[Code of Federal Regulations]
[Title 15, Volume 2]
[Revised as of January 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 15CFR772.1]
[Page 560-585]
TITLE 15--COMMERCE AND FOREIGN TRADE
CHAPTER VII--BUREAU OF INDUSTRY AND SECURITY, DEPARTMENT OF COMMERCE
PART 772_DEFINITIONS OF TERMS--Table of Contents
Sec. 772.1 Definitions of terms as used in the Export Administration
Regulations (EAR).
The following are definitions of terms as used in the Export
Administration Regulations (EAR). In this part, references to the EAR
are references to 15 CFR chapter VII, subchapter C. Those terms in
quotation marks refer to terms used on the Commerce Control List (CCL)
(Supplement No. 1 to part 774 of the EAR). Parenthetical references
following the terms in quotation marks (i.e., (Cat 5)) refer to the CCL
category in which that term is found. If a term is used in only one
Export Control Classification Number (ECCN) on the CCL, then that term
will not appear in this part, but will be defined in the Related
Definitions paragraph in the List of Items Controlled Section of that
ECCN.
AES. See ``Automated Export System.''
``ATM.'' (Cat 5)--See ``Asynchronous Transfer Mode.''
``Accuracy.'' (Cat 2 and 6)--``Accuracy'' is usually measured in
terms of inaccuracy. It is defined as the maximum deviation, positive or
negative, of an indicated value from an accepted standard or true value.
``Active flight control systems.'' (Cat 7)--Function to prevent
undesirable ``aircraft'' and ``missile'' motions or structural loads by
autonomously processing outputs from multiple sensors and then providing
necessary preventive commands to effect automatic control.
``Active pixel.'' (Cat 6 and 8)--A minimum (single) element of the
solid state array that has a photoelectric transfer function when
exposed to light (electromagnetic) radiation.
``Adaptive control.'' (Cat 2)--A control system that adjusts the
response from conditions detected during the operation (Ref. ISO 2806-
1980).
Advisory Committee on Export Policy (ACEP). The ACEP voting members
include the Assistant Secretary of Commerce for Export Administration,
and Assistant Secretary-level representatives from the Departments of
State, Defense, Justice (for encryption exports), Energy, and the Arms
Control and Disarmament Agency. The appropriate representatives of the
Joint Chiefs of Staff and the Director of the Nonproliferation Center of
the Central Intelligence Agency are non-voting members. The Assistant
Secretary of Commerce for Export Administration is the Chair.
Appropriate acting Assistant Secretary, Deputy Assistant Secretary or
equivalent strength of any agency or department may serve in lieu of the
Assistant Secretary of the concerned agency or department. Such
representatives, regardless of rank, will speak and vote on behalf of
their agencies or departments. The ACEP may invite Assistant Secretary-
level representatives of other Government agencies or departments (other
than those identified above) to participate in the activities of the
ACEP when matters of interest to such agencies or departments are under
consideration. Decisions are made by majority vote.
AES. See ``Automated Export System.''
Agricultural commodities. Agricultural commodities include food
(including processed food); feed; fish; shellfish and fish products;
beer, wine and spirits; livestock; fiber including cotton, wool and
other fibers; tobacco and tobacco products; wood and wood products;
seeds; fertilizer and organic fertilizer; reproductive materials such as
fertilized eggs, embryos and semen. For the purposes of the EAR,
agricultural commodities do not include furniture made from wood;
clothing manufactured from plant or animal materials; agricultural
equipment (whether hand tools or motorized equipment); pesticides,
insecticides, or herbicides; or cosmetics (unless derived entirely from
plant materials).
Note 1: This definition of agricultural commodities includes
fertilizer and organic fertilizer, as listed in section 775 of the 2001
Agriculture, Rural Development, Food and Drug Administration, and
Related Agencies Appropriations Act (Act) (Public Law 106-
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387) and commodities listed in section 102 of the Agricultural Trade Act
of 1978 (7 U.S.C. 5602) as incorporated in section 902 of the Act, as
well as commodities determined by the Department of Agriculture to fall
within the scope of section 102 of the 1978 Agricultural Trade Act.
Note 2: For purposes of License Exception AGR (see Sec. 740.18 of
the EAR), agricultural commodities also include vitamins, minerals, food
additives and dietary supplements, and bottled water. These items do not
fall within the scope of section 102 of the 1978 Agricultural Trade Act,
but are treated as agricultural commodities for the purposes of License
Exception AGR.
Note 3: For purposes of License Exception AGR and export license
applications to Iran, Sudan and Libya under the licensing procedures set
forth in the appropriate regulations promulgated and administered by
Treasury's Office of Foreign Assets Control, agricultural commodities
only include those that are classified as EAR99.
``Aircraft.'' (Cat 1, 7, and 9)--A fixed wing, swivelwing, rotary
wing (helicopter), tilt rotor or tilt-wing airborne vehicle. (See also
``civil aircraft''.)
Airline. Any person engaged primarily in the transport of persons or
property by aircraft for compensation or hire, pursuant to authorization
by the U.S. Government or a foreign government.
``All compensations available.'' (Cat 2) means after all feasible
measures available to the manufacturer to minimize all systematic
positioning errors for the particular machine-tool model are considered.
``Allocated by the ITU''. (Cat 3 and Cat 5 part 1)--The allocation
of frequency bands according to the ITU Radio Regulations (Edition 1998)
for primary, permitted and secondary services.
N.B. Additional and alternative allocations are not included.
``Angular position deviation.'' (Cat 2)--The maximum difference
between angular position and the actual, very accurately measured
angular position after the workpiece mount of the table has been turned
out of its initial position. (Reference: VDI/VDE 2617, Draft: ``Rotary
tables on coordinate measuring machines'').
Applicant. The person who applies for an export or reexport license,
and who has the authority of a principal party in interest to determine
and control the export or reexport of items. See Sec. 748.4 of the EAR
and definition for ``exporter'' in this part of the EAR.
``Asymmetric algorithm.'' (Cat 5) means a cryptographic algorithm
using different, mathematically-related keys for encryption and
decryption.
Technical Note: A common use of ``asymmetric algorithms'' is key
management.
``Asynchronous transfer mode''. (``ATM'') (Cat 5)--A transfer mode
in which the information is organized into cells; it is asynchronous in
the sense that the recurrence of cells depends on the required or
instantaneous bit rate.
Australia Group. The members belonging to this group have agreed to
adopt controls on dual-use chemicals, i.e., weapons precursors,
equipment, and biological microorganisms and related equipment in order
to prevent the proliferation of chemical and biological weapons. Member
countries as of October 1996 include: Argentina, Australia, Austria,
Belgium, Canada, Czech Republic, Denmark, Finland, France, Germany,
Greece, Hungary, Iceland, Ireland, Italy, Japan, Korea (South),
Luxembourg, the Netherlands, New Zealand, Norway, Poland, Portugal,
Romania, Slovak Republic, Spain, Sweden, Switzerland, the United
Kingdom, and the United States. See also Sec. 742.2 of the EAR.
Automated Export System (AES). AES is a nationwide system
operational at all ports and for all methods of transportation through
which export shipment data required by multiple agencies is filed
electronically to Customs, using the efficiencies of Electronic Data
Interchange (EDI). AES provides an alternative to filing paper Shipper's
Export Declarations (SEDs), so that export information is collected
electronically and edited immediately. For more information about AES,
visit the Bureau of Census website at: http://www.customs.ustreas.gov/
impoexpo/abaesint.htm
``Automatic target tracking''. (Cat 6)--A processing technique that
automatically determines and provides as output an extrapolated value of
the most probable position of the target in real time.
Bank. Means any of the following:
[[Page 562]]
(a) Bank, savings association, credit union, bank holding company,
bank or savings association service corporation, Edge Act corporation,
Agreement corporation, or any insured depository institution, which is
organized under the laws of the United States or any State and regulated
or supervised by a Federal banking agency or a State bank supervisor; or
(b) A company organized under the laws of a foreign country and
regulated or supervised by a foreign bank regulatory or supervisory
authority which engages in the business of banking, including without
limitation, foreign commercial banks, foreign merchant banks and other
foreign institutions that engage in banking activities usual in
connection with the business of banking in the countries where such
foreign institutions are organized or operating; or
(c) An entity engaged in the business of providing clearing or
settlement services, that is, or whose members are, regulated or
supervised by a Federal banking agency, a State bank supervisor, or a
foreign bank regulatory or supervisory authority; or
(d) A branch or affiliate of any of the entities listed in
paragraphs (a), (b), or (c) of this definition, regulated or supervised
by a Federal banking agency, a State bank supervisor or a foreign bank
regulatory or supervisory authority; or
(e) An affiliate of any of the entities listed in paragraph (a),
(b), (c), or (d) of this definition, engaged solely in the business of
providing data processing services to a bank or financial institution,
or a branch of such an affiliate.
``Basic gate propagation delay time.'' (Cat 3) The propagation delay
time value corresponding to the basic gate used in a ``monolithic
integrated circuit.'' For a `family' of ``monolithic integrated
circuits'', this may be specified either as the propagation delay time
per typical gate within the given `family' or as the typical propagation
delay time per gate within the given `family'.
Technical Notes: 1. ``Basic gate propagation delay time'' is not to
be confused with the input/output delay time of a complex ``monolithic
integrated circuit.''
2. `Family' consists of all integrated circuits to which all of the
following are applied as their manufacturing methodology and
specifications except their respective functions:
a. The common hardware and software architecture;
b. The common design and process technology; and
c. The common basic characteristics.
``Basic Scientific Research''. (GTN)--Experimental or theoretical
work undertaken principally to acquire new knowledge of the fundamental
principles of phenomena or observable facts, not primarily directed
towards a specific practical aim or objective.
``Bias''. (accelerometer) (Cat 7)--An accelerometer output when no
acceleration is applied.
Bill of Lading. The contract of carriage and receipt for items,
issued by the carrier. It includes an air waybill, but does not include
an inland bill of lading or a domestic air waybill covering movement to
port only.
Business Unit. As applied to encryption items, means a unit of a
business which, whether or not separately incorporated, has:
(a) A distinct organizational structure which does not overlap with
other business units of the same business;
(b) A distinct set of accounts; and
(c) Separate facilities for purchase, sale, delivery, and production
of goods and services.
CCL. See Commerce Control List.
CCL Group. The Commerce Control List (CCL) is divided into 10
categories. Each category is subdivided into five groups, designated by
the letters A through E: (A) Equipment, assemblies and components; (B)
Test, inspection and production equipment; (C) Materials; (D) Software;
and (E) Technology. See Sec. 738.2(b) of the EAR.
``CE'' See ``Computing Element.''
``CTP'' See ``Composite theoretical performance.'' This term may
also appear without quotation marks.
``Camming''. (axial displacement) (Cat 2)--Axial displacement in one
revolution of the main spindle measured in a plane perpendicular to the
spindle faceplate, at a point next to the circumference of the spindle
faceplate (Ref.: ISO 230 Part 1-1986, paragraph 5.63).
[[Page 563]]
Canadian airline. Any citizen of Canada who is authorized by the
Canadian Government to engage in business as an airline. For purposes of
this definition, a Canadian citizen is:
(a) A natural person who is a citizen of Canada; or
(b) A partnership of which each member is such an individual; or
(c) A Canadian firm incorporated or otherwise organized under the
laws of Canada or any Canadian province, having a total foreign stock
interest not greater than 40 percent and having the Chairman or Acting
Chairman and at least two-thirds of the Directors thereof Canadian
citizens.
``Capable of''. (MTCR context)--See ``usable in''.
``Carbon fiber preforms.'' (Cat 1) means an ordered arrangement of
uncoated or coated fibers intended to constitute a framework of a part
before the ``matrix'' is introduced to form a ``composite.''
Category. The Commerce Control List (CCL) is divided into ten
categories: (0) Nuclear Materials, Facilities and Equipment, and
Miscellaneous; (1) Materials, Chemicals, ``Microorganisms'', and Toxins;
(2) Materials Processing; (3) Electronics Design, Development and
Production; (4) Computers; (5) Telecommunications and Information
Security; (6) Sensors; (7) Navigation and Avionics; (8) Marine; (9)
Propulsion Systems, Space Vehicles, and Related Equipment. See Sec.
738.2(a) of the EAR.
``Chemical laser''. (Cat 6)--A ``laser'' in which the excited
species is produced by the output energy from a chemical reaction.
Chemical Weapons Convention (CWC). Means ``The Convention on the
Prohibition of the Development, Production, Stockpiling and Use of
Chemical Weapons and on Their Destruction'', opened for signature on
January 13, 1993.
``Circulation-controlled, anti-torque or circulation-controlled
direction control systems'' (Cat 7)--Control systems using air blown
over aerodynamic surfaces to increase or control the forces generated by
the surfaces.
``Civil aircraft''. (Cat 1, 7, and 9)--those ``aircraft'' listed by
designation in published airworthiness certification lists by the civil
aviation authorities to fly commercial civil internal and external
routes or for legitimate civil, private or business use. (See also
``aircraft'')
COCOM (Coordinating Committee on Multilateral Export Controls). A
multilateral organization that cooperated in restricting strategic
exports to controlled countries. COCOM was officially disbanded on March
31, 1994. COCOM members included the NATO countries, except Iceland,
plus Japan and Australia.
Commerce Control List (CCL). A list of items under the export
control jurisdiction of the Bureau of Industry and Security, U.S.
Department of Commerce. Note that certain additional items described in
part 732 of the EAR are also subject to the EAR. The CCL is found in
Supplement No. 1 to part 774 of the EAR.
``Commingled''. (Cat 1)--Filament to filament blending of
thermoplastic fibers and reinforcement fibers in order to produce a
fiber reinforcement/matrix mix in total fiber form.
``Comminution''. (Cat 1)--A process to reduce a material to
particles by crushing or grinding.
Commodity. Any article, material, or supply except technology and
software. Note that the provisions of the EAR applicable to the control
of software (e.g. publicly available provisions) are not applicable to
encryption software. Encryption software is controlled because, like the
items controlled under ECCN 5A002, it has a functional capacity to
encrypt information on a computer system, and not because of any
informational or theoretical value that such software may reflect,
contain or represent, or that its export may convey to others abroad.
``Common channel signalling''. (Cat 5)--A signalling method in which
a single channel between exchanges conveys, by means of labelled
messages, signalling information relating to a multiplicity of circuits
or calls and other information such as that used for network management.
``Composite''. (Cat 1, 2, 6, 8, and 9)--A ``matrix'' and an
additional phase or additional phases consisting of particles, whiskers,
fibers or any combination thereof, present for a specific purpose or
purposes.
[[Page 564]]
``Composite theoretical performance''. (CTP) (Cat 3 and 4)--A
measure of computational performance given in millions of theoretical
operations per second (Mtops), calculated using the aggregation of
``computing elements (CE)''. (See Category 4, Technical Note.) This term
may also appear without quotation marks. The formula to calculate the
CTP is contained in a technical note titled ``Information on How to
Calculate ``Composite Theoretical Performance'' at the end of Category 4
of the CCL.
``Compound rotary table''. (Cat 2)--A table allowing the workpiece
to rotate and tilt about two non-parallel axis that can be coordinated
simultaneously for ``contouring control''.
``Computing element''. (CE) (Cat 4)--The smallest computational unit
that produces an arithmetic or logic result.
``Contouring control''. (Cat 2)--Two or more ``numerically
controlled'' motions operating in accordance with instructions that
specify the next required position and the required feed rates to that
position. These feed rates are varied in relation to each other so that
a desired contour is generated (Ref. ISO/DIS 2806--1980).
Controlled country. A list of countries designated controlled for
national security purposes found in Country Group D:1 (see Supplement
No. 1 to part 740 of the EAR). This list was established under authority
delegated to the Secretary of Commerce by Executive Order 12214 of May
2, 1980 pursuant to section 5(b) of the EAA, and including: Albania,
Armenia, Azerbaijan, Belarus, Bulgaria, Cambodia, the People's Republic
of China, Estonia, Georgia, Kazakstan, Kyrgyzstan, Laos, Latvia,
Lithuania, Moldova, Mongolia, Romania, Russia, Tajikstan, Turkmenistan,
Ukraine, Uzbekistan, and Vietnam. Cuba and North Korea are controlled
countries, but they are listed in Country Group E:2 (unilateral
embargoes) rather than Country Group D:1. This definition does not apply
to part 768 of the EAR (Foreign Availability), which provides a
dedicated definition.
Controlled in fact. For purposes of the Special Comprehensive
License (part 752 of the EAR), controlled in fact is defined as it is
under the Restrictive Trade Practices or Boycotts (Sec. 760.1(c) of the
EAR).
Cooperating country. A country that cooperated with the former COCOM
member countries in restricting strategic exports in accordance with
COCOM standards. The ``Cooperating Countries'' are: Austria, Finland,
Hong Kong, Ireland, Korea (Republic of), New Zealand, Sweden, and
Switzerland.
Countries supporting international terrorism. In accordance with
section 6(j) of the Export Administration Act of 1979, as amended (EAA),
the Secretary of State has determined that the following countries'
governments have repeatedly provided support for acts of international
terrorism: Cuba, Iran, Iraq, Libya, North Korea, Sudan, and Syria.
Country Chart. A chart, found in Supplement No. 1 to part 738 of the
EAR, that contains certain licensing requirements based on destination
and reason for control. In combination with the CCL, the Country Chart
indicates when a license is required for any item on the CCL to any
country in the world under General Prohibition One (Exports and
Reexports in the Form Received), General Prohibition Two (Parts and
Components Reexports), and General Prohibition Three (Foreign Produced
Direct Product Reexports). See part 736 of the EAR.
Country Groups. For export control purposes, foreign countries are
separated into five country groups designated by the symbols A, B, C, D,
and E. (See Supplement No. 1 to part 740 of the EAR for a list of
countries in each Country Group.)
``Critical temperature''. (Cat 1, 3, and 6)--The ``critical
temperature'' (sometimes referred to as the transition temperature) of a
specific ``superconductive'' material is the temperature at which the
material loses all resistance to the flow of direct electrical current.
``Cryptanalytic items''. Systems, equipment, applications, specific
electronic assemblies, modules and integrated circuits designed or
modified to perform cryptanalytic functions, software having the
characteristics of cryptanalytic hardware or performing cryptanalytic
functions, or technology for the development, production or use
[[Page 565]]
of cryptanalytic commodities or software.
Notes: 1. Cryptanalytic functions may include cryptanalysis, which
is the analysis of a cryptographic system or its inputs and outputs to
derive confidential variables or sensitive data including clear text.
(ISO 7498-2-1988(E), paragraph 3.3.18).
2. Functions specially designed and limited to protect against
malicious computer damage or unauthorized system intrusion (e.g.,
viruses, worms and trojan horses) are not construed to be cryptanalytic
functions.
``Cryptography''. (Cat 5)--The discipline that embodies principles,
means and methods for the transformation of data in order to hide its
information content, prevent its undetected modification or prevent its
unauthorized use. ``Cryptography'' is limited to the transformation of
information using one or more ``secret parameters'' (e.g., crypto
variables) and/or associated key management.
Note: ``Secret parameter'': a constant or key kept from the
knowledge of others or shared only within a group.
Customs officer. The Customs officers in the U.S. Customs Service
and postmasters unless the context indicates otherwise.
``Data signalling rate.'' (Cat 5) means the rate, as defined in ITU
Recommendation 53-36, taking into account that, for non-binary
modulation, baud and bit per second are not equal. Bits for coding,
checking and synchronization functions are to be included.
Note: When determining the ``data signalling rate'', servicing and
administrative channels shall be excluded.
Technical Note: It is the maximum one-way rate, i.e., the maximum
rate in either transmission or reception.
Defense Trade Control (DTC). The office at the Department of State,
formerly known as the Office of Munitions Control, responsible for
reviewing applications to export and reexport items on the U.S.
Munitions List. (See 22 CFR parts 120 through 130.)
``Deformable mirrors.'' (Cat 6) (also known as adaptive optic
mirrors) means mirrors having:
a. A single continuous optical reflecting surface which is
dynamically deformed by the application of individual torques or forces
to compensate for distortions in the optical waveform incident upon the
mirror; or
b. Multiple optical reflecting elements that can be individually and
dynamically repositioned by the application of torques or forces to
compensate for distortions in the optical waveform incident upon the
mirror.
``Depleted uranium.'' (Cat 0) means uranium depleted in the isotope
235 below that occurring in nature.
``Designed or modified.'' (MTCR context)--Equipment, parts,
components, or ``software'' that, as a result of ``development'', or
modification, have specified properties that make them fit for a
particular application. ``Designed or modified'' equipment, parts,
components or ``software'' can be used for other applications. For
example, a titanium coated pump designed for a ``missile'' may be used
with corrosive fluids other than propellants.
``Development''. (General Technology Note)--``Development'' is
related to all stages prior to serial production, such as: design,
design research, design analyses, design concepts, assembly and testing
of prototypes, pilot production schemes, design data, process of
transforming design data into a product, configuration design,
integration design, layouts.
``Diffusion bonding``. (Cat 1, 2, and 9)--A solid-state molecular
joining of at least two separate metals into a single piece with a joint
strength equivalent to that of the weakest material.
``Digital computer''. (Cat 4 and 5)--Equipment that can, in the form
of one or more discrete variables, perform all of the following:
(a) Accept data;
(b) Store data or instructions in fixed or alterable (writable)
storage devices;
(c) Process data by means of a stored sequence of instructions that
is modifiable; and
(d) Provide output of data.
Note: Modifications of a stored sequence of instructions include
replacement of fixed storage devices, but not a physical change in
wiring or interconnections.
``Digital transfer rate''. (Cat 5)--The total bit rate of the
information that is directly transferred on any type of medium. (See
also ``total digital transfer rate'')
``Direct-acting hydraulic pressing''. (Cat 2)--A deformation process
that uses a fluid-filled flexible bladder in direct contact with the
workpiece.
[[Page 566]]
``Drift rate''. (gyro) (Cat 7)--The time rate of output deviation
from the desired output. It consists of random and systematic components
and is expressed as an equivalent input angular displacement per unit
time with respect to inertial space.
Dual use. Items that have both commercial and military or
proliferation applications. While this term is used informally to
describe items that are subject to the EAR, purely commercial items are
also subject to the EAR (see Sec. 734.2(a) of the EAR).
``Dynamic adaptive routing''. (Cat 5)--Automatic rerouting of
traffic based on sensing and analysis of current actual network
conditions.
Note: This does not include cases of routing decisions taken on
predefined information.
``Dynamic signal analyzers''. (Cat 3)--``Signal analyzers'' that use
digital sampling and transformation techniques to form a Fourier
spectrum display of the given waveform including amplitude and phase
information.
Effective control. You maintain effective control over an item when
you either retain physical possession of the item, or secure the item in
such an environment as a hotel safe, a bonded warehouse, or a locked or
guarded exhibition facility. Retention of effective control over an item
is a condition of certain temporary exports and reexports.
``Effective Gram.'' (of ``special fissile material'') (Cat 0 and 1)
means:
a. For plutonium isotopes and uranium-233, the isotope weight in
grams;
b. For uranium enriched 1 percent or greater in the isotope uranium-
235, the element weight in grams multiplied by the square of its
enrichment expressed as a decimal weight fraction;
c. For uranium enriched below 1 percent in the isotope uranium-235,
the element weight in grams multiplied by 0.0001.
``Electronic assembly.'' (Cat 3, 4, and 5) means a number of
electronic components (i.e., `circuit elements', `discrete components',
integrated circuits, etc.) connected together to perform (a) specific
function(s), replaceable as an entity and normally capable of being
disassembled.
Technical Notes: 1. `Circuit element': a single active or passive
functional part of an electronic circuit, such as one diode, one
transistor, one resistor, one capacitor, etc.
2. `Discrete component': a separately packaged `circuit element'
with its own external connections.
``Electronically steerable phased array antenna''. (Cat 6)--An
antenna that forms a beam by means of phase coupling (i.e., the beam
direction is controlled by the complex excitation coefficients of the
radiating elements) and the direction of that beam can be varied (both
in transmission and reception) in azimuth or in elevation, or both, by
application of an electrical signal.
``Encryption component''. Any encryption commodity or software
(except source code), including encryption chips, integrated circuits,
application specific encryption toolkits, or executable or linkable
modules that alone are incapable of performing complete cryptographic
functions, and is designed or intended for use in or the production of
another encryption item.
Encryption items. The phrase encryption items includes all
encryption commodities, software, and technology that contain encryption
features and are subject to the EAR. This does not include encryption
items specifically designed, developed, configured, adapted or modified
for military applications (including command, control and intelligence
applications) which are controlled by the Department of State on the
U.S. Munitions List.
Encryption licensing arrangement. A license that allows the export
of specified products to specified destinations in unlimited quantities.
In certain cases, exports are limited to specified end-users for
specified end-uses. Generally, reporting of all sales of the specified
products is required at six month intervals. This includes sales made
under distribution arrangements and distribution and warehousing
agreements that were previously issued by the Department of State for
encryption items.
Encryption object code. Computer programs containing an encryption
source code that has been compiled into a
[[Page 567]]
form of code that can be directly executed by a computer to perform an
encryption function.
Encryption software. Computer programs that provide capability of
encryption functions or confidentiality of information or information
systems. Such software includes source code, object code, applications
software, or system software.
Encryption source code. A precise set of operating instructions to a
computer that, when compiled, allows for the execution of an encryption
function on a computer.
``End-effectors''. (Cat 2)--``Grippers, ``active tooling units'' and
any other tooling that is attached to the baseplate on the end of a
``robot'' manipulator arm.
Note: ``Active tooling unit'': a device for applying motive power,
process energy or sensing to the workpiece.
End-user. The person abroad that receives and ultimately uses the
exported or reexported items. The end-user is not a forwarding agent or
intermediary, but may be the purchaser or ultimate consignee.
``Equivalent Density''. (Cat 6)--The mass of an optic per unit
optical area projected onto the optical surface.
``Expert systems''. (Cat 4 and 7)--Systems providing results by
application of rules to data that are stored independently of the
``program'' and capable of any of the following:
(a) Modifying automatically the ``source code'' introduced by the
user;
(b) Providing knowledge linked to a class of problems in quasi-
natural language; or
(c) Acquiring the knowledge required for their development (symbolic
training).
Export. Export means an actual shipment or transmission of items out
of the United States. (See Sec. 734.2(b) of the EAR.)
Export Administration Act (EAA). Export Administration Act of 1979,
as amended, effective October 1, 1979.
Export Administration Regulations (EAR). Regulations set forth in
parts 730-774, inclusive, of Title 15 of the Code of Federal
Regulations.
Export Administration Review Board (EARB). EARB voting members are
the Secretary of Commerce, the Secretary of State, the Secretary of
Defense, the Secretary of Energy, the Attorney General (for encryption
exports), and the Director of the Arms Control and Disarmament Agency.
The Chairman of the Joint Chiefs of Staff and the Director of Central
Intelligence are non-voting members. The Secretary of Commerce is the
Chair of the EARB. No alternate EARB members may be designated, but the
acting head or deputy head of any agency or department may serve in lieu
of the head of the concerned agency or department. The EARB may invite
the heads of other Government agencies or departments (other than those
identified in this definition) to participate in the activities of the
EARB when matters of interest to such agencies or departments are under
consideration. Decisions are made by majority vote.
Export Control Classification Number (ECCN). The numbers used in
Supplement No. 1 to part 774 of the EAR and throughout the EAR. The
Export Control Classification Number consists of a set of digits and a
letter. Reference Sec. 738.2(c) of the EAR for a complete description
of each ECCN's composition.
Export control document. A license; application for license; any and
all documents submitted in accordance with the requirements of the EAR
in support of, or in relation to, a license application; application for
International Import Certificate; Delivery Verification Certificate or
similar evidence of delivery; Shipper's Export Declaration (SED) or
Automated Export System (AES) record presented in connection with
shipments to any country; a Dock Receipt or bill of lading issued by any
carrier in connection with any export subject to the EAR and any and all
documents prepared and submitted by exporters and agents pursuant to the
export clearance requirements of part 758 of the EAR; a U.S. exporter's
report of request received for information, certification, or other
action indicating a restrictive trade practice or boycott imposed by a
foreign country against a country friendly to the United States,
submitted to the U.S. Department of Commerce in accordance with the
provisions of part 760 of the EAR; Customs Form 7512, Transportation
Entry and Manifest of Goods, Subject to Customs
[[Page 568]]
Inspection and Permit, when used for Transportation and Exportation (T.&
E.) or Immediate Exportation (I.E.); and any other document issued by a
U.S. Government agency as evidence of the existence of a license for the
purpose of loading onto an exporting carrier or otherwise facilitating
or effecting an export from the United States or any reexport of any
item requiring a license.
Exporter. The person in the United States who has the authority of a
principal party in interest to determine and control the sending of
items out of the United States. Note that the Foreign Trade Statistics
Regulations have a different definition for the term ``exporter''. Under
the FTSR, the ``exporter'' is the U.S. principal party in interest (see
Foreign Trade Statistics Regulations title 15 part 30).
Exporting carrier. Any instrumentality of water, land, or air
transportation by which an export is effected, including any domestic
air carrier on which any cargo for export is laden or carried.
``FADEC.'' See ``full authority digital engine control.''
``FMU''--See ``flexible manufacturing unit''
``Fault tolerance''. (Cat 4)--The capability of a computer system,
after any malfunction of any of its hardware or ``software'' components,
to continue to operate without human intervention, at a given level of
service that provides: continuity of operation, data integrity, and
recovery of service within a given time.
``Fibrous or filamentary materials''. (Cat 1 and 8)--The term
``fibrous and filamentary materials'' includes:
(a) Continuous monofilaments;
(b) Continuous yarns and rovings;
(c) Tapes, fabrics, random mats and braids;
(d) Chopped fibers, staple fibers and coherent fiber blankets;
(e) Whiskers, either monocrystalline or polycrystalline, of any
length;
(f) Aromatic polyimide pulp.
``Film type integrated circuit''. (Cat 3)--An array of ``circuit
elements'' and metallic interconnections formed by deposition of a thick
or thin film on an insulating ``substrate''.
Note: ``Circuit element'': a single active or passive functional
part of an electronic circuit, such as one diode, one transistor, one
resistor, one capacitor, etc.
Financial Institution. As applied to encryption items, means any of
the following:
(a) A broker, dealer, government securities broker or dealer, self-
regulatory organization, investment company or investment adviser, which
is regulated or supervised by the Securities and Exchange Commission or
a self-regulatory organization that is registered with the Securities
and Exchange Commission; or
(b) A broker, dealer, government securities broker or dealer,
investment company, investment adviser, or entity that engages in
securities activities that, if conducted in the United States, would be
described by the definition of the term ``self-regulatory organization''
in the Securities Exchange Act of 1934, which is organized under the
laws of a foreign country and regulated or supervised by a foreign
securities authority; or
(c) A U.S. board of trade that is designated as a contract market by
the Commodity Futures Trading Commission or a futures commission
merchant that is regulated or supervised by the Commodity Futures
Trading Commission; or
(d) A U.S. entity engaged primarily in the business of issuing a
general purpose charge, debit, or stored value card, or a branch of, or
affiliate controlled by, such an entity; or
(e) A branch or affiliate of any of the entities listed in
paragraphs (a), (b), or (c) of this definition regulated or supervised
by the Securities and Exchange Commission, the Commodity Futures Trading
Commission, or a foreign securities authority; or
(f) An affiliate of any of the entities listed in paragraph (a),
(b), (c), or (e), of this definition engaged solely in the business of
providing data processing services to one or more bank or financial
institutions, or a branch of such an affiliate; or
(g) A company organized and regulated under the laws of any of the
United States and its branches and affiliates whose primary and
predominant business activity is the writing of insurance or the
reinsuring of risks; or
[[Page 569]]
a company organized and regulated under the laws of a foreign country
and its branches and affiliates whose primary and predominant business
activity is the writing of insurance or the reinsuring of risks.
Firm. A corporation, partnership, limited partnership, association,
company, trust, or any other kind of organization or body corporate,
situated, residing, or doing business in the United States or any
foreign country, including any government or agency thereof.
``Fixed''. (Cat 5)--The coding or compression algorithm cannot
accept externally supplied parameters (e.g., cryptographic or key
variables) and cannot be modified by the user.
``Flexible manufacturing unit''. (FMU), (sometimes also referred to
as `flexible manufacturing system' (FMS) or `flexible manufacturing
cell' (FMC)) (Cat 2)--An entity that includes a combination of at least:
(a) A ``digital computer'' including its own ``main storage'' and
its own ``related equipment''; and
(b) Two or more of the following:
(1) A machine tool described in 2B001.c;
(2) A dimensional inspection machine described in Category 2, or
another digitally controlled measuring machine controlled by an entry in
Category 2;
(3) A ``robot'' controlled by an entry in Category 2 or 8;
(4) Digitally controlled equipment controlled by 1B003, 2B003, or
9B001;
(5) ``Stored program controlled'' equipment controlled by 3B001;
(6) Digitally controlled equipment controlled by 1B001;
(7) Digitally controlled electronic equipment controlled by 3A002.
``Flight control optical sensor array.'' (Cat 7) is a network of
distributed optical sensors, using ``laser'' beams, to provide real-time
flight control data for on-board processing.
``Flight path optimization.'' (Cat 7) is a procedure that minimizes
deviations from a four-dimensional (space and time) desired trajectory
based on maximizing performance or effectiveness for mission tasks.
``Focal plane array''. (Cat 6)--A linear or two-dimensional planar
layer, or combination of planar layers, of individual detector elements,
with or without readout electronics, that work in the focal plane.
N.B. This definition does not include a stack of single detector
elements or any two, three, or four element detectors provided time
delay and integration is not performed within the element.
Foreign government agency. For the purposes of exemption from
support documentation (see Sec. 748.9 of the EAR), a foreign government
agency is defined as follows:
(a) National governmental departments operated by government-paid
personnel performing governmental administrative functions; e.g. Finance
Ministry, Ministry of Defense, Ministry of Health, etc. (municipal or
other local government entities must submit required support
documentation); or
(b) National government-owned public service entities; e.g.,
nationally owned railway, postal, telephone, telegraph, broadcasting,
and power systems, etc. The term ``foreign government agency'' does not
include government corporations, quasi-government agencies, and state
enterprises engaged in commercial, industrial, and manufacturing
activities, such as petroleum refineries, mines, steel mills, retail
stores, automobile manufacturing plants, airlines, or steamship lines
that operate between two or more countries, etc.
Foreign policy control. A control imposed under the EAR for any and
all of the following reasons: chemical and biological weapons, nuclear
nonproliferation, missile technology, regional stability, crime control,
anti-terrorism, United Nations sanctions, and any other reason for
control implemented under section 6 of the EAA or other similar
authority.
Foreign Terrorist Organizations (FTO). Any organization that is
determined by the Secretary of the Treasury to be a foreign terrorist
organization under notices or regulations issued by the Office of
Foreign Assets Control (see 31 CFR chapter V).
Forwarding agent. The person in the United States who is authorized
by a principal party in interest to perform the services required to
facilitate the export of the items from the United States. This may
include air couriers
[[Page 570]]
or carriers. In routed export transactions, the forwarding agent and the
exporter may be the same for compliance purposes under the EAR.
``Fractional bandwidth''. (Cat 3)--The ``instantaneous bandwidth''
divided by the center frequency, expressed as a percentage.
``Frequency hopping''. (Cat 5 part 1 and 5 part 2)--A form of
``spread spectrum'' in which the transmission frequency of a single
communication channel is made to change by a random or pseudo-random
sequence of discrete steps.
``Frequency switching time''. (Cat 3 and 5)--The maximum time (i.e.,
delay), taken by a signal, when switched from one selected output
frequency to another selected output frequency, to reach:
(a) A frequency within 100 Hz of the final frequency; or
(b) An output level within 1 dB of the final output level.
``Frequency synthesizer''. (Cat 3)--Any kind of frequency source or
signal generator, regardless of the actual technique used, providing a
multiplicity of simultaneous or alternative output frequencies, from one
or more outputs, controlled by, derived from or disciplined by a lesser
number of standard (or master) frequencies.
``Full Authority Digital Engine Control.'' (``FADEC'') (Cat 7 and 9)
means an electronic control system for gas turbine or combined cycle
engines utilizing a digital computer to control the variables required
to regulate engine thrust or shaft power output throughout the engine
operating range from the beginning of fuel metering to fuel shutoff.
``Gas Atomization''. (Cat 1)--A process to reduce a molten stream of
metal alloy to droplets of 500-micrometer diameter or less by a high-
pressure gas stream.
General prohibitions. The 10 prohibitions found in part 734 of the
EAR that prohibit certain exports, reexports, and other conduct, subject
to the EAR, absent a license, License Exception, or determination that
no license is required (``NLR'').
``Geographically dispersed''. (Cat 6)--Sensors are considered
geographically dispersed when each location is distant from any other
more than 1,500 m in any direction. Mobile sensors are always considered
geographically dispersed.
``Government end-user (as applied to encryption items)''. A
government end-user is any foreign central, regional or local government
department, agency, or other entity performing governmental functions;
including governmental research institutions, governmental corporations
or their separate business units (as defined in part 772 of the EAR)
which are engaged in the manufacture or distribution of items or
services controlled on the Wassenaar Munitions List, and international
governmental organizations. This term does not include: utilities
(including telecommunications companies and Internet service providers);
banks and financial institutions; transportation; broadcast or
entertainment; educational organizations; civil health and medical
organizations; retail or wholesale firms; and manufacturing or
industrial entities not engaged in the manufacture or distribution of
items or services controlled on the Wassenaar Munitions List.
Hold Without Action (HWA). License applications may be held without
action only in the limited circumstances described in Sec. 750.4(c) of
the EAR.
``Hot isostatic densification''. (Cat 2)--A process of pressurizing
a casting at temperatures exceeding 375 K (102 [deg]C) in a closed
cavity through various media (gas, liquid, solid particles, etc.) to
create equal force in all directions to reduce or eliminate internal
voids in the casting.
``Hybrid computer''. (Cat 4)--Equipment that can:
(a) Accept data;
(b) Process data, in both analog and digital representation; and
(c) Provide output of data.
``Hybrid integrated circuit''. (Cat 3)--Any combination of
integrated circuit(s), or integrated circuit with ``circuit elements''
or ``discrete components'' connected together to perform (a) specific
function(s), and having all of the following criteria:
(a) Containing at least one unencapsulated device;
(b) Connected together using typical IC-production methods;
[[Page 571]]
(c) Replaceable as an entity; and
(d) Not normally capable of being disassembled.
Notes: 1. ``Circuit element'': a single active or passive functional
part of an electronic circuit, such as one diode, one transistor, one
resistor, one capacitor, etc.
2. ``Discrete component'': a separately packaged ``circuit element''
with its own external connections.
``Image enhancement''. (Cat 4)--The processing of externally derived
information-bearing images by algorithms such as time compression,
filtering, extraction, selection, correlation, convolution or
transformations between domains (e.g., fast Fourier transform or Walsh
transform). This does not include algorithms using only linear or
rotational transformation of a single image, such as translation,
feature extraction, registration or false coloration.
``Information security''. (Cat 5)--All the means and functions
ensuring the accessibility, confidentiality or integrity of information
or communications, excluding the means and functions intended to
safeguard against malfunctions. This includes ``cryptography'',
``cryptanalysis'', protection against compromising emanations and
computer security.
N.B. ``Cryptanalysis'': the analysis of a cryptographic system or
its inputs and outputs to derive confidential variables or sensitive
data, including clear text. (ISO 7498-2-1988 (E), paragraph 3.3.18)
``Instantaneous bandwidth''. (Cat 3 and 5)--The bandwidth over which
output power remains constant within 3 dB without adjustment of other
operating parameters.
``Instrumented range''. (Cat 6)--The specified unambiguous display
range of a radar.
Intent to Deny (ITD) letter. A letter informing the applicant:
(a) Of the reason for BIS's decision to deny a license application;
and
(b) That the application will be denied 45 days from the date of the
ITD letter, unless the applicant provides, and BIS accepts, a reason why
the application should not be denied for the stated reason. See Sec.
750.6 of the EAR.
``Interconnected radar sensors''. (Cat 6)--Two or more radar sensors
are interconnected when they mutually exchange data in real time.
Intermediate consignee. The person that acts as an agent for a
principal party in interest for the purpose of effecting delivery of
items to the ultimate consignee. The intermediate consignee may be a
bank, forwarding agent, or other person who acts as an agent for a
principal party in interest.
``Intrinsic Magnetic Gradiometer''. (Cat 6)--A single magnetic field
gradient sensing element and associated electronics the output of which
is a measure of magnetic field gradient. (See also ``Magnetic
Gradiometer'')
``Isostatic presses''. (Cat 2)--Equipment capable of pressurizing a
closed cavity through various media (gas, liquid, solid particles, etc.)
to create equal pressure in all directions within the cavity upon a
workpiece or material.
Item. ``Item'' means ``commodities, software, and technology.'' When
the EAR intend to refer specifically to commodities, software, or
technology, the text will use the specific reference.
Know. See ``knowledge.''
Knowledge. Knowledge of a circumstance (the term may be a variant,
such as ``know,'' ``reason to know,'' or ``reason to believe'') includes
not only positive knowledge that the circumstance exists or is
substantially certain to occur, but also an awareness of a high
probability of its existence or future occurrence. Such awareness is
inferred from evidence of the conscious disregard of facts known to a
person and is also inferred from a person's willful avoidance of facts.
This definition does not apply to part 760 of the EAR (Restrictive Trade
Practices or Boycotts).
``Laser''. (Cat 2, 3, 5, 6, and 9)--An assembly of components that
produce both spatially and temporally coherent light that is amplified
by stimulated emission of radiation. See also: ``Chemical laser''; ``Q-
switched laser''; ``Super High Power Laser''; and ``Transfer laser''.
Law or regulation relating to export control. Any statute,
proclamation, executive order, regulation, rule, license, or order
applicable to any conduct involving an export transaction shall be
deemed to be a ``law or regulation relating to export control.''
[[Page 572]]
Legible or legibility. Legible and legibility mean the quality of a
letter or numeral that enables the observer to identify it positively
and quickly to the exclusion of all other letters or numerals.
License. Authority issued by the Bureau of Industry and Security
authorizing an export, reexport, or other regulated activity. The term
``license'' does not include authority represented by a ``License
Exception.''
License application; application for license. License application
and similar wording mean an application to BIS requesting the issuance
of a license to the applicant.
License Exception. An authorization described in part 740 of the EAR
that allows you to export or reexport, under stated conditions, items
subject to the EAR that otherwise would require a license. Unless
otherwise indicated, these License Exceptions are not applicable to
exports under the licensing jurisdiction of agencies other than the
Department of Commerce.
Licensee. The person to whom a license has been issued by BIS. See
Sec. 750.7(c) of the EAR for a complete definition and identification
of a licensee's responsibilities.
``Linearity''. (Cat 2)--``Linearity'' (usually measured in terms of
non-linearity) is the maximum deviation of the actual characteristic
(average of upscale and downscale readings), positive or negative, from
a straight line so positioned as to equalize and minimize the maximum
deviations.
``Local area network''. (Cat 4)--A data communication system that:
(a) Allows an arbitrary number of independent ``data devices'' to
communicate directly with each other; and
(b) Is confined to a geographical area of moderate size (e.g.,
office building, plant, campus, warehouse).
Note: ``Data device'': equipment capable of transmitting or
receiving sequences of digital information.
``MBTR''--See ``maximum bit transfer rate''.
MTCR. See Missile Technology Control Regime.
MTEC. See Missile Technology Export Control Group.
``Magnetic Gradiometers''. (Cat 6)--Are designed to detect the
spatial variation of magnetic fields from sources external to the
instrument. They consist of multiple ``magnetometers'' and associated
electronics the output of which is a measure of magnetic field gradient.
(See also ``Intrinsic Magnetic Gradiometer''.)
``Magnetometers''. (Cat 6)--Are designed to detect magnetic fields
from sources external to the instrument. They consist of a single
magnetic field sensing element and associated electronics the output of
which is a measure of the magnetic field.
``Main storage''. (Cat 4)--The primary storage for data or
instructions for rapid access by a central processing unit. It consists
of the internal storage of a ``digital computer'' and any hierarchical
extension thereto, such as cache storage or non-sequentially accessed
extended storage.
``Matrix''. (Cat 1, 2, 8, and 9)--A substantially continuous phase
that fills the space between particles, whiskers or fibers.
``Maximum bit transfer rate''. (MBTR) (Cat 4)--Of solid state
storage equipment: the number of data bits per second transferred
between the equipment and its controller. Of a disk drive: the internal
data transfer rate calculated as follows:
``MBTR'' (bits per second)=B x R x T, where:
B=Maximum number of data bits per track available to read or write in a
single revolution;
R=Revolutions per second;
T=Number of tracks that can be used or written simultaneously.
``Measurement uncertainty''. (Cat 2)--The characteristic parameter
that specifies in what range around the output value the correct value
of the measurable variable lies with a confidence level of 95%. It
includes the uncorrected systematic deviations, the uncorrected
backlash, and the random deviations (Ref.: ISO 10360-2 or VDI/VDE 2617).
``Mechanical alloying''. (Cat 1)--An alloying process resulting from
the bonding, fracturing and rebonding of elemental and master alloy
powders by mechanical impact. Non-metallic particles may be incorporated
in the alloy by addition of the appropriate powders.
[[Page 573]]
``Media access unit''. (Cat 5)--Equipment that contains one or more
communication interfaces (``network access controller'',
``communications channel controller'', modem or computer bus) to connect
terminal equipment to a network.
Medical devices. For purposes of the EAR, medical devices are
``devices'' as defined in section 201 of the Federal Food, Drug, and
Cosmetic Act (21 U.S.C. 321) including medical supplies, instruments,
equipment, equipped ambulances, institutional washing machines for
sterilization, and vehicles with medical testing equipment. Note that
certain component parts and spares to be exported for incorporation into
medical devices are on the Commerce Control List. Only items meeting the
definition of ``medical device'' and that are classified as EAR99 are
eligible for export to Iran, Libya and Sudan under the licensing
procedures set forth in the appropriate regulations promulgated and
administered by Treasury's Office of Foreign Assets Control.
Medicines. Medicines means ``drug'' as defined in section 201 of the
Federal Food, Drug and Cosmetic Act (21 U.S.C. 321). For purposes of the
EAR, medicines includes prescription and over the counter medicines for
humans and animals. Note that certain medicines, such as vaccines and
immunotoxins, are on the Commerce Control List. Only items meeting the
definition of ``medicine'' and that are classified as EAR99 are eligible
for export to Iran, Libya and Sudan under the licensing procedures set
forth in the appropriate regulations promulgated and administered by
Treasury's Office of Foreign Assets Control.
``Melt Extraction''. (Cat 1)--A process to ``solidify rapidly'' and
extract a ribbon-like alloy product by the insertion of a short segment
of a rotating chilled block into a bath of a molten metal alloy.
Note: ``Solidify rapidly'': solidification of molten material at
cooling rates exceeding 1,000 K/sec.
``Melt Spinning''. (Cat 1)--A process to ``solidify rapidly'' a
molten metal stream impinging upon a rotating chilled block, forming a
flake, ribbon or rod-like product.
Note: ``Solidify rapidly'': solidification of molten material at
cooling rates exceeding 1,000 K/sec.
Microcomputer microcircuit. (Cat 3) means a ``monolithic integrated
circuit'' or ``multichip integrated circuit'' containing an arithmetic
logic unit (ALU) capable of executing a series of general purpose
instructions from an internal storage, on data contained in the internal
storage.
Technical Note 1: The ``microprocessor microcircuit'' normally does
not contain integral user-accessible storage, although storage present
on-the-chip may be used in performing its logic function.
Technical Note 2: The internal storage may be augmented by an
external storage.
Note: This definition includes chip sets which are designed to
operate together to provide the function of a ``microprocessor
microcircuit.''
``Microorganisms.'' (Cat 1 and 2) means bacteria, viruses,
mycoplasms, rickettsiae, chlamydiae or fungi, whether natural, enhanced
or modified, either in the form of isolated live cultures or as material
including living material which has been deliberately inoculated or
contaminated with such cultures.
``Microprocessor microcircuit''. (Cat 3)--A ``monolithic integrated
circuit'' or ``multichip integrated circuit'' containing an arithmetic
logic unit (ALU) capable of executing a series of general purpose
instructions from an external storage.
N.B. 1: The ``microprocessor microcircuit'' normally does not
contain integral user-accessible storage, although storage present on-
the-chip may be used in performing its logic function.
N.B. 2: This definition includes chip sets that are designed to
operate together to provide the function of a ``microprocessor
microcircuit''.
``Microprogram''. (Cat 4 and 5)--A sequence of elementary
instructions, maintained in a special storage, the execution of which is
initiated by the introduction of its reference instruction into an
instruction register.
Missile Technology Control Regime (MTCR). The United States and
other nations in this multilateral control regime have agreed to
guidelines for restricting the export and reexport of dual-use items
that may contribute to the development of missiles. The MTCR Annex lists
missile-related equipment and technology controlled
[[Page 574]]
either by the Department of Commerce or by the Department of State's
Office of Defense Trade Controls (22 CFR parts 120 through 130).
Missile Technology Export Control Group (MTEC). Chaired by the
Department of State, the MTEC primarily reviews applications involving
items controlled for Missile Technology (MT) reasons. The MTEC also
reviews applications involving items not controlled for MT reasons, but
destined for a country and/or end-use/end-user of concern.
``Missiles''. (All)--Rocket systems (including ballistic missile
systems, space launch vehicles, and sounding rockets) and unmanned air
vehicle systems (including cruise missile systems, target drones, and
reconnaissance drones) ``capable of'' delivering at least 500 kilograms
payload to a range of at least 300 kilometers.
``Monolithic integrated circuit''. (Cat 3)--A combination of passive
or active ``circuit elements'' or both that:
(a) Are formed by means of diffusion processes, implantation
processes or deposition processes in or on a single semiconducting piece
of material, a so-called 'chip';
(b) Can be considered as indivisibly associated; and
(c) Perform the function(s) of a circuit.
Note: ``Circuit element'': a single active or passive functional
part of an electronic circuit, such as one diode, one transistor, one
resistor, one capacitor, etc.
``Monospectral imaging sensors.'' (Cat 6) are capable of acquisition
of imaging data from one discrete spectral band.
``Motion control board''. (Cat 2)--An electronic ``assembly''
specially designed to provide a computer system with the capability to
coordinate simultaneously the motion of axes of machine tools for
``contouring control''.
``Multichip integrated circuit''. (Cat 3)--Two or more ``monolithic
integrated circuits'' bonded to a common ``substrate''.
``Multi-data-stream processing''. (Cat 4)--The ``microprogram'' or
equipment architecture technique that permits simultaneous processing of
two or more data sequences under the control of one or more instruction
sequences by means such as:
(a) Single Instruction Multiple Data (SIMD) architectures such as
vector or array processors;
(b) Multiple Single Instruction Multiple Data (MSIMD) architectures;
(c) Multiple Instruction Multiple Data (MIMD) architectures,
including those that are tightly coupled, closely coupled or loosely
coupled; or
(d) Structured arrays of processing elements, including systolic
arrays.
``Multilevel security''. (Cat 5)--A class of system containing
information with different sensitivities that simultaneously permits
access by users with different security clearances and need-to-know, but
prevents users from obtaining access to information for which they lack
authorization.
Note: ``Multilevel security'' is computer security and not computer
reliability that deals with equipment fault prevention or human error
prevention in general.
``Multispectral Imaging Sensors''. (Cat 6)--Are capable of
simultaneous or serial acquisition of imaging data from two or more
discrete spectral bands. Sensors having more than twenty discrete
spectral bands are sometimes referred to as hyperspectral imaging
sensors.
``N.E.S.'' N.E.S or n.e.s. is an abbreviation meaning ``not
elsewhere specified''.
NLR. NLR (``no license required'') is a symbol entred on the
Shipper's Export Declaration or an Automated Export System record
certifying that no license is required.
NSG. See Nuclear Suppliers Group.
NATO (North Atlantic Treaty Organization). A strategic defensive
organization that consists of the following member nations: Belgium,
Canada, Denmark, France, Germany, Greece, Iceland, Italy, Luxembourg,
the Netherlands, Norway, Portugal, Spain, Turkey, the United Kingdom,
and the United States.
``Natural uranium.'' (Cat 0) means uranium containing the mixtures
of isotopes occurring in nature.
Net value. The actual selling price, less shipping charges or
current market price, whichever is the larger, to the same type of
purchaser in the United States.
``Neural computer''. (Cat 4)--A computational device designed or
modified to mimic the behavior of a neuron or a
[[Page 575]]
collection of neurons (i.e., a computational device that is
distinguished by its hardware capability to modulate the weights and
numbers of the interconnections of a multiplicity of computational
components based on previous data).
``Noise level''. (Cat 6)--An electrical signal given in terms of
power spectral density. The relation between ``noise level'' expressed
in peak-to-peak is given by S\2\pp=8No(f2-
f1), where Spp is the peak-to-peak value of the
signal (e.g., nanoteslas), No is the power spectral density
(e.g., (nanotesla)\2\/Hz) and (f2-f1) defines the
bandwidth of interest.
``Nuclear reactor.'' (Cat 0 and 2) includes the items within or
attached directly to the reactor vessel, the equipment which controls
the level of power in the core, and the components which normally
contain, come into direct contact with or control the primary coolant of
the reactor core.
Nuclear Suppliers Group (NSG). The United States and other nations
in this multilateral control regime have agreed to guidelines for
restricting the export or reexport of items with nuclear applications.
Members include: Argentina, Australia, Austria, Belarus, Belgium,
Brazil, Bulgaria, Canada, Cyprus, Czech Republic, Denmark, Finland,
France, Germany, Greece, Hungary, Ireland, Italy, Japan, Kazakhstan,
Latvia, Luxembourg, the Netherlands, New Zealand, Norway, Poland,
Portugal, Republic of Korea, Romania, Russia, Slovak Republic, Slovenia,
Spain, South Africa, Sweden, Switzerland, Turkey, Ukraine, the United
Kingdom, and the United States. See also Sec. 742.3 of the EAR.
``Numerical control''. (Cat 2)--The automatic control of a process
performed by a device that makes use of numeric data usually introduced
as the operation is in progress (Ref. ISO 2382).
``Object code''. (or object language) (Cat 9)--An equipment
executable form of a convenient expression of one or more processes
(``source code'' (or source language)) that has been converted by a
programming system. (See also ``source code'')
Office of Foreign Assets Control (FAC) or (OFAC). The office at the
Department of the Treasury responsible for blocking assets of foreign
countries subject to economic sanctions, controlling participation by
U.S. persons, including foreign subsidiaries, in transactions with
specific countries or nationals of such countries, and administering
embargoes on certain countries or areas of countries. (See 31 CFR parts
500 through 590.)
``Open cryptographic interface''. A mechanism which is designed to
allow a customer or other party to insert cryptographic functionality
without the intervention, help or assistance of the manufacturer or its
agents, e.g., manufacturer's signing of cryptographic code or
proprietary interfaces. If the cryptographic interface implements a
fixed set of cryptographic algorithms, key lengths or key exchange
management systems, that cannot be changed, it will not be considered an
``open'' cryptographic interface. All general application programming
interfaces (e.g., those that accept either a cryptographic or non-
cryptographic interface but do not themselves maintain any cryptographic
functionality) will not be considered ``open'' cryptographic interfaces.
``Operate autonomously''. (Cat 8)--Fully submerged, without snorkel,
all systems working and cruising at minimum speed at which the
submersible can safely control its depth dynamically by using its depth
planes only, with no need for a support vessel or support base on the
surface, sea-bed or shore, and containing a propulsion system for
submerged or surface use.
Operating Committee (OC). The OC voting members include
representatives of appropriate agencies in the Departments of Commerce,
State, Defense, Justice (for encryption exports), and Energy and the
Arms Control and Disarmament Agency. The appropriate representatives of
the Joint Chiefs of Staff and the Director of the Nonproliferation
Center of the Central Intelligence Agency are non-voting members. The
Department of Commerce representative, appointed by the Secretary, is
the Chair of the OC and serves as the Executive Secretary of the
Advisory Committee on Export Policy. The OC may invite representatives
of other Government agencies or
[[Page 576]]
departments (other than those identified in this definition) to
participate in the activities of the OC when matters of interest to such
agencies or departments are under consideration.
``Optical amplification''. (Cat 5)--In optical communications, an
amplification technique that introduces a gain of optical signals that
have been generated by a separate optical source, without conversion to
electrical signals, i.e., using semiconductor optical amplifiers,
optical fiber luminescent amplifiers.
``Optical computer''. (Cat 4)--A computer designed or modified to
use light to represent data and whose computational logic elements are
based on directly coupled optical devices.
``Optical integrated circuit''. (Cat 3)--A ``monolithic integrated
circuit'' or a ``hybrid integrated circuit'', containing one or more
parts designed to function as photosensor or photoemitter or to perform
(an) optical or (an) electro-optical function(s).
``Optical switching''. (Cat 5)--The routing of or switching of
signals in optical form without conversion to electrical signals.
Order Party. The person in the United States who conducted the
direct negotiations or correspondence with the foreign purchaser or
ultimate consignee and who, as a result of these negotiations, received
the order from the foreign purchaser or ultimate consignee.
Organization for the Prohibition of Chemical Weapons (OPCW). Means
the international organization, located in The Hague, Netherlands, that
administers the Chemical Weapons Convention.
Other party authorized to receive license. The person authorized by
the applicant to receive the license. If a person and address is listed
in Block 15 of the BIS-748P Multipurpose Application Form, the Bureau of
Industry and Security will send the license to that person instead of
the applicant. Designation of another party to receive the license does
not alter the responsibilities of the applicant, licensee or exporter.
``Overall current density''. (Cat 3)--The total number of ampere-
turns in the coil (i.e., the sum of the number of turns multiplied by
the maximum current carried by each turn) divided by the total cross-
section of the coil (comprising the superconducting filaments, the
metallic matrix in which the superconducting filaments are embedded, the
encapsulating material, any cooling channels, etc.).
``Part program''. (Cat. 2)--An ordered set of instructions that is
in a language and in a format required to cause operations to be
effected under automatic control and that is either written in the form
of a machine program on an input medium or prepared as input data for
processing in a computer to obtain a machine program (Ref. ISO 2806-
1980).
``Payload'' (MTCR). The total mass that can be carried or delivered
by the specified rocket system or unmanned aerial vehicle (UAV) system
that is not used to maintain flight.
Note: The particular equipment, subsystems, or components to be
included in the payload depends on the type and configuration of the
vehicle under consideration.
Technical Notes:
a. Ballistic Missiles
1. ``Payload'' for systems with separating re-entry vehicles (RVs)
includes:
i. The RVs, including:
A. Dedicated guidance, navigation, and control equipment;
B. Dedicated countermeasures equipment;
ii. Munitions of any type (e.g., explosive or non-explosive);
iii. Supporting structures and deployment mechanisms for the
munitions (e.g. hardware used to attach to, or separate the RV from, the
bus/post-boost vehicle) that can be removed without violating the
structural integrity of the vehicle;
iv. Mechanisms and devices for safing, arming, fuzing, or firing;
v. Any other countermeasures equipment (e.g., decoys, jammers, or
chaff dispensers) that separate from the RV bus/post-boost vehicle;
vi. The bus/post-boost vehicle or attitude control/velocity trim
module not including systems/subsystems essential to the operation of
other stages.
2. ``Payload'' for systems with non-separating re-entry vehicles
includes:
i. Munitions of any type (e.g., explosive or non-explosive);
ii. Supporting structures and deployment mechanisms for the
munitions that can be removed without violating the structural integrity
of the vehicle;
iii. Mechanisms and devices for safing, arming, fuzing or firing;
[[Page 577]]
iv. Any countermeasures equipment (e.g., decoys, jammers, or chaff
dispensers) that can be removed without violating the structural
integrity of the vehicle.
b. Space Launch Vehicles--``Payload'' includes:
1. Satellites (single or multiple);
2. Satellite-to-launch vehicle adapters including, if applicable,
apogee/perigee kick motors or similar maneuvering systems;
c. Sounding Rockets--``Payload'' includes:
1. Equipment required for a mission, such as data gathering,
recording or transmitting devices for mission-specific data;
2. Recovery equipment (e.g., parachutes) that can be removed without
violating the structural integrity of the vehicle.
d. Cruise Missiles--``Payload'' includes:
1. Munitions of any type (e.g., explosive or non-explosive);
2. Supporting structures and mechanisms for the munitions that can
be removed without violating the structural integrity of the vehicle;
3. Mechanisms and devices for safing, arming, fuzing or firing;
4. Countermeasures equipment (e.g., decoys, jammers or chaff
dispensers) that can be removed without violating the structural
integrity of the vehicle;
5. Signature alteration equipment that can be removed without
violating the structural integrity of the vehicle;
e. Other UAVs--``Payload'' includes:
1. Munitions of any type (e.g., explosive or non-explosive);
2. Mechanisms and devices for safing, arming, fuzing or firing;
3. Countermeasures equipment (e.g., decoys, jammers or chaff
dispensers) that can be removed without violating the structural
integrity of the vehicle;
4. Signature alteration equipment that can be removed without
violating the structural integrity of the vehicle;
5. Equipment required for a mission such as data gathering,
recording or transmitting devices for mission-specific data;
6. Recovery equipment (e.g., parachutes) that can be removed without
violating the structural integrity of the vehicle.
``Peak power''. (Cat 6)--Energy per pulse in Joule divided by the
pulse duration in seconds.
Person. A natural person, including a citizen or national of the
United States or of any foreign country; any firm; any government,
government agency, government department, or government commission; any
labor union; any fraternal or social organization; and any other
association or organization whether or not organized for profit. This
definition does not apply to part 760 of the EAR (Restrictive Trade
Practices or Boycotts).
``Personalized smart card.'' (Cat 5) A smart card containing a
microcircuit which has been programmed for a specific application and
cannot be reprogrammed for any other application by the user.
Port of export. The port where the cargo to be shipped abroad is
laden aboard the exporting carrier. It includes, in the case of an
export by mail, the place of mailing.
``Positioning accuracy''. (Cat. 2)--The positioning accuracy of
``numerically controlled'' machine tools is to be determined and
presented in accordance with ISO/DIS 230/2 (1988), paragraph 2.13, in
conjunction with the following requirements:
(a) Test conditions:
(1) For 12 hours before and during measurements, the machine tool
and accuracy measuring equipment will be kept at the same ambient
temperature. During the pre-measurement time the slides of the machine
will be continuously cycled in the same manner that the accuracy
measurements will be taken;
(2) The machine shall be equipped with any mechanical, electronic,
or software compensation to be exported with the machine;
(3) Accuracy of measuring equipment for the measurements shall be at
least four times more accurate than the expected machine tool accuracy;
(4) Power supply for slide drives shall be as follows:
(i) Line voltage variation shall exceed 10% of
nominal rated voltage;
(ii) Frequency variation shall not exceed 2 Hz
of normal frequency;
(iii) Lineouts or interrupted service are not permitted.
(b) Test programs:
(1) Feed rate (velocity of slides) during measurement shall be the
rapid traverse rate;
Note: In case of machine tools that generate optical quality
surfaces, the feedrate shall be equal to or less than 50 mm per minute.
(2) Measurements shall be made in an incremental manner from one
limit of the axis travel to the other without returning to the starting
position for each move to the target position;
[[Page 578]]
(3) Axes not being measured shall be retained at mid travel during
the test of an axis.
(c) Presentation of test results: The results of the measurement
must include:
(1) Position accuracy (A); and
(2) The mean reversal error (B).
``Power management''. (Cat 7)--Changing the transmitted power of the
altimeter signal so that received power at the ``aircraft'' altitude is
always at the minimum necessary to determine the altitude.
``Previously separated.'' (Cat 1) The application of any process
intended to increase the concentration of the controlled isotope.
``Primary flight control.'' (Cat 7) ``Aircraft'' stability or
maneuvering control using force/moment generators, i.e., aerodynamic
control surfaces or propulsive thrust vectoring.
``Principal element''. (Cat 4)--An element is a ``principal
element'' when its replacement value is more than 35% of the total value
of the system of which it is an element. Element value is the price paid
for the element by the manufacturer of the system, or by the system
integrator. Total value is the normal international selling price to
unrelated parties at the point of manufacture or consolidation of
shipment.
Principal parties in interest. Those persons in a transaction that
receive the primary benefit, monetary or otherwise, of the transaction.
Generally, the principals in a transaction are the seller and the buyer.
In most cases, the forwarding or other agent is not a principal party in
interest.
``Production''. (General Technology Note) (All Categories)--Means
all production stages, such as: product engineering, manufacture,
integration, assembly (mounting), inspection, testing, quality
assurance.
``Production equipment''. (MTCR context)--Tooling, templates, jigs,
mandrels, moulds, dies, fixtures, alignment mechanisms, test equipment,
other machinery and components therefor, limited to those specially
designed or modified for ``development'' or for one or more phases of
``production''.
Production. (General Technology Note)--Means all production stages,
such as: product engineering, manufacture, integration, assembly
(mounting), inspection, testing, quality assurance.
``Program.'' (Cat 2, 4, 5, and 6)--A sequence of instructions to
carry out a process in, or convertible into, a form executable by an
electronic computer.
``Proof test''. (Cat 5)--On-line or off-line production screen
testing that dynamically applies a prescribed tensile stress over a 0.5
to 3 m length of fiber at a running rate of 2 to 5 m/s while passing
between capstans approximately 150 mm in diameter. The ambient
temperature is a nominal 293 K (20 [deg]C) and relative humidity 40%.
Note: Equivalent national standards for executing the ``proof test''
may be used.
Publicly available information. Information that is generally
accessible to the interested public in any form and, therefore, not
subject to the EAR (See part 732 of the EAR).
Publicly available technology and software. Technology and software
that are already published or will be published; arise during, or result
from fundamental research; are educational; or are included in certain
patent applications (see Sec. 734.3(b)(3) of the EAR).
``Pulse compression''. (Cat 6)--The coding and processing of a radar
signal pulse of long time duration to one of short time duration, while
maintaining the benefits of high pulse energy.
``Pulse duration''. (Cat 6)--Duration of a ``laser'' pulse measured
at Full Width Half Intensity (FWHI) levels.
Purchaser. The person abroad who has entered into a transaction to
purchase an item for delivery to the ultimate consignee. In most cases,
the purchaser is not a bank, forwarding agent, or intermediary. The
purchaser and ultimate consignee may be the same entity.
``Q-switched laser''. (Cat 6)--A ``laser'' in which the energy is
stored in the population inversion or in the optical resonator and
subsequently emitted in a pulse.
RWA. See Return Without Action.
``Radar frequency agility''. (Cat 6)--Any technique that changes, in
a pseudo-random sequence, the carrier frequency of a pulsed radar
transmitter between pulses or between groups of
[[Page 579]]
pulses by an amount equal to or larger than the pulse bandwidth.
``Radar spread spectrum''. (Cat 6)--Any modulation technique for
spreading energy originating from a signal with a relatively narrow
frequency band, over a much wider band of frequencies, by using random
or pseudo-random coding.
``Range''. (Cat 8)--Half the maximum distance a submersible vehicle
can cover.
``Range'' (MTCR). The maximum distance that the specified rocket
system or unmanned aerial vehicle (UAV) system is capable of traveling
in the mode of stable flight as measured by the projection of its
trajectory over the surface of the Earth.
Technical Notes:
a. The maximum capability based on the design characteristics of the
system, when fully loaded with fuel or propellant, will be taken into
consideration in determining range.
b. The range for both rocket systems and UAV systems will be
determined independently of any external factors such as operational
restrictions, limitations imposed by telemetry, data links or other
external constraints.
c. For rocket systems, the range will be determined using the
trajectory that maximizes range, assuming ICAO standard atmosphere with
zero wind.
d. For UAV systems, the range will be determined for a one-way
distance using the most fuel-efficient flight profile (e.g., cruise
speed and altitude), assuming ICAO standard atmosphere with zero wind.
``Readable or readability''. Readable and readability mean the
quality of a group of letters or numerals being recognized as complete
words or numbers.
``Real-time bandwidth''. (Cat 3)--For ``dynamic signal analyzers'',
the widest frequency range that the analyzer can output to display or
mass storage without causing any discontinuity in the analysis of the
input data. For analyzers with more than one channel, the channel
configuration yielding the widest ``real-time bandwidth'' shall be used
to make the calculation.
``Real-time processing''. (Cat 2, 4, 6, and 7)--The processing of
data by a computer system providing a required level of service, as a
function of available resources, within a guaranteed response time,
regardless of the load of the system, when stimulated by an external
event.
Reasons for Control. Reasons for Control are: Anti-Terrorism (AT),
Chemical & Biological Weapons (CB), Crime Control (CC), High Performance
Computer (XP), Missile Technology (MT), National Security (NS), Nuclear
Nonproliferation (NP), Regional Stability (RS), Short Supply (SS), and
United Nations sanctions (UN). Items controlled within a particular ECCN
may be controlled for more than one reason.
Recoverable commodities and software. As applied to encryption
items, means any of the following:
(a) A stored data product containing a recovery feature that, when
activated, allows recovery of the plaintext of encrypted data without
the assistance of the end-user; or
(b) A product or system designed such that a network administrator
or other authorized persons who are removed from the end-user can
provide law enforcement access to plaintext without the knowledge or
assistance of the end-user. This includes, for example, products or
systems where plaintext exists and is accessible at intermediate points
in a network or infrastructure system, enterprise-controlled recovery
systems, and products which permit recovery of plaintext at the server
where a system administrator controls or can provide recovery of
plaintext across an enterprise.
Note to this definition: ``Plaintext'' indicates that data that is
initially received by or presented to the recoverable product before
encryption takes place.
Reexport. ``Reexport'' means an actual shipment or transmission of
items subject to the EAR from one foreign country to another foreign
country. For purposes of the EAR, the export or reexport of items
subject to the EAR that will transit through a country or countries, or
be transshipped in a country or countries to a new country, or are
intended for reexport to the new country, are deemed to be exports to
the new country. (See Sec. 734.2(b)of the EAR.) In addition, for
purposes of satellites controlled by the Department of Commerce, the
term ``reexport'' also includes the transfer of registration of a
satellite or operational control over a satellite from a party resident
in one
[[Page 580]]
country to a party resident in another country.
Replacement license. An authorization by the Bureau of Industry and
Security revising the information, conditions, or riders stated on a
license issued by BIS. See Sec. 750.7 of the EAR.
``Required''. (General Technology Note)(Cat 4, 5, 6, and 9)--As
applied to ``technology'' or ``software'', refers to only that portion
of ``technology'' or ``software'' which is peculiarly responsible for
achieving or exceeding the controlled performance levels,
characteristics or functions. Such ``required'' ``technology'' or
``software'' may be shared by different products. For example, assume
product ``X'' is controlled if it operates at or above 400 MHz and is
not controlled if it operates below 400 MHz. If production technologies
``A'', ``B'', and ``C'' allow production at no more than 399 MHz, then
technologies ``A'', ``B'', and ``C'' are not ``required'' to produce the
controlled product ``X''. If technologies ``A'', ``B'', ``C'', ``D'',
and ``E'' are used together, a manufacturer can produce product ``X''
that operates at or above 400 MHz. In this example, technologies ``D''
and ``E'' are ``required'' to make the controlled product and are
themselves controlled under the General Technology Note. (See the
General Technology Note.)
``Resolution''. (Cat 2)--The least increment of a measuring device;
on digital instruments, the least significant bit (Ref.: ANSI B-
89.1.12).
``Return Without Action (RWA)''. An application may be RWA'd for one
of the following reasons:
(a) The applicant has requested the application be returned;
(b) A License Exception applies;
(c) The items are not under Department of Commerce jurisdiction;
(d) Required documentation has not been submitted with the
application; or
(e) The applicant cannot be reached after several attempts to
request additional information necessary for processing of the
application.
``Robot''. (Cat 2 and 8)--A manipulation mechanism, which may be of
the continuous path or of the point-to-point variety, may use
``sensors'', and has all the following characteristics:
(a) Is multifunctional;
(b) Is capable of positioning or orienting material, parts, tools or
special devices through variable movements in a three dimensional space;
(c) Incorporates three or more closed or open loop servo-devices
that may include stepping motors; and
(d) Has ``user-accessible pro gram mabil ity'' by means of teach/
playback method or by means of an electronic computer that may be a
programmable logic controller, i.e., without mechanical intervention.
Note: This definition does not include the following devices:
(a) Manipulation mechanisms that are only manually/teleoperator
controllable;
(b) Fixed sequence manipulation mechanisms that are automated moving
devices, operating according to mechanically fixed programmed motions.
The program is mechanically limited by fixed stops, such as pins or
cams. The sequence of motions and the selection of paths or angles are
not variable or changeable by mechanical, electronic or electrical
means;
(c) Mechanically controlled variable sequence manipulation
mechanisms that are automated moving devices, operating according to
mechanically fixed programmed motions. The program is mechanically
limited by fixed, but adjustable stops, such as pins or cams. The
sequence of motions and the selection of paths or angles are variable
within the fixed program pattern. Variations or modifications of the
program pattern (e.g., changes of pins or exchanges of cams) in one or
more motion axes are accomplished only through mechanical operations;
(d) Non-servo-controlled variable sequence manipulation mechanisms
that are automated moving devices, operating according to mechanically
fixed programmed motions. The program is variable, but the sequence
proceeds only by the binary signal from mechanically fixed electrical
binary devices or adjustable stops;
(e) Stacker cranes defined as Cartesian coordinate manipulator
systems manufactured as an integral part of a vertical array of storage
bins and designed to access the contents of those bins for storage or
retrieval.
``Rotary Atomization''. (Cat 1)--A process to reduce a stream or
pool of molten metal to droplets to a diameter of 500 micrometer or less
by centrifugal force.
``Routed export transaction''. A transaction where the foreign
principal party in interest authorizes a U.S. forwarding or other agent
to facilitate export of items from the United States.
[[Page 581]]
``Run-out''. (out-of-true running) (Cat 2)--Radial displacement in
one revolution of the main spindle measured in a plane perpendicular to
the spindle axis at a point on the external or internal revolving
surface to be tested (Ref.: ISO 230 Part 1-1986, paragraph 5.61).
``SHPL.'' (Cat 6) is equivalent to ``Super High Power Laser'', see
definition for ``super high power laser.''
SNEC. See Subgroup on Nuclear Export Coordination.
``Scale factor''. (gyro or accelerometer) (Cat 7)--The ratio of
change in output to a change in the input intended to be measured. Scale
factor is generally evaluated as the slope of the straight line that can
be fitted by the method of least squares to input-output data obtained
by varying the input cyclically over the input range.
Schedule B numbers. The commodity numbers appearing in the current
edition of the Bureau of the Census publication, Schedule B Statistical
Classification of Domestic and Foreign Commodities Exported from the
United States. (See part 758 of the EAR for information on use of
Schedule B numbers.)
``Settling time''. (Cat 3)--The time required for the output to come
within one-half bit of the final value when switching between any two
levels of the converter.
Shield. Chaired by the Department of State, the Shield primarily
reviews applications involving items controlled for Chemical and
Biological Weapons (CBW) reasons. The Shield also reviews applications
involving items not controlled for CBW reasons, but destined for a
country and/or end-use/end-user of concern. See Sec. 750.4 of the EAR.
``Signal analyzers''. (Cat 3)--Apparatus capable of measuring and
displaying basic properties of the single-frequency components of multi-
frequency signals.
``Signal analyzers''. (dynamic) (Cat 3)--(See ``Dynamic signal
analyzers''.)
``Signal processing''. (Cat 3, 4, 5, and 6)--The processing of
externally derived information-bearing signals by algorithms such as
time compression, filtering, extraction, selection, correlation,
convolution or transformations between domains (e.g., fast Fourier
transform or Walsh transform).
Single shipment. All items moving at the same time from one exporter
to one consignee or intermediate consignee on the same exporting
carrier, even if these items will be forwarded to one or more ultimate
consignees. Items being transported in this manner shall be treated as a
single shipment even if the items represent more than one order or are
in separate containers.
``Software''. (Cat: all)--A collection of one or more ``programs''
or ``microprograms'' fixed in any tangible medium of expression.
``Source code''. (or source language) (Cat 4, 5, 6, 7, and 9)--A
convenient expression of one or more processes that may be turned by a
programming system into equipment executable form (``object code'' (or
object language)).
``Spacecraft''. (Cat 7 and 9)--Active and passive satellites and
space probes.
``Space qualified''. (Cat 3 and 6)--Products designed, manufactured
and tested to meet the special electrical, mechanical or environmental
requirements for use in the launch and deployment of satellites or high-
altitude flight systems operating at altitudes of 100 km or higher.
``Special fissile material.'' (Cat 0) means plutonium-239, uranium-
233, ``uranium enriched in the isotopes 235 or 233'', and any material
containing the foregoing.
Note: As defined by 10 CFR 110.2 of the Nuclear Regulatory
Commission Regulations, ``Special fissile material'' means: plutonium,
uranium-233 or uranium enriched above 0.711 percent by weight in the
isotope uranium-235.
Specially Designated National (SDN). Any person who is determined by
the Secretary of the Treasury to be a specially designated national for
any reason under regulations issued by the Office of Foreign Assets
Control (see 31 CFR parts 500 through 590).
Specially Designated Terrorist (SDT). Any person who is determined
by the Secretary of the Treasury to be a specially designated terrorist
under notices or regulations issued by the Office of Foreign Assets
Control (see 31 CFR chapter V).
``Specially designed''. (MTCR context)--Equipment, parts, components
or ``software'' that, as a result of ``development'', have unique
properties
[[Page 582]]
that distinguish them for certain predetermined purposes. For example, a
piece of equipment that is ``specially designed'' for use in a
``missile'' will only be considered so if it has no other function or
use. Similarly, a piece of manufacturing equipment that is ``specially
designed'' to produce a certain type of component will only be
considered such if it is not capable of producing other types of
components.
``Specific modulus''. (Cat 1)--Young's modulus in pascals,
equivalent to N/m\2\ divided by specific weight in N/m\3\, measured at a
temperature of (296 2) K ((23 2) [deg]C) and a relative humidity of (50 5)%.
``Specific tensile strength''. (Cat 1)--Ultimate tensile strength in
pascals, equivalent to N/m\2\ divided by specific weight in N/m\3\,
measured at a temperature of (296 2) K ((23
2) [deg]C) and relative humidity of (50 5)%.
``Spectral efficiency''. (Cat 5)--A figure of merit parametrized to
characterize the efficiency of transmission system that uses complex
modulation schemes such as QAM (quadrature amplitude modulation),
Trellis coding, QSPK (Q-phased shift key), etc. It is defined as
follows:
[GRAPHIC] [TIFF OMITTED] TR25MR96.013
``Splat Quenching''. (Cat 1)--A process to ``solidify rapidly'' a
molten metal stream impinging upon a chilled block, forming a flake-like
product.
Note: ``Solidify rapidly'': solidification of molten material at
cooling rates exceeding 1,000 K/sec.
``Spread spectrum''. (Cat 5)--The technique whereby energy in a
relatively narrow-band communication channel is spread over a much wider
energy spectrum.
``Spread spectrum radar''. (Cat 6)--(see ``Radar spread spectrum'')
``Stability''. (Cat 7)--Standard deviation (1 sigma) of the
variation of a particular parameter from its calibrated value measured
under stable temperature conditions. This can be expressed as a function
of time.
``Stored program controlled''. (Cat 2, 3, and 5)--A control using
instructions stored in an electronic storage that a processor can
execute in order to direct the performance of predetermined functions.
Note: Equipment may be ``stored program controlled'' whether the
electronic storage is internal or external to the equipment.
Strategic partner (of a U.S. company). As applied to encryption
items, means a foreign-based entity that:
(a) Has a business need to share the proprietary information with
one or more U.S. companies; and
(b) Is contractually bound to the U.S. company (e.g., has an
established pattern of continuing or recurring contractual relations).
Subgroup on Nuclear Export Coordination (SNEC). Chaired by the
Department of State, the SNEC primarily reviews applications involving
items controlled for nuclear nonproliferation (NP) reasons. The SNEC
also reviews applications involving items not controlled for NP reasons,
but destined for a country and/or end-use/end-user of NP concern.
Subject to the EAR. A term used in the EAR to describe those
commodities, software, technology, and activities over which the Bureau
of Industry and Security (BIS) exercises regulatory jurisdiction under
the EAR (See Sec. 734.2(a) of the EAR).
``Substrate''. (Cat 3)--A sheet of base material with or without an
interconnection pattern and on which or within which ``discrete
components'' or integrated circuits or both can be located.
Note: ``Discrete component'': a separately packaged ``circuit
element'' with its own external connections.
``Substrate blanks.'' (Cat 6)--Monolithic compounds with dimensions
suitable for the production of optical elements such as mirrors or
optical windows.
[[Page 583]]
``Superalloy''. (Cat 2 and 9)--Nickel-, cobalt-, or iron-base alloys
having strengths superior to any alloys in the AISI 300 series at
temperatures over 922 K (694 degrees C) under severe environmental and
operating conditions.
``Superconductive''. (Cat 1, 3, 6, and 8)--Materials, i.e., metals,
alloys, or compounds that can lose all electrical resistance, i.e., that
can attain infinite electrical conductivity and carry very large
electrical currents without Joule heating.
Note: The ``superconductive'' state of a material is individually
characterized by a ``critical temperature'', a critical magnetic field
that is a function of temperature, and a critical current density that
is a function of both magnetic field and temperature.
``Super High Power Laser''. (SHPL) (Cat 6)--A ``laser'' capable of
delivering (the total or any portion of) the output energy exceeding 1
kJ within 50 ms or having an average or CW power exceeding 20 kW.
``Superplastic forming''. (Cat 1 and 2)--A deformation process using
heat for metals that are normally characterized by low elongation (less
than 20%) at the breaking point as determined at room temperature by
conventional tensile strength testing, in order to achieve elongations
during processing that are at least 2 times those values.
``Symmetric algorithm''. (Cat 5, Part II) A cryptographic algorithm
using an identical key for both encryption and decryption. A common use
of ``symmetric algorithms'' is confidentiality of data.
``System tracks''. (Cat 6)--Processed, correlated (fusion of radar
target data to flight plan position) and updated aircraft flight
position report available to the Air Traffic Control center controllers.
``Systolic array computer''. (Cat 4)--A computer where the flow and
modification of the data is dynamically controllable at the logic gate
level by the user.
``Technology''. (General Technology Note)--Specific information
necessary for the ``development'', ``production'', or ``use'' of a
product. The information takes the form of ``technical data'' or
``technical assistance''. Controlled ``technology'' is defined in the
General Technology Note and in the Commerce Control List (Supplement No.
1 to part 774 of the EAR).
N.B.: Technical assistance--May take forms such as instruction,
skills training, working knowledge, consulting services.
Note: ``Technical assistance'' may involve transfer of ``technical
data''.
``Technical data''--May take forms such as blueprints, plans,
diagrams, models, formulae, tables, engineering designs and
specifications, manuals and instructions written or recorded on other
media or devices such as disk, tape, read-only memories.
``Terminal interface equipment''. (Cat 4)--Equipment at which
information enters or leaves the telecommunication systems, e.g.,
telephone, data device, computer, facsimile device.
``Three dimensional Vector Rate''. (Cat 4)--The number of vectors
generated per second that have 10 pixel poly line vectors, clip tested,
randomly oriented, with either integer or floating point X-Y-Z
coordinate values (whichever produces the maximum rate).
``Tilting spindle''. (Cat 2)--A tool-handling spindle that alters,
during the machining process, the angular position of its center line
with respect to any other axis.
``Time constant''. (Cat 6)--The time taken from the application of a
light stimulus for the current increment to reach a value of 1-1/e times
the final value (i.e., 63% of the final value).
``Time-modulated ultra-wideband''. (Cat 5 part 1 and Cat 5 part 2)
The technique in which very short precisely time-controlled RF pulses
are modulated in accordance with communications data by shifting pulse
positions (usually called Pulse Position Modulation, PPM) channelized or
scrambled in accordance with pseudo-random noise codes by PPM, then
transmitted and received in the direct pulse form without using any
carrier frequencies, consequently having extremely low power density
over ultra-wide frequency bands. It is also known as Impulse Radio.
``Total control of flight.'' (Cat 7) means an automated control of
``aircraft'' state variables and flight path to meet mission objectives
responding to real time changes in data regarding objectives, hazards or
other ``aircraft.''
[[Page 584]]
``Total digital transfer rate''. (Cat 5)--The number of bits,
including line coding, overhead and so forth per unit time passing
between corresponding equipment in a digital transmission system. (See
also ``digital transfer rate''.)
``Toxins.'' (Cat 1 and 2) means toxins in the form of deliberately
isolated preparations or mixtures, no matter how produced, other than
toxins present as contaminants of other materials such as pathological
specimens, crops, foodstuffs or seed stocks of ``microorganisms.''
Transfer. A transfer to any person of items subject to the EAR
either within the United States or outside of the United States with the
knowledge or intent that the items will be shipped, transferred, or
transmitted to an unauthorized recipient.
``Transfer laser''. (Cat 6)--A ``laser'' in which the lasting
species is excited through the transfer of energy by collision of a non-
lasing atom or molecule with a lasing atom or molecule species.
``Tunable''. (Cat 6)--The ability of a ``laser'' to produce a
continuous output at all wavelengths over a range of several ``laser''
transitions. A line selectable ``laser'' produces discrete wavelengths
within one ``laser'' transition and is not considered ``tunable''.
U.S. Person. (a) For purposes of Sec. Sec. 744.6, 744.10, 744.11,
744.12, 744.13 and 744.14 of the EAR, the term U.S. person includes:
(1) Any individual who is a citizen of the United States, a
permanent resident alien of the United States, or a protected individual
as defined by 8 U.S.C. 1324b(a)(3);
(2) Any juridical person organized under the laws of the United
States or any jurisdiction within the United States, including foreign
branches; and
(3) Any person in the United States.
(b) See also Sec. 740.9 and parts 746 and 760 of the EAR for
definitions of ``U.S. person'' that are specific to those parts.
U.S. subsidiary. As applied to encryption items, means
(a) A foreign branch of a U.S. company; or
(b) A foreign subsidiary or entity of a U.S. entity in which:
(1) The U.S. entity beneficially owns or controls (whether directly
or indirectly) 25 percent or more of the voting securities of the
foreign subsidiary or entity, if no other persons owns or controls
(whether directly or indirectly) an equal or larger percentage; or
(2) The foreign entity is operated by the U.S. entity pursuant to
the provisions of an exclusive management contract; or
(3) A majority of the members of the board of directors of the
foreign subsidiary or entity also are members of the comparable
governing body of the U.S. entity; or
(4) The U.S. entity has the authority to appoint the majority of the
members of the board of directors of the foreign subsidiary or entity;
or
(5) The U.S. entity has the authority to appoint the chief operating
officer of the foreign subsidiary or entity.
Ultimate consignee. The principal party in interest located abroad
who receives the exported or reexported items. The ultimate consignee is
not a forwarding agent or other intermediary, but may be the end-user.
United States. Unless otherwise stated, the 50 States, including
offshore areas within their jurisdiction pursuant to section 3 of the
Submerged Lands Act (43 U.S.C. 1311), the District of Columbia, Puerto
Rico, and all territories, dependencies, and possessions of the United
States, including foreign trade zones established pursuant to 19 U.S.C.
81A-81U, and also including the outer continental shelf, as defined in
section 2(a) of the Outer Continental Shelf Lands Act (43 U.S.C.
1331(a)).
United States airline. Any citizen of the United States who is
authorized by the U.S. Government to engage in business as an airline.
For purposes of this definition, a U.S. citizen is:
(a) An individual who is a citizen of the United States or one of
its possessions; or
(b) A partnership of which each member is such an individual; or
(c) A corporation or association created or organized under the laws
of the United States, or of any State, Territory, or possession of the
United States, of which the president and two-thirds of the board of
directors and other managing officers thereof are
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such individuals and in which at least 75 percent of the voting interest
is owned or controlled by persons who are citizens of the United States
or of one of its possessions.
``Usable in or Capable of''. (MTCR context)--Equipment, parts,
components or ``software'' that are suitable for a particular purpose.
There is no need for the equipment, parts, components or ``software'' to
have been configured, modified or specified for the particular purpose.
For example, any military specification memory circuit would be
``capable of'' operation in a guidance system.
``Use''. (All categories and General Technology Note)--Operation,
installation (including on-site installation), maintenance (checking),
repair, overhaul and refurbishing.
``User-accessible programmability''. (Cat 4, 5, and 6)--The facility
allowing a user to insert, modify, or replace ``programs'' by means
other than:
(a) A physical change in wiring or interconnections; or
(b) The setting of function controls including entry of parameters.
Utilization facility. (a) As defined by 10 CFR 110.2 of the Nuclear
Regulatory Commission Regulations, utilization facility means a nuclear
reactor, other than one that is a production facility, any of the
following major components of a nuclear reactor: Pressure vessels
designed to contain the core of a nuclear reactor, other than one that
is a production facility, and the following major components of a
nuclear reactor:
(1) Primary coolant pumps;
(2) Fuel charging or discharging machines; and
(3) Control rods.
(b) Utilization facility does not include the steam turbine
generator portion of a nuclear power plant.
``Vacuum Atomization''. (Cat 1)--A process to reduce a molten stream
of metal to droplets of a diameter of 500 micrometer or less by the
rapid evolution of a dissolved gas upon exposure to a vacuum.
``Variable geometry airfoils''. (Cat 7)--Use trailing edge flaps or
tabs, or leading edge slats or pivoted nose droop, the position of which
can be controlled in flight.
``Vector Rate''. (Cat 4)--See: ``Two dimensional Vector Rate'';
``Three dimensional Vector Rate''.
You. Any person, including a natural person, including a citizen of
the United States or any foreign country; any firm; any government,
government agency, government department, or government commission; any
labor union; any fraternal or social organization; and any other
association or organization whether or not organized for profit.
[61 FR 12925, Mar. 25, 1996, as amended at 61 FR 68586, Dec. 30, 1996;
62 FR 6686, Feb. 12, 1997; 62 FR 25470, May 9, 1997; 63 FR 50525, Sept.
22, 1998; 63 FR 72166, Dec. 31, 1998; 64 FR 1122, Jan. 8, 1999; 64 FR
5932, Feb. 8, 1999; 64 FR 13339, Mar. 18, 1999; 64 FR 27146, May 18,
1999; 65 FR 2501, Jan. 14, 2000; 65 FR 34075, May 26, 2000; 65 FR 42573,
July 10, 2000; 65 FR 43133, July 12, 2000; 65 FR 62609, Oct. 19, 2000;
66 FR 18402, Apr. 9, 2001; 66 FR 36683, July 12, 2001; 66 FR 36910, July
16, 2001; 66 FR 461, Jan. 3, 2002; 67 FR 38869, June 6, 2002; 67 FR
54953, Aug. 27, 2002; 67 FR 55599, Aug. 29, 2002; 68 FR 10591, Mar. 5,
2003; 68 FR 34195, June 6, 2003; 68 FR 50474, Aug. 21, 2003; 68 FR
54656, Sept. 18, 2003; 68 FR 60289, Oct. 22, 2003; 68 FR 68980, Dec. 10,
2003]
Editorial Note: At 66 FR 36910, July 16, 2001, Sec. 772.1 was
amended by revising the phrase ``Cat. 1 and 7'' to read ``All
Categories'' in the definition for ``Production''. However, this phrase
does not exist in this definition in the 2001 edition of the volume.