Rule2024-05267
Clarification of Controls on Radiation Hardened Integrated Circuits and Expansion of License Exception GOV
Primary source
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Published
March 13, 2024
Effective
March 13, 2024
Issuing agencies
Commerce DepartmentIndustry and Security Bureau
Abstract
The Bureau of Industry and Security (BIS) is amending the Export Administration Regulations (EAR) to clarify controls on radiation hardened integrated circuits, including controls on computer and telecommunications equipment incorporating such radiation hardened integrated circuits. This rule also addresses certain scenarios that apply to certain integrated circuits acquired, tested, or otherwise used by or for the United States Government and affirms the availability of License Exception GOV for such items when pursuant to an official written request or directive from the Department of Defense or the Department of Energy. Lastly, this rule expands the availability of License Exception GOV for microelectronics items being exported, reexported, or transferred (in-country) in furtherance of a contract between the exporter, reexporter, or transferor and a department or agency of the U.S. Government when the contract provides for the export, reexport, transfer (in-country) of the item by the exporter, reexporter, or transferor in order to remove export control obstacles for official business of the U.S. Government, including the Department of Energy and the Department of Defense.
Full Text
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<title>Federal Register, Volume 89 Issue 50 (Wednesday, March 13, 2024)</title>
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[Federal Register Volume 89, Number 50 (Wednesday, March 13, 2024)]
[Rules and Regulations]
[Pages 18353-18359]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2024-05267]
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DEPARTMENT OF COMMERCE
Bureau of Industry and Security
15 CFR Parts 740, 770, and 774
[Docket No. 240221-0054]
RIN 0694-AJ38
Clarification of Controls on Radiation Hardened Integrated
Circuits and Expansion of License Exception GOV
AGENCY: Bureau of Industry and Security, Department of Commerce.
ACTION: Interim final rule.
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SUMMARY: The Bureau of Industry and Security (BIS) is amending the
Export Administration Regulations (EAR) to clarify controls on
radiation hardened integrated circuits, including controls on computer
and telecommunications equipment incorporating such radiation hardened
integrated circuits. This rule also addresses certain scenarios that
apply to certain integrated circuits acquired, tested, or otherwise
used by or for the United States Government and affirms the
availability of License Exception GOV for such items when pursuant to
an official written request or directive from the Department of Defense
or the Department of Energy. Lastly, this rule expands the availability
of License Exception GOV for microelectronics items being exported,
reexported, or transferred (in-country) in furtherance of a contract
between the exporter, reexporter, or transferor and a department or
agency of the U.S. Government when the contract provides for the
export, reexport, transfer (in-country) of the item by the exporter,
reexporter, or transferor in order to remove export control obstacles
for official business of the U.S. Government, including the Department
of Energy and the Department of Defense.
DATES:
Effective date: This rule is effective March 13, 2024.
Comments due date: Comments must be received by BIS no later than
April 12, 2024.
ADDRESSES: Comments on this rule may be submitted to the Federal
rulemaking portal (<a href="http://www.regulations.gov">www.regulations.gov</a>). The <a href="http://regulations.gov">regulations.gov</a> ID for
this rule is: BIS-2023-0038. Please refer to RIN 0694-AJ38 in all
comments.
All filers using the portal should use the name of the person or
entity submitting the comments as the name of their files, in
accordance with the instructions below. Anyone submitting business
confidential information should clearly identify the business
confidential portion at the time of submission, file a statement
justifying nondisclosure and referring to the specific legal authority
claimed, and provide a non-confidential version of the submission.
For comments submitted electronically containing business
confidential information, the file name of the business confidential
version should begin with the characters ``BC.'' Any page containing
business confidential information must be clearly marked ``BUSINESS
CONFIDENTIAL'' on the top of that page. The corresponding non-
confidential version of those comments must be clearly marked
``PUBLIC.'' The file name of the non-confidential version should begin
with the character ``P.'' Any submissions with file names that do not
begin with either a ``BC'' or a ``P'' will be assumed to be public and
will be made publicly available through <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Commenters submitting business confidential information are encouraged
to scan a hard copy of the non-confidential version to create an image
of the file, rather than submitting a digital copy with redactions
applied, to avoid inadvertent redaction errors which could enable the
public to read business confidential information.
FOR FURTHER INFORMATION CONTACT: Brian Baker, Office of National
Security and Technology Transfer Controls, Bureau of Industry and
Security, Phone: (202) 482-9135; Email: <a href="/cdn-cgi/l/email-protection#4c0e3e252d22620e2d27293e0c2e253f6228232f622b233a"><span class="__cf_email__" data-cfemail="84c6f6ede5eaaac6e5efe1f6c4e6edf7aae0ebe7aae3ebf2">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION:
Background
Department of Defense (DOD) Leadership established the Strategic
Radiation Hardened Electronics Council (SRHEC) in September, 2018 with
the goal of to ensuring continued access to Strategic Radiation
Hardened (SRH) and Radiation Hardened (RH) electronics and the long-
term viability of the domestic infrastructure that are critical to the
Nation's security and defense. In support of that effort, the Bureau of
Industry and Security (BIS) is amending
[[Page 18354]]
the Export Administration Regulations (EAR, 15 CFR parts 730-774) to
clarify the scope of controls on radiation hardened integrated
circuits, including controls on computer and telecommunications
equipment incorporating such radiation hardened integrated circuits.
Additionally, this rule addresses certain scenarios that apply to
certain integrated circuits acquired, tested, or otherwise used by or
for the United States Government and affirms the availability of
License Exception GOV (15 CFR 740.11) for such items when exported,
reexported, or transferred (in-country) pursuant to an official written
request or directive from the Department of Defense or the Department
of Energy. This rule also expands the availability of License Exception
GOV for microelectronics items being exported, reexported, or
transferred (in-country) in furtherance of a contract between the
exporter, reexporter, and transferor and a department or agency of the
U.S. Government (USG) when the contract provides for the export,
reexport, or transfer (in-country) of the item by the exporter,
reexporter, or transferor. This change will remove the obstacle of
obtaining export authorization that currently hinders contract
performance work in producing microelectronics items subject to the EAR
by, for or at the direction of USG, where some exports, reexports or
transfers (in-country) between onshore and offshore ``development'' or
``production'' partners may transpire.
Sec. 740.11 License Exception GOV
This rule revises paragraph (b)(1) by adding the phrase ``for or at
the direction of'' and adding ``or the Department of Energy,'' to the
first sentence.
This rule also revises paragraph (b)(2)(iv) by adding ``or the
Department of Energy'' to the heading of paragraph (b)(2)(iv) and ``or
the Department of Energy'' to the same paragraph. Also, for
clarification this rule adds ``department or'' in front of ``agency of
the U.S. Government. BIS was made aware that the authorization provided
in paragraph (b)(2)(iv) (i.e., authorization to export, reexport or
transfer (in country) items subject to the EAR pursuant to an official
request or directive issued by DOD) is also needed by the Department of
Energy (DOE) in order to ensure the continued availability, access and
assurance of the strategic radiation hardened electronics that are
critical to the nation's security and defense; therefore BIS is
ensuring that authorization is available to DOE by making the revisions
described.
BIS is also adding paragraph (b)(2)(vii), to authorize the export,
reexport, or transfer (in-country) of microelectronics items in
furtherance of a contract between the exporter, reexporter, or
transferor and a department or agency of the USG, if the contract
provides for such export, reexport, or transfer (in-country) of the
microelectronics item by the exporter, reexporter, or transferor. This
ensures the continued availability, access, and assurance of the
strategic microelectronics that are critical to the nation's security
and defense.
Sec. 770.2 Item Interpretations
This rule revises Sec. 770.2 to add paragraph (o) Interpretation
15: Certain integrated circuits acquired, tested, or otherwise used by
or for the United States Government. This new paragraph provides the
public with guidance about the classification of integrated circuits
(IC) on the Commerce Control List (CCL) of supplement no. 1 to part 774
of the EAR when there is USG involvement in the fabrication of the IC,
such as testing or modification requests. BIS is also adding two
example scenarios to help the public understand the provisions of this
new paragraph.
Supplement No. 1 to Part 774--Commerce Control List
This rule revises Export Control Classification Numbers (ECCNs)
4A001, 4A101, 5A001, 6A203, and 6A999 on the CCL to add a note to the
Related Controls paragraph of each of these ECCNs to explain that the
act of incorporating a radiation hardened integrated circuit into
commodities specified under other ECCNs on the CCL or designated as
EAR99 does not, in and of itself, cause the commodity into which the
radiation hardened integrated circuit is incorporated to meet the
radiation hardened specifications of ECCNs 4A001.a.2, 4A101.b,
5A001.a.2, 6A203.d, or 6A999.b. For example, the incorporation of a
radiation hardened integrated circuit classified under ECCN 3A001.a.1
into a computer classified under ECCN 4A994 does not, in and of itself,
change the classification of the computer to ECCN 4A001.a.2.
Export Control Reform Act of 2018
On August 13, 2018, the President signed into law the John S.
McCain National Defense Authorization Act for Fiscal Year 2019, which
included the Export Control Reform Act of 2018 (ECRA) (codified, as
amended, at 50 U.S.C. 4801-4852). ECRA provides the legal basis for
BIS's principal authorities and serves as the authority under which BIS
issues this rule.
Rulemaking Requirements
1. This interim final rule has been designated a ``significant
regulatory action'' under Executive Order 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to, nor shall any person be subject to a penalty
for failure to comply with, a collection of information subject to the
requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et
seq.) (PRA), unless that collection of information displays a currently
valid Office of Management and Budget (OMB) Control Number.
This rule involves the following OMB-approved collections of
information subject to the PRA:
<bullet> 0694-0088, ``Multi-Purpose Application,'' which carries a
burden hour estimate of 29.4 minutes for a manual or electronic
submission;
<bullet> 0694-0096, ``Five Year Records Retention Period,'' which
carries a burden hour estimate of less than 1 minute;
<bullet> 0694-0122, ``Licensing Responsibilities and Enforcement;''
and
<bullet> 0607-0152, ``Automated Export System (AES) Program,''
which carries a burden hour estimate of 3 minutes per electronic
submission.
BIS expects the burden hours associated with these collections to
remain the same, because the revisions in this rule are intended to
preempt future licensing delays and volume to USG programs and their
industry/DIB contract performers, rather than address current license
application burden. Additional information regarding these collections
of information--including all background materials--can be found at
<a href="https://www.reginfo.gov/public/do/PRAMain">https://www.reginfo.gov/public/do/PRAMain</a> by using the search function
to enter either the title of the collection or the OMB Control Number.
3. This rule does not contain policies with federalism implications
as that term is defined in Executive Order 13132.
4. Pursuant to section 1762 of ECRA (50 U.S.C. 4821), this action
is exempt from the Administrative Procedure Act (APA) (5 U.S.C. 553)
requirements for notice of proposed rulemaking, opportunity for public
participation, and delay in effective date. While section 1762 of ECRA
provides sufficient authority for such an exemption, this action is
also independently exempt from these APA requirements because it
involves a military or foreign affairs function of the United States (5
U.S.C. 553(a)(1)).
5. Because a notice of proposed rulemaking and an opportunity for
public comment are not required to be
[[Page 18355]]
given for this rule by 5 U.S.C. 553, or by any other law, the
analytical requirements of the Regulatory Flexibility Act, 5 U.S.C.
601, et seq., are not applicable. Accordingly, no regulatory
flexibility analysis is required, and none has been prepared.
List of Subjects
15 CFR Part 740
Administrative practice and procedure, Exports, Reporting and
recordkeeping requirements.
15 CFR Part 770
Exports.
15 CFR Part 774
Exports, Reporting and recordkeeping requirements.
For the reasons stated in the preamble, parts 740, 770, and 774 of
the Export Administration Regulations (15 CFR parts 730 through 774)
are amended as follows:
PART 740--LICENSE EXCEPTIONS
0
1. The authority citation for part 740 continues to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 22 U.S.C. 7201 et seq.; E.O. 13026, 61 FR
58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR,
2001 Comp., p. 783.
0
2. Section 740.11 is amended by revising paragraphs (b)(1) and
(b)(2)(iv), and adding paragraph (b)(2)(vii), to read as follows:
Sec. 740.11 Governments, international organizations, international
inspections under the Chemical Weapons Convention, and the
International Space Station (GOV).
* * * * *
(b) * * *
(1) Scope. The provisions of this paragraph (b) authorize exports,
reexports, and transfers (in-country) to personnel and agencies of the
U.S. Government and certain exports by, for or at the direction of the
Department of Defense or the Department of Energy. ``Agency of the U.S.
Government'' includes all civilian and military departments, branches,
missions, government-owned corporations, and other agencies of the U.S.
Government but does not include such national agencies as the American
Red Cross or international organizations in which the United States
participates such as the Organization of American States. Therefore,
shipments may not be made to these non-governmental national or
international agencies, except as provided in paragraph (b)(2)(i) of
this section for U.S. representatives to these organizations.
* * * * *
(2) * * *
(iv) Items exported at the direction of the U.S. Department of
Defense or the Department of Energy. This paragraph authorizes items to
be exported, reexported, or transferred (in-country) pursuant to an
official written request or directive from a department or agency of
the U.S. Department of Defense or the Department of Energy.
* * * * *
(vii) This paragraph authorizes the export, reexport, or transfer
(in-country) of microelectronics items in furtherance of a contract
between the exporter, reexporter, or transferor and a department or
agency of the U.S. Government, if the contract provides for such
export, reexport, or transfer (in-country) of the microelectronics item
by the exporter, reexporter, or transferor.
PART 770--INTERPRETATIONS
0
3. The authority citation for part 770 continues to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p.
783.
0
4. Section 770.2 is amended by adding paragraph (o) to read as follows:
Sec. 770.2 Item interpretations.
* * * * *
(o) Interpretation 15: Certain integrated circuits acquired,
tested, or otherwise used by or for the United States Government--(1)
Classification of the integrated circuit (IC). Integrated circuits
(ICs), including packaged ``electronic assemblies'' of ICs described by
this section, that are manufactured using existing commercial
fabrication process technologies and which are acquired, tested, or
otherwise used by, for, or under contract with the United States
Government (USG), are not considered to be radiation hardened (e.g.,
designed to withstand a specified radiation dose or upset) or
temperature rated (e.g., rated to operate at prescribed temperatures)
as may otherwise be specified under an Export Control Classification
Number (ECCN) on the Commerce Control List (CCL) in supplement no. 1 to
part 774 of the EAR, provided all of the following apply:
(i) During ``development'', the IC is not designed, rated, or
certified (except by or for the USG) to meet the radiation or
temperature specifications of any ECCN; and
(ii) All commercial testing (including by the manufacturer during
fabrication, sort, packaging or assembly) regarding radiation or
temperature is limited to standard commercial tools and techniques, or
else by means funded or furnished by the USG for their use in the
commercial setting for these specified ICs.
(2) Activities that do not change the classification of
``software'' or ``technology'' for the commercial fabrication of ICs.
The ``development'', ``production,'' or subsequent use of the ICs
described by this section does not change the classification of any
underlying standard commercial process ``software'' or ``technology''
used to manufacture or test these ICs, provided all of the following
apply:
(i) Any utilized existing commercial ``software'' or ``technology''
specified under ECCNs 3D991, 3E991, 3E001, 9D515.d, 9D515.e, 9E515.d or
9E515.e does not meet the ``required'' standard (as defined in part 772
of the EAR) of any other ECCN on the CCL; and
Note 1 to paragraph (o)(2)(i): The use of existing commercial
``software'' or ``technology'' by or for the USG for the purposes
described in paragraph (o)(1) of this section does not, in and of
itself, establish the ``required'' standard to meet the
specifications of any ECCN on the CCL.
(ii) The functional capability of the hardware, ``software,'' or
``technology'' existing within the standard commercial fabrication
process has not been modified (e.g., by addition of special process
steps or unique interpretation of design data), except as may be
required or requested by the USG (e.g., as a stipulation of contract
performance) where all of the following apply:
(A) The modifications do not change the ECCN of any item subject to
the EAR (except to a less restrictive classification, e.g., from an
ECCN on the CCL to EAR99); and
(B) The modifications are limited to the manufacture or testing of
ICs by or for the USG as specified in paragraph (o)(1) of this section.
(3) Examples. Scenarios addressed by this section include the
following:
(i) If a commercially fabricated IC specified under ECCN 3A991 is
tested by the USG (or by a person or entity in a contractual
relationship with the USG) and meets the radiation-hardened parameters
in ECCN 3A001.a.1, the classification of the IC does not change from
ECCN 3A991 and the classifications of the underlying standard process
``technology'', ``equipment'' and ``software'' do not change from their
original ECCNs.
(ii) If a standard commercial process for fabricating ICs includes
certain ``technology'' specified under ECCN 3E001 (e.g., for ICs
specified under
[[Page 18356]]
ECCN 3A001.a.1), or ECCN 9E515 (e.g., for discrete electronic
components specified under ECCNs 9A515.d or .e) and those process
``technologies'' are used to manufacture ICs and discrete electronic
components for the U.S. Government, only the portion of the
``technology'' that is ``required'' meets the specifications under ECCN
3E001 or 9E515. Moreover, the use of these standard commercial
processes does not presumptively result in the control of the resulting
U.S. Government ICs under ECCN paragraphs 3A001.a.1 or 9A515.d or .e;
instead, the ECCNs of the U.S. Government ICs subject to the EAR would
be determined according to paragraph (o)(1) of this section.
(iii) If a standard commercial IC fabrication process at a
particular foundry is comprised of tools specified under ECCNs 3B001 or
3B991 or as EAR99, and where the ``technology'' is limited to
``technology'' specified under ECCN 3E991 or as EAR99, and that foundry
(which typically produces ICs specified under ECCN 3A991 or as EAR99)
were to deviate from its standard fabrication process (e.g., by adding
special process steps or design features) to produce a family of ICs
designed to meet or exceed the radiation hardened parameters in ECCN
paragraphs 3A001.a.1 or 9A515.d. or .e and intended for sale to U.S.
and non-U.S. commercial and government customers, then the ECCN of the
additional process ``technology'' that is ``required'' for producing
those specific radiation hardened ICs would need to be separately
evaluated and determined (e.g., under ECCNs 3E001 and 9E515, as
applicable).
PART 774--THE COMMERCE CONTROL LIST
0
5. The authority citation for part 774 continues to read as follows:
Authority: 50 U.S.C. 4801-4852; 50 U.S.C. 4601 et seq.; 50
U.S.C. 1701 et seq.; 10 U.S.C. 8720; 10 U.S.C. 8730(e); 22 U.S.C.
287c, 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; 42 U.S.C. 2139a; 15
U.S.C. 1824; 50 U.S.C. 4305; 22 U.S.C. 7201 et seq.; 22 U.S.C. 7210;
E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66
FR 44025, 3 CFR, 2001 Comp., p. 783.
0
6. Supplement no. 1 to part 774 is amended by revising ECCNs 4A001,
4A101, 5A001, 6A203, and 6A999, to read as follows:
Supplement No. 1 to Part 774--The Commerce Control List
* * * * *
4A001 Electronic computers and related equipment, having any of the
following (see List of Items Controlled), and ``electronic
assemblies'' and ``specially designed'' ``components'' therefor.
License Requirements
Reason for Control: NS, MT, AT, NP
Country chart (see Supp.
Control(s) No. 1 to part 738)
NS applies to entire entry................ NS Column 2.
MT applies to items in 4A001.a when the MT Column 1.
parameters in 4A101 are met or exceeded.
AT applies to entire entry................ AT Column 1.
NP applies, unless a License Exception is N/A.
available. See Sec. 742.3(b) of the EAR
for information on applicable licensing
review policies.
Reporting Requirements
See Sec. 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: $5000 for 4A001.a; N/A for MT.
GBS: N/A
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
4A001.a.2 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 4A101 and 4A994. Equipment designed
or rated for transient ionizing radiation is ``subject to the ITAR''
(see 22 CFR parts 120 through 130). (2) The act of incorporating a
radiation hardened integrated circuit into a computer that is
specified under ECCN 4A994 or designated as EAR99 does not, in and
of itself, cause the computer to meet the parameters of ECCN
paragraph 4A001.a.2.
Related Definitions: For the purposes of integrated circuits in
4A001.a.2, 5 x 10\3\ Gy(Si) = 5 x 10\5\ Rads (Si); 5 x 10\6\ Gy
(Si)/s = 5 x 10\8\ Rads (Si)/s.
Items:
a. ``Specially designed'' to have any of the following:
a.1. [Reserved]
a.2. Radiation hardened to exceed any of the following
specifications:
a.2.a. A total dose of 5 x 10\3\ Gy (Si);
a.2.b. A dose rate upset of 5 x 10\6\ Gy (Si)/s; or
a.2.c. Single Event Upset of 1 x 10<SUP>-</SUP>\8\ Error/bit/
day;
Note: 4A001.a.2 does not apply to computers ``specially
designed'' for ``civil aircraft'' applications.
b. [Reserved]
* * * * *
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
Country chart (see Supp.
Control(s) No. 1 to part 738)
MT applies to entire entry................ MT Column 1.
AT applies to entire entry................ AT Column 1.
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: The act of incorporating a radiation hardened
integrated circuit into a computer that is specified under ECCN
4A994 or designated as EAR99 does not, in and of itself, cause the
computer to meet the parameters of ECCN paragraph 4A101.b.
Related Definitions: N/A
Items:
a. Rated for continuous operation at temperatures from below 228
K (-45 [deg]C) to above 328 K (+55 [deg]C); or
b. Designed as ruggedized or `radiation hardened'.
Note: For the purposes of 4A101,`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 x 10\5\ rads (Si).
* * * * *
5A001 Telecommunications systems, equipment, ``components'' and
``accessories,'' as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, SL, AT
Country chart (see Supp.
Control(s) No.1 to part 738)
NS applies to 5A001.a, b.5, .e, .f.3 and NS Column 1.
.h.
NS applies to 5A001.b (except .b.5), .c, NS Column 2.
.d, .f (except f.3), .g, and .j.
[[Page 18357]]
SL applies to 5A001.f.1................... A license is required for
all destinations, as
specified in Sec. 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.
Reporting Requirements
See Sec. 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 for 5A001.a, b.5, .e, f.3 and .h; $5000 for 5A001.b.1,
.b.2, .b.3, .b.6, .d, f.2, f.4, and .g; $3000 for 5A001.c.
GBS: Yes, except 5A001.a, b.5, e, and h.
ACE: Yes for 5A001.j, except to Country Group E:1 or E:2. See Sec.
740.22 of the EAR for eligibility criteria.
Special Conditions for STA
STA: License Exception STA may not be used to ship any commodity in
5A001.j to any of the destinations listed in Country Group A:5 or
A:6 (See Supplement No. 1 to part 740 of the EAR), or any commodity
in 5A001.b.3, .b.5 or .h 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 USML Category XI for controls on
direction-finding ``equipment'' including types of ``equipment'' in
ECCN 5A001.e and any other military or intelligence electronic
``equipment'' that is ``subject to the ITAR.'' (2) See USML Category
XI(a)(4)(iii) for controls on electronic attack and jamming
``equipment'' defined in 5A001.f and .h that are subject to the
ITAR. (3) The act of incorporating a radiation hardened integrated
circuit into telecommunications equipment that is specified under
ECCN 5A991 or designated as EAR99 does not, in and of itself, cause
the telecommunications equipment to meet the specifications of ECCN
paragraph 5A001.a.2. (4) See also ECCNs 5A101, 5A980, and 5A991.
a. Any type of telecommunications equipment having any of the
following characteristics, functions or features:
a.1. ``Specially designed'' to withstand transitory electronic
effects or electromagnetic pulse effects, both arising from a
nuclear explosion;
a.2. Specially hardened to withstand gamma, neutron or ion
radiation;
a.3. ``Specially designed'' to operate below 218 K (-55 [deg]C);
or
a.4. ``Specially designed'' to operate above 397 K (124 [deg]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: For the purposes of 5A001.b.5.b, `channel
switching time' means the time (i.e., delay) to change from one
receiving frequency to another, to arrive at or within <plus-
minus<ls-thn-eq>0.05% of the final specified receiving frequency.
Items having a specified frequency range of less than <plus-
minus<ls-thn-eq>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 purposes 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 x 10\9\ N/m\2\ or more;
N.B.: For underwater umbilical cables, see 8A002.a.3.
Technical Note: For the purposes of 5A001.c, `proof test' is the
on-line or off-line production screen testing that dynamically
applies a prescribed tensile stress over a 0.5 to 3 m length of
fiber at a running rate of 2 to 5 m/s while passing between capstans
approximately 150 mm in diameter. The ambient temperature is a
nominal 293 K (20 [deg]C) and relative humidity 40%. 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
[[Page 18358]]
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 120-130). For items specified by 5A001.f.1
(including as previously specified by 5A001.i), see also 5A980 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: For the purposes of 5A001.g, 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 120-130).
i. [Reserved]
N.B.: See 5A001.f.1 for items previously specified by 5A001.i.
j. IP network communications surveillance systems or equipment,
and ``specially designed'' components therefor, having all of the
following:
j.1. Performing all of the following on a carrier class IP
network (e.g., national grade IP backbone):
j.1.a. Analysis at the application layer (e.g., Layer 7 of Open
Systems Interconnection (OSI) model (ISO/IEC 7498-1));
j.1.b. Extraction of selected metadata and application content
(e.g., voice, video, messages, attachments); and
j.1.c. Indexing of extracted data; and
j.2. Being ``specially designed'' to carry out all of the
following:
j.2.a. Execution of searches on the basis of ``hard selectors'';
and
j.2.b. Mapping of the relational network of an individual or of
a group of people.
Note: 5A001.j does not apply to ``systems'' or ``equipment'',
``specially designed'' for any of the following:
a. Marketing purpose;
b. Network Quality of Service (QoS); or
c. Quality of Experience (QoE).
N.B.: See also the International Traffic in Arms Regulations
(ITAR) (22 CFR parts 120-130). Defense articles described in USML
Category XI(b) are ``subject to the ITAR.''
* * * * *
6A203 High-speed cameras, imaging devices and ``components''
therefor, other than those controlled by 6A003 (see List of Items
Controlled).
License Requirements
Reason for Control: NP, AT
Country chart (see Supp.
Control(s) No. 1 to part 738)
NP applies to entire entry................ NP Column 1.
AT applies to entire entry................ AT Column 1.
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 ECCNs 6E001 (``development''), 6E002
(``production''), and 6E201 (``use'') for technology for items
controlled under this entry. (2) Also see ECCN 6A003.a.3 and a.4.
(3) The act of incorporating a radiation hardened integrated circuit
into a TV camera designated as EAR99 does not, in and of itself,
cause the TV camera to meet the parameters of ECCN paragraph
6A203.d.
Related Definitions: N/A
Items:
a. Streak cameras and ``specially designed'' components
therefor, as follows:
a.1. Streak cameras with writing speeds greater than 0.5 mm/
[micro]s;
a.2. Electronic streak cameras capable of 50 ns or less time
resolution;
a.3. Streak tubes for cameras described in 6A203.a.2;
a.4. Plug-ins, ``specially designed'' for use with streak
cameras having modular structures, that enable the performance
characteristics described in 6A203.a.1 or .a.2;
a.5. Synchronizing electronics units, and rotor assemblies
consisting of turbines, mirrors and bearings, that are ``specially
designed'' for cameras described in 6A203.a.1.
b. Framing cameras and ``specially designed'' components
therefor, as follows:
b.1. Framing cameras with recording rates greater than 225,000
frames per second;
b.2. Framing cameras capable of 50 ns or less frame exposure
time;
b.3. Framing tubes, and solid-state imaging devices, that have a
fast image gating (shutter) time of 50 ns or less and are
``specially designed'' for cameras described in 6A203.b.1 or .b.2;
b.4. Plug-ins, ``specially designed'' for use with framing
cameras having modular structures, that enable the performance
characteristics described in 6A203.b.1 or .b.2;
b.5. Synchronizing electronic units, and rotor assemblies
consisting of turbines, mirrors and bearings, that are ``specially
designed'' for cameras described in 6A203.b.1 or .b.2.
c. Solid-state or electron tube cameras and ``specially
designed'' components therefor, as follows:
c.1. Solid-state cameras, or electron tube cameras, with a fast
image gating (shutter) time of 50 ns or less;
c.2. Solid-state imaging devices, and image intensifiers tubes,
that have a fast image gating (shutter) time of 50 ns or less and
are ``specially designed'' for cameras described in 6A203.c.1;
[[Page 18359]]
c.3. Electro-optical shuttering devices (Kerr or Pockels cells)
with a fast image gating (shutter) time of 50 ns or less;
c.4. Plug-ins, ``specially designed'' for use with cameras
having modular structures, that enable the performance
characteristics described in 6A203.c.1.
Technical Note: High speed single frame cameras can be used
alone to produce a single image of a dynamic event, or several such
cameras can be combined in a sequentially-triggered system to
produce multiple images of an event.
d. Radiation-hardened TV cameras, or lenses therefor,
``specially designed'' or rated as radiation hardened to withstand a
total radiation dose greater than 5 x 10 \4\ Gy (silicon) without
operational degradation.
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.
* * * * *
6A999 Specific processing equipment, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: RS AT
Country chart (see Supp. No.
Control(s) 1 to part 738)
RS applies to 6A999.c..................... RS Column 2.
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 Sec.
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) The act of incorporating a radiation hardened
integrated circuit into a TV camera designated as EAR99 does not, in
and of itself, cause the TV camera to meet the specifications of
ECCN paragraph 6A999.b. (2) See also 6A203.
Related Definitions: N/A
Items:
a. Seismic detection equipment not controlled in paragraph c.
b. Radiation hardened TV cameras, n.e.s.
c. Seismic intrusion detection systems that detect, classify and
determine the bearing on the source of a detected signal.
* * * * *
Thea D. Rozman Kendler,
Assistant Secretary for Export Administration.
[FR Doc. 2024-05267 Filed 3-12-24; 8:45 am]
BILLING CODE 3510-33-P
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</html>Indexed from Federal Register on March 13, 2024.
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