CATEGORY 3 - ELECTRONICS

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					Commerce Control List                     Supplement No. 1 to Part 774                        Category 3—page 1

      CATEGORY 3 - ELECTRONICS                              below -54ºC to above +125ºC.

   A. SYSTEMS, EQUIPMENT AND                                NP applies to pulse discharge NP Column 1
          COMPONENTS                                        capacitors in 3A001.e.2
                                                            and superconducting
                                                            solenoidal electromagnets
    Note 1: The control status of equipment and
                                                            in 3A001.e.3 that meet or
components described in 3A001 or 3A002, other
                                                            exceed the technical parameters
than those described in 3A001.a.3 to 3A001.a.10
                                                            in 3A201.a and 3A201.b,
or 3A001.a.12, which are specially designed for
                                                            respectively
or which have the same functional characteristics
as other equipment is determined by the control
                                                            AT applies to entire entry         AT Column 1
status of the other equipment.
                                                            License Exceptions
    Note 2: The control status of integrated
circuits described in 3A001.a.3 to 3A001.a.9 or
                                                                LVS:     N/A for MT or NP
3A001.a.12 that are unalterably programmed or
                                                                         Yes for:
designed for a specific function for other
                                                                         $1500: 3A001.c
equipment is determined by the control status of
                                                                         $3000: 3A001.b.1, b.2, b.3, b.9, .d, .e,
the other equipment.
                                                                         .f, and .g
                                                                         $5000: 3A001.a (except a.1.a and
    N.B.: When the manufacturer or applicant
                                                                         a.5.a when controlled for MT), and
cannot determine the control status of the other
                                                                         .b.4 to b.7
equipment, the control status of the integrated
                                                                GBS:     Yes for 3A001.a.1.b, a..2 to a.12
circuits is determined in 3A001.a.3 to 3A001.a.9
                                                                         (except .a..5.a when controlled for
and 3A001.a.12.
                                                                         MT), b.2, b.8 (except for TWTAs
                                                                         exceeding 18 GHz), b.9., b.10, .g, and
                                                                         .h.
3A001 Electronic components and specially
                                                                CIV:     Yes for 3A001.a.3, a.4, a.7, and a.11.
designed components therefor, as follows (see
List of Items Controlled).
                                                            List of Items Controlled
License Requirements
                                                                Unit: Number.
                                                                Related Controls: 1.)      The following
    Reason for Control: NS, MT, NP, AT
                                                                commodities are under the export licensing
                                                                authority of the Department of State,
Control(s)                          Country Chart
                                                                Directorate of Defense Trade Controls (22
                                                                CFR part 121) when “space qualified” and
NS applies to entire entry          NS Column 2
                                                                operating at frequencies higher than 31.8
                                                                GHz: helix tubes (traveling wave tubes
MT applies to 3A001.a.1.a           MT Column 1
                                                                (TWT)) defined in 3A001.b.1.a.4.c;
when usable in “missiles”;
                                                                microwave solid state amplifiers defined in
and to 3A001.a.5.a when
                                                                3A001.b.4.b traveling wave tube amplifiers
“designed or modified” for
                                                                (TWTA) defined in 3A001.b.8; and
military use, hermetically
                                                                derivatives thereof; 2.) The following
sealed and rated for operation
                                                                commodities are also under the export
in the temperature range from

Export Administration Regulations                                                                   July 15, 2010
Commerce Control List                    Supplement No. 1 to Part 774                        Category 3—page 2

    licensing authority of the Department of State,            - Optical integrated circuits
    Directorate of Defense Trade Controls (22
    CFR part 121): (a) “Space qualified” solar                 a.1. Integrated circuits designed or rated as
    cells, coverglass-interconnect-cells or                radiation hardened to withstand any of the
    covered-interconnect-cells (CIC) assemblies,           following:
    solar arrays and/or solar panels, with a
    minimum average efficiency of 31% or                             a.1.a. A total dose of 5 x 103 Gy (Si), or
    greater measured at an operating temperature           higher;
    of 301 K (28ºC) under simulated ‘AM0'
    illumination with an irradiance of 1,367 Watts                  a.1.b. A dose rate upset of 5 x 106 Gy
    per square meter (W/m2 ), and associated solar         (Si)/s, or higher; or
    concentrators, power conditioners and/or
    controllers, bearing and power transfer                        a.1.c. A fluence (integrated flux) of
    assemblies, and deployment                             neutrons (1 MeV equivalent) of 5 x 1013 n/cm² or
    hardware/systems; (b) Radiation-hardened               higher on silicon, or its equivalent for other
    microelectronic circuits controlled by                 materials;
    Category XV (d) of the United States
                                                                   Note: 3A001.a.1.c does not apply to
    Munitions List (USML); and (c) All
                                                           Metal Insulator Semiconductors (MIS).
    specifically designed or modified systems or
    subsystems, components, parts, accessories,                 a.2. “Microprocessor microcircuits”,
    attachments, and associated equipment                  “microcomputer microcircuits”, microcontroller
    controlled by Category XV (e) of the USML.             microcircuits, storage integrated circuits
     See also 3A101, 3A201, and 3A991.                     manufactured from a compound semiconductor,
    Related Definitions: For the purposes of               analog-to-digital converters, digital-to-analog
    integrated circuits in 3A001.a.1, 5 x 103              converters, electro-optical or “optical integrated
    Gy(Si) = 5 x 105 Rads (Si); 5 x 106 Gy (Si)/s          circuits” designed for “signal processing”, field
    = 5 x 108 Rads (Si)/s.                                 programmable logic devices, custom integrated
    Items:                                                 circuits for which either the function is unknown
                                                           or the control status of the equipment in which the
a.    General purpose integrated circuits, as              integrated circuit will be used in unknown, Fast
follows:                                                   Fourier Transform (FFT) processors, electrical
                                                           erasable programmable read-only memories
    Note 1: The control status of wafers (finished         (EEPROMs), flash memories or static
or unfinished), in which the function has been             random-access memories (SRAMs), having any of
determined, is to be evaluated against the                 the following:
parameters of 3A001.a.
                                                                  a.2.a. Rated for operation at an ambient
     Note 2: Integrated circuits include the               temperature above 398 K (125°C);
following types:
                                                                  a.2.b. Rated for operation at an ambient
    -   Monolithic integrated circuits                     temperature below 218 K (-55°C); or
    -   Hybrid integrated circuits
    -   Multichip integrated circuits                             a.2.c. Rated for operation over the entire
    -   Film type integrated circuits, including           ambient temperature range from 218 K (-55° C) to
        silicon-on-sapphire integrated circuits            398 K (125° C);

Export Administration Regulations                                                                  July 15, 2010
Commerce Control List                    Supplement No. 1 to Part 774                      Category 3—page 3

    Note: 3A001.a.2 does not apply to integrated               Technical Notes:
circuits for civil automobile or railway train
applications.                                                      1. A resolution of n bit corresponds to a
                                                           quantization of 2n levels.
    a.3.     “Microprocessor microcircuits”,
“mic rocomputer microcircuits” and                                2. The number of bits in the output word
microcontroller microcircuits, manufactured from           is equal t o the resolution of the
a compound semiconductor and operating at a                analogue-to-digital converter.
clock frequency exceeding 40 MHz;
                                                                   3. The output rate is the maximum
    Note: 3A001.a.3 includes digital signal                output rate of the converter, regardless of
processors, digital array processors and digital           architecture or oversampling. Vendors may also
coprocessors.                                              refer to the output rate as sampling rate,
                                                           conversion rate or throughput rate. It is often
    a.4. Storage integrated circuits manufactured          specified in megahertz (MHz) or mega samples
from a compound semiconductor;                             per second (MSPS).

   a.5. Analog-to-digital and digital-to-analog                    4. For the purpose of measuring output
converter integrated circuits, as follows:                 rate, one output word per second is equivalent to
                                                           one Hertz or one sample per second.
        a.5.a. Analog-to-digital converters having
any of the following:                                          a.6. Electro-optical and “optical integrated
                                                           circuits”, designed for “signal processing” and
            a.5.a.1. A resolution of 8 bit or more,        having all of the following:
but less than 10 bit, with an output rate greater
than 500 million words per second;                                 a.6.a. One or more than one internal
                                                           “laser” diode;
             a.5.a..2 A resolution of 10 bit or
more, but less than 12 bit, with an output rate                    a.6.b. One or more than one internal light
greater than 200 million words per second;                 detecting element; and

            a.5.a.3. A resolution of 12 bit with an                 a.6.c. Optical waveguides;
output rate greater than 105 million words per
second;                                                        a.7. ‘Field programmable logic devices’
                                                           having any of the following:
             a.5.a.4. A resolution of more than 12
bit but equal to or less than 14 bit with an output                a.7.a. A maximum number of digital
rate greater than 10 million words per second; or          input/outputs greater than 200; or

            a.5.a.5. A resolution of more than 14                 a.7.b. A system gate count of greater than
bit with an output rate greater than 2.5 million           230,000;
words per second;
                                                                    Note: 3A001.a.7 includes:
         a.5.b. Digital-to-analog converters with a
resolution of 12 bit or more and a “settling time”                  -   Simple Programmable Logic Devices
of less than 10 ns;                                                     (SPLDs)

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Commerce Control List                    Supplement No. 1 to Part 774                      Category 3—page 4

         -   Complex Programmable           Logic                  a.11.a. An equivalent gate count of more
             Devices (CPLDs)                               than 3,000 (2 input gates); or

         -   Field Programmable Gate Arrays                         a.11.b. A toggle frequency exceeding 1.2
             (FPGAs)                                       GHz;

         -   Field Programmable Logic Arrays                   a.12. Fast Fourier Transform (FFT) processors
             (FPLAs)                                       having a rated execution time for an N-point
                                                           complex FFT of less than (N log2 N)/20,480 ms,
         -   Field Programmable Interconnects              where N is the number of points;
             (FPICs)
                                                                   Technical Note: When N is equal to
         Technical Notes:                                  1,024 points, the formula in 3A001.a.12 gives an
                                                           execution time of 500 µs.
         1. ‘Field programmable logic devices’
are also known as field programmable gate or               b. Microwave or millimeter wave components, as
field programmable logic arrays.                           follows:

         2. Maximum number of digital                          b.1. Electronic vacuum tubes and cathodes, as
input/outputs in 3A001.a.7.a is also referred to as        follows:
maximum user input/outputs or maximum
available input/ outputs, whether the integrated               Note 1: 3A001.b.1 does not control tubes
circuit is packaged or bare die.                           designed or rated for operation in any frequency
                                                           band and having all of the following:
    a.8. [RESERVED]
                                                                    a. Does not exceed 31.8 GHz; and
    a.9. Neural network integrated circuits;
                                                                   b. Is “allocated by the ITU” for
     a.10. Custom integrated circuits for which the        radio-communications services, but not for
function is unknown, or the control status of the          radio-determination.
equipment in which the integrated circuits will be
used is unknown to the manufacturer, having any                 Note 2: 3A001.b.1 does not control
of the following:                                          non-“space-qualified” tubes having all the
                                                           following:
         a.10.a. More than 1,500 terminals;
                                                                   a) An average output power equal to or
        a.10.b. A typical “basic gate propagation          less than 50 W; and
delay time” of less than 0.02 ns; or
                                                                  b) Designed or rated for operation in any
         a.10.c. An operating frequency exceeding          frequency band and having all of the following:
3 GHz;
                                                                       1) Exceeds 31.8 GHz but does not
    a.11. Digital integrated circuits, other than          exceed 43.5 GHz; and
those described in 3A001.a.3 to 3A001.a.10 and
3A001.a.12, based upon any compound                                  2) Is “allocated by the ITU” for
semiconductor and having any of the following:             radio-communications services, but not for

Export Administration Regulations                                                               July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                       Category 3—page 5

radio-determination.                                        with an average output power greater than 4W (36
                                                            dBm) with a “fractional bandwidth” greater than
       b.1.a. Traveling wave tubes, pulsed or               15%;
continuous wave, as follows:
                                                                    b.2.b. Rated for operation at frequencies
            b.1.a.1.    Tubes operating           at        exceeding 6 GHz up to and including 16 GHz and
frequencies exceeding 31.8 GHz;                             with an average output power greater than 1W (30
                                                            dBm) with a “fractional bandwidth” greater than
            b.1.a.2. Tubes having a cathode                 10%;
heater element with a turn on time to rated RF
power of less than 3 seconds;                                        b.2.c. Rated for operation at frequencies
                                                            exceeding 16 GHz up to and including 31.8 GHz
             b.1.a.3. Coupled cavity tubes, or              and with an average output power greater than
derivatives thereof, with a “fractional bandwidth”          0.8W (29 dBm) with a “fractional bandwidth”
of more than 7% or a peak power exceeding 2.5               greater than 10%;
kW;
                                                                   b.2.d. Rated for operation at frequencies
            b.1.a.4. Helix tubes, or derivatives            exceeding 31.8 GHz up to and including 37.5
thereof, having any of the following:                       GHz;

               b.1.a.4.a.   An “instantaneous                        b.2.e. Rated for operation at frequencies
bandwidth” of more than one octave, and average             exceeding 37.5 GHz up to and including 43.5 GHz
power (expressed in kW) times frequency                     and with an average output power greater than
(expressed in GHz) of more than 0.5;                        0.25W (24 dBm) with a “fractional bandwidth”
                                                            greater than 10%; or
               b.1.a.4.b. An “instantaneous
bandwidth” of one octave or less, and average                      b.2.f. Rated for operation at frequencies
power (expressed in kW) times frequency                     exceeding 43.5 GHz.
(expressed in GHz) of more than 1; or
                                                                 Note 1: 3A001.b.2 does not control broadcast
                 b.1.a.4.c. Being “space qualified”;        satellite equipment designed or rated to operate in
                                                            the frequency range of 40.5 to 42.5 GHz.
        b.1.b. Crossed-field amplifier tubes with
a gain of more than 17 dB;                                      Note 2: The control status of the MMIC
                                                            whose rated operating frequency includes
        b.1.c. Impregnated cathodes designed for            frequencies listed in more than one frequency
electronic tubes producing a continuous emission            range, as defined by 3A001.b.2.a through
current density at rated operating conditions               3A001.b.2.f, is determined by the lowest average
exceeding 5 A/cm2 ;                                         output power control threshold.

    b.2. Microwave “Monolithic Integrated                       Note 3: Notes 1 and 2 following the Category
Circuits” (MMIC) power amplifiers having any of             3 heading for A. Systems, Equipment, and
the following:                                              Components mean that 3A001.b.2. does not
                                                            control MMICs if they are specially designed for
       b.2.a. Rated for operation at frequencies            other applications, e.g., telecommunications,
exceeding 3.2 GHz up to and including 6 GHz and             radar, automobiles.

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Commerce Control List                   Supplement No. 1 to Part 774                       Category 3—page 6

    b.3. Discrete microwave transistors having            and with an average output power greater than
any of the following:                                     15W (42 dBm) with a “fractional bandwidth”
                                                          greater than 10%;
        b.3.a. Rated for operation at frequencies
exceeding 3.2 GHz up to and including 6 GHz and                  b.4.c. Rated for operation at frequencies
having an average output power greater than 60W           exceeding 31.8 GHz up to and including 37.5
(47.8 dBm);                                               GHz;

       b.3.b. Rated for operation at frequencies                  b.4.d. Rated for operation at frequencies
exceeding 6 GHz up to and including 31.8 GHz              exceeding 37.5 GHz up to and including 43.5 GHz
and having an average output power greater than           and with an average output power greater than 1W
20W (43 dBm);                                             (30 dBm) with a “fractional bandwidth” greater
                                                          than 10%;
       b.3.c. Rated for operation at frequencies
exceeding 31.8 GHz up to and including 37.5 GHz                  b.4.e. Rated for operation at frequencies
and having an average output power greater than           exceeding 43.5 GHz; or
0.5W (27 dBm);
                                                                  b.4.f. Rated for operation at frequencies
       b.3.d. Rated for operation at frequencies          above 3.2 GHz and all of the following:
exceeding 37.5 GHz up to and including 43.5 GHz
and having an average output power greater than                      b.4.f.1. An average output power (in
1W (30 dBm); or                                           watts), P, greater than 150 divided by the
                                                          maximum operating frequency (in GHz) squared
       b.3.e. Rated for operation at frequencies          [P > 150 W*GHz2 /fGHz2 ];
exceeding 43.5 GHz;
                                                                     b.4.f.2. A “fractional bandwidth” of
    Note: The control status of a transistor              5% or greater; and
whose rated operating frequency includes
frequencies listed in more than one frequency                         b.4.f.3. Any two sides perpendicular
range, as defined by 3A001.b.3.a through                  to one another with length d (in cm) equal to or
3A001.b.3.e, is determined by the lowest average          less than 15 divided by the lowest operating
output power control threshold.                           frequency in GHz [d # 15 cm*GHz/ fGHz];

    b.4. Microwave solid state amplifiers and                 Technical Note: 3.2 GHz should be used as
microwave assemblies/modules containing                   the lowest operating frequency (fGHz) in the
microwave solid state amplifiers, having any of           formula in 3A001.b.4.f.3., for amplifiers that have
the following:                                            a rated operation range extending downward to
                                                          3.2 GHz and below [d#15cm*GHz/3.2 fGHz].
        b.4.a. Rated for operation at frequencies
exceeding 3.2 GHz up to and including 6 GHz and               N.B.: MMIC power amplifiers should be
with an average output power greater than 60W             evaluated against the criteria in 3A001.b.2.
(47.8 dBm) with a “fractional bandwidth” greater
than 15%;                                                    Note 1:        3A001.b.4. does not control
                                                          broadcast satellite equipment designed or rated to
       b.4.b. Rated for operation at frequencies          operate in the frequency range of 40.5 to 42.5
exceeding 6 GHz up to and including 31.8 GHz              GHz.

Export Administration Regulations                                                                July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                         Category 3—page 7

     Note 2: The control status of an item whose            consisting of, at least, a traveling wave tube, a
rated operating frequency includes frequencies              microwave “monolithic integrated circuit” and an
listed in more than one frequency range, as                 integrated electronic power conditioner and
defined by 3A001.b.4.a through 3A001.b.4.e, is              having all of the following:
determined by the lowest average output power
control threshold.                                                  b.9.a. A ‘turn-on time’ from off to fully
                                                            operational in less than 10 seconds;
    b.5. Electronically or magnetically tunable
band-pass or band-stop filters, having more than                    b.9.b. A volume less than the maximum
5 tunable resonators capable of tuning across a             rated power in Watts multiplied by 10 cm3 /W; and
1.5:1 frequency band (fmax /fmin) in less than 10 µs
and having any of the following:                                     b.9.c. An “instantaneous bandwidth”
                                                            greater than 1 octave (fmax . > 2fmin,) and having any
        b.5.a. A band-pass bandwidth of more                of the following:
than 0.5% of center frequency; or
                                                                        b.9.c.1. For frequencies equal to or
       b.5.b. A band-stop bandwidth of less than            less than 18 GHz, an RF output power greater
0.5% of center frequency;                                   than 100 W; or

    b.6. [RESERVED]                                                      b.9.c.2. A frequency greater than 18
                                                            Ghz;
    b.7.  Converters and harmonic mixers,
designed to extend the frequency range of                       Technical Notes:
equipment described in 3A002.c, 3A002.d,
3A002.e or 3A002.f beyond the limits stated                      1. To calculate the volume in 3A001.b.9.b.,
therein;                                                    the following example is provided: for a maximum
                                                            rated power of 20 W, the volume would be: 20 W
    b.8. Microwave power amplifiers containing              X 10 cm3 /W = 200 cm3 .
tubes controlled by 3A001.b.1 and having all of
the following:                                                   2. The ‘turn-on time’ in 3A001.b.9.a. refers to
                                                            the time from fully-off to fully operational, i.e., it
        b.8.a.   Operating frequencies above 3              includes the warm-up time of the MPM.
GHz;
                                                                b.10. Oscillators or oscillator assemblies,
        b.8.b. An average output power to mass              designed to operate with all of the following:
ratio exceeding 80 W/kg; and
                                                                      b.10.a. A single sideband (SSB) phase
                                               3
        b.8.c. A volume of less than 400 cm ;               noise, in dBc/Hz, better than -(126+20 log10 F-20
                                                            log10 f) for 10 Hz <F<10 kHz; and
    Note: 3A001.b.8 does not control equipment
designed or rated for operation in any frequency                      b.10.b. A single sideband (SSB) phase
band which is “allocated by the ITU” for                    noise, in dBc/Hz, better than -(114+20 log10 F-20
radio-communications services, but not for                  log10 f) for 10 kHz < F < 500 kHz;
radio-determination.
                                                                Technical Note: In 3A001.b.10., F is the
    b.9. Microwave power modules (MPM),                     offset from the operating frequency in Hz and f is

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Commerce Control List                    Supplement No. 1 to Part 774                        Category 3—page 8

the operating frequency in MHz.                                c.2. Bulk (volume) acoustic wave devices
                                                           that permit the direct processing of signals at
c. Acoustic wave devices as follows and specially          frequencies exceeding 6 GHz;
designed components therefor:
                                                               c.3.    Acoustic-optic “signal processing”
    c.1. Surface acoustic wave and surface                 devices employing interaction between acoustic
skimming (shallow bulk) acoustic wave devices ,            waves (bulk wave or surface wave) and light
having any of the following:                               waves that permit the direct processing of signals
                                                           or images, including spectral analysis, correlation
        c.1.a. A carrier frequency exceeding 6             or convolution;
GHz;
                                                           Note: 3A001.c does not control acoustic wave
         c.1.b. A carrier frequency exceeding 1            devices that are limited to a single band pass, low
GHz, but not exceeding 6 GHz and having any of             pass, high pass or notch filtering, or resonating
the following:                                             function.

             c.1.b.1.  A ‘frequency side-lobe              d. Electronic devices and circuits containing
rejection’ exceeding 65 dB;                                components, manufactured from
                                                           “superconductive” materials, specially designed
           c.1.b.2. A product of the maximum               for operation at temperatures below the “critical
delay time and the bandwidth (time in µs and               temperature” of at least one of the
bandwidth in MHz) of more than 100;                        “superconductive” constituents and having any of
                                                           the following:
             c.1.b.3. A bandwidth greater than 250
MHz; or                                                        d.1. Current switching for digital circuits
                                                           using “superconductive” gates with a product of
            c.1.b.4. A dispersive delay of more            delay time per gate (in seconds) and power
than 10 µs; or                                             dissipation per gate (in watts) of less than 10-14 J;
                                                           or
        c.1.c. A carrier frequency of 1 GHz or
less and having any of the following:                          d.2. Frequency selection at all frequencies
                                                           using resonant circuits with Q-values exceeding
           c.1.c.1. A product of the maximum               10,000;
delay time and the bandwidth (time in µs and
bandwidth in MHz) of more than 100;                        e. High energy devices as follows:

            c.1.c.2. A dispersive delay of more                e.1. ‘Cells’ as follows:
than 10 µs; or
                                                                   e.1.a. ‘Primary cells’ having an ‘energy
             c.1.c.3. A ‘frequency side-lobe               density’ exceeding 550 Wh/kg at 293 K (20ºC);
rejection’ exceeding 65 dB and a bandwidth
greater than 100 MHz;                                              e.1.b. ‘Secondary cells’ having an
                                                           ‘energy density’ exceeding 250 Wh/kg at 293 K
    Technical Note: ‘Frequency side-lobe                   (20ºC);
rejection’ is the maximum rejection value
specified in data sheet.

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Commerce Control List                      Supplement No. 1 to Part 774                        Category 3—page 9

    Technical Notes:                                                 e.2.b. Capacitors with a repetition rate of
                                                             10 Hz or more (repetition rated capacitors) and
    1. For the purpose of 3A001.e.1., ‘energy                having all of the following:
density’ (Wh/kg) is calculated from the nominal
voltage multiplied by the nominal capacity in                           e.2.b.1. A voltage rating equal to or
ampere-hours (Ah) divided by the mass in                     more than 5 kV;
kilograms. If the nominal capacity is not stated,
energy density is calculated from the nominal                           e.2.b.2. An energy density equal to or
voltage squared then multiplied by the discharge             more than 50 J/kg;
duration in hours divided by the discharge load in
Ohms and the mass in kilograms.                                         e.2.b.3. A total energy equal to or
                                                             more than 100 J; and
    2. For the purpose of 3A001.e.1., a ‘cell’ is
defined as an electrochemical device, which has                          e.2.b.4. A charge/discharge cycle life
positive and negative electrodes, an electrolyte,            equal to or more than 10,000;
and is a source of electrical energy. It is the basic
building block of a battery.                                      e.3. “Superconductive” electromagnets and
                                                             solenoids, specially designed to be fully charged
    3. For the purpose of 3A001.e.1.a., a                    or discharged in less than one second and having
‘primary cell’ is a ‘cell’ that is not designed to be        all of the following:
charged by any other source.
                                                                 Note:     3A001.e.3 does not control
    4. For the purpose of 3A001.e.1.b., a                    “superconductive” electromagnets or solenoids
‘secondary cell’ is a ‘cell’ that is designed to be          specially designed for Magnetic Resonance
charged by an external electrical source.                    Imaging (MRI) medical equipment.

Note: 3A001.e. does not control batteries,                           e.3.a. Energy delivered during the
including single-cell batteries.                             discharge exceeding 10 kJ in the first second;

    e.2.   High energy storage capacitors as                         e.3.b. Inner diameter of the current
follows:                                                     carrying windings of more than 250 mm; and

                                                                    e.3.c. Rated for a magnetic induction of
        e.2.a. Capacitors with a repetition rate of
                                                             more than 8 T or “overall current density” in the
less than 10 Hz (single shot capacitors) and                 winding of more than 300 A/mm2;
having all of the following:
                                                                 e.4. Solar cells, cell-interconnect-coverglass
           e.2.a.1. A voltage rating equal to or             (CIC) assemblies, solar panels, and solar arrays,
more than 5 kV;                                              which are “space qualified,” having a minimum
                                                             average efficiency exceeding 20% at an operating
           e.2.a.2. An energy density equal to or            temperature of 301 K (28ºC) under simulated
                                                             ‘AM0' illumination with an irradiance of 1,367
more than 250 J/kg; and
                                                             Watts per square meter (W/m2 );
           e.2.a.3. A total energy equal to or
                                                                 Technical Note: ‘AM0', or ‘Air Mass Zero’,
more than 25 kJ;
                                                             refers to the spectral irradiance of sun light in the

Export Administration Regulations                                                                    July 15, 2010
Commerce Control List                    Supplement No. 1 to Part 774                        Category 3—page 10

earth's outer atmosphere when the distance                 devices and ‘thyristor modules’ incorporated into
between the earth and sun is one astronomical              equipment designed for civil railway or “civil
unit (AU).                                                 aircraft” applications.

f. Rotary input type absolute position encoders            h. Solid-state power semiconductor switches,
having an accuracy equal to or less (better) than ±        diodes, or ‘modules’, having all of the following:
1.0 second of arc;
                                                               h.1.    Rated for a maximum operating
g. Solid-state pulsed power switching thyristor            junction temperature greater than 488 K (215°C);
devices and ‘thyristor modules’, using either
electrically, optically, or electron radiation                 h.2.    Repetitive peak off-state voltage
controlled switch methods and having any of the            (blocking voltage) exceeding 300 V; and
following:
                                                               h.3.       Continuous current greater than 1 A.
     g.1.     A maximum turn-on current rate of
rise (di/dt) greater than 30,000 A/µs and off-state            Technical Note:   For the purposes of
voltage greater than 1,100 V; or                           3A001.h, ‘modules’ contain one or more
                                                           solid-state power semiconductor switches or
     g.2.     A maximum turn-on current rate of            diodes.
rise (di/dt) greater than 2,000 A/µs and having all
of the following:                                              Note 1: Repetitive peak off-state voltage in
                                                           3A001.h includes drain to source voltage,
        g.2.a. An off-state peak voltage equal to          collector to emitter voltage, repetitive peak
or greater than 3,000 V; and                               reverse voltage and peak repetitive off-state
                                                           blocking voltage.
         g.2.b. A peak (surge) current equal to or
greater than 3,000 A;                                          Note 2: 3A001.h. includes:

    Note 1: 3A001.g. includes:                                 -      Junction Field Effect Transistors (JFETs)

    -     Silicon Controlled Rectifiers (SCRs)                 -      Vertical Junction Field Effect Transistors
                                                                      (VJFETs)
    -     Electrical Triggering Thyristors (ETTs)
                                                               -      Metal Oxide Semiconductor Field Effect
    -     Light Triggering Thyristors (LTTs)                          Transistors (MOSFETs)

    -     Integrated Gate Commutated Thyristors                -      Double Diffused Metal Oxide
          (IGCTs)                                                     Semiconductor Field Effect Transistor
                                                                      (DMOSFET)
    -     Gate Turn-off Thyristors (GTOs)
                                                               -      Insulated Gate Bipolar Transistor (IGBT)
    -     MOS Controlled Thyristors (MCTs)
                                                               -      High Electron Mobility Transistors
    -     Solidtrons                                                  (HEMTs)

Note 2:       3A001.g. does not control thyristor              -      Bipolar Junction Transistors (BJTs)

Export Administration Regulations                                                                   July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                      Category 3—page 11

    -   Thyristors and        Silicon   Controlled                       per track and have up to 28 tracks or
        Rectifiers (SCRs)                                                2 MHz per track and have up to 42
                                                                         tracks; 2) Tape speed does not exceed
    -   Gate Turn-Off Thyristors (GTOs)                                  6.1 m/s; 3) They are not designed for
                                                                         underwater use; 4) They are not
    -   Emitter Turn-Off Thyristors (ETOs)                               ruggedized for military use; and 5)
                                                                         Recording density does not exceed
    -   PiN Diodes                                                       653.2 magnetic flux sine waves per
                                                                         mm); and 3A002.b (synthesized
    -   Schottky Diodes                                                  output frequency of 2.6 GHz or less;
                                                                         and a “frequency switching time” of
        Note 3: 3A001.h. does not apply to                               0.3 ms or more).
switches, diodes, or ‘modules’ incorporated into
equipment designed for civil automobile, civil              List of Items Controlled
railway, or “civil aircraft” applications.
                                                                Unit: Number
                                                                Related Controls: “Space qualified” atomic
3A002 General purpose electronic equipment                      frequency standards defined in 3A002.g.1 are
and accessories therefor, as follows (see List of               subject to the export licensing authority of the
Items Controlled).                                              Department of State, Directorate of Defense
                                                                Trade Controls (22 CFR part 121.1, Category
License Requirements                                            XV). See also 3A292 and 3A992.
                                                                Related Definitions: Constant percentage
    Reason for Control: NS, AT                                  bandwidth filters are also known as octave or
                                                                fractional octave filters.
Control(s)                          Country Chart               Items:

NS applies to entire entry          NS Column 2             a. Recording equipment as follows and specially
                                                            designed test tape therefor:
AT applies to entire entry          AT Column 1
                                                                a.1. Analog instrumentation magnetic tape
    License Requirement Notes: See §743.1 of                recorders, including those permitting the
the EAR for reporting requirements for exports              recording of digital signals (e.g., using a high
under License Exceptions.                                   density digital recording (HDDR) module), having
                                                            any of the following:
License Exceptions
                                                                    a.1.a. A bandwidth exceeding 4 MHz per
    LVS:     $3000: 3A002.a, .e, .f, .g;                    electronic channel or track;
             $5000: 3A002.b to .d
    GBS:     Yes for 3A002.a.1.; and 3A002.b                        a.1.b. A bandwidth exceeding 2 MHz per
             (synthesized output frequency of 2.6           electronic channel or track and having more than
             GHz or less and a “frequency                   42 tracks; or
             switching time” of 0.3 ms or more).
    CIV:     Yes for 3A002.a.1 (provided all of                    a.1.c. A time displacement (base) error,
             the following conditions are met: 1)           measured in accordance with applicable IRIG or
             Bandwidths do not exceed: 4 MHz                EIA documents, of less than ± 0.1 µs;

Export Administration Regulations                                                                  July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                       Category 3—page 12

        Note: Analog magnetic tape recorders                        a.5.b. A ‘continuous throughput’ of 2
specially designed for civilian video purposes are          Gbit/s or more;
not considered to be instrumentation tape
recorders.                                                      Technical Notes:

    a.2. Digital video magnetic tape recorders                  1. For those instruments with a parallel bus
having a maximum digital interface transfer rate                   architecture, the ‘continuous’ throughput
exceeding 360 Mbit/s;                                              rate is the highest word rate multiplied by
                                                                   the number of bits in a word.
    Note: 3A002.a.2 does not control digital
video magnetic tape recorders specially designed                2. ‘Continuous throughput’ is the fastest
for television recording using a signal format,                    data rate the instrument can output to
which may include a compressed signal format,                      mass storage without the loss of any
standardized or recommended by the ITU, the                        information while sustaining the
IEC, the SMPTE, the EBU , the ETSI, or the IEEE                    sampling rate and analog-to-digital
for civil television applications.                                 conversion.

    a.3. Digital instrumentation magnetic tape                   a.6. Digital instrumentation data recorders
data recorders employing helical scan techniques            using magnetic disk storage technique and having
or fixed head techniques and having any of the              all of the following:
following:
                                                                     a.6.a. Digitizing rate equal to or more than
         a.3.a. A maximum digital interface                 100 million samples per second and a resolution
transfer rate exceeding 175 Mbit/s; or                      of 8 bits or more; and

        a.3.b. Being “space qualified”;                             a.6.b. A ‘continuous throughput’ of 1
                                                            Gbit/s or more;
    Note: 3A002.a.3 does not control analog
magnetic tape recorders equipped with HDDR                  b. “Frequency synthesizer” “electronic
conversion electronics and configured to record             assemblies” having a “frequency switching time”
only digital data.                                          from one selected frequency to another of less
                                                            than 1 ms;
    a.4. Equipment having a maximum digital
interface transfer rate exceeding 175 Mbit/s and            Note: The control status of “signal analyzers”,
designed to convert digital video magnetic tape             signal generators, network analyzers, and
recorders for use as digital instrumentation data           microwave test receivers as stand-alone
recorders;                                                  instruments is determined by 3A002.c., 3A002.d.,
                                                            3A002.e., and 3A002.f., respectively.
    a.5. Waveform digitizers and transient
recorders, having all of the following:                     c. Radio-frequency “signal analyzers” as follows:

    N.B.: See also 3A292.                                       c.1. “Signal analyzers” capable of analyzing
                                                            any frequencies exceeding 31.8 GHz but not
        a.5.a. Digitizing rates equal to or more            exceeding 37.5 GHz and having a 3 dB resolution
than 200 million samples per second and a                   bandwidth (RBW) exceeding 10 MHz;
resolution of 10 bits or more; and

Export Administration Regulations                                                                   July 15, 2010
Commerce Control List                      Supplement No. 1 to Part 774                     Category 3—page 13

    c.2. “Signal analyzers” capable of analyzing                     d.3.e. Less than 1 ms within the
frequencies exceeding 43.5 GHz;                              synthesized frequency range exceeding 43.5 GHz;
                                                             or
    c.3. “Dynamic signal analyzers” having a
“real-time bandwidth” exceeding 500 kHz;                         d.4. A maximum synthesized frequency
                                                             exceeding 3.2 GHz and having all of the
    Note: 3A002.c.3 does not control those                   following:
“dynamic signal analyzers” using only constant
percentage bandwidth filters (also known as                            d.4.a. A single sideband (SSB) phase
octave or fractional octave filters).                        noise, in dBc/Hz, better than - (126+20 log10 F-20
                                                             log10 f) for 10 Hz <F<10 kHz; and
d. Frequency synthesized signal generators
producing output frequencies, the accuracy and                         d.4.b. A single sideband (SSB) phase
short term and long term stability of which are              noise, in dBc/Hz, better than - (114+20 log10 F-20
controlled, derived from or disciplined by the               log10 f) for 10 kHz <F< 500 kHz;
internal master reference oscillator, and having
any of the following:                                            Technical Note:      In 3A002.d.4, F is the
                                                             offset from the operating frequency in Hz and f is
    d.1. A maximum synthesized frequency                     the operating frequency in MHz.
exceeding 31.8 GHz, but not exceeding 43.5 GHz
and rated to generate a 'pulse duration' of less than        Note 1: For the purpose of 3A002.d., frequency
100 ns;                                                      synthesized signal generators include arbitrary
                                                             waveform and function generators.
    d.2. A maximum synthesized frequency
exceeding 43.5 GHz;                                          Note 2: 3A002.d. does not control equipment in
                                                             which the output frequency is either produced by
     d.3. A “frequency switching time” from one              the addition or subtraction of two or more crystal
selected frequency to another as specified by any            oscillator frequencies, or by an addition or
of the following:                                            subtraction followed by a multiplication of the
                                                             result.
        d.3.a.   Less than 312 ps;
                                                                 Technical Notes:
        d.3.b. Less than 100 :s for any
frequency change exceeding 1.6 GHz within the                    1. Arbitrary waveform and function
synthesized frequency range exceeding 3.2 GHz                generators are normally specified by sample rate
but not exceeding 10.6 GHz;                                  (e.g., GSample/s), which is converted to the RF
                                                             domain by the Nyquist factor of two. Thus, a 1
        d.3.c. Less than 250 :s for any                      GSample/s arbitrary waveform has a direct output
frequency change exceeding 550 MHz within the                capability of 500 MHz. Or, when oversampling is
synthesized frequency range exceeding 10.6 GHz               used, the maximum direct output capability is
but not exceeding 31.8 GHz;                                  proportionately lower.

        d.3.d. Less than 500 :s for any                           2. For the purposes of 3A002.d.1., 'pulse
frequency change exceeding 550 MHz within the                duration' is defined as the time interval between
synthesized frequency range exceeding 31.8 GHz               the leading edge of the pulse achieving 90% of the
but not exceeding 43.5 GHz; or                               peak and the trailing edge of the pulse achieving

Export Administration Regulations                                                                  July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                    Category 3—page 14

10% of the peak.                                            3A003 Spray cooling thermal management
                                                            systems employing closed loop fluid handling
    Note: 3A002.d does not control equipment in             and reconditioning equipment in a sealed
which the output frequency is either produced by            enclosure where a dielectric fluid is sprayed
the addition or subtraction of two or more crystal          onto electronic components using specially
oscillator frequencies, or by an addition or                designed spray nozzles that are designed to
subtraction followed by a multiplication of the             maintain electronic components within their
result.                                                     operating temperature range, and specially
                                                            designed components therefor.
e. Network analyzers with a maximum operating
frequency exceeding 43.5 GHz;                               License Requirements

f. Microwave test receivers having all of the                   Reason for Control: NS, AT
following:
                                                            Control(s)                      Country Chart
    f.1.   A maximum operating frequency
exceeding 43.5 GHz; and                                     NS applies to entire entry      NS Column 2

    f.2. Being capable of measuring amplitude               AT applies to entire entry      AT Column 1
and phase simultaneously;
                                                            License Exceptions
g. Atomic frequency standards being any of the
following:                                                      LVS:     N/A
                                                                GBS:     N/A
                                                                CIV:     N/A
    g.1.       “Space qualified”;

    g.2.      Non-rubidium and having a long-term           List of Items Controlled
stability less (better) than 1 x 10-11 /month; or
                                                                Unit: Number of systems, components in $
     g.3.    Non-“space qualified” and having all               Related Controls: N/A
of the following:                                               Related Definitions: N/A
                                                                Items:
           g.3.a.   Being a rubidium standard;
                                                            The list of items controlled is contained in the
        g.3.b. Long-term stability less (better)            ECCN heading.
than 1 x 10-11/month; and

        g.3.c.      Total power consumption of less         3A101 Electronic equipment, devices and
than 1 Watt.                                                components, other than those controlled by
                                                            3A001, as follows (see List of Items
                                                            Controlled).

                                                            License Requirements

                                                                Reason for Control: MT, AT

Export Administration Regulations                                                               July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                      Category 3—page 15

Control(s)                          Country Chart           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             AT applies to entire entry        AT Column 1

License Exceptions                                          License Exceptions

    LVS:     N/A                                                LVS:     N/A
    GBS:     N/A                                                GBS:     N/A
    CIV:     N/A                                                CIV:     N/A

List of Items Controlled                                    List of Items Controlled

    Unit: Number                                                Unit: Number
    Related Controls: Items controlled in 3A101.a               Related Controls: (1) See ECCNs 3E001
    are subject to the export licensing authority of            (“development” and “production”) and 3E201
    the U.S. Department of State, Directorate of                (“use”) for technology for items controlled
    Defense Trade Controls (See 22 CFR part                     under this entry. (2) Also see 3A001.e.2
    121).                                                       (capacitors) and 3A001.e.3 (superconducting
    Related Definitions: N/A                                    electromagnets).        (3) Superconducting
    Items:                                                      electromagnets specially designed or prepared
                                                                for use in separating uranium isotopes are
a. Analog-to-digital converters, usable in                      subject to the export licensing authority of the
“missiles”, designed to meet military                           Nuclear Regulatory Commission (see 10 CFR
specifications for ruggedized equipment;                        part 110).
                                                                Related Definitions: N/A
b. Accelerators capable of delivering                           Items:
electromagnetic radiation produced by
bremsstrahlung from accelerated electrons of 2              a. Pulse discharge capacitors having either of the
MeV or greater, and systems containing those                following sets of characteristics:
accelerators, usable for the “missiles” or the
subsystems of “missiles”.                                       a.1. Voltage rating greater than 1.4 kV,
                                                            energy storage greater than 10 J, capacitance
    Note: 3A101.b above does not include                    greater than 0.5 µF, and series inductance less
equipment specially designed for medical                    than 50 nH; or
purposes.
                                                                a.2. Voltage rating greater than 750 V,
                                                            capacitance greater than 0.25 µF, and series
3A201 Electronic components, other than                     inductance less than 10 nH;
those controlled by 3A001, as follows (see List
of Items Controlled).                                       b. Superconducting solenoidal electromagnets
                                                            having all of the following characteristics:
License Requirements
                                                                b.1. Capable of creating magnetic fields
    Reason for Control: NP, AT                              greater than 2 T;

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Commerce Control List                    Supplement No. 1 to Part 774                     Category 3—page 16

    b.2. A ratio of length to inner diameter               respect to t, over the lesser of 1 µs or the time
greater than 2;                                            duration of the beam pulse (Q = I idt), where i is
                                                           beam current in amperes and t is time in seconds.
    b.3. Inner diameter greater than 300 mm; and
                                                               2. “Peak power” = (peak potential in volts) x
    b.4. Magnetic field uniform to better than 1%          (peak beam current in amperes).
over the central 50% of the inner volume;
                                                               3. In machines based on microwave
    Note: 3A201.b does not control magnets                 accelerating cavities, the time duration of the
specially designed for and exported “as parts of”          beam pulse is the lesser of 1 µs or the duration of
medical nuclear magnetic resonance (NMR)                   the bunched beam packet resulting from one
imaging systems. The phrase “as part of” does              microwave modulator pulse.
not necessarily mean physical part in the same
shipment; separate shipments from different                    4. In machines based on microwave
sources are allowed, provided the related export           accelerating cavities, the peak beam current is the
documents clearly specify that the shipments are           average current in the time duration of a bunched
dispatched “as part of” the imaging systems.               beam packet.

c. Flash X-ray generators or pulsed electron
accelerators having either of the following sets of        3A225 Frequency changers (also known as
characteristics:                                           converters or inverters) or generators, other
                                                           than those described in 0B001.c.11, having all
    c.1. An accelerator peak electron energy of            of the following characteristics (see List of
500 keV or greater, but less than 25 MeV, and              Items Controlled).
with a “figure of merit” (K) of 0.25 or greater; or
                                                           License Requirements
    c.2. An accelerator peak electron energy of
25 MeV or greater, and a “peak power” greater                  Reason for Control: NP, AT
than 50 MW;
                                                           Control(s)                       Country Chart
    Note: 3A201.c does not control accelerators
that are component parts of devices designed for           NP applies to entire entry       NP Column 1
purposes other than electron beam or X-ray
radiation (electron microscopy, for example) nor           AT applies to entire entry       AT Column 1
those designed for medical purposes.
                                                           License Exceptions
    Technical Notes:
                                                               LVS:     N/A
    1. The “figure of merit” K is defined as: K =              GBS:     N/A
1.7 x 103 V2.65 Q. V is the peak electron energy in            CIV:     N/A
million electron volts. If the accelerator beam
pulse duration is less than or equal to 1 µs, then         List of Items Controlled
Q is the total accelerated charge in Coulombs. If
the accelerator beam pulse duration is greater                 Unit: Number
than 1 µs, then Q is the maximum accelerated                   Related Controls: (1) See ECCNs 3E001
charge in 1 µs. Q equals the intergral of i with               (“development” and “production”) and 3E201

Export Administration Regulations                                                                 July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                    Category 3—page 17

    (“use”) for technology for items controlled                 Related Controls: (1) See ECCNs 3E001
    under this entry. (2) Frequency changers                    (“development” and “production”) and 3E201
    (also known as converters or inverters)                     (“use”) for technology for items controlled
    specially designed or prepared for use in                   under this entry. (2) Also see ECCN 3A227.
    separating uranium isotopes are subject to the              (3) Direct current power supplies specially
    export licensing authority of the Nuclear                   designed or prepared for use in separating
    Regulatory Commission (see 10 CFR part                      uranium isotopes are subject to the export
    110).                                                       licensing authority of the Nuclear Regulatory
    Related Definitions: N/A                                    Commission (see 10 CFR part 110).
    Items:                                                      Related Definitions: N/A
                                                                Items:
a. A multiphase output capable of providing a
power of 40 W or more;                                      a. Capable of continuously producing, over a time
                                                            period of 8 hours, 100 V or greater with current
b. Capable of operating in the frequency range              output of 500 A or greater; and
between 600 and 2000 Hz;
                                                            b. Current or voltage stability better than 0.1%
c. Total harmonic distortion below 10%; and                 over a time period of 8 hours.

d. Frequency control better than 0.1%.
                                                            3A227 High-voltage direct current power
                                                            supplies, other than those described in
3A226 High-power direct current power                       0B001.j.5, having both of the following
supplies, other than those described in                     characteristics (see List of Items Controlled).
0B001.j.6, having both of the following
characteristics (see List of Items Controlled).             License Requirements

License Requirements                                            Reason for Control: NP, AT

    Reason for Control: NP, AT                              Control(s)                      Country Chart

Control(s)                          Country Chart           NP applies to entire entry      NP Column 1

NP applies to entire entry          NP Column 1             AT applies to entire entry      AT Column 1

AT applies to entire entry          AT Column 1             License Exceptions

License Exceptions                                              LVS:     N/A
                                                                GBS:     N/A
    LVS:     N/A                                                CIV:     N/A
    GBS:     N/A
    CIV:     N/A                                            List of Items Controlled

List of Items Controlled                                        Unit: $ value
                                                                Related Controls: (1) See ECCNs 3E001
    Unit: $ value                                               (“development” and “production”) and 3E201

Export Administration Regulations                                                                July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                    Category 3—page 18

    (“use”) for technology for items controlled                 Items:
    under this entry. (2) Also see ECCN 3A226.
    (3) Direct current power supplies specially             a. Cold-cathode tubes, whether gas filled or not,
    designed or prepared for use in separating              operating similarly to a spark gap, having all of
    uranium isotopes are subject to the export              the following characteristics:
    licensing authority of the Nuclear Regulatory
    Commission (see 10 CFR part 110).                           a.1. Containing three or more electrodes;
    Related Definitions: N/A
    Items:                                                     a.2. Anode peak voltage rating of 2.5 kV or
                                                            more;
a. Capable of continuously producing, over a time
period of 8 hours, 20 kV or greater with current               a.3. Anode peak current rating of 100 A or
output of 1 A or greater; and                               more; and

b. Current or voltage stability better than 0.1%                a.4. Anode delay time of 10 microsecond or
over a time period of 8 hours.                              less.

                                                            Technical Note: 3A228.a includes gas krytron
3A228 Switching devices, as follows (see List               tubes and vacuum sprytron tubes.
of Items Controlled).
                                                            b. Triggered spark-gaps having both of the
License Requirements                                        following characteristics:

    Reason for Control: NP, AT                                  b.1. An anode delay time of 15µs or less; and

Control(s)                          Country Chart              b.2. Rated for a peak current of 500 A or
                                                            more.
NP applies to entire entry          NP Column 1
                                                            c. Modules or assemblies with a fast switching
AT applies to entire entry          AT Column 1             function having all of the following
                                                            characteristics:
License Exceptions
                                                                c.1. Anode peak voltage rating greater than
    LVS:     N/A                                            2 kV;
    GBS:     N/A
    CIV:     N/A                                               c.2. Anode peak current rating of 500 A or
                                                            more; and
List of Items Controlled
                                                                c.3. Turn-on time of 1µs or less.
    Unit: Number
    Related Controls: (1) See ECCNs 3E001
    (“development” and “production”) and 3E201
    (“use”) for technology for items controlled
    under this entry. (2) Also see ECCN
    3A991.k.
    Related Definitions: N/A

Export Administration Regulations                                                                   July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 19

3A229 Firing sets and equivalent high-current               having all of the following characteristics:
pulse generators (for detonators controlled by
3A232), as follows (see List of Items                           b.1. Designed for portable, mobile, or
Controlled).                                                ruggedized use;

License Requirements                                            b.2. Enclosed in a dust-tight enclosure;

    Reason for Control: NP, AT                                  b.3. Capable of delivering their energy in less
                                                            than 15 µs ;
Control(s)                          Country Chart
                                                                b.4. Having an output greater than 100 A;
NP applies to entire entry          NP Column 1
                                                                b.5. Having a “rise time” of less than 10 µs
AT applies to entire entry          AT Column 1             into loads of less than 40 ohms;

License Exceptions                                              b.6. No dimension greater than 254 mm;

    LVS:     N/A                                                b.7. Weight less than 25 kg; and
    GBS:     N/A
    CIV:     N/A                                                b.8. Specified for use over an extended
                                                            temperature range 223 K (-50°C) to 373 K
List of Items Controlled                                    (100°C) or specified as suitable for aerospace
                                                            applications.
    Unit: Number
    Related Controls: (1) See ECCNs 3E001 and
    1E001(“development” and “production”) and               3A230 High-speed pulse generators having
    3E201 and 1E201 (“use”) for technology for              both of the following characteristics (see List of
    items controlled under this entry. (2) High             Items Controlled).
    explosives and related equipment for military
    use are subject to the export licensing                 License Requirements
    authority of the U.S. Department of State,
    Directorate of Defense Trade Controls (see 22               Reason for Control: NP, AT
    CFR part 121).
    Related Definitions: In 3A229.b.5, “rise                Control(s)                        Country Chart
    time” is defined as the time interval from 10%
    to 90% current amplitude when driving a                 NP applies to entire entry        NP Column 1
    resistive load.
    ECCN Controls: 3A229.b includes xenon                   AT applies to entire entry        AT Column 1
    flash-lamp drivers.
    Items:                                                  License Exceptions

a. Explosive detonator firing sets designed to                  LVS:     N/A
drive multiple controlled detonators controlled by              GBS:     N/A
3A232;                                                          CIV:     N/A

b. Modular electrical pulse generators (pulsers)

Export Administration Regulations                                                                  July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 20

List of Items Controlled                                        Related Definitions: N/A
                                                                Items:
    Unit: Number
    Related Controls:        See ECCNs 3E001                a. Designed for operation without an external
    (“development” and “production”) and 3E201              vacuum system; and
    (“use”) for technology for items controlled
    under this entry.                                       b. Utilizing electrostatic acceleration to induce a
    Related Definitions: In 3A230.b, “pulse                 tritium-deuterium nuclear reaction.
    transition time” is defined as the time interval
    between 10% and 90% voltage amplitude.
    Items:                                                  3A232 Detonators and multipoint initiation
                                                            systems, as follows (see List of Items
a. Output voltage greater than 6 V into a resistive         Controlled).
load of less than 55 ohms; and
                                                            License Requirements
b. “Pulse transition time” less than 500 ps.
                                                                Reason for Control: NP, AT

3A231 Neutron generator systems, including                  Control(s)                        Country Chart
tubes, having both of the following
characteristics (see List of Items Controlled).             NP applies to entire entry        NP Column 1

License Requirements                                        AT applies to entire entry        AT Column 1

    Reason for Control: NP, AT                              License Exceptions

Control(s)                          Country Chart               LVS:     N/A
                                                                GBS:     N/A
NP applies to entire entry          NP Column 1                 CIV:     N/A

AT applies to entire entry          AT Column 1             List of Items Controlled

License Exceptions                                              Unit: Number
                                                                Related Controls: (1) See 1A007 for
    LVS:     N/A                                                electrically driven explosive detonators. (2)
    GBS:     N/A                                                See ECCNs 3E001 (“development” and
    CIV:     N/A                                                “production”) and 3E201 (“use”) for
                                                                technology for items controlled under this
List of Items Controlled
                                                                entry. (3) High explosives and related
    Unit: Number; parts and accessories in $                    equipment for military use are subject to the
    value                                                       export licensing authority of the U.S.
    Related Controls:     See ECCNs 3E001                       Department of State, Directorate of Defense
    (“development” and “production”) and 3E201                  Trade Controls (see 22 CFR part 121).
    (“use”) for technology for items controlled                 Related Definitions: N/A
    under this entry.                                           ECCN Controls: This entry does not control

Export Administration Regulations                                                                  July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                      Category 3—page 21

    detonators using only primary explosives,                   specially designed or prepared for analyzing
    such as lead azide.                                         on-line samples of UF6 gas streams are
    Items:                                                      subject to the export licensing authority of the
                                                                Nuclear Regulatory Commission (see 10 CFR
a. [RESERVED]                                                   part 110).
                                                                Related Definitions: N/A
b. Arrangements using single or multiple                        Items:
detonators designed to nearly simultaneously
initiate an explosive surface over an area greater          a. Inductively coupled plasma mass spectrometers
than 5,000 mm2 from a single firing signal with an          (ICP/MS);
initiation timing spread over the surface of less
than 2.5 µs.                                                b. Glow discharge mass spectrometers (GDMS);

Technical Note:         The word initiator is               c. Thermal ionization mass spectrometers (TIMS);
sometimes used in place of the word detonator.
                                                            d. Electron bombardment mass spectrometers that
                                                            have a source chamber constructed from, lined
3A233 Mass spectrometers, other than those                  with or plated with materials resistant to UF6 ;
described in 0B002.g, capable of measuring
ions of 230 atomic mass units or greater and                e. Molecular beam mass spectrometers having
having a resolution of better than 2 parts in               either of the following characteristics:
230, and ion sources therefor.
                                                                e.1. A source chamber constructed from,
License Requirements                                        lined with or plated with stainless steel or
                                                            molybdenum and equipped with a cold trap
    Reason for Control: NP, AT                              capable of cooling to 193 K (-80° C) or less; or

Control(s)                          Country Chart               e.2. A source chamber constructed from,
                                                            lined with or plated with materials resistant to
NP applies to entire entry          NP Column 1             UF6 ;

AT applies to entire entry          AT Column 1             f.    Mass spectrometers equipped with a
                                                            microfluorination ion source designed for
License Exceptions                                          actinides or actinide fluorides.

    LVS:     N/A
    GBS:     N/A                                            3A292 Oscilloscopes and transient recorders
    CIV:     N/A                                            other than those controlled by 3A002.a.5, and
                                                            specially designed components therefor.
List of Items Controlled
                                                            License Requirements
    Unit: Number
    Related Controls: (1) See ECCNs 3E001                      Reason for Control: NP, AT
    (“development” and “production”) and 3E201              Control(s)                  Country Chart
    (“use”) for technology for items controlled
    under this entry. (2) Mass spectrometers                NP applies to entire entry        NP Column 2

Export Administration Regulations                                                                  July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                    Category 3—page 22

AT applies to entire entry          AT Column 1                 Note:     Specially designed components
                                                            controlled by this item are the following, for
License Exceptions                                          analog oscilloscopes:

    LVS:     N/A                                                1. Plug-in units;
    GBS:     N/A
    CIV:     N/A                                                2. External amplifiers;

List of Items Controlled                                        3. Pre-amplifiers;

    Unit: Number                                                4. Sampling devices;
    Related Controls:      See ECCN 3E292
    (“development”, “production”, and “use”) for                5. Cathode ray tubes.
    technology for items controlled under this
    entry.
    Related Definitions: “Bandwidth” is defined             3A980 Voice print identification and analysis
    as the band of frequencies over which the               equipment and parts, n.e.s.
    deflection on the cathode ray tube does not
    fall below 70.7% of that at the maximum                 License Requirements
    point measured with a constant input voltage
    to the oscilloscope amplifier.                              Reason for Control: CC
    Items:
                                                            Control(s)                      Country Chart
a. Non-modular analog oscilloscopes having a
bandwidth of 1 GHz or greater;                              CC applies to entire entry      CC Column 1

b. Modular analog oscilloscope systems having               License Exceptions
either of the following characteristics:
                                                                LVS:     N/A
    b.1. A mainframe with a bandwidth of 1 GHz                  GBS:     N/A
or greater; or                                                  CIV:     N/A

   b.2. Plug-in modules with an individual                  List of Items Controlled
bandwidth of 4 GHz or greater;
                                                                Unit: Equipment in number
c. Analog sampling oscilloscopes for the analysis               Related Controls: N/A
of recurring phenomena with an effective                        Related Definitions: N/A
bandwidth greater than 4 GHz;                                   Items:

d. Digital oscilloscopes and transient recorders,           The list of items controlled is contained in the
using analog-to-digital conversion techniques,              ECCN heading.
capable of storing transients by sequentially
sampling single-shot inputs at successive intervals
of less than 1 ns (greater than 1 giga-sample per
second), digitizing to 8 bits or greater resolution
and storing 256 or more samples.

Export Administration Regulations                                                               July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                           Category 3—page 23

3A981       Polygraphs (except biomedical                   3A991 Electronic devices and components not
recorders designed for use in medical facilities            controlled by 3A001.
for monitoring biological and neurophysical
responses); fingerprint analyzers, cameras and              License Requirements
equipment, n.e.s.; automated fingerprint and
identification retrieval systems, n.e.s.;                       Reason for Control: AT
psychological stress analysis equipment;
electronic monitoring restraint devices; and                Control(s)                             Country Chart
specially designed parts and accessories, n.e.s.
                                                            AT applies to entire entry             AT Column 1
License Requirements
                                                            License Requirements Notes:
    Reason for Control: CC
                                                            See 744.17 of the EAR for additional license
Control(s)                          Country Chart           requirements for commodities classified as
                                                            3A991.a.1.
CC applies to entire entry          CC Column 1
                                                            License Exceptions
License Exceptions
                                                                LVS:      N/A
    LVS:     N/A                                                GBS:      N/A
    GBS:     N/A                                                CIV:      N/A
    CIV:     N/A
                                                            List of Items Controlled
List of Items Controlled
                                                                Unit: Equipment in number
    Unit: Equipment in number                                   Related Controls: N/A
    Related Controls: See ECCN 0A982 for                        Related Definitions: N/A
    other types of restraint devices                            Items:
    Related Definitions: N/A
    Items:                                                  a.        “ M i croprocessor micro c i r c u i t s ” ,
                                                            “ mi c r o c o mp u t e r mi c r o c i r c u i t s ” , a n d
The list of items controlled is contained in the            microcontroller microcircuits having any of the
ECCN heading.                                               following:

Note to ECCN 3A981. In this ECCN, electronic                   a.1. A performance speed of 5 GFLOPS or
monitoring restraint devices are devices used to            more and an arithmetic logic unit with an access
record or report the location of confined persons           width of 32 bit or more;
for law enforcement or penal reasons. The term
does not include devices that confine memory                  a.2. A clock frequency rate exceeding 25
impaired patents to appropriate medical facilities.         MHz; or

                                                                a.3. More than one data or instruction bus or
                                                            serial communication port that provides a direct
                                                            external interconnection between parallel
                                                            “microprocessor microcircuits” with a transfer

Export Administration Regulations                                                                        July 15, 2010
Commerce Control List                    Supplement No. 1 to Part 774                     Category 3—page 24

rate of 2.5 Mbyte/s.                                       d. Field programmable logic devices having
                                                           either of the following:
b. Storage integrated circuits, as follows:
                                                              d.1. An equivalent gate count of more than
    b.1. Electrical erasable programmable                  5000 (2 input gates); or
read-only memories (EEPROMs) with a storage
capacity;                                                      d.2. A toggle frequency exceeding 100 MHz;

         b.1.a. Exceeding 16 Mbits per package             e. Fast Fourier Transform (FFT) processors
for flash memory types; or                                 having a rated execution time for a 1,024 point
                                                           complex FFT of less than 1 ms.
         b.1.b. Exceeding either of the following
limits for all other EEPROM types:                         f. Custom integrated circuits for which either the
                                                           function is unknown, or the control status of the
              b.1.b.1.   Exceeding 1 Mbit per              equipment in which the integrated circuits will be
package; or                                                used is unknown to the manufacturer, having any
                                                           of the following:
           b.1.b.2. Exceeding 256 kbit per
package and a maximum access time of less than                 f.1. More than 144 terminals; or
80 ns;
                                                                f.2. A typical “basic propagation delay time”
   b.2.  Static random access memories                     of less than 0.4 ns.
(SRAMs) with a storage capacity:
                                                           g. Traveling wave tubes, pulsed or continuous
        b.2.a. Exceeding 1 Mbit per package; or            wave, as follows:

       b.2.b. Exceeding 256 kbit per package                   g.1.     Coupled cavity tubes, or derivatives
and a maximum access time of less than 25 ns;              thereof;

c. Analog-to-digital converters having any of the              g.2. Helix tubes, or derivatives thereof, with
following:                                                 any of the following:

    c.1. A resolution of 8 bit or more, but less                   g.2.a. An “instantaneous bandwidth” of
than 12 bit, with an output rate greater than 100          half an octave or more; and
million words per second;
                                                                   g.2.b. The product of the rated average
    c.2. A resolution of 12 bit with an output rate        output power (expressed in kW) and the
greater than 5 million words per second;                   maximum operating frequency (expressed in GHz)
                                                           of more than 0.2;
    c.3. A resolution of more than 12 bit but
equal to or less than 14 bit withan output rate                     g.2.c. An “instantaneous bandwidth” of
greater than 500 thousand words per second; or             less than half an octave; and

    c.4. A resolution of more than 14 bit with an                 g.2.d. The product of the rated average
output rate greater than 500 thousand words per            output power (expressed in kW) and the
second.                                                    maximum operating frequency (expressed in GHz)

Export Administration Regulations                                                                 July 15, 2010
Commerce Control List                    Supplement No. 1 to Part 774                       Category 3—page 25

of more than 0.4;                                              2. For the purpose of 3A991.j, a 'cell’ is
                                                           defined as an electrochemical device, which has
h. Flexible waveguides designed for use at                 positive and negative electrodes, and electrolyte,
frequencies exceeding 40 GHz;                              and is a source of electrical energy. It is the basic
                                                           building block of a battery.
i. Surface acoustic wave and surface skimming
(shallow bulk) acoustic wave devices (i.e., “signal             3. For the purpose of 3A991.j.1, a ‘primary
processing” devices employing elastic waves in             cell’ is a ‘cell’ that is not designed to be charged
materials), having either of the following:                by any other source.

    i.1. A carrier frequency exceeding 1 GHz; or               4. For the purpose of 3A991.j.2., a
                                                           ‘secondary cell’ is a ‘cell’ that is designed to be
    i.2. A carrier frequency of 1 GHz or less; and         charged by an external electrical source.

       i.2.a. A frequency side-lobe rejection              k. “Superconductive” electromagnets or solenoids
exceeding 55 Db;                                           specially designed to be fully charged or
                                                           discharged in less than one minute, having all of
       i.2.b. A product of the maximum delay               the following:
time and bandwidth (time in microseconds and
bandwidth in MHz) of more than 100; or                         Note:      3A991.k does not control
                                                           “superconductive” electromagnets or solenoids
       i.2.c. A dispersive delay of more than 10           designed for Magnetic Resonance Imaging (MRI)
microseconds.                                              medical equipment.

j. Cells as follows:                                           k.1. Maximum energy delivered during the
                                                           discharge divided by the duration of the discharge
    j.1. Primary cells having an energy density of         of more than 500 kJ per minute;
550 Wh/kg or less at 293 K (20ºC);
                                                              k.2. Inner diameter of the current carrying
    j.2. Secondary cells having an energy density          windings of more than 250 mm; and
of 250 Wh/kg or less at 293 K (20ºC).
                                                               k.3. Rated for a magnetic induction of more
    Note: 3A991.j. does not control batteries,             than 8T or “overall current density” in the
including single cell batteries.                           winding of more than 300 A/mm2.

    Technical Notes:                                       l. Circuits or systems for electromagnetic energy
                                                           storage, containing components manufactured
    1. For the purpose of 3A991.j energy density           from “superconductive” materials specially
(Wh/kg) is calculated from the nominal voltage             designed for operation at temperatures below the
multiplied by the nominal capacity in                      “critical temperature” of at least one of their
ampere-hours divided by the mass in kilograms. If          “superconductive” constituents, having all of the
the nominal capacity is not stated, energy density         following:
is calculated from the nominal voltage squared
then multiplied by the discharge duration in hours             l.1.    Resonant       operating    frequencies
divided by the discharge load in Ohms and the              exceeding 1 MHz;
mass in kilograms.

Export Administration Regulations                                                                  July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 26

   l.2. A stored energy density of 1 MJ/M3 or               recorders having any of the following any of the
more; and                                                   following characteristics;

    l.3. A discharge time of less than 1 ms;                    b.1. A maximum digital interface transfer rate
                                                            exceeding 60 Mbit/s and employing helical scan
m. Hydrogen/hydrogen-isotope thyratrons of                  techniques;
ceramic-metal construction and rate for a peak
current of 500 A or more;                                       b.2. A maximum digital interface transfer rate
                                                            exceeding 120 Mbit/s and employing fixed head
n. Digital integrated circuits based on any                 techniques; or
compound semiconductor having an equivalent
gate count of more than 300 (2 input gates).                    b.3. "Space qualified";

o. Solar cells, cell-interconnect-coverglass (CIC)          c. Equipment, with a maximum digital interface
assemblies, solar panels, and solar arrays, which           transfer rate exceeding 60 Mbit/s, designed to
are “space qualified” and not controlled by                 convert digital video magnetic tape recorders for
3A001.e.4.                                                  use as digital instrumentation data recorders;


3A992 General purpose electronic equipment                  3A999 Specific processing equipment, n.e.s., as
not controlled by 3A002.                                    follows (see List of Items Controlled).

License Requirements                                        License Requirements

    Reason for Control: AT                                      Reason for Control: AT

Control(s)                          Country Chart           Control(s)                    Country Chart

AT applies to entire entry          AT Column 1             AT applies to entire entry. A license is required
                                                            for items controlled by this entry to North Korea
License Exceptions                                          for anti-terrorism reasons. The Commerce
                                                            Country Chart is not designed to determine AT
    LVS:     N/A                                            licensing requirements for this entry. See §742.19
    GBS:     N/A                                            of the EAR for additional information.
    CIV:     N/A
                                                            License Exceptions
List of Items Controlled
                                                                LVS:     N/A
    Unit: Equipment in number                                   GBS:     N/A
    Related Controls: N/A                                       CIV:     N/A
    Related Definitions: N/A
    Items:                                                  List of Items Controlled

a. Electronic test equipment, n.e.s.                            Unit: $ value
                                                                Related Controls: See also 0B002, 3A225 (for
b. Digital instrumentation magnetic tape data                   frequency changes capable of operating in the

Export Administration Regulations                                                                 July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 27

    frequency range of 600 Hz and above), 3A233
    Related Definitions: N/A                                NS applies to entire entry      NS Column 2
    Items:
                                                            AT applies to entire entry      AT Column 1
a. Frequency changers capable of operating in the
frequency range from 300 up to 600 Hz, n.e.s;                   License Requirement Notes: See §743.1 of
                                                            the EAR for reporting requirements for exports
b. Mass spectrometers n.e.s;                                under License Exceptions.

c. All flash x-ray machines, and components of
pulsed power systems designed thereof, including
Marx generators, high power pulse shaping                   License Exceptions
networks, high voltage capacitors, and triggers;
                                                                LVS:     $500
d. Pulse amplifiers, n.e.s.;                                    GBS:     Yes, except 3B001.a.2 (metal organic
                                                                         chemical vapor deposition reactors),
e. Electronic equipment for time delay generation                        a.3 (molecular beam epitaxial growth
or time interval measurement, as follows:                                equipment using gas sources), .e
                                                                         (automatic loading multi-chamber
    e.1. Digital time delay generators with a                            central wafer handling systems only
resolution of 50 nanoseconds or less over time                           if connected to equipment controlled
intervals of 1 microsecond or greater; or                                by 3B001.a.2, a.3, or .f), and .f
                                                                         (lithography equipment).
    e.2. Multi-channel (three or more) or modular               CIV:     Yes for equipment controlled by
time interval meter and chronometry equipment                            3B001.a.1.
with resolution of 50 nanoseconds or less over
time intervals of 1 microsecond or greater;                 List of Items Controlled

f. Chromatography and spectrometry analytical                   Unit: Number
instruments.                                                    Related Controls: See also 3B991
                                                                Related Definitions: N/A
                                                                Items:

        B. TEST, INSPECTION AND                             a. Equipment designed for epitaxial growth as
        PRODUCTION EQUIPMENT                                follows:

3B001 Equipment for the manufacturing of                        a.1.     Equipment capable of producing a
semiconductor devices or materials, as follows              layer of any material other than silicon with a
(see List of Items Controlled) and specially                thickness uniform to less than ± 2.5% across a
designed components and accessories therefor.               distance of 75 mm or more;

License Requirements                                            Note: 3B001.a.1 includes atomic layer
                                                            epitaxy (ALE) equipment.
    Reason for Control: NS, AT
                                                               a.2.     Metal Organic Chemical Vapor
Control(s)                          Country Chart           Deposition (MOCVD) reactors specially designed

Export Administration Regulations                                                                July 15, 2010
Commerce Control List                    Supplement No. 1 to Part 774                     Category 3—page 28

for compound semiconductor crystal growth by                        c.2.b. Designed for generating less than
the chemical reaction between materials                    0.04 particles/cm² with a measurable particle size
controlled by 3C003 or 3C004;                              greater than 0.1 µm in diameter;

    a.3.  Molecular beam epitaxial growth                  d. Plasma enhanced Chemical Vapor Deposition
equipment using gas or solid sources;                      (CVD) equipment as follows:

b. Equipment designed for ion implantation and                  d.1. Equipment with cassette-to-cassette
having any of the following:                               operation and load-locks, and designed according
                                                           to the manufacturer's specifications or optimized
    b.1. A beam energy (accelerating voltage)              for use in the production of semiconductor
exceeding 1MeV;                                            devices with critical dimensions of 180 nm or
                                                           less;
     b.2. Being specially designed and optimized
to operate at a beam energy (accelerating voltage              d.2.   Equipment specially designed for
of less than 2 keV;                                        equipment controlled by 3B001.e. and designed
                                                           according to the manufacturer's specifications or
    b.3. Direct write capability; or                       optimized for use in the production of
                                                           semiconductor devices with critical dimensions of
   b.4. A beam energy of 65 keV or more and a              180 nm or less;
beam current of 45 mA or more for high energy
oxygen implant into a heated semiconductor                 e. Automatic loading multi-chamber central wafer
material “substrate”;                                      handling systems having all of the following:

c. Anisotropic plasma dry etching equipment as                 e.1. Interfaces for wafer input and output, to
follows:                                                   which more than two pieces of semiconductor
                                                           processing equipment are to be connected; and
    c.1. Equipment with cassette-to-cassette
operation and load-locks, and having any of the                e.2. Designed to form an integrated system in
following:                                                 a vacuum environment for sequential multiple
                                                           wafer processing;
         c.1.a. Designed or optimized to produce
critical dimensions of 180 nm or less with ± 5% 3             Note: 3B001.e. does not control automatic
sigma precision; or                                        robotic wafer handling systems not designed to
                                                           operate in a vacuum environment.
         c.1.b. Designed for generating less than
0.04 particles/cm² with a measurable particle size         f. Lithography equipment as follows:
greater than 0.1 µm in diameter;
                                                               f.1. Align and expose step and repeat (direct
     c.2.   Equipment specially designed for               step on wafer) or step and scan (scanner)
equipment controlled by 3B001.e. and having any            equipment for wafer processing using
of the following:                                          photo-optical or X-ray methods and having any of
                                                           the following:
         c.2.a. Designed or optimized to produce
critical dimensions of 180 nm or less with ± 5% 3                  f.1.a. A light source wavelength shorter
sigma precision; or                                        than 245 nm; or

Export Administration Regulations                                                                July 15, 2010
Commerce Control List                         Supplement No. 1 to Part 774                     Category 3—page 29

       f.1.b. Capable of producing a pattern with                           f.3.b.3. An overlay accuracy of better
a “minimum resolvable feature size” of 180 nm or                than ± 0.20 :m (3 sigma);
less;
                                                                g. Masks and reticles, designed for integrated
     Technical Note: The ‘minimum resolvable                    circuits controlled by 3A001;
feature size’ is calculated by the following
formula:                                                        h. Multi-layer masks with a phase shift layer;

                                                                    Note: 3B001.h. does not control multi-layer
MRF =                                                           masks with a phase shift layer designed for the
  (an exposure light source wavelength in nm) x                 fabrication of memory devices not controlled by
                       (K factor)                               3A001.
-------------------------------------------------------
               numerical aperture                               i. Imprint lithography templates designed for
                                                                integrated circuits by 3A001.
where the K factor = 0.45
MRF = ‘minimum resolvable feature size’.
                                                                3B002 Test equipment specially designed for
    f.2 Imprint lithography equipment capable of                testing finished or unfinished semiconductor
production features of 180 nm or less;                          devices as follows (see List of Items Controlled)
                                                                and specially designed components and
         Note: 3B001.f.2 includes:                              accessories therefor.

         -    Micro contact printing tools                      License Requirements

         -    Hot embossing tools                                   Reason for Control: NS, AT

         -    Nano-imprint lithography tools                    Control(s)                       Country Chart

         -    Step and flash imprint lithography                NS applies to entire entry       NS Column 2
              (S-FIL) tools
                                                                AT applies to entire entry       AT Column 1
    f.3. Equipment specially designed for mask
making or semiconductor device processing using                 License Exceptions
direct writing methods, having all of the
following:                                                          LVS:     $500
                                                                    GBS:     Yes
        f.3.a. Using deflected focused electron                     CIV:     N/A
beam, ion beam or “laser” beam; and
                                                                List of Items Controlled
         f.3.b. Having any of the following:
                                                                    Unit: Number
              f.3.b.1. A spot size smaller than 0.2                 Related Controls: See also 3A999.a and
:m;                                                                 3B992
            f.3.b.2. Being capable of producing a                   Related Definitions: N/A
pattern with a feature size of less than 1 :m; or

Export Administration Regulations                                                                     July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 30

    Items:                                                      Items:

a. For testing S-parameters of transistor devices           a.    Equipment specially designed for the
at frequencies exceeding 31.8 GHz;                          manufacture of electron tubes, optical elements
                                                            and specially designed components therefor
b. [RESERVED]                                               controlled by 3A001 or 3A991;

c. For testing microwave integrated circuits                b.    Equipment specially designed for the
controlled by 3A001.b.2.                                    manufacture of semiconductor devices, integrated
                                                            circuits and “electronic assemblies”, as follows,
                                                            and systems incorporating or having the
3B991 Equipment not controlled by 3B001 for                 characteristics of such equipment:
the manufacture of electronic components and
materials, and specially designed components                    Note: 3B991.b also controls equipment used
and accessories therefor.                                   or modified for use in the manufacture of other
                                                            devices, such as imaging devices, electro-optical
License Requirements                                        devices, acoustic-wave devices.

    Reason for Control: AT                                     b.1.    Equipment for the processing of
                                                            materials for the manufacture of devices and
Control(s)                          Country Chart           components as specified in the heading of
                                                            3B991.b, as follows:
AT applies to entire entry          AT Column 1
                                                                Note: 3B991 does not control quartz furnace
License Exceptions                                          tubes, furnace liners, paddles, boats (except
                                                            specially designed caged boats), bubblers,
    LVS:     N/A                                            cassettes or crucibles specially designed for the
    GBS:     N/A                                            processing equipment controlled by 3B991.b.1.
    CIV:     N/A
                                                                    b.1.a.       Equipment for producing
List of Items Controlled                                    polycrystalline silicon and materials controlled by
                                                            3C001;
    Unit: Equipment in number, and components
    and accessories in $ value                                       b.1.b. Equipment specially designed for
    Related Controls: N/A                                   purifying or processing III/V and II/VI
    Related Definitions: ‘Sputtering’ is an overlay         semiconductor materials controlled by 3C001,
    coating process wherein positively charged              3C002, 3C003, 3C004, or 3C005 except crystal
    ions are accelerated by an electric field               pullers, for which see 3B991.b.1.c below;
    towards the surface of a target (coating
    material). The kinetic energy of the impacting                  b.1.c. Crystal pullers and furnaces, as
    ions is sufficient to cause target surface atoms        follows:
    to be released and deposited on the substrate.
    (Note: Triode, magnetron or radio frequency                 Note: 3B991.b.1.c does not control diffusion
    sputtering to increase adhesion of coating and          and oxidation furnaces.
    rate of deposition are ordinary modifications
    of the process.)                                                     b.1.c.1. Annealing or recrystallizing

Export Administration Regulations                                                                 July 15, 2010
Commerce Control List                    Supplement No. 1 to Part 774                     Category 3—page 31

equipment other than constant temperature                               b.1.g.1. Patterning capability;
furnaces employing high rates of energy transfer
capable of processing wafers at a rate exceeding                       b.1.g.2. Beam energy (accelerating
0.005 m2 per minute;                                       voltage) exceeding 200 keV;

             b.1.c.2. “Stored program controlled”                     b.1.g.3 Optimized to operate at a
crystal pullers having any of the following                beam energy (accelerating voltage) of less than 10
characteristics:                                           keV; or

                 b.1.c.2.a. Rechargeable without                      b.1.g.4. Capable of high energy
replacing the crucible container;                          oxygen implant into a heated “substrate”;

                b.1.c.2.b. Capable of operation at                 b.1.h.   “Stored program controlled”
pressures above 2.5 x 105 Pa; or                           equipment for the selective removal (etching) by
                                                           means of anisotropic dry methods (e.g., plasma),
                 b.1.c.2.c. Capable of pulling             as follows:
crystals of a diameter exceeding 100 mm;
                                                                       b.1.h.1. Batch types having either of
        b.1.d.   “Stored program controlled”               the following:
equipment for epitaxial growth having any of the
following characteristics:                                                  b.1.h.1.a. End-point detection,
                                                           other than optical emission spectroscopy types; or
             b.1.d.1. Capable of producing a
silicon layer with a thickness uniform to less than                        b.1.h.1.b. Reactor operational
±2.5% across a distance of 200 mm or more;                 (etching) pressure of 26.66 Pa or less;

            b.1.d.2. Capable of producing a layer                       b.1.h.2. Single wafer types having
of any material other than silicon with a thickness        any of the following:
uniformity across the wafer of equal to or better
than ± 3.5%; or                                                            b.1.h.2.a. End-point detection,
                                                           other than optical emission spectroscopy types;
            b.1.d.3. Rotation of individual wafers
during processing;                                                         b.1.h.2.b. Reactor operational
                                                           (etching) pressure of 26.66 Pa or less; or
       b.1.e. Molecular beam epitaxial growth
equipment;                                                                 b.1.h.2.c. Cassette-to-cassette and
                                                           load locks wafer handling;
        b.1.f. Magnetically enhanced ‘sputtering’
equipment with specially designed integral load              Notes: 1. “Batch types” refers to machines not
locks capable of transferring wafers in an isolated        specially designed for production processing of
vacuum environment;                                        single wafers. Such machines can process two or
                                                           more wafers simultaneously with common process
        b.1.g. Equipment specially designed for            parameters, e.g., RF power, temperature, etch gas
ion implantation, ion-enhanced or photo-enhanced           species, flow rates.
diffusion, having any of the following
characteristics:                                               2. “Single wafer types” refers to machines

Export Administration Regulations                                                                 July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 32

specially designed for production processing of             finer;
single wafers. These machines may use automatic
wafer handling techniques to load a single wafer                Note: 3B991.b.1.j does not control electron
into the equipment for processing. The definition           beam deposition systems or general purpose
includes equipment that can load and process                scanning electron microscopes.
several wafers but where the etching parameters,
e.g., RF power or end point, can be independently                   b.1.k. Surface finishing equipment for the
determined for each individual wafer.                       processing of semiconductor wafers as follows:

         b.1.i.    “Chemical vapor deposition”                          b.1.k.1.    Specially designed
(CVD) equipment, e.g., plasma-enhanced CVD                  equipment for backside processing of wafers
(PECVD) or photo-enhanced CVD, for                          thinner than 100 micrometer and the subsequent
semiconductor device manufacturing, having                  separation thereof; or
either of the following capabilities, for deposition
of oxides, nitrides, metals or polysilicon:                              b.1.k.2.     Specially designed
                                                            equipment for achieving a surface roughness of
           b.1.i.1. “Chemical vapor deposition”             the active surface of a processed wafer with a
equipment operating below 105 Pa; or                        two-sigma value of 2 micrometer or less, total
                                                            indicator reading (TIR);
            b.1.i.2. PECVD equipment operating
either below 60 Pa (450 millitorr) or having                    Note: 3B991.b.1.k does not control
automatic cassette-to-cassette and load lock wafer          single-side lapping and polishing equipment for
handling;                                                   wafer surface finishing.

    Note: 3B991.b.1.i does not control low                           b.1.l. Interconnection equipment which
pressure “chemical vapor deposition” (LPCVD)                includes common single or multiple vacuum
systems or reactive “sputtering” equipment.                 chambers specially designed to permit the
                                                            integration of any equipment controlled by 3B991
         b.1.j. Electron beam systems specially             into a complete system;
designed or modified for mask making or
semiconductor device processing having any of                        b.1.m. “Stored program controlled”
the following characteristics:                              equipment using “lasers” for the repair or
                                                            trimming of “monolithic integrated circuits” with
             b.1.j.1. Electrostatic beam deflection;        either of the following characteristics:

             b.1.j.2. Shaped, non-Gaussian beam                         b.1.m.1. Positioning accuracy less
profile;                                                    than ± 1 micrometer; or

            b.1.j.3. Digital-to-analog conversion                       b.1.m.2. Spot size (kerf width) less
rate exceeding 3 MHz;                                       than 3 micrometer.

           b.1.j.4. Digital-to-analog conversion                b.2. Masks, mask “substrates”, mask-making
accuracy exceeding 12 bit; or                               equipment and image transfer equipment for the
                                                            manufacture of devices and components as
           b.1.j.5.   Target-to-beam position               specified in the heading of 3B991, as follows:
feedback control precision of 1 micrometer or

Export Administration Regulations                                                                 July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 33

     Note: The term “masks” refers to those used            line widths of less than 2.5 micrometer in the
in electron beam lithography, X-ray lithography,            photoresist on the “substrate”;
and ultraviolet lithography, as well as the usual
ultraviolet and visible photo-lithography.                              b.2.d.2. Mask or reticle fabrication
                                                            equipment using ion or “laser” beam lithography
        b.2.a. Finished masks, reticles and                 capable of producing line widths of less than 2.5
designs therefor, except:                                   micrometer; or

             b.2.a.1. Finished masks or reticles for                    b.2.d.3. Equipment or holders for
the production of unembargoed integrated                    altering masks or reticles or adding pellicles to
circuits; or                                                remove defects;

             b.2.a.2. Masks or reticles, having                 Note: 3B991.b.2.d.1 and b.2.d.2 do not
both of the following characteristics:                      control mask fabrication equipment using
                                                            photo-optical methods which was either
               b.2.a.2.a. Their design is based             commercially available before the 1st January,
on geometries of 2.5 micrometer or more; and                1980, or has a performance no better than such
                                                            equipment.
                 b.2.a.2.b. The design does not
include special features to alter the intended use                   b.2.e.  “Stored program controlled”
by means of production equipment or “software”;             equipment for the inspection of masks, reticles or
                                                            pellicles with:
        b.2.b. Mask “substrates” as follows:
                                                                       b.2.e.1.    A resolution of 0.25
            b.2.b.1.        Hard surface (e.g.,             micrometer or finer; and
chromium, silicon, molybdenum) coated
“substrates” (e.g., glass, quartz, sapphire) for the                    b.2.e.2.    A precision of 0.75
preparation of masks having dimensions                      micrometer or finer over a distance in one or two
exceeding 125 mm x 125 mm; or                               coordinates of 63.5 mm or more;

            b.2.b.2.   “Substrates”       specially             Note: 3B991.b.2.e does not control general
designed for X-ray masks;                                   purpose scanning electron microscopes except
                                                            when specially designed and instrumented for
        b.2.c. Equipment, other than general                automatic pattern inspection.
purpose computers, specially designed for
computer aided design (CAD) of semiconductor                         b.2.f. Align and expose equipment for
devices or integrated circuits;                             wafer production using photo-optical or X-ray
                                                            methods, e.g., lithography equipment, including
        b.2.d.   Equipment or machines, as                  both projection image transfer equipment and step
follows, for mask or reticle fabrication:                   and repeat (direct step on wafer) or step and scan
                                                            (scanner) equipment, capable of performing any
             b.2.d.1. Photo-optical step and repeat         of the following functions:
cameras capable of producing arrays larger than
100 mm x 100 mm, or capable of producing a                     Note:      3B991.b.2.f does not control
single exposure larger than 6 mm x 6 mm in the              photo-optical contact and proximity mask align
image (i.e., focal) plane, or capable of producing          and expose equipment or contact image transfer

Export Administration Regulations                                                                 July 15, 2010
Commerce Control List                    Supplement No. 1 to Part 774                      Category 3—page 34

equipment.                                                         b.3.c. Semi-automatic or automatic hot
                                                           cap sealers, in which the cap is heated locally to a
             b.2.f.1. Production of a pattern size         higher temperature than the body of the package,
of less than 2.5 micrometer;                               specially designed for ceramic microcircuit
                                                           packages controlled by 3A001 and that have a
             b.2.f.2. Alignment with a precision           throughput equal to or more than one package per
finer than ± 0.25 micrometer (3 sigma);                    minute.

             b.2.f.3. Machine-to-machine overlay              Note: 3B991.b.3 does not control general
no better than ± 0.3 micrometer; or                        purpose resistance type spot welders.

            b.2.f.4. A light source wavelength                 b.4. Filters for clean rooms capable of
shorter than 400 nm;                                       providing an air environment of 10 or less
                                                           particles of 0.3 micrometer or smaller per 0.02832
        b.2.g. Electron beam, ion beam or X-ray            m3 and filter materials therefor.
equipment for projection image transfer capable
of producing patterns less than 2.5 micrometer;
                                                           3B992 Equipment not controlled by 3B002 for
    Note: For focused, deflected-beam systems              the inspection or testing of electronic
(direct write systems), see 3B991.b.1.j or b.10.           components and materials, and specially
                                                           designed components and accessories therefor.
        b.2.h. Equipment using “lasers” for direct
write on wafers capable of producing patterns less         License Requirements
than 2.5 micrometer.
                                                               Reason for Control: AT
    b.3. Equipment for the assembly of integrated
circuits, as follows:                                      Control(s)                        Country Chart

        b.3.a. “Stored program controlled” die             AT applies to entire entry        AT Column 1
bonders having all of the following
characteristics:                                           License Exceptions

            b.3.a.1.    Specially designed for                 LVS:     N/A
“hybrid integrated circuits”;                                  GBS:     N/A
                                                               CIV:     N/A
           b.3.a.2. X-Y stage positioning travel
exceeding 37.5 x 37.5 mm; and                              List of Items Controlled

           b.3.a.3. Placement accuracy in the                  Unit: Equipment in number
X-Y plane of finer than ± 10 micrometer;                       Related Controls: See also 3A992.a.
                                                               Related Definitions: N/A
         b.3.b.   “Stored program controlled”                  Items:
equipment for producing multiple bonds in a
single operation (e.g., beam lead bonders, chip            a. Equipment specially designed for the inspection
carrier bonders, tape bonders);                            or testing of electron tubes, optical elements and
                                                           specially designed components therefor controlled

Export Administration Regulations                                                                 July 15, 2010
Commerce Control List                    Supplement No. 1 to Part 774                      Category 3—page 35

by 3A001 or 3A991;                                               b.3.a. Positioning accuracy finer than 3.5
                                                           micrometer;
b. Equipment specially designed for the inspection
or testing of semiconductor devices, integrated                   b.3.b. Capable of testing devices having
circuits and “electronic assemblies”, as follows,          more than 68 terminals; or
and systems incorporating or having the
characteristics of such equipment:                                b.3.c. Capable of testing at a frequency
                                                           exceeding 1 GHz;
    Note: 3B992.b also controls equipment used
or modified for use in the inspection or testing of            b.4. Test equipment as follows:
other devices, such as imaging devices,
electro-optical devices, acoustic-wave devices.                   b.4.a. “Stored program controlled”
                                                           equipment specially designed for testing discrete
     b.1. “Stored program controlled” inspection           semiconductor devices and unencapsulated dice,
equipment for the automatic detection of defects,          capable of testing at frequencies exceeding 18
errors or contaminants of 0.6 micrometer or less           GHz;
in or on processed wafers, “substrates”, other than
printed circuit boards or chips, using optical                 Technical Note: Discrete semiconductor
image acquisition techniques for pattern                   devices include photocells and solar cells.
comparison;
                                                                    b.4.b. “Stored program controlled”
    Note: 3B992.b.1 does not control general               equipment specially designed for testing
purpose scanning electron microscopes, except              integrated circuits and “electronic assemblies”
when specially designed and instrumented for               thereof, capable of functional testing:
automatic pattern inspection.
                                                                        b.4.b.1. At a ‘pattern rate’ exceeding
    b.2. Specially designed “stored program                20 MHz; or
controlled” measuring and analysis equipment, as
follows:                                                               b.4.b.2. At a ‘pattern rate’ exceeding
                                                           10 MHz but not exceeding 20 MHz and capable of
       b.2.a. Specially designed for the                   testing packages of more than 68 terminals.
measurement of oxygen or carbon content in
semiconductor materials;                                       Notes: 3B992.b.4.b does not control test
                                                           equipment specially designed for testing:
       b.2.b. Equipment for line width
measurement with a resolution of 1 micrometer or               1. Memories;
finer;
                                                               2. “Assemblies” or a class of "electronic
        b.2.c. Specially designed flatness                 assemblies" for home and entertainment
measurement instruments capable of measuring               applications; and
deviations from flatness of 10 micrometer or less
with a resolution of 1 micrometer or finer.                    3. Electronic components, "assemblies" and
                                                           integrated circuits not controlled by 3A001 or
    b.3. “Stored program controlled” wafer                 3A991 provided such test equipment does not
probing equipment having any of the following              incorporate computing facilities with "user
characteristics:                                           accessible programmability".

Export Administration Regulations                                                                 July 15, 2010
Commerce Control List                   Supplement No. 1 to Part 774                     Category 3—page 36

    Technical Note:          For purposes of              electron microscopes, except when specially
3B992.b.4.b, ‘pattern rate’ is defined as the             designed and instrumented for non-contactive
maximum frequency of digital operation of a               probing of a powered-up semiconductor device.
tester. It is therefore equivalent to the highest
data rate that a tester can provide in                        b.6. “Stored program controlled”
non-multiplexed mode. It is also referred to as           multifunctional focused ion beam systems
test speed, maximum digital frequency or                  specially designed for manufacturing, repairing,
maximum digital speed.                                    physical layout analysis and testing of masks or
                                                          semiconductor devices and having either of the
        b.4.c. Equipment specially designed for           following characteristics:
determining the performance of focal-plane arrays
at wavelengths of more than 1,200 nm, using                       b.6.a. Target-to-beam position feedback
“stored program controlled” measurements or               control precision of 1 micrometer or finer; or
computer aided evaluation and having any of the
following characteristics:                                       b.6.b. Digital-to-analog        conversion
                                                          accuracy exceeding 12 bit;
            b.4.c.1. Using scanning light spot
diameters of less than 0.12 mm;                               b.7. Particle measuring systems employing
                                                          “lasers” designed for measuring particle size and
            b.4.c.2. Designed for measuring               concentration in air having both of the following
photosensitive performance parameters and for             characteristics:
evaluating frequency response, modulation
transfer function, uniformity of responsivity or                  b.7.a. Capable of measuring particle sizes
noise; or                                                 of 0.2 micrometer or less at a flow rate of 0.02832
                                                          m3 per minute or more; and
             b.4.c.3. Designed for evaluating
arrays capable of creating images with more than                  b.7.b. Capable of characterizing Class 10
32 x 32 line elements;                                    clean air or better.

    b.5. Electron beam test systems designed for
operation at 3 keV or below, or “laser” beam
systems, for non-contactive probing of                                   C. MATERIALS
powered-up semiconductor devices having any of
the following:
                                                          3C001 Hetero-epitaxial materials consisting of
       b.5.a. Stroboscopic capability with either         a “substrate” having stacked epitaxially grown
beam blanking or detector strobing;                       multiple layers of any of the following (see List
                                                          of Items Controlled).
        b.5.b. An electron spectrometer for
voltage measurements with a resolution of less            License Requirements
than 0.5 V; or
                                                              Reason for Control: NS, AT
       b.5.c.   Electrical tests fixtures for
performance analysis of integrated circuits;              Control(s)                       Country Chart

    Note: 3B992.b.5 does not control scanning             NS applies to entire entry       NS Column 2

Export Administration Regulations                                                                July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                      Category 3—page 37

AT applies to entire entry          AT Column 1             License Exceptions

License Exceptions                                              LVS:     $3000
                                                                GBS:     Yes for positive resists not optimized
    LVS:     $3000                                                       for photolithography at a wavelength
    GBS:     N/A                                                         of less than 365 nm, provided that
    CIV:     N/A                                                         they are not controlled by 3C002.b
                                                                         through .e.
                                                                CIV:     Yes for positive resists not optimized
List of Items Controlled                                                 for photolithography at a wavelength
                                                                         of less than 365 nm, provided that
    Unit: $ value                                                        they are not controlled by 3C002.b
    Related Controls: This entry does not control                        through .e.
    equipment or material whose functionality has
    been unalterably disabled are not controlled.           List of Items Controlled
    Related Definitions: III/V compounds are
    polycrystalline or binary or complex                        Unit: $ value
    monocrystalline products consisting of                      Related Controls: N/A
    elements of groups IIIA and VA of                           Related Definitions: Silylation techniques are
    Mendeleyev's periodic classification table                  defined as processes incorporating oxidation
    (e.g., gallium arsenide, gallium-aluminium                  of the resist surface to enhance performance
    arsenide, indium phosphide).                                for both wet and dry developing.
    Items:                                                      Items:

a. Silicon (Si);                                            a. Positive resists designed for semiconductor
                                                            lithography specially adjusted (optimized) for use
b. Germanium (Ge);                                          at wavelengths below 245 nm;

c. Silicon Carbide (SiC); or                                b. All resists designed for use with electron
                                                            beams or ion beams, with a sensitivity of 0.01
d. “III/V compounds” of gallium or indium.                  :coulomb/mm2 or better;

                                                            c. All resists designed for use with X-rays, with
3C002 Resist materials as follows (see List of              a sensitivity of 2.5 mJ/mm2 or better;
Items Controlled) and “substrates” coated
with the following resists.                                 d. All resists optimized for surface imaging
                                                            technologies, including silylated resists;
License Requirements
                                                            e. All resists designed or optimized for use with
    Reason for Control: NS, AT                              imprint lithography equipment specified by
                                                            3B001.f.2. that use either a thermal or
Control(s)                          Country Chart           photo-curable process.

NS applies to entire entry          NS Column 2

AT applies to entire entry          AT Column 1

Export Administration Regulations                                                                  July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                    Category 3—page 38

3C003 Organo-inorganic compounds as follows                 Control(s)                      Country Chart
(see List of Items Controlled).
                                                            NS applies to entire entry      NS Column 2
License Requirements
                                                            AT applies to entire entry      AT Column 1
    Reason for Control: NS, AT
                                                            License Exceptions
Control(s)                          Country Chart
                                                                LVS:     $3000
NS applies to entire entry          NS Column 2                 GBS:     N/A
                                                                CIV:     N/A
AT applies to entire entry          AT Column 1
                                                            List of Items Controlled
License Exceptions
                                                                Unit: $ value
    LVS: $3000                                                  Related Controls: N/A
    GBS: N/A                                                    Related Definition: N/A
    CIV: N/A                                                    Items:
List of Items Controlled
                                                            The list of items controlled is contained in the
    Unit: $ value                                           ECCN heading.
    Related Controls: This entry controls only
    compounds whose metallic, partly metallic or            Note: This entry does not control hydrides
    non-metallic element is directly linked to              containing 20% molar or more of inert gases or
    carbon in the organic part of the molecule.             hydrogen.
    Related Definition: N/A
    Items:
                                                            3C005 Silicon carbide (SiC), gallium nitride
a. Organo-metallic compounds of aluminum,                   (GaN), aluminum nitride (AlN) or aluminum
gallium or indium, having a purity (metal basis)            gallium nitride (AlGaN) “substrates”, or
better than 99.999%;                                        ingots, boules, or other preforms of those
                                                            materials, having resistivities greater than
b. Organo-arsenic, organo-antimony and                      10,000 ohm-cm at 20ºC.
organo-phosphorus compounds, having a purity
(inorganic element basis) better than 99.999%.              License Requirements

                                                                Reason for Control: NS, AT
3C004 Hydrides of phosphorus, arsenic or
antimony, having a purity better than                       Control(s)                      Country Chart
99.999%, even diluted in inert gases or
hydrogen.                                                   NS applies to entire entry      NS Column 2

License Requirements                                        AT applies to entire entry      AT Column 1

    Reason for Control: NS, AT                              License Exceptions
                                                                LVS: $3000

Export Administration Regulations                                                               July 15, 2010
Commerce Control List                         Supplement No. 1 to Part 774                     Category 3—page 39

    GBS:     Yes                                                    Related Definition: N/A
    CIV:     Yes                                                    Items:

List of Items Controlled                                        The list of items controlled is contained in the
                                                                ECCN heading.
    Unit: $ value
    Related Controls: See ECCN 3E001 for
    related development and production                          3C992 Positive resists designed for
    technology, and ECCN 3B991.b.1.b for                        semiconductor lithography specially adjusted
    related production equipment.                               (optimized) for use at wavelengths between 370
    Related Definition: N/A                                     and 245 nm.
    Items:
                                                                License Requirements
The list of items controlled is contained in the
ECCN heading.                                                       Reason for Control: AT

                                                                Control(s)                      Country Chart
3C006 “Substrates” specified in 3C005 with at
least one epitaxial layer of silicon carbide,                   AT applies to entire entry      AT Column 1
gallium nitride, aluminum nitride or aluminum
gallium nitride.                                                License Exceptions

License Requirements                                                LVS: N/A
                                                                    GBS: N/A
    Reason for Control: NS, AT                                      CIV: N/A

Control(s)                           Country Chart              List of Items Controlled

NS applies to entire entry           NS Column 2                    Unit: $ value
                                                                    Related Controls: N/A
AT applies to entire entry           AT Column 1                    Related Definitions: N/A
                                                                    Items:
License Exceptions
    LVS: $3000                                                  The list of items controlled is contained in the
    GBS: Yes                                                    ECCN heading.
    CIV: Yes

List of Items Controlled                                                       D. SOFTWARE

    Unit: $ value
    Related Controls: See ECCN 3D001 for                        3D001 “Software” specially designed for the
    related “development” or “production”                       “development” or “production” of equipment
    “software”, ECCN 3E001 for related                          controlled by 3A001.b to 3A002.g or 3B (except
    “ d e ve l o p me n t ” a n d “ p r o d u c t i o n ”       3B991 and 3B992).
    “technology”, and ECCN 3B991.b.1.b for
    related “production” equipment.                             License Requirements

Export Administration Regulations                                                                    July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                    Category 3—page 40

    Reason for Control: NS, AT                                  (28ºC) under simulated ‘AM0' illumination
                                                                with an irradiance of 1,367 Watts per square
Control(s)                          Country Chart               meter (W/m2 ), and associated solar
                                                                concentrators, power conditioners, and/or
NS applies to “software”            NS Column 1                 controllers, bearing and power transfer
for equipment controlled                                        assemblies, and deployment
by 3A001.b to 3A001.f,                                          hardware/systems. 3.) “Space qualified”
3A002, and 3B                                                   atomic frequency standards defined in
                                                                3A002.g.2. See also 3D101.
AT applies to entire entry          AT Column 1                 Related Definitions: N/A
                                                                Items:
    License Requirement Notes: See §743.1 of
the EAR for reporting requirements for exports              The list of items controlled is contained in the
under License Exceptions.                                   ECCN heading.

License Exceptions
                                                            3D002 “Software” specially designed for the
    CIV:     N/A                                            “use” of equipment controlled by 3B001.a to .f,
    TSR:     Yes, except for “software” specially           or 3B002.
             designed for the “development” or
             “production” of Traveling Wave                 License Requirements
             Tube Amplifiers described in
             3A001.b.8 having operating                         Reason for Control: NS, AT
             frequencies exceeding 18 GHz.
                                                            Control(s)                      Country Chart
List of Items Controlled
                                                            NS applies to entire entry      NS Column 1
    Unit: $ value
    Related Controls: “Software” specially                  AT applies to entire entry      AT Column 1
    designed for the “development” or
    “production” of the following equipment is              License Exceptions
    under the export licensing authority of the
    Department of State, Directorate of Defense                 CIV:     N/A
    Trade Controls (22 CFR part 121): 1.) When                  TSR:     Yes
    operating at frequencies higher than 31.8 GHz
    and “space qualified”: Helix tubes (traveling           List of Items Controlled
    w a ve t u b e s ( T W T ) ) d e f i n e d i n
    3A001.b.1.a.4.c; microwave solid state                      Unit: $ value
    amplifiers defined in 3A001.b.4.b; and                      Related Controls: Also see 3D991.
    traveling wave tube amplifiers (TWTA)                       Related Definitions: N/A
    defined in 3A001.b.8; 2.) “Space qualified”                 Items:
    solar cells, coverglass-interconnect-cells or
    covered-interconnect-cells (CIC) assemblies,            The list of items controlled is contained in the
    solar arrays, and/or solar panels, with a               ECCN heading.
    minimum average efficiency of 31% or
    greater at an operating temperature of 301ºK

Export Administration Regulations                                                               July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 41

3D003 ‘Physics-based’ simulation “software”                 3D004 “Software” specially designed for the
specially designed for the “development” of                 “development” of equipment controlled by
lithographic, etching or deposition processes               3A003.
for translating masking patterns into specific
topographical patterns in conductors,                       License Requirements
dielectrics or semiconductor materials.
                                                                Reason for Control: NS, AT
License Requirements
                                                            Control(s)                      Country Chart
    Reason for Control: NS, AT
                                                            NS applies to entire entry      NS Column 1
Control(s)                          Country Chart
                                                            AT applies to entire entry      AT Column 1
NS applies to entire entry          NS Column 1
                                                            License Exceptions
AT applies to entire entry          AT Column 1
                                                                CIV:     N/A
License Exceptions                                              TSR:     Yes

    CIV:     N/A                                            List of Items Controlled
    TSR:     Yes
                                                                Unit: $ value
List of Items Controlled                                        Related Controls: N/A
                                                                Related Definitions: N/A
    Unit: $ value                                               Items:
    Related Controls: N/A
    Related Definitions: 1.) Libraries, design              The list of items controlled is contained in the
    attributes or associated data for the design of         ECCN heading.
    semiconductor devices or integrated circuits
    are considered as “technology”.             2.)
    ‘Physics-based’ in 3D003 means using                    3D101 “Software” specially designed or
    computations to determine a sequence of                 modified for the “use” of equipment controlled
    physical cause and effect events based on               by 3A101.b.
    physical properties (e.g., temperature,
    pressure, diffusi on constants and                      License Requirements
    semiconductor materials properties).
    Items:                                                      Reason for Control: MT, AT

The list of items controlled is contained in the            Control(s)                      Country Chart
ECCN heading.
                                                            MT applies to entire entry      MT Column 1

                                                            AT applies to entire entry      AT Column 1




Export Administration Regulations                                                                July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 42

License Exceptions                                          3D991 “Software” specially designed for the
                                                            “development”, “production”, or “use” of
    CIV:     N/A                                            electronic devices or components controlled by
    TSR:     N/A                                            3A991, general purpose electronic equipment
                                                            controlled by 3A992, or manufacturing and
List of Items Controlled                                    test equipment controlled by 3B991 and 3B992;
                                                            or “software” specially designed for the “use”
    Unit: $ value                                           of equipment controlled by 3B001.g and .h.
    Related Controls: N/A
    Related Definitions: N/A                                License Requirements
    Items:
                                                                Reason for Control: AT
The list of items controlled is contained in the
ECCN heading.                                               Control(s)                      Country Chart

                                                            AT applies to entire entry      AT Column 1
3D980 “Software” specially designed for the
“development”, “production”, or “use” of                    License Exceptions
items controlled by 3A980 and 3A981.
                                                                CIV:     N/A
License Requirements                                            TSR:     N/A

    Reason for Control: CC, AT                              List of Items Controlled

Control(s)                          Country Chart               Unit: $ value
                                                                Related Controls: N/A
CC applies to entire entry          CC Column 1                 Related Definitions: N/A
                                                                Items:
AT applies to entire entry          AT Column 1
                                                            The list of items controlled is contained in the
License Exceptions                                          ECCN heading.

    CIV:     N/A
    TSR:     N/A                                                         E. TECHNOLOGY

List of Items Controlled
                                                            3E001 “Technology” according to the General
    Unit: $ value                                           Technology Note for the “development” or
    Related Controls: N/A                                   “production” of equipment or materials
    Related Definitions: N/A                                controlled by 3A (except 3A292, 3A980, 3A981,
    Items:                                                  3A991 3A992, or 3A999), 3B (except 3B991 or
                                                            3B992) or 3C (except 3C992).
The list of items controlled is contained in the
ECCN heading.                                               License Requirements

                                                                Reason for Control: NS, MT, NP, AT

Export Administration Regulations                                                                July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                       Category 3—page 43

Control(s)                          Country Chart                 following commodities is under the export
                                                                  licensing authority of the Department of State,
NS applies to “technology” NS Column 1                            Directorate of Defense Trade Controls
for items controlled by                                           (22CFR part 121): (a) When operating at
3A001, 3A002, 3B001,                                              frequencies higher than 31.8 GHz and “space
3B002, or 3C001 to 3C006                                          qualified”: helix tubes (traveling wave tubes
                                                                  (TWT)) defined in 3A001.b.1.a.4.c;
MT applies to “technology”          MT Column 1                   microwave solid state amplifiers defined in
for equipment controlled by                                       3A001.b.4.b; or traveling wave tube
3A001 or 3A101 for MT                                             amplifiers (TWTA) defined in 3A001.b.8; (b)
reasons                                                           “Space qualified” solar cells, coverglass-
                                                                  interconnect-cells or covered-interconnect-
NP applies to “technology”          NP Column 1                   cells (CIC) assemblies, solar arrays, and/or
for equipment controlled by                                       solar panels, with a minimum average
3A001, 3A201, or 3A225 to                                         efficiency of 31% or greater at an operating
3A233 for NP reasons                                              temperature of 301ºK (28ºC) under simulated
                                                                  ‘AM0' illumination with an irradiance of
AT applies to entire entry          AT Column 1                   1,367 Watts per square meter (W/m2 ), and
                                                                  associated solar concentrators, power
    License Requirement Note: See §743.1 of                       conditioners, and/or controllers, bearing and
the EAR for reporting requirements for exports                    power transfer assemblies, and deployment
under License Exceptions.
                                                                  hardware/systems. and (c) “Space qualified”
License Exceptions                                                atomic frequency standards defined in
                                                                  3A002.g.2.
    CIV: N/A                                                      Related Definition: N/A
    TSR: Yes, except N/A for MT, and                              Items:
    “technology” specially designed for the
    “development” or “production” of: (a)                   The list of items controlled is contained in the
    Traveling Wave Tube Amplifiers described in             ECCN heading.
    3A001.b.8, having operating frequencies
    exceeding 19 Ghz; and (b) solar cells,                  Note 1: 3E001 does not control “technology” for
    coverglass-interconnect-cells or covered-               the “production” of equipment or components
    interconnect-cells (CIC) assemblies, solar              controlled by 3A003.
    arrays and/or solar panels, which are “space
    qualified,” having a minimum average                    Note 2: 3E001 does not control “technology” for
    efficiency exceeding 20% but less than 31%              the “development” or “production” of integrated
    described in 3A001.e.4.                                 circuits controlled by 3A001.a.3 to a.12, having
                                                            all of the following:
List of Items Controlled
                                                                  a) Using “technology” of 0.5 µm or more;
    Unit: N/A                                               and
    Related Controls: 1.) See also 3E101       and
    3E201. 2.)”Technology” according to        the                b) Not incorporating multi-layer structures.
    General Technology Note for                the
    “development” or “production” of           the                    Technical Note: Multi-layer structures in

Export Administration Regulations                                                                   July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                       Category 3—page 44

Note 2 of 3E001 do not include devices                                   for more information about the FNR.
incorporating a maximum of three metal layers                            License Exception CIV does not
and three polysilicon layers.                                            apply to ECCN 3E002 technology
                                                                         also required for the development or
                                                                         production of items controlled under
3E002 “Technology” according to the General
                                                                         ECCNs beginning with 3A, 3B, or
Technology Note other than that controlled in
3E001 for the “development” or “production”                              3C, or to ECCN 3E002 technology
of a “microprocessor microcircuit”, “micro-                              also controlled under ECCN 3E003.
computer microcircuit” and microcontroller                      TSR:     Yes
microcircuit core, having an arithmetic logic
unit with an access width of 32 bits or more                List of Items Controlled
and any of the following features or
characteristics (see List of Items Controlled).                 Unit: N/A
                                                                Related Controls: N/A
License Requirements                                            Related Definitions: N/A
                                                                Items:
    Reason for Control: NS, AT
                                                            a. A ‘vector processor unit’ designed to perform
Control(s)                          Country Chart           more than two calculations on floating-point
                                                            vectors (one dimensional arrays of 32-bit or larger
NS applies to entire entry          NS Column 1             numbers) simultaneously;

AT applies to entire entry          AT Column 1                 Technical Note: A ‘vector processor unit’ is
                                                            a processor element with built-in instructions that
License Exceptions                                          perform multiple calculations on floating-point
                                                            vectors (one-dimensional arrays of 32-bit or
    CIV:     Yes, for deemed exports, as described          larger numbers) simultaneously, having at least
             in §734.2(b)(2)(ii) of the EAR, of             one vector arithmetic logic unit.
             “technology” for the “development”
             or “production” of general purpose             b. Designed to perform more than two 64-bit or
             microprocessors with a         vector          larger floating-point operation results per cycle; or
             processor unit with operand length of
             64-bit or less, 64-bit floating                c. Designed to perform more than four 16-bit
             operations not exceeding 32                    fixed-point multiply-accumulate results per cycle
             GFLOPS, or 16-bit or more                      (e.g., digital manipulation of analog information
             floating-point operations not                  that has been previously converted into digital
                                                            form, also known as digital “signal processing”).
             exceeding 32 GMACS (billions of
             16-bit fixed-point multiply-
                                                                Note: 3E002.c does not control
             accumulate operations per second).             “technology” for multimedia extensions.
             Deemed exports under License
             Exception CIV are subject to a                     Notes:
             Foreign National Review (FNR)
             requirement, see §740.5 of the EAR                    1. 3E002 does not control “technology”
                                                            for the “development” or “production” of

Export Administration Regulations                                                                   July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                       Category 3—page 45

microprocessor cores, having all of the following:              radiation hardening of integrated circuits.
                                                                Related Definitions: N/A
           a. Using “technology” at or above                    Items:
0.130 µm; and
                                                            a. Vacuum microelectronic devices;
            b. Incorporating multi-layer
structures with five or fewer metal layers.                 b. Hetero-structure semiconductor devices such
                                                            as high electron mobility transistors (HEMT),
        2. 3E002 includes “technology” for                  hetero-bipolar transistors (HBT), quantum well
digital signal processors and digital array                 and super lattice devices;
processors.
                                                                Note: 3E003.b does not control
                                                            “technology” for high electron mobility
3E003 Other "technology" for the                            transistors (HEMT) operating at frequencies
"development" or "production" of the                        lower than 31.8 GHz and hetero-junction bipolar
following (see List of Items Controlled).                   transistors (HBT) operating at frequencies lower
                                                            than 31.8 GHz.
License Requirements
                                                            c. "Superconductive" electronic devices;
    Reason for Control: NS, AT
                                                            d. Substrates of films of diamond for electronic
Control(s)                          Country Chart           components;

NS applies to entire entry          NS Column 1             e. Substrates of silicon-on-insulator (SOI) for
                                                            integrated circuits in which the insulator is silicon
AT applies to entire entry          AT Column 1             dioxide;

License Exceptions                                          f. Substrates of silicon carbide for electronic
                                                            components;
    CIV:     N/A
    TSR:     Yes, except .f and .g                          g.    Electronic vacuum tubes operating at
                                                            frequencies of 31.8 GHz or higher.

List of Items Controlled
                                                            3E101 “Technology” according to the General
    Unit: N/A                                               Technology Note for the “use” of equipment or
    Related Controls: 1) Technology for the                 “software” controlled by 3A001.a.1 or .2,
    “development” or “production” of “space                 3A101, or 3D101.
    qualified” electronic vacuum tubes operating
    at frequencies of 31.8 GHz or higher,                   License Requirements
    described in 3E003.g, is under the export
    license authority of the Department of State,               Reason for Control: MT, AT
    Directorate of Defense Trade Controls (22
    CFR part 121); 2) See 3E001 for silicon-on-             Control(s)                         Country Chart
    insulation (SOI) technology for the
    “development” or “production” related to                MT applies to entire entry         MT Column 1

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Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 46

AT applies to entire entry          AT Column 1             The list of items controlled is contained in the
                                                            ECCN heading.
License Exceptions

    CIV:     N/A                                            3E201 “Technology” according to the General
    TSR:     N/A                                            Technology Note for the “use” of equipment
                                                            controlled by 3A001.e.2 or .e.3, 3A201 or
List of Items Controlled                                    3A225 to 3A233.

    Unit: N/A                                               License Requirements
    Related Controls: N/A
    Related Definitions: N/A                                    Reason for Control: NP, AT
    Items:
                                                            Control(s)                      Country Chart
The list of items controlled is contained in the
ECCN heading.                                               NP applies to “technology”      NP Column 1
                                                            for equipment controlled by
                                                            3A001.e.2, or .e.3, 3A201 or
3E102 “Technology” according to the General                 3A225 to 3A233 for NP
Technology Note for the “development” of                    reasons
“software” controlled by 3D101.
                                                            AT applies to entire entry      AT Column 1
License Requirements
                                                            License Exceptions
    Reason for Control: MT, AT
                                                                CIV:     N/A
Control(s)                          Country Chart               TSR:     N/A

MT applies to entire entry          MT Column 1             List of Items Controlled

AT applies to entire entry          AT Column 1                 Unit: N/A
                                                                Related Controls: N/A
                                                                Related Definitions: N/A
License Exceptions                                              Items:

    CIV:     N/A                                            The list of items controlled is contained in the
    TSR:     N/A                                            ECCN heading.

List of Items Controlled
                                                            3E292 “Technology” according to the General
    Unit: N/A                                               Technology Note for the “development”,
                                                            “production”, or “use” of equipment controlled
    Related Controls: N/A                                   by 3A292.
    Related Definitions: N/A
    Items:                                                  License Requirements


Export Administration Regulations                                                                July 15, 2010
Commerce Control List                     Supplement No. 1 to Part 774                     Category 3—page 47

    Reason for Control: NP, AT                                  Unit: N/A
                                                                Related Controls: N/A
Control(s)                          Country Chart               Related Definitions: N/A
                                                                Items:
NP applies to entire entry          NP Column 2
                                                            The list of items controlled is contained in the
AT applies to entire entry          AT Column 1             ECCN heading.

License Exceptions
                                                            3E991 “Technology” for the “development”,
    CIV:     N/A                                            “production”, or “use” of electronic devices or
    TSR:     N/A                                            components controlled by 3A991, general
                                                            purpose electronic equipment controlled by
List of Items Controlled                                    3A992, or manufacturing and test equipment
                                                            controlled by 3B991 or 3B992, or materials
    Unit: N/A                                               controlled by 3C992.
    Related Controls: N/A
    Related Definitions: N/A                                License Requirements
    Items:
                                                                Reason for Control: AT
The list of items controlled is contained in the
ECCN heading.                                               Control(s)                      Country Chart

                                                            AT applies to entire entry      AT Column 1
3E980 “Technology” specially designed for
“development”, “production”, or “use”of items               License Exceptions
controlled by 3A980 and 3A981.
                                                                CIV:     N/A
License Requirements                                            TSR:     N/A

    Reason for Control: CC, AT                              List of Items Controlled

                                                                Unit: N/A
Control(s)                          Country Chart               Related Controls: N/A
                                                                Related Definitions: N/A
CC applies to entire entry          CC Column 1                 Items:

AT applies to entire entry          AT Column 1             The list of items controlled is contained in the
                                                            ECCN heading.
License Exceptions

    CIV:     N/A                                            EAR99 Items subject to the EAR that are not
    TSR:     N/A                                            elsewhere specified in this CCL Category or in
                                                            any other category in the CCL are designated
List of Items Controlled                                    by the number EAR99.


Export Administration Regulations                                                                July 15, 2010
Commerce Control List               Supplement No. 1 to Part 774   Category 3—page 48




Export Administration Regulations                                        July 15, 2010