§772.1 DEFINITIONS OF TERMS AS USED IN THE EXPORT ...cr.yp.to/export/ear2001/772.pdf ·...

Definitions of Terms Part 772-page 1

Export Administration Regulations July 16, 2001

!§772.1

DEFINITIONS OF TERMS AS USED INTHE EXPORT ADMINISTRATION

REGULATIONS (EAR)

!The following are definitions of terms as used inthe Export Administration Regulations (EAR). Inthis part, references to the EAR are references to15 CFR chapter VII, subchapter C. Those termsin quotation marks refer to terms used on theCommerce Control List (CCL) (Supplement No.1 to part 774 of the EAR). Parentheticalreferences following the terms in quotation marks(i.e., (Cat 5)) refer to the CCL category in whichthat term is found. If a term is used in only oneExport Control Classification Number (ECCN) onthe CCL, then that term will not appear in thispart, but will be defined in the Related Definitionsparagraph in the List of Items Controlled Sectionof that ECCN.

AES. See “Automated Export System.”

"ATM". (Cat 5)--See "Asynchronous TransferMode."

"Accuracy". (Cat 2 and 6)--"Accuracy" is usuallymeasured in terms of inaccuracy. It is defined asthe maximum deviation, positive or negative, ofan indicated value from an accepted standard ortrue value.

"Active flight control systems". (Cat 7)--Functionto prevent undesirable "aircraft" and "missile"motions or structural loads by autonomouslyprocessing outputs from multiple sensors and thenproviding necessary preventive commands toeffect automatic control.

!"Active pixel". (Cat 6 and 8)--A minimum(single) element of the solid state array that has aphotoelectric transfer function when exposed tolight (electromagnetic) radiation.

"Adaptive control". (Cat 2)--A control system that

adjusts the response from conditions detectedduring the operation (Ref. ISO 2806-1980).

Advisory Committee on Export Policy (ACEP). The ACEP voting members include the AssistantSecretary of Commerce for ExportAdministration, and Assistant Secretary-levelrepresentatives from the Departments of State,Defense, Justice (for encryption exports), Energy,and the Arms Control and Disarmament Agency.The appropriate representatives of the Joint Chiefsof Staff and the Director of the NonproliferationCenter of the Central Intelligence Agency are non-voting members. The Assistant Secretary ofCommerce for Export Administration is the Chair.Appropriate acting Assistant Secretary, DeputyAssistant Secretary or equivalent strength of anyagency or department may serve in lieu of theAssistant Secretary of the concerned agency ordepartment. Such representatives, regardless ofrank, will speak and vote on behalf of theiragencies or departments. The ACEP may inviteAssistant Secretary-level representatives of otherGovernment agencies or departments (other thanthose identified above) to participate in theactivities of the ACEP when matters of interest tosuch agencies or departments are underconsideration. Decisions are made by majorityvote.

Agricultural commodities. Agriculturalcommodities include food (including processedfood); feed; fish; shellfish and fish products; beer,wine and spirits; livestock; fiber including cotton,wool and other fibers; tobacco and tobaccoproducts; wood and wood products; seeds;fertilizer and organic fertilizer; reproductivematerials such as fertilized eggs, embryos andsemen. For the purposes of the EAR, agriculturalcommodities do not include furniture made fromwood; clothing manufactured from plant or animalmaterials; agricultural equipment (whether handtools or motorized equipment); pesticides,insecticides, or herbicides; or cosmetics (unlessderived entirely from plant materials).



Note 1: This definition of agriculturalcommodities includes fertilizer and organicfertilizer, as listed in section 775 of the 2001Agriculture, Rural Development, Food and DrugAdministration, and Related AgenciesAppropriations Act (Act) (Public Law 106-387)and commodities listed in section 102 of theAgricultural Trade Act of 1978 (7 U.S.C. 5602) asincorporated in section 902 of the Act, as well ascommodities determined by the Department ofAgriculture to fall within the scope of section 102of the 1978 Agricultural Trade Act.

Note 2: For purposes of License ExceptionAGR (see §740.18 of the EAR), agriculturalcommodities also include vitamins, minerals, foodadditives and dietary supplements, and bottledwater. These items do not fall within the scope ofsection 102 of the 1978 Agricultural Trade Act,but are treated as agricultural commodities for thepurposes of License Exception AGR.

Note 3: For purposes of License ExceptionAGR and export license applications to Iran,Sudan and Libya under the licensing proceduresset forth in the appropriate regulationspromulgated and administered by Treasury’sOffice of Foreign Assets Control, agriculturalcommodities only include those that are classifiedas EAR99.

!“Aircraft". (Cat 1, 7, and 9)--A fixed wing,swivelwing, rotary wing (helicopter), tilt rotor ortilt-wing airborne vehicle. (See also "civilaircraft".)

Airline. Any person engaged primarily in thetransport of persons or property by aircraft forcompensation or hire, pursuant to authorization bythe U.S. Government or a foreign government.

!"All compensations available.” (Cat 2) meansafter all feasible measures available to themanufacturer to minimize all systematicpositioning errors for the particular machine-toolmodel are considered.

"Angular position deviation". (Cat 2)--Themaximum difference between angular positionand the actual, very accurately measured angularposition after the workpiece mount of the tablehas been turned out of its initial position.(Reference: VDI/VDE 2617, Draft: 'Rotary tableson coordinate measuring machines').

Applicant. The person who applies for an exportor reexport license, and who has the authority ofa principal party in interest to determine andcontrol the export or reexport of items. See§748.4 of the EAR and definition for “exporter”in this part of the EAR.

"Assembly". (Cat 3 and 4)--A number ofelectronic components (i.e.,"circuit elements","discrete components", integrated circuits, etc.)connected together to perform a specificfunction(s), replaceable as an entity and normallycapable of being disassembled.

Notes: 1. "Circuit element": a single active orpassive functional part of an electronic circuit,such as one diode,one transistor, one resistor, onecapacitor, etc.

2. "Discrete component": a separately packaged"circuit element" with its own externalconnections.

!"Asymmetric algorithm.” (Cat 5) means acryptographic algorithm using different,mathematically-related keys for encryption anddecryption.

Technical Note: A common use of"asymmetric algorithms" is key management.

!"Asynchronous transfer mode". (“ATM”) (Cat5)--A transfer mode in which the information isorganized into cells; it is asynchronous in thesense that the recurrence of cells depends on therequired or instantaneous bit rate.

Australia Group. The members belonging to this



group have agreed to adopt controls on dual-usechemicals, i.e., weapons precursors, equipment,and biological microorganisms and relatedequipment in order to prevent the proliferation ofchemical and biological weapons. Membercountries as of October 1996 include: Argentina,Australia, Austria, Belgium, Canada, CzechRepublic, 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 UnitedStates. See also §742.2 of the EAR.

Automated Export System (AES). AES is anationwide system operational at all ports and forall methods of transportation through whichexport shipment data required by multipleagencies is filed electronically to Customs, usingthe efficiencies of Electronic Data Interchange(EDI). AES provides an alternative to filing paperShipper 's Export Declarations (SEDs), so thatexport information is collected electronically andedited immediately. For more information aboutAES, visit the Bureau of Census website at:http://www.customs.ustreas.gov/impoexpo/abaesint.htm

"Automatic target tracking". (Cat 6)--Aprocessing technique that automaticallydetermines and provides as output an extrapolatedvalue of the most probable position of the target inreal time.

Bank. Means any of the following:

(a) bank, savings association, credit union,bank holding company, bank or savingsassociation service corporation, Edge Actcorporation, Agreement corporation, or anyinsured depository institution, which is organizedunder the laws of the United States or any Stateand regulated or supervised by a Federal bankingagency or a State bank supervisor; or

(b) a company organized under the laws of aforeign country and regulated or supervised by aforeign bank regulatory or supervisory authoritywhich engages in the business of banking,including without limitation, foreign commercialbanks, foreign merchant banks and other foreigninstitutions that engage in banking activities usualin connection with the business of banking in thecountries where such foreign institutions areorganized or operating; or

(c) an entity engaged in the business ofproviding clearing or settlement services, that is,or whose members are, regulated or supervised bya Federal banking agency, a State bank supervisor,or a foreign bank regulatory or supervisoryauthority; or

(d) a branch or affiliate of any of the entitieslisted in paragraphs (a), (b), or (c) of thisparagraph, regulated or supervised by a Federalbanking agency, a State bank supervisor or aforeign bank regulatory or supervisory authority;or

(e) an affiliate of any of the entities listed inparagraph (a), (b), (c), or (d) of this paragraph,engaged solely in the business of providing dataprocessing services to a bank or financialinstitution, or a branch of such an affiliate.

!"Basic gate propagation delay time.” (Cat 3)The propagation delay time value correspondingto the basic gate used in a "monolithic integratedcircuit." For a 'family' of "monolithic integratedcircuits", this may be specified either as thepropagation delay time per typical gate within thegiven 'family' or as the typical propagation delaytime 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 ofa complex "monolithic integrated circuit.”

2. 'Family' consists of all integrated circuits towhich all of the following are applied as their



manufacturing methodology and specificationsexcept their respective functions:

a. The common hardware and softwarearchitecture;

b. The common design and processtechnology; and

c. The common basic characteristics.

"Basic Scientific Research". (GTN)--Experimentalor theoretical work undertaken principally toacquire new knowledge of the fundamentalprinciples of phenomena or observable facts, notprimarily directed towards a specific practical aimor objective.

"Beat length". (Cat 6)--The distance over whichtwo orthogonally polarized signals, initially inphase, must pass in order to achieve a 2 Piradian(s) phase difference.

"Bias". (accelerometer) (Cat 7)--An accelerometeroutput when no acceleration is applied.

Bill of Lading. The contract of carriage andreceipt for items, issued by the carrier. It includesan air waybill, but does not include an inland billof lading or a domestic air waybill coveringmovement to port only.

Business Unit. As applied to encryption items,means a unit of a business which, whether or notseparately incorporated, has:

(a) a distinct organizational structure whichdoes not overlap with other business units of thesame 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 issubdivided into five groups, designated by the

letters A through E: (A) Equipment, assembliesand components; (B) Test, inspection andproduction equipment; (C) Materials; (D)Software; and (E) Technology. See §738.2(b) ofthe EAR.

"CE".--See "Computing Element".

"CTP" . - -See "Compos i te theore t i calperformance." This term may also appear withoutquotation marks.

"Camming". (axial displacement) (Cat 2)--Axialdisplacement in one revolution of the mainspindle measured in a plane perpendicular to thespindle faceplate, at a point next to thecircumference of the spindle faceplate (Ref.: ISO230 Part 1-1986, paragraph 5.63).

Canadian airline. Any citizen of Canada who isauthorized by the Canadian Government to engagein business as an airline. For purposes of thisdefinition, a Canadian citizen is:

(a) A natural person who is a citizen ofCanada; or

(b) A partnership of which each member issuch an individual; or

(c) A Canadian firm incorporated orotherwise organized under the laws of Canada orany Canadian province, having a total foreignstock interest not greater than 40 percent andhaving the Chairman or Acting Chairman and atleast two-thirds of the Directors thereof Canadiancitizens.

"Capable of". (MTCR context)--See "usable in".

!"Carbon fiber preforms.” (Cat 1) means anordered arrangement of uncoated or coated fibersintended to constitute a framework of a partbefore the "matrix" is introduced to form a"composite.”



Category. The Commerce Control List (CCL) isdivided into ten categories: (0) Nuclear Materials,Facilities and Equipment, and Miscellaneous; (1)Materials, Chemicals, "Microorganisms", andToxins; (2) Materials Processing; (3) ElectronicsDesign, Development and Production; (4)Computers; (5) Telecommunications andInformation Security; (6) Sensors; (7) Navigationand Avionics; (8) Marine; (9) Propulsion Systems,Space Vehicles, and Related Equipment. See§738.2(a) of the EAR.

"Chemical laser". (Cat 6)--A "laser" in which theexcited species is produced by the output energyfrom a chemical reaction.

Chemical Weapons Convention (CWC). Means“The Convention on the Prohibition of theDevelopment, Production, Stockpiling and Use ofChemical Weapons and on Their Destruction”,opened for signature on January 13, 1993.

"Circulation". (controlled, anti-torque directioncontrol systems) (Cat 7)--Use air blown overaerodynamic surfaces to increase or control theforces generated by the surfaces.

!"Civil aircraft". (Cat 1, 7 and 9)--Only those"aircraft" listed by designation in publishedairworthiness certification lists by the civilaviation authorities to fly commercial civilinternal and external routes or for legitimate civil,private or business use. (See also "aircraft")

COCOM (Coordinating Committee on MultilatralExport Controls). A multilateral organization thatcooperated in restrict ing strategic exports tocontrolled countries. COCOM was officiallydisbanded on March 31, 1994. COCOM membersincluded the NATO countries, except Iceland,plus Japan and Australia.

Commerce Control List (CCL). A list of itemsunder the export control jurisdiction of the Bureauof Export Administration, U.S. Department ofCommerce. Note that certain additional items

described in part 732 of the EAR are also subjectto the EAR. The CCL is found in Supplement No.1 to part 774 of the EAR.

"Commingled". (Cat 1)--Filament to filamentblending of thermoplastic fibers andreinforcement fibers in order to produce a fiberreinforcement/matrix mix in total fiber form.

"Comminution". (Cat 1)--A process to reduce amaterial to particles by crushing or grinding.

Commodity. Any article, material, or supplyexcept technology and software. Note that theprovisions of the EAR applicable to the control ofsoftware (e.g. publicly available provisions) arenot applicable to encryption software. Encryptionsoftware is controlled because, like the itemscontrolled under ECCN 5A002, it has a functionalcapacity to encrypt information on a computersystem, and not because of any informational ortheoretical value that such software may reflect,contain or represent, or that its export may conveyto others abroad.

"Common channel signalling". (Cat 5)--Asignalling method in which a single channelbetween exchanges conveys, by means of labelledmessages, signalling information relating to amultiplicity of circuits or calls and otherinformation such as that used for networkmanagement.

!"Composite". (Cat 1, 2, 6, 8, and 9)--A "matrix"and an additional phase or additional phasesconsisting of particles, whiskers, fibers or anycombination thereof, present for a specificpurpose or purposes.

!"Composite theoretical performance". (CTP)(Cat 3 and 4)--A measure of computationalperformance given in millions of theoreticaloperations per second (Mtops), calculated usingthe aggregation of "computing elements (CE)".(See Category 4, Technical Note.) This term mayalso appear without quotation marks. The formula



to calculate the CTP is contained in a technicalnote titled "Information on How to Calculate"Composite Theoretical Performance" at the endof Category 4 of the CCL.

"Compound rotary table". (Cat 2)--A tableallowing the workpiece to rotate and tilt about twonon-parallel axis that can be coordinatedsimultaneously for "contouring control".

"Computing element". (CE) (Cat 4)--The smallestcomputational unit that produces an arithmeticlogic result.

!"Contouring control". (Cat 2)--Two or more“numerically controlled” motions operating inaccordance with instructions that specify the nextrequired position and the required feed rates tothat position. These feed rates are varied inrelation to each other so that a desired contour isgenerated (Ref. ISO/DIS 2806--1980).

Controlled country. A list of countries designatedcontrolled for national security purposes found inCountry Group D:1 (see Supplement No. 1 to part740 of the EAR). This list was established underauthority delegated to the Secretary of Commerceby Executive Order 12214 of May 2, 1980pursuant to section 5(b) of the EAA, andincluding: Albania, Armenia, Azerbaijan,Belarus, Bulgaria, Cambodia, the People'sRepublic 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 GroupD:1. This definition does not apply to part 768 ofthe EAR (Foreign Availability), which provides adedicated definition.

Controlled in fact. For purposes of the SpecialComprehensive License (part 752 of the EAR),controlled in fact is defined as it is under theRestrictive Trade Practices or Boycotts (§760.1(c)

of the EAR).

Cooperating country. A country that cooperatedwith the former COCOM member countries inrestricting strategic exports in accordance withCOCOM standards. The "Cooperating Countries"are: Austria, Finland, Hong Kong, Ireland, Korea(Republic of), New Zealand, Sweden, andSwitzerland.

Countries supporting international terrorism. Inaccordance with §6(j) of the ExportAdministration Act of 1979, as amended (EAA),the Secretary of State has determined that thefollowing countries' governments have repeatedlyprovided support for acts of internationalterrorism: 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 certainlicensing requirements based on destination andreason for control. In combination with the CCL,the Country Chart indicates when a license isrequired for any item on the CCL to any countryin the world under General Prohibition One(Exports and Reexports in the Form Received),General Prohibition Two (Parts and ComponentsReexports), 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 countrygroups designated by the symbols A, B, C, D, andE. (See Supplement No. 1 to part 740 of the EARfor a list of countries in each Country Group.)

"Critical temperature". (Cat 1, 3, and 6)--The"critical temperature" (sometimes referred to asthe transition temperature) of a specific"superconductive" material is the temperature atwhich the material loses all resistance to the flowof direct electrical current.

“Cryptanalytic items”. Systems, equipment,



applications, specific electronic assemblies,modules and integrated circuits designed ormodified to perform cryptanalytic functions,software having the characteristics ofcryptanalytic hardware or performingcryptanalytic functions, or technology for thedevelopment, production or use of cryptanalyticcommodities or software.

"Cryptography". (Cat 5)--The discipline thatembodies principles, means and methods for thetransformation of data in order to hide itsinformation content, prevent its undetectedmodification or prevent its unauthorized use."Cryptography" is limited to the transformation ofinformation using one or more "secret parameters"(e.g., crypto variables) and/or associated keymanagement.

Note: "Secret parameter": a constant or keykept from the knowledge of others or shared onlywithin a group.

Customs officer. The Customs officers in the U.S.Customs Service and postmasters unless thecontext indicates otherwise.

!"Data signaling rate.” (Cat 5) means the rate, asdefined in ITU Recommendation 53-36, takinginto account that, for non-binary modulation, baudand bit per second are not equal. Bits for coding,checking and synchronization functions are to beincluded.

Note: When determining the "data signalingrate", servicing and administrative channels shallbe excluded.

Technical Note: It is the maximum one-wayrate, i.e., the maximum rate in either transmissionor reception.

Defense Trade Control (DTC). The office at theDepartment of State, formerly known as theOfficeof Munitions Control, responsible for reviewingapplications to export and reexport items on the

U.S. Munitions List. (See 22 CFR parts 120through 130.)

!"Deformable mirrors.” (Cat 6) (also known asadaptive optic mirrors) means mirrors having:

a. A single continuous optical reflectingsurface which is dynamically deformed by theapplication of individual torques or forces tocompensate for distortions in the opticalwaveform incident upon the mirror; or

b. Multiple optical reflecting elements thatcan be individually and dynamically repositionedby the application of torques or forces tocompensate for distortions in the opticalwaveform incident upon the mirror.

Denied Persons List. A list, referenced inSupplement No. 2 to part 764 of the EAR, ofspecific persons that have been denied exportprivileges, in whole or in part. The full text ofeach order denying export privileges is publishedin the Federal Register.

!"Depleted uranium.” (Cat 0) means uraniumdepleted in the isotope 235 below that occurringin nature.

" D e s i g n e d o r m o d i f i e d " . ( M T CRcontext)--Equipment, parts, components, or"software" that, as a result of "development", ormodification, have specified properties that makethem fit for a particular application. "Designed ormodified" equipment, parts, components or"software" can be used for other applications. Forexample, a titanium coated pump designed for a"missile" may be used with corrosive fluids otherthan propellants.

"Development". (General TechnologyNote)--"Development" is related to all stages priorto serial production, such as: design, designresearch, design analyses, design concepts,assembly and testing of prototypes, pilotproduction schemes, design data, process of



transforming design data into a product,configuration design, integration design, layouts.

"Diffusion bonding". (Cat 1, 2, and 9)--Asolid-state molecular joining of at least twoseparate metals into a single piece with a jointstrength equivalent to that of the weakest material.

!"Digital computer". (Cat 4 and 5)--Equipmentthat can, in the form of one or more discretevariables, perform all of the following:

(a) Accept data;

(b) Store data or instructions in fixed oralterable (writable) storage devices;

(c) Process data by means of a storedsequence of instructions that is modifiable; and

(d) Provide output of data.

Note: Modifications of a stored sequence ofinstructions include replacement of fixed storagedevices, but not a physical change in wiring orinterconnections.

!"Digital transfer rate". (Cat 5)--The total bitrate of the information that is directly transferredon any type of medium. (See also “total digitaltransfer rate”)

"Direct-acting hydraulic pressing". (Cat 2)--Adeformation process that uses a fluid-filledflexible bladder in direct contact with theworkpiece.

"Drift rate". (gyro) (Cat 7)--The time rate ofoutput deviation from the desired output. Itconsists of random and systematic componentsand is expressed as an equivalent input angulardisplacement per unit time with respect to inertialspace.

Dual use. Items that have both commercial andmilitary or proliferation applications. While this

term is used informally to describe items that aresubject to the EAR, purely commercial items arealso subject to the EAR (see §734.2(a) of theEAR).

"Dynamic adaptive routing". (Cat 5)--Automaticrerouting of traffic based on sensing and analysisof current actual network conditions.

Note: This does not include cases of routingdecisions taken on predefined information.

"Dynamic signal analyzers". (Cat 3)--"Signalanalyzers" that use digital sampling andtransformation techniques to form a Fourierspectrum display of the given waveform includingamplitude and phase information.

Effective control. You maintain effective controlover an item when you either retain physicalpossession of the item, or secure the item in suchan environment as a hotel safe, a bondedwarehouse, or a locked or guarded exhibitionfacility. Retention of effective control over anitem is a condition of certain temporary exportsand 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 greaterin the isotope uranium-235, the element weight ingrams multiplied by the square of its enrichmentexpressed as a decimal weight fraction;

c. For uranium enriched below 1 percent inthe isotope uranium-235, the element weight ingrams multiplied by 0.0001.

!"Electronic assembly.” (Cat 3, 4, and 5) meansa number of electronic components (i.e., 'circuitelements ', 'discrete components', integratedcircuits, etc.) connected together to perform (a)



specific function(s), replaceable as an entity andnormally capable of being disassembled.

Technical Notes:

1. 'Circuit element': a single active or passivefunctional part of an electronic circuit, such asone diode, one transistor, one resistor, onecapacitor, etc.

2. 'Discrete component': a separatelypackaged 'circuit element' with its own externalconnections.

!"Electronically steerable phased arrayantenna". (Cat 5 and 6)--An antenna that forms abeam by means of phase coupling, i.e., the beamdirection is controlled by the complex excitationcoefficients of the radiating elements and thedirection of that beam can be varied in azimuth orin elevation, or both, by application, both intransmission and reception, of an electrical signal.

“Encryption Component”. Any encryptioncommodity or software (except source code),including encryption chips, integrated circuits,application specific encryption toolkits, orexecutable or linkable modules that alone areincapable of performing complete cryptographicfunctions, and is designed or intended for use inor the production of another encryption item.

Encryption items. The phrase encryption itemsincludes all encryption commodities, software,and technology that contain encryption featuresand are subject to the EAR. This does not includeencryption items specifically designed, developed,configured, adapted or modified for militaryapplications ( including command, control andintelligence applications) which are controlled bythe Department of State on the U.S. MunitionsList.

Encryption licensing arrangement. A license thatallows the export of specified products tospecified destinations in unlimited quantit ies. In

certain cases, exports are limited to specified end-users for specified end-uses. Generally, reportingof all sales of the specified products is required atsix month intervals. This includes sales madeunder distribution arrangements and distributionand warehousing agreements that were previouslyissued by the Department of State for encryptionitems.

Encryption object code. Computer programscontaining an encryption source code that hasbeen compiled into a form of code that can bedirectly executed by a computer to perform anencryption function.

Encryption software. Computer programs thatprovide capability of encryption functions orconfidentiality of information or informationsystems. Such software includes source code,object code, applications software, or systemsoftware.

Encryption source code. A precise set ofoperating instructions to a computer that, whencompiled, allows for the execution of anencryption function on a computer.

"End-effectors". (Cat 2)--"End-effectors" includegrippers, "active tooling units" and any othertooling that is attached to the baseplate on the endof a "robot" manipulator arm.

Note: "Active tooling unit": a device forapplying motive power, process energy or sensingto the workpiece.

End-user. The person abroad that receives andultimately uses the exported or reexported items.The end-user is not a forwarding agent orintermediary, but may be the purchaser or ultimateconsignee.

"Equivalent Density". (Cat 6)--The mass of anoptic per unit optical area projected onto theoptical surface.



!"Expert systems". (Cat 4 and 7)--Systemsproviding results by application of rules to datathat are stored independently of the "program" andcapable of any of the following:

(a) Modifying automatically the "source code"introduced by the user;

(b) Providing knowledge linked to a class ofproblems in quasi-natural language; or

(c) Acquiring the knowledge required for theirdevelopment (symbolic training).

Export. Export means an actual shipment ortransmission of items out of the United States.(See §734.2(b) of the EAR.)

Export Administration Act (EAA). ExportAdministration Act of 1979, as amended, effectiveOctober 1, 1979.

Export Administration Review Board (EARB). EARB voting members are the Secretary ofCommerce, the Secretary of State, the Secretary ofDefense, the Secretary of Energy, the AttorneyGeneral (for encryption exports), and the Directorof the Arms Control and Disarmament Agency.The Chairman of the Joint Chiefs of Staff and theDirector of Central Intelligence are non-votingmembers. The Secretary of Commerce is theChair of the EARB. No alternate EARB membersmay be designated, but the acting head or deputyhead of any agency or department may serve inlieu of the head of the concerned agency ordepartment. The EARB may invite the heads ofother Government agencies or departments (otherthan those identified in this definition) toparticipate in the activities of the EARB whenmatters of interest to such agencies or departmentsare under consideration. Decisions are made bymajority vote.

Export Administration Regulations (EAR).Regulations set forth in parts 730-774, inclusive,of Title 15 of the Code of Federal Regulations.

Export Control Classification Number (ECCN).The numbers used in Supplement No. 1 to part774 of the EAR and throughout the EAR. TheExport Control Classification Number consists ofa set of digits and a letter. Reference §738.2(c) ofthe EAR for a complete description of eachECCN's composition.

Export control document. A license; applicationfor license; any and all documents submitted inaccordance with the requirements of the EAR insupport of, or in relation to, a license application;application for International Import Certificate;Delivery Verification Certificate or similarevidence of delivery; Shipper's Export Declaration(SED) or Automated Export System (AES) recordpresented in connection with shipments to anycountry; a Dock Receipt or bill of lading issued byany carrier in connection with any export subjectto the EAR and any and all documents preparedand submitted by exporters and agents pursuant tothe export clearance requirements of part 758 ofthe EAR; a U.S. exporter's report of requestreceived for information, certification, or otheraction indicating a restrictive trade practice orboycott imposed by a foreign country against acountry friendly to the United States, submitted tothe U.S. Department of Commerce in accordancewith the provisions of part 760 of the EAR;Customs Form 7512, Transportation Entry andManifest of Goods, Subject to Customs Inspectionand Permit, when used for Transportation andExportation (T.& E.) or Immediate Exportation(I.E.); and any other document issued by a U.S.Government agency as evidence of the existenceof a license for the purpose of loading onto anexporting carrier or otherwise facilitating oreffecting an export from the United States or anyreexport of any item requiring a license.

Exporter. The person in the United States who hasthe authority of a principal party in interest todetermine and control the sending of items out ofthe United States. Note that the Foreign TradeStatistics Regulations have a different definitionfor the term “exporter”. Under the FTSR, the



“exporter” is the U.S. principal party in interest(see Foreign Trade Statistics Regulations 15 CFRpart 30).

Exporting carrier. Any instrumentality of water,land, or air transportation by which an export iseffected, including any domestic air carrier onwhich any cargo for export is laden or carried.

!"FADEC.” See "full authority digital enginecontrol.”

"FMU".--See "flexible manufacturing unit"

"Fault tolerance". (Cat 4)--The capability of acomputer system, after any malfunction of any ofits hardware or "software" components, tocontinue to operate without human intervention, ata given level of service that provides: continuityof operation, data integrity, and recovery ofservice within a given time.

"Fibrous or filamentary materials". (Cat 1 and8)--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 coherentfiber blankets;

(e) Whiskers, either monocrystalline orpolycrystalline, of any length;

(f) Aromatic polyimide pulp.

"Film type integrated circuit". (Cat 3)--An arrayof "c i rcui t e lements" and meta l l icinterconnections formed by deposition of a thickor 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, onecapacitor, etc.

Financial Institution. As applied to encryptionitems, means any of the following:

(a) A broker, dealer, government securitiesbroker or dealer, self-regulatory organization,investment company or investment adviser, whichis regulated or supervised by the Securities andExchange Commission or a self-regulatoryorganization that is registered with the Securitiesand Exchange Commission; or

(b) A broker, dealer, government securitiesbroker or dealer, investment company,investment adviser, or entity that engages insecurities activities that, if conducted in theUnited States, would be described by thedefinition of the term “self-regulatoryorganization” in the Securities Exchange Act of1934, which is organized under the laws of aforeign country and regulated or supervised by aforeign securities authority; or

(c) A U.S. board of trade that is designated asa contract market by the Commodity FuturesTrading Commission or a futures commissionmerchant that is regulated or supervised by theCommodity Futures Trading Commission; or

(d) A U.S. entity engaged primarily in thebusiness of issuing a general purpose charge,debit, or stored value card, or a branch of, oraffiliate controlled by, such an entity; or

(e) A branch or affiliate of any of the entitieslisted in paragraphs (a), (b), or (c) of thisdefinition regulated or supervised by theSecurities and Exchange Commission, theCommodity Futures Trading Commission, or aforeign securities authority; or

(f) An affiliate of any of the entities listed inparagraph (a), (b), (c), or (e), of this definition



engaged solely in the business of providing dataprocessing services to one or more bank orfinancial institutions, or a branch of such anaffiliate; or

(g) A company organized and regulated underthe laws of any of the United States and itsbranches and affiliates whose primary andpredominant business activity is the writing ofinsurance or the reinsuring of risks; or a companyorganized and regulated under the laws of aforeign country and its branches and affiliateswhose primary and predominant business activityis the writing of insurance or the reinsuring ofrisks.

Firm. A corporation, partnership, limitedpartnership, association, company, trust, or anyother kind of organization or body corporate,situated, residing, or doing business in the UnitedStates or any foreign country, including anygovernment or agency thereof.

"Fixed". (Cat 5)--The coding or compressionalgorithm cannot accept externally suppliedparameters (e.g., cryptographic or key variables)and cannot be modified by the user.

"Flexible manufacturing unit". (FMU),(sometimes also referred to as 'flexiblemanufacturing system' (FMS) or 'flexiblemanufacturing cell' (FMC)) (Cat 2)--An entity thatincludes 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 machinedescribed in Category 2, or another digitallycontrolled measuring machine controlled by anentry in Category 2;

(3) A "robot" controlled by an entry inCategory 2 or 8;

(4) Digitally controlled equipmentcontrolled by 1B003, 2B003, or 9B001;

(5) "Stored program controlled"equipment controlled by 3B001;

(6) Digitally controlled equipmentcontrolled by 1B001;

(7) Digitally controlled electronicequipment controlled by 3A002.

!"Flight control optical sensor array.” (Cat 7) isa network of distributed optical sensors, using"laser" beams, to provide real-time flight controldata for on-board processing.

!"Flight path optimization.” (Cat 7) is aprocedure that minimizes deviations from a four-dimensional (space and time) desired trajectorybased on maximizing performance oreffectiveness for mission tasks.

"Fluoride fibers". (Cat 6)--Fibers manufacturedfrom bulk fluoride compounds.

"Focal plane array". (Cat 6)--A linear ortwo-dimensional planar layer, or combination ofplanar layers, of individual detector elements,with or without readout electronics, that work inthe focal plane.

N.B. This definition does not include a stackof single detector elements or any two, three, orfour element detectors provided time delay andintegration is not performed within the element.

Foreign government agency. For the purposes ofexemption from support documentation (see§748.9 of the EAR), a foreign government agencyis defined as follows:

(a) National governmental departments



operated by government-paid personnelperforming governmental administrativefunctions; e.g. Finance Ministry, Ministry ofDefense, Ministry of Health, etc. (municipal orother local government entities must submitrequired support documentation); or

(b) National government-owned publicservice entities; e.g., nationally owned railway,postal, telephone, telegraph, broadcasting, andpower systems, etc. The term "foreigngovernment agency" does not include governmentcorporations, quasi-government agencies, andstate enterprises engaged in commercial,industrial, and manufacturing activities, such aspetroleum refineries, mines, steel mills, retailstores, automobile manufacturing plants, airlines,or steamship lines that operate between two ormore countries, etc.

Foreign policy control. A control imposed underthe EAR for any and all of the following reasons:chemical and biological weapons, nuclearnonproliferation, missile technology, regionalstability, crime control, anti-terrorism, UnitedNations sanctions, and any other reason forcontrol implemented under section 6 of the EAAor other similar authority.

Foreign Terrorist Organizations (FTO). Anyorganization that is determined by the Secretary ofthe Treasury to be a foreign terrorist organizationunder notices or regulations issued by the Officeof Foreign Assets Control (see 31 CFR chapterV).

Forwarding agent. The person in the UnitedStates who is authorized by a principal party ininterest to perform the services required tofacilitate the export of the items from the UnitedStates. This may include air couriers or carriers.In routed export transactions, the forwardingagent and the exporter may be the same forcompliance purposes under the EAR.

“Frequency hopping”. (Cat 5 part 1 and 5 part 2)

-- A form of “spread spectrum” in which thetransmission frequency of a single communicationchannel is made to change by a random or pseudo-random sequence of discrete steps.

"Frequency switching time". (Cat 3 and 5)--Themaximum time (i.e., delay), taken by a signal,when switched from one selected outputfrequency to another selected output frequency, toreach:

(a) A frequency within 100 Hz of the finalfrequency; or

(b) An output level within 1 dB of the finaloutput level.

"Frequency synthesizer". (Cat 3)-- Any kind offrequency source or signal generator, regardless ofthe actual technique used, providing a multiplicityof simultaneous or alternative output frequencies,from one or more outputs, controlled by, derivedfrom or disciplined by a lesser number of standard(or master) frequencies.

!"Full Authority Digital Engine Control.”("FADEC") (Cat 7 and 9) means an electroniccontrol system for gas turbine or combined cycleengines utilizing a digital computer to control thevariables required to regulate engine thrust orshaft power output throughout the engineoperating range from the beginning of fuelmetering to fuel shutoff.

"Gas Atomization". (Cat 1)--A process to reducea molten stream of metal alloy to droplets of500-micrometer diameter or less by ahigh-pressure gas stream.

"Gateway". (Cat 5)--The function, realized by anycombination of equipment and "software", tocarry out the conversion of conventions forrepresenting, processing or communicatinginformation used on one system into thecorresponding, but different conventions used inanother system.



General prohibitions. The 10 prohibitions foundin part 736 of the EAR that prohibit certainexports, reexports, and other conduct, subject tothe EAR, absent a license, License Exception, ordetermination that no license is required ("NLR").

"Geographically dispersed". (Cat 6)--Sensors areconsidered geographically dispersed when eachlocation is distant from any other more than 1,500m in any direction. Mobile sensors are alwaysconsidered geographically dispersed.

"Global interrupt latency time". (Cat 4)--The timetaken by the computer system to recognize aninterrupt due to the event, service the interrupt andperform a context switch to an alternate mem-ory-resident task waiting on the interrupt.

“Government end-user” (as applied to encryptionitems). A government end-user is any foreigncentral, regional or local government department,agency, or other entity performing governmentalfunctions; including governmental researchinstitutions, governmental corporations or theirseparate business units (as defined in part 772 ofthe EAR) which are engaged in the manufactureor distribution of items or services controlled onthe Wassenaar Munitions List, and internationalgovernmental organizations. This term does notinclude: utilities (including telecommunicationscompanies and Internet service providers); banksand financial institutions; transportation;broadcast or entertainment; educationalorganizations; civil health and medicalorganizations; retail or wholesale firms; andmanufacturing or industrial entities not engaged inthe manufacture or distribution of items orservices controlled on the Wassenaar MunitionsList.

Hold Without Action (HWA). License applicationsmay be held without action only in the limitedcircumstances described in §750.4(c) of the EAR.

"Hot isostatic densification". (Cat 2)--A process

of pressurizing a casting at temperaturesexceeding 375 K (102° C) in a closed cavitythrough various media (gas, liquid, solid particles,etc.) to create equal force in all directions toreduce or eliminate internal voids in the casting.

"Hybrid computer". (Cat 4)--Equipment that can:

(a) Accept data;

(b) Process data, in both analog and digitalrepresentation; and

(c) Provide output of data.

"Hybrid integrated circuit". (Cat 3)--Anycombination of integrated circuit(s), or integratedcircuit with "circuit elements" or "discretecomponents" connected together to perform (a)specific function(s), and having all of thefollowing criteria:

(a) Containing at least one unencapsulateddevice;

(b) Connected together using typicalIC-production methods;

(c) Replaceable as an entity; and

(d) Not normally capable of beingdisassembled.

Notes: 1. "Circuit element": a single active orpassive functional part of an electronic circuit,such as one diode, one transistor, one resistor, onecapacitor, etc.

2. "Discrete component": a separatelypackaged "circuit element" with its own externalconnections.

"ISDN".--See "Integrated Services DigitalNetwork".

"Image enhancement". (Cat 4)--The processing of



externally derived information-bearing images byalgorithms such as time compression, filtering,extraction, selection, correlation, convolution ortransformations between domains (e.g., fastFourier transform or Walsh transform). This doesnot include algorithms using only linear orrotational transformation of a single image, suchas translation, feature extraction, registration orfalse coloration.

"Information security". (Cat 5)--All the means andfunctions ensuring the accessibili ty,confidentiality or integrity of information orcommunications, excluding the means andfunctions intended to safeguard againstmalfunctions. This includes "cryptography","cryptanalysis", protection against compromisingemanations and computer security.

N.B. "Cryptanalysis": the analysis of acryptographic system or its inputs and outputs toderive confidential variables or sensitive data,including clear text. (ISO 7498-2-1988 (E),paragraph 3.3.18)

!"Instantaneous bandwidth". (Cat 3 and 5)--Thebandwidth over which output power remainsconstant within 3 dB without adjustment of otheroperating parameters.

"Instrumented range". (Cat 6)--The specifiedunambiguous display range of a radar.

"Integrated Services Digital Network". (ISDN)(Cat 5)--A unified end-to-end digital network, inwhich data originating from all types ofcommunication (e.g., voice, text, data, still andmoving pictures) are transmitted from one port(terminal) in the exchange (switch) over oneaccess line to and from the subscriber.

Intent to Deny (ITD) letter. A letter informing theapplicant:

(a) Of the reason for BXA's decision to denya license application; and

(b) That the application will be denied 45days from the date of the ITD letter, unless theapplicant provides, and BXA accepts, a reasonwhy the application should not be denied for thestated reason. See §750.6 of the EAR.

"Interconnected radar sensors". (Cat 6)--Two ormore radar sensors are interconnected when theymutually exchange data in real time.

Intermediate consignee. The person that acts as anagent for a principal party in interest for thepurpose of effecting delivery of items to theultimate consignee. The intermediate consigneemay be a bank, forwarding agent, or other personwho acts as an agent for a principal party ininterest.

"Intrinsic Magnetic Gradiometer". (Cat 6)--Asingle magnetic field gradient sensing element andassociated electronics the output of which is ameasure of magnetic field gradient. (See also"Magnetic Gradiometer")

"Isostatic presses". (Cat 2)--Equipment capable ofpressurizing a closed cavity through various media(gas, liquid, solid particles, etc.) to create equalpressure in all directions within the cavity upon aworkpiece or material.

Item. "Item" means "commodities, software, andtechnology." When the EAR intend to referspecifically to commodities, software, ortechnology, the text will use the specificreference.

Know. See "knowledge."

Knowledge. Knowledge of a circumstance (theterm may be a variant, such as "know," "reason toknow," or "reason to believe") includes not onlypositive knowledge that the circumstance exists oris substantially certain to occur, but also anawareness of a high probability of its existence orfuture occurrence. Such awareness is inferredfrom evidence of the conscious disregard of facts



known to a person and is also inferred from aperson's willful avoidance of facts. Thisdefinition does not apply to part 760 of the EAR(Restrictive Trade Practices or Boycotts).

"Laser". (Cat 2, 3, 5, 6, and 9)--An assembly ofcomponents that produce both spatially andtemporally coherent light that is amplified bystimulated emission of radiation. See also:"Chemical laser"; "Q-switched laser"; "SuperHigh Power Laser"; and "Transfer laser".

Law or regulation relating to export control. Anystatute, proclamation, executive order, regulation,rule, license, or order applicable to any conductinvolving an export transaction shall be deemed tobe a "law or regulation relating to export control."

Legible or legibility. Legible and legibility meanthe quality of a letter or numeral that enables theobserver to identify it positively and quickly to theexclusion of all other letters or numerals.

License. Authority issued by the Bureau ofExport Administration authorizing an export,reexport, or other regulated activity. The term"license" does not include authority representedby a "License Exception."

License application; application for license.License application and similar wording mean anapplication to BXA requesting the issuance of alicense to the applicant.

License Exception. An authorization described inpart 740 of the EAR that allows you to export orreexport, under stated conditions, items subject tothe EAR that otherwise would require a license.Unless otherwise indicated, these LicenseExceptions are not applicable to exports under thelicensing jurisdiction of agencies other than theDepartment of Commerce.

Licensee. The person to whom a license has beenissued by BXA. See §750.7(c) of the EAR for acomplete definition and identification of a

licensee's responsibilities.

"Linearity". (Cat 2)--"Linearity" (usuallymeasured in terms of non-linearity) is themaximum deviation of the actual characteristic(average of upscale and downscale readings),positive or negative, from a straight line sopositioned as to equalize and minimize themaximum deviations.

"Local area network". (Cat 4)--A datacommunication system that:

(a) Allows an arbitrary number of independent"data devices" to communicate directly with eachother; and

(b) Is confined to a geographical area ofmoderate size (e.g., office building, plant, campus,warehouse).

Note: "Data device": equipment capable oftransmitting or receiving sequences of digitalinformation.

"MBTR".--See "maximum bit transfer rate".

MTCR. See Missile Technology Control Regime.

MTEC. See Missile Technology Export ControlGroup.

"Magnetic Gradiometers". (Cat 6)--Are designedto detect the spatial variation of magnetic fieldsfrom sources external to the instrument. Theyconsist of multiple "magnetometers" andassociated electronics the output of which is ameasure of magnetic field gradient. (See also"Intrinsic Magnetic Gradiometer".)

"Magnetometers". (Cat 6)--Are designed to detectmagnetic fields from sources external to theinstrument. They consist of a single magnetic fieldsensing element and associated electronics theoutput of which is a measure of the magneticfield.



"Main storage". (Cat 4)--The primary storage fordata or instructions for rapid access by a centralprocessing unit. It consists of the internal storageof a "digital computer" and any hierarchicalextension thereto, such as cache storage ornon-sequentially accessed extended storage.

"Matrix". (Cat 1, 2, 8, and 9)--A substantiallycontinuous phase that fills the space betweenparticles, whiskers or fibers.

"Maximum bit transfer rate". (MBTR) (Cat 4)--Ofsolid state storage equipment: the number of databits per second transferred between the equipmentand its controller. Of a disk drive: the internal datatransfer rate calculated as follows:

"MBTR" (bits per second) = B x R x T, where:

B = Maximum number of data bits per trackavailable to read or write in a single revolution;

R = Revolutions per second;

T = Number of tracks that can be used or writtensimultaneously.

!"Measurement uncertainty". (Cat 2)--Thecharacteristic parameter that specifies in whatrange around the output value the correct value ofthe measurable variable lies with a confidencelevel of 95%. It includes the uncorrectedsystematic deviations, the uncorrected backlash,and the random deviations (Ref.: ISO 10360-2 orVDI/VDE 2617).

"Mechanical alloying". (Cat 1)--An alloyingprocess resulting from the bonding, fracturing andrebonding of elemental and master alloy powdersby mechanical impact. Non-metallic particles maybe incorporated in the alloy by addition of theappropriate powders.

"Media access unit". (Cat 5)--Equipment thatcontains one or more communication interfaces("network access controller", "communications

channel controller", modem or computer bus) toconnect terminal equipment to a network.

!Medical devices. For purposes of the EAR,medical devices are “devices” as defined insection 201 of the Federal Food, Drug, andCosmetic Act (21 U.S.C. 321) including medicalsupplies, instruments, equipment, equippedambulances, institutional washing machines forsterilization, and vehicles with medical testingequipment. Note that certain component parts andspares to be exported for incorporation intomedical devices are on the Commerce ControlList. Only items meeting the definition of“medical device” and that are classified as EAR99are eligible for export to Iran, Libya and Sudanunder the licensing procedures set forth in theappropriate regulations promulgated andadministered by Treasury’s Office of ForeignAssets Control.

!Medicines. Medicines means “drug” as definedin section 201 of the Federal Food, Drug andCosmetic Act (21 U.S.C. 321). For purposes ofthe EAR, medicines includes prescription andover the counter medicines for humans andanimals. Note that certain medicines, such asvaccines and immunotoxins, are on the CommerceControl List. Only items meeting the definition of“medicine” and that are classified as EAR99 areeligible for export to Iran, Libya and Sudan underthe licensing procedures set forth in theappropriate regulations promulgated andadministered by Treasury’s Office of ForeignAssets Control.

"Melt Extraction". (Cat 1)--A process to "solidifyrapidly" and extract a ribbon-like alloy product bythe insertion of a short segment of a rotatingchilled block into a bath of a molten metal alloy.

Note: "Solidify rapidly": solidification ofmolten material at cooling rates exceeding 1,000K/sec.

"Melt Spinning". (Cat 1)--A process to "solidify



rapidly" a molten metal stream impinging upon arotating chilled block, forming a flake, ribbon orrod-like product.


!"Microcomputer microcircuit.” (Cat 3) means a"monolithic integrated circuit" or "multichipintegrated circuit" containing an arithmetic logicunit (ALU) capable of executing a series ofgeneral purpose instructions from an internalstorage, on data contained in the internal storage.

Technical Note: The “microprocessormicrocircuit” normally does not contain integraluser-accessible storage, although storage presenton-the-chip may be used in performing its logicfunction.

Note: this definition includes chip sets whichare designed to operate together to provide thefunction of a “microprocessor microcircuit.”

!"Microorganisms.” (Cat 1 and 2) meansbacteria, viruses, mycoplasms, rickettsiae,chlamydiae or fungi, whether natural, enhanced ormodified, either in the form of isolated livecultures or as material including living materialwhich has been deliberately inoculated orcontaminated with such cultures.

"Microprocessor microcircuit". (Cat 3)--A"monolithic integrated circuit" or "multichipintegrated circuit" containing an arithmetic logicunit (ALU) capable of executing a series ofgeneral purpose instructions from an externalstorage.

N.B. 1: The "microprocessor microcircuit"normally does not contain integral user-accessiblestorage, although storage present on-the-chip maybe used in performing its logic function.

N.B. 2: This definition includes chip sets that

are designed to operate together to provide thefunction of a "microprocessor microcircuit".

"Microprogram". (Cat 4 and 5)--A sequence ofelementary instructions, maintained in a specialstorage, the execution of which is initiated by theintroduction of its reference instruction into aninstruction register.

Missile Technology Control Regime (MTCR).The United States and other nations in thismultilateral control regime have agreed toguidelines for restricting the export and reexportof dual-use items that may contribute to thedevelopment of missiles. The MTCR Annex listsmissile-related equipment and technologycontrolled either by the Department of Commerceor by the Department of State's Office of DefenseTrade Controls (22 CFR parts 120 through 130).

Missile Technology Export Control Group(MTEC). Chaired by the Department of State, theMTEC primarily reviews applications involvingitems controlled for Missile Technology (MT)reasons. The MTEC also reviews applicationsinvolving items not controlled for MT reasons, butdestined for a country and/or end-use/end-user ofconcern.

"Missiles". (All)--Rocket systems (includingballistic missile systems, space launch vehicles,and sounding rockets) and unmanned air vehiclesystems (including cruise missile systems, targetdrones, and reconnaissance drones) "capable of"delivering at least 500 kilograms payload to arange of at least 300 kilometers.

"Monolithic integrated circuit". (Cat 3)--Acombination of passive or active "circuitelements" or both that:

(a) Are formed by means of diffusionprocesses, implantation processes or depositionprocesses in or on a single semiconducting pieceof material, a so-called 'chip';



(b) Can be considered as indivisiblyassociated; and

(c) Perform the function(s) of a circuit.

Note: "Circuit element": a single active orpassive functional part of an electronic circuit,such as one diode, one transistor, one resistor, onecapacitor, etc.

!"Monospectral imaging sensors.” (Cat 6) arecapable of acquisition of imaging data from onediscrete spectral band.

"Motion control board". (Cat 2)--An electronic"assembly" specially designed to provide acomputer system with the capability to coordinatesimultaneously the motion of axes of machinetools for "contouring control".

"Multichip integrated circuit". (Cat 3)--Two ormore "monolithic integrated circuits" bonded to acommon "substrate".

"Multi-data-stream processing". (Cat 4)--The"microprogram" or equipment architecturetechnique that permits simultaneous processing oftwo or more data sequences under the control ofone or more instruction sequences by means suchas:

(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 aretightly coupled, closely coupled or looselycoupled; or

(d) Structured arrays of processing elements,including systolic arrays.

"Multilevel security". (Cat 5)--A class of system

containing information with different sensitivitiesthat simultaneously permits access by users withdifferent security clearances and need-to-know,but prevents users from obtaining access toinformation for which they lack authorization.

Note: "Multilevel security" is computersecurity and not computer reliability that dealswith equipment fault prevention or human errorprevention in general.

"Multispectral Imaging Sensors". (Cat 6)--Arecapable of simultaneous or serial acquisition ofimaging data from two or more discrete spectralbands. Sensors having more than twenty discretespectral bands are sometimes referred to ashyperspectral imaging sensors.

"N.E.S". N.E.S or n.e.s. is an abbreviationmeaning "not elsewhere specified".

NLR. NLR ("no license required") is a symbolentered on the Shipper's Export Declaration,certifying that no license is required.

NSG. See Nuclear Suppliers Group.

NATO (North Atlantic Treaty Organization). Astrategic defensive organization that consists ofthe following member nations: Belgium, Canada,Denmark, France, Germany, Greece, Iceland,Italy, Luxembourg, the Netherlands, Norway,Portugal, Spain, Turkey, the United Kingdom, andthe United States.

!"Natural uranium.” (Cat 0) means uraniumcontaining the mixtures of isotopes occurring innature.

Net value. The actual selling price, less shippingcharges or current market price, whichever is thelarger, to the same type of purchaser in the UnitedStates.

"Network access controller". (Cat 4 and 5)--Aphysical interface to a distributed switching



network. It uses a common medium that operatesthroughout at the same "digital transfer rate" usingarbitration (e.g., token or carrier sense) fortransmission. Independently from any other, itselects data packets or data groups (e.g., IEEE802) addressed to it. It is an assembly that can beintegrated into computer or telecommunicationsequipment to provide communications access.

"Neural computer". (Cat 4)--A computationaldevice designed or modified to mimic thebehavior of a neuron or a collection of neurons(i.e., a computational device that is distinguishedby its hardware capability to modulate the weightsand numbers of the interconnections of amultiplicity of computational components basedon previous data).

"Noise level". (Cat 6)--An electrical signal givenin terms of power spectral density. The relationbetween "noise level" expressed in peak-to-peakis given by S2

pp = 8No(f2--f1), where Spp is thepeak-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 bandwidthof interest.

! "Nuclear reactor.” (Cat 0 and 2) includes theitems within or attached direct ly to the reactorvessel, the equipment which controls the level ofpower in the core, and the components whichnormally contain, come into direct contact with orcontrol the primary coolant of the reactor core.

Nuclear Suppliers Group (NSG). The UnitedStates and other nations in this multilateral controlregime have agreed to guidelines for restrictingthe export or reexport of items with nuclearapplications. Members include: Argentina,Australia, Austria, Belgium, Brazil, Bulgaria,Canada, Czech Republic, Denmark, Finland,France, Germany, Greece, Hungary, Ireland, Italy,Japan, Latvia, Luxembourg, the Netherlands, NewZealand, Norway, Poland, Portugal, Republic ofKorea, Romania, Russia, Slovak Republic, Spain,South Africa, Sweden, Switzerland, Ukraine, the

United Kingdom, and the United States. See also§742.3 of the EAR.

"Numerical control". (Cat 2)--The automaticcontrol of a process performed by a device thatmakes use of numeric data usually introduced asthe operation is in progress (Ref. ISO 2382).

!"Object code". (or object language) (Cat 9)--Anequipment executable form of a convenientexpression of one or more processes ("sourcecode" (or source language)) that has beenconverted by a programming system. (See also"source code")

Office of Foreign Assets Control (FAC) or(OFAC). The office at the Department of theTreasury responsible for blocking assets offoreign countries subject to economic sanctions,controlling participation by U.S. persons,including foreign subsidiaries, in transactions withspecific countries or nationals of such countries,and administering embargoes on certain countriesor areas of countries. (See 31 CFR parts 500through 590.)

“Open cryptographic interface”. A mechanismwhich is designed to allow a customer or otherparty to insert cryptographic functionality withoutthe intervention, help or assistance of themanufacturer or its agents, e.g., manufacturer’ssigning of cryptographic code or proprietaryinterfaces. If the cryptographic interfaceimplements a fixed set of cryptographicalgorithms, key lengths or key exchangemanagement systems, that cannot be changed, itwill not be considered an “open” cryptographicinterface. All general application programminginterfaces (e.g., those that accept either acryptographic or non-cryptographic interface butdo not themselves maintain any cryptographicfunctionality) will not be considered “open”cryptographic interfaces.

"Operate autonomously". (Cat 8)--Fullysubmerged, without snorkel, all systems working



and cruising at minimum speed at which thesubmersible can safely control its depthdynamically by using its depth planes only, withno need for a support vessel or support base on thesurface, sea-bed or shore, and containing apropulsion system for submerged or surface use. Operating Committee (OC). The OC voting mem-bers include representatives of appropriateagencies in the Departments of Commerce, State,Defense, Justice (for encryption exports), andEnergy and the Arms Control and DisarmamentAgency. The appropriate representatives of theJoint Chiefs of Staff and the Director of theNonproliferation Center of the CentralIntelligence Agency are non-voting members.The Department of Commerce representative,appointed by the Secretary, is the Chair of the OCand serves as the Executive Secretary of theAdvisory Committee on Export Policy. The OCmay invite representatives of other Governmentagencies or departments (other than thoseidentified in this definition) to participate in theactivities of the OC when matters of interest tosuch agencies or departments are underconsideration.

"Optical amplification". (Cat 5)--In opticalcommunications, an amplification technique thatintroduces a gain of optical signals that have beengenerated by a separate optical source, withoutconversion to electrical signals, i.e., usingsemiconductor optical amplifiers, optical fiberluminescent amplifiers.

"Optical computer". (Cat 4)--A computerdesigned or modified to use light to represent dataand whose computational logic elements are basedon directly coupled optical devices.

"Optical fiber preforms". (Cat 5 and 6)--Bars,ingots, or rods of glass, plastic or other materialsthat have been specially processed for use infabricating optical fibers. The characteristics ofthe preform determine the basic parameters of theresultant drawn optical fibers.

"Optical integrated circuit". (Cat 3)--A"monolithic integrated circuit" or a "hybridintegrated circuit", containing one or more partsdesigned to function as photosensor orphotoemitter or to perform (an) optical or (an)electro-optical function(s).

"Optical switching". (Cat 5)--The routing of orswitching of signals in optical form withoutconversion to electrical signals.

Order Party. The person in the United States whoconducted the direct negotiations orcorrespondence with the foreign purchaser orultimate consignee and who, as a result of thesenegotiations, received the order from the foreignpurchaser or ultimate consignee.

Organization for the Prohibition of ChemicalWeapons (OPCW). Means the internationalorganization, located in The Hague, Netherlands,that administers the Chemical WeaponsConvention.

Other party authorized to receive license. Theperson authorized by the applicant to receive thelicense. If a person and address is listed in Block15 of the BXA-748P Multipurpose ApplicationForm, the Bureau of Export Administration willsend the license to that person instead of theapplicant. Designation of another party to receivethe license does not alter the responsibilities of theapplicant, licensee or exporter.

"Overall current density". (Cat 3)--The totalnumber of ampere-turns in the coil (i.e., the sumof the number of turns multiplied by the maximumcurrent carried by each turn) divided by the totalcross-section of the coil (comprising thesuperconducting filaments, the metallic matrix inwhich the superconducting filaments areembedded, the encapsulating material, any coolingchannels, etc.).

"Part program". (Cat. 2)--An ordered set ofinstructions that is in a language and in a format



required to cause operations to be effected underautomatic control and that is either written in theform of a machine program on an input medium orprepared as input data for processing in acomputer to obtain a machine program (Ref. ISO2806-1980).

"Peak power". (Cat 6)--Energy per pulse in Jouledivided by the pulse duration in seconds.

Person. A natural person, including a citizen ornational of the United States or of any foreigncountry; any firm; any government, governmentagency, government department, or governmentcommission; any labor union; any fraternal orsocial organization; and any other association ororganization whether or not organized for profit.This definition does not apply to part 760 of theEAR (Restrictive Trade Practices or Boycotts).

!“Personalized smart card.” (Cat 5) A smartcard containing a microcircuit which has beenprogrammed for a specific application and cannotbe reprogrammed for any other application by theuser.

Port of export. The port where the cargo to beshipped abroad is laden aboard the exportingcarrier. It includes, in the case of an export bymail, the place of mailing.

"Positioning accuracy". (Cat. 2)--The positioningaccuracy of "numerically controlled" machinetools is to be determined and presented inaccordance with ISO/DIS 230/2 (1988), paragraph2.13, in conjunction with the followingrequirements:

(a) Test conditions:

(1) For 12 hours before and duringmeasurements, the machine tool and accuracymeasuring equipment will be kept at the sameambient temperature. During the pre-measurementtime the slides of the machine will becontinuously cycled in the same manner that the

accuracy measurements will be taken;

(2) The machine shall be equipped with anymechanical, electronic, or software compensationto be exported with the machine;

(3) Accuracy of measuring equipment for themeasurements shall be at least four times moreaccurate than the expected machine tool accuracy;

(4) Power supply for slide drives shall be asfollows:

(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 notpermitted.

(b) Test programs:

(1) Feed rate (velocity of slides) duringmeasurement shall be the rapid traverse rate;

Note: In case of machine tools that generateoptical quality surfaces, the feedrate shall be equalto or less than 50 mm per minute.

(2) Measurements shall be made in anincremental manner from one limit of the axistravel to the other without returning to the startingposition for each move to the target position;

(3) Axes not being measured shall be retainedat mid travel during the test of an axis.

(c) Presentation of test results: The results of themeasurement must include:

(1) Position accuracy (A); and

(2) The mean reversal error (B).



"Power management". (Cat 7)--Changing thetransmitted power of the altimeter signal so thatreceived power at the "aircraft" altitude is alwaysat the minimum necessary to determine thealtitude.

!“Previously separated.” (Cat 1) The applicationof any process intended to increase theconcentration of the controlled isotope.

!“Primary flight control.” (Cat 7) “Aircraft”stability or maneuvering control usingforce/moment generators, i.e., aerodynamiccontrol surfaces or propulsive thrust vectoring.

"Principal element". (Cat 4)--An element is a"principal element" when its replacement value ismore than 35% of the total value of the system ofwhich it is an element. Element value is the pricepaid for the element by the manufacturer of thesystem, or by the system integrator. Total value isthe normal international selling price to unrelatedparties at the point of manufacture orconsolidation of shipment.

Principal parties in interest. Those persons in atransaction that receive the primary benefit,monetary or otherwise, of the transaction.Generally, the principals in a transaction are theseller and the buyer. In most cases, theforwarding or other agent is not a principal partyin interest.

!"Production". (General Technology Note) (AllCategories)-- Means all production stages, suchas: product engineering, manufacture, integration,assembly (mounting), inspection, testing, qualityassurance.

"Production equipment". (MTCR context) --Tooling, templates, jigs, mandrels, moulds, dies,fixtures, alignment mechanisms, test equipment,other machinery and components therefor, limitedto those specially designed or modified for"development" or for one or more phases of"production".

!"Program". (Cat 2, 4, 5, and 6)--A sequence ofinstructions to carry out a process in, orconvertible into, a form executable by anelectronic computer.

"Proof test". (Cat 5)--On-line or off-lineproduction screen testing that dynamically appliesa prescribed tensile stress over a 0.5 to 3 m lengthof fiber at a running rate of 2 to 5 m/s whilepassing between capstans approximately 150 mmin diameter. The ambient temperature is a nominal293 K (20° C) and relative humidity 40%.

Note: Equivalent national standards forexecuting the "proof test" may be used.

Publicly available information. Information thatis generally accessible to the interested public inany form and, therefore, not subject to the EAR(See part 732 of the EAR).

Publicly available technology and software.Technology and software that are alreadypublished or will be published; arise during, orresult from fundamental research; are educational;or are included in certain patent applications (see§734.3(b)(3) of the EAR).

"Pulse compression". (Cat 6)--The coding andprocessing of a radar signal pulse of long timeduration to one of short time duration, whilemaintaining 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 enteredinto a transaction to purchase an item for deliveryto the ultimate consignee. In most cases, thepurchaser is not a bank, forwarding agent, orintermediary. The purchaser and ultimateconsignee may be the same entity.

"Q-switched laser". (Cat 6)--A "laser" in which



the energy is stored in the population inversion orin the optical resonator and subsequently emittedin a pulse.

RWA. See Return Without Action.

"Radar frequency agility". (Cat 6)--Any techniquethat changes, in a pseudo-random sequence, thecarrier frequency of a pulsed radar transmitterbetween pulses or between groups of pulses by anamount equal to or larger than the pulsebandwidth.

"Radar spread spectrum". (Cat 6)--Anymodulation technique for spreading energyoriginating from a signal with a relatively narrowfrequency band, over a much a wider band offrequencies, by using random or pseudo-randomcoding.

"Range". (Cat 8)--Half the maximum distance asubmersible vehicle can cover.

Readable or readability. Readable and readabilitymean the quality of a group of letters or numeralsbeing recognized as complete words or numbers.

"Real-time bandwidth". (Cat 3)--For "dynamicsignal analyzers", the widest frequency range thatthe analyzer can output to display or mass storagewithout causing any discontinuity in the analysisof the input data. For analyzers with more thanone channel, the channel configuration yieldingthe widest "real-time bandwidth" shall be used tomake the calculation.

!"Real time Processing". (Cat 2, 4, 6, and 7)--Theprocessing of data by a computer systemproviding a required level of service, as a functionof available resources, within a guaranteedresponse time, regardless of the load of thesystem, when stimulated by an external event.

Reasons for Control. Reasons for Control are:Anti-Terrorism (AT), Chemical & BiologicalWeapons (CB), Crime Control (CC), High

Performance Computer (XP), Missile Technology(MT), National Security (NS), NuclearNonproliferation (NP), Regional Stability (RS),Short Supply (SS), and United Nations sanctions(UN). Items controlled within a particular ECCNmay be controlled for more than one reason.

Recoverable commodities and software. Asapplied to encryption items, means any of thefollowing:

(a) A stored data product containing a recoveryfeature that, when activated, allows recovery ofthe plaintext of encrypted data without theassistance of the end-user; or

(b) A product or system designed such that anetwork administrator or other authorized personswho are removed from the end-user can providelaw enforcement access to plaintext without theknowledge or assistance of the end-user. Thisincludes, for example, products or systems whereplaintext exists and is accessible at intermediatepoints in a network or infrastructure system,enterprise-controlled recovery systems, andproducts which permit recovery of plaintext at theserver where a system administrator controls orcan provide recovery of plaintext across anenterprise.

Note: “Plaintext” indicates that data that isinitially received by or presented to therecoverable product before encryption takes place.

Reexport. "Reexport" means an actual shipmentor transmission of items subject to the EAR fromone foreign country to another foreign country.For purposes of the EAR, the export or reexport ofitems subject to the EAR that will transit througha country or countries, or be transshipped in acountry or countries to a new country, or areintended for reexport to the new country, aredeemed to be exports to the new country. (See§734.2(b)of the EAR.) In addition, for purposesof satellites controlled by the Department of Com-merce, the term "reexport" also includes the



transfer of registration of a satellite or operationalcontrol over a satellite from a party resident in onecountry to a party resident in another country.

Replacement license. An authorization by theBureau of Export Administration revising theinformation, conditions, or riders stated on alicense issued by BXA. See §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 peculiarlyresponsible for achieving or extending thecontrolled performance levels, characteristics orfunctions. Such "required" "technology" or"software" may be shared by different products.For example, assume product "X" is controlled ifit operates at or above 400 MHz and is notcontrolled if it operates below 400 MHz. Ifproduction technologies "A", "B", and "C" allowproduction at no more than 399 MHz, thentechnologies "A", "B", and "C" are not "required"to produce the controlled product "X". Iftechnologies "A", "B", "C", "D", and "E" are usedtogether, a manufacturer can produce product "X"that does not operate at or above 400 MHz. Inthis example, technologies "D" and "E" are"required" to make the controlled product and arethemselves controlled under the GeneralTechnology Note. (See the General TechnologyNote.)

"Resolution". (Cat 2)--The least increment of ameasuring device; on digital instruments, the leastsignificant bit (Ref.: ANSI B-89.1.12).

Return Without Action (RWA). An applicationmay be RWA'd for one of the following reasons:

(a) The applicant has requested the applicationbe returned;

(b) A License Exception applies;

(c) The items are not under Department of

Commerce jurisdiction;

(d) Required documentation has not beensubmitted with the application; or

(e) The applicant cannot be reached afterseveral attempts to request additional informationnecessary for processing of the application.

"Robot". (Cat 2 and 8)--A manipulationmechanism, which may be of the continuous pathor of the point-to-point variety, may use "sensors",and has all the following characteristics:

(a) Is multifunctional;

(b) Is capable of positioning or orientingmaterial, parts, tools or special devices throughvariable movements in a three dimensional space;

(c) Incorporates three or more closed or openloop servo-devices that may include steppingmotors; and

(d) Has "user-accessible programmability" bymeans of teach/playback method or by means ofan electronic computer that may be aprogrammable logic controller, i.e., withoutmechanical intervention.

Note: This definition does not include thefollowing devices:

(a) Manipulation mechanisms that are onlymanually/teleoperator controllable;

(b) Fixed sequence manipulationmechanisms that are automated moving devices,operating according to mechanically fixedprogrammed motions. The progr am ismechanically limited by fixed stops, such as pinsor cams. The sequence of motions and theselection of paths or angles are not variable orchangeable by mechanical, electronic or electricalmeans;



(c) Mechanically controlled variablesequence manipulation mechanisms that areautomated moving devices, operating according tomechanically fixed programmed motions. Theprogram is mechanically limited by fixed, butadjustable stops, such as pins or cams. Thesequence of motions and the selection of paths orangles are variable within the fixed programpattern. Variations or modifications of theprogram pattern (e.g., changes of pins orexchanges of cams) in one or more motion axesare accomplished only through mechanicaloperations;

(d) Non-servo-controlled variable sequencemanipulation mechanisms that are automatedmoving devices, operat ing according tomechanically fixed programmed motions. Theprogram is variable, but the sequence proceedsonly by the binary signal from mechanically fixedelectrical binary devices or adjustable stops;

(e) Stacker cranes defined as Cartesiancoordinate manipulator systems manufactured asan integral part of a vertical array of storage binsand designed to access the contents of those binsfor storage or retrieval.

"Rotary Atomization". (Cat 1)--A process toreduce a stream or pool of molten metal todroplets to a diameter of 500 micrometer or lessby centrifugal force.

Routed export transaction. A transaction wherethe foreign principal party in interest authorizes aU.S. forwarding or other agent to facilitate exportof items from the United States.

"Run-out". (out-of-true running) (Cat 2)--Radialdisplacement in one revolution of the mainspindle measured in a plane perpendicular to thespindle axis at a point on the external or internalrevolving surface to be tested (Ref.: ISO 230 Part1-1986, paragraph 5.61).

"SHPL.” (Cat 6) is equivalent to "Super High

Power Laser", see definition for “super highpower laser.”

SNEC. See Subgroup on Nuclear ExportCoordination.

"Scale factor". (gyro or accelerometer) (Cat7)--The ratio of change in output to a change inthe input intended to be measured. Scale factor isgenerally evaluated as the slope of the straight linethat can be fitted by the method of least squares toinput-output data obtained by varying the inputcyclically over the input range.

Schedule B numbers. The commodity numbersappearing in the current edition of the Bureau ofthe Census publication, Schedule B StatisticalClassification of Domestic and ForeignCommodities Exported from the United States.(See part 758 of the EAR for information on useof Schedule B numbers.)

"Settling time". (Cat 3)--The time required for theoutput to come within one-half bit of the finalvalue when switching between any two levels ofthe converter.

Shield. Chaired by the Department of State, theShield primarily reviews applications involvingitems controlled for Chemical and BiologicalWeapons (CBW) reasons. The Shield alsoreviews applications involving items notcontrolled for CBW reasons, but destined for acountry and/or end-use/end-user of concern. See§750.4 of the EAR.

"Signal analyzers". (Cat 3)--Apparatus capable ofmeasuring and displaying basic properties of thesingle-frequency components of multi-frequencysignals.

"Signal analyzers". (dynamic) (Cat 3)--(See"Dynamic signal analyzers".)

!"Signal processing". (Cat 3, 4, 5, and 6)--Thep r o c e s s i n g o f e x t er n a l l y d e r i v e d



information-bearing signals by algorithms such astime compression, f iltering, extraction, selection,correlation, convolution or transformationsbetween domains (e.g., fast Fourier transform orWalsh transform).

Single shipment. All items moving at the sametime from one exporter to one consignee orintermediate consignee on the same exportingcarrier, even if these items will be forwarded toone or more ultimate consignees. Items beingtransported in this manner shall be treated as asingle shipment even if the items represent morethan one order or are in separate containers.

"Software". (Cat: all)--A collection of one or more"programs" or "microprograms" fixed in anytangible medium of expression.

!"Source code". (or source language) (Cat 4, 5, 6,7, and 9)--A convenient expression of one or moreprocesses that may be turned by a programmingsystem into equipment executable form ("objectcode" (or object language)).

"Spacecraft". (Cat 7 and 9)--Active and passivesatellites and space probes.

"Space qualified". (Cat 3 and 6)--Productsdesigned, manufactured and tested to meet thespecial electrical, mechanical or environmentalrequirements for use in the launch and deploymentof satellites or high-altitude flight systemsoperating at altitudes of 100 km or higher.

! "Special fissile material.” (Cat 0) meansplutonium-239, uranium-233, "uranium enrichedin the isotopes 235 or 233", and any materialcontaining the foregoing.

Note: As defined by 10 CFR 110.2 of theNuclear Regulatory Commission Regulations,“Special fissile material” means: plutonium,uranium-233 or uranium enriched above 0.711percent by weight in the isotope uranium-235.

Specially Designated National (SDN). Anyperson who is determined by the Secretary of theTreasury to be a specially designated national forany reason under regulations issued by the Officeof Foreign Assets Control (see 31 CFR parts 500through 590).

Specially Designated Terrorist (SDT). Anyperson who is determined by the Secretary of theTreasury to be a specially designated terroristunder notices or regulations issued by the Officeof Foreign Assets Control (see 31 CFR chapterV).

"Specially designed". (MTCR context)--Equipment, parts, components or "software" that,as a result of "development", have uniqueproperties that distinguish them for certainpredetermined purposes. For example, a piece ofequipment that is "specially designed" for use ina "missile" will only be considered so if it has noother function or use. Similarly, a piece ofmanufacturing equipment that is "speciallydesigned" to produce a certain type of componentwill only be considered such if it is not capable ofproducing other types of components.

"Specific modulus". (Cat 1)--Young's modulus inpascals, equivalent to N/m2 divided by specificweight in N/m3, measured at a temperature of (296± 2) K ((23 ± 2)° C) and a relative humidity of (50± 5)%.

"Specific tensile strength". (Cat 1)--Ultimatetensile strength in pascals, equivalent to N/m2

divided by specific weight in N/m3, measured at atemperature of (296 ± 2) K ((23 ± 2)° C) andrelative humidity of (50 ± 5)%.

"Spectral efficiency". (Cat 5)--A figure of meritparametrized to characterize the efficiency oftransmission system that uses complex modulationschemes such as QAM (quadrature amplitudemodulation), Trellis coding, QSPK (Q-phasedshift key), etc. It is defined as follows:



"Spectral efficiency" = Digital transfer rate " (bits/second)

------------------------------------------------ 6 dB spectrum bandwidth (Hz).

"Splat Quenching". (Cat 1)--A process to "solidifyrapidly" a molten metal stream impinging upon achilled block, forming a flake-like product.


"Spread spectrum". (Cat 5)--The techniquewhereby energy in a relatively narrow-bandcommunication channel is spread over a muchwider energy spectrum.

"Spread spectrum radar". (Cat 6)--(see "Radarspread spectrum")

"Sputtering". (Cat 4)--An overlay coating processwherein positively charged ions are accelerated byan electric field towards the surface of a target(coating material). The kinetic energy of theimpacting ions is sufficient to cause target surfaceatoms to be released and deposited on thesubstrate.

Note: Triode, magnetron or radio frequencysputtering to increase adhesion of coating and rateof deposition are ordinary modifications of theprocess.

"Stability". (Cat 7)--Standard deviation (1 sigma)of the variation of a particular parameter from itscalibrated value measured under stabletemperature conditions. This can be expressed asa function of time.

"Stored program controlled". (Cat 2, 3, and 5)--Acontrol using instructions stored in an electronicstorage that a processor can execute in order todirect the performance of predeterminedfunctions.

Note: Equipment may be "stored programcontrolled" whether the electronic storage isinternal or external to the equipment.Strategic partner (of a U.S. company). As appliedto encryption items, means a foreign-based entitythat:

(a) Has a business need to share the proprietaryinformation 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 orrecurring contractual relations).

Subgroup on Nuclear Export Coordination(SNEC). Chaired by the Department of State, theSNEC primarily reviews applications involvingitems controlled for nuclear nonproliferation (NP)reasons. The SNEC also reviews applicationsinvolving items not controlled for NP reasons, butdestined for a country and/or end-use/end-user ofNP concern.

Subject to the EAR. A term used in the EAR todescribe those commodities, software, technology,and activities over which the Bureau of ExportAdministration (BXA) exercises regulatoryjurisdiction under the EAR (See §734.2(a) of theEAR).

"Substrate". (Cat 3)--A sheet of base material withor without an interconnection pattern and onwhich or within which "discrete components" orintegrated circuits or both can be located.

Note: "Discrete component": a separatelypackaged "circuit element" with its own externalconnections.

"Substrate blanks". (Cat 6)--Monolithiccompounds with dimensions suitable for theproduction of optical elements such as mirrors oroptical windows.

!"Superalloy". (Cat 2 and 9)--Nickel-, cobalt-, or



iron-base alloys having strengths superior to anyalloys in the AISI 300 series at temperatures over922 K (694 degrees C) under severeenvironmental and operating conditions.

"Superconductive". (Cat 1, 3, 6, and 8)--Materials, i.e., metals, alloys, or compounds thatcan lose all electrical resistance, i.e., that canattain infinite electrical conductivity and carryvery large electrical currents without Jouleheating.

Note: The "superconductive" state of a materialis individually characterized by a "criticaltemperature", a critical magnetic field that is afunction of temperature, and a critical currentdensity that is a function of both magnetic fieldand temperature.

"Super High Power Laser". (SHPL) (Cat 6)--A"laser" capable of delivering (the total or anyportion of) the output energy exceeding 1 kJwithin 50 ms or having an average or CW powerexceeding 20 kW.

"Superplastic forming". (Cat 1 and 2)--Adeformation process using heat for metals that arenormally characterized by low elongation (lessthan 20%) at the breaking point as determined atroom temperature by conventional tensile strengthtesting, in order to achieve elongations duringprocessing that are at least 2 times those values.

“Symmetric algorithm”. (Cat 5, part II) Acryptographic algorithm using an identical key forboth encryption and decryption. A common useof "symmetric algorithms" is confidentiality ofdata.

"Systems tracks". (Cat 6)--Processed, correlated(fusion of radar target data to flight plan position)and updated aircraft flight position reportavailable to the Air Traffic Control centercontrollers.

"Systolic array computer". (Cat 4)--A computer

where the flow and modification of the data isdynamically controllable at the logic gate level bythe user.

"Technology". (General Technology Note)--Specific information necessary for the"development", "production", or "use" of aproduct. The information takes the form of"technical data" or "technical assistance".Controlled "technology" is defined in the GeneralTechnology Note and in the Commerce ControlList (Supplement No. 1 to part 774 of the EAR).

N.B.: Technical assistance--May take formssuch as instruction, skills training, workingknowledge, consulting services.

Note: "Technical assistance" may involvetransfer of "technical data".

"Technical data".--May take forms such asblueprints, plans, diagrams, models, formulae,tables, engineering designs and specifications,manuals and instructions written or recorded onother media or devices such as disk, tape,read-only memories.

"Terminal interface equipment". (Cat 4)--Equipment at which information enters or leavesthe telecommunication systems, e.g., telephone,data device, computer, facsimile device.

"Three dimensional Vector Rate". (Cat 4)--Thenumber of vectors generated per second that have10 pixel poly line vectors, clip tested, randomlyoriented, with either integer or floating pointX-Y-Z coordinate values (whichever produces themaximum rate).

"Tilting spindle". (Cat 2)--A tool-handling spindlethat alters, during the machining process, theangular position of its center line with respect toany other axis.

"Time constant". (Cat 6)--The time taken from theapplication of a light stimulus for the current



increment to reach a value of 1-1/e times the finalvalue (i.e., 63% of the final value).

!"Total control of flight.” (Cat 7) means anautomated control of "aircraft" state variables andflight path to meet mission objectives respondingto real time changes in data regarding objectives,hazards or other "aircraft.”

"Total digital transfer rate". (Cat 5)--The numberof bits, including line coding, overhead and soforth per unit time passing between correspondingequipment in a digital transmission system. (Seealso "digital transfer rate".)

!"Toxins.” (Cat 1 and 2) means toxins in the formof deliberately isolated preparations or mixtures,no matter how produced, other than toxins presentas contaminants of other materials such aspathological specimens, crops, foodstuffs or seedstocks of "microorganisms.”

Transfer. A transfer to any person of itemssubject to the EAR either within the United Statesor outside of the United States with the knowledgeor intent that the items will be shipped,transferred, or transmitted to an unauthorizedrecipient.

"Transfer laser". (Cat 6)--A "laser" in which thelasting species is excited through the transfer ofenergy by collision of a non-lasing atom ormolecule with a lasing atom or molecule species.

"Tunable". (Cat 6)--The ability of a "laser" toproduce a continuous output at all wavelengthsover a range of several "laser" transitions. A lineselectable "laser" produces discrete wavelengthswithin one "laser" transition and is not considered"tunable".

U.S. person.

(a) For purposes of §§744.6, 744.10, and 744.11of the EAR, the term U.S. person includes:

(1) Any individual who is a citizen of theUnited States, a permanent resident alien of theUnited States, or a protected individual as definedby 8 U.S.C. 1324b(a)(3);

(2) Any juridical person organized under thelaws of the United States or any jurisdictionwithin the United States, including foreignbranches; and

(3) Any person in the United States.

(b) See also §§740.9 and 740.14, and parts 746and 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. entityin which:

(1) The U.S. entity beneficially owns orcontrols (whether directly or indirectly) 25percent or more of the voting securities of theforeign subsidiary or entity, if no other personsowns 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 exclusivemanagement contract; or

(3) A majority of the members of the board ofdirectors of the foreign subsidiary or entity alsoare members of the comparable governing body ofthe U.S. entity; or

(4) The U.S. entity has the authority to appointthe majority of the members of the board ofdirectors of the foreign subsidiary or entity; or

(5) The U.S. entity has the authority to appointthe chief operating officer of the foreign



subsidiary or entity. Ultimate consignee. The principal party in interestlocated abroad who receives the exported orreexported items. The ultimate consignee is not aforwarding agent or other intermediary, but maybe the end-user.

United States. Unless otherwise stated, the 50States, including offshore areas within theirjurisdiction pursuant to section 3 of theSubmerged Lands Act (43 U.S.C. 1311), theDistrict of Columbia, Puerto Rico, and allterritories, dependencies, and possessions of theUnited States, including foreign trade zonesestablished pursuant to 19 U.S.C. 81A-81U, andalso including the outer continental shelf, asdefined in section 2(a) of the Outer ContinentalShelf Lands Act (43 U.S.C. 1331(a)).

United States airline. Any citizen of the UnitedStates who is authorized by the U.S. Governmentto engage in business as an airline. For purposesof this definition, a U.S. citizen is:

(a) An individual who is a citizen of theUnited States or one of its possessions; or

(b) A partnership of which each member issuch an individual; or

(c) A corporation or association created ororganized under the laws of the United States, orof any State, Territory, or possession of the -United States, of which the president andtwo-thirds of the board of directors and othermanaging officers thereof are such individuals andin which at least 75 percent of the voting interestis owned or controlled by persons who are citizensof the United States or of one of its possessions.

"Usable in or Capable of". (MTCRcontext)--Equipment, parts, components or"software" that are suitable for a particularpurpose. There is no need for the equipment,parts, components or "software" to have been

configured, modified or specified for theparticular purpose. For example, any militaryspecification memory circuit would be "capableof" operation in a guidance system.

!"Use". (All categories and General TechnologyNote)--Operation, installation (including on-siteinstallation), maintenance (checking), repair,overhaul and refurbishing.

"User-accessible programmability". (Cat 4, 5, and6)--The facility allowing a user to insert, modify,or replace "programs" by means other than:

(a) A physical change in wiring orinterconnections; or

(b) The setting of function controls includingentry of parameters.

Utilization facility. (a) As defined by 10 CFR110.2 of the Nuclear Regulatory CommissionRegulations, utilization facility means a nuclearreactor, other than one that is a productionfacility, any of the following major components ofa nuclear reactor: Pressure vessels designed tocontain the core of a nuclear reactor, other thanone that is a production facility, and the followingmajor components of a nuclear reactor:

(1) Primary coolant pumps;

(2) Fuel charging or discharging machines;and

(3) Control rods. Utilization facility doesnot include the steam turbine generator portion ofa nuclear power plant.

"Vacuum Atomization". (Cat 1)--A process toreduce a molten stream of metal to droplets of adiameter of 500 micrometer or less by the rapidevolution of a dissolved gas upon exposure to avacuum.

"Variable geometry airfoils". (Cat 7)--Use trailing



edge flaps or tabs, or leading edge slats or pivotednose droop, the position of which can becontrolled in flight.

"Vector Rate". (Cat 4)--See: "Two dimensionalVector Rate"; "Three dimensional Vector Rate".

You. Any person, including a natural person,

including a citizen of the United States or anyforeign country; any firm; any government,government agency, government department, orgovernment commission; any labor union; anyfraternal or social organization; and any otherassociation or organization whether or notorganized for profit.

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