BIS Final Rule on Wassenaar Changes to the CCL, Etc

The Bureau of Industry and Security (BIS) has issued a final rule, effective April 29, 2004, which revises certain entries on the Commerce Control List (CCL) controlled for national security reasons in Categories 1, 2, 3, 4, 5 Part I (telecommunications), 5 Part II (information security), 6, and 7 to conform with changes in the List of Dual-Use Goods and Technologies maintained and agreed to by the governments participating in the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual-Use Goods and Technologies that were agreed to at the December 2003 meeting.

In addition, BIS' final rule adds a paragraph to Interpretation 12 on "Computers" to provide guidance as to how to calculate the Composite Theoretical Performance (CTP) for computer systems with "non-uniform memory access" (NUMA) architecture, and to define NUMA.

This is Part III of a multi-part series of summaries on this BIS final rule and focuses on the changes to CCL Category 3.

Category 3 - Electronics

BIS' final rule amends Export Control Classification Numbers (ECCNs) in CCL Category 3 as follows:

ECCN 3A001 is amended by: (a) revising the parameter "31 GHz" to read "31.8 GHz" in paragraph (b) of Notes 1 and 2 for 3A001.b.1, and 3A001.b.1.a.1; (b) revising 3A001.b.2 (including subparagraphs) to control microwave monolithic integrated circuits with newly revised parameters; (c) revising Note 1 for 3A001.b.2; (d) adding two new notes for 3A001.b.2; (e) revising 3A001.b.3 to add parameters and a Note; (f) revising 3A001.b.4 to add parameters, a nota bene (N.B.), and two Notes; and (g) removing and reserving 3A001.b.6 "certain 'microwave assemblies,'" and reference to such commodity in the Related Controls paragraph of the List of Items Controlled section of 3A001.

ECCN 3A002 is amended by: (a) revising the parameter for frequency synthesized signal generators in 3A002.d.1; (b) adding a new parameter in 3A002.d.2; (c) redesignating paragraphs 2 and 3 as paragraphs 3 and 4; and (d) adding a Technical Note for 3A002.d.1 regarding "pulse duration."

ECCN 3A003 is added to control certain "spray cooling thermal management systems" and "specially designed components therefor."

ECCN 3B001 is amended by: (a) removing the term "Stored program controlled" from 3B001.a, .b, .c, .d, .e, and .f.; (b) revising the parameters in 3B001.a.1 for equipment designed for epitaxial growth; (c) revising the parameters in 3B001.b.4 for equipment designed for ion implantation; (d) revising the parameters in 3B001.d.1 for plasma enhanced CVD equipment with cassette-to-cassette operation and load-locks; (e) revising the parameters in 3B001.d.2 for plasma enhanced CVD equipment specially designed for automatic loading multi-chamber central wafer handling systems controlled in 3B001.e; and (f) adding a Note to 3B001.h for "Multi-layer masks with a phase shift layer."

ECCN 3B002 is amended by: (a) revising the frequency parameter from "31 GHz" to read "31.8 GHz" in 3B002.a; and (b) revising the parameter for test equipment for testing integrated circuits capable of performing functional (truth table) testing at a pattern rate of more than "333 MHz" to read "667 MHz" in 3B002.b.

License requirement. BIS notes that for commodities no longer controlled under ECCN 3B002, there is a license requirement under ECCN 3B992 for exports and reexports to anti-terrorism (AT) Column 1 countries of the Commerce Country Chart.

ECCN 3D002 is amended by: (a) revising the heading; and (b) adding paragraphs to the List of Items Controlled to remove "use" software for 3B001.g and .h (masks, reticles, and multi-layer masks) from this entry.

License requirement. BIS notes that for commodities no longer controlled under ECCN 3D002, there is a license requirement under ECCN 3D991 for exports and reexports to AT Column 1 countries of the Commerce Country Chart.

ECCN 3D003 is amended by: (a) revising the heading to include the items to be controlled by this ECCN; (b) removing the note in Related Controls; (c) removing Note 2 in the Related Definitions paragraph; (d) adding a new Note 2 to define "Physics-based;" and (e) deleting all paragraphs under Items paragraph of the List of Items Controlled section.

ECCN 3D004 is added to control "software" specially designed for the "development" of the equipment controlled by the newly added ECCN 3A003 "spray cooling thermal management systems and specially designed components therefor."

ECCN 3D991 is amended by revising the heading to add "software" specially designed for the "use" of equipment controlled by 3B001.g and .h (masks, reticles, and multi-layer masks).

ECCN 3E001 is amended by revising Note 1 and adding Note 2 to read "3E001 does not control 'technology' for the 'production' of equipment or components controlled by 3A003."

ECCN 3E002 is amended by revising the Note in the List of Items Controlled to remove reference to certain microwave transistors.

ECCN 3E003 is amended by: (a) adding a Note for 3E003.b concerning high electron mobility transistors (HEMT); and (b) revising the frequency from "31 GHz" to "31.8 GHz" in Note 1 of the Related Controls paragraph, as well as in paragraph 3E003.g "Electronic vacuum tubes."

License "Grace Period" Until June 1, 2004

Shipments of items removed from eligibility for export or reexport without a license, under a particular License Exception authorization or the designator NLR (No License Required), as a result of this final rule may continue to be exported or reexported under that License Exception authorization or designator until June 1, 2004.

"Grace Period" for Revisions to CCL Numbering and Structure

In addition, this final rule revises the numbering and structure of certain entries on the CCL. For items under such entries and for July 28, 2004 (sic), BIS will accept license applications for items described either by the entries in effect immediately before April 29, 2004, or the entries described in this final rule.

(See ITT's Online Archives or 05/04/04 and 05/05/04 news, 04050420 and 04050530, for Parts I and II of this series.)

BIS final rule (D/N 040414115-4115-01, FR Pub 04/29/04) available at http://a257.g.akamaitech.net/7/257/2422/14mar20010800/edocket.access.gpo.gov/2004/pdf/04-9540.pdf