communication or networking systems, equipment or components, not specified in paragraph 5A002.a.1;
a.3. Computers, other items having information storage or processing as a primary function, and components therefor, not specified in paragraphs 5A002.a.1 or .a.2;
N.B.: For operating systems see also 5D002.a.1 and .c.1.
a.4. Items, not specified in paragraphs 5A002.a.1 to a.3, where the 'cryptography for data confidentiality' having a 'described security algorithm' meets all of the following:
a.4.a. It supports a non-primary function of the item; and
a.4.b. It is performed by incorporated equipment or “software” that would, as a standalone item, be specified by ECCNs 5A002, 5A003, 5A004, 5B002 or 5D002.
N.B. to paragraph a.4: See Related Control Paragraph (4) of this ECCN 5A002 for examples of items not controlled by 5A002.a.4.
Technical Notes:
1. For the purposes of 5A002.a, 'cryptography for data confidentiality' means “cryptography” that employs digital techniques and performs any cryptographic function other than any of the following:
1.a. “Authentication;”
1.b. Digital signature;
1.c. Data integrity;
1.d. Non-repudiation;
1.e. Digital rights management, including the execution of copy-protected “software;”
1.f. Encryption or decryption in support of entertainment, mass commercial broadcasts or medical records management; or
1.g. Key management in support of any function described in paragraphs 1.a to 1.f of this Technical Note paragraph 1.
2. For the purposes of 5A002.a, 'described security algorithm' means any of the following:
2.a. A “symmetric algorithm” employing a key length in excess of 56 bits, not including parity bits;
2.b. An “asymmetric algorithm” where the security of the algorithm is based on any of the following:
2.b.1. Factorization of integers in excess of 512 bits (e.g., RSA);
2.b.2. Computation of discrete logarithms in a multiplicative group of a finite field of size greater than 512 bits (e.g., Diffie-Hellman over Z/pZ); or
2.b.3. Discrete logarithms in a group other than mentioned in paragraph 2.b.2 of this Technical Note in excess of 112 bits (e.g., Diffie-Hellman over an elliptic curve); or
2.c. An “asymmetric algorithm” where the security of the algorithm is based on any of the following:
2.c.1. Shortest vector or closest vector problems associated with lattices (e.g., NewHope, Frodo, NTRUEncrypt, Kyber, Titanium);
2.c.2. Finding isogenies between Supersingular elliptic curves (e.g., Supersingular Isogeny Key Encapsulation); or
2.c.3. Decoding random codes (e.g., McEliece, Niederreiter).
Technical Note: An algorithm described by Technical Note 2.c. may be referred to as being post-quantum, quantum-safe or quantum-resistant.
Note 1: Details of items must be accessible and provided upon request, in order to establish any of the following:
a. Whether the item meets the criteria of 5A002.a.1 to a.4; or
b. Whether the cryptographic capability for data confidentiality specified by 5A002.a is usable without “cryptographic activation.”
Note 2: 5A002.a does not control any of the following items, or specially designed “information security” components therefor:
a. Smart cards and smart card 'readers/writers' as follows:
a.1. A smart card or an electronically readable personal document (e.g., token coin, e-passport) that meets any of the following:
a.1.a. The cryptographic capability meets all of the following:
a.1.a.1. It is restricted for use in any of the following:
a.1.a.1.a. Equipment or systems, not described by 5A002.a.1 to a.4;
a.1.a.1.b. Equipment or systems, not using 'cryptography for data confidentiality' having a 'described security algorithm'; or
a.1.a.1.c. Equipment or systems, excluded from 5A002.a by entries b. to f. of this Note; and
a.1.a.2. It cannot be reprogrammed for any other use; or
a.1.b. Having all of the following:
a.1.b.1. It is specially designed and limited to allow protection of 'personal data' stored within;
a.1.b.2. Has been, or can only be, personalized for public or commercial transactions or individual identification; and
a.1.b.3. Where the cryptographic capability is not user-accessible;
Technical Note to paragraph a.1.b of Note 2: 'Personal data' includes any data specific to a particular person or entity, such as the amount of money stored and data necessary for “authentication.”
a.2. 'Readers/writers' specially designed or modified, and limited, for items specified by paragraph a.1 of this Note;
Technical Note to paragraph a.2 of Note 2: 'Readers/writers' include equipment that communicates with smart cards or electronically readable documents through a network.
b. Cryptographic equipment specially designed and limited for banking use or 'money transactions';
Technical Note to paragraph b. of Note 2: 'Money transactions' in 5A002 Note 2 paragraph b. includes the collection and settlement of fares or credit functions.
c. Portable or mobile radiotelephones for civil use (e.g., for use with commercial civil cellular radio communication systems) that are not capable of transmitting encrypted data directly to another radiotelephone or equipment (other than Radio Access Network (RAN) equipment), nor of passing encrypted data through RAN equipment (e.g., Radio Network Controller (RNC) or Base Station Controller (BSC));
d. Cordless telephone equipment not capable of end-to-end encryption where the maximum effective range of unboosted cordless operation (i.e., a single, unrelayed hop between terminal and home base station) is less than 400 meters according to the manufacturer's specifications;
e. Portable or mobile radiotelephones and similar client wireless devices for civil use, that implement only published or commercial cryptographic standards (except for anti-piracy functions, which may be non-published) and also meet the provisions of paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in Category 5 - Part 2), that have been customized for a specific civil industry application with features that do not affect the cryptographic functionality of these original non-customized devices;
f. Items, where the “information security” functionality is limited to wireless “personal area network” functionality, meeting all of the following:
f.1. Implement only published or commercial cryptographic standards; and
f.2. The cryptographic capability is limited to a nominal operating range not exceeding 30 meters according to the manufacturer's specifications, or not exceeding 100 meters according to the manufacturer's specifications for equipment that cannot interconnect with more than seven devices;
g. Mobile telecommunications Radio Access Network (RAN) equipment designed for civil use, which also meet the provisions of paragraphs a.2 to a.4 of the Cryptography Note (Note 3 in Category 5 - Part 2), having an RF output power limited to 0.1W (20 dBm) or less, and supporting 16 or fewer concurrent users;
h. Routers, switches or relays, where the “information security” functionality is limited to the tasks of “Operations, Administration or Maintenance” (“OAM”) implementing only published or commercial cryptographic standards;
i. General purpose computing equipment or servers, where the “information security” functionality meets all of the following:
i.1. Uses only published or commercial cryptographic standards; and
i.2. Is any of the following:
i.2.a. Integral to a CPU that meets the provisions of Note 3 in Category 5 - Part 2;
i.2.b. Integral to an operating system that is not specified by 5D002; or
i.2.c. Limited to “OAM” of the equipment; or
j. Items specially designed for a 'connected civil industry application', meeting all of the following:
j.1. Being any of the following:
j.1.a. A network-capable endpoint device meeting any of the following:
j.1.a.1. The “information security” functionality is limited to securing 'non-arbitrary data' or the tasks of “Operations, Administration or Maintenance” (“OAM”); or
j.1.a.2. The device is limited to a specific 'connected civil industry application'; or
j.1.b. Networking equipment meeting all of the following:
j.1.b.1. Being specially designed to communicate with the devices specified by paragraph j.1.a above; and
j.1.b.2. The “information security” functionality is limited to supporting the 'connected civil industry application' of devices specified by paragraph j.1.a above, or the tasks of “OAM” of this networking equipment or of other items specified by paragraph j. of this Note; and
j.2. Where the “information security” functionality implements only published or commercial cryptographic standards, and the cryptographic functionality cannot easily be changed by the user.
Technical Notes:
1. 'Connected civil industry application' means a network-connected consumer or civil industry application other than “information security”, digital communication, general purpose networking or computing.
2. 'Non-arbitrary data' means sensor or metering data directly related to the stability, performance or physical measurement of a system (e.g., temperature, pressure, flow rate, mass, volume, voltage, physical location, etc.), that cannot be changed by the user of the device.
b. Being a 'cryptographic activation token';
Technical Note: A 'cryptographic activation token' is an item designed or modified for any of the following:
1. Converting, by means of “cryptographic activation”, an item not specified by Category 5 - Part 2 into an item specified by 5A002.a or 5D002.c.1, and not released by the Cryptography Note (Note 3 in Category 5 - Part 2); or
2. Enabling, by means of “cryptographic activation”, additional functionality specified by 5A002.a of an item already specified by Category 5 - Part 2;
c. Designed or modified to use or perform “quantum cryptography;”
Technical Note: “Quantum cryptography” is also known as Quantum Key Distribution (QKD).
d. Designed or modified to use cryptographic techniques to generate channelizing codes, scrambling codes or network identification codes, for systems using ultra-wideband modulation techniques and having any of the following:
d.1. A bandwidth exceeding 500 MHz; or
d.2. A “fractional bandwidth” of 20% or more;
e. Designed or modified to use cryptographic techniques to generate the spreading code for “spread spectrum” systems, not specified by 5A002.d, including the hopping code for “frequency hopping” systems.
5A992 Equipment not controlled by 5A002 (see List of Items Controlled). License Requirements| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
List Based License Exceptions (See Part 740 for a description of all license exceptions) LVS: N/A GBS: N/A List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: a. to b. [Reserved]c. Commodities classified as mass market encryption commodities in accordance with § 740.17(b) of the EAR.
II. NON-CRYPTOGRAPHIC “INFORMATION SECURITY” 5A003 “Systems,” “equipment” and “components,” for non-cryptographic “information security,” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country chart (see supp. no. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
5A003.a applies only to physical layer security. For the purpose of 5A003.a, the physical layer includes Layer 1 of the Reference Model of Open Systems Interconnection (OSI) (ISO/IEC 7498-1).
b. “Specially designed” or modified to reduce the compromising emanations of information-bearing signals beyond what is necessary for health, safety or electromagnetic interference standards.
III. DEFEATING, WEAKENING, OR BYPASSING “INFORMATION SECURITY” 5A004 “Systems,” “equipment” and “components” for defeating, weakening or bypassing “information security,” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT, EI| Control(s) | Country chart (see Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| AT applies to entire entry | AT Column 1. |
| EI applies to entire entry | Refer to § 742.15 of the EAR. |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: Yes: $500 for “components.” N/A for systems and equipment. GBS: N/A ENC: Yes for certain EI controlled commodities. See § 740.17 of the EAR for eligibility. List of Items Controlled Related Controls: ECCN 5A004.a controls “components” providing the means or functions necessary for “information security.” All such “components” are presumptively “specially designed” and controlled by 5A004.a. Related Definitions: N/A Items:a. Designed or modified to perform 'cryptanalytic functions.'
Note:5A004.a includes systems or equipment, designed or modified to perform 'cryptanalytic functions' by means of reverse engineering.
Technical Note:'Cryptanalytic functions' are functions designed to defeat cryptographic mechanisms in order to derive confidential variables or sensitive data, including clear text, passwords or cryptographic keys.
b. Items, not specified by 5A004.a, designed to perform all of the following:
b.1. 'Extract raw data' from a computing or communications device; and
b.2. Circumvent “authentication” or authorisation controls of the device, in order to perform the function described in 5A004.b.1.
Technical Note:'Extract raw data' from a computing or communications device means to retrieve binary data from a storage medium, e.g., RAM, flash or hard disk, of the device without interpretation by the device's operating system or filesystem.
Note 1:5A004.b does not apply to systems or equipment specially designed for the “development” or “production” of a computing or communications device.
Note 2:5A004.b does not include:
a. Debuggers, hypervisors;
b. Items limited to logical data extraction;
c. Data extraction items using chip-off or JTAG; or
d. Items specially designed and limited to jail-breaking or rooting.
B. Test, Inspection and “Production Equipment” 5B002 “Information Security” test, inspection and “production” equipment, as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1 |
| AT applies to entire entry | AT Column 1 |
b. Measuring equipment “specially designed” to evaluate and validate the “information security” functions of equipment controlled by 5A002, 5A003 or 5A004, or of “software” controlled by 5D002.a or 5D002.c.
C. “Materials” [Reserved] D. “Software” 5D002 “Software” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT, EI| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| AT applies to entire entry | AT Column 1. |
| EI applies to “software” in 5D002.a.1, a.3, .b, c.1 and c.3, for commodities or “software” controlled for EI reasons in ECCN 5A002, 5A004 or 5D002 | Refer to § 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 export licensing purposes, encryption software is treated under the EAR in the same manner as a commodity included in ECCN 5A002. |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: N/A ENC: Yes for certain EI controlled software. See § 740.17 of the EAR for eligibility. List of Items Controlled Related Controls: After classification or self-classification in accordance with § 740.17(b) of the EAR, mass market encryption software that meets eligibility requirements is released from “EI” and “NS” controls. This software is designated as 5D992.c. Related Definitions: 5D002.a controls “software” designed or modified to use “cryptography” employing digital or analog techniques to ensure “information security.” Items:a. “Software” “specially designed” or modified for the “development,” “production” or “use” of any of the following:
a.1. Equipment specified by 5A002 or “software” specified by 5D002.c.1;
a.2. Equipment specified by 5A003 or “software” specified by 5D002.c.2; or
a.3. Equipment or “software”, as follows:
a.3.a. Equipment specified by 5A004.a or “software” specified by 5D002.c.3.a;
a.3.b. Equipment specified by 5A004.b or “software” specified by 5D002.c.3.b;
b. “Software” having the characteristics of a 'cryptographic activation token' specified by 5A002.b;
c. “Software” having the characteristics of, or performing or simulating the functions of, any of the following:
c.1. Equipment specified by 5A002.a, .c, .d or .e;
Note:5D002.c.1 does not apply to “software” limited to the tasks of “OAM” implementing only published or commercial cryptographic standards.
c.2. Equipment specified by 5A003; or
c.3. Equipment, as follows:
c.3.a. Equipment specified by 5A004.a;
c.3.b. Equipment specified by 5A004.b.
Note:5D002.c.3.b does not apply to “intrusion software”.
d. [Reserved]
N.B.:See 5D002.b for items formerly specified in 5D002.d.
5D992 “Information Security” “software” not controlled by 5D002 as follows (see List of Items Controlled). License Requirements| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: N/A List of Items Controlled Related Controls: This entry does not control “software” designed or modified to protect against malicious computer damage, e.g., viruses, where the use of “cryptography” is limited to authentication, digital signature and/or the decryption of data or files. Related Definitions: N/A Items: a. [Reserved]b. [Reserved]
c. “Software” classified as mass market encryption software in accordance with § 740.17(b) of the EAR.
E. “Technology” 5E002 “Technology” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT, EI| Control(s) | Country chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 1. |
| AT applies to entire entry | AT Column 1. |
| EI applies to “technology” in 5E002.a for commodities or “software” controlled for EI reasons in ECCNs 5A002, 5A004 or 5D002, and to “technology” in 5E002.b | Refer to § 742.15 of the EAR. |
(1) See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
(2) When a person performs or provides technical assistance that incorporates, or otherwise draws upon, “technology” that was either obtained in the United States or is of U.S.-origin, then a release of the “technology” takes place. Such technical assistance, when rendered with the intent to aid in the “development” or “production” of encryption commodities or software that would be controlled for “EI” reasons under ECCN 5A002, 5A004 or 5D002, may require authorization under the EAR even if the underlying encryption algorithm to be implemented is from the public domain or is not of U.S.-origin.
List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: N/A ENC: Yes for certain EI controlled technology. See § 740.17 of the EAR for eligibility. List of Items Controlled Related Controls: See also 5E992. This entry does not control “technology” “required” for the “use” of equipment excluded from control under the Related Controls paragraph or the Technical Notes in ECCN 5A002 or “technology” related to equipment excluded from control under ECCN 5A002. Related Definitions: N/A Items:a. “Technology” according to the General Technology Note for the “development,” “production” or “use” of equipment controlled by 5A002, 5A003, 5A004 or 5B002, or of “software” controlled by 5D002.a or 5D002.c.
Note:5E002.a does not apply to “technology” for items specified by 5A004.b, 5D002.a.3.b or 5D002.c.3.b.
b. “Technology” having the characteristics of a 'cryptographic activation token' specified by 5A002.b.
Note:5E002 includes “information security” technical data resulting from procedures carried out to evaluate or determine the implementation of functions, features or techniques specified in Category 5-Part 2.
5E992 “Information Security” “technology” according to the General Technology Note, not controlled by 5E002, as follows (see List of Items Controlled). License Requirements| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| AT applies to entire entry | AT Column 1. |
See § 744.17 of the EAR for additional license requirements for microprocessors having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more, including those incorporating “information security” functionality, and associated “software” and “technology” for the “production” or “development” of such microprocessors.
List Based License Exceptions (See Part 740 for a description of all license exceptions) TSR: N/A List of Items Controlled Related Controls: N/A Related Definitions: N/A Items: a. [Reserved]b. “Technology”, n.e.s., for the “use” of mass market commodities controlled by 5A992.c or mass market “software” controlled by 5D992.c.
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. “End Items”, “Equipment”, “Accessories”, “Attachments”, “Parts”, “Components” and “Systems” 6A001 Acoustic systems, equipment and “components,” as follows (see List of Items Controlled). License Requirements Reason for Control: NS, AT| Control(s) | Country Chart (See Supp. No. 1 to part 738) |
|---|---|
| NS applies to entire entry | NS Column 2 |
| AT applies to entire entry | AT Column 1 |
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions, and Validated End-User authorizations.
List Based License Exceptions (See Part 740 for a Description of All License Exceptions) LVS: $3000; N/A for 6A001.a.1.b.1 object detection and location systems having a transmitting frequency below 5 kHz or a sound pressure level exceeding 210 dB (reference 1 µPa at 1 m) for equipment with an operating frequency in the band from 2 kHz to 30 kHz inclusive; 6A001.a.1.e, 6A001.a.2.a.1, a.2.a.2, 6A001.a.2.a.3, a.2.a.5, a.2.a.6, 6A001.a.2.b; processing equipment controlled by 6A001.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 6A001.a.2.f and having processing equipment “specially designed” for real-time application with bottom or bay cable systems. GBS: Yes for 6A001.a.1.b.4. Special Conditions for STA STA: License Exception STA may not be used to ship commodities in 6A001.a.1.b, 6A001.a.1.e or 6A001.a.2 (except .a.2.a.4) to any of the destinations listed in Country Group A:6 (See Supplement No.1 to part 740 of the EAR). List of Items Controlled 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 equipment as follows:
a. Depth sounders operating vertically below the apparatus, not including a scanning function exceeding ± 20°, 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. Acoustic seabed survey equipment as follows:
a.1.a.1. Surface vessel survey equipment designed for sea bed topographic mapping and having all of the following:
a.1.a.1.a. Designed to take measurements at an angle exceeding 20° from the vertical;
a.1.a.1.b. Designed to measure seabed topography at seabed depths exceeding 600 m;
a.1.a.1.c.'Sounding resolution' less than 2; and
a.1.a.1.d. 'Enhancement' of the depth “accuracy” through compensation for all the following:
a.1.a.1.d.1. Motion of the acoustic sensor;
a.1.a.1.d.2. In-water propagation from sensor to the seabed and back; and
a.1.a.1.d.3. Sound speed at the sensor;
Technical Notes:1. 'Sounding resolution' is the swath width (degrees) divided by the maximum number of soundings per swath.
2. 'Enhancement' includes the ability to compensate by external means.
a.1.a.2. Underwater survey equipment designed for seabed topographic mapping and having any of the following:
Technical Note:The acoustic sensor pressure rating determines the depth rating of the equipment specified by 6A001.a.1.a.2.
a.1.a.2.a. Having all of the following:
a.1.a.2.a.1. Designed or modified to operate at depths exceeding 300 m; and
a.1.a.2.a.2. 'Sounding rate' greater than 3,800 m/s; or
Technical Note:'Sounding rate' is the product of the maximum speed (m/s) at which the sensor can operate and the maximum number of soundings per swath assuming 100% coverage. For systems that produce soundings in two directions (3D sonars), the maximum of the 'sounding rate' in either direction should be used.
a.1.a.2.b. Survey equipment, not specified by 6A001.a.1.a.2.a, having all of the following:
a.1.a.2.b.1. Designed or modified to operate at depths exceeding 100 m;
a.1.a.2.b.2. Designed to take measurements at an angle exceeding 20º from the vertical;
a.1.a.2.b.3. Having any of the following:
a.1.a.2.b.3.a. Operating frequency below 350 kHz; or
a.1.a.2.b.3.b. Designed to measure seabed topography at a range exceeding 200 m from the acoustic sensor; and
a.1.a.2.b.4. 'Enhancement' of the depth “accuracy” through compensation of all of the following:
a.1.a.2.b.4.a. Motion of the acoustic sensor;
a.1.a.2.b.4.b. In-water propagation from sensor to the seabed and back; and
a.1.a.2.b.4.c. Sound speed at the sensor.
a.1.a.3. Side Scan Sonar (SSS) or Synthetic Aperture Sonar (SAS), designed for seabed imaging and having all of the following, and “specially designed” transmitting and receiving acoustic arrays therefor:
a.1.a.3.a. Designed or modified to operate at depths exceeding 500 m; and
a.1.a.3.b. An 'area coverage rate' of greater than 570 m 2/s while operating at the maximum range that it can operate with an 'along track resolution' of less than 15 cm; and
a.1.a.3.c. An 'across track resolution' of less than 15 cm;
Technical Notes:1. 'Area coverage rate' (m 2/s) is twice the product of the sonar range (m) and the maximum speed (m/s) at which the sensor can operate at that range.
2. 'Along track resolution' (cm), for SSS only, is the product of azimuth (horizontal) beamwidth (degrees) and sonar range (m) and 0.873.
3. 'Across track resolution' (cm) is 75 divided by the signal bandwidth (kHz).
a.1.b Systems or transmitting and receiving arrays, designed for object detection or location, having any of the following:
a.1.b.1. A transmitting frequency below 10 kHz;
a.1.b.2. Sound pressure level exceeding 224dB (reference 1 µPa 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 µPa 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° 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 and 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.
3. Piezoelectric elements specified in 6A001.a.1.c include those made from lead-magnesium-niobate/lead-titanate (Pb(Mg1/3Nb2/3O3−PbTiO3, or PMN-PT) single crystals grown from solid solution or lead-indium-niobate/lead-magnesium niobate/lead-titanate (Pb(In1/2Nb1/2)O3-Pb(Mg1/3Nb2/3)O3-PbTiO3, or PIN-PMN-PT) single crystals grown from solid solution.
a.1.c.1. Operating at frequencies below 10 kHz and having any of the following:
a.1.c.1.a. Not designed for continuous operation at 100% duty cycle and having a radiated 'free-field Source Level (SLRMS)' exceeding (10log(f) + 169.77)dB (reference 1 µPa at 1 m) where f is the frequency in Hertz of maximum Transmitting Voltage Response (TVR) below 10 kHz; or
a.1.c.1.b. Designed for continuous operation at 100% duty cycle and having a continuously radiated 'free-field Source Level (SLRMS)' at 100% duty cycle exceeding (10log(f) + 159.77)dB (reference 1 µPa at 1 m) where f is the frequency in Hertz of maximum Transmitting Voltage Response (TVR) below 10 kHz; or
Technical Note:The 'free-field Source Level (SLRMS)' is defined along the maximum response axis and in the far field of the acoustic projector. It can be obtained from the Transmitting Voltage Response using the following equation: SLRMS = (TVR + 20log VRMS) dB (ref 1µPa at 1 m), where SLRMS is the source level, TVR is the Transmitting Voltage Response and VRMS is the Driving Voltage of the Projector.
a.1.c.2. [Reserved]
N.B.See 6A001.a.1.c.1 for items previously specified in 6A001.a.1.c.2.
a.1.c.3. Side-lobe suppression exceeding 22 dB;
a.1.d. Acoustic systems and equipment, designed to determine the position of surface vessels or underwater vehicles and having all of the following, and “specially designed” “components” therefor:
a.1.d.1. Detection range exceeding 1,000 m; and
a.1.d.2. Determined position error of less than 10 m rms (root mean square) when measured at a range of 1,000 m;
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.e. Active individual sonars, “specially designed” or modified to detect, locate and automatically classify swimmers or divers, having all of the following, and “specially designed” transmitting and receiving acoustic arrays therefor:
a.1.e.1. Detection range exceeding 530 m;
a.1.e.2. Determined position error of less than 15 m rms (root mean square) when measured at a range of 530 m; and
a.1.e.3. Transmitted pulse signal bandwidth exceeding 3 kHz;
N.B.:For diver detection systems “specially designed” or modified for military use, see the U.S. Munitions List in the International Traffic in Arms Regulations (ITAR) (22 CFR part 121).
Note:For 6A001.a.1.e, where multiple detection ranges are specified for various environments, the greatest detection range is used.
a.2. Passive sys