[Federal Register Volume 66, Number 136 (Monday, July 16, 2001)]
[Rules and Regulations]
[Pages 36909-36913]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-17549]
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DEPARTMENT OF COMMERCE
Bureau of Export Administration
15 CFR Parts 772 and 774
[Docket No. 010423100-1100-01]
RIN 0694-AC03
Harmonization of Definitions of Terms
AGENCY: Bureau of Export Administration, Commerce.
ACTION: Final rule.
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SUMMARY: This regulation harmonizes the list of definitions of terms
found in the Export Administration Regulations (EAR) with the terms
found in the Wassenaar Arrangement list of dual-use items and terms
found in the European Union List, as of 1999. Additional changes
regarding definitions will be incorporated into other regulations of
the EAR as necessary.
DATES: This rule is effective July 16, 2001.
ADDRESSES: Comments should be submitted in writing to: U.S. Department
of Commerce, Bureau of Export Administration, Office of Exporter
Services, 14th and Pennsylvania Ave., NW., Room 2705, Washington, DC
20230, Attention: Sharron Cook.
FOR FURTHER INFORMATION CONTACT: Sharron Cook, Regulatory Policy
Division, Office of Exporter Services, Bureau of Export Administration,
Telephone: (202) 482-2440.
SUPPLEMENTARY INFORMATION:
Background
This rule adds definitions to part 772 of the EAR and in some cases
revises or removes definitions to harmonize with definitions found in
the list of terms that accompanied the Wassenaar Arrangement list of
dual-use items and the European Union List. In addition, revisions are
made to the Related Definitions paragraph in the List of Items
Controlled Section of certain Export Control Classification Numbers
(ECCNs) to harmonize with the revisions being made to part 772. Also,
language is added to the introduction to part 772 to clarify that terms
that only appear in a single ECCN will be defined in the Related
Definitions paragraph in
[[Page 36910]]
the List of Items Controlled Section of that ECCN, instead of in part
772.
Rule Making Requirements
1. This final rule has been determined to be not significant for
purposes of Executive Order 12866.
2. Notwithstanding any other provision of law, no person is
required to respond to nor be subject to a penalty for failure to
comply with a collection of information, subject to the requirements of
the Paperwork Reduction Act, unless that collection of information
displays a current valid OMB Control Number. This rule involves a
collection of information subject to the Paperwork Reduction Act of
1980 (44 U.S.C. 3501 et seq.). This collection has been approved by the
Office of Management and Budget under control number 0694-0088. There
are neither additions nor subtractions to this collection due to this
rule.
3. This rule does not contain policies with Federalism impacts as
that term is defined in Executive Order 13132.
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 (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 the Administrative Procedure
Act or by any other law, the analytical requirements of the Regulatory
Flexibility Act (5 U.S.C. 601 et seq.) are not applicable. Therefore,
this regulation is issued in final form. Although there is no formal
comment period, public comments on this regulation are welcome on a
continuing basis. Comments should be submitted to Sharron Cook, Office
of Exporter Services, Bureau of Export Administration, Department of
Commerce, P.O. Box 273, Washington, DC 20044.
List of Subjects in 15 CFR Parts 772 and 774
Exports, Foreign trade.
Accordingly, parts 772 and 774 of the Export Administration
Regulations (15 CFR parts 730-774) are amended, as follows:
1. The authority citation for 15 CFR part 772 continues to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; Pub. L. 106-508; 50
U.S.C. 1701 et seq.; E.O. 13206, 66 FR 18397, April 9, 2001.
2. The authority citation for 15 CFR part 774 continues to read as
follows:
Authority: 50 U.S.C. app. 2401 et seq.; Pub. L. 106-508; 50
U.S.C. 1701 et seq.; 10 U.S.C. 7420; 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; 30 U.S.C. 185(s), 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. 13026, 61
FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13206, 66 FR 18397, April
9, 2001.
PART 772--[AMENDED]
3. Section 772.1 is amended by revising the introductory text to
Sec. 772.1 and:
a. Revising the phrase ``A maximum'' to read ``A minimum'' in the
definition for ``active pixel'';
b. Revising the phrase ``Cat 7 and 9'' to read ``Cat 1, 7, and 9''
in the definition for ``Aircraft'';
c. Revising the phrase ``(ATM)'' to read ``(``ATM'')'' and removing
the parenthetical phrase ``(CCITT Recommendation L.113)'' in the
definition for ``Asynchronous transfer mode'';
d. Revising the phrase ``Cat 7 and 9'' to read ``Cat 1, 7, and 9''
in the definition for ``Civil aircraft'';
e. Revising the phrase ``Cat 1, 6, 8, and 9'' to read ``Cat 1, 2,
6, 8 and 9'' in the definition for ``Composite'';
f. Revising the phrase ``Cat 4'' to read ``Cat 3 and 4'' in the
definition for ``Composite theoretical performance'';
g. Amending the phrase ``numerically controlled'' by adding
quotation marks around it in the definition for ``Contouring control'';
h. Revising the phrase ``variables:'' to read ``variables, perform
all of the following:'' in the definition for ``Digital computer'';
i. Adding the parenthetical phrase ``(See also ``total digital
transfer rate'')'' to the end of the definition for ``Digital transfer
rate'';
j. Revising the phrase ``Cat 6'' to read ``Cat 5 and 6'' in the
definition for ``Electronically steerable phased array antenna'';
k. Revising the phrase ``Cat 4'' to read ``Cat 4 and 7'' in the
definition for ``Expert systems'';
l. Revising the phrase ``Cat 3'' to read ``Cat 3 and 5'' in the
definition for ``Instantaneous bandwidth'';
m. Revising the phrase ``(Ref.: VDI/VDE 2617)'' to read ``(Ref.:
ISO 10360-2 or VDI/VDE 2617)'' in the definition for ``Measurement
uncertainty'';
n. Revising the phrase ``Cat. 1 and 7'' to read ``All Categories''
in the definition for ``Production'';
o. Revising the phrase ``Cat 2 and 4'' to read ``Cat 2, 4, 6, and
7'' in the definition for ``Real time processing'';
q. Revising the phrase ``As applied'' to read ``(General Technology
Note)(Cat 4, 5, 6, and 9)--As applied'' in the definition for
``Required'';
r. Revising the phrase ``Cat 3, 4 and 5'' to read ``Cat 3, 4, 5,
and 6'' in the definition for ``Signal processing'';
s. Revising the phrase ``Cat 4'' to read ``Cat 4, 5, 6, 7, and 9''
in the definition for ``Source Code'';
t. Revising the phrase ``Cat 4'' to read ``Cat 9'' in the
definition for ``Object Code'';
u. Revising the phrase ``Cat 2, 4, and 5'' to read ``Cat 2, 4, 5,
and 6'' in the definition for ``Program'';
v. Revising the phrase ``General Technology Note'' to read ``All
categories and General Technology Note'' in the definition for ``Use'';
w. Revising the definition title ``Superalloys'' to read
``Superalloy''.
x. Revising the definitions for ``Asymmetric algorithm'', ``Basic
gate propagation delay time'', ``Data signalling rate'', ``Personalized
smart card''; and ``Program''.
y. Removing the definitions for ``Bandwidth of one voice channel'',
``Communications channel controller'', ``Computer using facility'',
``Cryptanalysis'', ``Datagram'', ``Family'', ``Fast select'', ``Generic
software'', ``Most immediate storage'', ``PABX'', ``Private Automatic
Branch Exchange'', ``Production facility'', ``Simple educational
devices'', ``Swept frequency network analyzers'', ``Switch fabric'',
``Telecommunication transmission equipment'', ``Two dimensional Vector
Rate'', ``SDH'', ``SONET'', ``Synchronous digital hierarchy'',
``Synchronous optical network''; and
z. Adding the following definitions in alphabetical order, to read
as follows:
Sec. 772.1 Definitions of Terms as Used in the Export Administration
Regulations (EAR).
The following are definitions of terms as used in the Export
Administration Regulations (EAR). In this part, references to the EAR
are references to 15 CFR chapter VII, subchapter C. Those terms in
quotation marks refer to terms used on the Commerce Control List (CCL)
(Supplement No. 1 to part 774 of the EAR). Parenthetical references
following the terms in quotation marks (i.e., (Cat 5)) refer to the CCL
category in which that term is found. If a term is used in only one
Export Control Classification Number (ECCN) on the CCL, then that term
will not appear in this part, but will be defined in the Related
Definitions paragraph in the List
[[Page 36911]]
of Items Controlled Section of that ECCN.
* * * * *
``All compensations available.'' (Cat 2) means after all feasible
measures available to the manufacturer to minimize all systematic
positioning errors for the particular machine-tool model are
considered.
* * * * *
``Asymmetric algorithm.'' (Cat 5) means a cryptographic algorithm
using different, mathematically-related keys for encryption and
decryption.
Technical Note: A common use of ``asymmetric algorithms'' is key
management.
* * * * *
``Basic gate propagation delay time.'' (Cat 3) The propagation
delay time value corresponding to the basic gate used in a ``monolithic
integrated circuit.'' For a `family' of ``monolithic integrated
circuits'', this may be specified either as the propagation delay time
per typical gate within the given `family' or as the typical
propagation delay time per gate within the given `family'.
Technical Notes: 1. ``Basic gate propagation delay time'' is not to
be confused with the input/output delay time of a complex ``monolithic
integrated circuit.''
2. `Family' consists of all integrated circuits to which all of the
following are applied as their manufacturing methodology and
specifications except their respective functions:
a. The common hardware and software architecture;
b. The common design and process technology; and
c. The common basic characteristics.
* * * * *
``Carbon fiber preforms.'' (Cat 1) means an ordered arrangement of
uncoated or coated fibers intended to constitute a framework of a part
before the ``matrix'' is introduced to form a ``composite.''
* * * * *
``Data signalling rate.'' (Cat 5) means the rate, as defined in ITU
Recommendation 53-36, taking into account that, for non-binary
modulation, baud and bit per second are not equal. Bits for coding,
checking and synchronization functions are to be included.
Note: When determining the ``data signalling rate'', servicing
and administrative channels shall be excluded.
Technical Note: It is the maximum one-way rate, i.e., the maximum
rate in either transmission or reception.
* * * * *
``Deformable mirrors.'' (Cat 6) (also known as adaptive optic
mirrors) means mirrors having:
a. A single continuous optical reflecting surface which is
dynamically deformed by the application of individual torques or forces
to compensate for distortions in the optical waveform incident upon the
mirror; or
b. Multiple optical reflecting elements that can be individually
and dynamically repositioned by the application of torques or forces to
compensate for distortions in the optical waveform incident upon the
mirror.
* * * * *
``Depleted uranium.'' (Cat 0) means uranium depleted in the isotope
235 below that occurring in nature.
* * * * *
``Effective Gram.'' (of ``special fissile material'') (Cat 0 and 1)
means:
a. For plutonium isotopes and uranium-233, the isotope weight in
grams;
b. For uranium enriched 1 percent or greater in the isotope
uranium-235, the element weight in grams multiplied by the square of
its enrichment expressed as a decimal weight fraction;
c. For uranium enriched below 1 percent in the isotope uranium-235,
the element weight in grams multiplied by 0.0001.
* * * * *
``Electronic assembly.'' (Cat 3, 4, and 5) means a number of
electronic components (i.e., `circuit elements', `discrete components',
integrated circuits, etc.) connected together to perform (a) specific
function(s), replaceable as an entity and normally capable of being
disassembled.
Technical Notes: 1. `Circuit element': a single active or passive
functional part of an electronic circuit, such as one diode, one
transistor, one resistor, one capacitor, etc.
2. `Discrete component': a separately packaged `circuit element'
with its own external connections.
* * * * *
``FADEC.'' See ``full authority digital engine control.''
* * * * *
``Flight control optical sensor array.'' (Cat 7) is a network of
distributed optical sensors, using ``laser'' beams, to provide real-
time flight control data for on-board processing.
``Flight path optimization.'' (Cat 7) is a procedure that minimizes
deviations from a four-dimensional (space and time) desired trajectory
based on maximizing performance or effectiveness for mission tasks.
* * * * *
``Full Authority Digital Engine Control.'' (``FADEC'') (Cat 7 and
9) means an electronic control system for gas turbine or combined cycle
engines utilizing a digital computer to control the variables required
to regulate engine thrust or shaft power output throughout the engine
operating range from the beginning of fuel metering to fuel shutoff.
* * * * *
``Microcomputer microcircuit.'' (Cat 3) means a ``monolithic
integrated circuit'' or ``multichip integrated circuit'' containing an
arithmetic logic unit (ALU) capable of executing a series of general
purpose instructions from an internal storage, on data contained in the
internal storage.
Technical Note: The ``microprocessor microcircuit'' normally does
not contain integral user-accessible storage, although storage present
on-the-chip may be used in performing its logic function.
Note: This definition includes chip sets which are designed to
operate together to provide the function of a ``microprocessor
microcircuit.''
* * * * *
``Microorganisms.'' (Cat 1 and 2) means bacteria, viruses,
mycoplasms, rickettsiae, chlamydiae or fungi, whether natural, enhanced
or modified, either in the form of isolated live cultures or as
material including living material which has been deliberately
inoculated or contaminated with such cultures.
* * * * *
``Monospectral imaging sensors.'' (Cat 6) are capable of
acquisition of imaging data from one discrete spectral band.
* * * * *
``Natural uranium.'' (Cat 0) means uranium containing the mixtures
of isotopes occurring in nature.
* * * * *
``Nuclear reactor.'' (Cat 0 and 2) includes the items within or
attached directly to the reactor vessel, the equipment which controls
the level of power in the core, and the components which normally
contain, come into direct contact with or control the primary coolant
of the reactor core.
* * * * *
``Personalized smart card.'' (Cat 5) A smart card containing a
microcircuit which has been programmed for a specific application and
cannot be reprogrammed for any other application by the user.
* * * * *
``Previously separated.'' (Cat 1) The application of any process
intended to
[[Page 36912]]
increase the concentration of the controlled isotope.
``Primary flight control.'' (Cat 7) ``Aircraft'' stability or
maneuvering control using force/moment generators, i.e., aerodynamic
control surfaces or propulsive thrust vectoring.
* * * * *
``Program.'' (Cat 2, 4, 5, and 6)--A sequence of instructions to
carry out a process in, or convertible into, a form executable by an
electronic computer.
* * * * *
``SHPL.'' (Cat 6) is equivalent to ``Super High Power Laser'', see
definition for ``super high power laser.''
* * * * *
``Special fissile material.'' (Cat 0) means plutonium-239, uranium-
233, ``uranium enriched in the isotopes 235 or 233'', and any material
containing the foregoing.
Note: As defined by 10 CFR 110.2 of the Nuclear Regulatory
Commission Regulations, ``Special fissile material'' means:
plutonium, uranium-233 or uranium enriched above 0.711 percent by
weight in the isotope uranium-235.
* * * * *
``Total control of flight.'' (Cat 7) means an automated control of
``aircraft'' state variables and flight path to meet mission objectives
responding to real time changes in data regarding objectives, hazards
or other ``aircraft.''
* * * * *
``Toxins.'' (Cat 1 and 2) means toxins in the form of deliberately
isolated preparations or mixtures, no matter how produced, other than
toxins present as contaminants of other materials such as pathological
specimens, crops, foodstuffs or seed stocks of ``microorganisms.''
* * * * *
PART 774--[AMENDED]
4. In Supplement No. 1 to part 774, the Commerce Control List,
Category 0 (Nuclear Materials, Facilities, and Equipment [and
Miscellaneous Items]), Export Control Classification Number (ECCN)
0B001 is amended by revising the Related Definitions paragraph in the
List of Items Controlled Section, to read as follows:
0B001 Plant for the Separation of Isotopes of ``NaturalUranium''
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)
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: ``Materials resistant to corrosion by
UF6'' may be copper, stainless steel, aluminum, aluminum
oxide, aluminum alloys, nickel or alloy containing 60 weight percent or
more nickel and UF6-resistant fluorinated hydrocarbon
polymers, as appropriate for the type of separation process.
Items:
* * * * *
5. In Supplement No. 1 to part 774, the Commerce Control List,
Category 1 (Materials, Chemicals, ``Microorganisms,'' and Toxins),
Export Control Classification Number (ECCN) 1C012 is amended by
revising the List of Items Controlled section, to read as follows:
1C012 Materials, as Follows (see List of Items Controlled)
* * * * *
List of Items Controlled
Unit: N/A.
Related Controls: N/A.
Related Definitions: These materials are typically used for nuclear
heat sources.
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.
6. In Supplement No. 1 to part 774, the Commerce Control List,
Category 4 (Computers), Export Control Classification Number (ECCN)
4A994 is amended by revising the Related Definitions paragraph in the
List of Items Controlled section, to read as follows:
4A994 Computers, ``Electronic Assemblies'', and Related Equipment
not Controlled by 4A001, 4A002, or 4A003, and Specially Designed
Components Therefor
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: ``Two dimensional vector rate'' is the number
vectors generated per second that have 10 pixel poly line vectors, clip
tested, randomly oriented, with either integer or floating point X-Y
coordinate values (whichever produces the maximum rate) (see paragraph
(g) of this ECCN).
Items:
* * * * *
7. In Supplement No. 1 to part 774, the Commerce Control List,
Category 5 (Telecommunications and ``Information Security'', Part I.
Telecommunications), Export Control Classification Number (ECCN) 5A991
is amended by revising the Related Definitions paragraph in the List of
Items Controlled section, to read as follows:
5A991 Telecommunication Equipment, not Controlled by 5A001
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: ``Bandwidth of one voice channel'' is data
communication equipment designed to operate in one voice channel of
3,100 Hz, as defined in CCITT Recommendation G.151. ``Communications
channel controller'' is the physical interface that controls the flow
of synchronous or asynchronous digital information. It is an assembly
that can be integrated into computer or telecommunications equipment to
provide communications access. ``Datagram'' is a self-contained,
independent entity of data carrying sufficient information to be routed
from the source to the destination data terminal equipment without
reliance on earlier exchanges between this source and destination data
terminal equipment and the transporting network. ``Fast select'' is a
facility applicable to virtual calls that allows data terminal
equipment to expand the possibility to transmit data in call set-up and
clearing ``packets'' beyond the basic capabilities of a virtual call,
where a ``packet'' is a group of binary digits including data and call
control signals that is switched as a composite whole. The data, call
control signals, and possible error control information are arranged in
a specified format.
Items:
* * * * *
8. In Supplement No. 1 to part 774, the Commerce Control List,
Category 7 (Navigation and Avionics), Export Control Classification
Number (ECCN) 7A003 is amended by revising the List of Items Controlled
section, to read as follows:
[[Page 36913]]
7A003 Inertial Navigation Systems (Gimballed or Strapdown) and
Inertial Equipment Designed for ``Aircraft'', Land Vehicle or
``Spacecraft'' for Attitude, Guidance or Control, Having any of the
Following Characteristics (see List of Items Controlled), and
Specially Designed Components Therefor
* * * * *
List of Items Controlled
Unit: $ value.
Related Controls: See also 7A103 and 7A994. Inertial navigation
systems and inertial equipment, and specially designed components
therefor specifically designed, modified or configured for military use
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. Navigation error (free inertial) subsequent to normal alignment
of 0.8 nautical mile per hour (50% Circular Error Probable (CEP)) or
less (better); or
b. Specified to function at linear acceleration levels exceeding 10
g.
Note: The parameters of 7A003.a are applicable with any of the
following environmental conditions:
1. Input random vibration with an overall magnitude of 7.7 g rms in
the first half hour and a total test duration of one and one half hour
per axis in each of the three perpendicular axes, when the random
vibration meets the following:
a. A constant power spectral density (PSD) value of 0.04
g2/Hz over a frequency interval of 15 to 1,000 Hz; and
b. The PSD attenuates with frequency from 0.04 g2/Hz to
0.01 g2/Hz over a frequency interval from 1,000 to 2,000 Hz;
or
2. A roll and yaw rate of equal to or more than +2.62 radian/s (150
deg/s); or
3. According to national standards equivalent to 1. or 2. of this
note.
Note: 7A003 does not control inertial navigation systems that
are certified for use on ``civil aircraft'' by civil authorities of
a country in Country Group A:1.
9. In Supplement No. 1 to part 774, the Commerce Control List,
Category 7 (Navigation and Avionics), Export Control Classification
Number (ECCN) 7E004 is amended by revising the Related Controls
paragraph in the List of Items Controlled section, to read as follows:
7E004 Other ``Technology'', as Follows (see List of Items
Controlled)
* * * * *
List of Items Controlled
Unit: * * *
Related Controls: * * *
Related Definitions: ``Primary flight control'' means an
``aircraft'' stability or maneuvering control using force/moment
generators, i.e., aerodynamic control surfaces or propulsive thrust
vectoring.
Items:
* * * * *
Dated: July 5, 2001.
James J. Jochum,
Assistant Secretary for Export Administration.
[FR Doc. 01-17549 Filed 7-13-01; 8:45 am]
BILLING CODE 3510-33-P