15 January 1998
Source: http://www.access.gpo.gov/su_docs/aces/aces140.html
See the Wassenaar Arrangement: http://jya.com/wa/watoc.htm
See the Export Administration Regulations: http://jya.com/eartoc.htm
-----------------------------------------------------------------------
[Federal Register: January 15, 1998 (Volume 63, Number 10)]
[Rules and Regulations]
[Page 2451-2500]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15ja98-12]
[[Page 2451]]
_______________________________________________________________________
Part II
Department of Commerce
_______________________________________________________________________
Bureau of Export Administration
_______________________________________________________________________
15 CFR Parts 732, 740, 742, 743, 744, 746, 762, and 774
Implementation of the Wassenaar Arrangement List of Dual-Use Items:
Revisions to the Commerce Control List and Reporting Under the
Wassenaar Arrangement; Rule
[[Page 2452]]
DEPARTMENT OF COMMERCE
Bureau of Export Administration
15 CFR Parts 732, 740, 742, 743, 744, 746, 762, and 774
[Docket No. 971006239-7239-01]
RIN 0694-AB35
Implementation of the Wassenaar Arrangement List of Dual-Use
Items: Revisions to the Commerce Control List and Reporting Under the
Wassenaar Arrangement
AGENCY: Bureau of Export Administration, Commerce.
ACTION: Interim rule with request for comments.
-----------------------------------------------------------------------
SUMMARY: Representatives of thirty-three countries gave final approval
July 12-13, 1996 in Vienna, Austria to establish the Wassenaar
Arrangement on Export Controls for Conventional Arms and Dual-Use Goods
and Technologies. The thirty-three countries agreed to control all
items in the List of Dual-Use Goods and Technologies with the objective
of preventing unauthorized transfers. They further agreed on a target
date of November 1, 1996, for implementation of the Wassenaar Lists.
The purpose of this interim rule is to make the changes to the
Commerce Control List necessary to implement the Wassenaar List. In
addition, this interim rule imposes new reporting requirements on
persons that export certain items controlled under the Wassenaar
Arrangement to non-member countries in order to fulfill the information
exchange requirements of the Wassenaar Arrangement. The Department of
Commerce, with other concerned agencies, is reviewing the Export
Administration Regulations to determine whether further changes will be
required to implement the information sharing provisions of the
Wassenaar Arrangement and to make the necessary adjustments to existing
country groups.
This rule also revises part 740 of the EAR by removing License
Exception availability for certain items controlled for missile
technology reasons.
Although the Export Administration Act (EAA) expired on August 20,
1994, the President invoked the International Emergency Economic Powers
Act and continued in effect, to the extent permitted by law, the
provisions of the EAA and the EAR in Executive Order 12924 of August
19, 1994, as extended by the President's notices of August 15, 1995,
August 14, 1996 and August 15, 1997.
DATES: This rule is effective January 15, 1998. Comments on this rule
must be received on or before February 17, 1998.
ADDRESSES: Written comments should be sent to Patricia Muldonian,
Regulatory Policy Division, Bureau of Export Administration, Department
of Commerce, P.O. Box 273, Washington, DC 20044.
FOR FURTHER INFORMATION CONTACT: James Lewis, Director, Office of
Strategic Trade and Foreign Policy Controls, Bureau of Export
Administration, Telephone: (202) 482-0092.
SUPPLEMENTARY INFORMATION:
Background
In July 1996, the United States and thirty-two other countries gave
final approval to the establishment of a new multilateral export
control arrangement, called the Wassenaar Arrangement on Export
Controls for Conventional Arms and Dual-Use Goods and Technologies
(Wassenaar Arrangement). The Wassenaar Arrangement contributes 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 of such items. Participating states have committed to
exchange information on exports of dual-use goods and technologies to
non-participating states for the purposes of enhancing transparency and
assisting in developing common understandings of the risks associated
with the transfers of these items.
To fulfill U.S. commitments to the Wassenaar Arrangement with
regard to dual-use items, this rule amends the Export Administration
Regulations (EAR) by imposing new reporting requirements for exports of
certain items controlled under the Wassenaar Arrangement. Reports are
not required for reexports. These new requirements appear in newly
added part 743 of the EAR. Information from exporters will be
consolidated by BXA for an aggregate data submission to the
participating states.
With respect to certain dual-use commodities, software, and
technology, participating states have undertaken commitments to notify
each other preferably within 30 days, but no later than 60 days, of an
approval of a license that has been denied by another participating
state for an essentially identical transaction during the preceding
three years. Certain of these items are eligible for License Exceptions
authorized by part 740 of the EAR. Therefore, in order to meet
Wassenaar Arrangement requirements, exporters on occasion may be
informed that the export of a certain item to a specific end-user under
a License Exception is not authorized or alternatively, may be
requested to provide prior written notification to BXA of an export of
a certain item to a specific end-user under a License Exception.
Reports are required to be submitted to BXA semiannually for
specified items controlled under the Wassenaar Arrangement exported
under License Exceptions LVS, GBS, CIV, CTP, TSR, and GOV. BXA must
receive such reports no later than August 1 for exports during the
reporting period January 1 through June 30, and no later than February
1 for exports during the reporting period July 1 through December 31.
The Export Control Classification Number and paragraph reference as
identified on the Commerce Control List, number of units in each
shipment, and the country of ultimate destination must be included in
each report for each export during the reporting period. Although the
exporter must be identified on all reports to BXA, names of exporters
will not be released to participating states. Certain additional
information requirements apply to digital computers.
Exporters should note that the first report must be submitted to
and received by BXA no later than August 1, 1998 for the partial
reporting period beginning January 15, 1998 and ending June 30, 1998.
Thereafter, reports are required semiannually according to the
provisions of new Sec. 743.1(f) of the EAR.
This rule also amends Sec. 742.12 of the EAR (High Performance
Computers) to clarify the reporting and recordkeeping requirements for
certain computer and software exports.
This rule also amends part 740 of the EAR by adding appropriate
cross-references to reporting requirements under License Exceptions
LVS, GBS, CIV, TSR, CTP, and GOV. The major changes in the Commerce
Control List (CCL) necessary to implement the Wassenaar Arrangement are
summarized below.
In addition, based on interagency agreement, particularly
consultations with the Department of State, this rule revises part 740
of the EAR by removing License Exception availability for missile
technology (MT) controlled items, except that items described in ECCNs
6A008, 7A001, 7A002, 7A004, 7A101, 7A102, 7A103, 7A104, 7D001, 7D002,
7D003, 7D101, 7D102, 7E003, or 7E101, may be exported as part of a
manned aircraft, satellite, land vehicle, or marine vehicle or in
quantities
[[Page 2453]]
appropriate for replacement parts under License Exceptions TMP, RPL,
TSU, or AVS. This action is based on a U.S. Government policy to
restrict the proliferation of missile capability and is consistent with
the Missile Technology Control Regime (MTCR) multilateral guidelines.
Also, in an effort to comply with our international commitments of
the Wassenaar Arrangement, the U.S. has also committed to exercise
extreme vigilance for certain items controlled for national security
reasons (NS), which are considered most critical to military
applications. This rule removes License Exception eligibility for
License Exceptions LVS, CIV, TSR, and GOV for certain commodities,
technologies, and software controlled for national security reasons for
which the U.S. has agreed to license with extreme vigilance.
Category 1--Materials
Additional controls have been added for body armor (1A005), certain
fluorocarbon electronic cooling fluids (1C006), certain ``ceramic-
ceramic'' materials with oxide or glass matrix (1C007), certain metals
and compounds (1C011), and certain material for nuclear heat sources.
In addition, controls for ``stress'' limits for metal alloys (1C002),
have been modified. Additional clarification of controls are specific
for the transition temperature limits on certain ``fibrous or
filamentary materials'' (1C010)
Category 2--Material Processing
A significant number of changes have been implemented for machine
tools. Specifically, the machine tool entry has been modified to
separate the controls on turning, milling and grinding machines. In
particular, such machines will no longer be controlled under the
Wassenaar Arrangement on the basis of ``tilting spindles'',
``camming'', or ``run-out''. Also, detailed test procedures, as
specified by the International Standards Organization (ISO), will no
longer be reiterated in the list. This revision will allow the
regulations to remain effective while keeping the procedures under
which the equipment is measured, current with industry practice. In
addition, controls have been removed for ``numerical control'' units
and ``motion control boards'', wire feed type electrical discharge
machines (2B001), manual machines specially designed for bevel gears
(2B003), systems for inspection of hemishells (2B006), and software for
``flexible manufacturing units'' (2D002). Two additional items have
been added under 2B001. They include ``specialty machines'' (i.e. deep
hole drilling machines) and spin-forming/flow-forming machines. Lastly,
controls on spindle assemblies and slide assemblies have been moved
from 2B008 to 2B992 as specially designed components therefore.
Category 3--Electronics
A number of controls have been removed for components under
Category 3, including microprocessors up to a composite theoretical
performance (CTP) value of 260 Mtops, most storage devices (i.e. memory
circuits), and on custom integrated circuits (3A001). In addition, the
frequency parameter for network analyzers and microwave test receivers
have been relaxed, and controls on emulators (3A002) have been removed
entirely. The most significant change is in the entries under Category
3B dealing with semiconductor manufacturing equipment. Specifically,
these entries have been combined and divided into two ECCNs. In
addition, the limit for control of integrated circuits testers have
been raised from 50 MHZ to 60 MHZ (3B002).
Category 4--Computers
Under category 4, the CTP value for computers has been raised from
260 Mtops to 2,000 Mtops. The limit on graphic accelerators and
graphics coprocessors has been relaxed to a 3-D vector rate of
3,000,000 (4A003). The technology for ``multi-data-stream processing''
has been revised to the control level defined in 4A003.b. (4E002). The
technology for magnetic hard disk drives (4E002) has been removed.
Category 5--Telecommunications, Part I
Several sections of Part I, Telecommunication have been removed
creating a significant number of changes to the controls on
telecommunication equipment. The majority of changes are identified in
the following entries.
All controls on telecommunication transmission equipment or
systems, having digital cross connect equipment and modems (5A001.b.),
have been removed. In addition, controls have been removed on certain
communication channel controllers, certain network access controllers,
certain radio equipment operating at frequencies of 31 GHz or less, and
certain digital signal processing equipment based upon ``user-
accessible programmability'' by raising the control parameters in each
instance (5A001.b.).
Also, controls have been removed on ``stored program controlled''
switching equipment containing any of the following characteristics,
functions or features (5A001.c.):
--``Integrated Services Digital Network'' (ISDN) functions;
--Multi-level priority and pre-emption for circuit switching;
--Routing or switching of ``datagram'' packets;
--Routing for switching of fast select packets;
--Automatic hand-off of cellular radio calls; and
--Digital cross connect equipment.
Additionally, the control parameters for the ``data signaling
rate'' for ``communications channel controllers'' and the digital
transfer rate for ``network access controllers'' have been modified to
relax controls on packet switches, circuit switches and routers.
Controls on all general purpose test equipment (e.g. bit error rate
testers and protocol analyzers) have been removed (5B001). Controls on
software for use of digital switching equipment (5D001) have been
removed and controls on development technology for spread spectrum and
frequency hopping techniques (5E001.b.) have been added.
Category 5--``Information Security'', Part II
Under Part II, ``Information Security'', certain items have been
decontrolled through an expansion of ``Notes'' within the entry of
5A002. These notes state that certain access control equipment (e.g.
equipment to protect personal identification numbers [PIN]), data
authentication equipment (e.g. equipment which calculates a Message
Authentication Code [MAC]) and cryptographic equipment specially
designed and limited for use in machines for banking or money
transactions are not controlled. In addition, all software for virus
protection (5D002) has been removed.
Category 6--Sensors and Lasers
Under the acoustics section, controls for certain wide-swath
bathymetric survey systems and terrestrial geophones have been removed.
In addition, controls for towed acoustic hydrophone arrays and
processing equipment for hydrophone arrays have been modified. Controls
for bottom or bay cable systems (6A001) have been added. Under optical
sensors, controls for specially designed components of image
intensifier tubes (6A002) have been modified. Controls for monospectral
imaging sensors have been added. Under optics, controls on certain
optical filters and ``fluoride fiber'' cable (6A004) have been removed.
Under lasers, certain carbon dioxide lasers, semiconductor lasers, ruby
lasers, neodymium doped lasers and free electron lasers (6A005) have
[[Page 2454]]
been removed. Under radar, weather balloon tracking radars (6A008) have
been removed. For production equipment, equipment for test, inspection
and production of lasers (6B005) have been removed. In addition,
controls on materials for optical fiber preforms for the manufacture of
high birefringence fibers (6C002), materials for certain low optical
absorption materials, and materials for optical fiber preforms for the
manufacture of fluoride fibers (6C004) have been removed. Controls on
software specially designed for bottom or bay cables have been added
and controls on certain primary radar target data software (6D003) have
been removed. Finally, controls for certain optical fabrication
technology and technology for certain optical fibers (6E003) have been
removed.
Category 7--Navigation and Avionics
Controls on inertial navigation systems certified for use on
``civil aircraft'' (7A003) have been removed. Also, controls for
direction finder equipment (7A007), computer aided design (CAD)
software (7D003), and technology for electric actuators for primary
flight control and flight control optical sensor arrays (7E004) have
been added.
Category 8--Marine
Controls for certain underwater vision systems, certain
photographic still cameras and certain light systems (8A002) have been
relaxed. Controls on stirling cycle engine air independent power
systems (8A002) have been clarified.
Category 9--Propulsion
Under the section dealing with Test, Inspection and Production
Equipment, several items have been removed, including automated
equipment for measuring airfoil wall thickness, tooling/fixtures, and
measuring equipment for hole drilling processing, ceramic core leaching
equipment and ceramic shell burn out or firing equipment (9B001).
Controls on brush seals have been narrowed by adding a control for a
temperature limit (9B003) and expanded by adding tools, dies or
fixtures for solid state joining of intermetallic airfoil-to-disk
combinations for gas turbine engines (9B004). Transducers/strain
gauges/accelerometers/thermocouples for vibration equipment (9B006)
have also been removed. Accordingly, under software, controls for
certain software for vibration test equipment as well as certain
development/production software of test facilities for engines (9D004)
have been removed. Finally, a few modifications have been made under
technology for gas turbine engine components or systems and controls on
helicopter power transfer systems or tilt rotor or tilt wing aircraft
(9E003). Specifically, controls have been narrowed on technology for
multiple domed combustors (9E003.a.2), the technology for gas bearing
for gas turbine engine rotor assemblies (9E003.a.12), and the
technology for helicopter, tilt rotor or tilt wing aircraft power
transfer systems.
All items removed from national security (NS) controls as a result
of the Wassenaar List of Dual-Use Goods and Technologies will continue
to be controlled for antiterrorism (AT) reasons.
Numerous entries that are contained on the Wassenaar List of Dual-
Use Goods and Technologies are subject to the export licensing
authority of the Office of Defense Trade Controls, Department of State.
This rule will list all entries that are controlled on the Wassenaar
List of Dual-Use Goods and Technologies, but will specify that those
entries are under the licensing authority of the Office of Defense
Trade Controls, Department of State.
On March 25, 1996 (61 FR 12714), BXA revised the Commerce Control
List by adopting the European Union (EU) numbering system and converted
our former ECCNs to correspond accordingly. The changes adopted by this
rule attempts to further harmonize the CCL with the EU List. This
ensures that identical ECCNs on the CCL and the EU List will identify
the same item(s). From an enforcement or customs perspective, this
common numbering system simplifies export controls for all countries
that harmonize to this control list. As a result of this harmonization
exercise, it was discovered that certain differences exist between the
EU List and the CCL and among agencies within the U.S., in terms of
MTCR related controls. These differences predominately exist in the
area of technology and software controls. For most of the entries, the
EU text was adopted or modified to ensure that it comported to the
intent of the MTCR Annex. For those technology and software entries
where differences could not be resolved at the interagency level, it
was agreed to maintain the control text for those entries as published
in the March 25 rule, until these differences are resolved.
To ensure that no overlap in controls exists among the regimes and
that the Wassenaar Arrangement list did not decontrol items that are
currently controlled on the MTCR Annex, references to certain missile
technology controlled entries were included and clarification notes
were added to aid the exporter.
In addition, this rule will include ECCN entries for those MTCR
items that are under the licensing authority of the Department of
State, Office of Defense Trade Controls. Those items are specifically
listed on the CCL to inform the exporter that the corresponding EU list
entry for such items are under the licensing authority of the
Department of State, Office of Defense Trade Controls.
BXA is continuing a comprehensive review of the Commerce Control
List (CCL) to account for items controlled by the Nuclear Suppliers
Group (NSG), the Missile Technology Control Regime (MTCR), and the
Australia Group (AG) and to correct errors published on March 25, 1996,
and unavoidably reprinted in this version of the CCL. The review will
be based in large part upon the comments received in response to the
March 25 rule and upon ongoing efforts to harmonize the CCL with the
EU's control list.
Saving Clause
This rule revises the numbering and structure of certain entries on
the Commerce Control List. For items under such entries and for April
15, 1998, BXA will accept license applications for items described
either by the entries in effect immediately before January 15, 1998 or
the entries described in this rule. In addition, shipments of items
removed from eligibility for export or reexport under a particular
License Exception authorization or the designator NLR, as a result of
this regulatory action, may continue to be exported or reexported under
that License Exception authorization or designator until February 17,
1998.
Rulemaking Requirements
1. This interim rule has been determined to be significant for
purposes of E.O. 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 (PRA), unless that
collection of information displays a currently valid OMB Control
Number. This rule involves collections of information subject to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) These
collections has been approved by the Office of Management and Budget
under control numbers 0694-0073, 0694-0086, and 0694-0088. This rule
also contains a new collection-of-information requirement subject to
[[Page 2455]]
the PRA that has received emergency approval under OMB control number
0694-xxxx. The new information requirement and estimated public burden
hours include: recording responses (5 minutes each); filing responses
(1 minute each); and transmitting responses to BXA (10 minutes per
exporter). These estimates include the time for reviewing instructions,
searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collections of information.
Send comments regarding these burden estimates or any other aspect of
these collections of information, including suggestions for reducing
the burden, to OMB Desk Officer, New Executive Office Building,
Washington, DC 20503.
3. This rule does not contain policies with Federalism implications
sufficient to warrant preparation of a Federalism assessment under
Executive Order 12612.
4. The provisions of the Administrative Procedure Act (5 U.S.C.
553) requiring notice of proposed rulemaking, the opportunity for
public participation, and a delay in effective date, are inapplicable
because this regulation involves a military and foreign affairs
function of the United States (Sec. 5 U.S.C. 553(a)(1)). Further, no
other law requires that a notice of proposed rulemaking and an
opportunity for public comment be given for this interim rule. Because
a notice of proposed rulemaking and an opportunity for public comment
are not required to be given for this rule under 5 U.S.C. or by any
other law, the analytical requirements of the Regulatory Flexibility
Act (5 U.S.C. 601 et seq.) are not applicable.
However, because of the importance of the issues raised by these
regulations, this rule is issued in interim form and comments will be
considered in the development of final regulations.
Accordingly, the Department encourages interested persons who wish
to comment to do so at the earliest possible time to permit the fullest
consideration of their views.
The period for submission of comments will close February 17, 1998.
The Department will consider all comments received before the close of
the comment period in developing final regulations. Comments received
after the end of the comment period will be considered if possible, but
their consideration cannot be assured. The Department will not accept
public comments accompanied by a request that a part or all of the
material be treated confidentially because of its business proprietary
nature or for any other reason. The Department will return such
comments and materials to the person submitting the comments and will
not consider them in the development of final regulations. All public
comments on these regulations will be a matter of public record and
will be available for public inspection and copying. In the interest of
accuracy and completeness, the Department requires comments in written
form.
Oral comments must be followed by written memoranda, which will
also be a matter of public record and will be available for public
review and copying. Communications from agencies of the United States
Government or foreign governments will not be made available for public
inspection.
The public record concerning these regulations will be maintained
in the Bureau of Export Administration Freedom of Information Records
Inspection Facility, Room 4525, Department of Commerce, 14th Street and
Pennsylvania Avenue, N.W., Washington, D.C. 20230. Records in this
facility, including written public comments and memoranda summarizing
the substance of oral communications, may be inspected and copied in
accordance with regulations published in Part 4 of Title 15 of the Code
of Federal Regulations. Information about the inspection and copying of
records at the facility may be obtained from Margaret Cornejo, Bureau
of Export Administration Freedom of Information Officer, at the above
address or by calling (202) 482-5653.
List of Subjects
15 CFR Part 732
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Part 740
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Part 742
Exports, Foreign Trade.
15 CFR Part 743
Administrative practice and procedure, Exports, Foreign trade,
Reporting and recordkeeping requirements.
15 CFR Part 744
Exports, Foreign Trade, Reporting and recordkeeping requirements.
15 CFR Part 746
Embargoes, Exports, Foreign Trade, Reporting and recordkeeping
requirements.
15 CFR Part 762
Administrative practice and procedure, Business and Industry,
Exports, Foreign trade, Reporting and recordkeeping requirements.
15 CFR Part 774
Exports, Foreign Trade.
Accordingly, parts 732, 740, 742, 744, 746, 762, and 774 of the
Export Administration Regulations (15 CFR parts 730 through 799) are
amended as follows:
1. The authority citation for parts 732 and 762 is revised to read
as follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; E.O. 13026, 3
CFR, 1995 Comp., p. 228; Notice of August 15, 1995, 3 CFR, 1995
Comp., p. 501; Notice of August 14, 1996, 3 CFR, 1996 Comp., p. 298;
and Notice of August 13, 1997 (62 FR 43629, August 15, 1997).
2. The authority citation for part 740 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; Notice of August
15, 1995, 3 CFR, 1995 Comp., p. 501; Notice of August 14, 1996, 3
CFR, 1996 Comp., p. 289; and Notice of August 13, 1997 (62 FR 43629,
August 15, 1997).
3. The authority citation for part 742 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
18 U.S.C. 2510 et seq.; 22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a;
E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58
FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12924, 59 FR 43437, 3 CFR,
1994 Comp., p, 917; E.O. 12938, 59 FR 59099, 3 CFR, 1995 Comp., p.
950; Notice of August 15, 1995, 3 CFR, 1995 Comp., p. 501; Notice of
August 14, 1996, 3 CFR, 1996 Comp., p. 289; and Notice of August 13,
1997 (62 FR 43629, August 15, 1997).
4-5. The authority citation for part 744 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C 1701 et seq.;
22 U.S.C. 3201 et seq.; 42 U.S.C. 2139a; E.O. 12058, 43 FR 20947, 3
CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp.,
p. 608; E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 915; E.O.
12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; Notice of August 14,
1996, 3 CFR, 1996 Comp., p. 298; and Notice of August 13, 1997 (62
FR 43629, August 15, 1997).
6. The authority citation for part 746 is revised to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
22 U.S.C. 287c; 22 U.S.C. 6004; E.O. 12918, 59 FR 28205, 3 CFR, 1994
[[Page 2456]]
Comp., p. 899; E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917;
Notice of August 14, 1996, 3 CFR, 1996 Comp., p. 298; and Notice of
August 13, 1997 (62 FR 43629, August 15, 1997).
7. The authority citation for part 774 continues to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
10 U.S.C. 720; 10 U.S.C. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C.
287c; 22 U.S.C. 3201 et seq.; 22 U.S.C. 6004; Sec. 201, Pub. L. 104-
58, 109 Stat. 557 (30 U.S.C. 185(s)); 30 U.S.C. 185(u); 42 U.S.C.
2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. 466c; 50
U.S.C. app. 5; E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917;
Notice of August 15, 1995, 3 CFR, 1995 Comp., p. 501; Notice of
August 14, 1996, 3 CFR, 1996 Comp., p. 298; and Notice of August 13,
1997 (62 FR 43629, August 15, 1997).
PART 732--[AMENDED]
8. Section 732.4 of the EAR is amended by adding a new paragraph
(b)(3)(iv) to read as follows:
Sec. 732.4 Steps regarding License Exceptions.
* * * * *
(b) * * *
(3) * * *
(iv) If you are exporting under License Exceptions GBS, CIV, LVS,
CTP, TSR, or GOV, you should review Sec. 743.1 of the EAR to determine
the applicability of certain reporting requirements.
* * * * *
PART 740--[AMENDED]
9. Section 740.2 is amended:
a. By adding a new paragraph (a)(5); and
b. By adding a new paragraph (c) to read as follows:
Sec. 740.2 Restrictions on all License Exceptions.
(a) * * *
(5) The item is controlled for missile technology (MT) reasons,
except that the items described in ECCNs 6A008, 7A001, 7A002, 7A004,
7A101, 7A102, 7A103, 7A104, 7B001, 7D001, 7D002, 7D003, 7D101, 7D102,
7E003, or 7E101, may be exported as part of a manned aircraft,
satellite, land vehicle or marine vehicle or in quantities appropriate
for replacement parts for such applications under Sec. 740.9(a)(2)(ii)
(License Exception TMP for kits consisting of replacement parts),
Sec. 740.10 (License Exception RPL), Sec. 740.13 (License Exception
TSU), or Sec. 740.15(c) (License Exception AVS for equipment and spare
parts for permanent use on a vessel or aircraft).
* * * * *
(c) BXA may by informing the exporter, suspend or revoke any
License Exception in order to comply with U.S. Wassenaar obligations.
In addition, BXA may inform an exporter, that before using any License
Exception, a notice be submitted with BXA concerning the proposed
export.
10. Section 740.3 is amended by adding a new paragraph (f) to read
as follows:
Sec. 740.3 Shipments of Limited Value (LVS).
* * * * *
(f) Reporting requirements. See Sec. 743.1 of the EAR for reporting
requirements for exports of certain commodities under License Exception
LVS.
11. Section 740.4 is revised to read as follows:
Sec. 740.4 Shipments to Country Group B countries (GBS).
License Exception GBS authorizes exports and reexports to Country
Group B (see Supplement No. 1 to part 740) of those commodities
controlled to the ultimate destination for national security reasons
only and identified by ``GBS--Yes'' on the CCL. See Sec. 743.1 of the
EAR for reporting requirements for exports of certain commodities under
License Exception GBS.
12. Section 740.5 is amended by adding a new sentence at the end to
read as follows:
Sec. 740.5 Civil end-users (CIV).
* * * See Sec. 743.1 of the EAR for reporting requirements for
exports of certain commodities under License Exception CIV.
13. Section 740.6 is amended by adding paragraph (b) to read as
follows:
Sec. 740.6 Technology and software under restriction (TSR).
* * * * *
(b) Reporting requirements. See Sec. 743.1 of the EAR for reporting
requirements for exports of certain commodities under License Exception
TSR.
14. Section 740.7 is amended by revising paragraph (f) to read as
follows:
Sec. 740.7 Computers (CTP).
* * * * *
(f) Reporting requirements. See Sec. 743.1 of the EAR for reporting
requirements for exports of certain commodities under License Exception
CTP.
15. Section 740.11 is amended:
a. By revising paragraph (a)(2);
b. By revising paragraph (b)(2)(iii);
c. By revising paragraph (b)(2)(iv), and
d. By adding a new Supplement No. 1, as follows:
Sec. 740.11 Governments and international organizations (GOV).
* * * * *
(a) * * *
(2) The following items controlled for national security (NS)
reasons under Export Control Classification Numbers (ECCNs) identified
on the Commerce Control List may not be exported or reexported under
this License Exception to destinations other than Austria, Belgium,
Canada, Denmark, Finland, France, Germany, Greece, Ireland, Italy,
Luxembourg, the Netherlands, Portugal, Spain, Sweden, and the United
Kingdom: 1C001, 1C012, 5A001.b.9, 6A001.a.2.a.1, 6A001.a.2.a.2,
6A001.a.2.a.7, 6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c,
6A008.l.3., 6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
(i) ``Composite'' structures or laminates controlled by 1A002.a.,
having an organic ``matrix'' and made from materials listed under
1C010.c. or 1C010.d.; and
(ii) ``Digital'' computers controlled by 4A003.b. and having a CTP
exceeding 10,000 MTOPS; and
(iii) ``Electronic assemblies'' controlled by 4A003.c. and capable
of enhancing performance by aggregation of ``computing elements'' so
that the CTP of the aggregation exceeds 10,000 MTOPS; and
(iv) Processing equipment controlled by 6A001.a.2.c. and specially
designed for real time application with towed acoustic hydrophone
arrays; and
(v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and
having processing equipment specially designed for real time
application with bottom or bay cable systems; and
(vi) ``Software'', as follows:
(A) Controlled by 4D001, specially designed for the ``development''
or ``production'' for items controlled by 4A003.b or .c, as defined by
paragraphs (a)(2)(ii) and (iii) of this section; and
(B) Controlled by 5D001.a, specially designed for items controlled
by 5A001.b.9; and
(C) Controlled by 6D001 for items controlled by 6A008.l.3 or 6B008;
and
(D) Controlled by 6D003.a; and
(E) Controlled by 7D003.a or 7D003.b; and
(F) Controlled by 8D001, specially designed for the ``development''
or ``production'' of equipment controlled by 8A001.b, 8A001.d, or
8A002.o.3.b; and
(G) Controlled by 9D001, specially designed for the ``development''
of equipment or ``technology'' controlled by 9A011, 9E003.a.1, or by
9E003.a.3, for items controlled by 1A002.a, as
[[Page 2457]]
described in paragraph (a)(2)(i) of this section; and
(H) Controlled by 9D002 for ``software'' specially designed for the
``production'' of equipment controlled by 9A011; and
(I) Controlled by 9D004.a or .c.
(b) * * *
(2) * * *
(iii) (A) Items for official use within national territory by
agencies of the U.S. Government. This License Exception is available
for all items consigned to and for the official use of any agency of a
cooperating government within the territory of any cooperating
government, except items described in paragraph (a) to Supplement No. 1
of this section:
(B) Reporting requirements. See Sec. 743.1 of the EAR for reporting
requirements for exports of certain items under this paragraph
(b)(2)(iii).
(iv) (A) Diplomatic and consular missions of a cooperating
government. This License Exception is available for all items consigned
to and for the official use of a diplomatic or consular mission of a
cooperating government located in any country in Country Group B (see
Supplement No. 1 to part 740), except items described in paragraph (b)
of Supplement No. 1 of this section.
(B) Reporting requirements. See Sec. 743.1 of the EAR for reporting
requirements for exports of certain items under this paragraph
(b)(2)(iv).
* * * * *
Supplement No. 1 to Sec. 740.11--Additional Restrictions on Use of
License Exception GOV
(a) Items for official use within national territory by agencies
of the U.S. Government. License Exception GOV is available for all
items consigned to and for the official use of any agency of a
cooperating government within the territory of any cooperating
government, except:
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
1C012, 5A001.b.9, 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c, 6A008.l.3.,
6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
(i) ``Composite'' structures or laminates controlled by
1A002.a., having an organic ``matrix'' and made from materials
listed under 1C010.c. or 1C010.d.; and
(ii) ``Digital'' computers controlled by 4A003.b. and having a
CTP exceeding 10,000 MTOPS; and
(iii) ``Electronic assemblies'' controlled by 4A003.c. and
capable of enhancing performance by aggregation of ``computing
elements'' so that the CTP of the aggregation exceeds 10,000 MTOPS;
and
(iv) Processing equipment controlled by 6A001.a.2.c. and
specially designed for real time application with towed acoustic
hydrophone arrays; and
(v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and
having processing equipment specially designed for real time
application with bottom or bay cable systems;
(vi) ``Software'', as follows:
(A) Controlled by 4D001, specially designed for the
``development'' or ``production'' for items controlled by 4A003.b or
.c, as defined by paragraphs (a)(1)(ii) and (iii) of this
Supplement; and
(B) Controlled by 5D001.a, specially designed for items
controlled by 5A001.b.9; and
(C) Controlled by 6D001 for items controlled by 6A008.l.3 or
6B008; and
(D) Controlled by 6D003.a; and
(E) Controlled by 7D003.a or 7D003.b; and
(F) Controlled by 8D001, specially designed for the
``development'' or ``production'' of equipment controlled by
8A001.b, 8A001.d, or 8A002.o.3.b; and
(G) Controlled by 9D001, specially designed for the
``development'' of equipment or ``technology'' controlled by 9A011,
9E003.a.1, or by 9E003.a.3, for items controlled by 1A002.a, as
described in paragraph (a)(1)(i) of this Supplement; and
(H) Controlled by 9D002 for ``software'' specially designed for
the ``production'' of equipment controlled by 9A011; and
(I) Controlled by 9D004.a or .c.
(vii) ``Technology'', as follows:
(A) Controlled by 5E001.a for items controlled by 5A001.b.9 or
5D001.a; and
(B) Controlled by 1E001 for items controlled by 1A002.a, 1C001,
or 1C102 as described by paragraph (a)(1)(i) of this Supplement; and
(C) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
(D) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (a)(1) of this Supplement; and
(E) Controlled by 8E001 for items controlled by 8A001.b,
8A002.o.3.b, or 8A001.d; and
(F) Controlled by 9E001 for items controlled by 9A011, 9D001, or
9D002; and
(G) Controlled by 9E002 for items controlled by 9A011; and
(H) Controlled by 9E003.a.1; and
(I) Controlled by 9E003.a.3 for items controlled by 1A002.a as
described in paragraph (a)(1) of this Supplement.
(2) Items identified on the Commerce Control List as controlled
for missile technology (MT), chemical and biological warfare (CB),
or nuclear nonproliferation (NP) reasons;
(3) Regional stability items controlled under Export Control
Classification Numbers (ECCNs) 6A002, 6A003, 6E001, 6E002, 7D001,
7E001, 7E002, and 7E101 as described in Sec. 742.6(a)(1) of the EAR;
or
(4) Encryption items controlled for EI reasons as described in
the Commerce Control List.
(b) Diplomatic and consular missions of a cooperating
government. License Exception GOV is available for all items
consigned to and for the official use of a diplomatic or consular
mission of a cooperating government located in any country in
Country Group B (see Supplement No. 1 to part 740), except:
(1) Items identified on the Commerce Control List as controlled
for national security (NS) reasons under Export Control
Classification Numbers (ECCNs) as follows for export or reexport to
destinations other than Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom: 1C001,
1C012, 5A001.b.9, 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.e.1, 6A001.a.2.e.2, 6A002.a.1.c, 6A008.l.3.,
6B008, 8A001.b., 8A001.d., 8A002.o.3.b., 9A011; and
(i) ``Composite'' structures or laminates controlled by
1A002.a., having an organic ``matrix'' and made from materials
listed under 1C010.c. or 1C010.d.; and
(ii) ``Digital'' computers controlled by 4A003.b. and having a
CTP exceeding 10,000 MTOPS; and
(iii) ``Electronic assemblies'' controlled by 4A003.c. and
capable of enhancing performance by aggregation of ``computing
elements'' so that the CTP of the aggregation exceeds 10,000 MTOPS;
and
(iv) Processing equipment controlled by 6A001.a.2.c. and
specially designed for real time application with towed acoustic
hydrophone arrays; and
(v) Bottom or bay cable systems controlled by 6A001.a.2.e.3 and
having processing equipment specially designed for real time
application with bottom or bay cable systems;
(vi) ``Software'', as follows:
(A) Controlled by 4D001, specially designed for the
``development'' or ``production'' for items controlled by 4A003 .b
or .c, as defined by paragraphs (b)(1) (ii) or (iii) of this
Supplement; and
(B) Controlled by 5D001.a, specially designed for items
controlled by 5A001.b.9; and
(C) Controlled by 6D001 for items controlled by 6A008.l.3 or
6B008; and
(D) Controlled by 6D003.a; and
(E) Controlled by 7D003.a or 7D003.b; and
(F) Controlled by 8D001, specially designed for the
``development'' or ``production'' of equipment controlled by
8A001.b, 8A001.d, or 8A002.o.3.b; and
(G) Controlled by 9D001, specially designed for the
``development'' of equipment or ``technology'' controlled by 9A011,
9E003.a.1, or by 9E003.a.3, for items controlled by 1A002.a, as
described in paragraph (b)(1)(i) of this Supplement; and
(H) Controlled by 9D002 for ``software'' specially designed for
the ``production'' of equipment controlled by 9A011; and
[[Page 2458]]
(I) Controlled by 9D004 .a or .c.
(vii) ``Technology'', as follows:
(A) Controlled by 5E001.a for items controlled by 5A001.b.9 or
5D001.a; and
(B) Controlled by 1E001 for items controlled by 1A002.a, 1C001,
or 1C102 as described by paragraph (b)(1) of this Supplement; and
(C) Controlled by 6E001 for the ``development'' of equipment or
``software'' in 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (b)(1) of this Supplement; and
(D) Controlled by 6E002 for the ``production'' of equipment
controlled by 6A001.a.2.a.1, 6A001.a.2.a.2, 6A001.a.2.a.7,
6A001.a.2.b, 6A001.a.2.c, 6A001.a.2.3, 6A002.a.1.c, 6A008.l.3, or
6B008, as described in paragraph (b)(1) of this Supplement; and
(E) Controlled by 8E001 for items controlled by 8A001.b,
8A002.o.3.b, or 8A001.d; and
(F) Controlled by 9E001 for items controlled by 9A011, 9D001, or
9D002; and
(G) Controlled by 9E002 for items controlled by 9A011; and
(H) Controlled by 9E003.a.1; and
(I) Controlled by 9E003.a.3 for items controlled by 1A002.a as
described in paragraph (b)(1)(i) of this Supplement.
(2) Items identified on the Commerce Control List as controlled
for missile technology (MT), chemical and biological warfare (CB),
or nuclear nonproliferation (NP) reasons;
(3) Regional stability items controlled under Export Control
Classification Numbers (ECCNs) 6A002, 6A003, 6E001, 6E002, 7D001,
7E001, 7E002, and 7E101 as described in Sec. 742.6(a)(1) of the EAR;
or
(4) Encryption items controlled for EI reasons as described in
the Commerce Control List.
PART 742--[AMENDED]
16. Section 742.6(a)(1) is amended:
a. By removing the phrase ``6D102 (only software for development of
items in 6A002.a.1, a.2, a.3, or .c);'' and
b. By revising the phrase ``7E002 (only technology for the
production of inertial navigation systems, inertial equipment, and
specially designed components therefor for civil aircraft).'' to read
``7E002 (only technology for the production of inertial navigation
systems, inertial equipment, and specially designed components therefor
for civil aircraft); 7E101 (only technology for the use of inertial
navigation systems, inertial equipment, and specially designed
components for civil aircraft).''
17. Section 742.12 is amended by revising paragraph (a)(3) and by
removing paragraph (a)(4) to read as follows:
Sec. 742.12 High performance computers.
(a) * * *
(3) Exporters must keep accurate records of each export to
countries not included in Country Group A:1 (see Supplement No. 1 to
part 740 of the EAR) of a computer with a CTP greater than 4,000 MTOPS.
These records must be submitted semiannually to BXA and must contain
the information as described in Sec. 743.1 of the EAR.
* * * * *
18. A new part 743 is added to read as follows:
PART 743--SPECIAL REPORTING
Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.;
E.O. 12924, 59 FR 43437, 3 CFR, 1994 Comp., p. 917; Notice of August
15, 1995, 3 CFR, 1995 Comp., p. 501; Notice of August 14, 1996, 3
CFR, 1996 Comp., p. 289; and Notice of August 13, 1997 (62 FR 43629,
August 15, 1997).
Sec. 743.1 Wassenaar Arrangement.
(a) Scope. This section outlines special reporting requirements for
exports of certain commodities, software and technology controlled
under the Wassenaar Arrangement. Such reports must be submitted to BXA
semiannually in accordance with the provisions of paragraph (f) of this
section, and records of all exports subject to the reporting
requirements of this section must be kept in accordance with part 762
of the EAR. This section does not require reports for reexports.
(b) Requirements. You must submit two (2) copies of each report
required under the provisions of this section and maintain accurate
supporting records (see Sec. 762.2(b) of the EAR) for all exports of
items specified in paragraph (c) of this section under any of the
following License Exceptions authorized by part 740 of the EAR: License
Exceptions GBS, CIV, TSR, LVS, CTP, and GOV. For purposes of this part
743, ``you'' has the same meaning as ``U.S. exporter'', as defined in
part 772 of the EAR.
(c) Items for which reports are required. (1) You must submit
reports to BXA under the provisions of this section only for exports of
items controlled under the following ECCNs:
(i) Category 1: 1A002, 1C007.c and .d, 1C010.c and .d, 1D002,
1E001, 1E002.e, and 1E002.f.;
(ii) Category 2: 2B001.a or .b (certain items only; see Note to
this paragraph) 2B001.f, 2B003, 2D001, 2E001, and 2E002;
Note to paragraph (c)(1)(ii): The following are not controlled
for NP reasons: turning machines controlled by 2B001.a with a
capacity equal to or less than 35 mm diameter; 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 with diameters less than 42
mm); or milling machines controlled by 2B001.b with x-axis travel
greater than two meters and overall ``positioning accuracy'' on the
x-axis more (worse) than 0.030 mm. Therefore, exports of such items
under License Exception GOV are subject to reporting requirements.
(iii) Category 3: 3A002.g.2, 3B001.a.2, 3D001, and 3E001;
(iv) Category 4: 4A001.a.2 and .b, 4A003.b and .c (see paragraph
(c)(2) of this section), 4D001, 4D003.c, and 4E001;
(v) Category 5: 5A001.b.8, 5B001 (items specially designed for
5A001.b.8), 5D001.a and .b, 5E001.a, 5A002, 5B002, 5D002, and 5E002;
(vi) Category 6: 6A001.a.1.b, .a.2.c, .a.2.d, and .a.2.e; 6A002.b,
6A004.c and d, 6A006.g and h, 6A008.d, .h, and .k; 6D001, 6D003.a,
6E001, and 6E002;
(vii) Category 8: 8A001.c; 8A002.b, .h, .j, .o.3.a, and .p; 8D001,
8D002, 8E001, and 8E002.a; and
(viii) Category 9: 9B001.b, 9D001, 9D002, 9D004.a and .c, 9E001,
9E002, 9E003.a.1, 9E003.a.2, .a.3, .a.4, .a.5, .a.8, and .a.9.
(2) Reports for ``digital computers'' and ``electronic assemblies''
controlled under ECCN 4A003.b and .c are required only for computers
with a composite theoretical performance (CTP) exceeding 4,000 MTOPS or
computer enhancements thereof such that the CTP exceeds 4,000 MTOPS.
Records for software controlled by 4D001 are required for software
specially designed for the development or production of computers
having a CTP exceeding 4,000 MTOPS. For the calculation of CTP, see the
Technical Note for Category 4 in the Commerce Control List (Supplement
No. 2 to part 774 of the EAR).
(d) Country Exceptions. You must report each export subject to the
provisions of this section, except for exports to countries identified
in Country Group A:1 (see Supplement No. 1 to part 740 of the EAR).
(e) Information that must be included in each report. (1) Each
report submitted to BXA for items other than those identified in
paragraph (e)(2) of this section must include the following information
for each export during the time periods specified in paragraph (f) of
this section:
(i) Export Control Classification Number and paragraph reference as
identified on the Commerce Control List;
(ii) Number of units in the shipment; and
[[Page 2459]]
(iii) Country of ultimate destination.
(2) Reports for ``digital computers'' and ``electronic assemblies''
controlled under ECCN 4A003.b and .c must include the following
information:
(i) Date of shipment;
(ii) Name and address of the end-user and each intermediate
consignee;
(iii) CTP of each computer or aggregation of computing elements in
shipment;
(iv) Quantity shipped; and
(v) End-use.
(f) Frequency and timing of reports. You must submit reports
subject to the provisions of this section semiannually. The reports
must be labeled with the exporting company's name and address at the
top of each page and must include for each such export all the
information specified in paragraph (e) of this section. The reports
shall cover exports made during six month time periods spanning from
January 1 through June 30 and July 1 through December 31.
(1) The first report must be submitted to and received by BXA no
later than August 1, 1998 for the partial reporting period beginning
January 15, 1998 and ending June 30, 1998. Thereafter, reports are due
according to the provisions of paragraphs (f)(2) and (f)(3) of this
section.
(2) Reports for the reporting period ending June 30 must be
submitted to and received by BXA no later than August 1.
(3) Reports for the reporting period ending December 31 must be
submitted to and received by BXA no later than February 1.
(g) Mailing address and facsimile number: (1) Two (2) copies of
reports required under this section shall be delivered to one of the
following addresses. BXA will not accept reports sent C.O.D.
(i) For deliveries by U.S. postal service:
Bureau of Export Administration, U.S. Department of Commerce, P.O.
Box 273, Attn: ``Wassenaar Reports'', Washington, D.C. 20044
(ii) For courier deliveries:
Bureau of Export Administration, U.S. Department of Commerce, Attn:
``Wassenaar Reports'', Room 2705, 14th Street and Pennsylvania Ave.,
N.W., Washington, D.C. 20230
(2) Reports may also be sent by facsimile to: (202) 482-3345, Attn:
``Wassenaar Reports''.
(h) Contacts. General information concerning the Wassenaar
Arrangement and reporting obligations thereof is available from the
Office of Strategic Trade and Foreign Policy Controls, Tel. (202) 482-
0092, Fax: (202) 482-4094.
Sec. 743.2 [Reserved]
PART 744--[AMENDED]
19. Section 744.8(b) is amended by revising the phrase ``7A006,
7A106, 7A115, 7A994,'' to read ``7A006, 7A994''.
PART 746--[AMENDED]
20. Section 746.8(b)(1)(ii) is amended by revising the phrase
``6E002, 9A115, 9A991.a,'' to read ``6E002, 9A991.a,''.
PART 762--[AMENDED]
21. Section 762.2 is amended by revising paragraphs (b)(35) and
(b)(36) and by adding a new paragraph (b)(37) to read as follows:
Sec. 762.2 Records to be retained.
* * * * *
(b) * * *
(35) Sec. 764.5, Voluntary self-disclosure;
(36) Sec. 766.10, Subpoenas; and
(37) Sec. 743.1, Wassenaar reports.
PART 774--[AMENDED]
22. Supplement No. 1 to part 774 is revised to read as follows:
Supplement No. 1 to Part 774--the Commerce Control List
Category 0--Nuclear Materials, Facilities, and Equipment [and
Miscellaneous Items]
A. Systems, Equipment and Components
0A001 ``Nuclear reactors'', i.e., reactors capable of operation so as
to maintain a controlled, self-sustaining fission chain reaction, and
equipment and components specially designed or prepared for use in
connection with a ``nuclear reactor'', including (see List of Items
Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 0A001 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A.
Related Controls: N/A
Related Definitions: N/A
Items: a. Pressure vessels, i.e. metal vessels as complete units or
X parts therefor, which are specially designed or prepared to
contain the core of a ``nuclear reactor'' and are capable of
withstanding the operating pressure of the primary coolant,
including the top plate for a reactor pressure vessel;
b. Fuel element handling equipment, including reactor fuel
charging and discharging machines;
c. Control rods specially designed or prepared for the control
of the reaction rate in a ``nuclear reactor'', including the neutron
absorbing part and the support or suspension structures therefore,
and control rod guide tubes;
d. Electronic controls for controlling the power levels in
``nuclear reactors'', including reactor control rod drive mechanisms
and radiation detection and measuring instruments to determine
neutron flux levels;
e. Pressure tubes specially designed or prepared to contain fuel
elements and the primary coolant in a ``nuclear reactor'' at an
operating pressure in excess of 5.1 MPa;
f. Tubes or assemblies of tubes, made from zirconium metal or
alloy in which the ratio of hafnium to zirconium is less than 1:500
parts by weight, specially designed or prepared for use in a
``nuclear reactor'';
g. Coolant pumps specially designed or prepared for circulating
the primary coolant of ``nuclear reactors'';
h. Internal components specially designed or prepared for the
operation of a ``nuclear reactor'', including core support
structures, thermal shields, baffles, core grid plates and diffuser
plates;
i. Heat exchangers.
0A002 Power generating or propulsion equipment specially designed for
use with space, marine or mobile ``nuclear reactors''. (These items are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls. See 22 CFR part 121.)
0A018 Items on the International Munitions List.
License Requirements
Reason for Control: NS, RS, AT, UN
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
RS applies to 0A018.c.................. RS Column 2
AT applies to entire entry............. AT Column 1
UN applies to entire entry............. Rwanda
License Exceptions
LVS: $5000 for 0A018.a and b; $3000 for 0A018.c; $1500 for 0A018.d
through .f; $0 for entire entry for Rwanda
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: 0A018.a, .b, and .c in $ value; 0A018.d, .e, and .f in number.
Related Controls: N/A
Related Definitions: N/A
Items: a. Power controlled searchlights and control units therefor,
designed for military use, and equipment mounting such units; and
specially designed parts and accessories therefor;
b. Construction equipment built to military specifications,
specially designed for airborne transport; and specially designed
parts and accessories therefor;
c. Specially designed components and parts for ammunition,
except cartridge cases, powder bags, bullets, jackets, cores,
shells, projectiles, boosters, fuses and components, primers, and
other detonating devices and ammunition belting and linking machines
(all of which are subject to the export licensing authority of the
U.S. Department of
[[Page 2460]]
State, Office of Defense Trade Controls. (See 22 CFR parts 120
through 130.)
d. Bayonets;
e. Muzzle-loading (black powder) firearms;
Note: Antique small arms dating prior to 1890 and their
reproductions are not controlled by this ECCN 0A018.
f. Military helmets, except:
f.1. Conventional steel helmets other than those described by
0A018.f.2 of this entry.
f.2. Helmets, made of any material, equipped with communications
hardware, optional sights, slewing devices or mechanisms to protect
against thermal flash or lasers.
Note: Helmets described in 0A018.f.1 are controlled by 0A988.
Helmets described in 0A018.f.2 are controlled by the U.S. Department
of State, Office of Defense Trade Controls (See 22 CFR part 121,
Category X).
0A980 Horses by sea.
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
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A982 Saps; thumbcuffs, leg irons, shackles, and handcuffs; straight
jackets, plastic handcuffs, machetes, conventional steel military
helmets, police helmets and shields; and parts and accessories, n.e.s.
License Requirements
Reason for Control: CC, UN
Control(s) Country Chart
CC applies to entire entry except CC Column 1
machetes.
UN applies to machetes................. Rwanda
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A983 Specially designed implements of torture and thumbscrews; and
parts 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.)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A984 Shotguns, barrel length 18 inches (45.72 cm) inches or over;
buckshot shotgun shells; except equipment used exclusively to treat or
tranquilize animals, and except arms designed solely for signal, flare,
or saluting use; and parts, n.e.s.
License Requirements
Reason for Control: CC, UN
Control(s) Country Chart
CC applies to shotguns with a barrel CC Column 1
length over 18 in. (45.72 cm) but less
than 24 in. (60.96 cm) or buckshot
shotgun shells controlled by this
entry, regardless of end-user.
CC applies to shotguns with a barrel CC Column 2
length greater than or equal to 24 in.
(60.96 cm), regardless of end-user.
CC applies to shotguns with a barrel CC Column 3
length greater than or equal to 24 in.
(60.96 cm) if for sale or resale to
police or law enforcement.
UN applies to entire entry............. Rwanda
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control shotguns with a barrel
length of less than 18 inches (45.72 cm). (See 22 CFR part 121.)
These items are subject to the export licensing authority of the
Department of State, Office of Defense Trade Controls
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A985 Optical sighting devices for firearms (including shotguns
controlled by 0A984); discharge type arms (for example, stun guns,
shock batons, electric cattle prods, immobilization guns and
projectiles, etc.) except equipment used exclusively to treat or
tranquilize animals, and except arms designed solely for signal, flare,
or saluting use; and parts, n.e.s.
License Requirements
Reason for Control: CC, UN
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
UN applies to entire entry............. Rwanda
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A986 Shotgun shells, except buckshot shotgun shells, and parts.
License Requirements
Reason for Control: UN
Control(s): UN applies to entire entry. A license is required for
items controlled by this entry to Cuba, Libya, North Korea and
Rwanda. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0A988 Conventional military steel helmets as described by 0A018.f.1;
and machetes.
License Requirements
Reason for Control: UN
Control(s): UN applies to entire entry. A license is required for
items controlled by this entry to Cuba, Libya, North Korea and
Rwanda. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information
Note: Exports from the U.S. and transhipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See Sec. 746.7 of the EAR for additional information on
this requirement.)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
B. Test, Inspection and Production Equipment
0B001 Plant for the separation of isotopes of ``natural uranium'' and
``depleted uranium'', ``special fissile materials'' and ``other fissile
materials'', and specially designed or prepared equipment and
components therefor, as follows (see List of Items Controlled).
License Requirements
Reason for Control:
[[Page 2461]]
Control(s): Items described in 0B001 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110).
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Plant specially designed for separating isotopes of
``natural uranium'' and ``depleted uranium'', ``special fissile
materials'' and ``other fissile materials'', as follows:
a.1. Gaseous diffusion separation plant;
a.2. Gas centrifuge separation plant;
a.3. Aerodynamic separation plant;
a.4. Chemical exchange separation plant;
a.5. Ion-exchange separation plant;
a.6. Atomic vapor ``laser'' isotopic separation plant;
a.7. Molecular ``laser'' isotopic separation plant;
a.8. Plasma separation plant;
a.9. Electro magnetic separation plant;
b. Equipment and components, specially designed or prepared for
gaseous diffusion separation process, as follows:
b.1. Bellow valves made of or protected by materials resistant
to UF6 (e.g., aluminum, aluminum alloys, nickel or alloy
containing 60 weight percent or more nickel), with a diameter of 40
mm to 1500 mm;
b.2.a. Compressors (positive displacement, centrifugal and axial
flowtypes) or gas blowers with a suction volume capacity of 1
m3/min or more of UF6, and discharge pressure
up to 666.7 kPa, made of or protected by materials resistant to
UF6 (e.g. aluminum, aluminum alloys, nickel or alloy
containing 60 weight percent or more nickel);
b.2.b. Rotary shaft seals for compressors or blowers specified
in 0B001.b.2.a. and designed for a buffer gas in-leakage rate of
less than 1,000 cm3/min.;
b.3. Gaseous diffusion barriers made of porous metallic,
polymer or ceramic materials resistant to corrosion by
UF6 with a pore size of 10 to 100 nm, a thickness of 5 mm
or less, and, for tubular forms, a diameter of 25 mm or less;
b.4. Gaseous diffuser housings made of or protected by
materials resistant to corrosion by UF6;
b.5. Heat exchangers made of aluminum, copper, nickel, or
alloys containing more than 60 weight percent nickel, or
combinations of these metals as clad tubes, designed to operate at
sub-atmospheric pressure with a leak rate that limits the pressure
rise to less than 10 Pa per hour under a pressure differential of
100 kPa;
c. Equipment and components, specially designed or prepared for
gas centrifuge separation process, as follows:
c.1. Gas centrifuges;
c.2. Complete rotor assemblies consisting of one or more rotor
tube cylinders;
c.3. Rotor tube cylinders with a thickness of 12 mm or less, a
diameter of between 75 mm and 400 mm, made from any of the following
high strength-to-density ratio materials:
c.3.a. Maraging steel capable of an ultimate tensile strength of
2,050 MPa or more;
c.3.b. Aluminum alloys capable of an ultimate tensile strength
of 460 MPa or more; or
c.3.c. ``Fibrous or filamentary materials'' with a ``specific
modulus'' of more than 3.18 x 106 m and a ``specific
tensile strength'' greater than 76.2 x 103 m;
c.4. Magnetic suspension bearings consisting of an annular
magnet suspended within a housing made of UF6 resistant
materials (e.g. aluminum, aluminum alloys, nickel or alloy
containing 60 weight percent or more nickel) containing a damping
medium and having the magnet coupling with a pole piece or second
magnet fitted to the top cap of the rotor;
c.5. Specially prepared bearings comprising a pivot-cup assembly
mounted on a damper;
c.6. Rings or bellows with a wall thickness of 3 mm or less and
a diameter of between 75 mm and 400 mm and designed to give local
support to a rotor tube or to join a number together, made from any
of the following high strength-to-density ratio materials;
c.6.a. Maraging steel capable of an ultimate tensile strength of
2050 MPa or more;
c.6.b. Aluminum alloys capable of an ultimate tensile strength
of 460 MPa or more; or
c.6.c. ``Fibrous or filamentary materials'' with a ``specific
modulus'' of more than 3.18 x 106 m and a ``specific
tensile strength'' greater than 76.2 x 103 m;''.
c.7. Baffles of between 75 mm and 400 mm diameter for mounting
inside a rotor tube, made from any of the following high strength-
to-density ratio materials:
c.7.a. Maraging steel capable of an ultimate tensile strength of
2050 MPa or more;
c.7.b. Aluminum alloys capable of an ultimate tensile strength
of 460 MPa or more; or
c.7.c. ``Fibrous or filamentary materials'' with a ``specific
modulus'' of more than 3.18 x 106 m and a ``specific
tensile strength'' greater than 76.2 x 103 m;''.
c.8. Top and bottom caps of between 75 mm and 400 mm diameter to
fit the ends of a rotor tube, made from any of the following high
strength-to-density ratio materials:
c.8.a. Maraging steel capable of an ultimate tensile strength of
2050 MPa or more; or
c.8.b. Aluminum alloys capable of an ultimate tensile strength
of 460 MPa or more;
c.8.c. ``Fibrous or filamentary materials'' with a ``specific
modulus'' of more than 3.18 x 106 m and a ``specific
tensile strength'' greater than 76.2 x 103 m.
c.9. Molecular pumps comprised of cylinders having internally
machined or extruded helical grooves and internally machined bores;
c.10. Ring-shaped motor stators for multiphase AC hysteresis (or
reluctance) motors for synchronous operation within a vacuum in the
frequency range of 600 to 2,000 Hz and a power range of 50 to 1,000
Volt-Amps;
c.11. Frequency changers (converters or inverters) specially
designed or prepared to supply motor stators for gas centrifuge
enrichment, having all of the following characteristics, and
specially designed components therefor:
c.11.a. Multiphase output of 600 to 2000 Hz;
c.11.b. Frequency control better than 0.1%;
c.11.c. Harmonic distortion of less than 2%; and
c.11.d. An efficiency greater than 80%;
c.12. Centrifuge housing/recipients to contain the rotor tube
assembly of a gas centrifuge, consisting of a rigid cylinder of wall
thickness up to 30 mm with precision machined ends and made of or
protected by UF6 resistant materials;
c.13. Scoops consisting of tubes of up to 12 mm internal
diameter for the extraction of UF6 gas from within a
centrifuge rotor tube by a Pitot tube action, made of or protected
by UF6 resistant materials;
d. Equipment and components, specially designed or prepared for
aerodynamic separation process, as follows:
d.1. Separation nozzles consisting of slit-shaped, curved
channels having a radius of curvature less than 1 mm and having a
knife-edge contained within the nozzle which separates the gas
flowing through the nozzle into two streams;
d.2. Tangential inlet flow-driven cylindrical or conical tubes
(vortex tubes), made of or protected by UF6 resistant
materials with a diameter of between 0.5 cm and 4 cm and a length to
diameter ratio of 20:1 or less and with one or more tangential
inlets;
d.3. Compressors (positive displacement, centrifugal and axial
flow types) or gas blowers with a suction volume capacity of 2
m3/min, made of or protected by materials resistant to
UF6 (e.g., aluminum, aluminum alloys, nickel or alloy
containing 60 weight percent or more nickel), and rotary shaft seals
therefor;
d.4. Aerodynamic separation element housings, made of or
protected by materials resistant to UF6 to contain vortex
tubes or separation nozzles;
d.5. Heat exchangers made of aluminum, copper, nickel, or alloy
containing more than 60 weight percent nickel, or combinations of
these metals as clad tubes, designed to operate at pressures of 600
kPa or less;
d.6. Bellows valves made of or protected by UF6
resistant materials with a diameter of 40 to 1500 mm;
d.7. Process systems for separating UF6 from carrier
gas (hydrogen or helium) to 1 ppm UF6 content or less,
including:
d.7.a. Cryogenic heat exchangers and cryoseparators capable of
temperatures of -120 deg. C or less;
d.7.b. Cryogenic refrigeration units capable of temperatures of
-120 deg. C or less;
d.7.c. Separation nozzle or vortex tube units for the separation
of UF6 from carrier gas;
d.7.d. UF6 cold traps capable of temperatures of
-20 deg. C or less;
e. Equipment and components, specially designed or prepared for
chemical exchange separation process, as follows:
e.1. Fast-exchange liquid-liquid centrifugal contactors with
stage residence time of 30 seconds or less and resistant to
concentrated hydrochloric acid (e.g., made of or lined with suitable
plastic materials such as fluorocarbon polymers or lined with
glass);
[[Page 2462]]
e.2. Fast-exchange liquid-liquid pulse columns with stage
residence time of 30 seconds or less and resistant to concentrated
hydrochloric acid (e.g., made of or lined with suitable plastic
materials such as fluorocarbon polymers or lined with glass);
e.3. Electrochemical reduction cells designed to reduce uranium
from one valence state to another;
e.4. Electrochemical reduction cells feed equipment to take
U+4 from the organic stream and, for those parts in
contact with the process stream, made of or protected by suitable
materials (e.g., glass, fluorocarbon polymers, polyphenyl sulphate,
polyether sulfone and resin-impregnated graphite);
e.5. Feed preparation systems for producing high purity uranium
chloride solution consisting of dissolution, solvent extraction and/
or ion exchange equipment for purification and electrolytic cells
for reducing the uranium U+6 or U+4 to
U+3;
e.6. Uranium oxidation systems for oxidation of U+3
to U+4;
f. Equipment and components, specially designed or prepared for
ion-exchange separation process, as follows:
f.1. Fast reacting ion-exchange resins, pellicular or porous
macro-reticulated resins in which the active chemical exchange
groups are limited to a coating on the surface of an inactive porous
support structure, and other composite structures in any suitable
form, including particles or fibers, with diameters of 0.2 mm or
less, resistant to concentrated hydrochloric acid and designed to
have an exchange rate half-time of less than 10 seconds and capable
of operating at temperatures in the range of 100 deg. C to 200 deg.
C;
f.2. Ion exchange columns (cylindrical) with a diameter greater
than 1000 mm, made of or protected by materials resistant to
concentrated hydrochloric acid (e.g., titanium or fluorocarbon
plastics) and capable of operating at temperatures in the range of
100 deg. C to 200 deg. C and pressures above 0.7 MPa;
f.3. Ion exchange reflux systems (chemical or electrochemical
oxidation or reduction systems) for regeneration of the chemical
reducing or oxidizing agents used in ion exchange enrichment
cascades;
g. Equipment and components, specially designed or prepared for
atomic vapor ``laser'' isotopic separation process, as follows:
g.1. High power electron beam guns with total power of more than
50 kW and strip or scanning electron beam guns with a delivered
power of more than 2.5 kW/cm for use in uranium vaporization
systems;
g.2. Trough shaped crucibles and cooling equipment made of or
protected by materials resistant to heat and corrosion of molten
uranium or uranium alloy's (e.g., tantalum, yttria-coated graphite,
graphite coated with other rare earth oxides or mixtures thereof);
N.B: See also 2A225.
g.3. Product and tails collector systems made of or lined with
materials resistant to the heat and corrosion of uranium vapor, such
as yttria-coated graphite or tantalum;
g.4. Separator module housings (cylindrical or rectangular
vessels) for containing the uranium metal vapor source, the electron
beam gun and the product and tails collectors;
g.5. ``Lasers'' or ``laser'' systems for the separation of
uranium isotopes with a spectrum frequency stabilizer for operation
over extended periods of time;
N.B.: See also 6A005 and 6A205.
h. Equipment and components, specially designed or prepared for
molecular ``laser'' isotopic separation process, as follows:
h.1. Supersonic expansion nozzles for cooling mixtures of
UF6 and carrier gas to 150 K or less and made from
UF6 resistant materials;
h.2. Uranium fluoride (UF5) product collectors
consisting of filter, impact, or cyclone-type collectors or
combinations thereof, and made of UF5/UF6
resistant materials (e.g. aluminum, aluminum alloys, nickel or
alloys containing 60 weight percent of nickel and UF6
resistant fully fluorinated hydrocarbon polymers);
h.3. Equipment for fluorinating UF5 to
UF6;
h.4. Compressors made of or protected by materials resistant to
UF6 (e.g., aluminum, aluminum alloys, nickel or alloy
containing 60 weight percent or more nickel), and rotary shaft seals
therefor;
h.5. Process systems for separating UF6 from carrier
gas (e.g., nitrogen or argon) including:
h.5.a. Cryogenic heat exchangers and cryoseparators capable of
temperatures of -120 deg.C or less;
h.5.b. Cryogenic refrigeration units capable of temperatures of
-120 deg.C or less;
h.5.c. UF6 cold traps capable of temperatures of -20 deg.C or
less;
h.6. ``Lasers'' or ``laser'' systems for the separation of
uranium isotopes with a spectrum frequency stabilizer for operation
over extended periods of time;
N.B.: See also 6A005 and 6A205.
i. Equipment and components, specially designed or prepared for
plasma separation process, as follows:
i.1. Product and tails collectors made of or protected by
materials resistant to the heat and corrosion of uranium vapor such
as yttria-coated graphite or tantalum;
i.2. Radio frequency ion excitation coils for frequencies of
more than 100 kHz and capable of handling more than 40 kW mean
power;
i.3. Microwave power sources and antennae for producing or
accelerating ions, with an output frequency greater than 30 GHz and
mean power output greater than 50 kW;
i.4. Uranium plasma generation systems;
i.5. Liquid uranium metal handling systems consisting of
crucibles, made of or protected by suitable corrosion and heat
resistant materials (e.g., tantalum, yttria-coated graphite,
graphite coated with other rare earth oxides or mixtures thereof),
and cooling equipment for the crucibles;
N.B.: See also 2A225.
i.6. Separator module housings (cylindrical) for containing the
uranium plasma source, radio-frequency drive coil and the product
and tails collectors and made of a suitable non-magnetic material
(e.g. stainless steel);
j. Equipment and components, specially designed or prepared for
electromagnetic separation process, as follows:
j.1. Ion sources, single or multiple, consisting of a vapor
source, ionizer, and beam accelerator made of suitable materials
(e.g., graphite, stainless steel, or copper) and capable of
providing a total ion beam current of 50 mA or greater;
j.2. Ion collector plates for collection of enriched or depleted
uranium ion beams, consisting of two or more slits and pockets and
made of suitable non-magnetic materials (e.g., graphite or stainless
steel);
j.3. Vacuum housings for uranium electromagnetic separators made
of non-magnetic materials (e.g. graphite or stainless steel) and
designed to operate at pressures of 0.1 Pa or lower;
j.4. Magnet pole pieces with a diameter greater than 2 m;
j.5. High voltage power supplies for ion sources, having all of
the following characteristics:
j.5.a. Capable of continuous operation;
j.5.b. Output voltage of 20,000 V or greater;
j.5.c. Output current of 1 A or greater;
j.5.d. Voltage regulation of better than 0.01% over a period of
8 hours;
N.B.: See also 3A227.
j.6. Magnet power supplies (high power, direct current) having
all of the following characteristics:
j.6.a. Capable of continuous operation with a current output of
500 A or greater at a voltage of 100 V or greater;
j.6.b. Current or voltage regulation better than 0.01% over a
period of 8 hours.
N.B.: See also 3A226.
0B002 Specially designed or prepared auxiliary systems, equipment and
components, as follows, (see List of Items Controlled) for isotope
separation plant specified in 0B001, made of or protected by
UF6 resistant materials.
License Requirements
Reason for Control:
Control(s): Items described in 0B002 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Feed autoclaves, ovens or systems used for passing
UF6 to the enrichment process;
b. Desublimers or cold traps, used to remove UF6 from
the enrichment process for subsequent transfer upon heating;
c. Product and tails stations for transferring UF6
into containers;
d. Liquefaction or solidification stations used to remove
UF6 from the enrichment process by compressing and
converting UF6 to a liquid or solid form;
e. Piping systems and header systems specially designed for
handling UF6 within gaseous diffusion, centrifuge or
aerodynamic cascades made of or protected by UF6
resistant materials;
[[Page 2463]]
f.1. Vacuum manifolds or vacuum headers having a suction
capacity of 5 m\3\/minute or more; or
f.2. Vacuum pumps specially designed for use in UF6
bearing atmospheres;
g. UF6 mass spectrometers/ion sources specially
designed or prepared for taking on-line samples of feed, product or
tails from UF6 gas streams and having all of the
following characteristics:
g.1. Unit resolution for mass of more than 320 amu;
g.2. Ion sources constructed of or lined with nichrome or monel,
or nickel plated;
g.3. Electron bombardment ionization sources; and
g.4. Collector system suitable for isotopic analysis.
0B003 Plant for the production of uranium hexafluoride
(UF6) and specially designed or prepared equipment and
components therefor, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $ value
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Plant for the production of UF6;
b. Equipment and components, as follows, specially designed of
prepared for UF6 production:
b.1. Fluorination and hydrofluorination screw and fluid bed
reactors and flame towers;
b.2. Distillation equipment for the purification of
UF6.
0B004 Plant for the production of heavy water, deuterium or deuterium
compounds, and specially designed or prepared equipment and components
therefor, as follows (see List of Items Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 0B004 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Plant for the production of heavy water, deuterium or
deuterium compounds, as follows:
a.1. Hydrogen sulphide-water exchange plants;
a.2. Ammonia-hydrogen exchange plants;
a.3. Hydrogen distillation plants;
b. Equipment and components, as follows, designed for:
b.1. Hydrogen sulphide-water exchange process:
b.1.a. Tray exchange towers;
b.1.b. Hydrogen sulphide gas compressors;
b.2. Ammonia-hydrogen exchange process:
b.2.a. High-pressure ammonia-hydrogen exchange towers;
b.2.b. High-efficiency stage contactors;
b.2.c. Submersible stage recirculation pumps;
b.2.d. Ammonia crackers designed for pressures of more than 3
MPa;
b.3. Hydrogen distillation process:
b.3.a. Hydrogen cryogenic distillation towers and cold boxes
designed for operation below 35 K (-238 deg. C);
b.3.b. Turboexpanders or turboexpander-compressor sets designed
for operation below 35 K (-238 deg. C);
b.4. Heavy water concentration process to reactor grade level
(99.75 weight percent deuterium oxide):
b.4.a. Water distillation towers containing specially designed
packings;
b.4.b. Ammonia distillation towers containing specially designed
packings;
b.4.c. Catalytic burners for conversion of fully enriched
deuterium to heavy water;
b.4.d. Infrared absorption analyzers capable of on-line
hydrogen-deuterium ratio analysis where deuterium concentrations are
equal to or more than 90 weight percent.
0B005 Plant specially designed for the fabrication of ``nuclear
reactor'' fuel elements and specially designed equipment therefor.
License Requirements
Reason for Control:
Control(s): Items described in 0B005 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: A plant for the fabrication of ``nuclear
reactor'' fuel elements includes equipment which: (a) Normally comes
into direct contact with or directly processes or controls the
production flow of nuclear materials; (b) Seals the nuclear
materials within the cladding; (c) Checks the integrity of the
cladding or the seal; and (d) Checks the finish treatment of the
solid fuel
Items: The List of Items Controlled is contained in the ECCN heading
0B006 Plant for the reprocessing of irradiated ``nuclear reactor''
fuel elements, and specially designed or prepared equipment and
components therefor, including (see List of Items Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 0B006 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Fuel element chopping or shredding machines, i.e. remotely
operated equipment to cut, chop, shred or shear irradiated ``nuclear
reactor'' fuel assemblies, bundles or rods;
b. Dissolvers, critically safe tanks (e.g. small diameter,
annular or slab tanks) specially designed or prepared for the
dissolution of irradiated ``nuclear reactor'' fuel, which are
capable of withstanding hot, highly corrosive liquids, and which can
be remotely loaded and maintained;
c. Counter-current solvent extractors and ion-exchange
processing equipment specially designed or prepared for use in a
plant for the reprocessing of irradiated ``natural uranium'',
``depleted uranium'' or ``special fissile materials'' and ``other
fissile materials'';
d. Process control instrumentation specially designed or
prepared for monitoring or controlling the reprocessing of
irradiated ``natural uranium'', ``depleted uranium'' or ``special
fissile materials'' and ``other fissile materials'';
e. Holding or storage vessels specially designed to be
critically safe and resistant to the corrosive effects of nitric
acid;
Note: Critically safe tanks may have the following features:
1. Walls or internal structures with a boron equivalent of at
least two percent;
2. A maximum diameter or 175 mm for cylindrical vessels; or
3. A maximum width of 75 mm for either a slab or annular vessel.
f. Complete systems specially designed or prepared for the
conversion of plutonium nitrate to plutonium oxide;
g. Complete systems specially designed or prepared for the
production of plutonium metal.
Note: Plant for the reprocessing of irradiated ``nuclear
reactor'' fuel elements includes equipment and components which
normally come into direct contact with and directly control the
irradiated fuel and the major nuclear material and fission product
processing streams.
0B008 Equipment for ``nuclear reactors''.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $ value
GBS: N/A
CIV: N/A
[[Page 2464]]
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Simulators specially designed for ``nuclear reactors'';
b. Ultrasonic or eddy current test equipment specially designed
for ``nuclear reactors''.
0B009 Plant for the conversion of uranium and equipment specially
designed or prepared therefor, as follows (see List of Items
Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 0B009 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Systems for the conversion of uranium ore concentrates to
UO3;
b. Systems for the conversion of UO3 to
UF6;
c. Systems for the conversion of UO3 to
UO2;
d. Systems for the conversion of UO2 to
UF4;
e. Systems for the conversion of UF4 to
UF6;
f. Systems for the conversion of UF4 to uranium
metal;
g. Systems for the conversion of UF6 to
UO2;
h. Systems for the conversion of UF6 to
UF4.
0B986 Equipment specially designed for manufacturing shotgun shells;
and ammunition hand-loading equipment for both cartridges and shotgun
shells.
License Requirements
Reason for Control: UN
Control(s): UN applies to entire entry. A license is required for
items controlled by this entry to Cuba, Libya, North Korea and
Rwanda. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
C. Materials
0C001 ``Natural uranium'' or ``depleted uranium'' or thorium in the
form of metal, alloy, chemical compound or concentrate and any other
material containing one or more of the foregoing.
License Requirements
Reason for Control:
Control(s): Items described in 0C001 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 1A290. (2) This entry does not
control: (a) Four grams or less of ``natural uranium'' or ``depleted
uranium'' when contained in a sensing component in instruments (see
10 CFR part 110); or (b) ``Depleted uranium'' specially fabricated
for the following civil non-nuclear applications: Shielding;
Packaging; Ballasts; or Counter-weights
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0C002 ``Special fissile materials'' and ``other fissile materials'';
except, four ``effective grams'' or less when contained in a sensing
component in instruments.
License Requirements
Reason for Control:
Control(s): Items described in 0C002 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The List of Items Controlled is Contained in the ECCN heading
0C004 Deuterium, heavy water, deuterated paraffins and other compounds
of deuterium, and mixtures and solutions containing deuterium, in which
the isotopic ratio of deuterium to hydrogen exceeds 1:5000.
License Requirements
Reason for Control:
Control(s): Items described in 0C004 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0C005 Graphite, nuclear-grade, having a purity level of less than 5
parts per million ``boron equivalent'' and with a density greater than
1.5 g/cm \3\.
License Requirements
Reason for Control:
Control(s): Items described in 0C005 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0C006 Nickel powder or porous nickel metal, specially prepared for the
manufacture of gaseous diffusion barriers, as follows (see List of
Items Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 0C006 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: See also 1C240
Related Definitions: N/A
Items: a. Powder with a nickel purity content of 99.9 weight percent
or more and a mean particle size of less than 10 micrometers
measured by American Society for Testing and Materials (ASTM) B330
standard and a high degree of particle size uniformity; or
b. Porous nickel metal produced from materials specified in
0C006.a.
0C201 Specially prepared compounds or powders, other than nickel,
resistant to corrosion by UF6 (e.g. aluminum oxide and fully
fluorinated hydrocarbon polymers), for the manufacture of gaseous
diffusion barriers, having a purity of 99.9 weight percent or more and
a mean particle size of less than 10 micrometers measured by American
Society for Testing and Materials (ASTM) B330 standard and a high
degree of particle size uniformity.
License Requirements
Reason for Control:
Control(s): Items described in 0C201 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
[[Page 2465]]
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
D. Software
0D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of goods controlled by this
Category.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to ``software'' for items NP Column 1
controlled by 0B003.
NP applies to ``software'' for items NP Column 2
controlled by 0B008.
AT applies to entire entry AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) ``Software'' for items controlled by 0A001,
0A002, 0B001, 0B002, 0B004, 0B005, 0B006, 0B009, 0C001, 0C002,
0C004, 0C005, 0C006, and 0C201 are subject to the export licensing
authority of the Nuclear Regulatory Commission (see 10 CFR part
110). (2) ``Software'' for items controlled by 0A002 are subject to
the export licensing authority of the U.S. Department of State,
Office of Defense Trade Controls (see 22 CFR part 121)
.Related Definitions: N/A
Items: The List of Items Controlled is contained in the ECCN heading
E. Technology
0E001 ``Technology'' according to the Nuclear Technology Note for the
``development'', ``production'' or ``use'' of items controlled by this
Category.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to ``technology'' for items NP Column 1
controlled by 0B003.
NP applies to ``technology'' for items NP Column 2
controlled by 0B008.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: ``Technology'' for items controlled by 0A001,
0A002, 0B001, 0B002, 0B004, 0B005, 0B006, 0B009, 0C001, 0C002,
0C004, 0C005, 0C006, and 0C201 are subject to the export licensing
authority of the Department of Energy (see 10 CFR part 810)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0E018 ``Technology'' for the ``development'', ``production'', or
``use'' of items controlled by 0A018.b through 0A018.e.
License Requirements
Reason for Control: NS, AT, UN
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
UN applies to entire entry............. Rwanda
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
0E984 ``Technology'' for the ``development'' or ``production'' of
shotguns controlled by 0A984 and buckshot shotgun shells.
License Requirements
Reason for Control: CC, UN
Control(s) Country Chart
CC applies to ``technology'' for CC Column 1
shotguns with a barrel length over 18
in. (45.72 cm) but less than 24 in.
(60.96 cm) and shotgun shells,
regardless of end-user.
CC applies to ``technology'' for CC Column 2
shotguns with a barrel length over 24
in. (60.96 cm), regardless of end-user.
CC applies to ``technology'' for CC Column 3
shotguns with a barrel length over 24
in. (60.96 cm) if for sale or resale
to police or law enforcement.
UN applies to entire entry............. Rwanda
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
EAR99 Items subject to the EAR that are not elsewhere specified in
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Category 1--Materials, Chemicals, ``Microorganisms'' & ``Toxins''
A. Systems, Equipment and Components
1A001 Components made from fluorinated compounds, as follows (see List
of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: Items specially designed or modified for missiles
or for items on the U.S. Munitions List are subject to the export
licensing authority of the U.S. Department of State, Office of
Defense Trade Controls (see 22 CFR part 121.)
Related Definitions: N/A
Items: a. Seals, gaskets, sealants or fuel bladders specially
designed for ``aircraft'' or aerospace use made from more than 50%
by weight of any of the materials controlled by 1C009.b or 1C009.c;
b. Piezoelectric polymers and copolymers made from vinylidene
fluoride materials controlled by 1C009.a:
b.1. In sheet or film form; and
b.2. With a thickness exceeding 200 m;
c. Seals, gaskets, valve seats, bladders or diaphragms made from
fluoroelastomers containing at least one vinylether monomer,
specially designed for ``aircraft'', aerospace or missile use.
1A002 ``Composite'' structures or laminates, having any of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry except NS Column 2
finished or semi-finished items
specially designed for purely civilian
applications as follows: sporting
goods, automotive industry, machine
tool industry, and medical
applications.
NP applies to 1A002.b.1 in the form of NP Column 1
tubes with an inside diameter between
75 mm and 400 mm.
AT applies to entire entry............. AT Column 1
[[Page 2466]]
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $1500; N/A for ``composite'' structures or laminates controlled
by 1A002.a, having an organic ``matrix'' and made from materials
controlled by 1C010.c or 1C010.d
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: (1) See also 1A202, 9A010, and 9A110. (2) This
entry does not control ``composite'' structures or laminates made
from epoxy resin impregnated carbon ``fibrous or filamentary
materials'' for the repair of aircraft structures of laminates,
provided that the size does not exceed one square meter (1
m2)
Related Definitions: N/A
Items: a. An organic ``matrix'' and made from materials controlled
by 1C010.c, 1C010.d or 1C010.e; or
b. A metal or carbon ``matrix'' and made from:
b.1. Carbon ``fibrous or filamentary materials'' with:
b.1.a. A ``specific modulus'' exceeding 10.15 x 106
m; and
b.1.b. A ``specific tensile strength'' exceeding 17.7 x
104 m; or
b.2. Materials controlled by 1C010.c.
Technical Notes: (1) Specific modulus: Young's modulus in
pascals, equivalent to N/m2 divided by specific weight in
N/m3, measured at a temperature of (2962) K
((232) C) and a relative humidity of (505)%.
(2) Specific tensile strength: ultimate tensile strength in pascals,
equivalent to N/m2 divided by specific weight in N/
m3, measured at a temperature of (2962) K
((232) C) and a relative humidity of (505)%.
1A003 Manufactures of non-fluorinated polymeric substances controlled
by 1C008.a.3 in film, sheet, tape or ribbon form with either of the
following characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $200
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: This entry does not control manufactures when
coated or laminated with copper and designed for the production of
electronic printed circuit boards
Related Definitions: N/A
Items: a. With a thickness exceeding 0.254 mm; or
b. Coated or laminated with carbon, graphite, metals or magnetic
substances'
1A004 Protective and detection equipment and components, not specially
designed for military use. (These items are subject to the export
licensing authority of the U.S. Department of State, Office of Defense
Trade Controls. See 22 CFR part 121.)
1A005 Body armor, and specially designed components therefor, not
manufactured to military standards or specifications, nor to their
equivalents in performance.
License Requirements
Reason for Control: NS, UN, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
UN applies to entire entry. A license is required for items controlled
by this entry to Cuba, Libya, North Korea and Rwanda. The Commerce
Country Chart is not designed to determine licensing requirements for
this entry. See part 746 of the EAR for additional information.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) Bulletproof and bullet resistant vests (body
armor) NIJ levels III and IV, are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. (See 22 CFR part 121.) (2) This entry does not control
individual suits of body armor and accessories therefor, when
accompanying their users for his/her own personal protection. (3)
This entry does not control body armor designed to provide frontal
protection only from both fragment and blast from non-military
explosive devices
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1A102 Resaturated pyrolized carbon-carbon materials designed for
``missiles''. (These items are subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. See 22 CFR part 121.)
1A202 Composite structures, other than those controlled by 1A002, in
the form of tubes with an inside diameter of between 75 mm and 400 mm
made with any of the ``fibrous or filamentary materials'' specified in
1C210.a or with carbon prepreg materials controlled by 1C210.c.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 9A010 and 9A110
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
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
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1A226 Specialized packings for use in separating heavy water from
ordinary water and made of phosphor bronze mesh (chemically treated to
improve wettability) and designed for use in vacuum distillation
towers.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1A227 High-density (lead glass or other) radiation shielding windows
greater than 0.09 m\2\ on cold area and with a density greater than 3
g/cm\3\ and a thickness of 100 mm or greater; and specially designed
frames therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
[[Page 2467]]
List of Items Controlled
Unit: $ value
Related Controls: Nuclear equipment is also subject to the export
licensing authority of the Nuclear Regulatory Commission. (See 10
CFR part 110.)
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
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
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: (1) This entry does not control depleted uranium
in fabricated forms for use in munitions. See 22 CFR part 121 for
depleted uranium subject to the export licensing authority of the
U.S. Department of State, Office of Defense Trade Controls. (2)
Depleted uranium that is not fabricated for use in munitions or
fabricated into commodities solely to take advantage of its high
density (e.g., aircraft, ship, or other counterweights) or in the
forms listed in this entry are subject to the export licensing
authority of the Nuclear Regulatory Commission. (See 10 CFR part
110.) (3) See also 0C001
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
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; smoke bombs; non-irritant smoke flares,
canisters, grenades and charges; other pyrotechnic articles having dual
military and commercial use; and fingerprinting powders, dyes and inks.
License Requirements
Reason for Control: CC
Control(s) Country Chart
CC applies to entire entry............. CC Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
B. Test, Inspection and Production Equipment
1B001 Equipment for the production of fibers, prepregs, preforms or
``composites'' controlled by 1A002 or 1C010, and specially designed
components and accessories therefor.
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to entire entry, except MT Column 1
1B001.d.4 and .f.
NP applies to filament winding machines NP Column 1
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.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A for MT and for 1B001.a; $5,000 for all other items
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 1B101 and 1B201; and for accelerators and
systems containing accelerators see 3A101
Related Definitions: N/A
Items: a. Filament winding machines of which the motions for
positioning, wrapping and winding fibers are coordinated and
programmed in three or more axes, specially designed for the
manufacture of ``composite'' structures or laminates from ``fibrous
or filamentary materials'';
b. Tape-laying or tow-placement machines of which the motions
for positioning and laying tape, tows or sheets are coordinated and
programmed in two or more axes, specially designed for the
manufacture of ``composite'' airframe or ``missile'' structures;
c. Multidirectional, multidimensional weaving machines or
interlacing machines, including adapters and modification kits, for
weaving, interlacing or braiding fibers to manufacture ``composite''
structures;
Note: 1B001.c does not control textile machinery not modified
for the above end-uses.
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 capable of inspecting
defects three dimensionally, using ultrasonic or X-ray tomography
and specially designed for ``composite'' materials.
1B002 Systems and components therefor, specially designed to avoid
contamination and specially designed for producing metal alloys, metal
alloy powder or alloyed materials controlled by 1C002.a.2, 1C002.b or
1C002.c.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B003 Tools, dies, molds or fixtures, for ``superplastic forming'' or
``diffusion bonding'' titanium or aluminum or their alloys, specially
designed for the manufacture of (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; components in $ value
Related Controls: For specially designed production equipment of
systems, sub-systems and components controlled by 9A005 to 9A009,
9A011, 9A101, 9A105 to 9A109, 9A111, and 9A116 to 9A120 usable in
``missiles'', see 9B115.
Related Definitions: N/A
Items: a. Airframe or aerospace structures;
b. ``Aircraft'' or aerospace engines; or
[[Page 2468]]
c. Specially designed components for those structures or
engines.
1B018 Equipment on the International Munitions List.
License Requirements
Reason for Control: NS, MT, RS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to equipment for the MT Column 1
``production'' of rocket propellants.
RS applies to 1B018.a.................. RS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000 for 1B018.a for countries WITHOUT an ``X'' in RS; Column
2 on the Country Chart contained in Supplement No. 1 to part 738 of
the EAR; $5000 for 1B018.b
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Equipment for the ``production'' of military explosives
and solid propellants.
a.1. Complete installations;
a.2. Specialized components (for example, dehydration presses;
extrusion presses for the extrusion of small arms, cannon and rocket
propellants; cutting machines for the sizing of extruded
propellants; sweetie barrels (tumblers) 6 feet and over in diameter
and having over 500 pounds product capacity; and continuous mixers
for solid propellants); or
a.3. Nitrators, continuous types; and
a.4. Specially designed parts and accessories therefor.
b. Environmental chambers capable of pressures below
(10-4) Torr, and specially designed components therefor.
1B101 Equipment, other than that controlled by 1B001, for the
``production'' of structural composites, and specially designed
components and accessories therefor.
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to 1B101.a only............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 1B201
Related Definitions: Components and accessories controlled by this
entry include molds, mandrels, dies, fixtures and tooling for the
preform processing, curing, casting, sintering or bonding of
composite structures, laminates and manufactures thereof
Items: a. Filament winding machines of which the motions for
positioning, wrapping and winding fibers can be coordinated and
programmed in three or more axes, designed to fabricate composite
structures or laminates from fibrous or filamentary materials, and
coordinating and programming controls;
b. Tape-laying machines of which the motions for positioning and
laying tape and sheets can be coordinated and programmed in two or
more axes, designed for the manufacture of composite airframe and
``missile'' structures;
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.
1B115 Equipment for the ``production'', handling and acceptance
testing of propellants or propellant constituents controlled by 1C011,
1C111 or on the U.S. Munitions List, and specially designed components
therefor.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; components in $ value
Related Controls: (1) The only batch or continuous mixers controlled
by this entry are those which have provision for mixing under vacuum
in the range of zero to 13.326 kPa and with a temperature control
capacity of the mixing chamber: (a) Batch mixers having a total
volumetric capacity of 110 liters or more and at least one mixing/
kneeding shaft mounted off center; (b) Continuous mixers having two
or more mixing/kneeding shafts and capability to open the mixing
chamber. (2) For equipment specially designed for the production of
military propellants or propellant consistuents, see the U.S.
Munitions List. (3) This entry does control equipment for the
``production'', handling and acceptance testing of boron carbide
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN heading
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 deg.C) to 3,173 K (2,900
deg.C) temperature range at pressures of 130 Pa to 20 kPa.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B201 Filament winding machines, other than those controlled by 1B001
or 1B101, in which the motions for positioning, wrapping, and winding
fibers are coordinated and programmed in two or more axes, specially
designed to fabricate composite structures or laminates from ``fibrous
or filamentary materials'' and capable of winding cylindrical rotors of
diameter between 75 mm and 400 mm and lengths of 600 mm or greater and
coordinating and programming controls and precision mandrels therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
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
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
[[Page 2469]]
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B226 Electromagnetic isotope separators, designed for or equipped
with, single or multiple ion sources capable of providing a total ion
beam current of 50 mA or greater.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry includes separators capable of
enriching stable isotopes and separators with the ion sources and
collections both in the magnetic field and those configurations in
which they are external to the field
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B227 Ammonia synthesis converters or ammonia synthesis units in which
the synthesis gas (nitrogen and hydrogen) is withdrawn from an ammonia/
hydrogen high-pressure exchange column and the synthesized ammonia is
returned to that column.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1B228 Hydrogen-cryogenic distillation columns having all of the
characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Heavy water production equipment is also subject
to the export licensing authority of the Nuclear Regulatory
Commission. (See 10 CFR part 110.)
Related Definitions: ``Fine-grain stainless steels'' in this entry
are defined to be fine-grain austenitic stainless steels with an
ASTM (or equivalent standard) grain size number of 5 or greater
Items: a. Designed to operate with internal temperatures of 35 K
(-238 deg.C) or less;
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 1 m or greater and effective
lengths of 5 m or greater.
1B229 Water-hydrogen sulphide exchange tray columns constructed from
fine carbon steel with a diameter of 1.8 m or greater, which can
operate at a nominal pressure of 2 MPa or greater, and internal
contactors therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) See 0B004 for columns which are specially
designed or prepared for the production of heavy water. These items
are controlled on the NSG Trigger List (INFCIRC/254/part (2) See 10
CFR part 110 for heavy water production equipment subject to the
export licensing authority of the Nuclear Regulatory Commission
Related Definition: (1) This entry includes internal contactors of
the columns are segmented trays with an effective assembled diameter
of 1.8 m (6 ft.) or greater, are designed to facilitate
countercurrent contacting and constructed of materials resistant to
corrosion by hydrogen sulfide/water mixtures. These may be sieve
trays, valve trays, bubble cap trays or turbogrid trays. (2) Fine
carbon steel in this entry is defined to be steel with the
austenitic ASTM (or equivalent standard) grain size number of 5 or
greater. (3) Materials resistant to corrosion by hydrogen sulfide/
water mixtures in this entry are defined to be stainless steels with
a carbon content of 0.03% or less
Items: The list of items controlled is contained in the ECCN heading
1B230 Pumps circulating solutions of diluted or concentrated potassium
amide catalyst in liquid ammonia (KNH2/NH3), with
all of the characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Heavy water production equipment is also subject
to the export licensing authority of the Nuclear Regulatory
Commission. (See 10 CFR part 110.)
Related Definitions: N/A
Items: a. Airtight (i.e., hermetically sealed);
b. For concentrated potassium amide solutions (1% or greater),
operating pressure of 1.5-60 MPa (15-600 atmospheres); for dilute
potassium amide solutions (less than 1%), operating pressure of 20-
60 MPa (200-600 atmospheres); and
c. A capacity greater than 8.5 m3/hr.
1B231 Tritium facilities, plant or equipment, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control tritium, tritium
compounds, and mixtures containing tritium, or products or devices
thereof. See 10 CFR part 110 for tritium subject to the export
licensing authority of the Nuclear Regulatory Commission
Related Definitions: N/A
Items: a. Facilities or plant for the production, recovery,
extraction, concentration, or handling of tritium;
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 designed for
operation below 35 K (-238 deg. C) and a throughput of hydrogen gas of
1000 kg/hr or greater.
License Requirements
[[Page 2470]]
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1B233 Lithium isotope separation facilities, plant or equipment, as
follows (see List of Items Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 1B233 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Facilities or plant for the separation of lithium
isotopes;
b. Equipment for the separation of lithium isotopes, 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. Materials
Technical Note: Metals and alloys: Unless provision to the
contrary is made, the words ``metals'' and ``alloys'' in 1C001 to
1C012 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 use as absorbers of
electromagnetic waves, or intrinsically conductive polymers, as follows
(see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 1C101
Related Definitions: N/A
Items: a. Materials for absorbing frequencies exceeding 2 x 10\8\ Hz
but less than 3 x 10\12\ Hz.
Notes: 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
characteristics:
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 deg.
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 deg. 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 x 10\6\ N/m\2\; and
3. Compressive strength less than 14 x 10\6\ N/m\2\;
d. Planar absorbers made of sintered ferrite, having:
1. A specific gravity exceeding 4.4; and
2. A maximum operating temperature of 548 K (275 deg. C).
Note 2: Nothing in 1C001.a releases magnetic materials to
provide absorption when contained in paint.
b. Materials for absorbing frequencies exceeding 1.5 x 10\14\ Hz
but less than 3.7 x 10 \14\ Hz and not transparent to visible light;
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.
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
NS applies to entire entry............. NS Column 2
NP applies to 1C002.a.2.c or a.2.d if NP Column 1
they exceed the parameters stated in
1C202.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 1C202. This entry does not control metal
alloys, metal alloy powder or alloyed materials for coating
substrates
Related Definition: N/A
Items: a. Metal alloys, as follows:
a.1. Nickel or titanium-based alloys in the form of aluminides,
as follows, in crude or semi-fabricated forms:
a.1.a. Nickel aluminides containing a minimum of 15 weight
percent aluminum, a maximum of 38 weight percent aluminum and at
least one additional alloying element;
a.1.b. Titanium aluminides containing 10 weight percent or more
aluminum and at least one additional alloying element;
a. 2. Metal alloys, as follows, made from metal alloy powder or
particulate material controlled by 1C002.b:
a.2.a. Nickel alloys with:
a.2.a.1. A stress-rupture life of 10,000 hours or longer at 923
K (650 deg. C) at a stress of 676 MPa; or
a.2.a.2. A low cycle fatigue life of 10,000 cycles or more at
823 K (550 deg. C) at a maximum stress of 1,095 MPa;
a.2.b. Niobium alloys with:
a.2.b.1. A stress-rupture life of 10,000 hours or longer at
1,073 K (800 deg. C) at a stress of 400 MPa; or
a.2.b.2. A low cycle fatigue life of 10,000 cycles or more at
973 K (700 deg. C) at a maximum stress of 700 MPa;
a.2.c. Titanium alloys with:
[[Page 2471]]
a.2.c.1. A stress-rupture life of 10,000 hours or longer at 723
K (450 deg. C) at a stress of 200 MPa; or
a.2.c.2. A low cycle fatigue life of 10,000 cycles or more at
723 K (450 deg. C) at a maximum stress of 400 MPa;
a.2.d. Aluminum alloys with a tensile strength of:
a.2.d.1. 240 MPa or more at 473 K (200 deg. C); or
a.2.d.2. 415 MPa or more at 298 K (25 deg. C);
a.2.e. Magnesium alloys with a tensile strength of 345 MPa or
more and 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;
Technical Note 1: The metal alloys in 1C002.a 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.
b. Metal alloy powder or particulate material for materials
controlled by 1C002.a, as follows:
b.1. Made from any of the following composition systems:
Technical Note: X in the following equals one or more alloying
elements.
b.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 m in 10\9\ alloy particles;
b.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);
b.1.c. Titanium alloys (Ti-Al-X or Ti-X-Al);
b.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
b.1.e. Magnesium alloys (Mg-Al-X or Mg-X-Al); and
b.2. Made in a controlled environment by any of the following
processes:
b.2.a. ``Vacuum atomization'';
b.2.b. ``Gas atomization'';
b.2.c. ``Rotary atomization'';
b.2.d. ``Splat quenching'';
b.2.e. ``Melt spinning'' and ``comminution'';
b.2.f. ``Melt extraction'' and ``comminution''; or
b.2.g. ``Mechanical alloying'';
c. Alloyed materials, in the form of uncomminuted flakes,
ribbons or thin rods produced in a controlled environment by ``splat
quenching'', ``melt spinning'' or ``melt extraction'', used in the
manufacture of metal alloy powder or particulate material controlled
by 1C002.b.
1C003 Magnetic metals, of all types and of whatever form, having any
of the characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Initial relative permeability of 120,000 or more and a
thickness of 0.05 mm or less;
Technical Note: Measurement of initial permeability must be
performed on fully annealed materials.
b. Magnetostrictive alloys, having any of the following
characteristics:
b.1. A saturation magnetostriction of more than 5 x 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 characteristics:
c.1. A composition having a minimum of 75 weight percent 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 x 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 characteristics (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. A density exceeding 17.5 g/cm \3\;
b. An elastic limit exceeding 1,250 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
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $1500
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Multifilamentary ``superconductive'' ``composite''
conductors containing one or more niobium-titanium filaments:
a.1. Embedded in a ``matrix'' other than a copper or copper-
based mixed ``matrix''; or
a.2. Having a cross-section area less than 0.28 x
10-4 mm2 (6 m 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 deg. C) but less than 24 K (-249.16 deg.
C);
b.2. A cross-section area less than 0.28 x 10-4
mm2; and
b.3. Remaining in the ``superconductive'' state at a temperature
of 4.2 K (-268.96 deg. C) when exposed to a magnetic field
corresponding to a magnetic induction of 12 T.
1C006 Fluids and lubricating materials, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Barrels (55 U.S. gallons/ 209 liters)
Related Controls: N/A
Related Definitions: N/A
Items: a. Hydraulic fluids containing, as their principal
ingredients, any of the following compounds or materials:
a.1. Synthetic hydrocarbon oils or silahydrocarbon oils, having
all of the following:
Note: For the purpose of 1C006.a.1, silahydrocarbon oils contain
exclusively silicon, hydrogen and carbon.
a.1.a. A flash point exceeding 477 K (204 deg. C);
[[Page 2472]]
a.1.b. A pour point at 239 K (-34 deg. C) or less;
a.1.c. A viscosity index of 75 or more; and
a.1.d. A thermal stability at 616 K (343 deg. C); or
a.2. Chlorofluorocarbons, having all of the following:
Note: For the purpose of 1C006.a.2, chlorofluorocarbons contain
exclusively carbon, fluorine and chlorine.
a.2.a. No flash point;
a.2.b. An autogenous ignition temperature exceeding 977 K
(704 deg. C);
a.2.c. A pour point at 219 K (-54 deg. C) or less;
a.2.d. A viscosity index of 80 or more; and
a.2.e. A boiling point at 473 K (200 deg. C) or higher;
b. Lubricating materials containing, as their principal
ingredients, any of the following compounds or materials:
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 mm2/s (5,000 centistokes) measured at 298
K (25 deg. C);
c. Damping or flotation fluids with a purity exceeding 99.8%,
containing less than 25 particles of 200 m or larger in
size per 100 ml and made from at least 85% of any of the following
compounds or materials:
c.1. Dibromotetrafluoroethane;
c.2. Polychlorotrifluoroethylene (oily and waxy modifications
only); or
c.3. Polybromotrifluoroethylene;
d. Fluorocarbon electronic cooling fluids, having all of the
following characteristics:
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 deg. C) of 1.5 g/ml or more;
d.3. In a liquid state at 273 K (0 deg. C); and
d.4. Containing 60% or more by weight of fluorine.
Technical Note: For the purpose of 1C006:
a. Flash point is determined using the Cleveland Open Cup Method
described in ASTM D-92 or national equivalents;
b. Pour point is determined using the method described in ASTM
D-97 or national equivalents;
c. Viscosity index is determined using the method described in
ASTM D-2270 or national equivalents;
d. Thermal stability is determined by the following test
procedure or national equivalents:
Twenty ml of the fluid under test is placed in a 46 ml type 317
stainless steel chamber containing one each of 12.5 mm (nominal)
diameter balls of M-10 tool steel, 52100 steel and naval bronze (60%
Cu, 39% Zn, 0.75% Sn);
The chamber is purged with nitrogen, sealed at atmospheric
pressure and the temperature raised to and maintained at 644
6 K (371 6 deg. C) for six hours;
The specimen will be considered thermally stable if, on
completion of the above procedure, all of the following conditions
are met:
1. The loss in weight of each ball is less than 10 mg/mm2 of
ball surface;
2. The change in original viscosity as determined at 311 K
(38 deg. C) is less than 25%; and
3. The total acid or base number is less than 0.40;
e. Autogenous ignition temperature is determined using the
method described in ASTM E-659 or national equivalents.
1C007 Ceramic base materials, non-``composite'' ceramic materials,
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
NS applies to entire entry............. NS Column 2.
MT applies to items in 1C007.d and .f MT Column 1.
when the dielectric constant is less
than 6 at frequencies from 100 Hz to
10,000 MHz for use in missile radomes.
AT applies to entire entry............. AT Column 1.
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000, except N/A for MT and for 1C007.e
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 1C107
Related Definitions: N/A
Items: a. Base materials of single or complex borides of titanium
having total metallic impurities, excluding intentional additions,
of less than 5,000 ppm, an average particle size equal to or less
than 5 m and no more than 10% of the particles larger than
10 m;
b. Non-``composite'' ceramic materials in crude or semi-
fabricated form, composed of borides of titanium with a density of
98% or more of the theoretical density;
Note: 1C007.b does not control abrasives.
c. Ceramic-ceramic ``composite'' materials with a glass or
oxide-``matrix'' and reinforced with fibers made from any of the
following systems:
c.1. Si-N;
c.2. Si-C;
c.3. Si-Al-O-N; or
c.4. Si-O-N; having a ``specific tensile strength'' exceeding
12.7 x 103 m;
d. Ceramic-ceramic ``composite'' materials, with or without a
continuous metallic phase, incorporating particles, whiskers or
fibers, where carbides or nitrides of silicon, zirconium or boron
form the ``matrix'';
e. Precursor materials (i.e., special purpose polymeric or
metallo-organic materials) for producing any phase or phases of the
materials controlled by 1C007.c, as follows:
e.1. Polydiorganosilanes (for producing silicon carbide);
e.2. Polysilazanes (for producing silicon nitride);
e.3. Polycarbosilazanes (for producing ceramics with silicon,
carbon and nitrogen components);
f. Ceramic-ceramic ``composite'' materials with an oxide or
glass ``matrix'' reinforced with continuous fibers from any of the
following systems:
f.1. Al2O3; or
f.2. Si-C-N.
Note: 1C007.f does not control ``composites'' containing fibers
from these systems with a fiber tensile strength of less than 700
MPa at 1,273 K (1,000 deg. C) or fiber tensile creep resistance of
more than 1% creep strain at 100 MPa load and 1,273 K (1,000 deg. C)
for 100 hours.
1C008 Non-fluorinated polymeric substances, as follows (see List of
Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $200
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Non-fluorinated polymeric substances, as follows:
a.1. Bismaleimides;
a.2. Aromatic polyamide-imides;
a.3. Aromatic polyimides;
a.4. Aromatic polyetherimides having a glass transition
temperature (Tg) exceeding 513 K (240 deg. C) determined
using the dry method described in ASTM D 3418;
Note: 1C008.a does not control non-fusible compression molding
powders or molded forms.
b. Thermoplastic liquid crystal copolymers having a heat
distortion temperature exceeding 523 K (250 deg. C) measured
according to ASTM D-648, method A, or national equivalents, with a
load of 1.82 N/mm2 and composed of:
b.1. Any of the following:
b.1.a. Phenylene, biphenylene or naphthalene; or
b.1.b. Methyl, tertiary-butyl or phenyl substituted phenylene,
biphenylene or naphthalene; and
b.2. Any of the following acids:
b.2.a. Terephthalic acid;
b.2.b. 6-hydroxy-2 naphthoic acid; or
b.2.c. 4-hydroxybenzoic acid;
c. Polyarylene ether ketones, as follows:
c.1. Polyether ether ketone (PEEK)
c.2. Polyether ketone ketone (PEKK);
c.3. Polyether ketone (PEK);
c.4. Polyether ketone ether ketone ketone (PEKEKK);
d. Polyarylene ketones;
[[Page 2473]]
e. Polyarylene sulphides, where the arylene group is
biphenylene, triphenylene or combinations thereof;
f. Polybiphenylenethersulphone.
Technical Note: The glass transition temperature (Tg)
for 1C008 materials is determined using the method described in ASTM
D 3418 using the dry method.
1C009 Unprocessed fluorinated compounds, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Copolymers of vinylidene fluoride having 75% or more beta
crystalline structure without stretching;
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'' which may be used in
organic ``matrix'', metallic ``matrix'' or carbon ``matrix''
``composite'' structures or laminates, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to 1C010.a (aramid ``fibrous NP Column 1
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.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $1500, N/A for NP
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 1C210, 1C990, and 9A110 for material not
controlled by 1C010.e, as defined by technical notes 1 or 2. Note
that some items in 1C010.e are also controlled under 9A110
Related Definitions: (1) Specific modulus: Young's modulus in
pascals, equivalent to N/m2 divided by specific weight in
N/m3, measured at a temperature of (2962) K
((23+2) C) and a relative humidity of (505)%. (2)
Specific tensile strength: ultimate tensile strength in pascals,
equivalent to N/m2 divided by specific weight in N/
m3, measured at a temperature of (2962) K
((232) C) and a relative humidity of (505)%
Items: a. Organic ``fibrous or filamentary materials'', having all
of the following:
a.1. A specific modulus exceeding 12.7 x 106 m; and
a.2. A specific tensile strength exceeding 23.5 x 104
m;
Note: 1C010.a does not control polyethylene.
b. Carbon ``fibrous or filamentary materials'', having all of
the following:
b.1. A specific modulus exceeding 12.7 x 106 m; and
b.2. A specific tensile strength exceeding 23.5 x 104
m;
Technical Note: Properties for materials described in 1C010.b
should be determined using SACMA recommended methods SRM 12 to 17,
or national equivalent tow tests, such as Japanese Industrial
Standard JIS-R-7601, Paragraph 6.6.2, and based on lot average.
Note: 1C010.b does not control fabric made from ``fibrous or
filamentary materials'' for the repair of aircraft structures or
laminates, in which the size of individual sheets does not exceed 50
cm x 90 cm.
c. Inorganic ``fibrous or filamentary materials'', having all of
the following:
c.1. A specific modulus exceeding 2.54 x 106 m; and
c.2. A melting, softening, decomposition or sublimation point
exceeding 1,922 K (1,649 deg.C) in an inert environment;
Note: 1C010.c does not control:
1. Discontinuous, multiphase, polycrystalline alumina fibers in
chopped fiber or random mat form, containing 3 weight percent or
more silica, with a specific modulus of less than
10 x 106 m;
2. Molybdenum and molybdenum alloy fibers;
3. Boron fibers;
4. Discontinuous ceramic fibers with a melting, softening,
decomposition or sublimation point lower than 2,043 K (1,770 deg.C)
in an inert environment.
d. ``Fibrous or filamentary materials'':
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;
e. Resin-impregnated or pitch-impregnated fibers (prepregs),
metal or carbon-coated fibers (preforms) or ``carbon fiber
preforms'', as follows:
e.1. Made from ``fibrous or filamentary materials'' controlled
by 1C010.a, 1C010.b or 1C010.c;
e.2. Made from organic or carbon ``fibrous or filamentary
materials'':
e.2.a. With a ``specific tensile strength'' exceeding
17.7x104 m;
e.2.b. With a ``specific modulus'' exceeding
10.15 x 106 m;
e.2.c. Not controlled by 1C010.a or 1C010.b; and
e.2.d. When impregnated with materials controlled by 1C008 or
1C009.b, having a glass transition temperature (Tg)
exceeding 383 K (110 deg.C) or with phenolic or epoxy resins,
having a glass transition temperature (Tg) equal to or
exceeding 418 K (145 deg.C).
Notes: 1C010.e does not control:
1. Epoxy resin ``matrix'' impregnated carbon ``fibrous or
filamentary materials'' (prepregs) for the repair of aircraft
structures or laminates, in which the size of individual sheets of
prepreg does not exceed 50 cm x 90 cm;
2. Prepregs when impregnated with phenolic or epoxy resins
having a glass transition temperature (Tg) less than 433
K (160 deg.C) and a cure temperature lower than the glass
transition temperature.
Technical Note: The glass transition temperature (Tg)
for 1C010.e materials is determined using the method described in
ASTM D 3418 using the dry method. The glass transition temperature
for phenolic and epoxy resins is determined using the method
described in ASTM D 4065 at a frequency of 1 Hz and a heating rate
of 2 K per minute using the dry method.
1C011 Metals and compounds, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to 1C011.a and .b........... MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 1C111. (2) Items controlled by
1C011.a, and metal fuels in particle form, whether spherical,
atomized, spheroidal, flaked or ground, manufactured from material
consisting of 99 percent or more of items controlled by 1C011.b. are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls (see 22 CFR part 121)
Related Definitions: N/A
Items: a. Metals in particle sizes of less than 60 m
whether spherical, atomized, spheroidal, flaked or ground,
manufactured from material consisting of 99% or more of zirconium,
magnesium and alloys of these;
N.B.: The metals or alloys listed in 1C011.a are controlled
whether or not the metals or alloys are encapsulated in aluminum,
magnesium, zirconium or beryllium.
b. Boron or boron carbide of 85% purity or higher and a particle
size of 60 m or less;
[[Page 2474]]
N.B.: The metals or alloys listed in 1C011.b are controlled
whether or not the metals or alloys are encapsulated in aluminum,
magnesium, zirconium or beryllium.
c. Guanidine nitrate.
1C012 Materials for nuclear heat sources, as follows (see List of
Items Controlled).
License Requirements
Reason for Control:
Control(s): Items described in 1C012 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. Plutonium in any form with a plutonium isotopic assay of
plutonium-238 of more than 50% by weight;
Note: 1C012.a does not control:
1. Shipments with a plutonium content of 1 g or less;
2. Shipments of 3 effective grams or less when contained in a
sensing component in instruments.
b. Previously separated neptunium-237 in any form.
Note: 1C012.b does not control shipments with a neptunium-237
content of 1 g or less.
1C018 Materials on the International Munitions List.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: Yes for items listed in Advisory Note to 1C018
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Ethyl and Methyl centralites.
b. NN-Diphenylurea (unsymmetrical diphenylurea).
c. Methyl-NN-diphenylurea (methyl unsymmetrical diphenylurea).
d. Ethyl-NN-diphenylurea (ethyl unsymmetrical diphenylurea).
e. Ethyl phenyl urethane.
f. Diphenyl urethane.
g. Diortho tolyl-urethane.
h. 2-Nitrodiphenylamine.
i. p-Nitromethylaniline.
j. 2,2' Dinitropropanol.
k. Bis(2,2' dinitropropyl) formal and acetal.
l. 3-Nitraza-1,5 pentane diisocyanate.
m. Guanidine nitrate.
n. Hydrogen peroxide in concentrations of 85%.
o. Charges specially designed for civilian applications,
containing military explosives, except those items described in
1C992.
Technical Note: Military high explosives are solid, liquid or
gaseous substances or mixtures of substances that, in their
application as primary, booster, or main charges in warheads,
demolition and other military applications, are required to
detonate.
Advisory Note: Licenses are likely to be approved for export and
reexport to satisfactory end-users in Country Group D:1 of certain
explosive substances and mixtures in reasonable quantities for
civilian or industrial purposes when made into cartridges or charges
of an exclusively civilian or industrial nature, such as propellants
for sporting purposes or shooting gallery practice; cartridges for
riveting guns; and explosive charges for agricultural purposes,
public works, mines, quarries or oil-well drilling. The following
are the substances or mixtures to which this procedure applies:
a. Nitrate-based (40 percent or more) and provided they do not
contain more than 40 percent nitroglycol/nitroglycerin or no more
than 16 percent TNT;
b. Nitrocellulose with a nitrogen content of over 12.2 percent;
c. Nitroglycerin;
d. Single base nitrocellulose;
e. Sodium azide and other inorganic azides.
1C101 Materials and devices for reduced observables such as radar
reflectivity, ultraviolet/infrared signatures and acoustic signatures,
other than those controlled by 1C001, usable in ``missiles'' and their
subsystems.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: Materials controlled by this entry include: (a)
structural materials and coatings specially designed for reduced
radar reflectivity; (b) coatings, including paints, specially
designed for reduced or tailored reflectivity or emissivity in the
microwave, infrared or ultraviolet spectra. This entry does not
control coatings when specially used for the thermal control of
satellites.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C107 Graphite and ceramic materials, other than those controlled by
1C007, as follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, AT.
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: a. Fine grain recrystallized bulk graphites having a bulk
density of 1.72 g/cm\3\ or greater, measured at 288 K (15 deg. C),
and having a particle size of 100 micrometers or less, pyrolytic or
fibrous reinforced graphites, usable for rocket nozzles and reentry
vehicle nose tips;
b. Ceramic composite materials (dielectric constant less than 6
at frequencies from 100 Hz to 10,000 MHz), also usable for
``missile'' radomes, and bulk machinable silicon-carbide reinforced
unfired ceramic, usable for nose tips.
1C111 Propellants and constituent chemicals for propellants, other
than those controlled by 1C011, as follows (see List of Items
Controlled).
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: The following materials, whether or not
encapsulated in aluminum, beryllium, magnesium, or zirconium are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls: (See 22 CFR part 121): (a)
Spherical aluminum powder with particles of uniform diameter 60 x
10-6 m (60 micrometers) or less and an aluminum content
of 97 percent or greater; (b) Metals in particle sizes less than 60
x 10-6 m (60 microns), whether spherical, atomized,
spheroidal, flaked or ground, manufactured from material consisting
of 99 percent or more of: boron; magnesium; zirconium; alloys of
boron, magnesium or zirconium; beryllium; or iron powder with
average particle size of 3 x 10-6 m (3 microns) or less
produced by hydrogen reduction of iron oxide.
Related Definitions: N/A
Items: a. Propulsive substances:
a.1. Spherical aluminum powder, other than that specified on the
U.S. Munitions List, with particles of uniform diameter of less than
500 micrometer and an aluminum content of 97% by weight or greater;
a.2. Metals, other than that controlled by the U.S. Munitions
List, in particle sizes of less than 500 micrometers, whether
spherical, atomized, spheroidal, flaked or
[[Page 2475]]
ground, consisting 97% or more by weight of any of the following:
a.2.a. Zirconium;
a.2.b. Beryllium;
a.2.c. Boron;
a.2.d. Magnesium; or
a.2.e. Alloys of the metals specified by a.2.a to a.2.d above;
a.3. Liquid oxidizers, the following:
a.3.a. Dinitrogen trioxide;
a.3.b. Nitrogen dioxide/dinitrogen tetroxide;
a.3.c. Dinitrogen pentoxide;
b. Polymeric substances:
b.1. Carboxy-terminated polybutadiene (CTPB);
b.2. Hydroxy-terminated polybutadiene (HTPB), other than that
controlled by the U.S. Munitions List;
b.3. Polybutadiene-acrylic acid (PBAA);
b.4. Polybutadiene-acrylic acid-acrylonitrile (PBAN);
c. Other propellant additives and agents:
c.1. Butacene;
c.2. Triethylene glycol dinitrate (TEGDN);
c.3. 2-Nitrodiphenylamine;
c.4. Trimethylolethane trinitrate (TMETN);
c.5. Diethylene glycol dinitrate (DEGDN).
Note: For propellants and constituent chemicals for propellants
not controlled by 1C111, see the U.S. Munitions List.
1C116 Maraging steels (steels generally characterized by high nickel,
very low carbon content and the use of substitutional elements or
precipitates to produce age-hardening) having an ultimate tensile
strength of 1,500 MPa or greater, measured at 293 K (20 deg. C), in the
form of sheet, plate or tubing with a wall or plate thickness equal to
or less than 5 mm.
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to items that meet or exceed NP Column 1
the parameters of 1C216.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 1C216
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C117 Tungsten, molybdenum and alloys of these metals in the form of
uniform, spherical or atomized particles of 500 micrometer diameter or
less with a purity of 97% or greater for fabrication of rocket motor
components, i.e., heat shields, nozzle substrates, nozzle throats and
thrust vector control surfaces.
License Requirements
Reason for Control: MT, AT
Control(s) Country chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C202 Alloys, other than those controlled by 1C002.a.2.c or .d, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: The phrase ``alloys capable of'' encompasses
before and after heat treatment.
Items: a. Aluminum ``alloys capable of'' an ultimate tensile
strength of 460 Mpa or more at 293 K (20 deg. C), in the form of
tubes or cylindrical solid forms (including forgings) with an
outside diameter of more than 75 mm;
b. Titanium ``alloys capable of'' an ultimate tensile strength
of 900 MPa or more at 293 K (20 deg. C) 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
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See 9A110 for fiber prepregs.
Related Definitions: For the purpose of this entry, the term
``fibrous or filamentary materials'' is restricted to continuous
``monofilaments'', ``yarns'', ``rovings'', ``tows'' or ``tapes''.
Definitions for other terms used in this entry:
Filament or Monofilament is the smallest increment of fiber, usually
several m 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/m2 divided
by the specific weight in N/m3, measured at a temperature
of 23 2 deg.C and a relative humidity of 50
5 percent.
Specific tensile strength is the ultimate tensile strength in N/
m2 divided by specific weight in N/m3,
measured at a temperature of 23 2 deg.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 x 106 m or greater
or a ``specific tensile strength'' of 235 x 103 m or
greater except Aramid ``fibrous or filamentary materials'' having
0.25 percent or more by weight of an ester based fibre surface
modifier;
b. Glass ``fibrous or filamentary materials'' having a
``specific modulus'' of 3.18 x 106 m or greater and a
``specific tensile strength'' of 76.2 x 103 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 2,050 MPa or more, at 293 K (20 deg.
C), except forms in which no linear dimension exceeds 75 mm.
License Requirements
Reason for Control: NP, MT, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: The phrase ``maraging steel capable of''
encompasses maraging steel before or after heat treatment.
Items: The list of items controlled is contained in the ECCN
heading.
1C225 Boron and boron compounds, mixtures and loaded materials in
which the boron-10 isotope is more than 20% by weight of the total
boron content.
License Requirements
Reason for Control: NP, AT
[[Page 2476]]
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C226 Parts made of tungsten, tungsten carbide, or tungsten alloys
(greater than 90% tungsten) having a mass greater than 20 kg and a
hollow cylindrical symmetry (including cylinder segments) with an
inside diameter greater than 100 mm but less than 300 mm, except parts
specially designed for use as weights or gamma-ray collimators.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C227 Calcium (high purity) containing both less than 1,000 parts per
million by weight of metallic impurities other than magnesium and less
than 10 parts per million of boron.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C228 Magnesium (high purity) containing both less than 200 parts per
million by weight of metallic impurities other than calcium and less
than 10 parts per million of boron.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C229 High purity (99.99% or greater) bismuth with very low silver
content (less than 10 parts per million).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C230 Beryllium metal, alloys containing more than 50% of beryllium by
weight, beryllium compounds, or manufactures thereof, including waste
and scrap containing beryllium metal, alloys, or compounds.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: (1) This entry includes waste and scrap containing
beryllium metal, alloys, or compounds. (2) This entry does not
control: (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; and, (c) Beryl (silicate of
beryllium and aluminum) in the form of emeralds or aquamarines.
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN
heading.
1C231 Hafnium metal, alloys and compounds of hafnium containing more
than 60% hafnium by weight and manufactures thereof.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controsl: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C232 Helium-3 or helium isotopically enriched in the helium-3
isotope, mixtures containing helium-3, or products or devices
containing any of the foregoing, except a product or device containing
less than 1 g of helium-3.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Liters
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C233 Lithium enriched in the 6 isotope (\6\Li) to greater than 7.5
atom percent, alloys, compounds or mixtures containing lithium enriched
in the 6 isotope, or products or devices containing any of the
foregoing except thermoluminescent dosimeters.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: The natural occurrence of the 6 isotope in
lithium is 7.5 atom percent.
[[Page 2477]]
Items: The list of items controlled is contained in the ECCN
heading.
1C234 Zirconium with a hafnium content of less than 1 part hafnium to
500 parts zirconium by weight, in the form of metal, alloys containing
more than 50% zirconium by weight, or compounds, or manufactures wholly
thereof; except zirconium in the form of foil having a thickness not
exceeding 0.10 mm.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: Zirconium metal and alloys in the form of tubes or
assemblies of tubes, specially designed or prepared for use in a
reactor are subject to the export licensing authority of the Nuclear
Regulatory Commission. (See 10 CFR part 110.) This entry includes
waste and scrap containing zirconium. This entry does not control
zirconium in the form of foil or strip having a thickness not
exceeding 0.10 mm (0.004 in.).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C235 Tritium, tritium compounds, mixtures containing tritium in which
the ratio of tritium to hydrogen by atoms exceeds 1 part in 1000, or
products or devices containing any of the foregoing; except, a product
or device containing not more than 1.48 x 10\3\ GBq (40 Ci) of tritium
in any form.
License Requirements
Reason for Control:
Control(s): Items described in 1C235 are subject to the export
licensing authority of the Nuclear Regulatory Commission (see 10 CFR
part 110).
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C236 Alpha-emitting radionuclides having an alpha half-life of 10
days or greater but less than 200 years, compounds or mixtures
containing any of these radionuclides with a total alpha activity of 37
GBq/kg (1 Ci/kg) or greater, or products or devices containing any of
the foregoing, except a product or device containing less than 3.7 GBq
(100 millicuries) of alpha activity.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Millicuries
Related Controls: Certain alpha emitting radionuclides are subject
to the export licensing authority of the Nuclear Regulatory
Commission. (See also 10 CFR part 110.)
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C237 Radium-226, radium-226 compounds, mixtures containing radium-
226, or products or devices containing any of the foregoing, except
medical applicators, or products or devices containing not more than
0.37 GBq (10 millicuries) of radium-226 in any form.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C238 Chlorine trifluoride (ClF3).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
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%
thereof, with a crystal density greater than 1.8 gm per cm3
and having a detonation velocity greater than 8,000 m/s.
License Requirements
Reason for Control:
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: See also 22 CFR part 12
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C240 Nickel powder or porous nickel metal, other than those
controlled by 0C006, as follows (see List of Items Controlled).
License Requirements
Reason for Control:
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Powder with a nickel purity content of 99.0% by weight or
greater and a mean particle size of less than 10 micrometers
measured by American Society for Testing and Materials (ASTM) B330
standard, except filamentary nickel powders;
b. Porous nickel powder produced from materials controlled by
1C240.a, except single porous nickel sheets not exceeding 1,000
cm\2\ per sheet.
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.
1C350 Chemicals that may be used as precursors for toxic chemical
agents, as follows (see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 2
AT applies to entire entry............. AT Column 1
[[Page 2478]]
License Requirement Notes
1. SAMPLE SHIPMENTS: Certain sample shipments of chemicals
controlled under ECCN 1C350 may be made without a license, as
provided by the following:
a. Chemicals Not Eligible: The following chemicals are not
eligible for sample shipments: 0-Ethyl-2-diisopropylaminoethyl
methylphosphonite (QL) (C.A.S. #57856-11-8), Ethylphosphonyl
difluoride (C.A.S. #753-98-0), and Methylphosphonyl difluoride
(C.A.S. #676-99-3).
b. Countries Not Eligible: The following countries are not
eligible to receive sample shipments: Cuba, Iran, Iraq, Libya, North
Korea, Sudan, Syria.
c. Sample Shipments: 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 each chemical to any one
consignee per calendar year. Multiple sample shipments, in any
quantity, not exceeding the totals indicated in this paragraph may
be exported without a license, in accordance with the provisions of
this Note 1. 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 the chemical weapons. However, a sample shipment
received under this exclusion remains subject to all General
Prohibitions including the end-use restriction described in
Sec. 744.4 of the EAR.
d. The exporter is required to submit a quarterly 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 exported. The report must be sent to the U.S.
Department of Commerce, Bureau of Export Administration, P.O. Box
273, Washington, DC 20044, Attn: ``Report of Sample Shipments of
Chemical Precursors''.
2. MIXTURES: Mixtures controlled by this entry that contain
certain concentrations of precursor and intermediate chemicals are
subject to the following licensing requirements:
a. A license is required, regardless of the concentrations in
the mixture, for the following chemicals: 0-Ethyl-2-
diisopropylaminoethyl methylphosphonite (QL) (C.A.S.#57856-11-8),
Ethylphosphonyl difluoride (C.A.S.#753-98-0) and Methylphosphonyl
difluoride (C.A.S.#676-99-3);
b. A license is required when at least one of the following
chemicals constitutes more than 10 percent of the weight of the
mixture on a solvent free basis: Arsenic trichloride (C.A.S.#7784-
34-1), Benzilic acid (C.A.S.#76-93-7), Diethyl ethylphosphonate
(C.A.S.#78-38-6), Diethyl methylphosphonite (C.A.S.#15715-41-0),
Diethyl-N,N-dimethylphosphoroamidate (C.A.S. #2404-03-7), N,N-
Diisopropyl-beta-aminoethane thiol (C.A.S.#5842-07-9), N,N-
Diisopropyl-2-aminoethyl chloride hydrochloride (C.A.S.#4261-68-1),
N,N-Diisopropyl-beta-aminoethanol (C.A.S.#96-80-0), N,N-Diisopropyl-
beta-aminoethyl chloride (C.A.S.#96-79-7), Dimethyl ethylphosphonate
(C.A.S.#6163-75-3), Dimethyl methylphosphonate (C.A.S.#756-79-6),
Ethylphosphonous dichloride [Ethylphosphinyl dichloride]
(C.A.S.#1498-40-4), Ethylphosphonus difluoride [Ethylphosphinyl
difluoride] (C.A.S.#430-78-4), Ethylphosphonyl dichloride
(C.A.S.#1066-50-8), Methylphosphonous dichloride [Methylphosphinyl
dichloride] (C.A.S.#676-83-5), Methylphosphonous difluoride
[Methylphosphinyl difluoride] (C.A.S.#753-59-3), Methylphosphonyl
dichloride (C.A.S.#676-97-1), Pinacolyl alcohol (C.A.S.#464-07-3),
3-Quinuclidinol (C.A.S.#1619-34-7), and Thiodiglycol (C.A.S.#111-48-
8); (Related ECCN: 1C995)
c. A license is required when at least one of all other
chemicals in the List of Items Controlled constitutes more than 25
percent of the weight of the mixture on a solvent free basis
(related ECCN: 1C995); and
d. A license is not required under this entry for mixtures when
the controlled chemical is a normal ingredient in consumer goods
packaged for retail sale for personal use. Such consumer goods are
controlled by ECCN EAR99.
e. Calculation of concentrations of AG-controlled chemicals.
1. Usual Commercial Purposes. In calculating the percentage of
an AG controlled chemical in a mixture (solution), any other
chemical must be excluded if it was not added for usual commercial
purposes, but was added for the sole purpose of circumventing the
Export Administration Regulations.
2. ``Solvent Free Basis Requirement.'' When calculating the
percentage, by weight, of components in a chemical mixture, you must
exclude from the calculation any component of the mixture that acts
as a solvent.
3. Solvent--For purposes of this ECCN ``A substance capable of
dissolving another substance to form a uniformly dispersed mixture
(solution)''.
Solvents are liquids at standard temperature and
pressure (STP).
In no instance is an AG controlled chemical considered
a ``solvent''.
All ingredients of mixtures are expressed in terms of
weight.
The solvent component of the mixture converts it into a
solution.
3. TRACE QUANTITIES: a. A license is required for mixtures
containing any amount (including trace quantities) for the following
chemicals: 0-Ethyl-2-diisopropylaminoethyl methyl phosphonite (QL)
(C.A.S. #57856-11-8), Ethyl phosphonyl difluoride (C.A.S. #753-98-
0), and Methyl phosphonyl difluoride (C.A.S. #676-99-3).
b. Except as noted in paragraph (3)(a) of the License
Requirements Note, a license is not required under this entry for
mixtures that contain a cumulative total concentration of no more
than 10,000 parts by weight (pbw) per million of all precursor or
intermediate chemicals listed in this entry. The calculation for
this paragraph (3)(b) should not be done on a solvent-free basis
(related ECCN: 1C995).
c. Countries Not Eligible: The following countries are not
eligible for exports under this Trace Quantities Note: Cuba, Iran,
Iraq, Libya, North Korea, Sudan, and Syria.
4. COMPOUNDS: A license is not required under this entry for
chemical compounds created with any chemicals identified in this
ECCN 1C350, unless those compounds are also identified in this
entry.
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
components that do not react together under normal storage
conditions.
2. The scope of this control applicable to Hydrogen Fluoride
(Item 25 in List of Items Controlled) includes its liquid, gaseous,
and aqueous phases, and hydrates.
3. All de minimis exclusions of this entry extend to all
mixtures including those that contain no solvents.
4. A Solvent is defined as a substance capable of dissolving
another substance to form a uniformly dispersed mixture (solution).
For examples and clarification of the term ``solvent free'' basis,
see Sec. 770.4 of the EAR.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Liters or kilograms, as appropriate
Related Controls: See also 1C995
Related Definition: See Sec. 770.2(k) of the EAR for synonyms for
the chemicals listed in this entry.
Items: a. Precursor Chemicals, as follows:
a.1. (C.A.S. #1341-49-7) Ammonium hydrogen fluoride;
a.2. (C.A.S. #7784-34-1) Arsenic trichloride;
a.3. (C.A.S. #76-93-7) Benzilic acid;
a.4. (C.A.S. #107-07-3) 2-Chloroethanol;
a.5. (C.A.S. #78-38-6) Diethyl ethylphosphonate;
a.6. (C.A.S. #15715-41-0) Diethyl methylphosphonite;
a.7. (C.A.S. S.#2404-03-7) Diethyl-N,N-dimethylphosphoroamidate;
a.8. (C.A.S. #762-04-9) Diethyl phosphite;
a.9. (C.A.S. #100-37-8) N,N-Diethylaminoethanol;
a.10. (C.A.S. #5842-07-9) N,N-Diisopropyl-beta-aminoethane
thiol;
a.11. (C.A.S. #4261-68-1) N,N-Diisopropyl-beta-aminoethyl
chloride hydrochloride;
a.12. (C.A.S. #96-80-0) N,N-Diisopropyl-beta-aminoethanol;
a.13. (C.A.S. #96-79-7), N,N-Diisopropyl-beta-aminoethyl
chloride;
a.14. (C.A.S. #108-18-9) Di-isopropylamine;
a.15. (C.A.S. #6163-75-3) Dimethyl ethylphosphonate;
a.16. (C.A.S. #756-79-6) Dimethyl methylphosphonate;
a.17. (C.A.S. #868-85-9) Dimethyl phosphite (dimethyl hydrogen
phosphite);
a.18. (C.A.S. #124-40-3) Dimethylamine;
a.19. (C.A.S. #506-59-2) Dimethylamine hydrochloride;
a.20. (C.A.S. #57856-11-8) 0-Ethyl-2-diisopropylaminoethyl
methyl phosphonite (QL);
[[Page 2479]]
a.21. (C.A.S. #1498-40-4) Ethyl phosphonous dichloride [Ethyl
phosphinyl dichloride];
a.22. (C.A.S. #430-78-4) Ethyl phosphonus difluoride [Ethyl
phosphinyl difluoride];
a.23. (C.A.S. #1066-50-8) Ethyl phosphonyl dichloride;
a.24. (C.A.S. #753-98-0) Ethyl phosphonyl difluoride;
a.25. (C.A.S. #7664-39-3) Hydrogen fluoride;
a.26. (C.A.S. #3554-74-3) 3-Hydroxyl-1-methylpiperidine;
a.27. (C.A.S. #76-89-1) Methyl benzilate;
a.28. (C.A.S. #676-83-5) Methyl phosphonous dichloride [Methyl
phosphinyl dicloride];
a.29. (C.A.S. #753-59-3) Methyl phosphonous difluoride [Methyl
phosphinyl difluoride];
a.30. (C.A.S. #676-97-1) Methyl phosphonyl dichloride;
a.31. (C.A.S. #676-99-3) Methyl phosphonyl difluoride;
a.32. (C.A.S. #10025-87-3) Phosphorus oxychloride;
a.33. (C.A.S. #10026-13-8) Phosphorus pentachloride;
a.34. (C.A.S. #1314-80-3) Phosphorus pentasulfide;
a.35. (C.A.S. #7719-12-2) Phosphorus trichloride;
a.36. (C.A.S. #75-97-8) Pinacolone;
a.37. (C.A.S. #464-07-3) Pinacolyl alcohol;
a.38. (C.A.S. #151-50-8) Potassium cyanide;
a.39. (C.A.S. #7789-23-3) Potassium fluoride;
a.40. (C.A.S. #7789-29-9) Potassium bifluoride;
a.41. (C.A.S. #1619-34-7) 3-Quinuclidinol;
a.42. (C.A.S. #3731-38-2) 3-Quinuclidone;
a.43. (C.A.S. #1333-83-1) Sodium bifluoride;
a.44. (C.A.S. #143-33-9) Sodium cyanide;
a.45. (C.A.S. #7681-49-4) Sodium fluoride;
a.46. (C.A.S. #1313-82-2) Sodium sulfide;
a.47. (C.A.S. #10025-67-9) Sulfur monochloride;
a.48. (C.A.S. #10545-99-0) Sulfur dichloride;
a.49. (C.A.S. #111-48-8) Thiodiglycol;
a.50. (C.A.S. #7719-09-7) Thionyl chloride;
a.51. (C.A.S. #102-71-6) Triethanolamine;
a.52. (C.A.S. #637-39-8) Triethanolamine hydrochloride;
a.53. (C.A.S. #122-52-1) Triethyl phosphite; and
a.54. (C.A.S. #121-45-9) Trimethyl phosphite.
b. Reserved.
1C351 Human pathogens, zoonoses, and ``toxins'', as follows (see List
of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: All vaccines and ``immunotoxins'' are excluded
from the scope of this entry. See also 1C991.
Related Definition: (1) For the purposes of this entry
``immunotoxin'' is defined as an antibody-toxin conjugate intended
to destroy specific target cells (e.g., tumor cells) that bear
antigens homologous to the antibody. (2) For the purposes of this
entry ``subunit'' is defined as a portion of the ``toxin''.
Items: a. Viruses, as follows:
a.1. Chikungunya virus;
a.2. Congo-Crimean haemorrhagic fever virus;
a.3. Dengue fever virus;
a.4. Eastern equine encephalitis virus;
a.5. Ebola virus;
a.6. Hantaan virus;
a.7. Japanese encephalitis virus;
a.8. Junin virus;
a.9. Lassa fever virus
a.10. Lymphocytic choriomeningitis virus;
a.11. Machupo virus;
a.12. Marburg virus;
a.13. Monkey pox virus;
a.14. Rift Valley fever virus;
a.15. Tick-borne encephalitis virus (Russian Spring-Summer
encephalitis virus);
a.16. Variola virus;
a.17. Venezuelan equine encephalitis virus;
a.18. Western equine encephalitis virus;
a.19. White pox; or
a.20. Yellow fever virus.
b. Rickettsiae, as follows:
b.1. Bartonella quintana (Rochalimea quintana, Rickettsia
quintana);
b.2. Coxiella burnetii;
b.3. Rickettsia prowasecki; or
b.4. Rickettsia rickettsii.
c. Bacteria, 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;
c.8. Clostridium botulinum;
c.9. Francisella tularensis;
c.10. Salmonella typhi;
c.11. Shigella dysenteriae;
c.12. Vibrio cholerae;
c.13. Yersinia pestis.
d. ``Toxins'', as follows: and subunits thereof:
d.1. Botulinum toxins;
d.2. Clostridium perfringens toxins;
d.3. Conotoxin;
d.4. Microcystin (cyanginosin);
d.5. Ricin;
d.6. Saxitoxin;
d.7. Shiga toxin;
d.8. Staphylococcus aureus toxins;
d.9. Tetrodotoxin;
d.10. Verotoxin; or
d.11. Aflatoxins.
1C352 Animal pathogens, as follows (see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: All vaccines are excluded from the scope of this
entry. See also 1C991.
Related Definition: N/A
Items: a. Viruses, as follows:
a.1. African swine fever virus;
a.2. Avian influenza virus that are:
a.2.a. Defined in EC Directive 92/40/EC (O.J. L.16 23.1.92 p.19)
as having high pathogenicity, as follows:
a.2.a.1. Type A viruses with an IVPI (intravenous pathogenicity
index) in 6 week old chickens of greater than 1.2; or
a.2.a.2. Type A viruses H5 or H7 subtype for which nucleotide
sequencing has demonstrated multiple basic amino acids at the
cleavage site of haemagglutinin;
a.3. Bluetongue virus;
a.4. Foot and mouth disease virus;
a.5. Goat pox virus;
a.6. Porcine herpes virus (Aujeszky's disease);
a.7. Swine fever virus (Hog cholera virus);
a.8. Lyssa virus;
a.9. Newcastle disease virus;
a.10. Peste des petits ruminants virus;
a.11. Porcine enterovirus type 9 (swine vesicular disease
virus);
a.12. Rinderpest virus;
a.13. Sheep pox virus;
a.14. Teschen disease virus;
a.15. Vesicular stomatitis virus;
b. Bacteria, as follows:
b.1. Mycoplasma mycoides.
b.2. Reserved.
1C353 Genetically-modified ``microorganisms'', as follows (see List of
Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: All vaccines are excluded from the scope of this
entry. See also 1C991
Related Definition: N/A
Items: a. Genetically modified ``microorganisms'' or genetic
elements that
[[Page 2480]]
contain nucleic acid sequences associated with pathogenicity of
organisms controlled by 1C351.a to .c or 1C352 or 1C354;
b. Genetically modified ``microorganisms'' or genetic elements
that contain nucleic acid sequences coding for any of the ``toxins''
controlled by 1C351.d or ``sub-units of toxins'' thereof.
1C354 Plant pathogens, as follows (see List of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: All vaccines are excluded from the scope of this
entry. See also 1C991
Related Definitions: N/A
Items: a. Bacteria, as follows:
a.1. Xanthomonas albilineans;
a.2. Xanthomonas campestris pv. citri including strains referred
to as Xanthomonas campestris pv. citri types A,B,C,D,E or otherwise
classified as Xanthomonas citri, Xanthomonas campestris pv.
aurantifolia or Xanthomonas campestris pv. citrumelo;
b. Fungi, as follows:
b.1. Colletotrichum coffeanum var. virulans (Colletotrichum
kahawae);
b.2. Cochliobolus miyabeanus (Helminthosporium oryzae);
b.3. Microcyclus ulei (syn. Dothidella ulei);
b.4. Puccinia graminis (syn. Puccinia graminis f. sp. tritici);
b.5. Puccinia striiformis (syn. Puccinia glumarum);
b.6. Magnaporthe grisea (pyricularia grisea/pyricularia oryzae).
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
Unit: Barrels/Liters
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1C981 Crude petroleum including reconstituted crude petroleum, tar
sands & crude shale oil listed in Supplement No. 1 to part 754 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
Unit: Barrels/Liters
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
Unit: $ value
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
Unit: Barrels/Liters
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
Unit: Millions of cubic feet
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C988 Western red cedar (thuja plicata), logs and timber, and rough,
dressed and worked lumber containing wane listed in Supplement No. 2 to
part 754 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
Unit: Million board feet scribner
Related Controls: N/A
Related Definitions: N/A
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 x 10 \6\ m or greater and a specific tensile strength of
7.62 x 10 \4\ m or greater.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1C991 Vaccines containing items controlled by ECCNs 1C351, 1C352,
1C353, and 1C354; and immunotoxins.
License Requirements
[[Page 2481]]
Reason for Control: AT
AT applies to entire entry. A license is required for items
controlled by this entry to Cuba, Iran, Libya and North Korea. The
Commerce Country Chart is not designed to determine licensing
requirements for this entry. See part 746 of the EAR for additional
information
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: For the purpose of this entry ``immunotoxin''
is defined as an antibody-toxin conjugate intended to destroy
specific target cells (e.g., tumor cells) that bear antigens
homologous to the antibody
Items: The list of items controlled is contained in the ECCN heading
1C992 Oil well perforators.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Materials in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Shaped charges specially designed for oil well operations,
utilizing one charge functioning along a single axis, that upon
detonation produce a hole, and:
a.1. Contain any formulation of RDX, PYX, PETN, HNS, or HMX; and
a.2. Have only a uniformly shaped conical liner with an included
angle of 90 degrees or less; and
a.3. Have a total explosive mass of no more than 90 grams; and
a.4. Have a diameter not exceeding three inches.
b. Reserved.
1C995 Mixtures containing precursor and intermediate chemicals used in
the ``production'' of chemical warfare agents that are not controlled
by ECCN 1C350.
License Requirements
Reason for Control: AT
AT applies to entire entry. A license is required for items
controlled by this entry to Cuba, Iran, Libya and North Korea. The
Commerce Country Chart is not designed to determine licensing
requirements for this entry. See part 746 of the EAR for additional
information
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Kilograms
Related Controls: N/A
Related Definition: For calculation of de minimis quantities of
controlled chemicals in mixtures, see the License Requirements Notes
2 and 3 under ECCN 1C350 and Sec. 770.4 of the EAR
Items: The list of items controlled is contained in the ECCN heading
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
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for the MT Column 1
``development'', ``production'', or
``use'' of items controlled by 1B001
for MT reasons.
NP applies to ``software'' for the NP Column 1
``development'', ``production'' or
``use'' of items controlled by 1B001
for NP reasons.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: Yes, except N/A for MT
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: See also 1D101 and 1D102
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D002 ``Software'' for the ``development'' of organic ``matrix'',
metal ``matrix'' or carbon ``matrix'' laminates or ``composites''.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' specially MT Column 1
designed or modified for the
``development'' of ``composites''
controlled by 1A, 1B or 1C entries for
MT reasons.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under Exceptions.
License Exceptions
CIV: Yes, except N/A for MT
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: ``Software'' for items controlled by 1A102 are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls (see 22 CFR part 121).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D018 ``Software'' specially designed or modified for the
``development'', ``production'', or ``use'' of items controlled by
1B018.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for the MT Column 1
``development'', ``production'', or
``use'' of items controlled by 1B018
for MT reasons.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D101 ``Software'' specially designed for the ``use'' of goods
controlled by 1B101.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D102 Other ``software'' not controlled by 1D001, 1D002, and 1D103,
specially designed for the ``development'', ``production'' or ``use''
of items controlled by 1A, 1B, and 1C for MT reasons.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
[[Page 2482]]
1D103 ``Software'' specially designed for analysis of reduced
observables such as radar reflectivity, ultraviolet/infrared signatures
and acoustic signatures.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D201 ``Software'' specially designed for the ``use'' of goods
controlled by 1B201.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D390 ``Software'' for process control that is specifically configured
to control or initiate ``production'' of chemicals controlled by 1C350.
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
1D993 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of equipment or materials controlled by
1C210.b, 1C990, or 1C994.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
E. Technology
1E001 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of items controlled by 1A001.b,
1A001.c, 1A002, 1A003, 1A004, 1A005, 1A102, 1B or 1C (except 1C980 to
1C984, 1C988, 1C990, 1C991, 1C992, 1C994 and 1C995).
License Requirements
Reason for Control: NS, MT, NP, CB, AT
Control(s) Country Chart
NS applies to ``technology'' for items NS Column 1
controlled by 1A001.b and .c, 1A002,
1A003, 1B001 to 1B003, 1B018, 1B225,
1C001 to 1C010, 1C018, 1C230, 1C231,
1C233, or 1C234.
MT applies to ``technology'' 1 for MT Column 1
items controlled by 1B001, 1B101,
1B115, 1B116, 1C001, 1C007, 1C101,
1C107, 1C011, 1C111, 1C116, or 1C117
for MT reasons.
NP applies to ``technology'' for items NP Column 1
controlled by 1A002, 1B001, 1B101,
1B201, 1B225 to 1B232, 1C001, 1C010,
1C202, 1C210, 1C216, 1C225 to 1C234,
1C236 to 1C238 for NP reasons.
CB applies to ``technology'' for items CB Column 1
controlled by 1C351, 1C352, 1C353, or
1C354.
CB applies to ``technology'' for CB Column 2
materials controlled by 1C350.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for MT and for exports and reexports to
destinations outside of Austria, Belgium, Canada, Denmark, Finland,
France, Germany, Greece, Ireland, Italy, Luxembourg, the
Netherlands, Portugal, Spain, Sweden, or the United Kingdom of
``technology'' for items controlled by 1C001 or 1C012; or 1A002.a,
having an organic ``matrix'' and made from materials listed under
1C010.c or 1C010.d.
List of Items Controlled
Unit: N/A
Related Controls: (1) See also 1E101 and 1E210. (2) ``Technology''
for items controlled by 1C235 are subject to the export licensing
authority of the Department of Energy (see 10 CFR part 810). (3)
``Technology'' for items described in 1C012 are subject to the
export licensing authority of the Nuclear Regulatory Commission (see
10 CFR part 110). (4) ``Technology'' for items controlled by 1A102
are subject to the export licensing authority of the U.S. Department
of State, Office of Defense Trade Controls (see 22 CFR part 121).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E002 Other ``technology'', as follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to 1E002.e.................. MT Column 1
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except for 1E002.e
List of Items Controlled
Unit: N/A
Related Controls: See also 1E102, 1E202, and 1E101 for
``technology'' related to 1E002.e
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 base materials or non-``composite'' ceramic materials:
c.1. Base materials having all of the following characteristics:
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. Total metallic impurities, excluding intentional
additions, of less than:
c.1.b.1. 1,000 ppm for single oxides or carbides; or
c.1.b.2. 5,000 ppm for complex compounds or single nitrides; and
c.1.c. Having any of the following:
c.1.c.1. Average particle size equal to or less than 5
m and no more than 10% of the particles larger than 10
m; or
Note: For zirconia, these limits are 1 m and 5
m respectively.
c.1.c.2. Having all of the following:
c.1.c.2.a. Platelets with a length to thickness ratio exceeding
5;
[[Page 2483]]
c.1.c.2.b. Whiskers with a length to diameter ratio exceeding 10
for diameters less than 2 m; and
c.1.c.2.c. Continuous or chopped fibers less than 10 m
in diameter;
c.2. Non-``composite'' ceramic materials composed of the
materials described in 1E002.c.1;
Note: 1E002.c.2 does not control technology for the design or
production of abrasives.
d. ``Technology'' for the ``production'' of aromatic polyamide
fibers;
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, 1C007.c or 1C007.d.
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.
1E101 ``Technology'' according to the General Technology Note for the
``use'' of goods controlled by 1A102, 1B001, 1B101, 1B115, 1B116,
1C001, 1C007, 1C011, 1C101, 1C107, 1C111, 1C116, 1C117, 1D101 or 1D103.
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to 1B001.a and 1B101........ NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: ``Technology'' for items controlled by 1A102 are
subject to the export licensing authority of the U.S. Department of
State, Office of Defense Trade Controls (see 22 CFR part 121).
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E102 ``Technology'' according to the General Technology Note for the
``development'' of ``software'' controlled by 1D001, 1D101 or 1D103.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E103 ``Technical data'' (including processing conditions) for the
regulation of temperature, pressure or atmosphere in autoclaves or
hydroclaves, when used for the ``production'' of ``composites'' or
partially processed ``composites''.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: See also 1E203
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E104 ``Technology'' relating to the ``production'' of pyrolitically
derived materials formed on a mold, mandrel or other substrate from
precursor gases which decompose in the 1,573 K (1,300 deg. C) to 3,173
K (2,900 deg. C) temperature range at pressures of 130 Pa to 20 kPa.
License Requirements
Reason for Control: MT, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: This entry includes ``technology'' for the
composition of precursor gases, flow-rates and process control
schedules and parameters.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E201 ``Technology'' according to the General Technology Note for the
``use'' of goods controlled by 1A002, 1A202, 1A225 to 1A227, 1B201,
1B225 to 1B233, 1C002.a.2.c or .d, 1C010.b, 1C202, 1C210, 1C216, 1C225
to 1C240 or 1D201.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E202 ``Technology'' according to the General Technology Note for the
``development'' or ``production'' of goods controlled by 1A202 or 1A225
to 1A227.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E203 ``Technology'' according to the General Technology Note for the
``development'' of ``software'' controlled by 1D201.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E350 ``Technology'' according to the ``General Technology Note'' for
facilities designed or intended to produce chemicals controlled by
1C350.
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
[[Page 2484]]
1E351 ``Technology'' according to the ``General Technology Note'' for
the disposal of chemicals or microbiological materials controlled by
1C350, 1C351, 1C352, 1C353, or 1C354.
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to ``technology'' for the CB Column 1
disposal of items controlled by 1C351,
1C352, 1C353, or 1C354.
CB applies to ``technology'' for the CB Column 2
disposal of items controlled by 1C350.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
1E994 ``Technology'' for the ``development'', ``production'', or
``use'' of fibrous and filamentary materials controlled by 1C990 or
fluorocarbon electronic cooling fluids controlled by 1C994.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
EAR99 Items subject to the EAR that are not elsewhere controlled by
this CCL Category or in any other category in the CCL are designated by
the number EAR99.
Category 2--Materials Processing
Note: For quiet running bearings, see the U.S. Munitions List.
A. Equipment, Assemblies and Components
2A001 Anti-friction bearings and bearing systems, as follows, (see
List of Items Controlled) and components therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: Yes, for 2A001.a and 2A001.b
CIV: Yes, for 2A001.a and 2A001.b
List of Items Controlled
Unit: $ value
Related Controls: (1) See also 2A991. (2) This entry does not
control balls with tolerance specified by the manufacturer in
accordance with ISO 3290 as grade 5 or worse. (3) Quiet running
bearings are subject to the export licensing authority of the
Department of State, Office of Defense Trade Controls. (See 22 CFR
part 121.)
Related Definitions: Annular Bearing Engineers Committee (ABEC).
Items: a. Ball bearings and solid roller bearings having tolerances
specified by the manufacturer in accordance with ABEC 7, ABEC 7P,
ABEC 7T or ISO Standard Class 4 or better (or national equivalents),
and having rings, balls or rollers made from monel or beryllium;
Note: 2A001.a does not control tapered roller bearings.
b. Other ball bearings and solid roller bearings having
tolerances specified by the manufacturer in accordance with ABEC 9,
ABEC 9P or ISO Standard Class 2 or better (or national equivalents);
Note: 2A001.b does not control tapered roller bearings.
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 deg.C) and above) position
sensors.
2A225 Crucibles made of materials resistant to liquid actinide metals,
as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Crucibles with a volume of between 150 ml and 8 liters and
made of or coated with any of the following materials having a
purity of 98% or greater:
a.1. Calcium fluoride (CaF2);
a.2. Calcium zirconate (metazirconate)
(Ca2ZrO3);
a.3. Cerium sulphide (Ce2S3);
a.4. Erbium oxide (erbia) (Er2O3);
a.5. Hafnium oxide (hafnia) (HfO2);
a.6. Magnesium oxide (MgO);
a.7. Nitrided niobium-titanium-tungsten alloy (approximately 50%
Nb, 30% Ti, 20% W);
a.8. Yttrium oxide (yttria) (Y2O3); or
a.9. Zirconium oxide (zirconia) (ZrO2);
b. Crucibles with a volume of between 50 ml and 2 liters and
made of or lined with tantalum, having a purity of 99.9% or greater;
c. Crucibles with a volume of between 50 ml and 2 liters and
made of or lined with tantalum (having a purity of 98% or greater)
coated with tantalum carbide, nitride or boride (or any combination
of these).
2A226 Valves 5 mm or greater in ``nominal size'', with a bellows seal,
wholly made of or lined with aluminum, aluminum alloy, nickel, or alloy
containing 60% or more nickel, either manually or automatically
operated.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Valves are also subject to the export licensing
authority of the Nuclear Regulatory Commission. (See 10 CFR part
110.)
Related Definition: For valves with different inlet and outlet
diameter, the ``nominal size'' parameter described in the entry
refers to the smallest diameter.
Items: The list of items controlled is contained in the ECCN
heading.
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
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Nuclear equipment is also subject to the export
licensing authority of the Nuclear Regulatory Commission. (See 10
CFR part 110.)
Related Definitions: N/A
Items:
a. Generators, turbine-generator sets, steam turbines, heat
exchangers, and heat exchanger type condensers designed or intended
for use in a nuclear reactor;
b. Process control systems intended for use with the equipment
controlled by 2A290.a.
2A291 Equipment related to nuclear material handling and processing
and to nuclear reactors.
License Requirements
[[Page 2485]]
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: Nuclear equipment is also subject to the export
licensing authority of the Nuclear Regulatory Commission. (See 10
CFR part 110.)
Related Definitions: N/A
Items: a. Process control systems, except those controlled by
2A290.b, intended for use with nuclear reactors.
b. Casks that are specially designed for transportation of high-
level radioactive material and that weigh more than 1,000 kg.
c. Commodities, parts and accessories specially designed or
prepared for use with nuclear plants (e.g., snubbers, airlocks,
reactor and fuel inspection equipment) except items licensed by the
Nuclear Regulatory Commission, pursuant to 10 CFR part 110.
2A292 Piping, fittings and valves made of, or lined with, stainless
steel, copper-nickel alloy or other alloy steel containing 10% or more
nickel and/or chromium.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Pressure tubes, pipes, and fittings in kilograms; valves in
number; parts and accessories in $ value
Related Controls: Piping, fittings, and valves are also subject to
the export licensing authority of the Nuclear Regulatory Commission.
(See 10 CFR part 110.)
Related Definitions: N/A
Items: a. Pressure tube, pipe, and fittings of 200 mm (8 inches) or
more inside diameter, and suitable for operation at pressures of 3.4
Mpa (500 psi) or greater;
b. Pipe valves having all of the following characteristics:
b.1. A pipe size connection of 8 inches or more inside diameter;
b.2. Rated at 1,500 psi or more;
c. Parts, n.e.s.
2A293 Pumps designed to move molten metals by electromagnetic forces.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
2A991 Bearings and bearing systems not controlled by 2A001.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: (1) This entry does not control balls with
tolerance specified by the manufacturer in accordance with ISO 3290
as grade 5 or worse. (2) Quiet running bearings are subject to the
export licensing authority of the Department of State, Office of
Defense Trade Controls. (See 22 CFR part 121)
Related Definitions: (1) (a) DN is the product of the bearing bore
diameter in mm and the bearing rotational velocity in rpm. (b)
Operating temperatures include those temperatures obtained when a
gas turbine engine has stopped after operation. (2) Annular Bearing
Engineers Committee (ABEC); American National Standards Institute
(ANSI); Anti-Friction Bearing Manufacturers Association (AFBMA)
Items: a. Ball bearings or Solid ball bearings (except tapered
roller bearings), having tolerances specified by the manufacturer in
accordance with ABEC 7, ABEC 7P, or ABEC 7T or ISO Standard Class 4
or better (or equivalents) and having any of the following
characteristics.
a.1. Manufactured for use at operating temperatures above 573 K
(300 deg. C) either by using special materials or by special heat
treatment; or
a.2. With lubricating elements 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 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 deg. C) or above 423 K (150 deg. C).
c. Gas-lubricated foil bearing manufactured for use at operating
temperatures of 561 K (288 deg. 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 deg. C) or above 423 K (150 deg. C).
2A993 Explosive detection systems, consisting of an automated device,
or combination of devices, with the ability to detect the presence of
different types of explosives, in passenger checked baggage, without
need for human skill, vigilance, or judgment.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
2A994 Portable electric generators and specially designed parts.
License Requirements
Reason for Control: AT
Control(s): AT applies to entire entry. A license is required for
items controlled by this entry to Cuba, Iran, Libya, and North
Korea. The Commerce Country Chart is not designed to determine
licensing requirements for this entry. See part 746 of the EAR for
additional information
Note: Exports from the U.S. and transshipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See Sec. 742.8 and Sec. 746.7 of the EAR for additional
information on this requirement.)
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN heading
B. Test, Inspection and Production Equipment
Notes for Category 2B: 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
[[Page 2486]]
primary rotary axis) are not counted in the total number of
contouring axes.
N.B. Rotary axes need not rotate over 360 deg.. A rotary axis
can be driven by a linear device (e.g., a screw or a rack-and-
pinion).
2. Axis nomenclature shall be in accordance with International
Standard ISO 841, ``Numerical Control Machines--Axis and Motion
Nomenclature''.
3. For the purposes of 2B001 to 2B009 a ``tilting spindle'' is
counted as a rotary axis.
4. Guaranteed positioning accuracy levels instead of individual
test protocols may be used for each machine tool model using the
agreed ISO test procedure.
5. The positioning accuracy of ``numerically controlled''
machine tools is to be determined and presented in accordance with
ISO 230/2.
2B001 Machine tools and any combination thereof, for removing (or
cutting) metals, ceramics or ``composites'', which, according to the
manufacturer's technical specification, can be equipped with electronic
devices for ``numerical control''.
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to 2B001.a,b,c, and d, NP Column 1
EXCEPT: (1) turning machines under
2B001.a with a capacity equal to or
less 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 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'' on the x-axis more (worse)
than 0.030 mm.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 2B290 and 2B991
Related Definitions: N/A
Items: a. Machine tools for turning, having all of the following
characteristics:
a.1. Positioning accuracy with all compensations available of
less (better) than 6 m along any linear axis (overall
positioning); and
a.2. Two or more axes which can be coordinated simultaneously
for ``contouring control'';
Note: 2B001.a does not control turning machines specially
designed for the production of contact lenses.
b. Machine tools for milling, having any of the following
characteristics:
b.1.a. Positioning accuracy with all compensations available of
less (better) than 6 m along any linear axis (overall
positioning); and
b.1.b. Three linear axes plus one rotary axis which can be
coordinated simultaneously for ``contouring control'';
b.2. Five or more axes which can be coordinated simultaneously
for ``contouring control''; or
b.3. A positioning accuracy for jig boring machines, with all
compensations available, of less (better) than 4 m along
any linear axis (overall positioning);
c. Machine tools for grinding, having any of the following
characteristics:
c.1.a. Positioning accuracy with all compensations available of
less (better) than 4 m along any linear axis (overall
positioning); and
c.1.b. Three or more axes which can be coordinated
simultaneously for ``contouring control''; or
c.2. Five or more axes which can be coordinated simultaneously
for ``contouring control'';
Notes: 2B001.c does not control grinding machines, as follows:
1. Cylindrical external, internal, and external-internal
grinding machines having all the following characteristics:
a. Limited to cylindrical grinding; and
b. Limited to a maximum workpiece capacity of 150 mm outside
diameter or length.
2. Machines designed specifically as jig grinders having any of
the following characteristics:
a. The c-axis is used to maintain the grinding wheel normal to
the work surface; or
b. The a-axis is configured to grind barrel cams.
3. Tool or cutter grinding machines shipped as complete systems
with ``software'' specially designed for the production of tools or
cutters.
4. Crank shaft or cam shaft grinding machines.
5. 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'':
e.1. By means of:
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. Having two or more rotary axes which:
e.2.a. Can be coordinated simultaneously for ``contouring
control''; and
e.2.b. Have a positioning accuracy of less (better) than
0.003 deg.;
f. Deep-hole-drilling machines and turning machines modified for
deep-hole-drilling, having a maximum depth-of-bore capability
exceeding 5,000 mm and specially designed components therefor.
2B003 ``Numerically controlled'' or manual machine tools, and
specially designed components, controls and accessories therefor,
specially designed for the shaving, finishing, grinding or honing of
hardened (Rc = 40 or more) spur, helical and double-helical
gears with a pitch diameter exceeding 1,250 mm and a face width of 15%
of pitch diameter or larger finished to a quality of AGMA 14 or better
(equivalent to ISO 1328 class 3).
License Requirements
Reason for Control: NS, AT
Control(s) County Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
LVS: $5000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 2B993
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B004 Hot ``isostatic presses'', having all of the following
characteristics described in the List of Items Controlled, and
specially designed dies, molds, components, accessories and controls
therefor.
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to entire entry............. MT Column 1
NP applies to entire entry, except NP Column 1
2B004.b.3 and presses with
temperatures exceeding 1,733K, and
pressure below 69 MPa.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 2B104 and 2B204
Related Definitions: N/A
Items: a. A controlled thermal environment within the closed cavity
and possessing a chamber cavity with an inside diameter of 406 mm or
more; and
[[Page 2487]]
b. 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 deg. 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 for non-electronic substrates, by processes shown in the
Table and associated Notes following 2E003.f, and specially designed
automated handling, positioning, manipulation and control components
therefor.
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry AT Column 1
License Exceptions
LVS: $1000
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control chemical vapor
deposition, cathodic arc, sputter deposition, ion plating or ion
implantation equipment specially designed for cutting or machining
tools.
Related Definitions: N/A
Items: a. ``Stored program controlled'' chemical vapor deposition
(CVD) production equipment having all of the following:
a.1. Process modified for one of the following:
a.1.a. Pulsating CVD;
a.1.b. Controlled nucleation thermal decomposition (CNTD); or
a.1.c. Plasma enhanced or plasma assisted CVD; and
a.2. 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. ``Stored program controlled'' ion implantation production
equipment having beam currents of 5 mA or more;
c. ``Stored program controlled'' electron beam physical vapor
(EB-PVD) production equipment incorporating all of the following:
c.1. Power systems rated for over 80 kW;
c.2. A liquid pool level ``laser'' control system which
regulates precisely the ingots feed rate; and
c.3. 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. ``Stored program controlled'' plasma spraying production
equipment having any of the following characteristics:
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. ``Stored program controlled'' sputter deposition production
equipment capable of current densities of 0.1 mA/mm\2\ or higher at
a deposition rate 15 m/h or more;
f. ``Stored program controlled'' cathodic arc deposition
equipment incorporating a grid of electromagnets for steering
control of the arc spot on the cathode;
g. ``Stored program controlled'' ion plating production
equipment allowing for the 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 and equipment, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
NP applies to 2B006.a and .b........... NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: See also 2B206 and 2B996.
Related Definition: (1) Machine tools which can be used as measuring
machines are controlled if they meet or exceed the criteria
specified for the machine tool function or the measuring machine
function. (2) A machine described by this entry is controlled if it
exceeds the control threshold anywhere within its operating range.
Items: a. Computer controlled, ``numerically controlled'' or
``stored program controlled'' dimensional inspection machines,
having a three dimensional length (volumetric) ``measurement
uncertainty'' equal to or less (better) than (1.7 + L/1,000)
m (L is the measured length in mm) tested according to ISO
10360-2;
b. Linear and angular displacement measuring instruments, as
follows:
b.1. Linear measuring instruments having any of the following:
b.1.a. Non-contact type measuring systems with a ``resolution''
equal to or less (better) than 0.2 m within a measuring
range up to 0.2 mm;
b.1.b. Linear voltage differential transformer systems having
all of the following characteristics:
b.1.b.1. ``Linearity'' equal to or less (better) than 0.1%
within a measuring range up to 5 mm; and
b.1.b.2. Drift equal to or less (better) than 0.1% per day at a
standard ambient test room temperature 1 K; or
b.1.c. Measuring systems having all of the following:
b.1.c.1. Containing a ``laser''; and
b.1.c.2. Maintaining, for at least 12 hours, over a temperature
range of 1 K around a standard temperature and at a
standard pressure, all of the following:
b.1.c.2.a. A ``resolution'' over their full scale of 0.1
m or less (better); and
b.1.c.2.b. A ``measurement uncertainty'' equal to or less
(better) than (0.2 + L/2,000) m (L is the measured length
in mm);
Note: 2B006.b.1 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.
b.2. Angular measuring instruments having an ``angular position
deviation'' equal to or less (better) than 0.00025 deg.;
Note: 2B006.b.2 does not control optical instruments, such as
autocollimators, using collimated light to detect angular
displacement of a mirror.
c. Equipment for measuring surface irregularities, by measuring
optical scatter as a function of angle, with a sensitivity of 0.5 nm
or less (better).
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
NS applies to entire entry............. NS Column 2
NP applies to 2B007.c if specially NP Column 1
designed or rated as radiation
hardened to withstand greater than 5 X
10\4\ grays(Si) without operational
degradation; to 2B007.b; and to
specially designed controllers and
``end-effectors'' therefor.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $5000, except 2B007.b and .c
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 2B207 and 2B997
Related Definitions: N/A
Items: a. Capable in real time of full three-dimensional image
processing or three-dimensional scene analysis to generate or modify
``programs'' or to generate or modify numerical program data;
[[Page 2488]]
Note: The scene analysis limitation does not include
approximation of the third dimension by viewing at a given angle, or
limited grey scale interpretation for the perception of depth or
texture for the approved tasks (2\1/2\ D).
b. Specially designed to comply with national safety standards
applicable to explosive munitions environments;
c. Specially designed or rated as radiation-hardened to
withstand greater than 5 x 10\3\ Gy (Si) without operational
degradation; or
d. Specially designed to operate at altitudes exceeding 30,000
m.
2B008 Assemblies, units or inserts specially designed for machine
tools, or for equipment controlled by 2B006 or 2B007, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 2B998
Related Definition: N/A
Items: a. Linear position feedback units (e.g., inductive type
devices, graduated scales, infrared systems or ``laser'' systems)
having an overall ``accuracy'' less (better) than (800 + (600 x L
x 10-\3\)) nm (L equals the effective length in mm);
Note: For ``laser'' systems see also Note to 2B006.b.1.
b. Rotary position feedback units (e.g., inductive type devices,
scales, infrared systems or ``laser'' systems) having an
``accuracy'' less (better) than 0.00025 deg.;
Note: For ``laser'' systems see also Note to 2B006.b.1.
c. ``Compound rotary tables'' and ``tilting spindles'', capable
of upgrading, according to the manufacturer's specifications,
machine tools to or above the levels controlled by 2B001 to 2B009.
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 the characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 2
MT applies to spin-forming machines the MT Column 1
machines combining the functions of
spin-forming and flow-forming; and
flow-forming machines.
NP applies to flow-forming machines; NP Column 1
and spin-forming machines capable of
flow-forming functions.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 2B109 for additional flow-forming
machines for MT and NP reasons. See also 2B209 for additional flow-
forming machines controlled for NP reasons.
Related Definitions: Machines combining the function of spin-forming
and flow-forming are for the purpose of 2B009 regarded as flow-
forming machines.
Items: a. Two or more controlled axes of which at least two can be
coordinated simultaneously for ``contouring control''; and
b. A roller force more than 60 kN.
2B018 Equipment on the International Munitions List.
License Requirements
Reason for Control: NS, MT, RS, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to specialized machinery, MT Column 1
equipment, and gear for producing
rocket systems (including ballistic
missile systems, space launch
vehicles, and sounding rockets) and
unmanned air vehicle systems
(including cruise missile systems,
target drones, and reconnaissance
drones) usable in systems that are
controlled for MT reasons including
their propulsion systems and
components, and pyrolytic deposition
and densification equipment.
RS applies to entire entry............. RS Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: $3000
GBS: Yes for Advisory Note in this entry to 2B018
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definitions: N/A
Items: Specialized machinery, equipment, gear, and specially
designed parts and accessories therefor, including but not limited
to the following, that are specially designed for the examination,
manufacture, testing, and checking of arms, appliances, machines,
and implements of war: a. Armor plate drilling machines, other than
radial drilling machines;
b. Armor plate planing machines;
c. Armor plate quenching presses;
d. Centrifugal casting machines capable of casting tubes 6 feet
(183 cm) or more in length, with a wall thickness of 2 inches (5 cm)
and over;
e. Gun barrel rifling and broaching machines, and tools
therefor;
f. Gun barrel rifling machines;
g. Gun barrel trepanning machines;
h. Gun boring and turning machines;
i. Gun honing machines of 6 feet (183 cm) stroke or more;
j. Gun jump screw lathes;
k. Gun rifling machines;
l. Gun straightening presses;
m. Induction hardening machines for tank turret rings and
sprockets;
n. Jigs and fixtures and other metal-working implements or
accessories of the kinds exclusively designed for use in the
manufacture of firearms, ordnance, and other stores and appliances
for land, sea, or aerial warfare;
o. Small arms chambering machines;
p. Small arms deep hole drilling machines and drills therefor;
q. Small arms rifling machines;
r. Small arms spill boring machines;
s. Tank turret bearing grinding machines.
Advisory Note: Licenses are likely to be approved, as
administrative exceptions, for export and reexport to Country Group
D:1 of equipment used to determine the safety data of explosives, as
required by the International Convention on the Transport of
Dangerous Goods (C.I.M.) articles 3 and 4 in Annex 1 RID, provided
that such equipment will be used only by the railway authorities of
current C.I.M. members, or by the Government-accredited testing
facilities in those countries, for the testing of explosives to
transport safety standards, of the following description:
a. Equipment for determining the ignition and deflagration
temperatures;
b. Equipment for steel-shell tests;
c. Drophammers not exceeding 20 kg in weight for determining
the sensitivity of explosives to shock;
d. Equipment for determining the friction sensitivity of
explosives when exposed to charges not exceeding 36 kg in weight.
2B104 Equipment and process controls designed or modified for
densification and pyrolysis of structural composite rocket nozzles and
reentry vehicle nose tips.
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to 2B104.a NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
[[Page 2489]]
Related Controls: The only ``isostatic presses'' and furnaces
controlled by 2B104 are: (a) ``Isostatic presses'', other than those
controlled by 2B004, having all the following characteristics: (1)
Maximum working pressure of 69 MPa or greater; (2) Designed to
achieve and maintain a thermal environment of 873 K (600 deg. C) or
greater; and (3) Possessing a chamber cavity with an diameter of 254
mm or greater; (b) CVD Furnaces designed or modified for the
densification of carbon-carbon composites.
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B109 Flow-forming machines, other than those controlled by 2B009, and
specially designed components therefor.
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: See also 2B009 and 2B209.
Related Definition: This entry controls only spin-forming machines
combining the functions of spin-forming and flow-forming and flow
forming machines.
Items: a. According to the manufacturer's technical specification,
can be equipped with ``numerical control'' units or a computer
control, even when not equipped with such units; and
b. With more than two axes which can be coordinated
simultaneously for ``contouring control.''
Technical Notes: 1. Machines combining the function of spin-
forming and flow-forming are for the purpose of 2B109 regarded as
flow-forming machines.
2. 2B109 does not control machines that are not usable in the
production of propulsion components and equipment (e.g. motor cases)
for systems in 9A005, 9A007.a, or 9A105.
2B116 Vibration test systems, equipment and components therefor, as
follows (see List of Items Controlled).
License Requirements
Reason for Control: MT, NP, AT
Control(s) Country Chart
MT applies to entire entry............. MT Column 1
NP applies to electrodynamic vibration NP Column 1
test systems, employing feedback or
closed loop control techniques and
incorporating a digital controller,
capable of vibrating at 10 g RMS or
more between 20 Hz and 2000 Hz and
imparting forces of 50 kN (11,250
lbs.) measured ``bare table'', or
greater.
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 9B990
Related Definitions: (1) The term ``digital control'' refers to
equipment, the functions of which are, partly or entirely,
automatically controlled by stored and digitally coded electrical
signals. (2) The term ``bare table'' means a flat table, or surface,
with no fixture or fitting.
Items: a. Vibration test systems employing feedback or closed loop
techniques and incorporating a digital controller, capable of
vibrating a system at 10 g RMS or more over the entire range 20 Hz
to 2,000 Hz and imparting forces of 50 kN (11,250 lbs.), measured
``bare table'', or greater;
b. Digital controllers, combined with specially designed
vibration test ``software'', with a real-time 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 of 50 kN (11,250
lbs.), measured ``bare table'', or greater, 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 of 50 kN, measured
``bare table'', or greater, and usable in vibration test systems
described in 2B116.a.
2B201 Machine tools, other than those controlled by 2B001 for removing
or cutting metals, ceramics or ``composites'', which, according to
manufacturer's technical specification, can be equipped with electronic
for simultaneous ``contouring control'' in two or more axes.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: See also 2B290, 2B991, and 2D002 ``Numerical
control'' units are controlled by their associated ``software''.
Related Definition: N/A
Items: a. Machine tools for milling, having any of the following
characteristics:
a.1. ``Positioning accuracies'' with all compensations available
less (better) than 0.006 mm along any linear axis (positioning); or
a.2. Two or more contouring rotary axes.
Note: 2B201.a. does not control milling having the following
characteristics:
a. X-axis travel greater than 2 m;
b. Overall ``positioning accuracy'' on the x-axis more (worse)
than 0.030 mm.
b. Machine tools for grinding, having any of the following
characteristics:
b.1. ``Positioning accuracies'' with all compensations available
less (better) than 0.004 mm along any linear axis (positioning); or
b.2. Two or more contouring rotary axes.
Note: 2B201.b 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 cylindrical grinding;
2. A maximum workpiece outside diameter or length of 150 mm;
3. Not more than two axes that can be simultaneously for
``contouring control''; and
4. No contouring c axis;
b. Jig grinders with axes limited to x, y, c and a where c-axis
is used to maintain the grinding wheel normal to the work surface,
and the a axis is configured to grind barrel cams;
c. Tool or cutter grinding machines with ``software'' specially
designed for the production of tools or cutters; or
d. Crankshaft or camshaft grinding machines.
c. Machines for turning, that have ``positioning accuracies''
with all compensations available less (better) than 0.006 mm along
any linear axis (overall positioning) for machines capable of
machining diameters greater than 35 mm.
Note: Bar machines (Swissturn), limited to machining only bar
feed thru, are excluded 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.
2B204 ``Isostatic presses,'' not controlled by 2B004 or 2B104, capable
of achieving a maximum working pressure of 69 Mpa (10,000 psi) or
greater and having a chamber cavity with an inside diameter in excess
of 152 mm (6 inches) and specially designed dies, molds, and controls
therefor.
License Requirements
Reason for Control: NP, AT
[[Page 2490]]
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definition: The inside chamber dimension is that of the
chamber in which both the working temperature and working pressure
are achieved and does not include fixtures. That dimension will be
the smaller either the inside diameter of the pressure chamber or
the inside diameter of the insulated chamber, depending on which of
the two chambers is located inside the other.
Items: The list of items controlled is contained in the ECCN
heading.
2B206 Dimensional inspection machines, devices or systems, other than
those controlled by 2B006, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: See also 2B992.
Related Definition: (1) Machine tools that can be used as measuring
machines are controlled if they meet or exceed the criteria
specified for the machine function or the measuring machine
function. (2) A machine controlled by 2B206 is controlled if it
exceeds the control threshold anywhere within its operating range.
(3) The probe used in determining the measurement uncertainty of a
dimensional inspection system shall be described in VDI/VDE 2617
parts 2, 3 and 4.
Items: a. Computer controlled or numerically controlled dimensional
inspection machines having both of the following characteristics:
a.1. Two or more axes; and
a.2. A one-dimensional length ``measurement uncertainty'' equal
to or less (better) than (1.25 + L/1000) m tested with a
probe of ``accuracy'' of less (better) than 0.2 m (L is the
measured length millimeters) (Ref.:VDI/VDE 2617 Parts 1 and 2);
b. Systems for simultaneously linear-angular inspection of
hemishells having both of the following characteristics:
b.1. ``Measurement uncertainty'' along any linear axis equal to
less (better) than 3.5 m per 5 mm; and
b.2. ``Angular position deviation'' equal to or less than
0.02 deg..
2B207 ``Robots'' or ``end-effectors'', other than those controlled by
2B007, specially designed to comply with national safety standards
applicable to handling high explosives (for example, meeting code
ratings for high explosives) and specially designed controllers
therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B209 Flow forming machines, or spin forming machines capable of flow
forming functions, other than those controlled by 2B009 or 2B109, or
mandrels, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value.
Related Controls: N/A.
Related Definition: This entry includes machines which have only a
single roller designed to deform metal plus two auxiliary rollers
which support the mandrel, but do not participate directly in the
deformation process.
Items: a. Machines having any of the following:
a.1. Having three or more rollers (active or guiding); and
a.2. According to the manufacturer's technical specification can
be equipped with ``numerical control'' units or a computer control.
b. Rotor-forming mandrels designed to form cylindrical rotors of
inside diameter between 75 mm (3 in.) and 400 mm (16 in.).
2B225 Remote manipulators that can be used to provide remote actions
in radiochemical separation operations and hot cells, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: N/A.
Related Definition: Remote manipulators provide translation of human
operator actions to a remote operating arm and terminal fixture.
They may be of a ``master/slave'' type or operated by joystick or
keypad.
Items: a. Having a capability of penetrating 0.6 m or more of hot
cell wall (operation); or
b. Having 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).
2B226 Vacuum or controlled environment (inert gas) induction furnaces
capable of operation above 1,123 K (850 deg. C) and having induction
coils 600 mm or less in diameter, and designed for power inputs of 5 kW
or more, and power supplies specially designed therefor with a
specified power output of 5 kW or more.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: See also Category 3B. This entry does not control
furnaces designed for the processing of semiconductor wafers.
Related Definition: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B227 Vacuum and controlled atmosphere metallurgical melting and
casting furnaces and specially configured computer control and
monitoring systems therefor.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definition: N/A
Items: a. Arc remelt and casting furnaces with consumable electrode
capacities
[[Page 2491]]
between 1000 cm\3\ and 20,000 cm\3\, capable of operating with
melting temperatures above 1,973 K (1,700 deg. C);
b. Electron beam melting and plasma atomization and furnaces,
with a power of 50 kW or greater, capable of operating melting
temperatures above 1,473 K (1,200 deg. C).
2B228 Rotor fabrication and assembly equipment and bellows-forming
mandrels and dies, as follows (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Rotor assembly equipment for assembly of gas centrifuge
rotor sections, baffles and end caps, including associated precision
mandrels, clamps and shrink fit machines;
b. Rotor straightening equipment for alignment of gas centrifuge
rotor sections to a common axis;
Technical Note: Normally such equipment will consist 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 (bellows made of high-strength aluminum alloys,
maraging steel or high strength filamentary materials). The bellows
have all of the following dimensions:
c.1. 75 mm to 400 mm inside diameter;
c.2. 12.7 mm or more in length; and
c.3. Single convolution depth more than 2 mm.
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
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. Centrifugal balancing machines designed for balancing
flexible rotors having a length of 600 mm or more and having all of
the following characteristics:
a.1. A swing or journal diameter of 75 mm or more;
a.2. Mass capability of from 0.9 to 23 kg; and
a.3. Capable of balancing speed of revolution more than 5000
r.p.m.;
b. Centrifugal balancing machines designed for balancing hollow
cylindrical rotor components and having all of the following
characteristics:
b.1. A journal diameter of 75 mm or more;
b.2. Mass capability of from 0.9 to 23 kg;
b.3. Capable of balancing to a residual imbalance of 0.01 kg mm/
kg per plane or better; and
b.4. Belt drive type.
2B230 ``Pressure transducers'' which are capable of measuring absolute
pressure at any point in the range 0 to 13 kPa, with pressure sensing
elements made of or protected by nickel, nickel alloys with more than
60% nickel by weight, aluminum or aluminum alloys, having any of the
characteristics (see List of Items Controlled).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: N/A
Related Definitions: (1) Pressure transducers are devices that
convert pressure measurements into an electrical signal. (2) For the
purposes of this entry, ``accuracy'' includes non-linearity,
hysteresis and repeatability at ambient temperature.
Items: a. A full scale of less than 13 kPa and an ``accuracy'' of
better than +/-1% (full-scale); or
b. A full scale of 13 kPa or greater and an ``accuracy'' of
better than +/-130 Pa.
2B231 Vacuum pumps with an input throat size of 380 mm or greater with
a pumping speed of 15,000 liters/s or greater and capable of producing
an ultimate vacuum better than 10-4 Torr
(1.33 x 10-4 mbar).
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: Vacuum pumps for gaseous diffusion separation
process are subject to the export licensing authority of the Nuclear
Regulatory Commission. (See 10 CFR part 110.)
Related Definition: (1) The ultimate vacuum is determined at the
input of the pump with the input of the pump blocked off. (2) The
pumping speed is determined at the measurement point with nitrogen
gas or air.
Items: The list of items controlled is contained in the ECCN
heading.
2B232 Multistage light gas guns or other high-velocity gun systems
(coil, electromagnetic, electrothermal, or other advanced systems)
capable of accelerating projectiles to 2 km/s or greater.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value.
Related Controls: N/A.
Related Definitions: N/A.
Items: The list of items controlled is contained in the ECCN
heading.
2B290 ``Numerically controlled'' machine tools not controlled by
2B001.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number; parts and accessories in $ value
Related Controls: N/A
Related Definition: N/A
Items: a. Turning machines or combination turning/milling machines
that are capable of machining diameters greater than 2.5 meters.
b. Reserved.
2B350 Chemical manufacturing facilities and equipment, as follows (see
List of Items Controlled).
License Requirements
Reason for Control: CB, AT
Control(s) Country Chart
CB applies to entire entry............. CB Column 3
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
[[Page 2492]]
Unit: Equipment in number.
Related Controls: The controls in this entry do not apply to
equipment that is: (a) specially designed for use in civil
applications (e.g., food processing, pulp and paper processing, or
water purification); and (b) inappropriate, by the nature of its
design, for use in storing, processing, producing or conducting and
controlling the flow of chemical weapons precursors controlled by
1C350.
Related Definitions: For purposes of this entry the term ``chemical
warfare agents'' are those agents subject to the export licensing
authority of the U.S. Department of State, Office of Defense Trade
Controls. (See 22 CFR part 121)
Items: a. Reaction vessels or reactors, with or without agitators,
with total internal (geometric) volume greater than 0.1
m3 (100 liters) and less than 20 m3 (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. Alloys with more than 25% nickel and 20% chromium by
weight;
a.2. Fluoropolymers;
a.3. Glass (including vitrified or enamelled coating or glass
lining);
a.4. Nickel or alloys with more than 40% nickel by weight;
a.5. Tantalum or tantalum alloys;
a.6. Titanium or titanium alloys; or
a.7. Zirconium or zirconium alloys;
b. Agitators for use in reaction vessels or reactors where all
surfaces of the agitator 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. Fluoropolymers;
b.3. Glass (including vitrified or enamelled coatings or glass
lining);
b.4. Nickel or alloys with more than 40% nickel by weight;
b.5. Tantalum or tantalum alloys;
b.6. Titanium or titanium alloys; or
b.7. Zirconium or zirconium alloys;
c. Storage tanks, containers or receivers with a total internal
(geometric) volume greater than 0.1 m3 (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. Alloys with more than 25% nickel and 20% chromium by
weight;
c.2. Fluoropolymers;
c.3. Glass (including vitrified or enamelled coatings or glass
lining);
c.4. Nickel or alloys with more than 40% nickel by weight;
c.5. Tantalum or tantalum alloys;
c.6. Titanium or titanium alloys; or
c.7. Zirconium or zirconium alloys;
d. Heat exchangers or condensers with a heat transfer surface
area of less than 20 m2, where all surfaces that comes 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. Fluoropolymers;
d.3. Glass (including vitrified or enamelled coatings or glass
lining);
d.4. Graphite;
d.5. Nickel or alloys with more than 40% nickel by weight;
d.6. Tantalum or tantalum alloys;
d.7. Titanium or titanium alloys; or
d.8. Zirconium or zirconium alloys;
e. Distillation or absorption columns of internal diameter
greater than 0.1 m, 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. Fluoropolymers;
e.3. Glass (including vitrified or enamelled coatings or glass
lining);
e.4. Graphite;
e.5. Nickel or alloys with more than 40% nickel by weight;
e.6. Tantalum or tantalum alloys;
e.7. Titanium or titanium alloys; or
e.8. Zirconium or zirconium alloys;
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% nickels and 20% chromium by
weight, or
f.2. Nickel or alloys with more than 40% nickel by weight;
g. Multiple seal valves incorporating a leak detection port,
bellows-seal valves, non-return (check) valves or diaphragm valves,
in which all surfaces that come in to direct contact with the
chemical(s) being processed or contained are made from any of the
following materials:
g.1. Alloys with more than 25% nickel and 20% chromium by
weight;
g.2. Fluoropolymers;
g.3. Glass (including vitrified or enamelled coatings or glass
lining);
g.4. Nickel or alloys with more than 40% nickel by weight;
g.5. Tantalum or tantalum alloys;
g.6. Titanium or titanium alloys; or
g.7. Zirconium or zirconium alloys;
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. Fluoropolymers;
h.3. Glass (including vitrified or enamelled coatings or glass
lining);
h.4. Graphite;
h.5. Nickel or alloys with more than 40% nickel by weight;
h.6. Tantalum or tantalum alloys;
h.7. Titanium or titanium alloys; or
h.8. Zirconium or zirconium alloys;
i. Multiple-seal, canned drive, magnetic drive, bellows or
diaphragm pumps, with manufacturer's specified maximum flow-rate
greater than 0.6 m3/hour, or vacuum pumps with
manufacturer's specified maximum flow-rate greater than 5
m3/hour (under standard temperature (273 K (0 deg.C)) and
pressure (101.3 kPa) conditions), 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. Ceramics;
i.3. Ferrosilicon;
i.4. Fluoropolymers;
i.5. Glass (including vitrified or enamelled coatings or glass
lining);
i.6. Graphite;
i.7. Nickel or alloys with more than 40% nickel by weight;
i.8. Tantalum or tantalum alloys;
i.9. Titanium or titanium alloys, or
i.10. Zirconium or zirconium alloys;
j. Incinerators designed to destroy chemical warfare agents, or
chemical weapons precursors controlled by 1C350, having specially
designed waste supply systems, special handling facilities and an
average combustion chamber temperature greater than 1000 deg.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. Ceramics; or
j.3. Nickel or alloys with more than 40% nickel by weight.
2B351 Toxic gas monitoring systems and dedicated detectors therefor.
License Requirements
Reason for Control: CB, AT.
Control(s) Country Chart
CB applies to entire entry............. CB Column 3
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Designed for continuous operation and usable for the
detection of chemical warfare agents, chemicals controlled by 1C350
or organic compounds containing phosphorus, sulphur, fluorine or
chlorine, at concentrations of less than 0.3 mg/m3; or
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
CB applies to entire entry............. CB Column 3
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: For purposes of this entry, isolators include
flexible isolators,
[[Page 2493]]
dry boxes, anaerobic chambers and glove boxes.
Items: a. Complete containment facilities at P3 or P4 containment
level;
Technical Note: P3 or P4 (BL3, BL4, L3, L4) containment levels
are as specified in the WHO Laboratory Biosafety Manual (Geneva,
1983).
b. Fermenters capable of cultivation of pathogenic
microorganisms, viruses, or for toxin production, without the
propagation of aerosols, having a capacity equal to or greater than
100 liters.
Technical Note: Fermenters include bioreactors, chemostats, and
continuous-flow systems.
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. A flow rate greater than 100 liters per hour;
c.2. Components of polished stainless steel or titanium;
c.3. Double or multiple sealing joints within the steam
containment area; and
c.4. Capable of in situ steam sterilization in a closed state.
Technical Note: Centrifugal separators include decanters.
d. Cross-flow filtration equipment capable of continuous
separation of pathogenic microorganisms, viruses, toxins, and cell
cultures without the propagation of aerosols, having all of the
following characteristics:
d.1. Equal to or greater than 5 square meters;
d.2. Capable of in situ sterilization.
e. Steam sterilizable freeze-drying equipment with a condenser
capacity greater than 50 kgs of ice in 24 hours but less than 1,000
kgs;
f. Equipment that incorporates or is contained in P3 or P4
containment housing, as follows:
f.1. Independently ventilated protective full or half suits;
f.2. Class III biological safety cabinets or isolators with
similar performance standards;
g. Chambers designed for aerosol challenge testing with
microorganisms, viruses, or toxins and having a capacity of 1
m3 or greater.
2B991 Numerical control units for machine tools and ``numerically
controlled'' machine tools, n.e.s.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Numerical control'' units for machine tools:
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'', with all compensations
available:
c.2.a. Better than 0.020 mm along any linear axis (overall
positioning) for grinding machines;
c.2.b. Better than 0.020 mm along any linear axis (overall
positioning) for milling machines; or
c.2.c. Better than 0.020 mm 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 deg. 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, and specially designed components therefor.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Turning machines using a single point cutting tool and
having all of the following characteristics:
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
AT applies to entire entry............. AT Column 1
License Exceptions
[[Page 2494]]
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B996 Dimensional inspection or measuring systems or equipment not
controlled by 2B006.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: Equipment in number
Related Controls: N/A
Related Definitions: N/A
Items: a. Manual dimensional inspection machines, having both of the
following characteristics:
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);
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 micrometer per 5 mm; and
b.2. ``Angular position deviation'' equal to or less (better)
than 0.02 deg.;
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
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2B998 Assemblies, units or inserts specially designed for machine
tools controlled by 2B991, or for equipment controlled by 2B993, 2B996
or 2B997.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
LVS: N/A
GBS: N/A
CIV: N/A
List of Items Controlled
Unit: $ value
Related Controls: This entry does not control 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.
Related Definition: N/A
Items: a. Spindle assemblies, consisting of spindles and bearings as
a minimal assembly, with radial (``run out'') or axial (``camming'')
axis motion in one revolution of the spindle less (better) than
0.0006 mm total indicator reading (TIR);
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
components capable of upgrading, according to the manufacturer's
specifications, ``numerical control'' units, machine tools or
feedback devices to or above the levels specified in ECCNs 2B991,
2B993, 2B996, 2B997, or 2B998.
C. Materials [Reserved]
D. Software
2D001 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
2A001 or 2B001 to 2B009.
License Requirements
Reason for Control: NS, MT, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for MT Column 1
equipment controlled by 2B004 and
2B009 for MT reasons.
NP applies to specially designed or NP Column 1
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.
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: $ value
Related Controls: See also 2D101 and 2D201
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
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 any of the
following (see List of Items Controlled).
License Requirements
Reason for Control: NS, NP, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
NP applies to entire entry, except NP Column 1
2D002.b.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: (1) See also 2D202. (2) This entry does not
control ``software'' specially designed or modified for the
operation of machine tools not controlled by Category 2.
Related Definitions: N/A
Items: a. Coordinating simultaneously more than 4 axes for
``contouring control''; or
b. ``Real time processing'' of data to modify tool path, feed rate
and spindle data, during the machining operation, by any of the
following:
b.1. 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. ``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.
2D018 ``Software'' for the ``development'', ``production'' or ``use''
of equipment controlled by 2B018.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to ``software'' for MT Column 1
equipment controlled by 2B018 for MT
reasons.
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
[[Page 2495]]
2D101 ``Software'' specially designed for the ``use'' of equipment
controlled by 2B104, 2B109 or 2B116.
License Requirements
Reason for Control: NS, MT, AT
Control(s) Country Chart
NS applies to entire entry............. NS Column 1
MT applies to entire entry............. MT Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: See also 9D004
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D201 ``Software'' specially designed for the ``use'' of equipment
controlled by 2B204, 2B206, 2B207, 2B209, 2B227 or 2B229.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D202 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of equipment controlled by
2B201.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D290 ``Software'' specially designed or modified for the
``development'', ``production'' or ``use'' of items controlled by
2A290, 2A291, 2A292, 2A293, or 2B290.
License Requirements
Reason for Control: NP, AT
Control(s) Country Chart
NP applies to entire entry............. NP Column 2
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D991 ``Software'' specially designed for the ``development'',
``production'', or ``use'' of equipment controlled by 2B991, 2B993, or
2B996, 2B997, and 2B998.
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2D992. Specific ``software'', as follows (see List of Items
Controlled).
License Requirements
Reason for Control: AT
Control(s) Country Chart
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Software'' to provide ``adaptive control'' and having
both of the following characteristics:
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.
2D994 ``Software'' specially designed for the ``development'' or
``production'' of portable electric generators controlled by 2A994.
License Requirements
Reason for Control: AT
Control(s)
AT applies to entire entry. A license is required for items
controlled by this entry to Cuba, Iran, Libya, and North Korea. The
Commerce Country Chart is not designed to determine licensing
requirements for this entry. See part 746 of the EAR for additional
information.
Note: Exports from the U.S. and transhipments to Iran must be
licensed by the Department of Treasury, Office of Foreign Assets
Control. (See Sec. 742.8 and Sec. 746.7 for additional information
on this requirement.)
License Exceptions
CIV: N/A
TSR: N/A
List of Items Controlled
Unit: $ value
Related Controls: N/A
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
E. Technology
2E001 ``Technology'' according to the General Technology Note for the
``development'' of equipment or ``software'' controlled by 2A (except
2A991, 2A993, or 2A994), 2B (except 2B991, 2B993, 2B996, 2B997, or
2B998), or 2D (except 2D991, 2D992, or 2D994).
License Requirements
Reason for Control: NS, MT, NP, CB, AT
Control(s) Country Chart
NS applies to ``technology'' for items NS Column 1
controlled by 2A001, 2B001 to 2B009,
2D001 or 2D002
MT applies to ``technology'' for items MT Column 1
controlled by 2B004, 2B009, 2B018,
2B104, 2B109, 2B116, 2D001 or 2D101
for MT reasons
NP applies to ``technology'' for items NP Column 1
controlled by 2B001, 2B004, 2B006,
2B007 2B009, 2B104, 2B109, 2B204
2B206, 2B207, 2B209, 2B225, 2B226,
2B228, 2B229, 2B231, 2D001, 2D002, or
2D201 for NP reasons
NP applies to ``technology'' for NP Column 2
equipment controlled by 2A290
[[Page 2496]]
CB applies to ``technology'' for CB Column 3
equipment controlled by 2B350 to 2B352
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: N/A
Related Controls: See also 2E101, 2E201, and 2E301
Related Definitions: N/A
Items: The list of items controlled is contained in the ECCN
heading.
2E002 ``Technology'' according to the General Technology Note for the
``production'' of equipment controlled by 2A (except 2A991, 2A993, or
2A994), or 2B (except 2B991, 2B993, 2B996, 2B997, or 2B998).
License Requirements
Reason for Control: NS, MT, NP, CB, AT
Control(s) Country Chart
NS applies to ``technology'' for NS Column 1
equipment controlled by 2A001, 2B001
to 2B009
MT applies to ``technology'' for MT Column 1
equipment controlled by 2B004, 2B009,
2B018, 2B104, 2B109, and 2B116 for MT
reasons
NP applies to ``technology'' for NP Column 1
equipment controlled by 2B001, 2B004,
2B006, 2B007, 2B009, 2B104, 2B109,
2B204, 2B206, 2B207, 2B209, 2B225,
2B226, 2B228, 2B229, or 2B231 for NP
reasons
NP applies to ``technology'' for NP Column 2
equipment controlled by 2A290
CB applies to ``technology'' for CB Column 3
equipment controlled by 2B350 to 2B352
AT applies to entire entry............. AT Column 1
License Requirement Notes: See Sec. 743.1 of the EAR for
reporting requirements for exports under License Exceptions.
License Exceptions
CIV: N/A
TSR: Yes, except N/A for MT
List of Items Controlled
Unit: N/A
Related Controls: 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
NS applies to entire entry............. NS Column 1
AT applies to entire entry............. AT Column 1
License Exceptions
CIV: N/A
TSR: Yes, except 2E003.a, .b, .e and .f
List of Items Controlled
Unit: N/A
Related Controls: N/A
Related Definitions: N/A
Items: a. ``Technology'' for the ``development'' of interactive
graphics as an integrated part in ``numerical control'' units for
preparation or modification of part programs;
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;
c. ``Technology'' for the ``development'' or ``production'' of
hydraulic stretch-forming machines and dies therefor, for the
manufacture of airframe structures;
d. ``Technology'' for the ``development'' of generators of
machine tool instructions (e.g., part programs) from design data
residing inside ``numerical control'' units;
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.
Category 2E--Materials Processing Table; Deposition Techniques
[The numbers in parentheses refer to the Notes following this Table]
------------------------------------------------------------------------
1. Coating Process (1) 2. Substrate 3. Resultant Coating
------------------------------------------------------------------------
A. Chemical Vapor Deposition ``Superalloys''..... Aluminides for
(CVD). internal passages
Ceramics and Low- Silicides
expansion glasses Carbides
(14). Dielectric layers
(15)
Carbon-carbon, Silicides
Ceramic, and Metal Carbides
``matrix'' Refractory metals
``composites''. Mixtures thereof (4)
Dielectric layers
(15)
Aluminides
Alloyed aluminides
(2)
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide. Mixtures thereof (4)
Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
[[Page 2497]]
Sensor window Dielectric layers
materials (9). (15)
B. Thermal-Evaporation
Physical Vapor Deposition
(TE-PVD)
1. Physical Vapor ``Superalloys''..... Alloyed silicides
Deposition (PVD): Alloyed aluminides
Electron-Beam (EB-PVD). (2)
MCrAlX (5)
Modified zirconia
(12)
Silicides
Aluminides
Mixtures thereof (4)
Ceramics and Low- Dielectric layers
expansion glasses (15)
(14).
Corrosion resistant MCrAlX (5)
steel (7). Modified zirconia
(12)
Mixtures thereof (4)
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``composites''. Mixtures thereof (4)
Dielectric layers
(15)
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide. Mixtures thereof (4)
Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Borides
Sensor window Dielectric layers
materials (9). (15)
Titanium alloys (13) Borides
Nitrides
2. Ion assisted Ceramics and Low- Dielectric layers
resistive heating expansion glasses (15)
Physical Vapor (14).
Deposition (Ion
Plating).
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16) (15)
Silicon carbide.
Molybdenum and Dielectric Layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric Layers
materials (9). (15)
3. Physical Vapor Ceramics and Low- Silicides
Deposition: ``laser'' expansion glasses Dielectric layers
evaporation. (14). (15)
Carbon-carbon, Dielectric layers
Ceramic and Metal (15)
``matrix''
``composites''.
Cemented tungsten Dielectric layers
carbide (16), (15)
Silicon carbide.
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Dielectric layers
Beryllium alloys. (15)
Sensor window Dielectric layers
materials (9). (15)
Diamond-like carbon
4. Physical Vapor ``Superalloys''..... Alloyed silicides
Deposition: cathodic Alloyed
arc discharge. Aluminides (2)
MCrAlX (5)
Polymers (11) and Borides
Organic ``matrix'' Carbides
``composites''. Nitrides
C. Pack cementation (see A Carbon-carbon, Silicides
above for out-of-pack Ceramic and Metal Carbides
cementation) (10). ``matrix'' Mixtures thereof (4)
``composites''.
Titanium alloys (13) Silicides
Aluminides
Alloyed aluminides
(2)
Refractory metals Silicides
and alloys (8). Oxides
[[Page 2498]]
D. Plasma spraying.......... ``Superalloys''..... MCrAlX (5)
Modified zirconia
(12)
Mixtures Thereof (4)
Abradable
Nickel-Graphite
Abradable
Ni-Cr-Al-
Bentonite
Abradable
Al-Si-Polyester
Alloyed aluminides
(2)
Aluminum alloys (6). MCrAlX (5)
Modified zirconia
(12)
Silicides
Mixtures thereof (4)
Refractory metals Aluminides
and alloys (8). Silicides
Carbides
Corrosion resistant Modified zirconia
steel (7). (12)
Mixtures thereof (4)
Titanium alloys (13) Carbides
Aluminides
Silicides
Alloyed aluminides
(2)
Abradable
Nickel-Graphite
Abradable
Ni-Cr-Al-
Bentonite
Abradable
Al-Si-Polyester
E. Slurry Deposition........ Refractory metals Fused silicides
alloys (8). Fused aluminides
except for
resistance heating
elements
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Mixtures thereof (4)
``composites''.
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- Silicides
expansion glasses Platinum
(14). Mixtures thereof (4)
Dielectric layers
(15)
Titanium alloys (13) Borides
Nitrides
Oxides
Silicides
Aluminides
Alloyed aluminides
(2)
Carbides
Carbon-carbon, Silicides
Ceramic and Metal Carbides
``matrix'' Refractory metals
``Composites''. Mixtures thereof (4)
Dielectric layers
(15)
Cemented tungsten Carbides
carbide (16), Tungsten
Silicon carbide. Mixtures thereof (4)
Dielectric layers
(15)
Molybdenum and Dielectric layers
Molybdenum alloys. (15)
Beryllium and Borides
Beryllium alloys. Dielectric layers
(15)
Sensor window Dielectric layers
materials (9). (15)
[[Page 2499]]
Refractory metals Aluminides
and alloys (8). Silicides
Oxides
Carbides
G. Ion Implantation......... High temperature Additions of
bearing steels. Chromium, Tantalum,
or Niobium
(Columbium)
Titanium alloys (13) Borides
Nitrides
Beryllium and Borides
Beryllium alloys.
Cemented tungsten Carbides
carbide (16). Nitrides
------------------------------------------------------------------------
Notes to Table on Deposition Techniques
1. The term `coating process' includes coating repair and
refurbishing as well as original coating.
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. Mixtures consist of 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 weight percent in various proportions and combinations, except:
a. CoCrAlY coatings which contain less than 22 weight percent of
chromium, less than 7 weight percent of aluminum and less than 2
weight percent of yttrium;
b. CoCrAlY coatings which contain 22 to 24 weight percent of
chromium, 10 to 12 weight percent of aluminum and 0.5 to 0.7 weight
percent of yttrium; or
c. NiCrAlY coatings which contain 21 to 23 weight percent of
chromium, 10 to 12 weight percent of aluminum and 0.9 to 1.1 weight
percent 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 deg. 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 consist of the following metals and their
alloys: niobium (columbium), molybdenum, tungsten and tantalum.
9. Sensor window materials, as follows: alumina, silicon,
germanium, zinc sulphide, zinc selenide, gallium arsenide and the
following metal halides: potassium iodide, potassium fluoride, or
sensor window materials of more than 40 mm diameter for thallium
bromide and thallium chlorobromide.
10. ``Technology'' for single-step pack cementation of solid
airfoils is not controlled by this Category.
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 to aerospace alloys having an
ultimate tensile strength of 900 MPa or more measured at 293 K
(20 deg. C).
14. Low-expansion glasses refers to glasses which have a
coefficient of thermal expansion of 1 x 10 -7 K
-1 or less measured at 293 K (20 deg. 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.
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. Resistive Heating PVD employs electrically resistive heating
sources capable of producing a controlled and uniform flux of
evaporated coating species;
3. ``Laser'' Evaporation uses either pulsed or continuous wave
``laser'' beams to heat 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.
[[Page 2500]]
Note: This definition does not include random cathodic arc
deposition with non-biased substrates.
c. 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 to be
deposited 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.
d. 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. The substrate and
powder mixture is contained within a retort which is heated to
between 1,030 K (757 deg. C) to 1,375 K (1,102 deg. C) for
sufficient time to deposit the coating.
e. 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 carried out underwater.
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 deg. C) at 0.1 MPa.
f. 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.
g. 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.
h. 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. ``Technology'' 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 coating 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;
e. Masking technique parameters, as follows:
1. Material of mask;
2. Location of mask;
2. ``Technology'' 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;
3. ``Technology'' 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. ``Technology'' 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:
1. Reflectance;
2. Transmission;
3. Absorption;
4. Scatter;
5. ``Technology'' and parameters related to specific coating and
surface modification processes listed in the Table, as follows:
a. For Chemical Vapor Deposition:
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:
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;
f. Substrate orientation;
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 distribution;
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;
[[Continued on page 2501]]