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BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-56707; File No. SR-Amex-2007-111] Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enable Settlements of Disciplinary Matters To Be Considered for Approval or Rejection by Exchange Hearing Officers Without the Need To Convene a Formal Hearing October 26, 2007. Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on October 19, 2007, the American Stock Exchange LLC (“Amex” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I and II below, which Items have been substantially prepared by Amex.
The Exchange filed the proposal as a “non-controversial” rule change pursuant to section 19(b)(3)(A)(iii) of the Act 3 and Rule 19b-4(f)(6) thereunder, 4 which renders the proposal effective upon receipt of this filing by the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 15 U.S.C. 78s(b)(3)(A)(iii). 4 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to adopt changes to sections 1 and 2 of Article V of the Exchange's Constitution;
Rule 345 of the Exchange's “Office Rules”; and Rules 2(a), 2(b) and 8 of the Exchange's “Rules of Procedure in Disciplinary Matters” in order to enable settlements of disciplinary matters to be considered for approval or rejection by Exchange hearing officers without the need to convene a formal hearing. The text of the proposed rule change is available on the Amex's Web site at *http://www.amex.com* , the Office of the Secretary, the Amex and at the Commission's Public Reference Room.
II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, Amex included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. Amex has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.
A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange is proposing amendments to sections 1 and 2 of Article V of the Exchange's Constitution; Rule 345 of the Exchange's Office Rules; and Rules 2(a), 2(b) and 8 of the Exchange's Rules of Procedure in Disciplinary Matters in order to streamline the handling of settlements of disciplinary matters by permitting such matters to be addressed by a single Exchange hearing officer, who shall either approve or reject the settlement, without being required to convene a formal hearing.
Under current Amex rules, settlements of disciplinary proceedings are handled as follows: Should a member, member organization, approved person, or a registered or non-registered employee or prospective employee of a member or member organization (each a “respondent”), on one side, and enforcement staff of the Exchange, on the other side, enter into a stipulation of facts and consent to a specified penalty (a “Stipulation”), a formal hearing before an Exchange Disciplinary Panel (“Panel”), which may act solely through its Chair, must be convened to consider the Stipulation.
Prior to that hearing, the Chair is provided with an enforcement staff memorandum outlining the Stipulation and analyzing how the agreed upon sanctions in the Stipulation are consistent with the Exchange Sanctions Guidelines and relevant precedent. 5 The subsequent hearings generally are conducted by telephone and consist of the respondent's counsel and enforcement staff affirming support for the Stipulation. After considering the presentation, the Chair issues a written decision either
(i)approving the Stipulation,
(ii)rejecting the Stipulation, if the Chair considers the penalty too lenient, or
(iii)imposing a lesser penalty than that contained in the Stipulation, if the Chair considers the agreed upon penalty too severe. 5 The respondent's counsel (or the respondent, in the event he is not represented) is also concurrently provided with a copy of the memorandum. The above process has proven more time consuming than the Exchange believes necessary. It typically takes several months to schedule the hearing as a result of various scheduling conflicts among the parties involved, yet the hearing itself only takes a few minutes and is more formal than substantive, given the negotiated settlement and submission of the detailed enforcement staff memorandum in advance of the hearing. Therefore, in order to streamline the process, the Exchange is proposing to modify its rules to allow a Stipulation to be accepted or rejected by a hearing officer without conducting a formal hearing. Further, the Exchange is also proposing that the Chair's power to impose a lesser penalty than that contained in a Stipulation be eliminated as unnecessary, in view of the fact that the Amex Adjudicatory Counsel, in any event, still retains the right to impose a lower sanction if it exercises its right to call the Chair's acceptance or rejection of the Stipulation for review. In summary, the new proposed Stipulation consideration procedure will differ from current practice in only two substantive respects:
(i)No formal hearing will now take place before the Chair, as a single hearing officer can consider the Stipulation without a formal hearing; and
(ii)if a hearing officer deems a penalty in a Stipulation to be too severe, he will now reject the Stipulation, rather than propose a lesser penalty. The Exchange anticipates that these changes will provide a more efficient and expedient process for resolution of Exchange disciplinary matters, without compromising the quality of the process. In addition, Amex proposes certain non-substantive “housekeeping” changes, including elimination of repetitive or unnecessary phrasing; creation of certain defined terms for ease of reference ( *i.e.* , “Stipulation”); and addition of rule cross-references. 2. Statutory Basis The proposed rule change is consistent with sections 6(b)(6), 6(b)(7) and 6(d) of the Act 6 in that it is designed to ensure that members and persons associated with members of the Exchange shall be appropriately disciplined for violation of the securities laws, the rules or regulations thereunder, or the rules of the Exchange; provide a fair procedure for imposition of such discipline; and ensure that a record is kept of such proceedings. 6 15 U.S.C. 78f(b)(6), 78f(b)(7), and 78f(d). B. Self-Regulatory Organization's Statement on Burden on Competition The proposed rule change does not impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change does not:
(A)Significantly affect the protection of investors or the public interest;
(B)impose any significant burden on competition; and
(C)by its terms, become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, if consistent with the protection of investors and the public interest, it has become effective pursuant to Section 19(b)(3)(A) of the Act 7 and Rule 19b-4(f)(6) thereunder. 8 7 15 U.S.C. 78s(b)(3)(A). 8 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii) requires that a self-regulatory organization submit to the Commission written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Commission notes that Amex has satisfied the five-day pre-filing notice requirement. A proposed rule change filed under Rule 19b-4(f)(6) normally may not become operative prior to 30 days after the date of filing. However, Rule 19b-4(f)(6)(iii) permits the Commission to designate a shorter time if such action is consistent with the protection of investors and the public interest. The Exchange has requested that the Commission waive the 30-day operative delay. The Commission believes that the proposed amendments should allow the Exchange to settle disciplinary matters more efficiently, without affecting the rights of respondents in any significant manner. In addition, the Exchange's non-substantive changes should help make Amex rules clearer and easier for readers to understand. The Commission believes that for these reasons, waiving the 30-day operative delay is consistent with the protection of investors and the public interest. Therefore, the Commission designates the proposed rule change to be operative upon filing with the Commission. 9 9 For purposes only of waiving the 30-day operative delay, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. *See* 15 U.S.C. 78c(f). At any time within 60 days of the filing of such proposed rule change, the Commission may summarily abrogate such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. IV. Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ); or • Send an e-mail to *rule-comments@sec.gov.* Please include File Number SR-Amex-2007-111 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-Amex-2007-111. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of such filing also will be available for inspection and copying at the principal office of Amex. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-Amex-2007-111 and should be submitted on or before November 26, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 10 10 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-21632 Filed 11-2-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-56721; File No. SR-ISE-2007-91] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to API Fees October 30, 2007. Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on October 1, 2007, the International Securities Exchange, LLC (“ISE” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by the Exchange. On October 29, 2007, the Exchange filed Amendment No. 1 to the proposed rule change. 3 ISE has designated this proposal as one establishing or changing a due, fee, or other charge imposed by the Exchange under section 19(b)(3)(A), 4 and Rule 19b-4(f)(2) thereunder, 5 which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change, as modified by Amendment No. 1, from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 Amendment No. 1 made clarifying changes to the original filing and attached a revised Exhibit 5, to reflect intervening changes to the Exchange's Schedule of Fees that were made between the filing of the original proposed rule change and the submission of Amendment No. 1. 4 15 U.S.C. 78s(b)(3)(A). 5 17 CFR 240.19b-4(f)(2). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change ISE proposes to amend its Schedule of Fees regarding the Exchange's API or login fees. The text of the proposed rule change is available at the Exchange, the Commission's Public Reference Room, and *http://www.ise.com.* II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, ISE included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposal. The text of these statements may be examined at the places specified in Item IV below. ISE has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose ISE charges its market makers a fee for each login that a member utilizes for quoting or order entry, with a lesser charge for logins used for the limited purpose of “listening” to system broadcasts. 6 ISE currently has the following categories of authorized logins:
(1)Quoting, order entry and listening (allowing the user to enter quotes, orders, and perform all other miscellaneous functions, such as setting parameters, pulling quotes and performing linkage functions ( *e.g.* , sending and receiving P and P/A orders, laying off orders, etc.));
(2)order entry and listening (allowing the user to enter orders and perform all other miscellaneous functions, such as setting parameters, pulling quotes and performing linkage functions (but not quote)); and
(3)listening (allowing the user only to query the system and to respond to other broadcasts). 7 6 *See* Securities Exchange Act Release No. 53522 (March 20, 2006), 71 FR 14975 (March 24, 2006) (SR-ISE-2006-09). 7 *Id.* An ISE market maker currently receives an allocation of 1,000,000 quotes per day per user. If a firm submits more quotes than those allocated, *i.e.* , 1,000,000 quotes per day per user as measured on an average in a single month, the firm is charged for additional users depending upon the number of quotes submitted. Each month, the total number of quotes submitted by a market maker firm across all bins ( *i.e.* , group of options to which the market maker is appointed), is divided by the number of trading days, resulting in the average quotes per day. This number is then divided by 1,000,000 and rounded up to the nearest whole number, resulting in an implied number of users based on quotes. Members are invoiced on a monthly basis for the greater of a) the greatest number of users authorized to login into the system, or b) the number of implied users based on quotes. The Exchange also previously adopted an additional category, a “High Throughput User,” that permits a market maker to quote up to 2,000,000 quotes per day in a month. 8 A High Throughput User is able to enter quotes, orders, and perform all other miscellaneous functions, such as setting parameters, pulling quotes and performing linkage functions ( *e.g.* , sending and receiving P and P/A orders, laying-off orders, etc.). 9 8 *See* Securities Exchange Act Release No. 55941 (June 21, 2007), 72 FR 35535 (June 28, 2007) (SR-ISE-2007-36). 9 *Id.* ISE currently charges market makers $950 per month for each quoting session for up to 1,000,000 quotes per day, on average for a month. Market makers are charged an additional user fee of $950 for each incremental usage of up to 1,000,000 quotes per day per user. For High Throughput Users, ISE charges a fee of $1,900 per month. High Throughput User market makers are charged an additional user fee of $1,900 for each incremental usage of up to 2,000,000 quotes per day per user. The Exchange now proposes to increase the allocation of quotes per day per user from 1,000,000 to 1,300,000 for non-High Throughput Users and from 2,000,000 to 2,600,000 for High Throughput Users. As a result, under this proposed rule change, market makers will continue to be charged $950 per month for each quoting session for up to 1,300,000 quotes per day, with an additional user fee of $950 for each incremental usage of up to 1,300,000 quotes per day per user. For High Throughput Users, the fee will continue to be $1,900 per month for each quoting session for up to 2,600,000 quotes per day, with an additional user fee of $1,900 for each incremental usage of up to 2,600,000 quotes per day per user. Finally, ISE represents that the proposed increase in the allocation of quotes per day per user will not have an adverse effect on capacity on the Exchange. 2. Statutory Basis The basis under section 6(b) of the Act 10 for this proposed rule change is the requirement under section 6(b)(4) 11 that an exchange have an equitable allocation of reasonable dues, fees and other charges among its members and other persons using its facilities. The Exchange has had numerous conversations with its market makers and believes that, in light of the increased number of quotes as a result of the penny pilot, an increase in the allocation of quotes per day per user is necessary and warranted. 10 15 U.S.C. 78f(b). 11 15 U.S.C. 78f(b)(4). B. Self-Regulatory Organization's Statement on Burden on Competition ISE does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to section 19(b)(3)(A)(ii) of the Act 12 and subparagraph (f)(2) of Rule 19b-4 thereunder, 13 since it establishes or changes a due, fee or other charge imposed by the Exchange. At any time within 60 days of the filing of such proposed rule change, the Commission may summarily abrogate such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in the furtherance of the purposes of the Act. 14 12 15 U.S.C. 78s(b)(3)(A)(ii). 13 17 CFR 240.19b-4(f)(2). 14 for purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change under *section* 19(b)(3)(C) of the Act, the Commission considers the period to commence on October 29, 2007, the date on which ISE filed Amendment No. 1. *See* 15 U.S.C. 78s(b)(3)(C). IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ); or • Send an e-mail to *rule-comments@sec.gov.* Please include File Number SR-ISE-2007-91 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington DC 20549-1090. All submissions should refer to File Number SR-ISE-2007-91. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of such filing also will be available for inspection and copying at the principal office of ISE. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File No. SR-ISE-2007-91 and should be submitted on or before November 26, 2007. 15 17 CFR 200.30-3(a)(12). For the Commission, by the Division of Market Regulation, pursuant to elegated authority. 15 Florence E. Harmon, Deputy Secretary. [FR Doc. E7-21662 Filed 11-2-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-56711; File No. SR-NYSE-2007-83] Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Relating to NYSE Rule 104.10 (“Dealings by Specialists”) October 26, 2007. On September 14, 2007, the New York Stock Exchange LLC (“NYSE” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 a proposed rule change to
(i)extend the duration of its pilot program applicable to “Conditional Transactions” as defined in NYSE Rule 104.10 (“Dealings by Specialists”) to March 31, 2008 3 ;
(ii)remove the “active securities” 4 limitation on Conditional Transactions that establish or increase a specialist's position and reach across the market to transact with the NYSE's published quote; and
(iii)make certain conforming changes to NYSE Rule 104.10(5). The proposed rule change was published for comment in the **Federal Register** on September 25, 2007. 5 The Commission received no comments on the proposal. This order approves the proposed rule change. 1 15 U.S.C 78s(b)(1). 2 17 CFR 240.19b-4. 3 A “Conditional Transaction” is defined as a specialist transaction in an active security that establishes or increases a position and reaches across the market to trade as the contra-side to the Exchange published bid or offer. *See* NYSE Rule 104.10(6)(ii) (which is renumbered pursuant to this proposal as NYSE Rule 106.10(6)(i)). 4 Original NYSE Rule 104.10(6)(i) defines “active securities” as:
(a)*Securities* comprising the S&P 500 Index;
(b)securities traded on the Exchange during the first five trading days following their initial public offering; and
(c)securities that have been designated as “active” by a Floor Official pursuant to the parameters set forth in the rule. In general, a governing Floor Official may designate a security as “active” by determining, among other things, that the security in question has exhibited substantially greater than normal trading volume and is likely to continue to sustain such higher volume during the remainder of the trading session. 5 *See* Securities Exchange Act Release No. 56455 (September 18, 2007), 72 FR 54499 (“Notice”). I. Description of the Proposal NYSE Rule 104 governs specialist dealings and includes, among other things, restrictions upon specialists' ability to trade as dealer in the stocks in which he or she is registered. Under NYSE Rule 104(a), specialists are not permitted to effect transactions on the Exchange for their proprietary accounts in any security in which the specialist is registered, “unless such dealings are reasonably necessary to permit such specialist to maintain a fair and orderly market * * *.” This restriction is known as the “negative obligation.” In particular, NYSE Rules 104.10(5) and
(6)expand upon the negative obligation with respect to specific types of proprietary transactions. In December 2006, as part of extensive amendments to its specialist stabilization rules, the Exchange implemented a pilot program allowing specialists to execute transactions in active securities that establish or increase a position and reach across the market to trade as the contra-side to the Exchange published bid or offer (Conditional Transactions) without restriction as to price or Floor Official approval, provided that the specialist appropriately re-enters on the opposite side of the market in a size commensurate with the specialist's Conditional Transaction. 6 NYSE issued guidelines called “Price Participation Points” (“PPPs”) that identify the price at or before which a specialist is expected to re-enter the market after effecting one or more Conditional Transactions. PPPs are minimum guidelines only and compliance with them does not guarantee that a specialist is meeting its obligations. Under the pilot program, certain Conditional Transactions require the specialist to immediately re-enter, or re-enter as the specialist's next available quoting or trading action, regardless of the PPP. 7 For example, immediate re-entry may be required based on the price and/or volume of the specialist's Conditional Transaction(s) in reference to the market in the security at the time of such trading. The fact that there may have been one or more independent trades following the specialist's Conditional Transaction does not, by itself, eliminate the need for immediate re-entry when otherwise appropriate. In addition, immediate re-entry is required after a Conditional Transaction:
(a)Of 10,000 shares or more or a quantity of stock with a market value of $200,000 or more; and
(b)which exceeds 50% of the published bid or offer size (as relevant). 8 6 *See* Securities Exchange Act Release No. 54860 (December 1, 2006), 71 FR 71221 (December 8, 2006) (SR-NYSE-2006-76). The operation of the pilot was subsequently extended two times, first until September 30, 2007 and then until the earlier of
(i)December 31, 2007 or
(ii)the approval by the Commission of this proposed rule change. *See* Securities Exchange Act Release Nos. 55995 (June 29, 2007), 72 FR 37288 (July 9, 2007) (SR-NYSE-2007-58); and 56554 (September 27, 2007), 72 FR 56419 (October 3, 2007) (SR-NYSE-2007-84). 7 *See* NYSE Rule 106.10(6)(iv) (which is renumbered pursuant to the proposal as NYSE Rule 106.10(6)(iii)). 8 *See* NYSE Rule 106.10(6)(iv)(c)(I) and
(II)(which are renumbered pursuant to the proposal as NYSE Rule 106.10(6)(iii)(c)(I) and (II)). Specialists currently are not permitted to establish or increase a position in “inactive securities” 9 by reaching across the market to purchase the offer at a price that is above the last sale price on the Exchange or sell to the bid at a price that below the last sale price on the Exchange, unless such specialist trade is reasonably necessary to render the specialist's position adequate to the immediate and reasonably anticipated needs of the market and approved by a Floor Official. Further, for inactive securities, specialists currently are not permitted to purchase more than 50% of the stock offered at a price that is equal to the last sale price when the last sale price was higher than the last differently priced regular way sale, unless such trade is approved by a Floor Official. Specialists must re-enter the market when reasonably necessary after effecting such trades. 10 9 “Inactive securities” are securities that do not fall within NYSE's definition of active securities. *See supra* note 4. 10 *See* NYSE Rule 106.10(5)(b)(I). The Exchange is now proposing to extend its pilot program applicable to Conditional Transactions to March 31, 2008 and remove the “active securities” restriction included in the pilot, enabling specialists to execute Conditional Transactions in all securities traded on the NYSE. 11 The Exchange will continue to apply its PPP guidelines, and specialists will continue to be required to meet the re-entry obligations of NYSE Rule 104.10(6). In addition, specialists will continue to be subject to their negative obligation. 11 During the pilot, the restrictions currently in effect for inactive securities pursuant to NYSE Rule 106.10(5)(b) will be suspended. II. Discussion and Commission Findings After careful consideration, the Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange 12 and, in particular, the requirements of Section 6 of the Act. 13 Specifically, the Commission finds that the proposed rule change is consistent with Section 6(b)(5) of the Act, 14 which requires, among other things, that the rules of a national securities exchange be designed to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in regulating, clearing, settling, and processing information with respect to, and facilitating transactions in securities, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest. Finally, the Commission believes the proposal is consistent with the principles set forth in Section 11A of the Act 15 and the requirements of Rule 11b-1 under the Act. 16 12 In approving this proposed rule change, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). 13 15 U.S.C. 78f. 14 15 U.S.C. 78f(b)(5). 15 15 U.S.C. 78k-1. 16 17 CFR 240.11b-1. Specialists' dealer activities are governed, in part, by the negative and affirmative trading obligations. Rule 11b-1 under the Act requires exchanges that permit members to register as specialists to have rules governing specialists' dealer transactions so that their proprietary trades conform to the negative and affirmative obligations. The negative obligations as set forth in Rule 11b-1 under the Act require that a specialist's dealings be restricted, so far as practicable, to those reasonably necessary to permit a fair and orderly market. 17 The affirmative obligation as set forth in Rule 11b-1 under the Act requires a specialist to engage in a course of dealings for its own account to assist in the maintenance, so far as practicable, of a fair and orderly market. 18 NYSE has adopted these obligations in its Rule 104, which includes restrictions on when specialists may effect certain transactions. 17 17 CFR 240.11b-1(a)(2)(iii). 18 17 CFR 240.11b-1(a)(2)(ii). In connection with the Commission's approval of amendments to the Exchange's stabilization rules, including the implementation of Exchange's current pilot program for Conditional Transactions, the Commission eliminated the trade-by-trade standard previously applied to specialist trades for the purpose of determining whether such trade was “reasonably necessary” in accordance with the negative obligation. 19 The Commission noted that increased automation and competition—both within the Hybrid Market and in the markets generally—are significant factors, among others, that affect the ability of specialists to make trade-by-trade analysis regarding their negative obligation, and found that permitting specialists to consider the reasonable necessity of their transactions under negative obligations without a transaction-by-transaction test was appropriate and consistent with the Act. The Commission emphasized, however, that specialists must continue to comply with the negative obligation, and assess their need to trade and limit their proprietary trades to those reasonably necessary to allow the specialists to maintain a fair and orderly market. 20 19 *See* Securities Exchange Act Release No. 54860, *supra* note 6, at 71228. Previously, specialists were required to comply with the negative obligation on a transaction-by-transaction basis pursuant to a 1937 Commission interpretation known as the “Saperstein Interpretation.” *See* Securities Exchange Act Release No. 1117, 1937 SEC LEXIS 357 (March 30, 1937). *See also* Securities Exchange Act Release No. 54860, *supra* note 6, at 71227 for a discussion of the Saperstein Interpretation. Specifically, in the Saperstein Interpretation, the Commission stated that the negative obligation “prohibits all transactions for the account of a specialist, excepting only such transactions as are properly a part of a course of dealings reasonably necessary to permit the specialist to maintain a fair and orderly market * * *.” Further, the interpretation stated that *each transaction* by a specialist for its own account must meet the test of reasonable necessity, making clear that a specialist must comply with the rule on a transaction-by-transaction basis. *See* Securities Exchange Act Release No. 1117, *supra* , at 3-4. 20 *See* Securities Exchange Act Release No. 54860, *supra* note 6, at 71228. NYSE is now proposing to
(i)extend the duration of its pilot program applicable to Conditional Transactions to March 31, 2008;
(ii)remove the “active securities” limitation on Conditional Transactions that establish or increase a specialist's position and reach across the market to transact with the NYSE's published quote; and
(iii)make certain conforming changes to NYSE Rule 104.10(5). NYSE specialists would remain subject to the negative obligation and would be required to appropriately re-enter the market after a Conditional Transaction is executed and, for certain Conditional Transactions, the specialist must re-enter immediately following the trade. In addition, the Exchange's PPP guidelines would continue to apply. NYSE believes that the specialists are critical to its market structure, and that they perform an important function in the marketplace. Specifically, NYSE believes that, by committing capital, specialists provide market depth, lower market volatility, and reduce overall execution costs for investors. NYSE also believes that specialists bridge gaps between supply and demand, and help to maintain a fair and orderly market. Furthermore, the Exchange believes that advances in technology have virtually obviated the specialists' time and place advantage, and states that the rate of trading participation by specialists in specialist stocks has been significantly reduced. As a result, the Exchange believes that the basis for concern over specialist conflicts of interest (and the consequent ability of specialists to trade to the detriment of the public) is also diminished. NYSE highlights that the proposal does not in any way reduce the obligations imposed on its specialists pursuant to NYSE Rule 104 to re-enter a transaction on the opposite side of the market or alter their negative obligation. The Exchange believes that these factors support their proposal to extend the ability of the specialist to effect Conditional Transactions to all securities, and that providing specialists such ability would allow them to more effectively meet their affirmative and negative obligations by giving them the tools to better manage the inventory of their account. 21 21 In addition, the Exchange provided data which it contends evidences that the original stabilization pilot had no discernable adverse impact on liquidity or market quality. *See* Securities Exchange Act Release No. 56455, *supra* note 5 at 54501-2. *See also* Appendices 3A, 3B, and 3C, which are available at the Commission's Web site at *http://www.sec.gov/rules/sro/nyse/2007/34-56455appendix3.pdf.* NYSE has committed to provide the Commission with statistics related to market quality, specialist trading activity, and sample statistics on an ongoing monthly basis. 22 The Commission believes that this data will be important in helping it analyze the impact of this proposed rule change, and in determining whether to extend the operation of this rule or to approve this rule on a permanent basis. 22 Specifically, the Exchange has agreed to provide sample statistics, including the daily Consolidated Tape volume in shares, daily number of trades, daily high-low volatility in basis points, and daily close price in dollars. In addition, the Exchange will calculate the specialist profit on round-trip Hit Bid and Take Offer (“HB/TO”) executions, by measuring the specialist profit on HB/TO activity by taking the round-trip trading profits for all HB/TO trades where the specialist executes an offsetting trade within 30 seconds. In cases where the volume of the offsetting execution is less than the size of the HB/TO execution, the calculation will only include profits realized within the 30-second window. The Exchange will further calculate the quote-based specialist re-entry ratio, and each re-entry price level will be categorized and reported separately. The categories will be in cent intervals at 0, 1, 2, 3, 4, and 5 or more cents. The time window for these calculations will also be in 30 seconds. Finally, the Exchange has agreed to provide the Commission with data related to the average realized spread on specialist HB/TO executions using the formula set forth in Rule 605 of Regulation NMS under the Act. 17 CFR 242.605. Specifically, the average realized spread should be a share-weighted average of realized spreads. For specialist buys, the spread will be double the amount of the difference between the execution price and the midpoint of the consolidated best bid and offer five minutes after the time of HB/TO execution. For specialist sells, the spread will be double the amount of the difference between the midpoint of the consolidated best bid and offer five minutes after the time of HB/TO execution and the execution price. The Exchange has also committed to maintain average measures for each stock-day during a particular month in order to provide such information to the Commission upon request. The Commission continues to believe that the provisions governing Conditional Transactions may reflect an appropriate balance between the needs of specialists and other market participants in today's fast moving markets. 23 The Commission notes that specialists continue to be subject to the negative obligation, which requires that their proprietary trading be limited to that reasonably necessary to maintain a fair and orderly market. In approving the expansion of the pilot program beyond active securities, the Commission continues to recognize the potential conflicts of interest presented when a specialist engages in aggressive trading activity such as reaching across the market to trade with the NYSE bid or offer while increasing its position, particularly in the case of less liquid securities. Also, the proposed rule change represents a further shift in the role and obligations of specialists at the Exchange. As such, the Commission is approving the proposed expansion of the scope of the pilot, enabling specialists to execute Conditional Transactions in all securities traded on the NYSE, and the proposed extension of the duration of the pilot until March 31, 2008. 23 *See* Securities Exchange Act Release No. 54860, *supra* note 6, at 71229. The Commission emphasizes that the extension of the pilot to all securities in no way relieves specialists of their obligations under federal securities laws or NYSE rules. A specialist's ability to effect proprietary transactions remains limited under the Act and the Exchange's rules and specialists must still determine whether their transactions are reasonably necessary. The Commission notes that the Exchange is obligated to surveil its specialists to ensure their compliance with the Act and NYSE rules, and the Exchange has stated that NYSE Regulation believes that it has appropriate surveillance procedures in place to surveil for compliance with the negative obligations. For the reasons discussed above, the Commission finds that the proposed rule change is consistent with the Act. IV. Conclusion *It is therefore ordered* , pursuant to Section 19(b)(2) of the Act, 24 that the proposed rule change (SR-NYSE-2007-83), be and hereby is, approved on a temporary basis until March 31, 2008. 24 15 U.S.C. 78s(b)(2). 25 17 CFR 200.30-3(a)(12). For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 25 Florence E. Harmon, Deputy Secretary. [FR Doc. E7-21633 Filed 11-2-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-56718; File No. SR-NYSE-2007-95] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 18 (Compensation in Relation to Exchange System Failure) October 29, 2007. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on October 12, 2007, the New York Stock Exchange LLC (“NYSE” or the “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I and II below, which Items have been substantially prepared by the Exchange. The NYSE filed the proposal pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b-4(f)(6) thereunder, 4 which renders it effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C.78s(b)(1). 2 17 CFR 240.19b-4. 3 15 U.S.C. 78s(b)(3)(A). 4 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is proposing to amend Exchange Rule 18 to reduce the dollar amount required in order for a member organization to seek compensation in the event of an Exchange System failure. The Exchange is further seeking to make technical amendments to the rule text. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose Through this filing, the NYSE seeks to amend Exchange Rule 18 to reduce the dollar amount required for a member organization to seek compensation in the event of an Exchange system failure. Pursuant to the proposal, the Exchange seeks to reduce the current requirement that a net loss be in the amount of $5,000 or higher in order for a member organization to be eligible to make a claim for compensation. Rather, the Exchange seeks to lower the net loss requirement to $500. *Current Exchange Rule 18 (Compensation in Relation to Exchange System Failure)* Today, Exchange Rule 18 sets forth that member organizations that sustain a loss in relation to an Exchange system failure 5 are eligible to submit a claim for compensation to the Exchange, if certain requirements are met. Pursuant to the current rule, in order for a member organization to be eligible to receive payment for a claim, it must incur a net loss equal to or greater than $5,000. That is, the loss must total $5,000 after any profits received in relation to the same incident are subtracted. 6 Claims must be submitted on a per incident basis. Member organizations are not permitted to aggregate losses incurred as a result of more than one system failure in order to satisfy the $5,000 minimum claim requirement. 5 An Exchange system failure is defined as a malfunction of the Exchange's physical equipment, devices and/or programming which results in an incorrect execution of an order or no execution of an order that was received in Exchange systems. *See* Exchange Rule 18(b). 6 In addition to the net loss requirement, Exchange Rule 18 requires that the Exchange's Division of Floor Operations (“Floor Operations”) determines that:
(i)A valid order was accepted by the Exchange's systems; and that
(ii)an Exchange system failure occurred. The member organization is further responsible for providing the Floor Operations with verbal notice of the incident by the market opening on the next business day following the system failure. The member must also provide written notice by the end of the third business day following the system failure. *See* Exchange Rule 18(a). *Proposed Amendments to Rule 18—Reduction of Net Loss Dollar Amount* Exchange Rule 18 was put into effect on July 17, 2007. 7 A newly implemented rule, the initial $5,000 threshold for net loss seemed to be a reasonable dollar amount at the time. However, as the Exchange has gained experience with the administration of the Rule, it has observed that over 40% of the sustained net loss amounts were less than $2,000. Nearly 12% of the net loss amounts were less than $1,000. As a result, only approximately half of the net losses sustained by member organizations were eligible to receive compensation. 7 The operation of the rule was retroactive to September 2006. *See* Securities Exchange Act Release No. 55555 (March 27, 2007), 72 FR 16841 (April 5, 2007) (SR-NYSE-2007-09). In establishing Exchange Rule 18, the NYSE sought to provide a mechanism for member organizations to receive compensation for losses sustained in relation to an Exchange system failure. The Exchange seeks to have the rule be more inclusive of its member organizations that may sustain a loss in the event of an Exchange system failure. In practice the requirement that the net loss equal at least $5,000 has resulted in the exclusion of approximately half the member organizations that have sustained losses in relation to an Exchange system failure from qualifying to receive compensation. Accordingly, the Exchange seeks to lower the net loss amount to $500. The Exchange believes that $500 is a more appropriate threshold. The Exchange believes that this threshold amount will be more inclusive and give more member organizations opportunities to seek compensation for losses sustained in relation to an Exchange system failure. *Technical Amendments to the Rule* The Exchange further proposes to make technical,l non-substantive amendments to subparagraphs (d), (e), and
(f)of Exchange Rule 18. Specifically, subparagraph
(d)provides that an “Exchange-designated panel” will be responsible for determining the eligibility of claim for payment. The Exchange seeks to amend the rule to state that the name of the Exchange-designated panel is the “Compensation Review Panel” for the sake of specificity and clarity. As such, references to this panel have been changed to read “Compensation Review Panel” in subparagraphs (d), (e), and
(f)of the Rule. 2. Statutory Basis The basis under the Act for this proposed rule change is the requirement under Section 6(b)(5) of the Act 8 that an exchange have rules that are designed to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system and, in general, to protect investors and the public interest. 8 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The Exchange has neither solicited nor received written comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing rule change does not:
(1)Significantly affect the protection of investors or the public interest;
(2)impose any significant burden on competition; and
(3)become operative for 30 days after the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A) of the Act 9 and Rule 19b-4(f)(6) thereunder. 10 9 15 U.S.C. 78s(b)(3)(A). 10 17 CFR 240.19b-4(f)(6). NYSE has requested that the Commission waive the 30-day operative delay. 11 The proposal reduces the minimum threshold amount for a net loss sustained in relation to an Exchange system failure, thereby providing more opportunities for member organizations to be compensated for losses sustained in relation to an Exchange system failure. The Commission believes that waiver of the 30-day operative delay is consistent with the protection of investors and the public interest because it will enable the Exchange to immediately implement the proposal so that more member organizations' net loss claims will qualify for compensation under the rule. For this reason, the Commission designates the proposed rule change to be effective and operative upon filing with the Commission. 12 11 17 CFR 240.19b-4(f)(6)(iii). Rule 19b-4(f)(6) also requires the self-regulatory organization to give the Commission notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied the five-day pre-filing requirement. 12 For the purposes only of waiving the 30-day operative delay, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. *See* 15 U.S.C. 78c(f). At any time within 60 days of the filing of such proposed rule change the Commission may summarily abrogate such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors or otherwise in furtherance of the purposes of the Act. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ); or • Send an e-mail to *rule-comments@sec.gov.* Please include File Number SR-NYSE-2007-95 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-NYSE-2007-95. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of such filing also will be available for inspection and copying at the principal office of the NYSE. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-NYSE-2007-95 and should be submitted on or before November 26, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 13 13 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-21636 Filed 11-2-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-56717; File No. SR-Phlx-2007-73] Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Options Already Listed on Another National Securities Exchange October 29, 2007. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on September 21, 2007, the Philadelphia Stock Exchange, Inc. (“Phlx” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I and II below, which Items have been substantially prepared by Phlx. On October 18, 2007, Phlx filed Amendment No. 1 to the proposed rule change. 3 This order provides notice of the proposal, as amended, and approves the proposal on an accelerated basis. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 Amendment No. 1 supercedes the original filing and replaces it in its entirety. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Phlx proposes to amend Phlx Rule 1009 to enable it to list and trade equity options that are otherwise ineligible for listing and trading on the Exchange if such options are listed and traded on another national securities exchange and the security or securities underlying such options meet Phlx's continued listing requirements. The text of the proposed rule change is available on Phlx's Web site ( *http://www.phlx.com* ), at Phlx's principal office and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item III below. The Phlx has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The purpose of the proposed rule change is to revise the options listing standards in Phlx Rule 1009 so that as long as the options maintenance listing standards set forth in Phlx Rule 1010 are met and the option is listed and traded on another national securities exchange, Phlx would be able to list and trade the option. Phlx Rule 1009 sets forth the requirements that an underlying equity security must meet before the Exchange may initially list options on that security. Phlx notes that these requirements are uniform among the options exchanges. Commentary .01(4) to Phlx Rule 1009 relates to the minimum market price at which an underlying security must trade for an option to be listed on it, and applies to the listing of individual equity options on both “covered” and “uncovered” underlying securities. In the case of an underlying security that is a “covered security” as defined under section 18(b)(1)(A) of the Securities Act of 1933 (“1933 Act”), 4 the closing market price of the underlying security must be at least $3 per share for five previous consecutive business days prior to the date on which Phlx submits an option class certification to The Options Clearing Corporation (“OCC”). In connection with underlying securities deemed to be “uncovered,” Phlx's rules require that the closing price of such underlying security be at least $7.50 for the majority of business days during the three calendar months preceding the date of selection for such listing. In addition, an alternative listing procedure for “uncovered” securities also permits the listing of such options so long as:
(1)The underlying security meets the guidelines for continued approval contained in Phlx Rule 1010;
(2)options on such underlying security are traded on at least one other registered national securities exchange; and
(3)the average daily trading volume (“ADTV”) for such options over the last three calendar months preceding the date of selection has been at least 5,000 contracts. Subparagraphs
(1)through
(4)of Commentary .01 to Phlx Rule 1009 further set forth minimum requirements for an underlying security such as shares outstanding, number of holders and trading volume. 4 Section 18(b)(1)(A) of the 1933 Act provides that “ [a] security is a covered security if such security is * * * listed, or authorized for listing, on the New York Stock Exchange or the American Stock Exchange, or listed or authorized for listing on the National Market System of the Nasdaq Stock Market (or any successor to such entities) * * *.” *See* 15 U.S.C. 77r(b)(1)(A). When Phlx first commenced operations, if an option failed to meet the Exchange's original listing requirements, Phlx could not list that option, even if the option met the continued listing requirements of one or more other exchanges and traded on those exchanges. In order to somewhat remedy this situation, in 2002, the Exchange proposed, and the Commission approved, amendments to Phlx's original listing criteria that permitted Phlx to list options where the underlying “uncovered” security did not meet the $7.50 share price requirement so long as
(i)the underlying security met Phlx's continued listing criteria,
(ii)such options were traded on at least one other exchange, and
(iii)during the three preceding calendar months, the options had ADTV across all exchanges of at least 5,000 contracts. 5 5 *See* Securities Exchange Act Release No. 46789 (November 7, 2002), 67 FR 69284 (November 15, 2002) (order granting approval of proposal relating to maintenance listing criteria in Phlx Rule 1010 and original listing criteria in Phlx Rule 1009) (the “2002 Filing”). The Exchange notes that the 2002 Filing, while permitting the Phlx to list some of the more actively-traded options, does not permit the listing of non-active options that are currently trading at other options exchanges. The options exchange (or exchanges) that may be fortunate enough to list an option that at first met the original listing criteria, but subsequently fails to do so, is provided a trading monopoly inconsistent with the multiple trading of options, fostering competition and the maintenance of a national market system. Under this proposed rule change, an option may be multiply-listed and traded as long as one other options exchange is trading the particular option and such underlying security of the option meets the Exchange's continued listing requirements. Phlx notes that the requirements for listing additional series of an existing listed option ( *i.e.* , continued listing guidelines) are less stringent, largely because, in total, the Exchange's guidelines assure that options will be listed and traded on securities of companies that are financially sound and subject to adequate minimum standards. Phlx believes that although the continued listing requirements are uniform among the other options exchanges, the application of both the original and continued listing standard in the current market environment have had an anti-competitive effect. Specifically, the Exchange notes that on several occasions it has been unable to list and trade options classes that trade elsewhere because the underlying security of such option did not at that time meet original listing standards. However, the other options exchange(s) may continue to trade such options (and list additional series) based on the lower maintenance listing standards, while Phlx may not list any options on such underlying security. The Exchange believes this clearly is anti-competitive and inconsistent with the aims and goals of a national market system in options. To address this situation, the Exchange proposes to add new Commentary .01(6) to Phlx Rule 1009 and amend the current listing requirement adopted by the 2002 Filing. Specifically, proposed Commentary .01(6) provides that notwithstanding that a particular underlying security may not meet the requirements set forth in Paragraphs
(1)through
(4)of Commentary .01, the Exchange nonetheless could list and trade an option on such underlying security if
(i)the underlying security meets continued listing requirements under Phlx Rule 1010; and
(ii)options on such underlying security are listed and traded on at least one other registered national securities exchange. Consequently, the second half of Commentary .01(4)(ii) to Phlx Rule 1009, which references an alternative original listing requirement for “uncovered securities,” would be deleted. In connection with the proposed changes, the Exchange represents that the procedures currently employed to determine whether a particular underlying security meets the initial listing criteria will similarly be applied to the continued listing criteria. Phlx believes that this proposal is narrowly tailored to address the circumstances where an options class is currently ineligible for listing on the Exchange while at the same time, such option is trading on another options exchange(s). The Exchange submits that the adoption of the proposal is essential for competitive purposes and to promote a free and open market for the benefit of investors. 2. Statutory Basis The Exchange believes that its proposal is consistent with Section 6(b) of the Act, 6 in general, and furthers the objectives of Section 6(b)(5), 7 specifically, in that it is designed to perfect the mechanism of a free and open market and the national market system, protect investors and the public interest and promotes just and equitable principles of trade. The proposal would achieve this by enabling Phlx to list an option that is listed and traded on another national securities exchange and the underlying security meets Phlx continued listing standards. 6 15 U.S.C. 78f(b). 7 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were either solicited or received. III. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ); or • Send an e-mail to *rule-comments@sec.gov.* Please include File Number SR-Phlx-2007-73 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-Phlx-2007-73. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of such filing also will be available for inspection and copying at the principal office of Phlx. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-Phlx-2007-73 and should be submitted on or before November 26, 2007. IV. Commission's Findings and Order Granting Accelerated Approval of the Proposed Rule Change After careful consideration, the Commission finds that the proposed rule change is consistent with the requirements of the Act and the regulations thereunder applicable to a national securities exchange. 8 In particular, the Commission finds that the proposed rule change is consistent with Section 6(b)(5) of the Act, 9 which requires that the rules of an exchange be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest. The proposal is narrowly tailored to address the circumstances where an equity option class is currently ineligible for initial listing on the Exchange even though it meets the Exchange's continued listing standards and is trading on another options exchange. Allowing Phlx to list and trade options on such underlying securities should help promote competition among the exchanges that list and trade options. The Commission notes, and the Exchange represents, that the procedures that the Exchange currently employs to determine whether a particular underlying security meets the initial equity option listing criteria for the Exchange will similarly be applied when determining whether an underlying security meets the Exchange's continued listing criteria. 8 In approving this rule change, the Commission notes that it has considered the proposed rule's impact on efficiency, competition, and capital formation. *See* 15 U.S.C. 78c(f). 9 15 U.S.C. 78f(b)(5). The Commission finds good cause, pursuant to Section 19(b)(2)(B) of the Act, 10 for approving the proposed rule change prior to the 30th day after the publication of the notice of the filing thereof in the **Federal Register** . The Commission notes that the proposed rule change is substantially identical to a proposed rule change submitted by the American Stock Exchange LLC, 11 which was previously approved by the Commission after an opportunity for notice and comment, and therefore does not raise any new regulatory issues. 10 15 U.S.C. 78s(b)(2)(B). 11 *See* Securities Exchange Act Release No. 56598 (October 2, 2007), 72 FR 57615 (October 10, 2007) (SR-Amex-2007-48). *See also* Securities Exchange Act Release No. 56647 (October 11, 2007), 72 FR 58702 (October 16, 2007) (SR-ISE-2007-80) (substantially identical proposed rule change approved on an accelerated basis). V. Conclusion It is therefore ordered, pursuant to Section 19(b)(2) of the Act, 12 that the proposed rule change (SR-Phlx-2007-73), as amended, be, and it hereby is, approved on an accelerated basis. 12 *Id.* For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 13 13 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-21634 Filed 11-2-07; 8:45 am] BILLING CODE 8011-01-P SOCIAL SECURITY ADMINISTRATION Agency Information Collection Activities: Proposed Request and Comment Request The Social Security Administration
(SSA)publishes a list of information collection packages that will require clearance by the Office of Management and Budget
(OMB)in compliance with Public Law 104-13, the Paperwork Reduction Act of 1995, effective October 1, 1995. The information collection packages that may be included in this notice are for new information collections, approval of existing information collections, revisions to OMB-approved information collections, and extensions (no change) of OMB-approved information collections. SSA is soliciting comments on the accuracy of the agency's burden estimate; the need for the information; its practical utility; ways to enhance its quality, utility, and clarity; and on ways to minimize burden on respondents, including the use of automated collection techniques or other forms of information technology. Written comments and recommendations regarding the information collection(s) should be submitted to the OMB Desk Officer and the SSA Reports Clearance Officer. The information can be mailed, faxed or emailed to the individuals at the addresses and fax numbers listed below:
(OMB)Office of Management and Budget, Attn: Desk Officer for SSA, *Fax:* 202-395-6974, *E-mail address: OIRA_Submission@omb.eop.gov.*
(SSA)Social Security Administration, DCBFM, Attn: Reports Clearance Officer, 1333 Annex Building, 6401 Security Blvd., Baltimore, MD 21235, Fax: 410-965-6400, *E-mail address: OPLM.RCO@ssa.gov.* I. The information collections listed below are pending at SSA and will be submitted to OMB within 60 days from the date of this notice. Therefore, your comments should be submitted to SSA within 60 days from the date of this publication. You can obtain copies of the collection instruments by calling the SSA Reports Clearance Officer at 410-965-0454 or by writing to the address listed above. 1. Development for Participation in a Vocational Rehabilitation or Similar Program—20 CFR 404.316(c), 404.337(c), 404.352(d), 404.1586(g), 404.1596, 404.1597(a), 404.327, 404.328, and 416.1338(c) and
(d)416.1320(d), 416.1331(a)-(b), and 416.1338—0960-0282. SSA State Disability Determination Services
(DDS)must determine if a recipient of disability benefits whose disability has ceased but who is enrolled in a vocational rehabilitation program can continue to receive SSA benefits. To do this, information is needed about the beneficiary, the type of program he/she is enrolled in, and the types of services the beneficiary is receiving under the auspices of that program. Form SSA-4290 is used to collect this information. The respondents are State Employment Networks, Vocational Rehabilitation agencies, or other providers of education/job training services. *Type of Request:* Extension of an OMB-approved information collection. *Number of Respondents:* 3,000. *Frequency of Response:* 1. *Average Burden Per Response:* 15 minutes. *Estimated Annual Burden:* 750 hours. 2. State Mental Institution Policy Review Booklet—20 CFR 404.2035, 404.2065, 416.635, & 416.665—0960-0110. The information collected by Form SSA-9584-BK is used by SSA to determine whether an institution's policies and practices conform with SSA's regulations in the use of benefits and whether the institution is performing other duties and responsibilities required of a representative payee. The information also provides a basis for conducting an onsite review of the institution and is used in the preparation of the subsequent report of findings. The respondents are State mental institutions which serve as representative payees for Social Security beneficiaries and Supplemental Security Income
(SSI)claimants. *Type of Request:* Extension of an OMB-approved information collection. *Number of Respondents:* 95. *Frequency of Response:* 1. *Average Burden Per Response:* 60 minutes. *Estimated Annual Burden:* 95 hours. 3. RS/DI Quality Review Case Analysis: Sampled Number Holder, Auxiliaries/Survivors, Parents, and Stewardship Annual Earnings Test Workbook—0960-0189. The information on Forms SSA-2930, SSA-2931 and SSA-2932 is used by the SSA to establish a national payment accuracy rate for all cases in payment status and to serve as a source of information regarding problem areas in the Retirement and Survivors Insurance
(RSI)and Disability Insurance
(DI)programs. The information is also used to measure the accuracy rate for newly adjudicated RSI/DI cases. SSA uses the information on form SSA-4659 to evaluate and determine the effectiveness of the annual earnings test and to use the results in developing ongoing improvements in the process. *Type of Request:* Extension of an OMB-approved information collection. Form Number of respondents Frequency of response Average burden per response (minutes) Estimated annual burden (hours) SSA-2930 3,000 1 30 1,500 SSA-2931 1,500 1 30 750 SSA-2932 650 1 20 217 SSA-4659 325 1 10 54 Totals 5,475 2,521 4. Employee Identification Statement—20 CFR 404.702—0960-0473. The information collected by Form SSA-4156 is used in scrambled earnings situations when two or more individuals have used the same Social Security Number (SSN), or when an employer (or employers) has reported earnings for two or more employees under the same SSN. The information on the form is used to help identify the individual (and the SSN) to whom the earnings belong. The respondents are employers involved in erroneous wage reporting. *Type of Request:* Extension of an OMB-approved information collection. *Number of Respondents:* 4,750. *Frequency of Response:* 1. *Average Burden Per Response:* 10 minutes. *Estimated Annual Burden:* 792 hours. 5. Modified Benefit Formula Questionnaire-Employer—20 CFR 401 & 402—0960-0477. The information collected on Form SSA-58 is used by SSA to verify the claimant's allegations on Form SSA-150 (OMB No. 0960-0395). SSA must make a determination regarding whether the modified benefit formula is applicable and when to first apply it to a person's benefit. This form will be sent to an employer for pension related information if the claimant is unable to provide it. The respondents are people who are eligible after 1985 for both Social Security benefits and a pension based on work not covered by SSA. *Type of Request:* Extension of an OMB-approved information collection. *Number of Respondents:* 30,000. *Frequency of Response:* 1. *Average Burden Per Response:* 20 minutes. *Estimated Average Burden:* 10,000 hours. 6. Contact with Representative Payee; Contact with Beneficiary—20 CFR 401 & 402—0960-0639. The Form SSA-L4945 is used to notify the representative payee that the case, for which they receive payment, has been randomly selected as part of the quality review procedure. The SSA-L4947 is used by SSA to notify the beneficiary that their case has been randomly selected as part of the quality review procedure. Both form letters give information relating to the claims record that should be verified and returned by mail in a self-addressed envelope. Respondents are a statistically valid sample of all RSI/DI beneficiaries in current pay status. *Type of Request:* Extension of an OMB-approved information collection. *Number of Respondents:* 200. *Frequency of Response:* 1. *Average Burden Per Response:* 15 minutes. *Estimated Annual Burden:* 50 hours. 7. Modified Benefit Formula Questionnaire —20 CFR 404.1615-20, CFR 404.1512-20 & CFR 404.1588-1599—0960-0395. The purpose of the Windfall Elimination Provision
(WEP)of the Social Security Act is to remove an unintended advantage in the computation of Social Security benefits for persons who have substantial pensions from non-covered employment. The SSA-150 collects the information needed to determine the correct formula to use in computing Social Security benefits. The respondents are claimants for Social Security benefits who are entitled to both benefits. *Type of Request:* Extension of OMB-approved information collection *Number of Respondents:* 90,000. *Frequency of Response:* 1. *Average Burden Per Response:* 8 minutes. *Estimated Annual Burden:* 12,000 hours. 8. Disability Determination and Transmittal—20 CFR 404.1615(e), 416.1015(f)—0960-0437. The information collected on Form SSA-831-C3/U3 is used by SSA to document the State agency determination as to whether an individual who applies for disability benefits is eligible for those benefits based on his/her alleged disability. SSA also uses the information for program management and evaluation. The respondents are State DDS adjudicating Title II and Title XVI disability determinations for SSA. *Type of Request:* Extension of OMB-approved information collection *Number of Respondents:* 3,079,916. *Frequency of Response:* 1. *Average Burden Per Response:* 15 minutes. *Estimated Average Burden:* 769,979 hours. 9. Cessation or Continuance of Disability or Blindness Determination—20 CFR 404.1615—0960-0443. The information on Form SSA-832-U3/C3 is used by SSA to document determinations as to whether an individual's disability benefits should be terminated or continued on the basis of his/her impairment. The respondents are State disability determination service employees adjudicating Title XVI Disability claims. *Type of Request:* Extension of an OMB-approved information collection. *Number of Respondents:* 200,753. *Frequency of Response:* 1. *Average Burden Per Response:* 30 minutes. *Estimated Annual Burden:* 100,376 hours. 10. Authorization to Disclose Information to Social Security Administration—20 CFR 404.1512 & 20 CFR 416.912—0960-0623. SSA must obtain sufficient medical evidence to make eligibility determinations for Social Security disability benefits and SSI payments. For SSA to obtain medical evidence, an applicant must authorize his or her medical source(s) to release the information to SSA. The applicant may use one of the forms SSA-827, SSA-827-OP1 or SSA-827-OP2 to provide consent for the release of information. Generally, the State DDS completes the form(s) based on information provided by the applicant, and sends the form(s) to the designated medical source(s). *Type of Request:* Revision of a currently approved information collection. *Number of Respondents:* 3,853,928. *Frequency of Response (Average per case):* 4. *Average Burden Per Response:* 13 minutes to complete 4 forms. *Total Annual Responses:* 15,415,712. *Estimated Annual Burden:* 835,018 hours. 11. Request for Social Security Earnings Information—20 CFR 404.810 & 401.100—0960-0525. The Social Security Act provides that a wage earner, or someone authorized by a wage earner, may request Social Security earnings information from SSA using form SSA-7050. SSA uses the information collected on the form to verify that the requestor is authorized to access the earnings record and to produce the earnings statement. The respondents are wage earners and organizations and legal representatives authorized by the wage earner. *Type of Request:* Extension of an OMB-approved information collection. *Number of Respondents:* 60,000. *Frequency of Response:* 1. *Average Burden Per Response:* 11 minutes. *Estimated Annual Burden:* 11,000 hours. 12. Employer Report of Special Wage Payments—20 CFR 404.428-404.429—0960-0565. SSA gathers the information on Form SSA-131 to prevent earnings-related overpayments to employees, and to avoid erroneous withholding of benefits. The respondents are employers who provide special wage payment verification. *Type of Request:* Extension of an OMB-approved information collection. *Number of Respondents:* 30,000. *Frequency of Response:* 1. *Average Burden of Response:* 20 minutes. *Estimated Average Burden:* 10,000 hours. 13. Interim Assistance Reimbursement Matching Agreements—20 CFR 416-525—0960-NEW. SSA enters into Interim Assistance Reimbursement
(IAR)agreements with states/counties/townships, to submit daily IAR reports either manually or electronically to SSA. The interim assistance
(IA)agency provides the individual general assistance for meeting basic needs while an SSI claim is pending or SSI benefits were suspended or terminated. The IAR reports are used to reimburse participating State or local IA agency from an individual's initial retroactive SSI payment for funds it advanced to eligible individuals. These reports are compared against SSA's files to identify individuals who may become eligible to receive SSI payments, and the SSA record is updated to memorialize the agreement. If the claim is approved, SSA reimburses the state/county/township IA agency for funds it advanced to the eligible individuals. The respondents are State or local IA agencies who provide IAR reports either manually or electronically to SSA. *Type of Request:* New information collection. Collection instrument Number of respondent Frequency of response Average burden per response (hours) Estimated annual burden (hours) Interim assistance reporting 300 250 1 75,000 Model Agreement 10 1 12 120 Total 310 75,120 14. Social Security Statement Survey—0960-NEW. Background As per 42 U.S.C. 1320b-13, SSA is required to provide benefits and earnings statements to Social Security numberholders age 25 and over who earn wages. This document, which is provided annually, is called the *Social Security Statement.* In response to a recommendation from the General Accountability Office (GAO), SSA has begun a systematic and regular evaluation of customer satisfaction with the *Statement.* Description of Proposed Surveys Taking the evaluation process one step further, we are now planning to conduct a national survey to monitor and improve customer satisfaction with the messages in the 2007 *Statement.* The 2007 *Statement* contains new WEP/Government Pension Offset
(GPO)language as mandated by law. There are two versions of the WEP/GPO language in the *Statement* to accommodate different groups of wage-earners: those who have an earnings history with both covered and non-covered earnings under Social Security and those who have only earnings covered under Social Security. Each group will receive a *Statement* with WEP/GPO language specific to them and will be surveyed to determine their satisfaction. Information obtained through this evaluation will help SSA improve the *Statement* as a communications product that meets SSA's goals and assures that the public is aware of, understands, and can act upon the information the *Statement* provides in a timely way. The respondents are two groups of wage earners: those who have an earnings history with both covered and non-covered earnings under Social Security, and those who have only earnings covered under Social Security. Burden Information *Type of Request:* New information collection. Number of respondents Frequency of response Average burden per response (minutes) Estimated Annual Burden (hours) Recipients with covered and non-covered earnings history 600 1 10 100 Recipients with covered earnings only 600 1 10 100 Total 1200 200 II. The information collections listed below have been submitted to OMB for clearance. Your comments on the information collections would be most useful if received by OMB and SSA within 30 days from the date of this publication. You can obtain a copy of the OMB clearance packages by calling the SSA Reports Clearance Officer at 410-965-0454, or by writing to the address listed above. 1. Sheltered Workshop Wage Reporting—0960-NEW. Collection Background Section 1612(1)(C) of the Social Security Act (the Act) and 42 U.S.C. 1382a define remuneration received for services performed in a sheltered workshop as earned income for the SSI program. The amount of monthly wages determines an individual's SSI benefit amount. Collection Description SSA has maintained a working relationship with sheltered workshops since the inception of the SSI program. Most workshops report monthly wage totals to the local SSA office so that the client's SSI check is adjusted timely and overpayments are prevented. While participation of the workshop is strictly voluntary, they are highly motivated to report the wages because it provides a service to their clients. Sheltered Workshop reporting reduces the number of overpayments to SSI recipients. Processing these wage reports electronically reduces the cost of administering the program. SSA uses the information collected to verify and post monthly wages to the SSI recipient's record. Respondents are sheltered workshops that report monthly wages for services performed in the workshop. *Type of Request:* New information collection. *Number of Respondents:* 1,000. *Frequency of Response:* 12. *Average Burden Per Response:* 5 minutes. *Estimated Annual Burden:* 1,000 hours. 2. Request for Waiver of Special Veterans Benefits
(SVB)Overpayment Recovery or Change in Repayment Rate—20 CFR 408.900-408.950, 408.923(b), 408.931(b), 408.932(c),
(d)and (e), 408.941(b) and 408.942—0960-0698. Title VIII allows the payment of a monthly benefit by the Commissioner of Social Security to a qualified World War II veteran who resides outside the United States. When an overpayment in SVB occurs, the beneficiary can use this form to request waiver of recovery of the overpayment or a change in the repayment rate. The SSA-2032-BK will be used to obtain the information necessary to determine whether the provisions of the Act regarding waiver of recovery of the overpayment are met. The information on the form is needed to determine a repayment rate if repayment cannot be waived. The respondents are beneficiaries who have overpayments on their Title VIII record and wish to file a claim for waiver of recovery or change in repayment rate. *Type of Request:* Extension of an OMB-approved information collection. *Number of Respondents:* 39. *Frequency of Response:* 1. *Average Burden Per Response:* 120 minutes. *Estimated Annual Burden:* 78 hours. Dated: October 29, 2007. Elizabeth A. Davidson, Reports Clearance Officer, Social Security Administration. [FR Doc. E7-21587 Filed 11-2-07; 8:45 am] BILLING CODE 4191-02-P DEPARTMENT OF STATE [Public Notice 5982] Culturally Significant Objects Imported for Exhibition Determinations: “Rhytons From Nysa” SUMMARY: Notice is hereby given of the following determinations: Pursuant to the authority vested in me by the Act of October 19, 1965 (79 Stat. 985; 22 U.S.C. 2459), Executive Order 12047 of March 27, 1978, the Foreign Affairs Reform and Restructuring Act of 1998 (112 Stat. 2681, *et seq.* ; 22 U.S.C. 6501 note, *et seq.* ), Delegation of Authority No. 234 of October 1, 1999, Delegation of Authority No. 236 of October 19, 1999, as amended, and Delegation of Authority No. 257 of April 15, 2003 [68 FR 19875], I hereby determine that the objects to be included in the exhibition “Rhytons from Nysa”, imported from abroad for temporary exhibition within the United States, are of cultural significance. The objects are imported pursuant to loan agreements with the foreign owners or custodians. I also determine that the exhibition or display of the exhibit objects at the Metropolitan Museum of Art, New York, NY, from on or about December 17, 2007, until on or about December 3, 2008, and at possible additional exhibitions or venues yet to be determined, is in the national interest. Public Notice of these Determinations is ordered to be published in the **Federal Register** . FOR FURTHER INFORMATION CONTACT: For further information, including a list of the exhibit objects, contact Richard Lahne, Attorney-Adviser, Office of the Legal Adviser, U.S. Department of State (telephone: 202/453-8058). The address is U.S. Department of State, SA-44, 301 4th Street, SW., Room 700, Washington, DC 20547-0001. Dated: October 29, 2007. C. Miller Crouch, Principal Deputy Assistant Secretary for Educational and Cultural Affairs, Department of State. [FR Doc. E7-21715 Filed 11-2-07; 8:45 am] BILLING CODE 4710-05-P DEPARTMENT OF TRANSPORTATION Federal Highway Administration Environmental Impact Statement: City of Council Bluffs, Pottawattamie County, IA AGENCY: Federal Highway Administration (FHWA), Iowa Department of Transportation (Iowa DOT), City of Council Bluffs and Pottawattamie County. ACTION: Notice of intent. SUMMARY: The FHWA and the Iowa DOT are issuing this notice to advise the public that an environmental impact statement
(EIS)will be prepared for a proposed transportation project in Council Bluffs, Pottawattamie County, Iowa. FOR FURTHER INFORMATION CONTACT: Michael LaPietra, Environment and Realty Manager, FHWA Iowa Division Office, 105 Sixth Street, Ames, IA 50010, Phone 515-233-7302; or James P. Rost, Director, Office of Location and Environment, Iowa Department of Transportation, 800 Lincoln Way, Ames, IA 50010, Phone 515-239-1225. SUPPLEMENTARY INFORMATION: Electronic Access An electronic copy of this document is available for free download from the Federal Bulletin Board (FBB). The FBB is a free electronic bulletin board service of the Superintendent of Documents, U.S. Government Printing Office (GPO). The FBB may be accessed in four ways:
(1)Via telephone in dial-up mode or via the Internet through
(2)telnet,
(3)FTP, and
(4)the World Wide Web. For dial-in mode a user needs a personal computer, modem, telecommunications software package and telephone line. A hard disk is recommended for file transfers. For Internet access a user needs Internet connectivity. Users can telnet or FTP to: *fedbbs.access.gpo.gov.* Users can access the FBB via the World Wide Web at *http://fedbbs.access.gpo.gov.* User assistance for the FBB is available from 7 a.m. until 5 p.m., Eastern Standard Time (EST), Monday through Friday (except federal holidays) by calling the GPO Office of Electronic Information Dissemination Services at 202-512-1530, toll-free at 888-293-6498; sending an e-mail to *gpoaccess@gpo.gov;* or sending a fax to 202-512-1262. Access to this notice is also available to Internet users through the **Federal Register** 's home page at *http://www.nara.gov/fedreg.* Project Background The FHWA, in cooperation with the Iowa Department of Transportation (Iowa DOT), the City of Council Bluffs, and Pottawattamie County, will be preparing an EIS for the proposed East Beltway. The proposed project includes roadway improvements between US 6/225th Street and IA 92/Orchard Road, and improvements on the connecting roadways of Steven Lane and Greenview Road. Council Bluffs and Pottawattamie County have developed a joint plan (“Two Mile Limit Study”) for development and infrastructure needs east of Council Bluffs to accommodate projected development growth in the metropolitan area. From the Two Mile Limit Study, the East Beltway was identified as an infrastructure need for the development area. The proposed East Beltway will provide a north/south route east of I-80 and provide access to existing and future development within the Little Pony Creek drainage basin and parts of unincorporated Pottawattamie County. The proposed project would also provide system continuity for the Council Bluffs/Omaha area by providing a connection between US 6 and IA 92. The proposed East Beltway would relieve congestion on I-80 and the southeast I-29/I-80 systems interchange. Potential alternatives and combinations thereof will include but are not limited to:
(1)Taking no action, *i.e.* , the No-Build Alternative;
(2)strategies to better manage transportation demand;
(3)improving existing roadways, pedestrian walkways, and bikeways; and
(4)constructing a new roadway connection. The build alternative will include consideration of various alignments and grades in order to minimize potential environmental impacts. Letters describing the proposed action and soliciting comments will be sent to appropriate Federal, State, and local agencies, and to private organizations and citizens who have previously expressed or are known to have interest in the proposed project. The EIS will be initiated with a scoping process. The scoping process will include a program of public outreach and agency coordination that will be conducted over the next several months in order to elicit input on the project purpose and need, potential alternatives, significant and insignificant issues, and collaborative methods for analyzing transportation alternatives and environmental impacts. As part of the scoping process, several public meetings will be held in Council Bluffs or unincorporated Pottawattamie County, to meet with federal, state, and local agencies, as well as private individuals and organizations concerned with the project. In addition, a public hearing will be held in connection with the circulation of the draft EIS (DEIS). Public notice will be given concerning the date and location of the public meeting(s) and public hearing. The information gained during the scoping process will be widely disseminated and used to guide the development of the EIS. All comments and input received during the scoping and subsequent steps of the EIS process will be considered and documented. Beginning with scoping, continuous and regularly public involvement and agency coordination will continue throughout the preparation of the EIS. To ensure that a full range of issues are addressed in relation to the proposed action and that all significant issues are identified, all interested parties are invited to submit comments and suggestions. Comments or questions concerning the proposed action and the EIS should be directed to the FHWA or Iowa Department of Transportation at the address provided on page one in the section titled FOR FURTHER INFORMATION CONTACT . (Catalog of Federal Domestic Assistance Program Number 20.205, Highway Planning and Construction. The regulations implementing Executive Order 12372 regarding intergovernmental consultation on Federal programs and activities apply to this program.) (Authority: 23 U.S.C. 315; 49 CFR 1.48) Dated: October 29, 2007. Philip E. Barnes, Division Administrator, FHWA, Iowa Division. [FR Doc. E7-21669 Filed 11-2-07; 8:45 am] BILLING CODE 4910-22-P DEPARTMENT OF TRANSPORTATION Federal Motor Carrier Safety Administration [Docket ID FMCSA-2007-29035] Qualification of Drivers; Exemption Applications; Diabetes AGENCY: Federal Motor Carrier Safety Administration (FMCSA). ACTION: Notice of applications for exemptions from the diabetes standard; request for comments. SUMMARY: FMCSA announces receipt of applications from 48 individuals for exemptions from the prohibition against persons with insulin-treated diabetes mellitus
(ITDM)operating commercial motor vehicles
(CMVs)in interstate commerce. If granted, the exemptions would enable these individuals with ITDM to operate commercial motor vehicles in interstate commerce. DATES: Comments must be received on or before December 5, 2007. ADDRESSES: You may submit comments bearing the Federal Docket Management System
(FDMS)Docket ID FMCSA-2007-29035 using any of the following methods: • *Federal eRulemaking Portal:* Go to *http://www.regulations.gov* . Follow the on-line instructions for submitting comments. • *Mail:* Docket Management Facility; U.S. Department of Transportation, 1200 New Jersey Avenue, SE., West Building Ground Floor, Room W12-140, Washington, DC 20590-0001. • *Hand Delivery:* West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal Holidays. • *Fax:* 1-202-493-2251. Each submission must include the Agency name and the docket ID for this Notice. Note that DOT posts all comments received without change to *http://www.regulations.gov* , including any personal information included in a comment. Please see the Privacy Act heading below. *Docket:* For access to the docket to read background documents or comments, go to *http://www.regulations.gov* at any time or Room W12-140 on the ground level of the West Building, 1200 New Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays. The DMS is available 24 hours each day, 365 days each year. If you want acknowledgment that we received your comments, please include a self-addressed, stamped envelope or postcard or print the acknowledgment page that appears after submitting comments on-line. *Privacy Act:* Anyone may search the electronic form of all comments received into any of our dockets by the name of the individual submitting the comment (or of the person signing the comment, if submitted on behalf of an association, business, labor union, etc.). You may review the DOT's complete Privacy Act Statement in the **Federal Register** published on April 11, 2000 (65 FR 19477-78; Apr. 11, 2000). This information is also available at *http://Docketinfo.dot.gov* . FOR FURTHER INFORMATION CONTACT: Dr. Mary D. Gunnels, Chief, Physical Qualifications Division,
(202)366-4001, *fmcsamedical@dot.gov* , FMCSA, Department of Transportation, 1200 New Jersey Avenue, S.E., Room W64-224, Washington, DC 20590-0001. Office hours are from 8:30 a.m. to 5 p.m., Monday through Friday, except Federal holidays. SUPPLEMENTARY INFORMATION: Background Under 49 U.S.C. 31136(e) and 31315, FMCSA may grant an exemption for a 2-year period if it finds “such exemption would likely achieve a level of safety that is equivalent to, or greater than, the level that would be achieved absent such exemption.” The statutes also allow the Agency to renew exemptions at the end of the 2-year period. The 48 individuals listed in this notice have recently requested an exemption from the diabetes prohibition in 49 CFR 391.41(b)(3), which applies to drivers of CMVs in interstate commerce. Accordingly, the Agency will evaluate the qualifications of each applicant to determine whether granting the exemption will achieve the required level of safety mandated by the statutes. Qualifications of Applicants Paul N. Abelson Mr. Abelson, age 69, has had ITDM since 2006. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Abelson meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A Commercial Driver's License
(CDL)from Illinois. Robin R. Baumgartner Mr. Baumgartner, 45, has had ITDM since 1994. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Baumgartner meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Wisconsin. Albert W. Bayne Mr. Bayne, 64, has had ITDM since 2005. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Bayne meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he has stable nonproliferative diabetic retinopathy. He holds a Class A operator's license from Kansas. Joseph K. Beasley Mr. Beasley, 45, has had ITDM since 2005. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Beasley meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Georgia. Philip E. Brown Mr. Brown, 54, has had ITDM since 2005. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Brown meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from New York. Toni A. Brown Ms. Brown, 35, has had ITDM since 1976. Her endocrinologist examined her in 2007 and certified that she has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of her diabetes using insulin, and is able to drive a CMV safely. Ms. Brown meets the requirements of the vision standard at 49 CFR 391.41(b)(10). Her ophthalmologist examined her in 2007 and certified that she does not have diabetic retinopathy. She holds a Class B CDL from Arkansas. Larry M. Burkett, Jr. Mr. Burkett, 47, has had ITDM since 2004. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Burkett meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Ohio. Ronald J. Charette, Jr. Mr. Charette, 41, has had ITDM since 2000. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Charette meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from South Carolina. Charles E. Clark, II Mr. Clark, 44, has had ITDM since 2006. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Clark meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Maryland. Margaret I. Clevidence Ms. Clevidence, 33, has had ITDM since 1983. Her endocrinologist examined her in 2007 and certified that she has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of her diabetes using insulin, and is able to drive a CMV safely. Ms. Clevidence meets the requirements of the vision standard at 49 CFR 391.41(b)(10). Her ophthalmologist examined her in 2007 and certified that she has stable nonproliferative diabetic retinopathy. She holds a Class D operator's license from Ohio. Fred J. Combs Mr. Combs, 54, has had ITDM since 1969. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Combs meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he has stable nonproliferative diabetic retinopathy. He holds a Class B CDL from Ohio. Douglas N. Craven Mr. Craven, 69, has had ITDM since 2004. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Craven meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from South Carolina. Rene A. DeLuna Mr. DeLuna, 51, has had ITDM since 2006. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. DeLuna meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2006 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Wyoming. Charles Demesmin Mr. Demesmin, 45, has had ITDM since 2007. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Demesmin meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class D operator's license from New Jersey. Derek E. Dowling Mr. Dowling, 43, has had ITDM since 1977. His endocrinologist examined him in 2006 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Dowling meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2006 and certified that he has stable proliferative diabetic retinopathy. He holds a Class C operator's license from Pennsylvania. Donald E. Dupke, Jr. Mr. Dupke, 52, has had ITDM since 1984. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Dupke meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he has stable proliferative diabetic retinopathy. He holds a chauffeur's license from Indiana. Frederick E. Dyer Mr. Dyer, 49, has had ITDM since 2000. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Dyer meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Massachusetts. Ronald S. Easter Mr. Easter, 54, has had ITDM since 2002. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Easter meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Tennessee. Steven W. Freeman, Sr. Mr. Freeman, 50, has had ITDM since 2005. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Freeman meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class C operator's license from Maine. Robert R. Gladd Mr. Gladd, 53, has had ITDM since 1997. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Gladd meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class D operator's license from Ohio. Tim E. Holmberg Mr. Holmberg, 45, has had ITDM since 1976. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Holmberg meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he has stable nonproliferative diabetic retinopathy. He holds a Class A CDL from Wisconsin. Russell D. Jordan Mr. Jordan, 54, has had ITDM since 2002. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Jordan meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from North Dakota. Warren D. Knabe Mr. Knabe, 53, has had ITDM since 1969. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Knabe meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he has stable proliferative diabetic retinopathy. He holds a Class A CDL from Nebraska. David J. Kreider Mr. Kreider, 29, has had ITDM since 1992. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Kreider meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class D operator's license from Alabama. Terry R. Leslie Mr. Leslie, 51, has had ITDM since 2007. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Leslie meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Idaho. Dennis L. Lorenz Mr. Lorenz, 57, has had ITDM since 1956. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Lorenz meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he has stable proliferative diabetic retinopathy. He holds a Class A CDL from Indiana. John N. Love Mr. Love, 40, has had ITDM since 2007. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Love meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Kentucky. Ronald T. Lowery Mr. Lowery, 33, has had ITDM since 1995. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Lowery meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class B CDL from Ohio. Charles C. Madeira, V. Mr. Madeira, 24, has had ITDM since 1989. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Madeira meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds an operator's license from Virginia. Robert J. Malone Mr. Malone, 37, has had ITDM since 1992. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Malone meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class D operator's license from New Jersey. John R. Milberger Mr. Milberger, 40, has had ITDM since 1994. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Milberger meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class D operator's license from Wisconsin. Norman J. Millard Mr. Millard, 52, has had ITDM since 2000. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Millard meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Wisconsin. Eric R. Nickel Mr. Nickel, 39, has had ITDM since 2007. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Nickel meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Kansas. Clayton A. Powers Mr. Powers, 26, has had ITDM since 1993. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Powers meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class B operator's license from Nevada. Charles R. Rafferty Mr. Rafferty, 52, has had ITDM since 2005. His endocrinologist examined him in 2006 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Rafferty meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class B CDL from California. Curtis J. Sato Mr. Sato, 52, has had ITDM since 2006. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Sato meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Colorado. William B. Schauer Mr. Schauer, 54, has had ITDM since 2006. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Schauer meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from North Dakota. Herschel S. Sejnoha Mr. Sejnoha, 61, has had ITDM since 2002. His endocrinologist examined him in 2006 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Sejnoha meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class D operator's license from Arizona. Adam J. Sharp Mr. Sharp, 28, has had ITDM since 2007. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Sharp meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Illinois. Darrol H. Sponberg Mr. Sponberg, 74, has had ITDM since 2005. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Sponberg meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Minnesota. Reese L. Sullivan Mr. Sullivan, 37, has had ITDM since 2004. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Sullivan meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class B CDL from Texas. Kenneth R. Tuggle Mr. Tuggle, 61, has had ITDM since 1988. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Tuggle meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he has stable nonproliferative diabetic retinopathy. He holds a Class A CDL from Illinois. Robert M. Walker Mr. Walker, 56, has had ITDM since 2006. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Walker meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he has stable proliferative diabetic retinopathy. He holds a Class A CDL from Pennsylvania. William A. Watts Mr. Watts, 53, has had ITDM since 2001. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Watts meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds an operator's license from Indiana, which allows him to drive any vehicle with a gross vehicle weight rating of 16,000 pounds or more. Robert E. Weiss Mr. Weiss, 52, has had ITDM since 1991. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Weiss meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His optometrist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Michigan. Robert A. Wild Mr. Wild, 46, has had ITDM since 1974. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Wild meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he has stable nonproliferative diabetic retinopathy. He holds a Class A CDL from New York. James G. Wilkerson Mr. Wilkerson, 40, has had ITDM since 2004. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Wilkerson meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he does not have diabetic retinopathy. He holds a Class A CDL from Pennsylvania. Randy L. Wyant Mr. Wyant, 47, has had ITDM since 1969. His endocrinologist examined him in 2007 and certified that he has had no hypoglycemic reactions resulting in loss of consciousness, requiring the assistance of another person, or resulting in impaired cognitive function that occurred without warning in the past 5 years; understands diabetes management and monitoring; and has stable control of his diabetes using insulin, and is able to drive a CMV safely. Mr. Wyant meets the requirements of the vision standard at 49 CFR 391.41(b)(10). His ophthalmologist examined him in 2007 and certified that he has stable proliferative and nonproliferative diabetic retinopathy. He holds a Class A CDL from Ohio. Request for Comments In accordance with 49 U.S.C. 31136(e) and 31315, FMCSA requests public comment from all interested persons on the exemption petitions described in this notice. We will consider all comments received before the close of business on the closing date indicated earlier in the dates section of the Notice. FMCSA notes that Section 4129 of the Safe, Accountable, Flexible and Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) requires the Secretary to revise its diabetes exemption program established on September 3, 2003 (68 FR 52441). 1 The revision must provide for individual assessment of drivers with diabetes mellitus, and be consistent with the criteria described in section 4018 of the Transportation Equity Act for the 21st Century (49 U.S.C. 31305). 1 Section 4129(a) refers to the 2003 Notice as a “final rule.” However, the 2003 Notice did not issue a “final rule” but did establish the procedures and standards for issuing exemptions for drivers with ITDM. Section 4129 requires:
(1)The elimination of the requirement for three years of experience operating CMVs while being treated with insulin; and
(2)the establishment of a specified minimum period of insulin use to demonstrate stable control of diabetes before being allowed to operate a CMV. In response to section 4129, FMCSA made immediate revisions to the diabetes exemption program established by the September 3, 2003 Notice. FMCSA discontinued use of the 3-year driving experience and fulfilled the requirements of section 4129 while continuing to ensure that operation of CMVs by drivers with ITDM will achieve the requisite level of safety required of all exemptions granted under 49 U.S.C. 31136(e). Section 4129(d) also directed FMCSA to ensure that drivers of CMVs with ITDM are not held to a higher standard than other drivers, with the exception of limited operating, monitoring and medical requirements that are deemed medically necessary. FMCSA concluded that all of the operating, monitoring and medical requirements set out in the September 3, 2003 Notice, except as modified, were in compliance with section 4129(d). Therefore, all of the requirements set out in the September 3, 2003 Notice, except as modified by the Notice in the **Federal Register** on November 8, 2005 (70 FR 67777), remain in effect. Dated: October 26, 2007. Larry W. Minor, Associate Administrator for Policy and Program Development. [FR Doc. E7-21640 Filed 11-2-07; 8:45 am] BILLING CODE 4910-EX-P DEPARTMENT OF THE TREASURY Office of Foreign Assets Control Additional Designation of Entities Pursuant to Executive Order 13382 AGENCY: Office of Foreign Assets Control, Treasury. ACTION: Notice. SUMMARY: The Treasury Department's Office of Foreign Assets Control (“OFAC”) is publishing the names of 17 newly-designated entities and eight newly-designated individuals whose property and interests in property are blocked pursuant to Executive Order 13382 of June 28, 2005, “Blocking Property of Weapons of Mass Destruction Proliferators and Their Supporters.” DATES: The designation by the Director of OFAC of the 17 entities and eight individuals identified in this notice pursuant to Executive Order 13382 is effective on October 25, 2007. FOR FURTHER INFORMATION CONTACT: Assistant Director, Compliance Outreach & Implementation, Office of Foreign Assets Control, Department of the Treasury, Washington, DC 20220, tel.: 202/622-2490. SUPPLEMENTARY INFORMATION: Electronic and Facsimile Availability This document and additional information concerning OFAC are available from OFAC's Web site ( *http://www.treas.gov/ofac* ) or via facsimile through a 24-hour fax-on demand service, tel.:
(202)622-0077. Background On June 28, 2005, the President, invoking the authority, *inter alia* , of the International Emergency Economic Powers Act (50 U.S.C. 1701—1706) (“IEEPA”), issued Executive Order 13382 (70 FR 38567, July 1, 2005) (the “Order”), effective at 12:01 a.m. eastern daylight time on June 29, 2005. In the Order, the President took additional steps with respect to the national emergency described and declared in Executive Order 12938 of November 14, 1994, regarding the proliferation of weapons of mass destruction and the means of delivering them. Section 1 of the Order blocks, with certain exceptions, all property and interests in property that are in the United States, or that hereafter come within the United States or that are or hereafter come within the possession or control of United States persons, of:
(1)The persons listed in an Annex to the Order;
(2)any foreign person determined by the Secretary of State, in consultation with the Secretary of the Treasury, the Attorney General, and other relevant agencies, to have engaged, or attempted to engage, in activities or transactions that have materially contributed to, or pose a risk of materially contributing to, the proliferation of weapons of mass destruction or their means of delivery (including missiles capable of delivering such weapons), including any efforts to manufacture, acquire, possess, develop, transport, transfer or use such items, by any person or foreign country of proliferation concern;
(3)any person determined by the Secretary of the Treasury, in consultation with the Secretary of State, the Attorney General, and other relevant agencies, to have provided, or attempted to provide, financial, material, technological or other support for, or goods or services in support of, any activity or transaction described in clause
(2)above or any person whose property and interests in property are blocked pursuant to the Order; and
(4)any person determined by the Secretary of the Treasury, in consultation with the Secretary of State, the Attorney General, and other relevant agencies, to be owned or controlled by, or acting or purporting to act for or on behalf of, directly or indirectly, any person whose property and interests in property are blocked pursuant to the Order. On October 25, 2007, the Director of OFAC, in consultation with the Departments of State, Justice, and other relevant agencies, designated 17 entities and eight individuals whose property and interests in property are blocked pursuant to Executive Order 13382. *The list of additional designees follows:* Entities: 1. BANK MELLI, Ferdowsi Avenue, P.O. Box 11365-171, Tehran, Iran; all offices worldwide [NPWMD] 2. BANK KARGOSHAEE (a.k.a. Kargosa'i Bank), 587 Mohammadiye Square, Mowlavi St., Tehran 11986, Iran [NPWMD] 3. BANK MELLI IRAN ZAO, Number 9/1, Ulitsa Mashkova, Moscow 103064, Russia [NPWMD] 4. MELLI BANK PLC, 1 London Wall, London EC2Y 5EA, United Kingdom [NPWMD] 5. ARIAN BANK (a.k.a. Aryan Bank), House 2, Street Number 13, Wazir Akbar Khan, Kabul, Afghanistan [NPWMD] 6. BANK MELLAT, 327 Taleghani Avenue, Tehran 15817, Iran; P.O. Box 11365-5964, Tehran 15817, Iran; all offices worldwide [NPWMD] 7. MELLAT BANK SB CJSC (a.k.a. Mellat Bank DB AOZT), P.O. Box 24, Yerevan 0010, Armenia [NPWMD] 8. PERSIA INTERNATIONAL BANK PLC, #6 Lothbury, London EC2R 7HH, United Kingdom [NPWMD] 9. KHATAM OL ANBIA GHARARGAH SAZANDEGI NOOH (a.k.a. GHORB KHATAM; a.k.a. KHATAM AL-ANBYA; a.k.a. KHATAM OL AMBIA), No. 221, Phase 4, North Falamak-Zarafshan Intersection, Shahrak-E-Ghods, Tehran 14678, Iran [NPWMD] 10. ORIENTAL OIL KISH, Second Floor, 96/98 East Atefi St., Africa Blvd., Tehran, Iran; Dubai, United Arab Emirates [NPWMD] 11. GHORB KARBALA (a.k.a Gharargah Karbala; a.k.a. Gharargah Sazandegi Karbala-Moasseseh Taha), No. 2 Firouzeh Alley, Shahid Hadjipour St., Resalat Highway, Tehran, Iran [NPWMD] 12. SEPASAD ENGINEERING COMPANY, No. 4 Corner of Shad St., Mollasadra Ave., Vanak Square, Tehran, Iran [NPWMD] 13. GHORB NOOH, P.O. Box 16765-3476, Tehran, Iran [NPWMD] 14. OMRAN SAHEL, Tehran, Iran [NPWMD] 15. SAHEL CONSULTANT ENGINEERS, P.O. Box 16765-34, Tehran, Iran; No. 57, Eftekhar St., Larestan St., Motahhari Ave., Tehran, Iran [NPWMD] 16. HARA COMPANY (a.k.a HARA INSTITUTE), Tehran, Iran [NPWMD] 17. GHARARGAHE SAZANDEGI GHAEM (a.k.a. GHARARGAH GHAEM), No. 25, Valiasr St., Azadi Sq., Tehran, Iran [NPWMD] *Individuals:* 1. BAHMANYAR, Bahmanyar Morteza; DOB 31 Dec 1952; POB Tehran, Iran; Passport I0005159 (Iran); alt Passport 10005159
(Iran)(individual) [NPWMD] 2. DASTJERDI, Ahmad Vahid (a.k.a. VAHID, Ahmed Dastjerdi); DOB 15 Jan 1954; Diplomatic Passport A0002987
(Iran)(individual) [NPWMD] 3. ESMAELI, REZA-GHOLI; DOB 3 Apr 1961; POB Tehran, Iran; Passport A0002302
(Iran)(individual) [NPWMD] 4. AHMADIAN, ALI AKBAR (a.k.a. AHMADIYAN, Ali Akbar); DOB circa 1961; POB Kerman, Iran; citizen Iran; nationality Iran (individual) [NPWMD] 5. HEJAZI, MOHAMMAD; DOB circa 1959; citizen Iran; nationality Iran (individual) [NPWMD] 6. REZAIE, MORTEZA (a.k.a. REZAI, Morteza); DOB circa 1956; citizen Iran; nationality Iran (individual) [NPWMD] 7. SALIMI, HOSEIN (a.k.a. SALAMI, Hoseyn; a.k.a SALAMI, Hossein; a.k.a SALAMI, Hussayn); citizen Iran; nationality Iran; Passport D08531177
(Iran)(individual) [NPWMD] 8. SOLEIMANI, QASEM (a.k.a. SALIMANI, Qasem; a.k.a SOLAIMANI, Qasem; a.k.a SOLEMANI, Qasem; a.k.a SOLEYMANI Ghasem; a.k.a SOLEYMANI, Qasem; a.k.a. SULAIMANI, Qasem; a.k.a. SULAYMAN, Qasmi; a.k.a. SULEMANI, Qasem); DOB 11 Mar 1957; POB Qom, Iran; citizen Iran; nationality Iran; Diplomatic Passport 008827
(Iran)issued 1999 (individual) [NPWMD] Dated: October 25, 2007. Adam Szubin, Director, Office of Foreign Assets Control. [FR Doc. E7-21725 Filed 11-2-07; 8:45 am] BILLING CODE 4811-45-P 72 213 Monday, November 5, 2007 Rules and Regulations Part II Department of Commerce Bureau of Industry and Security 15 CFR Parts 742, 743, et al. December 2006 Wassenaar Arrangement Plenary Agreement Implementation: Categories 1, 2, 3, 5 Part I, 6, 7, 8, and 9 of the Commerce Control List; Wassenaar Reporting Requirements; Definitions; and Statement of Understanding on Source Code; Final Rule DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Parts 742, 743, 744, 772 and 774 [Docket No. 070105004-7050-01] RIN 0694 AD95 December 2006 Wassenaar Arrangement Plenary Agreement Implementation: Categories 1, 2, 3, 5 Part I, 6, 7, 8, and 9 of the Commerce Control List; Wassenaar Reporting Requirements; Definitions; and Statement of Understanding on Source Code AGENCY: Bureau of Industry and Security, Commerce. ACTION: Final rule. SUMMARY: The Bureau of Industry and Security
(BIS)maintains the Commerce Control List (CCL), which identifies items subject to Department of Commerce export controls. This final rule revises the Export Administration Regulations
(EAR)to implement changes made to the Wassenaar Arrangement's List of Dual Use Goods and Technologies (Wassenaar List), and Statements of Understanding maintained and agreed to by governments participating in the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual Use Goods and Technologies (Wassenaar Arrangement, or WA). The Wassenaar Arrangement advocates implementation of effective export controls on strategic items with the objective of improving regional and international security and stability. To harmonize with the changes to the Wassenaar List, this rule revises the EAR by amending certain entries that are controlled for national security reasons in Categories 1, 2, 3, 5 Part I (telecommunications), 6, 7, 8, and 9; and adding new entries to the Commerce Control List (CCL), amending EAR Definitions, as well as adding new definitions to the EAR, and adding a new Statement of Understanding on source code. The purpose of this final rule is to make the necessary changes to the CCL, definitions of terms used in the EAR, and Wassenaar reporting requirements to implement Wassenaar List revisions that were agreed upon in the December 2006 Wassenaar Arrangement Plenary Meeting. This rule also adds and expands unilateral U.S. export controls and national security export controls on certain items to make them consistent with the amendments made to implement the Wassenaar Arrangement's decisions. In addition, this rule removes the remaining references to “Composite Theoretical Performance (CTP)” and “Millions of Theoretical Operations Per Second (MTOPS)” in the EAR, which is consistent with agreements made by the Wassenaar Arrangement with regard to microprocessors. DATES: *Effective Date:* This rule is effective November 5, 2007. FOR FURTHER INFORMATION CONTACT: For questions of a general nature contact Sharron Cook, Office of Exporter Services, Bureau of Industry and Security, U.S. Department of Commerce at
(202)482-2440 or E-Mail: *scook@bis.doc.gov.* *For questions of a technical nature contact:* Category 1: Bob Teer 202-482-4749. Category 2: George Loh 202-482-3570. Category 3: Brian Baker 202-482-5534. Category 5 Part 1: Joe Young 202-482-4197. Category 6: Chris Costanzo 202-482-0718. Category 7: Mark Jaso 202-482-0987. Categories 8 and 9: Gene Christensen 202-482-2984. Comments regarding the collections of information associated with this rule, including suggestions for reducing the burden, should be sent to OMB Desk Officer, New Executive Office Building, Washington, DC 20503. Attention: David Rostker; and to the Office of Administration, Bureau of Industry and Security, Department of Commerce, 14th St. and Pennsylvania Avenue, NW., Room 6883, Washington, DC 20230. SUPPLEMENTARY INFORMATION: Background In July 1996, the United States and thirty-three other countries gave final approval to the establishment of a new multilateral export control arrangement, called the Wassenaar Arrangement on Export Controls for Conventional Arms and Dual Use Goods and Technologies (Wassenaar Arrangement or WA). The Wassenaar Arrangement contributes to regional and international security and stability by promoting transparency and greater responsibility in transfers of conventional arms and dual use goods and technologies, thus preventing destabilizing accumulations of such items. Participating states have committed to exchange information on exports of dual use goods and technologies to non-participating states for the purposes of enhancing transparency and assisting in developing common understandings of the risks associated with the transfers of these items. Expanded and New Export Controls This rule imposes new controls and expands NS Column 1 controls. This rule imposes a license requirement under section 742.4(a) of the EAR for exports and reexports to all destinations, except Canada, of certain commodities (and related software and technology) described in ECCNs 1E002.g, 3E001, 7A001, 7A002.a and .c, 7A003.d, 7D001, 7D003, 7E001, 7E002, 7E004.a.7, 9D004.f and .g. These destinations have an “X” indicated in NS column 1 on the Commerce Country Chart of Supplement No. 1 to Part 738. The purpose of the controls is to ensure that these items do not make a contribution to the military potential of any other country or combination of countries that would prove detrimental to the national security of the United States. For designated terrorism supporting countries or embargoed countries, the applicable licensing policies are found in Parts 742 and 746 of the EAR, and Supplement No. 1 to Part 736 of the EAR for Syria. This rule also imposes new controls and expands NS Column 2 controls. This rule imposes a license requirement under section 742.4(a) of the EAR for exports and reexports of commodities (and related software and technology) described in 1C005.a, 1C005.b.1, 1C005.b.2, 1C005.c, 1D003, 2B002.c, 2B002.d, 3A001.b.9, 3A001.e.4, 3A001.g, 3B001.f.2, 3B001.i, 3C005, 5A001.g, 6A008.a, 7A008, 8A002.a, 8A002.a.4 (components) to destinations that are not Country Group A:1 destinations, or that are not cooperating countries (see Supplement No. 1 to Part 740 of the EAR). These destinations have an “X” indicated in NS column 2 on the Commerce Country Chart of Supplement No. 1 to Part 738 of the EAR. The purpose of the controls is to ensure that these items do not make a contribution to the military potential of such destination countries that would prove detrimental to the national security of the United States. For designated terrorism supporting countries or embargoed countries, the applicable licensing policies are found in Parts 742 and 746 of the EAR, and Supplement No. 1 to Part 736 of the EAR for Syria. The licensing policy for national security controlled items exported or reexported to any country except a country in Country Group D:1 (see Supplement No. 1 to Part 740 of the EAR) is to approve license applications unless there is a significant risk that the items will be diverted to a country in Country Group D:1. The general policy for exports and reexports of items to Country Group D:1 is to approve license applications when BIS determines, on a case by case basis, that the items are for civilian use or would otherwise not make a significant contribution to the military potential of the country of destination that would prove detrimental to the national security of the United States. This rule imposes new controls and expands antiterrorism
(AT)controls. This rule imposes a unilateral U.S. license requirement to export and reexport commodities (and related software and technology) controlled under 1C005.a, 1C005.b.1, 1C005.b.2, 1C005.c, 1D003, 1E002.g, 2B002.d.2, 2B002.d.3, 3A001.b.9, 3A001.e.4, 3A001.g, 3B001.f.2, 3B001.i, 3C005, 3E001, 5A001.g, 6A008.a, 7A001, 7A002.a and .c, 7A003.d, 7A008, 7D001, 7D003.a and .b, 7E001, 7E002, 7E004.a.7, 8A002.a, 8A002.a.4 (components), and 9D004.f and .g for AT reasons to Cuba, Iran, North Korea, Sudan and Syria, in addition to the national security controls imposed to implement the Wassenaar Arrangement's decisions. These unilateral export controls are necessary because under Section 6(j) of the Export Administration Act of 1979 a license is required for items that could make a significant contribution to the military potential of such country or that could enhance the ability of such country to support acts of international terrorism. There is a general policy of denial for applications to terrorism supporting countries, as set forth in Part 742 of the EAR. In addition, certain of these countries are also subject to embargoes, as set forth in Part 746 of the EAR and Supplement No. 1 to Part 736 of the EAR for Syria. A license is also required for the export and reexport of these items to specially designated terrorists and foreign terrorist organizations, as set forth in Part 744 of the EAR; license applications to these parties are reviewed under a general policy of denial. Revisions to the Commerce Control List This rule revises a number of entries on the Commerce Control List
(CCL)to implement the December 2006 agreed revisions to the Wassenaar List of Dual Use Goods and Technologies. This rule also revises language to provide a complete and more accurate description of controls. A description of the specific amendments to the CCL pursuant to the December 2006 Wassenaar Agreement is provided below. Newly added ECCNS, as described below, are as follows: 1D003, 3C005, and 7A008. The affected ECCNS, as described below, are 1A002, 1B001, 1C005, 1C008, 1C010, 1C998, 1E002, 2B001, 2B002, 3A001, 3A002, 3A991, 3B001, 3B991, 3C002, 3C992, 3E001, 3E002, 5A001, 5A991, 5E001, 6A002, 6A004, 6A005, 6A006, 6A008, 6A995, 6D003, 6E201, 7A001, 7A002, 7A003, 7A101, 7B003, 7D001, 7D003, 7E001, 7E002, 7E004, 8A002, 8C001, 9D004, 9E001, and 9E002. Category 1 Materials, Chemicals, “Microorganisms,” and Toxins ECCN 1A002 (Composite structures or laminates) is amended by: a. Clarifying 1A002.a by adding `consisting of' in front of the parameter and deleting `made from'; b. Clarifying 1A002.b by adding `consisting of' to the front and replacing `made from' with `any of the following' to the end of the subparagraph'; c. Clarifying the term `aircraft' to read `civil aircraft' in the Note to 1A002; d. Clarifying the size of fabric made from “fibrous or filamentary materials” not controlled for repair of civil aircraft structures from ′1 m 2 ′ to ′100 cm × 100 cm′. *Rationale:* The previous material size limit impaired the ability of airlines to repair their airplanes successfully and in a timely manner. With each new commercial airplane design, the proportion of structure made from carbon materials is increasing. ECCN 1A004 (Protective and detection equipment and components not specially designed for military use) is amended by revising the Related Controls paragraph in the List of Items Controlled section by redesignating note 2 as note 3 and adding a new note 2 to read “See ECCN 1D003 for “software” specially designed or modified to enable equipment to perform the functions of equipment controlled under section 1A004.c (Nuclear, biological and chemical
(NBC)detection systems). See ECCN 1E002.g for control libraries (parametric technical databases) specially designed or modified to enable equipment to perform the functions of equipment controlled under 1A004.c (Nuclear, biological and chemical
(NBC)detection systems).” ECCN 1B001 (Equipment for the production of fibers) is amended by: a. Adding a note to the License Requirement section under the MT control that reads “Note: MT applies to equipment in 1B001.d that meets or exceeds the parameters of 1B101.” to clarify the MT license requirement, as this requirement has been particularly confusing to the public; and b. Clarifying the text of 1B001.f., because attempts have been made to export ultrasonic equipment without license due to interpretation that the 3-D and ultrasonic tomography parameters make an empty box. The control text therefore is clarified to ensure systems with critical capability are controlled for export. ECCN 1C005 (superconductive composite conductors) is amended by: a. Removing the term `multifilamentary' from 1C005.a.; b. Replacing the `or' with an `and' in 1C005.a.1.; c. Removing part of the parameter `but less than 25 K (249.16°C)′ from 1C005.b.1.; d. Replacing 1C005.b.2 which stated, “A cross-section area less than 0.28 × 10- 4 mm 2 ; *and* ” to read “Remaining in the “superconductive” state at a temperature of 4.2 K (-268.96 °C) when exposed to a magnetic field oriented in any direction perpendicular to the longitudinal axis of conductor and corresponding to a magnetic induction of 12 T with critical current density exceeding 1750 A/mm 2 on overall cross-section of the conductor.” e. Removing 1C005.b.3; and f. Adding 1C005.c and a new technical note, to read as follows ““Superconductive” “composite” conductors consisting of one or more “superconductive” filaments which remain “superconductive” above 115 K (-158.16 °C). Technical Note: For the purpose of 1C005, filaments may be in wire, cylinder, film, tape or ribbon form.; and” *Rationale:* These revisions are made to align controls with current technology. ECCN 1C008 (Non-fluorinated polymeric substances) is amended by: a. Redesignating Note 1 as Note 2 and adding a new Note 1 to clarify the term polymeric substances; b. Revising the test method of determination of a heat distortion temperature in 1C008.b. from `ISO 75-3 (2004)' to `ISO 75-2 (2004), method A'; and c. Revising the load parameter in 1C008.b from ′1.82 N/mm2′ to ′1.80 N/mm2′; *Rationale:* ISO75-3
(2004)specifies the method for determining the temperature of deflection under a load of high-strength thermosetting laminates and compression-molded long-fiber-reinforced plastics in which the fiber length is greater than 7.5 mm. The materials controlled under 1C008.b are thermoplastic liquid crystal co-polymers, and therefore ISO75-3
(2004)is not an appropriate test method for 1C008.b. materials. In accordance with ISO75-2 (2004), method A, ′1.82 N/mm2′ is replaced with ′1.80 N/mm2′. d. Delete 1C008.c, which are polyarylene ether ketones, including polyether ketone ketone (PEKK), polyether ketone (PEK), and Polyether ketone ether ketone ketone (PEKEKK). *Rationale:* The patent for polyarylene ether ketones has expired and China and India are now manufacturing the commodity under different trade names. The manufacturing technology and the properties for all these products are very similar. Although polyarylene ether ketones is no longer controlled under ECCN 1C008 and related technology controlled under 1E001, there remains a license requirement under ECCNs1C998 and 1E998 respectively. ECCN 1C010 (fibrous or filamentary materials) is amended by: a. Clarifying the term `aircraft' to read `civil aircraft' in the Notes to 1C010.b and 1C010.e; b. Increasing the size of fabric made from “fibrous or filamentary materials” not controlled for repair of civil aircraft structures in the Notes to 1C010.b and 1C010.e from ′50 cm × 90 cm′ to ′100 cm × 100 cm′; and c. Adding the Celsius equivalent (2 °C) to 2K in the Technical Note that describes glass transition temperature. *Rationale:* The previous material size limit impaired the ability of airlines to repair their airplanes successfully and in a timely manner. With each new commercial airplane design, the proportion of structure made from carbon materials is increasing. ECCN 1C998 (Non-fluorinated polymeric substances) is amended by: a. Redesignating 1C998.a to 1C998.a.1; and b. Revising paragraph 1C998.a to add the polyarylene ether ketones deleted from 1C008.c. Note: For equipment no longer controlled under ECCN 1C008 and related technology controlled under 1E001, there remains a license requirement under ECCNs1C998 and 1E998 respectively, for exports and reexports to designated terrorism supporting countries, as set forth in Parts 742 and 746 of the EAR and as indicated in AT Column 1 of the Commerce Country Chart. ECCN 1D003 is added to control “software” specially designed or modified to enable equipment to perform the functions of equipment controlled under section 1A004.c (Nuclear, biological and chemical
(NBC)detection systems). ECCN 1E001 is amended by revising the Related Controls paragraph in the List of Items Controlled section by redesignating notes 2 and 3 as notes 3 and 4, and adding a new note 2 to read “See ECCN 1E002.g for control libraries (parametric technical databases) specially designed or modified to enable equipment to perform the functions of equipment controlled under 1A004.c (Nuclear, biological and chemical
(NBC)detection systems).” ECCN 1E002 is amended to add a new paragraph 1E002.g to control libraries (parametric technical databases) specially designed or modified to enable equipment to perform the functions of equipment controlled under 1A004.c (Nuclear, biological and chemical
(NBC)detection systems). *Rationale:* ECCNs 1D003 and 1E002 are revised because some non-controlled detection systems can be upgraded to become controlled nuclear, biological and chemical
(NBC)detection systems by uploading software or the associated library of NBC related chemical fingerprints into the memory of the detector. Category 2 Materials Processing ECCN 2B001 (Machine tools) is amended by revising the Unit paragraph in the List of Items Controlled section to remove “parts and accessories”, and adding additional parameters to the contact lens machine exception in Note to 2B001.a in order to prevent general purpose diamond turning machines from being exported as contact lens machines. ECCN 2B002 (Numerically controlled machine tools using a magnetorheological finishing
(MRF)process) is amended by: a. Revising the heading to clarify the scope of controls from ‘numerically controlled machine tools’ to ‘numerically controlled optical finishing machine tools’; and to revise the way the parameters are applied from “having any of the following” to ‘having *all* of the following’; b. Adding a new definition for ‘Electrorheological finishing (ERF)’ to the Related Definitions paragraph in the List of Items Controlled section; c. Removing the ‘or’ at the end of 2B002.a; d. Adding new paragraphs 2B002.c to add a new parameter (Three or more axes which can be coordinated simultaneously for ‘contouring control’); and e. Adding a new paragraphs 2B002.d.1 through d.3 to list specific optical finishing processes (Magnetorheological finishing (‘MRF’); Electrorheological finishing (‘ERF’); and ‘Energetic particle beam finishing’). Category 3 Electronics ECCN 3A001 (Electronic components) is amended by: a. Adding 3A001.b.9 to the License Exception LVS eligibility paragraph for $3,000, and adding 3A001.b.9 and 3A001.g to the License Exception GBS eligibility paragraph; b. Correcting 3A001.a.5.a.1 by adding the word “with” to be consistent with the Wassenaar Dual-Use List (A resolution of 8 bit or more, but less than 10 bit, with an output rate greater than 500 million words per second); c. Revising the output rate for analog-to-digital converter integrated circuits in 3A001.a.5.a.3 from ‘greater than 50 million words per second’ to “greater than 105 million words per second”; d. Revising the output rate for analog-to-digital converter integrated circuits in 3A001.a.5.a.4 from ‘greater than 5 million words per second’ to ‘greater than 10 million words per second’; e. Revising the output rate for analog-to-digital converter integrated circuits in 3A001.a.5.a.5 from ‘greater than 1 million words per second’ to ‘greater than 2.5 million words per second’; *Rationale:* These output rates are updated to keep pace with advances in analog-to-digital converter technology and growing commercial markets. Note: For analog-to-digital converter integrated circuits no longer controlled under ECCN 3A001.a.5.a and related technology controlled under ECCN 3E001, there remains a license requirement under ECCNs 3A991.c and 3E991 respectively, as well as a software control under ECCN 3D991 for exports and reexports to designated terrorism supporting countries, as set forth in Parts 742 and 746 of the EAR and as indicated in AT Column 1 of the Commerce Country Chart. f. 3A001.b.9 is amended by adding microwave power modules (MPM), consisting of, at least, a traveling wave tube, a microwave monolithic integrated circuit and an integrated electronic power conditioner having specified parameters; *Rationale:* MPMs are added to 3A001.b.9 because they are used as an efficient, compact building block in electronic warfare, radar and communication systems. The military criticality of the MPM results from the operating frequency, power (peak and/or average), instantaneous bandwidth, and the speed at which the MPM turns-on and packaging attributes. The combination of these capabilities results in a large improvement in power density (power per unit volume) over comparable solid state power amplifiers, resulting in a wide range of military applications. These include synthetic aperture radar, wideband data links, satellite communications, towed decoys and electronic warfare. Commercial applications of MPMs include satellite communications, wireless communications, high power RF sources for laboratory use, and rapid prototyping of microwave amplifiers for various applications. g. 3A001.e.1 is amended by replacing the term “batteries” with the term “cells”; h. 3A001.e.1.a and 3A001.e.1.b are amended by removing the phrase “and batteries”, replacing the term “rechargeable cells” with the term “secondary cells”, and changing the energy density parameter to “550 Wh/kg at 293K (20° C)”; i. The technical note for 3A001.e.1 is replaced with 4 new technical notes that describe “energy density”, “cell”, “primary cell”, and “secondary cell”, as well as a note that explains that “3A001.e. does not control batteries, including single cell batteries;” and j. 3A001.g is added to control solid-state pulsed power switching thyristor devices and thyristor modules. ECCN 3A002 (General purpose electronic equipment) is amended by: a. Revising the eligibility paragraphs for License Exceptions GBS and CIV to remove 3A002.d, because all signal generators that were eligible for these license exceptions are no longer controlled under ECCN 3A002, but are now controlled under ECCN 3A992.a; b. Removing a comma between “Frequency synthesizer” and “electronic assemblies” in 3A002.b to harmonize with the Wassenaar Dual-Use List; c. Adding a note after 3A002.b stating “The control status of signal analyzers, signal generators, network analyzers, and microwave test receivers as stand-alone instruments is determined by 3A002.c., 3A002.d., 3A002.e., and 3A002.f., respectively.”; d. Revising 3A002.d (Frequency synthesized signal generators) by replacing the term “master frequency” with “master reference oscillator”; e. Revising 3A002.d.3 (“frequency switching time”) by modifying the text and adding new subparagraphs 3A002.d.3.a through 3A002.d.3.e that specify various frequency switching time parameters; f. Redesignating Note 1 (definition of `pulse duration' ) as Note 2 and adding a new Note 1 following 3A002.d.4 to clarify the term `frequency synthesized signal generators'; and g. Redesignating Technical Note 1 as Technical Note 2, and adding a new Technical Note 1 to explain that arbitrary waveform and function generators are normally specified by sample rate. ECCN 3A991 (Electronic devices and components not controlled by 3A001) is amended by: a. Revising 3A991.a.1 from “A composite theoretical performance
(CTP)of 6,500 million theoretical operations per second (MTOPS) or more and an arithmetic logic unit with an access width of 32 bit or more” to read “A performance speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more” to harmonize with revisions to ECCN 3E002; and b. Revising 3A991.j (batteries/cells) to harmonize with revisions to 3A001.e.1. ECCN 3B001 (Equipment for the manufacturing of semiconductor devices or materials) is amended by: a. Correcting the phrase “3B001.a.2 and a.3, or .f” to read “3B001.a.2, a.3, or .f” in the License Exception GBS eligibility paragraph in the License Exception section; b. Redesignating 3B001.f.2 as 3B001.f.3; c. Adding a new paragraph 3B001.f.2 to control imprint lithography equipment capable of producing features of 180 nm or less; and d. Adding a new paragraph 3B001.i to control lithograph templates designed for integrated circuits controlled by 3A001. *Rationale:* Imprint lithographic technology was added to the International Technology Roadmap for Semiconductor's (ITRS') 2003 edition. Imprint lithographic systems are currently being manufactured in the U.S., Austria, Sweden, and Germany, and have demonstrated the capability of producing features as small as 10nm. While these systems do not yet have the throughput and overlay accuracy necessary for use in major silicon integrated circuit production facilities, the technology is maturing, and is expected to be widely used at the 45nm technology node. They are currently being used in compound semiconductor manufacturing, and compound semiconductor devices have important military applications. ECCN 3B991 (Equipment not controlled by 3B001 for the manufacture of electronic components and materials) is amended by adding ECCN 3C005 to the list of ECCNs referenced in 3B991.b.1.b in order to harmonize with the addition of this new ECCN. ECCN 3C002 (Resist materials) is amended by revising the heading to conform to the Wassenaar Dual-Use List and the wavelength for positive resists designed for semiconductor lithography from `below 350 nm' to `below 245 nm' in order to match the wavelength threshold in ECCN 3B001.a (lithography equipment), which was changed in 2004. ECCN 3C005 (Silicone carbide wafers) is added to the Commerce Control List to control silicon carbide
(SiC)wafers having a resistivity of more than 10,000 ohm-cm, because it is emerging as the material of choice for high temperature devices, such as power switches, which are used in both military (e.g., military ships, vehicles, radar, communications, electromagnetic warfare and weapons systems) and commercial applications (e.g., communication systems, electric power, utilities industry, civil radar systems, cell phone base stations, and high definition television transmitters). Note: ECCN 3C005 is controlled for NS:2 and AT:1 reasons. In addition, ECCN 3E001 controls for NS:1 and AT:1 reasons related technology for the development or production of silicon carbide
(SiC)wafers classified as ECCN 3C005, and ECCN 3B991.b.1.b controls for AT:1 reasons related equipment specially designed for purifying or processing III/V and II/VI semiconductor materials controlled by ECCN 3C005. ECCN 3C992 (positive resists) is amended by revising the heading to adjust the wavelength from `between 370 and 350 nm' to 'between 370 and 245 nm' to harmonize with the revision to 3C002. ECCN 3E001 is amended by: a. Revising the NS control text in the License Requirements section to add the new ECCN 3C005; b. Revising the Related Controls paragraph in the List of Items Controlled section to remove outdated note 2 and redesignating note 3 as note 2, because updated version of this note is already reflected in the Items paragraph of the List of Items Controlled section. c. Redesignating Note 1 as Note 2 and Note 2 as Note 1 in the Items paragraph; and d. Revising the citation in the technical note from `Note b' to `Note 2' in the Items paragraph. ECCN 3E002 is amended by: a. Revising the heading to remove references to `composite theoretical performance (CTP)' and `million theoretical operations per second (MTOPS)'; b. Revising License Exception CIV eligibility text from “Composite Theoretical Performance
(CTP)less than or equal to 40,000 MTOPS (regardless of word length or access width)” to read “vector processor unit with operand length of 64-bit or less, 64-bit floating operations not exceeding 32 GFLOPS, or 16-bit or more floating-point operations not exceeding 32 GMACS” to conform to the revisions in 3A001 regarding microprocessors; Note: The new parameter for measuring vector processor units is GMACS, which equals billions of 16-bit fixed-point multiply-accumulate operations per second. c. Adding subparagraphs 3E002.a, 3E002.b, and 3E002.c to specify new parameters for microprocessor technology controls related to the vector processor unit, floating-point vectors, and fixed-point multiply-accumulate results, including adding a technical note to describe “vector processing unit” *Rationale:* These changes are made to remove the remaining references to “Composite Theoretical Performance (CTP)” and “Millions of Theoretical Operations Per Second (MTOPS)” in the EAR, which is consistent with agreements made by the Wassenaar Arrangement with regard to microprocessors. Information on How to Calculate “Composite Theoretical Performance” (“CTP”) is removed from the end of Category 3, because CTP is no longer a parameter used to control any entry in the Commerce Control List. Category 5 Part I Telecommunications ECCN 5A001 (Telecommunications systems, equipment, and components) is amended by: a. Revising the phrase `telecommunication transmission equipment and systems' to read `telecommunication systems and equipment' in 5A001.b, because 5A001.b controls transmission equipment, but also receivers, transmitters, and transceivers. b. Revising the scope of parameters from `any' to `all' in 5A001.b.2 for radio equipment, because these features are more commonly found in radio equipment today as a result of technological advances; c. Removing the parameter in 5A001.b.2.a `incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal'; *Rationale:* These revisions are made to 5A001 because the parameter is obsolete due to technological advances in Digital Signal Processing (DSP). d. Adding 5A001.g to the NS:2 control paragraph in the License Requirements section; and e. Adding a new paragraph 5A001.g to control specially designed Passive Coherent Location systems or equipment. *Rationale:* Revisions are made to 5A001.g because passive location systems can be used in air defense networks to detect and track aircraft without being detected themselves and have the ability to detect aircraft designed to be stealthy. These systems can also be used for civil applications, such as analog FR radio, cellular phone base stations and digital audio broadcast (DAB). Note: Adding 5A001.g (specially designed Passive Coherent Location systems or equipment) to ECCN 5A001 consequently adds a license requirement for related development and production software in ECCN 5D001 and development, production, and use technology in ECCN 5E001, for the exports and reexports to all destinations, except Canada, under NS Column 1 of the Commerce Country Chart and for exports and reexports to designated terrorism supporting countries, as set forth in Parts 742 and 746 of the EAR and as indicated in AT Column 1 of the Commerce Country Chart. ECCN 5A991 is amended by adding 5A991.b.7.d to maintain anti-terrorism controls on radio equipment operating in the 1.5 MHz to 87.5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal, which this rule removed from 5A001.b.2.a. Note: Adding 5A991.b.7.d to ECCN 5A991 consequently maintains a license requirement for related development, production, and use software in ECCN 5D991, for the exports and reexports to designated terrorism supporting countries, as set forth in Parts 742 and 746 of the EAR and as indicated in AT Column 1 of the Commerce Country Chart. However, the Wassenaar Arrangement agreed to maintain national security controls for the related technology for this equipment in ECCN 5E001 by adding a new paragraph 5E001.c.4.c. ECCN 5E001 is amended by adding a new paragraph 5E001.c.4.c to maintain national security and anti-terrorism controls on the technology for the development or production of certain shortwave radios employing adaptive interference suppression techniques, which this rule is removing from 5A001.b.2.a. Category 6 Sensors ECCN 6A002 (Optical Sensors) is amended by: a. Revising the License Requirement section to add an exception note under the RS controls to exclude 6A002.a.3.d.a.2 and 6A002.a.3.e for lead selenide focal plane arrays, because these devices are not suitable for imaging applications, and no longer merit regional stability controls; b. Revising the Unit paragraph in the List of Items Controlled section, to remove the term “accessories”; c. Revising the peak response in wavelength range in 6A002.a.3.d.1 from `exceeding 1,200 nm but not exceeding 2,500 nm' to `exceeding 1,200 nm but not exceeding 3,000 nm'; and d. Revising the peak response in wavelength range for non-“space-qualified” linear (1-dimensional) “focal plane arrays” in 6A002.a.3.e from ‘exceeding 2,500 nm but not exceeding 30,000 nm’ to ‘exceeding 3,000 nm but not exceeding 30,000 nm’. *Rationale:* The revisions to 6A002.a.3 are made to remove national security controls on focal plane arrays that are effectively non-usable in military applications, and to simplify the control text. ECCN 6A004 (Optics) is amended by: a. Revising the Unit paragraph in the List of Items Controlled section to remove the reference to cable; b. Revising the Related Controls paragraph in the List of Items Controlled section to add a reference to ECCN 3B001 for optical mirrors or aspheric optical elements specially designed for lithography equipment; and by enumerating the notes in the Related Controls paragraph; c. Moving the definition of ‘aspheric optical element’ from the technical note to the Related Definitions paragraph in the List of Items Controlled section; and d. Adding single quotes around the term ‘aspheric optical elements’ in 6A004.e to indicate that the definition may be found in the Related Definitions paragraph of the List of Items Controlled section of the ECCN. ECCN 6A005 (Lasers) is amended by: a. Revising the NP controls in the License Requirements section to conform with the revisions in the ECCN 6A005 items paragraph and the revisions to ECCN 6A205; b. Revising the License Requirements Notes to conform to the revisions related to nuclear controls and revisions in 6A005; c. Revising the License Exception GBS and CIV eligibility paragraphs to conform to the revisions in the items paragraph and the license requirement note that outlines NP controls; d. Revising the Note 6 in the Related Controls paragraph in the List of Items Controlled section to add “and “lasers” specifically designed, modified, or configured for military application are subject to the export licensing authority of the U.S. Department of State, Directorate of Defense Trade Controls”; e. Moving paragraph 1 in the Related Definitions paragraph in the List of Items Controlled section to Note 1 at the top of the items paragraph in the List of Items Controlled section, and removing paragraph 2 in the Related Definitions paragraph; f. Adding a definition for ‘Wall-plug efficiency’ in the Related Definitions paragraph in the List of Items Controlled section; g. Adding Notes 2 through 4 to the top of the items paragraph of the List of Items Controlled section to clarify controls in ECCN 6A005; h. Moving 6A005.a.1 (Excimer lasers) to 6A005.d.4; i. Deleting 6A005.a.2 (Metal vapor lasers), as they are now controlled under 6A005.b, although they are not specifically cited as before; j. Moving 6A005.a.3 (Carbon monoxide
(CO)lasers) to 6A005.d.2; k. Moving 6A005.a.4 (Carbon dioxide (CO <sup>2</sup> ) lasers) to 6A005.d.3; l. Moving 6A005.a.5 (Chemical lasers) to 6A005.d.5; m. Deleting 6A005.a.6 (Krypton ion or argon ion lasers), as pursuant to Note 5.a, Krypton lasers are no longer controlled, and Argon lasers are now controlled under 6A005.a, with the exception of Argon lasers below 50W, pursuant to the Note to 6A005.a.2; n. Moving 6A005.b (Semiconductor lasers) to 6A005.d.1; o. Moving 6A005.c.2 (non-tunable lasers) to 6A005.a and .b, with the exception of Neodymium glass lasers, and modifying the parameters; p. Moving 6A005.c.2.a (Neodymium glass lasers) to 6A005.d.6; and q. Moving 6A005.d (dye and other liquid lasers) to 6A005.c (tunable lasers), see Note to 6A005.c. *Rationale:* The changes in ECCN 6A005 are made to move the laser controls from technology based categories to performance based criteria. The categories are restructured, where possible, to remove specific references to types of lasers and characterize the laser on the basis of wavelength, power, mode, energy, pulse length, mass, and efficiency. ECCN 6A006 is amended by adding quotes around the term “compensation systems” in the heading and in 6A006.d, because it has become a defined term in Part 772. ECCN 6A008 (Radar) is amended by: a. Adding a Note to explain that 6A008 does not control: secondary surveillance radar (SSR), car radar designed for collision prevention, displays or monitors used for air traffic control (ATC), and meteorological (weather) radar. b. Revising the parameters in 6A008.a to avoid overlapping controls between 6A008.a and 6A008.m.1. ECCN 6A205 is amended by: a. Revising the heading to simplify it and place the referenced ECCNs in order; b. Removing the reference to “parts and accessories” in the unit paragraph of the List of Items Controlled section, because these are not controlled by this entry; c. Adding a reference to 6A005.a.2 for additional controls on argon ion lasers and a reference to 6A005.b.6.b for additional neodymium-doped lasers in the Related Controls paragraph of the List of Items Controlled section; d. Revising 6A005.b.1 for “operating at wavelengths for tunable pulsed single-mode dye laser oscillators” from “Operating at wavelengths between 300 nm and 800 nm” to “Operating at wavelengths between 600 nm and 800 nm”; e. Removing 6A205.c (Tunable pulsed dye laser amplifiers and oscillators), because these paragraphs are entirely controlled by ECCN 6A005.c.1.b; f. Revising 6A205.f to maintain NP controls on Neodymium-doped (other than glass) lasers that are not controlled by ECCN 6A005. *Rationale:* This change is made to split control of Neodymium-doped lasers between ECCN 6A005.b.6 and 6A205.f, with no intended overlap. ECCN 6A995 is amended by: a. Revising 6A995.c, so that it controls “Ruby ‘lasers’ having an output energy exceeding 20 J per pulse”; b. Redesignating paragraph 6A995.d (Free electron lasers) as paragraph g., and adding three new paragraphs to maintain anti-terrorism
(AT)controls for certain lasers no longer controlled by ECCN 6A005: 6A995.d (Non-“tunable” “pulsed lasers”), 6A995.e (Non-“tunable” continuous wave “(CW) lasers”), and 6A995.f (Non-“tunable” “lasers”). ECCN 6D003 is amended by adding quotes around the term “compensation systems” in the in 6D003.f.1, because it has become a defined term in Part 772. 6E201 is amended by revising the heading to harmonize with revisions made to ECCNs 6A005 and 6A205, and adding the phrase “not controlled by 6E001 or 6E002”. Category 7 Navigation and Avionics ECCN 7A001 (Accelerometers) is amended by: a. Revising the heading from “Linear accelerometers designed for use in inertial navigation or guidance systems and having any of the following characteristics (see List of Items Controlled), and specially designed components therefor.” to read “Accelerometers as follows (see List of Items Controlled), and specially designed components therefor” in order to change the scope of control from including end-use and type to a strictly technical control, as set forth in the List of Items Controlled section; b. Revising the MT controls in the License Requirements section from “MT applies to entire entry” to “MT applies to commodities that meet or exceed the parameters of 7A101” to clarify items controlled for MT reasons based on the Missile Technology Control Regime Annex; c. Differentiating between linear accelerometers designed to operate at high g values and linear accelerometers designed to operate at low g levels; and d. Moving the controls for angular and rotational accelerometers from the gyro controls in 7A002 to the accelerometer controls in 7A001. *Rationale:* With the constant development of accelerometers, there are now products on the market which can be used for inertial navigation and guidance, but that were not necessarily designed for that purpose. Therefore, these changes are being made to 7A001 to control these new products. ECCN 7A002 (Gyros or angular rate sensors) is amended by: a. Revising text in the heading from ‘and angular or rotational accelerometers’ to read ‘or angular rate sensors’; *Rationale:* The heading is clarified to delete “angular or rotational accelerometers” because angular accelerometers do not measure angular rate. (These devices are more appropriately addressed in ECCN 7A001.) Also, the term angular rate sensor is added. With the emergence of new gyro technology, the term “angular rate sensor” is interchangeable with “gyro”. b. Revising the Missile Technology
(MT)reason for control in the License Requirements section to read “MT applies to 7A002 items that meet or exceed the parameters of 7A102” because some items identified in 7A002.a and 7A002.b are national security controlled items and not MT controlled items; c. Adding a License Requirement Note to the License Requirements section to add the Missile Technology Control Regime's definition for ‘stability’, which should only be used for the purposes of MT controls. (The Wassenaar Arrangement definition for ‘stability’ is found in Part 772); d. Revising the drift rate in from ‘less (better) than 0.1 degree per hour when specified to function at acceleration levels below 12 g’ to read ‘ less (better) than 0.5 degree per hour when specified to function at linear acceleration levels up to and including 100.g’ combining paragraphs 7A002.a, 7A002.a.1 and 7A002.a.2; e. Adding double quotes around the term “angle random walk” in 7A002.b; f. Removing the technical note defining “angle random walk”, as the definition was moved to Part 772; g. Redesignating paragraph 7A002.c as paragraph 7A002.d; and h. Adding a new paragraph 7A002.c to incorporate three critical parameters for controlling gyros. *Rationale:* With new gyro technology, *e.g.* Fiber Optic Gyros
(FOG)and MicroElectroMechanical System
(MEMS)gyros, the current 7A002.a. and b. language does not adequately control gyros required for very short-term applications and having high rate range, such as those used in tactical missiles and smart munitions. The former 7A002.c addressed gyros with a high linear acceleration capability. The new paragraph 7A002.c includes three critical parameters: drift rate stability, input rate range and angle random walk (ARW). To be controlled, the gyro must meet the drift rate stability and either the input rate range or ARW parameter. The input rate range of 500 degrees per second and the ARW parameter of 0.2 degrees per square root hour were selected because they are consistent with tactical missile and howitzer requirements. The 40 degrees per hour drift rate stability was selected because it would control gyros used for guidance in very short mission tactical weapons and smart munitions, but would avoid the control of gyros used in automobiles. This revision will control the most critical gyros, while allowing wide commercial-use of these new gyro technologies. ECCN 7A003 (Inertial systems) is amended by: a. Adding 7A003.d to control Inertial measurement equipment, including Inertial Measurement Units
(IMU)and Inertial Reference Systems (IRS), which was added to clarify 7A003.c; and b. Replacing a reference in Note 2 that stated “civil authorities of a country in Country Group A:1” with “civil authorities of a Wassenaar Arrangement Participating State, see Supplement No. 1 to Part 743 for a list of these countries.” ECCN 7A008 is added to control underwater sonar navigation systems for NS:2 and AT:1 reasons, because underwater navigation systems pose significant military and terrorism concerns because of their potential use for coastal reconnaissance and infiltration. ECCN 7A101 is amended by revising the Heading and the Items paragraph in the List of Items Controlled section to add a new paragraph 7A101.b for “continuous output accelerometers of any type, specified to function at acceleration levels greater than 100 g, and specially designed components therefor” and to expand the scope of the heading to include this new paragraph. *Rationale:* These accelerometers were previously controlled under ECCN 7A001, but are no longer controlled under this ECCN because of the Wassenaar Arrangement's agreement to add the words “designed for use in inertial navigation or guidance systems.” This revision was necessary in order to maintain the MT controls on these accelerometers as specified by 9.A.5 of the Missile Technology Control Regime Annex. ECCN 7B003 is amended by revising the Related Controls paragraph in the List of Items Controlled section to clarify that 7B003 controls include fiber optic gyro coil winding machines. ECCN 7D003 is amended by: a. Adding software controls for ECCN 7A008 in 7D003.a and .b; b. Replacing the term ‘inertial data’ with ‘heading data’ in 7D003.b; and c. Revising 7D003.b.1 by adding ‘or sonar’. *Rationale:* The revisions to 7D003.a address software that improves navigation performance of equipment controlled by ECCN 7A008. The revisions to 7D003.b address source code for a hybrid underwater navigation system that combines a heading source (inertial or non-inertial, such as a fluxgate compass) with Doppler sonar to provide positioning data to the level specified in ECCN 7A008. ECCNs 7D001, 7E001, and 7E002 are amended to revise the License Requirement section to include ECCN 7A008 in the NS:1 control and to exclude ECCN 7A008 from the MT:1 control. *Rationale:* This revision necessary in order to add NS:1 controls for the related technology and software for the new ECCN 7A008, but to exclude it from MT:1 controls, as equipment controlled by ECCN 7A008 does not appear on the MTCR Annex. ECCN 7E004 is amended by adding 7E004.a.7 to control development and production technology for Data Based Referenced Navigation
(DBRN)systems designed to navigate underwater using sonar or gravity databases that provide a positioning accuracy equal to or less (better) than 0.4 nautical miles. *Rationale:* The addition of ECCN 7A008 and 7E004.a.7 addresses two new commercial capabilities under the title of Underwater Sonar Navigation Systems:
(1)underwater sonar navigation systems and
(2)technology for underwater Data Based Referenced Navigation
(DBRN)(e.g. sonar imaging). These capabilities pose significant military and terrorism concerns because of their potential use for coastal reconnaissance and infiltration. These systems are also used for commercial surveying applications. The Munitions List ML11 controls navigation and guidance systems specially designed for military use, but ML11 does not control underwater sonar navigation systems designed for commercial use. Category 8 Marine ECCN 8A002 (Systems, equipment and components for submersible vehicles) is amended by: a. Adding ‘and components’ to the heading; b. Revising the unit paragraph to add ‘systems’ and ‘components in $ value’; c. Adding ‘and components’ to 8A002.a; d. Adding a new paragraph 8A002.a.4 to control ‘Components manufactured from material specified in ECCN 8C001.’ and adding a technical note to explain that this control includes components in any stage of manufacture, i.e., not in final form. *Rationale:* The completed foam blocks, which are components manufactured from material specified in ECCN 8C001, are ready to use, and therefore it is sensible to control these ‘components,’ as well as the raw material that is already controlled, thus blocking a current loophole in the control text. ECCN 8C001 (Syntactic foam designed for underwater use) is amended to add a reference to 8A002.a.4 in the Related Control paragraph of the List of Items Controlled section. Category 9 Propulsion Systems, Space Vehicles and Related Equipment Category 9 is amended by revising the title of Category 9 to read “Aerospace and Propulsion,” because this Category contains a significant amount of aerospace items. ECCN 9D004 is amended by: a. Revising the License Requirement section to exclude the newly added paragraphs 9D004.f and .g; b. Adding a new paragraph 9D004.f to control software specially designed to design the internal cooling passages of aero gas turbine engine blades, vanes, and tip shrouds; and c. Adding a new paragraph 9D004.g to control software having all of the following characteristics: Being specially designed to predict aero thermal, aeromechanical and combustion conditions in gas turbine engines; and having theoretical modeling predictions of the aero thermal, aeromechanical and combustion conditions, which have been validated with actual turbine engine (experimental or production) performance data. *Rationale:* ECCN 9D004 is amended because this type of software is used in highly advanced research domains and is not part of the “off the shelf” market. Rather, it is developed, and daily improved, by aircraft engine manufacturers. The software is used in the setting of new engines, and the quality is crucial for improving the performances of aircraft engines. ECCN 9E001 is amended by revising the heading and the national security controls to correct the citation 9A001.c to read 9A001.b. ECCN 9E002 is amended by revising the heading to correct the citation 9A001.c to read 9A001.b. Part 742 “Control Policy—CCL Based Controls” This rule amends section 742.19 by revising paragraph (b)(1)(xix) from stating “Microprocessors with a CTP of 550 or above” to read “Microprocessors with a processing speed of 0.5 GFLOPS or above” In addition, this rule amends Supplement No. 2 “Anti-terrorism Controls: Iran, North Korea, Syria and Sudan Contract Sanctity Dates and Related Policies” by revising paragraph (26)(ii) from stating “With a CTP of 550 MTOPS or above” to read “With a processing speed of 0.5 GFLOPS or above.” Retiring Composite Theoretical Performance/Millions of Theoretical Operations Per Second (CTP/MTOPS) Metric The CTP/MTOPS metric was used in measuring computer and microprocessor performance. The usefulness of the CTP/MTOPS metric in defining computer and microprocessor performance has been overtaken by advances in technology. The U.S. Government, in a final rule published in April 2006 (71 FR 20876), replaced the CTP/MTOPS metric with the APP/WT metric for measuring computer performance. The CTP/MTOPS reference was retained in certain parts of the EAR for measuring microprocessor performance because it was still used by the Wassenaar Arrangement
(WA)in defining the control level for microprocessor technology. In the WA 2006 list review, the WA revised its microprocessor technology control and discontinued all uses of the CTP/MTOPS metric in the WA List of Dual-use Goods and Technologies. The U.S. Government is also discontinuing all uses of CTP/MTOPS in the EAR with this implementation of the results of the WA 2006 list review. Deviating From Parallel Control Parameters by Not Using Adjusted Peak Performance/Weighted TeraFLOPS (APP/WT) Metric (Used To Measure Computer Performance) To Measure Microprocessor Performance With the use of the APP/WT metric for measuring computer performance, there is the temptation, following tradition, to use the APP/WT metric to measure microprocessor performance. However, the GFLOPS metric (billions of 64-bit floating-point operations per second) is preferable to the APP/WT metric because:
(a)The GFLOPS value is published by the manufacturer in its product literature.
(b)The additional complexities introduced by the APP/WT metric are unnecessary because there is a direct linear relationship between the proposed GFLOPS metric and the APP/WT metric (1 GFLOPS = 0.001*0.3 WT = 0.0003 WT).
(c)The translation from GFLOPS to WT provides no additional value.
(d)In the 1990s, the Wassenaar Arrangement
(WA)controlled microprocessors with a wide range of operand lengths (8-bit, 16-bit, 32-bit, 64-bit). Today, the WA is only interested in processors with 32- and 64-bit operands. GFLOPS standardizes the measurement on 64-bit floating-point multiply and add. In short, technology has moved forward.
(e)A large part of the CTP formula deals with computer architecture and the rules of aggregation that have absolutely no meaning for microprocessors. Exporters have expressed concern about the need to deal with a complex formula when all they really need is a small part of the CTP formula to calculate the speed of a microprocessor, i.e., GFLOPS. Section 743.1 “Wassenaar Arrangement” Section 743.1 is amended by: • Inserting “6A001” before “a.2.d” for clarification in paragraph (c)(1)(vi); • Adding ECCN 6A006.a.1 to paragraph (c)(1)(vi); • Adding clarification notes in parentheticals after: 6A002.c, 6A003.b.3, and 6A003.b.4 in paragraph (c)(1)(vi); • Replacing the text in the parentheticals after 6A006.d in paragraph (c)(1)(vi) with the reference “certain items only; see Note to this paragraph”; and • Revising the Notes to paragraph (c)(1)(vi) to add another type of focal plane array excluded from reporting under 6A002.a.3, namely, microbolometer focal plane arrays having less than 8,000 elements. Also, adding a new Note 2 to describe which items in 6A006.d are subject to the Wassenaar special reporting requirement. *Rationale:* All of the revisions to 743.1(c)(1)(vi) are made to conform to the Wassenaar Sensitive List and will also affect Wassenaar reporting requirements for ECCNS 6E001 and 6E002. Section 744.17 “Restrictions on certain exports and reexports of general purpose microprocessors for `military end-uses' and to `military end-users' ” is amended by revising the parameter in the first sentence of paragraph
(a)that stated “a composite theoretical performance” (“CTP”) of 6,500 million theoretical operations per second (MTOPS)” to read “a processing speed of 5 GFLOPS”. Definitions in Part 772 Section 772.1 is amended by: a. Removing the terms “Composite theoretical performance (CTP)” and “CTP”; b. Revising the definition of the terms “Drift rate” and “Peak power”; and c. Adding in alphabetical order the definitions for “Angle random walk”, “Average Output Power”, “Compensation Systems”, “CW Laser”, “Pulsed Laser”, and “Repeatability”. Supplement No. 3 to Part 774—Statements of Understanding This rule adds a Statement of Understanding
(SOU)addressing source code. The SOU explains that source code may be controlled in either a software or technology entry. The rationale for adding this SOU was to allow flexibility to control source code in either a software or a technology entry, where the definitions for “software” and “technology” didn't seem to allow for such flexibility. This SOU only applies to national security controlled items, as no such SOU has been agreed to in other multinational regimes. However, this does not preclude other regimes or BIS from controlling source code in whatever manner is best suited for the situation. For the purposes of applying this SOU to source code subject to the EAR, source code should be considered “software,” unless otherwise stated. Although the Export Administration Act expired on August 20, 2001, the President, through Executive Order 13222 of August 17, 2001, 3 CFR, 2001 Comp., p. 783 (2002), as extended by the Notice of August 15, 2007, 72 FR 46137 (August 16, 2007), has continued the Export Administration Regulations in effect under the International Emergency Economic Powers Act. Saving Clause Shipments of items removed from license exception eligibility or eligibility for export without a license as a result of this regulatory action that were on dock for loading, on lighter, laden aboard an exporting carrier, or en route aboard a carrier to a port of export, on November 5, 2007, pursuant to actual orders for export to a foreign destination, may proceed to that destination under the previous license exception eligibility or without a license so long as they have been exported from the United States before December 5, 2007. Any such items not actually exported before midnight, on December 5, 2007, require a license in accordance with this regulation. Rulemaking Requirements 1. This final rule has been determined to be not significant for purposes of Executive Order 12866. 2. Notwithstanding any other provision of law, no person is required to respond to, nor shall any person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ) (PRA), unless that collection of information displays a currently valid Office of Management and Budget
(OMB)Control Number. This rule involves two collections of information subject to the PRA. One of the collections has been approved by OMB under control number 0694 0088, “Multi Purpose Application,” and carries a burden hour estimate of 58 minutes for a manual or electronic submission. The other of the collections has been approved by OMB under control number 0694 0106, “Reporting and Recordkeeping Requirements under the Wassenaar Arrangement,” and carries a burden hour estimate of 21 minutes for a manual or electronic submission. Send comments regarding these burden estimates or any other aspect of these collections of information, including suggestions for reducing the burden, to OMB Desk Officer, New Executive Office Building, Washington, DC 20503; and to the Office of Administration, Bureau of Industry and Security, Department of Commerce, 14th and Pennsylvania Avenue, NW., Room 6622, Washington, DC 20230. 3. This rule does not contain policies with Federalism implications as that term is defined under Executive Order 13132. 4. The provisions of the Administrative Procedure Act (5 U.S.C. 553) requiring notice of proposed rulemaking, the opportunity for public participation, and a delay in effective date, are inapplicable because this regulation involves a military and foreign affairs function of the United States (5 U.S.C. 553(a)(1)). Further, no other law requires that a notice of proposed rulemaking and an opportunity for public comment be given for this final rule. Because a notice of proposed rulemaking and an opportunity for public comment are not required to be given for this rule under the Administrative Procedure Act or by any other law, the analytical requirements of the Regulatory Flexibility Act (5 U.S.C. 601 *et seq.* ) are not applicable. Therefore, this regulation is issued in final form. Although there is no formal comment period, public comments on this regulation are welcome on a continuing basis. Comments should be submitted to Sharron Cook, Office of Exporter Services, Bureau of Industry and Security, Department of Commerce, P.O. Box 273, Washington, DC 20044. List of Subjects 15 CFR Part 742 Exports, Terrorism. 15 CFR Part 743 Administrative practice and procedure, Reporting and recordkeeping requirements. 15 CFR Part 744 Exports, Reporting and recordkeeping requirements, Terrorism. 15 CFR Part 772 Exports. 15 CFR Part 774 Exports, Reporting and recordkeeping requirements. Accordingly, parts 742, 743, 744, 772 and 774 of the Export Administration Regulations (15 CFR parts 730 799) are amended as follows: PART 742—[AMENDED] 1. The authority citation for part 742 continues to read as follows: Authority: 50 U.S.C. app. 2401 *et seq.* ; 50 U.S.C. 1701 *et seq.* ; 22 U.S.C. 3201 *et seq.* ; 42 U.S.C. 2139a; Sec. 901-911, Pub. L. 106-387; Sec. 221, Pub. L. 107-56; Sec 1503, Pub.L. 108-11, 117 Stat. 559; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Presidential Determination 2003-23 of May 7, 2003, 68 FR 26459, May 16, 2003; Notice of August 3, 2006, 71 FR 44551 (August 7, 2006); Notice of October 27, 2006, 71 FR 64109 (October 31, 2006); Notice of August 15, 2007, 72 FR 46137 (August 16, 2007). 2. Section 742.19 is amended by revising paragraph (b)(1)(xix) to read “Microprocessors with a processing speed of 0.5 GFLOPS or above.” 3. Supplement No. 2 to Part 742 is amended by revising paragraph (c)(26)(ii) introductory text to read as follows: Supplement No. 2 to Part 742—Anti-Terrorism Controls: Iran, North Korea, Syria and Sudan Contract Sanctity Dates and Related Policies
(c)* * *
(26)* * *
(ii)With a processing speed of 0.5 GFLOPS or above.” PART 743—[AMENDED] 4. The authority citation for part 743 continues to read as follows: Authority: 50 U.S.C. app. 2401 *et seq;* Pub.L. 106-508; 50 U.S.C. 1701 *et seq;* Notice of August 3, 2006, 71 FR 44551 (August 7, 2006); Notice of August 15, 2007, 72 FR 46137 (August 16, 2007). 5 . Section 743.1 is amended by revising paragraph (c)(1)(vi), revising the Note to this paragraph, as follows: § 743.1 Wassenaar Arrangement.
(c)* * *
(1)* * *
(vi)*Category 6:* 6A001.a.1.b (changing 10 kHz to 5 kHz and adding the text “or a sound pressure level exceeding 224 dB (reference 1 μPa at 1 m) for equipment with an operating frequency in the band from 5kHz to 10 kHz inclusive” to the existing text in 6A001.a.1.b.1), and 6A001.a.2.d; 6A002.a.1.a, 6A002.a.1.b, 6A002.a.2.a (changing 350 uA/Im to 700 uA/Im in 6A002.a.2.a.3.a), 6A002.a.3, 6A002.b, 6A002.c (incorporating 6A002.a.2.a or 6A002.a.3 having characteristics described in this paragraph), 6A002.e; 6A003.b.3 (incorporating 6A002.a.2.a having characteristics described in this paragraph), 6A003.b.4 (incorporating 6A002.a.3 having characteristics described in this paragraph); 6A004.c and d; 6A006.a.1, 6A006.a.2 (having a “noise level” (sensitivity) lower (better) than 2pT rms per square root Hz),6A006.d (certain items only; see Note to this paragraph); 6A008.d, .h, and .k; 6D001 (for 6A004.c and .d and 6A008.d, .h, and .k); 6E001 (for equipment and software listed in this paragraph); and 6E002 (for equipment listed in this paragraph); *Notes to paragraph (c)(1)(vi):* Note 1: Reports for 6A002.a.3 exclude the following “focal plane arrays”: a. Platinum Silicide having less than 10,000 elements; b. Iridium Silicide; c. Indium Antimonide or Lead Selenide having less than 256 elements; d. Indium Arsenide; e. Lead Sulphide; f. Indium Gallium Arsenide; g. Mercury Cadmium Telluride, as follows: 1. `Scanning Arrays' having any of the following: a. 30 elements or less; or b. Incorporating time delay-and-integration within the element and having 2 elements or less; 2. `Staring Arrays' less than 256 elements; *Technical Notes:* `Scanning Arrays' are defined as “focal plane arrays” designed for use with a scanning optical system that images a scene in a sequential manner to produce an image. `Staring Arrays' are defined as “focal plane arrays” unfortunately designed for use with a non-scanning optical system that images a scene. h. Gallium Arsenide or Gallium Aluminum Arsenide quantum well having less than 256 elements; and i. Microbolometer having less than 8,000 elements. Note 2: *Reports for 6A006.d,* are for “compensation systems” for the following: a. Magnetic sensors controlled in 6A006.a.2. using optically pumped or nuclear precession (proton/Overhauser) “technology” that will permit these sensors to realize a “noise level” (sensitivity) lower (better) than 2 pT rms per square root Hz. b. Underwater electric field sensors controlled in 6A006.b. c. Magnetic gradiometers controlled in 6A006.c. that will permit these sensors to realize a “noise level” (sensitivity) lower (better) than 3 pT/m rms per square root Hz. PART 744—[AMENDED] 6. The authority citation for part 744 continues to read as follows: Authority: 50 U.S.C. app. 2401 *et seq.* ; 50 U.S.C. 1701 *et seq.* ; 22 U.S.C. 3201 *et seq.* ; 42 U.S.C. 2139a; Sec. 901-911, Pub. L. 106-387; Sec. 221, Pub. L. 107-56; E.O. 12058, 43 FR 20947, 3 CFR, 1978 Comp., p. 179; E.O. 12851, 58 FR 33181, 3 CFR, 1993 Comp., p. 608; E.O. 12938, 59 FR 59099, 3 CFR, 1994 Comp., p. 950; E.O. 12947, 60 FR 5079, 3 CFR, 1995 Comp., p. 356; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13099, 63 FR 45167, 3 CFR, 1998 Comp., p. 208; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; E.O. 13224, 66 FR 49079, 3 CFR, 2001 Comp., p. 786; Notice of August 3, 2006, 71 FR 44551 (August 7, 2006); Notice of October 27, 2006, 71 FR 64109 (October 31, 2006); Notice of August 15, 2007, 72 FR 46137 (August 16, 2007). 7. Section 744.17 is amended by revising paragraph
(a)to read as follows: § 744.17 Restrictions on Certain Exports and Reexports of General Purpose Microprocessors for `Military End-uses' and to `Military End-users.'
(a)*General prohibition.* In addition to the license requirements for anti-terrorism reasons set forth in Part 42 of the EAR, you may not export or reexport commodities described in ECCN 3A991.a.1 on the CCL (“microprocessor microcircuits”, “microcomputer microcircuits”, and microcontroller microcircuits having a processing speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more), without a license if, at the time of the export or reexport, you know, have reason to know, or are informed by BIS that the item will be or is intended to be used for a `military end-use,' as defined in paragraph
(d)of this section, in Country Group D:1 (see Supplement No. 1 to Part 740 of the EAR); or by a `military end-user,' as defined in paragraph
(e)of this section, in Country Group D:1. This license requirement does not apply to exports or reexports of items for the official use by personnel and agencies of the U.S. Government or agencies of a cooperating government. See § 740.11(b)(3) of the EAR for definitions of “agency of the U.S. Government” and “agency of a cooperating government”. PART 772—[AMENDED] 8. The authority citation for part 772 continues to read as follows: Authority: 50 U.S.C. app. 2401 *et seq.* ; 50 U.S.C. 1701 *et seq.* ; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 3, 2006, 71 FR 44551 (August 7, 2006); Notice of August 15, 2007, 72 FR 46137 (August 16, 2007). 9. Section 772.1 is amended by: a. Removing the definitions of the terms “Composite theoretical performance” and “CTP”; b. Revising the definition of the terms “Drift rate” and “Peak power”, as set forth below; c. Adding in alphabetical order the definitions for “Angle random walk”, “Average Output Power”, “Compensation systems”, “CW Laser”, “Pulsed Laser”, and “Repeatability” to read as follows: § 772.1 Definitions of Terms as Used in the Export Administration Regulations (EAR). “ *Angle random walk* ”. (Cat 7) The angular error buildup with time that is due to white noise in angular rate. (IEEE STD 528-2001) “ *Average Output Power* ”. (Cat 6) The average output power is the total “laser” output energy in joules divided by the “laser duration” in seconds. “ *Compensation systems* ”. (Cat 6) Consist of the primary scalar sensor, one or more reference sensors ( *e.g.* , vector magnetometers) together with software that permit reduction of rigid body rotation noise of the platform. “ *CW Laser* ”. (Cat 6) A CW (Continuous Wave) laser is defined as a laser that produces a nominally constant output energy for greater than 0.25 seconds. “ *Drift rate* ”.
(gyro)(Cat 7)—The component of gyro output that is functionally independent of input rotation. It is expressed as an angular rate. (IEEE STD 528-2001) “ *Peak power* ”. (Cat 6)—The highest level of power attained in the “laser duration”. Note: “ *Laser Duration* ” is the time over which a “laser” emits “laser” radiation, which for “pulsed lasers” corresponds to the time over which a single pulse or series of consecutive pulses is emitted. “ *Pulsed Laser* ”. (Cat 6)—A pulsed “laser” is defined as having a “pulse duration” that is less than or equal to 0.25 seconds. “ *Repeatability* ”. (Cat 7)—The closeness of agreement among repeated measurements of the same variable under the same operating conditions when changes in conditions or non-operating periods occur between measurements. (Reference: IEEE STD 528-2001 (one sigma standard deviation)) PART 774—[AMENDED] 10. The authority citation for part 774 continues to read as follows: Authority: 50 U.S.C. app. 2401 *et seq.* ; 50 U.S.C. 1701 *et seq.* ; 10 U.S.C. 7420; 10 U.S.C. 7430(e); 22 U.S.C. 287c, 22 U.S.C. 3201 *et seq.* , 22 U.S.C. 6004; 30 U.S.C. 185(s), 185(u); 42 U.S.C. 2139a; 42 U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. 466c; 50 U.S.C. app. 5; Sec. 901-911, Pub. L. 106-387; Sec. 221, Pub. L. 107-56; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 3, 2006, 71 FR 44551 (August 7, 2006); Notice of August 15, 2007, 72 FR 46137 (August 16, 2007). Supplement No. 1 to Part 774—Commerce Control List [Amended] 11. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export Control Classification Number
(ECCN)1A002 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows: **1A002 “Composite” structures or laminates, having any of the following (see List of Items Controlled).** List of Items Controlled *Unit:* * * * *Related Controls:* * * * *Related Definitions:* * * * *Items:* a. Consisting of an organic “matrix” and materials controlled by 1C010.c 1C010.d, or 1C010.e or Note: 1A002.a does not control finished or semifinished items specially designed for purely civilian applications as follows: a. Sporting goods; b. Automotive industry; c. Machine tool industry; and d. Medical applications. b. Consisting of a metal or carbon “matrix” and any of the following: b.1. Carbon “fibrous or filamentary materials” with: b.1.a. A “specific modulus” exceeding 10.15 × 10 6 m; and b.1.b. A “specific tensile strength” exceeding 17.7 × 10 4 m; or b.2. Materials controlled by 1C010.c. Note: 1A002.b does not control finished or semifinished items specially designed for purely civilian applications as follows: a. Sporting goods; b. Automotive industry; c. Machine tool industry; and d. Medical applications. *Technical Notes:* 1. Specific modulus: Young's modulus in pascals, equivalent to N/m 2 , divided by specific weight in N/m 3 , measured at a temperature of (296 ± 2) K ((23 ± 2) °C) and a relative humidity of (50 ± 5)%. 2. Specific tensile strength: ultimate tensile strength in pascals, equivalent to N/m 2 divided by specific weight in N/m 3 , measured at a temperature of (296 ± 2) K ((23 ± 2) °C) and a relative humidity of (50 ± 5) %. Note: 1A002 does not control composite structures or laminates made from epoxy resin impregnated carbon “fibrous or filamentary materials” for the repair of “civil aircraft” structures of laminates, provided that the size does not exceed 100 cm × 100 cm. 12. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export Control Classification Number
(ECCN)1A004 is amended by revising the “Related Controls” paragraph in the List of Items Controlled section, to read as follows: **1A004 Protective and detection equipment and components not specially designed for military use as follows (see List of Items Controlled).** List of Items Controlled *Unit:* * * * *Related Controls:*
(1)See ECCNs 1A995, 2B351, and 2B352.
(2)See ECCN 1D003 for “software” specially designed or modified to enable equipment to perform the functions of equipment controlled under section 1A004.c (Nuclear, biological and chemical
(NBC)detection systems).
(3)See ECCN 1E002.g for control libraries (parametric technical databases) specially designed or modified to enable equipment to perform the functions of equipment controlled under 1A004.c (Nuclear, biological and chemical
(NBC)detection systems).(4) Chemical and biological protective and detection equipment specifically designed, developed, modified, configured, or adapted for military applications is subject to the export licensing jurisdiction of the Department of State, Directorate of Defense Trade Controls (see 22 CFR part 121, category XIV(f)), as is commercial equipment that incorporates components or parts controlled under that category unless those components or parts are:
(1)Integral to the device;
(2)inseparable from the device; and
(3)incapable of replacement without compromising the effectiveness of the device, in which case the equipment is subject to the export licensing jurisdiction of the Department of Commerce under ECCN 1A004. *Related Definitions:* * * * *Items:* * * * 13. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export Control Classification Number
(ECCN)1B001 is amended by revising the “heading,” the License Requirement section, and paragraph
(f)in the “items” paragraph of the List of Items Controlled section, to read as follows: **1B001 Equipment for the production of fibers, prepregs, preforms or “composites” controlled by 1A002 or 1C010, as follows (see List of Items Controlled), and specially designed components and accessories therefor.** License Requirements *Reason for Control:* NS, MT, NP, AT Control(s) Country chart NS applies to entire entry NS Column 2. MT applies to entire entry, except 1B001.d.4 and .f MT Column 1. **Note:** MT applies to equipment in 1B001.d that meet or exceed the parameters of 1B101. NP applies to filament winding machines described in 1B001.a that are capable of winding cylindrical rotors having a diameter between 75 mm (3 in) and 400 mm (16 in) and lengths of 600 mm (24 in) or greater; AND coordinating and programming controls and precision mandrels for these filament winding machines NP Column 1. AT applies to entire entry AT Column 1. List of Items Controlled *Unit:* * * * *Related Controls:* * * * *Related Definitions:* * * * *Items:* f. Non-destructive inspection equipment specially designed for “composite” materials, as follows: f.1. X-ray tomography systems for three dimensional defect inspection; f.2. Numerically controlled ultrasonic testing machines of which the motions for positioning transmitters and/or receivers are simultaneously coordinated and programmed in four or more axes to follow the three dimensional contours of the component under inspection. 14. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export Control Classification Number
(ECCN)1C005 is amended by revising the List of Items Controlled section, to read as follows: **1C005 “Superconductive” “composite” conductors in lengths exceeding 100 m or with a mass exceeding 100 g, as follows (see List of Items Controlled).** List of Items Controlled *Unit:* Kilograms *Related Controls:* N/A *Related Definitions:* N/A *Items:* a. “Superconductive” “composite” conductors containing one or more niobium-titanium filaments, having all of the following: a.1. Embedded in a “matrix” other than a copper or copper-based mixed “matrix”; and a.2. Having a cross-section area less than 0.28 × 10 −4 mm 2 (6 μm in diameter for circular filaments); b. “Superconductive” “composite” conductors consisting of one or more “superconductive” filaments other than niobium-titanium, having all of the following: b.1. A “critical temperature” at zero magnetic induction exceeding 9.85 K (−263.31 °C); and b.2. Remaining in the “superconductive” state at a temperature of 4.2 K (−268.96 °C) when exposed to a magnetic field oriented in any direction perpendicular to the longitudinal axis of conductor and corresponding to a magnetic induction of 12 T with critical current density exceeding 1750 A/mm 2 on overall cross-section of the conductor. c. “Superconductive” “composite” conductors consisting of one or more “superconductive” filaments which remain “superconductive” above 115 K (−158.16 °C). *Technical Note:* For the purpose of 1C005, filaments may be in wire, cylinder, film, tape or ribbon form. 15. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export Control Classification Number
(ECCN)1C008 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows: **1C008 Non fluorinated polymeric substances, as follows (see List of Items Controlled).** List of Items Controlled *Unit:* * * * *Related Controls:* * * * *Related Definitions:* * * * *Items:* a. Non-fluorinated polymeric substances, as follows: a.1. Bismaleimides; a.2. Aromatic polyamide-imides; a.3. Aromatic polyimides; a.4. Aromatic polyetherimides having a glass transition temperature
(Tg)exceeding 513K (240 °C). Notes: 1. 1C008.a controls the substances in liquid or solid form, including resin, powder, pellet, film, sheet, tape, or ribbon. 2. 1C008.a does not control non-fusible compression molding powders or molded forms. b. Thermoplastic liquid crystal copolymers having a heat distortion temperature exceeding 523 K (250 °C) measured according to ISO 75-2 (2004), method A, or national equivalents, with a load of 1.80 N/mm 2 and composed of: b.1. Any of the following: b.1.a. Phenylene, biphenylene or naphthalene; or b.1.b. Methyl, tertiary-butyl or phenyl substituted phenylene, biphenylene or naphthalene; and b.2. Any of the following acids: b.2.a. Terephthalic acid; b.2.b. 6-hydroxy-2 naphthoic acid; or b.2.c. 4-hydroxybenzoic acid; c. [RESERVED] d. Polyarylene ketones; e. Polyarylene sulphides, where the arylene group is biphenylene, triphenylene or combinations thereof; f. Polybiphenylenethersulphone having a glass transition temperature
(Tg)exceeding 513 K (240 °C). **Technical Note:** The glass transition temperature
(Tg)for 1C008 materials is determined using the method described in ISO 11357-2
(1999)or national equivalents. 16 . In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export Control Classification Number
(ECCN)1C010, the “items” paragraph in the List of Items Controlled section is amended by: a. Revising the Note for 1C010.b that follows the technical note following paragraph b.2. to read as set forth below; and b. Revising the Notes and Technical Note following paragraph e.2.d., to read as follows: **1C010 “Fibrous or filamentary materials” which may be used in organic “matrix”, metallic “matrix” or carbon “matrix” “composite” structures or laminates, as follows (see List of Items Controlled).** List of Items Controlled *Unit:* * * * *Related Controls:* * * * *Related Definitions:* * * * *Items:* b. * * * b.2. * * * *Technical Note:* * * * Note: 1C010.b does not control fabric made from “fibrous or filamentary materials” for the repair of “civil aircraft” structures or laminates, in which the size of individual sheets does not exceed 100 cm x 100 cm. e. * * * e.2. * * * e.2.d. * * * Notes: 1C010.e does not control: 1. Epoxy resin “matrix” impregnated carbon “fibrous or filamentary materials” (prepregs) for the repair of “civil aircraft” structures or laminates, in which the size of individual sheets of prepreg does not exceed 100 cm x 100 cm; 2. Prepregs when impregnated with phenolic or epoxy resins having a glass transition temperature (T <sup>g</sup> ) less than 433 K (160 °C) and a cure temperature lower than the glass transition temperature. *Technical Note:* The glass transition temperature (T <sup>g</sup> ) for 1C010.e materials is determined using the method described in ASTM D 3418 using the dry method. The glass transition temperature for phenolic and epoxy resins is determined using the method described in ASTM D 4065 at a frequency of 1 Hz and a heating rate of 2 K (2 °C) per minute using the dry method. 17 . In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export Control Classification Number
(ECCN)1C998 is amended by revising the “items” paragraph in the List of Items Controlled section, to read as follows: **1C998 Non fluorinated polymeric substances, not controlled by 1C008, as follows (see List of Items Controlled).** List of Items Controlled *Unit:* * * * *Related Controls:* * * * *Related Definitions:* * * * *Items:* a. Polyarylene ether ketones, as follows: a.1 Polyether ether ketone (PEEK); a.2. Polyether ketone ketone (PEKK); a.3. Polyether ketone (PEK); a.4. Polyether ketone ether ketone ketone (PEKEKK); b. [RESERVED]. 18 . In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1 Materials, Chemicals, Microorganisms, and Toxins is amended by adding Export Control Classification Number
(ECCN)1D003, to read as follows: **1D003 “Software” specially designed or modified to enable equipment to perform the functions of equipment controlled under 1A004.c.** License Requirements *Reason for Control:* NS, AT Control(s) Country chart NS applies to entire entry NS Column 2. AT applies to entire entry AT Column 1. License Exceptions CIV: N/A TSR: N/A List of Items Controlled *Unit:* $ value *Related Controls:* N/A *Related Definitions:* N/A *Items:* The list of items controlled is contained in the ECCN heading. 19. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export Control Classification Number
(ECCN)1E001 is amended by revising the “Related Controls” paragraph in the List of Items Controlled section, to read as follows: **1E001 “Technology” according to the General Technology Note for the “development” or “production” of items controlled by 1A001.b, 1A001.c, 1A002, 1A003, 1A004, 1A005, 1A101, 1B (except 1B999), or 1C (except 1C355, 1C980 to 1C984, 1C988, 1C990, 1C991, 1C992, 1C995 to 1C999).** List of Items Controlled *Unit:* * * * *Related Controls:*
(1)Also see ECCNs 1E101, 1E201, and 1E202.
(2)See ECCN 1E002.g for control libraries (parametric technical databases) specially designed or modified to enable equipment to perform the functions of equipment controlled under 1A004.c (Nuclear, biological and chemical
(NBC)detection systems).
(3)“Technology” for lithium isotope separation (see related ECCN 1B233) and “technology” for items described in ECCN 1C012 are subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
(4)“Technology” for items described in ECCN 1A102 is subject to the export licensing authority of the U.S. Department of State, Directorate of Defense Trade Controls (see 22 CFR part 121). *Related Definitions:* * * * *Items:* * * * 20. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 1 Materials, Chemicals, Microorganisms, and Toxins, Export Control Classification Number
(ECCN)1E002 is amended by: a. Revising the License Requirements section to read as set forth below; and b. Add a new paragraph g to the items paragraph in the List of Items Controlled section, to read as follows: **1E002 Other “technology”, as follows (see List of Items Controlled).** License Requirements *Reason for Control:* NS, MT, AT Control(s) Country chart NS applies to entire entry, except 1E002.g NS Column 1. NS applies to 1E002.g NS Column 2. MT applies to 1E002.e MT Column 1. AT applies to entire entry AT Column 1. *License Requirement Notes:* See § 743.1 of the EAR for reporting requirements for exports under License Exceptions. List of Items Controlled *Items:* g. Libraries (parametric technical databases) specially designed or modified to enable equipment to perform the functions of equipment controlled under 1A004.c. *Technical Note:* For the purpose of 1E002.g, the term ‘library' (parametric technical database) means a collection of technical information, reference to which may enhance the performance of relevant equipment or systems. 21. Supplement No. 1 to Part 774 (the Commerce Control List), Category 2 Materials Processing, Export Control Classification Number
(ECCN)2B001 is amended by revising the Unit paragraph in the List of Items Controlled section and the Note following paragraph 2B001.a.2 in the Items paragraph of the List of Items Controlled section to read as follows: **2B001 Machine tools and any combination thereof, for removing (or cutting) metals, ceramics or “composites”, which, according to the manufacturer's technical specifications, can be equipped with electronic devices for “numerical control”; and specially designed components (see List of Items Controlled).** List of Items Controlled *Unit:* Equipment in number; components in $ value *Items:* a. * * * a.2. * * * Note: 2B001.a does not control turning machines specially designed for the production of contact lenses, having all of the following characteristics: 1. Machine controller limited to using ophthalmic based software for part programming data input; *and* 2. No vacuum chucking. 22 . Supplement No. 1 to Part 774 (the Commerce Control List), Category 2 Materials Processing, Export Control Classification Number
(ECCN)2B002 is amended by revising the heading and the List of Items Controlled section to read as follows: **2B002 Numerically controlled optical finishing machine tools equipped to produce non-spherical optical surfaces, having all of the following characteristics (See List of Items Controlled).** List of Items Controlled *Unit:* Equipment in number *Related Controls:* See also 2B001. *Related Definitions:* For the purposes of 2B002, ‘MRF’ is a material removal process using an abrasive magnetic fluid whose viscosity is controlled by a magnetic field. ‘ERF’ is removal process using an abrasive fluid whose viscosity is controlled by an electric field. ‘Energetic particle beam finishing’ uses Reactive Atom Plasmas
(RAP)or ion-beams to selectively remove material. *Items:* a. Finishing the form to less (better) than 1.0 μm; b. Finishing to a roughness less (better) than 100 nm rms; c. Three or more axes which can be coordinated simultaneously for “contouring control”; and d. Using any of the following processes; d.1. Magnetorheological finishing (‘MRF’); d.2. Electrorheological finishing (‘ERF’); or d.3. ‘Energetic particle beam finishing’. 23 . In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics, Export Control Classification Number
(ECCN)3A001 is amended revising the License Exceptions section and “items” paragraph in the List of Items Controlled section, to read as follows: **3A001 Electronic components, as follows (see List of Items Controlled).** License Exceptions LVS: N/A for MT or NP Yes for: $1500: 3A001.c $3000: 3A001.b.1, b.2, b.3, b.9, .d, .e, .f, and .g $5000: 3A001.a (except a.1.a and a.5.a when controlled for MT), and .b.4 to b.7 GBS: Yes for 3A001.a.1.b, a.2 to a.12 (except .a.5.a when controlled for MT), b.2, b.8 (except for TWAS exceeding 18 GHz), b.9., and .g CIV: Yes for 3A001.a.3, a.4, a.7, and a.11 List of Items Controlled *Unit:* * * * *Related Controls:* * * * *Related Definitions:* * * * *Items:* a. General purpose integrated circuits, as follows: Note 1: The control status of wafers (finished or unfinished), in which the function has been determined, is to be evaluated against the parameters of 3A001.a. Note 2: Integrated circuits include the following types: • “Monolithic integrated circuits”; • “Hybrid integrated circuits”; • “Multichip integrated circuits”; • “Film type integrated circuits”, including silicon-on-sapphire integrated circuits; • “Optical integrated circuits”. a.1. Integrated circuits, designed or rated as radiation hardened to withstand any of the following: a.1.a. A total dose of 5 × 10 3 Gy (Si), or higher; a.1.b. A dose rate upset of 5 × 10 6 Gy (Si)/s, or higher; or a.1.c. A fluence (integrated flux) of neutrons (1 MeV equivalent) of 5 × 10 13 n/cm 2 or higher on silicon, or its equivalent for other materials; Note: 3A001.a.1.c does not apply to Metal Insulator Semiconductors (MIS). a.2. “Microprocessor microcircuits”, “microcomputer microcircuits”, microcontroller microcircuits, storage integrated circuits manufactured from a compound semiconductor, analog-to-digital converters, digital-to-analog converters, electro-optical or “optical integrated circuits” designed for “signal processing”, field programmable logic devices, neural network integrated circuits, custom integrated circuits for which either the function is unknown or the control status of the equipment in which the integrated circuit will be used in unknown, Fast Fourier Transform
(FFT)processors, electrical erasable programmable read-only memories (EEPROMs), flash memories or static random-access memories (SRAMs), having any of the following: a.2.a. Rated for operation at an ambient temperature above 398 K (125 °C); a.2.b. Rated for operation at an ambient temperature below 218 K(-55 °C); or a.2.c. Rated for operation over the entire ambient temperature range from 218 K (-55 °C) to 398 K (125 °C); Note: 3A001.a.2 does not apply to integrated circuits for civil automobile or railway train applications. a.3. “Microprocessor microcircuits”, “micro-computer microcircuits” and microcontroller microcircuits, manufactured from a compound semiconductor and operating at a clock frequency exceeding 40 MHz; Note: 3A001.a.3 includes digital signal processors, digital array processors and digital coprocessors. a.4. Storage integrated circuits manufactured from a compound semiconductor; a.5. Analog-to-digital and digital-to-analog converter integrated circuits, as follows: a.5.a. Analog-to-digital converters having any of the following: a.5.a.1. A resolution of 8 bit or more, but less than 10 bit, with an output rate greater than 500 million words per second; a.5.a.2 A resolution of 10 bit or more, but less than 12 bit, with an output rate greater than 200 million words per second; a.5.a.3. A resolution of 12 bit with an output rate greater than 105 million words per second; a.5.a.4. A resolution of more than 12 bit but equal to or less than 14 bit with an output rate greater than 10 million words per second; or a.5.a.5. A resolution of more than 14 bit with an output rate greater than 2.5 million words per second. a.5.b. Digital-to-analog converters with a resolution of 12 bit or more, and a “settling time” of less than 10 ns; *Technical Notes:* 1. A resolution of n bit corresponds to a quantization of 2n levels. 2. The number of bits in the output word is equal to the resolution of the analogue-to-digital converter. 3. The output rate is the maximum output rate of the converter, regardless of architecture or oversampling. Vendors may also refer to the output rate as sampling rate, conversion rate or throughput rate. It is often specified in megahertz
(MHz)or mega samples per second (MSPS). 4. For the purpose of measuring output rate, one output word per second is equivalent to one Hertz or one sample per second. a.6. Electro-optical and “optical integrated circuits” designed for “signal processing” having all of the following: a.6.a. One or more than one internal “laser” diode; a.6.b. One or more than one internal light detecting element; and a.6.c. Optical waveguides; a.7. Field programmable logic devices having any of the following: a.7.a. An equivalent usable gate count of more than 30,000 (2 input gates); a.7.b. A typical “basic gate propagation delay time” of less than 0.1 ns; or a.7.c. A toggle frequency exceeding 133 MHz; Note: 3A001.a.7 includes: Simple Programmable Logic Devices (SPLDs), Complex Programmable Logic Devices (CPLDs), Field Programmable Gate Arrays (FPGAs), Field Programmable Logic Arrays (FPLAs), and Field Programmable Interconnects (FPICs). N.B.: Field programmable logic devices are also known as field programmable gate or field programmable logic arrays. a.8. [RESERVED] a.9. Neural network integrated circuits; a.10. Custom integrated circuits for which the function is unknown, or the control status of the equipment in which the integrated circuits will be used is unknown to the manufacturer, having any of the following: a.10.a. More than 1,000 terminals; a.10.b. A typical “basic gate propagation delay time” of less than 0.1 ns; or a.10.c. An operating frequency exceeding 3 GHz; a.11. Digital integrated circuits, other than those described in 3A001.a.3 to 3A001.a.10 and 3A001.a.12, based upon any compound semiconductor and having any of the following: a.11.a. An equivalent gate count of more than 3,000 (2 input gates); or a.11.b. A toggle frequency exceeding 1.2 GHz; a.12. Fast Fourier Transform
(FFT)processors having a rated execution time for an N-point complex FFT of less than (N log <sup>2</sup> N)/20,480 ms, where N is the number of points; *Technical Note:* When N is equal to 1,024 points, the formula in 3A001.a.12 gives an execution time of 500 μs. b. Microwave or millimeter wave components, as follows: b.1. Electronic vacuum tubes and cathodes, as follows: Note 1: 3A001.b.1 does not control tubes designed or rated for operation in any frequency band which meets all of the following characteristics:
(a)Does not exceed 31.8 GHz; and
(b)Is “allocated by the ITU” for radio-communications services, but not for radio-determination. Note 2: 3A001.b.1 does not control non-“space-qualified” tubes which meet all the following characteristics:
(a)An average output power equal to or less than 50 W; and
(b)Designed or rated for operation in any frequency band which meets all of the following characteristics:
(1)Exceeds 31.8 GHz but does not exceed 43.5 GHz; and
(2)Is “allocated by the ITU” for radio-communications services, but not for radio-determination. b.1.a. Traveling wave tubes, pulsed or continuous wave, as follows: b.1.a.1. Operating at frequencies exceeding 31.8 GHz; b.1.a.2. Having a cathode heater element with a turn on time to rated RF power of less than 3 seconds; b.1.a.3. Coupled cavity tubes, or derivatives thereof, with a “fractional bandwidth” of more than 7% or a peak power exceeding 2.5 kW; b.1.a.4. Helix tubes, or derivatives thereof, with any of the following characteristics: b.1.a.4.a. An “instantaneous bandwidth” of more than one octave, and average power (expressed in kW) times frequency (expressed in GHz) of more than 0.5; b.1.a.4.b. An “instantaneous bandwidth” of one octave or less, and average power (expressed in kW) times frequency (expressed in GHz) of more than 1; or b.1.a.4.c. Being “space qualified”; b.1.b. Crossed-field amplifier tubes with a gain of more than 17 dB; b.1.c. Impregnated cathodes designed for electronic tubes producing a continuous emission current density at rated operating conditions exceeding 5 A/cm 2 ; b.2. Microwave monolithic integrated circuits
(MMIC)power amplifiers having any of the following: b.2.a. Rated for operation at frequencies exceeding 3.2 GHz up to and including 6 GHz and with an average output power greater than 4W (36 dBm) with a “fractional bandwidth” greater than 15%; b.2.b. Rated for operation at frequencies exceeding 6 GHz up to and including 16 GHz and with an average output power greater than 1W (30 dBm) with a “fractional bandwidth” greater than 10%; b.2.c. Rated for operation at frequencies exceeding 16 GHz up to and including 31.8 GHz and with an average output power greater than 0.8W (29 dBm) with a “fractional bandwidth” greater than 10%; b.2.d. Rated for operation at frequencies exceeding 31.8 GHz up to and including 37.5 GHz; b.2.e. Rated for operation at frequencies exceeding 37.5 GHz up to and including 43.5 GHz and with an average output power greater than 0.25W (24 dBm) with a “fractional bandwidth” greater than 10%; or b.2.f. Rated for operation at frequencies exceeding 43.5 GHz. Note 1: 3A001.b.2 does not control broadcast satellite equipment designed or rated to operate in the frequency range of 40.5 to 42.5 GHz. Note 2: The control status of the MMIC whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.2.a through 3A001.b.2.f, is determined by the lowest average output power control threshold. Note 3: Notes 1 and 2 following the Category 3 heading for A. Systems, Equipment, and Components mean that 3A001.b.2. does not control MMICs if they are specially designed for other applications, e.g., telecommunications, radar, automobiles. b.3. Discrete microwave transistors having any of the following: b.3.a. Rated for operation at frequencies exceeding 3.2 GHz up to and including 6 GHz and having an average output power greater than 60W (47.8 dBm); b.3.b. Rated for operation at frequencies exceeding 6 GHz up to and including 31.8 GHz and having an average output power greater than 20W (43 dBm); b.3.c. Rated for operation at frequencies exceeding 31.8 GHz up to and including 37.5 GHz and having an average output power greater than 0.5W (27 dBm); b.3.d. Rated for operation at frequencies exceeding 37.5 GHz up to and including 43.5 GHz and having an average output power greater than 1W (30 dBm); or b.3.e. Rated for operation at frequencies exceeding 43.5 GHz. Note: The control status of a transistor whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.3.a through 3A001.b.3.e, is determined by the lowest average output power control threshold. b.4. Microwave solid state amplifiers and microwave assemblies/modules containing microwave amplifiers having any of the following: b.4.a. Rated for operation at frequencies exceeding 3.2 GHz up to and including 6 GHz and with an average output power greater than 60W (47.8 dBm) with a “fractional bandwidth” greater than 15%; b.4.b. Rated for operation at frequencies exceeding 6 GHz up to and including 31.8 GHz and with an average output power greater than 15W (42 dBm) with a “fractional bandwidth” greater than 10%; b.4.c. Rated for operation at frequencies exceeding 31.8 GHz up to and including 37.5 GHz; b.4.d. Rated for operation at frequencies exceeding 37.5 GHz up to and including 43.5 GHz and with an average output power greater than 1W (30 dBm) with a “fractional bandwidth” greater than 10%; b.4.e. Rated for operation at frequencies exceeding 43.5 GHz; or b.4.f. Rated for operation at frequencies above 3.2 GHz and all of the following: b.4.f.1. An average output power (in watts), P, greater than 150 divided by the maximum operating frequency (in GHz) squared [P > 150 W*GHz 2 /f <sup>GHz</sup> 2 ]; b.4.f.2. A fractional bandwidth of 5% or greater; and b.4.f.3. Any two sides perpendicular to one another with length d (in cm) equal to or less than 15 divided by the lowest operating frequency in GHz [d ≤ 15 cm*GHz/ f <sup>GHz</sup> ]. *Technical Note:* 3.2 GHz should be used as the lowest operating frequency (f <sup>GHz</sup> ) in the formula in 3A001.b.4.f.3., for amplifiers that have a rated operation range extending downward to 3.2 GHz and below [d ≤ 15cm*GHz/3.2 f <sup>GHz</sup> ]. N.B.: MMIC power amplifiers should be evaluated against the criteria in 3A001.b.2. Note 1: 3A001.b.4. does not control broadcast satellite equipment designed or rated to operate in the frequency range of 40.5 to 42.5 GHz. Note 2: The control status of an item whose rated operating frequency includes frequencies listed in more than one frequency range, as defined by 3A001.b.4.a through 3A001.b.4.e, is determined by the lowest average output power control threshold. b.5. Electronically or magnetically tunable band-pass or band-stop filters having more than 5 tunable resonators capable of tuning across a 1.5:1 frequency band (f <sup>max</sup> /f <sup>min</sup> ) in less than 10 μs having any of the following: b.5.a. A band-pass bandwidth of more than 0.5% of center frequency; or b.5.b. A band-stop bandwidth of less than 0.5% of center frequency; b.6. [RESERVED] b.7. Mixers and converters designed to extend the frequency range of equipment described in 3A002.c, 3A002.e or 3A002.f beyond the limits stated therein; b.8. Microwave power amplifiers containing tubes controlled by 3A001.b and having all of the following: b.8.a. Operating frequencies above 3 GHz; b.8.b. An average output power density exceeding 80 W/kg; and b.8.c. A volume of less than 400 cm 3 ; Note: 3A001.b.8 does not control equipment designed or rated for operation in any frequency band which is “allocated by the ITU” for radio-communications services, but not for radio-determination. b.9. Microwave power modules (MPM), consisting of, at least, a traveling wave tube, a microwave monolithic integrated circuit and an integrated electronic power conditioner, having all of the following characteristics: b.9.a. A turn-on time from off to fully operational in less than 10 seconds; b.9.b. A volume less than the maximum rated power in Watts multiplied by 10 cm 3 /W; and b.9.c. An “instantaneous bandwidth” greater than 1 octave (f <sup>max</sup> . > 2f <sup>min</sup> ,) and any of the following: b.9.c.1. For frequencies equal to or less than 18 GHz, an RF output power greater than 100 W; or b.9.c.2. Having a frequency greater than 18 GHz. *Technical Notes:* 1. To calculate the control volume in 3A001.b.9.b., the following example is provided: for a maximum rated power of 20 W, the volume would be: 20 W × 10 cm 3 /W = 200 cm 3 . 2. The turn-on time in 3A001.b.9.a. refers to the time from fully-off to fully operational; i.e., it includes the warm-up time of the MPM. c. Acoustic wave devices, as follows, and specially designed components therefor: c.1. Surface acoustic wave and surface skimming (shallow bulk) acoustic wave devices (i.e., “signal processing” devices employing elastic waves in materials), having any of the following: c.1.a. A carrier frequency exceeding 2.5 GHz; c.1.b. A carrier frequency exceeding 1 GHz, but not exceeding 2.5 GHz, and having any of the following: c.1.b.1. A frequency side-lobe rejection exceeding 55 dB; c.1.b.2. A product of the maximum delay time and the bandwidth (time in μs and bandwidth in MHz) of more than 100; c.1.b.3. A bandwidth greater than 250 MHz; or c.1.b.4. A dispersive delay of more than 10 μs; or c.1.c. A carrier frequency of 1 GHz or less, having any of the following: c.1.c.1. A product of the maximum delay time and the bandwidth (time in μs and bandwidth in MHz) of more than 100; c.1.c.2. A dispersive delay of more than 10 μs; or c.1.c.3. A frequency side-lobe rejection exceeding 55 dB and a bandwidth greater than 50 MHz; c.2. Bulk (volume) acoustic wave devices (i.e., “signal processing” devices employing elastic waves) that permit the direct processing of signals at frequencies exceeding 1 GHz; c.3. Acoustic-optic “signal processing” devices employing interaction between acoustic waves (bulk wave or surface wave) and light waves that permit the direct processing of signals or images, including spectral analysis, correlation or convolution; d. Electronic devices and circuits containing components, manufactured from “superconductive” materials specially designed for operation at temperatures below the “critical temperature” of at least one of the “superconductive” constituents, with any of the following: d.1. Current switching for digital circuits using “superconductive” gates with a product of delay time per gate (in seconds) and power dissipation per gate (in watts) of less than 10-14 J; or d.2. Frequency selection at all frequencies using resonant circuits with Q-values exceeding 10,000; e. High energy devices, as follows: e.1. Cells and photovoltaic arrays, as follows: e.1.a. Primary cells having an energy density exceeding 550 Wh/kg at 293 K (20 °C); e.1.b. Secondary cells having an energy density exceeding 250 Wh/kg at 293 K (20 °C); *Technical Notes:* 1. For the purpose of 3A001.e.1., energy density (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in Ohms and the mass in kilograms. 2. For the purpose of 3A001.e.1., a ‘cell' is defined as an electrochemical device, which has positive and negative electrodes, and electrolyte, and is a source of electrical energy. It is the basic building block of a battery. 3. For the purpose of 3A001.e.1.a., a ‘primary cell' is a ‘cell' that is not designed to be charged by any other source. 4. For the purpose of 3A001.e.1.b., a ‘secondary cell' is a ‘cell' that is designed to be charged by an external electrical source. Note: 3A001.e. does not control batteries, including single cell batteries. e.1.c. “Space qualified” and radiation hardened photovoltaic arrays with a specific power exceeding 160 W/m 2 at an operating temperature of 301 K (28 °C) under a tungsten illumination of 1 kW/m 2 at 2,800 K (2,527 °C); e.2. High energy storage capacitors, as follows: e.2.a. Capacitors with a repetition rate of less than 10 Hz (single shot capacitors) having all of the following: e.2.a.1. A voltage rating equal to or more than 5 kV; e.2.a.2. An energy density equal to or more than 250 J/kg; and e.2.a.3. A total energy equal to or more than 25 kJ; e.2.b. Capacitors with a repetition rate of 10 Hz or more (repetition rated capacitors) having all of the following: e.2.b.1. A voltage rating equal to or more than 5 kV; e.2.b.2. An energy density equal to or more than 50 J/kg; e.2.b.3. A total energy equal to or more than 100 J; and e.2.b.4. A charge/discharge cycle life equal to or more than 10,000; e.3. “Superconductive” electromagnets and solenoids specially designed to be fully charged or discharged in less than one second, having all of the following: Note: 3A001.e.3 does not control “superconductive” electromagnets or solenoids specially designed for Magnetic Resonance Imaging
(MRI)medical equipment. e.3.a. Energy delivered during the discharge exceeding 10 kJ in the first second; e.3.b. Inner diameter of the current carrying windings of more than 250 mm; and e.3.c. Rated for a magnetic induction of more than 8 T or “overall current density” in the winding of more than 300 A/mm 2 ; f. Rotary input type shaft absolute position encoders having any of the following: f.1. A resolution of better than 1 part in 265,000 (18 bit resolution) of full scale; or f.2. An accuracy better than ±2.5 seconds of arc. g. Solid-state pulsed power switching thyristor devices and thyristor modules using either electrically, optically, or electron radiation controlled switch methods, having any of the following: 1. A maximum turn-on current rate of rise (di/dt) greater than 30,000 A/μs and off-state voltage greater than 1,100 V; or 2. A maximum turn-on current rate of rise (di/dt) greater than 2,000 A/μs and all of the following: a. An off-state peak voltage equal to or greater than 3,000 V; and b. A peak (surge) current equal to or greater than 3,000 A. Note 1: 3A001.g. includes: _Silicon Controlled Rectifiers
(SCRs)_Electrical Triggering Thyristors
(ETTs)_Light Triggering Thyristors
(LTTs)_Integrated Gate Commutated Thyristors (IGCTs) _Gate Turn-off Thyristors
(GTOs)_MOS Controlled Thyristors
(MCTs)_Solidtrons Note 2: 3A001.g. does not control thyristor devices and thyristor modules incorporated into equipment designed for civil railway or “civil aircraft” applications. *Technical Note:* For the purposes of 3A001.g., a ‘thyristor module' contains one or more thyristor devices. 24 . In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics, Export Control Classification Number
(ECCN)3A002 is amended revising the License Exception section and the List of Items Controlled section, to read as follows: **3A002 General purpose electronic equipment, as follows (see List of Items Controlled).** License Exceptions LVS: * * * GBS: Yes for 3A002.a.1.; and 3A002.b (synthesized output frequency of 2.6 GHz or less and a “frequency switching time” of 0.3 ms or more). CIV: Yes for 3A002.a.1 (provided all of the following conditions are met:
(1)Bandwidths do not exceed: 4 MHz per track and have up to 28 tracks or 2 MHz per track and have up to 42 tracks;
(2)Tape speed does not exceed 6.1 m/s;
(3)They are not designed for underwater use;
(4)They are not ruggedized for military use; and
(5)Recording density does not exceed 653.2 magnetic flux sine waves per mm); and 3A002.b (synthesized output frequency of 2.6 GHz or less; and a “frequency switching time” of 0.3 ms or more). List of Items Controlled *Unit:* Number *Related Controls:* “Space qualified” atomic frequency standards defined in 3A002.g.2 are subject to the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121). See also 3A292 and 3A992. *Related Definitions:* Constant percentage bandwidth filters are also known as octave or fractional octave filters. *Items:* a. Recording equipment, as follows, and specially designed test tape therefor: a.1. Analog instrumentation magnetic tape recorders, including those permitting the recording of digital signals (e.g., using a high density digital recording
(HDDR)module), having any of the following: a.1.a. A bandwidth exceeding 4 MHz per electronic channel or track; a.1.b. A bandwidth exceeding 2 MHz per electronic channel or track and having more than 42 tracks; or a.1.c. A time displacement
(base)error, measured in accordance with applicable IRIG or EIA documents, of less than ±0.1 μs; Note: Analog magnetic tape recorders specially designed for civilian video purposes are not considered to be instrumentation tape recorders. a.2. Digital video magnetic tape recorders having a maximum digital interface transfer rate exceeding 360 Mbit/s; Note: 3A002.a.2 does not control digital video magnetic tape recorders specially designed for television recording using a signal format, which may include a compressed signal format, standardized or recommended by the ITU, the IEC, the SMPTE, the EBU, the ETSI, or the IEEE for civil television applications. a.3. Digital instrumentation magnetic tape data recorders employing helical scan techniques or fixed head techniques, having any of the following: a.3.a. A maximum digital interface transfer rate exceeding 175 Mbit/s; or a.3.b. Being “space qualified”; Note: 3A002.a.3 does not control analog magnetic tape recorders equipped with HDDR conversion electronics and configured to record only digital data. a.4. Equipment, having a maximum digital interface transfer rate exceeding 175 Mbit/s, designed to convert digital video magnetic tape recorders for use as digital instrumentation data recorders; a.5. Waveform digitizers and transient recorders having all of the following: *N.B.:* See also 3A292. a.5.a. Digitizing rates equal to or more than 200 million samples per second and a resolution of 10 bits or more; and a.5.b. A continuous throughput of 2 Gbit/s or more; *Technical Note:* For those instruments with a parallel bus architecture, the continuous throughput rate is the highest word rate multiplied by the number of bits in a word. Continuous throughput is the fastest data rate the instrument can output to mass storage without the loss of any information while sustaining the sampling rate and analog-to-digital conversion. a.6. Digital instrumentation data recorders, using magnetic disk storage technique, having all of the following: a.6.a. Digitizing rate equal to or more than 100 million samples per second and a resolution of 8 bits or more; and a.6.b. A continuous throughput of 1 Gbit/s or more; b. “Frequency synthesizer” “electronic assemblies” having a “frequency switching time” from one selected frequency to another of less than 1 ms; Note: The control status of signal analyzers, signal generators, network analyzers, and microwave test receivers as stand-alone instruments is determined by 3A002.c., 3A002.d., 3A002.e., and 3A002.f., respectively. c. Radio frequency “signal analyzers”, as follows: c.1. “Signal analyzers” capable of analyzing any frequencies exceeding 31.8 GHz but not exceeding 37.5 GHz and having a 3 dB resolution bandwidth
(RBW)exceeding 10 MHz; c.2. “Signal analyzers” capable of analyzing frequencies exceeding 43.5 GHz; c.3. “Dynamic signal analyzers” having a “real-time bandwidth” exceeding 500 kHz; Note: 3A002.c.3 does not control those “dynamic signal analyzers” using only constant percentage bandwidth filters (also known as octave or fractional octave filters). d. Frequency synthesized signal generators producing output frequencies, the accuracy and short term and long term stability of which are controlled, derived from or disciplined by the internal master reference oscillator, and having any of the following: d.1. A maximum synthesized frequency exceeding 31.8 GHz, but not exceeding 43.5 GHz and rated to generate a pulse duration of less than 100 ns; d.2. A maximum synthesized frequency exceeding 43.5 GHz; d.3. A “frequency switching time” from one selected frequency to another as specified by any of the following: d.3.a. Less than 10 ns; d.3.b. Less than 100 μs for any frequency change exceeding 1.6 GHz within the synthesized frequency range exceeding 3.2 GHz but not exceeding 10.6 GHz; d.3.c. Less than 250 μs for any frequency change exceeding 550 MHz within the synthesized frequency range exceeding 10.6 GHz but not exceeding 31.8 GHz; d.3.d. Less than 500 μs for any frequency change exceeding 550 MHz within the synthesized frequency range exceeding 31.8 GHz but not exceeding 43.5 GHz; or d.3.e. Less than 1 ms within the synthesized frequency range exceeding 43.5 GHz; or d.4. A single sideband
(SSB)phase noise better than −(126 + 20 log <sup>10</sup> F—20 log <sup>10</sup> f) in dBc/Hz, where F is the off-set from the operating frequency in Hz and f is the operating frequency in MHz; Note 1: For the purpose of 3A002.d., the term frequency synthesized signal generators includes arbitrary waveform and function generators. Note 2: 3A002.d. does not control equipment in which the output frequency is either produced by the addition or subtraction of two or more crystal oscillator frequencies, or by an addition or subtraction followed by a multiplication of the result. *Technical Notes:* 1. Arbitrary waveform and function generators are normally specified by sample rate (e.g., GSample/s), which is converted to the RF domain by the Nyquist factor of two. Thus, a 1 GSample/s arbitrary waveform has a direct output capability of 500 MHz. Or, when oversampling is used, the maximum direct output capability is proportionately lower. 2. For the purposes of 3A002.d.1., ‘pulse duration' is defined as the time interval between the leading edge of the pulse achieving 90% of the peak and the trailing edge of the pulse achieving 10% of the peak. Note: 3A002.d does not control equipment in which the output frequency is either produced by the addition or subtraction of two or more crystal oscillator frequencies, or by an addition or subtraction followed by a multiplication of the result. e. Network analyzers with a maximum operating frequency exceeding 43.5 GHz; f. Microwave test receivers having all of the following: f.1. A maximum operating frequency exceeding 43.5 GHz; and f.2. Being capable of measuring amplitude and phase simultaneously; g. Atomic frequency standards having any of the following: g.1. Long-term stability (aging) less (better) than 1 x 10 − 11 /month; or g.2. Being “space qualified”. Note: 3A002.g.1 does not control non-“space qualified” rubidium standards. 25. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics, Export Control Classification Number
(ECCN)3A991 is amended by revising paragraphs a.1. and j in the “items” paragraph of the List of Items Controlled section, as set forth below, to read as follows: **3A991 Electronic devices and components not controlled by 3A001.** List of Items Controlled *Items:* a. * * * a.1. A performance speed of 5 GFLOPS or more and an arithmetic logic unit with an access width of 32 bit or more; j. Cells as follows: j.1. Primary cells having an energy density of 550 Wh/kg or less at 293 K (20°C); j.2. Secondary cells having an energy density of 250 Wh/kg or less at 293 K (20°C). Note: 3A991.j. does not control batteries, including single cell batteries. *Technical Notes:* 1. For the purpose of 3A991.j energy density (Wh/kg) is calculated from the nominal voltage multiplied by the nominal capacity in ampere-hours divided by the mass in kilograms. If the nominal capacity is not stated, energy density is calculated from the nominal voltage squared then multiplied by the discharge duration in hours divided by the discharge load in Ohms and the mass in kilograms. 2. For the purpose of 3A991.j, a ‘cell’ is defined as an electrochemical device, which has positive and negative electrodes, and electrolyte, and is a source of electrical energy. It is the basic building block of a battery. 3. For the purpose of 3A991.j.1, a ‘primary cell’ is a ‘cell’ that is not designed to be charged by any other source. 4. For the purpose of 3A991.j.2., a ‘secondary cell’ is a ‘cell’ that is designed to be charged by an external electrical source. 26 . In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics, Export Control Classification Number
(ECCN)3B001 is amended by: a. Revising the GBS paragraph in the License Exception section as set forth below; and b. Revising paragraph f in the “items” paragraph of the List of Items Controlled section, as set forth below; and c. Adding a new paragraph i in the “items” paragraph of the List of Items Controlled section, to read as follows: **3B001 Equipment for the manufacturing of semiconductor devices or materials, as follows (see List of Items Controlled), and specially designed components and accessories therefor.** License Exceptions LVS: * * * GBS: Yes, except 3B001.a.2 (metal organic chemical vapor deposition reactors), a.3 (molecular beam epitaxial growth equipment using gas sources), .e (automatic loading multi-chamber central wafer handling systems only if connected to equipment controlled by 3B001.a.2, a.3, or .f), and .f (lithography equipment). CIV: * * * List of Items Controlled *Items:* f. Lithography equipment, as follows: f.1. Align and expose step and repeat (direct step on wafer) or step and scan (scanner) equipment for wafer processing using photo-optical or X-ray methods, having any of the following: f.1.a. A light source wavelength shorter than 245 nm; or f.1.b. Capable of producing a pattern with a minimum resolvable feature size of 180 nm or less; *Technical Note:* The minimum resolvable feature size is calculated by the following formula: ER05NO07.000 Where the K factor = 0.45 MRF = minimum resolvable feature size. f.2 Imprint lithography equipment capable of production features of 180 nm or less. Note: 3B001.f.2 includes: —Micro contact printing tools —Hot embossing tools —Nano-imprint lithography tools —Step and flash imprint lithography (S-FIL) tools f.3. Equipment specially designed for mask making or semiconductor device processing using deflected focused electron beam, ion beam or “laser” beam, having any of the following: f.3.a. A spot size smaller than 0.2 μm; f.3.b. Being capable of producing a pattern with a feature size of less than 1 μm; or f.3.c. An overlay accuracy of better than ± 0.20 μm (3 sigma); i. Imprint lithography templates designed for integrated circuits by 3A001. 27. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics, Export Control Classification Number
(ECCN)3B991 is amended revising paragraph b.1.b in the Items paragraph of the List of Items Controlled section, to read as follows: **3B991 Equipment not controlled by 3B001 for the manufacture of electronic components and materials, and specially designed components and accessories therefor.** List of Items Controlled *Items:* b. * * * b.1. * * * b.1.b. Equipment specially designed for purifying or processing III/V and II/VI semiconductor materials controlled by 3C001, 3C002, 3C003, 3C004, or 3C005 except crystal pullers, for which see 3B991.b.1.c below; 28. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics, Export Control Classification Number
(ECCN)3C002 is amended revising the Heading and paragraph a in the Items paragraph of the List of Items Controlled section, to read as follows: **3C002 Resist materials, as follows (see List of Items Controlled), and “substrates” coated with controlled resists.** List of Items Controlled *Items:* a. Positive resists designed for semiconductor lithography specially adjusted (optimized) for use at wavelengths below 245 nm; 29. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics, Export Control Classification Number
(ECCN)3C005 is added after ECCN 3C004, to read as follows: **3C005 Silicon carbide
(SiC)wafers having a resistivity of more than 10,000 ohm-cm.** License Requirements *Reason for Control:* NS, AT Control(s) Country chart NS applies to entire entry NS Column 2. AT applies to entire entry AT Column 1. License Exceptions LVS: $3000 GBS: Yes CIV: Yes List of Items Controlled *Unit:* $ value *Related Controls:* See ECCN 3E001 for related development and production technology, and ECCN 3B991.b.1.b for related production equipment. *Related Definition:* N/A *Items:* The list of items controlled is contained in the ECCN heading. 30. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics, Export Control Classification Number
(ECCN)3C992 is amended by revising the “heading”, to read as follows: **3C992 Positive resists designed for semiconductor lithography specially adjusted (optimized) for use at wavelengths between 370 and 245 nm.** 31. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics, Export Control Classification Number
(ECCN)3E001 is amended revising the License Requirements section and the related controls and items paragraphs in the List of Items Controlled section, to read as follows: **3E001 “Technology” according to the General Technology Note for the “development” or “production” of equipment or materials controlled by 3A (except 3A292, 3A980, 3A981, 3A991 or 3A992), 3B (except 3B991 or 3B992) or 3C (except 3C992).** License Requirements *Reason for Control:* NS, MT, NP, AT Control(s) Country chart NS applies to “technology” for items controlled by 3A001, 3A002, 3B001, 3B002, or 3C001 to 3C005 NS Column 1. MT applies to “technology” for equipment controlled by 3A001 or 3A101 for MT reasons MT Column 1. NP applies to “technology” for equipment controlled by 3A001, 3A201, or 3A225 to 3A233 for NP reasons NP Column 1. AT applies to entire entry AT Column 1. License Requirement Note: See § 743.1 of the EAR for reporting requirements for exports under License Exceptions. List of Items Controlled *Unit:* * * * *Related Controls:* (1.) See also 3E101 and 3E201. (2.) “Technology” according to the General Technology Note for the “development” or “production” of the following commodities is under the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121):
(a)When operating at frequencies higher than 31 GHz and “space qualified”: helix tubes (traveling wave tubes (TWT)) defined in 3A001.b.1.a.4.c; microwave solid state amplifiers defined in 3A001.b.4.b; microwave “assemblies” defined in 3A001.b.6; or traveling wave tube amplifiers
(TWTA)defined in 3A001.b.8;
(b)“Space qualified” and radiation hardened photovoltaic arrays defined in 3A001.e.1.c (i.e., not having silicon cells or single, dual or triple junction solar cells that have gallium arsenide as one of the junctions), and spacecraft/satellite solar concentrators and batteries; and
(c)“Space qualified” atomic frequency standards defined in 3A002.g.2. *Related Definition:* * * * *Items:* The list of items controlled is contained in the ECCN heading. Note 1: 3E001 does not control “technology” for the “production” of equipment or components controlled by 3A003. Note 2: 3E001 does not control “technology” for the “development” or “production” of integrated circuits controlled by 3A001.a.3 to a.12, having all of the following:
(a)Using “technology” of 0.5 μm or more; and
(b)Not incorporating multi-layer structures. *Technical Note:* The term multi-layer structures in Note 2 of 3E001 does not include devices incorporating a maximum of three metal layers and three polysilicon layers. 32. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics, Export Control Classification Number
(ECCN)3E002 is amended by revising the “Heading” and the License Requirements section, the License Exceptions section, and the “items” paragraph in the List of Items Controlled section, to read as follows: **3E002 “Technology” according to the General Technology Note other than that controlled in 3E001 for the “development” or “production” of a “microprocessor microcircuit”, “micro-computer microcircuit” and microcontroller microcircuit core, having an arithmetic logic unit with an access width of 32 bits or more and any of the following features or characteristics (see List of Items Controlled).** License Exceptions CIV: Yes, for deemed exports, as described in § 734.2(b)(2)(ii) of the EAR, of “technology” for the “development” or “production” of general purpose microprocessors with a vector processor unit with operand length of 64-bit or less, 64-bit floating operations not exceeding 32 GFLOPS, or 16-bit or more floating-point operations not exceeding 32 GMACS (billions of 16-bit fixed-point multiply-accumulate operations per second). Deemed exports under License Exception CIV are subject to a Foreign National Review
(FNR)requirement, see § 740.5 of the EAR for more information about the FNR. License Exception CIV does not apply to ECCN 3E002 technology also required for the development or production of items controlled under ECCNs beginning with 3A, 3B, or 3C, or to ECCN 3E002 technology also controlled under ECCN 3E003. TSR: Yes List of Items Controlled *Unit:* * * * *Related Controls:* * * * *Related Definitions:* * * * *Items:* a. A vector processor unit designed to perform more than two calculations on floating-point vectors (one dimensional arrays of 32-bit or larger numbers) simultaneously; *Technical Note:* A vector processing unit is a processor element with built-in instructions that perform multiple calculations on floating-point vectors (one-dimensional arrays of 32-bit or larger numbers) simultaneously, having at least one vector arithmetic logic unit. b. Designed to perform more than two 64-bit or larger floating-point operation results per cycle; or c. Designed to perform more than four 16-bit fixed-point multiply-accumulate results per cycle (e.g., digital manipulation of analog information that has been previously converted into digital form, also known as digital signal processing). Note: 3E002.c does not control technology for multimedia extensions. **Notes:** 1. 3E002 does not control “technology” for the “development” or “production” of microprocessor cores, having all of the following: a. Using “technology” at or above 0.130 μm; *and* b. Incorporating multi-layer structures with five or fewer metal layers. 2. 3E002 includes “technology” for digital signal processors and digital array processors. 33. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 3 Electronics is amended by removing the section entitled “Information on How to Calculate “composite Theoretical Performance (“CTP”)” that follows EAR99. 34. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 5 Telecommunications and “Information Security”, Part I Telecommunications, Export Control Classification Number
(ECCN)5A001 is amended by a. Revising the License Requirements section, to read as set forth below; b. Revising the introductory text to paragraph b in the “items” paragraph of the List of Items Controlled section, as set forth below; and c. Revising paragraphs b.2 and g in the “items” paragraph of the List of Items Controlled section, to read as follows: **5A001 Telecommunications systems, equipment, and components, as follows (see List of Items Controlled).** License Requirements *Reason for Control:* NS, AT Control(s) Country chart NS applies to 5A001.a, and .e NS Column 1. NS applies to 5A001.b, .c, .d, .f, .g NS Column 2. AT applies to entire entry AT Column 1. *License Requirement Notes:* See § 743.1 of the EAR for reporting requirements for exports under License Exceptions. List of Items Controlled *Items:* b. Telecommunication systems and equipment, and specially designed components and accessories therefor, having any of the following characteristics, functions or features: b.1 * * * b.2. Being radio equipment operating in the 1.5 MHz to 87.5 MHz band and having all of the following characteristics: b.2.a. Automatically predicting and selecting frequencies and “total digital transfer rates” per channel to optimize the transmission; and b.2.b. Incorporating a linear power amplifier configuration having a capability to support multiple signals simultaneously at an output power of 1 kW or more in the frequency range of 1.5 MHz or more but less than 30 MHz, or 250 W or more in the frequency range of 30 MHz or more but not exceeding 87.5 MHz, over an “instantaneous bandwidth” of one octave or more and with an output harmonic and distortion content of better than −80 dB; g. Passive Coherent Location systems or equipment specially designed for detecting and tracking moving objects by measuring reflections of ambient radio frequency emissions, supplied by non-radar transmitters. *Technical Note:* Non-radar transmitters may include commercial radio, television or cellular telecommunications base stations. Note: 5A001.g. does not control: a. Radio-astronomical equipment; b. Systems or equipment that require any radio transmission from the target. 35. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 5 Telecommunications and “Information Security”, Part 1 Telecommunications, Export Control Classification Number
(ECCN)5A991 is amended by revising paragraph b.7. in the “items” paragraph of the List of Items Controlled section, to read as follows: **5A991 Telecommunication equipment, not controlled by 5A001.** List of Items Controlled *Items:* b. * * * b.7. Being radio equipment employing any of the following: b.7.a. Quadrature-amplitude-modulation
(QAM)techniques above level 4 if the “total digital transfer rate” exceeds 8.5 Mbit/s; b.7.b. QAM techniques above level 16 if the “total digital transfer rate” is equal to or less than 8.5 Mbit/s; b.7.c. Other digital modulation techniques and having a “spectral efficiency” exceeding 3 bit/s/Hz; or b.7.d. Operating in the 1.5 MHz to 87.5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal. Notes: 1. 5A991.b.7 does not control equipment specially designed to be integrated and operated in any satellite system for civil use. 2. 5A991.b.7 does not control radio relay equipment for operation in an ITU allocated band: a. Having any of the following: a.1. Not exceeding 960 MHz; or a.2. With a “total digital transfer rate” not exceeding 8.5 Mbit/s; and b. Having a “spectral efficiency” not exceeding 4 bit/s/Hz. 36. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 5 Telecommunications and “Information Security”, Part 2 Information Security, Export Control Classification Number
(ECCN)5E001 is amended by adding a new paragraph c.4.c in the Items paragraph of the List of Items Controlled section, to read as follows: **5E001 “Technology”, (see List of Items Controlled).** List of Items Controlled *Items:* c. * * * c.4. * * * **Note:** * * * c.4.c. Operating in the 1.5 MHz to 87.5 MHz band and incorporating adaptive techniques providing more than 15 dB suppression of an interfering signal; or 37. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 6 Sensors, Export Control Classification Number
(ECCN)6A002 is amended by revising the License Requirements section, the Unit paragraph in the List of Items Controlled section, and paragraphs a.3.d.1 and a.3.e in the Items paragraph of the List of Items Controlled section, to read as follows: **6A002 Optical sensors.** License Requirements *Reason for Control:* NS, MT, CC, RS, AT, UN Control(s) Country chart NS applies to entire entry NS Column 2. MT applies to optical detectors in 6A002.a.1, a.3, or .e that are specially designed or modified to protect “missiles” against nuclear effects (e.g., Electromagnetic Pulse (EMP), X-rays, combined blast and thermal effects), and usable for “missiles” MT Column 1. RS applies to 6A002.a.1, a.2, a.3 (except a.3.d.2.a and a.3.e for lead selenide based focal plane arrays (FPAs)), .c, and .e RS Column 1. CC applies to police-model infrared viewers in 6A002.c CC Column 1. AT applies to entire entry AT Column 1. UN applies to 6A002.a.1, a.2, a.3 and c Iraq, North Korea, and Rwanda. License Requirement Notes: See § 743.1 of the EAR for reporting requirements for exports under License Exceptions. List of Items Controlled *Unit:* Equipment in number; components in $ value *Items:* a. * * * a.3. * * * a.3.d. * * * a.3.d.1. Individual elements with a peak response in the wavelength range exceeding 1,200 nm but not exceeding 3,000 nm; and a.3.e. Non-“space-qualified” linear (1-dimensional) “focal plane arrays”, having individual elements with a peak response in the wavelength range exceeding 3,000 nm but not exceeding 30,000 nm. 38. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 6 Sensors, Export Control Classification Number
(ECCN)6A004 is amended by: a. Revising the Units, Related Controls and Related Definition paragraphs in the List of Items Controlled section, as set forth below; b. Adding single quotes around the term “Aspheric optical elements” in paragraph e in the Items paragraph of the List of Items Controlled section; c. Removing and reserving Technical Note 1 that appears after paragraph e.3 in the Items paragraph of the List of Items Controlled section; and d. Removing the Note Bene that reads “N.B.: For aspheric optical elements specially designed for lithographic equipment, see 3B001.”, which appears at the end of the Items paragraph in the List of Items Controlled section. **6A004 Optics.** List of Items Controlled *Unit:* Equipment in number; components in $ value. *Related Controls:*
(1)For optical mirrors or “aspheric optical elements” specially designed for lithography equipment, see ECCN 3B001.
(2)“Space qualified” components for optical systems defined in 6A004.c and optical control equipment defined in 6A004.d.1 are subject to the export licensing authority of the Department of State, Directorate of Defense Trade Controls (22 CFR part 121).
(3)See also 6A994. *Related Definitions:* An “aspheric optical element” is any element used in an optical system whose imaging surface or surfaces are designed to depart from the shape of an ideal sphere. 39 . In Supplement No. 1 to Part 774 (the Commerce Control List), Category 6 Sensors, Export Control Classification Number
(ECCN)6A005 is revised, to read as follows: **6A005 “Lasers” (other than those described in 0B001.g.5 or .h.6), components and optical equipment, as follows (see List of Items Controlled).** License Requirements *Reason for Control:* NS, NP, AT Control(s) Country chart NS applies to entire entry NS Column 2. NP applies to “lasers” controlled by 6A005.a.2, a.4, b.2.b, b.3.a, b.4.b, b.6.b., c.1.b, c.2.b, d.3.c, and d.4.c, as described in the following License Requirements Note NP Column 1. AT applies to entire entry AT Column 1. *License Requirements Note:* NP controls apply to the following “lasers” controlled by 6A005:
(a)Pulsed excimer “lasers” controlled by 6A005.d.4.c having all of the following characteristics:
(1)Operating at wavelengths between 240 and 360 nm;
(2)A repetition rate > 250 Hz; and
(3)An average output power > 500 W;
(b)Copper vapor “lasers” controlled by 6A005.b.4.b having all of the following characteristics:
(1)Operating at wavelengths between 500 and 600 nm; and
(2)An average output power ≥ 40 W;
(c)Pulsed carbon dioxide “lasers” controlled by 6A005.d.3.c (except industrial CO <sup>2</sup> lasers used in applications such as cutting and welding), having all of the following characteristics:
(1)Operating at wavelengths between 9,000 and 11,000 nm; (2)A repetition rate > 250 Hz;
(3)An average output power > 2.5kW; and
(4)A pulse width < 200ns;
(d)Argon ion “lasers” controlled by 6A005.a.2 having all of the following characteristics:
(1)Operating at wavelengths between 400 and 515 nm; and
(2)An average output power ≥ 50 W;
(e)Alexandrite “lasers” controlled by 6A005.c.2.b having all of the following characteristics:
(1)Operating at wavelengths between 720 and 800 nm;
(2)A bandwidth ≤ 0.005 nm;
(3)A repetition rate > 125 Hz; and
(4)Average output power > 30 W;
(f)Pulse-excited, Q-switched neodymium-doped (other than glass) “lasers” controlled by 6A005.b.6.b having all of the following characteristics:
(1)An output wavelength exceeding 1,000 nm, but not exceeding 1,100 nm;
(2)A pulse duration equal to or more than 1 ns; and
(3)A single-transverse mode output having an average power exceeding 40 W or a multiple-transverse mode output having an average power exceeding 50 W;
(g)Neodymium-doped (other than glass) “lasers” controlled by 6A005.b.2, b.3, or b.4, having all of the following characteristics:
(1)Incorporating frequency doubling for output wavelength between 500 and 550 nm; and
(2)Average output power > 40 W;
(h)Tunable pulsed single-mode dye laser oscillators controlled by 6A005.c.1.b and 6A005.c.2.b having all of the following characteristics:
(1)Operating at wavelengths between 300 nm and 800 nm;
(2)An average output power greater than 1 W;
(3)A repetition rate greater than 1 kHz; and
(4)Pulse width less than 100 ns;
(i)Tunable pulsed dye laser amplifiers and oscillators controlled by 6A005.c.1.b and 6A005.c.2.b having all of the following characteristics:
(1)Operating at wavelengths between 300 nm and 800 nm;
(2)An average output power greater than 30 W;
(3)A repetition rate greater than 1 kHz; and
(4)Pulse width less than 100 ns; Note: NP controls do not apply to single mode oscillators. License Exceptions LVS: N/A for NP items $3000 for all other items GBS: Yes, except 6A005.a.2, a.4, b.2.b, b.3.a, b.4.b, b.6.b, c.1.b, c.2.b, d.3.c, and d.4.c, which meets the parameters for NP controls set forth in the License Requirements Note. CIV: Yes, except 6A005.a.2, a.4, b.3.a, b.2.b, b.3.a, b.4.b, b.6.b, c.1.b, c.2.b, d.3.c, and d.4.c, which meets the parameters for NP controls set forth in the License Requirements Note. List of Items Controlled *Unit:* Equipment in number; components and accessories in $ value *Related Controls:*
(1)See ECCN 6D001 for “software” for items controlled under this entry.
(2)See ECCNs 6E001 (“development”), 6E002 (“production”), and 6E201 (“use”) for technology for items controlled under this entry.
(3)Also see ECCNs 6A205 and 6A995.
(4)See ECCN 3B001 for excimer “lasers” specially designed for lithography equipment.
(5)“Lasers” specially designed or prepared for use in isotope separation are subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110).
(6)Shared aperture optical elements, capable of operating in “super-high power laser” applications, and “lasers” specifically designed, modified, or configured for military application are subject to the export licensing authority of the U.S. Department of State, Directorate of Defense Trade Controls (see 22 CFR part 121). *Related Definitions:* ‘Wall-plug efficiency’ is defined as the ratio of laser output power (or “average output power”) to total electrical input power required to operate the “laser”, including the power supply/conditioning and thermal conditioning/heat exchanger. *Items:* **Notes:** 1. Pulsed “lasers” include those that run in a continuous wave
(CW)mode with pulses superimposed. 2. Eximer, semiconductor, chemical, CO, CO <sup>2</sup> , and non-repetitive pulsed Nd:glass “lasers” are only specified in 6A005.d. 3. 6A005 includes fiber “lasers”. 4. The control status of “lasers” incorporating frequency conversion (i.e., wavelength change) by means other than one “laser” pumping another “laser” is determined by applying the control parameters for both the output of the source “laser” and the frequency-converted optical output. 5. 6A005 does not control the following “lasers”: a. Ruby with output energy below 20 J; b. Nitrogen; c. Krypton. a. Non-“tunable” continuous wave “(CW) lasers”, having any of the following: a.1. An output wavelength less than 150 nm with an output power exceeding 1W; a.2. An output wavelength of 150 nm or more but not exceeding 520 nm and having an output power exceeding 30 W; Note: 6A005.a.2 does not control Argon “lasers” having an output power equal to or less than 50 W. a.3. An output wavelength exceeding 520 nm but not exceeding 540 nm and having any of the following: a.3.a. A single transverse mode output having an output power exceeding 50 W; or a.3.b. A multiple transverse mode output having an output power exceeding 150 W; a.4. An output wavelength exceeding 540 nm but not exceeding 800 nm and having an output power exceeding 30 W; a.5. An output wavelength exceeding 800 nm but not exceeding 975 nm and having any of the following: a.5.a. A single transverse mode output having an output power exceeding 50 W; or a.5.b. A multiple transverse mode output having an output power exceeding 80 W; a.6. An output wavelength exceeding 975 nm but not exceeding 1,150 nm and having any of the following; a.6.a. A single transverse mode output having any of the following: a.6.a.1. A “wall-plug efficiency” exceeding 12% and an output power exceeding 100 W; or a.6.a.2. An output power exceeding 150 W; or a.6.b. A multiple transverse mode output having any of the following: a.6.b.1. A “wall-plug efficiency” exceeding 18% and an output power exceeding 500 W; or a.6.b.2. An output power exceeding 2 kW; Note: 6A005.a.6.b does not control multiple transverse mode, industrial “lasers” with output power exceeding 2 kW and not exceeding 6 kW with a total mass greater than 1,200 kg. For the purpose of this note, total mass includes all components required to operate the “laser”, e.g., “laser”, power supply, heat exchanger, but excludes external optics for beam conditioning and/or delivery. a.7. An output wavelength exceeding 1,150 nm but not exceeding 1,555 nm and having any of the following: a.7.a. A single transverse mode having an output power exceeding 50 W; or a.7.b. A multiple transverse mode having an output power exceeding 80 W; or a.8. An output wavelength exceeding 1,555 nm and having an output power exceeding 1 W. b. Non-“tunable” “pulsed lasers”, having any of the following; b.1. An output wavelength less than 150 nm and having any of the following: b.1.a. An output energy exceeding 50 mJ per pulse and a “peak power” exceeding 1 W; or b.1.b. An “average output power” exceeding 1 W; b.2. An output wavelength of 150 nm or more but not exceeding 520 nm and having any of the following: b.2.a. An output energy exceeding 1.5 J per pulse and a “peak power” exceeding 30 W; or b.2.b. An “average output power” exceeding 30 W; Note: 6A005.b.2.b does not control Argon “lasers” having an “average output power” equal to or less than 50 W. b.3. An output wavelength exceeding 520 nm, but not exceeding 540 nm and having any of the following: b.3.a. A single transverse mode output having any of the following: b.3.a.1. An output energy exceeding 1.5 J per pulse and a “peak power” exceeding 50 W; or b.3.a.2. An “average output power” exceeding 50 W; or b.3.b. A multiple transverse mode output having any of the following: b.3.b.1. An output energy exceeding 1.5 J per pulse and a “peak power” exceeding 150 W; or b.3.b.2. An “average output power” exceeding 150 W; b.4. An output wavelength exceeding 540 nm but not exceeding 800 nm and having any of the following: b.4.a. An output energy exceeding 1.5 J per pulse and a “peak power” exceeding 30 W; or b.4.b. An “average output power” exceeding 30 W; b.5. An output wavelength exceeding 800 nm but not exceeding 975 nm and having any of the following: b.5.a. A “pulse duration” not exceeding 1 μs and having any of the following: b.5.a.1. An output energy exceeding 0.5 J per pulse and a “peak power” exceeding 50 W; b.5.a.2. A single transverse mode output having an “average output power” exceeding 20 W; or b.5.a.3. A multiple transverse mode output having an “average output power” exceeding 50 W; or b.5.b. A “pulse duration” exceeding 1 μs and having any of the following: b.5.b.1. An output energy exceeding 2 J per pulse and a “peak power” exceeding 50 W; b.5.b.2. A single transverse mode output having an “average output power” exceeding 50 W; or b.5.b.3. A multiple transverse mode output having an “average output power” exceeding 80 W. b.6. An output wavelength exceeding 975 nm but not exceeding 1,150 nm and having any of the following: b.6.a. A “pulse duration” of less than 1 μs and having any of the following: b.6.a.1. An output “peak power” exceeding 5 GW per pulse; b.6.a.2. An “average output power” exceeding 10 W; or b.6.a.3. An output energy exceeding 0.1 J per pulse; b.6.b. A “pulse duration” exceeding 1 ns but not exceeding 1 μs, and having any of the following: b.6.b.1. A single transverse mode output having any of the following: b.6.b.1.a. A “peak power” exceeding 100 MW; b.6.b.1.b. An “average output power” exceeding 20 W limited by design to a maximum pulse repetition frequency less than or equal to 1 kHz; b.6.b.1.c. A ‘wall-plug efficiency' exceeding 12% and an “average output power” exceeding 100 W and capable of operating at a pulse repetition frequency greater than 1 kHz; b.6.b.1.d. An “average output power” exceeding 150 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or b.6.b.1.e. An output energy exceeding 2 J per pulse; b.6.b.2. A multiple transverse mode output having any of the following: b.6.b.2.a. A “peak power” exceeding 400 MW; b.6.b.2.b. A ‘wall-plug efficiency' exceeding 18% and an “average output power” exceeding 500 W; b.6.b.2.c. An “average output power” exceeding 2 kW; or b.6.b.2.d. An output energy exceeding 4 J per pulse; or b.6.c. A “pulse duration” exceeding 1 μs and having any of the following: b.6.c.1. A single transverse mode output having any of the following: b.6.c.1.a. A “peak power” exceeding 500 kW; b.6.c.1.b. A ’wall-plug efficiency' exceeding 12% and an “average output power” exceeding 100 W; or b.6.c.1.c. An “average output power” exceeding 150 W; or b.6.c.2. A multiple transverse mode output having any of the following: b.6.c.2.a. A “peak power” exceeding 1 MW; b.6.c.2.b. A ‘wall-plug efficiency' exceeding 18% and an “average output power” exceeding 500 W; or b.6.c.2.c. An “average output power” exceeding 2 kW; b.7. An output wavelength exceeding 1,150 nm but not exceeding 1,555 nm and having any of the following: b.7.a. A “pulse duration” not exceeding 1 μs and having any of the following: b.7.a.1. An output energy exceeding 0.5 J per pulse and a “peak power” exceeding 50 W; b.7.a.2. A single transverse mode output having an “average output power” exceeding 20 W; or b.7.a.3. A multiple transverse mode output having an “average output power” exceeding 50 W; or b.7.b. A “pulse duration” exceeding 1 μs and having any of the following: b.7.b.1. An output energy exceeding 2 J per pulse and a “peak power” exceeding 50 W; b.7.b.2. A single transverse mode output having an “average output power” exceeding 50 W; or b.7.b.3. A multiple transverse mode output having an “average output power” exceeding 80 W; or b.8. An output wavelength exceeding 1,555 nm and having any of the following: b.8.a. An output energy exceeding 100 mJ per pulse and a “peak power” exceeding 1 W; or b.8.b. An “average output power” exceeding 1 W; c. “Tunable” lasers, having any of the following: Note: 6A005.c includes titanium-sapphire (Ti: Al <sup>2</sup> O <sup>3</sup> ), thulium-YAG (Tm: YAG), thulium-YSGG (Tm:YSGG), alexandrite (Cr:BeAl <sup>2</sup> 0 <sup>4</sup> ), color center “lasers”, dye “lasers”, and liquid “lasers”. c.1. An output wavelength less than 600 nm and having any of the following: c.1.a. An output energy exceeding 50 mJ per pulse and a “peak power” exceeding 1 W; or c.1.b. An average or CW output power exceeding 1W; c.2. An output wavelength of 600 nm or more but not exceeding 1,400 nm and having any of the following: c.2.a. An output energy exceeding 1 J per pulse and a “peak power” exceeding 20 W; or c.2.b. An average or CW output power exceeding 20 W; or c.3. An output wavelength exceeding 1,400 nm and having any of the following: c.3.a. An output energy exceeding 50 mJ per pulse and a “peak power” exceeding 1 W; or c.3.b. An average or CW output power exceeding 1 W; d. Other “lasers”, not controlled in 6A005.a., 6A005.b, or 6A005.c, as follows: d.1. Semiconductor “lasers”, as follows: **Notes:** 1. 6A005.d.1 includes semiconductor “lasers” having optical output connectors (e.g., fiber optic pigtails). 2. The control status of semiconductor “lasers” specially designed for other equipment is determined by the control status of the other equipment. d.1.a. Individual single-transverse mode semiconductor “lasers”, having any of the following: d.1.a.1. A wavelength equal to or less than 1,510 nm and having an average or CW output power exceeding 1.5 W; or d.1.a.2. A wavelength greater than 1,510 nm, and having an average or CW output power exceeding 500 mW; d.1.b. Individual, multiple-transverse mode semiconductor “lasers”, having any of the following: d.1.b.1. A wavelength of less than 1,400 nm and having an average or CW output power exceeding 10W; d.1.b.2. A wavelength equal to or greater than 1,400 nm and less than 1,900 nm, and having an average or CW output power exceeding 2.5 W; or d.1.b.3. A wavelength equal to or greater than 1,900 nm and having an average or CW output power exceeding 1 W. d.1.c. Individual semiconductor “laser” arrays, having any of the following: d.1.c.1. A wavelength of less than 1,400 nm and having an average or CW output power exceeding 80 W; d.1.c.2. A wavelength equal to or greater than 1,400 nm and less than 1,900 nm and having an average or CW output power exceeding 25 W; or d.1.c.3. A wavelength equal to or greater than 1,900 nm and having an average or CW output power exceeding 10 W. d.1.d. Array stacks of semiconductor “lasers” containing at least one array that is controlled under 6A005.d.1.c. *Technical Notes:* 1. Semiconductor “lasers” are commonly called “laser” diodes. 2. An “array” consists of multiple semiconductor “laser” emitters fabricated as a single chip so that the centers of the emitted light beams are on parallel paths. 3. An “array stack” is fabricated by stacking, or otherwise assembling, “arrays” so that the centers of the emitted light beams are on parallel paths. d.2. Carbon monoxide
(CO)“lasers” having any of the following: d.2.a. An output energy exceeding 2 J per pulse and a “peak power” exceeding 5 kW; or d.2.b. An average or CW output power exceeding 5 kW; d.3. Carbon dioxide (CO <sup>2</sup> ) “lasers” having any of the following: d.3.a. A CW output power exceeding 15 kW; d.3.b. A pulsed output having a “pulse duration” exceeding 10 μs and having any of the following: d.3.b.1. An “average output power” exceeding 10 kW; or d.3.b.2. A “peak power” exceeding 100 kW; or d.3.c. A pulsed output having a “pulse duration” equal to or less than 10 μs and having any of the following: d.3.c.1. A pulse energy exceeding 5 J per pulse; or d.3.c.2. An “average output power” exceeding 2.5 kW; d.4. Excimer “lasers”, having any of the following: d.4.a. An output wavelength not exceeding 150 nm and having any of the following: d.4.a.1. An output energy exceeding 50 mJ per pulse; or d.4.a.2. An “average output power” exceeding 1 W; d.4.b. An output wavelength exceeding 150 nm but not exceeding 190 nm and having any of the following: d.4.b.1. An output energy exceeding 1.5 J per pulse; or d.4.b.2. An “average output power” exceeding 120 W; d.4.c. An output wavelength exceeding 190 nm but not exceeding 360 nm and having any of the following: d.4.c.1. An output energy exceeding 10 J per pulse; or d.4.c.2. An “average output power” exceeding 500 W; or d.4.d. An output wavelength exceeding 360 nm and having any of the following: d.4.d.1. An output energy exceeding 1.5 J per pulse; or d.4.d.2. An “average output power” exceeding 30 W; Note: For excimer “lasers” specially designed for lithography equipment, see 3B001. d.5. “Chemical lasers”, as follows: d.5.a. Hydrogen Fluoride
(HF)“lasers”; d.5.b. Deuterium Fluoride
(DF)“lasers”; d.5.c. “Transfer lasers”, as follows: d.5.c.1. Oxygen Iodine (O <sup>2</sup> -I) “lasers”; d.5.c.2. Deuterium Fluoride-Carbon dioxide (DF-CO <sup>2</sup> ) “lasers”; d.6. “Non-repetitive pulsed” Neodymium
(Nd)glass “lasers”, having any of the following: d.6.a. A “pulse duration” not exceeding 1 μs and an output energy exceeding 50 J per pulse; or d.6.b. A “pulse duration” exceeding 1 μs and an output energy exceeding 100 J per pulse; Note: “Non-repetitive pulsed” refers to “lasers” that produce either a single output pulse or that have a time interval between pulses exceeding one minute. e. Components, as follows: e.1. Mirrors cooled either by active cooling or by heat pipe cooling; *Technical Note:* Active cooling is a cooling technique for optical components using flowing fluids within the subsurface (nominally less than 1 mm below the optical surface) of the optical component to remove heat from the optic. e.2. Optical mirrors or transmissive or partially transmissive optical or electro-optical components specially designed for use with controlled “lasers”; f. Optical equipment, as follows: N.B.: For shared aperture optical elements, capable of operating in “Super-High Power Laser” (“SHPL”) applications, see the U.S. Munitions List (22 CFR part 121). f.1. Dynamic wavefront (phase) measuring equipment capable of mapping at least 50 positions on a beam wavefront having any the following: f.1.a. Frame rates equal to or more than 100 Hz and phase discrimination of at least 5% of the beam's wavelength; or f.1.b. Frame rates equal to or more than 1,000 Hz and phase discrimination of at least 20% of the beam's wavelength; f.2. “Laser” diagnostic equipment capable of measuring “SHPL” system angular beam steering errors of equal to or less than 10 μrad; f.3. Optical equipment and components specially designed for a phased-array “SHPL” system for coherent beam combination to an accuracy of lambda/10 at the designed wavelength, or 0.1 μm, whichever is the smaller; f.4. Projection telescopes specially designed for use with “SHPL” systems. 40. In Supplement No. 1 to part 774 (the Commerce Control List), Category 6 Sensors, Export Control Classification Number
(ECCN)6A006 is amended by adding quotes around the term “Compensation systems” as it appears in the Heading and in paragraph d in the Items paragraph of the List of Items Controlled section. 41. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 6 Sensors, Export Control Classification Number
(ECCN)6A008 is amended by adding a note to the beginning of the Items paragraph of the List of Items Controlled section, and revising paragraph a in the Items paragraph of the List of Items Controlled section, to read as follows: **6A008 Radar systems, equipment and assemblies having any of the following characteristics (see List of Items Controlled), and specially designed components therefor.** List of Items Controlled *Items:* Note: 6A008 does not control: a. Secondary surveillance radar (SSR); b. Civil Automotive Radar; c. Displays or monitors used for air traffic control
(ATC)having no more than 12 resolvable elements per mm; d. Meteorological (weather) radar. a. Operating at frequencies from 40 GHz to 230 GHz and having any of the following: a.1. An “average output power” exceeding 100 mW; or a.2. Locating accuracy of 1 m or less (better) in range and 0.2 degree or less (better) in azimuth; 42. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 6 Sensors, Export Control Classification Number
(ECCN)6A205 is amended by: a. Revising the heading; b. Revising the Units paragraph in the List of Items Controlled section, as set forth below; c. Revising the “Related Controls” paragraph of the List of Items Controlled section; as set forth below and d. Revising the Items paragraph of the List of Items Controlled section, to read as follows: **6A205 “Lasers”, “laser” amplifiers and oscillators, other than those controlled by 0B001.g.5, 0B001.h.6, or 6A005, as follows (see List of Items Controlled).** List of Items Controlled *Unit:* Equipment in number *Related Controls:*
(1)See ECCNs 6E001 (“development”), 6E002 (“production”), and 6E201 (“use”) for technology for items controlled under this entry.
(2)Also see ECCNs 6A005 and 6A995.
(3)See ECCN 6A005.a.2 for additional controls on argon ion lasers; See ECCN 6A005.b.6.b for additional controls on neodymium-doped lasers.
(4)“Lasers” specially designed or prepared for use in isotope separation are subject to the export licensing authority of the Nuclear Regulatory Commission (see 10 CFR part 110). *Related Definitions:* * * * *Items:* a. Argon ion “lasers” having both of the following characteristics: a.1. Operating at wavelengths between 400 nm and 515 nm; and a.2. An average output power greater than 40 W; b. Tunable pulsed single-mode dye laser oscillators having all of the following characteristics: b.1. Operating at wavelengths between 600 nm and 800 nm; b.2. Having an average output greater than 1 W; b.3 A repetition rate greater than 1 kHz; and b.4. Pulse width less than 100 ns; c. [RESERVED] d. Pulsed carbon dioxide “lasers” having all of the following characteristics: d.1. Operating at wavelengths between 9,000 nm and 11,000 nm; d.2. A repetition rate greater than 250 Hz; d.3. An average output power greater than 500 W; and d.4. Pulse width of less than 200 ns; e. Para-hydrogen Raman shifters designed to operate at 16 micrometer output wavelength and at a repetition rate greater than 250 Hz.; f. Neodymium-doped (other than glass) lasers with an output wavelength between 1000 and 1100 nm having either of the following: f.1. Pulse-excited and Q-switched with a pulse duration equal to or greater than 1 ns, and having either of the following: f.1.a. A single-transverse mode output with an average output power greater than 40 W; or f.1.b. A multiple-transverse mode output with an average output power greater than 50 W; or f.2. Incorporating frequency doubling to give an output wavelength between 500 and 550 nm with an average output power of greater than 40 W. 43. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 6 Sensors, Export Control Classification Number
(ECCN)6A995 is amended by: a. Revising the “heading” and paragraph c; b. Redesignating paragraphs d and g from the items paragraph of the List of Items Controlled section; and c. Adding three new paragraphs d, e, and f to the Items paragraph of the List of Items Controlled section, to read as follows: **6A995 “Lasers”, not controlled by 0B001.g.5, 0B001.h.6, 6A005 or 6A205.** List of Items Controlled *Items:* c. Ruby “lasers” having an output energy exceeding 20 J per pulse; d. Non-“tunable” “pulsed lasers” having an output wavelength exceeding 975 nm but not exceeding 1,150 nm and having any of the following: d.1. A “pulse duration” equal to or exceeding 1 ns but not exceeding 1 μs, and having any of the following: d.1.a. A single transverse mode output and having any of the following: d.1.a. A `wall-plug efficiency' exceeding 12% and an “average output power” exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or d.1.a.2.1. An “average output power” exceeding 20 W; or d.1.b. A multiple transverse mode output and having any of the following: d.1.b.1. A `wall-plug efficiency' exceeding 18% and an “average output power” exceeding 30 W; d.1.b.2. A “peak power” exceeding 200 MW; or d.1.b.3. An “average output power” exceeding 50 W; or d.2. A “pulse duration” exceeding 1 μs and having any of the following: d.2.a. A single transverse mode output and having any of the following: d.2.a.1. A `wall-plug efficiency' exceeding 12% and an “average output power” exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or d.2.a.2. An “average output power” exceeding 20 W; or d.2.b. A multiple transverse mode output and having any of the following: d.2.b.1. A `wall-plug efficiency' exceeding 18% and an “average output power” exceeding 30 W; or d.2.b.2. An “average output power” exceeding 500 W; e. Non-“tunable” continuous wave “(CW) lasers”, having an output wavelength exceeding 975 nm but not exceeding 1,150 nm and having any of the following: e.1. A single transverse mode output and having any of the following: e.1.a. A `wall-plug efficiency' exceeding 12% and an “average output power” exceeding 10 W and capable of operating at a pulse repetition frequency greater than 1 kHz; or e.1.b. An “average output power” exceeding 500 W; or e.2. A multiple transverse mode output and having any of the following: e.2.a. A `wall-plug efficiency' exceeding 18% and an “average output power” exceeding 30 W; or e.2.b. An “average output power” exceeding 500 W; Note: 6A995.e.1.b does not control multiple transverse mode, industrial “lasers” with output power less than o equal to 2kW with a total mass greater than 1,200kg. For the purpose of this note, total mass includes all components required to operate the “laser”, e.g., “laser”, power supply, heat exchanger, but excludes external optics for beam conditioning and/or delivery. f. Non-“tunable” “lasers”, having a wavelength exceeding 1,400 nm, but not exceeding 1555 nm and having any of the following: f.1. An output energy exceeding 100 mJ per pulse and a pulsed “peak power” exceeding 1 W; or f.2. An average or CW output power exceeding 1 W. 44. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 6 Sensors, Export Control Classification Number
(ECCN)6D003 is amended by adding quotes around the term “compensation systems” in the in paragraph f.1 in the Items paragraph of the List of Items Controlled section. 45. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 6 Sensors, Export Control Classification Number
(ECCN)6E201 is amended by revising the heading to read as follows: **6E201 “Technology”, not controlled by 6E001 or 6E002, according to the General Technology Note for the “use” of equipment controlled by 6A003.a.2. 6A003.a.3, 6A003.a.4; 6A005.a.2, 6A005.a.4, 6A005.b.2.b, 6A005.b.3.a, 6A005.b.4.b, 6A005.b.6.b, 6A005.c.1.b, 6A005.c.2.b, 6A005.d.3.c, or 6A005.d.4.c (as described in the license requirement note to 6A005); 6A202, 6A203, 6A205, 6A225 or 6A226.** 46. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics, Export Control Classification Number
(ECCN)7A001 is amended by revising the heading, and the License Requirements and List of Items Controlled sections, to read as follows: **7A001 Accelerometers as follows (see List of Items Controlled), and specially designed components therefor.** License Requirements *Reason for Control:* NS, MT, AT Control(s) Country chart NS applies to entire entry NS Column 1. MT applies to commodities that meet or exceed the parameters of 7A101 MT Column 1. AT applies to entire entry AT Column 1. List of Items Controlled *Unit:* $ value *Related Controls:* See also 7A101 and 7A994. For angular or rotational accelerometers, see 7A001.b. MT controls do not apply to accelerometers that are specially designed and developed as Measurement While Drilling
(MWD)sensors for use in downhole well service applications. *Related Definitions:* N/A *Items:* a. Linear accelerometers having any of the following: a.1. Specified to function at linear acceleration levels less than or equal to 15 g, and having any of the following: a.1.a. A “bias” “stability” of less (better) than 130 micro g with respect to a fixed calibration value over a period of one year; or a.1.b. A “scale factor” “stability” of less (better) than 130 ppm with respect to a fixed calibration value over a period of one year; a.2. Specified to function at linear acceleration levels exceeding 15 g, and having all of the following: a.2.a. A “bias” “repeatability” of less (better) than 5,000 micro g over a period of one year; and a.2.b. A “scale factor” “repeatability” of less (better) than 2,500 ppm over a period of one year; or a.3. Designed for use in inertial navigation or guidance systems and specified to function at linear acceleration levels exceeding 100 g. b. Angular or rotational accelerometers specified to function at linear acceleration levels exceeding 100 g. 47. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics, Export Control Classification Number
(ECCN)7A002 is amended by revising the heading and the License Requirements and List of Items Controlled sections to read as follows: **7A002 Gyros or angular rate sensors, having any of the following characteristics (see List of Items Controlled), and specially designed components therefor.** License Requirements *Reason for Control:* NS, MT, AT Control(s) Country chart NS applies to entire entry NS Column 1. MT applies to commodities that meet or exceed the parameters of 7A102 MT Column 1. AT applies to entire entry AT Column 1. *License Requirement Note:* For the purpose of MT controls only, the term 'stability' is defined as a measure of the ability of a specific mechanism or performance coefficient to remain invariant when continuously exposed to a fixed operating condition. (This definition does not refer to dynamic or servo stability.) (IEEE STD 528-2001 paragraph 2.247) List of Items Controlled *Unit:* $ value *Related Controls:* See also 7A102 and 7A994. For angular or rotational accelerometers, see 7A001.b. *Related Definitions:* N/A *Items:* a. A “drift rate” “stability”, when measured in a 1 g environment over a period of one month, and with respect to a fixed calibration value, of less (better) than 0.5 degree per hour when specified to function at linear acceleration levels up to and including 100 g; b. An “angle random walk” of less (better) than or equal to 0.0035 degree per square root hour; or Note: 7A002.b does not control spinning mass gyros (spinning mass gyros are gyros which use a continually rotating mass to sense angular motion). c. A rate range greater than or equal to 500 degrees per second and having any of the following: c.1. A “drift rate” “stability”, when measured in a 1 g environment over a period of three minutes, and with respect to a fixed calibration value of less (better) than 40 degrees per hour; or c.2 An “angle random walk” of less (better) than or equal to 0.2 degree per square root hour; or d. Specified to function at linear acceleration levels exceeding 100 g. 48. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics, Export Control Classification Number
(ECCN)7A003 is amended by: a. Revising the License Requirements section, as set forth below; b. Adding paragraph
(d)in the Items paragraph of the List of Items Controlled section, as set forth below; and c. Revising Note 2 in the Items paragraph of the List of Items Controlled section, to read as follows: **7A003 Inertial Systems and specially designed components therefor.** License Requirements *Reason for Control:* NS, MT, AT Control(s) Country chart NS applies to entire entry NS Column 1. MT applies to commodities that meet or exceed the parameters of 7A103 MT Column 1. AT applies to entire entry AT Column 1. List of Items Controlled *Items:* d. Inertial measurement equipment including Inertial Measurement Units
(IMU)and Inertial Reference Systems (IRS), incorporating accelerometers or gyros controlled by 7A001 or 7A002, and specially designed components therefor. Note 1: * * * Note 2: 7A003 does not control inertial navigation systems that are certified for use on “civil aircraft” by civil authorities of a Wassenaar Arrangement Participating State, see Supplement No. 1 to Part 743 for a list of these countries. 49. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics is amended by adding Export Control Classification Number
(ECCN)7A008 to read as follows: **7A008 Underwater sonar navigation systems, using Doppler velocity or correlation velocity logs integrated with a heading source, having a positioning accuracy of equal to or less (better) than 3% of distance traveled Circular Error Probable (CEP), and specially designed components therefore.** License Requirements *Reason for Control:* NS, AT Control(s) Country chart NS applies to entire entry NS Column 2. AT applies to entire entry AT Column 1. License Exceptions CIV: N/A TSR: N/A List of Items Controlled *Unit:* $ value *Related Controls:* 7A008 does not control systems specially designed for installation on surface vessels or systems requiring acoustic beacons or buoys to provide positioning data. See 6A001.a for acoustic systems, and 6A001.b for correlation-velocity sonar log equipment. See 8A002 for other marine systems. *Related Definitions:* N/A *Items:* The list of items controlled is contained in the ECCN heading. 50. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics, Export Control Classification Number
(ECCN)7A101 is amended by revising the Heading and the Items paragraph of the List of Items Controlled section, to read as follows: **7A101 Accelerometers, other than those controlled by 7A001 (see List of Items Controlled), and specially designed components therefore.** List of Items Controlled *Unit:* * * * *Related Controls:* * * * *Related Definitions:* * * * *Items:* a. Linear accelerometers designed for use in inertial navigation systems or in guidance systems of all types, usable in “missiles” having all of the following characteristics, and specially designed components therefore: 1. ‘Scale factor' “repeatability” less (better) than 1250 ppm; and 2. ‘Bias’ “repeatability” less (better) than 1250 micro g. Note: The measurement of ‘bias’ and ‘scale factor’ refers to one sigma standard deviation with respect to a fixed calibration over a period of one year. b. Continuous output accelerometers of any type, specified to function at acceleration levels greater than 100 g, and specially designed components therefor. 51. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics, Export Control Classification Number
(ECCN)7B003 is amended by revising the Related Controls paragraph in the List of Items Controlled section, to read as follows: **7B003 Equipment specially designed for the “production” of equipment controlled by 7A (except 7A994).** List of Items Controlled *Unit:* * * * *Related Controls:*
(1)See also 7B103, (this entry is subject to the licensing authority of the U.S. Department of State, Directorate of Defense Trade Controls (see 22 CFR part 121)) and 7B994.
(2)This entry includes: Inertial Measurement Unit (IMU module) tester; IMU platform tester; IMU stable element handling fixture; IMU platform balance fixture; gyro tuning test station; gyro dynamic balance station; gyro run-in/motor test station; gyro evacuation and fill station; centrifuge fixtures for gyro bearings; accelerometer axis align stations; accelerometer test station; and fiber optic gyro coil winding machines. *Related Definitions:* * * * *Items:* * * * 52. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics, Export Control Classification Number
(ECCN)7D001 is amended by revising the License Requirements section, to read as follows: **7D001 “Software” specially designed or modified for the “development” or “production” of equipment controlled by 7A (except 7A994) or 7B (except 7B994).** License Requirements *Reason for Control:* NS, MT, RS, AT Control(s) Country chart NS applies to “software” for equipment controlled by 7A001 to 7A004, 7A006, 7A008, 7B001, 7B002 or 7B003 NS Column 1. MT applies to entire entry except 7A008 MT Column 1. RS applies to “software” for inertial navigation systems inertial equipment, and specially designed components therefor, for “civil aircraft” RS Column 1. AT applies to entire entry AT Column 1. 53. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics, Export Control Classification Number
(ECCN)7D003 is amended by revising the License Requirements section, and revising paragraphs a and b in the Items paragraph of the List of Items Controlled section, to read as follows: **7D003 Other “software”, as follows (see List of Items Controlled).** License Requirements *Reason for Control:* NS, MT, AT Control(s) Country chart NS applies to entire entry NS Column 1. MT applies to entire entry, except software for 7A008 MT Column 1. AT applies to entire entry AT Column 1. List of Items Controlled *Items:* a. “Software” specially designed or modified to improve the operational performance or reduce the navigational error of systems to the levels controlled by 7A003, 7A004 or 7A008; b. “Source code” for hybrid integrated systems that improves the operational performance or reduces the navigational error of systems to the level controlled by 7A003 or 7A008 by continuously combining heading data with any of the following: b.1. Doppler radar or sonar velocity data; b.2. Global navigation satellite systems ( *i.e.* , GPS or GLONASS) reference data; or b.3. Data from ‘Data-Based Referenced Navigation’ (‘DBRN’') systems; 54. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics, Export Control Classification Number
(ECCN)7E001 is amended by revising the License Requirements section, to read as follows: **7E001 “Technology” according to the General Technology Note for the “development” of equipment or “software” controlled by 7A (except 7A994), 7B (except 7B994) or 7D (except 7D994).** License Requirements *Reason for Control:* NS, MT, RS, AT Control(s) Country chart NS applies to “technology” for items controlled by 7A001 to 7A004, 7A006, 7A008, 7B001 to 7B003, 7D001 to 7D003 NS Column 1. MT applies to entire entry except 7A008 MT Column 1. RS applies to “technology” for inertial navigation systems, inertial equipment and specially designed components therefor, for civil aircraft RS Column 1. AT applies to entire entry AT Column 1. 55. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics, Export Control Classification Number
(ECCN)7E002 is amended by revising the License Requirements section, to read as follows: **7E002 “Technology” according to the General Technology Note for the “production” of equipment controlled by 7A (except 7A994) or 7B (except 7B994).** License Requirements *Reason for Control:* NS, MT, RS, AT Control(s) Country chart NS applies to “technology” for equipment controlled by 7A001 to 7A004, 7A006, 7A008 or 7B001 to 7B003 NS Column 1. MT applies to entire entry, except 7A008 MT Column 1. RS applies to “technology” for inertial navigation systems, inertial equipment and specially designed components therefor, for civil aircraft RS Column 1. AT applies to entire entry AT Column 1. 56. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 7 Navigation and Avionics, Export Control Classification Number
(ECCN)7E004 is amended by revising the License Requirements section, and adding a new paragraph adding a.7 in the Items paragraph of the List of Items Controlled sections, to read as follows: **7E004 Other “technology”, as follows (see List of Items Controlled).** License Requirements *Reason for Control:* NS, MT, AT Control(s) Country chart NS applies to entire entry NS Column 1. MT applies to entire entry, except 7E004.a.7 MT Column 1. AT applies to entire entry AT Column 1. List of Items Controlled *Items:* a. * * * a.7. “DBRN” systems designed to navigate underwater using sonar or gravity databases that provide a positioning accuracy equal to or less (better) than 0.4 nautical miles. 57. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 8 Marine, Export Control Classification Number
(ECCN)8A002 is amended by: a. Revising the “heading”, as set forth below; b. Revising the “unit” paragraph of the List of Items Controlled section, as set forth below; and c. Revising paragraph a in the Items paragraph of the List of Items Controlled section, to read as follows: **8A002 Systems, equipment and components, as follows (see List of Items Controlled).** List of Items Controlled *Unit:* Systems and equipment in number, components in $ value *Related Controls:* * * * *Related Definitions:* * * * *Items:* a. Systems, equipment and components, specially designed or modified for submersible vehicles, designed to operate at depths exceeding 1,000 m, as follows: a.1. Pressure housings or pressure hulls with a maximum inside chamber diameter exceeding 1.5 m; a.2. Direct current propulsion motors or thrusters; a.3. Umbilical cables, and connectors therefor, using optical fiber and having synthetic strength members; a.4. Components manufactured from material specified in ECCN 8C001. *Technical Note:* The object of this control should not be defeated by the export of syntactic foam controlled by 8C001 when an intermediate stage of manufacture has been performed and it is not yet in its final component form. 58. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 8 Marine, Export Control Classification Number
(ECCN)8C001 is amended by revising the ‘Related Controls’ paragraph in the List of Items Controlled section, to read as follows: **8C001 Syntactic foam designed for underwater use, having all of the following (see List of Items Controlled).** List of Items Controlled *Unit:* * * * *Related Controls:* See also 8A002.a.4. *Related Definition:* * * * *Items:* * * * 59. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 9 Propulsion Systems, Space Vehicles and Related Equipment is amended by revising the title of Category 9, to read as follows: Category 9—Aerospace and Propulsion 60. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 9 Aerospace and Propulsion, Export Control Classification Number 9D004 is amended by revising the License Requirements section, and adding two new paragraphs f and g to the Items paragraph of the List of Items Controlled section, to read as follows: **9D004 Other “software”, as follows (see List of Items Controlled).** License Requirements *Reason for Control:* NS, MT, AT Control(s) Country chart NS applies to entire entry NS Column 1. MT applies to entire entry, except 9D004.g and .f MT Column 1. AT applies to entire entry AT Column 1. List of Items Controlled *Items:* f. “Software” specially designed to design the internal cooling passages of aero gas turbine engine blades, vanes and tip shrouds; g. “Software” having all of the following characteristics: g.1. Being specially designed to predict aero thermal, aeromechanical and combustion conditions in aero gas turbine engines; and g.2. Having theoretical modeling predictions of the aero thermal, aeromechanical and combustion conditions which have been validated with actual turbine engine (experimental or production) performance data. 61. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 9 Aerospace and Propulsion, Export Control Classification Number 9E001 is amended by revising the Heading and the License Requirements section, to read as follows: **9E001 “Technology” according to the General Technology Note for the “development” of equipment or “software” controlled by 9A001.b, 9A004 to 9A012, 9B (except 9B990 or 9B991), or 9D (except 9D990 or 9D991).** License Requirements *Reason for Control:* NS, MT, AT Control(s) Country chart NS applies to “technology” for items controlled by 9A001.b., 9A012, 9B001 to 9B010, 9D001 to 9D004 for NS reasons NS Column 1. MT applies to “technology” for items controlled by 9B001, 9B002, 9B003, 9B004, 9B005, 9B007, 9B105, 9B106, 9B116, 9B117, 9D001, 9D002, 9D003, and 9D004 for MT reasons MT Column 1. AT applies to entire entry AT Column 1. *License Requirement Notes:* See § 743.1 of the EAR for reporting requirements for exports under License Exceptions. 62. In Supplement No. 1 to Part 774 (the Commerce Control List), Category 9 Aerospace and Propulsion, Export Control Classification Number 9E002 is amended by revising the Heading, to read as follows: **9E002 “Technology” according to the General Technology Note for the “production” of equipment controlled by 9A001.b, 9A004 to 9A011 or 9B (except 9B990 or 9B991).** 63. Supplement No. 3 to Part 774 (the Commerce Control List) is amended to add a new Statement of Understanding after the existing Statement of Understanding—Medical equipment, to read as follows: Supplement No. 3 to Part 774—Statements of Understanding Statement of Understanding—Source Code For the purpose of national security controlled items, “source code” items are controlled either by “software” or by “software” and “technology” controls, except when such “source code” items are explicitly decontrolled. Dated: October 23, 2007. Christopher A. Padilla, Assistant Secretary for Export Administration. [FR Doc. E7-21247 Filed 11-2-07; 8:45 am] BILLING CODE 3510-33-P 72 213 Monday, November 5, 2007 Presidential Documents Part III The President Proclamation 8200—National Alzheimer's Disease Awareness Month, 2007 Proclamation 8201—National Diabetes Month, 2007 Title 3— The President Proclamation 8200 of October 31, 2007 National Alzheimer's Disease Awareness Month, 2007 By the President of the United States of America A Proclamation National Alzheimer's Disease Awareness Month is an opportunity to honor and support those living with Alzheimer's disease. During this month, we also seek to express our gratitude to the family members and caretakers who love and comfort those afflicted, and we renew our commitment to finding a cure to this devastating disease. The greatest risk factor for Alzheimer's disease is age. Scientists are studying how other factors such as family history, nutrition, environment, and education, also affect an individual's risk for Alzheimer's disease. The National Institutes of Health and the Department of Veterans Affairs continue to conduct research to better prevent, detect, and treat Alzheimer's disease and provide information and support to caretakers and families. During National Alzheimer's Disease Awareness Month, we recognize the millions of Americans affected by this tragic disease and honor those who have lost their lives to Alzheimer's. Americans are grateful for the resolve and dedication of medical professionals, scientific researchers, family members, and caregivers who give their time and talents and help provide hope to many. NOW, THEREFORE, I, GEORGE W. BUSH, President of the United States of America, by virtue of the authority vested in me by the Constitution and laws of the United States, do hereby proclaim November 2007 as National Alzheimer's Disease Awareness Month. I call upon the people of the United States to observe this month with appropriate programs and activities. IN WITNESS WHEREOF, I have hereunto set my hand this thirty-first day of October, in the year of our Lord two thousand seven, and of the Independence of the United States of America the two hundred and thirty-second. GWBOLD.EPS [FR Doc. 07-5547 Filed 11-2-07; 8:53 am]
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U.S. Code
- Registration, responsibilities, and oversight of self-regulatory organizations§ 78s
- National securities exchanges§ 78f
- Definitions and application§ 78c
- Public information; agency rules, opinions, orders, records, and proceedings§ 552
- National market system for securities; securities information processors§ 78k–1
- Exemption from State regulation of securities offerings§ 77r
- Social security account statements§ 1320b–13
- Income; earned and unearned income defined; exclusions from income§ 1382a
- Immunity from seizure under judicial process of cultural objects imported for temporary exhibition or display§ 2459
- Purposes§ 6501
- Rules, regulations, and recommendations§ 315
- United States Government regulations§ 31136
- General driver fitness, testing, and training§ 31305
- Unusual and extraordinary threat; declaration of national emergency; exercise of Presidential authorities§ 1701
- Purposes§ 3501
- Rule making§ 553
- Definitions§ 601
- Congressional declaration of policy§ 3201
- Regulations implementing requirements relating to licensing for components and other parts of facilities§ 2139a
- Recruit basic training: privacy§ 7420
- Economic and communication sanctions pursuant to United Nations Security Council Resolution§ 287c
- Support for Cuban people§ 6004
- Rights-of-way for pipelines through Federal lands§ 185
- Repealed. Pub. L. 114–113, div. O, title I, § 101(a), Dec. 18, 2015, 129 Stat. 2987§ 6212
- Limitations on export of oil or gas§ 1354
CFR
- Delegation of authority to Director of Division of Trading and Markets.§ 200.30-3
- Disclosure of order execution information.§ 242.605
- When entitlement to disability benefits begins and ends.§ 404.316
- What are the responsibilities of your representative payee?§ 404.2035
- Definitions.§ 404.702
- Making disability determinations.§ 404.1615
- Responsibility for evidence.§ 404.1512
- Responsibility for evidence.§ 416.912
- How to obtain a statement of earnings and a benefit estimate statement.§ 404.810
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25 references not yet in our index
- 17 CFR 240.19
- 17 CFR 240.11
- Pub. L. 104-13
- 20 CFR 401
- 20 CFR 404.1615-20
- 20 CFR 404.428-404
- 20 CFR 416
- 20 CFR 408.900-408
- 79 Stat. 985
- 49 CFR 1.48
- 49 CFR 391.41(b)(3)
- 49 CFR 391.41(b)(10)
- 15 CFR 742
- 15 CFR 743
- 15 CFR 744
- 15 CFR 772
- 15 CFR 774
- Pub. L. 106-387
- Pub. L. 107-56
- Pub. L. 108-11
- 117 Stat. 559
- Pub. L. 106-508
- 10 USC 7430(e)
- 22 CFR 121
- 10 CFR 110
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