Bureau of Industry and Security, Commerce.
Final rule.
The Bureau of Industry and Security (BIS) maintains, as part of its Export Administration Regulations (EAR), the Commerce Control List (CCL), which identifies certain items subject to Department of Commerce jurisdiction. This final rule revises the CCL, as well as corresponding parts of the EAR, to implement certain changes made to the Wassenaar Arrangement List of Dual-Use Goods and Technologies (WA List) maintained and agreed to by governments participating in the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies (Wassenaar Arrangement, or WA) at the December 2019 WA Plenary meeting. The Wassenaar Arrangement advocates implementation of effective export controls on strategic items with the objective of improving regional and international security and stability. This final rule implements multilateral controls on six recently developed or developing technologies, which were identified by the WA December 2019 WA Plenary Meeting in a manner contemplated by the Export Control Reform Act of 2018 (ECRA) to identify emerging technologies that are essential to U.S. national security. This rule harmonizes the CCL with the WA December 2019 Plenary Meeting agreements that pertain to these six technologies. The inclusion of the six technologies in this final rule is consistent with the requirements of ECRA and the decision of the WA to add such technologies to its control lists, thereby making exports of such technologies subject to multilateral control. As these six technologies are recently developed or developing technologies that are essential to the national security of the United States, early implementation of the applicable WA December 2019 Plenary agreements is warranted. The remaining WA 2019 Plenary agreements will be implemented in a separate rule.
This rule is effective October 5, 2020.
For general questions, contact Sharron Cook, Office of Exporter Services, Bureau of Industry and Security, U.S. Department of Commerce at 202–482–2440 or by email:
The Wassenaar Arrangement (Wassenaar or WA) (
To implement the WA control list changes, this rule adds to the EAR's CCL the following six recently developed or developing technologies that are essential to the national security of the United States: Hybrid additive manufacturing (AM)/computer numerically controlled (CNC) tools; computational lithography software designed for the fabrication of extreme ultraviolet (EUV) masks; technology for finishing wafers for 5nm production; digital forensics tools that circumvent authentication or authorization controls on a computer (or communications device) and extract raw data; software for monitoring and analysis of communications and metadata acquired from a telecommunications service provider via a handover interface; and sub-orbital craft.
This rule also makes a correction to one ECCN and revises three related ECCNs and one License Exception.
Note 4 is added at the beginning of the Items paragraph to advise the public that “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,” to ensure consistency in application of controls for these hybrid machine tools. Over the last several years, machine tools manufacturers have been adding more functionality by integrating multiple capabilities in their machines. Lately, manufacturers have integrated additive manufacturing and 5-axis computer numerically controlled (CNC) machines. As technology advances, future hybrid machines that also have multi-axis CNC capability will remain controlled in ECCN 2B001 even if it has the added additive manufacturing capability.
Additive Manufacturing machines classified under ECCN 2B001 require a license to countries that have an “X” under columns NS column 2, NP column 1, or AT column 1. License Exception STA, as well as any applicable transaction-based license exceptions, are available if all of the criteria for the license exception are met and none of the restrictions in § 740.2 apply.
The Heading of 3D003 is revised to update controls on emerging Electronic Design Automation (EDA) or computational lithography software developed for Extreme Ultraviolet (EUV) masks. Extreme Ultraviolet Lithography (EUVL) introduces a number of issues that must be accurately modeled and corrected on the mask or reticle to produce optimized patterns in resist. Several key issues where specific software is needed for EUVL include mask three-dimensional (3D) effects, mask-shadowing effects, direction of illumination effects, long range flare effects, proximity effects, stochastic effects in resist, and source-masks optimization. Compensation of these effects using software modeling to optimize the patterns on the EUV mask reticle is required for making optimized photoresist patterns on wafers. This software has a license requirement for national security (NS) reasons at the NS column 1 level and for anti-terrorism (AT) reasons at the AT column 1 level. License Exceptions TSR and STA, as well as any applicable transaction-based license exceptions, are available if all of the criteria for the license exception are met and none of the restrictions in § 740.2 apply.
In addition, the two paragraphs in the Related Definitions paragraph are replaced by a definition for `computational lithography.'
This rule adds ECCN 3E004 to control “technology” for the production of substrates for high-end integrated circuits. The parameters include minimization of the flatness and the
This rule makes a correction by removing 5D001.b from the Special Conditions for STA, because 5D001.b was removed from the 5D001 entry in 2014 and reserved at that time.
This rule adds Item paragraph 5D001.e to control specified surveillance “software,” other than that specified by 5D001.a or 5D001.c, “specially designed” or modified for monitoring or analysis by law enforcement, including a Technical Note that defines `handover interface' and specifies some international standards examples. This new entry controls software that is specially designed for use by law enforcement to analyze the content of communications acquired from a handover interface. Such software can be used by international actors in ways that are contrary to U.S. national security. To be controlled, the software must meet both parameters in subparagraphs 5D001.e.1 and e.2, specifically, it must provide the ability to execute 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 it must provide the ability to map the relational network or track the movement of targeted individuals based on such searches. This new entry does not control network management tools or banking software and therefore includes an exclusion note for “software” “specially designed” or modified for any of the following: Billing purposes, Network Quality of Service (QoS), Quality of Experience (QoE), mediation devices, or mobile payment or banking use. Mediation devices for lawful intercept by the communication service provider may be controlled in 5A980 or 5D980 and are not included in this entry. A definition of “hard selectors” is added to § 772.1 (Definitions) of the EAR. This software has a license requirement for NS column 1, and AT column 1. This software and its corresponding technology are added to the eligibility paragraph for License Exception TSR, limited to Country Group A:5 as specified in the TSR paragraph of the List Based License Exceptions section of ECCNs 5D001 and 5E001. This software and technology are also eligible for License Exception STA.
This rule adds 5D001.e surveillance software to 5E001.a to control “technology” according to the General Technology Note for the “development”, “production” or “use” (excluding operation) of “software” controlled by 5D001.e. This technology has a license requirement for NS column 1 and AT column 1. This technology is added to the eligibility paragraph for License Exception TSR, as specified in the TSR paragraph of the List Based License Exceptions section of ECCN 5E001. This technology is also eligible for License Exception STA.
This rule adds paragraph 5A004.b to control digital forensics or investigative tools. This new entry controls items that circumvent authentication or authorization mechanisms and extract raw data from a computer or communications device. Although once used primarily by law enforcement, these items are increasingly being used by the military to extract time-critical information from devices found on the battlefield. The purpose of the text is to control items that can quickly analyze a device and recover protected information,
5A004.b requires a license to countries that have an “X” under columns NS column 1 or AT column 1. An encryption item (EI) license requirement also applies. See § 742.15 of the EAR. License Exception LVS and ENC are available as specified in the List Based License Exceptions of 5A004 and the applicable license exception criteria in part 740 so long as none of the restrictions set forth in § 740.2 apply.
This rule also makes changes to License Exception ENC consistent with the addition of 5A004.b. The first sentence in the introductory paragraph to § 740.17 is revised by adding “and digital forensics items (investigative tools)” to the list of items authorized by License Exception ENC. Paragraphs 1 and 3 of the Note to paragraph (b)(2) introductory text are amended by adding “classified in ECCN 5A004.a, 5D002.a.3.a or c.3.a, or 5E002” to clarify what is meant by “cryptanalytic items.” Paragraph (b)(2)(ii) is changed by replacing the reference to “5A004 or 5D002” with a reference to “5A004.a, 5D002.a.3.a or 5D002.c.3.a” where the paragraph mentions “cryptanalytic items.” Paragraph (b)(3)(iii)(B) is revised by removing “including network or computer forensics” from the title and replacing it with “and investigative tools”; and revising the text of the paragraph to point to ECCN 5A004.b for specific characteristics of digital forensics items (investigative tools) subject to the thirty-day (30-day) classification request requirement.
This rule amends 5D002 by revising Item paragraphs 5D002.a.3 and c.3, which are the associated software controls for 5A004 items, to add software controls for 5A004.b digital forensics or investigative tools. This rule also adds an exclusion note to 5D002.c.3.b to exclude “intrusion software.” This rule adds to § 772.1 the definition of “intrusion software” from the agreements reached at the 2013 WA
This rule adds an exclusion note to Item paragraph 5E002.a to exclude “technology” for items specified by 5A004.b, 5D002.a.3.b or 5D002.c.3.b. The techniques that are used to circumvent authentication and authorization and extract raw data are well known and therefore do not warrant additional controls. In addition, information on these techniques is often exchanged as part of cyber incident response and vulnerability analysis activities and therefore controlling such information could adversely impact those activities.
This rule adds “sub-orbital craft” to Item paragraph 9A004.h and the definition for “sub-orbital craft” to § 772.1 of the EAR. A sub-orbital craft is designed to operate above the stratosphere and land on Earth without completing an orbit. Therefore, it does not meet the definition of “spacecraft”, which is limited to satellites and space probes. Certain types of sub-orbital craft could already be considered to be controlled under 9A004 as space launch vehicles. However, an overall space launch system may consist of several stages, one of which may be a re-usable spaceplane. This item would generally not be considered a space launch vehicle. While this rule adds 9A004.h for consistency with the Wassenaar List of Dual-Use Goods, the “sub-orbital craft” described by 9A004.h falls within the scope of 9A515.a and is controlled by that entry if subject to the EAR. It should be noted that ITAR Category XV(a)(11) captures certain sub-orbital craft.
“Sub-orbital craft” warrant the same STA eligibility as “spacecraft” described in 9A515.a.1, a.2, a.3 and a.4. Therefore, this rule revises the Special Conditions for STA by adding “sub-orbital craft” to paragraph (1). This means that STA may not be used for “sub-orbital craft” unless determined by BIS to be eligible for License Exception STA in accordance with § 740.20(g) (License Exception STA eligibility requests for certain 9x515 and “600 series” items). Paragraph (c)(2) of License Exception STA (§ 740.20(c)(2) of the EAR) may not be used for any item in 9A515. Note that 9A515 is eligible for License Exception Limited Value Shipment (LVS) at $1500.
This rule also amends paragraph 9A515.a to add “sub-orbital craft,” because BIS lists “spacecraft” and related commodities in 9A515 of the CCL to more easily implement appropriate license requirements and exceptions. “Sub-orbital craft” under ECCN 9A515.a require a license to countries that have an “X” under columns NS column 1, RS column 1, or AT column 1, which means a license is required for all destinations other than Canada.
For added clarity, this rule adds “sub-orbital craft” to the Note to 9A515.a, which explains what is included in 9A515.a.
This rule amends paragraph (g) “License Exception STA eligibility requests for 9x515 and “600 series” items”. This revision will clarify that “sub-orbital craft”, “spacecraft” described in ECCNs 9A515.a.1, .a.2, .a.3, .a.4, and remote sensing components “specially designed” for these “spacecraft” described in 9A515.g, require prior approval before using License Exception STA.
This rule enumerates each sentence in the Related Controls paragraph and adds a third sentence that explains that in classifying “UAVs” that are “sub-orbital craft” exporters should look at 9A004.h and 9A515.a.
On August 13, 2018, the President signed into law the John S. McCain National Defense Authorization Act for Fiscal Year 2019, which includes the Export Control Reform Act of 2018 (ECRA), 50 U.S.C. Sections 4801–4852. ECRA provides the legal basis for BIS's principal authorities and serves as the authority under which BIS issues this rule.
Shipments of items removed from license exception eligibility or eligibility for export, reexport or transfer (in-country) without a license as a result of this regulatory action that were on dock for loading, on lighter, laden aboard an exporting carrier, or en route aboard a carrier to a port of export, on October 5, 2020, pursuant to actual orders for exports, reexports and transfers (in-country) to a foreign destination, may proceed to that destination under the previous license exception eligibility or without a license so long as they have been exported, reexported or transferred (in-country) before December 4, 2020. Any such items not actually exported, reexported or transferred (in-country) before midnight, local time, on December 4, 2020, require a license in accordance with this final rule.
Executive Orders 13563 and 12866 direct agencies to assess all costs and benefits of available regulatory alternatives and, if regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety effects, distributive impacts, and equity). Executive Order 13563 emphasizes the importance of quantifying both costs and benefits, of reducing costs, of harmonizing rules, and of promoting flexibility.
This rule has been designated a “significant regulatory action” under Executive Order 12866. The Wassenaar Arrangement (WA) was established in order to contribute to regional and international security and stability by promoting transparency and greater responsibility in transfers of conventional arms and dual-use goods and technologies, thus preventing destabilizing accumulations. The goal was also to prevent the acquisition of such items by terrorists. There are presently 42 Participating States, including the United States, which seek through their national policies to ensure that transfers of these items do not contribute to the development or enhancement of military capabilities that undermine these goals, and to ensure that these items are not diverted to support such military capabilities. Implementation of the WA Plenary agreements in a timely manner enhances the national security of the United States and global international trade.
This rule does not contain policies with Federalism implications as that
This rule is not subject to the requirements of E.O. 13771 (82 FR 9339, February 3, 2017) because it is issued with respect to a national security function of the United States.
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
This rule involves the following OMB-approved collections of information subject to the PRA: 0694–0088, “Multi-Purpose Application”, which carries a burden hour estimate of 29.6 minutes for a manual or electronic submission; 0694–0137 “License Exceptions and Exclusions”, which carries a burden hour estimate average of 1.5 hours per electronic submission (Note: Submissions for License Exceptions are rarely required); 0694–0096 “Five Year Records Retention Period”, which carries a burden hour estimate of less than 1 minute; and 0607–0152 “Automated Export System (AES) Program”, which carries a burden hour estimate of 3 minutes per electronic submission. Specific license application submission estimates are discussed further in the preamble of this rule where the revision is explained. BIS estimates that revisions that are editorial, including moving the location of control text on the Commerce Control List, or that clarify language, will result in no change in license application submissions.
Any comments regarding these collections of information, including suggestions for reducing the burden, may be sent to OMB Desk Officer, New Executive Office Building, Washington, DC 20503; and to Jasmeet K. Seehra, Office of Management and Budget (OMB), by email to
Pursuant to § 4821 of ECRA, this action is exempt from the Administrative Procedure Act (5 U.S.C. 553) requirements for notice of proposed rulemaking, opportunity for public participation, and delay in effective date.
Because a notice of proposed rulemaking and an opportunity for public comment are not required to be given for this rule under the Administrative Procedure Act or by any other law, the analytical requirements of the Regulatory Flexibility Act (5 U.S.C. 601
Administrative practice and procedure, Exports, Reporting and recordkeeping requirements.
Exports
Exports, Reporting and recordkeeping requirements.
Accordingly, parts 740, 772, and 774 of the Export Administration Regulations (15 CFR parts 730 through 774) are amended as follows:
50 U.S.C. 4801–4852; 50 U.S.C. 4601
The revised text is set forth below.
License Exception ENC authorizes export, reexport, and transfer (in-country) of systems, equipment, commodities, and components therefor that are classified under ECCN 5A002, 5B002, equivalent or related software and technology therefor classified under 5D002 or 5E002, and “cryptanalytic items” and digital forensics items (investigative tools) classified under ECCN 5A004, 5D002 or 5E002. * * *
(b) * * *
(2) * * *
* * *
1. All submitted encryption items described in this paragraph (b)(2), except “cryptanalytic items,” classified in ECCN 5A004.a, 5D002.a.3.a or c.3.a, or 5E002, to any end user located or headquartered in a country listed in supplement no. 3 to this part;
3. “Cryptanalytic items,” classified in ECCN 5A004.a, 5D002.a.3.a or c.3.a, or 5E002, to non-“government end users,” only, located or headquartered in a country listed in supplement no. 3 to this part; and
(ii)
(iv) * * *
(B)
(3) * * *
(iii) * * *
(B)
(g) * * * (1)
50 U.S.C. 4801–4852; 50 U.S.C. 4601
The additions read as follows:
(1) The extraction of data or information, from a computer or network-capable device, or the modification of system or user data; or
(2) The modification of the standard execution path of a program or process in order to allow the execution of externally provided instructions.
“Intrusion software” does not include any of the following: Hypervisors, debuggers or Software Reverse Engineering (SRE) tools; Digital Rights Management (DRM) “software”; or “Software” designed to be installed by manufacturers, administrators or users, for the purposes of asset tracking or recovery.
Network-capable devices include mobile devices and smart meters.
`Monitoring tools': “software” or hardware devices, that monitor system behaviors or processes running on a device. This includes antivirus (AV) products, end point security products, Personal Security Products (PSP), Intrusion Detection Systems (IDS), Intrusion Prevention Systems (IPS) or firewalls.
`Protective countermeasures': techniques designed to ensure the safe execution of code, such as Data Execution Prevention (DEP), Address Space Layout Randomization (ASLR) or sandboxing.
“
(1) Operate above the stratosphere;
(2) Perform a non-orbital trajectory;
(3) Land back on Earth with the people or cargo intact.
50 U.S.C. 4801–4852; 50 U.S.C. 4601
The revisions and additions read as follows:
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;
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;
a. Machine controller limited to using ophthalmic based “software” for part programming data input;
b. No vacuum chucking.
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;
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;
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;
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;
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;
c.1.b. Three or four axes which can be coordinated simultaneously for “contouring control”;
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;
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.
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”;
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.
The list of items controlled is contained in the ECCN heading.
The list of items controlled is contained in the ECCN heading.
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions and Validated End-User authorizations.
(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.
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;
d.2.b. Employing analog techniques and having a bandwidth exceeding 2.5 GHz;
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';
2.
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.
d. Mediation devices; or
See § 743.1 of the EAR for reporting requirements for exports under License Exceptions and Validated End-User authorizations.
(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.
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.
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;
c.2.e. Employing analog techniques and having a bandwidth exceeding 2.5 GHz;
c.3. Equipment employing “optical switching” and having a switching time less than 1 ms;
c.4. Radio equipment having any of the following:
c.4.a. Quadrature-Amplitude-Modulation (QAM) techniques above level 1,024;
c.4.b. Operating at input or output frequencies exceeding 31.8 GHz;
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;
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;
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:
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;
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
e.2. Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10,000.
a. Designed or modified to perform `cryptanalytic functions.'
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;
b.2. Circumvent “authentication” or authorisation controls of the device, in order to perform the function described in 5A004.b.1.
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;
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;
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;
c.3. Equipment, as follows:
c.3.a. Equipment specified by 5A004.a;
c.3.b. Equipment specified by 5A004.b.
5D002.c.3.b does not apply to “intrusion software”.
d. [Reserved]
See 5D002.b for items formerly specified in 5D002.d.
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.
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.
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.
9A004.b through .f, and .h are controlled under ECCN 9A515.
a. Space launch vehicles;
b. “Spacecraft”;
c. “Spacecraft buses”;
d. “Spacecraft payloads” incorporating items specified by 3A001.b.1.a.4, 3A002.g, 5A001.a.1, 5A001.b.3, 5A002.c, 5A002.e, 6A002.a.1, 6A002.a.2, 6A002.b, 6A002.d, 6A003.b, 6A004.c, 6A004.e, 6A008.d, 6A008.e, 6A008.k, 6A008.l or 9A010.c;
e. On-board systems or equipment, specially designed for “spacecraft” and having any of the following functions:
e.1. ‘Command and telemetry data handling';
For the purpose of 9A004.e.1, `command and telemetry data handling' includes bus data management, storage, and processing.
e.2. `Payload data handling';
For the purpose of 9A004.e.2, `payload data handling' includes payload data management, storage, and processing.
e.3. `Attitude and orbit control';
For the purpose of 9A004.e.3, `attitude and orbit control' includes sensing and actuation to determine and control the position and orientation of a “spacecraft”.
Equipment specially designed for military use is “subject to the ITAR”. See 22 CFR parts 120 through 130.
f. Terrestrial equipment specially designed for “spacecraft”, as follows:
f.1. Telemetry and telecommand equipment “specially designed” for any of the following data processing functions:
f.1.a. Telemetry data processing of frame synchronization and error corrections, for monitoring of operational status (also known as health and safe status) of the “spacecraft bus”;
f.1.b. Command data processing for formatting command data being sent to the “spacecraft” to control the “spacecraft bus”;
f.2. Simulators “specially designed” for `verification of operational procedures' of “spacecraft”.
For the purposes of 9A004.f.2, `verification of operational procedures' is any of the following:
1. Command sequence confirmation;
2. Operational training;
3. Operational rehearsals; or
4. Operational analysis.
g. “Aircraft” “specially designed” or modified to be air-launch platforms for space launch vehicles;
h. “Sub-orbital craft”.
i. through t. [RESERVED]
u. The James Webb Space Telescope (JWST) being developed, launched, and operated under the supervision of the U.S. National Aeronautics and Space Administration (NASA).
v. “Parts,” “components,” “accessories” and “attachments” that are “specially designed” for the James Webb Space Telescope and that are
v.1. Enumerated or controlled in the USML;
v.2. Microelectronic circuits;
v.3. Described in ECCN 7A004 or 7A104;
v.4. Described in an ECCN containing “space-qualified” as a control criterion (
w. The International Space Station being developed, launched, and operated under the supervision of the U.S. National Aeronautics and Space Administration.
x. “Parts,” “components,” “accessories” and “attachments” that are “specially designed” for the International Space Station.
y. Items that would otherwise be within the scope of ECCN 9A004.v or .x but that have been identified in an interagency-cleared commodity classification (CCATS) pursuant to § 748.3(e) as warranting control in 9A004.y.
a. “UAVs” or unmanned “airships”, designed to have controlled flight out of the direct `natural vision' of the `operator' and having any of the following:
a.1. Having all of the following:
a.1.a. A maximum `endurance' greater than or equal to 30 minutes but less than 1 hour; and
a.1.b. Designed to take-off and have stable controlled flight in wind gusts equal to or exceeding 46.3 km/h (25 knots);
a.2. A maximum `endurance' of 1 hour or greater;
b. Related equipment and “components”, as follows:
b.1 [Reserved]
b.2. [Reserved]
b.3. Equipment or “components” “specially designed” to convert a manned “aircraft” or a manned “airship” to a “UAV” or unmanned “airship”, controlled by 9A012.a;
b.4. Air breathing reciprocating or rotary internal combustion type engines, “specially designed” or modified to propel “UAVs” or unmanned “airships”, at altitudes above 15,240 meters (50,000 feet).
“Spacecraft” and other items described in ECCN 9A515 remain subject to the EAR even if exported, reexported, or transferred (in-country) with defense articles “subject to the ITAR” integrated into and included therein as integral parts of the item. In all other cases, such defense articles are subject to the ITAR. For example, a 9A515.a “spacecraft” remains “subject to the EAR” even when it is exported, reexported, or transferred (in-country) with a “hosted payload” described in USML Category XV(e)(17) incorporated therein. In all other cases, a “hosted payload” performing a function described in USML Category XV(a) always remains a USML item. The removal of the defense article subject to the ITAR from the spacecraft is a retransfer under the ITAR and would require an ITAR authorization, regardless of the CCL authorization the spacecraft is exported under. Additionally, transfer of technical data regarding the defense article subject to the ITAR integrated into the spacecraft would require an ITAR authorization.
a. “Spacecraft,” including satellites, and space vehicles and “sub-orbital craft,” whether designated developmental, experimental, research or scientific, not enumerated in USML Category XV or described in ECCN 9A004.u or .w, that:
a.1. Have electro-optical remote sensing capabilities and having a clear aperture greater than 0.35 meters, but less than or equal to 0.50 meters;
a.2. Have remote sensing capabilities beyond NIR (
a.3. Have radar remote sensing capabilities (
a.4. Provide space-based logistics, assembly, or servicing of another “spacecraft”;
a.5. Are not described in ECCN 9A515.a.1, .a.2, .a.3 or .a.4.
b. Ground control systems and training simulators “specially designed” for telemetry, tracking, and control of the “spacecraft” controlled in paragraphs 9A004.u or 9A515.a.
c. [Reserved]
d. Microelectronic circuits (
d.1. A total dose of 5 x 10
d.2. A dose rate upset threshold of 5 x 10
d.3. A neutron dose of 1 x 10
d.4. An uncorrected single event upset sensitivity of 1 x 10
d.5. An uncorrected single event upset sensitivity of 1 x 10
e. Microelectronic circuits (
e.1. A total dose ≥1 X 10
e.2. A total dose ≥5 × 10
f. Pressure suits (
g. Remote sensing components “specially designed” for “spacecraft” described in ECCNs 9A515.a.1 through 9A515.a.4 as follows:
g.1. Space-qualified optics (
g.2. Optical bench assemblies “specially designed” for ECCN 9A515.a.1, 9A515.a.2, 9A515.a.3, or 9A515.a.4 “spacecraft;”
g.3. Primary, secondary, or hosted payloads that perform a function of ECCN 9A515.a.1, 9A515.a.2, 9A515.a.3, or 9A515.a.4 “spacecraft.”
h. Spacecraft thrusters using bi-propellants or mono-propellants that provide thrust equal to or less than 150 lbf (
i. through w. [RESERVED]
x. “Parts,” “components,” “accessories” and “attachments” that are “specially designed” for defense articles controlled by USML Category XV or items controlled by 9A515, and that are NOT:
x.1. Enumerated or controlled in the USML or elsewhere within ECCNs 9A515 or 9A004;
x.2. Microelectronic circuits and discrete electronic components;
x.3. Described in ECCNs 7A004 or 7A104;
x.4. Described in an ECCN containing “space-qualified” as a control criterion (
x.5. Microwave solid state amplifiers and microwave assemblies (refer to ECCN 3A001.b.4 for controls on these items);
x.6. Travelling wave tube amplifiers (refer to ECCN 3A001.b.8 for controls on these items);
x.7. Elsewhere specified in ECCN 9A515.y.
y. Items that would otherwise be within the scope of ECCN 9A515.x but that have been identified in an interagency-cleared commodity classification (CCATS) pursuant to § 748.3(e) as warranting control in 9A515.y.
y.1. Discrete electronic components not specified in 9A515.e;
y.2. Space grade or for spacecraft applications thermistors;
y.3. Space grade or for spacecraft applications RF microwave bandpass ceramic filters (Dielectric Resonator Bandpass Filters);
y.4. Space grade or for spacecraft applications hall effect sensors;
y.5. Space grade or for spacecraft applications subminiature (SMA and SMP) plugs and connectors, TNC plugs and cable and connector assemblies with SMA plugs and connectors;
y.6. Space grade or for spacecraft applications flight cable assemblies.